FEDERAL REGISTER

Vol. 86 Wednesday No. 70 April 14, 2021

Pages 19567–19774

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 86, No. 70

Wednesday, April 14, 2021

Centers for Medicare & Medicaid Services Federal Communications Commission PROPOSED RULES RULES Medicare Program: Wireless E911 Location Accuracy Requirements, 19582– FY 2022 Hospice Wage Index and Payment Rate Update, 19584 Hospice Conditions of Participation Updates, NOTICES Hospice and Home Health Quality Reporting Program Agency Information Collection Activities; Proposals, Requirements, 19700–19774 Submissions, and Approvals, 19617–19619

Civil Rights Commission Federal Deposit Insurance Corporation NOTICES NOTICES Meetings: Privacy Act; System of Records: Pennsylvania Advisory Committee, 19602 Correction, 19619 Meetings; Sunshine Act, 19602

Coast Guard Federal Emergency Management Agency RULES RULES Drawbridge Operations: Suspension of Community Eligibility, 19580–19582 River Rouge, Detroit, MI, 19574–19576 NOTICES PROPOSED RULES Assistance to Firefighters Grant Program, 19629–19634 Regulated Navigation Area: Biscayne Bay Causeway Island Slip, Miami Beach, FL, Federal Energy Regulatory Commission 19599–19601 NOTICES Combined Filings, 19612–19615 Commerce Department Filing: See International Trade Administration Oncor Electric Delivery Company LLC, 19611 See National Oceanic and Atmospheric Administration Initial Market-Based Rate Filings Including Requests for Blanket Section 204 Authorizations: Consumer Product Safety Commission Daylight I, LLC; Edwards Solar Line I, LLC; Sanborn NOTICES Solar Line I, LLC, 19611–19612 Meetings; Sunshine Act, 19607 Meetings; Sunshine Act, 19616–19617 Permit Application: Defense Department Littoral Power Systems, Inc., 19613 NOTICES Petition for Declaratory Order: Agency Information Collection Activities; Proposals, Capline Pipeline Co., LLC, 19613 Submissions, and Approvals, 19620–19621 Preliminary Determination of a Qualifying Conduit Agency Information Collection Activities; Proposals, Hydropower Facility: Submissions, and Approvals: Truckee Meadows Water Authority, 19615–19616 Combating Trafficking in Persons, 19621–19622 Federal Maritime Commission Education Department NOTICES NOTICES William D. Ford Federal Direct Loan Program: Agreements Filed, 19619–19620 Annual Updates to the Income-Contingent Repayment Plan Formula for 2021, 19607–19611 Federal Railroad Administration NOTICES Energy Department Petition for Waiver of Compliance, 19689–19690 See Federal Energy Regulatory Commission Federal Reserve System Environmental Protection Agency NOTICES RULES Change in Bank Control: Air Quality Designations for the 2010 Sulfur Dioxide Acquisitions of Shares of a Bank or Bank Holding Primary National Ambient Air Quality Standard: Company, 19620 Round 4—Supplemental Amendment, 19576–19580

Federal Aviation Administration Fish and Wildlife Service RULES NOTICES Airworthiness Directives: Application for an Incidental Take Permit: Sikorsky Aircraft Corporation Helicopters, 19571–19574 Renewable (Wind and Solar) Energy, Power Line, and NOTICES Communication Tower Habitat Conservation Plan for Petition for Exemption; Summary: the Lesser Prairie-Chicken; Colorado, Kansas, New B/E Aerospace—FSI, 19688–19689 Mexico, Oklahoma and Texas, 19634–19636

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Food and Drug Administration Investigations; Determinations, Modifications, and Rulings, NOTICES etc.: Agency Information Collection Activities; Proposals, Certain Mobile Electronic Devices and Laptop Computers, Submissions, and Approvals: 19641–19642 Premarket Notification for a New Dietary Ingredient, Twist Ties From China, 19639 19623–19625 Regulations for In Vivo Radiopharmaceuticals Used for Judicial Conference of the United States Diagnosis and Monitoring, 19622–19623 NOTICES Final Debarment Order: Meetings: Mark Reinhard, 19625–19626 Advisory Committee on Evidence Rules, 19642 General Services Administration NOTICES Justice Department Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 19620–19621 Proposed Consent Decree: Agency Information Collection Activities; Proposals, CERCLA, 19642–19643 Submissions, and Approvals: Combating Trafficking in Persons, 19621–19622 Land Management Bureau NOTICES Health and Human Services Department Alaska Native Claims Selection, 19637–19638 See Centers for Medicare & Medicaid Services Meetings: See Food and Drug Administration Sierra Front-Northern Great Basin Resource Advisory See National Institutes of Health Council, Nevada, 19638 NOTICES Realty Action: Agency Information Collection Activities; Proposals, Recreation and Public Purposes Act Classification; Submissions, and Approvals, 19626–19628 Washington County, Utah, 19636–19637

Homeland Security Department Legal Services Corporation See Coast Guard NOTICES See Federal Emergency Management Agency Meetings; Sunshine Act, 19643 Indian Affairs Bureau PROPOSED RULES National Aeronautics and Space Administration American Indian Probate Regulations, 19585 NOTICES Agency Information Collection Activities; Proposals, Interior Department Submissions, and Approvals, 19620–19621 See Fish and Wildlife Service Agency Information Collection Activities; Proposals, See Indian Affairs Bureau Submissions, and Approvals: See Land Management Bureau Combating Trafficking in Persons, 19621–19622 PROPOSED RULES American Indian Probate Regulations, 19585 National Highway Traffic Safety Administration NOTICES Internal Revenue Service Federal Motor Vehicle Theft Prevention Standard; Petitions PROPOSED RULES for Exemption: Requirements for Certain Foreign Persons and Certain Volkswagen Group of America, Inc., 19690–19692 Foreign-Owned Partnerships Investing in Qualified Opportunity Funds and Flexibility for Working Capital National Institutes of Health Safe Harbor Plans, 19585–19599 NOTICES Meetings: International Trade Administration Center for Scientific Review, 19628–19629 NOTICES Council of Councils, 19628–19629 Antidumping or Countervailing Duty Investigations, Orders, National Institute of Arthritis and Musculoskeletal and or Reviews: Skin Diseases, 19629 Heavy Walled Rectangular Welded Carbon Steel Pipes and Tubes From the Republic of Turkey, 19605– 19606 National Oceanic and Atmospheric Administration Twist Ties From the Peoples Republic of China, 19602– NOTICES 19605 Meetings: Science Advisory Board, 19606–19607 International Trade Commission NOTICES National Science Foundation Complaint: NOTICES Certain High-Potency Sweeteners, Processes for Making Meetings; Sunshine Act, 19643 Same, and Products Containing Same, 19640–19641 Request for Information: Certain Televisions, Remote Controls, and Components Datasets To Conduct Research on Computer and Network Thereof, 19639–19640 Systems, 19643–19644

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Nuclear Regulatory Commission Susquehanna River Basin Commission NOTICES NOTICES Environmental Assessments; Availability, etc.: Grandfathering Registration Notice, 19688 Independent Spent Fuel Storage Facilities Projects Approved for Consumptive Uses of Water, 19686– Decommissioning Funding Plans; Findings of No 19688 Significant Impact, 19644–19652 Personnel Management Office Transportation Department NOTICES See Federal Aviation Administration Agency Information Collection Activities; Proposals, See Federal Railroad Administration Submissions, and Approvals: See National Highway Traffic Safety Administration Request for Change to Unreduced Annuity, 19652–19653 NOTICES Agency Information Collection Activities; Proposals, Presidential Documents Submissions, and Approvals: PROCLAMATIONS Aviation Manufacturing Jobs Protection Program, 19695– Special Observances: 19697 National Former Prisoner of War Recognition Day (Proc. Petitions for Exemption: 10176), 19567–19568 General Motors, LLC; Federal Motor Vehicle Theft EXECUTIVE ORDERS Prevention Standard, 19692–19695 Committees; Establishment, Renewal, Termination, etc.: Supreme Court of the United States, Presidential Commission on the; Establishment (EO 14023), Treasury Department 19569–19570 See Internal Revenue Service

Securities and Exchange Commission Veterans Affairs Department NOTICES NOTICES Application: Agency Information Collection Activities; Proposals, Nuveen Fund Advisors, LLC, et al., 19670–19671 Submissions, and Approvals: Joint Industry Plan: Contract for Training and Employment, 19697 Designation of a Longer Period for Commission Action on Insurance Deduction Authorization, 19697–19698 a Proposed National Market System Plan Regarding Consolidated Equity Market Data, 19667 Self-Regulatory Organizations; Proposed Rule Changes: Financial Industry Regulatory Authority, Inc., 19671– Separate Parts In This Issue 19674 ICE Clear Credit, LLC, 19664–19670 Miami International Securities Exchange, LLC, 19666– Part II 19667, 19677–19680 Health and Human Services Department, Centers for MIAX PEARL, LLC, 19683–19684 Medicare & Medicaid Services, 19700–19774 New York Stock Exchange, LLC; NYSE American, LLC; NYSE National, Inc.; et al., 19674–19677 NYSE American, LLC, 19653–19656 Reader Aids NYSE Arca, Inc., 19657–19664 NYSE Chicago, Inc., 19680–19683 Consult the Reader Aids section at the end of this issue for phone numbers, online resources, finding aids, and notice State Department of recently enacted public laws. NOTICES To subscribe to the Federal Register Table of Contents Culturally Significant Objects Imported for Exhibition: electronic mailing list, go to https://public.govdelivery.com/ The Buddha Transcendent, 19686 accounts/USGPOOFR/subscriber/new, enter your e-mail Public Guidance for the Protecting Europe’s Energy address, then follow the instructions to join, leave, or Security Act, as Amended, 19684–19686 manage your subscription.

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CFR PARTS AFFECTED IN THIS ISSUE

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

3 CFR Proclamations: 10176...... 19567 Executive Orders: 14023...... 19569 14 CFR 39...... 19571 25 CFR Proposed Rules: 15...... 19585 26 CFR Proposed Rules: 1...... 19585 33 CFR 117...... 19574 Proposed Rules: 165...... 19599 40 CFR 81...... 19576 42 CFR Proposed Rules: 418...... 19700 484...... 19700 43 CFR Proposed Rules: 30...... 19585 44 CFR 64...... 19580 47 CFR 9...... 19582

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Federal Register Presidential Documents Vol. 86, No. 70

Wednesday, April 14, 2021

Title 3— Proclamation 10176 of April 9, 2021

The President National Former Prisoner of War Recognition Day, 2021

By the President of the United States of America

A Proclamation Throughout our Nation’s history, those who have served in our Armed Forces have steadfastly stood in defense of the United States and of freedom throughout the world. Although countless courageous service members and civilians have given their lives for our Nation, more than half a million others have sacrificed their own freedom as prisoners of war so the cause of liberty always prevails. Enduring with limitless dignity and determination, these former prisoners of war are a powerful reminder that their indomitable spirit could not be broken, even by brutal treatment in contravention of international law and morality. Despite the terrible suffering inflicted upon them by their captors in harsh prisons and camps in Europe and Asia, American prisoners of war steadfastly demonstrated their devotion to duty, honor, and country. On this day and every day, let us honor all who have borne the hardships of captivity in service to our Nation, remember the brave men and women who were held as prisoners in foreign lands during our Nation’s past conflicts, and recognize those at home who anxiously awaited their loved ones’ return. Their faith in God, love of family, and trust in our Nation are an inspiration to all Americans, and we will always remember their sacrifices. NOW, THEREFORE, I, JOSEPH R. BIDEN JR., President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim April 9, 2021, as National Former Prisoner of War Recognition Day. I call upon all Americans to observe this day by honoring the service and sacrifice of all former prisoners of war as our Nation expresses its eternal gratitude for their sac- rifice. I also call upon Federal, State, and local government officials and organizations to observe this day with appropriate ceremonies and activities.

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

[FR Doc. 2021–07755 Filed 4–13–21; 8:45 am] Billing code 3295–F1–P

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Executive Order 14023 of April 9, 2021

Establishment of the Presidential Commission on the Su- preme Court of the United States

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. Establishment. There is established the Presidential Commission on the Supreme Court of the United States (Commission). Sec. 2. Membership. (a) The Commission shall be composed of not more than 36 members appointed by the President. (b) Members of the Commission shall be distinguished constitutional schol- ars, retired members of the Federal judiciary, or other individuals having experience with and knowledge of the Federal judiciary and the Supreme Court of the United States (Supreme Court). (c) The President shall designate two members of the Commission to serve as Co-Chairs. Sec. 3. Functions. (a) The Commission shall produce a report for the President that includes the following: (i) An account of the contemporary commentary and debate about the role and operation of the Supreme Court in our constitutional system and about the functioning of the constitutional process by which the President nominates and, by and with the advice and consent of the Senate, appoints Justices to the Supreme Court; (ii) The historical background of other periods in the Nation’s history when the Supreme Court’s role and the nominations and advice-and- consent process were subject to critical assessment and prompted proposals for reform; and (iii) An analysis of the principal arguments in the contemporary public debate for and against Supreme Court reform, including an appraisal of the merits and legality of particular reform proposals. (b) The Commission shall solicit public comment, including other expert views, to ensure that its work is informed by a broad spectrum of ideas. (c) The Commission shall submit its report to the President within 180 days of the date of the Commission’s first public meeting. Sec. 4. Administration. (a) The Office of Administration within the Executive Office of the President shall provide funding and administrative support for the Commission to the extent permitted by law and within existing appropriations. To the extent permitted by law, including the Economy Act (31 U.S.C. 1535), and subject to the availability of appropriations, the General Services Administration shall provide administrative services, in- cluding facilities, staff, equipment, and other support services as may be necessary to carry out the objectives of the Commission. (b) Members of the Commission shall serve without compensation for their work on the Commission, but shall be allowed travel expenses, includ- ing per diem in lieu of subsistence, to the extent permitted by law for persons serving intermittently in the Government service (5 U.S.C. 5701– 5707). (c) Insofar as the Federal Advisory Committee Act, as amended (5 U.S.C. App.) (Act), may apply to the Commission, any functions of the President

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under the Act, except for those in section 6 of the Act, shall be performed by the Administrator of General Services. Sec. 5. Termination. The Commission shall terminate 30 days after it submits its report to the President. Sec. 6. 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. (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, April 9, 2021.

[FR Doc. 2021–07756 Filed 4–13–21; 8:45 am] Billing code 3295–F1–P

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Rules and Regulations Federal Register Vol. 86, No. 70

Wednesday, April 14, 2021

This section of the FEDERAL REGISTER • Federal eRulemaking Portal: Go to required a one-time inspection of the contains regulatory documents having general https://www.regulations.gov. Follow the landing gear and the removal from applicability and legal effect, most of which instructions for submitting comments. service of certain serial-numbered are keyed to and codified in the Code of • Fax: (202) 493–2251. threaded hinge pins part number (P/N) Federal Regulations, which is published under • Mail: U.S. Department of 92250–12281–101 and certain serial- 50 titles pursuant to 44 U.S.C. 1510. Transportation, Docket Operations, numbered MLG and NLG actuator pins The Code of Federal Regulations is sold by M–30, West Building Ground Floor, P/N 92250–12287–101 and 92250– the Superintendent of Documents. Room W12–140, 1200 New Jersey 12287–103. AD 2021–04–16 was Avenue SE, Washington, DC 20590. prompted by the manufacturer • Hand Delivery: Deliver to Mail discovering nonconforming threads, DEPARTMENT OF TRANSPORTATION address above between 9 a.m. and 5 resulting in a life limit reduction on p.m., Monday through Friday, except multiple landing gear components Federal Aviation Administration Federal holidays. including threaded hinge pins and MLG For service information identified in and NLG actuator pins. The FAA issued 14 CFR Part 39 this final rule, contact your local AD 2021–04–16 to prevent failure of [Docket No. FAA–2021–0305; Project Sikorsky Field Representative or components on the MLG and NLG. The Identifier AD–2021–00334–R; Amendment Sikorsky’s Service Engineering Group at unsafe condition, if not addressed, 39–21512; AD 2021–08–18] Sikorsky Aircraft Corporation, Mailstop could result in damage to the helicopter RIN 2120–AA64 K100, 124 Quarry Road, Trumbull, CT and reduced ability to control the 06611; telephone 1–800–946–4337 helicopter during landing. Airworthiness Directives; Sikorsky (1–800–Winged–S); email wcs_cust_ Actions Since AD 2021–04–16 Was Aircraft Corporation Helicopters [email protected]. Operators may also log on to the Sikorsky 360 Issued AGENCY: Federal Aviation website at https:// Since the FAA issued AD 2021–04– Administration (FAA), DOT. www.sikorsky360.com. You may view 16, it was discovered that the P/Ns for ACTION: Final rule; request for this service information at the FAA, the actuator pins were incorrect in comments. Office of the Regional Counsel, certain paragraphs. Portions of the Southwest Region, 10101 Hillwood Required Actions paragraph incorrectly SUMMARY: The FAA is superseding Pkwy., Room 6N–321, Fort Worth, TX identified the actuator pin Airworthiness Directive (AD) 2021–04– 76177. For information on the P/Ns as 92240–12287–101 and 92240– 16 which applied to certain Sikorsky availability of this material at the FAA, 12287–103; the correct P/Ns are 92250– Aircraft Corporation (Sikorsky) Model call (817) 222–5110. It is also available 12287–101 and 92250–12287–103. The S–92A helicopters. AD 2021–04–16 at https://www.regulations.gov by Installation Prohibition paragraph required a one-time inspection of the searching for and locating Docket No. incorrectly identified the actuator pin P/ landing gear for components with non- FAA–2021–0305. Ns as 92240–12287–101 and 92240– conforming threads and removal of any Examining the AD Docket 12287–103; the correct P/Ns are 92250– non-conforming threaded hinge pin and 12287–101 and 92250–12287–103. The main landing gear (MLG) and nose You may examine the AD docket at FAA is issuing this AD to correct these landing gear (NLG) actuator pins. AD https://www.regulations.gov by P/N errors and address the unsafe 2021–04–16 also prohibited installing searching for and locating Docket No. condition on these products. certain part-numbered hinge and FAA–2021–0305; or in person at Docket actuator pins on any helicopter. This Operations between 9 a.m. and 5 p.m., FAA’s Determination AD requires the same actions but Monday through Friday, except Federal The FAA is issuing this AD because corrects erroneous part numbers. This holidays. The AD docket contains this the agency determined the unsafe AD was prompted by the discovery that final rule, any comments received, and condition described previously is likely certain part numbers listed in AD 2021– other information. The street address for to exist or develop in other products of 04–16 are incorrect. The FAA is issuing Docket Operations is listed above. the same type design. this AD to address the unsafe condition FOR FURTHER INFORMATION CONTACT: Related Service Information Under 1 on these products. Dorie Resnik, Aviation Safety Engineer, CFR Part 51 DATES: This AD is effective April 29, Boston ACO Branch, FAA, 1200 District 2021 Avenue, Burlington, MA 01803; phone: The FAA reviewed Sikorsky Alert The Director of the Federal Register (781) 238–7693; fax: (781) 238–7199; Service Bulletin 92–32–008, Basic Issue, approved the incorporation by reference email: [email protected]. dated January 21, 2020 (the ASB). The of a certain other publication listed in SUPPLEMENTARY INFORMATION: ASB describes procedures for a one-time this AD as of April 14, 2021 (86 FR inspection and replacement of non- 13631, March 10, 2021). Background conforming components on the MLG The FAA must receive any comments The FAA issued AD 2021–04–16, and NLG. on this AD by June 1, 2021. Amendment 39–21438 (86 FR 13631, This service information is reasonably ADDRESSES: You may send comments, March 10, 2021) (AD 2021–04–16), for available because the interested parties using the procedures found in 14 CFR Sikorsky Model S–92A helicopters with have access to it through their normal 11.43 and 11.45, by any of the following serial numbers (S/Ns) 920006 through course of business or by the means methods: 920334 inclusive. AD 2021–04–16 identified in the ADDRESSES section.

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AD Requirements to dispense with notice and comment personal information you provide. The procedures for rules when the agency, agency will also post a report This AD requires, within 300 hours for ‘‘good cause,’’ finds that those summarizing each substantive verbal time-in-service (TIS) after the effective procedures are ‘‘impracticable, contact received about this final rule. date of this AD, visually inspecting the unnecessary, or contrary to the public components of the right MLG assembly, interest.’’ Under this section, an agency, Confidential Business Information left MLG assembly, and NLG kit for upon finding good cause, may issue a threaded hinge pins P/N 92250–12281– CBI is commercial or financial final rule without providing notice and 101 and actuator pins P/N 92250– information that is both customarily and seeking comment prior to issuance. actually treated as private by its owner. 12287–101 and 92250–12287–103 with Further, section 553(d) of the APA an S/N as specified in the ASB. If there Under the Freedom of Information Act authorizes agencies to make rules (FOIA) (5 U.S.C. 552), CBI is exempt is any threaded hinge pin P/N 92250– effective in less than thirty days, upon 12281–101 or any MLG or NLG actuator from public disclosure. If your a finding of good cause. comments responsive to this AD contain pin P/N 92250–12287–101 or P/N This AD corrects an obvious error in 92250–12287–103 with an S/N as commercial or financial information AD 2021–04–16 that affects compliance that is customarily treated as private, specified in the ASB, removing it from and the public was previously provided service is required before further flight. that you actually treat as private, and opportunity for comment on the costs of that is relevant or responsive to this AD, This AD also prohibits, as of the the AD and required actions. effective date of this AD, installing any it is important that you clearly designate Accordingly, notice and opportunity the submitted comments as CBI. Please threaded hinge pin P/N 92250–12281– for prior public comment are 101 or actuator pin P/N 92250–12287– mark each page of your submission unnecessary pursuant to 5 U.S.C. containing CBI as ‘‘PROPIN.’’ The FAA 101 or 92250–12287–103 with an S/N as 553(b)(3)(B). In addition, the FAA finds specified in the ASB, on any helicopter. will treat such marked submissions as that good cause exists pursuant to 5 confidential under the FOIA, and they Differences Between This AD and the U.S.C. 553(d) for making this will not be placed in the public docket Service Information amendment effective in less than 30 of this AD. Submissions containing CBI days, for the same reasons the FAA should be sent to Dorie Resnik, This AD requires replacing only found good cause to forgo notice and Aerospace Engineer, Boston ACO affected hinge pins and MLG and NLG comment. actuator pins. The ASB requires Branch, FAA, 1200 District Avenue, replacing additional parts such as the Comments Invited Burlington, MA 01803; phone: (781) MLG and NLG crossbolt and the MLG The FAA invites you to send any 238–7693; fax: (781) 238–7199; email: and NLG upper nut. The FAA has written data, views, or arguments about [email protected]. Any commentary determined that the MLG and NLG this final rule. Send your comments to that the FAA receives which is not crossbolt and the MLG and NLG upper an address listed under ADDRESSES. specifically designated as CBI will be nut fail in a safe and contained manner Include ‘‘Docket No. FAA–2021–0305 placed in the public docket for this and therefore are not subject to this AD. and Project Identifier AD–2021– rulemaking. Additionally, this AD requires the 00334–R’’ at the beginning of your Regulatory Flexibility Act one-time inspection within 300 hours comments. The most helpful comments TIS after the effective date of this AD reference a specific portion of the final The requirements of the Regulatory and requires that any affected hinge rule, explain the reason for any Flexibility Act (RFA) do not apply when pins and MLG and NLG actuator pins be recommended change, and include an agency finds good cause pursuant to removed from service before further supporting data. The FAA will consider 5 U.S.C. 553 to adopt a rule without flight. The ASB specifies inspecting and all comments received by the closing prior notice and comment. Because FAA replacing the affected hinge pins and date and may amend this final rule has determined that it has good cause to MLG and NLG actuator pins occur no because of those comments. adopt this rule without prior notice and later than January 21, 2021. Except for Confidential Business comment, RFA analysis is not required. Information (CBI) as described in the Justification for Immediate Adoption Costs of Compliance following paragraph, and other and Determination of the Effective Date information as described in 14 CFR The FAA estimates that this AD Section 553(b)(3)(B) of the 11.35, the FAA will post all comments affects 85 helicopters of U.S. registry Administrative Procedure Act (APA) (5 received, without change, to https:// and estimates the following costs to U.S.C. 551 et seq.) authorizes agencies www.regulations.gov, including any comply with this AD:

ESTIMATED COSTS

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

Visually inspect landing gear (right MLG as- 1 work-hour × $85 per hour = $0 $255 (three landing gear in- $21,675 sembly, left MLG assembly, and NLG kit). $85 (per landing gear). stalled on each helicopter).

The FAA estimates the following that are required based on the results of determining the number of helicopters costs to do any necessary replacements the inspection. The FAA has no way of that might need these replacements:

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ON-CONDITION COSTS

Cost per Action Labor cost Parts cost product

Replace threaded hinge pin, P/N 92250–12281–101 ...... 1 work-hour × $85 per hour = $85 .. $4,535 $4,620 Replace MLG/NLG actuator pin, P/N 92250–12287–101 ...... 1 work-hour × $85 = $85 ...... 557 642 Replace MLG/NLG actuator pin, P/N 92250–12287–103 ...... 1 work-hour × $85 = $85 ...... 609 694

According to the manufacturer, some the FAA amends 14 CFR part 39 as (g) Required Actions of the costs of this AD may be covered follows: Within 300 hours time in service after the under warranty, thereby reducing the effective date of this AD, visually inspect the cost impact on affected individuals. The PART 39—AIRWORTHINESS components of the right MLG assembly, left FAA does not control warranty coverage DIRECTIVES MLG assembly, and NLG kit for threaded for affected individuals. As a result, the hinge pins part number (P/N) 92250–12281– FAA has included all costs in its cost ■ 1. The authority citation for part 39 101 and actuator pins P/N 92250–12287–101 estimate. continues to read as follows: and P/N 92250–12287–103 with S/Ns identified in Table 1 or 2 (threaded hinge Authority for This Rulemaking Authority: 49 U.S.C. 106(g), 40113, 44701. pins) or in Table 1 (actuator pins), in Section Title 49 of the United States Code § 39.13 [Amended] 3, the Accomplishment Instructions, in the Sikorsky Aircraft Corporation Alert Service specifies the FAA’s authority to issue ■ 2. The FAA amends § 39.13 by: Bulletin 92–32–008, Basic Issue, dated rules on aviation safety. Subtitle I, ■ January 21, 2020 (the ASB). Section 106, describes the authority of a. Removing Airworthiness Directive 2021–04–16, Amendment 39–21438 (86 Note 1 to the introductory text of the FAA Administrator. Subtitle VII, paragraph (g): See Figures 1 and 2 in Section FR 13631, March 10, 2021); and Aviation Programs, describes in more 3, the Accomplishment Instructions, in the detail the scope of the Agency’s ■ b. Adding the following new ASB for guidance on performing the visual authority. airworthiness directive: inspection. The FAA is issuing this rulemaking 2021–08–18 Sikorsky Aircraft Corporation (1) If there is any threaded hinge pin, P/ under the authority described in (Sikorsky): Amendment 39–21512; N 92250–12281–101, with an S/N listed in Subtitle VII, Part A, Subpart III, Section Docket No. FAA–2021–0305; Project Table 1 or 2 in the ASB, before further flight, 44701, General requirements. Under Identifier AD–2021–00334–R remove the threaded hinge pin from service. (2) If there is any MLG or NLG actuator that section, Congress charges the FAA (a) Effective Date pin, P/N 92250–12287–101 or P/N 92250– with promoting safe flight of civil This airworthiness directive (AD) is 12287–103, with an S/N listed in Table 1 in aircraft in air commerce by prescribing effective April 29, 2021. the ASB, before further flight, remove the regulations for practices, methods, and actuator pin from service. procedures the Administrator finds (b) Affected ADs (h) Installation Prohibition necessary for safety in air commerce. This AD replaces AD 2021–04–16, This regulation is within the scope of Amendment 39–21438 (86 FR 13631, March As of the effective date of this AD, do not that authority because it addresses an 10, 2021) (AD 2021–04–16). install any threaded hinge pin 92250–12281– 101 or actuator pin, P/N 92250–12287–101 or unsafe condition that is likely to exist or (c) Applicability 92250–12287–103 with an S/N listed in develop on products identified in this This AD applies to Sikorsky Model S–92A Table 1 or 2 in Section 3, the rulemaking action. helicopters, certificated in any category, with Accomplishment Instructions, in the ASB, on Regulatory Findings serial numbers (S/Ns) 920006 through any helicopter. 920334 inclusive. This AD will not have federalism (i) Alternative Methods of Compliance implications under Executive Order (d) Subject (AMOCs) 13132. This AD will not have a Joint Aircraft System Component (JASC) (1) The Manager, Boston ACO Branch, substantial direct effect on the States, on Code 3220, Nose/Tail Landing Gear and FAA, has the authority to approve AMOCs the relationship between the national 3210, Main Landing Gear. for this AD, if requested using the procedures government and the States, or on the found in 14 CFR 39.19. In accordance with (e) Unsafe Condition 14 CFR 39.19, send your request to your distribution of power and This AD was prompted by the discovery principal inspector or local Flight Standards responsibilities among the various that certain part numbers listed in AD 2021– District Office, as appropriate. If sending levels of government. 04–16 were incorrect. AD 2021–04–16 was information directly to the manager of the For the reasons discussed above, I issued after the manufacturer determined certification office, send it to the attention of certify that this AD: that because of non-conforming threads, due the person identified in paragraph (j) of this (1) Is not a ‘‘significant regulatory to a quality escape, the life limit of the AD. action’’ under Executive Order 12866, threaded hinge pin and main landing gear (2) Before using any approved AMOC, and (MLG) and nose landing gear (NLG) actuator notify your appropriate principal inspector, (2) Will not affect intrastate aviation pins was reduced. The FAA is issuing this or lacking a principal inspector, the manager in Alaska. AD to correct the errors in AD 2021–04–16 of the local flight standards district office/ and prevent failure of components on the certificate holding district office. List of Subjects in 14 CFR Part 39 MLG and NLG. The unsafe condition, if not (j) Related Information Air transportation, Aircraft, Aviation addressed, could result in damage to the helicopter and reduced ability to control the For more information about this AD, safety, Incorporation by reference, helicopter during landing. contact Dorie Resnik, Aviation Safety Safety. Engineer, Boston ACO Branch, Compliance & (f) Compliance The Amendment Airworthiness Division, FAA, 1200 District Comply with this AD within the Avenue, Burlington, MA 01803; phone: (781) Accordingly, under the authority compliance times specified, unless already 238–7693; fax: (781) 238–7199; email: delegated to me by the Administrator, done. [email protected].

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(k) Material Incorporated by Reference Connecting Railroad Company, the IV. Discussion of Comments, Changes (1) The Director of the Federal Register owner and operator of these three and the Final Rule previously approved the incorporation by bridges, has requested to stop continual We did not receive any comments reference (IBR) of the service information drawtender service and to operate the from the waterway users. listed in this paragraph under 5 U.S.C. 552(a) two bridges only while trains are and 1 CFR part 51. crossing the bridge, leaving them in the V. Discussion of Final Rule (2) You must use this service information open position at all other times, while as applicable to do the actions required by The proposed rule will establish the this AD, unless the AD specifies otherwise. the third bridge would open upon signal procedures to move the bridge to allow (3) The following service information was if a 4-hour advance notice is received. rail traffic to cross the bridge while approved for IBR on April 14, 2021 (86 FR DATES: This rule is effective May 14, giving notice to the vessels transiting 13631, March 10, 2021). 2021. the waterway that the bridge will be (i) Sikorsky Aircraft Corporation Alert lowering. Ten minutes before the bridge Service Bulletin 92–32–008, Basic Issue, ADDRESSES: To view documents is lowered for train traffic a dated January 21, 2020. mentioned in this preamble as being crewmember from the train will initiate (ii) [Reserved] available in the docket, go to https:// a SECURITE call on VHF–FM Marine (4) For Sikorsky Aircraft Corporation www.regulations.gov. Type USCG– Channel 16 that the bridge will be service information identified in this AD, 2020–0513 in the ‘‘SEARCH’’ box and contact your local Sikorsky Field lowering for train traffic and invite any click ‘‘SEARCH.’’ Click on Open Docket concerned mariners to contact the Representative or Sikorsky’s Service Folder on the line associated with this Engineering Group at Sikorsky Aircraft drawtender on VHF–FM Marine Corporation, Mailstop K100, 124 Quarry rule. Channel 12. The drawtender will also Road, Trumbull, CT 06611; telephone 1–800– FOR FURTHER INFORMATION CONTACT: If visually monitor for vessel traffic and 946–4337 (1–800-Winged-S); email wcs_cust_ you have questions on this rule, call or listen for the standard bridge opening [email protected]. Operators may email: Mr. Lee D. Soule, Bridge signal of one prolonged blast and one also log on to the Sikorsky 360 website at Management Specialist, Ninth Coast short blast from vessels already https://www.sikorsky360.com. Guard District; telephone 216–902– transiting the waterway. After the ten (5) You may view this service information minute warning, one last SECURITE call at the FAA, Office of the Regional Counsel, 6085, email [email protected]. Southwest Region, 10101 Hillwood Pkwy., SUPPLEMENTARY INFORMATION: will be made that the bridge will be Room 6N–321, Fort Worth, TX 76177. For lowering for rail traffic five minutes information on the availability of this I. Table of Abbreviations before lowering. Once the drawtender is material at the FAA, call (817) 222–5110. CFR Code of Federal Regulations satisfied that it is safe the bridge will be (6) You may view this service information DHS Department of Homeland Security lowered for rail traffic. Once the rail that is incorporated by reference at the FR Federal Register traffic has cleared the bridge, the bridge National Archives and Records IGLD85 International Great Lakes Datum of will be raised and locked in the fully Administration (NARA). For information on 1985 open to navigation position. the availability of this material at NARA, LWD Low Water Datum based on IGLD85 The Delray Connecting Railroad email: [email protected], or go to: OMB Office of Management and Budget Bridge, mile 0.34, has had limited https://www.archives.gov/federal-register/cfr/ NPRM Notice of Proposed Rulemaking requests for openings and provides ibr-locations.html. (Advance, Supplemental) access to Zug Island for vehicles and rail Issued on April 9, 2021. § Section traffic. The owner of the railroad states U.S.C. United States Code Lance T. Gant, the bridge has been operating with Director, Compliance & Airworthiness II. Background Information and advance notice illegally without Division, Aircraft Certification Service. Regulatory History complaints for several years. [FR Doc. 2021–07687 Filed 4–12–21; 11:15 am] On October 27, 2020 we published in VI. Regulatory Analyses BILLING CODE 4910–13–P the Federal Register (85 FR 68019) a The Coast Guard has developed this Notice of Proposed Rule Making. There rule after considering numerous statutes we stated why we issued the NPRM, and Executive Orders related to DEPARTMENT OF HOMELAND and invited comments on our proposed rulemaking. Below we summarize our SECURITY regulatory action. During the 60-day analyses based on a number of these comment period, we received no Coast Guard statutes and Executive Orders, and we comments. discuss First Amendment rights of 33 CFR Part 117 III. Legal Authority and Need for Rule protesters. [Docket No. USCG–2020–0513] The Coast Guard is issuing this rule A. Regulatory Planning and Review under authority 33 U.S.C. 499. Executive Orders 12866 and 13563 RIN 1625–AA09 The National Steel Corporation direct agencies to assess the costs and Drawbridge Operation Regulation; Railroad Bridge, mile 0.40, the Delray benefits of available regulatory River Rouge, Detroit, MI Connecting Railroad Bridge, mile 0.34, alternatives and, if regulation is and the Delray Connecting Railroad necessary, to select regulatory AGENCY: Coast Guard, DHS. Bridge, mile 0.80, over the River Rouge, approaches that maximize net benefits. ACTION: Final rule. currently open on signal pursuant to 33 Executive Order 13771 directs agencies CFR 117 and are required to be manned to control regulatory costs through a SUMMARY: The Coast Guard is modifying by a drawtender at each bridge. The budgeting process. This rule has not the operating schedule that governs the reason for the request to stop continual been designated a ‘‘significant National Steel Corporation Railroad drawtender service it that the primary regulatory action,’’ under Executive Bridge, mile 0.40, the Delray Connecting customer, a still mill on Zug Island, has Order 12866. Accordingly, it has not Railroad Bridge, mile 0.34, and the been placed into caretaker status, been reviewed by the Office of Delray Connecting Railroad Bridge, mile significantly decreasing the rail traffic Management and Budget (OMB) and 0.80, over the River Rouge. Delray across these bridges. pursuant to OMB guidance it is exempt

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from the requirements of Executive Reduction Act of 1995 (44 U.S.C. 3501– Neither a Record of Environmental Order 13771. 3520). Consideration nor a Memorandum for This regulatory action determination the Record are required for this rule. D. Federalism and Indian Tribal is based on the ability that vessels can Government G. Protest Activities still transit the bridge because the bridge The Coast Guard respects the First will only be lowered for train traffic or A rule has implications for federalism Amendment rights of protesters. the bridge will open with advance under Executive Order 13132, Protesters are asked to contact the notice. Federalism, if it has a substantial direct person listed in the FOR FURTHER effect on the States, on the relationship B. Impact on Small Entities INFORMATION CONTACT section to between the National Government and coordinate protest activities so that your The Regulatory Flexibility Act of 1980 the States, or on the distribution of message can be received without (RFA), 5 U.S.C. 601–612, as amended, power and responsibilities among the jeopardizing the safety or security of requires federal agencies to consider the various levels of government. We have people, places or vessels. potential impact of regulations on small analyzed this rule under that Order and entities during rulemaking. The term have determined that it is consistent List of Subjects in 33 CFR Part 117 ‘‘small entities’’ comprises small with the fundamental federalism Bridges. businesses, not-for-profit organizations principles and preemption requirements For the reasons discussed in the that are independently owned and described in Executive Order 13132. operated and are not dominant in their preamble, the Coast Guard amends 33 fields, and governmental jurisdictions Also, this rule does not have tribal CFR part 117 as follows: with populations of less than 50,000. implications under Executive Order 13175, Consultation and Coordination PART 117—DRAWBRIDGE The Coast Guard received no comments OPERATION REGULATIONS from the Small Business Administration with Indian Tribal Governments, because it does not have a substantial on this rule. The Coast Guard certifies ■ direct effect on one or more Indian 1. The authority citation for part 117 under 5 U.S.C. 605(b) that this rule will continues to read as follows: not have a significant economic impact tribes, on the relationship between the Federal Government and Indian tribes, Authority: 33 U.S.C. 499; 33 CFR 1.05–1; on a substantial number of small DHS Delegation No. 0170.1. entities. or on the distribution of power and responsibilities between the Federal ■ While some owners or operators of 2. Revise § 117.645 to read as follows: Government and Indian tribes. vessels intending to transit the bridge § 117.645 River Rouge. may be small entities, for the reasons E. Unfunded Mandates Reform Act (a) The Delray Connecting Railroad stated in section V.A above, this rule Bridge, mile 0.34, need not have a The Unfunded Mandates Reform Act will not have a significant economic drawtender in continued attendance at of 1995 (2 U.S.C. 1531–1538) requires impact on any vessel owner or operator. the bridge and shall open on signal if a Federal agencies to assess the effects of Under section 213(a) of the Small 4-hour advance notice is provided. Business Regulatory Enforcement their discretionary regulatory actions. In (b) The Delray Connecting Railroad Fairness Act of 1996 (Pub. L. 104–121), particular, the Act addresses actions Bridge, mile 0.80, over the Old Channel we want to assist small entities in that may result in the expenditure by a need not have a drawtender in understanding this rule. If the rule State, local, or tribal government, in the continued attendance at the bridge. The would affect your small business, aggregate, or by the private sector of bridge will remain open ten minutes organization, or governmental $100,000,000 (adjusted for inflation) or before the bridge is lowered for train jurisdiction and you have questions more in any one year. Though this rule traffic. A crewmember from the train concerning its provisions or options for will not result in such an expenditure, will initiate a SECURITE call on VHF– compliance, please contact the person we do discuss the effects of this rule FM Marine Channel 16 that the bridge listed in the FOR FURTHER INFORMATION elsewhere in this preamble. will be lowering for train traffic and CONTACT section. F. Environment invite any concerned mariners to Small businesses may send comments contact the drawtender on VHF–FM on the actions of Federal employees We have analyzed this rule under Marine Channel 12. The drawtender who enforce, or otherwise determine Department of Homeland Security will also visually monitor for vessel compliance with, Federal regulations to Management Directive 023–01, Rev.1, traffic and listen for the standard bridge the Small Business and Agriculture associated implementing instructions, opening signal of one prolonged blast Regulatory Enforcement Ombudsman and Environmental Planning Policy and one short blast from vessels already and the Regional Small Business COMDTINST 5090.1 (series) which transiting the waterway. After the ten Regulatory Fairness Boards. The guide the Coast Guard in complying minute warning, another SECURITE call Ombudsman evaluates these actions with the National Environmental Policy shall be made on VHF–FM Marine annually and rates each agency’s Act of 1969 (NEPA)(42 U.S.C. 4321– Channel 16 that the bridge will be responsiveness to small business. If you 4370f). The Coast Guard has determined lowering for rail traffic five minutes wish to comment on actions by that this action is one of a category of before lowering. Once the drawtender is employees of the Coast Guard, call actions that do not individually or satisfied that it is safe, the bridge will 1–888–REG–FAIR (1–888–734–3247). cumulatively have a significant effect on be lowered for rail traffic. Once the rail The Coast Guard will not retaliate the human environment. This rule traffic has cleared the bridge, the bridge against small entities that question or promulgates the operating regulations or shall be raised and locked in the fully complain about this rule or any policy procedures for drawbridges and is open to navigation position. or action of the Coast Guard. categorically excluded from further (c) The National Steel Corporation review, under paragraph L49, of Chapter Railroad Bridge, mile 0.40, need not C. Collection of Information 3, Table 3–1 of the U.S. Coast Guard have a drawtender in continual This rule calls for no new collection Environmental Planning attendance at the bridge. Ten minutes of information under the Paperwork Implementation Procedures. before the bridge is lowered for train

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traffic a crewmember from the train will DATES: This final rule is effective on V. Comments Received Regarding EPA’s initiate a SECURITE call on VHF–FM April 30, 2021. Round 4 Designations VI. Environmental Justice Concerns Marine Channel 16 that the bridge will ADDRESSES: The EPA has established a be lowering for train traffic and invite VII. Statutory and Executive Order Reviews docket for this action at https:// A. Executive Order 12866: Regulatory any concerned mariners to contact the regulations.gov under Docket ID No. Planning and Review and Executive drawtender on VHF–FM Marine EPA–HQ–OAR–2020–0037. Although Order 13563: Improving Regulation and Channel 12. The drawtender will also listed in the index, some information is Regulatory Review visually monitor for vessel traffic and not publicly available, e.g., Confidential B. Paperwork Reduction Act (PRA) listen for the standard bridge opening Business Information or other C. Regulatory Flexibility Act (RFA) signal of one prolonged blast and one information whose disclosure is D. Unfunded Mandates Reform Act (UMRA) short blast from vessels already restricted by statute. Certain other transiting the waterway. After the ten E. Executive Order 13132: Federalism material, such as copyrighted material, F. Executive Order 13175: Consultation minute warning, another SECURITE call is not placed on the internet and will be and Coordination With Indian Tribal shall be made on VHF–FM Marine publicly available only in hard copy Government Channel 16 that the bridge will be form. G. Executive Order 13045: Protection of lowering for rail traffic five minutes Out of an abundance of caution for Children From Environmental Health before lowering. Once the drawtender is members of the public and our staff, the and Safety Risks satisfied that it is safe, the bridge will EPA Docket Center and Reading Room H. Executive Order 13211: Actions That Significantly Affect Energy Supply, be lowered for rail traffic. Once the rail are currently closed to the public, with traffic has cleared the bridge, the bridge Distribution or Use limited exceptions, to reduce the risk of I. National Technology Transfer and shall be raised and locked in the fully transmitting COVID–19. The Docket Advancement Act (NTTAA) open to navigation position. Center staff will continue to provide J. Executive Order 12898: Federal Actions (d) The draw of the Conrail Bridge, remote customer service via email, To Address Environmental Justice in mile 1.48, is remotely operated, is phone, and webform. For further Minority Populations and Low-Income required to operate a radiotelephone, information on EPA Docket Center Populations and shall open on signal. services and the current status, please K. Congressional Review Act (CRA) L. Judicial Review Dated: April 2, 2021. visit us online at https://www.epa.gov/ D.L. Cottrell, dockets. I. Preamble Glossary of Terms and Rear Admiral, U.S. Coast Guard, Commander, FOR FURTHER INFORMATION CONTACT: For Acronyms Ninth Coast Guard District. general questions concerning this The following are abbreviations of terms [FR Doc. 2021–07649 Filed 4–13–21; 8:45 am] action, please contact Andrew Leith, used in the preamble. BILLING CODE 9110–04–P U.S. Environmental Protection Agency, APA Administrative Procedure Act Office of Air Quality Planning and AQS Air Quality System Standards, Air Quality Policy Division, CAA Clean Air Act 109 T.W. Alexander Drive, Mail Code CFR Code of Federal Regulations ENVIRONMENTAL PROTECTION C539–04, Research Triangle Park, NC DC District of Columbia AGENCY DRR Data Requirements Rule 27711, telephone (919) 541–1069, email E.O. Executive Order 40 CFR Part 81 address: [email protected]. For EPA Environmental Protection Agency questions regarding the specific area in FR Federal Register [EPA–HQ–OAR–2020–0037; FRL–10022–22– this action, please contact Alisa Liu, NAAQS National Ambient Air Quality OAR] U.S. Environmental Protection Agency Standards Region 5, Control Strategies Section, Air NTTAA National Technology Transfer and Air Quality Designations for the 2010 Programs Branch (AR–18J), 77 West Advancement Act OMB Office of Management and Budget Sulfur Dioxide (SO2) Primary National Jackson Boulevard, Chicago, IL 60604; ppb Parts per billion Ambient Air Quality Standard—Round telephone: (312) 353–3193; email PRA Paperwork Reduction Act 4—Supplemental Amendment address: [email protected]. RFA Regulatory Flexibility Act Most EPA offices are closed to reduce SO2 Sulfur Dioxide AGENCY: Environmental Protection the risk of transmitting COVID–19, but TAR Tribal Authority Rule Agency (EPA). staff remain available via telephone and UMRA Unfunded Mandate Reform Act of ACTION: Final rule. email. The EPA encourages the public to 1995 review information related to the Round U.S. United States SUMMARY: The Environmental Protection 4 2010 SO NAAQS designations online Agency (EPA) is withdrawing the initial 2 II. What is the purpose of this at https://www.epa.gov/sulfur-dioxide- supplemental action? nonattainment designation for portions designations and also in the public The EPA was under a December 31, of the Outagamie County, Wisconsin, docket at https://www.regulations.gov 2020, court-ordered deadline to area for the 2010 sulfur dioxide (SO2) under Docket ID No. EPA–HQ–OAR– designate all remaining areas for the primary National Ambient Air Quality 2020–0037. Standard (NAAQS) and is finalizing a 2010 SO2 NAAQS (‘‘Round 4’’). On designation of attainment/unclassifiable SUPPLEMENTARY INFORMATION: December 21, 2020, the EPA for the area. The EPA Administrator Table of Contents Administrator signed a final action to signed an action on December 21, 2020, designate 44 areas in accordance with The following is an outline of the section 107(d) of the Clean Air Act to designate certain areas in the United Preamble. States (U.S.) for the 2010 SO NAAQS, (CAA).1 Nine areas were designated as 2 I. Preamble Glossary of Terms and Acronyms including the Outagamie County area. II. What is the purpose of this supplemental 1 This action supplements the EPA’s The Round 4 2010 SO2 NAAQS designations action? action was signed by the EPA Administrator, December 2020 designations, published III. Designation Decision Based on 2018–2020 Andrew Wheeler, on December 21, 2020, pursuant in the Federal Register of March 26, Data to a court-ordered deadline of December 31, 2020. 2021, which have not yet taken effect. IV. Effective Date of This Action That document with the original signature and date

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nonattainment; two areas were which are hereby incorporated by Additionally, WDNR requested that the designated as unclassifiable; and 33 reference into this supplement of that EPA use the most recently available data areas were designated as attainment/ action. Modification to the December to change the designation of Outagamie unclassifiable. The list of newly 21, 2020, designation for this area does County, Wisconsin from nonattainment designated areas in each state, the not represent a ‘‘redesignation’’ because to attainment/unclassifiable prior to the boundaries of each area, and the this change is a withdrawal of that April 30, 2021 effective date of the designation of each area, appear in the initial designation prior to its effective December 2020 action. tables at the end of that action. date and is an issuance of a new initial The Kaukauna monitor is located 1.53 The purpose of this supplemental designation. The EPA is making this kilometers north northeast of the action is to withdraw the SO2 change to reflect the most recent 3 years Ahlstrom-Munksjo¨ NA Specialty designation for one area that the EPA of complete, quality-assured, and Solutions, LLC—Kaukauna facility. The designated as nonattainment in the certified data (i.e., 2018–2020) that have monitor was sited to characterize the December 2020 action and designate become available prior to the April 30, maximum 1-hour SO2 concentration in that area as attainment/unclassifiable. 2021, effective date of the December 21, the area surrounding the facility. Based The EPA indicated in that action that if 2020, action. on the ambient monitoring data certified any state submitted complete, quality- by WDNR in the EPA’s AQS, the annual assured, certified 2020 data to the III. Designation Decision Based on 99th percentiles for the daily maximum 2018–2020 Data appropriate EPA Regional office 1-hour SO2 concentrations are 107.8 ppb supporting a change of the designation In a May 1, 2020, letter, which the for 2018, 32.3 ppb 2019, and 66.7 ppb status for any Round 4 area within that state later modified on July 17, 2020, the for 2020. Data collected at this monitor state, and the EPA agreed that a change Wisconsin Department of Natural show a valid, attaining 1-hour SO2 of designation status was appropriate, Resources (WDNR) recommended that design value of 69 ppb based on the EPA would withdraw the December the EPA designate Outagamie County, complete, certified 2018–2020 data. The 21, 2020, designation for the area and Wisconsin as nonattainment for the design value was calculated according issue another designation that reflects 2010 SO2 NAAQS. On August 13, 2020, to the data handling procedures in 40 the analysis of such information. consistent with section 107(d)(1)(b)(ii) CFR part 50, Appendix T, and is valid The EPA received such 2020 air of the CAA, the EPA notified Wisconsin for comparison to the NAAQS. quality information from the state of that it intended to designate portions of Based on complete, quality-assured Wisconsin on January 13, 2021, and this Outagamie County, Wisconsin as and certified air quality monitoring data information is available in the docket nonattainment based on the most recent from 2020 submitted by WDNR, for this action. Based on our evaluation 3 years (2017–2019), at that time, of showing attainment of the 1-hour SO2 of the 2020 monitoring data, in this complete, quality-assured, certified data primary NAAQS in the area, the EPA is supplemental action the EPA is from a monitor (Air Quality System changing the initial designation for this changing its December 21, 2020, (AQS) Site ID #55–087–0015) indicating area. As noted in Section II of this nonattainment designation for portions a violation of the 2010 SO2 NAAQS notice, the EPA provided a process in of Outagamie County, Wisconsin to with a design value of 77 parts per the December 2020 action for attainment/unclassifiable. The portions billion (ppb).3 The EPA explained in its considering 2020 air quality data if such of Outagamie County affected by this December 2020 Responses to Comments data supported a change to the initial change cover Outagamie County except on the intended designations (see pp. designation for an area. Pursuant to this Oneida Township (which includes 26–27) that if the Kaukauna SO2 process, the EPA is withdrawing the Oneida Reservation), Oneida Off- monitor produced a valid attaining initial nonattainment designation for Reservation Trust Land, and design value for the 2018–2020 period, portions of Outagamie County, noncontiguous portions of Seymour and Wisconsin submitted the certified Wisconsin, and the EPA is changing the Township adjoining Oneida Nation data to the EPA prior to February 15, initial designation of these portions of Tribal Lands.2 2021, then the EPA would withdraw the Outagamie County to attainment/ The December 21, 2020, action was nonattainment designation announced unclassifiable, thereby designating the based on application of the EPA’s in the December 2020 action and change entirety of Outagamie County as nationwide analytical approach and the initial designation of the Outagamie attainment/unclassifiable. Procedurally, technical analysis, including evaluation County area to attainment/ this change in the initial designation is of monitoring data and air quality unclassifiable.4 consistent with the EPA’s early data modeling, to determine the appropriate On January 13, 2021, the WDNR certification and evaluation process, as designation and area boundary based on submitted complete, quality-assured, described previously in this document the weight of evidence for each area, and certified SO2 air quality monitoring and in the December 2020 action. The data from the Kaukauna monitor for table at the end of this document 5 is maintained by the EPA. For administrative calendar year 2020 to the EPA. (amendment to 40 CFR 81.350) lists the purposes only, and in compliance with only area for which the EPA is changing 3 requirements of the Office of the Federal Register, The 2010 1-hour SO2 NAAQS is 75 ppb, based the initial designation. Acting Administrator Jane Nishida re-signed the on the 3-year average of the 99th percentile of the same action on March 10, 2021, for publication (86 annual distribution of daily maximum 1-hour IV. Effective Date of This Action FR 16055, March 26, 2021). The administrative average concentrations. See 40 CFR 50.17. process in no way alters the legal effect of the action 4 Response to Comments on EPA’s Intended The effective date of designation of upon publication in the Federal Register. Designations for the 2010 Sulfur Dioxide Primary the area addressed in this action is April 2 In the December 2020 action, the EPA National Ambient Air Quality Standard (NAAQS)— 30, 2021, the same effective date as the designated Oneida Township (which includes the Round 4, December 2020. Available at https:// Oneida Reservation), Oneida Off-Reservation Trust www.epa.gov/sites/production/files/2020-12/ December 21, 2020, final designations Land, and the noncontiguous portions of Seymour documents/rd4_so2_designations_responses_to_ action. The EPA is making these Township adjoining Oneida Nation Tribal Lands as comments_final_v2.pdf. changes without notice and comment in attainment/unclassifiable. See the EPA’s intended 5 The docket for this action includes WDNR’s accordance with section 107(d)(2) of the designations technical support document for AMP600 and AMP450NC Data Certification Reports CAA, which exempts the promulgation Wisconsin at https://www.epa.gov/sites/production/ dated January 7, 2021, and Letter dated January 13, files/2020–08/documents/11-wi-rd4_intended_so2_ 2021, and the EPA’s Concurrence dated January 19, of these designations from the notice designations_tsd.pdf. 2021. and comment provisions of the

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Administrative Procedure Act (APA). appropriate air quality management of implementing the NAAQS is Section 553(d) of the APA generally actions to ensure that all those residing, established under the CAA. provides that rulemakings shall not be working, attending school, or otherwise F. Executive Order 13175: Consultation effective less than 30 days after present in those areas are protected, and Coordination With Indian Tribal publication except where the agency regardless of minority and economic Government finds good cause for an earlier date. 5 status. U.S.C. 553(d)(1) and (3). Were the EPA This action does not have tribal not to expedite the effective date of this VII. Statutory and Executive Order implications, as specified in Executive action, and instead make the effective Reviews Order 13175. This action concerns the date 30 days after publication, there A. Executive Order 12866: Regulatory designation of certain areas in the U.S. would be confusion regarding the Planning and Review and Executive for the 2010 SO2 NAAQS. The CAA appropriate designation for the affected Order 13563: Improving Regulation and provides for states, territories, and area in Wisconsin, and the state and the Regulatory Review eligible tribes to develop plans to EPA would likely have to expend regulate emissions of air pollutants This action is exempt from review by unnecessary time and resources at a within their areas, as necessary, based the Office of Management and Budget later time to resolve that confusion. The on the designations. The Tribal because it responds to the CAA effective date for this action is, Authority Rule (TAR) provides tribes requirement to promulgate air quality therefore, justified because the EPA the opportunity to apply for eligibility designations after promulgation of a finds that there is good cause to make to develop and implement CAA new or revised NAAQS. the rule effective April 30, 2021, programs, such as programs to attain because it is in the public interest to B. Paperwork Reduction Act (PRA) and maintain the SO2 NAAQS, but it avoid the potential delay and waste of This action does not impose an leaves to the discretion of the tribe the resources associated with allowing the decision of whether to apply to develop designations in the December 21, 2020, information collection burden under the PRA. This action fulfills the non- these programs and which programs, or action to go into effect for this area, and appropriate elements of a program, the the rule does not contain new discretionary duty for the EPA to promulgate air quality designations after tribe will seek to adopt. This rule does requirements for which affected entities not have a substantial direct effect on need time to prepare. promulgation of a new or revised NAAQS and does not contain any one or more Indian tribes. It would not V. Comments Received Regarding the information collection activities. create any additional requirements EPA’s Round 4 Designations beyond those of the SO2 NAAQS. This C. Regulatory Flexibility Act (RFA) rule establishes the designations for During the 120-day notification certain areas of the country for the 2010 period for the fourth round of This designation action under CAA section 107(d) is not subject to the RFA. SO2 NAAQS, but no areas of Indian designations, WDNR submitted country are being designated as comments, observing that SO The RFA applies only to rules subject to 2 nonattainment by this action. concentrations at the Kaukauna monitor notice-and-comment rulemaking Furthermore, this rule does not affect have decreased since 2018. WDNR requirements under the APA, 5 U.S.C. the relationship or distribution of power predicted that the 2018–2020 design 553, or any other statute. Section and responsibilities between the federal value would be below the 2010 SO 107(d)(2)(B) of the CAA explicitly 2 government and Indian tribes. The CAA NAAQS based on more recent data provides that designations are exempt and the TAR establish the relationship through September 2020 and suggested from the notice-and-comment of the federal government and tribes in that this would potentially make provisions of the APA. In addition, developing plans to attain the NAAQS, finalization of a nonattainment designations under CAA section 107(d) and this rule does nothing to modify designation unnecessary. If final quality are not among the list of actions that are that relationship. Thus, Executive Order assured data from the Kaukauna subject to the notice-and-comment 13175 does not apply. monitor at the end of 2020 showed a rulemaking requirements of CAA 2018–2020 design value that meets the section 307(d). Although Executive Order 13175 does not apply to this rule, after the EPA 2010 1-hour SO2 NAAQS, WDNR stated D. Unfunded Mandates Reform Act promulgated the 2010 primary SO2 that it intended to early certify the 2020 (UMRA) data and request that the EPA change NAAQS, the EPA communicated with the initial designation for Outagamie This action does not contain any tribal leaders and environmental staff County. The EPA did not receive any unfunded mandate as described in regarding the designations process. In other comments regarding the UMRA, 2 U.S.C. 1531–1538 and does 2011, the EPA also sent individualized Outagamie County, Wisconsin area not significantly or uniquely affect small letters to all federally recognized tribes during the 30-day public comment governments. The action imposes no to explain the designation process for period. enforceable duty on any state, local, or the 2010 SO2 NAAQS, to provide the tribal governments, or the private sector. EPA designations guidance, and to offer VI. Environmental Justice Concerns consultation with the EPA. The EPA When the EPA establishes a new or E. Executive Order 13132: Federalism provided further information to tribes revised NAAQS, the CAA requires the This action does not have federalism through presentations at the National EPA to designate all areas of the U.S. as implications. It will not have substantial Tribal Forum and through participation either nonattainment, attainment, or direct effects on the state, on the in National Tribal Air Association unclassifiable. Area designations relationship between the national conference calls. The EPA also sent address environmental justice concerns government and the state, or on the individualized letters to all federally by ensuring that the public is properly distribution of power and recognized tribes that submitted informed about the air quality in an responsibilities among the various recommendations to the EPA about the area. In locations where air quality does levels of government. The division of EPA’s intended Round 1 designations not meet the NAAQS, the CAA requires responsibility between the federal for the SO2 standard and offered tribal relevant state authorities to initiate government and the state for purposes leaders the opportunity for

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consultation.6 These communications K. Congressional Review Act (CRA) initial designation of one area in the provided opportunities for tribes to This action is subject to the CRA, and December 21, 2020, signed action prior voice concerns to the EPA about the the EPA will submit a rule report to to the effective date of that action, are general designations process for the each House of the Congress and to the promulgated pursuant to a common, 2010 SO2 NAAQS, as well as concerns Comptroller General of the U.S. This nationwide analytical method and specific to a tribe, and informed the EPA action is not a ‘‘major rule’’ as defined interpretation of CAA section 107(d). In about key tribal concerns regarding by 5 U.S.C. 804(2). other words, this supplemental action designations as the designations process applies the same uniform, nationwide was under development and through its L. Judicial Review analytical method and interpretation of implementation up to that point. For the Section 307(b)(1) of the CAA indicates CAA section 107(d) applied across the country in the December 2020 final second, third, and fourth rounds of SO2 which Federal Courts of Appeal have designations, the EPA sent additional venue for petitions of review of final action, including the EPA’s nationwide letters to tribes that could potentially be actions by the EPA. This section analytical approach to and technical affected and offered additional provides, in part, that petitions for analysis of evaluating monitoring data opportunities for participation in the review must be filed in the Court of and air quality modeling within the designations process. Appeals for the District of Columbia EPA’s interpretation of statutory terms Circuit: (i) When the agency action in the CAA such as the definitions of G. Executive Order 13045: Protection of consists of ‘‘nationally applicable nonattainment, attainment, and Children From Environmental Health regulations promulgated, or final actions unclassifiable under section 107(d)(1) of and Safety Risks taken, by the Administrator,’’ or (ii) the CAA. Both the supplemental action when such action is locally or regionally and the December 21, 2020, action are The EPA interprets Executive Order applicable, if ‘‘such action is based on based on this same common core of 13045 as applying to those regulatory a determination of nationwide scope or determinations regarding the actions that concern environmental effect and if in taking such action the nationwide analytical method and health or safety risks that the EPA has Administrator finds and publishes that interpretation of CAA section 107(d), reason to believe may such action is based on such a and the Administrator previously made disproportionately affect children, per determination.’’ For locally or regionally and published a finding in the the definition of ‘‘covered regulatory applicable final actions, the CAA December 2020 final action that such action’’ in section 2–202 of the reserves to the EPA complete discretion action is based on a determination of Executive Order. This action is not whether to invoke the exception in (ii). ‘‘nationwide scope or effect’’ within the subject to Executive Order 13045 To the extent a court finds this action meaning of CAA section 307(b)(1).9 because it does not establish an locally or regionally applicable, the More specifically, this final action is environmental standard intended to Administrator is exercising the based on a determination by the EPA to mitigate health or safety risks. complete discretion afforded to him evaluate areas nationwide under a under the CAA to make and publish a common five factor analysis in H. Executive Order 13211: Actions That finding that this action is based on a determining whether areas are in Significantly Affect Energy Supply, determination of ‘‘nationwide scope or violation of the 2010 SO2 NAAQS, as Distribution or Use effect’’ within the meaning of CAA follows: 1. Air quality characterization 7 via ambient monitoring and/or This action is not subject to Executive section 307(b)(1). As explained in this dispersion modeling results; 2. Order 13211 because it is not a document, this final action withdrawing emissions-related data; 3. meteorology; significant regulatory action under the designation and promulgating a new initial designation of one area for the 4. geography and topography; and 5. Executive Order 12866. 10 2010 SO2 primary NAAQS supplements jurisdictional boundaries. I. National Technology Transfer and the nationally applicable December For these reasons, the Administrator Advancement Act (NTTAA) 2020 final action taken by the EPA to is exercising the complete discretion issue a fourth round of designations for afforded to him by the CAA and hereby This rulemaking does not involve areas across the U.S., located in 21 finds that this final action is based on technical standards. states, nine EPA regions, and 10 federal a determination of nationwide scope or effect for purposes of CAA section J. Executive Order 12898: Federal judicial circuits, for the 2010 SO2 primary NAAQS.8 The December 21, 307(b)(1) and is hereby publishing that Actions To Address Environmental finding in the Federal Register. Justice in Minority Populations and 2020, signed action and this supplemental action, replacing the Under section 307(b)(1) of the CAA, Low-Income Populations petitions for judicial review of this action must be filed in the United States This action does not have 7 In deciding whether to invoke the exception by Court of Appeals for the District of disproportionately high and adverse making and publishing a finding that this final action is based on a determination of nationwide human health or environmental effects scope or effect, the Administrator has also taken 9 In the report on the 1977 Amendments that on minority populations, low-income into account a number of policy considerations, revised section 307(b)(1) of the CAA, Congress populations and/or indigenous peoples, including his judgment balancing the benefit of noted that the Administrator’s determination that as specified in Executive Order 12898 obtaining the D.C. Circuit’s authoritative centralized the ‘‘nationwide scope or effect’’ exception applies review versus allowing development of the issue in would be appropriate for any action that has a (59 FR 7629, February 16, 1994). The other contexts and the best use of agency resources. scope or effect beyond a single judicial circuit. See documentation for this determination is 8 The rulemaking docket, EPA–HQ–OAR–2020– H.R. Rep. No. 95–294 at 323, 324, reprinted in 1977 contained in Section VI of this action, 0037, is the same docket for both the December 21, U.S.C.C.A.N. 1402–03. ‘‘Environmental Justice Concerns.’’ 2020, signed action and for this supplemental 10 See ‘‘Area Designations for the 2010 Primary action, with the relevant difference being that in Sulfur Dioxide National Ambient Air Quality addition to the materials it contained regarding this Standard—Round 4,’’ memorandum to Regional Air 6 These communication letters to the tribes are Wisconsin area generated through December 21, Division Directors, Regions 1–10, from Peter provided in the dockets for Round 1 (Docket ID No. 2020—the date that action was signed by the Tsirigotis, dated September 5, 2019, available at EPA–HQ–OAR–2012–0233), Round 2 (Docket ID Administrator—it now also contains the https://www.epa.gov/sites/production/files/2019- NO. EPA–HQ–OAR–2014–0464), and Round 3 supplemental information submitted by Wisconsin 09/documents/round_4_so2_designations_memo_ (Docket ID NO. EPA–HQ–OAR–2017–0003). related to this area. 09-05-2019_final.pdf.

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Columbia Circuit within 60 days from List of Subjects in 40 CFR Part 81 Authority: 42 U.S.C. 7401, et seq. the date this final action is published in Environmental protection, Air the Federal Register. Filing a petition Subpart C—Section 107 Attainment pollution control, National parks, Status Designations for reconsideration by the Administrator Wilderness areas. of this final action does not affect the ■ 2. In § 81.350, the table titled finality of the action for the purposes of Michael S. Regan, Administrator. ‘‘Wisconsin—2010 Sulfur Dioxide judicial review, nor does it extend the NAAQS [Primary]’’ is amended by For the reasons set forth in the time within which a petition for judicial removing the entry for ‘‘Outagamie preamble, the EPA amends 40 CFR part review must be filed, and shall not County (part)’’, and removing the entry 81 as follows: postpone the effectiveness of such rule for ‘‘Outagamie County (remainder)’’ or action. PART 81—DESIGNATIONS OF AREAS and adding an entry for ‘‘Outagamie FOR AIR QUALITY PLANNING County’’ in its place. PURPOSES The addition reads as follows: ■ 1. The authority citation for part 81 § 81.350 Wisconsin. continues to read as follows: * * * * * WISCONSIN–2010 SULFUR DIOXIDE NAAQS [Primary]

Designation Designated area 1 Date 2 Type

***** Outagamie County ...... 4/30/2021 Attainment/Unclassifiable.

***** 1 Includes any Indian country in each county or area, unless otherwise specified. EPA is not determining the boundaries of any Indian country in this table, including any area of Indian country located in the larger designation area. The inclusion of any Indian country in the designation area is not a determination that the state has regulatory authority under the Clean Air Act for such Indian country. 2 This date is April 9, 2018, unless otherwise noted. 3 Includes Indian country of the tribe listed in this table located in Forest County, Wisconsin. Information pertaining to areas of Indian country in this table is in- tended for Clean Air Act planning purposes only and is not an EPA determination of Indian country status or any Indian country boundary. EPA lacks the authority to establish Indian country land status, and is making no determination of Indian country boundaries, in this table.

* * * * * management measures prior to the Sheldon, PE, CFM, Federal Insurance [FR Doc. 2021–07574 Filed 4–13–21; 8:45 am] effective suspension date given in this and Mitigation Administration, Federal BILLING CODE 6560–50–P rule, the suspension will not occur. Emergency Management Agency, 400 C Information identifying the current Street SW, Washington, DC 20472, (202) participation status of a community can 674–1087. Details regarding updated DEPARTMENT OF HOMELAND be obtained from FEMA’s CSB available publication requirements of community SECURITY at www.fema.gov/flood-insurance/work- eligibility status information under the with-nfip/community-status-book. NFIP can be found on the CSB section Federal Emergency Management Please note that per Revisions to at www.fema.gov. Agency Publication Requirements for Community Eligibility Status SUPPLEMENTARY INFORMATION: The NFIP 44 CFR Part 64 Information Under the National Flood enables property owners to purchase Insurance Program, notices such as this Federal flood insurance that is not [Docket ID FEMA–2021–0003; Internal one for scheduled suspension will no otherwise generally available from Agency Docket No. FEMA–8675] longer be published in the Federal private insurers. In return, communities agree to adopt and administer local Suspension of Community Eligibility Register as of June 2021 but will be available at National Flood Insurance floodplain management measures aimed AGENCY: Federal Emergency Community Status and Public at protecting lives, new and Management Agency, DHS. Notification | FEMA.gov. Individuals substantially improved construction, ACTION: Final rule. without internet access will be able to and development in general from future contact their local floodplain flooding. Section 1315 of the National SUMMARY: This rule identifies management official and/or State NFIP Flood Insurance Act of 1968, as communities where the sale of flood Coordinating Office directly for amended, 42 U.S.C. 4022, prohibits the insurance has been authorized under assistance. sale of NFIP flood insurance unless an the National Flood Insurance Program appropriate public body adopts (NFIP) that are scheduled for DATES: The effective date of each adequate floodplain management suspension on the effective dates listed community’s scheduled suspension is measures with effective enforcement within this rule because of the third date (‘‘Susp.’’) listed in the measures. The communities listed in noncompliance with the floodplain third column of the following tables. this document no longer meet that management requirements of the FOR FURTHER INFORMATION CONTACT: If statutory requirement for compliance program. If the Federal Emergency you want to determine whether a with NFIP regulations, 44 CFR part 59. Management Agency (FEMA) receives particular community was suspended Accordingly, the communities will be documentation that the community has on the suspension date or for further suspended on the effective date listed in adopted the required floodplain information, contact Adrienne L. the third column. As of that date, flood

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insurance will no longer be available in impracticable and unnecessary because Regulatory Classification. This final the community. FEMA recognizes communities listed in this final rule rule is not a significant regulatory action communities may adopt and submit the have been adequately notified. under the criteria of section 3(f) of required documentation after this rule is Each community receives 6-month, Executive Order 12866 of September 30, published but prior to the actual 90-day, and 30-day notification letters 1993, Regulatory Planning and Review, suspension date. These communities addressed to the Chief Executive Officer 58 FR 51735. will not be suspended and will continue stating that the community will be Executive Order 13132, Federalism. to be eligible for the sale of NFIP flood suspended unless the required This rule involves no policies that have insurance. Their current NFIP floodplain management measures are federalism implications under Executive participation status can be verified at met prior to the effective suspension Order 13132. anytime on the CSB section at fema.gov. date. Since these notifications were Executive Order 12988, Civil Justice In addition, FEMA publishes a Flood made, this final rule may take effect Reform. This rule meets the applicable Insurance Rate Map (FIRM) that within less than 30 days. standards of Executive Order 12988. identifies the Special Flood Hazard National Environmental Policy Act. Paperwork Reduction Act. This rule Areas (SFHAs) in these communities. FEMA has determined that the does not involve any collection of The date of the published FIRM is community suspension(s) included in information for purposes of the indicated in the fourth column of the this rule is a non-discretionary action Paperwork Reduction Act, 44 U.S.C. table. No direct federal financial and therefore the National 3501 et seq. assistance (except assistance pursuant to Environmental Policy Act of 1969 (42 List of Subjects in 44 CFR Part 64 the Robert T. Stafford Disaster Relief U.S.C. 4321 et seq.) does not apply. and Emergency Assistance Act not in Regulatory Flexibility Act. The Flood insurance, Floodplains. connection with a flood) may be Administrator has determined that this Accordingly, 44 CFR part 64 is provided for construction or acquisition rule is exempt from the requirements of amended as follows: of buildings in identified SFHAs for the Regulatory Flexibility Act because communities not participating in the the National Flood Insurance Act of PART 64—[AMENDED] NFIP and identified for more than a year 1968, as amended, Section 1315, 42 on FEMA’s initial FIRM for the U.S.C. 4022, prohibits flood insurance ■ 1. The authority citation for Part 64 community as having flood-prone areas coverage unless an appropriate public continues to read as follows: (section 202(a) of the Flood Disaster body adopts adequate floodplain Authority: 42 U.S.C. 4001 et seq.; Protection Act of 1973, 42 U.S.C. management measures with effective Reorganization Plan No. 3 of 1978, 3 CFR, 4106(a), as amended). This prohibition enforcement measures. The 1978 Comp.; p. 329; E.O. 12127, 44 FR 19367, against certain types of federal communities listed no longer comply 3 CFR, 1979 Comp.; p. 376. assistance becomes effective for the with the statutory requirements, and § 64.6 [Amended] communities listed on the date shown after the effective date, flood insurance in the last column. The Administrator will no longer be available in the ■ 2. The tables published under the finds that notice and public comment communities unless remedial action authority of § 64.6 are amended as procedures under 5 U.S.C. 553(b), are takes place. follows:

Date certain Federal State and location Community Effective date authorization/cancellation of Current effective assistance no No. sale of flood insurance in community map date longer available in SFHAs

Region 9 California: Carson, City of, Los Angeles County .... 060107 November 26, 1974, Emerg; September 29, April 21, 2021 ... April 21, 2021. 1978, Reg; April 21, 2021, Susp. Culver City, City of, Los Angeles Coun- 060114 July 11, 1975, Emerg; February 1, 1980, ...... do * ...... do. ty. Reg; April 21, 2021, Susp. Los Angeles, City of, Los Angeles 060137 June 19, 1970, Emerg; December 2, 1980, ...... do ...... do. County. Reg; April 21, 2021, Susp. Manhattan Beach, City of, Los Angeles 060138 March 6, 1975, Emerg; May 8, 1978, Reg; ...... do ...... do. County. April 21, 2021, Susp. Palos Verdes Estates, City of, Los An- 060145 January 29, 1971, Emerg; September 7, ...... do ...... do. geles County. 1984, Reg; April 21, 2021, Susp. Rancho Palos Verdes, City of, Los An- 060464 August 26, 1974, Emerg; September 7, ...... do ...... do. geles County. 1984, Reg; April 21, 2021, Susp. Santa Monica, City of, Los Angeles 060159 September 8, 1975, Emerg; April 30, 1982, ...... do ...... do. County. Reg; April 21, 2021, Susp. * do = Ditto. Code for reading third column: Emerg.—Emergency; Reg.—Regular; Susp.—Suspension.

