Vol. 86 Thursday, No. 41 March 4, 2021

Pages 12515–12798

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 86, No. 41

Thursday, March 4, 2021

Agriculture Department Application Period: See Food and Nutrition Service Certain Applicants Under the Fiscal Year (FY) 2021 See Rural Business-Cooperative Service Graduate Assistance in Areas of National Need See Rural Housing Service Program Competition; Reopening, 12662–12663 See Rural Utilities Service Certain Applicants Under the Fiscal Year 2021 Educational Opportunity Centers Program Architectural and Transportation Barriers Compliance Competition; Reopening, 12676 Board Certain Applicants Under the Fiscal Year 2021 Talent NOTICES Search Program Competition; Reopening, 12678 Agency Information Collection Activities; Proposals, Applications for New Awards: Submissions, and Approvals, 12597–12598 Assistance for Arts Education Program; Corrections, 12677–12678 Centers for Disease Control and Prevention Educational Technology, Media, and Materials for NOTICES Individuals With Disabilities, Stepping-Up Requirement for Airlines To Collect Designated Information Technology Implementation, 12662 for Passengers Destined for the United States Who Are Equity Assistance Centers Program; Withdrawal and Departing From, or Were Otherwise Present in the Cancellation, 12664–12665 Democratic Republic of the Congo or the Republic of Indian Education Discretionary Grants Programs, Guinea, 12685–12688 Professional Development Grants Program, 12668– 12676 Civil Rights Commission Promise Neighborhoods Program; Corrections, 12676– NOTICES 12677 Meetings: Eligibility Designations and Applications for Waiving Alabama Advisory Committee, 12598–12599 Eligibility Requirements: Tennessee Advisory Committee, 12598 Programs Under Parts A and F of Title III and Programs Under Title V of the Higher Education Act of 1965, Coast Guard as Amended, 12665–12668 RULES Safety Zones: Energy Department Atlantic Intracoastal Waterway, Horry County, SC, See Federal Energy Regulatory Commission 12539–12541 Lower Mississippi River, Mile Marker 368 Through 370, Environmental Protection Agency Natchez, MS, 12541–12543 PROPOSED RULES Red River, Mile Marker 59, Moncla, LA, 12543–12545 Air Quality State Implementation Plans; Approvals and Promulgations: Commerce Department Kentucky; Removal of Asbestos Requirements From See Foreign-Trade Zones Board Jefferson County Regulations, 12554–12556 See Industry and Security Bureau NOTICES See International Trade Administration Ambient Air Monitoring Reference and Equivalent See National Oceanic and Atmospheric Administration Methods: See National Telecommunications and Information Designation of One New Reference Method and One New Administration Equivalent Method, 12682–12683 Requests for Nominations: Community Development Financial Institutions Fund Clean Air Act Advisory Committee, 12683–12684 NOTICES Funding Opportunity: Federal Aviation Administration Bond Guarantee Program, FY 2021, 12772–12788 PROPOSED RULES Airworthiness Directives: Corporation for National and Community Service Sikorsky Aircraft Corporation Helicopters, 12550–12552 NOTICES Amendment of Restricted Area R–7001C and Establishment Agency Information Collection Activities; Proposals, of Restricted Areas R–7001D, R–7002A, R–7002B, and Submissions, and Approvals: R–7002C: Generic Clearance for the Collection of Pilot and Test Guernsey, WY, 12552–12554 Data, 12661–12662 NOTICES Meetings: Education Department NextGen Advisory Committee, 12769–12770 NOTICES Agency Information Collection Activities; Proposals, Federal Communications Commission Submissions, and Approvals: RULES Higher Education Act Title II Report Cards on State Delegations of Authority To Act on Applications for Teacher Credentialing and Preparation, 12663–12664 Review, 12545–12547

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PROPOSED RULES Withdrawal of Drug Products From Sale for Reasons of Comment Sought on Competitive Bidding Procedures for Safety or Effectiveness: Auction 109: BELVIQ (Lorcaserin Hydrochloride) Tablets, 10 Auction of AM and FM Broadcast Construction Permits Milligrams, and BELVIQ XR (Lorcaserin Scheduled for July 27, 2021, 12556–12563 Hydrochloride) Extended-Release Tablets, 20 Milligrams, 12697–12698 Federal Election Commission NOTICES Food and Nutrition Service Filing Dates: NOTICES Texas Special Election in the 6th Congressional District Agency Information Collection Activities; Proposals, Special Election, 12684–12685 Submissions, and Approvals: Meetings; Sunshine Act, 12685 Team Nutrition Database, 12593–12594 Child Nutrition Programs: Federal Energy Regulatory Commission Income Eligibility Guidelines, 12594–12597 NOTICES Application: Foreign-Trade Zones Board Androscoggin Reservoir Co., 12681–12682 NOTICES Triton Power Co., 12679–12680 Authorization of Production Activity: Environmental Assessments; Availability, etc.: Gulfstream Aerospace Corp. (Disassembly of Aircraft) Lock 7 Hydro Partners, LLC, 12680–12681 Dallas, TX; Foreign-Trade Zone 168, Dallas/Fort Northern Natural Gas Co.; Proposed Lake City 1st Branch Worth, TX, 12599 Line Abandonment and Capacity Replacement Project, 12678–12679 Health and Human Services Department Meetings: See Centers for Disease Control and Prevention RTO/ISO Credit Principles and Practices; Credit Reforms See Food and Drug Administration in Organized Wholesale Electric Markets; Technical See Health Resources and Services Administration Conference, 12680 See National Institutes of Health NOTICES Federal Highway Administration Privacy Act; System of Records, 12699–12704 NOTICES Agency Information Collection Activities; Proposals, Health Resources and Services Administration Submissions, and Approvals, 12770–12772 NOTICES ’’Low Income Levels’’ Used for Various Health Professions Federal Reserve System and Nursing Programs Authorized in the Public Health NOTICES Service Act, 12698–12699 Change in Bank Control: Homeland Security Department Acquisitions of Shares of a Bank or Bank Holding See Coast Guard Company, 12685 See U.S. Customs and Border Protection Fish and Wildlife Service Indian Affairs Bureau PROPOSED RULES NOTICES Endangered and Threatened Species: Agency Information Collection Activities; Proposals, Status for Arizona Eryngo and Designation of Critical Submissions, and Approvals: Habitat, 12563–12591 Adult Education Program, 12709–12710 NOTICES Agency Information Collection Activities; Proposals, Industry and Security Bureau Submissions, and Approvals: RULES Federal Migratory Bird Hunting and Conservation Stamp Addition of Certain Entities to the Entity List: (Duck Stamp) and Junior Duck Stamp Contests, Correction of Existing Entries on the Entity List, 12529– 12707–12709 12534 NOTICES Food and Drug Administration Meetings: NOTICES Emerging Technology Technical Advisory Committee, Agency Information Collection Activities; Proposals, 12599 Submissions, and Approvals: Animal Food Labeling; Declaration of Certified and Non- Interior Department Certified Color Additives, 12690–12692 See Fish and Wildlife Service Early Food Safety Evaluation of New Non-Pesticidal See Indian Affairs Bureau Proteins Produced by New Plant Varieties Intended for Food Use, 12688–12690 International Trade Administration Obtaining Information To Understand and Challenges NOTICES and Opportunities Encountered by Compounding Antidumping or Countervailing Duty Investigations, Orders, Outsourcing Facilities, 12692 or Reviews: Study of Multiple Indications in Direct-to-Consumer Certain Large Vertical Shaft Engines Between 225cc and Television Advertisements, 12692–12696 999cc, and Parts Thereof, From the People’s Republic Requests for Nominations: of China, 12623–12625 Device Good Manufacturing Practice Advisory Certain Metal Lockers and Parts Thereof From the Committee, 12696–12697 People’s Republic of China, 12611–12614

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Certain Vertical Shaft Engines Between 225cc and 999cc, National Science Foundation and Parts Thereof From the People’s Republic of NOTICES China, 12619–12621 Agency Information Collection Activities; Proposals, Magnesium Metal From the People’s Republic of China, Submissions, and Approvals: 12621–12623 Grantee Reporting Requirements for the Graduate Determination of Sales at Less Than Fair Value: Research Fellowship Program, 12714–12715 Certain Chassis and Subassemblies Thereof From the People’s Republic of China, 12616–12619 National Telecommunications and Information Methionine From France, 12627–12629 Administration Methionine From Japan, 12625–12627 NOTICES Methionine From Spain, 12614–12616 Requests for Nominations: Initiation of Antidumping and Countervailing Duty First Responder Network Authority Board Members, Administrative Reviews, 12599–12611 12659–12661 Scope Rulings, 12629–12630 Postal Service NOTICES International Trade Commission Environmental Impact Statements; Availability, etc.: NOTICES Purchase of Next Generation Delivery Vehicles, 12715 Antidumping or Countervailing Duty Investigations, Orders, or Reviews: Presidential Documents Mobile Access Equipment From China, 12711–12712 PROCLAMATIONS Complaint: Special Observances: Certain Smart Thermostat Systems, Smart HVAC American Red Cross Month (Proc. 10150), 12515–12516 Systems, Smart HVAC Controls Systems, and Irish-American Heritage Month (Proc. 10151), 12517– Components Thereof, 12710–12711 12518 National Colorectal Cancer Awareness Month (Proc. Investigations; Determinations, Modifications, and Rulings, 10152), 12519–12521 etc.: National Consumer Protection Week (Proc. 10154), Pentafluoroethane (R–125) From China, 12712–12713 12525–12526 Read Across America Day (Proc. 10155), 12527–12528 Justice Department Women’s History Month (Proc. 10153), 12523–12524 NOTICES ADMINISTRATIVE ORDERS Agency Information Collection Activities; Proposals, Ukraine; Continuation of National Emergency (Notice of Submissions, and Approvals: March 2, 2021), 12791–12794 Fee Waiver Request, 12713 Venezuela; Continuation of National Emergency (Notice of Proposed Consent Decree: March 2, 2021), 12795 Zimbabwe; Continuation of National Emergency (Notice of Resource Conservation and Recovery Act, 12713–12714 March 2, 2021), 12797–12798

Labor Department Rural Business-Cooperative Service See Wage and Hour Division NOTICES Applications: Strategic Economic and Community Development National Institutes of Health Program for Fiscal Year (FY) 2021; Correction, 12597 NOTICES Privacy Act; Systems of Records, 12704–12707 Rural Housing Service NOTICES Applications: National Oceanic and Atmospheric Administration Strategic Economic and Community Development RULES Program for Fiscal Year (FY) 2021; Correction, 12597 Atlantic Highly Migratory Species: Atlantic Bluefin Tuna Fisheries, 12548–12549 Rural Utilities Service PROPOSED RULES NOTICES Fisheries of the Northeastern United States: Applications: Atlantic Spiny Dogfish Fishery; Revised 2021 and Strategic Economic and Community Development Projected 2022 Specifications, 12591–12592 Program for Fiscal Year (FY) 2021; Correction, 12597 NOTICES Magnuson-Stevens Act Provisions; General Provisions for Securities and Exchange Commission Domestic Fisheries: NOTICES Application for Exempted Fishing Permits, 12656–12658 Applications for Deregistration under the Investment Meetings: Company Act, 12734–12735 U.S. Integrated Ocean Observing System Advisory Self-Regulatory Organizations; Proposed Rule Changes: Committee, 12658–12659 Nasdaq ISE, LLC, 12762–12769 Taking of Marine Mammals Incidental to Specific Nasdaq PHLX, LLC, 12733–12734 Activities: New York Stock Exchange, LLC, 12715–12724 Pile Driving and Removal Activities During Construction NYSE American, LLC, 12744–12752 of the Hoonah Marine Industrial Center Cargo Dock NYSE Arca, Inc., 12735–12744 Project, Hoonah, AK, 12630–12656 NYSE Chicago, Inc., 12724–12733

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NYSE National, Inc., 12752–12762 Wage and Hour Division RULES Transportation Department Independent Contractor Status Under the Fair Labor See Federal Aviation Administration Standards Act See Federal Highway Administration Delay of Effective Date, 12535–12537 Treasury Department See Community Development Financial Institutions Fund RULES Inflation Adjustment of Civil Monetary Penalties, 12537– Separate Parts In This Issue 12539 U.S. Customs and Border Protection Part II RULES Presidential Documents, 12791–12795, 12797–12798 Arrival Restrictions Applicable to Flights Carrying Persons Who Have Recently Traveled From or Were Otherwise Present Within the Democratic Republic of the Congo or the Republic of Guinea, 12534–12535 Reader Aids Consult the Reader Aids section at the end of this issue for U.S.-China Economic and Security Review Commission phone numbers, online resources, finding aids, and notice NOTICES of recently enacted public laws. Meetings: To subscribe to the Federal Register Table of Contents Public Hearing, 12788 electronic mailing list, go to https://public.govdelivery.com/ Veterans Affairs Department accounts/USGPOOFR/subscriber/new, enter your e-mail NOTICES address, then follow the instructions to join, leave, or Tiered Pharmacy Copayments for Medications: manage your subscription. Calendar Year 2021 Update, 12788–12790

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CFR PARTS AFFECTED IN THIS ISSUE

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

3 CFR Proclamations: 10150...... 12515 10151...... 12517 10152...... 12519 10153...... 12523 10154...... 12525 10155...... 12527 Administrative Orders: Notices: Notice of March 2, 2021 ...... 12793 Notice of March 2, 2021 ...... 12795 Notice of March 2, 2021 ...... 12797 14 CFR Proposed Rules: 39...... 12550 73...... 12552 15 CFR 744...... 12529 19 CFR Ch. I ...... 12534 29 CFR 780...... 12535 788...... 12535 795...... 12535 31 CFR 16...... 12537 27...... 12537 50...... 12537 33 CFR 165 (3 documents) ...... 12539, 12541, 12543 40 CFR Proposed Rules: 52...... 12554 47 CFR 0...... 12545 1...... 12545 Proposed Rules: 1...... 12556 73...... 12556 50 CFR 635...... 12548 Proposed Rules: 17...... 12563 648...... 12591

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Federal Register Presidential Documents Vol. 86, No. 41

Thursday, March 4, 2021

Title 3— Proclamation 10150 of March 1, 2021

The President American Red Cross Month, 2021

By the President of the United States of America

A Proclamation Throughout our country’s history, the humanitarian spirit of the American people has shined as a beacon of hope in times of crisis. It is written in our DNA that when hardship strikes, we come together to ensure that no one faces it alone. It is in that spirit that we celebrate American Red Cross Month, a chance to honor all those selfless Americans who step up and lend a hand whenever and wherever people are in need. For 140 years, the American Red Cross has been synonymous with the prevention and alleviation of human suffering across the globe. Founded by Clara Barton in 1881, the organization’s mission lives on in the dedication of Red Cross workers—more than 90 percent of whom are volunteers— and the generosity of the American people in moments of crisis. We saw unmistakable evidence of that spirit through the challenges of this past year. In 2020, more than 70,000 people became new Red Cross volunteers and stepped up on behalf of those in need—as disaster shelter workers, health workers, blood donor ambassadors, and transportation specialists. And when our country faced a severe blood shortage, the American people rolled up their sleeves, with more than a half-million of our friends and neighbors donating blood with the Red Cross for the first time. In a year like no other, people made a lifesaving difference. As months of relentless hurricanes, wildfires, and other extreme weather events battered communities, families spent more nights in emergency lodging than in any other year over the past decade—thanks to the hard work and generosity of Red Cross volunteers and partners who provided more than 1.3 million people with overnight stays last year. When the pandemic strained emergency services, Red Cross workers adapted to help fulfill urgent needs. They responded to increased emergency calls from military families, aided hundreds of thousands of home fire survivors, supported international health and hygiene services, and safely provided health and safety courses to essential workers and others to help them manage the COVID–19 threat. In recent days, as harsh winter storms left many Americans without power and water across the South and Midwest, the Red Cross and its partners have worked to help people recover and restore access to safe water. This month, we renew our commitment to Clara Barton’s remarkable vision and join together, as one Nation, to recommit ourselves to a foundational American principle: the duty of care we owe to one another when times get tough. I urge all Americans to take part in that tradition through our own everyday acts of compassion—helping a neighbor, a stranger, or a community in need. NOW, THEREFORE, I, JOSEPH R. BIDEN JR., President of the United States of America and Honorary Chairman of the American Red Cross, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim March 2021 as American Red Cross Month. I encourage all Americans to observe this month with appropriate programs, ceremonies and activities, and by supporting the work of service and relief organizations.

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IN WITNESS WHEREOF, I have hereunto set my hand this first day of March, in the year of our Lord two thousand twenty-one, and of the Independ- ence of the United States of America the two hundred and forty-fifth.

[FR Doc. 2021–04639 Filed 3–3–21; 8:45 am] Billing code 3295–F1–P

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Proclamation 10151 of March 1, 2021 Irish-American Heritage Month, 2021

By the President of the United States of America

A Proclamation Since before the founding of our Nation, Irish immigrants have arrived on our shores with an unyielding spirit of determination that has helped define America’s soul and shape our success across generations. Driven by the same dreams that still beckon people the world over to America today, so many crossed the Atlantic with nothing but the hope in their hearts and their faith in the possibility of a better life. That’s what brought the Blewitts from County Mayo and the Finnegans of County Louth to the United States. For years, they brought Ireland into their homes in America. Working hard. Raising families. Remembering always where they came from. By 1909, my grandparents Ambrose Finnegan and Geraldine Blewitt met and married in Scranton, Pennsylvania, and passed on to my mother, Catherine Eugenia Finnegan Biden, a pride and a passion that runs through the bloodstream of all Irish-Americans. The story of the Irish the world over is one of people who have weathered their fair share of hard times, but have always come out strong on the other side. From often humble beginnings, Irish Americans became the farm- ers, servants, miners, factory workers, and laborers who fed our Nation, kept our homes, and built our industry and infrastructure. They became the soldiers who won American independence, died to preserve our Union, and fought in every battle since to defend America and its values. Irish Americans became the firefighters and police officers who have protected us. They are the activists who organized unions to give voice and strength to America’s workers. They are the educators who taught generations of American students and the public servants who have answered the call to service in the halls of the Congress, the Supreme Court, and the White House. We owe a debt of gratitude to the Irish-American inventors and entrepreneurs who helped define America as the land of opportunity. Irish-American writers pollinated America’s literary landscape with their love of language and storytelling, while Irish lyricism has brought poetry, art, music, and dance to nourish our hearts and souls. As I said when I visited Dublin in 2016, our nations have always shared a deep spark—linked in memory and imagination, joined by our histories and our futures. Everything between us runs deep: literature, poetry, sadness, joy, and, most of all, resilience. Through every trial and tempest, we never stop dreaming. The fabric of modern America is woven through with the green of the Emerald Isle. This month, we celebrate the sacrifices and contributions that generations of Irish Americans have made to build a better America, and we renew the bonds of friendship that will forever tie Ireland and the United States. NOW, THEREFORE, I, JOSEPH R. BIDEN JR., President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim March 2021 as Irish-American Heritage Month. I call upon all Americans to celebrate the

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achievements and contributions of Irish Americans to our Nation with appropriate ceremonies, activities, and programs. IN WITNESS WHEREOF, I have hereunto set my hand this first day of March, in the year of our Lord two thousand twenty-one, and of the Independ- ence of the United States of America the two hundred and forty-fifth.

[FR Doc. 2021–04641 Filed 3–3–21; 8:45 am] Billing code 3295–F1–P

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Proclamation 10152 of March 1, 2021 National Colorectal Cancer Awareness Month, 2021

By the President of the United States of America

A Proclamation For my family, for the Vice President’s family, and for millions of families across our Nation, the fight against cancer is personal. Too many of us know the sinking feeling of shock and devastation when a loved one receives a diagnosis of cancer—too many of us know the unspeakable pain when the fight cannot be won. Each year, colorectal cancer claims more than 50,000 American lives, making it the second leading cause of cancer deaths in our Nation. National Colorectal Cancer Awareness Month is a chance to bring greater attention to this terrible disease and to offer what families living through it need most: hope. In this battle, hope and awareness are intertwined. Because the risk of death from colorectal cancer drops dramatically when the cancer is caught early, we can save lives by calling attention to risk factors and increasing routine screening. This month is our chance to improve public understanding of colorectal cancer risk, inform people about screening recommendations, and set our sights on broadening prevention strategies, improving treatments, and finding a cure. Colorectal cancer can afflict anyone, but the risk is higher among some Americans than others. When we lost the trailblazing actor Chadwick Boseman to colon cancer last year after a heroic fight, it served as a reminder that this disease disproportionately impacts communities of color—and is particularly fatal among Black Americans. Age, too, is a factor, as the majority of cases occur in people over 50 years old. People with increased risk for developing the disease include certain racial and ethnic minority populations, as well as individuals with inflammatory bowel disease, a family history of colorectal cancer, or other risk factors such as tobacco use. For more information on risk factors, you can visit www.cancer.gov. As with so many diseases, the best defense against colorectal cancer is early detection. Symptoms can include blood in the stool; stomach pain, aches, or cramps that do not go away; and weight loss without a known cause. But many cases have no symptoms, especially early in the disease, when colorectal cancer is most curable. A recent Government study estimated that if all 50-year-old adults were screened for colorectal cancer, we could prevent approximately 35,000 deaths. That is why it is so crucial, especially for Americans over 50 or otherwise at increased risk, to receive regular screenings. And although the disease is relatively rare in younger adults, the incidence of colorectal cancer has been rising among this group. No matter your age, every American should take possible colorectal cancer symptoms seriously and bring them to the attention of your health care provider. I know how hard it is right now to be mindful of preventive care. The COVID–19 pandemic has disrupted so many parts of our lives, including, for far too many, the routine checkups and screenings that are so vital to guarding against disease. I urge every American to take the precautions they need in order to stay vigilant against cancer—don’t delay your recommended screenings, doctor’s visits, and treatments. You and your healthcare provider can discuss how to balance the risks and benefits of

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cancer screening, taking into account medical history, family history, other risk factors, and the time between screenings. My Administration is strongly committed to improving the prevention and treatment of colorectal cancer, and to giving every American access to quality, affordable health coverage. Because of the Affordable Care Act, most health insurance plans must cover a set of preventive services with no out-of- pocket cost. This includes colorectal cancer screening in adults age 50 and older. In response to the COVID–19 pandemic, my Administration also announced a Special Enrollment Period for the Health Insurance Marketplace now through May 15th, so that millions of uninsured individuals and families can sign up for health coverage and gain these protections. I encourage you to visit www.healthcare.gov to explore your eligibility and get covered. Above all, I want every family facing this fight—and all those that will in the future—to know that there is hope. As President, I am committed to ending cancer as we know it. That mission motivated me every day when I led the Cancer Moonshot Initiative in 2016 to speed up progress toward prevention, treatment, and cures. Thanks to that effort, researchers, oncologists, care providers, philanthropists, data and tech experts, advocates, patients, and survivors have joined forces to double the rate of progress toward a cure for cancer. One particular program, Accelerating Colorectal Cancer Screening and follow-up through Implementation Science (ACCSIS), has made strides to improve colorectal cancer screening, follow-up, and referral for care among populations that have low screening rates, including communities of color and rural Americans. You can read more about this important work by visiting www.cancer.gov and www.cdc.gov/cancer. This month, I encourage all Americans to talk to family and friends about getting screened. If we look out for one another, we can reduce suffering, increase the odds of cancer survival, keep more families whole, and win this fight once and for all. NOW, THEREFORE, I, JOSEPH R. BIDEN JR., President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim March 2021 as National Colorectal Cancer Awareness Month. I encourage all citizens, government agencies, private businesses, non-profit organizations, and other groups to join in activities that will increase awareness and prevention of colorectal cancer.

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[FR Doc. 2021–04644 Filed 3–3–21; 8:45 am] Billing code 3295–F1–P

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Proclamation 10153 of March 1, 2021

Women’s History Month, 2021

By the President of the United States of America

A Proclamation Each year, Women’s History Month offers an important opportunity for us to shine a light on the extraordinary legacy of trailblazing American women and girls who have built, shaped, and improved upon our Nation. Throughout American history, women and girls have made vital contributions, often in the face of discrimination and undue hardship. Courageous women marched for and won the right to vote, campaigned against injustice, shattered countless barriers, and expanded the possibilities of American life. Our history is also replete with examples of the unfailing bravery and grit of women in America, particularly in times of crisis and emergency. Women served our Nation during World War II, led organizing and litigation efforts during the Civil Rights movement, and represented the United States on the global stage in the fight for human rights, peace, and security. Far too often, their heroic efforts and their stories have gone untold— especially the millions of Black women, immigrant women, and others from diverse communities who have strengthened America across every generation. In our current moment of crisis, women continue to lead. From vaccine researchers to public health officials to the countless heroines on the frontlines, women are working around the clock to defeat COVID–19. Women, and particularly women of color, also make up the majority of America’s essential workers, including educators and child care providers, grocery store workers, farmworkers, and others who are keeping our families, our communities, and our country afloat. This year has also marked an historic milestone of women’s leadership 232 years in the making, with the inaugura- tion of America’s first woman Vice President. As we celebrate the contributions and progress of women and girls, we must also reflect on the extraordinary and unequal burdens they continue to bear today. The COVID–19 pandemic has exacerbated barriers that have held back women—particularly women of color—for generations. Gender and racial disparities in pay continue to fester. A disproportionate share of caregiving continues to fall on the shoulders of women and girls. And now, job losses due to COVID–19 have set women’s labor force participation back to its lowest point in more than 30 years—threatening the security and well-being of women and their families and imperiling the economic progress of our entire Nation. The share of mothers who have left the labor force is three times that of fathers; in September 2020 alone, an astonishing 865,000 women dropped out of the American workforce. These trends are even more dire among women of color, with Black and Hispanic women facing disproportionately high rates of unemployment. At the same time, food insecurity has risen dramatically since the pandemic began, particularly in female-headed households with children, as have reports of intimate partner violence. Since taking office on January 20th, Vice President Kamala Harris and I have made COVID–19 vaccination, relief, and broad-based economic recovery efforts a top priority. Our goal is not to return our economy to where it was before the pandemic struck. Our goal is to build back better—and

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that means creating a strong and durable foundation for the economic opportunity and security of women in America. Our plans include proposals to provide individual payments and tax credits to put money in the hands of families in need; increase housing and food assistance as well as unemployment insurance; lower health costs and expand access to coverage; increase support for and access to child care; and expand existing paid leave policies. We are also committed to making further progress on what, for me, has been a lifelong cause: reducing gender-based violence, and advancing the safety, economic stability, and well-being of survivors. Sixty years ago, when former First Lady Eleanor Roosevelt confronted Presi- dent John F. Kennedy about the lack of women in Government, he appointed her as head of a new commission to address the status of women in America and take on discrimination in all of its forms. We have made significant progress in the United States, thanks to the persistence and tireless work of countless women. I am proud that the White House Gender Policy Council will build on those efforts by putting a laser focus on the needs and contributions of women and girls, and ensuring a Government-wide focus on gender equity. Our Administration is also committed to ensuring that women are well-represented at all levels in the executive branch: already, we have selected a record number of women who represent the diversity of America to serve in Cabinet-level positions. During Women’s History Month, let us honor the accomplished and visionary women who have helped build our country, including those whose contributions have not been adequately recognized and celebrated. And let us pay tribute to the trailblazers from the recent and distant past for daring to envision a future for which no past precedent existed, and for building a Nation of endless possibilities for all of its women and girls. NOW, THEREFORE, I, JOSEPH R. BIDEN JR., President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim March 2021 as Women’s History Month. I call upon all Americans to observe this month and to celebrate International Women’s Day on March 8, 2021, with appropriate programs, ceremonies, and activities. I also invite all Americans to visit www.WomensHistoryMonth.gov to learn more about the vital contribu- tion of women to our Nation’s history. IN WITNESS WHEREOF, I have hereunto set my hand this first day of March, in the year of our Lord two thousand twenty-one, and of the Independ- ence of the United States of America the two hundred and forty-fifth.

[FR Doc. 2021–04645 Filed 3–3–21; 8:45 am] Billing code 3295–F1–P

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Proclamation 10154 of March 1, 2021

National Consumer Protection Week, 2021

By the President of the United States of America

A Proclamation American families are grappling with the devastating challenges of the COVID–19 pandemic and the economic crisis with courage and resilience every day. In this moment of crisis, the last thing any of us should have to contend with are predators in the consumer marketplace seeking to take advantage of us, exploit our personal data, or invade our digital privacy. Unfortunately, the pandemic has brought a wave of fraud in its wake, with scam artists serving up fake websites and advertisements targeting desperate Americans in search of personal protective equipment. Scammers also saw the distribution of stimulus payments as fertile ground for fraud, offering vulnerable people false promises of help to get their payments more quickly. My Administration has zero tolerance for these and other criminals who take Americans’ hard-earned dollars or abuse their personal information. As Americans rely more and more on digital products—from virtual communication tools helping us stay connected through the pandemic, to apps and smart appliances that bring greater convenience to our lives—our commitment to consumer protection must keep pace with these incredible innovations. Just because we increasingly depend on technology to work, shop, go to school, and see our loved ones doesn’t mean that we should sacrifice our safety or privacy. My Administration will make it a priority to ensure that companies providing these and other services honor consumer expectations regarding their privacy and their data. We will pursue fraudulent actors aggressively, and work to raise the bar on digital security standards as new innovations are introduced. We also recognize the important role that savvy consumers play in keeping the marketplace honest. My Administration will make sure that Americans in every community have access to the educational resources they need to make informed choices online—including resources to help them protect their privacy and recognize, avoid, and report fraudulent schemes. As millions of Americans face continued hardship from the COVID–19 pandemic, we must also prevent abuses that can result in individuals and families losing their homes. My Administration has taken decisive action to help keep people in their homes, and I encourage Americans to visit www.consumerfinance.gov/housing for up-to-date information on their relief options, protections, and key deadlines. As Federal agencies continue working to implement housing assistance for American families, the Consumer Financial Protection Bureau offers this website as a one-stop shop for both homeowners and renters to learn about programs and resources that can help them stay in their homes by reducing the risk of eviction and foreclosure. The Federal Trade Commission and the Consumer Financial Protection Bu- reau, our Nation’s consumer protection agencies, in coordination with law enforcement across the country, fight predatory practices and privacy violations day in and day out, with investigations, law enforcement actions, and free, actionable, plain-language consumer education resources. National

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Consumer Protection Week brings together public and private sector organizations that work to educate and protect the American people from marketplace threats. This week, and all year long, my Administration is dedicated to making sure that every American understands their rights and has access to information that can help protect themselves and their communities. To learn more about these resources, visit www.consumer.ftc.gov. To learn how to get involved with National Consumer Protection Week, visit www.ftc.gov/ncpw. NOW, THEREFORE, I, JOSEPH R. BIDEN JR., President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim February 28 through March 6, 2021, as National Consumer Protection Week. I call upon government officials, industry leaders, and advocates across the Nation to share information about consumer protection and provide our citizens with information about their rights as consumers. IN WITNESS WHEREOF, I have hereunto set my hand this first day of March, in the year of our Lord two thousand twenty-one, and of the Independ- ence of the United States of America the two hundred and forty-fifth.

[FR Doc. 2021–04646 Filed 3–3–21; 8:45 am] Billing code 3295–F1–P

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Proclamation 10155 of March 1, 2021

Read Across America Day, 2021

By the President of the United States of America

A Proclamation I have always believed that America’s children are the kite strings that keep our national ambitions aloft—the more we do today to spark their curiosity, their confidence, and their imaginations, the stronger our country will be tomorrow. The key to developing young learners into engaged, active, and innovative thinkers is instilling in them a love of reading at an early age. Reading is the gateway to countless skills and possibilities—it sets children on the path to a lifetime of discovery. On this Read Across America Day, we celebrate the parents, educators, librarians, and other champions of reading who help launch our Nation’s children on that critical path. Once a passion for reading takes hold in a young person, the benefits extend far beyond the classroom. Reading broadens our perspective, introduces us to new worlds, cultures, and languages, and cultivates our sense of empathy and understanding of other people’s experiences and views. Reading informs us, empowers us, and teaches us the lessons of history. It helps us make sense of the world as it is—and inspires us to dream of what it could be. Studies also show that reading improves our memory, helps us become better problem solvers, and even reduces the chance of developing cognitive disorders such as Alzheimer’s down the road. And with the right book in hand, reading can nourish not only our minds, but our souls. The First Lady often observes that ‘‘any nation that out-educates us will out-compete us.’’ She is absolutely correct. Literacy is essential to finding a good-paying job, advancing in your career, and carving out your place in the middle class. Reading proficiency is what makes us a Nation of innovators and entrepreneurs—a Nation capable of building and growing a dynamic 21st century economy. Reading comprehension is also what allows us to discern fact from fiction—a critical skill at all times, and especially so in the midst of a global pandemic, when the health and safety of our loved ones could very well depend on determining the veracity of what we read. According to Department of Education estimates, more than half of United States adults (54 percent) between 16- and 74-years of age lack proficiency in literacy, reading below the equivalent of a sixth-grade level. Illiteracy incurs a massive economic toll on our economy, and keeps not just individuals, but our entire Nation, from reaching our full potential. By every calculation, reading matters to our shared quality of life. For countless Americans, the path to literacy begins with story time in their school classroom. That is one of many reasons why my Administration is providing support to States and communities to help them create the conditions for students to return to safe, in-person learning as quickly as possible. We must ensure that all of our children receive the high-quality instruction and essential classroom time they need to learn and grow. It is a national imperative that we minimize the learning loss caused by the pandemic—and address the disproportionate impact that lost time imposes on our most vulnerable students and families.

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NOW, THEREFORE, I, JOSEPH R. BIDEN JR., President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim March 2, 2021, as Read Across America Day. I call upon children, families, educators, librarians, public officials, and all the people of the United States to observe this day with appropriate programs, ceremonies, and activities. IN WITNESS WHEREOF, I have hereunto set my hand this first day of March, in the year of our Lord two thousand twenty-one, and of the Independ- ence of the United States of America the two hundred and forty-fifth.

[FR Doc. 2021–04647 Filed 3–3–21; 8:45 am] Billing code 3295–F1–P

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Rules and Regulations Federal Register Vol. 86, No. 41

Thursday, March 4, 2021

This section of the FEDERAL REGISTER interests of the United States. The EAR The ERC determined to add the contains regulatory documents having general impose license requirements on and following thirteen entities: Chimmed applicability and legal effect, most of which limit the availability of most license Group; Chimconnect GmbH; are keyed to and codified in the Code of exceptions for exports, reexports, and Chimconnect AG; Pharmkontract Federal Regulations, which is published under transfers (in country) involving listed GmbH; Femteco; Interlab; LabInvest; 50 titles pursuant to 44 U.S.C. 1510. entities. The license review policy for OOO Analit Products; OOO Intertech The Code of Federal Regulations is sold by each listed entity is identified in the Instruments; Pharmcontract GC; Rau the Superintendent of Documents. ‘‘License review policy’’ column on the Farm; Regionsnab; and Riol-Chemie, to Entity List, and the impact on the the Entity List based on their availability of license exceptions is proliferation activities in support of DEPARTMENT OF COMMERCE described in the relevant Federal Russia’s weapons of mass destruction Register notice adding entities to the programs. Nine of these entities are Bureau of Industry and Security Entity List. The Bureau of Industry and located in Russia, three are located in Security (BIS) places entities on the Germany, and one is located in 15 CFR Part 744 Entity List pursuant to part 744 (Control Switzerland. Pursuant to § 744.11 of the [Docket No. 201216–0348] Policy: End-User and End-Use Based) EAR, the ERC also determined to add and part 746 (Embargoes and Other the 27th Scientific Center of the Russian RIN 0694–AI36 Special Controls) of the EAR. Ministry of Defense (a.k.a., 27th NTs) The End-User Review Committee located in Russia to the Entity List. This Addition of Certain Entities to the (ERC), composed of representatives of entity is a Russian Government Ministry Entity List; Correction of Existing the Departments of Commerce (Chair), of Defense facility associated with Entries on the Entity List State, Defense, Energy and, where Russia’s chemical weapons activities. AGENCY: Bureau of Industry and appropriate, the Treasury, makes all Pursuant to § 744.11(b) of the EAR, Security, Commerce. decisions regarding additions to, the ERC determined that the conduct of removals from, or other modifications to ACTION: Final rule. these fourteen entities raises sufficient the Entity List. The ERC makes all concern that prior review of exports, SUMMARY: This final rule amends the decisions to add an entry to the Entity reexports, or transfers (in-country) of all Export Administration Regulations List by majority vote and makes all items subject to the EAR involving these (EAR) by adding fourteen entities to the decisions to remove or modify an entry entities, and the possible imposition of Entity List. These fourteen entities have by unanimous vote. license conditions or license denials on been determined by the U.S. ERC Entity List Decisions shipments involving the entities, will Government to be acting contrary to the enhance BIS’s ability to prevent items national security or foreign policy Additions to the Entity List subject to the EAR from being used in interests of the United States. These This rule implements the decision of activities contrary to the national fourteen entities will be listed on the the ERC to add fourteen entities to the security and foreign policy interests of Entity List under the destinations of Entity List. The fourteen entities are the United States. Germany, Russia, and Switzerland. This located in Germany, Russia, and For the fourteen entities added to the rule also corrects six existing entries to Switzerland. Entity List in this final rule, BIS the Entity List, one under the The ERC reviewed and applied imposes a license requirement that destination of Germany and the other § 744.11(b) (Criteria for revising the applies to all items subject to the EAR. five under the destination of China. Entity List) in making the determination For the 27th Scientific Center of the DATES: This rule is effective March 4, to add these fourteen entities to the Russian Ministry of Defense, BIS will 2021. Entity List. Under that paragraph, review license applications under persons for whom there is reasonable § 744.4(d) of the EAR, the review policy FOR FURTHER INFORMATION CONTACT: cause to believe, based on specific and that applies to items subject to the EAR Chair, End-User Review Committee, articulable facts, that they have been that are destined for certain chemical Office of the Assistant Secretary, Export involved, are involved, or pose a and biological weapons end-uses. With Administration, Bureau of Industry and significant risk of being or becoming respect to the other thirteen entities Security, Department of Commerce, involved in activities that are contrary located in Russia, Germany, and Phone: (202) 482–5991, Email: ERC@ to the national security or foreign policy Switzerland, BIS will review license bis.doc.gov. interests of the United States, along with applications under § 744.4(d) of the EAR SUPPLEMENTARY INFORMATION: those acting on behalf of such persons, as well as the policies set forth in may be added to the Entity List. § 744.2(d) and § 744.3(d), which apply Background Paragraphs (b)(1) through (b)(5) of to items subject to the EAR that are The Entity List (15 CFR, Subchapter § 744.11 provide an illustrative list of destined for certain nuclear and missile C, part 744, Supplement No. 4 of the activities that could be contrary to the technology end-uses, respectively. Export Administration Regulations national security or foreign policy With respect to all fourteen entities, (EAR)) identifies entities reasonably interests of the United States. For each the license requirements apply to any believed to be involved, or to pose a of the fourteen entities described below, transaction in which items subject to the significant risk of being or becoming the ERC made the requisite EAR are to be exported, reexported, or involved in, activities contrary to the determination based on the standard set transferred (in country) involving any of national security or foreign policy forth in § 744.11(b). the entities in which such entities act as

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purchaser, intermediate consignee, correction is under the destination of benefits of available regulatory ultimate consignee, or end-user as China for the entity ‘‘SMIC Hong Kong alternatives and, if regulation is described in § 748.5(c) through (f). In International Company Limited.’’ This necessary, to select regulatory addition, no license exceptions are entity was originally added to the EAR approaches that maximize net benefits available for exports, reexports, or in the December 18, 2020 rule and (including potential economic, transfers (in-country) involving the placed under Hong Kong. As part of a environmental, public health and safety entities being added to the Entity List in December 22, 2020 rule (85 FR 83416), effects, distributive impacts, and this rule. this entry was moved and placed under equity). Executive Order 13563 The acronym ‘‘a.k.a.’’, or also known China. Due to publication-related timing emphasizes the importance of as, is used in entries on the Entity List constraints, the December 22, 2020 rule quantifying both costs and benefits, of to identify aliases, thereby assisting did not include the Federal Register reducing costs, of harmonizing rules, exporters, reexporters, and transferors in citation for the December 18, 2020 rule. and of promoting flexibility. This rule identifying entities on the Entity List. This rule corrects the Federal Register has been determined to be not This final rule adds the following citation for this entry to insert the significant for purposes of Executive fourteen entities to the Entity List and citation from the December 18, 2020 Order 12866. This rule is not an includes, where appropriate, aliases: rule. The fifth correction is under the Executive Order 13771 regulatory action destination of China for the entity ‘‘Su Germany because this rule is not significant under Bin.’’ This entity was originally added Executive Order 12866. • Chimconnect Gmbh; to the EAR under the destination of 2. Notwithstanding any other • Pharmcontract Gmbh; and Hong Kong on August 1, 2014 (79 FR provision of law, no person is required • Riol-Chemie. 44680) and moved from Hong Kong to to respond to or be subject to a penalty the destination of China on December Russia for failure to comply with a collection 23, 2020 (85 FR 83765). A correction is of information, subject to the • 27th Scientific Center of the needed in the Federal Register citation requirements of the Paperwork Russian Ministry of Defense; column for this entity because of an Reduction Act of 1995 (44 U.S.C. 3501 • Chimmed Group; error that double printed the December et seq.) (PRA), unless that collection of • Femteco; 23, 2020 Federal Register citation. This • information displays a currently valid Interlab; rule corrects the Federal Register • Office of Management and Budget LabInvest; citation by deleting the second reference • (OMB) Control Number. This regulation OOO Analit Products; to the citation. The sixth correction is • involves collections previously OOO Intertech Instruments; under the destination of China for the • approved by OMB under control Pharmcontract GC; entity ‘‘Nanjing FiberHome Starrysky • number 0694–0088, Simplified Network Rau Farm; and Communication Development -o.’’ This • Application Processing System, which Regionsnab. rule corrects the name of this entity by includes, among other things, license replacing the ‘‘Nanjing FiberHome Switzerland applications, and carries a burden Starrysky Communication Development • Chimconnect AG. estimate of 42.5 minutes for a manual or -o.’’ with ‘‘Nanjing FiberHome Starrysky electronic submission. Total burden Communication Development Co.’’ Corrections to the Entity List hours associated with the PRA and This final rule implements corrections Savings Clause OMB control number 0694–0088 are not to six existing entries on the Entity List. Shipments of items removed from expected to increase as a result of this One correction is under the destination eligibility for a License Exception or for rule. of Germany for the entity ‘‘Huawei export or reexport without a license 3. This rule does not contain policies OpenLab Munich,’’ and a second (NLR) as a result of this regulatory with Federalism implications as that correction is under the destination of action that were en route aboard a term is defined in Executive Order China for the entity ‘‘Huawei Cloud carrier to a port of export or reexport, on 13132. Hong Kong.’’ Both entities were added March 4, 2021, pursuant to actual orders to the Entity List on August 20, 2020 (85 4. Pursuant to § 1762 of the Export for export or reexport to a foreign Control Reform Act of 2018, this action FR 51596), and their entries were destination, may proceed to that modified on August 27, 2020 (85 FR is exempt from the Administrative destination under the previous Procedure Act (5 U.S.C. 553) 52898). A correction is needed in the eligibility for a License Exception or Federal Register citation column for requirements for notice of proposed export or reexport without a license rulemaking, opportunity for public these two entities because of an error (NLR). that occurred in the amendatory participation, and delay in effective instruction in the August 27, 2020 rule. Export Control Reform Act of 2018 date. This rule corrects the Federal Register On August 13, 2018, the President 5. Because a notice of proposed citation for each entity to conform to the signed into law the John S. McCain rulemaking and an opportunity for Federal Register citations that appear in National Defense Authorization Act for public comment are not required to be the August 20, 2020 and August 27, Fiscal Year 2019, which included the given for this rule by 5 U.S.C. 553, or 2020 rules. The third correction is under Export Control Reform Act of 2018 by any other law, the analytical the destination of China for the entity (ECRA) (50 U.S.C. 4801–4852). ECRA requirements of the Regulatory ‘‘China State Shipbuilding Corporation, provides the legal basis for BIS’s Flexibility Act, 5 U.S.C. 601, et seq., are Limited (CSSC) 750th Research principal authorities and serves as the not applicable. Accordingly, no Institute.’’ This entity was added to the authority under which BIS issues this regulatory flexibility analysis is required EAR on December 18, 2020 (85 FR rule. and none has been prepared. 83416). This rule corrects the entity’s List of Subjects in 15 CFR Part 744 name so that it reads as ‘‘China State Rulemaking Requirements Shipbuilding Corporation, Limited 1. Executive Orders 13563 and 12866 Exports, Reporting and recordkeeping (CSSC) 750th Test Center.’’ The fourth direct agencies to assess all costs and requirements, Terrorism.

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Accordingly, part 744 of the Export 85 FR 59641 (September 22, 2020); Notice of ■ c. Under RUSSIA, by adding in Administration Regulations (15 CFR November 12, 2020, 85 FR 72897 (November alphabetical order the entities ‘‘27th parts 730–774) is amended as follows: 13, 2020). Scientific Center of the Russian Ministry ■ 2. Amend Supplement No. 4 to part of Defense,’’ ‘‘Chimmed Group,’’ PART 744— 744 by ‘‘Femteco,’’ ‘‘Interlab,’’ ‘‘LabInvest,’’ ■ a. Under CHINA, PEOPLE’S ■ ‘‘OOO Analit Products,’’ ‘‘OOO 1. The authority citation for 15 CFR REPUBLIC OF revising the entities part 744 continues to read as follows: Intertech Instruments,’’ ‘‘Pharmcontract ‘‘Huawei Cloud Hong Kong’’, Nanjing GC,’’ ‘‘Regionsnab,’’ and ‘‘Rau Farm’’; Authority: 50 U.S.C. 4801–4852; 50 U.S.C. FiberHome Starrysky Communication and 4601 et seq.; 50 U.S.C. 1701 et seq.; 22 U.S.C. Development –o,’’ ‘‘SMIC Hong Kong 3201 et seq.; 42 U.S.C. 2139a; 22 U.S.C. 7201 International Company Limited’’, and ■ d. Under SWITZERLAND, by adding et seq.; 22 U.S.C. 7210; E.O. 12058, 43 FR ‘‘Su Bin’’; in alphabetical order the entity 20947, 3 CFR, 1978 Comp., p. 179; E.O. ■ b. Under Germany: ‘‘Chimconnect AG’’. 12851, 58 FR 33181, 3 CFR, 1993 Comp., p. ■ i. Adding in alphabetical order the 608; E.O. 12938, 59 FR 59099, 3 CFR, 1994 The additions and revisions read as Comp., p. 950; E.O. 13026, 61 FR 58767, 3 entity ‘‘Chimconnect GmbH’’; ■ follows: CFR, 1996 Comp., p. 228; E.O. 13099, 63 FR ii. Revising the entity ‘‘Huawei 45167, 3 CFR, 1998 Comp., p. 208; E.O. OpenLab Munich’’; and Supplement No. 4 to Part 744—Entity 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. ■ iii. Adding in alphabetical order the List 783; E.O. 13224, 66 FR 49079, 3 CFR, 2001 entities ‘‘Pharmcontract GmbH,’’ and Comp., p. 786; Notice of September 18, 2020, ‘‘Riol-Chemie’’: * * * * *

License Country Entity License requirement review policy Federal Register citation

*******

CHINA, PEO- ****** PLE’S RE- PUBLIC OF. Huawei Cloud Hong Kong, Hong Kong. For all items subject to Presumption of denial ...... 85 FR 51603, 8/20/20. the EAR, see 85 FR 52901, 8/27/20. § 736.2(b)(3)(vi),1 and 86 FR [INSERT FR PAGE 744.11 of the EAR, EX- NUMBER] 3/4/21. CEPT 2 for technology subject to the EAR that is designated as EAR99, or controlled on the Commerce Control List for anti-terrorism reasons only, when released to members of a ‘‘standards organization’’ (see § 772.1) for the purpose of contributing to the revision or development of a ‘‘standard’’ (see § 772.1). ****** Nanjing FiberHome Starrysky Commu- For all items subject to Case-by-case review for 85 FR 34505, 6/5/20. nication Development Co., a.k.a., the the EAR. (See § 744.11 ECCNs 1A004.c, 85 FR 44159, 7/22/20. following two aliases: of the EAR). 1A004.d, 1A995, 86 FR [INSERT FR PAGE —Nanjing Fenghuo Xingkong Commu- 1A999.a, 1D003, NUMBER] 3/4/21. nication Development Co.; and 2A983, 2D983, and —Fiberhome StarrySky Co., Ltd. 2E983, and for EAR99 88 Yunlongshan Road, Jianye District, items described in the Nanjing China. Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR.. ******

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License Country Entity License requirement review policy Federal Register citation

SMIC Hong Kong International Com- All items subject to the Presumption of denial for 85 FR 83420, 12/22/20. pany Limited, a.k.a., the following EAR. (See § 744.11 of items uniquely required 85 FR 83765, 12/23/ one alias: the EAR). for production of semi- 2020. —SMIC Hong Kong. conductors at advanced 86 FR [INSERT FR PAGE Suite 3003, 30th Floor, No. 9 Queen’s technology nodes (10 NUMBER] 3/4/21. Road Central Hong Kong. nanometers and below, including extreme ultra- violet technology); Case by case for all other items.. ****** Su Bin, a.k.a., the following two For all items subject to Presumption of denial ...... 79 FR 44683, 8/1/14. aliases: the EAR. (See § 744.11 85 FR 83768, 12/23/2020. —Stephen Subin; and of the EAR). 86 FR [INSERT FR PAGE —Steve Su. NUMBER] 3/4/21. Room 8306 Kelun Building, 12A Guanghua Road, Chaoyang, Beijing 100020, China; and Room 801, Unit 1, Building 8 Caiman Street, Chaoyang Road, Beijing 100025, China; and Building 1–1, No. 67 Caiman Str., Chaoyang Road, Beijing 100123, China; and Room A407 Kelun Building, 12A Guanghua Road, Chaoyang, Beijing 100020, China; and Rm 602, 5/F, No. 106 NanHu road, ChaoYang District, Beijing, China and Rm 1019–1020 Nan Fung Centre, 264–298 Castle Peak Road, Tsuen Wan New Territories, Hong Kong; and Room 1522 Nan Fung Centre, 264–298 Castle Peak Road, Tsuen Wan New Territories, Hong Kong. ****** GERMANY ...... ****** Chimconnect GmbH, For all items subject to See §§ 744.2(d), 744.3(d), 86 FR [INSERT FR PAGE Reichenauestrasse 1a, DE–78467, the EAR. and 744.4(d) of this NUMBER] 3/4/21. Konstanz, Germany. part.. ****** Huawei OpenLab Munich, a.k.a., the For all items subject to Presumption of denial...... 85 FR 51603, 8/20/20, 85 following one alias, the EAR, see FR 52901, 8/27/20. —Huawei Munich OpenLab. § 736.2(b)(3)(vi),1 and 86 FR [INSERT FR PAGE Huawei Germany Region R&D Centre 744.11 of the EAR, EX- NUMBER] 3/4/21. Riesstr. 22 80992 Munich, Germany; CEPT2 for technology and Huawei Germany Region R&D subject to the EAR that Centre Riesstr. 12 80992 Munich, is designated as Germany. EAR99, or controlled on the Commerce Control List for anti-terrorism reasons only, when released to members of a ‘‘standards organization’’ (see § 772.1) for the purpose of contributing to the revision or development of a ‘‘standard’’ (see § 772.1). ****** Pharmcontract GmbH., a.k.a., the fol- For all items subject to See §§ 744.2(d), 744.3(d), 86 FR [INSERT FR PAGE lowing one alias: the EAR. and 744.4(d) of this part. NUMBER] 3/4/21. —Farmkontract GmbH. Goethestrasse 4–8 D–60313 Frankfurt am Main, Germany. Riol-Chemie, Gobelstrasse 21, Lil- For all items subject to See §§ 744.2(d), 744.3(d), 86 FR [INSERT FR PAGE ienthal, Germany. the EAR. and 744.4(d) of this NUMBER] 3/4/21. part.. ******

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RUSSIA ...... 27th Scientific Center of the Russian All items subject to the See § 744.4(d) of this 86 FR [INSERT FR PAGE Ministry of Defense, a.k.a., the fol- EAR. part.. NUMBER] 3/4/21. lowing one alias: —27th NTs. Birgadirskiy pereulok 13, 105005, Mos- cow, Russia. ****** Chimmed Group, a.k.a., the following For all items subject to See §§ 744.2(d), 744.3(d), 86 FR [INSERT FR PAGE six aliases: the EAR. and 744.4(d) of this NUMBER] 3/4/21. —OOO Khimmed; part.. —Chimmed; —TD Chimmed; —TD Khimmed; —Khimmed; and —SPK Khimmed 9/3 Kashirskoe Highway, Moscow, Rus- sia 115230; and Runovskiy, D 11/13, Korp 2, Moscow, Russia; and Kashirskoe, D 9, Korp 3, Moscow, Russia. ****** Femteco, 13 3-ya Khoroshevskaya For all items subject to See §§ 744.2(d), 744.3(d), 86 FR [INSERT FR PAGE Street, Moscow, Russia 123298; and the EAR. and 744.4(d) of this NUMBER] 3/4/21. 3298 G. Moskva, Ul. 3-ya part.. Khoroshevskaya, D. 13, K. Russia. ****** Interlab, a.k.a., the following one alias: For all items subject to See §§ 744.2(d), 744.3(d), 86 FR [INSERT FR PAGE —OOO Interlab. the EAR. and 744.4(d) of this NUMBER] 3/4/21. Tikhvinsky Per., 11, Building 2, 127055, part.. Moscow, Russia. ****** LabInvest, Remenskoe, Street 100–Y, For all items subject to See §§ 744.2(d), 744.3(d), 86 FR [INSERT FR PAGE Svirskoy Division, D 52, 140104, the EAR. and 744.4(d) of this NUMBER] 3/4/21. Moscow Oblast, Russia. part.. ****** OOO Analit Products, 26th-line V.O., For all items subject to See §§ 744.2(d), 744.3(d), 86 FR [INSERT FR PAGE dom. 15/2 lit. A, office 9.06, St. Pe- the EAR. and 744.4(d) of this NUMBER] 3/4/21. tersburg, Russia 199106. part.. OOO Intertech Instruments, a.k.a., the For all items subject to See §§ 744.2(d), 744.3(d), 86 FR [INSERT FR PAGE following one alias: the EAR. and 744.4(d) of this NUMBER] 3/4/21. —Intertek Instruments. part.. 3/2 Novopeschanaya Street, Moscow, Russia 125057. ****** Pharmcontract GC, a.k.a., the following For all items subject to See §§ 744.2(d), 744.3(d), 86 FR [INSERT FR PAGE one alias: the EAR. and 744.4(d) of this NUMBER] 3/4/21. —Farmkontract GC. part.. Dubininskaya Street, 57/2, Office 306, 115054, Moscow, Russia. ****** Rau Farm, a.k.a., the following three For all items subject to See §§ 744.2(d), 744.3(d), 86 FR [INSERT FR PAGE aliases: the EAR. and 744.4(d) of this NUMBER] 3/4/21. —Raw Farm; part.. —Rau Pharm; and —Raw Pharm. Petro-Razumovskaya Alley 18, Mos- cow, Russia; and Ul. Mnevniki 3⁄1, Moscow, Russia; and Denisovsky Pereulok, Bldg 8/14, Mos- cow, Russia. ****** Regionsnab, 129327 ul. Lenskaya 2/21, For all items subject to See §§ 744.2(d), 744.3(d), 86 FR [INSERT FR PAGE Suite III, Moscow, Russia. the EAR. and 744.4(d) of this NUMBER] 3/4/21. part..

*******

SWITZERLAND ****** Chimconnect AG, Langaulistrasse 17, For all items subject to See §§ 744.2(d), 744.3(d), 86 FR [INSERT FR PAGE CH–9470 Buschs/SG, Switzerland. the EAR. and 744.4(d) of this NUMBER] 3/4/21. part..

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******

* * * * * FOR FURTHER INFORMATION CONTACT: In order to assist in preventing or Alyce Modesto, Office of Field limiting the introduction and spread of Matthew S. Borman, Operations, U.S. Customs and Border this communicable disease into the Deputy Assistant Secretary for Export Protection at 202–286–8995. United States, the Departments of Administration. SUPPLEMENTARY INFORMATION: Homeland Security and Health and [FR Doc. 2021–04505 Filed 3–2–21; 4:15 pm] Human Services, including the Centers BILLING CODE 3510–33–P Background for Disease Control and Prevention Ebola Virus Disease (EVD), caused by (CDC), and other agencies charged with the virus family Filoviridae, is a severe protecting the homeland and the and often fatal disease that can affect American public, are currently DEPARTMENT OF HOMELAND implementing enhanced public health SECURITY humans and non-human primates. Disease transmission occurs via direct measures at six U.S. airports that receive the largest number of travelers from the U.S. Customs and Border Protection contact with bodily fluids (e.g., blood, mucus, vomit, urine). The first known DRC and the Republic of Guinea. To ensure that all travelers with recent 19 CFR Chapter I EVD outbreak occurred in 1976. From 2013–2016, the largest EVD outbreak presence in the affected countries arrive Arrival Restrictions Applicable to occurred in West Africa, primarily at one of these airports, DHS is directing Flights Carrying Persons Who Have affecting Guinea, Liberia, and Sierra all flights to the United States carrying Recently Traveled From or Were Leone, with cases exported to seven such persons to arrive at the airports Otherwise Present Within the additional countries across three where the enhanced public health Democratic Republic of the Congo or continents. The epidemic demonstrated measures are being implemented. While the Republic of Guinea the potential for EVD to become an DHS, in coordination with other international crisis in the absence of applicable federal agencies, anticipates AGENCY: U.S. Customs and Border early intervention. Further, EVD can working with the air carriers in an Protection, Department of Homeland have substantial medical, public health, endeavor to identify potential travelers Security. and economic consequences if it from the affected countries prior to ACTION: Announcement of arrival spreads to densely populated areas. As boarding, air carriers will remain restrictions. such, EVD may present a threat to U.S. obligated to comply with the health security given the unpredictable requirement of this notice, particularly SUMMARY: This document announces the nature of outbreaks and the in the event that travelers who have decision of the Secretary of Homeland interconnectedness of countries through recently traveled from or were otherwise Security to direct all flights to the global travel. present within, the affected countries are boarded on flights bound for the United States carrying persons who On February 7, 2021, the World United States. have recently traveled from, or were Health Organization (WHO) reported the otherwise present within, the resurgence of EVD, following the Notice of Arrival Restrictions Democratic Republic of the Congo or the laboratory confirmation of one case in Applicable to All Flights Carrying Republic of Guinea to arrive at one of North Kivu Province, in the Democratic Persons Who Have Recently Traveled the U.S. airports where the U.S. Republic of the Congo (DRC). As of From or Were Otherwise Present government is focusing public health February 23, 2021, eight confirmed EVD Within the Democratic Republic of the resources to implement enhanced cases, including four deaths, have been Congo or the Republic of Guinea public health measures. For purposes of reported. Although the source of this document, a person has recently Pursuant to 6 U.S.C. 112(a), 19 U.S.C. infection is still under investigation, it 1433(c), and 19 CFR 122.32, DHS has traveled from the Democratic Republic is believed this outbreak is linked to the of the Congo or the Republic of Guinea the authority to limit the location where 2018–2020 EVD outbreak in the eastern all flights entering the United States if that person has departed from, or was DRC, the second largest EVD outbreak otherwise present within, the from abroad may land. Under this on record, which was officially declared authority and effective for flights Democratic Republic of the Congo or the over on June 25, 2020 by the WHO and Republic of Guinea within 21 days of departing after 11:59 p.m. Eastern the Ministry of Health in the DRC. Standard Time on March 4, 2021, I the date of the person’s entry or On February 14, 2021, the WHO attempted entry into the United States. hereby direct all operators of aircraft to reported a new outbreak of EVD in the ensure that all flights carrying persons Also, for purposes of this document, southern prefecture of Nze´re´kore´, crew and flights carrying only cargo who have recently traveled from, or Guinea. The prefecture is located near were otherwise present within, the DRC (i.e., no passengers or non-crew), are the borders of Liberia and the Ivory excluded from the measures herein. or the Republic of Guinea only land at Coast. As of February 23, 2021, Guinean one of the following airports: DATES: The arrival restrictions apply to officials have reported nine confirmed • John F. Kennedy International flights departing after 11:59 p.m. Eastern cases and at least five deaths. The WHO Airport (JFK), New York; Standard Time on March 4, 2021. expects additional cases to be confirmed • Chicago O’Hare International Arrival restrictions continue until in the coming days and have warned six Airport (ORD), Illinois; cancelled or modified by the Secretary neighboring countries (Guinea-Bissau, • Hartsfield-Jackson Atlanta of Homeland Security and notice of Ivory Coast, Liberia, Mali, Senegal, and International Airport (ATL), Georgia; such cancellation or modification is Sierra Leone) to be on alert for potential • Washington-Dulles International published in the Federal Register. infections. Airport (IAD), Virginia;

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• Newark Liberty International date of the rule titled Independent all regulations that had been published Airport (EWR), New Jersey; and Contractor Status Under the Fair Labor in the Federal Register but had not yet • Los Angeles International Airport Standards Act (‘‘Independent Contractor taken effect. The Independent (LAX), California. Rule’’ or ‘‘January 2021 Rule’’), which Contractor Rule fell within this This direction considers a person to was published in the Federal Register category. The Regulatory Freeze have recently traveled from the DRC or on January 7, 2021, to allow the Memorandum states that the purpose of the Republic of Guinea if that person Department to review issues of law, such delays is for agencies to review any departed from, or was otherwise present policy, and fact raised by the rule before questions of fact, law, and policy that within, the DRC or the Republic of it takes effect. the rules may raise, noting certain Guinea within 21 days of the date of the DATES: As of March 4, 2021, the exceptions that do not apply to the person’s entry or attempted entry into effective date of the Independent Independent Contractor Rule. On the United States. Also, for purposes of Contractor Rule published January 7, January 20, 2021, the Office of this document, crew and flights carrying 2021 at 86 FR 1168 is delayed until May Management and Budget (OMB) also only cargo (i.e., no passengers or non- 7, 2021. published OMB Memorandum M–21– crew), are excluded from the applicable FOR FURTHER INFORMATION CONTACT: 14, Implementation of Memorandum measures set forth in this notification. Amy DeBisschop, Division of Concerning Regulatory Freeze Pending This direction is subject to any changes Regulations, Legislation, and Review, which provides guidance to the airport landing destination that Interpretation, Wage and Hour Division, regarding the Regulatory Freeze may be required for aircraft and/or U.S. Department of Labor, Room S– Memorandum. See OMB Memorandum airspace safety as directed by the 3502, 200 Constitution Avenue NW, M–21–14, Implementation of Federal Aviation Administration. Washington, DC 20210; telephone: (202) Memorandum Concerning Regulatory Freeze Pending Review, https:// This list of designated airports may be 693–0406 (this is not a toll-free www.whitehouse.gov/wp-content/ modified by the Secretary of Homeland number). Copies of this final rule may uploads/2021/01/M-21-14-Regulatory- Security in consultation with the be obtained in alternative formats (Large Review.pdf (last visited February 25, Secretary of Health and Human Services Print, Braille, Audio Tape or Disc), upon 2021). OMB Memorandum M–21–14 and the Secretary of Transportation. request, by calling (202) 693–0675 (this explains that pursuant to the Regulatory This list of designated airports may be is not a toll-free number). TTY/TDD Freeze Memorandum, agencies ‘‘should modified by an updated publication in callers may dial toll-free 1–877–889– consider postponing the effective dates the Federal Register or by posting an 5627 to obtain information or request for 60 days and reopening [the] advisory to follow at www.cbp.gov. The materials in alternative formats. restrictions will remain in effect until rulemaking processes’’ for ‘‘rules that Questions of interpretation or have not yet taken effect and about superseded, modified, or revoked by enforcement of the agency’s existing publication in the Federal Register. which questions involving law, fact, or regulations may be directed to the policy have been raised.’’ Id. For purposes of this Federal Register nearest Wage and Hour Division document, ‘‘United States’’ means the On February 5, 2021, the Department (‘‘WHD’’) district office. Locate the issued a notice of proposed rulemaking territory of the several States, the nearest office by calling the WHD’s toll- District of Columbia, and Puerto Rico. (NPRM) in accordance with the free help line at (866) 4US–WAGE ((866) Regulatory Freeze Memorandum and Alejandro N. Mayorkas, 487–9243) between 8 a.m. and 5 p.m. in OMB Memorandum M–21–14 proposing Secretary, U.S. Department of Homeland your local time zone, or log onto WHD’s to delay the effective date of the Security. website at https://www.dol.gov/ Independent Contractor Rule to May 7, [FR Doc. 2021–04594 Filed 3–2–21; 4:15 pm] agencies/whd/contact/local-offices for a 2021, which would be 60 days beyond BILLING CODE 9112–FP–P nationwide listing of WHD district and its original effective date. See 86 FR area offices. 8326. SUPPLEMENTARY INFORMATION: In the NPRM, the Department explained that delaying the effective DEPARTMENT OF LABOR I. Background date of the Independent Contractor Rule Wage and Hour Division On January 7, 2021, the U.S. would give the Department additional Department of Labor (‘‘the Department’’) opportunity to review and consider the 29 CFR Parts 780, 788, and 795 published the Independent Contractor Independent Contractor Rule, as the Rule in the Federal Register with an Regulatory Freeze Memorandum and RIN 1235–AA34 effective date of March 8, 2021. See 86 OMB Memorandum M–21–14 FR 1168. The Independent Contractor Independent Contractor Status Under contemplate. The Department noted that Rule would, among other actions, the Fair Labor Standards Act (FLSA): the Independent Contractor Rule would introduce into title 29 of the Code of Delay of Effective Date be its first generally applicable Federal Regulations a new part (part regulation addressing the question of AGENCY: Wage and Hour Division, 795) titled ‘‘Employee or Independent who is an independent contractor and Department of Labor. Contractor Classification Under the Fair thus not an employee under the FLSA, ACTION: Final rule; delay of effective Labor Standards Act.’’ See id. In a and would adopt a new legal standard date. memorandum dated January 20, 2021, for determining employee and and titled ‘‘Regulatory Freeze Pending independent contractor status under the SUMMARY: Consistent with the Review,’’ published in the Federal FLSA. In light of the significance of this Presidential directive as expressed in Register on January 28, 2021 (86 FR change, the Department proposed to the memorandum of January 20, 2021, 7424) (‘‘Regulatory Freeze allow itself more time to further review from the Assistant to the President and Memorandum’’), the Assistant to the and consider, among other important Chief of Staff, titled ‘‘Regulatory Freeze President and Chief of Staff, on behalf issues, the legal, policy, and/or Pending Review,’’ this action finalizes of the President, directed the heads of enforcement implications of adopting the Department of Labor’s proposal to Executive Departments and Agencies to that standard, such as: Whether the delay until May 7, 2021, the effective consider delaying the effective dates of January 2021 Rule effectuates the

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FLSA’s purpose, recognized repeatedly for Law and Social Policy, The American Council of Life Insurers, the by the Supreme Court, to broadly cover Leadership Conference on Civil and Center for Workplace Compliance, the workers as employees; the costs and Human Rights, the National Coalition to Promote Independent benefits attributed to the January 2021 Employment Law Project, NETWORK Entrepreneurs, the National Association Rule, including the assertion that Lobby for Catholic Social Justice, the of Home Builders, the Harbor Trucking workers as a whole will benefit from the Service Employees International Union Association and Association of Bi-State January 2021 Rule; and/or whether the (SEIU), the Shriver Center on Poverty Motor Carriers, and the Washington January 2021 Rule’s explanation of the Law, and the United Brotherhood of Legal Foundation took this stance; many standard provides clarity for Carpenters & Joiners of America, asked of these commenters asserted that the stakeholders and for the purposes of the Department to delay the January Department fully considered the January enforcement, as was intended.1 2021 Rule to consider, among other 2021 Rule during the initial rulemaking In the NPRM, the Department issues, the January 2021 Rule’s process, and others stated that they had explained that it believed a 60-day delay deviation from statutory text and undertaken preparations in anticipation would not be disruptive. The relevant case law as well as the January of the January 2021 Rule going into Department noted that the Independent 2021 Rule’s impact on workers. Many of effect.2 The Department also received Contractor Rule is not yet effective, and these comments noted that the January hundreds of nearly identical comments the Department has not implemented 2021 Rule will have a $3.3 billion cost from individuals who identified the Independent Contractor Rule. The to workers each year, and will cause the themselves as ‘‘a financial professional, Department further explained that its most harm to workers of color in low- small business owner and an public guidance, including the paying jobs in industries, such as independent contractor’’ affiliated with longstanding Fact Sheet #13, titled janitorial services, home care, and LPL Financial, who expressed a desire ‘‘Employment Relationship Under the agriculture, in which independent to be able to continue to choose to be Fair Labor Standards Act (FLSA),’’ contractor misclassification is common. independent contractors. The https://www.dol.gov/agencies/whd/fact- The Attorneys General of New York, Department has considered the sheets/13-flsa-employment-relationship, Pennsylvania, California, Colorado, comments opposing the delay of the does not contain the Independent Connecticut, Delaware, District of effective date of the January 2021 Rule, Contractor Rule’s new standard for Columbia, Hawaii, Illinois, Maine, but does not agree with them. The determining whether a worker is an Maryland, Massachusetts, Michigan, maintenance of the current state of the employee or independent contractor Minnesota, New Jersey, New Mexico, law would not be disruptive to current and will continue to be publicly North Carolina, Oregon, Rhode Island, business practices, so the regulated available. Moreover, the Department Vermont, Virginia, and Washington also community would not be significantly explained that federal courts across the submitted a comment supporting the affected by the continuation of the country have developed and applied proposed delay, asserting that the longstanding status quo for 60 legal analyses for determining employee January 2021 Rule would impose costs additional days. In addition, individuals and independent contractor status on states and does not increase clarity who are currently independent under the FLSA. Therefore, employers regarding the standard for determining contractors will not be affected by a and workers are already familiar with who is an employee and who is an delay of the Independent Contractor the legal standard that the Department independent contractor. The Rule, because they are already not and courts will apply when determining Department agrees with these employees under the FLSA. Although a worker’s employment status under the commenters that allowing more time for the Department understands that some FLSA during any delay of the January consideration of the January 2021 Rule commenters favor the January 2021 Rule 2021 Rule’s effective date. is reasonable given the significant and and may have chosen to prepare to The Department sought comment on complex issues the January 2021 Rule make adjustments to their operations in its proposal to delay the effective date raises, including whether the January anticipation of it, the Department does of the Independent Contractor Rule. The 2021 Rule is consistent with the not believe that the delay is significant period for providing comment expired statutory intent to broadly cover enough to overcome its interest in on February 24, 2021. carefully considering the January 2021 workers as employees as well as the Rule pursuant to the Regulatory Freeze II. Comments and Decision costs and benefits of the rule, including Memorandum and OMB Memorandum its effect on workers. Moreover, The Department received 1,512 M–21–14.3 comments in response to the NPRM. allowing the Independent Contractor Rule to go into effect while the Many workers and representatives of 2 Commenters such as the Chamber of Commerce workers supported delaying the Department undertakes a further review and Seyfarth Shaw on behalf of the Coalition for effective date of the Independent of the Independent Contractor Rule Workforce Innovation also asserted that the Contractor Rule, stating that the delay could lead to confusion and uncertainty Department’s fundamental basis for a delay—that among workers and businesses in the the Independent Contractor Rule would create a would allow the Department to further new standard for determining who is an employee consider whether the Independent event that the Department proposes under the FLSA versus an independent contractor, Contractor Rule was inconsistent with changes to the Independent Contractor and that this significant change merits further Rule following its review. consideration—is incorrect. They note that the the intent of the FLSA, as well as Independent Contractor Rule sets forth an economic relevant case law, and evaluate the Numerous businesses, trade realities test, which courts have used for decades. extent to which the Independent associations, individuals who identified Although these commenters are correct that courts Contractor Rule may not have fully themselves as freelancers or and the Department have previously applied an economic realities test for this purpose, the considered additional costs to workers. independent contractors, and their substance of the test in the January 2021 Rule—for For example, numerous commenters, representatives opposed the NPRM example, giving two factors greater weight in the including A Better Balance, the because they believe the new standard analysis and nearly dispositive weight if they both American Federation of State, County created in the Independent Contractor point toward the same classification—is different in a number of significant ways from the existing and Municipal Employees, the Center Rule will provide clarity, and they analysis. would like it to take effect on its original 3 Some commenters opposed to the proposed 1 See generally 86 FR 8327. effective date. For example, the delay, including the U.S. Chamber of Commerce

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Some commenters raised procedural Independent Contractor Rule’s March 8, Signed this 2nd day of March, 2021. objections to the Department’s proposed 2021 effective date must be published at Jessica Looman, delay. The Associated Builders and least 30 days before such a delay takes Principal Deputy Administrator, Wage and Contractors, the Financial Services effect. The Department disagrees. Hour Division. Institute, and Littler Mendelson, P.C.’s Section 553(d) of the Administrative [FR Doc. 2021–04608 Filed 3–2–21; 4:15 pm] Workplace Policy Institute asserted that Procedure Act provides that substantive BILLING CODE 4510–27–P the 19-day comment period for this rules should take effect not less than 30 rulemaking was insufficient, and days after the date they are published in critiqued the Department’s statement in the Federal Register unless ‘‘otherwise DEPARTMENT OF THE TREASURY the NPRM that ‘‘WHD will consider provided by the agency for good cause only comments about its proposal to found.’’ 5 U.S.C. 553(d)(3). Even if this Office of the Secretary of the Treasury delay the rule’s effective date.’’ 86 FR provision were to apply, the Department 8327. The Department believes that the finds that it would have good cause to 31 CFR Parts 16, 27, and 50 19-day comment period did provide a make this rule effective immediately meaningful opportunity to comment on upon publication. Like allowing for a Inflation Adjustment of Civil Monetary the proposed delay. The Department longer comment period, allowing for a Penalties received over 1,500 comments in 30-day delay between publication and AGENCY: Departmental Offices Treasury. response to the NPRM proposing to the effective date of this rulemaking ACTION: delay the January 2021 Rule’s effective would result in the January 2021 Rule Final rule; direct final rule. date, comparable to the approximately taking effect before the delay begins, SUMMARY: The Department of the 1,800 comments it received in response which would undermine this rule’s Treasury (‘‘Department’’ or ‘‘Treasury’’) to the substantive notice of proposed fundamental purpose of delaying the publishes this final rule to adjust its rulemaking that it published in effective date before the Independent civil monetary penalties (‘‘CMPs’’) for September 2020. See 85 FR 60600. Contractor Rule takes effect in accord inflation as mandated by the Federal Moreover, given the Independent with the Regulatory Freeze Civil Penalties Inflation Adjustment Act Contractor Rule’s original March 8, 2021 Memorandum and result in additional of 1990, as amended by the Federal effective date, it would have been confusion for regulated entities. The Civil Penalties Inflation Adjustment Act impracticable to afford a longer Regulatory Freeze Memorandum was Improvements Act of 2015 (collectively comment period. Had the Department issued on January 20, 2021, only 47 referred to herein as ‘‘the Act’’). The allowed for a longer comment period, days before the rule’s original effective Department also publishes this direct the Independent Contractor Rule would date of March 8, 2021. It would not have final rule to implement the inflation have taken effect before the delay could been practicable to issue an NPRM adjustment for the civil monetary begin, which would have defeated the proposing to delay the Independent penalties that may be assessed under 31 purpose of this rule and caused Contractor Rule and allow for ample CFR part 16 and updates the inflation additional confusion for regulated time for public comment on that adjustments through 2021. entities. As to the issue of the scope of proposal in time to publish a final rule DATES: Effective dates: The final rule comments sought in this rulemaking, not less than 30 days before March 8. amendments to 31 CFR part 27 and 31 the Department sought comments about, Moreover, this rulemaking merely CFR part 50 are effective March 4, 2021. and considered whether, issues of implements a 60-day delay of the The direct final rule amendments to policy, law, and fact warrant an Independent Contractor Rule, rather 31 CFR part 16 are effective May 3, extension of the Independent Contractor than itself imposing any new 2021. Rule’s original effective date by 60 days. compliance obligations on the regulated Comments due: Written comments are If after having had additional time to community. Therefore, the Department due on or before April 5, 2021. If the consider the January 2021 Rule, the finds that a lapse between publication Department receives substantive adverse Department decides to propose any and the effective date of this rule comment, we will publish a timely changes to the January 2021 Rule, it will delaying the Independent Contractor withdrawal in the Federal Register at that point solicit comments on its Rule’s effective date is unnecessary. informing the public that this direct substantive proposal. Because allowing for a 30-day period final rule will not take effect. Other commenters, including Littler between publication and the effective ADDRESSES: You may submit comments Mendelson, P.C. and the National date of this rulemaking is both on the amendments to 31 CFR part 16 Federation of Independent Business, unnecessary and impracticable, there is by any of the following methods: asserted that any delay to the good cause to make this final rule —Federal eRulemaking Portal: http:// delaying the Independent Contractor www.regulations.gov. and Seyfarth Shaw on behalf of the Coalition for Rule’s effective date effective Workforce Innovation, argued that the Department —Mail: Richard Dodson, Senior had not based its reasons for proposing a delay on immediately upon publication. Counsel, General Law, Ethics, and those enumerated in OMB Memorandum M–21–14. After reviewing timely comments Regulation, Department of the Treasury, But the issues the Department indicated it would submitted, the Department has decided 1500 Pennsylvania Avenue NW, consider if allowed additional time, including the to delay the Independent Contractor FLSA’s purpose, the costs and benefits of the rule, Washington, DC 20220. and the clarity the rule does or does not provide, Rule’s effective date from March 8, The www.regulations.gov site will are among the types of issues referenced in the 2021, to May 7, 2021, as proposed. This accept comments until 11:59 p.m. memorandum. See OMB Memorandum M–21–14 delay will allow the Department Eastern Time on the comment due date. (directing agencies to consider in deciding whether additional time to review the multiple delay of a rule’s effective date is appropriate, among Received comments, including other things, whether ‘‘the rule reflected proper issues of law, policy, and fact that attachments and other supporting consideration of all relevant facts,’’ ‘‘the rule warrant additional review and materials, are part of the public record reflected due consideration of the agency’s statutory consideration in accordance with the and subject to public disclosure. Do not or other legal obligations,’’ ‘‘the rule is based on a Regulatory Freeze Memorandum before reasonable judgment about the legally relevant enclose any information in your policy considerations,’’ and ‘‘objections to the rule the Independent Contractor Rule goes comments or supporting materials that were adequately considered’’). into effect. you consider confidential or

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inappropriate for public disclosure. annual adjustment. The 2015 Act Guidance, the relevant inflation factor is Properly submitted comments will be provides that any increase in a CMP 2.15628 for the initial catch-up available for inspection and shall apply to CMPs that are assessed adjustment. Because application of the downloading at http:// after the date the increase takes effect, factor would result in an adjustment of www.regulations.gov. The Department regardless of whether the underlying greater than 150% for both 31 U.S.C. will consolidate all received comments violation predated such increase.1 3802(a) CMPs, the initial adjustment of and make them available without This rule also amends regulations that these penalties is limited to 150%. The change. Commenters are encouraged to provide civil penalties for false, relevant inflation factors for 2017 submit comments electronically via fictitious, or fraudulent claims or through 2021 are 1.01636 (2017), www.regulations.gov. written statements under the 1.02041 (2018), 1.02522 (2019), 1.01764 2 FOR FURTHER INFORMATION CONTACT: For Department’s Regulations Implementing (2020), and 1.01182 (2021). information regarding the Terrorism the Program Fraud Civil Remedies Act With respect to the $5,000 CMPs, Risk Insurance Program’s CMPs, contact of 1986, at 31 CFR part 16. Adjustments applying the initial 150% adjustment Richard Ifft, Senior Insurance to CMPs under that Part were would result in a maximum penalty Regulatory Policy Analyst, Federal inadvertently omitted from the amount of $7,500. Multiplying that Insurance Office, Room 1410 MT, Department’s initial catch-up amount by the 2017 factor of 1.01636 Department of the Treasury, 1500 adjustment and its subsequent annual and rounding to the nearest dollar Pennsylvania Avenue NW, Washington, adjustments. In particular, this rule would yield a maximum penalty DC 20220, at (202) 622–2922 (not a toll- adjusts for inflation the maximum amount of $7,623. Multiplying that free number), or Lindsey Baldwin, amount of the civil monetary penalties amount by the 2018 factor of 1.02041 Senior Insurance Regulatory Policy that may be assessed under 31 CFR part and rounding yields a maximum Analyst, Federal Insurance Office, at 16, and it updates the inflation penalty amount of $7,779. Multiplying (202) 622–3220 (not a toll free number). adjustments through 2021 in accordance that amount by the 2019 factor of Persons who have difficulty hearing or with instructions from the Office of 1.02522 and rounding yields a speaking may access these numbers via Management and Budget. maximum penalty amount of $7,975. TTY by calling the toll-free Federal Treasury is currently authorized to Multiplying that amount by the 2020 Relay Service at (800) 877–8339. impose CMPs against persons who make factor of 1.01764 and rounding yields a For information regarding the false, fictitious, or fraudulent claims or maximum penalty amount of $8,116. Treasury-wide CMPs, contact Richard who make false, fictitious, or fraudulent Finally, applying the 2021 factor of Dodson, Senior Counsel, General Law, written statements, pursuant to 31 1.01182 to that amount results in an Ethics, and Regulation, 202–622–9949. U.S.C. 3802(a). The maximum CMPs adjusted maximum penalty of $8,212. SUPPLEMENTARY INFORMATION: under this statute were established on Procedural Matters October 21, 1986, and they have not I. Background been adjusted. The maximum CMPs 1. Administrative Procedure Act In order to improve the effectiveness established were $5,000 for each The Federal Civil Penalties Inflation of CMPs and to maintain their deterrent qualifying false claim or false written Adjustment Act Improvements Act of effect, the Federal Civil Penalties statement. 2015 (Section 701(b)) requires agencies Inflation Adjustment Act of 1990, 28 II. Method of Calculation to make annual adjustments for inflation U.S.C. 2461 note (‘‘the Inflation to CMPs, without needing to provide Adjustment Act’’), as amended by the The method of calculating CMP notice and the opportunity for public Federal Civil Penalties Inflation adjustments applied in this final rule is comment and a delayed effective date Adjustment Act Improvements Act of required by the 2015 Act. Under the required by 5 U.S.C. 553. Additionally, 2015 (Pub. L. 114–74) (‘‘the 2015 Act’’), 2015 Act and the Office of Management the methodology used for adjusting requires Federal agencies to adjust each and Budget guidance required by the CMPs for inflation is provided by CMP provided by law within the 2015 Act, annual inflation adjustments statute, with no discretion provided to jurisdiction of the agency. The 2015 Act subsequent to the initial catch-up agencies regarding the substance of the requires agencies to adjust the level of adjustment are to be based on the adjustments for inflation to CMPs. The CMPs with an initial ‘‘catch-up’’ percent change between the Consumer Department is charged only with adjustment through an interim final Price Index for all Urban Consumers performing ministerial computations to rulemaking and to make subsequent (‘‘CPI–U’’) for the October preceding the determine the dollar amount of annual adjustments for inflation, date of the adjustment and the prior adjustments for inflation to CMPs. without needing to provide notice and year’s October CPI–U. As set forth in Accordingly, prior public notice, an the opportunity for public comment Office of Management and Budget opportunity for public comment, and a required by 5 U.S.C. 553. The Memorandum M–21–10 of December delayed effective date are not required Department’s initial catch-up 23, 2020, the adjustment multiplier for for this rule, with the exception of the adjustment interim final rules were 2021 is 1.01182. In order to complete initial catch-up adjustment to 31 CFR published on December 7, 2016 the 2021 annual adjustment, each part 16. (Departmental Offices) (81 FR 88600), current CMP is multiplied by the 2021 2. Regulatory Flexibility Act and for 31 CFR part 27, on February 11, adjustment multiplier. Under the 2015 2019 (84 FR 3105). The Department’s Act, any increase in CMP must be Because no notice of proposed 2018 annual adjustment was published rounded to the nearest multiple of $1. rulemaking is required, the provisions on March 19, 2018 (83 FR 11876), the With regard to the CMPs authorized of the Regulatory Flexibility Act (5 Department’s 2019 annual adjustment by 31 U.S.C. 3802(a), adjustments had to U.S.C. 601 et seq.) do not apply. was published on April 17, 2019 (84 FR be made back to 2016. Pursuant to OMB 15955), and the Department’s 2020 2 OMB Memoranda regarding the initial catch-up 1 However, the increased CMPs apply only with and yearly inflation adjustments include M–16–06 annual adjustment was published on respect to underlying violations occurring after the (Feb. 24, 2016), M–17–11 (Dec. 16, 2016), M–18–03 February 21, 2020 (85 FR 10063). This date of enactment of the 2015 Act, i.e., after (Dec. 15, 2017), M–19–04 (Dec. 14, 2018), M–20– rule constitutes the Department’s 2021 November 2, 2015. 05 (Dec. 16, 2019), and M–21–10 (Dec. 23, 2020).

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3. Executive Order 12866 (b) * * * (1) * * * DEPARTMENT OF HOMELAND This rule is not a significant (ii) Includes or is accompanied by an SECURITY regulatory action as defined in section express certification or affirmation of 3.f of Executive Order 12866. the truthfulness and accuracy of the Coast Guard content of the statement, shall be 4. Paperwork Reduction Act subject, in addition to any other remedy 33 CFR Part 165 The provisions of the Paperwork that may be prescribed by law, to a civil Reduction Act of 1995, Public Law 104– penalty of not more than $8,212 for each [USCG–2021–0130] 13, 44 U.S.C. Chapter 35, and its such statement. implementing regulations, 5 CFR part * * * * * RIN 1625–AA00 1320, do not apply to this rule because there are no new or revised PART 27—CIVIL PENALTY Safety Zone; Atlantic Intracoastal recordkeeping or reporting ASSESSMENT FOR MISUSE OF Waterway, Horry County, SC requirements. DEPARTMENT OF THE TREASURY AGENCY: Coast Guard, Department of 5. Direct Final Procedures NAMES, SYMBOLS, ETC. Homeland Security (DHS). Treasury is issuing the amendments ■ 3. The authority citation for part 27 ACTION: Temporary final rule. to 31 CFR part 16 as a direct final rule. continues to read as follows: The effective date of this rule is May 3, 2021 without further notice, unless Authority: 31 U.S.C. 321, 333. SUMMARY: The Coast Guard is Treasury receives written adverse ■ establishing an emergency temporary 4. Amend § 27.3 by revising paragraph safety zone that includes all waters of comments before April 5, 2021. (c) to read as follows: If Treasury receives timely written the Waccamaw River from Enterprise adverse comments on the amendments § 27.3 Assessment of civil penalties. Landing at Atlantic Intracoastal to 31 CFR part 16, Treasury will * * * * * Waterway (AICW) statute mile 375 north to Fantasy Harbour Fixed Bridge withdraw the regulation before its (c) Civil Penalty. An assessing official at AICW statute mile 366. The safety effective date. may impose a civil penalty on any zone is needed to protect persons and person who violates the provisions of List of Subjects property during a period of high water paragraph (a) of this section. The in the area caused by heavy rainfall and 31 CFR Part 16 amount of a civil monetary penalty shall runoff. Vessels operating within the not exceed $8,212 for each and every Administrative Practice and zone shall proceed at speeds that do not use of any material in violation of Procedure, Claims, Fraud, Penalties. create a wake. Vessels that desire to paragraph (a), except that such penalty 31 CFR Part 27 transit this zone at speeds that create a shall not exceed $41,056 for each and wake, shall first seek authorization from Administrative Practice and every use if such use is in a broadcast the Captain of the Port (COTP) Procedure, Penalties. or telecast. Charleston. 31 CFR Part 50 * * * * * DATES: This rule is effective without Insurance, Terrorism. PART 50—TERRORISM RISK actual notice from March 4, 2021 Authority and Issuance INSURANCE PROGRAM through March 7, 2021. For the purposes of enforcement, actual notice For the reasons set forth in the ■ preamble, parts 16, 27, and 50 of title 31 5. The authority citation for part 50 is will be used from March 1, 2021 until of the Code of Federal Regulations are revised to read as follows: March 4, 2021. amended as follows: Authority: 5 U.S.C. 301; 31 U.S.C. 321; ADDRESSES: To view documents Title I, Pub. L. 107–297, 116 Stat. 2322, as mentioned in this preamble as being PART 16—REGULATIONS amended by Pub. L. 109–144, 119 Stat. 2660, Pub. L. 110–160, 121 Stat. 1839, Pub. L. 114– available in the docket, go to https:// IMPLEMENTING THE PROGRAM www.regulations.gov, type USCG–2021– FRAUD CIVIL REMEDIES ACT OF 1986 1, 129 Stat. 3, and Pub. L. 116–94, 133 Stat. 2534 (15 U.S.C. 6701 note); Pub. L. 114–74, 0130 in the ‘‘SEARCH’’ box and click ■ 1. The authority citation for part 16 129 Stat. 601, Title VII (28 U.S.C. 2461 note). ‘‘SEARCH.’’ Click on Open Docket Folder on the line associated with this continues to read as follows: ■ 6. Amend § 50.83 by revising rule. Authority: 31 U.S.C. 3801–3812. paragraph (a) to read as follows: FOR FURTHER INFORMATION CONTACT: If ■ 2. Effective May 3, 2021 amend § 16.3 § 50.83 Adjustment of civil monetary you have questions on this rule call or by revising paragraphs (a)(1)(iv) and penalty amount. email Lieutenant Chad Ray, Sector (b)(1)(ii) to read as follows: (a) Inflation Adjustment. Any penalty Charleston Office of Waterways § 16.3 Basis for civil penalties and under the Act and these regulations may Management, Coast Guard; telephone assessments. not exceed the greater of $1,436,220 (843) 740–3184, email Chad.L.Ray@ (a) * * * and, in the case of any failure to pay, uscg.mil. (1) * * * charge, collect or remit amounts in (iv) Is for payment for the provision accordance with the Act or these SUPPLEMENTARY INFORMATION: of property or services which the person regulations such amount in dispute. I. Table of Abbreviations has not provided as claimed, shall be * * * * * subject, in addition to any other remedy CFR Code of Federal Regulations that may be prescribed by law, to a civil John T. Norris, DHS Department of Homeland Security FR Federal Register Assistant Secretary for Management (Acting). penalty of not more than $8,212 for each NPRM Notice of proposed rulemaking such claim. [FR Doc. 2021–04377 Filed 3–3–21; 8:45 am] § Section * * * * * BILLING CODE 4810–AK–P U.S.C. United States Code

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II. Background Information and of the zone is intended to protect operated and are not dominant in their Regulatory History personnel, property, and the marine fields, and governmental jurisdictions The Coast Guard is issuing this environment throughout the duration of with populations of less than 50,000. temporary rule without prior notice and the high water event. Vessels operating The Coast Guard certifies under 5 U.S.C. 605(b) that this rule will not have a opportunity to comment pursuant to within the zone shall proceed at speeds that do not create a wake. Vessels that significant economic impact on a authority under section 4(a) of the desire to transit this zone at speeds that substantial number of small entities. Administrative Procedure Act (APA) (5 create a wake, shall first seek While some owners or operators of U.S.C. 553(b)). This provision authorization from the Captain of the vessels intending to transit the safety authorizes an agency to issue a rule Port (COTP) Charleston. zone may be small entities, for the without prior notice and opportunity to reasons stated in section V.A above, this comment when the agency for good V. Regulatory Analyses rule will not have a significant cause finds that those procedures are We developed this rule after economic impact on any vessel owner ‘‘impracticable, unnecessary, or contrary considering numerous statutes and or operator. to the public interest.’’ Under 5 U.S.C. Executive orders related to rulemaking. Under section 213(a) of the Small 553(b)(B), the Coast Guard finds that Below we summarize our analyses Business Regulatory Enforcement good cause exists for not publishing a based on a number of these statutes and Fairness Act of 1996 (Pub. L. 104–121), notice of proposed rulemaking (NPRM) Executive orders, and we discuss First we want to assist small entities in with respect to this rule because Amendment rights of protestors. understanding this rule. If the rule publishing an NPRM would be contrary A. Regulatory Planning and Review would affect your small business, to public interest due to waters organization, or governmental suddenly reaching dangerously high Executive Orders 12866 and 13563 jurisdiction and you have questions levels. Immediate action is needed to direct agencies to assess the costs and concerning its provisions or options for address safety hazards created by benefits of available regulatory compliance, please call or email the transiting vessels’ wake, which alternatives and, if regulation is person listed in the FOR FURTHER threatens persons and property in necessary, to select regulatory INFORMATION CONTACT section. flooded areas. It is impracticable to approaches that maximize net benefits. Small businesses may send comments publish an NPRM because we must Executive Order 13771 directs agencies on the actions of Federal employees establish this safety zone by March 1, to control regulatory costs through a who enforce, or otherwise determine 2021. budgeting process. This rule has not compliance with, Federal regulations to Under 5 U.S.C. 553(d)(3), the Coast been designated a ‘‘significant the Small Business and Agriculture Guard finds that good cause exists for regulatory action,’’ under Executive Regulatory Enforcement Ombudsman making this rule effective less than 30 Order 12866. Accordingly, this rule has and the Regional Small Business days after publication in the Federal not been reviewed by the Office of Regulatory Fairness Boards. The Register. Delaying the effective date of Management and Budget (OMB), and Ombudsman evaluates these actions this rule would be impracticable pursuant to OMB guidance it is exempt annually and rates each agency’s because immediate action is needed to from the requirements of Executive responsiveness to small business. If you respond to the potential safety hazards Order 13771. wish to comment on actions by associated with this emergent high This regulatory action determination employees of the Coast Guard, call water event. is based on the limited duration and 1–888–REG–FAIR (1–888–734–3247). scope of the safety zone. The safety zone III. Legal Authority and Need for Rule The Coast Guard will not retaliate will be enforced only so long as the against small entities that question or The Coast Guard is issuing this rule duration of the high water conditions, complain about this rule or any policy under authority in 46 U.S.C. 70034. The which makes it limited in duration. The or action of the Coast Guard. Captain of the Port Charleston (COTP) safety zone is limited in scope because has determined that potential hazards it only affects those areas immediately C. Collection of Information associated with the high water impacted by high water levels along This rule will not call for a new conditions are a safety concern for identified sections of the Atlantic collection of information under the persons and property in this area. Intracoastal Waterway. The safety is Paperwork Reduction Act of 1995 (44 Vessels that transit the zone create a limited in scope as it allows vessels to U.S.C. 3501–3520). wake that exacerbates the safety hazards enter the zone with the approval of the associated with dangerously high water COTP so long as the vessel transits the D. Federalism and Indian Tribal levels created by recent heavy rainfall zone at speeds that do not create a wake. Governments and unexpected increases in runoff. The Coast Guard will provide actual A rule has implications for federalism This rule is needed to protect personnel notification of the zone by on-scene under Executive Order 13132, and property throughout the duration of designated representatives and Federalism, if it has a substantial direct the high water conditions. broadcast notice to mariners via VHF– effect on the States, on the relationship between the National Government and IV. Discussion of the Rule FM marine channel 16, and a marine safety information bulletin. the States, or on the distribution of This rule establishes a safety zone power and responsibilities among the from March 1, 2021 through March 7, B. Impact on Small Entities various levels of government. We have 2021, or until the high water conditions The Regulatory Flexibility Act of analyzed this rule under that order and subside, whichever occurs first. The 1980, 5 U.S.C. 601–612, as amended, have determined that it is consistent safety zone will cover all waters of the requires Federal agencies to consider with the fundamental federalism Waccamaw River from Enterprise the potential impact of regulations on principles and preemption requirements Landing at Atlantic Intracoastal small entities during rulemaking. The described in Executive Order 13132. Waterway (AICW) statute mile 375 term ‘‘small entities’’ comprises small Also, this rule does not have tribal north to Fantasy Harbour Fixed Bridge businesses, not-for-profit organizations implications under Executive Order at AICW statute mile 366. The duration that are independently owned and 13175, Consultation and Coordination

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with Indian Tribal Governments, PART 165—REGULATED NAVIGATION Dated: March 1, 2021. because it does not have a substantial AREAS AND LIMITED ACCESS AREAS J.D. Cole, direct effect on one or more Indian Captain, U.S. Coast Guard, Captain of the tribes, on the relationship between the ■ 1. The authority citation for part 165 Port Charleston. Federal Government and Indian tribes, continues to read as follows: [FR Doc. 2021–04475 Filed 3–3–21; 8:45 am] or on the distribution of power and BILLING CODE 9110–04–P responsibilities between the Federal Authority: 46 U.S.C. 70034, 70051; 33 CFR Government and Indian tribes. 1.05–1, 6.04–1, 6.04–6, and 160.5; Department of Homeland Security Delegation DEPARTMENT OF HOMELAND E. Unfunded Mandates Reform Act No. 0170.1. SECURITY The Unfunded Mandates Reform Act ■ 2. Add § 165.T07–0130 to read as Coast Guard of 1995 (2 U.S.C. 1531–1538) requires follows: Federal agencies to assess the effects of their discretionary regulatory actions. In § 165.T07–0130 Safety Zone; Atlantic 33 CFR Part 165 particular, the Act addresses actions Intracoastal Waterway; Horry County, SC. that may result in the expenditure by a [Docket Number USCG–2021–0071] (a) Location. All waters of the State, local, or tribal government, in the Waccamaw River from Enterprise aggregate, or by the private sector of RIN 1625–AA00 Landing at Atlantic Intracoastal $100,000,000 (adjusted for inflation) or Waterway (AICW) statute mile 375 more in any one year. Though this rule Safety Zone; Lower Mississippi River, north to Fantasy Harbour Fixed Bridge will not result in such an expenditure, Mile Marker 368 Through 370, Natchez, we do discuss the effects of this rule at AICW statute mile 366. MS (b) Definition. The term ‘‘designated elsewhere in this preamble. AGENCY: Coast Guard, DHS. representative’’ means Coast Guard ACTION: F. Environment Patrol Commanders, including Coast Temporary final rule. We have analyzed this rule under Guard coxswains, petty officers, and SUMMARY: The Coast Guard is Department of Homeland Security other officers operating Coast Guard establishing a temporary safety zone for Directive 023–01, Rev. 1, associated vessels, and Federal, state, and local all navigable waters of the Lower implementing instructions, and officers designated by or assisting the Mississippi River (LMR), Mile Marker Environmental Planning COMDTINST Captain of the Port (COTP) Charleston 368 through 370. The safety zone is 5090.1 (series), which guide the Coast in the enforcement of the regulated needed to protect persons, property, and Guard in complying with the National areas. the marine environment from the Environmental Policy Act of 1969 (42 (c) Regulations. (1) All vessels are potential safety hazards associated with U.S.C. 4321–4370f), and have prohibited from entering, transiting line pulling operations in the vicinity of determined that this action is one of a through, anchoring in, or remaining the Natchez, MS. Entry of persons or category of actions that do not within the regulated area unless vessels into this zone is prohibited individually or cumulatively have a authorized by the COTP Charleston or a unless authorized by the Captain of the significant effect on the human designated representative. Port Sector Lower Mississippi River or environment. This rule involves a safety a designated representative. zone lasting only throughout the high (2) Persons or vessels desiring to enter, transit through, or remain within DATES: This rule is effective without water conditions and will only restrict actual notice from March 4, 2021 until the speed at which vessels transit the 11 the regulated area must proceed at speeds that do not create a wake. March 15, 2021. For the purposes of mile section of the Atlantic Intracoastal enforcement, actual notice will be used Waterway. It is categorically excluded (3) Vessels that desire to transit this from March 1, 2021 until March 4, 2021. from further review under paragraph zone at speeds that create a wake, shall L60a of Appendix A, Table 1 of DHS ADDRESSES: To view documents first seek authorization from the COTP mentioned in this preamble as being Instruction Manual 023–01–001–01, Charleston. The COTP Charleston, or a Rev. 1. available in the docket, go to https:// designated representative, can be www.regulations.gov, type USCG–2021– G. Protest Activities contacted via telephone at 843–740– 0071 in the ‘‘SEARCH’’ box and click 7050, or via VHF radio on channel 16, ‘‘SEARCH.’’ Click on Open Docket The Coast Guard respects the First to request authorization. If authorization Amendment rights of protesters. Folder on the line associated with this is granted, all persons and vessels rule. Protesters are asked to call or email the receiving such authorization must person listed in the FOR FURTHER FOR FURTHER INFORMATION CONTACT: If comply with the instructions of the you have questions on this rule, call or INFORMATION CONTACT section to COTP Charleston or a designated coordinate protest activities so that your email MSTC Lindsey Swindle, U.S. representative. message can be received without Coast Guard; telephone 901–521–4813, jeopardizing the safety or security of (4) The Coast Guard will provide email [email protected]. people, places or vessels. actual notice of the zone by on-scene SUPPLEMENTARY INFORMATION: designated representatives and List of Subjects in 33 CFR Part 165 broadcast notice to mariners via VHF– I. Table of Abbreviations Harbors, Marine safety, Navigation FM marine channel 16, and a marine CFR Code of Federal Regulations (water), Reporting and recordkeeping safety information bulletin. COTP Captain of the Port Sector Lower requirements, Security measures, (d) Enforcement period. This section Mississippi River Waterways. DHS Department of Homeland Security will be enforced from March 1, 2021 FR Federal Register For the reasons discussed in the through March 7, 2021, or until the NPRM Notice of proposed rulemaking preamble, the Coast Guard amends 33 conclusion of the high water conditions, § Section CFR part 165 as follows: whichever occurs first. U.S.C. United States Code

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II. Background Information and this safety zone is intended to ensure B. Impact on Small Entities Regulatory History the safety of waterway users on these The Regulatory Flexibility Act of The Coast Guard is issuing this navigable waters during USACE 1980, 5 U.S.C. 601–612, as amended, temporary rule without prior notice and operations. requires Federal agencies to consider opportunity to comment pursuant to Entry of persons or vessels into this the potential impact of regulations on authority under section 4(a) of the safety zone is prohibited unless small entities during rulemaking. The Administrative Procedure Act (APA) (5 authorized by the COTP or a designated term ‘‘small entities’’ comprises small U.S.C. 553(b)). This provision representative. A designated businesses, not-for-profit organizations authorizes an agency to issue a rule representative is a commissioned, that are independently owned and without prior notice and opportunity to warrant, or petty officer of the U.S. operated and are not dominant in their comment when the agency for good Coast Guard assigned to units under the fields, and governmental jurisdictions cause finds that those procedures are operational control of USCG Sector with populations of less than 50,000. ‘‘impracticable, unnecessary, or contrary Lower Mississippi River. Persons or The Coast Guard certifies under 5 U.S.C. to the public interest.’’ Under 5 U.S.C. vessels seeking to enter the safety zones 605(b) that this rule will not have a 553(b)(B), the Coast Guard finds that must request permission from the COTP significant economic impact on a good cause exists for not publishing a or a designated representative on VHF– substantial number of small entities. notice of proposed rulemaking (NPRM) FM channel 16 or by telephone at 901– While some owners or operators of with respect to this rule because it is 521–4822. If permission is granted, all vessels intending to transit the impracticable. Immediate action is persons and vessels shall comply with temporary safety zone may be small needed to protect persons and property the instructions of the COTP or entities, for the reasons stated in section from the potential safety hazards designated representative. The COTP or V.A above, this rule will not have a associated with line pulling operations. a designated representative will inform significant economic impact on any The NPRM process would delay the the public of the enforcement times and vessel owner or operator. establishment of the safety zone until date for this safety zone through Under section 213(a) of the Small after the date of the event and Broadcast Notices to Mariners (BNMs), Business Regulatory Enforcement compromise public safety. We must Local Notices to Mariners (LNMs), and/ Fairness Act of 1996 (Pub. L. 104–121), establish this temporary safety zone or Marine Safety Information Bulletins we want to assist small entities in immediately and lack sufficient time to (MSIBs), as appropriate. understanding this rule. If the rule provide a reasonable comment period would affect your small business, and then consider those comments V. Regulatory Analyses organization, or governmental before issuing the rule. jurisdiction and you have questions Under 5 U.S.C. 553(d)(3), the Coast We developed this rule after concerning its provisions or options for Guard finds that good cause exists for considering numerous statutes and compliance, please call or email the making this rule effective less than 30 Executive orders related to rulemaking. person listed in the FOR FURTHER days after publication in the Federal Below we summarize our analyses INFORMATION CONTACT section. Register. Delaying the effective date of based on a number of these statutes and Small businesses may send comments this rule would be contrary to the public Executive orders, and we discuss First on the actions of Federal employees interest because immediate action is Amendment rights of protestors. who enforce, or otherwise determine needed to respond to the potential A. Regulatory Planning and Review compliance with, Federal regulations to safety hazards associated with the line the Small Business and Agriculture pulling operations in the vicinity of Executive Orders 12866 and 13563 Regulatory Enforcement Ombudsman Natchez, MS. direct agencies to assess the costs and and the Regional Small Business Regulatory Fairness Boards. The III. Legal Authority and Need for Rule benefits of available regulatory alternatives and, if regulation is Ombudsman evaluates these actions The Coast Guard is issuing this rule necessary, to select regulatory annually and rates each agency’s under authority in 46 U.S.C. 70034 approaches that maximize net benefits. responsiveness to small business. If you (previously 33 U.S.C. 1231). The This rule has not been designated a wish to comment on actions by Captain of the Port Sector Lower ‘‘significant regulatory action,’’ under employees of the Coast Guard, call Mississippi River (COTP) has Executive Order 12866. Accordingly, 1–888–REG–FAIR (1–888–734–3247). determined that potential hazards this rule has not been reviewed by the The Coast Guard will not retaliate associated with the line pulling Office of Management and Budget against small entities that question or operations, would be a safety concern (OMB). complain about this rule or any policy for all persons and vessels on the Lower or action of the Coast Guard. Mississippi River between MM 368 and This regulatory action determination MM 370 in the vicinity of Natchez, MS. is based on the size, location, and C. Collection of Information This rule is needed to protect persons, duration of the safety zone. This This rule will not call for a new property, infrastructure, and the marine emergency safety zone will temporarily collection of information under the environment in all waters of the LMR restrict navigation on the LMR at MM Paperwork Reduction Act of 1995 (44 within the safety zone while line 368 through 370 in the vicinity of U.S.C. 3501–3520). pulling operations are being conducted. Natchez, MS., from March 1, 2021 through March 15, 2021. Moreover, The D. Federalism and Indian Tribal IV. Discussion of the Rule Coast Guard will issue Broadcast Governments This rule establishes a temporary Notices to Mariners (BNMs), Local A rule has implications for federalism safety zone from March 1, 2021 through Notices to Mariners (LNMs), and/or under Executive Order 13132, March 15, 2021. The safety zone will Marine Safety Information Bulletins Federalism, if it has a substantial direct cover all navigable waters of the LMR (MSIBs), as appropriate. The rule allows effect on the States, on the relationship from MM 368 through MM 370 in the vessels to seek permission to enter the between the National Government and vicinity of Natchez, MS. The duration of zone. the States, or on the distribution of

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power and responsibilities among the Protesters are asked to call or email the Dated: February 26, 2021. various levels of government. We have person listed in the FOR FURTHER R.S. Rhodes, analyzed this rule under that Order and INFORMATION CONTACT section to Captain, U.S. Coast Guard, Captain of the have determined that it is consistent coordinate protest activities so that your Port Sector Lower Mississippi River. with the fundamental federalism message can be received without [FR Doc. 2021–04451 Filed 3–3–21; 8:45 am] principles and preemption requirements jeopardizing the safety or security of BILLING CODE P described in Executive Order 13132. people, places or vessels. Also, this rule does not have tribal List of Subjects in 33 CFR Part 165 implications under Executive Order DEPARTMENT OF HOMELAND 13175, Consultation and Coordination Harbors, Marine safety, Navigation SECURITY with Indian Tribal Governments, (water), Reporting and recordkeeping because it does not have a substantial requirements, Security measures, Coast Guard direct effect on one or more Indian Waterways. tribes, on the relationship between the For the reasons discussed in the 33 CFR Part 165 Federal Government and Indian tribes, preamble, the Coast Guard amends 33 or on the distribution of power and CFR part 165 as follows: [Docket Number USCG–2021–0125] responsibilities between the Federal Government and Indian tribes. PART 165—REGULATED NAVIGATION RIN 1625–AA00 AREAS AND LIMITED ACCESS AREAS E. Unfunded Mandates Reform Act Safety Zone; Red River, Mile Marker 59, The Unfunded Mandates Reform Act ■ 1. The authority citation for part 165 Moncla, LA of 1995 (2 U.S.C. 1531–1538) requires continues to read as follows: AGENCY: Coast Guard, Department of Federal agencies to assess the effects of Authority: 46 U.S.C. 70034, 70051; 33 CFR Homeland Security (DHS). their discretionary regulatory actions. In 1.05–1, 6.04–1, 6.04–6, and 160.5; particular, the Act addresses actions Department of Homeland Security Delegation ACTION: Temporary final rule. No. 0170.1. that may result in the expenditure by a SUMMARY: The Coast Guard is State, local, or tribal government, in the ■ 2. Add § 165.T08–0071 to read as establishing a temporary safety zone for aggregate, or by the private sector of follows: all navigable waters of the Red River $100,000,000 (adjusted for inflation) or § 165.T08–0071 Safety Zone; Lower (RR), Mile Marker 58 through 60. The more in any one year. Though this rule safety zone is needed to protect persons, will not result in such an expenditure, Mississippi River, Mile Marker 368 through 370, Natchez, MS. property, and the marine environment we do discuss the effects of this rule from the potential safety hazards elsewhere in this preamble. (a) Location. The following area is a safety zone: All navigable waters of the associated with line pulling operations F. Environment Lower Mississippi River at Mile Marker in the vicinity of Moncla, LA. Entry of We have analyzed this rule under (MM) 368 through 370 in the vicinity of persons or vessels into this zone is Department of Homeland Security Natchez, MS. prohibited unless authorized by the Directive 023–01, Rev. 1, associated (b) Regulations. (1) Under the general Captain of the Port Sector Lower implementing instructions, and safety zone regulations in subpart C of Mississippi River or a designated Environmental Planning COMDTINST this part, you may not enter the safety representative. 5090.1 (series), which guide the Coast zone described in paragraph (a) of this DATES: This rule is effective without Guard in complying with the National section unless authorized by the Captain actual notice from March 4, 2021 until Environmental Policy Act of 1969(42 of the Port Sector Lower Mississippi March 10, 2021. For the purposes of U.S.C. 4321–4370f), and have River (COTP) or the COTP’s designated enforcement, actual notice will be used determined that this action is one of a representative. A designated from March 3, 2021 until March 4, 2021. category of actions that do not representative is a commissioned, ADDRESSES: To view documents individually or cumulatively have a warrant, or petty officer of the U.S. mentioned in this preamble as being significant effect on the human Coast Guard assigned to units under the available in the docket, go to https:// environment. This rule involves a operational control of USCG Sector www.regulations.gov, type USCG–2021– temporary safety zone on the LMR at Lower Mississippi River. 0125 in the ‘‘SEARCH’’ box and click MM 368 through 370 in the vicinity of (2) To seek permission to enter, ‘‘SEARCH.’’ Click on Open Docket Natchez, MS, that will prohibit entry contact the COTP or the COTP’s Folder on the line associated with this into this zone. The safety zone will only representative via VHF–FM channel 16 rule. or by telephone at 901–521–4822. Those be enforced while operations preclude FOR FURTHER INFORMATION CONTACT: If in the safety zone must comply with all the safe navigation of the established you have questions on this rule, call or lawful orders or directions given to channel. It is categorically excluded email MSTC Lindsey Swindle, U.S. them by the COTP or the COTP’s from further review under paragraph Coast Guard; telephone 901–521–4813, designated representative. L60(a) of Appendix A, Table 1 of DHS email [email protected]. Instruction Manual 023–01–001–01, (c) Effective period. This section is Rev. 1. A Record of Environmental effective from March 1, 2021, until SUPPLEMENTARY INFORMATION: Consideration supporting this March 15, 2021. I. Table of Abbreviations determination is available in the docket. (d) Information broadcasts. The COTP CFR Code of Federal Regulations For instructions on locating the docket, or a designated representative will inform the public of the enforcement COTP Captain of the Port Sector Lower see the ADDRESSES section of this Mississippi River preamble. times and date for this safety zone DHS Department of Homeland Security through Broadcast Notices to Mariners, G. Protest Activities FR Federal Register Local Notices to Mariners, and/or Safety NPRM Notice of proposed rulemaking The Coast Guard respects the First Marine Information Broadcasts, as § Section Amendment rights of protesters. appropriate. U.S.C. United States Code

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II. Background Information and this safety zone is intended to ensure requires Federal agencies to consider Regulatory History the safety of waterway users on these the potential impact of regulations on The Coast Guard is issuing this navigable waters during line pulling small entities during rulemaking. The temporary rule without prior notice and operations. term ‘‘small entities’’ comprises small Entry of persons or vessels into this businesses, not-for-profit organizations opportunity to comment pursuant to safety zone is prohibited unless that are independently owned and authority under section 4(a) of the authorized by the COTP or a designated operated and are not dominant in their Administrative Procedure Act (APA) (5 representative. A designated fields, and governmental jurisdictions U.S.C. 553(b)). This provision representative is a commissioned, with populations of less than 50,000. authorizes an agency to issue a rule warrant, or petty officer of the U.S. The Coast Guard certifies under 5 U.S.C. without prior notice and opportunity to Coast Guard assigned to units under the 605(b) that this rule will not have a comment when the agency for good operational control of USCG Sector significant economic impact on a cause finds that those procedures are Lower Mississippi River. Persons or substantial number of small entities. ‘‘impracticable, unnecessary, or contrary vessels seeking to enter the safety zones While some owners or operators of to the public interest.’’ Under 5 U.S.C. must request permission from the COTP vessels intending to transit the 553(b)(B), the Coast Guard finds that or a designated representative on VHF– temporary safety zone may be small good cause exists for not publishing a FM channel 16 or by telephone at 901– entities, for the reasons stated in section notice of proposed rulemaking (NPRM) 521–4822. If permission is granted, all V.A above, this rule will not have a with respect to this rule because it is persons and vessels shall comply with significant economic impact on any impracticable. Immediate action is the instructions of the COTP or vessel owner or operator. needed to protect persons and property designated representative. The COTP or Under section 213(a) of the Small from the potential safety hazards a designated representative will inform Business Regulatory Enforcement associated with line pulling operations. the public of the enforcement times and Fairness Act of 1996 (Pub. L. 104–121), The NPRM process would delay the date for this safety zone through we want to assist small entities in establishment of the safety zone until Broadcast Notices to Mariners (BNMs), understanding this rule. If the rule after the date of the event and Local Notices to Mariners (LNMs), and/ would affect your small business, compromise public safety. We must or Marine Safety Information Bulletins organization, or governmental establish this temporary safety zone (MSIBs), as appropriate. jurisdiction and you have questions immediately and lack sufficient time to concerning its provisions or options for provide a reasonable comment period V. Regulatory Analyses compliance, please call or email the and then consider those comments We developed this rule after person listed in the FOR FURTHER before issuing the rule. considering numerous statutes and INFORMATION CONTACT section. Under 5 U.S.C. 553(d)(3), the Coast Executive orders related to rulemaking. Small businesses may send comments Guard finds that good cause exists for Below we summarize our analyses on the actions of Federal employees making this rule effective less than 30 based on a number of these statutes and who enforce, or otherwise determine days after publication in the Federal Executive orders, and we discuss First compliance with, Federal regulations to Register. Delaying the effective date of Amendment rights of protestors. the Small Business and Agriculture this rule would be contrary to the public Regulatory Enforcement Ombudsman interest because immediate action is A. Regulatory Planning and Review and the Regional Small Business needed to respond to the potential Executive Orders 12866 and 13563 Regulatory Fairness Boards. The safety hazards associated with the line direct agencies to assess the costs and Ombudsman evaluates these actions pulling operations in the vicinity of benefits of available regulatory annually and rates each agency’s Moncla, LA. alternatives and, if regulation is responsiveness to small business. If you III. Legal Authority and Need for Rule necessary, to select regulatory wish to comment on actions by approaches that maximize net benefits. employees of the Coast Guard, call The Coast Guard is issuing this rule This rule has not been designated a 1–888–REG–FAIR (1–888–734–3247). under authority in 46 U.S.C. 70034 ‘‘significant regulatory action,’’ under The Coast Guard will not retaliate (previously 33 U.S.C. 1231). The Executive Order 12866. Accordingly, against small entities that question or Captain of the Port Sector Lower this rule has not been reviewed by the complain about this rule or any policy Mississippi River (COTP) has Office of Management and Budget or action of the Coast Guard. determined that potential hazards (OMB). associated with the line pulling This regulatory action determination C. Collection of Information operations, would be a safety concern is based on the size, location, and This rule will not call for a new for all persons and vessels on the Red duration of the safety zone. This collection of information under the River between MM 58 and MM 60 in the emergency safety zone will temporarily Paperwork Reduction Act of 1995 (44 vicinity of Moncla, LA. This rule is restrict navigation on the RR at MM 58 U.S.C. 3501–3520). needed to protect persons, property, through 60 in the vicinity of Moncla, D. Federalism and Indian Tribal infrastructure, and the marine LA, from March 3, 2021 through March Governments environment in all waters of the RR 10, 2021. Moreover, The Coast Guard within the safety zone while line will issue Broadcast Notices to Mariners A rule has implications for federalism pulling operations are being conducted. (BNMs), Local Notices to Mariners under Executive Order 13132, Federalism, if it has a substantial direct IV. Discussion of the Rule (LNMs), and/or Marine Safety Information Bulletins (MSIBs), as effect on the States, on the relationship This rule establishes a temporary appropriate. The rule allows vessels to between the National Government and safety zone from March 3, 2021 through seek permission to enter the zone. the States, or on the distribution of March 10, 2021. The safety zone will power and responsibilities among the cover all navigable waters of the RR B. Impact on Small Entities various levels of government. We have from MM 58 through MM 60 in the The Regulatory Flexibility Act of analyzed this rule under that order and vicinity of Moncla, LA. The duration of 1980, 5 U.S.C. 601–612, as amended, have determined that it is consistent

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with the fundamental federalism message can be received without Dated: February 26, 2021. principles and preemption requirements jeopardizing the safety or security of R.S. Rhodes, described in Executive Order 13132. people, places or vessels. Captain, U.S. Coast Guard, Captain of the Also, this rule does not have tribal Port Sector Lower Mississippi River. List of Subjects in 33 CFR Part 165 implications under Executive Order [FR Doc. 2021–04471 Filed 3–3–21; 8:45 am] 13175, Consultation and Coordination Harbors, Marine safety, Navigation BILLING CODE 9110–04–P with Indian Tribal Governments, (water), Reporting and recordkeeping because it does not have a substantial direct effect on one or more Indian requirements, Security measures, tribes, on the relationship between the Waterways. FEDERAL COMMUNICATIONS Federal Government and Indian tribes, For the reasons discussed in the COMMISSION or on the distribution of power and preamble, the Coast Guard amends 33 47 CFR Parts 0 and 1 responsibilities between the Federal CFR part 165 as follows: Government and Indian tribes. [GN Docket No. 21–16; FCC 21–17; FRS E. Unfunded Mandates Reform Act PART 165—REGULATED NAVIGATION 17471] AREAS AND LIMITED ACCESS AREAS The Unfunded Mandates Reform Act Delegations of Authority To Act on of 1995 (2 U.S.C. 1531–1538) requires ■ 1. The authority citation for part 165 Applications for Review Federal agencies to assess the effects of continues to read as follows: their discretionary regulatory actions. In AGENCY: Federal Communications particular, the Act addresses actions Authority: 46 U.S.C. 70034, 70051; 33 CFR Commission. 1.05–1, 6.04–1, 6.04–6, and 160.5; that may result in the expenditure by a ACTION: Final rule. State, local, or tribal government, in the Department of Homeland Security Delegation aggregate, or by the private sector of No. 0170.1. SUMMARY: In this document, the Federal $100,000,000 (adjusted for inflation) or Communications Commission ■ 2. Add § 165.T08–0125 to read as more in any one year. Though this rule (Commission) amends its organizational will not result in such an expenditure, follows: rules to codify a uniformly applicable we do discuss the effects of this rule § 165.T08–0125 Safety Zone; Red River, standard for the exercise of delegated elsewhere in this preamble. Mile Marker 59, Moncla, LA. authority by staff Bureaus and Offices to dismiss procedurally defective F. Environment (a) Location. The following area is a Applications for Review. Bureaus and We have analyzed this rule under safety zone: All navigable waters of the Offices will have clear authority to Department of Homeland Security Red River at Mile Marker (MM) 58 dismiss such applications that do not Directive 023–01, Rev. 1, associated through 60 in the vicinity of Moncla, comply with procedural requirements. LA. implementing instructions, and DATES: Effective April 5, 2021. Environmental Planning COMDTINST (b) Regulations. (1) Under the general 5090.1 (series), which guide the Coast FOR FURTHER INFORMATION CONTACT: safety zone regulations in subpart C of David Konczal, Office of General Guard in complying with the National this part, you may not enter the safety Environmental Policy Act of 1969 (42 Counsel, at [email protected] or zone described in paragraph (a) of this (202) 418–1700. U.S.C. 4321–4370f), and have section unless authorized by the Captain determined that this action is one of a SUPPLEMENTARY INFORMATION: This is a of the Port Sector Lower Mississippi summary of the Commission’s Order in category of actions that do not River (COTP) or the COTP’s designated individually or cumulatively have a GN Docket No. 21–16; FCC 21–17, representative. A designated adopted on January 13, 2021, and significant effect on the human representative is a commissioned, environment. This rule involves a released on January 14, 2021. The warrant, or petty officer of the U.S. temporary safety zone on the RR at MM complete text of this document can be Coast Guard assigned to units under the 58 through 60 in the vicinity of Moncla, located on the FCC website at https:// operational control of USCG Sector LA, that will prohibit entry into this docs.fcc.gov/public/attachments/FCC- Lower Mississippi River. zone. The safety zone will only be 21-17A1.pdf. (2) To seek permission to enter, enforced while operations preclude the Synopsis safe navigation of the established contact the COTP or the COTP’s channel. It is categorically excluded representative via VHF–FM channel 16 1. By this Order, we amend parts 0 from further review under paragraph or by telephone at 901–521–4822. Those and 1 of the Commission’s rules to L60(a) of Appendix A, Table 1 of DHS in the safety zone must comply with all codify a uniformly applicable standard Instruction Manual 023–01–001–01, lawful orders or directions given to for the exercise of delegated authority Rev. 1. A Record of Environmental them by the COTP or the COTP’s by various Bureaus and Offices to Consideration supporting this designated representative. dismiss Applications for Review that do not comply with the procedural determination is available in the docket. (c) Eforcement period. This section For instructions on locating the docket, requirements of 47 CFR 1.115(a), (b), (d), will be enforced from March 3, 2021 or (f). Our current rules delegating see the ADDRESSES section of this until March 10, 2021. preamble. authority to the various Bureaus and (d) Information broadcasts. The COTP Offices are inconsistent on this issue. G. Protest Activities or a designated representative will The rules delegating authority to certain The Coast Guard respects the First inform the public of the enforcement Bureaus and Offices provide them with Amendment rights of protesters. times and date for this safety zone authority to dismiss procedurally Protesters are asked to call or email the through Broadcast Notices to Mariners, defective Applications for Review.1 The person listed in the FOR FURTHER Local Notices to Mariners, and/or Safety rules delegating authority to the other INFORMATION CONTACT section to Marine Information Broadcasts, as coordinate protest activities so that your appropriate. 1 See 47 CFR 0.271(c), 0.331(c), 0.261(b)(3).

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Bureaus and Offices do not expressly Law/RAY BAUM’S Act proceeding.5 Federal Communications Commission. provide this authority.2 Therefore, we amend § 0.392(j) to Marlene Dortch, 2. To remove this inconsistency, we replace the references to ‘‘part 12’’ with Secretary. ‘‘part 9.’’ hereby amend our rules to delegate Final Rules authority to various Bureaus and Offices 6. No Notice and Comment Required. to dismiss any Application for Review We have determined that the changes For the reasons discussed in the that does not contain any statement we adopt here are rules of agency preamble, the Federal Communications required under 47 CFR 1.115(a) or (b),3 organization, procedure, or practice, and Commission amends 47 CFR parts 0 and or does not comply with the filing are therefore exempt from the notice 1 as follows: requirements of 47 CFR 1.115(d) or (f). and comment requirements of the We conclude that this action will Administrative Procedure Act, 5 U.S.C. PART 0—COMMISSION eliminate confusion on this issue for the 553(b)(A). ORGANIZATION benefit of parties seeking Commission 7. Regulatory Flexibility Act, ■ 1. The authority citation for part 0 review of staff actions and parties Paperwork Reduction Act, and continues to read as follows: opposing such challenges. In addition, Congressional Review Act. Section 603 this action will aid in the expeditious of the Regulatory Flexibility Act, as Authority: 47 U.S.C. 151, 154(i), 154(j), dismissal of procedurally defective amended, 5 U.S.C. 603(a), requires a 155, 225, and 409, unless otherwise noted. Applications for Review. These regulatory flexibility analysis in notice ■ 2. Amend § 0.91 by revising paragraph amendments to the rules will apply to and comment rulemaking proceedings. (m) to read as follows: all Applications for Review filed on or As we are adopting these rules without after the effective date of the notice and comment, no regulatory § 0.91 Functions of the Bureau. amendments set forth below. flexibility analysis is required. This * * * * * 3. We also take this opportunity to document does not contain any new or (m) Carry out the functions of the correct a typographical error in the rules modified information collection(s) Commission under the Communications describing the functions of the Wireline subject to the Paperwork Reduction Act Act of 1934, as amended, except as Competition Bureau. As codified, of 1995, 44 U.S.C. 3501–3520. In reserved to the Commission under § 0.91(m) specifies that one of the addition, therefore, it does not contain § 0.291. functions of the Wireline Competition any new or modified ‘‘information * * * * * Bureau is to ‘‘[c]arry out the functions collection burden for small business ■ 3. Amend § 0.212 by revising of the Commission under the concerns with fewer than 25 paragraph (b)(3) to read as follows: Communications Act of 1934, as employees,’’ pursuant to the Small amended, except as reserved to the Business Paperwork Relief Act of 2002, § 0.212 Board of Commissioners. Commission under § 0.331.’’ 4 The 44 U.S.C. 3506(c)(4). The Commission * * * * * reference to § 0.331 is an error, as that will not send a copy of this Order (b) * * * is the provision of our rules that pursuant to the Congressional Review (3) Applications for review of actions delegates authority to the Wireless Act, 5 U.S.C. 801(a)(1)(A), because the taken pursuant to delegated authority, Telecommunications Bureau. Instead adopted rules are rules of agency except that the Board may dismiss any the limitation should refer to § 0.291 of organization, procedure, or practice that such application that does not contain our rules, which delegates authority to do not ‘‘substantially affect the rights or any statement required under § 1.115(a) the Wireline Competition Bureau. obligations of non-agency parties,’’ 5 or (b) of this chapter, or does not U.S.C. 804(3)(C). 4. We hereby amend § 0.91 to correct comply with the filing requirements of that typographical error. We conclude 8. Accordingly, it is ordered that § 1.115(d) or (f) of this chapter. that this action will eliminate confusion pursuant to sections 4(i), 4(j), and 5 of * * * * * the Communications Act of 1934, as on this issue for the benefit of parties ■ 4. Amend § 0.241 by revising seeking to determine the scope of amended, 47 U.S.C. 154(i), 154(j), 155, and 47 CFR 0.201(d), this order is paragraphs (a) introductory text and authority delegated to the Wireline (a)(2) to read as follows: Competition Bureau. hereby adopted and the rules set forth below are hereby amended effective 30 § 0.241 Authority delegated. 5. Finally, we make a minor days after publication in the Federal (a) The performance of functions and correction to § 0.392(j) of the delegated Register. authority rules for the Public Safety and activities described in § 0.31 is Homeland Security Bureau, which List of Subjects delegated to the Chief of the Office of Engineering and Technology: Provided states that the chief of that bureau has 47 CFR Part 0 authority to administer the 911 that the following matters shall be communications reliability and Authority delegations, Organization referred to the Commission en banc for redundancy rules and policies and functions. disposition: ‘‘contained in part 12 of this chapter.’’ 47 CFR Part 1 * * * * * The reference to part 12 is no longer (2) Applications for review of actions correct because in 2019, the Administrative practice and taken pursuant to delegated authority, Commission moved the part 12 rules to procedure, Penalties. except that the Chief of the Office of part 9 as part of its general Engineering and Technology may consolidation of 911 rules in the Kari’s 5 Implementing Kari’s Law and Section 506 of dismiss any such application that does RAY BAUM’S Act; Inquiry Concerning 911 Access, Routing, and Location in Enterprise not contain any statement required 2 See 47 CFR 0.212(b)(3), 0.241(a)(2), 0.283(b), Communications Systems; Amending the Definition under § 1.115(a) or (b) of this chapter, or 0.291(d), 0.311(a)(2), 0.361(b), 0.392(b). of Interconnected VoIP Service in Section 9.3 of the does not comply with the filing 3 The Bureaus’ authority extends to those Commission’s Rules, Report and Order, 84 FR requirements of § 1.115(d) or (f) of this applications where such statements are missing 66716 (Dec. 5, 2019), 34 FCC Rcd 6607 (2019). The entirely. former part 12 rules are now contained in 47 CFR chapter. 4 47 CFR 0.91(m). part 9. * * * * *

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■ 5. Amend § 0.261 by revising with the filing requirements of may dismiss any such application that paragraph (b)(3) to read as follows: § 1.115(d) or (f) of this chapter. does not contain any statement required under § 1.115(a) or (b) of this chapter, or § 0.261 Authority delegated. * * * * * ■ 9. Amend § 0.311 by revising does not comply with the filing * * * * * paragraph (a)(2) to read as follows: requirements of § 1.115(d) or (f) of this (b) * * * chapter. (3) To act upon any application for § 0.311 Authority delegated. * * * * * review of actions taken by the Chief, * * * * * International Bureau, pursuant to (a) * * * (j) The Chief of the Public Safety and delegated authority, except that the (2) Applications for review of actions Homeland Security Bureau is delegated Chief of the International Bureau may taken pursuant to delegated authority, authority to administer the dismiss any such application that does except that the Chief of the Enforcement communications reliability and not contain any statement required Bureau may dismiss any such redundancy rules and policies under § 1.115(a) or (b) of this chapter, or application that does not contain any contained in part 9, subpart H, of this does not comply with the filing statement required under § 1.115(a) or chapter, develop and revise forms and requirements of § 1.115(d) or (f) of this (b) of this chapter, or does not comply procedures as may be required for the chapter; with the filing requirements of administration of part 9, subpart H, of * * * * * § 1.115(d) or (f) of this chapter. this chapter, review certifications filed ■ 6. Amend § 0.271 by revising * * * * * in connection therewith, and order paragraph (c) to read as follows: ■ 10. Amend § 0.331 by revising remedial action on a case-by-case basis paragraph (c) to read as follows: to ensure the reliability of 911 service in § 0.271 Authority delegated. accordance with such rules and * * * * * § 0.331 Authority delegated. policies. (c) The Chief, Office of Economics * * * * * and Analytics, shall not have authority (c) Authority concerning applications PART 1—PRACTICE AND to act on any applications for review of for review. The Chief, Wireless PROCEDURE actions taken by the Chief of the Office Telecommunications Bureau, shall not of Economics and Analytics pursuant to have authority to act upon any ■ 13. The authority citation for part 1 is delegated authority, except that the applications for review of actions taken revised to read as follows: Chief may dismiss any such application by the Chief of the Wireless that does not contain any statement Telecommunications Bureau pursuant Authority: 47 U.S.C. chs. 2, 5, 9, 13; 28 required under § 1.115(a) or (b) of this to any delegated authority, except that U.S.C. 2461 note, unless otherwise noted. chapter, or does not comply with the the Chief may dismiss any such ■ 14. Amend § 1.104 by: filing requirements of § 1.115(d) or (f) of application that does not contain any ■ this chapter. statement required under § 1.115(a) or a. Revising paragraph (b); and * * * * * (b) of this chapter, or does not comply ■ b. Removing the note following ■ 7. Amend § 0.283 by revising with the filing requirements of § 1.115 paragraph (d) and the parenthetical paragraph (b) to read as follows: (d) or (f) of this chapter. authority citation at the end of the * * * * * section. § 0.283 Authority delegated. ■ 11. Amend § 0.361 by revising The revision reads as follows: * * * * * paragraph (b) to read as follows: (b) Application for review of actions § 1.104 Preserving the right of review; taken pursuant to delegated authority, § 0.361 Authority delegated. deferred consideration of application for except that the Chief of the Media * * * * * review. Bureau may dismiss any such (b) Application for review of actions * * * * * application that does not contain any taken pursuant to delegated authority, (b) Any person desiring Commission statement required under § 1.115(a) or except that the Chief of Consumer and consideration of a final action taken (b) of this chapter, or does not comply Governmental Affairs Bureau may pursuant to delegated authority shall with the filing requirements of dismiss any such application that does file either a petition for reconsideration § 1.115(d) or (f) of this chapter. not contain any statement required or an application for review (but not under § 1.115(a) or (b) of this chapter, or * * * * * both) within 30 days from the date of does not comply with the filing ■ 8. Amend § 0.291 by revising public notice of such action, as that date requirements of § 1.115(d) or (f) of this paragraph (d) to read as follows: is defined in § 1.4(b). The petition for chapter. § 0.291 Authority delegated. reconsideration will be acted on by the * * * * * designated authority or referred by such * * * * * ■ 12. Amend § 0.392 by revising authority to the Commission: Provided (d) Authority concerning applications paragraphs (b) and (j) to read as follows: that a petition for reconsideration of an for review. The Chief, Wireline order designating a matter for hearing Competition Bureau, shall not have § 0.392 Authority delegated. will in all cases be referred to the authority to act upon any applications * * * * * for review of actions taken by the Chief, (b) The Public Safety and Homeland Commission. The application for review Wireline Competition Bureau, pursuant Security Bureau shall not have authority will be acted upon by the Commission, to any delegated authority, except that to act upon any applications for review except in those cases where a Bureau or the Chief of the Wireline Competition of actions taken by the Chief, Public Office has been delegated authority to Bureau may dismiss any such Safety and Homeland Security Bureau, dismiss an application for review. application that does not contain any pursuant to any delegated authority, * * * * * statement required under § 1.115(a) or except that the Chief of the Public [FR Doc. 2021–03699 Filed 3–3–21; 8:45 am] (b) of this chapter, or does not comply Safety and Homeland Security Bureau BILLING CODE 6712–01–P

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DEPARTMENT OF COMMERCE remainder of the fishing year, until the handled in a manner that will maximize opening of the subsequent quota period survival, and without removing the fish National Oceanic and Atmospheric or until such date as specified. from the water, consistent with Administration requirements at § 635.21(a)(1). For Angling Category Large Medium and additional information on safe handling, Giant Southern ‘‘Trophy’’ Fishery 50 CFR Part 635 see the ‘‘Careful Catch and Release’’ Closure brochure available at https:// [Docket No. 180117042–8884–02; RTID The 2021 BFT fishing year, which is 0648–XA819] www.fisheries.noaa.gov/resource/ managed on a calendar-year basis and outreach-and-education/careful-catch- Atlantic Highly Migratory Species; subject to an annual calendar-year and-release-brochure/. Atlantic Bluefin Tuna Fisheries quota, began January 1, 2021. The HMS Charter/Headboat and Angling Angling category season opened January category vessel owners are required to AGENCY: National Marine Fisheries 1, 2021, and continues through report the catch of all BFT retained or Service (NMFS), National Oceanic and December 31, 2021. The currently discarded dead, within 24 hours of the Atmospheric Administration (NOAA), codified Angling category quota is 232.4 landing(s) or end of each trip, by Commerce. metric tons (mt), of which 5.3 mt is accessing hmspermits.noaa.gov, using ACTION: Temporary rule. allocated for the harvest of large the HMS Catch Reporting app, or calling medium and giant (trophy) BFT by (888) 872–8862 (Monday through Friday SUMMARY: NMFS closes the southern vessels fishing under the Angling from 8 a.m. until 4:30 p.m.). area Angling category fishery for large category quota, with 1.8 mt allocated for medium and giant (‘‘trophy’’ (i.e., each of the following areas: North of Classification measuring 73 inches (185 cm) curved 39°18′ N lat. (off Great Egg Inlet, NJ); NMFS issues this action pursuant to fork length or greater)) Atlantic bluefin south of 39°18′ N lat. and outside the section 305(d) of the Magnuson-Stevens tuna (BFT). This action is being taken to Gulf of Mexico (the ‘‘southern area’’); Act. This action is consistent with prevent further overharvest of the and in the Gulf of Mexico. Trophy BFT regulations at 50 CFR part 635, which Angling category southern area trophy measure 73 inches (185 cm) curved fork were issued pursuant to section 304(c) BFT subquota. length or greater. of the Magnuson-Stevens Act and the DATES: Effective 11:30 p.m., local time, Based on reported landings from the Atlantic Tunas Convention Act, and is March 1, 2021, through December 31, NMFS Automated Catch Reporting exempt from review under Executive 2021. System and the North Carolina Tagging Order 12866. Program, NMFS has determined that the The Assistant Administrator for FOR FURTHER INFORMATION CONTACT: codified Angling category southern area NMFS (AA) finds that it is impracticable Sarah McLaughlin, sarah.mclaughlin@ trophy BFT subquota of 1.8 mt has been and contrary to the public interest to noaa.gov, 978–281–9260, Nicholas reached and exceeded and that a closure provide prior notice of, and an Velseboer, nicholas.velseboer@ of the southern area trophy BFT fishery opportunity for public comment on, this noaa.gov, 978–675–2168, or Larry Redd, is warranted. Therefore, retaining, action for the following reasons: The Jr., [email protected], 301–427–8503. possessing, or landing large medium or regulations implementing the 2006 SUPPLEMENTARY INFORMATION: giant BFT south of 39°18′ N lat. and Consolidated HMS FMP and Regulations implemented under the outside the Gulf of Mexico by persons amendments provide for inseason authority of the Atlantic Tunas aboard vessels permitted in the HMS retention limit adjustments and fishery Convention Act (ATCA; 16 U.S.C. 971 et Angling category and the HMS Charter/ closures to respond to the unpredictable seq.) and the Magnuson-Stevens Fishery Headboat category (when fishing nature of BFT availability on the fishing Conservation and Management Act recreationally) must cease at 11:30 p.m. grounds, the migratory nature of this (Magnuson-Stevens Act; 16 U.S.C. 1801 local time on March 1, 2021. This species, and the regional variations in et seq.) governing the harvest of BFT by closure will remain effective through the BFT fishery. The closure of the persons and vessels subject to U.S. December 31, 2021. This action is southern area Angling category trophy jurisdiction are found at 50 CFR part intended to prevent further overharvest fishery is necessary to prevent any 635. Section 635.27 subdivides the U.S. of the Angling category southern area further overharvest of the southern area BFT quota recommended by the trophy BFT subquota, and is taken trophy fishery subquota. NMFS International Commission for the consistent with the regulations at provides notification of closures by Conservation of Atlantic Tunas (ICCAT) § 635.28(a)(1). publishing the notice in the Federal among the various domestic fishing If needed, subsequent Angling Register, emailing individuals who have categories, per the allocations category adjustments will be published subscribed to the Atlantic HMS News established in the 2006 Consolidated in the Federal Register. Information electronic newsletter, and updating the Atlantic Highly Migratory Species regarding the Angling category fishery information posted on the Atlantic Fishery Management Plan (2006 for Atlantic tunas, including daily Tunas Information Line and on Consolidated HMS FMP) (71 FR 58058, retention limits for BFT measuring 27 hmspermits.noaa.gov. October 2, 2006) and amendments, and inches (68.5 cm) to less than 73 inches These fisheries are currently in accordance with implementing (185 cm) and any further Angling underway and delaying this action regulations. category adjustments, is available at would be contrary to the public interest Under § 635.28(a)(1), NMFS files a hmspermits.noaa.gov or by calling (978) as it could result in excessive trophy closure notice with the Office of the 281–9260. HMS Angling and HMS BFT landings that may result in future Federal Register for publication when a Charter/Headboat category permit potential quota reductions for the BFT quota (or subquota) is reached or is holders may catch and release (or tag Angling category, depending on the projected to be reached. Retaining, and release) BFT of all sizes, subject to magnitude of a potential Angling possessing, or landing BFT under that the requirements of the catch-and- category overharvest. NMFS must close quota category is prohibited on and after release and tag-and-release programs at the southern area trophy BFT fishery the effective date and time of a closure § 635.26. Anglers are also reminded that before additional landings of these sizes notice for that category, for the all BFT that are released must be of BFT occur. Therefore, the AA finds

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good cause under 5 U.S.C. 553(b)(B) to U.S.C. 553(d) to waive the 30-day delay Dated: March 1, 2021. waive prior notice and the opportunity in effectiveness. Jennifer M. Wallace, for public comment. For all of the above Authority: 16 U.S.C. 971 et seq. and 1801 Acting Director, Office of Sustainable reasons, there is good cause under 5 et seq. Fisheries, National Marine Fisheries Service. [FR Doc. 2021–04480 Filed 3–1–21; 4:15 pm] BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 86, No. 41

Thursday, March 4, 2021

This section of the FEDERAL REGISTER Service Engineering Group at Sikorsky Confidential Business Information contains notices to the public of the proposed Aircraft Corporation, Mailstop K100, issuance of rules and regulations. The 124 Quarry Road, Trumbull, CT 06611; CBI is commercial or financial purpose of these notices is to give interested telephone 1–800–946–4337 (1–800– information that is both customarily and persons an opportunity to participate in the Winged–S); email wcs_cust_service_ actually treated as private by its owner. rule making prior to the adoption of the final Under the Freedom of Information Act rules. [email protected]. Operators may also log on to the Sikorsky 360 website (FOIA) (5 U.S.C. 552), CBI is exempt at https://www.sikorsky360.com. You from public disclosure. If your comments responsive to this NPRM DEPARTMENT OF TRANSPORTATION may view this service information at the FAA, Office of the Regional Counsel, contain commercial or financial Federal Aviation Administration Southwest Region, 10101 Hillwood information that is customarily treated Pkwy., Room 6N–321, Fort Worth, TX as private, that you actually treat as 14 CFR Part 39 76177. For information on the private, and that is relevant or responsive to this NPRM, it is important [Docket No. FAA–2021–0106; Project availability of this material at the FAA, call (817) 222–5110. that you clearly designate the submitted Identifier AD–2020–00708–R] comments as CBI. Please mark each RIN 2120–AA64 Examining the AD Docket page of your submission containing CBI You may examine the AD docket at as ‘‘PROPIN.’’ The FAA will treat such Airworthiness Directives; Sikorsky https://www.regulations.gov by marked submissions as confidential Aircraft Corporation Helicopters searching for and locating Docket No. under the FOIA, and they will not be placed in the public docket of this AGENCY: Federal Aviation FAA–2021–0106; or in person at Docket NPRM. Submissions containing CBI Administration (FAA), DOT. Operations between 9 a.m. and 5 p.m., Monday through Friday, except Federal should be sent to Dorie Resnik, ACTION: Notice of proposed rulemaking Aerospace Engineer, Aviation Safety (NPRM). holidays. The AD docket contains this NPRM, any comments received, and Section, Boston ACO Branch, FAA, SUMMARY: The FAA proposes to adopt a other information. The street address for 1200 District Ave., Burlington, MA new airworthiness directive (AD) for Docket Operations is listed above. 01803; phone: (781) 238–7693; email: Sikorsky Aircraft Corporation (Sikorsky) FOR FURTHER INFORMATION CONTACT: [email protected]. Any commentary Model S–92A helicopters. This Dorie Resnik, Aerospace Engineer, that the FAA receives which is not proposed AD was prompted by an Aviation Safety Section, Boston ACO specifically designated as CBI will be incident of a side facing utility seat Branch, FAA, 1200 District Ave., placed in the public docket for this detaching from wall attachment points. Burlington, MA 01803; phone: (781) rulemaking. This proposed AD would require 238–7693; email: [email protected]. Background modifying certain side facing utility SUPPLEMENTARY INFORMATION: seats and observer seats. This proposed The FAA proposes to adopt a new AD AD would also prohibit installing those Comments Invited for Sikorsky Model S–92A helicopters seats unless the modification has been The FAA invites you to send any with certain Martin-Baker side facing accomplished. The FAA is proposing written relevant data, views, or utility seats and observer seats installed. this AD to address the unsafe condition arguments about this proposal. Send This proposed AD was prompted by an on these products. your comments to an address listed incident of a side facing utility seat DATES: The FAA must receive comments under ADDRESSES. Include ‘‘Docket No. detaching from wall attachment points on this proposed AD by April 19, 2021. FAA–2021–0106; Project Identifier AD– during dynamic testing. The root cause has been identified as a change in the ADDRESSES: You may send comments, 2020–00708–R’’ at the beginning of your finishing process of the main back tube. using the procedures found in 14 CFR comments. The most helpful comments Due to design similarity, certain 11.43 and 11.45, by any of the following reference a specific portion of the observer seats are also subject to this methods: proposal, explain the reason for any • Federal eRulemaking Portal: Go to recommended change, and include unsafe condition. https://www.regulations.gov. Follow the supporting data. The FAA will consider Accordingly, this proposed AD would instructions for submitting comments. all comments received by the closing require replacing the main back tube • Fax: (202) 493–2251. date and may amend this proposal assembly in affected side facing utility • Mail: U.S. Department of because of those comments. seats and observer seats. This proposed Transportation, Docket Operations, Except for Confidential Business AD would also prohibit installing those M–30, West Building Ground Floor, Information (CBI) as described in the seats unless the main back tube Room W12–140, 1200 New Jersey following paragraph, and other assembly has been replaced. This Avenue SE, Washington, DC 20590. information as described in 14 CFR condition, if not addressed, could result • Hand Delivery: Deliver to Mail 11.35, the FAA will post all comments in increased surface friction in the address above between 9 a.m. and 5 received, without change, to https:// direction of the seat attenuation, failure p.m., Monday through Friday, except www.regulations.gov, including any of proper utility seat attenuation during Federal holidays. personal information you provide. The a crash event, excessive lumbar loads in For service information identified in agency will also post a report an observer seat during a crash event, this NPRM, contact your local Sikorsky summarizing each substantive verbal and subsequent excessive or fatal Field Representative or Sikorsky’s contact received about this NPRM. occupant injury.

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FAA’s Determination assemblies and discarding removed split responsibilities among the various The FAA is issuing this NPRM after pins and tie down straps; whereas this levels of government. determining that the unsafe condition proposed AD would require removing For the reasons discussed above, I described previously is likely to exist or those parts from service instead. The certify this proposed regulation: develop on other products of the same service information specifies recording (1) Is not a ‘‘significant regulatory type design. compliance; whereas this proposed AD action’’ under Executive Order 12866, does not. (2) Would not affect intrastate Related Service Information Under 1 aviation in Alaska, and CFR Part 51 Costs of Compliance (3) Would not have a significant The FAA reviewed Martin-Baker The FAA estimates that this AD, if economic impact, positive or negative, Special Information Leaflet (SIL) No. adopted as proposed, would affect 9 on a substantial number of small entities 831, dated July 10, 2019 (SIL 831), for helicopters of U.S. Registry. Labor rates under the criteria of the Regulatory side facing utility seat supplier part are estimated at $85 per work-hour. Flexibility Act. number (P/N) MBCS12410AA001, and Based on these numbers, the FAA List of Subjects in 14 CFR Part 39 Martin-Baker SIL No. 833, dated July 11, estimates the following costs to comply 2019 (SIL 833), for observer seat with this proposed AD. Air transportation, Aircraft, Aviation supplier P/N MBCS12200 and Replacing a main back tube assembly safety, Incorporation by reference, MBCS7301–2. This service information would take about 2 work-hours and Safety. specifies procedures for disassembling parts would cost about $11,217, for an The Proposed Amendment the seat, inspecting components, estimated cost of about $11,387 per seat. Accordingly, under the authority replacing the main back tube assembly Each helicopter could have up to 19 delegated to me by the Administrator, (tube assembly, back main), and affected seats, which would take up to reassembling, testing, and marking the the FAA proposes to amend 14 CFR part 38 work-hours and parts would cost up 39 as follows: seat. SIL 831 and SIL 833 are attached to about $213,123, for an estimated cost to Sikorsky S–92A Helicopter Alert of up to about $216,353 per helicopter PART 39—AIRWORTHINESS Service Bulletin 92–25–026, dated and $1,947,177 for the U.S. fleet. DIRECTIVES March 5, 2020 (ASB 92–25–026). The FAA has included all known The FAA also reviewed ASB 92–25– costs in its cost estimate. According to ■ 1. The authority citation for part 39 026, which specifies procedures for the manufacturer, however, some of the continues to read as follows: preparing the helicopter for replacing costs of this proposed AD may be Authority: 49 U.S.C. 106(g), 40113, 44701. the main back tube assembly by covered under warranty, thereby following SIL 831 or SIL 833, as reducing the cost impact on affected § 39.13 [Amended] applicable to your seat. This service operators. ■ 2. The FAA amends § 39.13 by adding information specifies removing existing the following new airworthiness placards, complying with the applicable Authority for This Rulemaking directive: SIL, reinstalling the removed placards, Title 49 of the United States Code inspecting for foreign object debris Sikorsky Aircraft Corporation: Docket No. specifies the FAA’s authority to issue FAA–2021–0106; Project Identifier AD– (FOD), and cleaning. rules on aviation safety. Subtitle I, This service information is reasonably 2020–00708–R. section 106, describes the authority of available because the interested parties (a) Comments Due Date the FAA Administrator. Subtitle VII: have access to it through their normal Aviation Programs, describes in more The FAA must receive comments on this course of business or by the means detail the scope of the Agency’s airworthiness directive (AD) by April 19, identified in ADDRESSES. 2021. authority. Proposed AD Requirements in This The FAA is issuing this rulemaking (b) Affected ADs NPRM under the authority described in None. This proposed AD would require, Subtitle VII, Part A, Subpart III, Section (c) Applicability within 125 hours time-in-service (TIS) 44701: General requirements. Under that section, Congress charges the FAA This AD applies to Sikorsky Aircraft or six months after the effective date of Corporation Model S–92A helicopters, this AD, whichever occurs first, with promoting safe flight of civil certificated in any category, with the removing certain placards, aircraft in air commerce by prescribing following installed: accomplishing the actions specified in regulations for practices, methods, and (1) A Martin-Baker side facing utility seat SIL 831 or SIL 833 already described, procedures the Administrator finds supplier part number (P/N) and reinstalling the previously removed necessary for safety in air commerce. MBCS12410AA001 with a serial number placards. This regulation is within the scope of (S/N) identified in Table 2 of Martin-Baker that authority because it addresses an Special Information Leaflet (SIL) No. 831, Differences Between This Proposed AD unsafe condition that is likely to exist or dated July 10, 2019 (SIL 831), that is not and the Service Information develop on products identified in this marked with ‘‘SIL831 incorporated;’’ or (2) A Martin-Baker observer seat supplier ASB 92–25–026 specifies a rulemaking action. P/N MBCS12200 or MBCS7301–2 with an compliance time of no later than March Regulatory Findings S/N identified in Table 2 of Martin-Baker SIL 5, 2021; where this proposed AD No. 833, dated July 11, 2019 (SIL 833), that specifies a compliance time of within The FAA determined that this is not marked with ‘‘SIL833 incorporated.’’ 125 hours TIS or six months after the proposed AD would not have federalism Note 1 to paragraph (c): SIL 831 and SIL effective date of this AD, whichever implications under Executive Order 833 are attached to Sikorsky S–92A occurs first. ASB 92–25–026 specifies 13132. This proposed AD would not Helicopter Alert Service Bulletin 92–25–026, inspecting for FOD and cleaning; have a substantial direct effect on the dated March 5, 2020 (ASB 92–25–026). whereas this proposed AD does not. SIL States, on the relationship between the Note 2 to paragraph (c): Section 3., the 831 and SIL 833 specify destroying and national government and the States, or Accomplishment Instructions, Tables 1 and 2 disposing removed main back tube on the distribution of power and of ASB 92–25–026, specify cross references

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of Martin-Baker supplier P/Ns with Sikorsky of the local flight standards district office/ ADDRESSES: Send comments on this P/Ns and kit P/Ns. certificate holding district office. proposal to the U.S. Department of Note 3 to paragraph (c): The marking (i) Related Information Transportation, Docket Operations, 1200 ‘‘SIL831 incorporated’’ or ‘‘SIL833 (1) For more information about this AD, New Jersey Avenue SE, West Building incorporated,’’ as applicable, could be contact Dorie Resnik, Aerospace Engineer, Ground Floor, Room W12–140, located adjacent to identification labels on Aviation Safety Section, Boston ACO Branch, Washington, DC 20590–0001; telephone: the underside of the sitting platform FAA, 1200 District Ave., Burlington, MA 1 (800) 647–5527, or (202) 366–9826. assembly P/N MBCS4111. 01803; phone: (781) 238–7693; email: You must identify FAA Docket Number [email protected]. (d) Subject FAA–2020–0153; Airspace Docket No. (2) For service information identified in 20–ANM–32 at the beginning of your Joint Aircraft System Component (JASC) this AD, contact your local Sikorsky Field comments. You may also submit Code: 2500, Cabin Equipment/Furnishings; Representative or Sikorsky’s Service comments through the internet at and 2520, Passenger Compartment Engineering Group at Sikorsky Aircraft Equipment. Corporation, Mailstop K100, 124 Quarry https://www.regulations.gov. Road, Trumbull, CT 06611; telephone 1–800– FOR FURTHER INFORMATION CONTACT: (e) Unsafe Condition 946–4337 (1–800–Winged–S); email wcs_ Christopher McMullin, Rules and This AD was prompted by an incident of [email protected]. Operators Regulations Group, Office of Policy, a side facing utility seat detaching from wall may also log on to the Sikorsky 360 website Federal Aviation Administration, 800 attachment points during dynamic testing. at https://www.sikorsky360.com. You may Independence Avenue SW, Washington, The FAA is issuing this AD to detect and view this referenced service information at DC 20591; telephone: (202) 267–8783. address a main back tube, a component of the the FAA, Office of the Regional Counsel, main back tube assembly, which does not Southwest Region, 10101 Hillwood Pkwy., SUPPLEMENTARY INFORMATION: meet design requirements. The unsafe Room 6N–321, Fort Worth, TX 76177. For Authority for This Rulemaking condition, if not addressed, could result in information on the availability of this increased surface friction in the direction of material at the FAA, call (817) 222–5110. The FAA’s authority to issue rules regarding aviation safety is found in the seat attenuation, failure of proper utility Issued on February 19, 2021. seat attenuation during a crash event, Title 49 of the United States Code excessive lumbar loads in an observer seat Lance T. Gant, (U.S.C.). Subtitle I, Section 106 during a crash event, and subsequent Director, Compliance & Airworthiness describes the authority of the FAA excessive or fatal occupant injury. Division, Aircraft Certification Service. Administrator. Subtitle VII, Aviation [FR Doc. 2021–03950 Filed 3–3–21; 8:45 am] (f) Compliance Programs, describes in more detail the BILLING CODE 4910–13–P Comply with this AD within the scope of the agency’s authority. This compliance times specified, unless already rulemaking is promulgated under the done. authority described in Subtitle VII, Part DEPARTMENT OF TRANSPORTATION A, Subpart I, Section 40103. Under that (g) Required Actions Federal Aviation Administration section, the FAA is charged with (1) Within 125 hours time-in-service or six prescribing regulations to assign the use months after the effective date of this AD, 14 CFR Part 73 of the airspace necessary to ensure the whichever occurs first, replace each main safety of aircraft and the efficient use of back tube assembly by following Section 3., [Docket No. FAA–2020–1053; Airspace airspace. This regulation is within the Accomplishment Instructions, paragraphs C. Docket No. 20–ANM–32] through E., of ASB 92–25–026; except where scope of that authority as it would the service information referenced in ASB RIN 2120–AA66 amend and establish restricted area 92–25–026 specifies destroying and airspace at Guernsey, WY, to contain disposing of parts or discarding parts, this Proposed Amendment of Restricted activities deemed hazardous to AD requires removing those parts from Area R–7001C and Establishment of nonparticipating aircraft. service instead. Restricted Areas R–7001D, R–7002A, Comments Invited Note 4 to paragraph (g)(1): SIL 831 and SIL R–7002B, and R–7002C; Guernsey, WY 833, referred to in ASB 92–25–026, refer to Interested parties are invited to main back tube assembly as tube assembly, AGENCY: Federal Aviation participate in this proposed rulemaking back main. Administration (FAA), DOT. by submitting such written data, views, (2) As of the effective date of this AD, do ACTION: Notice of proposed rulemaking or arguments as they may desire. not install a Martin-Baker side facing utility (NPRM). Comments that provide the factual basis seat identified in paragraph (c)(1) of this AD supporting the views and suggestions or a Martin-Baker observer seat identified in SUMMARY: This action proposes to presented are particularly helpful in paragraph (c)(2) of this AD unless the actions amend restricted area R–7001C and developing reasoned regulatory in paragraph (g)(1) have been accomplished. establish three restricted areas, R– decisions on the proposal. Comments (h) Alternative Methods of Compliance 7001D, R–7002A, R–7002B, and R– are specifically invited on the overall (AMOCs) 7002C at Guernsey, WY. The Wyoming regulatory, aeronautical, economic, (1) The Manager, Boston ACO Branch, Army National Guard (WYARNG) environmental, and energy-related FAA, has the authority to approve AMOCs requested the establishment of the new aspects of the proposal. for this AD, if requested using the procedures restricted areas to support its air-to- Communications should identify both found in 14 CFR 39.19. In accordance with ground firing from helicopters and docket numbers (FAA Docket Number 14 CFR 39.19, send your request to your longer range artillery training. This FAA–2020–0153; Airspace Docket No. principal inspector or local Flight Standards additional airspace allows for the 20–ANM–32) and be submitted in District Office, as appropriate. If sending segregation of hazardous activities from triplicate to the Docket Management information directly to the manager of the non-participating air traffic. The FAA is Facility (see ADDRESSES section for certification office, send it to the attention of also proposing to amend R–7001C to the person identified in paragraph (i)(1) of address and phone number). You may this AD. correct an inadvertent error to ensure also submit comments through the (2) Before using any approved AMOC, proper vertical separation. internet at https://www.regulations.gov. notify your appropriate principal inspector, DATES: Comments must be received on Commenters wishing the FAA to or lacking a principal inspector, the manager or before April 19, 2021. acknowledge receipt of their comments

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on this action must submit with those greater flexibility for military training feet MSL. No other changes would be comments a self-addressed, stamped and divide the airspace vertically to made to the legal description. postcard on which the following allow non-participating aircraft access R–7001D: R–7001D would be statement is made: ‘‘Comments to FAA to unused portions of the airspace, established above R–7001C and would Docket FAA–2020–0153; Airspace when not in use. The FAA established have the same boundaries as the Docket No. 20–ANM–32.’’ The postcard R–7001C in February 1985 (50 FR 6156; existing restricted area. The altitudes will be date/time stamped and returned February 14, 1985) to protect the NAS would be from 30,001 to 45,000 feet to the commenter. from the high angle fire of various MSL. Operations would be limited to 20 All communications received on or weapons and permit maximum firing days a year. before the specified comment closing capability of these weapons. R–7002A: R–7002A would be date will be considered before taking In order to address the advances in action on the proposed rule. The established north of, and sharing its weapons systems capabilities and southern boundary with R–7001A, proposal contained in this action may provide the United States Army the be changed in light of comments R–7001B, and R–7001C. The altitudes ability to conduct longer range artillery would be from the surface to 23,500 feet received. All comments submitted will training, several Controlled Firing Areas be available for examination in the MSL. Operations would be limited to 20 (CFA) were established for use in the days a year. public docket both before and after the same location as R–7002A, R–7002 B, comment closing date. A report and R–7002C. The current configuration R–7002B: R–7002B would be summarizing each substantive public of restricted areas and CFAs can no established on the southeast border, and contact with FAA personnel concerned longer support the full capability of the sharing its northern boundary with with this rulemaking will be filed in the artillery in part, due to the operational R–7001A, R–7001B, and R–7001C. The docket. limitations of the CFAs. Camp Guernsey altitudes would be from the surface to 23,500 feet MSL. Operations would be Availability of NPRM’s Joint Training Center hosts several exercises throughout the year. During limited to 20 days a year. An electronic copy of this document these exercises, 155mm artillery, M270 R–7002C: R–7002C would be may be downloaded through the Multiple Launch Rocket System established west of, and sharing its internet at https://www.regulations.gov. eastern border with R–7001A, R–7001B, Recently published rulemaking (MLRS), and M142 High Mobility Artillery Rocket System (HIMARS) are and R–7001C. The altitudes would be documents can also be accessed through from the surface to 23,500 feet MSL. the FAA’s web page at https:// fired. Additionally, Guernsey, WY is the _ closest restricted area complex to F.E. Operations would be limited to 20 days www.faa.gov/air traffic/publications/ a year. airspace_amendments/. Warren Air Force Base, WY. The You may review the public docket development of these new restricted Regulatory Notices and Analyses containing the proposal, any comments areas would accommodate the United received and any final disposition in States Air Force’s activities and provide The FAA has determined that this person in the Dockets Office (see for its ability to train locally for air-to- proposed regulation only involves an established body of technical ADDRESSES section for address and ground firing from helicopters, and the phone number) between 9:00 a.m. and associated Weapon Danger Zones regulations for which frequent and 5:00 p.m., Monday through Friday, (WDZ). routine amendments are necessary to except federal holidays. An informal Finally, while conducting the keep them operationally current. It, docket may also be examined during evaluation of the restricted areas at therefore: (1) Is not a ‘‘significant normal business hours at the office of Guernsey, WY, the FAA noted that R– regulatory action’’ under Executive the Western Service Center, Operations 7001B and R–7001C were inadvertently Order 12866; (2) is not a ‘‘significant Support Group, Federal Aviation overlapping airspace. The ceiling of R– rule’’ under Department of Administration, 2200 South 216th St., 7001B stops at 23,500 feet mean sea Transportation (DOT) Regulatory Des Moines, WA 98198. level (MSL) and the floor of R–7001C Policies and Procedures (44 FR 11034; starts at 23,500 feet MSL. This is an February 26, 1979); and (3) does not Background error and the proposed amendment warrant preparation of a regulatory In a final rule published on February would provide the necessary vertical evaluation as the anticipated impact is 14, 1962, the FAA established restricted separation between the two restricted so minimal. Since this is a routine area R–7001 (27 FR 1355) at Guernsey, airspace areas. matter that will only affect air traffic procedures and air navigation, it is WY, in order to provide special use The Proposal airspace for the hazardous artillery certified that this proposed rule, when firing conducted by Army National The FAA is proposing an amendment promulgated, will not have a significant Guard (Army) units during its annual to Title 14 Code of Federal Regulations economic impact on a substantial summer training periods. Since R–7001 (14 CFR) part 73 to amend restricted number of small entities under the was established, the Army’s activities area R–7001C and establish R–7001D, criteria of the Regulatory Flexibility Act. and technologies have changed, R–7002A, R–7002B, and R–7002C at Environmental Review requiring amendments to R–7001 and Guernsey, WY. The FAA is proposing the establishment of new restricted this action at the request of the This proposal will be subject to an areas to ensure non-participating aircraft WYARNG activities and due to correct environmental analysis in accordance are protected from hazardous activity in an inadvertent error. Full legal with FAA Order 1050.1F, the National Airspace System (NAS). descriptions are in the ‘‘The Proposed ‘‘Environmental Impacts: Policies and Currently, the restricted areas at Amendment’’ section of this NPRM. Procedures’’ prior to any FAA final Guernsey, WY, are designated as The proposed restricted areas are regulatory action. R–7001A, R–7001B, and R–7001C. In described below. List of Subjects in 14 CFR Part 73 August 1979, the FAA divided R–7001 R–7001C: R–7001C would retain the vertically into R–7001A and R–7001B current boundaries, but the floor of the Airspace, Prohibited areas, Restricted (44 FR 34114; June 14, 1979) to provide restricted area would begin at 23,501 areas.

