Vol. 86 Tuesday, No. 20 February 2, 2021
Pages 7787–7926
OFFICE OF THE FEDERAL REGISTER
VerDate Sep 11 2014 21:02 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00001 Fmt 4710 Sfmt 4710 E:\FR\FM\02FEWS.LOC 02FEWS jbell on DSKJLSW7X2PROD with FR_WS II Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021
The FEDERAL REGISTER (ISSN 0097–6326) is published daily, SUBSCRIPTIONS AND COPIES Monday through Friday, except official holidays, by the Office PUBLIC of the Federal Register, National Archives and Records Administration, under the Federal Register Act (44 U.S.C. Ch. 15) Subscriptions: and the regulations of the Administrative Committee of the Federal Paper or fiche 202–512–1800 Register (1 CFR Ch. I). The Superintendent of Documents, U.S. Assistance with public subscriptions 202–512–1806 Government Publishing Office, is the exclusive distributor of the official edition. Periodicals postage is paid at Washington, DC. General online information 202–512–1530; 1–888–293–6498 Single copies/back copies: The FEDERAL REGISTER provides a uniform system for making available to the public regulations and legal notices issued by Paper or fiche 202–512–1800 Federal agencies. These include Presidential proclamations and Assistance with public single copies 1–866–512–1800 Executive Orders, Federal agency documents having general (Toll-Free) applicability and legal effect, documents required to be published FEDERAL AGENCIES by act of Congress, and other Federal agency documents of public Subscriptions: interest. Assistance with Federal agency subscriptions: Documents are on file for public inspection in the Office of the Federal Register the day before they are published, unless the Email [email protected] issuing agency requests earlier filing. For a list of documents Phone 202–741–6000 currently on file for public inspection, see www.federalregister.gov. The seal of the National Archives and Records Administration The Federal Register Printing Savings Act of 2017 (Pub. L. 115- authenticates the Federal Register as the official serial publication 120) placed restrictions on distribution of official printed copies established under the Federal Register Act. Under 44 U.S.C. 1507, of the daily Federal Register to members of Congress and Federal the contents of the Federal Register shall be judicially noticed. offices. Under this Act, the Director of the Government Publishing The Federal Register is published in paper and on 24x microfiche. Office may not provide printed copies of the daily Federal Register It is also available online at no charge at www.govinfo.gov, a unless a Member or other Federal office requests a specific issue service of the U.S. Government Publishing Office. or a subscription to the print edition. For more information on how to subscribe use the following website link: https:// The online edition of the Federal Register is issued under the www.gpo.gov/frsubs. authority of the Administrative Committee of the Federal Register as the official legal equivalent of the paper and microfiche editions (44 U.S.C. 4101 and 1 CFR 5.10). It is updated by 6:00 a.m. each day the Federal Register is published and includes both text and graphics from Volume 1, 1 (March 14, 1936) forward. For more information, contact the GPO Customer Contact Center, U.S. Government Publishing Office. Phone 202-512-1800 or 866-512- 1800 (toll free). E-mail, gpocusthelp.com. The annual subscription price for the Federal Register paper edition is $860 plus postage, or $929, for a combined Federal Register, Federal Register Index and List of CFR Sections Affected (LSA) subscription; the microfiche edition of the Federal Register including the Federal Register Index and LSA is $330, plus postage. Six month subscriptions are available for one-half the annual rate. The prevailing postal rates will be applied to orders according to the delivery method requested. The price of a single copy of the daily Federal Register, including postage, is based on the number of pages: $11 for an issue containing less than 200 pages; $22 for an issue containing 200 to 400 pages; and $33 for an issue containing more than 400 pages. Single issues of the microfiche edition may be purchased for $3 per copy, including postage. Remit check or money order, made payable to the Superintendent of Documents, or charge to your GPO Deposit Account, VISA, MasterCard, American Express, or Discover. Mail to: U.S. Government Publishing Office—New Orders, P.O. Box 979050, St. Louis, MO 63197-9000; or call toll free 1-866-512-1800, DC area 202-512-1800; or go to the U.S. Government Online Bookstore site, see bookstore.gpo.gov. There are no restrictions on the republication of material appearing in the Federal Register. How To Cite This Publication: Use the volume number and the page number. Example: 86 FR 12345. Postmaster: Send address changes to the Superintendent of Documents, Federal Register, U.S. Government Publishing Office, Washington, DC 20402, along with the entire mailing label from the last issue received.
.
VerDate Sep 11 2014 21:02 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00002 Fmt 4710 Sfmt 4710 E:\FR\FM\02FEWS.LOC 02FEWS jbell on DSKJLSW7X2PROD with FR_WS III
Contents Federal Register Vol. 86, No. 20
Tuesday, February 2, 2021
Agriculture Department Federal Aviation Administration See Rural Housing Service RULES Special Conditions: Centers for Disease Control and Prevention TC Inter-Informatics A.S., Airbus Model A330?243 NOTICES Airplane; Single-Occupant, Oblique (Side-Facing) Meetings: Seats With Inflatable Lapbelts, 7799–7802 NOTICES Disease, Disability, and Injury Prevention and Control Agency Information Collection Activities; Proposals, Special Emphasis Panel, 7870–7872 Submissions, and Approvals: Renewal of AVIATOR Customer Satisfaction Survey, Centers for Medicare & Medicaid Services 7919–7920 RULES Medicare and Medicaid Programs: Federal Communications Commission Organ Procurement Organizations Conditions for PROPOSED RULES Coverage: Revisions to the Outcome Measure Petition for Reconsideration of Action in Proceeding, 7839 Requirements for Organ Procurement Organizations; Public Comment Period; Delay of Effective Date, Federal Election Commission 7814 NOTICES Medicare Program: Price Index Adjustments for Contribution and Expenditure Secure Electronic Prior Authorization For Medicare Part Limitations and Lobbyist Bundling Disclosure D Program; Delay in Effective Date, 7813–7814 Threshold, 7867–7869 Federal Energy Regulatory Commission Coast Guard NOTICES RULES Application: Regulated Navigation Area: Duke Energy Carolinas, LLC, 7864–7865 Sparkman Channel, Tampa, FL, 7810–7811 Combined Filings, 7865–7866 Settlement Agreement: Commerce Department Village of Gouverneur, NY, 7863–7864 See International Trade Administration See National Institute of Standards and Technology Federal Highway Administration See National Oceanic and Atmospheric Administration PROPOSED RULES National Standards for Traffic Control Devices: Manual on Uniform Traffic Control Devices for Streets Committee for Purchase From People Who Are Blind or and Highways; Revision, 7838–7839 Severely Disabled NOTICES Federal Reserve System Procurement List; Additions and Deletions, 7862–7863 NOTICES Formations of, Acquisitions by, and Mergers of Bank Commodity Futures Trading Commission Holding Companies, 7869–7870 RULES Annual Adjustment of Civil Monetary Penalties To Reflect Federal Trade Commission Inflation, 7802–7804 NOTICES Revised Jurisdictional Thresholds for Section 7A of the Clayton Act, 7870 Election Assistance Commission NOTICES Financial Crimes Enforcement Network Meetings; Sunshine Act, 7863 RULES Inflation Adjustment of Civil Monetary Penalties, 7810 Energy Department Health and Human Services Department See Federal Energy Regulatory Commission RULES See Centers for Disease Control and Prevention Energy Conservation Program: See Centers for Medicare & Medicaid Services Test Procedures for Small Electric Motors and Electric See Inspector General Office, Health and Human Services Motors, 7798–7799 Department NOTICES Procedures for the Issuance of Guidance Documents, 7799 Fifth Amendment to Declaration Under the Public Readiness and Emergency Preparedness Act for Environmental Protection Agency Medical Countermeasures Against COVID-19, 7872– NOTICES 7876 Request for Nominations: National Environmental Justice Advisory Council, 7866– Homeland Security Department 7867 See Coast Guard
VerDate Sep<11>2014 22:42 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00001 Fmt 4748 Sfmt 4748 E:\FR\FM\02FECN.SGM 02FECN jbell on DSKJLSW7X2PROD with CONTENTS IV Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Contents
Inspector General Office, Health and Human Services National Institute of Standards and Technology Department NOTICES RULES Consortium for the Advancement of Genome Editing, 7859– Fraud and Abuse: 7860 Removal of Safe Harbor Protection for Rebates Involving Meetings: Prescription Pharmaceuticals and Creation of New Information Security and Privacy Advisory Board, 7860 Safe Harbor Protection for Certain Point-of-Sale Reductions in Price on Prescription Pharmaceuticals National Oceanic and Atmospheric Administration and Certain Pharmacy Benefit Manager Service Fees, RULES 7815 Fisheries of the Caribbean, Gulf of Mexico, and South Atlantic: Interior Department Coastal Migratory Pelagic Resources of the Gulf of Mexico See Office of Natural Resources Revenue and Atlantic Region; 2020?2021 Closure of Commercial Run-Around Gillnet for King Mackerel, International Trade Administration 7815–7816 NOTICES Fisheries of the Exclusive Economic Zone Off Alaska: Antidumping or Countervailing Duty Investigations, Orders, Pacific Cod by Catcher Vessels Greater Than or Equal to or Reviews: 60 feet Length Overall Using Pot Gear in the Bering 1,1,1,2-Tetrafluoroethane (R-134a) From the People’s Sea and Aleutian Islands Management Area; Closure, Republic of China, 7854–7855 7817–7818 Cast Iron Soil Pipe Fittings From the People’s Republic of Pacific Cod by Catcher Vessels Less Than 60 Feet (18.3 China, 7852–7854 Meters) Length Overall Using Hook-and-Line or Pot Opportunity To Request Administrative Review, 7855– Gear in the Bering Sea and Aleutian Islands 7858 Management Area, 7818 Polyethylene Terephthalate Film, Sheet, and Strip From Pacific Cod by Vessels Using Pot Gear in the Central the United Arab Emirates, 7858–7859 Regulatory Area of the Gulf of Alaska; Closure, 7816– 7817 International Trade Commission NOTICES NOTICES Agency Information Collection Activities; Proposals, Investigations; Determinations, Modifications, and Rulings, Submissions, and Approvals: etc.: Southeast Region Logbook Family of Forms, 7861–7862 Certain Active Matrix OLED Display Devices and Meetings: Components Thereof, 7878–7879 Gulf of Mexico Fishery Management Council, 7861 Granular Polytetrafluoroethylene (PTFE) Resin From Pacific Fishery Management Council, 7860–7861 India and Russia, 7876–7877 Preserved Mushrooms From Chile, China, India, and National Science Foundation Indonesia, 7877–7878 NOTICES Agency Information Collection Activities; Proposals, Justice Department Submissions, and Approvals: NOTICES Major Facilities Guide, 7884–7885 Agency Information Collection Activities; Proposals, Permit Applications: Submissions, and Approvals: Antarctic Conservation Act, 7883–7884 2018?2020 Survey of State Criminal History Information Systems, 7879–7880 Nuclear Regulatory Commission 2021 Identity Theft Supplement, 7880–7881 PROPOSED RULES Application and Permit for Permanent Exportation of Approval of American Society of Mechanical Engineers’ Firearms (National Firearms Act), 7879 Code Cases, 7820–7838 Regulatory Basis: Labor Department Items Containing Byproduct Material Incidental to See Occupational Safety and Health Administration Production, 7819–7820 RULES NOTICES Rules of Practice and Procedure Concerning Filing and Facility Operating Licenses: Service and Amended Rules Concerning Filing and Applications and Amendments Involving Proposed No Service; Correction, 7807–7808 Significant Hazards Considerations and Containing NOTICES Sensitive Unclassified Non-Safeguards Information Agency Information Collection Activities; Proposals, and Order Imposing Procedures for Access to Submissions, and Approvals: Sensitive Unclassified Non-Safeguards Information, Apprenticeship Evidence-Building Portfolio, 7881–7883 7885–7892 Requests for Nominations: Merit Systems Protection Board Advisory Committee on the Medical Uses of Isotopes, RULES 7892 Civil Monetary Penalty Inflation Adjustment, 7797–7798 Occupational Safety and Health Administration National Aeronautics and Space Administration RULES NOTICES Rules of Practice and Procedure Concerning Filing and Meetings: Service and Amended Rules Concerning Filing and Planetary Science Advisory Committee, 7883 Service; Correction, 7807–7808
VerDate Sep<11>2014 22:42 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00002 Fmt 4748 Sfmt 4748 E:\FR\FM\02FECN.SGM 02FECN jbell on DSKJLSW7X2PROD with CONTENTS Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Contents V
Office of Natural Resources Revenue Small Business Administration RULES NOTICES Inflation Adjustments to Civil Monetary Penalty Rates, Major Disaster Declaration: 7808–7810 Alabama, Amendment 2; Public Assistance Only, 7918 Louisiana, Amendment 1; Public Assistance Only, 7919
Presidential Documents State Department EXECUTIVE ORDERS RULES Medicaid and Patient Protection and Affordable Care Act; Civil Monetary Penalties Inflationary Adjustment, 7804– Strengthening Efforts (EO 14009), 7793–7795 7807 ADMINISTRATIVE ORDERS NOTICES Foreign Assistance Act of 1961; Delegation of Authority Meetings: (Memorandum of January 13, 2021), 7787 Overseas Schools Advisory Council, 7919 National Defense Authorization Act for FY 2012; Presidential Determination (Presidential Determination Transportation Department No. 2021?03 of January 14, 2021), 7789–7791 See Federal Aviation Administration See Federal Highway Administration Rural Housing Service NOTICES Treasury Department Solicitation of Applicants: See Financial Crimes Enforcement Network Section 514 Off-Farm Labor Housing Loans and Section Veterans Affairs Department 516 Off-Farm Labor Housing Grants for New Construction for Fiscal Year 2021, 7840–7852 RULES Federal Civil Penalties Inflation Adjustment Act Amendments, 7811–7813 Securities and Exchange Commission NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals, 7906–7907, 7913, 7917– Vetbiz Vendor Information Pages Verification Program, 7918 7920–7921 Application: Draft Criteria for Section 203 of the MISSION Act, 7921– Hamilton Lane Private Assets Fund, et al., 7892–7900 7923 Determination: Privacy Act; Systems of Records, 7923–7926 Securities Investor Protection Corp., 7900–7902 Order: Review Of Financial Accounting Standards Board Reader Aids Accounting Support Fee for 2021 Under the Consult the Reader Aids section at the end of this issue for Sarbanes-Oxley Act, 7913–7914 phone numbers, online resources, finding aids, and notice Self-Regulatory Organizations; Proposed Rule Changes: of recently enacted public laws. Cboe BYX Exchange, Inc., 7914–7917 To subscribe to the Federal Register Table of Contents Cboe BZX Exchange, Inc., 7907–7909 electronic mailing list, go to https://public.govdelivery.com/ Cboe EDGA Exchange, Inc., 7909–7913 accounts/USGPOOFR/subscriber/new, enter your e-mail Cboe EDGX Exchange, Inc., 7902–7905 address, then follow the instructions to join, leave, or New York Stock Exchange LLC, 7905–7906 manage your subscription.
VerDate Sep<11>2014 22:42 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00003 Fmt 4748 Sfmt 4748 E:\FR\FM\02FECN.SGM 02FECN jbell on DSKJLSW7X2PROD with CONTENTS VI Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Contents
CFR PARTS AFFECTED IN THIS ISSUE
A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.
3 CFR Executive Orders: 14009...... 7793 Administrative Orders: Memorandums: Memorandum of January 13, 2021 ...... 7787 Presidential Determinations: No. 2021–03 of January 14, 2021 ...... 7789 5 CFR 1201...... 7797 10 CFR 431...... 7798 1061...... 7799 Proposed Rules: 30...... 7819 32...... 7819 50...... 7820 14 CFR 25...... 7799 17 CFR 143...... 7802 22 CFR 35...... 7804 103...... 7804 127...... 7804 138...... 7804 23 CFR Proposed Rules: 470...... 7838 635...... 7838 655...... 7838 29 CFR 22...... 7807 1986...... 7807 30 CFR 1241...... 7808 31 CFR 1010...... 7810 33 CFR 165...... 7810 38 CFR 36...... 7811 42...... 7811 42 CFR 423...... 7813 486...... 7814 1001...... 7815 47 CFR Proposed Rules: 51...... 7839 50 CFR 622...... 7815 679 (3 documents) ...... 7816, 7817, 7818
VerDate Sep 11 2014 22:30 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00001 Fmt 4711 Sfmt 4711 E:\FR\FM\02FELS.LOC 02FELS jbell on DSKJLSW7X2PROD with FR_LS 7787
Federal Register Presidential Documents Vol. 86, No. 20
Tuesday, February 2, 2021
Title 3— Memorandum of January 13, 2021
The President Delegation of Authority Under Section 614(a)(2) of the For- eign Assistance Act of 1961
Memorandum for the Secretary of State
By the authority vested in me as President by the Constitution and the laws of the United States of America, including section 301 of Title 3, United States Code, I hereby delegate to the Secretary of State, subject to fulfilling the requirement of section 614(a)(3) of the Foreign Assistance Act of 1961 (FAA), the authority under section 614(a)(2) of the FAA to determine whether it is vital to the national security interests of the United States to make up to $6.8 million in sales of cluster munitions technology under the Arms Export Control Act to the Republic of Korea, without regard to any other provision of law within the purview of section 614(a)(2) of the FAA. You are authorized and directed to publish this memorandum in the Federal Register.
THE WHITE HOUSE, Washington, January 13, 2021
[FR Doc. 2021–02250 2–1–21; 8:45 am] Billing code 4710–10–P
VerDate Sep<11>2014 22:15 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00001 Fmt 4705 Sfmt 4790 E:\FR\FM\02FEO0.SGM 02FEO0 jbell on DSKJLSW7X2PROD with MEMO_FR Trump.EPS Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Presidential Documents 7789 Presidential Documents
Presidential Determination No. 2021–03 of January 14, 2021
Presidential Determination on the Pursuant to Section 1245(d)(4)(B) and (C) of the National Defense Authorization Act for FY 2012
Memorandum for the Secretary of State[,] the Secretary of the Treasury[, and] the Secretary of Energy
By the authority vested in me as President by the Constitution and the laws of the United States, after carefully considering the reports submitted to the Congress by the Energy Information Administration including the report submitted in October 2020, and other relevant factors, including global economic conditions, increased oil production by certain countries, the level of spare capacity, and the availability of strategic reserves, I determine, pursuant to section 1245(d)(4)(B) and (C) of the National Defense Authoriza- tion Act for Fiscal Year 2012, Public Law 112–81, and consistent with prior determinations, that there is a sufficient supply of petroleum and petroleum products from countries other than Iran to permit a significant reduction in the volume of petroleum and petroleum products purchased from Iran by or through foreign financial institutions. I will continue to monitor this situation closely. The Secretary of State is authorized and directed to publish this determina- tion in the Federal Register.
THE WHITE HOUSE, Washington, January 14, 2021
Billing code 4710–10–P
VerDate Sep<11>2014 22:17 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00001 Fmt 4790 Sfmt 4790 E:\FR\FM\02FEO1.SGM 02FEO1 jbell on DSKJLSW7X2PROD with FR_MEMO1 Trump.EPS 7790 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Presidential Documents
VerDate Sep<11>2014 22:17 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00002 Fmt 4790 Sfmt 4790 E:\FR\FM\02FEO1.SGM 02FEO1 jbell on DSKJLSW7X2PROD with FR_MEMO1 ED02FE21.000 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Presidential Documents 7791
[FR Doc. 2021–02251
2–1–21; 8:45 am] Billing code 4710–10–C
VerDate Sep<11>2014 22:17 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00003 Fmt 4790 Sfmt 4790 E:\FR\FM\02FEO1.SGM 02FEO1 jbell on DSKJLSW7X2PROD with FR_MEMO1 ED02FE21.001 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Presidential Documents 7793 Presidential Documents
Executive Order 14009 of January 28, 2021 Strengthening Medicaid and the Affordable Care Act
By the authority vested in me as President by the Constitution and the laws of the United States of America, it is hereby ordered as follows: Section 1. Policy. In the 10 years since its enactment, the Affordable Care Act (ACA) has reduced the number of uninsured Americans by more than 20 million, extended critical consumer protections to more than 100 million people, and strengthened and improved the Nation’s healthcare system. At the same time, millions of people who are potentially eligible for coverage under the ACA or other laws remain uninsured, and obtaining insurance benefits is more difficult than necessary. For these reasons, it is the policy of my Administration to protect and strengthen Medicaid and the ACA and to make high-quality healthcare accessible and affordable for every American. Sec. 2. Special Enrollment Period. The coronavirus disease 2019 (COVID– 19) pandemic has triggered a historic public health and economic crisis. In January of 2020, as the COVID–19 pandemic was spreading, the Secretary of Health and Human Services declared a public health emergency. In March of 2020, the President declared a national emergency. Although almost a year has passed, the emergency continues—over 5 million Americans have contracted the disease in January 2021, and thousands are dying every week. Over 30 million Americans remain uninsured, preventing many from obtaining necessary health services and treatment. Black, Latino, and Native American persons are more likely to be uninsured, and communities of color have been especially hard hit by both the COVID–19 pandemic and the economic downturn. In light of the exceptional circumstances caused by the ongoing COVID–19 pandemic, the Secretary of Health and Human Services shall consider establishing a Special Enrollment Period for unin- sured and under-insured Americans to seek coverage through the Federally Facilitated Marketplace, pursuant to existing authorities, including sections 18031 and 18041 of title 42, United States Code, and section 155.420(d)(9) of title 45, Code of Federal Regulations, and consistent with applicable law. Sec. 3. Immediate Review of Agency Actions. (a) The Secretary of the Treas- ury, the Secretary of Labor, the Secretary of Health and Human Services, and the heads of all other executive departments and agencies with authori- ties and responsibilities related to Medicaid and the ACA (collectively, heads of agencies) shall, as soon as practicable, review all existing regulations, orders, guidance documents, policies, and any other similar agency actions (collectively, agency actions) to determine whether such agency actions are inconsistent with the policy set forth in section 1 of this order. As part of this review, the heads of agencies shall examine the following: (i) policies or practices that may undermine protections for people with pre-existing conditions, including complications related to COVID–19, under the ACA; (ii) demonstrations and waivers, as well as demonstration and waiver policies, that may reduce coverage under or otherwise undermine Medicaid or the ACA; (iii) policies or practices that may undermine the Health Insurance Market- place or the individual, small group, or large group markets for health insurance in the United States;
VerDate Sep<11>2014 22:17 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00001 Fmt 4790 Sfmt 4790 E:\FR\FM\02FEE0.SGM 02FEE0 jbell on DSKJLSW7X2PROD with EXECORD 7794 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Presidential Documents
(iv) policies or practices that may present unnecessary barriers to individ- uals and families attempting to access Medicaid or ACA coverage, including for mid-year enrollment; and (v) policies or practices that may reduce the affordability of coverage or financial assistance for coverage, including for dependents. (b) Heads of agencies shall, as soon as practicable and as appropriate and consistent with applicable law, consider whether to suspend, revise, or rescind—and, as applicable, publish for notice and comment proposed rules suspending, revising, or rescinding—those agency actions identified as inconsistent with the policy set forth in section 1 of this order. (c) Heads of agencies shall, as soon as practicable and as appropriate and consistent with applicable law, consider whether to take any additional agency actions to more fully enforce the policy set forth in section 1 of this order. Sec. 4. Revocation of Certain Presidential Actions and Review of Associated Agency Actions. (a) Executive Order 13765 of January 20, 2017 (Minimizing the Economic Burden of the Patient Protection and Affordable Care Act Pending Repeal), and Executive Order 13813 of October 12, 2017 (Promoting Healthcare Choice and Competition Across the United States), are revoked. (b) As part of the review required under section 3 of this order, heads of agencies shall identify existing agency actions related to or arising from Executive Orders 13765 and 13813. Heads of agencies shall, as soon as practicable, consider whether to suspend, revise, or rescind—and, as applica- ble, publish for notice and comment proposed rules suspending, revising, or rescinding—any such agency actions, as appropriate and consistent with applicable law and the policy set forth in section 1 of this order. Sec. 5. General Provisions. (a) Nothing in this order shall be construed to impair or otherwise affect: (i) the authority granted by law to an executive department or agency, or the head thereof; or (ii) the functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals. (b) This order shall be implemented consistent with applicable law and subject to the availability of appropriations.
VerDate Sep<11>2014 22:17 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00002 Fmt 4790 Sfmt 4790 E:\FR\FM\02FEE0.SGM 02FEE0 jbell on DSKJLSW7X2PROD with EXECORD Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Presidential Documents 7795
(c) This order is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person.
THE WHITE HOUSE, January 28, 2021.
[FR Doc. 2021–02252 2–1–21; 8:45 am] Billing code 3295–F1–P
VerDate Sep<11>2014 22:17 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00003 Fmt 4790 Sfmt 4790 E:\FR\FM\02FEE0.SGM 02FEE0 jbell on DSKJLSW7X2PROD with EXECORD BIDEN.EPS 7797
Rules and Regulations Federal Register Vol. 86, No. 20
Tuesday, February 2, 2021
This section of the FEDERAL REGISTER penalty amount, but only required to be reflected the annual increase for the contains regulatory documents having general calculated every four years, CMPs in year 2020 mandated by the 2015 Act. applicability and legal effect, most of which many cases did not correspond with the On December 23, 2020, OMB issued are keyed to and codified in the Code of true measure of inflation over the Federal Regulations, which is published under guidance on calculating the annual 50 titles pursuant to 44 U.S.C. 1510. preceding four-year period, leading to a inflationary adjustment for 2021. See decline in the real value of the penalty. Memorandum from Russell T. Vought, The Code of Federal Regulations is sold by To remedy this decline, the 2015 Act Dir., OMB, to Heads of Executive the Superintendent of Documents. (section 701 of Pub. L. 114–74) requires Departments and Agencies re: agencies to adjust CMP amounts with Implementation of Penalty Inflation annual inflationary adjustments through Adjustments for 2021, Pursuant to the MERIT SYSTEMS PROTECTION a rulemaking using a methodology BOARD Federal Civil Penalties Inflation mandated by the legislation. The Adjustment Act Improvements Act of purpose of these adjustments is to 5 CFR Part 1201 2015, M–21–10 (Dec. 23, 2020). Therein, maintain the deterrent effect of civil OMB notified agencies that the annual Civil Monetary Penalty Inflation penalties. adjustment multiplier for 2021, based Adjustment A civil monetary penalty is ‘‘any on the Consumer Price Index for All penalty, fine, or other sanction’’ that: (1) AGENCY: Merit Systems Protection Urban Consumers (CPI–U), is 1.01182 ‘‘is for a specific amount’’ or ‘‘has a Board. and that the 2021 annual adjustment maximum amount’’ under Federal law; amount is obtained by multiplying the ACTION: Final rule. and (2) a Federal agency assesses or 2020 penalty amount by the 2021 SUMMARY: This final rule adjusts the enforces ‘‘pursuant to an administrative annual adjustment multiplier, and level of civil monetary penalties (CMPs) proceeding or a civil action in the rounding to the nearest dollar. in regulations maintained and enforced Federal courts.’’ 28 U.S.C. 2461 note. Therefore, the new maximum penalty by the Merit Systems Protection Board The MSPB is authorized to assess under the CSRA and the Hatch Act is (MSPB) with an annual adjustment CMPs pursuant to 5 U.S.C. 1215(a)(3) $1,112 × 1.01182 = $1,125.14, which under the Federal Civil Penalties and 5 U.S.C. 7326 in disciplinary rounds to $1,125. Inflation Adjustment Act Improvements actions brought by the Special Counsel. III. Effective Date of Penalties Act of 2015 (the 2015 Act) and Office of The corresponding MSPB regulation for Management and Budget (OMB) both CMPs is 5 CFR 1201.126(a). As The revised CMP amounts will go into guidance. required by the 2015 Act, and pursuant effect on February 2, 2021. All DATES: This final rule is effective on to guidance issued by the OMB, the violations for which CMPs are assessed February 2, 2021. MSPB is now making an annual after the effective date of this rule will FOR FURTHER INFORMATION CONTACT: adjustment for 2021, according to the be assessed at the adjusted penalty level Jennifer Everling, Acting Clerk of the prescribed formulas. regardless of whether the violation Board, Merit Systems Protection Board, II. Calculation of Adjustment occurred before the effective date. 1615 M Street NW, Washington, DC IV. Procedural Requirements 20419; Phone: (202) 653–7200; Fax: The CMP listed in 5 U.S.C. 1215(a)(3) (202) 653–7130; or email: mspb@ was established in 1978 with the A. Administrative Procedure Act mspb.gov. enactment of the Civil Service Reform SUPPLEMENTARY INFORMATION: Act of 1978 (CSRA), Public Law 95–454, Pursuant to 5 U.S.C. 553(b), the MSPB section 202(a), 92 Stat. 1121–30 (Oct. has determined that good cause exists I. Background 13, 1978), and originally codified at 5 for waiving the general notice of The Federal Civil Penalties Inflation U.S.C. 1207(b). That CMP was last proposed rulemaking and public Adjustment Act of 1990 (the 1990 Act), amended by section 106 of the comment procedures as to these Public Law 101–410, provides for the Whistleblower Protection Enhancement technical amendments. The notice and regular evaluation of CMPs by Federal Act of 2012, Public Law 112–199, 12 comment procedures are being waived agencies. Periodic inflationary Stat. 1468 (Nov. 27, 2012), now codified because Congress has specifically adjustments of CMPs ensure that the at 5 U.S.C. 1215(a)(3), which provided exempted agencies from these consequences of statutory violations for a CMP ‘‘not to exceed $1,000.’’ The requirements when implementing the adequately reflect the gravity of such CMP authorized in 5 U.S.C. 7326 was 2015 Act. The 2015 Act explicitly offenses and that CMPs are properly established in 2012 by section 4 of the requires the agency to make subsequent accounted for and collected by the Hatch Act Modernization Act of 2012 annual adjustments notwithstanding 5 Federal Government. In April 1996, the (Hatch Act), Public Law 112–230, 126 U.S.C. 553, the section of the 1990 Act was amended by the Debt Stat. 1617 (Dec. 28, 2012), which Administrative Procedure Act that Collection Improvement Act of 1996 provided for a CMP ‘‘not to exceed normally requires agencies to engage in (the 1996 Act), Public Law 104–134, $1,000.’’ On March 4, 2020, the MSPB notice and comment. It is also in the requiring Federal agencies to adjust issued a final rule which increased the public interest that the adjusted rates for their CMPs at least once every four maximum CMP allowed under both 5 CMPs under the CSRA and the Hatch years. However, because inflationary U.S.C. 1215(a)(3) and 5 U.S.C. 7326 to Act become effective as soon as possible adjustments to CMPs were statutorily $1,112 for the year 2020. See 85 FR to maintain their effective deterrent capped at ten percent of the maximum 12723 (Mar. 4, 2020). This increase effect.
VerDate Sep<11>2014 15:58 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00001 Fmt 4700 Sfmt 4700 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES 7798 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations
B. Regulatory Impact Analysis: E.O. DEPARTMENT OF ENERGY January 4, 2021 rule amends the test 12866 procedures for measuring the energy 10 CFR Part 431 efficiency of small electric motors and The MSPB has determined that this is electric motors. Consistent with the [EERE–2017–BT–TP–0047] not a significant regulatory action under memorandum, DOE is temporarily E.O. 12866. Therefore, no regulatory RIN 1904–AE18 postponing the effective date of the final impact analysis is required. rule by 60 days, starting from January C. Regulatory Flexibility Act Energy Conservation Program: Test 20, 2021. The temporary 60-day delay in Procedures for Small Electric Motors effective date is necessary to give DOE The Regulatory Flexibility Act (RFA) and Electric Motors officials the opportunity for further requires an agency to prepare a review and consideration of new AGENCY: Office of Energy Efficiency and regulatory flexibility analysis for rules regulations, consistent with the Chief of Renewable Energy, Department of unless the agency certifies that the rule Staff’s memorandum of January 20, Energy. will not have a significant economic 2021. impact on a substantial number of small ACTION: Final rule; delay of effective To the extent that 5 U.S.C. 553 applies entities. The RFA applies only to rules date. to this action, it is exempt from notice for which an agency is required to first and comment because it constitutes a SUMMARY: This document delays the publish a proposed rule. See 5 U.S.C. rule of procedure under 5 U.S.C. effective date of a recently published 553(b)(A). Alternatively, DOE’s 603(a) and 604(a). As discussed above, final rule amending the test procedures the 2015 Act does not require agencies implementation of this action without for small electric motors and electric opportunity for public comment, to first publish a proposed rule when motors. DOE also seeks comment on any adjusting CMPs within their effective immediately upon publication further delay of the effective date, in the Federal Register, is based on the jurisdiction. Thus, the RFA does not including the impacts of such delay, as apply to this final rule. good cause exceptions in 5 U.S.C. well comment on the legal, factual, or 553(b)(B) and 5 U.S.C. 553(d)(3). D. Paperwork Reduction Act policy issues raised by the rule. Pursuant to 5 U.S.C. 553(b)(B), DOE has DATES: The effective dates of the final determined that good cause exists to This document does not contain rule published January 4, 2021, at 86 FR forego the requirement to provide prior information collection requirements 4, and the accompanying correction notice and an opportunity for public subject to the Paperwork Reduction Act published January 15, 2021, at 86 FR comment thereon for this rule as such of 1995, Public Law 104–13 (44 U.S.C. 3747, are delayed to March 21, 2021. procedures would be impracticable, Chapter 35). Written comments and information will unnecessary and contrary to the public E. Congressional Review Act be accepted on or before March 4, 2021. interest. DOE is temporarily postponing FOR FURTHER INFORMATION CONTACT: Mr. for 60 days the effective date of this Pursuant to the Congressional Review Jeremy Dommu, U.S. Department of regulation pursuant to the previously- Act (5 U.S.C. 801, et seq.), the Office of Energy, Office of Energy Efficiency and noted memorandum of the Chief of Staff Information and Regulatory Affairs Renewable Energy, Building and is exercising no discretion in designated this rule as not a ‘‘major Technologies Office, EE–2J, 1000 implementing this specific provision of rule’’ as defined by 5 U.S.C. 804(2). Independence Avenue SW, Washington, the memorandum. As a result, seeking public comment on this delay is List of Subjects in 5 CFR Part 1201 DC 20585–0121. Telephone: (202) 586– 9870. Email: unnecessary and contrary to the public Administrative practice and ApplianceStandardsQuestions@ interest. For these same reasons, DOE procedure, Civil rights, Government ee.doe.gov. finds good cause to waive the 30-day employees. Mr. Michael Kido, U.S. Department of delay in effective date provided for in 5 Energy, Office of the General Counsel, U.S.C. 553(d). DOE is, however, seeking For the reasons set forth above, 5 CFR GC–33, 1000 Independence Ave. SW, comment on any further delay of the part 1201 is amended as follows: Washington, DC 20585–0121. Phone: effective date, including the impacts of such delay, as well comment on the PART 1201—PRACTICES AND (202) 586–8145. Email: Michael.Kido@ hq.doe.gov. legal, factual, or policy issues raised by PROCEDURES the rule. SUPPLEMENTARY INFORMATION: On ■ 1. The authority citation for part 1201 January 20, 2021, the Assistant to the Signing Authority continues to read as follows: President and Chief of Staff (‘‘Chief of This document of the Department of Authority: 5 U.S.C. 1204, 1305, and 7701, Staff’’) issued a memorandum outlining Energy was signed on January 26, 2021, and 38 U.S.C. 4331, unless otherwise noted. the President’s plan for managing the by John T. Lucas, Acting General Federal regulatory process at the outset Counsel, Office of the General Counsel, § 1201.126 [Amended] of the new Administration. In pursuant to delegated authority from the implementation of one of the measures Acting Secretary of Energy. That ■ 2. Section 1201.126 is amended in directed by that memorandum, the document with the original signature paragraph (a) by removing ‘‘$1,112’’ and United States Department of Energy and date is maintained by DOE. For adding in its place ‘‘$1,125’’. (‘‘DOE’’) hereby temporarily postpones administrative purposes only, and in Jennifer Everling, the effective date of its final rule compliance with requirements of the Acting Clerk of the Board. amending the test procedures for small Office of the Federal Register, the electric motors and electric motors undersigned DOE Federal Register Editorial Note: This document was published in the Federal Register on Liaison Officer has been authorized to received for publication by the Office of the January 4, 2021 (86 FR 4) and an sign and submit the document in Federal Register on January 12, 2021. accompanying correction document electronic format for publication, as an [FR Doc. 2021–00932 Filed 2–1–21; 8:45 am] published in the Federal Register on official document of the Department of BILLING CODE 7400–01–P January 15, 2021 (86 FR 3747). The Energy. This administrative process in
VerDate Sep<11>2014 15:58 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00002 Fmt 4700 Sfmt 4700 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations 7799
no way alters the legal effect of this among other things, required agencies to undersigned DOE Federal Register document upon publication in the provide more transparency for their Liaison Officer has been authorized to Federal Register. guidance documents by creating a sign and submit the document in Signed in Washington, DC, on January 27, searchable online database for current electronic format for publication, as an 2021. guidance documents, and by official document of the Department of Treena V. Garrett, establishing procedures to allow the Energy. This administrative process in public to comment on significant Federal Register Liaison Officer, U.S. no way alters the legal effect of this Department of Energy. guidance documents and to petition the document upon publication in the agency to withdraw or modify guidance Federal Register. [FR Doc. 2021–02035 Filed 2–1–21; 8:45 am] documents. Consistent with the BILLING CODE 6450–01–P Signed in Washington, DC, on January 27, memorandum, DOE is temporarily 2021. postponing the effective date of the final Treena V. Garrett, DEPARTMENT OF ENERGY rule by 60 days, starting from January 20, 2021. The temporary 60-day delay in Federal Register Liaison Officer, U.S. Department of Energy. 10 CFR Part 1061 the effective date is necessary to give DOE officials the opportunity for further [FR Doc. 2021–02036 Filed 2–1–21; 8:45 am] RIN 1990–AA50 review and consideration of new BILLING CODE 6450–01–P regulations, consistent with the Chief of Procedures for the Issuance of Staff’s memorandum of January 20, Guidance Documents 2021. DEPARTMENT OF TRANSPORTATION AGENCY: Office of Energy Efficiency and To the extent that 5 U.S.C. 553 applies Renewable Energy, Department of to this action, it is exempt from notice Federal Aviation Administration Energy. and comment because it constitutes a ACTION: Final rule; delay of effective rule of procedure under 5 U.S.C. 14 CFR Part 25 date. 553(b)(A). Alternatively, DOE’s implementation of this action without [Docket No. FAA–2020–0476; Special SUMMARY: This document delays the opportunity for public comment, Conditions No. 25–780–SC] effective date of a recently published effective immediately upon publication Special Conditions: TC Inter- final rule establishing procedures for the in the Federal Register, is based on the Informatics A.S., Airbus Model A330– issuance of Department of Energy good cause exceptions in 5 U.S.C. 243 Airplane; Single-Occupant, guidance documents. DOE also seeks 553(b)(B) and 5 U.S.C. 553(d)(3). Oblique (Side-Facing) Seats With comment on any further delay of the Pursuant to 5 U.S.C. 553(b)(B), DOE has Inflatable Lapbelts effective date, including the impacts of determined that good cause exists to such delay, as well comment on the forego the requirement to provide prior AGENCY: Federal Aviation legal, factual, or policy issues raised by notice and an opportunity for public Administration (FAA), DOT. comment thereon for this rule as such the rule. ACTION: Final special conditions; request procedures would be impracticable, DATES: The effective date of the final for comments. rule published January 6, 2021, at 86 FR unnecessary and contrary to the public 451, is delayed to March 21, 2021. interest. DOE is temporarily postponing SUMMARY: These special conditions are Written comments and information will for 60 days the effective date of this issued for the Airbus Model A330–243 be accepted on or before March 4, 2021. regulation pursuant to the previously- series airplane. This airplane, as noted memorandum of the Chief of Staff FOR FURTHER INFORMATION CONTACT: Mr. modified by TC Inter-Informatics A.S. and is exercising no discretion in (TC Inter-Informatics), will have a novel Matthew Ring, U.S. Department of implementing this specific provision of Energy, Office of the General Counsel, or unusual design feature when the memorandum. As a result, seeking compared to the state of technology Forrestal Building, GC–33, 1000 public comment on this delay is Independence Avenue SW, Washington, envisioned in the airworthiness unnecessary and contrary to the public standards for transport-category DC 20585, (202) 586–2555, Email: interest. For these same reasons, DOE [email protected]. airplanes. This design feature is single- finds good cause to waive the 30-day occupant, oblique B/E Aerospace Super SUPPLEMENTARY INFORMATION: On delay in effective date provided for in 5 January 20, 2021, the Assistant to the Diamond seats, equipped with inflatable U.S.C. 553(d). DOE is, however, seeking lapbelts. The applicable airworthiness President and Chief of Staff (‘‘Chief of comment on any further delay of the Staff’’) issued a memorandum outlining regulations do not contain adequate or effective date, including the impacts of appropriate safety standards for this the President’s plan for managing the such delay, as well comment on the Federal regulatory process at the outset design feature. These special conditions legal, factual, or policy issues raised by contain the additional safety standards of the new Administration. In the rule. implementation of one of the measures that the Administrator considers directed by that memorandum, the Signing Authority necessary to establish a level of safety United States Department of Energy This document of the Department of equivalent to that established by the (‘‘DOE’’) hereby temporarily postpones Energy was signed on January 26, 2021, existing airworthiness standards. the effective date of its final rule by John T. Lucas, Acting General DATES: This action is effective on TC establishing procedures for the issuance Counsel, Office of the General Counsel, Inter-Informatics on February 2, 2021. of DOE guidance documents published pursuant to delegated authority from the Send comments on or before March 19, in the Federal Register on January 6, Acting Secretary of Energy. That 2021. 2021 (86 FR 451). The January 6, 2021 document with the original signature ADDRESSES: Send comments identified rule implemented Executive Order and date is maintained by DOE. For by Docket No. FAA–2020–0476 using 13891, ‘‘Promoting the Rule of Law administrative purposes only, and in any of the following methods: Through Improved Agency Guidance compliance with requirements of the • Federal eRegulations Portal: Go to Documents’’ (84 FR 55235), which, Office of the Federal Register, the http://www.regulations.gov/ and follow
VerDate Sep<11>2014 15:58 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00003 Fmt 4700 Sfmt 4700 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES 7800 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations
the online instructions for sending your Safety Section, AIR–675, Transport except for earlier amendments as agreed comments electronically. Standards Branch, Policy and upon by the FAA. • Mail: Send comments to Docket Innovation Division, Aircraft If the Administrator finds that the Operations, M–30, U.S. Department of Certification Service, Federal Aviation applicable airworthiness regulations Transportation (DOT), 1200 New Jersey Administration, 2200 South 216th (e.g., 14 CFR part 25) do not contain Avenue SE, Room W12–140, West Street, Des Moines, Washington 98198; adequate or appropriate safety standards Building Ground Floor, Washington, DC telephone and fax 206–231–3215; email for the Airbus Model A330–243 airplane 20590–0001. [email protected]. because of a novel or unusual design • Hand Delivery or Courier: Take SUPPLEMENTARY INFORMATION: The feature, special conditions are comments to Docket Operations in substance of these special conditions prescribed under the provisions of Room W12–140 of the West Building previously has been published in the § 21.16. Ground Floor at 1200 New Jersey Federal Register for public comment. Special conditions are initially Avenue SE, Washington, DC, between 9 These special conditions have been applicable to the model for which they a.m. and 5 p.m., Monday through derived without substantive change are issued. Should the applicant apply Friday, except Federal holidays. from those previously issued. It is for a supplemental type certificate to • Fax: Fax comments to Docket unlikely that prior public comment modify any other model included on the Operations at 202–493–2251. would result in a significant change same type certificate to incorporate the • Privacy: Except for Confidential from the substance contained herein. same novel or unusual design feature, Business Information (CBI) as described Therefore, the FAA has determined that these special conditions would also in the following paragraph, and other prior public notice and comment are apply to the other model under § 21.101. In addition to the applicable information as described in 14 CFR unnecessary, and finds that, for the airworthiness regulations and special 11.35, the FAA will post all comments same reason, good cause exists for conditions, the Airbus Model A330–243 received without change, to http:// adopting these special conditions upon airplane must comply with the fuel-vent www.regulations.gov/, including any publication in the Federal Register. personal information you provide. The and exhaust-emission requirements of FAA will also post a report Comments Invited 14 CFR part 34, and the noise- certification requirements of 14 CFR summarizing each substantive verbal The FAA invites interested people to part 36. contact received about this proposal. take part in this rulemaking by sending The FAA issues special conditions, as • Confidential Business Information: written comments, data, or views. The defined in 14 CFR 11.19, in accordance Confidential Business Information (CBI) most helpful comments reference a with § 11.38, and they become part of is commercial or financial information specific portion of the special the type certification basis under that is both customarily and actually conditions, explain the reason for any § 21.101. treated as private by its owner. Under recommended change, and include the Freedom of Information Act (FOIA) supporting data. Novel or Unusual Design Features (5 U.S.C. 552), CBI is exempt from The FAA will consider all comments The Airbus Model A330–243 airplane, public disclosure. If your comments received by the closing date for as modified by TC Inter-Informatics, responsive to this Notice contain comments. The FAA may change these will incorporate the following novel or commercial or financial information special conditions based on the unusual design feature: that is customarily treated as private, comments received. Single-occupant, oblique seats that you actually treat as private, and equipped with inflatable lapbelts. that is relevant or responsive to this Background Notice, it is important that you clearly On March 21, 2017, TC Inter- Discussion designate the submitted comments as Informatics applied for a supplemental Amendment 25–15 to part 25, dated CBI. Please mark each page of your type certificate to install B/E Aerospace October 24, 1967, introduced the subject submission containing CBI as Super Diamond specific Model 1031301 of side-facing seats, and a requirement ‘‘PROPIN.’’ The FAA will treat such seats, equipped with inflatable restraint that each occupant in a side-facing seat marked submissions as confidential systems, at oblique angles of 27.25 and must be protected from head injury by under the FOIA, and the indicated 30 degrees to the longitudinal centerline a safety belt and a cushioned rest that comments will not be placed in the on Airbus Model A330–243 airplanes. will support the arms, shoulders, head, public docket of this Notice. Send The Airbus Model A330–243 airplane, and spine. submissions containing CBI to the which is a derivative of the Airbus Subsequently, amendment 25–20, person indicated in the Contact section Model A330 airplane currently dated April 23, 1969, clarified the below. Comments the FAA receives, approved under Type Certificate No. definition of side-facing seats to require which are not specifically designated as A46NM, is a twin-engine, transport- that each occupant of a seat, positioned CBI, will be placed in the public docket category airplane with a maximum at more than an 18-degree angle to the for this rulemaking. takeoff weight of 507,063 pounds and vertical plane of the airplane • Docket: Background documents or seating for 375 passengers. longitudinal centerline, must be comments received may be read at protected from head injury by a safety Type Certification Basis http://www.regulations.gov/ at any time. belt and an energy-absorbing rest that Follow the online instructions for Under the provisions of title 14, Code will support the arms, shoulders, head, accessing the docket or go to Docket of Federal Regulations (14 CFR) 21.101, and spine; or by a safety belt and Operations in Room W12–140 of the TC Inter-Informatics must show that the shoulder harness that will prevent the West Building Ground Floor at 1200 Airbus Model A330–243 airplane, as head from contacting any injurious New Jersey Avenue SE, Washington, changed, continues to meet the object. The FAA concluded that an 18- DC, between 9 a.m. and 5 p.m., Monday applicable provisions of the regulations degree angle would provide an adequate through Friday, except Federal holidays. listed in Type Certificate No. A46NM or level of safety based on tests that were FOR FURTHER INFORMATION CONTACT: the applicable regulations in effect on performed at that time, and thus Alan Sinclair, Airframe and Cabin the date of application for the change, adopted that standard.
VerDate Sep<11>2014 15:58 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00004 Fmt 4700 Sfmt 4700 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations 7801
Part 25 was amended June 16, 1988, Conclusion below the inflatable restraint threshold. by amendment 25–64, to revise the This action affects only a certain If so, additional tests may be required. emergency-landing conditions that must novel or unusual design feature on one a. The Nij (calculated in accordance be considered in the design of the model of airplane. It is not a rule of with 49 CFR 571.208) must be below airplane. Amendment 25–64 revised the general applicability, and affects only 1.0, where Nij = Fz/Fzc + My/Myc, and Nij static-load conditions in 14 CFR 25.561, the applicant who applied to the FAA intercepts limited to: and added the new § 25.562 that for approval of this feature on the i. Fzc = 1530 lb. for tension requires dynamic testing for all seats airplane. approved for occupancy during takeoff ii. Fzc = 1385 lb. for compression iii. M = 229 lb-ft in flexion and landing. The intent of amendment List of Subjects in 14 CFR Part 25 yc iv. Myc = 100 lb-ft in extension 25–64 is to provide an improved level Aircraft, Aviation safety, Reporting of safety for occupants on transport- and recordkeeping requirements. b. In addition, peak Fz must be below category airplanes. Because most seating 937 lb. in tension and 899 lb. in Authority Citation is forward-facing on transport-category compression. airplanes, the pass/fail criteria The authority citation for these c. Rotation of the head about its developed in amendment 25–64 focused special conditions is as follows: vertical axis relative to the torso is primarily on these seats. As a result, the Authority: 49 U.S.C. 106(f), 106(g), 40113, limited to 105 degrees in either FAA issued Policy Memorandums 44701, 44702, 44704. direction from forward-facing. ANM–03–115–30 and PS–ANM–100– 2000–00123 to provide the additional The Special Conditions d. The neck must not impact any guidance necessary to demonstrate the Accordingly, pursuant to the surface. level of safety required by the authority delegated to me by the 4. Spine and Torso Injury Criteria regulations for side-facing seats. Administrator, the following special To reflect current research findings, conditions are issued as part of the type a. The shoulders must remain aligned the FAA issued PS–ANM–25–03–R1, certification basis for Airbus Model with the hips throughout the impact ‘‘Technical Criteria for Approving Side- A330–243 airplanes as modified by TC sequence, or support for the upper torso Facing Seats,’’ November 5, 2012, which Inter-Informatics. must be provided to prevent forward or updates injury criteria for fully side- lateral flailing beyond 45 degrees from Single-Occupant, Oblique (Side-Facing) facing seats. This policy statement was the vertical during significant spinal Seats Special Conditions issued to define revised injury criteria loading. associated with neck and leg injuries. 1. Existing Criteria b. Significant concentrated loading on The proposed Airbus Model A330– All injury protection criteria of the occupant’s spine, in the area 243 airplane, with an oblique seating § 25.562(c)(1) through (c)(6) apply to the between the pelvis and shoulders configuration by TC Inter-Informatics, is occupant of an oblique (side-facing) during impact, including rebound, is novel such that the Airbus Model A330– seat. Head-injury criterion (HIC) not acceptable. 243 airplane certification basis does not assessments are only required for head c. Occupant must not interact with adequately address protection of the contact with the seat and adjacent the armrest or other seat components in occupant’s neck and spine for seat structures. If the ATD has no apparent any manner significantly different than configurations that are positioned at an contact with a seat or structure, but does would be expected for a forward-facing angle greater than 18 degrees from the have contact with an inflatable restraint, seat installation. airplane centerline. Therefore, the TC the HIC15 score for that contact must be Inter-Informatics proposed less than 700. 5. Longitudinal Tests configuration requires new special conditions. 2. Body-to-Wall/Furnishing Contact These must be performed, as These special conditions will provide Criteria necessary, with the Hybrid III ATD, head-injury criteria, neck-injury criteria, If an oblique seat is installed aft of undeformed floor, most critical yaw spine-injury criteria, and body-to-wall structure (e.g., an interior wall or cases for injury, and with all lateral contact criteria. They contain the furnishing) that does not provide a structural supports (armrests and walls) additional safety standards that the homogenous contact surface for the installed. For the pass/fail injury Administrator considers necessary to expected range of occupants and yaw assessments, see the criteria listed in establish a level of safety equivalent to angles, then additional analysis or tests special conditions 1 through 4, above. that established by the existing may be required to demonstrate that the Note: TC Inter-Informatics A.S. must airworthiness standards. injury criteria are met for the area which demonstrate that the installation of seats via plinths or pallets meets all applicable Applicability an occupant could contact. For example, if different yaw angles could result in requirements. Compliance with the guidance These special conditions are different inflatable-restraint contained in FAA Policy Memorandum PS– applicable to Airbus Model A330–243 performance, then additional analysis or ANM–100–2000–00123, dated February 2, airplanes with B/E Aerospace Super 2000, titled ‘‘Guidance for Demonstrating separate tests may be necessary to Compliance with Seat Dynamic Testing for Diamond business class seats installed, evaluate performance. Plinths and Pallets,’’ is acceptable to the per TC Inter-Informatics project-specific FAA. certification plan JD–45AC01–1. Should 3. Neck-Injury Criteria TC Inter-Informatics apply at a later date The seating system must protect the Inflatable Lapbelt Conditions for a supplemental type certificate to occupant from experiencing serious modify any other model included on neck injury. The assessment of neck If inflatable lapbelts are installed on Type Certificate No. A46NM to injury must be conducted with the single-place side-facing seats, the incorporate the same novel or unusual inflatable restraint activated, unless inflatable lapbelts must meet the design feature, these special conditions there is reason to also consider that the requirements of Special Conditions No. would apply to that model as well. neck-injury potential would be higher 25–395–SC.
VerDate Sep<11>2014 15:58 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00005 Fmt 4700 Sfmt 4700 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES 7802 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations
Issued in Des Moines, Washington, on I. Background therefore, subject to the inflation January 27, 2021. The Federal Civil Penalties Inflation adjustment: Sections 6(c), 6b, and 6c of 7 Suzanne Masterson, Adjustment Act of 1990 (FCPIAA) 1 the CEA. Manager, Transport Airplane Strategic Policy requires the head of each Federal agency III. Annual Inflation Adjustment for Section, Policy and Innovation Division, to periodically adjust for inflation the Aircraft Certification Service. Commodity Exchange Act Civil minimum and maximum amount of Monetary Penalties [FR Doc. 2021–02139 Filed 2–1–21; 8:45 am] CMPs provided by law within the BILLING CODE 4910–13–P jurisdiction of that agency.2 A 2015 A. Methodology amendment to the FCPIAA 3 required The FCPIAA annual inflation agencies to make an initial ‘‘catch-up’’ adjustment, in the context of the CFTC’s adjustment to its civil monetary COMMODITY FUTURES TRADING CMPs, is determined by increasing the penalties effective no later than August COMMISSION maximum penalty by a ‘‘cost-of-living 1, 2016.4 For every year thereafter adjustment’’ rounded to the nearest 17 CFR Part 143 effective not later than January 15th, the multiple of one dollar.8 Annual FCPIAA, as amended, requires agencies inflation adjustments are based on the to make annual adjustments for percent change between the October RIN 3038–AE97 inflation, with guidance from the Consumer Price Index for all Urban Annual Adjustment of Civil Monetary Director of the Office of Management Consumers (CPI–U) preceding the date 5 Penalties To Reflect Inflation—2021 and Budget. of the adjustment, and the prior year’s 9 II. Commodity Exchange Act Civil October CPI–U. In this case, the AGENCY: Commodity Futures Trading Monetary Penalties October 2020 CPI–U (260.388)/October Commission. 2019 CPI–U (257.346) = 1.01182.10 In The following sections of the CEA ACTION: Final rule. order to complete the 2021 annual provide for CMPs that meet the FCPIAA adjustment, the CFTC must multiply 6 SUMMARY: The Commodity Futures definition and these CMPs are, each of its most recent CMP amounts by Trading Commission (Commission) is the multiplier, 1.01182, and round to 1 The FCPIAA, Public Law 101–410 (1990), as the nearest dollar.11 amending its rule that governs the amended, is codified at 28 U.S.C. 2461 note. The maximum amount of civil monetary FCPIAA states that the purpose of the FCPIAA is B. Civil Monetary Penalty Adjustments penalties imposed under the to establish a mechanism that shall (1) allow for Commodity Exchange Act (CEA), to regular adjustment for inflation of civil monetary Applying the FCPIAA annual penalties; (2) maintain the deterrent effect of civil inflation adjustment methodology adjust for inflation. This rule sets forth monetary penalties and promote compliance with the maximum, inflation-adjusted dollar the law; and (3) improve the collection by the results in the following amended CMPs: amount for civil monetary penalties Federal Government of civil monetary penalties. (CMPs) assessable for violations of the 2 For the relevant CMPs within the Commission’s 7 7 U.S.C. 9, 13a–1, 13b. Criminal authorities may CEA and Commission rules, regulations jurisdiction, the Act provides only for maximum also seek fines for criminal violations of the CEA amounts that can be assessed for each violation of (see 7 U.S.C. 13, 13(c), 13(d), 13(e), and 13b). The and orders thereunder. The rule, as the Act or the rules, regulations and orders FCPIA does not affect the amounts of these criminal amended, implements the Federal Civil promulgated thereunder; the Act does not set forth penalties. Penalties Inflation Adjustment Act of any minimum penalties. Therefore, the remainder 8 FCPIAA Sections 4 and 5. 1990, as amended. of this release will refer only to CMP maximums. 9 FCPIAA Section 5(b)(1). 3 Federal Civil Penalties Inflation Adjustment Act 10 The CPI–U is published by the Department of DATES: This rule is effective on February Improvements Act of 2015, Public Law 114–74, 129 Labor. Interested parties may find the relevant 2, 2021 and is applicable to penalties Stat. 584 (2015) (2015 Act), title VII, Section 701. Consumer Price Index on the internet. To access assessed after January 15, 2021. 4 FCPIAA Sections 4 and 5. See also, Adjustment this information, go to the Consumer Price Index of Civil Monetary Penalties for Inflation, 81 FR Home Page at: http://www.bls.gov/cpi/. Click the FOR FURTHER INFORMATION CONTACT: 41435 (June 27, 2016). ‘‘CPI Data/Databases’’ heading, and select ‘‘All Edward J. Riccobene, Associate Chief 5 FCPIAA Sections 4 and 5. See also, Executive Urban Consumers (Current Series)’’, ‘‘Top Picks.’’ Counsel, Division of Enforcement, at Office of the President, Office of Management and Then check the box for ‘‘U.S. city average, All Budget Memorandum, M–21–10, Implementation of items—CUUR0000SA0’’, and click the ‘‘Retrieve (202) 418–5327 or [email protected], Penalty Inflation Adjustments for 2021, Pursuant to data’’ button. Commodity Futures Trading the Federal Civil Penalties Inflation Adjustment Act 11 FCPIAA Section 5(a). See also, 2020 OMB Commission, 1155 21st Street NW, Improvements Act of 2015 (Dec. 23, 2020) (2020 Guidance at 3. Washington, DC 20581. OMB Guidance) (https://www.whitehouse.gov/wp- 12 Annual Adjustment of Civil Monetary Penalties content/uploads/2020/12/M-21-10.pdf). to Reflect Inflation—2020, 85 FR 1747 (Jan. 13, SUPPLEMENTARY INFORMATION: 6 FCPIAA Section 3(2). 2020).
VerDate Sep<11>2014 15:58 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00006 Fmt 4700 Sfmt 4700 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations 7803
Violations occurring on or after 11/02/2015
U.S. Code citation Civil monetary penalty description Penalty New amount in CPI–U adjusted 2020 final multiplier penalty rule 12 amount
Civil Monetary Penalty Imposed by the Commission in an Administrative Action
7 U.S.C. 9 (Section 6(c) For any person other than a registered Non-Manipulation or At- $168,142 1.01182 $170,129 of the Commodity Ex- entity 1. tempted Manipulation. change Act). For any person other than a registered Manipulation or Attempted 1,212,866 1.01182 1,227,202 entity 1. Manipulation. 7 U.S.C. 13a (Section 6b For a registered entity 1 or any of its di- Non-Manipulation or At- 926,213 1.01182 937,161 of the Commodity Ex- rectors, officers or employees. tempted Manipulation. change Act). For a registered entity 1 or any of its di- Manipulation or Attempted 1,212,866 1.01182 1,227,202 rectors, officers or employees. Manipulation.
Civil Monetary Penalty Imposed by a Federal District Court in a Civil Injunctive Action
7 U.S.C. 13a–1 (Section Any Person ...... Non-Manipulation or At- 185,242 1.01182 187,432 6c of the Commodity tempted Manipulation. Exchange Act). Any Person ...... Manipulation or Attempted 1,212,866 1.01182 1,227,202 Manipulation. 1 The term ‘‘Registered Entity’’ is defined in 7 U.S.C. 1a (Section 1a of the Commodity Exchange Act).
The FCPIAA provides that any B. Regulatory Flexibility Act a new regulation. Section 15(a) of the increase under the FCPIAA in a civil The Regulatory Flexibility Act 17 CEA further specifies that costs and monetary penalty shall apply only to requires agencies with rulemaking benefits shall be evaluated in light of civil monetary penalties, including authority to consider the impact of five broad areas of market and public those whose associated violation certain of their rules on small concern: (1) Protection of market predated such increase, which are businesses. A regulatory flexibility participants and the public; (2) assessed after the date the increase takes analysis is only required for rules for efficiency, competitiveness, and 13 effect. Thus, the new CMP amounts which the agency publishes a general financial integrity of futures markets; (3) established by this rulemaking shall notice of proposed rulemaking pursuant price discovery; (4) sound risk apply to penalties assessed after January to section 553(b) or any other law.18 management practices; and (5) other 15, 2021, for violations that occurred on Because, as discussed above, the public interest considerations. or after November 2, 2015, the effective Commission is not obligated by section date of the FCPIAA amendment The Commission believes that 553(b) or any other law to publish a benefits of this rulemaking greatly requiring annual adjustments, the 2015 general notice of proposed rulemaking outweigh the costs, if any. As the Act. with respect to the revisions being made Commission understands, the statutory IV. Administrative Compliance to Rule § 143.8, the Commission additionally is not obligated to conduct provisions by which it is making cost- A. Notice Requirement a regulatory flexibility analysis. of-living adjustments to the CMPs in The FCPIAA specifically exempted Rule § 143.8 were enacted to ensure that from the Administrative Procedure Act C. Paperwork Reduction Act CMPs do not lose their deterrence value (APA) the rulemakings required to The Paperwork Reduction Act of 1995 because of inflation. An analysis of the implement annual inflation (PRA),19 which imposes certain costs and benefits of these adjustments adjustments.14 This means that the requirements on Federal agencies, were made before enactment of the public procedure the APA generally including the Commission, in statutory provisions under which the requires—notice, an opportunity for connection with their conducting or Commission is operating, and limit the comment, and a delay in effective sponsoring any collection of discretion of the Commission to the date—is not required for agencies to information as defined by the PRA, does extent that there are no regulatory issue regulations implementing the not apply to this rule. This rule choices the Commission could make 15 annual adjustment. The Commission amendment does not contain that would supersede the pre-enactment further notes that the notice and information collection requirements that analysis with respect to the five factors comment procedures of the APA do not require the approval of the Office of enumerated in Section 15(a) of the CEA, apply to this rulemaking because the Management and Budget. or any other factors. Commission is acting herein pursuant to D. Consideration of Costs and Benefits statutory language that mandates that List of Subjects in 17 CFR Part 143 the Commission act in a Section 15(a) of the CEA 20 requires nondiscretionary matter.16 the Commission to consider the costs Civil monetary penalties, Claims. and benefits of its action before issuing For the reasons set forth in the 13 FCPIAA Section 6. preamble, the Commodity Futures 17 14 FCPIAA Section 4(b)(2). 5 U.S.C. 601–612. Trading Commission amends part 143 of 15 2020 OMB Guidance at 3. 18 5 U.S.C. 603(a). 16 Lake Carriers’ Ass’n v. E.P.A., 652 F.3d 1, 10 19 44 U.S.C. 3507(d). chapter I of title 17 of the Code of (D.C. Cir. 2011). 20 7 U.S.C. 19(a). Federal Regulations as follows:
VerDate Sep<11>2014 18:21 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00007 Fmt 4700 Sfmt 4700 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES 7804 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations
PART 143—COLLECTION OF CLAIMS Authority: 7 U.S.C. 9, 15, 9a, 12a(5), 13a, (b) 2021 Inflation adjustment. The OWED THE UNITED STATES ARISING 13a–1(d), 13(a), 13b; 31 U.S.C. 3701–3720E; maximum amount of each civil 28 U.S.C. 2461 note. FROM ACTIVITIES UNDER THE monetary penalty in the following COMMISSION’S JURISDICTION ■ 2. Revise § 143.8(b) to read as follows: charts applies to penalties assessed after § 143.8 Inflation-adjusted civil monetary January 15, 2021: ■ 1. The authority citation for part 143 penalties. (1) For non-manipulation or continues to read as follows: * * * * * attempted manipulation violations:
TABLE 1 TO PARAGRAPH (b)(1)
Date of violation and corresponding penalty U.S. Code citation Civil monetary penalty description 10/23/2004 10/23/2008 10/23/2012 11/02/2015 through through through to 10/22/2008 10/22/2012 11/01/2015 present
Civil Monetary Penalty Imposed By The Commission In An Administrative Action
7 U.S.C. 9 (Section 6(c) of the Com- For any person other than a reg- $130,000 $130,000 $140,000 $170,129 modity Exchange Act). istered entity 1. 7 U.S.C. 13a (Section 6b of the For a registered entity 1 or any of its 625,000 675,000 700,000 937,161 Commodity Exchange Act). directors, officers or employees.
Civil Monetary Penalty Imposed By A Federal District Court In A Civil Injunctive Action
7 U.S.C. 13a–1 (Section 6c of the Any Person...... 130,000 140,000 140,000 187,432 Commodity Exchange Act). 1The term ‘‘Registered Entity’’ is defined in 7 U.S.C. 1a (Section 1a of the Commodity Exchange Act).
(2) For manipulation or attempted manipulation violations:
TABLE 2 TO PARAGRAPH (b)(2)
Date of violation and corresponding penalty U.S. Code citation Civil monetary penalty description 10/23/2004 05/22/2008 08/15/2011 11/02/2015 through through through to 05/21/2008 08/14/2011 11/01/2015 present
Civil Monetary Penalty Imposed By The Commission In An Administrative Action
7 U.S.C. 9 (Section 6(c) of the Com- For any person other than a reg- $130,000 $1,000,000 $1,025,000 $1,227,202 modity Exchange Act). istered entity 1. 7 U.S.C. 13a (Section 6b of the For a registered entity 1 or any of its 625,000 1,000,000 1,025,000 1,227,202 Commodity Exchange Act). directors, officers or employees.
Civil Monetary Penalty Imposed By A Federal District Court In A Civil Injunctive Action
7 U.S.C. 13a–1 (Section 6c of the Any Person...... 130,000 1,000,000 1,025,000 1,227,202 Commodity Exchange Act). 1The term ‘‘Registered Entity’’ is defined in 7 U.S.C. 1a (Section 1a of the Commodity Exchange Act).
Issued in Washington, DC, on January 12, and Berkovitz voted in the affirmative. No ACTION: Final rule. 2021, by the Commission. Commissioner voted in the negative. Robert Sidman, [FR Doc. 2021–00897 Filed 2–1–21; 8:45 am] SUMMARY: This final rule is issued to Deputy Secretary of the Commission, BILLING CODE 6351–01–P adjust the civil monetary penalties Commodity Futures Trading Commission. (CMP) for regulatory provisions maintained and enforced by the Note: The following appendix will not DEPARTMENT OF STATE Department of State. The revised CMP appear in the Code of Federal adjusts the amount of civil monetary Regulations. 22 CFR Parts 35, 103, 127, and 138 penalties assessed by the Department of Appendix to Adjustment of Civil [Public Notice 11298] State based on the December 2020 guidance from the Office of Monetary Penalties for Inflation— RIN 1400–AF16 2021—Commission Voting Summary Management and Budget. The new Department of State 2021 Civil amounts will apply only to those On this matter, Chairman Tarbert and penalties assessed on or after the Commissioners Quintenz, Behnam, Stump, Monetary Penalties Inflationary Adjustment effective date of this rule, regardless of the date on which the underlying facts AGENCY: Department of State. or violations occurred.
VerDate Sep<11>2014 15:58 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00008 Fmt 4700 Sfmt 4700 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations 7805
DATES: This final rule is effective on Overview of the Areas Affected by This III. Part 127 February 2, 2021. Rule The Assistant Secretary of State for FOR FURTHER INFORMATION CONTACT: Within the Department of State (title Political-Military Affairs is responsible Alice Kottmyer, Attorney-Adviser, 22, Code of Federal Regulations), this for the imposition of CMPs under the Office of Management, kottmyeram@ rule affects four areas: International Traffic in Arms Regulations (ITAR), which is state.gov. ATTN: Regulatory Change, (1) Part 35, which implements the administered by the Directorate of CMP Adjustments, (202) 647–2318. Program Fraud Civil Remedies Act of Defense Trade Controls (DDTC). SUPPLEMENTARY INFORMATION: The 1986 (PFCRA), codified at 31 U.S.C. Federal Civil Penalties Inflation 3801–3812; (1) AECA Section 38(e) Adjustment Act of 1990, Public Law (2) Part 103, which implements the Applying the 2021 multiplier, the 101–410, as amended by the Debt Chemical Weapons Convention new maximum penalty under 22 U.S.C. Collection Improvement Act of 1996, Implementation Act of 1998 (CWC Act); 2778 (22 CFR 127.10(a)(1)(i)) is Public Law 104–134, required the head (3) Part 127, which implements the $1,197,728. of each agency to adjust its CMPs for penalty provisions of sections 38(e), (2) AECA Section 39A(c) inflation no later than October 23, 1996 39A(c), and 40(k) of the Arms Export and required agencies to make Control Act (AECA) (22 U.S.C. 2778(e), Applying the multiplier, the new adjustments at least once every four 2779a(c), and 2780(k)); and maximum penalty under 22 U.S.C. 2779a (22 CFR 127.10(a)(1)(ii)) is years thereafter. The Federal Civil (4) Part 138, which implements $870,856, or five times the amount of Penalties Inflation Adjustment Act Section 319 of Public Law 101–121, the prohibited payment, whichever is Improvements Act of 2015, Section 701 codified at 31 U.S.C. 1352, prohibits greater. of Public Law 114–74 (the 2015 Act) recipients of Federal contracts, grants, further amended the 1990 Act by and loans from using appropriated (3) AECA Section 40(k) requiring agencies to adjust CMPs, if funds for lobbying the executive or Applying the multiplier, the new necessary, pursuant to a ‘‘catch-up’’ legislative branches of the Federal adjustment methodology prescribed by maximum penalty under 22 U.S.C. 2780 Government in connection with a (22 CFR 127.10(a)(1)(iii)) is $1,036,566. the 2015 Act, which mandated that the specific contract. catch-up adjustment take effect no later IV. Part 138 than August 1, 2016. Additionally, the Specific Changes to 22 CFR Made by This Rule Section 319 of Public Law 101–121, 2015 Act required agencies to make codified at 31 U.S.C. 1352, provides annual adjustments to their respective I. Part 35 penalties for recipients of Federal CMPs in accordance with guidance The PFCRA, enacted in 1986, contracts, grants, and loans who use issued by the Office of Management and appropriated funds to lobby the Budget (OMB). authorizes agencies, with approval from the Department of Justice, to pursue executive or legislative branches of the Based on these statutes, the individuals or firms for false claims. Federal Government in connection with Department of State (the Department) Applying the 2021 multiplier, the new a specific contract, grant, or loan. Any 1 published a final rule in June 2016 to maximum liabilities are as follows: person who violates that prohibition is implement the ‘‘catch-up’’ provisions; $11,803 up to $348,035. subject to a civil penalty. The statute and annual updates to its CMPs in also requires each person who requests January 2017,2 January 2018,3 March II. Part 103 or receives a Federal contract, grant, cooperative agreement, loan, or a 2019 (delayed due to the Government The CWC Act provided domestic 4 5 Federal commitment to insure or shutdown), and January 2020. implementation of the Convention on guarantee a loan, to disclose any On December 29, 2020, OMB notified the Prohibition of the Development, lobbying; there is a penalty for failure to agencies that the annual cost-of-living Production, Stockpiling, and Use of disclose. adjustment multiplier for 2021, based Chemical Weapons and on Their Applying the 2021 multiplier, the on the Consumer Price Index, is Destruction. The penalty provisions of maximum penalties for both improper 1.01182. Additional information may be the CWC Act are codified at 22 U.S.C. expenditures and failure to disclose, is: found in OMB Memorandum M–21–10, 6761. Applying the 2021 multiplier, the For first offenders, $20,396; for others, at: https://www.whitehouse.gov/wp- new maximum amounts are as follows: not less than $20,731, and not more content/uploads/2020/12/M-21-10.pdf. Prohibited acts related to inspections, than $207,314. This final rule amends Department $39,693; for Recordkeeping violations, CMPs for fiscal year 2021. $7,939. Summary
Citation in 22 CFR 2020 Max penalties New (FY 21) max penalties
§ 35.3 ...... $11,665 up to $343,969 ...... $11,803 up to $348,035. § 103.6(a)(1) ...... $39,229 ...... $39,693. Prohibited Acts ...... § 103.6(a)(2) ...... $7,846 ...... $7,939. Recordkeeping Violations ...... § 127.10(a)(1)(i) ...... $1,183,736 ...... $1,197,728. § 127.10(a)(1)(ii) ...... $860,683 ...... $870,856. or 5 times the amount of the prohibited pay- or 5 times the amount of the prohibited pay- ment, whichever is greater. ment, whichever is greater. § 127.10(a)(1)(iii) ...... $1,024,457 ...... $1,036,566.
1 81 FR 36771 (Jun. 8, 2016). 3 83 FR 234 (Jan. 3, 2018). 5 85 FR 2020 (Jan. 14, 2020). 2 82 FR 3168 (Jan. 11, 2017). 4 84 FR 9957 (Mar. 19, 2019).
VerDate Sep<11>2014 15:58 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00009 Fmt 4700 Sfmt 4700 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES 7806 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations
Citation in 22 CFR 2020 Max penalties New (FY 21) max penalties
§ 138.400 ...... $20,158 ...... $20,396. First Offenders ...... § 138.400 ...... $20,489 up to $204,892 ...... $20,731 up to $207,314.
Effective Date of Penalties Executive Orders 12372 and 13132 22 CFR Part 103 The revised CMP amounts will go into This amendment will not have Administrative practice and effect on the date this rule is published. substantial direct effects on the States, procedure, Chemicals, Classified All violations for which CMPs are on the relationship between the information, Foreign relations, Freedom assessed on or after the effective date of National Government and the States, or of information, International this rule, regardless of whether the on the distribution of power and organization, Investigations, Penalties, violation occurred before the effective responsibilities among the various Reporting and recordkeeping date, will be assessed at the adjusted levels of government. Therefore, in requirements. penalty level. accordance with Executive Order 13132, 22 CFR Part 127 Future Adjustments and Reporting it is determined that this amendment does not have sufficient federalism Arms and munitions, Exports. The 2015 Act directed agencies to implications to require consultations or undertake an annual review of CMPs warrant the preparation of a federalism 22 CFR Part 138 using a formula prescribed by the summary impact statement. statute. Annual adjustments to CMPs are Government contracts, Grant made in accordance with the guidance Executive Orders 12866 and 13563 programs, Loan programs, Lobbying, issued by OMB. As in this rulemaking, Penalties, Reporting and recordkeeping The Department believes that benefits requirements. the Department of State will publish of the rulemaking outweigh any costs, notification of annual inflation and there are no feasible alternatives to For the reasons set forth above, 22 adjustments to CMPs in the Federal this rulemaking. Pursuant to M–20–05, CFR parts 35, 103, 127, and 138 are Register no later than January 15 of each OIRA has determined that agency amended as follows: year, with the adjusted amount taking regulations that (1) exclusively effect immediately upon publication. implement the annual adjustment, (2) PART 35—PROGRAM FRAUD CIVIL REMEDIES Regulatory Analysis and Notices are consistent with this guidance, and (3) have an annual impact of less than Administrative Procedure Act $100 million, are generally not ■ 1. The authority citation for part 35 The Department of State is publishing significant regulatory actions under E.O. continues to read as follows: this rule using the ‘‘good cause’’ 12866. Therefore, agencies are generally Authority: 22 U.S.C. 2651a; 31 U.S.C. 3801 exception to the Administrative not required to submit regulations et seq.; Pub. L. 114–74, 129 Stat. 584. Procedure Act (5 U.S.C. 553(b)), as the satisfying those criteria to OIRA for Department has determined that public review. This regulation satisfies all of § 35.3 [Amended] comment on this rulemaking would be those criteria. ■ 2. In § 35.3: impractical, unnecessary, or contrary to Executive Order 12988 ■ a. Remove ‘‘$11,665’’ and add in its the public interest. This rulemaking is place ‘‘$11,803’’, wherever it occurs. mandatory and entirely without agency The Department of State has reviewed discretion; it implements Public Law the proposed amendment in light of ■ b. In paragraph (f), remove ‘‘$343,969’’ 114–74. See 5 U.S.C. 553(d)(3). Executive Order 12988 to eliminate and add in its place ‘‘$348,035’’. ambiguity, minimize litigation, establish Regulatory Flexibility Act PART 103—REGULATIONS FOR clear legal standards, and reduce IMPLEMENTATION OF THE CHEMICAL Because this rulemaking is exempt burden. from 5 U.S.C. 553, a Regulatory WEAPONS CONVENTION AND THE Flexibility Analysis is not required. Executive Order 13175 CHEMICAL WEAPONS CONVENTION IMPLEMENTATION ACT OF 1998 ON The Department of State has Unfunded Mandates Reform Act of 1995 THE TAKING OF SAMPLES AND ON determined that this rulemaking will ENFORCEMENT OF REQUIREMENTS This rule does not involve a mandate not have tribal implications, will not CONCERNING RECORDKEEPING AND that will result in the expenditure by impose substantial direct compliance INSPECTIONS State, local, and Tribal governments, in costs on Indian Tribal governments, and the aggregate, or by the private sector, of will not preempt Tribal law. ■ $100 million or more in any year and it Accordingly, Executive Order 13175 3. The authority citation for part 103 will not significantly or uniquely affect does not apply to this rulemaking. continues to read as follows: small governments. Therefore, no Authority: 22 U.S.C. 2651a; 22 U.S.C. 6701 actions were deemed necessary under Paperwork Reduction Act et seq.; Pub. L. 114–74, 129 Stat. 584. the provisions of the Unfunded This rulemaking does not impose or § 103.6 [Amended] Mandates Reform Act of 1995. revise any information collections Small Business Regulatory Enforcement subject to 44 U.S.C. Chapter 35. ■ 4. In § 103.6: Fairness Act of 1996 List of Subjects ■ a. In paragraph (a)(1), remove This rule is not a major rule within ‘‘$39,229’’ and add in its place 22 CFR Part 35 the meaning of the Small Business ‘‘$39,693’’; and Regulatory Enforcement Fairness Act of Administrative practice and ■ b. In paragraph (a)(2), remove 1996. procedure, Claims, Fraud, Penalties. ‘‘$7,846’’ and add in its place ‘‘$7,939’’.
VerDate Sep<11>2014 15:58 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00010 Fmt 4700 Sfmt 4700 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations 7807
PART 127—VIOLATIONS AND Secretary, Office of Labor-Management corrected to clarify that the section PENALTIES Standards, Wage and Hour Division, heading of § 22.39 should be revised as Occupational Safety and Health well. Amendatory instruction 43 is ■ 5. The authority citation for part 127 Administration, Office of Federal corrected to read: ‘‘43. In § 22.39, revise continues to read as follows: Contract Compliance Programs. the section heading and paragraphs (a), Authority: Sections 2, 38, and 42, Pub. L. ACTION: Direct final rule; correction. (b)(3), (c), (f), and (h) through (l) to read 90–629, 90 Stat. 744 (22 U.S.C. 2752, 2778, as follows:’’. The section heading is SUMMARY: The Department of Labor 2791); 22 U.S.C. 401; 22 U.S.C. 2651a; 22 being revised to read ‘‘Appeal to ARB’’ (Department or DOL) is correcting a U.S.C. 2779a; 22 U.S.C. 2780; E.O. 13637, 78 instead of ‘‘Appeal to authority head.’’ FR 16129; Pub. L. 114–74, 129 Stat. 584. direct final rule that appeared in the This change is in keeping with the Federal Register on January 11, 2021, § 127.10 [Amended] ‘‘Rules of Practice and Procedure Department’s clearly expressed intent in ■ 6. In § 127.10: Concerning Filing and Service and the preamble of the final rule to revise ■ a. In paragraph (a)(1)(i), remove Amended Rules Concerning Filing and references in the regulations to an ‘‘$1,183,736’’ and add in its place Service.’’ The companion proposed rule ‘‘authority head’’ to references to the ‘‘$1,197,728’’; to the final rule was published in the ‘‘ARB’’ in order to clarify the ■ b. In paragraph (a)(1)(ii), remove same issue of the Federal Register. The responsibilities of the Administrative ‘‘$860,683’’ and add in its place final rule required electronic filing (e- Review Board. ‘‘$870,856’’; and filing) and made acceptance of At 86 FR 1793, third column, 29 CFR ■ c. In paragraph (a)(1)(iii), remove electronic service (e-service) automatic part 1986, amendatory instruction 133 ‘‘$1,024,457’’ and add in its place for attorneys and non-attorney revised § 1986.110, paragraph (c). The ‘‘$1,036,566’’. representatives representing parties in text of § 1986.110 as written in the final proceedings before the Administrative rule also included a revised section PART 138—RESTRICTIONS ON Review Board, unless the Board LOBBYING heading; however, amendatory authorized non-electronic filing and instruction 133 did not specify that the service for good cause. Among other ■ 7. The authority citation for part 138 section heading should be revised in changes, the final rule was intended to continues to read as follows: addition to the text of paragraph (c). In revise several sections of the Code of this action, amendatory instruction 133 Authority: 22 U.S.C. 2651a; 31 U.S.C. Federal Regulations. However, the final is corrected to clarify that the section 1352; Pub. L. 114–74, 129 Stat. 584. rule as published inadvertently omitted heading of § 1986.110 should be revised, § 138.400 [Amended] amendatory instructions to revise two section headings, despite providing as well. Amendatory instruction 133 is ■ 8. In § 138.400: revised language for those headings. corrected to read: ‘‘133. In § 1986.110, ■ a. Remove ‘‘$20,489’’ and ‘‘$204,892’’ This document provides the omitted revise the section heading and and add in their place ‘‘$20,731’’ and amendatory instructions to ensure that paragraph (c) to read as follows:’’. The ‘‘$207,314’’, respectively, wherever they these two section headings are revised section heading is being revised to read occur. as written in the final rule. ‘‘Decision and orders of the ■ b. In paragraph (e), remove ‘‘$20,158’’ DATES: This correction is effective on Administrative Review Board’’ instead and add in its place ‘‘$20,396’’. February 25, 2021, unless the of ‘‘Decisions and order of the Zachary A. Parker, Department receives a significant Administrative Review Board.’’ The Director, Office of Directives Management. adverse comment to the underlying change to § 1986.110 is intended to direct final rule or its companion make the section heading consistent Editorial note: This document was proposed rule by February 10, 2021 that with other similar section headings in received for publication by the Office of the explains why the rule is inappropriate. the chapter of Title 29 that are titled Federal Register on January 11, 2021. ‘‘Decision and orders of the [FR Doc. 2021–00668 Filed 2–1–21; 8:45 am] FOR FURTHER INFORMATION CONTACT: Mr. Administrative Review Board.’’ BILLING CODE 4710–10–P Thomas Shepherd, Clerk of the Appellate Boards, at 202–693–6319 or Federal Register Correction [email protected]. DEPARTMENT OF LABOR SUPPLEMENTARY INFORMATION: DOL is In FR Rule Doc. No. 2020–28055, making the following corrections to the published in the issue of January 11, Office of the Secretary of Labor final rule, as published in the Federal 2021, beginning on page 1772, the Register on Monday, January 11, 2021 following corrections are made: 29 CFR Part 22 (86 FR 1772). DOL is adding amendatory PART 22—PROGRAM FRAUD CIVIL Occupational Safety and Health instructions to change the section REMEDIES ACT OF 1986 Administration headings of two sections of the Code of Federal Regulations. § 22.39 [Corrected] At 86 FR 1781, third column, 29 CFR 29 CFR Part 1986 ■ 1. On page 1781, in the third column, part 22, amendatory instruction 43 RIN 1290–AA28 revised § 22.39, paragraphs (a), (b)(3), correct amendatory instruction 43 to (c), (f), and (h) through (l). The text of read: ‘‘43. In § 22.39, revise the section Rules of Practice and Procedure heading and paragraphs (a), (b)(3), (c), Concerning Filing and Service and § 22.39 as written in the final rule also included a revised section heading; (f), and (h) through (l) to read as Amended Rules Concerning Filing and follows:’’. Service; Correction however, amendatory instruction 43 did not specify that the section heading AGENCY: Employment and Training should be revised in addition to the text Administration, Office of Workers’ of the above-listed paragraphs. In this Compensation Programs, Office of the action, amendatory instruction 43 is
VerDate Sep<11>2014 15:58 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00011 Fmt 4700 Sfmt 4700 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES 7808 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations
PART 1986—PROCEDURES FOR THE account for inflation occurring between Adjustment Act Improvements Act of HANDLING OF RETALIATION October 2019 and October 2020. 2015 (collectively, ‘‘the Act’’), codified COMPLAINTS UNDER THE EMPLOYEE DATES: This rule is effective on February at 28 U.S.C. 2461, requires Federal PROTECTION PROVISION OF THE 2, 2021. agencies to adjust their civil monetary SEAMAN’S PROTECTION ACT (SPA), FOR FURTHER INFORMATION CONTACT: For penalty (CMP) rates for inflation every AS AMENDED questions on procedural issues, contact year. In accordance with sections 4 and 5 § 1986.110 [Corrected] Luis Aguilar, Regulatory Specialist, by telephone at (303) 231–3418 or email to of the Act, the annual CMP inflation ■ 2. On page 1793, in the third column, [email protected]. For questions on adjustment for 2021 is based on the correct amendatory instruction 133 to technical issues, contact Michael percent change in the Consumer Price read: ‘‘133. In § 1986.110, revise the Marchetti, Program Manager for Index for all Urban Consumers (CPI–U) section heading and paragraph (c) to Enforcement and Litigation Support, by between October 2019 and October read as follows:’’. telephone at (303) 231–3125 or email to 2020. The CPI–U for October 2019 was 257.346, and for October 2020 was Stephanie Swirsky, [email protected]. You may obtain a paper copy of this rule by 260.388, for an increase of 1.01182%. In Deputy Assistant Secretary of Labor for accordance with section 5(a) of the Act, Policy. contacting Mr. Aguilar by phone or email. the new maximum CMP rates must be [FR Doc. 2021–02169 Filed 2–1–21; 8:45 am] rounded to the nearest whole dollar. In BILLING CODE 4510–HW–P SUPPLEMENTARY INFORMATION: accordance with section 6 of the Act, I. Background the new maximum penalty rates will II. Inflation-Adjusted Maximum Rates apply only to CMPs, including those III. Procedural Requirements DEPARTMENT OF THE INTERIOR that are associated with violations A. Regulatory Planning and Review (E.O. predating the increase, that ONRR 12866) Office of Natural Resources Revenue B. Regulatory Flexibility Act assesses after the date the increase takes C. Small Business Regulatory Enforcement effect. 30 CFR Part 1241 Fairness Act ONRR assesses CMPs under the D. Unfunded Mandates Reform Act Federal Oil and Gas Royalty [Docket No. ONRR–2020–0002; DS63644000 E. Takings (E.O. 12630) Management Act, 30 U.S.C. 1719, and DRT000000.CH7000 212D1113RT] F. Federalism (E.O. 13132) its regulations at 30 CFR part 1241. G. Civil Justice Reform (E.O. 12988) ONRR calculates and assesses CMPs per RIN 1012–AA29 H. Consultation With Indian Tribes (E.O. violation, at the applicable rate, for each 13175) day such violation continues. Inflation Adjustments to Civil Monetary I. Paperwork Reduction Act Penalty Rates for Calendar Year 2021 J. National Environmental Policy Act II. Inflation-Adjusted Maximum Rates K. Effects on the Energy Supply (E.O. AGENCY: Office of the Secretary, Office 13211) This final rule increases the of Natural Resources Revenue, Interior. L. Clarity of This Regulation maximum CMP rates for each of the four ACTION: Final rule. M. Administrative Procedure Act violation categories identified in 30 U.S.C. 1719(a) through (d) and 30 CFR SUMMARY: The Office of Natural I. Background part 1241. The following list identifies Resources Revenue (ONRR) publishes The Federal Civil Penalties Inflation the existing ONRR regulations this final rule to increase its maximum Adjustment Act of 1990, as amended by containing CMP rates and shows those civil monetary penalty (CMP) rates to the Federal Civil Penalties Inflation rates before and after this increase.
2021 Current inflation 2021 30 CFR citation penalty rate adjustment adjusted multiplier penalty rate
1241.52(a)(2) ...... $1,273 1.01182 $1,288 1241.52(b) ...... 12,740 1.01182 12,891 1241.60(b)(1) ...... 25,479 1.01182 25,780 1241.60(b)(2) ...... 63,699 1.01182 64,452
IV. Procedural Requirements predictability, to reduce uncertainty, developed this rule in a manner and to use the most innovative and least consistent with these requirements. A. Regulatory Planning and Review burdensome tools for achieving (Executive Orders 12866 and 13563) regulatory ends. E.O. 13563 directs B. Regulatory Flexibility Act Executive Order (E.O.) 12866 provides agencies to consider regulatory This rule will not have a significant that the Office of Information and approaches that reduce burdens and economic effect on a substantial number Regulatory Affairs (OIRA) in the Office maintain flexibility and freedom of of small entities under the Regulatory of Management and Budget (OMB) will choice for the public where these Flexibility Act (RFA), 5 U.S.C. 601, et review all significant rules. OIRA has approaches are relevant, feasible, and seq., because the rule only makes determined that this rule is not consistent with regulatory objectives. adjustments for inflation. The Federal significant. E.O. 13563 emphasizes that regulations Civil Penalties Inflation Adjustment Act E.O. 13563 reaffirms the principles of must be based on the best available Improvements Act of 2015 requires E.O. 12866, while calling for science and that the rulemaking process agencies to adjust civil penalties with an improvements in the United States’ must allow for public participation and annual inflation adjustment. Therefore, regulatory system to promote an open exchange of ideas. ONRR
VerDate Sep<11>2014 15:58 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00012 Fmt 4700 Sfmt 4700 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations 7809
the RFA does not apply to this government relationship with Indian identify the number of the sections or rulemaking. Tribes through a commitment to paragraphs that you find unclear, which consultation with Indian Tribes and sections or sentences are too long, the C. Small Business Regulatory recognition of their right to self- sections where you feel lists or tables Enforcement Fairness Act governance and Tribal sovereignty. would be useful, etc. This rule is not a major rule under 5 Under the DOI’s consultation policy and M. Administrative Procedure Act (APA) U.S.C. 804(2), the Small Business the criteria in E.O. 13175, ONRR Regulatory Enforcement Fairness Act. evaluated this rule and determined that The Act requires agencies to publish This rule: it will have no substantial, direct effects annual inflation adjustments by no later a. Does not have an annual effect on on federally recognized Indian Tribes than January 15 of each year, the economy of $100 million or more; and does not require consultation. notwithstanding section 553 of the b. Will not cause a major increase in Administrative Procedure Act (APA) (5 costs or prices for consumers; I. Paperwork Reduction Act U.S.C. 553). OMB has interpreted this individual industries; Federal, State, This rule: direction to mean that the usual APA local government agencies; or (a) Does not contain any new public procedure for rulemaking— geographic regions; and information collection requirements; which includes public notice of a c. Does not have significant adverse and proposed rule, an opportunity for public effects on competition, employment, (b) Does not require a submission to comment, and a delay in the effective investment, productivity, innovation, or OMB under the Paperwork Reduction date of a final rule—is not required the ability of United States-based Act of 1995 (44 U.S.C. 3501, et seq.). See when agencies issue regulations to enterprises to compete with foreign- 5 CFR 1320.4(a)(2). implement the annual adjustments to based enterprises. civil penalties that the Act requires. J. National Environmental Policy Act of D. Unfunded Mandates Reform Act Accordingly, ONRR is issuing the 2021 1969 (NEPA) annual adjustments as a final rule This rule does not impose an This rule does not constitute a major without prior notice or an opportunity unfunded mandate on State, local, or Federal action significantly affecting the for comment and with an effective date Tribal governments or the private sector quality of the human environment. immediately upon publication in the of more than $100 million per year. This ONRR is not required to provide a Federal Register. rule does not have a significant or detailed statement under NEPA because Section 553(b) of the Administrative unique effect on State, local, or Tribal this rule qualifies for categorical Procedure Act (APA) provides that, governments or the private sector. exclusion under 43 CFR 46.210(i) in that when an agency for good cause finds Therefore, ONRR is not required to this rule is ‘‘. . . of an administrative, that ‘‘notice and public procedure . . . provide a statement containing the financial, legal, technical, or procedural are impracticable, unnecessary, or information that the Unfunded nature. . . .’’ ONRR also has contrary to the public interest,’’ the Mandates Reform Act (2 U.S.C. 1531, et determined that this rule is not involved agency may issue a rule without seq.) requires because this rule is not an in any of the extraordinary providing notice and an opportunity for unfunded mandate. circumstances listed in 43 CFR 46.215 prior public comment. Under section E. Takings (E.O. 12630) that would require further analysis 553(b), ONRR finds that there is good under NEPA. cause to promulgate this rule without This rule does not result in a taking first providing for public comment. of private property or otherwise have K. Effects on the Energy Supply (E.O. ONRR is promulgating this final rule to takings implications under E.O. 12630. 13211) implement the statutory directive in the Therefore, this rule does not require a This rule is not a significant energy Act, which requires agencies to publish takings implication assessment. action under the definition in E.O. a final rule and to update the civil F. Federalism (E.O. 13132) 13211 and, therefore, does not require a penalty amounts by applying a specified formula. ONRR has no discretion to vary Under the criteria in section 1 of E.O. Statement of Energy Effects. the amount of the adjustment to reflect 13132, this rule does not have sufficient L. Clarity of This Regulation any views or suggestions provided by federalism implications to warrant the commenters. Accordingly, it would preparation of a federalism summary ONRR is required by E.O. 12866 serve no purpose to provide an impact statement. (section 1(b)(12)), E.O. 12988 (section 3(b)(1)(B)), and E.O. 13563 (section opportunity for public comment on this G. Civil Justice Reform (E.O. 12988) 1(a)), and by the Presidential rule prior to promulgation. Thus, This rule complies with the Memorandum of June 1, 1998, to write providing for notice and public requirements of E.O. 12988. all rules in plain language. This means comment is unnecessary. Specifically, this rule: that each rule ONRR publishes must: Furthermore, ONRR finds under a. Meets the criteria of section 3(a), (a) Be logically organized; section 553(d)(3) of the APA that good which requires that ONRR review all (b) Use the active voice to address cause exists to make this direct final regulations to eliminate errors and readers directly; rule effective immediately upon ambiguity and to write them to (c) Use common, everyday words and publication in the Federal Register. In minimize litigation; and clear language rather than jargon; the Act, Congress expressly required b. Meets the criteria of section 3(b)(2), (d) Be divided into short sections and Federal agencies to publish annual which requires that ONRR write all sentences; inflation adjustments to civil penalties regulations in clear language, using (e) Use lists and tables wherever in the Federal Register no later than clear legal standards. possible; January 15 of every year, If you feel that ONRR has not met notwithstanding section 553 of the APA. H. Consultation With Indian Tribal these requirements, send your Under the statutory framework and Governments (E.O. 13175) comments to [email protected]. OMB guidance, the new penalty levels The Department of the Interior (DOI) Your comments should be as specific as are to take effect immediately upon strives to strengthen its government-to- possible. For example, you should publication. Moreover, an effective date
VerDate Sep<11>2014 15:58 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00013 Fmt 4700 Sfmt 4700 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES 7810 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations
after January 15 would delay § 1010.821 Penalty adjustment and table in Sparkman Channel. The regulated application of the new penalty levels, [Corrected]. navigation area is described in 33 CFR contrary to Congress’s intent. ■ On page 7349, in the table titled 165.752. The regulated navigation area was created to restrict navigation in the List of Subjects in 30 CFR Part 1241 ‘‘Table 1’’, in the fourth column, the entry ‘‘[INSERT DATE OF area to vessels with a draft of less than Administrative practice and PUBLICATION IN THE FEDERAL 34.5 feet. A recent survey places the procedure, Civil penalties, Coal, REGISTER]’’ should read ‘‘January 28, sewer line at or below the permitted Geothermal, Inflation, Mineral 2021’’. depth of 42 feet. The navigation hazard resources, Natural gas, Notices of non- [FR Doc. C1–2021–01919 Filed 2–1–21; 8:45 am] is properly marked on the water surface compliance, Oil. as well as on navigation charts. With the BILLING CODE 1301–00–P advancement in technologies and Kimbra G. Davis, mechanical innovations coupled with Director for Office of Natural Resources the expertise of the pilots that guide Revenue. DEPARTMENT OF HOMELAND vessels in and around Port Tampa Bay, Editorial note: This document was SECURITY the current restricted navigation area received for publication by the Office of the Coast Guard along Sparkman Channel has become Federal Register on January 19, 2021. outdated. In response, on November 27, Authority and Issuance 33 CFR Part 165 2020, the Coast Guard published a notice of proposed rulemaking (NPRM) For the reasons discussed in the [Docket Number USCG–2020–0556] titled, ‘‘Regulated Navigation Area; preamble, ONRR amends 30 CFR part Sparkman Channel, Tampa, FL’’ (85 FR 1241 as set forth below: RIN 1625–AA11 75996). There we stated why we issued PART 1241—PENALTIES Regulated Navigation Area; Sparkman the NPRM, and invited comments on Channel, Tampa, FL our proposed regulatory action related ■ 1. The authority citation for part 1241 to this fireworks display. During the continues to read as follows: AGENCY: Coast Guard, DHS. comment period that ended December ACTION: 28, 2020, we received three comments. Authority: 25 U.S.C. 396 et seq., 396a et Final rule. seq., 2101 et seq.; 30 U.S.C. 181 et seq., 351 SUMMARY: The Coast Guard is removing III. Legal Authority and Need for Rule et seq., 1001 et seq., 1701 et seq.; 43 U.S.C. 1301 et seq., 1331 et seq., 1801 et seq. an existing regulated navigation area in The Coast Guard is issuing this rule Sparkman Channel, located in Tampa, under authority in 46 U.S.C. 70034. The § 1241.52 [Amended] FL. The regulated navigation area is no Commander, Seventh Coast Guard ■ 2. Amend § 1241.52 by: longer needed to protect vessels District has determined the current ■ a. In paragraph (a)(2), removing navigating in the area. This action restricted navigation area along ‘‘$1,273’’ and adding in its place removes the existing regulations related Sparkman Channel has become ‘‘$1,288’’. to restricting vessel draft in the channel outdated and is no longer needed for ■ b. In paragraph (b) introductory text, due to an underwater pipeline that is no Sparkman Channel. The purpose of this removing ‘‘$12,740’’ and adding in its longer a navigational concern. rule is to remove unnecessary place ‘‘$12,891’’. DATES: This rule is effective March 4, restrictions to navigation in Sparkman 2021. Channel in Tampa, FL. § 1241.60 [Amended] ADDRESSES: To view documents IV. Discussion of Comments, Changes, ■ 3. Amend § 1241.60 by: mentioned in this preamble as being and the Rule ■ a. In paragraph (b)(1) introductory available in the docket, go to https:// text, removing ‘‘$25,479’’ and adding in www.regulations.gov, type USCG–2020– The Coast Guard received three its place ‘‘$25,780’’. 0556 in the ‘‘SEARCH’’ box and click submissions from private citizens in ■ b. In paragraph (b)(2), removing ‘‘SEARCH.’’ Click on Open Docket response to the proposed rule. One ‘‘$63,699’’ and adding in its place Folder on the line associated with this commenter endorsed the Coast Guard’s ‘‘$64,452’’. rule. proposal. The other two comments were [FR Doc. 2021–01502 Filed 2–1–21; 8:45 am] FOR FURTHER INFORMATION CONTACT: If not relevant to the scope of this BILLING CODE 4335–30–P you have questions on this rule, call or rulemaking. There are no changes in the email Lieutenant Clark Sanford, Sector regulatory text of this rule from the St. Petersburg, Coast Guard; telephone proposed rule in the NPRM. (813) 228–2191 x8105, email This rule removes the existing DEPARTMENT OF THE TREASURY [email protected]. regulated navigation area established in SUPPLEMENTARY INFORMATION: Financial Crimes Enforcement Network 33 CFR 165.752. This regulation placed restrictions on vessel navigation in I. Table of Abbreviations 31 CFR Part 1010 Sparkman Channel in Tampa, Florida CFR Code of Federal Regulations based on vessel drafts. Financial Crimes Enforcement DHS Department of Homeland Security FR Federal Register V. Regulatory Analyses Network; Inflation Adjustment of Civil NPRM Notice of proposed rulemaking Monetary Penalties § Section We developed this rule after U.S.C. United States Code considering numerous statutes and Correction Executive orders related to rulemaking. In Rule document 2021–01919, II. Background Information and Below we summarize our analyses appearing on pages 7348–7349, in the Regulatory History based on a number of these statutes and issue of Thursday, January 28, 2021, On January 25, 1991, the Coast Guard Executive orders, and we discuss First make the following correction: established a regulated navigation area Amendment rights of protestors.