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Eric J. Letvin, any comments on the burden estimates requirements, and third-party disclosure Deputy Assistant Administrator for listed below, or how the Commission requirements. Mitigation, Federal Insurance and Mitigation can improve the collections and reduce Obligation to Respond: Statutory Administration—FEMA Resilience, any burdens caused thereby, please authority for this information collection Department of Homeland Security, Federal contact Nicole Ongele, Federal is contained in 47 U.S.C. 1, 2, 4(i), 7, 10, Emergency Management Agency. Communications Commission, 45 L 201, 214, 222, 251(e), 301, 302, 303, [FR Doc. 2021–07663 Filed 4–13–21; 8:45 am] Street NE, Washington, DC 20554, 303(b), 303(r), 307, 307(a), 309, 309(j)(3), BILLING CODE 9110–12–P regarding OMB Control Numbers 3060– 316, 316(a), and 332 of the 1210. Please include the relevant OMB Communications Act of 1934, as Control Number in your amended. FEDERAL COMMUNICATIONS correspondence. The Commission will Total Annual Burden: 139,461 hours. COMMISSION also accept your comments via the Total Annual Cost: No Cost. internet if you send them to PRA@ Privacy Act Impact Assessment: No 47 CFR Part 9 fcc.gov. impact(s). To request materials in accessible Nature and Extent of Confidentiality: [PS Docket No. 07–114; FCC 20–98; FR ID The Commission is requesting that formats for people with disabilities 21092] respondents submit confidential (braille, large print, electronic files, information to the Commission in the Wireless E911 Location Accuracy audio format), send an email to fcc504@ context of the test bed. Nationwide Requirements fcc.gov or call the Consumer and Commercial Mobile Radio Service Governmental Affairs Bureau at (202) AGENCY: Federal Communications (CMRS) providers must make data from 418–0530 (voice). Commission. the test bed available to small and ACTION: Final rule; announcement of Synopsis regional CMRS providers so that the compliance date. As required by the Paperwork smaller providers can deploy Reduction Act of 1995 (44 U.S.C. 3507), technology throughout their networks SUMMARY: In this document, the the FCC is notifying the public that it that is consistent with a deployment Commission announces that the Office received OMB approval on April 9, that was successfully tested in the test of Management and Budget (OMB) has 2021, for the information collection bed. CMRS providers also may request approved information collections requirements contained in the confidential treatment of live 911 call associated with certain rules adopted in Commission’s rules at 47 CFR data reports, but the Commission the Wireless E911 Location Accuracy 9.10(i)(2)(ii)(J)(4), (i)(4)(iv) and (v), (j)(4), reserves the right to release aggregate or anonymized data on a limited basis to Requirements proceeding. The and (k). Commission also announces that Under 5 CFR part 1320, an agency facilitate compliance with its rules. Needs and Uses: This notice pertains compliance with the rules is now may not conduct or sponsor a collection to multiple information collections required. The Commission also removes of information unless it displays a relating to the Commission’s wireless paragraphs advising that compliance current, valid OMB Control Number. E911 indoor location accuracy was not required until OMB approval No person shall be subject to any regulations. As described below, OMB was obtained. This document is penalty for failing to comply with a previously approved the information consistent with the 2020 Sixth Report collection of information subject to the collections associated with OMB and Order and rules, which state the Paperwork Reduction Act that does not Control No 3060–1210. This notice Commission will publish a document in display a current, valid OMB Control announces OMB approval of the Federal Register announcing a Number. compliance date for the rule sections The foregoing notice is required by information collections adopted and revise the rules accordingly. the Paperwork Reduction Act of 1995, pursuant to the Sixth Report and Order. Section 9.10(i)(4)(iv) requires all CMRS DATES: Public Law 104–13, October 1, 1995, Effective date: This rule is effective and 44 U.S.C. 3507. providers to certify ‘‘that neither they April 14, 2021. The total annual reporting burdens nor any third party they rely on to Compliance dates: Compliance with and costs for the respondents are as obtain dispatchable location 47 CFR 9.10(i)(2)(ii)(J)(4), (i)(4)(iv) and follows: information will use dispatchable (v), (j)(4), and (k) published at 85 FR OMB Control Number: 3060–1210. location information or associated data 53234 on September 28, 2020, and OMB Approval Date: April 9, 2021. for any non-911 purpose, except with corrected at 85 FR 70500 on November OMB Expiration Date: April 30, 2024. prior express consent or as otherwise 5, 2020, is required April 14, 2021. Title: Wireless E911 Location required by law.’’ In addition, ‘‘[t]he certification must state that CMRS FOR FURTHER INFORMATION CONTACT: John Accuracy Requirements (PS Docket No. 07–114). providers and any third party they rely A. Evanoff, Deputy Chief, Policy and on to obtain dispatchable location Licensing Division, Public Safety and Form Number: N/A. Type of Review: Revision of a information will implement measures Homeland Security Bureau, at (202) sufficient to safeguard the privacy and 418–0848, or email: john.evanoff@ currently approved collection. Respondents: Business or other for- security of dispatchable location fcc.gov. profit, State, Local or Tribal information.’’ Under 47 CFR SUPPLEMENTARY INFORMATION: This Government, and Federal Government. 9.10(i)(4)(v), all CMRS providers must document announces that OMB Number of Respondents and certify ‘‘that neither they nor any third approved the information collection Responses: 4,567 respondents; 35,531 party they rely on to obtain z-axis requirements in 47 CFR responses. information will use z-axis information 9.10(i)(2)(ii)(J)(4), (i)(4)(iv) and (v), (j)(4), Estimated Time per Response: 2–10 or associated data for any non-911 and (k). hours. purpose, except with prior express The Commission publishes this Frequency of Response: consent or as otherwise required by document as an announcement of the Recordkeeping, on occasion; one-time; law.’’ Further, ‘‘[t]he certification must compliance date of the rules. If you have quarterly and semi-annual reporting state that CMRS providers and any third

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party they rely on to obtain z-axis 9.10(j)(4) to add a requirement that (vertical) location accuracy no later than information will implement measures where floor-level information is 3 years from the effective date of rules. sufficient to safeguard the privacy and available to CMRS providers, they must This requirement is critical to ensure security of z-axis location information.’’ provide C/U data for the z-axis (vertical) that the vertical location framework The Commission obtained OMB information included with such floor- adopted in the Fourth Report and Order approval for the information collections level information. is effectively implemented. contained in these certifications after Under Section 9.10(k), CMRS Section 9.10(i)(2)(iii) requires CMRS adopting the Fourth Report and Order providers must record information on providers to certify compliance with the and Fifth Report and Order under OMB all live 911 calls, including the C/U data Commission’s rules at various Control No. 3060–1210. The Sixth that they provide to PSAPs under benchmarks throughout implementation Report and Order modified these Section 9.10(j) of the rules. In addition, of improved location accuracy. This information collections slightly by Section 9.10(k) requires CMRS requirement is necessary to ensure that deleting references to the National providers to make this information CMRS providers remain ‘‘on track’’ to Emergency Address Database (NEAD), available to PSAPs upon request and to reach the location accuracy benchmarks. which has been discontinued and will retain it for a period of two years. The Section 9.10(i)(2)(iv) provides that not be available to CMRS providers. The Commission obtained OMB approval for PSAPs may seek Commission Commission does not expect these the information collections contained in enforcement of the location accuracy changes to the certification Section 9.10(k) after adopting the Fourth requirements within their geographic requirements to result in any increase or Report and Order. The Sixth Report and service area, but only so long as they decrease in the burden estimates for Order amended Section 9.10(k) to make have implemented policies that are these collections as previously approved explicit that the requirements in the rule designed to obtain all location by OMB. extend to C/U data for dispatchable information made available by CMRS Section 9.10(i)(3)(ii) requires CMRS location and floor-level information, as providers when initiating and delivering providers that serve any of the six Test well as for z-axis information. This 911 calls to the PSAP. Prior to seeking Cities identified by ATIS (Atlanta, eliminated a potential gap in the rule, Commission enforcement, a PSAP must Denver/Front Range, San Francisco, which previously referred only to z-axis provide the CMRS provider with 30 Philadelphia, Chicago, and Manhattan information. days written notice, and the CMRS Borough of New York City) or portions Section 9.10(i)(2)(ii)(J)(4) provides provider shall have an opportunity to thereof to collect and report aggregate that a CMRS provider will be deemed to address the issue informally. If the issue data on the location technologies used have met its z-axis technology has not been addressed to the PSAP’s for live 911 calls. In 2018, the deployment obligation so long as it satisfaction within 90 days, the PSAP Commission developed a reporting either pre-installs or affirmatively may seek enforcement relief. template to assist CMRS providers in pushes the location technology to end Section 9.10(i)(3)(i) requires that collecting, formatting, and submitting users so that they receive a prompt or within 12 months of the effective date, aggregate live 911 call data in other notice informing them that the the four nationwide CMRS providers accordance with the requirements in the application or service is available and must establish the test bed described in rules. After adopting the Fifth Report what they need to do to download and the Fourth Report and Order, which will and Order, the Commission indicated enable the technology on their phone. A validate technologies intended for that it would modify the live call CMRS provider will be deemed in indoor location. The test bed is template to include vertical location. compliance with its z-axis deployment necessary for the compliance The Commission has now modified the obligation if it makes the technology certification framework adopted in the form to include z-axis (vertical) location available to the end user in this manner Fourth Report and Order. information from live calls in addition even if the end user declines to use the Section 9.10(i)(3)(ii) requires that to horizontal location information. technology or subsequently disables it. beginning 18 months from the effective Specifically, the form now includes This is a new collection adopted by the date of the rules, CMRS providers fields for reporting the percentage of Commission in the Sixth Report and providing service in any of the six Test total 911 calls that result in dispatchable Order. Cities identified by ATIS (Atlanta, location or z-axis location information Denver/Front Range, San Francisco, Previously Approved Collections by morphology and position technology Philadelphia, Chicago, and Manhattan and for reporting z-axis deployment Section 9.10(i)(2)(ii)(A) requires that Borough of New York City) or portions options used for 911 calls. within three years of the effective date thereof must collect and report aggregate Section 9.10(j)(4) requires CMRS of the rule, CMRS providers shall data on the location technologies used providers to supply confidence and deliver uncompensated barometric for live 911 calls. Nationwide CMRS uncertainty (C/U) information with pressure data from any device capable providers must submit call data on a wireless E911 calls that have of delivering such data to PSAPs. This quarterly basis; non-nationwide CMRS dispatchable location or z-axis requirement is necessary to ensure that providers need only submit this data information and to do so in accordance PSAPs are receiving all location every six months. Non-nationwide with the timelines for vertical location information possible to be used for providers that do not provide service in accuracy compliance. As noted below, dispatch. This requirement is also any of the Test Cities may satisfy this OMB previously approved and renewed necessary to ensure that CMRS requirement by collecting and reporting a C/U data requirement for horizontal providers implement a vertical location data based on the largest county within location information under OMB solution in the event that the proposed the carrier’s footprint. This reporting Control No. 3060–1204. (See also OMB ‘‘dispatchable location’’ solution does requirement is necessary to validate and Control No. 3060–1147.) The Fifth not function as intended by the three- verify the compliance certifications Report and Order extended the C/U year mark and beyond. made by CMRS providers. requirements to include vertical Section 9.10(i)(2)(ii)(B) requires that The Commission developed a location information, and OMB the four nationwide providers submit to reporting template to assist CMRS approved that modification. The Sixth the Commission for review and providers in collecting, formatting, and Report and Order revised 47 CFR approval a reasonable metric for z-axis submitting aggregate live 911 call data

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in accordance with the requirements in Section 9.10(i)(4)(iv) requires CMRS to paragraphs (i)(2)(ii)(C) and (D) of this the rules. The template will also assist providers to certify ‘‘that neither they section, CMRS providers shall provide the Commission in evaluating the nor any third party they rely on to with wireless 911 calls that have progress CMRS providers have made obtain dispatchable location dispatchable location or z-axis (vertical) toward meeting the 911 location information will use dispatchable information the C/U data required under accuracy benchmarks. The template is location information or associated data paragraph (j)(1) of this section. Where an Excel spreadsheet and will be for any non-911 purpose, except with available to the CMRS provider, floor available for downloading on the prior express consent or as otherwise level information must be provided with Commission’s website. The Commission required by law.’’ In addition, ‘‘[t]he associated C/U data in addition to z-axis may also develop an online filing certification must state that CMRS location information. mechanism for these reports in the providers and any third party they rely Section 9.10(k) requires CMRS future. on to obtain dispatchable location providers to record information on all Section 9.10(i)(3)(iii) requires CMRS information will implement measures live 911 calls, including but not limited providers to retain testing and live call sufficient to safeguard the privacy and to the positioning source method used data gathered pursuant to this section security of dispatchable location to provide a location fix associated with for a period of 2 years. information.’’ As noted above, the the call, as well as confidence and Section 9.10(i)(4)(i) provides that no Commission is revising this requirement uncertainty data. This information must later than 18 months from the effective to account for the fact that the NEAD be made available to PSAPs upon date of the adoption of the rule, has been discontinued. request, as a measure to promote nationwide CMRS providers shall report Section 9.10(i)(4)(v) requires that transparency and accountability for this to the Commission their initial plans for prior to use of z-axis information to set of rules. meeting the indoor location accuracy meet the Commission’s location accuracy requirements, CMRS providers List of Subjects in 47 CFR Part 9 requirements of paragraph (i)(2) of must certify ‘‘that neither they nor any Section 9.10. Non-nationwide CMRS Communications common carriers, third party they rely on to obtain z-axis providers will have an additional 6 Communications equipment, Radio. information will use z-axis information months to submit their implementation or associated data for any non-911 Federal Communications Commission. plan. purpose, except with prior express Marlene Dortch, Section 9.10(i)(4)(ii) requires that no consent or as otherwise required by Secretary. later than 18 months from the effective law.’’ Further, ‘‘[t]he certification must Final Rules date, each CMRS provider shall submit state that CMRS providers and any third to the Commission a report on its party they rely on to obtain z-axis For the reasons discussed in the progress toward implementing information will implement measures preamble, the Federal Communications improved indoor location accuracy. sufficient to safeguard the privacy and Commission amends 47 CFR part 9 as Non-nationwide CMRS providers will security of z-axis location information.’’ follows: have an additional 6 months to submit This requirement is necessary to ensure their progress reports. All CMRS the privacy and security of any PART 9—911 REQUIREMENTS providers shall provide an additional personally identifiable information that ■ progress report no later than 36 months may be collected by the CMRS provider. 1. The authority citation for part 9 from the effective date of the adoption As noted above, the Commission is continues to read as follows: of this rule. The 36-month reports shall revising this requirement to account for Authority: 47 U.S.C. 151–154, 152(a), indicate what progress the provider has the fact that the NEAD has been 155(c), 157, 160, 201, 202, 208, 210, 214, 218, made consistent with its discontinued. 219, 222, 225, 251(e), 255, 301, 302, 303, 307, implementation plan. Section 9.10(j) requires CMRS 308, 309, 310, 316, 319, 332, 403, 405, 605, Section 9.10(i)(4)(iii) requires that providers to provide standardized 610, 615, 615 note, 615a, 615b, 615c, 615a– prior to activation of the NEAD but no confidence and uncertainty (C/U) data 1, 616, 620, 621, 623, 623 note, 721, and 1471, unless otherwise noted. later than 18 months from the effective for all wireless 911 calls, whether from date of the adoption of this rule, the outdoor or indoor locations, on a per- § 9.10 [Amended] nationwide CMRS providers shall file call basis upon the request of a PSAP. ■ with the Commission and request This requirement makes the use of C/U 2. Amend § 9.10 by removing approval for a security and privacy plan data easier for PSAPs. paragraph (s). for the administration and operation of Section 9.10(j)(4) also requires that [FR Doc. 2021–07723 Filed 4–12–21; 4:15 pm] the NEAD. upon meeting the timeframes pursuant BILLING CODE 6712–01–P

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Proposed Rules Federal Register Vol. 86, No. 70

Wednesday, April 14, 2021

This section of the FEDERAL REGISTER of the Interior, 1849 C Street NW, Mail information in your comment, you contains notices to the public of the proposed Stop 4660 MIB, Washington, DC 20240. should be aware that your entire issuance of rules and regulations. The We cannot ensure that comments comment—including your personal purpose of these notices is to give interested received after the close of the comment identifying information—may be made persons an opportunity to participate in the period (see DATES) will be included in publicly available at any time. While rule making prior to the adoption of the final the docket for this rulemaking and rules. you can ask us in your comment to considered. Comments sent to an withhold your personal identifying address other than those listed above information from public review, we DEPARTMENT OF THE INTERIOR will not be included in the docket for cannot guarantee that we will be able to this rulemaking. do so. Bureau of Indian Affairs FOR FURTHER INFORMATION CONTACT: Bryan Newland, Elizabeth K. Appel, Director, Office of 25 CFR Part 15 Regulatory Affairs & Collaborative Principal Deputy Assistant Secretary—Indian Affairs. Action—Indian Affairs, Office of the Secretary [email protected], (202) 273– Rachael S. Taylor, 4680. Principal Deputy Assistant Secretary-Policy, 43 CFR Part 30 Management and Budget. SUPPLEMENTARY INFORMATION: [FR Doc. 2021–07188 Filed 4–13–21; 8:45 am] [212A2100DD/AAKC001030/ Background BILLING CODE 4337–15–P A0A501010.999900 253G] On January 7, 2021, we published a RIN 1094–AA55 proposed rule (86 FR 1037) to revise regulations governing probate of DEPARTMENT OF THE TREASURY American Indian Probate Regulations property that the United States holds in trust or restricted status for American Internal Revenue Service AGENCY: Bureau of Indian Affairs, Office of the Secretary, Interior. Indians. The proposed rule had a 60-day public comment period, ending March 26 CFR Part 1 ACTION: Proposed rule; reopening of 8, 2021. During the comment period for comment period. the proposed rule, we received a request [REG–121095–19] SUMMARY: The Department of the for additional time to submit comments. RIN 1545–BP50 Interior (Department) proposed In response to that request, we are revisions to its regulations governing allowing additional time for the public Requirements for Certain Foreign probate of property that the United to comment on the proposed rule. Persons and Certain Foreign-Owned States holds in trust or restricted status Public Comments Partnerships Investing in Qualified for American Indians. We are reopening Opportunity Funds and Flexibility for We will accept comments from the the comment period to effectively Working Capital Safe Harbor Plans public during this reopened comment extend original March 8, 2021 comment period on our proposed rule. If you AGENCY: Internal Revenue Service (IRS), deadline. Any comments received after already submitted comments on the Treasury. the original March 8, 2021 comment proposed rule, please do not resubmit deadline and before the new comment ACTION: Notice of proposed rulemaking. them. Any comments received before deadline will be accepted as timely the new comment deadline will be SUMMARY: This document contains submitted. Comments previously accepted as timely submitted, including proposed regulations that include submitted need not be resubmitted and comments received after the original requirements that certain foreign will be fully considered in preparation March 8, 2021 comment deadline, as persons and certain foreign-owned of the final rule. long as they are received before the new partnerships must meet in order to elect DATES: The comment period for the comment deadline listed in the DATES the Federal income tax benefits proposed rule published January 7, 2021 section of this document. Any such provided by section 1400Z–2 of the (86 FR 1037), is reopened. Submit comments are incorporated as part of Internal Revenue Code (Code). This written comments by April 29, 2021. the public record of the rulemaking document also contains proposed ADDRESSES: You may submit comments proceeding, and we will fully consider regulations that allow, under certain by any one of the following methods: them in preparation of our final circumstances, for the reduction or • Federal rulemaking portal determination. elimination of withholding under www.regulations.gov. The rule is listed You may submit your comments by section 1445, 1446(a), or 1446(f) of the under Agency Docket Number DOI– any one of the methods listed in Code on transfers that give rise to gain 2019–0001. ADDRESSES. Please note that your that is deferred under section 1400Z– • Email: Tribes may email comments comment—including your personal 2(a). Finally, this document contains to: [email protected]. All others identifying information—will be posted additional guidance regarding the 24- should email their comments to: on www.regulations.gov, regardless of month extension of the working capital [email protected]. which method you submit your safe harbor in the case of Federally • Mail or Courier: Ms. Elizabeth comments. Before including your declared disasters. The proposed Appel, Office of Regulatory Affairs & address, phone number, email address, regulations affect qualified opportunity Collaborative Action, U.S. Department or other personal identifying funds and their investors.

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DATES: Written or electronic comments through QOFs and qualified opportunity 2019 proposed regulations). The May and requests for a public hearing must zone businesses, of new capital in one 2019 proposed regulations also updated be received by June 11, 2021. Requests or more qualified opportunity zones portions of the October 2018 proposed for a public hearing must be submitted designated under section 1400Z–1 and regulations. On January 13, 2020, final as prescribed in the ‘‘Comments and to increase economic growth in such regulations (TD 9889) under section Requests for Public Hearing’’ section. qualified opportunity zones. See 1400Z–2 were published in the Federal ADDRESSES: Commenters are strongly § 1.1400Z2(f)–1(c)(1) (describing the Register (85 FR 1866, as corrected at 85 encouraged to submit public comments purposes of section 1400Z–2 and the FR 19082), effective for taxable years electronically. Submit electronic section 1400Z–2 regulations; Notice beginning after March 13, 2020 (section submissions via the Federal 2018–48, 2018–28 I.R.B. 9, and Notice 1400Z–2 regulations). eRulemaking Portal at 2019–42, 2019–29 I.R.B. 352 (setting Under the section 1400Z–2 www.regulations.gov (indicate IRS and forth the combined list of population regulations, a taxpayer qualifies for REG–121095–19) by following the census tracts designated as qualified deferral under section 1400Z–2(a) only online instructions for submitting opportunity zones). if the taxpayer is an eligible taxpayer. comments. Once submitted to the Section 1400Z–1 provides the Section 1.1400Z2(a)–1(a)(1). An eligible Federal eRulemaking Portal, comments procedural rules for designating taxpayer is defined as a person that is cannot be edited or withdrawn. The IRS qualified opportunity zones and related required to report the recognition of expects to have limited personnel definitions. Section 1400Z–2 provides gains during the taxable year under available to process public comments two main tax incentives to encourage Federal income tax accounting that are submitted on paper through the investment in qualified opportunity principles. Section 1.1400Z2(a)– mail. Until further notice, any zones. See section 1400Z–2(b) and (c). 1(b)(13). If an eligible taxpayer that is a comments submitted on paper will be First, a taxpayer, upon making a valid partnership does not elect to defer gain, considered to the extent practicable. election, may generally defer, until the a partner of such partnership may elect The Department of the Treasury earlier of an inclusion event or to defer its distributive share of the gain. (Treasury Department) and the IRS will December 31, 2026, certain gains in Section 1.1400Z2(a)–1(c)(8). The section 1400Z–2 regulations publish for public availability any gross income that would otherwise be provide that only gains that are eligible comment submitted electronically, and recognized in the tax year if the taxpayer invests a corresponding gains may be deferred. Section to the extent practicable on paper, to its amount in a qualifying investment in a 1.1400Z2(a)–1(b)(11). In general, an public docket. Send paper submissions QOF within 180 days of the date of the eligible gain is gain that (i) is treated as to: CC:PA:LPD:PR (REG–121095–19), sale or exchange. See section 1400Z– a capital gain or is a qualified 1231 gain, Room 5203, Internal Revenue Service, 2(b)(1)(A) and (B). The taxpayer may (ii) would be recognized for Federal PO Box 7604, Ben Franklin Station, potentially exclude ten percent of such income tax purposes and subject to tax Washington, DC 20044. deferred gain from gross income if the under subtitle A of the Code before FOR FURTHER INFORMATION CONTACT: taxpayer holds the qualifying January 1, 2027, if section 1400Z–2(a)(1) Concerning proposed §§ 1.1400Z2(a)–2 investment in the QOF for at least five did not apply to defer the gain, and (iii) and 1.1445–3, Milton Cahn at (202) years. See section 1400Z–2(b)(2)(B)(iii). does not arise from a sale or exchange 317–4934; concerning proposed An additional five percent of such gain of property with certain related persons. §§ 1.1446–3, 1.1446–6 and 1.1446–7, may potentially be excluded from gross Id. Thus, for example, a nonresident Ronald Gootzeit at (202) 317–4953; income if the taxpayer holds the alien individual or foreign corporation concerning proposed § 1.1446(f)–2, qualifying investment for at least seven generally may make a deferral election Subin Seth at (202) 317–5003; years. See section 1400Z–2(b)(2)(B)(iv). with respect to an item of capital gain concerning proposed §§ 1.1400Z2(a)– Second, a taxpayer, upon making a that is effectively connected with a U.S. 1(a), 1.1400Z2(b)–1(c), and second valid election under section trade or business, because this gain 1.1400Z2(d)–1(d), Erika Reigle at (202) 1400Z–2(c), may also exclude from otherwise is subject to Federal income 317–7006; concerning submissions of gross income any appreciation on the tax. When a partnership chooses to comments and/or requests for a public taxpayer’s qualifying investment in the make a deferral election, the section hearing, Regina L. Johnson, (202) 317– QOF if the qualifying investment is held 1400Z–2 regulations provide an 5177 (not toll free numbers). for at least ten years. Section 1400Z– exception to the general requirement SUPPLEMENTARY INFORMATION: 2(e)(4) provides that the Secretary of the that gain be subject to Federal income tax in order to constitute eligible gain, Background Treasury or his delegate shall prescribe regulations as may be necessary or subject to an anti-abuse rule. Section This document contains proposed appropriate to carry out the purposes of 1.1400Z2(a)–1(b)(11)(ix)(B). amendments to 26 CFR part 1 under section 1400Z–2, including rules to Foreign persons are generally subject sections 1400Z–2, 1445, and 1446 prevent abuse. to U.S. income tax on amounts that are (proposed regulations). Section 13823 of On October 29, 2018, the Treasury effectively connected with the conduct Public Law 115–97, 131 Stat. 2054, 2184 Department and the IRS published in of a trade or business within the United (2017), commonly referred to as the Tax the Federal Register (83 FR 54279) a States (ECI). A foreign person that Cuts and Jobs Act (TCJA), added notice of proposed rulemaking (REG– directly or indirectly is engaged in a sections 1400Z–1 and 1400Z–2 to the 115420–18) providing guidance under trade or business in the United States Code. The purposes of section 1400Z–2 section 1400Z–2 for investing in must file a U.S. income tax return and and the section 1400Z–2 regulations qualified opportunity funds (83 FR pay any tax due. (that is, the final regulations set forth in 54279 (October 29, 2018)) (October 2018 To ensure the collection of tax, in §§ 1.1400Z2(a)–1 through 1.1400Z2(f)–1, proposed regulations). A second notice certain circumstances, the Code imposes 1.1502–14Z, and 1.1504–3) are to of proposed rulemaking (REG–120186– withholding requirements on payments provide specified Federal income tax 18) was published in the Federal or allocations of ECI to foreign persons. benefits to owners of qualified Register (84 FR 18652) on May 1, 2019, See sections 1445, 1446(a), and 1446(f). opportunity funds (QOFs) to encourage containing additional proposed The amount of withholding under these the making of longer-term investments, regulations under section 1400Z–2 (May provisions is intended to serve as a

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proxy for the amount of the foreign the ECTI on which it must withhold required to pay substantive tax on all or person’s substantive tax liability and section 1446(a) tax. See § 1.1446–6. a portion of the deferred gain until the may not match the actual amount of tax Section 1446(f) requires withholding gain is recognized upon the earlier of an due. The amount withheld may be under certain circumstances in inclusion event or December 31, 2026. claimed as a credit against the amount connection with a disposition of a In these circumstances, the withholding of tax due and shown on the foreign partnership interest. Specifically, if, on will not serve its intended purpose to person’s tax return. a disposition (which includes a ensure that the substantive tax is Specifically, section 1445(a) requires distribution from a partnership to a collected. To address the risk of a transferee to withhold tax on a partner) of a partnership interest, noncompliance by certain foreign disposition of a United States real section 864(c)(8) treats any portion of a persons with respect to their U.S. tax property interest (as defined in section foreign partner’s gain as effectively obligations related to deferred gain 897(c)) (U.S. real property interest) by a connected gain, section 1446(f) requires under section 1400Z–2(a), the Treasury foreign person. Generally, the transferee the transferee to withhold tax equal to Department and the IRS have must withhold 15 percent of the amount 10 percent of the amount realized, realized and deposit the tax with the unless an exemption or reduced rate of determined that coordination is needed IRS within 20 days of the transfer. withholding applies. The transferee between section 1400Z–2 and sections Certain exceptions and reductions to the must deposit the tax with the IRS within 1445, 1446(a), and 1446(f). rate of withholding can apply, including 20 days of the transfer. See § 1.1446(f)– To ensure that the compliance by the foreign person obtaining a 2. For purposes of section 1446(f), a purposes of sections 1445, 1446(a), and withholding certificate from the IRS to transferor may in certain cases certify to 1446(f) are not undermined when a reduce or eliminate the amount required the transferee that the transfer is not foreign person elects to defer gain under to be withheld on the transfer. subject to withholding or otherwise section 1400Z–2(a), these proposed Section 1445(e)(1) requires a domestic qualifies for an exception to regulations provide that security- partnership, trust, or estate that disposes withholding or an adjustment to the required persons (certain foreign of a United States real property interest amount required to be withheld. Id. persons and foreign-owned to withhold on any portion of the gain Under sections 33 and 1462, a foreign partnerships) investing gain that is a that is allocable to a foreign partner or person subject to withholding under security-required gain (generally, gain beneficiary. The rate of withholding is section 1445, 1446(a), or 1446(f) may from a transfer subject to withholding the highest rate of tax in effect under credit the amount withheld against the under section 1445, 1446(a), or 1446(f)) section 11(b) (currently 21 percent). amount of income tax liability shown on may not make a deferral election under Section 1445(e)(2) requires a foreign the person’s tax return. corporation that recognizes gain on the section 1400Z–2(a) unless an eligibility distribution of a United States real Explanation of Provisions certificate is obtained with respect to property interest to withhold on the I. Overview of Proposed Regulations that gain. See section II.B of this gain at the highest rate of tax in effect Explanation of Provisions. At the same These proposed regulations provide under section 11(b). time, the proposed regulations eliminate Section 1445(e)(3) requires a domestic requirements for certain foreign persons or reduce withholding under section corporation that is or has been a United and certain foreign-owned partnerships 1445, 1446(a), or 1446(f) on security- investing in QOFs and flexibility for States real property holding corporation required persons that obtain an working capital safe harbor plans. to withhold 15 percent of a distribution eligibility certificate and provide to a nonresident alien or foreign II. Requirements for Certain Foreign security to the IRS before the transaction corporation. Persons and Certain Foreign-Owned giving rise to the gain. As discussed in Section 1445(e)(6) requires a qualified Partnerships Investing in QOFs Part II.C of this Explanation of investment entity to withhold at the Provisions, this exemption responds to highest rate of tax specified in section A. Coordination of the Deferral Election Under Section 1400Z–2(a) With the comments received on the proposed 11(b) on the amount of the distribution regulations under section 1400Z–2 that is treated as gain from the sale or Withholding Rules Under Sections 1445, 1446(a) and 1446(f) requesting withholding relief so that exchange of a United States real foreign persons have funds available to The existing section 1400Z–2 property interest. invest the entire amount of eligible gain Section 1446(a) generally requires a regulations do not coordinate the into a QOF. A security-required person partnership to withhold tax on deferral election under section 1400Z– that does not obtain an eligibility effectively connected taxable income as 2(a) with the withholding rules in determined under § 1.1446–2 (ECTI) sections 1445, 1446(a), and 1446(f). certificate before the transfer, and thus allocable to a foreign partner, with Generally, these withholding provisions is withheld upon, must still obtain an limited adjustments, regardless of subject a foreign person to withholding eligibility certificate to make a deferral whether the income is distributed to the to ensure the collection of tax due to the election under section 1400Z–2(a). The partner (section 1446(a) tax). A increased risk of noncompliance by a security-required person (or, if partnership must generally withhold person that is not a United States applicable, its partner, owner, or section 1446(a) tax on a foreign partner’s person. In general, the withholding may beneficiary) may also claim a credit or allocable share of ECTI at the highest be claimed as a credit or refund when refund for the amount withheld on the rate of tax specified in section 1 (for a the foreign person files its return and deferred gain when filing its return. The foreign partner other than a corporation) pays any substantive tax due. Thus, a IRS intends to require any claim for or section 11(b) (for a foreign partner foreign person subject to withholding credit or refund for amounts withheld that is a corporation). A partnership is that elects to defer gain under section under section 1445, 1446(a), or 1446(f) generally required to pay the section 1400Z–2(a) may be entitled to apply the on deferred gain under section 1400Z– 1446(a) tax in four installment credit for withholding against tax on 2(a) to include a copy of the eligibility payments. The partnership may other income or claim a refund for the certificate for the covered transfer (or a consider certain partner-level year in which withholding was applied, statement providing that the transfer deductions and losses as a reduction to as the foreign person will not be was not a covered transfer).

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B. Requirement for Certain Persons To indirectly through one or more to withholding under section 1446(f); Obtain Eligibility Certificate partnerships, trusts, or estates) by one or (iii) a disposition by a specified 1. In General more nonresident aliens or foreign partnership of property, other than an corporations. Proposed § 1.1400Z2(a)– interest in another partnership or a U.S. The proposed regulations provide that 2(b)(3)(i). The closely-held test is met if, real property interest, or a distribution a taxpayer that is a security-required at any time during a look-back period, to a specified partnership, if any gain person may not make a deferral election a partnership has 10 or fewer direct that arises is included in computing under section 1400Z–2(a) with respect partners that own 90 percent or more of ECTI; or (iv) a disposition by a to part or all of a security-required gain the capital or profits interests in the partnership that is not a specified from a covered transfer unless the partnership, with any related partners partnership of property, or a taxpayer obtains an eligibility certificate (within the meaning of section 267(b) or distribution to such a partnership, if any from the IRS with respect to such 707(b)(1)) being treated as a single gain that arises is included in security-required gain by the date on partner. Proposed § 1.1400Z2(a)– determining the allocable share of a which the deferral election is filed with 2(b)(3)(ii). For purposes of the closely- security-required person’s ECTI.1 the IRS. Proposed § 1.1400Z2(a)–1(a)(3). held test, the look-back period is the Proposed § 1.1400Z2(a)–2(c)(2)(i). The The eligibility certificate must specify period that begins on the later of the proposed regulations generally provide the permitted deferral amount, and the date that is one year before the date of that a transfer subject to section 1445 or taxpayer may not make a deferral the transfer or the date on which the 1446(f) is not a covered transfer if an election with respect to the security- partnership was formed, and that ends exception to withholding applies under required gain in an amount that exceeds on the date of the transfer. Id. Further, those provisions. Proposed the permitted deferral amount. Id. a partner that is a partnership or trust § 1.1400Z2(a)–2(c)(2)(ii). However, in 2. Security-Required Persons is considered a direct partner. Id. The order to impose the eligibility certificate gain or asset test is met if either: (i) The requirements on security-required A security-required person means a amount of security-required gain from persons that are domestic specified person that is either (i) a foreign person the transfer exceeds $1 million (the gain partnerships, if the exception to other than a partnership or (ii) a test) or (ii) at any time during a look- withholding is based on the non-foreign specified partnership. Proposed back period, the value of the status of the transferor, the transfer will § 1.1400Z2(a)–2(b)(1). To minimize partnership’s assets that are U.S. real continue to be treated as a covered burden, the Treasury Department and property interests or assets used in a transfer. Id. For the same reason, a the IRS have decided not to require that U.S. trade or business exceeds 25 domestic specified partnership is all partnerships electing to defer gain percent of the total value of the treated as a foreign person in under section 1400Z–2(a) obtain an partnership’s assets (the asset test). determining whether a transfer is a eligibility certificate. Rather, the rules Proposed § 1.1400Z2(a)–2(b)(3)(iii). For covered transfer as defined in (A), (B), regarding specified partnerships are purposes of the asset test, the look-back and (D) of proposed § 1.1400Z2(a)– intended to impose this requirement period is the same as the look-back 2(c)(2)(i). only on partnerships that pose a period for purposes of the closely held Security-required gain is certain gain compliance risk with respect to the test. Id. The proposed regulations allow that arises from a covered transfer. collection of tax on any deferred gain the partnership to determine the value Proposed § 1.1400Z2(a)–2(c)(1). For a and that either hold a significant of an asset on the last day of the taxable covered transfer defined in proposed amount of U.S. real property interests or year preceding the year in which the § 1.1400Z2(a)–2(c)(2)(i)(C) (described in assets used in a U.S. trade or business look-back period begins or, for any asset (iii) in the first sentence of the or that generate a significant amount of acquired after this date (including upon preceding paragraph), the amount of gain that the partnership elects to defer. formation of the partnership), on the security-required gain is the gain that is An abusive avoidance of the rules date of acquisition. Id. The proposed included in computing ECTI under regarding specified partnerships is regulations also provide rules for § 1.1446–2, disregarding § 1.1446– subject to the existing anti-abuse rule in looking through interests in other 2(b)(4)(i). Id. For a covered transfer § 1.1400Z2(f)–1(c)(1) (providing that if a partnerships to value assets that are defined in proposed § 1.1400Z2(a)– significant purpose of a transaction is to held indirectly. Id. Finally, the 2(c)(2)(i)(D) (described in (iv) in the first achieve a Federal income tax result that proposed regulations state that the value sentence of the preceding paragraph), is inconsistent with the purposes of of each asset will be measured the amount of security-required gain is section 1400Z–2 and the section 1400Z– according to its gross fair market value. the gain that is included in computing 2 regulations, a transaction (or series of Id. The Treasury Department and the ECTI under § 1.1446–2 that is allocable transactions) will be recast or IRS request comments on whether a to the security-required person. Id. recharacterized for Federal income tax method of valuing assets other than fair purposes as appropriate to achieve tax market value should be used for 1 While both categories (iii) and (iv) describe results that are consistent with the purposes of the asset test. The Treasury dispositions or distributions, the gain from which purposes of section 1400Z–2 and the Department and the IRS also request is used in the calculation of ECTI under § 1.1446– section 1400Z–2 regulations). 2, category (iii) describes transactions directly comments on whether net value, instead involving a specified partnership, while category A specified partnership is a of gross value, should be used for (iv) describes transactions involving a partnership partnership, foreign or domestic, that purposes of the asset test. that is not a specified partnership that produce gain meets three tests with respect to a allocable to a partner that is a security-required transfer that produces a security- 3. Covered Transfer and Security- person. The transactions described in category (iii) Required Gain are limited to those involving property other than required gain: An ownership test, a partnership interests and U.S. real property closely-held test, and a gain or asset test. A covered transfer is defined as: (i) A interests because the direct transfer by a specified Proposed § 1.1400Z2(a)–2(b)(3). The disposition by, or a distribution to, a partnership of a partnership interest is subject to ownership test is met if, at the time of security-required person that is subject withholding under section 1446(f) (and thus is already described in category (ii)), and the direct transfer, 20 percent or more of the to withholding under section 1445; (ii) transfer of a U.S. real property interest is subject to capital or profits interests in the a disposition by, or a distribution to, a withholding under section 1445 (and thus is partnership are owned (directly or security-required person that is subject already described in category (i)).

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4. Application for an Eligibility agrees to do the following: Timely file maximum security amount, which is Certificate and Acceptable Security a Federal income tax return and pay any generally computed by reference to To obtain an eligibility certificate tax liability due on the security-required either a percentage of the amount with respect to any security-required gain for which the security-required realized on the covered transfer or the gain, a security-required person must person seeks to defer gain under section amount of tax due on the security- submit an application to the IRS. 1400Z–2(a) when required; report any required gain. See proposed Proposed § 1.1400Z2(a)–2(d)(2). The IRS security-required gain in accordance § 1.1400Z2(a)–2(d)(7)(ii). The maximum is considering requiring electronic with the regulations under section security amount on a direct disposition submission of the application; this 1400Z–2; provide security to the IRS by, or a distribution to, a security- with respect to any tax liability due on required person that is subject to process would be described in forms, security-required gain for which the withholding under section 1445 is the instructions, publications, or guidance security-required person seeks to defer lesser of: (i) The amount realized published in the Internal Revenue gain under section 1400Z–2(a); and multiplied by the rate specified under Bulletin. The application must generally appoint a U.S. person to act as the section 1445(a) (or, for transfers subject include the following: (i) Certain security-required person’s limited agent to section 1445(e)(1), (e)(2), or (e)(6), the information about the security-required for certain purposes specified in the rate specified in the applicable person and the covered transfer; (ii) an deferral agreement. Proposed provision) or (ii) the security-required agreement for the deferral of tax and § 1.1400Z2(a)–2(d)(4)(ii). The deferral gain multiplied by the highest rate of tax provision of security (deferral agreement must conform to the template applicable to the gain, based on the type agreement); (iii) an agreement with a provided in guidance published in the of property, holding period, and the U.S. agent (as defined in proposed Internal Revenue Bulletin. Proposed classification of the security-required § 1.1400Z2(a)–2(d)(4)(ii)(D)); and (iv) § 1.1400Z2(a)–2(d)(4)(i). person. Proposed § 1.1400Z2(a)– acceptable security that secures the An event of default under the deferral 2(d)(7)(ii)(A). The maximum security amount of security-required gain for agreement is an inclusion event that amount on a direct disposition by, or a which the eligibility certificate is being triggers recognition of the security- distribution to, a security-required obtained. Proposed § 1.1400Z2(a)– required gain for which the security- person that is subject to withholding 2(d)(3). The application includes the required person seeks to defer gain under section 1446(f) is the lesser of: (i) requirement to provide a U.S. taxpayer under section 1400Z–2(a). Proposed The amount realized multiplied by the identification number. If applicants do § 1.1400Z2(a)–2(d)(4)(ii)(E). Defaults, rate specified under section 1446(f)(1) or not yet have a U.S. taxpayer upon which an event of default may be (ii) the security-required gain multiplied identification number, additional time based, will be specified in the deferral by the highest rate of tax applicable to should be allocated to ensure that a U.S. agreement, and may include the the gain based on the type of property, taxpayer identification number can be following: A determination that the holding period, and the classification of obtained; see the instructions to Forms security is no longer adequate to protect the security-required person. Proposed W–7 and SS–4. The IRS may prescribe the IRS’s interests; a change in the § 1.1400Z2(a)–2(d)(7)(ii)(B). If a direct in forms or instructions or in creditworthiness of the issuer of a letter disposition of a partnership interest is publications or guidance published in of credit; and a failure by the security- subject to withholding under both the Internal Revenue Bulletin (see required person to file returns or attach sections 1445 and 1446(f), the proposed §§ 601.601(d)(2) and 601.602 of this an eligibility certificate (when required) regulations provide that the rate chapter) procedures for obtaining a U.S. during the period covered by the specified in section 1445 is used for taxpayer identification number under deferral agreement. Proposed purposes of determining the maximum these circumstances. § 1.1400Z2(a)–2(d)(4)(ii)(E). In addition, security amount. Proposed Acceptable security is defined as an the deferral agreement will specify § 1.1400Z2(a)–2(d)(7)(ii)(A) and (B). irrevocable standby letter of credit whether notice of default and an For a direct disposition of property, issued by a U.S. bank that meets certain opportunity to cure will be provided to other than an interest in another capital and other requirements specified the security-required person before an partnership or a U.S. real property in these proposed regulations. Proposed event of default arises. Id. interest, by a specified partnership, or a § 1.1400Z2(a)–2(d)(6)(ii). The proposed distribution to a specified partnership, 6. Amount of Eligibility Certificate regulations provide that the IRS may the maximum security amount is the identify in published guidance The proposed regulations provide that security-required gain multiplied by the additional financial institutions that an eligibility certificate will be issued highest rate of tax applicable to the gain, may qualify as issuers of letters of for a permitted deferral amount. treating the specified partnership as an credit. Id. The Treasury Department and Proposed § 1.1400Z2(a)–2(d)(1). If a individual for this purpose, and taking the IRS request comments on financial security-required person provides into account the type of property and institutions other than banks that security in an amount equal to the holding period. Proposed § 1.1400Z2(a)– should qualify as issuers of letters of maximum security amount, the 2(d)(7)(ii)(C). Therefore, a specified credit. The Treasury Department and permitted deferral amount is the total partnership that has gain arising from the IRS also request comments on amount of security-required gain. the direct sale or exchange of an asset whether additional types of security are Proposed § 1.1400Z2(a)–2(d)(7)(i). If a used in a U.S. trade or business (other needed. Any additional proposed types security-required person provides than a U.S. real property interest) will of security should preserve security in an amount less than the generally be required to obtain an administrative flexibility to require maximum security amount, the eligibility certificate for such gain if it electronic submission of applications permitted deferral amount is the total wants to elect to defer all or part of the and protect the IRS’s collection ability. amount of security-required gain gain by investing in a QOF. multiplied by the ratio of the amount of For a disposition of property 5. Deferral Agreement and Events of security provided over the maximum (including an interest in another Default security amount. Id. partnership or a U.S. real property In general, under the deferral The proposed regulations provide interest) by a partnership that is not a agreement, the security-required person specific rules for determining the specified partnership, or a distribution

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to such a partnership, that gives rise to certificate to qualify for an exception or opportunity zone business may render gain that is included in determining the adjustment to withholding. the original plan suboptimal or even allocable share of a security-required Section 1.1446–3 currently allows a infeasible. person’s ECTI, the maximum security partnership to consider certain partner In response, this notice of proposed amount is the security-required gain level deductions and losses certified in rulemaking proposes to add three new multiplied by the highest rate of tax accordance with § 1.1446–6 in sentences at the end of § 1.1400Z2(d)– applicable to the gain, taking into determining its section 1446 tax. The 1(d)(3)(v)(D) that provide flexibility for account the type of property, holding proposed regulations modify the rules qualified opportunity zone businesses to period, and the classification of the in §§ 1.1446–3 and 1.1446–6 to allow a revise or replace the original written security-required person. Proposed partnership to also consider in designation and written plan, provided § 1.1400Z2(a)–2(d)(7)(ii)(D). determining its section 1446 tax the that the remaining working capital permitted deferral amount of an assets are expended within the original C. Elimination or Reduction of eligibility certificate submitted by a regulatorily required 31-month period, Withholding Based on an Eligibility partner. When determining installments increased by the 24 additional months Certificate of 1446 tax, to ensure that the reduction provided in response to the Federally Comments on the May 2019 proposed in effectively connected items by the declared disaster. regulations requested relief from permitted deferral amount is fully taken IV. Applicability Dates withholding under section 1445, into account, the eligibility certificate 1446(a), or 1446(f) on transactions if must be considered before the A. Proposed Regulations Related to gain from those transactions was effectively connected items are Covered Transfers deferred under section 1400Z–2. One annualized. Proposed §§ 1.1446– The proposed regulations relating to comment requested that a foreign 3(b)(2)(i)(B)(1) and 1.1446–6(c)(1)(iv). covered transfers, including the taxpayer engaging in a sale subject to Because the withholding requirement requirement for eligibility certificates, withholding under section 1445 be able on a transfer or distribution with respect will apply to any covered transfer that to provide a certificate or other form of to an interest in a publicly traded occurs after the date that these documentation to avoid withholding partnership (PTP) is generally imposed regulations are published as final based on the taxpayer’s intention to on a broker (or nominee), and it would regulations in the Federal Register. invest the resulting gain in a QOF be administratively difficult for a broker Taxpayers should not submit pursuant to a deferral election under to timely obtain an eligibility certificate, applications for eligibility certificates section 1400Z–2(a)(1). In addition, the the procedures for using an eligibility before the date that these regulations are comment suggested that a foreign certificate to reduce or eliminate published as final regulations in the taxpayer would be required to certify withholding do not apply for these Federal Register. Any applications that it will file a tax return in the year purposes. A security-required person submitted before such date will not be the QOF interest is sold. Another that has gain arising from a disposition processed by the IRS. comment requested an exemption from or distribution with respect to a PTP withholding when a foreign person interest is, however, still required to B. Proposed Regulations Related to enters into an agreement with the IRS to obtain an eligibility certificate to defer Federally Declared Disasters pay the tax when the deferred gain is security-required gain. The three new sentences proposed to included under section 1400Z–2(a)(1)(B) III. Flexibility With Respect to Working be added at the end of § 1.1400Z2(d)– and (b), similar to when a gain 1(d)(3)(v)(D) are proposed to apply to recognition agreement is ‘‘triggered’’ Capital Safe Harbor Plans in the Event of a Federally Declared Disaster taxable years beginning after the date under section 367 and the regulations these regulations are published as final thereunder. Another comment suggested After the major disaster declarations regulations in the Federal Register. that the IRS provide a reduced FIRPTA issued in response to the ongoing novel Additionally, a taxpayer may rely on the withholding certificate for foreign coronavirus 2019 (COVID–19) three new sentences proposed to be persons who intend to invest in QOFs. pandemic, 2 commenters expressed a added at the end of § 1.1400Z2(d)– The comments noted that withholding need for additional regulatory guidance 1(d)(3)(v)(D) for taxable years beginning may reduce the amount of funds regarding the operation of the 24-month after December 31, 2019. available to the foreign person to invest extension for the working capital safe in the QOF fund within the 180-day harbor included in the section 1400Z– Special Analyses investment period. Even though the 2 regulations for Federally declared I. Regulatory Planning and Review foreign person may later obtain a refund disasters. Although the final regulations This proposed regulation is not of the amount withheld, there may be a provide a qualified opportunity zone subject to review under section 6(b) of temporary lack of liquidity that could business an additional 24 months to Executive Order 12866 pursuant to the prevent an investor from investing all of expend its working capital assets, the Memorandum of Agreement (April 11, its eligible gain into a QOF. qualified opportunity zone business 2018) between the Treasury Department The proposed regulations address must do so in a manner substantially and the Office of Management and these comments by allowing a security- consistent with the original, pre-disaster Budget regarding review of tax required person to use an eligibility written designation in which the regulations. certificate as a basis for reducing or amount of working capital assets subject eliminating withholding under section to the safe harbor are designated and II. Paperwork Reduction Act 1445, 1446(a), or 1446(f) on a covered according to the original, pre-disaster transfer. For purposes of section 1445, a A. Collection of Information for written schedule for expending such Proposed § 1.1400Z2(a)–2 security-required person may apply for amounts. In some cases, the commenters a withholding certificate from the IRS pointed out, the post-disaster Proposed § 1.1400Z2(a)–2 contains based on an eligibility certificate. For environment facing the qualified collections of information that are not purposes of section 1446(f), the on existing or new IRS forms. The proposed regulations add a rule to allow 2 See https://www.fema.gov/coronavirus/disaster- proposed regulations require that a transferee to rely on an eligibility declarations. security-required persons submit to the

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IRS an application that includes the and purchase of service to provide III. Regulatory Flexibility Act following information and documents to information. It is hereby certified that the proposed obtain an eligibility certificate with The likely respondents required to regulations under §§ 1.1400Z2(a)–1, respect to security-required gain. comply with these proposed regulations 1.1400Z2(a)–2, 1.1400Z2(b)–1, 1.1445– 1. Identification of security-required are business, other for-profit taxpayers, 3, 1.1446–3, 1.1446–6, 1.1446–7 and person (proposed § 1.1400Z2(a)– or individuals. The proposed frequency 1.1446(f)–2, if adopted, will not have a 2(d)(3)(ii)); of recordkeeping and reporting significant economic impact on a 2. Information about the covered requirement will be as needed. substantial number of domestic small Estimated total annual reporting transfer (proposed § 1.1400Z2(a)– entities within the meaning of section burden: 35,000 hours. 2(d)(3)(iii)); 601(6) of the Regulatory Flexibility Act 3. Agreement for deferral of tax and Estimated average annual burden hours per respondent: Approximately (5 U.S.C. chapter 6). Although these provision of security (proposed proposed regulations would primarily § 1.1400Z2(a)–2(d)(4)); 10 hours. Estimated number of respondents: affect foreign persons, they may have an 4. U.S. agent agreement (proposed impact on a small number of domestic § 1.1400Z2(a)–2(d)(5)); and 3,500. Estimated annual frequency of partnerships. The domestic partnerships 5. Security and any related required responses: On occasion (as the affected by these regulations are closely- documents (proposed § 1.1400Z2(a)– collections of information do not occur held partnerships with significant 2(d)(6)). on an annual basis). foreign ownership and that either have The collections of information substantial assets that are either U.S. contained in this notice of proposed B. Collection of Information for real property interests or assets used in rulemaking have been submitted to the Proposed § 1.1400Z2(d)–1(d)(3)(v)(D) a U.S. trade or business or a large Office of Management and Budget Proposed § 1.400Z2(d)–1(d)(3)(v)(D) amount of gain from the sale of such (OMB) for review in accordance with imposes an additional information assets. This is a narrow set of taxpayers the Paperwork Reduction Act. collection requirement in the form of and is likely a small subset of persons Commenters are strongly encouraged to recordkeeping. The creation of, or that invest in a QOF. submit public comments electronically. modification of, existing written It is hereby certified that the proposed Comments and recommendations for the schedules as required under proposed regulation under § 1.1400Z2(d)– proposed information collection may be § 1.1400Z2(d)–1(d)(3)(v)(D) will be 1(d)(3)(v)(D), if adopted, will not have a submitted via www.reginfo.gov/public/ performed by qualified opportunity significant economic impact on a do/PRAMain. Find this particular zone businesses that want to receive an substantial number of small entities information collection by selecting additional 24 months to expend their within the meaning of section 601(6) of ‘‘Currently under Review—Open for working capital assets, under the the Regulatory Flexibility Act. The Public Comments’’ then by using the extension of time permitted by proposed Treasury Department and the IRS search function. Comments can also be § 1.1400Z2(d)–1(d)(3)(v)(D). This anticipate that this proposed regulation emailed to the IRS at [email protected] recordkeeping requirement will not be will provide added clarity for qualified (indicate REG–121095–19 on the subject conducted using a new or existing IRS opportunity zone businesses to create or line). Comments also may be mailed to form. Such businesses must maintain, as modify existing written plans to expend OMB, Attn: Desk Officer for the part of their records, a copy of the working capital in the event of a Department of the Treasury, Office of written working plan including any Federally declared disaster. Information and Regulatory Affairs, modifications to the plan and provide Taxpayers affected by these proposed Washington, DC 20503, with copies these records to the IRS upon its regulations include QOFs, investors in mailed to the IRS, Attn: IRS Reports request. This modification encourages QOFs and qualified opportunity zone Clearance Officer, investment in QOFs by providing businesses in which a QOF holds an SE:W:CAR:MP:T:T:SP, Washington, DC greater specificity to how an entity may ownership interest. The proposed 20224. Comments on the collections of consistently satisfy the statutory regulations will not directly affect the information should be received by June requirements to be a qualified taxable incomes and tax liabilities of 14, 2021. Comments are specifically opportunity zone business in light of the qualified opportunity zone businesses; requested concerning: current economic climate. However, the they will affect only the taxable income Whether the proposed collection of increase in burden on these entities is and tax liabilities of QOFs (and owners information is necessary for the proper minimal as these entities were required of QOFs) that invest in such businesses. performance of the IRS, including to maintain such records prior to the Although there is a lack of available whether the information will have proposed modification if they wanted to data regarding the extent to which small practical utility; utilize a working capital safe harbor entities invest in QOFs, will certify as The accuracy of the estimated burden under § 1.1400Z2(d)–1(d)(3)(v). QOFs, or receive equity investments associated with the proposed collection An agency may not conduct or from QOFs, the Treasury Department of information (including underlying sponsor, and a person is not required to and the IRS project that most of the assumptions and methodology); respond to, a collection of information investment flowing into QOFs will How the quality, utility, and clarity of unless it displays a valid control come from large corporations and the information to be collected may be number assigned by the Office of wealthy individuals though some of enhanced; Management and Budget. these funds would likely flow through How the burden of complying with Books or records relating to a an intermediary investment partnership. the proposed collections of information collection of information must be It is expected that some QOFs and may be minimized, including through retained as long as their contents may qualified opportunity zone businesses the application of automated collection become material in the administration would be classified as small entities; techniques or other forms of information of any internal revenue law. Generally, however, the number of small entities technology; and tax returns and tax return information significantly affected is not likely to be Estimates of capital or start-up costs are confidential, as required by 26 substantial. Accordingly, the Secretary and costs of operation, maintenance, U.S.C. 6103. certifies that these rules will not have a

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significant economic impact on a are also encouraged to be made Section 1.1446–7 also issued under 26 substantial number of small entities. electronically. If a public hearing is U.S.C. 1400Z–2(e)(4) and 26 U.S.C. 1446(g). Notwithstanding this certification, the scheduled, notice of the date and time * * * * * Treasury Department and the IRS invite for the public hearing will be published Section 1.1446(f)–2 also issued under 26 comments on any impact these in the Federal Register. Announcement U.S.C. 1400Z–2(e)(4), 26 U.S.C. 1446(f)(6), regulations would have on small 2020–4, 2020–17 IRB 1, provides that and 26 U.S.C. 1446(g). entities. until further notice, public hearings * * * * * Pursuant to section 7805(f), these conducted by the IRS will be held ■ Par. 2. Section 1.1400Z2–0 is regulations have been submitted to the telephonically. Any telephonic hearing amended by: Chief Counsel for the Office of will be made accessible to people with ■ 1. Revising the introductory text. Advocacy of the Small Business disabilities. ■ 2. Adding an entry for § 1.1400Z2(a)– Administration for comment on their Drafting Information 1(a)(3). impact on small business. ■ 3. Revising the entry for IV. Unfunded Mandates Reform Act The principal authors of these § 1.1400Z2(a)–1(g)(2). proposed regulations are Milton Cahn, ■ 4. Adding an entry for § 1.1400Z2(a)– Section 202 of the Unfunded L. Ulysses Chatman, Ronald M. 2. Mandates Reform Act of 1995 requires Gootzeit, and Subin Seth of the Office ■ 5. Adding an entry for § 1.1400Z2(b)– that agencies assess anticipated costs of the Associate Chief Counsel 1(j)(3). and benefits and take certain other (International) and Erika Reigle of the ■ 6. Revising the entry for actions before issuing a final rule that Office of the Associate Chief Counsel § 1.1400Z2(d)–1(e)(2). includes any Federal mandate that may (Income Tax & Accounting). However, The revisions and additions read as result in expenditures in any one year other personnel from the Treasury follows: by a state, local, or tribal government, in Department and the IRS participated in § 1.1400Z2–0 Table of Contents. the aggregate, or by the private sector, of their development. $100 million in 1995 dollars, updated This section lists the table of contents annually for inflation. This rule does Statement of Availability of IRS for §§ 1.1400Z2(a)–1 through not include any Federal mandate that Documents 1.1400Z2(f)–2. may result in expenditures by state, IRS Revenue Procedures, Revenue § 1.1400Z2(a)–1 Deferring tax on capital local, or tribal governments, or by the Rulings, Notices, and other guidance gains by investing in opportunity zones. private sector in excess of that cited in this document are published in (a) * * * threshold. the Internal Revenue Bulletin or (3) Eligibility certificate needed to V. Executive Order 13132: Federalism Cumulative Bulletin and are available establish the permitted deferral amount Executive Order 13132 (entitled from the Superintendent of Documents, for certain foreign persons and foreign- ‘‘Federalism’’) prohibits an agency from U.S. Government Publishing Office, owned partnerships. publishing any rule that has federalism Washington, DC 20402, or by visiting * * * * * implications if the rule either imposes the IRS website at http://www.irs.gov. (g) * * * (2) Exceptions. substantial, direct compliance costs on List of Subjects in 26 CFR Part 1 state and local governments, and is not § 1.1400Z2(a)–2 Certain foreign persons required by statute, or preempts state Income taxes, Reporting and and foreign-owned partnerships required to law, unless the agency meets the recordkeeping requirements. provide security. consultation and funding requirements Proposed Amendments to the (a) In general. of section 6 of the Executive Order. This Regulations (b) Security-required person. proposed rule does not have federalism (1) In general. implications, does not impose Accordingly, 26 CFR part 1 is (2) Foreign person. substantial direct compliance costs on proposed to be amended as follows: (3) Specified partnership. state and local governments, and does (c) Security-required gain. not preempt state law within the PART 1—INCOME TAXES (1) Definition. (2) Covered transfer. meaning of the Executive Order. Paragraph 1. The authority citation (d) Eligibility certificate. Comments and Requests for Public for part 1 is amended by adding an entry (1) In general. Hearing for § 1.1400Z2(a)–2 and revising the (2) Application materials. (3) Application. Before these proposed amendments to entries for §§ 1.1445–3, 1.1446–3, 1.1446–6, 1.1446–7 and 1.1446(f)–2 to (4) Deferral agreement. the regulations are adopted as final (5) U.S. agent agreement. regulations, consideration will be given read in part as follows: (6) Security. to comments that are submitted timely Authority: 26 U.S.C. 7805 * * * (7) Permitted deferral amount. to the IRS as prescribed in the preamble * * * * * (e) Example. under the ADDRESSES section. The Section 1.1400Z2(a)–2 also issued under 26 (f) Applicability date. Treasury Department and the IRS U.S.C. 1400Z–2(e)(4). § 1.1400Z2(b)–1 Inclusion of gains that request comments on all aspects of the * * * * * have been deferred under section 1400Z– proposed regulations. Any electronic Section 1.1445–3 also issued under 26 2(a). comments submitted, and to the extent U.S.C. 1400Z–2(e)(4) and 26 U.S.C. 1445(e)(7). * * * * * practicable any paper comments (j) * * * submitted, will be made available at * * * * * (3) Specific rules. www.regulations.gov or upon request. Section 1.1446–3 also issued under 26 A public hearing will be scheduled if U.S.C. 1400Z–2(e)(4) and 26 U.S.C. 1446(g). § 1.1400Z2(d)–1 Qualified opportunity requested in writing by any person who * * * * * funds and qualified opportunity zone timely submits electronic or written Section 1.1446–6 also issued under 26 businesses. comments. Requests for a public hearing U.S.C. 1400Z–2(e)(4) and 26 U.S.C. 1446(g). * * * * *

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(e) * * * taxable year in which the gain would be Paragraph (c) of this section describes (2) Exceptions. recognized. The eligibility certificate, the gains for which an eligibility * * * * * however, provides a permitted deferral certificate must be obtained. Paragraph amount of $75x. Under paragraph (a)(3) of ■ Par. 3. Section 1.1400Z2(a)–1 is (d) of this section provides the this section, therefore, a valid deferral procedures for obtaining an eligibility amended by: election is limited to that deferral amount. ■ 1. Adding paragraph (a)(3). Consequently, $75x of Taxpayer’s investment certificate and defines the type and ■ 2. Revising paragraph (g)(1). in the QOF is a qualifying investment, which amount of security required. ■ 3. Redesignating paragraphs (g)(2) is described in section 1400Z–2(e)(1)(A)(i), (b) Security-required person—(1) In introductory text and (g)(2)(i) and (ii) as and no election under section 1400Z–2(a) can general. A security-required person is, paragraphs (g)(2)(i) and (g)(2)(i)(A) and apply to the remaining $25x ($100x¥$75x) with respect to a gain, a person that (B), respectively. investment. As a result, that remaining would be required to report the ■ 4. Adding a subject heading for newly investment in the QOF is a non-qualifying recognition of the gain under Federal redesignated paragraph (g)(2). investment, which is described in section income tax principles and that is ■ 5. Adding new paragraph (g)(2)(ii). 1400Z–2(e)(1)(A)(ii). either— (B) Example 2. Deferring gain from (i) A foreign person that is not a The revisions and additions read as inclusion. In 2022, Taxpayer realizes a gain follows: partnership, or of $x, Taxpayer was a security-required (ii) A specified partnership (as person with respect to that gain, and the gain § 1.1400Z2(a)–1 Deferring tax on capital defined in paragraph (b)(3) of this gains by investing in opportunity zones. was a security-required gain. Complying with all the requirements in this section section). (a) * * * (including paragraph (a)(3) of this section), (2) Foreign person. The term foreign (3) Eligibility certificate needed to Taxpayer made a valid election to defer a person means a person that is not a establish the permitted deferral amount gain of $x, after having invested $x in a QOF. United States person under section for certain foreign persons and foreign- In 2025, after Taxpayer’s interest in the QOF 7701(a)(30). owned partnerships. Notwithstanding had appreciated by $y, Taxpayer sold that (3) Specified partnership. The term any other provision of this section, if a interest for $x + $y. The sale was an specified partnership means, with taxpayer is a security-required person inclusion event, requiring Taxpayer to respect to a transfer that gives rise to a (as defined in § 1.1400Z2(a)–2(b)(1)) include in income the deferred gain of $x. security-required gain, a partnership Under paragraph (c)(1) of this section, the $x that satisfies the requirements of with respect to a gain and that gain is inclusion is a security-required gain because a security-required gain (as defined in the deferred gain was a security-required paragraphs (b)(3)(i) through (iii) of this § 1.1400Z2(a)–2(c)(1)), then the taxpayer gain. If Taxpayer wants to elect to defer the section. For purposes of paragraphs may not make a deferral election under $x of included gain and Taxpayer is a (b)(3)(ii) and (iii) of this section, the section 1400Z–2(a) with respect to part security-required person with respect to the look-back period is the period that or all of that gain unless the included gain, the limitation in paragraph begins on the later of the date that is one requirements in paragraph (a)(3)(i), (ii), (a)(3) of this section applies. Whether the $y year before the date of the transfer or the and (iii) of this section are satisfied. gain from the sale is a security-required gain date on which the partnership was (i) Not later than the date on which is determined by whether, independent of formed, and that ends on the date of the treatment of the inclusion, the $y gain on such transfer. A domestic specified the deferral election is filed with the IRS the sale is within the definition of security- under paragraph (a)(2) of this section, required gain in § 1.1400Z2(a)–2(c). partnership means a specified the person obtains an eligibility partnership that is a domestic * * * * * certificate with respect to that gain (as partnership. (g) * * * (i) Ownership test. A partnership defined in § 1.1400Z2(a)–2(d)(1)); (1) In general. Except as provided in satisfies the requirements of this (ii) The eligibility certificate provides paragraph (g)(2) of this section, the paragraph (b)(3)(i) if, at the time of a permitted deferral amount (as defined provisions of this section are applicable transfer, 20 percent or more of the in § 1.1400Z2(a)–2(d)(7)); and for taxable years beginning after March capital or profits interests in the (iii) The amount of gain sought to be 13, 2020. deferred does not exceed the permitted (2) Exceptions. *** partnership are owned (directly or deferral amount. (ii) Eligibility certificate requirement. indirectly through one or more (iv) See § 1.1400Z2(a)–2 for additional Paragraph (a)(3) of this section applies partnerships, trusts, or estates) by one or requirements for certain foreign persons to any security-required gain (as defined more nonresident aliens or foreign and foreign-owned partnerships to make in § 1.1400Z2(a)–2(c)(1)) from a covered corporations. a valid deferral election. transfer (as defined in § 1.1400Z2(a)– (ii) Closely-held test. A partnership (v) Examples. The examples in this 2(c)(2)) that occurs after [DATE OF satisfies the requirements of this paragraph (a)(3)(v) illustrate the rule in PUBLICATION OF FINAL RULE]. paragraph (b)(3)(ii) if, at any time during paragraph (a)(3) of this section. ■ Par. 4. Section 1.1400Z2(a)–2 is added the look-back period, it has ten or fewer direct partners that own 90 percent or (A) Example 1. Eligibility certificate for a to read as follows: permitted deferral amount that is less than more of the capital or profits interests in the total amount of security-required gain. § 1.1400Z2(a)–2 Certain foreign persons the partnership. For this purpose, any Taxpayer realizes a $100x gain, which is an and foreign-owned partnerships required to partners that are related (within the eligible gain. In addition, Taxpayer is a provide security. meaning of section 267(b) or 707(b)(1)) security-required person with respect to that (a) In general. This section provides are treated as one partner. gain, and the gain is a security-required gain. definitions and procedures for certain (iii) Gain or asset test. A partnership Taxpayer invests $100x in a QOF, and, foreign persons and foreign-owned satisfies the requirements of this without taking into account the limitation in partnerships to obtain an eligibility paragraph (b)(3)(iii) if either the paragraph (a)(3)(i) of this section, Taxpayer certificates in order to meet the security-required gain is $1 million or would be able to make a valid deferral election with respect to the entire $100x gain. requirement in § 1.1400Z2(a)–1(a)(3) to more (the gain test), or the aggregate Taxpayer applies for an eligibility certificate make a deferral election with respect to value of the partnership’s assets that are with respect to that gain and receives the certain gains. Paragraph (b) of this United States real property interests (as eligibility certificate before timely filing section describes the persons required defined in section 897(c)) or assets used Taxpayer’s Federal income tax return for the to obtain an eligibility certificate. in the conduct of a trade or business

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within the United States is, at any time determining the allocable share of a described in paragraph (d)(5) of this during the look-back period, equal to or security-required person’s ECTI (treating section, and the security (or evidence of greater than 25 percent of the value of a security-required person that is a security) of the type and in the amount all of the assets of the partnership (the domestic specified partnership as a described in paragraphs (d)(6) and (7) of asset test). In making the calculation foreign person for this purpose). this section. under the asset test described in this (ii) Exceptions to withholding. A (3) Application—(i) In general. An paragraph (b)(3)(iii)— disposition or distribution described in application for an eligibility certificate (A) The value of each asset is paragraph (c)(2)(i)(A) or (B) of this must be submitted in the form and in determined on the last day of the section is not a covered transfer if an the manner prescribed in forms or taxable year before the year in which the exception under § 1.1445–2, 1.1446(f)– instructions or in publications or look-back period begins or, for any asset 2(b), or 1.1446(f)–4(b) applies (other guidance published in the Internal acquired after this date, on the date of than an exception pertaining to non- Revenue Bulletin (see §§ 601.601(d)(2) acquisition (including upon formation foreign status in § 1.1445–2(b), and 601.602 of this chapter). An of the partnership); § 1.1446(f)–2(b)(2), or § 1.1446(f)– application for an eligibility certificate (B) The value of each asset is 4(b)(2)). In determining whether an must include the information described measured according to its gross fair exception applies for purposes of this in paragraphs (d)(3)(ii) and (iii) of this market value; and paragraph (c)(2)(ii), any requirement to section and any other information (C) The partnership must include the provide a certification to the transferee prescribed in forms or instructions or in value of the proportionate share of any in order to claim the applicable publications or guidance published in assets held by a partnership in which exception is disregarded. the Internal Revenue Bulletin (see the first-mentioned partnership is a (d) Eligibility certificate—(1) In §§ 601.601(d)(2) and 601.602 of this direct or indirect partner, but the first- general. This paragraph (d) defines an chapter). The security-required person mentioned partnership must not include eligibility certificate with respect to a must sign the application and represent the value of a direct or indirect interest gain and describes the procedures for under penalties of perjury that all in another partnership. obtaining such a certificate. The term information provided on or with the (c) Security-required gain—(1) eligibility certificate means, with respect application is true, correct, and Definition. The term security-required to a security-required gain, a document complete to the best of that person’s gain means— issued by the IRS pursuant to this knowledge and belief. (i) The gain from a covered transfer paragraph (d) that provides the (ii) Identification of security-required described in paragraphs (c)(2)(i)(A) or permitted deferral amount. The person and U.S. agent. The application (B) of this section; eligibility certificate will also include for an eligibility certificate must include (ii) The gain from a covered transfer the maximum security amount, the the name, address, and U.S. taxpayer described in paragraph (c)(2)(i)(C) of amount of security provided, and any identification number of the security- this section that is included in other information as may be prescribed required person, and the name, address, computing effectively connected taxable in forms or instructions or in and U.S. taxpayer identification number income, as determined under § 1.1446– publications or guidance published in of the security-required person’s U.S. 2 (ECTI), disregarding § 1.1446– the Internal Revenue Bulletin (see agent (as defined in paragraph 2(b)(4)(i); or §§ 601.601(d)(2) and 601.602 of this (d)(4)(ii)(D) of this section). (iii) The gain from a covered transfer chapter). Generally, the IRS will make a (iii) Information about the covered described in paragraph (c)(2)(i)(D) of determination with respect to a transfer—(A) Required information. The this section that is included in complete application for an eligibility application must identify the type of computing ECTI allocated to a security- certificate not later than the 90th day covered transfer. For a covered transfer required person. after the date that all information described in paragraph (c)(2)(i)(A), (B), (2) Covered transfer—(i) In general. necessary for the IRS to make a or (C) of this section that is not a The term covered transfer means— determination is received. At its distribution, the application must (A) A disposition by, or a distribution discretion, the IRS may extend this include a description of the property to, a security-required person that is period in unusual circumstances after transferred in the covered transfer, the subject to withholding under section notifying the security-required person amount of security-required gain, the 1445 (treating a security-required person no later than the 45th day after the date amount realized, the adjusted basis in that is a domestic specified partnership that all information necessary for the the property, and the maximum security as a foreign person for this purpose); IRS to make a determination is received. amount. For a covered transfer (B) A disposition by, or a distribution The IRS will send a notification to the described in paragraph (c)(2)(i)(A), (B), to, a security-required person that is security-required person of its or (C) of this section that is a subject to withholding under section determination and, if the application is distribution, the application must 1446(f) (treating a security-required approved, provide an eligibility include the amount of the distribution, person that is a domestic specified certificate to the security-required a description of the property distributed partnership as a foreign person for this person. For the use of an eligibility (including cash), the amount of security- purpose); certificate to reduce or eliminate certain required gain, and the maximum (C) A disposition by a specified withholding taxes, see §§ 1.1445–3(e)(5), security amount. For a covered transfer partnership of property, other than an 1.1446–6(c)(1)(iv), and 1.1446(f)–2(b)(8) described in paragraph (c)(2)(i)(D) of interest in another partnership or a U.S. and (c)(5). this section, the application must real property interest, or a distribution (2) Application materials. To obtain include the amount of security-required to a specified partnership, if any gain an eligibility certificate with respect to gain and the maximum security amount. that arises is includible in computing security-required gain, a security- In each case, the application for the ECTI; or required person must submit to the IRS eligibility certificate must also identify (D) A disposition by a partnership of the application described in paragraph the amount of security that has been property, or a distribution to such a (d)(3) of this section, the deferral provided and the amount of security- partnership, if any gain that arises is agreement described in paragraph (d)(4) required gain for which the eligibility includible (by any partnership) in of this section, the U.S. agent agreement certificate is being obtained. If an