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The Proposed Amendment Controlling Agency: FAA, Denver ARTCC. quality standards (NAAQS) and are Using Agency: Adjutant General, State of therefore unrelated to the Clean Air Act In consideration of the foregoing, the Wyoming. Federal Aviation Administration (CAA or ‘‘Act’’) requirements for SIPs. proposes to amend 14 CFR part 73 as R–7002C Guernsey, WY [New] DATES: Comments must be received on follows: Boundaries: Beginning at lat. 42°27′03″ N; or before April 5, 2021. long. 104°53′54″ W; to lat. 42°27′03″ N; long. ADDRESSES: Submit your comments, PART 73—SPECIAL USE AIRSPACE 104°52′32″ W; to lat. 42°20′00″ N; long. identified by Docket ID No. EPA–R04– ° ′ ″ ° ′ ″ 104 52 32 W; to lat. 42 20 18 N; long. OAR–2020–0500 at ■ 1. The authority citation for part 73 ° ′ ″ ° ′ ″ 104 51 19 W; to lat. 42 19 42 N; long. www.regulations.gov. Follow the online continues to read as follows: 104°51′17″ W; to lat. 42°19′43″ N; long. 104°53′03″ W; to lat. 42°20′49″ N; long. instructions for submitting comments. Authority: 49 U.S.C. 106(f), 106(g); 40103, 104°54′38″ W; to lat. 42°22′43″ N; long. Once submitted, comments cannot be 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 104°54′38″ W; to lat. 42°22′48″ N; long. edited or removed from Regulations.gov. 1959–1963 Comp., p. 389. 104°53′22″ W; to lat. 42°23′39″ N; long. EPA may publish any comment received § 73.70 Wyoming [Amended] 104°53′23″ W; to lat. 42°23′40″ N; long. to its public docket. Do not submit ° ′ ″ ■ 2. § 73.70 is amended as follows: 104 53 58 W; to the point of beginning; electronically any information you excluding that airspace 500 feet AGL and consider to be Confidential Business * * * * * 1 below ⁄4 mile either side of the BNSF Information (CBI) or other information R–7001C Guernsey, WY [Amended] railroad. whose disclosure is restricted by statute. ° ′ ″ Designated Altitudes: Surface to 23,500 Boundaries: Beginning at lat. 42 27 30 N, feet MSL. Multimedia submissions (audio, video, long. 104°52′32″ W; to lat. 42°27′30″ N, long. etc.) must be accompanied by a written ° ′ ″ ° ′ ″ Time of Designation: By NOTAM, at least 104 42 32 W; to lat. 42 22 30 N, long. 24 hours in advance. comment. The written comment is 104°42′32″ W; to lat. 42°20′00″ N, long. ° ′ ″ Controlling Agency: FAA, Denver ARTCC. considered the official comment and 104 52 32 W; to the point of beginning. Using Agency: Adjutant General, State of should include discussion of all points Designated altitudes: 23,501 feet MSL to Wyoming. 30,000 feet MSL. you wish to make. EPA will generally Time of designation: Intermittent, 24 hours * * * * * not consider comments or comment in advance by NOTAM. Issued in Washington, DC, on January 11, contents located outside of the primary Controlling agency: FAA, Denver ARTCC. 2021. submission (i.e., on the web, cloud, or Using agency: Adjutant General, State of George Gonzalez, other file sharing system). For Wyoming. additional submission methods, the full Acting Manager, Rules and Regulations R–7001D Guernsey, WY [New] Group. EPA public comment policy, information about CBI or multimedia Boundaries: Beginning at lat. 42°27′30″ N, [FR Doc. 2021–00748 Filed 3–3–21; 8:45 am] ° ′ ″ ° ′ ″ submissions, and general guidance on long. 104 52 32 W; to lat. 42 27 30 N, long. BILLING CODE 4910–13–P 104°42′32″ W; to lat. 42°22′30″ N, long. making effective comments, please visit 104°42′32″ W; to lat. 42°20′00″ N, long. www2.epa.gov/dockets/commenting- 104°52′32″ W; to the point of beginning. epa-dockets. ENVIRONMENTAL PROTECTION Designated Altitudes: 30,001 feet MSL to FOR FURTHER INFORMATION CONTACT: AGENCY Brad 45,000 feet MSL. Akers, Air Regulatory Management Time of Designation: By NOTAM, at least 24 hours in advance. 40 CFR Part 52 Section, Air Planning and Controlling Agency: FAA, Denver ARTCC. Implementation Branch, Air and [EPA–R04–OAR–2020–0500; FRL–10018– Using Agency: Adjutant General, State of Radiation Division, U.S. Environmental 04–-Region 4] Wyoming. Protection Agency, Region 4, 61 Forsyth Street SW, Atlanta, Georgia 30303–8960. R–7002A Guernsey, WY [New] Air Plan Approval; KY; Removal of The telephone number is (404) 562– ° ′ ″ Asbestos Requirements From Boundaries: Beginning at lat. 42 27 55 N, 9089. Mr. Akers can also be reached via long. 104°52′33″ W; to lat. 42°27′55″ N, long. Jefferson County Regulations 104°51′46″ W; to lat. 42°28′21″ N, long. electronic mail at [email protected]. 104°51′45″ W; to lat. 42°28′21″ N, long. AGENCY: Environmental Protection SUPPLEMENTARY INFORMATION: 104°48′46″ W; to lat. 42°27′56″ N, long. Agency (EPA). 104°48′46″ W; to lat. 42°27′55″ N, long. ACTION: Proposed rule. I. Background 104°47′28″ W; to lat. 42°27′30″ N, long. Section 110 of the CAA requires states 104°46′43″ W; to lat. 42°27′30″ N, long. SUMMARY: The Environmental Protection to develop and submit to EPA a SIP to ° ′ ″ 104 52 32 W; to the point of beginning. Agency (EPA) is proposing to correct the ensure that state air quality meets the Designated Altitudes: Surface to 23,500 erroneous incorporation of asbestos NAAQS. These ambient air quality feet MSL. National Emission Standards for Time of Designation: By NOTAM, at least standards currently address six criteria Hazardous Air Pollutants (NESHAP) pollutants: Carbon monoxide, nitrogen 24 hours in advance. requirements into the Jefferson County Controlling Agency: FAA, Denver ARTCC. dioxide, ozone, lead, particulate matter, Using Agency: Adjutant General, State of portion of the Kentucky State and sulfur dioxide. Each federally- Wyoming. Implementation Plan (SIP). The approved SIP protects air quality continued presence of the asbestos primarily by addressing air pollution at R–7002B Guernsey, WY [New] requirements in the Jefferson County ° ′ ″ its point of origin through air pollution Boundaries: Beginning at lat. 42 22 24 N, portion of the Kentucky SIP is regulations and control strategies. EPA- long. 104°42′54″ W; to lat. 42°21′41″ N, long. inappropriate and potentially confusing 104°42′52″ W; to lat. 42°21′11″ N, long. approved SIP regulations and control ° ′ ″ ° ′ ″ and thus problematic for affected strategies are federally enforceable. 04 43 17 W; to lat. 42 21 12 N, long. sources, the Commonwealth, local 104°47′16″ W; to lat. 42°21′19″ N, long. On October 23, 2001 (66 FR 53658), 104°47′16″ W; to the point of beginning. agencies, and EPA. EPA is proposing to EPA approved revisions to the Jefferson Designated Altitudes: Surface to 23,500 remove the asbestos requirements County portion of the Kentucky SIP,1 feet MSL. because these requirements are not Time of Designation: By NOTAM, at least related to the attainment and 1 In 2003, the City of Louisville and Jefferson 24 hours in advance. maintenance of the national ambient air County governments merged and the ‘‘Jefferson

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which included miscellaneous rule includes all unintentional, incorrect or provided that they meet the criteria of revisions and the recodification of Air wrong actions or mistakes. the CAA. This proposed action merely Pollution Control District (APCD) of The May 21, 1999, submission corrects errors in a previous rulemaking Jefferson County regulations. These contained changes to Regulation 2.03 approving a SIP submission and does revisions were submitted to EPA on ‘‘Permit Requirements, Non-Title V not impose additional requirements May 21, 1999, by the Commonwealth of Construction and Operating Permits and beyond those imposed by state law. For Kentucky on behalf of Jefferson County. Demolition/Renovation Permits’’ that that reason, this proposed action: Among these revisions were contain asbestos requirements in • Is not a significant regulatory action requirements for permitting the paragraphs 1.3, 5.3 and 5.6. EPA’s subject to review by the Office of demolition and renovation of facilities October 23, 2001, approval of these Management and Budget under with asbestos, in accordance with 40 requirements into the Jefferson County Executive Orders 12866 (58 FR 51735, CFR part 61, subpart M, ‘‘National portion of the Kentucky SIP was in October 4, 1993) and 13563 (76 FR 3821, Emission Standard for Asbestos.’’ The error. These paragraphs are appropriate January 21, 2011); asbestos requirements were adopted by for state and local agencies to adopt and • Does not impose an information Jefferson County in paragraphs 1.3, 5.3, implement, but it is not necessary or collection burden under the provisions and 5.6 of Regulation 2.03 ‘‘Permit appropriate to incorporate them into the of the Paperwork Reduction Act (44 Requirements, Non-Title V Construction applicable SIP because asbestos U.S.C. 3501 et seq.); and Operating Permits and Demolition/ requirements are not related to the • Is certified as not having a Renovation Permits,’’ and this attainment and maintenance of the significant economic impact on a regulation was part of the recodified NAAQS. EPA is therefore proposing to substantial number of small entities rules included in the May 21, 1999 remove these paragraphs from the SIP. under the Regulatory Flexibility Act (5 submittal. In the October 23, 2001, final II. Incorporation by Reference U.S.C. 601 et seq.); • Does not contain any unfunded rule, EPA inadvertently incorporated In this document, EPA is proposing to mandate or significantly or uniquely the asbestos requirements in Regulation amend regulatory text that includes affect small governments, as described 2.03 ‘‘Permit Requirements, Non-Title V incorporation by reference. Specifically, in the Unfunded Mandates Reform Act Construction and Operating Permits and EPA is proposing to remove sections of 1995 (Pub. L. 104–4); Demolition/Renovation Permits’’ into 1.3, 5.3, and 5.6 (asbestos requirements) • Does not have Federalism the Jefferson County portion of the of Regulation 2.03 ‘‘Permit implications as specified in Executive Kentucky SIP. The version of the rules Requirements, Non-Title V Construction Order 13132 (64 FR 43255, August 10, incorporated into the SIP were effective and Operating Permits and Demolition/ in Jefferson County on December 15, 1999); Renovation Permits’’ from the Jefferson • 1993. County portion of the Kentucky SIP, Is not an economically significant regulatory action based on health or Section 110(k)(6) of the CAA provides which is incorporated by reference in safety risks subject to Executive Order EPA with the authority to make accordance with requirements of 1 CFR 13045 (62 FR 19885, April 23, 1997); corrections to prior SIP actions that are 51.5. The remainder of Regulation 2.03 • Is not a significant regulatory action subsequently found to be in error in the ‘‘Permit Requirements, Non-Title V subject to Executive Order 13211 (66 FR same manner as the prior action, and to Construction and Operating Permits and 28355, May 22, 2001); do so without requiring any further Demolition/Renovation Permits’’ will • Is not subject to requirements of submission from the State.2 While remain incorporated in the Jefferson Section 12(d) of the National section 110(k)(6) provides EPA with the County portion of the Kentucky SIP. Technology Transfer and Advancement authority to correct its own ‘‘error,’’ EPA has made, and will continue to Act of 1995 (15 U.S.C. 272 note) because nowhere does this provision or any make, these materials generally application of those requirements would other provision in the CAA define what available through www.regulations.gov be inconsistent with the CAA; and qualifies as ‘‘error.’’ Thus, EPA believes and at the EPA Region 4 office (please • Does not provide EPA with the that the term should be given its plain contact the person identified in the FOR discretionary authority to address, as language, everyday meaning, which FURTHER INFORMATION CONTACT section of this preamble for more information). appropriate, disproportionate human health or environmental effects, using County Air Pollution Control District’’ was renamed III. Proposed Action practicable and legally permissible the ‘‘Louisville Metro Air Pollution Control District.’’ See The History of Air Pollution Control EPA is proposing to remove methods, under Executive Order 12898 in Louisville, available at https://louisvilleky.gov/ paragraphs 1.3, 5.3, and 5.6 of APCD (59 FR 7629, February 16, 1994). government/air-pollution-control-district/history- Regulation 2.03 ‘‘Permit Requirements, The SIP is not approved to apply on air-pollution-control-louisville. However, each of any Indian reservation land or in any the regulations in the Jefferson County portion of Non-Title V Construction and Operating the Kentucky SIP still has the subheading ‘‘Air Permits and Demolition/Renovation other area where EPA or an Indian tribe Pollution Control District of Jefferson County.’’ Permits’’ from the Jefferson County has demonstrated that a tribe has Thus, to be consistent with the terminology used in portion of the SIP because they are not jurisdiction. In those areas of Indian the SIP, EPA refers throughout this notice to country, the rule does not have tribal regulations contained in the Jefferson County related to the attainment and portion of the Kentucky SIP as the ‘‘Jefferson maintenance of the NAAQS. implications as specified by Executive County’’ regulations. Order 13175 (65 FR 67249, November 9, 2 Section 110(k)(6) states that ‘‘Whenever the IV. Statutory and Executive Order 2000), nor will it impose substantial Administrator determines that the Administrator’s Reviews direct costs on tribal governments or action approving, disapproving, or promulgating any plan or plan revision (or part thereof), area Under the CAA, the Administrator is preempt tribal law. required to approve a SIP submission designation, redesignation, classification, or List of Subjects in 40 CFR Part 52 reclassification was in error, the Administrator may that complies with the provisions of the in the same manner as the approval, disapproval, Act and applicable Federal regulations. Environmental protection, Air or promulgation revise such action as appropriate pollution control, Incorporation by without requiring any further submission from the See 42 U.S.C. 7410(k); 40 CFR 52.02(a). State. Such determination and the basis thereof Thus, in reviewing SIP submissions, reference, Intergovernmental relations, shall be provided to the State and public.’’ EPA’s role is to approve state choices, Ozone, Particulate matter, Reporting

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and recordkeeping requirements and • Commercial deliveries (other than entities seeking to participate in Volatile organic compounds. U.S. Postal Service Express Mail and Auction 106 have been dismissed. All Authority: 42 U.S.C. 7401 et seq. Priority Mail) must be sent to 9050 applicants wishing to participate in Junction Dr., Annapolis Junction, MD Auction 109, regardless of whether they Dated: February 23, 2021. 20701. may have previously filed a short-form John Blevins, • U.S. Postal Service first-class, application (FCC Form 175) for Auction Acting Regional Administrator, Region 4. Express, or Priority mail must be 106, will be required to file a new short- [FR Doc. 2021–04060 Filed 3–3–21; 8:45 am] addressed to 45 L Street NE, form application to participate in BILLING CODE 6560–50–P Washington, DC 20554. Auction 109. A window for filing short- • Until further notice, the form applications to participate in Commission no longer accepts any hand Auction 109 will be announced in a FEDERAL COMMUNICATIONS or messenger delivered filings. This is a subsequent public notice in this COMMISSION temporary measure taken to help protect proceeding. the health and safety of individuals and II. Construction Permits 47 CFR Parts 1 and 73 to mitigate the transmission of COVID– 19. 3. Auction 109 will offer four AM [AU Docket No. 21–39; DA 21–131; FR ID • Email: OMB and MB also request construction permits and 136 FM 17492] that a copy of all comments and reply construction permits. Attachment A to comments be submitted electronically to the Auction 109 Comment Public Notice Auction of AM and FM Broadcast lists each permit to be offered. Under Construction Permits Scheduled for the following address: auction109@ fcc.gov. the policies established in the Broadcast July 27, 2021; Comment Sought on Competitive Bidding Order, 63 FR Competitive Bidding Procedures for FOR FURTHER INFORMATION CONTACT: 48615, September 11, 1998, an applicant Auction 109 Auction legal questions: Lynne Milne may apply for any AM construction or Lyndsey Grunewald at 202–418– permit or vacant FM allotment listed in AGENCY: Federal Communications 0660. Commission. Attachment A to the Auction 109 General auction questions: Auctions Comment Public Notice. If two or more ACTION: Proposed rule; proposed auction Hotline at 717–338–2868. short-form applications (FCC Form 175) procedures. AM/FM service questions: James specify the same AM permit or FM Bradshaw or Lisa Scanlan or Tom allotment, they will be considered SUMMARY: The Office of Economics and Nessinger at (202) 418–2700. Analytics (OEA), in conjunction with mutually exclusive, mutual exclusivity SUPPLEMENTARY INFORMATION: the Media Bureau (MB), announces an This is a exists for auction purposes, and the auction of certain AM and FM broadcast summary of the Auction 109 Comment construction permit will be awarded by construction permits. This document Public Notice, AU Docket No. 21–39, competitive bidding procedures. Once seeks comment on minimum opening DA 21–131, released on February 8, mutual exclusivity exists for auction bid amounts and the procedures to be 2021. The complete text of the Auction purposes, even if only one applicant is used in Auction 109. 109 Comment Public Notice, including qualified to bid for a particular its attachment, is available on the construction permit in Auction 109, that DATES: Comments are due on or before Commission’s website at www.fcc.gov/ applicant is required to submit a bid in March 15, 2021, and reply comments auction/109 or by using the search order to obtain the construction permit. are due on or before March 22, 2021. function for AU Docket No. 21–39 on 4. AM Construction Permits. Auction Bidding in this auction is scheduled to the Commission’s ECFS web page at 109 will offer four construction permits begin July 27, 2021. www.fcc.gov/ecfs. Alternative formats in the AM broadcast service. ADDRESSES: Interested parties may file are available to persons with disabilities Attachment A to the Auction 109 comments or reply comments in AU by sending an email to [email protected] Comment Public Notice lists the Docket No. 21–39. Comments may be or by calling the Consumer & community of license, channel, class, filed using the Commission’s Electronic Governmental Affairs Bureau at (202) and coordinates for each AM permit Comment Filing System (ECFS) or by 418–0530 (voice), (202) 418–0432 being offered. filing paper copies. All filings in (TTY). 5. The construction permits to be response to the Auction 109 Comment auction are for four previously licensed Public Notice must refer to AU Docket I. Introduction AM stations, listed in Attachment A to No. 21–39. The Commission strongly 1. By the Auction 109 Comment the Auction 109 Comment Public encourages interested parties to file Public Notice, the Commission Notice, the license renewals of which comments electronically. announces an auction of four AM were dismissed with prejudice in a • Electronic Filers: Comments may be construction permits and 136 FM hearing before the Commission’s filed electronically using the internet by construction permits, with bidding to Administrative Law Judge and the call accessing the ECFS at https:// start on July 27, 2021, and seeks signs deleted. www.fcc.gov/ecfs/. Follow the comment on the procedures to be used 6. To facilitate the auction of the four instructions for submitting comments. to conduct Auction 109, as well as upon AM permits, the four AM facilities will • Paper Filers: Parties who choose to minimum opening bids for the permits. be treated as existing allotments, using file by paper must file an original and 2. Auction 109 will offer all of the FM the coordinates, AM station frequency one copy of each filing. radio permits that were previously and class, and community of license of • Filings in response to the Auction included in the inventory for Auction the respective AM facility as listed in 109 Comment Public Notice can be sent 106, as well as six additional FM Attachment A to the Auction 109 by commercial courier or by the U.S. permits. Auction 106 was postponed on Comment Public Notice. The Media Postal Service. All filings must be March 25, 2020, with no appointed date Bureau has protected these four AM addressed to the Commission’s for resumption, due to the Covid–19 stations by freezing the filing of any Secretary, Office of the Secretary, pandemic. That auction is now minor modification applications that Federal Communications Commission. canceled; applications submitted by would be mutually exclusive with the

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facilities of the four AM stations. 12. Under this proposal, Auction 109 a construction permit for which it is the Because protections extend to the will consist of sequential bidding provisionally winning bidder would not previously licensed facility parameters, rounds, each of which would be keep the auction open under this applicants will be limited in their followed by the release of round results. modified stopping rule. (2) The auction opportunities to modify these AM The initial bidding schedule will be would close for all construction permits permits. announced in a public notice to be after the first round in which no bidder 7. FM Construction Permits. Auction released at least one week before the applies a waiver, no bidder withdraws 109 will also offer 136 construction start of bidding. a provisionally winning bid (if permits in the FM broadcast service. 13. OEA and MB propose that the withdrawals are permitted in this The construction permits to be initial bidding schedule may be auction), or no bidder places any new auctioned include all of the 130 FM adjusted in order to foster an auction bid on a construction permit that allotments that had previously been pace that reasonably balances speed already has a provisionally winning bid. listed in the inventory for Auction 106 with the bidders’ need to study round Absent any other bidding activity, a as well as six additional FM allotments. results and adjust their bidding bidder placing a new bid on an FCC- The FM allotments offered in Auction strategies. Under this proposal, such held construction permit (a construction 109 include 34 construction permits changes may include the amount of time permit that does not already have a that were offered but not sold or were for the bidding rounds, the amount of provisionally winning bid) would not defaulted upon in prior auctions. time between rounds, or the number of keep the auction open under this Attachment A identifies those rounds per day, depending upon modified stopping rule. (3) The auction previously offered permits and the bidding activity and other factors. OEA would close using a modified version of auctions in which they were offered. and MB request comment on this the simultaneous stopping rule that 8. Attachment A to the Auction 109 proposal. Commenters on this issue combines (1) and (2) above. (4) The Comment Public Notice lists the specific should address the role of the bidding auction would close after a specified vacant FM allotments for which the schedule in managing the pace of the number of additional rounds (special Commission will offer construction auction, specifically discussing the stopping rule) to be announced in permits in this auction, along with the tradeoffs in managing auction pace by advance in the FCC auction bidding bidding schedule changes, by changing reference coordinates for each vacant system. If this special stopping rule is the activity requirement(s) or bid FM allotment. These comprise FM invoked, bids will be accepted in the amount parameters, or by using other channels added to the Table of FM specified final round(s), after which the means. auction will close. (5) The auction Allotments, 47 CFR 73.202(b), pursuant 14. Stopping Rule. In accordance with to the Commission’s established would remain open even if no bidder 47 CFR 1.2104(e), stopping rules are places any new bid, applies a waiver, or rulemaking procedures and assigned at established before or during multiple the indicated communities. withdraws any provisionally winning round auctions in order to complete the bid (if withdrawals are permitted in this 9. Each applicant in the FM service auction within a reasonable time. For auction). In this event, the effect will be has the opportunity to submit a set of Auction 109, OEA and MB propose to the same as if a bidder had applied a preferred site coordinates as an employ a simultaneous stopping rule waiver. The activity rule will apply as alternative to the reference coordinates approach, which means all construction usual, and a bidder with insufficient for the vacant FM allotment upon which permits remain available for bidding activity will either lose bidding the applicant intends to bid. A future until bidding stops on every eligibility or use a waiver. public notice announcing the construction permit. Specifically, 16. OEA and MB propose to exercise procedures for Auction 109 will provide bidding will close on all construction these options only in certain guidelines for completing FCC Form 175 permits after the first round in which no circumstances, for example, where the and exhibits, including detailed bidder submits any new bid, applies a auction is proceeding unusually slowly instructions for specifying preferred site proactive activity rule waiver, or or quickly, there is minimal overall coordinates. withdraws any provisionally winning bidding activity, or it appears likely that III. Proposed Bidding Procedures bid (if bid withdrawals are permitted in the auction will not close within a this auction). Thus, under the proposed reasonable period of time or will close 10. Simultaneous Multiple-Round simultaneous stopping rule, bidding prematurely. Before exercising these Auction Design. OEA and MB propose would remain open on all construction options, OEA and MB will likely to use the Commission’s simultaneous permits until bidding stops on every attempt to change the pace of the multiple-round auction format for construction permit. Consequently, auction by changing the number of Auction 109. As described further under this approach, it is not possible bidding rounds per day or the minimum below, this type of auction offers every to determine in advance how long the acceptable bids, for example. OEA and construction permit for bid at the same bidding in this auction will last. MB propose to retain the discretion to time and consists of successive bidding 15. Further, OEA and MB propose to exercise any of these options with or rounds in which qualified bidders may retain the discretion to exercise any of without prior announcement during the place bids on individual construction the following stopping options during auction. OEA and MB request comment permits. Typically, bidding remains Auction 109: (1) The auction would on these proposals. Commenters should open on all construction permits until close for all construction permits after provide specific reasons for supporting bidding stops on every construction the first round in which no bidder or objecting to these proposals. permit. OEA and MB invite comment on applies a waiver, no bidder withdraws 17. Auction Delay, Suspension, or this proposal. a provisionally winning bid (if Cancellation. Pursuant to 47 CFR 11. Bidding Rounds. The Commission withdrawals are permitted in this 1.2104(i), OEA and MB may delay, will conduct Auction 109 over the auction), or no bidder places any new suspend, or cancel bidding in the internet using the FCC auction bidding bid on a construction permit for which auction, at any time before or during the system. A bidder will also have the it is not the provisionally winning bidding process of Auction 109, in the option of placing bids by telephone bidder. Absent any other bidding event of a natural disaster, technical through a dedicated auction bidder line. activity, a bidder placing a new bid on obstacle, network interruption,

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administrative or weather necessity, during the auction as prices change. If result in the use of an activity rule evidence of an auction security breach an applicant is found to be qualified to waiver, if any remain, or a reduction in or unlawful bidding activity, or for any bid on more than one permit being the bidder’s eligibility for the next other reason that affects the fair and offered in Auction 109, such bidder may round of bidding, possibly curtailing or efficient conduct of competitive place bids on multiple construction eliminating the bidder’s ability to place bidding. Notification of any such delay, permits, provided that the total number additional bids in the auction. OEA and suspension, or cancellation will be of bidding units associated with those MB seek comment on these activity provided by public notice or through construction permits does not exceed requirements. Commenters that oppose the FCC auction bidding system’s that bidder’s current eligibility. A a 100% activity requirement should messages function. If bidding is delayed bidder cannot increase its eligibility explain their reasons with specificity. or suspended, the auction may resume during the auction; it can only maintain 23. Activity Rule Waivers and starting from the beginning of the its eligibility or decrease its eligibility. Reducing Eligibility. Pursuant to the current round or from some previous In calculating its upfront payment proposed simultaneous multiple round round, or the auction may be cancelled amount and hence its initial bidding auction format, when a bidder’s activity in its entirety. This authority will be eligibility, an applicant must determine in the current round is below the exercised solely at the discretion of OEA the maximum number of bidding units required minimum level, it may and MB, and not as a substitute for on which it may wish to bid (or hold preserve its current level of eligibility situations in which bidders may wish to provisionally winning bids) in any through an activity rule waiver, if apply activity rule waivers. OEA and single round and submit an upfront available. An activity rule waiver MB seek comment on this proposal. payment amount covering that total applies to an entire round of bidding, 18. Upfront Payments and Bidding number of bidding units. OEA and MB not to a particular construction permit. Eligibility. In keeping with the usual request comment on these proposals. Activity rule waivers can be either practice in spectrum auctions, OEA and 21. Any applicant that submits a proactive or automatic. Activity rule MB propose that applicants be required short-form application, but fails to waivers are primarily a mechanism for to submit upfront payments in timely submit an upfront payment, will a bidder to avoid the loss of bidding accordance with 47 CFR 1.2106 as a retain its status as an applicant in eligibility in the event that exigent prerequisite to becoming qualified to Auction 109 and will remain subject to circumstances prevent it from bidding bid. As described below, the upfront the rules prohibiting certain in a particular round. payment is a refundable deposit made communications but, having purchased 24. The FCC auction bidding system by an applicant to establish its no bidding eligibility, will not be will assume that a bidder that does not eligibility to bid on construction eligible to bid. An applicant that fails to meet the activity requirement would permits. Upfront payments that are become a qualified bidder for any other prefer to use an activity rule waiver (if related to the specific construction reason also will retain its status as an available) rather than lose bidding permits being auctioned protect against Auction 109 applicant and will remain eligibility. Therefore, the system will frivolous or insincere bidding and subject to the rules prohibiting certain automatically apply a waiver at the end provide the Commission with a source communications. of any bidding round in which a of funds from which to collect payments 22. Activity Rule. To ensure that the bidder’s activity level is below the owed at the close of the bidding. As auction closes within a reasonable minimum required unless: (1) The required by 47 CFR 1.2106(a), a former period of time, an activity rule requires bidder has no activity rule waiver defaulter must submit an upfront bidders to bid actively throughout the remaining; or (2) the bidder overrides payment equal to 50 percent more than auction, rather than wait until late in the automatic application of a waiver by the amount that would otherwise be the auction before participating. For reducing eligibility, thereby meeting the required. purposes of the activity rule, the FCC activity requirement. If a bidder has no 19. OEA and MB seek comment on an auction bidding system calculates a waivers remaining and does not satisfy appropriate upfront payment for each bidder’s activity in a round as the sum the required activity level, the bidder’s construction permit being auctioned, of the bidding units associated with any current eligibility will be permanently taking into account such factors as the construction permits upon which it reduced, possibly curtailing or efficiency of the auction process and the places bids during the current round eliminating the ability to place potential value of similar construction and the bidding units associated with additional bids in the auction. permits. With these considerations in any construction permits for which it 25. A bidder with insufficient activity mind, upfront payments are specified in holds provisionally winning bids. See may wish to reduce its bidding Attachment A to the Auction 109 47 CFR 1.2104(f). Bidders are required eligibility rather than use an activity Comment Public Notice. OEA and MB to be active on a specific percentage of rule waiver. If so, the bidder must seek comment on those proposed their current bidding eligibility during affirmatively override the automatic upfront payment amounts. each round of the auction. OEA and MB waiver mechanism during the bidding 20. It is proposed also that the amount propose a single-stage auction with the round by using the reduce eligibility of the upfront payment submitted by a following activity requirement: In each function in the FCC auction bidding bidder will determine its initial bidding bidding round, a bidder desiring to system. In this case, the bidder’s eligibility in bidding units, which are a maintain its current bidding eligibility eligibility would be permanently measure of bidder eligibility and is required to be active on 100% of its reduced to bring it into compliance with bidding activity. OEA and MB propose bidding eligibility. Thus, the activity the activity rule described above. to assign each construction permit a requirement would be satisfied when a Reducing eligibility is an irreversible specific number of bidding units, equal bidder has bidding activity on action; once eligibility has been to one bidding unit per dollar of the construction permits with bidding units reduced, a bidder cannot regain its lost upfront payment amount listed in that total 100% of its current eligibility bidding eligibility. Attachment A to the Auction 109 in the round. If the activity rule is met, 26. Under the proposed simultaneous Comment Public Notice. The number of then the bidder’s eligibility does not stopping rule, a bidder would be bidding units for a given construction change in the next round. Failure to permitted to apply an activity rule permit is fixed and does not change maintain the requisite activity level will waiver proactively as a means to keep

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the auction open without placing a bid. 31. If commenters believe that these provisionally winning bid amount, and If a bidder proactively applies an minimum opening bid amounts will that sum is rounded using the activity rule waiver (using the proactive result in unsold construction permits, Commission’s standard rounding waiver function in the FCC auction are not reasonable amounts at which to procedure for auctions as described in bidding system) during a bidding round start bidding, or should instead operate the public notice. If bid withdrawals are in which no bid is placed or withdrawn as reserve prices, they should explain permitted in this auction, in the case of (if bid withdrawals are permitted in this why this is so and comment on the a construction permit for which the auction), the auction will remain open desirability of an alternative approach. provisionally winning bid has been and the bidder’s eligibility will be Commenters should support their withdrawn, the minimum acceptable preserved. An automatic waiver applied claims with valuation analyses and bid amount will equal the second by the FCC auction bidding system in a suggested amounts or formulas for highest bid received for the construction round in which there is no new bid, no reserve prices or minimum opening permit. bid withdrawal (if bid withdrawals are bids. In establishing the minimum 34. Additional Bid Amounts. Under permitted in this auction), or no opening bid amounts, OEA and MB seek this proposal, the FCC auction bidding proactive waiver would not keep the comment particularly on factors that system will calculate the eight auction open. could reasonably have an impact on additional bid amounts using the 27. Consistent with prior Commission bidders’ valuation of the broadcast minimum acceptable bid amount and an auctions of broadcast construction spectrum, including the type of service additional bid increment percentage. permits, OEA and MB propose that each and class of facility offered, market size, The minimum acceptable bid amount is bidder in Auction 109 be provided with population covered by the proposed AM multiplied by the additional bid three activity rule waivers that may be or FM broadcast facility and any other increment percentage. The result then used as set forth above at the bidder’s relevant factors. Commenters also may will be rounded using the Commission’s discretion during the course of the wish to address the general role of standard rounding procedures for auction. Comment is sought on this minimum opening bids in managing the auctions as described in the public proposal of three activity rule waivers. pace of the auction. For example, notice. That result is the additional 28. Reserve Price or Minimum commenters could compare using increment amount. The first additional Opening Bids. Pursuant to 47 U.S.C. minimum opening bids—e.g., by setting acceptable bid amount equals the 309(j)(4)(F) and 47 CFR 1.2104(c), (d), higher minimum opening bids to reduce minimum acceptable bid amount plus OEA and MB seek comment on the use the number of rounds it takes for the additional increment amount. The of a minimum opening bid amount and construction permits to reach their final second additional acceptable bid a reserve price prior to the start of prices—to other means of controlling amount equals the minimum acceptable bidding in this auction. Normally, a auction pace, such as changes to bid amount plus two times the reserve price is an absolute minimum bidding schedules, percentage additional increment amount; the third price below which a construction increments, or activity requirements. additional acceptable bid amount is the permit or license will not be sold in a 32. Bid Amounts. OEA and MB minimum acceptable bid amount plus given auction. A minimum opening bid, propose that if a qualified bidder has three times the additional increment on the other hand, is the minimum bid sufficient eligibility to place a bid on a amount; etc. If, for example, the price set at the beginning of the auction particular construction permit, in each additional bid increment percentage is below which no bids are accepted. It is round, the bidder will be able to place 5%, then the calculation of the generally used to accelerate the a bid on the given construction permit additional increment amount would be competitive bidding process. in any of up to nine different amounts: (minimum acceptable bid amount) * 29. OEA and MB propose not to The minimum acceptable bid amount or (0.05), rounded. The first additional establish separate reserve prices for the one of the additional bid amounts. acceptable bid amount equals construction permits offered in this 33. Minimum Acceptable Bid (minimum acceptable bid amount) + auction. OEA and MB propose to Amounts. The first of the acceptable bid (additional increment amount); the establish minimum opening bid amounts is called the minimum second additional acceptable bid amounts for Auction 109. Based on acceptable bid amount. The minimum amount equals (minimum acceptable experience in past broadcast auctions, acceptable bid amount for a bid amount) + (2*(additional increment setting a minimum opening bid amount construction permit will be equal to its amount)); the third additional judiciously is an effective bidding tool minimum opening bid amount until acceptable bid amount equals for accelerating the competitive bidding there is a provisionally winning bid for (minimum acceptable bid amount) + process. the construction permit. Once there is a (3*(additional increment amount)); etc. 30. For Auction 109, proposed provisionally winning bid for a 35. For Auction 109, a minimum minimum opening bid amounts were construction permit, the minimum acceptable bid increment percentage of determined by taking into account the acceptable bid amount for that 10% is proposed. This means that the type of service and class of facility construction permit will be equal to the minimum acceptable bid amount for a offered, market size, population covered amount of the provisionally winning bid construction permit will be by the proposed broadcast facility, and plus a specified percentage of that bid approximately 10% greater than the recent broadcast transaction data, to the amount. The percentage used for this provisionally winning bid amount for extent such information is available. calculation, the minimum acceptable the construction permit. To calculate Attachment A to the Auction 109 bid increment percentage, is multiplied the additional acceptable bid amounts, Comment Public Notice lists a proposed by the provisionally winning bid a bid increment percentage of 5% is minimum opening bid amount for each amount, and the resulting amount is proposed. OEA and MB request construction permit available in added to the provisionally winning bid comment on these proposals. Auction 109. OEA and MB seek amount. If, for example, the minimum 36. Bid Amount Changes. Consistent comment on the minimum opening bid acceptable bid increment percentage is with past practice, OEA and MB amounts specified in Attachment A to 10%, then the provisionally winning propose to retain the discretion to the Auction 109 Comment Public bid amount is multiplied by 10%. The change the minimum acceptable bid Notice. result of that calculation is added to the amounts, the minimum acceptable bid

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percentage, the additional bid increment bids when round results are released. A bid(s), if permitted, is subject to the bid percentage, and the number of provisionally winning bid will remain withdrawal payment provisions of 47 acceptable bid amounts if circumstances the provisionally winning bid until CFR 1.2104(g), 1.2109. so dictate. See 47 CFR 1.2104(d). OEA there is a higher bid on the same 42. The Commission has recognized and MB propose to retain the discretion construction permit at the close of a that bid withdrawals may be a helpful to do so on a construction permit-by- subsequent round, unless the tool for bidders seeking to efficiently construction permit basis. OEA and MB provisionally winning bid is withdrawn aggregate licenses or implement backup propose also to retain the discretion to (if bid withdrawals are permitted in this strategies in certain auctions. The limit (a) the amount by which a auction). Provisionally winning bids at Commission has also acknowledged that minimum acceptable bid for a the end of the auction become the allowing bid withdrawals may construction permit may increase winning bids. As a reminder, encourage insincere bidding or compared with the corresponding provisionally winning bids count increased opportunities for undesirable provisionally winning bid, and (b) the toward activity for purposes of the strategic bidding in certain amount by which an additional bid activity rule. circumstances. The Commission stated amount may increase compared with 39. The FCC auction bidding system that this discretion should be exercised the immediately preceding acceptable assigns a pseudo-random number assertively, with consideration of bid amount. For example, a $1,000 limit generated by an algorithm to each bid limiting the number of rounds in which could be set on increases in minimum when the bid is entered. If identical bidders may withdraw bids and acceptable bid amounts over high bid amounts are submitted on a preventing bidders from bidding on a provisionally winning bids. In this construction permit in any given round particular market if a bidder is abusing example, if calculating a minimum (i.e., tied bids), the FCC auction bidding the Commission’s bid withdrawal acceptable bid using the minimum system will use a pseudo-random procedures. In managing the auction, acceptable bid increment percentage number generator to select a single therefore, OEA and MB have discretion results in a minimum acceptable bid provisionally winning bid from among to limit the number of withdrawals to amount that is $1,200 higher than the the tied bids. The tied bid with the prevent bidding abuses. provisionally winning bid on a highest pseudo-random number wins 43. Based on this guidance and on construction permit, the minimum the tiebreaker and becomes the experience with past auctions of acceptable bid amount would instead be provisionally winning bid. The broadcast construction permits, the capped at $1,000 above the remaining bidders, as well as the public notice proposes to prohibit provisionally winning bid. OEA and MB provisionally winning bidder, can bidders from withdrawing any bid after also seek comment on the circumstances submit higher bids in subsequent the close of the round in which that bid under which such a limit should be rounds. However, if the auction were to was placed. In light of the site-specific employed, factors to consider when end with no other bids being placed, the nature and wide geographic dispersion determining the dollar amount of the winning bidder would be the one that of the permits available in this auction, limit, and the tradeoffs in setting such placed the provisionally winning bid. If which suggests that potential applicants a limit or changing other parameters, the construction permit receives any for this auction may have fewer such as changing the minimum bids in a subsequent round, the incentives to aggregate permits through acceptable bid percentage, the bid provisionally winning bid again will be the auction process (as compared with increment percentage, or the number of determined by the highest bid amount bidders in many auctions of wireless acceptable bid amounts. Bidders would received for the construction permit. licenses), it is unlikely that bidders will be notified by announcement in the FCC 40. Bid Removal. The FCC auction have a need to withdraw bids in this auction bidding system during the bidding system allows each bidder to auction. Further, bid withdrawals, auction if this discretion is exercised. remove any of the bids it placed in a particularly if they were made late in 37. OEA and MB seek comment on round before the close of that round. By this auction, could result in delays in these proposals. If commenters disagree removing a bid placed within a round, licensing new broadcast stations and with the proposal to begin the auction a bidder effectively unsubmits the bid. attendant delays in the offering of new with nine acceptable bid amounts per In contrast to the bid withdrawal broadcast service to the public. OEA construction permit, they should provisions described below, a bidder and MB seek comment on this proposal suggest an alternative number of removing a bid placed in the same to prohibit bid withdrawals in Auction acceptable bid amounts to use. round is not subject to a withdrawal 109. Commenters advocating alternative Commenters may wish to address the payment. Once a round closes, a bidder approaches should support their role of the minimum acceptable bids may no longer remove a bid. Consistent arguments by taking into account the and the number of acceptable bid with the design of the bidding system, construction permits offered, the impact amounts in managing the pace of the bidders in Auction 109 would be of auction dynamics and the pricing auction and the tradeoffs in managing permitted to remove bids placed in a mechanism, and the effects on the auction pace by changing the bidding round before the close of that round. bidding strategies of other bidders. schedule, activity requirement, bid 41. Bid Withdrawal. OEA and MB 44. Post Auction Payment: Interim amounts, or by using other means. propose not to permit bidders in Withdrawal Payment Percentage. In the 38. Provisionally Winning Bids. The Auction 109 to withdraw bids. When event bid withdrawals are permitted in FCC auction bidding system will permitted in an auction, bid Auction 109, OEA and MB propose that determine provisionally winning bids withdrawals provide a bidder with the the interim bid withdrawal payment be consistent with practice in past option of withdrawing bids placed in 20% of the withdrawn bid. As required auctions. At the end of a bidding round, prior rounds that have become by 47 CFR 1.2104(g)(1), a bidder that the bidding system will determine a provisionally winning bids. A bidder withdraws a provisionally winning bid provisionally winning bid for each would be able to withdraw its during an auction is subject to a construction permit based on the provisionally winning bids using the withdrawal payment equal to the highest bid amount received for that withdraw function in the FCC auction difference between the amount of the permit. The FCC auction bidding system bidding system. A bidder that withdrawn bid and the amount of the will advise bidders of the status of their withdraws its provisionally winning winning bid in the same or a subsequent

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auction. However, if a construction same spectrum is won in an auction, Competitive Bidding Notice of Proposed permit for which a bid has been plus an additional payment equal to a Rulemaking (NPRM), 62 FR 65392, withdrawn does not receive a percentage of the defaulter’s bid or of December 12, 1997, and other subsequent higher bid or winning bid in the subsequent winning bid, whichever Commission NPRMs (collectively, the same auction, the Commission is less. Competitive Bidding NPRMs) pursuant cannot calculate the final withdrawal 47. In advance of each auction, a to which Auction 109 will be payment until that construction permit percentage between 3% and 20% of the conducted. Final Regulatory Flexibility receives a higher bid or winning bid in applicable winning bid is set pursuant Analyses (FRFAs) likewise were a subsequent auction. In such cases, to 47 CFR 1.2104(g)(2) to be assessed as prepared in the Broadcast Competitive when that final withdrawal payment an additional default payment. As the Bidding Order, 63 FR 48615, September cannot yet be calculated, the Commission has indicated, the level of 11, 1998, and other Commission Commission imposes on the bidder this additional payment in each auction rulemaking orders (collectively, responsible for the withdrawn bid an will be based on the nature of the Competitive Bidding Orders) pursuant interim bid withdrawal payment, which service and the construction permits to which Auction 109 will be will be applied toward any final bid being offered. conducted. The Office of Economics and withdrawal payment that is ultimately 48. Consistent with the percentage in Analytics (OEA), in conjunction with assessed. prior auctions of broadcast construction the Media Bureau (MB), has prepared 45. The percentage amount of the permits, OEA and MB propose for this Supplemental Initial Regulatory interim bid withdrawal payment is Auction 109 to establish an additional Flexibility Analysis (Supplemental established in advance of bidding in default payment of 20%. As the IRFA) of the possible significant each auction and may range from 3% to Commission has noted, defaults weaken economic impact on small entities of the 20% of the withdrawn bid amount. The the integrity of the auction process and policies and rules addressed in the Commission has determined that the may impede the deployment of service Auction 109 Comment Public Notice, to level of interim withdrawal payment in to the public, and an additional 20% supplement the Commission’s Initial a particular auction will be based on the default payment will be more effective and Final Regulatory Flexibility nature of the service and the inventory in deterring defaults than the 3% used Analyses completed in the Competitive of the licenses being offered. The in some earlier auctions. In light of Bidding NPRMs and the Competitive Commission noted specifically that a these considerations, for Auction 109 an Bidding Orders pursuant to which higher interim withdrawal payment additional default payment of 20% of Auction 109 will be conducted. Written percentage is warranted to deter the the relevant bid is proposed. OEA and public comments are requested on this anti-competitive use of withdrawals MB seek comment on this proposal. Supplemental IRFA. Comments must be when, for example, bidders will not IV. Procedural Matters identified as responses to the need to aggregate the licenses being Supplemental IRFA and must be filed 49. Paperwork Reduction Act. The offered in the auction or when there are by the same filing deadlines for Office of Management and Budget few synergies to be captured by comments specified on the first page of (OMB) has approved the information combining licenses. In light of these the Auction 109 Comment Public collections in the Application to considerations with respect to the Notice. Pursuant to 5 U.S.C. 603(a), the Participate in an FCC Auction, FCC construction permits being offered in Commission will send a copy of the Form 175. OMB Control No. 3060–0600. this auction, OEA and MB propose to Auction 109 Comment Public Notice, The Auction 109 Comment Public use the maximum interim bid including this Supplemental IRFA, to withdrawal payment percentage Notice does not propose new or the Chief Counsel for Advocacy of the permitted by 47 CFR 1.2104(g)(1) in the modified information collection Small Business Administration (SBA). event bid withdrawals are allowed in requirements subject to the Paperwork this auction. OEA and MB request Reduction Act of 1995 (PRA), Public 52. Need for, and Objectives of, the comment on using 20% for calculating Law 104–13. Therefore, it does not Public Notice. The proposed procedures an interim bid withdrawal payment contain any new or modified for the conduct of Auction 109 as amount in Auction 109. Commenters information collection burden for small described in the Auction 109 Comment advocating the use of bid withdrawals business concerns with fewer than 25 Public Notice would constitute the more should also address the percentage of employees pursuant to the Small specific implementation of the the interim bid withdrawal payment. Business Paperwork Relief Act of 2002, competitive bidding rules contemplated 46. Post Auction Payment: Additional Public Law 107–198. See 44 U.S.C. by Parts 1 and 73 of the Commission’s Default Payment Percentage. Any 3506(c)(4). rules, adopted by the Commission in winning bidder that defaults or is 50. Ex Parte Rules. This proceeding multiple notice-and-comment disqualified after the close of an auction has been designated as a permit but rulemaking proceedings, including the (i.e., fails to remit the required down disclose proceeding in accordance with Commission’s establishing in the payment by the specified deadline, fails the ex parte rules. Participants in this underlying rulemaking orders to make full and timely final payment, proceeding should familiarize additional procedures to be used on fails to submit a timely long-form themselves with the Commission’s ex delegated authority. More specifically, application, or whose long-form parte rules, especially 47 CFR 1.1200(a) the Auction 109 Comment Public Notice application is not granted for any and 1.1206. seeks comment on proposed procedures, reason, or is otherwise disqualified) is terms and conditions governing Auction liable for a default payment under 47 IV. Supplemental Initial Regulatory 109, and the post-auction application CFR 1.2104(g)(2). As required by 47 CFR Flexibility Analysis and payment processes, as well as 1.2109, this payment consists of a 51. As required by the Regulatory seeking comment on the minimum deficiency payment, equal to the Flexibility Act of 1980, as amended opening bid amounts for the specified difference between the amount of the (RFA), 5 U.S.C. 601—612, the construction permits, and is fully Auction 109 bidder’s winning bid and Commission prepared Initial Regulatory consistent with the underlying the amount of the winning bid the next Flexibility Analyses (IRFAs) in rulemaking orders, including the time a construction permit covering the connection with the Broadcast Broadcast Competitive Bidding Order

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and other relevant competitive bidding Commission has established a FM construction permits held to date, orders. framework of competitive bidding rules an average of 1.8 short-form 53. The Auction 109 Comment Public pursuant to which it has conducted applications were filed per construction Notice provides notice of proposed auctions since the inception of the permit offered, with a median of 1.2 auction procedures and adequate time auction program in 1994 and would applications per permit. The actual for Auction 109 applicants to comment conduct Auction 109, including 47 CFR number of applicants for Auction 109 on those proposed procedures. See 47 part 1, subpart Q. See 47 CFR 73.5000, could vary significantly as any U.S.C. 309(j)(3)(E)(i). To promote the 73.5002–73.5003, 73.5005–73.5009. In individual’s or entity’s decision to efficient and fair administration of the promulgating those rules, the participate may be affected by a number competitive bidding process for all Commission conducted numerous of factors beyond the Commission’s Auction 109 participants, including Initial Regulatory Flexibility Act control. small businesses, the Auction 109 Analyses (IRFAs) to consider the 57. Radio Stations. This U.S. Comment Public Notice seeks comment possible impact of those rules on small Economic Census category comprises on the following proposed procedures: businesses that might seek to participate establishments primarily engaged in Use of a simultaneous multiple-round in Commission auctions. In addition, broadcasting aural programs by radio to auction format, consisting of sequential multiple Final Regulatory Flexibility the public. Programming may originate bidding rounds with a simultaneous Analyses (FRFAs) were included in the in their own studio, from an affiliated stopping rule (with discretion to rulemaking orders which adopted or network, or from external sources. exercise alternative stopping rules amended rule provisions relevant to According to the most recent Report and under certain circumstances); a specific Auction 109 Comment Public Notice. Order, 85 FR 37364, June 22, 2020, to minimum opening bid amount for each The Commission has directed that OEA, assess annual regulatory fees, construction permit to be offered in this in conjunction with MB, under Commission staff identified from the auction; a specific number of bidding delegated authority, seek comment on a Media Bureau’s licensing databases units for each construction permit; a variety of auction-specific procedures 9,636 licensed radio facilities subject to specific upfront payment amount for prior to the start of bidding in each annual regulatory fees as of October 1, each construction permit; establishment auction. See 47 CFR 1.2104(c), (d), (e), 2019, excluding from this count radio of a bidder’s initial bidding eligibility in (f), (g), (i). stations exempt from required annual bidding units based on that bidder’s 55. Description and Estimate of the regulatory fees. upfront payment through assignment of Number of Small Entities to Which the 58. In 13 CFR 121.201, the SBA a specific number of bidding units for Proposed Procedures Will Apply. The established a small business size each construction permit; use of an RFA directs agencies to provide a standard for this category, NAICS code activity requirement so that bidders description of and, where feasible, an 515112, as firms having $41.5 million or must bid actively during the auction estimate of the number of small entities less in annual receipts. Economic rather than waiting until late in the that may be affected by the proposed Census data from 2012 shows that 2,849 auction before participating; a single- procedures, if adopted. 5 U.S.C. radio station firms operated during that stage auction in which a bidder is 603(b)(3). The RFA generally defines the year. Of that number, 2,806 firms required to be active on 100% of its term small entity as having the same operated with annual receipts of less bidding eligibility in each bidding meaning as the terms small business, than $25 million per year, 17 with round; provision of three activity small organization, and small annual receipts between $25 million waivers for each bidder to allow it to government jurisdiction. 5 U.S.C. and $49,999,999, and 26 with annual preserve eligibility during the course of 601(6). In addition, the term small receipts of $50 million or more. the auction; use of minimum acceptable business has the same meaning as the Therefore, based on the SBA’s size bid amounts and additional bid term small business concern under the standard, the majority of such entities increments, along with a proposed Small Business Act. See 5 U.S.C. 601(3) are small entities. methodology for calculating such (adopting by reference the definition of 59. According to Commission staff amounts, while retaining discretion to small business concern in the Small review of the BIA/Kelsey, LLC’s Media change the methodology if Business Act, 15 U.S.C. 632). A small Access Pro Radio Database (BIA) as of circumstances dictate; a procedure for business concern is one which: (1) Is January 26, 2021, nearly all AM and FM breaking ties if identical high bid independently owned and operated, (2) full-service radio stations amounts are submitted on a is not dominant in its field of operation, (approximately 15,478 of 15,483 total construction permit in a given round; and (3) satisfies any additional criteria stations, or 99.97%) had revenues of whether to permit use of bid established by the SBA. See 15 U.S.C. $41.5 million or less and thus qualify as withdrawals; establishment of an 632. small entities under the SBA definition. interim bid withdrawal percentage of 56. The specific procedures and The SBA size standard data, however, 20% of the withdrawn bid in the event minimum opening bid amounts on does not enable a meaningful estimate bid withdrawals are allowed in Auction which comment is sought in the of the number of small entities who may 109; and establishment of an additional Auction 109 Comment Public Notice participate in Auction 109. default payment of 20% under 47 CFR will directly affect all applicants 60. Also, in assessing whether a 1.2104(g)(2) in the event that a winning participating in Auction 109. The business entity qualifies as small under bidder defaults or is disqualified after number of entities that may apply to the SBA definition, 13 CFR the auction closes. participate in Auction 109 is unknown. 121.103(a)(1), business control 54. Legal Basis. The Commission’s Based on the number of applicants in affiliations must be included. Business statutory obligations to small businesses prior FM auctions, OEA and MB concerns are affiliates of each other participating in a spectrum auction are estimate that the number of applicants when one concern controls or has the found in 47 U.S.C. 309(j)(3)(B) and for Auction 109 may range from power to control the other, or a third 309(j)(4)(D). The statutory basis for the approximately 130 to 260. This estimate party or parties controls or has the Commission’s competitive bidding rules is based on the number of applicants power to control both. The estimate is found in 47 U.S.C. 154(i), 301, 303(e), who filed short-form applications to therefore likely overstates the number of 303(f), 303(r), 304, 307, and 309(j). The participate in previous open auctions of small entities that might be affected by

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this auction because the revenue figure Commission designed the auction Further, small entities as well as other on which it is based does not include or application process itself to minimize auction participants will be able to avail aggregate revenues from affiliated reporting and compliance requirements themselves of a telephone hotline for companies. Moreover, the definition of for applicants, including small business assistance with auction processes and small business also requires that an applicants. To participate in this procedures as well as a telephone entity not be dominant in its field of auction, parties will file streamlined, technical support hotline to assist with operation and that the entity be short-form applications in which they issues such as access to or navigation independently owned and operated. certify under penalty of perjury as to within the electronic FCC Form 175 and The estimate of small businesses to their qualifications. Eligibility to use of the FCC’s auction system. In which the proposed competitive participate in bidding is based on an addition, all auction participants, bidding rules may apply does not applicant’s short-form application and including small business entities, will exclude any radio station from the certifications, as well as its upfront have access to various other sources of definition of a small business on these payment. In the second phase of the information and databases through the bases and is therefore over-inclusive to auction process, there are additional Commission that will aid in both their that extent. Furthermore, it is not compliance requirements for winning understanding of and participation in possible at this time to define or bidders. Thus, a small business that fails the process. These mechanisms are quantify the criteria that would to become a winning bidder does not made available to facilitate participation establish whether a specific radio need to file a long-form application and by all qualified bidders and may result station is dominant in its field of provide the additional showings and in significant cost savings for small operation. In addition, it is difficult to more detailed demonstrations required business entities that utilize these assess these criteria in the context of of a winning bidder. mechanisms. These steps, coupled with media entities and therefore estimates of 64. Steps Taken to Minimize the the advance description of the bidding small businesses to which they apply Significant Economic Impact of Small procedures, should ensure that the may be over-inclusive to this extent. Entities, and Significant Alternatives auction will be administered efficiently 61. Further, it is not possible to Considered. The RFA requires an and fairly, thus providing certainty for accurately develop an estimate of how agency to describe any significant, small entities, as well as other auction many of the entities in this auction specifically small business, alternatives participants. would be small businesses based on the that it has considered in reaching its 66. Federal Rules That May Duplicate, number of small entities that applied to proposed approach, which may include Overlap, or Conflict With the Proposed participate in prior broadcast auctions, the following four alternatives (among Rules. None. because that information is not collected others): (1) The establishment of from applicants for broadcast auctions differing compliance or reporting Federal Communications Commission. in which bidding credits are not based requirements or timetables that take into Marlene Dortch, on an applicant’s size (as is the case in account the resources available to small Secretary. auctions of licenses for wireless entities; (2) the clarification, [FR Doc. 2021–04033 Filed 3–1–21; 4:15 pm] services). consolidation, or simplification of BILLING CODE 6712–01–P 62. In 2013, the Commission compliance and reporting requirements estimated that 97% of radio under the rule for such small entities; broadcasters met the SBA’s prior (3) the use of performance rather than DEPARTMENT OF THE INTERIOR definition of small business concern, design standards; and (4) an exemption based on annual revenues of $7 million. from coverage of the rule, or any part Fish and Wildlife Service The SBA has since increased in NAICS thereof, for such small entities. 5 U.S.C. code 515112 of 13 CFR 121.201 that 603(c)(1)–(4). 50 CFR Part 17 revenue threshold to $41.5 million, 65. OEA and MB intend that the [Docket No. FWS–R2–ES–2020–0130; which suggests that an even greater proposals of the Auction 109 Comment FF09E21000 FXES11110900000 212] percentage of radio broadcasters would Public Notice to facilitate participation fall within the SBA’s definition. The in Auction 109 will result in both RIN 1018–BF21 Commission has estimated the number operational and administrative cost Endangered and Threatened Wildlife of licensed commercial AM radio savings for small entities and other and Plants; Endangered Species stations to be 4,347 and the number of auction participants. In light of the Status for Arizona Eryngo and commercial FM radio stations to be numerous resources that will be Designation of Critical Habitat 6,699 for a total number of 11,046. As available from the Commission at no of January 2021, 4,347 AM stations and cost, the processes and procedures AGENCY: Fish and Wildlife Service, 6,694 FM stations had revenues of $41.5 proposed in the Auction 109 Comment Interior. million or less, according to Public Notice should result in minimal ACTION: Proposed rule. Commission staff review of the BIA economic impact on small entities. For Database. Accordingly, based on this example, prior to the start of bidding, SUMMARY: We, the U.S. Fish and data, OEA and MB estimate that the the Commission will hold a mock Wildlife Service (Service), announce a majority of Auction 109 applicants auction to allow qualified bidders the 12-month finding on a petition to list would likely meet the SBA’s definition opportunity to familiarize themselves the Arizona eryngo (Eryngium of a small business concern. with both the bidding processes and sparganophyllum), a plant species 63. Description of Projected systems that will be used in Auction native to Arizona and New Mexico in Reporting, Recordkeeping, and Other 109. During the auction, participants the United States, and to Sonora and Compliance Requirements for Small will be able to access and participate in Chihuahua in Mexico, as an endangered Entities. In the Auction 109 Comment bidding via the internet using a web- species and to designate critical habitat Public Notice, no new reporting, based system, or telephonically, in Arizona under the Endangered recordkeeping, or other compliance providing two cost-effective methods of Species Act of 1973, as amended (Act). requirements for small entities or other participation and avoiding the cost of After a review of the best available auction applicants are proposed. The travel for in-person participation. scientific and commercial information,

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we find that listing the species is Any additional tools or supporting species, at the time it is listed, on which warranted. Accordingly, we propose to information that we may develop for the are found those physical or biological list the Arizona eryngo as an critical habitat designation will also be features (I) essential to the conservation endangered species under the Act. If we available at the Service website set out of the species and (II) which may finalize this rule as proposed, it would above and may also be included in the require special management add this species to the List of preamble and/or at http:// considerations or protections; and (ii) Endangered and Threatened Plants and www.regulations.gov. specific areas outside the geographical extend the Act’s protections to the FOR FURTHER INFORMATION CONTACT: Jeff area occupied by the species at the time species. We also propose to designate Humphrey, Arizona Ecological Services it is listed, upon a determination by the critical habitat for the Arizona eryngo Field Office, 9828 North 31st Ave. C3, Secretary that such areas are essential under the Act. In total, approximately Phoenix, AZ 85051–2517; telephone for the conservation of the species. 13.0 acres (5.3 hectares) in Pima and 602–242–0210. Persons who use a Section 4(b)(2) of the Act states that the Cochise Counties, Arizona, fall within telecommunications device for the deaf Secretary must make the designation on the boundaries of the proposed critical (TDD) may call the Federal Relay the basis of the best scientific data habitat designation. We also announce Service at 800–877–8339. available and after taking into the availability of a draft economic consideration the economic impact, the SUPPLEMENTARY INFORMATION: analysis (DEA) of the proposed impact on national security, and any designation of critical habitat for the Executive Summary other relevant impacts of specifying any Arizona eryngo. Why we need to publish a rule. Under particular area as critical habitat. DATES: We will accept comments the Act, if we determine that a species Peer review. In accordance with our received or postmarked on or before is an endangered or threatened species joint policy on peer review published in May 3, 2021. Comments submitted throughout all or a significant portion of the Federal Register on July 1, 1994 (59 electronically using the Federal its range, we are required to promptly FR 34270), and our August 22, 2016, eRulemaking Portal (see ADDRESSES, publish a proposal in the Federal memorandum updating and clarifying below) must be received by 11:59 p.m. Register and make a determination on the role of peer review of listing actions Eastern Time on the closing date. We our proposal within 1 year. To the under the Act, we sought the expert must receive requests for a public maximum extent prudent and opinions of eight appropriate specialists hearing, in writing, at the address determinable, we must designate critical regarding the species status assessment shown in FOR FURTHER INFORMATION habitat for any species that we report used to inform this proposed CONTACT by April 19, 2021. determine to be an endangered or rule. We received responses from four ADDRESSES: You may submit comments threatened species under the Act. specialists, which informed this by one of the following methods: Listing a species as an endangered or proposed rule. The purpose of peer (1) Electronically: Go to the Federal threatened species and designation of review is to ensure that our listing eRulemaking Portal: critical habitat can only be completed determinations and critical habitat http://www.regulations.gov. In the by issuing a rule. designations are based on scientifically Search box, enter FWS–R2–ES–2020– What this document does. We sound data, assumptions, and analyses. 0130, which is the docket number for propose to list the Arizona eryngo as an The peer reviewers have expertise in the this rulemaking. Then, click on the endangered species under the Act, and biology, habitat, and threats to the Search button. On the resulting page, in we propose the designation of critical species. the Search panel on the left side of the habitat for the species. Information Requested screen, under the Document Type The basis for our action. Under the heading, check the Proposed Rule box to Act, we may determine that a species is We intend that any final action locate this document. You may submit an endangered or threatened species resulting from this proposed rule will be a comment by clicking on ‘‘Comment because of any of five factors: (A) The based on the best scientific and Now!’’ present or threatened destruction, commercial data available and be as (2) By hard copy: Submit by U.S. mail modification, or curtailment of its accurate and as effective as possible. to: Public Comments Processing, Attn: habitat or range; (B) overutilization for Therefore, we request comments or FWS–R2–ES–2020–0130, U.S. Fish and commercial, recreational, scientific, or information from other concerned Wildlife Service, MS: PRB/3W, 5275 educational purposes; (C) disease or governmental agencies, Native Leesburg Pike, Falls Church, VA 22041– predation; (D) the inadequacy of American tribes, the scientific 3803. existing regulatory mechanisms; or (E) community, industry, or any other We request that you send comments other natural or manmade factors interested parties concerning this only by the methods described above. affecting its continued existence. We proposed rule. We will post all comments on http:// have determined that the Arizona We particularly seek comments www.regulations.gov. This generally eryngo is primarily at risk of extinction concerning: means that we will post any personal due to habitat changes: Physical (1) The species’ biology, range, and information you provide us (see alteration of cienegas, water loss, and population trends, including: Information Requested, below, for more changes in co-occurring vegetation, all (a) Biological or ecological information). of which are exacerbated by the effects requirements of the species, including Availability of supporting materials: of climate change. habitat requirements for nutrition, For the critical habitat designation, the Section 4(a)(3) of the Act requires the reproduction, or pollination; coordinates or plot points or both from Secretary of the Interior (Secretary) to which the maps are generated are designate critical habitat concurrent (b) Genetics and taxonomy; included in the administrative record with listing to the maximum extent (c) Historical and current range, and are available at https:// prudent and determinable. Section including distribution patterns; www.fws.gov/southwest/es/arizona/, at 3(5)(A) of the Act defines critical habitat (d) Historical and current population http://www.regulations.gov under as (i) the specific areas within the levels, and current and projected trends; Docket No. FWS–R2–ES–2020–0130. geographical area occupied by the and

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(e) Past and ongoing conservation (i) Regarding whether occupied areas personal identifying information, you measures for the species, its habitat, or are adequate for the conservation of the may request at the top of your document both. species; and that we withhold this information from (2) Factors that may affect the (ii) Providing specific information public review. However, we cannot continued existence of the species, regarding whether or not unoccupied guarantee that we will be able to do so. which may include habitat modification areas would, with reasonable certainty, We will post all hardcopy submissions or destruction, overutilization, disease, contribute to the conservation of the on http://www.regulations.gov. predation, the inadequacy of existing species and contain at least one physical Comments and materials we receive, regulatory mechanisms, or other natural or biological feature essential to the as well as supporting documentation we or manmade factors. conservation of the species. used in preparing this proposed rule, (3) Biological, commercial trade, or (7) Land use designations and current will be available for public inspection other relevant data concerning any or planned activities in the subject areas on http://www.regulations.gov. threats (or lack thereof) to this species and their possible impacts on proposed Because we will consider all and existing regulations that may be critical habitat. comments and information we receive addressing those threats. (8) Any probable economic, national during the comment period, our final security, or other relevant impacts of (4) Additional information concerning determinations may differ from this designating any area that may be the historical and current status, range, proposal. Based on the new information included in the final designation, and distribution, and population size of this we receive (and any comments on that the related benefits of including or species, including the locations of any new information), we may conclude that excluding specific areas. the species is threatened instead of additional populations of this species. (9) Information on the extent to which endangered, or we may conclude that (5) The reasons why we should or the description of probable economic the species does not warrant listing as should not designate habitat as ‘‘critical impacts in the draft economic analysis either an endangered species or a habitat’’ under section 4 of the Act (16 is a reasonable estimate of the likely threatened species. For critical habitat, U.S.C. 1531 et seq.), including economic impacts. information to inform the following (10) Whether any specific areas we are our final designation may not include factors that the regulations identify as proposing for critical habitat all areas proposed, may include some reasons why designation of critical designation should be considered for additional areas that meet the definition habitat may be not prudent: exclusion under section 4(b)(2) of the of critical habitat, and may exclude (a) The species is threatened by taking Act, and whether the benefits of some areas if we find the benefits of or other human activity and potentially excluding any specific area exclusion outweigh the benefits of identification of critical habitat can be outweigh the benefits of including that inclusion. expected to increase the degree of such area under section 4(b)(2) of the Act. Public Hearing threat to the species; (11) Whether we could improve or (b) The present or threatened modify our approach to designating Section 4(b)(5) of the Act provides for destruction, modification, or critical habitat in any way to provide for a public hearing on this proposal, if curtailment of a species’ habitat or range greater public participation and requested. Requests must be received by is not a threat to the species, or threats understanding, or to better the date specified in DATES. Such to the species’ habitat stem solely from accommodate public concerns and requests must be sent to the address causes that cannot be addressed through comments. shown in FOR FURTHER INFORMATION management actions resulting from Please include sufficient information CONTACT. We will schedule a public consultations under section 7(a)(2) of with your submission (such as scientific hearing on this proposal, if requested, the Act; journal articles or other publications) to and announce the date, time, and place of the hearing, as well as how to obtain (c) Areas within the jurisdiction of the allow us to verify any scientific or reasonable accommodations, in the United States provide no more than commercial information you include. Federal Register and local newspapers negligible conservation value, if any, for Please note that submissions merely at least 15 days before the hearing. For a species occurring primarily outside stating support for, or opposition to, the the immediate future, we will provide the jurisdiction of the United States; or action under consideration without these public hearings using webinars (d) No areas meet the definition of providing supporting information, that will be announced on the Service’s critical habitat. although noted, will not be considered in making a determination, as section website, in addition to the Federal (6) Specific information on: 4(b)(1)(A) of the Act directs that Register. The use of these virtual public (a) The amount and distribution of determinations as to whether any hearings is consistent with our Arizona eryngo habitat; species is an endangered or a threatened regulations at 50 CFR 424.16(c)(3). (b) What areas, that were occupied at species must be made ‘‘solely on the Previous Federal Actions the time of listing and that contain the basis of the best scientific and physical or biological features essential commercial data available.’’ On April 9, 2018, we received a to the conservation of the species, You may submit your comments and petition from the Center for Biological should be included in the designation materials concerning this proposed rule Diversity, requesting that the Arizona and why; by one of the methods listed in eryngo be listed as endangered or (c) Special management ADDRESSES. We request that you send threatened and critical habitat be considerations or protection that may be comments only by the methods designated for this species under the needed in critical habitat areas we are described in ADDRESSES. Act. On April 26, 2019, we published proposing, including managing for the If you submit information via http:// our 90-day finding that the petition potential effects of climate change; and www.regulations.gov, your entire presented substantial scientific (d) What areas not occupied at the submission—including any personal information indicating that listing the time of listing are essential for the identifying information—will be posted Arizona eryngo under the Act may be conservation of the species. We on the website. If your submission is warranted (84 FR 17768). This particularly seek comments: made via a hardcopy that includes document constitutes our 12-month

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warranted petition finding for the The species has been found in Nayarit, Zacatecas, Michoacań, and Arizona eryngo. conditions from standing water up to 2 Guerrero are likely not valid because the centimeters (cm) (0.8 inches (in)) deep herbarium specimen from Durango, Supporting Documents to soil that is dry at the surface but is Mexico, is morphologically different A species status assessment (SSA) moist to saturated several cm into the from northern specimens (Stomberg et team prepared an SSA report for the soil (Stromberg et al. 2019, pp. 6, 8). It al. 2019, p. 7). Additionally, a report of Arizona eryngo. The SSA team was is hypothesized that flowering is the species occurring in Zacatecas, composed of Service biologists, in determined, in part, by soil moisture Nayarit, and Jalisco lacks supporting consultation with other species experts. availability (i.e., plants do not flower in herbaria records (Stromberg et al. 2019, The SSA report represents a drier conditions when the plants are p. 7), and specimens collected from compilation of the best scientific and more stressed) and that ramets (clones) Michoacań and Guerrero appear to be a commercial data available concerning are produced during drier periods (Li distinct taxon due to differences in the status of the species, including the 2019, p. 8; Stromberg et al. 2019, p. 8). flower color, habitat, elevation, and impacts of past, present, and future Spatial distribution of Arizona eryngo flowering time (Stromberg et al. 2019, p. factors (both negative and beneficial) within cienegas appears to be associated 8). Because the species is obvious (tall affecting the species. The Service sent with water availability; drier conditions with conspicuous flowers and locally the SSA report to eight independent favor the growth of trees that abundant) and most cienegas, peer reviewers and received four outcompete the species, and very wet particularly ones still extant in Arizona responses. The Service also sent the conditions (i.e., perennially standing and New Mexico, have been surveyed SSA report to 16 partners, including water) favor the growth of bulrush (AGFD 2019, p. 7), it is unlikely that scientists with expertise in wetland (Schoenoplectus americanus) that new populations will be found. The six management and conservation and plant similarly outcompetes Arizona eryngo historical and current populations are ecology, for review. We received review (Li 2019, p. 4). Soils inhabited by discussed in greater detail below: from eight partners (Federal, State, and Arizona eryngo are high in organic Las Playas, New Mexico, United County governments, and universities). matter, saline, alkaline, and have salts States (Extirpated)—The species on soil surfaces in the seasonally dry historically occurred at Playas or Las I. Proposed Listing Determination periphery (Stromberg et al. 2019, pp. 6, Playas Springs in the Playas Basin, east Background 14). of the Animas Mountains in Hidalgo The Arizona eryngo is known County, but it has not been found since A thorough review of the taxonomy, historically from six sites: Three sites in 1851 and is believed to be extirpated life history, and ecology of the Arizona Arizona and one in New Mexico in the (Sivinski 2018, p. 21; Stromberg et al. eryngo (Eryngium sparganophyllum) is United States, and one site in Sonora 2019, p. 4). The springs were presented in the SSA report (Service and one site in Chihuahua in Mexico diminished and Las Playas was found 2020). The Arizona eryngo is an (Sańchez Escalante et al. 2019, pp. 16– primarily dry by the mid to late 1950s herbaceous perennial flowering plant in 17; Stromberg et al. 2019, pp. 3–8). (Sivinski 2018, p. 27; Stromberg et al. the Apiaceae (carrot) family that is Given the historical distribution of 2019, p. 5). The cienega at Las Playas is native to Arizona and New Mexico in functional aridland cienegas (greater now considered dead (Sivinski 2018, p. the United States, and to Sonora and than 95 percent of the historical area of 8) due to agricultural and industrial (i.e., Chihuahua in Mexico. The species cienegas is now dry (Cole and Cole copper mining) dewatering (Stromberg requires moist, organic alkali soils 2015, p. 36)), it is likely that Arizona et al. 2019, p. 5). ‘‘Dead cienegas’’ are found in spring-fed cienegas (aridland eryngo populations were historically historical cienegas that no longer have wetlands) supported by adequate more abundant, occurred closer to one groundwater at or near the ground groundwater. another, and were more connected surface and likely have water tables so Arizona eryngo grows to a height of (through pollination) than they are severely depleted that restoration, given ∼ about 1.5 meters (m) ( 5 feet (ft)) with currently. The species has been today’s techniques and economics, is long, linear, parallel-veined leaves that extirpated from one site in Arizona and not feasible (Sivinksi 2019, p. 14). emerge from a basal rosette. The plant one site in New Mexico but remains Agua Caliente, Arizona, United States is conspicuous when flowering in June extant at the other four sites (two in (Extirpated)—Arizona eryngo through September (Stromberg et al. Arizona; one in Sonora, Mexico; and historically occurred at the Agua 2019, p. 8; New Mexico Rare Plants one in Chihuahua, Mexico). Caliente Ranch east of Tucson in Pima 2013, p. 1). The flowers are cream- Additionally, efforts are underway to County, Arizona, within the Santa Cruz colored and clustered in dense heads. reintroduce the species to the historical River Basin (Stromberg et al. 2019, p. 5). Dry fruits ripen in September and site in Arizona from which it was This population was extirpated likely October. The species is believed to live extirpated (Agua Caliente) and to due to multiple manipulations of the well over 10 years, and many introduce the species to a new site site, including spring modification pollinators have been documented (Historic Canoa Ranch in Pima County, (Stromberg et al., p. 5; SWCA 2002, pp. interacting with the species. Arizona Arizona) within its general historical 1–2) and pond impoundment. Two eryngo reproduces through pollination, range. A handful of plants now exist at springs (a hot spring and a cold spring) creating genetically unique individuals, these reintroduction sites, but these were blasted with explosives in the as well as vegetatively via rhizomes efforts have not yet been successful at 1930s, and again in the 1960s, to (underground stems) producing clones, establishing viable populations. With increase water flow for resort which are genetically identical the exception of the reintroduced plants development. Instead, the blasting (Stromberg et al. 2019, p. 8). at Agua Caliente, which is about 6 significantly reduced water flow The Arizona eryngo only occurs in kilometers (km) (3.7 miles (mi)) from the (Friends of Agua Caliente 2020, entire). spring-fed cienega wetlands and grows La Cebadilla population, other The flow rate from the springs has best in full sun in areas with few populations are about 90 to 335 km (56 varied from as high as 500 gallons per nonnative plant species, limited woody to 208 mi) apart from one another. minute historically, to an immeasurable vegetation, or other vegetation that may Reports of the species farther south in seep in recent years (Pima County 2020, shade or otherwise outcompete them. the Mexican states of Durango, Jalisco, entire).

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The property is now owned by Pima the plants occur in a very confined Rancho Agua Caliente, Sonora, County Natural Resources, Parks and space. Mexico (Extant)—Arizona eryngo occurs Recreation and is managed as a regional The homeowners association of La in the Agua Caliente Cienega on the park (Friends of Agua Caliente 2020, Cebadilla Estates manages the cienega privately owned Rancho Agua Caliente entire). Restoration of one of the ponds (the portion not owned by the Pima east of Esqueda in the municipality of (Pond 1) began in 2019, and was County Regional Flood Control District) Nacozari de Garcıá (Sańchez Escalante completed in 2020 (Pima County 2020, and nearby La Cebadilla Lake (also et al. 2019, p. 16; Stromberg et al. 2019, entire). This pond is maintained by referred to as a pond, to the west of the p. 7). Rancho Agua Caliente is an active pumped groundwater, but soil sealant cienega). The homeowners association cattle ranch. Based on aerial was used to reduce seepage and has enacted covenants that prevent photographs, the cienega appears to be conserve water. As part of the development of the cienega or sale to about 5 hectares (12.3 acres) (Stromberg restoration, select palm trees (Phoenix private developers (La Cebadilla Estates spp.) and invasive cattails (Typha spp.) et al. 2019, p. 7); however, it may only 2005, entire). The spring is located on be about 1.5 hectares (3.7 acres) were removed to encourage growth of the western edge of the cienega and a (Sańchez Escalante 2019, pers. comm.). native species, and a small wetland on concrete spring box diverts some water the northwest side of Pond 1 was to sustain the lake (Fonseca 2019, p. 2; This cienega is the only known site created (Pima County 2020, entire). Stromberg et al. 2019, p. 5). for Arizona eryngo in Sonora. In 2018, Experimental reintroductions of Lewis Springs, Arizona, United States hundreds of Arizona eryngo, including Arizona eryngo began in 2017, using (Extant)—Arizona eryngo occurs in the juveniles, occurred along the marsh near plants grown in a nursery with seeds Lewis Springs Cienega just to the east of the spring within a nearly 1-hectare collected from La Cebadilla (Fonseca the San Pedro River in Cochise County, (2.5-acres) area (Sańchez Escalante et al. 2018, entire; Stromberg et al. 2019, pp. within the San Pedro River Basin 2019, p. 16; Sańchez Escalante 2019, 5, 10). The initial reintroduction effort (Stromberg et al. 2019, p. 5). The pers. comm.). The estimated area in 2017 of 20 plants had limited success cienega is located within the San Pedro occupied by Arizona eryngo is larger due to javelina (Tayassu tajacu) damage, Riparian National Conservation Area than the other sites, while the as well as placement of the plants at (SPRNCA) managed by the Bureau of population estimate is quite low, thus sites where they experienced water Land Management (BLM). The San stress (Fonseca 2018, entire). The indicating the population is more sparse Pedro riparian area, containing about 64 or patchy than La Cebadilla or Lewis second effort in 2018 of 15 plants had km (40 mi) of the upper San Pedro improved success, but a number of Springs. Based on photography of the River, was designated by Congress as a plants were eaten by gophers site, it appears that Rancho Agua National Conservation Area in 1988. (Thomomys bottae) (Li 2019, p. 6) or Caliente currently supports areas with a The primary purpose for the designation died of other causes. More recent range of soil moisture (from standing is to conserve, protect, and enhance the reintroductions have resulted in the water to dry soils) and open sun desert riparian ecosystem, a rare establishment of additional plants, conditions. remnant of what was once an extensive including in the small wetland and network of similar riparian systems Ojo Varelen˜ o, Chihuahua, Mexico wildlife island of Pond 1; however, throughout the Southwest. (Extant)—Arizona eryngo occurs at a efforts have not yet resulted in the privately owned hot springs spa, El Ojo establishment of a self-sustaining The Lewis Springs Complex currently Varelen˜ o, located northwest of the Arizona eryngo population. has five groundwater outflows and is La Cebadilla, Arizona, United States comprised of multiple elongated municipality of Casas Grandes in (Extant)—Arizona eryngo occurs in the wetlands generally oriented northwest- Chihuahua (Sańchez Escalante et al. La Cebadilla Cienega adjacent to the southeast along a slope, totaling 1.2 2019, p. 9; Stromberg et al. 2019, pp. 6– Tanque Verde Wash east of Tucson in hectares (3 acres) (Radke 2013, entire; 7). The site is within the San Miguel Pima County, Arizona, within the Santa Simms 2019, entire; Stromberg et al. River Basin at the base of the Piedras Cruz River basin (Stromberg et al. 2019, 2019, p. 6; Li 2020a, p. 2). As of Verdes Mountains (Stromberg et al. p. 5). The cienega is located on lands September 2019, four of the eight 2019, p. 6). The extent of the cienega is owned by La Cebadilla Estates and the wetlands support Arizona eryngo currently about 1 hectare (2.5 acres) and Pima County Regional Flood Control (Simms 2019, entire). Within these four supports about 56 adult plants (Sańchez District; the majority of plants occur on wetlands, Arizona eryngo occurs in six Escalante et al. 2019, p. 17) that occupy the privately owned portion of the colonies with discrete boundaries, the an area of about 0.075 hectares (0.2 cienega. In 2019, Arizona eryngo was spatial extent of which was about 0.04 acres) (Sańchez Escalante 2019, pers. documented in a number of colonies hectares (0.1 acres) in 2019 (Li 2020a, p. comm.). No juveniles were documented. with a total spatial extent of 0.4 hectares 1). The population has had recent Based on photography of the site, it (1.11 acres) (Li 2020a, p. 1). Some estimates of over 1,000 plants ˜ colony boundaries are defined by the (Stromberg et al. 2019, p. 6; Li 2020a, p. appears that Ojo Vareleno currently presence of bulrush and tree canopy (Li 1; Li 2020b, p. 1). supports areas with a range of soil 2019, p. 1). BLM has conducted some removal of moisture (from standing water to dry The Arizona eryngo population at La the nonnative Johnsongrass (Sorghum soils) and sunlight conditions (from Cebadilla is estimated to be about halepense) at Lewis Springs and is open sun to highly shaded). The 30,000 aggregates—groups of clones, planning for additional removal of the nonnative giant reed (Arundo donax) which are genetically identical species. BLM is also planning invasion at the site is creating individuals that result from vegetative experimental removal of the native conditions with high amounts of shade reproduction (Li 2020b, p. 1). Each upland plant baccharis (Baccharis spp.) and little to no space for other plants. clone has a unique basal stem, and at Lewis Springs, as well as Springflow is collected in concrete spa multiple clones can form a clustered establishment of additional populations ponds (Sańchez Escalante et al. 2019, p. aggregate that resembles an individual and/or subpopulations of Arizona 28), which likely affects the natural plant (Li 2020a, p. 2). While this is the eryngo at suitable sites within Lewis hydrology of the site. largest of the four extant populations, Springs and the SPRNCA.

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Regulatory and Analytical Framework individual, population, and species application of standards within the Act level. We evaluate each threat and its and its implementing regulations and Regulatory Framework expected effects on the species, then policies. The following is a summary of Section 4 of the Act (16 U.S.C. 1533) analyze the cumulative effect of all of the key results and conclusions from the and its implementing regulations (50 the threats on the species as a whole. SSA report; the full SSA report can be CFR part 424) set forth the procedures We also consider the cumulative effect found at Docket No. FWS–R2–ES–2020– for determining whether a species is an of the threats in light of those actions 0130 on http://www.regulations.gov and endangered species or a threatened and conditions that will have positive at https://www.fws.gov/southwest/es/ species. The Act defines an endangered effects on the species, such as any arizona/. species as a species that is ‘‘in danger existing regulatory mechanisms or To assess viability of the Arizona of extinction throughout all or a conservation efforts. The Secretary eryngo, we used the three conservation significant portion of its range,’’ and a determines whether the species meets biology principles of resiliency, threatened species as a species that is the definition of an ‘‘endangered redundancy, and representation (Shaffer ‘‘likely to become an endangered species’’ or a ‘‘threatened species’’ only and Stein 2000, pp. 306–310). Briefly, species within the foreseeable future after conducting this cumulative resiliency supports the ability of the throughout all or a significant portion of analysis and describing the expected species to withstand environmental and its range.’’ The Act requires that we effect on the species now and in the demographic stochasticity (for example, determine whether any species is an foreseeable future. wet or dry, warm or cold years), endangered species or a threatened The Act does not define the term redundancy supports the ability of the species because of any of the following ‘‘foreseeable future,’’ which appears in species to withstand catastrophic events factors: the statutory definition of ‘‘threatened (for example, droughts, large pollution (A) The present or threatened species.’’ Our implementing regulations events), and representation supports the destruction, modification, or at 50 CFR 424.11(d) set forth a ability of the species to adapt over time curtailment of its habitat or range; framework for evaluating the foreseeable to long-term changes in the environment (B) Overutilization for commercial, future on a case-by-case basis. The term (for example, climate changes). In recreational, scientific, or educational ‘‘foreseeable future’’ extends only so far general, the more resilient and purposes; into the future as the Services can redundant a species is and the more (C) Disease or predation; reasonably determine that both the representation it has, the more likely it (D) The inadequacy of existing future threats and the species’ responses is to sustain populations over time, even regulatory mechanisms; or to those threats are likely. In other under changing environmental (E) Other natural or manmade factors words, the foreseeable future is the conditions. Using these principles, we affecting its continued existence. period of time in which we can make identified the species’ ecological These factors represent broad reliable predictions. ‘‘Reliable’’ does not requirements for survival and categories of natural or human-caused mean ‘‘certain’’; it means sufficient to reproduction at the individual, actions or conditions that could have an provide a reasonable degree of population, and species levels, and effect on a species’ continued existence. confidence in the prediction. Thus, a described the beneficial and risk factors In evaluating these actions and prediction is reliable if it is reasonable influencing the species’ viability. conditions, we look for those that may to depend on it when making decisions. The SSA process can be categorized have a negative effect on individuals of It is not always possible or necessary into three sequential stages. During the the species, as well as other actions or to define foreseeable future as a first stage, we evaluated the individual conditions that may ameliorate any particular number of years. Analysis of species’ life history needs. The next negative effects or may have positive the foreseeable future uses the best stage involved an assessment of the effects. scientific and commercial data available historical and current condition of the We use the term ‘‘threat’’ to refer in and should consider the timeframes species’ demographics and habitat general to actions or conditions that are applicable to the relevant threats and to characteristics, including an known to or are reasonably likely to the species’ likely responses to those explanation of how the species arrived negatively affect individuals of a threats in view of its life-history at its current condition. The final stage species. The term ‘‘threat’’ includes characteristics. Data that are typically of the SSA involved making predictions actions or conditions that have a direct relevant to assessing the species’ about the species’ responses to positive impact on individuals (direct impacts), biological response include species- and negative environmental and as well as those that affect individuals specific factors such as lifespan, anthropogenic influences. Throughout through alteration of their habitat or reproductive rates or productivity, all of these stages, we used the best required resources (stressors). The term certain behaviors, and other available information to characterize ‘‘threat’’ may encompass—either demographic factors. viability as the ability of a species to together or separately—the source of the Analytical Framework sustain populations in the wild over action or condition or the action or time. We use this information to inform condition itself. The SSA report documents the results our regulatory decision. However, the mere identification of of our comprehensive biological review any threat(s) does not necessarily mean of the best scientific and commercial Summary of Biological Status and that the species meets the statutory data regarding the status of the species, Threats definition of an ‘‘endangered species’’ or including an assessment of the potential In this discussion, we review the a ‘‘threatened species.’’ In determining threats to the species. The SSA report biological condition of the species and whether a species meets either does not represent a decision by the its resources, and the threats that definition, we must evaluate all Service on whether the species should influence the species’ current and future identified threats by considering the be proposed for listing as an endangered condition, in order to assess the species’ expected response by the species, and or threatened species under the Act. It overall viability and the risks to that the effects of the threats—in light of does, however, provide the scientific viability. those actions and conditions that will basis that informs our regulatory Using various timeframes and the ameliorate the threats—on an decisions, which involve the further current and projected future resiliency,

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redundancy, and representation, we example, the species is a perennial and as there are few young individuals to describe the species’ levels of viability commonly produces ramets, which sustain the population over time. A over time. For the Arizona eryngo to means that fewer individuals are needed population that is less dense but has maintain viability, its populations or to achieve an MVP. Conversely, it is an many young individuals may be likely some portion thereof must be resilient. herbaceous plant, which means that an to grow denser in the future, or such a A number of factors influence the MVP may require higher abundance. population may be lost if a single resiliency of Arizona eryngo The other characteristics are unknown stochastic event affects many seedlings populations, including occupied area, for this species. Based on our current at once. Therefore, the presence of abundance, and recruitment. Elements understanding of the species’ life young individuals is an important of the species’ habitat that determine history, we conclude that an initial MVP indicator of population resiliency into whether Arizona eryngo populations in the middle of the spectrum provided the future. by Pavlik (1996, p. 137) is appropriate. can grow to maximize habitat Occupied Area occupancy influence those factors, Therefore, a population size of 1,225 thereby influencing the resiliency of may be needed to achieve high Highly resilient Arizona eryngo populations. These resiliency factors resiliency for the Arizona eryngo. populations must occupy cienegas large and habitat elements are discussed in Determinations of MVP usually take enough such that stochastic events and detail in the SSA report and into account the effective population environmental fluctuations that affect summarized here. size, rather than total number of individual plants or colonies do not individuals; 10 genetically identical eliminate the entire population. Species Needs individuals (for example, clones or Repopulation through seed dispersal Abundance ramets) would have an effective and germination and ramet production population size of one. In the case of the within the cienega can allow the Larger plant populations have a lower Arizona eryngo, we have estimates of population to recover from these events. risk of extinction than smaller abundance of individuals for each Larger functional cienegas are likely populations (Menges 2000, p. 78). Small population, but we do not know the to support larger populations of Arizona populations are less resilient and more ratio of ramets to genetically unique eryngo and are more likely to provide vulnerable to the effects of individuals, although evidence patches of suitable habitat when small demographic, environmental, and indicates the species is highly clonal. In stochastic events and environmental genetic stochasticity and have a higher cases like this, Tependino (2012, p. 946) fluctuations occur. For example, during risk of extinction than larger suggests adjusting the stem counts of drought years, areas closer to spring populations (Matthies et al. 2004, pp. rare clonal species to adjust for the seeps and possibly areas with natural 481, 485). Small populations may inflated population size from the depressions (i.e., topographic variation) experience increased inbreeding, loss of inclusion of ramets. Therefore, to may retain more moisture throughout genetic variation, and ultimately a account for the clonal nature of the the year than areas farther away from decreased potential to adapt to Arizona eryngo, to estimate our final seeps and slightly higher in elevation. environmental change (Matthies et al. MVP we added 50 percent to the Conversely, during years with heavy 2004, p. 481). When rare plant estimated MVP, which resulted in a rainfall, slightly higher elevation areas populations are very small (fewer than total of about 1,840 plants needed to be may retain moist soils that are not 100 individuals), they may suffer from a highly resilient population. inundated year round, providing inbreeding depression (Maschinski and suitable habitat for the species. Albrecht 2017, p. 392). Furthermore, Recruitment Areas currently occupied by Arizona fewer pollinators visit plants in small Arizona eryngo populations must also eryngo range from about 0.04 hectares and isolated populations, which may reproduce and produce sufficient (0.1 acre) to 0.9 hectares (2.2 acres). lead to reduced pollination and lowered amounts of seedlings and ramets such Based on historical and current fecundity (Matthies et al. 2004, p. 482). that recruitment equals or exceeds estimates of cienega size and area For populations of Arizona eryngo to mortality. Ideally, we would know key occupied by Arizona eryngo, we be resilient, abundance should be high demographic parameters of the plant approximate that a resilient Arizona enough that local stochastic events do (i.e., survival, life expectancy, lifespan, eryngo population should occupy not eliminate all individuals, allowing the ratio of ramets to genetically unique greater than 1 hectare (2.5 acres) within the overall population to recover from individuals) to estimate the percentage a functional cienega. any one event. A greater number of of juveniles required in a population to individuals in a population increases achieve population stability or growth. Soil Moisture the chance that a portion of the Because we currently do not know any Resilient Arizona eryngo populations population will survive. The necessary of these parameters, we are using the need moist to saturated soils year round. abundance or minimum viable presence of juveniles as an important Arizona eryngo has been documented in population (MVP) size for Arizona demographic factor influencing standing water up to two centimeters to eryngo is unknown; however, resiliency. soil that is dry at the surface but estimations can be attained from Current population size and saturated several centimeters into the literature. For example, Pavlik (1996, p. abundance reflects previous influences soil (Stromberg et al. 2019, pp. 6, 8). It 137) recommends MVP sizes ranging on the population and habitat, while is hypothesized that flowering is from 50 individuals to 2,500 individuals reproduction and recruitment reflect determined, in part, by soil moisture for the conservation of rare plants, population trends that may be stable, availability (i.e., plants do not flower in depending on various life history increasing, or decreasing in the future. drier conditions when the plants are characteristics of the taxon. Some of the For example, a large, dense population more stressed) and that ramets are Arizona eryngo’s life history of Arizona eryngo that contains mostly produced during drier periods (Li 2019, characteristics indicate that an MVP old individuals may be able to p. 8; Stromberg et al. 2019, p. 8). may require higher abundance, while withstand a single stochastic event over Seedling recruitment may be episodic, other characteristics indicate that lower the short term, but it is not likely to with greater recruitment success in abundances may be sufficient. For remain large and dense into the future, wetter years. Soils must remain

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sufficiently moist for successful General Land Office survey notes, and lost their ecological function due to seedling recruitment, particularly in the early trapper and settler diaries physical alteration, such that hottest/driest time of the year (normally (Hendrickson and Minckley 1985, p. populations were more abundant, May/June). If soils become too dry, other 131; Fonseca 1998, p. 111; Cole and occurred closer to one another, and more drought-tolerant species are likely Cole 2015, p. 36; Brunelle et al. 2018, were more connected (through to encroach and outcompete the Arizona p. 2). Estimates of cienega abundance in pollination and seed dispersal) than eryngo (Simms 2019, p. 6; Li 2019, p. 1), the International Four Corners Region of they are currently. As a result of these or if or if it becomes very dry such that the Southwest (Arizona, Sonora, New lost cienegas, the four extant Arizona the roots are not in moist soil, the plant Mexico, and Chihuahua) vary from eryngo populations are now disjunct. is likely to die. If the soil is inundated hundreds to thousands (Cole and Cole Although grazing was one cause of the with water (such that there is standing 2015, p. 36; Sivinski 2018, entire). Of loss of historical cienega habitat, grazing water on the surface) for too long, other the 155 cienegas that Cole and Cole and trampling by livestock occur only species that grow more aggressively in (2015, p. 36) identified in the occasionally at Arizona eryngo mesic conditions are likely to International Four Corners Region, 87 populations. No grazing is authorized at outcompete the Arizona eryngo (Li (56 percent) are either dead or so Lewis Springs, and we are not aware of 2020, p. 2). severely compromised that there is no any grazing occurring at La Cebadilla prospect for their restoration. In and Ojo Varelen˜ o. Trespass livestock Sunlight addition to the reduced abundance of could enter Lewis Springs and affect Highly resilient Arizona eryngo cienegas in the International Four habitat in the cienega; although there populations require full sun. Under Corners Region, the remaining cienegas was no evidence of cattle in 2018 or canopy cover, the species grows less are greatly reduced in size, and due to 2019, there was evidence (i.e., scat and densely, and flowering is reduced. Tall many being severely incised, they are light trailing) of a trespass horse in the native and nonnative vegetation appears more similar to creeks than marshes area when Service biologists visited the to outcompete and suppress growth of (Cole and Cole 2015, p. 36). site in 2019. Cattle are present at the Arizona eryngo. While these species A number of complex factors, many of Rancho Agua Caliente, Sonora, and the may compete for sunlight, water, and which are interrelated, led to the habitat is somewhat disturbed by cattle nutrients, lack of sunlight may be a historical loss and degradation of (Sa´nchez Escalante et al. 2019, p. 16). primary factor driving the absence or cienegas and continue to contribute to Livestock (e.g., livestock trailing and decreased abundance of the Arizona this loss today. The primary factors gathering) can trample vegetation and eryngo. include intensive grazing of domestic expose and compact soil, resulting in livestock, the removal of beavers (Castor habitat erosion and altered hydrological Risk Factors for the Arizona Eryngo canadensis) from regional streams and function, but the effects of livestock are We reviewed the potential risk factors rivers, and agricultural recontouring dependent on many factors such as the (i.e., threats, stressors) that could be (Minckley et al. 2013a, p. 214; Cole and intensity, duration, and timing of affecting the Arizona eryngo now and in Cole 2015, p. 32). Intensive overgrazing grazing. In the absence of other forms of the future. In this proposed rule, we will by sheep and cattle from the late 1500s disturbance (e.g., fire), it is possible that discuss only those factors in detail that to the late 1800s led to barren soil, selective, well-managed livestock could meaningfully impact the status of erosion, headcutting (erosional feature grazing in the winter or spring could the species. Those risks that are not in a stream that contributes to lowering create habitat disturbance and open sun known to have effects on Arizona the water table of the surrounding conditions favoring Arizona eryngo eryngo populations, such as system), and increased frequency of or seedling establishment. overutilization for commercial and intensity of destructive floods, all Other physical alterations that scientific purposes and disease, are not leading to the alteration or complete occurred in the past likely continue to discussed here but are evaluated in the destruction (complete loss of ecological affect extant populations of Arizona SSA report. The primary risk factors function) of cienegas (Minckley et al. eryngo through changes in the natural affecting the status of the Arizona 2013a, p. 214; Cole and Cole 2015, p. hydrology of cienegas supporting the eryngo are: (1) Physical alteration of 32). Beaver dams, once numerous species. For example, a berm that has cienegas (Factor A), (2) water loss within the range of the Arizona eryngo, been present at La Cebadilla since at (Factor A), and (3) changes in co- slowed water and created pools and least 1941, as well as various houses occurring vegetation (Factor A). These wetlands along water courses, and and roads adjacent and near the cienega, factors are exacerbated by the ongoing enhanced groundwater recharge; all affect the natural hydrology of the and expected effects of climate change. however, high levels of beaver trapping site. Similarly, the railroad that runs Direct harm or mortality due to in the 1800s resulted in increased parallel to Lewis Springs likely affects herbivory or trampling (Factor C) may erosion and channel cutting of these the hydrology of the cienega. Unlike the also affect individuals and the once complex, shallow wetlands historical physical alterations that seedbank, but not at levels likely to (Gibson and Olden 2014, p. 395; Cole severely degraded cienegas, these affect species viability. and Cole 2015, p. 32). Additionally, alterations (berm, railroad, houses, etc.) early settlers recontoured (e.g., diverted, have not destroyed cienega function. Physical Loss and Alteration of Cienega dammed, channelized) cienegas for Habitat Water Loss agricultural, mining, disease control, Historically, cienegas were more and other purposes; this resulted in Water loss in cienegas poses a common and larger than they are today. further channelization and concentrated significant threat to the Arizona eryngo. Greater than 95 percent of the historical flow, greatly reducing the size of Causes of water loss are complex, but area of cienegas in the southwestern cienegas and further lowering the water the primary causes at cienegas United States and northwestern Mexico table (Cole and Cole 2015, p. 32; historically or currently supporting is now dry (Cole and Cole 2015, p. 36). Minckley et al. 2013b, p. 78). Arizona eryngo are: (1) Groundwater Functional cienegas were much more We expect that Arizona eryngo pumping/withdrawal, (2) spring common prior to the late 1800s, as populations were more widespread and modification, (3) water diversion, and evidenced by pollen and fire records, occurred at historical cienegas that have (4) drought. These stressors are all

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exacerbated by climate change. pumping, exceeds natural inflow to the Less is known about water loss Groundwater pumping or withdrawal regional aquifer within the associated with the cienegas supporting leads to aquifer depletion and no or subwatershed (Leake et al. 2008, p. 2). the Arizona eryngo in Mexico, but we reduced outflow from springheads. As a result, groundwater levels in parts are aware that the municipality of Casas Modification of springheads reduces or of the subwatershed are declining, and Grandes is interested in installing a eliminates springflow. Water diverted groundwater storage is being depleted pipeline from the spring at El Ojo from springheads reduces or eliminates (i.e., a negative water budget). Varelen˜ o to supply water to the the amount of water supporting the Groundwater pumping in the area of Universidad Tecnolo´gica de Casas cienega. Drought and warming also Lewis Springs, up to several kilometers Grandes. Currently at Ojo Varelen˜ o, reduce springflow and the amount of away, may be affecting the regional springflow is collected in concrete spa water in cienegas. Reduction in winter groundwater flow to the wetlands along ponds, which likely affects the natural rain particularly leads to reduced the San Pedro River, including Lewis hydrology of the site. aquifer recharge. Climate change is Springs (Stromberg et al. 2019, p. 9). Drought and warming—All Arizona expected to exacerbate drought The continued decline of groundwater eryngo populations are exposed to conditions, increase surface levels upgradient from perennial river drought, as well as warming temperatures and evapotranspiration, reaches will eventually diminish the temperatures from climate change. and reduce winter precipitation, all of base flow of the San Pedro River and Decreased precipitation and increased which may lead to a reduction in impact the riparian ecosystem within temperatures due to climate change will aquifer recharge and increased cienega the SPRNCA (Leake et al. 2008, p. 2). exacerbate declines in surface and drying. This groundwater use over the past groundwater levels, which will cause Water loss in cienegas reduces the century has been so profound that the further drying of cienega habitat quantity and quality of habitat for the effects of pumping over the past century required by the Arizona eryngo. Arizona eryngo. The species requires will eventually capture and eliminate Climate change has already begun, very moist to saturated soils and surface flow from the river, even if all and continued greenhouse gas possibly some standing water for seed groundwater pumping were to stop emissions at or above current rates will germination. As water is lost from (Gungle et al. 2016, p. 29). Models show cause further warming. Climate models cienegas, soils become drier, reducing the area of Lewis Springs as being one indicate that the transition to a more habitat quality and allowing woody of the areas of greatest groundwater loss arid climate is already underway and and/or invasive vegetation to establish, in the basin (Leake et al. 2008, p. 14). predict that in this century the arid further reducing available habitat. The aquifer supporting the La regions of the southwestern United Water loss from cienegas caused the Cebadilla springs could be reduced from States will become drier (i.e., decreased extirpation of the species at two of the numerous private wells (including the precipitation) and warmer (i.e., six cienegas known to historically Tanque Verde Guest Ranch) producing increased surface temperatures), and support the Arizona eryngo (Las Playas water from the aquifer that feeds the have fewer frost days, decreased snow in New Mexico, and Agua Caliente in springs (Eastoe and Fonseca 2019, pers. pack, increased frequency of extreme Arizona), and all populations continue comm.). It is unknown how quickly weather events (heat waves, droughts, to be exposed to water loss. The sources pumping a mile or two away from the and floods), declines in river flow and of water loss are discussed further springs might affect the springs soil moisture, and greater water demand below. themselves (Eastoe and Fonseca 2019, by plants, animals, and humans (Archer Groundwater withdrawal—The pers. comm.). and Predick 2008, p. 23; Garfin et al. population at Las Playas was extirpated We do not have information on the 2013, pp. 5–6). Increasing dryness in the primarily due to groundwater pumping source of water supplying the springs or southwestern United States and for agriculture and the Playas Smelter about the amount of groundwater use at northern Mexico is predicted to occur as that caused the desiccation of the spring Rancho Agua Caliente or Ojo Varelen˜ o, early as 2021–2040 (Seager et al. 2007, (Sivinski 2018, p. 27; Stromberg et al. both in Mexico. p. 1181). Climate modeling of the 2019, p. 5). Groundwater withdrawal is Spring modification—The Arizona southwestern United States shows also occurring near Lewis Springs, La eryngo population at Agua Caliente was consistent projections of drying, Cebadilla, and Agua Caliente. The use of extirpated due to a number of primarily due to a decrease in winter groundwater for agriculture, industry, manipulations, including spring precipitation (Collins et al. 2013, p. and urban and rural development has modification (i.e., the springs were 1080). For both Pima and Cochise enabled significant human population blasted in the 1930s and again in the Counties, where the La Cebadilla and growth in the arid Southwest. Increased 1960s) that significantly decreased the Lewis Springs populations occur, the groundwater withdrawal can reduce or water flow (Stromberg et al. 2019, p. 5; average daily maximum temperature, eliminate springflow, thereby Friends of Agua Caliente 2020, entire) under both lower (i.e. RCP 4.5) and eliminating wetlands altogether and pond impoundment. higher (i.e., RCP 8.5) emissions (Johnson et al. 2016, p. 52). Water diversion—The Arizona eryngo scenarios, will increase by mid-century The largest municipalities in the population at La Cebadilla has been (Climate Explorer 2020). Sierra Vista subwatershed, within exposed to water diversion for many Climate change over the 21st century which Lewis Springs occurs, are Sierra decades; this diversion may have led to is projected to reduce renewable surface Vista, Bisbee, Tombstone, and a reduction in the size of the cienega, water and groundwater resources in Huachuca City. Within these areas, the but enough water still flows to maintain most dry subtropical regions (IPCC human population is increasing, as is the cienega and support the largest 2014, p. 69). Over the next 100 years, development distributed in rural parts documented population (Fonseca 2019, groundwater recharge in the San Pedro of the subwatershed (Leake et al. 2008, p. 2; Stromberg et al. 2019, p. 5). Pond basin is expected to decrease 17 to 30 p. 1). This growing population is impoundment diverts water from the percent, depending on the climate dependent on groundwater to meet its cienega at Agua Caliente; this was scenario considered (Serrat-Capdevila et water consumption needs. Water pronounced in the 1960s during al. 2007, p. 63), and average annual base outflow from the subwatershed, subdivision construction and has flow will be half the base flow in 2000. including water withdrawn by continued since. As the area gets drier, the San Pedro

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aquifer groundwater overdraft will documented at wetlands with lowered also appears to be shading out Arizona become more severe as recharge water tables (Stromberg et al. 2019, p. eryngo (Fonseca 2019, entire). Arizona declines and groundwater pumping 9). These woody plants shade out ash (Fraxinus velutina) trees are increases (Meixner et al. 2016, p. 135). Arizona eryngo and cause water level invading the cienega and shading out For the purposes of our analysis, we declines in cienegas through increased Arizona eryngo as well (Li 2020b, p. 3). chose two Representative Concentration evapotranspiration, particularly in the At Ojo Varelen˜ o, many nonnative plant Pathways, RCP 4.5 and RCP 8.5 (IPCC summer (Johnson et al. 2016, p. 83). species also occur, with a particularly 2014, p. 8) to assess future condition of Invasive, nonnative plants (e.g., giant aggressive invasion of giant reed the Arizona eryngo. These climate reed, Johnsongrass) are of concern (Sa´nchez Escalante et al. 2019, pp. 9– scenarios were incorporated into our because they often quickly colonize an 10). future scenarios of the status of the area and aggressively compete with In summary, nonnative Johnsongrass Arizona eryngo in the SSA report. native species such as the Arizona and giant reed are likely to continue to Summary of water loss—In summary, eryngo for sunlight, water, and aggressively invade Lewis Springs and water loss has caused the extirpation of nutrients. Giant reed is a fast-growing, Ojo Varelen˜ o. These nonnative plant two of six known populations of the tall (up to 6 meters (m) (∼20 feet (ft)), species may contribute to the near-term Arizona eryngo and has affected the perennial, hydrophytic (water-loving) extirpation of Arizona eryngo current viability of all extant grass that grows in riparian areas, populations at these sites. Woody populations. Both extant U.S. streams, irrigation ditches, and vegetation encroachment at La Cebadilla populations are exposed to water loss wetlands. It is an aggressive invader that and Lewis Springs is also likely to through groundwater withdrawal, and rapidly spreads into a thick continue, further degrading habitat one of these (La Cebadilla) is also monoculture that outcompetes and conditions. exposed to spring diversion. shades out other vegetation (Frandsen Direct Harm and Mortality Groundwater withdrawal, particularly 1997, p. 245; DiPietro 2002, p. 9). Giant when exacerbated by climate change, is reed is fire-adapted and resprouts from Livestock, such as cattle and horses, a primary threat to the survival of the extensive underground rhizomes even and native herbivores (both invertebrate Arizona eryngo at Lewis Springs and La after very hot fires that kill native and vertebrate) may cause harm or Cebadilla. Less is known about water vegetation (DiPietro 2002, p. 9). mortality to Arizona eryngo plants loss associated with the two populations Additionally, it uses large amounts of through trampling, herbivory, or in Mexico, but spring diversion is water, thereby reducing the amount of uprooting. Because mature plants have proposed at one site supporting the water available for native vegetation large, fibrous leaves, cattle are more Arizona eryngo, and it is likely that the (DiPietro 2002, p. 10). likely to consume young plants at an species is vulnerable to groundwater Johnsongrass is a fast-growing, tall, early growth stage. As discussed above, withdrawal. Drought and warming as a invasive perennial grass that thrives in cattle are present at Rancho Agua result of climate change affects all a variety of environments and climates Caliente, and trespass cattle and horses populations, particularly when (Peerzada et al. 2017, p. 2). It mostly could enter Lewis Springs and trample, combined with groundwater withdrawal grows at moist sites (e.g., irrigation consume flowers, and reduce the and diversion. canals, cultivated fields, field edges, seedbank of the Arizona eryngo. To our pastures), and in Arizona, it is known as knowledge, no livestock are present at Change in Vegetation at Cienegas a riparian weed in the Sonoran and La Cebadilla or Ojo Varelen˜ o. At the The invasion of vegetation that Chihuahuan Deserts. Johnsongrass Agua Caliente reintroduction site in reduces full sun conditions poses a impacts the growth of native plants; it Arizona, javelina uprooted and killed threat to the Arizona eryngo. Changes in is difficult to control and has become young plants, and gophers ate young vegetation at cienegas are primarily resistant to herbicides, particularly reintroduced plants (Fonseca 2018, p. 1; from fire suppression, introduction of glyphosate (Peerzada et al. 2017, p. 2). Li 2019, p. 6). nonnative plant species, decreased flood At three of four cienegas supporting Many invertebrates have been events, and changes in hydrology and the Arizona eryngo (Lewis Springs, La observed on Arizona eryngo plants at La climate. Prior to the arrival of European Cebadilla, and Ojo Varelen˜ o), an Cebadilla and Lewis Springs (Stromberg settlers, burning of cienegas by increase in woody vegetation and et al. 2019, p. 8; Li 2019, p. 2; Simms indigenous people was frequent enough nonnative plant species has been 2019, p. 1). Some of these invertebrates to exclude most woody plants (e.g., documented. This vegetation is may be floral herbivores, but they do not hackberry (Celtis spp.), buttonbush outcompeting the Arizona eryngo for appear to be of concern for the species’ (Cephalanthus spp.), cottonwood sunlight and space, likely causing a viability. (Populus spp.), ash (Fraxinus spp.), and decrease in population size and extent In summary, while herbivory and willow (Salix spp.)) and suppress at these sites. At Lewis Springs, trampling may harm individual Arizona bulrush from cienegas and to promote Johnsongrass is aggressively invading eryngo plants and the seedbank, they growth of native grasses (Davis et al. and appears to be suppressing Arizona are not significant threats to the species. 2002, p. 1; Cole and Cole 2015, p. 32). eryngo, particularly in the drier areas of Extant cienegas now have less diversity the wetlands (Li 2019, entire; Simms Summary of annual and disturbance-adapted 2019, entire). Johnsongrass has been Our analysis of the past, current, and native understory species and an present at this site since at least 2009. future influences on the needs of the increase in native woody, clonal, and In the drier areas of the wetlands, Arizona eryngo for long-term viability nonnative plants (Stromberg et al. 2017, baccharis is encroaching and appears to revealed that there are two that pose the p. 10). As water levels in cienegas be suppressing Arizona eryngo; no greatest risk to future viability: Water decrease, woody plants invade without Arizona eryngo plants have been found loss (groundwater withdrawal and water regular disturbance (e.g., fires, floods) to growing in the understory of baccharis diversion) and invasion of nonnative the system (Huxman and Scott 2007, p. (Li 2019, entire; Simms 2019, entire). At and woody plant species, both of which 1). Shifts from herbaceous wetland La Cebadilla, aerial imagery indicates are exacerbated by drought and vegetation to more deeply rooted that mesquite (Prosopis spp.) is warming caused by climate change. riparian trees have been well invading the cienega, and cottonwood Water loss reduces the availability of

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moist soils, and nonnative and woody erosion, pasture grading, utility wetlands along the San Pedro River, plant species outcompete Arizona construction, and subdivision including Lewis Springs (Stromberg et eryngo for sunlight, space, and water, development (Fonseca 2019, p. 3). al. 2019, p. 9). thereby reducing the quantity and Historical images indicate that the Nonnative Johnsongrass is quality of habitat. cienega was more extensive in 1941, aggressively invading Lewis Springs and with fewer trees on some margins of the Species Condition appears to be suppressing Arizona cienega and no forest on the southern Here we discuss the current condition eryngo, particularly in the drier areas of margin of the cienega (Fonseca 2019, p. the cienega (Simms 2019, p. 22; Li of the Arizona eryngo, taking into 1). Due to the encroachment of woody 2020a, p. 2). Similarly, baccharis has account the risks to those populations vegetation, this site has varied sunlight been invading and appears to be that are currently occurring. We conditions, with more shade currently suppressing Arizona eryngo, as no consider climate change to be currently than in the past. occurring and exacerbating effects of The cienega has been shrinking, Arizona eryngo plants were found drought, warming, groundwater indicating the aquifer is being depleted growing in the understory of baccharis withdrawal, diversion, and invasion of (Fonseca 2019, pers. comm.). The (Simms 2019, p. 6; Li 2019, p. 1). In the nonnative and woody plant species. In aquifer supporting the La Cebadilla wetter areas of the cienega where the the SSA report, for each population, we springs supports numerous private soil is saturated and surface water is developed and assigned condition wells (including the Tanque Verde generally present, common spikerush categories for three population factors Guest Ranch) (Eastoe and Fonseca 2019, (Eleocharis palustris) and bulrush and two habitat factors that are pers. comm.). In addition to appear to suppress Arizona eryngo (Li important for viability of the Arizona groundwater use, aquifer depletion 2020a, p. 2). eryngo. The condition scores for each could also result from increased BLM has conducted some removal of factor were then used to determine an evapotranspiration of tree cover and Johnsongrass at Lewis Springs and is overall condition of each population: stream channel adjustments. currently planning for additional high, moderate, low, or functionally La Cebadilla Estates and the Pima removal of the species. BLM is also extirpated. These overall conditions County Regional Flood Control District planning experimental removal of translate to our presumed probability of (PCFCD) are committed to the baccharis shrubs at Lewis Springs, and persistence of each population, with conservation of the unique ecological they are considering establishment of populations in high condition having diversity of La Cebadilla cienega and are additional populations and/or the highest presumed probability of working to reduce woody vegetation. subpopulations of Arizona eryngo at persistence over 30 years (greater than The homeowners association of La suitable sites within Lewis Springs and 90 percent), populations in moderate Cebadilla Estates manages their portion the SPRNCA. BLM is also collecting condition having a presumed of the cienega as common property for seeds for propagation and banking. probability of persistence that falls the common use and enjoyment of its between 60 and 90 percent, and members. PCFCD manages their portion Because of the moderate population populations in low condition having the of the cienega as natural open space, size, extremely small population extent, lowest probability of persistence which has a restrictive covenant that decreasing springflow and increased (between 10 and 60 percent). limits development and protects natural drying of soils, and plant species Functionally extirpated populations are resources on the property. invasion, Lewis Springs is currently in not expected to persist over 30 years or Because of the small extent of the moderate condition. The population is are already extirpated. population and the encroachment of currently at risk of extirpation from Overall, there are four remaining woody vegetation, the Arizona eryngo drying due to drought, groundwater populations of Arizona eryngo, all population is currently in moderate pumping, and invasion of nonnative restricted to small cienegas in the condition and is at risk of extirpation Johnsongrass. Sonoran and Chihuahuan Deserts in from decreased springflow due to Rancho Agua Caliente, Mexico Arizona and Mexico. Historically, continuing loss of groundwater from the Arizona eryngo populations were likely aquifer. The Arizona eryngo population at connected to one another, but today Lewis Springs Rancho Agua Caliente occupies about 1 they are small and isolated due to hectare (2.5 acres). The population is cienega loss throughout the region. The population of Arizona eryngo in estimated to be several hundred plants, Repopulation of extirpated locations is Lewis Springs, estimated at 1,813 including juveniles (Sańchez Escalante extremely unlikely without human plants, occurs along a very narrow et al. 2019, p. 16; Sańchez Escalante assistance. Two populations are cienega parallel to a railroad, occupying 2019, pers. comm.). This cienega is the currently in moderate condition and about 0.04 hectares (0.1 acres) (Li 2020a, only known population of Arizona two are in low condition, and two have p. 1). In 2005, there were more than a eryngo in Sonora. been extirpated. dozen springs and seeps in the wetland complex; as of 2019, some of the Rancho Agua Caliente is an active La Cebadilla wetland patches appear to be drying, cattle ranch, and Arizona eryngo habitat La Cebadilla contains the largest with soil drier at several sites than it is somewhat disturbed by cattle population of the Arizona eryngo, with had been in 2005 (Simms 2019, entire). (Sańchez Escalante et al. 2019, p. 16), a population estimate of over 30,000 The water source of Lewis Springs which may help create open sun individuals. However, this population Cienega is supplied by mountain front conditions for the species. We have no occurs in a very small area; the recharge (westward flow from the Mule information on the groundwater source occupied area is approximately 0.04 Mountains and eastward flow from the for the spring. hectares (1.1 acres), and the population Huachuca Mountains) (Baillie et al. Because of the small numbers of depends on stable groundwater to 2007, p. 7; Stromberg et al. 2019, p. 6). individuals at Rancho Agua Caliente, maintain springflow into the cienega. Groundwater pumping up to several the population is currently in low The cienega has been altered by kilometers away may be affecting the condition and is at risk of extirpation increased presence of trees, bank regional groundwater flow to the due to drought and drying of habitat.

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Ojo Varelen˜ o, Mexico significant portion of its range,’’ and nearby surviving populations. This The Arizona eryngo population at Ojo threatened species as a species ‘‘likely connectivity, which would have made Varelen˜ o contains about 56 adult plants to become an endangered species within for a highly resilient species overall, has (Sańchez Escalante et al. 2019, p. 17) in the foreseeable future throughout all or been lost, and with two populations in a 0.075-hectare (0.18-acre) area (Sańchez a significant portion of its range.’’ The low condition and two in moderate Escalante 2019, pers. comm.). No Act requires that we determine whether condition, the remnant populations are juveniles have been documented at this a species meets the definition of all at risk of loss. endangered species or threatened Our analysis of the Arizona eryngo’s site. current conditions, using the best Giant reed has been aggressively species because of any of the following factors: (A) The present or threatened available information, shows that the invading Ojo Varelen˜ o (Sańchez destruction, modification, or Arizona eryngo is in danger of Escalante et al. 2019, p. 10), and it curtailment of its habitat or range; (B) extinction throughout all of its range appears that the site has variable soil overutilization for commercial, due to the severity and immediacy of moisture and sunlight conditions. The recreational, scientific, or educational threats currently impacting the species. giant reed invasion is creating purposes; (C) disease or predation; (D) We find that a threatened species status conditions with high amounts of shade the inadequacy of existing regulatory is not appropriate because of the and little to no space for other plants. mechanisms; or (E) other natural or Arizona eryngo’s currently contracted Springflow is collected in concrete spa manmade factors affecting its continued range, because the populations are ponds (Sańchez Escalante et al. 2019, p. existence. fragmented from one another, because 28), which likely affects the natural the threats are currently ongoing and Status Throughout All of Its Range hydrology of the site. Currently, we do occurring across the entire range of the not have information on the source of After evaluating threats to the species species. water supplying the springs or the and assessing the cumulative effect of amount of groundwater use at this site. the threats under the section 4(a)(1) Status Throughout a Significant Portion Because of the very low population factors, we found that the Arizona of Its Range numbers and the lack of juveniles, the eryngo has declined in abundance and Under the Act and our implementing population of Arizona eryngo at Ojo distribution. At present, most of the regulations, a species may warrant Varelen˜ o is currently in low condition. known populations exist in very low listing if it is in danger of extinction or A small change in the water levels at the abundances, and all populations occur likely to become so in the foreseeable cienega or further invasion by giant reed in extremely small areas. Furthermore, future throughout all or a significant could cause the extirpation of the existing available habitats are reduced portion of its range. We have population in the near future. in quality and quantity, relative to determined that the Arizona eryngo is in We note that, by using the SSA historical conditions. Our analysis danger of extinction throughout all of its framework to guide our analysis of the revealed three primary threats that range and accordingly did not undertake scientific information documented in caused these declines and pose a an analysis of any significant portion of the SSA report, we have not only meaningful risk to the viability of the its range. Because the Arizona eryngo analyzed individual effects on the species. These threats are primarily warrants listing as endangered species, but we have also analyzed their related to habitat changes (Factor A throughout all of its range, our potential cumulative effects. We from the Act): Physical alteration of determination is consistent with the incorporate the cumulative effects into cienegas, water loss, and changes in co- decision in Center for Biological our SSA analysis when we characterize occurring vegetation, all of which are Diversity v. Everson, 2020 WL 437289 the current and future condition of the exacerbated by the effects of climate (D.D.C. Jan. 28, 2020), in which the species. Our assessment of the current change. court vacated the aspect of the Final and future conditions encompasses and Because of historical and current Policy on Interpretation of the Phrase incorporates the threats individually modifications of cienegas and ‘‘Significant Portion of Its Range’’ in the and cumulatively. Our current and groundwater withdrawals from the Endangered Species Act’s Definitions of future condition assessment is iterative aquifers supporting occupied cienegas, ‘‘Endangered Species’’ and ‘‘Threatened because it accumulates and evaluates Arizona eryngo populations are now Species’’ (79 FR 37578; July 1, 2014) the effects of all the factors that may be fragmented and isolated from one that provided the Services do not influencing the species, including another and unable to recolonize undertake an analysis of significant threats and conservation efforts. following extirpations. These portions of a species’ range if the Because the SSA framework considers populations are largely in a state of species warrants listing as threatened not just the presence of the factors, but chronic degradation due to water loss throughout all of its range. to what degree they collectively and changes in co-occurring vegetation, influence risk to the entire species, our affecting soil moisture and open canopy Determination of Status assessment integrates the cumulative conditions and limiting the species’ Our review of the best available effects of the factors and replaces a resiliency. Given the high risk of a scientific and commercial information standalone cumulative effects analysis. catastrophic drought or groundwater indicates that the Arizona eryngo meets depletion, both of which are the Act’s definition of an endangered Determination of Arizona Eryngo’s exacerbated by climate change, all Status species. Therefore, we propose to list Arizona eryngo populations are at a the Arizona eryngo as an endangered Section 4 of the Act (16 U.S.C. 1533) high or moderate risk of extirpation. species in accordance with sections 3(6) and its implementing regulations (50 Historically, the species, with a larger and 4(a)(1) of the Act. CFR part 424) set forth the procedures range of likely interconnected for determining whether a species meets populations, would have been more Available Conservation Measures the definition of an endangered species resilient to stochastic events because Conservation measures provided to or a threatened species. The Act defines even if some populations were species listed as endangered or endangered species as a species ‘‘in extirpated by such events, they could be threatened species under the Act danger of extinction throughout all or a recolonized over time by dispersal from include recognition, recovery actions,

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requirements for Federal protection, and Ecological Services Field Office (see FOR modify its critical habitat. If a Federal prohibitions against certain practices. FURTHER INFORMATION CONTACT). action may affect a listed species or its Recognition through listing results in Implementation of recovery actions critical habitat, the responsible Federal public awareness, and conservation by generally requires the participation of a agency must enter into consultation Federal, State, Tribal, and local broad range of partners, including other with the Service. agencies, private organizations, and Federal agencies, States, Tribes, Federal agency actions within the individuals. The Act encourages nongovernmental organizations, species’ habitat that may require cooperation with the States and other businesses, and private landowners. conference or consultation or both as countries and calls for recovery actions Examples of recovery actions include described in the preceding paragraph to be carried out for listed species. The habitat restoration (e.g., restoration of include management and any other protection required by Federal agencies native vegetation), research, captive landscape-altering activities on Federal and the prohibitions against certain propagation and reintroduction, and lands administered by the BLM or activities are discussed, in part, below. outreach and education. The recovery of groundwater use by Fort Huachuca or The primary purpose of the Act is the many listed species cannot be other Federal agencies (or permitted or conservation of endangered and accomplished solely on Federal lands funded by a Federal agency) within the threatened species and the ecosystems because their range may occur primarily hydrological influence of Lewis Springs, upon which they depend. The ultimate or solely on non-Federal lands. To La Cebadilla, or Agua Caliente. goal of such conservation efforts is the achieve recovery of these species The Act and its implementing recovery of these listed species, so that requires cooperative conservation efforts regulations set forth a series of general they no longer need the protective on private, State, and Tribal lands. prohibitions and exceptions that apply measures of the Act. Section 4(f) of the If this species is listed, funding for to endangered plants. The prohibitions of section 9(a)(2) of the Act, codified at Act calls for the Service to develop and recovery actions will be available from a variety of sources, including Federal 50 CFR 17.61, make it illegal for any implement recovery plans for the budgets, State programs, and cost-share person subject to the jurisdiction of the conservation of endangered and grants for non-Federal landowners, the United States to: Import or export; threatened species. The recovery academic community, and remove and reduce to possession from planning process involves the nongovernmental organizations. In areas under Federal jurisdiction; identification of actions that are addition, pursuant to section 6 of the maliciously damage or destroy on any necessary to halt or reverse the species’ Act, the State of Arizona would be such area; remove, cut, dig up, or decline by addressing the threats to its eligible for Federal funds to implement damage or destroy on any other area in survival and recovery. The goal of this management actions that promote the knowing violation of any law or process is to restore listed species to a protection or recovery of the Arizona regulation of any State or in the course point where they are secure, self- eryngo. Information on our grant of any violation of a State criminal sustaining, and functioning components programs that are available to aid trespass law; deliver, receive, carry, of their ecosystems. species recovery can be found at: http:// transport, or ship in interstate or foreign Recovery planning consists of www.fws.gov/grants. commerce, by any means whatsoever preparing draft and final recovery plans, Although the Arizona eryngo is only and in the course of a commercial beginning with the development of a proposed for listing under the Act at activity; or sell or offer for sale in recovery outline and making it available this time, please let us know if you are interstate or foreign commerce an to the public within 30 days of a final interested in participating in recovery endangered plant. Certain exceptions listing determination. The recovery efforts for this species. Additionally, we apply to employees of the Service, the outline guides the immediate invite you to submit any new National Marine Fisheries Service, other implementation of urgent recovery information on this species whenever it Federal land management agencies, and actions and describes the process to be becomes available and any information State conservation agencies. used to develop a recovery plan. you may have for recovery planning We may issue permits to carry out Revisions of the plan may be done to purposes (see FOR FURTHER INFORMATION otherwise prohibited activities address continuing or new threats to the CONTACT). involving endangered plants under species, as new substantive information Section 7(a) of the Act requires certain circumstances. Regulations becomes available. The recovery plan Federal agencies to evaluate their governing permits are codified at 50 also identifies recovery criteria for actions with respect to any species that CFR 17.62. With regard to endangered review of when a species may be ready is proposed or listed as an endangered plants, a permit may be issued for for reclassification from endangered to or threatened species and with respect scientific purposes or for enhancing the threatened (‘‘downlisting’’) or removal to its critical habitat, if any is propagation or survival of the species. from protected status (‘‘delisting’’), and designated. Regulations implementing There are also certain statutory methods for monitoring recovery this interagency cooperation provision exemptions from the prohibitions, progress. Recovery plans also establish of the Act are codified at 50 CFR part which are found in sections 9 and 10 of a framework for agencies to coordinate 402. Section 7(a)(4) of the Act requires the Act. their recovery efforts and provide Federal agencies to confer with the It is our policy, as published in the estimates of the cost of implementing Service on any action that is likely to Federal Register on July 1, 1994 (59 FR recovery tasks. Recovery teams jeopardize the continued existence of a 34272), to identify to the maximum (composed of species experts, Federal species proposed for listing or result in extent practicable at the time a species and State agencies, nongovernmental destruction or adverse modification of is listed, those activities that would or organizations, and stakeholders) are proposed critical habitat. If a species is would not constitute a violation of often established to develop recovery listed subsequently, section 7(a)(2) of section 9 of the Act. The intent of this plans. When completed, the recovery the Act requires Federal agencies to policy is to increase public awareness of outline, draft recovery plan, and the ensure that activities they authorize, the effect of a proposed listing on final recovery plan will be available on fund, or carry out are not likely to proposed and ongoing activities within our website (http://www.fws.gov/ jeopardize the continued existence of the range of the species proposed for endangered), or from our Arizona the species or destroy or adversely listing. Based on the best available

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information, the following actions are or part of the species’ life cycle, even if habitat designations identify, to the unlikely to result in a violation of not used on a regular basis (e.g., extent known using the best scientific section 9, if these activities are carried migratory corridors, seasonal habitats, and commercial data available, those out in accordance with existing and habitats used periodically, but not physical or biological features that are regulations and permit requirements; solely by vagrant individuals). essential to the conservation of the this list is not comprehensive: Conservation, as defined under species (such as space, food, cover, and (1) Normal agricultural and section 3 of the Act, means to use and protected habitat). In identifying those silvicultural practices, including the use of all methods and procedures physical or biological features that occur herbicide and pesticide use, that are that are necessary to bring an in specific occupied areas, we focus on carried out in accordance with any endangered or threatened species to the the specific features that are essential to existing regulations, permit and label point at which the measures provided support the life-history needs of the requirements, and best management pursuant to the Act are no longer species, including, but not limited to, practices; necessary. Such methods and water characteristics, soil type, (2) Normal residential landscaping procedures include, but are not limited geological features, prey, vegetation, activities on non-Federal lands; and to, all activities associated with symbiotic species, or other features. A (3) Recreational use with minimal scientific resources management such as feature may be a single habitat ground disturbance. research, census, law enforcement, characteristic or a more complex Based on the best available habitat acquisition and maintenance, combination of habitat characteristics. information, the following activities propagation, live trapping, and Features may include habitat may potentially result in a violation of transplantation, and, in the characteristics that support ephemeral section 9 of the Act if they are not extraordinary case where population or dynamic habitat conditions. Features authorized in accordance with pressures within a given ecosystem may also be expressed in terms relating applicable law; this list is not cannot be otherwise relieved, may to principles of conservation biology, comprehensive: include regulated taking. such as patch size, distribution (1) Unauthorized handling, removing, Critical habitat receives protection distances, and connectivity. trampling, or collecting of the Arizona under section 7 of the Act through the Under the second prong of the Act’s eryngo on Federal land; and requirement that Federal agencies definition of critical habitat, we can (2) Removing, cutting, digging up, or ensure, in consultation with the Service, designate critical habitat in areas damaging or destroying the Arizona that any action they authorize, fund, or outside the geographical area occupied eryngo in knowing violation of any law carry out is not likely to result in the by the species at the time it is listed, or regulation of the State of Arizona or destruction or adverse modification of upon a determination that such areas in the course of any violation of a State critical habitat. The designation of are essential for the conservation of the criminal trespass law. critical habitat does not affect land species. When designating critical Questions regarding whether specific ownership or establish a refuge, habitat, the Secretary will first evaluate activities would constitute a violation of wilderness, reserve, preserve, or other areas occupied by the species. The section 9 of the Act should be directed conservation area. Designation also does Secretary will only consider unoccupied to the Arizona Ecological Services Field not allow the government or public to areas to be essential where a critical access private lands, nor does Office (see FOR FURTHER INFORMATION habitat designation limited to designation require implementation of CONTACT). geographical areas occupied by the restoration, recovery, or enhancement species would be inadequate to ensure II. Critical Habitat measures by non-Federal landowners. the conservation of the species. In Background Where a landowner requests Federal addition, for an unoccupied area to be agency funding or authorization for an considered essential, the Secretary must Critical habitat is defined in section 3 action that may affect a listed species or determine that there is a reasonable of the Act as: critical habitat, the Federal agency certainty both that the area will (1) The specific areas within the would be required to consult with the contribute to the conservation of the geographical area occupied by the Service under section 7(a)(2) of the Act. species and that the area contains one species, at the time it is listed in However, even if the Service were to or more of those physical or biological accordance with the Act, on which are conclude that the proposed activity features essential to the conservation of found those physical or biological would result in destruction or adverse the species. features modification of the critical habitat, the Section 4 of the Act requires that we (a) Essential to the conservation of the Federal action agency and the designate critical habitat on the basis of species, and landowner are not required to abandon the best scientific data available. (b) Which may require special the proposed activity, or to restore or Further, our Policy on Information management considerations or recover the species; instead, they must Standards Under the Endangered protection; and implement ‘‘reasonable and prudent Species Act (published in the Federal (2) Specific areas outside the alternatives’’ to avoid destruction or Register on July 1, 1994 (59 FR 34271)), geographical area occupied by the adverse modification of critical habitat. the Information Quality Act (section 515 species at the time it is listed, upon a Under the first prong of the Act’s of the Treasury and General determination that such areas are definition of critical habitat, areas Government Appropriations Act for essential for the conservation of the within the geographical area occupied Fiscal Year 2001 (Pub. L. 106–554; H.R. species. by the species at the time it was listed 5658)), and our associated Information Our regulations at 50 CFR 424.02 are included in a critical habitat Quality Guidelines provide criteria, define the geographical area occupied designation if they contain physical or establish procedures, and provide by the species as an area that may biological features (1) which are guidance to ensure that our decisions generally be delineated around species’ essential to the conservation of the are based on the best scientific data occurrences, as determined by the species and (2) which may require available. They require our biologists, to Secretary (i.e., range). Such areas may special management considerations or the extent consistent with the Act and include those areas used throughout all protection. For these areas, critical with the use of the best scientific data

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available, to use primary and original maximum extent prudent and regulations at 50 CFR 424.12(a)(2) state sources of information as the basis for determinable, the Secretary shall that critical habitat is not determinable recommendations to designate critical designate critical habitat at the time the when one or both of the following habitat. species is determined to be an situations exist: When we are determining which areas endangered or threatened species. Our (i) Data sufficient to perform required should be designated as critical habitat, regulations (50 CFR 424.12(a)(1)) state analyses are lacking, or our primary source of information is that the Secretary may, but is not (ii) The biological needs of the species generally the information from the SSA required to, determine that a are not sufficiently well known to report and information developed designation would not be prudent in the identify any area that meets the during the listing process for the following circumstances: definition of ‘‘critical habitat.’’ species. Additional information sources (i) The species is threatened by taking When critical habitat is not may include any generalized or other human activity and determinable, the Act allows the Service conservation strategy, criteria, or outline identification of critical habitat can be an additional year to publish a critical that may have been developed for the expected to increase the degree of such habitat designation (16 U.S.C. species; the recovery plan for the threat to the species; 1533(b)(6)(C)(ii)). species; articles in peer-reviewed (ii) The present or threatened We reviewed the available journals; conservation plans developed destruction, modification, or information pertaining to the biological by States and counties; scientific status curtailment of a species’ habitat or range needs of the species and habitat surveys and studies; biological is not a threat to the species, or threats characteristics where this species is assessments; other unpublished to the species’ habitat stem solely from located. This and other information materials; or experts’ opinions or causes that cannot be addressed through represent the best scientific data personal knowledge. management actions resulting from available and led us to conclude that the Habitat is dynamic, and species may consultations under section 7(a)(2) of designation of critical habitat is move from one area to another over the Act; determinable for the Arizona eryngo. time. We recognize that critical habitat (iii) Areas within the jurisdiction of Physical or Biological Features designated at a particular point in time the United States provide no more than Essential to the Conservation of the may not include all of the habitat areas negligible conservation value, if any, for Species that we may later determine are a species occurring primarily outside necessary for the recovery of the the jurisdiction of the United States; In accordance with section 3(5)(A)(i) species. For these reasons, a critical (iv) No areas meet the definition of of the Act and regulations at 50 CFR habitat designation does not signal that critical habitat; or 424.12(b), in determining which areas habitat outside the designated area is (v) The Secretary otherwise we will designate as critical habitat from unimportant or may not be needed for determines that designation of critical within the geographical area occupied recovery of the species. Areas that are habitat would not be prudent based on by the species at the time of listing, we important to the conservation of the the best scientific data available. consider the physical or biological species, both inside and outside the As discussed earlier in this document, features that are essential to the critical habitat designation, will there is currently no imminent threat of conservation of the species and that may continue to be subject to: (1) collection or vandalism identified under require special management Conservation actions implemented Factor B for this species, and considerations or protection. The under section 7(a)(1) of the Act; (2) identification and mapping of critical regulations at 50 CFR 424.02 define regulatory protections afforded by the habitat is not expected to initiate any ‘‘physical or biological features essential requirement in section 7(a)(2) of the Act such threat. In our SSA and proposed to the conservation of the species’’ as for Federal agencies to ensure their listing determination for the Arizona the features that occur in specific areas actions are not likely to jeopardize the eryngo, we determined that the present and that are essential to support the life- continued existence of any endangered or threatened destruction, modification, history needs of the species, including, or threatened species; and (3) the or curtailment of habitat or range is a but not limited to, water characteristics, prohibitions found in section 9 of the threat to the Arizona eryngo and that soil type, geological features, sites, prey, Act. Federally funded or permitted threat in some way can be addressed by vegetation, symbiotic species, or other projects affecting listed species outside section 7(a)(2) consultation measures. features. A feature may be a single their designated critical habitat areas Over half of the historical range of the habitat characteristic or a more complex may still result in jeopardy findings in species occurs in the jurisdiction of the combination of habitat characteristics. some cases. These protections and United States, and we are able to Features may include habitat conservation tools will continue to identify areas that meet the definition of characteristics that support ephemeral contribute to recovery of this species. critical habitat. Therefore, because none or dynamic habitat conditions. Features Similarly, critical habitat designations of the circumstances enumerated in our may also be expressed in terms relating made on the basis of the best available regulations at 50 CFR 424.12(a)(1) has to principles of conservation biology, information at the time of designation been met and because there are no other such as patch size, distribution will not control the direction and circumstances the Secretary has distances, and connectivity. For substance of future recovery plans, identified for which this designation of example, physical features essential to habitat conservation plans (HCPs), or critical habitat would be not prudent, the conservation of the species might other species conservation planning we have determined that the include gravel of a particular size efforts if new information available at designation of critical habitat is prudent required for spawning, alkali soil for the time of these planning efforts calls for the Arizona eryngo. seed germination, protective cover for for a different outcome. migration, or susceptibility to flooding Critical Habitat Determinability or fire that maintains necessary early- Prudency Determination Having determined that designation is successional habitat characteristics. Section 4(a)(3) of the Act, as prudent, under section 4(a)(3) of the Act Biological features might include prey amended, and implementing regulations we must find whether critical habitat for species, forage grasses, specific kinds or (50 CFR 424.12) require that, to the the Arizona eryngo is determinable. Our ages of trees for roosting or nesting,

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symbiotic fungi, or a particular level of and thus are protected from scouring the geographical area occupied by the nonnative species consistent with floods (Sivinski and Tonne 2011, p. 2). species at the time of listing contain conservation needs of the listed species. Cienegas have water tables at or near the features which are essential to the The features may also be combinations ground surface (Norman et al. 2019, p. conservation of the species and which of habitat characteristics and may 4) and are therefore maintained by the may require special management encompass the relationship between discharge of groundwater from considerations or protection. The characteristics or the necessary amount relatively shallow aquifers. A decline in features essential to the conservation of of a characteristic essential to support groundwater inflow (recharge) or this species may require special the life history of the species. increase in groundwater outflow management considerations or In considering whether features are (discharge) (e.g., from groundwater protection to reduce the following essential to the conservation of the withdrawal, drought, increased threats: Physical alteration of cienegas, species, the Service may consider an evapotranspiration) can lead to water loss, and changes in co-occurring appropriate quality, quantity, and reductions and disruptions in vegetation. Management activities that spatial and temporal arrangement of springflow, or elimination of springs could ameliorate these threats include, habitat characteristics in the context of and wetlands altogether (Johnson et al. but are not limited to: Use best the life-history needs, condition, and 2016, p. 52). The hydrological processes management practices (BMPs) to status of the species. These that maintain functional cienega habitat minimize erosion and sedimentation; characteristics include, but are not support resilient Arizona eryngo remove and control invasive, nonnative limited to, space for individual and populations. species (e.g., Johnsongrass) that population growth and for normal Finally, the Arizona eryngo needs encroach on critical habitat; selectively behavior; food, water, air, light, open sun conditions (Stromberg et al. manage woody vegetation that minerals, or other nutritional or 2019, p. 9). The species is more encroaches on critical habitat; exclude physiological requirements; cover or abundant in open areas than in areas livestock, or in some instances where shelter; sites for breeding, reproduction, shaded by riparian trees. Colony such management would further the or rearing (or development) of offspring; boundaries at most sites are defined by conservation of cienega habitat and the and habitats that are protected from the presence of native and nonnative species, use highly managed grazing; disturbance. vegetation. Plants observed in avoid or minimize groundwater Physiological Requirements November 2019 and January 2020 under withdrawal to maintain adequate tree canopy at La Cebadilla showed a springflow to maintain cienegas; and The Arizona eryngo needs reduction in flowering that year, and avoid springflow diversion and permanently moist to saturated, leaves appeared less upright (more springhead modification to maintain alkaline, organic soils. The species is a prostrate) and etiolated (pale due to springflow to cienegas. cienega obligate and grows in wetland reduced exposure to sunlight) compared In summary, we find that the margins. At a minimum, soil should be to nearby Arizona eryngo plants in occupied areas we are proposing to moist year round immediately beneath sunnier conditions (Li 2020a, p. 11). designate as critical habitat contain the the surface, even during drought years, physical or biological features that are as adequately moist soil is required for Summary of Essential Physical or essential to the conservation of the flowering, seed germination, and Biological Features Arizona eryngo and that may require seedling survival and recruitment. We derive the specific physical or special management considerations or Overly dry soils may allow other more biological features essential to the protection. Special management drought-tolerant species to invade, or conservation of the Arizona eryngo from considerations or protection may be the Arizona eryngo plants may die. studies of the species’ habitat, ecology, required of the Federal action agency to Conversely, if the soil is inundated with and life history as described below. eliminate, or to reduce to negligible water for long periods, other invasive Additional information can be found in levels, the threats affecting the essential plant species may take over. Alkaline the SSA report (Service 2020, entire; physical or biological features of each and organic soils are typical of cienegas. available on http://www.regulations.gov unit. Based on the above information, we under Docket No. FWS–R2–ES–2020– determine that the Arizona eryngo Criteria Used To Identify Critical 0130). We have determined that the Habitat needs permanently moist to saturated following physical or biological features As required by section 4(b)(2) of the soils. Soils should be saturated with are essential to the conservation of Act, we use the best scientific data some standing water during winter and Arizona eryngo: be at least moist just below the surface (1) Cienegas within the Chihuahuan available to designate critical habitat. In during summer. and Sonoran Deserts: accordance with the Act and our Cienegas occupied by Arizona eryngo (a) That contain permanently moist to implementing regulations at 50 CFR are associated with and fed by springs saturated, organic, alkaline soils with 424.12(b), we review available and are low-gradient wetlands that serve some standing water in winter and that information pertaining to the habitat to slow water and trap organic materials are moist at or just below the surface in requirements of the species and identify and nutrients. Spring-dominated summer; and specific areas within the geographical cienegas are maintained by fault lines (b) That have functional hydrological area occupied by the species at the time crossing aquifers and/or the intersection processes and are sustained by of listing and any specific areas outside of wetland sites with shallow aquifers springflow via discharge of the geographical area occupied by the overlaying a deeper, impervious layer, groundwater. species to be considered for designation both of which allow for groundwater to (2) Areas of open canopy throughout as critical habitat. We are not currently be forced to the surface (Minckley et al. the cienega. proposing to designate any areas outside 2013a, p. 214; Johnson et al. 2016, pp. the geographical area occupied by the 80–81). Cienegas are often found in the Special Management Considerations or species because we have not identified upper reaches of small drainages or Protection any unoccupied areas that meet the above river channels in a variety of When designating critical habitat, we definition of critical habitat at this time. surrounding vegetation communities, assess whether the specific areas within While the Arizona eryngo needs

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additional populations to reduce exclusion of such developed lands. Any Arizona eryngo’s particular use of that extinction risk, the only historical such lands inadvertently left inside habitat. extirpated location with the essential critical habitat boundaries shown on the The critical habitat designation is physical or biological features is Agua maps of this proposed rule have been defined by the map or maps, as Caliente, where the species has already excluded by text in the proposed rule modified by any accompanying been reintroduced; therefore, it is and are not proposed for designation as regulatory text, presented at the end of currently occupied. We are not aware of critical habitat. Therefore, if the critical this document under Proposed which additional locations may have a habitat is finalized as proposed, a Regulation Promulgation. We include reasonable certainty of contributing to Federal action involving these lands more detailed information on the conservation. would not trigger section 7 consultation boundaries of the critical habitat In summary, for areas within the with respect to critical habitat and the designation in the preamble of this geographic area occupied by the species requirement of no adverse modification document. We will make the at the time of listing, we delineated unless the specific action would affect coordinates or plot points or both on critical habitat unit boundaries using the physical or biological features in the which each map is based available to the following criteria: Evaluate habitat adjacent critical habitat. the public at https://www.fws.gov/ suitability of cienegas within the southwest/es/arizona/ and at http:// We propose to designate as critical geographic area occupied at the time of www.regulations.gov under Docket No. habitat lands that we have determined listing, and retain those cienegas that FWS–R2–ES–2020–0130. are occupied at the time of listing (i.e., contain some or all of the physical or currently occupied) and that contain Proposed Critical Habitat Designation biological features that are essential to one or more of the physical or biological support life history processes of the We are proposing three units as species. features that are essential to support critical habitat for the Arizona eryngo, When determining proposed critical life-history processes of the species. all of which are in Arizona. The critical habitat boundaries, we made every Units are proposed for designation habitat areas we describe below effort to avoid including developed based on one or more of the physical or constitute our current best assessment of areas such as lands covered by biological features being present to areas that meet the definition of critical buildings, pavement, and other support Arizona eryngo’s life-history habitat for the Arizona eryngo. The structures because such lands lack processes. Some units contain all of the three areas we propose as critical habitat physical or biological features necessary identified physical or biological features are: (1) Lewis Springs, (2) La Cebadilla, for the Arizona eryngo. The scale of the and support multiple life-history and (3) Agua Caliente. The table below maps we prepared under the parameters processes. Some units contain only shows the proposed critical habitat for publication within the Code of some of the physical or biological units and the approximate area of each Federal Regulations may not reflect the features necessary to support the unit. All units are occupied.

TABLE OF PROPOSED CRITICAL HABITAT UNITS FOR THE ARIZONA ERYNGO [Area estimates reflect all land within critical habitat unit boundaries]

Size of unit Critical habitat unit Subunit Land ownership by type in acres Occupied? (hectares)

1. Lewis Springs ...... Federal (BLM) ...... 9.6 (3.9) Yes. 2. La Cebadilla...... Private, Pima County Regional 3.1 (1.3) Yes. Flood Control District. 3. Agua Caliente ...... 3a. Pond 1 Wetland ...... Pima County Natural Resources, 0.04 (0.02) Yes. Parks and Recreation. 3b. Pond 1 Wildlife Island ...... 0.2 (0.07) 3c. Pond 2 ...... 0.09 (0.04)

Total ...... 13.0 (5.3) Note: Area sizes may not sum due to rounding.

We present brief descriptions of all contains all the physical or biological Unit 2: La Cebadilla units, and reasons why they meet the features essential to the conservation of definition of critical habitat for the the Arizona eryngo. The Lewis Springs Unit 2 consists of 3.1 acres (1.3 hectares) of cienega habitat at La Arizona eryngo, below. Unit is being affected by drought, Cebadilla Cienega, adjacent to the nonnative species invasion, woody Unit 1: Lewis Springs Tanque Verde Wash east of Tucson in vegetation encroachment, and ongoing Pima County, within the Santa Cruz Unit 1 consists of 9.6 acres (3.9 human demand for water resulting in River Basin. The majority of the unit is hectares) encompassing the wetlands at declining groundwater levels. Therefore, located on lands owned by La Cebadilla Lewis Springs just to the east of the San special management is necessary to Estates, with a smaller portion of the Pedro River in Cochise County, within reduce invasion of nonnative species unit located on lands owned and the San Pedro River Basin. The unit is and encroachment of woody vegetation managed by PCFCD. The homeowners located within the SPRNCA, which is and to improve groundwater levels to association of La Cebadilla Estates owned and managed by the BLM to support continued springflow. manages their portion of the cienega as conserve, protect, and enhance a rare common property for the common use remnant of desert riparian ecosystem. and enjoyment of its members. PCFCD The unit is occupied by the species and manages their portion of the cienega as

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natural open space, which has a wildlife island within Pond 1. A agency—do not require section 7 restrictive covenant that limits channel is cut through the wildlife consultation. development and protects natural island, creating saturated soil conditions Compliance with the requirements of resources on the property. The La within the channel, where Arizona section 7(a)(2) is documented through Cebadilla Unit is occupied by the eryngo were planted. The entire wildlife our issuance of: species and contains all the physical or island has open canopy conditions (1) A concurrence letter for Federal biological features essential to the currently. This subunit is currently actions that may affect, but are not conservation of the Arizona eryngo. The occupied. likely to adversely affect, listed species unit is located in a rural neighborhood Subunit 3c: Pond 2—Subunit 3c, or critical habitat; or and is being affected by drought, woody Pond 2 consists of 0.09 acres (0.04 (2) A biological opinion for Federal vegetation encroachment, and ongoing hectares) of shoreline habitat on the actions that may affect, and are likely to human demand for water resulting in south shore of Pond 2. Arizona eryngo adversely affect, listed species or critical declining groundwater levels. Therefore, were planted just above the water line habitat. When we issue a biological opinion special management is necessary to in an area of completely open canopy concluding that a project is likely to reduce encroachment of woody that contains saturated soils. This jeopardize the continued existence of a vegetation and to improve groundwater subunit is currently occupied. levels to support continued springflow. listed species and/or destroy or Effects of Critical Habitat Designation adversely modify critical habitat, we Unit 3: Agua Caliente provide reasonable and prudent Section 7 Consultation Unit 3 consists of three subunits alternatives to the project, if any are totaling 0.3 acres (0.1 hectares), all Section 7(a)(2) of the Act requires identifiable, that would avoid the within the Agua Caliente Regional Park. Federal agencies, including the Service, likelihood of jeopardy and/or The park is located east of Tucson in to ensure that any action they fund, destruction or adverse modification of Pima County within the Santa Cruz authorize, or carry out is not likely to critical habitat. We define ‘‘reasonable River Basin (Stromberg et al. 2019, p. 5) jeopardize the continued existence of and prudent alternatives’’ (at 50 CFR and is owned and managed by Pima any endangered species or threatened 402.02) as alternative actions identified County Natural Resources, Parks and species or result in the destruction or during consultation that: Recreation. The Arizona eryngo adverse modification of designated (1) Can be implemented in a manner historically occurred at this site, but the critical habitat of such species. In consistent with the intended purpose of population was extirpated, likely due to addition, section 7(a)(4) of the Act the action, multiple manipulations of the site, requires Federal agencies to confer with (2) Can be implemented consistent including spring modification the Service on any agency action which with the scope of the Federal agency’s (Stromberg et al., p. 5; SWCA 2002, pp. is likely to jeopardize the continued legal authority and jurisdiction, 1–2) and pond impoundment. existence of any species proposed to be (3) Are economically and Reintroduction efforts for the species listed under the Act or result in the technologically feasible, and began in 2017, and while a self- destruction or adverse modification of (4) Would, in the Service Director’s sustaining population does not yet exist, proposed critical habitat. opinion, avoid the likelihood of multiple plants have been established at jeopardizing the continued existence of We published a final rule revising the various sites within the unit. Therefore, the listed species and/or avoid the the unit is occupied by the species and definition of destruction or adverse likelihood of destroying or adversely contains two (saturated soils and areas modification on August 27, 2019 (84 FR modifying critical habitat. of open canopy) of the three physical or 44976). Destruction or adverse Reasonable and prudent alternatives biological features essential to the modification means a direct or indirect can vary from slight project conservation of the Arizona eryngo. The alteration that appreciably diminishes modifications to extensive redesign or Agua Caliente Unit is in a semi-rural the value of critical habitat as a whole relocation of the project. Costs setting and is being affected by drought, for the conservation of a listed species. associated with implementing a nonnative species invasion, woody If a Federal action may affect a listed reasonable and prudent alternative are vegetation encroachment, and ongoing species or its critical habitat, the similarly variable. human demand for water resulting in responsible Federal agency (action Regulations at 50 CFR 402.16 set forth declining groundwater levels. Therefore, agency) must enter into consultation requirements for Federal agencies to special management is necessary to with us. Examples of actions that are reinitiate formal consultation on reduce invasion of nonnative species subject to the section 7 consultation previously reviewed actions. These and encroachment of woody vegetation process are actions on State, Tribal, requirements apply when the Federal and to improve groundwater levels to local, or private lands that require a agency has retained discretionary support continued springflow. Federal permit (such as a permit from involvement or control over the action Subunit 3a: Pond 1 Wetland—Subunit the U.S. Army Corps of Engineers under (or the agency’s discretionary 3a, Pond 1 Wetland consists of 0.04 section 404 of the Clean Water Act (33 involvement or control is authorized by acres (0.02 hectares) of shoreline habitat U.S.C. 1251 et seq.) or a permit from the law) and, subsequent to the previous on the northwest shore of Pond 1. Service under section 10 of the Act) or consultation, we have listed a new During restoration of Pond 1, a small that involve some other Federal action species or designated critical habitat wetland was created in this area, and (such as funding from the Federal that may be affected by the Federal Arizona eryngo were planted. The Highway Administration, Federal action, or the action has been modified shoreline contains saturated soils, and Aviation Administration, or the Federal in a manner that affects the species or portions of the shoreline contain open Emergency Management Agency). critical habitat in a way not considered canopy. This subunit is currently Federal actions not affecting listed in the previous consultation. In such occupied. species or critical habitat—and actions situations, Federal agencies sometimes Subunit 3b: Pond 1 Wildlife Island— on State, Tribal, local, or private lands may need to request reinitiation of Subunit 3b, Pond 1 Wildlife Island that are not federally funded, consultation with us, but the regulations consists of 0.2 acres (0.07 hectares) of a authorized, or carried out by a Federal also specify some exceptions to the

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requirement to reinitiate consultation on areas owned or controlled by the habitat designation is analyzed by specific land management plans after Department of Defense, or designated comparing scenarios both ‘‘with critical subsequently listing a new species or for its use, that are subject to an habitat’’ and ‘‘without critical habitat.’’ designating new critical habitat. See the integrated natural resources The ‘‘without critical habitat’’ regulations for a description of those management plan (INRMP) prepared scenario represents the baseline for the exceptions. under section 101 of the Sikes Act (16 analysis, which includes the existing Application of the ‘‘Destruction or U.S.C. 670a), if the Secretary determines regulatory and socio-economic burden Adverse Modification’’ Standard in writing that such plan provides a imposed on landowners, managers, or The key factor related to the benefit to the species for which critical other resource users potentially affected destruction or adverse modification habitat is proposed for designation. by the designation of critical habitat determination is whether There are no Department of Defense (e.g., under the Federal listing as well as implementation of the proposed Federal (DoD) lands with a completed INRMP other Federal, State, and local action directly or indirectly alters the within the proposed critical habitat regulations). The baseline, therefore, designated critical habitat in a way that designation. represents the costs of all efforts appreciably diminishes the value of the attributable to the listing of the species Consideration of Exclusions Under under the Act (i.e., conservation of the critical habitat as a whole for the Section 4(b)(2) of the Act conservation of the listed species. As species and its habitat incurred discussed above, the role of critical Section 4(b)(2) of the Act states that regardless of whether critical habitat is habitat is to support physical or the Secretary shall designate and make designated). The ‘‘with critical habitat’’ biological features essential to the revisions to critical habitat on the basis scenario describes the incremental conservation of a listed species and of the best available scientific data after impacts associated specifically with the provide for the conservation of the taking into consideration the economic designation of critical habitat for the species. impact, national security impact, and species. The incremental conservation Section 4(b)(8) of the Act requires us any other relevant impact of specifying efforts and associated impacts would to briefly evaluate and describe, in any any particular area as critical habitat. not be expected without the designation proposed or final regulation that The Secretary may exclude an area from of critical habitat for the species. In designates critical habitat, activities critical habitat if he determines that the other words, the incremental costs are involving a Federal action that may benefits of such exclusion outweigh the those attributable solely to the violate section 7(a)(2) of the Act by benefits of specifying such area as part designation of critical habitat, above and destroying or adversely modifying such of the critical habitat, unless he beyond the baseline costs. These are the habitat, or that may be affected by such determines, based on the best scientific costs we use when evaluating the designation. data available, that the failure to benefits of inclusion and exclusion of Activities that the Service may, designate such area as critical habitat particular areas from the final during a consultation under section will result in the extinction of the designation of critical habitat should we 7(a)(2) of the Act, find are likely to species. In making the determination to choose to conduct a discretionary destroy or adversely modify critical exclude a particular area, the statute on 4(b)(2) exclusion analysis. habitat include, but are not limited to: its face, as well as the legislative history, For this particular designation, we (1) Actions that would alter the are clear that the Secretary has broad developed an incremental effects hydrology of the cienega. Such activities discretion regarding which factor(s) to memorandum (IEM) considering the could include, but are not limited to, use and how much weight to give to any probable incremental economic impacts springflow diversion, springhead factor. that may result from this proposed We describe below the process that modification, groundwater withdrawal, designation of critical habitat. The we undertook for taking into and physical alteration of the cienega. information contained in our IEM was consideration each category of impacts These activities could change the then used to develop a screening and our analyses of the relevant hydrological processes of the cienega, analysis of the probable effects of the impacts. designation of critical habitat for the reducing or eliminating habitat for the Arizona eryngo (IEc 2020, entire). We Arizona eryngo. Consideration of Economic Impacts began by conducting a screening (2) Actions that promote the growth of Section 4(b)(2) of the Act and its analysis of the proposed designation of nonnative plant species and canopy implementing regulations require that critical habitat in order to focus our cover. Such actions include, but are not we consider the economic impact that analysis on the key factors that are limited to, planting of nonnative plant may result from a designation of critical likely to result in incremental economic species and woody vegetation, and seed habitat. To assess the probable impacts. The purpose of the screening spread through livestock and tire treads. economic impacts of a designation, we analysis is to filter out particular These activities could reduce or must first evaluate specific land uses or geographic areas of critical habitat that eliminate habitat for the Arizona eryngo. activities and projects that may occur in are already subject to such protections (3) Actions that result in further the area of the critical habitat. We then and are, therefore, unlikely to incur fragmentation of Arizona eryngo habitat. must evaluate the impacts that a specific incremental economic impacts. In Such actions include, but are not critical habitat designation may have on particular, the screening analysis limited to, fuel breaks, roads, and trails. restricting or modifying specific land considers baseline costs (i.e., absent These activities could reduce or uses or activities for the benefit of the critical habitat designation) and eliminate habitat for the Arizona eryngo. species and its habitat within the areas includes probable economic impacts Exemptions proposed. We then identify which where land and water use may be conservation efforts may be the result of subject to conservation plans, land Application of Section 4(a)(3) of the Act the species being listed under the Act management plans, best management Section 4(a)(3)(B)(i) of the Act (16 versus those attributed solely to the practices, or regulations that protect the U.S.C. 1533(a)(3)(B)(i)) provides that the designation of critical habitat for this habitat area as a result of the Federal Secretary shall not designate as critical particular species. The probable listing status of the species. Ultimately, habitat any lands or other geographical economic impact of a proposed critical the screening analysis allows us to focus

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our analysis on evaluating the specific avoid the destruction or adverse effort as well as minor costs of areas or sectors that may incur probable modification of critical habitat would be conservation efforts resulting from a incremental economic impacts as a incorporated into the existing small number of future section 7 result of the designation. If there are any consultation process. consultations. Because all of the unoccupied units in the proposed In our IEM, we attempted to clarify proposed critical habitat units are critical habitat designation, the the distinction between the effects that occupied by the species, incremental screening analysis assesses whether any would result from the species being economic impacts of critical habitat additional management or conservation listed and those attributable to the designation, other than administrative efforts may incur incremental economic critical habitat designation (i.e., costs, are unlikely. At approximately impacts. This screening analysis difference between the jeopardy and $5,300 or less per consultation, in order combined with the information adverse modification standards) for the to reach the threshold of $100 million contained in our IEM are what we Arizona eryngo’s critical habitat. of incremental administrative impacts consider our draft economic analysis Because the designation of critical in a single year, critical habitat (DEA) of the proposed critical habitat habitat for Arizona eryngo is being designation would have to result in designation for the Arizona eryngo; our proposed concurrently with the listing, more than 18,800 consultations in a DEA is summarized in the narrative it has been our experience that it is single year; instead, this designation is below. more difficult to discern which expected to result in 12 to 17 Executive Orders (E.O.s) 12866 and conservation efforts are attributable to consultations in 10 years. Thus, the the species being listed and those which 13563 direct Federal agencies to assess annual administrative burden is will result solely from the designation of the costs and benefits of available unlikely to reach $100 million. critical habitat. However, the following regulatory alternatives in quantitative We are soliciting data and comments specific circumstances in this case help (to the extent feasible) and qualitative from the public on the DEA discussed to inform our evaluation: (1) The terms. Consistent with the E.O. above, as well as all aspects of this essential physical or biological features regulatory analysis requirements, our proposed rule and our required identified for critical habitat are the effects analysis under the Act may take determinations. During the development same features essential for the life into consideration impacts to both of a final designation, we will consider requisites of the species, and (2) any directly and indirectly affected entities, the information presented in the DEA actions that would result in sufficient and any additional information on where practicable and reasonable. If harm to constitute jeopardy to the economic impacts we receive during the sufficient data are available, we assess Arizona eryngo would also likely public comment period to determine to the extent practicable the probable adversely affect the essential physical or whether any specific areas should be impacts to both directly and indirectly biological features of critical habitat. excluded from the final critical habitat affected entities. As part of our The IEM outlines our rationale designation under authority of section screening analysis, we considered the concerning this limited distinction types of economic activities that are between baseline conservation efforts 4(b)(2) and our implementing likely to occur within the areas likely and incremental impacts of the regulations at 50 CFR 424.19. In affected by the critical habitat designation of critical habitat for this particular, we may exclude an area from designation. In our evaluation of the species. This evaluation of the critical habitat if we determine that the probable incremental economic impacts incremental effects has been used as the benefits of excluding the area outweigh that may result from the proposed basis to evaluate the probable the benefits of including the area, designation of critical habitat for the incremental economic impacts of this provided the exclusion will not result in Arizona eryngo, first we identified, in proposed designation of critical habitat. the extinction of this species. the IEM dated October 15, 2020, The proposed critical habitat Consideration of National Security probable incremental economic impacts designation for the Arizona eryngo Impacts associated with the following categories totals 13.0 acres (5.3 hectares) in three of activities: (1) Federal lands units, all of which are occupied. In Section 4(a)(3)(B)(i) of the Act may management (Bureau of Land occupied areas, any actions that may not cover all DoD lands or areas that Management); (2) vegetation affect the species or its habitat would pose potential national-security management; (3) fire and fuels also affect critical habitat, and it is concerns (e.g., a DoD installation that is management; and (4) livestock grazing. unlikely that any additional in the process of revising its INRMP for We considered each industry or conservation efforts would be a newly listed species or a species category individually. Additionally, we recommended to address the adverse previously not covered). If a particular considered whether their activities have modification standard over and above area is not covered under section any Federal involvement. Critical those recommended as necessary to 4(a)(3)(B)(i), national-security or habitat designation generally will not avoid jeopardizing the continued homeland-security concerns are not a affect activities that do not have any existence of the Arizona eryngo. factor in the process of determining Federal involvement; under the Act, Therefore, only administrative costs are what areas meet the definition of designation of critical habitat only expected in the proposed critical habitat ‘‘critical habitat.’’ Nevertheless, when affects activities conducted, funded, designation. While this additional designating critical habitat under permitted, or authorized by Federal analysis will require time and resources section 4(b)(2), the Service must agencies. If we list the species, in areas by both the Federal action agency and consider impacts on national security, where the Arizona eryngo is present, the Service, it is believed that, in most including homeland security, on lands Federal agencies would be required to circumstances, these costs would or areas not covered by section consult with the Service under section predominantly be administrative in 4(a)(3)(B)(i). Accordingly, we will 7 of the Act on activities they fund, nature and would not be significant. always consider for exclusion from the permit, or implement that may affect the The probable incremental economic designation areas for which DoD, species. If, when we list the species, we impacts of the Arizona eryngo critical Department of Homeland Security also finalize this proposed critical habitat designation are expected to be (DHS), or another Federal agency has habitat designation, consultations to limited to additional administrative requested exclusion based on an

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assertion of national-security or impacts on national security discussed us the numbers of the sections or homeland-security concerns. above. We consider a number of factors paragraphs that are unclearly written, We cannot, however, automatically including whether there are permitted which sections or sentences are too exclude requested areas. When DoD, conservation plans covering the species long, the sections where you feel lists or DHS, or another Federal agency requests in the area such as HCPs, safe harbor tables would be useful, etc. exclusion from critical habitat on the agreements (SHAs), or candidate basis of national-security or homeland- Regulatory Planning and Review conservation agreements with (Executive Orders 12866 and 13563) security impacts, it must provide a assurances (CCAAs), or whether there reasonably specific justification of an are non-permitted conservation Executive Order 12866 provides that incremental impact on national security agreements and partnerships that would the Office of Information and Regulatory that would result from the designation be encouraged by designation of, or Affairs (OIRA) in the Office of of that specific area as critical habitat. exclusion from, critical habitat. In Management and Budget will review all That justification could include addition, we look at the existence of significant rules. OIRA has determined demonstration of probable impacts, Tribal conservation plans and that this rule is not significant. such as impacts to ongoing border- partnerships and consider the Executive Order 13563 reaffirms the security patrols and surveillance government-to-government relationship principles of E.O. 12866 while calling activities, or a delay in training or of the United States with Tribal entities. for improvements in the nation’s facility construction, as a result of We also consider any social impacts that regulatory system to promote compliance with section 7(a)(2) of the might occur because of the designation. predictability, to reduce uncertainty, Act. If the agency requesting the In preparing this proposal, we have and to use the best, most innovative, exclusion does not provide us with a determined that there are currently no and least burdensome tools for reasonably specific justification, we will HCPs or other management plans for the achieving regulatory ends. The contact the agency to recommend that it Arizona eryngo, and the proposed executive order directs agencies to provide a specific justification or designation does not include any Tribal consider regulatory approaches that clarification of its concerns relative to lands or trust resources. We anticipate reduce burdens and maintain flexibility and freedom of choice for the public the probable incremental impact that no impact on Tribal lands, partnerships, where these approaches are relevant, could result from the designation. If the or HCPs from this proposed critical feasible, and consistent with regulatory agency provides a reasonably specific habitat designation. Additionally, as objectives. E.O. 13563 emphasizes justification, we will defer to the expert described above, we are not considering further that regulations must be based judgment of DoD, DHS, or another excluding any particular areas from on the best available science and that Federal agency as to: (1) Whether critical habitat on the basis of impacts the rulemaking process must allow for activities on its lands or waters, or its to national security or economic public participation and an open activities on other lands or waters, have impacts. However, during the exchange of ideas. We have developed national-security or homeland-security development of a final designation, we this proposed rule in a manner implications; (2) the importance of those will consider any additional consistent with these requirements. implications; and (3) the degree to information we receive through the which the cited implications would be public comment period regarding other Regulatory Flexibility Act (5 U.S.C. 601 adversely affected in the absence of an relevant impacts of the proposed et seq.) exclusion. In that circumstance, in designation and will determine whether Under the Regulatory Flexibility Act conducting a discretionary section any specific areas should be excluded 4(b)(2) exclusion analysis, we will give (RFA; 5 U.S.C. 601 et seq.), as amended from the final critical habitat by the Small Business Regulatory great weight to national-security and designation under authority of section homeland-security concerns in Enforcement Fairness Act of 1996 4(b)(2) and our implementing analyzing the benefits of exclusion. (SBREFA; 5 U.S.C. 801 et seq.), regulations at 50 CFR 424.19. In preparing this proposal, we have whenever an agency is required to determined that the lands within the Required Determinations publish a notice of rulemaking for any proposed designation of critical habitat proposed or final rule, it must prepare for the Arizona eryngo are not owned, Clarity of the Rule and make available for public comment managed, or used by the DoD or DHS. We are required by Executive Orders a regulatory flexibility analysis that We anticipate no impact on national 12866 and 12988 and by the describes the effects of the rule on small security or homeland security. However, Presidential Memorandum of June 1, entities (i.e., small businesses, small during the development of a final 1998, to write all rules in plain organizations, and small government designation we will consider any language. This means that each rule we jurisdictions). However, no regulatory additional information we receive publish must: flexibility analysis is required if the through the public comment period on (1) Be logically organized; head of the agency certifies the rule will the impacts of the proposed designation (2) Use the active voice to address not have a significant economic impact on national security or homeland readers directly; on a substantial number of small security to determine whether any (3) Use clear language rather than entities. The SBREFA amended the RFA specific areas should be excluded from jargon; to require Federal agencies to provide a the final critical habitat designation (4) Be divided into short sections and certification statement of the factual under authority of section 4(b)(2) and sentences; and basis for certifying that the rule will not our implementing regulations at 50 CFR (5) Use lists and tables wherever have a significant economic impact on 424.19. possible. a substantial number of small entities. If you feel that we have not met these According to the Small Business Consideration of Other Relevant requirements, send us comments by one Administration, small entities include Impacts of the methods listed in ADDRESSES. To small organizations such as Under section 4(b)(2) of the Act, we better help us revise the rule, your independent nonprofit organizations; consider any other relevant impacts, in comments should be as specific as small governmental jurisdictions, addition to economic impacts and possible. For example, you should tell including school boards and city and

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town governments that serve fewer than based on currently available Services; and Child Support 50,000 residents; and small businesses information, we certify that, if made Enforcement. ‘‘Federal private sector (13 CFR 121.201). Small businesses final, the proposed critical habitat mandate’’ includes a regulation that include manufacturing and mining designation will not have a significant ‘‘would impose an enforceable duty concerns with fewer than 500 economic impact on a substantial upon the private sector, except (i) a employees, wholesale trade entities number of small business entities. condition of Federal assistance or (ii) a with fewer than 100 employees, retail Therefore, an initial regulatory duty arising from participation in a and service businesses with less than $5 flexibility analysis is not required. voluntary Federal program.’’ million in annual sales, general and The designation of critical habitat Energy Supply, Distribution, or Use— heavy construction businesses with less does not impose a legally binding duty Executive Order 13211 than $27.5 million in annual business, on non-Federal Government entities or special trade contractors doing less than Executive Order 13211 (Actions private parties. Under the Act, the only $11.5 million in annual business, and Concerning Regulations That regulatory effect is that Federal agencies agricultural businesses with annual Significantly Affect Energy Supply, must ensure that their actions do not sales less than $750,000. To determine Distribution, or Use) requires agencies destroy or adversely modify critical whether potential economic impacts to to prepare Statements of Energy Effects habitat under section 7. While non- these small entities are significant, we when undertaking certain actions. In Federal entities that receive Federal considered the types of activities that our economic analysis, we did not find funding, assistance, or permits, or that might trigger regulatory impacts under that this proposed critical habitat otherwise require approval or this designation as well as types of designation would significantly affect authorization from a Federal agency for project modifications that may result. In energy supplies, distribution, or use. an action, may be indirectly impacted general, the term ‘‘significant economic Therefore, this action is not a significant by the designation of critical habitat, the impact’’ is meant to apply to a typical energy action, and no Statement of legally binding duty to avoid small business firm’s business Energy Effects is required. destruction or adverse modification of operations. Unfunded Mandates Reform Act (2 critical habitat rests squarely on the Under the RFA, as amended, and as U.S.C. 1501 et seq.) Federal agency. Furthermore, to the understood in light of recent court extent that non-Federal entities are decisions, Federal agencies are required In accordance with the Unfunded indirectly impacted because they to evaluate the potential incremental Mandates Reform Act (2 U.S.C. 1501 et receive Federal assistance or participate impacts of rulemaking on those entities seq.), we make the following finding: in a voluntary Federal aid program, the directly regulated by the rulemaking (1) This proposed rule would not Unfunded Mandates Reform Act would itself; in other words, the RFA does not produce a Federal mandate. In general, not apply, nor would critical habitat require agencies to evaluate the a Federal mandate is a provision in shift the costs of the large entitlement potential impacts to indirectly regulated legislation, statute, or regulation that programs listed above onto State entities. The regulatory mechanism would impose an enforceable duty upon governments. through which critical habitat State, local, or tribal governments, or the (2) We do not believe that this rule protections are realized is section 7 of private sector, and includes both would significantly or uniquely affect the Act, which requires Federal ‘‘Federal intergovernmental mandates’’ small governments because the lands agencies, in consultation with the and ‘‘Federal private sector mandates.’’ proposed for critical habitat designation Service, to ensure that any action These terms are defined in 2 U.S.C. that are owned by Pima County are authorized, funded, or carried out by the 658(5)–(7). ‘‘Federal intergovernmental already set aside for conservation agency is not likely to destroy or mandate’’ includes a regulation that purposes, and small governments would adversely modify critical habitat. ‘‘would impose an enforceable duty be affected only to the extent that any Therefore, under section 7, only Federal upon State, local, or tribal governments’’ programs having Federal funds, permits, action agencies are directly subject to with two exceptions. It excludes ‘‘a or other authorized activities must the specific regulatory requirement condition of Federal assistance.’’ It also ensure that their actions would not (avoiding destruction and adverse excludes ‘‘a duty arising from adversely affect the critical habitat. modification) imposed by critical participation in a voluntary Federal Therefore, a Small Government Agency habitat designation. Consequently, it is program,’’ unless the regulation ‘‘relates Plan is not required. to a then-existing Federal program our position that only Federal action Takings—Executive Order 12630 agencies would be directly regulated if under which $500,000,000 or more is we adopt the proposed critical habitat provided annually to State, local, and In accordance with E.O. 12630 designation. There is no requirement tribal governments under entitlement (Government Actions and Interference under the RFA to evaluate the potential authority,’’ if the provision would with Constitutionally Protected Private impacts to entities not directly ‘‘increase the stringency of conditions of Property Rights), we have analyzed the regulated. Moreover, Federal agencies assistance’’ or ‘‘place caps upon, or potential takings implications of are not small entities. Therefore, otherwise decrease, the Federal designating critical habitat for the because no small entities would be Government’s responsibility to provide Arizona eryngo in a takings implications directly regulated by this rulemaking, funding,’’ and the State, local, or tribal assessment. The Act does not authorize the Service certifies that, if made final governments ‘‘lack authority’’ to adjust the Service to regulate private actions as proposed, the proposed critical accordingly. At the time of enactment, on private lands or confiscate private habitat designation will not have a these entitlement programs were: property as a result of critical habitat significant economic impact on a Medicaid; Aid to Families with designation. Designation of critical substantial number of small entities. Dependent Children work programs; habitat does not affect land ownership, In summary, we have considered Child Nutrition; Food Stamps; Social or establish any closures, or restrictions whether the proposed designation Services Block Grants; Vocational on use of or access to the designated would result in a significant economic Rehabilitation State Grants; Foster Care, areas. Furthermore, the designation of impact on a substantial number of small Adoption Assistance, and Independent critical habitat does not affect entities. For the above reasons and Living; Family Support Welfare landowner actions that do not require

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Federal funding or permits, nor does it impacted by the designation of critical Government-to-Government preclude development of habitat habitat, the legally binding duty to Relationship With Tribes conservation programs or issuance of avoid destruction or adverse In accordance with the President’s incidental take permits to permit actions modification of critical habitat rests memorandum of April 29, 1994 that do require Federal funding or squarely on the Federal agency. (Government-to-Government Relations permits to go forward. However, Federal with Native American Tribal agencies are prohibited from carrying Civil Justice Reform—Executive Order Governments; 59 FR 22951), Executive out, funding, or authorizing actions that 12988 would destroy or adversely modify Order 13175 (Consultation and In accordance with Executive Order critical habitat. A takings implications Coordination with Indian Tribal assessment has been completed for the 12988 (Civil Justice Reform), the Office Governments), and the Department of proposed designation of critical habitat of the Solicitor has determined that the the Interior’s manual at 512 DM 2, we for the Arizona eryngo, and it concludes rule would not unduly burden the readily acknowledge our responsibility that, if adopted, this designation of judicial system and that it meets the to communicate meaningfully with critical habitat does not pose significant requirements of sections 3(a) and 3(b)(2) recognized Federal Tribes on a takings implications for lands within or of the Order. We have proposed government-to-government basis. In affected by the designation. designating critical habitat in accordance with Secretarial Order 3206 accordance with the provisions of the of June 5, 1997 (American Indian Tribal Federalism—Executive Order 13132 Act. To assist the public in Rights, Federal-Tribal Trust In accordance with E.O. 13132 understanding the habitat needs of the Responsibilities, and the Endangered (Federalism), this proposed rule does species, this proposed rule identifies the Species Act), we readily acknowledge not have significant Federalism effects. elements of physical or biological our responsibilities to work directly A federalism summary impact statement features essential to the conservation of with Tribes in developing programs for is not required. In keeping with the species. The proposed areas of healthy ecosystems, to acknowledge that Department of the Interior and designated critical habitat are presented Tribal lands are not subject to the same Department of Commerce policy, we on maps, and the proposed rule controls as Federal public lands, to requested information from, and provides several options for the remain sensitive to Indian culture, and to make information available to Tribes. coordinated development of this interested public to obtain more We have determined that no Tribal proposed critical habitat designation detailed location information, if desired. with, appropriate State resource lands fall within the boundaries of the agencies. From a federalism perspective, Paperwork Reduction Act of 1995 (44 proposed critical habitat for the Arizona the designation of critical habitat U.S.C. 3501 et seq.) eryngo, so no Tribal lands would be directly affects only the responsibilities affected by the proposed designation. of Federal agencies. The Act imposes no This rule does not contain References Cited other duties with respect to critical information collection requirements, habitat, either for States and local and a submission to the Office of A complete list of references cited in governments, or for anyone else. As a Management and Budget (OMB) under this rulemaking is available on the result, the proposed rule does not have the Paperwork Reduction Act of 1995 internet at http://www.regulations.gov substantial direct effects either on the (44 U.S.C. 3501 et seq.) is not required. and upon request from the Arizona States, or on the relationship between We may not conduct or sponsor and you Ecological Services Field Office (see FOR the national government and the States, are not required to respond to a FURTHER INFORMATION CONTACT). or on the distribution of powers and collection of information unless it Authors responsibilities among the various displays a currently valid OMB control levels of government. The proposed number. The primary authors of this proposed designation may have some benefit to rule are the staff members of the Fish these governments because the areas National Environmental Policy Act (42 and Wildlife Service’s Species that contain the features essential to the U.S.C. 4321 et seq.) Assessment Team and the Arizona conservation of the species are more It is our position that, outside the Ecological Services Field Office. clearly defined, and the physical or jurisdiction of the U.S. Court of Appeals biological features of the habitat List of Subjects in 50 CFR Part 17 for the Tenth Circuit, we do not need to necessary for the conservation of the prepare environmental analyses Endangered and threatened species, species are specifically identified. This Exports, Imports, Reporting and information does not alter where and pursuant to the National Environmental Policy Act (NEPA; 42 U.S.C. 4321 et recordkeeping requirements, what federally sponsored activities may Transportation. occur. However, it may assist State and seq.) in connection with regulations local governments in long-range adopted pursuant to section 4(a) of the Proposed Regulation Promulgation Act. We published a notice outlining planning because they no longer have to Accordingly, we propose to amend our reasons for this determination in the wait for case-by-case section 7 part 17, subchapter B of chapter I, title consultations to occur. Federal Register on October 25, 1983 50 of the Code of Federal Regulations, Where State and local governments (48 FR 49244). This position was upheld as set forth below: require approval or authorization from a by the U.S. Court of Appeals for the Federal agency for actions that may Ninth Circuit (Douglas County v. PART 17—ENDANGERED AND affect critical habitat, consultation Babbitt, 48 F.3d 1495 (9th Cir. 1995), THREATENED WILDLIFE AND PLANTS under section 7(a)(2) of the Act would cert. denied 516 U.S. 1042 (1996)). All be required. While non-Federal entities of the proposed critical habitat lies ■ 1. The authority citation for part 17 that receive Federal funding, assistance, outside of the jurisdiction of the U.S. continues to read as follows: or permits, or that otherwise require Court of Appeals for the Tenth Circuit. Authority: 16 U.S.C. 1361–1407; 1531– approval or authorization from a Federal As a result, we are not preparing an 1544; and 4201–4245, unless otherwise agency for an action, may be indirectly environmental analysis. noted.