VerDate Sep<11>2014 18:21 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00014 Fmt 4700 Sfmt 4700 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations 7811
A. Regulatory Planning and Review and the Regional Small Business Environmental Policy Act of 1969 (42 Executive Orders 12866 and 13563 Regulatory Fairness Boards. The U.S.C. 4321–4370f), and have direct agencies to assess the costs and Ombudsman evaluates these actions determined that this action is one of a benefits of available regulatory annually and rates each agency’s category of actions that do not alternatives and, if regulation is responsiveness to small business. If you individually or cumulatively have a necessary, to select regulatory wish to comment on actions by significant effect on the human approaches that maximize net benefits. employees of the Coast Guard, call environment. This rule involves Executive Order 13771 directs agencies 1–888–REG–FAIR (1–888–734–3247). removing existing regulations to control regulatory costs through a The Coast Guard will not retaliate established in 33 CFR 165.752. It is budgeting process. This rule has not against small entities that question or categorically excluded from further been designated a ‘‘significant complain about this rule or any policy review under paragraph L60(b) of regulatory action,’’ under Executive or action of the Coast Guard. Appendix A, Table 1 of DHS Instruction Manual 023–01–001–01, Rev. 1. A Order 12866. Accordingly, this rule has C. Collection of Information not been reviewed by the Office of Memorandum for Record supporting This rule will not call for a new this determination is available in the Management and Budget (OMB), and collection of information under the pursuant to OMB guidance it is exempt docket. For instructions on locating the Paperwork Reduction Act of 1995 (44 docket, see the ADDRESSES section of from the requirements of Executive U.S.C. 3501–3520). Order 13771. this preamble. This regulatory action determination D. Federalism and Indian Tribal G. Protest Activities is based on the rule not adding any new Governments The Coast Guard respects the First navigational restrictions, rather the rule A rule has implications for federalism Amendment rights of protesters. will remove existing navigational under Executive Order 13132, Protesters are asked to call or email the restrictions to Sparkman Channel. Federalism, if it has a substantial direct person listed in the FOR FURTHER B. Impact on Small Entities effect on the States, on the relationship INFORMATION CONTACT section to between the National Government and The Regulatory Flexibility Act of coordinate protest activities so that your the States, or on the distribution of message can be received without 1980, 5 U.S.C. 601–612, as amended, power and responsibilities among the requires Federal agencies to consider jeopardizing the safety or security of various levels of government. We have people, places or vessels. the potential impact of regulations on analyzed this rule under that Order and small entities during rulemaking. The have determined that it is consistent List of Subjects in 33 CFR Part 165 term ‘‘small entities’’ comprises small with the fundamental federalism Harbors, Marine Safety, Navigation businesses, not-for-profit organizations principles and preemption requirements that are independently owned and (water), Reporting and recordkeeping described in Executive Order 13132. requirements, Security measures, operated and are not dominant in their Also, this rule does not have tribal fields, and governmental jurisdictions Waterways. implications under Executive Order For the reasons discussed in the with populations of less than 50,000. 13175, Consultation and Coordination The Coast Guard received no comments preamble, the Coast Guard amends 33 with Indian Tribal Governments, CFR part 165 as follows: from the Small Business Administration because it does not have a substantial on this rulemaking. The Coast Guard direct effect on one or more Indian PART 165—REGULATED NAVIGATION certifies under 5 U.S.C. 605(b) that this tribes, on the relationship between the AREAS AND LIMITED ACCESS AREAS rule will not have a significant Federal Government and Indian tribes, economic impact on a substantial or on the distribution of power and ■ 1. The authority citation for part 165 number of small entities. responsibilities between the Federal continues to read as follows: While some owners or operators of Government and Indian tribes. Authority: 46 U.S.C. 70034; 33 CFR 1.01– vessels intending to transit Sparkman E. Unfunded Mandates Reform Act 1, 6.04–1, and 160.5; Department of Channel may be small entities, for the Homeland Security Delegation No. 01070.1 reasons stated in section V.A above, this The Unfunded Mandates Reform Act rule will not have a significant of 1995 (2 U.S.C. 1531–1538) requires § 165.752 [Removed] economic impact on any vessel owner Federal agencies to assess the effects of ■ 2. Remove § 165.752 or operator. their discretionary regulatory actions. In Dated: January 21, 2021. Under section 213(a) of the Small particular, the Act addresses actions Eric C. Jones, Business Regulatory Enforcement that may result in the expenditure by a Fairness Act of 1996 (Pub. L. 104–121), State, local, or tribal government, in the Rear Admiral, U.S. Coast Guard, Commander, Seventh Coast Guard District. we want to assist small entities in aggregate, or by the private sector of understanding this rule. If the rule $100,000,000 (adjusted for inflation) or [FR Doc. 2021–02103 Filed 2–1–21; 8:45 am] would affect your small business, more in any one year. Though this rule BILLING CODE 9110–04–P organization, or governmental will not result in such an expenditure, jurisdiction and you have questions we do discuss the effects of this rule concerning its provisions or options for elsewhere in this preamble. DEPARTMENT OF VETERANS compliance, please call or email the AFFAIRS person listed in the FOR FURTHER F. Environment INFORMATION CONTACT section. We have analyzed this rule under 38 CFR Parts 36 and 42 Small businesses may send comments Department of Homeland Security on the actions of Federal employees Directive 023–01, Rev. 1, associated RIN 2900–AR08 who enforce, or otherwise determine implementing instructions, and Federal Civil Penalties Inflation compliance with, Federal regulations to Environmental Planning COMDTINST Adjustment Act Amendments the Small Business and Agriculture 5090.1 (series), which guide the Coast Regulatory Enforcement Ombudsman Guard in complying with the National AGENCY: Department of Veterans Affairs.
VerDate Sep<11>2014 15:58 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00015 Fmt 4700 Sfmt 4700 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES 7812 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations
ACTION: Final rule. title 38 U.S.C. and part 36, title 38 CFR. Executive Orders 12866 and 13563 Under section 3710(g)(4)(B), any lender SUMMARY: The Department of Veterans Executive Orders 12866 and 13563 who knowingly and willfully makes direct agencies to assess the costs and Affairs (VA) is providing public notice such a false certification shall be liable of inflationary adjustments to the benefits of available regulatory to the United States Government for a alternatives and, when regulation is maximum civil monetary penalties civil penalty equal to two times the assessed or enforced by VA, as necessary, to select regulatory amount of the Secretary’s loss on the approaches that maximize net benefits implemented by the Federal Civil loan involved or to another appropriate Penalties Inflation Adjustment Act (including potential economic, amount, not to exceed $10,000, environmental, public health and safety Improvements Act of 2015, for calendar whichever is greater. VA implemented year 2021. VA may impose civil effects, and other advantages; the penalty amount in 38 CFR distributive impacts; and equity). monetary penalties for false loan 36.4340(k)(1)(i) and (k)(3). On December guaranty certifications. Also, VA may Executive Order 13563 (Improving 23, 2020, OMB issued Circular M–21– Regulation and Regulatory Review) impose civil monetary penalties for 10. This circular reflects that the emphasizes the importance of fraudulent claims or written statements October 2019 CPI–U was 257.346 and quantifying both costs and benefits, made in connection with VA programs the October 2020 CPI–U was 260.388, reducing costs, harmonizing rules, and generally. The Federal Civil Penalties resulting in an inflation adjustment promoting flexibility. The Office of Inflation Adjustment Act of 1990, as multiplier of 1.01182. Accordingly, the Information and Regulatory Affairs has amended by the Federal Civil Penalties calendar year 2021 inflation revision determined that this rule is not a Inflation Adjustment Act Improvements imposes an adjustment from $23,331 to significant regulatory action under Act of 2015, sets forth a formula that $23,607. Executive Order 12866. VA’s impact increases the maximum statutory Under 31 U.S.C. 3802, VA can impose analysis can be found as a supporting amounts for civil monetary penalties document at http:// and directs VA to give public notice of monetary penalties against any person who makes, presents, or submits a claim www.regulations.gov, usually within 48 the new maximum amounts by hours after the rulemaking document is or written statement to VA that the regulation. published. Additionally, a copy of the person knows or has reason to know is DATES: This rule is effective February 2, rulemaking and its impact analysis are false, fictitious, or fraudulent, or who 2021. available on VA’s website at http:// engages in other covered conduct. The FOR FURTHER INFORMATION CONTACT: www.va.gov/orpm/, by following the statute permits, in addition to any other Stephanie Li, Chief, Regulations Team, link for ‘‘VA Regulations Published remedy that may be prescribed by law, Loan Guaranty Service, Department of From FY 2004 Through Fiscal Year to a civil penalty of not more than $5,000 Veterans Affairs, 810 Vermont Avenue Date.’’ for each claim. 31 U.S.C. 3802(a)(1) and NW, Washington, DC 20420, (202) 632– (2). VA implemented the penalty Unfunded Mandates 8862. (This is not a toll-free number.) amount in 38 CFR 42.3(a)(1) and (b)(1). The Unfunded Mandates Reform Act SUPPLEMENTARY INFORMATION: On As previously noted, Circular M–21–10 of 1995 requires, at 2 U.S.C. 1532, that November 2, 2015, the President signed reflects an inflation adjustment agencies prepare an assessment of into law the Federal Civil Penalties multiplier of 1.01182. Therefore, the anticipated costs and benefits before Inflation Adjustment Act Improvements calendar year 2021 inflation revision issuing any rule that may result in the Act of 2015 (2015 Act) (Pub. L. 114–74, imposes an adjustment from $11,665 to expenditure by State, local, and tribal sec. 701, 129 Stat. 599), which amended $11,803. governments, in the aggregate, or by the the Federal Civil Penalties Inflation private sector, of $100 million or more Adjustment Act of 1990 (Pub. L. 101– Accordingly, VA is revising 38 CFR (adjusted annually for inflation) in any 410, 104 Stat. 890), to improve the 36.4340(k)(1)(i) and (3) and 38 CFR one year. This final rule will have no effectiveness of civil monetary penalties 42.3(a)(1) and (b)(1) to reflect the 2021 inflationary adjustments for civil such effect on State, local, and Tribal and to maintain their deterrent effect. governments, or on the private sector. The 2015 Act was codified in a note monetary penalties assessed or enforced following 28 U.S.C. 2461. The 2015 Act by VA. Paperwork Reduction Act requires agencies to publish annual Administrative Procedure Act This final rule contains no provisions adjustments for inflation, based on the constituting a collection of information percent change between the Consumer The Secretary of Veterans Affairs under the Paperwork Reduction Act of Price Index (defined in the Act as the finds that there is good cause under 5 1995 (44 U.S.C. 3501–3521). Consumer Price Index for all-urban U.S.C. 553(b)(B) and (d)(3) to dispense consumers (CPI–U) published by the with the opportunity for prior notice Regulatory Flexibility Act Department of Labor) for the month of and public comment and to publish this The Regulatory Flexibility Act, 5 October preceding the date of the rule with an immediate effective date. U.S.C. 601 et seq. (RFA), imposes adjustment and the prior year’s October The 2015 Act requires agencies to make certain requirements on Federal agency CPI–U. 28 U.S.C. 2461 note, secs. 4(a) annual adjustments for inflation to the rules that are subject to the notice and and (b) and 5(b)(1). This rule allowed amounts of civil monetary comment requirements of the implements the 2021 calendar year penalties ‘‘notwithstanding section 553 Administrative Procedure Act (APA), 5 inflation adjustment amounts. of title 5, United States Code.’’ 28 U.S.C. U.S.C. 553(b). This final rule is exempt Under 38 U.S.C. 3710(g)(4)(B), VA is 2461 note, sec. 4(a) and (b). The penalty from the notice and comment authorized to levy civil monetary adjustments, and the methodology used requirements of the APA because the penalties against private lenders that to determine the adjustments, are set by 2015 Act directed the Department to originate VA-guaranteed loans if a the terms of the 2015 Act. VA has no issue the annual adjustments without lender falsely certifies that they have discretion to make changes in those regard to section 553 of the APA. complied with certain credit areas. Therefore, an opportunity for Therefore, the requirements of the RFA information and loan processing prior notice and public comment and a applicable to notice and comment standards, as set forth by chapter 37, delayed effective date is unnecessary. rulemaking do not apply to this rule.
VerDate Sep<11>2014 15:58 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00016 Fmt 4700 Sfmt 4700 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations 7813
Accordingly, the Department is not § 36.4340 [Amended] Background and Provisions of the Final required either to certify that the final ■ 2. In § 36.4340, amend paragraphs Rule rule would not have a significant (k)(1)(i) introductory text and (k)(3) by The January 20, 2021 memorandum economic impact on a substantial removing ‘‘$23,331’’ and adding in its from the Assistant to the President and number of small entities or to conduct place ‘‘$23,607’’. Chief of Staff, entitled ‘‘Regulatory a regulatory flexibility analysis. Freeze Pending Review,’’ instructed Catalog of Federal Domestic Assistance PART 42—STANDARDS Federal agencies to delay the effective IMPLEMENTING THE PROGRAM date of rules published in the Federal The Catalog of Federal Domestic FRAUD CIVIL REMEDIES ACT Register, but which have not yet taken Assistance number and title for the effect, for a period of 60 days from the program affected by this document is ■ 3. The authority citation for part 42 date of the memorandum. 64.114, Veterans Housing Guaranteed continues to read as follows: The purpose of the final rule is to and Insured Loans. Authority: Pub. L. 99–509, secs. 6101– adopt a new standard for certain Congressional Review Act 6104, 100 Stat. 1874, codified at 31 U.S.C. transactions concerning Part D-covered Pursuant to the Congressional Review 3801–3812. drugs prescribed to Part D-eligible Act (5 U.S.C. 801 et seq.), the Office of § 42.3 [Amended] individuals under the Part D e- Information and Regulatory Affairs prescribing program. Under this final ■ designated this rule as not a major rule, 4. In § 42.3, amend paragraphs rule, Part D plan sponsors will be as defined by 5 U.S.C. 804(2). (a)(1)(iv) and (b)(1)(ii) by removing required to support version 2017071 of ‘‘$11,665’’ and adding in its place the National Council for Prescription List of Subjects ‘‘$11,803’’. Drug Programs (NCPDP) SCRIPT 38 CFR Part 36 [FR Doc. 2021–01335 Filed 2–1–21; 8:45 am] standard for four electronic Prior BILLING CODE 8320–01–P Authorization (ePA) transactions, and Condominiums, Housing, Individuals prescribers will be required to use that with disabilities, Loan programs— standard when performing ePA housing and community development, transactions for Part D-covered drugs Loan programs—veterans, Manufactured DEPARTMENT OF HEALTH AND they wish to prescribe to Part D-eligible homes, Mortgage insurance, Reporting HUMAN SERVICES individuals. Part D plans, as defined in and recordkeeping requirements, 42 CFR 423.4, include Prescription Drug Veterans. Centers for Medicare & Medicaid Plans (PDPs) and Medicare Advantage 38 CFR Part 42 Services Prescription Drug Plans (MA–PDs); Part D sponsor, as defined in 42 CFR 423.4, Administrative practice and 42 CFR Part 423 procedure, Claims, Fraud, Penalties. means the entity sponsoring a Part D plan, MA organization offering a MA– Signing Authority [CMS–4189–F2] PD plan, a Programs of All-Inclusive The Secretary of Veterans Affairs, or Care for the Elderly (PACE) organization designee, approved this document and RIN 0938–AT94 sponsoring a PACE plan offering authorized the undersigned to sign and qualified prescription drug coverage, submit the document to the Office of the Medicare Program; Secure Electronic and a cost plan offering qualified Federal Register for publication Prior Authorization for Medicare Part D prescription drug coverage. The ePA electronically as an official document of Program; Delay in Effective Date transaction standard will provide for the the Department of Veterans Affairs. electronic transmission of information Brooks D. Tucker, Assistant Secretary AGENCY: Centers for Medicare & between the prescribing health care for Congressional and Legislative Medicaid Services (CMS), Department professional and Part D plan sponsor to Affairs, Performing the Delegable Duties of Health and Human Services (HHS). inform the sponsor’s determination as to of the Chief of Staff, Department of ACTION: Final rule; delay in effective whether or not a prior authorization Veterans Affairs, approved this date. (PA) should be granted. The NCPDP document on January 14, 2021, for SCRIPT standard version 2017071 was publication. SUMMARY: In accordance with the adopted as a Part D e-prescribing memorandum of January 20, 2021 from program standard for certain defined Luvenia Potts, the Assistant to the President and the transactions in the April 16, 2018 final Regulations Development Coordinator, Office Chief of Staff, entitled ‘‘Regulatory rule (83 FR 16440) titled Medicare of Regulation Policy & Management, Office Review,’’ this action temporarily delays Program; Contract Year 2019 Policy and of the Secretary, Department of Veterans for 60 days the effective date of the Technical Changes to the Medicare Affairs. December 31, 2020 final rule entitled, Advantage, Medicare Cost Plan, Editorial note: This document was ‘‘Medicare Program; Secure Electronic Medicare Fee-for-Service, the Medicare received for publication by the Office of the Prior Authorization For Medicare Part Prescription Drug Benefit Programs, and Federal Register on January 15, 2021. D’’, which published on December 31, the PACE Program that became effective For the reasons stated in the 2020. June 15, 2018. The effective date of that rule, which preamble, the Department of Veterans DATES: The effective date of the final Affairs amends 38 CFR parts 36 and 42 rule amending 42 CFR part 423 would have been February 1, 2021, is as set forth below: published at 85 FR 86824 on December now effective on March 30, 2021. The temporary delay in the effective 31, 2020, is delayed from February 1, PART 36—LOAN GUARANTY date of this final rule is necessary to 2021, to March 30, 2021. give Department officials the ■ 1. The authority citation for part 36 FOR FURTHER INFORMATION CONTACT: opportunity for further review and continues to read as follows: Joella Roland, (410) 786–7638. consideration of new regulations, Authority: 38 U.S.C. 501 and 3720. SUPPLEMENTARY INFORMATION: consistent with the memorandum of
VerDate Sep<11>2014 15:58 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00017 Fmt 4700 Sfmt 4700 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES 7814 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations
January 20, 2021, from the Assistant to to http://www.regulations.gov. Follow Organ Procurement Organizations the President and Chief of Staff, entitled the ‘‘Submit a comment’’ instructions. Conditions for Coverage: Revisions to ‘‘Regulatory Freeze Pending Review.’’ 2. By regular mail. You may mail the Outcome Measure Requirements for written comments to the following Norris Cochran, Organ Procurement Organizations; Final address ONLY: Centers for Medicare & rule’’ (85 FR 77898). The December Acting Secretary, Department of Health and Medicaid Services, Department of Human Services. 2020 final rule revises the Organ Health and Human Services, Attention: Procurement Organizations Conditions [FR Doc. 2021–02181 Filed 1–29–21; 11:15 am] CMS-3380–F2, P.O. Box 8010, BILLING CODE 4120–01–P for Coverage to increase donation rates Baltimore, MD 21244–8010. and organ transplantation rates by Please allow sufficient time for mailed replacing the current outcome measures DEPARTMENT OF HEALTH AND comments to be received before the with new transparent, reliable, and close of the comment period. HUMAN SERVICES objective outcome measures and 3. By express or overnight mail. You increasing competition for open may send written comments to the Centers for Medicare & Medicaid donation service areas. The effective Services following address ONLY: Centers for Medicare & Medicaid Services, date of that rule, except for amendment number 3, which would have been 42 CFR Part 486 Department of Health and Human Services, Attention: CMS-3380–F2, Mail February 1, 2021, is now March 30, [CMS–3380–F2] Stop C4–26–05, 7500 Security 2021. We are also providing a 30-day RIN 0938–AU02 Boulevard, Baltimore, MD 21244–1850. public comment period. The 60-day For information on viewing public delay in effective date is necessary to Medicare and Medicaid Programs; comments, see the beginning of the give Department officials the Organ Procurement Organizations SUPPLEMENTARY INFORMATION section. opportunity for further review of the Conditions for Coverage: Revisions to FOR FURTHER INFORMATION CONTACT: issues of fact, law, and policy raised by the Outcome Measure Requirements Diane Corning, (410) 786–8486; Jesse this rule. In addition, this action for Organ Procurement Organizations; Roach, (410) 786–1000; Kristin Shifflett, provides a comment period on the Public Comment Period; Delay of (410) 786–4133; CAPT James Cowher, policies set out in the December 2, 2020 Effective Date (410) 786–1948; or Alpha-Banu Wilson, final rule to allow interested parties to AGENCY: Centers for Medicare & (410) 786–8687. provide comments about issues of fact, Medicaid Services (CMS), Health and SUPPLEMENTARY INFORMATION: law and policy raised by the rule. Human Services (HHS). Inspection of Public Comments: All II. Response to Comments ACTION: Final rule; public comment comments received before the close of period; delay of effective date. the comment period are available for Because of the large number of public viewing by the public, including any comments we normally receive on SUMMARY: In accordance with the personally identifiable or confidential Federal Register documents, we are not memorandum of January 20, 2021, from business information that is included in able to acknowledge or respond to them the Assistant to the President and Chief a comment. We post all comments individually. We will consider all of Staff, entitled ‘‘Regulatory Freeze received before the close of the Pending Review,’’ this action comments we receive by the date and comment period on the following time specified in the DATES section of temporarily delays for 60 days the website as soon as possible after they effective date of part of the final rule this preamble, and, when we proceed have been received: http:// with a subsequent document, we will entitled, ‘‘Medicare and Medicaid www.regulations.gov. Follow the search respond to the comments in the Programs; Organ Procurement instructions on that website to view preamble to that document. Organizations Conditions for Coverage: public comments. CMS will not post on Revisions to the Outcome Measure Regulations.gov public comments that Norris Cochran, Requirements for Organ Procurement make threats to individuals or Organizations; Final rule’’ published in Acting Secretary, Department of Health and institutions or suggest that the Human Services. the Federal Register on December 2, individual will take actions to harm the [FR Doc. 2021–02180 Filed 1–29–21; 11:15 am] 2020. We are also providing an individual. CMS continues to encourage BILLING CODE 4120–01–P additional 30-day public comment individuals not to submit duplicative period. comments. We will post acceptable DATES: The February 1, 2021, effective comments from multiple unique date of the rule amending 42 CFR part commenters even if the content is 486, published at 85 FR 77898 on identical or nearly identical to other December 2, 2020, is delayed to March comments. 30, 2021. Comment date: To be assured I. Background consideration, comments must be The January 20, 2021 memorandum received at one of the addresses from the Assistant to the President and provided below, by March 4, 2021. Chief of Staff, entitled ‘‘Regulatory ADDRESSES: In commenting, please refer Freeze Pending Review,’’ instructed to file code CMS–3380–F2. Federal agencies to delay the effective Comments, including mass comment date of rules published in the Federal submissions, must be submitted in one Register, but which have not yet taken of the following three ways (please effect, for a period of 60 days. On choose only one of the ways listed): December 2, 2020, we published a final 1. Electronically. You may submit rule in the Federal Register entitled electronic comments on this regulation ‘‘Medicare and Medicaid Programs;
VerDate Sep<11>2014 15:58 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00018 Fmt 4700 Sfmt 9990 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations 7815
DEPARTMENT OF HEALTH AND Assistant to the President and Chief of ■ 2. Section 1001.952 is amended by HUMAN SERVICES Staff, entitled ‘‘Regulatory Freeze adding paragraphs (h)(6) through (9), Pending Review,’’ instructed Federal (cc), and (dd) to read as follows: Office of Inspector General agencies to consider delaying the effective date of rules published in the § 1001.952 [Corrected] 42 CFR Part 1001 Federal Register, but which have not ■ 2. On page 76731, first column, § 1001.952 is corrected by removing ‘‘(5) RIN 0936–AA08 yet taken effect, for a period of 60 days from the date of the memorandum to * * * ’’, and the text of paragraphs (vi) Fraud and Abuse; Removal of Safe permit review of the rule. This action is through (viii). consistent with that memorandum Harbor Protection for Rebates § 1001.952 [Corrected] Involving Prescription insofar as the Department has decided ■ Pharmaceuticals and Creation of New to review the rule at issue, and needs 3. On page 76731, third column, add Safe Harbor Protection for Certain time to determine what additional amendatory instruction 3 to read as Point-of-Sale Reductions in Price on action, if any, is appropriate. follows: Prescription Pharmaceuticals and The Department also has good cause 3. Effective January 1, 2022, Certain Pharmacy Benefit Manager to delay this rule’s effective date § 1001.952 is amended by revising Service Fees without advance notice and comment paragraphs (h)(5)(vi) and (vii) and under 5 U.S.C. 553(b)(B) because of the adding paragraph (h)(5)(viii) to read as AGENCY: Office of Inspector General pendency of litigation challenging the follows: (OIG), Health and Human Services final rule, and the Department’s interest § 1001.952 Exceptions. (HHS). in evaluating its position in that ACTION: Final rule; delay of effective litigation. The litigation includes both * * * * * date; correction. procedural and substantive challenges (h) * * * to the rule and its effective date. Though (5) * * * SUMMARY: In accordance with the the provisions of the rule being delayed (vi) Services provided in accordance memorandum of January 20, 2021, from by this notice do not fully overlap with with a personal or management services the Assistant to the President and Chief the provisions at issue in the pending contract; of Staff, entitled ‘‘Regulatory Freeze litigation, the intersections between the (vii) Other remuneration, in cash or in Pending Review,’’ and given the rule’s various provisions and the overall kind, not explicitly described in this pendency of litigation, Pharmaceutical regulatory framework are complex. HHS paragraph (h)(5); or Care Management Association v. U.S. intends to evaluate those interactions as (viii) A reduction in price or other Department of Health and Human part of its regulatory review process, but remuneration in connection with the Services, et al., Civil Action No. 21–95 needs additional time to do so beyond sale or purchase of a prescription (JDB) (D.D.C.), challenging the final rule, the current effective date of January 29, pharmaceutical product from a this action temporarily delays for 60 2021. manufacturer to a plan sponsor under days from the date of the memorandum Accordingly, this final rule delays the Medicare Part D either directly to the the effective date of certain amendments effective date of certain portions of the plan sponsor under Medicare Part D, or as promulgated by the final rule titled safe harbor regulation concerning indirectly through a pharmacy benefit ‘‘Fraud and Abuse; Removal of Safe discounts for prescription manager acting under contract with a Harbor Protection for Rebates Involving pharmaceutical products at 42 CFR plan sponsor under Medicare Part D, Prescription Pharmaceuticals and 1001.952. The effective date of new unless it is a price reduction or rebate Creation of New Safe Harbor Protection paragraphs (h)(6) through (9), (cc), and that is required by law. for Certain Point-of-Sale Reductions in (dd) of that rule, which would have * * * * * Price on Prescription Pharmaceuticals been January 29, 2021, is now March 22, and Certain Pharmacy Benefit Manager 2021. The temporary delay in the Norris Cochran, Service Fees,’’ published in the effective date of this final rule is Acting Secretary. November 30, 2020, Federal Register. necessary to give Department officials [FR Doc. 2021–02132 Filed 1–29–21; 8:45 am] This document announces that the the opportunity for further review and BILLING CODE 4152–01–P effective date for the certain provisions consideration of the revisions to of the final rule is delayed until March paragraphs (h)(5)(vi) and (viii), as well 22, 2021, the first business day after 60 as the addition of new paragraphs days from the date of the memorandum. DEPARTMENT OF COMMERCE (h)(5)(iii), (6) through (9), (cc), and (dd) This document also corrects a technical of 42 CFR 1001.952, consistent with the National Oceanic and Atmospheric error in the amendatory instructions. memorandum of January 20, 2021. Administration DATES: As of January 29, 2021, the Separately, November 2020 final rule effective date of the amendments to 42 contained a technical error in the 50 CFR Part 622 CFR 1001.952 (h)(6) through (9), (cc), amendatory instructions that would and (dd) published at 85 FR 76666, [Docket No. 160426363–7275–02; RTID have prevented the Office of the Federal 0648–XA837] November 30, 2020, is delayed until Register from properly incorporating the March 22, 2021. amendments to § 1001.952 into the CFR. Coastal Migratory Pelagic Resources This correction is effective as of This document also corrects that error. March 22, 2021. The amendatory of the Gulf of Mexico and Atlantic ■ In FR 2020–25841 (85 FR 76666), instructions in FR 2020–25841 (85 FR Region; 2020–2021 Closure of published on November 30, 2020, the 76666), published on November 30, Commercial Run-Around Gillnet for following corrections are made: 2020 is corrected. King Mackerel FOR FURTHER INFORMATION CONTACT: § 1001.952 [Corrected] AGENCY: National Marine Fisheries Aaron Zajic, (202) 619–0335. ■ 1. On page 76730, third column, Service (NMFS), National Oceanic and SUPPLEMENTARY INFORMATION: The instruction 2 (including a. and b.) is Atmospheric Administration (NOAA), January 20, 2021 memorandum from the corrected to read as follows: Commerce.
VerDate Sep<11>2014 15:58 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00019 Fmt 4700 Sfmt 4700 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES 7816 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations
ACTION: Temporary rule; closure. mackerel is 575,400 lb (260,997 kg) 622.388(a)(1), which was issued during the fishing year from July 1, pursuant to section 304(b) of the SUMMARY: NMFS implements an 2020, through June 30, 2021 (50 CFR Magnuson-Stevens Act, and is exempt accountability measure (AM) through 622.384(b)(1)(iii)(B)). from review under Executive Order this temporary rule for commercial Regulations at 50 CFR 622.388(a)(1) 12866. harvest of king mackerel in the southern require NMFS to close any component Pursuant to 5 U.S.C. 553(b)(B), there zone of the Gulf of Mexico (Gulf) of the king mackerel commercial sector is good cause to waive prior notice and exclusive economic zone (EEZ) using when its applicable quota has been an opportunity for public comment on run-around gillnet gear. NMFS has reached, or is projected to be reached, this action, as notice and comment is determined that the commercial annual by filing a notification to that effect with unnecessary and contrary to the public catch limit (ACL) for king mackerel the Office of the Federal Register. NMFS interest. Such procedures are using run-around gillnet gear in the has determined that for the 2020–2021 unnecessary because the regulations southern zone of the Gulf EEZ has been fishing year, the commercial quota for associated with the commercial quota reached. Therefore, NMFS closes the Gulf king mackerel on vessels using run- and associated AM for Gulf king southern zone to commercial king around gillnet gear in the southern zone mackerel have already been subject to mackerel fishing using run-around has been reached. Accordingly, notice and public comment, and all that gillnet gear in the Gulf EEZ on January commercial fishing using such gear in remains is to notify the public of the 28, 2021. This closure is necessary to the southern zone is closed at 12 p.m. closure. Prior notice and opportunity for protect the Gulf king mackerel resource. local time on January 28, 2021, until 6 public comment on this action is DATES: The closure is effective from 12 a.m. local time on January 18, 2022, the contrary to the public interest because p.m. local time on January 28, 2021, beginning of the next fishing season, of the need to immediately implement until 6 a.m. local time on January 18, i.e., the day after the 2022 Martin Luther the closure to protect the Gulf king 2022. King, Jr. Federal holiday. Vessel mackerel resource. The capacity of the operators that have been issued a FOR FURTHER INFORMATION CONTACT: fishing fleet allows for rapid harvest of Federal commercial permit to harvest Kelli O’Donnell, NMFS Southeast the commercial quota, and any delay in Gulf king mackerel using run-around Regional Office, telephone: 727–824– the closure could result in the gillnet gear in the southern zone must 5305, email: [email protected]. commercial quota being exceeded. Prior have landed ashore and bartered, notice and opportunity for public SUPPLEMENTARY INFORMATION: The traded, or sold such king mackerel prior fishery for coastal migratory pelagic fish comment would require time and would to 12 p.m. local time on January 28, potentially result in a harvest that in the Gulf includes king mackerel, 2021. Spanish mackerel, and cobia, and is exceeds the commercial quota. Persons aboard a vessel using hook- For the aforementioned reasons, there managed under the Fishery and-line gear in the southern zone for is good cause under 5 U.S.C. 553(d)(3) Management Plan for the Coastal which a Federal commercial permit for to waive the 30-day delay in Migratory Pelagic Resources of the Gulf Gulf king mackerel has been issued, effectiveness of this action. of Mexico and Atlantic Region (FMP). except persons aboard such a vessel also The FMP was prepared by the Gulf of issued a Federal commercial permit to Authority: 16 U.S.C. 1801 et seq. Mexico and South Atlantic Fishery harvest Gulf king mackerel using run- Dated: January 27, 2021. Management Councils and is around gillnet gear, may fish for or Jennifer M. Wallace, implemented by NMFS under the retain Gulf king mackerel unless the Acting Director, Office of Sustainable authority of the Magnuson-Stevens southern zone commercial quota for Fisheries, National Marine Fisheries Service. Fishery Conservation and Management hook-and-line gear has been met and the [FR Doc. 2021–02134 Filed 1–28–21; 4:15 pm] Act (Magnuson-Stevens Act) by hook-and-line component of the BILLING CODE 3510–22–P regulations at 50 CFR part 622. All commercial sector has been closed. In weights for Gulf migratory group king addition, as long as the recreational mackerel (Gulf king mackerel) apply as sector for Gulf king mackerel is open (50 DEPARTMENT OF COMMERCE either round or gutted weight. CFR 622.384(e)(1)), a person aboard a The commercial fishery for Gulf king vessel that has a valid Federal National Oceanic and Atmospheric mackerel is divided into western, commercial gillnet permit for king Administration northern, and southern zones. The mackerel may continue to retain king southern zone for Gulf king mackerel mackerel under the recreational bag and 50 CFR Part 679 encompasses an area of the Gulf EEZ off possession limits set forth in 50 CFR Collier and Monroe Counties in south [Docket No. 200221–0062; RTID 0648– 622.382(a)(1)(ii) and (a)(2). XA780] Florida, which is the EEZ south of a line During the commercial closure, Gulf extending due west from the boundary king mackerel harvested using run- Fisheries of the Exclusive Economic of Lee and Collier Counties on the around gillnet gear in the southern zone Zone Off Alaska; Pacific Cod by Florida west coast, and south of a line may not be purchased or sold. This Vessels Using Pot Gear in the Central extending due east from the boundary of prohibition does not apply to Gulf king Regulatory Area of the Gulf of Alaska Monroe and Miami-Dade Counties on mackerel harvested using run-around the Florida east coast (50 CFR gillnet gear in the southern zone that AGENCY: National Marine Fisheries 622.369(a)(1)(iii)). were harvested, landed ashore, and sold Service (NMFS), National Oceanic and The commercial ACL for Gulf king prior to the closure and were held in Atmospheric Administration (NOAA), mackerel is divided into separate ACLs cold storage by a dealer or processor (50 Commerce. for hook-and-line and run-around CFR 622.384(e)(2)). ACTION: Temporary rule; closure. gillnet gear. The use of run-around gillnets for king mackerel is restricted to Classification SUMMARY: NMFS is prohibiting directed the Gulf southern zone. The commercial NMFS issues this action pursuant to fishing for Pacific cod by vessels using gillnet quota (equivalent to the section 305(d) of the Magnuson-Stevens pot gear in the Central Regulatory Area commercial gillnet ACL) for Gulf king Act. This action is required by 50 CFR of the Gulf of Alaska (GOA). This action
VerDate Sep<11>2014 15:58 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00020 Fmt 4700 Sfmt 4700 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations 7817
is necessary to prevent exceeding the A an opportunity for public comment on Plan for Groundfish of the Bering Sea season allowance of the 2021 total this action, as notice and comment and Aleutian Islands Management Area allowable catch (TAC) of Pacific cod by would be impracticable and contrary to (FMP) prepared by the North Pacific vessels using pot gear in the Central the public interest, as it would prevent Fishery Management Council under Regulatory Area of the GOA. NMFS from responding to the most authority of the Magnuson-Stevens DATES: This inseason action became recent fisheries data in a timely fashion Fishery Conservation and Management applicable at 1200 hours, Alaska local and would delay the closure of Pacific Act. Regulations governing fishing by time (A.l.t.), January 22, 2021, and cod by vessels using pot gear in the U.S. vessels in accordance with the FMP remains in effect through 1200 hours, Central Regulatory Area of the GOA. appear at subpart H of 50 CFR part 600 A.l.t., June 10, 2021. NMFS was unable to publish a notice and 50 CFR part 679. providing time for public comment FOR FURTHER INFORMATION CONTACT: The A season apportionment of the Obren Davis, 907–586–7228. because the most recent, relevant data only became available as of January 19, 2021 Pacific cod TAC allocated to SUPPLEMENTARY INFORMATION: NMFS 2021. catcher vessels greater than or equal to manages the groundfish fishery in the 60 feet (18.3 m) LOA using pot gear in Authority: 16 U.S.C. 1801 et seq. GOA exclusive economic zone the BSAI is 4,761 metric tons (mt) as according to the Fishery Management Dated: January 27, 2021. established by the final 2020 and 2021 Plan for Groundfish of the Gulf of Jennifer M. Wallace, harvest specifications for groundfish in Alaska (FMP) prepared by the North Acting Director, Office of Sustainable the BSAI (85 FR 13553, March 9, 2020) Pacific Fishery Management Council Fisheries, National Marine Fisheries Service. and inseason adjustment (85 FR 83473, under authority of the Magnuson- [FR Doc. 2021–02121 Filed 1–28–21; 4:15 pm] December 22, 2020). Stevens Fishery Conservation and BILLING CODE 3510–22–P Management Act. Regulations governing In accordance with § 679.20(d)(1)(iii), fishing by U.S. vessels in accordance the Administrator, Alaska Region, with the FMP appear at subpart H of 50 DEPARTMENT OF COMMERCE NMFS (Regional Administrator), has CFR part 600 and 50 CFR part 679. determined that the A season The A season allowance of the 2021 National Oceanic and Atmospheric apportionment of the 2021 Pacific cod Pacific cod TAC apportioned to vessels Administration TAC allocated as a directed fishing using pot gear in the Central Regulatory allowance to catcher vessels greater than Area of the GOA is 1,808 metric tons 50 CFR Part 679 or equal to 60 feet (18.3 m) LOA using (mt) as established by the final 2020 and [Docket No. 200227–0066; RTID 0648– pot gear in the BSAI will soon be 2021 harvest specifications for XA771] reached. Consequently, NMFS is groundfish in the GOA (85 FR 13802, prohibiting directed fishing for Pacific March 10, 2020) and inseason Fisheries of the Exclusive Economic cod by catcher vessels greater than or adjustment (85 FR 83834, December 23, Zone Off Alaska; Pacific Cod by equal to 60 feet (18.3 m) LOA using pot 2020). Catcher Vessels Greater Than or Equal gear in the BSAI. In accordance with § 679.20(d)(1)(i), to 60 Feet Length Overall Using Pot the Regional Administrator has Gear in the Bering Sea and Aleutian While this closure is effective the determined that the A season allowance Islands Management Area maximum retainable amounts at of the 2021 Pacific cod TAC § 679.20(e) and (f) apply at any time apportioned to vessels using pot gear in AGENCY: National Marine Fisheries during a trip. the Central Regulatory Area of the GOA Service (NMFS), National Oceanic and Classification will soon be reached. Therefore, the Atmospheric Administration (NOAA), Commerce. Regional Administrator is establishing a NMFS issues this action pursuant to ACTION: Temporary rule; closure. directed fishing allowance of 1,800 mt section 305(d) of the Magnuson-Stevens and is setting aside the remaining 8 mt SUMMARY: NMFS is prohibiting directed Act. This action is required by 50 CFR as bycatch to support other anticipated fishing for Pacific cod by catcher vessels part 679, which was issued pursuant to groundfish fisheries. In accordance with greater than or equal to 60 feet (18.3 section 304(b), and is exempt from § 679.20(d)(1)(iii), the Regional meters (m)) length overall (LOA) using review under Executive Order 12866. Administrator finds that this directed pot gear in the Bering Sea and Aleutian fishing allowance has been reached. Pursuant to 5 U.S.C. 553(b)(B), there Islands management area (BSAI). This is good cause to waive prior notice and Consequently, NMFS is prohibiting action is necessary to prevent exceeding directed fishing for Pacific cod by an opportunity for public comment on the A season apportionment of the 2021 this action, as notice and comment vessels using pot gear in the Central Pacific cod total allowable catch (TAC) would be impracticable and contrary to Regulatory Area of the GOA. allocated to catcher vessels greater than While this closure is effective the the public interest, as it would prevent or equal to 60 feet (18.3 m) LOA using maximum retainable amounts at NMFS from responding to the most pot gear in the BSAI. § 679.20(e) and (f) apply at any time recent fisheries data in a timely fashion DATES: This inseason action became during a trip. and would delay the closure of Pacific applicable at 1200 hours, Alaska local cod by catcher vessels greater than or Classification time (A.l.t.), January 21, 2021, and equal to 60 feet (18.3 m) LOA using pot NMFS issues this action pursuant to remains in effect through 1200 hours, A.l.t., September 1, 2021. gear in the BSAI. NMFS was unable to section 305(d) of the Magnuson-Stevens publish a notice providing time for FOR FURTHER INFORMATION CONTACT: Act. This action is required by 50 CFR public comment because the most part 679, which was issued pursuant to Krista Milani, 907–581–2062. recent, relevant data only became section 304(b), and is exempt from SUPPLEMENTARY INFORMATION: NMFS available as of January 19, 2021. review under Executive Order 12866. manages the groundfish fishery in the Pursuant to 5 U.S.C. 553(b)(B), there BSAI exclusive economic zone Authority: 16 U.S.C. 1901 et seq. is good cause to waive prior notice and according to the Fishery Management
VerDate Sep<11>2014 15:58 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00021 Fmt 4700 Sfmt 4700 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES 7818 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations
Dated: January 27, 2021. DATES: This inseason action became cod by catcher vessels less than 60 feet Jennifer M. Wallace, applicable at 1200 hours, Alaska local (18.3 m) LOA using hook-and-line or Acting Director, Office of Sustainable time (A.l.t.), January 26, 2021, and pot gear in the BSAI. Fisheries, National Marine Fisheries Service. remains in effect through 1200 hours, While this closure is effective the [FR Doc. 2021–02127 Filed 1–29–21; 8:45 am] A.l.t., December 31, 2021. maximum retainable amounts at BILLING CODE 3510–22–P FOR FURTHER INFORMATION CONTACT: § 679.20(e) and (f) apply at any time Krista Milani, 907–581–2062. during a trip. SUPPLEMENTARY INFORMATION: NMFS DEPARTMENT OF COMMERCE manages the groundfish fishery in the Classification BSAI exclusive economic zone National Oceanic and Atmospheric according to the Fishery Management NMFS issues this action pursuant to Administration Plan for Groundfish of the Bering Sea section 305(d) of the Magnuson-Stevens and Aleutian Islands Management Area Act. This action is required by 50 CFR 50 CFR Part 679 (FMP) prepared by the North Pacific part 679, which was issued pursuant to [Docket No. 200227–0066; RTID 0648– Fishery Management Council under section 304(b), and is exempt from XA783] authority of the Magnuson-Stevens review under Executive Order 12866. Fishery Conservation and Management Pursuant to 5 U.S.C. 553(b)(B), there Fisheries of the Exclusive Economic Act. Regulations governing fishing by is good cause to waive prior notice and Zone Off Alaska; Pacific Cod by U.S. vessels in accordance with the FMP Catcher Vessels Less Than 60 Feet an opportunity for public comment on appear at subpart H of 50 CFR part 600 this action, as notice and comment (18.3 Meters) Length Overall Using and 50 CFR part 679. Hook-and-Line or Pot Gear in the would be impracticable and contrary to The 2021 Pacific cod TAC allocated to the public interest, as it would prevent Bering Sea and Aleutian Islands catcher vessels less than 60 feet (18.3 m) Management Area NMFS from responding to the most LOA using hook-and-line or pot gear in recent fisheries data in a timely fashion the BSAI is 3,122 metric tons as AGENCY: National Marine Fisheries and would delay the closure of Pacific established by the final 2020 and 2021 Service (NMFS), National Oceanic and cod by catcher vessels less than 60 feet harvest specifications for groundfish in Atmospheric Administration (NOAA), (18.3 m) LOA using hook-and-line or the BSAI (85 FR 13553, March 9, 2020), Commerce. pot gear in the BSAI. NMFS was unable inseason adjustment (85 FR 83473, ACTION: Temporary rule; closure. to publish a notice providing time for December 22, 2020), and reallocation public comment because the most SUMMARY: NMFS is prohibiting directed (86 FR 1301, January 8, 2021). fishing for Pacific cod by catcher vessels In accordance with § 679.20(d)(1)(iii), recent, relevant data only became less than 60 feet (18.3 meters (m)) length the Administrator, Alaska Region, available as of January 25, 2021. overall (LOA) using hook-and-line or NMFS (Regional Administrator), has Authority: 16 U.S.C. 1901 et seq. pot gear in the Bering Sea and Aleutian determined that the 2021 Pacific cod Dated: January 27, 2021. Islands management area (BSAI). This TAC allocated as a directed fishing action is necessary to prevent exceeding allowance to catcher vessels less than 60 Jennifer M. Wallace, the 2021 Pacific cod total allowable feet (18.3 m) LOA using hook-and-line Acting Director, Office of Sustainable catch (TAC) allocated to catcher vessels or pot gear in the BSAI will soon be Fisheries, National Marine Fisheries Service. less than 60 feet (18.3 m) LOA using reached. Consequently, NMFS is [FR Doc. 2021–02133 Filed 1–29–21; 8:45 am] hook-and-line or pot gear in the BSAI. prohibiting directed fishing for Pacific BILLING CODE 3510–22–P
VerDate Sep<11>2014 15:58 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00022 Fmt 4700 Sfmt 9990 E:\FR\FM\02FER1.SGM 02FER1 jbell on DSKJLSW7X2PROD with RULES 7819
Proposed Rules Federal Register Vol. 86, No. 20
Tuesday, February 2, 2021
This section of the FEDERAL REGISTER INFORMATION CONTACT section of this B. Submitting Comments contains notices to the public of the proposed document. The NRC encourages electronic issuance of rules and regulations. The • Email comments to: comment submission through the purpose of these notices is to give interested [email protected]. If you persons an opportunity to participate in the Federal Rulemaking Website (https:// rule making prior to the adoption of the final do not receive an automatic email reply www.regulations.gov). Please include rules. confirming receipt, then contact us at Docket ID NRC–2015–0017 in your 301–415–1677. comment submission. For additional direction on obtaining The NRC cautions you not to include NUCLEAR REGULATORY information and submitting comments, identifying or contact information that COMMISSION see ‘‘Obtaining Information and you do not want to be publicly Submitting Comments’’ in the disclosed in your comment submission. 10 CFR Parts 30 and 32 SUPPLEMENTARY INFORMATION section of The NRC will post all comment [Docket No. NRC–2015–0017] this document. submissions at https:// FOR FURTHER INFORMATION CONTACT: www.regulations.gov as well as enter the RIN 3150–AJ54 Alexa Sieracki, Office of Nuclear comment submissions into ADAMS. Material Safety and Safeguards, U.S. The NRC does not routinely edit Items Containing Byproduct Material comment submissions to remove Incidental to Production Nuclear Regulatory Commission, Washington, DC 20555–0001; telephone: identifying or contact information. If you are requesting or aggregating AGENCY: Nuclear Regulatory 301–415–7509; email: Alexa.Sieracki@ comments from other persons for Commission. nrc.gov. submission to the NRC, then you should ACTION: Regulatory basis; request for SUPPLEMENTARY INFORMATION: inform those persons not to include comment. I. Obtaining Information and identifying or contact information that SUMMARY: The U.S. Nuclear Regulatory Submitting Comments they do not want to be publicly Commission (NRC) is requesting disclosed in their comment submission. A. Obtaining Information comment on a regulatory basis to Your request should state that the NRC support developing a rulemaking that Please refer to Docket ID NRC–2015– does not routinely edit comment would amend its regulations by adding 0017 when contacting the NRC about submissions to remove such information a new class exemption from licensing the availability of information for this before making the comment and associated distribution action. You may obtain publicly- submissions available to the public or requirements. This new class exemption available information related to this entering the comment into ADAMS. would create a path for licensing current action by any of the following methods: II. Discussion and future products that contain • Federal Rulemaking Website: Go to To facilitate early stakeholder byproduct material incidental to their https://www.regulations.gov and search engagement on the rulemaking process, production. The rulemaking would for Docket ID NRC–2015–0017. the NRC is requesting comment on a resolve a petition for rulemaking (PRM), • NRC’s Agencywide Documents regulatory basis to support a rulemaking PRM–30–65, submitted by GE Access and Management System that would amend (1) part 30 of title 10 Osmonics, Inc. on April 18, 2011, (ADAMS): You may obtain publicly- of the Code of Federal Regulations (10 requesting changes to the regulations to available documents online in the CFR), ‘‘Rules of General Applicability to allow commercial distribution and ADAMS Public Documents collection at Domestic Licensing of Byproduct redistribution of polycarbonate track https://www.nrc.gov/reading-rm/ Material,’’ by adding a new class etched membranes. adams.html. To begin the search, select exemption from licensing requirements DATES: Submit comments by April 5, ‘‘Begin Web-based ADAMS Search.’’ For for items containing byproduct material 2021. Comments received after this date problems with ADAMS, please contact incidental to their production, and (2) will be considered if it is practical to do the NRC’s Public Document Room (PDR) 10 CFR part 32, ‘‘Specific Domestic so, but the NRC is able to ensure reference staff at 1–800–397–4209, 301– Licenses to Manufacture or Transfer consideration only for comments 415–4737, or by email to Certain Items Containing Byproduct received before this date. [email protected]. For the Material,’’ licensing requirements for ADDRESSES: You may submit comments convenience of the reader, instructions distribution of those items. by any of the following methods; about obtaining materials referenced in The regulatory basis is developed as however, the NRC encourages electronic this document are provided in the a precursor to a proposed rule and comment submission through the ‘‘Availability of Documents’’ section. describes the NRC’s preferred approach Federal Rulemaking Website: • Attention: The Public Document for resolving PRM–30–65. The • Federal Rulemaking Website: Go to Room (PDR), where you may examine rulemaking would close the regulatory https://www.regulations.gov and search and order copies of public documents is gap for these irradiated products, create for Docket ID NRC–2015–0017. Address currently closed. You may submit your appropriate criteria for evaluating questions about NRC dockets to Dawn request to the PDR via email at public health and safety impacts of Forder; telephone: 301–415–3407; [email protected] or call 1–800– these products, reduce burden on email: [email protected]. For 397–4209 between 8:00 a.m. and 4:00 existing licensees, and provide technical questions, contact the p.m. (EST), Monday through Friday, consistency for regulating products individual(s) listed in the FOR FURTHER except Federal holidays. within this class.
VerDate Sep<11>2014 16:27 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00001 Fmt 4702 Sfmt 4702 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS 7820 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Proposed Rules
The NRC will consider any comments III. Plain Writing published June 10, 1998 (63 FR 31883). received on the regulatory basis in the The NRC requests comment on this development of the proposed and final The Plain Writing Act of 2010 (Pub. document with respect to the clarity and rule and will provide responses to L. 111–274) requires Federal agencies to effectiveness of the language used. write documents in a clear, concise, and comments on the regulatory basis in the IV. Availability of Documents associated Federal Register notification well-organized manner. The NRC has publishing the proposed rule for public written this document to be consistent The documents identified in the comment. with the Plain Writing Act as well as the following table are available to Presidential Memorandum, ‘‘Plain interested persons through one or more Language in Government Writing,’’ of the following methods, as indicated.
ADAMS accession No./web link/ Document Federal Register citation
Regulatory Basis for Items Containing Byproduct Material Incidental to Production, January ML20339A400. 13, 2021. Petition for Rulemaking Submitted by Annette User on Behalf of GE Osmonics (Consider- 77 FR 56793. ation in the Rulemaking Process), September 14, 2012. GE Osmonics, Inc., Polymer Track Etch Membrane 10 CFR 32.14—Manufacturer and Dis- ML120800277. tribution Product Safety Information, March 20, 2012. GE Osmonics, Inc., Environmental Report—Polymer Track Etch Membrane—10 CFR 30.15, ML120800264. March 20, 2012. NRC Consumer Product Policy Statement, January 16, 2014 ...... 79 FR 2907. Petition for Rulemaking Submitted by Annette User on Behalf of GE Osmonics, April 18, ML120250133. 2011. SECY–87–186A, Distribution of Radioactive Gems Irradiated in Reactors to Unlicensed Per- ML092400170. sons (Follow-up to SECY–87–186), October 5, 1987. Petition for Rulemaking Submitted by Annette User on Behalf of GE Osmonics (Receipt and 76 FR 36386. Request for Comment), June 22, 2011. Comment (1) of Benjamin Kerensa Opposing Petition for Rulemaking (PRM–30–65) Regard- ML11178A021. ing the NRC Amend Its Regulations Regarding the Commercial Distribution of Byproduct Material, June 24, 2011. Agreement State Program Policy Statement; Correction, October 18, 2017 ...... 82 FR 48535. Management Directive 5.3, Agreement State Participation in NRC Working Groups, June 22, ML18073A142. 2016. NUREG–1556, Volume 8, Revision 1, Consolidated Guidance about Materials Licenses: ML18158A165. Program-Specific Guidance About Exempt Distribution Licenses, June 2018. Strategic Plan: Fiscal Years 2018–2022, NUREG–1614, Volume 7, February 2018 ...... ML18032A561. International Atomic Energy Agency, OECD Nuclear Energy Agency, Radiation Safety for https://www.iaea.org/publications/10716/radiation- Consumer Products, IAEA Safety Standards Series No. SSG–36, January 2016. safety-for-consumer-products. International Atomic Energy Agency, IAEA Safety Standards Series, Radiation Protection https://www.iaea.org/publications/8930/radiation- and Safety of Radiation Sources: International Basic Safety Standards—General Safety protection-and-safety-of-radiation-sources-inter- Requirements Part 3 No. GSR Part 3, July 2014. national-basic-safety-standards.
The NRC may post documents related NUCLEAR REGULATORY allow nuclear power plant licensees, to this rulemaking activity to the COMMISSION and applicants for construction permits, Federal rulemaking website at https:// operating licenses, combined licenses, www.regulations.gov under Docket ID 10 CFR Part 50 standard design certifications, standard design approvals and manufacturing NRC–2015–0017. [NRC–2017–0025] licenses, to use the Code Cases listed in The Federal rulemaking website RIN 3150–AJ94 these draft regulatory guides as allows you to receive alerts when voluntary alternatives to engineering changes or additions occur in a docket Approval of American Society of standards for the construction, inservice folder. To subscribe: (1) Navigate to the Mechanical Engineers’ Code Cases inspection, and inservice testing of docket folder (NRC–2015–0017); (2) nuclear power plant components. The AGENCY: Nuclear Regulatory click the ‘‘Sign up for Email Alerts’’ NRC is requesting comments on this Commission. link; and (3) enter your email address proposed rule and on the draft versions and select how frequently you would ACTION: Proposed rule. of the three regulatory guides proposed like to receive emails (daily, weekly, or SUMMARY: The U.S. Nuclear Regulatory to be incorporated by reference. The monthly). Commission (NRC) is proposing to NRC is also making available a related Dated January 15, 2021. amend its regulations to incorporate by draft regulatory guide that lists Code For the Nuclear Regulatory Commission. reference proposed revisions of three Cases that the NRC has not approved for use. This draft regulatory guide will not John R. Tappert, regulatory guides, which would approve new, revised, and reaffirmed Code Cases be incorporated by reference into the Director, Division of Rulemaking, NRC’s regulations. Environmental, and Financial Support, Office published by the American Society of of Nuclear Material Safety and Safeguards. Mechanical Engineers. The NRC is also DATES: Submit comments on the [FR Doc. 2021–02158 Filed 2–1–21; 8:45 am] incorporating by reference one NRC proposed rule, documents to be NUREG associated with a proposed incorporated by reference, and related BILLING CODE 7590–01–P condition on one of the regulatory guidance by April 5, 2021. Submit guides. This proposed action would comments specific to the information
VerDate Sep<11>2014 16:27 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00002 Fmt 4702 Sfmt 4702 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Proposed Rules 7821
collections aspects of this rule by March email: [email protected]. Both are staff OM Code,’’ Revision 4 (DG–1368). The 4, 2021. Comments received after these of the U.S. Nuclear Regulatory NRC also proposes to incorporate by dates will be considered if it is practical Commission, Washington, DC 20555– reference NUREG–2228, ‘‘Weld Residual to do so, but the NRC is able to ensure 0001. Stress Finite Element Analysis consideration only of comments SUPPLEMENTARY INFORMATION: Validation: Part II—Proposed Validation received on or before these dates. Procedure,’’ which provides the ADDRESSES: You may submit comments Executive Summary procedure for validating the weld on the proposed rule, documents to be A. Need for the Regulatory Action residual stress analysis methodology incorporated by reference, and related The purpose of this regulatory action associated with ASME Code Case N– guidance by any of the following is to incorporate by reference into the 847. This proposed action would allow methods (unless this document NRC’s regulations the latest revisions of nuclear power plant licensees and describes a different method for three regulatory guides (RGs) (currently applicants for construction permits, submitting comments on a specific in draft form for comment). This operating licenses, combined licenses, subject): standard design certifications, standard • regulatory action is also incorporating Federal Rulemaking Website: Go to by reference one NRC report, NUREG– design approvals, and manufacturing https://www.regulations.gov and search 2228, that is associated with a proposed licenses to use the Code Cases newly for Docket ID NRC–2017–0025. Address conditon in one of the regulatory guides. listed in these revised RGs as voluntary questions about NRC dockets to Dawn NUREG–2228 was published for public alternatives to engineering standards for Forder; telephone: 301–415–3407; comment on September 13, 2018 (83 FR the construction, inservice inspections, email: [email protected]. For 46524). The three draft RGs identify and inservice testing of nuclear power technical questions contact the new, revised, and reaffirmed Code Cases plant components. The NRC also notes individuals listed in the FOR FURTHER published by the American Society of the availability of a proposed version of INFORMATION CONTACT section of this Mechanical Engineers (ASME), which RG 1.193, ‘‘ASME Code Cases Not document. the NRC has determined are acceptable Approved for Use,’’ Revision 7 (DG– • Email comments to: for use as voluntary alternatives to 1369). This document lists Code Cases [email protected]. If you compliance with certain provisions of that the NRC has not approved for do not receive an automatic email reply the ASME Boiler and Pressure Vessel generic use and will not be incorporated confirming receipt, then contact us at Code (BPV Code) and the ASME Code by reference into the NRC’s regulations. 301–415–1677. for Operation and Maintenance of • The NRC prepared a draft regulatory Mail comments to: Secretary, U.S. Nuclear Power Plants (OM Code) analysis to determine the expected Nuclear Regulatory Commission, currently incorporated by reference into Washington, DC 20555–0001, ATTN: the NRC’s regulations. quantitative costs and benefits of this Rulemakings and Adjudications Staff. proposed rule, as well as qualitative For additional direction on obtaining B. Major Provisions factors to be considered in the NRC’s information and submitting comments, The three draft RGs that the NRC rulemaking decision. The analysis see ‘‘Obtaining Information and proposes to incorporate by reference are concluded that this proposed rule Submitting Comments’’ in the RG 1.84, ‘‘Design, Fabrication, and would result in net savings to the SUPPLEMENTARY INFORMATION section of Materials Code Case Acceptability, industry and the NRC. As shown in this document. ASME Section III,’’ Revision 39 (Draft Table 1, the estimated total net benefit FOR FURTHER INFORMATION CONTACT: Juan Regulatory Guide (DG)–1366); RG 1.147, relative to the regulatory baseline and Lopez, Office of Nuclear Material Safety ‘‘Inservice Inspection Code Case the quantitative benefits outweigh the and Safeguards; telephone: 301–415– Acceptability, ASME Section XI, costs by a range from approximately 2338; email: [email protected]; or Division 1,’’ Revision 20 (DG–1367); and $5.19 million (7-percent net present Bruce Lin, Office of Nuclear Regulatory RG 1.192, ‘‘Operation and Maintenance value) to $6.20 million (3-percent net Research; telephone: 301–415–2446; [OM] Code Case Acceptability, ASME present value).
TABLE 1—COST BENEFIT SUMMARY
Total averted costs (costs) Attribute 7% Net 3% Net Undiscounted present value present value
Industry Implementation ...... $0 $0 $0 Industry Operation ...... 5,100,000 3,790,000 4,470,000
Total Industry Costs ...... 5,100,000 3,790,000 4,470,000 NRC Implementation ...... (430,000) (420,000) (420,000) NRC Operation ...... 2,460,000 1,820,000 2,150,000
Total NRC Costs ...... 2,030,000 1,400,000 1,730,000
Net ...... 7,130,000 5,190,000 6,200,000
The regulatory analysis also when making modifications or National Technology Transfer and considered the following qualitative preparing to perform inservice Advancement Act of 1995, which considerations: (1) Flexibility and inspection or inservice testing; (2) encourages Federal regulatory agencies decreased uncertainty for licensees consistency with the provisions of the to consider adopting voluntary
VerDate Sep<11>2014 16:27 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00003 Fmt 4702 Sfmt 4702 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS 7822 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Proposed Rules
consensus standards as an alternative to (ADAMS): You may obtain publicly- develops Code Cases that provide de novo agency development of available documents online in the voluntary alternatives to BPV and OM standards affecting an industry; (3) ADAMS Public Documents collection at Code requirements under special consistency with the NRC’s policy of https://www.nrc.gov/reading-rm/ circumstances. evaluating the latest versions of adams.html. To begin the search, select The NRC approves the ASME BPV consensus standards in terms of their ‘‘ADAMS Public Documents’’ and then and OM Codes in § 50.55a, ‘‘Codes and suitability for endorsement by select ‘‘Begin Web-based ADAMS standards,’’ of title 10 of the Code of regulations and regulatory guides; and Search.’’ For problems with ADAMS, Federal Regulations (10 CFR) through (4) consistency with the NRC’s goal to please contact the NRC’s Public the process of incorporation by harmonize with international standards Document Room (PDR) reference staff at reference. As such, each provision of the to improve regulatory efficiency for both 1–800–397–4209, 301–415–4737, or by ASME Codes incorporated by reference the NRC and international standards email to [email protected]. For the into and mandated by § 50.55a groups. convenience of the reader, instructions constitutes a legally-binding NRC The draft regulatory analysis about obtaining materials referenced in requirement imposed by rule. As noted concludes that this proposed rule this document are provided in the previously, the ASME Code Cases, for should be adopted because it is justified ‘‘Availability of Documents’’ section. the most part, represent alternative • when integrating the cost-beneficial Attention: The PDR, where you may approaches for complying with quantitative results and the positive and examine and order copies of public provisions of the ASME BPV and OM supporting nonquantitative documents is currently closed. You may Codes. Accordingly, the NRC considerations in the decision. For more submit your request to the PDR via periodically amends § 50.55a to information, please see the regulatory email at [email protected] or call incorporate by reference the NRC’s RGs analysis (Agencywide Documents 1–800–397–4209 between 8:00 a.m. and listing approved ASME Code Cases that Access and Management System 4:00 p.m. (EST), Monday through may be used as voluntary alternatives to (ADAMS) Accession No. Friday, except Federal holidays. the BPV and OM Codes.2 ML20133K152). B. Submitting Comments This proposed rule is the latest in a series of rules that incorporate by Table of Contents Please include Docket ID NRC–2017– reference new versions of several RGs 0025 in your comment submission. I. Obtaining Information and Submitting identifying new, revised, and Comments The NRC cautions you not to include 3 A. Obtaining Information identifying or contact information that reaffirmed, and unconditionally or B. Submitting Comments you do not want to be publicly conditionally acceptable ASME Code II. Background disclosed in your comment submission. Cases that the NRC approves for use. In III. Discussion The NRC will post all comment developing these RGs, the NRC reviews A. Code Cases Proposed To Be Approved the ASME BPV and OM Code Cases, for Unconditional Use submissions at https:// www.regulations.gov as well as enter the determines the acceptability of each B. Code Cases Proposed To Be Approved Code Case, and publishes its findings in for Use With Conditions comment submissions into ADAMS. 1. ASME BPV Code, Section III Code Cases The NRC does not routinely edit the RGs. The RGs are revised (DG–1366/RG 1.84) comment submissions to remove periodically as new Code Cases are 2. ASME BPV Code, Section XI Code Cases identifying or contact information. published by the ASME. The NRC (DG–1367/RG 1.147) If you are requesting or aggregating incorporates by reference the RGs listing 3. OM Code Cases (DG–1368/RG 1.192) comments from other persons for acceptable and conditionally acceptable C. ASME Code Cases Not Approved for Use submission to the NRC, then you should ASME Code Cases into § 50.55a. The (DG–1369/RG 1.193) NRC published a final rule dated March IV. Section-by-Section Analysis inform those persons not to include V. Regulatory Flexibility Certification identifying or contact information that 16, 2020 (85 FR 14736) that VI. Regulatory Analysis they do not want to be publicly incorporated by reference into § 50.55a VII. Backfitting and Issue Finality disclosed in their comment submission. the most recent versions of the RGs, VIII. Plain Writing Your request should state that the NRC which are: RG 1.84, ‘‘Design, IX. Environmental Assessment and Proposed does not routinely edit comment Fabrication, and Materials Code Case Finding of No Significant Environmental submissions to remove such information Acceptability, ASME Section III,’’ Impact before making the comment Revision 38; RG 1.147, ‘‘Inservice X. Paperwork Reduction Act Statement Inspection Code Case Acceptability, XI. Voluntary Consensus Standards submissions available to the public or XII. Incorporation by Reference—Reasonable entering the comment into ADAMS. ASME Section XI, Division 1,’’ Revision Availability to Interested Parties 19; and RG 1.192, ‘‘Operation and XIII. Availability of Documents II. Background Maintenance Code Case Acceptability, The ASME develops and publishes ASME OM Code,’’ Revision 3. I. Obtaining Information and the ASME BPV Code, which contains Submitting Comments requirements for the design, 2 See Federal Register final rule, ‘‘Incorporation A. Obtaining Information construction, and inservice inspection by Reference of ASME BPV and OM Code Cases’’ examination of nuclear power plant (68 FR 40469; July 8, 2003). Please refer to Docket ID NRC–2017– 3 1 Code Cases are categorized by the ASME as one 0025 when contacting the NRC about components, and the ASME OM Code, of three types: new, revised, or reaffirmed. A new the availability of information for this which contains requirements for Code Case provides for a new alternative to specific action. You may obtain publicly- inservice testing of nuclear power plant the ASME Code provisions or addresses a new components. In response to BPV and need. The ASME defines a revised Code Case to be available information related to this a revision (modification) to an existing Code Case action by any of the following methods: OM Code user requests, the ASME to address, for example, technological • Federal Rulemaking Website: Go to advancements in examination techniques or to https://www.regulations.gov and search 1 The editions and addenda of the ASME Code for address NRC conditions imposed in one of the RGs for Docket ID NRC–2017–0025. Operation and Maintenance of Nuclear Power that have been incorporated by reference into • Plants have had different titles from 2005 to 2017, § 50.55a. The ASME defines ‘‘reaffirmed’’ as an OM NRC’s Agencywide Documents and are referred to as the ‘‘OM Code’’ collectively Code Case that does not have any change to Access and Management System in this rule. technical content, but includes editorial changes.
VerDate Sep<11>2014 16:27 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00004 Fmt 4702 Sfmt 4702 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Proposed Rules 7823
III. Discussion The following general guidance inservice inspection or inservice testing applies to the use of the ASME Code update. This proposed rule would incorporate Cases approved in the latest versions of by reference NUREG–2228 and the latest A licensee’s inservice inspection and the RGs that are incorporated by inservice testing programs must be revisions of the NRC’s RGs that list the reference into § 50.55a as part of this ASME BPV and OM Code Cases that the updated every 10 years to the latest proposed rule. Specifically, the use of edition and addenda of the ASME BPV NRC finds to be acceptable, or the Code Cases listed in the latest Code, Section XI, and the OM Code, acceptable with NRC-specified versions of RGs 1.84, 1.147, and 1.192 respectively, that were incorporated by conditions (‘‘conditionally acceptable’’). are acceptable with the specified reference into § 50.55a and in effect 18 Regulatory Guide 1.84, Revision 39 conditions when implementing the (DG–1366) would supersede the editions and addenda of the ASME BPV months prior to the start of the next incorporation by reference of Revision and OM Codes incorporated by inspection and testing interval. 38; RG 1.147, Revision 20 (DG–1367) reference in § 50.55a. Licensees that were using a Code Case would supersede the incorporation by The approval of a Code Case in the prior to the effective date of its revision reference of Revision 19; and RG 1.192, NRC’s RGs constitutes acceptance of its may continue to use the previous Revision 4 (DG–1368) would supersede technical position for applications that version for the remainder of the 120- the incorporation by reference of are not precluded by regulatory or other month inservice inspection or inservice Revision 3. requirements or by the testing interval. This relieves licensees The ASME Code Cases that are the recommendations in these or other RGs. of the burden of having to update their subject of this proposed rule are the new The applicant or licensee is responsible inservice inspection or inservice testing and revised Section III and Section XI for ensuring that use of the Code Case program each time a Code Case is Code Cases as listed in Supplements 0 does not conflict with regulatory revised by the ASME and approved for through 7 to the 2015 Edition of the requirements or licensee commitments. use by the NRC. Code Cases apply to ASME BPV Code, Supplements 0 The Code Cases listed in the RGs are specific editions and addenda, and Code through 7 to the 2017 Edition of the acceptable for use within the limits Cases may be revised if they are no ASME BPV Code, Supplements 0 and 1 specified in the Code Cases. If the RG longer accurate or adequate, so licensees to the 2019 Edition of the ASME BPV states an NRC condition on the use of choosing to continue using a Code Case Code, and the OM Code Cases listed in a Code Case, then the NRC condition during the subsequent inservice the 2020 Edition of the ASME OM Code. supplements and does not supersede inspection or inservice testing interval any condition(s) specified in the Code must implement the latest version The latest editions and addenda of the Case, unless otherwise stated in the ASME BPV and OM Codes that the NRC incorporated by reference into § 50.55a NRC condition. and listed in the RGs. has approved for use are referenced in The ASME Code Cases may be revised § 50.55a. The ASME also publishes for many reasons (e.g., to incorporate The ASME may annul Code Cases that Code Cases that provide alternatives to operational examination and testing are no longer required, are determined existing Code requirements that the experience and to update material to be inaccurate or inadequate, or have ASME developed and approved. This requirements based on research results). been incorporated into the BPV or OM proposed rule would incorporate by On occasion, an inaccuracy in an Codes. A Code Case may be revised, for reference the most recent revisions of equation is discovered or an example, to incorporate user experience. RGs 1.84, 1.147, and 1.192, which allow examination, as practiced, is found not The older or superseded version of the nuclear power plant licensees, and to be adequate to detect a newly Code Case cannot be applied by the applicants for combined licenses, discovered degradation mechanism. licensee or applicant for the first time. standard design certifications, standard Therefore, when an applicant or a If an applicant or a licensee applied design approvals, and manufacturing licensee initially implements a Code a Code Case before it was listed as licenses under the regulations that Case, § 50.55a requires that the superseded, the applicant or the govern license certifications, to use the applicant or the licensee implement the Code Cases listed in these RGs as licensee may continue to use the Code most recent version of that Code Case, Case until the applicant or the licensee suitable alternatives to the ASME BPV as listed in the RGs incorporated by updates its construction Code of Record and OM Codes for the construction, reference. Code Cases superseded by (in the case of an applicant, updates its inservice inspections, and inservice revision are no longer acceptable for application) or until the licensee’s 120- testing of nuclear power plant new applications unless otherwise components. Because the NRC is indicated. month inservice inspection or inservice proposing to require the use of NUREG– Section III of the ASME BPV Code testing update interval expires, after 2228, ‘‘Weld Residual Stress Finite applies to new construction (i.e., the which the continued use of the Code Element Analysis Validation: Part II— edition and addenda to be used in the Case is prohibited unless NRC Proposed Validation Procedure,’’ within construction of a plant are selected authorization is given under § 50.55a(z). a condition on Code Case N–847, the based on the date of the construction If a Code Case is incorporated by NRC is also incorporating by reference permit and are not changed thereafter, reference into § 50.55a and later a NUREG–2228. The ASME publishes the except voluntarily by the applicant or revised version is issued by the ASME OM Code Cases and lists the Code Cases the licensee). Hence, if a Section III because experience has shown that the in the ASME OM Code edition. In Code Case is implemented by an design analysis, construction method, contrast, the ASME publishes BPV Code applicant or a licensee and a later examination method, or testing method Cases in a separate document and at a version of the Code Case is incorporated is inadequate, the NRC will amend different time than the ASME BPV Code by reference into § 50.55a and listed in § 50.55a and the relevant RG to remove Editions. This proposed rule identifies the RG, the applicant or licensee may the approval of the superseded Code the Code Cases by the edition of the use either version of the Code Case Case. Applicants and licensees should ASME BPV Code or ASME OM Code (subject, however, to whatever change not begin to implement such superseded under which they were published by the requirements apply to its licensing basis Code Cases in advance of the ASME. (e.g., § 50.59)) until the next mandatory rulemaking.
VerDate Sep<11>2014 16:27 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00005 Fmt 4702 Sfmt 4702 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS 7824 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Proposed Rules
A. Code Cases Proposed To Be Cases in which the NRC is not listing the applicable Code Case that the Approved for Unconditional Use proposing any conditions. The table NRC proposes to approve for use. The Code Cases discussed in Table I identifies the draft regulatory guide are new, revised, or reaffirmed Code
TABLE I—ACCEPTABLE CODE CASES
Published with Code Case No. supplement Title
Boiler and Pressure Vessel Code Section III (addressed in DG–1366, Table 1)
N–249–17 ...... 0 (2019 Edition) ...... Additional Materials for Subsection NF, Classes 1, 2, 3, and MC Supports Fabricated with- out Welding, Section III, Division 1. N–539–1 ...... 0 (2017 Edition) ...... UNS N08367 in Class 2 and 3 Valves, Section III, Division 1. N–692–1 ...... 6 (2015 Edition) ...... Use of Standard Welding Procedures, Section III, Division 1. N–721–1 ...... 5 (2017 Edition) ...... Alternative Rules for Linear Piping Supports, Section III, Division 1. N–801–3 ...... 1 (2017 Edition) ...... Rules for Repair of N-Stamped Class 1, 2, and 3 Components, Section III, Division 1. N–822–4 ...... 7 (2015 Edition) ...... Application of the ASME Certification Mark, Section III, Divisions 1, 2, 3, and 5. N–855 ...... 2 (2015 Edition) ...... SB–148 C95800 Valves for Class 3 Construction, Section III, Division 1. N–856 ...... 2 (2015 Edition) ...... SA–494 Grade CW–12MW (UNS N30002) Nickel Alloy Castings for Construction of NPS 21⁄2 and Smaller Flanged Valves for Class 3 Construction, Section III, Division 1. N–859 ...... 5 (2015 Edition) ...... Construction of ASME B16.9 Wrought Buttwelding Fittings and ASME B16.11 Forged Fit- tings Made From SB–366 UNS N04400 Material for Section III, Class 3 Construction, Section III, Division 1. N–863–1 ...... 1 (2017 Edition) ...... Post Weld Heat Treatment (PWHT) of Valve Seal Welds for P4 and P5A Materials, Section III, Division 1. N–866 ...... 0 (2017 Edition) ...... Alternative Materials for Construction of Section III, Class 2 Vessels, Section III, Division 1. N–870–1 ...... 4 (2017 Edition) ...... Rules for the Elimination of External Surface Defects on Class 1, 2, and 3 Piping, Pumps, or Valves After Component Stamping and Prior to Completion of the N–3 Data Report, Section III, Division 1. N–879 ...... 1 (2017 Edition) ...... Use of Micro-Alloyed Carbon Steel Bar in Patented Mechanical Joints and Fittings, Classes 1, 2, and 3, Section III, Division 1. N–884 ...... 0 (2019 Edition) ...... Procedure to Determine Strain Rate for Use with the Environmental Fatigue Design Curve Method and the Environmental Fatigue Correction Factor, Fen, Method as Part of an En- vironmental Fatigue Evaluation for Components Analyzed per the NB–3200 Rules, Sec- tion III, Division 1. N–887 ...... 6 (with errata issued in Alternatives to the Requirements of NB–4424.2(a), Figure NB–4250–2, and Figure NB– 3/19E). 4250–3, Section III, Division 1. N–891 ...... 0 (2019 Edition) ...... Alternative Requirements to Appendix XXVI, XXVI–2400, XXVI–4130, and XXVI–4131 for Inspection and Repair of Indentations for Polyethylene Pipe and Piping Components, Section III, Division 1.
Boiler and Pressure Vessel Code Section XI (addressed in DG–1367, Table 1)
N–561–3 ...... 0 (2019 Edition) ...... Alternative Requirements for Wall Thickness Restoration of Class 2 and High Energy Class 3 Carbon Steel Piping, Section XI, Division 1. N–638–10 ...... 1 (2019 Edition) ...... Similar and Dissimilar Metal Welding Using Ambient Temperature Machine GTAW Temper Bead Technique, Section XI, Division 1. N–653–2 ...... 2 (2015 Edition) ...... Qualification Requirements for Full Structural Overlaid Wrought Austenitic Piping Welds, Section XI, Division 1. N–702–1 ...... 1 (2019 Edition) ...... Alternative Requirements for Boiling Water Reactor (BWR) Nozzle Inner Radius and Noz- zle-to-Shell Welds, Section XI, Division 1. N–716–2 ...... 0 (2017 Edition) ...... Alternative Piping Classification and Examination Requirements, Section XI, Division 1. N–768 ...... 0 (2019 Edition) ...... Alternative Volumetric Coverage Requirements for Ultrasonic Examination of Class 1 and 2 Pressure Vessel Weld Joints Greater Than 2 in. (50 mm) in Thickness, Section XI, Divi- sion 1. N–786–3 ...... 1 (2017 Edition) ...... Alternative Requirements for Sleeve Reinforcement of Class 2 and 3 Moderate Energy Carbon Steel Piping, Section XI, Division 1. N–789–3 ...... 1 (2017 Edition) ...... Alternative Requirements for Pad Reinforcement of Class 2 and 3 Moderate Energy Car- bon Steel Piping for Raw Water Service, Section XI, Division 1. N–809 ...... 2 (2015 Edition) ...... Reference Fatigue Crack Growth Rate Curves for Austenitic Stainless Steels in Pressur- ized Reactor Water Environments, Section XI, Division 1. N–845–1 ...... 6 (2015 Edition) ...... Qualification Requirements for Bolts and Studs, Section XI, Division 1. N–848–1 ...... 0 (2017 Edition) ...... Alternative Characterization Rules for Quasi-Laminar Flaws, Section XI, Division 1. N–851 ...... 0 (2015 Edition) ...... Alternate Method for Establishing the Reference Temperature for Pressure Retaining Mate- rials, Section XI, Division 1. N–858 ...... 2 (2017 Edition) ...... Alternative Volumetric Coverage Requirements for Ultrasonic Examination of Class 1 Noz- zle-to-Vessel Welds, Section XI, Division 1. N–865 ...... 2 (2017 Edition) ...... Alternative Requirements for Pad Reinforcement of Class 2 and 3 Atmospheric Storage Tanks, Section XI, Division 1. N–867 ...... 0 (2017 Edition) ...... Clarification of NDE Practical Examination Requirements, Section XI, Division 1. N–873 ...... 1 (2017 Edition) ...... Examination Requirements for the Core Makeup Tanks, Section XI, Division 1.
VerDate Sep<11>2014 16:27 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00006 Fmt 4702 Sfmt 4702 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Proposed Rules 7825
TABLE I—ACCEPTABLE CODE CASES—Continued
Published with Code Case No. supplement Title
N–874 ...... 7 (2017 Edition) ...... Temporary Acceptance of Leakage Through Brazed Joints of Class 3 Copper, Copper- Nickel, and Nickel-Copper Moderate Energy Piping, Section XI, Division 1. N–877 ...... 2 (2017 Edition) ...... Alternative Characterization Rules for Multiple Subsurface Radially Oriented Planar Flaws, Section XI, Division 1. N–882 ...... 6 (2017 Edition) ...... Alternative Requirements for Attaching Nonstructural Electrical Connections to Class 2 and 3 Components, Section XI, Division 1. N–885 ...... 0 (2019 Edition) ...... Alternative Requirements for Table IWB–2500–1, Examination Category B–N–1, Interior of Reactor Vessel, Category B–N–2, Welded Core Support Structures and Interior Attach- ments to Reactor Vessels, Category B–N–3, Removable Core Support Structures, Sec- tion XI, Division 1. N–892 ...... 0 (2019 Edition) ...... Alternative Requirement for Form OAR–1, Owner’s Activity Report, Completion Time, Sec- tion XI, Division 1.
Operation and Maintenance Code (addressed in DG–1368, Table 1)
OMN–13, Revision 3 ... 2020 Edition ...... Performance-Based Requirements for Extending Snubber Inservice Visual Examination In- terval at LWR Power Plants. OMN–15, Revision 3 ... 2020 Edition ...... Performance-Based Requirements for Extending the Snubber Operational Readiness Test- ing Interval at LWR Power Plants. OMN–17, Revision 1 ... 2020 Edition ...... Alternative Requirements for Testing ASME Class 1 Pressure Relief/Safety Valves. OMN–22 ...... 2020 Edition ...... Smooth Running Pumps. OMN–23 ...... 2020 Edition ...... Alternative Requirements for Testing Pressure Isolation Valves. OMN–24 ...... 2020 Edition ...... Alternative Requirements for Testing ASME Class 2 and 3 Pressure Relief Valves (For Re- lief Valves in a Group of One). OMN–25 ...... 2020 Edition ...... Alternative Requirements for Testing Appendix I Pressure Relief Valves. OMN–26 ...... 2020 Edition ...... Alternate Risk-Informed and Margin Based Rules for Inservice Testing of Motor Operated Valves. OMN–27 ...... 2020 Edition ...... Alternative Requirements for Testing Category A Valves (Non-PIV/CIV).
B. Code Cases Approved for Use With limit or clarify their requirements. The Code Cases and the reasons for the Conditions conditions would specify, for each NRC’s conditions. Notations indicate applicable Code Case, the additional the conditions duplicated from previous The NRC has determined that certain activities that must be performed, the versions of the RG. Code Cases, as issued by the ASME, are limits on the activities specified in the The NRC requests public comment on generally acceptable for use, but that the Code Case, and/or the supplemental these Code Cases and the proposed alternative requirements specified in information needed to provide clarity. those Code Cases must be supplemented These ASME Code Cases, listed in Table conditions. It should also be noted that in order to provide an acceptable level II, are included in Table 2 of DG–1366 this section only addresses those Code of quality and safety. Accordingly, the (RG 1.84), DG–1367 (RG 1.147), and Cases for which the NRC proposes to NRC proposes to impose conditions on DG–1368 (RG 1.192). This section impose condition(s), which are listed in the use of these Code Cases to modify, provides the NRC’s evaluation of the the RG for the first time.
TABLE II—CONDITIONALLY ACCEPTABLE CODE CASES
Published with Code Case No. supplement Title
Boiler and Pressure Vessel Code Section III (addressed in DG–1366, Table 2)
N–71–20 ...... 6 (2015 Edition) ...... Additional Materials for Subsection NF, Class 1, 2, 3, and MC Supports Fabricated by Welding, Section III, Division 1. N–155–3 ...... 5 (2015 Edition) ...... Fiberglass Reinforced Thermosetting Resin Pipe, Section III, Division 1. N–755–4 ...... 1 (2017 Edition) ...... Use of Polyethylene (PE) Class 3 Plastic Pipe, Section III, Division 1. N–779 ...... 9 (2007 Edition) ...... Alternative Rules for Simplified Elastic-Plastic Analysis Class 1, Section III, Division 1. N–852 ...... 0 (2015 Edition) ...... Application of the ASME NPT Stamp, Section III, Divisions 1, 2, 3, and 5. N–883 ...... 5 (2017 Edition) ...... Construction of Items Prior to the Establishment of a Section III, Division 1 Owner, Section III, Division 1. N–886 ...... 6 (2017 Edition) ...... Use of Polyethylene Pipe for Class 3, Section III, Division 1.
Boiler and Pressure Vessel Code Section XI (addressed in DG–1367, Table 2)
N–513–5 ...... 6 (2017 Edition) ...... Evaluation Criteria for Temporary Acceptance of Flaws in Moderate Energy Class 2 or 3 Piping and Gate Valves, Section XI, Division 1. N–516–5 ...... 6 (2015 Edition) ...... Underwater Welding, Section XI, Division 1.
VerDate Sep<11>2014 16:27 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00007 Fmt 4702 Sfmt 4702 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS 7826 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Proposed Rules
TABLE II—CONDITIONALLY ACCEPTABLE CODE CASES—Continued
Published with Code Case No. supplement Title
N–705–1 ...... 2 (2017 Edition) ...... Evaluation Criteria for Temporary Acceptance of Degradation in Moderate Energy Class 2 or 3 Vessels and Tanks, Section XI, Division 1. N–766–3 ...... 2 (2017 Edition) ...... Nickel Alloy Reactor Coolant Inlay and Onlay for Mitigation of PWR Full Penetration Cir- cumferential Nickel Alloy Dissimilar Metal Welds in Class 1 Items, Section XI, Division 1. N–831–1 ...... 7 (2017 Edition) ...... Ultrasonic Examination in Lieu of Radiography for Welds in Ferritic or Austenitic Pipe, Sec- tion XI, Division 1. N–847 ...... 0 (2017 Edition) ...... Partial Excavation and Deposition of Weld Metal for Mitigation of Class 1 Items, Section XI, Division 1. N–864 ...... 2 (2017 Edition) ...... Reactor Vessel Threads in Flange Examinations, Section XI, Division 1. N–869 ...... 6 (2017 Edition) ...... Evaluation Criteria for Temporary Acceptance of Flaws in Class 2 or 3 Piping, Section XI, Division 1. N–876 ...... 2 (2017 Edition) ...... Austenitic Stainless Steel Cladding and Nickel Base Cladding Using Ambient Temperature Automatic or Machine Dry Underwater Laser Beam Welding (ULBW) Temper Bead Technique, Section XI, Division 1. N–878 ...... 1 (2017 Edition) ...... Alternative to QA Program Requirements of IWA–4142, Section XI, Division 1. N–880 ...... 2 (2017 Edition) ...... Alternative to Procurement Requirements of IWA–4143 for Small Nonstandard Welded Fit- tings, Section XI, Division 1. N–889 ...... 7 (2017 Edition) ...... Reference Stress Corrosion Crack Growth Rate Curves for Irradiated Austenitic Stainless Steel in Light-Water Reactor Environments, Section XI, Division 1. N–890 ...... 0 (2019 Edition) ...... Materials Exempted From G–2110(b) Requirement, Section XI, Division 1.
Operation and Maintenance Code (addressed in DG–1368, Table 2)
OMN–1, Revision 2 ..... 2020 Edition ...... Alternative Rules for Preservice and Inservice Testing of Active Electric Motor-Operated Valve Assemblies in Light-Water Reactor Power Plants. OMN–3 ...... 2020 Edition ...... Requirements for Safety Significance Categorization of Components Using Risk Insights for Inservice Testing of LWR Power Plants. OMN–4 ...... 2020 Edition ...... Requirements for Risk Insights for Inservice Testing of Check Valves at LWR Power Plants. OMN–9 ...... 2020 Edition ...... Use of a Pump Curve for Testing. OMN–12 ...... 2020 Edition ...... Alternative Requirements for Inservice Testing Using Risk Insights for Pneumatically and Hydraulically Operated Valve Assemblies in Light-Water Reactor Power Plants (OM- Code 1998, Subsection ISTC). OMN–18 ...... 2020 Edition ...... Alternate Testing Requirements for Pumps Tested Quarterly Within ±20% of Design Flow. OMN–19 ...... 2020 Edition ...... Alternative Upper Limit for the Comprehensive Pump Test. OMN–20 ...... 2020 Edition ...... Inservice Test Frequency.
1. ASME BPV Code, Section III Code conditions on N–155–2 that were when the polyethylene piping is used in Cases (DG–1366/RG 1.84) approved by the NRC in Revision 38 of Class 3 safety-related applications. RG 1.84. When the ASME revised N– Code Case N–71–20 [Supplement 6, Code Case N–779 [Supplement 9, 2007 155–2, the Code Case was not modified 2015 Edition] Edition] in a way that would make it possible for Type: Revised. the NRC to remove the conditions. Title: Additional Materials for Type: New. Therefore, the conditions would be Subsection NF, Class 1, 2, 3, and MC Title: Alternative Rules for Simplified retained in Revision 39 of RG 1.84. Supports Fabricated by Welding, Elastic-Plastic Analysis Class 1, Section Section III, Division 1. Code Case N–755–4 [Supplement 1, III, Division 1. The proposed conditions on Code 2017 Edition] The NRC finds the Code Case Case N–71–20 are the same as the satisfactory and technically acceptable conditions on N–71–19 that were Type: Revised. for use only with code editions Summer approved by the NRC in Revision 38 of Title: Use of Polyethylene (PE) Class 1979 and later. This Code Case, as RG 1.84. When the ASME revised N–71, 3 Plastic Pipe, Section III, Division 1. written, is not acceptable for use with the Code Case was not modified in a This Code Case is applicable only to editions of Section III earlier than the way that would make it possible for the Summer 1979 edition, which included NRC to remove the conditions. butt fusion joints and the content was incorporated into Mandatory Appendix the term Delta T1 in NB–3600 Equation Therefore, the conditions would be 10, because the Code Case is based on retained in Revision 39 of RG 1.84. XXVI in 2015 Edition of Section III of the ASME Code. The relevant equations used in the Summer 1979 Code Case N–155–3 [Supplement 5, provisions of Code Case N–755–4 are edition and later editions of the Code. 2015 Edition] the same as those in Mandatory Code Case N–852 [Supplement 0, 2015 Type: Revised. Appendix XXVI. Therefore, the NRC is Edition] Title: Fiberglass Reinforced applying the same conditions to Code Thermosetting Resin Pipe, Section III, Case N–755–4. The NRC has determined Type: New. Division 1. that these conditions are necessary to Title: Application of the ASME NPT The proposed conditions on Code ensure structural integrity of the Stamp, Section III, Divisions 1, 2, 3, and Case N–155–3 are the same as the polyethylene piping and fusion joints 5.