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amount described in this paragraph is invested in a QOF held at any point deferral agreement. The deferral not known when the application is during the taxable year in accordance agreement will specify which defaults submitted, a security-required person with § 1.1400Z2(a)–1(d)(2). will require notification from the IRS may include a reasonable estimate of the (C) The security-required person and an opportunity to cure before a amount if the estimate is determined no provides security to the IRS in the default becomes an event of default. For earlier than 120 days before the covered amount required for the security- example, the deferral agreement will transfer and the security-required required gain for which the security- provide that a security-required person person also includes in the application required person seeks to defer gain that fails to report any security-required documentation of the basis for the under section 1400Z–2(a). The security gain invested in a QOF held at any point estimate (for example, a purchase may be replaced during the term of the during the taxable year in accordance contract). deferral agreement, to the extent with § 1.1400Z2(a)–1(d)(2) for any given (B) Definition of amount realized. The provided in forms or instructions or in taxable year will be permitted to cure term amount realized means for a publications or guidance published in the default by making the report covered transfer described in paragraph the Internal Revenue Bulletin (see described in the first sentence of (c)(2)(i)(A) of this section, the amount §§ 601.601(d)(2) and 601.602 of this § 1.1400Z2(a)–1(d)(2) or establishing to determined under § 1.1445–1(g)(5); for a chapter). Upon a failure to pay any tax the satisfaction of the Commissioner covered transfer described in paragraph due on security-required gain for which that an inclusion event described in (c)(2)(i)(B) of this section, the amount the security-required person seeks to § 1.1400Z2(b)–1(c) did not occur during determined under § 1.1446(f)–2(c)(2)(i) defer gain under section 1400Z–2(a) that taxable year. The deferral (or the amount determined using the when the tax is due or upon an event agreement will specify the date of an alternative procedures under of default (as described in paragraph event of default. See § 1.1400Z2(b)– § 1.1446(f)–2(c)(2)(ii), disregarding any (d)(4)(iii) of this section) under the 1(c)(1)(v) for the consequences of an requirement to provide a certification) deferral agreement, the IRS may collect event of default under a deferral or § 1.1446(f)–4(c)(2)(i); and for a the entire amount of the liability by agreement. covered transfer described in paragraph recourse to the security and may (5) U.S. agent agreement. The (c)(2)(i)(C) of this section, the amount exercise any other rights and remedies security-required person must enter into determined under section 1001(b). of a secured party under applicable law. a binding agreement with a U.S. agent (4) Deferral agreement—(i) In general. (D) The security-required person (as defined in paragraph (d)(4)(ii)(D) of A deferral agreement is an agreement appoints a U.S. person to act as the this section) authorizing the U.S. agent entered into between a security-required security-required person’s limited agent to act as an agent (U.S. agent person and the IRS for the deferral of tax for purposes of accepting agreement). The U.S. agent agreement and provision of security. The term of communication related to the deferral must include the terms and conditions the deferral agreement must not end agreement from the IRS, accepting provided in forms or instructions or in sooner than 36 months after the due service of process for the timely publications or guidance published in date (with extensions) for the filing of enforcement of the terms of the deferral the Internal Revenue Bulletin (see the security-required person’s Federal agreement, and any other purposes §§ 601.601(d)(2) and 601.602 of this income tax return for the taxable year specified in the deferral agreement (U.S. chapter). The U.S. agent agreement must that includes the date specified in agent). See paragraph (d)(5) of this be executed by the security-required section 1400Z–2(b)(1). The deferral section for the agreement that the person and the U.S. agent and must agreement must conform to any security-required person must enter into remain in effect for as long as the template provided in forms or with the U.S. agent. deferral agreement remains in effect. instructions or in publications or (iii) Events of default. The deferral (6) Security—(i) In general. The guidance published in the Internal agreement will specify what is security-required person must provide Revenue Bulletin (see §§ 601.601(d)(2) considered a default, the circumstances to the IRS security described in and 601.602 of this chapter). that give rise to an event of default, and paragraph (d)(6)(ii) of this section. The (ii) Minimum terms and conditions. whether a notice of default and an proposed security (and any required The minimum terms and conditions of opportunity to cure will be provided to documents described in forms or a deferral agreement are provided in the security-required person before an instructions or in publications or paragraphs (d)(4)(ii)(A) through (D) of event of default arises. Defaults include, guidance published in the Internal this section. The deferral agreement but are not limited to, a failure by an Revenue Bulletin (see §§ 601.601(d)(2) must also include any additional terms issuer of a letter of credit to continue to and 601.602 of this chapter)) must and conditions provided in a template meet the requirements of paragraph generally be submitted to the IRS with provided in forms or instructions or in (d)(6)(ii) of this section throughout the the security-required person’s publications or guidance published in term of the deferral agreement; a application for an eligibility certificate. the Internal Revenue Bulletin (see determination by the IRS that the The maturity date or expiration of the §§ 601.601(d)(2) and 601.602 of this security does not otherwise adequately security must not be earlier than 36 chapter). secure the interests of the IRS; a months after the due date (with (A) The security-required person will determination by the IRS that the U.S. extensions) for the filing of the security- timely file a Federal income tax return agent agreement is no longer in effect; required person’s Federal income tax and pay any tax liability due on a resignation of the U.S. agent; a failure return for the taxable year that includes security-required gain deferred under by the security-required person to file the date specified in section 1400Z– section 1400Z–2(a) and the regulations any required Federal income tax returns 2(b)(1). The security cannot be thereunder for each taxable year in and information returns or pay any tax accelerated, cancelled, or otherwise which the security-required person is due during the term of the deferral terminated before maturity, other than required to include the gain or a portion agreement; and a failure by the security- at the direction of, or with the consent thereof in income under § 1.1400Z2(b)– required person to attach a copy of the of, the IRS. Additional terms and 1. eligibility certificate to any tax returns, conditions for the security may be (B) The security-required person will information returns, forms, or other specified in forms or instructions or in report any security-required gain filings with the IRS as required in the publications or guidance published in

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the Internal Revenue Bulletin (see account the type of property, holding respectively, $750,000 on September 1, $2 §§ 601.601(d)(2) and 601.602 of this period, and classification of the million on October 1, and $2 million on chapter). See paragraph (d)(7) of this security-required person (treating a December 20. All three gains were eligible section for determining the required security-required person that is a gains within the meaning of § 1.1400Z2(a)– 1(b)(11) and the transactions that gave rise to amount of the security. partnership or trust as an individual for the gains were subject to withholding under (ii) Letter of credit. The IRS may this purpose); section 1445 or 1446. accept as security an irrevocable (C) For a covered transfer described in (ii) Ownership test. On September 1, Year standby letter of credit that is issued by paragraph (c)(2)(i)(C) of this section, the 2, P satisfied the ownership test in paragraph a U.S. bank that is categorized as well security-required gain multiplied by the (b)(3)(i) of this section because on that date capitalized in accordance with highest rate of tax applicable to the gain, partners O1 through O7 were United States applicable Federal banking regulations taking into account the type of property persons, and partners O8 through O10 were and regularly issues letters of credit in and the specified partnership’s holding foreign individuals. On October 1, Year 2, P the ordinary course of business to period, and treating the specified did not satisfy the ownership test in customers other than security-required paragraph (b)(3)(i) of this section because as partnership as an individual for this of that date partners O and O had been persons under this paragraph (d)(6), or 9 10 purpose; or replaced by O11 and O12, who were both any other financial institution (D) For a covered transfer described in United States persons. On December 20, Year acceptable to the IRS, as provided in paragraph (c)(2)(i)(D) of this section, the 2, P satisfied the ownership test in paragraph forms or instructions or in publications security-required gain multiplied by the (b)(3)(i) of this section because as of that date or guidance published in the Internal highest rate of tax applicable to the gain, partners O11 and O12 had been replaced by Revenue Bulletin (see §§ 601.601(d)(2) taking into account the type of property, O13 and O14, which were both foreign and 601.602 of this chapter). the holding period and classification of corporations. (7) Permitted deferral amount—(i) In the security-required person (treating a (iii) Closely-held test. At all times during Years 1 through 2, P satisfied the closely-held general. The permitted deferral amount security-required person that is a is the amount for which an eligibility test in paragraph (b)(3)(ii) of this section partnership or trust as an individual for because P was owned by 10 partners. certificate is issued to a security- this purpose). (iv) Asset test. At all times during Years 1 required person with respect to a (iii) Example. SRP, an individual who is a through 3, P did not satisfy the asset test in security-required gain. If a security- security-required person, disposes of U.S. paragraph (b)(3)(iii) of this section because P required person provides security in an real property that SRP has held for more than had total assets in excess of $100 million, of amount equal to the maximum security one year and that has a basis of $80x in a which less than $25 million was United amount, the permitted deferral amount covered transfer subject to withholding under States real property interests or assets used is the total amount of security-required section 1445(a). The amount realized is in the conduct of a trade or business within gain. If a security-required person $200x, and the amount of the security- the United States. provides security in an amount less than required gain is $120x of long-term capital (v) Investment in a QOF and election to the maximum security amount, the gain ($200x amount realized less $80x basis). defer. On January 15 of Year 3, P invested $4.75 million in a QOF, and on P’s timely permitted deferral amount is the total Because the covered transfer is described in paragraph (c)(2)(i)(A) of this section, the filed Federal income tax return for Year 2, P amount of security-required gain maximum security amount is $24x (the lesser indicated that it was electing to defer all multiplied by the ratio of the amount of of $30x (the amount realized of $200x three gains under § 1.1400Z2(a)–1(a). These security provided over the maximum multiplied by the rate specified in section three elections are proper unless they are security amount. 1445(a), (in 2021, 15%)) and $24x (the barred by § 1.1400Z2(a)–1(a)(3). (ii) Maximum security amount. The security-required gain of $120x multiplied by (2) Analysis—(i) G1. P satisfies the term maximum security amount the highest rate of tax applicable to the gain ownership test as of the date of the transfer. means— taking into account the type of property, P also satisfies the closely-held test during (A) For a covered transfer described in holding period and the classification of the the look-back period for G1, but does not paragraph (c)(2)(i)(A) of this section, the security-required person (in 2021, 20%))). satisfy the asset test during the look-back lesser of the amount realized (as defined SRP applies for and receives an eligibility period for G1. P does not satisfy the gain test in paragraph (b)(3)(iii) of this section because in paragraph (d)(3)(iii)(B) of this section) certificate in accordance with paragraph (d)(1). SRP provides security in the amount the amount of the G1 gain is less than $1 multiplied by the rate specified in of $15x. Because SRP has provided security million. As a result, P is not a specified section 1445(a) (or, for a covered in an amount less than the maximum partnership with respect to G1. Accordingly, transfer subject to section 1445(e)(1), security amount, the eligibility certificate P is not a security-required person with (e)(2), or (e)(6), the security-required will be issued for less than the total amount respect to G1, and, thus, P does not need an gain multiplied by the rate specified of security-required gain. The permitted eligibility certificate with respect to G1 in under the applicable provision) or the deferral amount shown on the eligibility order to make a proper deferral election with security-required gain multiplied by the certificate is the total amount of security- respect to G1. highest rate of tax applicable to the gain, required gain ($120x) multiplied by the ratio (ii) G2. Unlike G1, G2 ($2 million) is large of the amount of security provided by SRP enough to satisfy the gain test in paragraph taking into account the type of property, ($15x) over the maximum security amount (b)(3)(iii) of this section ($1 million or more). holding period, and classification of the ($24x). Therefore, SRP will obtain an P also satisfies the closely-held test during security-required person (treating a eligibility certificate for a permitted deferral the look-back period for G2. However, P does security-required person that is a amount of $75x ($120x multiplied by 62.5%). not satisfy the ownership test as of the date partnership or trust as an individual for (e) Example. The example in this of transfer. Accordingly, P is not a specified this purpose); paragraph (e) illustrates the rules in this partnership with respect to G2 and, thus, P (B) For a covered transfer described section and § 1.1400Z2(a)–1(a)(3). is not a security-required person with respect solely in paragraph (c)(2)(i)(B) of this (1) Facts. Partnership P is an eligible to G2. P does not need an eligibility section, the lesser of the amount taxpayer within the meaning of certificate with respect to G2 in order to make realized (as defined in paragraph § 1.1400Z2(a)–1(b)(13) of this section. The a proper deferral election with respect to G2. relevant events take place during Years 1 (iii) G3. P satisfies the ownership test as of (d)(3)(iii)(B) of this section) multiplied through 3, all of which end earlier than 2027. the date of the transfer. P also satisfies the by the rate specified in section At all times during those years, P was owned closely-held test during the look-back period 1446(f)(1), or the security-required gain by 10 equal partners. for G3. Also, G3 is large enough to satisfy the multiplied by the highest rate of tax (i) Three eligible gains. During Year 2, P gain test. Accordingly, P is a security- applicable to the gain, taking into recognized three gains—G1, G2, and G3—for, required person with respect to G3, and G3 is

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a security-required gain. Consequently, P (d) * * * (5) Special rule for gain deferred may not elect to defer G3 unless, not later (3) * * * under section 1400Z–2(a). The Internal than the date on which P files its Federal (v) * * * Revenue Service will issue a income tax return for Year 2, P has received withholding certificate under this an eligibility certificate with respect to G3. (D) Federally declared disasters. If the Even if P has received such an eligibility qualified opportunity zone business is paragraph (e) that excuses withholding certificate, P may not elect to defer a larger located in a qualified opportunity zone or that permits a transferee to withhold amount of G3 than the permitted deferral impacted by a federally declared a reduced amount if the transferor has amount shown on the eligibility certificate. disaster (as defined in section obtained an eligibility certificate under (f) Applicability date. This section 165(i)(5)(A)), the qualified opportunity § 1.1400Z2(a)–2 from the IRS with applies to any covered transfer that zone business may receive not more respect to the transfer. The amount by occurs after [DATE OF PUBLICATION than an additional 24 months to expend which the transferee may reduce the OF FINAL RULE]. its working capital assets, as long as it withholding (including a reduction to ■ Par. 5. Section 1.1400Z2(b)–1 is otherwise meets the requirements of zero) is the amount of security provided amended by: paragraph (d)(3)(v) of this section. For on the eligibility certificate. If this ■ 1. Revising paragraph (c)(1)(iv). purposes of the preceding sentence, paragraph (e)(5) applies, the ■ 2. Adding paragraph (c)(1)(v). meeting the requirements of paragraph requirements in paragraphs (e)(1) ■ 3. Revising paragraph (j)(1). (d)(3)(v) of this section may be through (e)(4) of this section are deemed ■ 4. Adding paragraph (j)(3). determined by reference either to the to have been satisfied. This paragraph The revisions and additions read as original amount of working capital (e)(5) applies to any covered transfer follows: assets designated in writing under defined in § 1.1400Z2(a)–2(c)(2) that § 1.1400Z2(b)–1 Inclusion of gains that paragraph (d)(3)(v)(A) of this section occurs after [DATE OF PUBLICATION have been deferred under section 1400Z– and reasonable written schedule under OF FINAL RULE]. 2(a). paragraph (d)(3)(v)(B) of this section or * * * * * * * * * * to a new or revised written designation ■ Par. 8. Section 1.1446–3 is amended (c) * * * and written schedule that satisfy the by revising paragraph (b)(2)(i)(B)(1) (1) * * * requirements of paragraph (d)(3)(v)(A) introductory text to read as follows: (iv) A QOF in which an eligible and (B) of this section, respectively. A taxpayer holds a qualifying investment new or revised written designation of § 1.1446–3 Time and manner of calculating loses its status as a QOF; or the amount of working capital assets and paying over the 1446 tax. (v) An event of default occurs under and reasonable written schedule for * * * * * a deferral agreement (described in expending that amount may be used (b) * * * § 1.1400Z2(a)–2(d)(4)) entered into only if adopted not later than 120 days (2) * * * between a security-required person and after the close of the incident period, as (i) * * * the IRS (in which case the deferred gain defined in 44 CFR 206.32(f), with (B) * * * to be included is the gain whose deferral respect to that disaster. In determining (1) To the extent applicable, in was made possible by the eligibility whether a new or revised schedule computing the 1446 tax due with certificate that was based on the satisfies the requirements of paragraph respect to a foreign partner, a agreement). (d)(3)(v)(B) of this section, the planned partnership may consider a certificate * * * * * completion of spending must take into received from such partner under (j) * * * account the up-to-31 month period § 1.1446–6(c)(1)(i), (ii) or (iv) and the (1) In general. Except as provided in originally allowed under paragraph amount of state and local taxes paragraph (j)(3) of this section, the (d)(3)(v)(B) of this section, plus the up- permitted to be considered under provisions of this section are applicable to-24 additional months provided in § 1.1446–6(c)(1)(iii). For this purpose, a for taxable years beginning after March this paragraph (d)(3)(v)(D). partnership shall first consider under 13, 2020. * * * * * § 1.1446–6(c)(1)(iv) the partner’s * * * * * (e) * * * permitted deferral amounts and then (3) Specific rules. Paragraph (c)(1)(v) (1) In general. Except as provided in annualize the partner’s allocable share of this section applies to any deferral paragraph (e)(2) of this section, the of the partnership’s items of effectively agreement (as defined in § 1.1400Z2(a)– provisions of this section are applicable connected income, gain, deduction, and 2(d)(4)) entered into after [DATE OF for taxable years beginning after March loss before— PUBLICATION OF FINAL RULE]. 13, 2020. * * * * * ■ Par. 6. Section 1.1400Z2(d)–1 is (2) Exceptions. *** ■ amended by: Par. 9. Section 1.1446–6 is amended ■ 1. Revising paragraphs (d)(3)(v)(D) (ii) Flexibility with respect to working by: and (e)(1). capital safe harbor plans in the event of ■ 1. Revising paragraph (a)(1). ■ 2. Redesignating paragraphs (e)(2) a federally declared disaster. The final ■ 2. Revising the first sentence of introductory text and (e)(2)(i) and (ii) as three sentences in paragraph (d)(3)(v)(D) paragraph (a)(2). paragraphs (e)(2)(i) and (e)(2)(i)(A) and are applicable for taxable years ■ 3. Adding a sentence at the end of (B). beginning after [DATE OF paragraph (c)(1). ■ 3. Adding a subject heading for newly PUBLICATION OF FINAL RULE]. ■ 4. Adding paragraph (c)(1)(iv). ■ redesignated paragraph (e)(2). Par. 7. Section 1.1445–3 is amended ■ 5. Adding a sentence at the end of ■ 4. Adding new paragraph (e)(2)(ii). by adding paragraph (e)(5) to read as paragraph (c)(2)(i). follows: The revisions and additions read as ■ 6. Revising the seventh sentence of follows: § 1.1445–3 Adjustments to amount paragraph (d)(3)(i). § 1.1400Z2(d)–1 Qualified opportunity required to be withheld pursuant to ■ 7. Adding a sentence at the end of funds and qualified opportunity zone withholding certificate. paragraph (f). businesses. * * * * * The revisions and additions read as * * * * * (e) * * * follows:

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§ 1.1446–6 Special rules to reduce a (g) of this section provides a transition of this section for each foreign partner partnership’s 1446 tax with respect to a rule. whose certificate was relied upon. foreign partner’s allocable share of effectively connected taxable income. (2) Reasonable reliance on a * * * * * certificate. Subject to § 1.1446–2 and the (a) In general—(1) Purpose and scope. (f) * * * Paragraph (c)(1)(iv) of this rules of this section, a partnership This section provides rules regarding section and the references in paragraphs receiving a certificate (including an when a partnership required to pay updated certificate or status update (a)(1), (a)(2), (c)(1), and (d)(3)(i) of this withholding tax under section 1446 under paragraph (c)(2)(ii)(B) of this section to eligibility certificates, covered (1446 tax), or an installment of 1446 tax, section) of deductions and losses or an transfers and security-required gains, may consider certain partner-level eligibility certificate from a partner apply to any covered transfers (as deductions and losses and eligibility provided in accordance with the defined in § 1.1400Z2(a)–2(c)(2)) certificates under § 1.1400Z2(a)–2(d) in provisions of this section may occurring after [DATE OF computing its 1446 tax obligation under PUBLICATION OF FINAL RULE]. § 1.1446–3. This section also provides reasonably rely on the certificate of rules regarding when a partnership is deductions and losses (to the extent of * * * * * not required to pay a de minimis the certified deductions and losses or ■ Par. 10. Section 1.1446–7 is amended amount of 1446 tax due with respect to other representations set forth in the by adding a sentence at the end of the certificate) or eligibility certificate (to a nonresident alien individual partner. section to read as follows: A partnership determines the the extent of the permitted deferral applicability of the rules of this section amount determined in § 1.1400Z2(a)– § 1.1446–7 Effective/Applicability date. 2(d)(7)) until such time that it has actual on a partner-by-partner basis for each * * * The references in § 1.1446– installment period and when knowledge or reason to know that the certificate is defective or that the time 3(b)(2)(i)(B)(1) to § 1.1446–6(c)(1)(iv) completing its Form 8804, ‘‘Annual apply to partnership taxable years Return for Partnership Withholding Tax for receiving an updated certificate or ending after [DATE OF PUBLICATION (Section 1446),’’ and paying 1446 tax for status update from the partner under OF FINAL RULE]. the partnership taxable year. Except paragraph (c)(2)(ii)(B) of this section has with respect to certain state and local expired. * * * ■ Par. 11. Section 1.1446(f)–2 is taxes paid by the partnership on behalf * * * * * amended by adding paragraphs (b)(8) of the partner, to apply the rules of this (c) * * * and (c)(5) and by adding a sentence to section with respect to a foreign partner, (1) * * * Under paragraph (c)(1)(iv) the end of paragraph (f) to read as the partnership must receive a of this section, a partnership may take follows: certificate described in § 1.1446– into account eligibility certificates 6(c)(1)(i) and (ii) from such partner for § 1.1446(f)–2 Withholding on the transfer submitted by a foreign partner with of a non-publicly traded partnership each partnership taxable year or an respect to security-required gains. eligibility certificate described in interest. * * * * * § 1.1400Z2(a)–2(d) for each security- * * * * * (iv) Consideration of eligibility required gain (as defined in (b) * * * § 1.1400Z2(a)–2(c)(1)). Paragraph (b) of certificates. A partner that is a this section identifies the foreign nonresident alien or foreign corporation (8) Gain deferred under section partners to which this section applies. that satisfies the requirements of 1400Z–2(a). A transferee may rely on a Paragraph (c) of this section identifies § 1.1400Z2(a)–1(a)(3) may provide a certification from the transferor that the deductions and losses and security- copy of an eligibility certificate, as includes a copy of an eligibility required gains that a foreign partner defined in § 1.1400Z2(a)–2(d)(1), for certificate (as described in may certify to the partnership as well as each of the partner’s security-required § 1.1400Z2(a)–2(d)) with respect to the the state and local taxes paid by the gains, as defined in § 1.1400Z2(a)– transfer for an amount of security that partnership on behalf of the foreign 2(c)(1). is greater than or equal to the maximum partner that can be taken into account * * * * * security amount. See paragraph (c)(5) of without a certification, and establishes (2) * * * this section for when an eligibility an exception that permits a partnership (i) * * * A partner’s certification certificate provides an amount of to not pay a de minimis amount of 1446 under paragraph (c)(1)(iv) of this section security that is less than the maximum tax with respect to a nonresident alien shall be the eligibility certificate security amount. partner. Paragraph (c) of this section described in § 1.1400Z2(a)–2(d)(1). also sets forth the requirements for a (c) * * * * * * * * valid certificate. Paragraphs (a)(2) and (5) Gain deferred under section (d) of this section establish when a (d) * * * 1400Z–2(a). A transferee may rely on a partnership may rely on and consider a (3) * * * certification from a transferor that foreign partner’s certificate in (i) * * * For an installment period includes a copy of an eligibility computing its 1446 tax, and the effects other than the first installment period certificate (as described in of relying on such a certificate. for which the partnership considers a § 1.1400Z2(a)–2(d)) with respect to the Paragraph (d) of this section also foreign partner’s certificate or updated transfer to reduce the amount required describes the effects of a partnership certificate, the partnership may, instead to be withheld under this section by the relying on a certificate (including an of attaching any partner’s certificate, amount of security provided on the updated certificate) and the reporting attach to Form 8813 a list containing the eligibility certificate. requirements of a partnership with name, TIN, the amount of certified * * * * * respect to a certificate. Paragraph (e) of deductions and losses, the amount of this section sets forth examples that gain excluded resulting from an (f) Applicability date. *** illustrate the rules of this section. eligibility certificate, and the amount of Paragraphs (b)(8) and (c)(5) of this Paragraph (f) of this section provides the state and local taxes the partnership section apply to any covered transfer (as Effective/Applicability date. Paragraph may consider under paragraph (c)(1)(iii) defined in § 1.1400Z2(a)–2(c)(2)) that

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occurs after [DATE OF PUBLICATION I. Table of Abbreviations disrupting operations, and/or injuring OF FINAL RULE]. CFR Code of Federal Regulations Coast Guard personnel. Additionally, this proposed rulemaking would Sunita Lough, DHS Department of Homeland Security FR Federal Register prohibit vessels from passing other Deputy Commissioner for Services and NPRM Notice of proposed rulemaking vessels making way within the regulated Enforcement. § Section area. This Regulated Navigation Area [FR Doc. 2021–06143 Filed 4–12–21; 4:15 pm] U.S.C. United States Code covers all navigable waters within the BILLING CODE 4830–01–P II. Background, Purpose, and Legal Biscayne Bay Causeway Island Slip, Basis immediately west of the Coast Guard Base Miami Beach, Miami Beach, FL. DEPARTMENT OF HOMELAND In October 2020, the Fisher Island SECURITY Ferry Communities Association IV. Regulatory Analyses relocated its ferry terminal to the We developed this proposed rule after Coast Guard Biscayne Bay Causeway Island Slip considering numerous statutes and (Slip), west of the Coast Guard Base Executive orders related to rulemaking. 33 CFR Part 165 Miami Beach, Miami Beach, FL. The Below we summarize our analyses Slip is the primary terminal for the [Docket Number USCG–2021–0077] based on a number of these statutes and movement of residents, workers, and Executive orders, and we discuss First RIN 1625–AA11 goods from Terminal Island to Fisher Amendment rights of protestors. Island. Prior to October 2020, maritime Regulated Navigation Area; Biscayne traffic in the Biscayne Bay Causeway A. Regulatory Planning and Review Bay Causeway Island Slip, Miami Island Basin (Basin) was limited in Executive Orders 12866 and 13563 Beach, FL scope to occasional private yachts and direct agencies to assess the costs and AGENCY: Coast Guard, DHS. Coast Guard assets. The addition of ferry benefits of available regulatory ACTION: Notice of proposed rulemaking. traffic at the Slip has resulted in a alternatives and, if regulation is substantial increase in maritime traffic necessary, to select regulatory SUMMARY: The Coast Guard is proposing in the Basin. The Basin has a length of approaches that maximize net benefits. to establish a Regulated Navigation Area approximately 380 yards and a width of This NPRM has not been designated a over certain navigable waters of the approximately 97 yards. The increase in ‘‘significant regulatory action,’’ under Biscayne Bay Causeway Island Slip, traffic, particularly of the Fisher Island Executive Order 12866. Accordingly, immediately west of the Coast Guard Ferry, presents a hazard to Coast Guard the NPRM has not been reviewed by the Base Miami Beach, Miami Beach, FL. assets operating in the Basin as the Office of Management and Budget This action is necessary to provide for ferries occasionally pass within the (OMB). the safety of life and federal property on Basin, dangerously close to Coast Guard This regulatory action determination this navigable water. This proposed assets. Additionally, and particularly is based on the size, and location of the rulemaking would require all persons when passing within the Basin, the Regulated Navigation area. The and vessels to transit the Regulated ferries create a disrupting, and at times Regulated Navigation Area will only Navigation Area at a speed that creates dangerous wake, adversely affecting affect vessels entering, and passing minimum wake, seven miles per hour or Coast Guard routine operations and within, the Biscayne Bay Causeway less, to safeguard damage to Coast Guard personnel. The passing maneuvers and Island Slip in Miami Beach, Miami assets, disrupting operations, and/or resultant wake also create hazardous Beach, FL. Vessels will continue to injuring Coast Guard personnel. conditions during certain cutter operate within the Biscayne Bay Additionally, this proposed rulemaking operations, such as onloading and Causeway Island Slip with the only would prohibit vessels from passing offloading of ammunition or refueling. restriction being the requirement to other vessels making way within the The Coast Guard’s Seventh District operate at speeds below seven miles per regulated area. We invite your Commander has determined the hour and avoid passing other vessels comments on this proposed rulemaking. increased ferry traffic, passing making way within the regulated area. DATES: Comments and related material maneuvers, and resultant wake presents Moreover, upon activating the Regulated must be received by the Coast Guard on a safety and operational concern to Navigation Area, the Coast Guard will or before May 14, 2021. Coast Guard personnel and assets notify the local maritime community ADDRESSES: You may submit comments moored in the Biscayne Bay Causeway through various means including, Local identified by docket number USCG– Island Basin. Notice to Mariners and Broadcast Notice 2021–0077 using the Federal The purpose of this regulation is to to Mariners issued on VHF–FM marine eRulemaking Portal at https:// ensure navigational safety, protection of radio channel 16. Coast Guard assets and personnel, and www.regulations.gov. See the ‘‘Public B. Impact on Small Entities Participation and Request for to facilitate safe execution of Coast Guard statutory missions. The Coast The Regulatory Flexibility Act of Comments’’ portion of the 1980, 5 U.S.C. 601–612, as amended, SUPPLEMENTARY INFORMATION section for Guard is proposing this rulemaking under authority in 46 U.S.C. 70034. requires Federal agencies to consider further instructions on submitting the potential impact of regulations on comments. III. Discussion of Proposed Rule small entities during rulemaking. The FOR FURTHER INFORMATION CONTACT: If The Coast Guard’s Seventh District term ‘‘small entities’’ comprises small you have questions about this proposed Commander is proposing to establish a businesses, not-for-profit organizations rulemaking, call or email LT Samuel permanent Regulated Navigation Area that are independently owned and Rodriguez, Sector Miami Waterways that would require all persons and operated and are not dominant in their Management Division, Coast Guard at vessels to transit the regulated area at a fields, and governmental jurisdictions 305–535–4317 or by email speed that creates minimum wake, with populations of less than 50,000. [email protected]. seven miles per hour or less, to The Coast Guard certifies under 5 U.S.C. SUPPLEMENTARY INFORMATION: safeguard damage to Coast Guard assets, 605(b) that this proposed rule would not

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have a significant economic impact on implications for federalism or Indian V. Public Participation and Request for a substantial number of small entities. tribes, please call or email the person Comments While some owners or operators of listed in the FOR FURTHER INFORMATION We view public participation as vessels intending to operate within the CONTACT section. essential to effective rulemaking, and Regulated Navigation Area may be small E. Unfunded Mandates Reform Act will consider all comments and material entities, for the reasons stated in section received during the comment period. IV.A above, this proposed rule would The Unfunded Mandates Reform Act Your comment can help shape the not have a significant economic impact of 1995 (2 U.S.C. 1531–1538) requires outcome of this rulemaking. If you on any vessel owner or operator. submit a comment, please include the If you think that your business, Federal agencies to assess the effects of docket number for this rulemaking, organization, or governmental their discretionary regulatory actions. In indicate the specific section of this jurisdiction qualifies as a small entity particular, the Act addresses actions document to which each comment and that this rule would have a that may result in the expenditure by a applies, and provide a reason for each significant economic impact on it, State, local, or tribal government, in the suggestion or recommendation. please submit a comment (see aggregate, or by the private sector of $100,000,000 (adjusted for inflation) or We encourage you to submit ADDRESSES) explaining why you think it comments through the Federal qualifies and how and to what degree more in any one year. Though this proposed rule would not result in such eRulemaking Portal at https:// this rule would economically affect it. www.regulations.gov. If your material Under section 213(a) of the Small an expenditure, we do discuss the cannot be submitted using https:// Business Regulatory Enforcement effects of this rule elsewhere in this www.regulations.gov, call or email the Fairness Act of 1996 (Pub. L. 104–121), preamble. person in the FOR FURTHER INFORMATION we want to assist small entities in F. Environment CONTACT section of this document for understanding this proposed rule. If the alternate instructions. rule would affect your small business, We have analyzed this proposed rule We accept anonymous comments. All organization, or governmental under Department of Homeland comments received will be posted jurisdiction and you have questions Security Directive 023–01, Rev. 1, without change to https:// concerning its provisions or options for associated implementing instructions, www.regulations.gov and will include compliance, please call or email the and Environmental Planning any personal information you have FOR FURTHER person listed in the COMDTINST 5090.1 (series), which provided. For more about privacy and INFORMATION CONTACT section. The Coast guide the Coast Guard in complying submissions in response to this Guard will not retaliate against small with the National Environmental Policy document, see DHS’s eRulemaking entities that question or complain about Act of 1969 (42 U.S.C. 4321–4370f), and System of Records notice (85 FR 14226, this proposed rule or any policy or have made a preliminary determination March 11, 2020). action of the Coast Guard. that this action is one of a category of Documents mentioned in this NPRM C. Collection of Information actions that do not individually or as being available in the docket, and all cumulatively have a significant effect on public comments, will be in our online This proposed rule would not call for the human environment. This proposed a new collection of information under docket at https://www.regulations.gov rule involves a Regulated Navigation and can be viewed by following that the Paperwork Reduction Act of 1995 Area requiring all persons and vessels to (44 U.S.C. 3501–3520). website’s instructions. Additionally, if transit the regulated area at a speed that you go to the online docket and sign up D. Federalism and Indian Tribal creates minimum wake, seven miles or for email alerts, you will be notified Governments less, and to avoid passing other vessels when comments are posted or a final A rule has implications for federalism making way within the regulated area. rule is published. Normally such actions are categorically under Executive Order 13132 List of Subjects in 33 CFR Part 165 (Federalism), if it has a substantial excluded from further review under direct effect on the States, on the paragraph L60(a) of Appendix A, Table Harbors, Marine safety, Navigation relationship between the National 1 of DHS Instruction Manual 023–01– (water), Reporting and recordkeeping Government and the States, or on the 001–01, Rev. 1. A preliminary Record of requirements, Security measures, distribution of power and Environmental Consideration Waterways. responsibilities among the various supporting this determination is For the reasons discussed in the levels of government. We have analyzed available in the docket. For instructions preamble, the Coast Guard is proposing this proposed rule under that Order and on locating the docket, see the to amend 33 CFR part 165 as follows: have determined that it is consistent ADDRESSES section of this preamble. We seek any comments or information that PART 165—REGULATED NAVIGATION with the fundamental federalism AREAS AND LIMITED ACCESS AREAS principles and preemption requirements may lead to the discovery of a significant environmental impact from described in Executive Order 13132. ■ this proposed rule. 1. The authority citation for part 165 Also, this proposed rule does not have continues to read as follows: tribal implications under Executive G. Protest Activities Authority: 46 U.S.C. 70034, 70051; 33 CFR Order 13175 (Consultation and 1.05–1, 6.04–1, 6.04–6, and 160.5; Coordination with Indian Tribal The Coast Guard respects the First Department of Homeland Security Delegation Governments) because it would not Amendment rights of protesters. No. 0170.1. have a substantial direct effect on one or Protesters are asked to call or email the ■ 2. Add § 165.789 to read as follows: more Indian tribes, on the relationship person listed in the FOR FURTHER between the Federal Government and INFORMATION CONTACT section to § 165.789 Regulated Navigation Area; Indian tribes, or on the distribution of coordinate protest activities so that your Biscayne Bay Causeway Island Slip, Miami power and responsibilities between the message can be received without Beach, FL. Federal Government and Indian tribes. jeopardizing the safety or security of (a) Regulated Area. The following area If you believe this proposed rule has people, places, or vessels. is a Regulated Navigation Area: All

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waters of Biscayne Bay Causeway Island the Regulated Navigation Area making way within the Regulated Slip within the following points: described in paragraph (a) of this Navigation Area. Beginning at Point 1 in position section and the following regulations, (c) Enforcement. The Coast Guard ° ′ ″ ° ′ ″ 25 46 18 N, 080 08 50 W; thence east apply. may be assisted in the patrol and ° ′ ″ to Point 2 in position 25 46 19 N, enforcement of the Regulated ° ′ ″ (2) All persons and vessels are 080 08 47 W; thence southeast to Point required to transit the Regulated Navigation Area by other Federal, State, 3 in position 25°46′10″ N, 080°08′41″ W; Navigation Area at a speed that creates and local agencies. thence west to Point 4 in position minimum wake, seven miles per hour or 25°46′10″ N, 080°08′45″ W; thence back Dated: April 6, 2021. less, to prevent damage to Coast Guard to origin at Point 1. E.C. Jones, (b) Regulations. (1) The general assests, disrupting operations, and/or Rear Admiral, U.S. Coast Guard, District regulations governing Regulated injuring Coast Guard personnel. Commander. Navigation Areas found in 33 CFR (3) All persons and vessels are [FR Doc. 2021–07606 Filed 4–13–21; 8:45 am] 165.10, 165.11, and 165.13, including required to avoid passing other vessels BILLING CODE 9110–04–P

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Notices Federal Register Vol. 86, No. 70

Wednesday, April 14, 2021

This section of the FEDERAL REGISTER Dated: April 9, 2021. 1–800–877–8339 and providing the contains documents other than rules or Angelia Rorison, Service with the conference call number proposed rules that are applicable to the USCCR Media and Communications Director. and conference ID number. public. Notices of hearings and investigations, Members of the public are also committee meetings, agency decisions and [FR Doc. 2021–07680 Filed 4–12–21; 4:15 pm] BILLING CODE P entitled to submit written comments; rulings, delegations of authority, filing of the comments must be received in the petitions and applications and agency statements of organization and functions are regional office within 30 days following examples of documents appearing in this COMMISSION ON CIVIL RIGHTS the meeting. Written comments may be section. emailed to Corrine Sanders at csanders@ Notice of Public Meeting of the usccr.gov. Persons who desire Pennsylvania Advisory Committee to additional information may contact the CIVIL RIGHTS COMMISSION the U.S. Commission on Civil Rights Regional Programs Unit at (312) 353– 8311. Sunshine Act Meeting Notice AGENCY: U.S. Commission on Civil Records generated from this meeting Rights. may be inspected and reproduced at the AGENCY: United States Commission on ACTION: Announcement of meeting. Regional Programs Unit Office, as they Civil Rights. become available, both before and after SUMMARY: Notice is hereby given, ACTION: Notice of Commission public the meeting. Records of the meeting will pursuant to the provisions of the rules business meeting. be available via www.facadatabase.gov and regulations of the U.S. Commission under the Commission on Civil Rights, on Civil Rights (Commission) and the DATES: Pennsylvania Advisory Committee link. Friday, April 16, 2021, 12:00 Federal Advisory Committee Act that Persons interested in the work of this p.m. EST. the Pennsylvania Advisory Committee Committee are directed to the ADDRESSES: Meeting to take place by (Committee) to the U.S. Commission on Commission’s website, http:// telephone and is open to the public by Civil Rights will hold a meeting on www.usccr.gov, or may contact the telephone: 1–866–556–2537, Conference Monday April 26, 2021 at 10:00 a.m. Regional Programs Unit at the above ID #896–5601. Computer assisted real- Eastern time. The Committee will email or street address. time transcription (CART) will be discuss civil rights concerns in the state. provided. The web link to access CART DATES: The meeting will take place on Agenda (in English) on Friday, April 16th, 2021, Monday April 26, 2021 at 10:00 a.m. Welcome and Roll Call is https://www.streamtext.net/ Eastern time. Civil Rights in Pennsylvania player?event=USCCR. Please note that ADDRESSES: Future Plans and Actions CART is text-only translation that Online Regisration (Audio/Visual): Public Comment occurs in real time during the meeting https://bit.ly/31Yom3G. Adjournment and is not an exact transcript. Telephone (Audio Only): Dial 800– Dated: April 8, 2021. FOR FURTHER INFORMATION CONTACT: 360–9505 USA Toll Free; Access code: David Mussatt, Angelia Rorison: 202–376–7700; 199 229 3904. Supervisory Chief, Regional Programs Unit. [email protected]. FOR FURTHER INFORMATION CONTACT : [FR Doc. 2021–07584 Filed 4–13–21; 8:45 am] Melissa Wojnaroski, DFO, at SUPPLEMENTARY INFORMATION: BILLING CODE P [email protected] or 312–353– Meeting Agenda 8311. I. Motion to Approve Commissioner SUPPLEMENTARY INFORMATION: Members DEPARTMENT OF COMMERCE Norma Cantu´ to Serve as USCCR of the public can listen to these Chair discussions. Committee meetings are International Trade Administration II. Approval of Agenda available to the public through the [A–570–131, C–570–132] III. Business Meeting above call in number. Any interested A. Discussion and Vote on Statement member of the public may call this Twist Ties From the People’s Republic of Walter E. Williams number and listen to the meeting. An of China: Antidumping and B. Discussion and Vote to continue open comment period will be provided Countervailing Duty Orders to allow members of the public to make the Policy of Rebuttals and AGENCY: Enforcement and Compliance, Surrebuttals a statement as time allows. Callers can expect to incur regular charges for calls International Trade Administration, C. Discussion and Vote to suspend Department of Commerce. Speaker Series they initiate over wireless lines, according to their wireless plan. The SUMMARY: Based on affirmative final D. Discussion and Agreement to Commission will not refund any determinations by the Department of Appoint Bipartisan Commissioners incurred charges. Callers will incur no Commerce (Commerce) and the U.S. to EAC charge for calls they initiate over land- International Trade Commission (ITC), E. Discovery and Vote on FEMA line connections to the toll-free Commerce is issuing antidumping duty Report Discovery Plan telephone number. Individuals who are (AD) and countervailing duty (CVD) F. Management and Operations deaf, deafblind and hard of hearing may orders on twist ties from the People’s • Staff Director’s Report also follow the proceedings by first Republic of China (China). IV. Adjourn Meeting calling the Federal Relay Service at DATES: Applicable April 14, 2021.

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FOR FURTHER INFORMATION CONTACT: Alex AD Order before publication of the ITC’s final Wood (AD) or Ajay Menon (CVD), AD/ On April 8, 2021, in accordance with affirmative injury determinations, as CVD Operations, Office II, Enforcement section 735(d) of the Act, the ITC further described below.5 and Compliance, International Trade notified Commerce of its final Continuation of Suspension of Administration, U.S. Department of determinations that an industry in the Liquidation—AD Commerce, 1401 Constitution Avenue United States is materially injured NW, Washington, DC 20230; telephone: within the meaning of section In accordance with section 736 of the (202) 482–1959 or (202) 482–1993, 735(b)(1)(A)(i) of the Act by reason of Act, we will instruct CBP to continue to respectively. imports of twist ties from China.4 suspend liquidation on all relevant Therefore, Commerce is issuing this AD entries of twist ties from China entered, SUPPLEMENTARY INFORMATION: order in accordance with sections or withdrawn from warehouse, for Background 735(c)(2) and 736 of the Act. Because consumption on or after the date of the ITC determined that imports of twist publication of the ITC’s final affirmative In accordance with sections 705(d) ties from China are materially injuring injury determinations in the Federal and 735(d) of the Tariff Act of 1930, as a U.S. industry, unliquidated entries of Register. These instructions suspending amended (the Act), on February 22, such merchandise from China entered, liquidation will remain in effect until 2021, Commerce published its or withdrawn from warehouse, for further notice. For each producer and affirmative final determination of sales consumption are subject to the exporter combination, Commerce will at less-than-fair-value (LTFV) 1 and its assessment of antidumping duties. also instruct CBP to require cash affirmative final determination that Therefore, in accordance with section deposits for estimated antidumping countervailable subsidies are being 736(a)(1) of the Act, Commerce will duties equal to the cash deposit rates provided to producers and exporters of direct U.S. Customs and Border listed below. 2 Protection (CBP) to assess, upon further twist ties from China. On April 8, 2021, Accordingly, effective on the date of the ITC notified Commerce of its final instruction by Commerce, antidumping duties equal to the amount by which the publication of the ITC’s final affirmative affirmative determinations that an normal value of the merchandise injury determinations, CBP will require, industry in the United States is exceeds the export price (or constructed at the same time as an importer of materially injured by reason of LTFV export price) of the merchandise for all record would normally deposit imports and subsidized imports of twist relevant entries of twist ties from China. estimated duties on the subject ties from China, within the meaning of Antidumping duties will be assessed on merchandise, a cash deposit for each sections 705(b)(1)(A)(i) and unliquidated entries of twist ties from entry of subject merchandise equal to 3 735(b)(1)(A)(i) of the Act. China entered, or withdrawn from the cash deposit rates listed below.6 As Scope of the Orders warehouse, for consumption on or after stated in the LTFV Final Determination, December 10, 2020, the date of Commerce made certain adjustments for The products covered by these orders publication of the LTFV Preliminary export subsidies from the CVD Final are twist ties from China. For a complete Determination, but will not be assessed Determination to the estimated description of the scope of the orders, on entries occurring after the expiration weighted-average dumping margin to see Appendix to this notice. of the provisional measures period and determine each of the cash deposit rates.

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

Rongfa Plastic Products Co., Ltd. (also known as Rongfa Plastic Products Co., Ltd. (also known as 72.96 62.42 Zhenjiang Rongfa Plastic Co., Ltd). Zhenjiang Rongfa Plastic Co., Ltd). Tianjin Kyoei Packaging Supplies Co., Ltd ...... Tianjin Kyoei Packaging Supplies Co., Ltd ...... 72.96 62.42 China-Wide Entity 7 ...... 72.96 62.42

Provisional Measures—AD LTFV Preliminary Determination on liquidate, without regard to 8 Section 733(d) of the Act states that December 10, 2020. Commerce’s LTFV antidumping duties, unliquidated suspension of liquidation pursuant to an Final Determination published on entries of twist ties from China entered, 9 affirmative preliminary determination February 22, 2021. Therefore, the four- or withdrawn from warehouse, for may not remain in effect for more than month period beginning on the date of consumption after April 8, 2021, the four months, except that Commerce may publication of the LTFV Preliminary date on which the provisional measures extend the four-month period to no Determination ended on April 8, 2021. expired, through the day preceding the more than six months at the request of Therefore, in accordance with section date of publication of the ITC’s final exporters representing a significant 733(d) of the Act, Commerce will affirmative injury determinations in the proportion of exports of the subject instruct CBP to terminate the Federal Register. Suspension of merchandise. Commerce published its suspension of liquidation and to liquidation will resume on the date of

1 See Twist Ties from the People’s Republic of 3 See ITC’s Letter, ‘‘Notification of ITC Final (December 10, 2020) (LTFV Preliminary China: Final Affirmative Determination of Sales at Determinations,’’ dated April 8, 2021 (ITC Determination). Less Than Fair Value, 86 FR 10536 (February 22, Notification). 6 See section 736(a)(3) of the Act. 2021) (LTFV Final Determination). 4 Id. 7 The China-wide entity includes Zhenjiang 2 See Twist Ties from the People’s Republic of 5 See Twist Ties from the People’s Republic of Hongda Commodity Co., Ltd. and Zhenjiang Zhonglian I/E Co., Ltd. China: Final Affirmative Countervailing Duty China: Preliminary Affirmative Determination of 8 See LTFV Preliminary Determination. Determination, 86 FR 10542 (February 22, 2021) Sales at Less Than Fair Value, 85 FR 79468 (CVD Final Determination). 9 See LTFV Final Determination.

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publication of the ITC’s final affirmative indicated below. Accordingly, effective These orders are published in injury determinations in the Federal on the date of publication of the ITC’s accordance with sections 706(a) and Register. final affirmative injury determinations, 736(a) of the Act and 19 CFR 351.211(b). CBP will require, at the same time as CVD Order Dated: April 8, 2021. importers would normally deposit Christian Marsh, On April 8, 2021, in accordance with estimated duties on the subject section 705(d) of the Act, the ITC Acting Assistant Secretary for Enforcement merchandise, a cash deposit for each and Compliance. notified Commerce of its final entry of subject merchandise equal to determinations that an industry in the the subsidy rates listed below.12 The all- Appendix United States is materially injured others rate applies to all producers or Scope of the Orders within the meaning of section exporters not specifically listed below, The merchandise covered by these orders 705(b)(1)(A)(i) of the Act by reason of as appropriate. imports of twist ties from China.10 consists of twist ties, which are thin, Therefore, Commerce is issuing this Subsidy rate bendable ties for closing containers, such as Company (percent) bags, bundle items, or identifying objects. A CVD order in accordance with sections twist tie in most circumstances is comprised 705(c)(2) and 706 of the Act. Because Dongguan Guanqiao Industrial Co., of one or more metal wires encased in a the ITC determined that imports of twist Ltd ...... 111.96 covering material, which allows the tie to ties from China are materially injuring Foshan Shunde Ronggui Yingli In- retain its shape and bind against itself. dustrial Co., Ltd ...... 111.96 a U.S. industry, unliquidated entries of Yiwu Kurui Handicraft Co. Ltd ...... 111.96 However, it is possible to make a twist tie such merchandise from China entered, Zhenjiang Hongda Commodity Co. with plastic and no metal wires. The metal or withdrawn from warehouse, for Ltd ...... 111.96 wire that is generally used in a twist tie is consumption are subject to the Zhenjiang Zhonglian VE Co., Ltd .... 111.96 stainless or galvanized steel and typically All Others ...... 111.96 measures between the gauges of 19 (.0410″ assessment of countervailing duties. ″ Therefore, in accordance with section diameter) and 31 (.0132 ) (American 706(a)(1) of the Act, Commerce will Provisional Measures—CVD Standard Wire Gauge). A twist tie usually has a width between .075″ and 1″ in the cross- direct CBP to assess, upon further Section 703(d) of the Act states that machine direction (width of the tie— instruction by Commerce, suspension of liquidation instructions measurement perpendicular with the wire); a countervailing duties on all relevant issued pursuant to an affirmative thickness between .015″ and .045″ over the entries of twist ties from China. preliminary determination may not wire; and a thickness between .002″ and Countervailing duties will be assessed remain in effect for more than four .020″ in areas without wire. The scope on unliquidated entries of twist ties months. Commerce published its CVD includes an all-plastic twist tie containing a from China which are entered, or Preliminary Determination on December plastic core as well as a plastic covering (the withdrawn from warehouse, for 1, 2020. Therefore, the provisional wing) over the core, just like paper and/or consumption on or after December 1, measures period, beginning on the date plastic in a metal tie. An all-plastic twist tie (without metal wire) would be of the same 2020, the date of publication of the CVD of publication of the CVD Preliminary measurements as a twist tie containing one 11 Preliminary Determination, but will Determination, ended on March 30, or more metal wires. Twist ties are not be assessed on entries occurring 2021. Pursuant to section 707(b) of the commonly available individually in pre-cut after the expiration of the provisional Act, the collection of cash deposits at lengths (‘‘singles’’), wound in large spools to measures period and before publication the rate listed above will begin on the be cut later by machine or hand, or in of the ITC’s final affirmative injury date of publication of the ITC’s final perforated sheets of spooled or single twist determinations, as further described affirmative injury determinations. ties that are later slit by machine or by hand below. Therefore, in accordance with section (‘‘gangs’’). 703(d) of the Act, Commerce instructed The covering material of a twist tie may be Suspension of Liquidation—CVD CBP to terminate the suspension of paper (metallic or plain), or plastic, and can In accordance with section 706 of the be dyed in a variety of colors with or without liquidation and to liquidate, without printing. A twist tie may have the same Act, we will instruct CBP to reinstitute regard to countervailing duties, covering material on both sides or one side suspension of liquidation on all relevant unliquidated entries of twist ties from of paper and one side of plastic. When entries of twist ties from China, effective China entered, or withdrawn from comprised of two sides of paper, the paper on the date of publication of the ITC’s warehouse, for consumption after March material is bound together with an adhesive final affirmative injury determinations 30, 2021, the date on which the or plastic. A twist tie may also have a tag or in the Federal Register, and to assess, provisional measures expired, through label attached to it or a pre-applied adhesive upon further instruction by Commerce, the day preceding the date of attached to it. pursuant to section 706(a)(1) of the Act, publication of the ITC’s final injury Excluded from the scope of the orders are countervailing duties for each entry of twist ties packaged with bags for sale together determinations in the Federal Register. where the quantity of twist ties does not the subject merchandise in an amount Suspension of liquidation will resume exceed twice the number of bags in each based on the net countervailable on the date of publication of the ITC’s package. Also excluded are twists ties that subsidy rate for the subject final affirmative injury determinations constitute part of the packaging of the merchandise. These instructions in the Federal Register. imported product, for example, merchandise suspending liquidation will remain in anchored/secured to a backing with twist ties Notifications to Interested Parties effect until further notice. Commerce in the retail package or a bag of bread that will also instruct CBP to require cash This notice constitutes the AD and is closed with a twist tie. deposits equal to the amounts as CVD orders with respect to twist ties Twist ties are imported into the United from China pursuant to sections 706(a) States under Harmonized Tariff Schedule of the United States (HTSUS) subheadings 10 See ITC Notification. and 736(a) of the Act. Interested parties 11 8309.90.0000 and 5609.00.3000. Subject See Twist Ties from the People’s Republic of can find a list of orders currently in merchandise may also enter under HTSUS China: Preliminary Affirmative Countervailing Duty effect at http://enforcement.trade.gov/ Determination and Alignment of Final subheadings 3920.51.5000, 3923.90.0080, Determination with Final Antidumping Duty stats/iastats1.html. 3926.90.9990, 4811.59.6000, 4821.10.2000, Determination, 85 FR 77167 (December 1, 2020) 4821.10.4000, 4821.90.2000, 4821.90.4000, (CVD Preliminary Determination). 12 See section 706(a)(3) of the Act. and 4823.90.8600. These HTSUS

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subheadings are provided for reference only. amended (the Act), and 19 CFR the carbon content is 2 percent or less, The written description of the scope of the 351.213(b).2 Commerce received no by weight; and (3) none of the elements orders is dispositive. other requests for administrative review. below exceed the quantity, by weight, [FR Doc. 2021–07630 Filed 4–13–21; 8:45 am] On November 12, 2019, pursuant to respectively indicated: BILLING CODE 3510–DS–P these requests, and in accordance with • 2.50 percent of manganese, or 19 CFR 351.221(c)(1)(i), Commerce • 3.30 percent of silicon, or published a notice in the Federal • 1.50 percent of copper, or DEPARTMENT OF COMMERCE Register initiating an administrative • 1.50 percent of aluminum, or review of the CVD order on HWR pipes • 1.25 percent of chromium, or International Trade Administration and tubes from Turkey.3 On February • 0.30 percent of cobalt, or [C–489–825] 10, 2020, the petitioners timely • 0.40 percent of lead, or withdrew their request for an • 2.0 percent of nickel, or Heavy Walled Rectangular Welded administrative review with respect to • 0.30 percent of tungsten, or Carbon Steel Pipes and Tubes From Agir Haddecilik A.S., Cag Celik Demir • 0.80 percent of molybdenum, or the Republic of Turkey: Final Results ve Celik Endustri A.S., Cinar Boru Profil • 0.10 percent of niobium (also called and Partial Rescission of San Ve Tic. A.S., Mescier Dis Ticaret columbium), or Countervailing Duty Administrative Ltd. Sti., MTS Lojistik ve Tasimacilik • 0.30 percent of vanadium, or Review; 2018 Hizmetleri TIC A.C. Istanbul, Noksel • 0.30 percent of zirconium. Celik Boru Sanayi A, SEBA Dis Ticaret AGENCY: Enforcement and Compliance, The subject merchandise is currently AS., and Tosyali Toyo Celik A.S.4 As a provided for in item 7306.61.1000 of the International Trade Administration, result, the only company for which the Department of Commerce. Harmonized Tariff Schedule of the request for review was not withdrawn United States (HTSUS). Subject SUMMARY: The Department of Commerce was Ozdemir. merchandise may also enter under (Commerce) determines that Ozdemir On January 27, 2021, Commerce HTSUS 7306.61.3000. While the HTSUS Boru Profil San. Ve Tic. Ltd. Sti. published the Preliminary Results of the subheadings and ASTM specification (Ozdemir), exporter/producer of heavy administrative review with respect to are provided for convenience and walled rectangular welded carbon steel 5 Ozdemir. Commerce gave interested customs purposes, the written pipes and tubes (HWR pipes and tubes) parties an opportunity to comment on description of the scope of this order is from the Republic of Turkey (Turkey), 6 the Preliminary Results. No interested dispositive. received de minimis net countervailable parties submitted comments. Commerce subsidies during the period of review, has conducted this review in Changes Since the Preliminary Results January 1, 2018, through December 31, accordance with section 751(a)(1)(A) of As no parties submitted comments on 2018. Commerce is also rescinding this the Act. the Preliminary Results, we made no review with regard to eight companies changes to the subsidy calculations for for which timely requests for Scope of the Order The products covered by the order are Ozdemir in the final results of this withdrawal of the request for review review. were filed by Independence Tube shipments of certain heavy walled Corporation and Southland Tube, both rectangular welded steel pipes and Partial Rescission of Administrative Nucor Pipe Mills companies tubes of rectangular (including square) Review cross section, having a nominal wall (collectively, the petitioners). Pursuant to 19 CFR 351.213(d)(1), thickness of not less than 4 mm. The DATES: Applicable April 14, 2021. Commerce will rescind an merchandise includes, but is not limited FOR FURTHER INFORMATION CONTACT: administrative review, in whole or in to, the American Society for Testing and Jaron Moore or Janae Martin, AD/CVD part, if the party that requested a review Materials (ASTM) A–500, grade B Operations, Office VIII, Enforcement withdraws the request within 90 days of specifications, or comparable domestic and Compliance, International Trade the publication date of the notice of or foreign specifications. Administration, U.S. Department of initiation of the requested review. The Included products are those in which: Commerce, 1401 Constitution Avenue petitioners’ withdrawal request was (1) Iron predominates, by weight, over NW, Washington, DC 20230; telephone: timely submitted, and no other each of the other contained elements; (2) (202) 482–3640 or (202) 482–0238, interested party requested an respectively. 2 See Ozdemir’s Letter, ‘‘Heavy Walled administrative review of the eight SUPPLEMENTARY INFORMATION: Rectangular Welded Carbon Steel Pipes and Tubes companies named above. Therefore, in from the Republic of Turkey: Review Request for accordance with 19 CFR 351.213(d)(1), Background Ozdemir Boru Profil San. Ve Tic. Ltd. Sti.,’’ dated we are rescinding this administrative September 30, 2019; see also Petitioners’ Letter, On September 3, 2019, Commerce ‘‘Heavy-Walled Rectangular Welded Carbon Steel review of the CVD order on HWR pipes published a notice of opportunity to Pipes and Tubes from the Republic of Turkey: and tubes from Turkey, in part, with request an administrative review of the Request for Administrative Review,’’ dated respect to the aforementioned eight order on HWR pipes and tubes from September 30, 2019. companies. Turkey for the period of January 1, 2018, 3 See Initiation of Antidumping and Countervailing Duty Administrative Reviews, 84 FR 1 Final Results of Administrative Review through December 31, 2018. On 61011 (November 12, 2019). September 30, 2019, Commerce received 4 See Petitioners’ Letter, ‘‘Heavy Walled In accordance with section 777A(e)(1) timely requests for an administrative Rectangular Welded Carbon Steel Pipes and Tubes of the Act and 19 CFR 351.221(b)(5), we review from the petitioners and from Turkey: Partial Withdrawal of Request for determine that the following net Ozdemir, in accordance with section Administrative Review,’’ dated February 10, 2020. countervailable subsidy rate exists for 5 See Heavy Walled Rectangular Welded Carbon 751(a) of the Tariff Act of 1930, as Steel Pipes and Tubes from the Republic of Turkey: Ozdemir for the period January 1, 2018, 7 Preliminary Results of Countervailing Duty through December 31, 2018: 1 See Antidumping or Countervailing Duty Order, Administrative Review; 2018, 86 FR 7251 (January Finding, or Suspended Investigation; Opportunity 27, 2021) (Preliminary Results), and accompanying 7 We have made no changes to this rate since the to Request Administrative Review, 84 FR 45949 Preliminary Decision Memorandum. Preliminary Results. Therefore, no additional (September 3, 2019). 6 See Preliminary Results, 86 FR at 7252. Continued

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Subsidy rate CBP to continue to collect cash deposits subject to change. For the latest agenda Company (percent) at the most-recent company-specific or please refer to the SAB website: http:// all-others rate applicable to the sab.noaa.gov/SABMeetings.aspx. Ozdemir Boru 0.39 (de minimis). company, as appropriate. These cash ADDRESSES: These are virtual meetings. Profil San. Ve deposit requirements, when imposed, Tic. Ltd. Sti. The webinar registration links for the shall remain in effect until further April 30, 2021 and July 20 and July 22, notice. 2021 meetings may be found on the Assessment Rates Administrative Protective Order website at http://sab.noaa.gov/ Commerce shall determine, and U.S. SABMeetings.aspx. Customs and Border Protection (CBP) This notice also serves as a final FOR FURTHER INFORMATION CONTACT: Dr. reminder to parties subject to an shall assess, countervailing duties on all Cynthia Decker, Executive Director, administrative protective order (APO) of appropriate entries covered by this SSMC3, Room 11230, 1315 East-West their responsibility concerning the review, pursuant to section 751(a)(2)(C) Hwy., Silver Spring, MD 20910; Phone 8 return or destruction of proprietary of the Act and 19 CFR 351.212(b). Number: 301–734–1156; Email: information disclosed under APO in Because we calculated a de minimis [email protected]; or visit the accordance with 19 CFR 351.305(a)(3), countervailable subsidy rate for SAB website at http://sab.noaa.gov/ which continues to govern business Ozdemir in the final results of this SABMeetings.aspx. review, we intend to instruct CBP to proprietary information in this segment liquidate the appropriate entries of proceeding. Timely written SUPPLEMENTARY INFORMATION: The without regard to countervailing duties notification of the return/destruction of NOAA Science Advisory Board (SAB) in accordance with 19 CFR APO materials or conversion to judicial was established by a Decision 351.212(b)(2) and 19 CFR 351.106(c)(1). protective order is hereby requested. Memorandum dated September 25, With respect to the companies for Failure to comply with the regulations 1997, and is the only Federal Advisory which this administrative review is and terms of an APO is a violation Committee with responsibility to advise rescinded (i.e., Agir Haddecilik A.S., which is subject to sanction. the Under Secretary of Commerce for Oceans and Atmosphere on strategies Cag Celik Demir ve Celik Endustri A.S., Notification to Interested Parties Cinar Boru Profil San Ve Tic. A.S., for research, education, and application Mescier Dis Ticaret Ltd. Sti., MTS This notice of final results and partial of science to operations and information Lojistik ve Tasimacilik Hizmetleri TIC rescission of administrative review are services. SAB activities and advice A.C. Istanbul, Noksel Celik Boru Sanayi issued and published in accordance provide necessary input to ensure that A, SEBA Dis Ticaret AS., and Tosyali with sections 751(a)(1) and 777(i)(1) of National Oceanic and Atmospheric Toyo Celik A.S.), countervailing duties the Act, and 19 CFR 351.221(b)(5) and Administration (NOAA) science shall be assessed at rates equal to the 19 CFR 351.213(d)(4). programs are of the highest quality and provide optimal support to resource cash deposit rate required at the time of Dated: April 8, 2021. entry, or withdrawal from warehouse, management. Christian Marsh, Status: The April 30, 2021 meeting for consumption, during the period Acting Assistant Secretary for Enforcement will be open to public participation January 1, 2018, through December 31, and Compliance. with a 5-minute public comment period 2018, in accordance with 19 CFR [FR Doc. 2021–07631 Filed 4–13–21; 8:45 am] at 4:55 p.m. EDT. The July 20 and 22, 351.212(c)(1)(i). BILLING CODE 3510–DS–P 2021 meeting will be open to public Commerce intends to issue participation with a 15-minute public assessment instructions to CBP no comment period at 4:45 p.m. EDT on earlier than 35 days after the date of DEPARTMENT OF COMMERCE July 20. The SAB expects that public publication of the final results of this statements presented at its meetings will review in the Federal Register. If a National Oceanic and Atmospheric not be repetitive of previously timely summons is filed at the U.S. Administration submitted verbal or written statements. Court of International Trade, the Science Advisory Board; Meeting In general, each individual or group assessment instructions will direct CBP making a verbal presentation will be not to liquidate relevant entries until the AGENCY: National Oceanic and limited to a total time of three minutes. time for parties to file a request for a Atmospheric Administration (NOAA), Written comments for the April 30, 2021 statutory injunction has expired (i.e., Department of Commerce (DOC). meeting should be received by in the within 90 days of publication). ACTION: Notice of public meetings. SAB Executive Director’s Office by Cash Deposit Requirement April 23, 2021 to provide sufficient time SUMMARY: This notice sets forth the for SAB review. Written comments for Pursuant to section 751(a)(1) of the schedule and proposed agenda for two Act, Commerce also intends to instruct the July 20 and 22, 2021 meeting should meetings of the Science Advisory Board be received in the SAB Executive CBP to collect cash deposits of (SAB). The members will discuss issues estimated countervailing duties at the Director’s Office by July 1, 2021 to outlined in the section on Matters to be provide sufficient time for SAB review. appropriate rates. For shipments of considered. subject merchandise by Ozdemir Written comments received by the SAB DATES: There are two meetings: The first entered, or withdrawn from warehouse, Executive Director after these dates will meeting is scheduled for April 30, 2021 for consumption on or after the date of be distributed to the SAB, but may not from 4:00 p.m. to 5:00 p.m. Eastern publication of these final results, the be reviewed prior to the meeting date. Daylight Time (EDT). The second Special Accommodations: This cash deposit rate will be zero. For all meeting is scheduled for July 20, 2021, meeting is physically accessible to non-reviewed firms, we will instruct from 1:00 p.m. to 5:00 p.m. Eastern people with disabilities. Requests for Daylight Time (EDT) and July 22, 2021, special accommodations may be disclosure of calculations is necessary for these final results under 19 CFR 351.224(b). from 1:00 p.m. to 5:00 p.m. Eastern directed to the Executive Director no 8 See section 751(a)(2)(C) of the Act; see also 19 Daylight Time (EDT). These times and later than 12 p.m. on April 23, 2021 for CFR 351.212(b). the agenda topics described below are the April 30, 2021 meeting and by July

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1, 2021 for the July 20 and 22, 2021 DEPARTMENT OF EDUCATION Each year, to reflect changes in meeting. inflation, we adjust the income Annual Updates to the Income- Matters to be Considered: The percentage factor used to calculate a Contingent Repayment (ICR) Plan meeting on April 30, 2021 will consider borrower’s ICR payment, as required by Formula for 2021—William D. Ford the Environmental Information Services 34 CFR 685.209(b)(1)(ii)(A). We use the Federal Direct Loan Program adjusted income percentage factors to Working Group’s Statement on the calculate a borrower’s monthly ICR National Weather Service Data AGENCY: Federal Student Aid, payment amount when the borrower Department of Education. Throttling Concerns. The meeting on initially applies for the ICR plan or July 20 and 22, 2021 will include (1) ACTION: Notice. when the borrower submits his or her NOAA updates; (2) Update from the annual income documentation, as SUMMARY: The Secretary announces the Tsunami Science and Technology required under the ICR plan. This notice annual updates to the ICR plan formula Advisory Panel; (3) Review of the contains the adjusted income percentage for 2021 to give notice to borrowers and Cooperative Institute for Great Lakes factors for 2021, examples of how the the public regarding how monthly ICR Research Review Report; (4) SAB monthly payment amount in ICR is payment amounts will be calculated for Priorities for Weather Research Study calculated, and charts showing sample the 2021–2022 year under the William update; (5) NOAA Response to the SAB repayment amounts based on the D. Ford Federal Direct Loan (Direct review of the NOAA Precipitation adjusted ICR plan formula. This Loan) Program, Assistance Listing Prediction Grand Challenge Plan; and information is included in the following Number 84.063. (6) Environmental Information Services three attachments: DATES: The adjustments to the income Working Group’s report to Congress. • Attachment 1—Income Percentage percentage factors for the ICR plan The full agendas will be published on Factors for 2021 the SAB website. Meeting materials, formula contained in this notice are • Attachment 2—Examples of the including work products, will also be applicable from July 1, 2021, to June 30, Calculations of Monthly Repayment 2022, for any borrower who enters the available on the SAB website: http:// Amounts ICR plan or has his or her monthly sab.noaa.gov/SABMeetings.aspx. • Attachment 3—Charts Showing payment amount recalculated under the Sample Repayment Amounts for Dated: April 8, 2021. ICR plan during that period. Single and Married Borrowers David Holst, FOR FURTHER INFORMATION CONTACT: In Attachment 1, to reflect changes in Director Chief Financial Officer/CAO, Office Travis Sturlaugson, U.S. Department of inflation, we updated the income of Oceanic and Atmospheric Research, Education, 830 First Street NE, Room percentage factors that were published National Oceanic and Atmospheric 113H3, Washington, DC 20202. in the Federal Register on June 02, 2020 Administration. Telephone: (202) 377–4174. Email: (85 FR 33639). Specifically, we have [FR Doc. 2021–07645 Filed 4–13–21; 8:45 am] [email protected]. revised the table of income percentage BILLING CODE 3510–KD–P If you use a telecommunications factors by changing the dollar amounts device for the deaf (TDD) or a text of the incomes shown by a percentage telephone (TTY), call the Federal Relay equal to the estimated percentage Service, toll free, at 1–800–877–8339. change between the not-seasonally- CONSUMER PRODUCT SAFETY SUPPLEMENTARY INFORMATION: Under the adjusted Consumer Price Index for all COMMISSION Direct Loan Program, borrowers may urban consumers for December 2020 choose to repay their non-defaulted and December 2021. Sunshine Act Meeting Notice loans (Direct Subsidized Loans, Direct The income percentage factors Unsubsidized Loans, Direct PLUS Loans reflected in Attachment 1 may cause a TIME AND DATE: Wednesday, April 14, made to graduate or professional borrower’s payments to be lower than 2021; 11:00 a.m.–12:00 a.m. students, and Direct Consolidation they were in prior years, even if the Loans) under the ICR plan. The ICR plan PLACE: Due to the COVID–19 Pandemic, borrower’s income is the same as in the bases the borrower’s repayment amount the meeting will be held remotely. prior year. The revised repayment on the borrower’s Adjusted Gross amount more accurately reflects the STATUS: Commission Meeting—Open to Income (AGI), family size, loan amount, impact of inflation on the borrower’s the Public. and the interest rate applicable to each current ability to repay. of the borrower’s loans. Accessible Format: On request to the MATTERS TO BE CONSIDERED: Decisional ICR is one of several income-driven program contact person listed under FOR Matter: Proposed Fiscal Year (FY) 2021 repayment plans. Other income-driven FURTHER INFORMATION CONTACT, Spending Plan of the American Rescue repayment plans include the Income- individuals with disabilities can obtain Plan Act (ARPA) Funds. Based Repayment (IBR) plan, the Pay As this document in an accessible format. All attendees should preregister for You Earn Repayment (PAYE) plan, and The Department will provide the the Webinar. To pre-register for the the Revised Pay As You Earn requestor with an accessible format that Webinar, please visit: https:// Repayment (REPAYE) plan. The IBR, may include Rich Text Format (RTF) or attendee.gotowebinar.com/register/ PAYE, and REPAYE plans provide text format (txt), a thumb drive, an MP3 5606127629749658381. lower payment amounts than the ICR file, braille, large print, audiotape, or plan for most borrowers. compact disc, or other accessible format. Dated: April 9, 2021. A Direct Loan borrower who repays Electronic Access to This Document: Alberta E. Mills, under the ICR plan pays the lesser of: (1) The official version of this document is Commission Secretary. The monthly amount that would be the document published in the Federal [FR Doc. 2021–07689 Filed 4–12–21; 11:15 am] required over a 12-year repayment Register. You may access the official BILLING CODE 6355–01–P period with fixed payments, multiplied edition of the Federal Register and the by an income percentage factor; or (2) 20 Code of Federal Regulations at percent of discretionary income. www.govinfo.gov. At this site, you can

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view this document, as well as all other You may also access documents of the Program Authority: 20 U.S.C. 1087 et seq. documents of this Department Department published in the Federal Robin Minor, published in the Federal Register, in Register by using the article search text or Portable Document Format feature at www.federalregister.gov. Acting Chief Operating Officer, Federal Student Aid. (PDF). To use PDF, you must have Specifically, through the advanced Adobe Acrobat Reader, which is search feature at this site, you can limit Attachment 1—Income Percentage available free at this site. your search to documents published by Factors for 2021 the Department.