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■ 2. Amend § 17.12(h), the List of sparganophyllum’’ in alphabetical order § 17.12 Endangered and threatened plants. Endangered and Threatened Plants, by under FLOWERING PLANTS to read as * * * * * adding an entry for ‘‘Eryngium follows: (h) * * *

Listing citations and Scientific name Common name Where listed Status applicable rules

FLOWERING PLANTS

******* Eryngium Arizona eryngo ...... Wherever found ...... E [Federal Register citation when published as a sparganophyllum. final rule]; 50 CFR 17.96(a).CH

*******

■ 3. Amend § 17.96(a) by adding an (A) That contain permanently moist to and critical habitat units were then entry for ‘‘Eryngium sparganophyllum saturated, organic, alkaline soils with mapped using Universal Transverse (Arizona eryngo)’’ in alphabetical order some standing water in winter and that Mercator (UTM) Zone 15N coordinates. under Family Apiaceae to read as are moist at or just below the surface in The maps in this entry, as modified by follows: summer; and any accompanying regulatory text, (B) That have functional hydrological establish the boundaries of the critical § 17.96 Critical habitat—plants. processes and are sustained by habitat designation. The coordinates or (a) Flowering plants. springflow via discharge of plot points or both on which each map * * * * * groundwater. is based are available to the public at the (ii) Areas of open canopy throughout Service’s internet site at https:// Family Apiaceae: Eryngium the cienega. www.fws.gov/southwest/es/arizona/, at sparganophyllum (Arizona eryngo) (3) Critical habitat does not include http://www.regulations.gov at Docket manmade structures (such as buildings, No. FWS–R2–ES–2020–0130, and at the (1) Critical habitat units are depicted aqueducts, runways, roads, and other field office responsible for this for Pima and Cochise Counties, Arizona, paved areas) and the land on which they designation. You may obtain field office on the maps in this entry. are located existing within the legal location information by contacting one (2) Within these areas, the physical or boundaries on the effective date of the of the Service regional offices, the biological features essential to the final rule. conservation of the Arizona eryngo (4) Critical habitat map units. Data addresses of which are listed at 50 CFR consist of the following components: layers defining map units were created 2.2. (i) Cienegas within the Chihuahuan on a base of U.S. Geological Survey (5) Note: Index map follows: and Sonoran Deserts: digital ortho-photo quarter-quadrangles, BILLING CODE 4333–15–P

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BILLING CODE 4333–15–C encompassing the wetlands at Lewis Conservation Area, which is owned and (6) Unit 1: Lewis Springs, Cochise Springs just to the east of the San Pedro managed by the Bureau of Land County, Arizona. River in Cochise County, within the San Management. (i) General description: Unit 1 Pedro River Basin. The unit is located (ii) Map of Unit 1 follows: consists of 9.6 acres (3.9 hectares) within the San Pedro Riparian National BILLING CODE 4333–15–P

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BILLING CODE 4333–15–C adjacent to the Tanque Verde Wash east unit located on lands owned and (7) Unit 2: La Cebadilla, Pima County, of Tucson within the Santa Cruz River managed by the Pima County Regional Arizona. Basin. The majority of the unit is Flood Control District. (i) General description: Unit 2 consists of 3.1 acres (1.3 hectares) of located on lands owned by La Cebadilla (ii) Map of Unit 2 follows: Estates, with a smaller portion of the cienega habitat at La Cebadilla Cienega, BILLING CODE 4333–15–P

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BILLING CODE 4333–15–C acres (0.1 hectares) east of Tucson Natural Resources, Parks and (8) Unit 3: Agua Caliente, Pima within the Santa Cruz River Basin and Recreation. County, Arizona. is owned and managed by Pima County (i) General description: Unit 3 (ii) Map of Unit 3 follows: consists of three subunits totaling 0.3 BILLING CODE 4333–15–P

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BILLING CODE 4333–15–C without change. All personal identifying 2020, the Mid-Atlantic Council’s * * * * * information (e.g., name, address, etc.), Scientific and Statistical Committee’s Martha Williams, confidential business information, or (SSC) recommended that the projected otherwise sensitive information Acceptable Biological Catch (ABC) and Senior Advisor to the Secretary, Exercising resulting commercial quota for the 2021 the Delegated Authority of the Director, U.S. submitted voluntarily by the sender will Fish and Wildlife Service. be publicly accessible. NMFS will spiny dogfish fishery be recalculated accept anonymous comments (enter using this new approach. Applying the [FR Doc. 2021–03705 Filed 3–3–21; 8:45 am] ‘‘N/A’’ in the required fields if you wish new risk policy would increase the 2021 BILLING CODE 4333–15–P to remain anonymous). If you are unable ABC 9 percent from what was initially to submit your comment through projected (24 percent above 2020). www.regulations.gov, contact Cynthia The joint New England and Mid- DEPARTMENT OF COMMERCE Ferrio, Fishery Policy Analyst, Atlantic Council Spiny Dogfish [email protected]. Monitoring Committee also National Oceanic and Atmospheric recommended revising the 2021 Administration Copies of the Supplemental Information Report (SIR) and other specifications to reflect the updated risk policy at its September 2020 meeting, 50 CFR Part 648 supporting documents for this action are available upon request from Dr. consistent with the SSC. The [Docket No. 210225–0031;RTID 0648–XX069] Christopher M. Moore, Executive Monitoring Committee derived its Director, Mid-Atlantic Fishery recommendations for the remainder of Fisheries of the Northeastern United Management Council, Suite 201, 800 the revised specifications from the States; Atlantic Spiny Dogfish Fishery; North State Street, Dover, DE 19901. recommended ABC using the process Revised 2021 and Projected 2022 These documents are also accessible via defined in the FMP. Expected Canadian Specifications the internet at http://www.mafmc.org/ landings (45 mt) were deducted from the ABC to calculate the ACL, which AGENCY: National Marine Fisheries supporting-documents. was set equal to the ACT because no Service (NMFS), National Oceanic and FOR FURTHER INFORMATION CONTACT: overages have occurred in recent years. Atmospheric Administration (NOAA), Cynthia Ferrio, Fishery Policy Analyst, The estimate of U.S. discards (3,992 mt) Commerce. (978) 281–9180. was deducted from the ACT to derive ACTION: Proposed rule; request for SUPPLEMENTARY INFORMATION: the TAL, and expected U.S. recreational comments. Background landings (53 mt) were removed from the TAL to calculate the final coastwide SUMMARY: NMFS proposes revised The Mid-Atlantic Fishery specifications for the 2021 Atlantic commercial quota. Management Council and the New The Monitoring Committee also spiny dogfish fishery based on the Mid- England Fishery Management Council recommended projecting status quo Atlantic Fishery Management Council’s jointly manage the Atlantic Spiny specifications for fishing year 2022. updated risk policy, and projected Dogfish Fishery Management Plan There is a research track stock status quo specifications for fishing year (FMP), with the Mid-Atlantic Council assessment for spiny dogfish scheduled 2022, as recommended by the Mid- acting as the administrative lead. in 2022, and little additional or new Atlantic and New England Fishery Additionally, the Atlantic States Marine data will be available to inform 2022 Management Councils. This action is Fisheries Commission manages the specifications prior to the assessment. necessary to establish allowable harvest spiny dogfish fishery in state waters Therefore, the Monitoring Committee levels to prevent overfishing while from Maine to North Carolina through determined that status quo catch limits enabling optimum yield, using the best an interstate fishery management plan. would be appropriate until the information available. This rule also The Councils’ FMP requires the upcoming assessment can inform informs the public of the proposed specification of an annual catch limit specifications for the 2023 fishing year fishery specifications and provides an (ACL), annual catch target (ACT), and and beyond. Both Councils and the opportunity for comment. total allowable landings (TAL). These Commission reviewed and approved DATES: Comments must be received by limits and other management measures SSC and Monitoring Committee March 19, 2021. may be set for up to five fishing years recommendations at their respective ADDRESSES: You may submit comments at a time, with each fishing year running meetings in October and December, and on this document, identified by NOAA– from May 1 through April 30. This all recommended revised and projected NMFS–2021–0004, by the following action proposes revised specifications 2021 and 2022 spiny dogfish method: for the 2021 spiny dogfish fishery as specifications based on the updated Electronic Submission: Submit all well as projects specifications for 2022, Mid-Atlantic Council risk policy. electronic public comments via the based on the Mid-Atlantic Council’s Federal e-Rulemaking Portal. updated risk policy. Proposed Specifications 1. Go to https://www.regulations.gov/ The spiny dogfish fishery is currently This action proposes the Councils’ docket?D=NOAA-NMFS-2021-0004, operating under multi-year recommendations for revised 2021 and 2. Click the ‘‘Comment Now!’’ icon, specifications for 2019–2021, based on a projected status quo 2022 spiny dogfish complete the required fields, and 2018 assessment update. The specifications to maintain compliance 3. Enter or attach your comments. commercial quota is already projected to with the Mid-Atlantic Council’s Instructions: Comments sent by any increase approximately 14 percent from updated risk policy. These proposed other method, to any other address or fishing year 2020 to 2021 under these catch limits are consistent with the SSC, individual, or received after the end of initial specifications. However, the Mid- Monitoring Committee, and the comment period, may not be Atlantic Council recently updated its Commission recommendations as well. considered by NMFS. All comments risk policy to accept a higher level of Although currently projected 2021 received are part of the public record risk for stocks at or above biomass specifications were already increasing and will generally be posted for public targets (85 FR 81152; December 15, compared to fishing year 2020, these viewing on www.regulations.gov 2020). At its meeting on September 8, revised catch limits are nearly 10

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percent higher after applying the new revised 2021–2022 specifications is risk policy. A comparison of the summarized below in Table 1. originally projected and proposed

TABLE 1—COMPARISON OF ORIGINAL (CURRENT) AND REVISED (PROPOSED) SPINY DOGFISH FISHERY SPECIFICATIONS FOR FISHING YEARS 2021 AND 2022

Originally projected 2021 Revised 2021–2022 (current) (proposed) Percent change Million lb Metric tons Million lb Metric tons

ABC ...... 35.37 16,043 38.58 17,498 9 ACL = ACT ...... 35.26 15,994 38.48 17,453 9 TAL ...... 27.60 12,519 29.68 13,461 8 Commercial Quota...... 27.42 12,438 29.56 13,408 8

The Councils did not recommend any Small Business Administration that this commercial quota, there are no other changes to the spiny dogfish proposed rule, if adopted, would not proposed changes to the daily fishery. Therefore, all other fishery have a significant economic impact on possession limits or other measures that management measures, including the a substantial number of small entities. are likely to change fishing behavior. 6,000-lb (2,722-kg) Federal trip limit, The factual basis for this determination Entities issued a commercial spiny would remain unchanged for fishing is as follows. dogfish permit may experience a slight years 2021 and projected to be The Councils conducted an positive impact related to potentially unchanged for 2022 under the proposed evaluation of the potential higher landings throughout the course action. The Councils will review the socioeconomic impacts of the proposed of the entire year. However, based on projected 2022 specifications to measures in conjunction with a SIR. market conditions, substantial changes determine if any changes need to be There are no proposed regulatory in fishing behavior, or increases in made prior to their implementation. changes in this spiny dogfish action, so short-term landings are not expected as Changes may occur if quota overages none are considered in the evaluation. a result of these specifications. As such, trigger accountability measures, or if The proposed specifications would the proposed action is not expected to new stock information results in slightly increase 2021 spiny dogfish have an impact on the way the fishery changes to the ABC recommendations. catch limits in accordance with the Mid- operates or the revenue of small entities. NMFS will publish a notice prior to the Atlantic Council’s updated risk policy, Overall, analyses indicate that the 2022 fishing year to confirm or and project status quo specifications for proposed specifications will not announce any necessary changes. NMFS 2022. substantially change: Fishing effort, the expects the 2022 stock assessment to According to the Northeast Fisheries risk of overfishing, prices/revenues, or inform development of the next set of Science Center commercial ownership fishery behavior. Additionally, this specifications beginning in 2023. database, 2,305 separate vessels held action will not have a significant impact commercial spiny dogfish permits in on small entities. As a result, an initial Classification 2019, the most recent year of fully regulatory flexibility analysis is not Pursuant to section 304(b)(1)(A) of the available data. A total of 1,726 required and none has been prepared. Magnuson Stevens Fishery Conservation commercial entities owned those This proposed rule contains no and Management Act (Magnuson- permitted vessels, and of those entities, information collection requirements Stevens Act), the NMFS Assistant 1,716 are categorized as small under the Paperwork Reduction Act of Administrator has determined that this businesses and 10 as large businesses. 1995. proposed rule is consistent with the Of those small businesses with Authority: 16 U.S.C. 1801 et seq. Spiny Dogfish FMP, other provisions of commercial spiny dogfish permits, the Magnuson-Stevens Act, and other 1,315 had some revenue in 2019. Dated: February 25, 2021. applicable law, subject to further The proposed specifications for 2021 Samuel D. Rauch III, consideration after public comment. and projected specifications for 2022 are Deputy Assistant Administrator for This action is not a significant action expected to provide similar fishing Regulatory Programs, National Marine under Executive Order 12866. opportunities when compared to the Fisheries Service. The Chief Counsel for Regulation of 2020 fishing year. Although the [FR Doc. 2021–04356 Filed 3–3–21; 8:45 am] the Department of Commerce certified proposed specifications increase the BILLING CODE 3510–22–P to the Chief Counsel for Advocacy of the

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Notices Federal Register Vol. 86, No. 41

Thursday, March 4, 2021

This section of the FEDERAL REGISTER approval. All comments will be a matter professionals to enable them to prepare contains documents other than rules or of public record. and serve nutritious meals that appeal proposed rules that are applicable to the FOR FURTHER INFORMATION CONTACT: to children. Team Nutrition also public. Notices of hearings and investigations, Requests for additional information or increases opportunities for nutrition committee meetings, agency decisions and education through multiple rulings, delegations of authority, filing of copies of this information collection petitions and applications and agency should be directed to Kaylyn Padovani communication channels to help statements of organization and functions are at [email protected] or by children gain the knowledge, skills, and examples of documents appearing in this telephone at (703) 305–2078. motivation to make healthy food and section. SUPPLEMENTARY INFORMATION: Comments physical activity choices as part of a are invited on: (a) Whether the proposed healthy lifestyle. Finally, Team collection of information is necessary Nutrition helps to build and bolster DEPARTMENT OF AGRICULTURE for the proper performance of the support for healthy school and child functions of the agency, including care environments that encourage Food and Nutrition Service whether the information shall have nutritious food choices and physically practical utility; (b) the accuracy of the active lifestyles. Agency Information Collection Since 1995, Team Nutrition has Activities: Team Nutrition Database agency’s estimate of the burden of the proposed collection of information, collected information from schools via AGENCY: Food and Nutrition Service including the validity of the the Team Nutrition Database to (FNS), USDA. methodology and assumptions that were communicate releases and updates of Team Nutrition resources. In order to ACTION: Notice. used; (c) ways to enhance the quality, utility, and clarity of the information to reach CACFP program operators and SUMMARY: In accordance with the be collected; and (d) ways to minimize providers, FNS expanded the database Paperwork Reduction Act of 1995, this the burden of the collection of in December 2018 to collect the contact notice invites the general public and information on those who are to information of interested CACFP other public agencies to comment on respond, including use of appropriate organizations (such as sponsoring this proposed information collection. automated, electronic, mechanical, or agencies and independent child care This is a revision of a currently other technological collection centers). Those eligible entities that approved collection and the information techniques or other forms of information choose to input their information into collected is used to facilitate a technology. the database, via the online Team communication network among Title: Team Nutrition Database. Nutrition Schools enrollment form organizations participating in the Child Form Number: FNS 891 (Team (https://www.fns.usda.gov/tn/schools) and Adult Care Food Program (CACFP) Nutrition Schools) and FNS 892 (Team or Team Nutrition CACFP Organization and schools participating in the Nutrition CACFP Organizations). enrollment form (https:// National School Lunch Program (NSLP) OMB Number: 0584–0642. www.fns.usda.gov/tn/cacfp), will and School Breakfast Program (SBP). Expiration Date: 10/31/2021. receive electronic correspondence, such This communication network is Type of Request: Revision of a as bimonthly newsletters and implemented under the Team Nutrition Currently Approved Collection. promotions. These communications initiative of the United States Abstract: Team Nutrition is an announce the availability of new and Department of Agriculture’s (USDA) initiative of the United States updated Team Nutrition materials that Food and Nutrition Service (FNS), Child Department of Agriculture’s Food and support nutrition education and provide Nutrition Programs. Nutrition Service to support national technical assistance to foster a positive efforts to promote lifelong healthy food healthy environment. This database DATES: Written comments must be choices and physical activity by allows the opportunity for the enrolled received on or before May 3, 2021. improving the nutrition practices of the entities to affirm their commitment to ADDRESSES: Comments may be sent to: Child Nutrition Programs, including the childhood nutrition and wellness while Kaylyn Padovani, Food and Nutrition Child and Adult Care Food Program also providing the opportunity to Service, U.S. Department of Agriculture, (CACFP), the National School Lunch collaborate with other peers. 1320 Braddock Place, 4th Floor Program (NSLP) and the School Since the previous renewal in 2018, Alexandria, VA 22314. Comments may Breakfast and Special Milk Programs the burden of this information also be submitted via email to the (SBP and SMP), in addition to the Fresh collection has decreased due to changes attention of Kaylyn Padovani at Fruit and Vegetable Program (FFVP), in the number of respondents who are [email protected] with ‘‘Team Afterschool Snacks, and Seamless providing information. FNS has Nutrition Database Comments’’ in the Summer Option (SSO). This initiative removed the school county field from subject line. Comments will also be provides resources to schools, child care the Team Nutrition Schools form accepted through the Federal e- settings, and summer meal and because many participants did not Rulemaking Portal. Go to http:// afterschool sites that participate in these complete this field. FNS has made no www.regulations.gov, and follow the programs. changes to the collection instrument for online instructions for submitting Team Nutrition applies the social Team Nutrition CACFP Organizations or comments electronically. cognitive theory to change behavior to the reminder notifications. Lastly, the All responses to this notice will be through three main strategies. The first title of this collection has been renamed summarized and included in the request is to provide training and technical from ‘‘Contact Information of Schools for Office of Management and Budget assistance to child nutrition that Participate in the National School

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Lunch Program and Organizations that Affected Public: Business or Other For of responses per respondent for the Participate in the USDA’s Child and Profit; Not For Profit; and State, Local entire collection is 3. The CACFP’s Adult Care Food Program’’ to ‘‘Team and Tribal Government: Respondent organization and the schools will be Nutrition Database’’ as it is commonly groups identified include: (1) asked to voluntarily complete one (1) known. Organizations that have a CACFP enrollment form and submit changes as agreement with the States and (2) The collection of the school and needed. Schools that participate in the NSLP. CACFP organization contact information Estimated Total Annual Responses: Estimated Number of Respondents: 366,390. is currently approved under OMB The total estimated number of Control #0584–0642, which expires on respondents is approximately 122,130 Estimated Time per Response: The October 31, 2021. FNS wants to extend (22,130 are CACFP organizations and estimated time of response varies from this data collection to continue the 100,000 are schools). For CACFP 0.0835 to 0.25 hour (5–15 minutes), customer service provided to these organizations, the total is broken down with an average estimated time of 0.097 entities. Once this information as follows: 19,662 CACFP sponsors; (approximately 5.82 minutes) for all collection request has been reviewed centers only; 674 CACFP sponsors of all participants. and approved by the Office of home care; and 1,794 CACFP sponsors Estimated Total Annual Burden on Management and Budget (OMB), FNS of adult care. Respondents: 354,484 hours. See the will update the collection with the new Estimated Number of Responses per table below for estimated total annual expiration date. Respondent: The total estimated number burden for each type of respondent.

Estimated Estimated Responses Total annual avg. number Estimated Affected public Respondent number annually per responses of hours total hours respondent respondent (col. bxc) per response (col. dxe)

Reporting Burden ...... Businesses or Other for CACFP Organizations 19,662 1 19,662 0.25 4,915.5 Profit, Not-for-Profit. (completed form)–CACFP Sponsors: Centers Only. CACFP Organizations 674 1 674 0.25 168.5 (completed form)— CACFP Sponsors of All Home Care. CACFP Organizations 1,794 1 1,794 0.25 448.5 (completed form)— CACFP Sponsors of Adult Care. CACFP Organizations (up- 22,130 1 22,130 0.0835 1,847.9 dated form)—All. CACFP Organizations (re- 22,130 1 22,130 0.025 553.3 minder notification). Subtotal of Businesses or ...... 22,130 ...... 66,390 ...... 7,933.6 Other for Profit, Not-for Profit. Schools (completed form) .. 100,000 1 100,000 0.167 16,700 Schools (updated form) ...... 100,000 1 100,000 0.0835 8,350 Schools (reminder notifica- 100,000 1 100,000 0.025 2,500 tion). Subtotal for State, Local, or ...... 100,000 ...... 300,000 ...... 27,550 Tribal Government.

Total Reporting Burden ...... 122,130 ...... 366,390 ...... 35,484

Cynthia Long, SUMMARY: This notice announces the benefits to those children most in need Acting Administrator, Food and Nutrition Department’s annual adjustments to the and are revised annually to account for Service. Income Eligibility Guidelines to be used changes in the Consumer Price Index. [FR Doc. 2021–04443 Filed 3–3–21; 8:45 am] in determining eligibility for free and DATES: Implementation date July 1, BILLING CODE 3410–30–P reduced price meals and free milk for the period from July 1, 2021 through 2021. June 30, 2022. These guidelines are used FOR FURTHER INFORMATION CONTACT: J. DEPARTMENT OF AGRICULTURE by schools, institutions, and facilities Kevin Maskornick, Program Monitoring participating in the National School and Operational Support Division, Food and Nutrition Service Lunch Program (and Commodity School Child Nutrition Programs, Food and Program), School Breakfast Program, Nutrition Service, United States Child Nutrition Programs: Income Special Milk Program for Children, Department of Agriculture, 1320 Eligibility Guidelines Child and Adult Care Food Program and Braddock Place, Suite 401, Alexandria, Summer Food Service Program. The Virginia 22314, or call 703–305–2537. AGENCY: Food and Nutrition Service, annual adjustments are required by USDA. section 9 of the Richard B. Russell SUPPLEMENTARY INFORMATION: This National School Lunch Act. The action is not a rule as defined by the ACTION: Notice. guidelines are intended to direct Regulatory Flexibility Act (5 U.S.C.

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601–612) and thus is exempt from the in accordance with applicable program 11(b) of the Child Nutrition Act of 1966 provisions of that Act. rules. (42 U.S.C. 1760(e) and 1780(b)). In accordance with the Paperwork Definition of Income The Income Eligibility Guidelines Reduction Act of 1995 (44 U.S.C. 3507), no recordkeeping or reporting In accordance with the Department’s The following are the Income requirements have been included that policy as provided in the Food and Eligibility Guidelines to be effective are subject to approval from the Office Nutrition Service publication Eligibility from July 1, 2021 through June 30, 2022. of Management and Budget. Manual for School Meals, ‘‘income,’’ as The Department’s guidelines for free the term is used in this notice, means This notice has been determined to be meals and milk and reduced price meals income before any deductions such as not significant and was not reviewed by were obtained by multiplying the year income taxes, Social Security taxes, the Office of Management and Budget in 2021 Federal income poverty guidelines insurance premiums, charitable conformance with Executive Order by 1.30 and 1.85, respectively, and by contributions, and bonds. It includes the 12866. rounding the result upward to the next following: (1) Monetary compensation The affected programs are listed in the whole dollar. for services, including wages, salary, This notice displays only the annual Assistance Listings (https:// commissions or fees; (2) net income Federal poverty guidelines issued by the beta.sam.gov/) under No. 10.553, No. from nonfarm self-employment; (3) net Department of Health and Human 10.555, No. 10.556, No. 10.558, and No. income from farm self-employment; (4) Services because the monthly and 10.559 and are subject to the provisions Social Security; (5) dividends or interest weekly Federal poverty guidelines are of Executive Order 12372, which on savings or bonds or income from not used to determine the Income requires intergovernmental consultation estates or trusts; (6) net rental income; Eligibility Guidelines. The chart details with State and local officials. (See 2 CFR (7) public assistance or welfare the free and reduced price eligibility part 415). payments; (8) unemployment criteria for monthly income, income compensation; (9) government civilian Background received twice monthly (24 payments employee or military retirement, or Pursuant to sections 9(b)(1) and pensions or veterans payments; (10) per year); income received every two 17(c)(4) of the Richard B. Russell private pensions or annuities; (11) weeks (26 payments per year) and National School Lunch Act (42 U.S.C. alimony or child support payments; (12) weekly income. 1758(b)(1) and 42 U.S.C. 1766(c)(4)), regular contributions from persons not Income calculations are made based and sections 3(a)(6) and 4(e)(1)(A) of the living in the household; (13) net on the following formulas: Monthly Child Nutrition Act of 1966 (42 U.S.C. royalties; and (14) other cash income. income is calculated by dividing the 1772(a)(6) and 1773(e)(1)(A)), the Other cash income would include cash annual income by 12; twice monthly Department annually issues the Income amounts received or withdrawn from income is computed by dividing annual Eligibility Guidelines for free and any source including savings, income by 24; income received every reduced price meals for the National investments, trust accounts and other two weeks is calculated by dividing School Lunch Program (7 CFR part 210), resources that would be available to pay annual income by 26; and weekly the Commodity School Program (7 CFR the price of a child’s meal. income is computed by dividing annual part 210), School Breakfast Program (7 ‘‘Income’’, as the term is used in this income by 52. All numbers are rounded CFR part 220), Summer Food Service notice, does not include any income or upward to the next whole dollar. The Program (7 CFR part 225) and Child and benefits received under any Federal numbers reflected in this notice for a Adult Care Food Program (7 CFR part programs that are excluded from family of four in the 48 contiguous 226) and the guidelines for free milk in consideration as income by any States, the District of Columbia, Guam the Special Milk Program for Children statutory prohibition. Furthermore, the and the territories represent an increase (7 CFR part 215). These eligibility value of meals or milk to children shall of 1.1 percent over last year’s level for guidelines are based on the Federal not be considered as income to their a family of the same size. income poverty guidelines and are households for other benefit programs Authority: Section 9(b)(1) of the Richard stated by household size. The guidelines in accordance with the prohibitions in B. Russell National School Lunch Act (42 are used to determine eligibility for free section 12(e) of the Richard B. Russell U.S.C. 1758(b)(1)(A)). and reduced price meals and free milk National School Lunch Act and section BILLING CODE 3410–30–P

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Cynthia Long, (1) On page 1919, in column 2, on agencies must generally provide Acting Administrator, USDA Food and lines 16 and 17, remove ‘‘Community opportunities for public comment and Nutrition Service. Connect Grant; see 7 CFR part 1739;’’ obtain OMB approval for each collection [FR Doc. 2021–04452 Filed 3–3–21; 8:45 am] (2) On page 1919, in column 2, under of information they conduct or sponsor BILLING CODE 3410–30–C section II. ‘‘Award Information,’’ in the (e.g., contractually-required information table, remove ‘‘Community Connect collection by a third-party). ‘‘Collection 10;’’ and of information’’ refers to agency DEPARTMENT OF AGRICULTURE (3) On page 1919, in column 2, on informational requests that pose lines 4 and 5 under the subheading identical questions to, or impose Rural Business-Cooperative Service ‘‘Award Dates’’ in section II. ‘‘Award reporting or record-keeping obligations Information,’’ remove ‘‘Community on, ten or more non-federal entities or Rural Housing Service Connect Grant Program.’’ persons, regardless of whether response is mandatory or voluntary. See 5 CFR Rural Utilities Service Christopher A. McLean, 1320.3(c); see also 44 U.S.C. 3502(3). Acting Deputy Under Secretary, Rural [Docket No. RBS–20–BUSINESS–0040] In December 2020, the Access Board Development. published a 60-day notice concerning Notice of Solicitation of Applications [FR Doc. 2021–04440 Filed 3–3–21; 8:45 am] the proposed renewal of its existing (NOSA) for the Strategic Economic and BILLING CODE 3410–XY–P generic clearance for the collection of Community Development Program for qualitative feedback, which expires in Fiscal Year (FY) 2021; Correction May 2021 (OMB Control No. 3014– ARCHITECTURAL AND 0011). 82 FR 37421 (Aug. 10, 2017). We AGENCY: Rural Business-Cooperative TRANSPORTATION BARRIERS received no comments in response to Service, Rural Housing Service, and COMPLIANCE BOARD this 60-day notice. Rural Utilities Service, USDA. ACTION: Notice; correction. [Docket No. ATBCB–2020–0005] B. Overview of Requested Generic Clearance Renewal Agency Information Collection SUMMARY: The Rural Business- By this notice, the Access Board Cooperative Service, Rural Housing Activities; Submission of Renewed Generic Clearance for OMB Review announces that it has requested OMB Service, and Rural Utilities Service, renewal of our existing generic agencies that comprise the Rural AGENCY: Architectural and clearance so that we may continue Development Mission Area within the Transportation Barriers Compliance ongoing efforts to solicit qualitative United States Department of Board. customer feedback on agency programs Agriculture, published a notice of ACTION: 30-Day notice. and services. OMB approval is solicitation of applications in the requested for three years. Provided Federal Register on January 11, 2021, SUMMARY: In accordance with the below is an overview of the existing entitled ‘‘Notice of Solicitation of Paperwork Reduction Act of 1995 generic clearance for which the Access Applications (NOSA) for the Strategic (PRA), the Architectural and Board seeks renewal: Economic and Community Development Transportation Barriers Compliance OMB Control Number: 3014–0011. Program for Fiscal Year (FY) 2021.’’ The Board (Access Board) has submitted to Title: Generic Clearance for the NOSA provides requirements to the Office of Management and Budget Collection of Qualitative Feedback on applicants submitting applications for (OMB) a request for renewal of its Agency Service Delivery. programs that have been prioritized by existing generic clearance to continue to Type of Request: Extension without the Secretary of Agriculture for Strategic collect qualitative feedback on agency change. Economic and Community Development services and programs. Abstract: The proposed information funding. Contrary to what was DATES: Submit comments by April 5, collection activity facilitates collection published in the NOSA, this Correction 2021. of qualitative customer and stakeholder Notice (Correction) is being issued to feedback in an efficient, timely manner, clarify that Strategic Economic and ADDRESSES: Written comments and in accordance with the Federal Community Development priority recommendations for the proposed Government’s commitment to funding will not be set aside for the information collection should be sent improving service delivery. By Community Connect Grant Program in within 30 days of publication of this qualitative feedback we mean FY 2021. notice to www.reginfo.gov/public/do/ information collections that provide FOR FURTHER INFORMATION CONTACT: Greg PRAMain. Find this particular useful insights on perceptions and Batson, Rural Development Innovation information collection by selecting opinions but are not statistical surveys Center, U.S. Department of Agriculture, ‘‘Currently under 30-day Review—Open that yield quantitative results that can Stop 0793, 1400 Independence Avenue for Public Comments’’ or by using the be generalized to the population of SW, Washington, DC 20250–0783, search function. study. This feedback will provide Telephone: (573) 239–2945. Email: FOR FURTHER INFORMATION CONTACT: insight into customer or stakeholder [email protected]. Frances Spiegel, Attorney Advisor, perceptions, experiences and SUPPLEMENTARY INFORMATION: Office of General Counsel, U.S. Access expectations, provide an early warning Board, 1331 F Street NW, Suite 1000, of issues with service, or focus attention Correction Washington, DC 20004–1111. Phone: on areas where communication, In FR Doc 2021–00234 of January 11, 202–272–0041 (voice). Email: spiegel@ training, or changes in operations might 2021 (86 FR 1918), make the following access-board.gov. improve delivery of services. These corrections of references in the NOSA to SUPPLEMENTARY INFORMATION: collections will allow for ongoing, ‘‘Community Connect,’’ ‘‘Community collaborative, and actionable Connect Grant,’’ and ‘‘Community A. Background communications between the Access Connect Grant Program’’ are being Under the PRA and its implementing Board and its customers and removed by this Correction: regulations (5 CFR part 1320), Federal stakeholders.

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Respondents/Affected Public: estimates for the annual reporting costs associated with this information Individuals and Households; Businesses burden for the information collections collection. Nor will there be any costs and Organizations; State, Local or Tribal proposed under this renewed generic to respondents, other than their time.) Government. information collection request. (The Burden Estimates: In the table below Access Board does not anticipate (Table 1), the Access Board provides incurring any capital or other direct

TABLE 1—ESTIMATED ANNUAL BURDEN HOURS

Frequency Average Total Type of collection Number of of response response time burden respondents (per year) (mins.) (hours)

Customer feedback surveys—Office of Technical and Information Services 3,830 1 4 255 Customer feedback survey: ABA Compliance and enforcement program ..... 40 1 4 3

Totals: ...... 3,870 n/a n/a 258 (Note: Total burden hours per collection rounded to the nearest full hour.)

Request for Comment: The Access or Join by phone: 800–360–9505 USA IV. Next Steps Board seeks comment on any aspect of Toll Free, Access code: 1992 414 037 V. Public Comment the proposed renewal of its existing FOR FURTHER INFORMATION CONTACT: VI. Adjournment generic clearance for the collection of David Barreras, Designated Federal Dated: February 26, 2021. qualitative feedback on agency service Officer, at [email protected] or (202) David Mussatt, delivery, including (a) whether the 499–4066. Supervisory Chief, Regional Programs Unit. proposed collection of information is SUPPLEMENTARY INFORMATION : Members [FR Doc. 2021–04436 Filed 3–3–21; 8:45 am] necessary for the Access Board’s of the public may listen to this BILLING CODE P performance; (b) the accuracy of the discussion through the above call-in estimated burden; (c) ways for the number. An open comment period will Access Board to enhance the quality, be provided to allow members of the COMMISSION ON CIVIL RIGHTS utility, and clarity of the information public to make a statement as time collection; and (d) ways that the burden allows. Callers can expect to incur Notice of Public Meetings of the could be minimized without reducing regular charges for calls they initiate Alabama Advisory Committee the quality of the collected information. over wireless lines, according to their AGENCY: U.S. Commission on Civil Gretchen Jacobs, wireless plan. The Commission will not refund any incurred charges. Rights. General Counsel. Individuals who are deaf, deafblind and ACTION: Announcement of meeting. [FR Doc. 2021–04419 Filed 3–3–21; 8:45 am] hard of hearing may also follow the BILLING CODE 8150–01–P proceedings by first calling the Federal SUMMARY: Notice is hereby given, Relay Service at 1–800–877–8339 and pursuant to the provisions of the rules providing the Service with the and regulations of the U.S. Commission conference call number and conference on Civil Rights (Commission) and the COMMISSION ON CIVIL RIGHTS ID number. Federal Advisory Committee Act that Members of the public are entitled to the Alabama Advisory Committee Notice of Public Meetings of the (Committee) will hold a meeting via the Tennessee Advisory Committee submit written comments; the comments must be received in the web platform Webex on Thursday, AGENCY: U.S. Commission on Civil regional office within 30 days following March 18, 2021 at 10:00 a.m. Central Rights. the meeting. Written comments may be Time. The purpose of the meeting is for the committee to discuss civil rights ACTION: Announcement of meeting. emailed to David Barreras at dbarreras@ usccr.gov. concerns in the state, and to work on SUMMARY: Notice is hereby given, Records generated from this meeting logistics for their upcoming briefings. pursuant to the provisions of the rules may be inspected and reproduced at the DATES: The meeting will be held on: and regulations of the U.S. Commission Regional Programs Unit Office, as they • Thursday, March 18, 2021, at 10:00 on Civil Rights (Commission) and the become available, both before and after a.m. Central Time Federal Advisory Committee Act that the meeting. Records of the meeting will https://civilrights.webex.com/civilrights/ the Tennessee Advisory Committee be available via www.facadatabase.gov j.php?MTID=madd740b602a57f45 (Committee) will hold a meeting via the under the Commission on Civil Rights, fe85eec1114633eb web platform Webex on Thursday, Tennessee Advisory Committee link. or Join by phone: 800–360–9505 USA March 18, 2021 at 12:00 p.m. Central Persons interested in the work of this Toll Free, Access code: 1990 598 676 Committee are directed to the Time. The purpose of the meeting is for FOR FURTHER INFORMATION CONTACT: Commission’s website, http:// the committee to discuss proposed David Barreras, Designated Federal www.usccr.gov, or may contact the topics of study. Officer, at [email protected] or (202) Regional Programs Unit at the above DATES: The meetings will be held on: 499–4066. email or street address. • Thursday, March 18, 2021, at 12:00 SUPPLEMENTARY INFORMATION: Members p.m. Central Time Agenda of the public may listen to this https://civilrights.webex.com/civilrights/ I. Welcome & Roll Call discussion through the above call-in j.php?MTID=m992749f83df222 II. Chair’s Comments number. An open comment period will cdaaa858ecac88662f III. Committee Discussion be provided to allow members of the

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public to make a statement as time The notification was processed in public presentation materials to the allows. Callers can expect to incur accordance with the regulations of the Committee members, the Committee regular charges for calls they initiate FTZ Board (15 CFR part 400), including suggests that presenters forward the over wireless lines, according to their notice in the Federal Register inviting public presentation materials prior to wireless plan. The Commission will not public comment (85 FR 70580, the meeting to Ms. Springer via email. refund any incurred charges. November 5, 2020). On February 26, The Assistant Secretary for Individuals who are deaf, deafblind and 2021, the applicant was notified of the Administration, with the concurrence of hard of hearing may also follow the FTZ Board’s decision that no further the delegate of the General Counsel, proceedings by first calling the Federal review of the activity is warranted at formally determined on February 9, Relay Service at 1–800–877–8339 and this time. The production activity 2021, pursuant to Section 10(d) of the providing the Service with the described in the notification was Federal Advisory Committee Act, as conference call number and conference authorized, subject to the FTZ Act and amended (5 U.S.C. app. 2 § 10(d)), that ID number. the FTZ Board’s regulations, including the portion of the meeting dealing with Members of the public are entitled to Section 400.14. pre-decisional changes to the Commerce submit written comments; the Dated: February 26, 2021. Control List and the U.S. export control comments must be received in the Andrew McGilvray, policies shall be exempt from the regional office within 30 days following provisions relating to public meetings Executive Secretary. the meeting. Written comments may be found in 5 U.S.C. app. 2 § § 10(a)(1) and emailed to David Barreras at dbarreras@ [FR Doc. 2021–04410 Filed 3–3–21; 8:45 am] 10(a)(3). The remaining portions of the usccr.gov. BILLING CODE 3510–DS–P meeting will be open to the public. Records generated from this meeting For more information, call Yvette may be inspected and reproduced at the Springer at (202) 482–2813. Regional Programs Unit Office, as they DEPARTMENT OF COMMERCE become available, both before and after Yvette Springer, the meeting. Records of the meeting will Bureau of Industry and Security Committee Liaison Officer. be available via www.facadatabase.gov Emerging Technology Technical [FR Doc. 2021–04434 Filed 3–3–21; 8:45 am] under the Commission on Civil Rights, Advisory Committee; Notice of BILLING CODE 3510–JT–P Alabama Advisory Committee link. Partially Closed Meeting Persons interested in the work of this Committee are directed to the The Emerging Technology Technical DEPARTMENT OF COMMERCE Commission’s website, http:// Advisory Committee (ETTAC) will meet www.usccr.gov, or may contact the on March 19, 2021, at 8:00 a.m., Eastern International Trade Administration Regional Programs Unit at the above Standard Time. The meetings will be Initiation of Antidumping and email or street address. available via teleconference. The Committee advises the Office of the Countervailing Duty Administrative Agenda Assistant Secretary for Export Reviews I. Welcome & Roll Call Administration on the identification of AGENCY: Enforcement and Compliance, II. Chair’s Comments emerging and foundational technologies International Trade Administration, III. Committee Discussion on Proposed with potential dual-use applications as Department of Commerce. Panelists early as possible in their developmental IV. Next Steps SUMMARY: The Department of Commerce stages both within the United States and (Commerce) has received requests to V. Public Comment abroad. VI. Adjournment conduct administrative reviews of Dated: February 26, 2021. Agenda various antidumping duty (AD) and countervailing duty (CVD) orders and David Mussatt, Closed Session: 8:00 a.m.–10:00 a.m. findings with January anniversary dates. Supervisory Chief, Regional Programs Unit. 1. Discussion of matters determined to In accordance with Commerce’s [FR Doc. 2021–04437 Filed 3–3–21; 8:45 am] be exempt from the provisions relating regulations, we are initiating those BILLING CODE P to public meetings found in 5 U.S.C. administrative reviews. app. 2 §§ 10(a)(1) and 10(a)(3). DATES: Applicable March 4, 2021. FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF COMMERCE Open Session: 10:30 a.m.—12:30 p.m. 2. Welcome and Introductions. Brenda E. Brown, AD/CVD Operations, Foreign-Trade Zones Board 3. Presentations: Active Cyber Customs Liaison Unit, Enforcement and Compliance, International Trade [B–65–2020] Defense: Emerging Technologies and Policy Issues. Administration, U.S. Department of Commerce, 1401 Constitution Avenue Foreign-Trade Zone (FTZ) 168—Dallas/ 4. Open Forum: Issues Surrounding NW, Washington, DC 20230, telephone: Fort Worth, Texas; Authorization of Emerging/Foundational Technologies (202) 482–4735. Production Activity; Gulfstream Controls. Aerospace Corporation; (Disassembly 5. Public Comments. SUPPLEMENTARY INFORMATION: of Aircraft); Dallas, Texas To join the conference, submit inquiries to Ms. Yvette Springer at Background On October 29, 2020, the Metroplex [email protected] no later Commerce has received timely International Trade Development than December 2, 2020. requests, in accordance with 19 CFR Corporation, grantee of FTZ 168, To the extent that time permits, 351.213(b), for administrative reviews of submitted a notification of proposed members of the public may present oral various AD and CVD orders and production activity to the FTZ Board on statements to the Committee. The public findings with January anniversary dates. behalf of Gulfstream Aerospace may submit written statements at any All deadlines for the submission of Corporation, within Subzone 168E, in time before or after the meeting. various types of information, Dallas, Texas. However, to facilitate the distribution of certifications, or comments or actions by

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Commerce discussed below refer to the respondent selection phase of this in the ordinary course of trade, the number of calendar days from the review and will not collapse companies administering authority may use applicable starting time. at the respondent selection phase unless another calculation methodology under there has been a determination to this subtitle or any other calculation Notice of No Sales collapse certain companies in a methodology.’’ When an interested If a producer or exporter named in previous segment of this AD proceeding party submits a PMS allegation pursuant this notice of initiation had no exports, (e.g., investigation, administrative to section 773(e) of the Act, Commerce sales, or entries during the period of review, new shipper review, or changed will respond to such a submission review (POR), it must notify Commerce circumstances review). For any consistent with 19 CFR 351.301(c)(2)(v). within 30 days of publication of this company subject to this review, if If Commerce finds that a PMS exists notice in the Federal Register. All Commerce determined, or continued to under section 773(e) of the Act, then it submissions must be filed electronically treat, that company as collapsed with will modify its dumping calculations at https://access.trade.gov in accordance others, Commerce will assume that such appropriately. with 19 CFR 351.303.1 Such companies continue to operate in the Neither section 773(e) of the Act nor submissions are subject to verification same manner and will collapse them for 19 CFR 351.301(c)(2)(v) set a deadline in accordance with section 782(i) of the respondent selection purposes. for the submission of PMS allegations Tariff Act of 1930, as amended (the Act). Otherwise, Commerce will not collapse and supporting factual information. Further, in accordance with 19 CFR companies for purposes of respondent However, in order to administer section 351.303(f)(1)(i), a copy must be served selection. Parties are requested to (a) 773(e) of the Act, Commerce must on every party on Commerce’s service identify which companies subject to receive PMS allegations and supporting list. review previously were collapsed, and factual information with enough time to Respondent Selection (b) provide a citation to the proceeding consider the submission. Thus, should in which they were collapsed. Further, an interested party wish to submit a In the event Commerce limits the if companies are requested to complete PMS allegation and supporting new number of respondents for individual the Quantity and Value (Q&V) factual information pursuant to section examination for administrative reviews Questionnaire for purposes of 773(e) of the Act, it must do so no later initiated pursuant to requests made for respondent selection, in general, each than 20 days after submission of initial the orders identified below, Commerce company must report volume and value responses to section D of the intends to select respondents based on data separately for itself. Parties should questionnaire. U.S. Customs and Border Protection not include data for any other party, (CBP) data for U.S. imports during the Separate Rates even if they believe they should be POR. We intend to place the CBP data treated as a single entity with that other In proceedings involving non-market on the record within five days of party. If a company was collapsed with economy (NME) countries, Commerce publication of the initiation notice and another company or companies in the begins with a rebuttable presumption to make our decision regarding most recently completed segment of this that all companies within the country respondent selection within 30 days of proceeding where Commerce are subject to government control and, publication of the initiation Federal considered collapsing that entity, thus, should be assigned a single Register notice. Comments regarding the antidumping duty deposit rate. It is complete Q&V data for that collapsed CBP data and respondent selection Commerce’s policy to assign all entity must be submitted. should be submitted within seven days exporters of merchandise subject to an after the placement of the CBP data on Deadline for Withdrawal of Request for administrative review in an NME the record of this review. Parties Administrative Review country this single rate unless an wishing to submit rebuttal comments Pursuant to 19 CFR 351.213(d)(1), a exporter can demonstrate that it is should submit those comments within party that has requested a review may sufficiently independent so as to be five days after the deadline for the withdraw that request within 90 days of entitled to a separate rate. initial comments. the date of publication of the notice of To establish whether a firm is In the event Commerce decides it is initiation of the requested review. The sufficiently independent from necessary to limit individual regulation provides that Commerce may government control of its export examination of respondents and extend this time if it is reasonable to do activities to be entitled to a separate conduct respondent selection under so. Determinations by Commerce to rate, Commerce analyzes each entity section 777A(c)(2) of the Act, the exporting the subject merchandise. In following guidelines regarding extend the 90-day deadline will be made on a case-by-case basis. accordance with the separate rates collapsing of companies for purposes of criteria, Commerce assigns separate respondent selection will apply. In Deadline for Particular Market rates to companies in NME cases only general, Commerce has found that Situation Allegation if respondents can demonstrate the determinations concerning whether Section 504 of the Trade Preferences absence of both de jure and de facto particular companies should be Extension Act of 2015 amended the Act government control over export ‘‘collapsed’’ (e.g., treated as a single by adding the concept of a particular activities. entity for purposes of calculating market situation (PMS) for purposes of All firms listed below that wish to antidumping duty rates) require a constructed value under section 773(e) qualify for separate rate status in the substantial amount of detailed of the Act.2 Section 773(e) of the Act administrative reviews involving NME information and analysis, which often states that ‘‘if a particular market countries must complete, as require follow-up questions and situation exists such that the cost of appropriate, either a separate rate analysis. Accordingly, Commerce will materials and fabrication or other application or certification, as described not conduct collapsing analyses at the processing of any kind does not below. For these administrative reviews, accurately reflect the cost of production in order to demonstrate separate rate 1 See Antidumping and Countervailing Duty eligibility, Commerce requires entities Proceedings: Electronic Filing Procedures; Administrative Protective Order Procedures, 76 FR 2 See Trade Preferences Extension Act of 2015, for whom a review was requested, that 39263 (July 6, 2011). Public Law 114–27, 129 Stat. 362 (2015). were assigned a separate rate in the

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most recent segment of this proceeding of the proceeding 3 should timely file a publication of this Federal Register in which they participated, to certify Separate Rate Application to notice. The deadline and requirement that they continue to meet the criteria demonstrate eligibility for a separate for submitting a Separate Rate for obtaining a separate rate. The rate in this proceeding. In addition, Application applies equally to NME- Separate Rate Certification form will be companies that received a separate rate owned firms, wholly foreign-owned available on Commerce’s website at in a completed segment of the firms, and foreign sellers that purchase https://enforcement.trade.gov/nme/ proceeding that have subsequently and export subject merchandise to the nme-sep-rate.html on the date of made changes, including, but not United States. publication of this Federal Register limited to, changes to corporate For exporters and producers who notice. In responding to the structure, acquisitions of new submit a Separate Rate Application or certification, please follow the companies or facilities, or changes to Certification and subsequently are ‘‘Instructions for Filing the their official company name,4 should selected as mandatory respondents, Certification’’ in the Separate Rate timely file a Separate Rate Application these exporters and producers will no Certification. Separate Rate to demonstrate eligibility for a separate longer be eligible for separate rate status Certifications are due to Commerce no rate in this proceeding. The Separate unless they respond to all parts of the later than 30 calendar days after Rate Application will be available on questionnaire as mandatory publication of this Federal Register Commerce’s website at https:// respondents. notice. The deadline and requirement enforcement.trade.gov/nme/nme-sep- Initiation of Reviews: for submitting a Certification applies rate.html on the date of publication of equally to NME-owned firms, wholly this Federal Register notice. In In accordance with 19 CFR foreign-owned firms, and foreign sellers responding to the Separate Rate 351.221(c)(1)(i), we are initiating who purchase and export subject Application, refer to the instructions administrative reviews of the following merchandise to the United States. contained in the application. Separate AD and CVD orders and findings. We Entities that currently do not have a Rate Applications are due to Commerce intend to issue the final results of these separate rate from a completed segment no later than 30 calendar days after reviews not later than January 31, 2022.

Period to be reviewed

AD Proceedings Canada: Softwood Lumber,5 A–122–857 ...... 1/1/20–12/31/20 1074712 BC Ltd. 5214875 Manitoba Ltd. 54 Reman 752615 B.C Ltd. Fraserview Remanufacturing Inc., (dba Fraserview Cedar Products) 9224–5737 Quebec inc. (aka A.G. Bois) AA Trading Ltd. Absolute Lumber Products Ltd. Adwood Manufacturing Ltd Aler Forest Products Ltd. All American Forest Products Inc. Alpa Lumber Mills Inc. Andersen Pacific Forest Products Ltd. Anglo American Cedar Products Ltd. Antrim Cedar Corporation Aquila Cedar Products Ltd. Arbec Lumber Inc. Aspen Planers Ltd. B&L Forest Products Ltd. Babine Forest Products Limited Bakerview Forest Products Inc. Bardobec Inc. Barrette-Chapais Ltee BarretteWood Inc. Benoıˆt & Dionne Produits Forestiers Lte´e (aka Benoıˆt & Dionne Forest Products Ltd.) Best Quality Cedar Products Ltd. Blanchet Multi Concept Inc. Blanchette & Blanchette Inc. Bois Aise´ de Montre´al Inc. Bois Bonsaı¨ inc. Bois D’Oeuvre Cedrico Inc. (aka Cedrico Lumber Inc.) Bois Daaquam Inc. Bois et Solutions Marketing SPEC, Inc. Boisaco Inc. Boscus Canada Inc. Boucher Bros. Lumber Ltd. BPWood Ltd. Bramwood Forest Inc.

3 Such entities include entities that have not shipper review, etc.) and entities that lost their 4 Only changes to the official company name, participated in the proceeding, entities that were separate rate in the most recently completed rather than trade names, need to be addressed via preliminarily granted a separate rate in any segment of the proceeding in which they a Separate Rate Application. Information regarding currently incomplete segment of the proceeding participated. new trade names may be submitted via a Separate (e.g., an ongoing administrative review, new Rate Certification.

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Period to be reviewed

Brink Forest Products Ltd. Brunswick Valley Lumber Inc. Burrows Lumber (CD) Ltd., Theo A. Burrows Lumber Company Limited Busque & Laflamme Inc. Campbell River Shake & Shingle Co. Ltd. Canada Pallet Corp. Canadian Forest Products Ltd.; Canfor Wood Products Marketing Ltd.; Canfor Corporation Canasia Forest lndustries Ltd. Canyon Lumber Company Ltd. Careau Bois Inc. Carrier & Be´gin Inc. Carrier Forest Products Ltd. Carrier Lumber Ltd. Carter Forest Products Inc. Cedar Island Forest Products Ltd. Cedar Valley Holdings Ltd. Cedarcoast Lumber Products Cedarland Forest Products Ltd. Cedarline Industries Ltd. Central Cedar Ltd. Central Forest Products Inc. Centurion Lumber Ltd. Chaleur Sawmills LP Channel-ex Trading Corporation Clair Industrial Development Corp. Ltd. Clermond Hamel Ltee CNH Products Inc. Coast Clear Wood Ltd. Coast Mountain Cedar Products Ltd. Commonwealth Plywood Co. Ltd. Conifex Fibre Marketing Inc. Coulson Manufacturing Ltd. Cowichan Lumber Ltd. CS Manufacturing Inc. (dba Cedarshed) CWP—Industriel Inc. CWP—Montre´al Inc. D & D Pallets Ltd. Dakeryn Industries Ltd. Decker Lake Forest Products Ltd. Deep Cove Forest Products, Inc. Delco Forest Products Ltd. Delta Cedar Specialties Ltd. Devon Lumber Co. Ltd. DH Manufacturing Inc. Direct Cedar Supplies Ltd. Distribution Rioux Inc. Doubletree Forest Products Ltd. Downie Timber Ltd. Dunkley Lumber Ltd. EACOM Timber Corporation East Fraser Fiber Co. Ltd. Edgewood Forest Products Inc. Elrod Cartage Ltd. ER Probyn Export Ltd. Falcon Lumber Ltd. Fontaine Inc. Foothills Forest Products Inc. Fornebu Lumber Company Inc. Fraser Specialty Products Ltd. FraserWood Industries Ltd Furtado Forest Products Ltd. Glandell Enterprises Inc. Goldband Shake & Shingle Ltd. Goldwood Industries Ltd. Goodfellow Inc. Gorman Bros. Lumber Ltd. Greendale Industries Inc. Greenwell Resources Inc. Griff Building Supplies Ltd. Groupe Creˆte Chertsey Inc. Groupe Creˆte Division St-Faustin Inc. Groupe Lebel Inc. Groupe Lignarex Inc. H.J. Crabbe & Sons Ltd.

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Period to be reviewed

Haida Forest Products Ltd. Halo Sawmill, a division of Delta Cedar Specialties Ltd. Hampton Tree Farms, LLC (dba Hampton Lumber Sales Canada) Hornepayne Lumber LP Hudson Mitchell & Sons Lumber Inc. Hy Mark Wood Products Inc. Imperial Cedar Products Ltd. Independent Building Materials Distribution Inc. Interfor Corporation Interfor Sales & Marketing Ltd. Intertran Holdings Ltd. (dba Richmond Terminal) Island Cedar Products Ltd. J&G Log Works Ltd. J.H. Huscroft Ltd. Jan Woodlands (2001) Inc. Jasco Forest Products Ltd. Jazz Forest Products Ltd. Jhajj Lumber Corporation Kalesnikoff Lumber Co. Ltd. Kan Wood Ltd. Ke´bois Lteé Kelfor Industries Ltd. Kermode Forest Products Ltd. Keystone Timber Ltd. L’Atelier de Reádaptation au Travil de Beauce Inc. Lafontaine Lumber Inc. Langevin Forest Products Inc. Lecours Lumber Co. Limited Leisure Lumber Ltd. Les Bardeaux Lajoie Inc. Les Bois d’oeuvre Beaudoin Gauthier Inc. Les Bois Martek Lumber Les Bois Traite´s M.G. Inc. Les Chantiers de Chibougamau Lteé Les Industries P.F. Inc. Les Palettes B.B. Inc. (aka B.B.Pallets Inc.) Les Produits Forestiers D&G Lteé (aka D&G Forest Products Ltd.) Leslie Forest Products Ltd. Lignum Forest Products LLP Linwood Homes Ltd. Lonestar Lumber lnc. Lulumco inc. Magnum Forest Products, Ltd. Maibec inc. Mainland Sawmill, a division of Terminal Forest Products Manitou Forest Products Ltd. Manning Forest Products Ltd.; Sundre Forest Products Inc.; Blue Ridge Lumber Inc.; West Fraser Mills Ltd. Marcel Lauzon Inc. Marwood Ltd. Materiaux Blanchet Inc. Mid Valley Lumber Specialties Ltd. Midway Lumber Mills Ltd. Mill & Timber Products Ltd. Millar Western Forest Products Ltd. Mirax Lumber Products Ltd. Mobilier Rustique (Beauce) Inc. Monterra Lumber Mills Limited Morwood Forest Products Inc. Multicedre Itee Nakina Lumber Inc. National Forest Products Ltd. Nicholson and Cates Ltd Nickel Lake Lumber Norsask Forest Products Inc. Norsask Forest Products Limited Partnership North American Forest Products Ltd. (located in Saint-Quentin, New Brunswick) North American Forest Products, Ltd. (located in Abbotsford, British Columbia) North Enderby Timber Ltd. Northland Forest Products Ltd. Olympic Industries Inc-Reman Codes Olympic Industries ULC Olympic Industries ULC-Reman Olympic Industries ULC-Reman Code Olympic Industries, Inc.

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Period to be reviewed

Oregon Canadian Forest Products Inc. d.b.a. Oregon Canadian Forest Products Pacific Coast Cedar Products Ltd. Pacific Lumber Remanufacturing Inc. Pacific Pallet, Ltd. Pacific Western Wood Works Ltd. PalletSource Inc. Parallel Wood Products Ltd. Pat Power Forest Products Corporation Phoenix Forest Products Inc. Pine Ideas Ltd. Pioneer Pallet & Lumber Ltd. Porcupine Wood Products Ltd. Portbec Forest Products Ltd./Les Produits Forestiers Portbec Lte´e Power Wood Corp. Precision Cedar Products Corp. Prendiville Industries Ltd. (aka Kenora Forest Products) Produits Forestiers Petit Paris Inc. Produits forestiers Temrex, s.e.c. Produits Matra Inc. Promobois G.D.S. Inc. Rayonier A.M. Canada GP Rembos Inc. Rene´ Bernard Inc. Resolute Growth Canada Inc.; Forest Products Mauricie LP, Socie´te´ en commandite Scierie Opitciwan; Resolute- LP Engineered Wood Larouche Inc.; Resolute-LP Engineered Wood St-Prime Limited Partnership; Resolute FP Canada Inc. Rick Dubois Rielly Industrial Lumber Inc. River City Remanufacturing Inc. S&R Sawmills Ltd. S&W Forest Products Ltd. San Industries Ltd. Sapphire Lumber Company Sawarne Lumber Co. Ltd. Scierie Alexandre Lemay & Fils Inc. Scierie St-Michel Inc. Scierie West Brome Inc. Scott Lumber Sales Sechoirs de Beauce Inc. Shakertown Corp. Sigurdson Forest Products Ltd. Silvaris Corporation Sinclar Group Forest Products Ltd. Skana Forest Products Ltd. Skeena Sawmills Ltd. Sonora Logging Ltd. Source Forest Products South Beach Trading Inc. South Coast Reman Ltd. South Fraser Container Terminals Specialiste du Bardeau de Cedre Inc. Spruceland Millworks Inc. Star Lumber Canada Ltd. Suncoast Industries Inc. Suncoh Custom Lumber Ltd. Sundher Timber Products Inc. Surplus G Rioux Surrey Cedar Ltd. Taan Forest Limited Partnership Taiga Building Products Ltd. Tall Tree Lumber Company Teal Cedar Products Ltd. Terminal Forest Products Ltd. The Teal Jones Group The Wood Source Inc. Tolko Marketing and Sales Ltd., Tolko Industries Ltd., and Gilbert Smith Forest Products Ltd. Trans-Pacific Trading Ltd. Triad Forest Products Ltd. Twin Rivers Paper Co. Inc. Tyee Timber Products Ltd. Usine Sartigan Inc. Vaagen Fibre Canada ULC Valley Cedar 2 Inc. Vancouver Specialty Cedar Products Ltd.

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Period to be reviewed

Vanderhoof Specialty Wood Products Ltd. Visscher Lumber Inc. W.I. Woodtone Industries Inc. Waldun Forest Product Sales Ltd. Watkins Sawmills Ltd. West Bay Forest Products Ltd. Western Forest Products Inc. Western Lumber Sales Limited Western Timber Products, Inc. Westminster Industries Ltd. Weston Forest Products Inc. Weyerhaeuser Co. White River Forest Products L.P. Winton Homes Ltd. Woodline Forest Products Ltd. Woodstock Forest Products Woodtone Specialties Inc. WWW Timber Products Ltd. India: Polyester Textured Yarn, A–533–885 ...... 7/1/19–12/31/20 Sanathan Textiles Private Limited Thailand: Prestressed Concrete Steel Wire Strand, A–549–820 ...... 1/1/20–12/31/20 The Siam Industrial Wire Co., Ltd. Thai Wire Products Public Co. Ltd. The People’s Republic of China: Certain Hardwood Plywood Products, A–570–051 ...... 1/1/20–12/31/20 Anhui Hoda Wood Co., Ltd. Celtic Co., Ltd China Friend Limited. Cosco Star International Co., Ltd. Deqing China-Africa Foreign Trade Port Co., Ltd. Feixian Jinde Wood Factory G.D. Enterprise Limited Happy Wood Industrial Group Co., Ltd. Henan Hongda Woodcraft Industry Co., Ltd. Jiangsu Qianjiuren International Trading Co., Ltd. Jiangsu Shengyang Industrial Joint Stock Co., Ltd. Jiashan Dalin Wood Industry Co., Ltd. Jiaxing Hengtong Wood Co., Ltd. Jiaxing Kaochuan Woodwork Co., Ltd. Leadwood Industrial Corp. Linyi Chengen Import and Export Co., Ltd. Linyi City Dongfang Fukai Wood Industry Co., Ltd. Linyi City Shenrui International Trade Co., Ltd. Linyi Evergreen Wood Co., Ltd. Linyi Glary Plywood Co., Ltd. Linyi Huasheng Yongbin Wood Co., Ltd. Linyi Jiahe Wood Industry Co., Ltd. Linyi Sanfortune Wood Co., Ltd. Linyi Tian He Wooden Industry Co., Ltd. Pizhou Dayun Import & Export Trade Co., Ltd. Pizhou Jin Sheng Yuan International Trade Co., Ltd. Qingdao Top P&Q International Corp. Shandong Anxin Timber Co., Ltd. Shandong Huaxin Jiasheng Wood Co., Ltd. Shandong Huiyu International Trade Co., Ltd. Shandong Johnson Trading Co., Ltd. Shandong Qishan International Trading Co., Ltd Shanghai Brightwood Trading Co., Ltd. Shanghai Futuwood Trading Co., Ltd. Shanghai Luli Trading Co., Ltd. Shanghai S&M Trade Co., Ltd. Smart Gift International Suining Pengxiang Wood Co., Ltd. Suqian Hopeway International Trade Co., Ltd. Suqian Yaorun Trade Co., Ltd Suzhou Dongsheng Wood Co., Ltd. Suzhou Oriental Dragon Import and Export Co., Ltd. Xuzhou Baoqi Wood Product Co., Ltd. Xuzhou Dilun Wood Co. Ltd. Xuzhou Eastern Huatai International Trading Co., Ltd. Xuzhou Hansun Import & Export Co. Ltd. Xuzhou Jiangheng Wood Products Co., Ltd. Xuzhou Jiangyang Wood Industries Co., Ltd. Xuzhou Maker’s Mark Building Materials Co., Ltd. Xuzhou Shenghe Wood Co. Ltd. Xuzhou Shuiwangxing Trading Co., Ltd.

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Period to be reviewed

Xuzhou Shuner Import & Export Trade Co. Ltd. Xuzhou Tianshan Wood Co., Ltd. Xuzhou Timber International Trade Co., Ltd. Yangzhou Hanov International Co., Ltd. Zhejiang Dehua TB Import & Export Co., Ltd. The People’s Republic of China: Crystalline Silicon Photovoltaic Cells, Whether Or Not Assembled Into Modules,6 A– 570–979 ...... 12/1/19–11/30/20 The People’s Republic of China: Wooden Bedroom Furniture, A–570–890 ...... 1/1/20–12/31/20 Dongguan Chengcheng Group Co., Ltd. Dongguan Sunrise Furniture Co. Dongguan Sunrise Furniture Co., Ltd. Eurosa (Kunshan) Co., Ltd. Eurosa Furniture Co., (PTE) Ltd. Fairmont Designs Fortune Glory Industrial Ltd. (H.K. Ltd.) Fortune Glory Industrial, Ltd. (HK Ltd.) Golden Lion International Trading Ltd. Golden Well International (HK), Ltd. Guangzhou Maria Yee Furnishings Ltd. Hang Hai Woodcraft’s Art Factory Hui Zhou Tian Mei Furniture Co., Ltd. Jiangmen Kinwai Furniture Decoration Co., Ltd., Jiangmen Kinwai International Furniture Co., Ltd. Jiangsu Xiangsheng Bedtime Furniture Co., Ltd. Jiangsu Yuexing Furniture Group Co., Ltd. Lianjiang Zongyu Art Products Co., Ltd. Maria Yee, Inc. Meizhou Sunrise Furniture Co., Ltd. Nanhai Jiantai Woodwork Co. Ltd. Nathan International Ltd., Nathan Rattan Factory Perfect Line Furniture Co., Ltd. PuTian JingGong Furniture Co., Ltd. Pyla HK Ltd. Shanghai Sunrise Furniture Co., Ltd. Shenyang Shining Dongxing Furniture Co., Ltd. Shenzhen Forest Furniture Co., Ltd. Shenzhen Jiafa High Grade Furniture Co., Ltd. Shenzhen New Fudu Furniture Co., Ltd. Shenzhen Wonderful Furniture Co., Ltd. Shin Feng Furniture Co., Ltd. Stupendous International Co., Ltd. Sun Fung Co. Sun Fung Wooden Factory Sunforce Furniture (Hui-Yang) Co., Ltd. Superwood Co. Ltd. Taicang Fairmont Designs Furniture Co., Ltd. Taicang Sunrise Wood Industry Co., Ltd. Taicang Sunrise Wood Industry, Co., Ltd. Tradewinds Furniture Ltd. (successor-in-interest to Nanhai Jiantai Woodwork Co.) Wuxi Yushea Furniture Co., Ltd. Xiamen Yongquan Sci-Tech Development Co., Ltd. Yeh Brothers World Trade Inc. Yihua Lifestyle Technology Co., Ltd. Yihua Timber Industry Co., Ltd. (a.k.a. Guangdong Yihua Timber Industry Co., Ltd.) Zhangjiagang Daye Hotel Furniture Co. Ltd. Zhangzhou Guohui Industrial & Trade Co. Ltd. Zhangzhou XYM Furniture Product Co., Ltd. Zhejiang Tianyi Scientific & Educational Equipment Co., Ltd. Zhongshan Fookyik Furniture Co., Ltd. Zhongshan Golden King Furniture Industrial Co., Ltd. Zhoushan For-Strong Wood Co., Ltd. CVD Proceedings Argentina: Biodiesel, C–357–821 ...... 1/1/20–12/31/20 Aceitera General Deheza S.A. Bio Nogoya S.A. Bunge Argentina S.A. Ca´mara Argentina de Biocombustibles Cargill S.A.C.I. COFCO Argentina S.A. Explora GEFCO Argentina LDC Argentina S.A. Molinos Agro S.A.

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Period to be reviewed

Noble Argentina Oleaginosa Moreno Hermanos S.A. Patagonia Bioenergia Renova S.A. T6 Industrial SA (EcoFuel) Unitec Bio S.A. Vicentin S.A.I.C. Viluco S.A. Canada: Softwood Lumber,7 C–122–858 ...... 1/1/20–12/31/20 1074712 BC Ltd. 5214875 Manitoba Ltd. 752615 B.C Ltd, Fraserview Remanufacturing Inc, dba Fraserview Cedar Products. 9224–5737 Que´bec inc. (aka A.G. Bois) AA Trading Ltd. Absolute Lumber Products, Ltd. Adwood Manufacturing Ltd. Aler Forest Products, Ltd. All American Forest Products Inc. Alpa Lumber Mills Inc. Andersen Pacific Forest Products Ltd. Anglo American Cedar Products Ltd. Antrim Cedar Corporation Aquila Cedar Products, Ltd. Arbec Lumber Inc. Aspen Planers Ltd. B&L Forest Products Ltd B.B. Pallets Inc. Babine Forest Products Limited Bakerview Forest Products Inc. Bardobec Inc. Barrette-Chapais Ltee BarretteWood Inc. Benoıˆt & Dionne Produits Forestiers Ltee Best Quality Cedar Products Ltd. Blanchet Multi Concept Inc. Blanchette & Blanchette Inc. Bois Aise de Montreal inc. Bois Bonsaı¨ Inc. Bois Daaquam Inc. Bois D’oeuvre Cedrico Inc. (aka Cedrico Lumber Inc.) Bois et Solutions Marketing SPEC, Inc. Boisaco Boscus Canada Inc. Boucher Bros. Lumber Ltd. BPWood Ltd. Bramwood Forest Inc. Brunswick Valley Lumber Inc. Burrows Lumber (CD) Ltd., Theo A. Burrows Lumber Company Limited Busque & Laflamme Inc. Campbell River Shake & Shingle Co., Ltd. Canada Pallet Corp. Canasia Forest lndustries Ltd. Canfor Corporation Canyon Lumber Company, Ltd. Careau Bois Inc. Carrier & Begin Inc. Carrier Forest Products Ltd. Carrier Lumber Ltd. Carter Forest Products Inc. Cedar Island Forest Products Ltd. Cedar Valley Holdings Ltd. Cedarland Forest Products Ltd. Cedarline Industries, Ltd. Central Cedar Ltd. Central Forest Products, Inc. Centurion Lumber, Ltd. Chaleur Sawmills LP Channel-ex Trading Corporation Clair Industrial Development Corp. Ltd. Clermond Hamel Ltee CNH Products Inc. Coast Mountain Cedar Products Ltd. Commonwealth Plywood Co. Ltd. Comox Valley Shakes (2019) Ltd.

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Period to be reviewed

Conifex Fibre Marketing Inc. Cowichan Lumber Ltd. CS Manufacturing Inc., dba Cedarshed CWP—Industriel Inc. CWP—Montreal inc. D & D Pallets, Ltd. Dakeryn Industries Ltd. Decker Lake Forest Products Ltd. Delco Forest Products Ltd. Delta Cedar Specialties Ltd. Devon Lumber Co. Ltd. DH Manufacturing Inc. Direct Cedar Supplies Ltd. Distribution Rioux Inc. Doubletree Forest Products Ltd. Downie Timber Ltd. Dunkley Lumber Ltd. EACOM Timber Corporation East Fraser Fiber Co. Ltd. Edgewood Forest Products Inc. Elrod Cartage Ltd. ER Probyn Export Ltd. Falcon Lumber Ltd. Fontaine Inc. Foothills Forest Products Inc. Fornebu Lumber Co. Ltd. Fraser Specialty Products Ltd. FraserWood Industries Ltd. Furtado Forest Products Ltd. Glandell Enterprises Inc. Goldband Shake & Shingle Ltd. Goldwood Industries Ltd. Goodfellow Inc. Gorman Bros. Lumber Ltd. Greendale Industries Inc. Greenwell Resources Inc. Griff Building Supplies Ltd. Groupe Crete Chertsey Groupe Crete division St-Faustin Groupe Lebel Inc. Groupe Lignarex Inc. H.J. Crabbe & Sons Ltd. Haida Forest Products Ltd. Hampton Tree Farms, LLC dba Hampton Lumber Sales Canada Hornepayne Lumber LP Hudson Mitchell & Sons Lumber Inc. Hy Mark Wood Products Inc. Imperial Cedar Products, Ltd. Interfor Corporation Interfor Sales & Marketing Ltd. Intertran Holdings Ltd. dba Richmond Terminal Island Cedar Products Ltd J&G Log Works Ltd. J.D. Irving, Limited J.H. Huscroft Ltd. Jan Woodland (2001) inc. Jasco Forest Products Ltd. Jazz Forest Products Ltd. Jhajj Lumber Corporation Kalesnikoff Lumber Co. Ltd. Kan Wood, Ltd. Kebois Ltee/Ltd Kelfor Industries Ltd. Kermode Forest Products Ltd. Keystone Timber Ltd. L’Atelier de Re´adaptation au Travil de Beauce Inc. Lafontaine Lumber Inc. Langevin Forest Products Inc. Lecours Lumber Co. Limited Leisure Lumber Ltd. Les Bardeaux Lajoie Inc. Les Bois d’oeuvre Beaudoin Gauthier inc. Les Bois Martek Lumber Les Bois Traites M.G. Inc.

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Period to be reviewed

Les Chantiers de Chibougamau ltd. Les Industries P.F. Inc. Les Produits Forestiers D&G Ltee Leslie Forest Products Ltd. Lignum Forest Products LLP Linwood Homes Ltd. Lonestar Lumber lnc. Lulumco Inc. Magnum Forest Products, Ltd. Maibec Inc. Manitou Forest Products Ltd. Marcel Lauzon Inc. Marwood Ltd. Materiaux Blanchet Inc. Mid Valley Lumber Specialties, Ltd. Midway Lumber Mills Ltd. Mill & Timber Products Ltd. Millar Western Forest Products Ltd. Mirax Lumber Products Ltd. Mobilier Rustique (Beauce) Inc. Monterra Lumber Mills Limited Morwood Forest Products Inc. Multicedre Itee Nakina Lumber Inc. National Forest Products Ltd. Nicholson and Cates Ltd NorSask Forest Products Limited Partnership North American Forest Products Ltd. (located in Abbotsford, British Columbia) North American Forest Products Ltd. (located in Saint-Quentin, New Brunswick) North Enderby Timber Ltd. Northland Forest Products Ltd. Olympic Industries, Inc./Olympic Industries Inc-Reman Code/Olympic Industries ULC/Olympic Industries ULCReman/Olympic Industries ULC-Reman Code Oregon Canadian Forest Products Inc. dba Oregon Canadian Forest Products Pacific Coast Cedar Products Ltd. Pacific Lumber Remanufacturing Inc. Pacific Pallet, Ltd. Pacific Western Wood Works Ltd. PalletSource Inc. Parallel Wood Products Ltd. Pat Power Forest Products Corporation Phoenix Forest Products Inc. Pioneer Pallet & Lumber Ltd Porcupine Wood Products Ltd. Portbec Forest Products Ltd (aka Les Produits Forestiers Portbec Lte´e) Power Wood Corp. Precision Cedar Products Corp. Prendiville Industries Ltd. (aka Kenora Forest Products) Produits Forestiers Petit Paris Produits forestiers Temrex, s.e.c. Produits Matra Inc. Promobois G.D.S. Inc. Rayonier A.M. Canada GP Rembos Inc. Rene Bernard Inc. Resolute FP Canada Inc. Rick Dubois Rielly Industrial Lumber Inc. River City Remanufacturing Inc. Roland Boulanger & Cie Ltee S&R Sawmills Ltd S&W Forest Products Ltd. San Industries Ltd. Sapphire Lumber Company Sawarne Lumber Co. Ltd. Scierie Alexandre Lemay & Fils Inc. Scierie St-Michel inc. Scierie West Brome Inc. Scott Lumber Sales Sechoirs de Beauce Inc. Shakertown Corp. Sigurdson Forest Products Ltd. Silvaris Corporation Sinclar Group Forest Products Ltd.

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Period to be reviewed

Skana Forest Products Ltd. Skeena Sawmills Ltd Sonora Logging Ltd. Source Forest Products South Beach Trading Inc. South Coast Reman Ltd. South Fraser Container Terminals Specialiste du Bardeau de Cedre Inc Spruceland Millworks Inc. Star Lumber Canada Ltd. Suncoast Industries Inc. Suncoh Custom Lumber Ltd. Sundher Timber Products Inc. Surplus G Rioux Surrey Cedar Ltd. Taan Forest Limited Partnership Taiga Building Products Ltd. Tall Tree Lumber Company Teal Cedar Products Ltd. Terminal Forest Products Ltd. The Teal-Jones Group The Wood Source Inc. Tolko Marketing and Sales Ltd., Tolko Industries Ltd., and Gilbert Smith Forest Products Ltd. Trans-Pacific Trading Ltd. Triad Forest Products Ltd. Twin Rivers Paper Co. Inc. Tyee Timber Products Ltd. Usine Sartigan Inc. Vaagen Fibre Canada, ULC Valley Cedar 2 Inc. Vancouver Specialty Cedar Products Ltd. Visscher Lumber Inc W.I. Woodtone Industries Inc. Waldun Forest Product Sales Ltd. Watkins Sawmills Ltd. West Bay Forest Products Ltd. West Fraser Mills Ltd. Western Forest Products Inc. Western Lumber Sales Limited Western Timber Products, Inc. Westminster Industries Ltd. Weston Forest Products Inc. Weyerhaeuser Co. White River Forest Products L.P. Winton Homes Ltd. Woodline Forest Products Ltd. Woodstock Forest products Woodtone Specialties Inc. WWW Timber Products Ltd. India: Polyester Textured Yarn, C–533–886 ...... 5/3/19–12/31/20 Sanathan Textiles Private Limited Indonesia: Biodiesel, C–560–831 ...... 1/1/20–12/31/20 PT Cermerlang Energi Perkasa (CEP) PT Ciliandra Perkasa PT. Musim Mas, Medan PT Pelita Agung Agrindustri Wilmar International Ltd. The People’s Republic of China: Multilayered Wood Flooring, C–570–971 ...... 1/1/19–12/31/19 Metropolitan Hardwood Floors, Inc.8 Suspension Agreements None.

Duty Absorption Reviews 7 During any administrative review Commerce of the company’s correct legal name in We request that the companies listed for C–122– writing within 30 days after the date of publication 858 review the spelling of their company name. If covering all or part of a period falling of this initiation notice. All submissions must be a company name is not accurate (i.e., misspelled or filed electronically at https://access.trade.gov. incomplete) or appears more than once with 5 We request that the companies listed for A–122– 6 In the initiation notice that published on different spelling variations, then please notify 857 review the spelling of their company name. If February 4, 2021 (86 FR 8166), Commerce Commerce of the company’s correct legal name in a company name is not accurate (i.e., misspelled or incomplete) or appears more than once with inadvertently listed the wrong period of review for writing within 30 days after the date of publication different spelling variations, then please notify the referenced case above. The correct period of of this initiation notice. All submissions must be review is listed in this notice. filed electronically at https://access.trade.gov.

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between the first and second or third described in (i)–(iv). These regulations 351.511(a)(2), filed pursuant to 19 CFR and fourth anniversary of the require any party, when submitting 351.301(c)(3) and rebuttal, clarification publication of an AD order under 19 factual information, to specify under and correction filed pursuant to 19 CFR CFR 351.211 or a determination under which subsection of 19 CFR 351.301(c)(3)(iv); (3) comments 19 CFR 351.218(f)(4) to continue an 351.102(b)(21) the information is being concerning the selection of a surrogate order or suspended investigation (after submitted and, if the information is country and surrogate values and sunset review), Commerce, if requested submitted to rebut, clarify, or correct rebuttal; (4) comments concerning CBP by a domestic interested party within 30 factual information already on the data; and (5) Q&V questionnaires. Under days of the date of publication of the record, to provide an explanation certain circumstances, Commerce may notice of initiation of the review, will identifying the information already on elect to specify a different time limit by determine whether AD duties have been the record that the factual information which extension requests will be absorbed by an exporter or producer seeks to rebut, clarify, or correct. The considered untimely for submissions subject to the review if the subject regulations, at 19 CFR 351.301, also which are due from multiple parties merchandise is sold in the United States provide specific time limits for such simultaneously. In such a case, through an importer that is affiliated factual submissions based on the type of Commerce will inform parties in the with such exporter or producer. The factual information being submitted. letter or memorandum setting forth the request must include the name(s) of the Please review the Final Rule,9 available deadline (including a specified time) by exporter or producer for which the at https://enforcement.trade.gov/frn/ which extension requests must be filed inquiry is requested. 2013/1304frn/2013-08227.txt, prior to to be considered timely. This policy also submitting factual information in this Gap Period Liquidation requires that an extension request must segment. Note that Commerce has be made in a separate, stand-alone For the first administrative review of temporarily modified certain of its submission, and clarifies the any order, there will be no assessment requirements for serving documents circumstances under which Commerce of antidumping or countervailing duties containing business proprietary will grant untimely-filed requests for the on entries of subject merchandise information, until further notice.10 extension of time limits. Please review entered, or withdrawn from warehouse, Any party submitting factual the Final Rule, available at https:// for consumption during the relevant information in an AD or CVD www.gpo.gov/fdsys/pkg/FR-2013-09-20/ ‘‘gap’’ period of the order (i.e., the proceeding must certify to the accuracy html/2013-22853.htm, prior to period following the expiry of and completeness of that information submitting factual information in these provisional measures and before using the formats provided at the end of segments. definitive measures were put into 11 the Final Rule. Commerce intends to These initiations and this notice are place), if such a gap period is applicable reject factual submissions in any in accordance with section 751(a) of the to the POR. proceeding segments if the submitting Act (19 U.S.C. 1675(a)) and 19 CFR Administrative Protective Orders and party does not comply with applicable 351.221(c)(1)(i). certification requirements. Letters of Appearance Dated: February 26, 2021. Interested parties must submit Extension of Time Limits Regulation James Maeder, applications for disclosure under Parties may request an extension of Deputy Assistant Secretary for Antidumping administrative protective orders in time limits before a time limit and Countervailing Duty Operations. accordance with the procedures established under Part 351 expires, or as [FR Doc. 2021–04479 Filed 3–3–21; 8:45 am] 12 outlined in Commerce’s regulations at otherwise specified by Commerce. In BILLING CODE 3510–DS–P 19 CFR 351.305. Those procedures general, an extension request will be apply to administrative reviews considered untimely if it is filed after included in this notice of initiation. the time limit established under Part DEPARTMENT OF COMMERCE Parties wishing to participate in any of 351 expires. For submissions which are these administrative reviews should due from multiple parties International Trade Administration ensure that they meet the requirements simultaneously, an extension request of these procedures (e.g., the filing of will be considered untimely if it is filed [C–570–134] separate letters of appearance as after 10:00 a.m. on the due date. discussed at 19 CFR 351.103(d)). Examples include, but are not limited Certain Metal Lockers and Parts Thereof From the People’s Republic of Factual Information Requirements to: (1) Case and rebuttal briefs, filed pursuant to 19 CFR 351.309; (2) factual China: Amended Preliminary Commerce’s regulations identify five information to value factors under 19 Affirmative Countervailing Duty categories of factual information in 19 CFR 351.408(c), or to measure the Determination CFR 351.102(b)(21), which are adequacy of remuneration under 19 CFR summarized as follows: (i) Evidence AGENCY: Enforcement and Compliance, submitted in response to questionnaires; 9 See Certification of Factual Information To International Trade Administration, (ii) evidence submitted in support of Import Administration During Antidumping and Department of Commerce. allegations; (iii) publicly available Countervailing Duty Proceedings, 78 FR 42678 (July SUMMARY: On December 14, 2020, the 17, 2013) (Final Rule); see also the frequently asked information to value factors under 19 questions regarding the Final Rule, available at Department of Commerce (Commerce) CFR 351.408(c) or to measure the https://enforcement.trade.gov/tlei/notices/factual_ published in the Federal Register the adequacy of remuneration under 19 CFR info_final_rule_FAQ_07172013.pdf. preliminary determination of the 351.511(a)(2); (iv) evidence placed on 10 See Temporary Rule Modifying AD/CVD countervailing duty (CVD) investigation the record by Commerce; and (v) Service Requirements Due to COVID–19, 85 FR 41363 (July 10, 2020). of certain metal lockers and parts evidence other than factual information 11 See section 782(b) of the Act; see also Final thereof (metal lockers) from the People’s Rule; and the frequently asked questions regarding Republic of China (China). Commerce is 8 This company was inadvertently omitted from the Final Rule, available at https:// amending the scope of the preliminary the initiation notice that published on February 4, enforcement.trade.gov/tlei/notices/factual_info_ 2021 (86 FR 8166). This omission is corrected in final_rule_FAQ_07172013.pdf. determination. this notice. 12 See 19 CFR 351.302. DATES: Applicable March 4, 2021.

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FOR FURTHER INFORMATION CONTACT: Alex to the back of the unit. The subject rolled metal or expanded metal (e.g., Cipolla, AD/CVD Operations, Office III, certain metal lockers typically include doors, frames, shelves, tops, bottoms, Enforcement and Compliance, the bodies (back, side, shelf, top and backs, side panels, etc.) as well as International Trade Administration, bottom panels), door frames with or accessories that are attached to the U.S. Department of Commerce, 1401 without doors which can be integrated lockers when installed (including, but Constitution Avenue NW, Washington, into the sides or made separately, and not limited to, slope tops, bases, DC 20230; telephone: (202) 482–4956. doors. expansion filler panels, dividers, recess SUPPLEMENTARY INFORMATION: The subject metal lockers typically are trim, decorative end panels, and end made of flat-rolled metal, metal mesh caps) that may be imported together Background and/or expanded metal, which includes with lockers or other locker components On December 14, 2020, Commerce but is not limited to alloy or non-alloy or on their own. The particular published in the Federal Register the steel (whether or not galvanized or accessories listed for illustrative preliminary determination in the CVD otherwise metallically coated for purposes are defined as follows: investigation of metal lockers from corrosion resistance), stainless steel, or a. Slope tops: Slope tops are slanted China.1 On February 2, 2021, Commerce aluminum, but the doors may also metal panels or units that fit on the tops placed on the record of this include transparent polycarbonate, of the lockers and that slope from back investigation a preliminary decision Plexiglas or similar transparent material to front to prevent the accumulation of memorandum addressing all comments or any combination thereof. Metal mesh dust and debris on top of the locker and received in this proceeding and the refers to both wire mesh and expanded to discourage the use of the tops of companion antidumping proceeding metal mesh. Wire mesh is a wire lockers as storage areas. Slope tops regarding the scope of the product in which the horizontal and come in various configurations investigations.2 In accordance with the transverse wires are welded at the cross- including, but not limited to, unit slope comments discussed in the section in a grid pattern. Expanded tops (in place of flat tops), slope hoods memorandum, we made certain changes metal mesh is made by slitting and made of a back, top and end pieces to the scope of these investigations. The stretching metal sheets to make a screen which fit over multiple units and changes include certain exclusions and of diamond or other shaped openings. convert flat tops to a sloping tops, and clarifications of the scope language. The Where the product has doors, the slope top kits that convert flat tops to revised scope is printed in its entirety doors are typically configured with or sloping tops and include tops, backs below. for a handle or other device or other and ends. means that permit the use of a b. Bases: Locker bases are panels Scope of the Investigation mechanical or electronic lock or locking made from flat-rolled metal that either The scope of this investigation covers mechanism, including, but not limited conceal the legs of the locker unit, or for certain metal lockers, with or without to: a combination lock, a padlock, a key lockers without legs, provide a toe space doors, and parts thereof (metal lockers). lock (including cylinder locks) lever or in the front of the locker and conceal the The subject metal lockers are secure knob lock, electronic key pad, or other flanges for floor anchoring. metal storage devices less than 27 electronic or wireless lock. The handle c. Expansion filler panel: Expansion inches wide and less than 27 inches and locking mechanism, if included, filler panels or fillers are metal panels deep, whether floor standing, installed need not be integrated into one another. that attach to locker units to cover onto a base or wall-mounted. In a The subject locker may or may not also columns, pipes or other obstacles in a multiple locker assembly (whether a enter with the lock or locking device row of lockers or fill in gaps between welded locker unit, otherwise included or installed. The doors or body the locker and the wall. Fillers may also assembled locker unit or knocked down panels may also include vents include metal panels that are used on unit or kit), the width measurement (including wire mesh or expanded metal the sides or the top of the lockers to fill shall be based on the width of an mesh vents) or perforations. The bodies, gaps. individual locker not the overall unit body components and doors are d. Dividers: Dividers are metal panels dimensions. All measurements in this typically powder coated, otherwise that divide the space within a locker scope are based on actual measurements painted or epoxy coated or may be unit into different storage areas. taken on the outside dimensions of the unpainted. The subject merchandise single-locker unit. The height is the includes metal lockers imported either e. Recess trim: Recess trim is a narrow vertical measurement from the bottom as welded or otherwise assembled units metal trim that bridges the gap between to the top of the unit. The width is the (ready for installation or use) or as lockers and walls or soffits when lockers horizontal (side to side) measurement of knocked down units or kits (requiring are recessed into a wall. the front of the unit, and the front of the assembly prior to installation or use). f. Decorative end panels: End panels unit is the face with the door or doors The subject lockers may be shipped as fit onto the exposed ends of locker units or the opening for internal access of the individual or multiple locker units to cover holes, bolts, nuts, screws and unit if configured without a door. The preassembled, welded, or combined into other fasteners. They typically are depth is the measurement from the front banks or tiers for ease of installation or painted to match the lockers. as sets of component parts, bulk packed g. End caps: End caps fit onto the 1 See Certain Metal Lockers and Parts Thereof (i.e., all backs in one package, crate, exposed ends of locker units to cover from the People’s Republic of China: Preliminary rack, carton or container and sides in holes, bolts, nuts, screws and other Affirmative Countervailing Duty Determination, and another package, crate, rack, carton or fasteners. Alignment of Final Determination with Final container) or any combination thereof. The scope also includes all hardware Antidumping Duty Determination, 85 FR 80771 (December 14, 2020) (Preliminary CVD The knocked down lockers are shipped for assembly and installation of the Determination). unassembled requiring a supplier, lockers and locker banks that are 2 See Memorandum, ‘‘Antidumping Duty and contractor or end-user to assemble the imported with or shipped, invoiced, or Countervailing Duty Investigations of Certain Metal individual lockers and locker banks sold with the imported locker or locker Lockers and Parts Thereof from the People’s system except the lock. Republic of China: Preliminary Scope Decision prior to installation. Memorandum,’’ dated February 2, 2021 (Prelim The scope also includes all parts and Excluded from the scope are wire Scope Memo). components of lockers made from flat- mesh lockers. Wire mesh lockers are

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those with each of the following chests and cabinets from China are Also excluded from the scope are free characteristics: revoked, the mobile tool chest standing metal cabinets less than 30 (1) At least three sides, including the attachments from China will be covered inches tall with a single opening, single door, made from wire mesh; by the scope of this investigation. door and an installed tabletop. (2) the width and depth each exceed The scope also excludes metal safes The scope also excludes metal storage 25 inches; and with each of the following devices less than 27 inches wide and (3) the height exceeds 90 inches. characteristics: (1) Pry resistant, Also excluded are lockers with bodies deep that (1) have two doors hinged on concealed hinges; (2) body walls and the right and left side of the door frame made entirely of plastic, wood, or any doors of steel that are at least 17 gauge nonmetallic material. respectively covering a single opening (0.05625 inch or 1.42874 mm thick); and and that open from the middle toward Also excluded are exchange lockers (3) an integrated locking mechanism with multiple individual locking doors the outer frame; or (2) are free standing that includes at least two round steel or wall-mounted, single-opening units mounted on one master locking door to bolts 0.75 inch (19 mm) or larger in access multiple units. Excluded 20 inches or less high with a single diameter; or three bolts 0.70 inch (17.78 door. exchange lockers have multiple mm) or more in diameter; or four or individual storage spaces, typically more bolts at least 0.60 inch (15.24 mm) The subject certain metal lockers are arranged in tiers, with access doors for or more in diameter, that project from classified under Harmonized Tariff each of the multiple individual storage the door into the body or frame of the Schedule of the United States (HTSUS) space mounted on a single frame that safe when in the locked position. subheading 9403.20.0078. Parts of can be swung open to allow access to all The scope also excludes gun safes subject certain metal lockers are of the individual storage spaces at once. meeting each of the following classified under HTS subheading For example, uniform or garment requirements: 9403.90.8041. In addition, subject exchange lockers are designed for the (1) Shall be able to fully contain certain metal lockers may also enter distinct function of securely and firearms and provide for their secure under HTS subheading 9403.20.0050. hygienically exchanging clean and storage. While HTSUS subheadings are provided soiled uniforms. Thus, excluded (2) Shall have a locking system for convenience and Customs purposes, exchange lockers are a multi-access consisting of at minimum a mechanical the written description of the scope of point locker whereas covered lockers or electronic combination lock. The this investigation is dispositive. are a single access point locker for mechanical or electronic combination Suspension of Liquidation personal storage. The excluded lock utilized by the safe shall have at exchange lockers include assembled least 10,000 possible combinations Pursuant to the Preliminary CVD exchange lockers and those that enter in consisting of a minimum three numbers, Determination, Commerce previously ‘knock down’ form in which all of the letters, or symbols. The lock shall be suspended liquidation of metal lockers parts and components to assemble a protected by a casehardened (Rc 60+) from China entered, or withdrawn from completed exchange locker unit are drill-resistant steel plate, or drill- warehouse, for consumption on or after packaged together. Parts for exchange resistant material of equivalent strength. December 14, 2020 (the publication of lockers that are imported separately (3) Boltwork shall consist of a the Preliminary CVD Determination in from the exchange lockers in ‘knock minimum of three steel locking bolts of the Federal Register). Commerce will down’ form are not excluded. at least 1⁄2 inch thickness that intrude instruct U.S. Customs and Border Also excluded are metal lockers that from the door of the safe into the body Protection (CBP) to continue to suspend are imported with an installed of the safe or from the body of the safe liquidation of subject merchandise as electronic, internet-enabled locking into the door of the safe, which are defined by the revised scope language device that permits communication or operated by a separate handle and included above, entered, or withdrawn connection between the locker’s locking secured by the lock. from warehouse, for consumption on or device and other internet connected (4) The exterior walls shall be after the publication of this notice in the devices. constructed of a minimum 12-gauge Federal Register, and to continue to Also excluded are locks and hardware thick steel for a single-walled safe, or require a cash deposit, pursuant to 19 and accessories for assembly and the sum of the steel walls shall add up CFR 351.205(d). installation of the lockers, locker banks to at least 0.100 inches for safes with and storage systems that are separately walls made from two pieces of flat- Liquidation of Suspended Entries imported in bulk and are not rolled steel. As a result of Commerce’s amended incorporated into a locker, locker (5) Doors shall be constructed of a preliminary determination, certain system or knocked down kit at the time minimum one layer of 7-gauge steel products are now excluded from the of importation. Such excluded hardware plate reinforced construction or at least scope of the investigation. For and accessories include but are not two layers of a minimum 12-gauge steel suspended entries of excluded products, limited to locks and bulk imported compound construction. rivets, nuts, bolts, hinges, door handles, (6) Door hinges shall be protected to that were entered, or withdrawn from door/frame latching components, and prevent the removal of the door. warehouse, for consumption on or after coat hooks. Accessories of sheet metal, Protective features include, but are not December 14, 2020 (the date on which including but not limited to end panels, limited to: Hinges not exposed to the suspension of liquidation first began), bases, dividers and sloping tops, are not outside, interlocking door designs, dead we will instruct CBP to discontinue the excluded accessories. bars, jeweler’s lugs and active or suspension of liquidation and liquidate Mobile tool chest attachments that inactive locking bolts. such entries without regard to meet the physical description above are The scope also excludes metal storage countervailing duties (i.e., refund all covered by the scope of this devices that (1) have two or more cash deposits). investigation, unless such attachments exterior exposed drawers regardless of Public Comment are covered by the scope of the orders the height of the unit, or (2) are no more on certain tool chests and cabinets from than 30 inches tall and have at least one Commerce has set a separate deadline China. If the orders on certain tool exterior exposed drawer. for scope comments for both the

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antidumping and CVD proceedings.3 is likely to be, sold in the United States For a complete description of the scope The current deadline for case briefs at less than fair value (LTFV). of this investigation, see Appendix I. regarding scope issues is March 15, Commerce also preliminarily Scope Comments 2021,4 and the current deadline for determines that critical circumstances rebuttal briefs regarding scope issues is do not exist with respect to certain In accordance with the preamble to March 22, 2021. Pursuant to 19 CFR imports of subject merchandise. The Commerce’s regulations,4 the Initiation 351.309(c)(2) and (d)(2), parties who period of investigation is July 1, 2019, Notice set aside a period of time for submit case briefs or rebuttal briefs in through June 30, 2020. Interested parties parties to raise issues regarding product this investigation are encouraged to are invited to comment on this coverage (i.e., scope).5 No interested submit with each argument: (1) A preliminary determination. parties commented on the scope of this statement of the issue; (2) a brief DATES: Applicable March 4, 2021. investigation as it appeared in the 6 summary of the argument; and (3) a FOR FURTHER INFORMATION CONTACT: Initiation Notice. Commerce is not table of authorities. Elizabeth Bremer, AD/CVD Operations, preliminarily modifying the scope language as it appeared in the Initiation International Trade Commission Office IV, Enforcement and Compliance, Notice. See the scope in Appendix I to Notification International Trade Administration, U.S. Department of Commerce, 1401 this notice. In accordance with section 703(f) of Constitution Avenue NW, Washington, the Tariff Act of 1930, as amended (the Methodology DC 20230; telephone: (202) 482–4987. Act), Commerce will notify the Commerce is conducting this SUPPLEMENTARY INFORMATION: International Trade Commission (ITC) of investigation in accordance with section its amended preliminary determination. Background 731 of the Act. Commerce has If Commerce’s final determination is This preliminary determination is calculated constructed export prices in affirmative, the ITC will make its final accordance with section 772(b) of the determination before the later of 120 made in accordance with section 733(b) of the Tariff Act of 1930, as amended Act. Normal value is calculated in days after the date of this preliminary accordance with section 773 of the Act. determination or 45 days after (the Act). Commerce initiated this LTFV 1 For a full description of the Commerce’s final determination. investigation on August 18, 2020. On December 14, 2020, Commerce methodology underlying the Notification to Interested Parties postponed the preliminary preliminary determination, see the Preliminary Decision Memorandum. This determination is issued and determination of this investigation, and published pursuant to sections 703(f) the revised deadline is now February Preliminary Negative Determination of and 777(i) of the Act. 24, 2021.2 Critical Circumstances For a complete description of the 7 Dated: February 26, 2021. events that followed the initiation of On January 26, 2021, the petitioner Christian Marsh, this investigation, see the Preliminary timely filed a critical circumstances Acting Assistant Secretary for Enforcement Decision Memorandum.3 A list of topics allegation, pursuant to section 733(e)(1) and Compliance. included in the Preliminary Decision of the Act and 19 CFR 351.206(c)(1), [FR Doc. 2021–04481 Filed 3–3–21; 8:45 am] Memorandum is included as Appendix alleging that critical circumstances exist BILLING CODE 3510–DS–P II to this notice. The Preliminary with respect to imports of the subject Decision Memorandum is a public merchandise from Spain. document and is on file electronically Section 733(e)(1) of the Act provides DEPARTMENT OF COMMERCE via Enforcement and Compliance’s that Commerce will preliminarily determine that critical circumstances International Trade Administration Antidumping and Countervailing Duty Centralized Electronic Service System exist in an LTFV investigation if there [A–469–822] (ACCESS). ACCESS is available to is a reasonable basis to believe or registered users at https:// suspect that: (A) There is a history of Methionine From Spain: Preliminary access.trade.gov. In addition, a complete dumping and material injury by reason Affirmative Determination of Sales at version of the Preliminary Decision of dumped imports in the United States Less Than Fair Value, Preliminary Memorandum can be accessed directly or elsewhere of the subject merchandise, Negative Determination of Critical at http://enforcement.trade.gov/frn/. or the person by whom, or for whose Circumstances, Postponement of Final The signed and the electronic versions account, the merchandise was imported Determination, and Extension of of the Preliminary Decision knew or should have known that the Provisional Measures Memorandum are identical in content. exporter was selling the subject merchandise at less than its fair value AGENCY: Enforcement and Compliance, Scope of the Investigation and that there was likely to be material International Trade Administration, injury by reason of such sales; and (B) Department of Commerce. The product covered by this investigation is methionine from Spain. there have been massive imports of the SUMMARY: The Department of Commerce (Commerce) preliminarily determines 1 See Methionine from France, Japan, and Spain: 4 See Antidumping Duties; Countervailing Duties, that methionine from Spain is being, or Initiation of Less-Than-Fair-Value Investigations, 85 Final Rule, 62 FR 27296, 27323 (May 19, 1997). FR 52324 (August 25, 2020) (Initiation Notice). 5 See Initiation Notice, 85 FR at 52325. 3 See Prelim Scope Memo at 6. 2 See Methionine from France, Japan, and Spain: 6 Sumitomo Chemical Company, Ltd. and 4 The actual deadline falls on March 13, 2021, Postponement of Preliminary Determinations in the Sumitomo Chemical America, Inc (Sumitomo)’s which is a Saturday. Commerce’s practice dictates Less-Than-Fair-Value Investigations, 85 FR 80774 September 8, 2020 scope comments pertain to the that where a deadline falls on a weekend or Federal (December 14, 2020). product characteristics, and not to the scope of the holiday, the appropriate deadline is the next 3 See Memorandum, ‘‘Decision Memorandum for investigation. See Sumitomo’s Letter, ‘‘Methionine business day. See Notice of Clarification: the Preliminary Determination in the Less-Than- from Japan; Product Characteristic Comments,’’ Application of ‘‘Next Business Day’’ Rule for Fair-Value Investigation of Methionine from dated September 8, 2020 and filed on the Administrative Determination Deadlines Pursuant Spain,’’ dated concurrently with, and hereby administrative record of the instant investigation. to the Tariff Act of 1930, as Amended, 70 FR 24533 adopted by this notice (Preliminary Decision 7 The petitioner is Novus International, Inc. (the (May 10, 2005). Memorandum). petitioner).

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subject merchandise over a relatively Estimated which is 90 days before the publication short period. weighted- of this notice. average These suspension of liquidation In accordance with section 733(e) of Producer or exporter dumping instructions will remain in effect until the Act and 19 CFR 351.206, Commerce margin further notice. preliminarily finds that critical (percent) Disclosure circumstances do not exist for Adisseo Adisseo Espan˜a S.A...... 31.98 Espan˜ a, or for all other producers and All Others ...... 31.98 Commerce intends to disclose its exporters in Spain. For a full calculations and analysis performed to description of the methodology and Suspension of Liquidation interested parties in this preliminary results of Commerce’s critical determination within five days of any circumstances analysis, see the In accordance with section 733(d)(2) public announcement or, if there is no Preliminary Decision Memorandum. of the Act, Commerce will direct U.S. public announcement, within five days Customs and Border Protection (CBP) to of the date of publication of this notice All-Others Rate suspend liquidation of entries of subject in accordance with 19 CFR 351.224(b). merchandise, as described in Appendix Section 733(d)(1)(A)(ii) of the Act Verification I, entered, or withdrawn from provides that in the preliminary warehouse, for consumption on or after As provided in section 782(i)(1) of the determination Commerce shall the date of publication of this notice in Act, Commerce intends to verify the determine an estimated weighted- the Federal Register. information relied upon in making its average dumping margin for all other final determination. Commerce is Further, pursuant to section producers and exporters not currently unable to conduct on-site 733(d)(1)(B) of the Act and 19 CFR individually examined. Pursuant to verification of the information relied 351.205(d), Commerce will instruct CBP section 735(c)(5)(A) of the Act, this rate upon in making its final determination to require a cash deposit equal to the shall be an amount equal to the in this investigation. Accordingly, we estimated weighted-average dumping weighted average of the estimated intend to take additional steps in lieu of margin as follows: (1) The cash deposit on-site verification. Commerce will weighted-average dumping margins ˜ rate for Adisseo Espana will be equal to notify interested parties of any established for exporters or producers the company-specific estimated individually investigated, excluding additional documentation or weighted-average dumping margin information required. estimated weighted-average dumping determined in this preliminary margins that are zero, de minimis, or determination; (2) if the exporter is not Public Comment determined entirely under section 776 the respondent identified above, but the Case briefs or other written comments of the Act. Pursuant to section producer is, then the cash deposit rate may be submitted to the Assistant 735(c)(5)(B) of the Act, if the estimated will be equal to the company-specific Secretary for Enforcement and weighted-average dumping margins estimated weighted-average dumping Compliance. A timeline for the established for all exporters and margin established for that producer of submission of case briefs and written producers individually examined are the subject merchandise; and (3) the comments will be announced at a later zero, de minimis or determined based cash deposit rate for all other producers date. Rebuttal briefs, limited to issues entirely on facts otherwise available, and exporters will be equal to the all- raised in these case briefs, may be Commerce may use any reasonable others estimated weighted-average submitted no later than seven days after method to establish the estimated dumping margin. the deadline date for case briefs.8 weighted-average dumping margin for Section 733(e)(2) of the Act provides Commerce has modified certain of its all other producers or exporters. that, given an affirmative determination requirements for serving documents Commerce calculated an individual of critical circumstances, any containing business proprietary 9 estimated weighted-average dumping suspension of liquidation shall apply to information until further notice. margin for Adisseo Espan˜ a, the only unliquidated entries of subject Pursuant to 19 CFR 351.309(c)(2) and (d)(2), parties who submit case briefs or individually examined company in this merchandise entered, or withdrawn rebuttal briefs in this investigation are investigation. Because the only from warehouse, for consumption on or encouraged to submit with each individually calculated estimated after the later of: (a) The date which is 90 days before the date on which the argument: (1) A statement of the issue; weighted-average dumping margin is suspension of liquidation was first (2) a brief summary of the argument; not zero, de minimis, or based entirely ordered; or (b) the date on which notice and (3) a table of authorities. on facts otherwise available, the of initiation of the investigation was Pursuant to 19 CFR 351.310(c), estimated weighted-average dumping published. As noted above, Commerce interested parties who wish to request a margin calculated for Adisseo Espan˜ a is preliminarily finds that critical hearing, limited to issues raised in the the estimated weighted-average circumstances do not exist for imports case and rebuttal briefs, must submit a dumping margin assigned to all other of subject merchandise produced and written request to the Assistant producers and exporters, pursuant to exported by Adisseo Espan˜ a and all Secretary for Enforcement and section 735(c)(5)(A) of the Act. For a full other exporters and producers from Compliance, U.S. Department of description of the methodology Spain. In accordance with section Commerce, within 30 days after the date underlying Commerce’s analysis, see the 733(e)(2)(A) of the Act, the suspension of publication of this notice. Requests Preliminary Decision Memorandum. of liquidation preliminarily shall not should contain the party’s name, apply to unliquidated entries of address, and telephone number, the Preliminary Determination shipments of subject merchandise from 8 Commerce preliminarily determines Adisseo Espan˜ a and all other exporters See 19 CFR 351.309; and 19 CFR 351.303 (for and producers from Spain that were general filing requirements). that the following estimated weighted- 9 See Temporary Rule Modifying AD/CVD Service average dumping margins exist: entered, or withdrawn from warehouse, Requirements Due to COVID–19; Extension of for consumption on or after the date Effective Period, 85 FR 41363 (July 10, 2020).

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number of participants, whether any the ITC will determine before the later IV. Scope of the Investigation participant is a foreign national, and a of 120 days after the date of this V. Critical Circumstances list of the issues to be discussed. If a preliminary determination or 45 days VI. Scope Comments request for a hearing is made, Commerce after the final determination whether VII. Discussion of the Methodology intends to hold the hearing at a time and VIII. Currency Conversion imports of methionine from Spain are IX. Recommendation date to be determined. Parties should materially injuring, or threaten material confirm by telephone the date, time, and injury to, the U.S. industry. [FR Doc. 2021–04416 Filed 3–3–21; 8:45 am] location of the hearing two days before BILLING CODE 3510–DS–P the scheduled date. Notification to Interested Parties This determination is issued and Postponement of Final Determination published in accordance with sections DEPARTMENT OF COMMERCE and Extension of Provisional Measures 733(f) and 777(i)(1) of the Act, and 19 International Trade Administration Section 735(a)(2) of the Act provides CFR 351.205(c). that a final determination may be Dated: February 24, 2021. [A–570–135] postponed until not later than 135 days Christian Marsh, after the date of the publication of the Certain Chassis and Subassemblies preliminary determination if, in the Acting Assistant Secretary for Enforcement Thereof From the People’s Republic of and Compliance. event of an affirmative preliminary China: Preliminary Affirmative determination, a request for such Appendix I Determination of Sales at Less Than Fair Value postponement is made by exporters who Scope of the Investigation account for a significant proportion of AGENCY: Enforcement and Compliance, exports of the subject merchandise, or in The merchandise covered by this International Trade Administration, the event of a negative preliminary investigation is methionine and dl-Hydroxy analogue of dl-methionine, also known as 2- Department of Commerce. determination, a request for such Hydroxy 4-(Methylthio) Butanoic acid postponement is made by the petitioner. SUMMARY: The Department of Commerce (HMTBa), regardless of purity, particle size, (Commerce) preliminarily determines Section 351.210(e)(2) of Commerce’s grade, or physical form. Methionine has the that certain chassis and subassemblies regulations requires that a request by chemical formula C5H11NO2S, liquid HMTBa exporters for postponement of the final has the chemical formula C5H10O3S, and dry thereof from the People’s Republic of determination be accompanied by a HMTBa has the chemical formula China (China) are being, or are likely to request for extension of provisional (C5H9O3S)2Ca. be, sold in the United States at less than measures from a four-month period to a Subject merchandise also includes fair value (LTFV). The period of methionine processed in a third country investigation (POI) is January 1, 2020, period not more than six months in including, but not limited to, refining, duration. through June 30, 2020. Interested parties converting from liquid to dry or dry to liquid are invited to comment on this On February 5, 2021, pursuant to 19 form, or any other processing that would not CFR 351.210(e), Adisseo Espan˜ a otherwise remove the merchandise from the preliminary determination. requested that Commerce postpone the scope of this investigation if performed in the DATES: Applicable March 4, 2021. final determination and that provisional country of manufacture of the in-scope FOR FURTHER INFORMATION CONTACT: measures be extended to a period not to methionine or dl-Hydroxy analogue of dl- Hermes Pinilla or Mary Kolberg, AD/ exceed six months.10 In accordance with methionine. CVD Operations, Office I, Enforcement The scope also includes methionine that is section 735(a)(2)(A) of the Act and 19 and Compliance, International Trade CFR 351.210(b)(2)(ii), because: (1) The commingled (i.e., mixed or combined) with methionine from sources not subject to this Administration, U.S. Department of preliminary determination is investigation. Only the subject component of Commerce, 1401 Constitution Avenue affirmative; (2) the requesting exporter, such commingled products is covered by the NW, Washington, DC 20230; telephone: Adisseo Espan˜ a, accounts for a scope of this investigation. (202) 482–5439 or (202) 482–1785, significant proportion of exports of the Excluded from this investigation is United respectively. subject merchandise; and (3) no States Pharmacopoeia (USP) grade compelling reasons for denial exist, methionine. In order to qualify for this SUPPLEMENTARY INFORMATION: Commerce is postponing the final exclusion, USP grade methionine must meet Background determination and extending the or exceed all of the chemical, purity, This preliminary determination is provisional measures from a four-month performance, and labeling requirements of the United States Pharmacopeia and the made in accordance with section 733(b) period to a period not greater than six National Formulary for USP grade of the Tariff Act of 1930, as amended months. Accordingly, Commerce will methionine. (the Act). Commerce published the make its final determination no later Methionine is currently classified under notice of initiation of this investigation than 135 days after the date of subheadings 2930.40.00.00 and on August 19, 2020.1 On October 20, publication of this preliminary 2930.90.46.00 of the Harmonized Tariff 2020, Commerce postponed the determination, pursuant to section Schedule of the United States (HTSUS). preliminary determination of this 735(a)(2) of the Act. Methionine has the Chemical Abstracts Service (CAS) registry numbers 583–91–5, investigation, and the revised deadline International Trade Commission 4857–44–7, 59–51–8 and 922–50–9. While is now February 25, 2021.2 For a Notification the HTSUS subheadings and CAS registry complete description of the events that In accordance with section 733(f) of number are provided for convenience and followed the initiation of this customs purposes, the written description of the Act, Commerce will notify the the scope of this investigation is dispositive. International Trade Commission (ITC) of 1 See Certain Chassis and Subassemblies Thereof from the People’s Republic of China: Initiation of its preliminary determination. If the Appendix II Less-Than-Fair-Value Investigations, 85 FR 52552 final determination is affirmative, then List of Topics Discussed in the Preliminary (August 19, 2020) (Initiation Notice). Decision Memorandum 2 See Certain Chassis and Subassemblies Thereof 10 See Adisseo Espan˜ a’s Letter, ‘‘Methionine from from the People’s Republic of China: Postponement Spain: Request for Postponement of Final I. Summary of Preliminary Determination in the Less-Than-Fair- Determination and Provisional Measures Period,’’ II. Background Value Investigation, 85 FR 68559 (October 20, dated February 5, 2021. III. Period of Investigation 2020).

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investigation, see the Preliminary Memorandum.8 For a summary of all Bulletin 05.1 describes this practice.13 Decision Memorandum.3 A list of topics scope related comments submitted to In this case, because no companies discussed in the Preliminary Decision the record for this investigation and qualified for a separate rate, producer/ Memorandum is included as Appendix accompanying discussion and analysis exporter combination rates were not II to this notice. The Preliminary of all comments timely received, see the calculated for this preliminary Decision Memorandum is a public Preliminary Scope Decision determination.14 Memorandum. In the Preliminary Scope document and is on file electronically Preliminary Determination via Enforcement and Compliance’s Decision Memorandum, Commerce Antidumping and Countervailing Duty preliminarily modified the scope Commerce preliminarily determines Centralized Electronic Service System language as it appeared in the Initiation that the following estimated weighted- (ACCESS). ACCESS is available to Notice. See the revised scope in average dumping margins exist during registered users at https:// Appendix I to this notice. On February the period January 1, 2020, and June 30, access.trade.gov. In addition, a complete 11, 2021, we established a scope 2020: version of the Preliminary Decision briefing schedule 9 and timely received a scope case brief from CIMC.10 The Estimated Memorandum can be accessed directly weighted- at http://enforcement.trade.gov/frn/. scope comments from CIMC will be Estimated average The signed and the electronic versions addressed in the final determination of weighted- dumping of the Preliminary Decision the companion countervailing duty Producer/ average margin (CVD) investigation due no later than exporter dumping adjusted Memorandum are identical in content. margin for export March 15, 2021. (percent) subsidy Scope of the Investigation offset(s) Methodology (percent) The products covered by this Commerce is conducting this investigation are certain chassis and investigation in accordance with section China-Wide Entity 188.05 182.28 subassemblies thereof from China. For a 731 of the Act. Pursuant to section complete description of the scope of this 776(a) and (b) of the Act, we have Suspension of Liquidation investigation, see Appendix I. preliminarily relied upon facts In accordance with section 733(d)(2) Scope Comments otherwise available, with adverse of the Act, Commerce will direct U.S. inferences for the China-wide entity. Customs and Border Protection (CBP) to In accordance with the preamble to The China-wide entity includes each of suspend liquidation of subject 4 Commerce’s regulations, the Initiation the companies selected for individual merchandise, as described in the scope Notice set aside a period of time for examination (CIMC and Fuwa), as well of the investigation section, entered, or parties to raise issues regarding product as the companies that received but did withdrawn from warehouse, for coverage (i.e., scope).5 On September 22, not answer Commerce’s quantity and consumption on or after the date of 2020, we received comments from value questionnaire.11 Because none of publication of this notice in the Federal respondent interested parties and the the companies responded to the best of Register, as discussed below. Further, Coalition of American Chassis their ability to Commerce’s pursuant to section 733(d)(1)(B) of the Manufacturers (the petitioner) on the questionnaires, we assigned the highest Act and 19 CFR 351.205(d), Commerce scope of the investigation.6 On October margin alleged in the petition (i.e., will instruct CBP to require a cash 5, 2020, we received scope rebuttal 188.05 percent) to the China-wide deposit equal to the weighted average comments from the petitioner.7 On entity. Furthermore, because neither amount by which normal value exceeds February 9, 2021, we issued the CIMC nor Fuwa demonstrated eligibility U.S. price, as indicated in the chart Preliminary Scope Decision for a separate rate, both companies are above, as follows: (1) For all preliminarily found to be part of the combinations of Chinese producers/ 3 See Memorandum, ‘‘Certain Chassis and China-wide entity. For a full description exporters of subject merchandise that Subassemblies Thereof from the People’s Republic of the methodology underlying have not established eligibility for their of China: Decision Memorandum for Preliminary Affirmative Determination of Sales at Less Than Commerce’s preliminary determination, own separate rates, the cash deposit rate Fair Value,’’ dated concurrently with, and hereby see the Preliminary Decision will be equal to the estimated weighted- adopted by, this notice (Preliminary Decision Memorandum. average dumping margin established for Memorandum). the China-wide entity; and (2) for all 4 Combination Rates See Antidumping Duties; Countervailing Duties, third-county exporters of subject Final Rule, 62 FR 27296, 27323 (May 19, 1997). In the Initiation Notice,12 Commerce 5 merchandise not listed in the table See Initiation Notice. stated that it would calculate producer/ 6 See Guangdong Fuwa Heavy Industries Co., Ltd. above, the cash deposit rate is the cash (Fuwa)’s Letter, ‘‘Certain Chassis and exporter combination rates for the deposit rate applicable to the Chinese Subassemblies Thereof from the People’s Republic respondents that are eligible for a producer/exporter combination (or of China: Scope Comments,’’ dated September 22, separate rate in this investigation. Policy China-wide entity) that supplied that 2020; see also CIMC Vehicle Co., Ltd. (CIMC)’s Letter, ‘‘Certain Chassis and Subassemblies Thereof third-country exporter. 8 from the People’s Republic of China: Scope See Memorandum, ‘‘Certain Chassis and To determine the cash deposit rate, Comments,’’ dated September 22, 2020; TRP Subassemblies Thereof from the People’s Republic Commerce normally adjusts the of China: Scope Comments Preliminary Decision International, LLC’s Letter, ‘‘Scope Comments estimated weighted-average dumping Regarding Certain Chassis and Subassemblies Memorandum,’’ dated February 9, 2021 Thereof from the People’s Republic of China (A– (Preliminary Scope Decision Memorandum). margin by the amount of domestic 570–135 & C–570–136); TRP International, LLC,’’ 9 See Memorandum, ‘‘Scope Briefing Schedule,’’ dated September 22, 2020; and Master Tow, Inc.’s February 11, 2021. 13 See Enforcement and Compliance’s Policy Letter, ‘‘Certain Chassis and Subassemblies Thereof 10 See CIMC’s Letter, ‘‘Certain Chassis and Bulletin No. 05.1, regarding, ‘‘Separate-Rates from the People’s Republic of China; Submission of Subassemblies Thereof from the People’s republic Practice and Application of Combination Rates in Scope Comments,’’ dated September 22, 2020. of China: Scope Case Brief,’’ dated February 16, Antidumping Investigations involving Non-Market 7 See Petitioner’s Letter, ‘‘Certain Chassis and 2021. Economy Countries,’’ (April 5, 2005) (Policy Subassemblies Thereof form the People’s Republic 11 See Memorandum, ‘‘Quantity & Value Bulletin 05.1), available on Commerce’s website at of China: Petitioner’s Scope Rebuttal Comments,’’ Questionnaire,’’ dated October 7, 2020. http://enforcement.trade.gov/policy/bull05-1.pdf. dated October 5, 2020. 12 See Initiation Notice. 14 See Preliminary Decision Memorandum.

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subsidy pass-through and export Public Comment its preliminary determination of sales at subsidies determined in a companion Case briefs or other written comments LTFV. If the final determination is CVD proceeding when CVD provisional may be submitted to the Assistant affirmative, the ITC will make its measures are in effect. Accordingly, Secretary for Enforcement and determination before the later of 120 where Commerce has made a Compliance no later than 30 days after days after the date of this preliminary preliminary affirmative determination the of publication of the preliminary determination or 45 days after the final for domestic subsidy pass-through or determination. Rebuttal briefs, limited determination whether imports of export subsidies, Commerce has offset to issues raised in case briefs, may be certain chassis and subassemblies the calculated estimated weighted- submitted no later than seven days after thereof are materially injuring, or average dumping margin by the the deadline date for case briefs.16 threaten to injury to, the U.S. industry. appropriate rate(s). As discussed in the Pursuant to 19 CFR 351.309(c)(2) and Notification to Interested Parties Preliminary Decision Memorandum, we (d)(2), parties who submit case briefs or This determination is issued and made no adjustment for domestic rebuttal briefs in this investigation are published in accordance with sections subsidy pass-through. As further encouraged to submit with each 733(f) and 777(i)(1) of the Act, and 19 explained in the Preliminary Decision argument: (1) A statement of the issue; CFR 351.205(c). Memorandum, we made an adjustment (2) a brief summary of the argument; for export subsidies found in the and (3) a table of authorities. Note that Dated: February 25, 2021. companion CVD investigation.15 The Commerce has modified certain of its Christian Marsh, adjusted rate may be found in the requirements for serving documents Acting Assistant Secretary for Enforcement ‘‘Preliminary Determination’’ section’s containing business proprietary and Compliance. chart of estimated weighted-average information until further notice.17 Appendix I dumping margins above. As noted above, the deadline has Scope of the Investigation Should provisional measures in the passed for filing case briefs on scope issues. Therefore, the case briefs that are The merchandise covered by this companion CVD investigation expire investigation is chassis and subassemblies prior to the expiration of provisional due after the preliminary determination may not include any scope issues. thereof, whether finished or unfinished, measures in this LTFV investigation, whether assembled or unassembled, whether Pursuant to 19 CFR 351.310(c), Commerce will direct CBP to begin coated or uncoated, regardless of the number interested parties who wish to request a collecting cash deposits at a rate equal of axles, for carriage of containers, or other hearing, limited to issues raised in the to the estimated weighted-average payloads (including self-supporting case and rebuttal briefs, must submit a dumping margin calculated in this payloads) for road, marine roll-on/roll-off written request to the Assistant (RORO) and/or rail transport. Chassis are preliminary determination unadjusted Secretary for Enforcement and typically, but are not limited to, rectangular for export subsidies at the time the CVD Compliance, U.S. Department of framed trailers with a suspension and axle provisional measures expire. These Commerce, within 30 days after the date system, wheels and tires, brakes, a lighting suspension of liquidation instructions of publication of this notice. Requests and electrical system, a coupling for towing will remain in effect until further notice. behind a truck tractor, and a locking system should contain the party’s name, or systems to secure the shipping container Disclosure address, and telephone number, the or containers to the chassis using twistlocks, number of participants, whether any slide pins or similar attachment devices to Normally, Commerce discloses to participant is a foreign national, and a engage the corner fittings on the container or interested parties the calculations list of the issues to be discussed. If a other payload. performed in connection with a request for a hearing is made, Commerce Subject merchandise includes, but is not limited to, the following subassemblies: preliminary determination within five intends to hold the hearing at a time and • days of its public announcement or, if date to be determined. Parties should Chassis frames, or sections of chassis frames, including kingpin assemblies, there is no public announcement, confirm the date and time of the hearing bolsters consisting of transverse beams with within five days of the date of two days before the scheduled date. locking or support mechanisms, goosenecks, publication of this notice in accordance Final Determination drop assemblies, extension mechanisms and/ with 19 CFR 351.224(b). However, or rear impact guards; because Commerce preliminarily Section 735(a)(1) of the Act and 19 • Running gear assemblies or axle determined that the mandatory CFR 351.210(b)(1) provide that assemblies for connection to the chassis respondents are considered to be part of Commerce will issue the final frame, whether fixed in nature or capable of determination within 75 days after the sliding fore and aft or lifting up and lowering the China-wide entity and assigned the down, which may or may not include China-wide entity a rate that is based date of its preliminary determination. Accordingly, Commerce will make its suspension(s) (mechanical or pneumatic), solely on the petition, there are no wheel end components, slack adjusters, calculations to disclose. final determination no later than 75 axles, brake chambers, locking pins, and tires days after the signature date of this and wheels; Verification preliminary determination. • Landing gear assemblies, for connection International Trade Commission to the chassis frame, capable of supporting Because the mandatory respondents the chassis when it is not engaged to a in this investigation did not provide Notification tractor; and information requested by Commerce by In accordance with section 733(f) of • Assemblies that connect to the chassis the established deadline and Commerce the Act, Commerce will notify the frame or a section of the chassis frame, such preliminarily determines in accordance International Trade Commission (ITC) of as, but not limited to, pintle hooks or B-trains with section 776(b) of the Act that each (which include a fifth wheel), which are capable of connecting a chassis to a converter of the mandatory respondents has been 16 See 19 CFR 351.309; 19 CFR 351.303 (for general filing requirements); see also Temporary dolly or another chassis. uncooperative, verification will not be Importation of any of these subassemblies, conducted. Rule Modifying AD/CVD Service Requirements Due to COVID–19; Extension of Effective Period, 85 FR whether assembled or unassembled, 41363 (July 10, 2020) (Temporary Rule). constitutes an unfinished chassis for 15 See Preliminary Decision Memorandum at 17. 17 See Temporary Rule. purposes of this investigation.

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Subject merchandise also includes chassis, VI. Discussion of the Methodology from China, the petitioners and a whether finished or unfinished, entered with VII. Adjustment Under Section 777A(f) of the mandatory respondent submitted timely or for further assembly with components Act allegations on the record that Commerce such as, but not limited to: Hub and drum VIII. Adjustment to Cash Deposit Rate for made certain ministerial errors in the assemblies, brake assemblies (either drum or Export Subsidies disc), axles, brake chambers, suspensions and IX. ITC Notification final countervailing duty determination suspension components, wheel end X. Recommendation on vertical shaft engines from China. Section 705(e) of the Act and 19 CFR components, landing gear legs, spoke or disc [FR Doc. 2021–04409 Filed 3–3–21; 8:45 am] wheels, tires, brake control systems, 351.224(f) define ministerial errors as electrical harnesses and lighting systems. BILLING CODE 3510–DS–P errors in addition, subtraction, or other Processing of finished and unfinished arithmetic function, clerical errors chassis and components such as trimming, DEPARTMENT OF COMMERCE resulting from inaccurate copying, cutting, grinding, notching, punching, duplication, or the like, and any other drilling, painting, coating, staining, finishing, assembly, or any other processing either in International Trade Administration type of unintentional error which Commerce considers ministerial. We the country of manufacture of the in-scope [C–570–120] product or in a third country does not reviewed the allegations and remove the product from the scope. Inclusion Certain Vertical Shaft Engines Between determined that we made certain of other components not identified as 225cc and 999cc, and Parts Thereof ministerial errors in the final comprising the finished or unfinished chassis countervailing duty determination on does not remove the product from the scope. From the People’s Republic of China: Countervailing Duty Order and vertical shaft engines from China. See Individual components entered and sold ‘‘Amendment to the Final by themselves are not subject to the Amended Final Affirmative investigation, but components entered with Countervailing Duty Determination Determination’’ section below for or for further assembly with a finished or further discussion. unfinished chassis are subject merchandise. AGENCY: Enforcement and Compliance, On February 24, 2021, the ITC A finished chassis is ultimately comprised of International Trade Administration, notified Commerce of its affirmative several different types of subassemblies. Department of Commerce. final determination that pursuant to Within each subassembly there are numerous SUMMARY: Based on affirmative final sections 705(b)(1)(A)(i) and 705(d) of the components that comprise a given determinations by the Department of Act, that an industry in the United subassembly. States is materially injured by reason of This scope excludes dry van trailers, Commerce (Commerce) and the refrigerated van trailers and flatbed trailers. International Trade Commission (ITC), subsidized imports of subject 2 Dry van trailers are trailers with a wholly Commerce is issuing a countervailing merchandise from China. enclosed cargo space comprised of fixed duty order on certain vertical shaft Scope of the Order sides, nose, floor and roof, with articulated engines between 225cc and 999cc, and panels (doors) across the rear and parts thereof (vertical shaft engines) The products covered by this order occasionally at selected places on the sides, from the People’s Republic of China are certain large vertical shaft engines with the cargo space being permanently from China. For a complete description incorporated in the trailer itself. Refrigerated (China). In addition, Commerce is amending its final determination with of the scope of the order, see the van trailers are trailers with a wholly appendix to this notice. enclosed cargo space comprised of fixed respect to vertical shaft engines from sides, nose, floor and roof, with articulated China to correct ministerial errors. Amendment to the Final Determination panels (doors) across the rear and DATES: Applicable March 4, 2021. of Vertical Shaft Engines From China occasionally at selected places on the sides, with the cargo space being permanently FOR FURTHER INFORMATION CONTACT: On January 21, 2021, co-petitioner incorporated in the trailer and being Andrew Huston, AD/CVD Operations, Kohler Co. (Kohler) and mandatory insulated, possessing specific thermal Office VII, Enforcement and respondent Loncin Motor Co., Ltd. properties intended for use with self- Compliance, International Trade (Loncin) submitted timely ministerial contained refrigeration systems. Flatbed (or Administration, U.S. Department of error allegations regarding the Final platform) trailers consist of load-carrying Commerce, 1401 Constitution Avenue Determination.3 On January 29, 2012, main frames and a solid, flat or stepped NW, Washington, DC 20230; telephone: Kohler, mandatory respondent loading deck or floor permanently (202) 482–4261. incorporated with and supported by frame Chongqing Zongshen General Power rails and cross members. SUPPLEMENTARY INFORMATION: Machine Co., Ltd. (Zongshen) and interested party MTD Products Inc. The finished and unfinished chassis Background subject to this investigation are typically (MTD) submitted timely responses to classified in the Harmonized Tariff Schedule In accordance with sections 705(a), the ministerial allegations.4 of the United States (HTSUS) at subheadings: 705(d), and 777(i)(1) of the Tariff Act of 8716.39.0090 and 8716.90.5060. Imports of 1930, as amended (the Act), and 19 CFR 2 See ITC Letter, ‘‘Notification of ITC Final finished and unfinished chassis may also 351.210(c), on January 11, 2021, Determination,’’ dated February 24, 2021 (ITC enter under HTSUS subheading Notification Letter). Commerce published its affirmative 8716.90.5010. While the HTSUS subheadings 3 See Kohler’s Letter, ‘‘Certain Vertical Shaft are provided for convenience and customs final determination that countervailable Engines Between 225cc and 999cc, and Parts purposes, the written description of the subsidies are being provided to Thereof, from the People’s Republic of China: merchandise under investigation is producers and exporters of vertical shaft Ministerial Error Allegations,’’ dated January 21, dispositive. engines from China.1 In the 2021 (Kohler Allegations); Loncin’s Letter, ‘‘Loncin Comments on Ministerial Errors in the Final investigation of vertical shaft engines Appendix II Determination and the Disclosed Calculations for Loncin: Countervailing Duty Investigation of List of Topics Discussed in the Preliminary 1 See Certain Vertical Shaft Engines Between Certain Vertical Shaft Engines Between 225CC and Decision Memorandum 225cc and 999cc, and Parts Thereof from the 999CC, and Parts Thereof From the People’s Republic of China (C–570–120),’’ dated January 21, I. Summary People’s Republic of China: Final Affirmative Countervailing Duty Determination and Final 2021 (Loncin Allegations). II. Background Negative Critical Circumstances Determination, 86 4 See Kohler’s Letter, ‘‘Certain Vertical Shaft III. Period of Investigation FR 1933 (January 11, 2021) (Final Determination), Engines Between 225cc and 999cc, and Parts IV. Scope Comments and accompanying Issues and Decision Thereof, from the People’s Republic of China: V. Respondent Selection Memorandum. Continued

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Commerce reviewed the record and Preliminary Determination,7 but will suspension of liquidation and to agreed that certain errors referenced in not include entries occurring after the liquidate, without regard to Kohler and Loncin’s allegations expiration of the provisional measures countervailing duties, unliquidated constituted ministerial errors within the period and before the publication of the entries of vertical shaft engines from meaning of section 705(e) of the Act and ITC’s final injury determinations under China, entered, or withdrawn from 19 CFR 351.224(f).5 Pursuant to 19 CFR section 705(b) of the Act, as further warehouse, for consumption, on or after 351.224(e), Commerce is amending the described below. October 17, 2020, the date on which the Final Determination to reflect the Suspension of Liquidation and Cash provisional measures expired, until and corrections of the ministerial errors Deposits through the day preceding the date of described in the Ministerial Error publication of the ITC’s final injury Memorandum. Based on these In accordance with section 706 of the determinations in the Federal Register. corrections, the subsidy rate for Loncin Act, Commerce will instruct CBP to Suspension of liquidation will resume changed from 17.75 to 18.96 percent, reinstitute the suspension of liquidation on the date of publication of the ITC’s and the subsidy rate for Zongshen of vertical shaft engines from China, as final determinations in the Federal changed from 19.29 percent to 20.38 described in the appendix to this notice, Register. percent. Because we based the all-others effective on the date of publication of Notification to Interested Parties rate on Loncin’s and Zongshen’s ad the ITC’s notice of final determinations valorem subsidy rates, the all-others rate in the Federal Register, and to assess, This notice constitutes the CVD has also changed from 18.72 percent to upon further instruction by Commerce, orders with respect to vertical shaft 19.85 percent. pursuant to section 706(a)(1) of the Act, engines from China pursuant to section countervailing duties for each entry of 706(a) of the Act. Interested parties can Countervailing Duty (CVD) Order the subject merchandise in an amount find a list of CVD orders currently in On February 24, 2021, in accordance based on the net countervailable effect at http://enforcement.trade.gov/ with sections 705(b)(1)(A)(i) and 705(d) subsidy rates below. On or after the date stats/iastats1.html. This order is issued of the Act, the ITC notified Commerce of publication of the ITC’s final injury and published in accordance with of its final determination in this determinations in the Federal Register, section 706(a) of the Act and 19 CFR investigation, in which it found that an CBP must require, at the same time as 351.211(b). importers would deposit estimated industry in the United States is Dated: February 26, 2021. materially injured by reason of normal customs duties on this merchandise, a cash deposit equal to the Christian Marsh, subsidized imports of vertical shaft Acting Assistant Secretary for Enforcement 6 rates noted below. The all-others rate engines from China. Therefore, in and Compliance. accordance with section 705(c)(2) of the applies to all producers or exporters not Act, Commerce is issuing this specifically listed below. Appendix countervailing duty order. Because the Subsidy Scope of the Order ITC determined that imports of vertical Producers/exporters rate The merchandise covered by this order shaft engines from China are materially (percent) consists of spark-ignited, non-road, vertical injuring a U.S. industry, unliquidated shaft engines, whether finished or entries of such merchandise from China, Loncin Motor Co ...... 18.96 unfinished, whether assembled or entered or withdrawn from warehouse Chongqing Zongshen General unassembled, primarily for riding lawn for consumption, are subject to the Power Machine Co ...... 20.38 mowers and zero-turn radius lawn mowers. All Others ...... 19.85 assessment of countervailing duties. Engines meeting this physical description Therefore, in accordance with section may also be for other non-hand-held outdoor Provisional Measures power equipment such as, including but not 706(a) of the Act, Commerce will direct limited to, tow-behind brush mowers, U.S. Customs and Border Protection Section 703(d) of the Act states that grinders, and vertical shaft generators. The (CBP) to assess, upon further instruction instructions issued pursuant to an subject engines are spark ignition, single or by Commerce, countervailing duties for affirmative preliminary determination multiple cylinder, air cooled, internal all relevant entries of vertical shaft may not remain in effect for more than combustion engines with vertical power take engines from China which are entered, four months. In the underlying off shafts with a minimum displacement of or withdrawn from warehouse, for investigations, Commerce published the 225 cubic centimeters (cc) and a maximum consumption on or after June 19, 2020, Preliminary Determinations on June 19, displacement of 999cc. Typically, engines 2020. As such, the four-month period with displacements of this size generate gross the date of publication of the power of between 6.7 kilowatts (kw) to 42 beginning on the date of the publication kw. Response to Ministerial Error Comments,’’ dated of the Preliminary Determination ended Engines covered by this scope normally January 29, 2021 (Kohler Response); Zongshen’s on October 16, 2020. Furthermore, must comply with and be certified under Letter, ‘‘Certain Vertical Shaft Engines Between 225cc and 999cc, and Parts Thereof, from China; section 707(b) of the Act states that Environmental Protection Agency (EPA) air CVD Investigation; Chongqing Zongshen Response definitive duties are to begin on the date pollution controls title 40, chapter I, to Petitioner Ministerial Error Comments,’’ dated of publication of the ITC’s final injury subchapter U, part 1054 of the Code of January 29, 2021 (Zongshen Response); and MTD’s determination. Therefore, in accordance Federal Regulations standards for small non- Letter, ‘‘Certain Vertical Shaft Engines Between with section 703(d) of the Act, we road spark-ignition engines and equipment. 225cc and 999cc, and Parts Thereof (VSEs) from the Engines that otherwise meet the physical People’s Republic of China: MTD’s Response to instructed CBP to terminate the description of the scope but are not certified Kohler Ministerial Error Comments,’’ dated January under 40 CFR part 1054 and are not certified 29, 2021 (MTD Response). 7 See Certain Vertical Shaft Engines Between under other parts of subchapter U of the EPA 5 See Memorandum, ‘‘Countervailing Duty 225cc and 999cc, and Parts Thereof from the air pollution controls are not excluded from Investigation of Certain Vertical Shaft Engines People’s Republic of China: Preliminary Affirmative Between 225cc and 999cc, and Parts Thereof from the scope of this proceeding. Engines that Countervailing Duty Determination, Preliminary may be certified under both 40 CFR part 1054 the People’s Republic of China: Ministerial Error Negative Critical Circumstances Determination, and Allegations in the Final Determination,’’ dated Alignment of Final Determination With Final as well as other parts of subchapter U remain concurrently with, and hereby adopted by, this Antidumping Duty Determination, 85 FR 37061 subject to the scope of this proceeding. notice (Ministerial Error Memorandum), at 2–6. (June 19, 2020) (Preliminary Determination), and For purposes of this order, an unfinished 6 See ITC Notification Letter. accompanying Preliminary Decision Memorandum. engine covers at a minimum a sub-assembly

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comprised of, but not limited to, the Constitution Avenue NW, Washington, granules, turnings, chips, powder, following components: Crankcase, DC 20230; telephone: (202) 482–5449. briquettes, and other shapes; and crankshaft, camshaft, piston(s), and SUPPLEMENTARY INFORMATION: products that contain 50 percent or connecting rod(s). Importation of these greater, but less than 99.8 percent, components together, whether assembled or Background magnesium, by weight, and that have unassembled, and whether or not accompanied by additional components such On April 1, 2020, Commerce been entered into the United States as as an oil pan, manifold, cylinder head(s), published in the Federal Register a conforming to an ‘‘ASTM Specification valve train, or valve cover(s), constitutes an notice of opportunity to request an for Magnesium Alloy’’ 6 and are thus unfinished engine for purposes of this order. administrative review of the AD order outside the scope of the existing The inclusion of other products such as spark on magnesium metal from China for the antidumping orders on magnesium from plugs fitted into the cylinder head or POR.1 On June 8, 2020, in response to China (generally referred to as ‘‘alloy’’ electrical devices (e.g., ignition modules, a timely request from the petitioner,2 magnesium). ignition coils) for synchronizing with the and in accordance with section 751(a) of The scope of the Order excludes: (1) motor to supply tension current does not the Tariff Act of 1930, as amended (the All forms of pure magnesium, including remove the product from the scope. The chemical combinations of magnesium inclusion of any other components not Act), and 19 CFR 351.221(c)(1)(i), we identified as comprising the unfinished initiated an administrative review of the and other material(s) in which the pure engine subassembly in a third country does Order with respect to TMI and TMM.3 magnesium content is 50 percent or not remove the engine from the scope. On April 24, 2020, Commerce tolled all greater, but less than 99.8 percent, by The engines subject to this order are deadlines for administrative reviews by weight, that do not conform to an typically classified in the Harmonized Tariff 50 days.4 On July 21, 2020, Commerce ‘‘ASTM Specification for Magnesium Schedule of the United States (HTSUS) at tolled all deadlines in administrative Alloy’’; 7 (2) magnesium that is in liquid subheadings: 8407.90.1020, 8407.90.1060, reviews by an additional 60 days.5 The or molten form; and (3) mixtures and 8407.90.1080. The engine subassemblies containing 90 percent or less that are subject to this investigation enter deadline for the preliminary results of this review is now March 1, 2021. magnesium in granular or powder form under HTSUS 8409.91.9990. Engines subject by weight and one or more of certain to this order may also enter under HTSUS Scope of the Order 8407.90.9060 and 8407.90.9080. The HTSUS non-magnesium granular materials to subheadings are provided for convenience The product covered by the Order is make magnesium-based reagent and customs purposes only, and the written magnesium metal from China, which mixtures, including lime, calcium description of the merchandise subject to this includes primary and secondary alloy metal, calcium silicon, calcium carbide, order is dispositive. magnesium metal, regardless of calcium carbonate, carbon, slag [FR Doc. 2021–04477 Filed 3–3–21; 8:45 am] chemistry, raw material source, form, coagulants, fluorspar, nephaline syenite, BILLING CODE 3510–DS–P shape, or size. Magnesium is a metal or feldspar, alumina (Al203), calcium alloy containing by weight primarily the aluminate, soda ash, hydrocarbons, element magnesium. Primary graphite, coke, silicon, rare earth DEPARTMENT OF COMMERCE magnesium is produced by metals/mischmetal, cryolite, silica/fly decomposing raw materials into ash, magnesium oxide, periclase, International Trade Administration magnesium metal. Secondary ferroalloys, dolomite lime, and 8 magnesium is produced by recycling colemanite. The merchandise subject to [A–570–896] magnesium-based scrap into magnesium this order is classifiable under items metal. The magnesium covered by the 8104.19.00, and 8104.30.00 of the Magnesium Metal From the People’s Harmonized Tariff Schedule of the Republic of China: Preliminary Results Order includes blends of primary and secondary magnesium. United States (HTSUS). Although the of Antidumping Administrative Review; HTSUS items are provided for 2019–20 The subject merchandise includes the following alloy magnesium metal 6 AGENCY: Enforcement and Compliance, The meaning of this term is the same as that products made from primary and/or used by the American Society for Testing and International Trade Administration, secondary magnesium including, Materials in its Annual Book for ASTM Standards: Department of Commerce. without limitation, magnesium cast into Volume 01.02 Aluminum and Magnesium Alloys. SUMMARY: The Department of Commerce ingots, slabs, rounds, billets, and other 7 The material is already covered by existing (Commerce) is conducting the antidumping orders. See Notice of Antidumping shapes; magnesium ground, chipped, Duty Orders: Pure Magnesium from the People’s administrative review of the crushed, or machined into rasping, Republic of China, the Russian Federation and antidumping duty (AD) order on Ukraine; Notice of Amended Final Determination of magnesium metal from the People’s 1 See Antidumping or Countervailing Duty Order, Sales at Less Than Fair Value: Antidumping Duty Republic of China (China). The period Finding, or Suspended Investigation; Opportunity Investigation of Pure Magnesium from the Russian To Request Administrative Review, 85 FR 18191 Federation, 60 FR 25691 (May 12, 1995); and of review (POR) is April 1, 2019, (April 1, 2020); see also Notice of Antidumping Antidumping Duty Order: Pure Magnesium in through March 31, 2020. Commerce Duty Order: Magnesium Metal From the People’s Granular Form from the People’s Republic of China, preliminarily determines that Tianjin Republic of China, 70 FR 19928 (April 15, 2005) 66 FR 57936 (November 19, 2001). 8 (Order). This third exclusion for magnesium-based Magnesium International Co., Ltd. (TMI) reagent mixtures is based on the exclusion for 2 See U.S. Magnesium LLC’s Letter, ‘‘Magnesium and Tianjin Magnesium Metal Co., Ltd. reagent mixtures in the 2000–2001 investigations of Metal from the People’s Republic of China/Request magnesium from China, Israel, and Russia. See (TMM) did not have reviewable entries for Administrative Review,’’ dated April 30, 2020. Final Determination of Sales at Less Than Fair during the POR. We invite interested 3 See Initiation of Antidumping and Value: Pure Magnesium in Granular Form from the parties to comment on these preliminary Countervailing Duty Administrative Reviews, 85 FR People’s Republic of China, 66 FR 49345 results. 35068 (June 8, 2020). (September 27, 2001); see also Final Determination 4 See Memorandum, ‘‘Tolling of Deadlines for DATES: Applicable March 4, 2021. of Sales at Less Than Fair Value: Pure Magnesium Antidumping and Countervailing Duty from Israel, 66 FR 49349 (September 27, 2001); and, FOR FURTHER INFORMATION CONTACT: Kyle Administrative Reviews in Response to Operational Final Determination of Sales at Not Less Than Fair Clahane, AD/CVD Operations, Office III, Adjustments Due to COVID–19,’’ dated April 24, Value: Pure Magnesium From the Russian 2020. Enforcement and Compliance, Federation, 66 FR 49347 (September 27, 2001). 5 See Memorandum, ‘‘Tolling of Deadlines for These mixtures are not magnesium alloys, because International Trade Administration, Antidumping and Countervailing Duty they are not combined in liquid form and cast into U.S. Department of Commerce, 1401 Administrative Reviews,’’ dated July 21, 2020. the same ingot.

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convenience and customs purposes, the preliminary results of review.14 to Commerce’s practice in NME cases, if written description of the merchandise ACCESS is available to registered users we continue to determine in the final is dispositive. at https://access.trade.gov. Rebuttal results that TMI and TMM had no briefs, limited to issues raised in the Preliminary Determination of No shipments of subject merchandise, any case briefs, must be filed within seven Shipments suspended entries of subject days after the time limit for filing case merchandise during the POR from these We received timely submissions from briefs.15 Parties who submit case or companies will be liquidated at the TMI and TMM certifying that they did rebuttal briefs in this proceeding are China-wide rate.21 not have sales, shipments, or exports of requested to submit with each argument subject merchandise to the United a statement of the issue, a brief Cash Deposit Requirements 9 States during the POR. On February 2, summary of the argument, and a table of The following cash deposit 2021, we requested the U.S. Customs authorities.16 Note that Commerce has requirements will be effective upon and Border Protection (CBP) data file of temporarily modified certain portions of publication of the final results of this entries of subject merchandise imported its requirements for serving documents administrative review for all shipments into the United States during the POR, containing business proprietary of the subject merchandise entered, or and exported by TMM and/or TMI.10 information, until further notice.17 withdrawn from warehouse, for This query returned no entries during Interested parties who wish to request the POR.11 Additionally, on February 4, a hearing, or to participate if one is consumption on or after the publication 2021, Commerce submitted a no- requested, must submit a written date of the final results of review, as shipments inquiry to CBP with regard to request to Commerce within 30 days of provided for by section 751(a)(2)(C) of TMI and TMM, to which CBP the date of publication of this notice.18 the Act: (1) For TMI, which claimed no responded that it found no shipments of Requests should contain: (1) The party’s shipments, the cash deposit rate will subject merchandise by TMI and TMM name, address, the telephone number; remain unchanged from the rate during the POR.12 (2) the number of participants; and (3) assigned to TMI in the most recently Accordingly, and consistent with our a list of issues to be discussed. Issues completed review of the company; (2) practice, we preliminarily determine raised in the hearing will be limited to for previously investigated or reviewed that TMI and TMM had no shipments those raised in the respective case and Chinese and non-Chinese exporters who and, therefore, no reviewable entries rebuttal briefs. If a request for a hearing are not under review in this segment of during the POR. In addition, we find it is made, parties will be notified of the the proceeding but who have separate is not appropriate to rescind the review time and date for the hearing to be rates, the cash deposit rate will continue with respect to these companies, but held.19 Commerce intends to issue the to be the exporter-specific rate rather to complete the review with final results of this administrative published for the most recent period; (3) respect to TMI and TMM and issue review, which will include the results of for all Chinese exporters of subject appropriate instructions to CBP based our analysis of all issues raised in the merchandise that have not been found on the final results of the review, case briefs, within 120 days of to be entitled to a separate rate consistent with our practice in non- publication of these preliminary results (including TMM, which claimed no market economy (NME) cases.13 in the Federal Register, unless shipments, but has not been found to be extended, pursuant to section separate from China-wide entity), the Public Comment 751(a)(3)(A) of the Act. cash deposit rate will be China-wide rate of 141.49 percent; and (4) for all Interested parties are invited to Assessment Rates comment on the preliminary results and non-Chinese exporters of subject may submit case briefs and/or written Upon issuance of the final results of merchandise which have not received comments, filed electronically via this review, Commerce will determine, their own rate, the cash deposit rate will Enforcement and Compliance’s and CBP will assess, antidumping be the rate applicable to Chinese Antidumping Duty and Countervailing duties on all appropriate entries covered exporter(s) that supplied that non- Duty Centralized Electronic Service by this review.20 Commerce intends to Chinese exporter. These deposit System (ACCESS), within 30 days after issue assessment instructions to CBP no requirements, when imposed, shall the date of publication of these earlier than 35 days after the date of remain in effect until further notice. publication of the final results of this Notification to Importers 9 See TMI’s Letter, ‘‘Magnesium Metal from the review in the Federal Register. If a timely summons is filed at the U.S. People’s Republic of China; A–570–896; No This notice also serves as a Shipment Certification,’’ dated June 15, 2020; see Court of International Trade, the also TMM’s Letter, ‘‘Magnesium Metal from the assessment instructions will direct CBP preliminary reminder to importers of People’s Republic of China; A–570–896; No not to liquidate relevant entries until the their responsibility under 19 CFR Shipment Certification,’’ dated June 15, 2020. 351.402(f)(2) to file a certificate 10 See Memorandum, ‘‘2019–2020 Administrative time for parties to file a request for a Review of Magnesium Metal from the People’s statutory injunction has expired (i.e., regarding the reimbursement of Republic of China, U.S. Customs and Border within 90 days of publication). Pursuant antidumping duties prior to liquidation Protection Data,’’ dated February 19, 2021 at of the relevant entries during this Attachment 1. 14 See 19 CFR 351.309(c)(1)(ii). review period. Failure to comply with 11 Id. at Attachment 2. 15 See 19 CFR 351.309(d)(1) and (2); see also this requirement could result in 12 Id. at Attachment 3; see also ‘‘Magnesium Temporary Rule Modifying AD/CVD Service Metal from China; No Shipment Inquiry for Tianjin Commerce’s presumption that Requirements Due to COVID–19; Extension of Magnesium International Co., Ltd and Tianjin reimbursement of antidumping duties Effective Period, 85 FR 41363 (July 10, 2020) Magnesium Metal Co., Ltd. during the period 04/ (Temporary Rule). occurred and the subsequent assessment 01/2019 through 03/31/2020,’’ dated February 24, 16 of doubled antidumping duties. 2021. See 19 CFR 351.309(c) and (d); see also 19 CFR 351.303 (for general filing requirements). 13 See Glycine from the People’s Republic of 17 China: Final Results of Antidumping Duty See Temporary Rule. 21 For a full discussion of this practice, see Non- Administrative Review 2014–2015, 81 FR 72567 18 See 19 CFR 351.310(c). Market Economy Antidumping Proceedings: (October 20, 2016), and the ‘‘Assessment Rates’’ 19 See 19 CFR 310(d). Assessment of Antidumping Duties, 76 FR 65694 section, below. 20 See 19 CFR 351.212(b)(1). (October 24, 2011).

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Notification to Interested Parties January 12, 2021, Commerce received AD Order These preliminary results of review ministerial error allegations with respect On February 24, 2021, in accordance 2 are issued and published in accordance to Loncin in the Final Determination. with section 735(d) of the Act, the ITC with sections 751(a)(1) and 777(i)(1) of No other party made an allegation of notified Commerce of its final the Act and 19 CFR 351.221(b)(4). ministerial errors. See the ‘‘Analysis of determination in this investigation, in Ministerial Error Allegations’’ section of Dated: February 25, 2021. which it found that an industry in the this notice for further discussion. After United States is materially injured by Christian Marsh, reviewing the allegations, we determine reason of imports of large vertical shaft Acting Assistant Secretary for Enforcement that the Final Determination included a engines from China.7 Therefore, in and Compliance. ministerial error with respect to accordance with section 735(c)(2) of the [FR Doc. 2021–04412 Filed 3–3–21; 8:45 am] Loncin’s final rate determination. Act, Commerce is issuing this AD order. BILLING CODE 3510–DS–P Therefore, we made certain changes, as Because the ITC determined that large described below, to the Final vertical shaft engines from China are Determination. materially injuring a U.S. industry, DEPARTMENT OF COMMERCE On February 24, 2021, the ITC unliquidated entries of such notified Commerce of its final International Trade Administration merchandise from China, entered or determination, pursuant to section withdrawn from warehouse for [A–570–119] 735(d) of the Act, that an industry in the consumption, are subject to the United States is materially injured assessment of antidumping duties. Certain Large Vertical Shaft Engines within the meaning of section Therefore, in accordance with section Between 225cc and 999cc, and Parts 735(b)(1)(A)(i) of the Act by reason of 736(a)(1) of the Act, Commerce will Thereof, From the People’s Republic of LTFV imports of large vertical shaft direct U.S. Customs and Border China: Amended Final Antidumping 3 engines from China. Protection (CBP) to assess, upon further Duty Determination and Antidumping instruction by Commerce, antidumping Duty Order Scope of the Order duties equal to the amount by which the AGENCY: Enforcement and Compliance, The products covered by this order normal value of the merchandise International Trade Administration, are large vertical shaft engines from exceeds the export price (or constructed Department of Commerce. China. For a complete description of the export price) of the merchandise, for all scope of this order, see the appendix to SUMMARY: Based on affirmative final relevant entries of large vertical shaft this notice. determinations by the Department of engines from China. In addition, the ITC Commerce (Commerce) and the Amendment to Final Determination made a negative finding concerning International Trade Commission (ITC), critical circumstances with regard to A ministerial error is defined in 19 Commerce is issuing an antidumping imports of large vertical engines from CFR 351.224(f) as ‘‘an error in addition, duty (AD) order on certain large vertical China that are sold in the United States subtraction, or other arithmetic shaft engines between 225cc and 999cc, at LTFV. As a result, these imports will function, clerical error resulting from and parts thereof (large vertical shaft not be subject to retroactive inaccurate copying, duplication, or the 8 engines) from the People’s Republic of antidumping duties. With the like, and any other similar type of China (China). In addition, Commerce is exception of entries occurring after the unintentional error which the Secretary amending its final determination to expiration of the provisional measures considers ministerial.’’ 4 Pursuant to 19 correct a ministerial error with respect period and before publication of the CFR 351.224(e), and as explained to the final dumping rate determination ITC’s final affirmative injury further in the Ministerial Error for Loncin Motor Co., Ltd. (Loncin) and, determinations, as further described Memorandum 5 issued concurrently therefore, is also amending its final below, antidumping duties will be with this notice, Commerce is amending determination as to the rate applicable assessed on unliquidated entries of large the Final Determination to reflect the to the separate rate companies. vertical shaft engines entered, or correction of a ministerial error in the withdrawn from warehouse, for DATES: Applicable March 4, 2021. final estimated weighted-average consumption, on or after August 19, FOR FURTHER INFORMATION CONTACT: Leo dumping margin calculated for Loncin.6 2020, the date of publication of the Ayala AD/CVD Operations, Office VII, Correction of this error changes the final Preliminary Determination.9 Enforcement and Compliance, rate determined for Loncin, and also International Trade Administration, changes the rate applicable to the Suspension of Liquidation U.S. Department of Commerce, 1401 separate rate companies. Except as noted in the ‘‘Provisional Constitution Avenue NW, Washington, Measures’’ section of this notice, in DC 20230; telephone: (202) 482–3945. Final Affirmative Critical Circumstances accordance with section 735(c)(1)(B) of SUPPLEMENTARY INFORMATION: Determination, 86 FR 1936 (January 11, 2021) (Final the Act, Commerce will instruct CBP to Determination), and accompanying Issues and continue to suspend liquidation on all Background Decision Memorandum (IDM). 2 Id. relevant entries of large vertical shaft In accordance with sections 735(d) 3 See ITC Notification Letter, Investigation No. engines from China. These instructions and 777(i)(1) of the Tariff Act, as 701–TA–637 and 731–TA–1471 (Final), dated amended (the Act), on January 11, 2021, February 24, 2021 (ITC Notification Letter). 7 See ITC Notification Letter. Commerce published its Final 4 See section 735(e) of the Act; see also 19 CFR 8 Id. Determination in the less-than-fair-value 351.224(f). 9 See Certain Vertical Shaft Engines Between 5 See Memorandum, ‘‘Antidumping Duty 225cc and 999cc, and Parts Thereof, From the (LTFV) investigation of imports of large Investigation of Certain Vertical Shaft Engines 1 People’s Republic of China: Preliminary Affirmative vertical shaft engines from China. On Between 225cc and 999cc, and Parts Thereof, from Determination of Sales at Less Than Fair Value, China: Allegation of Ministerial Errors in Final Preliminary Affirmative Determination of Critical 1 See Certain Large Vertical Shaft Engines Determination of AD Investigation,’’ dated Circumstances, Postponement of Final Between 225cc and 999cc, and Parts Thereof, from concurrently with, and hereby adopted by, this Determination, and Extension of Provisional the People’s Republic of China: Final Affirmative notice (Ministerial Error Memorandum). Measures, 85 FR 51015 (August 19, 2020) Determination of Sales at Less Than Fair Value and 6 Id. (Preliminary Determination).

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suspending liquidation will remain in representing a significant proportion of regard to antidumping duties, effect until further notice. exports of the subject merchandise unliquidated entries of large vertical Commerce will also instruct CBP to request that Commerce extend the four- shaft engines from China entered, or require cash deposits equal to the month period to no more than six withdrawn from warehouse, for estimated weighted-average dumping months. At the request of exporters that consumption after January 4, 2021, the margin indicated in the tables below. account for a significant proportion of final day on which the provisional Accordingly, effective on the date of large vertical shaft engines from China, measures were in effect, until and publication in the Federal Register of Commerce extended the four-month through the day preceding the date of the notice of the ITC’s final affirmative period to six months in this publication of the ITC’s final affirmative injury determination, CBP will require, investigation. Commerce published the injury determination in the Federal at the same time as importers would Preliminary Determination in this 10 Register. Suspension of liquidation and normally deposit estimated duties on investigation on August 19, 2020. the collection of cash deposits will The extended provisional measures subject merchandise, a cash deposit resume on the date of publication of the equal to the rates listed below. period, beginning on the date of publication of the preliminary ITC’s final determination in the Federal Provisional Measures determination, ended on January 4, Register. Section 733(d) of the Act states that 2021. Therefore, in accordance with Estimated Weighted-Average Dumping suspension of liquidation pursuant to an section 733(d) of the Act and our Margins affirmative preliminary determination practice,11 Commerce will instruct CBP may not remain in effect for more than to terminate the suspension of The estimated weighted-average four months, except where exporters liquidation and to liquidate, without dumping margins are as follows:

Cash deposit Estimated rate (adjusted Producer Exporter weighted-average for export dumping margin subsidy offset) (percent) (percent)

Loncin Motor Co., Ltd ...... Loncin Motor Co. Ltd ...... 185.65 173.42 Chongqing Zongshen General Power Machine Chongqing Zongshen General Power Machine 336.26 323.91 Co., Ltd. Co., Ltd. Chongqing Rato Technology Co., Ltd ...... Chongqing Rato Technology Co., Ltd ...... 274.24 261.93 Jialing-Honda Motors Co., Ltd ...... Jialing-Honda Motors Co., Ltd ...... 274.24 261.93 Yamaha Motor Powered Products Jiangsu Co., Yamaha Motor Powered Products Jiangsu Co., 274.24 261.93 Ltd. Ltd.

China-Wide Entity ...... 468.33 456.1

Notification to Interested Parties limited to, tow-behind brush mowers, crankshaft, camshaft, piston(s), and grinders, and vertical shaft generators. The connecting rod(s). Importation of these This notice constitutes the AD order subject engines are spark ignition, single or components together, whether assembled or with respect to large vertical shaft multiple cylinder, air cooled, internal unassembled, and whether or not engines from China pursuant to section combustion engines with vertical power take accompanied by additional components such 736(a) of the Act. Interested parties can off shafts with a minimum displacement of as an oil pan, manifold, cylinder head(s), 225 cubic centimeters (cc) and a maximum find a list of AD orders currently in valve train, or valve cover(s), constitutes an displacement of 999cc. Typically, engines effect at http://enforcement.trade.gov/ unfinished engine for purposes of this order. stats/iastats1.html. with displacements of this size generate gross power of between 6.7 kilowatts (kw) to 42 The inclusion of other products such as spark This amended final determination plugs fitted into the cylinder head or and AD order is published in kw. Engines covered by this scope normally electrical devices (e.g., ignition modules, accordance with sections 735(e) and must comply with and be certified under ignition coils) for synchronizing with the 736(a) of the Act, and 19 CFR 351.224(e) Environmental Protection Agency (EPA) air motor to supply tension current does not and 19 CFR 351.211(b). pollution controls title 40, chapter I, remove the product from the scope. The Dated: February 26, 2021. subchapter U, part 1054 of the Code of inclusion of any other components not Federal Regulations standards for small non- Christian Marsh, identified as comprising the unfinished road spark-ignition engines and equipment. engine subassembly in a third country does Acting Assistant Secretary for Enforcement Engines that otherwise meet the physical not remove the engine from the scope. and Compliance. description of the scope but are not certified The engines subject to this order are Appendix—Scope of the Order under 40 CFR part 1054 and are not certified typically classified in the Harmonized Tariff under other parts of subchapter U of the EPA Schedule of the United States (HTSUS) at The merchandise covered by this order air pollution controls are not excluded from subheadings: 8407.90.1020, 8407.90.1060, consists of spark-ignited, non-road, vertical the scope of this proceeding. Engines that shaft engines, whether finished or may be certified under both 40 CFR part 1054 and 8407.90.1080. The engine subassemblies unfinished, whether assembled or as well as other parts of subchapter U remain that are subject to this order enter under unassembled, primarily for riding lawn subject to the scope of this proceeding. HTSUS 8409.91.9990. Engines subject to this mowers and zero-turn radius lawn mowers. For purposes of this order, an unfinished order may also enter under HTSUS Engines meeting this physical description engine covers at a minimum a sub-assembly 8407.90.9060 and 8407.90.9080. The HTSUS may also be for other non-hand-held outdoor comprised of, but not limited to, the subheadings are provided for convenience power equipment such as, including but not following components: Crankcase, and customs purposes only, and the written

10 See Preliminary Determination. China, the Republic of Korea and Taiwan: Antidumping Duty Orders, 81 FR 48390, 48392 11 See, e.g., Certain Corrosion-Resistant Steel Amended Final Affirmative Antidumping (July 25, 2016). Products from India, the People’s Republic of Determination for India and Taiwan, and

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description of the merchandise subject to this Memorandum is included as Appendix All-Others Rate order is dispositive. II to this notice. The Preliminary Section 733(d)(1)(A)(ii) of the Act [FR Doc. 2021–04476 Filed 3–3–21; 8:45 am] Decision Memorandum is a public provides that in the preliminary BILLING CODE 3510–DS–P document and is on file electronically determination Commerce shall via Enforcement and Compliance’s determine an estimated all-others rate Antidumping and Countervailing Duty for all exporters and producers not DEPARTMENT OF COMMERCE Centralized Electronic Service System individually examined. Pursuant to (ACCESS). ACCESS is available to International Trade Administration section 735(c)(5)(A) of the Act, this rate registered users at https:// shall be an amount equal to the [A–588–879] access.trade.gov. In addition, a complete weighted average of the estimated version of the Preliminary Decision weighted-average dumping margins Methionine From Japan: Preliminary Memorandum can be accessed directly established for exporters and producers Affirmative Determination of Sales at at http://enforcement.trade.gov/frn/. individually investigated, excluding any Less Than Fair Value, Preliminary The signed and the electronic versions zero and de minimis margins, and any Affirmative Determination of Critical of the Preliminary Decision margins determined entirely under Circumstances and Postponement of Memorandum are identical in content. section 776 of the Act. Final Determination and Extension of Scope of the Investigation Commerce calculated an individual Provisional Measures estimated weighted-average dumping The products covered by this AGENCY: Enforcement and Compliance, margin for Sumitomo Chemical. investigation are methionine from International Trade Administration, Therefore, for purposes of determining Japan. For a complete description of the Department of Commerce. the all-others rate, and pursuant to scope of this investigation, see section 735(c)(5)(A) of the Act, we are SUMMARY: The Department of Commerce Appendix I. (Commerce) preliminarily determines using the dumping margin calculated that methionine from Japan is being, or Scope Comments for Sumitomo Chemical, which is not zero, de minimis, or determined entirely is likely to be, sold in the United States In accordance with the preamble to at less than fair value (LTFV). The under section 776 of the Act. For a full Commerce’s regulations,4 the Initiation period of investigation is July 1, 2019, description of the methodology Notice set aside a period of time for through June 30, 2020. Interested parties underlying Commerce’s analysis, see the parties to raise issues regarding product are invited to comment on this Preliminary Decision Memorandum. coverage (i.e., scope).5 No interested preliminary determination. parties commented on the scope of the Preliminary Determination DATES: Applicable March 4, 2021. investigation as it appeared in the Commerce preliminarily determines FOR FURTHER INFORMATION CONTACT: Initiation Notice. Commerce is not that the following estimated weighted- Robert Scully, AD/CVD Operations, preliminarily modifying the scope average dumping margins exist: Office V, Enforcement and Compliance, language as it appeared in the Initiation International Trade Administration, Notice. See the scope in Appendix I to Estimated U.S. Department of Commerce, 1401 this notice. weighted- Constitution Avenue NW, Washington, Exporter/producer average Methodology dumping DC 20230; telephone: (202) 482–0572. margin SUPPLEMENTARY INFORMATION: Commerce is conducting this (percent) investigation in accordance with section Background 731 of the Act. Commerce has Sumitomo Chemical Company, Ltd ...... 135.10 This preliminary determination is calculated constructed export prices in All Others ...... 135.10 made in accordance with section 733(b) accordance with section 772(a) of the of the Tariff Act of 1930, as amended Act. Normal value is calculated in Suspension of Liquidation (the Act). Commerce published the accordance with section 773 of the Act. notice of initiation of this investigation For a full description of the In accordance with section 733(d)(2) on August 25, 2020.1 On December 14, methodology underlying the of the Act, Commerce will direct U.S. 2020, Commerce postponed the preliminary determination, see the Customs and Border Protection (CBP) to preliminary determination of this Preliminary Decision Memorandum. suspend liquidation of entries of subject investigation, and the revised deadline merchandise, as described in Appendix Preliminary Affirmative Determination is now February 24, 2021.2 For a I, entered, or withdrawn from of Critical Circumstances complete description of the events that warehouse, for consumption on or after followed the initiation of this In accordance with section 733(e) of the date of publication of this notice in investigation, see the Preliminary the Act and 19 CFR 351.206, Commerce the Federal Register. Further, pursuant Decision Memorandum.3 A list of topics preliminarily finds that critical to section 733(d)(1)(B) of the Act and 19 included in the Preliminary Decision circumstances exist for Sumitomo CFR 351.205(d), where appropriate, Chemical Company, Ltd. (Sumitomo Commerce will instruct CBP to require 1 See Methionine from France, Japan and Spain: Chemical), and for all other producers a cash deposit equal to the estimated Initiation of Less-than-Fair-Value Investigations, 85 and exporters in Japan. For a full weighted-average dumping margin or FR 52324 (August 25, 2020) (Initiation Notice). the estimated all-others rate, as follows: 2 See Methionine from France, Japan and Spain: description of the methodology and Postponement of Preliminary Determinations in the results of Commerce’s critical (1) The cash deposit rate for the Less-Than-Fair-Value Investigations, 85 FR 80774 circumstances analysis, see the respondent listed above will be equal to (December 14, 2020). Preliminary Decision Memorandum. the company-specific estimated 3 See Memorandum, ‘‘Decision Memorandum for weighted-average dumping margins the Preliminary Determination in the Less-Than- determined in this preliminary Fair-Value Investigation of Methionine from Japan,’’ 4 See Antidumping Duties; Countervailing Duties, dated concurrently with, and hereby adopted by Final Rule, 62 FR 27296, 27323 (May 19, 1997). determination; (2) if the exporter is not this notice (Preliminary Decision Memorandum). 5 See Initiation Notice. a respondent identified above, but the

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producer is, then the cash deposit rate through alternative means in lieu of an determination be accompanied by a will be equal to the company-specific on-site verification. request for extension of provisional estimated weighted-average dumping measures from a four-month period to a Public Comment margin established for that producer of period not more than six months in the subject merchandise; and (3) the Case briefs or other written comments duration. cash deposit rate for all other producers may be submitted to the Assistant On February 9, 2021, pursuant to 19 and exporters will be equal to the all- Secretary for Enforcement and CFR 351.210(e), Sumitomo Chemical others estimated weighted-average Compliance. A timeline for the requested that Commerce postpone the dumping margin. submission of case briefs and written final determination and that provisional Section 733(e)(2) of the Act provides comments will be announced at a later measures be extended to a period not to that, given an affirmative determination date. Rebuttal briefs, limited to issues exceed six months.8 In accordance with of critical circumstances, any raised in these case briefs, may be section 735(a)(2)(A) of the Act and 19 submitted no later than seven days after CFR 351.210(b)(2)(ii), because: (1) The suspension of liquidation shall apply to 6 unliquidated entries of subject the deadline date for case briefs. preliminary determination is merchandise entered, or withdrawn Commerce has modified certain of its affirmative; (2) the requesting exporter from warehouse, for consumption on or requirements for serving documents accounts for a significant proportion of containing business proprietary exports of the subject merchandise; and after the later of: (a) The date which is 7 90 days before the date on which the information until further notice. (3) no compelling reasons for denial suspension of liquidation was first Pursuant to 19 CFR 351.309(c)(2) and exist, Commerce is postponing the final (d)(2), parties who submit case briefs or ordered; or (b) the date on which notice determination and extending the rebuttal briefs in this investigation are of initiation of the investigation was provisional measures from a four-month encouraged to submit with each published. As noted above, Commerce period to a period not greater than six argument: (1) A statement of the issue; preliminarily finds that critical months. Accordingly, Commerce will (2) a brief summary of the argument; circumstances exist for imports of make its final determination no later and (3) a table of authorities. subject merchandise produced and than 135 days after the date of Pursuant to 19 CFR 351.310(c), publication of this preliminary exported by Sumitomo Chemical and all interested parties who wish to request a other exporters and producers from determination, pursuant to section hearing, limited to issues raised in the 735(a)(2) of the Act. Japan. In accordance with section case and rebuttal briefs, must submit a 733(e)(2)(A) of the Act, the suspension written request to the Assistant International Trade Commission of liquidation shall apply to Secretary for Enforcement and Notification unliquidated entries of shipments of Compliance, U.S. Department of In accordance with section 733(f) of subject merchandise from Sumitomo Commerce, within 30 days after the date the Act, Commerce will notify the Chemical and all other exporters and of publication of this notice. Requests International Trade Commission (ITC) of producers from Japan that were entered, should contain the party’s name, its preliminary determination. If the or withdrawn from warehouse, for address, and telephone number, the final determination is affirmative, then consumption on or after the date which number of participants, whether any the ITC will determine before the later is 90 days before the publication of this participant is a foreign national, and a of 120 days after the date of this notice. list of the issues to be discussed. If a preliminary determination or 45 days These suspension of liquidation request for a hearing is made, Commerce after the final determination whether instructions will remain in effect until intends to hold the hearing at a time and imports of methionine from Japan are further notice. date to be determined. Parties should materially injuring, or threaten material Disclosure confirm by telephone the date, time, and injury to, the U.S. industry. location of the hearing two days before Commerce intends to disclose its the scheduled date. Notification to Interested Parties calculations and analysis performed to This determination is issued and interested parties in this preliminary Postponement of Final Determination and Extension of Provisional Measures published in accordance with sections determination within five days of any 733(f) and 777(i)(1) of the Act, and 19 public announcement or, if there is no Section 735(a)(2) of the Act provides CFR 351.205(c). public announcement, within five days that a final determination may be Dated: February 24, 2021. of the date of publication of this notice postponed until not later than 135 days Christian Marsh, in accordance with 19 CFR 351.224(b). after the date of the publication of the preliminary determination if, in the Acting Assistant Secretary for Enforcement Verification event of an affirmative preliminary and Compliance. As provided in section 782(i)(1) of the determination, a request for such Appendix I postponement is made by exporters who Act, Commerce intends to verify the Scope of the Investigation information relied upon in making its account for a significant proportion of final determination. Normally, exports of the subject merchandise, or in The merchandise covered by this the event of a negative preliminary investigation is methionine and dl-Hydroxy Commerce verifies information using analogue of dl-methionine, also known as 2- standard procedures, including an on- determination, a request for such Hydroxy 4-(Methylthio) Butanoic acid site examination of original accounting, postponement is made by the petitioner. (HMTBa), regardless of purity, particle size, financial, and sales documentation. Section 351.210(e)(2) of Commerce’s grade, or physical form. Methionine has the However, due to current travel regulations requires that a request by chemical formula C5H11NO2S, liquid HMTBa restrictions in response to the global exporters for postponement of the final has the chemical formula C5H10O3S, and dry COVID–19 pandemic, Commerce is HMTBa has the chemical formula 6 (C H O S) Ca. unable to conduct on-site verification in See 19 CFR 351.309; and 19 CFR 351.303 (for 5 9 3 2 general filing requirements). this investigation. Accordingly, we 7 See Temporary Rule Modifying AD/CVD Service 8 See Sumitomo Chemical’s Letter, ‘‘Methionine intend to verify the information relied Requirements Due to COVID–19; Extension of from Japan Request to Extend the Deadline for the upon in making the final determination Effective Period, 85 FR 41363 (July 10, 2020). Final Determination,’’ dated February 9, 2021.