VerDate Sep<11>2014 16:27 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00008 Fmt 4702 Sfmt 4702 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Proposed Rules 7827
The NRC approved this Code Case III of the ASME Code. The 2015 Edition Other licensees have similarly with conditions in a § 50.55a of Appendix XXVI contains misinterpreted the augmented rulemaking issued in 2017 (82 FR requirements for butt fusion joints for examination provisions in Section 5 of 32934, Sept. 18, 2017), and the buried piping. The 2017 Edition of N–513–3. The NRC found that the issue supplement was not modified in a way Appendix XXVI contains requirements stems from the definition of the terms that would make it possible for the NRC for butt fusion and electrofusion joints ‘‘flaw’’ and ‘‘significant flaw’’ in to remove the conditions. Therefore, the for buried piping. Therefore, all the Sections 5(b) and 5(c) of N–513–3, NRC is including a condition that this conditions as noted in Section III of the respectively. The NRC, therefore, Code Case can only be used for the 2015–2017 Code Edition rule related to proposes two conditions to define service life of a component that had the buried piping Mandatory Appendix ‘‘flaw’’ and ‘‘significant flaw’’ as those horizontally arranged NPT Code Symbol XXVI apply to this Code Case. The same terms are used in Section 5 of N–513– Stamp applied during the time period conditions as buried piping also apply 5. Licensees would be required to apply from January 1, 2005, through December to above ground application. Two these definitions to Section 5 when 31, 2015. additional conditions are needed for using the Code Case. above ground applications, one on fire The first proposed condition defines a Code Case N–883 [Supplement 5, 2017 ‘‘flaw’’ as a non-through-wall planar or Edition] protection and one on carbon black distribution to protect from windows nonplanar flaw with a wall thickness Type: New. and delamination. A condition on fire less than 87.5 percent of the nominal Title: Construction of Items Prior to protection is needed because wall thickness of the pipe or the design the Establishment of a Section III, polyethylene material is combustible minimum wall thickness. The NRC Division 1 Owner, Section III, Division and above ground uses are more notes that the pipe wall thickness at the 1. susceptible to fire hazards. In addition, time of the plant construction may This Code Case allows certificate a condition requiring homogeneous deviate from the nominal pipe wall holders to construct all items prior to carbon black distributiuon is needed thickness slightly as part of the establishment of an Owner. Code because experiments have shown that manufacturing process. The generally Case N–883 was developed to address inhomogeneous carbon black accepted deviation is 12.5 percent of the international stakeholders and identify distribution can lead to windows and nominal pipe wall thickness or the the ASME as a global standard delamination. design minimum wall thickness. development organization. The NRC’s The second proposed condition main concern is that without the 2. ASME BPV Code, Section XI Code defines ‘‘significant flaw’’ as any pipe designation of an Owner, the NRC Cases (DG–1367/RG 1.147) location that does not satisfy the would not be able to provide regulatory Code Case N–513–5 [Supplement 6, provisions of Section 3 of N–513–5 or if oversight of the ASME certificate holder 2017 Edition] any detected flaw that has a depth manufacturing the items, which is not greater than 75 percent of the pipe wall consistent with appendix B to 10 CFR Type: Revised. thickness. The NRC staff notes that the part 50 and the requirements in Title: Evaluation Criteria for criterion of the 75 percent wall § 50.55(a) for a basic component. During Temporary Acceptance of Flaws in thickness criterion originates from the discussions with the ASME staff on this Moderate Energy Class 2 or 3 Piping and provisions of IWC/IWD–3643 of the Code Case, it was determined that the Gate Valves, Section XI, Division 1. ASME Code, Section XI, which NRC would condition this Code Case Code Case N–513–5 contains prohibits a flaw that exceeds 75 percent based on regulatory oversight, as would provisions to permit temporary of the pipe wall thickness to remain in other regulatory bodies depending on acceptance of flaws, in moderate energy service. Under Section 5 of N–513–5, a each countries’ specific regulations. Class 2 or 3 piping, including elbows, planar flaw that exceeds 75 percent of This is evident as this Code Case pipe bends, reducers, expanders, branch the pipe wall thickness may remain in specifies that the ‘‘the items have been tees, and gate valves without performing service; however, the licensee must constructed by [ASME] Certificate a repair/replacement activity for a perform an augmented examination. Holders who are specifically authorized limited period. The Code Case contains Code Case N–516–5 [Supplement 6, by the Regulatory Authority having provisions regarding the scope, flaw 2015 Edition] jurisdiction over the Owner’s facility to characterization, periodic leakage construct items using this Case.’’ The monitoring, flaw evaluation, and Type: Revised. proposed condition, ‘‘This Code Case augmented examinations. The NRC Title: Underwater Welding, Section may be used for the construction of finds that the provisions of N–513–5 are XI, Division 1. items by a holder of a construction acceptable except for the augmented In the rulemaking for the 2009 permit, operating license, or combined examination provisions in Section 5 of Addenda through 2013 Editions of the license under 10 CFR part 50 or part the Code Case. ASME Code (82 FR 32934, Sept. 18, 52,’’ provides this specific regulatory When a licensee applies N–513–5 to 2017), the NRC-specified conditions that authorization thereby ensuring the disposition a through-wall leak or wall should be applied to Section XI, Article appropriate regulatory oversight. thinning in a piping system, Section 5 IWA–4660 when performing underwater of the Code Case requires augmented welding on irradiated materials. These Code Case N–886 [Supplement 6, 2017 examinations for flaws and significant conditions provide guidance on what Edition] flaws. The augmented examination level of neutron irradiation and/or Type: New. requirements in N–513–5 are the same helium content would require review Title: Use of Polyethylene Pipe for as in Code Case, N–513–3. and approval by the NRC because of the Class 3, Section III, Division 1. In 2018, the NRC found an instance impact of neutron fluence on This Code Case is applicable for the where a licensee misinterpreted the weldability. These conditions provide use of polyethylene pipe in Section III, provisions in Section 5 of N–513–3 and separate criteria for three generic classes Class 3, Division 1 above ground did not perform the required augmented of material: Ferritic material, austenitic applications. This Code Case refers to examinations to disposition a through- material other than P-No. 8 (e.g., nickel- Mandatory Appendix XXVI of Section wall leak in a service water system pipe. based alloys) and austenitic P-No. 8
VerDate Sep<11>2014 16:27 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00009 Fmt 4702 Sfmt 4702 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS 7828 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Proposed Rules
material (e.g., stainless steel alloys). would be retained in Revision 20 of RG the ASME BPV Code and the 2015 and These conditions are currently located 1.147. 2017 Editions of the ASME OM Code in § 50.55a(b)(2)(xii)(A) and (B). The remain applicable, and futher apply to Code Case N–847 [Supplement 0, 2017 conditions located in BWR design application of a partial arc Edition] § 50.55a(b)(2)(xii)(A) and (B) are EWR. These concerns are for the identical to the conditions that were Type: New. effectiveness of the repair through a imposed on Code Case N–516–4 that Title: Partial Excavation and weld residual stress calculation and were approved by the NRC in Revision Deposition of Weld Metal for Mitigation flaw growth analysis to confirm design 19 of RG 1.147. When the ASME revised of Class 1 Items, Section XI, Division 1. of the mitigation for the required N–516, the Code Case was not modified ASME Code Case N–847 provides inspection interval, non-destructive in a way that would make it possible for guidelines for a repair/mitigation examination uncertainty analysis of the the NRC to remove the conditions. process for welds. The process, as-found flaw remaining in the reactor Therefore, the conditions will be excavation and weld repair (EWR), coolant pressure boundary, and the retained in Revision 20 of RG 1.147 by removes susceptible material from the potential for further crack initiation or outside diameter of the pipe, and stating the provisions of growth. Therefore, the NRC requires, replaces it with more resistant weld § 50.55a(b)(2)(xii)(A) and (B) must be through the first condition, that material. This technique allows for the met when applying this Code Case. approval of the use of this Code Case is potential of two mitigation methods, the only for the application of the 360-degee Code Case N–705–1 [Supplement 2, use of more crack resistant material and EWR. 2017 Edition] the potential for compressive stresses on The second proposed condition is Type: Revised. the inside surface of the repaired/ related to Figure 1A and Figure 1B of Title: Evaluation Criteria for mitigated weld to arrest or prevent the Code Case. The NRC has experience Temporary Acceptance of Degradation cracking. Finally, the excavation can be with relief request submittals, where the in Moderate Energy Class 2 or 3 Vessels done 360-degrees around the weld or details associated with the configuration and Tanks, Section XI, Division 1. only for a partial arc of the weld. of the prep area, where the defect is The proposed condition on Code Case The Code Case would allow for being removed, have shown sharp N–705–1 is identical to the condition on application of this process to both BWR bottom edges and steep walls. This N–705 that was approved by the NRC in and PWR designs. However, the EWR geometry can result in welding issues, Revision 19 of RG 1.147. When the process, as defined in this code case, which could result in unfused material, ASME revised N–705, the Code Case has certain challenges addressing the leading to stress risers, which may was not modified in a way that would cracking mechanisms in these operating promote cracking. Therefore, the NRC make it possible for the NRC to remove enviornments and materials. In addition requires, through the second condition, the condition. Therefore, the condition the regulatory requirements or that the intersection points at the would be retained in Revision 20 of RG guidelines related to the Code Case vary interface between EWR metal and 1.147. depending on the design of the reactor. existing base metal must be rounded to For PWR designs, the inservice minimize stress concentration. Code Case N–766–3 [Supplement 2, inspection rules are provided by The third proposed condition is 2017 Edition] § 50.55a(g)(6)(ii)(F), which mandates the related to Section 2(d)(2) of the Code Type: Revised. implementation of a version of ASME Case which discusses the flaw Title: Nickel Alloy Reactor Coolant Code Case N–770. For BWR designs, the evaluations required for the design Inlay and Onlay for Mitigation of PWR inservice inspection guidelines are considerations of the EWR. In recent Full Penetration Circumferential Nickel provided by Generic Letter 88–01, ‘‘NRC testing conducted for the NRC Alloy Dissimilar Metal Welds in Class 1 Position on Intergranular Stress measurable stress corrosion cracking Items, Section XI, Division 1. Corrosion Cracking (IGSCC) in BWR (SCC) growth was detected past the The proposed conditions on Code Austenitic Stainless Steel Piping’’ or interface between the SCC-susceptible Case N–766–3 are identical to the BWRVIP–75–A, ‘‘BWR Vessel and and less susceptible material. It was conditions on N–766–1 that were Internals Project Technical Basis for demonstrated that the crack can branch approved by the NRC in Revision 19 of Revisions to Generic Letter 88–01 and propagate in a direction normal to RG 1.147. When the ASME revised N– Inspection Schedules.’’ Therefore, the the original direction along a SCC- 766, the Code Case was not modified in NRC is proposing six conditions to susceptible path. In the Alloy 52M a way that would make it possible for ensure the inservice inspection deposited onto Alloy 182 specimens the NRC to remove the conditions. frequency guidelines of the code case tested, this occurred in the diluted Therefore, the conditions would be are inline with the previous region of the Alloy 52M material as well retained in Revision 20 of RG 1.147. requirements and guidance, which are as the weld metal. Therefore, the NRC based on the effectiveness of the overall requires, through the third condition, Code Case N–831–1 [Supplement 7, design of the repair/mitigation to that flaw analysis include the potential 2017 Edition] address the various cracking for crack growth through the dilution Type: Revised. mechanisms of these operating reactor zone. As NRC-approved crack growth Title: Ultrasonic Examination in Lieu designs. rates are not available for all material of Radiography for Welds in Ferritic or The first proposed condition is a types (e.g., Alloy 690 weld material), the Austenitic Pipe, Section XI, Division 1. continuation of the condition of alternative requirements for The proposed condition on Code Case § 50.55a(g)(6)(ii)(F)(16) which requires development of crack growth rates N–831–1 is identical to the condition on that a partial arc EWR, as described in should be consistent with ASME N–831 that was approved by the NRC in Inspection Item O of ASME Code Case Section XI Appendix C, ‘‘Flaw Growth Revision 19 of RG 1.147. When ASME N–770–5, cannot be used without NRC Rate Due to Stress Corrosion Cracking,’’ revised N–831, the Code Case was not review and approval for PWR designs. C–3220(a). modified in a way that would make it The NRC notes that the issues addressed The fourth proposed condition is possible for the NRC to remove the in the final rule incorporating by related to Section 2 of the Code Case. condition. Therefore, the condition reference the 2015 and 2017 Editions of The NRC is requiring the use of
VerDate Sep<11>2014 16:27 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00010 Fmt 4702 Sfmt 4702 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Proposed Rules 7829
NUREG–2228, ‘‘Weld Residual Stress uninspected for the remainder of plant of such requests to two subsequent Finite Element Analysis Validation: Part life. Therefore, the NRC requires the inservice inspection intervals because II—Proposed Validation Procedure,’’ long term volumetric inspection of these the NRC has determined that complete because it provides a proven method for welds at each 10-year inservice elimination of the examinations does validating the weld residual stress inspection interval. The NRC notes that not provide adequate protection against analysis methodology. Because the NRC this condition is consistent with the long-term degradation of the threads-in- requires the use of NUREG–2228 within NRC condition established in § 50.55a flange. The NRC is proposing conditions this condition on the requirements in for Inspection Item N–1 EWRs (EWR on the use of Code Case N–864 that are the Code Case, the NRC is incorporating that meets stress criteria; however, a consistent with the limits the NRC has by reference NUREG–2228 into crack is present). placed on similar alternatives requests. § 50.55a(a)(3)(iv). The sixth condition is related to Table The first proposed condition in Code The fifth condition is related to the 1, Note (1), and the option to use an Case N–864 requires that the reactor longer term volumetric inspection unspecified alternative to determine pressure vessel threads-in-flange frequencies of Table 1, including notes examination frequencies and scope examinations (ASME Section XI, (1), (3), and (4). These notes provide the expansion criteria. Note (1) specifies the Examination Category B–G–1, Item No. BWR design inspection frequency of use of NRC Generic Letter 88–01 and B6.40) must be performed in at least various EWR types based on Generic includes BWRVIP–75–A as an example every third 10-year ISI interval. The first Letter 88–01 (1988) as supplemented by of an alternative. The NRC has proposed condition also limits the Generic Letter 88–01, Supplement 1 concluded that NRC Generic Letter 88– application of Code Case N–864 at (1992), ‘‘NRC Position on Intergranular 01, (1988) as supplemented by Generic facilities that have been authorized Stress Corrosion Cracking (IGSCC) in Letter 88–01, Supplement 1 (1992), or under 10 CFR 50.55a(z) to use BWR Austenitic Stainless Steel Piping’’ BWRVIP–75–A, represent sufficient alternatives that eliminate reactor or BWRVIP–75–A, ‘‘BWR Vessel and requirements, subject to the fifth pressure vessel threads-in-flange Internals Project Technical Basis for condition above, to determine examinations to ensure that the required Revisions to Generic Letter 88–01 examination frequencies and scope examination is performed at least every Inspection Schedules.’’ The NRC has expansion criteria. However, Note (1) third 10-year inservice inspection concluded that the inspection would allow the use of other, unknown interval. requirements for EWRs for BWRs need alternatives and does not provide The second proposed condition in to be augmented. criteria to ensure alternatives are Code Case N–864 ensures that sufficient The first volumetric examination adequate for this purpose. Therefore, to monitoring and maintenance activities following application of BWR EWR–2A, ensure that licensees use an adequate are performed when the Code Case is EWR–1B, and EWR–2B welds is standard to determine examination applied. performed to verify effectiveness of the frequencies and scope expansion repair/mitigation before the new weld criteria, the sixth condition requires that Code Case N–869 [Supplement 6, 2017 can be placed in a longer term licensees must not use an alternative Edition] volumetric inspection frequency. The other than those specified in Note (1). Type: New. Code Case allows licensees the option of performing this examination during the Code Case N–864 [Supplement 2, 2017 Title: Evaluation Criteria for first or second refueling outage after Edition] Temporary Acceptance of Flaws in installation. However, based on the Type: New. Class 2 or 3 Piping, Section XI, Division lower operating temperatures of a BWR Title: Reactor Vessel Threads in 1. (approximately 546 degree F to 558 Flange Examinations, Section XI, Code Case N–869 contains provisions degree F), and hence the potential slow Division 1. for temporary acceptance of flaws, crack growth rate of the remaining flaw Code Case N–864 proposes to including through-wall flaws in Class 2 left in service, the NRC has concluded eliminate the required ASME Code, or 3 piping including elbows, pipe that the examination should occur Section XI examination for the reactor bends, reducers, and branch tees, whose during the second refueling outage after vessel threads-in-flange for all inservice maximum operating pressure is greater the EWR application to provide inspection intervals. The NRC has than 275 psig, and does not exceed 600 adequate time for any potential previously granted alternatives under psig, without performing a repair/ measurable flaw growth to occur or in § 50.55a(z) that eliminate the reactor replacement activity. The Code Case the case of an EWR–2A, for crack pressure vessel threads-in-flange contains provisions regarding the scope, initiation and growth to occur. examinations (ASME Section XI, flaw characterization, periodic leakage The long term volumetric inspections Examination Category B–G–1, Item No. monitoring, flaw evaluation, and for BWRs require modification because: B6.40) for up to two inservice augmented examinations. The NRC (a) For EWR–1A EWRs, the augmented inspection intervals through the NRC’s finds that the Code Case provides inspection requirements are consistent alternative request process. For reasonable assurance that structural with the conditions of the inspection alternatives that requested elimination integrity of degraded piping will be frequencies of Code Case N–770–5. of the examination for a second maintained until the next scheduled These inspection frequency consecutive ten-year inservice refueling outage. However, the NRC requirements were previously inspection interval, the NRC has been finds that the augmented examination developed by the NRC based on the requesting additional information on provisions in Section 5 of the Code Case capabilities of the EWR process to activities performed to ensure that the are inadequate and need additional address stress corrosion cracking while condition of the reactor pressure vessel requirements. providing significant credit for the use threads-in-flange receives some level of When a licensee applies N–869 to of hydrogen water chemistry/noble monitoring. These activities typically disposition a through-wall leak or wall metal chemical addition controls; and have been care and maintenance of the thinning in a piping system, Section 5 (b) for EWR–1B EWRs, due to the design reactor vessel threads-in-flange (and of the Code Case requires augmented which would allow a crack to be left in studs) whenever the closure head is examinations for flaws and significant service, should not be allowed to go removed. The NRC has limited approval flaws. The augmented examination
VerDate Sep<11>2014 16:27 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00011 Fmt 4702 Sfmt 4702 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS 7830 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Proposed Rules
requirements in N–869 are the same as repair welding the irradiated stainless generally been considered to sufficiently in Code Case N–513–3. steel components inside the reactor limit the heat input to the base metal In 2018, the NRC found an instance vessel. Code Case N–876 provides an such that deleterious effects on the where a licensee misinterpreted the alternative to the cladding temper bead fracture toughness will not occur; provisions in Section 5 of N–513–3 and repair rules of Section XI, IWA–4400, therefore, impact testing of the base did not perform the required augmented which requires preheat and postweld metal is not necessary. The NRC notes examinations to disposition a through- heat treatment. This alternative that Code Case N–803, which is wall leak in a service water system pipe. establishes new rules governing ambient approved without conditions, allows Other licensees have similarly temperature temper bead cladding repair of ferritic base material using misinterpreted the augmented repairs using the ULBW process. nonferritic weld filler material based on examination provisions in Section 5 of The NRC is proposing two conditions welding procedure qualifications N–513–3. The NRC found that the issue on this Code Case. The first proposed performed using tensile tests, side stems from the definition of the terms condition that must be applied when bends, and impact tests, and could be ‘‘flaw’’ and ‘‘significant flaw’’ in performing ULBW on irradiated used to perform a cladding repair in Sections 5(b) and 5(c) of N–513–3, materials provides guidance on what which excavation into the base metal is respectively. The NRC, therefore, level of neutron irradiation and/or required. proposes two conditions to define helium content would require review ‘‘flaw’’ and ‘‘significant flaw’’ as those and approval by the NRC because of the Code Case N–878 [Supplement 1, 2017 terms are used in Section 5 of N–869. impact of neutron fluence on Edition] Licensees would be required to apply weldability. The second proposed Type: New. these definitions to Section 5 when condition limits the depth of the Title: Alternative to QA Program using the Code Case. cladding repair due to concerns with the Requirements of IWA–4142, Section XI, The first proposed condition defines a fracture toughness of the base metal. Division 1. ‘‘flaw’’ as a non-through-wall planar or The technical basis for imposing Code Case N–878 provides nonplanar flaw with a wall thickness conditions on the welding of irradiated alternatives to the quality assurance less than 87.5 percent of the nominal materials are that neutrons can generate requirements in IWA–4142 for wall thickness of the pipe or the design helium atoms within the metal lattice procurement of Class 1, 2, or 3 non- minimum wall thickness. The NRC through transmutation of various welded fittings. This Code Case notes that the pipe wall thickness at the isotopes of boron and/or nickel. At high addresses the testing and certification of time of the plant construction may temperatures, such as occurs during material used in the manufacture of deviate from the nominal pipe wall welding, these helium atoms rapidly non-welded fittings, but does not thickness slightly as part of diffuse though the metal lattice, address how the licensee must ensure manufacturing process. The generally coalescing and forming helium bubbles that the procured non-welded fittings accepted deviation is 12.5 percent of the at the grain boundaries. In sufficient meet the design and testing nominal pipe wall thickness or the concentration, these helium bubbles can requirements of the ASME Code, design minimum wall thickness. cause grain boundary cracking that Section III, NB/NC/ND–3671.7 for Class The second proposed condition occurs in the fusion zones and heat 1, 2, or 3 applications. Verification that defines ‘‘significant flaw’’ as any pipe affected zones during the heat-up/ the Section III requirements for the location that does not satisfy the cooldown cycle. design and testing of these non-welded provisions of Section 3 of N–869 or if The first proposed condition applies fittings have been met prior to use is any detected flaw that has a depth conditions already applicable to Code essential in ensuring the structural greater than 75 percent of the pipe wall Case N–516–5 ‘‘Underwater Welding integrity of these Class 1, 2 and 3 thickness. The NRC staff notes that the Section XI, Division 1,’’ that the systems is maintained. Therefore, the criterion of the 75 percent wall provisions of § 50.55a(b)(2)(xii)(A) and NRC is proposing conditions for the thickness criterion originates from the (B) must be met. This regulation licensee to verify the design and testing provisions of IWC/IWD–3643 of the provides limits on specific levels of activities associated with qualification ASME Code, Section XI, which prohibit neutron irradiation and/or helium of non-welded fittings required by a flaw that exceeds 75 percent of the content, above which welding is Section III, NB/NC/ND–3671.7 that are pipe wall thickness to remain in service. prohibited without prior NRC review performed by the fabricator. Under Section 5 of N–869, a planar flaw and approval. The NRC is proposing to Code Case N–880 [Supplement 2, 2017 that exceeds 75 percent of the pipe wall apply the same condition to uses of Edition] thickness may remain in service; Code Case N–876. however, the licensee needs to perform The second proposed condition is Type: New. an augmented examination. necessary because the Code Case does Title: Alternative to Procurement not require impact testing of the base Requirements of IWA–4143 for Small Code Case N–876 [Supplement 2, 2017 metal heat affected zone (HAZ) to verify Nonstandard Welded Fittings, Section Edition] adequate fracture toughness. The Code XI, Division 1. Type: New. Case allows the depth of the repair Code Case N–880 provides Title: Austenitic Stainless Steel cavity into the ferritic base metal to be alternatives to the material procurement Cladding and Nickel Base Cladding up to 1⁄4″. This would allow welding requirements of IWA–4142 and IWA– Using Ambient Temperature Automatic directly to the base metal, thus it will 4143 for small nonstandard welded or Machine Dry Underwater Laser Beam affect the fracture toughness of the base fittings. This Code Case does not Welding (ULBW) Temper Bead metal in the HAZ. Therefore, the NRC address how the licensee must ensure Technique, Section XI, Division 1. is proposing a condition restricting the the procured welded fittings meet the Some irradiated stainless steel reactor use of the Code Case to repairs where at design and testing requirements of the vessel internal components are least 1⁄8″ of cladding remains. The basis ASME Code, Section III, NB/NC/ND– susceptible to experiencing irradiation for the 1⁄8″ limit is that this amount of 3671.7 for Class 1, 2, or 3 applications. assisted stress corrosion cracking. Code austenitic material between the ferritic Verification that the Section III Case N–876 provides guidelines for base metal and the first weld layer has requirements for the design and testing
VerDate Sep<11>2014 16:27 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00012 Fmt 4702 Sfmt 4702 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Proposed Rules 7831
of these welded fittings have been met Section 4.7, the interpretation of their The second proposed condition states prior to use is essential in ensuring the significance is not consistent. For that at dose levels below 0.75 dpa, the structural integrity of these Class 1, 2 materials with yield strengths greater user must use the higher of the Code and 3 systems is maintained. Therefore, than 600 MPa (i.e., more highly- Case N–889 or the Section XI, the NRC is proposing conditions irradiated materials), the expected CGR Nonmandatory Appendix C, C–8520 requiring the licensee to verify the for a material with a yield strength in CGR predictions. This condition design and testing activities associated the 95th percentile is less than two addresses the NRC concern related to with qualification of welded fittings times the CGR predicted by the Code possible underprediction of CGR in required by Section III, NB/NC/ND– Case, which is not a significant Code Case N–889 for materials with 3671.7 that are performed by the difference. However, for materials with calculated irradiated yield strength less fabricator. yield strength values less than 250 MPa than 250 MPa. (i.e., unirradiated or minimally The final proposed condition states Code Case N–889 [Supplement 7, 2017 that the irradiated yield stress model for Edition] irradiated materials), the expected CGR for a material in the 95th percentile can cold-worked Molybdenum bearing Type: New. be more than five times greater than the materials must be used for cold-worked Title: Reference Stress Corrosion CGR predicted by the Code Case. Hence, non-Molybdenum bearing stainless Crack Growth Rate Curves for Irradiated the NRC’s concern is that the CGRs for steels (including Type 204 and 247 Austenitic Stainless Steel in Light-Water individual low yield strength materials, stainless steels). This condition Reactor Environments, Section XI, or materials with low fluence, could be addresses the NRC concern that data for Division 1. significantly underpredicted by the cold-worked non-Molybdenum bearing Code Case N–889 provides a new Code Case. steels were not appropriately considered crack growth rate (CGR) law for The final concern is related to the during development of Code Case N– irradiation-assisted stress corrosion 889. The NRC performed its own cracking. The Code Case is applicable to data used in the development of the irradiated yield stress model. The evaluation of cold-worked Type 304 and wrought austenitic stainless steels and 347 stainless steels in the MRP–211 associated weld metals, as well as cast methodology for addressing cold work in this model was developed in MRP– database and found that the yield austenitic stainless steels. The proposed strength was better predicted by the CGR law requires the user to first 135, Revision 1, while the model itself was developed in MRP–211, Revision 0. Code Case’s Molybdenum bearing calculate irradiated yield stress from the model than with the Code Case’s non- The database underlying the model dose to the material. There are two yield Molybdenum bearing model. stress models: One for Molybdenum included hundreds of yield strength bearing stainless steels and one for measurements on initially annealed and Code Case N–890 [Supplement 0, 2019 stainless steels without Molybdenum. cold-worked Types 304, 316, and 347/ Edition] Once irradiated yield stress has been 348 stainless steel materials. However, Type: New. determined, the user calculates the CGR most of the data were for annealed Type Title: Materials Exempted From G– as a function of applied crack driving 304 and cold-worked Type 316 stainless 2110(b) Requirements, Section XI, force and temperature. steels. Revision 1 of MRP–211 contained Division 1. The staff identified three concerns additional yield strength data, including Code Case N–890 provides an with the technical basis of this Code significantly more data for cold-worked alternative to Section XI, G–2110(b) Case. The first concern relates to the Types 304 and 347 stainless steel. The which removes the requirement of, limited CGR data at dose levels greater authors of the Code Case, as ‘‘obtaining fracture toughness data for at than 20 displacements per atom (dpa). documented in Section 4.5 of the least three heats,’’ for using the static The proposed CGR law indicates that Additional Basis Report dated February fracture toughness curve (KIc) curve for the irradiated yield stress (and, 5, 2018, evaluated the Code Case yield specific materials with a minimum consequently, the CGR) increases with stress model with some of this specified yield strength at room fluence up to a dose of 20 dpa, at which additional data and found agreement temperature between 50 kilopound per point the irradiated yield’s stress ceases between the model and the additional square inch (ksi) and 90 ksi. Code Case to increase appreciably with further data. However, the Code Case authors N–890 would allow the toughness of dose accumulation. While the data at excluded new data for cold-worked four ferritic steels (SA–508 Grade 2 dose levels greater than 20 dpa does Type 304 and 347 stainless steel Class 2, SA–508 Grade 3 Class 2, SA– show a plateau behavior in the CGR, the materials. Therefore, the technical basis 533 Type A Class 2 and SA–533 Type staff’s analyses of that data suggests that document for Code Case N–889 does not B Class 2) with specified minimum areas of high CGR were averaged over directly address whether cold-worked yield strength greater than 50 ksi to be the industry calculation of CGR, which Type 304 and 347 (non-Molybdenum characterized by Figure G–2110–1 (i.e., increases the uncertainty in the high bearing) materials are adequately the Section XI KIc curve). dose CGRs. Therefore, due to the limited predicted by the irradiated yield The NRC identified one technical data and the associated high uncertainty strength model in the Code Case. concern when reviewing the technical at high fluence, the staff’s confidence in Therefore, the NRC is proposing three basis of this Code Case. The technical CGRs at dose levels greater than 20 dpa conditions on this Code Case. basis provided appropriate data to is low. The first proposed condition states justify use of the KIc curve for several The second concern is the effects of that this Code Case may not be applied materials listed in the Code Case. uncertainty in the irradiated yield for neutron exposures greater than 20 However, for SA–533 Type B, Class 2 strength value for an individual dpa. This condition addresses the NRC materials, the NRC observed that in the material-heat. This topic is discussed in concern that there is sparse data with technical basis document, there is no Section 4.7 of the technical basis report high uncertainty beyond 20 dpa. Given fracture toughness data associated with for Code Case N–889. The NRC also that the predicted CGR saturates at the weld and heat affected zone to conducted separate analyses. While the higher fluence, this condition prevents support exclusion of the fracture results of the NRC’s findings are potential underprediction of the CGR in toughness testing requirements for these generally consistent with the results in this fluence regime. materials.
VerDate Sep<11>2014 16:27 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00013 Fmt 4702 Sfmt 4702 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS 7832 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Proposed Rules
As such, the proposed NRC condition The proposed conditions on Code OMN–20 was reaffirmed by the ASME requires the user to comply with the Case OMN–9 [2020 Edition] are in the 2020 Edition with no change to provisions of Section III, NB–2300 and identical to the conditions on OMN–9 the Code Case. Therefore, the conditions Section III, G–2110(b) to demonstrate [2017 Edition] that were approved by would be retained in Revision 4 of RG the applicability of the ASME KIc curve the NRC in Revision 3 of RG 1.192. The 1.192. to SA–533 Type B, Class 2 material. OMN–9 was reaffirmed by the ASME in C. ASME Code Cases Not Approved for These provisions require the user to the 2020 Edition with no change to the Use (DG–1369/RG 1.193) generate the necessary toughness data to Code Case. Therefore, the conditions demonstrate that the ASME KIc curve is would be retained in Revision 4 of RG The ASME Code Cases that are a conservative representation of the 1.192. currently issued by the ASME but not actual material toughness. approved for generic use by the NRC are Code Case OMN–12 [2020 Edition] listed in RG 1.193, ‘‘ASME Code Cases 3. ASME Operation and Maintenance Type: Reaffirmed. not Approved for Use.’’ In addition to Code Cases (DG–1368/RG 1.192) Title: Alternative Requirements for the ASME Code Cases that the NRC has Code Case OMN–1, Revision 2 [2020 Inservice Testing Using Risk Insights for found to be technically or Edition] Pneumatically and Hydraulically programmatically unacceptable, RG Type: Reaffirmed. Operated Valve Assemblies in Light- 1.193 includes Code Cases on reactor Title: Alternative Rules for Preservice Water Reactor Power Plants (OM-Code designs for high-temperature gas-cooled and Inservice Testing of Active Electric 1998, Subsection ISTC). reactors and liquid metal reactors, Motor-Operated Valve Assemblies in The proposed conditions on Code reactor designs not currently licensed by Light-Water Reactor Power Plants. Case OMN–12 [2020 Edition] are the NRC, and certain requirements in The proposed conditions on Code identical to the conditions on OMN–12 Section III, Division 2, for submerged Case OMN–1, Revision 2 [2020 Edition] [2017 Edition] that were approved by spent fuel waste casks, that are not are identical to the conditions on OMN– the NRC in Revision 3 of RG 1.192. The endorsed by the NRC. Regulatory Guide 1, Revision 2 [2017 Edition] that were OMN–12 was reaffirmed by the ASME 1.193 complements RGs 1.84, 1.147, and approved by the NRC in Revision 3 of in the 2020 Edition with no change to 1.192. It should be noted that the NRC RG 1.192. The OMN–1, Revision 2 was the Code Case. Therefore, the conditions is not proposing to adopt any of the reaffirmed by the ASME in the 2020 would be retained in Revision 4 of RG Code Cases listed in RG 1.193. 1.192. Edition with no change to the Code IV. Section-by-Section Analysis Case. Therefore, the conditions would Code Case OMN–18 [2020 Edition] be retained in Revision 4 of RG 1.192. The following paragraphs in § 50.55a Type: Reaffirmed. would be revised as follows: Code Case OMN–3 [2020 Edition] Title: Alternate Testing Requirements Paragraph (a)(3) Introductory Text Type: Reaffirmed. for Pumps Tested Quarterly Within Title: Requirements for Safety ±20% of Design Flow. This proposed rule would add a Significance Categorization of The proposed conditions on Code reference to NUREG–2228 that is Components Using Risk Insights for Case OMN–18 [2020 Edition] are acceptable as specified in the conditions Inservice Testing of LWR Power Plants. identical to the conditions on OMN–18 when implementing Code Cases listed The proposed conditions on Code [2017 Edition] that were approved by in certain NRC regulatory guides. the NRC in Revision 3 of RG 1.192. The Case OMN–3 [2020 Edition] are Paragraph (a)(3)(i) identical to the conditions on OMN–3 OMN–18 was reaffirmed by the ASME [2017 Edition] that were approved by in the 2020 Edition with no change to This proposed rule would revise the the NRC in Revision 3 of RG 1.192. The the Code Case. Therefore, the conditions reference to ‘‘NRC Regulatory Guide OMN–3 was reaffirmed by the ASME in would be retained in Revision 4 of RG 1.84, Revision 38,’’ by removing the 2020 Edition with no change to the 1.192. ‘‘Revision 38’’ and adding in its place ‘‘Revision 39’’ and change the month Code Case. Therefore, the conditions Code Case OMN–19 [2020 Edition] would be retained in Revision 4 of RG and year for the document’s revision 1.192. Type: Reaffirmed. date. Title: Alternative Upper Limit for the Code Case OMN–4 [2020 Edition] Comprehensive Pump Test. Paragraph (a)(3)(ii) Type: Reaffirmed. The proposed conditions on Code This proposed rule would revise the Title: Requirements for Risk Insights Case OMN–19 [2020 Edition] are reference to ‘‘NRC Regulatory Guide for Inservice Testing of Check Valves at identical to the conditions on OMN–19 1.147, Revision 19’’ by removing LWR Power Plants. [2017 Edition] that were approved by ‘‘Revision 19’’ and adding in its place The proposed conditions on Code the NRC in Revision 3 of RG 1.192. The ‘‘Revision 20’’ and change the month Case OMN–4 [2020 Edition] are OMN–19 was reaffirmed by the ASME and year for the document’s revision identical to the conditions on OMN–4 in the 2020 Edition with no change to date. [2017 Edition] that were approved by the Code Case. Therefore, the conditions Paragraph (a)(3)(iii) the NRC in Revision 3 of RG 1.192. The would be retained in Revision 4 of RG OMN–4 was reaffirmed by the ASME in 1.192. This proposed rule would revise the reference to ‘‘NRC Regulatory Guide the 2020 Edition with no change to the Code Case OMN–20 [2020 Edition] Code Case. Therefore, the conditions 1.192, Revision 3’’ by removing would be retained in Revision 4 of RG Type: Reaffirmed. ‘‘Revision 3’’ and adding in its place 1.192. Title: Inservice Test Frequency. ‘‘Revision 4’’ and change the month and The proposed conditions on Code year for the document’s revision date. Code Case OMN–9 [2020 Edition] Case OMN–20 [2020 Edition] are Paragraph (a)(3)(iv) Type: Reaffirmed. identical to the conditions on OMN–20 Title: Use of a Pump Curve for [2017 Edition] that were approved by This proposed rule would add new Testing. the NRC in Revision 3 of RG 1.192. The paragraph (a)(3)(iv) to reference
VerDate Sep<11>2014 16:27 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00014 Fmt 4702 Sfmt 4702 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Proposed Rules 7833
NUREG–2228, ‘‘Weld Residual Stress issue finality criteria in 10 CFR part 52 The title of the information collection: Finite Element Analysis Validation: Part are met. Domestic Licensing of Production and II—Proposed Validation Procedure,’’ Utilization Facilities: Updates to VIII. Plain Writing dated July 2020, which is referenced in Incorporation by Reference and RG 1.147, Revision 20. The Plain Writing Act of 2010 (Pub. Regulatory Guides. L. 111–274) requires Federal agencies to The form number if applicable: Not Paragraph (b)(3)(iv), Table II write documents in a clear, concise, and applicable. This proposed rule would capitalize well-organized manner. The NRC has How often the collection is required: the word ‘‘(Years)’’ in two of the three written this document to be consistent On occasion. column headings. with the Plain Writing Act as well as the Who will be required or asked to Presidential Memorandum, ‘‘Plain report: Operating power reactor V. Regulatory Flexibility Certification Language in Government Writing,’’ licensees and applicants for power As required by the Regulatory published June 10, 1998 (63 FR 31883). reactors under construction. Flexibility Act (5 U.S.C. 605(b)), the The NRC requests comment on this An estimate of the number of annual ¥ Commission certifies that this rule, if document with respect to the clarity and responses: 28 (reduction). adopted, will not have a significant effectiveness of the language used. The estimated number of annual respondents: ¥28 (reduction). economic impact on a substantial IX. Environmental Assessment and number of small entities. This proposed An estimate of the total number of Proposed Finding of No Significant hours needed annually to complete the rule affects only the licensing and Environmental Impact ¥ operation of nuclear power plants. The requirement or request: 6,720 hours companies that own these plants do not The Commission has determined (reduction of reporting and fall within the scope of the definition of under the National Environmental recordkeeping hours). Abstract: This proposed rule is the ‘‘small entities’’ set forth in the Policy Act of 1969, as amended, and the latest in a series of rulemakings that Regulatory Flexibility Act or the size Commission’s regulations in subpart A incorporate by reference the latest standards established by the NRC (10 of 10 CFR part 51, that this rule, if versions of several RGs identifying new CFR 2.810). adopted, would not be a major Federal action significantly affecting the quality and revised unconditionally or VI. Regulatory Analysis of the human environment; therefore, an conditionally acceptable ASME Code Cases that are approved for use. The The NRC has prepared a draft environmental impact statement is not incorporation by reference of these Code regulatory analysis on this proposed required. Cases will reduce the number of regulation. The analysis examines the The determination of this alternative requests submitted by costs and benefits of the alternatives environmental assessment is that there licensees under § 50.55a(z) by an considered by the NRC. The NRC will be no significant effect on the estimated 28 requests annually. requests public comment on the draft quality of the human environment from The NRC is seeking public comment regulatory analysis. The regulatory this action. Interested parties should on the potential impact of the analysis is available as indicated in the note, however, that comments on any information collections contained in ‘‘Availability of Documents’’ section of aspect of this environmental assessment this proposed rule and on the following this document. Comments on the draft may be submitted to the NRC as issues: analysis may be submitted to the NRC indicated under the ADDRESSES section 1. Is the proposed information as indicated under the ADDRESSES of this document. collection necessary for the proper section of this document. As voluntary alternatives to the ASME performance of the functions of the VII. Backfitting and Issue Finality Code, NRC-approved Code Cases NRC, including whether the information provide an equivalent level of safety. will have practical utility? The provisions in this proposed rule Therefore, the probability or 2. Is the estimate of the burden of the would allow licensees and applicants to consequences of accidents is not proposed information collection voluntarily apply NRC-approved Code changed. There are also no significant, accurate? Cases, sometimes with NRC-specified non-radiological impacts associated 3. Is there a way to enhance the conditions. The approved Code Cases with this action because no changes quality, utility, and clarity of the are listed in three RGs that are proposed would be made affecting non- information to be collected? to be incorporated by reference into radiological plant effluents and because 4. How can the burden of the § 50.55a. An applicant’s or a licensee’s no changes would be made in activities proposed information collection on voluntary application of an approved that would adversely affect the respondents be minimized, including Code Case does not constitute environment. The determination of this the use of automated collection backfitting, because there is no environmental assessment is that there techniques or other forms of information imposition of a new requirement or new will be no significant offsite impact to technology? position. the public from this action. A copy of the OMB clearance package Similarly, voluntary application of an X. Paperwork Reduction Act Statement and proposed rule is available in approved Code Case by a 10 CFR part ADAMS under Accession No. 52 applicant or licensee does not This proposed rule contains new or ML20132A240 or can obtained free of represent NRC imposition of a amended collections of information charge by contacting the NRC’s Public requirement or action, and therefore is subject to the Paperwork Reduction Act Document reference staff at 1–800–397– not inconsistent with any issue finality of 1995 (44 U.S.C. 3501 et seq.). This 4209, 301–415–4737, or by email to provision in 10 CFR part 52. For these proposed rule has been submitted to the [email protected]. You may obtain reasons, the NRC finds that this Office of Management and Budget information and comment submissions proposed rule does not involve any (OMB) for approval of the information related to the OMB clearance package by provisions requiring the preparation of collections. searching on https:// a backfit analysis or documentation Type of submission, new or revision: www.regulations.gov under Docket ID demonstrating that one or more of the Revision. NRC–2017–0025.
VerDate Sep<11>2014 16:27 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00015 Fmt 4702 Sfmt 4702 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS 7834 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Proposed Rules
You may submit comments on any licensees of nuclear power plants) context, ‘‘small entities’’ has the same aspect of these proposed information participate. The NRC invites comment meaning as set out in 10 CFR 2.810. collections, including suggestions for on the applicability and use of other • Large entities otherwise subject to reducing the burden and on the four standards. the NRC’s regulatory oversight. This issues, by the following methods: class includes applicants and potential • Federal Rulemaking Website: Go to XII. Incorporation by Reference— applicants for licenses and other NRC https://www.regulations.gov and search Reasonable Availability to Interested regulatory approvals, and who are for Docket ID NRC–2017–0025. Parties subject to the material to be • Mail comments to: FOIA, Library, The NRC proposes to incorporate by incorporated by reference. In this and Information Collections Branch, reference three NRC RGs that list new context, a ‘‘large entity’’ is one that does Office of the Chief Information Officer, and revised the ASME Code Cases that not qualify as a ‘‘small entity’’ under 10 Mail Stop: T–6 A10M, U.S. Nuclear the NRC has approved as voluntary CFR 2.810. Regulatory Commission, Washington, alternatives to certain provisions of • Non-governmental organizations DC 20555–0001 or to the OMB reviewer NRC-required Editions and Addenda of with institutional interests in the at: OMB Office of Information and the ASME BPV Code and the ASME OM matters regulated by the NRC. • Regulatory Affairs (3150–0011), Attn: Code. The draft regulatory guides, DG– Other Federal agencies, states, local Desk Officer for the Nuclear Regulatory 1366, DG–1367, and DG–1368, will governmental bodies (within the Commission, 725 17th Street NW, correspond to final RG 1.84, Revision meaning of 10 CFR 2.315(c)). _ • Washington, DC 20503; email: oira 39; RG 1.147, Revision 20; and RG Federally-recognized and State- [email protected]. recognized Indian tribes. 1.192, Revision 4, respectively. The • Submit comments on this collection NRC also proposes to incorporate by Members of the general public (i.e., of information by March 4, 2021. reference NUREG–2228, which is individual, unaffiliated members of the Comments received after this date will referenced in DG–1367 (RG 1.147, public who are not regulated or be considered if it is practical to do so, Revision 20). As described in this otherwise subject to the NRC’s but the NRC staff is able to ensure document, this report pertains to a regulatory oversight) who need access to consideration only for comments proposed condition on Code Case N– the materials that the NRC proposes to received on or before this date. 847. incorporate by reference in order to participate in the rulemaking. Public Protection Notification The NRC is required by law to obtain The NUREG–2228 and three draft RGs The NRC may not conduct or sponsor, approval for incorporation by reference that the NRC proposes to incorporate by and a person is not required to respond from the Office of the Federal Register reference in this proposed rule are to, a collection of information unless the (OFR). The OFR’s requirements for available without cost and can be read document requesting or requiring the incorporation by reference are set forth online or downloaded online. The collection displays a currently valid in 1 CFR part 51. On November 7, 2014, NUREG–2228 and draft RGs can be OMB control number. the OFR adopted changes to its viewed, by appointment, at the NRC regulations governing incorporation by XI. Voluntary Consensus Standards Technical Library, which is located at reference (79 FR 66267). The OFR Two White Flint North, 11545 Rockville The National Technology Transfer regulations require an agency to include Pike, Rockville, Maryland 20852; and Advancement Act of 1995, Public in a proposed rule a discussion of the telephone: 301–415–7000; email: Law 104–113, requires that Federal ways that the materials the agency [email protected]. The final agencies use technical standards that are proposes to incorporate by reference are RGs, if approved by the OFR for developed or adopted by voluntary reasonably available to interested incorporation by reference, will also be consensus standards bodies unless parties or how it worked to make those available for inspection at the OFR, as using such a standard is inconsistent materials reasonably available to described in 10 CFR 50.55a(a). with applicable law or is otherwise interested parties. The discussion in this Because access to the three draft impractical. In this proposed rule, the section complies with the requirement regulatory guides, and eventually, the NRC is continuing to use the ASME BPV for proposed rules as set forth in 1 CFR final regulatory guides, are available in and OM Code Cases, which are ASME- 51.5(a)(1). various forms at no cost, the NRC approved voluntary alternatives to The NRC considers ‘‘interested determines that the three draft compliance with various provisions of parties’’ to include all potential NRC regulatory guides, DG–1366, DG–1367, the ASME BPV and OM Codes. The stakeholders, not only the individuals and DG–1368, and final RG 1.84, NRC’s approval of the ASME Code and entities regulated or otherwise Revision 39; RG 1.147, Revision 20; and Cases is accomplished by amending the subject to the NRC’s regulatory RG 1.192, Revision 4, once approved by NRC’s regulations to incorporate by oversight. These NRC stakeholders are the OFR for incorporation by reference, reference the latest revisions of the not a homogenous group, so the are reasonably available to all interested following, which are the subject of this considerations for determining parties. rulemaking, into § 50.55a: RG 1.84, ‘‘reasonable availability’’ vary by class Revision 39; RG 1.147, Revision 20; RG of interested parties. The NRC identified XIII. Availability of Documents 1.192, Revision 4; and NUREG–2228. six classes of interested parties with The documents identified in the The RGs list the ASME Code Cases that regard to the material to be incorporated following tables are available to the NRC has approved for use. The by reference in an NRC rule: interested persons through one or more ASME Code Cases are national • Individuals and small entities of the following methods, as indicated. consensus standards as defined in the regulated or otherwise subject to the Throughout the development of this National Technology Transfer and NRC’s regulatory oversight. This class rule, the NRC may post documents Advancement Act of 1995 and OMB includes applicants and potential related to this rule, including public Circular A–119. The ASME Code Cases applicants for licenses and other NRC comments, on the Federal rulemaking constitute voluntary consensus regulatory approvals, and who are website at: https://www.regulations.gov standards, in which all interested subject to the material to be under Docket ID NRC–2017–0025. The parties (including the NRC and incorporated by reference. In this Federal rulemaking website allows you
VerDate Sep<11>2014 16:27 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00016 Fmt 4702 Sfmt 4702 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Proposed Rules 7835
to receive alerts when changes or folder (NRC–2017–0025); (2) click the frequently you would like to receive additions occur in a docket folder. To ‘‘Sign up for Email Alerts’’ link; and (3) emails (daily, weekly, or monthly). subscribe: (1) Navigate to the docket enter your email address and select how
TABLE III—RULEMAKING RELATED DOCUMENTS
ADAMS Accession No. Document title or Federal Register citation, or website
Final Rule — ‘‘Incorporation by Reference of ASME BPV and OM Code Cases,’’ July 8, 2003 ...... 68 FR 40469. Final Rule — ‘‘Incorporation by Reference of American Society of Mechanical Engineers Codes and Code 82 FR 32934. Cases,’’ July 18, 2017. Zorita Internals Research Project (MRP–440) Testing of Highly-Irradiated Baffle Plate Material 3002016015 Final Available for purchase. Report, October 2019. ASME Code, Section III, NB–2330, ‘‘Test Requirements and Acceptance Standards,’’ July 2017 ...... Available for purchase. BWRVIP–75–A, ‘‘BWR Vessel and Internals Project, Technical Basis for Revisions to Generic Letter 88–01 In- Available for purchase. spection Schedules,’’ October 2005. Final Rule — ‘‘Approval of American Society of Mechanical Engineers’ Code Cases,’’ March 16, 2020 ...... 85 FR 14736. RG 1.193, ASME Code Cases Not Approved for Use, Revision 7 (DG–1369) ...... ML20120A627. Rulemaking—Proposed Rule—Regulatory Analysis for the American Society of Mechanical Engineers Code ML20133K152. Cases, RG 1.84, Rev 39; RG 1.147, Rev 20; RG 1.192, Rev 4; and RG 1.193, Rev 7. GL–88–01, Supplement 1, ‘‘NRC Position on Intergranular Stress Corrosion Cracking (IGSCC) in BWR Austenitic https://www.nrc.gov/reading- Stainless Steel Piping (Generic Letter 88–01, Supplement 1),’’ February 4, 1992. rm/doc-collections/gen- comm/gen-letters/1988/ gl88001s1.html. GL–88–01, ‘‘NRC Position on IGSCC in BWR Austenitic Stainless Steel Piping (Generic Letter No. 88–01),’’ Jan- https://www.nrc.gov/reading- uary 25, 1988. rm/doc-collections/gen- comm/gen-letters/1988/ gl88001.html. Final Rule—‘‘Approval of American Society of Mechanical Engineers 2015–20017 Code Editions, Incorporataion 85 FR 26540. by Reference,’’ May 4, 2020.
Documents Proposed To Be Table IV, that list new and revised BPV Code and the ASME OM Code. The Incorporated by Reference ASME Code Cases that the NRC has NRC also proposes to incorporate by approved as voluntary alternatives to reference NUREG–2228, as set forth in The NRC proposes to incorporate by certain provisions of NRC-required Table V, that is referenced within a reference three NRC RGs, as set forth in Editions and Addenda of the ASME condition in RG 1.147, Revision 20.
TABLE IV—DRAFT REGULATORY GUIDES PROPOSED TO BE INCORPORATED BY REFERENCE IN 10 CFR 50.55a
ADAMS Accession No./ Document title Federal Register citation
RG 1.84, Design, Fabrication, and Materials Code Case Acceptability, ASME Section III, Revision 39, (DG–1366) ML20120A633. RG 1.147, Inservice Inspection Code Case Acceptability, ASME Section XI, Division 1, Revision 20, (DG–1367) ML20120A631. RG 1.192, Operation and Maintenance Code Case Acceptability, ASME OM Code, Revision 4, (DG–1368) ...... ML20120A629.
TABLE V—RELATED DOCUMENTS PROPOSED TO BE INCORPORATED BY REFERENCE IN 10 CFR 50.55a
Document title ADAMS Accession No.
NUREG–2228, ‘‘Weld Residual Stress Finite Element Analysis Validation: Part II—Proposed Validation Proce- ML20212L592. dure,’’ July 2020.
Code Cases for Approval in This VI, are being made available for read- that the listed Code Cases, as modified Proposed Rule only access during the public comment by any conditions contained in the three The ASME BPV Code Cases that the period by the ASME on https:// RGs and thus serving as alternatives to NRC is proposing to approve as go.asme.org/NRC-ASME-CC. requirements in § 50.55a, are legally- alternatives to certain provisions of the The ASME is making the Code Cases binding regulatory requirements. An ASME BPV Code, as set forth in Table listed in Table VI available for limited, applicant or licensee must comply with VI, are being made available by the read-only access at the request of the a listed Code Case and any conditions ASME for read-only access during the NRC. The NRC believes that to be within the scope of the NRC’s public comment period on https:// stakeholders need to be able to read approval of the Code Case as a voluntary go.asme.org/NRC-ASME-CC. these Code Cases in order to provide alternative for use. These requirements The ASME OM Code Cases that the meaningful comment on the three RGs cannot be fully understood without NRC is proposing to approve as (listed in Table IV) that the NRC is knowledge of the Code Case to which alternatives to certain provisions of the proposing to incorporate by reference the proposed condition applies, and to ASME OM Code, as set forth in Table into § 50.55a. It is the NRC’s position this end, the NRC has requested that the
VerDate Sep<11>2014 18:23 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00017 Fmt 4702 Sfmt 4702 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS 7836 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Proposed Rules
ASME provide limited, read-only access to the Code Cases in order to facilitate meaningful public comment.
TABLE VI—ASME CODE CASES PROPOSED FOR NRC APPROVAL
Code Case No. Supplement Title
Boiler and Pressure Vessel Code Section III
N–71–20 ...... 6 (2015 Edition) ...... Additional Materials for Subsection NF, Class 1, 2, 3, and MC Supports Fabricated by Welding, Section III, Division 1. N–155–3 ...... 5 (2015 Edition) ...... Fiberglass Reinforced Thermosetting Resin Pipe, Section III, Division 1. N–249–17 ...... 0 (2019 Edition) ...... Additional Materials for Subsection NF, Classes 1, 2, 3, and MC Supports Fabricated with- out Welding Section III, Division 1. N–539–1 ...... 0 (2017 Edition) ...... UNS N08367 in Class 2 and 3 Valves, Section III, Division 1. N–692–1 ...... 6 (2015 Edition) ...... Use of Standard Welding Procedures, Section III, Division 1. N–721–1 ...... 5 (2017 Edition) ...... Alternative Rules for Linear Piping Supports, Section III, Division 1. N–755–4 ...... 1 (2017 Edition) ...... Use of Polyethylene (PE) Class 3 Plastic Pipe, Section III, Division 1. N–779 ...... 9 (2007 Edition) ...... Alternative Rules for Simplified Elastic-Plastic Analysis Class 1, Section III, Division 1. N–801–3 ...... 1 (2017 Edition) ...... Rules for Repair of N-Stamped Class 1, 2, and 3 Components, Section III, Division 1. N–822–4 ...... 7 (2015 Edition) ...... Application of the ASME Certification Mark, Section III, Divisions 1, 2, 3, and 5. N–852 ...... 0 (2015 Edition) ...... Application of the ASME NPT Stamp, Section III, Divisions 1, 2, 3, and 5. N–855 ...... 2 (2015 Edition) ...... SB–148 C95800 Valves for Class 3 Construction, Section III, Division 1. N–856 ...... 2 (2015 Edition) ...... SA–494 Grade CW–12MW (UNS N30002) Nickel Alloy Castings for Construction of NPS 21⁄2 and Smaller Flanged Valves for Class 3 Construction, Section III, Division 1. N–859 ...... 5 (2015 Edition) ...... Construction of ASME B16.9 Wrought Buttwelding Fittings and ASME B16.11 Forged Fit- tings Made From SB–366 UNS N04400 Material for Section III, Class 3 Construction, Section III, Division 1. N–863–1 ...... 1 (2017 Edition) ...... Post Weld Heat Treatment (PWHT) of Valve Seal Welds for P4 and P5A Materials, Section III, Division 1. N–866 ...... 0 (2017 Edition) ...... Alternative Materials for Construction of Section III, Class 2 Vessels, Section III, Division 1. N–870–1 ...... 4 (2017 Edition) ...... Rules for the Elimination of External Surface Defects on Class 1, 2, and 3 Piping, Pumps, or Valves After Component Stamping and Prior to Completion of the N–3 Data Report, Section III, Division 1. N–879 ...... 1 (2017 Edition) ...... Use of Micro-Alloyed Carbon Steel Bar in Patented Mechanical Joints and Fittings, Classes 1, 2, and 3, Section III, Division 1. N–883 ...... 5 (2017 Edition) ...... Construction of Items Prior to the Establishment of a Section III, Division 1 Owner, Section III, Division 1. N–884 ...... 0 (2019 Edition) ...... Procedure to Determine Strain Rate for Use with the Environmental Fatigue Design Curve Method and the Environmental Fatigue Correction Factor, Fen, Method as Part of an En- vironmental Fatigue Evaluation for Components Analyzed per the NB–3200 Rules, Sec- tion III, Division 1. N–886 ...... 6 (2017 Edition) ...... Use of Polyethylene Pipe for Class 3, Section III, Division 1. N–887 ...... 6 (2017 Edition with er- Alternatives to the Requirements of NB–4424.2(a), Figure NB–4250–2, and Figure NB– rata dated August 30, 4250–3 Section III, Division 1. 2019). N–891 ...... 0 (2019 Edition) ...... Alternative Requirements to Appendix XXVI, XXVI–2400, XXVI–4130, and XXVI–4131 for Inspection and Repair of Indentations for Polyethylene Pipe and Piping Components, Section III, Division 1.
Boiler and Pressure Vessel Code, Section XI
N–513–5 ...... 6 (2017 Edition) ...... Evaluation Criteria for Temporary Acceptance of Flaws in Moderate Energy Class 2 or 3 Piping and Gate Valves, Section XI, Division 1. N–516–5 ...... 6 (2015 Edition) ...... Underwater Welding, Section XI, Division 1. N–561–3 ...... 0 (2019 Edition) ...... Alternative Requirements for Wall Thickness Restoration of Class 2 and High Energy Class 3 Carbon Steel Piping, Section XI, Division 1. N–638–10 ...... 1 (2019 Edition) ...... Similar and Dissimilar Metal Welding Using Ambient Temperature Machine GTAW Temper Bead Technique, Section XI, Division 1. N–653–2 ...... 1 (2017 Edition) ...... Qualification Requirements for Full Structural Overlaid Wrought Austenitic Piping Welds, Section XI, Division 1. N–702–1 ...... 1 (2019 Edition) ...... Alternative Requirements for Boiling Water Reactor (BWR) Nozzle Inner Radius and Noz- zle-to-Shell Welds, Section XI, Division 1. N–705–1 ...... 2 (2017 Edition) ...... Evaluation Criteria for Temporary Acceptance of Degradation in Moderate Energy Class 2 or 3 Vessels and Tanks, Section XI, Division 1. N–716–2 ...... 0 (2017 Edition) ...... Alternative Piping Classification and Examination Requirements, Section XI, Division 1. N–766–3 ...... 2 (2017 Edition) ...... Nickel Alloy Reactor Coolant Inlay and Onlay for Mitigation of PWR Full Penetration Cir- cumferential Nickel Alloy Dissimilar Metal Welds in Class 1 Items, Section XI, Division 1. N–768 ...... 0 (2019 Edition) ...... Alternative Volumetric Coverage Requirements for Ultrasonic Examination of Class 1 and 2 Pressure Vessel Weld Joints Greater Than 2 in. (50 mm) in Thickness, Section XI, Divi- sion 1. N–786–3 ...... 1 (2017 Edition) ...... Alternative Requirements for Sleeve Reinforcement of Class 2 and 3 Moderate Energy Carbon Steel Piping, Section XI, Division 1. N–789–3 ...... 1 (2017 Edition) ...... Alternative Requirements for Pad Reinforcement of Class 2 and 3 Moderate Energy Car- bon Steel Piping for Raw Water Service, Section XI, Division 1.
VerDate Sep<11>2014 16:27 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00018 Fmt 4702 Sfmt 4702 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Proposed Rules 7837
TABLE VI—ASME CODE CASES PROPOSED FOR NRC APPROVAL—Continued
Code Case No. Supplement Title
N–809 ...... 2 (2015 Edition) ...... Reference Fatigue Crack Growth Rate Curves for Austenitic Stainless Steels in Pressur- ized Reactor Water Environments, Section XI, Division 1. N–831–1 ...... 1 (2019 Edition) ...... Ultrasonic Examination in Lieu of Radiography for Welds in Ferritic or Austenitic Pipe, Sec- tion XI, Division 1. N–845–1 ...... 6 (2015 Edition) ...... Qualification Requirements for Bolts and Studs, Section XI, Division 1. N–847 ...... 0 (2017 Edition) ...... Partial Excavation and Deposition of Weld Metal for Mitigation of Class 1 Items, Section XI, Division 1. N–848–1 ...... 0 (2017 Edition) ...... Alternative Characterization Rules for Quazi-Laminar Flaws, Section XI, Division 1. N–851 ...... 0 (2015 Edition) ...... Alternate Method for Establishing the Reference Temperature for Pressure Retaining Mate- rials, Section XI, Division 1. N–858 ...... 2 (2017 Edition) ...... Alternative Volumetric Coverage Requirements for Ultrasonic Examination of Class 1 Noz- zle-to-Vessel Welds, Section XI, Division 1. N–864 ...... 2 (2017 Edition) ...... Reactor Vessel Threads in Flange Examinations, Section XI, Division 1. N–865 ...... 2 (2017 Edition) ...... Alternative Requirements for Pad Reinforcement of Class 2 and 3 Atmospheric Storage Tanks, Section XI, Division 1. N–867 ...... 0 (2017 Edition) ...... Clarification of NDE Practical Examination Requirements, Section XI, Division 1. N–869 ...... 6 (2017 Edition) ...... Evaluation Criteria for Temporary Acceptance of Flaws in Class 2 or 3 Piping, Section XI, Division 1. N–873 ...... 1 (2017 Edition) ...... Examination Requirements for the Core Makeup Tanks, Section XI, Division 1. N–874 ...... 7 (2017 Edition) ...... Temporary Acceptance of Leakage Through Brazed Joints of Class 3 Copper, Copper- Nickel, and Nickel-Copper Moderate Energy Piping, Section XI, Division 1. N–876 ...... 2 (2017 Edition) ...... Austenitic Stainless Steel Cladding and Nickel Base Cladding Using Ambient Temperature Automatic or Machine Dry Underwater Laser Beam Welding (ULBW) Temper Bead Technique, Section XI, Division 1. N–877 ...... 2 (2017 Edition) ...... Alternative Characterization Rules for Multiple Subsurface Radially Oriented Planar Flaws, Section XI, Division 1. N–878 ...... 1 (2017 Edition) ...... Alternative to QA Program Requirements of IWA–4142, Section XI, Division 1. N–880 ...... 2 (2017 Edition) ...... Alternative to Procurement Requirements of IWA–4143 for Small Nonstandard Welded Fit- tings, Section XI, Division 1. N–882 ...... 6 (2017 Edition) ...... Alternative Requirements for Attaching Nonstructural Electrical Connections to Class 2 and 3 Components, Section XI, Division 1. N–885 ...... 0 (2019 Edition) ...... Alternative Requirements for Table IWB–2500–1, Examination Category B–N–1, Interior of Reactor Vessel, Category B–N–2, Welded Core Support Structures and Interior Attach- ments to Reactor Vessels, Category B–N–3, Removable Core Support Structures Sec- tion XI, Division 1. N–889 ...... 7 (2017 Edition) ...... Reference Stress Corrosion Crack Growth Rate Curves for Irradiated Austenitic Stainless Steel in Light-Water Reactor Environments, Section XI, Division 1. N–890 ...... 0 (2019 Edition) ...... Materials Exempted From G–2110(b) Requirement, Section XI, Division 1. N–892 ...... 0 (2019 Edition) ...... Alternative Requirement for Form OAR–1, Owner’s Activity Report, Completion Time, Sec- tion XI, Division 1.
Operation and Maintenance Code
Code Case No. Edition 4 Title
OMN–13, Revision 3 ... 2020 Edition ...... Performance-Based Requirements for Extending Snubber Inservice Visual Examination In- terval at LWR Power Plants. OMN–15, Revision 3 ... 2020 Edition ...... Performance-Based Requirements for Extending the Snubber Operational Readiness Test- ing Interval at LWR Power Plants. OMN–17, Revision 1 ... 2020 Edition ...... Alternative Requirements for Testing ASME Class 1 Pressure Relief/Safety Valves. OMN–22 ...... 2020 Edition ...... Smooth Running Pumps. OMN–23 ...... 2020 Edition ...... Alternative Requirements for Testing Pressure Isolation Valves. OMN–24 ...... 2020 Edition ...... Alternative Requirements for Testing ASME Class 2 and 3 Pressure Relief Valves (For Re- lief Valves in a Group of One). OMN–25 ...... 2020 Edition ...... Alternative Requirements for Testing Appendix I Pressure Relief Valves. OMN–26 ...... 2020 Edition ...... Alternate Risk-Informed and Margin Based Rules for Inservice Testing of Motor Operated Valves. OMN–27 ...... 2020 Edition ...... Alternative Requirements for Testing Category A Valves (Non-PIV/CIV).
List of Subjects in 10 CFR Part 50 protection, Reactor siting criteria, as amended; and 5 U.S.C. 553, the NRC Reporting and recordkeeping is proposing to adopt the following Antitrust, Classified information, requirements. amendments to 10 CFR part 50: Criminal penalties, Fire protection, Incorporation by reference, For the reasons set out in the preamble and under the authority of the PART 50—DOMESTIC LICENSING OF Intergovernmental relations, Nuclear PRODUCTION AND UTILIZATION power plantsand reactors, Radiation Atomic Energy Act of 1954, as amended; the Energy Reorganization Act of 1974, FACILITIES 4 The column labelled ‘‘Edition’’ in this table ■ refers to the point in time a Code Case was issued. Edition means the Code Case was issued at the 1. The authority citation for part 50 For example, an entry associated with the 2017 same time as the 2017 Edition of the Code. continues to read as follows:
VerDate Sep<11>2014 16:27 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00019 Fmt 4702 Sfmt 4702 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS 7838 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Proposed Rules
Authority: Atomic Energy Act of 1954, which is referenced in RG 1.147, • Mail: Docket Management Facility, secs. 11, 101, 102, 103, 104, 105, 108, 122, Revision 20. U.S. Department of Transportation, 1200 147, 149, 161, 181, 182, 183, 184, 185, 186, * * * * * New Jersey Ave. SE, West Building 187, 189, 223, 234 (42 U.S.C. 2014, 2131, Ground Floor, Room W12–140, 2132, 2133, 2134, 2135, 2138, 2152, 2167, Dated December 23, 2020. 2169, 2201, 2231, 2232, 2233, 2234, 2235, Washington, DC 20590–0001; For the Nuclear Regulatory Commission. • Hand Delivery: West Building 2236, 2237, 2239, 2273, 2282); Energy Ho K. Nieh, Reorganization Act of 1974, secs. 201, 202, Ground Floor, Room W12–140, 1200 206, 211 (42 U.S.C. 5841, 5842, 5846, 5851); Director, Office of Nuclear Reactor New Jersey Ave. SE, between 9 a.m. 5 Nuclear Waste Policy Act of 1982, sec. 306 Regulation. p.m., e.t., Monday through Friday, (42 U.S.C. 10226); National Environmental [FR Doc. 2021–00890 Filed 2–1–21; 8:45 am] except Federal holidays. The telephone Policy Act of 1969 (42 U.S.C. 4332); 44 U.S.C. BILLING CODE 7590–01–P number is (202) 366–9329; 3504 note; Sec. 109, Pub. L. 96–295, 94 Stat. • Instructions: You must include the 783. agency name and docket number or the ■ 2. In § 50.55a: DEPARTMENT OF TRANSPORTATION Regulatory Identification Number (RIN) ■ a. Revise paragraph (a)(3) introductory for the rulemaking at the beginning of text; Federal Highway Administration your comments. All comments received ■ b. In paragraph (a)(3)(i), remove the will be posted without change to http:// phrase ‘‘Revision 38’’ and add in its 23 CFR Parts 470, 635, and 655 www.regulations.gov, including any place the phrase ‘‘Revision 39’’ and [FHWA Docket No. FHWA–2020–0001] personal information provided. remove the phrase ‘‘October 2019’’ and FOR FURTHER INFORMATION CONTACT: Mr. add in its place the phrase ‘‘MONTH/ RIN 2125–AF85 Kevin Sylvester, Office of YEAR’’; Transportation Operations, (202) 366– ■ c. In paragraph (a)(3)(ii), remove the National Standards for Traffic Control Devices; the Manual on Uniform Traffic 2161, [email protected], or Mr. phrase ‘‘Revision 19’’ and add in its William Winne, Office of the Chief place the phrase ‘‘Revision 20’’ and Control Devices for Streets and Highways; Revision Counsel, (202) 366–1397, remove the phrase ‘‘October 2019’’ and [email protected], Federal add in its place the phrase ‘‘MONTH/ AGENCY: Federal Highway Highway Administration, 1200 New YEAR’’; Administration (FHWA), U.S. Jersey Avenue SE, Washington, DC ■ d. In paragraph (a)(3)(iii), remove the Department of Transportation (DOT). 20590. phrase ‘‘Revision 3’’ and add in its place ACTION: Proposed rule; extension of the phrase ‘‘Revision 4’’ and remove the SUPPLEMENTARY INFORMATION: comment period. phrase ‘‘October 2019’’ and add in its Electronic Access and Filing place the phrase ‘‘MONTH/YEAR’’; SUMMARY: FHWA is extending the ■ This document and all comments e. Add paragraph (a)(3)(iv); and comment period for a notice of ■ received may be viewed online through f. In paragraph (b)(3)(iv), Table II, proposed amendments (NPA) and the Federal eRulemaking portal at remove the word ‘‘(years)’’ in the second request for comments, which was http://www.regulations.gov. The website and third column headings and add in published on December 14, 2020 in the is available 24 hours each day, 365 days their places the word ‘‘(Years)’’. Federal Register. The original comment each year. An electronic copy of this The revision and addition read as period is set to close on March 15, 2021. document may also be downloaded by follows: The extension is based on concern accessing the Office of the Federal expressed by a number of stakeholders § 50.55a Codes and standards. Register’s home page at: https:// that, as a result of the scope and (a) * * * www.federalregister.gov. (3) U.S. Nuclear Regulatory complexity of the NPA, the March 15, Commission (NRC) Public Document 2021, closing date does not provide Background Room, 11555 Rockville Pike, Rockville, sufficient time to review and provide The Manual on Uniform Traffic Maryland 20852; telephone: 1–800– comprehensive comments. The FHWA Control Devices for Streets and 397–4209; email: [email protected]; recognizes that others interested in Highways (MUTCD) is incorporated in https://www.nrc.gov/reading-rm/doc- commenting may have similar concerns FHWA regulations and recognized as collections/reg-guides/. The use of Code and agrees that the comment period the national standard for traffic control Cases listed in the NRC regulatory should be extended. Therefore, the devices used on all public roads. On guides in paragraphs (a)(3)(i) through closing date for comments is changed to December 14, 2020, at 85 FR 80898, (iii) of this section is acceptable with the May 14, 2021, which will provide FHWA published in the Federal specified conditions in those guides stakeholders and others interested in Register an NPA proposing to revise when implementing the editions and commenting additional time to discuss, standards, guidance, options, and addenda of the ASME BPV Code and evaluate, and submit responses to the supporting information relating to the ASME OM Code incorporated by docket. traffic control devices in all parts of the reference in paragraph (a)(1) of this DATES: Comments must be received on MUTCD. The original comment period section. The NRC report in paragraph or before May 14, 2021. Late-filed for the NPA closes on March 15, 2021. (a)(3)(iv) of this section is acceptable as comments will be considered to the Stakeholders have expressed concern specified in the conditions when extent practicable. that this closing date does not provide implementing Code Cases listed in the ADDRESSES: To ensure that you do not sufficient time to review and provide NRC regulatory guides in paragraphs duplicate your docket submissions, comprehensive comments on the (a)(3)(i) through (iii). please submit them by only one of the proposal. The FHWA recognizes that * * * * * following means: others interested in commenting may (iv) NUREG–2228. NUREG–2228, • Federal eRulemaking Portal: Go to have similar concerns and agrees that ‘‘Weld Residual Stress Finite Element http://www.regulations.gov and follow the comment period should be extended Analysis Validation: Part II—Proposed the online instructions for submitting by 60 days for these organizations and Validation Procedure,’’ dated July 2020, comments. others to submit comprehensive
VerDate Sep<11>2014 16:27 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00020 Fmt 4702 Sfmt 4702 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Proposed Rules 7839
comments. The closing date is changed Federal Communications Commission Pursuant to the Commission’s rules, from March 15, 2021, to May 14, 2021. (FCC) WC Docket No. 18–156. oppositions to the Petition for Authority: Sections 1525 and 1303 of Pub. DATES: Oppositions to the Petition must Reconsideration must be filed no later L. 112–141, Sec. 1503 of Pub. L. 109–59, 119 be filed on or before February 17, 2021. than 15 days after the publication date Stat. 1144; 23 U.S.C. 101, 103(b)(2), 103(c), Replies to any oppositions must be filed of this Public Notice in the Federal 104, 109, 112, 113, 114, 116, 119, 128, 134, on or before March 1, 2021. Register and replies to oppositions must 135, 217, 315 and 402(a); 31 U.S.C. 6505; 42 ADDRESSES: Federal Communications be filed no later than 10 days U.S.C. 3334, 4601 et seq.; Sec. 1041(a), Pub. Commission, 45 L Street NE, thereafter.2 Oppositions and replies may L. 102–240, 105 Stat. 1914; 23 CFR 1.32; 49 be filed using the Commission’s CFR 1.85(a)(1). Washington, DC 20554. FOR FURTHER INFORMATION CONTACT: Electronic Comment Filing System, or Thomas Everett, Ahuva Battams, Pricing Policy Division, by filing paper copies. Executive Director, Federal Highway Wireline Competition Bureau, at (202) Subject: 8YY Charge Reform, FCC 20– Administration. 418–1565 or via email at 143, published at 85 FR 75894, [FR Doc. 2021–01440 Filed 2–1–21; 8:45 am] [email protected]. November 27, 2020, in WC Docket No. BILLING CODE 4910–22–P SUPPLEMENTARY INFORMATION: This is a 18–156. This document is being summary of the FCC’s Public Notice, DA published pursuant to 47 CFR 1.429(e). 21–42, released January 12, 2021. The See also 47 CFR 1.4(b)(1) and 1.429(f), FEDERAL COMMUNICATIONS full text of the FCC’s Public Notice is (g). COMMISSION available at: (https://docs.fcc.gov/ Number of Petitions Filed: 1. public/attachments/DA-21-42A1.pdf). Federal Communications Commission. 47 CFR Part 51 The full text of USTelecom’s Petition for Daniel Kahn, [WC Docket No. 18–156; DA 21–42; FRS Reconsideration is available at: https:// 17407] ecfsapi.fcc.gov/file/1228118483840/ Associate Bureau Chief, Wireline Competition USTelecom%208YY%20PFR%20 Bureau. Petition for Reconsideration of Action Draft%2012.28.20%20FINAL.pdf. Editorial Note: This document was in Proceeding USTelecom requests reconsideration received at the Federal Register on January of the portion of the 8YY Access Charge 19, 2021. AGENCY: Federal Communications Reform Order related to a revenue [FR Doc. 2021–01579 Filed 1–29–21; 4:15 pm] Commission. recovery mechanism for price cap BILLING CODE 6712–01–P ACTION: Petition for reconsideration. incumbent local exchange carriers.1 reconsideration of 8YY Access Charge Reform, WC SUMMARY: USTelecom—The Broadband 1 See USTelecom—The Broadband Association Docket No. 18–156, Report and Order, 35 FCC Rcd Association (USTelecom) has filed a Petition for Reconsideration, WC Docket No. 18– 11594 (2020) (8YY Access Charge Reform Order)). Petition for Reconsideration (Petition) in 156 (filed Dec. 28, 2020) (seeking partial 2 47 CFR 1.429(f)–(g).
VerDate Sep<11>2014 16:27 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00021 Fmt 4702 Sfmt 9990 E:\FR\FM\02FEP1.SGM 02FEP1 jbell on DSKJLSW7X2PROD with PROPOSALS 7840
Notices Federal Register Vol. 86, No. 20
Tuesday, February 2, 2021
This section of the FEDERAL REGISTER and Report Review Branch 1, 3. Pre-applications must be submitted contains documents other than rules or Production and Preservation Division, by November 1, 2021, 12:00 p.m., proposed rules that are applicable to the Multifamily Housing Programs, Rural Eastern Standard Time. public. Notices of hearings and investigations, Development, United States Department 4. RHS notification to applicants by committee meetings, agency decisions and of Agriculture, via email: January 4, 2022. rulings, delegations of authority, filing of 5. Pre-application selections posted to petitions and applications and agency [email protected] or phone at: statements of organization and functions are 254–742–9764. the RHS website by March 1, 2022. examples of documents appearing in this SUPPLEMENTARY INFORMATION: The 6. Final applications must be section. amount of program dollars available submitted by May 2, 2022, 12:00 p.m., will be determined by yearly Eastern Standard Time. appropriations. Available loan and grant 7. Funds must be obligated by DEPARTMENT OF AGRICULTURE funding amounts can be found at the September 30, 2022. following link: https:// Third Round Rural Housing Service www.rd.usda.gov/programs-services/ 1. Available loan and grant funding farm-labor-housing-direct-loans-grants. [Docket No. RHS–21–MFH–0004] posted to the RHS website by August 1, Expenses incurred in developing pre- Notice of Solicitation of Applications 2022. applications and final applications will 2. Pre-applications will be accepted for Section 514 Off-Farm Labor be at the applicant’s sole risk. after September 1, 2022. Housing Loans and Section 516 Off- 3. Pre-applications must be submitted Farm Labor Housing Grants for New Application Submission Deadlines by November 1, 2022, 12:00 p.m., Construction for Fiscal Year 2021 There will be three rounds of pre- Eastern Standard Time. application submissions and selections 4. RHS notification to applicants by AGENCY: Rural Housing Service, United set forth below. Pre-applications that are January 2, 2023. States Department of Agriculture. deemed eligible but are not selected for ACTION: Notice. 5. Pre-application selections posted to further processing for each individual the RHS website by March 1, 2023. fiscal year that this Notice is open, will SUMMARY: The Rural Housing Service 6. Final applications must be be withdrawn from processing. The (RHS), an agency of the United States submitted by May 1, 2023, 12:00 p.m., applicant may reapply in a future Department of Agriculture (USDA), local time. funding round. RHS will not consider announces that it is soliciting 7. Funds must be obligated by any application that is received after the competitive pre-applications for Section September 29, 2023. established deadlines unless the date 514 Off-Farm Labor Housing (Off-FLH) and time are extended by another Notice Priority Language for Funding loans and Section 516 Off-FLH grants published in the Federal Register. RHS Opportunities for the construction of new Off-FLH may at any time supplement, extend, units for domestic farm laborers, retired RHS encourages applications that will amend, modify, or supersede this Notice domestic farm laborers, or disabled help advance equity and improve by publishing another Notice in the domestic farm laborers. The program outcomes in rural America. To Federal Register. objective is to increase the supply of encourage investments in rural The application deadlines are as affordable housing for farm laborers. properties, RHS will award points to follows: This Notice describes the method used projects located in rural Opportunity to distribute funds, the pre-application First Round Zones where projects should provide measurable results in helping and final application process, and 1. Available loan and grant funding submission requirements. communities build robust and posted to the RHS website by February sustainable economies. An Opportunity DATES: Eligible pre-applications 5, 2021. Zone is an economically distressed submitted to the Production and 2. Pre-applications must be submitted community where new investments, Preservation Division, Processing and by April 1, 2021, 12:00 p.m., Eastern under certain conditions, may be Report Review Branch, for this Notice Standard Time. eligible for preferential tax treatment. will be accepted until November 1, 3. RHS notification to applicants by Localities qualify as Opportunity Zones 2022, 12:00 p.m., Eastern Standard June 1, 2021. if they have been nominated for that Time. See the SUPPLEMENTARY 4. Pre-application selections posted to designation by the state and that INFORMATION section for additional the RHS website by July 1, 2021. nomination has been certified by the information. 5. Final applications must be submitted by August 2, 2021, 12:00 Secretary of the U.S. Treasury via his ADDRESSES: Applications to this Notice p.m., Eastern Standard Time. delegation of authority to the Internal must be submitted electronically to the 6. Funds must be obligated by Revenue Service. See https:// Production and Preservation Division, September 30, 2021. www.irs.gov/newsroom/opportunity- Processing and Report Review Branch. zones-frequently-asked-questions for Specific instructions on how to submit Second Round more information. applications electronically are provided 1. Available loan and grant funding To focus investments in areas where below within this Notice under posted to the RHS website by August 2, the need for increased prosperity is SUPPLEMENTARY INFORMATION. 2021. greatest, RHS will set aside 10 percent FOR FURTHER INFORMATION CONTACT: 2. Pre-applications will be accepted of the available funds for applications Jonathan Bell, Branch Chief, Processing after September 1, 2021. that will serve persistent poverty
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00001 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7841
counties for each individual fiscal year The allocation of these funds may result 3560.574 and may be used in lieu of that this Notice is open. Persistent in a state or states exceeding the 30 tenant-specific RA in Off-FLH projects poverty counties are areas where at least percent limitation. financed under Section 514 or Section 20 percent of the population is living in Section 516 Off-FLH grants may not 516(i) of the Housing Act of 1949 poverty over the last 30 years (measured exceed 90 percent of the total (U.S.C. 1486(i)) as amended (42 U.S.C. by the 1980, 1990, 2000 and 2010 development cost (TDC) of the housing. 1484 and 1486(h) respectively), that decennial censuses and 2007–2011 TDC is defined in 7 CFR 3560.11. serve migrant farmworkers as defined in American Community Survey five-year Section 514 Off-FLH loans may not 7 CFR 3560.11. estimates) according to the American exceed the limits set forth in 7 CFR In order to maximize the use of the Community Survey census tract data. 3560.562(b). limited supply of FLH funds, RHS may If leveraged funds are going to be used Information on which counties are contact eligible applicants selected for and are in the form of Low-Income considered persistent poverty counties an award in point score order starting Housing Tax Credits (LIHTC), the can be found through the USDA with the highest score, with proposals to applicant must include in the pre- Economic Research Service (ERS) modify the transaction’s proportions of application, written evidence that a (http://ers.usda.gov/). ERS is the main loan and grant funds for each individual source of economic information and LIHTC application has been submitted and accepted by the Housing Finance fiscal year that this Notice is open. In research for USDA and a principal addition, if funds remain after the Agency of the U.S. Federal Statistical Agency (HFA). Applicants without written evidence that a tax credit highest scoring eligible applications are System located in Washington, DC. Set- selected for awards, we may contact aside funds will be awarded in the order application has been submitted and accepted by an HFA must certify in those eligible applicants selected for the of receipt of pre-applications. Once the awards, in point score order, starting set-aside funds are exhausted for each writing within the pre-application that they will apply for tax credits to an with the highest score, to ascertain individual fiscal year that this Notice is whether those respondents will accept open, any further set-aside applications HFA, obtain a firm commitment letter, and include the commitment letter the remaining funds for each individual will be evaluated and ranked with the fiscal year that this Notice is open. other applications submitted in within their final application response to this Notice. If, after the submission, if available. The firm In order to enhance customer service preapplications are reviewed, RHS does commitment letter from the HFA must and the transparency of this program, not receive enough eligible applications be submitted prior to the approval of the RHS will publish a list of awardees, the to fully utilize the 10 percent set-aside final application. If the applicant is loan and/or grant amounts of their in the service of these areas in each unable to secure a firm commitment respective awards, the self-score individual fiscal year that this Notice is letter from the HFA in order to submit provided by the applicant, and the final open, RHS will award any unused set- it to RHS by September 30th of the score as computed by RHS in aside funds to other eligible applicants. relevant fiscal year, the application will accordance with the dates listed in this be deemed incomplete and the Notice. This will be done for each Overview applicant will be notified in writing that funding round. This information can be Federal Agency: Rural Housing the application will not be considered found at: https://www.rd.usda.gov/ Service. for funding. programs-services/farm-labor-housing- Funding Opportunity Title: Notice of Pre-applications that propose the use direct-loans-grants. RHS reserves the Solicitation of Applications for Section of other forms of leveraged funds must right to post all information submitted 514 Off-Farm Labor Housing Loans and submit firm commitment letters within as part of the pre-application and final Section 516 and Off-Farm Labor their final application, if available. If the application package, which is not Housing Grants for New Construction applicant is unable to secure a firm protected under the Privacy Act, on a for Fiscal Year 2021. commitment letter from the funding public website with free and open Announcement Type: Solicitation of source in order to submit it by access to any member of the public. applications from qualified applicants September 30th of the relevant fiscal B. Eligibility Information for Fiscal Year 2021. year, the application will be deemed Catalog of Federal Domestic incomplete and the applicant will be 1. Eligibility Assistance Numbers (CFDA): 10.405 and notified in writing that the application 10.427. will not be considered for funding. Housing Eligibility—housing that is A firm commitment letter is defined constructed with FLH loans and/or A. Federal Award Description as a lender’s unqualified pledge to the grant funds must meet RHS’s design and Pre-applications will only be accepted borrower that they have passed their construction standards contained in 7 through the dates and times listed in underwriting guidelines and they are CFR part 1924, subparts A and C. Once this Notice. All awards are subject to the willing to offer the borrower a loan and/ constructed, Off-FLH must be managed availability of funding. The maximum or grant under specified terms. The in accordance with 7 CFR part 3560. In award per selected project may not letter validates that the borrower’s addition, Off-FLH must be operated on exceed $5 million (total loan and grant). financing has been fully approved and a non-profit basis and tenancy must be A state will not receive more than 30 that the lender is prepared to close the open to all qualified domestic farm percent of the Off-FLH funding for each transaction. Preliminary commitment laborers, regardless of which farm they fiscal year that this Notice is open, letters, term sheets, or any other letter work. Section 514(f)(3) of the Housing unless there are remaining Section 514 from the lender that does not meet the Act of 1949, as amended (42 U.S.C. and Section 516 funds after all eligible definition above will not be considered 1484(f)(3)) defines domestic farm applications Nationwide have been a firm commitment letter and will not laborers to include any person funded. In this case, funds will be meet the requirements specified in this regardless of the person’s source of awarded to the next highest-ranking Notice. employment, who receives a substantial eligible applications among all of the Rental Assistance (RA) and Operating portion of his/her income from the remaining unfunded applications Assistance (OA) will be available for primary production of agricultural or within the applicable application round. this Notice. OA is described in 7 CFR aqua cultural commodities in the
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00002 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7842 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
unprocessed or processed stage, and 3560, subpart A, under short-term lease RHS may be used to meet this also includes the person’s family. provisions. Where rents are charged on requirement, however, an RHS grant Tenant Eligibility—tenant eligibility a per-unit basis and family income cannot be used to meet this is limited to persons who meet the qualifies the household for rental requirement. Limited partnerships with definition of a ‘‘domestic farm laborer,’’ assistance, rental assistance may be a non-profit general partner are eligible or a ‘‘disabled domestic farm laborer,’’ used. for Section 514 loans; however, they are or a ‘‘retired domestic farm laborer’’ as Off-FLH is subject to the tenant not eligible for Section 516 grants. defined in Section 514(f)(3) of the contribution and rental unit rent (1) The applicant must be unable to Housing Act of 1949, as amended (42 requirements for Plan II housing provide the necessary housing from the U.S.C. 1484(f)(3)). established under 7 CFR part 3560, applicant’s own resources and be unable Section 514(f)(3)(A) of the Housing subpart E, except where seasonal to obtain credit from any other source Act of 1949 (42 U.S.C. 1484(f)(3)(A)) has housing will be occupied for less than upon terms and conditions which the been amended to extend FLH tenant a three-month period. In such instances applicant could reasonably be expected eligibility to agricultural workers legally the best available and practical income to fulfill. admitted to the United States and verification methods may be used with (2) Provide evidence that the authorized to work in agriculture. In prior approval of RHS. applicant is unable to obtain credit from addition, under no circumstance may Actual dollars earned from farm labor other sources. any currently eligible FLH tenants be by domestic farm laborers other than (3) In order to demonstrate the displaced from their homes as a result migrant farmworkers must equal at least applicant meets the requirement at 7 of this statutory change. 65 percent of the annual income limits CFR 3560.55(a)(2), at least two letters Owners are responsible for verifying indicated for the Standard Federal from two separate credit institutions tenant income eligibility. Only very-low regions as published by RHS for their which normally provide real estate or low-income households are eligible particular region of the country. For loans in the area must be obtained and for the operating assistance rents. migrant farmworkers living in seasonal these letters must indicate the rates and Households with incomes above the housing the actual dollars earned from terms upon which a loan might be low-income limits must pay the full farm labor by a domestic farm laborer provided. (Note: not required from State rent. must equal at least 50 percent of annual or local public agencies or Indian In accordance with 7 CFR 3560.554, income limits indicated for the Standard tribes.) If two letters from two separate off-farm labor housing may be used to Federal regions, as published by RHS. serve migrant farmworkers. Migrants or Applicant Eligibility— credit institutions that indicate the rates migrant agricultural laborer is a person (a) To be eligible to receive a Section and terms upon which a loan might be (and the family of such person) who 514 loan for Off-FLH, the applicant provided is not submitted within the receives a substantial portion of his or must meet the requirements of 7 CFR pre-application, the pre-application will her income from farm labor employment 3560.555(a) and be a broad-based non- be considered incomplete and will not and who establishes a residence in a profit organization of farmworkers, a be considered for funding. location on a seasonal or temporary Federally recognized Indian tribe, a (4) Broad-based non-profit basis, in an attempt to receive farm labor community organization, or an Agency organizations must have a membership employment at one or more locations or political subdivision of state or local that reflects a variety of interests in the away from their home base state, Government, and must meet the area where the housing will be located. excluding day-haul agricultural workers requirements of § 3560.55, excluding 2. Cost Sharing or Matching—the whose travels are limited to work areas § 3560.55(a)(6). A broad-based non- amount of any Off-FLH grant must not within one day of their residence. profit organization is a non-profit exceed 90 percent of the TDC as Seasonal housing is housing that is organization that has a membership that provided in 7 CFR 3560.562(c)(1). operated on a seasonal basis, typically reflects a variety of interests in the area 3. Other Requirements—the following for migrants or migrant agricultural where the housing will be located; or a requirements apply to loans and grants laborers as opposed to year-round. Off- limited partnership with a non-profit made in response to this Notice: FLH loan and grant funds may be used general partner which meets the (a) 7 CFR part 1901, subpart E, to provide facilities for seasonal or requirements of § 3560.55(d). regarding equal opportunity temporary residential use with (b) To be eligible to receive a Section requirements; appropriate furnishings and equipment. 516 grant for Off-FLH, the applicant (b) For grants only, 2 CFR parts 200 A temporary residence is a dwelling must meet the requirements of 7 CFR and 400, which establishes the uniform which is used for occupancy, usually for 3560.555(b) and be a broad-based non- administrative and audit requirements a short period of time, but is not the profit organization of farmworkers, a for grants and cooperative agreements to legal residence for the occupant. federally recognized Indian tribe, a State and local Governments and to The design and construction community organization, or an agency non-profit organizations; requirements established in § 3560.60 or political subdivision of State or local (c) 7 CFR part 1901, subpart F, apply to all applications for Off-FLH Government, and must meet the regarding historical and archaeological loans and grants except that seasonal requirements of § 3560.55, excluding properties; Off-FLH that will be occupied for eight § 3560.55(a)(6). A broad-based non- (d) 7 CFR 1970.11, Timing of the months or less per year by migrant profit organization is a non-profit environmental review process. Please farmworkers while they are away from organization that has a membership that note, the environmental information their residence, may be constructed in reflects a variety of interests in the area must be submitted by the applicant to accordance with Exhibit I of 7 CFR part where the housing will be located; and RHS. RHS must review and determine 1924, subpart A. be able to contribute at least one-tenth that the environmental information is For Off-FLH operating on a seasonal of the total farm labor housing acceptable before the obligation of basis, the management plan must development cost from its own or other funds; establish specific opening and closing resources. The applicant’s contribution (e) 7 CFR part 3560, regarding the dates. During the off-season, Off-FLH must be available at the time of the grant loan and grant authorities of the Off- may be used as defined in 7 CFR part closing. An Off-FLH loan financed by FLH program;
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00003 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7843
(f) 7 CFR part 1924, subpart A, each individual fiscal year that this to schedule a concept meeting with RHS regarding planning and performing Notice is open. All pre-applications for to discuss the application process, the construction and other development; Section 514 and Section 516 funds must specifics on the proposed project, and (g) 7 CFR part 1924, subpart C, meet the requirements of this Notice. the borrower’s responsibilities under the regarding the planning and performing Incomplete pre-applications will be Off-FLH program, among other topics. of site development work; rejected and returned to the applicant. Requests for concept meetings can be (h) For construction financed with a No pre-application will be accepted sent to the following email address: Section 516 grant, the provisions of the after the deadline in a given round [email protected]. Davis-Bacon Act (40 U.S.C. 276(a)– unless the date and time is extended by (c) If a pre-application is accepted for 276(a)–5) and implementing regulations another Notice published in the Federal further processing, the applicant must published at 29 CFR parts 1, 3, and 5; Register. submit a final application, acceptable to (i) A credit report fee of at least $24 Pre-applications should be submitted RHS, prior to the obligation of funds. If will be charged to the applicant and electronically. The process for the pre-application is not accepted for paid to the United States Department of submitting an electronic application to further processing due to being Agriculture. This fee is used to pay RHS is as follows: incomplete or ineligible, the applicant credit reports obtained by RHS; (a) At least two business days prior to will be notified of appeal rights under (j) Borrowers and grantees must take the application deadline for the 7 CFR part 11. Pre-applications that are reasonable steps to ensure that tenants applicable funding round, the applicant deemed eligible but are not selected for receive the language assistance must email RHS a request to create a further processing for each individual necessary to afford them meaningful shared folder in CloudVault. The email fiscal year that this Notice is open will access to USDA programs and activities, must be sent to the following address: be withdrawn from processing. The free of charge. Failure to provide this [email protected]. The applicant may reapply in a future assistance to tenants who can effectively email must contain the following funding round. participate in or benefit from Federally information: 2. Pre-Application Requirements assisted programs or activities may (1) Subject line: ‘‘Off-FLH Application violate the prohibition under Title VI of Submission.’’ (a) The pre-application must contain the Civil Rights Act of 1964, 42 U.S.C. (2) Body of email: Borrower Name, the following: 2000d et seq. and Title VI regulations Project Name, Borrower Contact (1) An executed and dated Executive against national origin discrimination. Information, Project State. Summary on the applicant’s letterhead (k) In accordance with 7 CFR 3560.60, (3) Request language: ‘‘Please create a that must include at least the following: the housing must be economical to shared CloudVault folder so that we (i) Brief description of the proposed construct, operate, and maintain and may submit our application project. Be sure to address if the project must not be of elaborate design or documents.’’ will be used year-round or seasonally Once the email request to create a materials. and to what standards the housing will shared CloudVault folder has been (l) System for Awards Management. be built. received, a shared folder will be created All program applicants must be (ii) Document the need for the project. within two business days. When the registered in the System for Awards The applicant must document that the shared CloudVault folder is created by Management (SAM) prior to submitting housing and related facilities will fulfill RHS, the system will automatically send an application, unless determined a pressing need in the area in which the an email to the applicant’s submission exempt under 2 CFR 25.110. Federal project will be located. email with a link to the shared folder. award recipients must maintain an (iii) Description of the proposed All required application documents in active SAM registration with current ownership structure with an accordance with this Notice must be information at all times during which it organizational chart. loaded into the shared CloudVault has an active Federal award or an (iv) Narrative verifying the applicant’s folder. When the submission deadline is application under consideration by the ability to meet the eligibility reached for each applicable funding Agency. The applicant must ensure that requirements stated earlier in this round, the applicant’s access to the the information in the database is Notice. shared CloudVault folder will be (v) A statement of the applicant’s current, accurate, and complete. removed. Any document uploaded to experience in operating labor housing or Applicants must ensure they complete the shared CloudVault folder after the other rental housing. If the applicant’s the Financial Assistance General application deadline, for each experience is limited, additional Certifications and Representations in applicable funding round, will not be information should be provided to SAM. reviewed or considered. indicate how the applicant plans to C. Pre-Application and Submission The applicant should upload a Table compensate for this limited experience Information of Contents of all of the documents that (i.e., obtaining assistance and advice of have been uploaded to the shared a management firm, non-profit group, 1. Pre-Application Submission CloudVault folder. Last-minute requests public agency, or other organization The application process will be in two and submissions may not allow which is experienced in rental phases, for each individual fiscal year adequate time for the submission management and will be available on a that this Notice is open: The initial pre- process to take place prior to the continuous basis). application and the submission of a deadline. Applicants are reminded that (vi) Description of the applicant’s final application. Only those pre- all submissions must be received by the legal and financial capability to carry applications that are selected for further deadline, for each applicable funding out the obligation of the loan and/or processing will be invited to submit a round, and the application will be grant. final application. In the event that a pre- rejected if it is not received by the (vii) Proposed management. A brief application is selected for further deadline date and time, regardless of statement explaining the applicant’s processing and the applicant declines, when the application was submitted. proposed method of operation and the next highest ranked pre-application (b) Prior to the submission of a pre- management (i.e., on-site manager, will be selected for further processing in application, the applicant is encouraged contract for management services, etc.).