INCOME PERCENTAGE FACTORS FOR 2021

Single Married/head of household AGI % Factor AGI % Factor

$12,596 ...... 55.00 $12,596 ...... 50.52 $17,332 ...... 57.79 $19,875 ...... 56.68 $22,302 ...... 60.57 $23,684 ...... 59.56 $27,385 ...... 66.23 $30,964 ...... 67.79 $32,238 ...... 71.89 $38,359 ...... 75.22 $38,359 ...... 80.33 $48,180 ...... 87.61 $48,180 ...... 88.77 $60,425 ...... 100.00 $60,426 ...... 100.00 $72,676 ...... 100.00 $72,676 ...... 100.00 $91,051 ...... 109.40 $87,347 ...... 111.80 $121,666 ...... 125.00 $111,844 ...... 123.50 $164,531 ...... 140.60 $158,410 ...... 141.20 $230,104 ...... 150.00 $181,631 ...... 150.00 $376,006 ...... 200.00 $323,516 ...... 200.00

Attachment 2—Examples of the in Attachment 1. If an AGI is not listed M = P × <(I ÷ 12) ÷ [1¥ {1 + (I ÷ 12)} Calculations of Monthly Repayment in the income percentage factors table in ∧¥N]> Amounts Attachment 1, the applicable income In the formula— General notes about the examples in percentage can be calculated by • M is the monthly payment amount; this attachment: following the instructions under the • P is the outstanding principal balance of • We have a calculator that borrowers ‘‘Interpolation’’ heading later in this the loan at the time the loan entered can use to estimate what their payment attachment. repayment; • • amounts would be under the ICR plan. Married borrowers may repay their I is the annual interest rate on the loan, The calculator is called the ‘‘Loan Direct Loans jointly under the ICR plan. expressed as a decimal (for example, for If a married couple elects this option, a loan with an interest rate of 6 percent, Simulator’’ and is available at 0.06); and studentaid.gov/loan-simulator. Based on we add the outstanding balance on the • Direct Loans of each borrower and we N is the total number of months in the information entered into the calculator repayment period (for example, for a by the borrower (for example, income, add together both borrowers’ AGIs to loan with a 12-year repayment period, family size, and tax filing status), this determine a joint ICR payment amount. 144 months). calculator provides a detailed, We then prorate the joint payment amount for each borrower based on the For example, assume that Billy has a individualized assessment of a $10,000 Direct Unsubsidized Loan with borrower’s loans and repayment plan proportion of that borrower’s debt to the total outstanding balance. We bill each an interest rate of 6 percent. options, including the ICR plan. Step 1: To solve for M, first simplify • The interest rates used in the borrower separately. the numerator of the fraction by which examples are for illustration only. The • For example, if a married couple, we multiply P, the outstanding actual interest rates on an individual John and Briana, has a total outstanding principal balance. To do this divide I borrower’s Direct Loans depend on the Direct Loan debt of $60,000, of which (the interest rate expressed as a decimal) loan type and when the postsecondary $40,000 belongs to John and $20,000 to by 12. In this example, Billy’s interest institution first disbursed the Direct Briana, we would apportion 67 percent rate is 6 percent. As a decimal, 6 percent Loan to the borrower. of the monthly ICR payment to John and is 0.06. • The Poverty Guideline amounts the remaining 33 percent to Briana. To • ÷ used in the examples are from the 2021 take advantage of a joint ICR payment, 0.06 12 = 0.005 U.S. Department of Health and Human married couples need not file taxes Step 2: Next, simplify the Services (HHS) Poverty Guidelines for jointly; they may file separately and denominator of the fraction by which the 48 contiguous States and the District subsequently provide the other spouse’s we multiply P. To do this divide I (the of Columbia. Different Poverty tax information to the borrower’s interest rate expressed as a decimal) by Guidelines apply to residents of Alaska Federal loan servicer. 12. Then, add one. Next, raise the sum and Hawaii. The Poverty Guidelines for Calculating the monthly payment of the two figures to the negative power 2021 were published in the Federal amount using a standard amortization that corresponds to the length of the Register on February 1, 2021 (86 FR and a 12-year repayment period. repayment period in months. In this 7732). The formula to amortize a loan with example, because we are amortizing a • All of the examples use an income a standard schedule (in which each loan to calculate the monthly payment percentage factor corresponding to an payment is the same over the course of amount under the ICR plan, the adjusted gross income (AGI) in the table the repayment period) is as follows: applicable figure is 12 years, which is

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144 months. Finally, subtract the result PAYE and REPAYE plans. However, they would have a combined monthly from one. Kesha’s payment would be $161.48 payment under the REPAYE plan of • 0.06 ÷ 12 = 0.005 under the IBR plan, which is higher $541.01. • 1 + 0.005 = 1.005 than the payment she would have under Step 6: Because Paul and Jesse are • 1.005 ∧ ¥144 = 0.48762628 the ICR plan. jointly repaying their Direct Loans • 1¥0.48762628 = 0.51237372 Example 2. Paul is married to Jesse under the ICR plan, the monthly Step 3: Next, resolve the fraction by and they have no dependents. They file payment amount calculated under Step dividing the result from Step 1 by the their Federal income tax return jointly. 5 applies to Paul’s and Jesse’s combined result from Step 2. Paul has a Direct Loan balance of loans. To determine the amount for • 0.005 ÷ 0.51237372 = 0.0097585 $10,000, and Jesse has a Direct Loan which each borrower will be balance of $15,000. Each of their Direct responsible, prorate the amount Step 4: Finally, solve for M, the Loans has an interest rate of 6 percent. calculated under Step 4 by each monthly payment amount, by Paul and Jesse have a combined AGI spouse’s share of the combined Direct multiplying the outstanding principal of $91,051 and are repaying their loans Loan debt. Paul has a Direct Loan debt balance of the loan by the result of Step jointly under the ICR plan (for general of $10,000 and Jesse has a Direct Loan 3. • × information regarding joint ICR debt of $15,000. For Paul, the monthly $10,000 0.0097585 = $97.59 payments for married couples, see the payment amount will be: The remainder of the examples in this fifth and sixth bullets under the heading • $10,000 ÷ ($10,000 + $15,000) = 40 attachment will only show the results of ‘‘General notes about the examples in percent the formula. In each of the examples, this attachment’’). • 0.40 × $266.90 = $106.76 the Direct Loan amounts represent the Step 1: Add Paul’s and Jesse’s Direct For Jesse, the monthly payment amount outstanding principal balance at the Loan balances to determine their will be: time the loans entered repayment. combined aggregate loan balance: • $15,000 ÷ ($10,000 + $15,000) = 60 Example 1. Kesha is single with no • $10,000 + $15,000 = $25,000 percent dependents and has $15,000 in Direct • 0.60 × $266.90 = $160.14 Subsidized and Unsubsidized Loans. Step 2: Determine the combined The interest rate on Kesha’s loans is 6 monthly payment amount for Paul and Example 3. Santiago is single with no percent, and she has an AGI of $32,238. Jesse based on what both borrowers dependents and has a combined balance Step 1: Determine the total monthly would pay over 12 years using standard of $60,000 in Direct Subsidized and payment amount based on what Kesha amortization. To do this, use the Unsubsidized Loans. Each of Santiago’s would pay over 12 years using standard formula that precedes Example 1. In this loans has an interest rate of 6 percent, amortization. To do this, use the example, their combined monthly and Santiago’s AGI is $38,359. formula that precedes Example 1. In this payment amount would be $243.96. Step 1: Determine the total monthly example, the monthly payment amount Step 3: Multiply the result of Step 2 payment amount based on what would be $146.38. by the income percentage factor shown Santiago would pay over 12 years using Step 2: Multiply the result of Step 1 in the income percentage factors table standard amortization. To do this, use by the income percentage factor shown (see Attachment 1 to this notice) that the formula that precedes Example 1. In in the income percentage factors table corresponds to Paul and Jesse’s this example, the monthly payment (see Attachment 1 to this notice) that combined AGI. In this example, the amount would be $585.51. corresponds to Kesha’s AGI. In this combined AGI of $91,051 corresponds Step 2: Multiply the result of Step 1 example, an AGI of $32,238 corresponds to an income percentage factor of 109.40 by the income percentage factor shown to an income percentage factor of 71.89 percent. in the income percentage factors table percent. • 1.094 × $243.96 = $266.90 (see Attachment 1 to this notice) that • 0.7189 × $146.38 = $105.23 Step 4: Now, determine the monthly corresponds to Santiago’s AGI. In this payment amount equal to 20 percent of example, an AGI of $38,359 corresponds Step 3: Now, determine the monthly to an income percentage factor of 80.33 payment amount equal to 20 percent of Paul and Jesse’s combined discretionary income (discretionary income is AGI percent. Kesha’s discretionary income • × (discretionary income is AGI minus the minus the HHS Poverty Guideline 0.8033 $585.51 = $470.34 HHS Poverty Guideline amount for a amount for a borrower’s family size and Step 3: Now, determine the monthly borrower’s family size and State of State of residence). To do this, subtract payment amount equal to 20 percent of residence). To do this, subtract the HHS the Poverty Guideline amount for a Santiago’s discretionary income Poverty Guideline amount for a family family of two from the combined AGI, (discretionary income is AGI minus the of one from Kesha’s AGI, multiply the multiply the result by 20 percent, and HHS Poverty Guideline amount for a result by 20 percent, and then divide by then divide by 12: borrower’s family size and State of 12: • $91,051¥$17,420 = $73,631 residence). To do this, subtract the HHS • $32,238¥$12,880 = $19,358 • $73,631 × 0.20 = $14,726.20 Poverty Guideline amount for a family • $19,358 × 0.20 = $3,871.60 • $14,726.20 ÷ 12 = $1,227.18 of one from Santiago’s AGI, multiply the • $3,871.60 ÷ 12 = $322.63 Step 5: Compare the amount from result by 20 percent, and then divide by Step 4: Compare the amount from Step 3 with the amount from Step 4. 12: • ¥ Step 2 with the amount from Step 3. In Paul and Jesse would jointly pay the $38,359 $12,880 = $25,479 • × this example, Kesha would pay the amount calculated under Step 3 $25,479 0.20 = $5,095.80 • ÷ amount calculated under Step 2 ($266.90), since this is the lesser of the $5,095.80 12 = $424.65 ($105.23), since this is the lesser of the two amounts. Step 4: Compare the amount from two payment amounts. Note: For Paul and Jesse, the ICR plan Step 2 with the amount from Step 3. In Note: Kesha would have a lower provides the lowest monthly payment of this example, Santiago would pay the payment under other income-driven any income-driven repayment plan amount calculated under Step 3 repayment plans. Specifically, Kesha’s available. Paul and Jesse would not be ($424.65), since this is the lesser of the payment would be $107.65 under the eligible for the IBR or PAYE plans, and two amounts.

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Note: Santiago would have a lower • 100.00 percent¥88.77 percent = 11.23 Attachment 3—Charts Showing Sample payment under each of the other percent Income-Driven Repayment Amounts for income-driven plans. Specifically, Step 4: Subtract from Jocelyn’s AGI Single and Married Borrowers Santiago’s payment would be $158.66 the closest AGI shown on the chart that under the PAYE and REPAYE plans and is less than Jocelyn’s AGI of $50,000: Below are two charts that provide $237.99 under the IBR plan. • $50,000¥$48,180 = $1,820 first-year payment amount estimates for a variety of loan debt sizes and AGIs Interpolation. If an AGI is not Step 5: Divide the result of Step 4 by included on the income percentage the income interval determined in Step under each of the income-driven factor table, calculate the income 2: repayment plans and the 10-Year percentage factor through linear • $1,820 ÷ $12,246 = 14.86 percent Standard Repayment Plan. The first interpolation. For example, assume that chart is for single borrowers who have Step 6: Multiply the result of Step 5 Jocelyn is single with an AGI of $50,000. a family size of one. The second chart by the income percentage factor interval Step 1: Find the closest AGI listed is for a borrower who is married or a that is less than Jocelyn’s AGI of that was calculated in Step 3: • × head of household and who has a family $50,000 ($48,180) and the closest AGI 11.23 percent 14.86 percent = 1.67 percent size of three. The calculations in listed that is greater than Jocelyn’s AGI Attachment 3 assume that the loan debt Step 7: Add the result of Step 6 to the of $50,000 ($60,426). has an interest rate of 6 percent. For lower of the two income percentage Step 2: Subtract the lower amount married borrowers, the calculations from the higher amount (for this factors used in Step 3 to calculate the assume that the borrower files a joint discussion we will call the result the income percentage factor interval for an Federal income tax return and that the ‘‘income interval’’): AGI of $50,000: • ¥ • 1.67 percent + 88.77 percent = 90.44 borrower’s spouse does not have Federal $60,426 $48,180 = $12,246 student loans. A field with a ‘‘-’’ Step 3: Determine the difference percent (rounded to the nearest hundredth) character indicates that the borrower in between the two income percentage the example would not be eligible to factors that correspond to the AGIs used The result is the income percentage enter the applicable income-driven in Step 2 (for this discussion, we will factor that we will use to calculate repayment plan based on the borrower’s call the result the ‘‘income percentage Jocelyn’s monthly repayment amount AGI, loan debt, and family size. factor interval’’): under the ICR plan.

SAMPLE FIRST-YEAR MONTHLY REPAYMENT AMOUNTS FOR A SINGLE BORROWER

Family Size = 1 AGI Plan $20,000 $40,000 $60,000 $80,000 $100,000

$20,000 ICR ...... 116 160 195 207 230 IBR ...... 9 — — — — PAYE ...... 6 172 — — — REPAYE ...... 6 172 339 506 672 10-Year Standard ...... 222 222 222 222 222 $40,000 ICR ...... 119 319 390 413 460 IBR ...... 9 259 — — — PAYE ...... 6 172 339 — — REPAYE ...... 6 172 339 506 672 10-Year Standard ...... 444 444 444 444 444 Initial Debt ... $60,000 ICR ...... 119 452 586 620 690 IBR ...... 9 259 509 — — PAYE ...... 6 172 339 506 — REPAYE ...... 6 172 339 506 672 10-Year Standard ...... 666 666 666 666 666 $80,000 ICR ...... 119 452 781 827 920 IBR ...... 9 259 509 759 — PAYE ...... 6 172 339 506 672 REPAYE ...... 6 172 339 506 672 10-Year Standard ...... 888 888 888 888 888 $100,000 ICR ...... 119 452 785 1,033 1,150 IBR ...... 9 259 509 759 1,009 PAYE ...... 6 172 339 506 672 REPAYE ...... 6 172 339 506 672 10-Year Standard...... 1,110 1,110 1,110 1,110 1,110

SAMPLE FIRST-YEAR MONTHLY REPAYMENT AMOUNTS FOR A MARRIED OR HEAD-OF-HOUSEHOLD BORROWER

Family Size = 3 AGI Plan $20,000 $40,000 $60,000 $80,000 $100,000

$20,000 ICR ...... 0 151 195 202 222 IBR ...... 0 88 — — — PAYE ...... 0 59 — — — REPAYE ...... 0 59 226 392 559 10-Year Standard ...... 222 222 222 222 222

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SAMPLE FIRST-YEAR MONTHLY REPAYMENT AMOUNTS FOR A MARRIED OR HEAD-OF-HOUSEHOLD BORROWER— Continued

Family Size = 3 AGI Plan $20,000 $40,000 $60,000 $80,000 $100,000

$40,000 ICR ...... 0 301 390 405 445 IBR ...... 0 88 338 — — PAYE ...... 0 62 226 392 — REPAYE ...... 0 62 226 392 559 10-Year Standard ...... 444 444 444 444 444 Initial Debt ... $60,000 ICR ...... 0 301 586 607 667 IBR ...... 0 88 338 588 — PAYE ...... 0 59 226 392 559 REPAYE ...... 0 59 226 392 559 10-Year Standard ...... 666 666 666 666 666 $80,000 ICR ...... 0 301 634 810 890 IBR ...... 0 88 338 588 838 PAYE ...... 0 59 226 392 559 REPAYE ...... 0 59 226 392 559 10-Year Standard ...... 888 888 888 888 888 $100,000 ICR ...... 0 301 634 967 1,112 IBR ...... 0 88 338 588 38 PAYE ...... 0 59 226 392 559 REPAYE ...... 0 59 226 392 559 10-Year Standard...... 1,110 1,110 1,110 1,110 1,110

[FR Doc. 2021–07605 Filed 4–13–21; 8:45 am] Commission’s Home Page (http:// DEPARTMENT OF ENERGY BILLING CODE 4000–01–P ferc.gov) using the ‘‘eLibrary’’ link. Enter the docket number excluding the Federal Energy Regulatory last three digits in the docket number Commission DEPARTMENT OF ENERGY field to access the document. At this time, the Commission has suspended [Docket No. ER21–1638–000] Federal Energy Regulatory access to the Commission’s Public Daylight I, LLC, Edwards Solar Line I, Commission Reference Room, due to the LLC, Sanborn Solar Line I, LLC; [Docket No. NJ21–10–000] proclamation declaring a National Supplemental Notice That Initial Emergency concerning the Novel Market-Based Rate Filing Includes Oncor Electric Delivery Company LLC; Coronavirus Disease (COVID–19), issued Notice of Filing Request for Blanket Section 204 by the President on March 13, 2020. For Authorization Take notice that on April 6, 2021, assistance, contact the Federal Energy Oncor Electric Delivery Company LLC Regulatory Commission at This is a supplemental notice in the submitted its tariff filing: Oncor TFO [email protected] or call above-referenced proceeding of Daylight Tariff Rate Changes Effective March 26, toll-free, (886) 208–3676 or TYY, (202) I, LLC, Edwards Solar Line I, LLC, and 2021 to be effective 3/26/2021. 502–8659. Sanborn Solar Line I, LLC, LLC’s application for market-based rate Any person desiring to intervene or to The Commission strongly encourages protest this filing must file in authority, with an accompanying rate electronic filings of comments, protests accordance with Rules 211 and 214 of tariff, noting that such application and interventions in lieu of paper using the Commission’s Rules of Practice and includes a request for blanket Procedure (18 CFR 385.211, 385.214). the ‘‘eFiling’’ link at http:// authorization, under 18 CFR part 34, of Protests will be considered by the www.ferc.gov. Persons unable to file future issuances of securities and Commission in determining the electronically may mail similar assumptions of liability. appropriate action to be taken but will pleadings to the Federal Energy Any person desiring to intervene or to not serve to make protestants parties to Regulatory Commission, 888 First Street protest should file with the Federal the proceeding. Any person wishing to NE, Washington, DC 20426. Hand Energy Regulatory Commission, 888 become a party must file a notice of delivered submissions in docketed First Street NE, Washington, DC 20426, intervention or motion to intervene, as proceedings should be delivered to in accordance with Rules 211 and 214 appropriate. Such notices, motions, or Health and Human Services, 12225 of the Commission’s Rules of Practice protests must be filed on or before the Wilkins Avenue, Rockville, Maryland and Procedure (18 CFR 385.211 and comment date. On or before the 20852. 385.214). Anyone filing a motion to comment date, it is not necessary to Comment Date: 5:00 p.m. Eastern intervene or protest must serve a copy of that document on the Applicant. serve motions to intervene or protests Time on April 27, 2021. on persons other than the Applicant. Notice is hereby given that the In addition to publishing the full text Dated: April 7, 2021. deadline for filing protests with regard of this document in the Federal Nathaniel J. Davis, Sr., to the applicant’s request for blanket Register, the Commission provides all Deputy Secretary. authorization, under 18 CFR part 34, of interested persons an opportunity to [FR Doc. 2021–07617 Filed 4–13–21; 8:45 am] future issuances of securities and view and/or print the contents of this assumptions of liability, is April 28, BILLING CODE 6717–01–P document via the internet through the 2021.

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The Commission encourages Comments Due: 5 p.m. ET 4/29/21. and NYISO SA No. 2615 to be effective electronic submission of protests and Docket Numbers: ER21–628–002. 3/1/2021. interventions in lieu of paper, using the Applicants: Harry Allen Solar Energy Filed Date: 4/8/21. FERC Online links at http:// LLC. Accession Number: 20210408–5138. www.ferc.gov. To facilitate electronic Description: Compliance filing: Harry Comments Due: 5 p.m. ET 4/29/21. service, persons with internet access Allen Solar Energy to be effective 3/1/ who will eFile a document and/or be 2021. Docket Numbers: ER21–1642–000. listed as a contact for an intervenor Filed Date: 4/8/21. Applicants: Southern California must create and validate an Accession Number: 20210408–5207. Edison Company. eRegistration account using the Comments Due: 5 p.m. ET 4/29/21. Description: § 205(d) Rate Filing: eRegistration link. Select the eFiling Docket Numbers: ER21–1636–000. ED&P Letter Agreement Falcon Energy link to log on and submit the Applicants: Midcontinent Storage Holdings, LLC—Condor Storage intervention or protests. Independent System Operator, Inc. to be effective 4/9/2021. Persons unable to file electronically Description: § 205(d) Rate Filing: Filed Date: 4/8/21. may mail similar pleadings to the 2021–04–07_Attachments FF–3 Clean- Accession Number: 20210408–5150. Federal Energy Regulatory Commission, Up to be effective 6/7/2021. 888 First Street NE, Washington, DC Comments Due: 5 p.m. ET 4/29/21. Filed Date: 4/7/21. 20426. Hand delivered submissions in Docket Numbers: ER21–1643–000. Accession Number: 20210407–5308. docketed proceedings should be Comments Due: 5 p.m. ET 4/28/21. Applicants: Southwest Power Pool, delivered to Health and Human Inc. Docket Numbers: ER21–1637–000. Services, 12225 Wilkins Avenue, Description: § 205(d) Rate Filing: Rockville, Maryland 20852. Applicants: ISO New England Inc., New England Power Pool Participants 2450R2 KEPCO NITSA NOA In addition to publishing the full text Cancellation to be effective 12/1/2020. of this document in the Federal Committee. Filed Date: 4/8/21. Register, the Commission provides all Description: § 205(d) Rate Filing: ISO– interested persons an opportunity to NE & NEPOOL; Joint Filing Regarding Accession Number: 20210408–5157. view and/or print the contents of this Offer Review Trigger Prices to be Comments Due: 5 p.m. ET 4/29/21. document via the internet through the effective 6/8/2021. Take notice that the Commission Commission’s Home Page (http:// Filed Date: 4/7/21. received the following qualifying www.ferc.gov) using the ‘‘eLibrary’’ link. Accession Number: 20210407–5305. facility filings: Enter the docket number excluding the Comments Due: 5 p.m. ET 4/28/21. Docket Numbers: QF16–905–000. last three digits in the docket number Docket Numbers: ER21–1638–000. field to access the document. At this Applicants: Daylight I, LLC, Edwards Applicants: Ampersand Chasm Falls time, the Commission has suspended Solar Line I, LLC, Sanborn Solar Line I, Hydro LLC. access to the Commission’s Public LLC. Description: Refund Report of Reference Room, due to the Description: Request for Waivers and Ampersand Chasm Falls Hydro LLC. proclamation declaring a National Blanket Authorization of Daylight I, Filed Date: 4/8/21. Emergency concerning the Novel LLC, et al. Accession Number: 20210408–5191. Coronavirus Disease (COVID–19), issued Filed Date: 4/2/21. Comments Due: 5 p.m. ET 4/29/21. by the President on March 13, 2020. For Accession Number: 20210402–5306. The filings are accessible in the assistance, contact the Federal Energy Comments Due: 5 p.m. ET 4/23/21. Commission’s eLibrary system (https:// Regulatory Commission at Docket Numbers: ER21–1639–000. elibrary.ferc.gov/idmws/search/ [email protected] or call Applicants: PJM Interconnection, fercgensearch.asp) by querying the toll-free, (886) 208–3676 or TYY, (202) L.L.C. docket number. 502–8659. Description: § 205(d) Rate Filing: Any person desiring to intervene or Dated: April 8, 2021. Amendment to ISA, Service Agreement No. 5813; Queue No. AD2–072 to be protest in any of the above proceedings Nathaniel J. Davis, Sr., must file in accordance with Rules 211 Deputy Secretary. effective 9/29/2020. Filed Date: 4/8/21. and 214 of the Commission’s [FR Doc. 2021–07637 Filed 4–13–21; 8:45 am] Accession Number: 20210408–5038. Regulations (18 CFR 385.211 and BILLING CODE 6717–01–P Comments Due: 5 p.m. ET 4/29/21. 385.214) on or before 5:00 p.m. Eastern time on the specified comment date. Docket Numbers: ER21–1640–000. Protests may be considered, but DEPARTMENT OF ENERGY Applicants: Pacific Gas and Electric intervention is necessary to become a Company. party to the proceeding. Federal Energy Regulatory Description: Notice of Termination of eFiling is encouraged. More detailed Commission Service Agreement Nos. 52 and 53 for information relating to filing Berry Petroleum—Tannehill and Berry requirements, interventions, protests, Combined Notice of Filings #1 Petroleum University of Pacific Gas and service, and qualifying facilities filings Electric Company. Take notice that the Commission can be found at: http://www.ferc.gov/ Filed Date: 4/7/21. received the following electric rate docs-filing/efiling/filing-req.pdf. For Accession Number: 20210407–5336. filings: other information, call (866) 208–3676 Comments Due: 5 p.m. ET 4/28/21. Docket Numbers: ER16–2449–002. (toll free). For TTY, call (202) 502–8659. Docket Numbers: ER21–1641–000. Applicants: Boulder Solar II, LLC. Dated: April 8, 2021. Description: Compliance filing: Applicants: New York Transco, LLC, Boulder Solar Compliance Filing to be New York Independent System Nathaniel J. Davis, Sr., effective 9/1/2016. Operator, Inc. Deputy Secretary. Filed Date: 4/8/21. Description: § 205(d) Rate Filing: 205 [FR Doc. 2021–07635 Filed 4–13–21; 8:45 am] Accession Number: 20210408–5220. CEII EPCA among Transco, Castleton BILLING CODE 6717–01–P

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DEPARTMENT OF ENERGY access to the Commission’s Public 250kW and estimated average annual Reference Room, due to the generation is not yet determined. Federal Energy Regulatory proclamation declaring a National Applicant Contact: Stephen Barrett, Commission Emergency concerning the Novel 1596 Main Street, Concord, [Docket No. OR21–8–000] Coronavirus Disease (COVID–19), issued Massachusetts, 01742; phone: (339) by the President on March 13, 2020. For 234–2696; email: steve@ Capline Pipeline Company LLC; Notice assistance with any FERC Online barrettenergygroup.com. of Petition for Declaratory Order service, please email FERC Contact: Kristen Sinclair; [email protected], or call phone: (202) 502–6587; email: Take notice that on March 31, 2021, (866) 208–3676 (toll free). For TTY, call [email protected]. pursuant to Rule 207(a)(2) of the Federal (202) 502–8659. Deadline for filing comments, motions Energy Regulatory Commission’s Comment Date: 5:00 p.m. Eastern time to intervene, competing applications (Commission) Rules of Practice and on April 30, 2021. (without notices of intent), or notices of Procedure, 18 CFR 385.207(a)(2) (2019), intent to file competing applications: 60 Dated: April 8, 2021. Capline Pipeline Company LLC days from the issuance of this notice. (‘‘Capline’’) hereby requests that the Kimberly D. Bose, Competing applications and notices of Commission issue a declaratory order Secretary. intent must meet the requirements of 18 approving various requested rulings [FR Doc. 2021–07627 Filed 4–13–21; 8:45 am] CFR 4.36. related to a proposed reversal of BILLING CODE 6717–01–P The Commission strongly encourages Capline’s existing pipeline system electronic filing. Please file comments, (‘‘Capline Reversal’’). The Capline motions to intervene, notices of intent, Reversal, once completed, will allow DEPARTMENT OF ENERGY and competing applications using the shippers to transport various grades of Commission’s eFiling system at http:// crude oil from an origin point in Patoka, Federal Energy Regulatory www.ferc.gov/docs-filing/efiling.asp. Illinois to a destination point in St. Commission Commenters can submit brief comments James, Louisiana, all as more fully [Project No. 15110–000] up to 6,000 characters, without prior explained in the petition. registration, using the eComment system Any person desiring to intervene or to Littoral Power Systems, Inc.; Notice of at http://www.ferc.gov/docs-filing/ protest this filing must file in Preliminary Permit Application ecomment.asp. You must include your accordance with Rules 211 and 214 of Accepted for Filing and Soliciting name and contact information at the end the Commission’s Rules of Practice and Comments, Motions To Intervene, and of your comments. For assistance, Procedure (18 CFR 385.211, 385.214). Competing Applications please contact FERC Online Support at Protests will be considered by the [email protected], (866) On March 17, 2021, the Littoral Power Commission in determining the 208–3676 (toll free), or (202) 502–8659 Systems, Inc. filed an application for a appropriate action to be taken, but will (TTY). not serve to make protestants parties to preliminary permit, pursuant to section More information about this project, the proceeding. Any person wishing to 4(f) of the Federal Power Act, proposing including a copy of the application, can become a party must file a notice of to study the feasibility of the proposed be viewed or printed on the ‘‘eLibrary’’ intervention or motion to intervene, as Kootznahoo Inlet Tidal Power Project link of Commission’s website at http:// appropriate. Such notices, motions, or No. 15110–000, to be located on www.ferc.gov/docs-filing/elibrary.asp. protests must be filed on or before the Kootznahoo Inlet and adjacent lands of Enter the docket number (P–15110) in comment date. Anyone filing a motion the City of Angoon, in Hoonah-Angoon the docket number field to access the to intervene or protest must serve a copy Borough, Alaska. The sole purpose of a document. For assistance, contact FERC of that document on the Petitioner. preliminary permit, if issued, is to grant Online Support. The Commission encourages the permit holder priority to file a electronic submission of protests and license application during the permit Dated: April 7, 2021. interventions in lieu of paper using the term. A preliminary permit does not Nathaniel J. Davis, Sr., ‘‘eFiling’’ link at http://www.ferc.gov. authorize the permit holder to perform Deputy Secretary. Persons unable to file electronically may any land-disturbing activities or [FR Doc. 2021–07618 Filed 4–13–21; 8:45 am] mail similar pleadings to the Federal otherwise enter upon lands or waters BILLING CODE 6717–01–P Energy Regulatory Commission, 888 owned by others without the owners’ First Street NE, Washington, DC 20426. express permission. Hand delivered submissions in The proposed project would consist of DEPARTMENT OF ENERGY docketed proceedings should be the following: (1) A partially buoyant delivered to Health and Human submersed tidal current energy Federal Energy Regulatory Services, 12225 Wilkins Avenue, converter with a 3-meter-diameter rotor Commission Rockville, Maryland 20852. tethered to an anchor post driven into Combined Notice of Filings In addition to publishing the full text the seabed in Kootznahoo inlet of this document in the Federal generating up to 300 kW; (2) a dual Take notice that the Commission has Register, the Commission provides all electric cable, each with a capacity of received the following Natural Gas interested persons an opportunity to 13.2 kV, connecting to an on-land Pipeline Rate and Refund Report filings: view and/or print the contents of this storage system; and (3) an on-land Docket Numbers: RP21–718–000. document via the internet through the energy storage system in the City of Applicants: Rover Pipeline LLC. Commission’s Home Page (http:// Angoon consisting of individual Description: § 4(d) Rate Filing: www.ferc.gov) using the ‘‘eLibrary’’ link. lithium-ion battery cells. The Summary of Negotiated Rate Capacity Enter the docket number excluding the Kootznahoo Inlet Tidal Power Project Release Agreements on 4–5–21 to be last three digits in the docket number does not intend to directly connect to effective 4/1/2021. field to access the document. At this the Angoon electricity system. The Filed Date: 4/5/21. time, the Commission has suspended capacity of the on-land storage system is Accession Number: 20210405–5577.

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Comments Due: 5 p.m. ET 4/19/21. Docket Numbers: RP21–723–000. Docket Numbers: ER21–1018–001. Docket Numbers: RP21–719–000. Applicants: Northern Natural Gas Applicants: New York Independent Applicants: Florida Southeast Company. System Operator, Inc. Connection, LLC. Description: § 4(d) Rate Filing: Description: Tariff Amendment: Description: § 4(d) Rate Filing: Florida 20210407 Negotiated Rate to be effective Deficiency Response—Operating and Southeast Connection Housekeeping 4/8/2021. Supplemental Reserves to be effective Filing to be effective 4/7/2021. Filed Date: 4/7/21. 12/31/9998. Filed Date: 4/6/21. Accession Number: 20210407–5249. Filed Date: 4/7/21. Accession Number: 20210406–5662. Comments Due: 5 p.m. ET 4/19/21. Accession Number: 20210407–5241. Comments Due: 5 p.m. ET 4/19/21. The filings are accessible in the Comments Due: 5 p.m. ET 4/28/21. Docket Numbers: RP21–720–000. Commission’s eLibrary system (https:// Docket Numbers: ER21–1630–000. Applicants: WBI Energy elibrary.ferc.gov/idmws/search/ Applicants: PJM Interconnection, Transmission, Inc. fercgensearch.asp) by querying the L.L.C. Description: § 4(d) Rate Filing: 2021 docket number. Description: Tariff Cancellation: New GMS System—Uncommitted Any person desiring to intervene or Notice of Cancellation of WMPA, SA Capacity to be effective 5/7/2021. protest in any of the above proceedings No. 4846; Queue No. AC2–144 to be Filed Date: 4/6/21. must file in accordance with Rules 211 effective 3/17/2021. Accession Number: 20210406–6056. and 214 of the Commission’s Filed Date: 4/7/21. Comments Due: 5 p.m. ET 4/19/21. Regulations (18 CFR 385.211 and Accession Number: 20210407–5126. The filings are accessible in the 385.214) on or before 5:00 p.m. Eastern Comments Due: 5 p.m. ET 4/28/21. Commission’s eLibrary system (https:// time on the specified comment date. Docket Numbers: ER21–1631–000. elibrary.ferc.gov/idmws/search/ Protests may be considered, but Applicants: PJM Interconnection, fercgensearch.asp) by querying the intervention is necessary to become a L.L.C. docket number. party to the proceeding. Description: Tariff Cancellation: Any person desiring to intervene or eFiling is encouraged. More detailed Notice of Cancellation of WMPA, SA protest in any of the above proceedings information relating to filing No. 4842; Queue No. AC2–145 to be must file in accordance with Rules 211 requirements, interventions, protests, effective 3/17/2021. and 214 of the Commission’s service, and qualifying facilities filings Filed Date: 4/7/21. Regulations (18 CFR 385.211 and can be found at: http://www.ferc.gov/ Accession Number: 20210407–5127. 385.214) on or before 5:00 p.m. Eastern docs-filing/efiling/filing-req.pdf. For Comments Due: 5 p.m. ET 4/28/21. time on the specified comment date. other information, call (866) 208–3676 Docket Numbers: ER21–1632–000. Protests may be considered, but (toll free). For TTY, call (202) 502–8659. Applicants: EcoPlus Power, LLC. intervention is necessary to become a Dated: April 8, 2021. Description: Baseline eTariff Filing: party to the proceeding. Nathaniel J. Davis, Sr., Market-Based Rate Tariff Application to eFiling is encouraged. More detailed Deputy Secretary. be effective 4/8/2021. information relating to filing [FR Doc. 2021–07636 Filed 4–13–21; 8:45 am] Filed Date: 4/7/21. requirements, interventions, protests, Accession Number: 20210407–5140. BILLING CODE 6717–01–P service, and qualifying facilities filings Comments Due: 5 p.m. ET 4/28/21. can be found at: http://www.ferc.gov/ Docket Numbers: ER21–1633–000. docs-filing/efiling/filing-req.pdf. For DEPARTMENT OF ENERGY Applicants: Elk Hill Solar 2, LLC. other information, call (866) 208–3676 Description: Baseline eTariff Filing: (toll free). For TTY, call (202) 502–8659. Federal Energy Regulatory Reactive Power Compensation Filing to Dated: April 7, 2021. Commission be effective 4/8/2021. Filed Date: 4/7/21. Nathaniel J. Davis, Sr., Combined Notice of Filings #1 Deputy Secretary. Accession Number: 20210407–5143. [FR Doc. 2021–07616 Filed 4–13–21; 8:45 am] Take notice that the Commission Comments Due: 5 p.m. ET 4/28/21. BILLING CODE 6717–01–P received the following electric corporate Docket Numbers: ER21–1634–000. filings: Applicants: Southern California Docket Numbers: EC21–74–000. Edison Company. DEPARTMENT OF ENERGY Applicants: Arthur Kill Power LLC, Description: § 205(d) Rate Filing: Connecticut Jet Power LLC, Devon ED&P Letter Agreement, VESI 12 LLC— Federal Energy Regulatory Power LLC, Long Beach Generation Bottleneck Energy Storage, SA No. 1133 Commission LLC, Middletown Power LLC, Montville to be effective 4/8/2021. Filed Date: 4/7/21. Combined Notice of Filings Power LLC, Oswego Harbor Power LLC, Sunrise Power Company, LLC, NRG Accession Number: 20210407–5179. Take notice that the Commission has Power Marketing LLC, Generation Comments Due: 5 p.m. ET 4/28/21. received the following Natural Gas Bridge Acquisition, LLC. Docket Numbers: ER21–1635–000. Pipeline Rate and Refund Report filings: Description: Joint Application for Applicants: PJM Interconnection, Docket Numbers: RP21–721–000. Authorization Under Section 203 of the L.L.C. Applicants: Boardwalk Storage Federal Power Act of Arthur Kill Power Description: § 205(d) Rate Filing: Company, LLC. LLC, et al. Black Start Revisions to Tariff, Schedule Description: § 4(d) Rate Filing: Filing Filed Date: 4/6/21. 6A to be effective 6/6/2021. to Correct Metadata to be effective Accession Number: 20210406–6163. Filed Date: 4/7/21. 9/25/2020. Comments Due: 5 p.m. ET 6/7/21. Accession Number: 20210407–5217. Filed Date: 4/7/21. Take notice that the Commission Comments Due: 5 p.m. ET 4/28/21. Accession Number: 20210407–5104. received the following electric rate The filings are accessible in the Comments Due: 5 p.m. ET 4/19/21. filings: Commission’s eLibrary system (https://

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elibrary.ferc.gov/idmws/search/ DEPARTMENT OF ENERGY Washington, DC 20007, Phone No. (202) fercgensearch.asp) by querying the 298–1891, Email: [email protected]. docket number. Federal Energy Regulatory FERC Contact: Christopher Chaney, Any person desiring to intervene or Commission Phone No. (202) 502–6778, Email: protest in any of the above proceedings [email protected]. must file in accordance with Rules 211 [Docket No. CD21–5–000] Qualifying Conduit Hydropower and 214 of the Commission’s Facility Description: The proposed Regulations (18 CFR 385.211 and Truckee Meadows Water Authority; project would consist of: (1) Two 500- 385.214) on or before 5:00 p.m. Eastern Notice of Preliminary Determination of kW vertical Francis turbines and time on the specified comment date. a Qualifying Conduit Hydropower synchronous generators located within Protests may be considered, but Facility and Soliciting Comments and the rebuilt Orr Ditch Pumping Facility; intervention is necessary to become a Motions To Intervene and (2) appurtenant facilities. The party to the proceeding. proposed project would have an On March 29, 2021, Truckee eFiling is encouraged. More detailed estimated annual generation of Meadows Water Authority filed a notice information relating to filing approximately 45 megawatt-hours. of intent to construct a qualifying requirements, interventions, protests, The proposed project would discharge conduit hydropower facility, pursuant service, and qualifying facilities filings water to the Truckee River, a natural to section 30 of the Federal Power Act can be found at: http://www.ferc.gov/ body of water. Because only a portion of (FPA). The proposed Highland Canal docs-filing/efiling/filing-req.pdf. For the discharge would be withdrawn Hydroelectric Project would have an other information, call (866) 208–3676 downstream by part of the same water installed capacity of 1,000 kilowatts (toll free). For TTY, call (202) 502–8659. supply system, the applicant requests (kW), and would be located on the waiver of the discharge requirement Dated: April 7, 2021. applicant’s existing municipal pipeline under 18 CFR 4.30(b)(30)(iv). Nathaniel J. Davis, Sr., system in Washoe County, Nevada. A qualifying conduit hydropower Deputy Secretary. Applicant Contact: Mr. Michael A. facility is one that is determined or [FR Doc. 2021–07615 Filed 4–13–21; 8:45 am] Swiger, Van Ness Feldman, LLP, 1050 deemed to meet all the criteria shown in BILLING CODE 6717–01–P Thomas Jefferson Street NW, the table below.

TABLE 1—CRITERIA FOR QUALIFYING CONDUIT HYDROPOWER FACILITY

Satisfies Statutory provision Description (Y/N)

FPA 30(a)(3)(A) ...... The conduit the facility uses is a tunnel, canal, pipeline, aqueduct, flume, ditch, or similar manmade Y water conveyance that is operated for the distribution of water for agricultural, municipal, or indus- trial consumption and not primarily for the generation of electricity.. FPA 30(a)(3)(C)(i) ...... The facility is constructed, operated, or maintained for the generation of electric power and uses for Y such generation only the hydroelectric potential of a non-federally owned conduit.. FPA 30(a)(3)(C)(ii) ...... The facility has an installed capacity that does not exceed 40 megawatts...... Y FPA 30(a)(3)(C)(iii) ...... On or before August 9, 2013, the facility is not licensed, or exempted from the licensing requirements Y of Part I of the FPA..

Preliminary Determination: The 385.214. Any motions to intervene must The Commission strongly encourages proposed Highland Canal Hydroelectric be received on or before the specified electronic filing. Please file motions to Project will not alter the primary deadline date for the particular intervene and comments using the purpose of the conduit system, which is proceeding. Commission’s eFiling system at http:// used to distribute water for municipal Filing and Service of Responsive www.ferc.gov/docs-filing/efiling.asp. consumption. Therefore, based upon the Documents: All filings must (1) bear in Commenters can submit brief comments above criteria, if the requested discharge all capital letters the ‘‘COMMENTS up to 6,000 characters, without prior requirement waiver is granted, registration, using the eComment system Commission staff preliminarily CONTESTING QUALIFICATION FOR A CONDUIT HYDROPOWER FACILITY’’ at http://www.ferc.gov/docs-filing/ determines that the proposal satisfies ecomment.asp. You must include your or ‘‘MOTION TO INTERVENE,’’ as the requirements for a qualifying name and contact information at the end applicable; (2) state in the heading the conduit hydropower facility, which is of your comments. For assistance, name of the applicant and the project not required to be licensed or exempted please contact FERC Online Support at number of the application to which the from licensing. [email protected], (866) filing responds; (3) state the name, Comments and Motions to Intervene: 208–3676 (toll free), or (202) 502–8659 Deadline for filing comments contesting address, and telephone number of the (TTY). In lieu of electronic filing, you whether the facility meets the qualifying person filing; and (4) otherwise comply may send a paper copy. Submissions criteria is 30 days from the issuance with the requirements of sections sent via the U.S. Postal Service must be date of this notice. 385.2001 through 385.2005 of the addressed to: Kimberly D. Bose, 1 Deadline for filing motions to Commission’s regulations. All Secretary, Federal Energy Regulatory intervene is 30 days from the issuance comments contesting Commission staff’s Commission, 888 First Street NE, Room date of this notice. preliminary determination that the 1A, Washington, DC 20426. Anyone may submit comments or a facility meets the qualifying criteria Submissions sent via any other carrier motion to intervene in accordance with must set forth their evidentiary basis. must be addressed to: Kimberly D. Bose, the requirements of Rules of Practice Secretary, Federal Energy Regulatory and Procedure, 18 CFR 385.210 and 1 18 CFR 385.2001–2005 (2020). Commission, 12225 Wilkins Avenue,

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Rockville, MD 20852. A copy of all proclamation declaring a National TIME AND DATE: April 15, 2021, 10:00 other filings in reference to this Emergency concerning the Novel a.m. application must be accompanied by Coronavirus Disease (COVID–19), issued PLACE: Open to the public via audio proof of service on all persons listed in by the President on March 13, 2020. For Webcast only. Join FERC online to listen the service list prepared by the assistance, call toll-free 1–866–208– live at http://ferc.capitolconnection.org/ Commission in this proceeding, in 3676 or email FERCOnlineSupport@ accordance with 18 CFR 385.2010. ferc.gov. For TTY, call (202) 502–8659. STATUS: Open. Locations of Notice of Intent: The Dated: April 8, 2021. MATTERS TO BE CONSIDERED: Agenda. Commission provides all interested Nathaniel J. Davis, Sr., persons an opportunity to view and/or Deputy Secretary. * Note—Items listed on the agenda may be deleted without further notice. print the contents of this document via [FR Doc. 2021–07634 Filed 4–13–21; 8:45 am] the internet through the Commission’s BILLING CODE 6717–01–P CONTACT PERSON FOR MORE INFORMATION: website at http://www.ferc.gov/docs- Kimberly D. Bose, Secretary, Telephone filing/elibrary.asp. Enter the docket (202) 502–8400. number (i.e., CD21–5) in the docket DEPARTMENT OF ENERGY For a recorded message listing items number field to access the document. struck from or added to the meeting, call You may also register online at http:// Federal Energy Regulatory (202) 502–8627. www.ferc.gov/docs-filing/ Commission This is a list of matters to be esubscription.asp to be notified via Sunshine Act Meetings considered by the Commission.It does email of new filings and issuances not include a listing of all documents related to this or other pending projects. The following notice of meeting is relevant to the items on the agenda. All Copies of the notice of intent can be published pursuant to section 3(a) of the public documents, however, may be obtained directly from the applicant. At government in the Sunshine Act (Pub. viewed on line at the Commission’s this time, the Commission has L. 94–409), 5 U.S.C.552b: website at http:// suspended access to the Commission’s AGENCY HOLDING MEETING: Federal ferc.capitolconnection.org/ using the Public Reference Room due to the Energy Regulatory Commission. eLibrary link.

1077TH MEETING—OPEN MEETING [April 15, 2021, 10:00 a.m.]

Item No. Docket No. Company

Administrative

A–1 ...... AD21–1–000 ...... Agency Administrative Matters. A–2 ...... AD21–2–000 ...... Customer Matters, Reliability, Security and Market Operations.

Electric

E–1 ...... RM20–10–000 ...... Electric Transmission Incentives Policy Under Section 219 of the Federal Power Act. E–2 ...... AD20–14–000 ...... Carbon Pricing in Organized Wholesale Electricity Markets. E–3 ...... RM19–20–000 ...... WECC Regional Reliability Standard BAL–002–WECC–3 (Contingency Reserve). E–4 ...... ER20–2436–000, ER20–2437–000, Midcontinent Independent System Operator, Inc. ER20–2437–001. E–5 ...... ER20–2423–000, ER20–2424–000, Midcontinent Independent System Operator, Inc. ER20–2424–001, ER20–2427–000, ER20–2427–001. E–6 ...... ER20–2411–000, ER20–2412–000, Midcontinent Independent System Operator, Inc. ER20–2412–001. E–7 ...... ER20–2438–000, ER20–2439–000, Midcontinent Independent System Operator, Inc. ER20–2439–001. E–8 ...... EL17–89–000 ...... American Electric Power Service Corporation v. Midcontinent Independent System Oper- ator, Inc. and Southwest Power Pool, Inc. EL19–60–000 ...... City of Prescott, Arkansas v. Southwestern Electric Power Company and Midcontinent Independent System Operator, Inc. E–9 ...... EL20–65–000 ...... New York Independent System Operator, Inc. E–10 ...... IN21–6–000 ...... PacifiCorp. E–11 ...... ER20–1708–001 ...... California State University-Channel Islands Site Authority. E–12 ...... ER20–1150–001 ...... PJM Interconnection, L.L.C. and The Dayton Power & Light Company. E–13 ...... ER20–1738–001 ...... City of Anaheim, California. E–14 ...... ER20–227–001 ...... PJM Interconnection, L.L.C. and Jersey Central Power & Light Company. E–15 ...... ER19–2585–001 ...... Florida Power & Light Company. E–16 ...... EL20–49–001 ...... Shell Energy North America (US), L.P. E–17 ...... ER16–2320–006 ...... Pacific Gas and Electric Company. E–18 ...... EL20–47–000 ...... Deseret Generation and Transmission Co–operative, Inc. E–19 ...... EL10–65–008, EL10–65–009 ...... Louisiana Public Service Commission v. Entergy Corporation, Entergy Services Inc., Entergy Louisiana, LLC, Entergy Arkansas, Inc., Entergy Mississippi, Inc., Entergy New Orleans, Inc., Entergy Gulf States Louisiana, L.L.C., and Entergy Texas, Inc. E–20 ...... Omitted ...... E–21 ...... ER21–395–000 ...... California Independent System Operator Corporation. E–22 ...... ER21–70–000 ...... Wilderness Line Holdings, LLC.

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1077TH MEETING—OPEN MEETING—Continued [April 15, 2021, 10:00 a.m.]

Item No. Docket No. Company

E–23 ...... EL20–67–000 ...... Vistra Corp., Dynegy Marketing and Trade, LLC, NextEra Energy Resources, LLC, NRG Power Marketing LLC, LS Power Associates, L.P., FirstLight Power Inc., Cogentrix En- ergy Power Management, LLC, v. Constellation Mystic Power, LLC, Exelon Generation Company, LLC, and Exelon Corporation. E–24 ...... EL20–36–001 ...... Bonneville Power Administration v. Avista Corporation. E–25 ...... EL21–18–000 ...... Kansas Electric Power Cooperative, Inc. v. Evergy Kansas Central, Inc. E–26 ...... EL20–71–000 ...... Duke Energy Indiana, LLC v. AEP Indiana Michigan Transmission Company, Inc. E–27 ...... EL21–15–000 ...... Citizens S–Line Transmission LLC. E–28 ...... ER21–424–000 ...... Michigan Electric Transmission Company, LLC.

Gas

G–1 ...... RM20–14–001 ...... Five–Year Review of the Oil Pipeline Index. G–2 ...... RP19–1634–002 ...... Kinetica Deepwater Express, LLC. RP20–788–000, RP13–1116–000, Kinetica Energy Express, LLC. RP19–54–000.

Hydro

H–1 ...... P–10809–052 ...... Boyce Hydro Power, LLC. P–10810–058, P–2785–104 ......

Certificates

C–1 ...... CP16–480–000 ...... Annova LNG Common Infrastructure, LLC. C–2 ...... CP20–456–000 ...... Enable Mississippi River Transmission, LLC. C–3 ...... CP20–470–000 ...... Washington 10 Storage Corporation and South Romeo Gas Storage Company, L.L.C. C–4 ...... CP20–487–000 ...... Northern Natural Gas Company.

Issued: April 8, 2021. SUMMARY: As part of its continuing effort control number as shown in the Nathaniel J. Davis, Sr., to reduce paperwork burdens, as SUPPLEMENTARY INFORMATION below. Deputy Secretary. required by the Paperwork Reduction FOR FURTHER INFORMATION CONTACT: For Act (PRA) of 1995, the Federal The public is invited to listen to the additional information or copies of the Communications Commission (FCC or meeting live at http:// information collection, contact Cathy the Commission) invites the general ferc.capitolconnection.org/. Anyone Williams at (202) 418–2918. To view a public and other Federal Agencies to with internet access who desires to hear copy of this information collection take this opportunity to comment on the this event can do so by navigating to request (ICR) submitted to OMB: (1) Go following information collection. www.ferc.gov’s Calendar of Events and to the web page http://www.reginfo.gov/ Pursuant to the Small Business locating this event in the Calendar. The public/do/PRAMain, (2) look for the Paperwork Relief Act of 2002, the FCC event will contain a link to its audio section of the web page called seeks specific comment on how it can webcast. The Capitol Connection ‘‘Currently Under Review,’’ (3) click on further reduce the information provides technical support for this free the downward-pointing arrow in the collection burden for small business audio webcast. It will also offer access ‘‘Select Agency’’ box below the concerns with fewer than 25 employees. to this event via phone bridge for a fee. ‘‘Currently Under Review’’ heading, (4) If you have any questions, visit http:// DATES: Written comments and select ‘‘Federal Communications ferc.capitolconnection.org/ or contact recommendations for the proposed Commission’’ from the list of agencies Shirley Al-Jarani at 703–993–3104. information collection should be presented in the ‘‘Select Agency’’ box, [FR Doc. 2021–07683 Filed 4–12–21; 11:15 am] submitted on or before May 14, 2021. (5) click the ‘‘Submit’’ button to the right of the ‘‘Select Agency’’ box, (6) BILLING CODE 6717–01–P ADDRESSES: Comments should be sent to when the list of FCC ICRs currently www.reginfo.gov/public/do/PRAMain. under review appears, look for the Title Find this particular information of this ICR and then click on the ICR collection by selecting ‘‘Currently under FEDERAL COMMUNICATIONS Reference Number. A copy of the FCC 30-day Review—Open for Public COMMISSION submission to OMB will be displayed. Comments’’ or by using the search [OMB 3060–1189; FRS 20916] function. Your comment must be SUPPLEMENTARY INFORMATION: The submitted into www.reginfo.gov per the Commission may not conduct or Information Collection Being above instructions for it to be sponsor a collection of information Submitted for Review and Approval to considered. In addition to submitting in unless it displays a currently valid Office of Management and Budget www.reginfo.gov also send a copy of Office of Management and Budget AGENCY: Federal Communications your comment on the proposed (OMB) control number. No person shall Commission. information collection to Cathy be subject to any penalty for failing to Williams, FCC, via email to PRA@ comply with a collection of information ACTION: Notice and request for fcc.gov and to [email protected]. subject to the PRA that does not display comments. Include in the comments the OMB a valid OMB control number.

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As part of its continuing effort to Nature and Extent of Confidentiality: recognize that our labeling requirement reduce paperwork burdens, as required There is no need for confidentiality with imposes additional costs on entities that by the Paperwork Reduction Act (PRA) this collection of information. manufacture Consumer Signal Boosters; of 1995 (44 U.S.C. 3501–3520), the FCC Needs and Uses: The Commission is however, on balance, we find that such invited the general public and other seeking approval from the Office of costs are outweighed by the benefits of Federal Agencies to take this Management and Budget (OMB) ensuring that consumers purchase opportunity to comment on the approval for a three-year time period for appropriate devices. Accordingly, all following information collection. this information collection requirements fixed Consumer Signal Boosters, both Comments are requested concerning: (a) approved under this collection. The Provider-Specific and Wideband, Whether the proposed collection of following information collection manufactured or imported on or after information is necessary for the proper requirements are approved under this one year from the effective date of the performance of the functions of the collection: Labeling Requirements: rule change must include the following Commission, including whether the Sections 20.21(a)(5), 20.21(f), advisory (1) in on-line point-of-sale information shall have practical utility; 90.219(e)(5)—In order to avoid marketing materials, (2) in any print or (b) the accuracy of the Commission’s consumer confusion and provide on-line owner’s manual and installation burden estimates; (c) ways to enhance consumers with needed information, the instructions, (3) on the outside the quality, utility, and clarity of the Commission adopted labeling packaging of the device, and (4) on a information collected; and (d) ways to requirements for Consumer and label affixed to the device: ‘‘This device minimize the burden of the collection of Industrial Signal Boosters. Consumer may be operated ONLY in a fixed information on the respondents, Signal Boosters must be labeled to location for in-building use.’’ including the use of automated identify the device as a ‘‘consumer’’ Section 1.1307(b)(1)—Radiofrequency collection techniques or other forms of device and make the consumer aware (RF). This rule requires that a label is information technology. Pursuant to the that the device must be registered; may affixed to the transmitting antenna that Small Business Paperwork Relief Act of only be operated with the consent of the provides adequate notice regarding 2002, Public Law 107–198, see 44 U.S.C. consumer’s wireless provider; may only potential RF safety hazards and 3506(c)(4), the FCC seeks specific be operated with approved antennas references the applicable FCC-adopted comment on how it might ‘‘further and cables; and that E911 limits for RF exposure. Provider reduce the information collection communications may be affected for Reporting Requirement: In order to burden for small business concerns with calls served by using the device. facilitate review of wireless providers’ fewer than 25 employees.’’ Industrial Signal Boosters must include behavior regarding Consumer Signal OMB Control Number: 3060–1189. a label stating that the device is not a Boosters, the R&O requires that on Title: Signal Boosters, Sections consumer device, is designed for March 1, 2015, and March 1, 2016, all 1.1307(b)(1), 20.3, 20.21(a)(2), installation by FCC licensees or a nationwide wireless providers publicly 20.21(a)(5), 20.21(e)(2), 20.21(e)(8)(I)(G), qualified installer, and the operator indicate their status regarding consent 20.21(e)(9)(I)(H), 20.21(f), 20.21(h), 22.9, must have a FCC license or consent of for each Consumer Signal Booster that 24.9, 27.9. 90.203, 90.219(b)(l)(I), a FCC licensee to operate the device. has received FCC certification as listed 90.219(d)(5), and 90.219(e)(5). Accordingly, all signal boosters in a Public Notice to be released by the Form Number: N/A. marketed on or after March 1, 2014, Wireless Telecommunications Bureau Type of Review: Extension of a must include the advisories (1) in on- 30 days prior to each reporting date. For currently approved collection. line point-of-sale marketing materials; each listed Consumer Signal Booster, Respondents: Business or other for- (2) in any print or on-line owner’s wireless providers should publicly profit entities, Not for profit institutions manual and installation instructions; (3) indicate whether they (1) consent to use and Individuals or household. on the outside packaging of the device; of the device; (2) do not consent to use Number of Respondents and and (4) on a label affixed to the device. of the device; or (3) are still considering Responses: 632,534 respondents and Part 90 signal boosters marketed or sold whether or not they will consent to the 635,214 responses. on or after March 1, 2014, must include use of the device. Estimated Time per Response: .5 a label stating that the device is not a Registration Requirements: Section hours–40 hours. consumer device; the operator must 20.21(a)(2)—The rules require signal Frequency of Response: have a FCC license or consent of a FCC booster operators to register Consumer Recordkeeping requirement, On licensee to operate the device; the Signal Boosters, existing and new, with occasion reporting requirement and operator must register Class B signal their serving wireless providers prior to Third-party disclosure requirement. boosters; and unauthorized use may operation. This is a mandatory Obligation to Respond: Required to result in significant forfeitures. requirement to continue or begin obtain or retain benefits. The statutory Section 20.21(f)(1)(iv)(A)(2)—In order operation of a Consumer Signal Booster. authority for this information collection to ensure that consumers are properly The registration requirement will aid in is contained in 47 U.S.C. 154(i), 303(g), informed about which devices are interference resolution and facilitate 303(r) and 332. suitable for their use and how to comply provider control over Consumer Signal Total Annual Burden: 324,465 hours. with our rules, the Commission required Boosters. The information collection Total Annual Cost: No cost. that all Consumer Signal Boosters contained in Section 20.21(a)(2) affects Privacy Impact Assessment: This certified for fixed, in-building operation individuals or households; thus, there information collection affects include a label directing consumers that are impacts under the Privacy Act. individuals or households; thus, there the device may only be operated in a However, the government is not directly are impacts under the Privacy Act. fixed, in-building location. The Verizon collecting this information and the R&O However, the government is not directly Petitioners state that this additional directs carriers to protect the collecting this information and the R&O labeling requirement is necessary to information to the extent it is directs carriers to protect the inform purchasers of fixed Consumer considered Customer Proprietary information to the extent it is Signal Boosters that they may not Network Information (CPNI). considered Customer Proprietary lawfully be installed and operated in a Section 20.21(h)—By March 1, 2014, Network Information (CPNI). moving vehicle or outdoor location. We all providers who voluntarily consent to

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the use of Consumer Signal Boosters on Antenna Kitting Documentation EXEMPTIONS PROMULGATED FOR their networks must establish a free Requirement: Sections 20.21(e)(8)(i)(G), THE SYSTEM, please correct the registration system for their subscribers. 20.21(e)(9)(i)(H)—The rules require that following: At a minimum, providers must collect all consumer boosters must be sold with Delete in entirety ‘‘None’’ and insert (1) the name of the Consumer Signal user manuals specifying all antennas ‘‘Portions of the records in this system Booster owner and/or operator, if and cables that meet the requirements of of records were compiled for law different individuals; (2) the make, this section. Part 90 Licensee Consent enforcement purposes and are exempt model, and serial number of the device; Documentation Requirement: Section from disclosure under 12 CFR 310.13 (3) the location of the device; and (4) the 90.219(b)(1)(i)—This rule requires that and 5 U.S.C. 552a(k)(2). Federal date of initial operation. Otherwise, the non-licensees seeking to operate part 90 criminal law enforcement investigatory Commission permits providers to signal boosters must obtain the express reports maintained as part of this system develop their own registration systems consent of the licensee(s) of the may be the subject of exemptions to facilitate provider control and frequencies for which the device or imposed by the originating agency interference resolution, providers system is intended to amplify. The rules pursuant to 5 U.S.C. 552a(j)(2).’’ should collect only such information further require that such consent must that is reasonably related to achieving be maintained in a recordable format Federal Deposit Insurance Corporation. these dual goals. Wireless providers that can be presented to a FCC Dated at Washington, DC, on April 5, 2021. may determine how to collect such representative or other relevant licensee James P. Sheesley, information and how to keep it up-to- investigating interference. Assistant Executive Secretary. date. Section 90.219(d)(5)—This rule Cross-reference to Other Rule Parts: [FR Doc. 2021–07591 Filed 4–13–21; 8:45 am] requires operators of Part 90 Class B Sections 22.9, 24.9, and 27.9— BILLING CODE 6714–01–P signal boosters to register these devices Operation of a consumer signal booster in a searchable on-line database that under Parts 22, 24, and 27 of the will be maintained and operated by the Commission’s rules must also comply Wireless Telecommunications Bureau with section 20.21 of the Commission’s FEDERAL MARITIME COMMISSION via delegated authority from the rules, including all relevant information Commission. The Commission believes collections. Notice of Agreements Filed this will be a valuable tool to resolve Federal Communications Commission. interference should it occur. The Commission hereby gives notice Marlene Dortch, of the filing of the following agreements Certification Requirements: Sections Secretary, Office of the Secretary. under the Shipping Act of 1984. 20.3, 20.21(e)(2), 20.21(e)(8)(i)(G), [FR Doc. 2021–07657 Filed 4–13–21; 8:45 am] Interested parties may submit 20.21(e)(9)(i)(H), 90.203—These rules, BILLING CODE 6712–01–P comments, relevant information, or in conjunction with the R&O, require documents regarding the agreements to that signal booster manufacturers the Secretary by email at Secretary@ demonstrate that they meet the new FEDERAL DEPOSIT INSURANCE fmc.gov, or by mail, Federal Maritime technical specifications using the CORPORATION Commission, Washington, DC 20573. existing and unchanged equipment Comments will be most helpful to the authorization application, including Privacy Act of 1974; System of Commission if received within 12 days submitting a technical document with Records; Correction of the date this notice appears in the the application for FCC equipment Federal Register. Copies of agreements AGENCY: Federal Deposit Insurance authorization that shows compliance of are available through the Commission’s Corporation. all antennas, cables and/or coupling website (www.fmc.gov) or by contacting devices with the requirements of ACTION: Notice of a modified systems of the Office of Agreements at (202)-523– § 20.21(e). The R&O further provides records; correction. 5793 or [email protected]. that manufacturers must make certain certifications when applying for device SUMMARY: The Federal Deposit Agreement No.: 201263–003. certification. Manufacturers must Insurance Corporation (FDIC) published Agreement Name: Maersk/MSC/Zim provide an explanation of all measures a System of Records Notice (SORN) in Cooperative Working Agreement. taken to ensure that the technical the Federal Register of July 22, 2019, Parties: Maersk Line A/S; safeguards designed to inhibit harmful that modified a System of Records titled Mediterranean Shipping Company S.A.; interference and protect wireless ‘‘Financial Institution Investigative and and Zim Integrated Shipping Services networks cannot be deactivated by the Enforcement Records, FDIC–30–64– Ltd. user. The R&O requires that 0002.’’ Subsequent to the publication of the notice, FDIC discovered an error. Filing Party: Wayne Rohde; Cozen manufacturers of Provider-Specific O’Connor. Consumer Signal Boosters may only be This notice corrects that error. Synopsis: The amendment authorizes certificated with the consent of the DATES: This correction is effective on the parties to operate an additional licensee so the manufacturer must April 14, 2021. service string in the Agreement trade, certify that it has obtained such consent FOR FURTHER INFORMATION CONTACT: increase the size of vessels to be as part of the equipment certification Shannon Dahn, Chief, Privacy Section, deployed on the string, revise the process. The R&O also requires that if a (703) 516–1162, [email protected], or amount of space to be chartered, add a manufacturer claims that a device will Gary Jackson, Counsel, (703) 562–2677, provision on the deployment of extra not affect E911 communications, the [email protected]. loaders, and make non-substantive manufacturer must certify this claim SUPPLEMENTARY INFORMATION: changes to the Agreement. during the equipment certification process. Note: The ‘‘application for Correction Proposed Effective Date: 5/22/21. equipment’’ certification requirements In the Federal Register of July 22, Location: https://www2.fmc.gov/ are met under OMB Control Number 2019, in FR Doc 2019–15280, on page FMC.Agreements.Web/Public/ 3060–0057, FCC Form 731. 35188, in the first column, after AgreementHistory/14256.