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Subject merchandise also includes Commerce also preliminarily Scope Comments methionine processed in a third country determines that critical circumstances including, but not limited to, refining, In accordance with the preamble to exist with respect to certain imports of Commerce’s regulations,4 the Initiation converting from liquid to dry or dry to liquid subject merchandise. The period of form, or any other processing that would not Notice set aside a period of time for otherwise remove the merchandise from the investigation is July 1, 2019, through parties to raise issues regarding product scope of this investigation if performed in the June 30, 2020. Interested parties are coverage (i.e., scope).5 No interested country of manufacture of the in-scope invited to comment on this preliminary parties commented on the scope of this methionine or dl-Hydroxy analogue of dl- determination. investigation as it appeared in the methionine. DATES: Applicable March 4, 2021. Initiation Notice.6 Commerce is not The scope also includes methionine that is preliminarily modifying the scope FOR FURTHER INFORMATION CONTACT: commingled (i.e., mixed or combined) with language as it appeared in the Initiation methionine from sources not subject to this Zachary Shaykin, AD/CVD Operations, Notice. See the scope in Appendix I to investigation. Only the subject component of Office IV, Enforcement and Compliance, this notice. such commingled products is covered by the International Trade Administration, scope of this investigation. U.S. Department of Commerce, 1401 Methodology Excluded from this investigation is United Constitution Avenue NW, Washington, States Pharmacopoeia (USP) grade Commerce is conducting this methionine. In order to qualify for this DC 20230; telephone: (202) 482–2638. investigation in accordance with section exclusion, USP grade methionine must meet SUPPLEMENTARY INFORMATION: 731 of the Act. Pursuant to sections or exceed all of the chemical, purity, 776(a) and (b) of the Act, Commerce has performance, and labeling requirements of Background preliminarily relied upon facts the United States Pharmacopeia and the otherwise available, with adverse National Formulary for USP grade This preliminary determination is made in accordance with section 733(b) inferences, for Adisseo France SAS and methionine. Commentry (collectively, Adisseo Methionine is currently classified under of the Tariff Act of 1930, as amended subheadings 2930.40.00.00 and (the Act). Commerce initiated this LTFV France), the two companies selected for 2930.90.46.00 of the Harmonized Tariff investigation on August 18, 2020.1 On individual examination in this 7 Schedule of the United States (HTSUS). December 14, 2020, Commerce investigation. For a full description of Methionine has the Chemical Abstracts postponed the preliminary the methodology underlying the Service (CAS) registry numbers 583–91–5, determination in this investigation and preliminary determination, see the 4857–44–7, 59–51–8 and 922–50–9. While the revised deadline is now February Preliminary Decision Memorandum. the HTSUS subheadings and CAS registry 2 number are provided for convenience and 24, 2021. For a complete description of Preliminary Affirmative Determination customs purposes, the written description of the events that followed the initiation of of Critical Circumstances this investigation, see the Preliminary the scope of this investigation is dispositive. On February 1, 2021, the petitioner 8 Decision Memorandum.3 A list of topics Appendix II timely filed a critical circumstances included in the Preliminary Decision allegation, pursuant to section 733(e)(1) List of Topics Discussed in the Preliminary Memorandum is included as Appendix of the Act and 19 CFR 351.206(c)(1), Decision Memorandum II to this notice. The Preliminary alleging that critical circumstances exist I. Summary Decision Memorandum is a public with respect to imports of the subject II. Background document and is on file electronically merchandise from France. III. Period of Investigation via Enforcement and Compliance’s Section 733(e)(1) of the Act provides IV. Scope of the Investigation Antidumping and Countervailing Duty that Commerce will preliminarily V. Scope Comments Centralized Electronic Service System VI. Preliminary Critical Circumstances determine that critical circumstances (ACCESS). ACCESS is available to exist in an LTFV investigation if there Determination registered users at https:// VII. Discussion of the Methodology is a reasonable basis to believe or VIII. Currency Conversion access.trade.gov. In addition, a complete suspect that: (A) There is a history of IX. Recommendation version of the Preliminary Decision dumping and material injury by reason Memorandum can be accessed directly [FR Doc. 2021–04417 Filed 3–3–21; 8:45 am] of dumped imports in the United States at http://enforcement.trade.gov/frn/. BILLING CODE 3510–DS–P or elsewhere of the subject merchandise, The signed and electronic versions of or the person by whom, or for whose the Preliminary Decision Memorandum account, the merchandise was imported DEPARTMENT OF COMMERCE are identical in content. knew or should have known that the Scope of the Investigation exporter was selling the subject International Trade Administration merchandise at less than its fair value The products covered by this [A–427–831] and that there was likely to be material investigation is methionine from France. injury by reason of such sales; and (B) Methionine From France: Preliminary For a complete description of the scope there have been massive imports of the Affirmative Determination of Sales at of this investigation, see Appendix I. Less Than Fair Value and Partial 4 See Antidumping Duties; Countervailing Duties, Affirmative Determination of Critical 1 See Methionine from France, Japan, and Spain: Final Rule, 62 FR 27296, 27323 (May 19, 1997). Initiation of Less-Than-Fair-Value Investigations, 85 5 See Initiation Notice. Circumstances FR 52324 (August 25, 2020) (Initiation Notice). 6 Sumitomo’s September 8, 2020 scope comments 2 pertain to the product characteristics, and not the AGENCY: Enforcement and Compliance, See Methionine From France, Japan and Spain: Postponement of Preliminary Determinations in the scope of the investigation. International Trade Administration, Less-Than-Fair-Value Investigations, 85 FR 80774 7 For the purposes of this investigation, we have Department of Commerce. (December 14, 2020). considered Adisseo France’s responses to SUMMARY: The Department of Commerce 3 See Memorandum, ‘‘Decision Memorandum for Commerce’s requests for information on behalf of (Commerce) preliminarily determines the Preliminary Determination in the Less-Than- both Commentry and Adisseo France SAS. For a Fair-Value Investigation of Methionine from full discussion on respondent selection in this that methionine from France is being, or France,’’ dated concurrently with, and hereby investigation, see the Preliminary Determination is likely to be, sold in the United States adopted by, this notice (Preliminary Decision Memorandum at 2. at less than fair value (LTFV). Memorandum). 8 The petitioner is Novus International, Inc.

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subject merchandise over a relatively analysis, see the Preliminary Decision France that were entered, or withdrawn short period. Memorandum. from warehouse, for consumption on or after the date which is 90 days before In accordance with section 733(e) of Preliminary Determination the Act and 19 CFR 351.206, Commerce the publication date of this notice in the preliminarily determines that critical Commerce preliminarily determines Federal Register. circumstances exist with respect to that the following estimated weighted- These suspension of liquidation imports of methionine produced and average dumping margins exist: instructions will remain in effect until exported by Adisseo France. further notice. Estimated Furthermore, we preliminarily weighted- Disclosure determine that critical circumstances do Exporter or producer average not exist with respect to imports of dumping Commerce intends to disclose to methionine produced and exported by margin interested parties any calculations (percent) all other producers and exporters from performed in connection with this preliminary determination within five France. For a full description of Adisseo France SAS and Commerce’s preliminary critical Commentry ...... 43.82 days of its public announcement or, if circumstances determination, see the All Others ...... 16.17 there is no public announcement, Preliminary Decision Memorandum. within five days of the date of Suspension of Liquidation publication of this notice in accordance All-Others Rate with 19 CFR 351.224(b). In accordance with section 733(d)(2) Section 733(d)(1)(A)(ii) of the Act of the Act, Commerce will direct U.S. Verification provides that in the preliminary Customs and Border Protection (CBP) to determination Commerce shall Because Adisseo France did not suspend liquidation of entries of subject provide all of the information requested determine an estimated weighted- merchandise, as described in Appendix average dumping margin for all other by Commerce and affirmatively stated I, entered, or withdrawn from that it would no longer participate in producers and exporters not warehouse, for consumption on or after individually examined. Pursuant to this investigation, we will not conduct the date of publication of this notice in verification as part of this investigation. section 735(c)(5)(A) of the Act, this rate the Federal Register. shall be an amount equal to the Further, pursuant to section Public Comment weighted average of the estimated 733(d)(1)(B) of the Act and 19 CFR Case briefs or other written comments weighted-average dumping margins 351.205(d), Commerce will instruct CBP on non-scope issues may be submitted established for exporters or producers to require a cash deposit as follows: (1) to the Assistant Secretary for individually investigated, excluding The cash deposit rate for Adisseo France Enforcement and Compliance no later rates that are zero, de minimis, or will be equal to the company-specific than 21 days after the date of determined entirely under section 776 estimated weighted-average dumping publication of the preliminary of the Act. Pursuant to section margin determined in this preliminary determination.10 Rebuttal briefs, limited 735(c)(5)(B) of the Act, if the estimated determination; (2) if the exporter is not to issues raised in these case briefs, may weighted-average dumping margins the respondent identified above, but the be submitted no later than seven days established for all exporters and producer is, then the cash deposit rate after the deadline date for case briefs.11 producers individually examined are will be equal to the company-specific Pursuant to 19 CFR 351.309(c)(2) and zero, de minimis, or determined based estimated weighted-average dumping (d)(2), parties who submit case briefs or entirely on facts otherwise available, margin established for that producer of rebuttal briefs in this investigation are Commerce may use any reasonable the subject merchandise; and (3) the encouraged to submit with each method to establish the estimated cash deposit rate for all other producers argument: (1) A statement of the issue; weighted-average dumping margin for and exporters will be equal to the all- (2) a brief summary of the argument; all other producers or exporters. others estimated weighted-average and (3) a table of authorities. Commerce Commerce has preliminarily dumping margin. has modified certain of its requirements determined the estimated weighted- Section 733(e)(2) of the Act provides for serving documents containing average dumping margin for Adisseo that, given an affirmative determination business proprietary information until France entirely under section 776 of the of critical circumstances, the suspension further notice.12 Act. Pursuant to section 735(c)(5)(B) of of liquidation shall apply to Pursuant to 19 CFR 351.310(c), the Act, Commerce’s normal practice unliquidated entries of subject interested parties who wish to request a under these circumstances has been to merchandise entered, or withdrawn hearing, limited to issues raised in the calculate the all-others rate as a simple from warehouse, for consumption on or case and rebuttal briefs, must submit a average of the alleged dumping margins after the later of: (a) The date which is written request to the Assistant from the petition. However, because 90 days before the date on which the Secretary for Enforcement and there is only one dumping margin suspension of liquidation was first Compliance, U.S. Department of alleged in the Petition (i.e., 16.17 ordered; or (b) the date on which notice 9 percent), we used that rate as the of initiation of the investigation was 10 See 19 CFR 351.309(c)(1)(i); and 19 CFR estimated weighted-average dumping published. As noted above, Commerce 351.303 (for general filing requirements). Commerce margin for all other producers and preliminarily finds that critical has exercised its discretion under 19 CFR exporters. For a full description of the circumstances exist for imports of 351.309(c)(1)(i) to alter the time limit for submission of case briefs. methodology underlying Commerce’s subject merchandise produced and 11 See Temporary Rule Modifying AD/CVD exported by Adisseo France. In Service Requirements Due to COVID–19, 85 FR 9 See Petitioner’s Letter, ‘‘Petitions for the accordance with section 733(e)(2)(A) of 17006 (March 26, 2020); and Temporary Rule Imposition of Antidumping Duties: Methionine the Act, the suspension of liquidation Modifying AD/CVD Service Requirements Due to from France, Japan, and Spain,’’ dated July 29, 2020 shall apply to unliquidated entries of COVID–19; Extension of Effective Period, 85 FR (Petition); see also Initiation Notice, 85 FR at 52327, 41363 (July 10, 2020) (collectively, Temporary and accompanying France-specific Initiation shipments of methionine that were Rule). Checklist. produced and exported by Adisseo 12 See Temporary Rule.

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Commerce, within 30 days after the date compelling reasons for denial exist. In HMTBa has the chemical formula of publication of this notice. Requests this investigation, Commerce has (C5H9O3S)2Ca. should contain the party’s name, determined that Adisseo France’s Subject merchandise also includes address, and telephone number, the withdrawal provides a compelling methionine processed in a third country including, but not limited to, refining, number of participants, whether any reason to deny Adisseo France’s request converting from liquid to dry or dry to liquid participant is a foreign national, and a for postponement, because Adisseo form, or any other processing that would not list of the issues to be discussed. If a France represents both mandatory otherwise remove the merchandise from the request for a hearing is made, Commerce respondents and has withdrawn from scope of these investigations if performed in intends to hold the hearing at a time and this investigation.16 Furthermore, the country of manufacture of the in-scope date to be determined. Parties should Adisseo France has indicated that it will methionine or dl-Hydroxy analogue of dl- confirm by telephone the date, time, and no longer respond to Commerce’s methionine. location of the hearing two days before requests for information.17 Therefore, The scope also includes methionine that is the scheduled date of the hearing. commingled (i.e., mixed or combined) with because Commerce will not receive methionine from sources not subject to these Postponement of Final Determination further information from Adisseo France investigations. Only the subject component and Extension of Provisional Measures for the remainder of this investigation of such commingled products is covered by nor conduct verification, Commerce will the scope of these investigations. Section 735(a)(2) of the Act provides not be postponing its final Excluded from this investigation is United that a final determination may be determination in this investigation. States Pharmacopoeia (USP) grade postponed until not later than 135 days Moreover, because the final methionine. In order to qualify for this after the date of the publication of the determination will not be postponed, exclusion, USP grade methionine must meet preliminary determination if, in the or exceed all of the chemical, purity, Commerce will not be extending performance, and labeling requirements of event of an affirmative preliminary provisional measures. Accordingly, determination, a request for such the United States Pharmacopeia and the Commerce will make its final National Formulary for USP grade postponement is made by exporters who determination no later than 75 days methionine. account for a significant proportion of after the date of publication of this Methionine is currently classified under exports of the subject merchandise, or in preliminary determination, pursuant to subheadings 2930.40.0000 and 2930.90.4600 the event of a negative preliminary section 735(a)(1) of the Act. of the Harmonized Tariff Schedule of the determination, a request for such United States (HTSUS). Methionine has the postponement is made by the petitioner. International Trade Commission Chemical Abstracts Service (CAS) registry Section 351.210(e)(2) of Commerce’s Notification numbers 583–91–5, 4857–44–7, 59–51–8 and 922–50–9. While the HTSUS subheadings regulations requires that a request by In accordance with section 733(f) of exporters for postponement of the final and CAS registry numbers are provided for the Act, Commerce will notify the convenience and customs purposes, the determination be accompanied by a International Trade Commission (ITC) of written description of the scope of this request for extension of provisional its preliminary determination. If the investigation is dispositive. measures from a four-month period to a final determination is affirmative, the Appendix II period not more than six months in ITC will determine before the later of duration. 120 days after the date of this List of Topics Discussed in the Preliminary On February 5, 2021, pursuant to 19 preliminary determination or 45 days Decision Memorandum CFR 351.210(e), Adisseo France after the final determination whether I. Summary requested a postponement of the final imports of methionine from France are II. Background determination of this investigation in materially injuring, or threaten material III. Period of Investigation the case of an affirmative determination IV. Scope of Investigation injury to, the U.S. industry. by Commerce.13 Furthermore, pursuant V. Scope Comments to section 733(d) of the Act and 19 CFR Notification to Interested Parties VI. Return of Record Information 351.210(e)(2), Adisseo France agreed to VII. Application of Facts Available and Use This determination is issued and of Adverse Inferences an extension of provisional measures in published in accordance with sections VIII. All-Others Rate this investigation from a period of four 733(f) and 777(i)(1) of the Act, and 19 IX. Critical Circumstances to no more than six months.14 The CFR 351.205(c). X. Recommendation petitioner submitted an opposition to [FR Doc. 2021–04415 Filed 3–3–21; 8:45 am] Adisseo France’s postponement because Dated: February 24, 2021. BILLING CODE 3510–DS–P of Adisseo France’s withdrawal from the Christian Marsh, investigation.15 Acting Assistant Secretary for Enforcement Ordinarily, in accordance with and Compliance. DEPARTMENT OF COMMERCE section 735(a)(2)(A) of the Act and 19 Appendix I CFR 351.210(b)(2)(ii), Commerce will International Trade Administration grant an extension if: (1) The Scope of the Investigation preliminary determination is The merchandise covered by this Notice of Scope Rulings affirmative; (2) the requesting exporter, investigation is methionine and dl-Hydroxy AGENCY: Enforcement and Compliance, and in this case producer, accounts for analogue of dl-methionine, also known as 2- International Trade Administration, a significant proportion of exports of Hydroxy 4-(Methylthio) Butanoic acid Department of Commerce. subject merchandise; and (3) no (HMTBa), regardless of purity, particle size, grade, or physical form. Methionine has the SUMMARY: The Department of Commerce

13 chemical formula C5H11NO2S, liquid HMTBa (Commerce) hereby publishes a list of See Adisseo France’s Letter, ‘‘Methionine from has the chemical formula C H O S, and dry France: Request for Postponement of Final 5 10 3 scope rulings and anti-circumvention Determination and Provisional Measures Period,’’ determinations made during the period dated February 5, 2021, at 1. 16 See Adisseo France’s Letter, ‘‘Methionine from October 1, 2020–December 31, 2020. We 14 Id. at 2. France: Withdrawal from Investigation and intend to publish future lists after the 15 See Petitioner’s Letter, ‘‘Methionine from Withdrawal of Proprietary Information,’’ dated France: Opposition to Extension of Final January 22, 2021. close of the next calendar quarter. Determination,’’ dated February 9, 2021. 17 Id. at 2. DATES: Applicable March 4, 2021.

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FOR FURTHER INFORMATION CONTACT: produced in Vietnam from raw wafers DEPARTMENT OF COMMERCE Marcia E. Short, AD/CVD Operations, imported from China (i.e., wafers that do Customs Liaison Unit, Enforcement and not yet have a p/n junction) are not National Oceanic and Atmospheric Compliance, International Trade within the scope of the AD and CVD Administration Administration, U.S. Department of orders on solar cells from China; [RIN 0648–XA858] Commerce, 1401 Constitution Avenue October 23, 2020. NW, Washington, DC 20230; telephone: Taking of Marine Mammals Incidental 202–482–1560. A–570–042 and C–570–043: Stainless to Specific Activities; Taking of Marine SUPPLEMENTARY INFORMATION: Steel Sheet and Strip From China Mammals Incidental to Pile Driving and Removal Activities During Background Requestor: Concept2, Inc. Flywheel Housing Perforated Screens (FHPS), Construction of the Hoonah Marine Commerce regulations provide that it imported by Concept2 Inc., are not Industrial Center Cargo Dock Project, will publish in the Federal Register a Hoonah, Alaska list of scope rulings on a quarterly covered by the scope of the AD and CVD basis.1 Our most recent notification of orders on stainless steel sheet and strip AGENCY: National Marine Fisheries scope rulings was published on from China based on the totality of our Service (NMFS), National Oceanic and December 2, 2020.2 This current notice analysis of the plain language of the Atmospheric Administration (NOAA), covers all scope rulings and anti- scope and the criteria set forth under 19 Commerce. circumvention determinations made by CFR 351.225(k)(1) and (2); November ACTION: Notice; proposed incidental Enforcement and Compliance from 24, 2020. harassment authorization; request for October 1, 2020 through December 31, A–570–952 and C–570–953: Narrow comments on proposed authorization and possible renewal. 2020. Woven Ribbons From China Scope Rulings Made October 1, 2020 SUMMARY: Requestor: Spin Master, Inc. The NMFS has received a request Through December 31, 2020 from the City of Hoonah (City) for woven polyester ribbons contained authorization to take marine mammals People’s Republic of China (China) within ‘‘Cool Maker Hollywood Hair incidental to pile driving and removal A–570–092: Mattresses From China Studio’’ role play kit and the ‘‘Cool activities during construction upgrades Maker Hollywood Hair Studio Refill Requestor: Excelligence Learning of a cargo dock at the city-owned Pack’’ imported by Spin Master, Inc. are Corporation. The compact crib mattress Hoonah Marine Industrial Center is not covered by the scope of the within the scope of the AD and CVD (HMIC) in Port Frederick Inlet on antidumping duty (AD) order on orders on narrow woven ribbons with Chichagof Island in Hoonah, Alaska. mattresses from China because it does woven selvedge from China; December Pursuant to the Marine Mammal not meet the scope’s dimensional 8, 2020. Protection Act (MMPA), NMFS is requirements for length or width to be A–570–916 and C–570–917: Laminated requesting comments on its proposal to considered a youth mattress; October 1, Woven Sacks From China issue an incidental harassment 2020. authorization (IHA) to incidentally take Requestor: HL Packaging Group Inc. marine mammals during the specified A–570–112 and C–570–113: Certain activities. NMFS is also requesting Collated Steel Staples From China Two models of reusable shopping bags imported by HL Packaging Group Inc. comments on a possible one-year Requestor: Sailrite Enterprises, Inc. are covered by the scope of the AD and renewal that could be issued under Sailrite’s 80-Series collated stainless CVD orders on laminated woven sacks certain circumstances and if all steel and galvanized steel staples are from China because they meet the requirements are met, as described in outside of the scope of the AD and physical description identified in the Request for Public Comments at the end countervailing duty (CVD) orders scope; December 23, 2020. of this notice. NMFS will consider because they have a nominal diameter public comments prior to making any of 0.028 inches, which falls outside the Notification to Interested Parties final decision on the issuance of the 0.0355 and 0.0830 inch scope specified requested MMPA authorizations and in the scope of the orders; October 14, Interested parties are invited to agency responses will be summarized in 2020. comment on the completeness of this the final notice of our decision. list of completed scope inquiries and A–570–899: Certain Artist Canvas From DATES: Comments and information must anti-circumvention determinations be received no later than April 5, 2021. China made during the period October 1, 2020, ADDRESSES: Comments should be Requestor: Permalite, Inc. (Permalite). through December 31, 2020. Contact addressed to Jolie Harrison, Chief, Permalite’s inkjet printable canvas is information for the submission of such Permits and Conservation Division, outside the scope of the AD order on comment is provided above. This notice Office of Protected Resources, National certain artist canvas from China because is published in accordance with 19 CFR Marine Fisheries Service and should be the priming/coating of the raw woven 351.225(o). sent by electronic mail to ITP.Egger@ polyester cloth occurs in Thailand; noaa.gov. October 21, 2020. Dated: February 26, 2021. James Maeder, Instructions: NMFS is not responsible A–570–979 and C–570–980: Crystalline Deputy Assistant Secretary for Antidumping for comments sent by any other method, Silicon Photovoltaic Cells From China and Countervailing Duty Operations. to any other address or individual, or received after the end of the comment Requestor: SunSpark Technology Inc. [FR Doc. 2021–04478 Filed 3–3–21; 8:45 am] Solar cells and panels/modules period. Comments must not exceed a BILLING CODE 3510–DS–P 25-megabyte file size, including all 1 See 19 CFR 351.225(o). attachments. All comments received are 2 See Notice of Scope Rulings, 85 FR 77494 a part of the public record and will (December 2, 2020). generally be posted online at https://

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www.fisheries.noaa.gov/permit/ National Environmental Policy Act the existing City dock. The gravel incidental-take-authorizations-under- To comply with the National landing provides a makeshift location to marine-mammal-protection-act without Environmental Policy Act of 1969 unload heavy cargo using a ramp and change. All personal identifying (NEPA; 42 U.S.C. 4321 et seq.) and forklifts. During winter months, information (e.g., name, address) NOAA Administrative Order (NAO) inclement weather events, and for more voluntarily submitted by the commenter 216–6A, NMFS must review our frequent deliveries, locals utilizes the may be publicly accessible. Do not proposed action (i.e., the issuance of an Alaska Marine Highway System submit confidential business IHA) with respect to potential impacts (AMHS) ferries and the local ferry information or otherwise sensitive or on the human environment. This action terminal. protected information. is consistent with categories of activities The existing gravel landing at HMIC FOR FURTHER INFORMATION CONTACT: identified in Categorical Exclusion B4 was not originally designed for barges Stephanie Egger, Office of Protected (IHAs with no anticipated serious injury and requires an additional ramp and Resources, NMFS, (301) 427–8401. or mortality) of the Companion Manual favorable weather conditions to safely Electronic copies of the application and for NOAA Administrative Order 216– unload cargo. Even during favorable supporting documents, as well as a list 6A, which do not individually or weather, the space and depth places the of the references cited in this document, cumulatively have the potential for barges and crew at risk, and the landing may be obtained online at: https:// significant impacts on the quality of the cannot safely accommodate the fleet of www.fisheries.noaa.gov/permit/ human environment and for which we barges delivering to Hoonah. With the incidental-take-authorizations-under- have not identified any extraordinary decrease in AMHS ferry service (due to marine-mammal-protection-act. In case circumstances that would preclude this State funding cuts) it is imperative that of problems accessing these documents, categorical exclusion. Accordingly, a reliable way to receive goods in the or for anyone who is unable to comment NMFS has preliminarily determined City is available. via electronic mail, please call the that the issuance of the proposed IHA contact listed above. qualifies to be categorically excluded The HMIC cargo dock is one SUPPLEMENTARY INFORMATION: from further NEPA review. component of the HMIC, which is a We will review all comments phased approach to enhance the Background submitted in response to this notice Hoonah waterfront and to provide The MMPA prohibits the ‘‘take’’ of prior to concluding our NEPA process infrastructure to support the cruise ship marine mammals, with certain or making a final decision on the IHA industry and various other maritime exceptions. Sections 101(a)(5)(A) and request. industries (see Figure 4 of the (D) of the MMPA (16 U.S.C. 1361 et application). The purpose of HMIC Summary of Request seq.) direct the Secretary of Commerce cargo dock project is to make (as delegated to NMFS) to allow, upon On October 28, 2020 NMFS received improvements to the existing gravel request, the incidental, but not a request from the City for an IHA to landing to enable barges to land during intentional, taking of small numbers of take marine mammals incidental to pile all conditions. The project is needed marine mammals by U.S. citizens who driving and removal during because the existing facility cannot engage in a specified activity (other than construction upgrades of a cargo dock at provide consistent and safe berthing for commercial fishing) within a specified the HMIC in Port Frederick Inlet on barges. Once the project is completed, geographical region if certain findings Chichagof Island in Hoonah, Alaska. the City will be able to reliably receive are made and either regulations are The application was deemed adequate goods year-round and in all weather issued or, if the taking is limited to and complete on February 2, 2021. The conditions. Currently, Alaska Marine harassment, a notice of a proposed applicant’s request is for take of nine Line barges offers seasonal ramp barge species of marine mammals by Level B incidental take authorization may be service into the City; however, this harassment and five species by Level A provided to the public for review. project will allow for year-round, harassment. Neither the City nor NMFS Authorization for incidental takings weekly deliveries by ocean going barges. shall be granted if NMFS finds that the expects serious injury or mortality to taking will have a negligible impact on result from this activity and, therefore, Dates and Duration the species or stock(s) and will not have an IHA is appropriate. The applicant is requesting an IHA to an unmitigable adverse impact on the Description of Proposed Activity availability of the species or stock(s) for conduct pile driving and removal over taking for subsistence uses (where Overview 110 working days (not necessarily relevant). Further, NMFS must prescribe The purpose of this project is to make consecutive) beginning in spring and the permissible methods of taking and upgrades to the HMIC. Upgrades to the extending through the summer of 2021 other ‘‘means of effecting the least site include the installation of three as needed. Approximately 50 days of practicable adverse impact’’ on the breasting dolphins, a sheet pile bulk vibratory and 28 days of impact affected species or stocks and their cargo dock, fender piles, and a catwalk. hammering will occur. An additional 35 habitat, paying particular attention to The proposed upgrades are needed to days of drilling/down-the-hole (DTH) rookeries, mating grounds, and areas of continue safely accommodating barges will occur to stabilize the piles. These similar significance, and on the and other vessels delivering essential are discussed in further detail below. availability of such species or stocks for goods to the City. The total construction duration taking for certain subsistence uses The City is only accessible by air and accounts for the time required to (referred to in shorthand as water. Small amounts of cargo are mobilize materials and resources and ‘‘mitigation’’); and requirements transported into the community by construct the project. The duration also pertaining to the mitigation, monitoring plane; however, the majority is accounts for potential delays in material and reporting of such takings are set delivered weekly by barges from April deliveries, equipment maintenance, forth. The definitions of all applicable through September (AML 2020). When inclement weather, and shutdowns that MMPA statutory terms cited above are weather permits, front load barges may occur to prevent impacts to marine included in the relevant sections below. utilize a gravel landing located next to mammals.

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Specific Geographic Region NE; latitude 58.11549 and longitude of up to 150 meters (m) (see Figure 6 of ¥ The proposed project at the HMIC is 135.4547 (see Figure 1 below and see the application). Near the proposed located in Port Frederick Inlet, also Figure 1, 2, 3, and Appendix A, project, the inlet is 12 to 28 m deep approximately 0.8 kilometers (km) (0.5 Sheet 1 of the application). (NOAA 2018). NMFS’s ShoreZone miles) northwest of downtown Hoonah Port Frederick is a 24-km inlet that Mapper details the proposed project site 0.24 km (0.15 miles) east of the State of dips into northeast Chichagof Island as a semi-protected/partially mobile/ Alaska Ferry Terminal in Southeast from Icy Strait, leading to Neka Bay and sediment or rock and sediment habitat Alaska; T43S, R61E, S20, Copper River Salt Lake Bay. The inlet varies between class with gravel beaches environmental Meridian, USGS Quadrangle Juneau A5 4 and almost 6 km wide with a depth sensitivity index (NMFS 2020).

Detailed Description of Specific Activity piles (these piles would be removed (3) Remove the temporary piles. The project would involve installing prior to project completion); (4) Using the H-piles as a guide, D Installation of 12 permanent H-piles breasting dolphins, a solid fill sheet pile vibrate and impact 500 sheets into place to guide proper installation of sheets; dock, and fender. to create a barrier prior to placing fill. D Installation of 500 permanent sheet Construction of the three breasting (5) Using an excavator place 9,600 piles (130 linear feet); and dolphins would include: cubic yards of fill within the newly D Filling the area within sheet piles constructed cargo dock frame. D Installation of 10 temporary 30-inch with 9,600 cubic yards of fill After the completion of the cargo (in) diameter steel piles as templates Installation of the fender piles would dock, the barge will move over to install to guide proper installation of include (see Figure 4; Appendix A: the six fender piles at the existing city permanent piles (these piles would be Sheet 3 of the application): dock face using the following sequence: removed prior to project completion); D Installation of 20 temporary 30-in (1) Vibrate 20 temporary 30-in piles a and minimum of ten feet into bedrock to D Installation of 9 permanent 36-in steel piles as templates to guide proper installation of permanent create a template to guide installation of diameter steel piles the permanent piles. Æ Breasting Dolphin 1—(1) vertical fender piles (these piles would be removed prior to project completion); (2) Weld a frame around the 36-in steel pile and (2) 36-in batter temporary piles. steel piles and D (3) Within the frame: Vibrate, impact, Æ Breasting Dolphin 2—(1) vertical Installation of 6 permanent 20-in fender piles in front of sheet pile and socket six permanent 20-in fender 36-in steel pile and (2) 36-in batter piles into place. steel pile cargo dock Æ (4) Remove the frame and temporary Breasting Dolphin 3—(1) vertical Construction Sequence piles. 36-in steel pile and (2) 36-in batter In-water construction of the HMIC (5) Perform this sequence at the other steel pile cargo dock components is expected to six fender pile locations. Construction of the bulk cargo dock occur via the following sequence: The three breasting dolphins will be would include (see Figure 4; Appendix (1) Vibrate twenty 30-in temporary constructed as the barge moves off shore A: Sheets 3–4 of the application): piles to use as a guide to install H-piles and will install temporary and D Installation of 20 temporary 30-in for the cargo dock. permanent piles as follows: steel piles as templates to guide (2) Vibrate and impact 12 H-piles to (1) Vibrate 10 temporary 30-in piles a proper installation of permanent H- depth to hold the sheets into place. minimum of ten feet into bedrock to

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create a template to guide installation of Installation and Removal of Temporary DTH method can also be referred to as the permanent piles. (Template) Piles DTH drilling. It is referred to as DTH (2) Weld a frame around the Temporary 30-in steel piles would be throughout this document.) Pile depths temporary piles. installed and removed using a vibratory are expected to be approximately 40 to (3) Within the frame: Vibrate, impact, hammer (Table 1). 70 feet (ft) below the mudline and and socket one vertical and two batter estimated to take approximately 1.25– Installation of Permanent Piles 36-in pile into place. 10.5 hours (hrs) per pile to complete. (4) Remove the frame and temporary The permanent H-piles, 20-in, and 36- The permanent sheets would be piles. in piles would be installed through sand installed using a vibratory hammer and (5) Perform this sequence at the and gravel with a vibratory hammer impact hammer following the same second and third location working until advancement stops. Then, the pile farther from the shoreline. will be driven to depth with an impact criteria as above to achieve design tip Please see Table 1 below for the hammer. If design tip elevation is still elevation (Table 1). It is expected that it specific amount of time required to not achieved, the contractor will utilize will take around 20 minutes to install install and remove piles. a drill to secure the pile. (Note: This each sheet. TABLE 1—PILE DRIVING AND REMOVAL ACTIVITIES

Project component

Temporary pile Temporary pile Permanent pile installation installation removal

Vibratory Hammer

Diameter of Steel Pile (inches) ...... 30 ...... 30 ...... 36 ...... H-piles ...... Sheets ...... 20. # of Piles ...... 50 ...... 50 ...... 9 ...... 12 ...... 500 (130lf) ...... 6. Max # Piles Vibrated per Day ...... 4 ...... 4 ...... 4 ...... 4 ...... 30 sheets ...... 3. Vibratory Time per Pile (min) ...... 15 ...... 15 ...... 15 ...... 15 ...... 15 ...... 15. Vibratory Time per Day (min) ...... 60 ...... 60 ...... 60 ...... 60 ...... 450 (7.5 hr) ...... 45. Number of Days ...... 12.5 ...... 12.5 ...... 2.25 ...... 3 ...... 17 ...... 2. Vibratory Time Total ...... 12 hrs 30 mins ..... 12 hrs 30 mins ..... 2 hr 15 mins ...... 3 hrs ...... 292 hrs ...... 1 hr 30 min.

Impact Hammer

Diameter of Steel Pile (inches) ...... 36 ...... H-piles ...... Sheets ...... 20. # of Piles ...... 9 ...... 12 ...... 500 (130lf) ...... 6. Max # Piles Impacted per Day ...... 2 ...... 5 ...... 5 sheets ...... 2. Impact Time per Pile (min) ...... 15 ...... 5 ...... 5 ...... 5. Impact Time per Day (min) ...... 30 ...... 20 ...... 25 ...... 10. Number of Days ...... 4.5 day ...... 3 ...... 17 days ...... 3. Impact Time Total ...... 2 hr 15 mins ...... 1 hr ...... 1 hr 30 mins ...... 30 min.

Drilling/DTH

Diameter of Steel Pile (inches) ...... 36 ...... H-Piles ...... 20. Total Quantity ...... 9 ...... 12 ...... 6. Anchor Diameter ...... 33 ...... 20 ...... 20. Max # Piles Anchored per Day ...... 2 ...... 2 ...... 2. Time per Pile ...... 5–10 hrs ...... 3–4 hrs ...... 1 hr. Actual Time Spent Driving per Pile ...... 60 min ...... 60 min ...... 60 min. Time per Day ...... 12 hrs (max) ...... 12 hrs (max) ...... 12 hrs (max). Actual Time Spent Driving per Day ...... 72 mins (1 hr 12 2 hrs (max) ...... 1 hr (max). mins; max). Blows per Pile ...... 27,000–54,000 ..... 20,000 ...... 15,000. Number of Days ...... 15 days ...... 17 days ...... 3 days. Drilling Total Time ...... 45–90 hours ...... 20 hours ...... 4 hours.

In addition to the activities described any of these other in-water construction Description of Marine Mammals in the above, the proposed action will involve and heavy machinery activities to take Area of Specified Activities other in-water construction and heavy marine mammals. Therefore, these other Sections 3 and 4 of the application machinery activities. Other types of in- in-water construction and heavy summarize available information water work including with heavy machinery activities will not be regarding status and trends, distribution machinery will occur using standard discussed further. and habitat preferences, and behavior barges, tug boats, and positioning piles For further details on the proposed and life history, of the potentially on the substrate via a crane (i.e., action and project components, please affected species. Additional information ‘‘stabbing the pile’’). Workers will be refer to Section 1.2 of the application. regarding population trends and threats transported from shore to the barge may be found in NMFS’s Stock work platform by a 7.62 m (25 ft) skiff Proposed mitigation, monitoring, and Assessment Reports (SARs; https:// with a 125–250 horsepower motor. The reporting measures are described in www.fisheries.noaa.gov/national/ travel distance will be less than 30.5 m detail later in this document (please see marine-mammal-protection/marine- (100 ft). There could be multiple shore- Proposed Mitigation and Proposed mammal-stock-assessment-reports) and to-barge trips during the day; however, Monitoring and Reporting). more general information about these the area of travel will be relatively small species (e.g., physical and behavioral and close to shore. We do not expect descriptions) may be found on NMFS’s

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website (https:// found in far deeper waters. Therefore, number estimated within a particular www.fisheries.noaa.gov/find-species). sperm whales are not being proposed for study or survey area. NMFS’s stock Table 2 lists all species with expected take authorization and not discussed abundance estimates for most species potential for occurrence in the project further. For taxonomy, we follow represent the total estimate of area and summarizes information Committee on Taxonomy (2020). PBR is individuals within the geographic area, related to the population or stock, defined by the MMPA as the maximum if known, that comprises that stock. For including regulatory status under the number of animals, not including some species, this geographic area may MMPA and ESA and potential natural mortalities, that may be removed extend beyond U.S. waters. All managed biological removal (PBR), where known. from a marine mammal stock while stocks in this region are assessed in Tagged sperm whales have been tracked allowing that stock to reach or maintain NMFS’s U.S. Pacific and Alaska SARs within the Gulf of Alaska, and multiple its optimum sustainable population (as (Carretta et al., 2020; Muto et al., 2020). whales have been tracked in Chatham described in NMFS’ SARs). While no Strait, in Icy Strait, and in the action mortality is anticipated or authorized All MMPA stock information presented area in 2014 and 2015 (http:// here, PBR and annual serious injury and in Table 2 is the most recent available seaswap.info/whaletrackerAccessed4/ mortality from anthropogenic sources at the time of publication and is 15/19). However, the known sperm are included here as gross indicators of available in the 2019 SARs (Caretta et whale habitat (these shelf-edge/slope the status of the species and other al., 2020; Muto et al., 2020) and draft waters of the Gulf of Alaska) are far threats. 2020 SARs (available online at: outside of the action area. It is unlikely Marine mammal abundance estimates www.fisheries.noaa.gov/national/ that sperm whales will occur in the presented in this document represent marine-mammal-protection/draft- action area where pile driving activities the total number of individuals that marine-mammal-stock-assessment- will occur because they are generally make up a given stock or the total reports). TABLE 2—MARINE MAMMAL OCCURRENCE IN THE PROJECT AREA

ESA/ MMPA Stock abundance Annual Common name Scientific name Stock status; (CV, N , most recent PBR min M/SI 3 strategic abundance survey) 2 (Y/N) 1

Order Cetartiodactyla—Cetacea—Superfamily Mysticeti (baleen whales)

Family Eschrichtiidae: Gray Whale ...... Eschrichtius robustus ...... Eastern N Pacific ...... -, -, N 26,960 (0.05, 25,849, 2016) .. 801 131 Family Balaenopteridae (rorquals): Minke Whale ...... Balaenoptera acutorostrata .... Alaska ...... -, -, N N/A (see SAR, N/A, see SAR) UND 0 Humpback Whale ...... Megaptera novaeangliae ...... Central N Pacific (Hawaii and -, -, Y 10,103 (0.3, 7,891, 2006) ...... 83 26 Mexico DPS).

Superfamily Odontoceti (toothed whales, dolphins, and porpoises)

Family Delphinidae: Killer Whale ...... Orcinus orca ...... Alaska Resident ...... -, -, N 2,347 (N/A, 2347, 2012) ...... 24 1 Northern Resident ...... -, -, N 302 (N/A, 302, 2018) ...... 2.2 0.2 West Coast Transient ...... -, -, N 349 (na/349; 2018) ...... 3.5 0.4 Pacific White-Sided Dol- Lagenorhynchus obliquidens N Pacific ...... -, -, N 26,880 (N/A, N/A, 1990) ...... UND 0 phin. Family Phocoenidae (porpoises): Dall’s Porpoise ...... Phocoenoides dalli ...... AK ...... -, -, N 83,400 (0.097, N/A, 1991) ..... UND 38 Harbor Porpoise ...... Phocoena phocoena ...... Southeast Alaska ...... -, -, Y see SAR (see SAR, see SAR, see SAR 34 2012).

Order Carnivora—Superfamily Pinnipedia

Family Otariidae (Eared Seals and Sea Lions): Steller Sea Lion ...... Eumetopias jubatus ...... Western DPS ...... E, D, Y 52,932 (see SAR, 52,932, 318 255 2019). Eastern DPS ...... T, D, Y 43,201 a (see SAR, 43,201, 2592 112 2017). Family Phocidae (earless seals): Harbor Seal ...... Phoca vitulina ...... Glacier Bay/Icy Strait ...... -, -, N 7,455 (see SAR, 6,680, 2017) 120 104 1 Endangered Species Act (ESA) status: Endangered (E), Threatened (T)/MMPA status: Depleted (D). A dash (-) indicates that the species is not listed under the ESA or designated as depleted under the MMPA. Under the MMPA, a strategic stock is one for which the level of direct human-caused mortality exceeds PBR or which is determined to be declining and likely to be listed under the ESA within the foreseeable future. Any species or stock listed under the ESA is automatically designated under the MMPA as depleted and as a strategic stock. 2 NMFS marine mammal stock assessment reports online at: www.nmfs.noaa.gov/pr/sars/. CV is coefficient of variation; Nmin is the minimum estimate of stock abundance. In some cases, CV is not applicable [explain if this is the case]. 3 These values, found in NMFS’s SARs, represent annual levels of human-caused mortality plus serious injury from all sources combined (e.g., commercial fisheries, ship strike). Annual M/SI often cannot be determined precisely and is in some cases presented as a minimum value or range. A CV associated with estimated mortality due to commercial fisheries is presented in some cases.

All species that could potentially Northern sea otter (Enhydra lutris by the U.S. Fish and Wildlife Service occur in the proposed survey areas are kenyoni) may be found in the project and are not considered further in this included in Table 2. In addition, the area. However, sea otters are managed document.

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Minke Whale summer. They may be seen at any time action area on 45 of the 51 days of In the North Pacific Ocean, minke of year in Alaska, but most animals monitoring; most often in July and whales occur from the Bering and winter in temperate or tropical waters September. Up to 24 humpback Chukchi seas south to near the Equator near Hawaii. In the spring, the animals sightings were reported on a single day (Leatherwood et al., 1982). In the migrate back to Alaska where food is (July 30, 2019) during project northern part of their range, minke abundant. The Central North Pacific construction (SolsticeAK 2020). In the whales are believed to be migratory, stock of humpback whales are found in project vicinity, humpback whales whereas, they appear to establish home the waters of Southeast Alaska and typically occur in groups of 1–2 ranges in the inland waters of consist of two distinct population animals, with an estimated maximum segments (DPSs) listed under the ESA, group size of 8 animals. Washington and along central California the Hawaii DPS and the Mexico DPS. On October 9, 2019, a proposed rule (Dorsey et al. 1990). Minke whales are Within Southeast Alaska, humpback to designate critical habitat for observed in Alaska’s nearshore waters whales are found throughout all major humpback whales was published in the during the summer months (National waterways and in a variety of habitats, Federal Register (84 FR 54354). Park Service (NPS) 2018). Minke whales including open-ocean entrances, open- Proposed critical habitat for Mexico DPS are usually sighted individually or in strait environments, near-shore waters, humpback whales was divided into ten small groups of 2–3, but there are area with strong tidal currents, and units and assigned a conservation rating reports of loose aggregations of secluded bays and inlets. They tend to based upon available data for the unit. hundreds of animals (NMFS 2018d). concentrate in several areas, including Unit 10 encompasses Southeast Alaska, Minke whales are rare in the action area, northern Southeast Alaska. Patterns of including Port Frederick and Icy Strait. but they could be encountered. During occurrence likely follow the spatial and The area is of medium conservation the construction of the first Icy Strait temporal changes in prey abundance importance on a scale from very low to cruise ship berth, a single minke was and distribution with humpback whales very high. observed during the 135-day monitoring adjusting their foraging locations to Gray Whale period (June 2015 through January 2016) areas of high prey density (Clapham (BergerABAM 2016). During Berth II 2000). Gray whales are found exclusively in construction there was also only one Humpback whales may be found in the North Pacific Ocean. The Eastern reported sighting of a minke whale and around Chichagof Island, Icy Strait, North Pacific stock of gray whales throughout the duration of monitoring and Port Frederick Inlet at any given inhabit the Chukchi, Beaufort, and (June 2019–October 2019; SolsticeAK time. While many humpback whales Bering Seas in northern Alaska in the 2020). migrate to tropical calving and breeding summer and fall and California and No abundance estimates have been grounds in winter, they have been Mexico in the winter months, with a made for the number of minke whales observed in Southeast Alaska in all migration route along the coastal waters in the entire North Pacific. However, months of the year (Bettridge et al., of Southeast Alaska. Gray whales have some information is available on the 2015). Diet for humpback whales in the also been observed feeding in waters off numbers of minke whales in some areas Glacier Bay/Icy Strait area mainly Southeast Alaska during the summer of Alaska. Line-transect surveys were consists of small schooling fish (capelin, (NMFS 2018e). conducted in shelf and nearshore waters juvenile walleye pollock, sand lance, The migration pattern of gray whales (within 30–45 nautical miles of land) in and Pacific herring) rather than appears to follow a route along the 2001–2003 from the Kenai Fjords in the euphausiids (krill). They migrate to the western coast of Southeast Alaska, Gulf of Alaska to the central Aleutian northern reaches of Southeast Alaska traveling northward from British Islands. Minke whale abundance was (Glacier Bay) during spring and early Columbia through Hecate Strait and estimated to be 1,233 (CV = 0.34) for summer following these fish and then Dixon Entrance, passing the west coast this area (Zerbini et al., 2006). This move south towards Stephens Passage of Chichagof Island from late March to estimate has also not been corrected for in early fall to feed on krill, passing the May (Jones et al. 1984, Ford et al. 2013). animals missed on the trackline. The project area on the way (Krieger and Since the project area is on the east majority of the sightings were in the Wing 1986). Over 32 years of humpback coast of Chichagof Island it is less likely Aleutian Islands, rather than in the Gulf whale monitoring in the Glacier Bay/Icy there will be gray whales sighted during of Alaska, and in water shallower than Strait area reveals a substantial decline project construction; however, the 200 m. So few minke whales were seen in population since 2014; a total of 164 possibility exists. during three offshore Gulf of Alaska individual whales were documented in During the 2016 construction of the surveys for cetaceans in 2009, 2013, and 2016 during surveys conducted from first cruise ship terminal at Icy Strait 2015 that a population estimate for this June-August, making it the lowest count Point and 2019 construction of cruise species in this area could not be since 2008 (Neilson et al., 2017). ship Berth II, no gray whales were seen determined (Rone et al., 2017). During construction of the first Icy monitoring periods (BergerABAM 2016; Strait cruise ship berth from June 2015 SolsticeAK 2020). Humpback Whale through January 2016, humpback The humpback whale is distributed whales were observed in the action area Killer Whale worldwide in all ocean basins and a on 84 of the 135 days of monitoring; Killer whales have been observed in broad geographical range from tropical most often in September and October. all oceans and seas of the world, but the to temperate waters in the Northern Up to 18 humpback sightings were highest densities occur in colder and Hemisphere and from tropical to near- reported on a single day (October 2, more productive waters found at high ice-edge waters in the Southern 2015), and a total of 226 Level B latitudes. Killer whales are found Hemisphere. The humpback whales that harassments were recorded during throughout the North Pacific and occur forage throughout British Colombia and project construction (June 2015 through along the entire Alaska coast, in British Southeast Alaska undertake seasonal January 2016) (BergerABAM 2016). Columbia and Washington inland migrations from their tropical calving Additionally, during construction of Icy waterways, and along the outer coasts of and breeding grounds in winter to their Strait cruise ship Berth II in 2019, Washington, Oregon, and California high-latitude feeding grounds in humpback whales were observed in the (NMFS 2018f).

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The Alaska Resident stock occurs in the action area, likely because they Icy Strait region and near Zarembo and from Southeast Alaska to the Aleutian are pelagic and prefer more open water Wrangell Islands and the adjacent Islands and Bering Sea. The Northern habitats than are found in Icy Strait and waters of Sumner Strait (Dahlheim et Resident stock occurs from Washington Port Frederick Inlet. Pacific white-sided al., 2015). Harbor porpoises also were State through part of Southeast Alaska; dolphins have been observed in Alaska observed primarily between June and and the West Coast Transient stock waters in groups ranging from 20 to 164 September during construction of the occurs from California through animals, with the sighting of 164 Hoonah Berth I cruise ship terminal Southeast Alaska (Muto et al., 2018) and animals occurring in Southeast Alaska project. Harbor porpoises were observed are thought to occur frequently in near Dixon Entrance (Muto et al., 2018). on 19 days during the 135-day Southeast Alaska (Straley 2017). monitoring period (June 2015 through Dall’s Porpoise Transient killer whales can pass January 2016) (BergerABAM 2016) and through the waters surrounding Dall’s porpoises are widely seen either singularly or in groups from Chichagof Island, in Icy Strait and distributed across the entire North two to four animals. During the test pile Glacier Bay, feeding on marine Pacific Ocean. They show some program conducted at the Berth II mammals. Because of their transient migration patterns, inshore and offshore project site in May 2018, eight harbor nature, it is difficult to predict when and north and south, based on porpoises where observed over a 7-hour they will be present in the area. Whales morphology and type, geography, and period (SolsticeAK 2018). from the Alaska Resident stock and the seasonality (Muto et al., 2018). They are There is no official stock abundance Northern Resident stock are thought to common in most of the larger, deeper associated with the SARs for harbor primarily feed on fish. Like the transient channels in Southeast Alaska and are porpoise. Both aerial and vessel based killer whales, they can pass through Icy rare in most narrow waterways, surveys have been conducted for this Strait at any given time (North Gulf especially those that are relatively species. Aerial surveys of this stock Oceanic Society 2018). shallow and/or with no outlets were conducted in June and July 1997 Killer whales were observed on 11 (Jefferson et al., 2019). In Southeast and resulted in an observed abundance days during construction of the first Icy Alaska, abundance varies with season. estimate of 3,766 harbor porpoise Strait cruise ship berth during the135- Jefferson et al. (2019) recently (Hobbs and Waite 2010) and the surveys day monitoring period (June 2015 published a report with survey data included a subset of smaller bays and through January 2016). Killer whales spanning from 1991 to 2012 that studied inlets. Correction factors for observer were observed a few times a month. Dall’s porpoise density and abundance perception bias and porpoise Usually a singular animal was observed, in Southeast Alaska. They found Dall’s availability at the surface were used to but a group containing 8 individuals porpoise were most abundant in spring, develop an estimated corrected was seen in the action area on one observed with lower numbers in abundance of 11,146 harbor porpoise in occasion, for a total of 24 animals summer, and lowest in fall. Surveys the coastal and inside waters of observed during in-water work found Dall’s porpoise to be common in Southeast Alaska (Hobbs and Waite (BergerABAM 2016). During Icy Strait and sporadic with very low 2010). Vessel based spanning the 22- construction of the second Icy Strait densities in Port Frederick (Jefferson et year study (1991–2012) found the cruise ship Berth II in 2019 (51 days), al., 2019). During a 16-year survey of relative abundance of harbor porpoise killer whales were observed on 8 days. cetaceans in Southeast Alaska, Dall’s varied in the inland waters of Southeast Usually a single animal or pairs were porpoises were commonly observed Alaska. Abundance estimated in 1991– observed, but a group containing 5 during spring, summer, and fall in the 1993 (N = 1,076; percent CI = 910– individuals was seen in the action area nearshore waters of Icy Strait (Dahlheim 1,272) was higher than the estimate on one occasion. A total of 20 animals et al., 2009). Dall’s porpoises were obtained for 2006–2007 (N = 604; 95 observed during in-water work on Berth observed on 2 days during the 135-day percent CI = 468–780) but comparable to II (SolsticeAK 2020). monitoring period (June 2015 through the estimate for 2010–2012 (N = 975; 95 January 2016) of the construction of the percent CI = 857–1,109; Dahlheim et al., Pacific White-Sided Dolphin first cruise ship berth (BergerABAM 2015). These estimates assume the Pacific white-sided dolphins are a 2016). Both were single individuals probability of detection directly on the pelagic species. They are found transiting within the waters of Port trackline to be unity (g(0) = 1) because throughout the temperate North Pacific Frederick in the vicinity of Halibut estimates of g(0) could not be computed Ocean, north of the coasts of Japan and Island. During the second cruise ship for these surveys. Therefore, these Baja California, Mexico (Muto et al., Berth II construction a total of 21 Dall’s abundance estimates may be biased low 2018). They are most common between porpoises were observed on 8 days to an unknown degree. A range of the latitudes of 38° North and 47° North (SolsticeAK 2020). Dall’s porpoises possible g(0) values for harbor porpoise (from California to Washington). The generally occur in groups from 2–12 vessel surveys in other regions is 0.5– distribution and abundance of Pacific individuals (NMFS 2018g). 0.8 (Barlow 1988, Palka 1995), white-sided dolphins may be affected by suggesting that as much as 50 percent of Harbor Porpoise large-scale oceanographic occurrences, the porpoise can be missed, even by such as El Nin˜ o, and by underwater In the eastern North Pacific Ocean, experienced observers. acoustic deterrent devices (NPS 2018a). the Bering Sea and Gulf of Alaska Further, other vessel based survey No Pacific white-sided dolphins were harbor porpoise stocks range from Point data (2010–2012) for the inland waters observed during construction of the first Barrow, along the Alaska coast, and the of Southeast Alaska, calculated cruise ship berth during the135-day west coast of North America to Point abundance estimates for the monitoring period (June 2015 through Conception, California. The Southeast concentrations of harbor porpoise in the January 2016) (BergerABAM 2016). Alaska stock ranges from Cape Suckling, northern and southern regions of the However, a pod of two Pacific white- Alaska to the northern border of British inland waters (Dahlheim et al. 2015). sided dolphins were observed during Columbia. Within the inland waters of The resulting abundance estimates are construction of the second cruise ship Southeast Alaska, harbor porpoises’ 398 harbor porpoise (CV = 0.12) in the Berth II (June 2019 through October distribution is clustered with greatest northern inland waters (including Cross 2019) (SolsticeAK 2020). They are rare densities observed in the Glacier Bay/ Sound, Icy Strait, Glacier Bay, Lynn

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Canal, Stephens Passage, and Chatham 33 harbor seals were seen during the reported, amounting to an average of 4.6 Strait) and 577 harbor porpoise (CV = Berth II project (SolsticeAK 2020). sightings per day (SolsticeAK2020). 0.14) in the southern inland waters There are two known harbor seal They can occur in groups of 1–10 (including Frederick Sound, Sumner haulouts within the project area. animals, but may congregate in larger Strait, Wrangell and Zarembo Islands, According to the AFSC list of harbor groups near rookeries and haulouts and Clarence Strait as far south as seal haulout locations, the closest listed (NMFS 2018h). No documented Ketchikan). Because these abundance haulout (id 1,349: Name CF39A) is rookeries or haulouts are near the estimates have not been corrected for located in Port Frederick, approximately project area. 3,400 m west of the project area (AFSC g(0), these estimates are likely Critical habitat has been defined in 2018). The second haulout (id: 8; name: underestimates. Southeast Alaska at major haulouts and The vessel based surveys are not CE79A) is approximately 10,200 meters south of the project area (AFSC 2020). major rookeries (50 CFR 226.202). The complete coverage of harbor porpoise nearest rookery is on the White Sisters habitat and not corrected for bias and Steller Sea Lion Islands near Sitka and the nearest major likely underestimate the abundance. Steller sea lions range along the North haulouts are at Benjamin Island, Cape Whereas, the aerial survey in 1997, Cross, and Graves Rocks. The White although outdated, had better coverage Pacific Rim from northern Japan to California, with centers of abundance in Sisters rookery is located on the west of the range and is likely to be more of side of Chichagof Island, about 72 km an accurate representation of the stock the Gulf of Alaska and Aleutian Islands (Loughlin et al., 1984). southwest of the project area. Benjamin abundance (11,146 harbor porpoise) in Of the two Steller sea lion Island is about 60 km northeast of the coastal and inside waters of populations in Alaska, the Eastern DPS Hoonah. Cape Cross and Graves Rocks Southeast Alaska. includes sea lions born on rookeries are both about 70 km west of Hoonah. Harbor Seal from California north through Southeast Steller sea lions are known to haul out Alaska and the Western DPS includes Harbor seals range from Baja on land, docks, buoys, and navigational those animals born on rookeries from California north along the west coasts of markers. Prince William Sound westward, with Washington, Oregon, California, British an eastern boundary set at 144° W Marine Mammal Hearing Columbia, and Southeast Alaska; west (NMFS 2018h). Both WDPS and EDPS through the Gulf of Alaska, Prince Hearing is the most important sensory Steller sea lions are considered in this modality for marine mammals William Sound, and the Aleutian application because the WDPS are underwater, and exposure to Islands; and north in the Bering Sea to common within the geographic area anthropogenic sound can have Cape Newenham and the Pribilof under consideration (north of Summer deleterious effects. To appropriately Islands. They haul out on rocks, reefs, Strait) (Fritz et al., 2013, NMFS 2013). beaches, and drifting glacial ice and Steller sea lions are not known to assess the potential effects of exposure feed in marine, estuarine, and migrate annually, but individuals may to sound, it is necessary to understand occasionally fresh waters. Harbor seals widely disperse outside of the breeding the frequency ranges marine mammals are generally non-migratory and, with season (late-May to early-July), leading are able to hear. Current data indicate local movements associated with such to intermixing of stocks (Jemison et al. that not all marine mammal species factors as tide, weather, season, food 2013; Allen and Angliss 2015). have equal hearing capabilities (e.g., availability and reproduction. Steller sea lions are common in the Richardson et al., 1995; Wartzok and Distribution of the Glacier Bay/Icy inside waters of Southeast Alaska. They Ketten, 1999; Au and Hastings, 2008). Strait stock, the only stock considered are residents of the project vicinity and To reflect this, Southall et al. (2007) in this application, ranges along the are common year-round in the action recommended that marine mammals be coast from Cape Fairweather and Glacier area, moving their haulouts based on divided into functional hearing groups Bay south through Icy Strait to Tenakee seasonal concentrations of prey from based on directly measured or estimated Inlet on Chichagof Island (Muto et al., exposed rookeries nearer the open hearing ranges on the basis of available 2018). Pacific Ocean during the summer to behavioral response data, audiograms The Glacier Bay/Icy Strait stock of more protected sites in the winter derived using auditory evoked potential harbor seals are common residents of (Alaska Department of Fish & Game techniques, anatomical modeling, and the action area and can occur on any (ADF&G) 2018). During the construction other data. Note that no direct given day in the area, although they of the existing Icy Strait cruise ship measurements of hearing ability have tend to be more abundant during the fall berth a total of 180 Steller sea lions were been successfully completed for months (Womble and Gende 2013). A observed on 47 days of the 135 mysticetes (i.e., low-frequency total of 63 harbor seals were seen during monitoring days, amounting to an cetaceans). Subsequently, NMFS (2018) 19 days of the 135-day monitoring average of 1.3 sightings per day described generalized hearing ranges for period (June 2015 through January 2016) (BergerABAM 2016). Steller sea lions these marine mammal hearing groups. (BergerABAM 2016), while none were were frequently observed in groups of Generalized hearing ranges were chosen seen during the 2018 test pile program two or more individuals, but lone based on the approximately 65 decibel (SolsticeAK 2018). Harbor seals were individuals were also observed regularly (dB) threshold from the normalized primarily observed in summer and early (BergerABAM 2016). During a test pile composite audiograms, with the fall (June to September). Harbor seals program performed at the project exception for lower limits for low- were seen singulary and in groups of location by the Hoonah Cruise Ship frequency cetaceans where the lower two or more, but on one occasion, 22 Dock Company in May 2018, a total of bound was deemed to be biologically individuals were observed hauled out 15 Steller sea lions were seen over the implausible and the lower bound from on Halibut Rock, across Port Frederick course of 7 hours in one day Southall et al. (2007) retained. Marine approximately 2,414 m (1.5 miles) from (SolsticeAK 2018). During construction mammal hearing groups and their the location of pile installation activity of Berth II, a total of 197 Steller sea lion associated hearing ranges are provided (BergerABAM 2016). In 2019, a total of sightings over 42 days in 2019 were in Table 3.

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TABLE 3—MARINE MAMMAL HEARING GROUPS [NMFS, 2018]

Generalized hearing Hearing group range *

Low-frequency (LF) cetaceans (baleen whales) ...... 7 Hz to 35 kHz. Mid-frequency (MF) cetaceans (dolphins, toothed whales, beaked whales, bottlenose whales) ...... 150 Hz to 160 kHz. High-frequency (HF) cetaceans (true porpoises, Kogia, river dolphins, cephalorhynchid, Lagenorhynchus cruciger & L. 275 Hz to 160 kHz. australis). Phocid pinnipeds (PW) (underwater) (true seals) ...... 50 Hz to 86 kHz. Otariid pinnipeds (OW) (underwater) (sea lions and fur seals) ...... 60 Hz to 39 kHz. * Represents the generalized hearing range for the entire group as a composite (i.e., all species within the group), where individual species’ hearing ranges are typically not as broad. Generalized hearing range chosen based on ∼65 dB threshold from normalized composite audiogram, with the exception for lower limits for LF cetaceans (Southall et al. 2007) and PW pinniped (approximation).

The pinniped functional hearing effects of underwater noise from the level is the SPL at the listener’s position group was modified from Southall et al. City’s proposed activities have the (referenced to 1 mPa). (2007) on the basis of data indicating potential to result in Level B behavioral Root mean square (rms) is the that phocid species have consistently harassment of marine mammals in the quadratic mean sound pressure over the demonstrated an extended frequency vicinity of the action area. duration of an impulse. Root mean range of hearing compared to otariids, Description of Sound Sources square is calculated by squaring all of especially in the higher frequency range the sound amplitudes, averaging the (Hemila¨ et al., 2006; Kastelein et al., This section contains a brief technical squares, and then taking the square root 2009; Reichmuth and Holt, 2013). background on sound, on the of the average (Urick, 1983). Root mean For more detail concerning these characteristics of certain sound types, square accounts for both positive and groups and associated frequency ranges, and on metrics used in this proposal negative values; squaring the pressures please see NMFS (2018) for a review of inasmuch as the information is relevant makes all values positive so that they available information. Nine marine to the specified activity and to a may be accounted for in the summation mammal species (seven cetacean and discussion of the potential effects of the of pressure levels (Hastings and Popper, two pinniped (one otariid and one specified activity on marine mammals 2005). This measurement is often used phocid) species) have the reasonable found later in this document. For in the context of discussing behavioral potential to occur during the proposed general information on sound and its effects, in part because behavioral activities. Please refer to Table 2. Of the interaction with the marine effects, which often result from auditory cetacean species that may be present, environment, please see, e.g., Au and cues, may be better expressed through three are classified as low-frequency Hastings (2008); Richardson et al. averaged units than by peak pressures. cetaceans (i.e., all mysticete species), (1995); Urick (1983). Sound exposure level (SEL; two are classified as mid-frequency Sound travels in waves, the basic represented as dB re 1 mPa2-s) represents cetaceans (i.e., all delphinid species), components of which are frequency, the total energy in a stated frequency and two are classified as high-frequency wavelength, velocity, and amplitude. band over a stated time interval or cetaceans (i.e., harbor porpoise and Frequency is the number of pressure event, and considers both intensity and Dall’s porpoise). waves that pass by a reference point per duration of exposure. The per-pulse SEL is calculated over the time window Potential Effects of Specified Activities unit of time and is measured in hertz containing the entire pulse (i.e., 100 on Marine Mammals and Their Habitat (Hz) or cycles per second. Wavelength is the distance between two peaks or percent of the acoustic energy). SEL is This section includes a summary and corresponding points of a sound wave a cumulative metric; it can be discussion of the ways that components (length of one cycle). Higher frequency accumulated over a single pulse, or of the specified activity may impact sounds have shorter wavelengths than calculated over periods containing marine mammals and their habitat. The lower frequency sounds, and typically multiple pulses. Cumulative SEL Estimated Take section later in this attenuate (decrease) more rapidly, represents the total energy accumulated document includes a quantitative except in certain cases in shallower by a receiver over a defined time analysis of the number of individuals water. Amplitude is the height of the window or during an event. Peak sound that are expected to be taken by this sound pressure wave or the ‘‘loudness’’ pressure (also referred to as zero-to-peak activity. The Negligible Impact Analysis of a sound and is typically described sound pressure or 0-pk) is the maximum and Determination section considers the using the relative unit of the decibel instantaneous sound pressure content of this section, the Estimated (dB). A sound pressure level (SPL) in dB measurable in the water at a specified Take section, and the Proposed is described as the ratio between a distance from the source, and is Mitigation section, to draw conclusions measured pressure and a reference represented in the same units as the rms regarding the likely impacts of these pressure (for underwater sound, this is sound pressure. activities on the reproductive success or 1 microPascal (mPa)), and is a When underwater objects vibrate or survivorship of individuals and how logarithmic unit that accounts for large activity occurs, sound-pressure waves those impacts on individuals are likely variations in amplitude; therefore, a are created. These waves alternately to impact marine mammal species or relatively small change in dB compress and decompress the water as stocks. corresponds to large changes in sound the sound wave travels. Underwater Acoustic effects on marine mammals pressure. The source level (SL) sound waves radiate in a manner similar during the specified activity can occur represents the SPL referenced at a to ripples on the surface of a pond and from vibratory and impact pile driving distance of 1 m from the source may be either directed in a beam or as well as during DTH of the piles. The (referenced to 1 mPa), while the received beams or may radiate in all directions

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(omnidirectional sources), as is the case sound levels can be expected to vary The impulsive sound generated by for sound produced by the pile driving widely over both coarse and fine spatial impact hammers is characterized by activity considered here. The and temporal scales. Sound levels at a rapid rise times and high peak levels. compressions and decompressions given frequency and location can vary Vibratory hammers produce non- associated with sound waves are by 10–20 decibels (dB) from day to day impulsive, continuous noise at levels detected as changes in pressure by (Richardson et al., 1995). The result is significantly lower than those produced aquatic life and man-made sound that, depending on the source type and by impact hammers. Rise time is slower, receptors such as hydrophones. its intensity, sound from the specified reducing the probability and severity of Even in the absence of sound from the activity may be a negligible addition to injury, and sound energy is distributed specified activity, the underwater the local environment or could form a over a greater amount of time (e.g., environment is typically loud due to distinctive signal that may affect marine Nedwell and Edwards, 2002; Carlson et ambient sound, which is defined as mammals. al., 2005). DTH is believed to produce environmental background sound levels Sounds are often considered to fall sound with both impulsive and lacking a single source or point into one of two general types: Pulsed continuous characteristics (e.g., Denes et (Richardson et al., 1995). The sound and non-pulsed (defined in the al., 2016). level of a region is defined by the total following). The distinction between Acoustic Effects on Marine Mammals acoustical energy being generated by these two sound types is important known and unknown sources. These because they have differing potential to We previously provided general sources may include physical (e.g., cause physical effects, particularly with background information on marine wind and waves, earthquakes, ice, regard to hearing (e.g., Ward, 1997 in mammal hearing (see Description of atmospheric sound), biological (e.g., Southall et al., 2007). Please see Marine Mammals in the Area of Specified Activities). Here, we discuss sounds produced by marine mammals, Southall et al. (2007) for an in-depth the potential effects of sound on marine fish, and invertebrates), and discussion of these concepts. The mammals. anthropogenic (e.g., vessels, dredging, distinction between these two sound construction) sound. A number of Note that, in the following discussion, types is not always obvious, as certain we refer in many cases to a review sources contribute to ambient sound, signals share properties of both pulsed including wind and waves, which are a article concerning studies of noise- and non-pulsed sounds. A signal near a induced hearing loss conducted from main source of naturally occurring source could be categorized as a pulse, ambient sound for frequencies between 1996–2015 (i.e., Finneran, 2015). For but due to propagation effects as it study-specific citations, please see that 200 Hz and 50 kilohertz (kHz) (Mitson, moves farther from the source, the 1995). In general, ambient sound levels work. Anthropogenic sounds cover a signal duration becomes longer (e.g., broad range of frequencies and sound tend to increase with increasing wind Greene and Richardson, 1988). speed and wave height. Precipitation levels and can have a range of highly Pulsed sound sources (e.g., airguns, can become an important component of variable impacts on marine life, from explosions, gunshots, sonic booms, total sound at frequencies above 500 Hz, none or minor to potentially severe and possibly down to 100 Hz during impact pile driving) produce signals responses, depending on received quiet times. Marine mammals can that are brief (typically considered to be levels, duration of exposure, behavioral contribute significantly to ambient less than one second), broadband, atonal context, and various other factors. The sound levels, as can some fish and transients (ANSI, 1986, 2005; Harris, potential effects of underwater sound snapping shrimp. The frequency band 1998; NIOSH, 1998; ISO, 2003) and from active acoustic sources can for biological contributions is from occur either as isolated events or potentially result in one or more of the approximately 12 Hz to over 100 kHz. repeated in some succession. Pulsed following: Temporary or permanent Sources of ambient sound related to sounds are all characterized by a hearing impairment, non-auditory human activity include transportation relatively rapid rise from ambient physical or physiological effects, (surface vessels), dredging and pressure to a maximal pressure value behavioral disturbance, stress, and construction, oil and gas drilling and followed by a rapid decay period that masking (Richardson et al., 1995; production, geophysical surveys, sonar, may include a period of diminishing, Gordon et al., 2004; Nowacek et al., and explosions. Vessel noise typically oscillating maximal and minimal 2007; Southall et al., 2007; Go¨tz et al., dominates the total ambient sound for pressures, and generally have an 2009). The degree of effect is frequencies between 20 and 300 Hz. In increased capacity to induce physical intrinsically related to the signal general, the frequencies of injury as compared with sounds that characteristics, received level, distance anthropogenic sounds are below 1 kHz lack these features. from the source, and duration of the and, if higher frequency sound levels Non-pulsed sounds can be tonal, sound exposure. In general, sudden, are created, they attenuate rapidly. narrowband, or broadband, brief or high level sounds can cause hearing The sum of the various natural and prolonged, and may be either loss, as can longer exposures to lower anthropogenic sound sources that continuous or intermittent (ANSI, 1995; level sounds. Temporary or permanent comprise ambient sound at any given NIOSH, 1998). Some of these non- loss of hearing will occur almost location and time depends not only on pulsed sounds can be transient signals exclusively for noise within an animal’s the source levels (as determined by of short duration but without the hearing range. We first describe specific current weather conditions and levels of essential properties of pulses (e.g., rapid manifestations of acoustic effects before biological and human activity) but also rise time). Examples of non-pulsed providing discussion specific to pile on the ability of sound to propagate sounds include those produced by driving and removal activities. through the environment. In turn, sound vessels, aircraft, machinery operations Richardson et al. (1995) described propagation is dependent on the such as drilling or dredging, vibratory zones of increasing intensity of effect spatially and temporally varying pile driving, and active sonar systems. that might be expected to occur, in properties of the water column and sea The duration of such sounds, as relation to distance from a source and floor, and is frequency-dependent. As a received at a distance, can be greatly assuming that the signal is within an result of the dependence on a large extended in a highly reverberant animal’s hearing range. First is the area number of varying factors, ambient environment. within which the acoustic signal would

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be audible (potentially perceived) to the in specific frequency ranges (Kryter, may be able to readily compensate for animal but not strong enough to elicit 1985). a brief, relatively small amount of TTS any overt behavioral or physiological When PTS occurs, there is physical in a non-critical frequency range that response. The next zone corresponds damage to the sound receptors in the ear occurs during a time where ambient with the area where the signal is audible (i.e., tissue damage), whereas TTS noise is lower and there are not as many to the animal and of sufficient intensity represents primarily tissue fatigue and competing sounds present. to elicit behavioral or physiological is reversible (Southall et al., 2007). In Alternatively, a larger amount and responsiveness. Third is a zone within addition, other investigators have longer duration of TTS sustained during which, for signals of high intensity, the suggested that TTS is within the normal time when communication is critical for received level is sufficient to potentially bounds of physiological variability and successful mother/calf interactions cause discomfort or tissue damage to tolerance and does not represent could have more serious impacts. auditory or other systems. Overlaying physical injury (e.g., Ward, 1997). Currently, TTS data only exist for four these zones to a certain extent is the Therefore, NMFS does not consider TTS species of cetaceans (bottlenose dolphin area within which masking (i.e., when a to constitute auditory injury. (Tursiops truncatus), beluga whale sound interferes with or masks the Relationships between TTS and PTS (Delphinapterus leucas), harbor ability of an animal to detect a signal of thresholds have not been studied in porpoise, and Yangtze finless porpoise interest that is above the absolute marine mammals, and there is no PTS (Neophocoena asiaeorientalis)) and hearing threshold) may occur; the data for cetaceans, but such three species of pinnipeds (northern masking zone may be highly variable in relationships are assumed to be similar elephant seal, harbor seal, and size. to those in humans and other terrestrial California sea lion) exposed to a limited We describe the more severe effects mammals. PTS typically occurs at number of sound sources (i.e., mostly (i.e., certain non-auditory physical or exposure levels at least several decibels tones and octave-band noise) in physiological effects) only briefly as we above (a 40-dB threshold shift laboratory settings (Finneran, 2015). do not expect that there is a reasonable approximates PTS onset; e.g., Kryter et TTS was not observed in trained spotted likelihood that pile driving may result al., 1966; Miller, 1974) that inducing (Phoca largha) and ringed (Pusa in such effects (see below for further mild TTS (a 6-dB threshold shift hispida) seals exposed to impulsive discussion). Potential effects from approximates TTS onset; e.g., Southall noise at levels matching previous explosive impulsive sound sources can et al. 2007). Based on data from predictions of TTS onset (Reichmuth et range in severity from effects such as terrestrial mammals, a precautionary al., 2016). In general, harbor seals and behavioral disturbance or tactile assumption is that the PTS thresholds harbor porpoises have a lower TTS perception to physical discomfort, slight for impulse sounds (such as impact pile onset than other measured pinniped or injury of the internal organs and the driving pulses as received close to the cetacean species (Finneran, 2015). auditory system, or mortality (Yelverton source) are at least 6 dB higher than the Additionally, the existing marine et al., 1973). Non-auditory physiological TTS threshold on a peak-pressure basis mammal TTS data come from a limited effects or injuries that theoretically and PTS cumulative sound exposure number of individuals within these might occur in marine mammals level thresholds are 15 to 20 dB higher species. There are no data available on exposed to high level underwater sound than TTS cumulative sound exposure noise-induced hearing loss for or as a secondary effect of extreme level thresholds (Southall et al., 2007). mysticetes. For summaries of data on behavioral reactions (e.g., change in Given the higher level of sound or TTS in marine mammals or for further dive profile as a result of an avoidance longer exposure duration necessary to discussion of TTS onset thresholds, reaction) caused by exposure to sound cause PTS as compared with TTS, it is please see Southall et al. (2007), include neurological effects, bubble considerably less likely that PTS could Finneran and Jenkins (2012), Finneran formation, resonance effects, and other occur. (2015), and NMFS (2018). types of organ or tissue damage (Cox et TTS is the mildest form of hearing Behavioral Effects—Behavioral al., 2006; Southall et al., 2007; Zimmer impairment that can occur during disturbance may include a variety of and Tyack, 2007; Tal et al., 2015). The exposure to sound (Kryter, 1985). While effects, including subtle changes in construction activities considered here experiencing TTS, the hearing threshold behavior (e.g., minor or brief avoidance do not involve the use of devices such rises, and a sound must be at a higher of an area or changes in vocalizations), as explosives or mid-frequency tactical level in order to be heard. In terrestrial more conspicuous changes in similar sonar that are associated with these and marine mammals, TTS can last from behavioral activities, and more types of effects. minutes or hours to days (in cases of sustained and/or potentially severe Threshold Shift—Marine mammals strong TTS). In many cases, hearing reactions, such as displacement from or exposed to high-intensity sound, or to sensitivity recovers rapidly after abandonment of high-quality habitat. lower-intensity sound for prolonged exposure to the sound ends. Few data Behavioral responses to sound are periods, can experience hearing on sound levels and durations necessary highly variable and context-specific and threshold shift (TS), which is the loss of to elicit mild TTS have been obtained any reactions depend on numerous hearing sensitivity at certain frequency for marine mammals. intrinsic and extrinsic factors (e.g., ranges (Finneran, 2015). TS can be Marine mammal hearing plays a species, state of maturity, experience, permanent (permanent threshold shift critical role in communication with current activity, reproductive state, (PTS)), in which case the loss of hearing conspecifics, and interpretation of auditory sensitivity, time of day), as sensitivity is not fully recoverable, or environmental cues for purposes such well as the interplay between factors temporary (TTS), in which case the as predator avoidance and prey capture. (e.g., Richardson et al., 1995; Wartzok et animal’s hearing threshold would Depending on the degree (elevation of al., 2003; Southall et al., 2007; Weilgart, recover over time (Southall et al., 2007). threshold in dB), duration (i.e., recovery 2007; Archer et al., 2010). Behavioral Repeated sound exposure that leads to time), and frequency range of TTS, and reactions can vary not only among TTS could cause PTS. In severe cases of the context in which it is experienced, individuals but also within an PTS, there can be total or partial TTS can have effects on marine individual, depending on previous deafness, while in most cases the animal mammals ranging from discountable to experience with a sound source, has an impaired ability to hear sounds serious. For example, a marine mammal context, and numerous other factors

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(Ellison et al., 2012), and can vary sound source displaces marine on the species and signal characteristics, depending on characteristics associated mammals from an important feeding or again highlighting the importance in with the sound source (e.g., whether it breeding area for a prolonged period, understanding species differences in the is moving or stationary, number of impacts on individuals and populations tolerance of underwater noise when sources, distance from the source). could be significant (e.g., Lusseau and determining the potential for impacts Please see Appendices B–C of Southall Bejder, 2007; Weilgart, 2007; NRC, resulting from anthropogenic sound et al. (2007) for a review of studies 2005). However, there are broad exposure (e.g., Kastelein et al., 2001, involving marine mammal behavioral categories of potential response, which 2005, 2006; Gailey et al., 2007; Gailey et responses to sound. we describe in greater detail here, that al., 2016). Habituation can occur when an include alteration of dive behavior, Marine mammals vocalize for animal’s response to a stimulus wanes alteration of foraging behavior, effects to different purposes and across multiple with repeated exposure, usually in the breathing, interference with or alteration modes, such as whistling, echolocation absence of unpleasant associated events of vocalization, avoidance, and flight. click production, calling, and singing. (Wartzok et al., 2003). Animals are most Changes in dive behavior can vary Changes in vocalization behavior in likely to habituate to sounds that are widely and may consist of increased or response to anthropogenic noise can predictable and unvarying. It is decreased dive times and surface occur for any of these modes and may important to note that habituation is intervals as well as changes in the rates result from a need to compete with an appropriately considered as a of ascent and descent during a dive (e.g., increase in background noise or may ‘‘progressive reduction in response to Frankel and Clark, 2000; Costa et al., reflect increased vigilance or a startle stimuli that are perceived as neither 2003; Ng and Leung, 2003; Nowacek et response. For example, in the presence aversive nor beneficial,’’ rather than as, al.; 2004; Goldbogen et al., 2013a, of potentially masking signals, more generally, moderation in response 2013b). Variations in dive behavior may humpback whales and killer whales to human disturbance (Bejder et al., reflect interruptions in biologically have been observed to increase the 2009). The opposite process is significant activities (e.g., foraging) or length of their songs (Miller et al., 2000; sensitization, when an unpleasant they may be of little biological Fristrup et al., 2003; Foote et al., 2004), experience leads to subsequent significance. The impact of an alteration while right whales have been observed responses, often in the form of to dive behavior resulting from an to shift the frequency content of their avoidance, at a lower level of exposure. acoustic exposure depends on what the calls upward while reducing the rate of As noted, behavioral state may affect the animal is doing at the time of the calling in areas of increased type of response. For example, animals exposure and the type and magnitude of anthropogenic noise (Parks et al., 2007). that are resting may show greater the response. In some cases, animals may cease sound behavioral change in response to Disruption of feeding behavior can be production during production of disturbing sound levels than animals difficult to correlate with anthropogenic aversive signals (Bowles et al., 1994). that are highly motivated to remain in sound exposure, so it is usually inferred Avoidance is the displacement of an an area for feeding (Richardson et al., by observed displacement from known individual from an area or migration 1995; NRC, 2003; Wartzok et al., 2003). foraging areas, the appearance of path as a result of the presence of a Controlled experiments with captive secondary indicators (e.g., bubble nets sound or other stressors, and is one of marine mammals have showed or sediment plumes), or changes in dive the most obvious manifestations of pronounced behavioral reactions, behavior. As for other types of disturbance in marine mammals including avoidance of loud sound behavioral response, the frequency, (Richardson et al., 1995). For example, sources (Ridgway et al., 1997; Finneran duration, and temporal pattern of signal gray whales are known to change et al., 2003). Observed responses of wild presentation, as well as differences in direction—deflecting from customary marine mammals to loud pulsed sound species sensitivity, are likely migratory paths—in order to avoid noise sources (typically airguns or acoustic contributing factors to differences in from airgun surveys (Malme et al., harassment devices) have been varied response in any given circumstance 1984). Avoidance may be short-term, but often consist of avoidance behavior (e.g., Croll et al., 2001; Nowacek et al.; with animals returning to the area once or other behavioral changes suggesting 2004; Madsen et al., 2006; Yazvenko et the noise has ceased (e.g., Bowles et al., discomfort (Morton and Symonds, 2002; al., 2007). A determination of whether 1994; Goold, 1996; Stone et al., 2000; see also Richardson et al., 1995; foraging disruptions incur fitness Morton and Symonds, 2002; Gailey et Nowacek et al., 2007). However, many consequences would require al., 2007). Longer-term displacement is delphinids approach low-frequency information on or estimates of the possible, however, which may lead to airgun source vessels with no apparent energetic requirements of the affected changes in abundance or distribution discomfort or obvious behavioral change individuals and the relationship patterns of the affected species in the (e.g., Barkaszi et al., 2012), indicating between prey availability, foraging effort affected region if habituation to the the importance of frequency output in and success, and the life history stage of presence of the sound does not occur relation to the species’ hearing the animal. (e.g., Blackwell et al., 2004; Bejder et al., sensitivity. Variations in respiration naturally 2006; Teilmann et al., 2006). Available studies show wide variation vary with different behaviors and A flight response is a dramatic change in response to underwater sound; alterations to breathing rate as a in normal movement to a directed and therefore, it is difficult to predict function of acoustic exposure can be rapid movement away from the specifically how any given sound in a expected to co-occur with other perceived location of a sound source. particular instance might affect marine behavioral reactions, such as a flight The flight response differs from other mammals perceiving the signal. If a response or an alteration in diving. avoidance responses in the intensity of marine mammal does react briefly to an However, respiration rates in and of the response (e.g., directed movement, underwater sound by changing its themselves may be representative of rate of travel). Relatively little behavior or moving a small distance, the annoyance or an acute stress response. information on flight responses of impacts of the change are unlikely to be Various studies have shown that marine mammals to anthropogenic significant to the individual, let alone respiration rates may either be signals exist, although observations of the stock or population. However, if a unaffected or could increase, depending flight responses to the presence of

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predators have occurred (Connor and some combination of behavioral associated with decreased stress in Heithaus, 1996). The result of a flight responses, autonomic nervous system North Atlantic right whales. These and response could range from brief, responses, neuroendocrine responses, or other studies lead to a reasonable temporary exertion and displacement immune responses (e.g., Seyle, 1950; expectation that some marine mammals from the area where the signal provokes Moberg, 2000). In many cases, an will experience physiological stress flight to, in extreme cases, marine animal’s first and sometimes most responses upon exposure to acoustic mammal strandings (Evans and economical (in terms of energetic costs) stressors and that it is possible that England, 2001). However, it should be response is behavioral avoidance of the some of these would be classified as noted that response to a perceived potential stressor. Autonomic nervous ‘‘distress.’’ In addition, any animal predator does not necessarily invoke system responses to stress typically experiencing TTS would likely also flight (Ford and Reeves, 2008), and involve changes in heart rate, blood experience stress responses (NRC, whether individuals are solitary or in pressure, and gastrointestinal activity. 2003). groups may influence the response. These responses have a relatively short Auditory Masking—Sound can Behavioral disturbance can also duration and may or may not have a disrupt behavior through masking, or impact marine mammals in more subtle significant long-term effect on an interfering with, an animal’s ability to ways. Increased vigilance may result in animal’s fitness. detect, recognize, or discriminate costs related to diversion of focus and Neuroendocrine stress responses often between acoustic signals of interest (e.g., attention (i.e., when a response consists involve the hypothalamus-pituitary- those used for intraspecific of increased vigilance, it may come at adrenal system. Virtually all communication and social interactions, the cost of decreased attention to other neuroendocrine functions that are prey detection, predator avoidance, critical behaviors such as foraging or affected by stress—including immune navigation) (Richardson et al., 1995; resting). These effects have generally not competence, reproduction, metabolism, Erbe et al., 2016). Masking occurs when been demonstrated for marine and behavior—are regulated by pituitary the receipt of a sound is interfered with mammals, but studies involving fish hormones. Stress-induced changes in by another coincident sound at similar and terrestrial animals have shown that the secretion of pituitary hormones have frequencies and at similar or higher increased vigilance may substantially been implicated in failed reproduction, intensity, and may occur whether the reduce feeding rates (e.g., Beauchamp altered metabolism, reduced immune sound is natural (e.g., snapping shrimp, and Livoreil, 1997; Fritz et al., 2002; competence, and behavioral disturbance wind, waves, precipitation) or Purser and Radford, 2011). In addition, (e.g., Moberg, 1987; Blecha, 2000). anthropogenic (e.g., shipping, sonar, chronic disturbance can cause Increases in the circulation of seismic exploration) in origin. The population declines through reduction glucocorticoids are also equated with ability of a noise source to mask of fitness (e.g., decline in body stress (Romano et al., 2004). biologically important sounds depends condition) and subsequent reduction in The primary distinction between on the characteristics of both the noise reproductive success, survival, or both stress (which is adaptive and does not source and the signal of interest (e.g., (e.g., Harrington and Veitch, 1992; Daan normally place an animal at risk) and signal-to-noise ratio, temporal et al., 1996; Bradshaw et al., 1998). ‘‘distress’’ is the cost of the response. variability, direction), in relation to each However, Ridgway et al. (2006) reported During a stress response, an animal uses other and to an animal’s hearing that increased vigilance in bottlenose glycogen stores that can be quickly abilities (e.g., sensitivity, frequency dolphins exposed to sound over a five- replenished once the stress is alleviated. range, critical ratios, frequency day period did not cause any sleep In such circumstances, the cost of the discrimination, directional deprivation or stress effects. stress response would not pose serious discrimination, age or TTS hearing loss), Many animals perform vital functions, fitness consequences. However, when and existing ambient noise and such as feeding, resting, traveling, and an animal does not have sufficient propagation conditions. socializing, on a diel cycle (24-hour energy reserves to satisfy the energetic Under certain circumstances, marine cycle). Disruption of such functions costs of a stress response, energy mammals experiencing significant resulting from reactions to stressors resources must be diverted from other masking could also be impaired from such as sound exposure are more likely functions. This state of distress will last maximizing their performance fitness in to be significant if they last more than until the animal replenishes its survival and reproduction. Therefore, one diel cycle or recur on subsequent energetic reserves sufficient to restore when the coincident (masking) sound is days (Southall et al., 2007). normal function. man-made, it may be considered Consequently, a behavioral response Relationships between these harassment when disrupting or altering lasting less than one day and not physiological mechanisms, animal critical behaviors. It is important to recurring on subsequent days is not behavior, and the costs of stress distinguish TTS and PTS, which persist considered particularly severe unless it responses are well-studied through after the sound exposure, from masking, could directly affect reproduction or controlled experiments and for both which occurs during the sound survival (Southall et al., 2007). Note that laboratory and free-ranging animals exposure. Because masking (without there is a difference between multi-day (e.g., Holberton et al., 1996; Hood et al., resulting in TS) is not associated with substantive behavioral reactions and 1998; Jessop et al., 2003; Krausman et abnormal physiological function, it is multi-day anthropogenic activities. For al., 2004; Lankford et al., 2005). Stress not considered a physiological effect, example, just because an activity lasts responses due to exposure to but rather a potential behavioral effect. for multiple days does not necessarily anthropogenic sounds or other stressors The frequency range of the potentially mean that individual animals are either and their effects on marine mammals masking sound is important in exposed to activity-related stressors for have also been reviewed (Fair and determining any potential behavioral multiple days or, further, exposed in a Becker, 2000; Romano et al., 2002b) impacts. For example, low-frequency manner resulting in sustained multi-day and, more rarely, studied in wild signals may have less effect on high- substantive behavioral responses. populations (e.g., Romano et al., 2002a). frequency echolocation sounds Stress Responses—An animal’s For example, Rolland et al. (2012) found produced by odontocetes but are more perception of a threat may be sufficient that noise reduction from reduced ship likely to affect detection of mysticete to trigger stress responses consisting of traffic in the Bay of Fundy was communication calls and other

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potentially important natural sounds reduced/increased vocal activities; discussed previously. The most likely such as those produced by surf and changing/cessation of certain behavioral impact to marine mammal habitat some prey species. The masking of activities (such as socializing or occurs from pile driving effects on likely communication signals by feeding); visible startle response or marine mammal prey (i.e., fish) near anthropogenic noise may be considered aggressive behavior (such as tail/fluke where the piles are installed. Impacts to as a reduction in the communication slapping or jaw clapping); avoidance of the immediate substrate during space of animals (e.g., Clark et al., 2009) areas where sound sources are located; installation and removal of piles are and may result in energetic or other and/or flight responses. anticipated, but these would be limited costs as animals change their The biological significance of many of to minor, temporary suspension of vocalization behavior (e.g., Miller et al., these behavioral disturbances is difficult sediments, which could impact water 2000; Foote et al., 2004; Parks et al., to predict, especially if the detected quality and visibility for a short amount 2007; Di Iorio and Clark, 2009; Holt et disturbances appear minor. However, of time, but which would not be al., 2009). Masking can be reduced in the consequences of behavioral expected to have any effects on situations where the signal and noise modification could be expected to be individual marine mammals. Impacts to come from different directions biologically significant if the change substrate are therefore not discussed (Richardson et al., 1995), through affects growth, survival, or further. amplitude modulation of the signal, or reproduction. Significant behavioral Effects to Prey—Sound may affect through other compensatory behaviors modifications that could lead to effects marine mammals through impacts on (Houser and Moore, 2014). Masking can on growth, survival, or reproduction, the abundance, behavior, or distribution be tested directly in captive species such as drastic changes in diving/ of prey species (e.g., crustaceans, (e.g., Erbe, 2008), but in wild surfacing patterns or significant habitat cephalopods, fish, zooplankton). Marine populations it must be either modeled abandonment are extremely unlikely in mammal prey varies by species, season, or inferred from evidence of masking this area (i.e., shallow waters in and location and, for some, is not well compensation. There are few studies modified industrial areas). documented. Here, we describe studies addressing real-world masking sounds Whether impact or vibratory driving, regarding the effects of noise on known likely to be experienced by marine sound sources would be active for marine mammal prey. mammals in the wild (e.g., Branstetter et relatively short durations, with relation Fish utilize the soundscape and al., 2013). to potential for masking. The components of sound in their Masking affects both senders and frequencies output by pile driving environment to perform important receivers of acoustic signals and can activity are lower than those used by functions such as foraging, predator potentially have long-term chronic most species expected to be regularly avoidance, mating, and spawning (e.g., effects on marine mammals at the present for communication or foraging. Zelick et al., 1999; Fay, 2009). population level as well as at the We expect insignificant impacts from Depending on their hearing anatomy individual level. Low-frequency masking, and any masking event that and peripheral sensory structures, ambient sound levels have increased by could possibly rise to Level B which vary among species, fishes hear as much as 20 dB (more than three times harassment under the MMPA would sounds using pressure and particle in terms of SPL) in the world’s ocean occur concurrently within the zones of motion sensitivity capabilities and from pre-industrial periods, with most behavioral harassment already detect the motion of surrounding water of the increase from distant commercial estimated for vibratory and impact pile (Fay et al., 2008). The potential effects shipping (Hildebrand, 2009). All driving, and which have already been of noise on fishes depends on the anthropogenic sound sources, but taken into account in the exposure overlapping frequency range, distance especially chronic and lower-frequency analysis. from the sound source, water depth of exposure, and species-specific hearing signals (e.g., from vessel traffic), Anticipated Effects on Marine Mammal contribute to elevated ambient sound sensitivity, anatomy, and physiology. Habitat levels, thus intensifying masking. Key impacts to fishes may include Potential Effects of the City’s The proposed activities would not behavioral responses, hearing damage, Activity—As described previously, the result in permanent impacts to habitats barotrauma (pressure-related injuries), City proposes to conduct pile driving, used directly by marine mammals. The and mortality. including impact and vibratory driving project location is within an area that is Fish react to sounds which are (inclusive of DTH). The effects of pile currently used by large shipping vessels especially strong and/or intermittent driving on marine mammals are and in between two existing, heavily- low-frequency sounds, and behavioral dependent on several factors, including traveled docks, and within an active responses such as flight or avoidance the size, type, and depth of the animal; marine commercial and tourist area. are the most likely effects. Short the depth, intensity, and duration of the The proposed activities may have duration, sharp sounds can cause overt pile driving sound; the depth of the potential short-term impacts to food or subtle changes in fish behavior and water column; the substrate of the sources such as forage fish. The local distribution. The reaction of fish to habitat; the standoff distance between proposed activities could also affect noise depends on the physiological state the pile and the animal; and the sound acoustic habitat (see masking discussion of the fish, past exposures, motivation propagation properties of the above), but meaningful impacts are (e.g., feeding, spawning, migration), and environment. With both types, it is unlikely. There are no known foraging other environmental factors. Hastings likely that the pile driving could result hotspots, or other ocean bottom and Popper (2005) identified several in temporary, short term changes in an structures of significant biological studies that suggest fish may relocate to animal’s typical behavioral patterns importance to marine mammals present avoid certain areas of sound energy. and/or avoidance of the affected area. in the marine waters in the vicinity of Additional studies have documented These behavioral changes may include the project area. Therefore, the main effects of pile driving on fish, although (Richardson et al., 1995): Changing impact issue associated with the several are based on studies in support durations of surfacing and dives, proposed activity would be temporarily of large, multiyear bridge construction number of blows per surfacing, or elevated sound levels and the associated projects (e.g., Scholik and Yan, 2001, moving direction and/or speed; direct effects on marine mammals, as 2002; Popper and Hastings, 2009).

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Several studies have demonstrated that tshawytscha). No habitat areas of volume of water that will be ensonified impulse sounds might affect the particular concern or EFH areas above these levels in a day; (3) the distribution and behavior of some protected from fishing are identified density or occurrence of marine fishes, potentially impacting foraging near the project area (NMFS 2020h). The mammals within these ensonified areas; opportunities or increasing energetic closest documented anadromous fish and, (4) and the number of days of costs (e.g., Fewtrell and McCauley, steams to the project area are Halibut activities. We note that while these 2012; Pearson et al., 1992; Skalski et al., Creek (AWC: 114–34–10200) basic factors can contribute to a basic 1992; Santulli et al., 1999; Paxton et al., approximately 5,100 m north west of the calculation to provide an initial 2017). However, some studies have proposed project site and Humpback prediction of takes, additional shown no or slight reaction to impulse Creek (AWC: 114–34–10100) is information that can qualitatively sounds (e.g., Pena et al., 2013; Wardle approximately 7,600 m southwest of the inform take estimates is also sometimes et al., 2001; Jorgenson and Gyselman, proposed project site (ADF&G 2020a). available (e.g., previous monitoring 2009; Cott et al., 2012). More The area impacted by the project is results or average group size). Below, we commonly, though, the impacts of noise relatively small compared to the describe the factors considered here in on fish are temporary. available habitat in Port Frederick Inlet more detail and present the proposed SPLs of sufficient strength have been and does not include habitat of take estimate. known to cause injury to fish and fish particular importance relative to mortality. However, in most fish available habitat overall. Any behavioral Acoustic Thresholds species, hair cells in the ear avoidance by fish of the disturbed area Using the best available science, continuously regenerate and loss of would still leave significantly large NMFS has developed acoustic auditory function likely is restored areas of fish and marine mammal thresholds that identify the received when damaged cells are replaced with foraging habitat in the nearby vicinity. level of underwater sound above which new cells. Halvorsen et al. (2012a) As described in the preceding, the exposed marine mammals would be showed that a TTS of 4–6 dB was potential for the City’s construction to reasonably expected to be behaviorally recoverable within 24 hours for one affect the availability of prey to marine harassed (equated to Level B species. Impacts would be most severe mammals or to meaningfully impact the harassment) or to incur PTS of some when the individual fish is close to the quality of physical or acoustic habitat is degree (equated to Level A harassment). source and when the duration of considered to be insignificant. Effects to Level B Harassment—Though exposure is long. Injury caused by habitat will not be discussed further in significantly driven by received level, barotrauma can range from slight to this document. the onset of behavioral disturbance from severe and can cause death, and is most anthropogenic noise exposure is also Estimated Take likely for fish with swim bladders. informed to varying degrees by other Barotrauma injuries have been This section provides an estimate of factors related to the source (e.g., documented during controlled exposure the number of incidental takes proposed frequency, predictability, duty cycle), to impact pile driving (Halvorsen et al., for authorization through this IHA, the environment (e.g., bathymetry), and 2012b; Casper et al., 2013). which will inform both NMFS’ the receiving animals (hearing, The action area supports marine consideration of ‘‘small numbers’’ and motivation, experience, demography, habitat for prey species including large the negligible impact determination. behavioral context) and can be difficult populations of anadromous fish Except with respect to certain to predict (Southall et al., 2007, Ellison including Pacific salmon (five species), activities not pertinent here, section et al., 2012). Based on what the Cutthroat (Oncorhynchus clarkia) and 3(18) of the MMPA defines available science indicates and the Steelhead Trout (O. mykiss irideus), and ‘‘harassment’’ as any act of pursuit, practical need to use a threshold based Dolly Varden and other species of torment, or annoyance, which (i) has the on a factor that is both predictable and marine fish such as halibut, Northern potential to injure a marine mammal or measurable for most activities, NMFS Rock Sole (Lepidopsetta polyxystra), marine mammal stock in the wild (Level uses a generalized acoustic threshold sculpins, Pacific Cod (Gadus A harassment); or (ii) has the potential based on received level to estimate the macrocephalus), herring, and Eulachon to disturb a marine mammal or marine onset of behavioral harassment. NMFS (Thaleichthys pacificus) (NMFS 2020i). mammal stock in the wild by causing predicts that marine mammals are likely The most likely impact to fish from pile disruption of behavioral patterns, to be behaviorally harassed in a manner driving activities at the project areas including, but not limited to, migration, we consider Level B harassment when would be temporary behavioral breathing, nursing, breeding, feeding, or exposed to underwater anthropogenic avoidance of the area. The duration of sheltering (Level B harassment). noise above received levels of 120 dB re fish avoidance of an area after pile Take of marine mammals incidental 1 mPa (rms) for continuous (e.g., driving stops is unknown, but a rapid to the City’s pile driving and removal vibratory pile driving and DTH) and return to normal recruitment, activities (as well as during DTH) could above 160 dB re 1 mPa (rms) for distribution and behavior is anticipated. occur as a result of Level A and Level impulsive sources (e.g., impact pile In general, impacts to marine mammal B harassment. Below we describe how driving). The City’s proposed activity prey species are expected to be minor the potential take is estimated. As includes the use of continuous and temporary due to the expected short described previously, no mortality is (vibratory pile driving, DTH) and daily duration of individual pile driving anticipated or proposed to be authorized impulsive (impact pile driving) sources, events and the relatively small areas for this activity. Below we describe how and therefore the 120 and 160 dB re 1 being affected. the take is estimated. mPa (rms) are applicable. The following essential fish habitat Generally speaking, we estimate take Level A harassment—NMFS’ (EFH) species may occur in the project by considering: (1) Acoustic thresholds Technical Guidance for Assessing the area during at least one phase of their above which NMFS believes the best Effects of Anthropogenic Sound on lifestage: Chum Salmon (Oncorhynchus available science indicates marine Marine Mammal Hearing (Version 2.0) keta), Pink Salmon (O. gorbuscha), Coho mammals will be behaviorally harassed (Technical Guidance, 2018) identifies Salmon (O. kisutch), Sockeye Salmon or incur some degree of permanent dual criteria to assess auditory injury (O. nerka), and Chinook Salmon (O. hearing impairment; (2) the area or (Level A harassment) to five different

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marine mammal groups (based on mammals hear and use sound in the impulsive noise source. However, Denes hearing sensitivity) as a result of same manner. et al. (2019) concluded from a study exposure to noise. The technical These thresholds were developed by conducted in Virginia, nearby the guidance identifies the received levels, compiling and synthesizing the best location for this project, that DTH or thresholds, above which individual available science, and are provided in should be characterized as impulsive marine mammals are predicted to Table 4 below. The references, analysis, based on Southall et al. (2007), who experience changes in their hearing and methodology used in the stated that signals with a >3 dB sensitivity for all underwater development of the thresholds are difference in sound pressure level in a anthropogenic sound sources, and described in NMFS 2018 Technical 0.035-second window compared to a 1- reflects the best available science on the Guidance, which may be accessed at second window can be considered https://www.fisheries.noaa.gov/ potential for noise to affect auditory impulsive. Therefore, DTH pile national/marine-mammal-protection/ sensitivity by: installation is treated as both an marine-mammal-acoustic-technical- D Dividing sound sources into two impulsive and non-impulsive noise groups (i.e., impulsive and non- guidance. The City’s proposed activities source. In order to evaluate Level A impulsive) based on their potential to includes the use of continuous non- harassment, DTH pile installation affect hearing sensitivity; impulsive (vibratory pile driving, DTH) activities are evaluated according to the D Choosing metrics that best address and impulsive (impact pile driving, impulsive criteria and using 160 dB the impacts of noise on hearing DTH) sources, and therefore the 120 and rms. Level B harassment isopleths are sensitivity, i.e., sound pressure level 160 dB re 1 mPa (rms) criteria are determined by applying non-impulsive (peak SPL) and sound exposure level applicable. DTH pile installation criteria and using the 120 dB rms (SEL) (also accounts for duration of includes drilling (non-impulsive sound) threshold which is also used for exposure); and and hammering (impulsive sound) to vibratory driving. This approach D Dividing marine mammals into penetrate rocky substrates (Denes et al. ensures that the largest ranges to effect hearing groups and developing auditory 2016; Denes et al. 2019; Reyff and for both Level A and Level B harassment weighting functions based on the Heyvaert 2019). DTH pile installation are accounted for in the take estimation science supporting that not all marine was initially thought be a primarily non- process.

TABLE 4—THRESHOLDS IDENTIFYING THE ONSET OF PERMANENT THRESHOLD SHIFT [Auditory injury]

PTS onset acoustic thresholds * Hearing group (received level) Impulsive Non-impulsive

Low-Frequency (LF) Cetaceans ...... Cell 1: Lpk,flat: 219 dB; LE,LF,24h: 183 dB ...... Cell 2: LE,LF,24h: 199 dB. Mid-Frequency (MF) Cetaceans ...... Cell 3: Lpk,flat: 230 dB; LE,MF,24h: 185 dB ...... Cell 4: LE,MF,24h: 198 dB. High-Frequency (HF) Cetaceans ...... Cell 5: Lpk,flat: 202 dB; LE,HF,24h: 155 dB ...... Cell 6: LE,HF,24h: 173 dB. Phocid Pinnipeds (PW) (Underwater) ...... Cell 7: Lpk,flat: 218 dB; LE,PW,24h: 185 dB ...... Cell 8: LE,PW,24h: 201 dB. Otariid Pinnipeds (OW) (Underwater) ...... Cell 9: Lpk,flat: 232 dB; LE,OW,24h: 203 dB ...... Cell 10: LE,OW,24h: 219 dB. * Dual metric acoustic thresholds for impulsive sounds: Use whichever results in the largest isopleth for calculating PTS onset. If a non-impulsive sound has the potential of exceeding the peak sound pressure level thresholds associated with impulsive sounds, these thresholds should also be considered. 2 Note: Peak sound pressure (Lpk) has a reference value of 1 μPa, and cumulative sound exposure level (LE) has a reference value of 1μPa s. In this Table, thresholds are abbreviated to reflect American National Standards Institute standards (ANSI 2013). However, peak sound pressure is defined by ANSI as incorporating frequency weighting, which is not the intent for this Technical Guidance. Hence, the subscript ‘‘flat’’ is being included to indicate peak sound pressure should be flat weighted or unweighted within the generalized hearing range. The subscript associated with cumulative sound exposure level thresholds indicates the designated marine mammal auditory weighting function (LF, MF, and HF cetaceans, and PW and OW pinnipeds) and that the recommended accumulation period is 24 hours. The cumulative sound exposure level thresholds could be exceeded in a multitude of ways (i.e., varying exposure levels and durations, duty cycle). When possible, it is valuable for action proponents to indicate the conditions under which these acoustic thresholds will be exceeded.

Ensonified Area The general formula for underwater TL absence of reflective or absorptive is: conditions including in-water structures Here, we describe operational and and sediments. Spherical spreading environmental parameters of the activity TL = B * log10(R1/R2), occurs in a perfectly unobstructed (free- that will feed into identifying the area where: field) environment not limited by depth ensonified above the acoustic B = transmission loss coefficient (assumed to thresholds, which include source levels be 15) or water surface, resulting in a 6 dB reduction in sound level for each and transmission loss coefficient. R1 = the distance of the modeled SPL from the driven pile, and doubling of distance from the source Sound Propagation R2 = the distance from the driven pile of the (20*log(range)). Cylindrical spreading initial measurement. Transmission loss (TL) is the decrease occurs in an environment in which in acoustic intensity as an acoustic This formula neglects loss due to sound propagation is bounded by the pressure wave propagates out from a scattering and absorption, which is water surface and sea bottom, resulting source. TL parameters vary with assumed to be zero here. The degree to in a reduction of 3 dB in sound level for frequency, temperature, sea conditions, which underwater sound propagates each doubling of distance from the current, source and receiver depth, away from a sound source is dependent source (10*log(range)). As is common water depth, water chemistry, and on a variety of factors, most notably the practice in coastal waters, here we bottom composition and topography. water bathymetry and presence or assume practical spreading loss (4.5 dB

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reduction in sound level for each Sound Source Levels pile driving projects in Alaska (e.g., doubling of distance). Practical JASCO Reports—Denes et al., 2016 and spreading is a compromise that is often The intensity of pile driving sounds is Austin et al., 2016) that were evaluated used under conditions where water greatly influenced by factors such as the and used as proxy sound source levels depth increases as the receiver moves type of piles, hammers, and the physical to determine reasonable sound source away from the shoreline, resulting in an environment in which the activity takes levels likely result from the City’s pile expected propagation environment that place. There are source level driving and removal activities (Table 5). would lie between spherical and measurements available for certain pile Many source levels used were more cylindrical spreading loss conditions. types and sizes from the similar conservation as the values were from environments recorded from underwater larger pile sizes.

TABLE 5—PROPOSED SOUND SOURCE LEVELS

Activity Sound source level at 10 meters Sound source

Vibratory Pile Driving/Removal

20-in fender pile permanent ...... 161.9 SPL ...... The 20-in fender and 30-inch-diameter source 30-in steel pile temporary installation ...... 161.9 SPL ...... level for vibratory driving are proxy from me- 30-in steel pile removal ...... 161.9 SPL ...... dian measured source levels from pile driving of 30-inch-diameter piles to construct the Ketchikan Ferry Terminal (Denes et al. 2016, Table 72). 36-in steel pile permanent ...... 168.2 SPL ...... The 36-in-diameter pile source level is proxy from median measured source levels from pile driving of 48-in diameter piles for the Port of Anchorage test pile project (Austin et al. 2016, Table 16). H-pile installation permanent ...... 168 SPL ...... The H-pile source level is proxy from median measured source levels from vibratory pile driving of H piles for the Port of Anchorage test pile project (Yurk et al. 2015 as cited in Denes et al. 2016, Appendix H Table 2). Sheet pile installation ...... 160 SPL ...... The sheet source level is proxy from median measured source levels from vibratory pile driving of 24-in sheets for Berth 30 at the Port of Oakland, CA (Buehler et al. 2015; Table I.6–2).

Impact Pile Driving

36-in steel pile permanent ...... 186.7 SEL/198.6 SPL ...... The 36-in diameter pile source level is a proxy from median measured source level from impact hammering of 48-in piles for the Port of Anchorage test pile project (Austin et al., 2016, Tables 9 and 16). 20-in fender pile installation permeant ...... 161 SEL/174.8 SPL ...... The 20-in diameter pile source levels are proxy from median measured source levels from vibratory driving of 24-in piles for the Kodiak Ferry Terminal project (Denes et al. 2016). H-pile installation permanent and Sheet pile in- 163 SEL/177 SPL ...... H-Pile and Sheets Impacting source levels are stallation. proxy from median measured source levels from pile driving H-piles and sheets for the Port of Anchorage test pile project (Yurk et al. 2015 as cited in Denes et al. 2016, Ap- pendix H Table 1).

DTH Pile Installation

36-in steel pile permanent ...... 164 SEL/166 SPL ...... The DTH sound source proxy of 164 dB SEL 20-in fender pile installation temporary ...... 154 SEL/166 SPL ...... is from 42-in piles, Reyff 2020 and Denes et H-pile installation permanent (20-in hole) ...... 154 SEL/166 SPL ...... al. 2019; while the 154 dB SEL is based on 24-in piles, Denes et al. 2016.

Level A Harassment developed a User Spreadsheet that used for these tools, we anticipate that includes tools to help predict a simple isopleths produced are typically going When the NMFS Technical Guidance isopleth that can be used in conjunction to be overestimates of some degree, (2016) was published, in recognition of the fact that ensonified area/volume with marine mammal density or which may result in some degree of could be more technically challenging occurrence to help predict takes. We overestimate of Level A harassment to predict because of the duration note that because of some of the take. However, these tools offer the best component in the new thresholds, we assumptions included in the methods way to predict appropriate isopleths

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when more sophisticated 3D modeling sources (such as from impact and not incur PTS. Inputs used in the User methods are not available, and NMFS vibratory pile driving and DTH), NMFS Spreadsheet (Tables 6 and 7), and the continues to develop ways to User Spreadsheet (2020) predicts the resulting isopleths are reported below quantitatively refine these tools, and closest distance at which, if a marine (Table 8). will qualitatively address the output mammal remained at that distance the where appropriate. For stationary whole duration of the activity, it would

TABLE 6—NMFS TECHNICAL GUIDANCE (2020) USER SPREADSHEET INPUT TO CALCULATE PTS ISOPLETHS FOR VIBRATORY PILE DRIVING

User spreadsheet input—vibratory pile driving spreadsheet tab A.1 vibratory pile driving used 30-in piles 30-in piles 20-in fender (temporary (temporary piles 36-in piles H-piles Sheet piles install) removal) (permanent) (permanent) (permanent) (permanent)

Source Level (RMS SPL) ...... 161.9 161.9 161.9 168.2 168 160 Weighting Factor Adjustment (kHz) ...... 2.5 2.5 2.5 2.5 2.5 2.5 Number of piles within 24-hr period ...... 4 4 4 4 4 30 Duration to drive a single pile (min) ...... 15 15 15 15 15 15 Propagation (xLogR) ...... 15 15 15 15 15 15 Distance of source level measurement (meters) ∂ ...... 10 10 10 10 11 10

TABLE 7—NMFS TECHNICAL GUIDANCE (2020) USER SPREADSHEET INPUT TO CALCULATE PTS ISOPLETHS FOR IMPACT PILE DRIVING

User spreadsheet input—impact pile driving spreadsheet tab E.1 impact pile driving used 20-in fender 20-in fender 36-in piles 36-in pile piles pile H-pile H-pile Sheet piles (permanent) (DTH) (permanent) (DTH) (permanent) (DTH) (permanent)

Source Level (Single Strike/shot SEL) ...... 186.7 164 161 154 163 154 163 Weighting Factor Adjustment (kHz) ...... 2 2 2 2 2 2 2 Number of strikes per pile ...... 100 ...... 35 ...... 35 ...... 35 Strike rate (avg. strikes per second) ...... 15 ...... 15 ...... 15 ...... Number of piles per day ...... 2 2 2 2 5 2 5 Propagation (xLogR) ...... 15 15 15 15 15 15 15 Distance of source level measurement (meters) ∂ ...... 10 10 10 10 15 10 15

TABLE 8—NMFS TECHNICAL GUIDANCE (2020) USER SPREADSHEET OUTPUTS TO CALCULATE LEVEL A HARASSMENT PTS ISOPLETHS

User spreadsheet output PTS isopleths (meters) Level A harassment Sound source level Activity at 10 m High- Low-frequency Mid-frequency frequency Phocid Otariid cetaceans cetaceans cetaceans

Vibratory Pile Driving/Removal

20-in steel fender pile installation ...... 161.9 SPL ...... 7.8 0.7 11.6 4.8 0.3 30-in steel pile temporary installation ...... 161.9 SPL ...... 7.8 0.7 11.6 4.8 0.3 30-in steel pile removal ...... 161.9 SPL ...... 7.8 0.7 11.6 4.8 0.3 36-in steel permanent installation ...... 168.2 SPL ...... 20.6 1.8 30.5 12.5 0.9 H-pile installation ...... 168 SPL ...... 22.0 2.0 32.5 13.4 0.9 Sheet pile installation ...... 160 SPL ...... 22.4 2.0 33.2 13.6 1.0

Impact Pile Driving

36-in steel permanent installation ...... 186.7 SEL/198.6 SPL ..... 602.7 21.4 717.9 322.5 23.5 20-in fender pile installation ...... 161 SEL/174.8 SPL ...... 5.8 0.2 6.9 3.1 0.21 H-pile installation ...... 163 SEL/177 SPL ...... 21.8 0.8 25.9 11.6 0.8 Sheet pile installation ...... 163 SEL/177 SPL ...... 21.8 0.8 25.9 11.6 0.8

DTH

36-in steel permanent installation ...... 164 SEL/166 SPL ...... 1,225.6 43.6 1,459.9 655.9 47.8 20-in steel fender pile installation ...... 154 SEL/166 SPL ...... 264.1 9.4 314.5 141.3 10.3 H-pile installation ...... 154 SEL/166 SPL ...... 264.1 9.4 314.5 141.3 10.3

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Level B Harassment landforms (See Figure 5 and 8 of the zone for impact driving, the practical Utilizing the practical spreading loss IHA Application), the largest Level B spreading loss model was used with a model, the City determined underwater harassment zone calculated for vibratory behavioral threshold of 160 dB rms. The noise will fall below the behavioral pile driving for 36-in steel piles and H- maximum radial distance of the Level B effects threshold of 120 dB rms for piles were larger than the 15,700 m from harassment zone for impact piling marine mammals at the distances shown the source where land masses block equaled 3,744 m for 36-in piles m. Table in Table 9 for vibratory pile driving/ sound transmission. For DTH, the 9 below provides all Level B harassment removal, and DTH. With these radial largest radial distance was 11,659 m. radial distances (m) during the City’s distances, and due to the occurrence of For calculating the Level B harassment proposed activities.

TABLE 9—RADIAL DISTANCES (METERS) TO RELEVANT BEHAVIORAL ISOPLETHS

Received level at 10 me- Level B harassment zone Activity ters (m) *

Vibratory Pile Driving/Removal

20-in steel fender pile installation ...... 161.9 SPL ...... 6,215 (calculated 6,213). 30-in steel temporary installation ...... 161.9 SPL ...... 6,215 (calculated 6,213). 30-in steel removal ...... 161.9 SPL ...... 6,215 (calculated 6,213). 36-in steel permanent installation ...... 168.2 SPL ...... 15,700a (calculated 16,343). H-pile installation ...... 168 SPL ...... 15,700a (calculated 17,434). Sheet pile installation ...... 160 SPL ...... 4,645 (calculated 4,642).

Impact Pile Driving

20-in fender pile installation ...... 161 SEL/ 174.8 SPL ...... 100 (calculated 97). 36-in steel permanent installation ...... 186.7 SEL/198.6 SPL .... 3,745 (calculated 3,744). H-pile and Sheet pile installation ...... 163 SEL/ 177 SPL ...... 205 (calculated 204).

DTH

20-in steel fender pile installation ...... 166 SPL ...... 11,660 (calculated 11,659). 36-in steel temporary installation ...... 166 SPL ...... 11,660 (calculated 11,659). H-pile installation ...... 166 SPL ...... 11,660 (calculated 11,659). * Numbers rounded up to nearest 5 meters. These specific rounded distances are for monitoring purposes rather than take estimation. a Although the calculated distance to Level B harassment thresholds extends these distances, all Level B harassment zones are truncated at 15,700m from the source where land masses block sound transmission.

Marine Mammal Occurrence and Take (vibratory pile driving/removal, DTH due to their rarer occurrence in the Calculation and Estimation and impact driving of smaller pile sizes) project area. In this section we provide the are considerably smaller compared to Humpback Whales information about the presence, density, impact pile driving of 36-in piles and or group dynamics of marine mammals DTH for 36-in piles, and mitigation is There are no density estimates of that will inform the take calculations. expected to avoid Level A harassment humpback whales available in the Potential exposures to impact pile from these other activities. project area. During the previous driving, vibratory pile driving/removal Hoonah Berth I project, humpback Minke Whales and DTH noises for each acoustic whales were observed on 84 of the 135 days of monitoring; most often in threshold were estimated using group There are no density estimates of September and October (BergerABAM size estimates and local observational minke whales available in the project data. As previously stated, take by Level 2016). Additionally, during construction area. These whales are usually sighted of the Hoonah Berth II project in 2019, B harassment as well as small numbers individually or in small groups of two of take by Level A harassment will be humpback whales were observed in the or three, but there are reports of loose action area on 45 of the 51 days of considered for this action. Take by Level aggregations of hundreds of animals B and Level A harassment are calculated monitoring; most often in July and (NMFS 2018). One minke whale was differently for some species based on September. Up to 24 humpback sighted each year during the Hoonah monthly or daily sightings data and sightings were reported on a single day average group sizes within the action cruise ship Berth I project (June 2015– (July 30, 2019), and a total of 108 area using the best available data. Take January 2016; BergerABAM 2016) and observations were recorded in by Level A harassment is being during the Hoonah Berth II project (June harassment zones during project proposed for three species (Dall’s and 2019–October 2019; SolsticeAK construction (SolsticeAK 2020). harbor porpoise and harbor seal) where 2020).To be conservative based on Based on a group size of eight the Level A harassment isopleths are group size, we predict that three minke animals, the general maximum group larger for pile driving of 36-in steel piles whales in a group could be sighted each size observed in Southeast Alaska in all and DTH of 36-in piles, and is based on month over the 4-month project period months of the year, NMFS estimates that average group size multiplied by the for a total of 12 minke whale takes 8 humpback whales could occur for number of days of impact pile driving proposed for authorization by Level B each day of the project (110 days) for a for 36-in piles and DTH of 36-in piles. harassment. No take by Level A total of 880 takes by Level B harassment. Distances to Level A harassment harassment is proposed for Under the MMPA, humpback whales thresholds for other project activities authorization or anticipated to occur are considered a single stock (Central

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North Pacific); however, we have Killer whales were observed Jefferson et al., 2019 presents divided them here to account for DPSs infrequently during construction of abundance estimates for Dall’s porpoise listed under the ESA. Using the stock Hoonah Berth I project. Usually a in these waters and found the assessment from Muto et al. 2020 for the singular animal was observed, but a abundance in summer (N = 2,680, CV = Central North Pacific stock (10,103 group containing eight individuals was 19.6 percent), and lowest in fall (N = whales) and calculations in Wade et al. seen in the project area on one occasion. 1,637, CV = 23.3 percent). Dall’s 2016; 9,487 whales are expected to be A total of 24 animals were observed porpoise are common in Icy Strait and from the Hawaii DPS and 606 from the during in-water work for the Hoonah sporadic with very low densities in Port Mexico DPS. Therefore, for purposes of Bert I project (BergerABAM 2016). Frederick (Jefferson et al., 2019). consultation under the ESA, we During construction of the Hoonah Dahlheim et al. (2008) observed 346 anticipate that 53 of those takes would Berth II project, killer whales were Dall’s porpoise in Southeast Alaska be of individuals from the Mexico DPS observed on 8 days. Usually a single (inclusive of Icy Strait) during the (0.0601 proportion of the total takes). No animal or pairs were observed, but a summer (June/July) of 2007 for an take by Level A harassment is proposed group containing five individuals was average of 173 animals per month as for authorization or anticipated to occur seen in the project area on one occasion. part of a 17-year study period. During due to their large size and ability to be A total of 20 animals were observed the previous Hoonah Berth I project, visibly detected in the project area if an during in-water work on Hoonah Berth only two Dall’s porpoise were observed, animal should approach the Level A II project (SolsticeAK 2020). Using the and were transiting within the waters of harassment zone. largest group size for resident killer Port Frederick in the vicinity of Halibut whales as discussed above, NMFS Island. A total of 21 Dall’s porpoises Gray Whales estimates that 79 killer whales were observed on eight days during the There are no density estimates of gray (residents and transients) could occur Hoonah Berth II project in group sizes whales available in the project area. each month during the 4-month project of 2 to 12 porpoise (SolsticeAK Gray whales travel alone or in small, period for a total of 316 takes by Level 2020).Therefore, NMFS’ estimates 12 unstable groups, although large B harassment. No take by Level A Dall’s porpoise a week may be seen aggregations may be seen in feeding and harassment is proposed for during the 4-month project period for a breeding grounds (NMFS 2018e). authorization or anticipated to occur to total of 192 takes by Level B harassment. Observations in Glacier Bay and nearby the ability to visibly detect these large Because the calculated Level A waters recorded two gray whales whales and in most cases the small size harassment isopleths are larger for high- documented over a 10-year period of the Level A harassment zones. frequency cetaceans during DTH of 36- (Keller et al., 2017). None were observed in piles (1,459.9 m) and 36-in impact Pacific White-Sided Dolphin during Hoonah Berth I or II project pile driving (717.9 m) and the applicant monitoring (BergerABAM 2016, There are no density estimates of would have a reduced shutdown zone at SolsticeAK 2020). We estimate a one Pacific white-sided dolphins available 200 m, NMFS predicts that some take by gray whale x onesighting per month in the project area. Pacific white-sided Level A harassment may occur. It is over the 4-month work period for a total dolphins have been observed in Alaska estimated that two Dall’s porpoise could of four gray whale takes proposed for waters in groups ranging from 20 to 164 be taken by Level A harassment every 5 authorization by Level B harassment. No animals, with the sighting of 164 days over a 20-day period (15 days of take by Level A harassment is proposed animals occurring in Southeast Alaska DTH of 36-in piles + 5 days of 36-in for authorization or anticipated to occur near Dixon Entrance (Muto et al., 2018). impact pile driving) for a total of 8 takes due to their rarer occurrence in the There were no Pacific white-sided by Level A harassment. project area, but also their large size and dolphins observed during the 135-day ability to be visibly detected in the monitoring period during the Hoonah Harbor Porpoise project area if an animal should Berth I project; however, a pod of two Dahlheim et al. (2015) observed 332 approach the Level A harassment zone. Pacific white-sided dolphins was resident harbor porpoises occur in the observed during construction of the Icy Strait area, and harbor porpoise are Killer Whales Hoonah Bert II project (SolsticeAK known to use the Port Frederick area as There are no density estimates of 2020). Using the largest group size for part of their core range. During the killer whales available in the project Pacific white-sided dolphins as Hoonah Berth I project monitoring, a area. Killer whales occur commonly in discussed above, NMFS estimates 164 total of 32 harbor porpoise were the waters of the project area, and could Pacific white-sided dolphins may be observed over 19 days during the 4- include members of several designated seen every other month over the 4- month project. The harbor porpoises stocks that may occur in the vicinity of month project period for a total of 328 were observed in small groups with the the proposed project area. Whales are takes by Level B harassment. No take by largest group size reported was four known to use the Icy Strait corridor to Level A harassment is proposed or individuals and most group sizes enter and exit inland waters and are anticipated to occur as the largest Level consisting of three or fewer animals. observed in every month of the year, A harassment isopleths calculated were During the test pile program conducted with certain pods being observed inside 43.6 m during DTH of 36-in piles and at the Berth II project site in May 2018, Port Frederick passing directly in front 21.4 m during impact pile driving of 36- eight harbor porpoises where observed of Hoonah. Group size of resident killer in piles. The remaining isopleths were over a 7-hour period (SolsticeAK 2018). whale pods in the Icy Strait area ranges all under 10 m. During the Hoonah Berth II project, 120 from 42 to 79 and occur in every month harbor porpoises were observed June of the year (Dahlheim pers. comm. to Dall’s Porpoise through October. The largest group size NMFS 2015). As determined during a Little information is available on the reported was eight individuals, and line-transect survey by Dalheim et al. abundance of Dall’s porpoise in the most group sizes consisting of four or (2008), the greatest number of transient inland waters of Southeast Alaska. fewer animals (SolsticeAK 2020). NMFS killer whale observed occurred in 1993 Dall’s porpoise are most abundant in estimates that four harbor porpoises per with 32 animals seen over 2 months for spring, observed with lower numbers in day could occur in the project area over an average of 16 sightings per month. the summer, and lowest numbers in fall. the 4-month project period (110 days)

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for a total of 440 takes by Level B (655.9 m) and 36-in impact pile driving performed at the project location by the harassment. Because the calculated (322.5 m), compared with the proposed Hoonah Cruise Ship Dock Company in Level A harassment isopleths are larger shutdown zone at 200 m, NMFS May 2018, a total of 15 Steller sea lions for high-frequency cetaceans during predicts that some take by Level A were seen over the course of 7 hours in DTH of 36-in piles (1,459.9 m) and 36- harassment may occur. It is estimated one day (SolsticeAK 2018). During in impact pile driving (717.9 m) and the that one group of three harbor seals a construction of the Hoonah Berth II applicant would have a reduced day could be taken by Level A project, a total of 197 Steller sea lion shutdown zone at 200 m, NMFS harassment over a 20-day period (15 sightings over 42 days were reported, predicts that some take by Level A days of DTH of 36-in piles + 5 days of amounting to an average of 4.6 sightings harassment may occur. It is estimated 36-in impact pile driving) for a total of per day (SolsticeAK 2020). NMFS that four harbor porpoise could be taken 60 takes by Level A harassment. estimates that five Steller sea lions per by Level A harassment every 5 days day could occur in the project area each Steller Sea Lion over a 20-day period (15 days of DTH month during the 4-month project of 36-in piles + 5 days of 36-in impact There are no density estimates of period (110 days) for a total of 550 takes pile driving) for a total of 16 takes by Steller sea lions available in the project by Level B harassment, with 39 of those Level A harassment. area. NMFS expects that Steller sea lion anticipated being from the Western DPS presence in the action area will vary due (0.0702 proportion of the total animals Harbor Seal to prey resources and the spatial (L. Jemison draft unpublished Steller There are no density estimates of distribution of breeding versus non- sea lion data, 2019). There is some harbor seals available in the project breeding season. In April and May, evidence of Steller sea lions remaining area. Keller et al. (2017) observed an Steller sea lions are likely feeding on in areas where there is a reliable food average of 26 harbor seal sightings each herring spawn in the action area. Then, source. Should a Steller sea lion go month between June and August of 2014 most Steller sea lions likely move to the undetected by a Protected Species in Glacier Bay and Icy Strait. During the rookeries along the outside coast (away Observer (PSO) and later observed monitoring of the Hoonah Berth I from the action area) during breeding within the Level A harassment zone, the project, harbor seals typically occur in season, and would be in the action area City proposes mitigation measures (e.g., groups of one to four animals and a total in greater numbers in August and later shutdowns), and it would be unlikely of 63 seals were observed during 19 months (J. Womble, NPS, pers. comm. to that an animal would accumulate days of the 135-day monitoring period. NMFS AK Regional Office, March 2019). enough exposure for PTS to occur. In 2019, a total of 33 harbor seals were However, Steller sea lions are also Therefore, no take by Level A seen during the Hoonah Berth II project. opportunistic predators and their harassment is proposed or anticipated to Only solo individuals where sighted presence can be hard to predict. occur as the largest Level A isopleths during that time (SolsticeAK 2020). Steller sea lions typically occur in calculated were 47.8 m during DTH of NMFS estimates that three harbor seals groups of 1–10 animals, but may 36-in piles and 23.5 m during impact per group, and two groups a day, could congregate in larger groups near pile driving of 36-in piles. The occur in the project area each month rookeries and haulouts. The previous remaining isopleths were approximately during the 4-month project period (110 Hoonah Berth I project observed a total 10 m or less. days) for a total of 660 takes by Level of 180 Steller sea lion sightings over 135 Table 10 below summarizes the B harassment. Because the calculated days in 2015, amounting to an average proposed estimated take for all the Level A harassment isopleths are larger of 1.3 sightings per day (BergerABAM species described above as a percentage for phocids during DTH of 36-in piles 2016). During a test pile program of stock abundance.

TABLE 10—PROPOSED TAKE ESTIMATES AS A PERCENTAGE OF STOCK ABUNDANCE

Species Stock Level A Level B Percent of stock (NEST) harassment harassment

Minke Whale ...... N/A ...... 0 12 ...... N/A. Humpback Whale ...... Central North Pacific ...... 0 880 ...... 8.7. Gray Whale ...... Eastern North Pacific (27,000) ...... 0 4 ...... Less than 1 percent. Killer Whale ...... Alaska Resident (2,347) ...... 256 ...... a 10.9 Northern Resident (302) ...... 0 33 ...... a 10.9 West Coast Transient (243) ...... 27 ...... a 11.1. (Total 316) ..... Pacific White-Sided Dolphin ...... North Pacific (26,880) ...... 0 328 ...... Less than 1 percent. Dall’s Porpoise ...... Alaska (83,400) §b ...... 8 144 ...... Less than 1 percent. Harbor Porpoise ...... NA ...... 16 440 ...... NA. Harbor Seal ...... Glacier Bay/Icy Strait (7,455) ...... 60 660 ...... 8.9. Steller Sea Lion ...... Eastern U.S. (43,201) ...... 0 511 ...... Western U.S. (53,624) ...... 39 ...... 1.2 (Total 550) ..... Less than 1 percent. a Take estimates are weighted based on calculated percentages of population for each distinct stock, assuming animals present would follow same probability of presence in project area. b Jefferson et al. 2019 presents the first abundance estimates for Dall’s porpoise in the waters of Southeast Alaska with highest abundance recorded in spring (N = 5,381, CV = 25.4 percent), lower numbers in summer (N = 2,680, CV = 19.6 percent), and lowest in fall (N = 1,637, CV = 23.3 percent). However, NMFS currently recognizes a single stock of Dall’s porpoise in Alaskan waters and an estimate of 83,400 Dall’s porpoises is used by NMFS for the entire stock (Muto et al., 2020).

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Proposed Mitigation scope, range). It further considers the Avoiding Direct Physical Interaction likelihood that the measure will be In order to issue an IHA under The City must avoid direct physical Section 101(a)(5)(D) of the MMPA, effective if implemented (probability of accomplishing the mitigating result if interaction with marine mammals NMFS must set forth the permissible during construction activity. If a marine methods of taking pursuant to such implemented as planned) the likelihood of effective implementation (probability mammal comes within 10 m of such activity, and other means of effecting activity, operations must cease and the least practicable impact on such implemented as planned); and (2) The practicability of the measures vessels must reduce speed to the species or stock and its habitat, paying for applicant implementation, which minimum level required to maintain particular attention to rookeries, mating may consider such things as cost, steerage and safe working conditions, as grounds, and areas of similar impact on operations, and, in the case necessary to avoid direct physical significance, and on the availability of of a military readiness activity, interaction. such species or stock for taking for personnel safety, practicality of certain subsistence uses (latter not implementation, and impact on the Shutdown Zones applicable for this action). NMFS effectiveness of the military readiness For all pile driving/removal and DTH regulations require applicants for activity. incidental take authorizations to include activities, the City would establish a information about the availability and General shutdown zone for a marine mammal feasibility (economic and technological) The City would follow mitigation species that is greater than its of equipment, methods, and manner of procedures as outlined in their Marine corresponding Level A harassment zone; conducting such activity or other means Mammal Monitoring Plan and as except for a few circumstances during of effecting the least practicable adverse described below. In general, if poor impact pile driving and DTH, where the impact upon the affected species or environmental conditions restrict shutdown zone is smaller (reduced to stocks and their habitat (50 CFR visibility full visibility of the shutdown 200 m) than the Level A harassment 216.104(a)(11)). zone, pile driving installation and zone for high frequency cetaceans and In evaluating how mitigation may or removal as well as DTH would be phocids due to the practicability of may not be appropriate to ensure the delayed. shutdowns on the applicant and to the least practicable adverse impact on potential difficulty of observing these species or stocks and their habitat, as Training animals in the larger Level A well as subsistence uses where The City must ensure that harassment zones. The calculated PTS applicable, we carefully consider two construction supervisors and crews, the isopleths were rounded up to a whole primary factors: monitoring team, and relevant City staff number to determine the actual (1) The manner in which, and the are trained prior to the start of shutdown zones that the applicant will degree to which, the successful construction activity subject to this IHA, operate under (Table 11). The purpose implementation of the measure(s) is so that responsibilities, communication of a shutdown zone is generally to expected to reduce impacts to marine procedures, monitoring protocols, and define an area within which shutdown mammals, marine mammal species or operational procedures are clearly of the activity would occur upon stocks, and their habitat. This considers understood. New personnel joining sighting of a marine mammal (or in the nature of the potential adverse during the project must be trained prior anticipation of an animal entering the impact being mitigated (likelihood, to commencing work. defined area).

TABLE 11—PILE DRIVING SHUTDOWN ZONES DURING PROJECT ACTIVITIES

Shutdown zones Pile size, type, and method Low- Mid- High- frequency frequency frequency Phocid Otariid cetaceans cetaceans cetaceans

Vibratory Pile Driving/Removal

20-in steel fender pile installation ...... 10 10 15 10 10 30-in steel pile temporary installation ...... 10 10 15 10 10 30-in steel pile removal ...... 10 10 15 10 10 36-in steel permanent installation ...... 25 10 35 15 10 H-pile installation ...... 35 10 35 15 10 Sheet pile installation ...... 25 10 35 15 10

Impact Pile Driving

36-in steel permanent installation ...... 625 25 * 200 * 200 25 20-in fender pile installation ...... 10 10 10 10 10 H-pile installation ...... 25 10 30 15 10 Sheet pile installation ...... 25 10 30 15 10

DTH

36-in steel permanent installation ...... 1,230 45 * 200 * 200 50 20-in steel fender pile installation ...... 265 10 * 200 145 15

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TABLE 11—PILE DRIVING SHUTDOWN ZONES DURING PROJECT ACTIVITIES—Continued

Shutdown zones Pile size, type, and method Low- Mid- High- frequency frequency frequency Phocid Otariid cetaceans cetaceans cetaceans

H-pile installation ...... 265 10 *200 145 15 * Due to practicability of the applicant to shutdown and the difficulty of observing some species and low occurrence of some species in the project area, such as high frequency cetaceans or pinnipeds out to this distance, the shutdown zones were reduced and Level A harassment takes were requested during DTH and for impact pile driving of 36-in piles.

Soft Start The MMPA implementing regulations at Monitoring Zones The City must use soft start 50 CFR 216.104 (a)(13) indicate that requests for authorizations must include The City will establish and observe techniques when impact pile driving. monitoring zones for Level B Soft start requires contractors to provide the suggested means of accomplishing the necessary monitoring and reporting harassment as presented in Table 9. The an initial set of three strikes from the monitoring zones for this project are hammer at reduced energy, followed by that will result in increased knowledge areas where SPLs are equal to or exceed a 30-second waiting period. Then two of the species and of the level of taking 120 dB rms (for vibratory pile driving/ subsequent reduced-energy strike sets or impacts on populations of marine removal and DTH) and 160 dB rms (for would occur. A soft start must be mammals that are expected to be impact pile driving). These zones implemented at the start of each day’s present in the proposed action area. impact pile driving and at any time Effective reporting is critical both to provide utility for monitoring following cessation of impact pile compliance as well as ensuring that the conducted for mitigation purposes (i.e., driving for a period of 30 minutes or most value is obtained from the required shutdown zone monitoring) by longer. Soft start is not required during monitoring. establishing monitoring protocols for vibratory pile driving and removal Monitoring and reporting areas adjacent to the shutdown zones. activities. requirements prescribed by NMFS Monitoring of the Level B harassment should contribute to improved zones enables observers to be aware of Vessels understanding of one or more of the and communicate the presence of Vessels would adhere to the Alaska following: marine mammals in the project area, but outside the shutdown zone, and thus Humpback Whale Approach D Occurrence of marine mammal Regulations when transiting for project prepare for potential shutdowns of species or stocks in the area in which activity. activities (see 50 CFR 216.18, 223.214, take is anticipated (e.g., presence, and 224.103(b)). These regulations abundance, distribution, density). Pre-Start Clearance Monitoring require that all vessels: D Nature, scope, or context of likely D Not approach within 91.44 m (100 Pre-start clearance monitoring must marine mammal exposure to potential yd) of a humpback whale, or cause a be conducted during periods of stressors/impacts (individual or vessel or other object to approach visibility sufficient for the lead PSO to cumulative, acute or chronic), through within 91.44 m (100 yd) of a humpback determine the shutdown zones clear of better understanding of: (1) Action or whale; marine mammals. Pile driving and DTH environment (e.g., source D Not place vessel in the path of may commence when the determination characterization, propagation, ambient oncoming humpback whales causing is made. them to surface within 91.44 m (100 yd) noise); (2) affected species (e.g., life of vessel; history, dive patterns); (3) co-occurrence Visual Monitoring D Not disrupt the normal behavior or of marine mammal species with the prior activity of a whale; and action; or (4) biological or behavioral Monitoring must take place from 30 D Operate at a slow, safe speed when context of exposure (e.g., age, calving or minutes (min) prior to initiation of pile near a humpback whale (safe speed is feeding areas). driving and DTH activity (i.e., pre-start defined in regulation (see 33 CFR D Individual marine mammal clearance monitoring) through 30 min 83.06)). responses (behavioral or physiological) post-completion of pile driving and Based on our evaluation of the to acoustic stressors (acute, chronic, or DTH activity. If a marine mammal is applicant’s proposed measures, NMFS cumulative), other stressors, or observed entering or within the has preliminarily determined that the cumulative impacts from multiple shutdown zones, pile driving and DTH proposed mitigation measures provide stressors. activity must be delayed or halted. If pile driving or DTH is delayed or halted the means of effecting the least D How anticipated responses to practicable impact on the affected due to the presence of a marine stressors impact either: (1) Long-term mammal, the activity may not species or stocks and their habitat, fitness and survival of individual paying particular attention to rookeries, commence or resume until either the marine mammals; or (2) populations, animal has voluntarily exited and been mating grounds, and areas of similar species, or stocks. significance. visually confirmed beyond the D Effects on marine mammal habitat shutdown zone or 15 min have passed Proposed Monitoring and Reporting (e.g., marine mammal prey species, without re-detection of the animal. Pile In order to issue an IHA for an acoustic habitat, or other important driving and DTH activity must be halted activity, Section 101(a)(5)(D) of the physical components of marine upon observation of either a species for MMPA states that NMFS must set forth, mammal habitat). which incidental take is not authorized requirements pertaining to the D Mitigation and monitoring or a species for which incidental take monitoring and reporting of such taking. effectiveness. has been authorized but the authorized

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number of takes has been met, entering D Visual acuity in both eyes days prior to the requested issuance of or within the harassment zone. (correction is permissible) sufficient for any subsequent IHA for construction discernment of moving targets at the activity at the same location, whichever PSO Monitoring Locations and water’s surface with ability to estimate comes first. A final report must be Requirements target size and distance; use of prepared and submitted within 30 days The City must establish monitoring binoculars may be necessary to correctly following resolution of any NMFS locations as described in the Marine identify the target; comments on the draft report. If no Mammal Monitoring Plan. The City D Experience and ability to conduct comments are received from NMFS must monitor the project area to the field observations and collect data within 30 days of receipt of the draft extent possible based on the required according to assigned protocols; report, the report shall be considered number of PSOs, required monitoring D Experience or training in the field final. All draft and final marine locations, and environmental identification of marine mammals, mammal monitoring reports must be conditions. Monitoring would be including the identification of submitted to conducted by PSOs from on land and behaviors; [email protected] from a vessel. For all pile driving and D Sufficient training, orientation, or and [email protected]. The report DTH activities, a minimum of one experience with the construction must contain the informational elements observer must be assigned to each active operation to provide for personal safety described in the Marine Mammal pile driving and DTH location to during observations; Monitoring Plan and, at minimum, must monitor the shutdown zones. Three D Writing skills sufficient to prepare a include: PSOs must be onsite during all in-water report of observations including but not D Dates and times (begin and end) of activities as follows: PSO 1 stationed at limited to the number and species of all marine mammal monitoring; the pile site on the existing City Dock, marine mammals observed; dates and D Construction activities occurring PSO 2 stationed on Halibut Island facing times when in-water construction during each daily observation period, south and PSO 3 stationed on a vessel activities were conducted; dates, times, including: and reason for implementation of running a transect through southern Æ How many and what type of piles mitigation (or why mitigation was not portion of the project area in Port were driven and by what method (e.g., implemented when required); and Frederick. These observers must record impact, vibratory, DTH); all observations of marine mammals, marine mammal behavior; Æ D Ability to communicate orally, by Total duration of driving time for regardless of distance from the pile each pile (vibratory driving) and being driven or during DTH. radio or in person, with project personnel to provide real-time number of strikes for each pile (impact In addition, PSOs will work in shifts driving); and lasting no longer than 4 hrs with at least information on marine mammals Æ For DTH, duration of operation for a 1-hr break between shifts, and will not observed in the area as necessary; and both impulsive and non-pulse perform duties as a PSO for more than D Sufficient training, orientation, or components. 12 hrs in a 24-hr period (to reduce PSO experience with the construction D PSO locations during marine fatigue). operations to provide for personal safety mammal monitoring; Monitoring of pile driving shall be during observations. D (Environmental conditions during conducted by qualified, NMFS- Notification of Intent To Commence monitoring periods (at beginning and approved PSOs. The City shall adhere to Construction the following conditions when selecting end of PSO shift and whenever The City shall inform NMFS OPR and PSOs: conditions change significantly), the NMFS Alaska Region Protected D PSOs must be independent (i.e., not including Beaufort sea state and any Resources Division one week prior to other relevant weather conditions construction personnel) and have no commencing construction activities. other assigned tasks during monitoring including cloud cover, fog, sun glare, periods. Interim Monthly Reports and overall visibility to the horizon, and estimated observable distance; D At least one PSO must have prior During construction, the City will D Upon observation of a marine experience performing the duties of a submit brief, monthly reports to the PSO during construction activities mammal, the following information: NMFS Alaska Region Protected Æ pursuant to a NMFS-issued incidental PSO who sighted the animal and Resources Division that summarize PSO PSO location and activity at time of take authorization. observations and recorded takes. D Other PSOs may substitute other sighting; Monthly reporting will allow NMFS to Æ relevant experience, education (degree Time of sighting; track the amount of take (including any Æ in biological science or related field), or extrapolated takes), to allow reinitiation Identification of the animal (e.g., training. of consultation in a timely manner, if genus/species, lowest possible D Where a team of three PSOs are necessary. The monthly reports will be taxonomic level, or unidentified), PSO required, a lead observer or monitoring submitted by email to akr.section7@ confidence in identification, and the coordinator shall be designated. The nooa.gov. The reporting period for each composition of the group if there is a lead observer must have prior monthly PSO report will be the entire mix of species; Æ experience performing the duties of a calendar month, and reports will be Distance and bearing of each PSO during construction activity submitted by close of business on the marine mammal observed to the pile pursuant to a NMFS-issued incidental 10th day of the month following the end being driven for each sighting (if pile take authorization. of the reporting period. driving and DTH was occurring at time D PSOs must be approved by NMFS of sighting); prior to beginning any activity subject to Final Report Æ Estimated number of animals (min/ this IHA. The City must submit a draft report on max/best); The City shall ensure that the PSOs all monitoring conducted under this Æ Estimated number of animals by have the following additional IHA within 90 calendar days of the cohort (adults, juveniles, neonates, qualifications: completion of monitoring or 60 calendar group composition etc.;

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Æ Animal’s closest point of approach finding is based on the lack of likely 2006; Lerma, 2014). Most likely, and estimated time spent within the adverse effects on annual rates of individuals will simply move away harassment zone. recruitment or survival (i.e., population- from the sound source and be Æ Description of any marine mammal level effects). An estimate of the number temporarily displaced from the areas of behavioral observations (e.g., observed of takes alone is not enough information pile driving, although even this reaction behaviors such as feeding or traveling), on which to base an impact has been observed primarily only in including an assessment of behavioral determination. In addition to association with impact pile driving. responses to the activity (e.g., no considering estimates of the number of These reactions and behavioral changes response or changes in behavioral state marine mammals that might be ‘‘taken’’ are expected to subside quickly when such as ceasing feeding, changing through harassment, NMFS considers the exposures cease. direction, flushing, or breaching); other factors, such as the likely nature To minimize noise during pile D Detailed information about of any responses (e.g., intensity, driving, the City will use pile caps (pile implementation of any mitigation (e.g., duration), the context of any responses softening material). Much of the noise shutdowns and delays), a description of (e.g., critical reproductive time or generated during pile installation comes specific actions that ensued, and location, migration), as well as effects from contact between the pile being resulting changes in behavior of the on habitat, and the likely effectiveness driven and the steel template used to animal, if any; and of the mitigation. We also assess the hold the pile in place. The contractor D All PSO datasheets and/or raw number, intensity, and context of will use high-density polyethylene or sightings data. estimated takes by evaluating this ultra-high-molecular- weight information relative to population polyethylene softening material on all Reporting of Injured or Dead Marine status. Consistent with the 1989 templates to eliminate steel on steel Mammals preamble for NMFS’s implementing noise generation. In the event that personnel involved regulations (54 FR 40338; September 29, During all impact driving, in the construction activities discover 1989), the impacts from other past and implementation of soft start procedures an injured or dead marine mammal, the ongoing anthropogenic activities are and monitoring of established shutdown City must report the incident to the incorporated into this analysis via their zones will be required, significantly Office of Protected Resources impacts on the environmental baseline reducing the possibility of injury. Given ([email protected]), (e.g., as reflected in the regulatory status sufficient notice through use of soft start NMFS (301–427–8401) and to the of the species, population size and (for impact driving), marine mammals Alaska regional stranding network (877– growth rate where known, ongoing are expected to move away from an 925–7773) as soon as feasible. If the sources of human-caused mortality, or irritating sound source prior to it death or injury was clearly caused by ambient noise levels). becoming potentially injurious. In the specified activity, the City must As stated in the proposed mitigation addition, PSOs will be stationed within immediately cease the specified section, shutdown zones that are larger the action area whenever pile driving/ activities until NMFS OPR is able to than the Level A harassment zones will removal and DTH activities are review the circumstances of the incident be implemented in the majority of underway. Depending on the activity, and determine what, if any, additional construction days, which, in the City will employ the use of three measures are appropriate to ensure combination with the fact that the zones PSOs to ensure all monitoring and compliance with the terms of this IHA. are so small to begin with, is expected shutdown zones are properly observed. The City must not resume their to avoid the likelihood of Level A The HMIC Cargo Dock would likely activities until notified by NMFS. The harassment for six of the nine species. not impact any marine mammal habitat report must include the following For the other three species (harbor seals, since its proposed location is within an information: Dall’s and harbor porpoises), a small area that is currently used by large D Time, date, and location (latitude/ amount of Level A harassment has been shipping vessels and in between two longitude) of the first discovery (and conservatively proposed because the existing, heavily-traveled docks, and updated location information if known Level A harassment zones are larger within an active marine commercial and and applicable); than the proposed shutdown zones tourist area. There are no known D Species identification (if known) or during impact pile driving of 36-in piles pinniped haulouts or other biologically description of the animal(s) involved; and during DTH. However, given the important areas for marine mammals D Condition of the animal(s) nature of the activities and sound source near the action area. In addition, (including carcass condition if the and the unlikelihood that animals impacts to marine mammal prey species animal is dead); would stay in the vicinity of the pile- are expected to be minor and temporary. D Observed behaviors of the driving for long, any PTS incurred Overall, the area impacted by the project animal(s), if alive; would be expected to be of a low degree is very small compared to the available D If available, photographs or video and unlikely to have any effects on habitat around Hoonah. The most likely footage of the animal(s); and individual fitness. impact to prey will be temporary D General circumstances under which Exposures to elevated sound levels behavioral avoidance of the immediate the animal was discovered. produced during pile driving activities area. During pile driving/removal and may cause behavioral responses by an DTH activities, it is expected that fish Negligible Impact Analysis and animal, but they are expected to be mild and marine mammals would Determination and temporary. Effects on individuals temporarily move to nearby locations NMFS has defined negligible impact that are taken by Level B harassment, on and return to the area following as an impact resulting from the the basis of reports in the literature as cessation of in-water construction specified activity that cannot be well as monitoring from other similar activities. Therefore, indirect effects on reasonably expected to, and is not activities, will likely be limited to marine mammal prey during the reasonably likely to, adversely affect the reactions such as increased swimming construction are not expected to be species or stock through effects on speeds, increased surfacing time, or substantial. annual rates of recruitment or survival decreased foraging (if such activity were In summary and as described above, (50 CFR 216.103). A negligible impact occurring) (e.g., Thorson and Reyff, the following factors primarily support

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our preliminary determination that the available, the estimated takes are likely Steller Sea Lion Commission. On impacts resulting from this activity are small percentages of the stock September 14, 2020, Huna Totem not expected to adversely affect the abundance. For harbor porpoise, the Corporation expressed support for the species or stock through effects on abundance for the Southeast Alaska project and indicated that they do not annual rates of recruitment or survival: stock is likely more represented by the anticipate any marine mammal or D No mortality is anticipated or aerial surveys that were conducted as subsistence. authorized; these surveys had better coverage and The proposed project is not likely to D Minimal impacts to marine were corrected for observer bias. Based adversely impact the availability of any mammal habitat/prey are expected; on this data, the estimated take could marine mammal species or stocks that D The action area is located and potentially be approximately 4 percent are commonly used for subsistence within an active marine commercial and of the stock abundance. However, this is purposes or to impact subsistence tourist area; unlikely and the percentage of the stock harvest of marine mammals in the D There are no rookeries, or other taken is likely lower as the proposed region because construction activities known areas or features of special take estimates are conservative and the are localized and temporary; mitigation significance for foraging or reproduction project occurs in a small footprint measures will be implemented to in the project area; compared to the available habitat in minimize disturbance of marine D Anticipated incidents of Level B Southeast Alaska. For minke whales, in mammals in the project area; and the harassment consist of, at worst, the northern part of their range they are project will not result in significant temporary modifications in behavior; believed to be migratory and so few changes to availability of subsistence and minke whales have been seen during resources. D The required mitigation measures three offshore Gulf of Alaska surveys Based on the description of the (i.e. shutdown zones) are expected to be that a population estimate could not be effective in reducing the effects of the specified activity, the measures determined. With only twelve proposed described to minimize adverse effects specified activity. takes for this species, the percentage of Based on the analysis contained on the availability of marine mammals take in relation to the stock abundance for subsistence purposes, and the herein of the likely effects of the is likely to be very small. specified activity on marine mammals proposed mitigation and monitoring Based on the analysis contained measures, NMFS has preliminarily and their habitat, and taking into herein of the proposed activity determined that there will not be an consideration the implementation of the (including the proposed mitigation and unmitigable adverse impact on proposed monitoring and mitigation monitoring measures) and the subsistence uses from the City’s measures, NMFS preliminarily finds anticipated take of marine mammals, proposed activities. that the total marine mammal take from NMFS preliminarily finds that small the proposed activity will have a numbers of marine mammals will be Therefore, we believe there are no negligible impact on all affected marine taken relative to the population size of relevant subsistence uses of the affected mammal species or stocks. the affected species or stocks. marine mammal stocks or species implicated by this action. NMFS has Small Numbers Unmitigable Adverse Impact Analysis preliminarily determined that the total As noted above, only small numbers and Determination taking of affected species or stocks of incidental take may be authorized In order to issue an IHA, NMFS must would not have an unmitigable adverse under Section 101(a)(5)(A) and (D) of find that the specified activity will not impact on the availability of such the MMPA for specified activities other have an ‘‘unmitigable adverse impact’’ species or stocks for taking for than military readiness activities. The on the subsistence uses of the affected subsistence purposes. MMPA does not define small numbers marine mammal species or stocks by Endangered Species Act (ESA) and so, in practice, where estimated Alaskan Natives. NMFS has defined numbers are available, NMFS compares ‘‘unmitigable adverse impact’’ in 50 CFR Section 7(a)(2) of the Endangered the number of individuals taken to the 216.103 as an impact resulting from the Species Act of 1973 (ESA: 16 U.S.C. most appropriate estimation of specified activity: (1) That is likely to 1531 et seq.) requires that each Federal abundance of the relevant species or reduce the availability of the species to agency insure that any action it stock in our determination of whether a level insufficient for a harvest to meet authorizes, funds, or carries out is not an authorization is limited to small subsistence needs by: (i) Causing the likely to jeopardize the continued numbers of marine mammals. When the marine mammals to abandon or avoid existence of any endangered or predicted number of individuals to be hunting areas; (ii) Directly displacing threatened species or result in the taken is fewer than one third of the subsistence users; or (iii) Placing destruction or adverse modification of species or stock abundance, the take is physical barriers between the marine designated critical habitat. To ensure considered to be of small numbers. mammals and the subsistence hunters; ESA compliance for the issuance of Additionally, other qualitative factors and (2) That cannot be sufficiently IHAs, NMFS consults internally may be considered in the analysis, such mitigated by other measures to increase whenever we propose to authorize take as the temporal or spatial scale of the the availability of marine mammals to for endangered or threatened species, in activities. allow subsistence needs to be met. this case with the Alaska Regional Seven of the nine marine mammal In September 2020, the Indigenous Office (AKRO). stocks proposed for take are People’s Council for Marine Mammals NMFS is proposing to authorize take approximately 11 percent or less of the (IPCoMM), the Alaska Sea Otter and of Mexico DPS humpback whales, and stock abundance. There are no official Steller Sea Lion Commission, Huna Western DPS Steller sea lions which are stock abundances for harbor porpoise Totem Corporation, and the Hoonah listed under the ESA. The Permit and and minke whales; however, as Indian Association (HIA) were Conservation Division has requested discussed in greater detail in the contacted to determine potential project initiation of Section 7 consultation with Description of Marine Mammals in the impacts on local subsistence activities. the AKRO for the issuance of this IHA. Area of Specified Activities, we believe No comments were received from NMFS will conclude the ESA for the abundance information that is IPCoMM or the Alaska Sea Otter and consultation prior to reaching a

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determination regarding the proposed reduction in pile size) that the changes opportunity to comment on applications issuance of the authorization. do not affect the previous analyses, for proposed Exempted Fishing Permits. mitigation and monitoring Proposed Authorization DATES: Comments must be received on requirements, or take estimates (with or before March 19, 2021. As a result of these preliminary the exception of reducing the type or ADDRESSES: You may submit written determinations, NMFS proposes to issue amount of take); and comments by any of the following an IHA to the City for conducting for the (2) A preliminary monitoring report methods: proposed pile driving and removal showing the results of the required • Email: [email protected]. activities as well as DTH during monitoring to date and an explanation Include in the subject line ‘‘CFRF South construction of the Hoonah Marine showing that the monitoring results do Fork Wind Farm Gillnet EFP.’’ Industrial Center Cargo Dock Project, not indicate impacts of a scale or nature FOR FURTHER INFORMATION CONTACT: Hoonah Alaska for one year, beginning not previously analyzed or authorized. Louis Forristall, Marine Resources March or April 2021, provided the Upon review of the request for previously mentioned mitigation, Management Specialist, 978–281–9321, Renewal, the status of the affected [email protected]. monitoring, and reporting requirements species or stocks, and any other are incorporated. A draft of the SUPPLEMENTARY INFORMATION: The pertinent information, NMFS Commercial Fisheries Research proposed IHA can be found at https:// determines that there are no more than www.fisheries.noaa.gov/permit/ Foundation (CFRF) submitted a minor changes in the activities, the complete application for an Exempted incidental-take-authorizations-under- mitigation and monitoring measures marine-mammal-protection-act. Fishing Permit (EFP) in support of its will remain the same and appropriate, South Fork Wind Farm (SFWF) Gillnet Request for Public Comments and the findings in the initial IHA Survey on October 16, 2020. The remain valid. We request comment on our analyses, proposed research would use large- the proposed authorization, and any Dated: February 26, 2021. mesh gillnet gear in a Before-After- other aspect of this notice of proposed Donna S. Wieting, Control-Impact study design to collect IHA for the proposed pile driving and Director, Office of Protected Resources, pre-construction data on the abundance, removal activities as well as DTH during National Marine Fisheries Service. size structure, and distribution of construction of the Hoonah Marine [FR Doc. 2021–04431 Filed 3–3–21; 8:45 am] monkfish, winter skate, and other Industrial Center Cargo Dock Project. BILLING CODE 3510–22–P species in the SFWF lease area and We also request at this time, comments adjacent waters. on the potential for Renewal of this This EFP would temporarily exempt proposed IHA as described in the DEPARTMENT OF COMMERCE up to two active vessels and six backup paragraph below. Please include with vessels from: Possession limits and your comments any supporting data or National Oceanic and Atmospheric minimum size requirements specified in literature citations to help inform Administration 50 CFR 648 subparts A, B, and D through O for on-board sampling and decisions on the request for this IHA or RIN 0648–XA845 a subsequent Renewal IHA. donation of sampled catch; and gillnet On a case-by-case basis, NMFS may Magnuson-Stevens Act Provisions; tagging requirements in 50 CFR 648 issue a one-time, 1-year Renewal IHA General Provisions for Domestic subparts A and F, so gillnets used in the following notice to the public providing Fisheries; Application for Exempted surveys can be marked with tags from an additional 15 days for public Fishing Permits CFRF. comments when (1) up to another year A rotational sampling schedule would of identical or nearly identical, or nearly AGENCY: National Marine Fisheries be used between a survey site inside the identical, activities as described in the Service (NMFS), National Oceanic and SFWF lease area and two reference Description of Proposed Activities Atmospheric Administration (NOAA), survey areas outside the lease area. section of this notice is planned or (2) Commerce. Individual surveys would sample one or the activities as described in the ACTION: Notice; request for comments. two of these areas per trip, depending Description of Proposed Activities on the rotational schedule and steam section of this notice would not be SUMMARY: The Assistant Regional time between the areas. Each survey completed by the time the IHA expires Administrator for Sustainable Fisheries, would consist of four 1-day trips: Two and a Renewal would allow for Greater Atlantic Region, NMFS, has trips to set the gear and two trips to completion of the activities beyond that made a preliminary determination that retrieve gear and sample the catch. described in the Dates and Duration an Exempted Fishing Permit application Survey trips would take place section of this notice, provided all of the contains all of the required information seasonally four times per month from following conditions are met: and warrants further consideration. The April–June and again from October– D A request for renewal is received no Exempted Fishing Permit would allow December for each project year resulting later than 60 days prior to the needed two commercial fishing vessels to use in four sampling periods: October 2020– Renewal IHA effective date (recognizing large mesh gillnet gear to collect pre- December 2020; April 2021–June 2021; that the Renewal IHA expiration date construction data on the abundance, October 2021–December 2021; and cannot extend beyond one year from size structure, and distribution of April 2022–June 2022. In total, 90 nets expiration of the initial IHA); monkfish and winter skate in the South would be sampled after 48 hour soak D The request for renewal must Fork Wind Farm work area and adjacent times twice per month during the include the following: waters, under the direction of the survey periods. (1) An explanation that the activities Commercial Fisheries Research Vessels sampling gillnets under this to be conducted under the requested Foundation. Regulations under the EFP would declare out of fishery (DOF) Renewal IHA are identical to the Magnuson-Stevens Fishery to avoid using a monkfish day-at-sea activities analyzed under the initial Conservation and Management Act (DAS) while carrying out the research IHA, are a subset of the activities, or require publication of this notification activities covered by this EFP. Vessels include changes so minor (e.g., to provide interested parties the operating as DOF and solely conducting

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survey activities would not need to use Landings limits for the commercial that are sacrificed for biological monkfish DAS and a DAS exemption skate fisheries. sampling. would be unnecessary. If vessels Participating vessels would use gillnet If a sturgeon is encountered, the combine commercial activities with strings with six, 300-foot net panels of protocols outlined in the observer on- 12-inch mesh and tie-downs. Gillnet survey activities (i.e., setting or hauling deck reference guide will be followed. strings would be compliant with all commercial gear) the operator would This will include photographing the regulations, including the Atlantic Large need to be declared into the monkfish animal, taking a fin clip unless it is a Whale Take Reduction Plan, and will be DAS program. The proposed research shortnose sturgeon, measuring fork area would fall within the bounds of the using Future Oceans Marine Mammal length and weight if possible, recording monkfish Southern Fishery Deterrent Devices (10Khz) to warn any injuries or bruises, and returning Management Area (SFMA). Current harbor porpoises of nearby nets. The the animal to the water as soon as these effort controls for the SFMA were EFP would exempt vessels from gillnet activities are completed. established in Framework Adjustment tagging requirements and all buoys 12 to the Monkfish Fishery Management would be labeled with ‘‘CFRF’’ and the Estimated catch of federally regulated Plan (FMP). Framework 12 documented EFP permit number to mark them as species that would be expected under a decline in landings over the last ten research gear. this EFP is shown in Table 1. Survey years and decreased the SFMA Annual CFRF staff would be on board for all catch estimates were derived from Catch Limit (ACL). Even with the sampling trips of survey nets. No catch commercial catch data for similar gillnet decreased ACL in the SFMA, the limit from the survey nets would be landed gear reported in NOAA Technical is higher than landings in recent fishing for sale. From each haul, researchers Memorandum NMFS–NE–254 2019 years. Therefore, the fishing effort from would record the number and size for Discard Estimation, Precision and this EFP would not be beyond the scope all species, and all organisms would be Sample Size Analyses for 14 Federally of what was considered in Framework identified to the species level. Length Managed Species Groups in the Waters 12. Additionally, this EFP would not frequency distribution would be off the Northeastern United States result in a significant increase in catch recorded for dominant species in the (https://repository.library.noaa.gov/ from what was considered in the catch up to 50 individuals, as well as for view/noaa/23007). The gear Supplemental Information Report any endangered species. Stomach configuration, location, and soak times completed for Framework Adjustment 8 content analysis would be performed for of these trips is unknown, and would to the Northeast Skate Complex FMP. A commercially important species likely vary from what would be used vessel conducting survey activities (monkfish, winter skate, gadids, black under this EFP. It is also likely that the under this EFP would be required to sea bass) to determine the prey catch from this survey would be less adhere to its permit-based Vessel Trip composition for these species during the than the estimates provided below Reporting requirements to ensure pre-construction period in the offshore because they are derived from fishing accurate catch accounting. Catch from wind lease area. A maximum of 5 data from trips that often targeted these this EFP will be counted against the individuals per species and 10 total species directly with commercial fishing monkfish and skate ACLs, but not animals per string will be sampled. gear in areas where they are more against the in season Total Allowable Otoliths would be sampled from all fish abundant.

TABLE 1—ESTIMATED CATCH OF FEDERALLY REGULATED SPECIES PER SURVEY TRIP, AND TOTAL ESTIMATED CATCH

Species name/species group Catch per area per trip Estimated total survey catch

Skate Complex ...... 1,516.5 lb (687.9 kg) ...... 109,184.8 lb (49,525.4 kg) Monkfish ...... 606.1 lb (274.9 kg) ...... 43,638.0 lb (19,793.9 kg) Spiny Dogfish ...... 140.1 lb (63.5 kg) ...... 10,147.3 lb (4602.7 kg) Fluke ...... 7.2 lb (3.3 kg) ...... 1,443.9 lb (654.9 kg) Atlantic Halibut ...... 6.7 lb (3.0 kg) ...... 561.8 lb (254.8 kg) Atlantic Cod ...... 6.5 lb (2.9 kg) ...... 520.5 lb (236.1 kg) Pollock ...... 3.5 lb (1.6 kg) ...... 483.8 lb (219.4 kg) Bluefish ...... 1.8 lb (0.8 kg) ...... 467.1 lb (211.9 kg) Silver Hake ...... 1.8 lb (0.8 kg) ...... 248.4 lb (112.7 kg) White Hake ...... 1.3 lb (0.6 kg) ...... 132.3 lb (60.0 kg) Haddock ...... 1.0 lb (0.5 kg) ...... 127.1 lb (57.7 kg) American Plaice ...... 0.4 lb (0.2 kg) ...... 126.4 lb (57.3 kg) Scup ...... 0.4 lb (0.2 kg) ...... 90.4 lb (41.0 kg) Winter Flounder ...... 0.4 lb (0.2 kg) ...... 73.2 lb (33.2 kg) Tilefish ...... 0.2 lb (0.1 kg) ...... 29.5 lb (13.4 kg) Golden Tilefish ...... 0.2 lb (0.1 kg) ...... 28.4 lb (12.9 kg) Black Sea Bass ...... 0.2 lb (0.1 kg) ...... 28.0 lb (12.7 kg)

If approved, CFRF may request minor request. Any fishing activity conducted Dated: February 26, 2021. modifications and extensions to the EFP outside the scope of the exempted Kelly Denit, throughout the study. EFP modifications fishing activity would be prohibited. Director, Office of Sustainable Fisheries, and extensions may be granted without Authority: 16 U.S.C. 1801 et seq. National Marine Fisheries Service. further notice if they are deemed [FR Doc. 2021–04420 Filed 3–3–21; 8:45 am] essential to facilitate completion of the BILLING CODE 3510–22–P proposed research and have minimal impacts that do not change the scope or impact of the initially approved EFP

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DEPARTMENT OF COMMERCE ADDRESSES: You may submit written over 2 seasonal periods: April 2021– comments by any of the following October 2021 and April 2022–October National Oceanic and Atmospheric methods: 2022. Survey trips would take place Administration • Email: [email protected]. each month over each of the 7-month Include in the subject line ‘‘CFRF South [RTID 0648–XA874] seasonal periods. The first day would be Fork Wind Farm Fish Pot EFP.’’ used for setting pots and the second day Magnuson-Stevens Act Provisions; FOR FURTHER INFORMATION CONTACT: for hauling pots and sampling catch. General Provisions for Domestic Louis Forristall, Marine Resources On each survey trip, 25 pots will be Fisheries; Application for Exempted Management Specialist, 978–281–9321, set on 6 trawl lines (150 pots total) at Fishing Permits [email protected]. randomly selected turbine locations at SUPPLEMENTARY INFORMATION: The CFRF the SFWF. Each trawl line would soak AGENCY: National Marine Fisheries submitted a complete application for an for 24 hours. Between each survey Service (NMFS), National Oceanic and EFP in support of its SFWF Fish Pot within a season, pots will be left open Atmospheric Administration (NOAA), Survey on October 16, 2020. The underwater. Pots would be removed Commerce. proposed research would use scup traps between each survey season. ACTION: Notice; request for comments. in a Before-After-Control-Impact study The proposed research would use design to collect pre-construction data ventless scup traps that include an anti- SUMMARY: The Assistant Regional on the abundance, size structure, and Administrator for Sustainable Fisheries, ghost fish panel. The rigging lines will distribution of scup, black sea bass, and be 3/8 inch (.95 cm) pro flex sink and Greater Atlantic Region, NMFS, has tautog in the SFWF area and adjacent made a preliminary determination that float rope attached to buoys. Buoy stick waters. swivel ends and breakaway 600 pound an Exempted Fishing Permit (EFP) This EFP would temporarily exempt 8 (272 kg) swivel links would be used to application contains all of the required vessels (2 active, 6 reserve) during 14 2- reduce marine mammal entanglement. information and warrants further day trips in statistical area 537 from: consideration. The EFP would allow Possession limits and minimum size During survey periods, the fishing eight commercial fishing vessels to use requirements specified in 50 CFR 648 vessel would redeploy the pot trawl at fish pots to collect pre-construction data subparts B and D through O for on- the sampling location. In between on the abundance, size structure, and board sampling; trap escape vent and monthly survey trips, the pots will be distribution of scup and black sea bass gear marking requirements in 50 CFR un-baited and doors will be left open. in the South Fork Wind Farm (SFWF) 648 subparts H and I, as well as § 697 On the first day of the next monthly work area and adjacent waters, under subpart A; and trap limit requirements survey, pots will be hauled, baited, and the direction of the Commercial at § 697.19(b) to allow participating redeployed. Fisheries Research Foundation (CFRF). vessels to temporarily carry survey traps Estimated catch that would be Regulations under the Magnuson- plus in addition to the vessel’s allocated expected under this EFP is shown below Stevens Fishery Conservation and traps in Lobster Management Area 2. in Table 1. Survey catch estimates were Management Act require publication of The proposed research activity would derived from the Rhode Island this notification to provide interested sample 6 randomly selected locations in Department of Management’s ventless parties the opportunity to comment on the SFWF work area located within fish pot monitoring survey. The survey the proposed EFP. NOAA Statistical Area 537. The was conducted within Narraganset Bay, DATES: Comments must be received on proposed research would consist of 14 but used similar gear and fishing or before March 19, 2021. 2-day survey trips that will take place methods as the proposed activity.

TABLE 1—ESTIMATED CATCH PER SURVEY TRIP, AND TOTAL ESTIMATED CATCH

Species name/species group Catch per area per trip Estimated total survey catch

Scup ...... 248.0 lbs (112.5 kg) ...... 3,472.3 lbs (1575.0 kg). Black Sea Bass ...... 115.7 lbs (52.5 kg) ...... 1,620.4 lbs (735.0 kg). Tautog ...... 20.1 lbs (9.1 kg) ...... 324.1 lbs (147.0 kg).