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00004 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7844 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
As stated earlier in this Notice, the justification must be provided for will review each letter to verify that the housing must be managed in accordance requests of 100 percent RA or OA. applicant is only able to obtain market with the program’s management (xvii) Statement by the applicant that rate financing, which would include a regulations, 7 CFR part 3560. they will pay any cost overruns. market rate interest rate and term of less (viii) Description of established site (xviii) Estimated development than 30 years. control. timeline to include estimated start and (6) Letter from the IRS indicating the (ix) Proposed Return to Owner (RTO), end date as well as any other important applicant’s tax identification number. if applicable. milestones. (7) Documentation verifying the (x) Any financial commitments, (xix) Description of any required site applicant’s DUNS number, if applicable. financial concessions, or other development such as building roads, (8) Proposed limited partnership economic benefits proposed to be obtaining easements, installing utilities, agreement and certificates of limited provided by RHS. verification that there is proper site partners, if applicable. (Agency (xi) Third-party funding, if applicable. access, and any state or local approvals requirements should be contained in For each third-party funding source or such as zoning. one section of the agreement and their leveraged funds, discuss briefly the (xx) Description of the required and location identified by the applicant or funding provider, funding amount, intended applicant contribution. their attorney in a cover sheet.) including terms, commitment status, (xxi) Any other pertinent information (9) If a non-profit organization: timing issues, any restrictions that will that the applicant feels should be (i) Tax-exempt ruling from the IRS be applicable to the project, and disclosed as part of this proposal, if designating them as a 501(c)(3) or whether any accommodation from RHS applicable. 501(c)(4) organization. If the designation is proposed, such as a subordination in (2) Standard Form 424 ‘‘Application is pending, a copy of the designation lien position. The desired lien position for Federal Assistance’’ which can be request must be submitted. of any third-party funding source must obtained at: https://www.grants.gov/. (ii) Purpose statement, including the be clearly disclosed as well as any (3) Current (within six months of this provision of low-income housing. proposal for RHS to subordinate its lien Notice’s pre-application submission due (iii) Evidence of organization under position. date of the applicable funding round) Tribal, state and local law, or copies of (xii) Any proposed compensation to financial statements for each entity pending applications and a copy of the parties having an identity of interest within the ownership structure with the applicant’s charter, Articles of with either the seller, purchaser, following paragraph certified by the Incorporation, and by-laws. consultant, or Technical Assistance applicant’s designated and legally (iv) List of Board of Directors (TA) provider, etc. authorized signer: including their names, occupations, (xii) Any proposed construction ‘‘I/we certify the above is a true and phone numbers, and addresses. financing, for example, a construction or accurate reflection of our financial (v) If a member or subsidiary of bridge loan or the use of multiple condition as of the date stated herein. another organization, the organization’s advances. This statement is given for the purpose name, address, and nature of business. (xiv) Type and method of of inducing the United States of (10) Market feasibility documentation construction such as owner builder, America to make a loan or to enable the to identify the supply and demand for negotiated bid, or contractor method. United States of America to make a Off-FLH in the primary market area. A (xv) If a FLH grant is desired, a determination of continued eligibility of market study must be submitted. The statement concerning the need for a FLH the applicant for a loan as requested in market area must be clearly identified grant. The statement must include the loan application of which this and may include only the area from estimates of the rents required with a statement is a part.’’ which tenants can reasonably be drawn grant and rents required without a grant. (4) A check for $24 made out to the for the proposed project. Documentation Documentation to demonstrate how the United States Department of must be provided to justify a need rent figures were computed must be Agriculture. This will be used to pay for within the intended primary market provided. Documentation must be in the credit reports obtained by RHS. The area for the housing of domestic farm form of a completed Form RD 3560–7 check must be mailed to the following laborers. The documentation must also ‘‘Multiple Family Housing Project address and received prior to the consider disabled and retired farm Budget/Utility Allowance’’ completed application deadline for the applicable workers and adjusted medium incomes as if a grant were received and another funding round. If the check is not of very-low, low, and moderate. The form completed as if a grant would not received by the application deadline for market study must include all of the be received. RHS will review each the applicable funding round, the content in Exhibit 4–10 and Exhibit 4– budget to determine that the income and application will be considered 11. These exhibits are located in HB–1– expenses are reasonable and customary incomplete and will not be considered 3560, Chapter 4, Section 4.18. The for the area. RHS will then verify that for funding. market study must also include the proposed rental rates provided on Tonya Boykin, Management Assistant, documentation of all the elements in the budget that considers rents without United States Departments of Attachment 4–F, located in HB–1–3560, a grant, are at or above market rate rents Agriculture, 1400 Independence Chapter 4. The provider must include a or at a level that would overburden the Avenue SW, Room 1263–S, STOP copy of Attachment 4–F within the intended residents based on the average 0782, Washington, DC 20250 report and provide the page number of income of eligible FLH workers in the (5) Evidence that the applicant is the report where it contains the primary market area as provided in the unable to obtain credit from other information that satisfies each element market study. sources. At least two letters from two of Attachment 4–F. The market study (xvi) If RA or OA is desired, a separate credit institutions which must be obtained from, and performed statement concerning the need for the normally provide real estate loans in the by, an independent third-party provider RA or OA and a statement concerning area must be obtained and these letters that has no identity of interest with the the specific number of units of RA or must indicate the rates and terms upon property owner, management agent, OA that is needed. Strong and detailed which a loan might be provided. RHS applicant or any other principle or
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00005 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7845
affiliate. The market study must also the property be located in a designated Preservation Officer (THPO) with the include the following: place. request for comments. (i) The annual income level of (12) A supportive services plan which (19) Evidence of compliance with farmworker families in the area and the describes services that will be provided Executive Order 12372. The applicant probable income of the farm workers on-site or made available to tenants must send a copy of Form SF–424, who will likely occupy the proposed through cooperative agreements with ‘‘Application for Federal Assistance,’’ to housing; service providers in the community, the applicant’s State clearinghouse for (ii) A realistic estimate of the number such as a health clinic or day care intergovernmental review. If the of farm workers who remain in the area facility. Off-site services must be applicant is located in a State that does where they harvest and the number of accessible and affordable to farm not have a clearinghouse, the applicant farm workers who normally migrate into workers and their families. A map is not required to submit the form. the area. Information on migratory showing the location of supportive However, evidence that the State does workers should indicate the average services must be included. Letters of not have a clearinghouse must be number of months the migrants reside commitment from service providers are submitted. Applications from Federally in the area and an indication of what acceptable documentation. The plan recognized Indian tribes are not subject type of households are represented by must describe how the services will be to this requirement. the migrants (i.e., single individuals as funded. RA may not fund supportive (20) Phase I Environmental Site opposed to families); services. Assessment, ASTM E–1527 (Phase I (iii) General information concerning (13) Preliminary plans and ESA). (22) FEMA Form 81–93, Standard the type of labor-intensive crops grown specifications, including a plot plan, site plan with contour lines, floor plan Flood Hazard Determination. in the area and prospects for continued (23) Comments regarding relevant demand for farm laborers; for each living unit type and other spaces, such as laundry facilities, offsite conditions. (iv) The overall occupancy rate for community rooms, stairwells, etc., (24) The following forms are required comparable rental units in the area and building exterior elevations, typical to be submitted with the pre- the rents charged and customary rental building exterior wall section, building application: practices for these units (i.e., will they layouts, and type of construction and (i) Awards made under this Notice are rent to large families, do they require materials. The housing must meet RHS’s subject to the provisions contained in annual leases, etc.); design and construction standards the Consolidated Appropriations Act, (v) The number, condition, adequacy, contained in 7 CFR part 1924, subparts 2021 (Pub. L. 116–260) sections 745 and rental rates and ownership of units A and C, and must also meet all 746 regarding felony convictions and currently used or available to farm applicable federal, state, and local corporate Federal tax delinquencies. To workers; accessibility standards and be in comply with these provisions, (vi) Information on any proposed new compliance with all building codes. applicants that are, or propose to be, construction of housing units within the Also, applications for Off-FLH loans and corporations will submit form AD–3030, primary market area. The building grants must meet the design ‘‘Representations Regarding Felony permit information and pending tax requirements in 7 CFR 3560.559. Conviction and Tax Delinquent Status credit applications must be checked for (14) Provide a description of the for Corporate Applicants,’’ as part of the primary market area; proposed interior/exterior washing their pre-application. Form AD–3030 (vii) Documentation verifying that facilities. Applicants should consider can be found at: http:// interviews were conducted with farms incorporating interior/exterior washing www.ocio.usda.gov/document/ad3030. and other agricultural businesses within facilities for tenants, as necessary to (ii) A prepared Form HUD–935.2A, the primary market area to inquire if protect the asset and the tenants from ‘‘Affirmative Fair Housing Marketing they are in need of additional housing excess dirt and chemical exposure. Such Plan (AFHMP)—Multifamily Housing’’ for their employees or if they plan to facilities might include a boot washing in accordance with 7 CFR 1901.203(c). expand and hire additional employees station or hose bibs, among others. The AFHMP will reflect that occupancy that will need housing; and (15) Description and justification of is open to all qualified ‘‘domestic farm (viii) A description of the proposed related facilities and a schedule of laborers,’’ regardless of which farming units, including the number, type, size, separate charges for the related operation they work for, and that they rental rates, amenities such as carpets facilities. will not discriminate on the basis of and drapes, related facilities such as a (16) The applicant must submit a race, color, sex, age, disability, marital laundry room or a community room and checklist, certification, and signed or familial status or National origin in other facilities providing supportive affidavit by the project architect or regard to the occupancy or use of the services in connection with the housing engineer, as applicable, for any energy units. The AFHMP must include all and the needs of the prospective tenants programs the applicant intends to attachments and supporting such as a health clinic or day care participate in. documentation. The form can be found facility. (17) A Sources and Uses Statement at: http://portal.hud.gov/hudportal/ (11) Evidence of site control, such as which shows all sources of funding documents/huddoc?id=935-2a.PDF. an executed option contract or sales included in the proposed project. The Indian Tribes, including contract. In addition, a map and terms and schedules of all sources instrumentalities of such Indian Tribes, description of the proposed site, included in the project should be are not required to comply with certain including the availability of water, included in the Sources and Uses aspects of the AFHMP guidelines above, sewer, and utilities and the proximity to Statement. (Note: Section 516 grants and may allow members of Indian community facilities and services such may not exceed 90 percent of the TDC Tribes to be given preference for as shopping, schools, transportation, of the project). housing. The Native American Housing doctors, dentists, and hospitals. Off-FLH (18) Evidence of the submission of the Enhancement Act of 2005 (NAHEA), projects must comply with the site project description to the applicable Public Law 109–136, Codified at 25 requirements in 7 CFR 3560.558 with State Housing Preservation Office U.S.C. 4101 et seq., amended Title V of the exception of the requirement that (SHPO), and/or Tribal Historic the Housing Act of 1949 (42 U.S.C. 1471
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00006 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7846 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
et seq.) which created the housing will review the budget for feasibility, requirements in accordance with this programs administered by the United accuracy, and reasonableness. Notice and to have their electronic States Department of Agriculture, Rural (iv) An estimate of development costs application submission documents Housing Service. The NAHEA excludes utilizing Form RD 1924–13 ‘‘Estimate indexed in the order of this Notice to Indian Tribes, including and Certificate of Actual Cost’’ can be facilitate the review process. If any of instrumentalities of such Indian Tribes, found at: http://forms.sc.egov.usda.gov/ the required items listed above are not from the requirement to comply with efcommon/eFileServices/eForms/ submitted within the pre-application in Title VI of the Civil Rights Act of 1964, RD1924-13.PDF. accordance with this Notice or are and Title VIII of the Civil Rights Act of (v) Form RD 3560–30, ‘‘Certification incomplete, the pre-application will be 1968, allowing members of Indian of no Identity of Interest (IOI),’’ if considered incomplete and will not be Tribes to be given preference for applicable, can be found at: http:// considered for funding. housing in accordance to the Native forms.sc.egov.usda.gov/efcommon/ RHS will not consider information American Housing Assistance and Self eFileServices/eForms/RD3560-30.PDF. from an applicant after the pre- Determination Act of 1996 (25 U.S.C. (vi) Form RD 3560–31, ‘‘Identity of application deadline for the applicable 4101 et seq.). Interest Disclosure/Qualification funding round. RHS may contact the The NAHEA does not exempt Indian Certification’’ if applicable, can be applicant to clarify items in the Tribes from complying with other laws found at: http://forms.sc.egov.usda.gov/ application. RHS will uniformly notify that apply to recipients of Federal efcommon/eFileServices/eForms/ applicants of each curable deficiency. A financial assistance. Therefore, federally RD3560-31.PDF. curable deficiency is an error or recognized Indian Tribes must continue An IOI is defined in 7 CFR 3560.11. oversight that if corrected it would not to comply with Section 504 of the RHS will review Form RD 3560–30 and alter, in a positive or negative fashion, Rehabilitation Act of 1973, the Age Form RD 3560–31, as applicable, to the review and rating of the application. Discrimination Act of 1975, and Title IX determine if they are completed in An example of a curable (correctable) of the Education Amendments Act of accordance with the Forms Manual deficiency would be inconsistencies in 1972, where applicable. The NAHEA Insert and to determine that all IOI’s the amount of the funding request. also did not exempt Indian Tribes from have been disclosed. TA will not be D. Pre-Application Review Information complying with the accessibility funded by RHS when an IOI exists requirements of the Fair Housing between the TA provider and the loan 1. Selection Criteria. Section 514 Off- Amendments Act (FHAA) of 1988. This or grant applicant. FLH loan funds and Section 516 Off- Act amended Title VIII of the Fair (vii) Form HUD 2530, ‘‘Previous FLH grant funds will be distributed to Housing Act of 1968, to include Participation Certification’’ can be states based on a national competition, disability and familial status. Therefore, found at: https://www.hud.gov/sites/ as follows: the NAHEA did not specifically exempt dfiles/OCHCO/documents/2530.pdf. (a) RHS will accept, review, and score Indian Tribes from the accessibility (viii) If requesting RA or OA, Form RD pre-applications in accordance with this requirements of the FHAA. The 3560–25, ‘‘Initial Request for Rental Notice. requirements to construct multi-family Assistance or Operating Assistance’’ can (1) Points will be allocated for housing properties accessible to, or be found at: http:// applications that leverage other funds adaptable for, persons with disabilities forms.sc.egov.usda.gov/efcommon/ based on the ratio of leveraged funds to are to be followed. This requirement eFileServices/eForms/RD3560-25.PDF. RHS’s total investment. This is shall be consistent with RD Instructions (ix) Form RD 400–4, ‘‘Assurance calculated as follows: 7 CFR part 3560, § 3560.60, Design Agreement’’ can be found at: http:// The leverage ratio equals the sum of Requirements. forms.sc.egov.usda.gov/efcommon/ all permanent third-party project (iii) A proposed post-construction eFileServices/eForms/RD400-4.PDF. investments plus RHS’s allowed value operating budget utilizing Form RD (x) RD Instruction 1940–Q, Exhibit A– of donated land. The value of the 3560–7, ‘‘Multiple Family Housing 1, ‘‘Certification for contracts, grants donated land will be calculated in Project Budget/Utility Allowance’’ can and loans,’’ can be found at: https:// accordance with RHS’s HB–1–3560. The be found at: http:// www.rd.usda.gov/files/1940q.pdf. amount of permanent third-party project forms.sc.egov.usda.gov/efcommon/ A separate one-page information sheet investments is limited to third-party eFileServices/eForms/RD3560-7.PDF. listing each of the pre-application funds from equity, grants, loans, and RHS will review the budget to scoring criteria contained in this Notice, deferred developer fees. To obtain the determine that the income and expenses followed by a reference to the page ratio from which the leveraged funds are reasonable and customary for the numbers of all relevant material and points are derived, the leveraged fund area. RHS will also verify that the documentation that is contained in the amount is divided by RHS’s investment, budget reflects the correct and estimated proposal that supports the criteria. which equals the total amount of RHS debt service, number of units, unit Applicants are encouraged to include a approved Section 514 loans and/or mix, and proposed rents. Overall, RHS checklist of all of the application Section 516 grants. For example:
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00007 Fmt 4703 Sfmt 4725 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES EN02FE21.002 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7847
The leverage ratio is multiplied by 10 distressed community where new Energy Ready Homes, International to determine the points value for this investments, under certain conditions, Living Future Institute’s Living Building section. Using the above leverage ratio, may be eligible for preferential tax Challenge, U.S. Environmental this would be 5.167 x 10, which equates treatment. Localities qualify as Protection Agency (EPA) Energy Star for to 51.67 score points for leverage. Opportunity Zones if they have been Homes, Passive House Institute’s PHIUS A score point for leverage of more nominated for that designation by the +, Enterprise Community Partners Green than zero but less than one will be state and that nomination has been Communities, and local energy rounded to one point. A score point for certified by the Secretary of the U.S. conservation programs, will each have leverage of zero or less will not receive Treasury via his delegation of authority an initial checklist indicating any points. There is no maximum to the IRS. See https://www.irs.gov/ prerequisites for participation in its amount of score points for leverage. All newsroom/opportunity-zones- energy program. The applicable energy score points for leverage will be frequently-asked-questions for more program checklist will establish rounded to two decimal places. information. Documentation must be whether prerequisites for the energy Donated land must meet the provided within the pre-application that program’s participation will be met. All requirements of 7 CFR 3560.56(c)(1)(iv). verifies the property is within an checklists must be accompanied by a Land that has been donated and Opportunity Zone. signed affidavit by the project architect received points in the scoring process as (4) Points will be allocated for the or engineer stating that the goals are donated land may not be considered an presence of tenant supportive services. achievable, and the project has been equity contribution nor may a return on Two points will be awarded for each enrolled in these programs if enrollment the value of the land be allowed. tenant service included in the tenant is applicable to that program. These (2) The presence of operational cost supportive services plan up to a programs evolve and newer versions are savings, such as tax abatements, non- maximum of 10 points. The plan must published, sometimes annually. Projects RHS tenant subsidies or donated describe the proposed supportive must participate in the current version services are calculated on a per-unit cost services, including a description of the of the programs and must consult with savings for the sum of the savings. public or private funds that are expected the program provider for the most Savings must be available for at least to fund the proposed services as well as current, applicable and available five years and documentation must be the way the services will be delivered, programs for their project location. In provided within the pre-application who will administer them, and where addition, projects that apply for points demonstrating the availability of savings they will be administered. All tenant under the energy generation category for five years. To calculate the savings, service plans must include letters of must include calculations of savings of take the total amount of savings and intent that clearly state the service that energy. Compare property energy usage divide it by the number of units in the will be provided at the project for the of three scenarios: (1) Property built to project that will benefit from the savings benefit of the residents from any party required code of state with no to obtain the per-unit cost savings. For administering each service, including renewables, to (2) property as-designed non-RHS tenant subsidy, if the value the applicant. These services may with commitments to stated energy changes during the five-year calculation, include, but are not limited to, conservation programs without the use the applicant must use the lower of the transportation related services, on-site of renewables and (3) property as- non-RHS tenant subsidy to calculate English as a Second Language classes, designed with commitments to stated per-unit cost savings. For example, a 10- move-in funds, emergency assistance energy conservation programs and the unit property with 100 percent funds, homeownership counseling, food use of proposed renewables. Use local designated farm labor housing units pantries, after school tutoring, and average metrics for weather and utility receiving $20,000 per year non-RHS computer learning centers. The costs and detail savings in kWh and subsidy yields a cost savings of proposed supportive services plan must dollars. Provide payback calculations. $100,000 ($20,000 × 5 years); resulting describe how the services will meet the These calculations must be done by a in a $10,000 per-unit cost savings identified needs of the tenants and how licensed engineer or credentialed ($100,000/10 units). the services will be provided on a renewable energy provider. Include Use the following table to apply consistent, long-term basis to support with the application, the provider/ points: the tenants. The plan must clearly state engineer’s credentials including how the services will be funded. RA qualifications, recommendations, and Per-unit cost savings Points may not be used to pay for these proof of previous work. The checklist, services. affidavit, calculations, and Above $15,000 ...... 50 (5) Points will be allocated for Energy qualifications of the engineer/energy $10,001–$15,000 ...... 35 initiatives (the aggregate points for all $7,501–$10,000 ...... 20 provider must be submitted together $5,001–$7,500 ...... 15 the Energy Initiative categories may not with the pre-application. $3,501–$5,000 ...... 10 exceed (20 points)). Enrollment in EPA Portfolio Manager $2,001–$3,500 ...... 5 Properties may receive points for Program. All projects awarded scoring $1,000–$2,000 ...... 2 energy initiatives in the categories of points for energy initiatives must enroll energy conservation, energy generation, the project in the EPA Portfolio Manager Documentation must be provided water conservation and green property program to track post-construction within the pre-application that verifies management. Properties may earn energy consumption data. More the presence of operational cost savings. ‘‘energy initiative’’ points for new information about this program may be RHS will not be providing excess construction. found at: http://www.energystar.gov/ assistance to the project. This is National energy programs including buildings/facility-owners-and- determined by conducting a subsidy the U.S. Green Building Council’s managers/existing-buildings/use- layering review and underwriting prior Leadership in Energy and portfolio-manager. to the obligation of funds. Environmental Design (LEED (National (i) Energy Conservation for New (3) Ten points will be awarded to Association of Homebuilders 2020 ICC Construction. Projects may be eligible projects in Opportunity Zones. An 700 National Green Building Standard, for scoring points when the pre- Opportunity Zone is an economically U.S. Department of Energy (DOE) Zero application includes a written
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00008 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7848 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
certification by the applicant to who participate in a city, county or Green Property Management. participate and achieve certification in municipality programs (1 points). Credentialing can be obtained from the the following energy efficiency (ii) Energy Generation. Projects that National Apartment Association (NAA), programs. commit to participate in the above- National Affordable Housing The points will be allocated as mentioned programs in section i) also Management Association, The Institute follows: will receive scoring points for for Real Estate Management, USGBC • Participation in the EPA’s Energy installation of on-site renewable energy LEED for Operations and Maintenance, Star Multifamily New Construction sources. Energy analysis of preliminary or another source with a certifiable Certification Process (5 points). https:// building plans using industry- credentialing program. Credentialing www.energystar.gov/partner_resources/ recognized simulation software must must be illustrated in the resume(s) of residential_new/homes_prog_reqs/ document the projected total energy the property management team and multifamily_national_page consumption of all the building included with the pre-application. OR components and building site usage. (6) Market. The applicant must • Participation in the Green Projects with an energy analysis of the provide the required market study as Communities program by the Enterprise preliminary or rehabilitation building described above in Section C, Pre- Community Partners (2020 Criteria). (7 plans that propose a 10 percent to 100 application and Submission points) https:// percent energy generation commitment Information, number 11 and will be www.enterprisecommunity.org/ (where generation is considered to be awarded points as follows: solutions-and-innovation/green- the total amount of energy needed to be Need. Applications will be rated on communities generated on-site to get the building a the absorption ratio. The absorption OR net-zero or net positive consumer/ ratio is computed by dividing the • Participation in one of the following producer of energy) will be awarded number of units in the proposed project two programs will be awarded points for points as follows: by the number of income eligible and certification. • 0 to 9 percent commitment to energy farm labor eligible households within NOTE: Each program has four levels of the primary market area. generation—0 points • certification. State the level of • 10 to 20 percent commitment to Evidence of Strong Need (4 points). certification that the applicant’s plans energy generation—1 point An absorption ratio of 15 percent or will achieve in their certification: • 21 to 40 percent commitment to less. • • LEED Residential BD&C program by energy generation—2 points Evidence of Need (2 points). An the United States Green Building • 41 to 60 percent commitment to absorption ratio greater than 15 percent Council (USGBC): http:// and less than 30 percent. energy generation—3 points • www.usgbc.org.—Certified Level (6 • 61 to 80 percent commitment to No Evidence of Need (0 points). An points), OR—Silver Level (7 points), energy generation—4 points absorption ratio 30 percent or greater. OR—Gold Level (8 points), OR— • 81 to 100 percent or more Neighborhood and Context. Platinum Level (9 points) commitment to energy generation—5 Applicants must demonstrate that the The applicant must state the level of points location of the site supports farm labor certification that the applicant’s plans housing. The applicant must identify Projects may participate in Power will achieve in their certification in the the location, the proximity, and ease of Purchase Agreements or Solar Leases to pre-application. access of the project site to amenities achieve their on-site renewable energy important to the residents that OR generation goals provided that the • The National Association of Home supplement the services provided on- financial obligations of the lease/ site. The site location will be rated on Builders (NAHB) 2020 ICC 700 National purchase agreements are clearly Green Building Standard: https:// the following: documented and included in the pre- • Health care and social services www.nahb.org/ application, and qualifying ratios (hospital, medical clinic, social service —Green-Bronze Level (6 points), OR continue to be achieved. organization that offers services to farm —Silver Level (7 points), OR—Gold An additional one point (1 point) will workers) (2 points); Level (8 points), OR—Emerald Level be awarded for off-grid systems, or • Grocery stores (e.g., supermarket or (9 points). Applicant must state the elements of systems, provided that at other store that sells produce and meat) level of certification that the least five percent of the on-site (2 points); applicant’s plans will achieve in their renewable system is off-grid. See • Recreational facilities (e.g., parks certification in the pre-application. www.dsireusa.org for State and local and green space, community center, OR specific incentives and regulations of gym, health club, or family • Participation in the DOE Zero energy initiatives. entertainment venue, library) (2 points); Energy Ready Homes program. (9 (iii) Water Conservation in Irrigation • Civic facilities (e.g., place of points) https://www.energy.gov/eere/ Measures. Projects may be awarded one worship, police or fire station, post buildings/zero-energy-ready-homes point (1 point) for the use of an office) (2 points); OR engineered recycled water (gray water or • Other neighborhood-serving • PHIUS+ Passive Building Standard storm water) for landscape irrigation amenities (e.g., apparel store, (2018) (10 points) https:// covering 50 percent or more of the convenience store, pharmacy, bank, hair multifamily.phius.org/service-category/ property’s site landscaping needs. care, and restaurants) (2 points). phius-within-reach (iv) Property Management Applicants must describe how OR Credentials. Projects may be awarded residents could reasonably access • International Living Future Institute one point (1 point) if the designated critical amenities. Amenities will Living Building Challenge (11 points) property management company or generally be considered readily https://living-future.org/lbc/ individuals that will assume available if they are within one-half AND maintenance and operation mile walking distance or they can be • Participation in local green/energy responsibilities upon completion of accessed by public transportation efficient building standards. Applicants construction work have a Credential for (within one-quarter walking mile)
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00009 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7849
including accessible public RHS will make a determination on the highest to lowest, eligible and complete transportation option, and/or affordable level of experience of the applicant and pre-applications. Based on available private door-to-door shuttle/van service all Sponsors/Co-Sponsors, if applicable, funding, the 10 percent persistent that is reliable and accessible. based on the information and poverty counties set-aside, and the 30 Applicants may commit to providing documentation presented within the percent limitation per state, RHS will such transportation services if the pre-application. Points will be awarded determine which pre-applications will nature of the commitment and the as follows: be selected for further processing financing of the commitment is • No development experience (0 points) starting with the highest scoring pre- adequately described. Project funds • Low level of development experience application. RHS will notify applicants cannot be used for this purpose. (2 points) with pre-applications found eligible and To score the maximum number of • Medium level of development selected for further processing. points on this factor, applicants must experience (5 points) Applicants will be notified if there are make a compelling argument that the • High level of development experience insufficient funds available for the location of the proposed project is well (10 points) proposal and such notification is not suited with respect to proximate To score the highest number of points appealable. For applications found amenities to meet the needs of farm for this factor, applicants must describe ineligible or incomplete, RHS will send workers. Documentation must be significant previous experience in notices of ineligibility that provide provided that clearly outlines the providing housing to farm laborer’s appeal rights under 7 CFR part 11, as project site and its proximity to the generally and significant previous appropriate. applicable amenities. experience implementing development RHS will rank all pre-applications (7) Owner capacity. This factor activities with the type of financing nationwide. When proposals have an addresses the extent to which the proposed. equal score and not all pre-applications applicant, or a member of the Supportive Services Experience. can be funded, preference will be given applicant’s team, has the experience and Applicants should demonstrate how the first to Indian tribes as defined in organizational resources to successfully scope, extent, and quality of the § 3560.11, then local non-profit implement the proposed activities in a applicant’s experience and/or the organizations or public bodies whose timely manner. In this rating factor, RHS experience of committed partners, principal purposes include low-income will consider the extent to which the including property managers, in housing that meet the conditions of application demonstrates the applicant’s providing services is consistent with the § 3560.55(c), and the following ability to develop and operate FLH on details of the proposed supportive conditions: • a long-term basis. In the case of co- services plan. The description and firm Is exempt from Federal income sponsored applications, the rating will resumes must identify specific services taxes under section 501(c)(3) or be based upon the combination of the provided. Applicants must explain their 501(c)(4) of the Internal Revenue experience of all co-sponsors in the area experience in RHS subsidy Service code; • under review. administration and/or their partners’ Is not wholly or partially owned or A firm resume must be provided for experience in providing property controlled by a for-profit or limited- the applicant and all Sponsors/Co- management and coordinating profit type entity; • Sponsors. Each resume must include supportive services. Whose members, or the entity, do evidence of development experience RHS will make a determination on the not share an identity of interest with a and services experience, as applicable. level of experience of the applicant and for-profit or limited-profit type entity; • In addition, the resume should include all Sponsors/Co-Sponsors, if applicable, Is not co-venturing with another a description of all similar projects that based on the information and entity; and • the applicant and Sponsors/Co- documentation presented within the The entity or its members will not Sponsors have been involved with, to pre-application. Points will be awarded be receiving any direct or indirect include whether they were Federal as follows: benefits pursuant to LIHTC. housing projects, and information • No supportive services experience (0 If after all of the above evaluations are regarding the success of the projects. points) completed and there are two or more Development Experience. Applicants • Low level of supportive services pre-applications that have the same should demonstrate how the scope, experience (1 point) score, and all cannot be funded, a extent, and quality of the Sponsor’s and/ • Medium level of supportive services lottery will be used to break the tie. The or their consultant team’s recent experience (3 points) lottery will consist of the names of each experience in developing and operating • High level of supportive services pre-application with equal scores housing is consistent with the details of experience (6 points) printed onto a same size piece of paper, the proposed project. The evaluation which will then be placed into a will consider experience with LIHTC, To score the highest number of points receptacle that fully obstructs the view FLH with RHS funds, and other for this factor, applicants and/or of the names. The Director of the complex financing development committed partners must describe and Production and Preservation Division, transactions to the extent such expertise provide evidence of significant previous in the presence of two witnesses, will is relevant to the proposal, experience experience in providing and draw a piece of paper from the that shows familiarity with FLH and coordinating supportive services to farm receptacle. The name on the piece of experience operating Federally assisted laborers. paper drawn will be the applicant to be housing, which may be demonstrated by E. Federal Award Administration funded. providing supporting data related to Information If insufficient funds or RA/OA remain actual performance. The description or for the next ranked proposal, that firm resumes must include any rental 1. Federal Award Notices applicant will be given a chance to housing projects and supportive Applicants must submit their pre- modify their pre-application to bring it services facilities that the applicant applications by the due dates specified within the remaining available funding. sponsored, owns or operates. in this Notice. RHS will rank by score, This will be repeated for each next
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00010 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7850 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
ranked eligible proposal until an award G. Final Application and Submission forms.sc.egov.usda.gov//efcommon/ can be made or the list is exhausted. Information eFileServices/eForms/RD1910-11.PDF. (8) Form RD 400–1, ‘‘Equal 1. Final Application Submission 2. Administrative and National Policy Opportunity Agreement’’ can be found The pre-applications that are selected All FLH loans and grants are subject at: https://forms.sc.egov.usda.gov/ for further processing will be invited to to the restrictive-use requirements eForms/searchAction.do?pageAction submit final applications. In the event _ contained in 7 CFR 3560.72(a)(2). =BrowseForms& MenuAction=Yes. that a pre-application is selected for (9) Form RD 400–6, ‘‘Compliance A FLH grant agreement, prepared by further processing and the applicant Statement’’ can be found at: https:// RHS, must be dated and executed by the declines, the next highest ranked pre- forms.sc.egov.usda.gov/eForms/ applicant on the date of closing, if application will be selected for further searchAction.do?pageAction= applicable. The form of loan resolution processing in each individual fiscal year BrowseForms&_MenuAction=Yes. to be adopted by the applicant must that this Notice is open. The final (10) Form AD–1047, ‘‘Certification contain policy and procedural applications will be due by the dates Regarding Debarment, Suspension, and requirements that should be read and be specified in this Notice for the Other Responsibility Matters Primary fully understood by the applicant’s applicable funding round. Covered Transactions,’’ can be found at: Board of Directors and officers. The All final applications must be filed https://www.ocio.usda.gov/sites/ grant agreement will remain in effect for with RHS and must meet the default/files/docs/2012/AD1047_ so long as there is a need for FLH and requirements of this Notice. Incomplete PrimaryCoveredTransactions_final.pdf. will not expire until an official final applications will be rejected and This form is only required for applicants determination has been made by RHS, if returned to the applicant. No final exempt under 2 CFR 25.110 (i.e. applicable. applications will be accepted after the individual applicants). deadline in a given round unless the 3. Reporting (11) Form AD–1048, ‘‘Certification of date and time are extended by another Debarment, Suspension, Ineligibility Borrowers must maintain separate Notice published in the Federal and Voluntary Exclusion Lower Tier Register. financial records for the operation and Covered Transactions’’ if applicable, can A final application in accordance maintenance of the project and for be found at: https://www.ocio.usda.gov/ with this Notice must be submitted and tenant services. Tenant services will not sites/default/files/docs/2012/AD1048_ approved by RHS prior to the obligation LowerTierCoveredTransactions_ be funded by RHS. Funds allocated to of funds. the operation and maintenance of the final.pdf. This form is only required for The final application submission applicants exempt under 2 CFR 25.110 project may not be used to supplement process will be the same as previously the cost of tenant services, nor may (i.e. individual applicants). explained and outlined for the pre- (12) Form AD–1049, ‘‘Certification tenant service funds be used to application submission process in supplement the project operation and Regarding Drug-Free Workplace Section C (1), ‘‘Pre-Application and Requirements (Grants) Alternative I— maintenance. Detailed financial reports Submission Information.’’ regarding tenant services will not be For Grantees Other Than Individuals,’’ required unless specifically requested 2. Final Application Requirements can be found at: https:// www.ocio.usda.gov/sites/default/files/ by RHS, and then only to the extent (a) The final application must contain docs/2012/AD1049_Alt1_ necessary for RHS and the borrower to the following in addition to the pre- GranteesOtherThanIndividuals_ discuss the affordability (and application documents that were v2_final.pdf. competitiveness) of the service provided previously submitted: to the tenant. The project audit, or (1) Description of any changes from (13) Form RD 3560–13, ‘‘Multi-Family verification of accounts on Form RD the pre-application submission Project Borrower’s/Management Agent’s 3560–10, ‘‘Borrower Balance Sheet’’ including funding, scope of work, etc. Management Certification’’ if together with an accompanying Form (2) If any document that was applicable, can be found at: https:// RD 3560–7, ‘‘Multiple Family Housing submitted within the pre-application forms.sc.egov.usda.gov//efcommon/ Project Budget/Utility Allowance’’ must has since changed or needs to be eFileServices/eForms/RD3560-13.PDF. allocate revenue and expenses between updated with the final application, (14) Management plan with all project operations and the tenant please submit the updated form(s) with attachments including the proposed services component. the final application. record keeping system, the proposed (3) Final Standard Form 424, lease with an attorney’s certification, if F. Preliminary Eligibility Assessment ‘‘Application for Federal Assistance.’’ applicable, and the proposed occupancy (4) Final proposed Form RD 1924–13, rules. RHS shall make a preliminary ‘‘Estimate and Certificate of Actual (15) Management Agreement, if eligibility assessment using the Cost.’’ applicable. following criteria: (5) Final proposed post-construction (16) Final organizational documents 1. The pre-application was received operating budget utilizing Form RD or Certificate of Good Standing. by the applicable submission deadlines 3560–7, ‘‘Multiple Family Housing (17) Attorney Certification. Letter specified in the Notice; Project Budget/Utility Allowance.’’ from the applicant’s attorney certifying 2. The pre-application is complete as (6) Updated financial statements, if the legal sufficiency of the specified by the Notice; applicable (must be within six months organizational documents. The attorney of this Notice’s final application must certify: 3. The applicant is an eligible entity submission due date of the applicable (i) The applicant’s legal capacity to and is not currently debarred, funding round). successfully operate the proposed suspended, or delinquent on any (7) Form RD 1910–11, ‘‘Applicant project for the life of the loan and/or Federal debt; and Certification, Federal Collection Policies grant. 4. The proposal is for authorized for Consumer or Commercial Debts’’ can (ii) The organizational documents purposes. be found at: https:// comply with RHS regulations.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00011 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7851
(iii) For partnership purchasers, that www.rd.usda.gov/programs-services/ would apply to proposals where site the term of the partnership extends at multi-family-housing-direct-loans. development activities for rural least through the latest maturity of all (20) Final plans and specifications development purposes would impact proposed RHS debt. along with the proposed manner of not more than 10 acres of real property (iv) That the organizational construction, if available. The housing and would not cause a substantial documents require prior written RHS must meet RHS’s design and increase in traffic. approval for any of the following: construction standards contained in 7 (iii) Environmental Assessment (7 Withdrawal of a general partner/ CFR part 1924, subparts A and C, and CFR part 1970, subpart C). managing member, admission of a must also meet all applicable Federal, This level of review is generally general partner/managing member, state, and local accessibility standards required for proposals for financial amending the organizational and be in compliance with all building assistance that do not fall within the documents, and selling all or codes. The final plans and categories listed in § 1970.53 or substantially all of the assets of the specifications along with the proposed § 1970.54. purchaser. manner of construction must be The information above applies (18) Acceptable appraisal. Applicants submitted prior to the approval of the generally and cannot be used as official should contact RHS to discuss the final application. guidance, as stated above, please contact appraisal requirements including the (21) Final construction planning, RHS to determine the appropriate level Statement of Work (SOW) prior to bidding, and contract documents, of environmental review before engaging an appraiser. Appraisals including the construction contract and developing the report. prepared for any other participants or architectural agreement, etc., if (23) The environmental information lenders may not satisfy RHS SOW available. The final construction must include evidence of compliance requirements and may require the planning, bidding, and contract with the requirements of the applicable applicant to incur additional costs. documents, including the construction State Housing Preservation Office Please contact RHS at MFHprocessing1@ contract and architectural agreement, (SHPO), and/or Tribal Historic usda.gov to obtain a SOW prior to etc., must be submitted prior to the Preservation Officer (THPO). A letter ordering the appraisal. approval of the final application. (19) An acceptable Post Construction (22) Environmental information in from the SHPO and/or THPO where the Capital Needs Assessment (CNA). The accordance with the requirements in 7 Off-FLH project is located signed by minimum requirements for a CNA CFR part 1970. The applicant should their designee will serve as evidence of acceptable to RHS can be found in consult with RHS to determine the compliance. Attachment B, CNA SOW. This is appropriate level of environmental (24) If leveraged funds are going to be supplemented by Attachment C, Fannie review and to obtain publicly available used and are in the form of LIHTC, the Mae Physical Needs Assessment resources at the earliest possible time applicant must include in the final Guidance to the Property Evaluator. The for guidance in identifying all relevant application a firm commitment letter CNA report must be obtained by the environmental issues that must be from the HFA, if available. The firm CNA recipient from an independent addressed and considered during early commitment letter from the HFA must third-party CNA provider that has no project planning and design throughout be submitted prior to the approval of the identity of interest with the property the process. Requests for consult final application. If the applicant is owner, management agent, applicant or meetings can be sent to the following unable to secure a firm commitment any other principle or affiliate. The CNA email address: MFHprocessing1@ letter from the HFA in order to submit recipient will contract with the CNA usda.gov. The applicant is responsible it to RHS to meet the deadlines stated provider and is therefore, the client of for preparing and submitting the in this Notice, the application will be the provider. However, the CNA environmental review document in deemed incomplete and the applicant recipient must consult with RHS, before accordance with the format and will be notified in writing that the contracting with a CNA provider to standards provided by RHS in 7 CFR application will not be considered for review Guidance Regarding Contracting part 1970. Applicants may employ a funding. Additionally, the applicant for a CNA. The RHS CNA reviewer will design or environmental professional or will be required to submit a letter of evaluate a proposed agreement or technical service provider to assist them intent or commitment from the investor engagement letter between the CNA in the preparation of their or syndicator for the purchase of the recipient and the CNA provider using environmental review documents at LIHTC prior to the approval of the final Attachment D, CNA Guidance to the their own expense. The levels of review application. Reviewer, prior to reviewing any CNA are as follows: (25) All applications that propose the report. Unacceptable CNA proposals, (i) Categorical Exclusion without an use of any leveraged funds must submit contracts or reports will be returned to Environmental Report (7 CFR 1970.53). firm commitment letters within their the CNA recipient for appropriate This level of review is generally final application, if available. This corrections before they will be used for required for proposals for financial includes any interim lender any underwriting determinations. The assistance that involve minimal commitment letters with evidence of CNA reviewer will also review the cost alternations in the physical license to do business in the applicable of the CNA contract. In most cases, the environment and typically occur on state. If the applicant is unable to secure CNA service contract amount has not previously disturbed land. firm commitment letters from the exceeded $3,500 based on RHS’s most (ii) Categorical Exclusion with an funding sources in order to submit them recent cost analysis. Borrowers and Environmental Report (7 CFR 1970.54). to RHS to meet the deadlines stated in applicants are encouraged to obtain This level of review is generally this Notice, the application will be multiple bids in all cases. However, required for proposals for financial deemed incomplete and the applicant there is no RHS requirement to select assistance that require an applicant to will be notified in writing that the the ‘‘low bidder.’’ All of the information submit an environmental report with application will not be considered for and requirements, including the CNA their application to facilitate RHS’s funding. Template that the CNA must be determination of extraordinary (26) Current Preliminary title submitted on, can be found at: https:// circumstances. This level of review insurance commitment/binder.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00012 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7852 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
(27) Land survey with flood plain or grant applicant. Identity of interest is (1) Mail: United States Department of certification. defined in 7 CFR 3560.11. Agriculture, Office of the Assistant Secretary for Civil Rights, 1400 (28) Description of how the applicant Equal Opportunity Survey will meet the equity contribution Independence Avenue SW, Washington, requirement as applicable. RHS should provide applicants the DC 20250–9410; (29) Description of how the applicant voluntary OMB 1890–0014 form, (2) Fax: (202) 690–7442; or will provide the two percent initial ‘‘Survey on Ensuring Equal Opportunity (3) Email at: program.intake@ operating and maintenance reserve for Applicants,’’ (or other forms usda.gov. requirement. currently being used by RHS) and ask USDA is an equal opportunity (30) Signed statement from the the applicant to complete it and return provider, employer, and lender. it to RHS. applicant agreeing to pay cost overruns. Chadwick Parker, Final Applications Substantial Portion of Income From Acting Administrator, Rural Housing Service. Farm Labor RHS will follow this Notice for the [FR Doc. 2021–02193 Filed 2–1–21; 8:45 am] processing of final applications. Final The Notice restates the requirement BILLING CODE 3410–XV–P applications will need to follow the that domestic farm laborers must receive bidding process as set forth in 7 CFR a substantial portion of their income part 1924. from ‘‘farm labor.’’ Further explanation DEPARTMENT OF COMMERCE of this requirement can be found in the Documentation of Underwriting and regulation at 7 CFR 3560.576(b)(2). The International Trade Administration Costs term ‘‘farm labor’’ is defined in 7 CFR [C–570–063] All final applications including the 3560.11. loan and/or grant requests will be H. Equal Opportunity and Non- Cast Iron Soil Pipe Fittings From the analyzed using an underwriting Discrimination Requirements People’s Republic of China: Final template that RHS has developed. A Results of Countervailing Duty complete analysis and underwriting of In accordance with federal civil rights Administrative Review; 2017–2018 the proposed transaction will be law and USDA civil rights regulations AGENCY: completed to ensure all regulatory and policies, USDA, its Agencies, Enforcement and Compliance, requirements are met and to ensure offices, and employees, and institutions International Trade Administration, overall project feasibility as well as to participating in or administering USDA Department of Commerce. determine the minimum amount of programs are prohibited from SUMMARY: The Department of Commerce assistance that is needed for the discriminating based on race, color, (Commerce) determines that certain proposal. national origin, religion, sex, gender producers and/or exporters of cast iron Once the loan and/or grant funds have identity (including gender expression), soil pipe fittings (soil pipe fittings) from been obligated, the applicant should be sexual orientation, disability, age, the People’s Republic of China (China), prepared to close the transaction and marital status, family/parental status, received countervailable subsidies complete construction within 12–18 income derived from a public assistance during the period of review (POR) months. Off-FLH loans and/or grants program. Political beliefs, or reprisal or December 19, 2017, through December must be liquidated not more than three retaliation for prior civil rights activity, 31, 2018. years from the date the loan and/or in any program or activity conducted or DATES: Applicable February 2, 2021. grant funds were obligated. Annually, if funded by USDA (not all bases apply to FOR FURTHER INFORMATION CONTACT: the loan and/or grant funds have not all programs). Remedies and complaint Dennis McClure or Joseph Dowling, AD/ been fully liquidated, the applicant filing deadlines vary by program or CVD Operations, Office VIII, must submit an obligation extension incident. Enforcement and Compliance, request to RHS. Persons with disabilities who require International Trade Administration, Questions regarding this Notice may alternative means of communication for U.S. Department of Commerce, 1401 be directed to Jonathan Bell, Branch program information (e.g., Braille, large Constitution Avenue NW, Washington, Chief, Processing and Report Review print, audiotape, American Sign DC 20230; telephone: (202) 482–5973 or Branch 1, Production and Preservation Language, etc.) should contact the (202) 482–1646, respectively. Division, Multifamily Housing Program, responsible Agency or USDA’s TARGET SUPPLEMENTARY INFORMATION: Rural Development, United States Center at (202) 720–2600 (voice and Department of Agriculture, or email: TTY) or contact USDA through the Background [email protected] or phone at: Federal Relay Service at (800) 877–8339. Commerce published the Preliminary 254–742–9764. Additionally, program information may Results of the administrative review in be made available in languages other Technical Assistance Providers the Federal Register on October 23, than English. 2020.1 We invited interested parties to Please be aware that TA services may To file a program discrimination comment on the Preliminary Results. not be used to reimburse a non-profit or complaint, complete the USDA Program On November 23, 2020, we received public body applicant for technical Discrimination Complaint Form, AD– a case brief from Wor-Biz Industrial services provided by a non-profit 3027, found online at: http:// Product Co., Limited (Anhui) (Wor- organization, with housing and/or www.ascr.usda.gov/complaint_filing_ Biz).23On November 30, 2020, we community development experience, to cust.html, and at any USDA office or assist the non-profit applicant entity in write a letter addressed to USDA and 1 See Cast Iron Soil Pipe Fittings from the People’s the development and packaging of its provide in the letter all of the Republic of China: Preliminary Results of loan/grant docket and project. In information requested in the form. To Countervailing Duty Administrative Review, 85 FR 67515 (October 23, 2020) (Preliminary Results), and addition, TA will not be funded by RHS request a copy of a complaint form, call, accompanying Preliminary Decision Memorandum. when an identity of interest exists (866) 632–9992. Submit your completed 2 On January 8, 2020, Commerce published its between the TA provider and the loan form or letter to USDA by: final determination in a changed circumstances
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00013 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7853
received a rebuttal brief from the found countervailable, we find that Subsidy petitioner.4 For a complete description there is a subsidy, i.e., a government- Producer/exporter rate of the events that occurred since the provided financial contribution that (percent) Preliminary Results, see the Issues and gives rise to a benefit to the recipient, 5 Qinshui Shunshida Casting Co., Decision Memorandum. and that the subsidy is specific.7 The Ltd ...... 109.32 Scope of the Order 6 Issues and Decision Memorandum Wor-Biz Industrial Product Co., contains a full description of the Ltd. (Anhui) ...... 8 5.13 The product covered by the Order is methodology underlying Commerce’s Wuhu Best Machines Co., Ltd ... 109.32 cast iron soil pipe fittings from China. conclusions, including any Non-Selected Companies Under For a complete description of the scope Review: of the Order, see the Issues and Decision determination that relied upon the use Dalian Lino F.T.Z. Co., Ltd .. 5.13 Memorandum. of adverse facts available (AFA) Dalian Metal I/E Co., Ltd ..... 5.13 pursuant to sections 776(a) and (b) of Dinggin Hardware (Dalian) Analysis of Comments Received the Act. Co., Ltd ...... 5.13 All issues raised by parties in the case Golden Orange International and rebuttal briefs are addressed in the Rate for Non-Selected Companies Ltd ...... 5.13 Under Review Hebei Metals & Engineering Issues and Decision Memorandum. A Products Trading Co., Ltd 5.13 list of the issues addressed in the Issues There are nine companies for which Richang Qiaoshan Trade and Decision Memorandum is provided a review was requested, but which were Co., Ltd ...... 5.13 in the appendix to this notice. The not selected as mandatory respondents Shanxi Zhongrui Tianyue Issues and Decision Memorandum is a Trading Co., Ltd ...... 5.13 or found to be cross-owned with a public document and is on file Shijiazhuang Asia Casting mandatory respondent. For these nine electronically via Enforcement and Co., Ltd ...... 5.13 Compliance’s Antidumping and companies, we applied the subsidy rate Yangcheng County Countervailing Duty Centralized calculated for Wor-Biz, as the only rate Huawang Universal ...... 5.13 Electronic Service System (ACCESS). calculated for a mandatory respondent ACCESS is available to registered users that was above de minimis and not Assessment Rates at http://access.trade.gov. In addition, a based entirely on facts available. This Pursuant to 19 CFR 351.212(b)(2), complete version of the Issues and methodology for establishing the Commerce will determine, and U.S. Decision Memorandum can be accessed subsidy rate for the non-selected Customs and Border Protection (CBP) directly at http://enforcement.trade.gov/ companies is consistent with our shall assess, countervailing duties on all frn/. The signed and electronic versions practice and with section 705(c)(5)(A) of appropriate entries of subject of the Issues and Decision the Act. merchandise in accordance with the final results of this review, for the Memorandum are identical in content. Final Results of Administrative Review above-listed companies at the applicable Changes Since the Preliminary Results In accordance with 19 CFR ad valorem assessment rates listed. 9 Based on our analysis of the case and 351.221(b)(4)(i), we calculated a Consistent with its recent notice, rebuttal briefs, and the evidence on the countervailable subsidy rate for the Commerce intends to issue assessment record, Commerce made no changes to mandatory respondent Wor-Biz. We instructions to CBP no earlier than 35 the preliminary results. determined the countervailable subsidy days after the date of publication of the final results of this review in the Methodology rate for Qinshui Shunshida Casting Co., Federal Register. If a timely summons is Ltd. based entirely on AFA, in Commerce conducted this review in filed at the U.S. Court of International accordance with section 751(a)(1)(A) of accordance with section 776 of the Act. Trade, the assessment instructions will the Tariff Act of 1930, as amended (the We also assigned an individual direct CBP not to liquidate relevant Act). For each of the subsidy programs estimated subsidy rate based on AFA to entries until the time for parties to file entries produced or exported by Wor- a request for a statutory injunction has review, finding that Wor-Biz Industrial Product Co., Biz’s unaffiliated supplier, Wuhu Best expired (i.e., within 90 days of Ltd. (Anhui) is the successor in interest to Wor-Biz Machines Co., Ltd., in accordance with publication). Trading Co., Ltd. (Anhui). See Cast Iron Soil Pipe section 776 of the Act. Therefore, the Fittings from the People’s Republic of China: Final Cash Deposit Instructions Results of Changed Circumstances Reviews, 85 FR only rate that is not zero, de minimis, 881 (January 8, 2020). or based entirely on facts otherwise In accordance with section 3 See Wor-Biz’s Letter, ‘‘Cast Iron Soil Pipe available is the rate calculated for Wor- 751(a)(2)(C) of the Act, Commerce also Fittings from the People’s Republic of China: intends to instruct CBP to collect cash Comments on Preliminary Results,’’ dated Biz. Consequently, as discussed above, November 23, 2020. the rate calculated for Wor-Biz is also deposits of estimated countervailing 4 See Petitioner’s Letter, ‘‘Cast Iron Soil Pipe assigned as the rate for all other duties in the amounts shown for each of Fittings from the People’s Republic of China: producers and exporters subject to this the respective companies listed above Rebuttal Brief, dated November 30, 2020. The review but not selected for individual on shipments of subject merchandise petitioner in this review is the Cast Iron Soil Pipe entered, or withdrawn from warehouse, Institute, which is a trade association, whose examination (i.e., non-selected members are all domestic producers of cast iron soil companies). for consumption on or after the date of pipe fittings. publication of the final results of this 5 See Memorandum, ‘‘Issues and Decision We find the countervailable subsidy Memorandum for the Final Results of the 2017– rates for the mandatory and non- 8 This rate applies to subject merchandise 2018 Countervailing Duty Administrative Review of selected respondents under review to be exported by Wor-Biz Industrial Product Co., Ltd. Cast Iron Soil Pipe Fittings from the People’s as follows: (Anhui) and produced by companies other than Republic of China,’’ dated concurrently with, and Wuhu Best Machines Co., Ltd. hereby adopted by, this notice (Issues and Decision 9 See Notice of Discontinuation of Policy to Issue Memorandum). 7 See sections 771(5)(B) and (D) of the Act Liquidation Instructions After 15 Days in 6 See Cast Iron Soil Pipe Fittings from the People’s regarding financial contribution; section 771(5)(E) Applicable Antidumping and Countervailing Duty Republic of China: Countervailing Duty Order, 83 of the Act regarding benefit; and section 771(5A) of Administrative Proceedings, 86 FR 3995 (January FR 44566 (August 31, 2018) (Order). the Act regarding specificity. 15, 2021).
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00014 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7854 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
administrative review. For all non- DEPARTMENT OF COMMERCE an SRC. On July 16, 2020, Commerce reviewed firms, we will instruct CBP to placed U.S. Customs and Border continue to collect cash deposits of International Trade Administration Protection (CBP) data on the record of estimated countervailing duties at the [A–570–044] this review demonstrating that there most recent company-specific or all- were no entries of subject merchandise others rate applicable to the company, 1,1,1,2-Tetrafluoroethane (R–134a) during the POR.6 The petitioners as appropriate. These cash deposit From the People’s Republic of China: submitted comments on the CBP data on 7 requirements, effective upon Preliminary Results of Antidumping August 6, 2020. On July 21, 2020, publication of these final results, shall Duty Administrative Review; 2019– Commerce tolled all deadlines in administrative reviews by 60 days.8 The remain in effect until further notice. 2020 deadline for the preliminary results of Administrative Protective Orders AGENCY: Enforcement and Compliance, this review is now March 1, 2020. International Trade Administration, This notice also serves as a reminder Department of Commerce. Scope of the Order to parties subject to administrative SUMMARY: The Department of Commerce The merchandise covered by the order protective order (APO) of their (Commerce) preliminarily determines is 1,1,1,2-Tetrafluoroethane, R–134a, or responsibility concerning the that the sole company subject to this its chemical equivalent, regardless of destruction of proprietary information administrative review is part of the form, type, or purity level. The chemical disclosed under APO in accordance China-wide entity because it did not file formula for 1,1,1,2-Tetrafluoroethane is with 19 CFR 351.305(a)(3). Timely a separate rate application (SRA). The CF3-CH2 F, and the Chemical Abstracts written notification of the return or period of review (POR) is April 1, 2019, Service registry number is CAS 811–97– 9 destruction of APO materials or through March 31, 2020. We invite 2. Merchandise subject to the order is conversion to judicial protective order is interested parties to comment on these preliminary results. currently classified in the Harmonized hereby requested. Failure to comply DATES: Applicable February 2, 2021. Tariff Schedule of the United States with the regulations and terms of an (HTSUS) at subheading 2903.39.2020. APO is a sanctionable violation. FOR FURTHER INFORMATION CONTACT: Stephanie Berger, AD/CVD Operations, Although the HTSUS subheading and Notification to Interested Parties Office III, Enforcement and Compliance, CAS registry number are provided for International Trade Administration, convenience and customs purposes, the We are issuing and publishing these U.S. Department of Commerce, 1401 written description of the scope is final results in accordance with sections Constitution Avenue NW, Washington, dispositive. 751(a)(1) and 777(i)(1) of the Act, and 19 DC 20230; telephone: (202) 482–2483. Methodology CFR 351.221(b)(5). SUPPLEMENTARY INFORMATION: Commerce is conducting this review Dated: January 27, 2021. Background in accordance with section 751(a)(1)(B) Christian Marsh, On April 1, 2020, Commerce of the Tariff Act of 1930, as amended Acting Assistant Secretary for Enforcement published a notice of opportunity to (the Act), and 19 CFR 351.213. and Compliance. request an administrative review of the Preliminary Results of Review Appendix antidumping duty order on 1,1,1,2- Puremann, the sole company subject Tetrafluoroethane (R–134a) from the to this review, did not file an SRA. List of Topics Discussed in the Final People’s Republic of China (China).1 In Decision Memorandum Thus, Commerce preliminarily response, on April 30, 2020, the determines that this company has not I. Summary American HFC Coalition and its demonstrated its eligibility for separate II. Background 2 individual members (the petitioners) rate status. As such, Commerce III. Scope of the Order requested a review of one company, preliminarily determines that the IV. Period of Review 3 Puremann, Inc. (Puremann). Commerce company subject to this review is part V. Subsidies Valuation Information initiated a review of this company on of the China-wide entity. In addition, VI. Changes Since the Preliminary Results 4 June 8, 2020. The deadline for Commerce no longer considers the non- VII. Use of Facts Otherwise Available interested parties to submit an SRA or market economy (NME) entity as an VIII. Analysis of Programs separate rate certification (SRC) was July exporter conditionally subject to an IX. Analysis of Comments 8, 2020.5 No party submitted an SRA or Comment 1: Whether To Use the Value- 6 See Memorandum, ‘‘2019—2020 Administrative Added Tax (VAT) Rates Provided by 1 See Antidumping or Countervailing Duty Order, Review of the Antidumping Duty Order on 1,1,1,2- Wor-Biz or the Government of China Finding, or Suspended Investigation; Opportunity Tetrafluoroethane (R–134a) from the People’s Comment 2: Whether To Adjust the to Request Administrative Review, 85 FR 18191 Republic of China,’’ dated July 16, 2020. Electricity for Less-Than-Adequate- (April 1, 2020). 7 See Petitioners’ Letter, ‘‘Antidumping Duty 2 Remuneration (LTAR) Calculation To Reflect American HFC Coalition’s members include the Administrative Review of 1,1,1,2-Tetrafluoroethane following companies: Arkema Inc., the Chemours (R–134a) from China: HFC Coalition’s Comments on a VAT-Exclusive Subsidy Rate Company FC LLC, Honeywell International Inc., CBP Data and Request to Issue Quantity and Value X. Recommendation and Mexichem Fluor, Inc. Questionnaire,’’ dated August 6, 2020. [FR Doc. 2021–02152 Filed 2–1–21; 8:45 am] 3 See Petitioner’s Letter, ‘‘1,1,1,2- 8 See Memorandum, ‘‘Tolling of Deadlines for Tetrafluoroethane (R–134a) from the People’s Antidumping and Countervailing Duty BILLING CODE 3510–DS–P Republic of China: Request for Administrative Administrative Reviews,’’ dated July 21, 2020. Review of Antidumping Duty Order,’’ dated April 9 1,1,1,2-Tetrafluoroethane is sold under a 30, 2020. number of trade names including Klea 134a and 4 See Initiation of Antidumping Duty and Zephex 134a (Mexichem Fluor); Genetron 134a Countervailing Duty Administrative Reviews, 85 FR (Honeywell); FreonTM 134a, Suva 134a, Dymel 35068 (June 8, 2020) (Initiation Notice). 134a, and Dymel P134a (Chemours); Solkane 134a 5 SRAs and SRCs were due thirty days from the (Solvay); and Forane 134a (Arkema). Generically, publication of Commerce’s Initiation Notice. In this 1,1,1,2-Tetrafluoroethane has been sold as administrative review, the deadline was July 8, Fluorocarbon 134a, R–134a, HFC–134a, HF A–134a, 2020. Refrigerant 134a, and UN3159.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00015 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7855
antidumping duty administrative a list of issues to be discussed. Issues be that for the China-wide entity (i.e., review.10 Accordingly, the NME entity raised in the hearing will be limited to 167.02 percent); and (4) for all non- will not be under review unless those raised in the respective case and Chinese exporters of subject Commerce specifically receives a rebuttal briefs. If a request for a hearing merchandise which have not received request for, or self-initiates, a review of is made, parties will be notified of the their own rate, the cash deposit rate will the NME entity. In this administrative time and date for the hearing to be be the rate applicable to the Chinese review, no party requested a review of held.17 Commerce intends to issue the exporter that supplied that non-Chinese the China-wide entity. Moreover, we final results of this administrative exporter. These deposit requirements, have not self-initiated a review of the review, which will include the results of when imposed, shall remain in effect China-wide entity. Because no review of our analysis of all issues raised in the until further notice. the China-wide entity is being case briefs, within 120 days of conducted, the China-wide entity’s publication of these preliminary results Notification to Importers entries are not subject to the review, and in the Federal Register, unless This notice also serves as a reminder the rate applicable to the NME entity is extended, pursuant to section to importers of their responsibility not subject to change as a result of this 751(a)(3)(A) of the Act. under 19 CFR 315.402(f)(2) to file a review. The China-wide entity rate is certificate regarding the reimbursement Assessment Rates 167.02 percent.11 of antidumping duties prior to Upon issuance of the final results of liquidation of the relevant entries Public Comment this review, Commerce will determine, during this review period. Failure to Interested parties are invited to and CBP will shall assess, antidumping comply with this requirement could comment on the preliminary results and duties on all appropriate entries of result in Commerce’s presumption that may submit case briefs and/or written subject merchandise covered by this reimbursement of antidumping duties comments, filed electronically via review.18 We intend to instruct CBP to occurred and the subsequent assessment Enforcement and Compliance’s liquidate entries containing subject of double antidumping duties. Antidumping Duty and Countervailing merchandise exported by the company Duty Centralized Electronic Service under review that we determine in the Notification to Interested Parties System (ACCESS), within 30 days after final results to be part of the China-wide We are issuing and publishing these the date of publication of these entity at the China-wide entity rate of preliminary results in accordance with preliminary results of review.12 167.02 percent. Commerce intends to sections 751(a)(1) and 777(i) of the Act, ACCESS is available to registered users issue assessment instructions to CBP no and 19 CFR 351.213(h) and at https://access.trade.gov. Rebuttal earlier than 35 days after the date of 351.221(b)(4). briefs, limited to issues raised in the publication of the final results of this Dated: January 27, 2021. case briefs, must be filed within seven review in the Federal Register. If a Christian Marsh, days after the time limit for filing case timely summons is filed at the U.S. briefs.13 Parties who submit case or Court of International Trade, the Acting Assistant Secretary for Enforcement and Compliance. rebuttal briefs in this proceeding are assessment instructions will direct CBP requested to submit with each argument not to liquidate relevant entries until the [FR Doc. 2021–02167 Filed 2–1–21; 8:45 am] a statement of the issue, a brief time for parties to file a request for a BILLING CODE 3510–DS–P summary of the argument, and a table of statutory injunction has expired (i.e., authorities.14 Note that Commerce has within 90 days of publication). temporarily modified certain portions of DEPARTMENT OF COMMERCE Cash Deposit Requirements its requirements for serving documents International Trade Administration containing business proprietary The following cash deposit information, until further notice.15 requirements will be effective upon Antidumping or Countervailing Duty Interested parties who wish to request publication of the final results of this Order, Finding, or Suspended a hearing, or to participate if one is review for shipments of the subject Investigation; Opportunity To Request requested, must submit a written merchandise from China entered, or Administrative Review request to Commerce within 30 days of withdrawn from warehouse, for the date of publication of this notice.16 consumption on or after the publication AGENCY: Enforcement and Compliance, Requests should contain: (1) The party’s date, as provided by sections International Trade Administration, name, address, the telephone number; 751(a)(2)(C) of the Act: (1) For Department of Commerce. (2) the number of participants; and (3) companies that have a separate rate, the FOR FURTHER INFORMATION CONTACT: cash deposit rate will be that established Brenda E. Brown, Office of AD/CVD 10 See Antidumping Proceedings: Announcement in the final results of this review Operations, Customs Liaison Unit, of Change in Department Practice for Respondent (except, if the rate is zero or de minimis, Enforcement and Compliance, Selection in Antidumping Duty Proceedings and Conditional Review of the Nonmarket Economy then zero cash deposit will be required); International Trade Administration, Entity in NME Antidumping Duty Proceedings, 78 (2) for previously investigated or U.S. Department of Commerce, 1401 FR 65963, 65970 (November 4, 2013). reviewed Chinese or non-Chinese Constitution Avenue NW, Washington, 11 See 1,1,1,2 Tetrafluoroethane (R–134a) from exporters not listed above that received DC 20230, telephone: (202) 482–4735. the People’s Republic of China: Antidumping Duty a separate rate in a prior segment of this Order, 82 FR 18422, 18423 (April 19, 2017). Background 12 See 19 CFR 351.309(c)(1)(ii). proceeding, the cash deposit rate will 13 See 19 CFR 351.309(d)(1) and (2); see also continue to be the existing exporter- Each year during the anniversary Temporary Rule Modifying AD/CVD Service specific rate; (3) for all Chinese month of the publication of an Requirements Due to COVID–19; Extension of exporters of subject merchandise that antidumping or countervailing duty Effective Period, 85 FR 41363 (July 10, 2020) order, finding, or suspended (Temporary Rule). have not been found to be entitled to a 14 See 19 CFR 351.309(c) and (d); see also 19 CFR separate rate, the cash deposit rate will investigation, an interested party, as 351.303 (for general filing requirements). defined in section 771(9) of the Tariff 15 See Temporary Rule. 17 See 19 CFR 310(d). Act of 1930, as amended (the Act), may 16 See 19 CFR 351.310(c). 18 See 19 CFR 351.212(b)(1). request, in accordance with 19 CFR
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00016 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7856 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
351.213, that the Department of require follow-up questions and so. Determinations by Commerce to Commerce (Commerce) conduct an analysis. Accordingly, Commerce will extend the 90-day deadline will be administrative review of that not conduct collapsing analyses at the made on a case-by-case basis. antidumping or countervailing duty respondent selection phase of a review Deadline for Particular Market order, finding, or suspended and will not collapse companies at the Situation Allegation investigation. respondent selection phase unless there All deadlines for the submission of has been a determination to collapse Section 504 of the Trade Preferences comments or actions by Commerce certain companies in a previous Extension Act of 2015 amended the Act discussed below refer to the number of segment of this antidumping proceeding by adding the concept of particular calendar days from the applicable (i.e., investigation, administrative market situation (PMS) for purposes of starting date. review, new shipper review or changed constructed value under section 773(e) circumstances review). For any of the Act.1 Section 773(e) of the Act Respondent Selection company subject to a review, if states that ‘‘if a particular market In the event Commerce limits the Commerce determined, or continued to situation exists such that the cost of number of respondents for individual treat, that company as collapsed with materials and fabrication or other examination for administrative reviews others, Commerce will assume that such processing of any kind does not initiated pursuant to requests made for companies continue to operate in the accurately reflect the cost of production the orders identified below, Commerce same manner and will collapse them for in the ordinary course of trade, the intends to select respondents based on respondent selection purposes. administering authority may use U.S. Customs and Border Protection Otherwise, Commerce will not collapse another calculation methodology under (CBP) data for U.S. imports during the companies for purposes of respondent this subtitle or any other calculation period of review. We intend to release selection. Parties are requested to (a) methodology.’’ When an interested the CBP data under Administrative identify which companies subject to party submits a PMS allegation pursuant Protective Order (APO) to all parties review previously were collapsed, and to section 773(e) of the Act, Commerce having an APO within five days of (b) provide a citation to the proceeding will respond to such a submission publication of the initiation notice and in which they were collapsed. Further, consistent with 19 CFR 351.301(c)(2)(v). to make our decision regarding if companies are requested to complete If Commerce finds that a PMS exists respondent selection within 21 days of a Quantity and Value Questionnaire for under section 773(e) of the Act, then it publication of the initiation Federal purposes of respondent selection, in will modify its dumping calculations Register notice. Therefore, we general each company must report appropriately. encourage all parties interested in volume and value data separately for Neither section 773(e) of the Act nor commenting on respondent selection to itself. Parties should not include data 19 CFR 351.301(c)(2)(v) set a deadline submit their APO applications on the for any other party, even if they believe for the submission of PMS allegations date of publication of the initiation they should be treated as a single entity and supporting factual information. notice, or as soon thereafter as possible. with that other party. If a company was However, in order to administer section Commerce invites comments regarding collapsed with another company or 773(e) of the Act, Commerce must the CBP data and respondent selection companies in the most recently receive PMS allegations and supporting within five days of placement of the completed segment of a proceeding factual information with enough time to CBP data on the record of the review. where Commerce considered collapsing consider the submission. Thus, should In the event Commerce decides it is that entity, complete quantity and value an interested party wish to submit a necessary to limit individual data for that collapsed entity must be PMS allegation and supporting new examination of respondents and submitted. factual information pursuant to section conduct respondent selection under 773(e) of the Act, it must do so no later section 777A(c)(2) of the Act: Deadline for Withdrawal of Request for than 20 days after submission of initial In general, Commerce finds that Administrative Review Section D responses. determinations concerning whether Pursuant to 19 CFR 351.213(d)(1), a Opportunity To Request a Review: Not particular companies should be party that requests a review may later than the last day of February ‘‘collapsed’’ (i.e., treated as a single withdraw that request within 90 days of 2021,2 interested parties may request entity for purposes of calculating the date of publication of the notice of administrative review of the following antidumping duty rates) require a initiation of the requested review. The orders, findings, or suspended substantial amount of detailed regulation provides that Commerce may investigations, with anniversary dates in information and analysis, which often extend this time if it is reasonable to do February for the following periods:
Period to be reviewed
Antidumping Duty Proceedings
BRAZIL: Carbon and Alloy Steel Cut-to-Length Plate, A–351–847 ...... 2/1/20–1/31/21 INDIA: Certain Cut-To-Length Carbon-Quality Steel Plate A–533–817 ...... 2/1/20–1/31/21 INDIA: Certain Preserved Mushrooms, A–533–813 ...... 2/1/20–1/31/21 INDIA: Certain Frozen Warmwater Shrimp, A–533–840 ...... 2/1/20–1/31/21 INDIA: Stainless Steel Bar, A–533–810 ...... 2/1/20–1/31/21 INDONESIA: Certain Cut-To-Length Carbon-Quality Steel Plate, A–560–805 ...... 2/1/20–1/31/21 INDONESIA: Certain Preserved Mushrooms, A–560–802 ...... 2/1/20–1/31/21 ITALY: Stainless Steel Butt-Weld Pipe Fittings, A–475–828 ...... 2/1/20–1/31/21
1 See Trade Preferences Extension Act of 2015, 2 Or the next business day, if the deadline falls Public Law 114–27, 129 Stat. 362 (2015). on a weekend, federal holiday or any other day when Commerce is closed.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00017 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7857
Period to be reviewed
JAPAN: Carbon Steel Butt-Weld Pipe Fittings, A–588–602 ...... 2/1/20–1/31/21 MALAYSIA: Stainless Steel Butt-Weld Pipe Fittings, A–557–809 ...... 2/1/20–1/31/21 MEXICO: Large Residential Washers, A–201–842 ...... 2/1/20–1/31/21 PHILIPPINES: Stainless Steel Butt-Weld Pipe Fittings, A–565–801 ...... 2/1/20–1/31/21 REPUBLIC OF KOREA: Certain Cut-To-Length Carbon-Quality Steel Plate, A–580–836 ...... 2/1/20–1/31/21 SOCIALIST REPUBLIC OF VIETNAM: Certain Frozen Warmwater Shrimp, A–552–802 ...... 2/1/20–1/31/21 SOCIALIST REPUBLIC OF VIETNAM: Steel Wire Garment Hangers, A–552–812 ...... 2/1/20–1/31/21 SOCIALIST REPUBLIC OF VIETNAM: Utility Scale Wind Towers, A–552–814 ...... 2/1/20–1/31/21 SOUTH AFRICA: Certain Carbon and Alloy Steel Cut-To-Length Plate, A–791–822 ...... 2/1/20–1/31/21 TAIWAN: Crystalline Silicon Photovoltaic Products, A–583–853 ...... 2/1/20–1/31/21 TAIWAN: Carbon and Alloy Steel Threaded Rod, A–583–865 ...... 9/25/19–1/31/21 THAILAND: Certain Frozen Warmwater Shrimp, A–549–822 ...... 2/1/20–1/31/21 THE PEOPLE’S REPUBLIC OF CHINA: Certain Preserved Mushrooms, A–570–851 ...... 2/1/20–1/31/21 THE PEOPLE’S REPUBLIC OF CHINA: Common Alloy Aluminum Sheet, A–570–073 ...... 2/1/20–1/31/21 THE PEOPLE’S REPUBLIC OF CHINA: Crystalline Silicon Photovoltaic, A–570–010 ...... 2/1/20–1/31/21 THE PEOPLE’S REPUBLIC OF CHINA: Certain Frozen Warmwater Shrimp, A–570–893 ...... 2/1/20–1/31/21 THE PEOPLE’S REPUBLIC OF CHINA: Heavy Forged Hand Tools, With or Without Handles, A–570–803 ...... 2/1/20–1/31/21 THE PEOPLE’S REPUBLIC OF CHINA: Large Residential Washers, A–570–033 ...... 2/1/20–1/31/21 THE PEOPLE’S REPUBLIC OF CHINA: Rubber Bands, A–570–069 ...... 2/1/20–1/31/21 THE PEOPLE’S REPUBLIC OF CHINA: Small Diameter Graphite Electrodes, A–570–929 ...... 2/1/20–1/31/21 THE PEOPLE’S REPUBLIC OF CHINA: Truck and Bus Tires, A–570–040 ...... 2/1/20–1/31/21 THE PEOPLE’S REPUBLIC OF CHINA: Uncovered Innerspring Units, A–570–928 ...... 2/1/20–1/31/21 THE PEOPLE’S REPUBLIC OF CHINA: Utility Scale Wind Towers, A–570–981 ...... 2/1/20–1/31/21 TURKEY: Certain Carbon and Alloy Steel Cut-To-Length Plate, A–489–828 ...... 2/1/20–1/31/21
Countervailing Duty Proceedings
INDIA: Certain Cut-To-Length Carbon-Quality Steel Plate C–533–818 ...... 1/1/20–12/31/20 INDIA: Prestressed Concrete Steel Wire Strand, C–533–829 ...... 1/1/20–12/31/20 INDIA: Certain Cold-Drawn Mechanical Tubing of Carbon and Alloy Steel, C–533–874 ...... 1/1/20–12/31/20 INDONESIA: Certain Cut-To-Length Carbon-Quality Steel Plate, C–560–806 ...... 1/1/20–12/31/20 REPUBLIC OF KOREA: Certain Cut-To-Length Carbon-Quality Steel Plate, C–580–837 ...... 1/1/20–12/31/20 SOCIALIST REPUBLIC OF VIETNAM: Steel Wire Garment Hangers, C–552–813 ...... 1/1/20–12/31/20 THE PEOPLE’S REPUBLIC OF CHINA: Cold-Drawn Mechanical Tubing, C–570–059 ...... 1/1/20–12/31/20 THE PEOPLE’S REPUBLIC OF CHINA: Common Alloy Aluminum Sheet, C–570–074 ...... 1/1/20–12/31/20 THE PEOPLE’S REPUBLIC OF CHINA: Crystalline Silicon Photovoltaic Products, C–570–011 ...... 1/1/20–12/31/20 THE PEOPLE’S REPUBLIC OF CHINA: Rubber Bands, C–570–070 ...... 1/1/20–12/31/20 THE PEOPLE’S REPUBLIC OF CHINA: Truck and Bus Tires, C–570–041 ...... 1/1/20–12/31/20 THE PEOPLE’S REPUBLIC OF CHINA: Utility Scale Wind Towers, C–570–982 ...... 1/1/20–12/31/20
Suspension Agreements
None.
In accordance with 19 CFR origin is subject to a separate order, then Assessment of Antidumping Duties, 68 351.213(b), an interested party as the interested party must state FR 23954 (May 6, 2003), and Non- defined by section 771(9) of the Act may specifically, on an order-by-order basis, Market Economy Antidumping request in writing that the Secretary which exporter(s) the request is Proceedings: Assessment of conduct an administrative review. For intended to cover. Antidumping Duties, 76 FR 65694 both antidumping and countervailing Note that, for any party Commerce (October 24, 2011), Commerce clarified duty reviews, the interested party must was unable to locate in prior segments, its practice with respect to the specify the individual producers or Commerce will not accept a request for collection of final antidumping duties exporters covered by an antidumping an administrative review of that party on imports of merchandise where finding or an antidumping or absent new information as to the party’s intermediate firms are involved. The countervailing duty order or suspension location. Moreover, if the interested public should be aware of this agreement for which it is requesting a party who files a request for review is clarification in determining whether to review. In addition, a domestic unable to locate the producer or request an administrative review of interested party or an interested party exporter for which it requested the merchandise subject to antidumping described in section 771(9)(B) of the Act review, the interested party must findings and orders.3 must state why it desires the Secretary provide an explanation of the attempts Commerce no longer considers the to review those particular producers or it made to locate the producer or non-market economy (NME) entity as an exporters. If the interested party intends exporter at the same time it files its exporter conditionally subject to an for the Secretary to review sales of request for review, in order for the antidumping duty administrative merchandise by an exporter (or a Secretary to determine if the interested producer if that producer also exports party’s attempts were reasonable, merchandise from other suppliers) pursuant to 19 CFR 351.303(f)(3)(ii). which was produced in more than one As explained in Antidumping and 3 See the Enforcement and Compliance website at country of origin and each country of Countervailing Duty Proceedings: https://legacy.trade.gov/enforcement/.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00018 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7858 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
reviews.4 Accordingly, the NME entity February 2021. If Commerce does not SUPPLEMENTARY INFORMATION: will not be under review unless receive, by the last day of February Background Commerce specifically receives a 2021, a request for review of entries request for, or self-initiates, a review of covered by an order, finding, or Commerce published the preliminary the NME entity.5 In administrative suspended investigation listed in this results of this administrative review on reviews of antidumping duty orders on notice and for the period identified November 10, 2020.1 We invited merchandise from NME countries where above, Commerce will instruct CBP to interested parties to comment on the a review of the NME entity has not been assess antidumping or countervailing Preliminary Results. No parties initiated, but where an individual duties on those entries at a rate equal to submitted comments. exporter for which a review was the cash deposit of estimated Scope of the Order initiated does not qualify for a separate antidumping or countervailing duties rate, Commerce will issue a final required on those entries at the time of The products covered by the order are all gauges of raw, pre-treated, or primed decision indicating that the company in entry, or withdrawal from warehouse, polyethylene terephthalate film (PET question is part of the NME entity. for consumption and to continue to Film), whether extruded or co-extruded. However, in that situation, because no collect the cash deposit previously Excluded are metallized films and other review of the NME entity was ordered. conducted, the NME entity’s entries For the first administrative review of finished films that have had at least one were not subject to the review and the any order, there will be no assessment of their surfaces modified by the rate for the NME entity is not subject to of antidumping or countervailing duties application of a performance-enhancing change as a result of that review on entries of subject merchandise resinous or inorganic layer more than 0.00001 inches thick. Also excluded is (although the rate for the individual entered, or withdrawn from warehouse, roller transport cleaning film which has exporter may change as a function of the for consumption during the relevant at least one of its surfaces modified by finding that the exporter is part of the provisional-measures ‘‘gap’’ period of application of 0.5 micrometers of SBR NME entity). Following initiation of an the order, if such a gap period is latex. Tracing and drafting film is also antidumping administrative review applicable to the period of review. when there is no review requested of the This notice is not required by statute excluded. PET Film is classifiable under NME entity, Commerce will instruct but is published as a service to the subheading 3920.62.00.90 of the CBP to liquidate entries for all exporters international trading community. Harmonized Tariff Schedule of the United States (HTSUS). While HTSUS not named in the initiation notice, Dated: January 27, 2021. including those that were suspended at subheadings are provided for the NME entity rate. James Maeder, convenience and customs purposes, our All requests must be filed Deputy Assistant Secretary for Antidumping written description of the scope of the electronically in Enforcement and and Countervailing Duty Operations. order is dispositive. Compliance’s Antidumping and [FR Doc. 2021–02151 Filed 2–1–21; 8:45 am] Changes Since the Preliminary Results Countervailing Duty Centralized BILLING CODE 3510–DS–P Electronic Service System (ACCESS) on Because we received no comments on Enforcement and Compliance’s ACCESS the Preliminary Results, we have made website at https://access.trade.gov.6 DEPARTMENT OF COMMERCE no changes to the weighted-average Further, in accordance with 19 CFR dumping margin determined for Flex, International Trade Administration 351.303(f)(l)(i), a copy of each request nor have we prepared an Issues and must be served on the petitioner and [A–520–803] Decision Memorandum to accompany each exporter or producer specified in this notice. We, therefore, adopt the the request. Note that Commerce has Polyethylene Terephthalate Film, analysis and explanation in our temporarily modified certain of its Sheet, and Strip From the United Arab Preliminary Results for purposes of requirements for serving documents Emirates: Final Results of these final results. containing business proprietary Antidumping Duty Administrative Final Results of Review 7 Review; 2018–2019 information, until further notice. As a result of this review, we Commerce will publish in the Federal AGENCY: Enforcement and Compliance, determine that the following weighted- Register a notice of ‘‘Initiation of International Trade Administration, average dumping margin exists for the Administrative Review of Antidumping Department of Commerce. period of November 1, 2018, through or Countervailing Duty Order, Finding, October 31, 2019: or Suspended Investigation’’ for SUMMARY: The Department of Commerce requests received by the last day of (Commerce) determines that Flex Middle East FZE (Flex), the sole Weighted- Manufacturer/exporter average 4 See Antidumping Proceedings: Announcement producer/exporter subject to this margin of Change in Department Practice for Respondent administrative review, made sales of (percent) Selection in Antidumping Duty Proceedings and subject merchandise at less than normal Conditional Review of the Nonmarket Economy value during the period of review (POR), Flex Middle East FZE ...... 70.75 Entity in NME Antidumping Duty Proceedings, 78 FR 65963 (November 4, 2013). November 1, 2018, through October 31, 5 In accordance with 19 CFR 351.213(b)(1), parties 2019. Assessment Rates should specify that they are requesting a review of DATES: Applicable February 2, 2021. Commerce shall determine, and U.S. entries from exporters comprising the entity, and to FOR FURTHER INFORMATION CONTACT: the extent possible, include the names of such Customs and Border Protection (CBP) exporters in their request. Andrew Huston, AD/CVD Operations, shall assess, antidumping duties on all 6 See Antidumping and Countervailing Duty Office VII, Enforcement and Proceedings: Electronic Filing Procedures; Compliance, International Trade 1 See Polyethylene Terephthalate Film, Sheet, and Administrative Protective Order Procedures, 76 FR Administration, U.S. Department of Strip from the United Arab Emirates: Preliminary 39263 (July 6, 2011). Results of Antidumping Duty Administrative 7 See Temporary Rule Modifying AD/CVD Service Commerce, 1401 Constitution Avenue Review; 2018–2019, 85 FR 71606 (November 10, Requirements Due to COVID–19, 85 FR 41363 (July NW, Washington, DC 20230; telephone: 2020) (Preliminary Results), and accompanying 10, 2020). (202) 482–4261. Preliminary Decision Memorandum.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00019 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7859
appropriate entries of subject Disclosure DEPARTMENT OF COMMERCE merchandise in accordance with the final results of this review. Consistent Normally, Commerce discloses to National Institute of Standards and with its recent notice,2 Commerce interested parties the calculations Technology intends to issue assessment instructions performed in connection with the final to CBP no earlier than 35 days after the results within five days of the date of Notice of NIST’s Consortium for the date of publication of the final results of publication of the notice of preliminary Advancement of Genome Editing this review in the Federal Register. If a results in the Federal Register, in AGENCY: National Institute of Standards timely summons is filed at the U.S. accordance with 19 CFR 351.224(b). and Technology (NIST), Commerce. Court of International Trade, the However, there are no calculations to ACTION: Notice of Research Consortium; assessment instructions will direct CBP disclose here because, in accordance extension of Research Consortium. not to liquidate relevant entries until the with section 776 of the Act, Commerce time for parties to file a request for a applied facts otherwise available with SUMMARY: The National Institute of statutory injunction has expired (i.e., adverse inferences in determining the Standards and Technology (NIST) within 90 days of publication). weighted-average dumping margin of extends the duration of the NIST Cash Deposit Requirements Flex, the only respondent subject to this Consortium for the Advancement of review.4 Genome Editing (Genome Editing The following cash deposit Consortium or Consortium) to December requirements will be effective upon Notification to Importers 1, 2025. NIST will now accept letters of publication of the final results of this interest to participate in this administrative review for all shipments This notice serves as a final reminder to importers of their responsibility Consortium on an ongoing basis. The of subject merchandise entered, or Consortium duration was originally under 19 CFR 351.402(f)(2) to file a withdrawn from warehouse, for through December 1, 2020, and the certificate regarding the reimbursement consumption on or after the publication deadline for letters of interest was of antidumping duties prior to date of these final results, as provided originally January 1, 2020. NIST is by section 751(a)(2)(C) of the Tariff Act liquidation of the relevant entries taking this action to provide additional of 1930, as amended (the Act): (1) For during this POR. Failure to comply with time for interested parties to join the Flex, the cash deposit rate will be equal this requirement could result in Consortium and to ensure the successful to the weighted-average dumping Commerce’s presumption that implementation and achievement of margin listed above in the section reimbursement of antidumping duties outcomes of the current Consortium ‘‘Final Results of Review;’’ (2) for occurred and the subsequent assessment activities, as well as to address merchandise exported by producers or of doubled antidumping duties. additional standards needs as defined exporters not covered in this review but Administrative Protective Order by the Consortium. covered in a previously completed DATES: The Consortium’s activities will segment of this proceeding, the cash This notice is the only reminder to continue until December 1, 2025. NIST deposit rate will continue to be the parties subject to the administrative will accept letters of interest to company-specific rate published in the protective order (APO) of their participate in this Consortium on an final results for the most recent period responsibility concerning the return or ongoing basis. Acceptance of in which that producer or exporter destruction of proprietary information participants into the Consortium will participated; (3) if the exporter is not a disclosed under the APO in accordance depend on the availability of NIST firm covered in this review or in any resources. previous segment of this proceeding, but with 19 CFR 351.305(a)(3), which the producer is, then the cash deposit continues to govern business ADDRESSES: Information in response to rate will be that established for the proprietary information in this segment this notice, including completed letters producer of the merchandise in these of the proceeding. Timely written of interest or requests for additional final results of review or in the final notification of the return or destruction information about the Consortium, can results for the most recent period in of APO materials, or conversion to be directed via mail to the Consortium which that producer participated; and judicial protective order, is hereby Manager, Dr. Samantha Maragh, (4) if neither the exporter nor the requested. Failure to comply with the Biosystems and Biomaterials Division of producer is a firm covered in this regulations and the terms of an APO is NIST’s Material Measurement review or in any previously completed a violation subject to sanction. Laboratory, 100 Bureau Drive, Mail Stop segment of this proceeding, then the 8312, Gaithersburg, Maryland 20899, or Notification to Interested Parties cash deposit rate will be 4.05 percent, via electronic mail to samantha@ the all-others rate established in the We are issuing and publishing these nist.gov, or by telephone at (301) 975– 3 4947. less-than-fair-value investigation. final results and this notice in These cash deposit requirements, when accordance with sections 751(a)(1) and FOR FURTHER INFORMATION CONTACT: imposed, shall remain in effect until 777(i)(1) of the Act, and 19 CFR J’aime Maynard, CRADA Administrator, further notice. 351.213(h). National Institute of Standards and Technology’s Technology Partnerships 2 See Notice of Discontinuation of Policy to Issue Dated: January 27, 2021. Office, by mail to 100 Bureau Drive, Liquidation Instructions After 15 Days in Christian Marsh, Mail Stop 2200, Gaithersburg, Maryland Applicable Antidumping and Countervailing Duty Acting Assistant Secretary for Enforcement 20899, by electronic mail to Administrative Proceedings, 86 FR 3995 (January 15, 2021). and Compliance. [email protected], or by 3 See Polyethylene Terephthalate Film, Sheet, and [FR Doc. 2021–02168 Filed 2–1–21; 8:45 am] telephone at (301) 975–8408. Strip from Brazil, the People’s Republic of China BILLING CODE 3510–DS–P SUPPLEMENTARY INFORMATION: On and the United Arab Emirates: Antidumping Duty Orders and Amended Final Determination of Sales January 11, 2018, NIST published a at Less Than Fair Value for the United Arab 4 See Preliminary Results Preliminary Decision notice in the Federal Register (83 FR Emirates, 73 FR 66595, 66596 (November 10, 2008). Memorandum. 1335), about establishing the Genome
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00020 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7860 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
Editing Consortium. The notice (NIST), the Secretary of Homeland Admittance Instructions: All requested letters of interest on or before Security, and the Director of the Office participants will be attending via January 1, 2020. Multiple parties of Management and Budget (OMB) on webinar and must register on ISPAB’s expressed interest in submitting letters information security and privacy issues event page at: https://csrc.nist.gov/ of interest and participating in the pertaining to Federal government Events/2021/ispab-march-2021-meeting Consortium after the original deadline, information systems, including through by 5 p.m. Eastern Time, March 1, 2021. and have asked for an extension. In light review of proposed standards and Kevin Kimball, of these requests, NIST extends the term guidelines developed by NIST. Details of the Consortium to December 1, 2025, regarding the ISPAB’s activities are Chief of Staff. and will accept letters of interest on an available at https://csrc.nist.gov/ [FR Doc. 2021–02137 Filed 2–1–21; 8:45 am] ongoing basis. Previously submitted projects/ispab. BILLING CODE 3510–13–P letters of interest do not need to be The agenda is expected to include the resubmitted. following items: DEPARTMENT OF COMMERCE (Authority: 15 U.S.C. 3710a) —Discussions on federal government incident response and breach Kevin A. Kimball, National Oceanic and Atmospheric activities, Administration Chief of Staff. —Presentation by NIST staff on NIST [FR Doc. 2021–02136 Filed 2–1–21; 8:45 am] activities in response to the Internet of [RTID 0648–XA836] BILLING CODE 3510–13–P Things Cybersecurity Act of 2020 (Pub. L. 116–207), Pacific Fishery Management Council; —Presentation by NIST staff on NIST Public Meeting DEPARTMENT OF COMMERCE updates to FIPS 201, AGENCY: National Marine Fisheries —Presentation on federal government Service (NMFS), National Oceanic and National Institute of Standards and supply chain cybersecurity activity, Technology Atmospheric Administration (NOAA), —Presentation on Biometrics and Facial Commerce. Recognition Technology used for Open Meeting of the Information ACTION: Notice of public meeting. Security and Privacy Advisory Board identity and cybersecurity, —Discussions on potential ISPAB SUMMARY: The Pacific Fishery AGENCY: National Institute of Standards recommendations to NIST, Management Council (Pacific Council) and Technology. —Presentation on NIST Information will hold an online meeting of its ACTION: Notice of open meeting. Technology Laboratory Activities Habitat Committee (HC) to consider since last meeting. SUMMARY: The Information Security and information on marine planning and Note that agenda items may change offshore development activities. This Privacy Advisory Board (ISPAB) will without notice. The final agenda will be meet Wednesday, March 3, 2021 from meeting is open to the public. posted on the ISPAB event page at: DATES: The online meeting will be held 10:00 a.m. until 5:00 p.m., Eastern Time, https://csrc.nist.gov/Events/2021/ispab- and Thursday, March 4, 2021 from Wednesday, February 24, 2021, from 1 march-2021-meeting. p.m. to 5 p.m., Pacific Standard Time, 10:00 a.m. until 5:00 p.m., Eastern Time. Public Participation: Written All sessions will be open to the public. or until business for the day has been questions or comments from the public completed. DATES: The meeting will be held on are invited and may be submitted ADDRESSES: Wednesday, March 3, 2021 from 10:00 electronically by email to Jeff Brewer at The meeting will be held a.m. until 5:00 p.m., Eastern Time, and the contact information indicated in the online. Specific meeting information, Thursday, March 4, 2021 from 10:00 FOR FURTHER INFORMATION CONTACT including directions on how to join the a.m. until 5:00 p.m., Eastern Time. section of this notice by 5 p.m. March meeting and system requirements will ADDRESSES: The meeting will be a 1, 2021. be provided in the meeting virtual meeting via webinar. Please note The ISPAB agenda will include a announcement on the Pacific Council’s admittance instructions under the period, not to exceed thirty minutes, for website (see www.pcouncil.org). You SUPPLEMENTARY INFORMATION section of submitted questions or comments from may send an email to Mr. Kris this notice. the public (Wednesday, March 3, 2021, Kleinschmidt (kris.kleinschmidt@ FOR FURTHER INFORMATION CONTACT: Jeff between 4:30 p.m. and 5:00 p.m.). noaa.gov) or contact him at (503) 820– Brewer, Information Technology Submitted questions or comments from 2412 for technical assistance. Laboratory, National Institute of the public will be selected on a first- Council address: Pacific Fishery Standards and Technology, Telephone: come, first-served basis and limited to Management Council, 7700 NE (301) 975–2489, Email address: five minutes per person. Ambassador Place, Suite 101, Portland, [email protected]. Members of the public who wish to OR 97220–1384. SUPPLEMENTARY INFORMATION: expand upon their submitted FOR FURTHER INFORMATION CONTACT: Pursuant to the Federal Advisory statements, those who had wished to Kerry Griffin, Pacific Council; Committee Act, as amended, 5 U.S.C. submit a question or comment but could telephone: (503) 820–2409. App., notice is hereby given that the not be accommodated on the agenda, SUPPLEMENTARY INFORMATION: ISPAB will hold an open meeting and those who were unable to attend the Representatives of NOAA will present Wednesday, March 3, 2021 from 10:00 meeting via webinar are invited to information related to the identification a.m. until 5:00 p.m., Eastern Time, and submit written statements. In addition, of Aquaculture Opportunity Areas, and Thursday, March 4, 2021 from 10:00 written statements are invited and may representatives of the Bureau of Ocean a.m. until 5:00 p.m. Eastern Time. All be submitted to the ISPAB at any time. Energy Development will provide a sessions will be open to the public. The All written statements should be presentation on identifying potential ISPAB is authorized by 15 U.S.C. 278g– directed to the ISPAB Secretariat, offshore wind energy sites. The HC and 4, as amended, and advises the National Information Technology Laboratory by other Pacific Council Advisory Bodies Institute of Standards and Technology email to: [email protected]. will consider the information and will
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00021 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7861
develop reports to the Pacific Council Spruce Street, Suite 200, Tampa, FL —Meeting Adjourns for its March 2021 meeting. 33607; telephone: (813) 348–1630. The meeting will be broadcast via The HC may discuss other habitat- FOR FURTHER INFORMATION CONTACT: webinar. You may register for the related issues related to the Pacific Ryan Rindone, Lead Fishery Biologist, webinar by visiting www.gulfcouncil.org Council’s March meeting agenda, as Gulf of Mexico Fishery Management and clicking on the AP meeting on the necessary. A meeting agenda will be Council; [email protected], calendar. posted to the Pacific Council’s website telephone: (813) 348–1630. The Agenda is subject to change, and in advance of the meeting. the latest version along with other SUPPLEMENTARY INFORMATION: Although non-emergency issues not meeting materials will be posted on contained in the meeting agenda may be Wednesday, February 24, 2021; 9 a.m.– www.gulfcouncil.org as they become discussed, those issues may not be the 5:30 p.m., EDT available. subject of formal action during this Although other non-emergency issues meeting. Action will be restricted to The meeting will begin with not on the agenda may come before the those issues specifically listed in this Introductions, Adoption of Agenda, Advisory Panel for discussion, in document and any issues arising after Approval of Minutes from the October accordance with the Magnuson-Stevens publication of this document that 16, 2020 webinar meeting, and review Fishery Conservation and Management require emergency action under section Scope of Work. Act, those issues may not be the subject 305(c) of the Magnuson-Stevens Fishery The Advisory Panel (AP) will review of formal action during this meeting. Conservation and Management Act, presentation and projections, SSC Actions of the Advisory Panel will be provided the public has been notified of Recommendations for Overfishing restricted to those issues specifically the intent to take final action to address Limits (OFL) and Acceptable Biological identified in the agenda and any issues the emergency. Catch (ABC) limits for SEDAR 64: arising after publication of this notice Special Accommodations Southeastern U.S. Yellowtail Snapper that require emergency action under Stock Assessment; and, presentations on Section 305(c) of the Magnuson-Stevens Requests for sign language Draft Management Alternatives and Fishery Conservation and Management interpretation or other auxiliary aids Something’s Fishy for Yellowtail Act, provided the public has been should be directed to Mr. Kris Snapper. The AP will also discuss notified of the Council’s intent to take Kleinschmidt (kris.kleinschmidt@ recommendations, review the Stock action to address the emergency. noaa.gov; (503) 820–2412) at least 10 Assessment Executive Summary and the (Authority: 16 U.S.C. 1801 et seq.) days prior to the meeting date. Yellowtail Snapper One-page Info (Authority: 16 U.S.C. 1801 et seq.) Sheet. Dated: January 27, 2021. Rey Israel Marquez, Dated: January 27, 2021. The AP will receive a presentation, discuss AP Recommendations and the Acting Deputy Director, Office of Sustainable Rey Israel Marquez, Fisheries, National Marine Fisheries Service. Acting Deputy Director, Office of Sustainable Framework Action examining Gray [FR Doc. 2021–02114 Filed 2–1–21; 8:45 am] Fisheries, National Marine Fisheries Service. Triggerfish Recreational Fixed Closed BILLING CODE 3510–22–P [FR Doc. 2021–02113 Filed 2–1–21; 8:45 am] Seasons. The AP will review BILLING CODE 3510–22–P presentation and projections, SSC Recommendations for OFL and ABC, a DEPARTMENT OF COMMERCE Presentation of Draft Management DEPARTMENT OF COMMERCE Alternatives and Something’s Fishy for National Oceanic and Atmospheric SEDAR 70: Gulf of Mexico Greater Administration National Oceanic and Atmospheric Amberjack Stock Assessment. The AP Administration will also discuss AP Recommendations, Agency Information Collection review the Stock Assessment Executive Activities; Submission to the Office of [RTID 0648–XA841] Summary and the Greater Amberjack Management and Budget for Review One-page Info Sheet. and Approval; Comment Request; Gulf of Mexico Fishery Management Southeast Region Logbook Family of Lunch—12 p.m.–1 p.m. Council; Public Meeting Forms The AP will review a presentation, AGENCY: National Marine Fisheries The Department of Commerce will document and AP Recommendations for Service (NMFS), National Oceanic and submit the following information Draft Reef Fish Amendment 53: Red Atmospheric Administration (NOAA), collection request to the Office of Grouper Allocations and Annual Catch Commerce. Management and Budget (OMB) for Levels and Targets. The AP will then ACTION: Notice of a public meeting. review and clearance in accordance receive a presentation on Commercial with the Paperwork Reduction Act of Electronic Logbooks, and review SUMMARY: The Gulf of Mexico Fishery 1995, on or after the date of publication Southeast Fisheries Science Center’s Management Council (Council) will of this notice. We invite the general (SEFSC) June 2020 and October 2020 hold a one-day meeting via webinar of public and other Federal agencies to Council Presentations, and AP its Reef Fish Advisory Panel (AP). comment on proposed, and continuing Recommendations. DATES: The meeting will be held on information collections, which helps us Wednesday, February 24, 2021, 9 a.m.– The AP will review a presentation on assess the impact of our information 5:30 p.m., EST. modifications to Vermilion Snapper collection requirements and minimize ADDRESSES: The meeting will take place Recreational Bag Limits, review the the public’s reporting burden. Public via webinar; you may register by visiting Framework Action, and discuss AP comments were previously requested www.gulfcouncil.org and clicking on the Recommendations. via the Federal Register on August 19, AP meeting on the calendar. Lastly, the Advisory Panel will 2020, during a 60-day comment period. Council address: Gulf of Mexico discuss Other Business items and This notice allows for an additional 30 Fishery Management Council, 4107 W receive public comment. days for public comments.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00022 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7862 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
Agency: National Oceanic and submit an electronic fishing report (also per statutory requirements of the Atmospheric Administration (NOAA), referred to as an electronic logbook) for Magnuson-Stevens Act. Catch and effort Commerce. each fishing trip (85 FR 44005, July 21, statistics are fundamental for assessing Title: Southeast Region Logbook 2020). NMFS is designing and plans to the influence of fishing on any fish Family of Forms. implement an intercept survey in 2021 stock. Accurate estimates of the OMB Control Number: 0648–0016. to support and validate the electronic quantities taken, fishing effort, and both Form Number(s): None. logbooks submitted for the Gulf for-hire the seasonal and geographic Type of Request: Regular reporting program. These survey data distributions of the catch and effort are submission—extension and revision of a are required to carry out provisions of required for the development of regional current information collection. the Magnuson-Stevens Act (16 U.S.C. management plans and policies. Estimated Number of Respondents: 1801 et seq.), as amended, regarding Affected Public: Businesses or other 6,971. conservation and management of fishery for-profit organizations; individuals. Estimated Time per Response: Annual resources. Frequency: Annual, periodic, and as fixed-cost report, 45 minutes; The survey would intercept captains needed. Colombian fishery logbook, 18 minutes; (respondents) of Gulf federally- Respondent’s Obligation: Mandatory. discard logbook, 15 minutes; headboat, permitted charter vessels and headboats Legal Authority: 16 U.S.C. 1801 et seq. charter vessel, golden crab, reef fish- (for-hire vessels) in the aforementioned This information collection request mackerel, economic cost per trip, fisheries at verified landing locations may be viewed at www.reginfo.gov. wreckfish, and shrimp logbooks, 10 that are randomly selected in Gulf Follow the instructions to view the minutes; no-fishing report for golden counties to obtain information after Department of Commerce collections crab, reef fish-mackerel, charter vessels, fishing activity for each trip has currently under review by OMB. wreckfish and Colombian fisheries, 2 occurred. The intercept survey is not a Written comments and minutes; installation of a vessel census of all electronically reported recommendations for the proposed monitoring unit, 5 hours; landing logbooks but instead would use a information collection should be location request and power-down stratified random sampling protocol to submitted within 30 days of the exemption request, 5 minutes; trip select landing locations for port publication of this notice on the declaration, 2 minutes; and the samplers to gather a representative following website www.reginfo.gov/ proposed intercept survey, 15 minutes. sample. Respondents would be asked public/do/PRAMain. Find this Estimated Total Annual Burden about vessel information, time and type particular information collection by Hours: 69,165. of fishing, the number of anglers, and selecting ‘‘Currently under 30-day Needs and Uses: This request is for an details of catch. Catch information Review—Open for Public Comments’’ or extension and revision of a current would include species identification, by using the search function and information collection. number of fish, and disposition (i.e., fish entering either the title of the collection Participants in most federally kept and released). Length and weight or the OMB Control Number 0648–0016. managed fisheries in the NMFS measurements of species retained on Sheleen Dumas, Southeast Region are currently required fishing trips may also be collected if Department PRA Clearance Officer, Office of to keep and submit catch and effort circumstances allow. the Chief Information Officer, Commerce logbooks from their fishing trips. A The purpose of the intercept survey is Department. subset of fishermen on these vessels also to validate the electronic logbooks [FR Doc. 2021–02165 Filed 2–1–21; 8:45 am] provide information on the species and submitted through the Gulf for-hire BILLING CODE 3510–22–P quantities of fish, shellfish, marine reporting program, the information turtles, and marine mammals that are collection for which are approved under caught and discarded or have interacted OMB Control Number 0648–0016. The COMMITTEE FOR PURCHASE FROM with the fishing gear. A subset of data collected from the intercept survey PEOPLE WHO ARE BLIND OR fishermen on these vessels also provide would be used to estimate non-reporting SEVERELY DISABLED information about dockside fish and of fishing trips and reporting errors. fuel prices, trip operating costs, and Data from the intercept survey would be Procurement List; Additions annual fixed costs. analyzed through statistical methods to The data are used for scientific provide accurate estimates of the total AGENCY: Committee for Purchase From analyses that support critical catch and effort. Without the intercept People Who Are Blind or Severely conservation and management decisions survey, the electronic logbook results Disabled. made by national and international would be left unchecked and could be ACTION: Additions to the Procurement fishery management organizations. erroneous due to no adjustments for List. Interaction reports are needed for non-reporting and misreporting. SUMMARY: This action adds a service to fishery management planning and to Erroneous fisheries information could the Procurement List that will be help protect endangered species and mislead management and lead to furnished by a nonprofit agency marine mammals. Price and cost data inappropriate or unnecessary will be used in analyses of the economic regulations or lead to lack thereof when employing persons who are blind or effects of existing and proposed needed. have other severe disabilities. regulations. The total for-hire catch and effort DATES: Date added to the Procurement A final rule that implements estimates obtained from the intercept List: February 15, 2021. requirements under the authority of the survey, as well as from the Gulf for-hire ADDRESSES: Committee for Purchase Magnuson-Stevens Fishery reporting program are intended to be From People Who Are Blind or Severely Conservation and Management Act used on an ongoing basis by NMFS, Disabled, 1401 S Clark Street, Suite 715, (Magnuson-Stevens Act) will require a regional fishery management councils, Arlington, Virginia, 22202–4149. vessel owner or operator with a Federal interstate marine fisheries commissions, FOR FURTHER INFORMATION CONTACT: charter vessel/headboat permit for Gulf and state natural resource management Michael R. Jurkowski, Telephone: (703) of Mexico (Gulf) reef fish or Gulf coastal agencies to develop, implement, and 603–2117, Fax: (703) 603–0655, or email migratory pelagic (CMP) species to monitor fishery management programs, [email protected].