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Dated: April 9, 2021. Board of Governors of the Federal Reserve DEPARTMENT OF DEFENSE Rachel E. Dickon, System, April 8, 2021. Secretary. Michele Taylor Fennell, GENERAL SERVICES Deputy Associate Secretary of the Board. ADMINISTRATION [FR Doc. 2021–07644 Filed 4–13–21; 8:45 am] [FR Doc. 2021–07643 Filed 4–13–21; 8:45 am] BILLING CODE 6730–02–P BILLING CODE P NATIONAL AERONAUTICS AND SPACE ADMINISTRATION

FEDERAL RESERVE SYSTEM FEDERAL RESERVE SYSTEM [OMB Control No. 9000–0163; Docket No. 2021–0053; Sequence No. 2] Change in Bank Control Notices; Change in Bank Control Notices; Acquisitions of Shares of a Bank or Submission for OMB Review; Small Acquisitions of Shares of a Bank or Bank Holding Company Business Size Rerepresentation Bank Holding Company The notificants listed below have AGENCY: Department of Defense (DoD), The notificants listed below have applied under the Change in Bank General Services Administration (GSA), applied under the Change in Bank Control Act (Act) (12 U.S.C. 1817(j)) and and National Aeronautics and Space Control Act (Act) (12 U.S.C. 1817(j)) and § 225.41 of the Board’s Regulation Y (12 Administration (NASA). CFR 225.41) to acquire shares of a bank § 225.41 of the Board’s Regulation Y (12 ACTION: Notice. CFR 225.41) to acquire shares of a bank or bank holding company. The factors or bank holding company. The factors that are considered in acting on the SUMMARY: Under the provisions of the that are considered in acting on the applications are set forth in paragraph 7 Paperwork Reduction Act, the applications are set forth in paragraph 7 of the Act (12 U.S.C. 1817(j)(7)). Regulatory Secretariat Division has of the Act (12 U.S.C. 1817(j)(7)). The public portions of the submitted to the Office of Management applications listed below, as well as and Budget (OMB) a request to review The public portions of the other related filings required by the applications listed below, as well as and approve a revision and renewal of Board, if any, are available for a previously approved information other related filings required by the immediate inspection at the Federal collection requirement regarding small Board, if any, are available for Reserve Bank(s) indicated below and at business size rerepresentation. immediate inspection at the Federal the offices of the Board of Governors. DATES: Submit comments on or before Reserve Bank(s) indicated below and at This information may also be obtained May 14, 2021. the offices of the Board of Governors. on an expedited basis, upon request, by This information may also be obtained contacting the appropriate Federal ADDRESSES: Written comments and on an expedited basis, upon request, by Reserve Bank and from the Board’s recommendations for this information contacting the appropriate Federal Freedom of Information Office at collection should be sent within 30 days Reserve Bank and from the Board’s https://www.federalreserve.gov/foia/ of publication of this notice to Freedom of Information Office at request.htm. Interested persons may www.reginfo.gov/public/do/PRAMain. https://www.federalreserve.gov/foia/ express their views in writing on the Find this particular information request.htm. Interested persons may standards enumerated in paragraph 7 of collection by selecting ‘‘Currently under express their views in writing on the the Act. Review—Open for Public Comments’’ or standards enumerated in paragraph 7 of Comments regarding each of these by using the search function. the Act. applications must be received at the Additionally, submit a copy to GSA through http://www.regulations.gov and Comments regarding each of these Reserve Bank indicated or the offices of follow the instructions on the site. This applications must be received at the the Board of Governors, Ann E. website provides the ability to type Reserve Bank indicated or the offices of Misback, Secretary of the Board, 20th short comments directly into the the Board of Governors, Ann E. Street and Constitution Avenue NW, Washington, DC 20551–0001, not later comment field or attach a file for Misback, Secretary of the Board, 20th lengthier comments. Street and Constitution Avenue NW, than April 29, 2021. A. Federal Reserve Bank of Dallas Instructions: All items submitted Washington DC 20551–0001, not later (Karen Smith, Director, Applications) must cite OMB Control No. 9000–0163, than April 29, 2021. 2200 North Pearl Street, Dallas, Texas Small Business Size Rerepresentation. A. Federal Reserve Bank of Kansas 75201–2272: Comments received generally will be City (Porcia Block, Vice President) 1 1. Jane C. Wilemon, individually, and posted without change to http:// Memorial Drive, Kansas City, Missouri as trustee of both the Wilemon Family www.regulations.gov, including any 64198–0001: Trust and the Wilemon Survivors Trust, personal and/or business confidential 1. The Marian Olander Tutera Family all of Maypearl, Texas; to become the information provided. To confirm 2021 Irrevocable Trust, John David Jane C. Wilemon Family Control Group, receipt of your comment(s), please Cunningham, as trustee, the Anthony a group acting in concert, to retain check www.regulations.gov, Michael Mendolia Family 2021 voting shares of Maypearl Bancshares, approximately two-to-three days after Irrevocable Trust, and the John David Inc., and thereby indirectly retain voting submission to verify posting. If there are Cunningham Family 2021 Irrevocable shares of The Cowboy Bank of Texas, difficulties submitting comments, Trust, Joseph C. Tutera, as trustee of both of Maypearl, Texas. contact the GSA Regulatory Secretariat both trusts, all of Kansas City, Missouri; Division at 202–501–4755 or to join the Tutera Family Group, a group Board of Governors of the Federal Reserve [email protected]. acting in concert, to acquire voting System, April 8, 2021. FOR FURTHER INFORMATION CONTACT: shares of Central Bancshares of Kansas Michele Taylor Fennell, Zenaida Delgado, Procurement Analyst, City, and thereby indirectly acquire Deputy Associate Secretary of the Board. at telephone 202–969–7207, or voting shares of Central Bank of Kansas [FR Doc. 2021–07603 Filed 4–13–21; 8:45 am] [email protected]. City, both of Kansas City, Missouri. BILLING CODE P SUPPLEMENTARY INFORMATION:

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A. OMB Control Number, Title, and D. Public Comment Instructions: All items submitted Any Associated Form(s) A 60-day notice was published in the must cite OMB Control No. 9000–0188, Federal Register at 86 FR 8019, on Combating Trafficking in Persons. 9000–0163, Small Business Size Comments received generally will be Rerepresentation. February 3, 2021. No comments were received. posted without change to http:// B. Needs and Uses Obtaining Copies: Requesters may www.regulations.gov, including any obtain a copy of the information personal and/or business confidential This clearance covers the information information provided. To confirm that contractors must submit to comply collection documents from the GSA Regulatory Secretariat Division, by receipt of your comment(s), please with the following Federal Acquisition check www.regulations.gov, Regulation (FAR) requirements: calling 202–501–4755 or emailing [email protected]. Please cite OMB approximately two-to-three days after 52.219–28, Post-Award Small Control No. 9000–0163, Small Business submission to verify posting. If there are Business Program Rerepresentation. Size Rerepresentation. difficulties submitting comments, This clause requires contractors who contact the GSA Regulatory Secretariat originally represented themselves as a Janet Fry, Division at 202–501–4755 or small business for a contract award to Director, Federal Acquisition Policy Division, [email protected]. rerepresent their size and Office of Governmentwide Acquisition Policy, FOR FURTHER INFORMATION CONTACT: socioeconomic status at the prime Office of Acquisition Policy, Office of Zenaida Delgado, Procurement Analyst, contract level by updating their Governmentwide Policy. at telephone 202–969–7207, or representations in the Representations [FR Doc. 2021–07568 Filed 4–13–21; 8:45 am] [email protected]. and Certifications section of the System BILLING CODE 6820–EP–P for Award Management (SAM). SUPPLEMENTARY INFORMATION: Contractors are also required to notify A. OMB Control Number, Title, and the contracting officer by email, or DEPARTMENT OF DEFENSE Any Associated Form(s) otherwise in writing, that the rerepresentations have been made, and GENERAL SERVICES 9000–0188, Combating Trafficking in provide the date on which they were ADMINISTRATION Persons. made. B. Need and Uses NATIONAL AERONAUTICS AND Small business contractors are SPACE ADMINISTRATION This clearance covers the information required to rerepresent their size and that offerors contractors must submit to socioeconomic status upon occurrence [OMB Control No. 9000–0188; Docket No. comply with the following Federal of any of the following: 2021–0053; Sequence No. 3] Acquisition Regulation (FAR) • Within 30 days after execution of a Submission for OMB Review; requirements: novation agreement or within 30 days Combating Trafficking in Persons 52.222–50, Combating Trafficking in after modification of the contract to Persons. include FAR clause 52.219–28 if the AGENCY: Department of Defense (DoD), Notification. Paragraph (d) of this novation agreement was executed prior General Services Administration (GSA), clause requires contractors to notify the to inclusion of this clause in the and National Aeronautics and Space contracting officer and the agency contract. Administration (NASA). Inspector General of— • Within 30 days after a merger or ACTION: Notice. • Any credible information they acquisition that does not require a receive from any source that alleges a novation or within 30 days after SUMMARY: Under the provisions of the contractor employee, subcontractor, or modification of the contract to include Paperwork Reduction Act, the subcontractor employee, or their agent FAR clause 52.219–28 if the merger or Regulatory Secretariat Division has has engaged in conduct that violates the acquisition occurred prior to inclusion submitted to the Office of Management policy in paragraph (b) of the clause of this clause in the contract. and Budget (OMB) a request to review 52.222–50; and • For long-term contracts— and approve a revision and renewal of • Any actions taken against a a previously approved information Within 60 to 120 days prior to the end contractor employee, subcontractor, collection requirement regarding of the fifth year of the contract; and subcontractor employee, or their agent combating trafficking in persons. Within 60 to 120 days prior to the pursuant to this clause. DATES: Submit comments on or before date specified in the contract for Compliance Plan and Annual May 14, 2021. exercising any option thereafter. Certification. Paragraph (h) of the clause ADDRESSES: Written comments and contains an additional requirement for • When contracting officers explicitly recommendations for this information contracts for supplies (other than require it for an order issued under a collection should be sent within 30 days commercially available off-the-shelf multiple-award contract. of publication of this notice to (COTS) items) to be acquired outside the The collected information is used by www.reginfo.gov/public/do/PRAMain. United States and contracts for services the Small Business Administration, Find this particular information to be performed outside the United Congress, Federal agencies and the collection by selecting ‘‘Currently under States, with an estimated value general public for various reasons such Review—Open for Public Comments’’ or exceeding $550,000, where the as determining if agencies are meeting by using the search function. contractor is to maintain a compliance statutory goals, set-aside Additionally, submit a copy to GSA plan during the performance of the determinations, and market research. through http://www.regulations.gov and contract. This compliance plan must C. Annual Burden follow the instructions on the site. This include an awareness program, a website provides the ability to type process for employees to report activity Respondents: 2,647. short comments directly into the inconsistent with the zero-tolerance Total Annual Responses: 4,029. comment field or attach a file for policy, a recruitment and wage plan, a Total Burden Hours: 2,014.5. lengthier comments. housing plan, and procedures to prevent

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subcontractors from engaging in C. Annual Burden collection is 0910–0409. Also include trafficking in persons. Respondents/Recordkeepers: 5,876. the FDA docket number found in • Contractors are required to provide Total Annual Responses: 11,702. brackets in the heading of this the compliance plan to the contracting Total Burden Hours: 164,154. (25,722 document. officer upon request. reporting hours + 138,432 FOR FURTHER INFORMATION CONTACT: • Contractors are required to submit a recordkeeping hours)). Domini Bean, Office of Operations, certification to the contracting officer Food and Drug Administration, Three D. Public Comment annually after receiving an award, White Flint North, 10A–12M, 11601 asserting that they have the required A 60-day notice was published in the Landsdown St., North Bethesda, MD compliance plan in place and that there Federal Register at 86 FR 8360, on 20852, 301–796–5733, PRAStaff@ have been no abuses, or that appropriate February 5, 2021. No comments were fda.hhs.gov. actions have been taken if abuses have received. SUPPLEMENTARY INFORMATION: In been found. Obtaining Copies: Requesters may compliance with 44 U.S.C. 3507, FDA • For those subcontractors required to obtain a copy of the information has submitted the following proposed submit a certification (see next bullet on collection documents from the GSA collection of information to OMB for flow down), contractors shall require Regulatory Secretariat Division, by review and clearance. that submission prior to award of the calling 202–501–4755 or emailing subcontract and annually thereafter. [email protected]. Regulations for In Vivo Portions of this clause flows down to Please cite OMB Control No. 9000– Radiopharmaceuticals Used for all subcontractors. The requirements 0188, Combating Trafficking in Persons. Diagnosis and Monitoring—21 CFR part 315 related to the compliance plan only flow Janet Fry, down to subcontracts exceeding Director, Federal Acquisition Policy Division, OMB Control Number 0910–0409— $550,000 for supplies (other than COTS Office of Governmentwide Acquisition Policy, Extension items) acquired and services performed Office of Acquisition Policy, Office of outside the United States. Governmentwide Policy. This information collection supports our regulations in part 315 (21 CFR part This clause applies to commercial [FR Doc. 2021–07571 Filed 4–13–21; 8:45 am] 315) that require manufacturers of item acquisitions, except the portions BILLING CODE 6820–EP–P related to the compliance plan do not diagnostic radiopharmaceuticals to apply to acquisitions of COTS items. submit information that demonstrates the safety and effectiveness of: (1) A 52.222–56, Certification Regarding DEPARTMENT OF HEALTH AND Trafficking in Persons Compliance Plan. new diagnostic radiopharmaceutical; or HUMAN SERVICES (2) a new indication for use of an This provision requires apparently approved diagnostic successful offerors to submit a Food and Drug Administration radiopharmaceutical. Information about certification, prior to award, that they the safety or effectiveness of a have implemented a compliance plan [Docket No. FDA–2014–N–0998] diagnostic radiopharmaceutical enables and that there have been no abuses, or Agency Information Collection us to properly evaluate the safety and that appropriate actions have been taken Activities; Submission for Office of effectiveness profiles of such if abuses have been found. Management and Budget Review; radiopharmaceuticals. The provision requires this Comment Request; Regulations for In The information, which is usually certification for the portion of contracts Vivo Radiopharmaceuticals Used for submitted as part of a new drug exceeding $550,000 for supplies (other Diagnosis and Monitoring application (NDA) or biologics license than COTS items) acquired and services application (BLA) or as a supplement to AGENCY: Food and Drug Administration, performed outside the United States. an approved application typically HHS. This provision applies to commercial includes, but is not limited to, item acquisitions, except acquisitions of ACTION: Notice. nonclinical and clinical data on the COTS items. SUMMARY: The Food and Drug pharmacology; toxicology; adverse FAR 52.222–50, paragraph (d)— events; radiation safety assessments; Notification. The Government uses this Administration (FDA) is announcing that a proposed collection of and chemistry, manufacturing, and notification of potential violations of controls. The content and format of an trafficking in persons requirements to information has been submitted to the Office of Management and Budget application for approval of a new drug investigate and take appropriate action are set forth in § 314.50 (21 CFR 314.50) if a violation has occurred. (OMB) for review and clearance under the Paperwork Reduction Act of 1995. and have been approved under OMB FAR 52.222–50, paragraph (h)— control number 0910–0001. This Compliance Plan. The Government uses DATES: Submit written comments information collection supports part the compliance plan to ascertain (including recommendations) on the 315, which is currently approved under compliance with the Trafficking Victims collection of information by May 14, OMB control number 0910–0409. Protection Act (22 U.S.C. 7104), 2021. In table 1, row 1, we estimate the Executive Order 13627, or any other ADDRESSES: To ensure that comments on annual reporting burden for preparing applicable law or regulation. the information collection are received, the safety and effectiveness sections of FAR 52.222–50, paragraph (h) and OMB recommends that written an application. This estimate does not FAR 52.222–56—Certification. The comments be submitted to https:// include the time needed to conduct Government uses the certification to www.reginfo.gov/public/do/PRAMain. studies and clinical trials or other obtain reasonable assurance that the Find this particular information research from which the reported contractor and its subcontractors are collection by selecting ‘‘Currently under information is obtained. aware of and complying with the Review—Open for Public Comments’’ or Based on past submissions of human requirements of the Executive Order and by using the search function. The OMB drug applications, new indication statute. control number for this information supplements for diagnostic

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radiopharmaceuticals, or both, we diagnostic radiopharmaceuticals that between 500 and 1,000 hours. We estimate that six submissions will be may have well-established, low-risk calculated the median of this estimate to received annually and that 2,000 hours safety profiles by enabling arrive at approximately 750 hours. We would be spent preparing the portions manufacturers to tailor information further estimate that the total time of the application that would be affected submissions and avoid unnecessary needed to prepare the portions of the by this information collection. We clinical studies. application that would be affected by further estimate the total time needed to In table 1, row 2, we estimate the this information collection as 6,750. As prepare complete applications for annual reporting burden for preparing previously stated, this information diagnostic radiopharmaceuticals as the safety and effectiveness sections of collection does not impose any approximately 12,000 hours. This a supplement to an approved additional reporting burden for safety information collection does not impose application. This estimate does not and effectiveness information on any additional reporting burden for include the time needed to conduct diagnostic radiopharmaceuticals beyond safety and effectiveness information on studies and clinical trials or other the estimated burden of 750 hours, diagnostic radiopharmaceuticals beyond research from which the reported because safety and effectiveness the estimated burden of 2,000 hours, information is obtained. information is already required in because safety and effectiveness Based on past submissions of human § 314.50 and has been approved under information is already required in drug applications, new indication OMB control number 0910–0001. § 314.50 and has been approved under supplements for diagnostic In the Federal Register of November OMB control number 0910–0001. In radiopharmaceuticals, or both, we 12, 2020 (85 FR 71923), we published a fact, clarification of our criteria for the estimate that nine submissions will be 60-day notice requesting public evaluation of diagnostic received annually. We estimate the total comment on the proposed collection of radiopharmaceuticals in this time needed to prepare complete information. No comments were information collection is intended to applications for supplements to new received. streamline overall information applications for diagnostic We estimate the burden of this collection burdens, particularly for radiopharmaceuticals as approximately collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN FOR NDAS AND SUPPLEMENTS TO APPROVED NDAS FOR DIAGNOSTIC RADIOPHARMACEUTICALS1

Number of Average Manufacturers’ activity (21 CFR Section) Number of responses per Total annual burden per Total hours respondents respondent responses response

NDAs (§§ 315.4, 315.5, and 315.6) ...... 6 1 6 2,000 12,000 Supplements to Approved NDAs (§§ 315.4, 315.5, and 315.6) ...... 9 1 9 750 6,750

Total ...... 18,750 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

Our estimated burden for the DEPARTMENT OF HEALTH AND ADDRESSES: To ensure that comments on information collection reflects an HUMAN SERVICES the information collection are received, overall increase of 13 responses with a OMB recommends that written corresponding increase of 14,750 Food and Drug Administration comments be submitted to https:// burden hours, including submissions www.reginfo.gov/public/do/PRAMain. involving NDAs. We attribute this [Docket No. FDA–2013–N–0878] Find this particular information adjustment to an increase in the number Agency Information Collection collection by selecting ‘‘Currently under of submissions for NDAs for diagnostic Activities; Submission for Office of Review—Open for Public Comments’’ or radiopharmaceuticals we received over Management and Budget Review; by using the search function. The OMB the past few years and because we are Comment Request; Premarket control number for this information now capturing supplements to approved Notification for a New Dietary collection is 0910–0330. Also include NDAs for diagnostic Ingredient the FDA docket number found in radiopharmaceuticals. brackets in the heading of this AGENCY: Food and Drug Administration, document. Dated: April 8, 2021. HHS. Lauren K. Roth, ACTION: Notice. FOR FURTHER INFORMATION CONTACT: Acting Principal Associate Commissioner for Domini Bean, Office of Operations, Policy. SUMMARY: The Food and Drug Food and Drug Administration, Three [FR Doc. 2021–07639 Filed 4–13–21; 8:45 am] Administration (FDA, Agency, or we) is White Flint North, 10A–12M, 11601 BILLING CODE 4164–01–P announcing that a proposed collection Landsdown St., North Bethesda, MD of information has been submitted to the 20852, 301–796–5733, PRAStaff@ Office of Management and Budget fda.hhs.gov. (OMB) for review and clearance under the Paperwork Reduction Act of 1995. SUPPLEMENTARY INFORMATION: In DATES: Submit written comments compliance with 44 U.S.C. 3507, FDA (including recommendations) on the has submitted the following proposed collection of information by May 14, collection of information to OMB for 2021. review and clearance.

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Premarket Notification for a New in the labeling of the dietary In the Federal Register of October 16, Dietary Ingredient supplement; and (5) the signature of a 2020 (85 FR 65830), we published a 60- responsible person designated by the OMB Control Number 0910–0330— day notice requesting public comment manufacturer or distributor. Extension on the proposed collection of These premarket notification information. A number of comments This information collection supports requirements are designed to enable us were received expressing general Agency regulations. Under section to monitor the introduction into the interest in labeling requirements 413(a) of the Federal Food, Drug, and marketplace of NDIs and dietary applicable to dietary supplements. Cosmetic Act (FD&C Act) (21 U.S.C. supplements that contain NDIs in order Other comments were received 350b(a)), the manufacturer or distributor to protect consumers from ingredients pertaining to related Agency draft of a new dietary ingredient (NDI), or of and products whose safety is unknown. guidance, one suggesting that FDA: (1) the dietary supplement that contains the We use the information collected in NDI Failed to account for the cost of NDI, must submit a premarket notifications to evaluate the safety of removing from the market dietary notification to FDA (as delegate for the NDIs in dietary supplements and to supplements suddenly deemed New Secretary of Health and Human support regulatory action against Dietary Ingredients for the first time in Services) at least 75 days before ingredients and products that are the guidance; (2) substantially introducing the product into interstate potentially unsafe. commerce or delivering it for underestimated the number and cost of FDA developed an electronic portal introduction into interstate commerce, New Dietary Ingredient submissions (Form FDA 3880) that respondents may unless the NDI and any other dietary that must be filed to comply with the use to electronically submit their ingredients in the dietary supplement guidance; and (3) grossly and ‘‘have been present in the food supply notifications to us via the Center for dangerously undervalued the economic as an article used for food in a form in Food Safety and Applied Nutrition impact the guidance will have on the which the food has not been chemically (CFSAN) Online Submission Module dietary supplement industry and the altered’’ (21 U.S.C. 350b(a)(1)). The (COSM). COSM was developed to assist economy as a whole. respondents when filing regulatory notification must contain the While we appreciate all feedback submissions and is specifically designed information which provides the basis on regarding Agency information collection to aid users wishing to file submissions which the manufacturer or distributor of activities, as we communicated in our with CFSAN. COSM allows safety and the NDI or dietary supplement has notice of March 28, 2018 (83 FR 13281), other information to be uploaded and concluded that the dietary supplement the data analysis offered by the submitted online via Form FDA 3880. containing the NDI will reasonably be comment does not provide a basis upon This form provides a standard format to expected to be safe (21 U.S.C. which we can revise our burden describe the history of use or other 350b(a)(2)). estimate under the PRA. Regulatory evidence of safety on which the FDA’s implementing regulation, requirements regarding premarket § 190.6 (21 CFR 190.6), specifies the manufacturer or distributor bases its conclusion that the NDI is reasonably notification for new dietary ingredients procedure for submitting a premarket are set forth under 21 CFR 190.6 and NDI notification and the information the expected to be safe under the conditions of use recommended or suggested in the were established by final rule of manufacturer or distributor must September 23, 1997 (62 FR 49886). include in the notification. Under labeling of the dietary supplement, as well as a description of the ingredient Notices published in the Federal § 190.6(b), the notification must include Register in compliance with the PRA the following: (1) The name and and other information. Firms that prefer to submit a paper notification in a seek to improve information collection complete address of the manufacturer or activities by evaluating our need for the distributor; (2) the name of the NDI; (3) format of their own choosing have the information discussed in the notice and a description of the dietary option to do so; however, Form FDA specific ways we might utilize supplement(s) that contains the NDI, 3880 prompts a submitter to input the technology and/or enhance our including the level of the NDI in the elements of an NDI notification in a collection techniques and mechanisms dietary supplement and the conditions standard format that we will be able to of use recommended or suggested in the review efficiently. Form FDA 3880 may to minimize burden on respondents labeling of the dietary supplement, or if be accessed at https://www.fda.gov/ who are subject to applicable those no conditions of use are recommended Food/DietarySupplements/NewDietary requirements. Finally, notices of or suggested in the supplement’s IngredientsNotificationProcess/ availability for Agency guidance labeling, the ordinary conditions of use default.htm. documents are published consistent of the supplement; (4) the history of use Description of Respondents: The with regulations in 21 CFR 10.115 or other evidence of safety establishing respondents to this collection of (Good Guidance Practices), which that the NDI will reasonably be expected information are certain manufacturers provide for public comment at any time. to be safe when used under the and distributors in the dietary We estimate the burden of this conditions recommended or suggested supplement industry. collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

Number of Average 21 CFR section Number of responses per Total annual burden per Total hours respondents respondent responses response

190.6; Dietary Supplements ...... 55 1 55 20 1,100 1 There are no operating and maintenance costs associated with this collection of information.

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Based on our experience with the DEPARTMENT OF HEALTH AND in unlicensed wholesale distribution of information collection over the past 3 HUMAN SERVICES prescription drugs in violation of years, we estimate that 55 respondents sections 301(t), 303(b)(1)(D), and will submit 1 premarket notification Food and Drug Administration 503(e)(1)(A) of the FD&C Act (21 U.S.C. each. We estimate that extracting and [Docket No. FDA–2020–N–1565] 331(t), 333(b)(1)(D), and 353(e)(1)(A)) summarizing the relevant information and (18 U.S.C. 2), a felony offense under from what exists in the company’s files Mark Reinhard: Final Debarment Order Federal law. On January 16, 2020, and presenting it in a format that meets judgment of conviction was entered AGENCY: Food and Drug Administration, against Mr. Reinhard for this felony the requirements of § 190.6 will take HHS. approximately 20 hours of work per offense in the U.S. District Court for the ACTION: Notice. notification. We believe that the burden Western District of Kentucky, Louisville Division. of the premarket notification SUMMARY: The Food and Drug requirement on industry is reasonable Administration (FDA) is issuing an The factual basis for this conviction is because we are requesting only safety order under the Federal Food, Drug, and as follows: Mr. Reinhard was a and identity information that the Cosmetic Act (FD&C Act) permanently pharmacist residing in the State of West manufacturer or distributor should debarring Mark Reinhard from Virginia and was employed by Meds 2 already have developed to satisfy itself providing services in any capacity to a Go Express Pharmacy, Inc. (Meds 2 Go Express). From November 2010 through that a dietary supplement containing the person that has an approved or pending at least August 2012, he aided and NDI is in compliance with the FD&C drug product application. FDA bases abetted others, through Meds 2 Go Act. this order on a finding that Mr. Reinhard was convicted of a felony Express, by engaging in unlicensed If the required premarket notification under Federal law for conduct that wholesale distribution of Tramadol from is not submitted to FDA, section 413(a) relates to the regulation of a drug West Virginia to Alabama through of the FD&C Act provides that the product under the FD&C Act. Mr. Kentucky. Specifically, Mr. Reinhard dietary supplement containing the NDI Reinhard was given notice of the aided and abetted individuals who is deemed to be adulterated under proposed permanent debarment and an combined, conspired, confederated, and section 402(f) of the FD&C Act (21 opportunity to request a hearing to show agreed to engage in a scheme to sell, U.S.C. 342(f)). Even if the notification is why he should not be debarred within distribute, and dispense prescription submitted as required, the dietary the timeframe prescribed by regulation. drugs over the internet and to deliver supplement containing the NDI is Mr. Reinhard has not responded to the those prescription drugs to customers, adulterated under section 402(f) of the notice. Mr. Reinhard’s failure to respond without the issuance of valid FD&C Act unless there is a history of and request a hearing within the prescriptions. Under this scheme, use or other evidence of safety prescribed timeframe constitutes a customers would order prescription establishing that the NDI, when used waiver of his right to a hearing drugs from websites without ever seeing under the conditions recommended or concerning this action. or speaking to a physician or medical practitioner. On the website, customers suggested in the labeling of the dietary DATES: This order is applicable April 14, chose which prescription drugs they supplement, will reasonably be 2021. wished to order, and completed an expected to be safe. This requirement is ADDRESSES: Submit applications for online medical questionnaire with separate from and additional to the termination of debarment to the Dockets prepopulated answers that did not requirement to submit a premarket Management Staff (HFA–305), Food and disqualify the customers from receiving notification for the NDI. FDA’s Drug Administration, 5630 Fishers the prescription drugs that they ordered. regulation on NDI notifications, Lane, Rm. 1061, Rockville, MD 20852, The website operator would then send § 190.6(a), requires the manufacturer or 240–402–7500, or at https:// the completed online medical distributor of the dietary supplement or www.regulations.gov. questionnaires to doctors or individuals of the NDI to submit to FDA the FOR FURTHER INFORMATION CONTACT: posing as doctors, who issued the information that forms the basis for its Jaime Espinosa (ELEM–4029), Division prescriptions requested by the conclusion that a dietary supplement of Enforcement, Office of Strategic customers without first conducting an containing the NDI will reasonably be Planning and Operational Policy, Office in-person medical examination, expected to be safe. Thus, § 190.6 only of Regulatory Affairs, Food and Drug speaking with the customers, reviewing requires the manufacturer or distributor Administration, 12420 Parklawn Dr., the customers’ medical records, or to extract and summarize information Rockville, MD 20857, 240–402–8743, or otherwise verifying any of the that should have already been at [email protected]. information provided by the customer. developed to meet the safety SUPPLEMENTARY INFORMATION: These invalid prescriptions were issued requirement in section 413(a)(2) of the outside of the usual course of I. Background FD&C Act. professional practice and were not for a Section 306(a)(2)(B) of the FD&C Act legitimate medical purpose. The website Based on a review of the information (21 U.S.C. 335a(a)(2)(B)) requires operators would then send the issued collection since our last request for debarment of an individual from prescription by electronic means to OMB approval, we have made no providing services in any capacity to a pharmacies, including Meds 2 Go adjustments to our burden estimate. person that has an approved or pending Express, to be filled. After filling a Dated: April 8, 2021. drug product application if FDA finds prescription, Meds 2 Go Express and Lauren K. Roth, that the individual has been convicted other pharmacies would send the Acting Principal Associate Commissioner for of a felony under Federal law for prescription drugs to the customers, Policy. conduct relating to the regulation of any who often were not in the same State as drug product under the FD&C Act. On the pharmacy, via the U.S. Postal [FR Doc. 2021–07641 Filed 4–13–21; 8:45 am] March 28, 2019, Mr. Reinhard entered a Service or other delivery methods. It BILLING CODE 4164–01–P plea of guilty to one count of engaging was found that Mr. Reinhard distributed

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the prescription drug Tramadol from 307(a)(6) of the FD&C Act (21 U.S.C. ADDRESSES: Submit your comments to West Virginia to a wholesale fulfillment 335b(a)(6))). If Mr. Reinhard provides [email protected] or by calling pharmacy located in Alabama through services in any capacity to a person with (202) 795–7714. Kentucky in violation of Federal law. an approved or pending drug product FOR FURTHER INFORMATION CONTACT: Tramadol, as contained in the drug application during his period of When submitting comments or product ULTRAM and generic debarment, he will be subject to civil requesting information, please include formulations, is a prescription painkiller money penalties (section 307(a)(7) of the the document identifier 0990–0263– that may induce psychic and physical FD&C Act). In addition, FDA will not 30D, and project title for reference, to dependence. accept or review any abbreviated new Sherrette Funn, the Reports Clearance drug application from Mr. Reinhard Based on this conviction, FDA sent Officer, or Email: Sherrette.funn@ during his period of debarment, other Mr. Reinhard by certified mail on hhs.gov, or call 202–795–7714. October 5, 2020, a notice proposing to than in connection with an audit under permanently debar him from providing section 306 of the FD&C Act (section SUPPLEMENTARY INFORMATION: Interested services in any capacity to a person that 306(c)(1)(B) of the FD&C Act). Note that, persons are invited to send comments has an approved or pending drug for purposes of sections 306 and 307 of regarding this burden estimate or any product application. The proposal was the FD&C Act, a ‘‘drug product’’ is other aspect of this collection of based on a finding, under section defined as a drug subject to regulation information, including any of the 306(a)(2)(B) of the FD&C Act, that Mr. under section 505, 512, or 802 of the following subjects: (1) The necessity and Reinhard was convicted, as set forth in FD&C Act (21 U.S.C. 355, 360b, or 382) utility of the proposed information section 306(l)(1) of the FD&C Act, of a or under section 351 of the Public collection for the proper performance of felony under Federal law for conduct Health Service Act (42 U.S.C. 262) the agency’s functions; (2) the accuracy relating to the regulation of a drug (section 201(dd) of the FD&C Act (21 of the estimated burden; (3) ways to product under the FD&C Act. The U.S.C. 321(dd))). enhance the quality, utility, and clarity proposal also offered Mr. Reinhard an Any application by Mr. Reinhard for of the information to be collected; and opportunity to request a hearing, special termination of debarment under (4) the use of automated collection providing him 30 days from the date of section 306(d)(4) of the FD&C Act techniques or other forms of information receipt of the letter in which to file the should be identified with Docket No. technology to minimize the information request, and advised him that failure to FDA–2020–N–1565 and sent to the collection burden. file a timely request for a hearing would Dockets Management Staff (see Title of the Collection: The Protection constitute an election not to use the ADDRESSES). The public availability of of Human Subjects: Assurance opportunity for a hearing and a waiver information in these submissions is Identification/IRB Certification/ of any contentions concerning this governed by 21 CFR 10.20. Declaration of Exemption Form. action. Mr. Reinhard received the Publicly available submissions will be Type of Collection: Extension. placed in the docket and will be proposal on October 10, 2020. He did OMB No. 0990–0263 Office of the viewable at https://www.regulations.gov not request a hearing within the Assistant Secretary for Health, Office for or at the Dockets Management Staff (see timeframe prescribed by regulation and Human Research Protections. has, therefore, waived his opportunity ADDRESSES) between 9 a.m. and 4 p.m., Monday through Friday, 240–402–7500. Abstract: The Office of the Assistant for a hearing and any contentions Secretary for Health, Office for Human concerning his debarment (21 CFR part Dated: April 7, 2021. Research Protections is requesting a 12). Lauren K. Roth, three-year extension of the Protection of II. Findings and Order Acting Principal Associate Commissioner for Human Subjects: Assurance Policy. Therefore, the Assistant Identification/IRB Certification/ [FR Doc. 2021–07638 Filed 4–13–21; 8:45 am] Commissioner, Office of Human and Declaration of Exemption Form, OMB Animal Food Operations, under section BILLING CODE 4164–01–P No. 0990–0263. 306(a)(2)(B) of the FD&C Act, under The information collected on the form is to provide a simplified procedure for authority delegated to the Assistant DEPARTMENT OF HEALTH AND institutions engaged in research Commissioner, finds that Mr. Reinhard HUMAN SERVICES has been convicted of a felony under conducted or supported by the Federal law for conduct relating to the [Document Identifier OS–0990–0263] Department of Health and Human regulation of a drug product under the Services (HHS) to satisfy the Agency Information Collection FD&C Act. requirements of HHS regulations for the As a result of the foregoing finding, Request. 30-Day Public Comment protection of human subjects at 45 CFR Mr. Reinhard is permanently debarred Request 46.103 for assurance identification and from providing services in any capacity AGENCY: Office of the Secretary, HHS. IRB certification and declare exemption status. to a person with an approved or ACTION: Notice. pending drug product application, Likely Respondents: Institutions effective (see DATES) (see sections SUMMARY: In compliance with the engaged in research involving human 306(a)(2)(B) and (c)(2)(A)(ii) of the FD&C requirement of the Paperwork subjects where the research is supported Act). Any person with an approved or Reduction Act of 1995, the Office of the by HHS. Institutional use of the form is pending drug product application who Secretary (OS), Department of Health also relied upon by other federal knowingly employs or retains as a and Human Services, is publishing the departments and agencies that have consultant or contractor, or otherwise following summary of a proposed codified or follow the Federal Policy for uses in any capacity the services of Mr. collection for public comment. the Protection of Human Subjects Reinhard during his debarment, will be DATES: Comments on the ICR must be (Common Rule), which is codified for subject to civil money penalties (section received on or before May 14, 2021. HHS at 45 CFR part 46, subpart A.

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ANNUALIZED BURDEN HOUR TABLE

Number of Form name Number of responses per Hours per Response respondents respondent response burden hours

Protection of Human Subjects: Assurance Identification/IRB Certification/ Declaration of Exemption ...... 14,000 2 0.5 14,000

Sherrette A. Funn, the document identifier 0990–0260– three-year extension of the Protection of Paperwork Reduction Act Reports Clearance 60D, and project title for reference, to Human Subjects: Assurance of Officer, Office of the Secretary. Sherrette Funn, email: Sherrette.Funn@ Compliance with Federal Policy/IRB [FR Doc. 2021–07620 Filed 4–13–21; 8:45 am] hhs.gov, or call 202–795–7714 the Review/IRB Recordkeeping/Informed BILLING CODE 4150–36–P Reports Clearance Officer. Consent/Consent Documentation, OMB SUPPLEMENTARY INFORMATION: Interested No. 0990–0260. persons are invited to send comments Information reported to the Federal DEPARTMENT OF HEALTH AND regarding this burden estimate or any departments and agencies under the HUMAN SERVICES other aspect of this collection of Common Rule with respect to a [Document Identifier OS–0990–0260] information, including any of the satisfactory assurance is used to ensure following subjects: (1) The necessity and that an institution engaged in non- Agency Information Collection utility of the proposed information exempt research involving human Request. 60-Day Public Comment collection for the proper performance of subjects conducted or supported by a Request the agency’s functions; (2) the accuracy Common Rule department or agency has of the estimated burden; (3) ways to (1) established adequate administrative AGENCY: Office of the Secretary, HHS. enhance the quality, utility, and clarity policies and procedures for protecting ACTION: Notice. of the information to be collected; and the rights and welfare of human subjects (4) the use of automated collection in research, and (2) accepts that SUMMARY: In compliance with the techniques or other forms of information responsibility. Other reporting requirement of the Paperwork technology to minimize the information requirements are used to: Assess Reduction Act of 1995, the Office of the collection burden. whether the institution is following the Secretary (OS), Department of Health Title of the Collection: Protection of established procedures; ensure that and Human Services, is publishing the Human Subjects: Assurance of Federal funds are not expended for following summary of a proposed Compliance with Federal Policy/IRB unapproved human subjects research; collection for public comment. Review/IRB Recordkeeping/Informed and, determine if the approved status of DATES: Comments on the ICR must be Consent/Consent Documentation. an awarded grant, contract, or Type of Collection: Extension. received on or before June 14, 2021. cooperative agreement should be ADDRESSES: Submit your comments to OMB No. 0990–0260 Office of the reviewed, with the ultimate goal of [email protected] or by calling Assistant Secretary for Health, Office maintaining or increasing human (202) 795–7714. for Human Research Protections subject protections. FOR FURTHER INFORMATION CONTACT: Abstract: The Office of the Assistant Likely Respondents: Institutions, When submitting comments or Secretary for Health, Office for Human institutional review boards and requesting information, please include Research Protections is requesting a investigators.

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN

Number of Average Common rule provision Number of responses per Total annual burden per Total hours respondents respondent responses response

.103(b)(5), .113 [Pre-2018 Requirements]/.108(a)(4), .113 [2018 Requirements]—Incident Reporting, Suspension or Termination of IRB approval Reporting ...... 5,200 1 5,200 1 5,200

Total ...... 5,200 ...... 5,200

TABLE 2—ESTIMATED ANNUAL IRB RECORDKEEPING BURDEN

Number of Average Common rule provision Number of responses per Total annual burden per Total hours respondents respondent responses response

.115 [Pre-2018 and 2018 Requirement]—Preparation and documentation of IRB activities ...... 6,000 16 96,000 12 1,152,000

Total ...... 96,000 ...... 1,152,000

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TABLE 3—ESTIMATED ANNUAL THIRD-PARTY DISCLOSURE BURDEN

Number of Average Number of disclosures per Total annual burden per Total hours respondents respondent disclosures disclosure

.109(d) [Pre-2018 and 2018 Requirements]—Written noti- fication of ...... IRB approval or disapproval of research ...... 6,000 25 150,000 0.5 75,000 .46.116(a) and (b) (Pre-2018 Requirements)/.46.116 (b), (c) and (d) [2018 Requirements]—Elements of in- formed consent and broad consent ...... 6,000 25 150,000 0.5 75,000 .46.116(h)—[2018 Requirements]—Posting clinical trial consent form ...... 100 3 300 0.5 150 .117(a) [Pre-2018 and 2018 Requirements]—Documenta- tion of informed consent ...... 6,000 25 150,000 0.5 75,000 .117(c)(2) [Pre-2018 and 2018 Requirements]—Written statement about the research when informed consent documentation is waived ...... 6,000 10 60,000 1 60,000

Total ...... 510,300 ...... 285,150

Sherrrette A. Funn, (301) 496–0726, prenticekj@ material, and personal information Paperwork Reduction Act Reports Clearance mail.nih.gov. concerning individuals associated with Office, Office of the Secretary. (Catalogue of Federal Domestic Assistance the grant applications, the disclosure of [FR Doc. 2021–07622 Filed 4–13–21; 8:45 am] Program Nos. 93.306, Comparative Medicine; which would constitute a clearly BILLING CODE P 93.333, Clinical Research, 93.306, 93.333, unwarranted invasion of personal 93.337, 93.393–93.396, 93.837–93.844, privacy. 93.846–93.878, 93.892, 93.893, National Institutes of Health, HHS) Name of Committee: Council of Councils. DEPARTMENT OF HEALTH AND Open: May 20, 2021. HUMAN SERVICES Dated: April 8, 2021. Time: 11:00 a.m. to 4:15 p.m. Miguelina Perez, Agenda: Call to Order and Introductions; National Institutes of Health Program Analyst, Office of Federal Advisory Announcements and Updates; Scientific Committee Policy. Talks and Other Business of the Committee. Center for Scientific Review; Notice of Place: National Institutes of Health, Closed Meeting [FR Doc. 2021–07610 Filed 4–13–21; 8:45 am] Building 1, One Center Drive, Bethesda, MD BILLING CODE 4140–01–P 20892 (Virtual Meeting). Pursuant to section 10(d) of the Name of Committee: Council of Councils. Federal Advisory Committee Act, as Closed: May 21, 2021. amended, notice is hereby given of the DEPARTMENT OF HEALTH AND Time: 10:00 a.m. to 11:00 a.m. following meeting. HUMAN SERVICES Agenda: Review of Grant Applications. The meeting will be closed to the Place: National Institutes of Health, public in accordance with the National Institutes of Health Building 1, One Center Drive, Bethesda, MD provisions set forth in sections 20892 (Virtual Meeting). Office of the Director, National 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Open: May 21, 2021. Institutes of Health; Notice of Meeting Time: 11:00 a.m. to 4:05 p.m. as amended. The grant applications and Agenda: NIH Program Updates; Scientific the discussions could disclose Pursuant to section 10(d) of the Talks and Other Business of the Committee. confidential trade secrets or commercial Federal Advisory Committee Act, as Place: National Institutes of Health, property such as patentable material, amended, notice is hereby given of a Building 1, One Center Drive, Bethesda, MD and personal information concerning meeting of the Council of Councils. 20892 (Virtual Meeting). individuals associated with the grant The meeting will be held as a virtual Contact Person: Franziska Grieder, D.V.M., applications, the disclosure of which meeting and will be open to the public Ph.D., Executive Secretary, Council of would constitute a clearly unwarranted as indicated below. Individuals who Councils, Director, Office of Research invasion of personal privacy. plan to view the virtual meeting and Infrastructure Programs, Division of Program Coordination, Planning, and Strategic Name of Committee: Risk, Prevention need special assistance or other Initiatives, Office of the Director, NIH, 6701 and Health Behavior Integrated Review reasonable accommodations to view the Democracy Boulevard, Room 948, Bethesda, Group Addiction Risks and Mechanisms meeting, should notify the Contact MD 20892, [email protected]. 301–435– Study Section. Person listed below in advance of the 0744. Date: June 14–15, 2021. meeting. The open session will be Any interested person may file written Time: 10:00 a.m. to 5:00 p.m. videocast and can be accessed from the comments with the committee by forwarding Agenda: To review and evaluate grant NIH Videocasting and Podcasting the statement to the Contact Person listed on applications. website (http://videocast.nih.gov). this notice. The statement should include the Place: National Institutes of Health, A portion of the meeting will be name, address, telephone number and when applicable, the business or professional Rockledge II, 6701 Rockledge Drive, closed to the public in accordance with affiliation of the interested person. Bethesda, MD 20892 (Virtual Meeting). the provisions set forth in sections Information is also available on the Contact Person: Kristen Prentice, 552b(c)(4), and 552b(c)(6), Title 5 Council of Council’s home page at http:// Ph.D., Scientific Review Officer, Center U.S.C., as amended. The grant dpcpsi.nih.gov/council/ where an agenda for Scientific Review, National Institutes applications and the discussions could will be posted before the meeting date. of Health, 6701 Rockledge Drive, Room disclose confidential trade secrets or (Catalogue of Federal Domestic Assistance 3112, MSC 7808, Bethesda, MD 20892, commercial property such as patentable Program Nos. 93.14, Intramural Research

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Training Award; 93.22, Clinical Research note, the link to the videocast meeting will Contact Person: Noffisat Oki, Ph.D., Loan Repayment Program for Individuals be posted within a week of the meeting date. Scientific Review Officer, Center for from Disadvantaged Backgrounds; 93.232, Any member of the public may submit Scientific Review, 6701 Rockledge Drive, Loan Repayment Program for Research written comments no later than 15 days after Bethesda, MD 20892, 240–627–3648, Generally; 93.39, Academic Research the meeting. [email protected]. Enhancement Award; 93.936, NIH Acquired Closed: 2:00 p.m. to 3:10 p.m. Name of Committee: Bioengineering Immunodeficiency Syndrome Research Loan Agenda: To review and evaluate grant Sciences & Technologies Integrated Review Repayment Program; 93.187, Undergraduate applications. Group; Biomaterials and Biointerfaces Study Scholarship Program for Individuals from Place: National Institute of Arthritis and Section. Disadvantaged Backgrounds, National Musculoskeletal and Skin Diseases, 6701 Date: June 10–11, 2021. Institutes of Health, HHS) Democracy Blvd., Democracy I, Suite 800, Time: 8:00 a.m. to 7:00 p.m. Bethesda, MD 20892–4872 (Virtual Meeting). Dated: April 9, 2021. Agenda: To review and evaluate grant Contact Person: Melinda Nelson, Director, applications. Ronald J. Livingston, Jr., Office of Extramural Operations, 6701 Place: National Institutes of Health, Program Analyst, Office of Federal Advisory Democracy Blvd., Democracy I, Suite 800, Rockledge II, 6701 Rockledge Drive, Committee Policy. Bethesda, MD 20892–4872, (301) 435–5278, Bethesda, MD 20892 (Virtual Meeting). [FR Doc. 2021–07612 Filed 4–13–21; 8:45 am] [email protected]. Contact Person: Joseph D Mosca, Ph.D., BILLING CODE 4140–01–P Any interested person may file written Scientific Review Officer, Center for comments with the committee by forwarding Scientific Review, National Institutes of the statement to the Contact Person listed on Health, 6701 Rockledge Drive, Room 5158, DEPARTMENT OF HEALTH AND this notice. The statement should include the MSC 7808, Bethesda, MD 20892, (301) 408– name, address, telephone number and when 9465, [email protected]. HUMAN SERVICES applicable, the business or professional (Catalogue of Federal Domestic Assistance affiliation of the interested person. National Institutes of Health Program Nos. 93.306, Comparative Medicine; (Catalogue of Federal Domestic Assistance 93.333, Clinical Research, 93.306, 93.333, National Institute of Arthritis and Program Nos. 93.846, Arthritis, 93.337, 93.393–93.396, 93.837–93.844, 93.846–93.878, 93.892, 93.893, National Musculoskeletal and Skin Diseases; Musculoskeletal and Skin Diseases Research, National Institutes of Health, HHS) Institutes of Health, HHS) Notice of Meeting Dated: April 8, 2021. Dated: April 8, 2021. Pursuant to section 10(d) of the Miguelina Perez, Ronald J. Livingston, Jr., Federal Advisory Committee Act, as Program Analyst, Office of Federal Advisory Program Analyst, Office of Federal Advisory amended, notice is hereby given of a Committee Policy. Committee Policy. meeting of the National Arthritis and [FR Doc. 2021–07609 Filed 4–13–21; 8:45 am] [FR Doc. 2021–07611 Filed 4–13–21; 8:45 am] Musculoskeletal and Skin Diseases BILLING CODE 4140–01–P BILLING CODE 4140–01–P Advisory Council. The meeting will be open to the public as indicated below, with DEPARTMENT OF HEALTH AND DEPARTMENT OF HOMELAND attendance limited to space available. HUMAN SERVICES SECURITY Individuals who plan to attend and need special assistance, such as sign National Institutes of Health Federal Emergency Management language interpretation or other Agency reasonable accommodations, should Center for Scientific Review; Notice of notify the Contact Person listed below Closed Meetings [Docket ID: FEMA–2021–0012] in advance of the meeting. Pursuant to section 10(d) of the Assistance to Firefighters Grant The meeting will be closed to the Federal Advisory Committee Act, as Program public in accordance with the amended, notice is hereby given of the provisions set forth in sections AGENCY: Federal Emergency following meetings. Management Agency (FEMA), 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., The meetings will be closed to the Department of Homeland Security as amended. The grant applications and public in accordance with the (DHS). the discussions could disclose provisions set forth in sections confidential trade secrets or commercial 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., ACTION: Notice. property such as patentable material, as amended. The grant applications and SUMMARY: Pursuant to the Federal Fire and personal information concerning the discussions could disclose individuals associated with the grant Prevention and Control Act of 1974, as confidential trade secrets or commercial amended, the Administrator of FEMA is applications, the disclosure of which property such as patentable material, would constitute a clearly unwarranted publishing this notice describing the and personal information concerning fiscal year (FY) 2020 Assistance to invasion of personal privacy. individuals associated with the grant Name of Committee: National Arthritis and Firefighters Grant (AFG) Program applications, the disclosure of which application process, deadlines, and Musculoskeletal and Skin Diseases Advisory would constitute a clearly unwarranted Council. award selection criteria. This notice Date: May 18, 2021. invasion of personal privacy. explains the differences, if any, between Open: 9:30 a.m. to 12:30 p.m. Name of Committee: Bioengineering these guidelines and those Agenda: Discussion of Program Policies Sciences & Technologies Integrated Review recommended by representatives of the and Issues. Group; Modeling and Analysis of Biological national fire service leadership during Place: National Institute of Arthritis and Systems Study Section. the annual meeting of the Criteria Musculoskeletal and Skin Diseases, 6701 Date: June 2–3, 2021. Development Panel, which was held Democracy Blvd., Democracy I, Suite 800, Time: 10:00 a.m. to 6:00 p.m. Bethesda, MD 20892–4872, http:// Agenda: To review and evaluate grant December 11, 2019. The application videocast.nih.gov (Virtual Meeting). applications. period for the FY 2020 AFG Program Virtual Access: The meeting will be Place: National Institutes of Health, was January 4, 2021 through February videocast and can be accessed from the NIH Rockledge II, 6701 Rockledge Drive, 12, 2021, and was announced on the Videocast http://videocast.nih.gov. Please Bethesda, MD 20892 (Virtual Meeting). AFG website at: https://www.fema.gov/

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grants/preparedness/firefighters, as well The Federal Fire Prevention and vehicles, training, and other resources as at www.grants.gov. Control Act of 1974 further directs needed to protect emergency personnel DATES: Grant applications for the FY FEMA to administer these and the public from fire and related 2020 AFG Program were accepted appropriations according to the hazards. FEMA awards grants on a electronically at https://go.fema.gov, following requirements: competitive basis to the applicants that from January 4, 2021, through February • Career fire departments: Not less best address the AFG Program’s 12, 2021, at 5:00 p.m. Eastern Standard than 25 percent of available grant funds. priorities and provide the most • Time. Volunteer fire departments: Not less compelling justification. Applications ADDRESSES: Assistance to Firefighters than 25 percent of available grant funds. that best address AFG Program • Combination fire departments and Grant Branch, DHS/FEMA, 400 C Street priorities, as identified in the departments using paid-on-call SW, 3N, Washington, DC 20472–3635. Application Evaluation Criteria, will be firefighting personnel: Not less than 25 FOR FURTHER INFORMATION CONTACT: reviewed by a peer review panel percent of available grant funds. composed of fire service personnel. Catherine Patterson, Branch Chief, • Open competition (career, Assistance to Firefighters Grant Branch, The AFG Program has three program volunteer, and/or combination fire activities: 1–866–274–0960. departments and departments using • SUPPLEMENTARY INFORMATION: The AFG paid-on-call firefighting personnel): Not Operations and Safety Program awards grants directly to fire less than 10 percent of available grant • Vehicle Acquisition departments, non-affiliated emergency funds awarded. • Regional Projects medical services (EMS) organizations, • EMS providers including fire The priorities for each activity are and State Fire Training Academies departments and nonaffiliated EMS fully outlined in the NOFO. (SFTAs) for the purpose of enhancing organizations: Not less than 3.5 percent the health and safety of first responders of available grant funds awarded, with Application Evaluation Criteria and improving their abilities to protect nonaffiliated EMS providers receiving Prior to making a grant award, FEMA the public from fire and fire-related no more than 2 percent of the total is required by 31 U.S.C. 3354, as hazards. available grant funds. amended by the Payment Integrity Applications for the FY 2020 AFG • SFTAs: Not more than 3 percent of Information Act of 2019, Public Law Program were submitted and processed available grant funds shall be 116–117 (2020), 41 U.S.C. 2313, and 2 online at https://go.fema.gov. Before the collectively awarded to SFTA CFR 200.206 to review information application period started, the FY 2020 applicants, with a maximum of $1 available through any Office of AFG Program Notice of Funding million per applicant. Management and Budget (OMB) Opportunity (NOFO) was published on • Vehicles: Not more than 25 percent designated repositories of government- FEMA’s AFG Program website. The AFG of available grant funds may be used for wide eligibility qualification or financial Program website provides additional the purchase of vehicles; 10 percent of integrity information. Therefore, information and materials useful for FY those vehicle funds will be dedicated to application evaluation criteria may 2020 AFG Program applicants including the funding of ambulances. Vehicle include the following risk-based Frequently Asked Questions, funds will be distributed as equally as considerations of the applicant: (1) Application Checklist, Get Ready Guide possible among urban, suburban, and Financial stability; (2) quality of Narrative, Self-Evaluation Sheets for rural community applicants. Vehicle Acquisition and Operations • Micro grants: This is a voluntary management systems and ability to meet Safety, and a Cost Share Calculator. funding limitation choice made by the management standards; (3) history of Based on past AFG Program application applicant for requests submitted within performance in managing Federal periods, FEMA anticipates receiving the operations and safety activity; it is awards; (4) reports and findings from 10,000 to 15,000 applications for the FY not an additional funding opportunity. audits; and (5) ability to effectively 2020 AFG Program, and the ability to Micro grants are awards that have a implement statutory, regulatory, or award approximately 2,000 grants. Federal participation (share) that does other requirements. not exceed $50,000. Only fire FEMA will rank all complete and Congressional Appropriations departments and nonaffiliated EMS submitted applications based on how For the FY 2020 AFG Program, organizations are eligible to choose well they match program priorities for Congress appropriated $355 million micro grants, and the only eligible micro the type of jurisdiction(s) served. (Consolidated Appropriations Act, 2020, grants requests are for training, Answers to activity specific questions Pub. L. 116–93). From this amount, equipment, personal protective provide information used to determine $319.5 million will be made available equipment (PPE), and wellness and each application’s ranking relative to for FY 2020 AFG Program awards. In fitness activities. Applicants that select the stated program priorities. addition, Section 33 of the Federal Fire micro grants as a funding opportunity Funding priorities and criteria for Prevention and Control Act of 1974, as may receive additional consideration for evaluating AFG Program applications amended (15 U.S.C. 2229), requires that award. If an applicant selects micro are established by FEMA based on the a minimum of 10 percent of available grants in their application, they will be recommendations from the Criteria funds be expended for Fire Prevention limited in the total amount of funding Development Panel (CDP). CDP is and Safety (FP&S) Program grants. FP&S their organization can be awarded; if comprised of fire service professionals Program awards will be made directly to they are requesting funding in excess of who make recommendations to FEMA local fire departments and to local, $50,000 Federal participation, they regarding the creation of new, or the regional, State, or national entities should not select micro grants. modification of previously established, recognized for their expertise in the funding priorities, as well as developing fields of fire prevention and firefighter Background of the AFG Program criteria for awarding grants. The content safety research and development. Funds Since 2001, the AFG Program has of the NOFO reflects implementation of appropriated for FY 2020 will be helped firefighters and other first CDP’s recommendations with respect to available for obligation and award until responders obtain critically needed the priorities and evaluation criteria for September 30, 2021. equipment, protective gear, emergency awards.

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The nine major fire service not required. The panel score is 50 identify how funding will benefit their organizations represented on the CDP percent of the total application score. organization and personnel. are: 4. Statement of Effect on Daily • iii. Technical Evaluation Process International Association of Fire Operations (25 Percent) Chiefs The highest ranked applications are • International Association of Fire considered within the fundable range. This statement should explain how Fighters Applications that are in the fundable these funds will enhance the applicant’s • National Volunteer Fire Council range undergo both a technical review overall effectiveness. It should address • National Fire Protection Association by a subject matter expert, as well as a how an award will improve daily • National Association of State Fire FEMA AFG Branch review prior to operations and reduce the applicant’s Marshals being recommended for an award. The risks. Applicants should include how • International Association of Arson FEMA AFG Branch will assess the frequently the requested items will be Investigators request with respect to costs, quantities, used, and in what capacity. Applicants • International Society of Fire Service feasibility, eligibility, and recipient should also indicate how the requested Instructors responsibility prior to recommending an items will help the community and • North American Fire Training application for award. Once the increase the organization’s ability to Directors technical evaluation process is save additional lives or property. • Congressional Fire Service Institute complete, the cumulative score for each Jurisdictions that demonstrate their commitment and proactive posture to Review and Selection Process application will be determined and FEMA will generate a final ranking of reducing fire risk, by explaining their AFG Program applications are applications. FEMA will award grants code enforcement (to include Wildland reviewed through a multi-phase process. based on this final ranking and the Urban Interface code enforcement) and All applications are electronically pre- statutorily required funding limitations mitigation strategies (including whether scored and ranked based on how well listed in this notice and the NOFO. or not the jurisdiction has a FEMA- they align with the funding priorities approved mitigation strategy) may outlined in this notice. Applications Narrative Evaluation Criteria receive stronger consideration under with the highest pre-score rankings are 1. Financial Need (25 Percent) this criterion. then scored competitively by (no less than three) members of a Peer Review Applicants should describe their Eligible Applicants Panel. Applications will also be financial need and how consistent it is Fire Departments: Fire departments evaluated through a series of internal with the intent of the AFG Program. operating in any of the 50 States, as well FEMA review processes for This statement should include details as fire departments in the District of completeness, adherence to describing the applicant’s financial Columbia, the Commonwealth of the programmatic guidelines, technical distress, summarized budget Northern Mariana Islands, the U.S. feasibility, and anticipated effectiveness constraints, unsuccessful attempts to Virgin Islands, Guam, American Samoa, of the proposed project(s). Below is the secure other funding, and proof that the Commonwealth of Puerto Rico, or process by which applications will be their financial distress is out of their any federally-recognized Indian Tribe or reviewed: control. Tribal organization. A fire department is an agency or 2. Project Description and Budget (25 i. Pre-Scoring Process organization having a formally Percent) The application undergoes an recognized arrangement with a State, electronic pre-scoring process based on This statement should clearly explain territory, local, or Tribal authority (city, established program priorities listed the applicant’s project objectives and county, parish, fire district, township, within the NOFO and answers to the relationship between those town, or other governing body) to activity specific questions within the objectives and the applicant’s budget provide fire suppression to a population online application. Application and risk analysis. The applicant should within a geographically fixed primary narratives are not reviewed during pre- describe the activities, including first due response area. scoring. Request details and budget program priorities or facility Nonaffiliated EMS organizations: information should comply with modifications, ensuring consistency Nonaffiliated EMS organizations program guidance and statutory funding with project objectives, the applicant’s operating in any of the 50 States, as well limitations. The pre-score is 50 percent mission, and any national, State, and/or as the District of Columbia, the of the total application score. local requirements. Applicants should Commonwealth of the Northern Mariana link the proposed expenses to Islands, the U.S. Virgin Islands, Guam, ii. Peer Review Panel Process operations and safety, as well as the American Samoa, the Commonwealth of Applications with the highest pre- completion of the project goals. Puerto Rico, or any federally-recognized score will undergo peer review. The Indian Tribe or Tribal organization. 3. Cost Benefit (25 Percent) peer review is comprised of fire service A nonaffiliated EMS organization is representatives recommended by the Applicants should describe how they an agency or organization that is a organizations represented on the CDP. plan to address the operations and public or private nonprofit emergency The panelists assess the merits of each personal safety needs of their medical services entity providing application based on the narrative organization, including cost medical transport that is not affiliated section of the application, including the effectiveness and sharing assets. This with a hospital and does not serve a evaluation elements listed in the statement should also include details geographic area in which emergency Narrative Evaluation Criteria below. about gaining the maximum benefits medical services are adequately Panelists independently score each from grant funding by citing reasonable provided by a fire department. project within the application, discuss or required costs, such as specific FEMA considers the following as the merits and/or shortcomings of the overhead and administrative costs. The hospitals under the AFG Program: application with their peers, and applicant’s request should also be • Clinics document the findings. A consensus is consistent with their mission and • Medical centers

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• Medical colleges or universities grant recipient may receive from the The cumulative total of the Federal • Infirmaries AFG Program in any single fiscal year share of awards in Operations and • Surgery centers based on the population served (15 Safety, Regional, and Vehicle • Any other institutions, associations, U.S.C. 2229(c)(2)). Awards will be Acquisition activities will be considered or foundations providing medical, limited based on the size of the when assessing award amounts and any surgical, or psychiatric care and/or population protected by the applicant, limitations thereto. Applicants may treatment for the sick or injured. as indicated below. Notwithstanding the request funding up to the statutory limit State Fire Training Academies: SFTAs annual limits stated below, the on each of their applications. operating in any of the 50 States, as well Administrator of FEMA may not award For example, an applicant that serves as the District of Columbia, the a grant in an amount that exceeds one a jurisdiction with more than 100,000 Commonwealth of the Northern Mariana percent of the available grant funds in people, but not more than 500,000 Islands, the U.S. Virgin Islands, Guam, such fiscal year, except where it is people, may request up to $2 million on American Samoa, or the Commonwealth determined that such recipient has an their Operations and Safety Application, of Puerto Rico. Applicants must be extraordinary need for a grant in an and up to $2 million on their Vehicle designated either by legislation or by a amount that exceeds the one percent Acquisition request. However, should Governor’s declaration as the sole fire aggregate limit. both grants be awarded, the applicant service training agency within a State, • In the case of a recipient that serves would have to choose which award to territory, or the District of Columbia. a jurisdiction with 100,000 people or accept if the cumulative value of both The designated SFTA shall be the only fewer, the amount of available grant applications exceeds the statutory agency/bureau/division, or entity within funds awarded to such recipient shall limits. that State, territory, or the District of not exceed $1 million in any fiscal year. Cost Sharing and Maintenance of Effort Columbia. • In the case of a recipient that serves a jurisdiction with more than 100,000 Grant recipients must share in the Ineligibility costs of the projects funded under this • people, but not more than 500,000 To avoid a duplication of benefits, people, the amount of available grant grant program as required by 15 U.S.C. FEMA reserves the right to review all funds awarded to such recipient shall 2229(k)(1) and in accordance with program activities or grant applications not exceed $2 million in any fiscal year. applicable Federal regulations at 2 CFR where two or more organizations share • In the case of a recipient that serves part 200, but they are not required to a single facility. To be eligible as a a jurisdiction with more than 500,000, have the cost-share at the time of separate organization, two or more fire but not more than 1 million people, the application nor at the time of award. departments or nonaffiliated EMS amount of available grant funds However, before a grant is awarded, organizations will have different awarded to such recipient shall not FEMA validates that the grant recipient funding streams, personnel rosters, or exceed $3 million in any fiscal year. has provided sufficient evidence that Employer Identification Numbers the cost-share requirement will be • In the case of a recipient that serves (EINs). If two or more organizations fulfilled during the period of the grant a jurisdiction with more than 1 million share facilities and each submits an award. people but not more than 2.5 million application in the same program area In general, an eligible applicant people, the amount of available grant (e.g., Equipment, Modify Facilities, PPE, seeking a grant shall agree to make funds awarded to such recipient is Training, and/or Wellness and Fitness available non-Federal funds equal to not subject to the one percent aggregate cap Programs) FEMA will carefully review less than 15 percent of the grant of $3.55 million for FY 2020, but FEMA each program for eligibility. awarded. However, the cost share will may waive this aggregate cap in • Fire-based EMS organizations are vary as follows based on the size of the individual cases where FEMA not eligible to apply as nonaffiliated population served by the organization, determines that a recipient has an EMS organizations. Fire-based EMS with exceptions to this general extraordinary need for a grant that training and equipment must be requirement for entities serving smaller exceeds the aggregate cap; if FEMA requested by a fire department under communities: the AFG Program component program of waives the aggregate cap, the amount of • Applicants that serve populations Operations and Safety. grant funds awarded to such recipient of 20,000 or less shall agree to make • Eligible applicants may submit only shall not exceed $6 million for any available non-Federal funds in an one application for each activity (e.g., fiscal year. • amount equal to not less than 5 percent Operations and Safety, Regional, etc.), In the case of a recipient that serves of the grant awarded. but may submit for multiple projects a jurisdiction with more than 2.5 • Applicants serving areas with within each activity. Under the Vehicle million people, the amount of available populations above 20,000, but not more Activity, applicants may submit one grant funds awarded to such recipient is than 1 million, shall agree to make application for vehicles for their subject to the one percent aggregate cap available non-Federal funds in an department and one separate of $3.55 million for FY 2020, but FEMA amount equal to not less than 10 percent application to host a Regional vehicle. may waive this aggregate cap in of the grant awarded. Duplicate applications (more than one individual cases where FEMA • Applicants serving areas with application in the same activity) may be determines that a recipient has an populations above 1 million shall agree disqualified. extraordinary need for a grant that to make available non-Federal funds in • An Operations and Safety applicant exceeds the aggregate cap; if FEMA an amount equal to not less than 15 may submit one application for an waives the aggregate cap, the amount of percent of the grant awarded. eligible project (ie.g., turn out gear); it grant funds awarded to such recipient The cost share for SFTAs will apply may not submit a Regional application shall not exceed $9 million for any the requirements above based on the for the same project. fiscal year. total population of the State. • FEMA may not waive the The cost share for a regional Statutory Limits to Funding population-based limits on the amount application will apply the requirements • Congress has enacted statutory of grant funds awarded as set by 15 above based on the aggregate population limits to the amount of funding that a U.S.C. 2229(c)(2)(A). of the primary first due response areas

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of the host and participating partner business hours (1–866–274–0960) or Criteria Development Panel organizations that execute a electronic mail [email protected]. Recommendations Memorandum of Understanding as Application Process If there are any differences between described in Appendix B, Section J, the published AFG Program guidelines Regional projects, of the FY 2020 AFG Organizations may submit one and the recommendations made by the Program NOFO. application per application period in CDP, FEMA must explain them and On a case-by-case basis, FEMA may each of the three AFG Program activities publish the information in the Federal allow a grant recipient that may already (e.g., one application for Operations and Register prior to awarding any grant own assets (equipment or vehicles), Safety, one for Vehicle Acquisition, under the AFG Program. For FY 2020, acquired with non-Federal cash, to use and/or a separate application to be a FEMA accepted, and will implement, all the trade-in allowance/credit value of Joint/Regional Project host). If an but two of the CDP’s recommendations those assets as ‘‘cash’’ for the purpose of organization submits more than one for the prioritization of eligible meeting the cost-share obligation of activities. their AFG Program award. In-kind, cost- application for any single AFG Program share matches are not allowed. activity (e.g., two applications for Adopted Recommendations for FY 2020 Operations and Safety, two for Vehicles, Grant recipients under this grant The FY 2020 AFG Program NOFO etc.), either intentionally or program must also agree to a contains some changes to definitions, unintentionally, both applications may maintenance of effort requirement as descriptions, and priority categories. required by 15 U.S.C. 2229(k)(3) be disqualified. Changes to the FY 2020 AFG Program (referred to as a ‘‘maintenance of Applicants accessed the grant NOFO include: expenditure’’ requirement in that application electronically at https:// • Under Sections D—Application and statute). A grant recipient shall agree to go.fema.gov. The application is also Submission Information, E— maintain during the term of the grant accessible from the U.S. Fire Application Review Information, F— the applicant’s aggregate expenditures Administration’s website http:// Federal Award Administration relating to the activities allowable under www.usfa.fema.gov and http:// Information, G—DHS Awarding Agency the NOFO at not less than 80 percent of www.grants.gov. New applicants must Contact and Resource. Information, and the average amount of such register and establish a user name and H—Additional Information: Æ expenditures in the two fiscal years password for secure access to the grant Various grants management preceding the fiscal year in which the application. Previous AFG Program changes due to the recent OMB revision grant amounts are received. applicants must use their previously to 2 CFR In particular, changes In cases of demonstrated economic established user name and passwords. regarding SAM registration, hardship, and at the request of the grant performance measures, procurement, recipient, the Administrator of FEMA Applicants are expected to answer closeout, and termination are included. may waive or reduce a grant recipient’s questions about their grant request that • Under Federal Award Information: cost share requirement or maintenance reflect the AFG Program funding Æ Period of performance for AFG of expenditure requirement. AFG priorities, described below. In addition, Program awards is 24 months. Program applicants for FY 2020 must each applicant must complete four • Under Supporting Definitions: indicate at the time of application separate narratives for each project or Æ Paid on-call/Stipend departments whether they are requesting a waiver grant activity requested. Grant are added to the definition for and whether the waiver is for the cost applicants will also provide relevant Combination Fire Department. share requirement, for the maintenance information about their organization’s • Under Application Tips: of effort requirement, or both. As characteristics, call volume, and Æ Explanation of AFG Program- required by statute, the Administrator of existing organizational capabilities. approved seated riding positions was FEMA is required to establish added. guidelines for determining what System for Award Management (SAM) • Under Training Activity: constitutes economic hardship. FEMA Æ Per 2 CFR 25.200, all Federal grant Rental of Audio/Visual equipment has published these guidelines at applicants and recipients must register was added as eligible activity. FEMA’s website: https://www.fema.gov/ • at https://SAM.gov. SAM is the Federal Under Operations and Safety sites/default/files/2020-04/Eco_ Activity: Government’s System for Awards Hardship_Waiver_FPS_SAFER_AFG_IB_ Æ Radio over internet Protocol (RoIP) Management, and registration is free of FINAL.pdf. communication equipment was added charge. Applicants must maintain Prior to the start of the FY 2020 AFG as a Medium Priority. Program application period, FEMA current information in SAM that is Æ Integrated thermal imaging cameras conducted applicant internet webinars consistent with the data provided in were added to the ineligible list under to inform potential applicants about the their AFG Program grant application the PPE category. AFG Program. In addition, FEMA and in the Dun & Bradstreet (DUNS) • Under Modifications to Facility provided applicants with information at database. FEMA may not accept any Activity: the AFG Program website: https:// application, process any awards, or Æ Intruder alerting systems and www.fema.gov/grants/preparedness/ consider any payment or amendment deployment notification systems were firefighters to help them prepare quality requests, unless the applicant or grant added as ineligible. grant applications. The AFG Program recipient has complied with the • Under Regional Applications: Help Desk is staffed throughout the requirements to provide a valid DUNS Æ Guidance requiring purchases from application period to assist applicants number and an active SAM registration. same vendor added. with the automated application process The grant applicant’s banking • Under Environmental Planning and as well as assistance with any questions. information, EIN, organization/entity Historic Preservation (EHP): Applicants can reach the AFG name, address, and DUNS number must Æ Updated process for EHP added. Program Help Desk through a toll-free match the same information provided in • Under Award Administration telephone number during normal SAM. Information (Appendix C):

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Æ Updated process for Economic chicken; Colorado, Kansas, New Mexico, Act of 1973, as amended (ESA; 16 Hardship Waiver added. Oklahoma and Texas (HCP). The U.S.C. 1531 et seq.). Æ Excess Funds Restrictions specifies applicant has applied to the Service for We are considering issuing a section High Priority items as eligible under this the ITP pursuant to the Endangered 10(a)(1)(B) ITP for the LEPC, a species option. Species Act. The requested ITP, if that is not currently listed under the Æ Updated instruction on supporting approved, would authorize incidental ESA, in response to the applicant’s documentation is added for advance take of the lesser prairie-chicken application and supporting HCP. While and reimbursement payment request. resulting from activities covered by the our 2016 revised HCP handbook HCP (e.g., wind, solar, transmission (Handbook) provides guidance that an Recommendations Not Adopted for FY lines, and communication towers) and ITP and supporting HCP include at least 2020 incidental take resulting from one ESA-listed animal species, the • The CDP recommended that fire conservation actions taken to avoid, issuance of this ITP could provide for departments implement a requirement minimize, and mitigate impacts of the LEPC conservation in several ways. where National Fire Protection incidental take of the LEPC that result First, the proposed HCP may meet the Association (NFPA) standards listed as from covered activities. If approved, the Service’s conservation recommendation 1582 physicals become a requirement requested ITP would become effective for the LEPC because it emphasizes for all awards. FEMA recommends should the LEPC become federally listed avoidance and minimization, and evaluating the impact of this during the life of the ITP and HCP. With focuses mitigation in areas that can requirement prior to implementation. this notice we also announce the serve as conservation strongholds for Data on fire departments’ abilities to availability of a draft environmental this species. Depending on enrollment, meet this standard was collected in the assessment (EA) that has been prepared this mitigation strategy could help to FY 2020 application. It will not be to evaluate the ITP application in preclude the need to list the LEPC or considered during the application accordance with the requirements of the could help to recover the LEPC, if listing review. National Environmental Policy Act. We is warranted in the future. Second, the • The CDP recommended that FEMA are making the ITP application package, proposed HCP would provide taxpayer adopt new definitions for career and including the HCP and draft EA, and industry savings in the use of one combination departments to align with available for public review and conservation planning strategy. In NFPA changes in the 1710 and 1720 comment. contrast, developing a CCAA prior to a standards. FEMA is unable to adopt this DATES: Submission of comments: We future listing and developing an HCP, or recommendation as it conflicts with will accept comments received or multiple HCPs, after a potential future statutory definitions. postmarked on or before May 14, 2021. listing is inefficient for both the Federal agencies and industry participants. The Authority: 15 U.S.C. 2229. ADDRESSES: Obtaining documents: You proposed HCP would be more efficient may obtain copies of the ITP Robert Fenton, because potential participants could application, HCP, draft EA, or other enroll on a project-by-project basis Senior Official Performing the Duties of the related documents on the internet at FEMA Administrator, Federal Emergency either pre- or post a future listing. This https://www.fws.gov/southwest/es/ Management Agency. allows for greater, more consistent, and ArlingtonTexas. [FR Doc. 2021–07576 Filed 4–13–21; 8:45 am] more predictable conservation efforts to Submitting comments: You may be undertaken. Third, with this BILLING CODE 9111–64–P submit written comments by email to proposed HCP, the Service would issue [email protected]. Please note that your a permit that does not go into effect comment is in reference to the above- until a future listing, if it occurs. This DEPARTMENT OF THE INTERIOR referenced HCP. For more information, is the same as our practice for permits see Public Availability of Comments. Fish and Wildlife Service associated with CCAAs and ITPs FOR FURTHER INFORMATION CONTACT: associated with multi-species HCPs that [FWS–R2–ES–2020–N125; Debra Bills, Field Supervisor, U.S. Fish FXES11140200000–212–FF02ENEH00] include unlisted species. Finally, the and Wildlife Service, Arlington, Texas, proposed HCP also supports States’ Ecological Services Office; telephone Application for an Incidental Take management ability of the unlisted 817–277–1100. Hearing or speech species similar to CCAAs in that the Permit; Renewable (Wind and Solar) impaired individuals may call the Energy, Power Line, and proposed ITP does not become effective Federal Relay Service at 800–877–8339 until such time that the covered species Communication Tower Habitat for TTY service. Conservation Plan for the Lesser may be listed. Prelisting participation is SUPPLEMENTARY INFORMATION: We, the Prairie-Chicken; Colorado, Kansas, voluntary for participants and provides U.S. Fish and Wildlife Service (Service), New Mexico, Oklahoma and Texas the affected States continued regulatory make available the Renewable (Wind authority regarding wildlife species. AGENCY: Fish and Wildlife Service, and Solar) Energy, Power Line, and We believe considering a HCP Interior. Communication Tower Habitat without a currently listed species, in ACTION: Notice of availability; request Conservation Plan for the Lesser Prairie- this instance, is supported by the for comments. chicken; Colorado, Kansas, New Mexico, Conference Report to the 1982 Oklahoma and Texas (HCP). The LPC Amendments that created HCPs SUMMARY: This notice advises the public Conservation LLC (applicant) has (Conference Report) which expressly that LPC Conservation LLC (applicant) applied for an incidental take permit considered both listed and unlisted has applied to the U.S. Fish and (ITP). If approved, the requested ITP species, H.R. Rep No. 97–835, at 30 Wildlife Service (Service) for an would become effective and authorize (1982). The Conference Report states incidental take permit (ITP) supported incidental take of the lesser prairie- that ‘‘although the conservation plan is by the Renewable (Wind and Solar) chicken (Tympanuchus pallidicinctus; keyed to the permit provisions of the Energy, Power Line, and LEPC) should the LEPC become Act which only apply to listed species, Communication Tower Habitat federally listed during the life of the ITP the committee intends that conservation Conservation Plan for the Lesser Prairie- and HCP under the Endangered Species plans may address both listed and

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unlisted species.’’ Id. The Conference applicant has volunteered to take to activities associated with these project Report continues by stating that the meet the issuance criteria for a types within the HCP permit area that inclusion of unlisted species supports 10(a)(1)(B) ITP associated with an HCP. could affect potentially suitable LEPC the Congressional purpose that the The issuance criteria for HCPs are found habitat (the ‘‘covered activities’’). In species not be viewed in isolation but in at 50 CFR 17.22(b)(2) and 50 CFR addition, the covered activities include terms of their relationship to the 17.32(b)(2). other ground disturbing activities which ecosystem as a whole. This broad view 3. The HCP would be implemented by could occur during some types of of conservation, including conservation those parties who voluntarily enroll, repairs required during the operations planning and permitting for unlisted providing conservation upon and maintenance phase, project species, is ‘‘consistent with the enrollment, but the subject ITP would repowering, or project decommissioning purposes of several other fish and not be effective until such time as the within the permit area. wildlife statutes (e.g, Fish and Wildlife cover species may be listed in the The requested term of the ITP is 30 Act of 1956, Fish and Wildlife future. The ITP would be effective only years, and the ITP would authorize Coordination Act) which are intended to for those participants fully incidental take of LEPC associated with authorize the Secretary to cooperate implementing the conservation plan. impacts to up to 500,000 acres of with the States and private entities on 4. As described in the HCP, the suitable LEPC habitat within the plan matters regarding conservation of all potential incidental take of LEPC could area (approximately 1.7 percent of the fish and wildlife resources of this result from otherwise lawful, voluntary 30,178,085 total acres of potentially nation.’’ Id. The Conference Report activities covered by the HCP. suitable LEPC habitat within the plan encourages the Secretary to develop 5. We have included the alternative of area) resulting from implementation of ‘‘creative partnerships between the issuing an enhancement of survival the covered activities by participants in public and private sectors’’ and notes permit (ESP) under section 10(a)(1)(A) the HCP. that the Secretary ‘‘may utilize this of the ESA, the Candidate Conservation To meet the requirements of a section provision to approve conservation plans Agreement with Assurances Policy, and 10(a)(1)(B) ITP, the applicant has which provide long-term commitments implementing regulations (50 CFR developed, and proposes to implement, regarding the conservation of listed as 17.22(d) and 17.32(d)), and we will the HCP, which describes the well as unlisted species.’’ Id. accept comments related to this conservation measures the applicant has Through the proposed minimization alternative. voluntarily agreed to undertake. These and mitigation measures, the HCP measures will be implemented prior to Background would provide long-term commitments or concurrent with proposed impacts. regarding the conservation of LEPC that Section 9 of the ESA and our These measures include LEPC habitat would fully offset impacts to the species implementing regulations at 50 CFR part conservation through enhancement and associated with habitat loss and 17 prohibit the ‘‘take’’ of fish or wildlife restoration. On average, for every acre of fragmentation resulting from species listed as endangered or LEPC habitat impacted, 2 acres of implementation of the covered activities threatened. Take is defined under the perpetual LEPC habitat conservation by participants in the HCP. The HCP ESA as to ‘‘harass, harm, pursue, hunt, would be required. Of those 2 acres, 1 would provide voluntary pre-listing shoot, wound, kill, trap, capture, or acre would consist of restoration and conservation that may be used to collect listed animal species, or to the other acre would consist of evaluate the species’ status in a future attempt to engage in such conduct’’ (16 enhancement. Restoration actions listing decision, and potential U.S.C. 1538(19)). However, under include removal of woody vegetation participants would have the option to section 10(a) of the ESA, we may issue encroachment, removal infrastructure, enroll in the HCP prior to or after a permits to authorize incidental take of and conversion of cropland to potential future listing decision. As listed species. ‘‘Incidental take’’ is grasslands. Enhancement efforts such, processing the ITP application defined by the ESA as take that is primarily include actions to maintain or and HCP under 10(a)(1)(B) could incidental to, and not the purpose of, enhance the quality of existing LEPC provide for long-term conservation for carrying out an otherwise lawful habitat, such as prescribed burning, the LEPC and more flexibility and long- activity. prescribed grazing, and chemical and term regulatory certainty for Regulations governing such take of mechanical manipulation of the participants, as described above. endangered and threatened species are vegetative community. Implementation Based on the information above, we found at 50 CFR 17.21–22 and 50 CFR of the proposed LEPC habitat have determined that processing this 17.31–32, respectively. conservation measures are projected to result in no net loss of LEPC habitat. ITP application and HCP is consistent Proposed Action with the Conference Report and current The ITP would authorize incidental take regulations, and, therefore, we may The proposed action involves the that may result from the implementation process this ITP application and HCP issuance of a 10(a)(1)(B) incidental take of the proposed conservation measures, under section 10(a)(1)(B) of the ESA and permit (ITP) to LPC Conservation LLC including activities occurring on its implementing regulations (50 CFR (applicant) and approval of the mitigation parcels that, while providing 17.22(b) and 17.32(b)). proposed Renewable (Wind and Solar) a long-term benefit to LEPC, may have In accordance with the requirements Energy, Power Line, and temporary impacts to the species. of the National Environmental Policy Communication Tower Habitat The HCP, including the proposed Act of 1969 (NEPA; 42 U.S.C. 4321 et Conservation Plan for the Lesser Prairie- conservation measures, was developed seq.), we advise the public that: chicken; Colorado, Kansas, New Mexico, in coordination with the Service. 1. We have prepared a draft Oklahoma and Texas (HCP). The ITP Implementation of the HCP environmental assessment (EA) to would cover incidental ‘‘take’’ of the requirements, including the evaluate the ITP application. We are LEPC associated with wind, solar, conservation measures, would be accepting comments on the ITP power line, and communication tower required for all participants in the HCP application and draft EA. buildout, including ancillary (e.g., regardless of the listing status of the 2. The applicant has developed an access road, lay down yard, power line LEPC. The proposed conservation HCP which describes the measures the interconnection) ground-disturbing measures, once implemented, would