If approved, CFRF may request minor Dated: February 26, 2021, Administration (NOAA), Department of modifications and extensions to the EFP Kelly Denit, Commerce. throughout the study. EFP modifications Director, Office of Sustainable Fisheries, ACTION: Notice of open meeting. and extensions may be granted without National Marine Fisheries Service. further notice if they are deemed [FR Doc. 2021–04435 Filed 3–3–21; 8:45 am] SUMMARY: Notice is hereby given of a essential to facilitate completion of the BILLING CODE 3510–22–P virtual meeting of the U. S. Integrated proposed research and have minimal Ocean Observing System (IOOS®) impacts that do not change the scope or Advisory Committee (Committee). impact of the initially approved EFP DEPARTMENT OF COMMERCE DATES: The meeting will be held on request. Any fishing activity conducted March 17, 18, and 19, 2021 from 1:00 National Oceanic and Atmospheric outside the scope of the exempted p.m. to 5:00 p.m. EDT. These times and Administration fishing activity would be prohibited. the agenda topics described below are (Authority: 16 U.S.C. 1801 et seq.) U.S. Integrated Ocean Observing subject to change. Refer to the web page System (IOOS®) Advisory Committee listed below for the most up-to-date agenda and dial-in information. AGENCY: National Ocean Service, ADDRESSES: The meeting will be held National Oceanic and Atmospheric virtually. Refer to the U.S. IOOS

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Advisory Committee website at http:// surface mapping technology assets, and organization/company affiliation you ioos.noaa.gov/community/u-s-ioos- other assets needed to fill gaps in represent to Krisa Arzayus, advisory-committee/ for the most up-to- coverage on United States coastlines; [email protected] and Laura date information. and Gewain, [email protected]. FOR FURTHER INFORMATION CONTACT: (III) follows a deployment plan that Matters to be considered: The meeting Krisa Arzayus, Designated Federal prioritizes closing gaps in high will focus on updates from committee Official, U.S. IOOS Advisory frequency radar infrastructure in the working groups on ongoing committee Committee, U.S. IOOS Program, 1315 United States, starting with areas priorities, including the role of ocean East-West Highway, Silver Spring, MD demonstrating significant sea surface observations in forecasting, strategy and 20910; Phone 240–533–9455; Fax 301– current data needs, especially in areas vision for the System, partnerships for 713–3281; Email krisa.arzayus@ where additional data will improve a successful System, and requirements noaa.gov or visit the U.S. IOOS Coast Guard search and rescue models; for the System, in order to develop the Advisory Committee website at http:// (ii) fleet acquisition for unmanned next set of recommendations to NOAA ioos.noaa.gov/community/u-s-ioos- maritime systems for deployment and and the IOOC. The latest version of the advisory-committee/. To register for the data integration to fulfill the purposes of agenda will be posted at http:// meeting, contact Laura Gewain, this subtitle; ioos.noaa.gov/community/u-s-ioos- [email protected]. (iii) an integrative survey program for advisory-committee/. SUPPLEMENTARY INFORMATION: The application of unmanned maritime Special accomodations: These Committee was established by the systems to the real-time or near real- meetings are physically accessible to NOAA Administrator as directed by time collection and transmission of sea people with disabilities. Requests for Section 12304 of the Integrated Coastal floor, water column, and sea surface sign language interpretation or other and Ocean Observation System Act, part data on biology, chemistry, geology, auxiliary aids should be directed to of the Omnibus Public Land physics, and hydrography; Krisa Arzayus, Designated Federal Management Act of 2009 (Pub. L. 111– (iv) remote sensing and data Official at [email protected] and 11), and reauthorized under the assimilation to develop new analytical [email protected] or 240–533– Coordinated Ocean Observations and methodologies to assimilate data from 9455 by March 10, 2021. the System into hydrodynamic models; Research Act of 2020 (Pub. L. 116–271). Krisa M. Arzayus, The Committee advises the NOAA (v) integrated, multi-State monitoring to assess sources, movement, and fate of Deputy Director, U.S. Integrated Ocean Administrator and the Interagency Observing System Office, National Ocean Ocean Observation Committee (IOOC) sediments in coastal regions; (vi) a multi-region marine sound Service. on matters related to the responsibilities [FR Doc. 2021–04495 Filed 3–3–21; 8:45 am] and authorities set forth in section monitoring system to be— (I) planned in consultation with the BILLING CODE 3510–JE–P 12302 of the Integrated Coastal and Interagency Ocean Observation Ocean Observation System Act of 2009 Committee, the National Oceanic and and other appropriate matters as the Atmospheric Administration, the DEPARTMENT OF COMMERCE Under Secretary refers to the Committee Department of the Navy, and academic for review and advice. National Telecommunications and The Committee will provide advice research institutions; and Information Administration (II) developed, installed, and operated on: (A) Administration, operation, in coordination with the National Recruitment of First Responder management, and maintenance of the Oceanic and Atmospheric Network Authority Board Members System; Administration, the Department of the AGENCY: (B) expansion and periodic Navy, and academic research National Telecommunications modernization and upgrade of institutions; and and Information Administration, U.S. technology components of the System; (E) any other purpose identified by Department of Commerce. (C) identification of end-user the Administrator or the Council. ACTION: Notice. communities, their needs for The meeting will be open to public participation with a 10-minute public SUMMARY: The National information provided by the System, Telecommunications and Information and the System’s effectiveness in comment period on from 4:45pm to 5:00pm EDT each day of the meeting Administration (NTIA) issues this disseminating information to end-user Notice to initiate the annual process to communities and to the general public; (check agenda on website to confirm time). The Committee expects that seek expressions of interest from and individuals who would like to serve on (D) additional priorities, including— public statements presented at its (i) a national surface current mapping meetings will not be repetitive of the Board of the First Responder network designed to improve fine scale previously submitted verbal or written Network Authority (FirstNet Authority sea surface mapping using high statements. In general, each individual Board or Board). The terms of 11 of the frequency radar technology and other or group making a verbal presentation 12 non-permanent members to the emerging technologies to address will be limited to a total time of three FirstNet Authority Board will be national priorities, including Coast (3) minutes. Written comments should available for appointment and Guard search and rescue operation be received by the Designated Federal reappointment in 2021. planning and harmful algal bloom Official by March 15, 2021, to provide DATES: To be considered for the forecasting and detection that— sufficient time for Committee review. calendar year 2021 appointments, (I) is comprised of existing high Written comments received after March expressions of interest must be frequency radar and other sea surface 15, 2021, will be distributed to the electronically transmitted on or before current mapping infrastructure operated Committee, but may not be reviewed April 5, 2021. by national programs and regional prior to the meeting date. To submit ADDRESSES: Applicants should submit coastal observing systems; written comments, please email your expressions of interest as described (II) incorporates new high frequency comments, your name as it appears on below to: Michael Dame, Deputy radar assets or other fine scale sea your driver’s license, and the Associate Administrator, Office of

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Public Safety Communications, National member may satisfy more than one of employees. FirstNet Authority Board Telecommunications and Information these requirements. The current non- members are compensated at the daily Administration, by email to permanent FirstNet Authority Board rate of basic pay for level IV of the [email protected]. members are (noting expiration of term): Executive Schedule (approximately FOR FURTHER INFORMATION CONTACT: • Robert Tipton Osterthaler, Board $172,500 per year) for each day worked Michael Dame, Deputy Associate Chair, Business/technology executive, on the FirstNet Authority Board.8 Each Administrator, Office of Public Safety network (Term expired: January 2021) Board member must be a United States Communications, National • Matt Slinkard, Executive Assistant citizen, cannot be a registered lobbyist, Telecommunications and Information Chief of Police, City of Houston Police and cannot be a registered agent of, Administration; telephone: (202) 482– Department (Term expired: January employed by, or receive payments from, 9 1181; email: [email protected]. Please 2021) a foreign government. direct media inquiries to NTIA’s Office • David Zolet, CEO, CentralSquare IV. Financial Disclosure and Conflicts of Public Affairs, (202) 482–7002. (Term expired: January 2021) of Interest SUPPLEMENTARY INFORMATION: • Vacant (Term expired: January 2021) FirstNet Authority Board members • Richard Carrizzo, Board Vice Chair, I. Background and Authority must comply with certain federal Fire Chief, Southern Platte Fire conflict of interest statutes and ethics The Middle Class Tax Relief and Job Protection District, MO (Term expires: regulations, including some financial Creation Act of 2012 (Act) created the August 2021) disclosure requirements. A FirstNet First Responder Network Authority • Neil E. Cox, Telecommunications/ (FirstNet Authority) as an independent Authority Board member will generally technology executive (Term expires: be prohibited from participating on any authority within NTIA. The Act charged August 2021) the FirstNet Authority with ensuring the • particular FirstNet Authority matter that Brian Crawford, SVP and Chief will have a direct and predictable effect building, deployment, and operation of Administrative Officer for Willis- a nationwide, interoperable public on his or her personal financial interests Knighton Health System/former Fire or on the interests of the appointee’s safety broadband network, based on a Chief and municipal government single, national network architecture.1 spouse, minor children, or non-federal executive (Term expires: August employer. The FirstNet Authority holds the single 2021) nationwide public safety license granted • Billy Hewes, Mayor of Gulfport, MS V. Selection Process for wireless public safety broadband (Term expires: August 2021) At the direction of the Secretary, deployment. The FirstNet Authority • Edward Horowitz, Venture capital/ NTIA will conduct outreach to the Board is responsible for providing technology executive (Term expires: public safety community, state and local overall policy direction and oversight of August 2021) organizations, and industry to solicit FirstNet to ensure that the nationwide • Paul Patrick, Division Director, nominations for candidates to the Board network continuously meets the needs Family Health and Preparedness, who satisfy the statutory requirements of public safety. Utah Department of Health (Term for membership. In addition, the II. Structure expires: August 2021) Secretary, through NTIA, will accept • The FirstNet Authority Board is Brigadier General Welton Chase, expressions of interest from any composed of 15 voting members. The Retired, U.S. Army, Army Information individual, or from any organization Act names the Secretary of Homeland Technology/CEO, Chase Cyber proposing a candidate who satisfies the Security, the Attorney General of the Consulting (Term expires: September statutory requirements for membership 2021) on the FirstNet Authority Board. To be United States, and the Director of the • Office of Management and Budget as Karima Holmes, Senior Director, considered for a calendar year 2021 permanent members of the FirstNet ShotSpotter, Inc. (Term expires: appointment, expressions of interest Authority Board. The Secretary of August 2022) must be electronically transmitted on or Commerce (Secretary) appoints the 12 Any Board member whose term has before April 5, 2021. All parties submitting an expression non-permanent members of the FirstNet expired may serve until such member’s of interest should submit the Authority Board.2 successor has taken office, or until the The Act requires each Board member end of the calendar year in which such candidate’s (i) full name, address, telephone number, email address; (ii) to have experience or expertise in at member’s term has expired, whichever 5 current resume; (iii) statement of least one of the following substantive is earlier. Board members will be qualifications that references how the areas: Public safety, network, technical, appointed for a term of three years.6 candidate satisfies the Act’s expertise, and/or financial.3 Additionally, the Board members may not serve more representational, and geographic composition of the FirstNet Authority than two consecutive full three-year requirements for FirstNet Authority Board must satisfy the other terms.7 More information about the Board membership, as described in this requirements specified in the Act, FirstNet Authority Board is available at Notice; and (iv) a statement describing including that: (i) At least three www.firstnet.gov/about/Board. why the candidate wants to serve on the members have served as public safety III. Compensation and Status as FirstNet Authority Board, affirming professionals; (ii) at least three members Government Employees their ability and availability to take a represent the collective interests of regular and active role in the Board’s states, localities, tribes, and territories; FirstNet Authority Board members are appointed as special government work. and (iii) its members reflect geographic The Secretary will select FirstNet and regional, as well as rural and urban, 5 Authority Board candidates based on representation.4 An individual Board 47 U.S.C. 1424(c)(2)(B). 6 However, [a]ny member appointed to fill a vacancy occurring prior to the expiration of the 8 47 U.S.C. 1424(g). 1 47 U.S.C. 1422(b). term for which that member’s predecessor was 9 See Revised Guidance on Appointment of 2 47 U.S.C. 1424(b). appointed shall be appointed for the remainder of Lobbyists to Federal Advisory Committees, Boards, 3 47 U.S.C. 1424(b)(2)(B). the predecessor’s term. See 47 U.S.C. 1424(c)(2)(C). and Commissions, Office of Management and 4 47 U.S.C. 1424(b)(2)(A). 7 47 U.S.C. 1424(c)(2)(A)(ii). Budget, 79 FR 47482 (Aug. 13, 2014).

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the eligibility requirements in the Act SUPPLEMENTARY INFORMATION: The OMB total burden hours, total number of and recommendations submitted by is particularly interested in comments respondents, or burden-hours per NTIA. NTIA will recommend which: respondent) and are low-cost for both candidates based on an assessment of • Evaluate whether the proposed the respondents and the Federal qualifications as well as demonstrated collection of information is necessary Government; ability to work in a collaborative way to for the proper performance of the • The collections are non- achieve the goals and objectives of the functions of AmeriCorps, including controversial and do not raise issues of FirstNet Authority as set forth in the whether the information will have concern to other Federal agencies; Act. NTIA may consult with FirstNet practical utility; • Any collection is targeted to the • Authority Board members or executives Evaluate the accuracy of the solicitation of opinions from in making its recommendation. Board agency’s estimate of the burden of the respondents who have experience with candidates will be vetted through the proposed collection of information, the program or may have experience Department of Commerce and are including the validity of the with the program in the near future; methodology and assumptions; • Personally identifiable information subject to an appropriate background • check for security clearance. Propose ways to enhance the (PII) is collected only to the extent quality, utility, and clarity of the necessary and is not retained; Dated: March 1, 2021. information to be collected; and • Information gathered will be used Kathy Smith, • Propose ways to minimize the only internally for general service Chief Counsel, National Telecommunications burden of the collection of information improvement and program management and Information Administration. on those who are to respond, including purposes and is not intended for release [FR Doc. 2021–04473 Filed 3–3–21; 8:45 am] through the use of appropriate outside of the agency; BILLING CODE 3510–WL–P automated, electronic, mechanical, or • Information gathered will not be other technological collection used for the purpose of substantially techniques or other forms of information informing influential policy decisions; technology. and CORPORATION FOR NATIONAL AND • Information gathered will yield Comments COMMUNITY SERVICE qualitative information; the collections A 60-day Notice requesting public will not be designed or expected to Agency Information Collection comment was published in the Federal yield statistically reliable results or used Activities; Submission to the Office of Register on Monday, November 30 at as though the results are generalizable to Management and Budget for Review 85: 76543. This comment period ended the population of study. and Approval; Comment Request; January 29, 2021. No comments were Feedback collected under this generic Generic Clearance for the Collection of received. clearance provides useful information, Pilot and Test Data Title of Collection: Generic Clearance but it does not yield data that can be for the Collection of Pilot and Test Data. generalized to the overall population. AGENCY: Corporation for National and OMB Control Number: 3045–0163. This type of generic clearance for Community Service. Type of Review: Renewal. qualitative information will not be used Respondents/Affected Public: ACTION: Notice of information collection; for quantitative information collections Individuals and Households. request for comment. that are designed to yield reliably Total Estimated Number of Annual actionable results, such as monitoring Responses: 350. SUMMARY: The Corporation for National Total Estimated Number of Annual trends over time or documenting and Community Service, operating as Burden Hours: 10,500 minutes. program performance. Such data uses AmeriCorps, has submitted a public Abstract: AmeriCorps seeks to renew require more rigorous designs that information collection request (ICR) the current information collection. The address the target population to which entitled Generic Clearance for the information collection will enable pilot generalizations will be made, the Collection of Pilot and Test Data for testing of survey instruments in an sampling frame, the sample design review and approval in accordance with efficient, timely manner, in accordance (including stratification and clustering), the Paperwork Reduction Act. with the Administration’s commitment the precision requirements or power DATES: Written comments must be to improving service delivery. By pilot calculations that justify the proposed submitted to the individual and office testing we mean information that sample size, the expected response rate, listed in the ADDRESSES section by April provides useful insights on how methods for assessing potential non- 5, 2021. respondents interact with the response bias, the protocols for data instrument, but are not statistical collection, and any testing procedures ADDRESSES: Written comments and that were or will be undertaken prior to recommendations for the proposed surveys that yield quantitative results that can be generalized to the fielding the study. Depending on the information collection should be sent degree of influence the results are likely within 30 days of publication of this population of study. This feedback will provide insights into customer or to have, such collections may still be notice to www.reginfo.gov/public/do/ eligible for submission for other generic PRAMain. Find this particular stakeholder perceptions, experiences and expectations regarding prospective mechanisms that are designed to yield information collection by selecting quantitative results. ‘‘Currently under 30-day Review—Open studies. It will also allow feedback to contribute directly to the improvement As a general matter, information for Public Comments’’ or by using the collections will not result in any new search function. of research program management. The Agency will only submit a system of records containing privacy FOR FURTHER INFORMATION CONTACT: collection for approval under this information and will not ask questions Copies of this ICR, with applicable generic clearance if it meets the of a sensitive nature, such as sexual supporting documentation, may be following conditions: behavior and attitudes, religious beliefs, obtained by calling Amy Borgstrom at • The collections are voluntary; and other matters that are commonly 202–422–2781 or by email to • The collections are low-burden for considered private. The information [email protected]. respondents (based on considerations of collection will be used in the same

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manner as the existing application. competition in the Federal Register (85 published in the Federal Register, in AmeriCorps also seeks to continue using FR 83531). Under the NIA, applications text or Portable Document Format the current application until the revised were due on February 22, 2021. (PDF). To use PDF you must have application is approved by OMB. The We are reopening this competition for Adobe Acrobat Reader, which is current application is due to expire on eligible applicants in affected areas in available free at the site. March 31, 20201. Louisiana, Oklahoma, and Texas to You may also access documents of the allow those applicants more time to Department published in the Federal Dated: February 25, 2021. prepare and submit their applications. Register by using the article search Mary Hyde, For applicants that meet the eligibility feature at: www.federalregister.gov. Director, Office of Research and Evaluation. criteria in this notice, we are reopening Specifically, through the advanced [FR Doc. 2021–04421 Filed 3–3–21; 8:45 am] the competition until March 8, 2021. We search feature at this site, you can limit BILLING CODE 6050–28–P are also extending the your search to documents published by intergovernmental review deadline until the Department. May 5, 2021. DEPARTMENT OF EDUCATION Eligibility: The reopening of the David Cantrell, competition in this notice applies to Deputy Director, Office of Special Education Reopening; Applications for New eligible applicants under Educational Programs, Delegated the authority to perform Awards; Educational Technology, the functions and duties of the Assistant Technology, Media, and Materials for Secretary for the Office of Special Education Media, and Materials for Individuals Individuals with Disabilities—Stepping- and Rehabilitative Services. With Disabilities—Stepping-Up up Technology Implementation, [FR Doc. 2021–04444 Filed 3–3–21; 8:45 am] Technology Implementation Assistance Listing Number 84.327S, that BILLING CODE 4000–01–P are located in an area for which the AGENCY: Office of Special Education and President has issued an emergency Rehabilitative Services, Department of declaration (see www.fema.gov/ Education. DEPARTMENT OF EDUCATION disasters/), in Louisiana (FEMA Disaster ACTION: Notice. designation 3556), Oklahoma (FEMA Reopening; Application Period for SUMMARY: The Department of Education Disaster designation 3555), and Texas Certain Applicants Under the Fiscal (Department) reopens the competition (FEMA Disaster designation 3554). Year (FY) 2021 Graduate Assistance in for fiscal year (FY) 2021, for certain In accordance with the NIA, eligible Areas of National Need Program prospective eligible applicants applicants for this competition are Competition described elsewhere in this notice, limited to State educational agencies; local educational agencies (LEAs), AGENCY: Office of Postsecondary under the Educational Technology, Education, Department of Education. Media, and Materials for Individuals including public charter schools that ACTION: Notice. with Disabilities—Stepping-up operate as LEAs under State law; institutions of higher education; other Technology Implementation, Assistance SUMMARY: The Department of Education public agencies; private nonprofit Listing Number 84.327S. The (Department) reopens the competition organizations; freely associated States Department takes this action to allow for FY 2021, for certain eligible and outlying areas; Indian Tribes or more time for the preparation and applicants described elsewhere in this Tribal organizations; and for-profit submission of applications by notice, under the Graduate Assistance in prospective eligible applicants affected organizations. Note: All information in the NIA for Areas of National Need program, by the severe winter weather in Assistance Listing Number 84.200A. Louisiana, Oklahoma, and Texas. this competition remains the same, except for, with respect to eligible The Department takes this action to DATES: applicants, the deadline for the allow more time for the preparation and Deadline for Transmittal of transmittal of applications and the submission of applications by eligible Applications for Applicants Meeting the deadline for intergovernmental review. applicants affected by the severe winter Eligibility Criteria in this Notice: March Program Authority: 20 U.S.C. 1474 weather in Louisiana, Oklahoma, and 8, 2021. and 1481. Texas, where the President has issued a Deadline for Intergovernmental Accessible Format: On request to the disaster declaration. The reopening of Review: May 5, 2021. program contact person listed under FOR the application deadline date for this FOR FURTHER INFORMATION CONTACT: FURTHER INFORMATION CONTACT, competition is intended to help affected Terry Jackson, U.S. Department of individuals with disabilities can obtain eligible applicants compete fairly with Education, 400 Maryland Avenue SW, this document and a copy of the other eligible applicants under this Room 5128, Potomac Center Plaza, application package in an accessible competition. Washington, DC 20202–5076. format. The Department will provide the DATES: Telephone: (202) 245–6039. Email: requestor with an accessible format that Deadline for Transmittal of [email protected]. may include Rich Text Format (RTF) or Applications for Applicants Meeting the If you use a telecommunications text format (txt), a thumb drive, an MP3 Eligibility Criteria in this Notice: March device for the deaf (TDD) or a text file, braille, large print, audiotape, or 15, 2021. telephone (TTY), call the Federal Relay compact disc, or other accessible format. Deadline for Intergovernmental Service (FRS), toll free, at 1–800–877– Electronic Access to This Document: Review: May 25, 2021. 8339. The official version of this document is FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: On the document published in the Federal Rebecca Ell, U.S Department of December 22, 2020, we published the Register. You may access the official Education, 400 Maryland Avenue SW, notice inviting applications (NIA) for edition of the Federal Register and the 2B214, Washington, DC 20202–4260. the FY 2021 Educational Technology, Code of Federal Regulations at Telephone: (202) 453–6348. Email: Media, and Materials for Individuals www.govinfo.gov. At this site you can [email protected]. with Disabilities—Stepping-up view this document, as well as all other If you use a telecommunications Technology Implementation documents of this Department device for the deaf (TDD) or a text

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telephone (TTY), call the Federal Relay this document and a copy of the this notice to www.reginfo.gov/public/ Service (FRS), toll free, at 1–800–877– application package in an accessible do/PRAMain. Find this information 8339. format. The Department will provide the collection request by selecting SUPPLEMENTARY INFORMATION: On requestor with an accessible format that ‘‘Department of Education’’ under January 15, 2021, we published the may include Rich Text Format (RTF) or ‘‘Currently Under Review,’’ then check notice inviting applications (NIA) for text format (txt), a thumb drive, an MP3 ‘‘Only Show ICR for Public Comment’’ new awards for the FY 2021 Graduate file, braille, large print, audiotape, or checkbox. Comments may also be sent Assistance in Areas of National Need compact disc, or other accessible format. to [email protected]. competition in the Federal Register (86 Electronic Access to This Document: FOR FURTHER INFORMATION CONTACT: For FR 4024). Under the NIA, applications The official version of this document is specific questions related to collection were due on March 1, 2021. the document published in the Federal activities, please contact Freddie Cross, We are reopening this competition for Register. You may access the official (202) 453–7224. eligible applicants in Louisiana, edition of the Federal Register and the SUPPLEMENTARY INFORMATION: The Oklahoma, and Texas, for which the Code of Federal Regulations at Department of Education (ED), in President has issued a disaster www.govinfo.gov. At this site you can accordance with the Paperwork declaration, to allow those applicants view this document, as well as all other Reduction Act of 1995 (PRA) (44 U.S.C. more time to prepare and submit documents of this Department 3506(c)(2)(A)), provides the general applications. For applicants that meet published in the Federal Register, in public and Federal agencies with an the eligibility criteria in this notice, we text or Portable Document Format opportunity to comment on proposed, are reopening the competition until (PDF). To use PDF you must have revised, and continuing collections of March 15, 2021. We are also extending Adobe Acrobat Reader, which is information. This helps the Department the intergovernmental review deadline available free at the site. assess the impact of its information until May 25, 2021. You may also access documents of the collection requirements and minimize Eligibility: The reopening of the Department published in the Federal the public’s reporting burden. It also competition in this notice applies to Register by using the article search helps the public understand the eligible applicants under the Graduate feature at: www.federalregister.gov. Department’s information collection Assistance in Areas of National Need Specifically, through the advanced requirements and provide the requested program, Assistance Listing Number search feature at this site, you can limit data in the desired format. ED is 84.200A, that are located in an area for your search to documents published by soliciting comments on the proposed which the President has issued an the Department. information collection request (ICR) that emergency declaration (see Tiwanda Burse, is described below. The Department of www.fema.gov/disasters/), in Louisiana Deputy Assistant Secretary for Management Education is especially interested in (FEMA Disaster designation 3556), & Planning, Office of Postsecondary public comment addressing the Oklahoma (FEMA Disaster designation Education, Delegated authority to perform following issues: (1) Is this collection 3555), and Texas (FEMA Disaster functions and duties of the Assistant necessary to the proper functions of the designation 3554). Secretary for the Office of Postsecondary Department; (2) will this information be In accordance with the NIA, eligible Education. processed and used in a timely manner; applicants for this competition are: [FR Doc. 2021–04485 Filed 3–3–21; 8:45 am] (3) is the estimate of burden accurate; (a) Any academic department of an BILLING CODE 4000–01–P (4) how might the Department enhance institution of higher education (IHE) the quality, utility, and clarity of the that provides a course of study that— information to be collected; and (5) how (i) Leads to a graduate degree in an DEPARTMENT OF EDUCATION might the Department minimize the area of national need; and [Docket No.: ED–2020–SCC–0182] burden of this collection on the (ii) Has been in existence for at least respondents, including through the use four years at the time of an application Agency Information Collection of information technology. Please note for a grant under this competition; or Activities; Submission to the Office of that written comments received in (b) An academic department of an IHE Management and Budget for Review response to this notice will be that— and Approval; Comment Request; considered public records. (i) Satisfies the requirements of Higher Education Act (HEA) Title II Title of Collection: Higher Education paragraph (a) of this section; and Report Cards on State Teacher Act (HEA) Title II Report Cards on State (ii) Submits a joint application with Credentialing and Preparation Teacher Credentialing and Preparation. one or more eligible non-degree-granting OMB Control Number: 1840–0744. institutions that have formal AGENCY: Office of Postsecondary Type of Review: Revision of a arrangements for the support of doctoral Education (OPE), Department of currently approved collection. dissertation research with one or more Education (ED). Respondents/Affected Public: State, degree-granting institutions. ACTION: Notice. Local, and Tribal Governments; Private Note: All information in the NIA for Sector. SUMMARY: this competition remains the same, In accordance with the Total Estimated Number of Annual except for, with respect to eligible Paperwork Reduction Act of 1995, ED is Responses: 1,794. applicants, the deadline for the proposing a revision of a currently Total Estimated Number of Annual transmittal of applications and the approved collection. Burden Hours: 267,588. deadline for intergovernmental review. DATES: Interested persons are invited to Abstract: This request is a revision Program Authority: 20 U.S.C. 1135– submit comments on or before April 5, that includes COVID–19 guidance and 1135e. 2021. to approve the state report card and Accessible Format: On request to the ADDRESSES: Written comments and institution and program report cards program contact person listed under FOR recommendations for proposed required by the Higher Education Act of FURTHER INFORMATION CONTACT, information collection requests should 1965, as amended in 2008 by the Higher individuals with disabilities can obtain be sent within 30 days of publication of Education Opportunity Act (HEOA).

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States must report annually on criteria announce a new competition in FY Executive order directed the Federal and assessments required for initial 2022. Government to pursue a comprehensive teacher credentials using a State Report DATES: The notice published at 86 FR approach to advancing equity for all, Card (SRC), and institutions of higher 2653 on January 13, 2021, is withdrawn including people of color and others education (IHEs) with teacher and the competition canceled as of who have been historically underserved, preparation programs (TPP), and TPPs March 4, 2021. marginalized, and adversely affected by persistent poverty and inequality. outside of IHEs, must report on key FOR FURTHER INFORMATION CONTACT: Ed On January 20, 2021, President Biden program elements on an Institution and Vitelli, U.S. Department of Education, also signed Executive Order 13988, Program Report Card (IPRC). IHEs and 400 Maryland Avenue SW, Room titled ‘‘Preventing and Combating TPPs outside of IHEs report annually to 3E106, Washington, DC 20202. Discrimination on the Basis of Gender their states on program elements, Telephone: 202–453–6203. Email: Identity or Sexual Orientation.’’ This including program numbers, type, [email protected]. Executive order directed the Federal enrollment figures, demographics, If you use a telecommunications Government to prevent and combat completion rates, goals and assurances device for the deaf (TDD) or a text discrimination on the basis of gender to the state. States, in turn, must report telephone (TTY), call the Federal Relay identity or sexual orientation, and to on TPP elements to the Secretary of Service (FRS), toll free, at 1–800–877– fully enforce laws that prohibit Education in addition to information on 8339. assessment pass rates, state standards, discrimination on the basis of gender SUPPLEMENTARY INFORMATION: initial credential types and identity or sexual orientation. requirements, numbers of credentials Background On February 2, 2021, President Biden issued, TPP classification as at-risk or signed Executive Order 14012, titled The EAC program is authorized under ‘‘Restoring Faith in Our Legal low-performing. The information from Title IV of the Civil Rights Act of 1964, states, institutions, and programs is Immigration Systems and Strengthening 42 U.S.C. 2000c—2000c–2, 2000c–5, Integration and Inclusion Efforts for published annually in The Secretary’s and the implementing regulations in 34 Report to Congress on Teacher Quality. New Americans.’’ This Executive order CFR part 270. This program awards directed the Federal Government to The Department plans to use the SRC grants through cooperative agreements and IPRC current instruments, ensure that laws and policies encourage to operate regional EACs that provide full participation by immigrants, unchanged, for the FY21 through FY23 technical assistance (including training) data collections, in order to maintain including refugees, in our civic life; that at the request of school boards and other immigration processes and other continuity in the information available. responsible governmental agencies in There is no change in burden due to the benefits are delivered effectively and the preparation, adoption, and efficiently; and that the Federal addition of Institutions with Teacher implementation of plans for the Preparation Programs. The Department Government eliminates sources of fear desegregation of public schools—which and other barriers that prevent has included additional instruction to in this context means plans for equity aid institutions in reporting data that immigrants from accessing government (including desegregation based on race, services available to them. may differ from usual data due to national origin, sex, and religion)—and COVID restrictions. To allow the Department the in the development of effective methods opportunity to consider how best to Dated: March 1, 2021. of coping with special educational align the EAC program with these Kate Mullan, problems occasioned by desegregation. Executive orders, to the extent PRA Coordinator, Strategic Collections and Desegregation assistance, per 34 CFR statutorily permitted, the Department is Clearance Governance and Strategy Division, 270.4, may include, among other withdrawing the NIA and cancelling Office of Chief Data Officer, Office of activities: (1) Dissemination of this competition. The Department will Planning, Evaluation and Policy information regarding effective methods propose to extend the project period for Development. of coping with special educational current grantees to ensure the continuity [FR Doc. 2021–04489 Filed 3–3–21; 8:45 am] problems occasioned by desegregation; of the important services provided BILLING CODE 4000–01–P (2) assistance and advice in coping with under the program. The Department these problems; and (3) training intends to announce a new EAC designed to improve the ability of competition for five-year grants in FY DEPARTMENT OF EDUCATION teachers, supervisors, counselors, 2022. parents, community members, Withdrawal of Notice Inviting community organizations, and other Intergovernmental Review Applications and Cancellation of the elementary or secondary school This program is subject to Executive Competition for the Equity Assistance personnel to deal effectively with Order 12372 and the regulations in 34 Centers Program special educational problems CFR part 79. occasioned by desegregation. A project Accessible Format: On request to the AGENCY: Office of Elementary and program contact person listed under FOR Secondary Education, Department of must provide technical assistance in all FURTHER INFORMATION CONTACT, Education. four of the desegregation assistance areas: Race, sex, national origin, and individuals with disabilities can obtain ACTION: Notice; withdrawal. religion desegregation. this document in an accessible format. On January 13, 2021, the Department The Department will provide the SUMMARY: The U.S. Department of published in the Federal Register (86 requestor with an accessible format that Education (Department) withdraws the FR 2653) an NIA for the FY 2021 EAC may include Rich Text Format (RTF) or notice inviting applications (NIA) and competition, ALN 84.004D. text format (txt), a thumb drive, an MP3 cancels the competition for fiscal year On January 20, 2021, President Joseph file, braille, large print, audiotape, or (FY) 2021 for the Equity Assistance R. Biden signed Executive Order 13985, compact disc, or other accessible format. Centers (EAC) program under titled ‘‘Advancing Racial Equity and Electronic Access to This Document: Assistance Listing number (ALN) Support for Underserved Communities The official version of this document is 84.004D. The Department intends to Through the Federal Government.’’ This the document published in the Federal

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Register. You may access the official HEA: Developing Hispanic-Serving grant from the Student Support Services edition of the Federal Register and the Institutions (HSI) and Promoting (SSS) program that is authorized under Code of Federal Regulations at Postbaccalaureate Opportunities for section 402D of the HEA, 20 U.S.C. www.govinfo.gov. At this site you can Hispanic Americans (PPOHA). 1070a–14, may receive a waiver of the view this document, as well as all other DATES: required non-Federal cost share for documents of this Department Applications Available: March 4, institutions for the duration of the grant. published in the Federal Register, in 2021. An applicant that receives a grant from text or Portable Document Format Deadline for Transmittal of the Undergraduate International Studies (PDF). To use PDF, you must have Applications: April 5, 2021. and Foreign Language (UISFL) program Adobe Acrobat Reader, which is FOR FURTHER INFORMATION CONTACT: that is authorized under section 604 of available free at the site. Christopher Smith, Institutional Service, the HEA, 20 U.S.C. 1124, may receive a You may also access documents of the U.S. Department of Education, 400 waiver or reduction of the required non- Department published in the Federal Maryland Avenue SW, Room 2B108, Federal cost share for institutions for the Register by using the article search Washington, DC 20202. Telephone: duration of the grant. feature at www.federalregister.gov. (202) 453–7946 or (202) 262–7141. Sections 312 and 502 of the HEA, 34 Specifically, through the advanced Email: [email protected]; or CFR 607.2–607.5, and 34 CFR 606.2– search feature at this site, you can limit Jason Cottrell, Institutional Service, U.S. 606.5 include most of the basic your search to documents published by Department of Education, 400 Maryland eligibility requirements for grant the Department. Avenue SW, Room 2B127, Washington, programs authorized under titles III and V of the HEA. Sections 312(b)(1)(B) and Mark Washington, DC 20202. Telephone: (202) 453–7530 or (202) 262–1833. Email: 502(a)(2)(A) of the HEA provide that, to Deputy Assistant Secretary, Office of be eligible for these programs, an Elementary and Secondary Education. [email protected]. If you use a telecommunications institution of higher education’s average [FR Doc. 2021–04491 Filed 3–3–21; 8:45 am] device for the deaf (TDD) or a text ‘‘educational and general expenditures’’ BILLING CODE 4000–01–P telephone (TTY), call the Federal Relay (E&G) per full-time equivalent (FTE) Service (FRS), toll free, at 1–800–877– undergraduate student must be less than the average E&G expenditures per FTE DEPARTMENT OF EDUCATION 8339. undergraduate student of institutions SUPPLEMENTARY INFORMATION: Eligibility Designations and that offer similar instruction in that Applications for Waiving Eligibility Full Text of Announcement year. Requirements; Programs Under Parts I. Funding Opportunity Description The National Center for Education A and F of Title III and Programs Under Statistics (NCES) calculates Core Purpose of Programs: The Part A SIP, Expenses per FTE of institutions, a Title V of the Higher Education Act of Part A ANNH, Part A PBI, Part A 1965, as Amended (HEA) statistic like E&G per FTE. Both E&G per NASNTI, and Part A AANAPISI FTE and Core Expenses per FTE are AGENCY: Office of Postsecondary programs are authorized under title III, based on regular operational Education, Department of Education part A of the HEA. The Part F HSI STEM expenditures of institutions (excluding (Department). and Articulation, Part F PBI, Part F auxiliary enterprises, independent ACTION: Notice. ANNH, Part F NASNTI, and Part F operations, and hospital expenses). AANAPISI programs are authorized They differ only in that E&G per FTE is SUMMARY: The Department announces under title III, part F of the HEA. The based on fall undergraduate enrollment, the process for designation of eligible HSI and PPOHA programs are while Core Expenses per FTE is based institutions and invites applications for authorized under title V of the HEA. on 12-month undergraduate enrollment waivers of eligibility requirements for Please note that certain programs for the academic year. fiscal year (FY) 2021, for the following addressed in this notice have the same To avoid inconsistency in the data programs: 1. Programs authorized under or similar names as other programs that submitted to, and produced by, the title III, part A of the HEA: are authorized under a different Department, for the purpose of sections Strengthening Institutions Program (Part statutory authority. For this reason, we 312(b)(1)(B) and 502(a)(2)(A) of the A SIP), Alaska Native and Native specify the statutory authority as part of HEA, E&G per FTE is calculated using Hawaiian-Serving Institutions (Part A the acronym for certain programs. the same methodology as Core Expenses ANNH), Predominantly Black Under the programs discussed above, per FTE. Accordingly, the Department Institutions (Part A PBI), Native institutions are eligible to apply for will apply the NCES methodology for American-Serving Nontribal Institutions grants if they meet specific statutory and calculating Core Expenses per FTE. (Part A NASNTI), and Asian American regulatory eligibility requirements. An Institutions requesting an eligibility and Native American Pacific Islander- institution of higher education that is exemption determination must use the Serving Institutions (Part A AANAPISI). designated as an eligible institution may Core Expenses per FTE data reported to 2. Programs authorized under title III, also receive a waiver of certain non- NCES’ Integrated Postsecondary part F of the HEA: Hispanic-Serving Federal cost-sharing requirements for Education Data System (IPEDS) for the Institutions STEM and Articulation one year under the Federal most currently available academic year, (Part F HSI STEM and Articulation), Supplemental Educational Opportunity in this case academic year 2018–2019. Predominantly Black Institutions (Part F Grant (FSEOG) program authorized by Special Note: To qualify as an eligible PBI), Alaska Native and Native title IV, part A of the HEA and the institution under the grant programs Hawaiian-Serving Institutions (Part F Federal Work-Study (FWS) program listed in this notice, your institution ANNH), Native American-Serving authorized by section 443 of the HEA. must satisfy several criteria. For most of Nontribal Institutions (Part F NASNTI), Qualified (eligible) institutions may these programs, these criteria include and Asian American and Native receive the FSEOG and FWS waivers for those that relate to the enrollment of American Pacific Islander-Serving one year even if they do not receive a needy students and to the Core Institutions (Part F AANAPISI). 3. grant under a title III or V grant Expenses per FTE student count for a Programs authorized under title V of the program. An applicant that receives a specified base year. The most recent

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data available in IPEDS for Core (EM), under which we will use system is open, click the link on your Expenses per FTE are for base year information submitted by institutions to dashboard to check your institution’s 2018–2019. To award FY 2021 grants in IPEDS to determine which institutions eligibility status by clicking the ‘‘View a timely manner, we will use these data meet the basic eligibility requirements pre-Eligibility Information’’ button. to evaluate eligibility. for the programs authorized by title III Your institution’s eligibility information Accordingly, each institution or V of the HEA listed above. We will will display. interested in either applying for a new use enrollment and fiscal data from the If the EM does not show that your grant under the title III or V programs 2018–2019 year submitted by institution is eligible for a program, or addressed in this notice, or requesting a institutions to IPEDS to make eligibility if your institution does not appear in the waiver of the non-Federal cost share, determinations for FY 2021. Beginning eligibility system, or if you disagree must be designated as an eligible February XX, 2021, an institution will with the eligibility determination institution in FY 2021. Under the HEA, be able to review the Department’s reflected in the eligibility system, you any institution interested in applying decision on whether it is eligible for the can apply for a waiver or for a grant under any of these programs grant programs authorized by title III or reconsideration through the process must first be designated as an eligible V of the HEA through this process by described in this notice. The application institution. (34 CFR 606.5 and 607.5). checking the institution’s eligibility in process is like previous years; you will Note: Please be advised that the list of the eligibility system linked through the choose the waiver option on the website institutions of higher education Department’s Institutional Service at https://HEPIS.ed.gov/ and submit identified in the allocation table as Eligibility website: http://www2.ed.gov/ your institution’s application. eligible to receive an award under about/offices/list/ope/idues/ Enrollment of Needy Students: For section 314(a)(2) of the Coronavirus eligibility.html. programs under titles III and V Response and Relief Supplemental Please note that through this process, (excluding the PBI programs), an Appropriations Act, 2021 (CRRSAA) the Department does not certify, nor institution is considered to have an only speaks to the eligibility of those designate, an institution as a enrollment of needy students if: (1) At institutions for the purposes of receiving Historically Black College or University, least 50 percent of its degree-seeking funds under CRRSAA section 314(a)(2). Tribally Controlled College or students received financial assistance The appearance of an institution on the University, Minority-Serving Institution, under the Federal Pell Grant, FSEOG, section 314(a)(2) allocation table does or Hispanic-Serving Institution. The FWS, or the Federal Perkins Loan not grant or otherwise indicate that the Department’s determination that an programs; or (2) the percentage of its institution is currently eligible for institution is eligible is solely for the undergraduate degree-seeking students funding under titles III, V, and VII of the purpose of the institution’s ability to who were enrolled on at least a half- HEA. An institution that seeks to meet apply for and receive grants under time basis and received Federal Pell the eligibility requirements for programs certain programs as discussed in this Grants exceeded the median percentage identified in this notice under titles III, notice. of undergraduate degree students who V, and VII of the HEA must apply under The EM is part of the Department’s were enrolled on at least a half-time the procedures contained in this notice. eligibility data system. The EM is a Eligible Applicants: read-only worksheet that lists all basis and received Federal Pell Grants at The eligibility requirements for the potentially eligible postsecondary comparable institutions that offer programs authorized under part A of institutions, as determined by the similar instruction. title III of the HEA are in sections 312 Department using the data described To qualify under criterion 2, an and 317–320 of the HEA (20 U.S.C. above. If the entry for your institution in institution’s Federal Pell Grant 1058, 1059d-1059g) and in 34 CFR 607.2 the EM shows that your institution is percentage for base year 2018–2019 through 607.5. The regulations may be eligible to apply for a grant for a must be more than the median for its accessed at www.ecfr.gov/cgi-bin/text- particular program, and you plan to category of comparable institutions idx?SID=bc12bf5d685021e069cd1a apply for a grant in that program, you provided in the 2018–2019 Average Pell 15352b381a&mc=true&node=pt34.3.607 will not need to apply for eligibility or Grant and Core Expenses per FTE &rgn=div5. The eligibility requirements for a waiver through the process Student Table in this notice. If your for the programs authorized by part F of described in this notice. Rather, you institution qualifies under the first title III of the HEA are in section 371 of may print out the eligibility letter criterion, under which at least 50 the HEA (20 U.S.C. 1067q). There are directly. However, if the EM does not percent of its degree-seeking students currently no specific regulations for show that your institution is eligible for received financial assistance under one these programs. a program in which you plan to apply of several Federal student aid programs The eligibility requirements for the for a grant, you must submit an (the Federal Pell Grant, FSEOG, FWS, or title V HSI program are in part A of title application as discussed in this notice the Federal Perkins Loan programs), but V of the HEA and in 34 CFR 606.2 before the application deadline of April not the second criterion, under which through 34 CFR 606.5. The regulations 5, 2021. an institution’s Federal Pell Grant may be accessed at www.ecfr.gov/cgi- To check your institution’s eligibility percentage for base year 2018–2019 bin/text-idx?SID=bc12bf5d685021e in the EM, go to https://HEPIS.ed.gov, must be more than the average for its 069cd1a15352b381a and log into the system using your email category of comparable institutions &mc=true&node=pt34.3.606&rgn=div5l. address and password. If you are not provided in the 2018–2019 Average Pell The requirements for the PPOHA sure whether you have an account in the Grant and Core Expenses per FTE program are in part B of title V of the system, click the ‘‘New User’’ button. If Student Table in this notice, you must HEA and in the notice of final you have an account, it will walk you submit an application including the requirements published in the Federal through setup. Note that it may take up requested data, which is not available in Register on July 27, 2010 (75 FR 44055), to five business days to verify user IPEDS. and in 34 CFR 606.2(a) and (b), and identity and to complete new account For the definition of ‘‘Enrollment of 606.3 through 606.5. setup, so please allow yourself enough Needy Students,’’ for purposes of the The Department has instituted a time to complete the application. If the Part A PBI program, see section process known as the Eligibility Matrix Grant Eligibility Application (GEA) 318(b)(2) of the HEA, and for purposes

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of the Part F PBI program, see section the 2018–2019 base year are less than profit, and for-profit) include expenses 371(c)(9) of the HEA. the average for its category of for instruction, research, public service, Core Expenses per FTE Student: For comparable institutions. academic support, student services, the Title III, Part A SIP; Part A ANNH; Core Expenses are defined as the total institutional support, net grant aid to Part A PBI; Part A NASNTI; Part A expenses for the essential education students, and other expenses. Core AANAPISI; Title III, Part F HSI STEM activities of the institution. Core Expenses do not include Federal and Articulation; Part F PBI; Part F Expenses for public institutions student aid for the purposes of ANNH; Part F NASNTI; Part F reporting under the Governmental eligibility. For both FASB and GASB AANAPISI; Title V, Part A HSI; and Accounting Standards Board (GASB) institutions, Core Expenses do not Title V, Part B PPOHA programs, an requirements include expenses for include expenses for auxiliary institution should compare its base year instruction, research, public service, enterprises (e.g., bookstores, 2018–2019 Core Expenses per FTE academic support, student services, dormitories), hospitals, and student to the average Core Expenses institutional support, operation and independent operations. per FTE student for its category of maintenance of plant, depreciation, The following table identifies the comparable institutions in the base year scholarships and fellowships, interest, relevant average Federal Pell Grant 2018–2019 Average Pell Grant and and other operating and non-operating percentages for the base year 2018–2019 Average Core Expenses per FTE Student expenses. Core Expenses for institutions and the relevant Core Expenses per FTE Table in this notice. The institution reporting under the Financial student for the base year 2018–2019 for meets this eligibility requirement under Accounting Standards Board (FASB) the four categories of comparable these programs if its Core Expenses for standards (primarily private, not-for- institutions:

Base year Base year 2018–2019 2018–2019 Type of institution median pell average core grant expenses per percentage FTE student

Two-year Public Institutions ...... 33 $14,679 Two-year Non-profit Private Institutions ...... 57 17,529 Four-year Public Institutions ...... 35 32,882 Four-year Non-profit Private Institutions ...... 37 42,211

Waiver Information: Institutions that or the Core Expenses per FTE 606.3(c) and 607.3(c) define ‘‘low- do not meet the needy student requirement must include in their income’’ as an amount that does not enrollment requirement or the Core application detailed evidence exceed 150 percent of the amount equal Expenses per FTE requirement may supporting the waiver request, as to the poverty level, as established by apply to the Secretary for a waiver of described in the instructions for the U.S. Census Bureau. these requirements, as described in completing the application. For the purposes of this waiver sections 392 and 522 of the HEA, and The regulations governing the the implementing regulations at 34 CFR Secretary’s authority to grant a waiver of provision, the following table sets forth 606.3(b), 606.4(c) and (d), 607.3(b), and the needy student requirement refers to the low-income levels (at 150 percent) 607.4(c) and (d). ‘‘low-income’’ students or families, at 34 for various sizes of families: Institutions requesting a waiver of the CFR 606.3(b)(2) and (3) and 607.3(b)(2) needy student enrollment requirement and (3). The regulations at 34 CFR

2019 ANNUAL LOW–INCOME LEVELS

Family income for the 48 Family Family Size of family unit contiguous income for income for states, DC, Alaska Hawaii and outlying jurisdictions

1 ...... $18,735 $23,400 $21,570 2 ...... 25,365 31,995 29,190 3 ...... 31,695 39,990 36,810 4 ...... 38,625 48,285 44,430 5 ...... 45,255 56,580 52,050 6 ...... 51,885 64,875 59,670 7 ...... 58,515 73,170 67,290 8 ...... 65,145 81,465 74,910

Note: We use the 2019 annual low- more than eight members, add the $8,295 for Alaska; and $7,620 for income levels because those are the following amount for each additional Hawaii. amounts that apply to the family income family member: $6,630 for the The figures shown under family reported by students enrolled for the fall contiguous 48 States, the District of income represent amounts equal to 150 2018 semester. For family units with Columbia, and outlying jurisdictions; percent of the family income levels

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established by the U.S. Census Bureau accept either of the following as proof file, braille, large print, audiotape, or for determining poverty status. The of mailing: compact disc, or other accessible format. poverty guidelines were published on (1) A private metered postmark. Electronic Access to This Document: February 1, 2019, in the Federal (2) A mail receipt that is not dated by The official version of this document is Register by the U.S. Department of the U.S. Postal Service. the document published in the Federal Health and Human Services (84 FR Note: The U.S. Postal Service does not Register. You may access the official 1167), with an effective date of January uniformly provide a dated postmark. edition of the Federal Register and the 11, 2019. Before relying on this method, you Code of Federal Regulations at Information about ‘‘metropolitan should check with your local post www.govinfo.gov. At this site you can statistical areas’’ referenced in 34 CFR office. view this document, as well as all other 606.3(b)(4) and 607.3(b)(4) may be We will not consider applications documents of this Department obtained at: www.census.gov/prod/ postmarked after the application published in the Federal Register, in 2010pubs/10smadb/appendixc.pdf and deadline date. text or Portable Document Format www.census.gov/prod/2008pubs/ Applicable Regulations: (a) The (PDF). To use PDF, you must have 07ccdb/appd.pdf. Education Department General Adobe Acrobat Reader, which is Electronic Submission of Waiver Administrative Regulations (EDGAR) in available free at the site. Applications: 34 CFR parts 75, 77, 79, 82, 84, 86, 97, You may also access documents of the If your institution does not appear in 98, and 99. (b) The Office of Department published in the Federal the eligibility system as one that is Management and Budget Guidelines to Register by using the article search eligible for the program under which Agencies on Governmentwide feature at: www.federalregister.gov. you plan to apply for a grant, you must Debarment and Suspension Specifically, through the advanced apply for a waiver of the eligibility (Nonprocurement) in 2 CFR 180, as search feature at this site, you can limit requirements. To request a waiver, you adopted and amended as regulations of your search to documents published by must upload a narrative at: https:// the Department in 2 CFR part 3485. (c) the Department. HEPIS.ED.gov. The Uniform Administrative Exception to the Electronic Tiwanda Burse, Requirements, Cost Principles, and Submission Requirement: We Deputy Assistant Secretary for Management Audit Requirements for Federal Awards discourage paper applications, but if & Planning, Office of Postsecondary in 2 CFR part 200, as adopted and electronic submission is not possible Education. Delegated authority to perform amended as regulations of the functions and duties of the Assistant (e.g., you do not have access to the Department in 2 CFR part 3474. (d) The Secretary for the Office of Postsecondary internet), you must provide a written regulations for certain title III programs Education. statement that you intend to submit a in 34 CFR part 607, and for the HSI [FR Doc. 2021–04447 Filed 3–3–21; 8:45 am] paper application. Send this written program in 34 CFR part 606. (e) The BILLING CODE 4000–01–P statement no later than two weeks notice of final requirements for the before the application deadline date (14 PPOHA program published in the calendar days or, if the 14th calendar Federal Register on July 27, 2010 (75 FR DEPARTMENT OF EDUCATION day before the application deadline date 44055). falls on a Federal holiday, the next Note: The regulations in 34 CFR part Applications for New Awards; Indian business day following the Federal 79 apply to all applicants except Education Discretionary Grants holiday). federally recognized Indian Tribes. Programs—Professional Development If you mail your written statement to Grants Program the Department, it must be postmarked Note: The regulations in 34 CFR part no later than two weeks before the 86 apply to institutions only. AGENCY: Office of Elementary and application deadline date. Please send Note: There are no program-specific Secondary Education, Department of this statement to one of the persons regulations for the Part A PBI, Part A Education. listed in the FOR FURTHER INFORMATION NASNTI, and Part A AANAPISI ACTION: Notice. CONTACT section of this notice. programs or any of the title III, part F If you submit a paper application, you programs. Also, there have been SUMMARY: The Department of Education must mail your application, on or before amendments to the HEA since the (Department) is issuing a notice inviting the application deadline date, to the Department last issued regulations for applications for new awards for fiscal Department at the following address: the programs established under titles III year (FY) 2021 for Indian Education U.S. Department of Education, and V of the statute. Accordingly, we Discretionary Grants Programs— Attention: Jason Cottrell, Ph.D., 400 encourage each potential applicant to Professional Development Grants Maryland Avenue SW, Room 2B127, read the applicable sections of the HEA Program, Assistance Listing Number Washington, DC 20202. to fully understand the eligibility 84.299B. This notice relates to the You must show proof of mailing requirements for the program for which approved information collection under consisting of one of the following: they are applying. OMB control number 1810–0580. (1) A legibly dated U.S. Postal Service II. Other Information DATES: postmark. Applications Available: March 4, (2) A legible mail receipt with the Accessible Format: On request to one 2021. date of mailing stamped by the U.S. of the program contact persons listed Deadline for Notice of Intent to Apply: Postal Service. under FOR FURTHER INFORMATION March 19, 2021. (3) A dated shipping label, invoice, or CONTACT, individuals with disabilities Date of Pre-Application Meeting: receipt from a commercial carrier. can obtain this document and a copy of Friday, February 26, 2021, and (4) Any other proof of mailing the application package in an accessible Thursday, March 4, 2021. acceptable to the Secretary of the U.S. format. The Department will provide the Deadline for Transmittal of Department of Education. requestor with an accessible format that Applications: May 3, 2021. If you mail your application through may include Rich Text Format (RTF) or Deadline for Intergovernmental the U.S. Postal Service, we do not text format (txt), a thumb drive, an MP3 Review: July 2, 2021.

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ADDRESSES: For the addresses for that meet Absolute Priority 2, provided (c) Include goals for the— obtaining and submitting an applications of sufficient quality are (1) Number of participants to be application, please refer to our Common submitted, but the Department is not recruited each year; Instructions for Applicants to bound by these estimates. Applicants (2) Number of participants to continue Department of Education Discretionary must clearly identify the specific in the project each year; Grant Programs, published in the absolute priority or priorities the (3) Number of participants to graduate Federal Register on February 13, 2019 proposed project addresses in the each year; and (84 FR 3768) and available at project abstract; an applicant that (4) Number of participants to find www.govinfo.gov/content/pkg/FR-2019- wishes to apply under both priorities qualifying employment within twelve 02-3/pdf/2019-02206.pdf. should submit two separate months of completion. Competitive Preference Priorities: For FOR FURTHER INFORMATION CONTACT: applications. These priorities are: FY 2021 and any subsequent year in Angela Hernandez, U.S. Department of which we make awards from the list of Education, 400 Maryland Avenue SW, Absolute Priority 1: Pre-Service Training for Teachers. unfunded applications from this Room 3W113, Washington, DC 20202– competition, these priorities are 6335. Telephone: (202) 205–1909. Projects that— (a) Provide support and training to competitive preference priorities. Under Email: [email protected]. 34 CFR 75.105(c)(2)(i) we award an If you use a telecommunications Indian individuals to complete a pre- service education program before the additional five points to an application device for the deaf (TDD) or a text that meets Competitive Preference telephone (TTY), call the Federal Relay end of the award period that enables the individuals to meet the requirements for Priority 1 or an additional three points Service (FRS), toll free, at 1–800–877– to an application that meets Competitive 8339. full State certification or licensure as a teacher through— Preference Priority 2. Applicants are SUPPLEMENTARY INFORMATION: (1) Training that leads to a degree in eligible for points under either Full Text of Announcement education; Competitive Preference Priority 1 or 2, (2) For States allowing a degree in a not both; thus, the maximum number of I. Funding Opportunity Description specific subject area, training that leads points is 5. Purpose of Program: The purposes of to a degree in the subject area; These priorities are: the Indian Education Professional (3) Training in a current or new Competitive Preference Priority 1: Development Grants program that are specialized teaching assignment that Tribal Applicants (Zero or five points). An application submitted by an relevant to this competition are to requires a degree and in which a Indian Tribe, Indian organization, or increase the number of qualified Indian documented teacher shortage exists; or Tribal college or university (TCU) that is individuals in professions that serve (4) Training in the field of Native eligible to participate in the Professional Indians, and to provide training to American language instruction; Development program. A consortium qualified Indian individuals to become (b) Provide induction services, during application of eligible entities that teachers and administrators. the award period, to participants after meets the requirements of 34 CFR Priorities: This competition includes graduation, certification, or licensure, 75.127 through 75.129 and includes an two absolute priorities and two for two years, while participants are Indian Tribe, Indian organization, or competitive preference priorities. completing their work-related payback TCU will be considered eligible to In accordance with 34 CFR in schools in local educational agencies receive preference under this priority 75.105(b)(2)(ii), these priorities are from (LEAs) that serve a high proportion of only if the lead applicant for the the regulations in 34 CFR part 263, as Indian students; and consortium is the Indian Tribe, Indian revised in the notice of final regulations (c) Include goals for the— organization, or TCU. In order to be for this program published in the (1) Number of participants to be considered a consortium application, Federal Register on July 10, 2020 (85 FR recruited each year; 41372). Absolute Priorities 1 and 2 are (2) Number of participants to continue the application must include the consortium agreement, signed by all from 34 CFR 263.6(b)(1) and (2). in the project each year; Competitive Preference Priorities 1 and (3) Number of participants to graduate parties. Competitive Preference Priority 2: 2 are from 34 CFR 263.6(a)(1) and (2). each year; and Consortium Applicants, Non-Tribal Absolute Priorities: For FY 2021 and (4) Number of participants to find any subsequent year in which we make Lead (Zero or three points). qualifying employment within 12 A consortium application of eligible awards from the list of unfunded months of completion. entities that— applications from this competition, Absolute Priority 2: Pre-service (a) Meets the requirements of 34 CFR these priorities are absolute priorities. Administrator Training. 75.127 through 75.129 and includes an Under 34 CFR 75.105(c)(3), we consider Projects that— Indian Tribe, Indian organization, or only applications that meet one or both (a) Provide support and training to TCU; and of these priorities. Indian individuals to complete a (b) Is not eligible to receive a Note: The Department may create two graduate degree in education preference under Competitive funding slates—one for applicants that administration that is provided before Preference Priority 1. meet Absolute Priority 1 and one for the end of the award period and that Application Requirements: For FY applicants that meet Absolute Priority 2. allows participants to meet the 2021 and any subsequent year in which As a result, the Department may fund requirements for State certification or we make awards from the list of applications out of the overall rank licensure as an education administrator; unfunded applications from this order, provided applications of (b) Provide induction services, during competition, applicants must meet the sufficient quality are submitted, but the the award period, to participants after following application requirements from Department is not bound to do so. The graduation, certification, or licensure, 34 CFR 263.5. Department anticipates awarding for two years, while administrators are Each applicant must: approximately half of available funds to completing their work-related payback (a) Describe how it will— applicants that meet Absolute Priority 1 as administrators in LEAs that serve a (1) Recruit qualified Indian and approximately half to applicants high proportion of Indian students; and individuals, such as students who may

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not be of traditional college age, to assistance is provided under the (ii) For the two years of qualifying become teachers, principals, or school Tribally Controlled Schools Act of 1988. employment; and leaders; Dependent allowance means costs for (iii) In LEAs that serve a high (2) Use funds made available under the care of minor children under the age proportion of Indian students; the grant to support the recruitment, of 18 who reside with the training (2) To support and improve preparation, and professional participant and for whom the participants’ professional performance development of Indian teachers or participant has responsibility. The term and promote their retention in the field principals in LEAs that serve a high does not include financial obligations of education and teaching, and that proportion of Indian students; and for payment of child support required of include, at a minimum, these activities: (3) Assist participants in meeting the the participant. (i) High-quality mentoring, coaching, payback requirements under § 263.9(b); Full course load means the number of and consultation services for the (b) Submit one or more letters of credit hours that the institution requires participant to improve performance. support from LEAs that serve a high of a full-time student. (ii) Access to research materials and proportion of Indian students. Each Full-time student means a student information on teaching and learning. letter must include— who— (iii) Assisting new teachers with use (1) A statement that the LEA agrees to (1) Is a candidate for a baccalaureate of technology in the classroom and use consider program graduates for degree, graduate degree, or Native of data, particularly student employment; American language certificate, as achievement data, for classroom (2) Evidence that the LEA meets the appropriate for the project; instruction. definition of ‘‘LEA that serves a high (2) Carries a full course load; and (iv) Clear, timely, and useful feedback proportion of Indian students’’; and (3) Is not employed for more than 20 on performance, provided in (3) The signature of an authorized hours a week. coordination with the participant’s representative of the LEA; Graduate degree means a post- supervisor. (c) If applying as an Indian baccalaureate degree awarded by an (v) Periodic meetings or seminars for organization, demonstrate that the entity institution of higher education. participants to enhance collaboration, meets the definition of ‘‘Indian Indian means an individual who is— feedback, and peer networking and organization’’; (1) A member of an Indian Tribe or support. (d) If it is an affected LEA that is band, as membership is defined by the In-service training means activities and opportunities designed to enhance subject to the requirements of section Indian Tribe or band, including any the skills and abilities of individuals in 8538 of the Elementary and Secondary Tribe or band terminated since 1940, and any Tribe or band recognized by the their current areas of employment. Education Act of 1965, as amended Institution of higher education (IHE) (ESEA), consult with appropriate State in which the Tribe or band resides; (2) A descendant of a parent or has the meaning given that term in officials from Tribe(s) or Tribal section 101(a) of the Higher Education organizations approved by the Tribes grandparent who meets the requirements of paragraph (1) of this Act of 1965 (20 U.S.C. 1001(a)). located in the area served by the LEA Local educational agency (LEA) that prior to its submission of an application, definition; (3) Considered by the Secretary of the serves a high proportion of Indian as required under ESEA section 8538; Interior to be an Indian for any purpose; students means— and (4) An Eskimo, Aleut, or other Alaska (1) An LEA, including a BIE-funded (e) Comply with any other Native; or school, that serves a high proportion of requirements in the application (5) A member of an organized Indian Indian students in the LEA as compared package. group that received a grant under the to other LEAs in the State; or Statutory Hiring Preference: Indian Education Act of 1988 as it was (2) An LEA, including a BIE-funded (a) Awards that are primarily for the in effect on October 19, 1994. school, that serves a high proportion of benefit of Indians are subject to the Indian organization means an Indian students in the school in which provisions of section 7(b) of the Indian organization that— the participant works compared to other Self-Determination and Education (1) Is legally established— LEAs in the State, even if the LEA as a Assistance Act (Pub. L. 93–638). That (i) By Tribal or inter-Tribal charter or whole in which the participant works section requires that, to the greatest in accordance with State or Tribal law; does not have a high proportion of extent feasible, a grantee— and Indian students compared to other LEAs (1) Give to Indians preferences and (ii) With appropriate constitution, by- in the State. opportunities for training and laws, or articles of incorporation; Native American means ‘‘Indian’’ as employment in connection with the (2) Includes in its purposes the defined in section 6151(3) of the administration of the grant; and promotion of the education of Indians; Elementary and Secondary Education (2) Give to Indian organizations and to (3) Is controlled by a governing board, Act, as amended, which includes Alaska Indian-owned economic enterprises, as the majority of which is Indian; Native and members of federally- defined in section 3 of the Indian (4) If located on an Indian reservation, recognized or State-recognized Tribes; Financing Act of 1974 (25 U.S.C. operates with the sanction or by charter Native Hawaiian; and Native American 1452(e)), preference in the award of of the governing body of that Pacific Islander. contracts in connection with the reservation; Native American language means the administration of the grant. (5) Is neither an organization or historical, traditional languages spoken (b) For purposes of this section, an subdivision of, nor under the direct by Native Americans. Indian is a member of any federally control of, any institution of higher Participant means an Indian recognized Indian Tribe. education or TCU; and individual who is being trained under Definitions: The following definitions (6) Is not an agency of State or local the Professional Development program. are from the program regulations at 34 government. Payback means work-related service CFR 263.3. Induction services means services or cash reimbursement to the BIE-funded school means a Bureau of provided— Department of Education for the training Indian Education school, a contract or (1)(i) By educators, local traditional received under the Professional grant school, or a school for which leaders, or cultural experts; Development program.

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Pre-service training means training to Maximum Award: We will not make reasonable and necessary and conform Indian individuals to prepare them to an award exceeding $400,000 for the to Cost Principles described in 2 CFR meet the requirements for licensing or first, second, or third 12-month budget part 200 subpart E of the Uniform certification in a professional field period. The last two 12-month budget Guidance. requiring at least a baccalaureate degree, periods will be limited to induction 3. Other: Projects funded under this or licensing or certification in the field services only, at a cost not to exceed competition should budget for a two- of Native American language $120,000 per year. We will not make an day Project Directors’ meeting in instruction. award exceeding $120,000 for the fourth Washington, DC during each year of the Qualifying employment means or fifth 12-month budget period. project period. This meeting may be employment in an LEA that serves a Estimated Number of Awards: 22. held virtually if conditions warrant such high proportion of Indian students. Note: The Department is not bound by format. Secretary means the Secretary of the any estimates in this notice. Department of Education or an official Project Period: Up to 60 months. We IV. Application and Submission or employee of the Department acting will award grants for an initial period of Information for the Secretary under a delegation of not more than three years and may 1. Application Submission authority. renew such grants for an additional Instructions: Applicants are required to Stipend means that portion of an period of not more than two years if we follow the Common Instructions for award that is used for room, board, and find that the grantee is achieving the Applicants to Department of Education personal living expenses for full-time objectives of the grant. Discretionary Grant Programs, participants who are living at or near III. Eligibility Information published in the Federal Register on the institution providing the training. February 13, 2019 (84 FR 3768) and Tribal college or university (TCU) has 1. Eligible Applicants: available at www.govinfo.gov/content/ the meaning given that term in section (a) An eligible applicant must be pkg/FR-2019-02-13/pdf/2019-02206.pdf, 316(b) of the Higher Education Act of either— which contain requirements and 1965 (20 U.S.C. 1059c(b)). (1) An IHE or a TCU; information on how to submit an Tribal educational agency (TEA) (2) A State educational agency in application. consortium with an IHE or a TCU; means the agency, department, or 2. Submission of Proprietary (3) An LEA in consortium with an IHE instrumentality of an Indian Tribe that Information: Given the types of projects or a TCU; is primarily responsible for supporting that may be proposed in applications for Tribal students’ elementary and (4) An Indian Tribe or Indian organization in consortium with an IHE the Indian Education Professional secondary education. Development Grants program, your Program Authority: 20 U.S.C. 7442. or a TCU; or (5) A BIE-funded school in application may include business Note: Projects must be awarded and information that you consider operated in a manner consistent with consortium with at least one IHE or TCU that meets the requirements in proprietary. In 34 CFR 5.11 we define the nondiscrimination requirements ‘‘business information’’ and describe the contained in the U.S. Constitution and paragraph (b). (b) Eligibility of an applicant that is process we use in determining whether the Federal civil rights laws. any of that information is proprietary Applicable Regulations: (a) The an IHE or a TCU, or an applicant requiring a consortium with an IHE or and, thus, protected from disclosure Education Department General under Exemption 4 of the Freedom of Administrative Regulations in 34 CFR a TCU, requires that the IHE or TCU be accredited to provide the coursework Information Act (5 U.S.C. 552, as parts 75, 77, 79, 81, 82, 84, 86, 97, 98, amended). and 99. (b) The Office of Management and level of degree or Native American Because we plan to make successful and Budget Guidelines to Agencies on language certificate required by the applications available to the public by Governmentwide Debarment and project. posting them on our website, you may Suspension (Nonprocurement) in 2 CFR 2. a. Cost Sharing or Matching: This wish to request confidentiality of part 180, as adopted and amended as program does not require cost sharing or business information. regulations of the Department in 2 CFR matching. Consistent with Executive Order part 3485. (c) The Uniform b. Indirect Cost Rate Information: This 12600, please designate in your Administrative Requirements, Cost program uses a training indirect cost application any information that you Principles, and Audit Requirements for rate. This limits indirect cost believe is exempt from disclosure under Federal Awards in 2 CFR part 200, as reimbursement to an entity’s actual Exemption 4. In the appropriate adopted and amended as regulations of indirect costs, as determined in its Appendix section of your application, the Department in 2 CFR part 3474. (d) negotiated indirect cost rate agreement, under ‘‘Other Attachments Form,’’ The regulations for this program in 34 or eight percent of a modified total please list the page number or numbers CFR part 263. direct cost base, whichever amount is Note: The regulations in 34 CFR part less. For more information regarding on which we can find this information. 79 apply to all applicants except training indirect cost rates, see 34 CFR For additional information please see 34 federally recognized Indian Tribes. 75.562. For more information regarding CFR 5.11(c). Note: The regulations in 34 CFR part indirect costs, or to obtain a negotiated 3. Intergovernmental Review: This 86 apply to IHEs only. indirect cost rate, please see competition is subject to Executive www2.ed.gov/about/offices/list/ocfo/ Order 12372 and the regulations in 34 II. Award Information intro.html. Note, however, that this CFR part 79. Information about Type of Award: Discretionary grants. training rate limitation does not apply to Intergovernmental Review of Federal Estimated Available Funds: agencies of Indian Tribal governments. Programs under Executive Order 12372 $7,809,000. c. Administrative Cost Limitation: is in the application package for this Estimated Range of Awards: This program does not include any competition. $300,000–$400,000. program-specific limitation on 4. Funding Restrictions: The Estimated Average Size of Awards: administrative expenses. All allowable costs below are from 34 CFR $350,000. administrative expenses must be 263.4.

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A Professional Development program • Double space (no more than three (1) (Up to 3 points) The potential of may include, as training costs, lines per vertical inch) all text in the the proposed project to develop assistance to— application narrative, including titles, effective strategies for teaching Indian (1) Fully finance a student’s headings, footnotes, quotations, students and improving Indian student educational expenses including tuition, references, and captions, as well as all achievement, as demonstrated by a plan books, and required fees; health text in charts, tables, figures, and to share findings gained from the insurance required by the IHE; stipend; graphs. proposed project with parties who could dependent allowance; technology costs; • Use a font that is either 12 point or benefit from such findings, such as program required travel; and larger or no smaller than 10 pitch other IHEs who are training teachers instructional supplies; or (characters per inch). and administrators who will be serving (2) Supplement other financial aid, • Use one of the following fonts: Indian students. including Federal funding other than Times New Roman, Courier, Courier (2) (Up to 3 points) The likelihood loans, for meeting a student’s New, or Arial. that the proposed project will build educational expenses. The recommended page limit does not local capacity to provide, improve, or The maximum stipend amount is apply to the cover sheet; the budget expand services that address the $1,800 per month for full-time students; section, including the narrative budget specific needs of Indian students. (34 grantees may also provide participants justification; the assurances and CFR 263.7) with a $300 allowance per month per certifications; or the one-page abstract, (c) Quality of the project design dependent during an academic term. the resumes, the bibliography, the (Maximum 26 points). The Secretary The Department will reduce any letter(s) of support, or the signed considers the following factors in stipends in excess of this amount. consortium agreement. However, the determining the quality of the design of Stipends may be paid only to full-time recommended page limit does apply to the proposed project: students. all of the application narrative. (1) (Up to 10 points) The extent to Other costs that a Professional An application will not be which the goals, objectives, and Development program may include, but disqualified if it exceeds the outcomes to be achieved by the that must not be included as training recommended page limit. proposed project are ambitious but also 6. Notice of Intent to Apply: The costs, include costs for— attainable and address— Department will be able to review grant (1) Collaborating with prospective (i) The number of participants applications more efficiently if we know employers within the grantees’ local expected to be recruited in the project the approximate number of applicants service area to create a pool of each year; that intend to apply. Therefore, we (ii) The number of participants potentially available qualifying strongly encourage each potential expected to continue in the project each employment opportunities; applicant to notify us of their intent to year; (2) In-service training activities such submit an application. To do so, please (iii) The number of participants as providing mentorships linking email the program contact person listed expected to graduate; and experienced teachers at job placement under FOR FURTHER INFORMATION (iv) The number of participants sites with program participants; CONTACT with the subject line ‘‘Intent to expected to find qualifying employment (3) Assisting participants in Apply,’’ and include the applicant’s within twelve months of completion. identifying and securing qualifying name and a contact person’s name and (2) (Up to 10 points) The extent to employment opportunities in their email address. Applicants that do not which the proposed project has a plan fields of study following completion of submit a notice of intent to apply may for recruiting and selecting participants, the program; still apply for funding; applicants that including students who may not be of (4) Teacher mentoring programs, do submit a notice of intent to apply are traditional college age, that ensures that professional guidance, and instructional not bound to apply or bound by the program participants are likely to support provided by educators, local information provided. complete the program. traditional leaders, or cultural experts, (3) (Up to 6 points) The extent to as appropriate for teachers for up to V. Application Review Information which the proposed project will their first three years of employment as 1. Selection Criteria: The selection incorporate the needs of potential teachers; and criteria for ‘‘Need for project’’ and employers, as identified by a job market (5) Programs designed to train ‘‘Quality of the management plan’’ are analysis, by establishing partnerships traditional leaders and cultural experts from 34 CFR 75.210. The remaining and relationships with LEAs that serve to assist participants with relevant selection criteria are from 34 CFR 263.7. a high proportion of Indian students and Native language and cultural mentoring, The maximum score for all of these developing programs that meet their guidance, and support. criteria is 100 points. The maximum employment needs. (34 CFR 263.7) We reference additional regulations score for each criterion is indicated in (d) Quality of project services outlining funding restrictions in the parentheses. (Maximum 32 points). The Secretary Applicable Regulations section of this (a) Need for project (Maximum 5 considers the following factors in notice. points). determining the quality of project 5. Recommended Page Limit: The In determining the need for the services: application narrative is where you, the proposed project, the Secretary (1) (Up to 4 points) The likelihood applicant, address the selection criteria considers the extent to which the that the proposed project will provide that reviewers use to evaluate your proposed project will prepare personnel participants with learning experiences application. We recommend that you (1) in specific fields in which shortages that develop needed skills for successful limit the application narrative to no have been demonstrated through a job teaching and/or administration in LEAs more than 30 pages and (2) use the market analysis. (34 CFR 263.7(a)(1)) that serve a high proportion of Indian following standards: (b) Significance (Maximum 6 points). students. • A ‘‘page’’ is 8.5″ x 11″, on one side In determining the significance of the (2) (Up to 7 points) The extent to only, with 1″ margins at the top, bottom, proposed project, the Secretary which the proposed project prepares and both sides. considers: participants to adapt teaching and/or

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administrative practices to meet the consider whether the applicant failed to over the course of the project period breadth of Indian student needs. submit a timely performance report or may exceed the simplified acquisition (3) (Up to 7 points) The extent to submitted a report of unacceptable threshold (currently $250,000), under 2 which the applicant will provide job quality. CFR 200.206(a)(2) we must make a placement activities that reflect the In addition, in making a competitive judgment about your integrity, business findings of a job market analysis and grant award, the Secretary requires ethics, and record of performance under needs of potential employers and that various assurances, including those Federal awards—that is, the risk posed offer qualifying employment applicable to Federal civil rights laws by you as an applicant—before we make opportunities. that prohibit discrimination in programs an award. In doing so, we must consider (4) (Up to 7 points) The extent to or activities receiving Federal financial any information about you that is in the which the applicant will offer induction assistance from the Department (34 CFR integrity and performance system services that reflect the latest research 100.4, 104.5, 106.4, 108.8, and 110.23). (currently referred to as the Federal on effective delivery of such services. The Department will screen Awardee Performance and Integrity (5) (Up to 7 points) The extent to applications that are submitted in Information System (FAPIIS)), which the applicant will assist accordance with the requirements in accessible through the System for participants in meeting the service this notice, and determine which Award Management. You may review obligation requirements. (34 CFR 263.7) applications are eligible to be read based and comment on any information about (e) Quality of project personnel. on whether they have met the eligibility yourself that a Federal agency (Maximum 13 points). The Secretary and application requirements previously entered and that is currently considers the following factors when established by this notice. The in FAPIIS. determining the quality of the personnel Department will use reviewers with Please note that, if the total value of who will carry out the proposed project: knowledge and expertise on issues your currently active grants, cooperative (1) (Up to 5 points) The qualifications, related to educator training and agreements, and procurement contracts including relevant training, experience, improving outcomes for Native from the Federal Government exceeds and cultural competence, of the project American youth to score the selection $10,000,000, the reporting requirements director and the amount of time this criteria. The Department will in 2 CFR part 200, Appendix XII, individual will spend directly involved thoroughly screen all reviewers for require you to report certain integrity in the project. conflicts of interest to ensure a fair and information to FAPIIS semiannually. (2) (Up to 8 points) The qualifications, competitive review. Please review the requirements in 2 CFR including relevant training, experience, Peer reviewers will read, prepare a part 200, Appendix XII, if this grant and cultural competence, of key project written evaluation of, and score the plus all the other Federal funds you personnel and the amount of time to be assigned applications, based on the six receive exceed $10,000,000. spent on the project and direct selection criteria listed in the Selection 5. In General. In accordance with the interactions with participants. (34 CFR Criteria section of this notice. Office of Management and Budget’s 263.7) In reviewing applications, the guidance located at 2 CFR part 200, all (f) Quality of the management plan. Department will assign points for applicable Federal laws, and relevant (Maximum 18 points). The Secretary Competitive Preference Priorities 1 and Executive guidance, the Department considers the quality of the management 2 based on each application’s adherence will review and consider applications plan for the proposed project. In to the requirements of each. for funding pursuant to this notice determining the quality of the Technical scoring. Reviewers will inviting applications in accordance management plan for the proposed read, prepare a written evaluation, and with: project, the Secretary considers: assign a technical score to the (a) Selecting recipients most likely to (1) (Up to 8 points) The extent to applications assigned to their panel, be successful in delivering results based which the costs are reasonable in using the selection criteria provided in on the program objectives through an relation to the number of persons to be this notice and the respective advisory objective process of evaluating Federal served and to the anticipated results and scoring rubric in Appendix A. The award applications (2 CFR 200.205); benefits. Department will then prepare rank (b) Prohibiting the purchase of certain (2) (Up to 4 points) The adequacy of order(s) of applications based on their telecommunication and video procedures for ensuring feedback and technical scores. surveillance services or equipment in continuous improvement in the 3. Risk Assessment and Specific alignment with section 889 of the operation of the proposed project. Conditions: Consistent with 2 CFR National Defense Authorization Act of (3) (Up to 6 points) The extent to 200.206, before awarding grants under 2019 (Pub. L. 115—232) (2 CFR which the time commitments of the this competition, the Department 200.216); project director and principal conducts a review of the risks posed by (c) Providing a preference, to the investigator and other key project applicants. Under 2 CFR 200.208, the extent permitted by law, to maximize personnel are appropriate and adequate Secretary may impose specific use of goods, products, and materials to meet the objectives of the proposed conditions and, under 2 CFR 3474.10, in produced in the United States (2 CFR project. (34 CFR 75.210) appropriate circumstances, high-risk 200.322); and 2. Review and Selection Process: conditions on a grant if the applicant or (d) Terminating agreements in whole We remind potential applicants that grantee is not financially stable; has a or in part to the greatest extent in reviewing applications in any history of unsatisfactory performance; authorized by law if an award no longer discretionary grant competition, the has a financial or other management effectuates the program goals or agency Secretary may consider, under 34 CFR system that does not meet the standards priorities (2 CFR 200.340). 75.217(d)(3), the past performance of the in 2 CFR part 200, subpart D; has not applicant in carrying out a previous fulfilled the conditions of a prior grant; VI. Award Administration Information award, such as the applicant’s use of or is otherwise not responsible. 1. Award Notices: If your application funds, achievement of project 4. Integrity and Performance System: is successful, we notify your U.S. objectives, and compliance with grant If you are selected under this Representative and U.S. Senators and conditions. The Secretary may also competition to receive an award that send you a Grant Award Notification

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(GAN); or we may send you an email may also require more frequent if the Secretary has established containing a link to access an electronic performance reports under 34 CFR performance measurement version of your GAN. We may notify 75.720(c). For specific requirements on requirements, the performance targets in you informally, also. reporting, please go to www.ed.gov/ the grantee’s approved application. If your application is not evaluated or fund/grant/apply/appforms/ In making a continuation award, the not selected for funding, we notify you. appforms.html. Secretary also considers whether the 2. Administrative and National Policy (c) Under 34 CFR 75.250(b), the grantee is operating in compliance with Requirements: Secretary may provide a grantee with the assurances in its approved We identify administrative and additional funding for data collection application, including those applicable national policy requirements in the analysis and reporting. In this case the to Federal civil rights laws that prohibit application package and reference these Secretary establishes a data collection discrimination in programs or activities and other requirements in the period. receiving Federal financial assistance Applicable Regulations section of this 5. Performance Measures: For the from the Department (34 CFR 100.4, notice. purposes of the Government 104.5, 106.4, 108.8, and 110.23). We reference the regulations outlining Performance and Results Act of 1993 the terms and conditions of an award in (GPRA) and Department reporting under VII. Other Information the Applicable Regulations section of 34 CFR 75.110, the Department has Accessible Format: On request to the this notice and include these and other established the following performance program contact person listed under FOR specific conditions in the GAN. The measures: (1) The percentage of FURTHER INFORMATION CONTACT, GAN also incorporates your approved participants in administrator individuals with disabilities can obtain application as part of your binding preparation projects who become this document and a copy of the commitments under the grant. principals, vice principals, or other application package in an accessible 3. Open Licensing Requirements: school administrators in ‘‘LEAs that format. The Department will provide the Unless an exception applies, if you are serve a high proportion of Indian requestor with an accessible format that awarded a grant under this competition, students’’; (2) the percentage of may include Rich Text Format (RTF) or you will be required to openly license participants in teacher preparation text format (txt), a thumb drive, an MP3 to the public grant deliverables created projects who become teachers in ‘‘LEAs file, braille, large print, audiotape, or in whole, or in part, with Department that serve a high proportion of Indian compact disc, or other accessible format. grant funds. When the deliverable students’’; (3) the percentage of program Electronic Access to This Document: consists of modifications to pre-existing participants who meet State licensure The official version of this document is works, the license extends only to those requirements; (4) the percentage of the document published in the Federal modifications that can be separately program participants who complete Register. You may access the official identified and only to the extent that their service requirement on schedule; edition of the Federal Register and the open licensing is permitted under the (5) the cost per individual who Code of Federal Regulations at terms of any licenses or other legal successfully completes an administrator www.govinfo.gov. At this site you can restrictions on the use of pre-existing preparation program, takes a position in view this document, as well as all other works. Additionally, a grantee or an ‘‘LEA that serves a high proportion documents of this Department subgrantee that is awarded competitive of Indian students,’’ and completes the published in the Federal Register, in grant funds must have a plan to service requirement in such a district; text or Portable Document Format disseminate these public grant and (6) the cost per individual who (PDF). To use PDF you must have deliverables. This dissemination plan successfully completes a teacher Adobe Acrobat Reader, which is can be developed and submitted after preparation program, takes a position in available free at the site. your application has been reviewed and an ‘‘LEA that serves a high proportion You may also access documents of the selected for funding. For additional of Indian students,’’ and completes the Department published in the Federal information on the open licensing service requirement in such a district. Register by using the article search requirements please refer to 2 CFR These measures constitute the feature at www.federalregister.gov. 3474.20. Department’s indicators of success for Specifically, through the advanced 4. Reporting: (a) If you apply for a this program. Consequently, we advise search feature at this site, you can limit grant under this competition, you must an applicant for a grant under this your search to documents published by ensure that you have in place the program to carefully consider these the Department. necessary processes and systems to measures in conceptualizing the comply with the reporting requirements approach to, and evaluation for, its Mark Washington, in 2 CFR part 170 should you receive proposed project. Each grantee will be Deputy Assistant Secretary, Office of funding under the competition. This required to provide, in its annual Elementary and Secondary Education. does not apply if you have an exception performance and final reports, data Appendix A—Selection Criteria Scoring under 2 CFR 170.110(b). about its progress in meeting these Rubric (b) At the end of your project period, measures. you must submit a final performance 6. Continuation Awards: In making a Reviewers will assign points to an report, including financial information, continuation award under 34 CFR application for each selection sub-criterion. as directed by the Secretary. If you 75.253, the Secretary considers, among To help promote consistency across and receive a multiyear award, you must other things: Whether a grantee has within the panels that will review PD applications, the Department has created an submit an annual performance report made substantial progress in achieving advisory, non-binding scoring rubric for that provides the most current the goals and objectives of the project; reviewers to aid them in scoring the selection performance and financial expenditure whether the grantee has expended funds criteria. The scoring rubric below shows the information as directed by the Secretary in a manner that is consistent with its maximum number of points that may be under 34 CFR 75.118. The Secretary approved application and budget; and, assigned to each criterion and sub-criterion.

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Sub-criterion Criterion Selection criteria points points

(a) Need for project (34 CFR 263.7(a)(1)). In determining the need for the proposed project, the Secretary considers the extent to which the proposed project will prepare personnel in specific fields in which shortages have been demonstrated through a job market analysis ...... 5 (b) Significance (34 CFR 263.7). In determining the significance of the proposed project, the Secretary considers: ...... 6 (1) The potential of the proposed project to develop effective strategies for teaching Indian students and improving Indian student achievement, as demonstrated by a plan to share findings gained from the proposed project with parties who could benefit from such findings, such as other IHEs who are training teachers and administrators who will be serving Indian students ...... 3 (2) The likelihood that the proposed project will build local capacity to provide, improve, or expand services that address the specific needs of Indian students ...... 3 (c) Quality of the project design (34 CFR 263.7). The Secretary considers the following factors in determining the quality of the design of the proposed project: ...... 26 (1) (Up to 10 points) The extent to which the goals, objectives, and outcomes to be achieved by the proposed project are ambitious but also attainable and address— (i) The number of participants expected to be recruited in the project each year;. (ii) The number of participants expected to continue in the project each year;. (iii) The number of participants expected to graduate; and. (iv) The number of participants expected to find qualifying employment within twelve months of completion...... 10 (2) The extent to which the proposed project has a plan for recruiting and selecting participants, including students who may not be of traditional college age, that ensures that program participants are likely to complete the program ...... 10 (3) The extent to which the proposed project will incorporate the needs of potential employers, as identified by a job market analysis, by establishing partnerships and relationships with LEAs that serve a high proportion of Indian students and developing programs that meet their employment needs ...... 6 (d) Quality of project services (34 CFR 263.7). The Secretary considers the following factors in determining the quality of project services: ...... 32 (1) The likelihood that the proposed project will provide participants with learning experiences that develop needed skills for successful teaching and/or administration in LEAs that serve a high proportion of In- dian students ...... 4 (2) The extent to which the proposed project prepares participants to adapt teaching and/or administrative practices to meet the breadth of Indian student needs ...... 7 (3) The extent to which the applicant will provide job placement activities that reflect the findings of a job market analysis and needs of potential employers and that offer qualifying employment opportunities .... 7 (4) The extent to which the applicant will offer induction services that reflect the latest research on effective delivery of such services ...... 7 (5) The extent to which the applicant will assist participants in meeting the service obligation requirements 7 (e) Quality of project personnel (34 CFR 263.7). The Secretary considers the following factors when determining the quality of the personnel who will carry out the proposed project: ...... 13 (1) The qualifications, including relevant training, experience, and cultural competence, of the project director and the amount of time this individual will spend directly involved in the project ...... 5 (2) (Up to 8 points) The qualifications, including relevant training, experience, and cultural competence, of key project personnel and the amount of time to be spent on the project and direct interactions with participants ...... 8 (f) Quality of the management plan. (34 CFR 75.210). The Secretary considers the quality of the management plan for the proposed project. In determining the quality of the management plan for the proposed project, the Secretary considers: ...... 18 (1) The extent to which the costs are reasonable in relation to the number of persons to be served and to the anticipated results and benefits ...... 8 (2) The adequacy of procedures for ensuring feedback and continuous improvement in the operation of the proposed project ...... 4 (3) The extent to which the time commitments of the project director and principal investigator and other key project personnel are appropriate and adequate to meet the objectives of the proposed project ...... 6

While case-by-case determinations will be the general ranges below as a guide when made, the reviewers will be asked to consider awarding points.

Quality of response Maximum point value Low Medium High

3 ...... 0 1–2 3 4 ...... 0–1 2–3 4 5 ...... 0–1 2–3 4–5 6 ...... 0–2 3–4 5–6 7 ...... 0–2 3–5 6–7 8 ...... 0–2 3–5 6–8 10 ...... 0–3 4–7 8–10

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[FR Doc. 2021–04492 Filed 3–3–21; 8:45 am] meet the eligibility criteria in this Specifically, through the advanced BILLING CODE 4000–01–P notice, we are reopening the search feature at this site, you can limit competition until March 15, 2021. We your search to documents published by are also extending the the Department. DEPARTMENT OF EDUCATION intergovernmental review deadline until May 25, 2021. Tiwanda Burse, Reopening; Application Period for Eligibility: The reopening of the Deputy Assistant Secretary for Management Certain Applicants Under the Fiscal competition in this notice applies to & Planning, Office of Postsecondary Year (FY) 2021 Educational eligible applicants under the Education, Delegated authority to perform Opportunity Centers Program functions and duties of the Assistant Educational Opportunity Centers Secretary for the Office of Postsecondary Competition program, Assistance Listing Number Education. 84.066A, that are located in an area for AGENCY: Office of Postsecondary [FR Doc. 2021–04487 Filed 3–3–21; 8:45 am] which the President has issued an Education, Department of Education. BILLING CODE 4000–01–P emergency declaration (see ACTION: Notice. www.fema.gov/disasters/), in Louisiana (FEMA Disaster designation 3556), SUMMARY: The Department of Education DEPARTMENT OF EDUCATION Oklahoma (FEMA Disaster designation (Department) reopens the competition 3555), and Texas (FEMA Disaster for FY 2021, for certain eligible Application for New Awards; Promise designation 3554). Neighborhoods Program; Corrections applicants described elsewhere in this In accordance with the NIA, eligible notice, under the Educational applicants for this competition are AGENCY: Office of Elementary and Opportunity Centers program, institutions of higher education, public Secondary Education, Department of Assistance Listing Number 84.066A. and private agencies or organizations, Education. The Department takes this action to including community-based ACTION: Notice; corrections. allow more time for the preparation and organizations with experience in serving submission of applications by eligible disadvantaged youth, secondary SUMMARY: The Department of Education applicants affected by the severe winter schools, and combinations of such published a document in the Federal weather in Louisiana, Oklahoma, and institutions, agencies, and Register of January 19, 2021 regarding Texas, where the President has issued a organizations, for planning, developing, applications (NIA) for the fiscal year disaster declaration. The reopening of or carrying out one or more of the (FY) 2021 Promise Neighborhoods (PN) the application deadline date for this services identified under this program. Program competition, Assistance Listing competition is intended to help affected Note: All information in the NIA for Number 84.215N. The Department is eligible applicants compete fairly with this competition remains the same, amending the PN NIA by removing one other eligible applicants under this except for, with respect to eligible of the competitive preference priorities competition. applicants, the deadline for the and extending the deadline for DATES: transmittal of applications and the transmittal of applications to April 19, Deadline for Transmittal of deadline for intergovernmental review. 2021 and the deadline for Applications for Applicants Meeting the Program Authority: 20 U.S.C. 1070a– intergovernmental review to June 21, Eligibility Criteria in this Notice: March 11 and 1070a–16. 2021. 15, 2021. Accessible Format: On request to the FOR FURTHER INFORMATION CONTACT: Deadline for Intergovernmental program contact person listed under FOR Adrienne Hawkins, U.S. Department of Review: May 25, 2021. FURTHER INFORMATION CONTACT, Education, 400 Maryland Avenue SW, FOR FURTHER INFORMATION CONTACT: individuals with disabilities can obtain Room 4W220, Washington, DC 20202– Rachael Wiley, Ed.D., U.S Department this document and a copy of the 6135. Telephone: (202) 453–5638. of Education, 400 Maryland Avenue application package in an accessible Email: [email protected]. SW, Room 2C146, Washington, DC format. The Department will provide the If you use a telecommunications 20202–4260. Telephone: (202) 453– requestor with an accessible format that device for the deaf (TDD) or a text 6078. Email: [email protected]. may include Rich Text Format (RTF) or telephone (TTY), call the Federal Relay If you use a telecommunications text format (txt), a thumb drive, an MP3 Service (FRS), toll free, at 1–800–877– device for the deaf (TDD) or a text file, braille, large print, audiotape, or 8339. telephone (TTY), call the Federal Relay compact disc, or other accessible format. Electronic Access to This Document: SUPPLEMENTARY INFORMATION: If an Service (FRS), toll free, at 1–800–877– applicant has already submitted an 8339. The official version of this document is the document published in the Federal application, program staff will send SUPPLEMENTARY INFORMATION: On Register. You may access the official notification of the opportunity to January 13, 2021, we published the edition of the Federal Register and the resubmit the application at the extended notice inviting applications (NIA) for Code of Federal Regulations at date. Applicants that have already new awards for the FY 2021 Educational www.govinfo.gov. At this site you can timely submitted applications under the Opportunity Centers competition in the view this document, as well as all other FY 2021 PN NIA competition may Federal Register (86 FR 2658). Under documents of this Department resubmit applications, but are not the NIA, applications were due on published in the Federal Register, in required to do so. If a new application March 1, 2021. text or Portable Document is not submitted, the Department will We are reopening this competition for Format (PDF). To use PDF you must use the application that was submitted eligible applicants from affected areas in have Adobe Acrobat Reader, which is by the original deadline and will review Louisiana, Oklahoma, and Texas, for available free at the site. the application without regard to any which the President has issued a You may also access documents of the response to the competitive preference disaster declaration, to allow those Department published in the Federal priority that we are removing. If a new applicants more time to prepare and Register by using the article search application is submitted, the submit applications. For applicants that feature at: www.federalregister.gov. Department will consider the

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application that is last submitted and 5. In the Federal Register of January application package will be adjusted to timely received. 19, 2021, in FR Doc. 2021–00907, on reflect the changes. All other requirements and conditions page 5159, in the second column, at the Applicants that have already stated in the PN NIA remain the same. end of the first paragraph, remove ‘‘(g) submitted applications under the FY Program Authority: 20 U.S.C. 7273– The Opportunity Zones NFP.’’ 2021 AAE competition may resubmit 7274. applications but are not required to do Mark Washington, Corrections so. If a new application is not Deputy Assistant Secretary, Office of submitted, the Department will use the 1. In the Federal Register of January Elementary and Secondary Education. application that was submitted by the 19, 2021, in FR Doc. 2021–00907, on [FR Doc. 2021–04493 Filed 3–3–21; 8:45 am] original deadline, without regard to any page 5154, in the second column, make BILLING CODE 4000–01–P response to the competitive preference the following corrections under the priority that we are removing. If a new DATES caption: application is submitted, the (1) Following the heading ‘‘Date of DEPARTMENT OF EDUCATION Department will consider the Pre-Application Meetings,’’ revise the application that is most recently first sentence to read: Applications for New Awards; The Department will hold an Assistance for Arts Education submitted before the deadline of April additional pre-application meeting Program; Corrections 15, 2021. All other requirements and conditions March 15, 2021 via webinar for AGENCY: stated in the NIA remain the same. prospective applicants. Office of Elementary and (2) Following the heading ‘‘Deadline Secondary Education, Department of Program Authority: 20 U.S.C. 7292. for Transmittal of Application,’’ remove Education. Corrections ACTION: Notice; corrections. ‘‘March 5, 2021’’ and add, in its place, In the Federal Register of January 15, ‘‘April 19, 2021’’. 2021, in FR Doc. No. 2021–00705, we (3) Following the heading ‘‘Deadline SUMMARY: The Department of Education make the following corrections: for Intergovernmental Review,’’ remove published a document in the Federal 1. On page 4012, in the second ‘‘May 4, 2021’’ and add, in its place, Register of January 15, 2021, inviting column, correct the following in the ‘‘June 21, 2021’’. applications (NIA) for the fiscal year 2. In the Federal Register of January (FY) 2021 Assistance for Arts Education DATES caption: 19, 2021, in FR Doc. 2021–00907, on (AAE) program competition, Assistance (1) Following the heading ‘‘Deadline page 5154, in the third column, make Listing Number 84.351A. The for Transmittal of Applications,’’ the following corrections under the Department is amending the NIA by remove ‘‘March 16, 2021’’ and add, in ‘‘Priorities’’ heading: removing one of the competitive its place, ‘‘April 15, 2021.’’ (1) In the first paragraph, remove the preference priorities and extending the (2) Following the heading ‘‘Deadline word ‘‘four’’ and add, in its place, the deadline date for transmittal of for Intergovernmental Review,’’ remove word ‘‘three.’’ applications to April 15, 2021, and the ‘‘May 17, 2021’’ and add, in its place, (2) Revise the second paragraph to deadline for intergovernmental review ‘‘June 14, 2021.’’ read as follows: to June 14, 2021. 2. On page 4013, in the middle of the first column, replace the text of the first Absolute Priorities 1 and 3 and FOR FURTHER INFORMATION CONTACT: paragraph after the heading ‘‘Priorities:’’ Competitive Preference Priorities 1 and Bonnie Carter, U.S. Department of 3 are from the notice of final priorities, with the following: Education, 400 Maryland Avenue SW, This notice contains one competitive requirements, definitions, and selection Room 3E308, Washington, DC 20202. criteria for this program published preference priority and one invitational Telephone: (202) 401–3576. Email: priority. The competitive preference elsewhere in this issue of the Federal [email protected]. Register (NFP). Absolute Priority 2 and priority is from section 4642 of the If you use a telecommunications ESEA (20 U.S.C. 7292). Competitive Preference Priority 2 are device for the deaf (TDD) or a text from the notice of final priorities 3. On page 4013, in the middle of the telephone (TTY), call the Federal Relay first column, replace the heading published in the Federal Register on Service, toll free, at 1–800–877–8339. March 9, 2020 (85 FR 13640) ‘‘Competitive Preference Priorities:’’ SUPPLEMENTARY INFORMATION: (Administrative Priorities). In the with the heading ‘‘Competitive 3. In the Federal Register of January Federal Register of January 15, 2021, we Preference Priority:’’ and replace the 19, 2021, in FR Doc. 2021–00907, on published the NIA for the FY 2021 AAE text of the paragraphs under the heading page 5155, in the second line of the competition. Following publication of ‘‘Competitive Preference Priority’’ with second column, remove the number the NIA, the new Administration came the following: ‘‘10’’ and add in its place the number into office. Upon review of the NIA, we For FY 2021 and any subsequent year ‘‘7.’’ decided to eliminate Competitive in which we make awards from the list 4. In the Federal Register of January Preference Priority 1—Applications of unfunded applications from this 19, 2021, in FR Doc. 2021–00907, on from New Potential Grantees. competition, this priority is a page 5155, in the second column: Accordingly, we are amending the competitive preference priority. Under (1) Remove the heading ‘‘Competitive NIA to notify prospective applicants 34 CFR 75.105(c)(2)(i), we award an Preference Priority 2—Spurring that we are no longer using Competitive additional five points to an application Investment in Qualified Opportunity Preference Priority 1—Applications that meets the competitive preference Zones (0 to 3 points)’’ and the two from New Potential Grantees, and are priority. paragraphs that follow the heading. making related conforming changes. In This priority is: (2) In the heading ‘‘Competitive addition, we are extending the deadline Applicants That Are National Preference 3,’’ remove the number ‘‘3’’ for transmittal of applications in order Nonprofit Organizations. (0 or 5 points) and add, in its place, the number ‘‘2.’’ to allow applicants more time to prepare Under this priority, the Secretary (3) In the heading ‘‘Competitive and submit their applications, and are gives priority to eligible entities that are Preference 4,’’ remove the number ‘‘4’’ also extending the deadline for eligible national nonprofit and add, in its place, the number ‘‘3.’’ intergovernmental review. The organizations. The term ‘‘eligible

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national nonprofit organization’’ means Service (FRS), toll free, at 1–800–877– the document published in the Federal an organization of national scope that— 8339. Register. You may access the official (a) Is supported by staff, which may SUPPLEMENTARY INFORMATION: On edition of the Federal Register and the include volunteers, or affiliates at the December 28, 2020, we published the Code of Federal Regulations at State and local levels; and notice inviting applications (NIA) for www.govinfo.gov. At this site you can (b) Demonstrates effectiveness or new awards for the FY 2021 Talent view this document, as well as all other high-quality plans for addressing arts Search competition in the Federal documents of this Department education activities for disadvantaged Register (85 FR 84324). Under the NIA, published in the Federal Register, in text or Portable Document Format students or students who are children applications were due on February 26, (PDF). To use PDF you must have with disabilities. 2021. 4. On page 4014, in the middle of the We are reopening this competition for Adobe Acrobat Reader, which is available free at the site. second column, in the paragraph applicants from affected areas in You may also access documents of the following the heading ‘‘Applicable Louisiana, Oklahoma, and Texas, for Department published in the Federal Regulations,’’ remove ‘‘(e) which the President has issued a Administrative Priorities.’’ Register by using the article search disaster declaration, to allow those feature at: www.federalregister.gov. Mark Washington, applicants more time to prepare and Specifically, through the advanced Deputy Assistant Secretary, Office of submit applications. For applicants that search feature at this site, you can limit Elementary and Secondary Education. meet the eligibility criteria in this your search to documents published by [FR Doc. 2021–04494 Filed 3–3–21; 8:45 am] notice, we are reopening the the Department. BILLING CODE 4000–01–P competition until March 12, 2021. We are also extending the Tiwanda Burse, intergovernmental review deadline until Deputy Assistant Secretary for Management DEPARTMENT OF EDUCATION May 11, 2021. & Planning, Office of Postsecondary Eligibility: The reopening of the Education, Delegated authority to perform Reopening; Application Period for competition in this notice applies to functions and duties of the Assistant Certain Applicants Under the Fiscal eligible applicants under Talent Search, Secretary for the Office of Postsecondary Education. Year (FY) 2021 Talent Search Program Assistance Listing Number 84.044A, Competition that are located in an area for which the [FR Doc. 2021–04486 Filed 3–3–21; 8:45 am] President has issued an emergency BILLING CODE 4000–01–P AGENCY: Office of Postsecondary declaration (see www.fema.gov/ Education, Department of Education. disasters/), in Louisiana (FEMA Disaster ACTION: Notice. designation 3556), Oklahoma (FEMA DEPARTMENT OF ENERGY Disaster designation 3555), and Texas SUMMARY: The Department of Education Federal Energy Regulatory (Department) reopens the competition (FEMA Disaster designation 3554). Commission for FY 2021, for certain eligible In accordance with the NIA, eligible [Docket No. CP20–504–000] applicants described elsewhere in this applicants for this competition are institutions of higher education, public notice, under the Talent Search Northern Natural Gas Company; Notice program, Assistance Listing Number and private agencies or organizations, including community-based of Availability of the Environmental 84.044A. The Department takes this Assessment for the Proposed Lake action to allow more time for the organizations with experience in serving disadvantaged youth, secondary City 1st Branch Line Abandonment preparation and submission of and Capacity Replacement Project applications by eligible applicants schools, and combinations of such affected by the severe winter weather in institutions, agencies, and The staff of the Federal Energy Louisiana, Oklahoma, and Texas, where organizations, for planning, developing, Regulatory Commission (FERC or the President has issued a disaster or carrying out one or more of the Commission) has prepared an declaration. The reopening of the services identified under this program. environmental assessment (EA) for the application deadline date for this Note: All information in the NIA for Lake City 1st Branch Line Abandonment competition is intended to help affected this competition remains the same, and Capacity Replacement Project eligible applicants compete fairly with except for, with respect to eligible proposed by Northern Natural Gas other eligible applicants under this applicants, the deadline for the Company (Northern) in the above- competition. transmittal of applications and the referenced docket. Northern requests deadline for intergovernmental review. authorization to abandon, construct, DATES: Program Authority: 20 U.S.C. 1070a– modify, and operate natural gas pipeline Deadline for Transmittal of 11 and 1070a–12. facilities in Webster and Calhoun Applications for Applicants Meeting the Accessible Format: On request to the Counties, Iowa. Eligibility Criteria in this Notice: March program contact person listed under FOR The EA assesses the potential 12, 2021. FURTHER INFORMATION CONTACT, environmental effects of the Deadline for Intergovernmental individuals with disabilities can obtain construction and operation of the Lake Review: May 11, 2021. this document and a copy of the City 1st Branch Line Abandonment and FOR FURTHER INFORMATION CONTACT: application package in an accessible Capacity Replacement Project in Antoinette Edwards, U.S Department of format. The Department will provide the accordance with the requirements of the Education, 400 Maryland Avenue SW, requestor with an accessible format that National Environmental Policy Act Room 2C223, Washington, DC 20202– may include Rich Text Format (RTF) or (NEPA). The FERC staff concludes that 4260. Telephone: (202) 453–7121. text format (txt), a thumb drive, an MP3 approval of the proposed project, with Email: [email protected]. file, braille, large print, audiotape, or appropriate mitigating measures, would If you use a telecommunications compact disc, or other accessible format. not constitute a major federal action device for the deaf (TDD) or a text Electronic Access to This Document: significantly affecting the quality of the telephone (TTY), call the Federal Relay The official version of this document is human environment.

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The proposed Lake City 1st Branch comment on the EA may do so. Your expired. Any person seeking to become Line Abandonment and Capacity comments should focus on the EA’s a party to the proceeding must file a Replacement Project includes the disclosure and discussion of potential motion to intervene out-of-time following facilities/activities: environmental effects, reasonable pursuant to Rule 214(b)(3) and (d) of the • Abandon in-place 34.2 miles of the alternatives, and measures to avoid or Commission’s Rules of Practice and Lake City 1st branch line (4-inch- lessen environmental impacts. The more Procedures (18 CFR 385.214(b)(3) and diameter pipeline) from milepost (MP) specific your comments, the more useful (d)) and show good cause why the time 0.00 to MP 34.15; they will be. To ensure that the limitation should be waived. Motions to • disconnect the abandoned segment Commission has the opportunity to intervene are more fully described at of the Lake City 1st branch line pipeline consider your comments prior to https://www.ferc.gov/ferc-online/ferc- from Northern’s existing pipelines at making its decision on this project, it is online/how-guides. five locations; important that we receive your Additional information about the • uprate the maximum allowable comments in Washington, DC on or project is available from the operating pressure (MAOP) of 25.3 before 5:00 pm Eastern Time on March Commission’s Office of External Affairs, miles of the Lake City 2nd branch line 29, 2021. at (866) 208–FERC, or on the FERC (6-inch-diameter pipeline) and install a For your convenience, there are three website (www.ferc.gov) using the new take-off regulator setting to the methods you can use to file your eLibrary link. The eLibrary link also Harcourt branch line pipeline; comments to the Commission. The • provides access to the texts of all formal uprate the MAOP of the Callender Commission encourages electronic filing documents issued by the Commission, branch line (2-inch-diameter pipeline); of comments and has staff available to • such as orders, notices, and uprate the MAOP of the Manson assist you at (866) 208–3676 or rulemakings. 2nd branch line (4-inch-diameter [email protected]. Please In addition, the Commission offers a pipeline) and install a new take-off carefully follow these instructions so free service called eSubscription which regulator setting from the Manson 2nd that your comments are properly allows you to keep track of all formal branch line pipeline to the Manson 1st recorded. issuances and submittals in specific branch line pipeline and Rockwell City (1) You can file your comments dockets. This can reduce the amount of branch line pipeline; and electronically using the eComment • time you spend researching proceedings construct 9.2 miles of new 6-inch- feature on the Commission’s website by automatically providing you with diameter pipeline extension of the Lake (www.ferc.gov) under the link to FERC notification of these filings, document City 2nd branch line, relocate a receiver Online. This is an easy method for summaries, and direct links to the to the Lake City Town Border Station submitting brief, text-only comments on documents. Go to https://www.ferc.gov/ (TBS), and install a new take-off valve a project; ferc-online/overview to register for setting for the Lohrville TBS. (2) You can also file your comments eSubscription. The Commission mailed a copy of the electronically using the eFiling feature Notice of Availability to federal, state, on the Commission’s website Dated: February 26, 2021. and local government representatives (www.ferc.gov) under the link to FERC Kimberly D. Bose, and agencies; elected officials; Online. With eFiling, you can provide Secretary. environmental and public interest comments in a variety of formats by [FR Doc. 2021–04464 Filed 3–3–21; 8:45 am] groups; Native American tribes; attaching them as a file with your BILLING CODE 6717–01–P potentially affected landowners and submission. New eFiling users must other interested individuals and groups; first create an account by clicking on and newspapers and libraries in the ‘‘eRegister.’’ You must select the type of DEPARTMENT OF ENERGY project area. The EA is only available in filing you are making. If you are filing electronic format. It may be viewed and a comment on a particular project, Federal Energy Regulatory downloaded from the FERC’s website please select ‘‘Comment on a Filing’’; or Commission (www.ferc.gov), on the natural gas (3) You can file a paper copy of your [Project No. 5698–022] environmental documents page (https:// comments by mailing them to the www.ferc.gov/industries-data/natural- Commission. Be sure to reference the Triton Power Company; Notice of gas/environment/environmental- project docket number (CP20–504–000) Intent To File License Application, documents). In addition, the EA may be on your letter. Submissions sent via the Filing of Pre-Application Document, accessed by using the eLibrary link on U.S. Postal Service must be addressed Approving Use of the Traditional the FERC’s website. Click on the to: Kimberly D. Bose, Secretary, Federal Licensing Process eLibrary link (https://elibrary.ferc.gov/ Energy Regulatory Commission, 888 a. Type of Filing: Notice of Intent to eLibrary/search), select ‘‘General First Street NE, Room 1A, Washington, File License Application and Request to Search’’ and enter the docket number in DC 20426. Submissions sent via any Use the Traditional Licensing Process. the ‘‘Docket Number’’ field (i.e. CP20– other carrier must be addressed to: b. Project No.: 5698–022. 504). Be sure you have selected an Kimberly D. Bose, Secretary, Federal c. Date Filed: December 31, 2020. appropriate date range. For assistance, Energy Regulatory Commission, 12225 d. Submitted By: Triton Power please contact FERC Online Support at Wilkins Avenue, Rockville, Maryland Company (Triton Power). [email protected] or toll free 20852. e. Name of Project: Chateaugay High at (866) 208–3676, or for TTY, contact Filing environmental comments will Falls Hydroelectric Project. (202) 502–8659. not give you intervenor status, but you f. Location: On the Chateaugay River The EA is not a decision document. do not need intervenor status to have in the Town of Chateaugay, Franklin It presents Commission staff’s your comments considered. Only County, New York. The project does not independent analysis of the intervenors have the right to seek occupy any federal land. environmental issues for the rehearing or judicial review of the g. Filed Pursuant to: 18 CFR 5.3 of the Commission to consider when Commission’s decision. At this point in Commission’s regulations. addressing the merits of all issues in this proceeding, the timeframe for filing h. Potential Applicant Contact: Mr. this proceeding. Any person wishing to timely intervention requests has Tim Carlsen, Chief Executive Officer,

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Hydroland, Inc., 403 Madison Ave. N Pursuant to 18 CFR 16.8, 16.9, and 16.10 e. Name of Project: Mother Ann Lee #240, Bainbridge Island, WA 98110; each application for a new license and Hydroelectric Station Water Power (844) 493–7612; email—tim@ any competing license applications Project (Mother Ann Lee Project). hydrolandcorp.com. must be filed with the Commission at f. Location: The project is located on i. FERC Contact: Jeremy Feinberg at least 24 months prior to the expiration the Kentucky River in Mercer, (202) 502–6893; or email at of the existing license. All applications Jessamine, and Garrard Counties, [email protected]. for license for this project must be filed Kentucky. The project does not occupy j. Triton Power filed its request to use by December 31, 2023. federal land. the Traditional Licensing Process on p. Register online at http:// g. Filed Pursuant to: Federal Power December 31, 2020. Triton Power www.ferc.gov/docs-filing/ Act 16 U.S.C. 791(a)–825(r). provided public notice of its request on esubscription.asp to be notified via h. Applicant Contact: David Brown December 29, 2020. In a letter dated email of new filing and issuances Kinloch, Lock 7 Hydro Partners, 414 S February 26, 2021, the Director of the related to this or other pending projects. Wenzel St., Louisville, Kentucky 40204; Division of Hydropower Licensing For assistance, contact FERC Online (502) 589–0975, or kyhydropower@ approved Triton Power’s request to use Support. gmail.com. i. FERC Contact: Joshua Dub at (202) the Traditional Licensing Process. Dated: February 26, 2021. k. With this notice, we are initiating 502–8138, or [email protected]. informal consultation with the U.S. Fish Kimberly D. Bose, j. Deadline for filing comments, and Wildlife Service and/or NOAA Secretary. recommendations, terms and Fisheries under section 7 of the [FR Doc. 2021–04467 Filed 3–3–21; 8:45 am] conditions, and prescriptions: 60 days Endangered Species Act and the joint BILLING CODE 6717–01–P from the issuance date of this notice; agency regulations thereunder at 50 reply comments are due 105 days from CFR, part 402; and NOAA Fisheries the issuance date of this notice. under section 305(b) of the Magnuson- DEPARTMENT OF ENERGY The Commission strongly encourages electronic filing. Please file comments, Stevens Fishery Conservation and Federal Energy Regulatory recommendations, terms and Management Act and implementing Commission regulations at 50 CFR 600.920. We are conditions, and prescriptions using the also initiating consultation with the [Docket Nos. AD21–6–000; AD20–6–000] Commission’s eFiling system at https:// New York State Historic Preservation ferconline.ferc.gov/FERCOnline.aspx. Officer, as required by section 106, RTO/ISO Credit Principles and Commenters can submit brief comments National Historic Preservation Act, and Practices; Credit Reforms in Organized up to 6,000 characters, without prior the implementing regulations of the Wholesale Electric Markets; registration, using the eComment system Advisory Council on Historic Supplemental Notice of Technical at https://ferconline.ferc.gov/ Preservation at 36 CFR 800.2. Conference QuickComment.aspx. You must include l. With this notice, we are designating Correction your name and contact information at Triton Power as the Commission’s non- the end of your comments. For federal representative for carrying out In notice document 2021–04261, assistance, please contact FERC Online informal consultation pursuant to appearing on page 12187 in the issue of Support at FERCOnlineSupport@ section 7 of the Endangered Species Act Tuesday, March 2, 2021, make the ferc.gov, (866) 208–3676 (toll free), or and consultation pursuant to section following correction: (202) 502–8659 (TTY). On page 12187, in the first column, on 106 of the National Historic k. This application has been accepted the twenty-seventh line from the bottom Preservation Act. and is now ready for environmental m. Triton Power filed a Pre- of the page, the docket number is analysis. Application Document (PAD; including corrected to read as set forth above. The Council on Environmental a proposed process plan and schedule) [FR Doc. C1–2021–04261 Filed 3–3–21; 8:45 am] Quality (CEQ) issued a final rule on July with the Commission, pursuant to 18 BILLING CODE 1301–00–D 15, 2020, revising the regulations under CFR 5.6 of the Commission’s 40 CFR parts 1500–1518 that federal regulations. agencies use to implement NEPA (see n. A copy of the PAD may be viewed DEPARTMENT OF ENERGY Update to the Regulations Implementing and/or printed on the Commission’s the Procedural Provisions of the Federal Energy Regulatory website (http://www.ferc.gov), using the National Environmental Policy Act, 85 Commission ‘‘eLibrary’’ link. Enter the docket FR 43,304). The Final Rule became number, excluding the last three digits [Project No. 539–015] effective on and applies to any NEPA in the docket number field, to access the process begun after September 14, 2020. document. At this time, the Commission Lock 7 Hydro Partners, LLC; Notice of An agency may also apply the has suspended access to the Application Ready for Environmental regulations to ongoing activities and Commission’s Public Reference Room, Analysis and Soliciting Comments, environmental documents begun before due to the proclamation declaring a Recommendations, Terms and September 14, 2020, which includes the National Emergency concerning the Conditions, and Prescriptions proposed Mother Ann Lee Project. Novel Coronavirus Disease (COVID–19), Take notice that the following Commission staff intends to conduct its issued by the President on March 13, hydroelectric application has been filed NEPA review in accordance with CEQ’s 2020. For assistance, contact FERC with the Commission and is available new regulations. Online Support at for public inspection. l. The Mother Ann Lee Project [email protected], (866) a. Type of Application: New Major consists of the following existing 208–3676 (toll free), or (202) 502–8659 License. facilities: (1) A reservoir with a surface (TTY). b. Project No.: 539–015. area of 777 acres and a storage capacity o. The licensee states its unequivocal c. Date filed: April 30, 2020. of 5,828 acre-feet at elevation 513.12 intent to submit an application for a d. Applicant: Lock 7 Hydro Partners, feet National Geodetic Vertical Datum of new license for Project No. 5698. LLC (Lock 7 Partners). 1929; (2) a 250-foot-long, 15.3-foot-high,

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timber crib dam with a concrete cap and the schedule will be made as eComment system at http:// an abandoned 62-foot-long lock appropriate. www.ferc.gov/docs-filing/ structure on the east side; (3) a 120-foot- ecomment.asp. You must include your long, 100-foot-wide forebay; (4) a 24- Milestone Target date name and contact information at the end foot-tall, 84-foot-wide trashrack; (5) a of your comments. For assistance, 93-foot-long, 25-foot-wide, 16-foot-high Deadline for Filing Com- April 2021. please contact FERC Online Support at powerhouse integral with the dam ments, Recommenda- [email protected], (866) tions, and Agency containing three turbine-generating Terms and Conditions/ 208–3676 (toll free), or (202) 502–8659 units with a total installed capacity of Prescriptions. (TTY). In lieu of electronic filing, you 2,210 kilowatts; (6) a 30-foot-long, 15.3- Deadline for Filing Reply June 2021. may submit a paper copy. Submissions foot-high concrete spillway section that Comments. sent via the U.S. Postal Service must be extends from the powerhouse to the addressed to: Kimberly D. Bose, west shore; (7) an 85-foot-long Dated: February 26, 2021. Secretary, Federal Energy Regulatory substation; and (8) a 34.5 kilovolt, Commission, 888 First Street NE, Room Kimberly D. Bose, 4,540-foot-long transmission line. The 1A, Washington, DC 20426. project is estimated to generate an Secretary. Submissions sent via any other carrier average of 9,200 megawatt-hours [FR Doc. 2021–04466 Filed 3–3–21; 8:45 am] must be addressed to: Kimberly D. Bose, annually. BILLING CODE 6717–01–P Secretary, Federal Energy Regulatory Lock 7 Partners proposes to continue Commission, 12225 Wilkins Avenue, operating the project in a run-of-river Rockville, Maryland 20852. The first mode. In addition, the applicant DEPARTMENT OF ENERGY page of any filing should include docket proposes to construct, operate, and number P–4026–054. Comments Federal Energy Regulatory maintain a canoe portage, fishing access, emailed to Commission staff are not Commission and parking area at the Mother Ann Lee considered part of the Commission Project. [Project No. 4026–054] record. m. A copy of the application can be The Commission’s Rules of Practice viewed on the Commission’s website at Androscoggin Reservoir Company; and Procedure require all intervenors http://www.ferc.gov using the Notice of Application Accepted for filing documents with the Commission ‘‘eLibrary’’ link. Enter the docket Filing and Soliciting Comments, to serve a copy of that document on number excluding the last three digits in Motions To Intervene, and Protests each person whose name appears on the the docket number field to access the official service list for the project. Take notice that the following document. For assistance, contact FERC Further, if an intervenor files comments Online Support. hydroelectric application has been filed or documents with the Commission All filings must (1) bear in all capital with the Commission and is available relating to the merits of an issue that letters the title ‘‘COMMENTS,’’ ‘‘REPLY for public inspection: may affect the responsibilities of a COMMENTS,’’ a. Type of Application: Non-Capacity particular resource agency, it must also ‘‘RECOMMENDATIONS,’’ ‘‘TERMS Amendment of License. serve a copy of the document on that AND CONDITIONS,’’ or b. Project No.: 4026–054. resource agency. ‘‘PRESCRIPTIONS;’’ (2) set forth in the c. Date Filed: December 31, 2020, and k. Description of Request: The heading the name of the applicant and supplemented on February 11, 2021. Androscoggin Reservoir Company the project number of the application to d. Applicant: Androscoggin Reservoir (licensee) proposes to administratively which the filing responds; (3) furnish Company. remove from the project license the the name, address, and telephone e. Name of Project: Aziscohos existing 23.5-mile-long, 34.5-kilovolt number of the person submitting the Hydroelectric Project. transmission line. The licensee specifies filing; and (4) otherwise comply with f. Location: The project is located on that the transmission line, which is the requirements of 18 CFR 385.2001 the Magalloway River in Oxford County, owned by Central Maine Power through 385.2005. All comments, Maine. Company, should no longer be included recommendations, terms and conditions g. Filed Pursuant to: Federal Power in the license as a primary line because or prescriptions must set forth their Act 16 U.S.C. 791a–825r. the line does not solely transmit power evidentiary basis and otherwise comply h. Applicant Contact: Mr. Randall from the project to the interconnected with the requirements of 18 CFR 4.34(b). Dorman, Licensing Manager, Brookfield grid, but also transmits power from the Agencies may obtain copies of the Renewable, 150 Main Street, Lewiston, grid to the customers of the utility. application directly from the applicant. ME 04240; telephone (207) 755–5605 Further, the licensee states that the Each filing must be accompanied by and email randy.dorman@ point of interconnection of project proof of service on all persons listed on brookfieldrenewable.com. power with the transmission grid occurs the service list prepared by the i. FERC Contact: Linda Stewart, (202) at the existing substation located Commission in this proceeding, in 502–8184, [email protected]. adjacent to the powerhouse. accordance with 18 CFR 4.34(b) and j. Deadline for filing comments, l. In addition to publishing the full 385.2010. motions to intervene, and protests is 30 text of this document in the Federal You may also register online at http:// days from the issuance date of this Register, the Commission provides all www.ferc.gov/docs-filing/ notice by the Commission. interested persons an opportunity to esubscription.asp to be notified via The Commission strongly encourages view and/or print the contents of this email of new filings and issuances electronic filing. Please file comments, document via the internet through the related to this or other pending projects. motions to intervene, and protests using Commission’s Home Page (http:// For assistance, contact FERC Online the Commission’s eFiling system at www.ferc.gov) using the ‘‘eLibrary’’ link. Support. http://www.ferc.gov/docs-filing/ Enter the docket number excluding the n. Procedural schedule: The efiling.asp. Commenters can submit last three digits in the docket number application will be processed according brief comments up to 6,000 characters, field to access the document. At this to the following schedule. Revisions to without prior registration, using the time, the Commission has suspended

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access to the Commission’s Public ENVIRONMENTAL PROTECTION RFSA–1120–257, ‘‘KENTEK Inc. Reference Room, due to the AGENCY Model MEZUS 110 SO2 Analyzer,’’ UV fluorescence analyzer operated in a proclamation declaring a National [FRL–10020–31–ORD] Emergency concerning the Novel range of 0–0.5 ppm, with 0.5 mm, 47 mm ® Coronavirus Disease (COVID–19), issued Ambient Air Monitoring Reference and diameter Teflon filter installed, ° by the President on March 13, 2020. For Equivalent Methods; Designation of operated at temperatures between 20 C ° assistance, contact FERC at One New Reference Method and One and 30 C, at a nominal sampling flow [email protected] or call New Equivalent Method rate of 800 cc/min, using a 5 minute toll-free, (886) 208–3676 or TYY, (202) averaging time, with either 105VAC– AGENCY: Environmental Protection 125VAC or 200VAC–240VAC input 502–8659. Agencies may obtain copies Agency (EPA). power options installed, 280-watt power of the application directly from the ACTION: Notice of the designation of one consumption, equipped with 7 inch applicant. new reference method and one new LCD touch screen display, and operated m. Individuals desiring to be included equivalent method for monitoring according to the KENTEK Inc. Model on the Commission’s mailing list should ambient air quality. Mezus 110 Sulfur Dioxide Analyzer so indicate by writing to the Secretary User’s Instruction Manual. of the Commission. SUMMARY: Notice is hereby given that This application for a reference the Environmental Protection Agency n. Comments, Protests, or Motions to method determination for this SO2 (EPA) has designated one new reference method was received by the Office of Intervene: Anyone may submit method for measuring concentrations of Research and Development on July 21, comments, a protest, or a motion to sulfur dioxide (SO2), and one new 2020. This analyzer is commercially intervene in accordance with the equivalent method for measuring available from the applicant, KENTEK requirements of Rules of Practice and concentrations of particulate matter Inc., Hanshin S. Meca Room #526, 65 Procedure, 18 CFR 385.210, .211, and (PM10) in ambient air. Techno 3-ro, Yuseong-gu, Daejeon, .214. In determining the appropriate FOR FURTHER INFORMATION CONTACT: Republic of Korea, 34016. action to take, the Commission will Robert Vanderpool, Air Methods and The new equivalent method for PM10 consider all protests or other comments Characterization Division (MD–D205– is an automated method (monitor) filed, but only those who file a motion 03), Center for Environmental utilizing the measurement principle to intervene in accordance with the Measurements and Modeling, U.S. EPA, based on Beta Attenuation or b-ray Commission’s Rules may become a Research Triangle Park, North Carolina monitoring. This newly designated party to the proceeding. Any comments, 27711. Phone: 919–541–7877. Email: equivalent method is identified as protests, or motions to intervene must [email protected]. follows: be received on or before the specified SUPPLEMENTARY INFORMATION: In EQPM–0121–258, ‘‘Focused deadline date for the particular accordance with regulations at 40 CFR Photonics Inc. BPM–200 PM10 application. part 53, the EPA evaluates various Monitor,’’ b-ray monitor operated in the methods for monitoring the following concentration ranges: 0–1 mg/ o. Filing and Service of Responsive concentrations of those ambient air m3, 0–2 mg/m3, 0–5 mg/m3, or 0–10 mg/ Documents: Any filing must (1) bear in pollutants for which EPA has m3, analyzing ambient conditions all capital letters the title established National Ambient Air temperatures between ¥30° C to 50° C, ‘‘COMMENTS’’, ‘‘PROTEST’’, or Quality Standards (NAAQS) as set forth while the monitor can operate in a ‘‘MOTION TO INTERVENE’’ as in 40 CFR part 50. Monitoring methods conditioned space between 0° C to 50° applicable; (2) set forth in the heading that are determined to meet specific C. The unit is operated for 24-hour the name of the applicant and the requirements for adequacy are average measurements, with the FPI P/ project number of the application to designated by the EPA as either N 6150138000X EPA PM10 inlet, glass which the filing responds; (3) furnish reference or equivalent methods (as fiber filter tape with axial inner the name, address, and telephone applicable), thereby permitting their use diameter of 40mm (GCY00003900), the number of the person commenting, under 40 CFR part 58 by States and 220VAC 50Hz power supply, the FPI P/ protesting, or intervening; and (4) other agencies for determining N 6150139000X Atmospheric otherwise comply with the requirements compliance with the NAAQS. A list of Temperature Unit, the 6100050000X Air of 18 CFR 385.2001 through 385.2005. all reference or equivalent methods that heating unit for maintaining moisture at D All comments, motions to intervene, or have been previously designated by EPA about 35% and no T control, the FPI P/N GCX00013700 filter, the FPI P/N protests must set forth their evidentiary may be found at http://www.epa.gov/ 6102182000X internal calibration basis. Any filing made by an intervenor ttn/amtic/criteria.html. The EPA hereby announces the device, 290508D00A Main Board, and must be accompanied by proof of designation of one new reference 2910510B00X Interface board display. service on all persons listed in the method for measuring concentrations of Instrument must be operated in service list prepared by the Commission SO2 in ambient air and one new accordance with the appropriate in this proceeding, in accordance with equivalent method for measuring instrument manual and with software 18 CFR 385.2010. concentrations of PM10 in ambient air. (firmware) version Dated: February 26, 2021. These designations are made under the AQMSPlus.P005.V01A.US001. Kimberly D. Bose, provisions of 40 CFR part 53, as This application for an equivalent amended on October 26, 2015 (80 FR method determination for this PM10 Secretary. 65291–65468). method was received by the Office of [FR Doc. 2021–04465 Filed 3–3–21; 8:45 am] The new reference method for SO2 is Research and Development on October BILLING CODE 6717–01–P an automated method (analyzer) 13, 2020. This monitor is commercially utilizing the measurement principle available from the applicant, Focused based on UV fluorescence. This newly Photonics Inc. (FPI), 760 Bin‘an Road, designated reference method is Binjiang District, Hangzhou, Zhejiang, identified as follows: China.

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Representative test analyzers have ENVIRONMENTAL PROTECTION by the Act in order to help effectively been tested in accordance with the AGENCY incorporate appropriate outside advice applicable test procedures specified in and information; and the integration of [EPA–HQ–OAR–2021–0178; FRL–10021–15– 40 CFR part 53, as amended on October OAR] existing policies, regulations, standards, 26, 2015. After reviewing the results of guidelines, and procedures into those tests and other information Clean Air Act Advisory Committee programs for implementing submitted by the applicants, EPA has (CAAAC): Request for Nominations requirements of the Act. determined, in accordance with 40 CFR The programs falling under the part 53, that these methods should be AGENCY: Environmental Protection purview of the committee include, but designated as a reference or equivalent Agency (EPA). are not limited to, those for meeting method. ACTION: Request for Nominations to the National Ambient Air Quality As a designated reference or Clean Air Act Advisory Committee Standards, reducing emissions from equivalent method, these methods are (CAAAC). vehicles and vehicle fuels, reducing air toxic emissions, permitting, carrying out acceptable for use by states and other air SUMMARY: The U.S. Environmental monitoring agencies under the compliance authorities, and CAA- Protection Agency (EPA) invites related voluntary activities. Members requirements of 40 CFR part 58, nominations from a diverse range of Ambient Air Quality Surveillance. For are appointed by the EPA Administrator qualified candidates to be considered for two-year terms with the possibility such purposes, each method must be for appointment to its Clean Air Act used in strict accordance with the of reappointment to additional term(s). Advisory Committee (CAAAC). The CAAAC usually meets operation or instruction manual Vacancies are anticipated to be filled by associated with the method and subject approximately 2 times annually and the August 2021 and applications are due average workload for the members is to any specifications and limitations by April 30, 2021. Sources in addition (e.g., configuration or operational approximately 5 to 10 hours per month. to this Federal Register Notice may also Although EPA is unable to offer settings) specified in the designated be utilized in the solicitation of compensation or an honorarium for method description (see the nominees. CAAAC members, they may receive identification of the method above). DATES: Applications are due by April travel and per diem allowances, Use of the method also should be in 30, 2021. according to applicable federal travel general accordance with the guidance ADDRESSES: Submit nominations in regulations. EPA is seeking nominations and recommendations of applicable writing to: Shanika Whitehurst, from academia, industry, non- sections of the ‘‘Quality Assurance Designated Federal Officer, Office of Air governmental/environmental Handbook for Air Pollution and Radiation, U.S. Environmental organizations, community Measurement Systems, Volume I,’’ EPA/ Protection Agency, 1200 Pennsylvania organizations, state and local 600/R–94/038a and ‘‘Quality Assurance Avenue, NW, Washington, DC 20460. government agencies, tribal Handbook for Air Pollution For further information or to email governments, unions, trade associations, Measurement Systems, Volume II, nominations, include in the subject line utilities, and lawyers/consultants. EPA Ambient Air Quality Monitoring CAAAC Membership 2021 and send to values and welcomes diversity. In an Program,’’ EPA–454/B–13–003, (both [email protected]. effort to obtain nominations of diverse available at http://www.epa.gov/ttn/ FOR FURTHER INFORMATION CONTACT: candidates, EPA encourages amtic/qalist.html). Provisions Shanika Whitehurst, Designated Federal nominations of women and men of all concerning modification of such Officer, Office of Air and Radiation, U.S. racial and ethnic groups. methods by users are specified under Environmental Protection Agency, 1200 Section 2.8 (Modifications of Methods Evaluation Criteria Pennsylvania Avenue, NW, Washington, by Users) of Appendix C to 40 CFR part DC 20460, 202–564–8235, The following criteria will be used to 58. [email protected]. evaluate nominees: • The background and experiences Consistent or repeated noncompliance SUPPLEMENTARY INFORMATION: with any of these conditions should be that would help members contribute to Background: Clean Air Act Advisory the diversity of perspectives on the reported to: Director, Air Methods and Committee provides advice, information Characterization Division (MD–D205– committee (e.g., geographic, economic, and recommendations on policy and social, cultural, educational, and other 03), Center for Environmental technical issues associated with Measurements and Modeling, U.S. considerations) implementation of the Clean Air Act • Experience serving as an elected Environmental Protection Agency, (CAA) as requested by EPA. These Research Triangle Park, North Carolina official; issues include the development, • Experience serving as an appointed 27711. implementation, and enforcement of official for a state, county, city or tribe; Designation of these reference and programs required by the Act. The • Experience working on national equivalent methods is intended to assist CAAAC will provide advice and level or on local government issues; the States in establishing and operating recommendations on approaches for • Demonstrated experience with air their air quality surveillance systems new and expanded programs including quality policy issues; under 40 CFR part 58. Questions those using innovative technologies and • Executive management level concerning the commercial availability policy mechanisms to achieve experience with membership in broad- or technical aspects of the methods environmental improvements; the based networks; should be directed to the applicants. potential health, environmental and • Excellent interpersonal, oral and economic effects of CAA programs on written communication, and consensus- Timothy Watkins, the public, the regulated community, building skills. Director, Center for Environmental State and local governments, and other • Ability to volunteer time to attend Measurements and Modeling. Federal agencies; the policy and meetings 2–3 times a year, participate in [FR Doc. 2021–04497 Filed 3–3–21; 8:45 am] technical contents of proposed major teleconference meetings, attend BILLING CODE P EPA rulemaking and guidance required listening sessions with the

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Administrator or other senior-level its U.S. House of Representatives seat in previously undisclosed contributions or officials; the 6th Congressional District of the late expenditures in connection with the • Ability to work with others with Representative Ron Wright. There are Texas Special General by the close of varying perspectives to develop policy two possible elections, but only one books for the applicable report(s). (See recommendations to the Administrator, may be necessary. Under Texas law, all charts below for the closing date for and prepare reports and advice letters. qualified candidates, regardless of party each report.) Nominations must include a resume affiliation, will appear on the ballot. The Committees filing monthly that make and a short biography describing the majority winner of the special election professional and educational is declared elected. Should no candidate contributions or expenditures in qualifications of the nominee, as well as achieve a majority vote, the Governor connection with the Texas Special the nominee’s current business/home will then set the date for a Special General will continue to file according address, email address, and daytime Runoff Election that will include only to the monthly reporting schedule. telephone number. Interested the top two vote-getters. Committees Additional disclosure information for candidates may self-nominate. All participating in the Texas special the Texas special elections may be application items are due by April 30, election are required to file pre- and found on the FEC website at https:// 2021. Please note that EPA’s policy is post-election reports. www.fec.gov/help-candidates-and- that, unless otherwise prescribed by FOR FURTHER INFORMATION CONTACT: committees/dates-and-deadlines/. statute, members generally are Ms. Elizabeth S. Kurland, Information appointed to two-year terms. To help Possible Special Runoff Election the Agency in evaluating the Division, 1050 First Street NE, effectiveness of our outreach efforts, Washington, DC 20463; Telephone: In the event that no candidate please also tell us how you learned of (202) 694–1100; Toll Free (800) 424– receives a majority of the votes in the this opportunity. 9530. Special General Election, a Special Dated: February 26, 2021. SUPPLEMENTARY INFORMATION: Runoff Election will be held. The Commission will publish a future notice Shanika T. Whitehurst, Principal Campaign Committees Designated Federal Officer, Clean Air Act giving the filing dates for that election Advisory Committee, Office of Air and All principal campaign committees of if it becomes necessary. candidates who participate in the Texas Radiation. Disclosure of Lobbyist Bundling [FR Doc. 2021–04462 Filed 3–3–21; 8:45 am] Special General Election shall file a 12- day Pre-General Report on April 19, Activity BILLING CODE 6560–50–P 2021. If there is a majority winner, Principal campaign committees, party committees must also file a Post-General committees and leadership PACs that Report on May 31, 2021. (See charts FEDERAL ELECTION COMMISSION are otherwise required to file reports in below for the closing date for each connection with the special election [Notice 2021–04] report.) must simultaneously file FEC Form 3L Note that these reports are in addition Filing Dates for the Texas Special to the campaign committee’s regular if they receive two or more bundled Election in the 6th Congressional quarterly filings. (See charts below for contributions from lobbyists/registrants District Special Election the closing date for each report). or lobbyist/registrant PACs that aggregate in excess of $19,300 during AGENCY: Federal Election Commission. Unauthorized Committees (PACs and the special election reporting period. ACTION: Notice of filing dates for special Party Committees) (See charts below for closing date of election. Political committees not filing each period.) 11 CFR 104.22(a)(5)(v), (b), SUMMARY: Texas has scheduled a Special monthly in 2021 are subject to special 110.17(e)(2), (f). General Election on May 1, 2021, to fill election reporting if they make

CALENDAR OF REPORTING DATES FOR TEXAS SPECIAL ELECTION

Reg./cert. & Report Close of books 1 overnight mailing Filing deadline deadline

IF ONLY THE SPECIAL GENERAL IS HELD (05/01/2021), CAMPAIGN COMMITTEES INVOLVED MUST FILE

April Quarterly ...... —WAIVED—

Pre-General ...... 04/11/2021 04/16/2021 04/19/2021 Post-General ...... 05/21/2021 05/31/2021 2 05/31/2021 July Quarterly ...... 06/30/2021 07/15/2021 07/15/2021

IF ONLY THE SPECIAL GENERAL (05/01/2021) IS HELD, PACs AND PARTY COMMITTEES NOT FILING MONTHLY INVOLVED MUST FILE

Pre-General ...... 04/11/2021 04/16/2021 04/19/2021 Post-General ...... 05/21/2021 05/31/2021 2 05/31/2021 Mid-Year ...... 06/30/2021 07/31/2021 2 07/31/2021

IF TWO ELECTIONS ARE HELD, CAMPAIGN COMMITTEES INVOLVED ONLY IN THE SPECIAL GENERAL (05/01/2021) MUST FILE

April Quarterly ...... —WAIVED—

Pre-General ...... 04/11/2021 04/16/2021 04/19/2021

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CALENDAR OF REPORTING DATES FOR TEXAS SPECIAL ELECTION—Continued

Reg./cert. & Report Close of books 1 overnight mailing Filing deadline deadline

July Quarterly ...... 06/30/2021 07/15/2021 07/15/2021

IF TWO ELECTIONS ARE HELD, PACS AND PARTY COMMITTEES NOT FILING MONTHLY INVOLVED IN ONLY THE SPECIAL GENERAL (05/01/2021) MUST FILE

Pre-General ...... 04/11/2021 04/16/2021 04/19/2021 Mid-Year ...... 06/30/2021 07/31/2021 2 07/31/2021 1 The reporting period always begins the day after the closing date of the last report filed. If the committee is new and has not previously filed a report, the first report must cover all activity that occurred before the committee registered as a political committee up through the close of books for the first report due. 2 Notice that this filing deadline falls on a weekend or federal holiday. Filing deadlines are not extended when they fall on nonworking days. Accordingly, reports filed by methods other than registered, certified or overnight mail must be received by close of business on the last business day before the deadline.

Dated: February 26, 2021. FEDERAL RESERVE SYSTEM Grantor Trust, the Jeremy Morgan On behalf of the Commission, Family Irrevocable Trust, the Marilyn J. Shana M. Broussard, Change in Bank Control Notices; Feingold Trust #2, the Mark A. Morgan Acquisitions of Shares of a Bank or Family Irrevocable Trust, the Mark A. Chair, Federal Election Commission. Bank Holding Company Morgan Trust #2, the Michael B. Morgan [FR Doc. 2021–04445 Filed 3–3–21; 8:45 am] Trust #2, the Thomas S. Morgan Family The notificants listed below have BILLING CODE 6715–01–P Irrevocable Trust, the Thomas S. applied under the Change in Bank Morgan Trust #2, the Timothy Morgan Control Act (Act) (12 U.S.C. 1817(j)) and Irrevocable Trust, the Todd D. Morgan § 225.41 of the Board’s Regulation Y (12 FEDERAL ELECTION COMMISSION Trust #2, the Avi Velasquez Irrevocable CFR 225.41) to acquire shares of a bank Trust, the Marley Blake Velasquez Sunshine Act Meetings or bank holding company. The factors Irrevocable Trust, and the Mia M. that are considered in acting on the Velasquez Irrevocable Trust, Gregory applications are set forth in paragraph 7 TIME AND DATE: Tuesday, March 9, 2021 Sherman, as trustee or co-trustee, all of of the Act (12 U.S.C. 1817(j)(7)). at 10:00 a.m. and its continuation at the Overland Park, Kansas; to become The public portions of the conclusion of the open meeting on members of the Sherman Control Group, applications listed below, as well as March 11, 2021. a group acting in concert, to retain other related filings required by the voting shares of Valley View PLACE: 1050 First Street NE, Board, if any, are available for Bancshares, Inc., Overland Park, Kansas, Washington, DC. (This meeting will be immediate inspection at the Federal and thereby indirectly retain voting a virtual meeting.) Reserve Bank(s) indicated below and at shares of Security Bank of Kansas City, the offices of the Board of Governors. STATUS: This meeting will be closed to Kansas City, Kansas. This information may also be obtained the public. on an expedited basis, upon request, by Board of Governors of the Federal Reserve MATTERS TO BE CONSIDERED: Compliance contacting the appropriate Federal System, March 1, 2021. matters pursuant to 52 U.S.C. 30109. Reserve Bank and from the Board’s Michele Taylor Fennell, Deputy Associate Secretary of the Board. Information the premature disclosure Freedom of Information Office at of which would be likely to have a https://www.federalreserve.gov/foia/ [FR Doc. 2021–04488 Filed 3–3–21; 8:45 am] considerable adverse effect on the request.htm. Interested persons may BILLING CODE P express their views in writing on the implementation of the proposed standards enumerated in paragraph 7 of Commission action. the Act. DEPARTMENT OF HEALTH AND Matters concerning participation in Comments regarding each of these HUMAN SERVICES civil actions or proceedings or applications must be received at the arbitration. Reserve Bank indicated or the offices of Centers for Disease Control and * * * * * the Board of Governors, Ann E. Prevention Misback, Secretary of the Board, 20th CONTACT PERSON FOR MORE INFORMATION: Street and Constitution Avenue NW, Requirement for Airlines To Collect Judith Ingram, Press Officer, Telephone: Washington, DC 20551–0001, not later Designated Information for Passengers (202) 694–1220. than March 19, 2021. Destined for the United States Who Are A. Federal Reserve Bank of Kansas Departing From, or Were Otherwise Laura E. Sinram, City (Dennis Denney, Assistant Vice Present in the Democratic Republic of Acting Secretary and Clerk of the President) 1 Memorial Drive, Kansas the Congo or the Republic of Guinea Commission. City, Missouri 64198–0001: AGENCY: Centers for Disease Control and [FR Doc. 2021–04672 Filed 3–2–21; 4:15 pm] 1. The Dreiseszun Grandchildren Prevention (CDC), Department of Health BILLING CODE 6715–01–P Trust, the Helene Kramer Trust, the and Human Services (HHS). Chad M. Feingold Grantor Trust, the ACTION: Notice. Chad M. Feingold Irrevocable Insurance Trust, the Erika R. Feingold Irrevocable SUMMARY: The Centers for Disease Insurance Trust, the Erika R. Feingold Control and Prevention (CDC), a

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component of the Department of Health Because air travel has the potential to present in the Democratic Republic of and Human Services (HHS), announces transport people, some of whom may the Congo (DRC) or the Republic of the issuance of an Order requiring have been exposed to a communicable Guinea (Guinea) within 21 days of the airlines and aircraft operators to collect disease, anywhere across the globe in date of the person’s entry or attempted designated information for passengers less than 24 hours, CDC considers it entry into the United States; and who are departing from, or were essential that U.S. public health • All air passengers destined for the otherwise present in, the Democratic authorities have access to information United States who are departing from or Republic of the Congo (DRC) or the necessary to follow up with travelers were otherwise present in the DRC or Republic of Guinea (Guinea) within 21 arriving from countries with EVD Guinea within the previous 21 days of days prior to their entry or attempted outbreaks, as needed, including for the date of the person’s entry or entry into the United States. This Order health education, risk assessment, and attempted entry into the United States. is based on the CDC Director’s symptom monitoring. U.S. state, local, The Director of the Centers for Disease determination that such passengers are and territorial health departments have Control and Prevention (CDC) (Director) at risk of exposure to Ebola virus and the authority to implement and manage has issued an order (Order) under 42 that their accurate and complete contact public health follow-up, including CFR 71.4, 71.20, 71.31 and 71.32. This information is needed to protect the monitoring, conducted within their Order, as detailed below, requires all health of fellow travelers and United jurisdictions. Health departments may passengers destined for the United States communities. elect to assume direct responsibility for States who are departing from, or were DATES: This Order takes effect beginning monitoring or accept monitoring by a otherwise present in, DRC or Guinea 11:59 p.m. Eastern Standard Time on sponsoring organization (e.g., if the within the previous 21 days to provide March 4, 2021. individual was deployed overseas by a designated contact information, as 1 FOR FURTHER INFORMATION CONTACT: private company). further described herein, to the airline Jennifer Buigut, Division of Global Timely public health follow-up or aircraft operator, so this information Migration and Quarantine, Centers for requires health officials to have can be provided by the airline or aircraft Disease Control and Prevention, 1600 immediate access to accurate and operator, as required by this Order, to Clifton Road NE, MS H16–4, Atlanta, complete contact information for the United States Government. The GA 30329. Email: dgmqpolicyoffice@ passengers as they arrive in the United collection of this information will begin cdc.gov. States. Inaccurate or incomplete contact for flights departing after 11:59 p.m. information hampers the ability of Eastern Standard Time on March 4, SUPPLEMENTARY INFORMATION: public health authorities to protect the 2021. Background: There are currently health of passengers and the public. The In taking this action, the CDC Director outbreaks of Ebola Virus Disease (EVD) best way to ensure airline passengers’ has requested the assistance of U.S. in DRC and Guinea. As of February 23, contact information is available in real Customs and Border Protection (CBP) in 2021, there were 8 cases of EVD in DRC time is to collect the information before the Department of Homeland Security and 9 in Guinea. Currently, a daily they board a flight. CDC has identified (DHS), which aids in the enforcement of average of 27 travelers arrive in the the minimum amount of information quarantine rules and regulations United States each day from DRC and 33 needed to locate passengers reliably pursuant to 42 U.S.C. 268 by collecting, from Guinea. A very small number (an after they arrive in the United States: storing, managing, and processing average of between two and six) are Full name, address while in the United designated contact information and neither United States citizens nor lawful States, primary contact phone number, making it available to CDC when the permanent residents of the United secondary or emergency contact phone Director has determined that travelers States. Over 96% of travelers arriving number, and email address. may have been exposed to Ebola Virus from these countries enter the United A copy of the Order is provided below Disease (EVD). Additionally, CBP has States at one of six U.S. airports: and a copy of the signed Order can be issued an Order, in accordance with Washington-Dulles International Airport found at https://www.cdc.gov/ CBP statutory authority, to direct all (IAD), Virginia; John F. Kennedy quarantine/order-passengers-departing- operators of aircraft to ensure that all International Airport (JFK), New York; congo.html. flights carrying persons who have Newark Liberty International Airport recently traveled from, or were (EWR), New Jersey; Chicago O’Hare Order of the Centers for Disease Control otherwise present within, the DRC or International Airport (ORD), Illinois; and Prevention, Department of Health the Republic of Guinea only arrive at Atlanta Hartsfield-Jackson Atlanta and Human Services, Requirement for one of the following airports: John F. International Airport (ATL), Georgia; Airlines to Collect Designated Kennedy International Airport (JFK), and Los Angeles International Airport Information for Passengers Destined for New York; Chicago O’Hare International (LAX), California. Experience with the United States who Are Departing Airport (ORD), Illinois; Hartsfield- previous EVD outbreaks (including the From, or Were Otherwise Present in, Jackson Atlanta International Airport 2014–2016 EVD outbreak in West the Democratic Republic of the Congo (ATL), Georgia; Washington-Dulles Africa) shows that EVD can spread or the Republic of Guinea International Airport (IAD), Virginia; quickly between close contacts and Under 42 CFR 71.4, 71.20, 71.31, and Newark Liberty International Airport within healthcare settings, often with 71.32 as Authorized by 42 U.S.C. 264 (EWR), New Jersey; and Los Angeles high case-fatality rates, and with and 268 International Airport (LAX), California, substantial disruption and strain on Attention: where the United States government healthcare services and broader • All airlines and aircraft operators may focus public health resources to socioeconomic impacts. While conducting any passenger-carrying implement enhanced public health information continues to be gathered operation destined for the United States measures. In keeping with current regarding these most recent EVD cases, transporting passengers who are practice, CDC will work closely with there is potential for spread within the departing from or were otherwise CBP to ensure that the information affected countries and to surrounding collection by the airline or aircraft countries in both West Africa and 1 https://wwwnc.cdc.gov/travel/page/recs- operator required by this Order is not Central/East Africa. organizations-sending-workers-ebola duplicated upon passengers’ arrival.

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CDC will use this information for the (e.g., if the individual was deployed the passenger can be contacted while in purposes of public health follow-up, overseas by a private company).3 the United States; such as health education, risk Timely public health follow-up (D) Secondary contact phone number assessment, and symptom monitoring or requires health officials to have to include country and area code, which other appropriate public health immediate access to accurate and may be an emergency contact number, interventions, including travel complete contact information for a work number, or a home number; and restrictions when indicated.2 passengers as they arrive in the United (E) Email address that the passenger Determination: States. Inaccurate or incomplete contact will routinely check while in the United There are currently outbreaks of EVD information hampers the ability of States. in DRC and Guinea. As of February 23, public health authorities to protect the 6. the term ‘scheduled operation’ 2021, there were 8 cases of EVD in DRC health of passengers and the public. The means any common carriage passenger- and 9 in Guinea. Currently, according to best way to ensure airline passengers’ carrying operation for compensation or CBP, a daily average of 27 travelers contact information is available in real hire conducted by an airline or arrive in the United States each day time is to collect the information before commercial operator for which the from DRC and 33 from Guinea. A very they board a flight. CDC has identified airline or its representative offers in small number (an average of between the minimum amount of information advance the departure location, two and six per day) are neither United needed to locate passengers reliably departure time, and arrival location. For States citizens nor lawful permanent after they arrive in the United States: the purposes of this Order, this includes residents of the United States. Over 96% Full name, address while in the United any passenger carrying operation under of travelers arriving from these countries States, primary contact phone number, 14 CFR part 380. enter the United States at one of six U.S. secondary or emergency contact phone In accordance with 42 CFR 71.4, airports: Washington-Dulles number, and email address. 71.20, 71.31, and 71.32, as authorized International Airport (IAD), Virginia; For these reasons, I hereby determine by 42 U.S.C. 264 and 268, it is hereby John F. Kennedy International Airport that all travelers destined for the United ordered: (JFK), New York; Newark Liberty States who are departing from, or were 1. This section applies to all International Airport (EWR), New otherwise present in, DRC or Guinea scheduled operations conducted under Jersey; Chicago O’Hare International within 21 days prior to their entry or 14 CFR part 121, part 129, or part 380, Airport (ORD), Illinois; Atlanta attempted entry into the United States or public charter operations conducted Hartsfield-Jackson Atlanta International are at risk of exposure to EVD and that under part 135 using aircraft with ten or Airport (ATL), Georgia; and Los Angeles their accurate and complete contact more seats, regardless of the number of International Airport (LAX), California. information is needed to protect the passengers on the flight. Beginning Experience with previous EVD health of fellow travlers and U.S. outbreaks (including the 2014–2016 communities. 11:59 p.m. Eastern Standard Time on EVD outbreak in West Africa) shows Directive: March 4, 2021, for each passenger flight that EVD can spread quickly between Definitions.—In this Order— transporting passengers destined for the close contacts and within healthcare 1. the term ‘airline’ has the same United States from international last settings, often with high case fatality meaning as in 42 CFR 71.1(b). points of departure who are departing rates, and with substantial disruption 2. the term ‘aircraft’ has the same from, or were otherwise present in, DRC and strain on healthcare services and meaning as in 42 CFR 71.1(b) and 49 or Guinea within 21 days prior to their broader socioeconomic impacts. While U.S.C. 40102(a)(6). entry or attempted entry into the United information continues to be gathered 3. the term ‘United States’ has the States, all airlines or aircraft operators regarding these most recent EVD cases, same meaning as in 42 CFR 71.1(b). shall— 4. the term ‘communicable disease’ there is potential for spread within the (a) Collect, before boarding, the has the same meaning as in 42 CFR affected countries and to surrounding designated information for all 71.1(b). countries in both West Africa and passengers who are departing from, or 5. the term ‘designated information’ were otherwise present in, DRC or Central/East Africa. consists of the following five data Air travel has the potential to Guinea within 21 days prior to their elements, to the extent that they exist, transport people, some of whom may entry or attempted entry into the United and any additional data elements that States. When collecting the designated have been exposed to a communicable CDC, in consultation with CBP, disease, anywhere across the globe in information, airlines or aircraft determines are necessary to operators shall notify passengers that less than 24 hours. CDC considers it accommodate the means of transmission essential that U.S. public health the obligation to provide the chosen by the airline or aircraft operator information is a United States authorities have access to information in section 1(b) or 2(b) of this Order necessary to follow up with travelers Government requirement. below as provided by the passenger: (b) Transmit the designated passenger arriving from countries with EVD (A) Full name (last, first, and, if outbreaks, as needed, including for information to CBP through one of the available, middle or suffix (e.g., Jr.)); following means: health education, risk assessment, and (B) Address while in the United States i. Through the airline’s advance symptom monitoring. U.S. state, local, (number and street, city, State or passenger information transmission; or tribal, and territorial health departments territory, and zip code). If a United ii. Through an industry-proposed, have the authority to implement and States citizen or lawful permanent manage public health follow-up, resident, provide address of permanent alternative compliance method meeting including monitoring, conducted within residence in the United States or minimum standards deemed acceptable their jurisdictions. Health departments territory (number and street, city, State to CDC in consultation with CBP, e.g., may elect to assume direct or territory, and zip code); JSON messaging or PNRGOV. responsibility for monitoring or accept (C) Primary contact phone number to (c) For all crew members, upon monitoring by a sponsoring organization include country and area code, at which request from the CDC Director, transmit the designated information through 2 Privacy Act System Notice 09–20–0171: https:// 3 https://wwwnc.cdc.gov/travel/page/recs- encrypted email or other means www.cdc.gov/SORNnotice/09-20-0171.htm. organizations-sending-workers-ebola approved by CDC within 24 hours.

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CDC or CBP may issue additional passenger destined for the United States DEPARTMENT OF HEALTH AND operational guidance to aircraft on a flight covered under sections 1 or HUMAN SERVICES operators regarding the collection and 2 who is departing from, or was transmission of the designated otherwise present in, DRC or Guinea Food and Drug Administration information, including for those who are within 21 days prior to entry, or [Docket No. FDA–2012–N–0438] unable submit data in the manner attempted entry, into the United States specified or to meet the deadline of shall provide the designated Agency Information Collection technical compliance. information, as instructed by the airline Activities; Proposed Collection; Any airline that fails to comply with or aircraft operator, insofar as the Comment Request; Early Food Safety section 1 may be subject to criminal information exists for the passenger. Evaluation of New Non-Pesticidal penalties under, inter alia, 42 U.S.C. 271 Proteins Produced by New Plant Authorized representatives (for and 42 CFR 71.2, in conjunction with 18 Varieties Intended for Food Use U.S.C. 3559 and 3571. example, immediate family member, 2. This section applies to all other legal guardian, or travel agent) may AGENCY: Food and Drug Administration, aircraft operators not covered in section provide the designated information on HHS. 1 above. Beginning 11:59 p.m. Eastern behalf of passengers, including on ACTION: Notice. Standard Time on March 4, 2021, for behalf of minors or other passengers who are unable to do so on their own SUMMARY: The Food and Drug each passenger flight transporting Administration (FDA, Agency, or we) is passengers destined for the United behalf), but the information must be specific to the individual passenger announcing an opportunity for public States from international last points of comment on the proposed collection of departure who have been in DRC or (e.g.agents may not put one number for an entire group of unrelated persons). certain information by the Agency. Guinea within 21 days prior to the date Under the Paperwork Reduction Act of of entry or attempted entry into the Any passenger who fails to comply 1995 (PRA), Federal Agencies are United States, all airlines or aircraft with the requirements of section 3 may required to publish notice in the operators shall — be subject to criminal penalties under, Federal Register concerning each (a) Collect the designated information inter alia, 42 U.S.C. 271 and 42 CFR proposed collection of information, for all passengers who are departing 71.2, in conjunction with 18 U.S.C. 3559 including each proposed extension of an from, or were otherwise present in, DRC and 3571. existing collection of information, and or Guinea within the 21 days prior to CDC and CBP will maintain the to allow 60 days for public comment in their entry or attempted entry into the designated information within their response to the notice. This notice United States. When collecting the respective systems in accordance with solicits comments on the information designated information, aircraft Federal law, including the Privacy Act collection provisions of FDA’s operators shall notify passengers that procedures for early food safety the obligation to provide the of 1974 (5 U.S.C. 552a). Identifiable information may be used and shared evaluation of new non-pesticidal information is a United States proteins produced by new plant Government requirement. only for lawful purposes, including with authorized personnel of the United varieties intended for food use, (b) Transmit the designated passenger including bioengineered food plants. information to CBP or CDC through one States Department of Health and Human DATES: of the following means: Services; the United States Department Submit either electronic or (1) Electronic Advance Passenger of Homeland Security; state, local, written comments on the collection of Information System; 4 or tribal, and territorial public health information by May 3, 2021. (2) Other means meeting minimum departments; and other cooperating ADDRESSES: You may submit comments standards deemed acceptable to CDC in authorities, as authorized by law. CDC as follows. Please note that late, consultation with CBP. and CBP will retain, use, delete, or untimely filed comments will not be (c) For all crew members, upon otherwise destroy the designated considered. Electronic comments must request from the CDC Director, transmit information in accordance with the be submitted on or before May 3, 2021. the designated information through Federal Records Act, applicable Privacy The https://www.regulations.gov encrypted email or other means Act System of Records Notices, and electronic filing system will accept approved by CDC within 24 hours. other applicable law. comments until 11:59 p.m. Eastern Time CDC or CBP may issue additional CDC may modify this Order by an at the end of May 3, 2021. Comments operational guidance to aircraft updated publication in the Federal received by mail/hand delivery/courier operators regarding the collection and Register or by posting an advisory to (for written/paper submissions) will be transmission of the designated follow at www.cdc.gov. considered timely if they are information, including for those who are postmarked or the delivery service unable submit data in the manner Authority acceptance receipt is on or before that specified or to meet the deadline of date. The CDC Director is issuing this Order technical compliance. Electronic Submissions Any entities covered under section 2 pursuant to Sections 361 and 365 of the that fail to comply with section 2 may Public Health Service (PHS) Act, 42 Submit electronic comments in the U.S.C. 264 and 268, and implementing following way: be subject to criminal penalties under, • inter alia, 42 U.S.C. 271 and 42 CFR regulations at 42 CFR 71.4, 71.20, 71.31, Federal eRulemaking Portal: 71.2, in conjunction with 18 U.S.C. 3559 and 71.32. https://www.regulations.gov. Follow the instructions for submitting comments. and 3571. Dated: March 2, 2021. Comments submitted electronically, 3. Requirements for Passengers: Sherri Berger, Beginning 11:59 p.m. Eastern including attachments, to https:// Standard Time on March 4, 2021, any Acting Chief of Staff, Centers for Disease www.regulations.gov will be posted to Control and Prevention. the docket unchanged. Because your [FR Doc. 2021–04625 Filed 3–2–21; 4:15 pm] 4 https://www.cbp.gov/travel/travel-industry- comment will be made public, you are personnel/apis/eapis-transmission-system BILLING CODE 4163–18–P solely responsible for ensuring that your

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comment does not include any for public viewing and posted on utility; (2) the accuracy of FDA’s confidential information that you or a https://www.regulations.gov. Submit estimate of the burden of the proposed third party may not wish to be posted, both copies to the Dockets Management collection of information, including the such as medical information, your or Staff. If you do not wish your name and validity of the methodology and anyone else’s Social Security number, or contact information to be made publicly assumptions used; (3) ways to enhance confidential business information, such available, you can provide this the quality, utility, and clarity of the as a manufacturing process. Please note information on the cover sheet and not information to be collected; and (4) that if you include your name, contact in the body of your comments and you ways to minimize the burden of the information, or other information that must identify this information as collection of information on identifies you in the body of your ‘‘confidential.’’ Any information marked respondents, including through the use comments, that information will be as ‘‘confidential’’ will not be disclosed of automated collection techniques, posted on https://www.regulations.gov. except in accordance with 21 CFR 10.20 when appropriate, and other forms of • If you want to submit a comment and other applicable disclosure law. For information technology. with confidential information that you more information about FDA’s posting do not wish to be made available to the of comments to public dockets, see 80 Early Food Safety Evaluation of New public, submit the comment as a FR 56469, September 18, 2015, or access Non-Pesticidal Proteins Produced by written/paper submission and in the the information at: https:// New Plant Varieties Intended for Food manner detailed (see ‘‘Written/Paper www.govinfo.gov/content/pkg/FR-2015- Use Submissions’’ and ‘‘Instructions’’). 09-18/pdf/2015-23389.pdf. OMB Control Number 0910–0583— Written/Paper Submissions Docket: For access to the docket to Extension read background documents or the This information collection supports Submit written/paper submissions as electronic and written/paper comments FDA regulations. Since May 29, 1992, follows: received, go to https:// • when we issued a policy statement on Mail/Hand Delivery/Courier (for www.regulations.gov and insert the foods derived from new plant varieties, written/paper submissions): Dockets docket number, found in brackets in the including those varieties that are Management Staff (HFA–305), Food and heading of this document, into the developed through biotechnology, we Drug Administration, 5630 Fishers ‘‘Search’’ box and follow the prompts have encouraged developers of new Lane, Rm. 1061, Rockville, MD 20852. and/or go to the Dockets Management • For written/paper comments plant varieties to consult with us early Staff, 5630 Fishers Lane, Rm. 1061, submitted to the Dockets Management in the development process to discuss Rockville, MD 20852, 240–402–7500. Staff, FDA will post your comment, as possible scientific and regulatory issues well as any attachments, except for FOR FURTHER INFORMATION CONTACT: that might arise (57 FR 22984). The information submitted, marked and Domini Bean, Office of Operations, guidance, entitled ‘‘Recommendations identified, as confidential, if submitted Food and Drug Administration, Three for the Early Food Safety Evaluation of as detailed in ‘‘Instructions.’’ White Flint North, 10A–12M, 11601 New Non-Pesticidal Proteins Produced Instructions: All submissions received Landsdown St., North Bethesda, MD by New Plant Varieties Intended for must include the Docket No. FDA– 20852, 301–796–5733, PRAStaff@ Food Use’’ (https://www.fda.gov/ 2012–N–0438 for ‘‘Agency Information fda.hhs.gov. regulatory-information/search-fda- Collection Activities; Proposed SUPPLEMENTARY INFORMATION: Under the guidance-documents/guidance- Collection; Comment Request; Early PRA (44 U.S.C. 3501–3521), Federal industry-recommendations-early-food- Food Safety Evaluation of New Non- Agencies must obtain approval from the safety-evaluation-new-non-pesticidal- Pesticidal Proteins Produced by New Office of Management and Budget proteins-produced), continues to foster Plant Varieties Intended for Food Use.’’ (OMB) for each collection of early communication by encouraging Received comments, those filed in a information they conduct or sponsor. developers to submit to us their timely manner (see ADDRESSES), will be ‘‘Collection of information’’ is defined evaluation of the food safety of their placed in the docket and, except for in 44 U.S.C. 3502(3) and 5 CFR new proteins. Such communication those submitted as ‘‘Confidential 1320.3(c) and includes Agency requests helps to ensure that any potential food Submissions,’’ publicly viewable at or requirements that members of the safety issues regarding a new protein in https://www.regulations.gov or at the public submit reports, keep records, or a new plant variety are resolved early in Dockets Management Staff between 9 provide information to a third party. development, prior to any possible a.m. and 4 p.m., Monday through Section 3506(c)(2)(A) of the PRA (44 inadvertent introduction into the food Friday, 240–402–7500. U.S.C. 3506(c)(2)(A)) requires Federal supply of the new protein. • Confidential Submissions—To Agencies to provide a 60-day notice in We believe that any food safety submit a comment with confidential the Federal Register concerning each concern related to such material information that you do not wish to be proposed collection of information, entering the food supply would be made publicly available, submit your including each proposed extension of an limited to the potential that a new comments only as a written/paper existing collection of information, protein in food from the plant variety submission. You should submit two before submitting the collection to OMB could cause an allergic reaction in copies total. One copy will include the for approval. To comply with this susceptible individuals or could be a information you claim to be confidential requirement, FDA is publishing notice toxin. The guidance describes the with a heading or cover note that states of the proposed collection of procedures for early food safety ‘‘THIS DOCUMENT CONTAINS information set forth in this document. evaluation of new proteins produced by CONFIDENTIAL INFORMATION.’’ The With respect to the following new plant varieties, including Agency will review this copy, including collection of information, FDA invites bioengineered food plants, and the the claimed confidential information, in comments on these topics: (1) Whether procedures for communicating with us its consideration of comments. The the proposed collection of information about the safety evaluation. second copy, which will have the is necessary for the proper performance Interested persons may use Form FDA claimed confidential information of FDA’s functions, including whether 3666 to transmit their submission to the redacted/blacked out, will be available the information will have practical Office of Food Additive Safety in the

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Center for Food Safety and Applied prompts a submitter to include certain (https://www.fda.gov/industry/ Nutrition (CFSAN). Form FDA 3666 is elements of an NPC in a standard format electronic-submissions-gateway), paper entitled ‘‘Early Food Safety Evaluation and helps the respondent organize their format, or as electronic files on physical of a New Non-Pesticidal Protein submission to focus on the information media with paper signature page. We Produced by a New Plant Variety (New needed for our safety review. The form, use this information to evaluate the food Protein Consultation)’’ and may be used and elements prepared as attachments safety of a specific new protein in lieu of a cover letter for a New to the form, may be prepared using the produced by a new plant variety. Protein Consultation (NPC). The form CFSAN Online Submission Module may be accessed at FDA’s web page for (https://www.fda.gov/food/registration- Description of Respondents: The forms (https://www.fda.gov/about-fda/ food-facilities-and-other-submissions/ respondents to this collection of reports-manuals-forms/forms) using the cfsan-online-submission-module-cosm). information are developers of new plant search term ‘‘3666.’’ To enable field- Once the submission is prepared, it may varieties intended for food use. fillable functionality of FDA forms, they be submitted in electronic format via the We estimate the burden of this must be downloaded. Form FDA 3666 Electronic Submissions Gateway collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

Number of Average GFI section VI: Format for submission Form FDA No. Number of responses per Total annual burden per Total hours responses respondent responses response

First four data components ...... 3666 6 1 6 4 24 Two other data components ...... 3666 6 1 6 16 96

Total ...... 120 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

Based on a review of the information data component involves ‘‘wet’’ lab Under the Paperwork Reduction Act of collection since our last request for work to assess the new protein’s 1995 (PRA), Federal Agencies are OMB approval, we have made no stability and the resistance of the required to publish notice in the adjustments to our burden estimate. The protein to enzymatic degradation using Federal Register concerning each estimated number of annual responses appropriate in vitro assays (protein proposed collection of information, and average burden per response are digestibility study). The paperwork including each proposed extension of an based on our experience with early food burden of these two data components existing collection of information, and safety evaluations. Completing an early consists of the time it takes the company to allow 60 days for public comment in food safety evaluation for a new protein to assemble the information on these response to the notice. This notice from a new plant variety is a one-time two data components and include it in solicits comments on the information burden (one evaluation per new an NPC. We estimate that completing collection provisions of FDA regulations protein). Many developers of novel these data components will take about requiring the declaration of color plants may choose not to submit an 16 hours per NPC. additives on animal food labels. evaluation because the field testing of a Dated: February 26, 2021. DATES: Submit either electronic or plant containing a new protein is Lauren K. Roth, written comments on the collection of conducted in such a way (e.g., on such Acting Principal Associate Commissioner for information by May 3, 2021. a small scale, or in such isolated Policy. ADDRESSES: You may submit comments conditions, etc.) that cross-pollination [FR Doc. 2021–04448 Filed 3–3–21; 8:45 am] as follows. Please note that late, with traditional crops or commingling BILLING CODE 4164–01–P untimely filed comments will not be of plant material is not likely to be an considered. Electronic comments must issue. Also, other developers may have be submitted on or before May 3, 2021. previously communicated with us about DEPARTMENT OF HEALTH AND The https://www.regulations.gov the food safety of a new plant protein, HUMAN SERVICES electronic filing system will accept for example, when the same protein was comments until 11:59 p.m. Eastern Time expressed in a different crop. Food and Drug Administration at the end of May 3, 2021. Comments We estimate the annual number of [Docket No. FDA–2009–N–0025] received by mail/hand delivery/courier NPCs submitted by developers will be (for written/paper submissions) will be six or fewer. The early food safety Agency Information Collection considered timely if they are evaluation for new proteins includes six Activities; Proposed Collection; postmarked or the delivery service main data components. Four of these Comment Request; Animal Food acceptance receipt is on or before that data components, having to do with the Labeling; Declaration of Certified and date. identity and source of the protein, are Non-Certified Color Additives easily and quickly obtainable. We Electronic Submissions AGENCY: Food and Drug Administration, estimate that completing these data HHS. Submit electronic comments in the components will take about 4 hours per following way: ACTION: Notice. NPC. • Federal eRulemaking Portal: Two data components ask for original SUMMARY: The Food and Drug https://www.regulations.gov. Follow the data to be generated. One data Administration (FDA or Agency) is instructions for submitting comments. component consists of a bioinformatics announcing an opportunity for public Comments submitted electronically, analysis that can be performed using comment on the proposed collection of including attachments, to https:// publicly available databases. The other certain information by the Agency. www.regulations.gov will be posted to

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the docket unchanged. Because your second copy, which will have the With respect to the following comment will be made public, you are claimed confidential information collection of information, FDA invites solely responsible for ensuring that your redacted/blacked out, will be available comments on these topics: (1) Whether comment does not include any for public viewing and posted on the proposed collection of information confidential information that you or a https://www.regulations.gov. Submit is necessary for the proper performance third party may not wish to be posted, both copies to the Dockets Management of FDA’s functions, including whether such as medical information, your or Staff. If you do not wish your name and the information will have practical anyone else’s Social Security number, or contact information to be made publicly utility; (2) the accuracy of FDA’s confidential business information, such available, you can provide this estimate of the burden of the proposed as a manufacturing process. Please note information on the cover sheet and not collection of information, including the that if you include your name, contact in the body of your comments and you validity of the methodology and information, or other information that must identify this information as assumptions used; (3) ways to enhance identifies you in the body of your ‘‘confidential.’’ Any information marked the quality, utility, and clarity of the comments, that information will be as ‘‘confidential’’ will not be disclosed information to be collected; and (4) posted on https://www.regulations.gov. except in accordance with 21 CFR 10.20 ways to minimize the burden of the • If you want to submit a comment and other applicable disclosure law. For collection of information on with confidential information that you more information about FDA’s posting respondents, including through the use do not wish to be made available to the of comments to public dockets, see 80 of automated collection techniques, public, submit the comment as a FR 56469, September 18, 2015, or access when appropriate, and other forms of written/paper submission and in the the information at: https:// information technology. manner detailed (see ‘‘Written/Paper www.govinfo.gov/content/pkg/FR-2015- Submissions’’ and ‘‘Instructions’’). Animal Food Labeling; Declaration of 09-18/pdf/2015-23389.pdf. Certified and Non-Certified Color Written/Paper Submissions Docket: For access to the docket to Additives—21 CFR 501.22(k) Submit written/paper submissions as read background documents or the electronic and written/paper comments OMB Control Number 0910–0721— follows: Extension • Mail/Hand Delivery/Courier (for received, go to https:// written/paper submissions): Dockets www.regulations.gov and insert the FDA has the authority under the Management Staff (HFA–305), Food and docket number, found in brackets in the Federal Food, Drug, and Cosmetic Act Drug Administration, 5630 Fishers heading of this document, into the (FD&C Act) to issue regulations Lane, Rm. 1061, Rockville, MD 20852. ‘‘Search’’ box and follow the prompts concerning animal food. Specifically, • For written/paper comments and/or go to the Dockets Management section 403(i) of the FD&C Act (21 submitted to the Dockets Management Staff, 5630 Fishers Lane, Rm. 1061, U.S.C. 343(i)) requires that certified Staff, FDA will post your comment, as Rockville, MD 20852, 240–402–7500. color additives used in or on a food must be declared by their common or well as any attachments, except for FOR FURTHER INFORMATION CONTACT: usual names and not be designated by information submitted, marked and JonnaLynn Capezzuto, Office of the collective term ‘‘colorings.’’ Our identified, as confidential, if submitted Operations, Food and Drug regulations in part 501 (21 CFR part as detailed in ‘‘Instructions.’’ Administration, Three White Flint 501) set forth the requirements for Instructions: All submissions received North, 10A–12M, 11601 Landsdown St., animal food labeling. Under § 501.22(k) must include the Docket No. FDA– North Bethesda, MD 20852, 301–796– (21 CFR 501.22(k)), animal food 2009–N–0025 for ‘‘Animal Food 3794, [email protected]. Labeling; Declaration of Certified and manufacturers must declare on the Non-Certified Color Additives.’’ SUPPLEMENTARY INFORMATION: Under the animal food label the presence of Received comments, those filed in a PRA (44 U.S.C. 3501–3521), Federal certified and noncertified color timely manner (see ADDRESSES), will be Agencies must obtain approval from the additives in their animal food products. placed in the docket and, except for Office of Management and Budget Our animal food labeling regulation at those submitted as ‘‘Confidential (OMB) for each collection of § 501.22(k) is consistent with the Submissions,’’ publicly viewable at information they conduct or sponsor. regulations requiring the declaration of https://www.regulations.gov or at the ‘‘Collection of information’’ is defined color additives on human food labels. Dockets Management Staff between 9 in 44 U.S.C. 3502(3) and 5 CFR The purpose of the labeling is to provide a.m. and 4 p.m., Monday through 1320.3(c) and includes Agency requests animal owners with information on the Friday, 240–402–7500. or requirements that members of the color additives used in animal food. • Confidential Submissions—To public submit reports, keep records, or Animal owners use the information to submit a comment with confidential provide information to a third party. become knowledgeable about the foods information that you do not wish to be Section 3506(c)(2)(A) of the PRA (44 they purchase for their animals. Color made publicly available, submit your U.S.C. 3506(c)(2)(A)) requires Federal additive information enables a comments only as a written/paper Agencies to provide a 60-day notice in consumer to comparison shop and to submission. You should submit two the Federal Register concerning each avoid substances to which their animals copies total. One copy will include the proposed collection of information, may be sensitive. information you claim to be confidential including each proposed extension of an Description of Respondents: with a heading or cover note that states existing collection of information, Respondents to this collection of ‘‘THIS DOCUMENT CONTAINS before submitting the collection to OMB information are manufacturers of pet CONFIDENTIAL INFORMATION.’’ The for approval. To comply with this food products that contain color Agency will review this copy, including requirement, FDA is publishing notice additives. the claimed confidential information, in of the proposed collection of FDA estimates the burden of this its consideration of comments. The information set forth in this document. collection of information as follows:

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TABLE 1—ESTIMATED ANNUAL THIRD-PARTY DISCLOSURE BURDEN 1

Number of Average 21 CFR section; activity Number of disclosures per Total annual burden per Total hours respondents respondent disclosures disclosure

501.22(k); labeling of color additive or lake of color addi- 3,120 0.8292 2,587 0.25...... 647 tive; labeling of color additives not subject to certification. (15 minutes). 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

Based on a review of the information 3507. An Agency may not conduct or by using the search function. The title collection since our last request for sponsor, and a person is not required to of this information collection is ‘‘Study OMB approval, we have made no respond to, a collection of information of Multiple Indications in Direct-to- adjustments to our burden estimate. unless it displays a currently valid OMB Consumer Television Advertisements.’’ Dated: February 26, 2021. control number. OMB has now Also include the FDA docket number Lauren K. Roth, approved the information collection and found in brackets in the heading of this has assigned OMB control number document. Acting Principal Associate Commissioner for Policy. 0910–0883. The approval expires on FOR FURTHER INFORMATION CONTACT: Ila January 31, 2022. A copy of the [FR Doc. 2021–04461 Filed 3–3–21; 8:45 am] S. Mizrachi, Office of Operations, Food supporting statement for this and Drug Administration, Three White BILLING CODE 4164–01–P information collection is available on Flint North, 10A–12M, 11601 the internet at https://www.reginfo.gov/ Landsdown St., North Bethesda, MD DEPARTMENT OF HEALTH AND public/do/PRAMain. 20852, 301–796–7726, PRAStaff@ HUMAN SERVICES Dated: February 26, 2021. fda.hhs.gov. Lauren K. Roth, SUPPLEMENTARY INFORMATION: In Food and Drug Administration Acting Principal Associate Commissioner for compliance with 44 U.S.C. 3507, FDA [Docket No. FDA–2019–N–3077] Policy. has submitted the following proposed [FR Doc. 2021–04470 Filed 3–3–21; 8:45 am] collection of information to OMB for Agency Information Collection BILLING CODE 4164–01–P review and clearance. Activities; Announcement of Office of Study of Multiple Indications in Direct- Management and Budget Approval; to-Consumer Television Advertisements Obtaining Information To Understand DEPARTMENT OF HEALTH AND and Challenges and Opportunities HUMAN SERVICES OMB Control Number 0910–NEW Encountered by Compounding Food and Drug Administration Section 1701(a)(4) of the Public Outsourcing Facilities Health Service Act (42 U.S.C. [Docket No. FDA–2020–N–1228] AGENCY: Food and Drug Administration, 300u(a)(4)) authorizes the FDA to HHS. conduct research relating to health Agency Information Collection information. Section 1003(d)(2)(C) of the ACTION: Notice. Activities; Submission for Office of Federal Food, Drug, and Cosmetic Act Management and Budget Review; SUMMARY: (FD&C Act) (21 U.S.C. 393(d)(2)(C)) The Food and Drug Comment Request; Study of Multiple Administration (FDA or Agency) is authorizes FDA to conduct research Indications in Direct-to-Consumer relating to drugs and other FDA announcing that a collection of Television Advertisements information entitled ‘‘Obtaining regulated products in carrying out the Information to Understand and AGENCY: Food and Drug Administration, provisions of the FD&C Act. Challenges and Opportunities HHS. The Office of Prescription Drug Promotion’s (OPDP) mission is to Encountered by Compounding ACTION: Notice. Outsourcing Facilities’’ has been protect the public health by helping to approved by the Office of Management SUMMARY: The Food and Drug ensure that prescription drug promotion and Budget (OMB) under the Paperwork Administration (FDA) is announcing is truthful, balanced, and accurately Reduction Act of 1995. that a proposed collection of communicated. OPDP’s research program provides scientific evidence to FOR FURTHER INFORMATION CONTACT: Ila information has been submitted to the Office of Management and Budget help ensure that our policies related to S. Mizrachi, Office of Operations, Food prescription drug promotion will have and Drug Administration, Three White (OMB) for review and clearance under the Paperwork Reduction Act of 1995. the greatest benefit to public health. Flint North, 10A–12M, 11601 Toward that end, we have Landsdown St., North Bethesda, MD DATES: Submit written comments consistently conducted research to 20852, 301–796–7726, PRAStaff@ (including recommendations) on the evaluate the aspects of prescription drug fda.hhs.gov. collection of information by April 5, promotion that are most central to our SUPPLEMENTARY INFORMATION: On 2021. mission, focusing in particular on three December 18, 2020, the Agency ADDRESSES: To ensure that comments on main topic areas: (1) Advertising submitted a proposed collection of the information collection are received, features, including content and format; information entitled ‘‘Obtaining OMB recommends that written (2) target populations; and (3) research Information to Understand and comments be submitted to https:// quality. Through the evaluation of Challenges and Opportunities www.reginfo.gov/public/do/PRAMain. advertising features, we assess how Encountered by Compounding Find this particular information elements such as graphics, format, and Outsourcing Facilities’’ to OMB for collection by selecting ‘‘Currently under disease and product characteristics review and clearance under 44 U.S.C. Review—Open for Public Comments’’ or impact the communication and

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understanding of prescription drug risks links to the latest Federal Register consumers, thus decreasing their and benefits. Focusing on target notices and peer-reviewed publications understanding of the drug’s indications populations allows us to evaluate how produced by our office. The website (Refs. 1–3). understanding of prescription drug risks maintains information on studies we When more than one indication is and benefits may vary as a function of have conducted, dating back to a direct- presented, the similarity or dissimilarity audience, and our focus on research to-consumer (DTC) survey conducted in of the indications may affect quality aims at maximizing the quality 1999. participants’ ability to remember and of research data through analytical A number of prescription drugs are understand the indications. If this is the methodology development and approved for multiple indications. case, it is not clear whether similarity investigation of sampling and response These indications can be similar in would have a positive or negative effect issues. This study will inform the first certain respects (e.g., diabetic peripheral in the multimodal context of a topic area, advertising features, neuropathy and fibromyalgia, which are television advertisement (e.g., Refs. 4 including content and format. both conditions that manifest in pain) or and 5). Because we recognize the strength of very different from one another (e.g., This study will provide preliminary data and the confidence in the robust diabetic peripheral neuropathy and information on whether consumers face nature of the findings is improved generalized anxiety disorder). If a drug challenges when multiple indications through the results of multiple is approved for multiple indications, are promoted in a single television converging studies, we continue to sponsors choose whether to promote advertisement. The study also will develop evidence to inform our only one of those indications in DTC explore whether similarity of the thinking. We evaluate the results from television advertising, or multiple indications affects participants’ our studies within the broader context indications in the same television likelihood to recall and understand the of research and findings from other advertisement. We are unaware of any indications, and whether its effect sources, and this larger body of quantitative research that addresses how would be positive or negative. knowledge collectively informs our presenting multiple indications in one We propose to test three types of policies as well as our research program. advertisement affects consumers’ fictional DTC television Our research is documented on our processing of drug information. Some advertisements—one that promotes a homepage, which can be found at: research suggests that presenting more single indication, one that promotes an https://www.fda.gov/about-fda/center- than one indication in a television indication plus a similar indication, and drug-evaluation-and-research-cder/ advertisement, regardless of the one that promotes an indication plus a office-prescription-drug-promotion- similarity of the indications, may dissimilar indication—in two different opdp-research. The website includes increase the cognitive load on medical conditions (table 1).