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00023 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7863
SUPPLEMENTARY INFORMATION: the Custodial Service, US Air Force, Purpose: In accordance with the Cannon Air Force Base, NM contract. Government in the Sunshine Act Additions The Federal customer contacted, and (Sunshine Act), Public Law 94–409, as On 10/23/2020, the Committee for has worked diligently with the amended (5 U.S.C. 552b), the U.S. Purchase From People Who Are Blind AbilityOne Program to fulfill this Election Assistance Commission (EAC) or Severely Disabled published notice of service need under the AbilityOne will conduct a virtual roundtable proposed additions to the Procurement Program. To avoid performance discussion on the lessons learned List. This notice is published pursuant disruption, and the possibility that the regarding accessibility for voters with to 41 U.S.C. 8503(a)(2) and 41 CFR 51– US Air Force will refer its business disabilities from the 2020 elections. 2.3. elsewhere, this addition must be Agenda: The U.S. Election Assistance After consideration of the material effective on February 15, 2021, ensuring Commission (EAC) will hold a presented to it concerning capability of timely execution for a March 1, 2021, roundtable discussion on accessibility qualified nonprofit agencies to provide start date while still allowing 13 days for voters with disabilities from the the service and impact of the addition for comment. Pursuant to its own 2020 elections. The first portion of the on the current or most recent regulation 41 CFR 51–2.4, the meeting will include a presentation of contractors, the Committee has Committee has been in contact with one findings from the ‘‘2020 Disability and determined that the service(s) listed of the affected parties, the incumbent of Voting Accessibility Survey’’ conducted below are suitable for procurement by the expiring contract, since March 2020 by Rutgers University on behalf of the the Federal Government under 41 U.S.C. and determined that no severe adverse EAC. The second portion of the 8501–8506 and 41 CFR 51–2.4. This impact exists. The Committee also roundtable will include subject matter Notice clarifies the Notice of January 29, published a notice of proposed experts and election officials who will 2021 by adjusting the effective date of Procurement List addition in the discuss the challenges and successes addition the Procurement from February Federal Register on October 23, 2020, they saw during the 2020 elections with 28, 2021 to February 15, 2021. and did not receive any comments from regard to serving voters with Regulatory Flexibility Act Certification any interested persons, including from disabilities. the incumbent contractor. This addition The full agenda will be posted in I certify that the following action will will not create a public hardship and advance on the EAC website: https:// not have a significant impact on a has limited effect on the public at large, www.eac.gov. substantial number of small entities. but, rather, will create new jobs for Status: This roundtable discussion The major factors considered for this other affected parties—people with will be open to the public. certification were: significant disabilities in the AbilityOne Amanda Joiner, 1. The action will not result in any program who otherwise face challenges additional reporting, recordkeeping or locating employment. Moreover, this Associate Counsel, U.S. Election Assistance Commission. other compliance requirements for small addition will enable Federal customer entities other than the small operations to continue without [FR Doc. 2021–02197 Filed 1–29–21; 11:15 am] organizations that will furnish the interruption. BILLING CODE 6820–KF–P product(s) and service(s) to the Government. Michael R. Jurkowski, 2. The action will result in Deputy Director, Business & PL Operations. DEPARTMENT OF ENERGY authorizing small entities to furnish the [FR Doc. 2021–02141 Filed 2–1–21; 8:45 am] product(s) and service(s) to the BILLING CODE 6353–01–P Federal Energy Regulatory Government. Commission 3. There are no known regulatory [Project No. 14635–001] alternatives which would accomplish ELECTION ASSISTANCE COMMISSION the objectives of the Javits-Wagner- Village of Gouverneur, New York; O’Day Act (41 U.S.C. 8501–8506) in Sunshine Act Meetings Notice of Settlement Agreement connection with the product(s) and AGENCY: service(s) proposed for addition to the U.S. Election Assistance Take notice that the following Procurement List. Commission. settlement agreement has been filed ACTION: Sunshine Act notice; notice of with the Commission and is available End of Certification public roundtable agenda. for public inspection. Accordingly, the following service is a. Type of Application: Settlement SUMMARY: added to the Procurement List: Roundtable Discussion: Agreement. Accessibility Lessons Learned From the b. Project No.: 14635–001. Service 2020 Elections. c. Date Filed: January 13, 2021. Service Type: Custodial Service DATES: Wednesday, February 17, 2021, d. Applicant: Village of Gouverneur, Mandatory for: US Air Force, Cannon Air 1:00 p.m.–2:30 p.m. Eastern. New York (Village of Gouverneur). Force Base, NM ADDRESSES: Virtual via Zoom. e. Name of Project: Gouverneur Mandatory Source of Supply: ENMRSH, Inc., The roundtable discussion is open to Hydroelectric Project (Project). Clovis, NM the public and will be livestreamed on f. Location: On the Oswegatchie River, Contracting Activity: DEPT OF THE AIR in the Village of Gouverneur, St. FORCE, FA4855 27 SOCONS LGC the U.S. Election Assistance Commission YouTube Channel: https:// Lawrence County, New York. The The Committee finds good cause to www.youtube.com/channel/ project does not occupy any federal dispense with the 30-day delay in the UCpN6i0g2rlF4ITWhwvBwwZw. land. effective date normally required by the g. Filed Pursuant to: Rule 602 of the Administrative Procedure Act. See 5 FOR FURTHER INFORMATION CONTACT: Commission’s Rules of Practice and U.S.C. 553(d). This addition to the Kristen Muthig, Telephone: (202) 897– Procedure, 18 CFR 385.602. Committee’s Procurement List is 9285, Email: [email protected]. h. Applicant Contact: Ronald P. effectuated because of the expiration of SUPPLEMENTARY INFORMATION: McDougall, Mayor, Village of
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00024 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7864 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
Gouverneur, 33 Clinton Street, field to access the document. For www.ferc.gov/docs-filing/efiling.asp. Gouverneur, NY 13642; (315) 287–1720; assistance, contact FERC Online Commenters can submit brief comments [email protected]. Support. up to 6,000 characters, without prior i. FERC Contact: Jody Callihan, (202) Register online at http:// registration, using the eComment system 502–8278 or [email protected]. www.ferc.gov/docs-filing/ at http://www.ferc.gov/doc-sfiling/ j. Deadline for filing comments: esubscription.asp to be notified via ecomment.asp. You must include your Comments on the Settlement Agreement email of new filings and issuances name and contact information at the end are due on Tuesday, February 16, 2021. related to this or other pending projects. of your comments. For assistance, Reply comments are due on Friday, For assistance, contact FERC Online please contact FERC Online Support at February 26, 2021. Support. [email protected], (866) The Commission strongly encourages Dated: January 27, 2021. 208–3676 (toll free), or (202) 502–8659 electronic filing. Please file comments (TTY). In lieu of electronic filing, you Kimberly D. Bose, using the Commission’s eFiling system may submit a paper copy. Submissions at http://www.ferc.gov/docs-filing/ Secretary. sent via the U.S. Postal Service must be efiling.asp. Commenters can submit [FR Doc. 2021–02153 Filed 2–1–21; 8:45 am] addressed to: Kimberly D. Bose, brief comments up to 6,000 characters, BILLING CODE 6717–01–P Secretary, Federal Energy Regulatory without prior registration, using the Commission, 888 First Street NE, Room eComment system at http:// 1A, Washington, DC 20426. www.ferc.gov/docs-filing/ DEPARTMENT OF ENERGY Submissions sent via any other carrier ecomment.asp. You must include your must be addressed to: Kimberly D. Bose, Federal Energy Regulatory name and contact information at the end Secretary, Federal Energy Regulatory Commission of your comments. For assistance, Commission, 12225 Wilkins Avenue, please contact FERC Online Support at [P–2232–794] Rockville, MD 20852. The first page of [email protected], (866) any filing should include docket 208–3676 (toll free), or (202) 502–8659 Duke Energy Carolinas, LLC; Notice of number P–2232–794. (TTY). Application Accepted for Filing and The Commission’s Rules of Practice The Commission’s Rules of Practice Soliciting Comments, Motions To and Procedure require all intervenors require all intervenors filing documents Intervene, and Protests filing documents with the Commission with the Commission to serve a copy of to serve a copy of that document on that document on each person on the Take notice that the following each person on the official service list official service list for the project. hydroelectric application has been filed for the project. Further, if an intervenor Further, if an intervenor files comments with the Commission and is available files comments or documents with the or documents with the Commission for public inspection. Commission relating to the merits of an relating to the merits of an issue that a. Type of Application: Request for a issue that may affect the responsibilities may affect the responsibilities of a temporary amendment of reservoir of a particular resource agency, they particular resource agency, they must elevation and minimum flow must also serve a copy of the document also serve a copy of the document on requirements at the Rhodhiss on that resource agency. that resource agency. development. k. Description of Request: The k. Village of Gouverneur filed an Offer b. Project No.: 2232–794. applicant requests a temporary of Settlement (Settlement Agreement) c. Date Filed: January 13, 2021. amendment of its reservoir elevation on behalf of itself, the New York State d. Applicant: Duke Energy Carolinas, and minimum average daily flow Department of Environmental LLC. requirements at the Rhodhiss Conservation, and the U.S. Fish and e. Name of Project: Catawba-Wateree development from March 1, 2021 Wildlife Service. The Settlement Hydroelectric Project. through June 30, 2023. The application Agreement includes protection, f. Location: The project is located on proposes to regularly exceed its normal mitigation, and enhancement measures the Catawba-Wateree River in Burke, maximum reservoir elevation of 995.1 addressing project operation, minimum McDowell, Caldwell, Catawba, feet mean sea level (full pool), flows, downstream fish passage and Alexander, Iredell, Mecklenburg, particularly between Monday morning protection, recreation enhancements, Lincoln, and Gaston counties, North and Friday afternoon during the and by reference, management plans for Carolina, and York, Lancaster, Chester, temporary amendment period. invasive species (Appendix A) and Fairfield, and Kershaw counties South Additionally, rather than complying northern long-eared bat and bald eagles Carolina. with its 225 cubic foot per second (Appendix B), as well as an g. Filed Pursuant to: Federal Power minimum flow release requirement by impoundment drawdown and cofferdam Act, 16 U.S.C. 791(a)–825(r). averaging flows over each day, the plan (Appendix C). Village of h. Applicant Contact: Mr. Jeffrey G. applicant proposes to instead use a Gouverneur requests that the measures Lineberger, Director of Water Strategy rolling 7-day average to determine in the Settlement Agreement be and Hydro Licensing, Duke Energy, Mail compliance. The amendment is being incorporated as license conditions, Code EC–12Y, 526 South Church Street, requested to facilitate removal of debris without modification, in any original Charlotte, NC 28202, (704) 382–5942. from the forebay and replacement of license issued for the project. The i. FERC Contact: Mr. Steven Sachs, trashracks at the development. signatories to the Settlement Agreement (202) 502–8666, [email protected]. l. In addition to publishing the full also request a 40-year license term for j. Deadline for filing comments, text of this document in the Federal the project. motions to intervene, and protests is 30 Register, the Commission provides all l. A copy of the Settlement Agreement days from the issuance of this notice by interested persons an opportunity to is available for review on the the Commission. The Commission view and/or print the contents of this Commission’s website at http:// strongly encourages electronic filing. document via the internet through the www.ferc.gov using the ‘‘eLibrary’’ link. Please file comments, motions to Commission’s Home Page (http:// Enter the docket number, excluding the intervene, and protests using the ferc.gov) using the ‘‘eLibrary’’ link. last three digits, in the docket number Commission’s eFiling system at http:// Enter the docket number excluding the
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00025 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7865
last three digits in the docket number DEPARTMENT OF ENERGY Power, The Connecticut Light and field to access the document. At this Power Company, Public Service time, the Commission has suspended Federal Energy Regulatory Company of New Hampshire, NSTAR access to the Commission’s Public Commission Electric Company, Green Mountain Reference Room, due to the Power Corporation, New England Power Combined Notice of Filings #1 proclamation declaring a National Company, Unitil Energy Systems, Inc., Emergency concerning the Novel Take notice that the Commission Fitchburg Gas and Electric Light Coronavirus Disease (COVID–19), issued received the following electric rate Company, Vermont Electric by the President on March 13, 2020. For filings: Cooperative, Inc., Vermont Transco LLC, New Hampshire Transmission, assistance, contact FERC at Docket Numbers: ER15–2594–007; LLC. [email protected] or call ER17–953–003. Description: Compliance filing: New toll-free, (886) 208–3676 or TYY, (202) Applicants: GridLiance High Plains England Transmission Owners; Docket 502–8659. LLC. No.ER20–2054—to be effective 6/15/ Description: Supplement to April 5, m. Individuals desiring to be included 2021. 2019 GridLiance High Plains LLC tariff on the Commission’s mailing list should Filed Date: 1/27/21. filing. so indicate by writing to the Secretary Accession Number: 20210127–5024. Filed Date: 1/19/21. of the Commission. Accession Number: 20210119–5256. Comments Due: 5 p.m. ET 2/17/21. n. Comments, Motions To Intervene, Comments Due: 5 p.m. ET 2/9/21. Docket Numbers: ER21–513–002. or Protests: Anyone may submit Docket Numbers: ER17–580–002. Applicants: Pacific Gas and Electric comments, a motion to intervene, or a Applicants: Axium Modesto Solar, Company. protest in accordance with the LLC. Description: Tariff Amendment: Errata requirements of Rules of Practice and Description: Notice of Change in to Western Biannual Filing (WDT SA Procedure, 18 CFR 385.210, .211, .214. Status of Axium Modesto Solar, LLC. 17) to be effective 2/1/2021. In determining the appropriate action to Filed Date: 1/26/21. Filed Date: 1/27/21. take, the Commission will consider all Accession Number: 20210126–5163. Accession Number: 20210127–5114. protests or other comments filed, but Comments Due: 5 p.m. ET 2/16/21. Comments Due: 5 p.m. ET 2/17/21. only those who file a motion to Docket Numbers: ER17–1370–004; Docket Numbers: ER21–630–000. intervene in accordance with the ER16–581–005; ER16–2271–004; ER16– Applicants: 325MK 8ME LLC. Commission’s Rules may become a 582–005; ER11–4535–003. Description: Amendment to December party to the proceeding. Any comments, Applicants: ENGIE Energy Marketing 11, 2020 325MK 8ME LLC tariff filing. motions to intervene, or protests must NA, Inc., ENGIE Portfolio Management, Filed Date: 1/26/21. be received on or before the specified LLC, ENGIE Resources LLC, ENGIE Accession Number: 20210126–5142. comment date for the particular Retail, LLC, Plymouth Rock Energy, Comments Due: 5 p.m. ET 2/16/21. application. LLC. Docket Numbers: ER21–945–000. Description: Notice of Change in Applicants: Southwestern Electric o. Filing and Service of Responsive Status of ENGIE MBR Sellers. Power Company. Documents: Any filing must (1) bear in Filed Date: 1/26/21. Description: § 205(d) Rate Filing: all capital letters the title Accession Number: 20210126–5160. ETEC and NTEC PSA to be effective 3/ ‘‘COMMENTS’’, ‘‘MOTION TO Comments Due: 5 p.m. ET 2/16/21. 28/2021. INTERVENE’’, or ‘‘PROTEST’’ as Docket Numbers: ER20–108–003. Filed Date: 1/26/21. applicable; (2) set forth in the heading Applicants: Southwest Power Pool, Accession Number: 20210126–5135. the name of the applicant and the Inc. Comments Due: 5 p.m. ET 2/16/21. project number(s) of the application to Description: Compliance filing: Docket Numbers: ER21–946–000. which the filing responds; (3) furnish Substitute 3127R1 MDU NITSA NOA Applicants: Southwestern Electric the name, address, and telephone and Substitute 3127R2 MDU NITSA Power Company. number of the person intervening or NOA to be effective 12/15/2019. Description: § 205(d) Rate Filing: protesting; and (4) otherwise comply Filed Date: 1/27/21. Hope PSA to be effective 3/28/2021. with the requirements of 18 CFR Accession Number: 20210127–5081. Filed Date: 1/26/21. 385.2001 through 385.2005. All Comments Due: 5 p.m. ET 2/17/21. Accession Number: 20210126–5138. comments, motions to intervene, or Docket Numbers: ER20–1987–003; Comments Due: 5 p.m. ET 2/16/21. protests must set forth their evidentiary ER20–2070–002; ER20–2648–002; Docket Numbers: ER21–947–000. basis. A copy of all other filings in ER20–2690–002. Applicants: Southwestern Electric reference to this application must be Applicants: Cerro Gordo Wind, LLC, Power Company. accompanied by proof of service on all Jordan Creek Wind Farm LLC, Northern Description: § 205(d) Rate Filing: persons listed in the service list Divide Wind, LLC, Wheatridge Wind II, Amended and Restated NTEC PSA to be prepared by the Commission in this LLC. effective 3/28/2021. proceeding, in accordance with 18 CFR Description: Notice of Non-Material Filed Date: 1/26/21. 385.2010. Change in Status of Cerro Gordo Wind, Accession Number: 20210126–5143. LLC, et al. Comments Due: 5 p.m. ET 2/16/21. Dated: January 27, 2021. Filed Date: 1/27/21. Docket Numbers: ER21–948–000. Kimberly D. Bose, Accession Number: 20210127–5150. Applicants: Southwestern Electric Secretary. Comments Due: 5 p.m. ET 2/17/21. Power Company. [FR Doc. 2021–02147 Filed 2–1–21; 8:45 am] Docket Numbers: ER20–2054–001. Description: § 205(d) Rate Filing: BILLING CODE 6717–01–P Applicants: ISO New England Inc., Revised and Restated Prescott PSA to be Central Maine Power Company, The effective 3/28/2021. United Illuminating Company, Versant Filed Date: 1/26/21.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00026 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7866 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
Accession Number: 20210126–5148. Comments Due: 5 p.m. ET 2/17/21. ENVIRONMENTAL PROTECTION Comments Due: 5 p.m. ET 2/16/21. AGENCY Docket Numbers: ER21–956–000. Docket Numbers: ER21–949–000. [FRL–10019–95–OP] Applicants: Southwest Power Pool, Applicants: Stonepeak Kestrel Energy Inc. Marketing LLC. Notification of Request for Description: § 205(d) Rate Filing: Description: § 205(d) Rate Filing: Cost Nominations to the National 2829R5 Midwest Energy/Evergy Kansas Recovery filing to be effective 3/29/ Environmental Justice Advisory Central Meter Agent Agr to be effective 2021. Council 1/1/2021. Filed Date: 1/27/21. Filed Date: 1/27/21. AGENCY: Environmental Protection Accession Number: 20210127–5038. Accession Number: 20210127–5135. Agency (EPA). Comments Due: 5 p.m. ET 2/17/21. Comments Due: 5 p.m. ET 2/17/21. ACTION: Request for Nominations to the National Environmental Justice Docket Numbers: ER21–950–000. Docket Numbers: ER21–957–000. Applicants: Pacific Gas and Electric Advisory Council (NEJAC). Applicants: Bucksport Generation Company. SUMMARY: The U.S. Environmental Description: § 205(d) Rate Filing: Q4 LLC. Protection Agency (EPA) invites 2020 Quarterly Filing of City and Description: § 205(d) Rate Filing: Cost nominations from a diverse range of County of San Francisco’s WDT SA (SA Recovery filing to be effective 3/29/ qualified candidates to be considered 275) to be effective 12/31/2020. 2021. for appointment to its National Filed Date: 1/27/21. Filed Date: 1/27/21. Environmental Justice Advisory Council Accession Number: 20210127–5073. (NEJAC). The NEJAC was chartered to Comments Due: 5 p.m. ET 2/17/21. Accession Number: 20210127–5140. provide advice regarding broad, cross- Docket Numbers: ER21–951–000. Comments Due: 5 p.m. ET 2/17/21. cutting issues related to environmental Applicants: Wrighter Energy LLC. justice. This notice solicits nominations Docket Numbers: ER21–958–000. Description: Tariff Cancellation: to fill approximately seven (7) new Request to Cancel MBR Tariff to be Applicants: Tri-State Generation and vacancies for terms through September effective 1/28/2021. Transmission Association, Inc. 2022. To maintain the representation Filed Date: 1/27/21. Description: § 205(d) Rate Filing: outlined by the charter, nominees will Accession Number: 20210127–5071. Amendment to Tri-State Rate Schedule be selected to represent: Academia (1 Comments Due: 5 p.m. ET 2/17/21. No. 93 to be effective 1/28/2021. vacancy); community-based Docket Numbers: ER21–952–000. organizations (2 vacancies); non- Filed Date: 1/27/21. Applicants: Mid-Atlantic Interstate governmental organizations (1 vacancy); Transmission, LLC, PJM Accession Number: 20210127–5149. state and local governments (2 Interconnection, L.L.C. Comments Due: 5 p.m. ET 2/17/21. vacancies); and tribal governments and Description: § 205(d) Rate Filing: indigenous organizations (1 vacancy). MAIT submits Eight ECSAs, SA Nos. The filings are accessible in the We are interested in adding members 5720, 5788, 5789–5781, 5911 and 5912 Commission’s eLibrary system (https:// located in EPA regions 1, 2, 7, 8, 9, 10. to be effective 3/29/2021. elibrary.ferc.gov/idmws/search/ Vacancies are anticipated to be filled by Filed Date: 1/27/21. fercgensearch.asp) by querying the September 2021. Sources in addition to Accession Number: 20210127–5110. docket number. this Federal Register Notice will be Comments Due: 5 p.m. ET 2/17/21. Any person desiring to intervene or utilized in the solicitation of nominees. Docket Numbers: ER21–953–000. protest in any of the above proceedings DATES: Nominations should be Applicants: Entergy Louisiana, LLC. must file in accordance with Rules 211 submitted in time to arrive no later than Description: § 205(d) Rate Filing: and 214 of the Commission’s Wednesday, March 24, 2021. Entergy OpCos Reactive Power Update Regulations (18 CFR 385.211 and ADDRESSES: Submit nominations to be effective 2/1/2021. 385.214) on or before 5:00 p.m. Eastern electronically with the subject line Filed Date: 1/27/21. time on the specified comment date. NEJAC Membership 2021 to nejac@ Accession Number: 20210127–5130. Protests may be considered, but epa.gov. The Office of Environmental Comments Due: 5 p.m. ET 2/17/21. intervention is necessary to become a Justice will acknowledge receipt of Docket Numbers: ER21–954–000. party to the proceeding. nominations. Applicants: Central Hudson Gas & eFiling is encouraged. More detailed FOR FURTHER INFORMATION CONTACT: Electric Corporation. information relating to filing Karen L. Martin, NEJAC Designated Description: § 205(d) Rate Filing: requirements, interventions, protests, Federal Officer, U.S. EPA; email: nejac@ Revision to FERC Rate Schedule 202 to service, and qualifying facilities filings epa.gov; telephone: (202) 564–0203. be effective 1/20/2021. can be found at: http://www.ferc.gov/ SUPPLEMENTARY INFORMATION: The Filed Date: 1/27/21. NEJAC is a federal advisory committee Accession Number: 20210127–5133. docs-filing/efiling/filing-req.pdf. For other information, call (866) 208–3676 chartered under the Federal Advisory Comments Due: 5 p.m. ET 2/17/21. Committee Act (FACA), Public Law 92– (toll free). For TTY, call (202) 502–8659. Docket Numbers: ER21–955–000. 463. EPA established the NEJAC in 1993 Applicants: California Independent Dated: January 27, 2021. to provide independent consensus System Operator Corporation. Nathaniel J. Davis, Sr., advice to the EPA Administrator about Description: § 205(d) Rate Filing: Deputy Secretary. a broad range of environmental issues 2021–01–27 EIM Base Schedule and [FR Doc. 2021–02149 Filed 2–1–21; 8:45 am] related to environmental justice. The Real Time Settlement to be effective 4/ NEJAC conducts business in accordance BILLING CODE 6717–01–P 1/2021. with the Federal Advisory Committee Filed Date: 1/27/21. Act (FACA) (5 U.S.C. App. 2) and Accession Number: 20210127–5134. related regulations.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00027 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7867
The Council consists of 30 members sustainability issues at the national, FEDERAL ELECTION COMMISSION (including a Chairperson and two Vice- state, or local level; [Notice 2021–03] Chairpersons) appointed by EPA’s • excellent interpersonal and Administrator. Members serve as non- consensus-building skills; Price Index Adjustments for federal stakeholders representing: Six • ability to volunteer time to attend Contribution and Expenditure (6) from academia, four (4) from Limitations and Lobbyist Bundling meetings 2–3 times a year, participate in business and industry; seven (7) from Disclosure Threshold community based organizations; six (6) teleconference meetings, attend from non-governmental/environmental listening sessions with the AGENCY: Federal Election Commission. organizations; four (4) from state and Administrator or other senior-level ACTION: Notice of adjustments to local governments; and three (3) from officials, develop policy contribution and expenditure tribal governments and indigenous recommendations to the Administrator, limitations and lobbyist bundling organizations, of which one member and prepare reports and advice letters; disclosure threshold. serves as a liaison to the National Tribal and Caucus. Members are appointed for one SUMMARY: As mandated by provisions of • willingness to commit time to the (1); two (2) or three (3)-year terms with the Federal Election Campaign Act (‘‘the the possibility of reappointment for committee and demonstrated ability to Act’’), the Federal Election Commission another term. work constructively and effectively on (‘‘the Commission’’) is adjusting certain The NEJAC usually meets face-to-face committees. contribution and expenditure twice a year, generally in the Spring and How To Submit Nominations: Any limitations and the lobbyist bundling the Fall. Additionally, members may be interested person or organization may disclosure threshold set forth in the Act, asked to participate in teleconference nominate qualified persons to be to index the amounts for inflation. meetings or serve on work groups to considered for appointment to this Additional details appear in the develop recommendations, advice advisory committee. Individuals are supplemental information that follows. letters, and reports to address specific encouraged to self-nominate. DATES: The new limitation at 52 U.S.C. policy issues. The average workload for Nominations will be submitted in 30116(a)(1)(A) applies beginning on members is approximately 5 to 8 hours electronic format following the template November 4, 2020. The new limitations per month. EPA provides available at https://www.epa.gov/ at 52 U.S.C. 30104(i)(3)(A), reimbursement for travel and other environmentaljustice/nominations- 30116(a)(1)(B), 30116(d) and 30116(h) incidental expenses associated with apply beginning on January 1, 2021. official government business. nejac. To be considered, all nominations FOR FURTHER INFORMATION CONTACT: Nominations: Any interested person should include: Ms. and/or organization may nominate • Current contact information for the Elizabeth S. Kurland, Information Division, 1050 First Street NE, qualified individuals for membership. nominee/applicant, including the Washington, DC 20463; (202) 694–1100 Individuals are encouraged to self- nominee’s/applicant’s name, or (800) 424–9530. nominate. The EPA values and organization (and position within that welcomes diversity. In an effort to organization), current business address, SUPPLEMENTARY INFORMATION: Under the obtain nominations of diverse email address, telephone numbers and Federal Election Campaign Act, 52 U.S.C. 30101–45, coordinated party candidates, the Agency encourages the stakeholder category position you expenditure limits (52 U.S.C. nominations of women and men of all are interested in. racial and ethnic groups from all 30116(d)(2)–(3)), certain contribution • geographic locations of the United Brief Statement describing the limits (52 U.S.C. 30116(a)(1)(A) and (B), States of America. All nominations will nominee’s/applicant’s interest in and (h)), and the disclosure threshold be fully considered, but applicants need serving on the NEJAC. for contributions bundled by lobbyists to be aware of the specific • Re´sume´ and a short biography (52 U.S.C. 30104(i)(3)(A)) are adjusted representation sought as outlined in the describing the professional and periodically to reflect changes in the summary above. In addition, EPA is educational qualifications of the consumer price index. See 52 U.S.C. seeking nominees with knowledge in nominee, including a list of relevant 30104(i)(3)(B), 30116(c); 11 CFR youth perspectives and youth activities, and any current or previous 109.32(a)(2), (b)(3), 110.17(a), (f). The development; environmental measures; service on advisory committees. Commission is publishing this notice to announce the adjusted limits and public health/health disparities; water • infrastructure and other water concerns; Brief statements describing disclosure threshold. farmworkers and pesticides; community experience as it relates to engaging affected communities, understanding Coordinated Party Expenditure Limits sustainability and resiliency; green jobs for 2021 and green infrastructure; land use and environmental justice/relevant issues, equitable development; and emerging consensus building, communication Under 52 U.S.C. 30116(c), the inclusion of sub-populations such as the skills and availability. Commission must adjust the homeless, veterans, prisoners, etc. • Letter[s] of recommendation from a expenditure limitations established by Other criteria used to evaluate third party supporting the nomination. 52 U.S.C. 30116(d) (the limits on expenditures by national party nominees will include: Letter[s] should describe how the • committees, state party committees, or The background and experience nominee’s experience and knowledge that would help members contribute to their subordinate committees in will bring value to the work of the the diversity of perspectives on the connection with the general election NEJAC. committee (e.g., geographic, economic, campaign of candidates for Federal social, cultural, educational Matthew Tejada, office) annually to account for inflation. background, professional affiliations, Director Office of Environmental Justice. This expenditure limitation is increased by the percent difference between the and other considerations; [FR Doc. 2021–02154 Filed 2–1–21; 8:45 am] • demonstrated experience with price index, as certified to the environmental justice and community BILLING CODE 6560–50–P Commission by the Secretary of Labor,
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00028 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7868 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
for the 12 months preceding the the nearest $100. See 52 U.S.C. were certified by the U.S. Census beginning of the calendar year and the 30116(c)(1)(B), (d)(3)(B); 11 CFR Bureau. The VAP of each state is also price index for the base period (calendar 109.32(b), 110.17. Based upon this published annually in the Federal year 1974). 52 U.S.C. 30116(c)(1)(B)(i), formula, the expenditure limitation for Register by the U.S. Department of (2)(B)(i). 2021 general elections for House Commerce. 11 CFR 110.18. The general candidates in these states, districts, and 1. Expenditure Limitation for House of election expenditure limitation is the territories is $52,500. Representatives in States With More greater of: The base figure ($20,000) Than One Congressional District 2. Expenditure Limitation for Senate multiplied by the difference in the price Both the national and state party and for House of Representatives in index, 5.24905 (which totals $105,000); committees have an expenditure States With Only One Congressional or $0.02 multiplied by the VAP of the limitation for each general election held District state, multiplied by 5.24905. See 52 to fill a seat in the House of Both the national and state party U.S.C. 30116(c)(1)(B), (d)(3)(A); 11 CFR Representatives in states with more than committees have an expenditure 109.32(b), 110.17. Amounts are rounded one congressional district. See 52 U.S.C. limitation for a general election held to to the nearest $100. 52 U.S.C. 30116(d)(3)(B). This limitation also fill a seat in the Senate or in the House 30116(c)(1)(B)(iii); 11 CFR 109.32(b)(3), applies to the District of Columbia and of Representatives in states with only 110.17(c). The chart below provides the territories that elect individuals to the one congressional district. See 52 U.S.C. state-by-state breakdown of the 2021 office of Delegate or Resident 30116(d)(3)(A). The formula used to general election expenditure limitations Commissioner.1 Id. The formula used to calculate this expenditure limitation for Senate elections. The expenditure calculate the expenditure limitation in considers not only the price index but limitation for 2021 House elections in such states and territories multiplies the also the voting age population (‘‘VAP’’) states with only one congressional base figure of $10,000 by the difference of the state. Id. The VAP figures used to district 2 is $105,000. in the price index (5.24905), rounding to calculate the expenditure limitations
SENATE GENERAL ELECTION COORDINATED EXPENDITURE LIMITS—2021 ELECTIONS 3
Voting age VAP × .02 × Senate expenditure limit State population the price index (the greater of the amount (VAP) (5.24905) in column 3 or $105,000)
Alabama ...... 3,834,249 $402,500 $402,500 Alaska ...... 552,427 58,000 105,000 Arizona ...... 5,774,978 606,300 606,300 Arkansas ...... 2,330,808 244,700 244,700 California ...... 30,576,844 3,210,000 3,210,000 Colorado ...... 4,557,684 478,500 478,500 Connecticut ...... 2,838,054 297,900 297,900 Delaware ...... 782,153 82,100 105,000 Florida ...... 17,482,580 1,835,300 1,835,300 Georgia ...... 8,210,067 861,900 861,900 Hawaii ...... 1,111,188 116,700 116,700 Idaho ...... 1,375,870 144,400 144,400 Illinois ...... 9,809,562 1,029,800 1,029,800 Indiana ...... 5,188,514 544,700 544,700 Iowa ...... 2,438,002 255,900 255,900 Kansas ...... 2,217,059 232,700 232,700 Kentucky ...... 3,475,334 364,800 364,800 Louisiana ...... 3,564,038 374,200 374,200 Maine ...... 1,101,973 115,700 115,700 Maryland ...... 4,721,883 495,700 495,700 Massachusetts ...... 5,552,051 582,900 582,900 Michigan ...... 7,839,742 823,000 823,000 Minnesota ...... 4,356,123 457,300 457,300 Mississippi ...... 2,273,653 238,700 238,700 Missouri ...... 4,780,119 501,800 501,800 Montana ...... 850,894 89,300 105,000 Nebraska ...... 1,462,537 153,500 153,500 Nevada ...... 2,440,679 256,200 256,200 New Hampshire ...... 1,113,141 116,900 116,900 New Jersey ...... 6,947,836 729,400 729,400 New Mexico ...... 1,633,828 171,500 171,500 New York ...... 15,348,422 1,611,300 1,611,300 North Carolina ...... 8,294,423 870,800 870,800 North Dakota ...... 583,680 61,300 105,000 Ohio ...... 9,124,576 957,900 957,900 Oklahoma ...... 3,027,263 317,800 317,800
1 Currently, these are Puerto Rico, American Wyoming. See http://www.house.gov/ jurisdictions do not elect Senators. See 52 U.S.C. Samoa, Guam, the United States Virgin Islands and representatives/. 30116(d)(3)(A); 11 CFR 109.32(b)(2)(i). the Northern Mariana Islands. See http:// 3 This expenditure limit does not apply to the www.house.gov/representatives. District of Columbia, Puerto Rico, American Samoa, 2 Currently, these states are: Alaska, Delaware, Guam, the United States Virgin Islands, and the Montana, North Dakota, South Dakota, Vermont and Northern Mariana Islands because those
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00029 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7869
SENATE GENERAL ELECTION COORDINATED EXPENDITURE LIMITS—2021 ELECTIONS 3—Continued
Voting age VAP × .02 × Senate expenditure limit State population the price index (the greater of the amount (VAP) (5.24905) in column 3 or $105,000)
Oregon ...... 3,380,729 354,900 354,900 Pennsylvania ...... 10,162,497 1,066,900 1,066,900 Rhode Island ...... 855,276 89,800 105,000 South Carolina ...... 4,100,115 430,400 430,400 South Dakota ...... 674,238 70,800 105,000 Tennessee ...... 5,373,433 564,100 564,100 Texas ...... 21,925,627 2,301,800 2,301,800 Utah ...... 2,320,603 243,600 243,600 Vermont ...... 510,181 53,600 105,000 Virginia ...... 6,724,143 705,900 705,900 Washington ...... 6,027,818 632,800 632,800 West Virginia ...... 1,428,520 150,000 150,000 Wisconsin ...... 4,574,131 480,200 480,200 Wyoming ...... 449,237 47,200 105,000
Limitations on Contributions by candidates) and 30116(a)(1)(B) certified to the Commission by the Individuals, Non-Multicandidate (contributions to national party Secretary of Labor, for the 12 months Committees and Certain Political Party committees); and (2) the limitation on preceding the beginning of the calendar Committees Giving to U.S. Senate contributions made to U.S. Senate year and the price index for the base Candidates for the 2021–2022 Election candidates by certain political party period (calendar year 2001). 52 U.S.C. Cycle committees at 52 U.S.C. 30116(h). See 30116(c)(1)(B)(i), (2)(B)(ii). The resulting 52 U.S.C. 30116(c). These contribution amount is rounded to the nearest The Act requires inflation indexing of: limitations are increased by multiplying multiple of $100. See 52 U.S.C. (1) The limitations on contributions the respective statutory contribution 30116(c); 11 CFR 110.17(b). made by persons under 52 U.S.C. amount by 1.46170, the percent Contribution limitations shall be 30116(a)(1)(A) (contributions to difference between the price index, as adjusted accordingly:
Statutory 2021–2022 Statutory provision amount limit
52 U.S.C. 30116(a)(1)(A) ...... $2,000 $2,900 52 U.S.C. 30116(a)(1)(B) ...... 25,000 36,500 52 U.S.C. 30116(h) ...... 35,000 51,200
The limitation at 52 U.S.C. exceed a specified threshold amount. 52 On behalf of the Commission, 30116(a)(1)(A) is to be in effect for the U.S.C. 30104(i)(1), (i)(3)(A). The Shana M. Broussard, two-year period beginning on the first Commission must adjust this threshold Chair, Federal Election Commission. day following the date of the general amount annually to account for [FR Doc. 2021–02173 Filed 2–1–21; 8:45 am] election in the preceding year and inflation. 52 U.S.C. 30104(i)(3)(B). The BILLING CODE 6715–01–P ending on the date of the next regularly disclosure threshold is increased by scheduled election. 52 U.S.C. multiplying the $15,000 statutory 30116(c)(1)(C); 11 CFR 110.1(b)(1)(ii). disclosure threshold by 1.28380, the Thus the $2,900 figure above is in effect difference between the price index, as FEDERAL RESERVE SYSTEM from November 4, 2020, to November 8, certified to the Commission by the 2022. The limitations under 52 U.S.C. Formations of, Acquisitions by, and Secretary of Labor, for the 12 months Mergers of Bank Holding Companies 30116(a)(1)(B) and 30116(h) shall be in preceding the beginning of the calendar effect beginning January 1st of the odd- year and the price index for the base The companies listed in this notice numbered year and ending on December period (calendar year 2006). See 52 have applied to the Board for approval, 31st of the next even-numbered year. 11 U.S.C. 30104(i)(3), 30116(c)(1)(B); 11 pursuant to the Bank Holding Company CFR 110.1(c)(1)(ii). Thus the new CFR 104.22(g). The resulting amount is Act of 1956 (12 U.S.C. 1841 et seq.) contribution limitations under 52 U.S.C. (BHC Act), Regulation Y (12 CFR part 30116(a)(1)(B) and 30116(h) are in effect rounded to the nearest multiple of $100. 52 U.S.C. 30104(i)(3)(B), 225), and all other applicable statutes from January 1, 2021, to December 31, and regulations to become a bank 2022. See 11 CFR 110.17(b)(1). 30116(c)(1)(B)(iii); 11 CFR 104.22(g)(4). Based upon this formula ($15,000 × holding company and/or to acquire the Lobbyist Bundling Disclosure 1.28380), the lobbyist bundling assets or the ownership of, control of, or the power to vote shares of a bank or Threshold for 2021 disclosure threshold for calendar year bank holding company and all of the 2021 is $19,300. The Act requires certain political banks and nonbanking companies committees to disclose contributions Dated: January 28, 2021. owned by the bank holding company, bundled by lobbyists/registrants and including the companies listed below. lobbyist/registrant political action The public portions of the committees once the contributions applications listed below, as well as
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00030 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7870 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
other related filings required by the 1. VeraBank, Inc., Henderson, Texas; Notification Office, 400 7th Street SW, Board, if any, are available for to acquire Panola National Bank, Room 5301, Washington, DC 20024. immediate inspection at the Federal Carthage, Texas. SUPPLEMENTARY INFORMATION: Section Reserve Bank(s) indicated below and at Board of Governors of the Federal Reserve 7A of the Clayton Act, 15 U.S.C. 18a, as the offices of the Board of Governors. System, January 28, 2021. added by the Hart-Scott-Rodino This information may also be obtained Michele Taylor Fennell, Antitrust Improvements Act of 1976, on an expedited basis, upon request, by Deputy Associate Secretary of the Board. Public Law 94–435, 90 Stat. 1390 (‘‘the contacting the appropriate Federal [FR Doc. 2021–02148 Filed 2–1–21; 8:45 am] Act’’), requires all persons Reserve Bank and from the Board’s BILLING CODE P contemplating certain mergers or Freedom of Information Office at acquisitions, which meet or exceed the https://www.federalreserve.gov/foia/ jurisdictional thresholds in the Act, to request.htm. Interested persons may FEDERAL TRADE COMMISSION file notification with the Commission express their views in writing on the and the Assistant Attorney General and standards enumerated in the BHC Act Revised Jurisdictional Thresholds for to wait a designated period of time (12 U.S.C. 1842(c)). Section 7A of the Clayton Act before consummating such transactions. Section 7A(a)(2) requires the Federal Comments regarding each of these AGENCY: Federal Trade Commission. Trade Commission to revise those applications must be received at the ACTION: Notice. thresholds annually, based on the Reserve Bank indicated or the offices of change in gross national product, in the Board of Governors, Ann E. SUMMARY: The Federal Trade accordance with Section 8(a)(5). Note Misback, Secretary of the Board, 20th Commission announces the revised that while the filing fee thresholds are Street and Constitution Avenue NW, thresholds for the Hart-Scott-Rodino revised annually, the actual filing fees Washington DC 20551–0001, not later Antitrust Improvements Act of 1976 are not similarly indexed and, as a than March 4, 2021. required by law. result, have not been adjusted for A. Federal Reserve Bank of Dallas DATES: March 4, 2021. inflation in over a decade. The new (Robert L. Triplett III, Senior Vice FOR FURTHER INFORMATION CONTACT: thresholds, which take effect 30 days President) 2200 North Pearl Street, Nora Whitehead (202–326–3100), after publication in the Federal Dallas, Texas 75201–2272: Bureau of Competition, Premerger Register, are as follows:
Original Adjusted Subsection of 7A threshold (million) threshold (million)
7A(a)(2)(A) ...... $200 $368 7A(a)(2)(B)(i) ...... 50 92 7A(a)(2)(B)(i) ...... 200 368 7A(a)(2)(B)(ii)(i) ...... 10 18.4 7A(a)(2)(B)(ii)(i) ...... 100 184 7A(a)(2)(B)(ii)(II) ...... 10 18.4 7A(a)(2)(B)(ii)(II) ...... 100 184 7A(a)(2)(B)(ii)(III) ...... 100 184 7A(a)(2)(B)(ii)(III) ...... 10 18.4 Section 7A note: Assessment and Collection of Filing Fee1 (3)(b)(1) ...... 100 184 Section 7A note: Assessment and Collection of Filing Fees (3)(b)(2) ...... 100 184 Section 7A note: Assessment and Collection of Filing Fees (3)(b)(2) ...... 500 919.9 Section 7A note: Assessment and Collection of Filing Fees (3)(b)(3) ...... 500 919.9
Any reference to these thresholds and By direction of the Commission. as amended, and the Determination of related thresholds and limitation values April J. Tabor, the Director, Strategic Business in the HSR rules (16 CFR parts 801–803) Secretary. Initiatives Unit, Office of the Chief and the Antitrust Improvements Act [FR Doc. 2021–02110 Filed 2–1–21; 8:45 am] Operating Officer, CDC, pursuant to Notification and Report Form (‘‘the HSR BILLING CODE 6750–01–P Public Law 92–463. The grant Form’’) and its Instructions will also be applications and the discussions could adjusted, where indicated by the term disclose confidential trade secrets or ‘‘(as adjusted)’’, as follows: DEPARTMENT OF HEALTH AND commercial property such as patentable HUMAN SERVICES material, and personal information concerning individuals associated with Original threshold Adjusted threshold (million) Centers for Disease Control and the grant applications, the disclosure of Prevention which would constitute a clearly $10 million ...... 18.4 unwarranted invasion of personal $50 million ...... 92 Notice of Closed Meeting privacy. $100 million ...... 184 $110 million ...... 202.4 Pursuant to section 10(d) of the Name of Committee: Disease, $200 million ...... 368 Federal Advisory Committee Act, as Disability, and Injury Prevention and $500 million ...... 919.9 amended, notice is hereby given of the Control Special Emphasis Panel (SEP)— $1 billion ...... 1,839.8 following meeting. SIP21–001, Integrating Social Emotional The meeting will be closed to the Well Being with Physical Activity and public in accordance with the Nutrition Practices in School-Based 1 Public Law 106–553, Sec. 630(b) amended Sec. provisions set forth in sections Out-of-School Time (OST) Programs: A 18a note. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Demonstration Project.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00031 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7871
Date: April 27, 2021. Place: Video-Assisted Meeting. Agenda: To review and evaluate grant Time: 11:00 a.m.–6:00 p.m., EDT. Agenda: To review and evaluate grant applications. Place: Teleconference. applications. For Further Information Contact: Jaya Agenda: To review and evaluate grant For Further Information Contact: Raman, Ph.D., Scientific Review Officer, applications. Michael Goldcamp, Ph.D., Scientific National Center for Chronic Disease For Further Information Contact: Jaya Review Officer, Office of Extramural Prevention and Health Promotion, CDC, Raman, Ph.D., Scientific Review Officer, Programs, National Institute for 4770 Buford Highway, Mailstop S107–8, National Center for Chronic Disease Occupational Safety and Health, CDC, Atlanta, Georgia 30341, Telephone (770) Prevention and Health Promotion, CDC, 1095 Willowdale Road, Morgantown, 488–6511, [email protected]. 4770 Buford Highway, Mailstop S107–8, West Virginia 26505, Telephone (304) The Director, Strategic Business Atlanta, Georgia 30341, Telephone (770) 285–5951, [email protected]. Initiatives Unit, Office of the Chief 488–6511, [email protected]. The Director, Strategic Business Operating Officer, Centers for Disease The Director, Strategic Business Initiatives Unit, Office of the Chief Control and Prevention, has been Initiatives Unit, Office of the Chief Operating Officer, Centers for Disease delegated the authority to sign Federal Operating Officer, Centers for Disease Control and Prevention, has been Register notices pertaining to Control and Prevention, has been delegated the authority to sign Federal announcements of meetings and other delegated the authority to sign Federal Register notices pertaining to committee management activities, for Register notices pertaining to announcements of meetings and other both the Centers for Disease Control and announcements of meetings and other committee management activities, for Prevention and the Agency for Toxic committee management activities, for both the Centers for Disease Control and Substances and Disease Registry. both the Centers for Disease Control and Prevention and the Agency for Toxic Kalwant Smagh, Prevention and the Agency for Toxic Substances and Disease Registry. Substances and Disease Registry. Director, Strategic Business Initiatives Unit, Kalwant Smagh, Office of the Chief Operating Officer, Centers Kalwant Smagh, Director, Strategic Business Initiatives Unit, for Disease Control and Prevention. Director, Strategic Business Initiatives Unit, Office of the Chief Operating Officer, Centers [FR Doc. 2021–02163 Filed 2–1–21; 8:45 am] Office of the Chief Operating Officer, Centers for Disease Control and Prevention. for Disease Control and Prevention. BILLING CODE 4163–18–P [FR Doc. 2021–02162 Filed 2–1–21; 8:45 am] [FR Doc. 2021–02161 Filed 2–1–21; 8:45 am] BILLING CODE 4163–18–P BILLING CODE 4163–18–P DEPARTMENT OF HEALTH AND HUMAN SERVICES DEPARTMENT OF HEALTH AND DEPARTMENT OF HEALTH AND HUMAN SERVICES Centers for Disease Control and HUMAN SERVICES Prevention Centers for Disease Control and Centers for Disease Control and Prevention Notice of Closed Meeting Prevention Notice of Closed Meeting Pursuant to section 10(d) of the Notice of Closed Meeting Federal Advisory Committee Act, as Pursuant to section 10(d) of the amended, notice is hereby given of the Pursuant to section 10(d) of the Federal Advisory Committee Act, as following meeting. Federal Advisory Committee Act, as amended, notice is hereby given of the amended, notice is hereby given of the The meeting will be closed to the following meeting. following meeting. public in accordance with the The meeting will be closed to the The meeting will be closed to the provisions set forth in sections public in accordance with the public in accordance with the 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., provisions set forth in sections provisions set forth in sections as amended, and the Determination of 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., the Director, Strategic Business as amended, and the Determination of as amended, and the Determination of Initiatives Unit, Office of the Chief the Director, Strategic Business the Director, Strategic Business Operating Officer, CDC, pursuant to Initiatives Unit, Office of the Chief Initiatives Unit, Office of the Chief Public Law 92–463. The grant Operating Officer, CDC, pursuant to Operating Officer, CDC, pursuant to applications and the discussions could Public Law 92–463. The grant Public Law 92–463. The grant disclose confidential trade secrets or applications and the discussions could applications and the discussions could commercial property such as patentable disclose confidential trade secrets or disclose confidential trade secrets or material, and personal information commercial property such as patentable commercial property such as patentable concerning individuals associated with material, and personal information material, and personal information the grant applications, the disclosure of concerning individuals associated with concerning individuals associated with which would constitute a clearly the grant applications, the disclosure of the grant applications, the disclosure of unwarranted invasion of personal which would constitute a clearly which would constitute a clearly privacy. unwarranted invasion of personal unwarranted invasion of personal Name of Committee: Disease, privacy. privacy. Disability, and Injury Prevention and Name of Committee: Disease, Name of Committee: Disease, Control Special Emphasis Panel (SEP)— Disability, and Injury Prevention and Disability, and Injury Prevention and SIP21–004, Development, Evaluation Control Special Emphasis Panel (SEP)— Control Special Emphasis Panel (SEP)— and Dissemination of an Evidence- PAR 20–297, NIOSH Centers of SIP21–002, Examining Contexts of Based Intervention to Increase Sun Excellence for Total Worker Health Alcohol Availability and Accessibility. Safety among Outdoor Workers. (TWH). Date: April 28, 2021. Date: May 4, 2021. Date: April 26–29, 2021. Time: 11:00 a.m.–6:00 p.m., EDT. Time: 11:00 a.m.–6:00 p.m., EDT. Time: 11:00 a.m.–6:00 p.m., EDT. Place: Teleconference. Place: Teleconference.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00032 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7872 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
Agenda: To review and evaluate grant Agenda: To review and evaluate grant relating to, or resulting from the applications. applications. manufacture, distribution, For Further Information Contact: Jaya For Further Information Contact: Jaya administration, or use of medical Raman, Ph.D., Scientific Review Officer, Raman, Ph.D., Scientific Review Officer, countermeasures (Covered National Center for Chronic Disease National Center for Chronic Disease Countermeasures), except for claims Prevention and Health Promotion, CDC, Prevention and Health Promotion, CDC, involving ‘‘willful misconduct’’ as 4770 Buford Highway, Mailstop S107–8, 4770 Buford Highway, Mailstop S107–8, defined in the PREP Act. Under the Atlanta, Georgia 30341, Telephone (770) Atlanta, Georgia 30341, Telephone (770) PREP Act, a Declaration may be 488–6511, [email protected]. 488–6511, [email protected]. amended as circumstances warrant. The Director, Strategic Business The Director, Strategic Business The PREP Act was enacted on Initiatives Unit, Office of the Chief Initiatives Unit, Office of the Chief December 30, 2005, as Public Law 109– Operating Officer, Centers for Disease Operating Officer, Centers for Disease 148, Division C, section 2. It amended Control and Prevention, has been Control and Prevention, has been the Public Health Service (PHS) Act, delegated the authority to sign Federal delegated the authority to sign Federal adding section 319F–3, which addresses Register notices pertaining to Register notices pertaining to liability immunity, and section 319F–4, announcements of meetings and other announcements of meetings and other which creates a compensation program. committee management activities, for committee management activities, for These sections are codified at 42 U.S.C. both the Centers for Disease Control and both the Centers for Disease Control and 247d–6d and 42 U.S.C. 247d–6e, Prevention and the Agency for Toxic Prevention and the Agency for Toxic respectively. Section 319F–3 of the PHS Substances and Disease Registry. Substances and Disease Registry. Act has been amended by the Pandemic Kalwant Smagh, and All-Hazards Preparedness Kalwant Smagh, Reauthorization Act (PAHPRA), Public Director, Strategic Business Initiatives Unit, Director, Strategic Business Initiatives Unit, Law 113–5, enacted on March 13, 2013 Office of the Chief Operating Officer, Centers Office of the Chief Operating Officer, Centers for Disease Control and Prevention. and the Coronavirus Aid, Relief, and for Disease Control and Prevention. Economic Security (CARES) Act, Public [FR Doc. 2021–02160 Filed 2–1–21; 8:45 am] [FR Doc. 2021–02164 Filed 2–1–21; 8:45 am] Law 116–136, enacted on March 27, BILLING CODE 4163–18–P BILLING CODE 4163–18–P 2020, to expand Countermeasures under the PREP Act. On January 31, 2020, former Secretary DEPARTMENT OF HEALTH AND DEPARTMENT OF HEALTH AND HUMAN SERVICES Alex M. Azar II declared a public health HUMAN SERVICES emergency pursuant to section 319 of the PHS Act, 42 U.S.C. 247d, effective Centers for Disease Control and Office of the Secretary January 27, 2020, for the entire United Prevention Fifth Amendment to Declaration Under States to aid in the response of the Notice of Closed Meeting the Public Readiness and Emergency nation’s health care community to the Preparedness Act for Medical COVID–19 outbreak. Pursuant to section Pursuant to section 10(d) of the Countermeasures Against COVID–19 319 of the PHS Act, the Secretary Federal Advisory Committee Act, as renewed that declaration effective on amended, notice is hereby given of the ACTION: Notice of amendment. April 26, 2020, July 25, 2020, October following meeting. SUMMARY: The Acting Secretary issues 23, 2020, and January 21, 2121. The meeting will be closed to the On March 10, 2020, former Secretary this amendment pursuant to section public in accordance with the Azar issued a Declaration under the 319F–3 of the Public Health Service Act PREP Act for medical countermeasures provisions set forth in sections to add additional categories of Qualified against COVID–19 (85 FR 15198, Mar. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Persons authorized to prescribe, 17, 2020) (the Declaration). On April 10, as amended, and the Determination of dispense, and administer COVID–19 the former Secretary amended the the Director, Strategic Business vaccines that are covered Declaration under the PREP Act to Initiatives Unit, Office of the Chief countermeasures under section VI of extend liability immunity to covered Operating Officer, CDC, pursuant to this Declaration. Public Law 92–463. The grant countermeasures authorized under the DATES: applications and the discussions could This amendment to the CARES Act (85 FR 21012, Apr. 15, disclose confidential trade secrets or Declaration is effective as of February 2, 2020). On June 4, the former Secretary commercial property such as patentable 2021. amended the Declaration to clarify that material, and personal information FOR FURTHER INFORMATION CONTACT: L. covered countermeasures under the concerning individuals associated with Paige Ezernack, Office of the Assistant Declaration include qualified the grant applications, the disclosure of Secretary for Preparedness and countermeasures that limit the harm which would constitute a clearly Response, Office of the Secretary, COVID–19 might otherwise cause. (85 unwarranted invasion of personal Department of Health and Human FR 35100, June 8, 2020) On August 19, privacy. Services, 200 Independence Avenue the former Secretary amended the Name of Committee: Disease, SW, Washington, DC 20201; Telephone: declaration to add additional categories Disability, and Injury Prevention and 202–260–0365; [email protected]. of Qualified Persons and amend the Control Special Emphasis Panel (SEP)— SUPPLEMENTARY INFORMATION: The category of disease, health condition, or SIP21–003, Evaluating Alternative Public Readiness and Emergency threat for which he recommended the Delivery Models for Arthritis- Preparedness Act (PREP Act) authorizes administration or use of the Covered Appropriate Evidence-Based Physical the Secretary of Health and Human Countermeasures. (85 FR 51236, August Activity and Self-Management Services (the Secretary) to issue a 24, 2020). On December 3, 2020, the Interventions. Declaration to provide liability former Secretary amended the Date: April 29, 2021. immunity to certain individuals and declaration to incorporate Advisory Time: 11:00 a.m.–6:00 p.m., EDT. entities (Covered Persons) against any Opinions of the General Counsel Place: Teleconference. claim of loss caused by, arising out of, interpreting the PREP Act and the
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00033 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7873
Secretary’s Declaration and Training Modules 1 and, for healthcare respect to such countermeasure. authorizations issued by the providers who are not currently ‘‘Qualified person’’ includes (A) a Department’s Office of the Assistant practicing, documentation of an licensed health professional or other Secretary for Health as an Authority observation period by a currently individual who is authorized to Having Jurisdiction to respond; added practicing healthcare professional prescribe, administer, or dispense such an additional category of qualified adequately experienced in vaccination countermeasures under the law of the persons under Section V of the who confirms competency of the State in which the countermeasure was Declaration; made explicit that the healthcare provider in preparation and prescribed, administered, or dispensed; Declaration covers all qualified administration of the particular COVID– or (B) ‘‘a person within a category of pandemic and epidemic products as 19 vaccine(s) to be administered; and persons so identified in a declaration by defined under the PREP Act; added a (g) Any physician, advanced practice the Secretary’’ under subsection (b) of third method of distribution to provide registered nurse, registered nurse, or the PREP Act. 42 U.S.C. 247d–6d(i)(8). liability protections for, among other practical nurse who has held an active By this amendment to the Declaration, things, private distribution channels; license or certification to prescribe, the Acting Secretary identifies two made explicit that there can be dispense, or administer vaccines under additional categories of persons who are situations where not administering a the law of any State within the last five qualified persons under section 247d– covered countermeasure to a particular years, which is inactive, expired or 6d(i)(8)(B), allowing healthcare individual can fall within the PREP Act lapsed, who prescribes, dispenses, or providers who are licensed in a State to and the Declaration’s liability administers COVID–19 vaccines that are prescribe, dispense, and/or administer protections; made explicit that there are Covered Countermeasures under section COVID–19 vaccines in any State or substantive Federal legal and policy VI of this Declaration in any jurisdiction jurisdiction where the PREP Act issues and interests in having a unified where the PREP Act applies in applies, and allowing physicians, whole-of-nation response to the COVID– association with a COVID–19 registered nurses, and practical nurses 19 pandemic among Federal, state, vaccination effort by a federal, State, whose licenses expired within the past local, and private-sector entities; revised local, tribal or territorial authority or by five years to prescribe, dispense, and/or the effective time period of the an institution in which the COVID–19 administer COVID–19 vaccines in any Declaration; and republished the vaccine covered countermeasure is State. declaration in full. (85 FR 79190 administered, so long as the license or The Acting Secretary has determined December 9, 2020). certification was active and in good that there is an urgent need to expand The Acting Secretary now amends standing prior to the date it went the pool of available COVID–19 section V of the Declaration to add inactive, expired or lapsed and was not vaccinators in order to respond additional categories of qualified revoked by the licensing authority, effectively to the pandemic. As vaccine supply is made more widely available persons covered under the PREP Act, surrendered while under suspension, over the coming months, health care and thus authorizes: discipline, or investigation by a system capacity and the vaccination (f) Any healthcare professional or licensing authority or surrendered workforce are likely to become other individual who holds an active following an arrest, and the individual increasingly strained throughout the license or certification permitting the is not on the List of Excluded Nation. Permitting Physicians, person to prescribe, dispense, or Individuals/Entities maintained by the registered nurses, and practical nurses administer vaccines under the law of Office of Inspector General, subject to (i) documentation of completion of the who have recently expired licenses also any State as of the effective date of this Centers for Disease Control and significantly expands the vaccination amendment, or as authorized under Prevention COVID–19 Vaccine Training workforce. There are approximately section V(d) of this Declaration, who Modules and (ii) documentation of an 160,000 inactive physicians and 350,000 prescribes, dispenses, or administers observation period by a currently inactive registered nurses and practical COVID–19 vaccines that are Covered practicing healthcare professional nurses in the United States. Countermeasures under section VI of adequately experienced in vaccination These healthcare professionals can this Declaration in any jurisdiction who confirms competency of the safely administer COVID–19 vaccines where the PREP Act applies, other than healthcare provider in preparation and because they all have training in the State in which the license or administration of the particular COVID– performing injections and observing for certification is held, in association with 19 vaccine(s) to be administered. side effects and will be required to a COVID–19 vaccination effort by a document completion of the Centers for federal, State, local, Tribal, or territorial Description of This Amendment by Disease Control and Prevention (CDC) authority or by an institution in the Section COVID–19 Vaccine Training Modules. State in which the COVID–19 vaccine Section V. Covered Persons Including these healthcare covered countermeasure is professionals as Qualified Persons Under the PREP Act and the administered, so long as the license or under this amended Declaration Declaration, a ‘‘qualified person’’ is a certification of the healthcare achieves two purposes. First, the ‘‘covered person.’’ Subject to certain professional has not been suspended or healthcare professionals will be afforded limitations, a covered person is immune restricted by any licensing authority, liability protections in accordance with from suit and liability under Federal surrendered while under suspension, the PREP Act and the terms of this and State law with respect to all claims discipline or investigation by a licensing amended Declaration. Second, any State for loss caused by, arising out of, authority or surrendered following an law that would otherwise prohibit the relating to, or resulting from the arrest, and the individual is not on the healthcare professionals who are a administration or use of a covered List of Excluded Individuals/Entities ‘‘qualified person’’ from prescribing, countermeasure if a declaration under maintained by the Office of Inspector dispensing, or administering COVID–19 the PREP Act has been issued with General, subject to: vaccines is preempted. On May 19, (i) Documentation of completion of 1 See COVID–19 Vaccine Training Modules, 2020, the Office of the General Counsel the Centers for Disease Control and available at https://www.cdc.gov/vaccines/covid-19/ issued an advisory opinion concluding Prevention COVID–19 (CDC) Vaccine training.html. that, because licensed pharmacists are
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00034 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7874 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
‘‘qualified persons’’ under this 3, 2020 is further amended pursuant to (b) Any person authorized to declaration, the PREP Act preempts section 319F–3(b)(4) of the PHS Act as prescribe, administer, or dispense the state law that would otherwise prohibit described below. All other sections of Covered Countermeasures or who is such pharmacists from ordering and the Declaration remain in effect as otherwise authorized to perform an administering authorized COVID–19 republished at 85 FR 79190 (December activity under an Emergency Use diagnostic tests.2 The opinion relied in 9, 2020). Authorization in accordance with part on the fact that the Congressional 1. Covered Persons, section V, delete Section 564 of the FD&C Act; delegation of authority to the Secretary in full and replace with: (c) Any person authorized to under the PREP Act to specify a class of V. Covered Persons prescribe, administer, or dispense persons, beyond those who are Covered Countermeasures in accordance authorized to administer a covered 42 U.S.C. 247d–6d(i)(2), (3), (4), (6), with Section 564A of the FD&C Act; countermeasure under State law, as (8)(A) and (B) (d) A State-licensed pharmacist who ‘‘qualified persons’’ would be rendered Covered Persons who are afforded orders and administers, and pharmacy a nullity in the absence of such liability immunity under this interns who administer (if the pharmacy preemption. This opinion is Declaration are ‘‘manufacturers,’’ intern acts under the supervision of incorporated by reference into this ‘‘distributors,’’ ‘‘program planners,’’ such pharmacist and the pharmacy declaration. Based on the reasoning set ‘‘qualified persons,’’ and their officials, intern is licensed or registered by his or forth in the May 19, 2020 advisory agents, and employees, as those terms her State board of pharmacy),5 (1) opinion, any State law that would are defined in the PREP Act, and the vaccines that the Advisory Committee otherwise prohibit a member of any of United States. ‘‘Order’’ as used herein on Immunization Practices (ACIP) the classes of ‘‘qualified persons’’ and in guidance issued by the Office of recommends to persons ages three specified in this declaration from the Assistant Secretary for Health 3 through 18 according to ACIP’s standard administering a covered countermeasure means a provider medication order, immunization schedule or (2) FDA is likewise preempted. In accordance which includes prescribing of vaccines, authorized or FDA licensed COVID –19 with section 319F–3(i)(8)(A) of the or a laboratory order, which includes vaccines to persons ages three or older. Public Health Service Act, a State prescribing laboratory orders, if Such State-licensed pharmacists and the remains free to expand the universe of required. In addition, I have determined State-licensed or registered interns individuals authorized to administer that the following additional persons are under their supervision are qualified covered countermeasures within its qualified persons: persons only if the following jurisdiction under State law. (a) Any person authorized in requirements are met: The plain language of the PREP Act accordance with the public health and i. The vaccine must be authorized, makes clear that there is complete medical emergency response of the approved, or licensed by the FDA; preemption of state law as described Authority Having Jurisdiction, as ii. In the case of a COVID–19 vaccine, above. Furthermore, preemption of State described in Section VII below, to the vaccination must be ordered and law is justified to respond to the nation- prescribe, administer, deliver, distribute administered according to ACIP’s wide public health emergency caused or dispense the Covered COVID–19 vaccine recommendation(s). by COVID–19 as it will enable States to Countermeasures, and their officials, quickly expand the vaccination agents, employees, contractors and guidance-documents//licensed-pharmacists-and- volunteers, following a Declaration of an pharmacy-interns-regarding-covid-19-vaccines- workforce with additional qualified immunity.pdf (last visited Jan. 24, 2021); Guidance healthcare professionals where State or Emergency, as that term is defined in for PREP Act Coverage for Qualified Pharmacy 4 local requirements might otherwise Section VII of this Declaration; Technicians and State-Authorized Pharmacy inhibit or delay allowing these Interns for Childhood Vaccines, COVID–19 3 Vaccines, and COVID–19 Testing, OASH, Oct. 20, healthcare professionals to participate See Guidance for Licensed Pharmacists, COVID– 19 Testing, and Immunity Under the PREP Act, 2020, available at https://www.hhs.gov/guidance/ in the COVID–19 vaccination program. OASH, Apr. 8, 2020, available at https:// sites/default/files/hhs-guidance-documents//prep- www.hhs.gov/guidance/sites/default/files/hhs- act-guidance.pdf (last visited Jan. 24, 2021); PREP Amendments to Declaration guidance-documents//authorizing-licensed- Act Authorization for Pharmacies Distributing and Amended Declaration for Public pharmacists-to-order-and-administer-covid-19- Administering Certain Covered Countermeasures, tests.pdf (last visited Jan. 24, 2021); Guidance for Oct. 29, 2020, available at https://www.hhs.gov/ Readiness and Emergency Preparedness Licensed Pharmacists and Pharmacy Interns guidance/sites/default/files/hhs-guidance- Act Coverage for medical Regarding COVID–19 Vaccines and Immunity under documents//prep-act-authorization-pharmacies- countermeasures against COVID–19. the PREP Act, OASH, Sept. 3, 2020, available at administering-covered-countermeasures.pdf (last Section V of the March 10, 2020 https://www.hhs.gov/guidance/sites/default/files/ visited Jan. 24, 2021) (collectively, OASH PREP Act hhs-guidance-documents//licensed-pharmacists- Authorizations). Nothing herein shall suggest that, Declaration under the PREP Act for and-pharmacy-interns-regarding-covid-19-vaccines- for purposes of the Declaration, the foregoing are medical countermeasures against immunity.pdf (last visited Jan. 24, 2021). the only persons authorized in accordance with the COVID–19, as amended April 10, 2020, 4 See, e.g., Guidance for Licensed Pharmacists, public health and medical emergency response of June 4, 2020, and August 19, 2020 and COVID–19 Testing, and Immunity Under the PREP the Authority Having Jurisdiction. Act, OASH, Apr. 8, 2020, available at https:// 5 Some states do not require pharmacy interns to amended and republished on December www.hhs.gov/guidance/sites/default/files/hhs- be licensed or registered by the state board of guidance-documents//authorizing-licensed- pharmacy. As used herein, ‘‘State-licensed or 2 Department of Health and Human Services pharmacists-to-order-and-administer-covid-19- registered intern’’ (or equivalent phrases) refers to General Counsel Advisory Opinion on the Public tests.pdf (last visited Jan. 24, 2021); Guidance for pharmacy interns authorized by the state or board Readiness and Emergency Preparedness Act, May PREP Act Coverage for COVID–19 Screening Tests of pharmacy in the state in which the practical 19, 2020, available at: https://www.hhs.gov/ at Nursing Homes, Assisted-Living Facilities, Long- pharmacy internship occurs. The authorization can, guidance/sites/default/files/hhs-guidance- Term-Care Facilities, and other Congregate but need not, take the form of a license from, or documents/prep-act-advisory-opinion-hhs-ogc.pdf/ Facilities, OASH, Aug. 31, 2020, available at registration with, the State board of pharmacy. See (last visited Jan. 24, 2021). See also, Department of https://www.hhs.gov/guidance/sites/default/files/ Guidance for PREP Act Coverage for Qualified Justice Office of Legal Counsel Advisory Opinion hhs-guidance-documents//prep-act-coverage-for- Pharmacy Technicians and State-Authorized for Robert P. Charrow, General Counsel of the screening-in-congregate-settings.pdf (last visited Pharmacy Interns for Childhood Vaccines, COVID– Department of Health and Human Services, January Jan. 24, 2021); Guidance for Licensed Pharmacists 19 Vaccines, and COVID–19 Testing, OASH, Oct. 12, 2020, available at: https://www.justice.gov/sites/ and Pharmacy Interns Regarding COVID–19 20, 2020 at 2, available at https://www.hhs.gov/ default/files/opinions/attachments/2021/01/19/ Vaccines and Immunity under the PREP Act, guidance/sites/default/files/hhs-guidance- 2021-01-19-prep-act-preemption.pdf (last visited OASH, Sept. 3, 2020, available at https:// documents//prep-act-guidance.pdf (last visited Jan. Jan. 24, 2021). www.hhs.gov/guidance/sites/default/files/hhs- 24, 2021).
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00035 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7875
iii. In the case of a childhood vaccine, provider when available, submitting the prescribes, dispenses, or administers the vaccination must be ordered and required immunization information to COVID–19 vaccines that are Covered administered according to ACIP’s the State or local immunization Countermeasures under section VI of standard immunization schedule; information system (vaccine registry), this Declaration in any jurisdiction iv. The licensed pharmacist must complying with requirements with where the PREP Act applies, other than have completed the immunization respect to reporting adverse events, and the State in which the license or training that the licensing State requires complying with requirements whereby certification is held, in association with in order for pharmacists to order and the person administering a vaccine must a COVID–19 vaccination effort by a administer vaccines. If the State does review the vaccine registry or other federal, State, local Tribal or territorial not specify training requirements for the vaccination records prior to authority or by an institution in the licensed pharmacist to order and administering a vaccine; State in which the COVID–19 vaccine administer vaccines, the licensed ix. The licensed pharmacist must covered countermeasure is pharmacist must complete a vaccination inform his or her childhood-vaccination administered, so long as the license or training program of at least 20 hours patients and the adult caregiver certification of the healthcare that is approved by the Accreditation accompanying the child of the professional has not been suspended or Council for Pharmacy Education (ACPE) importance of a well-child visit with a restricted by any licensing authority, to order and administer vaccines. Such pediatrician or other licensed primary surrendered while under suspension, a training program must include hands care provider and refer patients as discipline or investigation by a licensing on injection technique, clinical appropriate; and authority or surrendered following an evaluation of indications and x. The licensed pharmacist and the arrest, and the individual is not on the contraindications of vaccines, and the licensed or registered pharmacy intern List of Excluded Individuals/Entities recognition and treatment of emergency must comply with any applicable maintained by the Office of Inspector reactions to vaccines; requirements (or conditions of use) as General, subject to: (i) Documentation of v. The licensed or registered set forth in the Centers for Disease completion of the Centers for Disease pharmacy intern must complete a Control and Prevention (CDC) COVID– Control and Prevention COVID–19 practical training program that is 19 vaccination provider agreement and (CDC) Vaccine Training Modules 8 and, approved by the ACPE. This training any other federal requirements that for healthcare providers who are not program must include hands-on apply to the administration of COVID– currently practicing, documentation of injection technique, clinical evaluation 19 vaccine(s). an observation period by a currently (e) Healthcare personnel using of indications and contraindications of practicing healthcare professional telehealth to order or administer vaccines, and the recognition and adequately experienced in vaccination Covered Countermeasures for patients treatment of emergency reactions to who confirms competency of the vaccines; in a state other than the state where the healthcare provider in preparation and vi. The licensed pharmacist and healthcare personnel are licensed or administration of the particular COVID– licensed or registered pharmacy intern otherwise permitted to practice. When 19 vaccine(s) to be administered; and must have a current certificate in basic ordering and administering Covered (g) Any physician, advanced practice cardiopulmonary resuscitation; 6 Countermeasures by means of telehealth registered nurse, registered nurse, or vii. The licensed pharmacist must to patients in a state where the practical nurse who has held an active complete a minimum of two hours of healthcare personnel are not already license or certification to prescribe, ACPE-approved, immunization-related permitted to practice, the healthcare dispense, or administer vaccines under continuing pharmacy education during personnel must comply with all the law of any State within the last five each State licensing period; requirements for ordering and years, which is inactive, expired or viii. The licensed pharmacist must administering Covered Countermeasures lapsed, who prescribes, dispenses, or comply with recordkeeping and to patients by means of telehealth in the administers COVID–19 vaccines that are reporting requirements of the state where the healthcare personnel are Covered Countermeasures under section jurisdiction in which he or she permitted to practice. Any state law that VI of this Declaration in any jurisdiction administers vaccines, including prohibits or effectively prohibits such a where the PREP Act applies in informing the patient’s primary-care qualified person from ordering and association with a COVID–19 administering Covered Countermeasures 6 vaccination effort by a federal, State, This requirement is satisfied by, among other by means of telehealth is preempted.7 things, a certification in basic cardiopulmonary local, Tribal or territorial authority or by Nothing in this Declaration shall resuscitation by an online program that has an institution in which the COVID–19 received accreditation from the American Nurses preempt state laws that permit vaccine covered countermeasure is Credentialing Center, the ACPE, or the additional persons to deliver telehealth administered, so long as the license or Accreditation Council for Continuing Medical services. Education. The phrase ‘‘current certificate in basic certification was active and in good (f) Any healthcare professional or cardiopulmonary resuscitation,’’ when used in the standing prior to the date it went September 3, 2020 or October 20, 2020 OASH other individual who holds an active inactive, expired or lapsed and was not authorizations, shall be interpreted the same way. license or certification permitting the See Guidance for Licensed Pharmacists and revoked by the licensing authority, person to prescribe, dispense, or Pharmacy Interns Regarding COVID–19 Vaccines surrendered while under suspension, administer vaccines under the law of and Immunity under the PREP Act, OASH, Sept. 3, discipline or investigation by a licensing 2020, available at https://www.hhs.gov/guidance/ any State as of the effective date of this authority or surrendered following an sites/default/files/hhs-guidance-documents// amendment, or as authorized under the licensed-pharmacists-and-pharmacy-interns- arrest, and the individual is not on the section V(d) of this Declaration, who regarding-covid-19-vaccines-immunity.pdf (last List of Excluded Individuals/Entities visited Jan. 24, 2021); Guidance for PREP Act Coverage for Qualified Pharmacy Technicians and 7 See, e.g., Advisory Opinion 20–02 on the Public maintained by the Office of Inspector State-Authorized Pharmacy Interns for Childhood Readiness and Emergency Preparedness Act and the Vaccines, COVID–19 Vaccines, and COVID–19 Secretary’s Declaration under the Act, May 19, 8 See COVID–19 Vaccine Training Modules, Testing, OASH, Oct. 20, 2020, available at https:// 2020, available at https://www.hhs.gov/guidance/ available at https://www2.cdc.gov/vaccines/ed/ www.hhs.gov/guidance/sites/default/files/hhs- sites/default/files/hhs-guidance-documents/ covid19/index.asp (last visited Jan. 23, 2021) guidance-documents//prep-act-guidance.pdf (last advisory-opinion-20-02-hhs-ogc-prep-act.pdf (last https://www.cdc.gov/vaccines/covid-19/ visited Jan. 24, 2021). visited Jan. 24, 2021). training.html.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00036 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7876 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
General, subject to (i) documentation of materially injured or threatened with the Federal Register. Industrial users completion of the Centers for Disease material injury, or the establishment of and (if the merchandise under Control and Prevention COVID–19 an industry in the United States is investigation is sold at the retail level) Vaccine Training Modules and (ii) materially retarded, by reason of representative consumer organizations documentation of an observation period imports of granular have the right to appear as parties in by a currently practicing healthcare polytetrafluoroethylene (PTFE) resin Commission antidumping duty and professional adequately experienced in from India and Russia, provided for in countervailing duty investigations. The vaccination who confirms competency subheading 3904.61.00 of the Secretary will prepare a public service of the healthcare provider in Harmonized Tariff Schedule of the list containing the names and addresses preparation and administration of the United States, that are alleged to be sold of all persons, or their representatives, particular COVID–19 vaccine(s) to be in the United States at less than fair who are parties to these investigations administered. value and alleged to be subsidized by upon the expiration of the period for Nothing in this Declaration shall be the Governments of India and Russia. filing entries of appearance. construed to affect the National Vaccine Unless the Department of Commerce Limited disclosure of business Injury Compensation Program, (‘‘Commerce’’) extends the time for proprietary information (BPI) under an including an injured party’s ability to initiation, the Commission must reach a administrative protective order (APO) obtain compensation under that preliminary determination in and BPI service list.—Pursuant to program. Covered countermeasures that antidumping and countervailing duty § 207.7(a) of the Commission’s rules, the are subject to the National Vaccine investigations in 45 days, or in this case Secretary will make BPI gathered in Injury Compensation Program by March 15, 2021. The Commission’s these investigations available to authorized under 42 U.S.C. 300aa–10 et views must be transmitted to Commerce authorized applicants representing seq. are covered under this Declaration within five business days thereafter, or interested parties (as defined in 19 for the purposes of liability immunity by March 22, 2021. U.S.C. 1677(9)) who are parties to the investigations under the APO issued in and injury compensation only to the DATES: January 27, 2021. the investigations, provided that the extent that injury compensation is not FOR FURTHER INFORMATION CONTACT: application is made not later than seven provided under that Program. All other Keysha Martinez ((202) 205–2136), terms and conditions of the Declaration days after the publication of this notice Office of Investigations, U.S. in the Federal Register. A separate apply to such covered countermeasures. International Trade Commission, 500 E 2. Effective Time Period, section XII, service list will be maintained by the Street SW, Washington, DC 20436. Secretary for those parties authorized to add to the end of the section: Hearing-impaired persons can obtain Liability protections for Qualified receive BPI under the APO. information on this matter by contacting Persons under sections V(f) and V(d) of Conference.— In light of the the Commission’s TDD terminal on 202– the declaration begin on January 28, restrictions on access to the Commission 205–1810. Persons with mobility 2021, and last through October 1, 2024. building due to the COVID–19 impairments who will need special pandemic, the Commission is Authority: 42 U.S.C. 247d–6d. assistance in gaining access to the conducting the staff conference through Norris Cochran, Commission should contact the Office video conferencing on February 17, Acting Secretary, Department of Health and of the Secretary at 202–205–2000. 2021. Requests to appear at the Human Services. General information concerning the conference should be emailed to [FR Doc. 2021–02174 Filed 1–29–21; 4:15 pm] Commission may also be obtained by [email protected] (DO accessing its internet server (https:// BILLING CODE 4150–37–P NOT FILE ON EDIS) on or before www.usitc.gov). The public record for February 12, 2021. Please provide an these investigations may be viewed on email address for each conference the Commission’s electronic docket INTERNATIONAL TRADE participant in the email. Information on (EDIS) at https://edis.usitc.gov. COMMISSION conference procedures will be provided SUPPLEMENTARY INFORMATION: separately and guidance on joining the [Investigation Nos. 701–TA–663–664 and Background.—These investigations are video conference will be available on 731–TA–1555–1556 (Preliminary)] being instituted, pursuant to sections the Commission’s Daily Calendar. A 703(a) and 733(a) of the Tariff Act of nonparty who has testimony that may Granular Polytetrafluoroethylene 1930 (19 U.S.C. 1671b(a) and 1673b(a)), aid the Commission’s deliberations may (PTFE) Resin From India and Russia; in response to a petition filed on request permission to participate by Institution of Anti-Dumping and January 27, 2021, by Daikin America, submitting a short statement. Countervailing Duty Investigations and Inc., Orangeburg, New York. Please note the Secretary’s Office will Scheduling of Preliminary Phase For further information concerning accept only electronic filings during this Investigations the conduct of these investigations and time. Filings must be made through the AGENCY: United States International rules of general application, consult the Commission’s Electronic Document Trade Commission. Commission’s Rules of Practice and Information System (EDIS, https:// ACTION: Notice. Procedure, part 201, subparts A and B edis.usitc.gov). No in-person paper- (19 CFR part 201), and part 207, based filings or paper copies of any SUMMARY: The Commission hereby gives subparts A and B (19 CFR part 207). electronic filings will be accepted until notice of the institution of investigations Participation in the investigations and further notice. and commencement of preliminary public service list.—Persons (other than Written submissions.—As provided in phase antidumping and countervailing petitioners) wishing to participate in the §§ 201.8 and 207.15 of the duty investigation Nos. 701–TA–663– investigations as parties must file an Commission’s rules, any person may 664 and 731–TA–1555–1556 entry of appearance with the Secretary submit to the Commission on or before (Preliminary) pursuant to the Tariff Act to the Commission, as provided in February 22, 2021, a written brief of 1930 (‘‘the Act’’) to determine §§ 201.11 and 207.10 of the containing information and arguments whether there is a reasonable indication Commission’s rules, not later than seven pertinent to the subject matter of the that an industry in the United States is days after publication of this notice in investigations. Parties shall file written
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00037 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7877
testimony and supplementary material INTERNATIONAL TRADE Procedure, part 201, subparts A and B in connection with their presentation at COMMISSION (19 CFR part 201), and part 207, subparts A, D, E, and F (19 CFR part the conference no later than noon on [Investigation Nos. 731–TA–776–779 (Fourth February 16, 2021. All written Review)] 207). submissions must conform with the Please note the Secretary’s Office will provisions of § 201.8 of the Preserved Mushrooms From Chile, accept only electronic filings at this Commission’s rules; any submissions China, India, and Indonesia; time. Filings must be made through the that contain BPI must also conform with Scheduling of Expedited Five-Year Commission’s Electronic Document Information System (EDIS, https:// the requirements of §§ 201.6, 207.3, and Reviews edis.usitc.gov). No in-person paper- 207.7 of the Commission’s rules. The AGENCY: United States International based filings or paper copies of any Commission’s Handbook on Filing Trade Commission. electronic filings will be accepted until Procedures, available on the ACTION: Notice. further notice. Commission’s website at https:// Staff report.—A staff report www.usitc.gov/documents/handbook_ SUMMARY: The Commission hereby gives containing information concerning the on_filing_procedures.pdf, elaborates notice of the scheduling of expedited subject matter of the reviews will be upon the Commission’s procedures with reviews pursuant to the Tariff Act of placed in the nonpublic record on respect to filings. 1930 (‘‘the Act’’) to determine whether January 29, 2021, and made available to revocation of the antidumping duty In accordance with §§ 201.16(c) and persons on the Administrative orders on preserved mushrooms from 207.3 of the rules, each document filed Protective Order service list for these Chile, China, India, and Indonesia reviews. A public version will be issued by a party to the investigations must be would be likely to lead to continuation served on all other parties to the thereafter, pursuant to section or recurrence of material injury within 207.62(d)(4) of the Commission’s rules. investigations (as identified by either a reasonably foreseeable time. Written submissions.—As provided in the public or BPI service list), and a DATES: November 6, 2020. section 207.62(d) of the Commission’s certificate of service must be timely FOR FURTHER INFORMATION CONTACT: rules, interested parties that are parties filed. The Secretary will not accept a Mary Messer (202–205–3193), Office of to the reviews and that have provided document for filing without a certificate Investigations, U.S. International Trade individually adequate responses to the of service. Commission, 500 E Street SW, notice of institution,2 and any party Certification.—Pursuant to § 207.3 of Washington, DC 20436. Hearing- other than an interested party to the the Commission’s rules, any person impaired persons can obtain reviews may file written comments with submitting information to the information on this matter by contacting the Secretary on what determination the Commission in connection with these the Commission’s TDD terminal on 202– Commission should reach in the investigations must certify that the 205–1810. Persons with mobility reviews. Comments are due on or before information is accurate and complete to impairments who will need special February 4, 2021 and may not contain the best of the submitter’s knowledge. In assistance in gaining access to the new factual information. Any person that is neither a party to the five-year making the certification, the submitter Commission should contact the Office reviews nor an interested party may will acknowledge that any information of the Secretary at 202–205–2000. General information concerning the submit a brief written statement (which that it submits to the Commission shall not contain any new factual during these investigations may be Commission may also be obtained by accessing its internet server (https:// information) pertinent to the reviews by disclosed to and used: (i) By the February 4, 2021. However, should the Commission, its employees and Offices, www.usitc.gov). The public record for these reviews may be viewed on the Department of Commerce (‘‘Commerce’’) and contract personnel (a) for Commission’s electronic docket (EDIS) extend the time limit for its completion developing or maintaining the records at https://edis.usitc.gov. of the final results of its reviews, the of these or related investigations or deadline for comments (which may not SUPPLEMENTARY INFORMATION: reviews, or (b) in internal investigations, Background.—On November 6, 2020, contain new factual information) on audits, reviews, and evaluations relating the Commission determined that the Commerce’s final results is three to the programs, personnel, and domestic interested party group business days after the issuance of operations of the Commission including response to its notice of institution (85 Commerce’s results. If comments under 5 U.S.C. Appendix 3; or (ii) by FR 46725, August 3, 2020) of the subject contain business proprietary U.S. government employees and five-year reviews was adequate and that information (BPI), they must conform with the requirements of sections 201.6, contract personnel, solely for the respondent interested party group 207.3, and 207.7 of the Commission’s cybersecurity purposes. All contract response was inadequate. The rules. The Commission’s Handbook on personnel will sign appropriate Commission did not find any other Filing Procedures, available on the nondisclosure agreements. circumstances that would warrant Commission’s website at https:// conducting full reviews.1 Accordingly, Authority: These investigations are being www.usitc.gov/documents/handbook_ the Commission determined that it conducted under authority of title VII of the on_filing_procedures.pdf, elaborates Tariff Act of 1930; this notice is published would conduct expedited reviews pursuant to section 751(c)(3) of the pursuant to § 207.12 of the Commission’s 2 The Commission has found the joint response to rules. Tariff Act of 1930 (19 U.S.C. 1675(c)(3)). its notice of institution filed on behalf of the For further information concerning following entities: Giorgio Foods, Inc., L.K. By order of the Commission. the conduct of these reviews and rules Bowman Co. (a division of Hanover Foods Issued: January 27, 2021. of general application, consult the Corporation), Sunny Dell Foods, LLC, and The Mushroom Co. (formerly Mushroom Canning Co.), Lisa Barton, Commission’s Rules of Practice and domestic producers of preserved mushrooms Secretary to the Commission. (collectively referred to herein as ‘‘domestic 1 A record of the Commissioners’ votes is interested parties’’) to be individually adequate. [FR Doc. 2021–02108 Filed 2–1–21; 8:45 am] available from the Office of the Secretary and at the Comments from other interested parties will not be BILLING CODE 7020–02–P Commission’s website. accepted (see 19 CFR 207.62(d)(2)).