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fully offset impacts to the LEPC willing participants. While the LEPC comment, you should be aware that associated with habitat loss and remains unlisted, potentially your entire comment—including your fragmentation resulting from participating entities (i.e., wind, solar, personal identifying information—may implementation of the covered power line, and communication tower be made publicly available at any time. activities, and would provide a long- companies) would have little economic While you can ask us to withhold your term conservation benefit to LEPC. or legal incentive to voluntarily initiate personal identifying information from the conservation or management Alternatives public review, we cannot guarantee that activities that are proposed in the HCP we will be able to do so. All We are considering two alternatives to to benefit the LEPC. Therefore, unless submissions from organizations or the proposed action as part of this potentially participating entities businesses, and from individuals process: Issuance of an Enhancement of voluntarily participate in another identifying themselves as Survival Permit for a Candidate programmatic permitting option, should representatives or officials of Conservation Agreement With one be available, or voluntarily develop organizations or businesses, will be Assurances, and a No Action their own stand along permitting option, made available for public disclosure in Alternative. conservation measures above and their entirety. beyond those directed by existing 1. Issuance of an Enhancement of Authority Survival Permit for a Candidate Federal, State, and local laws, policies, Conservation Agreement With or regulations likely would not be We provide this notice under the Assurances implemented, and the LEPC would not authority of section 10(c) of the ESA and gain additional protections and its implementing regulations (50 CFR Under this alternative, instead of conservation benefits over what 17.22 and 17.32) and NEPA (42 U.S.C. approving the HCP and issuing an ITP, currently exists. On private lands, 4371 et seq.) and its implementing the Service would issue an where the State or Federal government regulations (40 CFR 1506.6). enhancement of survival permit (ESP) has no authority to protect or direct the pursuant to section 10(a)(1)(A) of the management of LEPC habitat, LEPC Amy L. Lueders, ESA, supported by a candidate conservation programs would be Regional Director, Southwest Region, U.S. conservation agreement with assurances implemented entirely at the discretion Fish and Wildlife Service. (CCAA), to the applicant for incidental of the landowners and private [FR Doc. 2021–07475 Filed 4–13–21; 8:45 am] take associated with the covered developers. BILLING CODE 4333–15–P activities in the CCAA. The proposed covered activities in the CCAA would Next Steps be the same as those proposed in the We will evaluate the permit DEPARTMENT OF THE INTERIOR HCP. The permit term for the ESP application, HCP, associated would be 30 years. Under this documents, and comments we receive to Bureau of Land Management alternative, it is assumed the applicant determine whether the ITP application [212L1109AF (in the role of CCAA administrator) meets the requirements of ESA, NEPA, LLUTC030000.L14400000FR0000; UTU– would require enrolled projects to and implementing regulations, or 91524] implement all the avoidance, whether the issuance of an ESP should minimization, mitigation, monitoring, be considered. If we determine that all Notice of Realty Action: Recreation adaptive management, and reporting requirements are met, we will approve and Public Purposes Act processes described in the HCP as part the HCP and issue the ITP under section Classification; Washington County, of the CCAA. It is anticipated that a 10(a)(1)(B) of the ESA (16 U.S.C. 1531 Utah similar level of wind, solar, power line, et seq.) to the applicant in accordance AGENCY: Bureau of Land Management, and communication tower development with the terms of the HCP and specific Interior. within the permit area would occur terms and conditions of the authorizing under an HCP or a CCAA for each ITP. Alternatively, we could approve ACTION: Notice of Realty Action. project. However, the enrollment of this plan as a CCAA and issue an ESP SUMMARY: The Bureau of Land projects under the CCAA would end under section 10(a)(1)(A) of the ESA (16 Management (BLM) examined certain upon the future date of a possible listing U.S.C. 1531 et seq.) and applicable public lands in Washington County, of the covered species; whereas, the regulations. We will consider comments Utah, and found them suitable for HCP enrollment would continue for the on both the alternative and the denial of classification for lease or conveyance to duration of the permit. We anticipate issuing a permit in our final decision. the Washington County Water that this alternative would result in the We will not make our final decision Conservancy District (WCWCD) under same level of potential impacts to LEPC until after the 30-day comment period the provisions of the Recreation and and the same level of LEPC conservation ends, and we have fully considered all Public Purposes (R&PP) Act, as as what is proposed in the HCP for those comments received during the public amended, the Taylor Grazing Act, and enrolled prior to listing, but projects comment period. Executive Order 6910. WCWCD after a potential listing would need to Public Availability of Comments proposes to use the 10.87-acre parcel develop their own HCPs or find an All comments we receive become part described below as a camping and alternative coverage for incidental take. recreation area adjacent to a proposed This action would be consistent with of the public record associated with this action. Requests for copies of comments reservoir near the junction of Interstate existing Service guidance for 15 and State Route 17. conservation actions of unlisted species. will be handled in accordance with the Freedom of Information Act, NEPA, and DATES: Submit written comments 2. No Action Alternative Service and Department of the Interior regarding this proposed classification on Under this alternative, the Service policies and procedures. Before or before June 1, 2021. would not issue an ITP or an ESP, and including your address, phone number, ADDRESSES: Comments may be emailed therefore this programmatic permitting email address, or other personal to [email protected] or structure would not be available for identifying information in your mailed to the BLM St. George Field

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Office, Field Manager, 345 E Riverside segregated from all other forms of lands will not be offered for lease or Drive, St. George, Utah 84790. The BLM appropriation under the public land conveyance until after the classification will not consider comments received via laws, including locations under the becomes effective. telephone calls. Detailed information mining laws, except for lease or Before including your address, phone including, but not limited to, a proposed conveyance under the R&PP Act and number, email address, or other development and management plan and leasing under the mineral leasing laws. personal identifying information in your documentation relating to compliance The lease or conveyance of the land, comment, you should be aware that with applicable environmental and when issued, will be subject to the your entire comment—including your cultural resource laws, the documents following terms, conditions, and personal identifying information—may are available on the BLM’s E-Planning reservations: be made publicly available at any time. website at https://go.usa.gov/xsCrb. 1. A right-of-way thereon for ditches While you can ask us in your comment and canals constructed by the authority FOR FURTHER INFORMATION CONTACT: to withhold your personal identifying Stephanie Trujillo, Realty Specialist, of the United States Act of August 30, information from public review, we email: [email protected], phone: (435) 1890 (26 Stat. 391; 43 U.S.C. 945). cannot guarantee that we will be able to 2. Provisions of the R&PP Act and to 688–3343. Persons who use a do so. all applicable regulations of the telecommunications device for the deaf Secretary of the Interior. (Authority: 43 CFR 2741.5) may call the Federal Relay Service (FRS) 3. All mineral deposits in the land so at 1–800–877–8339 to leave a message Abbie Jossie, patented, and the right to prospect for, Acting State Director. or question for the above individual. mine, and remove such deposits from [FR Doc. 2021–07604 Filed 4–13–21; 8:45 am] The FRS is available 24 hours a day, 7 the same under applicable law and days a week. Replies are provided regulations as established by the BILLING CODE 4310–DQ–P during normal business hours. Secretary of the Interior are reserved to SUPPLEMENTARY INFORMATION: The the United States, together with all DEPARTMENT OF THE INTERIOR WCWCD has not applied for more than necessary access and exit rights. the 6,400-acre limitation for recreation 4. Lease or conveyance of the parcel Bureau of Land Management uses in a year (or 640 acres if a nonprofit is subject to valid existing rights. corporation or association), or more 5. An appropriate indemnification [AA–6661–E, AA–6661–H, AA–6661–I, AA– than 640 acres for each of the programs clause protecting the United States from 6661–A2; 212–LLAK944200–L14100000– involving public resources other than claims arising out of the lessee’s/ HY0000] recreation. patentee’s use, occupancy, or Alaska Native Claims Selection The WCWCD submitted an occupations on the leased/patented application in compliance with the lands. AGENCY: Bureau of Land Management, regulations at 43 CFR 2741.4(b). The 6. A limited reversionary provision Interior. lands examined and identified as stating the title shall revert to the United ACTION: Notice of modified decision suitable for lease or conveyance under States upon a finding, after notice and approving lands for conveyance. the R&PP Act are legally described as: opportunity for a hearing, that, without the approval of the Secretary of the SUMMARY: Salt Lake Meridian, Utah The Bureau of Land Interior or his/her delegate, the patentee Management hereby provides T. 40 S., R. 13 W., or its successor attempts to transfer title constructive notice that it will issue an Sec. 33, lots 16, 18, and 19. to or control over the lands to another, appealable decision modifying its The area described contains 10.87 acres, the lands have been devoted to a use September 9, 2015 decision (‘‘original according to the official plat of the survey of other than that for which the lands were the said land, on file with the BLM. decision’’) which approved lands for conveyed, the lands have not been used conveyance to Eklutna, Inc., pursuant to The lands are not needed for any for the purpose for which the lands the Alaska Native Claims Settlement Act Federal purposes. The lease or were conveyed for a five-year period, or of 1971. The original decision will be conveyance of the lands for recreation the patentee has failed to follow the modified to make changes to public or public purposes use conforms with approved development plan or access easements to be reserved to the the BLM St. George Field Office management plan. No portion of the United States, to navigability Resource Management Plan, approved land shall under any circumstance information, and to make a technical in March 1999, and would be in the revert to the United States if any such correction. Notice of the original public’s interest. The BLM analyzed the portion has been used for solid waste decision was published in the Federal parcel in a site-specific Environmental disposal, or for any other purpose, Register on September 9, 2015. Assessment, DOI–BLM–UT–C030– which may result in the disposal, DATES: Any party claiming a property 2012–0001–EA. placement, or release of any hazardous interest in the lands affected by the All interested parties will receive a substance. modifications may appeal the decision copy of this notice once it is published 7. Any other reservations the in accordance with the requirements of in the Federal Register. A copy of this authorized officer determines 43 CFR part 4 within the time limits set notice with information about this appropriate to ensure public access and out in the SUPPLEMENTARY INFORMATION proposed realty action will be published proper management of Federal lands section. in the newspaper of local circulation and interests therein. once a week for three consecutive Any adverse comments will be ADDRESSES: You may obtain a copy of weeks. The regulations at 43 CFR reviewed by the BLM Utah State either or both decisions from the Bureau subpart 2741 addressing requirements Director or other authorized official of of Land Management, Alaska State and procedures for conveyances under the Department of the Interior who may Office, 222 West Seventh Avenue, #13, the R&PP Act do not require a public sustain, vacate, or modify this realty Anchorage, Alaska 99513–7504. meeting. action. In the absence of any adverse FOR FURTHER INFORMATION CONTACT: Upon publication of this notice in the comments, the classification will Christy Favorite, BLM Alaska State Federal Register, the lands will be become effective on June 14, 2021. The Office, at 907–271–5595, or

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[email protected]. The BLM Alaska State Parties who do not file an appeal in Written Comments may be submitted Office may also be contacted via accordance with the requirements of 43 in advance by email to [email protected] Telecommunications Device for the Deaf CFR part 4 shall be deemed to have with the words ‘‘SFNGB RAC (TDD) through the Federal Relay Service waived their rights. Notices of appeal Comment’’ in the subject line or sent to at 1–800–877–8339. The relay service is transmitted by facsimile will not be the following address 5665 Morgan Mill available 24 hours a day, 7 days a week, accepted as timely filed. Road, Carson City, NV 89703, Attention: to leave a message or question with the Except as modified, the decision of Lisa Ross, and be received no later than BLM. The BLM will reply during September 9, 2015, notice of which was July 14 for the July meeting. normal business hours. given on September 9, 2015, is final. FOR FURTHER INFORMATION CONTACT: Lisa SUPPLEMENTARY INFORMATION: As Carolyn Favorite, Ross by telephone at (775) 885–6107, or required by 43 CFR 2650.7(d), notice is by email at [email protected]. Persons who hereby given that the decision Senior Technical Specialist, Division of Lands and Cadastral. use a telecommunications device for the approving lands for conveyance to [FR Doc. 2021–07607 Filed 4–13–21; 8:45 am] deaf (TDD) may call the Federal Relay Eklutna, Inc., for the Native village of Service (FRS) at 1–800–877–8339 to Eklutna, pursuant to the Alaska Native BILLING CODE 4310–JA–P contact Ms. Ross during normal Claims Settlement Act of 1971 business hours. The FRS is available 24 (ANCSA), notice of which was DEPARTMENT OF THE INTERIOR published in the Federal Register on hours a day, 7 days a week, to leave a message or question. You will receive a September 9, 2015, 80 FR 54319, will be Bureau of Land Management modified in accordance with the reply during normal business hours. Settlement Agreement entered into by [LLNV912000 L18200000.XX0000 SUPPLEMENTARY INFORMATION: The 15- and between the State of Alaska, LXSS006F0000; MO#4500150877] member RAC provides Eklutna, Inc., and the United States on Notice of Public Meeting: Sierra Front- recommendations to the Secretary of the April 11, 2017, as amended on April 22, Northern Great Basin Resource Interior, through the BLM Nevada State 2020. The modifications will be made Advisory Council, Nevada Director, on a variety of planning and by issuance of a decision setting out the management issues associated with following changes: AGENCY: Bureau of Land Management, public land management in the RAC’s 1. Adding three (3) easements not Interior. area of jurisdiction. listed in the decision of September 9, ACTION: Notice of public meeting. 2015, to those to be reserved to the Planned agenda topics include the Southern Nevada Public Land United States pursuant to Sec. 17(b) of SUMMARY: In accordance with the Management Act, Wild Horse & Burro, ANCSA in the subsequent conveyance Federal Land Policy and Management Recreation, Wildfire Updates/Use of document; Act of 1976 and the Federal Advisory Emergency Stabilization & 2. Redescribing four (4) easements Committee Act of 1972, the U.S. Rehabilitation Projects/Funds, Grazing, listed in the decision of September 9, Department of the Interior, Bureau of Land Conveyances, Fallon Naval 2015, to be reserved to the United States Land Management (BLM) Sierra Front- Withdrawal, Energy Projects, and pursuant to Sec. 17(b) of ANCSA in the Northern Great Basin Resource Advisory District managers’ updates. All RAC subsequent conveyance document; Council (RAC), will meet as indicated meetings are open to the public and will 3. Updating the navigability language below. The meeting will be open to the be streamed via the Zoom Webinar to reflect the Bureau of Land public. Management’s June 2017 determination Platform. Individuals who plan to DATES: The meeting will be held on that the Knik River is navigable; and attend and need further information Thursday, July 15, 2021, from 8:00 a.m. 4. Making a technical correction to the about the meetings or need special to 4:30 p.m. PST, and Friday, July 16, interests and requirements to which the assistance such as sign language 2021, from 8:00 a.m. to 12 noon PST. subsequent conveyance of lands will be interpretation or other reasonable However, the meeting could end earlier made subject. accommodations may contact Lisa Ross Notice of the modified decision will if discussions and presentations at the phone number or email address also be published once a week, for four conclude before the scheduled finish listed in the FOR FURTHER INFORMATION consecutive weeks, in the Anchorage time. The meeting will include public CONTACT section. comment periods each day. Depending Daily News. Public Disclosure of Comments: Any party claiming a property interest on the number of persons wishing to speak and time available, the time for Before including your address, phone in the lands affected by the changes number, email address, or other made in the modified decision may individual comments may be limited. The meeting will be held in-person personal identifying information in your appeal the decision in accordance with comments, please be aware that your the requirements of 43 CFR part 4 and online. If necessary due to public health conditions, the in-person portion entire comment, including your within the following time limits: personal identifying information, may 1. Unknown parties, parties unable to of the meetings will be cancelled, and the meeting will take place only online. be made publicly available at any time. be located after reasonable efforts have While you can ask us in your comment ADDRESSES: The July 15–16 meeting will been expended to locate, parties who to withhold your personal identifying be held at the BLM’s Winnemucca fail or refuse to sign their return receipt, information from public review, we District Office, 5100 East Winnemucca and parties who receive a copy of the cannot guarantee that we will be able to Boulevard, Winnemucca, Nevada, for decision by regular mail which is not do so. certified, return receipt requested, shall those attending face-to-face. The have until May 14, 2021 to file an meeting will also be held via the Zoom (Authority: 43 CFR 1784.4–2) appeal. Webinar Platform. To register for virtual Kenneth Collum, 2. Parties receiving service of the attendance, visit https:// decision by certified mail shall have 30 blm.zoomgov.com/s/1606787961?pwd= District Manager, Carson City District. days from the date of receipt to file an d1lYUjRETm5Qb0szdURM [FR Doc. 2021–07575 Filed 4–13–21; 8:45 am] appeal. TWdkYnV0QT09. BILLING CODE 4310–HC–P

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INTERNATIONAL TRADE in these investigations on April 8, 2021. Tariff Act of 1930 (19 U.S.C. 1337) in COMMISSION The views of the Commission are the importation into the United States, contained in USITC Publication 5179 the sale for importation, and the sale [Investigation Nos. 701–TA–649 and 731– within the United States after TA–1523 (Final)] (April 2021), entitled Twist Ties from China: Investigation Nos. 701–TA–649 importation of certain televisions, Twist Ties From China and 731–TA–1523 (Final). remote controls, and components By order of the Commission. thereof. The complainant names as Determinations respondents: Universal Electronics, Inc. Issued: April 8, 2021. 1 of Scottsdale, AZ; Gemstar Technology On the basis of the record developed Lisa Barton, in the subject investigations, the United (Qinzhou) Co. Ltd. of China; Gemstar Secretary to the Commission. States International Trade Commission Technology (Yangzhou) Co. Ltd. of (‘‘Commission’’) determines, pursuant [FR Doc. 2021–07581 Filed 4–13–21; 8:45 am] China; C.G. Development Ltd. of China; to the Tariff Act of 1930 (‘‘the Act’’), BILLING CODE 7020–02–P Universal Electronics BV of that an industry in the United States is Netherlands; UEI Brasil Controles materially injured by reason of imports Remotos Ltda. of Brazil; CG Me´xico INTERNATIONAL TRADE Remote Controls, S. de R.L. de C.V. of of twist ties from China, provided for in COMMISSION subheadings 8309.90.00 and 5609.00.30 Mexico; LG Electronics Inc. of South Korea; LG Electronics USA, Inc. of of the Harmonized Tariff Schedule of Notice of Receipt of Complaint; the United States, that have been found Englewood Cliffs, NJ; Samsung Solicitation of Comments Relating to Electronics Co. Ltd. of South Korea; by the U.S. Department of Commerce the Public Interest (‘‘Commerce’’) to be sold in the United Samsung Electronics America, Inc. of States at less than fair value (‘‘LTFV’’), AGENCY: U.S. International Trade Ridgefield Park, NJ; Charter and to be subsidized by the government Commission. Communications, Inc. of Stamford, CT; of China.2 ACTION: Notice. Charter Communications Holdings, LLC of St. Louis, MO; Spectrum Management Background SUMMARY: Notice is hereby given that Holding Company, LLC of Stamford, CT; The Commission instituted these the U.S. International Trade Altice USA, Inc. of Long Island City, investigations effective June 26, 2020, Commission has received a complaint NY; CSC Holdings, LLC d/b/a Optimum- following receipt of petitions filed with entitled In the Matter of Certain Cablevision of Long Island City, NY; the Commission and Commerce by Televisions, Remote Controls, and Cablevision Systems Corp. of Bethpage, Bedford Industries, Inc., Worthington, Components Thereof, DN 3542; the NY; Cequel Communications, LLC d/b/ Minnesota. The final phase of the Commission is soliciting comments on a Suddenlink Communications of Long investigations was scheduled by the any public interest issues raised by the Island City, NY; and Wideopenwest, Commission following notification of complaint or complainant’s filing Inc. of Englewood, CO. preliminary determinations by pursuant to the Commission’s Rules of The complainant requests that the Commerce that imports of twist ties Practice and Procedure. Commission issue a limited exclusion order, cease and desist orders, and from China were subsidized within the FOR FURTHER INFORMATION CONTACT: Lisa meaning of section 703(b) of the Act (19 R. Barton, Secretary to the Commission, impose a bond upon respondents’ U.S.C. 1671b(b)) and sold at LTFV U.S. International Trade Commission, alleged infringing articles during the 60- within the meaning of 733(b) of the Act 500 E Street SW, Washington, DC day Presidential review period pursuant (19 U.S.C. 1673b(b)). Notice of the 20436, telephone (202) 205–2000. The to 19 U.S.C. 1337(j). Proposed respondents, other scheduling of the final phase of the public version of the complaint can be interested parties, and members of the Commission’s investigations and of a accessed on the Commission’s public are invited to file comments on public hearing to be held in connection Electronic Document Information any public interest issues raised by the therewith was given by posting copies System (EDIS) at https://edis.usitc.gov. complaint or § 210.8(b) filing. of the notice in the Office of the For help accessing EDIS, please email Comments should address whether Secretary, U.S. International Trade [email protected]. issuance of the relief specifically Commission, Washington, DC, and by General information concerning the requested by the complainant in this publishing the notice in the Federal Commission may also be obtained by investigation would affect the public Register on December 22, 2020 (85 FR accessing its internet server at United health and welfare in the United States, 83613). In light of the restrictions on States International Trade Commission competitive conditions in the United access to the Commission building due (USITC) at https://www.usitc.gov. The States economy, the production of like to the COVID–19 pandemic, the public record for this investigation may or directly competitive articles in the Commission conducted its hearing be viewed on the Commission’s United States, or United States through written testimony and video Electronic Document Information consumers. conference on February 16, 2021. All System (EDIS) at https://edis.usitc.gov. In particular, the Commission is persons who requested the opportunity Hearing-impaired persons are advised interested in comments that: were permitted to participate. that information on this matter can be (i) Explain how the articles The Commission made these obtained by contacting the potentially subject to the requested determinations pursuant to §§ 705(b) Commission’s TDD terminal on (202) remedial orders are used in the United and 735(b) of the Act (19 U.S.C. 205–1810. States; 1671d(b) and 19 U.S.C. 1673d(b)). It SUPPLEMENTARY INFORMATION: The (ii) identify any public health, safety, completed and filed its determinations Commission has received a complaint or welfare concerns in the United States and a submission pursuant to § 210.8(b) relating to the requested remedial 1 The record is defined in § 207.2(f) of the of the Commission’s Rules of Practice orders; Commission’s Rules of Practice and Procedure (19 CFR 207.2(f)). and Procedure filed on behalf of Roku, (iii) identify like or directly 2 Chair Jason E. Kearns and Commissioner David Inc. on April 8, 2021. The complaint competitive articles that complainant, S. Johanson dissenting. alleges violations of section 337 of the its licensees, or third parties make in the

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United States which could replace the Commission should grant such FOR FURTHER INFORMATION CONTACT: Lisa subject articles if they were to be treatment. See 19 CFR 201.6. Documents R. Barton, Secretary to the Commission, excluded; for which confidential treatment by the U.S. International Trade Commission, (iv) indicate whether complainant, Commission is properly sought will be 500 E Street SW, Washington, DC complainant’s licensees, and/or third treated accordingly. All information, 20436, telephone (202) 205–2000. The party suppliers have the capacity to including confidential business public version of the complaint can be replace the volume of articles information and documents for which accessed on the Commission’s potentially subject to the requested confidential treatment is properly Electronic Document Information exclusion order and/or a cease and sought, submitted to the Commission for System (EDIS) at https://edis.usitc.gov. desist order within a commercially purposes of this Investigation may be For help accessing EDIS, please email reasonable time; and disclosed to and used: (i) By the [email protected]. (v) explain how the requested Commission, its employees and Offices, General information concerning the remedial orders would impact United and contract personnel (a) for Commission may also be obtained by States consumers. developing or maintaining the records accessing its internet server at United Written submissions on the public of this or a related proceeding, or (b) in States International Trade Commission interest must be filed no later than by internal investigations, audits, reviews, (USITC) at https://www.usitc.gov. The close of business, eight calendar days and evaluations relating to the public record for this investigation may after the date of publication of this programs, personnel, and operations of be viewed on the Commission’s notice in the Federal Register. There the Commission including under 5 Electronic Document Information will be further opportunities for U.S.C. Appendix 3; or (ii) by U.S. System (EDIS) at https://edis.usitc.gov. comment on the public interest after the government employees and contract Hearing-impaired persons are advised issuance of any final initial personnel, 2 solely for cybersecurity that information on this matter can be determination in this investigation. Any purposes. All nonconfidential written obtained by contacting the written submissions on other issues submissions will be available for public Commission’s TDD terminal on (202) must also be filed by no later than the inspection at the Office of the Secretary 205–1810. close of business, eight calendar days 3 and on EDIS. SUPPLEMENTARY INFORMATION: The after publication of this notice in the This action is taken under the Commission has received a complaint Federal Register. Complainant may file authority of section 337 of the Tariff Act and a submission pursuant to § 210.8(b) replies to any written submissions no of 1930, as amended (19 U.S.C. 1337), of the Commission’s Rules of Practice later than three calendar days after the and of §§ 201.10 and 210.8(c) of the and Procedure filed on behalf of date on which any initial submissions Commission’s Rules of Practice and Celanese International Corporation, were due. No other submissions will be Procedure (19 CFR 201.10, 210.8(c)). Celanese (Malta) Company 2 Limited accepted, unless requested by the and Celanese Sales U.S. Ltd. on April 8, Commission. Any submissions and By order of the Commission. Issued: April 9, 2021. 2021. The complaint alleges violations replies filed in response to this Notice of section 337 of the Tariff Act of 1930 Lisa R. Barton, are limited to five (5) pages in length, (19 U.S.C. 1337) in the importation into inclusive of attachments. Secretary to the Commission. the United States, the sale for Persons filing written submissions [FR Doc. 2021–07646 Filed 4–13–21; 8:45 am] importation, and the sale within the must file the original document BILLING CODE 7020–02–P United States after importation of electronically on or before the deadlines certain high-potency sweeteners, stated above. Submissions should refer processes for making same, and to the docket number (‘‘Docket No. INTERNATIONAL TRADE products containing same. The 3542’’) in a prominent place on the COMMISSION complainant names as respondents: cover page and/or the first page. (See Anhui Jinhe Industrial Co., Ltd. of Handbook for Electronic Filing Notice of Receipt of Complaint; China; Jinhe USA LLC of Chicago, IL; Procedures, Electronic Filing Solicitation of Comments Relating to Agridient, Inc. of Farmington Hills, MI; Procedures 1). Please note the the Public Interest Apura Ingredients Inc. of Chino, CA; Secretary’s Office will accept only Crossroad Ingredients of Fairfield, NJ; electronic filings during this time. AGENCY: U.S. International Trade Hhoya USA Inc. of New York, NY; Filings must be made through the Commission. Ingredis US LLC of Plainsboro, NJ; Commission’s Electronic Document ACTION: Notice. NiuSource Inc. of Chino, CA; Prinova Information System (EDIS, https:// US LLC of Hanover Park, IL; Prosweetz edis.usitc.gov.) No in-person paper- SUMMARY: Notice is hereby given that Ingredients Incorporated d/b/a based filings or paper copies of any the U.S. International Trade Panasource Ingredients Inc. of Edison, electronic filings will be accepted until Commission has received a complaint NJ; Suzhou-Chem Inc. of Wellesley, MA; further notice. Persons with questions entitled Certain High-Potency and UMC Ingredients, LLC fka JRS regarding filing should contact the Sweeteners, Processes for Making Same, International LLC of Lyndhurst, NJ. The Secretary at [email protected]. and Products Containing Same, DN complainant requests that the Any person desiring to submit a 3543; the Commission is soliciting Commission issue a limited exclusion document to the Commission in comments on any public interest issues order, cease and desist orders, and confidence must request confidential raised by the complaint or impose a bond upon respondents’ treatment. All such requests should be complainant’s filing pursuant to the alleged infringing articles during the 60- directed to the Secretary to the Commission’s Rules of Practice and day Presidential review period pursuant Commission and must include a full Procedure. to 19 U.S.C. 1337(j). statement of the reasons why the Proposed respondents, other 2 All contract personnel will sign appropriate 1 Handbook for Electronic Filing Procedures: nondisclosure agreements. interested parties, and members of the https://www.usitc.gov/documents/handbook_on_ 3 Electronic Document Information System public are invited to file comments on filing_procedures.pdf. (EDIS): https://edis.usitc.gov. any public interest issues raised by the

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complaint or § 210.8(b) filing. Procedures, Electronic Filing INTERNATIONAL TRADE Comments should address whether Procedures 1). Please note the COMMISSION issuance of the relief specifically Secretary’s Office will accept only [Investigation No. 337–TA–1215] requested by the complainant in this electronic filings during this time. investigation would affect the public Filings must be made through the Certain Mobile Electronic Devices and health and welfare in the United States, Commission’s Electronic Document Laptop Computers; Notice of competitive conditions in the United Information System (EDIS, https:// Commission Determination Not to States economy, the production of like edis.usitc.gov.) No in-person paper- Review an Initial Determination or directly competitive articles in the based filings or paper copies of any Terminating the Investigation Based United States, or United States electronic filings will be accepted until on Settlement; Termination of consumers. further notice. Persons with questions Investigation In particular, the Commission is regarding filing should contact the interested in comments that: AGENCY: U.S. International Trade Secretary at [email protected]. (i) Explain how the articles Commission. potentially subject to the requested Any person desiring to submit a ACTION: Notice. remedial orders are used in the United document to the Commission in States; confidence must request confidential SUMMARY: Notice is hereby given that (ii) identify any public health, safety, treatment. All such requests should be the U.S. International Trade or welfare concerns in the United States directed to the Secretary to the Commission has determined not to relating to the requested remedial Commission and must include a full review an initial determination (‘‘ID’’) orders; statement of the reasons why the (Order No. 15) of the presiding (iii) identify like or directly Commission should grant such administrative law judge (‘‘ALJ’’) competitive articles that complainant, treatment. See 19 CFR 201.6. Documents granting complainant and respondent’s its licensees, or third parties make in the for which confidential treatment by the joint motion to terminate the United States which could replace the Commission is properly sought will be investigation in its entirety based on subject articles if they were to be treated accordingly. All information, settlement. The investigation is excluded; terminated. (iv) indicate whether complainant, including confidential business complainant’s licensees, and/or third information and documents for which FOR FURTHER INFORMATION CONTACT: party suppliers have the capacity to confidential treatment is properly Richard P. Hadorn, Esq., Office of the replace the volume of articles sought, submitted to the Commission for General Counsel, U.S. International potentially subject to the requested purposes of this Investigation may be Trade Commission, 500 E Street SW, exclusion order and/or a cease and disclosed to and used: (i) By the Washington, DC 20436, telephone (202) desist order within a commercially Commission, its employees and Offices, 205–3179. Copies of non-confidential reasonable time; and and contract personnel (a) for documents filed in connection with this (v) explain how the requested developing or maintaining the records investigation may be viewed on the remedial orders would impact United of this or a related proceeding, or (b) in Commission’s electronic docket (EDIS) States consumers. internal investigations, audits, reviews, at https://edis.usitc.gov. For help Written submissions on the public and evaluations relating to the accessing EDIS, please email interest must be filed no later than by programs, personnel, and operations of [email protected]. General close of business, eight calendar days the Commission including under 5 information concerning the Commission after the date of publication of this U.S.C. Appendix 3; or (ii) by U.S. may also be obtained by accessing its notice in the Federal Register. There government employees and contract internet server at https://www.usitc.gov. will be further opportunities for personnel,2 solely for cybersecurity Hearing-impaired persons are advised comment on the public interest after the purposes. All nonconfidential written that information on this matter can be issuance of any final initial submissions will be available for public obtained by contacting the determination in this investigation. Any inspection at the Office of the Secretary Commission’s TDD terminal, telephone written submissions on other issues and on EDIS.3 (202) 205–1810. must also be filed by no later than the SUPPLEMENTARY INFORMATION: On August This action is taken under the close of business, eight calendar days 24, 2020, the Commission instituted this authority of section 337 of the Tariff Act after publication of this notice in the investigation based on a complaint filed Federal Register. Complainant may file of 1930, as amended (19 U.S.C. 1337), by Maxell, Ltd. (‘‘Maxell’’) of Japan. 85 replies to any written submissions no and of §§ 201.10 and 210.8(c) of the FR 52153–54 (Aug. 24, 2020). The later than three calendar days after the Commission’s Rules of Practice and complaint alleges violations of section date on which any initial submissions Procedure (19 CFR 201.10, 210.8(c)). 337 of the Tariff Act of 1930, as were due. No other submissions will be By order of the Commission. amended (19 U.S.C. 1337), based on the accepted, unless requested by the Issued: April 9, 2021. importation into the United States, the sale for importation, or the sale within Commission. Any submissions and Lisa Barton, replies filed in response to this Notice the United States after importation of are limited to five (5) pages in length, Secretary to the Commission. certain mobile electronic devices and inclusive of attachments. [FR Doc. 2021–07647 Filed 4–13–21; 8:45 am] laptop computers by reason of Persons filing written submissions BILLING CODE 7020–02–P infringement of certain claims of U.S. must file the original document Patent Nos. 7,203,517; 8,982,086 (‘‘the electronically on or before the deadlines 1 Handbook for Electronic Filing Procedures: ’086 patent’’); 7,199,821 (‘‘the ’821 stated above. Submissions should refer https://www.usitc.gov/documents/handbook_on_ patent’’); 10,129,590 (‘‘the ’590 patent’’); _ to the docket number (‘‘Docket No. filing procedures.pdf. and 10,176,848 (‘‘the ’848 patent’’). Id. 2 All contract personnel will sign appropriate 3543’’) in a prominent place on the nondisclosure agreements. at 52153. The complaint further alleges cover page and/or the first page. (See 3 Electronic Document Information System that a domestic industry exists. Id. The Handbook for Electronic Filing (EDIS): https://edis.usitc.gov. notice of investigation named as

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respondent Apple Inc. (‘‘Apple’’) of JUDICIAL CONFERENCE OF THE Compensation, and Liability Act Cupertino, California. Id. The Office of UNITED STATES (‘‘CERCLA’’), recovery of response costs Unfair Import Investigations (‘‘OUII’’) is from two parties regarding the New also named as a party. Id. Advisory Committee on Evidence Cassel/Hicksville Groundwater Rules; Meeting of the Judicial Contamination Superfund Site in the On February 24, 2021, the Conference Towns of Hempstead, North Hempstead, Commission determined to terminate and Oyster Bay, in Nassau County, New AGENCY: the investigation as to the ’848 patent Judicial Conference of the York (‘‘the Site’’). The proposed Consent based on withdrawal of the allegations United States. Judgments resolve the United States’ in the complaint as to that patent. Order ACTION: Advisory Committee on claims against IMC Eastern Corp. and No. 9 (Feb. 9, 2021), unreviewed by Evidence Rules; revised notice of open Island Transportation Corp. (the Comm’n Notice (Feb. 24, 2021). On meeting. ‘‘Settling Parties’’) for past response March 15, 2021, the Commission costs at the Site. SUMMARY: determined to terminate the The Advisory Committee on Under the proposed Consent investigation as to (i) claims 3 and 5–10 Evidence Rules will hold a virtual Judgments, the Environmental meeting on April 30, 2021 starting at of the ’590 patent, (ii) claim 3 of the ’086 Protection Agency (‘‘EPA’’) will receive 9:30 a.m. (Eastern) rather than 10:00 patent, (iii) all asserted claims of the $1,000,000 from IMC Eastern Corp. and a.m. The meeting is open to the public. $687,500 from Island Transportation ’590 and ’821 patents with respect to When a meeting is held virtually, Apple’s MacOS products only, and (iv) Corp. The settlements provide, in members of the public may join by exchange for the above payments, a Apple’s affirmative defense of lack of telephone or videoconference to observe standing based on the private parties’ covenant not to sue by EPA or to take but not participate. An agenda and administrate action against the Settling withdrawal of their respective supporting materials will be posted at allegations in the complaint and answer Parties pursuant to Sections 106 and least 7 days in advance of the meeting 107(a) of CERCLA, 42 U.S.C. 9606 and as to those issues. Order No. 14 (Feb. 19, at: http://www.uscourts.gov/rules- 9607(a), regarding the Site; 570 Main 2021), unreviewed by Comm’n Notice policies/records-and-archives-rules- Street, Westbury, New York (with (Mar. 15, 2021). committees/agenda-books. The respect to IMC Eastern Corp.); and 299 On March 25, 2021, Maxell and Apple announcement for this meeting was Main Street, Westbury, New York (with filed a joint motion to terminate the previously published in the Federal respect to Island Transportation Corp.). investigation in its entirety based on Register on January 22, 2021. The proposed Consent Judgments settlement. That same day, OUII filed a DATES: April 30, 2021, 9:30 a.m.—5 p.m. provide each of the two Settling Parties response in support of the motion. (Eastern). with protection from contribution claims as provided by Section 113(f)(2) On March 29, 2021, the ALJ issued FOR FURTHER INFORMATION CONTACT: Julie of CERCLA, 42 U.S.C. 9613(f)(2), for the the subject ID granting the motion. The Wilson, Esq., Acting Chief Counsel, Rules Committee Staff, Administrative matters addressed by the settlements. ID finds that the motion complies with The proposed Consent Judgments the requirements of Commission Rule Office of the U.S. Courts, Thurgood Marshall Federal Judiciary Building, further request dismissal of all 210.21(b) (19 CFR 210.21(b)) and that One Columbus Circle NE, Suite 7–300, outstanding third- and fourth-party ‘‘the public interest generally favors Washington, DC 20544, Phone (202) contribution claims filed in United settlement to avoid needless litigation 502–1820, RulesCommittee_Secretary@ States v. IMC Eastern Corp. and Island and to conserve public resources.’’ ID at ao.uscourts.gov. Transportation Corp., Civil Action No. 2. No petitions for review of the subject 18–3818. ID were filed. Authority: 28 U.S.C. 2073. The publication of this notice opens The Commission has determined not Dated: April 9, 2021. a period for public comment on the to review the subject ID. The Shelly L. Cox, proposed Consent Judgments. investigation is hereby terminated in its Management Analyst, Rules Committee Staff. Comments should be addressed to the entirety. [FR Doc. 2021–07640 Filed 4–13–21; 8:45 am] Assistant Attorney General, BILLING CODE 2210–55–P Environment and Natural Resources The Commission vote for this Division, and should refer to United determination took place on April 9, States v. IMC Eastern Corp. and Island 2021. DEPARTMENT OF JUSTICE Transportation Corp., Civil Action No. The authority for the Commission’s 18–3818, D.J. Ref. No. 90–11–3–11089/ determination is contained in section Notice of Lodging of Proposed 1. All comments must be submitted no 337 of the Tariff Act of 1930, as Consent Judgments Under The later than 30 days after the publication amended (19 U.S.C. 1337), and in Part Comprehensive Environmental date of this notice. Comments may be 210 of the Commission’s Rules of Response, Compensation, and Liability submitted either by email or by mail: Practice and Procedure (19 CFR part Act To submit Send them to: 210). On April 9, 2021, the Department of comments: By order of the Commission. Justice lodged two proposed Consent Judgments with the United States By email ...... pubcomment-ees.enrd@ Issued: April 9, 2021. usdoj.gov. Lisa Barton, District Court for the Eastern District of By mail ...... Assistant Attorney General, New York in a lawsuit entitled United Secretary to the Commission. U.S. DOJ—ENRD, P.O. States v. IMC Eastern Corp. and Island Box 7611, Washington, DC [FR Doc. 2021–07642 Filed 4–13–21; 8:45 am] Transportation Corp., Civil Action No. 20044–7611. BILLING CODE 7020–02–P 18–3818. In this action, the United States seeks, During the public comment period, as provided under the Comprehensive the Consent Judgments may be Environmental Response, examined and downloaded at this

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Justice Department website: https:// PREVIOUSLY ANNOUNCED TIME AND DATE OF with convergence across computer www.justice.gov/enrd/consent-decrees. THE MEETING: The National Science systems (spanning mobile, edge, fog, We will provide paper copies of the Board’s Committee on Strategy closed and cloud computing, etc.), application Consent Judgments upon written teleconference meeting was scheduled accelerators, distributed systems, request and payment of reproduction for April 8, 2021, from 11 a.m.–12:00 network stacks, wireless systems, and costs. Please mail your request and p.m. EDT. This meeting was postponed wired network domains, thereby payment to: Consent Decree Library, in FR document 2021–07589, scheduled decreasing the efficacy of traditional U.S. DOJ—ENRD, P.O. Box 7611, to be published on April 13, 2021. model-based approaches. As a result, Washington, DC 20044–7611. CHANGES IN THE MEETING: The new date researchers are increasingly relying on Please enclose a check or money order and time is April 14, 2021, from 3:00– machine learning and other data- for $9.00 (25 cents per page 4:00 p.m. EDT. intensive techniques to lead the reproduction cost) payable to the United CONTACT PERSON FOR MORE INFORMATION: development of next-generation, high- States Treasury. Chris Blair, 703/292–7000, cblair@ performance networks and computer nsf.gov. systems. This necessitates the Henry Friedman, availability of representative datasets Assistant Section Chief, Environmental Chris Blair, that can inform such research. Enforcement Section, Environment and Executive Assistant to the National Science Furthermore, representative datasets Natural Resources Division. Board Office. will enable the Networking Technology [FR Doc. 2021–07629 Filed 4–13–21; 8:45 am] [FR Doc. 2021–07725 Filed 4–12–21; 4:15 pm] and Systems (NeTS) and Computer BILLING CODE 4410–15–P BILLING CODE 7555–01–P Systems Research (CSR) communities to contribute to innovations in Advanced Wireless and Artificial Intelligence, both LEGAL SERVICES CORPORATION NATIONAL SCIENCE FOUNDATION of which have been identified as strategic priority areas for the Nation. Sunshine Act Meeting: Board of Request for Information; Datasets To Addressing current and future Directors and Its Six Committees Conduct Research on Computer and research areas may require access to Network Systems specific types of datasets that capture a FEDERAL REGISTER CITATION OF PREVIOUS broad range of practical settings and AGENCY: National Science Foundation. ANNOUNCEMENT: 86 FR 18558. navigate through a complex set of ACTION: Request for information. PREVIOUSLY ANNOUNCED TIME AND DATE OF design trade-offs. Researchers utilizing THE MEETING: Monday, April 19, 2021, SUMMARY: The Division of Computer and machine learning and other artificial commencing at 11:00 a.m., Eastern Network Systems of the National intelligence techniques may need large, Daylight Time (EDT); and Tuesday, Science Foundation seeks public input labeled data to use as training and April 20, 2021, commencing at 1:00 from the research community on the testing sets, to test algorithms and p.m., Eastern Daylight Time (EDT). specific needs for datasets to conduct protocols that they have developed, or to assess the viability of their design CHANGES IN THE MEETING: For the research on computer and network systems. methodologies. More generally, datasets meeting of the Governance and can motivate research questions or Performance Review Committee, DATES: Please send comments on or identify areas to target in future work. beginning at 11:00 a.m. Eastern Daylight before 5:00 p.m. Eastern time on May Equitable access to data is also essential Time (EDT) on Monday, April 19, 2021, 21, 2021. Submit comments via the for replicable and reproducible research. LSC is moving one item from the open SurveyMonkey link found in the Additionally, identification of the session agenda to the agenda of the ‘‘Instructions to Submitters’’ below. specific dataset needs of the research closed session. The item concerns the ADDRESSES: Email comments to: Dr. community may motivate the collection Committee’s consideration of and action Nicholas Goldsmith, AAAS Science & of specific new types of data or the on a Resolution to appoint a new Technology Policy Fellow at nicgolds@ creation of new tools for accessing and General Counsel and Vice President for nsf.gov. Send written submissions to: analyzing data. Existing or future NSF Legal Affairs. Division of Computer and Network infrastructure investments, such as the CONTACT PERSON FOR MORE INFORMATION: Systems, National Science Foundation, Platforms for Advanced Wireless Yladrea Drummond, Special Assistant 2415 Eisenhower Avenue, Alexandria, Research (PAWR), may be important to the President for Board Affairs, Legal VA 22314. Submit comments via venues for collecting the identified data. Services Corporation, 3333 K Street NW, https://www.surveymonkey.com/r/ This Request for Information (RFI) Washington, DC 20007; (202) 295–1500; RFIDCLSurvey. seeks input from the community on the [email protected]. specific needs related to collecting, FOR FURTHER INFORMATION CONTACT: Dated: April 12, 2021. sharing, and utilizing public or private Contact Dr. Alex Sprintson, NeTS datasets for networking and computer Stefanie Davis, Program Director at [email protected] or systems research, and any challenges Senior Assistant General Counsel. Dr. Nicholas Goldsmith, AAAS Science associated with each. The input could [FR Doc. 2021–07785 Filed 4–12–21; 4:15 pm] & Technology Policy Fellow at identify requirements for datasets that BILLING CODE 7050–01–P [email protected] or call (703)–292– may include, but are not limited to, 8950. spectrum data, physical layer data, SUPPLEMENTARY INFORMATION: The network and internet measurement data, NATIONAL SCIENCE FOUNDATION ubiquity, structure, and use of workload data, power/performance data, communication networks and and other systems data. NSF recognizes Sunshine Act Meetings computing systems have changed that some datasets currently exist but is dramatically over the last decade. The interested in needs that are not FEDERAL REGISTER CITATION OF PREVIOUS technology trade-offs that have enabled currently met by these existing datasets, ANNOUNCEMENT: 86 FR 17644, April 5, these networks and systems are conventions or formats that may 2021. becoming increasingly more complex broaden the usability of the data, and

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ways in which additional high-quality particular parameters of concern in the ACTION: Environmental assessment and datasets may be made available to the data collection or generation. finding of no significant impact; research community. NSF is interested • Question 5 (maximum 600 words)— issuance. in assessing where research progress is Other Considerations. Any other slowed due to the lack of datasets that relevant aspects that need to be SUMMARY: The U.S. Nuclear Regulatory may either already exist or can be addressed; or any other issues that NSF Commission (NRC) is publishing this generated using existing infrastructure should consider, such as where such notice regarding the issuance of a final (including NSF-funded infrastructure). datasets may exist (e.g. Federal agency, Environmental Assessment (EA) and a NSF may use the responses to this RFI industry, service providers, Finding of No Significant Impact to inform and refine future investments. international partners) and intellectual (FONSI) for its review and approval of property concerns. the initial and updated Instructions to Submitters • Checkbox to consent to NSF’s use decommissioning funding plans (DFPs) NSF invites individuals and groups of and display of the submitted submitted by independent spent fuel individuals to provide their inputs via information, consistent with the storage installation (ISFSI) licensees for the online submission form (link Creative Commons Attribution- the ISFSIs listed in the ‘‘Discussion’’ below). The submission form requires NonCommercial-NoDerivatives 4.0 section of this document. the following information: International License (https:// DATES: The EA and FONSI referenced in • Contact person name and creativecommons.org/licenses/by-nc-nd/ this document are available on April 14, affiliation. 4.0/legalcode). NSF anticipates making 2021. • Valid contact email address. submissions publicly accessible through ADDRESSES: Please refer to Docket ID • Additional author name(s) and a website. NRC–2021–0064 when contacting the affiliation(s). To respond to this RFI, please use the NRC about the availability of • Research domain(s), discipline(s)/ official form available at https:// information regarding this document. sub-discipline(s) of the author(s), www.surveymonkey.com/r/ You may obtain publicly available including either NeTS, NeTS–Wireless, RFIDCLSurvey. We recommend writing information related to this document or CSR. out your responses in a separate using any of the following methods: • Federal Rulemaking website: Go to • Title of the response. document, and then pasting them into https://www.regulations.gov and search • Abstract (maximum 200 words) the response fields on the form. NSF will use the information for Docket ID NRC–2021–0064. Address summarizing the response. • submitted in response to this RFI at its questions about Docket IDs in Question 1 (maximum 1000 discretion and will not provide Regulations.gov to Stacy Schumann; words)—Data Needed for Research. comments to any responder’s telephone: 301–415–0624; email: State whether or not your research submission. The information provided [email protected]. For technical requires datasets. If your research will be analyzed, may appear in reports, questions, contact the individual listed requires datasets, describe whether or and may be shared publicly on agency in the FOR FURTHER INFORMATION not you have access to the needed websites. Respondents are advised that CONTACT section of this document. datasets with sufficient quality; and the government is under no obligation • NRC’s Agencywide Documents describe what type of data would to acknowledge receipt of the Access and Management System address your current need for datasets information or provide feedback to (ADAMS): You may obtain publicly if it is not being met. NSF is interested respondents with respect to any available documents online in the in where the lack of datasets and/or the information submitted. No proprietary, ADAMS Public Documents collection at quality of datasets may be holding back classified, confidential, or sensitive https://www.nrc.gov/reading-rm/ research, what datasets would help take information should be included in your adams.html. To begin the search, select research to the next level, and the response. The government reserves the ‘‘Begin Web-based ADAMS Search.’’ For proportion of researchers that have a right to use any non-proprietary problems with ADAMS, please contact need for datasets. the NRC’s Public Document Room (PDR) • technical information in any resultant Question 2 (maximum 600 words)— solicitation(s), policies, or procedures. reference staff at 1–800–397–4209, 301– Ability to Contribute. Describe the type 415–4737, or by email to pdr.resource@ of datasets you may be able to Authority: 42 U.S.C. 1861 et al. nrc.gov. The ADAMS accession number contribute to the research community Dated: April 8, 2021. for each document referenced (if it is and any barriers to making these Suzanne H. Plimpton, available in ADAMS) is provided the datasets available to the research Reports Clearance Officer, National Science first time that it is mentioned in this community over at least a seven-year Foundation. document. period. [FR Doc. 2021–07585 Filed 4–13–21; 8:45 am] • Attention: The PDR, where you may • Question 3 (maximum 600 words)— BILLING CODE 7555–01–P examine and order copies of public Privacy. Describe the concerns, either as documents, is currently closed. You a user and/or a data provider, that you may submit your request to the PDR via may have in maintaining and ensuring NUCLEAR REGULATORY email at [email protected] or call data privacy, in anonymizing data, and COMMISSION 1–800–397–4209 or 301–415–4737, in the effects of data anonymization on between 8:00 a.m. and 4:00 p.m. (EST), data quality. Specific ideas to address [NRC–2021–0064] Monday through Friday, except Federal data privacy and anonymization holidays. Environmental Assessments and concerns are also welcome. FOR FURTHER INFORMATION CONTACT: • Findings of No Significant Impact of Question 4 (maximum 600 words)— Independent Spent Fuel Storage Christopher Markley, Office of Nuclear Format and Metadata. Describe any Facilities Decommissioning Funding Material Safety and Safeguards, U.S. suggested formats or standards with Plans Nuclear Regulatory Commission, which datasets should conform. Washington, DC 20555–0001; telephone: Describe the types of metadata which AGENCY: Nuclear Regulatory 301–415–6293, email: should be included with data, as well as Commission. [email protected].

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SUPPLEMENTARY INFORMATION: termination. On June 17, 2011, the NRC II. Discussion published a final rule in the Federal I. Introduction The following table includes the plant Register amending its decommissioning name, docket number, licensee, and The NRC is considering the approval planning regulations (76 FR 35512). The ADAMS Accession Number for the final of the initial and updated DFPs final rule amended the NRC regulation, EA and FONSI determination for each of submitted by ISFSI licensees. The NRC 10 CFR 72.30, which concerns financial the individual ISFSIs. The table also staff has prepared a final EA and FONSI assurance and decommissioning for includes the ADAMS Accession determination for each of the initial and ISFSIs. This regulation requires each Numbers for other relevant documents, updated ISFSI DFPs in accordance with holder of, or applicant for, a license including the initial and updated DFP the NRC regulations in Part 51 of title under 10 CFR part 72 to submit a DFP submittals. For further details with 10 of the Code of Federal Regulations for the NRC’s review and approval. The respect to these actions, see the NRC (10 CFR), ‘‘Environmental Protection DFP is to demonstrate the licensee’s staff’s final EA and FONSI Regulations for Domestic Licensing and financial assurance, i.e., that funds will determinations which are available for Related Regulatory Functions,’’ which be available to decommission the ISFSI. public inspection in ADAMS and at implement the National Environmental The NRC staff will later publish its https://www.regulations.gov under Policy Act of 1969, as amended (42 financial analyses of the DFP submittals Docket ID NRC–2021–0064. For U.S.C. 4321 et seq.). which will be available for public additional direction on accessing The NRC requires its licensees to plan inspection in ADAMS. information related to this document, for the eventual decommissioning of see the ‘‘ADDRESSES’’ section of this their licensed facilities prior to license document.

FINDING OF NO SIGNIFICANT IMPACT

Facility: Donald C. Cook Nuclear Plant

Docket No...... 72–72. Licensee ...... Indiana Michigan Power Company (IMP). Proposed Action ...... The NRC’s review and approval of IMP’s initial and updated DFPs submitted in accordance with 10 CFR 72.30(b) and (c). Environmental Impact of Proposed Action ...... The NRC staff has determined that the proposed action, the review and approval of IMP’s ini- tial and updated DFPs, submitted in accordance with 10 CFR 72.30(b) and (c), will not au- thorize changes to licensed operations or maintenance activities, or result in changes in the types, characteristics, or quantities of radiological or non-radiological effluents released into the environment from the ISFSI, or result in the creation of solid waste. Moreover, the ap- proval of the initial and updated DFPs will not authorize any construction activity, facility modification, or other land-disturbing activity. The NRC staff has concluded that the pro- posed action is a procedural and administrative action that will not have a significant impact on the environment. Finding of No Significant Impact ...... The proposed action does not require changes to the ISFSI’s licensed routine operations, maintenance activities, or monitoring programs, nor does it require new construction or land- disturbing activities. The scope of the proposed action concerns only the NRC’s review and approval of IMP’s initial and updated DFPs. The scope of the proposed action does not in- clude, and will not result in, the review and approval of decontamination or decommissioning activities or license termination for the ISFSI or for other parts of the Donald C. Cook Nu- clear Plant. Therefore, the NRC staff determined that approval of the initial and updated DFPs for the Donald C. Cook Nuclear Plant ISFSI will not significantly affect the quality of the human environment, and accordingly, the staff has concluded that a FONSI is appro- priate. The NRC staff further finds that preparation of an environmental impact statement (EIS) is not required. Available Documents ...... Indiana Michigan Power Company, 2012. ISFSI DFPs (10 CFR 72.30), dated December 17, 2012. ADAMS Package Accession No. ML123630254. Indiana Michigan Power Company, Inc., 2015. ISFSI DFPs (10 CFR 72.30), dated December 14, 2015. ADAMS Accession No. ML15351A007. Indiana Michigan Power Company, 2018. Response to Request for Additional Information Re- garding ISFSI DFPs (10 CFR 72.30), dated April 11, 2018. ADAMS Accession No. ML18103A035. U.S. Nuclear Regulatory Commission. ESA Section 7 No Effect Determination for ISFSI DFP Reviews (Note to File), dated May 15, 2017. ADAMS Accession No. ML17135A062. U.S. Nuclear Regulatory Commission. Request for Additional Information Regarding ISFSI DFPs (10 CFR 72.30), dated February 28, 2018. ADAMS Accession No. ML18060A022. U.S. Nuclear Regulatory Commission. Final EA and FONSI for the Indiana Michigan Power Company’s (IMP) Initial and Updated DFPs Submitted in Accordance with 10 CFR 72.30(b) and (c) for the Donald C. Cook Nuclear Plant Units 1 and 2 ISFSI, dated April 7, 2021. ADAMS Accession No. ML21062A254.

Facility: San Onofre Nuclear Generating Station

Docket No...... 72–41. Licensee...... Southern California Edison Company (SCE). Proposed Action ...... The NRC’s review and approval of SCE’s initial and updated DFPs submitted in accordance with 10 CFR 72.30(b) and (c).

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FINDING OF NO SIGNIFICANT IMPACT—Continued Environmental Impact of Proposed Action ...... The NRC staff has determined that the proposed action, the review and approval of SCE’s ini- tial and updated DFPs, submitted in accordance with 10 CFR 72.30(b) and (c), will not au- thorize or changes to licensed operations or maintenance activities, or result in changes in the types, characteristics, or quantities of radiological or non-radiological effluents released into the environment from the ISFSI, or result in the creation of solid waste. Moreover, the approval of the initial and updated DFPs will not authorize any construction activity, facility modification, or other land-disturbing activity. The NRC staff has concluded that the pro- posed action is a procedural and administrative action that will not have a significant impact on the environment. Finding of No Significant Impact ...... The proposed action does not require changes to the ISFSI’s licensed routine operations, maintenance activities, or monitoring programs, nor does it require new construction or land- disturbing activities. The scope of the proposed action concerns only the NRC’s review and approval of SCE’s DFPs. The scope of the proposed action does not include, and will not result in, the review and approval of decontamination or decommissioning activities or li- cense termination for the ISFSI or for other parts of the San Onofre Nuclear Generating Sta- tion. Therefore, the NRC staff determined that approval of the initial and updated DFPs for the San Onofre Nuclear Generating Station ISFSI will not significantly affect the quality of the human environment, and accordingly, the staff has concluded that a FONSI is appro- priate. The NRC staff further finds that preparation of an environmental impact statement (EIS) is not required. Available Documents ...... Southern California Edison Company, 2012. ISFSI DFPs (10 CFR 72.30), dated December 14, 2012. ADAMS Accession No. ML130420384. Southern California Edison Company, 2015. ISFSI DFPs (10 CFR 72.30), dated December 14, 2015. ADAMS Accession No. ML15349A942. Southern California Edison Company, 2018. Response to Request for Additional Information Regarding ISFSI DFPs (10 CFR 72.30), dated April 11, 2018. ADAMS Accession No. ML18106A042. U.S. Nuclear Regulatory Commission. ESA Section 7 No Effect Determination for ISFSI DFP Reviews (Note to File), dated May 15, 2017. ADAMS Accession No. ML17135A062. U.S. Nuclear Regulatory Commission. Letter to T. J. Palmisano re: Request for Additional In- formation Regarding Southern California Edison’s DFP for San Onofre Nuclear Generating Station ISFSI, dated February 2018. ADAMS Accession No. ML18060A149. U.S. Nuclear Regulatory Commission. Enclosure: Request for Additional Information [Request for Additional Information Regarding Southern California Edison’s Decommissioning Funding Plan for San Onofre Nuclear Generating Station ISFSI]. February 2018. ADAMS Accession No. ML18060A148. U.S. Nuclear Regulatory Commission. Final EA and FONSI for the Southern California Edison Company’s Initial and Updated DFPs Submitted in Accordance with 10 CFR 72.30(b) and (c) for the San Onofre Nuclear Generating Station, Units 1, 2, and 3 ISFSI, dated April 7, 2021. ADAMS Accession No. ML21090A115.

Facility: Yankee Nuclear Power Station

Docket No...... 72–31. Licensee...... Yankee Atomic Electric Company (YEAC). Proposed Action ...... The NRC’s review and approval of YEAC ’s initial and updated DFPs submitted in accordance with 10 CFR 72.30(b) and (c). Environmental Impact of Proposed Action ...... The NRC staff has determined that the proposed action, the review and approval of YEAC ’s initial and updated DFPs, submitted in accordance with 10 CFR 72.30(b) and (c), will not authorize or changes to licensed operations or maintenance activities, or result in changes in the types, characteristics, or quantities of radiological or non-radiological effluents re- leased into the environment from the ISFSI, or result in the creation of solid waste. More- over, the approval of the initial and updated DFPs will not authorize any construction activ- ity, facility modification, or other land-disturbing activity. The NRC staff has concluded that the proposed action is a procedural and administrative action that will not have a significant impact on the environment. Finding of No Significant Impact ...... The proposed action does not require changes to the ISFSI’s licensed routine operations, maintenance activities, or monitoring programs, nor does it require new construction or land- disturbing activities. The scope of the proposed action concerns only the NRC’s review and approval of YEAC’s DFPs. The scope of the proposed action does not include, and will not result in, the review and approval of decontamination or decommissioning activities or li- cense termination for the ISFSI or for other parts of the former Yankee Nuclear Power Sta- tion. Therefore, the NRC staff determined that approval of the initial and updated DFPs for the Yankee Rowe ISFSI will not significantly affect the quality of the human environment, and accordingly, the staff has concluded that a FONSI is appropriate. The NRC staff further finds that preparation of an environmental impact statement (EIS) is not required. Available Documents ...... Yankee Atomic Electric Company, 2012. ISFSI DFPs (10 CFR 72.30), dated December 17, 2012. ADAMS Accession No. ML12363A106. Yankee Atomic Electric Company, 2015. ISFSI DFPs (10 CFR 72.30), dated December 14, 2015. ADAMS Accession No. ML16020A016. U.S. Nuclear Regulatory Commission. ESA Section 7 No Effect Determination for ISFSI DFP Reviews (Note to File), dated May 15, 2017. ADAMS Accession No. ML17135A062.

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FINDING OF NO SIGNIFICANT IMPACT—Continued U.S. Nuclear Regulatory Commission. Final EA and FONSI for the Yankee Atomic Electric Company’s Initial and Updated DFPs Submitted in Accordance with 10 CFR 72.30(b) and (c) for the Yankee Rowe ISFSI, dated April 7, 2021. ADAMS Accession No. ML21062A247.

Dated: April 8, 2021. questions about Docket IDs in the NRC regulations in part 51 of title For the Nuclear Regulatory Commission. Regulations.gov to Stacy Schumann; 10 of the Code of Federal Regulations John B. McKirgan, telephone: 301–415–0624; email: (10 CFR), ‘‘Environmental Protection Chief, Storage and Transportation Licensing [email protected]. For technical Regulations for Domestic Licensing and Branch, Division of Fuel Management, Office questions, contact the individuals listed Related Regulatory Functions,’’ which of Nuclear Material Safety and Safeguards. in the FOR FURTHER INFORMATION implement the National Environmental [FR Doc. 2021–07577 Filed 4–13–21; 8:45 am] CONTACT section of this document. Policy Act of 1969, as amended (42 • BILLING CODE 7590–01–P NRC’s Agencywide Documents U.S.C. 4321 et seq.). Access and Management System The NRC requires its licensees to plan (ADAMS): You may obtain publicly for the eventual decommissioning of available documents online in the NUCLEAR REGULATORY their licensed facilities prior to license ADAMS Public Documents collection at COMMISSION termination. On June 17, 2011, the NRC https://www.nrc.gov/reading-rm/ [NRC–2021–0076] published a final rule in the Federal adams.html. To begin the search, select Register amending its decommissioning Environmental Assessments and ‘‘Begin Web-based ADAMS Search.’’ For problems with ADAMS, please contact planning regulations (76 FR 35512). The Findings of No Significant Impact of final rule amended the NRC regulation, Independent Spent Fuel Storage the NRC’s Public Document Room (PDR) reference staff at 1–800–397–4209, 301– 10 CFR 72.30, which concerns financial Facilities Decommissioning Funding assurance and decommissioning for Plans 415–4737, or by email to pdr.resource@ nrc.gov. The ADAMS accession number ISFSIs. This regulation requires each AGENCY: Nuclear Regulatory for each document referenced (if it is holder of, or applicant for, a license Commission. available in ADAMS) is provided the under 10 CFR part 72 to submit a DFP for the NRC’s review and approval. The ACTION: Environmental assessment and first time that it is mentioned in this finding of no significant impact; document. DFP is to demonstrate the licensee’s issuance. • Attention: The PDR, where you may financial assurance, i.e., that funds will examine and order copies of public be available to decommission the ISFSI. SUMMARY: The U.S. Nuclear Regulatory documents, is currently closed. You The NRC staff will later publish its Commission (NRC) is publishing this may submit your request to the PDR via financial analyses of the DFP submittals notice regarding the issuance of a final email at [email protected] or call 1– which will be available for public Environmental Assessment (EA) and a 800–397–4209 or 301–415–4737, inspection in ADAMS. Finding of No Significant Impact between 8:00 a.m. and 4:00 p.m. (EST), II. Discussion (FONSI) for its review and approval of Monday through Friday, except Federal the initial and updated holidays. The following table includes the plant decommissioning funding plans (DFPs) FOR FURTHER INFORMATION CONTACT: Yen- name, docket number, licensee, and submitted by independent spent fuel Ju Chen, telephone: 301–415–1018, ADAMS Accession Number for the final storage installation (ISFSI) licensees for email: [email protected] or Bernard EA and FONSI determination for each of the ISFSIs listed in the ‘‘Discussion’’ White, telephone: 301–415–6577, email: the individual ISFSIs. The table also section of this document. [email protected]. Both are staff of includes the ADAMS Accession DATES: The EA and FONSI referenced in the Office of Nuclear Material Safety Numbers for other relevant documents, this document are available on April 14, and Safeguards at the U.S. Nuclear including the initial and updated DFP 2021. Regulatory Commission, Washington, submittals. For further details with ADDRESSES: Please refer to Docket ID DC 20555–0001. respect to these actions, see the NRC NRC–2021–0076 when contacting the SUPPLEMENTARY INFORMATION: staff’s Final EA and FONSI NRC about the availability of determinations which are available for information regarding this document. I. Introduction public inspection in ADAMS and at You may obtain publicly available The NRC is considering the approval https://www.regulations.gov under information related to this document of the initial and updated DFPs Docket ID NRC–2021–0076. For using any of the following methods: submitted by ISFSI licensees. The NRC additional direction on accessing • Federal Rulemaking website: Go to staff has prepared a final EA and FONSI information related to this document, https://www.regulations.gov and search determination for each of the initial and see the ADDRESSES section of this for Docket ID NRC–2021–0076. Address updated ISFSI DFPs in accordance with document.

FINDING OF NO SIGNIFICANT IMPACT

Facility: Big Rock Point

Docket No...... 72–43. Licensee ...... Entergy Nuclear Operations, Inc. (Entergy). Proposed Action ...... The NRC’s review and approval of Entergy’s initial and updated DFPs submitted in accord- ance with 10 CFR 72.30(b) and (c).

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FINDING OF NO SIGNIFICANT IMPACT—Continued Environmental Impact of Proposed Action ...... The NRC staff has determined that the proposed action, the review and approval of Entergy’s initial and updated DFPs, submitted in accordance with 10 CFR 72.30(b) and (c), will not authorize changes to licensed operations or maintenance activities, or result in changes in the types, characteristics, or quantities of radiological or non-radiological effluents released into the environment from the ISFSI, or result in the creation of solid waste. Moreover, the approval of the initial and updated DFPs will not authorize any construction activity, facility modification, or other land-disturbing activity. The NRC staff has concluded that the pro- posed action is a procedural and administrative action that will not have a significant impact on the environment. Finding of No Significant Impact ...... The proposed action does not require changes to the ISFSI’s licensed routine operations, maintenance activities, or monitoring programs, nor does it require new construction or land- disturbing activities. The scope of the proposed action concerns only the NRC’s review and approval of Entergy’s initial and updated DFPs. The scope of the proposed action does not include, and will not result in, the review and approval of decontamination or decommis- sioning activities or license termination for the ISFSI or for other parts of Big Rock Point. Therefore, the NRC staff determined that approval of the initial and updated DFPs for the Big Rock Point ISFSI will not significantly affect the quality of the human environment, and accordingly, the staff has concluded that a FONSI is appropriate. The NRC staff further finds that preparation of an environmental impact statement (EIS) is not required. Available Documents ...... Entergy Nuclear Operations, Inc., 2012. ISFSI DFPs (10 CFR 72.30), dated December 13, 2012. ADAMS Accession No. ML12352A126. Entergy Nuclear Operations, Inc., 2013. ISFSI DFPs (10 CFR 72.30)—Correction Notice, dated January 8, 2013. ADAMS Accession No. ML13010A042. Entergy Nuclear Operations, Inc., 2015. ISFSI DFPs (10 CFR 72.30), dated December 17, 2015. ADAMS Accession No. ML15351A524. Entergy Nuclear Operations, Inc., 2018. Response to Request for Additional Information re- garding ISFSI DFPs (10 CFR 72.30), dated June 4, 2018. ADAMS Accession No. ML18155A576. U.S. Nuclear Regulatory Commission. EA for Final Rule-Decommissioning Planning, dated February 1, 2009. ADAMS Accession No. ML090500648. U.S. Nuclear Regulatory Commission. Note to File, Re: ESA Section 7 No Effect Determina- tion for ISFSI DFP Reviews, dated May 15, 2017. ADAMS Accession No. ML17135A062. U.S. Nuclear Regulatory Commission. Request for Additional Information Regarding Entergy Operations, Inc.’s DFP Update for Big Rock Point, Indian Point Nuclear Generating Stations Units 1, 2, and 3, Pilgrim Nuclear Power Station, Palisades Nuclear Plant, James A. Fitzpatrick Nuclear Power Plant, and Vermont Yankee Nuclear Power Station ISFSIs Docket Nos. 72–43, 72–51, 72–1044, 72–07, 72–12, and 72–59, dated April 5, 2018. ADAMS Ac- cession No. ML18094B093. U.S. Nuclear Regulatory Commission. Final EA and FONSI for the Entergy Nuclear Oper- ations, Inc’s Initial and Updated DFPs Submitted in Accordance with 10 CFR 72.30(b) and (c) for Big Rock Point Nuclear Power Plant ISFSI, dated March 31, 2021. ADAMS Package Accession No. ML21062A269.

Facility: Indian Point Nuclear Generating Stations, Units 1, 2, and 3

Docket No...... 72–51. Licensee ...... Entergy Nuclear Operations, Inc. (Entergy). Proposed Action ...... The NRC’s review and approval of Entergy’s initial and updated DFPs submitted in accord- ance with 10 CFR 72.30(b) and (c). Environmental Impact of Proposed Action ...... The NRC staff has determined that the proposed action, the review and approval of Entergy’s initial and updated DFPs, submitted in accordance with 10 CFR 72.30(b) and (c), will not authorize changes to licensed operations or maintenance activities, or result in changes in the types, characteristics, or quantities of radiological or non-radiological effluents released into the environment from the ISFSI, or result in the creation of solid waste. Moreover, the approval of the initial and updated DFPs will not authorize any construction activity, facility modification, or other land-disturbing activity. The NRC staff has concluded that the pro- posed action is a procedural and administrative action that will not have a significant impact on the environment. Finding of No Significant Impact ...... The proposed action does not require changes to the ISFSI’s licensed routine operations, maintenance activities, or monitoring programs, nor does it require new construction or land- disturbing activities. The scope of the proposed action concerns only the NRC’s review and approval of Entergy’s initial and updated DFPs. The scope of the proposed action does not include, and will not result in, the review and approval of decontamination or decommis- sioning activities or license termination for the ISFSI or for other parts of Indian Point Nu- clear Generating Stations, Units 1, 2, and 3. Therefore, the NRC staff determined that ap- proval of the initial and updated DFPs for the Indian Point ISFSI will not significantly affect the quality of the human environment, and accordingly, the staff has concluded that a FONSI is appropriate. The NRC staff further finds that preparation of an environmental im- pact statement (EIS) is not required. Available Documents ...... Entergy Nuclear Operations, Inc., 2012. ISFSI DFPs (10 CFR 72.30), dated December 13, 2012. ADAMS Accession No. ML12352A126. Entergy Nuclear Operations, Inc., 2013. ISFSI DFPs (10 CFR 72.30)—Correction Notice, dated January 8, 2013. ADAMS Accession No. ML13010A042.

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FINDING OF NO SIGNIFICANT IMPACT—Continued Entergy Nuclear Operations, Inc., 2015. ISFSI DFPs (10 CFR 72.30), dated December 17, 2015. ADAMS Accession No. ML15351A524. Entergy Nuclear Operations, Inc., 2018. Response to Request for Additional Information re- garding ISFSI DFPs (10 CFR 72.30), dated June 4, 2018. ADAMS Accession No. ML18155A576. U.S. Nuclear Regulatory Commission. EA for Final Rule-Decommissioning Planning, dated February 1, 2009. ADAMS Accession No. ML090500648. U.S. Nuclear Regulatory Commission. Note to File, Re: ESA Section 7 No Effect Determina- tion for ISFSI DFP Reviews, dated May 15, 2017. ADAMS Accession No. ML17135A062. U.S. Nuclear Regulatory Commission. Request for Additional Information Regarding Entergy Operations, Inc.’s DFP Update for Big Rock Point, Indian Point Nuclear Generating Stations Units 1, 2, and 3, Pilgrim Nuclear Power Station, Palisades Nuclear Plant, James A. Fitzpatrick Nuclear Power Plant, and Vermont Yankee Nuclear Power Station ISFSIs Docket Nos. 72–43, 72–51, 72–1044, 72–07, 72–12, and 72–59, dated April 5, 2018. ADAMS Ac- cession No. ML18094B093. U.S. Nuclear Regulatory Commission. Order Approving Transfer of Licenses and Draft Con- forming Administrative License Amendments, dated November 23, 2020. ADAMS Accession No. ML20297A325. U.S. Nuclear Regulatory Commission. Final EA and FONSI for the Entergy Nuclear Oper- ations, Inc’s Initial and Updated DFPs Submitted in Accordance with 10 CFR 72.30(b) and (c) for Indian Point Nuclear Generating Stations, Units 1, 2, and 3 ISFSI, dated April 7, 2021. ADAMS Package Accession No. ML21056A076.