TABLE 1—STUDY DESIGN: 1 × 3 FACTORIAL EXPERIMENT REPEATED IN TWO MEDICAL CONDITIONS

Indication 1 plus a dissimilar Indication 1 Indication 1 plus a similar indication indication

Study 1: Diabetic peripheral neuropathy (DPN) DPN ...... DPN + fibromyalgia ...... DPN + generalized anxiety disorder. Study 2: Rheumatoid arthritis (RA) ...... RA ...... RA + psoriatic arthritis ...... RA + ulcerative colitis.

We plan to conduct two pretests (one and the indication information, and In the Federal Register of July 6, 2020 for each main study) and two main intentions to look for more information (85 FR 40296), FDA published a 60-day studies not longer than 20 minutes, and ask a doctor about the drug. notice requesting public comment on administered via internet panel, to test For all phases of this research, we will the proposed collection of information. the experimental manipulations and recruit adult volunteers 18 years of age FDA received four comments that were pilot the main study procedures. or older. For Pretest 1 and Study 1, we PRA-related. will recruit participants who self-report Participants will be randomly assigned Within the four submissions, FDA being diagnosed with diabetes (N = 60 to view one study advertisement and received multiple comments that the then complete a questionnaire that in Pretest 1 and N = 402 in Study 1). For Agency has addressed below. For assesses recall and comprehension of Pretest 2 and Study 2, we will recruit brevity, some public comments are the drug’s benefits and risks, benefit and participants who self-report being paraphrased and therefore may not risk perceptions, attitudes, and diagnosed with rheumatoid arthritis (N reflect the exact language used by the behavioral intentions. We will also = 60 in Pretest 2 and N = 402 in Study measure covariates such as 2). We will exclude individuals who commenter. We assure commenters that demographics and health literacy. work for the Department of Health and the entirety of their comments was Taking into account prior research, it is Human Services or work in the considered even if not fully captured by our hypothesis that participants will be healthcare, marketing, or our paraphrasing in this document. more likely to correctly recall and pharmaceutical industries. We will also (Comment) One comment suggested understand the first indication when it exclude pretest participants from the several ideas for other study designs, is presented alone, compared with when main studies, and participants will not including: (1) Studying consumer it is presented with a second (similar or be able to participate in both Studies 1 reactions to actual advertisement dissimilar) indication. We will explore and 2. With these sample sizes, we will campaigns; (2) studying consumer whether similarity of the indications have sufficient power to detect small- reactions to watching a DTC television affects participants’ likelihood to recall sized effects in Studies 1 and 2. For the advertisement and then viewing a and understand the indications. We will burden estimate, we include an related website; and (3) studying also explore the effects of the indication additional 10% over our target number advertisements for multiple indications presentation on benefit and risk of valid completes to account for some with different risk profiles. Another perceptions, attitudes toward the drug overage. comment suggested another study idea:

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Studying a drug with multiple concerned about such factors not being comprehend the first indication indications for the same disease. evenly distributed across groups (Ref. compared with participants (with (Response) We appreciate these 6). We have no reason to expect that the diabetes in Study 1 and rheumatoid alternate study ideas. As this is the first aforementioned factors would have a arthritis in Study 2) who see the first study on this topic, we acknowledge our strong association with the outcome indication and a second (similar or study cannot answer every research measures, nor do we have reason to dissimilar) indication. As another question. We believe these alternate believe that we will not achieve example, we would expect that recall, study ideas could be candidates for adequate balance of prognostic variables recognition, and comprehension of the future research, and we encourage given the large sample size proposed for second indication would be higher stakeholders to conduct research in this this study (Ref. 6). Random assignment when the second indication is area. will help to produce groups which are, mentioned in the advertisement (Comment) One comment on average, probabilistically similar to compared with when it is not (e.g., recommended using Crohn’s or each other. Because randomization participants are more likely to know the ulcerative colitis rather than leukemia eliminates most other sources of drug is also indicated for fibromyalgia as the dissimilar indication in Study 2 systematic variation, we can be when the advertisement mentions the to avoid confusion with adverse effects reasonably confident that any effect that fibromyalgia indication). We will of common RA medications. is found is the result of the intervention measure participants’ familiarity with (Response) Based on this comment, and not some preexisting differences treatments for each medical condition we plan to use ulcerative colitis rather between the groups (Ref. 7). However, and assess whether they have been than leukemia as the dissimilar we have included questions about diagnosed with each medical condition. indication in Study 2. demographics and health We can use these variables to explore (Comment) Three comments noted characteristics, which will enable us to differences among participants. A future that care should be taken to reduce assess their association with our study could examine how individuals confounding variables in the study outcomes and statistically control for suffering from fibromyalgia or stimuli in terms of length, order and them if necessary. generalized anxiety, or from psoriatic presentation of indications, background (Comment) One comment noted that arthritis or ulcerative colitis (which are and actor profiles, advertisement the sample size per cell should be at secondary indications in the current quality, and audio and visual effects. least 75 participants. study) may interpret these (Response) We can confirm that care (Response) We conducted power advertisements. has been taken to ensure that we do not analyses to determine sample size. We (Comment) One comment suggested have any unintentional confounds plan to have 134 participants per cell in recruiting participants with diabetic across the study conditions. The each study, for a total of 402 peripheral neuropathy specifically advertisements use the same actors, participants per study. rather than diabetes in Study 1, while scenes, audio and visual effects and all (Comment) One comment noted that another comment noted that diabetic other design and content features to recruiting participants with only the peripheral neuropathy is ensure that all elements are consistent primary indication could bias results underdiagnosed and therefore may across experimental conditions. We also because participants will be more present recruitment challenges. used the same setting, actors, and familiar with their own medical (Response) We plan to retain the advertisement concept across Study 1 condition. Instead, it suggested that for diabetes sample for Study 1 to aid and Study 2 to minimize differences each study condition we recruit a recruitment. We will ask participants if across the two studies. The only aspect sample that matches that study they experience diabetes-related pain that will change is the manipulated condition (e.g., recruiting participants and whether they have been diagnosed content (i.e., script and superimposed with diabetic peripheral neuropathy or with diabetic peripheral neuropathy. text relaying the indications). fibromyalgia for the second study (Comment) One comment noted (Comment) One comment requested condition in Study 1). concern about the chosen indications that we clarify how we are defining (Response) We agree that participants because medical conditions can differ similar versus dissimilar indications. may know more about their own from one another in several ways (e.g., (Response) The similar indications medical condition than the other prevalence, treatment options) and have similar clinical manifestations: In medical conditions advertised. suggested considering public awareness Study 1, nerve-related pain for diabetic However, we believe the alternate of the medical conditions. peripheral neuropathy and fibromyalgia, design offered in the comment would (Response) We agree that medical and in Study 2, joint pain for make results difficult to interpret as it conditions vary; this is unavoidable in rheumatoid arthritis and psoriatic would be unclear whether differences a study of this kind. To account for this, arthritis. The dissimilar indications were due to the advertisement we plan to conduct two studies using have dissimilar clinical manifestations: manipulations or to the different different medical conditions to In Study 1, nerve-related pain for samples. Instead, we plan to keep the determine whether the effects replicate diabetic peripheral neuropathy and original design. We do not plan to across studies. We will measure anxiety for generalized anxiety disorder, compare participants’ recall, participants’ familiarity with treatments and in Study 2, joint pain for recognition, or comprehension of the for the medical conditions in each rheumatoid arthritis and abdominal primary indication to the second study. pain and diarrhea for ulcerative colitis. indication (which may lead to the bias (Comment) One comment suggested (Comment) One comment noted in the comment). Rather, we plan asking participants if they were familiar recommended stratification across to compare understanding across the with the fictitious drug and terminating conditions for demographics and several experimental conditions. For instance, participants who say yes. health characteristics. we are testing the hypothesis that (Response) It is unlikely that many (Response) Typically, stratified participants (with diabetes in Study 1 participants will claim to be familiar randomization is used if there are and rheumatoid arthritis in Study 2) with the fictional brand name. However, prognostic variables that correlate with who see the first indication alone will past research has noted the human outcome measures and researchers are be more likely to recall, recognize, and tendency to falsely recognize content

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(Ref. 8). While theoretically interesting, Questions 3 and 14 because these open- such as whether it would be appropriate the fact that people may falsely ended questions may be difficult for for the person to ask their doctor about recognize our brand should not threaten respondents to answer. the drug, but participants found this the internal validity of the current (Response) Questions 2 and 13 language to be wordy and unnecessary. study. Random assignment should measure unaided recall of drug benefits We do not plan to change these guard against systematic differences and risks whereas Questions 3 and 14 questions at this time, but we will assess among groups in terms of false measure recognition of drug benefits participants’ ability to answer these recognition tendency. Nonetheless, we and risks. We agree that recall is more questions in cognitive interviews and appreciate this concern and in response, difficult than recognition. We plan to pretesting. we have added a question to the survey retain Questions 2 and 13 but will (Comment) Two comments suggested to measure familiarity with the brand, assess their utility in cognitive deleting or revising several items which we can then explore in auxiliary interviews and pretesting. (Questions 16, 17, 21–24, 26, 27 in one (Comment) One comment suggested analyses, but we do not think comment, Questions 18–27 in the other) using consistent scales on the participants with false brand familiarity because responses to these items may be questionnaire. should be removed from the study. Our influenced by the particular stimuli study sample includes those with (Response) Most questionnaire items have true/false/don’t know or yes/no/ used and by factors other than those rheumatoid arthritis for one of the being studied. studies (a condition with lower don’t know response options. Some prevalence in the United States, about items are validated measures with (Response) These items measure 0.6 percent of the population). Likert-type scales; for these, we have intentions, attitudes, and perceptions. Excluding those with false recognition used the response options from the We agree that several factors can would impose additional burden on validated measures. influence these outcomes. However, recruitment. (Comment) Two comments suggested random assignment to conditions allows (Comment) One comment suggested removing or revising questions 7–10 us to determine whether the that the questionnaire should include because participants do not have the experimental manipulation is the statement ‘‘Based on the ad you just medical expertise to say whether responsible for differences in these saw . . .’’ before each question. someone is a good candidate for a drug. outcomes across conditions. We will (Response) We include this statement Instead, the comments suggested asking retain these items and assess their and similar language throughout the whether the drug is appropriate for utility in cognitive interviews and questionnaire. them. pretesting. (Comment) One comment suggested (Response) These questions are (Comment) One comment suggested we measure unaided awareness of the intended to measure participants’ combining Questions 30 through 33 into indications, aided awareness of the comprehension of the indications as one item and asking it at the beginning indications, likelihood to go to the communicated in the advertisements. of the questionnaire. branded drug website to learn more DTC advertisements can drive (Response) We combined questions about the drug, and likelihood to ask consumers to ask their doctors about a Q31 and Q32 into one item and moved their doctor about the drug. drug, so it is important to know whether the item to the screener. (Response) We measure unaided the drug indication is accurately (Comment) One comment suggested awareness of the indications (benefit communicated to consumers. We used we ask participants if they have been recall) in Question 2, aided awareness of similar questions about being a ‘‘good diagnosed with the indicated medical the indications (benefit recognition) in candidate’’ in another study (OMB conditions (diabetic neuropathy, Question 3, and likelihood to look for control number 0910–0885). In fibromyalgia, etc.). more information about the drug and cognitive interviews, participants were ask their doctor about the drug in able to answer the questions and they (Response) These questions are Questions 16 and 17. understood that the questions were included on the questionnaire. (Comment) One comment suggested asking about the drug information in the FDA estimates the burden of this deleting Questions 2 and 13 in favor of advertisement. We also tested language, collection of information as follows:

TABLE 2—ESTIMATED ANNUAL REPORTING BURDEN 1

Number of Activity Number of responses per Total annual Average burden per Total hours respondents respondent respondents response

Pretest 1 and 2 screener ...... 264 1 264 0.083 (5 minutes) ...... 22 Pretest 1 and 2 ...... 132 1 132 0.333 (20 minutes) .... 44 Main Study 1 and 2 screener ...... 1,770 1 1,770 0.083 (5 minutes) ...... 147 Main Study 1 and 2 ...... 885 1 885 0.333 (20 minutes) .... 295

Total ...... 508 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

References Friday; these are not available publishes in the Federal Register, but electronically at https:// websites are subject to change over time. The following references are on www.regulations.gov as these references display at the Dockets Management Staff 1. Mayer, R.E. and R. Moreno (2003), ‘‘Nine are copyright protected. Some may be Ways to Reduce Cognitive Load in (see ADDRESSES) and are available for available at the website address, if Multimedia Learning.’’ Educational viewing by interested persons between listed. FDA has verified the website Psychologist, 38(1), 43–52. 9 a.m. and 4 p.m., Monday through addresses, as of the date this document 2. Mutlu-Bayraktar, D., V. Cosgun, and T.

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Altan (2019), ‘‘Cognitive Load in nonvoting industry representative. recommendations regarding the Multimedia Learning Environments: A Nominations will be accepted for an feasibility and reasonableness of those Systematic Review.’’ Computers & upcoming vacancy effective with this proposed regulations. The committee Education, 141, 103618. notice. also reviews and makes 3. Betts, K.R., V. Boudewyns, K.J. Aikin, C. recommendations on proposed Squire, et al. (2018), ‘‘Serious and DATES: Any industry organizations Actionable Risks, Plus Disclosure: interested in participating in the guidelines developed to assist the Investigating an Alternative Approach selection of an appropriate nonvoting medical device industry in meeting the good manufacturing practice for Presenting Risk Information in member to represent industry interests Prescription Drug Television requirements and provides advice with must send a letter stating that interest to Advertisements.’’ Research in Social and regard to any petition submitted by a FDA by April 5, 2021 (see sections I and Administrative Pharmacy, 14(10), 951– manufacturer for an exemption or III of this document for further details). 963. variance from good manufacturing Concurrently, nomination materials for 4. Jiang, Y.V., H.J. Lee, A. Asaad, and R. practice regulations. Remington (2016), ‘‘Similarity Effects in prospective candidates should be sent to Visual Working Memory.’’ Psychonomic FDA by April 5, 2021. II. Qualifications Bulletin & Review, 23(2), 476–482. ADDRESSES: All statements of interest Persons nominated for DGMPAC 5. Oberauer, K. and E.B. Lange (2008), from industry organizations interested ‘‘Interference in Verbal Working should possess appropriate Memory: Distinguishing Similarity- in participating in the selection process qualifications to understand and Based Confusion, Feature Overwriting, of nonvoting industry representative contribute to the committee’s work as and Feature Migration.’’ Journal of nominations should be sent to Margaret described in the committee’s function. Memory and Language, 58(3), 730–745. Ames (see FOR FURTHER INFORMATION III. Selection Procedure 6. Friedman, L.M., C.D. Furberg, and D.L. CONTACT). All nominations for DeMets (1998), Fundamentals of Clinical nonvoting industry representatives Any industry organization interested Trials. New York, NY: Spring Science- should be submitted electronically by in participating in the selection of an Business Media, LLC. accessing FDA’s Advisory Committee appropriate nonvoting member to 7. Fisher, R.A. (1937), The Design of Membership Nomination Portal at represent industry interests should send Experiments. Edinburgh, United a letter stating that interest to the FDA Kingdom: Oliver and Boyd. https://www.accessdata.fda.gov/scripts/ contact (see FOR FURTHER INFORMATION 8. Southwell, B.G. and R. Langteau (2008), FACTRSPortal/FACTRS/index.cfm or by ‘‘Age, Memory Changes, and the Varying mail to Advisory Committee Oversight CONTACT) within 30 days of publication Utility of Recognition as a Media Effects and Management Staff, Food and Drug of this document (see DATES). Within Pathway’’. Communication Methods and Administration, 10903 New Hampshire the subsequent 30 days, FDA will send Measures, 2, 100–114. Ave., Bldg. 32, Rm. 5103, Silver Spring, a letter to each organization that has Dated: February 26, 2021. MD 20993–0002. Information about expressed an interest, attaching a complete list of all such organizations, Lauren K. Roth, becoming a member of an FDA advisory committee can also be obtained by and a list of all nominees along with Acting Principal Associate Commissioner for their current resumes. The letter will Policy. visiting FDA’s website at https:// also state that it is the responsibility of [FR Doc. 2021–04472 Filed 3–3–21; 8:45 am] www.fda.gov/AdvisoryCommittees/ default.htm. the interested organizations to confer BILLING CODE 4164–01–P with one another and to select a FOR FURTHER INFORMATION CONTACT: candidate, within 60 days after the Margaret Ames, Office of Management, receipt of the FDA letter, to serve as the DEPARTMENT OF HEALTH AND Center for Devices and Radiological nonvoting member to represent industry HUMAN SERVICES Health, Food and Drug Administration, interests for the committee. The 10903 New Hampshire Ave., Bldg. 66, interested organizations are not bound Food and Drug Administration Rm. 5213, Silver Spring, MD 20993– by the list of nominees in selecting a 0002, 301–796–5960, margaret.ames@ [Docket No. FDA–2019–N–2430] candidate. However, if no individual is fda.hhs.gov. selected within the 60 days, the Request for Nominations on Device SUPPLEMENTARY INFORMATION: Section Commissioner will select the nonvoting Good Manufacturing Practice Advisory 520 of the Federal Food, Drug and member to represent industry interests. Committee Cosmetic Act (21 U.S.C. 360j), as IV. Application Procedure AGENCY: Food and Drug Administration, amended, provides that DGMPAC shall HHS. be composed of two representatives of Individuals may self-nominate and/or ACTION: Notice. interests of the device manufacturing an organization may nominate one or industry. The Agency is requesting more individuals to serve as a nonvoting SUMMARY: The Food and Drug nominations for a nonvoting industry industry representative. Nominations Administration (FDA or Agency) is representative to fill an upcoming must include a current, complete requesting that any industry vacancy on DGMPAC. FDA is re´sume´ or curriculum vitae for each organization interested in participating publishing a separate document nominee, including current business in the selection of a nonvoting industry announcing the request for notification address, telephone number, email representative to serve on the Device for voting members on DGMPAC. address if available, and a signed copy Good Manufacturing Practice Advisory of the Acknowledgement and Consent Committee (DGMPAC) in the Center for I. Function of DGMPAC form available at the FDA Advisory Devices and Radiological Health notify DGMPAC reviews proposed Committee Membership Nomination FDA in writing. FDA is also requesting regulations issuance regarding good Portal (see ADDRESSES) within 30 days of nominations for a nonvoting industry manufacturing practices governing the publication of this document (see representative to fill an upcoming methods used in, and the facilities and DATES). Nominations must also specify vacancy on DGMPAC. A nominee may controls used for, the manufacture, the advisory committee for which the either be self-nominated or nominated packaging, storage, installation, and nominee is recommended. Nominations by an organization to serve as a servicing of devices, and makes must also acknowledge that the

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nominee is aware of the nomination SUPPLEMENTARY INFORMATION: Section BELVIQ XR (lorcaserin hydrochloride) unless self-nominated. FDA will 505(j) of the Federal Food, Drug, and extended-release tablets, 20 mg, were forward all nominations to the Cosmetic Act (FD&C Act) (21 U.S.C. withdrawn for reasons of safety or organizations expressing interest in 355(j)) allows the submission of an effectiveness. participating in the selection process for ANDA to seek approval to market a In 2012, the Agency required the drug the committee. (Persons who nominate generic version of a previously manufacturer to conduct a randomized, themselves as nonvoting industry approved drug product. In general, to double-blind, placebo-controlled representatives will not participate in obtain approval, the ANDA applicant clinical trial to evaluate the risk of the selection process.) must show, among other things, that the cardiovascular problems. The FDA seeks to include the views of generic drug product has the same Cardiovascular and Metabolic Effects of women and men, members of all racial active ingredient(s); dosage form; route Lorcaserin in Overweight and Obese and ethnic groups, and individuals with of administration; strength; conditions Patients—Thrombolysis in Myocardial and without disabilities on its advisory of use; and, with certain exceptions, Infarction 61 (CAMELLIA–TIMI 61) committees and, therefore, encourages labeling as the listed drug. In addition, clinical trial was conducted to fulfill nominations of appropriately qualified the ANDA applicant must show that the this requirement. An analysis of the candidates from these groups. generic drug product is bioequivalent to CAMELLIA–TIMI 61 trial results Specifically, nominations for nonvoting the listed drug. suggests an imbalance in cancer in representatives of industry interests are Section 505(j)(7) of the FD&C Act humans. Although chance effect cannot encouraged from the device requires FDA to publish a list of all be ruled out, the imbalance persisted manufacturing industry. approved drugs. FDA publishes this list throughout multiple analysis This notice is issued under the as part of the ‘‘Approved Drug Products approaches. The clinical findings Federal Advisory Committee Act (5 With Therapeutic Equivalence corroborated by the evidence from the U.S.C. app. 2) and 21 CFR part 14, Evaluations,’’ which is known generally animal models informed the Agency’s relating to advisory committees. as the ‘‘Orange Book.’’ Under FDA assessment that the risk outweighs any Dated: February 26, 2021. regulations, drugs are removed from the potential benefits for the current Lauren K. Roth, list if the Agency withdraws or indications. These findings were Acting Principal Associate Commissioner for suspends approval of the drug’s new considered clinically meaningful and Policy. drug application (NDA) or ANDA for could not be adequately addressed reasons of safety or effectiveness or if through labeling. Additional evidence [FR Doc. 2021–04450 Filed 3–3–21; 8:45 am] FDA determines that the listed drug was would be necessary to investigate this BILLING CODE 4164–01–P withdrawn from sale for reasons of signal; however, the Agency has safety or effectiveness (21 CFR 314.162). determined that it is unlikely that the DEPARTMENT OF HEALTH AND A person may petition the Agency to necessary safety endpoints (i.e., cancer HUMAN SERVICES determine, or the Agency may and reproductive safety) can be readily determine on its own initiative, whether or ethically investigated in a clinical Food and Drug Administration a listed drug was withdrawn from sale trial. Because preclinical or clinical for reasons of safety or effectiveness. studies would first need to be [Docket No. FDA–2021–N–0030] This determination may be made at any conducted to address these concerns, Determination That BELVIQ time after the drug has been withdrawn the Agency has determined that this (Lorcaserin Hydrochloride) Tablets, 10 from sale, but must be made prior to drug product would not be considered Milligrams, and BELVIQ XR (Lorcaserin approving an ANDA that refers to the safe and effective if it were reintroduced Hydrochloride) Extended-Release listed drug (§ 314.161 (21 CFR 314.161)). to the market. Tablets, 20 Milligrams, Were FDA may not approve an ANDA that FDA issued a Drug Safety Withdrawn From Sale for Reasons of does not refer to a listed drug. Communication on January 14, 2020, Safety or Effectiveness BELVIQ (lorcaserin hydrochloride) alerting the public that results from a tablets, 10 mg, is the subject of NDA clinical trial assessing the risk of heart- AGENCY: Food and Drug Administration, 022529, and BELVIQ XR (lorcaserin related problems show a possible HHS. hydrochloride) extended-release tablets, increased risk of cancer with BELVIQ ACTION: Notice. 20 mg, is the subject of NDA 208524, and BELVIQ XR (see https:// both held by Eisai Inc. (Eisai), and www.fda.gov/drugs/drug-safety-and- SUMMARY: The Food and Drug initially approved on June 27, 2012, and availability/safety-clinical-trial-shows- Administration (FDA or Agency) has July 15, 2016, respectively. BELVIQ and possible-increased-risk-cancer-weight- determined that BELVIQ (lorcaserin BELVIQ XR are indicated as an adjunct loss-medicine-belviq-belviq-xr). On hydrochloride) tablets, 10 milligrams to a reduced-calorie diet and increased February 13, 2020, FDA announced it (mg), and BELVIQ XR (lorcaserin physical activity for chronic weight had asked Eisai to voluntarily withdraw hydrochloride) extended-release tablets, management in adults with an initial BELVIQ and BELVIQ XR from the U.S. 20 mg, were withdrawn from sale for body mass index of: market (see https://www.fda.gov/drugs/ reasons of safety or effectiveness. The • 30 kilograms per square meter (kg/ drug-safety-and-availability/fda- Agency will not accept or approve m2) or greater (obese); or requests-withdrawal-weight-loss-drug- abbreviated new drug applications • 27 kg/m2 or greater (overweight) in belviq-belviq-xr-lorcaserin-market). On (ANDAs) for lorcaserin hydrochloride the presence of at least one weight- February 13, 2020, Eisai submitted a tablets, 10 mg and 20 mg. related comorbid condition (e.g., request to FDA to withdraw approval of FOR FURTHER INFORMATION CONTACT: hypertension, dyslipidemia, type 2 NDA 022529 for BELVIQ and NDA Sungjoon Chi, Center for Drug diabetes). 208524 for BELVIQ XR under 21 CFR Evaluation and Research, Food and After reviewing Agency records and 314.150(d) and waived its opportunity Drug Administration, 10903 New based on the information we have at this for a hearing. As requested by Eisai, the Hampshire Ave., Bldg. 51, Rm. 6216, time, FDA has determined under Agency issued a Federal Register notice Silver Spring, MD 20993–0002, 240– § 314.161 that BELVIQ (lorcaserin on September 17, 2020 (85 FR 58063), 402–9674, [email protected]. hydrochloride) tablets, 10 mg, and withdrawing approval of the

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applications for BELVIQ (lorcaserin medicine, optometry, pharmacy, allied LOW INCOME LEVELS BASED ON THE hydrochloride) tablets, 10 mg, and health, podiatric medicine, nursing, and 2021 POVERTY GUIDELINES FOR THE BELVIQ XR (lorcaserin hydrochloride) chiropractic; public or private nonprofit 48 CONTIGUOUS STATES AND THE extended-release tablets, 20 mg, schools which offer graduate programs DISTRICT OF COLUMBIA—Continued effective September 17, 2020. in behavioral health and mental health Accordingly, the Agency will remove practice; and other public or private Persons in family/household * Income level ** BELVIQ (lorcaserin hydrochloride) nonprofit health or educational entities tablets, 10 mg, and BELVIQ XR to assist individuals from disadvantaged 8 ...... 89,320 (lorcaserin hydrochloride) extended- backgrounds to enter and graduate from release tablets, 20 mg, from the list of For families with more than 8 persons, add health professions and nursing schools. $9,080 for each additional person. drug products published in the Orange Some programs provide for the * Includes only dependents listed on federal Book. FDA will not accept or approve repayment of health professions or income tax forms. ANDAs that refer to this drug product. nursing education loans for students ** Adjusted gross income for calendar year 2020. Dated: February 26, 2021. from disadvantaged backgrounds. Lauren K. Roth, A ‘‘low-income family/household’’ for LOW INCOME LEVELS BASED ON THE Acting Principal Associate Commissioner for programs included in Titles III, VII, and 2021 POVERTY GUIDELINES FOR Policy. VIII of the Public Health Service Act is LASKA [FR Doc. 2021–04449 Filed 3–3–21; 8:45 am] defined as having an annual income that A BILLING CODE 4164–01–P does not exceed 200 percent of the Department’s poverty guidelines. A Persons in family/household * Income level ** family is a group of two or more 1 ...... $32,180 DEPARTMENT OF HEALTH AND individuals related by birth, marriage, or HUMAN SERVICES 2 ...... 43,540 adoption who live together. 3 ...... 54,900 Health Resources and Services Most HRSA programs use the income 4 ...... 66,260 Administration of a student’s parent(s) to compute low 5 ...... 77,620 income status. However, a ‘‘household’’ 6 ...... 88,980 ‘‘Low Income Levels’’ Used for Various may potentially be only one person. 7 ...... 100,340 Health Professions and Nursing Other HRSA programs, depending upon 8 ...... 111,700 the legislative intent of the program, the Programs Authorized in Titles III, VII, For families with more than 8 persons, add and VIII of the Public Health Service programmatic purpose related to income $11,360 for each additional person. Act level, as well as the age and * Includes only dependents listed on federal circumstances of the participant, will income tax forms. AGENCY: Health Resources and Services apply these low income standards to the ** Adjusted gross income for calendar year Administration (HRSA), Department of individual student to determine 2020. Health and Human Services (HHS). eligibility, as long as he or she is not ACTION: Notice. listed as a dependent on the tax form of LOW INCOME LEVELS BASED ON THE 2021 POVERTY GUIDELINES FOR HA- SUMMARY: HRSA is updating income his or her parent(s). Each program levels used to identify a ‘‘low income announces the rationale and choice of WAII family’’ for the purpose of determining methodology for determining low Persons in family/household * Income level ** eligibility for programs that provide income levels in program funding opportunities or applications. health professions and nursing training 1 ...... $29,640 to individuals from disadvantaged Low-income levels are adjusted 2 ...... 40,080 backgrounds. These various programs annually based on HHS’s poverty 3 ...... 50,520 are authorized in Titles III, VII, and VIII guidelines. HHS’s poverty guidelines 4 ...... 60,960 of the Public Health Service Act. are based on poverty thresholds 5 ...... 71,400 SUPPLEMENTARY INFORMATION: HHS published by the U.S. Census Bureau, 6 ...... 81,840 periodically publishes in the Federal adjusted annually for changes in the 7 ...... 92,280 Register low-income levels to be used Consumer Price Index. The income 8 ...... 102,720 by institutions receiving grants and figures below have been updated to cooperative agreements to determine reflect the Department’s 2021 poverty For families with more than 8 persons, add guidelines as published in 86 FR 19 $10,440 for each additional person. eligibility for programs providing * Includes only dependents listed on federal training for (1) disadvantaged (February 1, 2021). income tax forms. individuals, (2) individuals from ** Adjusted gross income for calendar year disadvantaged backgrounds, or (3) LOW INCOME LEVELS BASED ON THE 2020. individuals from low-income families. 2021 POVERTY GUIDELINES FOR THE Separate poverty guidelines figures Many health professions and nursing 48 CONTIGUOUS STATES AND THE for Alaska and Hawaii reflect Office of grant and cooperative agreement DISTRICT OF COLUMBIA awardees use the low-income levels to Economic Opportunity administrative practice beginning in the 1966–1970 determine whether potential program Persons in family/household * Income level ** participants are from an economically period since the U.S. Census Bureau disadvantaged background and would 1 ...... $25,760 poverty thresholds do not have separate be eligible to participate in the program, 2 ...... 34,840 figures for Alaska and Hawaii. The as well as to determine the amount of 3 ...... 43,920 poverty guidelines are not defined for funding the individual receives. Awards 4 ...... 53,000 Puerto Rico or other outlying are generally made to accredited schools 5 ...... 62,080 jurisdictions. Puerto Rico and other of medicine, osteopathic medicine, 6 ...... 71,160 outlying jurisdictions shall use income public health, dentistry, veterinary 7 ...... 80,240

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guidelines for the 48 Contiguous States public comments in docketed are frequent customers of HHS public and the District of Columbia. proceedings, and customer service affairs offices. functions, including help desk and call • Contact records about individuals Diana Espinosa, center activities, dissemination of who volunteer to serve as resource Acting Administrator. publications, studies, opinions, persons to provide pro bono technical [FR Doc. 2021–04446 Filed 3–3–21; 8:45 am] unrestricted datasets, and other assistance to community organizations BILLING CODE 4165–15–P information, and mailing and contact and government agencies working on lists. SORN 09–90–1901 applies to such particular health-related matters or records if they are retrieved by personal campaigns DEPARTMENT OF HEALTH AND identifier and are not covered by a more Examples of more specific SORNs, HUMAN SERVICES specific SORN. which will continue to apply to Examples of the records covered in Privacy Act of 1974; System of particular types of correspondence SORN 09–90–1901 include: records, contact list records, and Records • Telephone and email directories customer service records, include: AGENCY: Department of Health and containing office contact records about • Debt collection correspondence: Human Services. HHS employees, contractor personnel, SORN 09–40–0012, Debt Management ACTION: Notice of a modified system of and other personnel working at HHS, and Collection System. records. which are retrieved by the individuals’ • Correspondence about complaints names and used to locate them, route filed with the HHS Office of Civil SUMMARY: In accordance with the mail to them, and communicate with Rights: SORN 09–90–0052, Program Privacy Act of 1974, as amended, the them regarding work matters. • Information Management System Department of Health and Human Official correspondence records (PIMS). about individuals who contact, or are Services (HHS) is modifying a • Freedom of Information Act and contacted by, the Secretary or Deputy department-wide system of records Privacy Act Correspondence: SORN 09– Secretary of HHS or another HHS titled HHS Correspondence, Customer 90–0058, Tracking Records and Case official, or are the subject of the Service, and Contact List Records, Files for FOIA and Privacy Act Requests correspondence, which are retrieved by system no. 09–90–1901, to make certain and Appeals. the correspondent’s or subject’s name updates and to more clearly include • Medicare Customer Service records: and used to control, track, and ensure records about individuals who provide SORN 09–70–0535, 1–800 Medicare timely and appropriate attention to and comments and supporting documents to (HELPLINE). documentation of the correspondence. HHS in response to HHS rulemakings • List(s) of individuals ordering Particular subsets of these records and other docketed proceedings. The provider educational materials or modifications include changing the include, for example: Æ Records about individuals who registering for computer/Web-based name of the system of records to HHS training courses, satellite broadcasts and Correspondence, Comment, Customer submit comments and supporting documents in response to HHS train-the-trainer sessions: SORN 09–70– Service, and Contact List Records. 0542, Medicare Learning Network DATES: In accordance with 5 U.S.C. rulemakings and other docketed proceedings and public notices, which (MLN). 552a(e)(4) and (11), this notice is • List of consultants available for use applicable March 4, 2021, subject to a are retrieved by commenter name; Æ Correspondence notifying members in evaluation of National Heart, Lung, 30-day period in which to comment on and Blood Institute special grants and the new and revised routine uses, of Congress of grants and other contracts that HHS has awarded to individual contracts: SORN 09–25–0078, described below. Please submit any Administration: Consultant File. comments by April 5, 2021. recipients in their districts, which are retrieved by awardee name; and II. Modifications to SORN 09–90–1901 ADDRESSES: The public should submit Æ Records of requests about written comments on this notice, by individual constituents received from HHS is modifying the SORN to update mail or email, to Beth Kramer, HHS members of Congress, which are it and to ensure that it clearly and Privacy Act Officer, 200 Independence retrieved by constituent name and used adequately covers records about Ave. SW, Suite 729H, Washington, DC to track and respond to the requests. individuals who submit comments and 20201, or [email protected]. • Mailing and contact list records supporting documents to HHS in Comments will be available for public used to track and respond to requests response to HHS rulemakings and other viewing at the same location. To review from, or otherwise interact with, docketed proceedings. HHS is also comments in person, please contact individual members of the public, when expressly including customer Beth Kramer at [email protected] or the records are retrieved by personal engagement platform records. The 202–690–6941. identifier. Examples include: modifications include: FOR FURTHER INFORMATION CONTACT: Æ Email lists and other contact lists • Including the word ‘‘Comment’’ in General questions may be submitted to about individuals who ask to receive the name of the system of records. Beth Kramer, HHS Privacy Act Officer, health information from HHS in print • Referring to ‘‘comments’’ or at 200 Independence Ave. SW, Suite form, or to be notified of new and ‘‘commenters’’ in the Categories of 729H, Washington, DC 20201, or upcoming publications or web postings, Individuals, Categories of Records, [email protected], or 202–690–6941. or to subscribe to an online newsletter Purpose(s), and Retrieval sections, and SUPPLEMENTARY INFORMATION: issued by HHS. referring to ‘‘customer engagement’’ Æ Customer engagement workflow records in the System Manager(s) and I. Background on System of Records platform records containing account Categories of Records sections. Notice (SORN) 09–90–1901 records (i.e., contact information) and • Including the General Services This department-wide system of case records (e.g., request processing Administration (GSA) in the System records covers records about individuals records) about frequent customers of Location section as the shared services within or outside HHS which are used particular HHS offices, such as sole provider that operates systems HHS in managing HHS correspondence, proprietor members of the media who uses to manage certain docket records.

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• Indicating which System Managers SYSTEM LOCATION: i. National Institutes of Health (NIH), apply to comment records and customer The address of each HHS component Executive Secretariat Office, Director, engagement records. responsible for this system of records is Shannon Bldg (Bldg. 1), Room B1–56, 1 • Citing additional statutes (5 U.S.C. as shown in the System Manager(s) Center Drive, Bethesda, MD 20892– 553 and 44 U.S.C. 1505) in the section below. The General Services 0122, (301) 496–1461. Authority section which, in addition to Administration (GSA), 1800 F St. NW, j. Substance Abuse and Mental Health 5 U.S.C. 301, apply to docket records. Washington, DC 20006, serves as system Services Administration (SAMHSA) • Revising routine use 1, which administrator for shared services Executive Secretariat Office, Branch authorizes disclosures to agency systems (the Federal Docket Chief, 5600 Fishers Ln., Rockville, MD contractors, to indicate that such Management System (FDMS) and 20857, (877) 726–4727. contractors include ‘‘another federal www.regulations.gov) which contain • Information product ordering and agency functioning as a shared service comment records for HHS rulemakings distribution records: provider or other contractor to HHS.’’ and certain other docketed proceedings. a. AHRQ: Director, Office of • Adding a new routine use, Communications and Knowledge numbered as routine use 4, authorizing SYSTEM MANAGER(S): Transfer, Agency for Healthcare comment records to be made public, to The System Managers are as follows: Research and Quality, 5600 Fishers Ln., the extent of information that would be • Congressional correspondence: 7th Floor, Rockville, MD 20857, (301) required to be released to a requester HHS Assistant Secretary for Legislation, 427–1364. under the Freedom of Information Act Congressional Liaison Office, Rm. 406G, b. CMS: Director, Office of (FOIA), e.g., that would not result in a 200 Independence Ave. SW, Communications, Centers for Medicare clearly unwarranted invasion of privacy. Washington, DC 20201, (202) 690–7627. & Medicaid Services, 7500 Security • Adding a new routine use, • HHS Secretarial and Deputy Blvd., Baltimore, MD 21244, (410) 786– numbered as routine use 5, authorizing Secretary correspondence, and docket 1338. work contact information for HHS records for the Office of the Secretary c. FDA Privacy Act Coordinator, Food personnel to be made public, e.g., in a (OS): HHS Executive Secretariat, Rm. and Drug Administration, 5630 Fishers public directory or on relevant HHS 603H, 200 Independence Ave. SW, Ln., Rm. 1035, Rockville, MD 20857, websites, limited to information that Washington, DC 20201, (202) 690–7000. (301) 796–3900. would be required to be released to a • Other correspondence and docket d. SAMHSA: Director, Office of requester under the FOIA. records: Communications, Substance Abuse and • Adding the explanatory phrase a. Administration for Children and Mental Health Services Administration, ‘‘e.g., would not result in a clearly Families (ACF) Executive Secretariat 5600 Fishers Ln., Rockville, MD 20857, unwarranted invasion of privacy’’ to Office, Director, 330 C St. SW, (240) 276–2201. routine use 6 (formerly numbered as Washington, DC 20201, linda.hitt@ • Call center, ombudsman, and help routine use 4), which authorizes the acf.hhs.gov. desk records: names of and biographical information b. Administration for Community a. ONE–DHHS: FedResponse Service about individuals who author, create, Living (ACL) Executive Secretariat Director, Program Support Center, 7700 appear in, or are the subjects of Office, Chief of Staff/Executive Wisconsin Ave., Bethesda, MD 20814, information products HHS disseminates Secretariat, 330 C St. SW, Rm. 1004B, (877) 696–6775. to be disclosed with the products and in Washington, DC 20201, (202) 795–7415. b. FDA Call Centers: FDA Privacy Act publicizing the products to the extent c. Agency for Healthcare Research and Coordinator, Food and Drug that the information would be required Quality (AHRQ) Executive Secretariat Administration, 5630 Fishers Ln., Rm. to be released to a requester under the Office, Director, 5600 Fishers Ln., Rm. 1035, Rockville, MD 20857, (301) 796– FOIA. 07N90C, Rockville, MD 20857, (301) 3900. • Citing additional or different 427–1216. • Mailing list and contact list records: disposition schedules for certain d. Centers for Disease Control and a. HHS Employee Directory: Same as correspondence records, comment Prevention/Agency for Toxic Substances ONE–DHHS contact information, under records, and staff locator records, in the and Disease Registry (CDC/ATSDR) Call center, above. Retention section. Executive Secretariat Office, Executive b. OASH/OMH mailing and contact • Adding one security control (i.e., Secretariat, 1600 Clifton Rd., MS H21– list records: Office of Minority Health, ‘‘reviewing security controls on a 10, Atlanta, GA 30329, (404) 639–7483, The Tower Building, 1101 Wootton periodic basis’’) to the Safeguards [email protected]. Pkwy., Suite 600, Rockville, MD 20852, section. e. Centers for Medicare & Medicaid (240) 453–2882. Because some of these changes are Services (CMS) Office of Strategic c. FDA mailing and contact list significant, HHS provided advance Operations and Regulatory Affairs, records: FDA Privacy Act Coordinator, notice of the modified system of records Director, 7500 Security Blvd., Baltimore, Food and Drug Administration, 5630 to the Office of Management and Budget MD 21244–1850, (410) 786–3200. Fishers Ln., Rm. 1035, Rockville, MD (OMB) and Congress as required by 5 f. FDA Privacy Act Coordinator, Food 20857, (301) 796–3900. U.S.C. 552a(r) and OMB Circular A–108. and Drug Administration, 5630 Fishers • Customer engagement workflow Ln., Rm. 1035, Rockville, MD 20857, Brandon Gaylord, platform records: (301) 796–3900. a. The Office of the Chief Product Director, FOIA/Privacy Act Division, Office g. Health Resources and Services of the Assistant Secretary for Public Affairs. Officer (OCPO), 2501 Ardennes Ave., Administration (HRSA) Executive Rockville, MD 20852, (202) 945–2152. SYSTEM NAME AND NUMBER: Secretariat Office, Director, 5600 Fishers • Any other records not accounted for HHS Correspondence, Comment, Ln., Rm. 13N82, Rockville, MD 20857 above: See ONE–DHHS contact Customer Service, and Contact List (301) 443–1785. information, under Call center, above. Records, 09–90–1901. h. Indian Health Service (IHS), Executive Secretariat Office, Director, AUTHORITY FOR MAINTENANCE OF THE SYSTEM: SECURITY CLASSIFICATION: 5600 Fishers Ln., Rm. 08E86, Rockville, 5 U.S.C. 301, 305, 553; 21 U.S.C. 301 Unclassified. MD, (301) 443–1011. et seq.; 31 U.S.C. 1115(b)(6); 40 U.S.C.

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11313; 42 U.S.C. 201 et seq.; 44 U.S.C. subject of the correspondence; the name added to a website). The records may 3101, 1505; E.O. 11583; E.O. 13571. of the correspondent and/or other also include information that the individual record subject—for example, particular program requires or requests PURPOSE(S) OF THE SYSTEM: a constituent identified in congressional individuals to provide about themselves The records in this system of records correspondence; the action required; the (e.g., characteristics such as profession, are used for the purpose of managing organization drafting the response); and employing organization, educational HHS correspondence, information associated work papers. level, practice setting, geographic • dissemination, and customer service Records used in disseminating or location, age, ethnicity) to enable the functions; i.e., to maintain, track, filling orders for publications, stock agency to aggregate or organize the control, route, and locate information photographs, audio visual productions, information or compile statistics on the and documents created, received, unrestricted datasets, and other types of individuals receiving the requested, and used in managing those information products. These include information distributed through the list. functions, in order to provide timely indexes to repositories of informational • and appropriate actions, responses, materials, request records, and order Contact list records. These include notices, services, coordination, referrals, fulfilment records. Indexes may contain the lists and any records used to or other follow-up, avoid duplicate names of individuals (such as authors or compile and maintain the lists, entries, and ensure consistency. subjects) used to retrieve materials containing names, contact information, Correspondence, information when needed for distribution or to and any other relevant information (e.g., dissemination, and customer service fulfill a request. Request records expertise type, primary language, functions include, for example, identify the date of the request, the geographic region) for individuals who managing comments received on product requested, the requester, and HHS regularly contacts or otherwise rulemakings and other public notices; the address to use for delivery. Order interacts with (such as, authors; sole non-law enforcement-related help desk fulfillment records contain proof of proprietor media stakeholders; HHS and call center activities; handling of delivery, including the delivery date personnel) and/or individuals who have consumer complaints; dissemination of and address used for delivery, which agreed to be included on or have asked publications, unrestricted datasets, and may be a mailing address or email to be removed from a particular list of other information; and maintenance of address if delivery was through a public contacts HHS maintains and may in mailing and contact lists. The records access web portal or link. Any some cases distribute or post for HHS may also be used to compile aggregate associated payment records (if a fee is and/or non-HHS parties to use to obtain statistics for the purpose of evaluating charged for the information product) are assistance from or share information and improving these functions. covered by system of records 09–90– with the individuals on the list (for 0024 HHS Financial Management example, outside medical and research CATEGORIES OF INDIVIDUALS COVERED BY THE System Records. SYSTEM: • experts who wish to exchange Call center and help desk records. knowledge and best practices and share The records are about individuals These include contact records studies, opinions, and training materials within and outside HHS who contact (containing the name of the individual with each other); and any written HHS to request or offer information, who contacted the call center or help consents from subject individuals information products, comments, desk, his or her contact information, and permitting HHS to disclose their contact suggestions, or services or to location information if relevant, unless communicate a complaint or other the individual wishes to be anonymous) or other information to specific types of information, or who receive and request records (containing the date non-HHS parties, or to the public, for correspondence from HHS, or who are and nature of the request, complaint, or specific purposes. the author or subject of such report, the name of the call center staff • Customer engagement workflow publications, communications, or member who handled the request, platform records. These include account correspondence by or with HHS, or who complaint, or report, and actions taken, records containing the same types of are included in mailing and contact lists such as providing an answer from a call information as contact lists, described maintained by HHS, when the records center script, documenting the report, or above, and case records containing are used to support HHS assigning and routing the request to the request processing records, which are correspondence, information appropriate program office to handle). used to track and respond to requests dissemination, and/or customer service Note that recordings of ONE–DHHS from or otherwise interact with frequent functions and are retrieved by the telephone calls are destroyed after 90 customers or business partners of individuals’ names or other personal days and are not retrieved by personal particular HHS offices. The case files are identifiers (unless the records are identifier so are not covered by this linked to the applicable account record covered by a more specific system of SORN. • and contain information describing the records notice (SORN)). Mailing list records. These include customer’s requests or interactions and the lists and any records used to CATEGORIES OF RECORDS IN THE SYSTEM: any supporting information the compile and maintain the lists (e.g., customer provided. The categories of records include: existing contact lists; invitations to join • Secretarial and other official and requests to be added to or removed RECORD SOURCE CATEGORIES: correspondence, docket records, from a list; address changes) containing congressional correspondence, and an individual’s contact information Most information is obtained directly other correspondence. These records (e.g., mailing address or email address) from the subject individual. Information include copies of requests, comments, and indicating the particular may also be obtained from a third party or other communications addressed or information or notices the individual who contacts HHS about or on behalf of routed to an HHS official for response would receive or would like to receive a subject individual, or from records or other follow-up; copies of from HHS (e.g., publications on HHS compiles or persons HHS consults correspondence initialed or signed by particular health topics; an electronic in order to provide a response, provide an HHS official; tracking and control newsletter; notice of upcoming training assistance, or otherwise follow up on records (indicating, e.g., the date and courses; notice when new material is the request or communication.

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ROUTINE USES OF RECORDS MAINTAINED IN THE descriptions of the products used to Government, or national security, and SYSTEM, INCLUDING CATEGORIES OF USERS AND publicize them, but would be disclosed (3) the disclosure made to such PURPOSES OF SUCH USES: without consent only if and to the agencies, entities, and persons is In addition to other disclosures extent that the names and biographical reasonably necessary to assist in authorized directly in the Privacy Act at information would be required to be connection with HHS efforts to respond 5 U.S.C. 552a(b)(1) and (2) and (b)(4) released to a requester under the FOIA to the suspected or confirmed breach or through (11), information about an (e.g., would not result in a clearly to prevent, minimize, or remedy such individual may be disclosed from this unwarranted invasion of privacy). harm. system of records to parties outside HHS 7. Records may be disclosed to a 12. Records may be disclosed to without the individual’s prior, written member of Congress or a congressional another federal agency or federal entity, consent, for these routine uses: staff member in response to a written when HHS determines that information 1. Records may be disclosed to agency inquiry of the congressional office made from this system of records is contractors (including another federal at the written request of the constituent reasonably necessary to assist the agency functioning as a shared service about whom the record is maintained. recipient agency or entity in (1) provider or other contractor to HHS) The congressional office does not have responding to a suspected or confirmed and to student volunteers, interns, and any greater authority to obtain records breach or (2) preventing, minimizing, or other individuals who do not have the than the individual would have if remedying the risk of harm to status of agency employees but have requesting the records directly. individuals, the recipient agency or been engaged by HHS to assist in 8. Records may be disclosed to entity (including its information accomplishment of an HHS function representatives of the National Archives systems, programs, and operations), the relating to the purposes of this system and Records Administration during Federal Government, or national of records and who need to have access records management inspections security, resulting from a suspected or to the records in order to assist HHS. conducted pursuant to 44 U.S.C. 2904 confirmed breach. Such individuals and contractors will and 2906. 13. Records may be disclosed to the be required to comply with the 9. Information may be disclosed to the Department of Homeland Security requirements of the Privacy Act. Department of Justice (DOJ) or to a court (DHS) if captured in an intrusion 2. Records may be disclosed to other or other adjudicative body in litigation detection system used by HHS and DHS federal agencies and HHS partner or other proceedings, when: pursuant to a DHS cybersecurity agencies and organizations for the a. HHS or any of its component program that monitors internet traffic to purpose of referring a request or issue to thereof, or and from federal government computer them for handling or obtaining their b. any employee of HHS acting in the networks to prevent a variety of types of assistance with a response or issue. employee’s official capacity, or 3. Notice of an award that HHS has c. any employee of HHS acting in the cybersecurity incidents. made to an individual awardee in a employee’s individual capacity where POLICIES AND PRACTICES FOR STORAGE OF particular congressional district may be the DOJ or HHS has agreed to represent RECORDS: disclosed to the member of Congress the employee, or The records are stored in hard-copy serving that district. d. the United States Government, is a files and/or electronic systems or media. 4. HHS makes publicly available the party to the proceeding or has an name(s), contact information, interest in such proceeding and, by POLICIES AND PRACTICES FOR RETRIEVAL OF comments, and any supporting careful review, HHS determines that the RECORDS: documents provided by individuals records are both relevant and necessary Records are retrieved by the who comment on docketed proceedings to the proceeding. individual requester’s, correspondent’s, (provided that the information would be 10. Where a record, either alone or in commenter’s, author’s, or other record required to be released to a requester conjunction with other information, subject’s name or by another personal under the Freedom of Information Act indicates a violation or potential identifier contained in the records (such (FOIA); e.g., would not result in a violation of law, whether civil, criminal, as-email address, request tracking clearly unwarranted invasion of or regulatory in nature, and whether number, user ID number). Call center privacy). For rulemaking proceedings, arising by general statute or by records may be retrieved by the name of HHS makes the information publicly regulation, rule, or order issued the individual who contacted the call available in www.regulations.gov. For pursuant thereto, the relevant records in center. other docketed proceedings, HHS makes the system of records may be referred, the information publicly available in as a routine use, to the agency POLICIES AND PRACTICES FOR RETENTION AND www.regulations.gov or available for concerned, whether federal, state, local, DISPOSAL OF RECORDS: public inspection at an HHS location tribal, territorial, or foreign, charged I. Permanently retained official specified in the applicable notice, by with the responsibility of investigating correspondence (including significant appointment or as otherwise specified or prosecuting such violation or charged White House and congressional in the notice. with enforcing or implementing the correspondence): 5. HHS makes certain work contact statute, or the rule, regulation, or order Official correspondence and tracking information for HHS personnel publicly issued pursuant thereto. records are retained by HHS while available (for example, in a searchable 11. Records may be disclosed to needed for agency business and are then public directory, and on relevant HHS appropriate agencies, entities, and transferred to the custody of the websites), but only to the extent that the persons when (1) HHS suspects or has National Archives and permanently information would be required to be confirmed that there has been a breach retained. See these schedules: released to a requester under the FOIA. of the system of records, (2) HHS has A. Office of the Secretary (OS): DAA– 6. Names of and biographical determined that as a result of the 0468–2011–0006–0003 (IOS); N1–468– information about the individuals who suspected or confirmed breach there is 10–0001 (DAB); DAA–0468–2012–0003 authored, created, appear in, or are the a risk of harm to individuals, HHS (OMHA); DAA–0468–2011–0007 (ONC); subjects of information products may be (including its information systems, N1–514–92–1 (OASH); DAA–0468– disclosed with the products or in programs, and operations), the Federal 2013–009 (other OS Staff Divisions).

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B. Other Operating Divisions: DAA– project/program, and destroy 7 years • GRS 6.5 Item 020, Customer/client 0292–2016–0008 and DAA–0292–2016– after cutoff. records: Delete when superseded or 0014–0008 (ACF); N1–439–06–001, Item j. SAMHSA: NC1–90–76–5, Item 21, obsolete or when the customer requests 1.a; a new schedule is pending (ACL); Controlled Correspondence Files: Cut that the agency remove the records. DAA–0510–2017–0003 (AHRQ); N1– off at the end of each calendar year, 442–93–001, Item 27.A (CDC/ATSDR); ADMINISTRATIVE, TECHNICAL, AND PHYSICAL retain for 5 years, and then destroy. SAFEGUARDS: DAA–0440–2015–0001, Item 1.2.2 NC1–90–76–5, Item 47, Executive Safeguards conform to the HHS (CMS); N1–088–06–03, Items 4.1 and Secretariat Files: Withdraw pertinent Information Security and Privacy 4.2 (FDA); DAA–0512–2014–004, Item material and destroy when 10 years old; Program, https://www.hhs.gov/ocio/ 6.3 (HRSA); N1–513–92–005, Items 6–1 destroy other material when 2 years old; securityprivacy/index.html. Information and 6–12 (IHS); DAA–0443–2017–0003, and destroy control forms when 1 year is safeguarded in accordance with Item 0001 (NIH); NC1–090–76–5, Item old. applicable laws, rules and policies, 11 (SAMHSA). III. Comment records: including the HHS Information II. Other correspondence: • Individual comments on proposed Technology Security Program A. OS: and final rules: See GRS 6.6 Item 030 Handbook; all pertinent National a. OASH: N1–514–92–1, Item 9.b.2. and these agency-specific schedules: Institutes of Standards and Technology ASH General Correspondence: Cut off Æ ACF: DAA–0292–2016–0005, Items annually, and destroy when 5 years old. (NIST) publications, and OMB Circular 0001 and 0002, Adopted Rules and N1–514–92–1, Item 9.b.3 Routine A–130, Managing Information As a Rules Not Adopted: Cut off adopted Correspondence: Destroy when 5 years Strategic Resource. Records are regulations at end of FY after old. protected from unauthorized access publication of the final rule, and destroy b. ONC: DAA–0468–2011–0007–003. through appropriate administrative, 10 years after cutoff. Cut off regulations Administrative correspondence files: physical, and technical safeguards. not adopted at end of FY after decision Destroy 5 years after cutoff. These safeguards include protecting the not to adopt proposed rule, and destroy c. OMHA: DAA–0468–2012–0003– facilities where records are stored or 3 years after cutoff. NC1–292–84–7, Item 0003. Working correspondence files: accessed with security guards, badges B.7, OCSE Regulation Files: Review Destroy 3 years after cutoff. and cameras, securing hard-copy annually and destroy when no longer d. All Other OS Staff Divisions: DAA– records in locked file cabinets, file 0468–2013–0009–0002. Routine files: needed for reference. Æ rooms or offices during off-duty hours, Cut off at the close of calendar year in IHS: DAA–0513–2013–0001, Items limiting access to electronic databases to which created or received, and destroy 0001 and 0002, Adopted Rules and authorized users based on roles and 5 years after cutoff. Rules Not Adopted: Cut off adopted either two-factor authentication or user B. Other Operating Divisions: rules at end of FY after publication of ID and password (as appropriate), using a. ACF: DAA–0292–2016–0014, Item final rule, and destroy 10 years after a secured operating system protected by 1, Routine Correspondence: Cut off at cutoff. Cut off rules not adopted at end encryption, firewalls, and intrusion the end of the fiscal year, and destroy of FY after decision not to adopt detection systems, requiring encryption 5 years after cutoff. NC1–292–84–7, Item proposed rule, and destroy 3 years after for records stored on removable media, B.33, OCSE Public Inquiry cutoff. training personnel in Privacy Act and Correspondence: Destroy after 2 years. Æ SAMHSA: NC1–90–76–5, Item 27, b. ACL: N1–439–06–001, Item 2; a information security requirements, and Regulation Files: Destroy when 10 years reviewing security controls on a new schedule is pending. old; destroy duplicate and reference c. AHRQ: Not scheduled separately periodic basis. Records that are eligible material when no longer needed. for destruction are disposed of using from official correspondence. • Individual comments on other d. CDC/ATSDR: NC1–090–82–4, Item destruction methods prescribed by NIST Federal Register notices: See GRS 6.6 SP 800–88. 1.a, Routine Administrative Files: Item 040 and other General Records Destroy when 5 years old. NC1–090–78– Schedules listed therein. RECORD ACCESS PROCEDURES: 1, Item 7, Congressional IV. Call center, help desk, and similar An individual seeking access to Correspondence: Destroy when 10 years customer service records: records about the individual in this old. NC1–090–78–1, Item 8, General • FDA Ombudsman records: N1–088– system of records must submit a written Correspondence: Destroy after 1 year. 05–001, Item 2. Case files maintained by request to the relevant System Manager e. CMS: DAA–0440–2015–0002–0002. the Center Ombudsman Office (Item Cut off at end of calendar year, and indicated above. An access request must 2.3): Cut off 3 months after the end of destroy no sooner than 3 years after contain the requesting individual’s the calendar year in which the case is cutoff; longer retention is authorized. name and address, email address or f. FDA: N1–088–06–03. Cut off at end closed or the appeal is completed, and other identifying information, and of calendar year, and destroy 10 years destroy 3 years after cutoff. All other signature. To verify the requester’s after cutoff (Item 1.1.2) or 5 years after case files (Item 2.1) and finding aids identity, the signature must be notarized cutoff (Item 1.2.2). (Item 2.2): Cut off at the end of the or the request must include the g. HRSA: DAA–0512–2014–004, Items calendar year in which the final action requester’s written certification that the 6.3.1.2 and 6.3.1.3, Correspondence: Cut is taken or the appeal is completed, and requester is the person the requester off at end of calendar year, and destroy destroy 10 years after cutoff. claims to be and understands that the • 7 years after cutoff. Tracking records: Other customer service operations knowing and willful request for or Retain permanently. records: GRS 6.5 Item 010 and GRS 5.8 acquisition of a record pertaining to an h. IHS: N1–513–92–005, Items 6–1 b., Item 010. Destroy 1 year after resolved individual under false pretenses is a 6–1 c., 6–12 b., and 11–12: Destroy or when no longer needed for business criminal offense subject to a fine of up when 6 years old if at the division level use, whichever is appropriate. to $5,000. To access the records in or higher; destroy when 2 years old if V. Mailing and contact list records: person, the requester should request an below the division level. • GRS 5.1 Item 010, Staff locator appointment, and may be accompanied i. NIH: DAA–0443–2012–0007, Item records: Destroy when business use by a person of the requester’s choosing 0003. Cut off annually at termination of ceases. if the requester provides written

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authorization for agency personnel to DATES: The modified system of records include only registered NIH Clinical discuss the records in that person’s is April 5, 2021, subject to a 30-day Center patients (non-registered patients presensce. An individual may also period in which to comment on the have been excluded). request an accounting of disclosures routine uses, described below. Please • Routine Uses section. Certain that have been made of the records submit any comments by April 5, 2021. routine uses have been deleted, revised, about the individual, if any. ADDRESSES: You may submit comments, or added, and a note has been added to identified by the Privacy Act SORN no. the introductory paragraph to indicate CONTESTING RECORD PROCEDURES: 09–25–0099, by any of the following that other federal laws may place An individual seeking to amend a methods: Email: [email protected]. additional requirements on the use and record about the individual in this Telephone: (301) 402–6201. Fax: (301) disclosure of the information contained system of records must submit a written in this system. Specifically: 402–0169. Mail or hand-delivery: NIH Æ request to the relevant System Manager Privacy Act Officer, Office of The routine use formerly numbered indicated above. An amendment request Management Assessment, National as 1, which authorized disclosures to must include verification of the Institutes of Health, 6011 Executive congressional offices to assist them in requester’s identity in the same manner Blvd., Ste. 601, MSC 7669, Rockville, responding to constituent inquiries, has required for an access request, and must MD 20892. Comments received will be been deleted as unnecessary. NIH can reasonably identify the record and available for public inspection at this respond to a congressional inquiry by specify the information being contested, same address from 9:00 a.m. to 3:00 explaining that NIH will provide the corrective action sought, and the p.m., Monday through Friday, except requested records directly to the named reasons for requesting the correction, federal holidays. Please call (301) 496– constituent or with the prior written along with supporting information to 4606 for an appointment. consent of the named constituent. show how the record is inaccurate, Æ The routine use formerly numbered FOR FURTHER INFORMATION CONTACT: incomplete, untimely, or irrelevant. as 2, which authorized disclosures by General questions about the system of the Social Work Department to NOTIFICATION PROCEDURES: records may be submitted to Celeste community agencies to assist patients or An individual who wishes to know if Dade-Vinson, NIH Privacy Act Officer, their families, has been deleted as this system of records contains records Office of Management Assessment unnecessary. Such disclosures are about the individual must submit a (OMA), Office of the Director (OD), provided pursuant to written written request to the relevant System National Institutes of Health (NIH), 6011 authorization by the patient. Manager indicated above and verify Executive Blvd., Ste. 601, MSC 7669, Æ Routine uses 1 through 8 are identity in the same manner required for Rockville, MD 20892, or telephone (301) existing routine uses; routine uses 2 an access request. 402–6201. through 8 have been revised as follows: SUPPLEMENTARY INFORMATION: D The last sentence in routine use 2 EXEMPTIONS PROMULGATED FOR THE SYSTEM: (formerly 4), which stated that the None. Explanation of Revisions to System No. 09–25–0099 disclosure recipients (research HISTORY: organizations, experts, or consultants The revised SORN published in this outside HHS) are required to maintain 84 FR 28823 (June 20, 2019). notice for system no. 09–25–0099 is in Privacy Act safeguards with respect to [FR Doc. 2021–04463 Filed 3–3–21; 8:45 am] accordance with 5 U.S.C. 552a(e)(4) and the records, has been omitted because BILLING CODE 4150–25–P (11), and includes the following those recipients are not agency significant changes, in addition to minor contractors, so are not required to be wording changes throughout: subject to the federal Privacy Act. DEPARTMENT OF HEALTH AND • Purposes section. Three new D Routine use 3 (formerly 5) has been HUMAN SERVICES purpose descriptions (a, c, d,) have been broadened to refer to ‘‘authorized added, and the one existing purpose accrediting agencies or organizations’’ National Institutes of Health description (b, formerly 1 and 2) has ‘‘conducting established accreditation Privacy Act of 1974; System of been revised. The changes reflect activities,’’ instead of referring to one Records additional purposes for which records particular accrediting agency and one will be used within the agency due to activity (e.g., onsite inspections). AGENCY: National Institutes of Health a system upgrade or other developments D Routine use 4 (formerly 6) has been (NIH), Department of Health and Human intended to serve patient needs, or revised to include ‘‘other reportable Services (HHS). provide improved descriptions of events’’ and reporting to ‘‘local or ACTION: Notice of a modified system of existing uses within the agency. For tribal’’ (not just state and federal) records. example: government authorities as disclosure Æ The patient medical records system recipients. SUMMARY: In accordance with the was upgraded to provide the basic D Routine use 5 (formerly 7) has been requirements of the Privacy Act of 1974, functions of a hospital electronic health revised to remove unnecessary wording as amended, the Department of Health record. As a result, the system is now (i.e., ‘‘may be disclosed in identifiable and Human Services (HHS) is able to support the electronic form’’). publishing notice of modifications to a registration of new patients, electronic D Routine use 6 (formerly 8), which system of records maintained by the authorization of patient travel for previously authorized disclosures to National Institutes of Health (NIH), participation in research protocols ‘‘private firms’’ (meaning, contractors ‘‘Clinical Research: Patient Medical conducted at the NIH Clinical Center, and others functioning akin to HHS Records, HHS/NIH/CC,’’ no. 09–25– and the creation of reports for the employees) for limited purposes (i.e., 0099. The modifications affect most patient and any physician authorized by ‘‘transcribing updating, copying or sections of the System of Records Notice the patient to receive a summary of the otherwise refining records in the (SORN) and are fully explained in the patient’s care. system’’), has been revised to include ‘‘Supplementary Information’’ section of • Categories of Individuals section. more of the same type of disclosure this notice. This section has been updated to recipient (i.e., ‘‘other federal agencies,

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HHS contractors, or HHS volunteers’’) AUTHORITY FOR MAINTENANCE OF THE SYSTEM: RECORD SOURCE CATEGORIES: and to describe broader purposes for 42 U.S.C. 241, 248, 282 and 284. Information contained within this which they might be engaged to assist Collection of SSN is impliedly system of records is obtained from the HHS and require access to records in authorized by 42 U.S.C. 282(b)(19) subject individuals; patient interviews; this system (i.e., to assist HHS in which authorizes the NIH Director to referring physicians; diagnostic, accomplishing an HHS function relating admit and treat individuals for purposes therapeutic, and research results; multi- to the purposes of the system of of study (this requires using an disciplinary care teams; other medical records). enumerator to differentiate between facilities; relatives of patients; and D Routine use 7 (formerly 9), which individuals for patient tracking and others authorized by patients to provide authorizes disclosures for litigation patient safety), and by E.O. 9397 (8 FR information. purposes, has been revised to include 16094, Nov. 30, 1943), as amended by ROUTINE USES OF RECORDS MAINTAINED IN THE courts and tribunals (not just the E.O. 13478 (73 FR 70239, Nov. 20, Department of Justice) as disclosure SYSTEM, INCLUDING CATEGORIES OF USERS AND 2008), which permits SSN to be used as PURPOSES OF SUCH USES: recipients; to reorganize the description the enumerator. of ‘‘defendant’’ into subparts a through Under the Privacy Act of 1974, as d (instead of a through c); and to omit PURPOSE(S) OF THE SYSTEM: amended, NIH may disclose information a condition that followed the reference about an individual from this system of Records are used within the agency records to parties outside HHS, without to the United States (i.e., that any claim for these purposes: against the United States must be likely the individual’s prior written consent, a. To facilitate clinical care, clinical to directly affect agency operations if pursuant to the following routine uses. research studies, discharge planning, successful). Note, however, that other federal laws D Routine use 8 (formerly 10), which and reporting of information (i.e., may apply to the information contained authorizes disclosure of information medical and research findings) to in this system that place additional concerning exposure to HIV, has been patients and their treating and/or requirements on the use and disclosure revised to state that such information referring physicians. of that information, beyond those found may be disclosed ‘‘consistent with b. To document clinical care and in the Privacy Act of 1974, as amended, applicable laws, policies, and research and provide a continuous or what is mentioned in this system of procedures.’’ history of the medical and clinical records notice. Æ Routine use 9 is new. Routine use research services afforded to registered 1. To referring physicians for 9 has been added to authorize Clinical Center patients. continuing patient care after discharge, disclosures to ‘‘designated organ c. To create reports and compile unless otherwise notified by patient. procurement organizations/agencies that information to provide to recipients 2. To appropriate medical or research recover organs, eyes or tissue for authorized by the Privacy Act and this organizations, experts, or consultants transplantation or donation’’ in order SORN, e.g., designated organ outside HHS, to obtain expert opinions ‘‘to facilitate donor and recipient procurement organizations, consultants regarding diagnostic problems, or cases matching involving patients for expert medical opinions, and having unusual scientific value in participating in clinical research.’’ authorized outside physicians for connection with the treatment of Æ Routine uses 10 is also new; it continuing patient care. patients, or in order to accomplish the authorizes disclosures for records d. To allow Institute/Center research research purposes of this system. management purposes. team members to register patients. 3. To representatives of authorized Æ Two breach response-related accrediting agencies or organizations routine uses which were added CATEGORIES OF INDIVIDUALS COVERED BY THE conducting established accreditation February 14, 2018 (see 83 FR 6591) are SYSTEM: activities. now numbered as 11 and 12. The records pertain to registered NIH 4. To report certain diseases, Dated: January 21, 2021. Clinical Center patients. conditions, or other reportable events to Alfred C. Johnson, federal, state, local or tribal government CATEGORIES OF RECORDS IN THE SYSTEM: authorities that are authorized by law to Deputy Director for Management, National This system consists of medical and Institutes of Health. receive such information, or as may be clinical records, containing patient required to comply with applicable SYSTEM NAME AND NUMBER: name, demographics, contact laws, provided that such reporting is Clinical Research: Patient Medical information, physician name and work also consistent with applicable agency Records, HHS/NIH/CC, 09–25–0099. address, principal investigator name, policies. names of clinicians and other health 5. To tumor registries for maintenance SECURITY CLASSIFICATION: care staff involved in the care of the of health statistics or use in Unclassified. patient or management of research epidemiologic studies. SYSTEM LOCATION: activities associated with the protocol, 6. To other federal agencies, HHS The address of the agency component clinical research data and records contractors, or HHS volunteers who are responsible for the system of records is: related to screening, diagnosis, engaged to work directly for HHS but Health Information Management observation and/or treatment at the NIH are not within the definition of HHS Department, Clinical Center, Bldg. 10, Clinical Center, social security number employees and who require access to Rm. 1N208, 10 Center Dr., Bethesda, MD (SSN), diagnosis and medication, the records in order to assist HHS in 20892–1192. protocol number, medical record accomplishing an HHS function related number, lab tests results, genomic data, to the purposes of this system of SYSTEM MANAGER(S): radiologic images, imaging studies, records. These recipients are required to Director, Health Information blood product utilization, type of comply with the requirements of the Management Department, Clinical sample and storage location, social work Privacy Act of 1974, as amended. Center (CC), Bldg. 10, Rm. 1N208, 10 encounter, medical and ethical consults, 7. To the Department of Justice (DOJ) Center Dr., Bethesda, MD 20892–1192, and surgery and other related clinical or to a court or other tribunal when: (a) (301) 496–2292. interactions. HHS, or any component thereof; (b) any

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HHS employee in his/her official 12. To another federal agency or Refer to the schedule for complete capacity; (c) any HHS employee in his/ federal entity, when HHS determines descriptions of each type of record and her individual capacity where the DOJ that information from this system of for complete disposition instructions: (or HHS, where it is authorized to do so) records is reasonably necessary to assist https://www.archives.gov/records- has agreed to represent the employee; or the recipient agency or entity in (1) mgmt/rcs/schedules/departments/ (d) the United States Government, is a responding to a suspected or confirmed department-of-health-and-human- party to litigation or has a direct and breach or (2) preventing, minimizing, or services/rg-0443/daa-0443-2012-0007_ substantial interest in the litigation and, remedying the risk of harm to sf115.pdf. by careful review, HHS determines that individuals, the recipient agency or the record is both relevant and ADMINISTRATIVE, TECHNICAL, AND PHYSICAL entity (including its information SAFEGUARDS: necessary to the litigation systems, programs, and operations), the Measures to prevent unauthorized 8. Information concerning exposure to federal government, or national security, disclosures are implemented as HIV may be disclosed consistent with resulting from a suspected or confirmed appropriate for each location or form of applicable laws, policies, and breach. storage and for the types of records procedures to the sexual and/or needle- NIH may also disclose information maintained. Safeguards conform to the sharing partner(s) of a subject individual about an individual from this system of HHS Information Security and Privacy who is infected with HIV under the records to parties outside HHS, without Program, https://www.hhs.gov/ocio/ following circumstances: (a) The the individual’s prior written consent, securityprivacy/index.html. Site(s) information has been obtained in the for any of the purposes authorized implement personnel and procedural course of clinical activities at NIH directly in the Privacy Act at 5 U.S.C. safeguards such as the following: facilities; (b) NIH has made reasonable 552a(b)(2) and (b)(4)–(11). efforts to counsel and encourage the Authorized Users: Access to the subject individual to provide POLICIES AND PRACTICES FOR STORAGE OF records in this system is strictly limited information to the individual’s sexual or RECORDS: to authorized users whose official duties needle-sharing partner(s); (c) NIH Records are stored in various require the use of information in the determines that the subject individual is electronic media and paper form, and system. unlikely to provide the information to maintained under secure conditions in Administrative Safeguards: Controls the sexual or needle-sharing partner(s) areas with limited and/or controlled to ensure proper protection of or that the provision of such access. In accordance with established information and information technology information cannot reasonably be NIH, HHS and other applicable federal systems include, but are not limited to verified; and (d) The notification of the security requirements, policies and the completion of a security assessment partner(s) is made, whenever possible, controls, records may also be stored and and authorization (SA&A) package and by the subject individual’s physician or accessed from secure servers whenever a privacy impact assessment (PIA) and by a professional counselor and shall feasible or stored on approved portable/ mandatory completion of annual NIH follow standard counseling practices. mobile devices designed to hold any information security and privacy 9. To designated organ procurement kind of digital data including, but not awareness training. The SA&A package organizations/agencies that recover limited to laptops, tablets, PDAs, USB consists of a security categorization, e- organs, eyes or tissue for transplantation drives, media cards, portable hard authentication risk assessment, system or donation and to facilitate donor and drives, blackberrys, smartphones, CDs, security plan, evidence of security recipient matching involving patients DVDs, and/or other mobile storage control testing, plan of action and participating in clinical research. These devices. milestones, contingency plan, and recipients are required to apply evidence of contingency plan testing. reasonable safeguards to prevent POLICIES AND PRACTICES FOR RETRIEVAL OF When the design, development, or unauthorized use or disclosure of the RECORDS: operation of a system of records on records. Records are retrieved by a patient’s individuals is required to accomplish an 10. To the National Archives and name or other unique identifier such as agency function, the applicable Privacy Records Administration (NARA), date of birth or medical record number. Act Federal Acquisition Regulation General Services Administration (GSA), (FAR) clauses are inserted in or other relevant federal agencies POLICIES AND PRACTICES FOR RETENTION AND solicitations and contracts. pursuant to records management DISPOSAL OF RECORDS: Physical Safeguards: Controls to inspections conducted under the Records are retained and disposed of secure the data and protect paper and authority of 44 U.S.C. 2904 and 2906. under the authority of the NIH electronic records, buildings, and 11. To appropriate agencies, entities, Intramural Retention Schedule, which related infrastructure against threats and persons when (1) HHS suspects or currently includes these disposition associated with their physical has confirmed that there has been a authorities: environment include, but are not breach of the system of records; (2) HHS • Clinical Care Services Records, limited to the use of the HHS employee has determined that as a result of the DAA–0443–2012–0007–0006, are ID and/or badge number and NIH key suspected or confirmed breach there is temporary records that can be destroyed cards, security guards, cipher locks, a risk of harm to individuals, HHS seven years after cutoff. biometrics and closed-circuit TV. Paper (including its information systems, • Patient Medical Records, DAA– records are secured in locked file programs, and operations), the federal 0443–2012–0007–0010, are temporary cabinets, offices and facilities. government, or national security; and records that can be destroyed when no Electronic media are kept on secure (3) the disclosure made to such longer needed for scientific reference. servers or computer systems. Records agencies, entities, and persons is • Radiology and Imaging Records, are stored on portable/mobile devices reasonably necessary to assist in DAA–0443–2012–0007–0007, are only for valid business purposes and connection with HHS’s efforts to temporary records that can be destroyed with prior approval. respond to the suspected or confirmed 60 years after inactivity. (This retention Technical Safeguards: Controls that breach or to prevent, minimize, or period is being re-examined, and may in are generally executed by the computer remedy such harm. the future be significantly shortened.) system and are employed to minimize

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the possibility of unauthorized access, HISTORY: assess the impact of our information use, or dissemination of the data in the 67 FR 60742 at 60755 (Sept. 26, 2002), collection requirements and minimize system. They include, but are not 83 FR 6591 (Feb. 14, 2018). the public’s reporting burden. It also limited to user identification, password [FR Doc. 2021–04483 Filed 3–3–21; 8:45 am] helps the public understand our protection, firewalls, virtual private BILLING CODE 4140–01–P information collection requirements and network, encryption, intrusion detection provide the requested data in the system, common access cards, smart desired format. cards, biometrics and public key We are especially interested in public infrastructure. DEPARTMENT OF THE INTERIOR comment addressing the following: (1) Whether or not the collection of Fish and Wildlife Service RECORD ACCESS PROCEDURES: information is necessary for the proper An individual who wishes to access a [FWS–HQ–MB–2021–N002; FF09M13200/ performance of the functions of the record about him or her in this system 201/FXMB12330900000; OMB Control agency, including whether or not the of records must make an access request, Number 1018–0172] information will have practical utility; in writing, to the System Manager at the (2) The accuracy of our estimate of the address specified above. For purposes of Agency Information Collection burden for this collection of verifying the requester’s identity, the Activities; Federal Migratory Bird information, including the validity of request should provide either a Hunting and Conservation Stamp the methodology and assumptions used; notarization of the request or a written (Duck Stamp) and Junior Duck Stamp (3) Ways to enhance the quality, certification that the requester is who he Contests utility, and clarity of the information to or she claims to be and understands that AGENCY: Fish and Wildlife Service, be collected; and the knowing and willful request of a (4) How might the agency minimize Interior. record pertaining to an individual under the burden of the collection of false pretenses is a criminal offense ACTION: Notice of information collection; information on those who are to under the Privacy Act, subject to a fine request for comment. respond, including through the use of of up to five thousand dollars. If the SUMMARY: In accordance with the appropriate automated, electronic, request is made on behalf of a minor or mechanical, or other technological incapacitated person, evidence of parent Paperwork Reduction Act of 1995 (PRA), we, the U.S. Fish and Wildlife collection techniques or other forms of or guardian relationship must be information technology, e.g., permitting included. Requests should include (a) Service (Service), are proposing to renew an information collection. electronic submission of response. full name, (b) address, (c) the Comments that you submit in approximate date(s) the information was DATES: Interested persons are invited to response to this notice are a matter of collected, (d) the type(s) of information submit comments on or before May 3, public record. We will include or collected, and (e) the office(s) or 2021. summarize each comment in our request official(s) responsible for the collection ADDRESSES: Send your comments on the to OMB to approve this ICR. Before of information, if known. Individuals information collection request by mail including your address, phone number, may also request an accounting of to the Service Information Collection email address, or other personal disclosures that have been made of their Clearance Officer, U.S. Fish and identifying information in your records, if any. Wildlife Service, MS: PRB (JAO/3W), comment, you should be aware that CONTESTING RECORD PROCEDURES: 5275 Leesburg Pike, Falls Church, VA your entire comment—including your _ An individual who wishes to contest 22041–3803 (mail); or by email to Info personal identifying information—may or amend records about him or her in [email protected]. Please reference OMB be made publicly available at any time. this system of records must write to the Control Number 1018–0172 in the While you can ask us in your comment System Manager at the address specified subject line of your comments. to withhold your personal identifying above and provide the information FOR FURTHER INFORMATION CONTACT: information from public review, we described under ‘‘Record Access Madonna L. Baucum, Service cannot guarantee that we will be able to Procedure.’’ In addition, the request Information Collection Clearance do so. Abstract: must reasonably identify the record and Officer, by email at [email protected], specify the information being contested, or by telephone at (703) 358–2503. History of the Federal Duck Stamp Individuals who are hearing or speech the corrective action sought, and the On March 16, 1934, Congress passed, impaired may call the Federal Relay reason(s) for requesting the correction, and President Franklin D. Roosevelt Service at 1–800–877–8339 for TTY and include any supporting signed, the Migratory Bird Hunting assistance. documentation. The right to contest Stamp Act (16 U.S.C. 718–718k). records is limited to information that is SUPPLEMENTARY INFORMATION: In Popularly known as the Duck Stamp factually inaccurate, incomplete, accordance with the PRA and its Act, it required all waterfowl hunters 16 irrelevant, or untimely (obsolete). implementing regulations at 5 CFR years or older to buy a stamp annually. NOTIFICATION PROCEDURES: 1320.8(d)(1), all information collections The revenue generated was originally An individual who wishes to know require approval under the PRA. We earmarked for the Department of whether this system of records contains may not conduct or sponsor and you are Agriculture, but 5 years later was a record about him or her may make a not required to respond to a collection transferred to the Department of the notification request. The request must of information unless it displays a Interior and the Service. be made in writing to the System currently valid OMB control number. In the years since its enactment, the Manager at the address specified above As part of our continuing effort to Federal Duck Stamp Program has and provide the information described reduce paperwork and respondent become one of the most popular and under ‘‘Record Access Procedure.’’ burdens, we invite the public and other successful conservation programs ever Federal agencies to comment on new, initiated. Today, some 1.5 million EXEMPTIONS PROMULGATED FOR THE SYSTEM: proposed, revised, and continuing stamps are sold each year, and as of None. collections of information. This helps us 2017, Federal Duck Stamps had

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generated more than $1 billion for the conservation and collecting purposes. 2000, the contest has received more preservation of more than 6 million Entries may be in any media EXCEPT than 530,000 entries. acres of waterfowl habitat in the United photography or computer-generated art. The winning artwork from the States. Numerous other birds, mammals, Designs must be the contestants’ national art contest serves as the design fish, reptiles, and amphibians have original hand-drawn creation and may for the Junior Duck Stamp, which the similarly prospered because of habitat not be copied or duplicated from Service produces annually. This $5 protection made possible by the previously published art, including stamp has become a much sought after program. An estimated one-third of the photographs, or from images in any collector’s item. One hundred percent of Nation’s endangered and threatened format published on the internet. the revenue from the sale of Junior Duck species find food or shelter in refuges stamps goes to support recognition and preserved by Duck Stamp funds. History of the Junior Duck Stamp Contest environmental education activities for Moreover, the protected wetlands help students who participate in the dissipate storms, purify water supplies, The Federal Junior Duck Stamp program. More than $1.25 million in store flood water, and nourish fish Conservation and Design Program Junior Duck Stamp proceeds have been hatchlings important for sport and (Junior Duck Stamp Program) began in used to provide recognition, incentives, commercial fishermen. 1989 as an extension of the Migratory and scholarships to participating History of the Duck Stamp Contest Bird Conservation and Hunting Stamp. students, teachers, and schools. The The national Junior Duck Stamp art Program continues to educate youth Jay N. ‘‘Ding’’ Darling, a nationally contest started in 1993, and the first about land stewardship and the known political cartoonist for the Des stamp design was selected from entries importance of connecting to their Moines Register and a noted hunter and from eight participating States. The natural worlds. Several students who wildlife conservationist, designed the program was recognized by Congress have participated in the Junior Duck first Federal Duck Stamp at President with the 1994 enactment of the Junior Stamp Program have gone on to become Roosevelt’s request. In subsequent years, Duck Stamp Conservation and Design noted wildlife artists submitted designs. full-time wildlife artists and Program Act (16 U.S.C. 719). All 50 conservation professionals; many The first Federal Duck Stamp Contest States, Washington DC, and 2 of the U.S. was opened in 1949 to any U.S. artist attribute their interest and success to Territories currently participate in the their early exposure to the Junior Duck who wished to enter, and 65 artists annual contest. submitted a total of 88 design entries. Stamp Program. The Junior Duck Stamp Program Since then, the contest has been known introduces wetland and waterfowl Who Can Enter the Federal Duck Stamp as the Federal Migratory Bird Hunting conservation to students in kindergarten and Junior Duck Stamp Contests and Conservation Stamp Art (Duck through high school. It crosses cultural, Stamp) Contest and has attracted large The Duck Stamp Contest is open to all numbers of entrants. ethnic, social, and geographic U.S. citizens, nationals, and resident The Duck Stamp Contest (50 CFR part boundaries to teach greater awareness aliens who are at least 18 years of age 91) remains the only art competition of and guide students in exploring our by June 1. Individuals enrolled in its kind regulated by the U.S. nation’s natural resources. It is the kindergarten through grade 12 may Government. The Secretary of the Service’s premier conservation participate in the Junior Duck Stamp Interior appoints a panel of noted art, education initiative. Contest. All eligible students are waterfowl, and philatelic authorities to The Junior Duck Stamp Program encouraged to participate in the Junior select each year’s winning design. includes a dynamic art- and science- Duck Stamp Conservation and Design Winners receive no compensation for based curriculum. This non-traditional Program annual art and conservation the work, except a signed pane of their pairing of subjects brings new interest to message contest as part of the program stamps; winners retain the copyright to both the sciences and the arts. The curriculum through public, private, and their artwork and may sell the original program teaches students across the homeschools, as well as through and prints of their designs, which are nation conservation through the arts, nonformal educational experiences such sought by hunters, conservationists, and using scientific and wildlife observation as those found in scouting, art studios, art collectors. principles to encourage visual and nature centers. For the Duck Stamp Contest, the communication about what they learn. Entry Requirements Service selects five or fewer species of Four curriculum guides, with activities waterfowl each year; each entry must and resources, were developed for use Each entry in the Duck Stamp Contest employ one of the Service-designated as a year-round study plan to assist requires a completed entry form and an species as the dominant feature (defined students in exploring science in real-life entry fee. Information required on the as being in the foreground and clearly situations. entry form includes: the focus of attention). In 2020 a Modeled after the Federal Duck • ‘‘Display, Participation & permanent theme was established and Stamp Contest, the annual Junior Duck Reproduction Rights Agreement’’ participants are currently also required Stamp Art and Conservation Message certification form; to include a mandatory waterfowl Contest (Junior Duck Stamp Contest) • Basic contact information (name, hunting accessory or waterfowl hunting was developed as a visual assessment of address, phone numbers, and email scene within their design. These may a student’s learning and progression. address); include objects such as hunting dogs, The Junior Duck Stamp Contest • Date of birth (to verify eligibility); waterfowl decoys, waterfowl hunters encourages partnerships among Federal • and scenes illustrating the theme and State government agencies, Species portrayed and medium ‘‘celebrating our waterfowl hunting nongovernmental organizations, used; and heritage.’’ Designs may also include businesses, and volunteers to help • Name of hometown newspaper (for national wildlife refuges as the recognize and honor thousands of press coverage). background of habitat scenes, non- teachers and students throughout the Each entry in the Junior Duck Stamp eligible species, or other scenes that United States for their participation in Contest requires a completed entry form depict uses of the stamp for conservation-related activities. Since that requests:

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• Basic contact information (name, required to include citations for any Respondents/Affected Public: address, phone numbers, and email resources they used to develop their Individuals. address); designs. We use this information to Respondent’s Obligation: Voluntary. • Age (to verify eligibility); verify that the student has not • Frequency of Collection: Annually. Parent’s name and contact plagiarized or copied someone else’s Total Estimated Annual Nonhour information; work. The Service also translates entry Burden Cost: $53,000.00 annually (entry • Whether the student has a Social forms into other appropriate languages fees of $125 plus an average of $15 for Security or VISA immigration number to increase the understanding of the mailing costs, for an estimated 200 or is a foreign exchange student (to rules and what the parents and students annual submissions to the Federal Duck verify eligibility to receive prizes); are signing. • Grade of student (so they may be Stamp Contest). There are no fees judged with their peers); Title of Collection: Federal Migratory associated with the Junior Duck Stamp • The title, species, medium used, Bird Hunting and Conservation Stamp Contest submissions. We estimate the and conservation message associated (Duck Stamp) and Junior Duck Stamp mailing costs associated with entering with the drawing; Contests. submissions to the Junior Duck Stamp • Basic contact information for their OMB Control Number: 1018–0172. contest to be approximately $25,000 teacher and school (name, address, annually. Most of the student entries are Form Number: None. phone numbers, and email address); and mailed directly by schools, who utilize • Certification of authenticity. Type of Review: Extension of a the bulk mail option, thereby reducing Students in Grades 7 through 12 and currently approved information the amount of postage and packages all national level students are also collection. received.

Average Average Total number number of Total number completion time Total annual Activity of annual submissions of annual per response burden respondents each responses (min) hours *

Duck Stamp Program Contest Entry Form: Individuals ...... 200 1 200 7 23 Junior Duck Stamp Program Contest Entry Form: Individuals ...... 25,000 1 25,000 **20 8,333

Totals: ...... 25,200 1 25,200 ...... 8,356 * Rounded. ** Burden for Junior Duck Stamp Program entry form is longer since both the parents and teacher must sign the form, and the student must provide references.

An agency may not conduct or SUMMARY: In accordance with the and continuing collections of sponsor and a person is not required to Paperwork Reduction Act of 1995, we, information. This helps us assess the respond to a collection of information the Bureau of Indian Education (BIE), impact of our information collection unless it displays a currently valid OMB are proposing to renew an information requirements and minimize the public’s control number. collection. reporting burden. It also helps the The authority for this action is the DATES: Interested persons are invited to public understand our information Paperwork Reduction Act of 1995 (44 submit comments on or before May 3, collection requirements and provide the U.S.C. 3501 et seq.). 2021. requested data in the desired format. We are again soliciting comments on Dated: March 1, 2021. ADDRESSES: Send written comments on the proposed ICR that is described this information collection request (ICR) Madonna Baucum, below. We are especially interested in to Ms. Juanita Mendoza, Program Information Collection Clearance Officer, U.S. public comment addressing the Analyst, Bureau of Indian Education, Fish and Wildlife Service. following issues: (1) Is the collection U.S. Department of the Interior, 1849 C [FR Doc. 2021–04455 Filed 3–3–21; 8:45 am] necessary to the proper functions of the Street NW, MS 3609–MIB, Washington, BILLING CODE 4333–15–P BIE; (2) will this information be DC 20240; or by email to processed and used in a timely manner; [email protected]. Please (3) is the estimate of burden accurate; reference OMB Control Number 1076– DEPARTMENT OF THE INTERIOR (4) how might the BIE enhance the 0120 in the subject line of your quality, utility, and clarity of the Bureau of Indian Affairs comments. information to be collected; and (5) how FOR FURTHER INFORMATION CONTACT: To might the BIE minimize the burden of [201A2100DD/AAKC001030// request additional information about this collection on the respondents, A0A501010.999900; OMB Control Number this ICR, contact Juanita Mendoza by including through the use of 1076–0120] email at [email protected], or information technology. by telephone at (202) 208–3559. You Comments that you submit in Agency Information Collection may also view the ICR at http:// response to this notice are a matter of Activities; Bureau of Indian Education www.reginfo.gov/public/do/PRAMain. public record. Before including your Adult Education Program SUPPLEMENTARY INFORMATION: In address, phone number, email address, AGENCY: Bureau of Indian Affairs, accordance with the Paperwork or other personal identifying Interior. Reduction Act of 1995, we provide the information in your comment, you general public and other Federal should be aware that your entire ACTION: Notice of information collection; agencies with an opportunity to comment—including your personal request for comment. comment on new, proposed, revised, identifying information—may be made

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publicly available at any time. While HVAC Controls Systems, and any public interest issues raised by the you can ask us in your comment to Components Thereof, DN 3535; the complaint or § 210.8(b) filing. withhold your personal identifying Commission is soliciting comments on Comments should address whether information from public review, we any public interest issues raised by the issuance of the relief specifically cannot guarantee that we will be able to complaint or complainant’s filing requested by the complainant in this do so. pursuant to the Commission’s Rules of investigation would affect the public Abstract: The BIE is seeking renewal Practice and Procedure. health and welfare in the United States, of the approval for the information FOR FURTHER INFORMATION CONTACT: Lisa competitive conditions in the United collection conducted under 25 CFR part R. Barton, Secretary to the Commission, States economy, the production of like 46 to manage program resources and for U.S. International Trade Commission, or directly competitive articles in the fiscal accountability and appropriate 500 E Street SW, Washington, DC United States, or United States direct services documentation. This 20436, telephone (202) 205–2000. The consumers. information includes an annual report public version of the complaint can be In particular, the Commission is form. accessed on the Commission’s interested in comments that: Title of Collection: Bureau of Indian Electronic Document Information (i) Explain how the articles Education Adult Education Program. System (EDIS) at https://edis.usitc.gov. potentially subject to the requested remedial orders are used in the United OMB Control Number: 1076–0120. For help accessing EDIS, please email States; Form Number: BIA 62123. [email protected]. (ii) identify any public health, safety, Type of Review: Extension of a General information concerning the or welfare concerns in the United States currently approved collection. Commission may also be obtained by relating to the requested remedial Respondents/Affected Public: accessing its internet server at United Individuals (Tribal Adult Education orders; States International Trade Commission (iii) identify like or directly Program Administrators). (USITC) at https://www.usitc.gov . The competitive articles that complainant, Total Estimated Number of Annual public record for this investigation may its licensees, or third parties make in the Respondents: 70 per year, on average. be viewed on the Commission’s United States which could replace the Total Estimated Number of Annual Electronic Document Information subject articles if they were to be Responses: 70 per year, on average. System (EDIS) at https://edis.usitc.gov. excluded; Estimated Completion Time per Hearing-impaired persons are advised (iv) indicate whether complainant, Response: 4 hours. that information on this matter can be complainant’s licensees, and/or third Total Estimated Number of Annual obtained by contacting the party suppliers have the capacity to Burden Hours: 280 hours. Commission’s TDD terminal on (202) replace the volume of articles Respondent’s Obligation: Required to 205–1810. potentially subject to the requested Obtain a Benefit. SUPPLEMENTARY INFORMATION: The exclusion order and/or a cease and Frequency of Collection: Once per Commission has received a complaint desist order within a commercially year. and a submission pursuant to § 210.8(b) reasonable time; and Total Estimated Annual Nonhour of the Commission’s Rules of Practice (v) explain how the requested Burden Cost: $200. and Procedure filed on behalf of remedial orders would impact United An agency may not conduct or EcoFactor, Inc. on February 26, 2021. States consumers. sponsor and a person is not required to The complaint alleges violations of Written submissions on the public respond to a collection of information section 337 of the Tariff Act of 1930 (19 interest must be filed no later than by unless it displays a currently valid OMB U.S.C. 1337) in the importation into the close of business, eight calendar days control number. United States, the sale for importation, after the date of publication of this The authority for this action is the and the sale within the United States notice in the Federal Register. There Paperwork Reduction Act of 1995 (44 after importation of certain smart will be further opportunities for U.S.C. 3501 et seq). thermostat systems, smart HVAC comment on the public interest after the Elizabeth K. Appel, systems, smart HVAC controls systems, issuance of any final initial Director, Office of Regulatory Affairs and and components thereof. The determination in this investigation. Any Collaborative Action—Indian Affairs. complainant names as respondents: written submissions on other issues [FR Doc. 2021–04496 Filed 3–3–21; 8:45 am] Ecobee Ltd. of Canada; Ecobee, Inc. of must also be filed by no later than the Canada; Google LLC of Mountain View, close of business, eight calendar days BILLING CODE 4337–15–P CA; Carrier Global Corporation of Palm after publication of this notice in the Beach Gardens, FL; Emerson Electric Federal Register. Complainant may file Co. of St. Louis, MO; Honeywell replies to any written submissions no INTERNATIONAL TRADE International Inc. of Charlotte, NC; later than three calendar days after the COMMISSION Resideo Technologies, Inc. of Austin, date on which any initial submissions Notice of Receipt of Complaint; TX; Johnson Controls International, PLC were due. No other submissions will be Solicitation of Comments Relating to of Ireland; Siemens Industry, Inc. of accepted, unless requested by the the Public Interest Buffalo Grove, IL; and Siemens AG of Commission. Any submissions and Germany. The complainant requests that replies filed in response to this Notice AGENCY: U.S. International Trade the Commission issue a limited are limited to five (5) pages in length, Commission. exclusion order, cease and desist orders, inclusive of attachments. ACTION: Notice. and impose a bond upon respondents’ Persons filing written submissions alleged infringing articles during the 60- must file the original document SUMMARY: Notice is hereby given that day Presidential review period pursuant electronically on or before the deadlines the U.S. International Trade to 19 U.S.C. 1337(j). stated above. Submissions should refer Commission has received a complaint Proposed respondents, other to the docket number (‘‘Docket No. entitled Certain Smart Thermostat interested parties, and members of the 3535’’) in a prominent place on the Systems, Smart HVAC Systems, Smart public are invited to file comments on cover page and/or the first page. (See

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Handbook for Electronic Filing INTERNATIONAL TRADE accessing its internet server (https:// Procedures, Electronic Filing COMMISSION www.usitc.gov). The public record for Procedures 1). Please note the these investigations may be viewed on [Investigation Nos. 701–TA–665 and 731– the Commission’s electronic docket Secretary’s Office will accept only TA–1557 (Preliminary)] electronic filings during this time. (EDIS) at https://edis.usitc.gov. Filings must be made through the Mobile Access Equipment From China; SUPPLEMENTARY INFORMATION: Commission’s Electronic Document Institution of Antidumping and Background.—These investigations are Information System (EDIS, https:// Countervailing Duty Investigations and being instituted, pursuant to sections edis.usitc.gov.) No in-person paper- Scheduling of Preliminary Phase 703(a) and 733(a) of the Tariff Act of based filings or paper copies of any Investigations 1930 (19 U.S.C. 1671b(a) and 1673b(a)), electronic filings will be accepted until in response to a petition filed on further notice. Persons with questions AGENCY: United States International February 26, 2021, by the Coalition of regarding filing should contact the Trade Commission. American Manufacturers of Mobile Secretary at [email protected]. ACTION: Notice. Access Equipment. The Coalition is Any person desiring to submit a comprised of JLG Industries, Inc., SUMMARY: The Commission hereby gives Hagerstown, Maryland, and Terex document to the Commission in notice of the institution of investigations confidence must request confidential Corporation, Redmond, Washington. and commencement of preliminary For further information concerning treatment. All such requests should be phase antidumping and countervailing directed to the Secretary to the the conduct of these investigations and duty investigation Nos. 701–TA–665 rules of general application, consult the Commission and must include a full and 731–TA–1557 (Preliminary) statement of the reasons why the Commission’s Rules of Practice and pursuant to the Tariff Act of 1930 (‘‘the Procedure, part 201, subparts A and B Commission should grant such Act’’) to determine whether there is a treatment. See 19 CFR 201.6. Documents (19 CFR part 201), and part 207, reasonable indication that an industry subparts A and B (19 CFR part 207). for which confidential treatment by the in the United States is materially Commission is properly sought will be Participation in the investigations and injured or threatened with material public service list.—Persons (other than treated accordingly. All information, injury, or the establishment of an including confidential business petitioners) wishing to participate in the industry in the United States is investigations as parties must file an information and documents for which materially retarded, by reason of confidential treatment is properly entry of appearance with the Secretary imports of certain mobile access to the Commission, as provided in sought, submitted to the Commission for equipment and subassemblies thereof purposes of this Investigation may be §§ 201.11 and 207.10 of the (‘‘mobile access equipment’’) from Commission’s rules, not later than seven disclosed to and used: (i) By the China, provided for in statistical Commission, its employees and Offices, days after publication of this notice in reporting numbers 8427.10.8020, the Federal Register. Industrial users and contract personnel (a) for 8427.10.8030, 8427.10.8070, developing or maintaining the records and (if the merchandise under 8427.10.8095, 8427.20.8020, investigation is sold at the retail level) of this or a related proceeding, or (b) in 8427.20.8090, and 8431.20.0000 of the internal investigations, audits, reviews, representative consumer organizations Harmonized Tariff Schedule of the have the right to appear as parties in and evaluations relating to the United States, that are alleged to be sold programs, personnel, and operations of Commission antidumping duty and in the United States at less than fair countervailing duty investigations. The the Commission including under 5 value and alleged to be subsidized by U.S.C. Appendix 3; or (ii) by U.S. Secretary will prepare a public service the Government of China. Unless the list containing the names and addresses government employees and contract Department of Commerce (‘‘Commerce’’) personnel,2 solely for cybersecurity of all persons, or their representatives, extends the time for initiation, the who are parties to these investigations purposes. All nonconfidential written Commission must reach a preliminary submissions will be available for public upon the expiration of the period for determination in antidumping and filing entries of appearance. inspection at the Office of the Secretary countervailing duty investigations in 45 and on EDIS.3 Limited disclosure of business days, or in this case by April 12, 2021. proprietary information (BPI) under an This action is taken under the The Commission’s views must be administrative protective order (APO) authority of section 337 of the Tariff Act transmitted to Commerce within five and BPI service list.—Pursuant to of 1930, as amended (19 U.S.C. 1337), business days thereafter, or by April 19, § 207.7(a) of the Commission’s rules, the and of §§ 201.10 and 210.8(c) of the 2021. Secretary will make BPI gathered in Commission’s Rules of Practice and DATES: February 26, 2021. these investigations available to Procedure (19 CFR 201.10, 210.8(c)). FOR FURTHER INFORMATION CONTACT: authorized applicants representing By order of the Commission. Alejandro Orozco ((202) 205–3177), interested parties (as defined in 19 Issued: February 26, 2021. Office of Investigations, U.S. U.S.C. 1677(9)) who are parties to the International Trade Commission, 500 E investigations under the APO issued in Lisa Barton, Street SW, Washington, DC 20436. the investigations, provided that the Secretary to the Commission. Hearing-impaired persons can obtain application is made not later than seven [FR Doc. 2021–04433 Filed 3–3–21; 8:45 am] information on this matter by contacting days after the publication of this notice BILLING CODE 7020–02–P the Commission’s TDD terminal on 202– in the Federal Register. A separate 205–1810. Persons with mobility service list will be maintained by the 1 Handbook for Electronic Filing Procedures: impairments who will need special Secretary for those parties authorized to https://www.usitc.gov/documents/handbook_on_ assistance in gaining access to the receive BPI under the APO. _ filing procedures.pdf. Commission should contact the Office Conference.— In light of the 2 All contract personnel will sign appropriate nondisclosure agreements. of the Secretary at 202–205–2000. restrictions on access to the Commission 3 Electronic Document Information System General information concerning the building due to the COVID–19 (EDIS): https://edis.usitc.gov. Commission may also be obtained by pandemic, the Commission is

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conducting the staff conference through that it submits to the Commission The Commission will issue a final phase video conferencing on Friday, March 19, during these investigations may be notice of scheduling, which will be 2021. Requests to appear at the disclosed to and used: (i) By the published in the Federal Register as conference should be emailed to Commission, its employees and Offices, provided in § 207.21 of the [email protected] (DO and contract personnel (a) for Commission’s rules, upon notice from NOT FILE ON EDIS) on or before March developing or maintaining the records the U.S. Department of Commerce 17, 2021. Please provide an email of these or related investigations or (‘‘Commerce’’) of affirmative address for each conference participant reviews, or (b) in internal investigations, preliminary determinations in the in the email. Information on conference audits, reviews, and evaluations relating investigations under §§ 703(b) or 733(b) procedures will be provided separately to the programs, personnel, and of the Act, or, if the preliminary and guidance on joining the video operations of the Commission including determinations are negative, upon conference will be available on the under 5 U.S.C. Appendix 3; or (ii) by notice of affirmative final Commission’s Daily Calendar. A U.S. government employees and determinations in those investigations nonparty who has testimony that may contract personnel, solely for under §§ 705(a) or 735(a) of the Act. aid the Commission’s deliberations may cybersecurity purposes. All contract Parties that filed entries of appearance request permission to participate by personnel will sign appropriate in the preliminary phase of the submitting a short statement. nondisclosure agreements. investigations need not enter a separate Please note the Secretary’s Office will appearance for the final phase of the Authority: These investigations are being accept only electronic filings during this conducted under authority of title VII of the investigations. Industrial users, and, if time. Filings must be made through the Tariff Act of 1930; this notice is published the merchandise under investigation is Commission’s Electronic Document pursuant to § 207.12 of the Commission’s sold at the retail level, representative Information System (EDIS, https:// rules. consumer organizations have the right edis.usitc.gov). No in-person paper- By order of the Commission. to appear as parties in Commission based filings or paper copies of any Issued: February 26, 2021. antidumping and countervailing duty electronic filings will be accepted until investigations. The Secretary will Lisa Barton, further notice. prepare a public service list containing Written submissions.—As provided in Secretary to the Commission. the names and addresses of all persons, §§ 201.8 and 207.15 of the [FR Doc. 2021–04439 Filed 3–3–21; 8:45 am] or their representatives, who are parties Commission’s rules, any person may BILLING CODE 7020–02–P to the investigations. submit to the Commission on or before March 24, 2021, a written brief Background containing information and arguments INTERNATIONAL TRADE On January 12, 2021, Honeywell pertinent to the subject matter of the COMMISSION International, Inc., Charlotte, North investigations. Parties shall file written [Investigation Nos. 701–TA–662 and 731– Carolina filed petitions with the testimony and supplementary material TA–1554 (Preliminary)] Commission and Commerce, alleging in connection with their presentation at that an industry in the United States is the conference no later than noon on Pentafluoroethane (R–125) From materially injured or threatened with March 18, 2021. All written submissions China; Determinations material injury by reason of subsidized must conform with the provisions of imports of R–125 from China and LTFV On the basis of the record 1 developed § 201.8 of the Commission’s rules; any imports of R–125 from China. in the subject investigations, the United submissions that contain BPI must also Accordingly, effective January 12, 2021, States International Trade Commission conform with the requirements of the Commission instituted (‘‘Commission’’) determines, pursuant §§ 201.6, 207.3, and 207.7 of the countervailing duty investigation no. to the Tariff Act of 1930 (‘‘the Act’’), Commission’s rules. The Commission’s 701–TA–662 and antidumping duty that there is a reasonable indication that Handbook on Filing Procedures, investigation no. 731–TA–1554 an industry in the United States is available on the Commission’s website (Preliminary). materially injured by reason of imports at https://www.usitc.gov/documents/ Notice of the institution of the of pentafluoroethane (R–125) (‘‘R–125’’) handbook_on_filing_procedures.pdf, Commission’s investigations and of a elaborates upon the Commission’s from China, provided for in subheading public conference to be held in procedures with respect to filings. 2903.39.20 of the Harmonized Tariff connection therewith was given by In accordance with §§ 201.16(c) and Schedule of the United States and may posting copies of the notice in the Office 207.3 of the rules, each document filed also be included in certain mixtures of the Secretary, U.S. International by a party to the investigations must be provided for in subheading 3824.78.00 Trade Commission, Washington, DC, served on all other parties to the of the Harmonized Tariff Schedule of and by publishing the notice in the investigations (as identified by either the United States, that are alleged to be Federal Register of January 19, 2021 (86 the public or BPI service list), and a sold in the United States at less than fair FR 5247). In light of the restrictions on certificate of service must be timely value (‘‘LTFV’’) and to be subsidized by access to the Commission building due 2 filed. The Secretary will not accept a the government of China. to the COVID–19 pandemic, the document for filing without a certificate Commencement of Final Phase Commission conducted its conference of service. Investigations through written testimony and video Certification.—Pursuant to § 207.3 of conference on February 2, 2021. All Pursuant to section 207.18 of the the Commission’s rules, any person persons who requested the opportunity Commission’s rules, the Commission submitting information to the were permitted to participate. Commission in connection with these also gives notice of the commencement The Commission made these investigations must certify that the of the final phase of its investigations. determinations pursuant to §§ 703(a) information is accurate and complete to and 733(a) of the Act (19 U.S.C. 1 The record is defined in § 207.2(f) of the the best of the submitter’s knowledge. In Commission’s Rules of Practice and Procedure (19 1671b(a) and 1673b(a)). It completed making the certification, the submitter CFR 207.2(f)). and filed its determinations in these will acknowledge that any information 2 86 FR 8583 and 86 FR 8589 (February 8, 2021). investigations on February 26, 2021.

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The views of the Commission are proposed collection of information, Square, 145 N Street NE, 3E.405B, contained in USITC Publication 5170 including the validity of the Washington, DC 20530. (March 2021), entitled methodology and assumptions used; Dated: February 26, 2021. —Evaluate whether and if so how the Pentafluoroethane (R–125) from China: Melody D. Braswell, Investigation Nos. 701–TA–662 and quality, utility, and clarity of the Department Clearance Officer for PRA, U.S. 731–TA–1554 (Preliminary). information to be collected can be Department of Justice. By order of the Commission. enhanced; and —Minimize the burden of the collection [FR Doc. 2021–04418 Filed 3–3–21; 8:45 am] Issued: February 26, 2021. of information on those who are to BILLING CODE 4410–30–P Lisa Barton, respond, including through the use of Secretary to the Commission. appropriate automated, electronic, DEPARTMENT OF JUSTICE [FR Doc. 2021–04432 Filed 3–3–21; 8:45 am] mechanical, or other technological BILLING CODE 7020–02–P collection techniques or other forms Notice of Lodging of Proposed of information technology, e.g., Consent Decree Under the Resource permitting electronic submission of Conservation and Recovery Act DEPARTMENT OF JUSTICE responses. On January 20, 2021, the Department [OMB Number 1125–0003] Overview of This Information of Justice lodged a proposed consent Collection decree with the United States District Agency Information Collection Court for the District of Utah in the Activities; Proposed Collection 1. Type of Information Collection: lawsuit entitled United States of Comments Requested; Fee Waiver Revision and extension of a currently America v. Magnesium Corporation of Request approved collection. 2. The Title of the Form/Collection: America, et al., Civil Action No. AGENCY: Executive Office for Fee Waiver Request. 2:01CV0040–DBB. Immigration Review, Department of 3. The agency form number, if any, If approved by the court, the consent Justice. and the applicable component of the decree would resolve the claims of the Department sponsoring the collection: United States against US Magnesium ACTION: 60-Day notice. The form number is EOIR–26A, LLC (‘‘USM’’), the Renco Group, Inc. SUMMARY: The Department of Justice Executive Office for Immigration (‘‘Group’’), the Ira Leon Rennert (DOJ), Executive Office for Immigration Review, United States Department of Revocable Trusts (‘‘Trusts’’), and Mr. Ira Review (EOIR), will be submitting the Justice. Leon Rennert (‘‘Rennert’’), collectively following information collection request 4. Affected public who will be asked ‘‘Defendants,’’ for injunctive relief and to the Office of Management and Budget or required to respond, as well as a brief civil penalties for alleged violations of (OMB) for review and approval in abstract: Primary: An individual the Resource Conservation and accordance with the Paperwork submitting an appeal or motion to the Recovery Act (‘‘RCRA’’) at USM’s Reduction Act of 1995. Board of Immigration Appeals. An magnesium production facility in Rowley, Utah. The consent decree DATES: Comments are encouraged and individual submitting an application or would require USM to: (1) Make will be accepted for 60 days until May motion to the Office of the Chief extensive process modifications at the 3, 2021. Immigration Judge. Other: Attorneys and qualified representatives facility, including construction of a FOR FURTHER INFORMATION CONTACT: If representing an alien in immigration filtration plant to treat all wastewaters, you have additional comments proceedings before EOIR. Abstract: The that will reduce the environmental especially on the estimated public information on the fee waiver request impacts from its production operations burden or associated response time, form is used by the Board of and ensure greater protection for its suggestions, or need a copy of the Immigration Appeals and the Office of workers; (2) establish appropriate proposed information collection the Chief Immigration Judge to financial assurance for closure or instrument with instructions or determine whether the requisite fee for corrective action of certain waste additional information, please contact an application, motion or appeal will be management areas in the operating areas Lauren Alder Reid, Assistant Director, waived due to an individual’s financial of the facility; (3) pay a civil penalty of Office of Policy, Executive Office for situation. $250,000; and (4) perform the CERCLA Immigration Review, 5107 Leesburg 5. An estimate of the total number of Response Action, which includes Pike, Suite 2500, Falls Church, VA respondents and the amount of time construction of a barrier wall around 22041, telephone: (703) 305–0289. estimated for an average respondent to 1,700 acres of the operating portions of SUPPLEMENTARY INFORMATION: Written respond: It is estimated that 5,499 the facility to prevent leaks or breaches comments and suggestions from the respondents will complete the form of hazardous materials to the Great Salt public and affected agencies concerning annually with an average of 1 hour per Lake, and the payment of EPA costs the proposed collection of information response. incurred in connection with the are encouraged. Your comments should 6. An estimate of the total public CERCLA Response Action. address one or more of the following burden (in hours) associated with the In return for the Settling Defendants’ four points: collection: The estimated public burden compliance with these requirements, —Evaluate whether the proposed associated with this collection is 5,499 the consent decree would resolve past collection of information is necessary hours. It is estimated that respondents RCRA violations at the Rowley facility for the proper performance of the will take 1 hour to complete the form. that the United States’ complaint functions of the Executive Office for If additional information is required alleges. Provided that the Settling Immigration Review, including contact: Melody Braswell, Department Defendants remain in compliance with whether the information will have Clearance Officer, United States the consent decree’s requirements, practical utility; Department of Justice, Justice including payment of EPA CERCLA —Evaluate the accuracy of the agency’s Management Division, Policy and Response Action costs, the United estimate of the burden of the Planning Staff, Two Constitution States would covenant not to sue the

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Settling Defendants under CERCLA for NATIONAL SCIENCE FOUNDATION Type of Request: Intent to seek the CERCLA Response Action and approval to reinstate an information EPA’s CERCLA Response Action costs. Agency Information Collection collection. Activities: Comment Request; Grantee On February 3, 2021, the Department Reporting Requirements for the Abstract of Justice published notice of the Graduate Research Fellowship Proposed Project: The purpose of the lodging of the proposed consent decree. Program NSF Graduate Research Fellowship 86 FR 8037. The notice started a 30-day Program is to help ensure the vitality period for the submission of comments AGENCY: National Science Foundation. and diversity of the scientific and on the proposed consent decree. The ACTION: Notice. engineering workforce of the United Department of Justice has received a States. The program recognizes and SUMMARY: The National Science request for an extension of the comment Foundation (NSF) is announcing plans supports outstanding graduate students who are pursuing research-based period, which expires on March 5, 2021. to reinstate this collection. In master’s and doctoral degrees in In consideration of the request, notice is accordance with the requirements of the science, technology, engineering, and hereby given that the Department of Paperwork Reduction Act of 1995, we mathematics (STEM) and in STEM Justice has extended the comment are providing opportunity for public education. The GRFP provides three period on the proposed consent decree comment on this action. After obtaining years of support, to be used during a by an additional 14 days, up to and and considering public comment, NSF five-year fellowship period, for the including March 19, 2021. Comments will prepare the submission requesting graduate education of individuals who should be addressed to the Assistant Office of Management and Budget have demonstrated their potential for Attorney General, Environment and (OMB) clearance of this collection for no significant research achievements in Natural Resources Division, and should longer than 3 years. STEM and STEM education. refer to United States of America v. DATES: Written comments on this notice The Graduate Research Fellowship Magnesium Corporation of America, et must be received by May 3, 2021 to be Program uses several sources of al., Civil Action No. 2:01CV0040–DBB; assured consideration. Comments information in assessing and D.J. Ref. No. 90–7–1–06980. Comments received after that date will be documenting program performance and may be submitted either by email or by considered to the extent practicable. impact. These sources include reports mail: Send comments to address below. from program evaluation, the GRFP FOR FURTHER INFORMATION CONTACT: Committee of Visitors, and data To submit Send them to: Suzanne H. Plimpton, Reports Clearance compiled from the applications. In comments: Officer, National Science Foundation, addition, GRFP Fellows submit annual 2415 Eisenhower Avenue, Suite activity reports to NSF. By email ...... pubcomment-ees.enrd@ usdoj.gov. W18253, Alexandria, Virginia 22314; The GRFP Completion report is By mail ...... Assistant Attorney General, telephone (703) 292–7556; or send email proposed as a continuing component of U.S. DOJ—ENRD, P.O. to [email protected]. Individuals who the annual reporting requirement for the Box 7611, Washington, DC use a telecommunications device for the program. This report, submitted by the 20044–7611. deaf (TDD) may call the Federal GRFP Institution, certifies the Information Relay Service (FIRS) at 1– completion status of Fellows at the institution (e.g., in progress, completed, During the public comment period, 800–877–8339, which is accessible 24 graduated, transferred, or withdrawn). the consent decree may be examined hours a day, 7 days a week, 365 days a year (including Federal holidays). The existing Completion Report, Grants and downloaded at this Justice Roster Report, and the Program Expense Department website: http:// SUPPLEMENTARY INFORMATION: Comments: Comments are invited on Report comprise the GRFP Annual www.justice.gov/enrd/consent-decrees. (a) whether the proposed collection of Reporting requirements from the We will provide a paper copy of the information is necessary for the proper Grantee GRFP institution. Through consent decree upon written request performance of the functions of the submission of the Completion Report to and payment of reproduction costs. NCSES, including whether the NSF GRFP institutions certify the Please mail your request and payment information will have practical utility; current status of all GRFP Fellows at the to: Consent Decree Library, U.S. DOJ— (b) the accuracy of the NCSES’s estimate institution as either: In Progress, ENRD, P.O. Box 7611, Washington, DC of the burden of the proposed collection Graduated, Transferred, or Withdrawn. 20044–7611. of information; (c) ways to enhance the For Graduate Fellows with Graduated Please enclose a check or money order quality, utility, and clarity of the status, the graduation date is a required for $101.00 (25 cents per page information to be collected, including reporting element. Collection of this reproduction cost) payable to the United through the use of automated collection information allows the program to States Treasury. For a paper copy techniques or other forms of information obtain information on the current status without the Appendices and signature technology; and (d) ways to minimize of Fellows, the number and/or percentage of Graduate Fellowship pages, the cost is $20.00. the burden of the collection of information on those who are to recipients who complete a science or Jeffrey Sands, respond, including through the use of engineering graduate degree, and an Assistant Section Chief, Environmental appropriate automated collection estimate of time to degree completion. Enforcement Section, Environment and techniques or other forms of information The report must be certified and Natural Resources Division. technology. submitted by the institution’s [FR Doc. 2021–04438 Filed 3–3–21; 8:45 am] Title of Collection: Grantee Reporting designated Coordinating Official (CO) BILLING CODE 4410–15–P Requirements for the Graduate Research annually. Fellowship Program. Use of the Information: The OMB Number: 3145–0223. completion report data provides NSF Expiration Date of Approval: Not with accurate Fellow information applicable. regarding completion of the Fellows’

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graduate programs. The data is used by the Draft EIS during a 45-day public been prepared by the Exchange. The NSF in its assessment of the impact of comment period. Commission is publishing this notice to its investments in the GRFP, and ADDRESSES: Interested parties may solicit comments on the proposed rule informs its program management. direct comments, questions or requests change from interested persons. Estimate of Burden: Overall average for additional information to: Mr. Davon I. Self-Regulatory Organization’s time will be 15 minutes per Fellow Collins, Environmental Counsel, United Statement of the Terms of Substance of (8,250 Fellows) for a total of 2,063 hours States Postal Service, 475 L’Enfant Plaza the Proposed Rule Change for all institutions with Fellows. An SW, Washington, DC 20260–6201, or at estimate for institutions with 12 or [email protected]. Note that comments The Exchange proposes to amend the fewer Fellows will be 1 hour, sent by mail may be subject to delay due schedule of Wireless Connectivity Fees institutions with 12–48 fellows will be to federal security screening. and Charges (the ‘‘Fee Schedule’’) to (1) add circuits for connectivity into and 4 hours, and institutions over 48 SUPPLEMENTARY INFORMATION: This Fellows will be 10 hours. notice concerns the proposed purchase out of the data center in Mahwah, New Respondents: Academic institutions over 10 years of 50,000 to 165,000 new Jersey (the ‘‘Mahwah Data Center’’); (2) with NSF Graduate Fellows (GRFP purpose-built delivery vehicles to add services available to customers of Institutions). replace the same number of existing the Mahwah Data Center that are not Estimated Number of Responses per delivery vehicles, and the intent of the colocation Users; and (3) change the Report: One from each of the 271 U.S. Postal Service, pursuant to the name of the Fee Schedule to ‘‘Mahwah current GRFP institutions. requirements of the National Wireless, Circuits, and Non-Colocation Environmental Policy Act of 1969 Connectivity Fee Schedule.’’ The Dated: March 1, 2021. proposed rule change is available on the Suzanne H. Plimpton, (NEPA), its implementing procedures at 39 CFR 775, and the President’s Council Exchange’s website at www.nyse.com, at Reports Clearance Officer, National Science the principal office of the Exchange, and Foundation. on Environmental Quality Regulations (40 CFR parts 1500–1508), to prepare an at the Commission’s Public Reference [FR Doc. 2021–04460 Filed 3–3–21; 8:45 am] EIS to evaluate the environmental Room. BILLING CODE 7555–01–P impacts of the proposed action versus a II. Self-Regulatory Organization’s COTS vehicle alternative and a ‘‘no Statement of the Purpose of, and action’’ alternative. The EIS will Statutory Basis for, the Proposed Rule POSTAL SERVICE consider the physical, biological, Change cultural, and socioeconomic In its filing with the Commission, the Notice of Intent To Prepare an environments. To assist in this process, self-regulatory organization included Environmental Impact Statement for the Postal Service is soliciting the statements concerning the purpose of, Purchase of Next Generation Delivery public’s input and comments. and basis for, the proposed rule change Vehicles Joshua J. Hofer, and discussed any comments it received on the proposed rule change. The text AGENCY: U.S. Postal Service. Attorney, Ethics and Compliance. [FR Doc. 2021–04457 Filed 3–3–21; 8:45 am] of those statements may be examined at ACTION: Notice. BILLING CODE 7710–12–P the places specified in Item IV below. The Exchange has prepared summaries, SUMMARY: The U.S. Postal Service set forth in sections A, B, and C below, announces its intention to prepare an of the most significant parts of such Environmental Impact Statement (EIS) SECURITIES AND EXCHANGE statements. for the purchase over 10 years of 50,000 COMMISSION to 165,000 purpose-built, right-hand- [Release No. 34–91217; File No. SR–NYSE– A. Self-Regulatory Organization’s drive vehicles—the Next Generation 2021–14] Statement of the Purpose of, and Delivery Vehicle (NGDV)—to replace Statutory Basis for, the Proposed Rule existing delivery vehicles nationwide Self-Regulatory Organizations; New Change that are approaching the end of their York Stock Exchange LLC; Notice of 1. Purpose service life. While the Postal Service has Filing of Proposed Rule Change To not yet determined the precise mix of Amend the Schedule of Wireless The Exchange proposes to amend the the powertrains in the new vehicles to Connectivity Fees and Charges To Add Fee Schedule to add services (‘‘NCL be purchased, current plans are for the Circuits for Connectivity Into and Out Services’’) and related fees available to new vehicle purchases to consist of a of the Data Center in Mahwah, New customers of the Mahwah Data Center mix of internal combustion engine and Jersey that are not colocation Users (‘‘NCL 4 battery electric powertrains; the Customers’’), as well as circuits into purchases will also be designed to be February 26, 2021. and out of the Mahwah Data Center that 1 capable of retrofits to keep pace with Pursuant to Section 19(b)(1) of the are available to both colocation Users advances in electric vehicle Securities Exchange Act of 1934 and NCL Customers. In addition, in a 2 3 technologies. The EIS will evaluate the (‘‘Act’’), and Rule 19b–4 thereunder, conforming change, because the Fee environmental impacts of the purchase notice is hereby given that on February Schedule would no longer be limited to and operation of the NGDV, as well as 12, 2021, New York Stock Exchange wireless services, the Exchange a commercial off-the-shelf (COTS) LLC (‘‘NYSE’’ or ‘‘Exchange’’) filed with proposes to change the name of the Fee vehicle alternative and a ‘‘no action’’ the Securities and Exchange Schedule from ‘‘Wireless Connectivity alternative. Commission (‘‘Commission’’) the Fee Schedule’’ to ‘‘Mahwah Wireless, proposed rule change as described in DATES: Comments should be received no Items I and II below, which Items have 4 For purposes of the Exchange’s colocation later than April 5, 2021. The Postal services, a ‘‘User’’ means any market participant that requests to receive colocation services directly Service will also publish a Notice of 1 15 U.S.C. 78s(b)(1). from the Exchange. See Securities Exchange Act Availability to announce the availability 2 15 U.S.C. 78a. Release No. 76008 (September 29, 2015), 80 FR of the Draft EIS and solicit comments on 3 17 CFR 240.19b–4. 60190 (October 5, 2015) (SR–NYSE–2015–40).

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Circuits, and Non-Colocation The Exchange expects the proposed in three different sizes, under the new Connectivity Fee Schedule.’’ 5 change to be operative 60 days after the heading ‘‘C. Mahwah Circuits.’’ The Exchange makes the current present filing becomes effective. First, the Exchange proposes to amend the Fee Schedule to add ‘‘Optic proposal solely as a result of its Mahwah Circuits determination that the Commission’s Access’’ circuits, which are circuits that Customers can connect into and out of IDS operates and that customers can use recent interpretations of the Act’s the Mahwah Data Center using either to connect between the Mahwah Data definitions of the terms ‘‘exchange’’ and wireless connections or wired fiber Center and IDS access centers at the ‘‘facility,’’ as expressed in the Wireless optic circuits. Both IDS and numerous 6 following six third-party owned data Approval Order, apply to connectivity third-party telecommunications service centers: (1) 111 Eighth Avenue, New services described herein that are providers offer wired circuits into and York, NY; (2) 32 Avenue of the offered by entities other than the out of the Mahwah Data Center. The Americas, New York, NY; (3) 165 Exchange. The Exchange disagrees with circuits that IDS offers are described Halsey, Newark, NJ; (4) Secaucus, NJ the Commission’s interpretations, below. Such IDS circuits are available to (the ‘‘Secaucus Access Center’’); (5) denies the services covered herein (and all colocation Users and NCL Carteret, NJ (the ‘‘Carteret Access in the Wireless Approval Order) are Customers, but such customers are not Center’’); and (6) Weehawken, NJ. Optic offerings of an ‘‘exchange’’ or a obligated to use them; rather, both Access circuits are available in 1 Gb, 10 ‘‘facility’’ thereof, and has sought review colocation Users and NCL Customers Gb, and 40 Gb sizes. of the Commission’s interpretations, as may instead choose to contract directly Second, the Exchange proposes to expressed in the Wireless Approval with third-party telecom carriers for amend the Fee Schedule to add lower- Order, in the Court of Appeals for the circuits into and out of the Mahwah latency Optic Low Latency circuits that District of Columbia Circuit.7 Pending Data Center. IDS operates and that customers can use resolution of such appeal, however, the The Exchange proposes to add to the to connect between the Mahwah Data Exchange is making this proposal in Fee Schedule the circuit options offered Center and IDS’s Secaucus Access recognition that the Commission’s by IDS to both colocation Users and Center or Carteret Access Center. Optic current interpretation brings certain NCL Customers to connect into and out Low Latency circuits are available in 1 offerings of the Exchange’s affiliates into of the Mahwah Data Center. Gb, 10 Gb, and 40 Gb sizes. the scope of the terms ‘‘exchange’’ or Specifically, the Exchange proposes to The Exchange proposes to add the ‘‘facility.’’ amend the Fee Schedule to add two following chart to the Fee Schedule to different types of circuits, each available include these circuits, as follows:

Type of service Amount of charge

Optic Access Circuit—1 Gb ...... $1,500 initial charge plus $1,500 monthly charge. Optic Access Circuit—10 Gb ...... $5,000 initial charge plus $2,500 monthly charge. Optic Access Circuit—40 Gb ...... $5,000 initial charge plus $6,000 monthly charge. Optic Low Latency Circuit—1 Gb ...... $1,500 initial charge plus $2,750 monthly charge. Optic Low Latency Circuit—10 Gb ...... $5,000 initial charge plus $3,950 monthly charge. Optic Low Latency Circuit—40 Gb ...... $5,000 initial charge plus $8,250 monthly charge.

Non-Colocation Services available in the Mahwah Data Center and to request services subject to an and other access centers—and ports to ‘‘Expedite Fee’’ or ‘‘Change Fee.’’ The Exchange proposes to amend the a dedicated network to access the NMS Fee Schedule to add several services feeds for which the Securities Industry 1. IDS Network Ports available to NCL Customers as well as Automation Corporation is engaged as The Exchange proposes to amend the several notes, under the new heading the securities information processor (the Fee Schedule to add services that IDS ‘‘D. Non-Colocation (‘‘NCL’’) Services.’’ ‘‘NMS Network’’).8 The Fee Schedule offers enabling NCL Customers to These are the services that IDS offers would also specify the data products connect to the IDS Network in the within the Mahwah Data Center that are and data feeds to which an NCL Mahwah Data Center. not colocation services. The Exchange Customer could connect via these ports. proposes to amend the Fee Schedule to The Exchange also proposes to amend The Exchange proposes to add the add services that include ports to the the Fee Schedule to enable NCL following fees and language to the Fee IDS Network—a wide area network Customers to purchase cross connects Schedule:

IDS NETWORK PORTS *

Type of service Description Amount of charge

NCL IDS Network Access—10 Gb ...... 10 Gb IDS Network port ...... $10,000 initial charge plus $15,250 monthly charge.

5 Each of the Exchange’s affiliates (NYSE 6 See Securities Exchange Act Release No. 90209 7 Intercontinental Exchange, Inc. v. SEC, No. 20– American LLC, NYSE Arca, Inc., NYSE Chicago, (October 15, 2020), 85 FR 67044 (October 21, 2020) 1470 (D.C. Cir. 2020). Inc., and NYSE National, Inc.) (the ‘‘Affiliate (SR–NYSE–2020–05, SR–NYSEAMER–2020–05, 8 See Securities Exchange Act Release Nos. 88837 SROs’’) has submitted substantially the same SR–NYSEArca–2020–08, SR–NYSECHX–2020–02, (May 7, 2020), 85 FR 28671 (May 13, 2020) (SR– proposed rule change to propose the changes SR–NYSENAT–2020–03, SR–NYSE–2020–11, SR– NYSE–2019–46, SR–NYSEAMER–2019–34, SR– described herein. See SR–NYSEAMER–2021–10, NYSEAMER–2020–10, SR–NYSEArca-2020–15, NYSEArca–2019–61, SR–NYSENAT–2019–19) (‘‘NMS Network Approval Order’’) and 88972 (May SR–NYSEArca–2021–13, SR–NYSECHX–2021–03, SR–NYSECHX–2020–05, SR–NYSENAT–2020–08) 29, 2020), 85 FR 34472 (June 4, 2020) (‘‘NYSE and SR–NYSENAT–2021–04. (‘‘Wireless Approval Order’’). Chicago NMS Network Approval Order’’).

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IDS NETWORK PORTS *—Continued

Type of service Description Amount of charge

NCL IDS Network Access—40 Gb ...... 40 Gb IDS Network port ...... $10,000 initial charge plus $19,750 monthly charge. See note 1.

The Exchange also proposes to add to requirements, authorization, and licensing by fee. NCL Customers connect to Third the Fee Schedule several notes the provider of the Included Data Feed. Fees Party Systems over the IDS Network. for the Included Data Products are charged by regarding these services that are based In order to obtain access to a Third on General Notes 4, 5, and 6 of the the provider of such Included Data Products. An NCL Customer can change the Included Party System, an NCL Customer enters Exchange’s Price List regarding Data Products to which it receives into an agreement with the relevant colocation. connectivity at any time, subject to third-party content service provider, Specifically, the Exchange proposes to authorization from the provider of such pursuant to which the third-party add the heading ‘‘NCL Notes’’ after the Included Data Product. Because access to the content service provider charges the tables in the proposed section of the Fee IDS Network is not the exclusive method to NCL Customer for access to the Third Schedule titled ‘‘D. Non-Colocation connect to the Included Data Products, an Party System. When such services are (‘‘NCL’’) Services.’’ Note 1 would NCL Customer does not have to purchase a service that includes access to the IDS requested, IDS establishes a connection establish that when an NCL Customer between the NCL Customer and the purchases access to the IDS Network, Network to connect to such Included Data Products. The Included Data Products are as relevant third party content service the NCL Customer would receive (a) the follows: provider over the IDS Network. IDS ability to access the trading and NMS feeds charges the NCL Customer for the execution systems of the Exchange and CTS connectivity to the Third Party System. Affiliate SROs (‘‘Exchange Systems’’) as CQS An NCL Customer only receives, and is well as of the Global OTC System OPRA only charged by IDS for, connectivity to (‘‘Global OTC’’), and (b) connectivity to NYSE each Third Party System for which the any of the listed data products NYSE American customer enters into an agreement with NYSE American Options (‘‘Included Data Products’’) that it the third-party content service provider. selects. References in the proposed Fee NYSE Arca NYSE Arca Options Neither the Exchange nor IDS has an Schedule would refer customers to the NYSE Best Quote and Trades (BQT) affiliation with the providers of the applicable note. NYSE Bonds Proposed Note 1 would be titled Third Party Systems. Establishing an NYSE Chicago NCL Customer’s access to a Third Party ‘‘Note 1: IDS Network’’ and would NYSE National provide: System does not give either IDS or the 2. NCL Connectivity to Third Party Exchange any right to use the Third When an NCL Customer purchases access Systems, Data Feeds, Testing and Party Systems. Connectivity to a Third to the IDS Network, it receives the ability to Party System does not provide access or access the trading and execution systems of Certification Feeds, and DTCC order entry to the Exchange’s execution the NYSE, NYSE American, NYSE Arca, The Exchange also proposes to amend system, and an NCL Customer’s NYSE Chicago, and NYSE National (together, the Fee Schedule to provide for the connection to a Third Party System is the Exchange Systems) as well as of Global connectivity services that IDS offers for not through the Exchange’s execution OTC (the Global OTC System), subject, in NCL Customers to Third Party Systems, each case, to authorization by the NYSE, system. Third Party Data Feeds, third party NYSE American, NYSE Arca, NYSE Chicago, IDS charges a monthly recurring fee NYSE National, or Global OTC, as applicable. testing and certification feeds, and Each Exchange listed above offers access to DTCC. The Exchange proposes to adopt for connectivity to a Third Party System, its Exchange Systems to its members and substantially similar services and fees as which the Exchange proposes to add to Global OTC offers access to the Global OTC set forth in the Exchange’s Price List its Fee Schedule. Specifically, when an System to its subscribers, such that an NCL regarding colocation.9 NCL Customer requests access to a Customer does not have to purchase a service Connectivity to Third Party Systems: Third Party System, IDS identifies the that includes access to the IDS Network to The Exchange proposes to specify in the applicable third-party market or other obtain access to Exchange Systems or the Fee Schedule services that IDS offers content service provider and the Global OTC System. When an NCL Customer bandwidth connection it requires. purchases access to the IDS Network, it NCL Customers to access the trading receives connectivity to any of the Included and execution services of Third Party The Exchange proposes to add the Data Products that it selects, subject to any markets and other content service following fees and language to the Fee necessary technical provisioning providers (‘‘Third Party Systems’’) for a Schedule:

CONNECTIVITY TO THIRD PARTY SYSTEMS OVER IDS NETWORK *

Description Amount of charge

9 See Securities Exchange Act Release No. 80311 (March 24, 2017), 82 FR 15749 (March 30, 2017) (SR–NYSE–2016–45).

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CONNECTIVITY TO THIRD PARTY SYSTEMS OVER IDS NETWORK *—Continued

Description Amount of charge

100Mb ...... $2,500 per connection monthly charge. 200Mb ...... $3,000 per connection monthly charge. 1Gb ...... $3,500 per connection monthly charge. * (see note 2)

The Exchange proposes to add Note 2 OTC Markets Group Feeds other than as a redistributor of the to the section of the Fee Schedule titled TD Ameritrade data. The Third Party Data Feeds do not ‘‘D. Non-Colocation (‘‘NCL’’) Services.’’ TMX Group provide access or order entry to the Proposed Note 2 would be titled ‘‘Note Connectivity to Third Party Data Exchange’s execution system. With the 2: Third Party Systems’’ and would Feeds: The Exchange proposes to exception of the ICE feed, the Third provide: specify in the Fee Schedule connectivity Party Data Feeds do not provide access When an NCL Customer purchases a services that IDS offers NCL Customers or order entry to the execution systems connection that includes access to Third to connect to data feeds from third-party of the third party generating the feed. Party Systems, it receives access to Third markets and other content service IDS receives Third Party Data Feeds via Party Systems it selects subject to any providers (‘‘Third Party Data Feeds’’) for arms-length agreements and has no technical provisioning requirements, a fee. IDS receives Third Party Data inherent advantage over any other authorization, and licensing from such Third distributor of such data. Party System. Fees for the Third Party Feeds from multiple national securities Systems are charged by the provider of such exchanges and other content service IDS charges a monthly recurring fee Third Party System. The Exchange is not the providers at the Mahwah Data Center. for connectivity to each Third Party exclusive method to connect to Third Party IDS provides connectivity to that data to Data Feed. The monthly recurring fee is Systems. The Third Party Systems are as NCL Customers for a fee. NCL per Third Party Data Feed, with the follows: Customers connect to Third Party Data exception that the monthly recurring fee Third Party Systems Feeds over the IDS Network. for the ICE Data Services Consolidated Feeds (including the ICE Data Services Americas Trading Group (ATG) In order to connect to a Third Party BM&F Bovespa Data Feed, an NCL Customer enters into Consolidated Feed Shared Farm feeds), Boston Options Exchange (BOX) a contract with the relevant third-party Vela—SuperFeeds, and MSCI feeds vary Canadian Securities Exchange (CSE) market or other content service by the bandwidth of the connection. Cboe BYX Exchange (CboeBYX), Cboe BZX provider, pursuant to which the content Depending on its needs and bandwidth, Exchange (CboeBZX), Cboe EDGA service provider charges the NCL an NCL Customer may opt to receive all Exchange (CboeEDGA), and Cboe EDGX Customer for the Third Party Data Feed. or some of the Third Party Data Feeds. Exchange (CboeEDGX) Third Party Data Feed providers may Cboe Exchange (Cboe) and Cboe C2 Exchange IDS receives the Third Party Data Feed (C2) over its fiber optic network and, after charge redistribution fees. The Exchange Chicago Mercantile Exchange (CME Group) the data provider and NCL Customer proposes that, when IDS is charged a Credit Suisse enter into an agreement and IDS redistribution fee by the Third Party Euronext Optiq Cash and Derivatives Unicast receives authorization from the data Data Feed provider, IDS would pass (EUA) provider, IDS retransmits the data to the through the charge to the NCL Euronext Optiq Cash and Derivatives Unicast NCL Customer over the NCL Customer’s Customer, without change to the fee. (Production) IDS Network port. IDS charges the NCL The fee would be labeled as a pass- Investors Exchange (IEX) through of a redistribution fee on the ITG TriAct Matchnow Customer for the connectivity to the Long Term Stock Exchange (LTSE) Third Party Data Feed. An NCL NCL Customer’s invoice. Members Exchange (MEMX) Customer only receives, and is only The Exchange proposes that it would MIAX Options, MIAX PEARL Options, MIAX charged for, connectivity to the Third not charge NCL Customers that are PEARL Equities, and MIAX Emerald Party Data Feeds for which it entered third-party markets or content providers Morgan Stanley into contracts. for connectivity to their own feeds, as it Nasdaq With the exception of the ICE Data understands that such parties generally NASDAQ Canada (CXC, CXD, CX2) Services, ICE, and Global OTC feeds, receive their own feeds for purposes of NASDAQ ISE Neo Aequitas neither the Exchange nor IDS has any diagnostics and testing. NYFIX Marketplace affiliation with the sellers of the Third The Exchange proposes to add the Omega Party Data Feeds. The Exchange and IDS following fees and language to the Fee OneChicago have no right to use the Third Party Data Schedule:

CONNECTIVITY TO THIRD PARTY DATA FEEDS OVER THE IDS NETWORK *

Description Monthly charge

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CONNECTIVITY TO THIRD PARTY DATA FEEDS OVER THE IDS NETWORK *—Continued

Description Monthly charge

Euronext Optiq Shaped Cash ...... 1,200 Euronext Optiq Shaped Derivatives ...... 900 Financial Industry Regulatory Authority (FINRA) ...... 500 Global OTC ...... 100 ICE Data Services Consolidated Feed ≤ 100 Mb ...... 200 ICE Data Services Consolidated Feed > 100 Mb to ≤1 Gb ...... 500 ICE Data Services Consolidated Feed > 1 Gb ...... 1,000 ICE Data Services Consolidated Feed Shared Farm ≤ 100Mb ...... 200 ICE Data Services Consolidated Feed Shared Farm > 100 Mb to ≤ 1 Gb ...... 500 ICE Data Services Consolidated Feed Shared Farm > 1 Gb ...... 1,000 ICE Data Services—ICE TMC ...... 200 ICE Data Services PRD ...... 200 ICE Data Services PRD CEP ...... 400 Intercontinental Exchange (ICE) ...... 1,500 Investors Exchange (IEX) ...... 1,000 ITG TriAct Matchnow ...... 1,000 Members Exchange (MEMX) ...... 3,000 MIAX Emerald ...... 3,500 MIAX Options/MIAX PEARL Options ...... 2,000 MIAX PEARL Equities ...... 2,500 Montre´al Exchange (MX) ...... 1,000 MSCI 5 Mb ...... 500 MSCI 25 Mb ...... 1,200 NASDAQ Stock Market ...... 2,000 NASDAQ OMX Global Index Data Service ...... 100 NASDAQ UQDF & UTDF ...... 500 NASDAQ Canada (CXC, CXD, CX2) ...... 1,500 NASDAQ ISE ...... 1,000 Neo Aequitas ...... 1,200 Omega ...... 1,000 OneChicago ...... 1,000 OTC Markets Group ...... 1,000 Vela—SuperFeed <500 Mb ...... 250 Vela—SuperFeed >500 Mb to <1.25 Gb ...... 800 Vela—SuperFeed >1.25 Gb ...... 1,000 TMX Group ...... 2,500 * (see Note 3)

The Exchange proposes to add Note 3 without change to the fee. The fee is labeled provide NCL Customers an environment to the section of the Fee Schedule titled as a pass-through of a redistribution fee on in which to conduct tests with non-live ‘‘D. Non-Colocation (‘‘NCL’’) Services.’’ the customer’s invoice. IDS does not charge data. Such feeds, which are solely used Proposed Note 3 would be titled ‘‘Note third party markets or content providers for for certification and testing and do not connectivity to their own feeds. IDS is not 3: Third Party Systems’’ and would the exclusive method to connect to Third carry live production data, are available provide: Party Data Feeds. over the IDS Network. Pricing for data feeds from third party Connectivity to third party testing and markets and other service providers (Third Connectivity to Third Party Data certification feeds would be subject to Party Data Feeds) is for connectivity only. Testing and Certification Feeds: The any technical provisioning Connectivity to Third Party Data Feeds is Exchange proposes to specify in the Fee requirements, authorization, and subject to any technical provisioning Schedule that NCL Customers may licensing from the provider of the data requirements, authorization, and licensing obtain connectivity to third-party testing feed. Fees for such feeds are charged by from the provider of the data feed. and certification feeds. Certification the provider of the feed. The Exchange Connectivity to Third Party Data Feeds is feeds are used to certify that an NCL is not the exclusive method to connect over the IDS Network. Fees for Third Party Data Feeds are charged by the provider of Customer conforms to any of the to third-party testing and certification such data feeds. Third Party Data Feed relevant content service provider’s feeds. providers may charge redistribution fees. requirements for accessing Third Party The Exchange proposes to add the When IDS is charged a redistribution fee, IDS Systems or receiving Third Party Data following fees and language to the Fee passes the charge through to the customer, Feeds, while testing feeds would Schedule:

Connectivity to Third Party Testing and Certification Feeds ...... 100 monthly recurring charge per feed.

Connectivity to DTCC: The Exchange clearing, fund transfer, insurance, and provided. IDS receives the DTCC feed proposes to specify in the Fee Schedule settlement services. over its fiber optic network and, after services that IDS provides to connect In order to connect to DTCC, an NCL DTCC and the NCL Customer entered NCL Customers to Depository Trust & Customer enters into a contract with into the services contract and IDS Clearing Corporation (‘‘DTCC’’) for DTCC, pursuant to which DTCC charges received authorization from DTCC, IDS the NCL Customer for the services provides connectivity to DTCC to the

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NCL Customer over the NCL Customer’s the exclusive provider to connect to 3. NCL NMS Network Ports IDS Network port. IDS charges the NCL DTCC feeds. Customer for the connectivity to DTCC. The Exchange proposes to add the The Exchange proposes to amend the Connectivity to DTCC does not following fees and language to the Fee Fee Schedule to add services that IDS provide access or order entry to the Schedule: currently offers enabling NCL Exchange’s execution system, and an Customers to connect to the NMS NCL Customer’s connection to DTCC is CONNECTIVITY TO DTCC Network in the Mahwah Data Center. not through the Exchange’s execution The Exchange proposes to add the Description Amount of charge system. following fees and language to the Fee Connectivity to DTCC is subject to Schedule: any technical provisioning 5 Mb connection to $500 monthly recur- requirements, authorization, and DTCC. ring charge. 50 Mb connection to $2,500 monthly recur- licensing from DTCC. Fees for such DTCC. ring charge. feeds are charged by DTCC. IDS is not

NCL NMS NETWORK PORTS

Type of service Description Amount of charge

NCL NMS Network Access—10 Gb 10 Gb NCL NMS Network port ..... $10,000 initial charge plus $11,000 monthly charge. NCL NMS Network Access—40 Gb 40 Gb NCL NMS Network port ..... $10,000 initial charge plus $18,000 monthly charge. * (see note 4)

The Exchange also proposes to add that it selects, subject to any necessary Customers for an initial and monthly Note 4 to the section of the Fee technical provisioning requirements, charge.10 A cross connect is used to Schedule titled ‘‘D. Non-Colocation authorization, and licensing from the connect a circuit to a port. NCL (‘‘NCL’’) Services,’’ to establish that, provider of such NMS feed. Fees for the NMS feeds are charged by the provider of such Customers use such cross connects to when an NCL Customer purchases an NMS feed. The NMS feeds are as follows: connect from the IDS Network or NMS NMS Network port, it has the option of NMS feeds Network to a circuit connecting outside receiving the NMS feeds over the NMS CTS the Mahwah Data Center. The Exchange Network. CQS proposes that the fees for this service Proposed Note 4 would be titled OPRA would be identical to the fees for the ‘‘Note 4: NMS Network’’ and would corresponding service in colocation. provide: 4. NCL Cross Connect The Exchange proposes to add the When an NCL Customer purchases access The Exchange proposes to amend the to the NMS Network, upon its request, it will Fee Schedule to specify fiber cross following fees and language to the Fee receive connectivity to any of the NMS feeds connect services that IDS offers NCL Schedule:

Type of service Description Amount of charge

NCL Cross Connect ...... Furnish and install one cross-con- $500 initial charge plus $600 monthly charge. nect.

5. NCL Expedite Fee ‘‘Expedite Fee.’’ Similar to the ordered, but the Expedite Fee would ‘‘Expedite Fee’’ applicable to Users in always be a flat $4,000, allowing the The Exchange proposes to amend the colocation,11 if an NCL Customer NCL Customer to determine if the Fee Schedule to specify optional wishes to obtain NCL Services earlier expected time savings warrants payment services that IDS offers NCL Customers than the expected completion date, the of the fee. to expedite the completion of services NCL Customer may pay the Expedite The Exchange proposes to add the purchased or ordered by the NCL Fee. The time saved would vary following fees and language to the Fee Customer, for which IDS charges an depending on the type(s) of service(s) Schedule:

Type of service Description Amount of charge

NCL Expedite Fee ...... Expedited installation/completion $4,000 per request. of a customer’s NCL service.

6. NCL Change Fee if the NCL Customer requests a change In this regard, the Exchange notes that to one or more existing NCL Services several of the proposed services that The Exchange proposes to amend the that IDS has already established or would be added to the Fee Schedule Fee Schedule to specify the ‘‘Change completed for the NCL Customer. include an initial fee in addition to an Fee’’ that IDS charges an NCL Customer ongoing monthly fee. These initial fees

10 Because NCL Customers do not co-locate any not propose amending the Fee Schedule to include 11 See Securities Exchange Act Release No. 67666 equipment in the Mahwah Data Center, they bundles of 6, 12, 18, or 24 cross connects as are (August 15, 2012), 77 FR 50742 (August 22, 2012) generally require fewer fiber cross connects than available to colocation Users. (SR–NYSE–2012–18). colocation Users. Accordingly, the Exchange does

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are related to IDS’s initial cost of connection would include establishing or more services at one time (for establishing or installing a particular and configuring market data services example, through submitting an order service for the NCL Customer. Similar to requested by the NCL Customer, which form requesting multiple services), the the ‘‘Change Fee’’ applicable to Users in would be covered by the initial install NCL Customer would be charged a one- colocation,12 IDS charges a fee of $950 fee. However, if the NCL Customer time Change Fee of $950, which would per order if the NCL Customer requests requests that IDS establish and cover the multiple services. a change to one or more existing NCL configure additional market data Services that IDS has already services for its IDS Network connection, The Exchange proposes to add the established or completed for the NCL the NCL Customer would be charged a following fees and language to the Fee Customer. For example, the initial one-time Change Fee of $950 for that Schedule: installation of an IDS Network request. If an NCL Customer orders two

Type of service Description Amount of charge

NCL Change Fee ...... Change to an NCL service that $950 per request. has already been installed/completed for a customer.

Fee Schedule Name activities of market participants. The discrimination between customers, In addition, the Exchange proposes to Commission has repeatedly expressed issuers, brokers, or dealers. The change the name of the ‘‘Wireless its preference for competition over Exchange further believes that the Connectivity Fee Schedule’’ to regulatory intervention in determining proposed rule change is consistent with ‘‘Connectivity Fee Schedule.’’ [sic] prices, products, and services in the Section 6(b)(4) of the Act,17 because it Because the Fee Schedule will no longer securities markets. Specifically, in provides for the equitable allocation of be limited to wireless services, the Regulation NMS, the Commission reasonable dues, fees, and other charges Exchange proposes to change the name highlighted the importance of market among its members and issuers and of the Fee Schedule from ‘‘Wireless forces in determining prices and SRO other persons using its facilities and Connectivity Fee Schedule’’ [sic] to revenues and, also, recognized that does not unfairly discriminate between ‘‘Mahwah Wireless, Circuits, and Non- current regulation of the market system customers, issuers, brokers, or dealers. Colocation Connectivity Fee Schedule.’’ ‘‘has been remarkably successful in promoting market competition in its The Proposed Change Is Reasonable Application and Impact of the Proposed broader forms that are most important to The Exchange believes that the Changes investors and listed companies.’’ 14 proposed rule change is reasonable and There are currently few NCL The proposed changes are not would perfect the mechanisms of a free Customers. Accordingly, the Exchange otherwise intended to address any other and open market and a national market expects that the impact of the proposed issues relating to services related to the system and, in general, protect investors change would be minimal. Mahwah Data Center and/or related and the public interest, for the following The proposed change is not targeted fees, and the Exchange is not aware of reasons. at, or expected to be limited in any problems that market participants General: Only the market participants applicability to, a specific segment of would have in complying with the that voluntarily select to receive the IDS market participant. The Mahwah proposed change. services described herein are charged Circuits are available for purchase for 2. Statutory Basis for them, and those services are any potential customer requiring a available to all market participants. circuit between the Mahwah Data The Exchange believes that the Furthermore, the IDS services described Center and a remote location. The NCL proposed rule change is consistent with 15 in this filing are available to all market Services are available for purchase by Section 6(b) of the Act, in general, and participants on an equal basis (i.e., the any customer. The proposed changes do furthers the objectives of Section 6(b)(5) 16 same products and services are available not apply differently to distinct types or of the Act, in particular, because it is to all market participants). All market sizes of customers. Rather, they apply to designed to prevent fraudulent and participants that voluntarily select a all customers equally. manipulative acts and practices, to Use of the services proposed in this promote just and equitable principles of specific proposed IDS service would be filing are completely voluntary and trade, to foster cooperation and charged the same amount for that available to all market participants on a coordination with persons engaged in service as all other market participants non-discriminatory basis. regulating, clearing, settling, processing purchasing that service. information with respect to, and In addition, the Exchange believes Competitive Environment facilitating transactions in securities, to that the proposed rule change is IDS operates in a highly competitive remove impediments to and perfect the reasonable because the IDS services market in which exchanges, third party mechanism of a free and open market described herein are offered as a telecommunications providers, Hosting and a national market system, and, in convenience to market participants, but Users,13 and other third-party vendors general, to protect investors and the offering them requires the provision, offer connectivity services as a means to public interest and because it is not maintenance, and operation of the facilitate the trading and other market designed to permit unfair Mahwah Data Center, including the

12 See id. (September 29, 2015), 80 FR 60190 (October 5, 15 15 U.S.C. 78f(b). 13 ‘‘Hosting’’ is a service offered by a User to 2015) (SR–NYSE–2015–40). 16 15 U.S.C. 78f(b)(5). another entity In the User’s space within the 14 See Securities Exchange Act Release No. 51808 17 15 U.S.C. 78f(b)(4). Mahwah Data Center. The Exchange allows Users (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005) to act as Hosting Users for a monthly fee. See (‘‘Regulation NMS Adopting Release’’). Securities Exchange Act Release No. 76008

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installation, monitoring, support, and their connectivity options to their make clear that all NCL Customers that maintenance of the services. specific needs. voluntarily select to access the IDS Mahwah Circuits: The Exchange The Exchange further believes that the Network or NMS Network receive the believes the fees proposed herein for proposed fees for IDS Network ports for same access and connectivity, and are IDS’s Mahwah Circuits are reasonable. NCL Customers are reasonable because not subject to a charge above and The market for circuits into and out of such prices are constrained by beyond the fee paid for the relevant IDS the Mahwah Data Center is competitive, competition with the numerous other Network or NMS Network ports. The and the proposed IDS offerings are providers that offer connectivity to the notes further make clear that NCL merely one of several options from Exchange Systems. If IDS were to Customers are not required to use any which market participants can choose. attempt to offer such ports at a supra- of their bandwidth to access Exchange Each of the third-party competitive price, potential customers systems or connect to an Included Data telecommunications providers that has a would likely respond by seeking out Product unless they wish to do so; presence in the Mahwah Data Center’s less expensive substitutes from other rather, an NCL Customer only receives ‘‘Meet Me Rooms’’ offers similar circuits providers. the access and connectivity that it to market participants, in competition NCL NMS Network Ports: The selects, and can change what access or with the IDS offerings proposed here. Exchange believes that the proposed connectivity it receives at any time, Each market participant considering fees for NMS Network ports for NCL subject to authorization from the data whether to purchase a circuit directly Customers are reasonable to recoup the provider or the relevant Exchange or can weigh that option against similar costs of building the NMS Network. Affiliate SRO.19 Notes 1, 2, 3, and 4 are circuits offered by those third-party Until 2019, SIAC was required to all based on similar provisions in the carriers, and can choose which circuit to provide connectivity to the NMS feeds Exchange’s Price List for colocation. purchase based on which combination only via the IP network. Although the Other NCL Services: The Exchange of latency, bandwidth, price, and other operating committees for the CTA/CQ believes it is reasonable to specify in the factors best meets its business needs. Plans authorized SIAC to offer Fee Schedule NCL Services that IDS connectivity to the NMS feeds in the Indeed, the Exchange understands that offers including NCL cross connects, the Mahwah Data Center via an alternate, most of the third-party NCL Expedite Fee, the NCL Change Fee, dedicated, low-latency NMS Network, telecommunications providers that and NCL connectivity to Third Party the operating committee did not assume provide circuits do so at fees lower than Systems, Third Party Data Feeds, third- the costs of creating such a network; those proposed herein, and that most party testing and certification feeds, and instead, the Exchange and the Affiliate NCL Customers and colocation Users DTCC. SROs funded the capital and operational The Exchange believes that the use such third party telecommunication expenses to build and operate the NMS specific fees it has proposed for NCL circuits into and out of the Mahwah Network. The implementation costs of cross connects, the NCL Expedite Fee, Data Center. approximately $3.8 million are and the NCL Change Fee are reasonable. IDS Network Ports: The Exchange applicable only to the NMS Network, As noted above, IDS faces competition believes that the IDS Network ports which is used for the sole purpose of in the market for connectivity from proposed herein are reasonable. The providing access to the NMS feeds. Hosting Users, IDS access centers market for connecting with the None of the implementation costs are outside of the Mahwah Data Center, Exchange’s trading and execution applicable to any other Exchange third-party access centers, and third- systems is competitive, and the services. As of the date of this filing, party vendors. Market participants can proposed IDS Network ports that IDS only one customer has contracted with consider IDS’s proposed fees for the provides are merely one of several IDS for an NCL NMS Network port, and specific services listed above in the options that market participants may the Exchange expects that demand for context of this competition, and choose choose. As alternatives to the IDS NMS Network ports outside of the connectivity provider that offers the Network ports, a market participant colocation will be very low. The service services the market participant needs at would be able to access or connect to is nevertheless available, and so the the optimal cost. As such, the proposed Exchange Systems, Third Party Systems, Exchange proposes to add it to the Fee fees for these IDS services are Included Data Products, Third Party Schedule. constrained by competition. Data Feeds, third party testing and NCL Notes: With respect to proposed The Exchange believes that charging certification feeds, and DTCC through NCL Notes 1, 2, 3, and 4, the Exchange distinct fees for different NCL Services (a) a connection to an IDS access center believes they are reasonable because is reasonable because not all market outside of the Mahwah Data Center, (b) they provide detailed descriptions of the participants need or wish to utilize the a third-party access center, (c) a third- access and connectivity that NCL same NCL Services. The proposed party vendor, (d) a Hosting User, or (e) Customers receive when they purchase choice of services allows market colocation. IDS Network or NMS Network ports. participants to select which NCL Market participants consider various Such detailed descriptions remove Services to use, based on their business factors in determining which impediments to, and perfect the needs, and market participants are only connectivity options to choose, mechanisms of, a free and open market charged for the services that they select. including latency; bandwidth size; and a national market system and, in amount of network uptime; the general, protect investors and the public 2017) (SR–NYSE–2016–92); 79728 (January 4, equipment that the network uses; the interest because they provide market 2017), 82 FR 3035 (January 10, 2017) (SR– cost of the connection; and the NYSEMKT–2016–126); 79729 (January 4, 2017), 82 participants with transparency and FR 3061 (January 10, 2017) (SR–NYSEArca–2016– applicable contractual provisions. IDS’s clarity as to what connectivity is 172). offering of connectivity services via IDS included in the purchase of IDS 19 The General Note on page 1 of the Fee Network ports gives market participants Network or NMS Network ports by NCL Schedule would also apply to all of the services another service to evaluate and 18 proposed herein. A market participant that incurs Customers. The notes would also fees for NCL connectivity or other NCL Services consider, thereby broadening their from the Exchange or one of the Affiliate SROs options for connectivity to the Exchange 18 See Securities Exchange Act Release Nos. would not be subject to fees for the same service Systems and allowing them to tailor 79730 (January 4, 2017), 82 FR 3045 (January 10, charged by the other Affiliate SROs.

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By charging only those market mechanisms of, a free and open market The Proposed Change Is Not Unfairly participants that utilize an NCL Service and a national market system and, in Discriminatory the related fee, those market general, protects investors and the participants that directly benefit from a public interest. The Exchange believes its proposal is not unfairly discriminatory. The service support its cost. Finally, the Exchange believes it is In addition, the Exchange believes proposed change does not apply reasonable to make available third party that the proposed fees are reasonable differently to distinct types or sizes of testing and certification feeds to enable because they allow the costs associated market participants. Rather, it applies to customers to test and certify their with offering different NCL Services to all market participants equally. The connections to third party data feeds. be defrayed or covered while providing purchase of any proposed service is market participants the benefit of such The Proposed Change Is Equitable completely voluntarily and the Fee services. The Exchange believes that the Schedule will be applied uniformly to proposed charges are reasonable The Exchange believes that its all market participants. because IDS offers NCL Services as proposal equitably allocates its fees IDS faces competition from numerous conveniences to market participants, but among market participants. other providers that offer market in order to do so must provide, The Exchange believes that the participants choices for connectivity to maintain, and operate the Mahwah Data proposed change is equitable because it the Mahwah Data Center, Exchange Center facility hardware and technology would not apply differently to distinct Systems, Third Party Systems, Included infrastructure. IDS needs to provide types or sizes of market participants. Data Products, Third Party Data Feeds, network infrastructure that keeps pace Rather, it would apply to all NCL third party testing and certification with the number of services available to Customers equally. feeds, and DTCC. Without this proposed NCL Customers, including any rule change, market participants seeking increasing demand for bandwidth, and In addition, the Exchange believes such connectivity would have fewer handle the installation, administration, that the proposal is equitable because options. With this proposal, market monitoring, support, and maintenance only the market participants that participants would have more choices of such services, including by voluntarily select to receive the services with respect to the form and price of the responding to any production issues. In described herein would be charged for services they use, allowing market addition, in order to provide them. The services described in this participants to select the services and connectivity to Third Party Data Feeds, filing are available to all market connectivity options that better suit Third Party Systems, third party testing participants on an equal basis (i.e., the their needs, thereby helping them tailor and certification feeds, and DTCC, IDS same products and services are available their connectivity operations to the must establish and maintain multiple to all market participants), and all requirements of their businesses. market participants that voluntarily connections to each Third Party Data The Exchange believes that the select a specific proposed service are Feed, Third Party System, and DTCC, proposed NCL Notes 1 and 4 are not be charged the same amount for that allowing IDS to provide resilient and unfairly discriminatory because they service as all other market participants redundant connections, adapt to any specify that NCL Customers that purchasing that service. changes made by the relevant third voluntarily select to access the IDS party, and cover any applicable fees IDS faces competition from numerous Network or NMS Network are not be (other than redistribution fees) charged other providers that offer market subject to charges above and beyond the by the relevant third party, such as port participants choices for connectivity to fee paid for the relevant IDS Network or fees. the Mahwah Data Center, Exchange NMS Network port. Further, Notes 1, 2, The Exchange believes it is reasonable Systems, Third Party Systems, Included 3, and 4 specify that NCL Customers for redistribution fees charged by Data Products, Third Party Data Feeds, will not be charged for any access or providers of Third Party Data Feeds to third party testing and certification be passed through to NCL Customers, connectivity that they had not feeds, and DTCC. Without this proposed 20 without change to the fee. If not passed selected. rule change, market participants seeking through, the cost of the redistribution For these reasons, the Exchange such connectivity would have fewer fees would be factored into the believes that the proposal is consistent options. With this proposal, market proposed fees for connectivity to Third with the Act. participants would have more choices Party Data Feeds. The Exchange believes with respect to the form and price of the B. Self-Regulatory Organization’s that passing through the fees makes services they use, allowing market Statement on Burden on Competition them more transparent to the NCL participants to select the services and Customer, allowing the NCL Customer The proposed change does not affect connectivity options that better suit to better assess the cost of the competition among national securities connectivity to a Third Party Data Feed their needs, thereby helping them tailor exchanges or among members of the by seeing the individual components of their connectivity operations to the Exchange, but rather between IDS and the cost, i.e., IDS’s fee and redistribution requirements of their businesses. its commercial competitors. fee. The Exchange believes that the As noted above, the Exchange is The Exchange believes that it is proposed NCL Notes 1 and 4 are making the current proposal solely as a reasonable to not charge third-party equitable because they specify that NCL result of the Commission’s recent markets or content providers for Customers that voluntarily select to interpretation of the definitions of connectivity to their own Third Party access the IDS Network or NMS ‘‘exchange’’ and ‘‘facility’’ in the Data Feeds, as the Exchange Network would not be subject to charges Wireless Approval Order, which the understands that such parties generally above and beyond the fee paid for the Exchange is presently challenging on receive their own feeds for purposes of relevant IDS Network or NMS Network appeal to the Court of Appeals for the diagnostics and testing. The Exchange port. Further, Notes 1, 2, 3, and 4 believes that facilitating such specify that NCL Customers will not be 20 In addition, the General Note on page 1 of the diagnostics and testing removes charged for any access or connectivity Fee Schedule would apply to all of the services impediments to, and perfects the that they had not selected. proposed herein. See supra note 19.