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00038 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7878 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
upon the Commission’s procedures with Commission institute an investigation are hereby named as parties upon which respect to filings. and, after the investigation, issue a this notice of investigation shall be In accordance with sections 201.16(c) limited exclusion order and cease and served: and 207.3 of the rules, each document desist orders. (a) The complainant is: filed by a party to the reviews must be ADDRESSES: The complaint, except for Solas OLED Ltd., Suite 23, The Hyde served on all other parties to the review any confidential information contained Building, Carrickmines, Dublin 18, (as identified by either the public or BPI therein, may be viewed on the Ireland service list), and a certificate of service Commission’s electronic docket (EDIS) (b) The respondents are the following must be timely filed. The Secretary will at https://edis.usitc.gov. For help entities alleged to be in violation of not accept a document for filing without accessing EDIS, please email section 337, and are the parties upon a certificate of service. [email protected]. Hearing impaired which the complaint is to be served: Determination.—The Commission has individuals are advised that information determined these reviews are BOE Technology Group Co. Ltd., No.12 on this matter can be obtained by Xihuanzhong Rd., BDA, Beijing, extraordinarily complicated and contacting the Commission’s TDD therefore has determined to exercise its 100176, People’s Republic of China terminal on (202) 205–1810. Persons Beijing BOE Display Technology Co., authority to extend the review period by with mobility impairments who will Ltd., No.118 Jinghaiyi Rd BDA, up to 90 days pursuant to 19 U.S.C. need special assistance in gaining access Beijing, 100176, People’s Republic of 1675(c)(5)(B). to the Commission should contact the China Authority: These reviews are being Office of the Secretary at (202) 205– BOE Technology America Inc., 2350 conducted under authority of title VII of the 2000. General information concerning Mission College Blvd., Suite 600, Tariff Act of 1930; this notice is published the Commission may also be obtained Santa Clara, CA 95054 pursuant to section 207.62 of the by accessing its internet server at Samsung Electronics Co., Ltd., 129 Commission’s rules. https://www.usitc.gov. Samsung-Ro, Yeongtong-gu, Suwon- By order of the Commission. FOR FURTHER INFORMATION CONTACT: si,, Gyeonggi-do, 443–742, South Issued: January 28, 2021. Pathenia M. Proctor, Office of Unfair Korea Lisa Barton, Import Investigations, telephone (202) Samsung Electronics America, Inc., 85 Secretary to the Commission. 205–2560. Challenger Rd., Ridgefield Park, NJ [FR Doc. 2021–02156 Filed 2–1–21; 8:45 am] SUPPLEMENTARY INFORMATION: 07660 Samsung Display Co., Ltd., 1 Samsung- BILLING CODE 7020–02–P Authority: The authority for institution of this Ro Giheung-gu, Yongin-si,, Gyeonggi- investigation is contained in section 337 Do, 17113, South Korea INTERNATIONAL TRADE of the Tariff Act of 1930, as amended, (c) The Office of Unfair Import COMMISSION 19 U.S.C. 1337, and in section 210.10 of Investigations, U.S. International Trade the Commission’s Rules of Practice and Commission, 500 E Street SW, Suite [Investigation No. 337–TA–1243] Procedure, 19 CFR 210.10 (2020). 401, Washington, DC 20436; and Certain Active Matrix OLED Display Scope of Investigation: Having (4) For the investigation so instituted, Devices and Components Thereof; considered the complaint, the U.S. the Chief Administrative Law Judge, Institution of Investigation International Trade Commission, on U.S. International Trade Commission, January 27, 2021, ordered that— shall designate the presiding AGENCY: U.S. International Trade (1) Pursuant to subsection (b) of Administrative Law Judge. Commission. section 337 of the Tariff Act of 1930, as Responses to the complaint and the ACTION: Notice. amended, an investigation be instituted notice of investigation must be to determine whether there is a submitted by the named respondents in SUMMARY: Notice is hereby given that a violation of subsection (a)(1)(B) of accordance with section 210.13 of the complaint was filed with the U.S. section 337 in the importation into the Commission’s Rules of Practice and International Trade Commission on United States, the sale for importation, Procedure, 19 CFR 210.13. Pursuant to December 28, 2020, under section 337 of or the sale within the United States after 19 CFR 201.16(e) and 210.13(a), as the Tariff Act of 1930, as amended, on importation of certain products amended in 85 FR 15798 (March 19, behalf of Solas OLED Ltd. of Ireland. An identified in paragraph (2) by reason of 2020), such responses will be amended complaint was filed on infringement of one or more of claims considered by the Commission if January 5, 2021, and a supplement to 13–17 of the ’068 patent; and claims 2– received not later than 20 days after the the amended complaint was filed on 40 of the ’880 patent; and whether an date of service by the complainant of the January 13, 2021. The complaint, as industry in the United States exists as complaint and the notice of amended and supplemented, alleges required by subsection (a)(2) of section investigation. Extensions of time for violations of section 337 based upon the 337; submitting responses to the complaint importation into the United States, the (2) Pursuant to section 210.10(b)(1) of and the notice of investigation will not sale for importation, and the sale within the Commission’s Rules of Practice and be granted unless good cause therefor is the United States after importation of Procedure, 19 CFR 210.10(b)(1), the shown. certain active matrix OLED display plain language description of the Failure of a respondent to file a timely devices and components thereof by accused products or category of accused response to each allegation in the reason of infringement of certain claims products, which defines the scope of the complaint and in this notice may be of U.S. Patent No. 7,573,068 (‘‘the ’068 investigation, is ‘‘electronic devices deemed to constitute a waiver of the patent’’) and U.S. Patent No. 7,868,880 containing active matrix OLED displays right to appear and contest the (‘‘the ’880 patent’’). The complaint and components thereof, i.e., mobile allegations of the complaint and this further alleges that an industry in the phones and tablets with active matrix notice, and to authorize the United States exists as required by the OLED displays’’; administrative law judge and the applicable Federal Statute. The (3) For the purpose of the Commission, without further notice to complainant requests that the investigation so instituted, the following the respondent, to find the facts to be as
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00039 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7879
alleged in the complaint and this notice [email protected], or by estimated for an average respondent to and to enter an initial determination telephone at 304–616–4594. respond: An estimated 2,373 and a final determination containing SUPPLEMENTARY INFORMATION: Written respondents will use the form annually, such findings, and may result in the comments and suggestions from the and it will take each respondent issuance of an exclusion order or a cease public and affected agencies concerning approximately 18 minutes to complete and desist order or both directed against the proposed collection of information their responses. the respondent. are encouraged. Your comments should 6. An estimate of the total public burden (in hours) associated with the By order of the Commission. address one or more of the following four points: collection: The estimated annual public Issued: January 27, 2021. burden associated with this collection is Lisa Barton, —Evaluate whether the proposed collection of information is necessary 712 hours, which is equal to 2,373 (# of Secretary to the Commission. for the proper performance of the respondents) * .3 (18 minutes). [FR Doc. 2021–02135 Filed 2–1–21; 8:45 am] functions of the agency, including 7. An Explanation of the Change in BILLING CODE 7020–02–P whether the information will have Estimates: Due to a higher volume of practical utility; industry submissions for this —Evaluate the accuracy of the agency’s information collection, both the total DEPARTMENT OF JUSTICE estimate of the burden of the respondents and burden hours have increased by 590 and 177 hours [OMB Number 1140–0008] proposed collection of information, including the validity of the respectively, since the last renewal in 2017. Agency Information Collection methodology and assumptions used; —Evaluate whether and if so how the If additional information is required Activities; Proposed eCollection of contact: Melody Braswell, Department eComments Requested; Revision of a quality, utility, and clarity of the information to be collected can be Clearance Officer, United States Currently Approved Collection; Department of Justice, Justice Application and Permit for Permanent enhanced; and —Minimize the burden of the collection Management Division, Policy and Exportation of Firearms (National Planning Staff, Two Constitution Firearms Act)—ATF Form 9 (5320.9) of information on those who are to respond, including through the use of Square, 145 N Street NE, 3E.405A, AGENCY: Bureau of Alcohol, Tobacco, appropriate automated, electronic, Washington, DC 20530. Firearms and Explosives, Department of mechanical, or other technological Dated: January 27, 2021. Justice. collection techniques or other forms Melody Braswell, ACTION: 60-Day notice. of information technology, e.g., Department Clearance Officer for PRA, U.S. permitting electronic submission of Department of Justice. SUMMARY: The Bureau of Alcohol, responses. [FR Doc. 2021–02120 Filed 2–1–21; 8:45 am] Tobacco, Firearms and Explosives BILLING CODE 4410–FY–P (ATF), Department of Justice (DOJ), will Overview of This Information submit the following information Collection collection request to the Office of 1. Type of Information Collection DEPARTMENT OF JUSTICE Management and Budget (OMB) for (check justification or form 83): [OMB Number 1121–0312] review and approval in accordance with Revision of a currently approved the Paperwork Reduction Act of 1995. collection. Agency Information Collection The proposed information collection 2. The Title of the Form/Collection: Activities; Proposed eCollection (IC) OMB 1140–008 (Application and Application and Permit for Permanent eComments Requested; Revision of a Permit for Permanent Exportation of Exportation of Firearms (National Currently Approved Collection: 2018– Firearms (National Firearms Act)—ATF Firearms Act). 2020 Survey of State Criminal History Form 9 (5320.9)) is being revised due to 3. The agency form number, if any, Information Systems (SSCHIS) an increase in the total annual and the applicable component of the respondents and burden hours. Minor Department sponsoring the collection: AGENCY: Bureau of Justice Statistics, changes to update of all references from Form number (if applicable): ATF Department of Justice. NFA Branch to NFA Division, and to Form 9 (5320.9). ACTION: 30-Day notice. request the applicant’s email address Component: Bureau of Alcohol, SUMMARY: The Department of Justice were also made to the form. The Tobacco, Firearms and Explosives, U.S. (DOJ), Office of Justice Programs, proposed IC is also being published to Department of Justice. 4. Affected public who will be asked Bureau of Justice Statistics, will be obtain comments from the public and submitting the following information affected agencies. or required to respond, as well as a brief abstract: collection request to the Office of DATES: Comments are encouraged and Primary: Business or other for-profit. Management and Budget (OMB) for will be accepted for 60 days until April Other (if applicable): Federal review and approval in accordance with 5, 2021. Government. the Paperwork Reduction Act of 1995. FOR FURTHER INFORMATION CONTACT: If Abstract: The Application and Permit This proposed information collection you have additional comments, for Permanent Exportation of Firearms was previously published in the Federal regarding the estimated public burden (National Firearms Act)—ATF Form 9 Register at Volume 83, Number 211, or associated response time, (5320.9) is completed by Federal page 54780, October 31, 2018, allowing suggestions, or need a copy of the firearms licensees who have paid the for a 60-day comment period; and proposed information collection special (occupational) tax, when Volume 84, Number 23, page 1506, instrument with instructions, or requesting authorization to deal, February 4, 2019, allowing for a 30-day additional information, please contact: manufacture and/or import NFA notice. This notice is being published to James Chancey, NFA Division, either by firearms. seek public comments on changes to the mail at 244 Needy Road, Martinsburg, 5. An estimate of the total number of survey instrument proposed for the WV 25405, by email at respondents and the amount of time 2020 collection.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00040 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7880 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
DATES: Comments are encouraged and SSCHIS report, the most comprehensive DEPARTMENT OF JUSTICE will be accepted for 30 days until March data available on the collection and [OMB Number 1121–0317] 4, 2021. maintenance of information by state ADDRESSES: Written comments and criminal history record systems, Agency Information Collection recommendations for the proposed describes the status of such systems and Activities; Proposed eCollection information collection should be sent record repositories on a biennial basis. eComments Requested; within 30 days of publication of this Data collected from state record Reinstatement, With Change, of a notice to www.reginfo.gov/public/do/ repositories serves as the basis for Previously Approved Collection for PRAMain. Find this particular estimating the percentage of total state Which Approval Has Expired: 2021 information collection by selecting records that are immediately available Identity Theft Supplement (ITS) ‘‘Currently under 30-day Review—Open through the FBI’s Interstate for Public Comments’’ or by using the AGENCY: Bureau of Justice Statistics, Identification Index (III), and the Department of Justice. search function. percentage of arrest records that include ACTION: 60-Day notice. SUPPLEMENTARY INFORMATION: Written dispositions. Other data presented comments and suggestions from the include the number of records SUMMARY: The Department of Justice public and affected agencies concerning maintained by each state, the percentage (DOJ), Office of Justice Programs, the proposed collection of information of automated records in the system, and Bureau of Justice Statistics, will be are encouraged. Your comments should the number of states participating in the submitting the following information address one or more of the following National Fingerprint File and the collection request to the Office of four points: National Crime Prevention and Privacy Management and Budget (OMB) for —Evaluate whether the proposed Compact which authorizes the interstate review and approval in accordance with collection of information is necessary exchange of criminal history records for the Paperwork Reduction Act of 1995. for the proper performance of the noncriminal justice purposes. The DATES: Comments are encouraged and functions of the Bureau of Justice SSCHIS also contains information will be accepted for 60 days until April Statistics, including whether the regarding the timeliness and 5, 2021. information will have practical utility; —Evaluate the accuracy of the completeness of data in state record FOR FURTHER INFORMATION CONTACT: If agency’s estimate of the burden of the systems and procedures employed to you have additional comments proposed collection of information, improve data quality. especially on the estimated public including the validity of the (5) An estimate of the total number of burden or associated response time, methodology and assumptions used; respondents and the amount of time suggestions, or need a copy of the proposed information collection —Evaluate whether and if so how the estimated for an average respondent to instrument with instructions or quality, utility, and clarity of the respond: The total number of additional information, please contact information to be collected can be respondents is 56. The average length of enhanced; and Erika Harrell, Statistician, Bureau of time per respondent is 6.5 hours. This Justice Statistics, 810 Seventh Street —Minimize the burden of the estimate is based on the average amount collection of information on those who NW, Washington, DC 20531 (email: of time reported by five states that [email protected]; telephone: are to respond, including through the reviewed the survey. use of appropriate automated, 202–307–0758). electronic, mechanical, or other (6) An estimate of the total public SUPPLEMENTARY INFORMATION: Written technological collection techniques or burden (in hours) associated with the comments and suggestions from the other forms of information technology, collection: The total burden associated public and affected agencies concerning e.g., permitting electronic submission of with this collection is estimated to be the proposed collection of information responses. 364 hours. are encouraged. Your comments should If additional information is required address one or more of the following Overview of This Information four points: Collection contact: Melody Braswell, Department Clearance Officer, United States —Evaluate whether the proposed (1) Type of Information Collection: Department of Justice, Justice collection of information is necessary Revision of a currently collection Management Division, Policy and for the proper performance of the approved collection. The 2020 survey Planning Staff, Two Constitution functions of the Bureau of Justice instrument is being revised to include Square, 145 N Street NE, 3E.405A, Statistics, including whether the new questions and remove others. information will have practical utility; Washington, DC 20530. (2) The Title of the Form/Collection: —Evaluate the accuracy of the agency’s 2018–2020 Survey of State Criminal Dated: January 27, 2021. estimate of the burden of the History Information Systems (SSCHIS). Melody Braswell, proposed collection of information, (3) The agency form number, if any, Department Clearance Officer for PRA, U.S. including the validity of the and the applicable component of the Department of Justice. methodology and assumptions used; Department sponsoring the collection: [FR Doc. 2021–02129 Filed 2–1–21; 8:45 am] —Evaluate whether and if so how the The form number is N/A. The quality, utility, and clarity of the applicable component within the BILLING CODE 4410–18–P information to be collected can be Department of Justice is the Bureau of enhanced; and Justice Statistics, in the Office of Justice —Minimize the burden of the collection Programs. of information on those who are to (4) Affected public who will be asked respond, including through the use of or required to respond, as well as a brief appropriate automated, electronic, abstract: Respondents are state mechanical, or other technological government agencies, primarily state collection techniques or other forms criminal history record repositories. The of information technology, e.g.,
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00041 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7881
permitting electronic submission of only once during the six-month period. addressee section below on or before responses. The burden estimate is based on actual April 5, 2021. interview times from the 2018 ITS, an ADDRESSES: You may submit comments Overview of This Information analysis of the 2021 ITS questionnaire by either one of the following methods: Collection changes, and mock interviews done Email: ChiefEvaluationOffice@ (1) Type of Information Collection: with the 2021 questionnaire. dol.gov; Mail or Courier: Janet Javar, Reinstatement of the Identity Theft (6) An estimate of the total public Chief Evaluation Office, OASP, U.S. Supplement, with changes, a previously burden (in hours) associated with the Department of Labor, Room S–2312, 200 approved collection for which approval collection: There are an estimated Constitution Avenue NW, Washington, has expired. 15,185 total burden hours associated DC 20210. Instructions: Please submit (2) The Title of the Form/Collection: with this collection. one copy of your comments by only one 2021 Identity Theft Supplement. If additional information is required method. All submissions received must (3) The agency form number, if any, contact: Melody Braswell, Department include the agency name and OMB and the applicable component of the Clearance Officer, United States Control Number identified above for Department sponsoring the collection: Department of Justice, Justice this information collection. Comments, The form number for the questionnaire Management Division, Policy and including any personal information is ITS–1. The applicable component Planning Staff, Two Constitution provided, become a matter of public within the Department of Justice is the Square, 145 N Street NE, 3E.405A, record. They will also be summarized Bureau of Justice Statistics, in the Office Washington, DC 20530. and/or included in the request for OMB of Justice Programs. Dated: January 27, 2021. approval of the information collection (4) Affected public who will be asked Melody Braswell, request. or required to respond, as well as a brief Department Clearance Officer for PRA, U.S. FOR FURTHER INFORMATION CONTACT: abstract: Respondents will be persons Department of Justice. 16 years or older living in households Janet Javar by email at located throughout the United States [FR Doc. 2021–02125 Filed 2–1–21; 8:45 am] [email protected] or by sampled for the National Crime BILLING CODE 4410–18–P phone at (202) 693–5954. Victimization Survey (NCVS). The ITS SUPPLEMENTARY INFORMATION: will be conducted as a supplement to I. Background: The Chief Evaluation the NCVS in all sample households for DEPARTMENT OF LABOR Office (CEO) of the U.S. Department of a six (6) month period. The ITS is Labor (DOL) intends to design and Agency Information Collection primarily an effort to measure the conduct evaluations of DOL-funded Activities; Submission for OMB prevalence of identity theft among apprenticeship initiatives through the Review; Comment Request; persons, the characteristics of identity Apprenticeship Evidence-Building Apprenticeship Evidence-Building theft victims, and patterns of reporting Portfolio. The portfolio of initiatives Portfolio, New Collection to the police, credit bureaus, and other includes the Scaling Apprenticeship authorities. The ITS was also designed AGENCY: Office of the Assistant Through Sector-Based Strategies grants, to collect important characteristics of Secretary for Policy, Chief Evaluation Closing the Skills Gap grants, Youth identity theft such as how the victim’s Office, Department of Labor. Apprenticeship Readiness grants, and personal information was obtained; the ACTION: Notice of information collection; other DOL investments. The goal of this physical, emotional and financial request for comment. five-year study is to build evidence on impact on victims; offender information; apprenticeship models, practices, and and the measures people take to avoid SUMMARY: The Department of Labor partnership strategies in high-growth or minimize their risk of becoming an (DOL), as part of its continuing effort to occupations and industries. The overall identity theft victim. BJS plans to reduce paperwork and respondent study is comprised of several publish this information in reports and burden, conducts a preclearance components: (1) An implementation reference it when responding to queries consultation program to provide the study of the Scaling Apprenticeship and from the U.S. Congress, Executive Office general public and federal agencies with Closing the Skills Gap grants to develop of the President, the U.S. Supreme an opportunity to comment on proposed typologies of apprenticeship models and Court, state officials, international and/or continuing collections of practices, identify promising strategies organizations, researchers, students, the information in accordance with the across the portfolio, and to better media, and others interested in criminal Paperwork Reduction Act of 1995 understand the implementation of justice statistics. (PRA95). This program helps to ensure models to help interpret impact (5) An estimate of the total number of that requested data can be provided in evaluation findings; (2) a study of respondents and the amount of time the desired format, reporting burden registered apprenticeship state systems estimated for an average respondent to (time and financial resources) is and partnerships to assess their capacity respond: An estimate of the total minimized, collection instruments are to develop, design, modify, implement, number of respondents is 104,910. An clearly understood, and the impact of replicate, sustain, expand/scale up, and estimated 90.2% of respondents collection requirements on respondents evaluate apprenticeship strategies and (94,630) will have no identity theft and is properly assessed. Currently, the models; and (3) an implementation will complete the short interview with Department of Labor is soliciting evaluation of the Youth Apprenticeship an average burden of eight minutes. comments concerning the collection of Readiness grant program to understand Among the 9.8% of respondents data about the Apprenticeship service delivery design and (10,280) who experience at least one Evidence-Building Portfolio. A copy of implementation, challenges, and incident of identity theft, the time to ask the proposed Information Collection promising practices. DOL will submit the detailed questions regarding the Request (ICR) can be obtained by additional ICRs for future data aspects of the most recent incident of contacting the office listed below in the collection requests for this overall identity theft is estimated to take an addressee section of this notice. study. average of fifteen minutes. Respondents DATES: Written comments must be This Federal Register Notice provides will be asked to respond to this survey submitted to the office listed in the the opportunity to comment on nine
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00042 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7882 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
proposed data collection instruments 6. Youth Apprenticeship survey and Æ minimize the burden of the that will be used in the evaluations: consent for program staff. Survey of collection of information on those who Apprenticeship grantee survey; state Youth Apprenticeship Readiness grant are to respond, including through the system capacity assessment interview program staff to collect program use of appropriate automated, guide for state staff; state system information. electronic, mechanical, or other capacity assessment interview guide for 7. Youth Apprenticeship semi- technological collection techniques or local lead organization staff; state structured interview protocol for other forms of information technology— system capacity assessment interview program staff. In-person semi-structured for example, permitting electronic guide for local partner staff; state system interviews with approximately 4 submissions of responses. program staff in in each of the capacity assessment interview guide for III. Current Actions: At this time, DOL employer partner staff; youth approximately 9 grants participating in the study, beginning in fall 2021. If in- is requesting clearance for the apprenticeship baseline survey and apprenticeship grantee survey; state consent form for program staff; youth person visits are not possible, the system capacity assessment interview apprenticeship interview guide for interviews will be conducted virtually. protocol for state staff; state system program staff; youth apprenticeship 8. Youth Apprenticeship semi- capacity assessment interview protocol interview guide for program partners; structured interview protocol for for local lead organization staff; state and youth apprenticeship interview program partners. In-person semi- system capacity assessment interview guide for follow-up with program staff. structured interviews with approximately 6 staff of program protocol for local partner staff; state 1. Apprenticeship grantee survey. partners in each grants. If in-person system capacity assessment interview Survey of 23 Scaling Apprenticeship visits are not possible, the interviews protocol for employer partner staff; and 28 Closing the Skills Gap grantees will be conducted virtually. youth apprenticeship baseline survey to collect program information. 9. Youth Apprenticeship semi- and consent form for program staff; 2. State System Capacity Assessment structured interview protocol for follow- youth apprenticeship interview protocol semi-structured interview protocol for up with program staff. In-person semi- for program staff; youth apprenticeship state staff. Virtual semi-structured structured follow-up interviews with interview protocol for program partners; interviews with approximately 5 state approximately 2 program staff in each and youth apprenticeship interview staff in each of the approximately 15 grant. If in-person visits are not protocol for follow-up with program states participating in the study, possible, the interviews will be staff. beginning summer 2021. conducted virtually. Type of Review: New information II. Desired Focus of Comments: 3. State System Capacity Assessment collection request. semi-structured interview protocol for Currently, DOL is soliciting comments local lead organization staff. Virtual concerning the above data collection for OMB Control Number: 1290–0NEW. semi-structured interviews with the Apprenticeship Evidence-Building Affected Public: Program staff, approximately 6 staff from local lead Portfolio. DOL is particularly interested program partners, and participants of in comments that do the following: the Scaling Apprenticeship Through organizations in each state. Æ evaluate whether the proposed Sector-Based Strategies, Closing the 4. State System Capacity Assessment collection of information is necessary semi-structured interview protocol for Skills Gap, and Youth Apprenticeship for the proper performance functions of Readiness grants. Additionally, state local partner staff. Virtual semi- the agency, including whether the structured interviews with staff, partners, and representatives of information will have practical utility; local and regional apprenticeship approximately10 local partner staff in Æ evaluate the accuracy of the agency’s initiatives and programs. each state. burden estimate of the proposed 5. State System Capacity Assessment information collection, including the Comments submitted in response to semi-structured interview protocol for validity of the methodology and this request will be summarized and/or employer partner staff. Virtual semi- assumptions; included in the request for Office of structured interviews with Æ enhance the quality, utility, and Management and Budget approval of the approximately 2 employer partner staff clarity of the information to be information collection request; they will in each state. collected; and also become a matter of public record.
ESTIMATED ANNUAL BURDEN HOURS
Average Type of instrument Number of Number of Total number burden time Estimated (form/activity) respondents responses per of responses per response burden hours respondent (hours)
Apprenticeship grantee survey ...... 1 17 1 17 3.0 51 State System Capacity Assessment interview protocol— state staff ...... 2 25 1 25 2.0 50 State System Capacity Assessment interview protocol— local lead organization staff ...... 3 30 1 30 1.0 30 State System Capacity Assessment interview protocol— local partner staff ...... 4 50 1 50 1.0 50 State System Capacity Assessment interview protocol— employer partner staff ...... 5 10 1 10 1.0 10 Youth Apprenticeship survey and consent—program staff 5 1 5 1.5 7.5 Youth Apprenticeship interview protocol—program staff .... 6 12 1 12 1.0 12 Youth Apprenticeship interview protocol—program part- ners ...... 7 18 1 18 1.0 18
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00043 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7883
ESTIMATED ANNUAL BURDEN HOURS—Continued
Average Type of instrument Number of Number of Total number burden time Estimated (form/activity) respondents responses per of responses per response burden hours respondent (hours)
Youth Apprenticeship interview protocol—follow-up with program staff ...... 8 6 1 6 1.0 6
Total ...... 173 ...... 173 ...... 234.5 1 Assumes 23 Scaling Apprenticeship and 28 Closing the Skill Gap grantees over the three-year clearance period. 2 Assumes interviews with 5 staff in state programs in 15 states over the three-year clearance period. 3 Assumes interviews with 6 staff in lead organizations in 15 states over the three-year clearance period. 4 Assumes interviews with 10 staff in local partner organizations in 15 states over the three-year clearance period. 5 Assumes interviews with 2 staff with employers in 15 states over the three-year clearance period. 6 Assumes interviews with 4 program staff in 9 sites over the three-year clearance period. 7 Assumes interviews with 6 program partner staff in 9 sites over the three-year clearance period. 8 Assumes follow-up interviews with 2 program staff in 9 sites over the three-year clearance period.
Christina Yancey, password is PAC_March2021. For interested parties at the Permit Office, Chief Evaluation Officer, U.S. Department of audio, when joining the Webex event, address below. Labor. you may use your computer or provide ADDRESSES: Comments should be [FR Doc. 2021–02111 Filed 2–1–21; 8:45 am] your phone number to receive a call addressed to Permit Office, Office of BILLING CODE 4510–HX–P back. Otherwise, call the U.S. toll Polar Programs, National Science conference number: 1–415–527–5035 Foundation, 2415 Eisenhower Avenue, and enter the access code 199 538 6929. Alexandria, Virginia 22314. NATIONAL AERONAUTICS AND The agenda for the meeting includes FOR FURTHER INFORMATION CONTACT: SPACE ADMINISTRATION the following topics: Nature McGinn, ACA Permit Officer, at —Planetary Science Division Update [Notice (21–008)] the above address, 703–292–8030, or —Planetary Science Division Research [email protected]. Planetary Science Advisory and Analysis Program Update SUPPLEMENTARY INFORMATION: The Committee; Meeting It is imperative that the meeting be National Science Foundation, as held on these dates to accommodate the directed by the Antarctic Conservation AGENCY: National Aeronautics and scheduling priorities of the key Act of 1978 (Public Law 95–541, 45 CFR Space Administration. participants. 671), as amended by the Antarctic ACTION: Notice of meeting. Patricia Rausch, Science, Tourism and Conservation Act SUMMARY: In accordance with the Advisory Committee Management Officer, of 1996, has developed regulations for Federal Advisory Committee Act, the National Aeronautics and Space the establishment of a permit system for National Aeronautics and Space Administration. various activities in Antarctica and Administration (NASA) announces a [FR Doc. 2021–02159 Filed 2–1–21; 8:45 am] designation of certain animals and meeting of the Planetary Science BILLING CODE 7510–13–P certain geographic areas a requiring Advisory Committee. The meeting will special protection. The regulations be held for the purpose of soliciting, establish such a permit system to from the scientific community and other NATIONAL SCIENCE FOUNDATION designate Antarctic Specially Protected persons, scientific and technical Areas. information relevant to program Notice of Permit Applications Received Application Details planning. Under the Antarctic Conservation Act of 1978 Permit Application: 2021–007 DATES: Monday, March 1, 2021, 10:00 1. Applicant: Lynne Talley, Scripps a.m. to 6:00 p.m., Eastern Time; and AGENCY: National Science Foundation. Tuesday, March 2, 2021, 10:00 a.m. to Institution of Oceanography, UCSD, La ACTION: Notice of permit applications Jolla, CA 92093–0230. 6:00 p.m., Eastern Time. received. ADDRESSES: Virtual meeting via WebEx Activity for Which Permit is Requested SUMMARY: The National Science and dial-in teleconference only. Type, description of activity. FOR FURTHER INFORMATION CONTACT: Ms. Foundation (NSF) is required to publish Karshelia Henderson, Science Mission a notice of permit applications received Location Directorate, NASA Headquarters, to conduct activities regulated under the Waste Management. The applicant is Washington, DC 20546, (202) 358–2355 Antarctic Conservation Act of 1978. seeking a waste management permit for or [email protected]. NSF has published regulations under waste management activities associated SUPPLEMENTARY INFORMATION: As noted the Antarctic Conservation Act in the with the deployment of floating above, this meeting will be available to Code of Federal Regulations. This is the oceanographic profiling instruments the public telephonically and by WebEx required notice of permit applications (Argo floats) in Southern Ocean waters. only. The meeting event for attendees is: received. The Argo floats would autonomously https://nasaenterprise.webex.com/ DATES: Interested parties are invited to collect temperature, salinity, oxygen, nasaenterprise/j.php?MTID= submit written data, comments, or pH, nitrate, fluorescence, backscatter, m1aafd71607930a7259 views with respect to this permit and irradiance from 0 to 2000 m, every 86be629a61990e. The event meeting application by March 4, 2021. This 10 days. The floats would freely drift number is 199 538 6929 and the application may be inspected by and would likely leave and enter the
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00044 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7884 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
region over the course of their send email to [email protected]. sustains U.S. leadership in science and operational lifetimes. The applicant Individuals who use a engineering (S&E) to drive the U.S. proposes to release a maximum of 150 telecommunications device for the deaf economy and secure the future. NSF’s Argo floats south of 60°S during the (TDD) may call the Federal Information responsibility is to ensure that the permit period. Float dimensions are 75 Relay Service (FIRS) at 1–800–877– research and education communities inches tall by 9 inches diameter, 8339, which is accessible 24 hours a have access to these resources, and to weighing approximately 65 lbs. Each day, 7 days a week, 365 days a year provide the support needed to utilize float includes 19DD lithium cells, with (including federal holidays). them optimally, and implement timely approximately 0.198 gm of lithium. The SUPPLEMENTARY INFORMATION: upgrades. floats would drift at 1000 m depth and Title of Collection: Major Facilities The scale of advanced come to the surface every 10 days. Their Guide. instrumentation ranges from small lifetime is approximately 5 years, after OMB Approval Number: 3145–0239. research instruments to shared which the batteries would be depleted Expiration Date of Approval: resources or facilities that can be used and the floats would no longer surface, September 30, 2022. by entire communities. The demand for but would remain in the ocean and sink Type of Request: Intent to seek such instrumentation is very high, and to the ocean floor. The Agro floats approval to extend with revision an is growing rapidly, along with the pace deployed in the Southern Ocean would information collection for three years. of discovery. For major facilities and be part of a global array. The Argo array Proposed Project: The primary shared infrastructure, the need is particularly high. This trend is expected provides operational and research data purpose of this revision is to provide to accelerate in the future as increasing that inform nowcast and forecast expectations for construction schedules numbers of researchers and educators services, contributing to saving lives, for alignment with good practices, rely on such large facilities, avoiding property damage, and minimum competencies for project instruments, and databases to provide informing the public and government personnel, and guidance on the content the reach to make the next intellectual responses to environmental variability of Segregation of Funding Plans and and change. leaps. how to scale earned value management NSF currently provides support for Dates of Permitted Activities systems (EVMS). The draft version of facility construction from two accounts: the NSF MFG is available on the NSF The Major Research Equipment and February 1, 2021–October 31, 2025. website at: http://www.nsf.gov/bfa/lfo/ _ Facility Construction (MREFC) account, Erika N. Davis, lfo documents.jsp. and the Research and Related Activities Program Specialist, Office of Polar Programs. To facilitate review, a Change Log (R&RA) account. The MREFC account, [FR Doc. 2021–02170 Filed 2–1–21; 8:45 am] with brief comment explanations of the established in FY 1995, is an agency- changes is provided in the guide. NSF BILLING CODE 7555–01–P wide capital account which provides is particularly interested in public funding for the construction stage of comment on the new content provided major facilities, roughly $100M or NATIONAL SCIENCE FOUNDATION in Section 4.3 Schedule Development, greater, and mid-scale projects in the Estimating, and Analysis and in Section range of approximately $20–$100M. Agency Information Collection 4.6.6 Project Personnel and Facilities are defined as shared-use Activities: Comment Request; National Competencies. infrastructure, instrumentation and Science Foundation Major Facilities The National Science Foundation Act equipment that are accessible to a broad Guide of 1950 (Pub. L. 81–507) set forth NSF’s community of researchers and/or mission and purpose: educators. Facilities may be centralized AGENCY: National Science Foundation. ‘‘To promote the progress of science; or may consist of distributed ACTION: Notice and request for to advance the national health, installations. They may incorporate comments. prosperity, and welfare; to secure the large-scale networking or computational national defense.* * *’’ SUMMARY: In accordance with the infrastructure, multi-user instruments or The Act authorized and directed NSF requirement of the Paperwork networks of such instruments, or other to initiate and support: Reduction Act of 1995, the National infrastructure, instrumentation and • Basic scientific research and Science Foundation (NSF) is providing equipment having a major impact on a research fundamental to the engineering opportunity for public comment on broad segment of a scientific or process; revisions to the NSF Major Facilities engineering discipline. Historically, • Programs to strengthen scientific Guide (MFG). awards have been made for such diverse and engineering research potential; projects as accelerators, telescopes, DATES: Written comments should be • Science and engineering education research vessels and aircraft, and received by April 5, 2021 to be assured programs at all levels and in all the geographically distributed but of consideration. Comments received various fields of science and networked sensors and instrumentation. after that date will be considered to the engineering; The growth and diversification of extent practicable. • Programs that provide a source of large facility projects require that NSF ADDRESSES: Written comments information for policy formulation; and remain attentive to the ever-changing regarding the information collection and • Other activities to promote these issues and challenges inherent in their requests for copies of the proposed ends. planning, construction, operation, information collection request should be Among Federal agencies, NSF is a management, and oversight. Most addressed to Suzanne Plimpton, Reports leader in providing the academic importantly, dedicated, competent NSF Clearance Officer, National Science community with advanced and awardee staff are needed to manage Foundation, 2415 Eisenhower Ave., Rm. instrumentation needed to conduct and oversee these projects; giving the W 18253, Alexandria, VA 22314, or by state-of-the-art research and to educate attention and oversight that good email to [email protected]. the next generation of scientists, practice dictates and that proper FOR FURTHER INFORMATION CONTACT: engineers, and technical workers. The accountability to taxpayers and Suzanne Plimpton on (703) 292–7556 or knowledge generated by these tools Congress demands. To this end, there is
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00045 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7885
also a need for consistent, documented funds. The requirements, recommended financial reporting on an annual basis; requirements and procedures to be procedures, and best practices presented or 3,120 hours per year. For mid-scale understood and used by NSF program in the Guide apply to any facility projects, the Foundation estimates managers and awardees for all such significant enough to require close and approximately one (1) Full Time large projects. substantial interaction with the Equivalent (FTE’s) is necessary for each Use of the Information: Facilities are Foundation and the National Science mid-scale project to respond to NSF an essential part of the science and Board. project management documentation engineering enterprise, and supporting This Guide will be updated requirements on an annual basis; or them is one major responsibility of the periodically to reflect changes in 2,080 hours per year. With seven (7) National Science Foundation (NSF). requirements, policies and/or major facilities in design or construction NSF makes awards to external entities— procedures. Award Recipients are and twenty-one (21) in operations and primarily universities, consortia of expected to monitor and adopt the four (4) mid-scale projects, this equates universities or non-profit requirements and best practices to roughly 150,000 public burden hours organizations—to undertake included in the Guide which are aimed annually. construction, management, and at improving management and oversight Comments: In addition to the type of operation of facilities. Such awards of major facilities projects and at comments identified above, comments frequently take the form of cooperative enabling the most efficient and cost- are also invited on: (a) Whether the agreements. NSF does not directly effective delivery of tools to the research proposed collection of information is construct or operate the facilities it and education communities. necessary for the proper performance of supports. However, NSF retains The submission of proposals and the functions of the Agency, including responsibility for overseeing their subsequent project documentation to whether the information shall have development, management, and the Foundation related to the practical utility; (b) the accuracy of the successful performance. The Major development, construction and Agency’s estimate of the burden of the Facilities Guide is intended to: operations of Major Facilities is part of • proposed collection of information; (c) Provide guidance for NSF staff and the collection of information. This ways to enhance the quality, utility, and awardees to carry out effective project information is used to help NSF fulfill clarity of the information on planning, management and oversight of this responsibility in supporting merit- respondents, including through the use major facilities while considering the based research and education projects in of automated collection techniques or varying requirements of a diverse all the scientific and engineering other forms of information technology; portfolio; disciplines. The Foundation also has a and (d) ways to minimize the burden of • Clearly state the policies, processes, continuing commitment to provide the collection of information on and procedures pertinent at each stage oversight on facilities development and respondents, including through the use of a facility’s life cycle from construction which must be balanced of automated collection techniques or development through design, against monitoring its information other forms of information technology. construction, operations, and collection so as to identify and address After obtaining and considering public divestment; and any excessive reporting burdens. • Document and disseminate ‘‘good NSF has approximately twenty-four comment, NSF will prepare the practices’’ identified over time so that (24) Major Facilities in various stages of submission requesting OMB clearance NSF and awardees can carry out their development, design, construction, of this collection for no longer than 3 responsibilities more effectively. operations, and divestment. Facilities years. This version of the Major Facilities undergoing a major upgrade may be Dated: January 27, 2021. Guide adds sections for development of classified in both design or construction Suzanne H. Plimpton, construction schedules and minimum and operations at the same time. Two to Reports Clearance Officer, National Science competencies for project personnel; four (2 to 4) new construction awards Foundation. updates sections related to legislation are made approximately every five (5) [FR Doc. 2021–02140 Filed 2–1–21; 8:45 am] and NSF policy on research years based on science community BILLING CODE 7555–01–P infrastructure, content of segregation infrastructure needs and availability of funding plans, and earned value funding. Among the twenty-four major management; and clarifies requirements facilities, there are approximately seven to transition through the design phases, (7) facilities annually that are either in NUCLEAR REGULATORY construction monthly reporting, and design or construction. These stages COMMISSION property management terminology. The require the highest level of reporting [NRC–2021–0020] Guide does not replace existing formal and management documentation per the procedures required for all NSF awards, Major Facilities Guide. NSF estimates Applications and Amendments to which are described in the, Proposal & there will be four (4) mid-scale projects Facility Operating Licenses and Award Policies and Procedures Guide in progress at a given time. Combined Licenses Involving (PAPPG). Instead, it draws upon and Burden to the Public: The Foundation Proposed No Significant Hazards supplements it for the purpose of estimates that approximately five (5) Considerations and Containing providing detailed guidance regarding Full Time Equivalents (FTE’s) are Sensitive Unclassified Non-Safeguards NSF policy and procedures related to necessary for each major facility project Information and Order Imposing the planning, management, and in design or construction to respond to Procedures for Access to Sensitive oversight of Major Facilities. All NSF performance and financial Unclassified Non-Safeguards facilities projects require merit and reporting and project management Information technical review, as well as approval of documentation requirements on an certain deliverables. The level of review annual basis; or 10,400 hours per year. AGENCY: Nuclear Regulatory and approval varies substantially from The Foundation estimates Commission. standard grants, as does the level of approximately one and half (1.5) FTE ACTION: License amendment request; oversight needed to ensure appropriate for a major facility in operations to notice of opportunity to comment, and proper accountability for federal respond to NSF performance and request a hearing, and petition for leave
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00046 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7886 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
to intervene; order imposing I. Obtaining Information and Your request should state that the NRC procedures. Submitting Comments does not routinely edit comment submissions to remove such information A. Obtaining Information SUMMARY: The U.S. Nuclear Regulatory before making the comment Commission (NRC) received and is Please refer to Docket ID NRC–2021– submissions available to the public or considering approval of three 0020, facility name, unit number(s), entering the comment into ADAMS. docket number(s), application date, and amendment requests. The amendment II. Background requests are for Pilgrim Nuclear Power subject when contacting the NRC about Pursuant to Section 189a.(2) of the Station, Monticello Nuclear Generating the availability of information for this action. You may obtain publicly Atomic Energy Act of 1954, as amended Plant, and Watts Bar Nuclear Plant, available information related to this (the Act), the NRC is publishing this Units 1 and 2. For each amendment action by any of the following methods: notice. The Act requires the request, the NRC proposes to determine • Federal Rulemaking Website: Go to Commission to publish notice of any that they involve no significant hazards https://www.regulations.gov and search amendments issued, or proposed to be consideration (NSHC). Because each for Docket ID NRC–2021–0020. issued and grants the Commission the amendment request contains sensitive • NRC’s Agencywide Documents authority to issue and make unclassified non-safeguards information Access and Management System immediately effective any amendment (SUNSI) and/or safeguards information (ADAMS): You may obtain publicly to an operating license or combined (SGI), an order imposes procedures to available documents online in the license, as applicable, upon a obtain access to SUNSI and SGI for ADAMS Public Documents collection at determination by the Commission that contention preparation. https://www.nrc.gov/reading-rm/ such amendment involves NSHC, DATES: Comments must be filed by adams.html. To begin the search, select notwithstanding the pendency before March 4, 2021. A request for a hearing ‘‘Begin Web-based ADAMS Search.’’ For the Commission of a request for a or petitions for leave to intervene must problems with ADAMS, please contact hearing from any person. This notice includes notices of be filed by April 5, 2021. Any potential the NRC’s Public Document Room (PDR) amendments containing SUNSI and SGI. party as defined in section 2.4 of title 10 reference staff at 1–800–397–4209, 301– 415–4737, or by email to pdr.resource@ of the Code of Federal Regulations (10 III. Notice of Consideration of Issuance nrc.gov. The ADAMS accession number CFR) who believes access to SUNSI is of Amendments to Facility Operating for each document referenced (if it is necessary to respond to this notice must Licenses and Combined Licenses, available in ADAMS) is provided the request document access by February Proposed No Significant Hazards first time that it is mentioned in this 12, 2021. Consideration Determination, and document. Opportunity for a Hearing ADDRESSES: You may submit comments • Attention: The PDR, where you may by any of the following methods; examine and order copies of public The Commission has made a however, the NRC encourages electronic documents is currently closed. You may proposed determination that the comment submission through the submit your request to the PDR via following amendment requests involve Federal Rulemaking Website: email at [email protected] or call NSHC. Under the Commission’s 1–800–397–4209 or 301–415–4737, regulations in 10 CFR 50.92, this means • Federal Rulemaking Website: Go to between 8:00 a.m. and 4:00 p.m. Eastern that operation of the facility in https://www.regulations.gov and search Standard Time (EST), Monday through accordance with the proposed for Docket ID NRC–2021–0020. Address Friday, except Federal holidays. amendment would not (1) involve a questions about Docket IDs in significant increase in the probability or Regulations.gov to Jennifer Borges; B. Submitting Comments consequences of an accident previously telephone: 301–287–9127; email: The NRC encourages electronic evaluated, or (2) create the possibility of [email protected]. For technical comment submission through the a new or different kind of accident from questions, contact the individual listed Federal Rulemaking Website (https:// any accident previously evaluated, or in the FOR FURTHER INFORMATION www.regulations.gov). Please include (3) involve a significant reduction in a CONTACT section of this document. Docket ID NRC–2021–0020, facility margin of safety. The basis for this • Mail Comments to: Office of name, unit number(s), docket proposed determination for each Administration, Mail Stop: TWFN–7– number(s), application date, and amendment request is shown below. A60M, U.S. Nuclear Regulatory subject, in your comment submission. The Commission is seeking public Commission, Washington, DC 20555– The NRC cautions you not to include comments on this proposed 0001, Attn: Program Management, identifying or contact information that determination. Any comments received Announcements and Editing Staff. you do not want to be publicly within 30 days after the date of disclosed in your comment submission. publication of this notice will be For additional direction on obtaining The NRC will post all comment considered in making any final information and submitting comments, submissions at https:// determinations. see ‘‘Obtaining Information and www.regulations.gov as well as enter the Normally, the Commission will not Submitting Comments’’ in the comment submissions into ADAMS. issue the amendments until the SUPPLEMENTARY INFORMATION section of The NRC does not routinely edit expiration of 60 days after the date of this document. comment submissions to remove publication of this notice. The Commission may issue any of these FOR FURTHER INFORMATION CONTACT: identifying or contact information. Janet Burkhardt, Office of Nuclear If you are requesting or aggregating license amendments before expiration of comments from other persons for the 60-day period provided that its final Reactor Regulation, U.S. Nuclear submission to the NRC, then you should determination is that the amendment Regulatory Commission, Washington, inform those persons not to include involves no significant hazards DC 20555–0001; telephone: 301–415– identifying or contact information that consideration. In addition, the 1384, email: [email protected]. they do not want to be publicly Commission may issue the amendment SUPPLEMENTARY INFORMATION: disclosed in their comment submission. prior to the expiration of the 30-day
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00047 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7887
comment period if circumstances documents on which the petitioner the Commission to participate as a party change during the 30-day comment intends to rely to support its position on under 10 CFR 2.309(h)(1). The petition period such that failure to act in a the issue. The petition must include should state the nature and extent of the timely way would result, for example, sufficient information to show that a petitioner’s interest in the proceeding. in derating or shutdown of the facility. genuine dispute exists with the The petition should be submitted to the If the Commission takes action prior to applicant or licensee on a material issue Commission no later than 60 days from the expiration of either the comment of law or fact. Contentions must be the date of publication of this notice. period or the notice period, it will limited to matters within the scope of The petition must be filed in accordance publish a notice of issuance in the the proceeding. The contention must be with the filing instructions in the Federal Register. If the Commission one that, if proven, would entitle the ‘‘Electronic Submissions (E-Filing)’’ makes a final no significant hazards petitioner to relief. A petitioner who section of this document, and should consideration determination, any fails to satisfy the requirements at 10 meet the requirements for petitions set hearing will take place after issuance. CFR 2.309(f) with respect to at least one forth in this section, except that under The Commission expects that the need contention will not be permitted to 10 CFR 2.309(h)(2) a State, local to take this action will occur very participate as a party. governmental body, or Federally infrequently. Those permitted to intervene become recognized Indian Tribe, or agency parties to the proceeding, subject to any thereof does not need to address the A. Opportunity To Request a Hearing limitations in the order granting leave to standing requirements in 10 CFR and Petition for Leave To Intervene intervene. Parties have the opportunity 2.309(d) if the facility is located within Within 60 days after the date of to participate fully in the conduct of the its boundaries. Alternatively, a State, publication of this notice, any persons hearing with respect to resolution of local governmental body, Federally (petitioner) whose interest may be that party’s admitted contentions, recognized Indian Tribe, or agency affected by any of these actions may file including the opportunity to present thereof may participate as a non-party a request for a hearing and petition for evidence, consistent with the NRC’s under 10 CFR 2.315(c). leave to intervene (petition) with respect regulations, policies, and procedures. If a petition is submitted, any person to that action. Petitions shall be filed in Petitions must be filed no later than who is not a party to the proceeding and accordance with the Commission’s 60 days from the date of publication of is not affiliated with or represented by ‘‘Agency Rules of Practice and this notice. Petitions and motions for a party may, at the discretion of the Procedure’’ in 10 CFR part 2. Interested leave to file new or amended presiding officer, be permitted to make persons should consult a current copy contentions that are filed after the a limited appearance pursuant to the of 10 CFR 2.309. The NRC’s regulations deadline will not be entertained absent provisions of 10 CFR 2.315(a). A person are accessible electronically from the a determination by the presiding officer making a limited appearance may make NRC Library on the NRC’s website at that the filing demonstrates good cause an oral or written statement of his or her https://www.nrc.gov/reading-rm/doc- by satisfying the three factors in 10 CFR position on the issues but may not collections/cfr/. If a petition is filed, the 2.309(c)(1)(i) through (iii). The petition otherwise participate in the proceeding. Commission or a presiding officer will must be filed in accordance with the A limited appearance may be made at rule on the petition and, if appropriate, filing instructions in the ‘‘Electronic any session of the hearing or at any a notice of a hearing will be issued. Submissions (E-Filing)’’ section of this prehearing conference, subject to the As required by 10 CFR 2.309(d) the document. limits and conditions as may be petition should specifically explain the If a hearing is requested, and the imposed by the presiding officer. Details reasons why intervention should be Commission has not made a final regarding the opportunity to make a permitted with particular reference to determination on the issue of no limited appearance will be provided by the following general requirements for significant-hazards consideration, the the presiding officer if such sessions are standing: (1) The name, address, and Commission will make a final scheduled. telephone number of the petitioner; (2) determination on the issue of no the nature of the petitioner’s right to be significant hazards consideration. The B. Electronic Submissions (E-Filing) made a party to the proceeding; (3) the final determination will serve to All documents filed in NRC nature and extent of the petitioner’s establish when the hearing is held. If the adjudicatory proceedings, including a property, financial, or other interest in final determination is that the request for hearing and petition for the proceeding; and (4) the possible amendment request involves no leave to intervene (petition), any motion effect of any decision or order which significant hazards consideration, the or other document filed in the may be entered in the proceeding on the Commission may issue the amendment proceeding prior to the submission of a petitioner’s interest. and make it immediately effective, request for hearing or petition to In accordance with 10 CFR 2.309(f), notwithstanding the request for a intervene, and documents filed by the petition must also set forth the hearing. Any hearing would take place interested governmental entities that specific contentions that the petitioner after issuance of the amendment. If the request to participate under 10 CFR seeks to have litigated in the final determination is that the 2.315(c), must be filed in accordance proceeding. Each contention must amendment request involves a with the NRC’s E-Filing rule (72 FR consist of a specific statement of the significant hazards consideration, then 49139; August 28, 2007, as amended at issue of law or fact to be raised or any hearing held would take place 77 FR 46562; August 3, 2012). The E- controverted. In addition, the petitioner before the issuance of the amendment Filing process requires participants to must provide a brief explanation of the unless the Commission finds an submit and serve all adjudicatory bases for the contention and a concise imminent danger to the health or safety documents over the internet, or in some statement of the alleged facts or expert of the public, in which case it will issue cases to mail copies on electronic opinion that support the contention and an appropriate order or rule under 10 storage media. Detailed guidance on on which the petitioner intends to rely CFR part 2. making electronic submissions may be in proving the contention at the hearing. A State, local governmental body, found in the Guidance for Electronic The petitioner must also provide Federally recognized Indian Tribe, or Submissions to the NRC and on the NRC references to the specific sources and agency thereof, may submit a petition to website at https://www.nrc.gov/site-
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00048 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7888 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
help/e-submittals.html. Participants sends the submitter an email notice Rulemaking and Adjudications Staff. may not submit paper copies of their confirming receipt of the document. The Participants filing adjudicatory filings unless they seek an exemption in E-Filing system also distributes an email documents in this manner are accordance with the procedures notice that provides access to the responsible for serving the document on described below. document to the NRC’s Office of the all other participants. Filing is To comply with the procedural General Counsel and any others who considered complete by first-class mail requirements of E-Filing, at least 10 have advised the Office of the Secretary as of the time of deposit in the mail, or days prior to the filing deadline, the that they wish to participate in the by courier, express mail, or expedited participant should contact the Office of proceeding, so that the filer need not delivery service upon depositing the the Secretary by email at serve the document on those document with the provider of the [email protected], or by telephone participants separately. Therefore, service. A presiding officer, having at 301–415–1677, to (1) request a digital applicants and other participants (or granted an exemption request from identification (ID) certificate, which their counsel or representative) must using E-Filing, may require a participant allows the participant (or its counsel or apply for and receive a digital ID or party to use E-Filing if the presiding representative) to digitally sign certificate before adjudicatory submissions and access the E-Filing documents are filed so that they can officer subsequently determines that the system for any proceeding in which it obtain access to the documents via the reason for granting the exemption from is participating; and (2) advise the E-Filing system. use of E-Filing no longer exists. Secretary that the participant will be A person filing electronically using Documents submitted in adjudicatory submitting a petition or other the NRC’s adjudicatory E-Filing system proceedings will appear in the NRC’s adjudicatory document (even in may seek assistance by contacting the electronic hearing docket which is instances in which the participant, or its NRC’s Electronic Filing Help Desk available to the public at https:// counsel or representative, already holds through the ‘‘Contact Us’’ link located adams.nrc.gov/ehd, unless excluded an NRC issued digital ID certificate). on the NRC’s public website at https:// pursuant to an order of the Commission Based upon this information, the www.nrc.gov/site-help/e- or the presiding officer. If you do not Secretary will establish an electronic submittals.html, by email to have an NRC issued digital ID certificate docket for the hearing in this proceeding [email protected], or by a toll- as described above, click ‘‘cancel’’ when if the Secretary has not already free call at 1–866–672–7640. The NRC the link requests certificates and you established an electronic docket. Electronic Filing Help Desk is available will be automatically directed to the Information about applying for a between 9 a.m. and 6 p.m., (EST), NRC’s electronic hearing dockets where digital ID certificate is available on the Monday through Friday, excluding you will be able to access any publicly NRC’s public website at https:// government holidays. available documents in a particular www.nrc.gov/site-help/e-submittals/ Participants who believe that they getting-started.html. Once a participant have a good cause for not submitting hearing docket. Participants are has obtained a digital ID certificate and documents electronically must file an requested not to include personal a docket has been created, the exemption request, in accordance with privacy information, such as social participant can then submit 10 CFR 2.302(g), with their initial paper security numbers, home addresses, or adjudicatory documents. Submissions filing stating why there is good cause for personal phone numbers in their filings, must be in Portable Document Format not filing electronically and requesting unless an NRC regulation or other law (PDF). Additional guidance on PDF authorization to continue to submit requires submission of such submissions is available on the NRC’s documents in paper format. Such filings information. For example, in some public website at https://www.nrc.gov/ must be submitted by: (1) First class instances, individuals provide home site-help/electronic-sub-ref-mat.html. A mail addressed to the Office of the addresses in order to demonstrate filing is considered complete at the time Secretary of the Commission, U.S. proximity to a facility or site. With the document is submitted through the Nuclear Regulatory Commission, respect to copyrighted works, except for NRC’s E-Filing system. To be timely, an Washington, DC 20555–0001, Attention: limited excerpts that serve the purpose electronic filing must be submitted to Rulemaking and Adjudications Staff; or of the adjudicatory filings and would the E-Filing system no later than 11:59 (2) courier, express mail, or expedited constitute a Fair Use application, p.m. (EST) on the due date. Upon delivery service to the Office of the participants are requested not to include receipt of a transmission, the E-Filing Secretary, 11555 Rockville Pike, copyrighted materials in their system time stamps the document and Rockville, Maryland 20852, Attention: submission.
Holtec Pilgrim, LLC and Holtec Decommissioning International; Pilgrim Nuclear Power Station; Plymouth County, MA
Docket No(s) ...... 50–293. Application Date ...... October 5, 2020, as supplemented by email dated December 10, 2020. ADAMS Accession No ...... ML20283A292, ML20346A047. Location in Application of NSHC ...... Pages 2–4 of Attachment 1. Brief Description of Amendment(s) ...... The license amendment application seeks NRC review and approval of the Pilgrim Nuclear Power Station Physical Security Plan revision and a license amendment to incorporate alternative measures. Proposed Determination ...... NSHC. Name of Attorney for Licensee, Mailing Address ...... Erin Connolly, Corporate Counsel—Legal, Holtec International, Krishna P. Singh Technology Campus, 1 Holtec Blvd., Camden, NJ 08104. NRC Project Manager, Telephone Number ...... Amy Snyder, 301–415–6822.
Northern States Power Company; Monticello Nuclear Generating Plant; Wright County, MN
Docket No(s) ...... 50–263. Application Date ...... November 3, 2020. ADAMS Accession No ...... ML20308A826. Location in Application of NSHC ...... Pages 3–5 of the Enclosure. Brief Description of Amendment(s) ...... The amendment would adopt Technical Specifications Task Force (TSTF) Traveler TSTF–564, ‘‘Safety Limit MCPR [minimum critical power ratio],’’ Revision 2, with variations.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00049 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7889
Proposed Determination ...... NSHC. Name of Attorney for Licensee, Mailing Address ...... Peter M. Glass, Assistant General Counsel, Xcel Energy, 414 Nicollet Mall—401–8, Minneapolis, MN 55401. NRC Project Manager, Telephone Number ...... Robert Kuntz, 301–415–3733.
Tennessee Valley Authority; Watts Bar Nuclear Plant, Units 1 and 2; Rhea County, TN
Docket No(s) ...... 50–390, 50–391. Application Date ...... October 2, 2020. ADAMS Accession No ...... ML20276A092. Location in Application of NSHC ...... Pages 37–40 of Enclosure 1. Brief Description of Amendment(s) ...... The amendments would revise the Watts Bar Nuclear Plant, Units 1 and 2, Technical Specification 5.7.2.19, ‘‘Containment Leakage Rate Testing Program,’’ to adopt Nuclear Energy Institute 94–01, Revision 3–A, ‘‘Industry Guideline for Implementing Performance-Based Option of 10 CFR part 50, appendix J.’’ The amendments would also clarify the value of Pa to be used for containment leakage rate testing. Proposed Determination ...... NSHC. Name of Attorney for Licensee, Mailing Address ...... Sherry Quirk, Executive VP and General Counsel, Tennessee Valley Authority, 400 West Summit Hill Drive, WT 6A, Knoxville, TN 37902. NRC Project Manager, Telephone Number ...... Kimberly Green, 301–415–1627.
Order Imposing Procedures for Access Regulatory Commission, Washington, in 10 CFR 73.2, the statement must to Sensitive Unclassified Non- DC 20555–0001. The expedited delivery explain: Safeguards Information and Safeguards or courier mail address for both offices (i) Specifically why the requestor Information for Contention Preparation is: U.S. Nuclear Regulatory Commission, believes that the information is 11555 Rockville Pike, Rockville, necessary to enable the requestor to Holtec Pilgrim, LLC and Holtec Maryland 20852. The email address for proffer and/or adjudicate a specific Decommissioning International; Docket the Office of the Secretary and the contention in this proceeding; 2 and No. 50–293; Pilgrim Nuclear Power Office of the General Counsel are (ii) The technical competence Station; Plymouth County, MA [email protected] and (demonstrable knowledge, skill, training Northern States Power Company; [email protected], or education) of the requestor to Docket No. 50–263; Monticello Nuclear respectively.1 The request must include effectively utilize the requested SGI to Generating Plant; Wright County, MN the following information: provide the basis and specificity for a (1) A description of the licensing proffered contention. The technical Tennessee Valley Authority; Docket competence of a potential party or its Nos. 50–390, 50–391; Watts Bar Nuclear action with a citation to this Federal Register notice; counsel may be shown by reliance on a Plant, Units 1 and 2; Rhea County, TN qualified expert, consultant, or assistant (2) The name and address of the A. This Order contains instructions who satisfies these criteria. potential party and a description of the regarding how potential parties to this (b) A completed Form SF–85, potential party’s particularized interest proceeding may request access to ‘‘Questionnaire for Non-Sensitive that could be harmed by the action documents containing sensitive Positions,’’ for each individual who identified in C.(1); unclassified information (including would have access to SGI. The SUNSI and SGI). Requirements for (3) If the request is for SUNSI, the completed Form SF–85 will be used by access to SGI are primarily set forth in identity of the individual or entity the Office of Administration to conduct 10 CFR parts 2 and 73. Nothing in this requesting access to SUNSI and the the background check required for Order is intended to conflict with the requestor’s basis for the need for the access to SGI, as required by 10 CFR SGI regulations. information in order to meaningfully part 2, subpart C, and 10 CFR B. Within 10 days after publication of participate in this adjudicatory 73.22(b)(2), to determine the requestor’s this notice of hearing and opportunity to proceeding. In particular, the request trustworthiness and reliability. For petition for leave to intervene, any must explain why publicly available security reasons, Form SF–85 can only potential party who believes access to versions of the information requested be submitted electronically through the SUNSI or SGI is necessary to respond to would not be sufficient to provide the Electronic Questionnaires for this notice may request access to SUNSI basis and specificity for a proffered Investigations Processing website, a or SGI. A ‘‘potential party’’ is any contention; and secure website that is owned and person who intends to participate as a (4) If the request is for SGI, the operated by the Defense party by demonstrating standing and identity of each individual who would Counterintelligence and Security filing an admissible contention under 10 have access to SGI if the request is Agency (DCSA). To obtain online access CFR 2.309. Requests for access to SUNSI granted, including the identity of any to the form, the requestor should contact or SGI submitted later than 10 days after expert, consultant, or assistant who will the NRC’s Office of Administration at publication will not be considered aid the requestor in evaluating the SGI. 301–415–3710.3 absent a showing of good cause for the In addition, the request must contain late filing, addressing why the request the following information: 2 Broad SGI requests under these procedures are unlikely to meet the standard for need to know; could not have been filed earlier. (a) A statement that explains each furthermore, NRC staff redaction of information C. The requestor shall submit a letter individual’s ‘‘need to know’’ the SGI, as from requested documents before their release may requesting permission to access SUNSI, required by 10 CFR 73.2 and 10 CFR be appropriate to comport with this requirement. SGI, or both to the Office of the 73.22(b)(1). Consistent with the These procedures do not authorize unrestricted disclosure or less scrutiny of a requestor’s need to Secretary, U.S. Nuclear Regulatory definition of ‘‘need to know’’ as stated know than ordinarily would be applied in Commission, Washington, DC 20555– connection with an already admitted contention or 0001, Attention: Rulemakings and 1 While a request for hearing or petition to non-adjudicatory access to SGI. Adjudications Staff, and provide a copy intervene in this proceeding must comply with the 3 The requestor will be asked to provide his or her filing requirements of the NRC’s ‘‘E-Filing Rule,’’ full name, social security number, date and place to the Deputy General Counsel for the initial request to access SUNSI and/or SGI of birth, telephone number, and email address. Hearings and Administration, Office of under these procedures should be submitted as After providing this information, the requestor the General Counsel, U.S. Nuclear described in this paragraph. Continued
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00050 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7890 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
(c) A completed Form FD–258 should review all submitted materials each individual who will be granted (fingerprint card), signed in original ink, for completeness and accuracy access to SGI. and submitted in accordance with 10 (including legibility) before submitting H. Release and Storage of SGI. Prior CFR 73.57(d). Copies of Form FD–258 them to the NRC. The NRC will return to providing SGI to the requestor, the will be provided in the background incomplete packages to the sender NRC staff will conduct (as necessary) an check request package supplied by the without processing. inspection to confirm that the Office of Administration for each E. Based on an evaluation of the recipient’s information protection individual for whom a background information submitted under paragraphs system is sufficient to satisfy the check is being requested. The C.(3) or C.(4) above, as applicable, the requirements of 10 CFR 73.22. fingerprint card will be used to satisfy NRC staff will determine within 10 days Alternatively, recipients may opt to the requirements of 10 CFR part 2, of receipt of the request whether: view SGI at an approved SGI storage subpart C, 10 CFR 73.22(b)(1), and (1) There is a reasonable basis to location rather than establish their own Section 149 of the Atomic Energy Act of believe the petitioner is likely to SGI protection program to meet SGI 1954, as amended, which mandates that establish standing to participate in this protection requirements. all persons with access to SGI must be NRC proceeding; and I. Filing of Contentions. Any contentions in these proceedings that fingerprinted for an Federal Bureau of (2) The requestor has established a are based upon the information received Investigation identification and criminal legitimate need for access to SUNSI or history records check. as a result of the request made for need to know the SGI requested. SUNSI or SGI must be filed by the (d) A check or money order payable F. For requests for access to SUNSI, if 4 requestor no later than 25 days after in the amount of $326.00 to the NRC the NRC staff determines that the for each individual for whom the receipt of (or access to) that information. requestor satisfies both E.(1) and E.(2) However, if more than 25 days remain request for access has been submitted. above, the NRC staff will notify the (e) If the requestor or any between the petitioner’s receipt of (or requestor in writing that access to access to) the information and the individual(s) who will have access to SUNSI has been granted. The written SGI believes they belong to one or more deadline for filing all other contentions notification will contain instructions on (as established in the notice of hearing of the categories of individuals that are how the requestor may obtain copies of exempt from the criminal history or opportunity for hearing), the the requested documents, and any other petitioner may file its SUNSI or SGI records check and background check conditions that may apply to access to requirements in 10 CFR 73.59, the contentions by that later deadline. those documents. These conditions may J. Review of Denials of Access. requestor should also provide a include, but are not limited to, the statement identifying which exemption (1) If the request for access to SUNSI signing of a Non-Disclosure Agreement or SGI is denied by the NRC staff either the requestor is invoking and explaining or Affidavit, or Protective Order setting after a determination on standing and the requestor’s basis for believing that forth terms and conditions to prevent requisite need, or after a determination the exemption applies. While the unauthorized or inadvertent on trustworthiness and reliability, the processing the request, the Office of disclosure of SUNSI by each individual NRC staff shall immediately notify the Administration, Personnel Security who will be granted access to SUNSI.5 requestor in writing, briefly stating the Branch, will make a final determination G. For requests for access to SGI, if the reason or reasons for the denial. whether the claimed exemption applies. NRC staff determines that the requestor (2) Before the Office of Alternatively, the requestor may contact has satisfied both E.(1) and E.(2) above, Administration makes a final adverse the Office of Administration for an the Office of Administration will then determination regarding the evaluation of their exemption status determine, based upon completion of trustworthiness and reliability of the prior to submitting their request. the background check, whether the proposed recipient(s) for access to SGI, Persons who are exempt from the proposed recipient is trustworthy and the Office of Administration, in background check are not required to reliable, as required for access to SGI by accordance with 10 CFR 2.336(f)(1)(iii), complete the SF–85 or Form FD–258; 10 CFR 73.22(b). If the Office of must provide the proposed recipient(s) however, all other requirements for Administration determines that the any records that were considered in the access to SGI, including the need to individual or individuals are trustworthiness and reliability know, are still applicable. trustworthy and reliable, the NRC will determination, including those required Note: Copies of documents and materials promptly notify the requestor in writing. to be provided under 10 CFR required by paragraphs C.(4)(b), (c), and (d) The notification will provide the names 73.57(e)(1), so that the proposed of this Order must be sent to the following of approved individuals as well as the recipient(s) have an opportunity to address: U.S. Nuclear Regulatory conditions under which the SGI will be correct or explain the record. Commission, Office of Administration, Attn: (3) The requestor may challenge the Personnel Security Branch, Mailstop: TWFN– provided. Those conditions may 07D04M, 11555 Rockville Pike, Rockville, include, but are not limited to, the NRC staff’s adverse determination with MD 20852. signing of a Non-Disclosure Agreement respect to access to SUNSI or with or Affidavit, or Protective Order 6 by respect to standing or need to know for These documents and materials SGI by filing a challenge within 5 days should not be included with the request 5 of receipt of that determination with: (a) letter to the Office of the Secretary, but Any motion for Protective Order or draft Non- Disclosure Affidavit or Agreement for SUNSI must The presiding officer designated in this the request letter should state that the be filed with the presiding officer or the Chief proceeding; (b) if no presiding officer forms and fees have been submitted as Administrative Judge if the presiding officer has not has been appointed, the Chief yet been designated, within 30 days of the deadline required. Administrative Judge, or if he or she is D. To avoid delays in processing for the receipt of the written access request. 6 unavailable, another administrative requests for access to SGI, the requestor Any motion for Protective Order or draft Non- Disclosure Agreement or Affidavit for SGI must be judge, or an Administrative Law Judge filed with the presiding officer or the Chief with jurisdiction pursuant to 10 CFR usually should be able to obtain access to the online Administrative Judge if the presiding officer has not form within one business day. yet been designated, within 180 days of the 2.318(a); or (c) if another officer has 4 This fee is subject to change pursuant to the deadline for the receipt of the written access been designated to rule on information DCSA’s adjustable billing rates. request. access issues, with that officer.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00051 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7891
(4) The requestor may challenge the officer has been appointed, the Chief any other reviewing officers) will Office of Administration’s final adverse Administrative Judge, or if he or she is consider and resolve requests for access determination with respect to unavailable, another administrative to SUNSI or SGI, and motions for trustworthiness and reliability for access judge, or an Administrative Law Judge protective orders, in a timely fashion in to SGI by filing a request for review in with jurisdiction pursuant to 10 CFR order to minimize any unnecessary accordance with 10 CFR 2.336(f)(1)(iv). 2.318(a); or (c) if another officer has delays in identifying those petitioners (5) Further appeals of decisions under been designated to rule on information who have standing and who have this paragraph must be made pursuant access issues, with that officer. propounded contentions meeting the to 10 CFR 2.311. If challenges to the NRC staff specificity and basis requirements in 10 K. Review of Grants of Access. A determinations are filed, these CFR part 2. The attachment to this party other than the requestor may procedures give way to the normal challenge an NRC staff determination process for litigating disputes Order summarizes the general target granting access to SUNSI whose release concerning access to information. The schedule for processing and resolving would harm that party’s interest availability of interlocutory review by requests under these procedures. independent of the proceeding. Such a the Commission of orders ruling on It is so ordered. challenge must be filed within 5 days of such NRC staff determinations (whether Dated: January 14, 2021. the notification by the NRC staff of its granting or denying access) is governed grant of access and must be filed with: by 10 CFR 2.311.7 For the Nuclear Regulatory Commission. (a) The presiding officer designated in L. The Commission expects that the Annette L. Vietti-Cook, this proceeding; (b) if no presiding NRC staff and presiding officers (and Secretary of the Commission.
ATTACHMENT 1—GENERAL TARGET SCHEDULE FOR PROCESSING AND RESOLVING REQUESTS FOR ACCESS TO SENSITIVE UNCLASSIFIED NON-SAFEGUARDS INFORMATION AND SAFEGUARDS INFORMATION IN THIS PROCEEDING
Day Event/Activity
0 ...... Publication of Federal Register notice of hearing and opportunity to petition for leave to intervene, including order with in- structions for access requests. 10 ...... Deadline for submitting requests for access to Sensitive Unclassified Non Safeguards Information (SUNSI) and/or Safeguards Information (SGI) with information: Supporting the standing of a potential party identified by name and address; describing the need for the information in order for the potential party to participate meaningfully in an adjudicatory proceeding; dem- onstrating that access should be granted (e.g., showing technical competence for access to SGI); and, for SGI, including application fee for fingerprint/background check. 60 ...... Deadline for submitting petition for intervention containing: (i) Demonstration of standing; (ii) all contentions whose formulation does not require access to SUNSI and/or SGI (+25 Answers to petition for intervention; +7 requestor/petitioner reply). 20 ...... U.S. Nuclear Regulatory Commission (NRC) staff informs the requestor of the staff’s determination whether the request for access provides a reasonable basis to believe standing can be established and shows (1) need for SUNSI or (2) need to know for SGI. (For SUNSI, NRC staff also informs any party to the proceeding whose interest independent of the pro- ceeding would be harmed by the release of the information.) If NRC staff makes the finding of need for SUNSI and likeli- hood of standing, NRC staff begins document processing (preparation of redactions or review of redacted documents). If NRC staff makes the finding of need to know for SGI and likelihood of standing, NRC staff begins background check (in- cluding fingerprinting for a criminal history records check), information processing (preparation of redactions or review of re- dacted documents), and readiness inspections. 25 ...... If NRC staff finds no ‘‘need,’’ no ‘‘need to know,’’ or no likelihood of standing, the deadline for requestor/petitioner to file a motion seeking a ruling to reverse the NRC staff’s denial of access; NRC staff files copy of access determination with the presiding officer (or Chief Administrative Judge or other designated officer, as appropriate). If NRC staff finds ‘‘need’’ for SUNSI, the deadline for any party to the proceeding whose interest independent of the proceeding would be harmed by the release of the information to file a motion seeking a ruling to reverse the NRC staff’s grant of access. 30 ...... Deadline for NRC staff reply to motions to reverse NRC staff determination(s). 40 ...... (Receipt +30) If NRC staff finds standing and need for SUNSI, deadline for NRC staff to complete information processing and file motion for Protective Order and draft Non-Disclosure Affidavit. Deadline for applicant/licensee to file Non-Disclosure Agreement for SUNSI. 190 ...... (Receipt +180) If NRC staff finds standing, need to know for SGI, and trustworthiness and reliability, deadline for NRC staff to file motion for Protective Order and draft Non-disclosure Affidavit (or to make a determination that the proposed recipient of SGI is not trustworthy or reliable). Note: Before the Office of Administration makes a final adverse determination regarding access to SGI, the proposed recipient must be provided an opportunity to correct or explain information. 205 ...... Deadline for petitioner to seek reversal of a final adverse NRC staff trustworthiness or reliability determination under 10 CFR 2.336(f)(1)(iv). A ...... If access granted: Issuance of a decision by a presiding officer or other designated officer on motion for protective order for access to sensitive information (including schedule for providing access and submission of contentions) or decision revers- ing a final adverse determination by the NRC staff. A + 3 ...... Deadline for filing executed Non-Disclosure Affidavits. Access provided to SUNSI and/or SGI consistent with decision issuing the protective order. A + 28 ...... Deadline for submission of contentions whose development depends upon access to SUNSI and/or SGI. However, if more than 25 days remain between the petitioner’s receipt of (or access to) the information and the deadline for filing all other contentions (as established in the notice of opportunity to request a hearing and petition for leave to intervene), the peti- tioner may file its SUNSI or SGI contentions by that later deadline. A + 53 ...... (Contention receipt +25) Answers to contentions whose development depends upon access to SUNSI and/or SGI. A + 60 ...... (Answer receipt +7) Petitioner/Intervenor reply to answers.
7 Requestors should note that the filing 46562; August 3, 2012) apply to appeals of NRC applicable), but not to the initial SUNSI/SGI request requirements of the NRC’s E-Filing Rule (72 FR staff determinations (because they must be served submitted to the NRC staff under these procedures. 49139; August 28, 2007, as amended at 77 FR on a presiding officer or the Commission, as
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00052 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7892 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
ATTACHMENT 1—GENERAL TARGET SCHEDULE FOR PROCESSING AND RESOLVING REQUESTS FOR ACCESS TO SENSITIVE UNCLASSIFIED NON-SAFEGUARDS INFORMATION AND SAFEGUARDS INFORMATION IN THIS PROCEEDING—Continued
Day Event/Activity
>A + 60 ...... Decision on contention admission.
[FR Doc. 2021–01310 Filed 2–1–21; 8:45 am] This individual is appointed based on not Federal employees are compensated BILLING CODE 7590–01–P his or her educational background, for their service. In addition, members certification(s), professional experience, are reimbursed for travel (including per involvement and/or leadership in diem in lieu of subsistence) and are NUCLEAR REGULATORY professional societies or organizations, reimbursed secretarial and COMMISSION and other information obtained in correspondence expenses. Full-time letters or during the selection process. Federal employees are reimbursed for Advisory Committee on the Medical The ACMUI advises the NRC on travel expenses only. Uses of Isotopes: Call for Nominations policy and technical issues that arise in Security Background Check: The AGENCY: U.S. Nuclear Regulatory the regulation of the medical use of selected nominee will undergo a Commission. byproduct material. Responsibilities thorough security background check. Security paperwork may take the ACTION: Call for nominations. include providing comments on changes to the NRC regulations and guidance; nominee several weeks to complete. SUMMARY: The U.S. Nuclear Regulatory evaluating certain non-routine uses of Nominees will also be required to Commission (NRC) is soliciting byproduct material; providing technical complete a financial disclosure nominations for the Health Care assistance in licensing, inspection, and statement to avoid conflicts of interest. Administrator position on the Advisory enforcement cases; and bringing key Dated at Rockville, Maryland this 27th day Committee of the Medical Uses of issues to the attention of the NRC staff, of January, 2021. Isotopes (ACMUI). Health Care for appropriate action. For the U.S. Nuclear Regulatory Administrator nominees should have ACMUI members are selected based Commission. professional experience with and/or on their educational background, Russell E. Chazell, extensive knowledge about health care certification(s), work experience, Federal Advisory Committee Management administration. Involvement and involvement and/or leadership in Officer. leadership in professional societies or professional society activities, and other [FR Doc. 2021–02112 Filed 2–1–21; 8:45 am] organizations is preferred. information obtained from BILLING CODE 7590–01–P DATES: Nominations are due on or recommendation letters or during the before April 5, 2021. selection process. Nominees should ADDRESSES: Nomination Process: have the demonstrated ability to SECURITIES AND EXCHANGE Submit an electronic copy of resume or establish effective work relationships COMMISSION curriculum vitae, along with a cover with peers and implement successful approaches to problem solving and [Investment Company Act Release No. letter, to Ms. Kellee Jamerson, 34182; File No. 812–15099] [email protected]. The cover conflict resolution. ACMUI members currently serve a four-year term and letter should describe the nominee’s Hamilton Lane Private Assets Fund, et may be considered for reappointment to current involvement with health care al. administration and express the a second term. The current ACMUI nominee’s interest in the position. membership is comprised of the January 28, 2021. Please ensure that the resume or following professionals: (a) Nuclear AGENCY: Securities and Exchange curriculum vitae includes the following medicine physician; (b) nuclear Commission (‘‘Commission’’). information, if applicable: Education; cardiologist; (c) nuclear medicine ACTION: Notice. certification(s); professional association physicist; (d) therapy medical physicist; and committee membership activities; (e) radiation safety officer; (f) nuclear Notice of application for an order and number of years, timeframe, and pharmacist; (g) two radiation under sections 17(d) and 57(i) of the type of setting for health care oncologists; (h) patients’ rights Investment Company Act of 1940 (the administration. advocate; (i) Food and Drug ‘‘Act’’) and rule 17d–1 under the Act to Administration representative; (j) permit certain joint transactions FOR FURTHER INFORMATION CONTACT: Ms. Agreement State representative; (k) otherwise prohibited by sections 17(d) Kellee Jamerson, U.S. Nuclear healthcare administrator; and (l) and 57(a)(4) of the Act and rule 17d–1 Regulatory Commission, Office of diagnostic radiologist. For additional under the Act. Applicants request an Nuclear Material Safety and Safeguards; information about membership on the order to permit a closed-end (301) 415–7408; Kellee.Jamerson@ ACMUI, visit the ACMUI Membership management investment company to co- nrc.gov. web page, https://www.nrc.gov/about- invest in portfolio companies with SUPPLEMENTARY INFORMATION: The nrc/regulatory/advisory/acmui/ affiliated investment funds. ACMUI Health Care Administrator membership.html. APPLICANTS: Hamilton Lane Private representative provides advice to the Nominees must be U.S. citizens and Assets Fund (the ‘‘Fund’’), Hamilton NRC staff on a broad perspective of be able to devote up to 160 hours per Lane Advisors, L.L.C. (‘‘Hamilton various interests, to include, patients’ year to ACMUI business. Members are Lane’’), 2020 Tactical Market Fund LP, interests, physicians’ interests, and expected to attend semi-annual Edgewood Partners LP, Fifth Stockholm hospitals’ interests, as they apply to meetings in Rockville, Maryland and to CI SPV L.P., Finance Street AIV Splitter radiation safely, the treatment of participate in teleconferences or virtual L.P., Florida Growth Fund II LLC, Green patients, and NRC’s medical-use policy. meetings, as needed. Members who are Core Fund, L.P., Hamilton Lane Co-
VerDate Sep<11>2014 20:09 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00053 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7893
Investment Fund IV Holdings LP, be issued unless the Commission orders Affiliated Funds 2 to enter into Co- Hamilton Lane Co-Investment Fund IV a hearing. Interested persons may Investment Transactions with each Holdings-2 LP, Hamilton Lane NM Fund request a hearing by emailing the other. ‘‘Co-Investment Transaction’’ I LP, Hamilton Lane Private Equity Commission’s Secretary at Secretarys- means any transaction in which one or Fund X Holdings LP, Hamilton Lane [email protected] and serving applicants more Regulated Funds (or its Wholly- Private Markets Opportunity Fund LP, with a copy of the request, by email. Owned Investment Sub) participated Credit Series, Hamilton Lane Private Hearing requests should be received by together with one or more Affiliated Markets Opportunity Fund LP, Fund-of- the Commission by 5:30 p.m. on Funds and/or one or more other Funds Series, Hamilton Lane Private February 22, 2021, and should be Regulated Funds in reliance on the Markets Opportunity Fund LP, Fund-of- accompanied by proof of service on the Order. ‘‘Potential Co-Investment Funds Series II, Hamilton Lane SMID II applicants, in the form of an affidavit, Transaction’’ means any investment Holdings LP, Hamilton Lane Strategic or for lawyers, a certificate of service. opportunity in which a Regulated Fund Opportunities Fund V (Series 2019) Pursuant to rule 0–5 under the Act, (or its Wholly-Owned Investment Sub) Holdings LP, Hamilton Lane Strategic hearing requests should state the nature could not participate together with one Opportunities Fund VI (Series 2020) of the writer’s interest, any facts bearing or more Affiliated Funds and/or one or Holdings LP, Hamilton Lane Strategic upon the desirability of a hearing on the more other Regulated Funds without Opportunities Fund VI (Series 2020) LP, matter, the reason for the request, and obtaining and relying on the Order.3 the issues contested. Persons who wish Hamilton Lane Venture Capital Series Applicants 2020, Hamilton Lane-Carpenters to be notified of a hearing may request Partnership Fund V L.P., HL notification by emailing the 2. The Fund was organized under the International Investors LP, Series H2, Commission’s Secretary at Secretarys- Delaware Statutory Trust Act and is a HL–HP Global Investments LP, HLSF V [email protected]. closed-end management investment Holdings LP, Nakhoda Lane Fund L.P., ADDRESSES: The Commission: company registered under the Act. The 4 Nakhoda Lane Fund DE SPV LP, SRCS [email protected]. Applicants: Fund’s Board will be comprised of a HL PE 1 (Master) LP, Hamilton Lane/ Attn: General Counsel, hllegal@ majority of members who are 5 NYSCRF Israel Investment Fund L.P., hamiltonlane.com. Independent Trustees. 3. Hamilton Lane, a Pennsylvania HL ENPAM Fund Splitter LP, HL FOR FURTHER INFORMATION CONTACT: limited liability company that is Impact Holdings LP, HL International Kieran G. Brown, Senior Counsel, at registered under the Advisers Act, Investors L.P. Series M, HL International (202) 551–6773 or David J. Marcinkus, serves as the investment adviser to the Investors L.P. Series N, HL International Branch Chief, at (202) 551–6821 Fund. Investors L.P. Series O, HL International (Division of Investment Management, 4. Hamilton Lane also serves as the Investors L.P. Series Q, HL International Chief Counsel’s Office). investment adviser to each of the Investors LP Series I, HL International SUPPLEMENTARY INFORMATION: The Existing Affiliated Funds. Applicants Investors LP, HL Secondary following is a summary of the represent that each Existing Affiliated Opportunities 2018 Series, HL application. The complete application Fund is a separate and distinct legal International Investors LP, Series H1, may be obtained via the Commission’s entity and each would be an investment HL International Investors, L.P. Series P, website by searching for the file company but for section 3(c)(1) or HL Miras Secondary Fund LP, HL number, or for an applicant using the 3(c)(7) of the Act. The Hamilton Lane Pennsylvania Co-Investment Fund, L.P., Company name box, at http:// Proprietary Accounts will hold various HL Private Assets Holdings LP, HL/AS www.sec.gov/search/search.htm or by financial assets in a principal capacity. Global Coinvest LP, HLSF IV Holdings calling (202) 551–8090. Hamilton Lane and its affiliates may LP, Hudson River Co-Investment Fund Introduction III L.P., Innovation Lane LP, Jati Private 2 ‘‘Affiliated Fund’’ means the Existing Affiliated Equity Fund III L.P., KPI-Hamilton Lane 1. The Applicants request an order of Funds, any Future Affiliated Fund or any Hamilton Multi-Strategy Fund I Master LP, KPS- the Commission under sections 17(d) Lane Proprietary Account. ‘‘Existing Affiliated Hamilton Lane Multi-Strategy Fund I Funds’’ means the investment vehicles identified in and 57(i) and rule 17d–1 thereunder Schedule A of the application. ‘‘Future Affiliated Master LP, Libra Taurus PE Fund Master (the ‘‘Order’’) to permit, subject to the Fund’’ means any entity (a) whose investment LP, Moran Real Asset Fund II, L.P., New terms and conditions set forth in the adviser is an Adviser; (b) that would be an York Credit Co-Investment Fund II LP, application (the ‘‘Conditions’’), a investment company but for section 3(c)(1), 1 3(c)(5)(C) or 3(c)(7) of the Act; and (c) that intends New York Credit SBIC Fund L.P., RAPM Regulated Fund and one or more other to participate in the co-investment program. NM Secondary Opportunity Fund, L.P., Regulated Funds and/or one or more ‘‘Hamilton Lane Proprietary Account’’ means any SRE HL PE 1 (Master) LP, SREH HL PE account of an Adviser or its affiliates or any 1 (Master) LP, SRZ HL PE 1 (Master) LP, 1 ‘‘Regulated Funds’’ means the Fund and any company that is a direct or indirect, wholly- or Future Regulated Funds. ‘‘Future Regulated Fund’’ majority-owned subsidiary of the Adviser or its Tarragon Master Fund LP, Utah Real affiliates, which, from time to time, may hold Assets Portfolio, LP, Hamilton Lane means a closed-end management investment company (a) that is registered under the Act or has various financial assets in a principal capacity. Secondary Fund V International Series elected to be regulated as a business development 3 All existing entities that currently intend to rely Fund LP, Series 2, Hamilton Lane company (‘‘BDC’’); (b) whose investment adviser is on the Order have been named as applicants and Infrastructure Fund Holdings LP, an Adviser; and (c) that intends to participate in the any existing or future entities that may rely on the Order in the future will comply with the terms and Hamilton Lane Infrastructure Fund co-investment program. ‘‘Adviser’’ means Hamilton Lane and any other investment adviser that is (i) conditions of the application. Holdings-2 LP, Hamilton Lane Equity controlling, under common control with, or 4 ‘‘Board’’ means the board of trustees (or the Opportunities Fund V Holding LP, and controlled by Hamilton Lane, (ii) registered as an equivalent) of a Regulated Fund. Hamilton Lane Equity Opportunities investment adviser under the Investment Advisers 5 ‘‘Independent Trustee’’ means a member of the Fund V Holding-2 LP. Act of 1940 (the ‘‘Advisers Act’’), and (iii) not a Board of any relevant entity who is not an Regulated Fund or a subsidiary of a Regulated ‘‘interested person’’ as defined in section 2(a)(19) of FILING DATES: The application was filed Fund. Section 2(a)(48) defines a BDC to be any the Act. No Independent Trustee of a Regulated on February 25, 2020, and amended on closed-end investment company that operates for Fund will have a direct or indirect financial interest July 13, 2020 and October 16, 2020. the purpose of making investments in securities in any Co-Investment Transaction or any interest in described in section 55(a)(1) through 55(a)(3) and any portfolio company, other than indirectly HEARING OR NOTIFICATION OF HEARING: An makes available significant managerial assistance through share ownership in one of the Regulated order granting the requested relief will with respect to the issuers of such securities. Funds.