Facility: Pilgrim Nuclear Power Station

Docket No...... 72–1044. Licensee ...... Entergy Nuclear Operations, Inc. (Entergy), currently Holtec Pilgrim, LLC, and Holtec Decom- missioning International, LLC. Proposed Action ...... The NRC’s review and approval of Entergy’s initial and updated DFPs submitted in accord- ance with 10 CFR 72.30(b) and (c). Environmental Impact of Proposed Action ...... The NRC staff has determined that the proposed action, the review and approval of Entergy’s initial and updated DFPs, submitted in accordance with 10 CFR 72.30(b) and (c), will not authorize changes to licensed operations or maintenance activities, or result in changes in the types, characteristics, or quantities of radiological or non-radiological effluents released into the environment from the ISFSI, or result in the creation of solid waste. Moreover, the approval of the initial and updated DFPs will not authorize any construction activity, facility modification, or other land-disturbing activity. The NRC staff has concluded that the pro- posed action is a procedural and administrative action that will not have a significant impact on the environment. Finding of No Significant Impact ...... The proposed action does not require changes to the ISFSI’s licensed routine operations, maintenance activities, or monitoring programs, nor does it require new construction or land- disturbing activities. The scope of the proposed action concerns only the NRC’s review and approval of Entergy’s initial and updated DFPs. The scope of the proposed action does not include, and will not result in, the review and approval of decontamination or decommis- sioning activities or license termination for the ISFSI or for other parts of Pilgrim Nuclear Power Station. Therefore, the NRC staff determined that approval of the initial and updated DFPs for the Pilgrim ISFSI will not significantly affect the quality of the human environment, and accordingly, the staff has concluded that a FONSI is appropriate. The NRC staff further finds that preparation of an environmental impact statement (EIS) is not required. Available Documents ...... Entergy Nuclear Operations, Inc., 2012. ISFSI DFPs (10 CFR 72.30), dated December 13, 2012. ADAMS Accession No. ML12352A126. Entergy Nuclear Operations, Inc., 2013. ISFSI DFPs (10 CFR 72.30)—Correction Notice, dated January 8, 2013. ADAMS Accession No. ML13010A042. Entergy Nuclear Operations, Inc., 2015. ISFSI DFPs (10 CFR 72.30), dated December 17, 2015. ADAMS Accession No. ML15351A524. Entergy Nuclear Operations, Inc., 2018. Response to Request for Additional Information re- garding ISFSI DFPs (10 CFR 72.30), dated June 4, 2018. ADAMS Accession No. ML18155A576. U.S. Nuclear Regulatory Commission. EA for Final Rule-Decommissioning Planning, dated February 1, 2009. ADAMS Accession No. ML090500648. U.S. Nuclear Regulatory Commission. Note to File, Re: ESA Section 7 No Effect Determina- tion for ISFSI DFP Reviews, dated May 15, 2017. ADAMS Accession No. ML17135A062. U.S. Nuclear Regulatory Commission. Request for Additional Information Regarding Entergy Operations, Inc.’s DFP Update for Big Rock Point, Indian Point Nuclear Generating Stations Units 1, 2, and 3, Pilgrim Nuclear Power Station, Palisades Nuclear Plant, James A. Fitzpatrick Nuclear Power Plant, and Vermont Yankee Nuclear Power Station ISFSIs Docket Nos. 72–43, 72–51, 72–1044, 72–07, 72–12, and 72–59, dated April 5, 2018. ADAMS Ac- cession No. ML18094B093. U.S. Nuclear Regulatory Commission. Order Approving Direct and Indirect Transfer of License and Conforming Amendment, dated August 22, 2019. ADAMS Accession No. ML19170A265.

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FINDING OF NO SIGNIFICANT IMPACT—Continued U.S. Nuclear Regulatory Commission. Pilgrim Nuclear Power Station-Issuance of Amendment No. 249 Re: Order Approving Direct Transfer of Renewed Facility Operating License and ISFSI General License and Conforming Amendment, dated August 27, 2019. ADAMS Ac- cession No. ML19235A050. U.S. Nuclear Regulatory Commission. Final EA and FONSI for the Entergy Nuclear Oper- ations, Inc’s Initial and Updated DFPs Submitted in Accordance With 10 CFR 72.30(b) and (c) for Pilgrim Nuclear Power Station ISFSI, dated March 31, 2021. ADAMS Package Acces- sion No. ML21060B114.

Facility: Palisades Nuclear Plant

Docket No...... 72–07. Licensee ...... Entergy Nuclear Operations, Inc. (Entergy). Proposed Action ...... The NRC’s review and approval of Entergy’s initial and updated DFPs submitted in accord- ance with 10 CFR 72.30(b) and (c). Environmental Impact of Proposed Action ...... The NRC staff has determined that the proposed action, the review and approval of Entergy’s initial and updated DFPs, submitted in accordance with 10 CFR 72.30(b) and (c), will not authorize changes to licensed operations or maintenance activities, or result in changes in the types, characteristics, or quantities of radiological or non-radiological effluents released into the environment from the ISFSI, or result in the creation of solid waste. Moreover, the approval of the initial and updated DFPs will not authorize any construction activity, facility modification, or other land-disturbing activity. The NRC staff has concluded that the pro- posed action is a procedural and administrative action that will not have a significant impact on the environment. Finding of No Significant Impact ...... The proposed action does not require changes to the ISFSI’s licensed routine operations, maintenance activities, or monitoring programs, nor does it require new construction or land- disturbing activities. The scope of the proposed action concerns only the NRC’s review and approval of Entergy’s initial and updated DFPs. The scope of the proposed action does not include, and will not result in, the review and approval of decontamination or decommis- sioning activities or license termination for the ISFSI or for other parts of Palisades Nuclear Plant. Therefore, the NRC staff determined that approval of the initial and updated DFPs for the Palisades ISFSI will not significantly affect the quality of the human environment, and accordingly, the staff has concluded that a FONSI is appropriate. The NRC staff further finds that preparation of an environmental impact statement (EIS) is not required. Available Documents ...... Entergy Nuclear Operations, Inc., 2012. ISFSI DFPs (10 CFR 72.30), dated December 13, 2012. ADAMS Accession No. ML12352A126. Entergy Nuclear Operations, Inc., 2013. ISFSI DFPs (10 CFR 72.30)—Correction Notice, dated January 8, 2013. ADAMS Accession No. ML13010A042. Entergy Nuclear Operations, Inc., 2015. ISFSI DFPs (10 CFR 72.30), dated December 17, 2015. ADAMS Accession No. ML15351A524. Entergy Nuclear Operations, Inc., 2018. Response to Request for Additional Information re- garding ISFSI DFPs (10 CFR 72.30), dated June 4, 2018. ADAMS Accession No. ML18155A576. U.S. Nuclear Regulatory Commission. EA for Final Rule-Decommissioning Planning, dated February 1, 2009. ADAMS Accession No. ML090500648. U.S. Nuclear Regulatory Commission. Note to File, Re: ESA Section 7 No Effect Determina- tion for ISFSI DFP Reviews, dated May 15, 2017. ADAMS Accession No. ML17135A062. U.S. Nuclear Regulatory Commission. Request for Additional Information Regarding Entergy Operations, Inc.’s DFP Update for Big Rock Point, Indian Point Nuclear Generating Stations Units 1, 2, and 3, Pilgrim Nuclear Power Station, Palisades Nuclear Plant, James A. Fitzpatrick Nuclear Power Plant, and Vermont Yankee Nuclear Power Station ISFSIs Docket Nos. 72–43, 72–51, 72–1044, 72–07, 72–12, and 72–59, dated April 5, 2018. ADAMS Ac- cession No. ML18094B093. U.S. Nuclear Regulatory Commission. Final EA and FONSI for the Entergy Nuclear Oper- ations, Inc’s Initial and Updated DFPs Submitted in Accordance with 10 CFR 72.30(b) and (c) for Palisades Nuclear Plant ISFSI, dated March 30, 2021. ADAMS Package Accession No. ML21055A528.

Facility: James A. FitzPatrick Nuclear Power Plant

Docket No ...... 72–12. Licensee ...... Entergy Nuclear Operations, Inc. (Entergy), currently Exelon FitzPatrick, LLC. Proposed Action ...... The NRC’s review and approval of Entergy’s initial and updated DFPs submitted in accord- ance with 10 CFR 72.30(b) and (c). Environmental Impact of Proposed Action ...... The NRC staff has determined that the proposed action, the review and approval of Entergy’s initial and updated DFPs, submitted in accordance with 10 CFR 72.30(b) and (c), will not authorize changes to licensed operations or maintenance activities, or result in changes in the types, characteristics, or quantities of radiological or non-radiological effluents released into the environment from the ISFSI, or result in the creation of solid waste. Moreover, the approval of the initial and updated DFPs will not authorize any construction activity, facility modification, or other land-disturbing activity. The NRC staff has concluded that the pro- posed action is a procedural and administrative action that will not have a significant impact on the environment.

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FINDING OF NO SIGNIFICANT IMPACT—Continued Finding of No Significant Impact ...... The proposed action does not require changes to the ISFSI’s licensed routine operations, maintenance activities, or monitoring programs, nor does it require new construction or land- disturbing activities. The scope of the proposed action concerns only the NRC’s review and approval of Entergy’s initial and updated DFPs. The scope of the proposed action does not include, and will not result in, the review and approval of decontamination or decommis- sioning activities or license termination for the ISFSI or for other parts of James A. FitzPatrick Nuclear Power Plant. Therefore, the NRC staff determined that approval of the initial and updated DFPs for the FitzPatrick ISFSI will not significantly affect the quality of the human environment, and accordingly, the staff has concluded that a FONSI is appro- priate. The NRC staff further finds that preparation of an environmental impact statement (EIS) is not required. Available Documents ...... Entergy Nuclear Operations, Inc., 2012. ISFSI DFPs (10 CFR 72.30), dated December 13, 2012. ADAMS Accession No. ML12352A126. Entergy Nuclear Operations, Inc., 2013. ISFSI DFPs (10 CFR 72.30)—Correction Notice, dated January 8, 2013. ADAMS Accession No. ML13010A042. Entergy Nuclear Operations, Inc., 2015. ISFSI DFPs (10 CFR 72.30), dated December 17, 2015. ADAMS Accession No. ML15351A524. Entergy Nuclear Operations, Inc., 2018. Response to Request for Additional Information re- garding ISFSI DFPs (10 CFR 72.30), dated June 4, 2018. ADAMS Accession No. ML18155A576. U.S. Nuclear Regulatory Commission. EA for Final Rule-Decommissioning Planning, dated February 1, 2009. ADAMS Accession No. ML090500648. U.S. Nuclear Regulatory Commission. Note to File, Re: ESA Section 7 No Effect Determina- tion for ISFSI DFP Reviews, dated May 15, 2017. ADAMS Accession No. ML17135A062. U.S. Nuclear Regulatory Commission. James A. Fitzpatrick Nuclear Power Plant-Order Ap- proving Direct Transfer of Renewed Facility Operating License and ISFSI General License and Conforming Amendment, dated March 1, 2017. ADAMS Accession No. ML17041A196. U.S. Nuclear Regulatory Commission. James A. Fitzpatrick Nuclear Power Plant—Issuance of Amendment Re: Application for Order to Transfer Renewed Facility Operating License, ISFSI General License, and Conforming Amendment from Entergy Nuclear Fitzpatrick, LLC. and Entergy Nuclear Operations, Inc., to Exelon Generation Company, LLC, dated March 31, 2017. ADAMS Accession No. ML17082A283. U.S. Nuclear Regulatory Commission. James A. Fitzpatrick Nuclear Power Plant-Order Ap- proving Direct Transfer of Renewed Facility Operating License and ISFSI General License and Conforming Amendment, dated November 7, 2017. ADAMS Accession No. ML17240A069. U.S. Nuclear Regulatory Commission. James A. Fitzpatrick Nuclear Power Plant—Issuance of Amendment Re: Application for Order Approving Direct Transfer of Renewed Facility Oper- ating License and ISFSI General License and Conforming Amendment, dated November 30, 2017. ADAMS Accession No. ML17313A077. U.S. Nuclear Regulatory Commission. Request for Additional Information Regarding Entergy Operations, Inc.’s DFP Update for Big Rock Point, Indian Point Nuclear Generating Stations Units 1, 2, and 3, Pilgrim Nuclear Power Station, Palisades Nuclear Plant, James A. Fitzpatrick Nuclear Power Plant, and Vermont Yankee Nuclear Power Station ISFSIs Docket Nos. 72–43, 72–51, 72–1044, 72–07, 72–12, and 72–59, dated April 5, 2018. ADAMS Ac- cession No. ML18094B093. U.S. Nuclear Regulatory Commission. Final EA and FONSI for the Entergy Nuclear Oper- ations, Inc’s Initial and Updated DFPs Submitted in Accordance with 10 CFR 72.30(b) and (c) for James A. FitzPatrick Nuclear Power Plant ISFSI, dated March 30, 2021. ADAMS Package Accession No. ML21056A543.

Facility: Vermont Yankee Nuclear Power Station

Docket No ...... 72–59. Licensee ...... Entergy Nuclear Operations, Inc. (Entergy), currently NorthStar Decommissioning Company, LLC (NorthStar). Proposed Action ...... The NRC’s review and approval of Entergy’s initial and updated DFPs submitted in accord- ance with 10 CFR 72.30(b) and (c). Environmental Impact of Proposed Action ...... The NRC staff has determined that the proposed action, the review and approval of Entergy’s initial and updated DFPs, submitted in accordance with 10 CFR 72.30(b) and (c), will not authorize changes to licensed operations or maintenance activities, or result in changes in the types, characteristics, or quantities of radiological or non-radiological effluents released into the environment from the ISFSI, or result in the creation of solid waste. Moreover, the approval of the initial and updated DFPs will not authorize any construction activity, facility modification, or other land-disturbing activity. The NRC staff has concluded that the pro- posed action is a procedural and administrative action that will not have a significant impact on the environment.

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FINDING OF NO SIGNIFICANT IMPACT—Continued Finding of No Significant Impact ...... The proposed action does not require changes to the ISFSI’s licensed routine operations, maintenance activities, or monitoring programs, nor does it require new construction or land- disturbing activities. The scope of the proposed action concerns only the NRC’s review and approval of Entergy’s initial and updated DFPs. The scope of the proposed action does not include, and will not result in, the review and approval of decontamination or decommis- sioning activities or license termination for the ISFSI or for other parts of Vermont Yankee Nuclear Power Station. Therefore, the NRC staff determined that approval of the initial and updated DFPs for the Vermont Yankee ISFSI will not significantly affect the quality of the human environment, and accordingly, the staff has concluded that a FONSI is appropriate. The NRC staff further finds that preparation of an environmental impact statement (EIS) is not required. Available Documents ...... Entergy Nuclear Operations, Inc., 2012. ISFSI DFPs (10 CFR 72.30), dated December 13, 2012. ADAMS Accession No. ML12352A126. Entergy Nuclear Operations, Inc., 2013. ISFSI DFPs (10 CFR 72.30)—Correction Notice, dated January 8, 2013. ADAMS Accession No. ML13010A042. Entergy Nuclear Operations, Inc., 2015. ISFSI DFPs (10 CFR 72.30), dated December 17, 2015. ADAMS Accession No. ML15351A524. Entergy Nuclear Operations, Inc., 2018. Response to Request for Additional Information re- garding ISFSI DFPs (10 CFR 72.30), dated June 4, 2018. ADAMS Accession No. ML18155A576. U.S. Nuclear Regulatory Commission. EA for Final Rule-Decommissioning Planning, dated February 1, 2009. ADAMS Accession No. ML090500648. U.S. Nuclear Regulatory Commission. Note to File, Re: ESA Section 7 No Effect Determina- tion for ISFSI DFP Reviews, dated May 15, 2017. ADAMS Accession No. ML17135A062. U.S. Nuclear Regulatory Commission. Request for Additional Information Regarding Entergy Operations, Inc.’s DFP Update for Big Rock Point, Indian Point Nuclear Generating Stations Units 1, 2, and 3, Pilgrim Nuclear Power Station, Palisades Nuclear Plant, James A. Fitzpatrick Nuclear Power Plant, and Vermont Yankee Nuclear Power Station ISFSIs Docket Nos. 72–43, 72–51, 72–1044, 72–07, 72–12, and 72–59, dated April 5, 2018. ADAMS Ac- cession No. ML18094B093. U.S. Nuclear Regulatory Commission. Order Approving the Transfer of License and Con- forming Amendment, dated October 11, 2018. ADAMS Accession No. ML18248A096. U.S. Nuclear Regulatory Commission. Vermont Yankee Nuclear Power Station—Issuance of Amendment Re: Application for Order Approving Direct and Indirect Transfer of Renewed Facility Operating License and ISFSI General License and Conforming Amendment, dated January 11, 2019. ADAMS Accession No. ML18347B360. U.S. Nuclear Regulatory Commission. Final EA and FONSI for the Entergy Nuclear Oper- ations, Inc’s Initial and Updated DFPs Submitted in Accordance with 10 CFR 72.30(b) and (c) for Vermont Yankee Nuclear Power Station ISFSI, dated March 20, 2021. ADAMS Pack- age Accession No. ML21055A833.

Dated: April 8, 2021. with minor edits, Request for Change to FOR FURTHER INFORMATION CONTACT: A For the Nuclear Regulatory Commission. Unreduced Annuity, RI 20–120. copy of this ICR with applicable John B. McKirgan, This ICR has been revised in the supporting documentation, may be Chief, Storage and Transportation Licensing following manner: The display of the obtained by contacting the Retirement Branch, Division of Fuel Management, Office OMB control number and an updated Services Publications Team, Office of of Nuclear Material Safety and Safeguards. edition date. Personnel Management, 1900 E Street [FR Doc. 2021–07582 Filed 4–13–21; 8:45 am] NW, Room 3316–L, Washington, DC DATES: Comments are encouraged and BILLING CODE 7590–01–P 20415, Attention: Cyrus S. Benson, or will be accepted until June 14, 2021. sent via electronic mail to ADDRESSES: You may submit comments, [email protected] or faxed to identified by docket number and/or (202) 606–0910 or via telephone at (202) OFFICE OF PERSONNEL Regulatory Information Number (RIN) 606–4808. MANAGEMENT and title, by the following method: SUPPLEMENTARY INFORMATION: As required by the Paperwork Reduction —Federal Rulemaking Portal: http:// Submission for Review: Request for Act of 1995 (Pub. L. 104–13, 44 U.S.C. www.regulations.gov. Follow the Change to Unreduced Annuity, RI 20– chapter 35) as amended by the Clinger- instructions for submitting comments. 120 Cohen Act (Pub. L. 104–106), OPM is All submissions received must soliciting comments for this collection AGENCY: Office of Personnel include the agency name and docket (OMB No. 3206–0245). The Office of Management. number or RIN for this document. The Management and Budget is particularly ACTION: 60-Day notice and request for general policy for comments and other interested in comments that: comments. submissions from members of the public 1. Evaluate whether the proposed is to make these submissions available collection of information is necessary SUMMARY: Retirement Services, Office of for public viewing at http:// for the proper performance of functions Personnel Management (OPM) offers the www.regulations.gov as they are of the agency, including whether the general public and other federal received without change, including any information will have practical utility; agencies the opportunity to comment on personal identifiers or contact 2. Evaluate the accuracy of the an expiring information collection (ICR) information. agency’s estimate of the burden of the

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proposed collection of information, Items I, II, and III below, which Items While the ACE Program is limited to including the validity of the have been prepared by the self- Electronic Customer volume, the Step- methodology and assumptions used; regulatory organization. The Up Incentive is limited to Electronic 3. Enhance the quality, utility, and Commission is publishing this notice to Professional 8 volume. The Exchange clarity of the information to be solicit comments on the proposed rule proposes to modify certain volume collected; and change from interested persons. exclusions and qualifying criteria for the 4. Minimize the burden of the Step-Up Incentive to continue to I. Self-Regulatory Organization’s collection of information on those who encourage greater Electronic Statement of the Terms of Substance of are to respond, including through the Professional volume and, specifically, to the Proposed Rule Change use of appropriate automated, continue to incentivize increased electronic, mechanical, or other The Exchange proposes to amend the Electronic Professional volume. To the technological collection techniques or NYSE American Options Fee Schedule extent that the modifications succeed, other forms of information technology, (‘‘Fee Schedule’’) regarding the the increased liquidity on the Exchange e.g., permitting electronic submissions Professional Step-Up Incentive program. would result in enhanced market of responses. The Exchange proposes to implement quality for all participants. RI 20–120 is designed to collect the fee change effective April 8, 2021.4 Currently, the Step-Up Incentive information the Office of Personnel The proposed rule change is available program provides that ATP Holders who Management needs to comply with the on the Exchange’s website at increase their monthly Electronic wishes of the retired Federal employee www.nyse.com, at the principal office of Professional volume by specified whose marriage has ended. This form the Exchange, and at the Commission’s percentages of TCADV over their August provides an organized way for the Public Reference Room. 2019 volume or, for new ATP Holders, retiree to give us everything at one time. II. Self-Regulatory Organization’s that increase Electronic Professional volume by the specified percentages of Analysis Statement of the Purpose of, and Statutory Basis for, the Proposed Rule TCADV above a base level of 10,000 Agency: Retirement Operations, Change contracts ADV (the ‘‘Qualifying Retirement Services, Office of Personnel Volume’’), will qualify for certain Management. In its filing with the Commission, the reduced transaction rates on Electronic Title: Request for Change to self-regulatory organization included Professional volume, as well as credits Unreduced Annuity. statements concerning the purpose of, on Electronic Customer volume at Tier OMB Number: 3206–0245. and basis for, the proposed rule change 1 of the ACE program. Frequency: On occasion. and discussed any comments it received The Exchange proposes to modify the Affected Public: Individuals or on the proposed rule change. The text Step-Up Incentive program to (1) Households. of those statements may be examined at exclude an additional category of Number of Respondents: 5,000. the places specified in Item IV below. volume from the calculations of base Estimated Time per Respondent: 30 The Exchange has prepared summaries, volume amounts and Qualifying minutes. set forth in sections A, B, and C below, Volume, and (2) revise the Qualifying Total Burden Hours: 2,500 minutes. of the most significant parts of such Volume percentages for Tiers A and B. statements. Office of Personnel Management. Currently, volumes from Strategy Alexys Stanley, A. Self-Regulatory Organization’s Executions, CUBE Auctions, and QCC Regulatory Affairs Analyst. Statement of the Purpose of, and the Transactions are excluded from the calculation of base volume amounts and [FR Doc. 2021–07659 Filed 4–13–21; 8:45 am] Statutory Basis for, the Proposed Rule Change Qualifying Volume. The Exchange BILLING CODE 6325–38–P proposes to further specify that volume 1. Purpose from interest that takes liquidity from The purpose of this filing is to modify posted Customer interest would also be SECURITIES AND EXCHANGE the Fee Schedule regarding the excluded for purposes of calculating COMMISSION Professional Step-Up Incentive program base volume amounts and Qualifying [Release No. 34–91510; File No. SR– (the ‘‘Step-Up Incentive’’) 5 and correct Volume for the Step-Up Incentive, as NYSEAMER–2021–20] a typographical error.6 such Customer interest is eligible for The Exchange proposes to implement discounted rates and credits under other Self-Regulatory Organizations; NYSE the rule change on April 8, 2021. programs set forth in the Exchange’s Fee American LLC; Notice of Filing and The Exchange has established various Schedule.9 Immediate Effectiveness of a Proposed pricing incentives designed to The Step-Up Incentive program Rule Change to Amend the NYSE encourage increased Electronic volume includes two tiers that ATP Holders can American Options Fee Schedule executed on the Exchange, including qualify for based on Qualifying Volume (but not limited to) the American as a percentage of TCADV. The Pursuant to Section 19(b)(1) 1 of the Customer Engagement (‘‘ACE’’) Exchange proposes to increase the Securities Exchange Act of 1934 (the Program 7 and the Step-Up Incentive. qualification for Tier A from 0.12% of ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 TCADV to 0.20% of TCADV and for Tier notice is hereby given that, on April 8, 4 The Exchange originally filed to amend the Fee B from 0.15% of TCADV to 0.25% of 2021, NYSE American LLC (‘‘NYSE Schedule on April 1, 2021 (SR–NYSEAmer–2021– TCADV. This proposed change is shown American’’ or the ‘‘Exchange’’) filed 18) and withdrew such filing on April 8, 2021 to in the table below, with to-be-deleted with the Securities and Exchange make a clarifying change to the proposed Fee Commission (the ‘‘Commission’’) the Schedule, set forth in the instant filing. 5 proposed rule change as described in See Fee Schedule, Section I.H. 8 For purposes of this filing, Electronic 6 The Exchange proposes a non-substantive ‘‘Professional’’ volume includes Electronic volume change to delete an extraneous word in Section I.H., in the Professional Customer, Broker Dealer, Non- 1 15 U.S.C. 78s(b)(1). which would improve the clarity of the Fee NYSE American Options Market Maker, and Firm 2 15 U.S.C. 78a. Schedule. See proposed Fee Schedule, Section I.H. ranges. 3 17 CFR 240.19b–4. 7 See Fee Schedule, Section I.E. 9 See, e.g., Fee Schedule, Section I.E.

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text in brackets and proposed (new) text underscored.10

PROFESSIONAL STEP-UP INCENTIVE

Qualifying volume as a % of Per contract Per contract TCADV penny rate non-penny rate ACE benefits

Tier A ...... [0.12%] 0.20% ...... $0.35 $0.60 Tier 1 Tier B ...... [0.15%] 0.25% ...... 0.20 0.50 Tier 1

As shown in the table above, by Credits on Customer executions. The redirection of order flow to the achieving an increase in Qualifying Exchange also proposes to modify the Exchange by ATP Holders in exchange Volume, benefits accrue to the ATP Fee Schedule to specify that ATP for better economics as provided by the Holder. For example, assume an ATP Holders that qualify for Tier B as incentive program (i.e., enhanced Holder executed Electronic Professional modified (i.e., ATP Holders that discounts and credits), making it a more volume in August 2019 totaling 9,000 increase Qualifying Volume by 0.25% of attractive venue for trading. ADV and, in April 2021, the ATP TCADV) and also execute posted The Exchange cannot predict with Holder executed Electronic Professional Professional volume (i.e., that adds certainty whether any ATP Holders volume of 100,000 ADV and the TCADV liquidity) of at least 0.10% of TCADV would be incented to qualify for the is 37,200,000. To qualify for the Step-Up would continue to receive a $0.03 per Step-Up Incentive, as modified; Incentive, that ATP Holder would need contract discount off the Tier B rates. however, the Exchange believes that to execute Electronic Professional The Exchange’s fees are constrained ATP Holders would continue to be volume that is at least 74,400 contracts by intermarket competition, as ATP encouraged to direct Electronic (i.e., 0.20% of TCADV) above its August Holders may direct their order flow to Professional volume to the Exchange to 2019 Electronic Professional Volume for any of the 16 options exchanges, qualify for the Step-Up Incentive. Tier A, as modified, or at least 93,000 including an exchange with a similar 2. Statutory Basis contracts (i.e., 0.25% of TCADV) above incentive program.11 Thus, ATP Holders The Exchange believes that the its August 2019 Electronic Professional have a choice of where they direct their proposed rule change is consistent with Volume for Tier B, as modified. In other order flow. These proposed Section 6(b) of the Act,12 in general, and words, that ATP Holder would need to modifications to the Step-Up Incentive furthers the objectives of Sections attain Electronic Professional volume of program are designed to continue to 6(b)(4) and (5) of the Act,13 in particular, 83,400 contracts to qualify for Tier A encourage ATP Holders to increase the because it provides for the equitable and 102,000 contracts to qualify for Tier amount of Electronic Professional allocation of reasonable dues, fees, and B, and, in this example, would qualify volume directed to and executed on the other charges among its members, for Tier A but not for Tier B. If an ATP Exchange. The Exchange notes that all issuers and other persons using its Holder did not have August 2019 market participants stand to benefit facilities and does not unfairly volume, it would have to execute the from increased Electronic Professional discriminate between customers, outlined volumes above the 10,000 ADV volume, which promotes market depth, issuers, brokers or dealers. base level to qualify for Tiers A and B. facilitates tighter spreads, and enhances Such an ATP Holder would need to price discovery, and may lead to a The Proposed Rule Change is attain Electronic Professional volume of corresponding increase in order flow Reasonable 84,400 contracts to qualify for Tier A from other market participants. The Exchange operates in a highly and 103,000 contracts to qualify for Tier The Exchange believes that the Step- competitive market. The Commission B, and, in this example, would likewise Up Incentive, as modified, would has repeatedly expressed its preference qualify for Tier A but not for Tier B. continue to incent ATP Holders to for competition over regulatory ATP Holders that qualify for Tier A, direct volume to the Exchange even intervention in determining prices, as modified, would continue to be with the exclusion of interest that takes products, and services in the securities charged reduced rates of $0.35 and liquidity from posted Customer interest markets. In Regulation NMS, the $0.60 on Electronic Professional from the calculations of base volume Commission highlighted the importance executions on Penny and Non-Penny amounts and Qualifying Volume, and of market forces in determining prices issues, respectively, and would also even though ATP Holders would have and SRO revenues and, also, recognized receive ACE Tier 1 Customer Credits on to meet higher volume thresholds to that current regulation of the market Customer executions. qualify for Tiers A and B. Because both system ‘‘has been remarkably successful ATP Holders that qualify for Tier B, Tiers A and B, as proposed, will in promoting market competition in its as modified, would continue to be continue to offer discounted rates broader forms that are most important to eligible for even further reduced rates of coupled with ACE program Tier 1 investors and listed companies.’’ 14 $0.20 and $0.50 on Electronic credits on certain Customer executions, There are currently 16 registered Professional executions on Penny and the Exchange believes the Step-Up options exchanges competing for order Non-Penny issues, respectively, and Incentive, as modified, should continue flow. Based on publicly-available would also receive ACE Tier 1 Customer to incent the consistent and concerted information, and excluding index-based

10 See also proposed Fee Schedule, Section I.H. 13_21.pdf (setting forth incentive program that, like 12 15 U.S.C. 78f(b). 11 See, e.g., MIAX Options (‘‘MIAX’’) Fee the Step-Up Incentive, provides a discounted net 13 15 U.S.C. 78f(b)(4) and (5). rate on Professional (as defined by the MIAX Schedule, Section 1.a.iv, Professional Rebate 14 See Securities Exchange Act Release No. 51808 program) electronic volume, provided the Member Program, available at: https:// (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005) _ achieves certain Professional volume increase www.miaxoptions.com/sites/default/files/fee percentage thresholds in the month relative to the (S7–10–04) (‘‘Reg NMS Adopting Release’’). _ _ _ _ _ schedule-files/MIAX Options Fee Schedule 01 fourth quarter of 2015).

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options, no single exchange has more Exchange’s overall competitiveness and situated market participants on an equal than 16% of the market share of strengthen its market quality for all and non-discriminatory basis. executed volume of multiply-listed market participants, and continue to The proposed changes are based on equity and ETF options trades.15 attract Electronic Professional volume to the amount and type of business Therefore, currently no exchange the Exchange even though the proposed transacted on the Exchange and ATP possesses significant pricing power in changes would raise the qualification Holders are not obligated to participate the execution of multiply-listed equity thresholds for the Step-Up Incentive. In in the Step-Up Incentive program. and ETF options order flow. More the backdrop of the competitive Rather, the proposed changes are specifically, in February 2021, the environment in which the Exchange designed to continue to encourage ATP Exchange had less than 10% market operates, the proposed changes are a Holders to utilize the Exchange as a share of executed volume of multiply- reasonable attempt by the Exchange to primary trading venue (if they have not listed equity and ETF options trades.16 increase the depth of its market and done so previously) or increase The Exchange believes that the ever- improve its market share relative to its Electronic Professional volume sent to shifting market share among the competitors. The proposed changes are the Exchange. To the extent that the exchanges from month to month designed to incent ATP Holders to proposed changes attract more demonstrates that market participants direct liquidity to the Exchange in executions to the Exchange, this can shift order flow, or discontinue or Electronic Professional executions, increased order flow would continue to reduce use of certain categories of similar to another exchange program make the Exchange a more competitive products, in response to fee changes. offering incentives on professional venue for, among other things, order Accordingly, competitive forces volume,17 thereby promoting market execution. Thus, the Exchange believes constrain options exchange transaction depth, price discovery and the proposed rule changes would fees. Stated otherwise, changes to improvement and enhancing order improve market quality for all market exchange transaction fees can have a execution opportunities for market participants on the Exchange and, as a direct effect on the ability of an participants. consequence, attract more order flow to exchange to compete for order flow. the Exchange thereby improving market- The Exchange believes that the The Proposed Rule Change is an wide quality and price discovery, even proposed modifications to the Step-Up Equitable Allocation of Credits and Fees though they exclude an additional Incentive are reasonable because they The Exchange believes the proposed category of volume from the calculation are designed to continue to incent ATP rule change is an equitable allocation of of base volume and Qualifying Volume Holders to increase the amount of its fees and credits. The proposed and increase the threshold volume to Electronic Professional order flow change is based on the amount and type qualify for the Step-Up Incentive. The directed to the Exchange. The Exchange of business transacted on the Exchange, resulting increased volume and believes that, even though the proposed and ATP Holders can opt to avail liquidity would provide more trading changes to the Step-Up Incentive themselves of the Step-Up Incentive opportunities and tighter spreads to all program would exclude an additional program or not. Moreover, even though market participants and thus would category of volume from the calculation the proposed changes would exclude promote just and equitable principles of of base volume and Qualifying Volume, additional volume from the calculation trade, remove impediments to and as well as increase the threshold volume of base volume and Qualifying Volume, perfect the mechanism of a free and to qualify for Tiers A and B, ATP as well as increase the threshold volume open market and a national market Holders will still be incentivized to to qualify for the Step-Up Incentive, the system and, in general, to protect direct order flow to the Exchange in Exchange believes they are designed to investors and the public interest. exchange for better economics as encourage ATP Holders to aggregate Finally, the Exchange believes that it provided by the incentive program (i.e., their executions—particularly is subject to significant competitive enhanced discounts and credits). The Electronic Professional—at the forces, as described below in the Exchange also notes that all market Exchange as a primary execution venue. Exchange’s statement regarding the participants stand to benefit from To the extent that the proposed changes burden on competition. increased Electronic Professional attract more Electronic Professional For the foregoing reasons, the volume, as such increase promotes volume to the Exchange, this increased Exchange believes that the proposal is market depth, facilitates tighter spreads order flow would continue to make the consistent with the Act. and enhances price discovery, and may Exchange a more competitive venue for, B. Self-Regulatory Organization’s lead to a corresponding increase in among other things, order execution. Statement on Burden on Competition order flow from other market Thus, the Exchange believes the In accordance with Section 6(b)(8) of participants that do not participate in proposed rule changes would continue the Act, the Exchange does not believe (or qualify for) the Step-Up Incentive to improve market quality for all market that the proposed rule change would program. participants on the Exchange and, as a impose any burden on competition that Finally, to the extent the proposed consequence, continue to attract more is not necessary or appropriate in modifications attract greater volume and order flow to the Exchange thereby furtherance of the purposes of the Act. liquidity, the Exchange believes the improving market-wide quality and Instead, as discussed above, the proposed changes would improve the price discovery. Exchange believes that the proposed 15 The OCC publishes options and futures volume The Proposed Rule Change is not changes would encourage the in a variety of formats, including daily and monthly Unfairly Discriminatory submission of additional liquidity to a volume by exchange, available here: https:// www.theocc.com/market-data/volume/default.jsp. The Exchange believes that the public exchange, thereby promoting 16 Based on a compilation of OCC data for proposal is not unfairly discriminatory market depth, price discovery and monthly volume of equity-based options and because the proposed modifications transparency and enhancing order monthly volume of ETF-based options, see id., the execution opportunities for all market Exchange’s market share in multiply-listed equity would be available to all similarly- and ETF options increased slightly from 8.42% for participants. As a result, the Exchange the month of February 2020 to 8.86% for the month 17 See, e.g., supra note 11 (regarding MIAX believes that the proposed change of February 2021. Professional Rebate Program). furthers the Commission’s goal in

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adopting Regulation NMS of fostering interest (and, in particular, Electronic NYSEAMER–2021–20 on the subject integrated competition among orders, Professional volume) to the Exchange, to line. which promotes ‘‘more efficient pricing provide liquidity and to attract order Paper Comments of individual stocks for all types of flow. To the extent that this purpose is • orders, large and small.’’ 18 achieved, all the Exchange’s market Send paper comments in triplicate Intramarket Competition. The participants should benefit from the to Secretary, Securities and Exchange proposed changes are designed to attract improved market quality and increased Commission, 100 F Street NE, additional order flow (particularly opportunities for price improvement. Washington, DC 20549–1090. The Exchange believes that the Electronic Professional volume) to the All submissions should refer to File proposed change could promote Exchange. The Exchange believes that Number SR–NYSEAMER–2021–20. This the proposed modifications to the Step- competition between the Exchange and file number should be included on the Up Incentive would continue to incent other execution venues, including those subject line if email is used. To help the market participants to direct additional that currently offer similar pricing Commission process and review your volume to the Exchange. Greater incentives, by encouraging additional liquidity benefits all market participants orders to be sent to the Exchange for comments more efficiently, please use on the Exchange and increased execution. only one method. The Commission will post all comments on the Commission’s Electronic Professional volume would C. Self-Regulatory Organization’s increase opportunities for execution of internet website (http://www.sec.gov/ Statement on Comments on the rules/sro.shtml). Copies of the other trading interest. The proposed Proposed Rule Change Received From submission, all subsequent modifications to the calculation of base Members, Participants, or Others volume amounts and Qualifying amendments, all written statements Volume and to the qualification bases No written comments were solicited with respect to the proposed rule for Tiers A and B of the Step-Up or received with respect to the proposed change that are filed with the Incentive would apply to all ATP rule change. Commission, and all written Holders that execute Electronic III. Date of Effectiveness of the communications relating to the Professional volume, and, as such, the Proposed Rule Change and Timing for proposed rule change between the proposed change would not impose a Commission Action Commission and any person, other than disparate burden on competition among The foregoing rule change is effective those that may be withheld from the market participants on the Exchange. upon filing pursuant to Section public in accordance with the Intermarket Competition. The 19(b)(3)(A) 21 of the Act and provisions of 5 U.S.C. 552, will be Exchange operates in a highly subparagraph (f)(2) of Rule 19b–4 22 available for website viewing and competitive market in which market thereunder, because it establishes a due, printing in the Commission’s Public participants can readily favor one of the fee, or other charge imposed by the Reference Room, 100 F Street NE, 16 competing option exchanges if they Exchange. Washington, DC 20549 on official deem fee levels at a particular venue to At any time within 60 days of the business days between the hours of be excessive. In such an environment, filing of such proposed rule change, the 10:00 a.m. and 3:00 p.m. Copies of the the Exchange must continually adjust its Commission summarily may filing also will be available for fees to remain competitive with other temporarily suspend such rule change if inspection and copying at the principal exchanges and to attract order flow to it appears to the Commission that such the Exchange. Based on publicly- office of the Exchange. All comments action is necessary or appropriate in the received will be posted without change. available information, and excluding public interest, for the protection of Persons submitting comments are index-based options, no single exchange investors, or otherwise in furtherance of cautioned that we do not redact or edit has more than 16% of the market share the purposes of the Act. If the of executed volume of multiply-listed Commission takes such action, the personal identifying information from equity and ETF options trades.19 Commission shall institute proceedings comment submissions. You should Therefore, currently no exchange under Section 19(b)(2)(B) 23 of the Act submit only information that you wish possesses significant pricing power in to determine whether the proposed rule to make available publicly. All the execution of multiply-listed equity change should be approved or submissions should refer to File and ETF options order flow. More disapproved. Number SR–NYSEAMER–2021–20, and specifically, in February 2021, the should be submitted on or before May Exchange had less than 10% market IV. Solicitation of Comments 5, 2021. Interested persons are invited to share of executed volume of multiply- For the Commission, by the Division of 20 submit written data, views, and listed equity and ETF options trades. Trading and Markets, pursuant to delegated arguments concerning the foregoing, The Exchange believes that the authority.24 proposed rule change reflects this including whether the proposed rule competitive environment because it change is consistent with the Act. J. Matthew DeLesDernier, modifies the Exchange’s fees in a Comments may be submitted by any of Assistant Secretary. manner designed to continue to the following methods: [FR Doc. 2021–07596 Filed 4–13–21; 8:45 am] encourage ATP Holders to direct trading Electronic Comments BILLING CODE 8011–01–P • 18 See Reg NMS Adopting Release, supra note 14, Use the Commission’s internet at 37499. comment form (http://www.sec.gov/ 19 See supra note 15. rules/sro.shtml); or 20 Based on a compilation of OCC data for • Send an email to rule-comments@ monthly volume of equity-based options and sec.gov. Please include File Number SR– monthly volume of ETF-based options, see id., the Exchange’s market share in multiply-listed equity and ETF options increased slightly from 8.42% for 21 15 U.S.C. 78s(b)(3)(A). the month of February 2020 to 8.86% for the month 22 17 CFR 240.19b–4(f)(2). of February 2021. 23 15 U.S.C. 78s(b)(2)(B). 24 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE permitting the listing and trading, or and for which a ‘‘Disclosed Portfolio’’ is COMMISSION trading pursuant to unlisted trading required to be disseminated at least privileges (‘‘UTP’’), of Active Proxy once daily,5 the portfolio for an issue of [Release No. 34–91514; File No. SR– NYSEArca–2021–23] Portfolio Shares, which are securities Active Proxy Portfolio Shares will be issued by an actively managed open-end publicly disclosed within at least 60 Self-Regulatory Organizations; NYSE investment management company.3 days following the end of every fiscal Arca, Inc.; Notice of Filing and Commentary .01 to Rule 8.601–E quarter in accordance with normal Immediate Effectiveness of Proposed requires the Exchange to file separate disclosure requirements otherwise Rule Change List and Trade Shares of proposals under Section 19(b) of the Act applicable to open-end management the: Fidelity Women’s Leadership ETF before listing and trading any series of investment companies registered under and Fidelity Sustainability U.S. Equity Active Proxy Portfolio Shares on the the Investment Company Act of 1940 ETF Exchange. Therefore, the Exchange is (the ‘‘1940 Act’’).6 The composition of submitting this proposal in order to list the portfolio of an issue of Active Proxy Pursuant to Section 19(b)(1) of the and trade shares (‘‘Shares’’) of Active Portfolio Shares would not be available Securities Exchange Act of 1934 Proxy Portfolio Shares of the Fidelity at commencement of Exchange listing 1 2 (‘‘Act’’), and Rule 19b–4 thereunder, Women’s Leadership ETF and Fidelity and trading. Second, in connection with notice is hereby given that on April 6, Sustainability U.S. Equity ETF (each a the creation and redemption of Active 2021, NYSE Arca, Inc. (‘‘NYSE Arca’’ or ‘‘Fund’’ and, collectively, the ‘‘Funds’’) Proxy Portfolio Shares, such creation or the ‘‘Exchange’’) filed with the under Rule 8.601–E. redemption may be exchanged for a Securities and Exchange Commission Proxy Portfolio and/or cash with a value (the ‘‘Commission’’) the proposed rule Key Features of Active Proxy Portfolio equal to the next-determined NAV. A change as described in Items I and II Shares series of Active Proxy Portfolio Shares below, which Items have been prepared While funds issuing Active Proxy will disclose the Proxy Portfolio on a by the self-regulatory organization. The Portfolio Shares will be actively- daily basis, which, as described above, Commission is publishing this notice to managed and, to that extent, will be is designed to track closely the daily solicit comments on the proposed rule similar to Managed Fund Shares, Active performance of the Actual Portfolio of a change from interested persons. Proxy Portfolio Shares differ from series of Active Proxy Portfolio Shares, I. Self-Regulatory Organization’s Managed Fund Shares in the following Statement of the Terms of Substance of important respects. First, in contrast to actively-managed funds of the WisdomTree Trust); the Proposed Rule Change Managed Fund Shares, which are 60460 (August 7, 2009), 74 FR 41468 (August 17, actively-managed funds listed and 2009) (SR–NYSEArca–2009–55) (order approving The Exchange proposes to list and listing of Dent Tactical ETF); 63076 (October 12, traded under NYSE Arca Rule 8.600–E 4 trade shares of the following under 2010), 75 FR 63874 (October 18, 2010) (SR– NYSE Arca Rule 8.601–E: Fidelity NYSEArca–2010–79) (order approving Exchange 3 See Securities Exchange Act Release No. 89185 listing and trading of Cambria Global Tactical ETF); Women’s Leadership ETF and Fidelity (June 29, 2020), 85 FR 40328 (July 6, 2020) (SR– 63802 (January 31, 2011), 76 FR 6503 (February 4, Sustainability U.S. Equity ETF. The NYSEArca–2019–95). Rule 8.601–E(c)(1) provides 2011) (SR–NYSEArca–2010–118) (order approving proposed rule change is available on the that ‘‘[t]he term ‘‘Active Proxy Portfolio Share’’ Exchange listing and trading of the SiM Dynamic Exchange’s website at www.nyse.com, at means a security that (a) is issued by a investment Allocation Diversified Income ETF and SiM company registered under the Investment Company Dynamic Allocation Growth Income ETF). The the principal office of the Exchange, and Act of 1940 (‘‘Investment Company’’) organized as Commission also has approved a proposed rule at the Commission’s Public Reference an open-end management investment company that change relating to generic listing standards for Room. invests in a portfolio of securities selected by the Managed Fund Shares. Securities Exchange Act Investment Company’s investment adviser Release No. 78397 (July 22, 2016), 81 FR 49320 II. Self-Regulatory Organization’s consistent with the Investment Company’s (July 27, 2016) (SR–NYSEArca–2015–110) Statement of the Purpose of, and investment objectives and policies; (b) is issued in (amending NYSE Arca Equities Rule 8.600 to adopt a specified minimum number of shares, or generic listing standards for Managed Fund Shares). Statutory Basis for, the Proposed Rule multiples thereof, in return for a deposit by the 5 NYSE Arca Rule 8.600–E(c)(2) defines the term Change purchaser of the Proxy Portfolio and/or cash with ‘‘Disclosed Portfolio’’ as the identities and In its filing with the Commission, the a value equal to the next determined net asset value quantities of the securities and other assets held by (‘‘NAV’’); (c) when aggregated in the same specified the Investment Company that will form the basis for self-regulatory organization included minimum number of Active Proxy Portfolio Shares, the Investment Company’s calculation of net asset statements concerning the purpose of, or multiples thereof, may be redeemed at a holder’s value at the end of the business day. NYSE Arca and basis for, the proposed rule change request in return for the Proxy Portfolio and/or cash Rule 8.600–E(d)(2)(B)(i) requires that the Disclosed and discussed any comments it received to the holder by the issuer with a value equal to Portfolio will be disseminated at least once daily the next determined NAV; and (d) the portfolio and will be made available to all market on the proposed rule change. The text holdings for which are disclosed within at least 60 participants at the same time. of those statements may be examined at days following the end of every fiscal quarter.’’ Rule 6 A mutual fund is required to file with the the places specified in Item IV below. 8.601–E(c)(2) provides that ‘‘[t]he term ‘‘Actual Commission its complete portfolio schedules for the The Exchange has prepared summaries, Portfolio’’ means the identities and quantities of the second and fourth fiscal quarters on Form N–CSR securities and other assets held by the Investment under the 1940 Act. Information reported on Form set forth in sections A, B, and C below, Company that shall form the basis for the N–PORT for the third month of a fund’s fiscal of the most significant parts of such Investment Company’s calculation of NAV at the quarter will be made publicly available 60 days statements. end of the business day.’’ Rule 8.601–E(c)(3) after the end of a fund’s fiscal quarter. Form provides that ‘‘[t]he term ‘‘Proxy Portfolio’’ means N–PORT requires reporting of a fund’s complete A. Self-Regulatory Organization’s a specified portfolio of securities, other financial portfolio holdings on a position-by-position basis Statement of the Purpose of, and the instruments and/or cash designed to track closely on a quarterly basis within 60 days after fiscal Statutory Basis for, the Proposed Rule the daily performance of the Actual Portfolio of a quarter end. Investors can obtain a series of Active series of Active Proxy Portfolio Shares as provided Proxy Portfolio Shares’ Statement of Additional Change in the exemptive relief pursuant to the Investment Information (‘‘SAI’’), its Shareholder Reports, its Company Act of 1940 applicable to such series.’’ Form N–CSR, filed twice a year, and its Form 1. Purpose 4 The Commission has previously approved N–CEN, filed annually. A series of Active Proxy The Exchange has adopted NYSE listing and trading on the Exchange of a number of Portfolio Shares’ SAI and Shareholder Reports will Arca Rule 8.601–E for the purpose of issues of Managed Fund Shares under NYSE Arca be available free upon request from the Investment Rule 8.600–E. See, e.g., Securities Exchange Act Company, and those documents and the Form Release Nos. 57801 (May 8, 2008), 73 FR 27878 N–PORT, Form N–CSR, and Form N–CEN may be 1 15 U.S.C. 78s(b)(1). (May 14, 2008) (SR–NYSEArca–2008–31) (order viewed on-screen or downloaded from the 2 17 CFR 240.19b–4. approving Exchange listing and trading of twelve Commission’s website at www.sec.gov.

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instead of the actual holdings of the Research Company LLC (the ‘‘Adviser’’) also similar to Commentary .06 to Rule Investment Company, as provided by a will be the investment adviser to the 8.600–E related to Managed Fund series of Managed Fund Shares. Funds. FMR Investment Management Shares, except that Commentary .04 The Commission has previously (UK) Limited, Fidelity Management & relates to establishment and approved listing and trading on the Research (Hong Kong) Limited, and maintenance of a ‘‘fire wall’’ between Exchange of series of Active Proxy Fidelity Management & Research (Japan) the investment adviser and personnel of Portfolio Shares under NYSE Arca Rule Limited will be the sub-advisers (each a the broker-dealer or broker-dealer 8.601–E.7 ‘‘Sub-Adviser’’ and, collectively, the affiliate, as applicable, applicable to an The Shares of the Fund will be issued ‘‘Sub-Advisers’’) for the Funds. State Investment Company’s Actual Portfolio by the Fidelity Covington Trust (the Street Bank and Trust Company will and/or Proxy Portfolio or changes ‘‘Trust’’), which is organized as a serve as the Funds’ custodian and thereto, and not just to the underlying business trust under the laws of the transfer agent. Fidelity Distributors portfolio, as is the case with Managed Commonwealth of Massachusetts and Company LLC will act as the distributor Fund Shares. registered with the Commission as an (the ‘‘Distributor’’) for the Funds. In addition, Commentary .05 to Rule open-end management investment Commentary .04 to NYSE Arca Rule 8.601–E provides that any person or company.8 Fidelity Management & 8.601–E provides that, if the investment entity, including a custodian, Reporting adviser to the Investment Company Authority, distributor, or administrator, 7 See Securities Exchange Act Release Nos. 89185 issuing Active Proxy Portfolio Shares is who has access to non-public (June 29, 2020), 85 FR 40328 (July 6, 2020) (SR– registered as a broker-dealer or is information regarding the Investment NYSEArca–2019–95) (Notice of Filing of Amendment No. 6 and Order Granting Accelerated affiliated with a broker-dealer, such Company’s Actual Portfolio or the Proxy Approval of a Proposed Rule Change, as Modified investment adviser will erect and Portfolio or changes thereto, must be by Amendment No. 6, to Adopt NYSE Arca Rule maintain a ‘‘fire wall’’ between the subject to procedures reasonably 8.601–E to Permit the Listing and Trading of Active investment adviser and personnel of the designed to prevent the use and Proxy Portfolio Shares and To List and Trade Shares of the Natixis U.S. Equity Opportunities ETF broker-dealer or broker-dealer affiliate, dissemination of material non-public Under Proposed NYSE Arca Rule 8.601–E) (‘‘Natixis as applicable, with respect to access to information regarding the applicable Order’’); 89192 (June 30, 2020), 85 FR 40699 (July information concerning the composition Investment Company Actual Portfolio or 7, 2020) (SR–NYSEArca–2019–96) (Notice of Filing and/or changes to such Investment the Proxy Portfolio or changes thereto. of Amendment No. 5 and Order Granting Moreover, if any such person or entity Accelerated Approval of a Proposed Rule Change, Company’s Actual Portfolio and/or as Modified by Amendment No. 5, to List and Trade Proxy Portfolio. Any person related to is registered as a broker-dealer or Two Series of Active Proxy Portfolio Shares Issued the investment adviser or Investment affiliated with a broker-dealer, such by the American Century ETF Trust under NYSE Company who makes decisions person or entity will erect and maintain Arca Rule 8.601–E) (‘‘American Century Order’’); a ‘‘fire wall’’ between the person or 89191 (June 30, 2020), 85 FR 40358 (July 6, 2020) pertaining to the Investment Company’s (SR–NYSEArca–2019–92) (Notice of Filing of Actual Portfolio and/or Proxy Portfolio entity and the broker-dealer with Amendment No. 3 and Order Granting Accelerated or has access to non-public information respect to access to information Approval of a Proposed Rule Change, as Modified regarding the Investment Company’s concerning the composition and/or by Amendment No. 3, to List and Trade Four Series changes to such Investment Company of Active Proxy Portfolio Shares Issued by T. Rowe Actual Portfolio and/or Proxy Portfolio Price Exchange-Traded Funds, Inc. under NYSE or changes thereto must be subject to Actual Portfolio or Proxy Portfolio. Arca Rule 8.601–E) (‘‘T. Rowe Price Approval procedures reasonably designed to The Adviser and Sub-Advisers are not Order’’); 89438 (July 31, 2020), 85 FR 47821 (August prevent the use and dissemination of registered as broker-dealers but are 6, 2020) (SR–NYSEArca–2020–51) (Order Granting material non-public information affiliated with broker-dealers. The Approval of a Proposed Rule Change, as Modified Adviser and Sub-Advisers have by Amendment No. 2, to List and Trade Shares of regarding the Actual Portfolio and/or Natixis Vaughan Nelson Select ETF and Natixis Proxy Portfolio or changes thereto. implemented and will maintain a ‘‘fire Vaughan Nelson MidCap ETF under NYSE Arca Commentary .04 is similar to wall’’ with respect to such broker-dealer Rule 8.601–E). See also Securities Exchange Act Commentary .03(a)(i) and (iii) to NYSE affiliates regarding access to information Release Nos. 88887 (May 15, 2020), 85 FR 30990 concerning the composition of and/or (May 21, 2020) (SR–CboeBZX–2019–107) (Notice of Arca Rule 5.2–E(j)(3); however, Filing of Amendment No. 5 and Order Granting Commentary .04, in connection with the changes to each Fund’s Actual Portfolio Accelerated Approval of a Proposed Rule Change, establishment of a ‘‘fire wall’’ between and/or Proxy Portfolio. as Modified by Amendment No. 5, to Adopt Rule In the event (a) the Adviser and/or a the investment adviser and the broker- 14.11(m), Tracking Fund Shares, and to List and Sub-Adviser becomes registered as a Trade Shares of the Fidelity Blue Chip Value ETF, dealer, reflects the applicable open-end Fidelity Blue Chip Growth ETF, and Fidelity New fund’s portfolio, not an underlying Millennium ETF); 90530 (November 30, 2020), 85 codes of ethics. This Rule requires investment benchmark index, as is the case with advisers to adopt a code of ethics that reflects the FR 78366 (December 4, 2020) (SR–CboeBZX–2020– 9 085) (Notice of Filing and Immediate Effectiveness index-based funds. Commentary .04 is fiduciary nature of the relationship to clients as of a Proposed Rule Change Relating to List and well as compliance with other applicable securities Trade Shares of the Fidelity Growth Opportunities sought in the Application (Investment Company laws. Accordingly, procedures designed to prevent ETF, Fidelity Magellan ETF, Fidelity Real Estate Act Release No. 33712, December 10, 2019). The the communication and misuse of non-public information by an investment adviser must be Investment ETF, and Fidelity Small-Mid Cap Funds are subject to the relief set forth in the consistent with Rule 204A–1 under the Advisers Opportunities ETF Under Rule 14.11(m) (Tracking Exemptive Order because Fidelity Management & Act. In addition, Rule 206(4)–7 under the Advisers Fund Shares)). Research Company will serve as the investment Act makes it unlawful for an investment adviser to 8 adviser to the Funds, and investments made by the The Trust is registered under the 1940 Act. On provide investment advice to clients unless such March 26, 2021, the Trust filed a registration Funds will comply with the conditions set forth in investment adviser has (i) adopted and statement on Form N–1A under the 1940 Act the Application and the Exemptive Order. The implemented written policies and procedures relating to the Funds (File No. 811–07319) (the description of the operation of the Funds herein is reasonably designed to prevent violations, by the ‘‘Registration Statement’’). Fidelity Beach Street based, in part, on the Registration Statement and investment adviser and its supervised persons, of Trust, Fidelity Management & Research Company, the Application. The Exchange will not commence the Advisers Act and the Commission rules adopted FMR Co., Inc., and Fidelity Distributors Corporation trading in Shares of the Funds until the Registration thereunder; (ii) implemented, at a minimum, an filed a ninth amended application for an order Statement is effective. annual review regarding the adequacy of the under Section 6(c) of the 1940 Act for exemptions 9 An investment adviser to an open-end fund is policies and procedures established pursuant to from various provisions of the 1940 Act and rules required to be registered under the Investment subparagraph (i) above and the effectiveness of their thereunder (File No. 812–14364), dated November Advisers Act of 1940 (the ‘‘Advisers Act’’). As a implementation; and (iii) designated an individual 8, 2019 (the ‘‘Application’’). On December 10, 2019, result, the Adviser and Sub-Advisers and their (who is a supervised person) responsible for the Commission issued an order (the ‘‘Exemptive related personnel will be subject to the provisions administering the policies and procedures adopted Order’’) under the 1940 Act granting the relief of Rule 204A–1 under the Advisers Act relating to under subparagraph (i) above.

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broker-dealer or becomes newly represented by Strategy Components Any foreign common stocks held by the affiliated with a broker-dealer, or (b) any (‘‘Representative ETFs’’); and (3) cash Fund will be traded on an exchange that new adviser or sub-adviser is a and cash equivalents. Representative is a member of the Intermarket registered broker-dealer, or becomes ETFs will be selected for inclusion in Surveillance Group (‘‘ISG’’) or with affiliated with a broker-dealer, it will the Tracking Basket such that, when which the Exchange has in place a implement and maintain a ‘‘fire wall’’ aggregated with the other Tracking comprehensive surveillance sharing with respect to its relevant personnel or Basket components, the Tracking Basket agreement. its broker-dealer affiliate regarding corresponds to a Fund’s overall According to the Registration access to information concerning the holdings exposure. Each Fund will Statement, the Fund’s investment composition and/or changes to each publish on its website a Tracking Basket objective is to seek long-term growth of Fund’s Actual Portfolio and/or Proxy for the Fund before the commencement capital. The Fund will normally invest Portfolio, and will be subject to of trading of the Fund’s Shares on each at least 80% of its assets in equity procedures designed to prevent the use ‘‘Business Day,’’ 11 and the Adviser will securities of companies that the Adviser and dissemination of material non- not make intra-day changes to the believes prioritizes and advances public information regarding each Tracking Basket except to correct errors women’s leadership and development. Fund’s Actual Portfolio and/or Proxy in the published Tracking Basket. The Fund will generally invest in larger- Portfolio or changes thereto. Any person In addition, on each Business Day, sized companies but may also make related to the Adviser, Sub-Adviser(s), before commencement of trading of substantial investments in securities or the Funds who makes decisions Shares, each Fund will publish on its issued by medium and smaller pertaining to a Fund’s Actual Portfolio website the ‘‘Tracking Basket Weight companies. The Fund may invest up to or the Proxy Portfolio or has access to Overlap,’’ which is the percentage 25% of its assets in a single company. non-public information regarding a weight overlap between the holdings of Fund’s Actual Portfolio and/or the the prior Business Day’s Tracking Fidelity Sustainability U.S. Equity ETF Proxy Portfolio or changes thereto are Basket compared to the holdings of the The Fund’s holdings will conform to subject to procedures reasonably Fund that formed the basis for each the permissible investments as set forth designed to prevent the use and Fund’s calculation of NAV at the end of in the Application and Exemptive dissemination of material non-public the prior Business Day. The Tracking Order, and the holdings will be information regarding a Fund’s Actual Basket Weight Overlap is calculated by consistent with all requirements in the Portfolio and/or the Proxy Portfolio or taking the lesser weight of each asset Application and Exemptive Order.13 changes thereto. held in common between a Fund’s Any foreign common stocks held by the In addition, any person or entity, Actual Portfolio and the Tracking Basket Fund will be traded on an exchange that including any service provider for the and adding the totals. The Tracking is a member of the ISG or with which Funds, who has access to non-public Basket Weight Overlap is designed to the Exchange has in place a information regarding a Fund’s Actual provide investors with an comprehensive surveillance sharing Portfolio or the Proxy Portfolio or understanding of how similar the agreement. changes thereto, will be subject to Tracking Basket is to a Fund’s Actual According to the Registration procedures reasonably designed to Portfolio in percentage terms. prevent the use and dissemination of Statement, the Fund’s investment material non-public information Fidelity Women’s Leadership ETF objective is to seek long-term growth of regarding a Fund’s Actual Portfolio and/ The Fund’s holdings will conform to capital. The Fund will primarily invest or the Proxy Portfolio or changes the permissible investments as set forth in equity securities and will normally thereto. Moreover, if any such person or in the Application and Exemptive invest at least 80% of its assets in equity entity is registered as a broker-dealer or Order, and the holdings will be securities of U.S. companies that the affiliated with a broker-dealer, such consistent with all requirements in the Adviser believes have proven or person or entity has erected and will Application and Exemptive Order.12 improving sustainability practices, maintain a ‘‘fire wall’’ between the based on an evaluation of such person or entity and the broker-dealer 11 ‘‘Business Day’’ is defined to mean any day that companies’ ESG profile. The Fund may with respect to access to information the Exchange is open, including any day when the also invest in companies that the Funds satisfy redemption requests as required by concerning the composition and/or Adviser believes deliver environmental Section 22(e) of the 1940 Act. or social impact through core business changes to a Fund’s Actual Portfolio 12 Pursuant to the Application and Exemptive operations. The Fund may hold and/or Proxy Portfolio. Order, the permissible investments for the Funds include only the following instruments: ETFs, securities of large, medium, and/or Description of the Funds exchange-traded notes, exchange-traded common small capitalization companies. The stocks, common stocks listed on a foreign exchange Fund may invest up to 25% of its assets According to the Registration that trade on such exchange contemporaneously Statement, the Adviser will identify a with the Shares (‘‘foreign common stocks’’), in a single company. ‘‘Tracking Basket’’ 10 for each Fund. The exchange-traded preferred stocks, exchange-traded Investment Restrictions Tracking Basket for each Fund is American Depositary Receipts (‘‘ADRs’’), exchange- traded real estate investment trusts, exchange- The Shares of the Funds will conform designed to closely track the daily traded commodity pools, exchange-traded metals performance of the Fund but is not the trusts, exchange-traded currency trusts, and to the initial and continued listing Fund’s Actual Portfolio. The Tracking exchange-traded futures that trade criteria under Rule 8.601–E. The Funds’ Basket is comprised of (1) select contemporaneously with the Shares, as well as cash holdings will be limited to and and cash equivalents. With the exception of foreign consistent with permissible holdings as recently disclosed portfolio holdings common stocks and cash and cash equivalents, all (‘‘Strategy Components’’); (2) liquid holdings of the Funds will be listed on a U.S. described in the Application and ETFs that convey information about the national securities exchange. For purposes of this Exemptive Order and all requirements types of instruments in which the fund filing, cash equivalents are short-term U.S. Treasury in the Application and Exemptive securities, government money market funds, and Order.14 invests that are not otherwise fully repurchase agreements. The Funds will not short positions, will not borrow for investment purposes, 10 The ‘‘Tracking Basket’’ is the Proxy Portfolio and will not purchase any securities that are 13 Id. for purposes of Rule 8.601–E(c)(3). illiquid investments at the time of purchase. 14 Id.

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The Funds’ investments, including thereof. The Funds may determine, NAV and the ‘‘Closing Price’’ or ‘‘Bid/ derivatives, will be consistent with their upon receiving a purchase or Ask Price,’’ 17 and a calculation of the investment objectives and will not be redemption order from an Authorized premium/discount of the Closing Price used to enhance leverage (although Participant, to have the purchase or or Bid/Ask Price against such NAV.18 certain derivatives and other redemption, as applicable, be made The Adviser has represented that the investments may result in leverage). entirely or in part in cash.16 Funds’ website will also provide: (1) That is, the Funds’ investments will not If there is a difference between the Any other information regarding be used to seek performance that is the NAV attributable to a Creation Unit and premiums/discounts as may be required multiple or inverse multiple (e.g., 2X or the aggregate market value of the for other ETFs under Rule 6c–11 under –3X) of the Funds’ primary broad-based Creation Basket exchanged for the the 1940 Act, as amended, and (2) any securities benchmark index (as defined Creation Unit, the party conveying information regarding the bid/ask in Form N–1A).15 instruments with the lower value will spread for each Fund as may be required also pay to the other an amount in cash for other ETFs under Rule 6c–11 under Creations and Redemptions of Shares equal to that difference (the ‘‘Cash the 1940 Act, as amended. The Funds’ According to the Registration Amount’’). website also will disclose the Statement, the Trust will issue and sell Each Fund will make available on information required under Rule 8.601– Shares of the Funds only in specified each Business Day, immediately prior to E(c)(3).19 The website and information minimum size ‘‘Creation Units’’ on a the opening of business on the Exchange will be publicly available at no charge. continuous basis through the Distributor (9:30 a.m. E.T.), the names and The identity and quantity of at their NAV next determined after quantities of the instruments comprising investments in the Tracking Basket will receipt of an order, on any Business the Creation Basket, as well as the be publicly available on the Funds’ Day, in proper form. The NAV of each estimated Cash Amount (if any), for that website before the commencement of Fund’s Shares will be calculated each day. The published Creation Basket will trading in Shares on each Business Day. Business Day as of the close of regular apply until a new Creation Basket is The website will also include trading on the Exchange, ordinarily 4:00 announced on the following Business information relating to the Tracking p.m. Eastern Time (‘‘E.T.’’). A Creation Day, and there will be no intra-day Basket Weight Overlap, as discussed Unit will generally consist of at least changes to the Creation Basket except to above. 25,000 Shares. correct errors in the published Creation Typical mutual fund-style annual, According to the Registration Basket. The Tracking Basket will be semi-annual and quarterly disclosures Statement, Shares of the Funds will be published each Business Day regardless contained in the Funds’ Commission purchased and redeemed in Creation of whether a Fund decides to issue or filings will be provided on the Funds’ 20 Units and generally on an in-kind basis redeem Creation Units entirely or in website on a current basis. Thus, each in exchange for the Strategy part on a cash basis. Fund will publish the portfolio contents Components included in a Fund’s All orders to purchase Creation Units of its Actual Portfolio on a periodic Tracking Basket, together with an must be placed with the Distributor by basis, and no less than 60 days after the amount of cash corresponding to the or through an Authorized Participant. end of every fiscal quarter. Investors can also obtain the Funds’ value of the Representative ETFs and Conforming orders to purchase or SAI, Shareholder Reports, Form N–CSR, cash and cash equivalents that form the redeem Creation Units will generally be N–PORT, and Form N–CEN. The remainder of the Tracking Basket. accepted until the closing time of prospectus, SAI, and Shareholder Accordingly, except where the purchase regular trading hours on the Exchange Reports are available free upon request, or redemption will include cash, (ordinarily 4:00 p.m. E.T.) (the ‘‘Closing and those documents and the Form N– purchasers will be required to purchase Time’’). The date on which an order to CSR, N–PORT, and Form N–CEN may Creation Units by making an in-kind purchase or redeem Creation Units is be viewed on-screen or downloaded deposit of specified instruments received and accepted is referred to as from the Commission’s website. The (‘‘Deposit Instruments’’), and the ‘‘Transmittal Date.’’ All conforming Creation Unit orders must be received shareholders redeeming their Shares 17 The records relating to Bid/Ask Prices will be will receive an in-kind transfer of by the Distributor no later than the Closing Time in order to receive the retained by the Funds or their service providers. specified instruments (‘‘Redemption The ‘‘Bid/Ask Price’’ is the midpoint of the highest Instruments’’). The composition of the NAV determined on the Transmittal bid and lowest offer based upon the National Best Date. When the Exchange closes earlier Bid and Offer as of the time of calculation of each instruments that constitute the Deposit Fund’s NAV. The ‘‘National Best Bid and Offer’’ is Instruments and the Redemption than normal, a Fund may require orders for Creation Units to be placed earlier in the current national best bid and national best offer Instruments for each Fund (collectively, as disseminated by the Consolidated Quotation the ‘‘Creation Basket’’) will be the same the Business Day. System or UTP Plan Securities Information Processor. The ‘‘Closing Price’’ of Shares is the as a Fund’s Tracking Basket, except to Availability of Information official closing price of the Shares on the Exchange. the extent purchases and redemptions The Funds’ website 18 The ‘‘premium/discount’’ refers to the are made entirely or in part on a cash (www.fidelity.com), which will be premium or discount to the NAV at the end of a basis. publicly available prior to the public trading day and will be calculated based on the last Creation Units of the Funds may be Bid/Ask Price or the Closing Price on a given offering of Shares, will include a form trading day. purchased and/or redeemed entirely for of the prospectus for the Funds that may 19 See note 5, supra. Rule 8.601–E (c)(3) provides cash. When full or partial cash be downloaded. The Funds’ website that the website for each series of Active Proxy purchases of Creation Units are will include on a daily basis, per Share Portfolio Shares shall disclose the information available or specified for the Funds, regarding the Proxy Portfolio as provided in the for each Fund, the prior Business Day’s exemptive relief pursuant to the 1940 Act they will be effected in essentially the applicable to such series, including the following, same manner as in-kind purchases 16 The Adviser represents that, to the extent the to the extent applicable: (i) Ticker symbol; (ii) Trust effects the creation or redemption of Shares CUSIP or other identifier; (iii) Description of 15 The Funds’ broad-based securities benchmark in cash on any given day, such transactions will be holding; (iv) Quantity of each security or other asset index will be identified in a future amendment to effected in the same manner for all Authorized held; and (v) Percentage weighting of the holding its Registration Statement following the Funds’ first Participants placing trades with the Funds on that in the portfolio. full calendar year of performance. day. 20 See note 6, supra.

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Exchange also notes that pursuant to the or (b) whether other unusual conditions Exchange, which are designed to detect Application, the Funds must comply or circumstances detrimental to the violations of Exchange rules and with Regulation Fair Disclosure, which maintenance of a fair and orderly applicable federal securities laws.22 The prohibits selective disclosure of any market are present. If the Exchange Exchange represents that these material non-public information. becomes aware that the NAV, Proxy procedures are adequate to properly Information regarding the market Portfolio, or Actual Portfolio with monitor Exchange trading of the Shares price of Shares and trading volume in respect to a series of Active Proxy in all trading sessions and to deter and Shares, will be continually available on Portfolio Shares is not disseminated to detect violations of Exchange rules and a real-time basis throughout the day on all market participants at the same time, federal securities laws applicable to brokers’ computer screens and other the Exchange shall halt trading in such trading on the Exchange. electronic services. The previous day’s series until such time as the NAV, Proxy The surveillances referred to above closing price and trading volume Portfolio, or Actual Portfolio is available generally focus on detecting securities information for the Shares will be to all market participants at the same trading outside their normal patterns, published daily in the financial section time. which could be indicative of of newspapers. manipulative or other violative activity. Quotation and last sale information Trading Rules When such situations are detected, for the Shares and U.S. exchange-traded The Exchange deems the Shares to be surveillance analysis follows and instruments (excluding futures equity securities, thus rendering trading investigations are opened, where contracts) will be available via the in the Shares subject to the Exchange’s appropriate, to review the behavior of Consolidated Tape Association (‘‘CTA’’) existing rules governing the trading of all relevant parties for all relevant high-speed line, from the exchanges on equity securities. Shares will trade on trading violations. which such securities trade, or through the NYSE Arca Marketplace in all The Exchange or FINRA, on behalf of major market data vendors or trading sessions in accordance with the Exchange, or both, will subscription services. Intraday price NYSE Arca Rule 7.34–E(a). As provided communicate as needed regarding information for all exchange-traded in NYSE Arca Rule 7.6–E, the minimum trading in the Shares and underlying instruments, which include all eligible price variation (‘‘MPV’’) for quoting and exchange-traded instruments with other instruments except cash and cash entry of orders in equity securities markets and other entities that are equivalents, will be available from the traded on the NYSE Arca Marketplace is members of the ISG, and the Exchange exchanges on which they trade, or $0.01, with the exception of securities or FINRA, on behalf of the Exchange, or through major market data vendors or that are priced less than $1.00 for which both, may obtain trading information subscription services. Intraday price the MPV for order entry is $0.0001. regarding trading such securities and information for cash equivalents is A minimum of 100,000 Shares for underlying exchange-traded instruments available through major market data each Fund will be outstanding at the from such markets and other entities. In vendors, subscription services and/or commencement of trading on the addition, the Exchange may obtain pricing services. Exchange. The Shares will conform to information regarding trading in such the initial and continued listing criteria Trading Halts securities and underlying exchange- under NYSE Arca Rule 8.601–E. The traded instruments from markets and With respect to trading halts, the Exchange has appropriate rules to other entities that are members of ISG or Exchange may consider all relevant facilitate trading in the Shares during all with which the Exchange has in place factors in exercising its discretion to trading sessions. a comprehensive surveillance sharing halt or suspend trading in the Shares of Pursuant to Rule 8.601–E(d)(1)(B), the agreement.23 a Fund.21 Trading in Shares of a Fund Exchange, prior to commencement of The Adviser will make available daily will be halted if the circuit breaker trading in the Shares, will obtain a to FINRA and the Exchange the Actual parameters in NYSE Arca Rule 7.12–E representation from the Trust that the Portfolio of each Fund, upon request, in have been reached. Trading also may be NAV per Share of each Fund will be order to facilitate the performance of the halted because of market conditions or calculated daily and that the NAV, surveillances referred to above. for reasons that, in the view of the Proxy Portfolio, and the Actual Portfolio In addition, the Exchange also has a Exchange, make trading in the Shares for each Fund will be made available to general policy prohibiting the inadvisable. Trading in the Shares will all market participants at the same time. distribution of material, non-public be subject to NYSE Arca Rule 8.601– With respect to Active Proxy Portfolio information by its employees. E(d)(2)(D), which sets forth Shares, all of the Exchange member Commentary .03 to NYSE Arca Rule circumstances under which Shares of a obligations relating to product 8.601–E provides that the Exchange will Fund will be halted. description and prospectus delivery implement and maintain written Specifically, Rule 8.601–E(d)(2)(D) requirements will continue to apply in surveillance procedures for Active provides that the Exchange may accordance with Exchange rules and Proxy Portfolio Shares. As part of these consider all relevant factors in federal securities laws, and the surveillance procedures, the Investment exercising its discretion to halt trading Exchange and the Financial Industry Company’s investment adviser will, in a series of Active Proxy Portfolio Regulatory Authority, Inc. (‘‘FINRA’’) upon request by the Exchange or Shares. Trading may be halted because will continue to monitor Exchange FINRA, on behalf of the Exchange, make of market conditions or for reasons that, members for compliance with such available to the Exchange or FINRA the in the view of the Exchange, make requirements. daily Actual Portfolio holdings of each trading in the series of Active Proxy series of Active Proxy Portfolio Shares. Portfolio Shares inadvisable. These may Surveillance include: (a) The extent to which trading The Exchange represents that trading 22 FINRA conducts cross-market surveillances on is not occurring in the securities and/or in the Shares will be subject to the behalf of the Exchange pursuant to a regulatory the financial instruments composing the existing trading surveillances, services agreement. The Exchange is responsible for FINRA’s performance under this regulatory services Proxy Portfolio and/or Actual Portfolio; administered by the Exchange, as well agreement. as cross-market surveillances 23 For a list of the current members of ISG, see 21 See NYSE Arca Rule 7.12–E. administered by FINRA on behalf of the www.isgportal.org.