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District of Columbia Circuit.21 The Electronic Comments SECURITIES AND EXCHANGE Exchange has nevertheless proposed • COMMISSION this rule change in order to preserve the Use the Commission’s internet ability of IDS to offer the services at comment form (http://www.sec.gov/ [Release No. 34–91219; File No. SR– issue herein. If IDS were compelled to rules/sro.shtml); or NYSECHX–2021–03] stop offering such services, consumers • Send an email to rule-comments@ would have fewer service providers to sec.gov. Please include File Number SR– Self-Regulatory Organizations; NYSE choose from for their connectivity NYSE–2021–14 on the subject line. Chicago, Inc.; Notice of Filing of needs, which would be a detriment to Proposed Rule Change To Amend the competition overall. Paper Comments Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Notwithstanding the foregoing, the • Exchange notes that there are numerous Send paper comments in triplicate Connectivity Into and Out of the Data other third parties that provide circuits to Secretary, Securities and Exchange Center in Mahwah, New Jersey and connectivity at the Mahwah Data Commission, 100 F Street NE, Center, and that IDS competes with Washington, DC 20549–1090. February 26, 2021. those third parties for the provision of Pursuant to Section 19(b)(1) 1 of the All submissions should refer to File Securities Exchange Act of 1934 such services to customers. None of Number SR–NYSE–2021–14. This file these third parties have been compelled (‘‘Act’’),2 and Rule 19b–4 thereunder,3 number should be included on the to file their services or fees with the notice is hereby given that on February subject line if email is used. To help the Commission, and requiring IDS to do so 12, 2021, the NYSE Chicago, Inc. puts IDS at a competitive disadvantage Commission process and review your (‘‘NYSE Chicago’’ or ‘‘Exchange’’) filed vis-a`-vis its competitors. Requiring the comments more efficiently, please use with the Securities and Exchange Exchange to file IDS services and fees only one method. The Commission will Commission (‘‘Commission’’) the herein is therefore a burden on post all comments on the Commission’s proposed rule change as described in competition. internet website (http://www.sec.gov/ Items I and II below, which Items have The Exchange believes competition rules/sro.shtml). Copies of the been prepared by the Exchange. The would be best served by allowing IDS to submission, all subsequent Commission is publishing this notice to freely compete with the other providers amendments, all written statements solicit comments on the proposed rule of connectivity services, without the with respect to the proposed rule change from interested persons. additional burden on IDS alone to file change that are filed with the I. Self-Regulatory Organization’s any proposed changes to services and Commission, and all written Statement of the Terms of Substance of fees with the Commission. communications relating to the the Proposed Rule Change C. Self-Regulatory Organization’s proposed rule change between the Commission and any person, other than The Exchange proposes to amend the Statement on Comments on the schedule of Wireless Connectivity Fees those that may be withheld from the Proposed Rule Change Received From and Charges (the ‘‘Fee Schedule’’) to (1) public in accordance with the Members, Participants, or Others add circuits for connectivity into and provisions of 5 U.S.C. 552, will be No written comments were solicited out of the data center in Mahwah, New or received with respect to the proposed available for website viewing and Jersey (the ‘‘Mahwah Data Center’’); (2) rule change. printing in the Commission’s Public add services available to customers of Reference Room, 100 F Street NE, III. Date of Effectiveness of the the Mahwah Data Center that are not Washington, DC 20549, on official colocation Users; and (3) change the Proposed Rule Change and Timing for business days between the hours of Commission Action name of the Fee Schedule to ‘‘Mahwah 10:00 a.m. and 3:00 p.m. Copies of the Wireless, Circuits, and Non-Colocation Within 45 days of the date of filing also will be available for Connectivity Fee Schedule.’’ The publication of this notice in the Federal inspection and copying at the principal proposed change is available on the Register, or such longer period up to 90 office of the Exchange. All comments Exchange’s website at www.nyse.com, at days (i) as the Commission may received will be posted without change. the principal office of the Exchange, and designate if it finds such longer period Persons submitting comments are at the Commission’s Public Reference to be appropriate and publishes its cautioned that we do not redact or edit Room. reasons for so finding or (ii) as to which personal identifying information from the self-regulatory organization II. Self-Regulatory Organization’s comment submissions. You should consents, the Commission will: Statement of the Purpose of, and (A) By order approve or disapprove submit only information that you wish Statutory Basis for, the Proposed Rule the proposed rule change, or to make available publicly. All Change (B) institute proceedings to determine submissions should refer to File In its filing with the Commission, the whether the proposed rule change Number SR–NYSE–2021–14, and self-regulatory organization included should be disapproved. should be submitted on or before March statements concerning the purpose of, 25, 2021. IV. Solicitation of Comments and basis for, the proposed rule change For the Commission, by the Division of Interested persons are invited to and discussed any comments it received Trading and Markets, pursuant to delegated submit written data, views, and on the proposed rule change. The text authority.22 arguments concerning the foregoing, of those statements may be examined at including whether the proposed rule J. Matthew DeLesDernier, the places specified in Item IV below. change is consistent with the Act. Assistant Secretary. The Exchange has prepared summaries, Comments may be submitted by any of [FR Doc. 2021–04424 Filed 3–3–21; 8:45 am] set forth in sections A, B, and C below, the following methods: BILLING CODE 8011–01–P 1 15 U.S.C. 78s(b)(1). 21 Intercontinental Exchange, Inc. v. SEC, No. 20– 2 15 U.S.C. 78a. 1470 (DC Cir. 2020). 22 17 CFR 200.30–3(a)(12). 3 17 CFR 240.19b–4.

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of the most significant parts of such in the Wireless Approval Order) are by IDS to both colocation Users and statements. offerings of an ‘‘exchange’’ or a NCL Customers to connect into and out ‘‘facility’’ thereof, and has sought review of the Mahwah Data Center. A. Self-Regulatory Organization’s of the Commission’s interpretations, as Statement of the Purpose of, and Specifically, the Exchange proposes to expressed in the Wireless Approval amend the Fee Schedule to add two Statutory Basis for, the Proposed Rule Order, in the Court of Appeals for the Change different types of circuits, each available District of Columbia Circuit.7 Pending in three different sizes, under the new 1. Purpose resolution of such appeal, however, the heading ‘‘C. Mahwah Circuits.’’ Exchange is making this proposal in The Exchange proposes to amend the First, the Exchange proposes to recognition that the Commission’s Fee Schedule to add services (‘‘NCL amend the Fee Schedule to add ‘‘Optic current interpretation brings certain Services’’) and related fees available to offerings of the Exchange’s affiliates into Access’’ circuits, which are circuits that customers of the Mahwah Data Center the scope of the terms ‘‘exchange’’ or IDS operates and that customers can use that are not colocation Users (‘‘NCL to connect between the Mahwah Data 4 ‘‘facility.’’ Customers’’), as well as circuits into The Exchange expects the proposed Center and IDS access centers at the and out of the Mahwah Data Center that change to be operative 60 days after the following six third-party owned data are available to both colocation Users present filing becomes effective. centers: (1) 111 Eighth Avenue, New and NCL Customers. In addition, in a York, NY; (2) 32 Avenue of the conforming change, because the Fee Mahwah Circuits Americas, New York, NY; (3) 165 Schedule would no longer be limited to Customers can connect into and out of Halsey, Newark, NJ; (4) Secaucus, NJ wireless services, the Exchange the Mahwah Data Center using either (the ‘‘Secaucus Access Center’’); (5) proposes to change the name of the Fee wireless connections or wired fiber Carteret, NJ (the ‘‘Carteret Access Schedule from ‘‘Wireless Connectivity optic circuits. Both IDS and numerous Center’’); and (6) Weehawken, NJ. Optic Fee Schedule’’ to ‘‘Mahwah Wireless, third-party telecommunications service Access circuits are available in 1 Gb, 10 Circuits, and Non-Colocation providers offer wired circuits into and Gb, and 40 Gb sizes. Connectivity Fee Schedule.’’ 5 out of the Mahwah Data Center. The Second, the Exchange proposes to The Exchange makes the current circuits that IDS offers are described proposal solely as a result of its amend the Fee Schedule to add lower- below. Such IDS circuits are available to latency Optic Low Latency circuits that determination that the Commission’s all colocation Users and NCL IDS operates and that customers can use recent interpretations of the Act’s Customers, but such customers are not to connect between the Mahwah Data definitions of the terms ‘‘exchange’’ and obligated to use them; rather, both Center and IDS’s Secaucus Access ‘‘facility,’’ as expressed in the Wireless colocation Users and NCL Customers Center or Carteret Access Center. Optic Approval Order,6 apply to connectivity may instead choose to contract directly Low Latency circuits are available in 1 services described herein that are with third-party telecom carriers for offered by entities other than the circuits into and out of the Mahwah Gb, 10 Gb, and 40 Gb sizes. Exchange. The Exchange disagrees with Data Center. The Exchange proposes to add the the Commission’s interpretations, The Exchange proposes to add to the following chart to the Fee Schedule to denies the services covered herein (and Fee Schedule the circuit options offered include these circuits, as follows:

Type of service Amount of charge

Non-Colocation Services add services that include ports to the and data feeds to which an NCL The Exchange proposes to amend the IDS Network—a wide area network Customer could connect via these ports. Fee Schedule to add several services available in the Mahwah Data Center The Exchange also proposes to amend available to NCL Customers as well as and other access centers—and ports to the Fee Schedule to enable NCL several notes, under the new heading a dedicated network to access the NMS Customers to purchase cross connects ‘‘D. Non-Colocation (‘‘NCL’’) Services.’’ feeds for which the Securities Industry and to request services subject to an These are the services that IDS offers Automation Corporation is engaged as ‘‘Expedite Fee’’ or ‘‘Change Fee.’’ within the Mahwah Data Center that are the securities information processor (the not colocation services. The Exchange ‘‘NMS Network’’).8 The Fee Schedule proposes to amend the Fee Schedule to would also specify the data products

4 For purposes of the Exchange’s colocation proposed rule change to propose the changes SR–NYSECHX–2020–05, SR–NYSENAT–2020–08) services, a ‘‘User’’ means any market participant described herein. See SR–NYSE–2021–14, SR– (‘‘Wireless Approval Order’’). that requests to receive colocation services directly NYSEAMER–2021–10, SR–NYSEArca–2021–13, 7 Intercontinental Exchange, Inc. v. SEC, No. 20– from the Exchange. See Securities Exchange Act and SR–NYSENAT–2021–04. 1470 (DC Cir. 2020). Release No. 87408 (October 28, 2019), 84 FR 58778 8 6 See Securities Exchange Act Release No. 90209 See Securities Exchange Act Release Nos. 88837 at n.6 (November 1, 2019) (SR–NYSECHX–2019–12) (October 15, 2020), 85 FR 67044 (October 21, 2020) (May 7, 2020), 85 FR 28671 (May 13, 2020) (SR– (‘‘NYSE Chicago Colocation Notice’’). NYSE–2019–46, SR–NYSEAMER–2019–34, SR– (SR–NYSE–2020–05, SR–NYSEAMER–2020–05, 5 Each of the Exchange’s affiliates (New York NYSEArca–2019–61, SR–NYSENAT–2019–19) SR–NYSEArca–2020–08, SR–NYSECHX–2020–02, Stock Exchange LLC, NYSE American LLC, NYSE (‘‘NMS Network Approval Order’’) and 88972 (May Arca, Inc., and NYSE National, Inc.) (the ‘‘Affiliate SR–NYSENAT–2020–03, SR–NYSE–2020–11, SR– 29, 2020), 85 FR 34472 (June 4, 2020) (‘‘NYSE SROs’’) has submitted substantially the same NYSEAMER–2020–10, SR–NYSEArca–2020–15, Chicago NMS Network Approval Order’’).

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1. IDS Network Ports offers enabling NCL Customers to The Exchange proposes to add the connect to the IDS Network in the following fees and language to the Fee The Exchange proposes to amend the Mahwah Data Center. Schedule: Fee Schedule to add services that IDS 1. IDS NETWORK PORTS

Type of service Description Amount of charge

NCL IDS Network Access—10 Gb ...... 10 Gb IDS Network port ...... $10,000 initial charge plus $15,250 monthly charge. NCL IDS Network Access—40 Gb ...... 40 Gb IDS Network port ...... $10,000 initial charge plus $19,750 monthly charge. * (see note 1)

The Exchange also proposes to add to provisioning requirements, authorization, fee. NCL Customers connect to Third the Fee Schedule several notes and licensing by the provider of the Included Party Systems over the IDS Network. Data Feed. Fees for the Included Data regarding these services that are based In order to obtain access to a Third on General Notes 4, 5, and 6 of the Products are charged by the provider of such Included Data Products. An NCL Customer Party System, an NCL Customer enters Exchange’s Price List regarding can change the Included Data Products to into an agreement with the relevant colocation. which it receives connectivity at any time, third-party content service provider, Specifically, the Exchange proposes to subject to authorization from the provider of pursuant to which the third-party add the heading ‘‘NCL Notes’’ after the such Included Data Product. Because access content service provider charges the tables in the proposed section of the Fee to the IDS Network is not the exclusive NCL Customer for access to the Third Schedule titled ‘‘D. Non-Colocation method to connect to the Included Data Party System. When such services are (‘‘NCL’’) Services.’’ Note 1 would Products, an NCL Customer does not have to purchase a service that includes access to the requested, IDS establishes a connection establish that when an NCL Customer between the NCL Customer and the purchases access to the IDS Network, IDS Network to connect to such Included Data Products. The Included Data Products relevant third party content service the NCL Customer would receive (a) the are as follows: provider over the IDS Network. IDS ability to access the trading and NMS feeds charges the NCL Customer for the execution systems of the Exchange and CTS connectivity to the Third Party System. Affiliate SROs (‘‘Exchange Systems’’) as CQS An NCL Customer only receives, and is well as of the Global OTC System OPRA only charged by IDS for, connectivity to (‘‘Global OTC’’), and (b) connectivity to NYSE each Third Party System for which the any of the listed data products NYSE American customer enters into an agreement with NYSE American Options (‘‘Included Data Products’’) that it the third-party content service provider. selects. References in the proposed Fee NYSE Arca NYSE Arca Options Neither the Exchange nor IDS has an Schedule would refer customers to the NYSE Best Quote and Trades (BQT) affiliation with the providers of the applicable note. NYSE Bonds Proposed Note 1 would be titled Third Party Systems. Establishing an NYSE Chicago NCL Customer’s access to a Third Party ‘‘Note 1: IDS Network’’ and would NYSE National provide: System does not give either IDS or the 2. NCL Connectivity to Third Party Exchange any right to use the Third When an NCL Customer purchases access Systems, Data Feeds, Testing and Party Systems. Connectivity to a Third to the IDS Network, it receives the ability to Party System does not provide access or access the trading and execution systems of Certification Feeds, and DTCC order entry to the Exchange’s execution the NYSE, NYSE American, NYSE Arca, The Exchange also proposes to amend system, and an NCL Customer’s NYSE Chicago, and NYSE National (together, the Fee Schedule to provide for the connection to a Third Party System is the Exchange Systems) as well as of Global connectivity services that IDS offers for not through the Exchange’s execution OTC (the Global OTC System), subject, in NCL Customers to Third Party Systems, each case, to authorization by the NYSE, system. Third Party Data Feeds, third party NYSE American, NYSE Arca, NYSE Chicago, IDS charges a monthly recurring fee NYSE National, or Global OTC, as applicable. testing and certification feeds, and Each Exchange listed above offers access to DTCC. The Exchange proposes to adopt for connectivity to a Third Party System, its Exchange Systems to its members and substantially similar services and fees as which the Exchange proposes to add to Global OTC offers access to the Global OTC set forth in the Exchange’s Price List its Fee Schedule. Specifically, when an System to its subscribers, such that an NCL regarding colocation.9 NCL Customer requests access to a Customer does not have to purchase a service Connectivity to Third Party Systems: Third Party System, IDS identifies the that includes access to the IDS Network to The Exchange proposes to specify in the applicable third-party market or other obtain access to Exchange Systems or the Fee Schedule services that IDS offers content service provider and the Global OTC System. bandwidth connection it requires. When an NCL Customer purchases access NCL Customers to access the trading to the IDS Network, it receives connectivity and execution services of Third Party The Exchange proposes to add the to any of the Included Data Products that it markets and other content service following fees and language to the Fee selects, subject to any necessary technical providers (‘‘Third Party Systems’’) for a Schedule:

9 See NYSE Chicago Colocation Notice, supra note 4 at 58786–89.

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CONNECTIVITY TO THIRD PARTY SYSTEMS OVER IDS NETWORK *

Description Amount of charge

1Mb ...... $200 per connection monthly charge. 3Mb ...... $400 per connection monthly charge. 5Mb ...... $500 per connection monthly charge. 10Mb ...... $800 per connection monthly charge. 25Mb ...... $1,200 per connection monthly charge. 50Mb ...... $1,800 per connection monthly charge. 100Mb ...... $2,500 per connection monthly charge. 200Mb ...... $3,000 per connection monthly charge. 1Gb ...... $3,500 per connection monthly charge. * (see note 2)

CONNECTIVITY TO THIRD PARTY DATA FEEDS OVER THE IDS NETWORK *

Description Monthly charge

BM&F Bovespa ...... $3,000 Boston Options Exchange (BOX) ...... 1,000 Canadian Securities Exchange (CSE) ...... 1,000

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CONNECTIVITY TO THIRD PARTY DATA FEEDS OVER THE IDS NETWORK *—Continued

Description Monthly charge

Cboe BZX Exchange (CboeBZX) and Cboe BYX Exchange (CboeBYX) ...... 2,000 Cboe EDGX Exchange (CboeEDGX) and Cboe EDGA Exchange (CboeEDGA) ...... 2,000 Cboe Exchange (Cboe) and Cboe C2 Exchange (C2) ...... 2,000 CME Group ...... 3,000 Euronext Optiq Compressed Cash ...... 900 Euronext Optiq Compressed Derivatives ...... 600 Euronext Optiq Shaped Cash ...... 1,200 Euronext Optiq Shaped Derivatives ...... 900 Financial Industry Regulatory Authority (FINRA) ...... 500 Global OTC ...... 100 ICE Data Services Consolidated Feed ≤100 Mb ...... 200 ICE Data Services Consolidated Feed >100 Mb to ≤1 Gb ...... 500 ICE Data Services Consolidated Feed >1 Gb ...... 1,000 ICE Data Services Consolidated Feed Shared Farm ≤100Mb ...... 200 ICE Data Services Consolidated Feed Shared Farm >100 Mb to ≤1 Gb ...... 500 ICE Data Services Consolidated Feed Shared Farm >1 Gb ...... 1,000 ICE Data Services—ICE TMC ...... 200 ICE Data Services PRD ...... 200 ICE Data Services PRD CEP ...... 400 Intercontinental Exchange (ICE) ...... 1,500 Investors Exchange (IEX) ...... 1,000 ITG TriAct Matchnow ...... 1,000 Members Exchange (MEMX) ...... 3,000 MIAX Emerald ...... 3,500 MIAX Options/MIAX PEARL Options ...... 2,000 MIAX PEARL Equities ...... 2,500 Montre´al Exchange (MX) ...... 1,000 MSCI 5 Mb ...... 500 MSCI 25 Mb ...... 1,200 NASDAQ Stock Market ...... 2,000 NASDAQ OMX Global Index Data Service ...... 100 NASDAQ UQDF & UTDF ...... 500 NASDAQ Canada (CXC, CXD, CX2) ...... 1,500 NASDAQ ISE ...... 1,000 Neo Aequitas ...... 1,200 Omega ...... 1,000 OneChicago ...... 1,000 OTC Markets Group ...... 1,000 Vela—SuperFeed <500 Mb ...... 250 Vela—SuperFeed >500 Mb to <1.25 Gb ...... 800 Vela—SuperFeed >1.25 Gb ...... 1,000 TMX Group ...... 2,500 * (see note 3)

Connectivity to Third Party Testing and Certification Feeds ...... $100 monthly recurring charge per feed.

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Connectivity to DTCC: The Exchange over its fiber optic network and, after not through the Exchange’s execution proposes to specify in the Fee Schedule DTCC and the NCL Customer entered system. services that IDS provides to connect into the services contract and IDS Connectivity to DTCC is subject to NCL Customers to Depository Trust & received authorization from DTCC, IDS any technical provisioning Clearing Corporation (‘‘DTCC’’) for provides connectivity to DTCC to the requirements, authorization, and clearing, fund transfer, insurance, and NCL Customer over the NCL Customer’s licensing from DTCC. Fees for such settlement services. IDS Network port. IDS charges the NCL feeds are charged by DTCC. IDS is not In order to connect to DTCC, an NCL Customer for the connectivity to DTCC. the exclusive provider to connect to Customer enters into a contract with Connectivity to DTCC does not DTCC feeds. DTCC, pursuant to which DTCC charges provide access or order entry to the The Exchange proposes to add the the NCL Customer for the services Exchange’s execution system, and an following fees and language to the Fee provided. IDS receives the DTCC feed NCL Customer’s connection to DTCC is Schedule:

CONNECTIVITY TO DTCC

Description Amount of charge

5 Mb connection to DTCC ...... $500 monthly recurring charge. 50 Mb connection to DTCC ...... $2,500 monthly recurring charge.

3. NCL NMS Network Ports currently offers enabling NCL The Exchange proposes to add the Customers to connect to the NMS following fees and language to the Fee The Exchange proposes to amend the Network in the Mahwah Data Center. Schedule: Fee Schedule to add services that IDS NCL NMS NETWORK PORTS

Type of service Description Amount of charge

NCL NMS Network Access—10 Gb ...... 10 Gb NCL NMS Network port ...... $10,000 initial charge plus $11,000 monthly charge. NCL NMS Network Access—40 Gb ...... 40 Gb NCL NMS Network port ...... $10,000 initial charge plus $18,000 monthly charge. * (see Note 4)

The Exchange also proposes to add provisioning requirements, authorization, Customers for an initial and monthly Note 4 to the section of the Fee and licensing from the provider of such NMS charge.10 A cross connect is used to Schedule titled ‘‘D. Non-Colocation feed. Fees for the NMS feeds are charged by connect a circuit to a port. NCL (‘‘NCL’’) Services,’’ to establish that, the provider of such NMS feed. The NMS Customers use such cross connects to feeds are as follows: when an NCL Customer purchases an connect from the IDS Network or NMS NMS Network port, it has the option of NMS feeds Network to a circuit connecting outside CTS receiving the NMS feeds over the NMS the Mahwah Data Center. The Exchange Network. CQS OPRA proposes that the fees for this service Proposed Note 4 would be titled ‘‘Note 4: would be identical to the fees for the NMS Network’’ and would provide: When an 4. NCL Cross Connect corresponding service in colocation. NCL Customer purchases access to the NMS Network, upon its request, it will receive The Exchange proposes to amend the The Exchange proposes to add the connectivity to any of the NMS feeds that it Fee Schedule to specify fiber cross following fees and language to the Fee selects, subject to any necessary technical connect services that IDS offers NCL Schedule:

Type of service Description Amount of charge

NCL Cross Connect ...... Furnish and install one cross-connect ...... $500 initial charge plus $600 monthly charge.

10 Because NCL Customers do not co-locate any not propose amending the Fee Schedule to include 11 See NYSE Chicago Colocation Notice, supra equipment in the Mahwah Data Center, they bundles of 6, 12, 18, or 24 cross connects as are note 4, at 58783. generally require fewer fiber cross connects than available to colocation Users. colocation Users. Accordingly, the Exchange does

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Type of service Description Amount of charge

NCL Expedite Fee ...... Expedited installation/completion of a cus- $4,000 per request. tomer’s NCL service.

6. NCL Change Fee establishing or installing a particular requests that IDS establish and service for the NCL Customer. Similar to configure additional market data The Exchange proposes to amend the the ‘‘Change Fee’’ applicable to Users in services for its IDS Network connection, Fee Schedule to specify the ‘‘Change colocation,12 IDS charges a fee of $950 the NCL Customer would be charged a Fee’’ that IDS charges an NCL Customer per order if the NCL Customer requests one-time Change Fee of $950 for that if the NCL Customer requests a change a change to one or more existing NCL request. If an NCL Customer orders two to one or more existing NCL Services Services that IDS has already or more services at one time (for that IDS has already established or established or completed for the NCL example, through submitting an order completed for the NCL Customer. Customer. For example, the initial form requesting multiple services), the In this regard, the Exchange notes that installation of an IDS Network NCL Customer would be charged a one- several of the proposed services that connection would include establishing time Change Fee of $950, which would would be added to the Fee Schedule and configuring market data services cover the multiple services. include an initial fee in addition to an requested by the NCL Customer, which The Exchange proposes to add the ongoing monthly fee. These initial fees would be covered by the initial install following fees and language to the Fee are related to IDS’s initial cost of fee. However, if the NCL Customer Schedule:

Type of service Description Amount of charge

NCL Change Fee ...... Change to an NCL service that has already $950 per request. been installed/completed for a customer.

Fee Schedule Name available to all market participants on a 2. Statutory Basis non-discriminatory basis. In addition, the Exchange proposes to The Exchange believes that the change the name of the ‘‘Wireless Competitive Environment proposed rule change is consistent with Connectivity Fee Schedule’’ to Section 6(b) of the Act,15 in general, and ‘‘Connectivity Fee Schedule.’’ [sic] IDS operates in a highly competitive furthers the objectives of Section 6(b)(5) Because the Fee Schedule will no longer market in which exchanges, third party of the Act,16 in particular, because it is be limited to wireless services, the telecommunications providers, Hosting designed to prevent fraudulent and Exchange proposes to change the name Users,13 and other third-party vendors manipulative acts and practices, to of the Fee Schedule from ‘‘Wireless offer connectivity services as a means to promote just and equitable principles of Connectivity Fee Schedule’’ [sic] to facilitate the trading and other market trade, to foster cooperation and ‘‘Mahwah Wireless, Circuits, and Non- activities of market participants. The coordination with persons engaged in Colocation Connectivity Fee Schedule.’’ Commission has repeatedly expressed regulating, clearing, settling, processing its preference for competition over information with respect to, and Application and Impact of the Proposed facilitating transactions in securities, to Changes regulatory intervention in determining prices, products, and services in the remove impediments to and perfect the mechanism of a free and open market There are currently few NCL securities markets. Specifically, in and a national market system, and, in Customers. Accordingly, the Exchange Regulation NMS, the Commission general, to protect investors and the expects that the impact of the proposed highlighted the importance of market change would be minimal. public interest and because it is not forces in determining prices and SRO designed to permit unfair The proposed change is not targeted revenues and, also, recognized that discrimination between customers, at, or expected to be limited in current regulation of the market system issuers, brokers, or dealers. The applicability to, a specific segment of ‘‘has been remarkably successful in Exchange further believes that the market participant. The Mahwah promoting market competition in its proposed rule change is consistent with Circuits are available for purchase for broader forms that are most important to Section 6(b)(4) of the Act,17 because it any potential customer requiring a investors and listed companies.’’ 14 provides for the equitable allocation of circuit between the Mahwah Data The proposed changes are not reasonable dues, fees, and other charges Center and a remote location. The NCL otherwise intended to address any other among its members and issuers and Services are available for purchase by other persons using its facilities and any customer. The proposed changes do issues relating to services related to the Mahwah Data Center and/or related does not unfairly discriminate between not apply differently to distinct types or customers, issuers, brokers, or dealers. sizes of customers. Rather, they apply to fees, and the Exchange is not aware of all customers equally. any problems that market participants The Proposed Change Is Reasonable Use of the services proposed in this would have in complying with the The Exchange believes that the filing are completely voluntary and proposed change. proposed rule change is reasonable and

12 See id. Chicago Colocation Notice, supra note 4, at 58782– 15 15 U.S.C. 78f(b). 13 ‘‘Hosting’’ is a service offered by a User to 83. 16 15 U.S.C. 78f(b)(5). 14 another entity In the User’s space within the See Securities Exchange Act Release No. 51808 17 15 U.S.C. 78f(b)(4). Mahwah Data Center. The Exchange allows Users (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005) to act as Hosting Users for a monthly fee. See NYSE (‘‘Regulation NMS Adopting Release’’).

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would perfect the mechanisms of a free options that market participants may the Exchange expects that demand for and open market and a national market choose. As alternatives to the IDS NMS Network ports outside of system and, in general, protect investors Network ports, a market participant colocation will be very low. The service and the public interest, for the following would be able to access or connect to is nevertheless available, and so the reasons. Exchange Systems, Third Party Systems, Exchange proposes to add it to the Fee General: Only the market participants Included Data Products, Third Party Schedule. that voluntarily select to receive the IDS Data Feeds, third party testing and NCL Notes: With respect to proposed services described herein are charged certification feeds, and DTCC through NCL Notes 1, 2, 3, and 4, the Exchange for them, and those services are (a) a connection to an IDS access center believes they are reasonable because available to all market participants. outside of the Mahwah Data Center, (b) they provide detailed descriptions of the Furthermore, the IDS services described a third-party access center, (c) a third- access and connectivity that NCL in this filing are available to all market party vendor, (d) a Hosting User, or (e) Customers receive when they purchase participants on an equal basis (i.e., the colocation. IDS Network or NMS Network ports. same products and services are available Market participants consider various Such detailed descriptions remove to all market participants). All market factors in determining which impediments to, and perfect the participants that voluntarily select a connectivity options to choose, mechanisms of, a free and open market specific proposed IDS service would be including latency; bandwidth size; and a national market system and, in charged the same amount for that amount of network uptime; the general, protect investors and the public service as all other market participants equipment that the network uses; the interest because they provide market purchasing that service. cost of the connection; and the participants with transparency and In addition, the Exchange believes applicable contractual provisions. IDS’s clarity as to what connectivity is that the proposed rule change is offering of connectivity services via IDS included in the purchase of IDS reasonable because the IDS services Network ports gives market participants Network or NMS Network ports by NCL described herein are offered as a another service to evaluate and Customers.18 The notes would also convenience to market participants, but consider, thereby broadening their make clear that all NCL Customers that offering them requires the provision, options for connectivity to the Exchange voluntarily select to access the IDS maintenance, and operation of the Systems and allowing them to tailor Network or NMS Network receive the Mahwah Data Center, including the their connectivity options to their same access and connectivity, and are installation, monitoring, support, and specific needs. not subject to a charge above and maintenance of the services. The Exchange further believes that the beyond the fee paid for the relevant IDS Mahwah Circuits: The Exchange proposed fees for IDS Network ports for Network or NMS Network ports. The believes the fees proposed herein for NCL Customers are reasonable because notes further make clear that NCL IDS’s Mahwah Circuits are reasonable. such prices are constrained by Customers are not required to use any The market for circuits into and out of competition with the numerous other of their bandwidth to access Exchange the Mahwah Data Center is competitive, providers that offer connectivity to the systems or connect to an Included Data and the proposed IDS offerings are Exchange Systems. If IDS were to Product unless they wish to do so; merely one of several options from attempt to offer such ports at a supra- rather, an NCL Customer only receives which market participants can choose. competitive price, potential customers the access and connectivity that it Each of the third-party would likely respond by seeking out selects, and can change what access or telecommunications providers that has a less expensive substitutes from other connectivity it receives at any time, presence in the Mahwah Data Center’s providers. subject to authorization from the data ‘‘Meet Me Rooms’’ offers similar circuits NCL NMS Network Ports: The provider or the relevant Exchange or to market participants, in competition Exchange believes that the proposed Affiliate SRO.19 with the IDS offerings proposed here. fees for NMS Network ports for NCL Notes 1, 2, 3, and 4 are Each market participant considering Customers are reasonable to recoup the all based on similar provisions in the whether to purchase a circuit directly costs of building the NMS Network. Exchange’s Price List for colocation. Other NCL Services: The Exchange can weigh that option against similar Until 2019, SIAC was required to believes it is reasonable to specify in the circuits offered by those third-party provide connectivity to the NMS feeds Fee Schedule NCL Services that IDS carriers, and can choose which circuit to only via the IP network. Although the offers including NCL cross connects, the purchase based on which combination operating committees for the CTA/CQ NCL Expedite Fee, the NCL Change Fee, of latency, bandwidth, price, and other Plans authorized SIAC to offer and NCL connectivity to Third Party factors best meets its business needs. connectivity to the NMS feeds in the Systems, Third Party Data Feeds, third- Indeed, the Exchange understands that Mahwah Data Center via an alternate, party testing and certification feeds, and most of the third-party dedicated, low-latency NMS Network, DTCC. telecommunications providers that the operating committee did not assume The Exchange believes that the provide circuits do so at fees lower than the costs of creating such a network; specific fees it has proposed for NCL those proposed herein, and that most instead, the Exchange and the Affiliate NCL Customers and colocation Users SROs funded the capital and operational 18 See Securities Exchange Act Release Nos. use such third party telecommunication expenses to build and operate the NMS 79730 (January 4, 2017), 82 FR 3045 (January 10, circuits into and out of the Mahwah Network. The implementation costs of 2017) (SR–NYSE–2016–92); 79728 (January 4, Data Center. approximately $3.8 million are 2017), 82 FR 3035 (January 10, 2017) (SR– IDS Network Ports: The Exchange applicable only to the NMS Network, NYSEMKT–2016–126); 79729 (January 4, 2017), 82 FR 3061 (January 10, 2017) (SR–NYSEArca–2016– believes that the IDS Network ports which is used for the sole purpose of 172). proposed herein are reasonable. The providing access to the NMS feeds. 19 The General Note on page 1 of the Fee market for connecting with the None of the implementation costs are Schedule would also apply to all of the services Exchange’s trading and execution applicable to any other Exchange proposed herein. A market participant that incurs fees for NCL connectivity or other NCL Services systems is competitive, and the services. As of the date of this filing, from the Exchange or one of the Affiliate SROs proposed IDS Network ports that IDS only one customer has contracted with would not be subject to fees for the same service provides are merely one of several IDS for an NCL NMS Network port, and charged by the other Affiliate SROs.

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cross connects, the NCL Expedite Fee, providers of Third Party Data Feeds to rule change, market participants seeking and the NCL Change Fee are reasonable. be passed through to NCL Customers, such connectivity would have fewer As noted above, IDS faces competition without change to the fee. If not passed options. With this proposal, market in the market for connectivity from through, the cost of the redistribution participants would have more choices Hosting Users, IDS access centers fees would be factored into the with respect to the form and price of the outside of the Mahwah Data Center, proposed fees for connectivity to Third services they use, allowing market third-party access centers, and third- Party Data Feeds. The Exchange believes participants to select the services and party vendors. Market participants can that passing through the fees makes connectivity options that better suit consider IDS’s proposed fees for the them more transparent to the NCL their needs, thereby helping them tailor specific services listed above in the Customer, allowing the NCL Customer their connectivity operations to the context of this competition, and choose to better assess the cost of the requirements of their businesses. the connectivity provider that offers the connectivity to a Third Party Data Feed services the market participant needs at by seeing the individual components of The Exchange believes that the the optimal cost. As such, the proposed the cost, i.e., IDS’s fee and redistribution proposed NCL Notes 1 and 4 are fees for these IDS services are fee. equitable because they specify that NCL constrained by competition. The Exchange believes that it is Customers that voluntarily select to The Exchange believes that charging reasonable to not charge third-party access the IDS Network or NMS distinct fees for different NCL Services markets or content providers for Network would not be subject to charges is reasonable because not all market connectivity to their own Third Party above and beyond the fee paid for the participants need or wish to utilize the Data Feeds, as the Exchange relevant IDS Network or NMS Network same NCL Services. The proposed understands that such parties generally port. Further, Notes 1, 2, 3, and 4 choice of services allows market receive their own feeds for purposes of specify that NCL Customers will not be participants to select which NCL diagnostics and testing. The Exchange charged for any access or connectivity Services to use, based on their business believes that facilitating such that they had not selected. needs, and market participants are only diagnostics and testing removes The Proposed Change Is Not Unfairly charged for the services that they select. impediments to, and perfects the Discriminatory By charging only those market mechanisms of, a free and open market participants that utilize an NCL Service and a national market system and, in The Exchange believes its proposal is the related fee, those market general, protects investors and the not unfairly discriminatory. The participants that directly benefit from a public interest. proposed change does not apply service support its cost. Finally, the Exchange believes it is differently to distinct types or sizes of In addition, the Exchange believes reasonable to make available third party market participants. Rather, it applies to that the proposed fees are reasonable testing and certification feeds to enable all market participants equally. The because they allow the costs associated customers to test and certify their purchase of any proposed service is with offering different NCL Services to connections to third party data feeds. completely voluntarily and the Fee be defrayed or covered while providing market participants the benefit of such The Proposed Change Is Equitable Schedule will be applied uniformly to services. The Exchange believes that the The Exchange believes that its all market participants. proposed charges are reasonable proposal equitably allocates its fees IDS faces competition from numerous because IDS offers NCL Services as among market participants. other providers that offer market conveniences to market participants, but The Exchange believes that the participants choices for connectivity to in order to do so must provide, proposed change is equitable because it the Mahwah Data Center, Exchange maintain, and operate the Mahwah Data would not apply differently to distinct Systems, Third Party Systems, Included Center facility hardware and technology types or sizes of market participants. Data Products, Third Party Data Feeds, infrastructure. IDS needs to provide Rather, it would apply to all NCL third party testing and certification network infrastructure that keeps pace Customers equally. feeds, and DTCC. Without this proposed with the number of services available to In addition, the Exchange believes rule change, market participants seeking NCL Customers, including any that the proposal is equitable because such connectivity would have fewer increasing demand for bandwidth, and only the market participants that options. With this proposal, market handle the installation, administration, voluntarily select to receive the services participants would have more choices monitoring, support, and maintenance described herein would be charged for with respect to the form and price of the of such services, including by them. The services described in this services they use, allowing market responding to any production issues. In filing are available to all market participants to select the services and addition, in order to provide participants on an equal basis (i.e., the connectivity options that better suit connectivity to Third Party Data Feeds, same products and services are available their needs, thereby helping them tailor Third Party Systems, third party testing to all market participants), and all their connectivity operations to the and certification feeds, and DTCC, IDS market participants that voluntarily requirements of their businesses. must establish and maintain multiple select a specific proposed service are connections to each Third Party Data charged the same amount for that The Exchange believes that the Feed, Third Party System, and DTCC, service as all other market participants proposed NCL Notes 1 and 4 are not be allowing IDS to provide resilient and purchasing that service. unfairly discriminatory because they redundant connections, adapt to any IDS faces competition from numerous specify that NCL Customers that changes made by the relevant third other providers that offer market voluntarily select to access the IDS party, and cover any applicable fees participants choices for connectivity to Network or NMS Network are not be (other than redistribution fees) charged the Mahwah Data Center, Exchange subject to charges above and beyond the by the relevant third party, such as port Systems, Third Party Systems, Included fee paid for the relevant IDS Network or fees. Data Products, Third Party Data Feeds, NMS Network port. Further, Notes 1, 2, The Exchange believes it is reasonable third party testing and certification 3, and 4 specify that NCL Customers for redistribution fees charged by feeds, and DTCC. Without this proposed will not be charged for any access or

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connectivity that they had not III. Date of Effectiveness of the inspection and copying at the principal selected.20 Proposed Rule Change and Timing for office of the Exchange. All comments For these reasons, the Exchange Commission Action received will be posted without change. believes that the proposal is consistent Within 45 days of the date of Persons submitting comments are with the Act. publication of this notice in the Federal cautioned that we do not redact or edit Register, or such longer period up to 90 personal identifying information from B. Self-Regulatory Organization’s days (i) as the Commission may comment submissions. You should Statement on Burden on Competition designate if it finds such longer period submit only information that you wish to make available publicly. All The proposed change does not affect to be appropriate and publishes its reasons for so finding or (ii) as to which submissions should refer to File competition among national securities Number SR–NYSECHX–2021–03, and exchanges or among members of the the self-regulatory organization consents, the Commission will: should be submitted on or before March Exchange, but rather between IDS and 25, 2021. its commercial competitors. (A) By order approve or disapprove the proposed rule change, or For the Commission, by the Division of As noted above, the Exchange is (B) institute proceedings to determine Trading and Markets, pursuant to delegated making the current proposal solely as a whether the proposed rule change authority.22 result of the Commission’s recent should be disapproved. J. Matthew DeLesDernier, interpretation of the definitions of Assistant Secretary. ‘‘exchange’’ and ‘‘facility’’ in the IV. Solicitation of Comments [FR Doc. 2021–04426 Filed 3–3–21; 8:45 am] Wireless Approval Order, which the Interested persons are invited to BILLING CODE 8011–01–P Exchange is presently challenging on submit written data, views, and appeal to the Court of Appeals for the arguments concerning the foregoing, 21 District of Columbia Circuit. The including whether the proposed rule SECURITIES AND EXCHANGE Exchange has nevertheless proposed change is consistent with the Act. COMMISSION this rule change in order to preserve the Comments may be submitted by any of [Release No. 34–91220; File No. SR–Phlx– ability of IDS to offer the services at the following methods: issue herein. If IDS were compelled to 2021–03] Electronic Comments stop offering such services, consumers Self-Regulatory Organizations; Nasdaq would have fewer service providers to • Use the Commission’s internet PHLX LLC; Notice of Designation of a choose from for their connectivity comment form (http://www.sec.gov/ Longer Period for Commission Action needs, which would be a detriment to rules/sro.shtml); or on a Proposed Rule Change To Modify competition overall. • Send an email to rule-comments@ Phlx Options 8, Section 26, ‘‘Trading Notwithstanding the foregoing, the sec.gov. Please include File Number SR– Halts, Business Continuity and Exchange notes that there are numerous NYSECHX–2021–03 on the subject line. Disaster Recovery’’ other third parties that provide circuits Paper Comments and connectivity at the Mahwah Data February 26, 2021. Center, and that IDS competes with • Send paper comments in triplicate On January 7, 2021, Nasdaq PHLX those third parties for the provision of to Secretary, Securities and Exchange LLC (‘‘Phlx’’ or ‘‘Exchange’’) filed with such services to customers. None of Commission, 100 F Street NE, the Securities and Exchange these third parties have been compelled Washington, DC 20549–1090. Commission (‘‘Commission’’), pursuant to file their services or fees with the All submissions should refer to File to Section 19(b)(1) of the Securities Commission, and requiring IDS to do so Number SR–NYSECHX–2021–03. This Exchange Act of 1934 (‘‘Act’’),1 and puts IDS at a competitive disadvantage file number should be included on the Rule 19b–4 thereunder,2 a proposed rule vis-a`-vis its competitors. Requiring the subject line if email is used. To help the change to modify Phlx Options 8, Exchange to file IDS services and fees Commission process and review your Section 26 (Trading Halts, Business herein is therefore a burden on comments more efficiently, please use Continuity and Disaster Recovery) to competition. only one method. The Commission will make available an audio and video communication program to serve as a The Exchange believes competition post all comments on the Commission’s internet website (http://www.sec.gov/ ‘‘virtual trading crowd’’ in the event the would be best served by allowing IDS to physical trading floor becomes freely compete with the other providers rules/sro.shtml). Copies of the submission, all subsequent unavailable, the back-up trading floor of connectivity services, without the becomes inoperable or the Exchange additional burden on IDS alone to file amendments, all written statements with respect to the proposed rule otherwise determines not to operate its any proposed changes to services and back-up trading floor. The proposed rule fees with the Commission. change that are filed with the Commission, and all written change was published in the Federal C. Self-Regulatory Organization’s communications relating to the Register on January 14, 2021.3 4 Statement on Comments on the proposed rule change between the Section 19(b)(2) of the Act provides Proposed Rule Change Received From Commission and any person, other than that, within 45 days of the publication Members, Participants, or Others those that may be withheld from the of notice of the filing of a proposed rule public in accordance with the change, or within such longer period up No written comments were solicited provisions of 5 U.S.C. 552, will be to 90 days as the Commission may or received with respect to the proposed available for website viewing and designate if it finds such longer period rule change. printing in the Commission’s Public 22 Reference Room, 100 F Street NE, 17 CFR 200.30–3(a)(12). 20 1 15 U.S.C. 78s(b)(1). In addition, the General Note on page 1 of the Washington, DC 20549, on official Fee Schedule would apply to all of the services 2 17 CFR 240.19b–4. proposed herein. See supra note 19. business days between the hours of 3 See Securities Exchange Act Release No. 90880 21 Intercontinental Exchange, Inc. v. SEC, No. 20– 10:00 a.m. and 3:00 p.m. Copies of the (January 8, 2021), 86 FR 3217. 1470 (D.C. Cir. 2020). filing also will be available for 4 15 U.S.C. 78s(b)(2).

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to be appropriate and publishes its the relevant applicant below. Hearing transferred its assets to Mutual of reasons for so finding, or as to which the requests should be received by the SEC America Investment Corporation, and self-regulatory organization consents, by 5:30 p.m. on March 23, 2021, and on December 16, 2020 made a final the Commission shall either approve the should be accompanied by proof of distribution to its shareholders based on proposed rule change, disapprove the service on applicants, in the form of an net asset value. Expenses of $457,705.50 proposed rule change, or institute affidavit or, for lawyers, a certificate of incurred in connection with the proceedings to determine whether the service. Pursuant to Rule 0–5 under the reorganization were paid by the proposed rule change should be Act, hearing requests should state the applicant’s investment advisor. disapproved. The 45th day after nature of the writer’s interest, any facts Filing Date: The application was filed publication of the notice for this bearing upon the desirability of a on December 21, 2020, and amended on proposed rule change is February 28, hearing on the matter, the reason for the February 9, 2021. 2021. The Commission is extending this request, and the issues contested. 45-day time period. Persons who wish to be notified of a Applicant’s Address: james.roth@ The Commission finds that it is hearing may request notification by mutualofamerica.com. appropriate to designate a longer period writing to the Commission’s Secretary at Nicholas High Income Fund, Inc. [File within which to take action on the [email protected]. No. 811–00216] proposal so that it has sufficient time to ADDRESSES: The Commission: consider the proposed rule change. [email protected]. Summary: Applicant seeks an order Accordingly, the Commission, pursuant FOR FURTHER INFORMATION CONTACT: declaring that it has ceased to be an 5 to Section 19(b)(2) of the Act, Shawn Davis, Assistant Director, at investment company. On July 24, 2020, designates April 14, 2021, as the date by (202) 551–6413 or Chief Counsel’s applicant made a liquidating which the Commission shall either Office at (202) 551–6821; SEC, Division distribution to its shareholders based on approve or disapprove, or institute of Investment Management, Chief net asset value. Expenses of $23,257.82 proceedings to determine whether to Counsel’s Office, 100 F Street NE, incurred in connection with the disapprove, the proposed rule change Washington, DC 20549–8010. liquidation were paid by the applicant’s (File No. SR–Phlx–2021–03). investment advisor. Applicant also has For the Commission, by the Division of 2017 Mandatory Exchangeable Trust an account receivable in the amount of Trading and Markets, pursuant to delegated [File No. 811–23316] $4,500, which is retained for the authority.6 Summary: Applicant, a closed-end payment due on a voluntary consent J. Matthew DeLesDernier, investment company, seeks an order solicitation for a bond which was Assistant Secretary. declaring that it has ceased to be an tendered prior to liquidation. [FR Doc. 2021–04427 Filed 3–3–21; 8:45 am] investment company. On December 1, Filing Date: The application was filed BILLING CODE 8011–01–P 2020, applicant made liquidating on January 5, 2021. distributions to its shareholders based on net asset value. Expenses of $1,500 Applicant’s Address: jtthompson@ SECURITIES AND EXCHANGE incurred in connection with the michaelbest.com. COMMISSION liquidation were paid by Inversora Tigershares Trust [811–23371] Carso, S.A. de C.V. (Mexico), Control [Investment Company Act Release No. Summary: Applicant seeks an order 34217] Empresarial de Capitales, S.A. de C.V. (Mexico), and Banco Inbursa, S.A., declaring that it has ceased to be an [Notice of Applications for Institucio´n de Banca Mu´ ltiple, Grupo investment company. On November 25, Deregistration Under Section 8(f) of the Financiero Inbursa. 2020, applicant made a liquidating Investment Company Act of 1940 Filing Date: The application was filed distribution to its shareholders based on on December 10, 2020. net asset value. Expenses of $10,000 February 26, 2021. Applicant’s Address: wendell.faria@ incurred in connection with the The following is a notice of dentons.com, dpuglisi@ liquidation were paid by the applicant’s applications for deregistration under puglisiassoc.com. investment adviser, and/or their section 8(f) of the Investment Company affiliates. Act of 1940 for the month of February Morgan Stanley New York Municipal Filing Date: The application was filed 2021. A copy of each application may be Money Market Trust [File No. 811– on December 11, 2020. obtained via the Commission’s website 05987] by searching for the file number, or for Summary: Applicant seeks an order Applicant’s Address: Stacy.Fuller@ an applicant using the Company name declaring that it has ceased to be an klgates.com. box, at http://www.sec.gov/search/ investment company. On September 16, XAI Octagon Credit Trust [File No. 811– search.htm or by calling (202) 551– 2020, applicant made a liquidating 23364] 8090. An order granting each distribution to its shareholders based on application will be issued unless the net asset value. Expenses of $85,000 Summary: Applicant, a closed-end SEC orders a hearing. Interested persons incurred in connection with the investment company, seeks an order may request a hearing on any liquidation were paid by the applicant. declaring that it has ceased to be an application by emailing the SEC’s Filing Date: The application was filed investment company. Applicant has Secretary at [email protected] on January 5, 2021. never made a public offering of its and serving the relevant applicant with Applicant’s Address: Jill.Whitelaw@ securities and does not propose to make a copy of the request by email, if an morganstanley.com. a public offering or engage in business email address is listed for the relevant Mutual of America Institutional Funds of any kind. applicant below, or personally or by Inc. [811–08922] Filing Date: The application was filed mail, if a physical address is listed for Summary: Applicant seeks an order on January 5, 2021. 5 Id. declaring that it has ceased to be an Applicant’s Address: kevin.hardy@ 6 17 CFR 200.30–3(a)(31). investment company. The applicant has skadden.com.

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For the Commission, by the Division of statements concerning the purpose of, expressed in the Wireless Approval Investment Management, pursuant to and basis for, the proposed rule change Order, in the Court of Appeals for the delegated authority. and discussed any comments it received District of Columbia Circuit.7 Pending J. Matthew DeLesDernier, on the proposed rule change. The text resolution of such appeal, however, the Assistant Secretary. of those statements may be examined at Exchange is making this proposal in [FR Doc. 2021–04411 Filed 3–3–21; 8:45 am] the places specified in Item IV below. recognition that the Commission’s BILLING CODE 8011–01–P The Exchange has prepared summaries, current interpretation brings certain set forth in sections A, B, and C below, offerings of the Exchange’s affiliates into of the most significant parts of such the scope of the terms ‘‘exchange’’ or SECURITIES AND EXCHANGE statements. ‘‘facility.’’ COMMISSION A. Self-Regulatory Organization’s The Exchange expects the proposed [Release No. 34–91216; File No. SR– Statement of the Purpose of, and change to be operative 60 days after the NYSEArca–2021–13] Statutory Basis for, the Proposed Rule present filing becomes effective. Change Mahwah Circuits Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed 1. Purpose Customers can connect into and out of Rule Change To Amend the Schedule The Exchange proposes to amend the the Mahwah Data Center using either of Wireless Connectivity Fees and Fee Schedule to add services (‘‘NCL wireless connections or wired fiber Charges To Add Circuits for Services’’) and related fees available to optic circuits. Both IDS and numerous Connectivity Into and Out of the Data customers of the Mahwah Data Center third-party telecommunications service Center in Mahwah, New Jersey that are not colocation Users (‘‘NCL providers offer wired circuits into and Customers’’),4 as well as circuits into out of the Mahwah Data Center. The February 26, 2021. circuits that IDS offers are described Pursuant to Section 19(b)(1) 1 of the and out of the Mahwah Data Center that are available to both colocation Users below. Such IDS circuits are available to Securities Exchange Act of 1934 all colocation Users and NCL 2 3 and NCL Customers. In addition, in a (‘‘Act’’), and Rule 19b–4 thereunder, Customers, but such customers are not notice is hereby given that on February conforming change, because the Fee Schedule would no longer be limited to obligated to use them; rather, both 12, 2021, NYSE Arca, Inc. (‘‘NYSE colocation Users and NCL Customers Arca’’ or ‘‘Exchange’’) filed with the wireless services, the Exchange proposes to change the name of the Fee may instead choose to contract directly Securities and Exchange Commission with third-party telecom carriers for (‘‘Commission’’) the proposed rule Schedule from ‘‘Wireless Connectivity Fee Schedule’’ to ‘‘Mahwah Wireless, circuits into and out of the Mahwah change as described in Items I and II Data Center. below, which Items have been prepared Circuits, and Non-Colocation 5 The Exchange proposes to add to the by the Exchange. The Commission is Connectivity Fee Schedule.’’ The Exchange makes the current Fee Schedule the circuit options offered publishing this notice to solicit proposal solely as a result of its by IDS to both colocation Users and comments on the proposed rule change determination that the Commission’s NCL Customers to connect into and out from interested persons. recent interpretations of the Act’s of the Mahwah Data Center. I. Self-Regulatory Organization’s definitions of the terms ‘‘exchange’’ and Specifically, the Exchange proposes to Statement of the Terms of Substance of ‘‘facility,’’ as expressed in the Wireless amend the Fee Schedule to add two the Proposed Rule Change Approval Order,6 apply to connectivity different types of circuits, each available in three different sizes, under the new The Exchange proposes to amend the services described herein that are heading ‘‘C. Mahwah Circuits.’’ schedule of Wireless Connectivity Fees offered by entities other than the and Charges (the ‘‘Fee Schedule’’) to (1) Exchange. The Exchange disagrees with First, the Exchange proposes to add circuits for connectivity into and the Commission’s interpretations, amend the Fee Schedule to add ‘‘Optic out of the data center in Mahwah, New denies the services covered herein (and Access’’ circuits, which are circuits that Jersey (the ‘‘Mahwah Data Center’’); (2) in the Wireless Approval Order) are IDS operates and that customers can use add services available to customers of offerings of an ‘‘exchange’’ or a to connect between the Mahwah Data the Mahwah Data Center that are not ‘‘facility’’ thereof, and has sought review Center and IDS access centers at the colocation Users; and (3) change the of the Commission’s interpretations, as following six third-party owned data name of the Fee Schedule to ‘‘Mahwah centers: (1) 111 Eighth Avenue, New 4 Wireless, Circuits, and Non-Colocation For purposes of the Exchange’s colocation York, NY; (2) 32 Avenue of the services, a ‘‘User’’ means any market participant Americas, New York, NY; (3) 165 Connectivity Fee Schedule.’’ The that requests to receive colocation services directly proposed rule change is available on the from the Exchange. See Securities Exchange Act Halsey, Newark, NJ; (4) Secaucus, NJ Exchange’s website at www.nyse.com, at Release No. 76010 (September 29, 2015), 80 FR (the ‘‘Secaucus Access Center’’); (5) 60197 (October 5, 2015) (SR–NYSEArca–2015–82). Carteret, NJ (the ‘‘Carteret Access the principal office of the Exchange, and 5 at the Commission’s Public Reference Each of the Exchange’s affiliates (New York Center’’); and (6) Weehawken, NJ. Optic Stock Exchange LLC, NYSE American LLC, NYSE Access circuits are available in 1 Gb, 10 Room. Chicago, Inc., and NYSE National, Inc.) (the ‘‘Affiliate SROs’’) has submitted substantially the Gb, and 40 Gb sizes. II. Self-Regulatory Organization’s same proposed rule change to propose the changes Second, the Exchange proposes to Statement of the Purpose of, and described herein. See SR–NYSE–2021–14, SR– amend the Fee Schedule to add lower- Statutory Basis for, the Proposed Rule NYSEAMER–2021–10, SR–NYSECHX–2021–03, latency Optic Low Latency circuits that Change and SR–NYSENAT–2021–04. 6 See Securities Exchange Act Release No. 90209 IDS operates and that customers can use In its filing with the Commission, the (October 15, 2020), 85 FR 67044 (October 21, 2020) to connect between the Mahwah Data self-regulatory organization included (SR–NYSE–2020–05, SR–NYSEAMER–2020–05, Center and IDS’s Secaucus Access SR–NYSEArca–2020–08, SR–NYSECHX–2020–02, Center or Carteret Access Center. Optic SR–NYSENAT–2020–03, SR–NYSE–2020–11, SR– 1 15 U.S.C. 78s(b)(1). NYSEAMER–2020–10, SR–NYSEArca–2020–15, 2 15 U.S.C. 78a. SR–NYSECHX–2020–05, SR–NYSENAT–2020–08) 7 Intercontinental Exchange, Inc. v. SEC, No. 20– 3 17 CFR 240.19b–4. (‘‘Wireless Approval Order’’). 1470 (D.C. Cir. 2020).

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Low Latency circuits are available in 1 The Exchange proposes to add the Gb, 10 Gb, and 40 Gb sizes. following chart to the Fee Schedule to include these circuits, as follows:

Type of service Amount of charge

Non-Colocation Services available in the Mahwah Data Center and to request services subject to an and other access centers—and ports to ‘‘Expedite Fee’’ or ‘‘Change Fee.’’ The Exchange proposes to amend the a dedicated network to access the NMS Fee Schedule to add several services feeds for which the Securities Industry 1. IDS Network Ports available to NCL Customers as well as Automation Corporation is engaged as several notes, under the new heading The Exchange proposes to amend the the securities information processor (the Fee Schedule to add services that IDS ‘‘D. Non-Colocation (‘‘NCL’’) Services.’’ ‘‘NMS Network’’).8 The Fee Schedule offers enabling NCL Customers to These are the services that IDS offers would also specify the data products connect to the IDS Network in the within the Mahwah Data Center that are and data feeds to which an NCL not colocation services. The Exchange Customer could connect via these ports. Mahwah Data Center. proposes to amend the Fee Schedule to The Exchange also proposes to amend The Exchange proposes to add the add services that include ports to the the Fee Schedule to enable NCL following fees and language to the Fee IDS Network—a wide area network Customers to purchase cross connects Schedule:

IDS NETWORK PORTS *

Type of service Description Amount of charge

The Exchange also proposes to add to access the trading and execution systems of purchase a service that includes access to the the Fee Schedule several notes the NYSE, NYSE American, NYSE Arca, IDS Network to connect to such Included regarding these services that are based NYSE Chicago, and NYSE National (together, Data Products. The Included Data Products on General Notes 4, 5, and 6 of the the Exchange Systems) as well as of Global are as follows: OTC (the Global OTC System), subject, in Exchange’s Price List regarding NMS feeds each case, to authorization by the NYSE, CTS colocation. NYSE American, NYSE Arca, NYSE Chicago, Specifically, the Exchange proposes to NYSE National, or Global OTC, as applicable. CQS add the heading ‘‘NCL Notes’’ after the Each Exchange listed above offers access to OPRA tables in the proposed section of the Fee its Exchange Systems to its members and NYSE Schedule titled ‘‘D. Non-Colocation Global OTC offers access to the Global OTC NYSE American (‘‘NCL’’) Services.’’ Note 1 would System to its subscribers, such that an NCL NYSE American Options establish that when an NCL Customer Customer does not have to purchase a service NYSE Arca purchases access to the IDS Network, that includes access to the IDS Network to NYSE Arca Options the NCL Customer would receive (a) the obtain access to Exchange Systems or the NYSE Best Quote and Trades (BQT) ability to access the trading and Global OTC System. NYSE Bonds execution systems of the Exchange and When an NCL Customer purchases access NYSE Chicago to the IDS Network, it receives connectivity NYSE National Affiliate SROs (‘‘Exchange Systems’’) as to any of the Included Data Products that it well as of the Global OTC System selects, subject to any necessary technical 2. NCL Connectivity to Third Party (‘‘Global OTC’’), and (b) connectivity to provisioning requirements, authorization, Systems, Data Feeds, Testing and any of the listed data products and licensing by the provider of the Included Certification Feeds, and DTCC (‘‘Included Data Products’’) that it Data Feed. Fees for the Included Data selects. References in the proposed Fee Products are charged by the provider of such The Exchange also proposes to amend Schedule would refer customers to the Included Data Products. An NCL Customer the Fee Schedule to provide for the applicable note. can change the Included Data Products to connectivity services that IDS offers for which it receives connectivity at any time, Proposed Note 1 would be titled NCL Customers to Third Party Systems, ‘‘Note 1: IDS Network’’ and would subject to authorization from the provider of such Included Data Product. Because access Third Party Data Feeds, third party provide: to the IDS Network is not the exclusive testing and certification feeds, and When an NCL Customer purchases access method to connect to the Included Data DTCC. The Exchange proposes to adopt to the IDS Network, it receives the ability to Products, an NCL Customer does not have to substantially similar services and fees as

8 See Securities Exchange Act Release Nos. 88837 NYSEArca–2019–61, SR–NYSENAT–2019–19) 29, 2020), 85 FR 34472 (June 4, 2020) (‘‘NYSE (May 7, 2020), 85 FR 28671 (May 13, 2020) (SR– (‘‘NMS Network Approval Order’’) and 88972 (May Chicago NMS Network Approval Order’’). NYSE–2019–46, SR–NYSEAMER–2019–34, SR–

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set forth in the Exchange’s Price List requested, IDS establishes a connection Party System does not provide access or regarding colocation.9 between the NCL Customer and the order entry to the Exchange’s execution Connectivity to Third Party Systems: relevant third party content service system, and an NCL Customer’s The Exchange proposes to specify in the provider over the IDS Network. IDS connection to a Third Party System is Fee Schedule services that IDS offers charges the NCL Customer for the not through the Exchange’s execution NCL Customers to access the trading connectivity to the Third Party System. system. and execution services of Third Party An NCL Customer only receives, and is IDS charges a monthly recurring fee markets and other content service only charged by IDS for, connectivity to for connectivity to a Third Party System, providers (‘‘Third Party Systems’’) for a each Third Party System for which the which the Exchange proposes to add to fee. NCL Customers connect to Third customer enters into an agreement with its Fee Schedule. Specifically, when an Party Systems over the IDS Network. the third-party content service provider. In order to obtain access to a Third NCL Customer requests access to a Party System, an NCL Customer enters Neither the Exchange nor IDS has an Third Party System, IDS identifies the into an agreement with the relevant affiliation with the providers of the applicable third-party market or other third-party content service provider, Third Party Systems. Establishing an content service provider and the pursuant to which the third-party NCL Customer’s access to a Third Party bandwidth connection it requires. content service provider charges the System does not give either IDS or the The Exchange proposes to add the NCL Customer for access to the Third Exchange any right to use the Third following fees and language to the Fee Party System. When such services are Party Systems. Connectivity to a Third Schedule:

CONNECTIVITY TO THIRD PARTY SYSTEMS OVER IDS NETWORK *

Description Amount of charge

The Exchange proposes to add Note 2 Euronext Optiq Cash and Derivatives Unicast IDS provides connectivity to that data to to the section of the Fee Schedule titled (EUA) NCL Customers for a fee. NCL ‘‘D. Non-Colocation (‘‘NCL’’) Services.’’ Euronext Optiq Cash and Derivatives Unicast Customers connect to Third Party Data Proposed Note 2 would be titled ‘‘Note (Production) Feeds over the IDS Network. Investors Exchange (IEX) 2: Third Party Systems’’ and would ITG TriAct Matchnow In order to connect to a Third Party provide: Long Term Stock Exchange (LTSE) Data Feed, an NCL Customer enters into When an NCL Customer purchases a Members Exchange (MEMX) a contract with the relevant third-party connection that includes access to Third MIAX Options, MIAX PEARL Options, MIAX market or other content service Party Systems, it receives access to Third PEARL Equities, and MIAX Emerald provider, pursuant to which the content Party Systems it selects subject to any Morgan Stanley service provider charges the NCL technical provisioning requirements, Nasdaq Customer for the Third Party Data Feed. authorization, and licensing from such Third NASDAQ Canada (CXC, CXD, CX2) IDS receives the Third Party Data Feed Party System. Fees for the Third Party NASDAQ ISE over its fiber optic network and, after Systems are charged by the provider of such Neo Aequitas NYFIX Marketplace the data provider and NCL Customer Third Party System. The Exchange is not the enter into an agreement and IDS exclusive method to connect to Third Party Omega OneChicago receives authorization from the data Systems. The Third Party Systems are as OTC Markets Group provider, IDS retransmits the data to the follows: TD Ameritrade NCL Customer over the NCL Customer’s Third Party Systems TMX Group IDS Network port. IDS charges the NCL Americas Trading Group (ATG) Connectivity to Third Party Data Customer for the connectivity to the BM&F Bovespa Feeds: The Exchange proposes to Third Party Data Feed. An NCL Boston Options Exchange (BOX) specify in the Fee Schedule connectivity Customer only receives, and is only Canadian Securities Exchange (CSE) services that IDS offers NCL Customers charged for, connectivity to the Third Cboe BYX Exchange (CboeBYX), Cboe BZX to connect to data feeds from third-party Party Data Feeds for which it entered Exchange (CboeBZX), Cboe EDGA into contracts. Exchange (CboeEDGA), and Cboe EDGX markets and other content service Exchange (CboeEDGX) providers (‘‘Third Party Data Feeds’’) for With the exception of the ICE Data Cboe Exchange (Cboe) and Cboe C2 Exchange a fee. IDS receives Third Party Data Services, ICE, and Global OTC feeds, (C2) Feeds from multiple national securities neither the Exchange nor IDS has any Chicago Mercantile Exchange (CME Group) exchanges and other content service affiliation with the sellers of the Third Credit Suisse providers at the Mahwah Data Center. Party Data Feeds. The Exchange and IDS

9 See Securities Exchange Act Release No. 80310 (March 24, 2017), 82 FR 15763 (March 30, 2017) (SR–NYSEArca–2016–89).

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have no right to use the Third Party Data per Third Party Data Feed, with the Customer, without change to the fee. Feeds other than as a redistributor of the exception that the monthly recurring fee The fee would be labeled as a pass- data. The Third Party Data Feeds do not for the ICE Data Services Consolidated through of a redistribution fee on the provide access or order entry to the Feeds (including the ICE Data Services NCL Customer’s invoice. Exchange’s execution system. With the Consolidated Feed Shared Farm feeds), The Exchange proposes that it would exception of the ICE feed, the Third Vela—SuperFeeds, and MSCI feeds vary not charge NCL Customers that are Party Data Feeds do not provide access by the bandwidth of the connection. or order entry to the execution systems Depending on its needs and bandwidth, third-party markets or content providers of the third party generating the feed. an NCL Customer may opt to receive all for connectivity to their own feeds, as it IDS receives Third Party Data Feeds via or some of the Third Party Data Feeds. understands that such parties generally arms-length agreements and has no Third Party Data Feed providers may receive their own feeds for purposes of inherent advantage over any other charge redistribution fees. The Exchange diagnostics and testing. distributor of such data. proposes that, when IDS is charged a The Exchange proposes to add the IDS charges a monthly recurring fee redistribution fee by the Third Party following fees and language to the Fee for connectivity to each Third Party Data Feed provider, IDS would pass Schedule: Data Feed. The monthly recurring fee is through the charge to the NCL

CONNECTIVITY TO THIRD PARTY DATA FEEDS OVER THE IDS NETWORK *

Description Monthly charge

BM&F Bovespa ...... $3,000 Boston Options Exchange (BOX) ...... 1,000 Canadian Securities Exchange (CSE) ...... 1,000 Cboe BZX Exchange (CboeBZX) and Cboe BYX Exchange (CboeBYX) ...... 2,000 Cboe EDGX Exchange (CboeEDGX) and Cboe EDGA Exchange (CboeEDGA) ...... 2,000 Cboe Exchange (Cboe) and Cboe C2 Exchange (C2) ...... 2,000 CME Group ...... 3,000 Euronext Optiq Compressed Cash ...... 900 Euronext Optiq Compressed Derivatives ...... 600 Euronext Optiq Shaped Cash ...... 1,200 Euronext Optiq Shaped Derivatives ...... 900 Financial Industry Regulatory Authority (FINRA) ...... 500 Global OTC ...... 100 ICE Data Services Consolidated Feed ≤100 Mb ...... 200 ICE Data Services Consolidated Feed >100 Mb to ≤1 Gb ...... 500 ICE Data Services Consolidated Feed >1 Gb ...... 1,000 ICE Data Services Consolidated Feed Shared Farm ≤100Mb ...... 200 ICE Data Services Consolidated Feed Shared Farm >100 Mb to ≤1 Gb ...... 500 ICE Data Services Consolidated Feed Shared Farm >1 Gb ...... 1,000 ICE Data Services—ICE TMC ...... 200 ICE Data Services PRD ...... 200 ICE Data Services PRD CEP ...... 400 Intercontinental Exchange (ICE) ...... 1,500 Investors Exchange (IEX) ...... 1,000 ITG TriAct Matchnow ...... 1,000 Members Exchange (MEMX) ...... 3,000 MIAX Emerald ...... 3,500 MIAX Options/MIAX PEARL Options ...... 2,000 MIAX PEARL Equities ...... 2,500 Montre´al Exchange (MX) ...... 1,000 MSCI 5 Mb ...... 500 MSCI 25 Mb ...... 1,200 NASDAQ Stock Market ...... 2,000 NASDAQ OMX Global Index Data Service ...... 100 NASDAQ UQDF & UTDF ...... 500 NASDAQ Canada (CXC, CXD, CX2) ...... 1,500 NASDAQ ISE ...... 1,000 Neo Aequitas ...... 1,200 Omega ...... 1,000 OneChicago ...... 1,000 OTC Markets Group ...... 1,000 Vela—SuperFeed <500 Mb ...... 250 Vela—SuperFeed >500 Mb to <1.25 Gb ...... 800 Vela—SuperFeed >1.25 Gb ...... 1,000 TMX Group ...... 2,500 * See Note 3.

The Exchange proposes to add Note 3 3: Third Party Systems’’ and would Party Data Feeds) is for connectivity only. to the section of the Fee Schedule titled provide: Connectivity to Third Party Data Feeds is subject to any technical provisioning ‘‘D. Non-Colocation (‘‘NCL’’) Services.’’ Pricing for data feeds from third party Proposed Note 3 would be titled ‘‘Note markets and other service providers (Third requirements, authorization, and licensing

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from the provider of the data feed. Exchange proposes to specify in the Fee carry live production data, are available Connectivity to Third Party Data Feeds is Schedule that NCL Customers may over the IDS Network. over the IDS Network. Fees for Third Party obtain connectivity to third-party testing Data Feeds are charged by the provider of Connectivity to third party testing and such data feeds. Third Party Data Feed and certification feeds. Certification certification feeds would be subject to providers may charge redistribution fees. feeds are used to certify that an NCL any technical provisioning When IDS is charged a redistribution fee, IDS Customer conforms to any of the requirements, authorization, and passes the charge through to the customer, relevant content service provider’s licensing from the provider of the data without change to the fee. The fee is labeled requirements for accessing Third Party feed. Fees for such feeds are charged by as a pass-through of a redistribution fee on the customer’s invoice. IDS does not charge Systems or receiving Third Party Data the provider of the feed. The Exchange third party markets or content providers for Feeds, while testing feeds would is not the exclusive method to connect connectivity to their own feeds. IDS is not provide NCL Customers an environment to third-party testing and certification the exclusive method to connect to Third in which to conduct tests with non-live feeds. Party Data Feeds. data. Such feeds, which are solely used The Exchange proposes to add the Connectivity to Third Party Data for certification and testing and do not following fees and language to the Fee Testing and Certification Feeds: The Schedule:

Connectivity to Third Party Testing and Certification Feeds ...... $100 monthly recurring charge per feed. Connectivity to DTCC: The Exchange over its fiber optic network and, after not through the Exchange’s execution proposes to specify in the Fee Schedule DTCC and the NCL Customer entered system. services that IDS provides to connect into the services contract and IDS Connectivity to DTCC is subject to NCL Customers to Depository Trust & received authorization from DTCC, IDS any technical provisioning Clearing Corporation (‘‘DTCC’’) for provides connectivity to DTCC to the requirements, authorization, and clearing, fund transfer, insurance, and NCL Customer over the NCL Customer’s licensing from DTCC. Fees for such settlement services. IDS Network port. IDS charges the NCL feeds are charged by DTCC. IDS is not In order to connect to DTCC, an NCL Customer for the connectivity to DTCC. the exclusive provider to connect to Customer enters into a contract with Connectivity to DTCC does not DTCC feeds. DTCC, pursuant to which DTCC charges provide access or order entry to the The Exchange proposes to add the the NCL Customer for the services Exchange’s execution system, and an following fees and language to the Fee provided. IDS receives the DTCC feed NCL Customer’s connection to DTCC is Schedule:

CONNECTIVITY TO DTCC

Description Amount of charge

5 Mb connection to DTCC ...... $500 monthly recurring charge. 50 Mb connection to DTCC ...... $2,500 monthly recurring charge.

3. NCL NMS Network Ports currently offers enabling NCL The Exchange proposes to add the The Exchange proposes to amend the Customers to connect to the NMS following fees and language to the Fee Fee Schedule to add services that IDS Network in the Mahwah Data Center. Schedule:

NCL NMS NETWORK PORTS *

Type of service Description Amount of charge

The Exchange also proposes to add that it selects, subject to any necessary Customers for an initial and monthly Note 4 to the section of the Fee technical provisioning requirements, charge.10 A cross connect is used to Schedule titled ‘‘D. Non-Colocation authorization, and licensing from the connect a circuit to a port. NCL (‘‘NCL’’) Services,’’ to establish that, provider of such NMS feed. Fees for the NMS Customers use such cross connects to feeds are charged by the provider of such when an NCL Customer purchases an NMS feed. The NMS feeds are as follows: connect from the IDS Network or NMS NMS Network port, it has the option of NMS feeds Network to a circuit connecting outside receiving the NMS feeds over the NMS CTS the Mahwah Data Center. The Exchange Network. CQS Proposed Note 4 would be titled OPRA 10 Because NCL Customers do not co-locate any ‘‘Note 4: NMS Network’’ and would equipment in the Mahwah Data Center, they provide: 4. NCL Cross Connect generally require fewer fiber cross connects than colocation Users. Accordingly, the Exchange does When an NCL Customer purchases access The Exchange proposes to amend the not propose amending the Fee Schedule to include to the NMS Network, upon its request, it will Fee Schedule to specify fiber cross bundles of 6, 12, 18, or 24 cross connects as are receive connectivity to any of the NMS feeds connect services that IDS offers NCL available to colocation Users.

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proposes that the fees for this service The Exchange proposes to add the would be identical to the fees for the following fees and language to the Fee corresponding service in colocation. Schedule:

Type of service Description Amount of charge

NCL Cross Connect ...... Furnish and install one cross-connect ...... $500 initial charge plus $600 monthly charge.

Type of service Description Amount of charge

NCL Expedite Fee...... Expedited installation/completion of a cus- $4,000 per request. tomer’s NCL service.

Type of service Description Amount of charge

NCL Change Fee ...... Change to an NCL service that has already $950 per request. been installed/completed for a customer.

Fee Schedule Name expects that the impact of the proposed available to all market participants on a change would be minimal. non-discriminatory basis. In addition, the Exchange proposes to change the name of the ‘‘Wireless The proposed change is not targeted Competitive Environment Connectivity Fee Schedule’’ to at, or expected to be limited in ‘‘Connectivity Fee Schedule.’’ [sic] applicability to, a specific segment of IDS operates in a highly competitive Because the Fee Schedule will no longer market participant. The Mahwah market in which exchanges, third party be limited to wireless services, the Circuits are available for purchase for telecommunications providers, Hosting Exchange proposes to change the name any potential customer requiring a Users,13 and other third-party vendors of the Fee Schedule from ‘‘Wireless circuit between the Mahwah Data offer connectivity services as a means to Connectivity Fee Schedule’’ [sic] to Center and a remote location. The NCL facilitate the trading and other market ‘‘Mahwah Wireless, Circuits, and Non- Services are available for purchase by activities of market participants. The Colocation Connectivity Fee Schedule.’’ any customer. The proposed changes do Commission has repeatedly expressed not apply differently to distinct types or its preference for competition over Application and Impact of the Proposed sizes of customers. Rather, they apply to regulatory intervention in determining Changes all customers equally. prices, products, and services in the There are currently few NCL Use of the services proposed in this securities markets. Specifically, in Customers. Accordingly, the Exchange filing are completely voluntary and Regulation NMS, the Commission

11 See Securities Exchange Act Release No. 67669 12 See id. to act as Hosting Users for a monthly fee. See (August 15, 2012), 77 FR 50746 (August 22, 2012) 13 ‘‘Hosting’’ is a service offered by a User to Securities Exchange Act Release No. 76010 (SR–NYSEArca–2012–62) and No. 67667 (August another entity In the User’s space within the (September 29, 2015), 80 FR 60197 (October 5, 15, 2012), 77 FR 50743 (August 22, 2012) (SR– Mahwah Data Center. The Exchange allows Users 2015) (SR–NYSEArca–2015–82). NYSEArca–2012–63).

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highlighted the importance of market in this filing are available to all market party vendor, (d) a Hosting User, or (e) forces in determining prices and SRO participants on an equal basis (i.e., the colocation. revenues and, also, recognized that same products and services are available Market participants consider various current regulation of the market system to all market participants). All market factors in determining which ‘‘has been remarkably successful in participants that voluntarily select a connectivity options to choose, promoting market competition in its specific proposed IDS service would be including latency; bandwidth size; broader forms that are most important to charged the same amount for that amount of network uptime; the investors and listed companies.’’ 14 service as all other market participants equipment that the network uses; the The proposed changes are not purchasing that service. cost of the connection; and the otherwise intended to address any other In addition, the Exchange believes applicable contractual provisions. IDS’s issues relating to services related to the that the proposed rule change is offering of connectivity services via IDS Mahwah Data Center and/or related reasonable because the IDS services Network ports gives market participants fees, and the Exchange is not aware of described herein are offered as a another service to evaluate and any problems that market participants convenience to market participants, but consider, thereby broadening their would have in complying with the offering them requires the provision, options for connectivity to the Exchange proposed change. maintenance, and operation of the Systems and allowing them to tailor Mahwah Data Center, including the their connectivity options to their 2. Statutory Basis installation, monitoring, support, and specific needs. The Exchange believes that the maintenance of the services. The Exchange further believes that the proposed rule change is consistent with Mahwah Circuits: The Exchange proposed fees for IDS Network ports for Section 6(b) of the Act,15 in general, and believes the fees proposed herein for NCL Customers are reasonable because furthers the objectives of Section 6(b)(5) IDS’s Mahwah Circuits are reasonable. such prices are constrained by of the Act,16 in particular, because it is The market for circuits into and out of competition with the numerous other designed to prevent fraudulent and the Mahwah Data Center is competitive, providers that offer connectivity to the manipulative acts and practices, to and the proposed IDS offerings are Exchange Systems. If IDS were to promote just and equitable principles of merely one of several options from attempt to offer such ports at a supra- trade, to foster cooperation and which market participants can choose. competitive price, potential customers coordination with persons engaged in Each of the third-party would likely respond by seeking out regulating, clearing, settling, processing telecommunications providers that has a less expensive substitutes from other information with respect to, and presence in the Mahwah Data Center’s providers. facilitating transactions in securities, to ‘‘Meet Me Rooms’’ offers similar circuits NCL NMS Network Ports: The remove impediments to and perfect the to market participants, in competition Exchange believes that the proposed mechanism of a free and open market with the IDS offerings proposed here. fees for NMS Network ports for NCL and a national market system, and, in Each market participant considering Customers are reasonable to recoup the general, to protect investors and the whether to purchase a circuit directly costs of building the NMS Network. public interest and because it is not can weigh that option against similar Until 2019, SIAC was required to designed to permit unfair circuits offered by those third-party provide connectivity to the NMS feeds discrimination between customers, carriers, and can choose which circuit to only via the IP network. Although the issuers, brokers, or dealers. The purchase based on which combination operating committees for the CTA/CQ Exchange further believes that the of latency, bandwidth, price, and other Plans authorized SIAC to offer proposed rule change is consistent with factors best meets its business needs. connectivity to the NMS feeds in the Section 6(b)(4) of the Act,17 because it Indeed, the Exchange understands that Mahwah Data Center via an alternate, provides for the equitable allocation of most of the third-party dedicated, low-latency NMS Network, reasonable dues, fees, and other charges telecommunications providers that the operating committee did not assume among its members and issuers and provide circuits do so at fees lower than the costs of creating such a network; other persons using its facilities and those proposed herein, and that most instead, the Exchange and the Affiliate does not unfairly discriminate between NCL Customers and colocation Users SROs funded the capital and operational customers, issuers, brokers, or dealers. use such third party telecommunication expenses to build and operate the NMS Network. The implementation costs of The Proposed Change Is Reasonable circuits into and out of the Mahwah Data Center. approximately $3.8 million are The Exchange believes that the IDS Network Ports: The Exchange applicable only to the NMS Network, proposed rule change is reasonable and believes that the IDS Network ports which is used for the sole purpose of would perfect the mechanisms of a free proposed herein are reasonable. The providing access to the NMS feeds. and open market and a national market market for connecting with the None of the implementation costs are system and, in general, protect investors Exchange’s trading and execution applicable to any other Exchange and the public interest, for the following systems is competitive, and the services. As of the date of this filing, reasons. proposed IDS Network ports that IDS only one customer has contracted with General: Only the market participants provides are merely one of several IDS for an NCL NMS Network port, and that voluntarily select to receive the IDS options that market participants may the Exchange expects that demand for services described herein are charged choose. As alternatives to the IDS NMS Network ports outside of for them, and those services are Network ports, a market participant colocation will be very low. The service available to all market participants. would be able to access or connect to is nevertheless available, and so the Furthermore, the IDS services described Exchange Systems, Third Party Systems, Exchange proposes to add it to the Fee Included Data Products, Third Party Schedule. 14 See Securities Exchange Act Release No. 51808 Data Feeds, third party testing and NCL Notes: With respect to proposed (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005) (‘‘Regulation NMS Adopting Release’’). certification feeds, and DTCC through NCL Notes 1, 2, 3, and 4, the Exchange 15 15 U.S.C. 78f(b). (a) a connection to an IDS access center believes they are reasonable because 16 15 U.S.C. 78f(b)(5). outside of the Mahwah Data Center, (b) they provide detailed descriptions of the 17 15 U.S.C. 78f(b)(4). a third-party access center, (c) a third- access and connectivity that NCL

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Customers receive when they purchase the connectivity provider that offers the connectivity to a Third Party Data Feed IDS Network or NMS Network ports. services the market participant needs at by seeing the individual components of Such detailed descriptions remove the optimal cost. As such, the proposed the cost, i.e., IDS’s fee and redistribution impediments to, and perfect the fees for these IDS services are fee. mechanisms of, a free and open market constrained by competition. The Exchange believes that it is and a national market system and, in The Exchange believes that charging reasonable to not charge third-party general, protect investors and the public distinct fees for different NCL Services markets or content providers for interest because they provide market is reasonable because not all market connectivity to their own Third Party participants with transparency and participants need or wish to utilize the Data Feeds, as the Exchange clarity as to what connectivity is same NCL Services. The proposed understands that such parties generally included in the purchase of IDS choice of services allows market receive their own feeds for purposes of Network or NMS Network ports by NCL participants to select which NCL diagnostics and testing. The Exchange Customers.18 The notes would also Services to use, based on their business believes that facilitating such make clear that all NCL Customers that needs, and market participants are only diagnostics and testing removes voluntarily select to access the IDS charged for the services that they select. impediments to, and perfects the Network or NMS Network receive the By charging only those market mechanisms of, a free and open market same access and connectivity, and are participants that utilize an NCL Service and a national market system and, in not subject to a charge above and the related fee, those market general, protects investors and the beyond the fee paid for the relevant IDS participants that directly benefit from a public interest. Network or NMS Network ports. The service support its cost. Finally, the Exchange believes it is notes further make clear that NCL In addition, the Exchange believes reasonable to make available third party Customers are not required to use any that the proposed fees are reasonable testing and certification feeds to enable of their bandwidth to access Exchange because they allow the costs associated customers to test and certify their systems or connect to an Included Data with offering different NCL Services to connections to third party data feeds. be defrayed or covered while providing Product unless they wish to do so; The Proposed Change Is Equitable rather, an NCL Customer only receives market participants the benefit of such The Exchange believes that its the access and connectivity that it services. The Exchange believes that the proposal equitably allocates its fees selects, and can change what access or proposed charges are reasonable because IDS offers NCL Services as among market participants. connectivity it receives at any time, The Exchange believes that the subject to authorization from the data conveniences to market participants, but in order to do so must provide, proposed change is equitable because it provider or the relevant Exchange or would not apply differently to distinct Affiliate SRO.19 Notes 1, 2, 3, and 4 are maintain, and operate the Mahwah Data Center facility hardware and technology types or sizes of market participants. all based on similar provisions in the Rather, it would apply to all NCL Exchange’s Price List for colocation. infrastructure. IDS needs to provide network infrastructure that keeps pace Customers equally. Other NCL Services: The Exchange In addition, the Exchange believes believes it is reasonable to specify in the with the number of services available to NCL Customers, including any that the proposal is equitable because Fee Schedule NCL Services that IDS only the market participants that offers including NCL cross connects, the increasing demand for bandwidth, and handle the installation, administration, voluntarily select to receive the services NCL Expedite Fee, the NCL Change Fee, described herein would be charged for and NCL connectivity to Third Party monitoring, support, and maintenance of such services, including by them. The services described in this Systems, Third Party Data Feeds, third- filing are available to all market party testing and certification feeds, and responding to any production issues. In addition, in order to provide participants on an equal basis (i.e., the DTCC. same products and services are available The Exchange believes that the connectivity to Third Party Data Feeds, to all market participants), and all specific fees it has proposed for NCL Third Party Systems, third party testing market participants that voluntarily cross connects, the NCL Expedite Fee, and certification feeds, and DTCC, IDS select a specific proposed service are and the NCL Change Fee are reasonable. must establish and maintain multiple charged the same amount for that As noted above, IDS faces competition connections to each Third Party Data service as all other market participants in the market for connectivity from Feed, Third Party System, and DTCC, purchasing that service. Hosting Users, IDS access centers allowing IDS to provide resilient and redundant connections, adapt to any IDS faces competition from numerous outside of the Mahwah Data Center, other providers that offer market third-party access centers, and third- changes made by the relevant third party, and cover any applicable fees participants choices for connectivity to party vendors. Market participants can the Mahwah Data Center, Exchange consider IDS’s proposed fees for the (other than redistribution fees) charged by the relevant third party, such as port Systems, Third Party Systems, Included specific services listed above in the Data Products, Third Party Data Feeds, context of this competition, and choose fees. The Exchange believes it is reasonable third party testing and certification for redistribution fees charged by feeds, and DTCC. Without this proposed 18 See Securities Exchange Act Release Nos. 79730 (January 4, 2017), 82 FR 3045 (January 10, providers of Third Party Data Feeds to rule change, market participants seeking 2017) (SR–NYSE–2016–92); 79728 (January 4, be passed through to NCL Customers, such connectivity would have fewer 2017), 82 FR 3035 (January 10, 2017) (SR– without change to the fee. If not passed options. With this proposal, market NYSEMKT–2016–126); 79729 (January 4, 2017), 82 through, the cost of the redistribution participants would have more choices FR 3061 (January 10, 2017) (SR–NYSEArca–2016– 172). fees would be factored into the with respect to the form and price of the 19 The General Note on page 1 of the Fee proposed fees for connectivity to Third services they use, allowing market Schedule would also apply to all of the services Party Data Feeds. The Exchange believes participants to select the services and proposed herein. A market participant that incurs that passing through the fees makes connectivity options that better suit fees for NCL connectivity or other NCL Services from the Exchange or one of the Affiliate SROs them more transparent to the NCL their needs, thereby helping them tailor would not be subject to fees for the same service Customer, allowing the NCL Customer their connectivity operations to the charged by the other Affiliate SROs. to better assess the cost of the requirements of their businesses.

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The Exchange believes that the exchanges or among members of the (B) institute proceedings to determine proposed NCL Notes 1 and 4 are Exchange, but rather between IDS and whether the proposed rule change equitable because they specify that NCL its commercial competitors. should be disapproved. Customers that voluntarily select to As noted above, the Exchange is IV. Solicitation of Comments access the IDS Network or NMS making the current proposal solely as a Network would not be subject to charges result of the Commission’s recent Interested persons are invited to above and beyond the fee paid for the interpretation of the definitions of submit written data, views, and relevant IDS Network or NMS Network ‘‘exchange’’ and ‘‘facility’’ in the arguments concerning the foregoing, port. Further, Notes 1, 2, 3, and 4 Wireless Approval Order, which the including whether the proposed rule specify that NCL Customers will not be Exchange is presently challenging on change is consistent with the Act. charged for any access or connectivity appeal to the Court of Appeals for the Comments may be submitted by any of that they had not selected. District of Columbia Circuit.21 The the following methods: Exchange has nevertheless proposed The Proposed Change Is Not Unfairly this rule change in order to preserve the Electronic Comments Discriminatory ability of IDS to offer the services at • Use the Commission’s internet The Exchange believes its proposal is issue herein. If IDS were compelled to comment form (http://www.sec.gov/ not unfairly discriminatory. The stop offering such services, consumers rules/sro.shtml); or proposed change does not apply would have fewer service providers to • Send an email to rule-comments@ differently to distinct types or sizes of choose from for their connectivity sec.gov. Please include File Number SR– market participants. Rather, it applies to needs, which would be a detriment to NYSEArca–2021–13 on the subject line. all market participants equally. The competition overall. purchase of any proposed service is Notwithstanding the foregoing, the Paper Comments completely voluntarily and the Fee Exchange notes that there are numerous • Schedule will be applied uniformly to other third parties that provide circuits Send paper comments in triplicate all market participants. and connectivity at the Mahwah Data to Secretary, Securities and Exchange IDS faces competition from numerous Center, and that IDS competes with Commission, 100 F Street NE, other providers that offer market those third parties for the provision of Washington, DC 20549–1090. participants choices for connectivity to such services to customers. None of All submissions should refer to File the Mahwah Data Center, Exchange these third parties have been compelled Number SR–NYSEArca–2021–13. This Systems, Third Party Systems, Included to file their services or fees with the file number should be included on the Data Products, Third Party Data Feeds, Commission, and requiring IDS to do so subject line if email is used. To help the third party testing and certification puts IDS at a competitive disadvantage Commission process and review your feeds, and DTCC. Without this proposed vis-a`-vis its competitors. Requiring the comments more efficiently, please use rule change, market participants seeking Exchange to file IDS services and fees only one method. The Commission will such connectivity would have fewer herein is therefore a burden on post all comments on the Commission’s options. With this proposal, market competition. internet website (http://www.sec.gov/ participants would have more choices The Exchange believes competition rules/sro.shtml). Copies of the with respect to the form and price of the would be best served by allowing IDS to submission, all subsequent services they use, allowing market freely compete with the other providers amendments, all written statements participants to select the services and of connectivity services, without the with respect to the proposed rule connectivity options that better suit additional burden on IDS alone to file change that are filed with the their needs, thereby helping them tailor any proposed changes to services and Commission, and all written their connectivity operations to the fees with the Commission. communications relating to the requirements of their businesses. C. Self-Regulatory Organization’s proposed rule change between the The Exchange believes that the Statement on Comments on the Commission and any person, other than proposed NCL Notes 1 and 4 are not be Proposed Rule Change Received From those that may be withheld from the unfairly discriminatory because they Members, Participants, or Others public in accordance with the specify that NCL Customers that provisions of 5 U.S.C. 552, will be voluntarily select to access the IDS No written comments were solicited available for website viewing and Network or NMS Network are not be or received with respect to the proposed printing in the Commission’s Public subject to charges above and beyond the rule change. Reference Room, 100 F Street NE, fee paid for the relevant IDS Network or III. Date of Effectiveness of the Washington, DC 20549, on official NMS Network port. Further, Notes 1, 2, Proposed Rule Change and Timing for business days between the hours of 3, and 4 specify that NCL Customers Commission Action 10:00 a.m. and 3:00 p.m. Copies of the will not be charged for any access or filing also will be available for Within 45 days of the date of connectivity that they had not inspection and copying at the principal publication of this notice in the Federal selected.20 office of the Exchange. All comments Register, or such longer period up to 90 For these reasons, the Exchange received will be posted without change. days (i) as the Commission may believes that the proposal is consistent Persons submitting comments are designate if it finds such longer period with the Act. cautioned that we do not redact or edit to be appropriate and publishes its personal identifying information from B. Self-Regulatory Organization’s reasons for so finding or (ii) as to which comment submissions. You should Statement on Burden on Competition the self-regulatory organization submit only information that you wish consents, the Commission will: The proposed change does not affect to make available publicly. All (A) By order approve or disapprove competition among national securities submissions should refer to File the proposed rule change, or Number SR–NYSEArca–2021–13, and 20 In addition, the General Note on page 1 of the Fee Schedule would apply to all of the services 21 Intercontinental Exchange, Inc. v. SEC, No. 20– should be submitted on or before March proposed herein. See supra note 19. 1470 (D.C. Cir. 2020). 25, 2021.

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For the Commission, by the Division of statements concerning the purpose of, expressed in the Wireless Approval Trading and Markets, pursuant to delegated and basis for, the proposed rule change Order, in the Court of Appeals for the 22 authority. and discussed any comments it received District of Columbia Circuit.7 Pending J. Matthew DeLesDernier, on the proposed rule change. The text resolution of such appeal, however, the Assistant Secretary. of those statements may be examined at Exchange is making this proposal in [FR Doc. 2021–04423 Filed 3–3–21; 8:45 am] the places specified in Item IV below. recognition that the Commission’s BILLING CODE 8011–01–P The Exchange has prepared summaries, current interpretation brings certain set forth in sections A, B, and C below, offerings of the Exchange’s affiliates into of the most significant parts of such the scope of the terms ‘‘exchange’’ or SECURITIES AND EXCHANGE statements. ‘‘facility.’’ COMMISSION A. Self-Regulatory Organization’s The Exchange expects the proposed [Release No. 34–91218; File No. SR– Statement of the Purpose of, and change to be operative 60 days after the NYSEAMER–2021–10] Statutory Basis for, the Proposed Rule present filing becomes effective. Self-Regulatory Organizations; NYSE Change Mahwah Circuits American LLC; Notice of Filing of 1. Purpose Customers can connect into and out of Proposed Rule Change To Amend the The Exchange proposes to amend the the Mahwah Data Center using either Schedule of Wireless Connectivity Fee Schedule to add services (‘‘NCL wireless connections or wired fiber Fees and Charges To Add Circuits for Services’’) and related fees available to optic circuits. Both IDS and numerous Connectivity Into and Out of the Data customers of the Mahwah Data Center third-party telecommunications service Center in Mahwah, New Jersey that are not colocation Users (‘‘NCL providers offer wired circuits into and February 26, 2021. Customers’’),4 as well as circuits into out of the Mahwah Data Center. The Pursuant to Section 19(b)(1) 1of the and out of the Mahwah Data Center that circuits that IDS offers are described Securities Exchange Act of 1934 are available to both colocation Users below. Such IDS circuits are available to (‘‘Act’’),2 and Rule 19b–4 thereunder,3 and NCL Customers. In addition, in a all colocation Users and NCL notice is hereby given that on February conforming change, because the Fee Customers, but such customers are not 12, 2021, NYSE American LLC (‘‘NYSE Schedule would no longer be limited to obligated to use them; rather, both American’’ or ‘‘Exchange’’) filed with wireless services, the Exchange colocation Users and NCL Customers the Securities and Exchange proposes to change the name of the Fee may instead choose to contract directly Commission (‘‘Commission’’) the Schedule from ‘‘Wireless Connectivity with third-party telecom carriers for proposed rule change as described in Fee Schedule’’ to ‘‘Mahwah Wireless, circuits into and out of the Mahwah Items I and II below, which Items have Circuits, and Non-Colocation Data Center. been prepared by the Exchange. The Connectivity Fee Schedule.’’ 5 The Exchange proposes to add to the Commission is publishing this notice to The Exchange makes the current Fee Schedule the circuit options offered solicit comments on the proposed rule proposal solely as a result of its by IDS to both colocation Users and change from interested persons. determination that the Commission’s NCL Customers to connect into and out recent interpretations of the Act’s of the Mahwah Data Center. I. Self-Regulatory Organization’s definitions of the terms ‘‘exchange’’ and Specifically, the Exchange proposes to Statement of the Terms of Substance of ‘‘facility,’’ as expressed in the Wireless amend the Fee Schedule to add two the Proposed Rule Change Approval Order,6 apply to connectivity different types of circuits, each available The Exchange proposes to amend the services described herein that are in three different sizes, under the new schedule of Wireless Connectivity Fees offered by entities other than the heading ‘‘C. Mahwah Circuits.’’ and Charges (the ‘‘Fee Schedule’’) to (1) Exchange. The Exchange disagrees with First, the Exchange proposes to add circuits for connectivity into and the Commission’s interpretations, amend the Fee Schedule to add ‘‘Optic out of the data center in Mahwah, New denies the services covered herein (and Access’’ circuits, which are circuits that Jersey (the ‘‘Mahwah Data Center’’); (2) in the Wireless Approval Order) are IDS operates and that customers can use add services available to customers of offerings of an ‘‘exchange’’ or a to connect between the Mahwah Data the Mahwah Data Center that are not ‘‘facility’’ thereof, and has sought review Center and IDS access centers at the colocation Users; and (3) change the of the Commission’s interpretations, as following six third-party owned data name of the Fee Schedule to ‘‘Mahwah centers: (1) 111 Eighth Avenue, New Wireless, Circuits, and Non-Colocation 4 For purposes of the Exchange’s colocation York, NY; (2) 32 Avenue of the Connectivity Fee Schedule.’’ The services, a ‘‘User’’ means any market participant Americas, New York, NY; (3) 165 proposed rule change is available on the that requests to receive colocation services directly Halsey, Newark, NJ; (4) Secaucus, NJ Exchange’s website at www.nyse.com, at from the Exchange. See Securities Exchange Act Release No. 76009 (September 29, 2015), 80 FR (the ‘‘Secaucus Access Center’’); (5) the principal office of the Exchange, and 60213 (October 5, 2015) (SR–NYSEMKT–2015–67). Carteret, NJ (the ‘‘Carteret Access at the Commission’s Public Reference 5 Each of the Exchange’s affiliates (New York Center’’); and (6) Weehawken, NJ. Optic Room. Stock Exchange LLC, NYSE Arca, Inc., NYSE Access circuits are available in 1 Gb, 10 Chicago, Inc., and NYSE National, Inc.) (the II. Self-Regulatory Organization’s ‘‘Affiliate SROs’’) has submitted substantially the Gb, and 40 Gb sizes. Statement of the Purpose of, and same proposed rule change to propose the changes Second, the Exchange proposes to Statutory Basis for, the Proposed Rule described herein. See SR–NYSE–2021–14, SR– amend the Fee Schedule to add lower- NYSEArca–2021–13, SR–NYSECHX–2021–03, and Change SR–NYSENAT–2021–04. latency Optic Low Latency circuits that In its filing with the Commission, the 6 See Securities Exchange Act Release No. 90209 IDS operates and that customers can use self-regulatory organization included (October 15, 2020), 85 FR 67044 (October 21, 2020) to connect between the Mahwah Data (SR–NYSE–2020–05, SR–NYSEAMER–2020–05, Center and IDS’s Secaucus Access SR–NYSEArca-2020–08, SR–NYSECHX–2020–02, 22 Center or Carteret Access Center. Optic 17 CFR 200.30–3(a)(12). SR–NYSENAT–2020–03, SR–NYSE–2020–11, SR– 1 15 U.S.C. 78s(b)(1). NYSEAMER–2020–10, SR–NYSEArca-2020–15, 2 15 U.S.C. 78a. SR–NYSECHX–2020–05, SR–NYSENAT–2020–08) 7 Intercontinental Exchange, Inc. v. SEC, No. 20– 3 17 CFR 240.19b–4. (‘‘Wireless Approval Order’’). 1470 (D.C. Cir. 2020).

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Low Latency circuits are available in 1 The Exchange proposes to add the Gb, 10 Gb, and 40 Gb sizes. following chart to the Fee Schedule to include these circuits, as follows:

Type of service Amount of charge

Non-Colocation Services available in the Mahwah Data Center and to request services subject to an and other access centers—and ports to ‘‘Expedite Fee’’ or ‘‘Change Fee.’’ The Exchange proposes to amend the a dedicated network to access the NMS Fee Schedule to add several services feeds for which the Securities Industry 1. IDS Network Ports available to NCL Customers as well as Automation Corporation is engaged as several notes, under the new heading The Exchange proposes to amend the the securities information processor (the Fee Schedule to add services that IDS ‘‘D. Non-Colocation (‘‘NCL’’) Services.’’ ‘‘NMS Network’’).8 The Fee Schedule offers enabling NCL Customers to These are the services that IDS offers would also specify the data products connect to the IDS Network in the within the Mahwah Data Center that are and data feeds to which an NCL not colocation services. The Exchange Customer could connect via these ports. Mahwah Data Center. proposes to amend the Fee Schedule to The Exchange also proposes to amend The Exchange proposes to add the add services that include ports to the the Fee Schedule to enable NCL following fees and language to the Fee IDS Network—a wide area network Customers to purchase cross connects Schedule:

IDS network ports (see note 1) Type of service Description Amount of charge

NCL IDS Network Access—10 Gb 10 Gb IDS Network port ...... $10,000 initial charge plus $15,250 monthly charge. NCL IDS Network Access—40 Gb 40 Gb IDS Network port ...... $10,000 initial charge plus $19,750 monthly charge.

The Exchange also proposes to add to access the trading and execution systems of Network to connect to such Included Data the Fee Schedule several notes the NYSE, NYSE American, NYSE Arca, Products. The Included Data Products are as regarding these services that are based NYSE Chicago, and NYSE National (together, follows: on General Notes 4, 5, and 6 of the the Exchange Systems) as well as of Global NMS feeds OTC (the Global OTC System), subject, in CTS Exchange’s Price List regarding each case, to authorization by the NYSE, CQS colocation. NYSE American, NYSE Arca, NYSE Chicago, Specifically, the Exchange proposes to NYSE National, or Global OTC, as applicable. OPRA add the heading ‘‘NCL Notes’’ after the Each Exchange listed above offers access to NYSE tables in the proposed section of the Fee its Exchange Systems to its members and NYSE American Global OTC offers access to the Global OTC NYSE American Options Schedule titled ‘‘D. Non-Colocation NYSE Arca (‘‘NCL’’) Services.’’ Note 1 would System to its subscribers, such that an NCL Customer does not have to purchase a service NYSE Arca Options establish that when an NCL Customer that includes access to the IDS Network to NYSE Best Quote and Trades (BQT) purchases access to the IDS Network, obtain access to Exchange Systems or the NYSE Bonds the NCL Customer would receive (a) the Global OTC System. When an NCL Customer NYSE Chicago ability to access the trading and purchases access to the IDS Network, it NYSE National execution systems of the Exchange and receives connectivity to any of the Included 2. NCL Connectivity to Third Party Affiliate SROs (‘‘Exchange Systems’’) as Data Products that it selects, subject to any Systems, Data Feeds, Testing and well as of the Global OTC System necessary technical provisioning requirements, authorization, and licensing by Certification Feeds, and DTCC (‘‘Global OTC’’), and (b) connectivity to the provider of the Included Data Feed. Fees any of the listed data products for the Included Data Products are charged by The Exchange also proposes to amend (‘‘Included Data Products’’) that it the provider of such Included Data Products. the Fee Schedule to provide for the selects. References in the proposed Fee An NCL Customer can change the Included connectivity services that IDS offers for Schedule would refer customers to the Data Products to which it receives NCL Customers to Third Party Systems, applicable note. connectivity at any time, subject to Third Party Data Feeds, third party Proposed Note 1 would be titled authorization from the provider of such testing and certification feeds, and ‘‘Note 1: IDS Network’’ and would Included Data Product. Because access to the IDS Network is not the exclusive method to DTCC. The Exchange proposes to adopt provide: connect to the Included Data Products, an substantially similar services and fees as When an NCL Customer purchases access NCL Customer does not have to purchase a set forth in the Exchange’s Price List to the IDS Network, it receives the ability to service that includes access to the IDS regarding colocation.9

8 See Securities Exchange Act Release Nos. 88837 (‘‘NMS Network Approval Order’’) and 88972 (May 9 See Securities Exchange Act Release No. 80390 (May 7, 2020), 85 FR 28671 (May 13, 2020) (SR– 29, 2020), 85 FR 34472 (June 4, 2020) (‘‘NYSE (March 24, 2017), 82 FR 15725 (March 30, 2017) NYSE–2019–46, SR–NYSEAMER–2019–34, SR– Chicago NMS Network Approval Order’’). (SR–NYSEMKT–2016–63). NYSEArca–2019–61, SR–NYSENAT–2019–19)

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Connectivity to Third Party Systems: between the NCL Customer and the order entry to the Exchange’s execution The Exchange proposes to specify in the relevant third party content service system, and an NCL Customer’s Fee Schedule services that IDS offers provider over the IDS Network. IDS connection to a Third Party System is NCL Customers to access the trading charges the NCL Customer for the not through the Exchange’s execution and execution services of Third Party connectivity to the Third Party System. system. markets and other content service An NCL Customer only receives, and is IDS charges a monthly recurring fee providers (‘‘Third Party Systems’’) for a only charged by IDS for, connectivity to for connectivity to a Third Party System, fee. NCL Customers connect to Third each Third Party System for which the which the Exchange proposes to add to Party Systems over the IDS Network. customer enters into an agreement with its Fee Schedule. Specifically, when an In order to obtain access to a Third the third-party content service provider. Party System, an NCL Customer enters Neither the Exchange nor IDS has an NCL Customer requests access to a into an agreement with the relevant affiliation with the providers of the Third Party System, IDS identifies the third-party content service provider, Third Party Systems. Establishing an applicable third-party market or other pursuant to which the third-party NCL Customer’s access to a Third Party content service provider and the content service provider charges the System does not give either IDS or the bandwidth connection it requires. NCL Customer for access to the Third Exchange any right to use the Third The Exchange proposes to add the Party System. When such services are Party Systems. Connectivity to a Third following fees and language to the Fee requested, IDS establishes a connection Party System does not provide access or Schedule:

Connectivity to third party systems over IDS network (see note 2) Description Amount of charge

The Exchange proposes to add Note 2 Long Term Stock Exchange (LTSE) Customer for the Third Party Data Feed. to the section of the Fee Schedule titled Members Exchange (MEMX) IDS receives the Third Party Data Feed ‘‘D. Non-Colocation (‘‘NCL’’) Services.’’ MIAX Options, MIAX PEARL Options, MIAX over its fiber optic network and, after Proposed Note 2 would be titled ‘‘Note PEARL Equities, and MIAX Emerald the data provider and NCL Customer Morgan Stanley 2: Third Party Systems’’ and would Nasdaq enter into an agreement and IDS provide: NASDAQ Canada (CXC, CXD, CX2) receives authorization from the data When an NCL Customer purchases a NASDAQ ISE provider, IDS retransmits the data to the connection that includes access to Third Neo Aequitas NCL Customer over the NCL Customer’s Party Systems, it receives access to Third NYFIX Marketplace IDS Network port. IDS charges the NCL Party Systems it selects subject to any Omega Customer for the connectivity to the technical provisioning requirements, OneChicago Third Party Data Feed. An NCL authorization, and licensing from such Third OTC Markets Group Customer only receives, and is only Party System. Fees for the Third Party TD Ameritrade charged for, connectivity to the Third Systems are charged by the provider of such TMX Group Party Data Feeds for which it entered Third Party System. The Exchange is not the Connectivity to Third Party Data exclusive method to connect to Third Party into contracts. Systems. The Third Party Systems are as Feeds: The Exchange proposes to With the exception of the ICE Data follows: specify in the Fee Schedule connectivity Services, ICE, and Global OTC feeds, services that IDS offers NCL Customers neither the Exchange nor IDS has any Third Party Systems to connect to data feeds from third-party affiliation with the sellers of the Third Americas Trading Group (ATG) markets and other content service Party Data Feeds. The Exchange and IDS BM&F Bovespa providers (‘‘Third Party Data Feeds’’) for have no right to use the Third Party Data Boston Options Exchange (BOX) a fee. IDS receives Third Party Data Canadian Securities Exchange (CSE) Feeds other than as a redistributor of the Cboe BYX Exchange (CboeBYX), Cboe BZX Feeds from multiple national securities data. The Third Party Data Feeds do not Exchange (CboeBZX), Cboe EDGA exchanges and other content service provide access or order entry to the Exchange (CboeEDGA), and Cboe EDGX providers at the Mahwah Data Center. Exchange’s execution system. With the Exchange (CboeEDGX) IDS provides connectivity to that data to exception of the ICE feed, the Third Cboe Exchange (Cboe) and Cboe C2 Exchange NCL Customers for a fee. NCL Party Data Feeds do not provide access (C2) Customers connect to Third Party Data or order entry to the execution systems Chicago Mercantile Exchange (CME Group) Feeds over the IDS Network. of the third party generating the feed. Credit Suisse In order to connect to a Third Party Euronext Optiq Cash and Derivatives Unicast IDS receives Third Party Data Feeds via (EUA) Data Feed, an NCL Customer enters into arms-length agreements and has no Euronext Optiq Cash and Derivatives Unicast a contract with the relevant third-party inherent advantage over any other (Production) market or other content service distributor of such data. Investors Exchange (IEX) provider, pursuant to which the content IDS charges a monthly recurring fee ITG TriAct Matchnow service provider charges the NCL for connectivity to each Third Party

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Data Feed. The monthly recurring fee is Third Party Data Feed providers may The Exchange proposes that it would per Third Party Data Feed, with the charge redistribution fees. The Exchange not charge NCL Customers that are exception that the monthly recurring fee proposes that, when IDS is charged a third-party markets or content providers for the ICE Data Services Consolidated redistribution fee by the Third Party for connectivity to their own feeds, as it Feeds (including the ICE Data Services Data Feed provider, IDS would pass understands that such parties generally Consolidated Feed Shared Farm feeds), through the charge to the NCL receive their own feeds for purposes of Vela—SuperFeeds, and MSCI feeds vary Customer, without change to the fee. diagnostics and testing. by the bandwidth of the connection. The fee would be labeled as a pass- The Exchange proposes to add the Depending on its needs and bandwidth, through of a redistribution fee on the an NCL Customer may opt to receive all following fees and language to the Fee NCL Customer’s invoice. or some of the Third Party Data Feeds. Schedule:

Connectivity to third party data feeds over the IDS network (see note 3) Description Monthly charge

BM&F Bovespa ...... $3,000 Boston Options Exchange (BOX) ...... 1,000 Canadian Securities Exchange (CSE) ...... 1,000 Cboe BZX Exchange (CboeBZX) and Cboe BYX Exchange (CboeBYX) ...... 2,000 Cboe EDGX Exchange (CboeEDGX) and Cboe EDGA Exchange (CboeEDGA) ...... 2,000 Cboe Exchange (Cboe) and Cboe C2 Exchange (C2) ...... 2,000 CME Group ...... 3,000 Euronext Optiq Compressed Cash ...... 900 Euronext Optiq Compressed Derivatives ...... 600 Euronext Optiq Shaped Cash ...... 1,200 Euronext Optiq Shaped Derivatives ...... 900 Financial Industry Regulatory Authority (FINRA) ...... 500 Global OTC ...... 100 ICE Data Services Consolidated Feed ≤ 100 Mb ...... 200 ICE Data Services Consolidated Feed > 100 Mb to ≤1 Gb ...... 500 ICE Data Services Consolidated Feed > 1 Gb ...... 1,000 ICE Data Services Consolidated Feed Shared Farm ≤ 100Mb ...... 200 ICE Data Services Consolidated Feed Shared Farm > 100 Mb to ≤ 1 Gb ...... 500 ICE Data Services Consolidated Feed Shared Farm > 1 Gb ...... 1,000 ICE Data Services—ICE TMC ...... 200 ICE Data Services PRD ...... 200 ICE Data Services PRD CEP ...... 400 Intercontinental Exchange (ICE) ...... 1,500 Investors Exchange (IEX) ...... 1,000 ITG TriAct Matchnow ...... 1,000 Members Exchange (MEMX) ...... 3,000 MIAX Emerald ...... 3,500 MIAX Options/MIAX PEARL Options ...... 2,000 MIAX PEARL Equities ...... 2,500 Montre´al Exchange (MX) ...... 1,000 MSCI 5 Mb ...... 500 MSCI 25 Mb ...... 1,200 NASDAQ Stock Market ...... 2,000 NASDAQ OMX Global Index Data Service ...... 100 NASDAQ UQDF & UTDF ...... 500 NASDAQ Canada (CXC, CXD, CX2) ...... 1,500 NASDAQ ISE ...... 1,000 Neo Aequitas ...... 1,200 Omega ...... 1,000 OneChicago ...... 1,000 OTC Markets Group ...... 1,000 Vela—SuperFeed <500 Mb ...... 250 Vela—SuperFeed >500 Mb to <1.25 Gb ...... 800 Vela—SuperFeed >1.25 Gb ...... 1,000 TMX Group ...... 2,500

The Exchange proposes to add Note 3 Connectivity to Third Party Data Feeds is passes the charge through to the customer, to the section of the Fee Schedule titled subject to any technical provisioning without change to the fee. The fee is labeled ‘‘D. Non-Colocation (‘‘NCL’’) Services.’’ requirements, authorization, and licensing as a pass-through of a redistribution fee on the customer’s invoice. IDS does not charge Proposed Note 3 would be titled ‘‘Note from the provider of the data feed. Connectivity to Third Party Data Feeds is third party markets or content providers for 3: Third Party Systems’’ and would connectivity to their own feeds. IDS is not provide: over the IDS Network. Fees for Third Party Data Feeds are charged by the provider of the exclusive method to connect to Third Party Data Feeds. Pricing for data feeds from third party such data feeds. Third Party Data Feed markets and other service providers (Third providers may charge redistribution fees. Connectivity to Third Party Data Party Data Feeds) is for connectivity only. When IDS is charged a redistribution fee, IDS Testing and Certification Feeds: The

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Exchange proposes to specify in the Fee provide NCL Customers an environment licensing from the provider of the data Schedule that NCL Customers may in which to conduct tests with non-live feed. Fees for such feeds are charged by obtain connectivity to third-party testing data. Such feeds, which are solely used the provider of the feed. The Exchange and certification feeds. Certification for certification and testing and do not is not the exclusive method to connect feeds are used to certify that an NCL carry live production data, are available to third-party testing and certification Customer conforms to any of the over the IDS Network. feeds. relevant content service provider’s Connectivity to third party testing and requirements for accessing Third Party certification feeds would be subject to The Exchange proposes to add the Systems or receiving Third Party Data any technical provisioning following fees and language to the Fee Feeds, while testing feeds would requirements, authorization, and Schedule:

Connectivity to Third Party Testing and Certification Feeds ...... $100 monthly recurring charge per feed.

Connectivity to DTCC Description Amount of charge

5 Mb connection to DTCC ...... $500 monthly recurring charge. 50 Mb connection to DTCC ...... 2,500 monthly recurring charge.

NCL NMS network ports (see note 4) Type of service Description Amount of charge

The Exchange also proposes to add that it selects, subject to any necessary Customers for an initial and monthly Note 4 to the section of the Fee technical provisioning requirements, charge.10 A cross connect is used to Schedule titled ‘‘D. Non-Colocation authorization, and licensing from the connect a circuit to a port. NCL provider of such NMS feed. Fees for the NMS (‘‘NCL’’) Services,’’ to establish that, Customers use such cross connects to when an NCL Customer purchases an feeds are charged by the provider of such NMS feed. The NMS feeds are as follows: connect from the IDS Network or NMS NMS Network port, it has the option of NMS feeds Network to a circuit connecting outside receiving the NMS feeds over the NMS CTS the Mahwah Data Center. The Exchange Network. CQS proposes that the fees for this service Proposed Note 4 would be titled OPRA would be identical to the fees for the ‘‘Note 4: NMS Network’’ and would corresponding service in colocation. provide: 4. NCL Cross Connect The Exchange proposes to add the When an NCL Customer purchases access The Exchange proposes to amend the to the NMS Network, upon its request, it will Fee Schedule to specify fiber cross following fees and language to the Fee receive connectivity to any of the NMS feeds connect services that IDS offers NCL Schedule:

Type of service Description Amount of charge

NCL Cross Connect ...... Furnish and install one cross-connect ...... $500 initial charge plus $600 monthly charge.

10 Because NCL Customers do not co-locate any colocation Users. Accordingly, the Exchange does bundles of 6, 12, 18, or 24 cross connects as are equipment in the Mahwah Data Center, they not propose amending the Fee Schedule to include available to colocation Users. generally require fewer fiber cross connects than

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Type of service Description Amount of charge

NCL Expedite Fee ...... Expedited installation/completion of a customer’s NCL service ...... $4,000 per request.

Type of service Description Amount of charge

NCL Change Fee ...... Change to an NCL service that has already been installed/completed for a cus- $950 per request. tomer.

Fee Schedule Name Center and a remote location. The NCL forces in determining prices and SRO Services are available for purchase by revenues and, also, recognized that In addition, the Exchange proposes to any customer. The proposed changes do current regulation of the market system change the name of the ‘‘Wireless not apply differently to distinct types or ‘‘has been remarkably successful in Connectivity Fee Schedule’’ to sizes of customers. Rather, they apply to promoting market competition in its ‘‘Connectivity Fee Schedule.’’ [sic] all customers equally. broader forms that are most important to Because the Fee Schedule will no longer investors and listed companies.’’ 14 be limited to wireless services, the Use of the services proposed in this Exchange proposes to change the name filing are completely voluntary and The proposed changes are not of the Fee Schedule from ‘‘Wireless available to all market participants on a otherwise intended to address any other Connectivity Fee Schedule’’ [sic] to non-discriminatory basis. issues relating to services related to the Mahwah Data Center and/or related ‘‘Mahwah Wireless, Circuits, and Non- Competitive Environment Colocation Connectivity Fee Schedule.’’ fees, and the Exchange is not aware of IDS operates in a highly competitive any problems that market participants Application and Impact of the Proposed market in which exchanges, third party would have in complying with the Changes telecommunications providers, Hosting proposed change. 13 There are currently few NCL Users, and other third-party vendors 2. Statutory Basis Customers. Accordingly, the Exchange offer connectivity services as a means to expects that the impact of the proposed facilitate the trading and other market The Exchange believes that the change would be minimal. activities of market participants. The proposed rule change is consistent with The proposed change is not targeted Commission has repeatedly expressed Section 6(b) of the Act,15 in general, and at, or expected to be limited in its preference for competition over furthers the objectives of Section 6(b)(5) applicability to, a specific segment of regulatory intervention in determining of the Act,16 in particular, because it is market participant. The Mahwah prices, products, and services in the designed to prevent fraudulent and Circuits are available for purchase for securities markets. Specifically, in manipulative acts and practices, to any potential customer requiring a Regulation NMS, the Commission promote just and equitable principles of circuit between the Mahwah Data highlighted the importance of market trade, to foster cooperation and

11 See Securities Exchange Act Release No. 67665 Mahwah Data Center. The Exchange allows Users 14 See Securities Exchange Act Release No. 51808 (August 15, 2012), 77 FR 50734 (August 22, 2012) to act as Hosting Users for a monthly fee. See (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005) (SR–NYSE–MKT–2012–11). Securities Exchange Act Release No. 76009 (‘‘Regulation NMS Adopting Release’’). 12 See id. (September 29, 2015), 80 FR 60213 (October 5, 15 15 U.S.C. 78f(b). 13 ‘‘Hosting’’ is a service offered by a User to 2015) (SR–NYSEMKT–2015–67). 16 15 U.S.C. 78f(b)(5). another entity In the User’s space within the

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coordination with persons engaged in to market participants, in competition NCL NMS Network Ports: The regulating, clearing, settling, processing with the IDS offerings proposed here. Exchange believes that the proposed information with respect to, and Each market participant considering fees for NMS Network ports for NCL facilitating transactions in securities, to whether to purchase a circuit directly Customers are reasonable to recoup the remove impediments to and perfect the can weigh that option against similar costs of building the NMS Network. mechanism of a free and open market circuits offered by those third-party Until 2019, SIAC was required to and a national market system, and, in carriers, and can choose which circuit to provide connectivity to the NMS feeds general, to protect investors and the purchase based on which combination only via the IP network. Although the public interest and because it is not of latency, bandwidth, price, and other operating committees for the CTA/CQ designed to permit unfair factors best meets its business needs. Plans authorized SIAC to offer discrimination between customers, Indeed, the Exchange understands that connectivity to the NMS feeds in the issuers, brokers, or dealers. The most of the third-party Mahwah Data Center via an alternate, Exchange further believes that the telecommunications providers that dedicated, low-latency NMS Network, proposed rule change is consistent with provide circuits do so at fees lower than the operating committee did not assume Section 6(b)(4) of the Act,17 because it those proposed herein, and that most the costs of creating such a network; provides for the equitable allocation of NCL Customers and colocation Users instead, the Exchange and the Affiliate reasonable dues, fees, and other charges use such third party telecommunication SROs funded the capital and operational among its members and issuers and circuits into and out of the Mahwah expenses to build and operate the NMS other persons using its facilities and Data Center. Network. The implementation costs of does not unfairly discriminate between IDS Network Ports: The Exchange approximately $3.8 million are customers, issuers, brokers, or dealers. believes that the IDS Network ports applicable only to the NMS Network, which is used for the sole purpose of The Proposed Change Is Reasonable proposed herein are reasonable. The market for connecting with the providing access to the NMS feeds. The Exchange believes that the Exchange’s trading and execution None of the implementation costs are proposed rule change is reasonable and systems is competitive, and the applicable to any other Exchange would perfect the mechanisms of a free proposed IDS Network ports that IDS services. As of the date of this filing, and open market and a national market provides are merely one of several only one customer has contracted with system and, in general, protect investors options that market participants may IDS for an NCL NMS Network port, and and the public interest, for the following choose. As alternatives to the IDS the Exchange expects that demand for reasons. Network ports, a market participant NMS Network ports outside of General: Only the market participants colocation will be very low. The service that voluntarily select to receive the IDS would be able to access or connect to Exchange Systems, Third Party Systems, is nevertheless available, and so the services described herein are charged Exchange proposes to add it to the Fee for them, and those services are Included Data Products, Third Party Data Feeds, third party testing and Schedule. available to all market participants. NCL Notes: With respect to proposed certification feeds, and DTCC through Furthermore, the IDS services described NCL Notes 1, 2, 3, and 4, the Exchange (a) a connection to an IDS access center in this filing are available to all market believes they are reasonable because outside of the Mahwah Data Center, (b) participants on an equal basis (i.e., the they provide detailed descriptions of the a third-party access center, (c) a third- same products and services are available access and connectivity that NCL party vendor, (d) a Hosting User, or (e) to all market participants). All market Customers receive when they purchase colocation. participants that voluntarily select a IDS Network or NMS Network ports. specific proposed IDS service would be Market participants consider various Such detailed descriptions remove charged the same amount for that factors in determining which impediments to, and perfect the service as all other market participants connectivity options to choose, mechanisms of, a free and open market purchasing that service. including latency; bandwidth size; and a national market system and, in In addition, the Exchange believes amount of network uptime; the general, protect investors and the public that the proposed rule change is equipment that the network uses; the interest because they provide market reasonable because the IDS services cost of the connection; and the participants with transparency and described herein are offered as a applicable contractual provisions. IDS’s clarity as to what connectivity is convenience to market participants, but offering of connectivity services via IDS included in the purchase of IDS offering them requires the provision, Network ports gives market participants Network or NMS Network ports by NCL maintenance, and operation of the another service to evaluate and Customers.18 The notes would also Mahwah Data Center, including the consider, thereby broadening their make clear that all NCL Customers that installation, monitoring, support, and options for connectivity to the Exchange voluntarily select to access the IDS maintenance of the services. Systems and allowing them to tailor Network or NMS Network receive the Mahwah Circuits: The Exchange their connectivity options to their same access and connectivity, and are believes the fees proposed herein for specific needs. not subject to a charge above and IDS’s Mahwah Circuits are reasonable. The Exchange further believes that the beyond the fee paid for the relevant IDS The market for circuits into and out of proposed fees for IDS Network ports for Network or NMS Network ports. The the Mahwah Data Center is competitive, NCL Customers are reasonable because notes further make clear that NCL and the proposed IDS offerings are such prices are constrained by Customers are not required to use any merely one of several options from competition with the numerous other of their bandwidth to access Exchange which market participants can choose. providers that offer connectivity to the Each of the third-party Exchange Systems. If IDS were to 18 See Securities Exchange Act Release Nos. telecommunications providers that has a attempt to offer such ports at a supra- 79730 (January 4, 2017), 82 FR 3045 (January 10, presence in the Mahwah Data Center’s competitive price, potential customers 2017) (SR–NYSE–2016–92); 79728 (January 4, 2017), 82 FR 3035 (January 10, 2017) (SR– ‘‘Meet Me Rooms’’ offers similar circuits would likely respond by seeking out NYSEMKT–2016–126); 79729 (January 4, 2017), 82 less expensive substitutes from other FR 3061 (January 10, 2017) (SR–NYSEArca–2016– 17 15 U.S.C. 78f(b)(4). providers. 172).

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systems or connect to an Included Data conveniences to market participants, but The Exchange believes that the Product unless they wish to do so; in order to do so must provide, proposed change is equitable because it rather, an NCL Customer only receives maintain, and operate the Mahwah Data would not apply differently to distinct the access and connectivity that it Center facility hardware and technology types or sizes of market participants. selects, and can change what access or infrastructure. IDS needs to provide Rather, it would apply to all NCL connectivity it receives at any time, network infrastructure that keeps pace Customers equally. subject to authorization from the data with the number of services available to In addition, the Exchange believes provider or the relevant Exchange or NCL Customers, including any that the proposal is equitable because Affiliate SRO.19 Notes 1, 2, 3, and 4 are increasing demand for bandwidth, and only the market participants that all based on similar provisions in the handle the installation, administration, voluntarily select to receive the services Exchange’s Price List for colocation. monitoring, support, and maintenance described herein would be charged for Other NCL Services: The Exchange of such services, including by them. The services described in this believes it is reasonable to specify in the responding to any production issues. In filing are available to all market Fee Schedule NCL Services that IDS addition, in order to provide participants on an equal basis (i.e., the offers including NCL cross connects, the connectivity to Third Party Data Feeds, same products and services are available NCL Expedite Fee, the NCL Change Fee, Third Party Systems, third party testing to all market participants), and all and NCL connectivity to Third Party and certification feeds, and DTCC, IDS market participants that voluntarily Systems, Third Party Data Feeds, third- must establish and maintain multiple select a specific proposed service are party testing and certification feeds, and connections to each Third Party Data charged the same amount for that DTCC. Feed, Third Party System, and DTCC, service as all other market participants The Exchange believes that the allowing IDS to provide resilient and purchasing that service. specific fees it has proposed for NCL redundant connections, adapt to any IDS faces competition from numerous cross connects, the NCL Expedite Fee, changes made by the relevant third other providers that offer market and the NCL Change Fee are reasonable. party, and cover any applicable fees participants choices for connectivity to As noted above, IDS faces competition (other than redistribution fees) charged the Mahwah Data Center, Exchange in the market for connectivity from by the relevant third party, such as port Systems, Third Party Systems, Included Hosting Users, IDS access centers fees. Data Products, Third Party Data Feeds, outside of the Mahwah Data Center, The Exchange believes it is reasonable third party testing and certification third-party access centers, and third- for redistribution fees charged by feeds, and DTCC. Without this proposed party vendors. Market participants can providers of Third Party Data Feeds to rule change, market participants seeking consider IDS’s proposed fees for the be passed through to NCL Customers, such connectivity would have fewer specific services listed above in the without change to the fee. If not passed options. With this proposal, market context of this competition, and choose through, the cost of the redistribution participants would have more choices the connectivity provider that offers the fees would be factored into the with respect to the form and price of the services the market participant needs at proposed fees for connectivity to Third services they use, allowing market the optimal cost. As such, the proposed Party Data Feeds. The Exchange believes participants to select the services and fees for these IDS services are that passing through the fees makes connectivity options that better suit constrained by competition. them more transparent to the NCL their needs, thereby helping them tailor The Exchange believes that charging Customer, allowing the NCL Customer their connectivity operations to the distinct fees for different NCL Services to better assess the cost of the requirements of their businesses. is reasonable because not all market connectivity to a Third Party Data Feed The Exchange believes that the participants need or wish to utilize the by seeing the individual components of proposed NCL Notes 1 and 4 are same NCL Services. The proposed the cost, i.e., IDS’s fee and redistribution equitable because they specify that NCL choice of services allows market fee. Customers that voluntarily select to participants to select which NCL The Exchange believes that it is access the IDS Network or NMS Services to use, based on their business reasonable to not charge third-party Network would not be subject to charges needs, and market participants are only markets or content providers for above and beyond the fee paid for the charged for the services that they select. connectivity to their own Third Party relevant IDS Network or NMS Network By charging only those market Data Feeds, as the Exchange port. Further, Notes 1, 2, 3, and 4 participants that utilize an NCL Service understands that such parties generally specify that NCL Customers will not be the related fee, those market receive their own feeds for purposes of charged for any access or connectivity participants that directly benefit from a diagnostics and testing. The Exchange that they had not selected. believes that facilitating such service support its cost. The Proposed Change Is Not Unfairly In addition, the Exchange believes diagnostics and testing removes Discriminatory that the proposed fees are reasonable impediments to, and perfects the because they allow the costs associated mechanisms of, a free and open market The Exchange believes its proposal is with offering different NCL Services to and a national market system and, in not unfairly discriminatory. The be defrayed or covered while providing general, protects investors and the proposed change does not apply market participants the benefit of such public interest. differently to distinct types or sizes of services. The Exchange believes that the Finally, the Exchange believes it is market participants. Rather, it applies to proposed charges are reasonable reasonable to make available third party all market participants equally. The because IDS offers NCL Services as testing and certification feeds to enable purchase of any proposed service is customers to test and certify their completely voluntarily and the Fee 19 The General Note on page 1 of the Fee connections to third party data feeds. Schedule will be applied uniformly to Schedule would also apply to all of the services all market participants. proposed herein. A market participant that incurs The Proposed Change Is Equitable IDS faces competition from numerous fees for NCL connectivity or other NCL Services other providers that offer market from the Exchange or one of the Affiliate SROs The Exchange believes that its would not be subject to fees for the same service proposal equitably allocates its fees participants choices for connectivity to charged by the other Affiliate SROs. among market participants. the Mahwah Data Center, Exchange

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Systems, Third Party Systems, Included these third parties have been compelled Commission process and review your Data Products, Third Party Data Feeds, to file their services or fees with the comments more efficiently, please use third party testing and certification Commission, and requiring IDS to do so only one method. The Commission will feeds, and DTCC. Without this proposed puts IDS at a competitive disadvantage post all comments on the Commission’s rule change, market participants seeking vis-a`-vis its competitors. Requiring the internet website (http://www.sec.gov/ such connectivity would have fewer Exchange to file IDS services and fees rules/sro.shtml). Copies of the options. With this proposal, market herein is therefore a burden on submission, all subsequent participants would have more choices competition. amendments, all written statements with respect to the form and price of the The Exchange believes competition with respect to the proposed rule services they use, allowing market would be best served by allowing IDS to change that are filed with the participants to select the services and freely compete with the other providers Commission, and all written connectivity options that better suit of connectivity services, without the communications relating to the their needs, thereby helping them tailor additional burden on IDS alone to file proposed rule change between the their connectivity operations to the any proposed changes to services and Commission and any person, other than requirements of their businesses. fees with the Commission. those that may be withheld from the The Exchange believes that the public in accordance with the proposed NCL Notes 1 and 4 are not be C. Self-Regulatory Organization’s provisions of 5 U.S.C. 552, will be unfairly discriminatory because they Statement on Comments on the available for website viewing and specify that NCL Customers that Proposed Rule Change Received From printing in the Commission’s Public voluntarily select to access the IDS Members, Participants, or Others Reference Room, 100 F Street NE, Network or NMS Network are not be No written comments were solicited Washington, DC 20549, on official subject to charges above and beyond the or received with respect to the proposed business days between the hours of fee paid for the relevant IDS Network or rule change. 10:00 a.m. and 3:00 p.m. Copies of the NMS Network port. Further, Notes 1, 2, filing also will be available for III. Date of Effectiveness of the 3, and 4 specify that NCL Customers inspection and copying at the principal will not be charged for any access or Proposed Rule Change and Timing for office of the Exchange. All comments connectivity that they had not Commission Action received will be posted without change. selected.20 Within 45 days of the date of Persons submitting comments are For these reasons, the Exchange publication of this notice in the Federal cautioned that we do not redact or edit believes that the proposal is consistent Register, or such longer period up to 90 personal identifying information from with the Act. days (i) as the Commission may comment submissions. You should B. Self-Regulatory Organization’s designate if it finds such longer period submit only information that you wish Statement on Burden on Competition to be appropriate and publishes its to make available publicly. All reasons for so finding or (ii) as to which submissions should refer to File The proposed change does not affect the self-regulatory organization Number SR–NYSEAMER–2021–10, and competition among national securities consents, the Commission will: should be submitted on or before March exchanges or among members of the (A) By order approve or disapprove 25, 2021. Exchange, but rather between IDS and the proposed rule change, or For the Commission, by the Division of its commercial competitors. (B) institute proceedings to determine As noted above, the Exchange is Trading and Markets, pursuant to delegated whether the proposed rule change authority.22 making the current proposal solely as a should be disapproved. result of the Commission’s recent J. Matthew DeLesDernier, interpretation of the definitions of IV. Solicitation of Comments Assistant Secretary. ‘‘exchange’’ and ‘‘facility’’ in the Interested persons are invited to [FR Doc. 2021–04425 Filed 3–3–21; 8:45 am] Wireless Approval Order, which the submit written data, views, and BILLING CODE 8011–01–P Exchange is presently challenging on arguments concerning the foregoing, appeal to the Court of Appeals for the including whether the proposed rule District of Columbia Circuit.21 The SECURITIES AND EXCHANGE change is consistent with the Act. COMMISSION Exchange has nevertheless proposed Comments may be submitted by any of this rule change in order to preserve the the following methods: [Release No. 34–91215; File No. SR– ability of IDS to offer the services at NYSENAT–2021–04] issue herein. If IDS were compelled to Electronic Comments stop offering such services, consumers • Use the Commission’s internet Self-Regulatory Organizations; NYSE would have fewer service providers to comment form (http://www.sec.gov/ National, Inc.; Notice of Filing of choose from for their connectivity rules/sro.shtml); or Proposed Rule Change To Amend the needs, which would be a detriment to • Send an email to rule-comments@ Schedule of Wireless Connectivity competition overall. sec.gov. Please include File Number SR– Fees and Charges To Add Circuits for Notwithstanding the foregoing, the NYSEAMER–2021–10 on the subject Connectivity Into and Out of the Data Exchange notes that there are numerous line. Center in Mahwah, New Jersey other third parties that provide circuits and connectivity at the Mahwah Data Paper Comments February 26, 2021. Pursuant to Section 19(b)(1) 1 of the Center, and that IDS competes with • Send paper comments in triplicate Securities Exchange Act of 1934 those third parties for the provision of to Secretary, Securities and Exchange (‘‘Act’’),2 and Rule 19b–4 thereunder,3 such services to customers. None of Commission, 100 F Street NE, notice is hereby given that on February Washington, DC 20549–1090. 20 In addition, the General Note on page 1 of the All submissions should refer to File 22 Fee Schedule would apply to all of the services 17 CFR 200.30–3(a)(12). proposed herein. See supra note 19. Number SR–NYSEAMER–2021–10. This 1 15 U.S.C. 78s(b)(1). 21 Intercontinental Exchange, Inc. v. SEC, No. 20– file number should be included on the 2 15 U.S.C. 78a. 1470 (DC Cir. 2020). subject line if email is used. To help the 3 17 CFR 240.19b–4.

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12, 2021, NYSE National, Inc. (‘‘NYSE A. Self-Regulatory Organization’s wireless connections or wired fiber National’’ or ‘‘Exchange’’) filed with the Statement of the Purpose of, and optic circuits. Both IDS and numerous Securities and Exchange Commission Statutory Basis for, the Proposed Rule third-party telecommunications service (‘‘Commission’’) the proposed rule Change providers offer wired circuits into and change as described in Items I and II 1. Purpose out of the Mahwah Data Center. The below, which Items have been prepared circuits that IDS offers are described The Exchange proposes to amend the by the Exchange. The Commission is below. Such IDS circuits are available to Fee Schedule to add services (‘‘NCL publishing this notice to solicit all colocation Users and NCL Services’’) and related fees available to Customers, but such customers are not comments on the proposed rule change customers of the Mahwah Data Center from interested persons. obligated to use them; rather, both that are not colocation Users (‘‘NCL colocation Users and NCL Customers Customers’’),4 as well as circuits into I. Self-Regulatory Organization’s may instead choose to contract directly and out of the Mahwah Data Center that Statement of the Terms of Substance of with third-party telecom carriers for the Proposed Rule Change are available to both colocation Users and NCL Customers. In addition, in a circuits into and out of the Mahwah Data Center. The Exchange proposes to amend the conforming change, because the Fee schedule of Wireless Connectivity Fees Schedule would no longer be limited to The Exchange proposes to add to the and Charges (the ‘‘Fee Schedule’’) to (1) wireless services, the Exchange Fee Schedule the circuit options offered add circuits for connectivity into and proposes to change the name of the Fee by IDS to both colocation Users and out of the data center in Mahwah, New Schedule from ‘‘Wireless Connectivity NCL Customers to connect into and out Jersey (the ‘‘Mahwah Data Center’’); (2) Fee Schedule’’ to ‘‘Mahwah Wireless, of the Mahwah Data Center. add services available to customers of Circuits, and Non-Colocation Specifically, the Exchange proposes to 5 the Mahwah Data Center that are not Connectivity Fee Schedule.’’ amend the Fee Schedule to add two The Exchange makes the current colocation Users; and (3) change the different types of circuits, each available proposal solely as a result of its name of the Fee Schedule to ‘‘Mahwah in three different sizes, under the new determination that the Commission’s heading ‘‘C. Mahwah Circuits.’’ Wireless, Circuits, and Non-Colocation recent interpretations of the Act’s Connectivity Fee Schedule.’’ The definitions of the terms ‘‘exchange’’ and First, the Exchange proposes to proposed rule change is available on the ‘‘facility,’’ as expressed in the Wireless amend the Fee Schedule to add ‘‘Optic Exchange’s website at www.nyse.com, at Approval Order,6 apply to connectivity Access’’ circuits, which are circuits that the principal office of the Exchange, and services described herein that are IDS operates and that customers can use at the Commission’s Public Reference offered by entities other than the to connect between the Mahwah Data Room. Exchange. The Exchange disagrees with Center and IDS access centers at the the Commission’s interpretations, following six third-party owned data II. Self-Regulatory Organization’s denies the services covered herein (and centers: (1) 111 Eighth Avenue, New Statement of the Purpose of, and in the Wireless Approval Order) are York, NY; (2) 32 Avenue of the Statutory Basis for, the Proposed Rule offerings of an ‘‘exchange’’ or a Americas, New York, NY; (3) 165 Change ‘‘facility’’ thereof, and has sought review Halsey, Newark, NJ; (4) Secaucus, NJ (the ‘‘Secaucus Access Center’’); (5) In its filing with the Commission, the of the Commission’s interpretations, as expressed in the Wireless Approval Carteret, NJ (the ‘‘Carteret Access self-regulatory organization included Order, in the Court of Appeals for the Center’’); and (6) Weehawken, NJ. Optic statements concerning the purpose of, District of Columbia Circuit.7 Pending Access circuits are available in 1 Gb, 10 and basis for, the proposed rule change resolution of such appeal, however, the Gb, and 40 Gb sizes. and discussed any comments it received Exchange is making this proposal in on the proposed rule change. The text Second, the Exchange proposes to recognition that the Commission’s amend the Fee Schedule to add lower- of those statements may be examined at current interpretation brings certain the places specified in Item IV below. latency Optic Low Latency circuits that offerings of the Exchange’s affiliates into IDS operates and that customers can use The Exchange has prepared summaries, the scope of the terms ‘‘exchange’’ or to connect between the Mahwah Data set forth in sections A, B, and C below, ‘‘facility.’’ Center and IDS’s Secaucus Access of the most significant parts of such The Exchange expects the proposed Center or Carteret Access Center. Optic statements. change to be operative 60 days after the Low Latency circuits are available in 1 present filing becomes effective. Gb, 10 Gb, and 40 Gb sizes. Mahwah Circuits The Exchange proposes to add the Customers can connect into and out of following chart to the Fee Schedule to the Mahwah Data Center using either include these circuits, as follows:

Type of service Amount of charge

Optic Access Circuit—1 Gb ...... $1,500 initial charge plus $1,500 monthly charge. Optic Access Circuit—10 Gb ...... $5,000 initial charge plus $2,500 monthly charge.

4 For purposes of the Exchange’s colocation Arca, Inc., and NYSE Chicago, Inc.) (the ‘‘Affiliate SR–NYSEArca–2020–08, SR–NYSECHX–2020–02, services, a ‘‘User’’ means any market participant SROs’’) has submitted substantially the same SR–NYSENAT–2020–03, SR–NYSE–2020–11, SR– that requests to receive colocation services directly proposed rule change to propose the changes NYSEAMER–2020–10, SR–NYSEArca–2020–15, from the Exchange. See Securities Exchange Act described herein. See SR–NYSE–2021–14, SR– SR–NYSECHX–2020–05, SR–NYSENAT–2020–08) Release No. 83351 (May 31, 2018), 83 FR 26314 at NYSEAMER–2021–10, SR–NYSEArca–2021–13, (‘‘Wireless Approval Order’’). n.9 (June 6, 2018) (SR–NYSENAT–2018–07) and SR–NYSECHX–2021–03. 7 (‘‘NYSE National Colocation Notice’’). 6 See Securities Exchange Act Release No. 90209 Intercontinental Exchange, Inc. v. SEC, No. 20– 5 Each of the Exchange’s affiliates (New York (October 15, 2020), 85 FR 67044 (October 21, 2020) 1470 (D.C. Cir. 2020). Stock Exchange LLC, NYSE American LLC, NYSE (SR–NYSE–2020–05, SR–NYSEAMER–2020–05,

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Type of service Amount of charge

Optic Access Circuit—40 Gb ...... $5,000 initial charge plus $6,000 monthly charge. Optic Low Latency Circuit—1 Gb ...... $1,500 initial charge plus $2,750 monthly charge. Optic Low Latency Circuit—10 Gb ...... $5,000 initial charge plus $3,950 monthly charge. Optic Low Latency Circuit—40 Gb ...... $5,000 initial charge plus $8,250 monthly charge.

Non-Colocation Services available in the Mahwah Data Center and to request services subject to an and other access centers—and ports to ‘‘Expedite Fee’’ or ‘‘Change Fee.’’ The Exchange proposes to amend the a dedicated network to access the NMS Fee Schedule to add several services feeds for which the Securities Industry 1. IDS Network Ports available to NCL Customers as well as Automation Corporation is engaged as several notes, under the new heading The Exchange proposes to amend the the securities information processor (the Fee Schedule to add services that IDS ‘‘D. Non-Colocation (‘‘NCL’’) Services.’’ ‘‘NMS Network’’).8 The Fee Schedule offers enabling NCL Customers to These are the services that IDS offers would also specify the data products connect to the IDS Network in the within the Mahwah Data Center that are and data feeds to which an NCL not colocation services. The Exchange Customer could connect via these ports. Mahwah Data Center. proposes to amend the Fee Schedule to The Exchange also proposes to amend The Exchange proposes to add the add services that include ports to the the Fee Schedule to enable NCL following fees and language to the Fee IDS Network—a wide area network Customers to purchase cross connects Schedule:

IDS NETWORK PORTS (SEE NOTE 1)

Type of service Description Amount of charge

The Exchange also proposes to add to OTC (the Global OTC System), subject, in NYSE Arca the Fee Schedule several notes each case, to authorization by the NYSE, NYSE Arca Options regarding these services that are based NYSE American, NYSE Arca, NYSE Chicago, NYSE Best Quote and Trades (BQT) on General Notes 4, 5, and 6 of the NYSE National, or Global OTC, as applicable. NYSE Bonds Each Exchange listed above offers access to NYSE Chicago Exchange’s Price List regarding its Exchange Systems to its members and colocation. Global OTC offers access to the Global OTC NYSE National Specifically, the Exchange proposes to System to its subscribers, such that an NCL 2. NCL Connectivity to Third Party add the heading ‘‘NCL Notes’’ after the Customer does not have to purchase a service Systems, Data Feeds, Testing and tables in the proposed section of the Fee that includes access to the IDS Network to Certification Feeds, and DTCC Schedule titled ‘‘D. Non-Colocation obtain access to Exchange Systems or the (‘‘NCL’’) Services.’’ Note 1 would Global OTC System. The Exchange also proposes to amend establish that when an NCL Customer When an NCL Customer purchases access the Fee Schedule to provide for the purchases access to the IDS Network, to the IDS Network, it receives connectivity connectivity services that IDS offers for to any of the Included Data Products that it NCL Customers to Third Party Systems, the NCL Customer would receive (a) the selects, subject to any necessary technical ability to access the trading and provisioning requirements, authorization, Third Party Data Feeds, third party execution systems of the Exchange and and licensing by the provider of the Included testing and certification feeds, and Affiliate SROs (‘‘Exchange Systems’’) as Data Feed. Fees for the Included Data DTCC. The Exchange proposes to adopt well as of the Global OTC System Products are charged by the provider of such substantially similar services and fees as (‘‘Global OTC’’), and (b) connectivity to Included Data Products. An NCL Customer set forth in the Exchange’s Price List any of the listed data products can change the Included Data Products to regarding colocation.9 (‘‘Included Data Products’’) that it which it receives connectivity at any time, Connectivity to Third Party Systems: subject to authorization from the provider of selects. References in the proposed Fee The Exchange proposes to specify in the such Included Data Product. Because access Fee Schedule services that IDS offers Schedule would refer customers to the to the IDS Network is not the exclusive applicable note. method to connect to the Included Data NCL Customers to access the trading Proposed Note 1 would be titled Products, an NCL Customer does not have to and execution services of Third Party ‘‘Note 1: IDS Network’’ and would purchase a service that includes access to the markets and other content service provide: IDS Network to connect to such Included providers (‘‘Third Party Systems’’) for a Data Products. The Included Data Products fee. NCL Customers connect to Third When an NCL Customer purchases access are as follows: to the IDS Network, it receives the ability to Party Systems over the IDS Network. access the trading and execution systems of NMS feeds—CTS, CQS, OPRA In order to obtain access to a Third the NYSE, NYSE American, NYSE Arca, NYSE Party System, an NCL Customer enters NYSE Chicago, and NYSE National (together, NYSE American into an agreement with the relevant the Exchange Systems) as well as of Global NYSE American Options third-party content service provider,

8 See Securities Exchange Act Release Nos. 88837 (‘‘NMS Network Approval Order’’) and 88972 (May 9 See NYSE National Colocation Notice, supra (May 7, 2020), 85 FR 28671 (May 13, 2020) (SR– 29, 2020), 85 FR 34472 (June 4, 2020) (‘‘NYSE note 4 at 26322–24. NYSE–2019–46, SR–NYSEAMER–2019–34, SR– Chicago NMS Network Approval Order’’). NYSEArca–2019–61, SR–NYSENAT–2019–19)

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pursuant to which the third-party customer enters into an agreement with not through the Exchange’s execution content service provider charges the the third-party content service provider. system. NCL Customer for access to the Third Neither the Exchange nor IDS has an IDS charges a monthly recurring fee Party System. When such services are affiliation with the providers of the for connectivity to a Third Party System, requested, IDS establishes a connection Third Party Systems. Establishing an which the Exchange proposes to add to its Fee Schedule. Specifically, when an between the NCL Customer and the NCL Customer’s access to a Third Party NCL Customer requests access to a relevant third party content service System does not give either IDS or the provider over the IDS Network. IDS Third Party System, IDS identifies the Exchange any right to use the Third applicable third-party market or other charges the NCL Customer for the Party Systems. Connectivity to a Third connectivity to the Third Party System. content service provider and the Party System does not provide access or bandwidth connection it requires. An NCL Customer only receives, and is order entry to the Exchange’s execution only charged by IDS for, connectivity to The Exchange proposes to add the system, and an NCL Customer’s following fees and language to the Fee each Third Party System for which the connection to a Third Party System is Schedule:

CONNECTIVITY TO THIRD PARTY SYSTEMS OVER IDS NETWORK (SEE NOTE 2)

Description Amount of charge

The Exchange proposes to add Note 2 When an NCL Customer purchases a Party System. Fees for the Third Party to the section of the Fee Schedule titled connection that includes access to Third Systems are charged by the provider of such ‘‘D. Non-Colocation (‘‘NCL’’) Services.’’ Party Systems, it receives access to Third Third Party System. The Exchange is not the Proposed Note 2 would be titled ‘‘Note Party Systems it selects subject to any exclusive method to connect to Third Party 2: Third Party Systems’’ and would technical provisioning requirements, Systems. The Third Party Systems are as provide: authorization, and licensing from such Third follows:

THIRD PARTY SYSTEMS

Americas Trading Group (ATG). BM&F Bovespa. Boston Options Exchange (BOX). Canadian Securities Exchange (CSE). Cboe BYX Exchange (CboeBYX), Cboe BZX Exchange (CboeBZX), Cboe EDGA Exchange (CboeEDGA), and Cboe EDGX Exchange (CboeEDGX). Cboe Exchange (Cboe) and Cboe C2 Exchange (C2). Chicago Mercantile Exchange (CME Group). Credit Suisse. Euronext Optiq Cash and Derivatives Unicast (EUA). Euronext Optiq Cash and Derivatives Unicast (Production). Investors Exchange (IEX). ITG TriAct Matchnow. Long Term Stock Exchange (LTSE). Members Exchange (MEMX). MIAX Options, MIAX PEARL Options, MIAX PEARL Equities, and MIAX Emerald. Morgan Stanley. Nasdaq. NASDAQ Canada (CXC, CXD, CX2). NASDAQ ISE. Neo Aequitas. NYFIX Marketplace. Omega. OneChicago. OTC Markets Group. TD Ameritrade. TMX Group.

Connectivity to Third Party Data services that IDS offers NCL Customers providers (‘‘Third Party Data Feeds’’) for Feeds: The Exchange proposes to to connect to data feeds from third-party a fee. IDS receives Third Party Data specify in the Fee Schedule connectivity markets and other content service Feeds from multiple national securities

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exchanges and other content service Party Data Feeds for which it entered Consolidated Feed Shared Farm feeds), providers at the Mahwah Data Center. into contracts. Vela—SuperFeeds, and MSCI feeds vary IDS provides connectivity to that data to With the exception of the ICE Data by the bandwidth of the connection. NCL Customers for a fee. NCL Services, ICE, and Global OTC feeds, Depending on its needs and bandwidth, Customers connect to Third Party Data neither the Exchange nor IDS has any an NCL Customer may opt to receive all Feeds over the IDS Network. affiliation with the sellers of the Third or some of the Third Party Data Feeds. Party Data Feeds. The Exchange and IDS Third Party Data Feed providers may In order to connect to a Third Party have no right to use the Third Party Data Data Feed, an NCL Customer enters into charge redistribution fees. The Exchange Feeds other than as a redistributor of the proposes that, when IDS is charged a a contract with the relevant third-party data. The Third Party Data Feeds do not market or other content service redistribution fee by the Third Party provide access or order entry to the Data Feed provider, IDS would pass provider, pursuant to which the content Exchange’s execution system. With the through the charge to the NCL service provider charges the NCL exception of the ICE feed, the Third Customer, without change to the fee. Customer for the Third Party Data Feed. Party Data Feeds do not provide access The fee would be labeled as a pass- IDS receives the Third Party Data Feed or order entry to the execution systems through of a redistribution fee on the over its fiber optic network and, after of the third party generating the feed. NCL Customer’s invoice. the data provider and NCL Customer IDS receives Third Party Data Feeds via The Exchange proposes that it would enter into an agreement and IDS arms-length agreements and has no not charge NCL Customers that are receives authorization from the data inherent advantage over any other third-party markets or content providers provider, IDS retransmits the data to the distributor of such data. IDS charges a monthly recurring fee for connectivity to their own feeds, as it NCL Customer over the NCL Customer’s understands that such parties generally IDS Network port. IDS charges the NCL for connectivity to each Third Party Data Feed. The monthly recurring fee is receive their own feeds for purposes of Customer for the connectivity to the per Third Party Data Feed, with the diagnostics and testing. Third Party Data Feed. An NCL exception that the monthly recurring fee The Exchange proposes to add the Customer only receives, and is only for the ICE Data Services Consolidated following fees and language to the Fee charged for, connectivity to the Third Feeds (including the ICE Data Services Schedule:

CONNECTIVITY TO THIRD PARTY DATA FEEDS OVER THE IDS NETWORK (SEE NOTE 3)

Description Monthly charge

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CONNECTIVITY TO THIRD PARTY DATA FEEDS OVER THE IDS NETWORK (SEE NOTE 3)—Continued

Description Monthly charge

Vela—SuperFeed >500 Mb to <1.25 Gb ...... 800 Vela—SuperFeed >1.25 Gb ...... 1,000 TMX Group ...... 2,500

The Exchange proposes to add Note 3 Customer conforms to any of the clearing, fund transfer, insurance, and to the section of the Fee Schedule titled relevant content service provider’s settlement services. ‘‘D. Non-Colocation (‘‘NCL’’) Services.’’ requirements for accessing Third Party In order to connect to DTCC, an NCL Proposed Note 3 would be titled ‘‘Note Systems or receiving Third Party Data Customer enters into a contract with 3: Third Party Systems’’ and would Feeds, while testing feeds would DTCC, pursuant to which DTCC charges provide: provide NCL Customers an environment the NCL Customer for the services Pricing for data feeds from third party in which to conduct tests with non-live provided. IDS receives the DTCC feed markets and other service providers (Third data. Such feeds, which are solely used over its fiber optic network and, after Party Data Feeds) is for connectivity only. for certification and testing and do not DTCC and the NCL Customer entered Connectivity to Third Party Data Feeds is carry live production data, are available into the services contract and IDS subject to any technical provisioning over the IDS Network. requirements, authorization, and licensing received authorization from DTCC, IDS Connectivity to third party testing and provides connectivity to DTCC to the from the provider of the data feed. certification feeds would be subject to Connectivity to Third Party Data Feeds is NCL Customer over the NCL Customer’s over the IDS Network. Fees for Third Party any technical provisioning IDS Network port. IDS charges the NCL Data Feeds are charged by the provider of requirements, authorization, and Customer for the connectivity to DTCC. such data feeds. Third Party Data Feed licensing from the provider of the data providers may charge redistribution fees. feed. Fees for such feeds are charged by Connectivity to DTCC does not When IDS is charged a redistribution fee, IDS the provider of the feed. The Exchange provide access or order entry to the passes the charge through to the customer, is not the exclusive method to connect Exchange’s execution system, and an without change to the fee. The fee is labeled to third-party testing and certification NCL Customer’s connection to DTCC is as a pass-through of a redistribution fee on feeds. not through the Exchange’s execution the customer’s invoice. IDS does not charge system. third party markets or content providers for The Exchange proposes to add the connectivity to their own feeds. IDS is not following fees and language to the Fee Connectivity to DTCC is subject to the exclusive method to connect to Third Schedule: any technical provisioning Party Data Feeds. Connectivity to Third Party Testing and requirements, authorization, and Connectivity to Third Party Data Certification Feeds—$100 monthly licensing from DTCC. Fees for such Testing and Certification Feeds: The recurring charge per feed feeds are charged by DTCC. IDS is not Exchange proposes to specify in the Fee Connectivity to DTCC: The Exchange the exclusive provider to connect to Schedule that NCL Customers may proposes to specify in the Fee Schedule DTCC feeds. obtain connectivity to third-party testing services that IDS provides to connect The Exchange proposes to add the and certification feeds. Certification NCL Customers to Depository Trust & following fees and language to the Fee feeds are used to certify that an NCL Clearing Corporation (‘‘DTCC’’) for Schedule:

CONNECTIVITY TO DTCC

Description Amount of charge

5 Mb connection to DTCC ...... $500 monthly recurring charge. 50 Mb connection to DTCC ...... $2,500 monthly recurring charge.

NCL NMS NETWORK PORTS (SEE NOTE 4)

Type of service Description Amount of charge

The Exchange also proposes to add when an NCL Customer purchases an Proposed Note 4 would be titled Note 4 to the section of the Fee NMS Network port, it has the option of ‘‘Note 4: NMS Network’’ and would Schedule titled ‘‘D. Non-Colocation receiving the NMS feeds over the NMS provide: (‘‘NCL’’) Services,’’ to establish that, Network.

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When an NCL Customer purchases access 4. NCL Cross Connect Network to a circuit connecting outside to the NMS Network, upon its request, it will The Exchange proposes to amend the the Mahwah Data Center. The Exchange receive connectivity to any of the NMS feeds proposes that the fees for this service that it selects, subject to any necessary Fee Schedule to specify fiber cross technical provisioning requirements, connect services that IDS offers NCL would be identical to the fees for the authorization, and licensing from the Customers for an initial and monthly corresponding service in colocation. provider of such NMS feed. Fees for the NMS charge.10 A cross connect is used to The Exchange proposes to add the feeds are charged by the provider of such connect a circuit to a port. NCL following fees and language to the Fee NMS feed. The NMS feeds are as follows: Customers use such cross connects to Schedule: NMS feeds—CTS, CQS, OPRA connect from the IDS Network or NMS

Type of service Description Amount of charge

NCL Cross Connect ...... Furnish and install one cross-connect ...... $500 initial charge plus $600 monthly charge.

Type of service Description Amount of charge

NCL Expedite Fee ...... Expedited installation/completion of a customer’s NCL service ...... $4,000 per request.

Type of service Description Amount of charge

NCL Change Fee ...... Change to an NCL service that has already been installed/completed for a cus- $950 per request. tomer.

Fee Schedule Name Application and Impact of the Proposed circuit between the Mahwah Data Changes Center and a remote location. The NCL In addition, the Exchange proposes to Services are available for purchase by change the name of the ‘‘Wireless There are currently few NCL any customer. The proposed changes do Customers. Accordingly, the Exchange Connectivity Fee Schedule’’ to not apply differently to distinct types or expects that the impact of the proposed ‘‘Connectivity Fee Schedule.’’ [sic] sizes of customers. Rather, they apply to change would be minimal. Because the Fee Schedule will no longer all customers equally. be limited to wireless services, the The proposed change is not targeted Exchange proposes to change the name at, or expected to be limited in Use of the services proposed in this of the Fee Schedule from ‘‘Wireless applicability to, a specific segment of filing are completely voluntary and Connectivity Fee Schedule’’ [sic] to market participant. The Mahwah available to all market participants on a ‘‘Mahwah Wireless, Circuits, and Non- Circuits are available for purchase for non-discriminatory basis. Colocation Connectivity Fee Schedule.’’ any potential customer requiring a

10 Because NCL Customers do not co-locate any not propose amending the Fee Schedule to include 11 See NYSE National Colocation Notice, supra equipment in the Mahwah Data Center, they bundles of 6, 12, 18, or 24 cross connects as are note 4, at 26318. generally require fewer fiber cross connects than available to colocation Users. 12 See id. colocation Users. Accordingly, the Exchange does

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Competitive Environment among its members and issuers and IDS Network Ports: The Exchange IDS operates in a highly competitive other persons using its facilities and believes that the IDS Network ports market in which exchanges, third party does not unfairly discriminate between proposed herein are reasonable. The telecommunications providers, Hosting customers, issuers, brokers, or dealers. market for connecting with the Exchange’s trading and execution Users,13 and other third-party vendors The Proposed Change Is Reasonable offer connectivity services as a means to systems is competitive, and the The Exchange believes that the facilitate the trading and other market proposed IDS Network ports that IDS proposed rule change is reasonable and activities of market participants. The provides are merely one of several would perfect the mechanisms of a free Commission has repeatedly expressed options that market participants may and open market and a national market its preference for competition over choose. As alternatives to the IDS system and, in general, protect investors regulatory intervention in determining Network ports, a market participant and the public interest, for the following prices, products, and services in the would be able to access or connect to reasons. securities markets. Specifically, in Exchange Systems, Third Party Systems, General: Only the market participants Included Data Products, Third Party Regulation NMS, the Commission that voluntarily select to receive the IDS highlighted the importance of market Data Feeds, third party testing and services described herein are charged certification feeds, and DTCC through forces in determining prices and SRO for them, and those services are revenues and, also, recognized that (a) a connection to an IDS access center available to all market participants. outside of the Mahwah Data Center, (b) current regulation of the market system Furthermore, the IDS services described ‘‘has been remarkably successful in a third-party access center, (c) a third- in this filing are available to all market party vendor, (d) a Hosting User, or (e) promoting market competition in its participants on an equal basis (i.e., the broader forms that are most important to colocation. 14 same products and services are available Market participants consider various investors and listed companies.’’ to all market participants). All market The proposed changes are not factors in determining which participants that voluntarily select a otherwise intended to address any other connectivity options to choose, specific proposed IDS service would be issues relating to services related to the including latency; bandwidth size; charged the same amount for that Mahwah Data Center and/or related amount of network uptime; the service as all other market participants equipment that the network uses; the fees, and the Exchange is not aware of purchasing that service. any problems that market participants cost of the connection; and the In addition, the Exchange believes applicable contractual provisions. IDS’s would have in complying with the that the proposed rule change is proposed change. offering of connectivity services via IDS reasonable because the IDS services Network ports gives market participants 2. Statutory Basis described herein are offered as a another service to evaluate and convenience to market participants, but The Exchange believes that the consider, thereby broadening their offering them requires the provision, proposed rule change is consistent with options for connectivity to the Exchange maintenance, and operation of the Section 6(b) of the Act,15 in general, and Systems and allowing them to tailor Mahwah Data Center, including the furthers the objectives of Section 6(b)(5) their connectivity options to their installation, monitoring, support, and of the Act,16 in particular, because it is specific needs. maintenance of the services. designed to prevent fraudulent and The Exchange further believes that the Mahwah Circuits: The Exchange proposed fees for IDS Network ports for manipulative acts and practices, to believes the fees proposed herein for promote just and equitable principles of NCL Customers are reasonable because IDS’s Mahwah Circuits are reasonable. such prices are constrained by trade, to foster cooperation and The market for circuits into and out of coordination with persons engaged in competition with the numerous other the Mahwah Data Center is competitive, providers that offer connectivity to the regulating, clearing, settling, processing and the proposed IDS offerings are information with respect to, and Exchange Systems. If IDS were to merely one of several options from attempt to offer such ports at a supra- facilitating transactions in securities, to which market participants can choose. remove impediments to and perfect the competitive price, potential customers Each of the third-party would likely respond by seeking out mechanism of a free and open market telecommunications providers that has a less expensive substitutes from other and a national market system, and, in presence in the Mahwah Data Center’s providers. general, to protect investors and the ‘‘Meet Me Rooms’’ offers similar circuits NCL NMS Network Ports: The public interest and because it is not to market participants, in competition Exchange believes that the proposed designed to permit unfair with the IDS offerings proposed here. fees for NMS Network ports for NCL discrimination between customers, Each market participant considering Customers are reasonable to recoup the issuers, brokers, or dealers. The whether to purchase a circuit directly costs of building the NMS Network. Exchange further believes that the can weigh that option against similar Until 2019, SIAC was required to proposed rule change is consistent with circuits offered by those third-party provide connectivity to the NMS feeds 17 Section 6(b)(4) of the Act, because it carriers, and can choose which circuit to only via the IP network. Although the provides for the equitable allocation of purchase based on which combination operating committees for the CTA/CQ reasonable dues, fees, and other charges of latency, bandwidth, price, and other Plans authorized SIAC to offer factors best meets its business needs. connectivity to the NMS feeds in the 13 ‘‘Hosting’’ is a service offered by a User to another entity In the User’s space within the Indeed, the Exchange understands that Mahwah Data Center via an alternate, Mahwah Data Center. The Exchange allows Users most of the third-party dedicated, low-latency NMS Network, to act as Hosting Users for a monthly fee. See NYSE telecommunications providers that the operating committee did not assume National Colocation Notice, supra note 4, at 26318. provide circuits do so at fees lower than the costs of creating such a network; 14 See Securities Exchange Act Release No. 51808 those proposed herein, and that most instead, the Exchange and the Affiliate (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005) (‘‘Regulation NMS Adopting Release’’). NCL Customers and colocation Users SROs funded the capital and operational 15 15 U.S.C. 78f(b). use such third party telecommunication expenses to build and operate the NMS 16 15 U.S.C. 78f(b)(5). circuits into and out of the Mahwah Network. The implementation costs of 17 15 U.S.C. 78f(b)(4). Data Center. approximately $3.8 million are

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applicable only to the NMS Network, offers including NCL cross connects, the redundant connections, adapt to any which is used for the sole purpose of NCL Expedite Fee, the NCL Change Fee, changes made by the relevant third providing access to the NMS feeds. and NCL connectivity to Third Party party, and cover any applicable fees None of the implementation costs are Systems, Third Party Data Feeds, third- (other than redistribution fees) charged applicable to any other Exchange party testing and certification feeds, and by the relevant third party, such as port services. As of the date of this filing, DTCC. fees. only one customer has contracted with The Exchange believes that the The Exchange believes it is reasonable IDS for an NCL NMS Network port, and specific fees it has proposed for NCL for redistribution fees charged by the Exchange expects that demand for cross connects, the NCL Expedite Fee, providers of Third Party Data Feeds to NMS Network ports outside of and the NCL Change Fee are reasonable. be passed through to NCL Customers, colocation will be very low. The service As noted above, IDS faces competition without change to the fee. If not passed is nevertheless available, and so the in the market for connectivity from through, the cost of the redistribution Exchange proposes to add it to the Fee Hosting Users, IDS access centers fees would be factored into the Schedule. outside of the Mahwah Data Center, proposed fees for connectivity to Third NCL Notes: With respect to proposed third-party access centers, and third- Party Data Feeds. The Exchange believes NCL Notes 1, 2, 3, and 4, the Exchange party vendors. Market participants can that passing through the fees makes believes they are reasonable because consider IDS’s proposed fees for the them more transparent to the NCL they provide detailed descriptions of the specific services listed above in the Customer, allowing the NCL Customer access and connectivity that NCL context of this competition, and choose to better assess the cost of the Customers receive when they purchase the connectivity provider that offers the connectivity to a Third Party Data Feed IDS Network or NMS Network ports. services the market participant needs at by seeing the individual components of Such detailed descriptions remove the optimal cost. As such, the proposed the cost, i.e., IDS’s fee and redistribution impediments to, and perfect the fees for these IDS services are fee. mechanisms of, a free and open market constrained by competition. The Exchange believes that it is and a national market system and, in The Exchange believes that charging reasonable to not charge third-party general, protect investors and the public distinct fees for different NCL Services markets or content providers for interest because they provide market is reasonable because not all market connectivity to their own Third Party participants with transparency and participants need or wish to utilize the Data Feeds, as the Exchange clarity as to what connectivity is same NCL Services. The proposed understands that such parties generally included in the purchase of IDS choice of services allows market receive their own feeds for purposes of Network or NMS Network ports by NCL participants to select which NCL diagnostics and testing. The Exchange Customers.18 The notes would also Services to use, based on their business believes that facilitating such make clear that all NCL Customers that needs, and market participants are only diagnostics and testing removes voluntarily select to access the IDS charged for the services that they select. impediments to, and perfects the Network or NMS Network receive the By charging only those market mechanisms of, a free and open market same access and connectivity, and are participants that utilize an NCL Service and a national market system and, in not subject to a charge above and the related fee, those market general, protects investors and the beyond the fee paid for the relevant IDS participants that directly benefit from a public interest. Network or NMS Network ports. The service support its cost. Finally, the Exchange believes it is notes further make clear that NCL In addition, the Exchange believes reasonable to make available third party Customers are not required to use any that the proposed fees are reasonable testing and certification feeds to enable of their bandwidth to access Exchange because they allow the costs associated customers to test and certify their with offering different NCL Services to systems or connect to an Included Data connections to third party data feeds. be defrayed or covered while providing Product unless they wish to do so; market participants the benefit of such The Proposed Change Is Equitable rather, an NCL Customer only receives services. The Exchange believes that the The Exchange believes that its the access and connectivity that it proposed charges are reasonable proposal equitably allocates its fees selects, and can change what access or because IDS offers NCL Services as among market participants. connectivity it receives at any time, conveniences to market participants, but The Exchange believes that the subject to authorization from the data in order to do so must provide, proposed change is equitable because it provider or the relevant Exchange or maintain, and operate the Mahwah Data would not apply differently to distinct Affiliate SRO.19 Notes 1, 2, 3, and 4 are Center facility hardware and technology types or sizes of market participants. all based on similar provisions in the infrastructure. IDS needs to provide Rather, it would apply to all NCL Exchange’s Price List for colocation. network infrastructure that keeps pace Customers equally. Other NCL Services: The Exchange with the number of services available to In addition, the Exchange believes believes it is reasonable to specify in the NCL Customers, including any that the proposal is equitable because Fee Schedule NCL Services that IDS increasing demand for bandwidth, and only the market participants that handle the installation, administration, voluntarily select to receive the services 18 See Securities Exchange Act Release Nos. 79730 (January 4, 2017), 82 FR 3045 (January 10, monitoring, support, and maintenance described herein would be charged for 2017) (SR–NYSE–2016–92); 79728 (January 4, of such services, including by them. The services described in this 2017), 82 FR 3035 (January 10, 2017) (SR– responding to any production issues. In filing are available to all market NYSEMKT–2016–126); 79729 (January 4, 2017), 82 addition, in order to provide participants on an equal basis (i.e., the FR 3061 (January 10, 2017) (SR–NYSEArca–2016– 172). connectivity to Third Party Data Feeds, same products and services are available 19 The General Note on page 1 of the Fee Third Party Systems, third party testing to all market participants), and all Schedule would also apply to all of the services and certification feeds, and DTCC, IDS market participants that voluntarily proposed herein. A market participant that incurs must establish and maintain multiple select a specific proposed service are fees for NCL connectivity or other NCL Services from the Exchange or one of the Affiliate SROs connections to each Third Party Data charged the same amount for that would not be subject to fees for the same service Feed, Third Party System, and DTCC, service as all other market participants charged by the other Affiliate SROs. allowing IDS to provide resilient and purchasing that service.