VerDate Sep<11>2014 20:09 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00054 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7894 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
operate through wholly- or majority- reasonably designed to ensure that the an internal investment committee which owned subsidiaries. Currently, there are additional transactions permitted under the Adviser will establish to handle the no Hamilton Lane Proprietary Accounts the Order will both (i) be fair and allocation of investment opportunities or subsidiaries that exist and currently equitable to the Regulated Funds and in Potential Co-Investment intend to participate in the co- Affiliated Funds and (ii) comply with Transactions. Applicants state further investment program. the Conditions. In particular, consistent that, at this stage, each proposed order 5. Applicants state that a Regulated with Condition 1, if a Potential Co- amount may be reviewed and adjusted, Fund may, from time to time, form one Investment Transaction falls within the in accordance with the Advisers’ or more Wholly-Owned Investment then-current Objectives and Strategies 7 written allocation policies and Subs.6 Such a subsidiary may be and any Board-Established Criteria 8 of a procedures, by the Adviser’s investment prohibited from investing in a Co- Regulated Fund, the policies and committee.9 The order of a Regulated Investment Transaction with a procedures will require that the Adviser Fund or Affiliated Fund resulting from Regulated Fund (other than its parent) to such Regulated Fund receives this process is referred to as its ‘‘Internal or any Affiliated Fund because it would sufficient information to allow such Order.’’ The Internal Order will be be a company controlled by its parent Adviser’s investment committee to submitted for approval by the Required Regulated Fund for purposes of section make its independent determination Majority of any participating Regulated 57(a)(4) and rule 17d–1. Applicants and recommendations under the Funds in accordance with the request that each Wholly-Owned Conditions. Conditions.10 Investment Sub be permitted to 8. The Adviser to each applicable 10. If the aggregate Internal Orders for participate in Co-Investment Regulated Fund will then make an a Potential Co-Investment Transaction Transactions in lieu of the Regulated independent determination of the do not exceed the size of the investment Fund that owns it and that the Wholly- appropriateness of the investment for opportunity immediately prior to the Owned Investment Sub’s participation the Regulated Fund in light of the submission of the orders to the in any such transaction be treated, for Regulated Fund’s then-current underwriter, broker, dealer or issuer, as purposes of the Order, as though the circumstances. If the Adviser to a applicable (the ‘‘External Submission’’), parent Regulated Fund were Regulated Fund deems the Regulated then each Internal Order will be participating directly. Fund’s participation in such Potential fulfilled as placed. If, on the other hand, Co-Investment Transaction to be the aggregate Internal Orders for a Applicants’ Representations appropriate, then it will formulate a Potential Co-Investment Transaction A. Allocation Process recommendation regarding the proposed exceed the size of the investment order amount for the Regulated Fund. opportunity immediately prior to the 6. Applicants state that the Advisers 9. Applicants state that, for each External Submission, then the allocation are presented with a substantial number Regulated Fund and Affiliated Fund of the opportunity will be made pro rata of investment opportunities each year whose Adviser recommends on the basis of the size of the Internal on behalf of their clients, and that the participating in a Potential Co- Orders.11 Advisers must determine how to If, subsequent to such External Investment Transaction, the Adviser Submission, the size of the opportunity allocate those opportunities in a manner will submit a proposed order amount to that, over time, is fair and equitable to is increased or decreased, or if the terms of such opportunity, or the facts and all of their clients. Such investment 7 ‘‘Objectives and Strategies’’ means with respect circumstances applicable to the opportunities may be Potential Co- to any Regulated Fund, its investment objectives Investment Transactions. and strategies, as described in its most current Regulated Funds’ or the Affiliated 7. Applicants represent that the registration statement on Form N–2, other current Funds’ consideration of the opportunity, filings with the Commission under the Securities Adviser has established processes for change, the participants will be Act of 1933 (the ‘‘Securities Act’’) or under the permitted to submit revised Internal allocating initial investment Securities Exchange Act of 1934, as amended, and opportunities, opportunities for its most current report to stockholders. Orders in accordance with written subsequent investment in an issuer and 8 ‘‘Board-Established Criteria’’ means criteria that allocation policies and procedures that dispositions of securities holdings the Board of a Regulated Fund may establish from the Advisers will establish, implement time to time to describe the characteristics of and maintain. The Board of the reasonably designed to treat all clients Potential Co-Investment Transactions regarding fairly and equitably. Further, Applicants which the Adviser to the Regulated Fund should be 9 represent that these processes will be notified under Condition 1. The Board-Established The reason for any such adjustment to a Criteria will be consistent with the Regulated proposed order amount will be documented in extended and modified in a manner Fund’s Objectives and Strategies. If no Board- writing and preserved in the records of the Established Criteria are in effect, then the Regulated Advisers. 6 ‘‘Wholly-Owned Investment Sub’’ means an Fund’s Adviser will be notified of all Potential Co- 10 ‘‘Required Majority’’ means a required entity (i) that is wholly-owned by a Regulated Fund Investment Transactions that fall within the majority, as defined in section 57(o) of the Act. In (with such Regulated Fund at all times holding, Regulated Fund’s then-current Objectives and the case of a Regulated Fund that is a registered beneficially and of record, 100% of the voting and Strategies. Board-Established Criteria will be closed-end fund, the Board members that make up economic interests); (ii) whose sole business objective and testable, meaning that they will be the Required Majority will be determined as if the purpose is to hold one or more investments on based on observable information, such as industry/ Regulated Fund were a BDC subject to section 57(o). behalf of such Regulated Fund (and, in the case of sector of the issuer, minimum EBITDA of the issuer, 11 Each Adviser will maintain records of all a SBIC Subsidiary (defined below), maintain a asset class of the investment opportunity or proposed order amounts, Internal Orders and license under the SBA Act (defined below) and required commitment size, and not on External Submissions in conjunction with Potential issue debentures guaranteed by the SBA (defined characteristics that involve a discretionary Co-Investment Transactions. Each applicable below)); (iii) with respect to which such Regulated assessment. The Adviser to the Regulated Fund may Adviser will provide the Eligible Trustees with Fund’s Board has the sole authority to make all from time to time recommend criteria for the information concerning the Affiliated Fund’s and determinations with respect to the entity’s Board’s consideration, but Board-Established Regulated Funds’ order sizes to assist the Eligible participation under the Conditions; and (iv) that Criteria will only become effective if approved by Trustees with their review of the applicable would be an investment company but for section a majority of the Independent Trustees. The Regulated Fund’s investments for compliance with 3(c)(1) or 3(c)(7) of the Act. ‘‘SBIC Subsidiary’’ Independent Trustees of a Regulated Fund may at the Conditions. ‘‘Eligible Trustees’’ means, with means a Wholly-Owned Investment Sub that is any time rescind, suspend or qualify its approval respect to a Regulated Fund and a Potential Co- licensed by the Small Business Administration (the of any Board-Established Criteria, though applicants Investment Transaction, the members of the ‘‘SBA’’) to operate under the Small Business anticipate that, under normal circumstances, the Regulated Fund’s Board eligible to vote on that Investment Act of 1958, as amended, (the ‘‘SBA Board would not modify these criteria more often Potential Co-Investment Transaction under section Act’’) as a small business investment company. than quarterly. 57(o) of the Act.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00055 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7895
Regulated Fund will then either approve Follow-On Investment 14 or (ii) a Non- 15. A Regulated Fund may participate or disapprove of the investment Negotiated Follow-On Investment.15 in a Standard Review Disposition either opportunity in accordance with Applicants believe that these Pro Rata with the approval of the Required condition 2, 6, 7, 8 or 9, as applicable. and Non-Negotiated Follow-On Majority under Condition 6(d) or Investments do not present a significant without Board approval under B. Follow-On Investments opportunity for overreaching on the part Condition 6(c) if (i) the Disposition is a of any Adviser and thus do not warrant Pro Rata Disposition 18 or (ii) the 11. Applicants state that from time to 19 time the Regulated Funds and Affiliated the time or the attention of the Board. securities are Tradable Securities and Funds may have opportunities to make Pro Rata Follow-On Investments and the Disposition meets the other Non-Negotiated Follow-On Investments requirements of Condition 6(c)(ii). Pro Follow-On Investments 12 in an issuer in remain subject to the Board’s periodic Rata Dispositions and Dispositions of a which a Regulated Fund and one or review in accordance with Condition Tradable Security remain subject to the more other Regulated Funds and/or 10. Board’s periodic review in accordance Affiliated Funds previously have with Condition 10. invested. C. Dispositions 12. Applicants propose that Follow- 14. Applicants propose that D. Delayed Settlement On Investments would be divided into Dispositions 16 would be divided into 16. Applicants represent that under two categories depending on whether two categories. If the Regulated Funds the terms and Conditions of the the prior investment was a Co- and the Affiliated Funds holding application, all Regulated Funds and Investment Transaction or a Pre- investments in the issuer had previously Affiliated Funds participating in a Co- Boarding Investment.13 If the Regulated participated in a Co-Investment Investment Transaction will invest at Funds and Affiliated Funds had Transaction with respect to the issuer, the same time, for the same price and previously participated in a Co- then the terms and approval of the with the same terms, conditions, class, Investment Transaction with respect to Disposition would be subject to the registration rights and any other rights, the issuer, then the terms and approval Standard Review Dispositions described so that none of them receives terms of the Follow-On Investment would be in Condition 6. If the Regulated Funds more favorable than any other. subject to the Standard Review Follow- and Affiliated Funds have not However, the settlement date for an Ons described in Condition 8. If the previously participated in a Co- Affiliated Fund in a Co-Investment Regulated Funds and Affiliated Funds Investment Transaction with respect to Transaction may occur up to ten have not previously participated in a the issuer but hold a Pre-Boarding business days after the settlement date Co-Investment Transaction with respect Investment, then the terms and approval for the Regulated Fund, and vice versa. to the issuer but hold a Pre-Boarding of the Disposition would be subject to Investment, then the terms and approval the Enhanced Review Dispositions Regulated Fund may complete its first Standard described in Condition 7. Subsequent Review Follow-On in such issuer, the Eligible of the Follow-On Investment would be Trustees must review the proposed Follow-On subject to the Enhanced-Review Follow- Dispositions with respect to the same Investment not only on a stand-alone basis but also Ons described in Condition 9. All issuer would be governed by Condition in relation to the total economic exposure in such Enhanced Review Follow-Ons require 6 under the Standard Review issuer (i.e., in combination with the portion of the Dispositions.17 Pre-Boarding Investment not disposed of in the the approval of the Required Majority. Enhanced Review Disposition), and the other terms For a given issuer, the participating of the investments. This additional review would be Regulated Funds and Affiliated Funds 14 A ‘‘Pro Rata Follow-On Investment’’ is a required because such findings would not have would need to comply with the Follow-On Investment (i) in which the participation been required in connection with the prior of each Affiliated Fund and each Regulated Fund Enhanced Review Disposition, but they would have requirements of Enhanced-Review is proportionate to its outstanding investments in been required had the first Co-Investment Follow-Ons only for the first Co- the issuer or security, as appropriate, immediately Transaction been an Enhanced Review Follow-On. Investment Transaction. Subsequent Co- preceding the Follow-On Investment, and (ii) in the 18 A ‘‘Pro Rata Disposition’’ is a Disposition (i) in case of a Regulated Fund, a majority of the Board Investment Transactions with respect to which the participation of each Affiliated Fund and has approved the Regulated Fund’s participation in each Regulated Fund is proportionate to its the issuer would be governed by the the pro rata Follow-On Investments as being in the outstanding investment in the security subject to requirements of Standard Review best interests of the Regulated Fund. The Regulated Disposition immediately preceding the Disposition; Follow-Ons. Fund’s Board may refuse to approve, or at any time and (ii) in the case of a Regulated Fund, a majority rescind, suspend or qualify, its approval of Pro Rata of the Board has approved the Regulated Fund’s 13. A Regulated Fund would be Follow-On Investments, in which case all participation in pro rata Dispositions as being in the permitted to invest in Standard Review subsequent Follow-On Investments will be best interests of the Regulated Fund. The Regulated submitted to the Regulated Fund’s Eligible Trustees Follow-Ons either with the approval of Fund’s Board may refuse to approve, or at any time in accordance with Condition 8(c). rescind, suspend or qualify, its approval of Pro Rata the Required Majority under Condition 15 A ‘‘Non-Negotiated Follow-On Investment’’ is a Dispositions, in which case all subsequent 8(c) or without Board approval under Follow-On Investment in which a Regulated Fund Dispositions will be submitted to the Regulated Condition 8(b) if it is (i) a Pro Rata participates together with one or more Affiliated Fund’s Eligible Trustees. Funds and/or one or more other Regulated Funds 19 ‘‘Tradable Security’’ means a security that (i) in which the only term negotiated by or on behalf meets the following criteria at the time of 12 ‘‘Follow-On Investment’’ means an additional of the funds is price and (ii) with respect to which, Disposition: (i) It trades on a national securities investment in the same issuer, including, but not if the transaction were considered on its own, the exchange or designated offshore securities market limited to, through the exercise of warrants, funds would be entitled to rely on one of the JT No- as defined in rule 902(b) under the Securities Act; conversion privileges or other rights to purchase Action Letters. ‘‘JT No-Action Letters’’ means SMC (ii) it is not subject to restrictive agreements with securities of the issuer. Capital, Inc., SEC No-Action Letter (pub. avail. the issuer or other security holders; and (iii) it 13 ‘‘Pre-Boarding Investments’’ are investments in Sept. 5, 1995) and Massachusetts Mutual Life trades with sufficient volume and liquidity an issuer held by a Regulated Fund as well as one Insurance Company, SEC No-Action Letter (pub. (findings as to which are documented by the or more Affiliated Funds and/or one or more other avail. June 7, 2000). Advisers to any Regulated Funds holding Regulated Funds that were acquired prior to 16 ‘‘Disposition’’ means the sale, exchange or investments in the issuer and retained for the life participating in any Co-Investment Transaction in other disposition of an interest in a security of an of the Regulated Fund) to allow each Regulated transactions: (i) In which the only term negotiated issuer. Fund to dispose of its entire position remaining by or on behalf of such funds was price in reliance 17 However, with respect to an issuer, if a after the proposed Disposition within a short period on one of the JT No-Action Letters (defined below); Regulated Fund’s first Co-Investment Transaction is of time not exceeding 30 days at approximately the or (ii) occurring at least 90 days apart and without an Enhanced Review Disposition, and the Regulated value (as defined by section 2(a)(41) of the Act) at coordination between the Regulated Fund and any Fund does not dispose of its entire position in the which the Regulated Fund has valued the Affiliated Fund or other Regulated Fund. Enhanced Review Disposition, then before such investment.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00056 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7896 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
Nevertheless, in all cases, (i) the date on 3. Co-Investment Transactions are or less advantageous than that of other which the commitment of the Affiliated prohibited by either or both of rule 17d– participants. Funds and Regulated Funds is made 1 and section 57(a)(4) without a prior 6. Applicants state that in the absence will be the same even where the exemptive order of the Commission to of the requested relief, in many settlement date is not and (ii) the the extent that the Affiliated Funds and circumstances the Regulated Funds earliest settlement date and the latest the Regulated Funds participating in would be limited in their ability to settlement date of any Affiliated Fund such transactions fall within the participate in attractive and appropriate or Regulated Fund participating in the category of persons described by rule investment opportunities. Applicants transaction will occur within ten 17d–1 and/or section 57(b), as state that, as required by rule 17d–1(b), business days of each other. applicable, vis-a`-vis each participating the Conditions ensure that the terms on Regulated Fund. Each of the which Co-Investment Transactions may E. Holders participating Regulated Funds and be made will be consistent with the 17. Under Condition 15, if an Adviser, Affiliated Funds may be deemed to be participation of the Regulated Funds its principals, or any person controlling, affiliated persons vis-a`-vis a Regulated being on a basis that it is neither controlled by, or under common control Fund within the meaning of section different from nor less advantageous with the Adviser or its principals, and 2(a)(3) by reason of common control than other participants, thus protecting the Affiliated Funds (collectively, the because (i) Hamilton Lane manages, and the equity holders of any participant ‘‘Holders’’) own in the aggregate more may be deemed to control, the Existing from being disadvantaged. Applicants than 25 percent of the outstanding Affiliated Funds and any other further state that the Conditions ensure voting shares of a Regulated Fund (the Affiliated Fund will be managed by, and that all Co-Investment Transactions are ‘‘Shares’’), then the Holders will vote may be deemed to be controlled by, an reasonable and fair to the Regulated such Shares in the same percentages as Adviser to Affiliated Funds; (ii) Funds and their shareholders and do the Regulated Fund’s other shareholders Hamilton Lane is the investment adviser not involve overreaching by any person (not including the Holders) when voting to, and may be deemed to control, the concerned, including the Advisers. on matters specified in the Condition. Fund and an Adviser to the Regulated Applicants state that the Regulated Applicants believe that this Condition Funds will be the investment adviser to, Funds’ participation in the Co- will ensure that the Independent and may be deemed to control, any Investment Transactions in accordance Trustees will act independently in Future Regulated Fund; and (iii) the with the Conditions will be consistent evaluating Co-Investment Transactions, Advisers to Affiliated Funds and the with the provisions, policies, and because the ability of the Adviser or its Advisers to Regulated Funds are under purposes of the Act and would be done principals to influence the Independent common control. Thus, each of the in a manner that is not different from, Trustees by a suggestion, explicit or Affiliated Funds could be deemed to be or less advantageous than, that of other implied, that the Independent Trustees a person related to the Regulated Funds participants. can be removed will be limited in a manner described by section 57(b) significantly. and related to the other Regulated Applicants’ Conditions Applicants’ Legal Analysis Funds in a manner described by rule Applicants agree that the Order will 17d–1; and therefore the prohibitions of be subject to the following conditions: 1. Section 17(d) of the Act and rule rule 17d–1 and section 57(a)(4) would 17d–1 under the Act prohibit apply respectively to prohibit the 1. Identification and Referral of participation by a registered investment Affiliated Funds from participating in Potential Co-Investment Transactions company and an affiliated person in any Co-Investment Transactions with the (a) The Advisers will establish, ‘‘joint enterprise or other joint Regulated Funds. maintain and implement policies and arrangement or profit-sharing plan,’’ as 4. Because the Hamilton Lane procedures reasonably designed to defined in the rule, without prior Proprietary Accounts are controlled by ensure that each Adviser is promptly approval by the Commission by order the Adviser or its affiliates and, notified of all Potential Co-Investment upon application. Section 17(d) of the therefore, may be under common Transactions that fall within the then- Act and rule 17d–1 under the Act are control with the Fund, any future current Objectives and Strategies and applicable to Regulated Funds that are Advisers, and any Future Regulated Board-Established Criteria of any registered closed-end investment Funds, the Hamilton Lane Proprietary Regulated Fund the Adviser manages. companies. Accounts could be deemed to be (b) When an Adviser to a Regulated 2. Similarly, with regard to BDCs, persons related to the Regulated Funds Fund is notified of a Potential Co- section 57(a)(4) of the Act generally (or a company controlled by the Investment Transaction under prohibits certain persons specified in Regulated Funds) in a manner described Condition 1(a), the Adviser will make section 57(b) from participating in joint by section 57(b) and also prohibited an independent determination of the transactions with the BDC or a company from participating in the co-investment appropriateness of the investment for controlled by the BDC in contravention program. Each Regulated Fund would the Regulated Fund in light of the of rules as prescribed by the also be related to each other Regulated Regulated Fund’s then-current Commission. Section 57(i) of the Act Fund in a manner described by section circumstances. provides that, until the Commission 57(b) or rule 17d–1, as applicable, and prescribes rules under section 57(a)(4), thus prohibited from participating in 2. Board Approvals of Co-Investment the Commission’s rules under section Co-Investment Transactions with each Transactions 17(d) of the Act applicable to registered other. (a) If an Adviser deems a Regulated closed-end investment companies will 5. In passing upon applications under Fund’s participation in any Potential be deemed to apply to transactions rule 17d–1, the Commission considers Co-Investment Transaction to be subject to section 57(a)(4). Because the whether a company’s participation in appropriate for the Regulated Fund, it Commission has not adopted any rules the joint transaction is consistent with will then determine an appropriate level under section 57(a)(4), rule 17d–1 also the provisions, policies, and purposes of of investment for the Regulated Fund. applies to joint transactions with the Act and the extent to which such (b) If the aggregate amount Regulated Funds that are BDCs. participation is on a basis different from recommended by the Advisers to be
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00057 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7897
invested in the Potential Co-Investment settlement date for the Regulated Fund other compensation described in Transaction by the participating by no more than ten business days, in Condition 2(c)(iii)(B)(z). Regulated Funds and any participating either case, so long as: (x) The date on 3. Right to Decline. Each Regulated Affiliated Funds, collectively, exceeds which the commitment of the Affiliated Fund has the right to decline to the amount of the investment Fund and Regulated Funds is made is participate in any Potential Co- opportunity, the investment opportunity the same; and (y) the earliest settlement Investment Transaction or to invest less will be allocated among them pro rata date and the latest settlement date of than the amount proposed. based on the size of the Internal Orders, any Affiliated Fund or Regulated Fund 4. General Limitation. Except for as described in Section III.A.1.b. of the participating in the transaction will Follow-On Investments made in application. Each Adviser to a occur within ten business days of each accordance with Conditions 8 and 9 participating Regulated Fund will other; or below,21 a Regulated Fund will not promptly notify and provide the Eligible (B) any other Regulated Fund or invest in reliance on the Order in any Trustees with information concerning Affiliated Fund, but not the Regulated issuer in which a Related Party has an the Affiliated Funds’ and Regulated Fund itself, gains the right to nominate investment.22 Funds’ order sizes to assist the Eligible a director for election to a portfolio 5. Same Terms and Conditions. A Trustees with their review of the company’s board of directors, the right Regulated Fund will not participate in applicable Regulated Fund’s to have a board observer or any similar any Potential Co-Investment investments for compliance with these right to participate in the governance or Transaction unless (i) the terms, Conditions. management of the portfolio company conditions, price, class of securities to (c) After making the determinations so long as: (x) The Eligible Trustees will be purchased, date on which the required in Condition 1(b) above, each have the right to ratify the selection of commitment is entered into and Adviser to a participating Regulated such director or board observer, if any; registration rights (if any) will be the Fund will distribute written information (y) the Adviser agrees to, and does, same for each participating Regulated concerning the Potential Co-Investment provide periodic reports to the Fund and Affiliated Fund and (ii) the Transaction (including the amount Regulated Fund’s Board with respect to earliest settlement date and the latest proposed to be invested by each the actions of such director or the settlement date of any participating participating Regulated Fund and each information received by such board Regulated Fund or Affiliated Fund will participating Affiliated Fund) to the observer or obtained through the occur as close in time as practicable and Eligible Trustees of its participating exercise of any similar right to in no event more than ten business days Regulated Fund(s) for their participate in the governance or apart. The grant to one or more consideration. A Regulated Fund will management of the portfolio company; Regulated Funds or Affiliated Funds, enter into a Co-Investment Transaction and (z) any fees or other compensation but not the respective Regulated Fund, with one or more other Regulated Funds that any other Regulated Fund or of the right to nominate a director for or the Affiliated Funds only if, prior to Affiliated Fund or any affiliated person election to a portfolio company’s board the Regulated Fund’s participation in of any other Regulated Fund or of directors, the right to have an the Potential Co-Investment Affiliated Fund receives in connection observer on the board of directors or Transaction, a Required Majority with the right of one or more Regulated similar rights to participate in the concludes that: Funds or Affiliated Funds to nominate governance or management of the (i) The terms of the transaction, a director or appoint a board observer or portfolio company will not be including the consideration to be paid, otherwise to participate in the interpreted so as to violate this are reasonable and fair to the Regulated governance or management of the Condition 5, if Condition 2(c)(iii)(B) is Fund and its shareholders and do not portfolio company will be shared met. proportionately among any participating involve overreaching in respect of the 6. Standard Review Dispositions Regulated Fund or its shareholders on Affiliated Funds (who may, in turn, the part of any person concerned; share their portion with their affiliated (a) General. If any Regulated Fund or (ii) the transaction is consistent with: persons) and any participating Affiliated Fund elects to sell, exchange (A) The interests of the Regulated Regulated Fund(s) in accordance with or otherwise dispose of an interest in a Fund’s shareholders; and the amount of each such party’s security and one or more Regulated (B) the Regulated Fund’s then-current investment; and Funds and Affiliated Funds have Objectives and Strategies; (iv) the proposed investment by the previously participated in a Co- (iii) the investment by any other Regulated Fund will not involve Regulated Fund(s) or Affiliated Fund(s) compensation, remuneration or a direct 21 This exception applies only to Follow-On would not disadvantage the Regulated or indirect 20 financial benefit to the Investments by a Regulated Fund in issuers in Fund, and participation by the which that Regulated Fund already holds Advisers, any other Regulated Fund, the investments. Regulated Fund would not be on a basis Affiliated Funds or any affiliated person 22 ‘‘Related Party’’ means (i) any Close Affiliate different from, or less advantageous of any of them (other than the parties to and (ii) in respect of matters as to which any than, that of any other Regulated the Co-Investment Transaction), except Adviser has knowledge, any Remote Affiliate. Fund(s) or Affiliated Fund(s) (A) to the extent permitted by Condition ‘‘Close Affiliate’’ means the Advisers, the Regulated Funds, the Affiliated Funds and any other person participating in the transaction; 14, (B) to the extent permitted by described in section 57(b) (after giving effect to rule provided that the Required Majority section 17(e) or 57(k), as applicable, (C) 57b–1) in respect of any Regulated Fund (treating shall not be prohibited from reaching indirectly, as a result of an interest in any registered investment company or series thereof the conclusions required by this the securities issued by one of the as a BDC for this purpose) except for limited partners included solely by reason of the reference Condition 2(c)(iii) if: parties to the Co-Investment in section 57(b) to section 2(a)(3)(D). ‘‘Remote (A) The settlement date for another Transaction, or (D) in the case of fees or Affiliate’’ means any person described in section Regulated Fund or an Affiliated Fund in 57(e) in respect of any Regulated Fund (treating any a Co-Investment Transaction is later 20 For example, procuring the Regulated Fund’s registered investment company or series thereof as than the settlement date for the investment in a Potential Co-Investment a BDC for this purpose) and any limited partner Transaction to permit an affiliate to complete or holding 5% or more of the relevant limited partner Regulated Fund by no more than ten obtain better terms in a separate transaction would interests that would be a Close Affiliate but for the business days or earlier than the constitute an indirect financial benefit. exclusion in that definition.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00058 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7898 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
Investment Transaction with respect to or otherwise dispose of a Pre-Boarding of completion of the Co-Investment the issuer, then: Investment in a Potential Co-Investment Transaction hold the same security or (i) The Adviser to such Regulated Transaction and the Regulated Funds securities of the issuer. For the purpose Fund or Affiliated Fund 23 will notify and Affiliated Funds have not of determining whether the Regulated each Regulated Fund that holds an previously participated in a Co- Funds and Affiliated Funds hold the investment in the issuer of the proposed Investment Transaction with respect to same security or securities, they may Disposition at the earliest practical time; the issuer: disregard any security held by some but and (i) The Adviser to such Regulated not all of them if, prior to relying on the (ii) the Adviser to each Regulated Fund or Affiliated Fund will notify each Order, the Required Majority is Fund that holds an investment in the Regulated Fund that holds an presented with all information issuer will formulate a recommendation investment in the issuer of the proposed necessary to make a finding, and finds, as to participation by such Regulated Disposition at the earliest practical time; that: (x) Any Regulated Fund’s or Fund in the Disposition. (ii) the Adviser to each Regulated Affiliated Fund’s holding of a different (b) Same Terms and Conditions. Each Fund that holds an investment in the class of securities (including for this Regulated Fund will have the right to issuer will formulate a recommendation purpose a security with a different participate in such Disposition on a as to participation by such Regulated maturity date) is immaterial 25 in proportionate basis, at the same price Fund in the Disposition; and amount, including immaterial relative to and on the same terms and conditions (iii) the Advisers will provide to the the size of the issuer; and (y) the Board as those applicable to the Affiliated Board of each Regulated Fund that records the basis for any such finding in Funds and any other Regulated Fund. holds an investment in the issuer all its minutes. In addition, securities that (c) No Board Approval Required. A information relating to the existing differ only in respect of issuance date, Regulated Fund may participate in such investments in the issuer of the currency, or denominations may be a Disposition without obtaining prior Regulated Funds and Affiliated Fund, treated as the same security; and approval of the Required Majority if: including the terms of such investments (v) No control. The Affiliated Funds, (i)(A) The participation of each and how they were made, that is Regulated Fund and Affiliated Fund in the other Regulated Funds and their necessary for the Required Majority to affiliated persons (within the meaning such Disposition is proportionate to its make the findings required by this then-current holding of the security (or of section 2(a)(3)(C) of the Act), Condition. individually or in the aggregate, do not securities) of the issuer that is (or are) (b) Enhanced Board Approval. The 24 control the issuer of the securities the subject of the Disposition; (B) the Adviser will provide its written Board of the Regulated Fund has (within the meaning of section 2(a)(9) of recommendation as to the Regulated the Act). approved as being in the best interests Fund’s participation to the Eligible of the Regulated Fund the ability to Trustees, and the Regulated Fund will 8. Standard Review Follow-Ons participate in such Dispositions on a pro participate in such Disposition solely to rata basis (as described in greater detail (a) General. If any Regulated Fund or the extent that a Required Majority Affiliated Fund desires to make a in the application); and (C) the Board of determines that: the Regulated Fund is provided on a Follow-On Investment in an issuer and (i) The Disposition complies with the Regulated Funds and Affiliated quarterly basis with a list of all Condition 2(c)(i), (ii), (iii)(A), and (iv); Dispositions made in accordance with Funds holding investments in the issuer and previously participated in a Co- this Condition; or (ii) the making and holding of the Pre- (ii) each security is a Tradable Investment Transaction with respect to Boarding Investments were not the issuer: Security and (A) the Disposition is not prohibited by section 57 or rule 17d–1, to the issuer or any affiliated person of (i) The Adviser to each such as applicable, and records the basis for Regulated Fund or Affiliated Fund will the issuer; and (B) the security is sold the finding in the Board minutes. for cash in a transaction in which the notify each Regulated Fund that holds (c) Additional Requirements. The securities of the portfolio company of only term negotiated by or on behalf of Disposition may only be completed in the participating Regulated Funds and the proposed transaction at the earliest reliance on the Order if: practical time; and Affiliated Funds is price. (i) Same Terms and Conditions. Each (ii) the Adviser to each Regulated (d) Standard Board Approval. In all Regulated Fund has the right to Fund that holds an investment in the other cases, the Adviser will provide its participate in such Disposition on a issuer will formulate a recommendation written recommendation as to the proportionate basis, at the same price as to the proposed participation, Regulated Fund’s participation to the and on the same terms and conditions including the amount of the proposed Eligible Trustees and the Regulated as those applicable to the Affiliated investment, by such Regulated Fund. Fund will participate in such Funds and any other Regulated Fund; Disposition solely to the extent that a (ii) Original Investments. All of the (b) No Board Approval Required. A Required Majority determines that it is Affiliated Funds’ and Regulated Funds’ Regulated Fund may participate in the in the Regulated Fund’s best interests. investments in the issuer are Pre- Follow-On Investment without obtaining prior approval of the Required 7. Enhanced Review Dispositions Boarding Investments; (iii) Advice of counsel. Independent Majority if: (a) General. If any Regulated Fund or counsel to the Board advises that the (i)(A) The proposed participation of Affiliated Fund elects to sell, exchange making and holding of the investments each Regulated Fund and each in the Pre-Boarding Investments were 23 Any Hamilton Lane Proprietary Account that is 25 In determining whether a holding is not advised by an Adviser is itself deemed to be an not prohibited by section 57 (as ‘‘immaterial’’ for purposes of the Order, the Adviser for purposes of Conditions 6(a)(i), 7(a)(i), modified by rule 57b–1) or rule 17d–1, Required Majority will consider whether the nature 8(a)(i), and 9(a)(i). as applicable; and extent of the interest in the transaction or 24 In the case of any Disposition, proportionality (iv) Multiple Classes of Securities. All arrangement is sufficiently small that a reasonable will be measured by each participating Regulated person would not believe that the interest affected Fund’s and Affiliated Fund’s outstanding Regulated Funds and Affiliated Funds the determination of whether to enter into the investment in the security in question immediately that hold Pre-Boarding Investments in transaction or arrangement or the terms of the preceding the Disposition. the issuer immediately before the time transaction or arrangement.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00059 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7899
Affiliated Fund in such investment is described in Section III.A.1.b. of the (c) Additional Requirements. The proportionate to its outstanding application. Follow-On Investment may only be investments in the issuer or the security (e) Other Conditions. The acquisition completed in reliance on the Order if: at issue, as appropriate,26 immediately of Follow-On Investments as permitted (i) Original Investments. All of the preceding the Follow-On Investment; by this Condition will be considered a Affiliated Funds’ and Regulated Funds’ and (B) the Board of the Regulated Fund Co-Investment Transaction for all investments in the issuer are Pre- has approved as being in the best purposes and subject to the other Boarding Investments; interests of the Regulated Fund the Conditions set forth in the application. (ii) Advice of counsel. Independent ability to participate in Follow-On counsel to the Board advises that the Investments on a pro rata basis (as 9. Enhanced Review Follow-Ons making and holding of the investments described in greater detail in the in the Pre-Boarding Investments were (a) General. If any Regulated Fund or not prohibited by section 57 (as application); or Affiliated Fund desires to make a (ii) it is a Non-Negotiated Follow-On modified by rule 57b–1) or rule 17d–1, Follow-On Investment in an issuer that as applicable; Investment. is a Potential Co-Investment Transaction (c) Standard Board Approval. In all (iii) Multiple Classes of Securities. All and the Regulated Funds and any other cases, the Adviser will provide its Regulated Funds and Affiliated Funds Affiliated Funds holding investments in written recommendation as to the that hold Pre-Boarding Investments in the issuer have not previously Regulated Fund’s participation to the the issuer immediately before the time participated in a Co-Investment Eligible Trustees and the Regulated of completion of the Co-Investment Transaction with respect to the issuer: Fund will participate in such Follow-On Transaction hold the same security or Investment solely to the extent that a (i) The Adviser to each such securities of the issuer. For the purpose Required Majority makes the Regulated Fund or Affiliated Fund will of determining whether the Regulated determinations set forth in Condition notify each Regulated Fund that holds Funds and Affiliated Funds hold the 2(c). If the only previous Co-Investment securities of the portfolio company of same security or securities, they may Transaction with respect to the issuer the proposed transaction at the earliest disregard any security held by some but was an Enhanced Review Disposition practical time; not all of them if, prior to relying on the the Eligible Trustees must complete this (ii) the Adviser to each Regulated Order, the Required Majority is review of the proposed Follow-On Fund that holds an investment in the presented with all information Investment both on a stand-alone basis issuer will formulate a recommendation necessary to make a finding, and finds, and together with the Pre-Boarding as to the proposed participation, that: (x) Any Regulated Fund’s or Investments in relation to the total including the amount of the proposed Affiliated Fund’s holding of a different economic exposure and other terms of investment, by such Regulated Fund; class of securities (including for this the investment. and purpose a security with a different maturity date) is immaterial in amount, (d) Allocation. If, with respect to any (iii) the Advisers will provide to the including immaterial relative to the size such Follow-On Investment: Board of each Regulated Fund that of the issuer; and (y) the Board records (i) The amount of the opportunity holds an investment in the issuer all the basis for any such finding in its proposed to be made available to any information relating to the existing minutes. In addition, securities that Regulated Fund is not based on the investments in the issuer of the differ only in respect of issuance date, Regulated Funds’ and the Affiliated Regulated Funds and Affiliated Funds, currency, or denominations may be Funds’ outstanding investments in the including the terms of such investments issuer or the security at issue, as treated as the same security; and and how they were made, that is (iv) No control. The Affiliated Funds, appropriate, immediately preceding the necessary for the Required Majority to Follow-On Investment; and the other Regulated Funds and their make the findings required by this affiliated persons (within the meaning (ii) the aggregate amount Condition. recommended by the Advisers to be of section 2(a)(3)(C) of the Act), (b) Enhanced Board Approval. The invested in the Follow-On Investment individually or in the aggregate, do not Adviser will provide its written by the participating Regulated Funds control the issuer of the securities recommendation as to the Regulated and any participating Affiliated Funds, (within the meaning of section 2(a)(9) of Fund’s participation to the Eligible collectively, exceeds the amount of the the Act). Trustees, and the Regulated Fund will investment opportunity, then the (d) Allocation. If, with respect to any participate in such Follow-On Follow-On Investment opportunity will such Follow-On Investment: Investment solely to the extent that a be allocated among them pro rata based (i) The amount of the opportunity Required Majority reviews the proposed on the size of the Internal Orders, as proposed to be made available to any Follow-On Investment both on a stand- Regulated Fund is not based on the 26 To the extent that a Follow-On Investment alone basis and together with the Pre- Regulated Funds’ and the Affiliated opportunity is in a security or arises in respect of Boarding Investments in relation to the Funds’ outstanding investments in the a security held by the participating Regulated total economic exposure and other issuer or the security at issue, as Funds and any Affiliated Fund, proportionality will terms and makes the determinations set appropriate, immediately preceding the be measured by each participating Regulated Fund’s and Affiliated Fund’s outstanding investment in the forth in Condition 2(c). In addition, the Follow-On Investment; and security in question immediately preceding the Follow-On Investment may only be (ii) the aggregate amount Follow-On Investment using the most recent completed in reliance on the Order if recommended by the Advisers to be available valuation thereof. To the extent that a the Required Majority of each invested in the Follow-On Investment Follow-On Investment opportunity relates to an opportunity to invest in a security that is not in participating Regulated Fund by the participating Regulated Funds respect of any security held by any of the determines that the making and holding and any participating Affiliated Funds, participating Regulated Funds or any Affiliated of the Pre-Boarding Investments were collectively, exceeds the amount of the Fund, proportionality will be measured by each not prohibited by section 57 (as investment opportunity, then the participating Regulated Fund’s and Affiliated Fund’s outstanding investment in the issuer modified by rule 57b–1) or rule 17d–1, Follow-On Investment opportunity will immediately preceding the Follow-On Investment as applicable. The basis for the Board’s be allocated among them pro rata based using the most recent available valuation thereof. findings will be recorded in its minutes. on the size of the Internal Orders, as
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00060 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7900 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
described in Section III.A.1.b. of the existing Co-Investment Transactions is fees or other compensation described in application. in the Regulated Fund’s best interests. Condition 2(c)(iii)(B)(z), (ii) brokerage or (e) Other Conditions. The acquisition 11. Record Keeping. Each Regulated underwriting compensation permitted of Follow-On Investments as permitted Fund will maintain the records required by section 17(e) or 57(k) or (iii) in the by this Condition will be considered a by section 57(f)(3) of the Act as if each case of the Adviser, investment advisory Co-Investment Transaction for all of the Regulated Funds were a BDC and compensation paid in accordance with purposes and subject to the other each of the investments permitted under investment advisory agreements Conditions set forth in the application. these Conditions were approved by the between the applicable Regulated Required Majority under section 57(f). Fund(s) or Affiliated Fund(s) and its 10. Board Reporting, Compliance and 12. Trustee Independence. No Adviser. Annual Re-Approval Independent Trustee of a Regulated 15. Independence. If the Holders own (a) Each Adviser to a Regulated Fund Fund will also be a director, general in the aggregate more than 25 percent of will present to the Board of each partner, managing member or principal, the Shares of a Regulated Fund, then the Regulated Fund, on a quarterly basis, or otherwise be an ‘‘affiliated person’’ Holders will vote such Shares in the and at such other times as the Board (as defined in the Act) of any Affiliated same percentages as the Regulated may request, (i) a record of all Fund. Fund’s other shareholders (not investments in Potential Co-Investment 13. Expenses. The expenses, if any, including the Holders) when voting on Transactions made by any of the other associated with acquiring, holding or (1) the election of directors; (2) the Regulated Funds or any Affiliated disposing of any securities acquired in removal of one or more directors; or (3) Funds during the preceding quarter that a Co-Investment Transaction (including, any other matter under either the Act or fell within the Regulated Fund’s then- without limitation, the expenses of the applicable State law affecting the current Objectives and Strategies and distribution of any such securities Board’s composition, size or manner of Board-Established Criteria that were not registered for sale under the Securities election. made available to the Regulated Fund, Act) will, to the extent not payable by For the Commission, by the Division of and an explanation of why such the Advisers under their respective Investment Management, under delegated investment opportunities were not made advisory agreements with the Regulated authority. available to the Regulated Fund; (ii) a Funds and the Affiliated Funds, be J. Matthew DeLesDernier, record of all Follow-On Investments in shared by the Regulated Funds and any Assistant Secretary. participating Affiliated Funds in and Dispositions of investments in any [FR Doc. 2021–02179 Filed 2–1–21; 8:45 am] issuer in which the Regulated Fund proportion to the relative amounts of the BILLING CODE 8011–01–P holds any investments by any Affiliated securities held or being acquired or Fund or other Regulated Fund during disposed of, as the case may be. 27 the prior quarter; and (iii) all 14. Transaction Fees. Any SECURITIES AND EXCHANGE information concerning Potential Co- transaction fee (including break-up, COMMISSION Investment Transactions and Co- structuring, monitoring or commitment Investment Transactions, including fees but excluding brokerage or underwriting compensation permitted [Release No. SIPA–183; File No. SIPC–2021– investments made by other Regulated 01] Funds or any Affiliated Funds that the by section 17(e) or 57(k)) received in Regulated Fund considered but declined connection with any Co-Investment Securities Investor Protection to participate in, so that the Transaction will be distributed to the Corporation; Determination Independent Trustees, may determine participants on a pro rata basis based on whether all Potential Co-Investment the amounts they invested or AGENCY: Securities and Exchange Transactions and Co-Investment committed, as the case may be, in such Commission. Transactions during the preceding Co-Investment Transaction. If any ACTION: Notice. quarter, including those investments transaction fee is to be held by an that the Regulated Fund considered but Adviser pending consummation of the SUMMARY: Pursuant to Section 3(e)(2) of declined to participate in, comply with transaction, the fee will be deposited the Securities Investor Protection Act of the Conditions. into an account maintained by an 1970 (‘‘SIPA’’), notice is hereby given (b) All information presented to the Adviser at a bank or banks having the that the Board of Directors of SIPC (the Regulated Fund’s Board pursuant to this qualifications prescribed in section ‘‘Board’’) filed with the Securities and Condition will be kept for the life of the 26(a)(1), and the account will earn a Exchange Commission (‘‘Commission’’) Regulated Fund and at least two years competitive rate of interest that will also on January 5, 2021, notification that the thereafter, and will be subject to be divided pro rata among the Board has determined, beginning examination by the Commission and its participants. None of the Adviser, the January 1, 2022, and for the five year staff. Affiliated Funds, the other Regulated period immediately thereafter, that the (c) Each Regulated Fund’s chief Funds or any affiliated person of the standard maximum cash advance compliance officer, as defined in rule Affiliated Funds or the Regulated Funds amount available to satisfy customer 38a–1(a)(4), will prepare an annual will receive any additional claims for cash in a SIPA liquidation report for its Board each year that compensation or remuneration of any proceeding will remain at $250,000. The evaluates (and documents the basis of kind as a result of or in connection with Commission is publishing this notice to that evaluation) the Regulated Fund’s a Co-Investment Transaction other than solicit comments on Board’s compliance with the terms and (i) in the case of the Regulated Funds determination from interested parties. Conditions of the application and the and the Affiliated Funds, the pro rata DATES: Comments are to be received on procedures established to achieve such transaction fees described above and or before February 17, 2021. compliance. ADDRESSES: Interested persons are 27 Applicants are not requesting and the (d) The Independent Trustees will Commission is not providing any relief for invited to submit written data, views, consider at least annually whether transaction fees received in connection with any and arguments concerning the foregoing continued participation in new and Co-Investment Transaction. by any of the following methods:
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00061 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7901
Electronic Comments I. SIPC’S Statement of the Purpose of Chain-Type Price Index (or any and Statutory Basis of the successor index thereto), published by • Use the Commission’s internet Determination of the Board of Directors the Department of Commerce, for the comment form (https://www.sec.gov/ of SIPC Not To Adjust the Standard calendar year preceding the year in rules/submitcomments.htm); or Maximum Cash Advance Amount for which such determination is made, to • Send an email to rule-comments@ Inflation the published annual value of such sec.gov. Please include File Number In its filing with the Commission, index for the calendar year preceding SIPC–2021–01 on the subject line. SIPC included statements concerning the year 2010. the purpose of and statutory basis of the SIPA § 78fff–3(e)(1)(B). Paper Comments SIPC Board’s determination. The text of A present-day application of the formula would increase the limit by • Send paper comments to Secretary, these statements may be examined at $40,000, to a total of $290,000.3 Securities and Exchange Commission, the places specified above, and appear 100 F Street NE, Washington, DC in the text, below. B. Inflation Adjustment Considerations 20549–1090. * * * * * ‘‘Pursuant to section 9(e)(1) of the SIPA § 78fff–3(e)(5) provides that in All comments should refer to File Securities Investor Protection Act deciding whether to adjust the Number SIPC–2021–01. This file (‘‘SIPA’’), 15 U.S.C. 78fff–3(e)(1),1 the maximum cash advance amount, the numbers should be included on the Board of Directors (‘‘Board’’) of the Board shall consider the following subject line if email is used. To help the Securities Investor Protection criteria: (A) The overall state of the fund and Commission process and review your Corporation (‘‘SIPC’’) must determine, the economic conditions affecting ‘‘[n]ot later than January 1, 2011, and comments more efficiently, please use members of SIPC; every five years thereafter, and subject only one method. The Commission will (B) the potential problems affecting to the approval of the Commission,’’ post all comments on the Commission’s members of SIPC; and internet website (http://www.sec.gov/ whether to adjust for inflation the (C) such other factors as the Board of rules/other.shtml). standard maximum cash advance Directors of SIPC may determine amount that SIPC can advance to satisfy appropriate. Copies of the submission, all customer claims for cash under SIPA subsequent amendments, all written § 78fff–3(a)(1). The Board considered 1. The Overall State of the SIPC Fund statements with respect to this Notice the issue at its Meeting on September 9, and Economic Conditions Affecting that are filed with the Commission, and 2020, and again at its Meeting on Members, and Potential Problems all written communications relating to November 12, 2020. Among other Affecting Members of SIPC the Notice between the Commission and things, and as more fully set forth The Board reviewed the projected any person, other than those that may be below, the Board considered the criteria growth of the SIPC Fund, including the withheld from the public in accordance set forth in SIPA § 78fff–3(e)(5), and the target amount for the Fund of $5 billion, with the provisions of 5 U.S.C. 552, will views of the staffs of the Commission, the assessment rate imposed on SIPC be available for website viewing and the FDIC, and FINRA. members pursuant to SIPC’s printing in the Commission’s Public The Board has determined that the Assessments bylaw, as amended, and Reference Room, 100 F Street NE, maximum cash advance amount should the potential impact of an inflation Washington, DC 20549, on official remain at the current level of $250,000 adjustment on the Fund, and business days between the hours of 10 per customer. Pursuant to SIPA § 78fff– determined that keeping the standard a.m. and 3 p.m. All comments received 3(e)(4), and subject to the approval of maximum cash advance at $250,000 did will be posted without change. Persons the Commission as provided under not adversely affect SIPC members. In 2 submitting comments are cautioned that SIPA §§ 78ccc(e)(2) and 78fff–3(e)(1), its review, the Board also considered we do not redact or edit personal the Board’s determination will become SIPC’s historical experience and identifying information from comment effective January 1, 2022. Further, examined: (1) SIPC advances in past and submissions. You should submit only pursuant to SIPA § 78fff–3(e)(3)(A), the present liquidation proceedings; (2) Commission ‘‘shall publish in the information that you wish to make amounts generated from assessments on Federal Register the standard maximum available publicly. member broker-dealers; and (3) cash advance amount’’ not later than projected returns on SIPC investments. FOR FURTHER INFORMATION CONTACT: April 5, 2021. Michael A. Macchiaroli, Associate Consideration of the Statutory Criteria 3 Pursuant to SIPA § 78fff–3(e), the $40,000 Director, at (202) 551–5525; Thomas K. amount was determined as follows: $250,000 McGowan, Associate Director, at (202) A. Amount of Potential Adjustment multiplied by 1.1675 [the ratio of 108.763 (the annual value of the Price Index published by the 551–5521; Randall W. Roy, Deputy Were the Board to have determined Department of Commerce for calendar year 2019), Associate Director, at (202) 551–5522; that the maximum cash advance amount to 94.094 (the published annual value of the index Raymond A. Lombardo, at (202) 551– should be adjusted, the formula for for 2009)], which equals $291,875. Pursuant to SIPA § 78fff–3(e)(2), this amount is to be rounded down 5755; Timothy C. Fox, Branch Chief, at calculation of such adjustment would to the nearest multiple of $10,000, i.e., $290,000. (202) 551–5687; or A.J. Jacob, Special entail multiplying $250,000 by: However, because the determination is to be made Counsel, at (202) 551–5583; Office of [t]he ratio of the annual value of the for the calendar year 2021, the annual value of the Financial Responsibility, Division of Personal Consumption Expenditures Price Index to be used is for the ‘‘calendar year preceding the year in which such determination is Trading and Markets, Securities and made,’’ namely, the year 2020. The 2020 annual Exchange Commission, 100 F Street NE, 1 For convenience, references herein to provisions value will not be available until sometime in 2021. Washington, DC 20549–7010. of SIPA shall be to the United States Code, and Nevertheless, through the month of November 2020, shall omit ‘‘15 U.S.C.’’ the index increased by approximately 0.9%. SUPPLEMENTARY INFORMATION: 2 SIPA § 78fff–3(e)(1) provides that approval by Consequently, the index value would have to either the Commission be obtained ‘‘as provided under increase in December 2020 by approximately 1.9% section 78ccc(e)(2)’’ of SIPA. SIPA § 78ccc(e)(2) or decrease by approximately 1.5% for the result to establishes procedures governing proposed changes be different from $290,000, which is extremely to SIPC’s rules. unlikely.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00062 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7902 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
In addition, the Board considered the completed liquidation proceedings as of adjustment to the standard maximum views of the staffs of the Commission, year-end 2019, the unsatisfied portion of cash advance amount would not be the FDIC, and FINRA, as reported to the cash claims amounted to $25 million. appropriate. Accordingly, the Board SIPC staff and as further reported by the More than half of that amount involved determined that the standard maximum SIPC staff to the Board. The Board only three claims. In the seven SIPA cash advance amount will remain at concluded that the SIPC Fund remains proceedings initiated since 2010, when $250,000 per customer, effective January on a steady growth path for the near the cash limit was raised to $250,000, 1, 2022. future, barring any unforeseen only one cash claim remains For the Commission, by the Division catastrophic event, and that any unsatisfied. of Trading and Markets, pursuant to increases in the cash limit of SIPA delegated authority.5 c. Aggregate Credit Balances and Sweep protection would not appreciably Programs Dated: January 27, 2021. benefit customers. J. Matthew DesLesDernier, It also was brought to the Board’s Assistant Secretary. 2. Other Appropriate Factors attention that aggregate cash credit [FR Doc. 2021–02128 Filed 2–1–21; 8:45 am] a. Potential Divergence Between FDIC balances at member firms have not and SIPC Protections increased over the last five years in line BILLING CODE 8011–01–P with inflation. Instead, member firms The Board noted the equivalency— have increasingly utilized sweep presently $250,000—between SIPA’s SECURITIES AND EXCHANGE programs to move customer free credit maximum cash advance amount and the COMMISSION balances from broker- dealers to banks. ‘‘standard maximum deposit insurance [Release No. 34–91002; File No. SR– amount’’ that fixes the limit on bank Conclusion CboeEDGX–2021–006] deposit insurance under the Federal The Board weighed all the relevant Deposit Insurance Act (‘‘FDIA’’), 12 factors against a potential adjustment of Self-Regulatory Organizations; Cboe U.S.C. 1821 et seq. An inflation $40,000, the amount determined by the EDGX Exchange, Inc.; Notice of Filing adjustment to the former without a formula set forth in SIPA § 78fff– and Immediate Effectiveness of a corresponding adjustment to the latter 3(e)(1)(B). The Board concluded that, on Proposed Rule Change To Amend the would result in an unprecedented balance, in light of the intent to grow Fee Schedule divergence between the maximum cash the SIPC Fund to reach a target of $5 advance amount under SIPA and the January 27, 2021. billion, the unprecedented break with Pursuant to Section 19(b)(1) 1 of the standard maximum deposit insurance the FDIC limit that would result, and amount under FDIA. Securities Exchange Act of 1934 (the the absence of evidence that an ‘‘Act’’),2 and Rule 19b–4 thereunder,3 Increases to the limit of protection for appreciable number of investors would cash claims under SIPA historically notice is hereby given that on January be benefitted, an adjustment to the limit 13, 2021, Cboe EDGX Exchange, Inc. have been in lockstep with increases in of protection for cash claims was not FDIC deposit insurance.4 In 2008, and (the ‘‘Exchange’’ or ‘‘EDGX’’) filed with appropriate. Accordingly, the Board the Securities and Exchange again, in 2010, parity with deposit determined that the standard maximum insurance was the primary reason for Commission (the ‘‘Commission’’) the cash advance amount should remain at proposed rule change as described in SIPC’s request to Congress to increase $250,000 per customer.’’ the SIPA limit of protection for cash Items I and II below, which Items have claims. In 2016, uniformity with FDIC * * * * * been prepared by the self-regulatory deposit insurance was a primary factor II. Date of Effectiveness and Timing for organization. The Commission is in the Board’s determination not to Commission Action publishing this notice to solicit adjust the standard maximum cash comments on the proposed rule change Within thirty-five days of the date of from interested persons. advance amount. publication of this notice of the SIPC b. Historical Claims Experience and Board’s determination in the Federal I. Self-Regulatory Organization’s Benefit to Customers Register, or within such longer period Statement of the Terms of Substance of (i) as the Commission may designate of the Proposed Rule Change The Board also reviewed the number not more than ninety days after such of claims for cash exceeding the limit of Cboe EDGX Exchange, Inc. (the date if it finds such longer period to be protection in past and present ‘‘Exchange’’ or ‘‘EDGX’’) is filing with appropriate and publishes its reasons liquidation proceedings. This data the Securities and Exchange for so finding or (ii) as to which SIPC suggests that the benefit to customers of Commission (‘‘Commission’’) a consents, the Commission shall: an inflation adjustment may be limited. proposed rule change to amend the fee (A) By order approve such schedule applicable to Members and Of the more than 770,000 allowed determination or claims in completed or substantially non-Members of the Exchange pursuant (B) Institute proceedings to determine to EDGX Rules 15.1(a) and (c). Changes whether such determination should be 4 The below compares the limits of protection for to the fee schedule pursuant to this cash under SIPA and the FDIA: SIPA: $20,000 (Pub. disapproved. proposal are effective upon filing. The L. No 91–598, § 6(f)(1)(A), 84 Stat. 1636, 1651 III. Notice of the Determination of the text of the proposed rule change is (1970)). FDIA: $20,000 (Pub. L. 91–151, 7, 83 Stat. SIPC Board Not To Adjust the Standard provided in Exhibit 5. 371, 375 (1969)). SIPA: $40,000 (Pub. L. 95–283, 9, The text of the proposed rule change 92 Stat. 249, 265 (1978)). FDIA: $40,000 (Pub. L. 93– Maximum Cash Advance Amount for 495, 102(a), 88 Stat. 1500, 1502 (1974)). SIPA: Inflation is also available on the Exchange’s $100,000 (Pub. L. 96–433, 1, 94 Stat. 1855 (1980)). website (http://markets.cboe.com/us/ FDIA: $100,000 (Pub. L. 96–221, 308, 94 Stat. 132, On January 1, 2021, pursuant to options/regulation/rule_filings/edgx/), 147 (1980)). SIPA: $250,000 (Pub. L. 111–203, section 9(e)(1) of the Securities Investor 929H, 124 Stat. 1376, 1865 (2010)). FDIA: $250,000 Protection Act, 15 U.S.C. 78fff–3(e)(1), 5 (temporary until 12/31/2009) Public Law 110–343, 17 CFR 200.30–3(f)(3). 136, 122 Stat. 3765, 3799 (2008); (permanent) the Board of Directors of the Securities 1 15 U.S.C. 78s(b)(1). Public Law 111–203, 335, 124 Stat. 1376, 1540 Investor Protection Corporation (the 2 15 U.S.C. 78a. (2010)). ‘‘Board’’) determined that an inflation 3 17 CFR 240.19b–4.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00063 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7903
at the Exchange’s Office of the fees, and market participants can readily their orders with the same specifications Secretary, and at the Commission’s trade on competing venues if they deem to which fee codes 8, K and MX Public Reference Room. pricing levels at those other venues to currently apply—such orders will be more favorable. simply be assessed the fees currently in II. Self-Regulatory Organization’s The Exchange assesses fees in place for routed orders generally.7 That Statement of the Purpose of, and connection with orders routed away to is, if any of the routed orders to which Statutory Basis for, the Proposed Rule various exchanges. As a result of fee code K or MX currently apply are Change minimal use in the last months, the submitted in the pre- or post-market In its filing with the Commission, the Exchange proposes to eliminate the sessions that remove liquidity,8 then fee self-regulatory organization included following routing fee codes currently code 7 will apply, which is appended to statements concerning the purpose of, under the Fee Codes and Associated Members’ routed orders in the pre- or and basis for, the proposed rule change Fees section of the Fee Schedule: post-market sessions and assesses a and discussed any comments it received • Fee code 8, which is appended to charge of $0.00300 per contract for on the proposed rule change. The text Members’ orders routed to NYSE orders in securities priced at or above of those statements may be examined at American that adds liquidity and $1.00 and assesses a charge of 30% of the places specified in Item IV below. assesses a charge of $0.00020 per the dollar value per contract for orders The Exchange has prepared summaries, contract for orders in securities priced at in securities priced below $1.00. Fee set forth in sections A, B, and C below, or above $1.00 and assesses no charge code X will be appended to routed of the most significant parts of such for orders in securities priced below orders not submitted during the pre- or statements. $1.00; post-market sessions to which fee code • Fee code K, which is appended to A. Self-Regulatory Organization’s K or MX currently apply and to routed Members’ orders routed to PSX using Statement of the Purpose of, and orders to which fee code 8 currently the ROUC routing strategy 6 and assesses Statutory Basis for, the Proposed Rule applies. Fee code X currently assesses a a charge of $0.00290 per contract for Change charge of $0.00300 per contract for orders in securities priced at or above orders in securities priced at or above 1. Purpose $1.00 and assesses a charge of 30% of $1.00 and assesses a charge of 30% of The Exchange proposes to amend its the dollar value per contract for orders the dollar value per contract for orders in securities priced below $1.00; and in securities priced below $1.00. The fee schedule applicable to its equities • trading platform (‘‘EDGX Equities’’) by Fee code MX, which is appended to Exchange notes that rates applicable to eliminating certain routing fee codes.4 Members’ orders routed to NYSE orders yielding fee codes 7 and X are the The Exchange first notes that it American using the ROUC routing standard routing fees pursuant to the operates in a highly competitive market strategy and assesses a charge of Standard Rates section of the Fee in which market participants can $0.00020 per contract for orders in Schedule. securities priced at or above $1.00 and readily direct order flow to competing 2. Statutory Basis venues if they deem fee levels at a assesses no charge for orders in particular venue to be excessive or securities priced below $1.00. The Exchange believes that the incentives to be insufficient. More The Exchange has observed a minimal proposed rule change is consistent with specifically, the Exchange is only one of amount of volume in recent months in the objectives of Section 6 of the Act,9 16 registered equities exchanges, as well orders yielding fee codes 8, K, or MX. in general, and furthers the objectives of as a number of alternative trading In particular, over the last six months Section 6(b)(4),10 in particular, as it is systems and other off-exchange venues the Exchange observed that orders designed to provide for the equitable that do not have similar self-regulatory yielding fee code MX accounted for allocation of reasonable dues, fees and responsibilities under the Exchange Act, approximately only 0.01% of all routed other charges among its Members and to which market participants may direct order volume, orders yielding fee code issuers and other persons using its their order flow. Based on publicly 8 accounted for approximately only facilities. The Exchange also believes available information,5 no single 0.14% of all routed order volume, and that the proposed rule change is registered equities exchange has more orders yielding fee code K accounted for consistent with the objectives of Section than 16% of the market share. Thus, in approximately only 0.004% of all routed 6(b)(5) 11 requirements that the rules of such a low-concentrated and highly order volume. The Exchange believes an exchange be designed to prevent competitive market, no single equities that, because so few Users elect to route fraudulent and manipulative acts and exchange possesses significant pricing their orders with specifications to which practices, to promote just and equitable power in the execution of order flow. fee codes 8, K or MX, the current principles of trade, to foster cooperation The Exchange believes that the ever- demand does not warrant the shifting market share among the infrastructure and ongoing Systems 7 The Exchange notes that there are other fee exchanges from month to month maintenance required to support these codes that apply to certain other routing separate fee codes. Therefore, the specifications, however, those routed orders not demonstrates that market participants Exchange now proposes to delete fee otherwise specified in such other routing fee code can shift order flow or discontinue to descriptions yield the general routing fee codes 7 codes 8, K and MX in the Fee Schedule. reduce use of certain categories of or X. The Exchange notes that Users will 8 products, in response to fee changes. Fee code 7 is currently appended to all routed continue to be able to choose to route orders in the pre- or post-market session that Accordingly, competitive forces remove liquidity. The proposed rule change constrain the Exchange’s transaction 6 ROUC is a routing option under which an order updates the description associated with fee code 7 checks the System for available shares and then is to clarify in the description that such orders remove 4 The Exchange initially filed the proposed fee sent to destinations on the System routing table, liquidity. This update does not alter the orders to changes January 4, 2021 (SR–CboeEDGX–2021– Nasdaq OMX BX, and NYSE. If shares remain which fee code 7 currently applies but merely 001). On January 13, 2021, the Exchange withdrew unexecuted after routing, they are posted on the makes it clear in the Fee Schedule that fee code 7 that filing and submitted this proposal. EDGX Book, unless otherwise instructed by the applies to qualifying routed orders that remove 5 See Cboe Global Markets, U.S. Equities Market User. See Rule 11.11(g)(1); see also Cboe Routing liquidity. Volume Summary, Month-to-Date (December 29, Strategies, FIX/BOE Routing Tags and Instructions, 9 15 U.S.C. 78f. 2020), available at https://markets.cboe.com/us/ available at: https://cdn.cboe.com/resources/ 10 15 U.S.C. 78f(b)(4). equities/market_statistics/. features/Cboe_USE_RoutingStrategies.pdf. 11 15 U.S.C. 78f.(b)(5).
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00064 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7904 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
and coordination with persons engaged current fee codes 8, K or MX, will [and] ‘no exchange can afford to take its in regulating, clearing, settling, automatically and uniformly be assessed market share percentages for granted’ processing information with respect to, the fees already in place for routed because ‘no exchange possesses a and facilitating transactions in orders generally,13 as applicable (i.e., fee monopoly, regulatory or otherwise, in securities, to remove impediments to codes 7 or X). the execution of order flow from broker and perfect the mechanism of a free and The Exchange does not believe that dealers’. . . .’’.16 Accordingly, the open market and a national market the proposed rule change will impose Exchange does not believe its proposed system, and, in general, to protect any burden on intermarket competition fee change imposes any burden on investors and the public interest, and, that is not necessary or appropriate in competition that is not necessary or particularly, is not designed to permit furtherance of the purposes of the Act. appropriate in furtherance of the unfair discrimination between The Exchange again notes that orders purposes of the Act. customers, issuers, brokers, or dealers. that meet the specifications to which fee In particular, the Exchange believes codes 8, K or MX would currently C. Self-Regulatory Organization’s the proposed rule change to remove fee apply, will yield the same fee codes and Statement on Comments on the codes 8, K and MX is reasonable as the be assessed the same corresponding Proposed Rule Change Received From Exchange has observed a minimal rates that are already in place in the Fee Members, Participants, or Others amount of volume in orders yielding Schedule for routed orders generally, as The Exchange neither solicited nor these fee codes and, therefore, the previously filed with the Commission. received comments on the proposed continuation of these fee codes does not Also, as previously discussed, the rule change. warrant the infrastructure and ongoing Exchange operates in a highly Systems maintenance required to competitive market. Members have III. Date of Effectiveness of the support separate fee codes for specific numerous alternative venues that they Proposed Rule Change and Timing for routed orders. As such, the Exchange may participate on and director their Commission Action also believes that is reasonable and order flow, including 15 other options The foregoing rule change is effective equitable to assess routed orders which exchanges and off-exchange venues. upon filing pursuant to Section meet the specifications to which fee Additionally, the Exchange represents a 19(b)(3)(A) 17 of the Act and codes 8, K and MX are currently small percentage of the overall market. subparagraph (f)(2) of Rule 19b–4 18 applicable the slightly higher standard Based on publicly available information, thereunder, because it establishes a due, routing fee currently in place for all no single options exchange has more fee, or other charge imposed by the other routed orders—via fee codes 7 or than 16% of the market share.14 Exchange. X, as applicable. The Exchange believes Therefore, no exchange possesses At any time within 60 days of the that the proposed rule change is significant pricing power in the filing of such proposed rule change, the equitable and not unfairly execution of option order flow. Indeed, Commission summarily may discriminatory because Members will participants can readily choose to send temporarily suspend such rule change if continue to have the option to elect to their orders to other exchange and off- it appears to the Commission that such route their orders in the same manner exchange venues if they deem fee levels action is necessary or appropriate in the (i.e., routed to NYSE American that add at those other venues to be more public interest, for the protection of liquidity and routed to PSX or NYSE favorable. Moreover, the Commission investors, or otherwise in furtherance of American using the ROUC routing has repeatedly expressed its preference the purposes of the Act. If the strategy) will be automatically and for competition over regulatory Commission takes such action, the uniformly assessed the applicable intervention in determining prices, Commission shall institute proceedings standard rates in place for generally all products, and services in the securities under Section 19(b)(2)(B) 19 of the Act to other routed orders.12 Further, if markets. Specifically, in Regulation determine whether the proposed rule members do not favor the Exchange’s NMS, the Commission highlighted the change should be approved or pricing for routed orders, they can send importance of market forces in disapproved. their routable orders directly to away determining prices and SRO revenues markets instead of using routing and, also, recognized that current IV. Solicitation of Comments functionality provided by the Exchange. regulation of the market system ‘‘has Interested persons are invited to Routing through the Exchange is been remarkably successful in submit written data, views, and optional, and the Exchange operates in promoting market competition in its arguments concerning the foregoing, a competitive environment where broader forms that are most important to including whether the proposed rule market participants can readily direct 15 investors and listed companies.’’ The change is consistent with the Act. order flow to competing venues or fact that this market is competitive has Comments may be submitted by any of providers of routing services if they also long been recognized by the courts. the following methods: deem fee levels to be excessive. In NetCoalition v. Securities and B. Self-Regulatory Organization’s Exchange Commission, the D.C. Circuit Electronic Comments Statement on Burden on Competition stated as follows: ‘‘[n]o one disputes • Use the Commission’s internet that competition for order flow is comment form (http://www.sec.gov/ The Exchange does not believe that ‘fierce.’ . . . As the SEC explained, ‘[i]n the proposed rule change will impose rules/sro.shtml); or the U.S. national market system, buyers • any burden on competition that is not Send an email to rule-comments@ and sellers of securities, and the broker- sec.gov. Please include File Number SR– necessary or appropriate in furtherance dealers that act as their order-routing of the purposes of the Act. The agents, have a wide range of choices of 16 NetCoalition v. SEC, 615 F.3d 525, 539 (D.C. Exchange does not believe the proposed where to route orders for execution’; rule change will impose any burden on Cir. 2010) (quoting Securities Exchange Act Release No. 59039 (December 2, 2008), 73 FR 74770, 74782– intramarket competition because all 13 See id. 83 (December 9, 2008) (SR–NYSEArca–2006–21)). Members orders that would yield 14 See supra note 5. 17 15 U.S.C. 78s(b)(3)(A). 15 See Securities Exchange Act Release No. 51808 18 17 CFR 240.19b–4(f)(2). 12 See supra note 7. (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005). 19 15 U.S.C. 78s(b)(2)(B).
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00065 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7905
CboeEDGX–2021–006 on the subject SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s line. COMMISSION Statement of the Purpose of, and the Statutory Basis for, the Proposed Rule Paper Comments [Release No. 34–90996; File No. SR–NYSE– Change • Send paper comments in triplicate 2021–07] 1. Purpose to Secretary, Securities and Exchange Self-Regulatory Organizations; New The Exchange proposes to amend Commission, 100 F Street NE, Rule 7.32 (Order Entry) to provide that Washington, DC 20549–1090. York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of the Exchange would not apply order All submissions should refer to File entry size limitations to IDO Orders. Proposed Rule Change Amending Rule Rule 7.32 provides that orders entered Number SR–CboeEDGX–2021–006. This 7.32 file number should be included on the that are greater than five million shares subject line if email is used. To help the January 27, 2021. in size will be rejected, provided, that in Auction-Eligible Securities, the Commission process and review your Pursuant to Section 19(b)(1) 1 of the comments more efficiently, please use Exchange will accept orders defined in Securities Exchange Act of 1934 Rule 7.31(c), DMM Auction Liquidity as only one method. The Commission will (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 defined in Rule 7.35, and Floor Broker post all comments on the Commission’s notice is hereby given that on January Interest intended for the Closing internet website (http://www.sec.gov/ 25, 2021, New York Stock Exchange Auction as defined in Rule 7.35B(a)(1), rules/sro.shtml). Copies of the LLC (‘‘NYSE’’ or ‘‘Exchange’’) filed with up to 25 million shares in size. In submission, all subsequent the Securities and Exchange addition, in all securities traded on the amendments, all written statements Commission (the ‘‘Commission’’) the Exchange, the Exchange will accept with respect to the proposed rule proposed rule change as described in proposed cross transactions under Rule change that are filed with the Items I and II below, which Items have 76 up to 25 million shares in size. Commission, and all written been prepared by the self-regulatory The Exchange recently amended its communications relating to the organization. The Commission is rules to add the IDO Order, which is to proposed rule change between the publishing this notice to solicit be traded only in a Direct Listing for a 4 Commission and any person, other than comments on the proposed rule change Primary Direct Floor Listing. Rule those that may be withheld from the from interested persons. 7.31(c)(1)(D)(iii) provides that the IDO public in accordance with the Order must be for the quantity of shares provisions of 5 U.S.C. 552, will be I. Self-Regulatory Organization’s offered by the issuer, as disclosed in the available for website viewing and Statement of the Terms of Substance of prospectus in the effective registration printing in the Commission’s Public the Proposed Rule Change statement. To facilitate this requirement, Reference Room, 100 F Street NE, the Exchange proposes to amend Rule The Exchange proposes to amend Washington, DC 20549, on official 7.32 to specify that the Exchange would Rule 7.32 (Order Entry) to provide that business days between the hours of not apply order entry size limitations to the Exchange would not apply order 10:00 a.m. and 3:00 p.m. Copies of the IDO Orders. entry size limitations to Issuer Direct filing also will be available for Offering (‘‘IDO’’) Orders. The proposed 2. Statutory Basis inspection and copying at the principal rule change is available on the The proposed rule change is office of the Exchange. All comments Exchange’s website at www.nyse.com, at consistent with Section 6(b) of the Act,5 received will be posted without change. the principal office of the Exchange, and in general, and furthers the objectives of Persons submitting comments are 6 at the Commission’s Public Reference Section 6(b)(5) of the Act, in particular, cautioned that we do not redact or edit Room. in that it is designed to prevent personal identifying information from fraudulent and manipulative acts and comment submissions. You should II. Self-Regulatory Organization’s practices, to promote just and equitable submit only information that you wish Statement of the Purpose of, and principles of trade, to foster cooperation to make available publicly. All Statutory Basis for, the Proposed Rule and coordination with persons engaged submissions should refer to File Change in facilitating transactions in securities, Number SR–CboeEDGX–2021–006, and and to remove impediments to and should be submitted on or before In its filing with the Commission, the perfect the mechanism of a free and February 23, 2021. self-regulatory organization included open market and a national market statements concerning the purpose of, system. For the Commission, by the Division of and basis for, the proposed rule change The Exchange believes that the Trading and Markets, pursuant to delegated and discussed any comments it received proposed rule change would remove authority.20 on the proposed rule change. The text impediments to and perfect the J. Matthew DeLesDernier, of those statements may be examined at mechanism of a free and open market Assistant Secretary. the places specified in Item IV below. and a national market system because it [FR Doc. 2021–02119 Filed 2–1–21; 8:45 am] The Exchange has prepared summaries, would provide specificity in Exchange BILLING CODE 8011–01–P set forth in sections A, B, and C below, rules that Exchange systems would be of the most significant parts of such able to accept IDO Orders that comply statements. with the requirement specified in Rule 7.31(c)(1)(D)(iii) that an IDO Order must be for the quantity of shares offered by the issuer, as disclosed in the
1 15 U.S.C. 78s(b)(1). 4 See Rule 7.31(c)(1)(D). 2 15 U.S.C. 78a. 5 15 U.S.C. 78f(b). 20 17 CFR 200.30–3(a)(12). 3 17 CFR 240.19b–4. 6 15 U.S.C. 78f(b)(5).
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00066 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7906 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
prospectus in the effective registration change should be approved or For the Commission, by the Division of statement. disapproved. Trading and Markets, pursuant to delegated authority.10 B. Self-Regulatory Organization’s IV. Solicitation of Comments J. Matthew DeLesDernier, Statement on Burden on Competition Interested persons are invited to Assistant Secretary. The Exchange does not believe that submit written data, views, and [FR Doc. 2021–02115 Filed 2–1–21; 8:45 am] the proposed rule change would impose arguments concerning the foregoing, BILLING CODE 8011–01–P any burden on competition that is not including whether the proposed rule necessary or appropriate in furtherance change is consistent with the Act. of the purposes of the Act. The Comments may be submitted by any of SECURITIES AND EXCHANGE proposed rule change is not designed to the following methods: COMMISSION address any competitive issues but Electronic Comments [SEC File No. 270–213, OMB Control No. rather is designed to provide specificity 3235–0220] in Exchange rules that Exchange • Use the Commission’s internet systems would be able to accept IDO comment form (http://www.sec.gov/ Submission for OMB Review; Orders that comply with the rules/sro.shtml); or Comment Request requirement specified in Rule • Send an email to rule-comments@ 7.31(c)(1)(D)(iii) that an IDO Order must sec.gov. Please include File Number SR– Upon Written Request, Copies Available be for the quantity of shares offered by NYSE–2021–07 on the subject line. From: Securities and Exchange the issuer, as disclosed in the Commission, Office of FOIA Services, prospectus in the effective registration Paper Comments 100 F Street NE, Washington, DC statement. • Send paper comments in triplicate 20549–2736 to: Secretary, Securities and Exchange C. Self-Regulatory Organization’s Extension: Commission, 100 F Street NE, Rule 30b2–1 Statement on Comments on the Washington, DC 20549–1090. Proposed Rule Change Received From Notice is hereby given that, pursuant Members, Participants, or Others All submissions should refer to File to the Paperwork Reduction Act of 1995 Number SR–NYSE–2021–07. This file No written comments were solicited (44 U.S.C. 3501 et seq.), the Securities number should be included on the and Exchange Commission (the or received with respect to the proposed subject line if email is used. To help the rule change. ‘‘Commission’’) has submitted to the Commission process and review your Office of Management and Budget III. Date of Effectiveness of the comments more efficiently, please use (‘‘OMB’’) a request for extension of the Proposed Rule Change and Timing for only one method. The Commission will previously approved collection of Commission Action post all comments on the Commission’s information discussed below. The Exchange has filed the proposed internet website (http://www.sec.gov/ Rule 30b2–1 (17 CFR 270.30b2–1) rule change pursuant to Section rules/sro.shtml). Copies of the under the Investment Company Act of 19(b)(3)(A)(iii) of the Act 7 and Rule submission, all subsequent 1940 (15 U.S.C. 80a–1 et seq.) (the 19b–4(f)(6) thereunder.8 Because the amendments, all written statements ‘‘Investment Company Act’’) requires a proposed rule change does not: (i) with respect to the proposed rule registered management investment Significantly affect the protection of change that are filed with the company (‘‘fund’’) to (1) file a report investors or the public interest; (ii) Commission, and all written with the Commission on Form N–CSR impose any significant burden on communications relating to the (17 CFR 249.331 and 274.128) not later competition; or (iii) become operative proposed rule change between the than 10 days after the transmission of prior to 30 days from the date on which Commission and any person, other than any report required to be transmitted to it was filed, or such shorter time as the those that may be withheld from the shareholders under rule 30e–1 under Commission may designate, if public in accordance with the the Investment Company Act, and (2) consistent with the protection of provisions of 5 U.S.C. 552, will be file with the Commission a copy of investors and the public interest, the available for website viewing and every periodic or interim report or proposed rule change has become printing in the Commission’s Public similar communication containing effective pursuant to Section 19(b)(3)(A) Reference Room, 100 F Street NE, financial statements that is transmitted of the Act and Rule 19b–4(f)(6)(iii) Washington, DC 20549 on official by or on behalf of such fund to any class thereunder. business days between the hours of of such fund’s security holders and that At any time within 60 days of the 10:00 a.m. and 3:00 p.m. Copies of the is not required to be filed with the filing of such proposed rule change, the filing also will be available for Commission under (1), not later than 10 Commission summarily may inspection and copying at the principal days after the transmission to security temporarily suspend such rule change if office of the Exchange. All comments holders. The purpose of the collection of it appears to the Commission that such received will be posted without change. information required by rule 30b2–1 is action is necessary or appropriate in the Persons submitting comments are to meet the disclosure requirements of public interest, for the protection of cautioned that we do not redact or edit the Investment Company Act and investors, or otherwise in furtherance of personal identifying information from certification requirements of the the purposes of the Act. If the comment submissions. Sarbanes-Oxley Act of 2002 (Pub. L. Commission takes such action, the You should submit only information 107–204, 116 Stat. 745 (2002)) and to Commission shall institute proceedings that you wish to make available provide investors with information under Section 19(b)(2)(B) 9 of the Act to publicly. All submissions should refer necessary to evaluate an interest in the determine whether the proposed rule to File Number SR–NYSE–2021–07 and fund. should be submitted on or before The Commission estimates that there 7 15 U.S.C. 78s(b)(3)(A)(iii). February 23, 2021. are 2,207 funds, with a total of 8 17 CFR 240.19b–4(f)(6). approximately 11,977 portfolios, that 9 15 U.S.C. 78s(b)(2)(B). 10 17 CFR 200.30–3(a)(12). are governed by the rule. For purposes
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00067 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7907
of this analysis, the burden associated ‘‘Act’’) 1 and Rule 19b–4 thereunder,2 in which market participants can with the requirements of rule 30b2–1 notice is hereby given that on January readily direct order flow to competing has been included in the collection of 13, 2021, Cboe BZX Exchange, Inc. (the venues if they deem fee levels at a information requirements of rule 30e–1 ‘‘Exchange’’ or ‘‘BZX’’) filed with the particular venue to be excessive or (17 CFR 270.30e–1) and Form N–CSR, Securities and Exchange Commission incentives to be insufficient. More rather than the rule. The Commission (the ‘‘Commission’’) the proposed rule specifically, the Exchange is only one of has, however, requested a one hour change as described in Items I and II 16 registered equities exchanges, as well burden for administrative purposes. below, which Items have been prepared as a number of alternative trading The collection of information under by the Exchange. The Commission is systems and other off-exchange venues rule 30b2–1 is mandatory. The publishing this notice to solicit that do not have similar self-regulatory information provided under rule 30b2– comments on the proposed rule change responsibilities under the Exchange Act, 1 is not kept confidential. An agency from interested persons. to which market participants may direct their order flow. Based on publicly may not conduct or sponsor, and a I. Self-Regulatory Organization’s available information,4 no single person is not required to respond to, a Statement of the Terms of Substance of registered equities exchange has more collection of information unless it the Proposed Rule Change than 16% of the market share. Thus, in displays a currently valid OMB control Cboe BZX Exchange, Inc. (the number. such a low-concentrated and highly ‘‘Exchange’’ or ‘‘BZX’’) is filing with the competitive market, no single equities The public may view the background Securities and Exchange Commission exchange possesses significant pricing documentation for this information (‘‘Commission’’) a proposed rule change power in the execution of order flow. collection at the following website, to amend the fee schedule applicable to The Exchange believes that the ever- www.reginfo.gov. Comments should be Members and non-Members of the shifting market share among the directed to: (i) Desk Officer for the Exchange pursuant to BZX Rules 15.1(a) exchanges from month to month Securities and Exchange Commission, and (c). Changes to the fee schedule demonstrates that market participants Office of Information and Regulatory pursuant to this proposal are effective can shift order flow or discontinue to Affairs, Office of Management and upon filing. The text of the proposed reduce use of certain categories of Budget, Room 10102, New Executive rule change is provided in Exhibit 5. products, in response to fee changes. Office Building, Washington, DC 20503, The text of the proposed rule change Accordingly, competitive forces or by sending an email to: is also available on the Exchange’s constrain the Exchange’s transaction [email protected]; and (ii) website (http://markets.cboe.com/us/ _ fees, and market participants can readily David Bottom, Director/Chief equities/regulation/rule filings/bzx/), at trade on competing venues if they deem Information Officer, Securities and the Exchange’s Office of the Secretary, pricing levels at those other venues to Exchange Commission, c/o Cynthia and at the Commission’s Public be more favorable. Roscoe, 100 F Street NE, Washington, Reference Room. The Exchange assesses fees in _ DC 20549 or send an email to: PRA II. Self-Regulatory Organization’s connection with orders routed away to [email protected]. Written comments Statement of the Purpose of, and various exchanges. As a result of and recommendations for the proposed Statutory Basis for, the Proposed Rule minimal use in the last months, the information collection should be sent Change Exchange proposes to eliminate the within 30 days of publication of this In its filing with the Commission, the following routing fee codes currently notice to www.reginfo.gov/public/do/ under the Fee Codes and Associated PRAMain. Find this particular self-regulatory organization included statements concerning the purpose of, Fees section of the Fee Schedule: information collection by selecting • Fee code 8, which is appended to and basis for, the proposed rule change ‘‘Currently under 30-day Review—Open Members’ orders routed to NYSE and discussed any comments it received for Public Comments’’ or by using the American that adds liquidity and search function. on the proposed rule change. The text of those statements may be examined at assesses a charge of $0.00020 per Dated: January 27, 2021. the places specified in Item IV below. contract; and • Fee code MX, which is appended to J. Matthew DeLesDernier, The Exchange has prepared summaries, Members’ orders routed to NYSE Assistant Secretary. set forth in sections A, B, and C below, American using the TRIM or SLIM 5 of the most significant parts of such [FR Doc. 2021–02126 Filed 2–1–21; 8:45 am] routing strategy and assesses a charge of statements. BILLING CODE 8011–01–P $0.00020 per contract. A. Self-Regulatory Organization’s The Exchange has observed a minimal Statement of the Purpose of, and amount of volume in recent months in SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule orders yielding fee codes 8 or MX. In COMMISSION Change particular, over the last six months the Exchange observed that orders yielding 1. Purpose [Release No. 34–90997; File No. SR– fee code MX accounted for CboeBZX–2021–010] The Exchange proposes to amend its fee schedule applicable to its equities 4 See Cboe Global Markets, U.S. Equities Market Self-Regulatory Organizations; Cboe trading platform (‘‘BZX Equities’’) by Volume Summary, Month-to-Date (December 29, BZX Exchange, Inc.; Notice of Filing eliminating certain routing fee codes.3 2020), available at https://markets.cboe.com/us/ _ and Immediate Effectiveness of The Exchange first notes that it equities/market statistics/. 5 Proposed Rule Change Relating To operates in a highly competitive market The TRIM and SLIM routing strategies are Amend Its Fee Schedule To Eliminate routing strategies in which an order checks the System for available shares if so instructed by the Certain Routing Fee Codes 1 15 U.S.C. 78s(b)(1). entering User and then is sent to destinations on the 2 17 CFR 240.19b–4. applicable System routing table. See Rule January 27, 2021. 3 The Exchange initially filed the proposed fee 11.13(b)(3)(G); see also Cboe Routing Strategies, Pursuant to Section 19(b)(1) of the changes January 4, 2021 (SR–CboeBZX–2021–001). FIX/BOE Routing Tags and Instructions, available On January 13, 2021, the Exchange withdrew that at: https://cdn.cboe.com/resources/features/Cboe_ Securities Exchange Act of 1934 (the filing and submitted this proposal. USE_RoutingStrategies.pdf.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00068 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7908 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
approximately only 0.11% of all routed in general, and furthers the objectives of same specifications to which fee codes order volume and orders yielding fee Section 6(b)(4),7 in particular, as it is 8 and MX currently apply. The code 8 accounted for approximately designed to provide for the equitable Exchange again notes that the proposed only 0.02% of all routed order volume. allocation of reasonable dues, fees and description for fee code X is consistent The Exchange believes that, because so other charges among its Members and with the description associated with few Users elect to route their orders issuers and other persons using its corresponding fee code X on the with specifications to which fee codes 8 facilities. The Exchange also believes Exchange’s affiliated equities exchanges. or MX, the current demand does not that the proposed rule change is The Exchange believes that the warrant the infrastructure and ongoing consistent with the objectives of Section proposed rule change is equitable and Systems maintenance required to 6(b)(5) 8 requirements that the rules of not unfairly discriminatory because support these separate fee codes. an exchange be designed to prevent Members will continue to have the Therefore, the Exchange now proposes fraudulent and manipulative acts and option to elect to route their orders in to delete fee codes 8 and MX in the Fee practices, to promote just and equitable the same manner (i.e., routed to NYSE Schedule. principles of trade, to foster cooperation American that add liquidity and routed In light of the proposed fee code and coordination with persons engaged to NYSE American using the TRIM or deletions, the Exchange also proposes to in regulating, clearing, settling, SLIM routing strategy), which will be update the description to which fee processing information with respect to, automatically and uniformly be assessed code X is applicable. Currently, the and facilitating transactions in the applicable standard rates in place description for orders yielding fee code securities, to remove impediments to for generally all other routed orders X applies to Members’ orders routed to and perfect the mechanism of a free and under fee code X. Further, if members a displayed market to remove liquidity open market and a national market do not favor the Exchange’s pricing for using Parallel D, Parallel 2D, ROUT, system, and, in general, to protect routed orders, they can send their ROUX or Post to Away routing strategy. investors and the public interest, and, routable orders directly to away markets Fee code X assesses a charge of $0.0030 particularly, is not designed to permit instead of using routing functionality per contract. Essentially, fee code X is unfair discrimination between provided by the Exchange. Routing designed to apply, and currently customers, issuers, brokers, or dealers. through the Exchange is optional, and applies, to all other routed orders that The Exchange believes the proposed the Exchange operates in a competitive are not otherwise specified under other rule changes are reasonable, equitable environment where market participants fee codes in the Fee Schedule. However, and not unfairly discriminatory. The can readily direct order flow to as currently written, the description of Exchange first notes that routing competing venues or providers of orders that yield fee code X would not through the Exchange is optional. The routing services if they deem fee levels encompass those orders that currently Exchange believes the proposed rule to be excessive. The Exchange believes yield fee codes 8 and MX. Therefore, the change to remove fee codes 8 and MX that the updated description for orders proposed rule change updates the is reasonable as the Exchange has that yield fee code X is equitable and description of orders that yield fee code observed a minimal amount of volume not unfairly discriminatory because it X to ‘‘Routed.’’ The Exchange notes that in orders yielding these fee codes and, does not impact the routed orders that the corresponding fee will remain therefore, the continuation of these fee currently yield fee code X; the same unchanged and is the standard rate codes does not warrant the orders will continue to yield fee code X routing fee assessed pursuant to the infrastructure and ongoing Systems and will continue to be automatically Standard Rates section of the Fee maintenance required to support and uniformly assessed the Schedule. As a result of the proposed separate fee codes for specific routed corresponding fee. description, Members will continue to orders. As such, the Exchange also B. Self-Regulatory Organization’s be able to choose to route their orders believes that is reasonable and equitable Statement on Burden on Competition with the same specifications to which to assess routed orders which meet the fee codes 8 and MX currently apply— specifications to which fee codes 8 and The Exchange does not believe that such orders will simply be assessed the MX are currently applicable the slightly the proposed rule change will impose fee currently in place for orders yielding higher standard routing fee currently in any burden on competition that is not fee code X (i.e., routed orders not place for all other routed orders that are necessary or appropriate in furtherance otherwise specified under other fee not otherwise specified under other fee of the purposes of the Act. The codes in the Fee Schedule). The codes in the Fee Schedule—via fee code Exchange does not believe the proposed Exchange notes that the proposed X, as amended. The Exchange believes rule change will impose any burden on description for fee code X does not alter it is reasonable to update the intramarket competition because all any of the routed orders to which fee description for orders that yield fee code Members orders that would yield code X currently applies. The Exchange X in a manner that reflects the intent of current fee codes 8 or MX, will also notes that the proposed description fee code X, which is to apply to routed automatically and uniformly be assessed for fee code X is consistent with the orders not otherwise specified under the fees already in place for all other description associated with other fees codes in the Fee Schedule, routed orders generally under fee code corresponding fee code X on the and will thus apply to routed orders that X. Fee code X, as amended, will Exchange’s affiliated equities exchanges, currently yield fee codes 8 and MX. The continue to apply to the same routed Cboe EDGX Exchange, Inc. (‘‘EDGX’’) Exchange believes that the proposed orders as it currently does, which will and Cboe EDGA Exchange Inc. updated description is reasonable continue to be automatically and (‘‘EDGA’’). because it does not alter any of the uniformly assessed the corresponding routed orders to which fee code X fee. Ultimately, all routed orders will 2. Statutory Basis currently applies and will allow generally be assessed the same fee. The Exchange believes that the Members to continue to be able to The Exchange does not believe that proposed rule change is consistent with choose to route their orders with the the proposed rule change will impose the objectives of Section 6 of the Act,6 any burden on intermarket competition 7 15 U.S.C. 78f(b)(4). that is not necessary or appropriate in 6 15 U.S.C. 78f. 8 15 U.S.C. 78f(b)(5). furtherance of the purposes of the Act.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00069 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7909
The Exchange again notes that orders competition that is not necessary or comments more efficiently, please use that meet the specifications to which fee appropriate in furtherance of the only one method. The Commission will codes 8 or MX would currently apply, purposes of the Act. post all comments on the Commission’s will yield the same fee codes and be internet website (http://www.sec.gov/ C. Self-Regulatory Organization’s assessed the same corresponding rates rules/sro.shtml). Copies of the that are already in place in the Fee Statement on Comments on the submission, all subsequent Schedule for routed orders generally, as Proposed Rule Change Received From amendments, all written statements previously filed with the Commission. Members, Participants, or Others with respect to the proposed rule Also, as previously discussed, the The Exchange neither solicited nor change that are filed with the Exchange operates in a highly received comments on the proposed Commission, and all written competitive market. Members have rule change. communications relating to the numerous alternative venues that they proposed rule change between the III. Date of Effectiveness of the may participate on and director their Commission and any person, other than Proposed Rule Change and Timing for order flow, including 15 other options those that may be withheld from the Commission Action exchanges and off-exchange venues. public in accordance with the Additionally, the Exchange represents a The foregoing rule change is effective provisions of 5 U.S.C. 552, will be small percentage of the overall market. upon filing pursuant to Section available for website viewing and Based on publicly available information, 19(b)(3)(A) of the Act 12 and printing in the Commission’s Public no single options exchange has more subparagraph (f)(2) of Rule 19b–4 Reference Room, 100 F Street NE, than 16% of the market share.9 thereunder,13 because it establishes a Washington, DC 20549, on official Therefore, no exchange possesses due, fee, or other charge imposed by the business days between the hours of significant pricing power in the Exchange. 10:00 a.m. and 3:00 p.m. Copies of the execution of option order flow. Indeed, At any time within 60 days of the filing also will be available for participants can readily choose to send filing of such proposed rule change, the inspection and copying at the principal their orders to other exchange and off- Commission summarily may office of the Exchange. All comments exchange venues if they deem fee levels temporarily suspend such rule change if received will be posted without change. at those other venues to be more it appears to the Commission that such Persons submitting comments are favorable. Moreover, the Commission action is necessary or appropriate in the cautioned that we do not redact or edit has repeatedly expressed its preference public interest, for the protection of personal identifying information from for competition over regulatory investors, or otherwise in furtherance of comment submissions. You should intervention in determining prices, the purposes of the Act. If the submit only information that you wish products, and services in the securities Commission takes such action, the to make available publicly. All markets. Specifically, in Regulation Commission shall institute proceedings submissions should refer to File NMS, the Commission highlighted the under Section 19(b)(2)(B) 14 of the Act to Number SR–CboeBZX–2021–010, and importance of market forces in determine whether the proposed rule should be submitted on or before determining prices and SRO revenues change should be approved or February 23, 2021. and, also, recognized that current disapproved. For the Commission, by the Division of regulation of the market system ‘‘has IV. Solicitation of Comments Trading and Markets, pursuant to delegated been remarkably successful in authority.15 promoting market competition in its Interested persons are invited to J. Matthew DeLesDernier, broader forms that are most important to submit written data, views, and Assistant Secretary. 10 investors and listed companies.’’ The arguments concerning the foregoing, [FR Doc. 2021–02116 Filed 2–1–21; 8:45 am] fact that this market is competitive has including whether the proposed rule BILLING CODE 8011–01–P also long been recognized by the courts. change is consistent with the Act. In NetCoalition v. Securities and Comments may be submitted by any of Exchange Commission, the D.C. Circuit the following methods: SECURITIES AND EXCHANGE stated as follows: ‘‘[n]o one disputes Electronic Comments COMMISSION that competition for order flow is ‘fierce.’ . . . As the SEC explained, ‘[i]n • Use the Commission’s internet [Release No. 34–91000; File No. SR– the U.S. national market system, buyers comment form (http://www.sec.gov/ CboeEDGA–2021–003] rules/sro.shtml); or and sellers of securities, and the broker- Self-Regulatory Organizations; Cboe • Send an email to rule-comments@ dealers that act as their order-routing EDGA Exchange, Inc.; Notice of Filing sec.gov. Please include File Number SR– agents, have a wide range of choices of and Immediate Effectiveness of a CboeBZX–2021–010 on the subject line. where to route orders for execution’; Proposed Rule Change To Amend the [and] ‘no exchange can afford to take its Paper Comments Fee Schedule market share percentages for granted’ • because ‘no exchange possesses a Send paper comments in triplicate January 27, 2021. monopoly, regulatory or otherwise, in to Secretary, Securities and Exchange Pursuant to Section 19(b)(1) 1 of the the execution of order flow from broker Commission, 100 F Street NE, Securities Exchange Act of 1934 (the dealers’. . . .’’.11 Accordingly, the Washington, DC 20549–1090. ‘‘Act’’),2 and Rule 19b–4 thereunder,3 Exchange does not believe its proposed All submissions should refer to File notice is hereby given that on January fee change imposes any burden on Number SR–CboeBZX–2021–010. This 13, 2021, Cboe EDGA Exchange, Inc. file number should be included on the (the ‘‘Exchange’’ or ‘‘EDGA’’) filed with 9 See supra note 4. subject line if email is used. To help the the Securities and Exchange 10 See Securities Exchange Act Release No. 51808 Commission process and review your (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005). 15 17 CFR 200.30–3(a)(12). 11 NetCoalition v. SEC, 615 F.3d 525, 539 (D.C. 12 1 Cir. 2010) (quoting Securities Exchange Act Release 15 U.S.C. 78s(b)(3)(A). 15 U.S.C. 78s(b)(1). No. 59039 (December 2, 2008), 73 FR 74770, 74782– 13 17 CFR 240.19b–4(f)(2). 2 15 U.S.C. 78a. 83 (December 9, 2008) (SR–NYSEArca–2006–21)). 14 15 U.S.C. 78s(b)(2)(B). 3 17 CFR 240.19b–4.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00070 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7910 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
Commission (the ‘‘Commission’’) the incentives to be insufficient. More American using the ROBB, ROCO 7 or proposed rule change as described in specifically, the Exchange is only one of ROUC routing strategy and assesses a Items I and II below, which Items have 16 registered equities exchanges, as well charge of $0.00020 per contract for been prepared by the self-regulatory as a number of alternative trading orders in securities priced at or above organization. The Commission is systems and other off-exchange venues $1.00 and assesses no charge for orders publishing this notice to solicit that do not have similar self-regulatory in securities priced below $1.00. comments on the proposed rule change responsibilities under the Exchange Act, The Exchange has observed a minimal from interested persons. to which market participants may direct amount of volume in recent months in their order flow. Based on publicly orders yielding fee codes 8, K or MX. In I. Self-Regulatory Organization’s available information,5 no single particular, over the last six months the Statement of the Terms of Substance of registered equities exchange has more Exchange observed that orders yielding the Proposed Rule Change than 16% of the market share. Thus, in fee code MX accounted for Cboe EDGA Exchange, Inc. (the such a low-concentrated and highly approximately only 0.80% of all routed ‘‘Exchange’’ or ‘‘EDGA’’) is filing with competitive market, no single equities order volume, orders yielding fee code the Securities and Exchange exchange possesses significant pricing K accounted for approximately only Commission (‘‘Commission’’) a power in the execution of order flow. 0.01% of all routed order volume, and proposed rule change to amend the fee The Exchange believes that the ever- there was only one contract executed schedule applicable to Members and shifting market share among the from an order yielding fee code 8. The non-Members of the Exchange pursuant exchanges from month to month Exchange believes that, because so few to EDGA Rules 15.1(a) and (c). Changes demonstrates that market participants Users elect to route their orders with to the fee schedule pursuant to this can shift order flow or discontinue to specifications to which fee codes 8, K or proposal are effective upon filing. The reduce use of certain categories of MX, the current demand does not text of the proposed rule change is products, in response to fee changes. warrant the infrastructure and ongoing provided in Exhibit 5. Accordingly, competitive forces Systems maintenance required to The text of the proposed rule change constrain the Exchange’s transaction support these separate fee codes. is also available on the Exchange’s fees, and market participants can readily Therefore, the Exchange now proposes website (http://markets.cboe.com/us/ trade on competing venues if they deem to delete fee codes 8, K and MX in the equities/regulation/rule_filings/edga/), pricing levels at those other venues to Fee Schedule. The Exchange notes that at the Exchange’s Office of the be more favorable. Users will continue to be able to choose Secretary, and at the Commission’s to route their orders with the same Proposal To Remove Certain Routing Public Reference Room. specifications to which fee codes 8, K Fee Codes and MX currently apply—such orders II. Self-Regulatory Organization’s The Exchange assesses fees in will simply be assessed the fees Statement of the Purpose of, and connection with orders routed away to currently in place for routed orders Statutory Basis for, the Proposed Rule various exchanges. As a result of generally.8 That is, if any of the routed Change minimal use in the last months, the orders to which fee code K or MX In its filing with the Commission, the Exchange proposes to eliminate the currently apply are submitted in the self-regulatory organization included following routing fee codes currently pre- or post-market sessions that remove statements concerning the purpose of, under the Fee Codes and Associated liquidity,9 then fee code 7 will apply, and basis for, the proposed rule change Fees section of the Fee Schedule: which is appended to Members’ routed and discussed any comments it received • Fee code 8, which is appended to orders in the pre- or post-market on the proposed rule change. The text Members’ orders routed to NYSE sessions and assesses a charge of of those statements may be examined at American that adds liquidity and $0.00300 per contract for orders in the places specified in Item IV below. assesses a charge of $0.00020 per securities priced at or above $1.00 and The Exchange has prepared summaries, contract for orders in securities priced at assesses a charge of 30% of the dollar set forth in sections A, B, and C below, or above $1.00 and assesses no charge value per contract for orders in of the most significant parts of such for orders in securities priced below securities priced below $1.00. Fee code statements. $1.00; X will be appended to routed orders not • Fee code K, which is appended to A. Self-Regulatory Organization’s Members’ orders routed to PSX using 7 The ROBB and ROCO routing strategies are Statement of the Purpose of, and the ROUC 6 routing strategy and assesses routing strategies which check the System for Statutory Basis for, the Proposed Rule a charge of $0.00290 per contract for available shares and then are sent to destinations Change on the System routing table. See Rule 11.11(g)(3); orders in securities priced at or above see also Cboe Routing Strategies, FIX/BOE Routing 1. Purpose $1.00 and assesses a charge of 30% of Tags and Instructions, available at: https:// the dollar value per contract for orders cdn.cboe.com/resources/features/Cboe_USE_ The Exchange proposes to amend its in securities priced below $1.00; and RoutingStrategies.pdf. fee schedule by (1) eliminating certain • Fee code MX, which is appended to 8 The Exchange notes that there are other fee routing fee codes and (2) amending an Members’ orders routed to NYSE codes that apply to certain other routing Add/Remove Volume Tier.4 specifications, however, those routed orders not The Exchange first notes that it otherwise specified in such other routing fee code 5 See Cboe Global Markets, U.S. Equities Market descriptions yield the general routing fee codes 7 operates in a highly competitive market Volume Summary, Month-to-Date (December 29, or X. in which market participants can 2020), available at https://markets.cboe.com/us/ 9 Fee code 7 is currently appended to all routed readily direct order flow to competing equities/market_statistics/. orders in the pre- or post-market session that venues if they deem fee levels at a 6 The ROUC routing strategy is a routing strategy remove liquidity. The proposed rule change under which an order checks the System for updates the description associated with fee code 7 particular venue to be excessive or available shares and then is sent to destinations on to clarify in the description that such orders remove the System routing table, Nasdaq OMX BX, and liquidity. This update does not alter the orders to 4 The Exchange initially filed the proposed fee NYSE. See Rule 11.11(g)(1); see also Cboe Routing which fee code 7 currently applies but merely changes January 4, 2021 (SR–CboeEDGA–2021– Strategies, FIX/BOE Routing Tags and Instructions, makes it clear in the Fee Schedule that fee code 7 001). On January 13, 2021, the Exchange withdrew available at: https://cdn.cboe.com/resources/ applies to qualifying routed orders that remove that filing and submitted this proposal. features/Cboe_USE_RoutingStrategies.pdf. liquidity.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00071 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7911
submitted during the pre- or post- 65% of TCV.16 The Exchange proposes investors and the public interest, and, market sessions to which fee code K or to amend Add/Remove Volume Tier 2 to particularly, is not designed to permit MX currently apply and to routed orders reduce the ADV percentage of TCV from unfair discrimination between to which fee code 8 currently applies. 65% to 60%. By reducing the customers, issuers, brokers, or dealers. Fee code X currently assesses a charge percentage of ADV over TCV that a The Exchange again notes that it of $0.00300 per contract for orders in Member must meet to receive a reduced operates in a highly competitive market securities priced at or above $1.00 and fee under Tier 2, the proposed change in which market participants can assesses a charge of 30% of the dollar eases the difficulty of the tier’s criteria readily direct order flow to competing value per contract for orders in by a modest amount, which, the venues if they deem fee levels at a securities priced below $1.00. The Exchange believes will incentive particular venue to be excessive or Exchange notes that rates applicable to Members to increase their overall order incentives to be insufficient. The orders yielding fee codes 7 and X are the flow, both adding and removing orders, proposed rule change reflects a standard routing fees pursuant to the in order to achieve the criteria under competitive pricing structure designed Standard Rates section of the Fee Tier 2 and receive the current reduced to incentivize market participants to Schedule. fee, which is remaining unchanged. The direct their order flow to the Exchange, Exchange believes this may further which the Exchange believes would Proposal To Amend Add/Remove incentivize liquidity adding Members enhance market quality to the benefit of Volume Tier on the Exchange to contribute to a all Members. In response to the competitive deeper, more liquid market, and In particular, the Exchange believes environment described above, the liquidity executing Members on the the proposed rule change to remove fee Exchange offers tiered pricing which Exchange to increase transactions and codes 8, K and MX is reasonable as the provides Members opportunities to take execution opportunities provided Exchange has observed a minimal qualify for higher rebates or reduced by such increased liquidity. The amount of volume in orders yielding fees where certain volume criteria and Exchange believes that this, in turn, these fee codes and, therefore, the thresholds are met. Tiered pricing benefits all Members by contributing continuation of these fee codes does not provides incremental incentives for towards a robust and well-balanced warrant the infrastructure and ongoing Members to strive for higher or different market ecosystem. The Exchange notes Systems maintenance required to tier levels by offering increasingly the proposed tier continues to be support separate fee codes for specific higher discounts or enhanced benefits available to all Members and is routed orders. As such, the Exchange for satisfying increasingly more competitively achievable for all also believes that is reasonable and stringent criteria or different criteria. Members that submit add and/or equitable to assess routed orders which Competing equity exchanges offer remove order flow, in that, all firms that meet the specifications to which fee similar tiered pricing structures, submit the requisite order flow may codes 8, K and MX are currently including schedules of rebates and fees compete to meet the tier. applicable the slightly higher standard routing fee currently in place for all that apply based upon members 2. Statutory Basis achieving certain volume and/or growth other routed orders—via fee codes 7 or thresholds, as well as assess similar fees The Exchange believes that the X, as applicable. The Exchange believes proposed rule change is consistent with that the proposed rule change is or rebates for similar types of orders, to 17 that of the Exchange. These competing the objectives of Section 6 of the Act, equitable and not unfairly in general, and furthers the objectives of pricing schedules, moreover, are discriminatory because Members will Section 6(b)(4),18 in particular, as it is presently comparable to those that the continue to have the option to elect to designed to provide for the equitable Exchange provides. route their orders in the same manner allocation of reasonable dues, fees and (i.e., routed to NYSE American that add The Exchange currently provides for other charges among its Members and liquidity, routed to PSX using the ROUC such tiers pursuant to footnote 7 of the issuers and other persons using its routing strategy, routed to NYSE fee schedule, which currently offers facilities. The Exchange also believes American using the ROBB, ROCO or various different Add/Remove Volume that the proposed rule change is ROUC routing strategy) will be Tiers. Specifically, Tier 2 provides an consistent with the objectives of Section automatically and uniformly assessed opportunity for Members to receive 6(b)(5) 19 requirements that the rules of the applicable standard rates in place reduced fee of $0.0016 per contract for an exchange be designed to prevent for generally all other routed orders.20 qualifying liquidity adding orders (i.e., fraudulent and manipulative acts and Further, if members do not favor the yielding fee codes 3,10 4,11 B,12 V,13 and practices, to promote just and equitable Exchange’s pricing for routed orders, Y 14), where a Member adds or removes 15 principles of trade, to foster cooperation they can send their routable orders an ADV of greater than or equal to and coordination with persons engaged directly to away markets instead of in regulating, clearing, settling, using routing functionality provided by 10 Appended to orders that add liquidity to EDGA, pre and post market (Tapes A or C) and processing information with respect to, the Exchange. Routing through the assesses a standard fee of $0.00300. and facilitating transactions in Exchange is optional, and the Exchange 11 Appended to orders that add liquidity to securities, to remove impediments to operates in a competitive environment EDGA, pre and post market (Tape B) and assesses and perfect the mechanism of a free and where market participants can readily a standard fee of $0.00300. open market and a national market direct order flow to competing venues 12 Appended to orders that add liquidity to EDGA (Tape B) and assesses a standard fee of $0.00300. system, and, in general, to protect or providers of routing services if they 13 Appended to orders that add liquidity to EDGA deem fee levels to be excessive. (Tape A) and assesses a standard fee of $0.00300. 16 TCV means total consolidated volume The Exchange believes the proposed 14 Appended to orders that add liquidity to EDGA calculated as the volume reported by all exchanges rule change to amend the criteria in (Tape C) and assesses a standard fee of $0.00300. and trade reporting facilities to a consolidated Add/Remove Volume Tier 2 is transaction reporting plan for the month for which 15 ADV means daily volume calculated as the reasonable, equitable and not unfairly number of shares added to, removed from, or routed the fees apply. by, the Exchange, or any combination or subset 17 15 U.S.C. 78f. discriminatory. The Exchange believes thereof, per day. ADV is calculated on a monthly 18 15 U.S.C. 78f(b)(4). basis. 19 15 U.S.C. 78f.(b)(5). 20 See supra note 8.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00072 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7912 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
that easing the difficulty in reaching the Exchange does not believe the proposed possesses significant pricing power in criteria by a modest amount is rule change to remove fee codes 8, K or the execution of option order flow. reasonably designed to provide further MX will impose any burden on Indeed, participants can readily choose incentive for Members to submit both intramarket competition because all to send their orders to other exchange adding and removing order flow to the Members orders that would yield and off-exchange venues if they deem Exchange in order to receive the current fee codes 8, K or MX, will fee levels at those other venues to be reduced fee currently offered under Tier automatically and uniformly be assessed more favorable. Moreover, the 2. The Exchange notes that the amount the fees already in place for routed Commission has repeatedly expressed of the reduced fee offered is not orders generally,21 as applicable (i.e., fee its preference for competition over changing. The Exchange believes the codes 7 or X). Further, the Exchange regulatory intervention in determining slight decrease in criteria difficulty does not believe that the proposed rule prices, products, and services in the under Tier 2 may further incentivize change to amend Add/Remove Volume securities markets. Specifically, in liquidity adding Members on the Tier 2 will impose any burden on Regulation NMS, the Commission Exchange to contribute to a deeper, intramarket competition that is not highlighted the importance of market more liquid market, and liquidity necessary or appropriate in furtherance forces in determining prices and SRO executing Members on the Exchange to of the purposes of the Act because the revenues and, also, recognized that increase transactions and take execution proposed change applies to all Members current regulation of the market system opportunities provided by such equally in that all Members will ‘‘has been remarkably successful in increased liquidity. The Exchange continue to be eligible for the proposed promoting market competition in its believes that this, in turn, benefits all Add/Remove Volume Tier 2, have a broader forms that are most important to Members by contributing towards a reasonable opportunity to meet the tier’s investors and listed companies.’’ 23 The robust and well-balanced market criteria, as amended, and will all receive fact that this market is competitive has ecosystem. The Exchange believes that the current reduced fee if such criteria also long been recognized by the courts. the proposed rule change is equitable is met. As describe above, the proposed In NetCoalition v. Securities and and not unfairly discriminatory because Tier 2 criteria is designed to attract Exchange Commission, the D.C. Circuit all Members will continue to be eligible additional order flow to the Exchange, stated as follows: ‘‘[n]o one disputes for the Add/Remove Volume Tier 2 and incentivizing market participants to that competition for order flow is will continue to have the opportunity to direct liquidity and executing order ‘fierce.’ . . . As the SEC explained, ‘[i]n meet the tier’s criteria and receive the flow to the Exchange, bringing with it the U.S. national market system, buyers current reduced fee if such criteria is improved price transparency and more and sellers of securities, and the broker- met. Without having a view of activity trading opportunities to the benefit of dealers that act as their order-routing on other markets and off-exchange all market participants on the Exchange. agents, have a wide range of choices of venues, the Exchange has no way of The Exchange does not believe that where to route orders for execution’; knowing whether this proposed rule the proposed rule change will impose [and] ‘no exchange can afford to take its change would definitely result in any any burden on intermarket competition market share percentages for granted’ Members qualifying for Add/Remove that is not necessary or appropriate in because ‘no exchange possesses a Volume Tier 2, as amended. While the furtherance of the purposes of the Act. monopoly, regulatory or otherwise, in Exchange has no way of predicting with The Exchange again notes that orders the execution of order flow from broker certainty how the proposed tier will that meet the specifications to which fee dealers’. . . .’’.24 Accordingly, the impact Member activity, the Exchange codes 8, K or MX would currently Exchange does not believe its proposed does not anticipate that the proposed apply, will yield the same fee codes and fee change imposes any burden on criteria would impact any of the be assessed the same corresponding competition that is not necessary or Members that are currently able to rates that are already in place in the Fee appropriate in furtherance of the compete for and reach Tier 2 and would Schedule for routed orders generally, as purposes of the Act. merely provide the opportunity for previously filed with the Commission. additional Members to be able to In addition to this, the Exchange also C. Self-Regulatory Organization’s compete for and reach the proposed tier. notes again that competing equity Statement on Comments on the The Exchange also notes that proposed exchanges offer similar tiered pricing Proposed Rule Change Received From Add/Remove Volume Tier 2 will not structures, including schedules of Members, Participants, or Others adversely impact any Member’s pricing rebates and fees that apply based upon The Exchange neither solicited nor or their ability to qualify for other members achieving certain volume and/ received comments on the proposed reduced fee or enhanced rebate tiers. or growth thresholds, as well as assess rule change. Should a Member not meet the similar fees or rebates for similar types proposed criteria under the proposed of orders, to that of the Exchange. Also, III. Date of Effectiveness of the tier, the Member will merely not receive as previously discussed, the Exchange Proposed Rule Change and Timing for that reduced fee. As stated, the reduced operates in a highly competitive market. Commission Action fee offered under Tier 2 remains Members have numerous alternative The foregoing rule change is effective unchanged and it will continue to venues that they may participate on and upon filing pursuant to Section uniformly apply to all Members that director their order flow, including 15 19(b)(3)(A) 25 of the Act and meet the required criteria, as amended, other options exchanges and off- subparagraph (f)(2) of Rule 19b–4 26 under Tier 2. exchange venues. Additionally, the thereunder, because it establishes a due, Exchange represents a small percentage B. Self-Regulatory Organization’s of the overall market. Based on publicly 23 See Securities Exchange Act Release No. 51808 Statement on Burden on Competition available information, no single options (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005). The Exchange does not believe that exchange has more than 16% of the 24 NetCoalition v. SEC, 615 F.3d 525, 539 (D.C. Cir. 2010) (quoting Securities Exchange Act Release 22 the proposed rule change will impose market share. Therefore, no exchange No. 59039 (December 2, 2008), 73 FR 74770, 74782– any burden on competition that is not 83 (December 9, 2008) (SR–NYSEArca–2006–21)). necessary or appropriate in furtherance 21 See supra note 8. 25 15 U.S.C. 78s(b)(3)(A). of the purposes of the Act. The 22 See supra note 5. 26 17 CFR 240.19b–4(f)(2).