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IDS faces competition from numerous subject to charges above and beyond the C. Self-Regulatory Organization’s other providers that offer market fee paid for the relevant IDS Network or Statement on Comments on the participants choices for connectivity to NMS Network port. Further, Notes 1, 2, Proposed Rule Change Received From the Mahwah Data Center, Exchange 3, and 4 specify that NCL Customers Members, Participants, or Others Systems, Third Party Systems, Included will not be charged for any access or No written comments were solicited Data Products, Third Party Data Feeds, connectivity that they had not or received with respect to the proposed third party testing and certification 20 selected. rule change. feeds, and DTCC. Without this proposed rule change, market participants seeking For these reasons, the Exchange III. Date of Effectiveness of the such connectivity would have fewer believes that the proposal is consistent Proposed Rule Change and Timing for options. With this proposal, market with the Act. Commission Action participants would have more choices B. Self-Regulatory Organization’s Within 45 days of the date of with respect to the form and price of the Statement on Burden on Competition publication of this notice in the Federal services they use, allowing market Register, or such longer period up to 90 participants to select the services and The proposed change does not affect days (i) as the Commission may connectivity options that better suit competition among national securities designate if it finds such longer period their needs, thereby helping them tailor exchanges or among members of the to be appropriate and publishes its their connectivity operations to the Exchange, but rather between IDS and reasons for so finding or (ii) as to which requirements of their businesses. its commercial competitors. The Exchange believes that the the self-regulatory organization proposed NCL Notes 1 and 4 are As noted above, the Exchange is consents, the Commission will: equitable because they specify that NCL making the current proposal solely as a (A) By order approve or disapprove Customers that voluntarily select to result of the Commission’s recent the proposed rule change, or access the IDS Network or NMS interpretation of the definitions of (B) institute proceedings to determine Network would not be subject to charges ‘‘exchange’’ and ‘‘facility’’ in the whether the proposed rule change above and beyond the fee paid for the Wireless Approval Order, which the should be disapproved. relevant IDS Network or NMS Network Exchange is presently challenging on IV. Solicitation of Comments port. Further, Notes 1, 2, 3, and 4 appeal to the Court of Appeals for the Interested persons are invited to specify that NCL Customers will not be 21 District of Columbia Circuit. The submit written data, views, and charged for any access or connectivity Exchange has nevertheless proposed that they had not selected. arguments concerning the foregoing, this rule change in order to preserve the including whether the proposed rule The Proposed Change Is Not Unfairly ability of IDS to offer the services at change is consistent with the Act. Discriminatory issue herein. If IDS were compelled to Comments may be submitted by any of The Exchange believes its proposal is stop offering such services, consumers the following methods: would have fewer service providers to not unfairly discriminatory. The Electronic Comments proposed change does not apply choose from for their connectivity • differently to distinct types or sizes of needs, which would be a detriment to Use the Commission’s internet market participants. Rather, it applies to competition overall. comment form (http://www.sec.gov/ all market participants equally. The rules/sro.shtml); or Notwithstanding the foregoing, the • purchase of any proposed service is Exchange notes that there are numerous Send an email to rule-comments@ completely voluntarily and the Fee other third parties that provide circuits sec.gov. Please include File Number SR– NYSENAT–2021–04 on the subject line. Schedule will be applied uniformly to and connectivity at the Mahwah Data all market participants. Center, and that IDS competes with Paper Comments IDS faces competition from numerous those third parties for the provision of • Send paper comments in triplicate other providers that offer market such services to customers. None of participants choices for connectivity to to Secretary, Securities and Exchange these third parties have been compelled the Mahwah Data Center, Exchange Commission, 100 F Street NE, to file their services or fees with the Systems, Third Party Systems, Included Washington, DC 20549–1090. Commission, and requiring IDS to do so Data Products, Third Party Data Feeds, All submissions should refer to File third party testing and certification puts IDS at a competitive disadvantage Number SR–NYSENAT–2021–04. This feeds, and DTCC. Without this proposed vis-a`-vis its competitors. Requiring the file number should be included on the rule change, market participants seeking Exchange to file IDS services and fees subject line if email is used. To help the such connectivity would have fewer herein is therefore a burden on Commission process and review your options. With this proposal, market competition. comments more efficiently, please use participants would have more choices The Exchange believes competition only one method. The Commission will with respect to the form and price of the would be best served by allowing IDS to post all comments on the Commission’s services they use, allowing market freely compete with the other providers internet website (http://www.sec.gov/ participants to select the services and of connectivity services, without the rules/sro.shtml). Copies of the connectivity options that better suit additional burden on IDS alone to file submission, all subsequent their needs, thereby helping them tailor any proposed changes to services and amendments, all written statements their connectivity operations to the fees with the Commission. with respect to the proposed rule requirements of their businesses. change that are filed with the The Exchange believes that the Commission, and all written proposed NCL Notes 1 and 4 are not be 20 In addition, the General Note on page 1 of the communications relating to the unfairly discriminatory because they Fee Schedule would apply to all of the services proposed rule change between the specify that NCL Customers that proposed herein. See supra note 19. Commission and any person, other than voluntarily select to access the IDS 21 Intercontinental Exchange, Inc. v. SEC, No. 20– those that may be withheld from the Network or NMS Network are not be 1470 (D.C. Cir. 2020). public in accordance with the

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provisions of 5 U.S.C. 552, will be https://listingcenter.nasdaq.com/ and Orders) to make non-substantive available for website viewing and rulebook/ise/rules, at the principal changes, among other changes, to printing in the Commission’s Public office of the Exchange, and at the replace references to Professional Reference Room, 100 F Street NE, Commission’s Public Reference Room. interest with non-Priority Customer Washington, DC 20549, on official 10 II. Self-Regulatory Organization’s interest. The Exchange now proposes business days between the hours of Statement of the Purpose of, and to make similar changes to replace all 10:00 a.m. and 3:00 p.m. Copies of the Statutory Basis for, the Proposed Rule instances of ‘‘Professional’’ interest with filing also will be available for Change ‘‘non-Priority Customer’’ interest inspection and copying at the principal throughout its auction allocation rules office of the Exchange. All comments In its filing with the Commission, the in Options 3, Section 11 and Section 13 Exchange included statements received will be posted without change. to align with the changes made in SR– concerning the purpose of and basis for Persons submitting comments are ISE–2019–21.11 While the term the proposed rule change and discussed cautioned that we do not redact or edit ‘‘Professional Orders’’ is defined within any comments it received on the personal identifying information from Options 1, Section 1(a)(39) as an order comment submissions. You should proposed rule change. The text of these statements may be examined at the that is for the account of a person or submit only information that you wish entity that is not a Priority Customer, to make available publicly. All places specified in Item IV below. The the Exchange believes that using the submissions should refer to File Exchange has prepared summaries, set term ‘‘non-Priority Customer’’ is more Number SR–NYSENAT–2021–04, and forth in sections A, B, and C below, of clear in describing the types of market should be submitted on or before March the most significant aspects of such participant to which the allocation 25, 2021. statements. applies, and also reduces confusion For the Commission, by the Division of A. Self-Regulatory Organization’s regarding any reference to Professional Trading and Markets, pursuant to delegated Statement of the Purpose of, and Orders or Professional Customer orders. authority.22 Statutory Basis for, the Proposed Rule J. Matthew DeLesDernier, Change In addition, the Exchange proposes to Assistant Secretary. make universal changes in its 1. Purpose 12 [FR Doc. 2021–04422 Filed 3–3–21; 8:45 am] Facilitation and Solicitation rules to BILLING CODE 8011–01–P The purpose of the proposed rule clearly delineate between orders and change is to amend various rules in Responses 13 of the same capacity. For Options 3 and Options 5. The proposed example, where the existing rule text SECURITIES AND EXCHANGE changes consist of conforming existing currently states ‘‘Priority Customer bids COMMISSION rules to current System technology, (offers),’’ the Exchange proposes instead amending rule text to add greater detail to state ‘‘Priority Customer Orders and [Release No. 34–91223; File No. SR–ISE– on how certain Exchange functionality 2021–01] Priority Customer Responses to buy operate today, and conforming language (sell).’’ The Exchange notes that this is Self-Regulatory Organizations; Nasdaq within the Exchange’s rules to the rules merely a non-substantive change as ISE, LLC; Notice of Filing and of other exchanges. As such, no System auction orders and Responses of the Immediate Effectiveness of Proposed changes to existing functionality are same capacity do not get treated Rule Change To Amend Various Rules being made pursuant to this proposal. differently for allocation purposes in Options 3 and Options 5 Rather, this proposal is designed to today. The rules for complex reduce any potential investor confusion Facilitation and Solicitation already February 26, 2021. as to the features and applicability of distinguish between orders and Pursuant to Section 19(b)(1) of the certain functionality presently available Responses, so the Exchange is simply Securities Exchange Act of 1934 on the Exchange. These changes are amending those complex rules to clearly 1 2 (‘‘Act’’), and Rule 19b–4 thereunder, described in detail below, and include state how, for example, Priority notice is hereby given that on February amending Exchange rules governing: (1) Customer Complex Orders and Priority 3 18, 2021, Nasdaq ISE, LLC (‘‘ISE’’ or The Block Order Mechanism (‘‘Block’’), Customer Responses get allocated ‘‘Exchange’’) filed with the Securities (2) the Facilitation Mechanism today 14 With the proposed changes, the and Exchange Commission (‘‘SEC’’ or (‘‘Facilitation’’),4 (3) the Solicited Order 5 Exchange seeks to include a similar ‘‘Commission’’) the proposed rule Mechanism (‘‘Solicitation’’), (4) the level of detail within its simple and change as described in Items I, II, and Price Improvement Mechanism complex Facilitation and Solicitation (‘‘PIM’’),6 (5) Trade Value Allowance III, below, which Items have been rules in order to bring transparency prepared by the Exchange. The (‘‘TVA’’),7 (6) Anti-Internalization,8 and (7) the exposure mechanism Commission is publishing this notice to 10 9 See Securities Exchange Act Release No. 86947 solicit comments on the proposed rule (‘‘Exposure’’). (September 12, 2019), 84 FR 49165 (September 18, change from interested persons. Universal Changes 2019) (SR–ISE–2019–21). 11 Specifically in Options 3, Section 11, the I. Self-Regulatory Organization’s In September 2019, the Exchange Exchange will amend current subsections (a)(2)(B), Statement of the Terms of Substance of amended its regular allocation rule in (b)(3)(A)–(C) (renumbered to (b)(4)(A)–(C) under the Proposed Rule Change Options 7, Section 10 (Priority of Quotes this proposal), (c)(7)(A)–(C), (d)(2)(C) (renumbered to (d)(3)(C) under this proposal), and (e)(4)(D). In The Exchange proposes to amend Options 3, Section 13, the Exchange will amend various rules in Options 3 and Options 3 See Options 3, Section 11(a). current subsections (d)(1)–(3) and (e)(5)(i)–(iii). 5. 4 See Options 3, Section 11(b). 12 Specifically in Options 3, Section 11, The text of the proposed rule change 5 See Options 3, Section 11(d). subsections (b)(3)(A)–(C) (renumbered to (b)(4)(A)– 6 is available on the Exchange’s website at See Options 3, Section 13. (C)), and (d)(2)(A) and (C) (renumbered to (d)(3)(A) 7 See Supplementary Material .03 to Options 3, and (C)) will be updated. Section 14. 13 A ‘‘Response’’ is an electronic message that is 22 17 CFR 200.30–3(a)(12). 8 See Options 3, Section 15(a)(3)(A). sent by Members in response to a broadcast 1 15 U.S.C. 78s(b)(1). 9 See Supplementary Material .02 to Options 5, message. See Options 3, Section 11. 2 17 CFR 240.19b–4. Section 2. 14 See Options 3, Section 11(c)(7) and (e)(4).

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around how allocation takes place in Priority Customer Response 1 to sell 40 subsection (b)(1),18 which will provide those auction mechanisms today. contracts @1.40 that Orders must be entered into the Priority Customer Response 2 to sell 10 Facilitation Mechanism at a price that is Block Order Mechanism contracts @1.40 (A) equal to or better than the NBBO on The Exchange proposes minor Priority Customer Response 3 to sell 10 the same side of the market as the contracts @1.39 changes to the current descriptions of agency order unless there is a Priority the Block execution and allocation The block execution price would be $1.40 Customer order on the same side process in Options 3, Section 11(a). As (i.e., the price at which the maximum Exchange best bid or offer, in which discussed below, the proposed Block number of contracts could be executed) and would be executed as follows: case the order must be entered at an changes are non-substantive in nature, improved price; and (B) equal to or and are intended to harmonize with the Block order trades 10 with Priority Customer 19 Response 3 @1.40 better than the ABBO on the opposite Block rule on its affiliated market, BX side. Orders that do not meet these Options (‘‘BX’’) in order to ensure rule Block order trades 40 with Priority Customer Response 1 @1.40 requirements are not eligible for the consistency between the Exchange and Facilitation Mechanism and will be its affiliate offering identical As shown above, Priority Customer rejected. The Exchange is not proposing functionality. Response 3 would be executed in full any other changes to the current entry First, the Exchange proposes to add since it is priced better than the block requirements for Facilitation. The new ‘‘up to the size of the block order’’ at the execution price and there is sufficient subsection (b)(1) would simply provide end of subsection (a)(2)(A). As size to execute Response 3 against the additional detail about simple amended, the rule will provide that bids block order, while Priority Customer Facilitation’s existing entry checks, and (offers) on the Exchange at the time the Responses 1 and 2, which are priced at align to the level of detail currently block order is time the block order is the block execution price, would within the complex Facilitation rule executed that are priced higher (lower) participate in price time priority—i.e., regarding entry checks.20 than the block execution price, as well the remaining 40 contracts would go to Example 2 as Responses that are priced higher Response 1, which was received before Assume the following market: (lower) than the block execution price, Response 2. will be executed in full at the block ISE BBO: 1 × 2 (also NBBO) execution price up to the size of the Facilitation Mechanism CBOE: 0.75. *times; 2.25 (next best exchange block order. The Exchange is making quote) this non-substantive change to align The Exchange proposes a number of Facilitation order is entered to buy 50 with BX’s Block rule,15 which will changes to its Facilitation rule, none of contracts @2.05 ensure rule consistency for identical which will change the current operation No Responses are received. functionality across affiliated markets. of this technology offering. Many of the The Facilitation order executes with The language states that better priced proposed changes are intended to align resting 50 lot quote @2. In this instance, interest gets executed in full only if the simple Facilitation rule in Options the Facilitation order is able to begin there is sufficient size to execute against 3, Section 11(b) with the complex crossed with the contra side ISE BBO such interest, which is how block orders Facilitation rule in Options 3, Section because in execution, the resting 50 lot are executed and priced on the 11(c) where relevant. In October 2018, quote @2 is able to provide price Exchange and BX today. the Exchange amended its complex improvement to the facilitation order. Second, the Exchange proposes a non- order rules to provide greater clarity and In renumbered subsection (b)(2), the substantive change in the first sentence additional detail regarding the operation Exchange proposes to add language to of subsection (a)(2)(B) to replace ‘‘first and applicability of complex order describe the content of the broadcast and in time priority’’ with ‘‘first in price functionality, including complex message sent to Members upon entry of time priority.’’ As amended, the rule auction mechanisms like complex an order into simple Facilitation. In will provide that at the block execution Facilitation.17 Accordingly, the particular, the Exchange proposes to price, Priority Customer Orders and Exchange seeks to make aligning specify that the broadcast message Priority Customer Responses will be changes and update its simple auction includes the series, price and size of the executed first in price time priority. This mechanism rules to similarly provide Agency Order, and whether it is to buy is not a change to the current Block the level of detail that now exists in its or sell. Although this change reflects allocation methodology, but rather a complex auction mechanism rules. The current functionality, the existing rule is non-substantive change for better proposed changes are also intended to silent in this regard and only indicates readability, and to align with BX’s Block align with the simple Facilitation rules that a broadcast message is sent upon rule 16 in order to ensure rule of the Exchange’s affiliated markets, the order’s entry into the mechanism. consistency for identical functionality Nasdaq GEMX (‘‘GEMX’’) and Nasdaq across affiliated markets. Block orders MRX (‘‘MRX’’). The Exchange also 18 As a result, current subsections (b)(1)—(3) will will continue to trade at a single proposes to more accurately describe be renumbered as (b)(2)—(4). The Exchange will execution price that allows the how orders will be allocated in also renumber current subsection (b)(3)(D) as maximum number of contracts of the Facilitation’s ‘‘auto-match’’ subsection (b)(5). 19 The term ‘‘Away Best Bid or Offer’’ or ‘‘ABBO’’ block order to be executed against both functionality. means the displayed National Best Bid or Offer not the Responses entered to trade against In Options 3, Section 11(b), the including the Exchange’s Best Bid or Offer. See the order and unrelated interest on the Exchange proposes to add new Options 1, Section 1(a)(4). Exchange’s order book. 20 See Options 3, Section 11(c)(1) and (c)(2). Complex Facilitation refers to the Exchange’s best Example 1 17 See Securities Exchange Act Release No. 84373 bid or offer instead of the NBBO or ABBO. There Block order is entered to buy 50 contracts @ (October 5, 2018), 83 FR 51730 (October 12, 2018) is no NBBO for complex orders as complex orders 1.50 (SR–ISE–2018–56) (‘‘Complex Order Filing’’). As may be executed without consideration of any The following Responses are received: discussed later in this filing, the Complex Order prices that might be available on other exchanges Filing also clarified the Exchange’s complex trading the same options contracts. See Options 3, Solicitation and PIM rules, and the Exchange is Section 14(d). Additionally, executions of legs of 15 See BX Options 3, Section 11(a)(2)(A). proposing to align the simple Solicitation and PIM complex orders are exceptions to the prohibition on 16 See BX Options 3, Section 11(a)(2)(B). rules with the complex rules where possible. trade-throughs. See Options 5, Section 2(b)(7).

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Identical language currently exists in Facilitation rule to provide that the For greater consistency within its the rules governing simple Facilitation Member will ‘‘be allocated up to’’ forty Rulebook, the Exchange will also make on GEMX and MRX, which operate in percent. The current complex the same changes in the complex the same way as ISE’s simple Facilitation language provides that the Facilitation auto-match rule in Options Facilitation.21 Member will ‘‘execute at least forty 3, Section 11(c)(7)(C). In renumbered subsection (b)(3), the percent’’ or that the Member will ‘‘be Lastly, the Exchange proposes to add Exchange proposes to replace the words allocated at least forty percent.’’ 25 The at the end of Supplementary Material ‘‘must not exceed’’ with ‘‘will only be non-substantive language proposed for .01 to Options 3, Section 11 that any considered up to’’ in order to align with complex Facilitation will therefore serve solicited contra orders entered by identical language in the complex to harmonize the complex rule with the Members into the Facilitation Facilitation rule.22 This change more amended simple rule. Mechanism to trade against Agency accurately describes that the System The Exchange also proposes to more Orders may not be for the account of a will cap Responses to the size of the accurately describe Facilitation’s auto- Nasdaq ISE Market Maker that is auction for purposes of allocation match functionality, which provides an assigned to the options class.29 This methodology. enhanced price improvement language was included in the approval In renumbered subsection (b)(4)(A), opportunity for the agency order by order to SR–ISE–2006–78 to allow the Exchange proposes to provide that permitting the contra-side order to solicited transactions in ISE’s the facilitation order will be cancelled at further participate in the cross by auto- Facilitation Mechanism, so the the end of the exposure period if an matching the price and size of proposed change will import that execution would take place at a price competing interest providing price prohibition into the rule text for greater that is inferior to the best bid (offer) on improvement from other market transparency. the Exchange. This is a non-substantive 26 change that makes clear that any participants. The rule currently Solicited Order Mechanism provides that upon entry of an order executions in Facilitation will comply The Exchange proposes a number of into the Facilitation Mechanism, the with the general prohibition on trade- changes to its Solicitation rule, none of facilitating Electronic Access Member throughs in Options 5, Section 2(a). which will change the current operation can elect to automatically match the Identical language is included in the of this technology offering. price and size of orders, quotes and rules governing simple Facilitation on In Options 3, Section 11(d), the responses received during the exposure GEMX and MRX.23 Exchange proposes to add new period up to a specified limit price or In renumbered subsections (b)(4)(B) subsection (d)(1),30 which will provide without specifying a limit price. In this and (b)(4)(C), the Exchange proposes to that orders must be must be entered into case, the facilitating Electronic Access amend the rule to provide that the the Solicited Order Mechanism at a Member will be allocated its full size at facilitating Member will be allocated up price that is equal to or better than the each price point, or at each price point to forty percent (40%) (or such lower NBBO on both sides of the market; within its limit price is a limit is percentage requested by the Member) of provided that, if there is a Priority specified, until a price point is reached the original size of the facilitation order. Customer order on the Exchange best where the balance of the order can be If the Member requests a lower bid or offer, the order must be entered fully executed.27 allocation percentage, the contra-side The Exchange at an improved price. Orders that do not order would receive an allocation proposes to state that if a Member elects meet these requirements are not eligible consistent with the percentage to auto-match, the facilitating Electronic for the Solicited Order Mechanism and requested by the Member. Regardless of Access Member will be allocated the will be rejected. The Exchange is not the Member’s request, the contra-side aggregate size of all competing quotes, proposing any other changes to the order would still be responsible for orders, and Responses (instead of ‘‘its current entry requirements for executing up to the full size of the full size’’) at each price point, or at each Solicitation. The new subsection (d)(1) agency order if there is not enough price point up to the specified limit would simply provide additional detail interest to execute the agency order at price (instead of ‘‘within its limit price’’) about simple Solicitation’s existing a particular price. Similar language if a limit is specified, until a price point entry checks, and align to the level of indicating that the Member may request is reached where the balance of the detail currently within the complex a lower allocation percentage than 40% order can be fully executed. The Solicitation rule regarding entry Exchange believes that the modified is currently included in the complex checks.31 Facilitation rule, which operate in the language more accurately explains how Example 3 same way as the simple Facilitation in the functionality works today, and this manner.24 For greater consistency better aligns with how this feature is Assume the following market: between its simple and complex described in the Auto-Match Filing.28 ISE BBO: 1 × 2 (also NBBO) Facilitation rules, the Exchange also proposes to make aligning, non- 25 Id. during the auction or up to a specified limit price substantive changes in the complex 26 See Securities Exchange Act Release No. 62644 if a limit is specified. (August 4, 2010), 75 FR 48395 (August 10, 2010) 29 See Securities Exchange Act Release No. 55557 (SR–ISE–2010–61) (‘‘Auto-Match Filing’’). As (March 29, 2007), 72 FR 16838 (April 5, 2007) (SR– 21 See GEMX and MRX Options 3, Section discussed later in this filing, the Auto-Match Filing ISE–2006–78) (Order Granting Approval of 11(b)(1). also introduced the auto-match feature on PIM. As Proposed Rule Change Relating to Facilitation 22 See Options 3, Section 11(c)(6). such, the Exchange is proposing to make similar Mechanism). 23 See GEMX and MRX Options 3, Section changes in PIM’s auto-match rule as proposed for 30 As a result, current paragraphs (d)(1)–(3) will 11(b)(3). Facilitation’s auto-match rule. be renumbered accordingly. The Exchange will also 24 See Options 3, Section 11(c)(7)(B) and (C). 27 See Options 3, Section 11(b)(3)(C) (renumbered renumber current paragraph (d)(2)(D) as paragraph Other options exchanges such as BX provide similar to Section 11(b)(4)(C) under this proposal). (d)(4). functionality that allows members using an auction 28 The Auto-Match Filing describes the auto- 31 See Options 3, Section 11(e)(1). Complex mechanism to configure allocation priority. See, match feature as allowing the initiating member to Solicitation refers to the Exchange’s best bid or offer e.g., BX Options 3, Section 13, which provides a submit a contra-side order that will automatically instead of the NBBO. As noted above, there is no similar feature for the BX Options Price match the price and size set forth by the competing NBBO for complex orders, and executions of legs Improvement Auction (‘‘PRISM’’) called interest from other market participants (i.e., auction of complex orders are exceptions to the prohibition ‘‘Surrender.’’ responses, quotes, and orders) at any price level of trade-throughs. See supra note 20.

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CBOE: 0.75. × 2.25 (next best exchange quote) for greater numbering consistency provide in Supplementary Material .04 Solicitation order is entered to buy 500 within the PIM rule. to Options 3, Section 13 that PIMs will contracts @ 2.05 In subsection (d)(3), which describes not queue or overlap in any manner, The Solicitation order is rejected upon how allocation and execution takes except as described in Options 3, entry for being crossed with the NBBO place in simple PIM, the Exchange Section 11(f) and (g). Sections 11(f) and on the contra side. In contrast to proposes that the Counter-Side Order (g) set forth the governing provisions for Example 2 above for Facilitation, the will be allocated the greater of one concurrent complex auctions and Solicitation order in this instance is not contract or 40% (or such lower concurrent complex and simple able to begin crossed with the contra percentage requested by the Member) of auctions. The proposed changes to add side ISE BBO because of the all-or-none the initial size of the Agency Order. in the cross-cites to Sections 11(f) and contingency of the Solicitation order.32 Similar to Facilitation as discussed (g) will make clear that two simple or In renumbered subsection (d)(2), the above, the System currently permits two complex PIM auctions are not Exchange proposes to add language to Members entering orders into PIM to permitted to run concurrently, but that describe the content of the broadcast elect to receive a percentage allocation a simple PIM auction may run message sent to Members upon entry of that is less than 40%, although the concurrently with a complex PIM an order into simple Solicitation. In current rule is silent in this regard. If the auction. Member requests a lower allocation particular, the Exchange proposes to Trade Value Allowance specify that the broadcast message percentage, the Counter-Side Order The Exchange proposes a non- includes the series, price and size of the would receive an allocation consistent substantive change to amend the TVA Agency Order, and whether it is to buy with the percentage requested by the rule in Supplementary Material .03 to or sell. While this change reflects Member. Regardless of the Member’s Options 3, Section 14 to add a cross-cite current functionality, the existing rule is request, the Counter-Side Order would to the complex PIM rule in Options 3, silent in this regard and only indicates still be responsible for executing up to Section 13, which was inadvertently that a broadcast message is sent upon the full size of the agency order if there omitted when the Exchange relocated the order’s entry into the mechanism. is not enough interest to execute the the complex auctions rules in a prior Identical language already exists in the agency order at a particular price. filing.36 In SR–ISE–2019–05, the rules governing simple Solicitation on Complex PIM, which shares the same original cross-cite within the TVA rule GEMX and MRX, which operate in the allocation feature as simple PIM, was updated from Supplementary same way as the ISE’s simple already has this concept within the rule, 33 so the proposed changes will align the Material .08 to Rule 722 to Rule 716 Solicitation. (now Options 3, Section 11). Lastly, the Exchange also proposes simple PIM rule with the complex PIM rule.35 Supplementary Material .08 to Rule 722 technical changes in renumbered set forth the complex auction subsection (d)(3) to correct the internal The Exchange also proposes to more accurately describe PIM’s auto-match mechanism rules, namely complex lettering and cross-cites within Facilitation, Solicitation, and PIM. SR– paragraphs (A) through (C). functionality in a similar manner as Facilitation’s auto-match functionality, ISE–2019–05 relocated complex Price Improvement Mechanism as discussed above. In this instance, the Facilitation and Solicitation to Rule 716 (now Options 3, Section 11), but moved The Exchange proposes a number of Exchange proposes to amend the third sentence of subsection (d)(3) to provide: complex PIM to Rule 723 (now Options changes to the PIM rule, none of which 3, Section 13). As such, the original will change the current operation of this ‘‘If a Member elects to auto-match, the Counter-Side Order will be allocated the cross-cite in the TVA rule should have technology offering. As noted above, been updated to include complex PIM many of these modifications are similar aggregate size of all competing quotes, orders, and Responses at each price in Rule 723 but was inadvertently to the changes proposed for Facilitation. omitted. The Exchange proposes in Options 3, point up to the specified limit price if a limit is specified, until a price point TVA is a functionality that allows Section 13(b)(2) to delete ‘‘national best complex orders to trade outside of their bid or offer’’ as NBBO is already defined is reached where the balance of the order can be fully executed.’’ Similar to expected notional trade amount by a in subsection (b)(1) above. The specified amount. The amount of TVA Exchange proposes in subsection (c)(2) the proposed amendments to simple Facilitation’s auto-match, the Exchange permitted may be determined by the to provide that responses in the PIM Member, or a default value determined believes that the proposed language for (i.e., ‘‘Improvement Orders’’) will only by the Exchange and announced to simple PIM’s auto-match more clearly be considered up to the size of the Members.37 The TVA rule currently explains how the functionality works Agency Order. The proposed provides, however, that any amount of today, and better aligns with how this amendment will specifythat the System TVA is permitted in auction feature is described in the Auto-Match will cap the size of the Improvement mechanisms pursuant to Options 3, Filing. For greater consistency within its Orders to the auction size for purposes Section 11 when auction orders do not Rulebook, the Exchange will also make of the allocation methodology. This is trade solely with their contra-side order. the same changes in the complex PIM similar to the change proposed above for The Exchange now proposes to add a auto-match rule in Options 3, Section simple Facilitation, and also aligns to cross-cite to Options 3, Section 13 to identical language in the complex PIM 13(e)(5)(iii). specify that TVA also applies to The Exchange further proposes rule.34 The Exchange also proposes in complex PIM auctions in this manner. technical amendments in subsection subsection (c)(3) to amend the internal The Exchange will also provide that (d)(3) to replace all instances of numbering from (1) and (2) to (i) and (ii) TVA applies to ‘‘complex’’ mechanisms ‘‘Counter-Side order’’ as ‘‘Counter-Side in the cited rules. These changes will 32 See Options 3, Section 11(d) (requiring that Order’’ to use the correct terminology. each Solicitation order be designated as all-or- Lastly, the Exchange proposes to 36 See Securities Exchange Release No. 85308 none). (March 13, 2019), 84 FR 10136 (March 19, 2019) 33 See GEMX and MRX Options 3, Section 35 See Options 3, Section 13(e)(5)(iii). As noted (SR–ISE–2019–05). 11(d)(1). above, BX has a similar feature called Surrender for 37 See Supplementary Material .03 to Options 3, 34 See Options 3, Section 13(e)(4)(i). its PRISM auction. See supra note 24. Section 14.

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align the rule text to how TVA is through the ABBO, when the ABBO is Mechanism’’ to use the correct presently implemented in the System. better than the Exchange BBO. terminology. The Exchange notes that its complex Supplementary Material .02 to Lastly, the Exchange proposes some auction mechanisms provide an Options 5, Section 2 currently provides harmonizing changes throughout its opportunity for market participants to that when the automatic execution of an Rulebook to align with the rule respond with better-priced interest that incoming order would result in an numbering and titles with that of its could execute against an Agency Order. impermissible Trade-Through, such affiliates. Specifically, the Exchange As such, the Exchange believes that it is order would be exposed at the current proposes to add a new Options 4B and appropriate to ensure that paired orders NBBO to all Exchange Members for a reserve it in the Rulebook in order to entered into complex Facilitation, time period established by the Exchange harmonize its Options Rule numbering Solicitation and PIM that are broken up not to exceed one (1) second. with that of its affiliates, GEMX and due to better-priced interest are actually Supplementary Material .01 to Options Nasdaq PHLX LLC (‘‘Phlx’’). The executed against such better-priced 5, Section 3, however, currently Exchange also proposes to retitle interest, and are not restricted from provides that when the price of an General 4 (currently titled ‘‘Regulation’’) trading due to TVA settings of one or incoming limit order that is not to ‘‘Registration Requirements’’ to more Members. executable upon entry would lock or harmonize its General Rule titles with that of its affiliates The Nasdaq Stock Anti-Internalization cross a Protected Quotation, such order would be handled in accordance with Market LLC and Nasdaq BX, Inc. The Exchange proposes to amend its the Exposure process in Supplementary 2. Statutory Basis Material .02 to Options 5, Section 2.40 anti-internalization (‘‘AIQ’’) rule in The Exchange believes that its Options 3, Section 15(a)(3)(A). The Exchange proposes to modify proposal is consistent with Section 6(b) Specifically, the Exchange proposes to Supplementary Material .02 by of the Act,41 in general, and furthers the add that AIQ does not apply during the removing the portion related to the objectives of Section 6(b)(5) of the Act,42 opening process or reopening process automatic execution of an incoming in particular, in that it is designed to following a trading halt pursuant to order that would result in an promote just and equitable principles of Options 3, Section 8 to provide more impermissible Trade-Through, and trade, to remove impediments to and specificity on how this functionality instead providing within this Rule that perfect the mechanism of a free and currently operates. The Exchange notes Exposure will initiate when an open market and a national market that the same procedures used during incoming order is priced at or through system, and, in general to protect the opening process are used to reopen the ABBO, when the ABBO is better investors and the public interest. an option series after a trading halt, and than the Exchange BBO. The current The Exchange believes that its therefore proposes to specify that AIQ language in Supplementary Material .02 proposal is consistent with the will not apply during an Opening only specifies that Exposure is initiated protection of investors and public Process (i.e., the opening and halt when the price of the incoming order is interest as all of the proposed changes reopening process) in addition to an crossed with the ABBO (i.e., would will increase transparency around how auction, as currently within the Rule. result in an impermissible Trade- various existing Exchange mechanisms AIQ is unnecessary during an Opening Through), but does not specify the work today. As such, no System changes Process due to the high level of control scenario in Supplementary Material .01 to existing functionality are being made that Market Makers exercise over their to Options 5, Section 3 when the price pursuant to this proposal. Rather, this quotes during this process. The is locked. As such, the proposed proposal is designed to reduce any proposed changes will align the changes seek to enhance the accuracy of potential investor confusion as to the Exchange’s AIQ rule with BX’s AIQ the rules by codifying both scenarios features and applicability of certain rule, which sets forth materially within the Exposure rule in functionality presently available on the identical functionality.38 Supplementary Material .02. Exchange. Furthermore, many of the proposed Exposure Mechanism Technical Amendments changes seek to provide greater Under the linkage rules, the Exchange The Exchange proposes technical harmonization between the rules of the cannot execute orders at a price that is changes in the Supplementary Material Exchange and its affiliates (notably rules inferior to the NBBO, nor can the to Options 3, Section 11. First, the related to Block, Facilitation, Exchange place an order on its book that Exchange proposes in Supplementary Solicitation, and AIQ), or between the would cause the Exchange best bid or Material .03 to update an incorrect Exchange’s own simple and complex offer to lock or cross another exchange’s cross-cite from Options 3, Section 22(d) auction rules (notably for simple and quote.39 In these circumstances, to Section 22(b), which limits principal complex Facilitation, Solicitation, and 43 Supplementary Material .02 to Options transactions. Second, the Exchange will PIM). The Exchange believes that 5, Section 2 sets forth an Exposure make corrective changes to renumber these harmonizing changes would result mechanism for automated order Supplementary Material .07 to .05, and in greater uniformity, and ultimately handling where eligible incoming orders to update the cross-cite to paragraph less burdensome and more efficient are exposed at the NBBO to all Members (a)(2)(i) therein to paragraph (a)(2)(A). regulatory compliance by market to give them an opportunity to execute Third, the Exchange proposes in participants. As such, the proposed rule the order at the NBBO price or better. renumbered Supplementary Material .07 change would foster cooperation and The Exchange proposes to make clear to update the reference to ‘‘Block coordination with persons engaged in within Supplementary Material .02 that Mechanism’’ to ‘‘Block Order facilitating transactions in securities and an incoming order will be eligible for 41 Exposure if the order is priced at or 40 Such order would also be handled in 15 U.S.C. 78f(b). accordance with Supplementary Material .04 (Non- 42 15 U.S.C. 78f(b)(5). Customer Orders that opt out of the Exposure 43 As noted above, the Exchange seeks to add 38 See BX Options 3, Section 15(c)(1). mechanism) or .05 (Sweep Orders) to Options 5, granularity to its simple auction rules to align with 39 See Options 5, Sections 2 and 3. See also Section 2, as applicable. See Supplementary the level of detail that currently exists within its Options 3, Section 5(d). Material .01 to Options 5, Section 3. complex auction rules. See supra note 17.

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would remove impediments to and greater certainty as to how their Block thereby increasing the opportunity for perfect the mechanism of a free and orders will be executed and allocated. options orders to receive executions on open market and a national market The Exchange also believes that the the Exchange. The Exchange is not system. The Exchange also believes that proposed changes will continue to proposing any changes to the current more consistent rules will increase the ensure a fair and orderly market by content of the broadcast message but understanding of the Exchange’s maintaining and protecting the priority wants to make this clear in its rules, operations for Members that are also of Priority Customer orders, while still which, with this change, would be members on the Exchange’s affiliates, affording the opportunity for all market consistent with the rules of its affiliated thereby contributing to the protection of participants to seek liquidity and exchanges that offer identical investors and the public interest. potential price improvement during functionality.47 Likewise, the proposed Specifically, the Exchange believes each Block auction commenced on the change to add that a facilitation order that the proposed universal changes to Exchange. As noted above, the Exchange would be cancelled at the end of the replace all instances of Professional is not proposing any changes to the exposure period if an execution would interest with non-Priority Customer current execution or allocation take place at a price that is inferior to interest throughout the Exchange’s methodology but believes that the the best bid (offer) on the Exchange is auction allocation rules will add greater changes will promote consistency with intended to ensure compliance with the consistency within the Exchange’s rules. the rulebook of its affiliated exchange general prohibition on trade-throughs in As discussed above, the Exchange BX, which offers identical Options 5, Section 2(a), and to ensure previously made the same modifications functionality.45 consistency across the rules of the within its standard allocation rule in Similarly, the Exchange believes that Exchange and its affiliates that offer Options 7, Section 10, so the proposed specifying the entry checks for simple identical functionality.48 changes will promote more consistent Facilitation and Solicitation is The proposed changes to replace terminology in the rules and make them consistent with the protection of ‘‘must not exceed’’ with ‘‘will only be easier for market participants to investors and the public interest by considered up to’’ in the simple navigate and comprehend. The providing greater consistency to the Facilitation and PIM rules are intended Exchange also believes that using the level of granularity currently within the to more accurately describe that the term ‘‘non-Priority Customer’’ reduces complex Facilitation and Solicitation System will cap the size of Responses to any potential confusion regarding any entry checks.46 The Exchange also the size of the agency order for purposes reference to Professional Orders or believes it is appropriate to require that of allocation. The Exchange is not Professional Customer orders. In the Facilitation order be entered at an amending current System behavior; addition, the Exchange believes that improved price if there is a Priority rather, the modifications will more clearly delineating between orders and Customer order on the same side clearly articulate the handling of Reponses of the same capacity in the Exchange best bid or offer as the agency Responses by the System. In addition, Facilitation and Solicitation rules will order. The Exchange believes this will the proposed changes will serve to bring clarity and transparency around ensure a fair and orderly market by harmonize the simple and complex how allocation takes place in those maintaining priority of orders and auction rules, thereby resulting in auction mechanisms. The complex quotes and protecting Priority Customer greater uniformity and ultimately less Facilitation and Solicitation rules orders, while still affording the burdensome and more efficient currently differentiate between orders opportunity to seek liquidity and for regulatory compliance by market and Responses,44 so the Exchange is potential price improvement during participants.49 aligning the simple rule to the level of each Facilitation auction commenced on The Exchange believes that its granularity already found in the the Exchange. For the same reasons, the proposal to specify in the simple complex rule while also specifying the Exchange believes that it is appropriate Facilitation and PIM rules that an capacity of such order or Response to require that the Solicitation order be initiating Member may elect to receive within the simple and complex rules. entered at an improved price if there is a percentage allocation lower than 40% As noted above, the Exchange is not a Priority Customer order on the is consistent with the Act. This feature changing the current allocation Exchange best bid or offer. provides an initiating Member that methodology, and auction orders and The Exchange further believes that it submits an order into Facilitation or Responses of the same capacity do not is consistent with the Act to specify the PIM with the flexibility to configure its get treated differently for allocation contents of the broadcast message sent allocation percentage up to the full 40% purposes today. to Members upon entry of an order into entitlement. The Exchange notes that The Exchange believes that the simple Facilitation and Solicitation as regardless of the Member’s instruction, proposed changes to the Block rule are the changes will remove any potential the contra-side order would still be consistent with the protection of confusion about what type of auction responsible for executing up to the full investors and the public interest as the information is disseminated. Currently, size of the agency order if there is not modifications will more accurately the broadcast message in simple enough interest to execute the agency reflect the handling of auctions in Facilitation and Solicitation includes order at a particular price. The Block, specifically as it relates to the series, price, and size of the Agency Exchange continues to believe that the execution and allocation. The proposed Order, and whether it is to buy or sell. 40% allocation entitlement is consistent changes will specify that better priced As this information is helpful to auction with the statutory standards for interest entered into Block gets executed participants, the Exchange believes that competition and free and open markets in full only if there is sufficient size to codifying this information into the by promoting price competition within execute against such interest, and that simple Facilitation and Solicitation Facilitation and PIM as Members would Priority Customer interest gets executed rules may encourage greater still have a reasonable opportunity to first in price time priority. This participation within these mechanisms, compete for a significant percentage of specificity will be helpful to market participants utilizing Block and provide 45 See supra notes 15–16, and accompanying text. 47 See supra notes 21 and 33. 46 See supra notes 20 and 31, and accompanying 48 See supra note 23. 44 See supra note 14. text. 49 See supra notes 22 and 34.

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the incoming order. The Exchange also corrective change as the cross-cite to Material .02, and will continue to notes that the configurable 40% complex PIM within the TVA rule was ensure that such order complies with allocation entitlement for simple inadvertently dropped in a prior filing the general prohibition on trade- Facilitation and PIM is consistent with that relocated the complex auction throughs in Options 5, Section 2(a). the configurable allocation entitlements rules.53 As noted above, the Exchange’s The Exchange further believes that the in place on complex Facilitation and complex auction mechanisms provide technical changes it is proposing PIM as well as on its affiliated exchange, an opportunity for market participants throughout Options 3 are non- BX.50 Accordingly, the Exchange to respond with better-priced interest substantive changes intended to believes that the proposed changes will that could execute against an Agency enhance the accuracy of the Exchange’s promote consistency across the Order. Accordingly, the Exchange Rulebook, which will alleviate potential rulebooks of exchanges offering believes that it is appropriate to ensure confusion as to the applicability of its identical functionality and within its that paired orders entered into complex rules. As discussed above, these changes own Rulebook as well. Facilitation, Solicitation and PIM that consist of updating internal rule With respect to the proposed changes are broken up due to better-priced lettering and cross-cites, and using to the Facilitation and PIM auto-match interest are actually executed against correct terminology. Lastly, the feature, the Exchange is amending the such better-priced interest, and are not Exchange believes that the harmonizing current rule text so that it more restricted from trading due to TVA changes to add a new Options 4B in its accurately explains how the Exchange settings of one or more Members. Rulebook and to retitle General 4, each will allocate an order designated for The Exchange believes its proposal to as discussed above, will serve to further auto-match today. As discussed above, provide that AIQ will not apply during harmonize its Rule numbering and the Exchange is not making any an Opening Process (i.e., the opening titling with that of its affiliates, thereby substantive changes to the allocation process or halt reopening process) will promoting efficiency and conformity of procedure itself; rather the proposed more accurately state how this its processes with those of its affiliated changes are intended to better align how functionality currently operates. AIQ exchanges. this feature is described in the Auto- prevents Market Makers from trading B. Self-Regulatory Organization’s Match Filing.51 Similarly, the Exchange against their own quotes and orders. Statement on Burden on Competition believes that the proposed change in While the Exchange believes that this Supplementary Material .01 to Options protection is useful for Market Makers The Exchange does not believe that 3, Section 11 to add the provision that to manage their trading during regular the proposed rule change will impose any solicited contra orders entered by market hours, applying AIQ is any burden on competition not Members into the Facilitation unnecessary during an Opening Process necessary or appropriate in furtherance Mechanism to trade against Agency due to the high level of control that of the purposes of the Act. As indicated Orders may not be for the account of a Market Makers already exercise over above, no System changes to existing Nasdaq ISE Market Maker that is their quotes during this process. functionality are being made pursuant assigned to the options class will better Furthermore, the proposed AIQ changes to this proposal; rather, this proposal is align the rule text with related filing. As will promote consistency with the designed to reduce any potential discussed above, this restriction was rulebook of its affiliated exchange BX, investor confusion as to the features and included in the approval order to the which offers identical functionality.54 applicability of certain functionality rule filing that allowed solicited The Exchange believes that its presently available on the Exchange. transactions in the Facilitation proposal to provide that Exposure will Therefore, the proposed changes are Mechanism, so the Exchange will initiate when an incoming order is designed to enhance clarity and import that language into the rule text priced at or through the ABBO, when consistency in the Exchange’s Rulebook. for greater transparency.52 the ABBO is better than the Exchange Furthermore, many of the proposed The proposed change in BBO, is consistent with the Act. As changes seek to provide greater Supplementary Material .04 to Options discussed above, the current language in harmonization between the rules of the 3, Section 13 to provide that PIMs will Supplementary Material .02 only Exchange and its affiliates, and therefore not queue or overlap in any manner, specifies that Exposure is initiated when promotes fair competition among the except as described in Options 3, the price of the incoming order is options exchanges. In particular, the Section 11(f) and (g) will make clear that crossed with the ABBO (i.e., would proposed changes discussed above for two simple or complex PIM auctions are result in an impermissible Trade- Block and AIQ are based on BX rules not permitted to run concurrently, but Through), but does not specify the governing identical functionality,55 and that a simple PIM auction may run scenario in Supplementary Material .01 the Facilitation and Solicitation changes concurrently with a complex PIM to Options 5, Section 3 when the price around broadcast message content and auction. The Exchange believes that this is locked. Supplementary Material .01 to trade-through prohibition compliance change will reduce any potential Options 5, Section 3, however, also (Facilitation only) are based on GEMX confusion around how simultaneous currently provides that when the price and MRX rules governing identical PIM auctions are processed by the of an incoming limit order that is not functionality.56 The Exchange notes that System. executable upon entry would lock or it operates in a highly competitive The Exchange believes that the cross a Protected Quotation, such order market in which market participants can proposed change to the TVA rule is a would be handled in accordance with readily direct order flow to competing non-substantive change to say that any the Exposure process in Supplementary venues who offer similar functionality. amount of TVA is permitted in complex Material .02 to Options 5, Section 2. As The Exchange believes that the PIM (in addition to all of the other such, the proposed changes will complex auction mechanisms in enhance the accuracy of the rules by 55 See BX Options 3, Section 11(a) (Block) and Options 3, Section 11). This is a codifying both scenarios within the Section 15(c)(1) (AIQ). Exposure rule in Supplementary 56 See GEMX and MRX Options 3, Section 11(b)(1) (Facilitation broadcast message), Options 3, 50 See supra notes 24 and 35. Section 11(d)(1) (Solicitation broadcast message), 51 See supra note 28. 53 See supra note 36. and Options 3, Section 11(b)(3) (Facilitation 52 See supra note 29. 54 See supra note 38. executions trade-through compliance).

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proposed rule change will enhance Paper Comments SUMMARY: This notice announces a competition among the various markets • Send paper comments in triplicate meeting of the NextGen Advisory for auction execution, potentially to Secretary, Securities and Exchange Committee (NAC). resulting in more active trading in Commission, 100 F Street NE, DATES: The meeting will be held auction mechanisms across all options Washington, DC 20549–1090. virtually only, on March 18, 2021, from exchanges. All submissions should refer to File 10:00 a.m.–1:00 p.m. EDT. Requests to C. Self-Regulatory Organization’s Number SR–ISE–2021–01. This file attend the meeting virtually and request Statement on Comments on the number should be included on the for accommodations for a disability Proposed Rule Change Received From subject line if email is used. To help the must be received by March 5, 2021. If Members, Participants, or Others Commission process and review your you wish to make a public statement comments more efficiently, please use during the meeting, you must submit a No written comments were either only one method. The Commission will written copy of your remarks by March solicited or received. post all comments on the Commission’s 5, 2021. Requests to submit written materials, to be reviewed by NAC III. Date of Effectiveness of the internet website (http://www.sec.gov/ Members before the meeting, must be Proposed Rule Change and Timing for rules/sro.shtml). Copies of the received no later than March 5, 2021. Commission Action submission, all subsequent amendments, all written statements ADDRESSES: The meeting will be a Because the foregoing proposed rule with respect to the proposed rule virtual meeting only. Virtual meeting change does not: (i) Significantly affect change that are filed with the information will be provided upon the protection of investors or the public Commission, and all written registration. Information on the NAC, interest; (ii) impose any significant communications relating to the including copies of previous meeting burden on competition; and (iii) become proposed rule change between the minutes is available on the NAC operative for 30 days from the date on Commission and any person, other than internet website at https://www.faa.gov/ which it was filed, or such shorter time those that may be withheld from the about/office_org/headquarters_offices/ as the Commission may designate, it has public in accordance with the ang/nac/. Members of the public become effective pursuant to Section provisions of 5 U.S.C. 552, will be interested in attending must send the 19(b)(3)(A)(iii) of the Act 57 and available for website viewing and required information listed in the paragraph (f)(6) of Rule 19b–4 printing in the Commission’s Public SUPPLEMENTARY INFORMATION to 9-AWA- thereunder.58 Reference Room, 100 F Street NE, [email protected]. At any time within 60 days of the Washington, DC 20549–1090 on official FOR FURTHER INFORMATION CONTACT: Greg filing of the proposed rule change, the business days between the hours of Schwab, NAC Coordinator, U.S. Commission summarily may 10:00 a.m. and 3:00 p.m. Copies of the Department of Transportation, at temporarily suspend such rule change if filing also will be available for [email protected] or 202–267– it appears to the Commission that such inspection and copying at the principal 1201. Any requests or questions not action is necessary or appropriate in the office of the Exchange. All comments regarding attendance registration should public interest, for the protection of received will be posted without change. be sent to the person listed in this investors, or otherwise in furtherance of Persons submitting comments are section. cautioned that we do not redact or edit the purposes of the Act. If the SUPPLEMENTARY INFORMATION: Commission takes such action, the personal identifying information from Commission shall institute proceedings comment submissions. You should I. Background to determine whether the proposed rule submit only information that you wish The Secretary of Transportation should be approved or disapproved. to make available publicly. All established the NAC under agency submissions should refer to File IV. Solicitation of Comments authority in accordance with the Number SR–ISE–2021–01, and should provisions of the Federal Advisory Interested persons are invited to be submitted on or before March 25, Committee Act (FACA), as amended, submit written data, views, and 2021. Public Law 92–463, 5 U.S.C. App. 2, to arguments concerning the foregoing, For the Commission, by the Division of provide independent advice and including whether the proposed rule Trading and Markets, pursuant to delegated recommendations to FAA, and to 59 change is consistent with the Act. authority. respond to specific taskings received Comments may be submitted by any of J. Matthew DeLesDernier, directly from FAA. The NAC the following methods: Assistant Secretary. recommends consensus-driven advice Electronic Comments [FR Doc. 2021–04428 Filed 3–3–21; 8:45 am] for FAA consideration relating to Air BILLING CODE 8011–01–P Traffic Management System • Use the Commission’s internet modernization. comment form (http://www.sec.gov/ II. Agenda rules/sro.shtml); or DEPARTMENT OF TRANSPORTATION • Send an email to rule-comments@ At the meeting, the agenda will cover sec.gov. Please include File Number SR– Federal Aviation Administration the following topics: ISE–2021–01 on the subject line. • NAC Chairman’s Report NextGen Advisory Committee; Notice • FAA Report of Public Meeting • NAC Subcommittee Chairman’s 57 15 U.S.C. 78s(b)(3)(A)(iii). 58 Report 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– AGENCY: Federal Aviation Æ 4(f)(6) requires a self-regulatory organization to give Administration (FAA), Department of Risk and Mitigations update for the the Commission written notice of its intent to file Transportation. following focus areas: Multiple the proposed rule change at least five business days Runway Operations, Data prior to the date of filing of the proposed rule ACTION: Notice of public meeting. change, or such shorter time as designated by the Communications, Performance Commission. The Exchange has satisfied this Based Navigation, Surface and Data requirement. 59 17 CFR 200.30–3(a)(12). Sharing, and Northeast Corridor

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• NAC Chairman Closing Comments DATES section, will be distributed to the FOR FURTHER INFORMATION CONTACT: The detailed agenda will be posted on members but may not be reviewed prior Daniel Jenkins, 202–366–1067, the NAC internet website at least one to the meeting. Any member of the [email protected], National Travel week in advance of the meeting. public may present a written statement Behavior Data Program Manager, to the committee at any time. Federal Highway Administration, Office III. Public Participation Issued in Washington, DC, this 26th day of of Policy, 1200 New Jersey Avenue SE, This virtual meeting will be open to February 2021. Room E83–414, Washington, DC 20590, the public on a first-come, first served Tiffany Ottilia McCoy, Monday through Friday, except Federal basis. Members of the public who wish General Engineer, NextGen Office of holidays. to attend are asked to register via email Collaboration and Messaging, ANG–M, Office SUPPLEMENTARY INFORMATION: by submitting full legal name, country of the Assistant Administrator for NextGen, Title: Next Generation National of citizenship, contact information Federal Aviation Administration. Household Travel Survey (Next Gen (telephone number and email address), [FR Doc. 2021–04430 Filed 3–3–21; 8:45 am] NHTS) and name of your industry association, BILLING CODE 4910–13–P Type of Request: New request for or applicable affiliation, to the email periodic information collection listed in the ADDRESSES section. When requirement registration is confirmed, registrants DEPARTMENT OF TRANSPORTATION Background: Title 23, United States will be provided the virtual meeting Code, Section 502 authorizes the information/teleconference call-in Federal Highway Administration USDOT to carry out advanced research number and passcode. Callers are [Docket No. FHWA–2025–0005] and transportation research to measure responsible for paying associated long- the performance of the surface distance charges. Agency Information Collection transportation systems in the US, Note: Only NAC Members, members of the Activities: Notice of Request for including the efficiency, energy use, air public who have registered to make a public Approval of a New Information quality, congestion, and safety of the statement, and briefers will have the ability Collection highway and intermodal transportation to speak. All other attendees will be listen systems. The USDOT is charged with only. AGENCY: Federal Highway the overall responsibility to obtain The U.S. Department of Administration (FHWA), DOT. current information on national patterns Transportation is committed to ACTION: Notice of Request for Approval of travel, which establishes a data base providing equal access to this meeting of a New Information Collection. to better understand travel behavior, for all participants. If you need evaluate the use of transportation SUMMARY: The FHWA has forwarded the alternative formats or services because facilities, and gauge the impact of the information collection request described of a disability, please contact the person USDOT’s policies and programs. in this notice to the Office of listed in the FOR FURTHER INFORMATION The NHTS is the USDOT’s Management and Budget (OMB) for CONTACT section. authoritative nationally representative Five minutes will be allotted for oral approval of a new (periodic) data source for daily passenger travel. comments from members of the public information collection. We published a This inventory of travel behavior joining the meeting. To accommodate as Federal Register Notice with a 60-day reflects travel mode (e.g., private many speakers as possible, the time for public comment period on this vehicles, public transportation, walk each commenter may be limited. information collection on November 18, and bike) and trip purpose (e.g., travel Individuals wishing to reserve speaking 2019. We are required to publish this to work, school, recreation, personal/ time during the meeting must submit a notice in the Federal Register by the family trips) by U.S. household request at the time of registration, as Paperwork Reduction Act of 1995. residents. Survey results are used by well as the name, address, and DATES: Please submit comments by federal and state agencies to monitor the organizational affiliation of the April 5, 2021. performance and adequacy of current proposed speaker. If the number of ADDRESSES: You may submit comments facilities and infrastructure, and to plan registrants requesting to make identified by DOT Docket ID Number for future needs. statements is greater than can be (FHWA–2125–0005) by any of the The collection and analysis of reasonably accommodated during the following methods: national transportation data has been of meeting, FAA may conduct a lottery to Website: For access to the docket to critical importance for half a century. determine the speakers. Speakers are read background documents or Previous surveys were conducted in required to submit a copy of their comments received, go to the Federal 1969, 1977, 1983, 1990, 1995, 2001, prepared remarks for inclusion in the eRulemaking Portal: http:// 2009, and 2017. The current survey will meeting records and for circulation to www.regulations.gov. Follow the online be the ninth in this series, and allow NAC members to the person listed instructions for submitting comments. researchers, planners, and officials at under the heading FOR FURTHER Fax: 1–202–493–2251 the state and federal levels to monitor INFORMATION CONTACT. All prepared Mail: Docket Management Facility; travel trends. remarks submitted on time will be U.S. Department of Transportation, Data from the NHTS are widely used accepted and considered as part of the West Building Ground Floor, Room to support research needs within the meeting’s record. W12–140, 1200 New Jersey Avenue SE, USDOT, and State and local agencies, in Members of the public may submit Washington, DC 20590. addition to responding to queries from written statements for inclusion in the Hand Delivery or Courier: U.S. Congress, the research community and meeting records and circulation to the Department of Transportation, West the media on important issues. Current NAC members. Written statements need Building Ground Floor, Room W12–140, and recent topics of interest include: to be submitted to the person listed 1200 New Jersey Avenue SE, • Travel to work patterns by under the heading FOR FURTHER Washington, DC 20590, between 9 a.m. transportation mode for infrastructure INFORMATION CONTACT. Comments and 5 p.m. ET, Monday through Friday, improvements and congestion received after the due date listed in the except Federal holidays. reduction,

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• Access to public transit, paratransit, where contact information is available, through a process that will control the and rail services by various and the contact method is appropriate. balance of travel days by month. demographic groups, Monetary incentives will be provided • Measures of travel by mode to for all ABS households that complete Data Collection Methods establish exposure rates for risk the survey. As the burden is higher for The questionnaire for this survey will analyses, those in households with more people, be designed to be relevant, aesthetically • Support for Federal, State, and local larger households will receive a larger pleasing, and elicit participation by planning activities and policy incentive amount. Households will including topics of importance to the evaluation, receive $5 per household member when respondents. • Active transportation by walk and all household members complete the bike to establish the relationship to travel survey. Information Proposed for Collection public health issues, Both the ABS and PFS survey modes • For the ABS sample, households will Vehicle usage for energy will collect data during an entire 12- receive an invitation to complete the consumption analysis, month period so that all 365 days of the • survey through the US mail. The online Traffic behavior of specific year, including weekends and holidays, panel survey households will receive an demographic groups such as Millennials are accounted for. To maximize the emailed invitation. In both survey and the aging population. accuracy of the recall information and to modes, the primary household Within the USDOT, the Federal provide coverage for every day of the respondent will complete a short roster Highway Administration (FHWA) holds year, all surveys will collect information to collect key household information responsibility for technical and funding about the travel during the previous 24 (e.g., enumeration of household coordination. The National Highway hours. A total of 7,500 completed members and household vehicles). Traffic Safety Administration (NHTSA), households will comprise the ABS Then, all travel information about a Federal Transit Administration (FTA), sample and 7,500 completed specific day from every household and the Bureau of Transportation households will comprise the PFS member 5 years of age and older will be Statistics (BTS) are also primary data probability-based panel sample. collected using the online travel diary or users and have historically participated Issues Related to Sampling. The equivalent paper form. in project planning and financial sampling design reflects the U.S. support. household trends of decreasing landline For households choosing to complete telephone ownership and increasing the survey online, the primary Proposed Data Acquisition access to the internet. Both the ABS and respondent will complete the household Methodology PFS samples will originate from the roster, then complete his or her diary as NHTS data are collected from a USPS Delivery Sequence File (DSF), well as serve as a proxy responder for probability-based sample comprised of a which includes all points of delivery in all children 5–15 years old in the representative mixture of households the US. The requisite address samples household. Household members 16 and with respect to various geodemographic are obtained from a third party vendor older will be invited to complete their characteristics. For this purpose, FHWA that enhances the residential address by own online diaries. If they fail to do so will field two independent survey appending various auxiliary variables to in a reasonable amount of time after designs using two independent samples: the DSF prior to sample selection multiple reminders, the primary (a) An address-based sample (ABS) of including block-, block group-, and household member may be asked to 7,500 households and (b) a panel frame tract-level characteristics from the serve as a proxy for non-responding sample (PFS) of 7,500 households Decennial Census, the American teens and adults in the household. drawn from a previously recruited Community Survey (ACS), and Households electing to complete the national probability-based online panel. commercial databases. survey by mail will be provided The ABS sample will deliver a set of Sample Size. In total, completed equivalent paper forms, with similar national data that will be used for surveys will be secured for a nationally proxy-reporting instructions. official purposes and will be available representative sample of 7,500 The online household travel diary for public use. The PFS sample will households using the ABS sample and program will allow for sophisticated offer FHWA an opportunity to conduct an additional 7,500 households will be branching and skip patterns to enhance an independent assessment of the completed from the PFS sample. data retrieval by asking only those viability of an alternative data collection Stratification. The sample for this questions that are necessary and methodology for future NHTS data survey will be designed to produce the appropriate for the individual collection efforts. most efficient estimates at the national participant. Look-up tables will be Randomly sampled ABS households level, as well as those needed for urban included to assist with information such will be surveyed using a combined and rural areas. While different sample as vehicle makes and models. A Google mail/online survey mode in that they allocation options for the national Maps API will be used to assist in will receive a mailing that directs them sample are being considered in order to identifying specific place names and to an online survey system to capture arrive at a final allocation for the NHTS locations. The location data for the household information and core travel sample, the 7,500 households will be participant’s home, workplace, or data. Non-internet ABS households will selected from each sampling frame in a school will be stored and automatically be offered paper versions of the manner that ensures estimates can be inserted in the dataset for trips after the questionnaire and trip diary. For the generated for urban, rural, and national first report. Household rostering will PFS sample, an online panel survey geographic levels. include a list of all persons in the approach will be used, where email It should be noted that assignments household and trips reported from one invitations will be sent to selected panel for recording travel data by households household member can be referenced members inviting them to participate in in each sample (ABS and PFS) will be for ease in reporting that trip by other the survey. Follow-ups with equally distributed across all days to household members who travelled nonresponding households from the ensure an approximately balanced day together. This automatic insert of ABS and PFS samples will utilize mail, of week distribution. To this end, the information reduces the burden of the telephone, and email communications sample will be released periodically subsequent respondents to be queried

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about a trip already reported by the differences in trip rates, miles traveled, considered for the issuance of a initial respondent. distance traveled, trip purpose, travel Guarantee in fiscal year (FY) 2021, Data range, consistency and edit mode, and time of day of trip-making by Qualified Issuer Applications must be checks will be automatically specific demographic and geographic submitted by 11:59 p.m. Eastern Time programmed to reduce reporting error, subpopulation groupings. The results (ET) on April 26, 2021 and Guarantee survey length, and maintain the flow of from both survey modes will also be Applications must be submitted by information processing. Data cross vetted against external data sources 11:59 p.m. ET on May 3, 2021. If checks also help reduce the burden by such as the Census, the American applicable, CDFI Certification ensuring that the reporting is consistent Community Survey, the National Applications must be received by the within each trip. Surveys completed by Transit Database, and FHWA data on CDFI Fund by 11:59 p.m. ET on April mail will be entered into the same vehicle miles traveled. 2, 2021. Under FY 2021 authority Bond online survey program to ensure Documents and Bond Loan documents Public Comments Invited consistency in quality control efforts. must be executed, and Guarantees will You are asked to comment on any be provided, in the order in which Estimated Burden Hours for aspect of this information collection, Guarantee Applications are approved or Information Collection including: (1) Whether the proposed by such other criteria that the CDFI Frequency: This collection will be collection of information is necessary Fund may establish, in its sole conducted every 2–4 years in the future. for the USDOT’s performance, including discretion, and in any event by Respondents. As mentioned earlier, whether the information will have September 30, 2021. two nationally representative random practical utility; (2) the data acquisition Executive Summary: This NOGA is samples of 7,500 households from the methods; (3) the accuracy of the published in connection with the CDFI ABS and PFS samples representing the USDOT’s estimate of the burden of the Bond Guarantee Program, administered 50 states and the District of Columbia proposed information collection; (4) the by the Community Development will be surveyed. Given that each types of data being acquired; (5) ways to Financial Institutions Fund (CDFI household will include an average of 2.5 enhance the quality, usefulness, and Fund), the U.S. Department of the members 5-years of age or older, travel clarity of the collected information; and Treasury (Treasury). Through this data for a total of 18,750 individual (6) ways that the burden could be NOGA, the CDFI Fund announces the respondents will be collected for the minimized without reducing the quality availability of up to $500 million of ABS survey and an additional 18,750 of the collected information. The agency Guarantee Authority in FY 2021. This individual respondents will complete will summarize and/or include your NOGA explains application submission the PFS survey. comments in the request for OMB’s and evaluation requirements and Estimated Average Burden per clearance of this information collection. processes, and provides agency contacts Response. It will take approximately 5 Authority: The Paperwork Reduction Act and information on CDFI Bond minutes to complete the roster data of 1995; 44 U.S.C. Chapter 35, as amended; Guarantee Program outreach. Parties form, and 15 minutes to complete the and 49 CFR 1.48. interested in being approved for a travel diary. This results in a total of 20 Guarantee under the CDFI Bond Issued on: March 1, 2021. minutes for the first household member Guarantee Program must submit and 15 minutes per additional Michael Howell, Qualified Issuer Applications and household member (these estimates are Information Collection Officer, Federal Guarantee Applications for the same for both ABS and PFS Highway Administration. consideration in accordance with this respondents). [FR Doc. 2021–04456 Filed 3–3–21; 8:45 am] NOGA. The required minimum over- Estimated Total Annual Burden BILLING CODE 4910–22–P collateralization rates established in FY Hours. It is estimated that a total of 2020 have been removed for the FY 18,750 persons will be included in the 2021 round. In the FY 2021 round, over- survey from each sampling frame (ABS DEPARTMENT OF THE TREASURY collateralization rates will be and PFS). This would result in determined during the underwriting approximately 10,625 hours of support Community Development Financial process for each applicant. Capitalized for this data collection effort, assuming Institutions Fund terms used in this NOGA and not an average of 17 minutes per person Bond Guarantee Program, FY 2021; defined elsewhere are defined in the across the roster data form and retrieval Notice of Guarantee Availability CDFI Bond Guarantee Program survey. regulations (12 CFR 1808.102) and the Post–Collection Independent Analysis Funding Opportunity Title: Notice of CDFI Program regulations (12 CFR Guarantee Availability (NOGA) inviting 1805.104). The two proposed survey approaches Qualified Issuer Applications and I. Guarantee Opportunity Description will provide FHWA the opportunity to Guarantee Applications for the assess validity and reliability of the Community Development Financial A. Authority. The CDFI Bond panel frame sample approach for use in Institutions (CDFI) Bond Guarantee Guarantee Program was authorized by future NHTS data collection cycles. At Program. the Small Business Jobs Act of 2010 the conclusion of this data collection Announcement Type: Announcement (Pub. L. 111–240; 12 U.S.C. 4713a) (the effort, FHWA will conduct an of opportunity to submit Qualified Act). Section 1134 of the Act amended independent assessment of the results Issuer Applications and Guarantee the Riegle Community Development and from both survey designs, with a focus Applications. Regulatory Improvement Act of 1994 (12 on identifying similarities and Catalog of Federal Domestic U.S.C. 4701, et seq.) to provide authority differences with respect to survey Assistance (CFDA) Number: 21.011. to the Secretary of the Treasury administration metrics, including Key Dates: Qualified Issuer (Secretary) to establish and administer response rates, unit and item non- Applications and Guarantee the CDFI Bond Guarantee Program. response, etc. In addition, the Applications may be submitted to the B. Bond Issue size; Amount of differences in travel patterns will also CDFI Fund starting on the date of Guarantee authority. In FY 2021, the be assessed. This includes assessing the publication of this NOGA. In order to be Secretary may guarantee Bond Issues

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having a minimum Guarantee of $100 2020 will be considered under FY 2021 Entity Asset Class utilizing pooled million each, and up to an aggregate authority. tertiary loans; total of $500 million. 4. Pursuant to the Regulations at 12 d. The Bond Trust Indenture, which C. Program summary. The purpose of CFR 1808.504(c), the Guarantor may describes the responsibilities of the the CDFI Bond Guarantee Program is to limit the number of Guarantees issued Master Servicer/Trustee in overseeing support CDFI lending by providing per year or the number of Guarantee the Trust Estate and the servicing of the Guarantees for Bonds issued for Eligible Applications accepted to ensure that a Bonds, which will be entered into by Community or Economic Development sufficient examination of Guarantee the Qualified Issuer and the Master Purposes, as authorized by section 1134 Applications is conducted. Servicer/Trustee; and 1703 of the Act. The Secretary, as E. Additional reference documents. In e. The Bond Loan Agreement, which the Guarantor of the Bonds, will provide addition to this NOGA, the CDFI Fund describes the terms and conditions of a 100% Guarantee for the repayment of encourages interested parties to review Bond Loans, and will be entered into by the Verifiable Losses of Principal, the following documents, which have the Qualified Issuer and each Eligible Interest, and Call Premium of Bonds been posted on the CDFI Bond CDFI that receives a Bond Loan; issued by Qualified Issuers. Qualified Guarantee Program page of the CDFI f. The Bond Purchase Agreement, Issuers, approved by the CDFI Fund, Fund’s website at http:// which describes the terms and will issue Bonds that will be purchased www.cdfifund.gov/bond. conditions under which the Bond by the Federal Financing Bank. The 1. Guarantee Program Regulations. Purchaser will purchase the Bonds Qualified Issuer will use 100% of Bond The regulations that govern the CDFI issued by the Qualified Issuer, and will Proceeds to provide Bond Loans to Bond Guarantee Program were be signed by the Bond Purchaser, the Eligible CDFIs, which will use Bond published on February 5, 2013 (78 FR Qualified Issuer, the Guarantor and the Loan proceeds for Eligible Community 8296; 12 CFR part 1808) (the CDFI Fund; and and Economic Development Purposes, Regulations), and provide the regulatory g. The Future Advance Promissory including providing Secondary Loans to requirements and parameters for CDFI Bond, which will be signed by the Secondary Borrowers in accordance Bond Guarantee Program Qualified Issuer as its promise to repay with the Secondary Loan Requirements. implementation and administration the Bond Purchaser. The template Secondary Loans may support lending including general provisions, eligibility, documents may be updated in the following asset classes: CDFI-to- eligible activities, applications for periodically, as needed, and will be CDFI, CDFI to Financing Entity, Charter Guarantee and Qualified Issuer, tailored, as appropriate, to the terms and Schools, Commercial real estate, evaluation and selection, terms and conditions of a particular Bond, Bond Daycare centers, Healthcare facilities, conditions of the Guarantee, Bonds, Loan, and Guarantee. Additionally, the Rental housing, Rural infrastructure, Bond Loans, and Secondary Loans. CDFI Fund may impose terms and Owner-occupied homes, Licensed 2. Application materials. Details conditions that address risks unique to senior living and long-term care regarding Qualified Issuer Application the Eligible CDFI’s business model and facilities, Small business, and Not-for- and Guarantee Application content target market, which may include items Profit organizations, as these terms are requirements are found in this NOGA such as concentration risk of a specific defined in the Secondary Loan Eligible CDFI, geography or Secondary Requirements, which can be found on and the respective application materials. the CDFI Fund’s website at Interested parties should review the Borrower. The Bond Documents and the www.cdfifund.gov/bond. template Bond Documents and Bond Bond Loan documents reflect the terms D. Review Guarantee Applications, in Loan documents that will be used in and conditions of the CDFI Bond general. connection with each Guarantee. The Guarantee Program and will not be 1. Qualified Issuer Applications template documents are posted on the substantially revised or negotiated prior submitted with Guarantee Applications CDFI Fund’s website for review. Such to execution. will have priority for review over documents include, among others: F. Frequently Asked Questions. The Qualified Issuer Applications submitted a. The Secondary Loan Requirements, CDFI Fund may periodically post on its without Guarantee Applications. With which contain the minimum required website responses to questions that are the exception of the aforementioned criteria (in addition to the Eligible asked by parties interested in applying prioritized review, all Qualified Issuer CDFI’s underwriting criteria) for a loan to the CDFI Bond Guarantee Program. Applications and Guarantee to be accepted as a Secondary Loan or G. Designated Bonding Authority. The Applications will be reviewed by the Other Pledged Loan. The Secondary CDFI Fund has determined that, for CDFI Fund on an ongoing basis, in the Loan Requirements include the General purposes of this NOGA, it will not order in which they are received, or by Requirements and the Underwriting solicit applications from entities seeking such other criteria that the CDFI Fund Review Checklist; to serve as a Qualified Issuer in the role may establish in its sole discretion. b. The Agreement to Guarantee, of the Designated Bonding Authority, 2. Guarantee Applications that are which describes the roles and pursuant to 12 CFR 1808.201, in FY incomplete or require the CDFI Fund to responsibilities of the Qualified Issuer, 2021. request additional or clarifying will be signed by the Qualified Issuer H. Noncompetitive process. The CDFI information may delay the ability of the and the Guarantor, and will include Bond Guarantee Program is a non- CDFI Fund to move the Guarantee term sheets as exhibits that will be competitive program through which Application to the next phase of review. signed by each individual Eligible CDFI; Qualified Issuer Applications and Submitting an incomplete Guarantee c. The Term Sheet(s), which describe Guarantee Applications will undergo a Application earlier than other the material terms and conditions of the merit-based evaluation (meaning, applicants does not ensure first Bond Loan from the Qualified Issuer to applications will not be scored against approval. the Eligible CDFI. The CDFI Fund each other in a competitive manner in 3. Qualified Issuer Applications and website includes template term sheets which higher ranked applicants are Guarantee Applications that were for the general recourse structure (GRS), favored over lower ranked applicants). received in FY 2020 and that were the Alternative Financial Structure I. Relationship to other CDFI Fund neither withdrawn nor declined in FY (AFS), and for the CDFI to Financing programs.

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1. Award funds received under any finance or refinance any trade or incorporating documents or board- other CDFI Fund Program cannot be business consisting of the operation of approved narrative statement (i.e., used by any participant, including any private or commercial golf course, mission statement or resolution) clearly Qualified Issuers, Eligible CDFIs, and country club, massage parlor, hot tub indicate that it has a mission of Secondary Borrowers, to pay principal, facility, suntan facility, racetrack or purposefully addressing the social and/ interest, fees, administrative costs, or other facility used for gambling, or any or economic needs of Low-Income issuance costs (including Bond Issuance store the principal business of which is individuals, individuals who lack Fees) related to the CDFI Bond the sale of alcoholic beverages for adequate access to capital and/or Guarantee Program, or to fund the Risk- consumption off-premises. Bond financial services, distressed Share Pool for a Bond Issue. Proceeds may not be used to finance or communities, and other underserved 2. Bond Proceeds may not be used to refinance tax-exempt obligations or to markets. An Affiliate of a Controlling refinance any projects financed and/or finance or refinance projects that are CDFI, seeking to be certified as a CDFI supported with proceeds from the also financed by tax-exempt obligations (and therefore, approved to be an Capital Magnet Fund (CMF). if: (a) Such financing or refinancing Eligible CDFI to participate in the CDFI 3. Bond Proceeds may not be used to results in the direct or indirect Bond Guarantee Program), must refinance a leveraged loan during the subordination of the Bond Loan or Bond demonstrate that it meets the primary seven-year NMTC compliance period. Issue to the tax-exempt obligations, or mission requirement on its own merit, However, Bond Proceeds may be used to (b) such financing or refinancing results pursuant to the regulations and the refinance a QLICI after the seven-year in a corresponding guarantee of the tax- CDFI Certification Application and NMTC compliance period has ended, so exempt obligation. Qualified Issuers and related guidance materials posted on the long as all other programmatic Eligible CDFIs must ensure that any CDFI Fund’s website. requirements are met. financing made in conjunction with tax- b. Financing Entity requirement (12 4. The terms Qualified Equity exempt obligations complies with CDFI CFR 1805.201(b)(2)): To be a Certified Investment, Community Development Bond Guarantee Program Regulations. CDFI, an entity must demonstrate that Entity, and QLICI are defined in the its predominant business activity is the NMTC Program’s authorizing statute, 26 II. General Application Information provision of Financial Products and U.S.C. 45D. The following requirements apply to Financial Services, Development J. Relationship and interplay with all Qualified Issuer Applications and Services, and/or other similar financing. other Federal programs and Federal Guarantee Applications submitted On April 10, 2015, the CDFI Fund funding. Eligible CDFIs may not use under this NOGA, as well as any published a revision of 12 CFR Bond Loans to refinance existing Qualified Issuer Applications and 1805.201(b)(2), the section of the CDFI Federal debt or to service debt from Guarantee Applications submitted certification regulation that governs the other Federal credit programs. under the FY 2020 NOGA that were ‘‘financing entity’’ requirement. The 1. The CDFI Bond Guarantee Program neither withdrawn nor declined in FY regulatory change creates a means for underwriting process will include a 2020. the CDFI Fund, in its discretion, to comprehensive review of the Eligible A. CDFI Certification Requirements. deem an Affiliate (meaning, in this case, CDFI’s concentration of sources of funds 1. In general. By statute and an entity that is Controlled by a CDFI; available for debt service, including the regulation, the Qualified Issuer see 12 CFR 1805.104(b)) to have met the concentration of sources from other applicant must be either a Certified financing entity requirement based on Federal programs and level of reliance CDFI (an entity that has been certified the financing activity or track record of on said sources, to determine the by the CDFI Fund as meeting the CDFI the Controlling CDFI (Control is defined Eligible CDFI’s ability to service the certification requirements set forth in 12 in 12 CFR 1805.104(q)), solely for the additional debt. CFR 1805.201) or an entity designated purpose of participating in the CDFI 2. In the event that the Eligible CDFI by a Certified CDFI to issue Bonds on Bond Guarantee Program as an Eligible proposes to use other Federal funds to its behalf. An Eligible CDFI must be a CDFI. This change is key to the creation service Bond Loan debt or as a Credit Certified CDFI as of the Bond Issue Date of an AFS for the Bond Guarantee Enhancement for Secondary Loans, the and must maintain its CDFI certification Program (see Section II(B)(2) of this CDFI Fund may require, in its sole throughout the term of the NOGA for more information on the discretion, that the Eligible CDFI corresponding Bond. AFS). In order for the Affiliate to rely on provide written assurance from such 2. CDFI Certification requirements. the Controlling CDFI’s financing track other Federal program in a form that is Pursuant to the regulations that govern record, (A) the Controlling CDFI must be acceptable to the CDFI Fund and that CDFI certification (12 CFR 1805.201), an a Certified CDFI; (B) there must be an the CDFI Fund may rely upon, that said entity may be certified if it is a legal operating agreement that includes use is permissible. entity (meaning, that it has properly management and ownership provisions K. Contemporaneous application filed articles of incorporation or other in effect between the two entities (prior submission. Qualified Issuer organizing documents with the State or to the submission of a CDFI Certification Applications may be submitted other appropriate body in the Application and in form and substance contemporaneously with Guarantee jurisdiction in which it was legally that is acceptable to the CDFI Fund); Applications; however, the CDFI Fund established, as of the date the CDFI and (C) the Affiliate must submit a will review an entity’s Qualified Issuer Certification Application is submitted) complete CDFI Certification Application Application and make its Qualified and meets the following requirements: to the CDFI Fund no later than 11:59 Issuer determination prior to approving a. Primary Mission requirement (12 p.m. ET on April 2, 2021 in order it to a Guarantee Application. As noted CFR 1805.201(b)(1)): To be a Certified be considered for CDFI certification and above in D (1), review priority will be CDFI, an entity must have a primary participation in the FY 2021 application given to any Qualified Issuer mission of promoting community round of the CDFI Bond Guarantee Application that is accompanied by a development, which mission must be Program. This regulatory revision affects Guarantee Application. consistent with its Target Market. In only the Affiliate’s ability to meet the L. Other restrictions on use of funds. general, the entity will be found to meet financing entity requirement for Bond Proceeds may not be used to the primary mission requirement if its purposes of CDFI certification: Said

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Affiliate must meet the other i. Solely for the purpose of awards or tax credit allocations under certification criteria in accordance with participation as an Eligible CDFI in the any other CDFI Fund program until the existing regulations governing CDFI FY 2021 application round of the CDFI such time that the Affiliate meets the certification. Bond Guarantee Program, an Affiliate of Target Market requirements based on its i. The revised regulation also states a Controlling CDFI may be deemed to own activity or track record. that, solely for the purpose of meet the Target Market requirement by ii. If an Affiliate elects to satisfy the participating in the CDFI Bond virtue of serving either: target market requirement based on Guarantee Program, the Affiliate’s (A) An Investment Area through paragraphs (c)(ii)(A) or (B) above, the provision of Financial Products and ‘‘borrowers or investees’’ that serve the Affiliate and the Controlling CDFI must Financial Services, Development Investment Area or provide significant have entered into the operating Services, and/or other similar financing benefits to its residents (pursuant to 12 agreement as described above, prior to transactions need not be arms-length in CFR 1805.201(b)(3)(ii)(F)). For purposes the date that the CDFI Certification nature if such transaction is by and of this NOGA, the term ‘‘borrower’’ or Application is submitted, in form and between the Affiliate and Controlling ‘‘investee’’ includes a borrower of a loan substance that is acceptable to the CDFI CDFI, pursuant to an operating originated by the Controlling CDFI that Fund. agreement that (a) includes management has been transferred to the Affiliate as d. Development Services requirement and ownership provisions, (b) is lender (which loan must meet (12 CFR 1805.201(b)(4)): To be a effective prior to the submission of a Secondary Loan Requirements), Certified CDFI, an entity must provide CDFI Certification Application, and (c) pursuant to an operating agreement with Development Services in conjunction is in form and substance that is the Affiliate that includes ownership/ with its Financial Products. Solely for acceptable to the CDFI Fund. investment and management provisions, the purpose of participation as an ii. An Affiliate whose CDFI which agreement must be in effect prior Eligible CDFI in the FY 2021 application certification is based on the financing to the submission of a CDFI Certification round of the CDFI Bond Guarantee activity or track record of a Controlling Application and in form and substance Program, an Affiliate of a Controlling CDFI is not eligible to receive financial that is acceptable to the CDFI Fund. CDFI may be deemed to meet this or technical assistance awards or tax Loans originated by the Controlling requirement if: (i) Its Development credit allocations under any other CDFI CDFI do not need to be transferred prior Services are provided by the Controlling Fund program until such time that the to application submission; however, CDFI pursuant to an operating Affiliate meets the financing entity such loans must be transferred before agreement that includes management requirement based on its own activity or certification of the Affiliate is effective. and ownership provisions with the track record. If an Affiliate has more than one Controlling CDFI that is effective prior iii. If an Affiliate elects to satisfy the Controlling CDFI, it may meet this to the submission of a CDFI Certification financing entity requirement based on Investment Area requirement through Application and in form and substance the financing activity or track record of one or more of such Controlling CDFIs’ that is acceptable to the CDFI Fund and a Controlling CDFI, and if the CDFI Investment Areas; or Fund approves such Affiliate as an (B) a Targeted Population ‘‘indirectly (ii) the Controlling CDFI must have Eligible CDFI for the sole purpose of or through borrowers or investees that provided Development Services in participation in the CDFI Bond directly serve or provide significant conjunction with the transactions that Guarantee Program, said Affiliate’s CDFI benefits to such members’’ (pursuant to the Affiliate is likely to purchase, prior certification will terminate if: (A) It does 12 CFR 1805.201(b)(3)(iii)(B)) if a loan to the date of submission of the CDFI not enter into Bond Loan documents originated by the Controlling CDFI has Certification Application. with its Qualified Issuer within one (1) been transferred to the Affiliate as e. Accountability requirement (12 CFR year of the date that it signs the term lender (which loan must meet 1805.201(b)(5)): To be a Certified CDFI, sheet (which is an exhibit to the Secondary Loan Requirements) and the an entity must maintain accountability Agreement to Guarantee); (B) it ceases to Controlling CDFI’s financing entity to residents of its Investment Area or be an Affiliate of the Controlling CDFI; activities serve the Affiliate’s Targeted Targeted Population through or (C) it ceases to adhere to CDFI Population pursuant to an operating representation on its governing board certification requirements. agreement that includes ownership/ and/or advisory board(s), or through iv. An Affiliate electing to satisfy the investment and management provisions focus groups, community meetings, financing entity requirement based on by and between the Affiliate and the and/or customer surveys. Solely for the the financing activity or track record of Controlling CDFI, which agreement purpose of participation as an Eligible a Controlling CDFI need not have must be in effect prior to the submission CDFI in the FY 2021 application round completed any financing activities prior of a CDFI Certification Application and of the CDFI Bond Guarantee Program, an to the date the CDFI Certification in form and substance that is acceptable Affiliate of a Controlling CDFI may be Application is submitted or approved. to the CDFI Fund. Loans originated by deemed to meet this requirement only if However, the Affiliate and the the Controlling CDFI do not need to be it has a governing board and/or advisory Controlling CDFI must have entered into transferred prior to application board that has the same composition as the operating agreement described in submission; however, such loans must the Controlling CDFI and such (b)(i)(B) above, prior to such date, in be transferred before certification of the governing board or advisory board has form and substance that is acceptable to Affiliate is effective. If an Affiliate has convened and/or conducted Affiliate the CDFI Fund. more than one Controlling CDFI, it may business prior to the date of submission c. Target Market requirement (12 CFR meet this Targeted Population of the CDFI Certification Application. If 1805.201(b)(3)): To be a Certified CDFI, requirement through one or more of an Affiliate has multiple Controlling an entity must serve at least one eligible such Controlling CDFIs’ Targeted CDFIs, the governing board and/or Target Market (either an Investment Populations. advisory board may have a mixture of Area or a Targeted Population) by An Affiliate that meets the Target representatives from each Controlling directing at least 60% of all of its Market requirement through paragraphs CDFI so long as there is at least one Financial Product activities to one or (ii)(A) or (B) above, is not eligible to representative from each Controlling more eligible Target Market. receive financial or technical assistance CDFI.

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f. Non-government Entity requirement Application decisions, and the CDFI number, as well as DUNS numbers for (12 CFR 1805.201(b)(6)): To be a Fund must close the corresponding its proposed Program Administrator, its Certified CDFI, an entity can neither be Bonds and Bond Loans, prior to the end proposed Servicer, and each Certified a government entity nor be Controlled of FY 2021 (September 30, 2021). CDFI that is included in the Qualified by one or more governmental entities. Accordingly, it is essential that CDFI Issuer Application and Guarantee g. for the FY 2021 application round Certification Applications are submitted Application. In addition, each of the CDFI Bond Guarantee Program, timely and in complete form, with all Application must include a valid and only one Affiliate per Controlling CDFI materials and information needed for current Employer Identification Number may participate as an Eligible CDFI. the CDFI Fund to make a certification (EIN), with a letter or other However, there may be more than one decision. Information on CDFI documentation from the IRS confirming Affiliate participating as an Eligible certification, the CDFI Certification the Qualified Issuer applicant’s EIN, as CDFI in any given Bond Issue. Application, and application well as EINs for its proposed Program 3. Operating agreement: An operating submission instructions may be found Administrator, its proposed Servicer, agreement between an Affiliate and its on the CDFI Fund’s website at and each Certified CDFI that is included Controlling CDFI, as described above, www.cdfifund.gov. in any Application. An Application that must provide, in addition to the B. Recourse and Collateral does not include such DUNS numbers, elements set forth above, among other Requirements. items: (i) Conclusory evidence that the 1. General Recourse Structure. Under EINs, and documentation is incomplete Controlling CDFI Controls the Affiliate, the GRS, the Bond is a nonrecourse and will be rejected by the CDFI Fund. through investment and/or ownership; obligation to the Qualified Issuer, and Applicants should allow sufficient time (ii) explanation of all roles, the Bond Loan is a full general recourse for the IRS and/or Dun and Bradstreet responsibilities and activities to be obligation to the Eligible CDFI. to respond to inquiries and/or requests performed by the Controlling CDFI 2. Alternative Financial Structure. An for the required identification numbers. including, but not limited to, AFS can be used as a limited recourse 3. System for Award Management governance, financial management, loan option to a Controlling CDFI or group of (SAM). Registration with SAM is underwriting and origination, record- Controlling CDFIs. The AFS is an required for each Qualified Issuer keeping, insurance, treasury services, Affiliate of a Controlling CDFI(s) that is applicant, its proposed Program human resources and staffing, legal created for the sole purpose of Administrator, its proposed Servicer, counsel, dispositions, marketing, participation as an Eligible CDFI in the and each Certified CDFI that is included general administration, and financial CDFI Bond Guarantee Program. The in any Application. The CDFI Fund will reporting; (iii) compensation AFS must be an Affiliate of a not consider any Applications that do arrangements; (iv) the term and Controlling CDFI(s) and must be not meet the requirement that each termination provisions; (v) certified as a CDFI in accordance with entity must be properly registered before indemnification provisions, if the requirements set forth in Section the date of Application submission. The applicable; (vi) management and II(A) of this NOGA. The AFS, as the SAM registration process may take one ownership provisions; and (vii) default Eligible CDFI, provides a general full month or longer to complete. A signed and recourse provisions. recourse obligation to repay the Bond notarized letter identifying the SAM 4. For more detailed information on Loan, and the Bond Loan is on the authorized entity administrator for the CDFI certification requirements, please balance sheet of the AFS. The entity associated with the DUNS review the CDFI certification regulation requirements for the AFS are delineated number is required. This requirement is (12 CFR 1805.201, as revised on April in the template term sheet located on applicable to new entities registering in 10, 2015) and CDFI Certification the CDFI Fund website at https:// SAM, as well as to existing entities with Application materials/guidance posted www.cdfifund.gov/programs-training/ registrations being updated or renewed on the CDFI Fund’s website. Interested Programs/cdfi-bond/Pages/apply- in SAM. Applicants without DUNS and/ parties should note that there are step.aspx#step2. specific regulations and requirements C. Application Submission. or EIN numbers should allow for that apply to Depository Institution 1. Electronic submission. All additional time as an applicant cannot Holding Companies, Insured Depository Qualified Issuer Applications and register in SAM without those required Institutions, Insured Credit Unions, and Guarantee Applications must be numbers. Applicants that have State-Insured Credit Unions. submitted through the CDFI Fund’s previously completed the SAM 5. Uncertified entities, including an Awards Management Information registration process must verify that Affiliate of a Controlling CDFI, that wish System (AMIS). Applications sent by their SAM accounts are current and to apply to be certified and designated mail, fax, or other form will not be active. Each applicant must continue to as an Eligible CDFI in the FY 2021 permitted, except in circumstances that maintain an active SAM registration application round of the CDFI Bond the CDFI Fund, in its sole discretion, with current information at all times Guarantee Program must submit a CDFI deems acceptable. Please note that during which it has an active Federal Certification Application to the CDFI Applications will not be accepted award or an Application under Fund by 11:59 p.m. ET on April 2, 2021. through Grants.gov. For more consideration by a Federal awarding Any CDFI Certification Application information on AMIS, please visit the agency. The CDFI Fund will not received after such date and time, as AMIS Landing Page at https:// consider any applicant that fails to well as incomplete applications, will amis.cdfifund.gov. properly register or activate its SAM not be considered for the FY 2021 2. Applicant identifier numbers. account and these restrictions also application round of the CDFI Bond Please note that, pursuant to Office of apply to organizations that have not yet Guarantee Program. Management and Budget (OMB) received a DUNS or EIN number. 6. In no event will the Secretary guidance (68 FR 38402), each Qualified Applicants must contact SAM directly approve a Guarantee for a Bond from Issuer applicant and Guarantee with questions related to registration or which a Bond Loan will be made to an applicant must provide, as part of its SAM account changes as the CDFI Fund entity that is not an Eligible CDFI. The Application, its Dun and Bradstreet Data does not maintain this system and has Secretary must make FY 2021 Guarantee Universal Numbering System (DUNS) no ability to make changes or correct

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errors of any kind. For more information Issuer, or the Guarantee Application. Qualified Issuer must provide it within about SAM, visit https://www.sam.gov. Supplemental materials or attachments the timeframes requested by the CDFI 4. AMIS accounts. Each Qualified such as letters of public support or other Fund. Until such information is Issuer applicant, its proposed Program statements that are meant to bias or provided to the CDFI Fund, the Administrator, its proposed Servicer, influence the Application review Qualified Issuer Application and/or and each Certified CDFI that is included process will not be read. Guarantee Application will not be in the Qualified Issuer Application or 5. Application revisions. After moved forward for the substantive Guarantee Application must register submitting a Qualified Issuer review process. The Guarantor shall User and Organization accounts in Application or a Guarantee Application, approve or deny a Guarantee AMIS. Each such entity must be the applicant will not be permitted to Application no later than 90 days after registered as an Organization and revise or modify the Application in any the date the Guarantee Application has register at least one User Account in way unless authorized or requested by been advanced for substantive review. AMIS. As AMIS is the CDFI Fund’s the CDFI Fund. F. Regulated entities. In the case of primary means of communication with 6. Material changes. Qualified Issuer applicants, proposed applicants with regard to its programs, a. In the event that there are material Program Administrators, proposed each such entity must make sure that it changes after the submission of a Servicers, and Certified CDFIs that are updates the contact information in its Qualified Issuer Application prior to the included in the Qualified Issuer AMIS account before any Application is designation as a Qualified Issuer, the Application or Guarantee Application submitted. For more information on applicant must notify the CDFI Fund of that are Insured Depository Institutions AMIS, please visit the AMIS Landing such material changes information in a and Insured Credit Unions, the CDFI Page at https://amis.cdfifund.gov. timely and complete manner. The CDFI Fund will consider information D. Form of Application. Fund will evaluate such material provided by, and views of, the 1. As of the date of this NOGA, the changes, along with the Qualified Issuer Appropriate Federal and State Banking Qualified Issuer Application, the Application, to approve or deny the Agencies. If any such entity is a CDFI Guarantee Application, and related designation of the Qualified Issuer. bank holding company, the CDFI Fund application instructions for this round b. In the event that there are material will consider information provided by may be found on the CDFI Bond changes after the submission of a the Appropriate Federal Banking Guarantee Program’s page on the CDFI Guarantee Application (including, but Agencies of the CDFI bank holding Fund’s website at http:// not limited to, a revision of the Capital company and its CDFI bank(s). www.cdfifund.gov/bond. Distribution Plan or a change in the Throughout the Application review 2. Paperwork Reduction Act. Under Eligible CDFIs that are included in the process, the CDFI Fund will consider the Paperwork Reduction Act (44 U.S.C. Application) prior to or after the financial safety and soundness chapter 35), an agency may not conduct designation as a Qualified Issuer or information from the Appropriate or sponsor a collection of information, approval of a Guarantee Application or Federal Banking Agency. Each regulated and an individual is not required to Guarantee, the applicant must notify the applicant must have a composite respond to a collection of information, CDFI Fund of such material changes CAMELS/CAMEL rating of at least ‘‘3’’ unless it displays a valid OMB control information in a timely and complete and/or no material concerns from its number. Pursuant to the Paperwork manner. The Guarantor will evaluate regulator. The CDFI Fund also reserves Reduction Act, the Qualified Issuer such material changes, along with the the right to require a regulated applicant Application, the Guarantee Application, Guarantee Application, to approve or to improve safety and soundness and the Secondary Loan Requirements deny the Guarantee Application and/or conditions prior to being approved as a have been assigned the following determine whether to modify the terms Qualified Issuer or Eligible CDFI. In control number: 1559–0044. and conditions of the Agreement to addition, the CDFI Fund will take into 3. Application deadlines. In order to Guarantee. This evaluation may result consideration Community Reinvestment be considered for the issuance of a in a delay of the approval or denial of Act assessments of Insured Depository Guarantee under FY 2021 program a Guarantee Application. Institutions and/or their Affiliates. authority, Qualified Issuer Applications E. Eligibility and completeness review. G. Prior CDFI Fund recipients. All must be submitted by 11:59 p.m. ET on The CDFI Fund will review each applicants must be aware that success April 26, 2021, and Guarantee Qualified Issuer and Guarantee under any of the CDFI Fund’s other Applications must be submitted by Application to determine whether it is programs is not indicative of success 11:59 p.m. ET on May 3, 2021. Qualified complete and the applicant meets under this NOGA. Prior CDFI Fund Issuer Applications and Guarantee eligibility requirements described in the recipients should note the following: Applications received in FY 2020 that Regulations, this NOGA, and the 1. Pending resolution of were neither withdrawn nor declined Applications. An incomplete Qualified noncompliance. If a Qualified Issuer will be considered under FY 2021 Issuer Application or Guarantee applicant, its proposed Program authority. If applicable, CDFI Application, or one that does not meet Administrator, its proposed Servicer, or Certification Applications must be eligibility requirements, will be rejected. any of the Certified CDFIs included in received by the CDFI Fund by 11:59 If the CDFI Fund determines that the Qualified Issuer Application or p.m. ET on April 2, 2021. additional information is needed to Guarantee Application is a prior 4. Format. Detailed Qualified Issuer assess the Qualified Issuer’s and/or the recipient or allocatee under any CDFI Application and Guarantee Application Certified CDFIs’ ability to participate in Fund program and (i) it has submitted content requirements are found in the and comply with the requirements of reports to the CDFI Fund that Applications and application guidance. the CDFI Bond Guarantee Program, the demonstrate noncompliance with a The CDFI Fund will read only CDFI Fund may require that the previously executed agreement with the information requested in the Qualified Issuer furnish additional, CDFI Fund, and (ii) the CDFI Fund has Application and reserves the right not to clarifying, confirming or supplemental yet to make a final determination as to read attachments or supplemental information. If the CDFI Fund requests whether the entity is noncompliant with materials that have not been specifically such additional, clarifying, confirming its previously executed agreement, the requested in this NOGA, the Qualified or supplemental information, the CDFI Fund will consider the Qualified

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Issuer Application or Guarantee proposed Eligible CDFI will be required compliance history with the CDFI Fund, Application pending full resolution, in to certify that its appropriate senior including any history of providing late the sole determination of the CDFI management, and its respective legal reports, and consider such history in the Fund, of the noncompliance. counsel, has read the Regulations (set context of organizational capacity and 2. Previous findings of forth at 12 CFR part 1808, as well as the the ability to meet future reporting noncompliance. If a Qualified Issuer CDFI certification regulations set forth requirements. applicant, its proposed Program at 12 CFR 1805.201, as amended, and The CDFI Fund may also bar from Administrator, its proposed Servicer, or the environmental quality regulations consideration any such entity that has, any of the Certified CDFIs included in set forth at 12 CFR part 1815) and the in any proceeding instituted against it the Qualified Issuer Application or template Bond Documents and Bond in, by, or before any court, Guarantee Application is a prior Loan documents posted on the CDFI governmental, or administrative body or recipient or allocatee under any CDFI Fund’s website including, but not agency, received a final determination Fund program and the CDFI Fund has limited to, the following: Bond Trust within the three years prior to the date made a final determination that the Indenture, Supplemental Indenture, of publication of this NOGA indicating entity is noncompliant with a Bond Loan Agreement, Promissory that the entity has discriminated on the previously executed agreement with the Note, Bond Purchase Agreement, basis of race, color, national origin, CDFI Fund, but has not notified the Designation Notice, Secretary’s disability, age, marital status, receipt of entity that it is ineligible to apply for Guarantee, Collateral Assignment, income from public assistance, religion, future CDFI Fund program awards or Reimbursement Note, Opinion of Bond or sex, including, but not limited, to allocations, the CDFI Fund will consider Counsel, Opinion of Counsel to the discrimination under (i) Title VI of the the Qualified Issuer Application or Borrower, Escrow Agreement, and Civil Rights Act of 1964 (Pub. L. 88– Guarantee Application. However, it is Closing Checklist. 352) which prohibits discrimination on strongly advised that the entity take I. Contact the CDFI Fund. A Qualified the basis of race, color or national action to address such noncompliance Issuer applicant, its proposed Program origin; (ii) Title IX of the Education finding, as repeat findings of Administrator, its proposed Servicer, or Amendments of 1972, as amended (20 noncompliance may result in the CDFI any Certified CDFIs included in the U.S.C.1681–1683, 1685–1686), which Fund determining the entity ineligible Qualified Issuer Application or prohibits discrimination on the basis of to participate in future CDFI Fund Guarantee Application that are prior sex; (iii) Section 504 of the program rounds, which could result in CDFI Fund recipients are advised to: (i) Rehabilitation Act of 1973, as amended any pending applications being deemed Comply with requirements specified in (29 U.S.C.794), which prohibits ineligible for further review. The CDFI CDFI Fund assistance, allocation, and/or discrimination on the basis of Bond Guarantee Program staff cannot award agreement(s), and (ii) contact the handicaps; (iv) the Age Discrimination resolve compliance matters; instead, CDFI Fund to ensure that all necessary Act of 1975, as amended (42 please contact the CDFI Fund’s Office of actions are underway for the U.S.C.6101–6107), which prohibits Certification, Compliance Monitoring disbursement or deobligation of any discrimination on the basis of age; (v) and Evaluation Unit (CCME) if your outstanding balance of said prior the Drug Abuse Office and Treatment organization has questions about its award(s). Any such parties that are Act of 1972 (Pub. L. 92–255), as current compliance status or has been unsure about the disbursement status of amended, relating to nondiscrimination found not in compliance with a any prior award should submit a Service on the basis of drug abuse; (vi) the previously executed agreement with the Request through that organization’s Comprehensive Alcohol Abuse and CDFI Fund. AMIS Account. Alcoholism Prevention, Treatment and 3. Ineligibility due to noncompliance. All outstanding reporting and Rehabilitation Act of 1970 (Pub. L. 91– The CDFI Fund will not consider a compliance questions should be 616), as amended, relating to Qualified Issuer Application or directed to the Office of Certification, nondiscrimination on the basis of Guarantee Application if the applicant, Compliance Monitoring and Evaluation alcohol abuse or alcoholism; (vii) its proposed Program Administrator, its help desk by AMIS Service Requests. Sections 523 and 527 of the Public proposed Servicer, or any of the The CDFI Fund will respond to Health Service Act of 1912 (42 U.S.C. Certified CDFIs included in the applicants’ reporting, compliance, or 290 dd–3 and 290 ee–3), as amended, Qualified Issuer Application or disbursement questions between the relating to confidentiality of alcohol and Guarantee Application, is a prior hours of 9:00 a.m. and 5:00 p.m. ET, drug abuse patient records; (viii) Title recipient or allocatee under any CDFI starting on the date of the publication of VIII of the Civil Rights Act of 1968 (42 Fund program and if, as of the date of this NOGA. U.S.C.3601 et seq.), as amended, relating Qualified Issuer Application or J. Evaluating prior award to nondiscrimination in the sale, rental Guarantee Application submission, (i) performance. In the case of a Qualified or financing of housing; (ix) any other the CDFI Fund has made a Issuer, a proposed Program nondiscrimination provisions in the determination that such entity is Administrator, a proposed Servicer, or specific statute(s) under which Federal noncompliant with a previously Certified CDFI that has received awards assistance is being made; and (x) the executed agreement and (ii) the CDFI from other Federal programs, the CDFI requirements of any other Fund has provided written notification Fund reserves the right to contact nondiscrimination statutes which may that such entity is ineligible to apply for officials from the appropriate Federal apply to the CDFI Bond Guarantee any future CDFI Fund program awards agency or agencies to determine Program. or allocations. Such entities will be whether the entity is in compliance K. Civil Rights and Diversity. Any ineligible to submit a Qualified Issuer or with current or prior award agreements, person who is eligible to receive Guarantee Application, or be included and to take such information into benefits or services from the CDFI Fund in such submission, as the case may be, consideration before issuing a or Recipients under any of its programs for such time period as specified by the Guarantee. In the case of such an entity is entitled to those benefits or services CDFI Fund in writing. that has previously received funding without being subject to prohibited H. Review of Bond and Bond Loan through any CDFI Fund program, the discrimination. The Department of the documents. Each Qualified Issuer and CDFI Fund will review the entity’s Treasury’s Office of Civil Rights and

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Diversity enforces various Federal evaluation of its Qualified Issuer Issuer Applications that are incomplete statutes and regulations that prohibit Application. The Qualified Issuer will, or require the CDFI Fund to request discrimination in financially assisted among other duties: (i) Organize the additional or clarifying information may and conducted programs and activities Eligible CDFIs that have designated it to delay the ability of the CDFI Fund to of the CDFI Fund. If a person believes serve as their Qualified Issuer; (ii) deem the Qualified Issuer Application that s/he has been subjected to prepare and submit a complete and complete and move it to the next phase discrimination and/or reprisal because timely Qualified Issuer and Guarantee of review. Submitting a substantially of membership in a protected group, s/ Application to the CDFI Fund; (iii) if the incomplete application earlier than he may file a complaint with: Associate Qualified Issuer Application is other applicants does not ensure first Chief Human Capital Officer, Office of approved by the CDFI Fund and the approval. Civil Rights, and Diversity, 1500 Guarantee Application is approved by B. Qualified Issuer Application: Pennsylvania Ave. NW, Washington, DC the Guarantor, prepare the Bond Issue; Eligibility. 20220 or (202) 622– 1160 (not a toll-free (iv) manage all Bond Issue servicing, 1. CDFI certification requirements. number). administration, and reporting functions; The Qualified Issuer applicant must be L. Statutory and national policy (v) make Bond Loans; (vi) oversee the a Certified CDFI or an entity designated requirements. The CDFI Fund will financing or refinancing of Secondary by a Certified CDFI to issue Bonds on manage and administer the Federal Loans; (vii) ensure compliance its behalf. award in a manner so as to ensure that throughout the duration of the Bond 2. Designation and attestation by Federal funding is expended and with all provisions of the Regulations, Certified CDFIs. An entity seeking to be associated programs are implemented in and Bond Documents and Bond Loan approved by the CDFI Fund as a full accordance with the U.S. Documents entered into between the Qualified Issuer must be designated as Constitution, Federal Law, statutory, Guarantor, the Qualified Issuer, and the a Qualified Issuer by at least one and public policy requirements: Eligible CDFI; and (viii) ensure that the Certified CDFI. A Qualified Issuer may including, but not limited to, those Master Servicer/Trustee complies with not designate itself. The Qualified Issuer protecting free speech, religious liberty, the Bond Trust Indenture and all other applicant will prepare and submit a public welfare, the environment, and applicable regulations. Further, the role complete and timely Qualified Issuer prohibiting discrimination. of the Qualified Issuer also is to ensure Application to the CDFI Fund in M. Changes to review procedures. The that its proposed Eligible CDFI accordance with the requirements of the CDFI Fund reserves the right to change applicants possess adequate and well Regulations, this NOGA, and the its completeness, eligibility and performing assets to support the debt Application. A Certified CDFI must evaluation criteria, and procedures if service of the proposed Bond Loan. attest in the Qualified Issuer the CDFI Fund deems it appropriate. If 2. Qualified Issuer Application. The Application that it has designated the such changes materially affect the CDFI Qualified Issuer Application is the Qualified Issuer to act on its behalf and Fund’s decision to approve or deny a document that an entity seeking to serve that the information in the Qualified Qualified Issuer Application, the CDFI as a Qualified Issuer submits to the Issuer Application regarding it is true, Fund will provide information CDFI Fund to apply to be approved as accurate, and complete. regarding the changes through the CDFI a Qualified Issuer prior to consideration Fund’s website. of a Guarantee Application. C. Substantive review and approval N. Decisions are final. The CDFI 3. Qualified Issuer Application process. Fund’s Qualified Issuer Application evaluation, general. Each Qualified 1. Substantive review. decisions are final. The Guarantor’s Issuer Application will be evaluated by a. If the CDFI Fund determines that Guarantee Application decisions are the CDFI Fund and, if acceptable, the the Qualified Issuer Application is final. There is no right to appeal the applicant will be approved as a complete and eligible, the CDFI Fund decisions. Any applicant that is not Qualified Issuer, in the sole discretion will undertake a substantive review in approved by the CDFI Fund or the of the CDFI Fund. The CDFI Fund’s accordance with the criteria and Guarantor may submit a new Qualified Issuer Application review and procedures described in the Application and will be considered evaluation process is based on Regulations, this NOGA, the Qualified based on the newly submitted established procedures, which may Issuer Application, and CDFI Bond Application. Such newly submitted include interviews of applicants and/or Guarantee Program policies. Applications will be reviewed along site visits to applicants conducted by b. As part of the substantive with all other pending Applications in the CDFI Fund. Through the evaluation process, the CDFI Fund the order in which they are received, or Application review process, the CDFI reserves the right to contact the by such other criteria that the CDFI Fund will evaluate Qualified Issuer Qualified Issuer applicant (as well as its Fund may establish, in its sole applicants on a merit basis and in a fair proposed Program Administrator, its discretion. and consistent manner. Each Qualified proposed Servicer, and each designating Issuer applicant will be reviewed on its Certified CDFI in the Qualified Issuer III. Qualified Issuer Application ability to successfully carry out the Application) by telephone, email, mail, A. General. This NOGA invites responsibilities of a Qualified Issuer or through on-site visits for the purpose interested parties to submit a Qualified throughout the life of the Bond. The of obtaining additional, clarifying, Issuer Application to be approved as a Applicant must currently meet the confirming, or supplemental application Qualified Issuer under the CDFI Bond criteria established in the Regulations to information. The CDFI Fund reserves Guarantee Program. be deemed a Qualified Issuer. Qualified the right to collect such additional, 1. Qualified Issuer. The Qualified Issuer Applications that are forward- clarifying, confirming, or supplemental Issuer is a Certified CDFI, or an entity looking or speculate as to the eventual information from said entities as it designated by a Certified CDFI to issue acquisition of the required capabilities deems appropriate. If contacted for Bonds on its behalf, that meets the and criteria are unlikely to be approved. additional, clarifying, confirming, or requirements of the Regulations and this Qualified Issuer Application processing supplemental information, said entities NOGA, and that has been approved by will be initiated in chronological order must respond within the time the CDFI Fund pursuant to review and by date of receipt; however, Qualified parameters set by the CDFI Fund or the

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Qualified Issuer Application will be limited to, compliance monitoring and Such financially sound business rejected. reporting functions). practices will demonstrate: (i) The 2. Qualified Issuer criteria. In total, d. Strategic alignment. The Qualified financial wherewithal to perform there are more than 60 individual Issuer applicant will be evaluated on its activities related to the Bond Issue such criteria or sub-criteria used to evaluate strategic alignment with the CDFI Bond as administration and servicing; (ii) the a Qualified Issuer applicant and all Guarantee Program on factors that ability to originate, underwrite, close, materials provided in the Qualified include, but are not limited to: (i) Its and disburse loans in a prudent manner; Issuer Application will be used to mission’s strategic alignment with (iii) whether the applicant is depending evaluate the applicant. Qualified Issuer community and economic development on external funding sources and the determinations will be made based on objectives set forth in the Riegle Act at reliability of long-term access to such Qualified Issuer applicants’ experience 12 U.S.C. 4701; (ii) its strategy for funding; (iv) whether there are and expertise, in accordance with the deploying the entirety of funds that may foreseeable counterparty issues or credit following criteria: become available to the Qualified Issuer concerns that are likely to affect the a. Organizational capability. through the proposed Bond Issue; (iii) applicant’s financial stability; and (v) a i. The Qualified Issuer applicant must its experience providing up to 30-year budget that reflects reasonable demonstrate that it has the appropriate capital to CDFIs or other borrowers in assumptions about upfront costs as well expertise, capacity, experience, and Low-Income Areas or Underserved as ongoing expenses and revenues. qualifications to issue Bonds for Eligible Rural Areas as such terms are defined in h. Systems and information Purposes, or is otherwise qualified to the Regulations at 12 CFR 1808.102; (iv) technology. The Qualified Issuer serve as Qualified Issuer, as well as its track record of activities relevant to applicant must demonstrate that it (as manage the Bond Issue on the terms and its stated strategy; and (v) other factors well as its proposed Program conditions set forth in the Regulations, relevant to the Qualified Issuer’s Administrator and its proposed this NOGA, and the Bond Documents, strategic alignment with the program. Servicer) has, among other things: (i) A satisfactory to the CDFI Fund. e. Experience. The Qualified Issuer strong information technology capacity ii. The Qualified Issuer applicant applicant will be evaluated on factors and the ability to manage loan servicing, must demonstrate that it has the that demonstrate that it has previous administration, management, and appropriate expertise, capacity, experience: (i) Performing the duties of document retention; (ii) appropriate experience, and qualifications to a Qualified Issuer including issuing office infrastructure and related originate, underwrite, service and bonds, loan servicing, program technology to carry out the CDFI Bond monitor Bond Loans for Eligible administration, underwriting, financial Guarantee Program activities; and (iii) Purposes, targeted to Low-Income Areas reporting, and loan administration; (ii) sufficient backup and disaster recovery and Underserved Rural Areas. lending in Low-Income Areas and systems to maintain uninterrupted iii. The Qualified Issuer applicant Underserved Rural Areas; and (iii) business operations. must demonstrate that it has the indicating that the Qualified Issuer’s i. Pricing structure. The Qualified appropriate expertise, capacity, current principals and team members Issuer applicant must provide its experience, and qualifications to have successfully performed the proposed pricing structure for manage the disbursement process set required duties, and that previous performing the duties of Qualified forth in the Regulations at 12 CFR experience is applicable to the current Issuer, including the pricing for the 1808.302 and 1808.307. principals and team members. roles of Program Administrator and b. Servicer. The Qualified Issuer f. Management and staffing. The Servicer. Although the pricing structure applicant must demonstrate that it has Qualified Issuer applicant must and fees shall be decided by negotiation (either directly or contractually through demonstrate that it has sufficiently between market participants without another designated entity) the strong management and staffing interference or approval by the CDFI appropriate expertise, capacity, capacity to undertake the duties of Fund, the CDFI Fund will evaluate experience, and qualifications, or is Qualified Issuer. The applicant must whether the Qualified Issuer applicant’s otherwise qualified to serve as Servicer. also demonstrate that its proposed proposed pricing structure is feasible to The Qualified Issuer Application must Program Administrator and its proposed carry out the responsibilities of a provide information that demonstrates Servicer have sufficiently strong Qualified Issuer over the life of the that the Qualified Issuer’s Servicer has management and staffing capacity to Bond to help ensure sound the expertise, capacity, experience, and undertake their respective requirements implementation of the program. qualifications necessary to perform under the CDFI Bond Guarantee j. Other criteria. The Qualified Issuer certain required administrative duties Program. Strong management and applicant must meet such other criteria (including, but not limited to, Bond staffing capacity is evidenced by factors as may be required by the CDFI Fund, Loan servicing functions). that include, but are not limited to: (i) as set forth in the Qualified Issuer c. Program Administrator. The A sound track record of delivering on Application or required by the CDFI Qualified Issuer applicant must past performance; (ii) a documented Fund in its sole discretion, for the demonstrate that it has (either directly succession plan; (iii) organizational purposes of evaluating the merits of a or contractually through another stability including staff retention; and Qualified Issuer Application. The CDFI designated entity) the appropriate (iv) a clearly articulated, reasonable, and Fund may request an on-site review of expertise, capacity, experience, and well-documented staffing plan. Qualified Issuer applicant to confirm qualifications, or is otherwise qualified g. Financial strength. The Qualified materials provided in the written to serve as Program Administrator. The Issuer applicant must demonstrate the application, as well as to gather Qualified Issuer Application must strength of its financial capacity and additional due diligence information. provide information that demonstrates activities including, among other items, The on-site reviews are a critical that the Qualified Issuer’s Program financially sound business practices component of the application review Administrator has the expertise, relative to the industry norm for bond process and will generally be conducted capacity, experience, and qualifications issuers, as evidenced by reports of for all applicants not regulated by an necessary to perform certain required Appropriate Federal Banking Agencies, Appropriate Federal Banking Agency or administrative duties (including, but not Appropriate State Agencies, or auditors. Appropriate State Agency. The CDFI

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Fund reserves the right to conduct a site Guarantee. The Qualified Issuer shall incomplete application earlier than visit of regulated entities, in its sole provide all required information in its other applicants does not ensure first discretion. Guarantee Application to establish that approval. k. Third-party data sources. The CDFI it meets all criteria set forth in the B. Guarantee Application: Eligibility. Fund, in its sole discretion, may Regulations at 12 CFR 1808.501 and this 1. Eligibility; CDFI certification consider information from third-party NOGA and can carry out all CDFI Bond requirements. If approved for a sources including, but not limited to, Guarantee Program requirements Guarantee, each Eligible CDFI must be periodicals or publications, publicly including, but not limited to, a Certified CDFI as of the Bond Issue available data sources, or subscriptions information that demonstrates that the Date and must maintain its respective services for additional information Qualified Issuer has the appropriate CDFI certification throughout the term about the Qualified Issuer applicant, the expertise, capacity, and experience and of the corresponding Bond. For more proposed Program Administrator, the is qualified to make, administer and information on CDFI Certification and proposed Servicer, and each Certified service Bond Loans for Eligible the certification of affiliated entities, CDFI that is included in the Qualified Purposes. An Eligible CDFI may be an including the deadlines for submission Issuer Application. Any additional existing certified or certifiable CDFI (the of certification applications, see part II information received from such third- GRS), or the Eligible CDFI may be an of this NOGA. party sources will be reviewed and Affiliate of a Controlling CDFI(s) that is 2. Qualified Issuer as Eligible CDFI. A evaluated through a systematic and created for the sole purpose of Qualified Issuer may not participate as formalized process. participation as an Eligible CDFI in the an Eligible CDFI within its own Bond D. Notification of Qualified Issuer CDFI Fund Bond Guarantee Program Issue, but may participate as an Eligible determination. Each Qualified Issuer (the AFS; see Section II(B) of this NOGA CDFI in a Bond Issue managed by applicant will be informed of the CDFI for Recourse and Collateral another Qualified Issuer. Fund’s decision in writing, by email Requirements and Section II(A) of this 3. Attestation by proposed Eligible using the addresses maintained in the NOGA for certification requirements for CDFIs. Each proposed Eligible CDFI entity’s AMIS account. The CDFI Fund certifiable CDFIs and Affiliates of must attest in the Guarantee Application will not notify the proposed Program Controlling CDFIs). that it has designated the Qualified Administrator, the proposed Servicer, or b. The Guarantee Application Issuer to act on its behalf and that the the Certified CDFIs included in the comprises a Capital Distribution Plan information pertaining to the Eligible Qualified Issuer Application of its and at least one Secondary Capital CDFI in the Guarantee Application is decision regarding the Qualified Issuer Distribution Plan, as well as all other true, accurate and complete. Each Application; such contacts are the requirements set forth in this NOGA or proposed Eligible CDFI must also attest responsibility of the Qualified Issuer as may be required by the Guarantor and in the Guarantee Application that it will applicant. the CDFI Fund in their sole discretion, use Bond Loan proceeds for Eligible E. Qualified Issuer Application for the evaluation and selection of Purposes and that Secondary Loans will rejection. In addition to substantive Guarantee applicants. be financed or refinanced in accordance reasons based on the merits of its 2. Guarantee Application evaluation, with the applicable Secondary Loan review, the CDFI Fund reserves the right general. The Guarantee Application Requirements. to reject a Qualified Issuer Application review and evaluation process will be C. Guarantee Application: if information (including administrative based on established standard Preparation. When preparing the errors) comes to the attention of the procedures, which may include Guarantee Application, the Eligible CDFI Fund that adversely affects an interviews of applicants and/or site CDFIs and Qualified Issuer must applicant’s eligibility, adversely affects visits to applicants conducted by the collaborate to determine the the CDFI Fund’s evaluation of a CDFI Fund. Through the Application composition and characteristics of the Qualified Issuer Application, or review process, the CDFI Fund will Bond Issue, ensuring compliance with indicates fraud or mismanagement on evaluate Guarantee applicants on a the Act, the Regulations, and this the part of a Qualified Issuer applicant merit basis and in a fair and consistent NOGA. The Qualified Issuer is or its proposed Program Administrator, manner. Each Guarantee applicant will responsible for the collection, its proposed Servicer, and any Certified be reviewed on its ability to successfully preparation, verification, and CDFI included in the Qualified Issuer implement and carry out the activities submission of the Eligible CDFI Application. If the CDFI Fund proposed in its Guarantee Application information that is presented in the determines that any portion of the throughout the life of the Bond. Eligible Guarantee Application. The Qualified Qualified Issuer Application is incorrect CDFIs must currently meet the criteria Issuer will submit the Guarantee in any material respect, the CDFI Fund established in the Regulations to Application for the proposed Bond reserves the right, in its sole discretion, participate in the CDFI Bond Guarantee Issue, including any information to reject the Application. Program. Guarantee Applications that provided by the proposed Eligible are forward-looking or speculate as to CDFIs. In addition, the Qualified Issuer IV. Guarantee Applications the eventual acquisition of the required will serve as the primary point of A. This NOGA invites Qualified capabilities and criteria by the Eligible contact with the CDFI Fund during the Issuers to submit a Guarantee CDFI(s) are unlikely to be approved. Guarantee Application review and Application to be approved for a Guarantee Application processing will evaluation process. Guarantee under the CDFI Bond be initiated in chronological order by D. Review and approval process. Guarantee Program. date of receipt; however, Guarantee 1. Substantive review. 1. Guarantee Application. Applications that are incomplete or a. If the CDFI Fund determines that a. The Guarantee Application is the require the CDFI Fund to request the Guarantee Application is complete application document that a Qualified additional or clarifying information may and eligible, the CDFI Fund will Issuer (in collaboration with the Eligible delay the ability of the CDFI Fund to undertake a substantive review in CDFI(s) that seek to be included in the deem the Guarantee Application accordance with the criteria and proposed Bond Issue) must submit to complete and move it to the next phase procedures described in the Regulations the CDFI Fund in order to apply for a of review. Submitting a substantially at 12 CFR 1808.501, this NOGA, and the

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Guarantee Application. The substantive operating losses is unlikely to meet the Bond Issue. This includes, but is not review of the Guarantee Application strength and feasibility requirements of limited to, the amount and quality of will include due diligence, the CDFI Bond Guarantee Program, any Credit Enhancements, terms and underwriting, credit risk review, and unless it receives significant support specific conditions such as renewal Federal credit subsidy calculation, in from a Controlling CDFI, or Credit options, and any limiting conditions or order to determine the feasibility and Enhancements. revocability by the provider of the risk of the proposed Bond Issue, as well b. The Capital Distribution Plan must Credit Enhancement. For any third- as the strength and capacity of the demonstrate the Qualified Issuer’s party providing a Credit Enhancement, Qualified Issuer and each proposed comprehensive plan for lending, the Qualified Issuer must provide the Eligible CDFI. Each proposed Eligible disbursing, servicing and monitoring following information on the third- CDFI will be evaluated independently of each Bond Loan in the Bond Issue. It party: Most recent three years of audited the other proposed Eligible CDFIs includes, among other information, the financial statements, a brief analysis of within the proposed Bond Issue; following components: the such entity’s creditworthiness, and however, the Bond Issue must then i. Statement of Proposed Sources and an executed letter of intent from such cumulatively meet all requirements for Uses of Funds: Pursuant to the entity that indicates the terms and Guarantee approval. In general, requirements set forth in the conditions of the Credit Enhancement. applicants are advised that proposed Regulations at 12 CFR1808.102(bb) and Any Credit Enhancement must be Bond Issues that include a large number 1808.301, the Qualified Issuer must pledged, as part of the Trust Estate, to of proposed Eligible CDFIs are likely to provide: (A) A description of the overall the Master Servicer/Trustee for the substantially increase the review period. plan for the Bond Issue; (B) a benefit of the Federal Financing Bank; b. As part of the substantive review description of the proposed uses of v. Proposed Term Sheets: The CDFI process, the CDFI Fund may contact the Bond Proceeds and proposed sources of Fund website includes template term Qualified Issuer (as well as the proposed funds to repay principal and interest on sheets for the GRS, the AFS, and the Eligible CDFIs included in the the proposed Bond and Bond Loans; (C) asset class CDFI to Financing Entity Guarantee Application) by telephone, a certification that 100% of the utilizing pooled tertiary loans. For each email, mail, or through an on-site visit principal amount of the proposed Bond Eligible CDFI that is part of the for the sole purpose of obtaining will be used to make Bond Loans for proposed Bond Issue, the Qualified additional, clarifying, confirming, or Eligible Purposes on the Bond Issue Issuer must submit a proposed Term supplemental application information. Date; and (D) description of the extent Sheet using the applicable template The CDFI Fund reserves the right to to which the proposed Bond Loans will provided on the CDFI Fund’s website. collect such additional, clarifying, serve Low-Income Areas or Underserved The proposed Term Sheet must clearly confirming or supplemental information Rural Areas; state all relevant and critical terms of as it deems appropriate. If contacted for ii. Bond Issue Qualified Issuer cash the proposed Bond Loan including, but additional, clarifying, confirming, or flow model: The Qualified Issuer must not limited to: The Bond Loan Collateral supplemental information, said entities provide a cash flow model displaying Requirements described in Section II(B) must respond within the time the orderly repayment of the Bond and of this NOGA, any requested parameters set by the CDFI Fund or the the Bond Loans according to their prepayment provisions, unique Guarantee Application will be rejected. respective terms. The cash flow model conditions precedent, proposed 2. Guarantee Application criteria. shall include disbursement and covenants and exact amounts/ a. In general, a Guarantee Application repayment of Bonds, Bond Loans, and percentages for determining the Eligible will be evaluated based on the strength Secondary Loans. The cash flow model CDFI’s ability to meet program and feasibility of the proposed Bond shall match the aggregated cash flows requirements, and terms and exact Issue, as well as the creditworthiness from the Secondary Capital Distribution language describing any Credit and performance of the Qualified Issuer Plans of each of the underlying Eligible Enhancements. Terms may be either and the proposed Eligible CDFIs. CDFIs in the Bond Issue pool. Such altered and/or negotiated by the CDFI Guarantee Applications must information must describe the expected Fund in its sole discretion, based on the demonstrate that each proposed Eligible distribution of asset classes to which proposed structure in the application, to CDFI has the capacity for its respective each Eligible CDFI expects to disburse ensure that adequate protection is in Bond Loan to be a secured, general funds, the proposed disbursement place for the Guarantor; recourse obligation of the proposed schedule, quarterly or semi-annual vi. Secondary Capital Distribution Eligible CDFI and to deploy the Bond amortization schedules, interest-only Plan(s): Each proposed Eligible CDFI Loan proceeds within the required periods, maturity date of each advance must provide a comprehensive plan for disbursement timeframe as described in of funds, and assumed net interest financing, disbursing, servicing and the Regulations. Unless receiving margin on Secondary Loans above the monitoring Secondary Loans, address significant support from a Controlling assumed Bond Loan rate; how each proposed Secondary Loan CDFI, or Credit Enhancements, Eligible iii. Organizational capacity: If not will meet Eligible Purposes, and address CDFIs should not request Bond Loans submitted concurrently, the Qualified such other requirements listed below greater than their current total asset size Issuer must attest that no material that may be required by the Guarantor or which would otherwise significantly changes have occurred since the time and the CDFI Fund. For each proposed impair their net asset or net equity that it submitted the Qualified Issuer Eligible CDFI relying, for CDFI position. In general, an applicant Application; certification purposes, on the financing requesting a Bond Loan more than 50% iv. Credit Enhancement (if entity activity of a Controlling CDFI, the of its total asset size should be prepared applicable): The Qualified Issuer must Controlling CDFI must describe how the to clearly demonstrate that it has a provide information about the adequacy Eligible CDFI and the Controlling CDFI, reasonable plan to scale its operations of proposed risk mitigation provisions together, will meet the requirements prudently and in a manner that does not designed to protect the financial listed below: impair its net asset or net equity interests of the Federal Government, (A) Narrative and Statement of position. Further, an entity with a either directly or indirectly through Proposed Sources and Uses of Funds: limited operating history or a history of supporting the financial strength of the Each Eligible CDFI will: (1) Provide a

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description of proposed uses of funds, an analysis by management of its ability beginning on the Bond Issue Date, and including the extent to which Bond to manage the funding, monitoring, and that Secondary Loans shall be made as Loans will serve Low-Income Areas or collection of loans being contemplated set forth in subsection 1808.307(b); and Underserved Rural Areas, and the extent with the proceeds of the Bond Loan; (5) viii. Such other information that the to which Bond Loan proceeds will be information about its board of directors; Guarantor, the CDFI Fund and/or the used (i) to make the first monthly (6) a governance narrative; (7) Bond Purchaser may deem necessary installment of a Bond Loan payment, (ii) description of senior management and and appropriate. pay Issuance Fees up to 1% of the Bond employee base; (8) independent reports, c. The CDFI Fund will use the Loan, and (iii) finance Loan Loss if available; (9) strategic plan or related information described in the Capital Reserves related to Secondary Loans; (2) progress reports; and (10) a discussion Distribution Plan and Secondary Capital attest that 100% of Bond Loan proceeds of the management and information Distribution Plan(s) to evaluate the designated for Secondary Loans will be systems used by the Eligible CDFI; feasibility of the proposed Bond Issue, used to finance or refinance Secondary (D) Policies and procedures: Each with specific attention paid to each Loans that meet Secondary Loan Eligible CDFI must provide relevant Eligible CDFI’s financial strength and Requirements; (3) describe a plan for policies and procedures including, but organizational capacity. For each financing, disbursing, servicing, and not limited to: A copy of the asset- proposed Eligible CDFI relying, for CDFI monitoring Secondary Loans; (4) liability matching policy, if applicable; certification purposes, on the financing indicate the expected asset classes to and loan policies and procedures which entity activity of a Controlling CDFI, the which it will lend under the Secondary address topics including, but not CDFI Fund will pay specific attention to Loan Requirements; (5) indicate limited to: Origination, underwriting, the Controlling CDFI’s financial strength examples of previous lending and years credit approval, interest rates, closing, and organizational capacity as well as of experience lending to a specific asset documentation, asset management, and the operating agreement between the class, especially with regards to the portfolio monitoring, risk-rating proposed Eligible CDFI and the number and dollar volume of loans definitions, charge-offs, and loan loss Controlling CDFI. All materials made in the five years prior to reserve methodology; provided in the Guarantee Application application submission to the specific (E) Financial statements: Each will be used to evaluate the proposed asset classes to which an Eligible CDFI Eligible CDFI must provide information Bond Issue. In total, there are more than is proposing to lend Bond Loan about the Eligible CDFI’s current and 100 individual criteria or sub-criteria proceeds; (6) provide a table detailing future financial position, including but used to evaluate each Eligible CDFI. specific uses and timing of not limited to: (1) Audited financial Specific criteria used to evaluate each disbursements, including terms and statements for the prior three (3) most Eligible CDFI shall include, but not be relending plans if applicable; and (7) a recent Fiscal Years; (2) current year-to- limited to, the following criteria below. community impact analysis, including date or interim financial statement for For each proposed Eligible CDFI relying, how the proposed Secondary Loans will the immediately prior quarter end of the for CDFI certification purposes, on the address financing needs that the private Fiscal Year; (3) a copy of the current financing entity activity of a Controlling market is not adequately serving and year’s approved budget or projected CDFI, the following specific criteria will specific community benefit metrics; budget if the entity’s Board has not yet also be used to evaluate both the (B) Eligible CDFI cash flow model: approved such budget; and (4) a three proposed Eligible CDFI and the Each Eligible CDFI must provide a cash (3) year pro forma projection of the Controlling CDFI: flow model of the proposed Bond Loan statement of financial position or i. Historical financial ratios: Ratios which: (1) Matches each Eligible CDFI’s balance sheet, statement of activities or which together have been shown to be portion of the Qualified Issuer’s cash income statement, and statement of cash predictive of possible future default will flow model; and (2) tracks the flow of flows in the standardized template be used as an initial screening tool, funds through the term of the Bond provided by the CDFI Fund; including total asset size, net asset or Issue and demonstrates disbursement (F) Loan portfolio information: Each Tier 1 Core Capital ratio, self-sufficiency and repayment of the Bond Loan, Eligible CDFI must provide information ratio, non-performing asset ratio, Secondary Loans, and any utilization of including, but not limited to: (1) Loan liquidity ratio, reserve over the Relending Fund, if applicable. Such portfolio quality report; (2) pipeline nonperforming assets, and yield cost information must describe: the expected report; (3) portfolio listing; (4) a spread; distribution of asset classes to which description of other loan assets under ii. Quantitative and qualitative each Eligible CDFI expects to disburse management; (5) loan products; (6) attributes under the ‘‘CAMELS’’ funds, the proposed disbursement independent loan review report; (7) framework: After initial screening, the schedule, quarterly or semi-annual impact report case studies; and (8) a CDFI Fund will utilize a more detailed amortization schedules, interest-only loan portfolio by risk rating and loan analysis under the ‘‘CAMELS’’ periods, maturity date of each advance loss reserves; and framework, including but not limited to: of funds, and the assumed net interest (G) Funding sources and financial (A) Capital Adequacy: Attributes such margin on Secondary Loans above the activity information: Each Eligible CDFI as the debt-to-equity ratio, status, and assumed Bond Loan rate; must provide information including, but significance of off-balance sheet (C) Organizational capacity: Each not limited to: (1) Current grant liabilities or contingencies, magnitude, Eligible CDFI must provide information; (2) funding projections; (3) and consistency of cash flow documentation indicating the ability of credit enhancements; (4) historical performance, exposure to affiliates for the Eligible CDFI to manage its Bond investor renewal rates; (5) covenant financial and operating support, trends Loan including, but not limited to: (1) compliance; (6) off-balance sheet in changes to capitalization, and other Organizational ownership and a chart of contingencies; (7) earned revenues; and relevant attributes; affiliates; (2) organizational documents, (8) debt capital statistics. (B) Asset Quality: Attributes such as including policies and procedures vii. Assurances and certifications that the charge-off ratio, adequacy of loan related to loan underwriting and asset not less than 100% of the principal loss reserves, sector concentration, management; (3) management or amount of Bonds will be used to make borrower concentration, asset operating agreement, if applicable; (4) Bond Loans for Eligible Purposes composition, security and

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collateralization of the loan portfolio, circumstances of each Guarantee Guarantees made per year to ensure that trends in changes to asset quality, and Application. a sufficient examination of Guarantee other relevant attributes; (I) On-Site Review: The CDFI Fund Applications is conducted. (C) Management: Attributes such as may request an on-site review of an 3. The CDFI Fund will notify the documented best practices in Eligible CDFI to confirm materials Qualified Issuer in writing of the governance, strategic planning and provided in the written application, as Guarantor’s approval or disapproval of a board involvement, robust policies and well as to gather additional due Guarantee Application. Bond procedures, tenured and experienced diligence information. The on-site Documents and Bond Loan documents management team, organizational reviews are a critical component of the must be executed, and Guarantees will stability, infrastructure and information application review process and will be provided, in the order in which technology systems, and other relevant generally be conducted for all Guarantee Applications are approved or attributes; applicants not regulated by an by such other criteria that the CDFI (D) Earnings and Performance: Appropriate Federal Banking Agency or Fund may establish, in its sole Attributes such as net operating Appropriate State Agency. The CDFI discretion, and in any event by margins, deployment of funds, self- Fund reserves the right to conduct a site September 30, 2021. sufficiency, trends in earnings, and visit of regulated entities, in its sole 4. Please note that the most recently other relevant attributes; discretion. dated templates of Bond Documents and (E) Liquidity: Attributes such as (J) Secondary Loan Asset Classes: Bond Loan documents that are posted unrestricted cash and cash equivalents, Eligible CDFIs that propose to use funds on the CDFI Fund’s website will not be ability to access credit facilities, access for new products or lines of business substantially revised or negotiated prior to grant funding, covenant compliance, must demonstrate that they have the to closing of the Bond and Bond Loan affiliate relationships, concentration of organizational capacity to manage such and issuance of the corresponding funding sources, trends in liquidity, and activities in a prudent manner. Failure Guarantee. If a Qualified Issuer or a other relevant attributes; to demonstrate such organizational proposed Eligible CDFI does not (F) Sensitivity: The CDFI Fund will capacity may be factored into the understand the terms and conditions of stress test each Eligible CDFI’s projected consideration of Asset Quality or the Bond Documents or Bond Loan financial performance under scenarios Management criteria as listed above in documents (including those listed in that are specific to the unique this section. Section II.G., above), it should ask circumstance and attributes of the 3. Credit subsidy cost. The credit questions or seek technical assistance organization. Additionally, the CDFI subsidy cost is the net present value of from the CDFI Fund. However, if a Fund will consider other relevant the estimated long-term cost of the Qualified Issuer or a proposed Eligible criteria that have not been adequately Guarantee to the Federal Government as CDFI disagrees or is uncomfortable with captured in the preceding steps as part determined under the applicable any term/condition, or if legal counsel of the due diligence process. Such provisions of the Federal Credit Reform to either cannot provide a legal opinion criteria may include, but not be limited Act of 1990, as amended (FCRA). in substantially the same form and to, the size and quality of any third- Treasury has not received appropriated content of the required legal opinion, it party Credit Enhancements or other amounts from Congress to cover the should not apply for a Guarantee. forms of credit support. credit subsidy costs associated with 5. The Guarantee shall not be effective (G) Overcollateralization: The Guarantees issued pursuant to this until the Guarantor signs and delivers commitment by an Eligible CDFI to NOGA. In accordance with FCRA, the Guarantee. over- collateralize a proposed Bond Treasury must consult with, and obtain F. Guarantee denial. The Guarantor, Loan with excess Secondary Loans is a the approval of, OMB for Treasury’s in the Guarantor’s sole discretion, may criterion that may affect the viability of calculation of the credit subsidy cost of deny a Guarantee, after consideration of a Guarantee Application by decreasing each Guarantee prior to entering into the recommendation from the Credit the estimated net present value of the any Agreement to Guarantee. Review Board and/or based on the long-term cost of the Guarantee to the E. Guarantee approval; Execution of merits of the Guarantee Application. In Federal Government, by decreasing the documents. addition, the Guarantor reserves the probability of default, and/or increasing 1. The Guarantor, in the Guarantor’s right to deny a Guarantee Application if the recovery rate in the event of default. sole discretion, may approve a information (including any An Eligible CDFI committing to Guarantee, after consideration of the administrative error) comes to the overcollateralization may not be recommendation from the CDFI Bond Guarantor’s attention that adversely required to deposit funds in the Guarantee Program’s Credit Review affects the Qualified Issuer’s eligibility, Relending Account, subject to the Board and/or based on the merits of the adversely affects the evaluation or maintenance of certain unique Guarantee Application. The Guarantor scoring of an Application, or indicates requirements that are detailed in the shall approve or deny a Guarantee fraud or mismanagement on the part of template Agreement to Guarantee and Application no later than 90 days after the Qualified Issuer, Program Bond Loan Agreement. the date the Guarantee Application was Administrator, Servicer, and/or Eligible (H) Credit Enhancements: The advanced for substantive review. CDFIs. provision of third-party Credit 2. The Guarantor reserves the right to Further, if the Guarantor determines Enhancements, including any Credit approve Guarantees, in whole or in part, that any portion of the Guarantee Enhancement from a Controlling CDFI in response to any, all, or none of the Application is incorrect in any material or any other affiliated entity, is a Guarantee Applications submitted in respect, the Guarantor reserves the right, criterion that may affect the viability of response to this NOGA. The Guarantor in the Guarantor’s sole discretion, to a Guarantee Application by decreasing also reserves the right to approve any deny the Application. the estimated net present value of the Guarantees in an amount that is less long-term cost of the Guarantee to the than requested in the corresponding V. Guarantee Administration Federal Government. Credit Guarantee Application. Pursuant to the A. Pricing information. Bond Loans Enhancements are considered in the Regulations at 12 CFR 1808.504(c), the will be priced based upon the context of the structure and Guarantor may limit the number of underlying Bond issued by the

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Qualified Issuer and purchased by the Date, based on the duration and fees that may be applicable to Qualified Federal Financing Bank (FFB or Bond maturity of the Bonds according to the Issuers and Eligible CDFIs after approval Purchaser). As informed by CDFI Fund FFB’s lending policies of a Guarantee of a Bond Issue, as well underwriting according to the criteria (www.treasury.gov/ffb). Liquidity as Risk-Share Pool funding, prepayment laid out in Section II ‘‘General premiums will be charged in increments penalties or discounts, and Credit Application Information’’ and Section of 1/8th of a percent (i.e., 12.5 basis Enhancements. The table is not IV ‘‘Guarantee Applications’’ of this points). exhaustive; additional fees payable to NOGA, the FFB will set the liquidity B. Fees and other payments. The the CDFI Fund or other parties may premium at the time of the Bond Issue following table includes some of the apply.

Fee Description

Agency Administrative Fee ...... Payable monthly to the CDFI Fund by the Eligible CDFI Equal to 10 basis points (annualized) on the amount of the unpaid principal of the Bond Issue. Bond Issuance Fees ...... Amounts paid by an Eligible CDFI for reasonable and appropriate expenses, administrative costs, and fees for services in connection with the issuance of the Bond (but not including the Agency Adminis- trative Fee) and the making of the Bond Loan. Fees negotiated between the Qualified Issuer, the Mas- ter Servicer/Trustee, and the Eligible CDFI. Up of 1% of Bond Loan Proceeds may be used to finance Bond Issuance Fees. Servicer Fee ...... The fees paid by the Eligible CDFI to the Qualified Issuer’s Servicer. Servicer fees are negotiated between the Qualified Issuer and the Eligible CDFI. Program Administrator Fee ...... The fees paid by the Eligible CDFI to the Qualified Issuer’s Program Administrator. Program Adminis- trator fees are negotiated between the Qualified Issuer and the Eligible CDFI. Master Servicer/Trustee Fee ...... The fees paid by the Qualified Issuer and the Eligible CDFI to the Master Servicer/Trustee to carry out the responsibilities of the Bond Trust Indenture. In general, the Master Servicer/Trustee fee for a Bond Issue with a single Eligible CDFI is the greater of 16 basis points per annum or $6,000 per month once the Bond Loans are fully disbursed. Fees for Bond Issues with more than one Eligible CDFI are negotiated between the Master Servicer/Trustee, Qualified Issuer, and Eligible CDFI. Any special servicing costs and resolution or liquidation fees due to a Bond Loan default are the responsibility of the Eligible CDFI. Please see the template legal documents at https://www.cdfifund.gov/programs-training/ Programs/cdfi-bond/Pages/closing-disbursement-step.aspx#step4 for more specific information. Risk-Share Pool Funding ...... The funds paid by the Eligible CDFIs to cover Risk- Share Pool requirements; capitalized by pro rata payments equal to 3% of the amount disbursed on the Bond Loan from all Eligible CDFIs within the Bond Issue. Prepayment Premiums or Discounts .. Prepayment premiums or discounts are determined by the FFB at the time of prepayment. Credit Enhancements ...... Pledges made to enhance the quality of a Bond and/or Bond Loan. Credit Enhancements include, but are not limited to, the Principal Loss Collateral Provision and letters of credit. Credit Enhancements must be pledged, as part of the Trust Estate, to the Master Servicer/Trustee for the benefit of the Fed- eral Financing Bank.

C. Terms for Bond Issuance and www.cdfifund.gov/programs-training/ amount previously committed to the disbursement of Bond Proceeds. In Programs/cdfi-bond/Pages/compliance- Secondary Loans in the applicable accordance with 12 CFR 1808.302(f), step.aspx#step5. Applicants should period. Secondary Loans shall carry each year, beginning on the one year become familiar with the published loan maturities suitable to the loan anniversary of the Bond Issue Date (and Secondary Loan Requirements. purpose and be consistent with loan-to- every year thereafter for the term of the Secondary Loan Requirements are value requirements set forth in the Bond Issue), each Qualified Issuer must classified by asset class and are subject Secondary Loan Requirements. demonstrate that no less than 100% of to a Secondary Loan commitment Secondary Loan maturities shall not the principal amount of the Guaranteed process managed by the Qualified exceed the corresponding Bond or Bond Bonds currently disbursed and Issuer. Eligible CDFIs must execute Loan maturity date. It is the expectation outstanding has been used to make Secondary Loan documents (in the form of the CDFI Fund that interest rates for loans to Eligible CDFIs for Eligible of promissory notes) with Secondary the Secondary Loans will be reasonable Purposes. If a Qualified Issuer fails to Borrowers as follows: (i) No later than based on the borrower and loan demonstrate this requirement within the 12 months after the Bond Issue Date, characteristics. 90 days after the anniversary of the Secondary Loan documents E. Secondary Loan collateral Bond Issue Date, the Qualified Issuer representing at least 50% of the Bond requirements. must repay on that portion of Bonds Loan proceeds allocated for Secondary 1. The Regulations state that necessary to bring the Bonds that Loans, and (ii) no later than 24 months Secondary Loans must be secured by a remain outstanding after such after the Bond Issue Date, Secondary first lien of the Eligible CDFI on pledged repayment is in compliance with the Loan documents representing 100% of collateral, in accordance with the 100% requirement above. the Bond Loan proceeds allocated for Regulations (at 12 CFR 1808.307(f)) and D. Secondary Loan Requirements. In Secondary Loans. In the event that the within certain parameters. Examples of accordance with the Regulations, Eligible CDFI does not comply with the acceptable forms of collateral may Eligible CDFIs must finance or refinance foregoing requirements of clauses (i) or include, but are not limited to: real Secondary Loans for Eligible Purposes (ii) of this paragraph, the available Bond property (including land and (not including loan loss reserves) that Loan proceeds at the end of the structures), leasehold mortgages, comply with Secondary Loan applicable period shall be reduced by an machinery, equipment and movables, Requirements. The Secondary Loan amount equal to the difference between cash and cash equivalents, accounts Requirements are found on the CDFI the amount required by clauses (i) or (ii) receivable, letters of credit, inventory, Fund’s website at https:// for the applicable period minus the fixtures, contracted revenue streams

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from non-Federal counterparties, payment schedule established by the 5. For Secondary Loans benefitting provided the Secondary Borrower Qualified Issuer. from a Principal Loss Collateral pledges all assets, rights and interests G. Credit Enhancements; Principal Provision (e.g., a deficiency guarantee), necessary to generate such revenue Loss Collateral Provision. the entity providing the Principal Loss stream, and a Principal Loss Collateral 1. In order to achieve the statutory Collateral Provision must be Provision. Intangible assets, such as zero-credit subsidy constraint of the underwritten based on the same criteria customer relationships and intellectual CDFI Bond Guarantee Program and to as if the Secondary Loan were being property rights, are not acceptable forms avoid a call on the Guarantee, Eligible made directly to that entity with the of collateral. Loans secured by real CDFIs are encouraged to include Credit exception that the guarantee need not be property that are still in a construction Enhancements and Principal Loss collateralized. phase will only be permitted when Collateral Provisions structured to 6. If the Principal Loss Collateral backed by a letter of credit issued by a protect the financial interests of the Provision is provided by a financial bank deemed acceptable by the Bond Federal Government. Any Credit institution that is regulated by an Guarantee Program, in a format deemed Enhancement or Principal Loss Appropriate Federal Banking Agency or acceptable to the Bond Guarantee Collateral Provision must be pledged, as an Appropriate State Agency, the Program, that guarantees the full value part of the Trust Estate, to the Master guaranteeing institution must of the pledged collateral until at Servicer/Trustee for the benefit of the demonstrate performance of financially minimum completion of the Federal Financing Bank. sound business practices relative to the construction and stabilization phases. 2. Credit Enhancements may include, industry norm for providers of collateral but are not limited to, payment 2. The Regulations require that Bond enhancements as evidenced by reports guarantees from third parties or Loans must be secured by a first lien on of Appropriate Federal Banking Affiliate(s), non-Federal capital, lines or a collateral assignment of Secondary Agencies, Appropriate State Agencies, letters of credit, or other pledges of Loans, and further that the Secondary and auditors, as appropriate. financial resources that enhance the Loans must be secured by a first lien or 7. In the event that the Eligible CDFI Eligible CDFI’s ability to make timely parity lien on acceptable collateral. proposes to use other Federal funds to interest and principal payments under service Bond Loan debt or as a Credit 3. Valuation of the collateral pledged the Bond Loan. Enhancement, the CDFI Fund may by the Secondary Borrower must be 3. As distinct from Credit require, in its sole discretion, that the based on the Eligible CDFI’s credit Enhancements, Principal Loss Collateral Eligible CDFI provide written assurance policy guidelines and must conform to Provisions may be provided in lieu of from such other Federal program, in a the standards set forth in the Uniform pledged collateral and/or in addition to form that is acceptable to the CDFI Fund Standards of Professional Appraisal pledged collateral. A Principal Loss and that the CDFI Fund may rely upon, Practice (USPAP) and the Secondary Collateral Provision shall be in the form that said use is permissible. Loan Requirements. of cash or cash equivalent guarantees H. Reporting requirements. 4. Independent third-party appraisals from non-Federal capital in amounts 1. Reports. are required for the following collateral: necessary to secure the Eligible CDFI’s a. General. As required pursuant to Real estate, leasehold interests, fixtures, obligations under the Bond Loan after the Regulations at 12 CFR 1808.619, and machinery and equipment, movables exercising other remedies for default. as set forth in the Bond Documents and stock valued in excess of $250,000, and For example, a Principal Loss Collateral the Bond Loan documents, the CDFI contracted revenue stream from non- Provision may include a deficiency Fund will collect information from each Federal creditworthy counterparties. guarantee whereby another entity Qualified Issuer which may include, but Secondary Loan collateral shall be assumes liability after other default will not be limited to: valued using the cost approach, net of remedies have been exercised, and (i) Quarterly and annual financial depreciation and shall be required for covers the deficiency incurred by the reports and data (including an OMB the following: accounts receivable, creditor. The Principal Loss Collateral single audit per 2 CFR 200 Subpart F, machinery, equipment and movables, Provision shall, at a minimum, provide as applicable) for the purpose of and fixtures. for the provision of cash or cash monitoring the financial health, ratios F. Qualified Issuer approval of Bond equivalents in an amount that is not less and covenants of Eligible CDFIs that Loans to Eligible CDFIs. The Qualified than the difference between the value of include asset quality (nonperforming Issuer shall not approve any Bond Loans the collateral and the amount of the assets, loan loss reserves, and net to an Eligible CDFI where the Qualified accelerated Bond Loan outstanding. charge-off ratios), liquidity (current Issuer has actual knowledge, based 4. In all cases, acceptable Credit ratio, working capital, and operating upon reasonable inquiry, that within the Enhancements or Principal Loss liquidity ratio), solvency (capital ratio, past five (5) years the Eligible CDFI: (i) Collateral Provisions shall be proffered self-sufficiency, fixed charge, leverage, Has been delinquent on any payment by creditworthy providers and shall and debt service coverage ratios); (ii) obligation (except upon a demonstration provide information about the adequacy annual reports as to the compliance of by the Qualified Issuer satisfactory to of the facility in protecting the financial the Qualified Issuer and Eligible CDFIs the CDFI Fund that the delinquency interests of the Federal Government, with the Regulations and specific does not affect the Eligible CDFI’s either directly or indirectly through requirements of the Bond Documents creditworthiness), or has defaulted and supporting the financial strength of the and Bond Loan documents; (iii) Master failed to cure any other obligation, on a Bond Issue. The information provided Servicer/Trustee summary of program loan or loan agreement previously made must include the amount and quality of accounts and transactions for each Bond under the Act; (ii) has been found by the any Credit Enhancements, the financial Issue; (iv) Secondary Loan certifications Qualified Issuer to be in default of any strength of the provider of the Credit describing Eligible CDFI lending, repayment obligation under any Federal Enhancement, the terms, specific collateral valuation, and eligibility; (v) program; (iii) is financially insolvent in conditions such as renewal options, and financial data on Secondary Loans to either the legal or equitable sense; or (iv) any limiting conditions or revocability monitor underlying collateral, gauge is not able to demonstrate that it has the by the provider of the Credit overall risk exposure across asset capacity to comply fully with the Enhancement. classes, and assess loan performance,

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quality, and payment history; (vi) impacts in Low-Income or Underserved The Annual Assessment is intended to annual certifications of compliance with Rural Areas. Such changes will be support the CDFI Fund’s annual program requirements; (vii) material reviewed by the CDFI Bond Guarantee monitoring of the Bond Loan portfolio event disclosures including any reports Program and presented to the Credit and to collect financial health, internal of Eligible CDFI management and/or Review Board for approval, and control, investment impact organizational changes; (viii) annual appropriate consultation will be made measurement methodology information updates to the Capital Distribution Plan with OMB to ensure compliance with related to the Eligible CDFIs. This (as described below); (ix) supplements OMB Circulars A–11 and A–129, prior assessment is consistent with the and/or clarifications to correct reporting to notifying the Eligible CDFI if such program’s requirements for Compliance errors (as applicable); (x) project level changes are acceptable under the terms Management and Monitoring (CMM) reports to understand overall program of the Bond Loan Agreement. An and Portfolio Management and Loan impact and the manner in which Bond Eligible CDFI may request such an Monitoring (PMLM), and will be Proceeds are deployed for Eligible update to its Capital Distribution Plan required pursuant to the Bond Community or Economic Development prior to Bond Issue Closing, and Documents and the Bond Loan Purposes; and (xi) such other thereafter may only request such an documents. The assessment will also information that the CDFI Fund and/or update once per the Eligible CDFI’s add to the Department of the Treasury’s the Bond Purchaser may require, fiscal year. review and impact analysis on the use including but not limited to racial and d. Reporting by Affiliates and of Bond Loan proceeds in underserved ethnic data showing the extent to which Controlling CDFIs. In the case of an communities and support the CDFI members of minority groups are Eligible CDFI relying, for CDFI Fund in proactively managing portfolio beneficiaries of the CDFI Bond certification purposes, on the financing risks and performance. The Annual Guarantee Program, to the extent entity activity of a Controlling CDFI, the Assessment criteria for Qualified Issuers permissible by law. CDFI Fund will require that the Affiliate and Eligible CDFIs is available on the b. Additional reporting by Qualified and Controlling CDFI provide certain CDFI Fund’s website. Issuers. A Qualified Issuer receiving a joint reports, including but not limited i. The CDFI Fund reserves the right, Guarantee shall submit annual updates to those listed in subparagraph 1(a) in its sole discretion, to modify its to the approved Capital Distribution above. reporting requirements if it determines Plan, including an updated Proposed e. Detailed information on specific it to be appropriate and necessary; Sources and Uses of Funds for each reporting requirements and the format, however, such reporting requirements Eligible CDFI, noting any deviation from frequency, and methods by which this will be modified only after notice to the original baseline with regards to information will be transmitted to the Qualified Issuers. Additional both timing and allocation of funding CDFI Fund will be provided to information about reporting among Secondary Loan asset classes. Qualified Issuers, Program requirements pursuant to this NOGA, The Qualified Issuer shall also submit a Administrators, Servicers, and Eligible the Bond Documents and the Bond Loan narrative, no more than five (5) pages in CDFIs through the Bond Loan documents will be subject to the length for each Eligible CDFI, describing Agreement, correspondence, and Paperwork Reduction Act, as applicable. the Eligible CDFI’s capacity to manage webinar trainings, and/or scheduled 2. Accounting. its Bond Loan. The narrative shall outreach sessions. a. In general, the CDFI Fund will address any Notification of Material f. Reporting requirements will be require each Qualified Issuer and Events and relevant information enforced through the Agreement to Eligible CDFI to account for and track concerning the Eligible CDFI’s Guarantee and the Bond Loan the use of Bond Proceeds and Bond management information systems, Agreement, and will contain a valid Loan proceeds. This means that for personnel, executive leadership or OMB control number pursuant to the every dollar of Bond Proceeds received board members, as well as financial Paperwork Reduction Act, as applicable. from the Bond Purchaser, the Qualified capacity. The narrative shall also g. Each Qualified Issuer will be Issuer is required to inform the CDFI describe how such changes affect the responsible for the timely and complete Fund of its uses, including Bond Loan Eligible CDFI’s ability to generate submission of the annual reporting proceeds. This will require Qualified impacts in Low-Income or Underserved documents, including such information Issuers and Eligible CDFIs to establish Rural Areas. that must be provided by other entities separate administrative and accounting c. Change of Secondary Loan asset such as Eligible CDFIs, Secondary controls, subject to the applicable OMB classes. Any Eligible CDFI seeking to Borrowers or Credit Enhancement Circulars. expand the allowable Secondary Loan providers. If such other entities are b. The CDFI Fund will provide asset classes beyond what was approved required to provide annual report guidance to Qualified Issuers outlining by the CDFI Bond Guarantee Program’s information or documentation, or other the format and content of the Credit Review Board or make other documentation that the CDFI Fund may information that is to be provided on an deviations that could potentially result require, the Qualified Issuer will be annual basis, outlining and describing in a modification, as that term is defined responsible for ensuring that the how the Bond Proceeds and Bond Loan in OMB Circulars A–11 and A–129, information is submitted timely and proceeds were used. must receive approval from the CDFI complete. Notwithstanding the Fund before the Eligible CDFI can begin foregoing, the CDFI Fund reserves the VI. Agency Contacts to enact the proposed changes. The right to contact such entities and require A. General information on questions CDFI Fund will consider whether the that additional information and and CDFI Fund support. The CDFI Fund Eligible CDFI possesses or has acquired documentation be provided directly to will respond to questions and provide the appropriate systems, personnel, the CDFI Fund. support concerning this NOGA, the leadership, and financial capacity to h. Annual Assessments. Each Qualified Issuer Application and the implement the revised Capital Qualified Issuer and Eligible CDFI will Guarantee Application between the Distribution Plan. The CDFI Fund will be required to have an independent hours of 9:00 a.m. and 5:00 p.m. ET, also consider whether these changes third-party conduct an Annual starting with the date of the publication assist the Eligible CDFI in generating Assessment of its Bond Loan portfolio. of this NOGA. The final date to submit

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questions is April 19, 2021. CDFI Fund’s website at http:// regarding the CDFI Bond Guarantee Applications and other information www.cdfifund.gov. The CDFI Fund will Program. regarding the CDFI Fund and its post on its website responses to B. The CDFI Fund’s contact programs may be obtained from the questions of general applicability information is as follows:

TABLE 2—CONTACT INFORMATION

Telephone number Type of question (not toll free) Email addresses

CDFI Bond Guarantee Program ...... (202) 653–0421 Option 5 [email protected]. CDFI Certification ...... (202) 653–0423 ...... [email protected]. Certification, Compliance Monitoring and Evaluation ...... (202) 653–0423 ...... [email protected]. Information Technology Support ...... (202) 653–0422 ...... [email protected].

C. Communication with the CDFI SUMMARY: Notice is hereby given of the capabilities and evaluate the risks of Fund. The CDFI Fund will following hearing of the U.S.-China U.S. investors’ capital being leveraged communicate with applicants, Qualified Economic and Security Review for such ends. The opening panel will Issuers, Program Administrators, Commission. The Commission is examine the evolving role of the state in Servicers, Certified CDFIs and Eligible mandated by Congress to investigate, China’s capital markets, including the CDFIs, using the contact information assess, and report to Congress annually Chinese Communist Party’s maintained in their respective AMIS on ‘‘the national security implications of involvement in corporate governance. accounts. Therefore, each such entity the economic relationship between the The second panel will review China’s must maintain accurate contact United States and the People’s Republic financial opening and U.S. and foreign information (including contact person of China.’’ Pursuant to this mandate, the investor participation in China’s capital and authorized representative, email Commission will hold a public hearing markets. The third panel will assess addresses, fax numbers, phone numbers, in Washington, DC, on March 19, 2021, U.S. national security risks posed by and office addresses) in its respective on ‘‘U.S. Investment in China’s Capital investment in Chinese companies. The AMIS account. For more information Markets and Military-Industrial fourth panel will evaluate U.S. legal about AMIS, please see the AMIS Complex.’’ authority and current restrictions on Landing Page at https:// DATES: The hearing is scheduled for outbound investment to China’s capital amis.cdfifund.gov. Friday, March 19, 2021, 9:15 a.m. markets. The hearing will be co-chaired by VII. Information Sessions and Outreach ADDRESSES: This hearing will be held Commissioner Robert Borochoff and The CDFI Fund may conduct with panelists and Commissioners Commissioner Jeffrey Fiedler. Any webcasts, webinars, or information participating in-person or online via interested party may file a written sessions for organizations that are videoconference. Members of the statement by March 19, 2021 by considering applying to, or are audience will be able to view a live transmitting to the contact above. A interested in learning about, the CDFI webcast via the Commission’s website at portion of the hearing will include a Bond Guarantee Program. The CDFI www.uscc.gov. Also, please check the question and answer period between the Fund intends to provide targeted Commission’s website for possible Commissioners and the witnesses. changes to the hearing schedule. outreach to both Qualified Issuer and Authority: Congress created the U.S.-China Eligible CDFI participants to clarify the Reservations are not required to attend the hearing. Economic and Security Review Commission roles and requirements under the CDFI in 2000 in the National Defense Bond Guarantee Program. For further FOR FURTHER INFORMATION CONTACT: Any Authorization Act (Pub. L. 106–398), as information, or to sign up for alerts, member of the public seeking further amended by Division P of the Consolidated please visit the CDFI Fund’s website at information concerning the hearing Appropriations Resolution, 2003 (Pub. L. http://www.cdfifund.gov. should contact Jameson Cunningham, 108–7), as amended by Public Law 109–108 444 North Capitol Street NW, Suite 602, (November 22, 2005), as amended by Public Authority: Pub. L. 111–240; 12 U.S.C. Law 113–291 (December 19, 2014). 4701, et seq.; 12 CFR part 1808; 12 CFR part Washington DC 20001; telephone: 202– 1805;12 CFR part 1815. 624–1496, or via email at jcunningham@ Dated: March 1, 2021. uscc.gov. Reservations are not required Daniel W. Peck, Jodie L. Harris, to attend the hearing. Executive Director, U.S.-China Economic and Director, Community Development Financial ADA Accessibility: For questions Security Review Commission. Institutions Fund. about the accessibility of the event or to [FR Doc. 2021–04507 Filed 3–3–21; 8:45 am] [FR Doc. 2021–04429 Filed 3–3–21; 8:45 am] request an accommodation, please BILLING CODE 1137–00–P BILLING CODE 4810–70–P contact Jameson Cunningham via email at [email protected]. Requests for an accommodation should be made as soon as possible, and at least five DEPARTMENT OF VETERANS U.S.-CHINA ECONOMIC AND business days prior to the event. AFFAIRS SECURITY REVIEW COMMISSION SUPPLEMENTARY INFORMATION: Background: This is the third public Tiered Pharmacy Copayments for Notice of Open Public Hearing hearing the Commission will hold Medications; Calendar Year 2021 Update AGENCY: U.S.-China Economic and during its 2021 report cycle. The Security Review Commission. hearing will examine the Chinese AGENCY: Department of Veterans Affairs. government’s use of capital markets to ACTION: Notice of open public hearing. ACTION: Notice. advance its technology and defense

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SUMMARY: This Department of Veterans each 30-day or less supply of be assessed using the criteria in Affairs (VA) Notice updates the medication provided by VA on an paragraphs (b)(2)(ii) and (iii). information on Tier 1 medications. outpatient basis (other than medication Based on the methodologies set forth administered during treatment). FOR FURTHER INFORMATION CONTACT: in § 17.110, this notice updates the list Tier 1 medication means a multi- Joseph Duran, Office of Community of Tier 1 medications for Calendar Year source medication that has been 2021. The Tier 1 medication list is Care, Veterans Health Administration, identified using the process described in Department of Veterans Affairs, 810 paragraph (b)(2) of this section. Not less posted on VA’s Community Care Vermont Avenue NW, Washington, DC than once per year, VA will identify a website at the following link: https:// 20420; [email protected]; 303– www.va.gov/COMMUNITYCARE/ subset of multi-source medications as _ 370–1637. This is not a toll-free number. Tier 1 medications. Only medications revenue ops/copays.asp under the SUPPLEMENTARY INFORMATION: Section that meet all of the criteria in 38 CFR heading ‘‘Tier 1 Copay Medication 17.110 of title 38, CFR, governs 17.110(b)(2)(i), (ii), and (iii) will be List.’’ copayments for medications that VA eligible to be considered Tier 1 The following table is the Tier 1 provides to veterans. Section 17.110 medications, and only those Copay Medication List that is effective provides the methodologies for medications that meet all of the criteria January 1, 2021 and will remain in establishing the copayment amount for in paragraph (b)(2)(i) of this section will effect until December 31, 2021.

Condition VA product name

Arthritis and Pain ...... Aspirin Buffered Tablet. Aspirin Chewable Tablet. Aspirin Enteric Coated Tablet. Allopurinol Tablet. Celecoxib Capsule. Diclofenac Tablet. Ibuprofen Tablet. Meloxicam Tablet. Naproxen Tablet. Blood Thinners and Platelet Inhibitors ...... Clopidogrel Bisulfate Tablet. Warfarin Sodium Tablet. Bone Health ...... Alendronate Tablet. Cholesterol ...... Atorvastatin Tablet. Ezetimibe Tablet. Pravastatin Tablet. Rosuvastatin Calcium Tablet. Simvastatin Tablet. Dementia ...... Donepezil Tablet. Diabetes ...... Glimepiride Tablet. Glipizide Tablet. Metformin Hydrochloride (HCL) Tablet. Metformin HCL 24-Hour Sustained Action (SA) Tablet. Pioglitazone HCL Tablet. Electrolyte Supplement ...... Potassium SA Tablet. Potassium SA dispersible Tablet. Gastrointestinal Health ...... Famotidine Tablet. Omeprazole Enteric Coated (EC) Capsule. Pantoprazole Sodium EC Capsule. Glaucoma and Eye Care ...... Diclofenac Solution. Dorzolamide 2%/Timolol 0.5% Solution. Latanoprost 0.005% Solution. Polyethylene Glycol 400/Polyethylene Glycol 4000 Solution. Carboxymethylcellulose Sodium Solution. Heart Health and Blood Pressure ...... Amlodipine Tablet. Amiodarone HCL Tablet. Aspirin (see Arthritis and Pain). Atenolol Tablet. Carvedilol Tablet. ChlorthalidoneTablet. Clonidine Tablet. Diltiazem 24-Hour Capsule. Diltiazem HCL Tablet. Enalapril Maleate Tablet. Furosemide Tablet. Hydralazine HCL Tablet. Hydrochlorothiazide Tablet/Capsule. Hydrochlorothiazide/Lisinopril Tablet. Hydrochlorothiazide/Losartan Tablet. Hydrochlorothiazide/Triamterene Tablet/Capsule. Isosorbide Mononitrate SA Tablet. Lisinopril Tablet. Losartan Tablet. Metoprolol Succinate SA Tablet. Metoprolol Tartrate Tablet. Nifedipine SA Capsule.

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Condition VA product name

Nitroglycerin sublingual Tablet. Prazosin HCL Capsule. Propranolol HCL Tablet. Spironolactone Tablet. Mental Health ...... Amitriptyline HCL Tablet. Buspirone HCL Tablet. Bupropion HCL Tablet. Bupropion HCL SA (12HR–SR) Tablet. Bupropion HCL SA (24HR–XL) Tablet. Citalopram Hydrobromide Tablet. Duloxetine HCL EC Capsule. Escitalopram Oxalate Tablet. Fluoxetine Tablet/Capsule. Mirtazapine Tablet. Paroxetine Tablet. Sertraline HCL Tablet. Trazodone Tablet. Venlafaxine HCL Immediate (IR) Tablet. Venlafaxine HCL SA Capsule. Respiratory Condition ...... Montelukast NA Tablet. Seizures ...... Gabapentin Capsule. Lamotrigine Tablet. Topiramate Tablet. Thyroid Conditions ...... Levothyroxine Sodium Tablet. Urologic (Bladder and Prostate) Health ...... Alfuzosin HCL SA Tablet. Doxazosin Mesylate Tablet. Finasteride Tablet. Oxybutynin Chloride IR Tablet. Oxybutynin Chloride SA Tablet. Sildenafil Tablet. Tamsulosin HCL Capsule. Terazosin HCL Capsule.

Signing Authority authorized the undersigned to sign and electronically as an official document of submit the document to the Office of the the Department of Veterans Affairs. Denis McDonough, Secretary of Federal Register for publication Veterans Affairs, approved this Luvenia Potts, document on February 26, 2021, and Regulation Development Coordinator, Office of Regulation Policy & Management, Office of the Secretary, Department of Veterans Affairs. [FR Doc. 2021–04458 Filed 3–3–21; 8:45 am] BILLING CODE 8320–01–P

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Part II

The President

Notice of March 2, 2021—Continuation of the National Emergency With Respect to Ukraine Notice of March 2, 2021—Continuation of the National Emergency With Respect to Venezuela Notice of March 2, 2021—Continuation of the National Emergency With Respect to Zimbabwe

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Federal Register Presidential Documents Vol. 86, No. 41

Thursday, March 4, 2021

Title 3— Notice of March 2, 2021

The President Continuation of the National Emergency With Respect to Ukraine

On March 6, 2014, by Executive Order 13660, 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 and foreign policy of the United States constituted by the actions and policies of persons that undermine democratic processes and institutions in Ukraine; threaten its peace, security, stability, sovereignty, and territorial integrity; and contribute to the misappropriation of its assets. On March 16, 2014, the President issued Executive Order 13661, which expanded the scope of the national emergency declared in Executive Order 13660, and found that the actions and policies of the Government of the Russian Federation with respect to Ukraine undermine democratic processes and institutions in Ukraine; threaten its peace, security, stability, sovereignty, and territorial integrity; and contribute to the misappropriation of its assets. On March 20, 2014, the President issued Executive Order 13662, which further expanded the scope of the national emergency declared in Executive Order 13660, as expanded in scope in Executive Order 13661, and found that the actions and policies of the Government of the Russian Federation, including its purported annexation of Crimea and its use of force in Ukraine, continue to undermine democratic processes and institutions in Ukraine; threaten its peace, security, stability, sovereignty, and territorial integrity; and contribute to the misappropriation of its assets. On December 19, 2014, the President issued Executive Order 13685, to take additional steps to address the Russian occupation of the Crimea region of Ukraine. On September 20, 2018, the President issued Executive Order 13849, to take additional steps to implement certain statutory sanctions with respect to the Russian Federation. The actions and policies addressed in these Executive Orders continue to pose an unusual and extraordinary threat to the national security and foreign policy of the United States. For this reason, the national emergency declared on March 6, 2014, and the measures adopted on that date, on March 16, 2014, on March 20, 2014, on December 19, 2014, and on September 20, 2018, to deal with that emergency, must continue in effect beyond March 6, 2021. Therefore, in accordance with section 202(d) of the National Emer- gencies Act (50 U.S.C. 1622(d)), I am continuing for 1 year the national emergency declared in Executive Order 13660.

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This notice shall be published in the Federal Register and transmitted to the Congress.

THE WHITE HOUSE, March 2, 2021. [FR Doc. 2021–04759 Filed 3–3–21; 1:00 pm] Billing code 3295–F1–P

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Notice of March 2, 2021

Continuation of the National Emergency With Respect to Venezuela

On March 8, 2015, the President issued Executive Order 13692, declaring a national emergency with respect to the situation in Venezuela, including the Government of Venezuela’s erosion of human rights guarantees, persecu- tion of political opponents, curtailment of press freedoms, use of violence and human rights violations and abuses in response to antigovernment protests, and arbitrary arrest and detention of antigovernment protestors, as well as the exacerbating presence of significant government corruption. The President took additional steps pursuant to this national emergency in Executive Order 13808 of August 24, 2017; Executive Order 13827 of March 19, 2018; Executive Order 13835 of May 21, 2018; Executive Order 13850 of November 1, 2018; Executive Order 13857 of January 25, 2019; and Executive Order 13884 of August 5, 2019. The circumstances described in Executive Order 13692, and subsequent Executive Orders issued with respect to Venezuela, have not improved, and they continue to pose an unusual and extraordinary threat to the national security and foreign policy of the United States. 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 declared in Executive Order 13692. This notice shall be published in the Federal Register and transmitted to the Congress.

THE WHITE HOUSE, March 2, 2021. [FR Doc. 2021–04760

Filed 3–3–21; 1:00 pm] Billing code 3295–F1–P

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Notice of March 2, 2021

Continuation of the National Emergency With Respect to Zimbabwe

On March 6, 2003, by Executive Order 13288, the President declared a national emergency and blocked the property of certain persons, pursuant to the International Emergency Economic Powers Act (50 U.S.C. 1701–1706), to deal with the unusual and extraordinary threat to the foreign policy of the United States constituted by the actions and policies of certain members of the Government of Zimbabwe and other persons to undermine Zimbabwe’s democratic processes or institutions. These actions and policies had contributed to the deliberate breakdown in the rule of law in Zimbabwe, to politically motivated violence and intimidation in that country, and to political and economic instability in the southern African region. On November 22, 2005, the President issued Executive Order 13391 to take additional steps with respect to the national emergency declared in Executive Order 13288 by ordering the blocking of the property of additional persons undermining democratic processes or institutions in Zimbabwe. On July 25, 2008, the President issued Executive Order 13469, which expanded the scope of the national emergency declared in Executive Order 13288 and authorized the blocking of the property of additional persons undermining democratic processes or institutions in Zimbabwe. The actions and policies of certain members of the Government of Zimbabwe and other persons to undermine Zimbabwe’s democratic processes or institutions continue to pose an unusual and extraordinary threat to the foreign policy of the United States. For this reason, the national emergency declared on March 6, 2003, and the measures adopted on that date, on November 22, 2005, and on July 25, 2008, to deal with that emergency, must continue in effect beyond March 6, 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 declared in Executive Order 13288.

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This notice shall be published in the Federal Register and transmitted to the Congress.

THE WHITE HOUSE, March 2, 2021. [FR Doc. 2021–04761 Filed 3–3–21; 1:00 pm] Billing code 3295–F1–P

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