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00073 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7913
fee, or other charge imposed by the 10:00 a.m. and 3:00 p.m. Copies of the account makes certain disclosure in its Exchange. filing also will be available for registration statements (in the case of At any time within 60 days of the inspection and copying at the principal those separate account that elect to filing of such proposed rule change, the office of the Exchange. All comments register), reports to contract holders, Commission summarily may received will be posted without change. proxy solicitations, and submissions to temporarily suspend such rule change if Persons submitting comments are state regulatory authorities, as it appears to the Commission that such cautioned that we do not redact or edit prescribed by the rule. action is necessary or appropriate in the personal identifying information from Since 2008, there have been no filings public interest, for the protection of comment submissions. You should of Form N–6EI–1 by separate accounts. investors, or otherwise in furtherance of submit only information that you wish Therefore, there has been no cost or the purposes of the Act. If the to make available publicly. All burden to the industry since that time. Commission takes such action, the submissions should refer to File The Commission requests authorization Commission shall institute proceedings Number SR–CboeEDGA–2021–003, and to maintain an inventory of one burden under Section 19(b)(2)(B) 27 of the Act to should be submitted on or before hour for administrative purposes. determine whether the proposed rule February 23, 2021. An agency may not conduct or change should be approved or For the Commission, by the Division of sponsor, and a person is not required to disapproved. Trading and Markets, pursuant to delegated respond to, a collection of information IV. Solicitation of Comments authority.28 unless it displays a currently valid control number. Interested persons are invited to J. Matthew DeLesDernier, Assistant Secretary. The public may view the background submit written data, views, and documentation for this information [FR Doc. 2021–02118 Filed 2–1–21; 8:45 am] arguments concerning the foregoing, collection at the following website, including whether the proposed rule BILLING CODE 8011–01–P www.reginfo.gov. Comments should be change is consistent with the Act. directed to: (i) Desk Officer for the Comments may be submitted by any of Securities and Exchange Commission, the following methods: SECURITIES AND EXCHANGE COMMISSION Office of Information and Regulatory Electronic Comments Affairs, Office of Management and [SEC File No. 270–177, OMB Control No. Budget, Room 10102, New Executive • Use the Commission’s internet 3235–0177] Office Building, Washington, DC 20503, comment form (http://www.sec.gov/ or by sending an email to: rules/sro.shtml); or Submission for OMB Review; [email protected]; and (ii) • Send an email to rule-comments@ Comment Request sec.gov. Please include File Number SR– David Bottom, Director/Chief CboeEDGA–2021–003 on the subject Upon Written Request, Copies Available Information Officer, Securities and line. From: Securities and Exchange Exchange Commission, c/o Cynthia Commission, Office of FOIA Services, Roscoe, 100 F Street NE, Washington, Paper Comments 100 F Street NE, Washington, DC DC 20549 or send an email to: PRA_ • Send paper comments in triplicate 20549–2736 [email protected]. Written comments to Secretary, Securities and Exchange Extension: and recommendations for the proposed Commission, 100 F Street NE, Rule 6e–2 and Form N–6EI–1 information collection should be sent within 30 days of publication of this Washington, DC 20549–1090. Notice is hereby given that, pursuant All submissions should refer to File notice to www.reginfo.gov/public/do/ to the Paperwork Reduction Act of 1995 PRAMain. Find this particular Number SR–CboeEDGA–2021–003. This (44 U.S.C. 3501 et seq.), the Securities file number should be included on the information collection by selecting and Exchange Commission ‘‘Currently under 30-day Review—Open subject line if email is used. To help the (‘‘Commission’’) has submitted to the Commission process and review your for Public Comments’’ or by using the Office of Management and Budget a search function. comments more efficiently, please use request for extension of the previously only one method. The Commission will approved collection of information Dated: January 27, 2021. post all comments on the Commission’s discussed below. J. Matthew DeLesDernier, internet website (http://www.sec.gov/ Rule 6e–2 (17 CFR 270.6e–2) under Assistant Secretary. rules/sro.shtml). Copies of the the Investment Company Act of 1940 [FR Doc. 2021–02123 Filed 2–1–21; 8:45 am] submission, all subsequent (‘‘Act’’) (15 U.S.C. 80a) is an exemptive BILLING CODE 8011–01–P amendments, all written statements rule that provides separate accounts with respect to the proposed rule formed by life insurance companies to change that are filed with the fund certain variable life insurance SECURITIES AND EXCHANGE Commission, and all written products, exemptions from certain COMMISSION communications relating to the provisions of the Act, subject to proposed rule change between the [Release No. 10923/January 28, 2021; conditions set forth in the rule. Release No. 91004/January 28, 2021] Commission and any person, other than Rule 6e–2 provides a separate account those that may be withheld from the with an exemption from the registration Securities Act of 1933; Securities public in accordance with the provisions of section 8(a) of the Act if Exchange Act of 1934; Order provisions of 5 U.S.C. 552, will be the account files with the Commission Regarding Review of Financial available for website viewing and Form N–6EI–1 (17 CFR 274.301), a Accounting Standards Board (FASB) printing in the Commission’s Public notification of claim of exemption. Accounting Support Fee for 2021 Reference Room, 100 F Street NE, The rule also exempts a separate Under Section 109 of the Sarbanes- Washington, DC 20549, on official account from a number of other sections Oxley Act of 2002 business days between the hours of of the Act, provided that the separate The Sarbanes-Oxley Act of 2002 27 15 U.S.C. 78s(b)(2)(B). 28 17 CFR 200.30–3(a)(12). (‘‘SOX’’ or the ‘‘Act’’) provides that the
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00074 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7914 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
Securities and Exchange Commission Commission has been advised by the I. Self-Regulatory Organization’s (the ‘‘Commission’’) may recognize, as FAF that neither the FAF, the FASB, nor Statement of the Terms of Substance of generally accepted for purposes of the the GASB accept contributions from the the Proposed Rule Change securities laws, any accounting accounting profession. Cboe BYX Exchange, Inc. (the principles established by a standard- The Commission understands that the setting body that meets certain criteria. ‘‘Exchange’’ or ‘‘BYX’’) is filing with the Office of Management and Budget Securities and Exchange Commission Section 109 of SOX provides that all of (‘‘OMB’’) has determined the FASB’s the budget of such a standard-setting (‘‘Commission’’) a proposed rule change spending of the 2021 accounting to amend the fee schedule applicable to body shall be payable from an annual support fee is sequestrable under the accounting support fee assessed and Members and non-Members of the Budget Control Act of 2011.3 So long as Exchange pursuant to BYX Rules 15.1(a) collected against each issuer, as may be sequestration is applicable, we necessary or appropriate to pay for the and (c). Changes to the fee schedule anticipate that the FAF will work with pursuant to this proposal are effective budget and provide for the expenses of the Commission and Commission staff the standard-setting body, and to upon filing. The text of the proposed as appropriate regarding its provide for an independent, stable rule change is provided in Exhibit 5. implementation of sequestration. source of funding, subject to review by The text of the proposed rule change the Commission. Under Section 109(f) After its review, the Commission is also available on the Exchange’s of the Act, the amount of fees collected determined that the 2021 annual website (http://markets.cboe.com/us/ for a fiscal year shall not exceed the accounting support fee for the FASB is equities/regulation/rule_filings/byx/), at ‘‘recoverable budget expenses’’ of the consistent with Section 109 of the Act. the Exchange’s Office of the Secretary, standard-setting body. Section 109(h) of Accordingly, and at the Commission’s Public SOX amends Section 13(b)(2) of the It is ordered, pursuant to Section 109 Reference Room. Securities Exchange Act of 1934 to of SOX, that the FASB may act in II. Self-Regulatory Organization’s require issuers to pay the allocable share accordance with this determination of Statement of the Purpose of, and of a reasonable annual accounting the Commission. Statutory Basis for, the Proposed Rule support fee or fees, determined in accordance with Section 109 of the Act. By the Commission. Change On April 25, 2003, the Commission Vanessa A. Countryman, In its filing with the Commission, the issued a policy statement concluding Secretary. self-regulatory organization included that the Financial Accounting Standards [FR Doc. 2021–02171 Filed 2–1–21; 8:45 am] statements concerning the purpose of, Board (‘‘FASB’’) and its parent BILLING CODE P and basis for, the proposed rule change organization, the Financial Accounting and discussed any comments it received Foundation (‘‘FAF’’), satisfied the on the proposed rule change. The text criteria for an accounting standard- SECURITIES AND EXCHANGE of those statements may be examined at setting body under the Act, and COMMISSION the places specified in Item IV below. recognizing the FASB’s financial The Exchange has prepared summaries, accounting and reporting standards as [Release No. 34–90999; File No. SR– set forth in sections A, B, and C below, ‘‘generally accepted’’ under Section 108 of the most significant parts of such 1 CboeBYX–2021–003] of the Act. Accordingly, the statements. Commission undertook a review of the Self-Regulatory Organizations; Cboe A. Self-Regulatory Organization’s FASB’s accounting support fee for BYX Exchange, Inc.; Notice of Filing calendar year 2021.2 In connection with Statement of the Purpose of, and and Immediate Effectiveness of a Statutory Basis for, the Proposed Rule its review, the Commission also Proposed Rule Change To Amend Its reviewed the budget for the FAF and the Change Fee Schedule To Eliminate Certain FASB for calendar year 2021. Routing Fee Codes 1. Purpose Section 109 of SOX provides that, in addition to the accounting support fee, January 27, 2021. The Exchange proposes to amend its the standard-setting body can have fee schedule by eliminating certain additional sources of revenue for its Pursuant to Section 19(b)(1) of the routing fee codes.3 Securities Exchange Act of 1934 (the activities, such as earnings from sales of The Exchange first notes that it publications, provided that each ‘‘Act’’),1 and Rule 19b–4 thereunder,2 notice is hereby given that on January operates in a highly competitive market additional source of revenue shall not in which market participants can jeopardize, in the judgment of the 13, 2021, Cboe BYX Exchange, Inc. (the ‘‘Exchange’’ or ‘‘BYX’’) filed with the readily direct order flow to competing Commission, the actual or perceived venues if they deem fee levels at a independence of the standard setter. In Securities and Exchange Commission (the ‘‘Commission’’) the proposed rule particular venue to be excessive or this regard, the Commission also incentives to be insufficient. More considered the interrelation of the change as described in Items I and II below, which Items have been prepared specifically, the Exchange is only one of operating budgets of the FAF, the FASB, 16 registered equities exchanges, as well and the Governmental Accounting by the Exchange. The Commission is publishing this notice to solicit as a number of alternative trading Standards Board (‘‘GASB’’), the FASB’s systems and other off-exchange venues sister organization, which sets comments on the proposed rule change from interested persons. that do not have similar self-regulatory accounting standards used by state and responsibilities under the Exchange Act, local government entities. The to which market participants may direct 3 See ‘‘OMB Report Pursuant to the Sequestration their order flow. Based on publicly 1 Financial Reporting Release No. 70. Transparency Act of 2012’’ (Pub. L. 112–155), page 2 The Financial Accounting Foundation’s Board 16 of 17 at: https://www.whitehouse.gov/wp- _ _ of Trustees approved the FASB’s budget on content/uploads/2020/02/JC-sequestration report 3 The Exchange initially filed the proposed fee _ November 17, 2020. The FAF submitted the FY21 2-10-20.pdf changes January 4, 2021 (SR–CboeBYX–2021–001). approved budget to the Commission on November 1 15 U.S.C. 78s(b)(1). On January 13, 2021, the Exchange withdrew that 23, 2020. 2 17 CFR 240.19b–4. filing and submitted this proposal.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00075 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7915
available information,4 no single In light of the proposed fee code practices, to promote just and equitable registered equities exchange has more deletions, the Exchange also proposes to principles of trade, to foster cooperation than 16% of the market share. Thus, in update the description to which fee and coordination with persons engaged such a low-concentrated and highly code X is applicable. Currently, the in regulating, clearing, settling, competitive market, no single equities description for orders yielding fee code processing information with respect to, exchange possesses significant pricing X applies to Members’ orders routed to and facilitating transactions in power in the execution of order flow. a displayed market to remove liquidity securities, to remove impediments to The Exchange believes that the ever- using Parallel D, Parallel 2D, ROUT, and perfect the mechanism of a free and shifting market share among the ROUX or Post to Away routing strategy. open market and a national market exchanges from month to month Fee code X assesses a charge of $0.0030 system, and, in general, to protect demonstrates that market participants per contract. Essentially, fee code X is investors and the public interest, and, can shift order flow or discontinue to designed to apply, and currently particularly, is not designed to permit reduce use of certain categories of applies, to all other routed orders that unfair discrimination between products, in response to fee changes. are not otherwise specified under other customers, issuers, brokers, or dealers. Accordingly, competitive forces fee codes in the Fee Schedule. However, The Exchange believes the proposed constrain the Exchange’s transaction as currently written, the description of rule changes are reasonable, equitable fees, and market participants can readily orders that yield fee code X would not and not unfairly discriminatory. The trade on competing venues if they deem encompass those orders that currently Exchange first notes that routing pricing levels at those other venues to yield fee codes 8 and MX. Therefore, the through the Exchange is optional. The be more favorable. proposed rule change updates the Exchange believes the proposed rule The Exchange assesses fees in description of orders that yield fee code change to remove fee codes 8 and MX connection with orders routed away to X to ‘‘Routed.’’ The Exchange notes that is reasonable as the Exchange has various exchanges. As a result of the corresponding fee will remain observed a minimal amount of volume minimal use in the last months, the unchanged and is the standard rate in orders yielding these fee codes and, Exchange proposes to eliminate the routing fee assessed pursuant to the therefore, the continuation of these fee following routing fee codes currently Standard Rates section of the Fee codes does not warrant the under the Fee Codes and Associated Schedule. As a result of the proposed infrastructure and ongoing Systems Fees section of the Fee Schedule: description, Members will continue to maintenance required to support • Fee code 8, which is appended to be able to choose to route their orders separate fee codes for specific routed Members’ orders routed to NYSE with the same specifications to which orders. As such, the Exchange also American that adds liquidity and fee codes 8 and MX currently apply— believes that is reasonable and equitable assesses a charge of $0.00020 per such orders will simply be assessed the to assess routed orders which meet the contract; and fee currently in place for orders yielding specifications to which fee codes 8 and • Fee code MX, which is appended to fee code X (i.e., routed orders not MX are currently applicable the slightly Members’ orders routed to NYSE otherwise specified under other fee higher standard routing fee currently in American using the SLIM 5 routing codes in the Fee Schedule). The place for all other routed orders that are strategy and assesses a charge of Exchange notes that the proposed not otherwise specified under other fee $0.00020 per contract. description for fee code X does not alter codes in the Fee Schedule—via fee code The Exchange has observed a minimal any of the routed orders to which fee X, as amended. The Exchange believes amount of volume in recent months in code X currently applies. The Exchange it is reasonable to update the orders yielding fee codes 8 or MX. In also notes that the proposed description description for orders that yield fee code particular, over the last six months the for fee code X is consistent with the X in a manner that reflects the intent of Exchange observed that orders yielding description associated with fee code X, which is to apply to routed fee code MX accounted for corresponding fee code X on the orders not otherwise specified under approximately only 0.12% of all routed Exchange’s affiliated equities exchanges, other fees codes in the Fee Schedule, order volume, and no orders yielding Cboe EDGX Exchange, Inc. (‘‘EDGX’’) and will thus apply to routed orders that fee code 8 have been submitted since and Cboe EDGA Exchange Inc. currently yield fee codes 8 and MX. The 2014. The Exchange believes that, (‘‘EDGA’’). Exchange believes that the proposed because so few Users elect to route their updated description is reasonable orders with specifications to which fee 2. Statutory Basis because it does not alter any of the codes 8 or MX, the current demand does The Exchange believes that the routed orders to which fee code X not warrant the infrastructure and proposed rule change is consistent with currently applies and will allow ongoing Systems maintenance required the objectives of Section 6 of the Act,6 Members to continue to be able to to support these separate fee codes. in general, and furthers the objectives of choose to route their orders with the Therefore, the Exchange now proposes Section 6(b)(4),7 in particular, as it is same specifications to which fee codes to delete fee codes 8 and MX in the Fee designed to provide for the equitable 8 and MX currently apply. The Schedule. allocation of reasonable dues, fees and Exchange again notes that the proposed other charges among its Members and description for fee code X is consistent 4 See Cboe Global Markets, U.S. Equities Market issuers and other persons using its with the description associated with Volume Summary, Month-to-Date (December 29, facilities. The Exchange also believes corresponding fee code X on the 2020), available at https://markets.cboe.com/us/ _ that the proposed rule change is Exchange’s affiliated equities exchanges. equities/market statistics/. The Exchange believes that the 5 The SLIM routing strategy is a routing strategy consistent with the objectives of Section in which an order checks the System for available 6(b)(5) 8 requirements that the rules of proposed rule change is equitable and shares if so instructed by the entering User and then an exchange be designed to prevent not unfairly discriminatory because is sent to destinations on the applicable System fraudulent and manipulative acts and Members will continue to have the routing table. See Rule 11.13(b)(3)(G); see also Cboe option to elect to route their orders in Routing Strategies, FIX/BOE Routing Tags and Instructions, available at: https://cdn.cboe.com/ 6 15 U.S.C. 78f. the same manner (i.e., routed to NYSE resources/features/Cboe_USE_ 7 15 U.S.C. 78f(b)(4). American that add liquidity and routed RoutingStrategies.pdf. 8 15 U.S.C. 78f.(b)(5). to NYSE American using the SLIM
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00076 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7916 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
routing strategy), which will be Additionally, the Exchange represents a III. Date of Effectiveness of the automatically and uniformly be assessed small percentage of the overall market. Proposed Rule Change and Timing for the applicable standard rates in place Based on publicly available information, Commission Action for generally all other routed orders no single options exchange has more The foregoing rule change is effective under fee code X. Further, if members than 16% of the market share.9 upon filing pursuant to Section do not favor the Exchange’s pricing for Therefore, no exchange possesses 19(b)(3)(A) 12 of the Act and routed orders, they can send their significant pricing power in the subparagraph (f)(2) of Rule 19b–4 13 routable orders directly to away markets execution of option order flow. Indeed, thereunder, because it establishes a due, instead of using routing functionality participants can readily choose to send fee, or other charge imposed by the provided by the Exchange. Routing their orders to other exchange and off- Exchange. through the Exchange is optional, and exchange venues if they deem fee levels At any time within 60 days of the the Exchange operates in a competitive filing of such proposed rule change, the environment where market participants at those other venues to be more favorable. Moreover, the Commission Commission summarily may can readily direct order flow to temporarily suspend such rule change if competing venues or providers of has repeatedly expressed its preference for competition over regulatory it appears to the Commission that such routing services if they deem fee levels action is necessary or appropriate in the intervention in determining prices, to be excessive. The Exchange believes public interest, for the protection of that the updated description for orders products, and services in the securities investors, or otherwise in furtherance of that yield fee code X is equitable and markets. Specifically, in Regulation the purposes of the Act. If the not unfairly discriminatory because it NMS, the Commission highlighted the Commission takes such action, the does not impact the routed orders that importance of market forces in Commission shall institute proceedings currently yield fee code X; the same determining prices and SRO revenues under Section 19(b)(2)(B) 14 of the Act to orders will continue to yield fee code X and, also, recognized that current determine whether the proposed rule and will continue to be automatically regulation of the market system ‘‘has change should be approved or and uniformly assessed the been remarkably successful in disapproved. corresponding fee. promoting market competition in its IV. Solicitation of Comments B. Self-Regulatory Organization’s broader forms that are most important to Statement on Burden on Competition investors and listed companies.’’ 10 The Interested persons are invited to fact that this market is competitive has submit written data, views, and The Exchange does not believe that arguments concerning the foregoing, the proposed rule change will impose also long been recognized by the courts. In NetCoalition v. Securities and including whether the proposed rule any burden on competition that is not change is consistent with the Act. necessary or appropriate in furtherance Exchange Commission, the D.C. Circuit stated as follows: ‘‘[n]o one disputes Comments may be submitted by any of of the purposes of the Act. The the following methods: Exchange does not believe the proposed that competition for order flow is rule change will impose any burden on ‘fierce.’ . . . As the SEC explained, ‘[i]n Electronic Comments intramarket competition because all the U.S. national market system, buyers • Use the Commission’s internet Members orders that would yield and sellers of securities, and the broker- comment form (http://www.sec.gov/ current fee codes 8 or MX, will dealers that act as their order-routing rules/sro.shtml); or automatically and uniformly be assessed agents, have a wide range of choices of • Send an email to rule-comments@ the fees already in place for all other where to route orders for execution’; sec.gov. Please include File Number SR– routed orders generally under fee code [and] ‘no exchange can afford to take its CboeBYX–2021–003 on the subject line. X. Fee code X, as amended, will market share percentages for granted’ Paper Comments continue to apply to the same routed because ‘no exchange possesses a • orders as it currently does, which will monopoly, regulatory or otherwise, in Send paper comments in triplicate continue to be automatically and the execution of order flow from broker to Secretary, Securities and Exchange uniformly assessed the corresponding dealers’. . . .’’.11 Accordingly, the Commission, 100 F Street NE, Washington, DC 20549–1090. fee. Ultimately, all routed orders will Exchange does not believe its proposed generally be assessed the same fee. All submissions should refer to File The Exchange does not believe that fee change imposes any burden on competition that is not necessary or Number SR–CboeBYX–2021–003. This the proposed rule change will impose file number should be included on the appropriate in furtherance of the any burden on intermarket competition subject line if email is used. To help the purposes of the Act. that is not necessary or appropriate in Commission process and review your furtherance of the purposes of the Act. C. Self-Regulatory Organization’s comments more efficiently, please use The Exchange again notes that orders Statement on Comments on the only one method. The Commission will that meet the specifications to which fee Proposed Rule Change Received From post all comments on the Commission’s codes 8 or MX would currently apply, Members, Participants, or Others internet website (http://www.sec.gov/ will yield the same fee codes and be rules/sro.shtml). Copies of the assessed the same corresponding rates The Exchange neither solicited nor submission, all subsequent that are already in place in the Fee received comments on the proposed amendments, all written statements Schedule for routed orders generally, as rule change. with respect to the proposed rule previously filed with the Commission. change that are filed with the Also, as previously discussed, the 9 Commission, and all written Exchange operates in a highly See supra note 4. 10 See Securities Exchange Act Release No. 51808 communications relating to the competitive market. Members have (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005). proposed rule change between the numerous alternative venues that they 11 NetCoalition v. SEC, 615 F.3d 525, 539 (D.C. may participate on and director their Cir. 2010) (quoting Securities Exchange Act Release 12 15 U.S.C. 78s(b)(3)(A). order flow, including 15 other options No. 59039 (December 2, 2008), 73 FR 74770, 74782– 13 17 CFR 240.19b–4(f)(2). exchanges and off-exchange venues. 83 (December 9, 2008) (SR–NYSEArca–2006–21)). 14 15 U.S.C. 78s(b)(2)(B).
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00077 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7917
Commission and any person, other than shareholders which adequately required under the rule is those that may be withheld from the discloses the sources of the payment. approximately 1 hour per statement. public in accordance with the Section 19(a) authorizes the The total annual burden for all provisions of 5 U.S.C. 552, will be Commission to prescribe the form of portfolios therefore is estimated to be available for website viewing and such statement by rule. approximately 24,038 burden hours.4 printing in the Commission’s Public Rule 19a–1 (17 CFR 270.19a–1) under The staff estimates that approximately Reference Room, 100 F Street NE, the Act, entitled ‘‘Written Statement to one-third of the total annual burden Washington, DC 20549, on official Accompany Dividend Payments by (8,013 hours) would be incurred by a business days between the hours of Management Companies,’’ sets forth paralegal with an average hourly wage 10:00 a.m. and 3:00 p.m. Copies of the specific requirements for the rate of approximately $219 per hour,5 filing also will be available for information that must be included in and approximately two-thirds of the inspection and copying at the principal statements made pursuant to section annual burden (16,026 hours) would be office of the Exchange. All comments 19(a) by or on behalf of management incurred by a compliance clerk with an received will be posted without change. companies.1 The rule requires that the average hourly wage rate of $71 per Persons submitting comments are statement indicate what portions of hour.6 The staff therefore estimates that cautioned that we do not redact or edit distribution payments are made from the aggregate annual cost of complying personal identifying information from net income, net profits from the sale of with the paperwork requirements of the comment submissions. You should a security or other property (‘‘capital rule is approximately $2,892,693 ((8,013 × submit only information that you wish gains’’) and paid-in capital. When any hours $219 = $1,754,847) + (16,026 × to make available publicly. All part of the payment is made from capital hours $71 = $1,137,846)). submissions should refer to File gains, rule 19a–1 also requires that the To comply with state law, many Number SR–CboeBYX–2021–003, and statement disclose certain other investment companies already must should be submitted on or before information relating to the appreciation distinguish the different sources from February 23, 2021. or depreciation of portfolio securities. If which a shareholder distribution is paid an estimated portion is subsequently and disclose that information to For the Commission, by the Division of determined to be significantly shareholders. Thus, many investment Trading and Markets, pursuant to delegated companies would be required to authority.15 inaccurate, a correction must be made on a statement made pursuant to section distinguish the sources of shareholder J. Matthew DeLesDernier dividends whether or not the Assistant Secretary. 19(a) or in the first report to shareholders following the discovery of Commission required them to do so [FR Doc. 2021–02117 Filed 2–1–21; 8:45 am] the inaccuracy. under rule 19a–1. BILLING CODE 8011–01–P The purpose of rule 19a–1 is to afford The estimate of average burden hours fund shareholders adequate disclosure is made solely for the purposes of the of the sources from which distribution Paperwork Reduction Act, and is not SECURITIES AND EXCHANGE derived from a comprehensive or even COMMISSION payments are made. The rule is intended to prevent shareholders from a representative survey or study of the [SEC File No. 270–240, OMB Control No. confusing income dividends with costs of Commission rules. Compliance 3235–0216] distributions made from capital sources. with the collection of information Absent rule 19a–1, shareholders might required by rule 19a–1 is mandatory for Submission for OMB Review; receive a false impression of fund gains. management companies that make Comment Request Based on a review of filings made statements to shareholders pursuant to section 19(a) of the Act. An agency may Upon Written Request, Copies Available with the Commission, the staff estimates not conduct or sponsor, and a person is From: Securities and Exchange that approximately 12,019 series of not required to respond to, a collection Commission, Office of FOIA Services, registered investment companies that of information unless it displays a 100 F Street NE, Washington, DC are management companies may be 2 currently valid control number. 20549–2736 subject to rule 19a–1 each year, and that each portfolio on average mails two The public may view the background Extension: documentation for this information Rule 19a–1 statements per year to meet the requirements of the rule.3 The staff collection at the following website, Notice is hereby given that, pursuant further estimates that the time needed to www.reginfo.gov. Comments should be to the Paperwork Reduction Act of 1995 make the determinations required by the directed to: (i) Desk Officer for the (44 U.S.C. 3501–3520), the Securities rule and to prepare the statement Securities and Exchange Commission, and Exchange Commission (the Office of Information and Regulatory Affairs, Office of Management and ‘‘Commission’’) has submitted to the 1 Section 4(3) of the Act (15 U.S.C. 80a–4(3)) Office of Management and Budget a defines ‘‘management company’’ as ‘‘any Budget, Room 10102, New Executive request for extension of the previously investment company other than a face amount approved collection of information certificate company or a unit investment trust.’’ 4 This estimate is based on the following 2 This estimate is based on statistics compiled by calculation: 12,019 management investment discussed below. Commission staff as of September 21, 2020. The company portfolios × 2 statements per year × 1 hour Section 19(a) (15 U.S.C. 80a–19(a)) of number of management investment company per statement = 24,038 burden hours. the Investment Company Act of 1940 portfolios that make distributions for which 5 Hourly rates are derived from the Securities (the ‘‘Act’’) (15 U.S.C. 80a) makes it compliance with rule 19a–1 is required depends on Industry and Financial Markets Association unlawful for any registered investment a wide range of factors and can vary greatly across (‘‘SIFMA’’), Management and Professional Earnings years. Therefore, the calculation of estimated in the Securities Industry 2013, modified to account company to pay any dividend or similar burden hours is based on the total number of for an 1,800-hour work-year and inflation, and distribution from any source other than management investment company portfolios, each multiplied by 5.35 to account for bonuses, firm size, the company’s net income, unless the of which may be subject to rule 19a–1. employee benefits, and overhead. payment is accompanied by a written 3 A few portfolios make monthly distributions 6 Hourly rates are derived from SIFMA’s Office from sources other than net income, so the rule Salaries in the Securities Industry 2013, modified statement to the company’s requires them to send out a statement 12 times a to account for an 1,800-hour work-year and year. Other portfolios never make such multiplied by 2.93 to account for bonuses, firm size, 15 17 CFR 200.30–3(a)(12). distributions. employee benefits and overhead.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00078 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7918 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
Office Building, Washington, DC 20503, company that is excluded from the Dated: January 27, 2021. or by sending an email to: definition of ‘‘investment company’’ by J. Matthew DeLesDernier, [email protected]; and (ii) Section 3(c)(1) because it has fewer than Assistant Secretary. David Bottom, Director/Chief one hundred shareholders and is not [FR Doc. 2021–02122 Filed 2–1–21; 8:45 am] Information Officer, Securities and making a public offering of its securities BILLING CODE 8011–01–P Exchange Commission, c/o Cynthia may lose such an exclusion solely Roscoe, 100 F Street NE, Washington, because it proposes to make a public DC 20549 or send an email to: PRA_ offering of securities as a business [email protected]. Written comments development company. Such company, SMALL BUSINESS ADMINISTRATION and recommendations for the proposed under certain conditions, would not information collection should be sent lose its exclusion if it notifies the within 30 days of publication of this Commission on Form N–6F of its intent [Disaster Declaration # 16811 and # 16812; notice to www.reginfo.gov/public/do/ to make an election to be regulated as Alabama Disaster Number AL–00116] PRAMain. Find this particular a business development company. The Presidential Declaration Amendment of information collection by selecting company only has to file a Form N–6F a Major Disaster for Public Assistance ‘‘Currently under 30-day Review—Open once. for Public Comments’’ or by using the Only for the State of Alabama The Commission estimates that on search function. average approximately 4 companies file AGENCY: U.S. Small Business Dated: January 27, 2021. these notifications each year. Each of Administration. J. Matthew DeLesDernier, those companies need only make a Assistant Secretary. single filing of Form N–6F. The ACTION: Amendment 2. [FR Doc. 2021–02124 Filed 2–1–21; 8:45 am] Commission further estimates that this SUMMARY: This is an amendment of the BILLING CODE 8011–01–P information collection imposes burden of 0.5 hours, resulting in a total annual Presidential declaration of a major PRA burden of 2 hours. Based on the disaster for Public Assistance Only for SECURITIES AND EXCHANGE estimated wage rate, the total cost to the the State of Alabama (FEMA–4573–DR), COMMISSION industry of the hour burden for dated 12/10/2020. [SEC File No. 270–185, OMB Control No. complying with Form N–6F would be Incident: Hurricane Zeta. 3235–0238] approximately $736. Incident Period: 10/28/2020 through The collection of information under 10/29/2020. Submission for OMB Review; Form N–6F is mandatory. The Comment Request information provided under the form is DATES: Issued on 01/27/2021. Upon Written Request, Copies Available not kept confidential. An agency may Physical Loan Application Deadline From: Securities and Exchange not conduct or sponsor, and a person is Date: 02/08/2021. Commission, Office of FOIA Services, not required to respond to, a collection Economic Injury (EIDL) Loan 100 F Street NE, Washington, DC of information unless it displays a Application Deadline Date: 09/10/2021. 20549–2736 currently valid OMB control number. ADDRESSES: Submit completed loan The public may view the background Extension: applications to: U.S. Small Business Form N–6F documentation for this information collection at the following website, Administration, Processing and Notice is hereby given that, pursuant www.reginfo.gov. Comments should be Disbursement Center, 14925 Kingsport to the Paperwork Reduction Act of 1995 directed to: (i) Desk Officer for the Road, Fort Worth, TX 76155. (44 U.S.C. 3501 et seq.), the Securities Securities and Exchange Commission, and Exchange Commission FOR FURTHER INFORMATION CONTACT: A. Office of Information and Regulatory (‘‘Commission’’) has submitted to the Escobar, Office of Disaster Assistance, Affairs, Office of Management and Office of Management and Budget a U.S. Small Business Administration, Budget, Room 10102, New Executive request for extension of the previously 409 3rd Street SW, Suite 6050, Office Building, Washington, DC 20503, approved collection of information Washington, DC 20416, (202) 205–6734. or by sending an email to: discussed below. SUPPLEMENTARY INFORMATION: The notice The title for the collection of [email protected]; and (ii) David Bottom, Director/Chief of the President’s major disaster information is ‘‘Form N–6F (17 CFR declaration for Private Non-Profit 274.15), Notice of Intent to Elect to be Information Officer, Securities and organizations in the State of Alabama, Subject to Sections 55 through 65 of the Exchange Commission, c/o Cynthia dated 12/10/2020, is hereby amended to Investment Company Act of 1940.’’ The Roscoe, 100 F Street NE, Washington, _ include the following areas as adversely purpose of Form N–6F is to notify the DC 20549 or send an email to: PRA affected by the disaster. Commission of a company’s intent to [email protected]. Written comments file a notification of election to become and recommendations for the proposed Primary Counties: Lowndes subject to Sections 55 through 65 of the information collection should be sent within 30 days of publication of this All other information in the original Investment Company Act of 1940 (15 declaration remains unchanged. U.S.C. 80a–1 et seq.) (‘‘1940 Act’’). notice to www.reginfo.gov/public/do/ Certain companies may have to make a PRAMain. Find this particular (Catalog of Federal Domestic Assistance filing with the Commission before they information collection by selecting Number 59008) ‘‘Currently under 30-day Review—Open are ready to elect to be regulated as a Cynthia Pitts, business development company.1 A for Public Comments’’ or by using the search function. Acting Associate Administrator for Disaster Assistance. 1 A company might not be prepared to elect to be [FR Doc. 2021–02142 Filed 2–1–21; 8:45 am] subject to Sections 55 through 65 of the 1940 Act compensation plan is not yet in compliance with because its capital structure or management the requirements of those sections. BILLING CODE 8026–03–P
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00079 Fmt 4703 Sfmt 9990 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7919
SMALL BUSINESS ADMINISTRATION Thursday, February, 25, 2021, from DEPARTMENT OF TRANSPORTATION 11:00 a.m. until approximately 2:30 [Disaster Declaration # 16828 and # 16829; p.m. Based on federal and state Federal Aviation Administration Louisiana Disaster Number LA–00108] guidance in response to the Covid–19 [Docket No. 2120–0076] Presidential Declaration Amendment of pandemic this meeting will be held a Major Disaster for Public Assistance virtually. The meeting will be made Agency Information Collection Only for the State of Louisiana available to the public; see below. Activities: Requests for Comments; Clearance of Renewed Approval of The Overseas Schools Advisory AGENCY: U.S. Small Business Information Collection: Renewal of Council works closely with the U.S. Administration. AVIATOR Customer Satisfaction business community on improving ACTION: Amendment 1. Survey those American-sponsored schools SUMMARY: This is an amendment of the overseas that are assisted by the AGENCY: Federal Aviation Presidential declaration of a major Department of State and attended by Administration (FAA), DOT. disaster for Public Assistance Only for dependents of U.S. government ACTION: Notice and request for the State of Louisiana (FEMA–4570– employees, and the children of comments. DR), dated 12/23/2020. employees of U.S. corporations and Incident: Hurricane Delta. foundations abroad. SUMMARY: In accordance with the Paperwork Reduction Act of 1995, FAA Incident Period: 10/06/2020 through This meeting will deal with issues 10/10/2020. invites public comments about our related to the work and the support intention to request the Office of DATES: Issued on 01/27/2021. provided by the Overseas Schools Management and Budget (OMB) Physical Loan Application Deadline Advisory Council to the American- approval to renew an information Date: 02/22/2021. sponsored overseas schools. There will collection. The collection involves on- Economic Injury (EIDL) Loan be a report and discussion about the line, electronic applicant (customer) Application Deadline Date: 09/23/2021. status of the Council-sponsored Child answers to standard survey questions. ADDRESSES: Submit completed loan Protection Project and discussion on the The questions are presented as multiple applications to: U.S. Small Business most recent project addressing school choice selections and free-form text Administration, Processing and based mental health issues. Moreover, areas where applicants can choose their Disbursement Center, 14925 Kingsport the Regional Education Officers in the desired answer and, if they wish, add Road, Fort Worth, TX 76155. Office of Overseas Schools will make additional comments. The information FOR FURTHER INFORMATION CONTACT: A. presentations on the activities and to be collected will be used to and is Escobar, Office of Disaster Assistance, initiatives in the American-sponsored necessary to gage the level of user U.S. Small Business Administration, overseas schools. satisfaction with the AVIATOR system. 409 3rd Street SW, Suite 6050, Additionally, the surveys are used to Members of the public may attend the Washington, DC 20416, (202) 205–6734. obtain benchmarking and feedback to meeting virtually and join in the SUPPLEMENTARY INFORMATION: The notice ensure quality. discussion, subject to the instructions of of the President’s major disaster DATES: the Chair. Members of the public who Written comments should be declaration for Private Non-Profit submitted by April 5, 2021. plan to virtually attend should advise organizations in the State of Louisiana, ADDRESSES: Please send written dated 12/23/2020, is hereby amended to the office of Mr. Thomas Shearer, Department of State, Office of Overseas comments: include the following areas as adversely By Electronic Docket: affected by the disaster. Schools, telephone 202–261–8200, prior to February 18, 2021. Any requests for www.regulations.gov (Enter docket Primary Parishes: Acadia, Caldwell, number into search field). reasonable accommodation should also Cameron, Catahoula, East Feliciana, By mail: Toni Main-Valentin, Federal be made by that date. Interested Evangeline, Jefferson Davis, Aviation Administration, AHP–100, Richland, Union. members of the public will be asked to 6500 S MacArthur Blvd., Oklahoma provide their name and preferred email All other information in the original City, OK 73169. address, and a valid link will be sent declaration remains unchanged. By email: [email protected]. prior to the meeting. The link provided Public Comments Invited: You are (Catalog of Federal Domestic Assistance to attendees should not be shared with Number 59008) asked to comment on any aspect of this other individuals. information collection, including (a) Cynthia Pitts, Thomas P. Shearer, Whether the proposed collection of Acting Associate Administrator for Disaster information is necessary for FAA’s Executive Secretary, Overseas Schools Assistance. performance; (b) the accuracy of the Advisory Council. [FR Doc. 2021–02143 Filed 2–1–21; 8:45 am] estimated burden; (c) ways for FAA to [FR Doc. 2021–02157 Filed 2–1–21; 8:45 am] BILLING CODE 8026–03–P enhance the quality, utility and clarity BILLING CODE 4710–24–P of the information collection; and (d) ways that the burden could be DEPARTMENT OF STATE minimized without reducing the quality of the collected information. The agency [Public Notice 11341] will summarize and/or include your comments in the request for OMB’s Overseas Schools Advisory Council clearance of this information collection. Notice of Meeting FOR FURTHER INFORMATION CONTACT: Toni The Overseas Schools Advisory Main-Valentin by email at: Toni.Main- Council, Department of State, will hold [email protected]; phone: 405–954– its Winter Committee Meeting on 0870.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00080 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7920 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
SUPPLEMENTARY INFORMATION: of 21.3% of the applicants (13,019 for Applicants will also be given the OMB Control Number: 2120–0076. 2019) complete a survey resulting in an opportunity to add additional comments Title: AVIATOR Customer estimate of 651 total hours. in two separate text areas provided in Satisfaction Survey. The survey is presented in three this section. Form Numbers: N/A (electronic). sections; USAJobs portion of the In the Overall Process section, Type of Review: Renewal of an application process, FAA portion of the applicants are presented the set of information collection. application process, and the Overall statements below. They will be asked to Background: The Government Application Process. Both the AVIATOR give their level of agreement with each Performance and Results Act of 1993 and USAJobs Process sections begin statement by selecting one of the (GPRA) Section 2(b)(3) requires agencies with a question to determine if the following five choices: Strongly agree, to ‘‘improve Federal program applicant is a first-time user of the agree, disagree, strongly disagree, or no effectiveness and public accountability particular system (‘‘Was this your first basis to judge. by promoting a new focus on results, time applying for a job using the Applicant Statements: service quality, and customer USAJOBS application process?’’ and (1) The steps required to apply for the satisfaction’’. In addition, as stated in ‘‘Was this your first time applying for a position were clear to me. the White House ‘‘Memorandum for FAA job?’’), followed by ‘‘Yes’’ and (2) The transition between USAJOBS Heads of Executive Departments and ‘‘No’’ optional answers. and FAA AVIATOR system was Agencies’’ regarding Executive Order In the USAJobs section, applicants are seamless. No. 12862, ‘‘the actions the order presented the set of statements below. (3) I like being able to store my prescribes, such as surveying customers, They will be asked to give their level of resumes and documents and attach surveying employees, and agreement with each statement by them to my FAA job application(s). benchmarking, shall be continuing selecting one of the following five (4) This online process will make it agency activities’’. This collection choices: Strongly agree, agree, disagree, easier for me to apply to future jobs for supports the above directives as well as strongly disagree, or no basis to judge. the FAA. the DOT strategic goal of Organizational Applicant Statements: Applicants will also be given the Excellence. (1) Overall, my satisfaction with the opportunity to add additional comments In compliance with the Government USAJOBS portion of this application in a single text area in this section. Paperwork Elimination Act (GPEA), all process was positive. of our data collection will be 100% (1) I was able to navigate around the Estimated Total Annual Burden electronic using an online form; USAJOBS website with little or no Cost of the time burden for Applicants will be asked to complete difficulty. respondents: 13,019 respondents × 0.05 the survey just before they exit the (2) I was able to complete and/or hours × $25.72/hour * = $16,742.43. system. This survey is designed to upload my resume in USAJOBS with (* Source: BLS Mean Hourly Wage for identify potential problems with FAA’s little or no difficulty. All Occupations, http://www.bls.gov/ automated staffing solutions, as well as (3) I was able to successfully upload oes/current/oes_nat.htm#00-0000). and attach my documents in USAJOBS to evaluate customer satisfaction with Issued in Washington, DC, on January 27, the on-line application process. The with little or no difficulty. (4) I was able to get assistance with 2021. information is not gathered by any other Alpha Woodson-Smith, collection. It will be difficult, if not USAJOBS as needed. Applicants will also be given the Computer Scientist, Program Manager, impossible to improve our overall opportunity to add additional comments Federal Aviation Administration, Office of performance and customer satisfaction in two separate text areas provided in Finance and Management (AFN), Information without using this survey. Technology Division (AIT), Enterprise Respondents: Completion of the this section. In the AVIATOR section, applicants Program Management Service, Business Survey is completely optional. It is Management Portfolio (AEM–320). are presented the set of statements presented electronically to all below. They will be asked to give their [FR Doc. 2021–02130 Filed 2–1–21; 8:45 am] individuals who apply on job vacancy level of agreement with each statement BILLING CODE 4910–13–P announcements for FAA employment. If by selecting one of the following five the applicant chooses not to complete choices: Strongly agree, agree, disagree, the Survey at the time of application the strongly disagree, or no basis to judge. DEPARTMENT OF VETERANS Survey will be available if/when the Applicant Statements: AFFAIRS individual returns to the AVIATOR (1) Overall, my satisfaction with the [OMB Control No. 2900–0675] system to update their job application or FAA AVIATOR portion of this when they elect to review their application process was positive. Agency Information Collection application status. (2) I was able to navigate around the Activity: (Vetbiz Vendor Information Frequency: On every job vacancy FAA AVIATOR website with little or no Pages Verification Program) announcement for each individual difficulty. applicant (unless the individual (3) I was able to complete and submit AGENCY: Center for Verification and completes the Survey on an the application with no difficulty (only Evaluation, Department of Veterans announcement; in this situation, the applicable to applicants whose Affairs. Survey is no longer presented to the responses met the eligibility ACTION: Notice. applicant for this vacancy requirements of the position). announcement). (4) The FAA AVIATOR system SUMMARY: Center for Verification and Estimated Average Burden per notified me when there was a problem Evaluation (CVE), Department of Response: We estimate that it will take with my application (applicable to Veterans Affairs (VA), is announcing an each of our 138,953 (total for 2019) applicants whose responses did NOT opportunity for public comment on the applicants three minutes to complete meet the eligibility requirements of the proposed collection of certain one survey for a total of 416,859 hours position). information by the agency. Under the if all applicants choose to complete the (5) I was able to get assistance with Paperwork Reduction Act (PRA) of survey. Statistics show that an average the FAA AVIATOR system as needed. 1995, Federal agencies are required to
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00081 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7921
publish notice in the Federal Register receive contract solicitations modernization or realignment of concerning each proposed collection of information automatically. VA will use facilities of the Veterans Health information, including each proposed the data collected to verify small Administration (VHA) under the reinstatement of a currently approved businesses as veteran-owned or service- subtitle Selection Criteria. In 2019, VHA collection, and allow 60 days for public disabled veteran-owned. began working with various comment in response to the notice. Affected Public: Business or other for- stakeholders and experts to identify DATES: Written comments and profit. factors to be considered in developing recommendations on the proposed Estimated Annual Burden: 10,000 the criteria. VHA solicited feedback collection of information should be hours. from Veterans Service Organizations, received on or before April 5, 2021. Estimated Average Burden per Veteran Engagement Boards and a wide Respondent: 30 minutes. ADDRESSES: Submit written comments range of interdisciplinary VA leaders. Frequency of Response: On occasion. on the collection of information through Six criteria and associated sub-criteria Estimated Number of Respondents: were developed through these robust Federal Docket Management System 20,000. (FDMS) at www.Regulations.gov or to engagements. VHA proposes to use Terrence Moultrie (00VE), Department By direction of the Secretary. these criteria to evaluate potential of Veterans Affairs, 810 Vermont Danny S. Green, market opportunities for submission to Avenue NW, Washington, DC 20420 or Department Clearance Officer, Office of the Asset and Infrastructure Review email to [email protected]. Quality, Privacy and Risk, Department of Commission. Veterans Affairs. Please refer to ‘‘OMB Control No. 2900– Foreword 0675’’ in any correspondence. During [FR Doc. 2021–02166 Filed 2–1–21; 8:45 am] the comment period, comments may be BILLING CODE 8320–01–P VA is honored to deliver excellent viewed online through FDMS. health care for the more than 9 million FOR FURTHER INFORMATION CONTACT: Veterans who entrust us with their care Terrence Moultrie at (202) 461–4300 or DEPARTMENT OF VETERANS and is proud to serve as the backstop to FAX (202) 495–5805. AFFAIRS the Nation’s health care system. VA was in the midst of a tremendous SUPPLEMENTARY INFORMATION: Under the Draft Criteria for Section 203 of the VA transformation before the COVID–19 PRA of 1995, Federal agencies must MISSION Act of 2018 pandemic, working to empower obtain approval from the Office of Veterans with more excellent choices Management and Budget (OMB) for each AGENCY: Department of Veterans Affairs. while modernizing our systems to collection of information they conduct ACTION: Notice and request for comment. enable an optimal experience of care or sponsor. This request for comment is and services. As the impacts of this being made pursuant to Section SUMMARY: The Secretary of Department unprecedented public health challenge 3506(c)(2)(A) of the PRA. of Veterans Affairs (VA) is responsible have moved across the Nation and the With respect to the following for establishing a procedure for making globe, we have continued to collection of information, CVE invites recommendations in reviewing assets demonstrate the strength of our comments on: (1) Whether the proposed and infrastructure. This notice provides nationwide, integrated system, collection of information is necessary the selection criteria to guide this positioning VA at the leading edge of for the proper performance of CVE’s process in order to meet this this U.S. health care on behalf of those we functions, including whether the responsibility. serve. We have employed each of our information will have practical utility; ADDRESSES: Written comments may be four missions—health care, education, (2) the accuracy of CVE’s estimate of the submitted through www.regulations.gov. research and emergency response—to burden of the proposed collection of Comments should indicate that they are lead the Nation forward beside our information; (3) ways to enhance the submitted in response to ‘‘Notice of interagency and strategic partners. Each quality, utility, and clarity of the Intent and request for comments.’’ of these missions will be a vital element information to be collected; and (4) During the comment period, comments of the next step in our transformation ways to minimize the burden of the may also be viewed online through the journey: Designing the future of VA collection of information on Federal Docket Management System at around the Veterans we serve. respondents, including through the use www.regulations.gov. of automated collection techniques or VA works each day to serve and DATES: Comments must be received on honor America’s Veterans and seeks to the use of other forms of information or before May 1, 2021. technology. ensure each individual Veteran feels Authority: Public Law 104–13; 44 FOR FURTHER INFORMATION CONTACT: they are cared for uniquely, wherever U.S.C. 3501–3521. Valerie Mattison Brown, Chief Strategy they are and however they need. As Title: Vetbiz Vendor Information Officer, Veterans Health Administration, Veteran needs, preferences and Pages Verification Program, VA Form Department of Veterans Affairs, 810 demographics shift over the coming 0877. Vermont Avenue NW, Washington DC decades, decisions about health care OMB Control Number: 2900–0675. 20420, (202) 461–7100 or delivery and infrastructure need to be Type of Review: Extension of a [email protected]. made by the Secretary to ensure currently approved collection. SUPPLEMENTARY INFORMATION: Section Veterans can continue to access a Abstract: Vetbiz Vendor Information 1703C of 38 U.S.C., as added by Section sustainable, flexible and high-quality Pages Verification Program is used to 203 of the John S. McCain III, Daniel K. health care system well into the future. assist federal agencies in identifying Akaka, and Samuel R. Johnson VA In line with our missions, VA proposes small businesses owned and controlled Maintaining Internal Systems and the following set of criteria for making by veterans and service-connected Strengthening Integrated Outside decisions on health care improvement, disabled veterans. The information is Networks (MISSION) Act of 2018 as required by Section 203 of the necessary to ensure that veteran owned requires VA to establish criteria to be MISSION Act of 2018. The criteria are businesses are given the opportunity to used in assessing and making designed to keep Veterans’ needs at the participate in Federal contracts and recommendations regarding the center of the decision-making process,
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00082 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7922 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
assuring that each Veteran can receive through VA’s direct care system, care whether provided within or beyond the care they have earned and deserve. through our Community Care Network VA; and through government, academic and Æ Criteria Considers health equity (i.e., strategic partners. demographics); VA is conducting Market Assessments Demand Criterion: The Æ Reflects consideration of factors to design high-performing networks of recommendation aligns VA’s high underpinning observed access patterns care to provide high quality, readily performing network resources to (e.g., rurality and other social accessible cost-effective care through effectively meet the future health care determinants of health); and VHA, Federal partners, academic demand of the Veteran enrollee Æ affiliates and other private sector population. Incorporates trends in the evolution providers. This design provides VA Demand Sub-Criteria: of U.S. health care. with the ability to plan for the The recommendation: When applying the ‘access’ criterion, continuing evolution of Veteran health Æ Aligns the quality and delivery of VA will consider how a care, incorporating major trends and care and services with projected Veteran recommendation will impact the events in the national and global health demand across demographics and convenience of care provided to ecosystem (e.g., the COVID–19 geography; Veterans in the future. Key components pandemic and telehealth). Each Æ Retains or improves VA’s ability to of access include the time it takes to assessment will create opportunities to meet projected demand; receive care and the barriers and Æ position the VA health care system to Considers health equity (i.e., accelerators to receiving care, such as demographics); distance or availability of technology. increase health equity, enhance Veteran Æ experience, account for social Reflects consideration of factors Impact on Mission determinants and serve as the underpinning observed utilization coordinator of health care provided by patterns (e.g., rurality and other social Commitment Statement: VA is determinants of health); and VA. Through thoughtful and Æ committed to delivering best-in-class constructive engagements with internal Incorporates trends in the evolution care throughout Veterans’ lifetimes. of U.S. health care. and external stakeholders, the following This means positioning the VA health When applying the ‘demand’ criteria were developed for the care system at the leading edge of the criterion, VA will consider how a evaluation of VHA realignment and recommendation will impact VA’s health care industry in education, modernization opportunities. research and national emergency The Secretary will use the criteria to ability to meet the needs of Veterans in the future. VA will consider what preparedness. make recommendations to the Asset and Impact on Mission Criterion: The Infrastructure Review (AIR) Veterans may need through understanding the services that recommendation provides for VA’s Commission, established by the second, third and fourth statutory MISSION Act for the modernization and Veterans have accessed in the past and are projected to need and prefer in the missions of education, research and realignment of VHA facilities and to future. VA will also consider how and emergency preparedness. improve Veteran access to high-quality where Veterans wish to receive services, Impact on Mission Sub-Criteria: health care across the country. including in ambulatory settings, Recommendations submitted to the AIR The recommendation: hospitals, in the community, through Æ Commission will focus on creating Aligns resources to VA’s education, telehealth, and through innovative Veteran-centric outcomes that retain or research and emergency preparedness models and modalities. improve health care services for missions across demographics and Veterans through the most equitable Accessibility of Care for Veterans geography; modalities and through services and (Access) Æ Education: Maintains or augments locations that most benefit those we Commitment Statement: We intend to VA’s ability to execute its education serve. The recommendations will then provide Veterans with an accessible, mission; Æ go through the AIR Commission review whole health experience, with services Research: Maintains or augments process as outlined in the MISSION Act. thoughtfully designed to meet their VA’s ability to execute its research Each criterion begins with a needs. We will do this by making the mission; commitment statement, outlining VA’s services and support Veterans need Æ Emergency Preparedness: philosophy and commitment to current accessible through locations, models Maintains or augments VA’s ability to and future Veterans, followed by the and modalities that most benefit them execute its emergency preparedness criterion statement, sub-criteria and and match their needs and preferences. mission; explanatory statement: Access Criterion: The Æ Considers health equity (i.e., Veterans’ Need for Care & Services recommendation maintains or improves demographics); (Demand) Veteran access to care. Æ Reflects consideration of factors Access Sub-Criteria: Commitment Statement: VA is underpinning observed mission impacts The recommendation: of education, research and emergency committed to providing Veterans the Æ Aligns VA points of care and preparedness efforts (e.g., rurality and full range of care and services needed services with projected Veteran need and desired throughout their lifetimes, other social determinants of health; and across demographics and geography; Æ to include preventive, acute and chronic Æ Retains or improves Veterans’ Incorporates trends in the evolution care. These services will be carefully ability to access VA care; of U.S. health care. balanced to meet Veterans’ needs and Æ Ensures Veterans are provided a The ‘impact on mission’ criterion preferences. We intend to ensure range of health care options and the allows VA to consider how a Veterans receive the personalized care opportunity to choose care they trust, recommendation will impact our ability they have earned. We will do this by based on their preferences, throughout to execute our statutory missions of matching the services and support they their lifetime; education, research and emergency may need with our ability to provide Æ Enables VA to serve as the preparedness in support of Veterans those services in a timely manner, coordinator of each Veteran’s health and the nation.
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00083 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7923
Providing the Highest Quality Whole Æ Reflects stewardship of taxpayer Signing Authority Health Care (Quality) dollars by optimizing investments and Dat P. Tran, Acting Secretary of resources for Veterans; Veterans Affairs, approved this Commitment Statement: VA is Æ committed to providing Veterans with a Recognizes potential savings or document on January 26, 2021, and high-quality, whole health care system efficiencies that may free resources for authorized the undersigned to sign and more impactful investment for Veterans; submit the document to the Office of the that delivers an excellent experience of Æ care and optimal health outcomes. VA Considers the value of Veteran and Federal Register for publication will deliver the same high quality, employee experience, innovation, and electronically as an official document of evidence-based standards of care other intangible elements of value; the Department of Veterans Affairs. Æ Considers health equity (i.e., regardless of where, or by which Jeffrey M. Martin, modality, their care is received. demographics); Æ Reflects consideration of factors Assistant Director, Office of Regulation Policy Quality Criterion: The & Management, Office of the Secretary, recommendation considers the quality underpinning observed cost patterns (e.g., rurality and other social Department of Veterans Affairs. and delivery of health care services [FR Doc. 2021–02138 Filed 2–1–21; 8:45 am] available to Veterans, including the determinants of health); and Æ BILLING CODE 8320–01–P experience, safety and appropriateness Incorporates trends in the evolution of care. of U.S. health care. When applying the ‘cost effectiveness’ Quality Sub-Criteria: criterion, VA will consider whether a DEPARTMENT OF VETERANS The recommendation: AFFAIRS Æ recommendation optimizes funding for Ensures the highest possible quality Veteran care. of care across demographics and Privacy Act of 1974; System of geography; Ensuring a Safe Environment of Care Records Æ (Sustainability) Promotes recruitment of top AGENCY: Office of Small & clinical and non-clinical talent; Commitment Statement: VA is Disadvantaged Business Utilization Æ Maintains or enhances Veteran committed to providing Veterans a safe (OSDBU), Department of Veterans experience; and welcoming environment of care. Affairs (VA). Æ Considers health equity (i.e., Our goal is for Veterans to feel safe ACTION: Notice of a modified system of demographics); physically, mentally, socially and records. Æ Reflects consideration of factors emotionally when in our care. We underpinning observed quality patterns commit to providing standard and SUMMARY: VA personnel will access the (e.g., rurality and other social complementary types of care for our system to find resources available to determinants of health); and unique Veteran population in an veteran entrepreneurs and to register Æ Incorporates trends in the evolution equitable and inclusive environment. those resources that they provide. They of U.S. health care. We will do this by ensuring points of may also utilize the database to counsel When applying the ‘quality’ criterion, care are modern and inviting, with an and assist veteran entrepreneurs in VA will consider how a expert workforce and care options starting a small business or expanding recommendation will impact the quality designed to meet them where they are an existing small business. The Office of of care for Veterans. Quality in health in their health journey. Small & Disadvantaged Business care is measured through metrics and Sustainability Criterion: The Utilization (OSDBU) will use the ratings assessed by federal and recommendation creates a sustainable records and reports derived from the commercial health care entities. VA will health care delivery system for Veterans. database to manage their responsibilities consider the care needs and preferences Sustainability Sub-Criteria: under the Veterans Entrepreneurship of Veterans in order to provide optimal The recommendation: and Small Business Development Act of experience, safety, and outcomes. Æ Aligns investment in care and 1999. Federal, State, and local services with Veteran need across government personnel will access the Effective Use of Resources for Veteran system to find resources available to Care (Cost Effectiveness) demographics and geography; Æ Reflects stewardship of taxpayer veteran entrepreneurs and to register Commitment Statement: VA is dollars by creating a sustainable those resources that they provide. They committed to optimizing our health care infrastructure system for Veterans; may also utilize the database to counsel system through the effective use and Æ Enables recruitment and retention and assist veteran entrepreneurs in sharing of resources, including staffing, of top clinical and non-clinical talent; starting a small business or expanding space, infrastructure and funding, with Æ Considers health equity (i.e., an existing small business. The general the goal of providing Veterans with the demographics); public, including private sector best health care and outcomes. We will Æ Reflects consideration of factors companies and corporate entities, will actively and mindfully manage our underpinning observed access patterns access the system, via internet, to resources, allowing us to provide (e.g., rurality and other social review the information, register those services and support that effectively determinants of health); and resources that they provide, and to match Veterans’ needs and preferences Æ Incorporates trends in the evolution locate potential resources for Veteran while putting their health and of U.S. health care. entrepreneurs. empowerment at the center of system When applying the ‘sustainability’ DATES: Comments on this modified design. criterion, VA will consider how a system of records must be received no Cost Effectiveness Criterion: The recommendation impacts our ability to later than 30 days after date of recommendation provides a cost- offer Veterans a welcoming and safe publication in the Federal Register. If effective means by which to provide care environment that meets modern no public comment is received during Veterans with modern health care. health care standards and ensures the period allowed for comment or Cost Effectiveness Sub-Criteria: sustainability for future generations of unless otherwise published in the The recommendation: Veterans. Federal Register by VA, the modified
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00084 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7924 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
system of records will become effective on-job training in certain self- reflect the office that is responsible for a minimum of 30 days after date of employment training programs. this SORN. publication in the Federal Register. If Æ Section 305—Authorize the use of Signing Authority VA receives public comments, VA shall VA education benefits to pay for review the comments to determine nondegree/non-credit entrepreneurship The Senior Agency Official for whether any changes to the notice are courses at approved institutions: Privacy, or designee, approved this necessary. • Small Business Development document and authorized the undersigned to sign and submit the ADDRESSES: Centers, and Comments may be • document to the Office of the Federal submitted through www.Regulations.gov National Veterans Business Development Corporation (also known Register for publication electronically as or mailed to VA Privacy Service, 810 an official document of the Department Vermont Avenue NW, (005R1A), as Veterans Corporation). Æ Section 308—Furnish Federal of Veterans Affairs. James P. Gfrerer, Washington, DC 20420. Comments Assistant Secretary of Information and should indicate that they are submitted agencies discretionary authority to: • Technology and Chief Information in response to VA VetBiz Assistance Restrict certain contracts to disabled veteran-owned small Officer, approved this document on Program Pages-132VAOSDBU. September 14, 2020 for publication. Comments received will be available at businesses if at least two such concerns regulations.gov for public viewing, are qualified to bid on the contract, and Dated: January 21, 2021. • inspection or copies. Create ‘‘sole-source’’ contracts for Amy L. Rose, disabled veteran-owned small FOR FURTHER INFORMATION CONTACT: For Program Analyst, VA Privacy Service, Office businesses—up to $5 million for general questions about the system of Information Security, Office of Information manufacturing contract awards and up and Technology, Department of Veterans contact Carol Cleveland, Office of Small to $3 million for nonmanufacturing Affairs. & Disadvantaged Business Utilization at contract awards. 1–866–584–2344 or [email protected]. SYSTEM NAME AND NUMBER: A Web-based application is used to SUPPLEMENTARY INFORMATION: OSDBU allow Governmental and support sector VA VetBiz Assistance Program Pages- provides numerous services for veterans organizations to ‘‘register’’ their 132VAOSDBU. and service-disabled veterans who seek services. This clearinghouse allows any SECURITY CLASSIFICATION: to open or expand a business. The user to search for business support OSDBU staff coordinates the tasks Information in this SORN is not services at the Federal, State, and local classified information. required of the U.S. Department of government levels and private providers Veterans Affairs by several Federal laws, in their respective category of business SYSTEM LOCATION: including: development, management, financial, The system is hosted on the Veterans • Public Law 108–183 (December technical or procurement assistance. Affairs (VA) Enterprise Cloud (EC), 2003), the Veterans Benefits Act of 2003, The site allows support organizations Microsoft Azure Government (MAG). Sections 301, 305, 308. to update their business information as The VAEC MAG is located in Azure • Public Law 106–554 (December well as give the Department the ability Government Region 1 (USGOV 2000), Sections 803 and 808. to upload data from other sources to VIRGINIA) and 2 (USGOV TEXAS) and • Public Law 106–50 (August 1999), populate the proposed database. Contact is designed to allow U.S. government the Veterans Entrepreneurship and information is also kept and a means to agencies, contractors and customers to Small Business Development Act of extract this information to satisfy the move sensitive workloads into the cloud 1999. Department’s need to send out for addressing specific regulatory and • Public Law 105–135 (December information is available. compliance requirements. 1997), Title VII, Service-Disabled This modified system of records, SYSTEM MANAGER(S): Veterans Program. known as the VA VetBiz Assistance • Public Law 93–237 (January 1974), Program Pages (APP)—VA, is used to Ray Dockery, Director, Information ‘‘Special Consideration for Veterans’’. maintain and access an automated Technology Systems Integration, Public Law 106–50, Section 302, database containing the information on Department of Veterans Affairs (VA), Entrepreneurial Assistance, subsection veteran owned businesses resources set Office of Small & Disadvantaged (5) requires VA to support the forth in the law (section 302, paragraph Business Utilization (OSDBU), 810 ‘‘establishment of an information (5) and section 604, paragraph (b)). Vermont Ave. NW, Room 1064, clearinghouse to collect and distribute Because some information may be Washington, DC 20420. 1–866–584– information, including electronic retrieved by the name or other personal 2344. means, on the assistance programs of identifiers of individuals acting in an AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Federal, state, and local governments, entrepreneurial capacity, such as a sole Public Law 106–50, as amended. and of the private sector, including proprietor of a small business, VA is information on office locations, key using this system of records. PURPOSE(S) OF THE SYSTEM: personnel, telephone numbers, mailing The information in this system is 1. VA personnel will access the and email addresses, and contracting maintained in electronic form. The system to find resources available to and sub-contracting opportunities.’’ information in these records are Veteran entrepreneurs and to register The parts of the Veterans Benefits Act available to government agencies, those resources that they provide. They of 2003 (Pub. L. 108–183) that pertain to companies, and the general public via may also utilize the database to counsel veteran entrepreneurship are contained the internet. and assist Veteran entrepreneurs in in Title III—Education Benefits, The name of this SORN has been starting a small business or expanding Employment Provisions, and Related changed from 132VA00VE, with ‘‘VE’’ an existing small business. Matters. They are as follows: representing Veteran Experience, to 2. The Office of Small & Æ Section 301—Expand the 132VAOSDBU, with ‘‘OSDBU’’ Disadvantaged Business Utilization will Montgomery GI Bill program by representing the Office of Small & use the records and reports derived from authorizing educational assistance for Disadvantaged Business Utilization, to the database to manage their
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00085 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices 7925
responsibilities under the Veterans operations), and (3) the Federal proceedings before a court or Entrepreneurship and Small Business Government, or national security; and administrative body after determining Development Act of 1999. the disclosure made to such agencies, that the disclosure of the records to the entities, and persons is reasonably court or administrative body is a use of CATEGORIES OF INDIVIDUALS COVERED BY THE necessary to assist in connection with the information contained in the records SYSTEM: VA’s efforts to respond to the suspected that is compatible with the purpose for The system of records will cover or confirmed breach or to prevent, which VA collected the records. programs of Federal, State, and local minimize, or remedy such harm. 6. Contractors: VA may disclose governments, and private sector 3. Data breach response and remedial information from this system of records organizations and companies offering efforts with another Federal agency: VA to individuals, organizations, private or business or business assistance services may disclose information from this public agencies, or other entities or to Veteran entrepreneurs that wish to be system to another Federal agency or individuals with whom VA has a a part of the information clearinghouse. Federal entity, when VA determines contract or agreement to perform such CATEGORIES OF RECORDS IN THE SYSTEM: that information from this system of services as VA may deem practicable for records is reasonably necessary to assist the purposes of laws administered by The records will contain data on the the recipient agency or entity in (1) VA, in order for the contractor, assistance programs of Federal, state, responding to a suspected or confirmed subcontractor, public or private agency, and local governments, and of the breach or (2) preventing, minimizing, or or other entity or individual with whom private sector, including information on remedying the risk of harm to VA has a contract or agreement to office locations, key personnel, individuals, the recipient agency or perform services under the contract or telephone numbers, mailing and email entity (including its information agreement. addresses, and contracting and systems, programs, and operations), the 7. Equal Employment Opportunity subcontracting opportunities available Federal Government, or national Commission (EEOC): VA may disclose to Veteran entrepreneurs. The data will security, resulting from a suspected or information from this system to the come from both governments and confirmed breach. EEOC when requested in connection private sector organizations who have 4. Law Enforcement: VA may, on its with investigations of alleged or contacted the Center for Veterans own initiative, disclose information in possible discriminatory practices, Enterprise, registered their products or this system, except the names and home examination of Federal affirmative services online in the database, or have addresses of Veterans and their employment programs, or other been extracted from e-government dependents, which is relevant to a functions of the Commission as databases to which the companies have suspected or reasonably imminent authorized by law or regulation. voluntarily submitted the data. The violation of law, whether civil, criminal 8. Federal Labor Relations Authority records may include business addresses or regulatory in nature and whether (FLRA): VA may disclose information and other contact information, arising by general or program statute or from this system to the FLRA, including information concerning products or by regulation, rule or order issued its General Counsel, information related services offered, and information pursuant thereto, to a Federal, state, to the establishment of jurisdiction, pertaining to the business, such as local, tribal, or foreign agency charged investigation, and resolution of federal contracts, and certifications. with the responsibility of investigating allegations of unfair labor practices, or RECORD SOURCE CATEGORIES: or prosecuting such violation, or in connection with the resolution of charged with enforcing or implementing exceptions to arbitration awards when a The information in this system of the statute, regulation, rule or order. On question of material fact is raised; for it records is obtained from the following its own initiative, VA may also disclose to address matters properly before the sources: a. Information voluntarily submitted the names and addresses of Veterans Federal Service Impasses Panel, and their dependents to a Federal by Federal, State, and local investigate representation petitions, and agency charged with the responsibility governments; conduct or supervise representation b. Information voluntarily submitted of investigating or prosecuting civil, elections. 9. Merit Systems Protection Board by the private sector; and criminal or regulatory violations of law, c. Information extracted from other or charged with enforcing or (MSPB): VA may disclose information business and resource databases. implementing the statute, regulation, from this system to the MSPB, or the rule or order issued pursuant thereto. Office of the Special Counsel, when ROUTINE USES OF RECORDS MAINTAINED IN THE 5. Litigation: VA may disclose requested in connection with appeals, SYSTEM, INCLUDING CATEGORIES OF USERS AND information from this system of records special studies of the civil service and PURPOSES OF SUCH USES: to the Department of Justice (DoJ), either other merit systems, review of rules and 1. Congress: VA may disclose on VA’s initiative or in response to DoJ’s regulations, investigation of alleged or information from the record of an request for the information, after either possible prohibited personnel practices, individual in response to an inquiry VA or DoJ determines that such and such other functions promulgated from the congressional office made at information is relevant to DoJ’s in 5 U.S.C. 1205 and 1206, or as the request of that individual. representation of the United States or authorized by law. 2. Data breach response and remedial any of its components in legal 10. National Archives and Records efforts: VA may disclose information proceedings before a court or Administration (NARA) and General from this system to appropriate adjudicative body, provided that, in Services Administration (GSA): VA may agencies, entities, and persons when (1) each case, the agency also determines disclose information from this system to VA suspects or has confirmed that there prior to disclosure that release of the NARA and GSA in records management has been a breach of the system of records to the DoJ is a use of the inspections conducted under title 44, records; (2) VA has determined that as information contained in the records U.S.C. a result of the suspected or confirmed that is compatible with the purpose for 11. Federal, State, and local breach there is a risk of harm to which VA collected the records. VA, on government personnel will access the individuals, VA (including its its own initiative, may disclose records system to find resources available to information systems, programs, and in this system of records in legal Veteran entrepreneurs and to register
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00086 Fmt 4703 Sfmt 4703 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES 7926 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Notices
those resources that they provide. They Other); Nongovernmental Organization; system of records may access the may also utilize the database to counsel Commercial. records via the internet or submit a and assist Veteran entrepreneurs in 10. Type of Assistance: (Paperwork written request to the system manager. starting a small business or expanding packaging; grants/loans; procurement an existing small business. assistance; management/technical CONTESTING RECORD PROCEDURES: assistance; mentoring/incubator; 12. The general public, including An individual who wishes to contest contract opportunities; other). private sector companies and corporate records maintained under his or her entities, will access the system, via 11. Service Area Limits (if any). 12. Service limited to Veterans. name or other personal identifier may internet, to review the information write or call the system manager. VA’s register those resources that they 13. Fees. 14. Organization Funding Limits: rules for accessing records and provide, and to locate potential (None; term—funding expires on a contesting contents and appealing resources for Veteran entrepreneurs. specific date). initial agency determinations are POLICIES AND PRACTICES FOR STORAGE OF 15. Year Established. published in regulations set forth in the RECORDS: 16. Full-time/part-time. Code of Federal Regulations. See 38 CFR 17. Days and Hours of Service. 1.577, 1.578. The VetBiz APP is stored in an 18. Other Professional Staff Available. automated, computerized database. The NOTIFICATION PROCEDURES: system operates on servers located on POLICIES AND PRACTICES FOR RETENTION AND the VAEC. Data backups reside on DISPOSAL OF RECORDS: Individuals wishing to inquire appropriate media according to normal Records will be maintained and whether this system of records contains system backup plans. The system is disposed of in accordance with the information about themselves should managed by the Center for Veterans records disposal authority approved by contact the Deputy Director, IT Systems Enterprise in VA Headquarters, the Archivist of the United States, the Integration (00SB), 810 Vermont Ave. Washington, DC. National Archives and Records NW, Washington, DC 20420. Administration, and published in POLICIES AND PRACTICES FOR RETRIEVAL OF Agency Records Control Schedule No. EXEMPTIONS PROMULGATED FOR THE SYSTEM: RECORDS: 20, Electronic Records. Automated records may be retrieved There are no exemptions for the by: ADMINISTRATIVE, TECHNICAL, AND PHYSICAL system. SAFEGUARDS: 1. Organization Name. HISTORY: 2. Contact Name. Read access to the system is via internet access. VA Information Service 3. Email Address. VA VetBiz Assistance Program Center and CVE personnel will have 4. Web Address. Pages—VA (132VA00VE), published as access to the system via VA Intranet and 5. Area Code and Phone Number. 69 FR 62936, 10/28/2004, was the last local connections for management and full publication of OSDBU’s SORN 6. Zip Code. maintenance purposes and tasks. 7. County Code (NaCO). 132VA00VE which provided updated 8. State(s). RECORD ACCESS PROCEDURES: information regarding OSDBU’s records. 9. Type of Organization: Government Individuals seeking access to records [FR Doc. 2021–01647 Filed 2–1–21; 8:45 am] (Federal; State; County; Municipal; about themselves contained in this BILLING CODE P
VerDate Sep<11>2014 19:08 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00087 Fmt 4703 Sfmt 9990 E:\FR\FM\02FEN1.SGM 02FEN1 jbell on DSKJLSW7X2PROD with NOTICES i
Reader Aids Federal Register Vol. 86, No. 20 Tuesday, February 2, 2021
CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING FEBRUARY
Federal Register/Code of Federal Regulations At the end of each month the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. 635...... 7838 Presidential Documents 3 CFR 655...... 7838 Executive orders and proclamations 741–6000 Executive Orders: 12898 (amended by The United States Government Manual 741–6000 25 CFR 14008) ...... 7619 Other Services 13895 (revoked by 575...... 7646 Electronic and on-line services (voice) 741–6020 14007) ...... 7615 Proposed Rules: Privacy Act Compilation 741–6050 14007...... 7615 1000...... 7656 14008...... 7619 14009...... 7793 29 CFR ELECTRONIC RESEARCH Administrative Orders: 22...... 7807 World Wide Web Memorandums: 1986...... 7807 Memorandum of Full text of the daily Federal Register, CFR and other publications September 21, 2016 30 CFR is located at: www.govinfo.gov. (reinstated by EO 1241...... 7808 Federal Register information and research tools, including Public 14008) ...... 7619 Memorandum of Inspection List and electronic text are located at: 31 CFR www.federalregister.gov. January 13, 2021 ...... 7787 Presidential 1010...... 7810 E-mail Determinations: No. 2021–03 of 33 CFR FEDREGTOC (Daily Federal Register Table of Contents Electronic January 14, 2021 ...... 7789 110...... 7647 Mailing List) is an open e-mail service that provides subscribers 117...... 7649 with a digital form of the Federal Register Table of Contents. The 5 CFR 165...... 7651, 7810 digital form of the Federal Register Table of Contents includes 2634...... 7635 HTML and PDF links to the full text of each document. 2636...... 7635 37 CFR To join or leave, go to https://public.govdelivery.com/accounts/ 1201...... 7797 10...... 7653 USGPOOFR/subscriber/new, enter your email address, then follow the instructions to join, leave, or manage your 10 CFR 38 CFR subscription. 431...... 7798 36...... 7811 PENS (Public Law Electronic Notification Service) is an e-mail 1061...... 7799 42...... 7811 service that notifies subscribers of recently enacted laws. Proposed Rules: 30...... 7819 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 32...... 7819 39 CFR and select Join or leave the list (or change settings); then follow 50...... 7820 Proposed Rules: the instructions. 20...... 7659 FEDREGTOC and PENS are mailing lists only. We cannot 14 CFR respond to specific inquiries. 25...... 7799 42 CFR Reference questions. Send questions and comments about the 17 CFR 423...... 7813 Federal Register system to: [email protected] 143...... 7802 486...... 7814 The Federal Register staff cannot interpret specific documents or 240...... 7637 1001...... 7815 regulations. 18 CFR 43 CFR FEDERAL REGISTER PAGES AND DATE, FEBRUARY 153...... 7643 10...... 7653 157...... 7643 7615–7786...... 1 47 CFR 20 CFR 7787–7926 ...... 2 Proposed Rules: Proposed Rules: 2...... 7660 655...... 7656 25...... 7660 656...... 7656 51...... 7839 22 CFR 64...... 7681 35...... 7804 50 CFR 103...... 7804 127...... 7804 622...... 7815 138...... 7804 679 (3 documents) ...... 7816, 7817, 7818 23 CFR Proposed Rules: Proposed Rules: 223...... 7686 470...... 7838 226...... 7686
VerDate Sep 11 2014 22:30 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00001 Fmt 4712 Sfmt 4712 E:\FR\FM\02FECU.LOC 02FECU jbell on DSKJLSW7X2PROD with FR_CU ii Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Reader Aids
listserv.gsa.gov/cgi-bin/ wa.exe?SUBED1=PUBLAWS- LIST OF PUBLIC LAWS Public Laws Electronic L&A=1 Notification Service Note: No public bills which (PENS) Note: This service is strictly have become law were for email notification of new received by the Office of the laws. The text of laws is not Federal Register for inclusion PENS is a free email available through this service. in today’s List of Public notification service of newly PENS cannot respond to Laws. enacted public laws. To specific inquiries sent to this Last List January 25, 2021 subscribe, go to https:// address.
VerDate Sep 11 2014 22:30 Feb 01, 2021 Jkt 253001 PO 00000 Frm 00002 Fmt 4712 Sfmt 4711 E:\FR\FM\02FECU.LOC 02FECU jbell on DSKJLSW7X2PROD with FR_CU