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The Exchange believes that the ability to 2. Statutory Basis to value and trade Shares in a manner access the information on an as needed The Exchange believes that the that will not lead to significant basis will provide it with sufficient proposed rule change is consistent with deviations between the Shares’ Bid/Ask information to perform the necessary Section 6(b) of the Act,24 in general, and Price and NAV. The Funds’ investments, including regulatory functions associated with furthers the objectives of Section 6(b)(5) derivatives, will be consistent with its listing and trading series of Active of the Act,25 in particular, in that it is investment objective and will not be Proxy Portfolio Shares on the Exchange, designed to prevent fraudulent and used to enhance leverage (although including the ability to monitor manipulative acts and practices, to certain derivatives and other compliance with the initial and promote just and equitable principles of investments may result in leverage). continued listing requirements as well trade, to remove impediments to and That is, the Funds’ investments will not as the ability to surveil for manipulation perfect the mechanism of a free and of Active Proxy Portfolio Shares. be used to seek performance that is the open market and a national market The Exchange will utilize its existing multiple or inverse multiple (e.g., 2X or system, and, in general, to protect procedures to monitor issuer 26 –3X) of the Funds’ primary broad-based compliance with the requirements of investors and the public interest. securities benchmark index (as defined With respect to the proposed listing Rule 8.601–E. For example, the in Form N–1A). and trading of Shares of the Funds, the Exchange will continue to use intraday The proposed rule change is designed Exchange believes that the proposed alerts that will notify Exchange to promote just and equitable principles personnel of trading activity throughout rule change is designed to prevent of trade and to protect investors and the the day that may indicate that unusual fraudulent and manipulative acts and public interest in that the Exchange will conditions or circumstances are present practices in that the Shares will be obtain a representation from the Trust that could be detrimental to the listed and traded on the Exchange that the NAV per Share of each Fund maintenance of a fair and orderly pursuant to the initial and continued will be calculated daily and that the market. The Exchange will require from listing criteria in NYSE Arca Rule NAV, Tracking Basket, and Actual the issuer of a series of Active Proxy 8.601–E. Portfolio for the Funds will be made Portfolio Shares, upon initial listing and The Funds’ holdings will conform to available to all market participants at periodically thereafter, a representation the permissible investments as set forth the same time. Investors can obtain the that it is in compliance with Rule in the Application and Exemptive Funds’ SAI, shareholder reports, and its 8.601–E. The Exchange notes that Order, and the holdings will be Form N–CSR, Form N–PORT, and Form Commentary .01 to Rule 8.601–E consistent with all requirements in the N–CEN. The Funds’ SAI and 27 requires an issuer of Active Proxy Application and Exemptive Order. shareholder reports will be available Portfolio Shares to notify the Exchange The Exchange or FINRA, on behalf of free upon request from the Funds, and of any failure to comply with the the Exchange, or both, will those documents and the Form N–CSR, continued listing requirements of Rule communicate as needed regarding Form N–PORT, and Form N–CEN may 8.601–E. In addition, the Exchange will trading in the Shares and underlying be viewed on-screen or downloaded require issuers to represent that they exchange-traded instruments with other from the Commission’s website. will notify the Exchange of any failure markets and other entities that are Commentary .03 to NYSE Arca Rule to comply with the terms of applicable members of the ISG, and the Exchange 8.601–E provides that the Exchange will exemptive and no-action relief. As part or FINRA, on behalf of the Exchange, or implement and maintain written of its surveillance procedures, the both, may obtain trading information surveillance procedures for Active Exchange will rely on the foregoing regarding trading in the Shares and Proxy Portfolio Shares. As part of these procedures to become aware of any non- underlying exchange-traded instruments surveillance procedures, the Investment compliance with the requirements of from such markets and other entities. In Company’s investment adviser will, Rule 8.601–E. addition, the Exchange may obtain upon request by the Exchange or With respect to the Funds, all information regarding trading in the FINRA, on behalf of the Exchange, make statements and representations made in Shares and underlying exchange-traded available to the Exchange or FINRA the this filing regarding (a) the description instruments from markets and other daily portfolio holdings of each series of of the portfolio or reference asset, (b) entities that are members of ISG or with Active Proxy Portfolio Shares. The limitations on portfolio holdings or which the Exchange has in place a Exchange believes that the ability to reference assets, or (c) the applicability comprehensive surveillance sharing access the information on an as needed of Exchange listing rules specified in agreement. Any foreign common stocks basis will provide it with sufficient this rule filing shall constitute held by the Funds will be traded on an information to perform the necessary continued listing requirements for exchange that is a member of the ISG or regulatory functions associated with listing the Shares on the Exchange. The with which the Exchange has in place listing and trading series of Active Exchange will obtain a representation a comprehensive surveillance sharing Proxy Portfolio Shares on the Exchange, from the Trust, prior to commencement agreement. including the ability to monitor of trading in the Shares of the Funds, The daily dissemination of the compliance with the initial and that it will advise the Exchange of any identity and quantity of Tracking Basket continued listing requirements as well failure by the Funds to comply with the component investments, together with as the ability to surveil for manipulation continued listing requirements, and, the right of Authorized Participants to of Active Proxy Portfolio Shares. With pursuant to its obligations under create and redeem each day at the NAV, respect to the Funds, the Adviser will Section 19(g)(1) of the Act, the Exchange will be sufficient for market participants make available daily to FINRA and the will monitor for compliance with the Exchange the portfolio holdings of each continued listing requirements. If a 24 15 U.S.C. 78f(b). Fund upon request in order to facilitate Fund is not in compliance with the 25 15 U.S.C. 78f(b)(5). the performance of the surveillances 26 applicable listing requirements, the The Exchange represents that, for initial and referred to above. continued listing, the Funds will be in compliance Exchange will commence delisting with Rule 10A–3 under the Act, as provided by The Exchange will utilize its existing procedures under NYSE Arca Rule 5.5– NYSE Arca Rule 5.3–E. procedures to monitor compliance with E(m). 27 See note 12, supra. the requirements of Rule 8.601–E. For

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example, the Exchange will continue to for the Shares. The identity and quantity B. Self-Regulatory Organization’s use intraday alerts that will notify of investments in each Fund’s Tracking Statement on Burden on Competition Exchange personnel of trading activity Basket will be publicly available on the The Exchange does not believe that throughout the day that may indicate Funds’ website before the the proposed rule change will impose that unusual conditions or commencement of trading in Shares on any burden on competition that is not circumstances are present that could be each Business Day. The Shares will necessary or appropriate in furtherance detrimental to the maintenance of a fair conform to the initial and continued of the purposes of the Act. The 28 and orderly market. The Exchange will listing criteria under Rule 8.601–E. Exchange believes the proposed rule require from the Trust, upon initial The Funds’ holdings will conform to change would permit listing and trading listing and periodically thereafter, a the permissible investments as set forth of additional actively-managed ETFs representation that it is in compliance in the Application and Exemptive that have characteristics different from with Rule 8.601–E. The Exchange notes Order, and the holdings will be existing actively-managed and index that Commentary .01 to Rule 8.601–E consistent with all requirements in the 29 ETFs and would introduce additional requires the issuer of Shares to notify Application and Exemptive Order. competition among various ETF the Exchange of any failure to comply Any foreign common stocks held by the products to the benefit of investors. with the continued listing requirements Funds will be traded on an exchange of Rule 8.601–E. In addition, the that is a member of the ISG or with C. Self-Regulatory Organization’s Exchange will require the issuer to which the Exchange has in place a Statement on Comments on the represent that it will notify the comprehensive surveillance sharing Proposed Rule Change Received From Exchange of any failure to comply with agreement. Members, Participants, or Others the terms of applicable exemptive and The components of each Fund’s No written comments were solicited no-action relief. The Exchange will rely Actual Portfolio will (a) be listed on an or received with respect to the proposed on the foregoing procedures to become exchange and the primary trading rule change. aware of any non-compliance with the session of such exchange will trade requirements of Rule 8.601–E. synchronously with the Exchange’s Core III. Date of Effectiveness of the In addition, with respect to the Funds, Trading Session, as defined in Rule Proposed Rule Change and Timing for a large amount of information will be 7.34–E(a); (b) with respect to exchange- Commission Action publicly available regarding the Funds traded futures, be listed on a U.S. Because the foregoing proposed rule and the Shares, thereby promoting futures exchange; or (c) consist of cash change does not: (i) Significantly affect market transparency. and cash equivalents. the protection of investors or the public Quotation and last sale information The proposed rule change is designed interest; (ii) impose any significant for the Shares and U.S. exchange-traded to perfect the mechanism of a free and burden on competition; and (iii) become instruments (excluding futures open market and, in general, to protect operative for 30 days from the date on contracts) will be available via the CTA investors and the public interest in that which it was filed, or such shorter time high-speed line, from the exchanges on it will facilitate the listing and trading as the Commission may designate, it has which such securities trade, or through of an additional type of actively- become effective pursuant to Section major market data vendors or managed exchange-traded product that 19(b)(3)(A) of the Act 30 and Rule 19b– subscription services. Intraday price will enhance competition among market 4(f)(6) thereunder.31 information for all exchange-traded participants, to the benefit of investors A proposed rule change filed under instruments, which include all eligible and the marketplace. The Exchange will Rule 19b–4(f)(6) 32 normally does not instruments except cash and cash obtain a representation from the become operative for 30 days after the equivalents, will be available from the Adviser, prior to commencement of date of the filing. However, pursuant to exchanges on which they trade, or trading in the Shares of the Funds, that Rule 19b–4(f)(6)(iii),33 the Commission through major market data vendors or it will advise the Exchange of any may designate a shorter time if such subscription services. Intraday price failure by the Funds to comply with the action is consistent with the protection information for cash equivalents is continued listing requirements, and, of investors and the public interest. The available through major market data pursuant to its obligations under Exchange has asked the Commission to vendors, subscription services and/or Section 19(g)(1) of the Act, the Exchange waive the 30-day operative delay so that pricing services. will monitor for compliance with the the proposal may become operative The website for the Funds will continued listing requirements. If the immediately upon filing. The Exchange include a form of the prospectus that Funds are not in compliance with the states that the Commission has may be downloaded, and additional applicable listing requirements, the previously approved proposed rule data relating to NAV and other Exchange will commence delisting changes to permit listing and trading on applicable quantitative information, procedures under NYSE Arca Rule 5.5– the Exchange of Active Proxy Portfolio updated on a daily basis. Trading in E(m). Shares similar to the Funds.34 The Shares of the Funds will be halted if the As noted above, the Exchange has in Exchange also states that the circuit breaker parameters in NYSE Arca place surveillance procedures relating to Commission has previously issued a Rule 7.12–E have been reached or trading in the Shares and may obtain because of market conditions or for information via ISG from other 30 15 U.S.C. 78s(b)(3)(A)(iii). reasons that, in the view of the exchanges that are members of ISG or 31 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– Exchange, make trading in the Shares with which the Exchange has entered 4(f)(6) requires the Exchange to give the Commission written notice of its intent to file the inadvisable. Trading in the Shares will into a comprehensive surveillance proposed rule change, along with a brief description be subject to NYSE Arca Rule 8.601– sharing agreement. In addition, as noted and text of the proposed rule change, at least five E(d)(2)(D), which sets forth above, investors will have ready access business days prior to the date of filing of the circumstances under which Shares of a proposed rule change, or such shorter time as to information regarding quotation and designated by the Commission. The Exchange has Fund will be halted. In addition, as last sale information for the Shares. satisfied this requirement. noted above, investors will have ready 32 17 CFR 240.19b–4(f)(6). access to each Fund’s Tracking Basket 28 See note 3, supra. 33 17 CFR 240.19b–4(f)(6)(iii). and quotation and last sale information 29 See note 12, supra. 34 See note 7, supra.

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notice of filing and immediate rules/sro.shtml). Copies of the 19(b)(3)(A) of the Act 3 and Rule 19b– effectiveness for a proposed rule change submission, all subsequent 4(f)(3) thereunder,4 such that the relating to the proposed listing on a amendments, all written statements proposed rule change was immediately national securities exchange of other with respect to the proposed rule effective upon filing with the issues of Active Proxy Portfolio Shares, change that are filed with the Commission. The Commission is and that the Funds will operate in a Commission, and all written publishing this notice to solicit manner similar to such funds.35 For communications relating to the comments on the proposed rule change these reasons, the Commission believes proposed rule change between the from interested persons. that waiver of the 30-day operative Commission and any person, other than I. Clearing Agency’s Statement of the delay is consistent with the protection those that may be withheld from the Terms of Substance of the Proposed of investors and the public interest. public in accordance with the Rule Change Accordingly, the Commission waives provisions of 5 U.S.C. 552, will be the 30-day operative delay and available for website viewing and The principal purpose of the designates the proposed rule change printing in the Commission’s Public proposed rule change is to revise the operative upon filing.36 Reference Room, 100 F Street NE, ICC Clearing Rules (the ‘‘Rules’’) with At any time within 60 days of the Washington, DC 20549 on official respect to the description of ICE US filing of such proposed rule change, the business days between the hours of Holding Company L.P. Commission summarily may 10:00 a.m. and 3:00 p.m. Copies of the II. Clearing Agency’s Statement of the temporarily suspend such rule change if filing also will be available for Purpose of, and Statutory Basis for, the it appears to the Commission that such inspection and copying at the principal Proposed Rule Change action is necessary or appropriate in the office of the Exchange. In its filing with the Commission, ICC public interest, for the protection of All comments received will be posted included statements concerning the investors, or otherwise in furtherance of without change. Persons submitting purpose of and basis for the proposed the purposes of the Act. comments are cautioned that we do not rule change, security-based swap redact or edit personal identifying IV. Solicitation of Comments submission, or advance notice and information from comment submissions. discussed any comments it received on Interested persons are invited to You should submit only information submit written data, views and the proposed rule change, security- that you wish to make available based swap submission, or advance arguments concerning the foregoing, publicly. All submissions should refer notice. The text of these statements may including whether the proposed rule to File Number SR–NYSEArca–2021–23 be examined at the places specified in change is consistent with the Act. and should be submitted on or before Item IV below. ICC has prepared Comments may be submitted by any of May 5, 2021. summaries, set forth in sections (A), (B), the following methods: For the Commission, by the Division of and (C) below, of the most significant Electronic Comments Trading and Markets, pursuant to delegated aspects of these statements. authority.37 • Use the Commission’s internet J. Matthew DeLesDernier, (A) Clearing Agency’s Statement of the comment form (http://www.sec.gov/ Purpose of, and Statutory Basis for, the Assistant Secretary. rules/sro.shtml); or Proposed Rule Change • Send an email to rule-comments@ [FR Doc. 2021–07597 Filed 4–13–21; 8:45 am] sec.gov. Please include File Number SR– BILLING CODE 8011–01–P (a) Purpose NYSEArca–2021–23 on the subject line. ICC proposes minor revisions to the Rules to update the description of ICE Paper Comments SECURITIES AND EXCHANGE US Holding Company L.P. (the • Send paper comments in triplicate COMMISSION ‘‘Partnership’’). ICC is wholly owned by to Secretary, Securities and Exchange [Release No. 34–91516; File No. SR–ICC– the Partnership. Specifically, ICC Commission, 100 F Street NE, 2021–010)] proposes to amend ICC Rule 503(a)(iii) Washington, DC 20549–1090. in connection with a change in the All submissions should refer to File Self-Regulatory Organizations; ICE jurisdiction of legal organization of the Number SR–NYSEArca–2021–23. This Clear Credit LLC; Notice of Filing and Partnership from the Cayman Islands to file number should be included on the Immediate Effectiveness of Proposed Delaware (the ‘‘Domestication’’). Under subject line if email is used. To help the Rule Change Relating to the ICC ICC Rule 503(a)(iii), the Partnership Commission process and review your Clearing Rules appoints three members of the ICC Risk comments more efficiently, please use Committee, consisting of an April 8, 2021. only one method. The Commission will independent ICC Board member and post all comments on the Commission’s Pursuant to Section 19(b)(1) of the two ICC officers. In referencing the internet website (http://www.sec.gov/ Securities Exchange Act of 1934 (the Partnership, ICC Rule 503(a)(iii) ‘‘Act’’) 1 and Rule 19b–4 thereunder,2 describes the Partnership as a ‘‘Cayman 35 See Securities Exchange Act Release No. 90530 notice is hereby given that on April 2, Islands exempted limited partnership.’’ (November 30, 2020), 85 FR 78366 (December 4, 2021, ICE Clear Credit LLC (‘‘ICC’’) filed In light of the Domestication, ICC 2020) (SR–CboeBZX–2020–085) (Notice of Filing with the Securities and Exchange proposes to describe the Partnership as and Immediate Effectiveness of a Proposed Rule Commission the proposed rule change a ‘‘Delaware limited partnership.’’ Such Change Relating to List and Trade Shares of the Fidelity Growth Opportunities ETF, Fidelity as described in Items I, II and III below, amendment would not otherwise Magellan ETF, Fidelity Real Estate Investment ETF, which Items have been prepared change the substance of ICC Rule and Fidelity Small-Mid Cap Opportunities ETF primarily by ICC. ICC filed the proposed 503(a)(iii) nor would it affect the rights, Under Rule 14.11(m) (Tracking Fund Shares)) rule change pursuant to Section functions, or obligations of the 36 For purposes only of waiving the 30-day Partnership in relation to ICC. ICC has operative delay, the Commission has also considered the proposed rule’s impact on 37 17 CFR 200.30–3(a)(12). efficiency, competition, and capital formation. See 1 15 U.S.C. 78s(b)(1). 3 15 U.S.C. 78s(b)(3)(A). 15 U.S.C. 78c(f). 2 17 CFR 240.19b–4. 4 17 CFR 240.19b–4(f)(3).

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filed the proposed rule change for light of the Domestication. Such III. Date of Effectiveness of the immediate effectiveness and proposes to amendment ensures that the ICC Rules Proposed Rule Change and Timing for make such changes effective, subject to continue to be up-to-date, clear, and Commission Action any regulatory review or approval transparent and does not otherwise The foregoing rule change has become process. change the substance of ICC Rule effective pursuant to Section 19(b)(3)(A) (b) Statutory Basis 503(a)(iii) nor affect the rights, of the Act 14 and paragraph (f) of Rule functions, or obligations of the 19b–4 15 thereunder. At any time within ICC believes that the proposed rule Partnership in relation to ICC. The ICC 60 days of the filing of the proposed rule change is consistent with the Rules would thus continue to provide change, the Commission summarily may requirements of Section 17A of the Act 5 for a well-founded, clear, transparent, temporarily suspend such rule change if and the regulations thereunder it appears to the Commission that such applicable to it, including the applicable and enforceable legal basis for ICC’s 6 activities, consistent with the action is necessary or appropriate in the standards under Rule 17Ad–22. In public interest, for the protection of particular, Section 17A(b)(3)(F) of the requirements of the Rule 17Ad– 11 investors, or otherwise in furtherance of 7 22(e)(1). Act requires that the rule change be the purposes of the Act. consistent with the prompt and accurate Rule 17Ad–22(e)(2)(i) and (v) 12 clearance and settlement of securities requires each covered clearing agency to IV. Solicitation of Comments transactions and derivative agreements, establish, implement, maintain, and Interested persons are invited to contracts and transactions cleared by enforce written policies and procedures submit written data, views, and ICC, the safeguarding of securities and reasonably designed to provide for arguments concerning the foregoing, funds in the custody or control of ICC governance arrangements that are clear including whether the proposed rule or for which it is responsible, and the and transparent and specify clear and change is consistent with the Act. protection of investors and the public direct lines of responsibility. The Comments may be submitted by any of interest. ICC proposes minor revisions proposed rule change will not impact the following methods: to the Rules to update the description of the substance of Rule 503(a)(iii), under Electronic Comments the Partnership to a ‘‘Delaware limited which the Partnership will continue to partnership’’ given the Domestication. • Use the Commission’s internet appoint three members of the ICC Risk Such amendment would not otherwise comment form (http://www.sec.gov/ Committee, consisting of an change the substance of ICC Rule rules/sro.shtml); or independent ICC Board member and 503(a)(iii) nor would it affect the rights, • Send an email to rule-comments@ functions, or obligations of the two ICC officers. ICC’s governance sec.gov. Please include File Number SR– Partnership in relation to ICC. The arrangements continue to be clear and ICC–2021–010 on the subject line. transparent, such that information proposed rule change would ensure that Paper Comments the ICC Rules remain up-to-date and relating to the assignment of transparent to promote ICC’s ability to responsibilities and the requisite Send paper comments in triplicate to continue to maintain clear and involvement of relevant stakeholders is Secretary, Securities and Exchange comprehensive rules and procedures clearly detailed in the ICC Rules and Commission, 100 F Street NE, that provide sufficient information to policies and procedures, consistent with Washington, DC 20549. market participants. The proposed rule the requirements of Rule 17Ad– All submissions should refer to File change is therefore consistent with the 22(e)(2)(i) and (v).13 Number SR–ICC–2021–010. This file prompt and accurate clearing and number should be included on the (B) Clearing Agency’s Statement on settlement of the contracts cleared by subject line if email is used. To help the ICC, the safeguarding of securities and Burden on Competition Commission process and review your comments more efficiently, please use funds in the custody or control of ICC ICC does not believe the proposed or for which it is responsible, and the only one method. The Commission will rule change would have any impact, or post all comments on the Commission’s protection of investors and the public impose any burden, on competition. interest, within the meaning of Section internet website (http://www.sec.gov/ 8 The proposed changes to the ICC Rules rules/sro.shtml). Copies of the 17A(b)(3)(F) of the Act. will apply uniformly across all market In addition, the proposed rule change submission, all subsequent is consistent with the relevant participants. Therefore, ICC does not amendments, all written statements requirements of Rule 17Ad–22.9 Rule believe the proposed rule change with respect to the proposed rule 17Ad–22(e)(1) 10 requires each covered imposes any burden on competition that change that are filed with the clearing agency to establish, implement, is inappropriate in furtherance of the Commission, and all written maintain, and enforce written policies purposes of the Act. communications relating to the and procedures reasonably designed to proposed rule change between the (C) Clearing Agency’s Statement on Commission and any person, other than provide for a well-founded, clear, Comments on the Proposed Rule transparent, and enforceable legal basis those that may be withheld from the Change Received From Members, public in accordance with the for each aspect of its activities in all Participants or Others relevant jurisdictions. As discussed provisions of 5 U.S.C. 552, will be available for website viewing and above, the proposed revisions update Written comments relating to the printing in the Commission’s Public the jurisdiction of legal organization of proposed rule change have not been the Partnership in Rule 503(a)(iii) in Reference Room, 100 F Street NE, solicited or received. ICC will notify the Washington, DC 20549, on official Commission of any written comments business days between the hours of 5 15 U.S.C. 78q–1. received by ICC. 6 17 CFR 240.17Ad–22. 10:00 a.m. and 3:00 p.m. Copies of such 7 15 U.S.C. 78q–1(b)(3)(F). filings will also be available for 8 Id. 11 Id. 9 17 CFR 240.17Ad–22. 12 17 CFR 240.17Ad–22(e)(2)(i) and (v). 14 15 U.S.C. 78s(b)(3)(A). 10 17 CFR 240.17Ad–22(e)(1). 13 Id. 15 17 CFR 240.19b–4(f)(3).

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inspection and copying at the principal office, and at the Commission’s Public coordination with persons engaged in office of ICE Clear Credit and on ICE Reference Room. regulating, clearing, settling, processing Clear Credit’s website at https:// information with respect to, and II. Self-Regulatory Organization’s www.theice.com/clear-credit/regulation. facilitating transactions in securities, to Statement on the Purpose of, and All comments received will be posted remove impediments to and perfect the without change. Persons submitting Statutory Basis for, the Proposed Rule Change mechanisms of a free and open market comments are cautioned that we do not and a national market system and, in redact or edit personal identifying In its filing with the Commission, the general, to protect investors and the information from comment submissions. Exchange included statements public interest. You should submit only information concerning the purpose of and basis for The proposed rule change will that you wish to make available the proposed rule change and discussed promote just and equitable principles of publicly. All submissions should refer any comments it received on the trade, foster cooperation and to File Number SR–ICC–2021–010 and proposed rule change. The text of these coordination with persons engaged in should be submitted on or before May statements may be examined at the regulating, clearing, settling, processing 5, 2021. places specified in Item IV below. The information with to, and facilitating Exchange has prepared summaries, set For the Commission, by the Division of transaction in securities. Further, the Trading and Markets, pursuant to delegated forth in sections A, B, and C below, of proposed rule change promotes the authority.16 the most significant aspects of such protection of investors and the public J. Matthew DeLesDernier, statements. interest by providing an accurate URL to Assistant Secretary. A. Self-Regulatory Organization’s where the public and investors may find [FR Doc. 2021–07599 Filed 4–13–21; 8:45 am] Statement of the Purpose of, and the current and complete copy of the BILLING CODE 8011–01–P Statutory Basis for, the Proposed Rule OLPP. It is in the public and investors Change interest for Exchange rules to be accurate and concise so as to avoid the SECURITIES AND EXCHANGE 1. Purpose potential for confusion. COMMISSION The Exchange proposes to amend Exchange Rule 404A, Select Provisions B. Self-Regulatory Organization’s [Release No. 34–91518; File No. SR–MIAX– of Options Listing Procedures Plan, to Statement on Burden on Competition 2021–08] make a minor non-substantive change to The Exchange does not believe that Self-Regulatory Organizations; Miami update a Uniform Resource Locator the proposed rule change will impose International Securities Exchange, (‘‘URL’’) to point to the complete copy any burden on competition that is not LLC; Notice of Filing and Immediate of the current Options Listings necessary or appropriate in furtherance Effectiveness of a Proposed Rule Procedures Plan (‘‘OLPP’’) on the of the purposes of the Act. The Change To Amend Exchange Rule Options Clearing Corporation (‘‘OCC’’) Exchange believes the proposed rule 404A, Select Provisions of Options website. change will not impose any burden on Listing Procedures Plan Currently, Exchange Rule 404A intra-market competition as every provides that, the provisions set forth in Member of the Exchange benefits from April 8, 2021. this Rule 404A were adopted by the the location of the OLPP being corrected Pursuant to Section 19(b)(1) of the Exchange as a quote mitigation strategy in the Exchange’s rulebook. Securities Exchange Act of 1934 (the and are codified in the Options Listing Additionally, the proposed rule change ‘‘Act’’),1 and Rule 19b–4 thereunder,2 Procedures Plan (‘‘OLPP’’). The current is similar to the rules of other notice is hereby given that on March 26, rule provides an invalid link to the exchanges.5 2021, Miami International Securities OLPP, stating that, A complete copy of The Exchange does not believe that Exchange, LLC (‘‘MIAX Options’’ or the the current OLPP may be accessed at: the proposed rule change will impose ‘‘Exchange’’) filed with the Securities http://www.optionsclearing.com/ any burden on inter-market competition and Exchange Commission components/docs/clearing/services/ as the proposed change is not a (‘‘Commission’’) the proposed rule options_listing_procedures_plan.pdf. competitive filing and is being made change as described in Items I and II The Exchange notes that the current solely to correct an inaccurate URL. below, which Items have been prepared copy of the OLPP is no longer located C. Self-Regulatory Organization’s by the self-regulatory organization. The at this URL and instead may be found Statement on Comments on the Commission is publishing this notice to at https://www.theocc.com/Clearance- Proposed Rule Change Received From solicit comments on the proposed rule and-Settlement/Industry-Services. Members, Participants, or Others change from interested persons. Therefore, the Exchange proposes to remove the old invalid URL and replace Written comments were neither I. Self-Regulatory Organization’s it with the current valid URL. solicited nor received. Statement of the Terms of Substance of the Proposed Rule Change 2. Statutory Basis III. Date of Effectiveness of the The Exchange is filing a proposal to The Exchange believes that its Proposed Rule Change and Timing for amend Exchange Rule 404A, Select proposed rule change is consistent with Commission Action Provisions of Options Listing Section 6(b) of the Act 3 in general, and Because the foregoing proposed rule Procedures Plan. furthers the objectives of Section 6(b)(5) change does not: (i) Significantly affect The text of the proposed rule change of the Act 4 in particular, in that it is the protection of investors or the public is available on the Exchange’s website at designed to prevent fraudulent and interest; (ii) impose any significant http://www.miaxoptions.com/rule- manipulative acts and practices, to burden on competition; and (iii) become filings/ at MIAX Options’ principal promote just and equitable principles of operative for 30 days after the date of trade, to foster cooperation and the filing, or such shorter time as the 16 17 CFR 200.30–3(a)(12). 1 15 U.S.C. 78s(b)(1). 3 15 U.S.C. 78f(b). 5 See Nasdaq ISE Options 4, Section 6; and Cboe 2 17 CFR 240.19b–4. 4 15 U.S.C. 78f(b)(5). Exchange Rule 4.7(a).

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Commission may designate, it has provisions of 5 U.S.C. 552, will be On January 11, 2021, the Commission become effective pursuant to Section available for website viewing and instituted proceedings to determine 19(b)(3)(A) of the Act 6 and Rule 19b– printing in the Commission’s Public whether to approve or disapprove the 4(f)(6) 7 thereunder. Reference Room, 100 F Street NE, CT Plan.2 Rule 608(b)(2)(i) of Regulation At any time within 60 days of the Washington, DC 20549 on official NMS provides that such proceedings filing of the proposed rule change, the business days between the hours of shall be concluded within 180 days of Commission summarily may 10:00 a.m. and 3:00 p.m. Copies of the the date of publication of notice of the temporarily suspend such rule change if filing also will be available for plan or amendment and that the time for it appears to the Commission that such inspection and copying at the principal conclusion of such proceedings may be action is necessary or appropriate in the office of the Exchange. All comments extended for up to 60 days (up to 240 public interest, for the protection of received will be posted without change. days from the date of notice publication) investors, or otherwise in furtherance of Persons submitting comments are if the Commission determines that a the purposes of the Act. If the cautioned that we do not redact or edit longer period is appropriate and Commission takes such action, the personal identifying information from publishes the reasons for such Commission shall institute proceedings comment submissions. You should determination or the plan participants to determine whether the proposed rule submit only information that you wish consent to the longer period.3 The 180th should be approved or disapproved. to make available publicly. All day after publication of the Notice for submissions should refer to File the proposed CT Plan is April 11, 2021. IV. Solicitation of Comments Number SR–MIAX–2021–08 and should The Commission is extending this 180- Interested persons are invited to be submitted on or before May 5, 2021. day period. submit written data, views and For the Commission, by the Division of The Commission finds that it is arguments concerning the foregoing, Trading and Markets, pursuant to delegated appropriate to designate a longer period including whether the proposed rule 8 authority. within which to conclude proceedings change is consistent with the Act. J. Matthew DeLesDernier, regarding the proposed CT Plan so that Comments may be submitted by any of Assistant Secretary. it has sufficient time to consider the the following methods: [FR Doc. 2021–07601 Filed 4–13–21; 8:45 am] proposed CT Plan and the comments Electronic Comments BILLING CODE 8011–01–P received. Accordingly, pursuant to Rule 4 • Use the Commission’s internet 608(b)(2)(i) of Regulation NMS, the comment form (http://www.sec.gov/ Commission designates June 10, 2021, SECURITIES AND EXCHANGE as the date by which the Commission rules/sro.shtml); or COMMISSION • Send an email to rule-comments@ shall conclude the proceedings to sec.gov. Please include File Number SR– [Release No. 34–91504; File No. 4–757] determine whether to approve or MIAX–2021–08 on the subject line. disapprove the proposed CT Plan (File Joint Industry Plan; Notice of No. 4–757). Paper Comments Designation of a Longer Period for For the Commission, by the Division of • Send paper comments in triplicate Commission Action on a Proposed Trading and Markets, pursuant to delegated to Secretary, Securities and Exchange National Market System Plan authority.5 Commission, 100 F Street NE, Regarding Consolidated Equity Market J. Matthew DeLesDernier, Washington, DC 20549–1090. Data Assistant Secretary. All submissions should refer to File April 8, 2021. [FR Doc. 2021–07593 Filed 4–13–21; 8:45 am] Number SR–MIAX–2021–08. This file On August 11, 2020, Cboe BYX BILLING CODE 8011–01–P number should be included on the Exchange, Inc., Cboe BZX Exchange, subject line if email is used. To help the Inc., Cboe EDGA Exchange, Inc., Cboe Commission process and review your EDGX Exchange, Inc., Cboe Exchange, SECURITIES AND EXCHANGE comments more efficiently, please use Inc., Investors Exchange LLC, Long COMMISSION only one method. The Commission will Term Stock Exchange, Inc., MEMX LLC, post all comments on the Commission’s Nasdaq BX, Inc., Nasdaq ISE, LLC, [Release No. 34–91517; File No. SR–ICC– internet website (http://www.sec.gov/ Nasdaq PHLX LLC, Nasdaq Stock 2021–009] rules/sro.shtml). Copies of the Market LLC, New York Stock Exchange submission, all subsequent LLC, NYSE American LLC, NYSE Arca, Self-Regulatory Organizations; ICE amendments, all written statements Inc., NYSE Chicago, Inc., NYSE Clear Credit LLC; Notice of Proposed with respect to the proposed rule National, Inc., and Financial Industry Rule Change Relating to the ICC Risk change that are filed with the Regulatory Authority, Inc. filed with the Parameter Setting and Review Policy Commission, and all written Securities and Exchange Commission April 8, 2021. communications relating to the (‘‘Commission’’) a proposed new single proposed rule change between the national market system plan governing Pursuant to Section 19(b)(1) of the Commission and any person, other than the public dissemination of real-time Securities Exchange Act of 1934 (the those that may be withheld from the consolidated equity market data for public in accordance with the national market system stocks (the ‘‘CT Comments received in response to the Notice can Plan’’). The proposed CT Plan was be found on the Commission’s website at https:// 6 15 U.S.C. 78s(b)(3)(A). www.sec.gov/comments/4-757/4-757.htm. published for comment in the Federal 2 7 See Order Instituting Proceedings to Determine 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 1 4(f)(6) requires a self-regulatory organization to give Register on October 13, 2020. Whether to Approve or Disapprove a National the Commission written notice of its intent to file Market System Plan Regarding Consolidated Equity the proposed rule change at least five business days 8 17 CFR 200.30–3(a)(12). Market Data, Securities Exchange Act Release No. prior to the date of filing of the proposed rule 1 See Notice of Filing of a National Market System 90885 (Jan. 11, 2021), 86 FR 4142 (Jan. 15, 2021). change, or such shorter time as designated by the Plan Regarding Consolidated Equity Market Data, 3 See 17 CFR 242.608(b)(2)(i). Commission. The Exchange has satisfied this Securities Exchange Act Release No. 90096 (Oct. 6, 4 Id. requirement. 2020), 85 FR 64565 (Oct. 13, 2020) (‘‘Notice’’). 5 17 CFR 200.30–3(a)(85).

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Act’’) 1 and Rule 19b–4 thereunder,2, with the integrated spread response protection of investors and the public notice is hereby given that on April 2, model component. Namely, ICC interest. The proposed amendments 2021, ICE Clear Credit LLC (‘‘ICC’’) filed proposes to transition the risk transition the risk management MAD with the Securities and Exchange management mean absolute deviation monthly parameter update for index risk Commission the proposed rule change (‘‘MAD’’) monthly parameter update for factors to an automatic daily update. as described in Items I, II, and III below, index risk factors to an automatic daily Such changes would timely capture any which Items have been prepared update in the risk management system. significant MAD changes and minimize primarily by ICC. The Commission is The proposed changes would also the cumulative effect of MAD changes publishing this notice to solicit specify that single name risk factor level between parameter updates, and thus comments on the proposed rule change risk management MADs are not subject reduce the level of initial margin from interested persons. to automatic updates and that the ICC procyclicality. The proposed Risk Department estimates and reviews clarifications would further ensure I. Clearing Agency’s Statement of the the univariate single name integrated readability and clarity with respect to Terms of Substance of the Proposed spread response parameters and their ICC’s process of setting and reviewing Rule Change assumptions at least on a monthly basis. the model core parameters to ensure The principal purpose of the ICC proposes minor clarifications to that the documentation remains up-to- proposed rule change is to make the ‘‘Implied Distribution Parameters for date, clear, and transparent to support changes to ICC’s Risk Parameter Setting Index Option Instruments’’ subsection the effectiveness of ICC’s risk and Review Policy. These revisions do (Subsection 1.7.4). ICC previously management system. The proposed rule not require any changes to the ICC replaced naming conventions for stress change is therefore consistent with the Clearing Rules (the ‘‘Rules’’). scenarios associated with the Lehman prompt and accurate clearing and II. Clearing Agency’s Statement of the Brothers (‘‘LB’’) default with more settlement of the contracts cleared by Purpose of, and Statutory Basis for, the generic naming conventions associated ICC, the safeguarding of securities and Proposed Rule Change with extreme price changes, namely funds in the custody or control of ICC extreme price decreases and increases or for which it is responsible, and the In its filing with the Commission, ICC (the ‘‘Extreme Price Change protection of investors and the public included statements concerning the Scenarios’’).3 Relatedly, ICC proposes interest, within the meaning of Section purpose of and basis for the proposed minor updates to replace references and 17A(b)(3)(F) of the Act.7 rule change, security-based swap notations to the scenarios associated Rule 17Ad–22(e)(2)(i) and (v) 8 submission, or advance notice and with the LB default with the Extreme requires each covered clearing agency to discussed any comments it received on Price Change Scenarios. ICC also establish, implement, maintain, and the proposed rule change, security- proposes to more clearly refer to ‘‘stress enforce written policies and procedures based swap submission, or advance MAD factors’’ as ‘‘stress implied MAD reasonably designed to provide for notice. The text of these statements may factors.’’ governance arrangements that are clear be examined at the places specified in ICC proposes amendments to the and transparent and specify clear and Item IV below. ICC has prepared ‘‘Routinely Updated Parameters’’ direct lines of responsibility. ICC’s Risk summaries, set forth in sections (A), (B), subsection (Subsection 2.4). As Parameter Setting and Review Policy and (C) below, of the most significant described above, ICC proposes changes clearly assigns and documents aspects of these statements. specifying that the index risk factor responsibility and accountability for the (A) Clearing Agency’s Statement of the level risk management MADs are estimation and review of the model core Purpose of, and Statutory Basis for, the automatically updated daily in the risk parameters and the performance of Proposed Rule Change management system and the other risk sensitivity analyses. Regarding the factor parameters are reviewed at least univariate level parameters, the (a) Purpose monthly. proposed changes continue to ensure ICC proposes revising its Risk (b) Statutory Basis that ICC maintains clear and transparent Parameter Setting and Review Policy, governance procedures and which describes the process of setting ICC believes that the proposed rule arrangements, including by describing and reviewing the risk management change is consistent with the the frequency of the parameter reviews model core parameters and the requirements of Section 17A of the Act 4 and updates, the group involved in the performance of sensitivity analyses and the regulations thereunder review process, and prerequisites to related to certain parameter settings. ICC applicable to it, including the applicable implementing parameter updates. As believes that such revisions will standards under Rule 17Ad–22.5 In such, in ICC’s view, the proposed rule facilitate the prompt and accurate particular, Section 17A(b)(3)(F) of the change continues to ensure that ICC clearance and settlement of securities Act 6 requires that the rule change be maintains policies and procedures that transactions and derivative agreements, consistent with the prompt and accurate are reasonably designed to provide for contracts, and transactions for which it clearance and settlement of securities clear and transparent governance is responsible. ICC proposes to make transactions and derivative agreements, arrangements and specify clear and such changes effective following contracts and transactions cleared by direct lines of responsibility, consistent Commission approval of the proposed ICC, the safeguarding of securities and with Rule 17Ad–22(e)(2)(i) and (v).9 rule change. The proposed revisions are funds in the custody or control of ICC Rule 17Ad–22(e)(4)(ii) 10 requires described in detail as follows. or for which it is responsible, and the each covered clearing agency to ICC proposes to amend the establish, implement, maintain, and ‘‘Univariate Level Parameters’’ 3 See SR–ICC–2020–009 for more information on enforce written policies and procedures subsection (Subsection 1.7.1). ICC the incorporation of the Extreme Price Change Scenarios into ICC’s risk management policies and reasonably designed to effectively proposes changes related to the procedures, including the Risk Parameter Setting univariate level parameters associated and Review Policy. 7 Id. 4 15 U.S.C. 78q–1. 8 17 CFR 240.17Ad–22(e)(2)(i) and (v). 1 15 U.S.C. 78s(b)(1). 5 17 CFR 240.17Ad–22. 9 Id. 2 17 CFR 240.19b–4. 6 15 U.S.C. 78q–1(b)(3)(F). 10 17 CFR 240.17Ad–22(e)(4)(ii).

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identify, measure, monitor, and manage perform sensitivity analyses related to (C) Clearing Agency’s Statement on its credit exposures to participants and certain parameter settings on at least a Comments on the Proposed Rule those arising from its payment, clearing, monthly basis. The proposed changes Change Received From Members, and settlement processes, including by transition the risk management MAD Participants or Others maintaining additional financial monthly parameter update for index risk Written comments relating to the resources at the minimum to enable it factors to a more frequent and automatic proposed rule change have not been to cover a wide range of foreseeable daily update. As such, ICC believes the solicited or received. ICC will notify the stress scenarios that include, but are not proposed rule change is consistent with Commission of any written comments limited to, the default of the two the requirements of Rule 17Ad– received by ICC. participant families that would 22(e)(4)(vi)(B).13 potentially cause the largest aggregate III. Date of Effectiveness of the credit exposure for the covered clearing Rule 17Ad–22(e)(6)(i) 14 requires each Proposed Rule Change and Timing for agency in extreme but plausible market covered clearing agency to establish, Commission Action implement, maintain, and enforce conditions. The proposed changes Within 45 days of the date of written policies and procedures promote the soundness of the model publication of this notice in the Federal including by transitioning the risk reasonably designed to cover its credit Register or within such longer period management MAD monthly parameter exposures to its participants by up to 90 days (i) as the Commission may update for index risk factors to an establishing a risk-based margin system designate if it finds such longer period automatic daily update. Such changes that, at a minimum, considers, and to be appropriate and publishes its would timely capture any significant produces margin levels commensurate reasons for so finding or (ii) as to which MAD changes and minimize the with, the risks and particular attributes the self-regulatory organization cumulative effect of MAD changes of each relevant product, portfolio, and consents, the Commission will: between parameter updates, and thus market. As described above, the index (A) By order approve or disapprove reduce the level of initial margin risk factor level risk management MADs such proposed rule change, or procyclicality. ICC believes that the would be automatically updated daily proposed rule change would thus (B) institute proceedings to determine in the risk management system, which enhance ICC’s ability to manage risks whether the proposed rule change and maintain appropriate financial would timely capture any significant should be disapproved. MAD changes and minimize the resources. ICC proposes additional IV. Solicitation of Comments clarifications, including updating cumulative effect of MAD changes Interested persons are invited to references to the Extreme Price Change between parameter updates, and thus submit written data, views, and Scenarios and specifying the frequency reduce the level of initial margin arguments concerning the foregoing, of the subject parameter reviews and procyclicality. The additional including whether the proposed rule updates. ICC believes that such changes clarifications would further promote change is consistent with the Act. enhance the readability and clarity and transparency in the transparency of the Risk Parameter documentation. In ICC’s view, the Comments may be submitted by any of Setting and Review Policy, which proposed changes thus enhance and the following methods: would strengthen the documentation strengthen ICC’s process for reviewing Electronic Comments and ensure that it remains up-to-date, and setting the model core parameters, • Use the Commission’s internet clear, and transparent. As such, the which in turn serves to promote the comment form (http://www.sec.gov/ proposed amendments would soundness of ICC’s risk management rules/sro.shtml); or strengthen ICC’s ability to maintain its model and system, which will continue • Send an email to rule-comments@ financial resources and withstand the to consider and produce margin levels sec.gov. Please include File Number SR– pressures of defaults, consistent with commensurate with the risks and ICC–2021–009 on the subject line. the requirements of Rule 17Ad– particular attributes of each relevant 22(e)(4)(ii).11 product, portfolio, and market, Paper Comments Rule 17Ad–22(e)(4)(vi)(B) 12 requires Send paper comments in triplicate to, each covered clearing agency to consistent with the requirements of Rule 15 establish, implement, maintain, and 17Ad–22(e)(6)(i). Secretary, Securities and Exchange enforce written policies and procedures Commission, 100 F Street NE, (B) Clearing Agency’s Statement on Washington, DC 20549. reasonably designed to effectively Burden on Competition identify, measure, monitor, and manage All submissions should refer to File its credit exposures to participants and ICC does not believe the proposed Number SR–ICC–2021–009. This file those arising from its payment, clearing, rule change would have any impact, or number should be included on the and settlement processes, including by impose any burden, on competition. subject line if email is used. To help the testing the sufficiency of its total The proposed changes to ICC’s Risk Commission process and review your financial resources available to meet the Parameter Setting and Review Policy comments more efficiently, please use minimum financial resource will apply uniformly across all market only one method. The Commission will post all comments on the Commission’s requirements, including by conducting a participants. Therefore, ICC does not internet website (http://www.sec.gov/ comprehensive analysis on at least a believe the proposed rule change rules/sro.shtml). Copies of the monthly basis of underlying parameters imposes any burden on competition that submission, all subsequent and assumptions. Under the proposed is inappropriate in furtherance of the changes, the Risk Parameter Setting and amendments, all written statements purposes of the Act. Review Policy continues to provide a with respect to the proposed rule clear framework for ICC to set and change that are filed with the review the model core parameters and Commission, and all written 13 Id. communications relating to the 11 Id. 14 17 CFR 240.17Ad–22(e)(6)(i). proposed rule change between the 12 17 CFR 240.17Ad–22(e)(4)(vi)(B). 15 Id. Commission and any person, other than

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those that may be withheld from the rather than at net asset value; (c) certain may be obtained via the Commission’s public in accordance with the Funds to pay redemption proceeds, website by searching for the file provisions of 5 U.S.C. 552, will be under certain circumstances, more than number, or for an applicant using the available for website viewing and seven days after the tender of Shares for Company name box, at http:// printing in the Commission’s Public redemption; and (d) certain affiliated www.sec.gov/search/search.htm or by Reference Room, 100 F Street NE, persons of a Fund to deposit securities calling (202) 551–8090. into, and receive securities from, the Washington, DC 20549, on official Applicants business days between the hours of Fund in connection with the purchase 10:00 a.m. and 3:00 p.m. Copies of such and redemption of creation units. The 1. The Trust is a business trust filings will also be available for relief in the Order would incorporate by organized under the laws of the inspection and copying at the principal reference terms and conditions of the Commonwealth of Massachusetts and office of ICE Clear Credit and on ICE same relief of a previous order granting will consist of one or more series Clear Credit’s website at https:// the same relief sought by applicants, as operating as a Fund. The Trust is www.theice.com/clear-credit/regulation. that order may be amended from time to registered as an open-end management All comments received will be posted time (‘‘Reference Order’’).1 investment company under the Act. without change. Persons submitting FILING DATE: The application was filed Applicants seek relief with respect to comments are cautioned that we do not on February 5, 2021 and amended on Funds (as defined below), including redact or edit personal identifying March 16, 2021. three initial Funds (the ‘‘Initial Funds’’). The Funds will offer exchange-traded information from comment submissions. HEARING OR NOTIFICATION OF HEARING: You should submit only information An order granting the requested relief shares utilizing active management investment strategies as contemplated that you wish to make available will be issued unless the Commission by the Reference Order.2 publicly. All submissions should refer orders a hearing. Interested persons may to File Number SR–ICC–2021–009 and 2. The Initial Adviser, an Illinois request a hearing by emailing the limited liability company, will be the should be submitted on or before May Commission’s Secretary at Secretarys- 5, 2021. investment adviser to the Initial Funds. [email protected] and serving applicants Subject to approval by the Fund’s board For the Commission, by the Division of with a copy of the request by email. of trustees, an Adviser (as defined Trading and Markets, pursuant to delegated Hearing requests should be received by 16 below) will serve as investment adviser authority. the Commission by 5:30 p.m. on May 3, to each Fund. The Initial Adviser is, and J. Matthew DeLesDernier, 2021, and should be accompanied by any other Adviser will be, registered as Assistant Secretary. proof of service on applicants, in the an investment adviser under the [FR Doc. 2021–07600 Filed 4–13–21; 8:45 am] form of an affidavit or, for lawyers, a Investment Advisers Act of 1940 certificate of service. Pursuant to rule BILLING CODE 8011–01–P (‘‘Advisers Act’’). The Adviser may 0–5 under the Act, hearing requests enter into sub-advisory agreements with should state the nature of the writer’s other investment advisers to act as sub- SECURITIES AND EXCHANGE interest, any facts bearing upon the advisers with respect to the Funds (each COMMISSION desirability of a hearing on the matter, a ‘‘Sub-Adviser’’). Any Sub-Adviser to a the reason for the request, and the issues Fund will be registered under the [Investment Company Act Release No. contested. Persons who wish to be 34243; File No. 812–15199] Advisers Act. notified of a hearing may request 3. The Distributor is a limited liability Nuveen Fund Advisors, LLC, et al. notification by emailing the company and a broker-dealer registered Commission’s Secretary at Secretarys- under the Securities Exchange Act of April 8, 2021. [email protected]. 1934, as amended, and will act as the AGENCY: Securities and Exchange ADDRESSES: The Commission: principal underwriter of Shares of the Commission (‘‘Commission’’). [email protected]. Applicants: Funds. Applicants request that the ACTION: Notice. c/o W. John McGuire, Esq., Morgan, requested relief apply to any distributor Lewis & Bockius LLP, john.mcguire@ of Shares, whether affiliated or Notice of an application for an order morganlewis.com. unaffiliated with the Adviser and/or under section 6(c) of the Investment FOR FURTHER INFORMATION CONTACT: Sub-Adviser (included in the term Company Act of 1940 (‘‘Act’’) for an ‘‘Distributor’’). Any Distributor will exemption from sections 2(a)(32), Deepak T. Pai, Senior Counsel, at (202) 551–6876 or Trace W. Rakestraw, comply with the terms and conditions 5(a)(1), 22(d) and 22(e) of the Act and of the Order. rule 22c–1 under the Act, and under Branch Chief, at (202) 551–6825 sections 6(c) and 17(b) of the Act for an (Division of Investment Management, Applicants’ Requested Exemptive Relief Chief Counsel’s Office). exemption from sections 17(a)(1) and 4. Applicants seek the requested 17(a)(2) of the Act. SUPPLEMENTARY INFORMATION: The Order under section 6(c) of the Act for following is a summary of the APPLICANTS: Nushares ETF Trust (the an exemption from sections 2(a)(32), ‘‘Trust’’), Nuveen Fund Advisors, LLC application. The complete application 5(a)(1), 22(d) and 22(e) of the Act and (the ‘‘Initial Adviser’’) and Nuveen rule 22c–1 under the Act, and under 1 Natixis ETF Trust II, et al., Investment Company sections 6(c) and 17(b) of the Act for an Securities, LLC (the ‘‘Distributor’’). Act Rel. Nos. 33684 (November 14, 2019) (notice) SUMMARY OF APPLICATION: Applicants and 33711 (December 10, 2019) (order). Applicants exemption from sections 17(a)(1) and request an order (‘‘Order’’) that permits: are not seeking relief under section 12(d)(1)(J) of the 17(a)(2) of the Act. The requested Order (a) The Funds (defined below) to issue Act for an exemption from sections 12(d)(1)(A) and would permit applicants to offer Funds 12(d)(1)(B) of the Act (the ‘‘Section 12(d)(1) that utilize the NYSE Proxy Portfolio shares (‘‘Shares’’) redeemable in large Relief’’), and relief under sections 6(c) and 17(b) of aggregations only (‘‘creation units’’); (b) the Act for an exemption from sections 17(a)(1) and Methodology. Because the relief secondary market transactions in Shares 17(a)(2) of the Act relating to the Section 12(d)(1) Relief, as granted in the Reference Order. 2 To facilitate arbitrage, among other things, each to occur at negotiated market prices Accordingly, to the extent the terms and conditions day a Fund will publish a basket of securities and of the Reference Order relate to such relief, they are cash that, while different from the Fund’s portfolio, 16 17 CFR 200.30–3(a)(12). not incorporated by reference into the Order. is designed to closely track its daily performance.

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requested is the same as certain of the For the Commission, by the Division of The text of the proposed rule change relief granted by the Commission under Investment Management, pursuant to is available on FINRA’s website at the Reference Order and because the delegated authority. http://www.finra.org, at the principal Initial Adviser has entered into a J. Matthew DeLesDernier, office of FINRA and at the licensing agreement with NYSE Group, Assistant Secretary. Commission’s Public Reference Room. Inc. in order to offer Funds that utilize [FR Doc. 2021–07590 Filed 4–13–21; 8:45 am] II. Self-Regulatory Organization’s the NYSE Proxy Portfolio BILLING CODE 8011–01–P Statement of the Purpose of, and 3 Methodology, the Order would Statutory Basis for, the Proposed Rule incorporate by reference the terms and Change conditions of the same relief of the SECURITIES AND EXCHANGE Reference Order. COMMISSION In its filing with the Commission, FINRA included statements concerning 5. Applicants request that the Order [Release No. 34–91506; File No. SR–FINRA– the purpose of and basis for the apply to the Initial Funds and to any 2021–005] proposed rule change and discussed any other existing or future registered open- Self-Regulatory Organizations; comments it received on the proposed end management investment company rule change. The text of these statements or series thereof that: (a) Is advised by Financial Industry Regulatory Authority, Inc.; Notice of Filing and may be examined at the places specified the Initial Adviser or any entity Immediate Effectiveness of a Proposed in Item IV below. FINRA has prepared controlling, controlled by, or under Rule Change To Extend the Effective summaries, set forth in sections A, B, common control with the Initial Adviser Date of the Temporary Amendments and C below, of the most significant (any such entity, along with the Initial Set Forth in SR–FINRA–2020–026 and aspects of such statements. Adviser, included in the term SR–FINRA–2020–043 From April 30, A. Self-Regulatory Organization’s ‘‘Adviser’’); (b) offers exchange-traded 2021, to June 30, 2021 shares utilizing active management Statement of the Purpose of, and Statutory Basis for, the Proposed Rule investment strategies as contemplated April 8, 2021. Change by the Reference Order; and (c) Pursuant to Section 19(b)(1) of the complies with the terms and conditions Securities Exchange Act of 1934 (‘‘Act’’ 1. Purpose of the Order and the terms and or ‘‘Exchange Act’’) 1 and Rule 19b–4 In response to the COVID–19 global conditions of the Reference Order that thereunder,2 notice is hereby given that pandemic, last year FINRA began are incorporated by reference into the on March 31, 2021, the Financial providing temporary relief to member Order (each such company or series and Industry Regulatory Authority, Inc. firms from FINRA rules and each Initial Fund, a ‘‘Fund’’).4 (‘‘FINRA’’) filed with the Securities and requirements via frequently asked 6. Section 6(c) of the Act provides that Exchange Commission (‘‘SEC’’ or questions (‘‘FAQs’’) on its website.5 the Commission may exempt any ‘‘Commission’’) the proposed rule Two of these FAQs 6 provided person, security or transaction, or any change as described in Items I and II temporary relief to address disruptions class of persons, securities or below, which Items have been prepared to the administration of FINRA transactions, from any provisions of the by FINRA. FINRA has designated the qualification examinations caused by Act, if and to the extent that such proposed rule change as constituting a the pandemic that have significantly exemption is necessary or appropriate ‘‘non-controversial’’ rule change under limited the ability of individuals to sit paragraph (f)(6) of Rule 19b–4 under the in the public interest and consistent for these examinations due to Prometric Act,3 which renders the proposal 7 with the protection of investors and the test center capacity issues. effective upon receipt of this filing by purposes fairly intended by the policy FINRA published the first FAQ on the Commission. The Commission is and provisions of the Act. Section 17(b) March 20, 2020, providing that publishing this notice to solicit of the Act authorizes the Commission to individuals who were designated to comments on the proposed rule change function as principals under FINRA exempt a proposed transaction from from interested persons. section 17(a) of the Act if evidence Rule 1210.04 prior to February 2, 2020, establishes that the terms of the I. Self-Regulatory Organization’s would be given until May 31, 2020, to transaction, including the consideration Statement of the Terms of Substance of pass the appropriate principal 8 to be paid or received, are reasonable the Proposed Rule Change qualification examination. FINRA and fair and do not involve FINRA is proposing to extend the separate rule filing to further extend the temporary overreaching on the part of any person expiration date of the temporary amendments. concerned, and the transaction is amendments initially set forth in SR– 5 See Frequently Asked Questions Related to consistent with the policies of the FINRA–2020–026 and subsequently Regulatory Relief Due to the Coronavirus Pandemic, available at https://www.finra.org/rules-guidance/ registered investment company and the extended in SR–FINRA–2020–043 general purposes of the Act. Applicants key-topics/covid-19/faq. (collectively, the ‘‘Temporary 6 See https://www.finra.org/rules-guidance/key- submit that for the reasons stated in the Qualification Examination Relief topics/covid-19/faq#qe. Reference Order the requested relief Filings’’) from April 30, 2021, to June 7 At the outset of the COVID–19 pandemic, all meets the exemptive standards under 30, 2021. FINRA does not anticipate FINRA qualification examinations were sections 6(c) and 17(b) of the Act. administered at test centers operated by Prometric. providing any further extensions to the Based on the health and welfare concerns resulting temporary amendments identified in from COVID–19, in March 2020 Prometric closed all 3 The NYSE Proxy Portfolio Methodology (as this proposed rule change beyond June of its test centers in the United States and Canada defined in the Reference Order) is the intellectual 30, 2021.4 and began to slowly reopen some of them at limited property of the NYSE Group, Inc. capacity in May. Currently, Prometric has resumed 4 All entities that currently intend to rely on the testing in many of its United States and Canada test 1 Order are named as applicants. Any other entity 15 U.S.C. 78s(b)(1). centers, at either full or limited occupancy, based that relies on the Order in the future will comply 2 17 CFR 240.19b–4. on local and government mandates. with the terms and conditions of the Order and the 3 17 CFR 240.19b–4(f)(6). 8 FINRA Rule 1210.04 (Requirements for terms and conditions of the Reference Order that 4 If due to unforeseen circumstances a further Registered Persons Functioning as Principals for a are incorporated by reference into the Order. extension is necessary, FINRA will submit a Continued

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revised the FAQ to extend the and the limited ability of individuals to could successfully sit for and pass an expiration of the temporary relief to sit for the examinations caused by the appropriate qualification examination pass the appropriate principal COVID–19 pandemic.12 FINRA also within the 120-calendar day period qualification examination initially until noted in the Temporary Qualification required under the rules.15 Specifically, June 30, 2020, and then until August 31, Examination Relief Filings that the if the individual wanted to take a 2020. pandemic could result in firms qualifying examination, they were FINRA published the second FAQ on potentially experiencing significant required to accept the health risks May 15, 2020, providing that disruptions to their normal business associated with taking an in-person individuals who were designated to operations that may be exacerbated by examination because those function as Operations Professionals being unable to keep principal or examinations were not available online. under FINRA Rule 1220(b)(3)(B) prior to Operations Professional positions filled. On February 24, 2021, however, FINRA February 2, 2020, would be given until Specifically, the limitation of in-person adopted an interim accommodation June 30, 2020, to pass the applicable activities and staff absenteeism as a request process to allow candidates to qualification examination.9 Thereafter, result of the health and welfare take additional FINRA examinations FINRA revised the FAQ to extend the concerns stemming from COVID–19 online, including the General Securities expiration of the temporary relief to could result in firms having difficulty Principal (Series 24) and Operations pass the applicable qualification finding other qualified individuals to Professional (Series 99) examinations.16 examination until August 31, 2020. transition into those roles or requiring Because the qualifying examinations On August 28, 2020, FINRA filed with them to reallocate employee time and have been made available online only the Commission a proposed rule change, resources away from other critical recently, FINRA is concerned that SR–FINRA–2020–026, to extend the responsibilities at the firm. individuals who have been designated expiration of the temporary relief While there are signs of improvement, to function in a principal or Operations provided via the two FAQs by adopting: the COVID–19 conditions necessitating Professional capacity may not have (1) Temporary Supplementary Material the temporary relief persist and FINRA sufficient time to schedule, study for, .12 (Temporary Extension of the Limited has determined that there is a continued and take the applicable examination Period for Registered Persons to need for this temporary relief beyond before April 30, 2021, the date the Function as Principals) under FINRA April 30, 2021. Although Prometric has temporary amendments are set to Rule 1210 (Registration Requirements), resumed testing in many of its U.S. test expire. Therefore, FINRA is proposing and (2) temporary Supplementary centers, Prometric’s safety practices to extend the expiration date of the Material .07 (Temporary Extension of mean that currently not all test centers temporary amendments set forth in the the Limited Period for Persons to are open, some of the open test centers Temporary Qualification Examination Function as Operations Professionals) are at limited capacity, and some open Relief Filings until June 30, 2021. The under FINRA Rule 1220 (Registration test centers are delivering only certain proposed rule change would apply only Categories).10 Pursuant to this rule examinations that have been deemed to those individuals who have been change, individuals who were essential by the local government.13 In designated to function as a principal or designated prior to September 3, 2020, addition, while certain states have Operations Professional prior to March to function as a principal under FINRA started to ease COVID–19 restrictions on 3, 2021. As noted above, FINRA does Rule 1210.04 or an Operations businesses and social activities, public not anticipate providing any further Professional under FINRA Rule health officials continue to emphasize extensions to the temporary 1220(b)(3)(B) had until December 31, the importance for individuals to keep amendments and any individuals 2020, to pass the appropriate taking numerous steps to protect designated to function as a principal or qualification examination. FINRA themselves and help slow the spread of Operations Professional on or after thereafter filed SR–FINRA–2020–043 to the disease.14 March 3, 2021, will need to successfully extend the expiration date of the Although the COVID–19 conditions pass an appropriate qualification temporary amendments set forth in SR– necessitating the temporary relief examination within 120 days.17 FINRA–2020–026 from December 31, persist, FINRA believes that an FINRA believes that this proposed 2020, to April 30, 2021.11 extension of the relief is necessary only continued extension of time is tailored As mentioned in the Temporary until June 30, 2021, because FINRA to address the needs and constraints on Qualification Examination Relief recently expanded the availability of a firm’s operations during the COVID– Filings, FINRA began providing, and online examinations. Prior to this 19 pandemic, without significantly then extended, temporary relief to expansion, the ongoing effects of the compromising critical investor address the interruptions in the pandemic made it impracticable for protection. The proposed extension of administration of FINRA qualification member firms to ensure that the time will help to minimize the impact examinations at Prometric test centers individuals who they had designated to of COVID–19 on firms by providing function in a principal or Operations continued flexibility so that firms can Limited Period) allows a member firm to designate Professional capacity, as set forth in ensure that principal and Operations certain individuals to function in a principal Professional positions remain filled. The capacity for 120 calendar days before having to pass FINRA Rules 1210.04 and 1220(b)(3)(B), an appropriate principal qualification examination. potential risks from the proposed 9 Pursuant to FINRA Rule 1220(b)(3)(B) 12 Information about the continued impact of extension of the 120-day period are (Qualifications), a person registering as an COVID–19 on FINRA-administered examinations is mitigated by a firm’s continued Operations Professional may function in that available at https://www.finra.org/rules-guidance/ requirement to supervise the activities capacity for 120 days before having to pass an key-topics/covid-19/exams. applicable qualification examination. 13 Information from Prometric about its safety of these designated individuals and 10 See Exchange Act Release No. 89732 practices and the impact of COVID–19 on its (September 1, 2020), 85 FR 55535 (September 8, operations is available at https:// 15 See supra note 12. 2020) (Notice of Filing and Immediate Effectiveness www.prometric.com/corona-virus-update. See also 16 Id. of File No. SR–FINRA–2020–026). supra note 12. 17 FINRA notes that the proposed rule change 11 See Exchange Act Release No. 90617 14 See, e.g., Centers for Disease Control and would impact members that have elected to be (December 9, 2020), 85 FR 81258 (December 15, Prevention, How to Protect Yourself & Others, treated as capital acquisition brokers (‘‘CABs’’), 2020) (Notice of Filing and Immediate Effectiveness https://www.cdc.gov/coronavirus/2019-ncov/ given that the CAB rule set incorporates the of File No. SR–FINRA–2020–043). prevent-getting-sick/prevention.html. impacted FINRA rules by reference.

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ensure compliance with federal Filings, the proposed rule change is improvement, FINRA further stated that securities laws and regulations, as well intended solely to extend temporary the ongoing extenuating circumstances as FINRA rules. relief necessitated by the continued of the COVID–19 pandemic make it FINRA has filed the proposed rule impacts of the COVID–19 outbreak and impractical to ensure that individuals change for immediate effectiveness and the related health and safety risks of designated to act in these capacities are has requested that the SEC waive the conducting in-person activities. FINRA able to take and pass the appropriate requirement that the proposed rule believes that the proposed rule change qualification examination during the change not become operative for 30 days is necessary to temporarily rebalance 120-calendar day period required under after the date of the filing, so FINRA can the attendant benefits and costs of the the rules. implement the proposed rule change obligations under FINRA Rules 1210 FINRA observed that, following a immediately.18 and 1220 in response to the impacts of nationwide closure of all test centers 2. Statutory Basis the COVID–19 pandemic that would earlier in the year, some test centers otherwise result if the temporary have re-opened, but are operating at FINRA believes that the proposed rule amendments were to expire on April 30, limited capacity or are only delivering change is consistent with the provisions 2021. certain examinations that have been of Section 15A(b)(6) of the Act,19 which C. Self-Regulatory Organization’s deemed essential by the local requires, among other things, that 22 Statement on Comments on the government. However, on February FINRA rules must be designed to 24, 2021, FINRA began providing the prevent fraudulent and manipulative Proposed Rule Change Received From Members, Participants, or Others General Securities Principal (Series 24) acts and practices, to promote just and and Operations Professional (Series 99) equitable principles of trade, and, in Written comments were neither examinations online through an interim general, to protect investors and the solicited nor received. accommodation request process.23 Prior public interest. III. Date of Effectiveness of the to this change, if individuals wanted to The proposed rule change is intended Proposed Rule Change and Timing for take these qualifying examinations, they to minimize the impact of COVID–19 on Commission Action were required to accept the health risks firm operations by further extending the associated with taking an in-person 120-day period certain individuals may Because the foregoing proposed rule examination. Even with the expansion function as a principal or Operations change does not: (i) Significantly affect of online qualifications examinations, Professional without having the protection of investors or the public FINRA stated that extending the successfully passed an appropriate interest; (ii) impose any significant expiration date of the relief set forth in qualification examination under FINRA burden on competition; and (iii) become the Temporary Qualification Rules 1210.04 and 1220(b)(3)(B) until operative for 30 days from the date on Examination Relief Filings until June June 30, 2021. The proposed rule which it was filed, or such shorter time 30, 2021 is still needed. FINRA stated change does not relieve firms from as the Commission may designate, it has that this temporary relief will provide maintaining, under the circumstances, a become effective pursuant to Section 20 flexibility to allow individuals who reasonably designed system to supervise 19(b)(3)(A) of the Act and Rule 19b– 21 have been designated to function in a the activities of their associated persons 4(f)(6) thereunder. principal or Operations Professional to achieve compliance with applicable A proposed rule change filed under capacity sufficient time to schedule, securities laws and regulations, and Rule 19b–4(f)(6) normally does not study for and take the applicable with applicable FINRA rules that become operative for 30 days after the examination before the temporary relief directly serve investor protection. In a date of filing. However, pursuant to expires. Notably, FINRA stated that it time when faced with unique challenges Rule 19b–4(f)(6)(iii), the Commission does not anticipate providing any resulting from the COVID–19 pandemic, may designate a shorter time if such further extensions to the temporary FINRA believes that the proposed rule action is consistent with the protection amendments and that any individuals change is a sensible accommodation of investors and the public interest. designated to function as a principal or that will continue to afford firms the FINRA has asked the Commission to Operations Professional on or after ability to ensure that critical positions waive the 30-day operative delay so that March 3, 2021 will need to successfully are filled and client services the proposed rule change may become pass an appropriate qualification maintained, while continuing to serve operative immediately upon filing. As examination within 120 days. and promote the protection of investors noted above, FINRA stated that the conditions necessitating the temporary For these reasons, the Commission and the public interest in this unique relief continue to exist and the proposed believes that waiver of the 30-day environment. extension of time will help minimize operative delay is consistent with the B. Self-Regulatory Organization’s the impact of the COVID–19 outbreak on protection of investors and the public Statement on Burden on Competition FINRA member firms’ operations by interest.24 Accordingly, the Commission FINRA does not believe that the allowing them to keep principal and temporary proposed rule change will Operations Professional positions filled 22 See supra notes 12 and 13. FINRA states that Prometric has also had to close some reopened test result in any burden on competition that and minimizing disruptions to client services and other critical centers due to incidents of COVID–19 cases. is not necessary or appropriate in 23 See supra note 12 (including the February 24, furtherance of the purposes of the Act. responsibilities. Despite signs of 2021 announcement of the interim accommodation As set forth in the Temporary process for candidates to take certain examinations, 20 Qualification Examination Relief 15 U.S.C. 78s(b)(3)(A). including the General Securities Principal (Series 21 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 24) and Operations Professional (Series 99) 4(f)(6)(iii) requires a self-regulatory organization to examinations, online. 18 FINRA notes that waiver of the 30-day give the Commission written notice of its intent to 24 As noted above by FINRA, this proposal is an operative period here is consistent with the file the proposed rule change, along with a brief extension of temporary relief provided in the Commission’s previous waivers of the operative description and text of the proposed rule change, Temporary Qualification Examination Relief Filings period for the temporary relief provided in the at least five business days prior to the date of filing where FINRA also requested and the Commission Temporary Qualification Examination Relief of the proposed rule change, or such shorter time granted a waiver of the 30-day operative delay. See Filings. See supra notes 10 and 11. as designated by the Commission. FINRA has SR–FINRA–2020–026, 85 FR at 55538 and SR– 19 15 U.S.C. 78o–3(b)(6). satisfied this requirement. FINRA–2020–043, 85 FR at 81260.

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hereby waives the 30-day operative business days between the hours of received no comments on the proposed delay and designates the proposal 10:00 a.m. and 3:00 p.m. Copies of such rule changes. On February 19, 2021, operative upon filing.25 filing also will be available for each Exchange filed Amendment No. 1 At any time within 60 days of the inspection and copying at the principal to its proposed rule change.5 On April filing of the proposed rule change, the office of FINRA. All comments received 5, 2021, each Exchange filed Commission summarily may will be posted without change. Persons Amendment No. 2 to its proposed rule temporarily suspend such rule change if submitting comments are cautioned that change.6 This order provides notice of it appears to the Commission that such we do not redact or edit personal the filings of Amendment Nos. 1 and 2 action is necessary or appropriate in the identifying information from comment to each of the proposed rule changes, public interest, for the protection of submissions. You should submit only and grants approval of the proposed rule investors, or otherwise in furtherance of information that you wish to make changes, each as modified by the purposes of the Act. If the available publicly. All submissions Amendment Nos. 1 and 2, on an Commission takes such action, the should refer to File Number SR–FINRA– accelerated basis. Commission shall institute proceedings 2021–005 and should be submitted on II. Description of the Proposed Rule to determine whether the proposed rule or before May 5, 2021. should be approved or disapproved. Changes, as Modified by Amendment For the Commission, by the Division of Nos. 1 and 2 IV. Solicitation of Comments Trading and Markets, pursuant to delegated authority.26 A. Background Interested persons are invited to J. Matthew DeLesDernier, submit written data, views and As more fully set forth in the Notices Assistant Secretary. arguments concerning the foregoing, and their respective co-location fee [FR Doc. 2021–07595 Filed 4–13–21; 8:45 am] schedules, the Exchanges offer co- including whether the proposed rule 7 change is consistent with the Act. BILLING CODE 8011–01–P location customers (‘‘Users’’) different Comments may be submitted by any of the following methods: 12); 91155 (February 18, 2021), 86 FR 11350 (SR– SECURITIES AND EXCHANGE NYSEAMER–2021–08); 91158 (February 18, 2021), Electronic Comments COMMISSION 86 FR 11367 (SR–NYSENAT–2021–03); 91156 (February 18, 2021), 86 FR 11356 (SR–NYSEArca– • Use the Commission’s internet [Release No. 34–91515; File Nos. SR–NYSE– 2021–11); and 91157 (February 18, 2021), 86 FR comment form (http://www.sec.gov/ 2021–12, SR–NYSEAMER–2021–08, SR– 11361 (SR–NYSECHX–2021–02) (each, a ‘‘Notice’’). NYSENAT–2021–03, SR–NYSEArca–2021– For ease of reference, page citations are to the rules/sro.shtml); or Notice for NYSE–2021–12. • 11, SR–NYSECHX–2021–02] Send an email to rule-comments@ 5 Amendment No. 1 revises the proposals to: (i) sec.gov. Please include File Number SR– Provide additional explanation for why the FINRA–2021–005 on the subject line. Self-Regulatory Organizations; New Exchanges believe it is reasonable to integrate the York Stock Exchange LLC; NYSE procedures for the allocation of power with the Paper Comments American LLC; NYSE National, Inc.; procedures for the allocation of cabinets; (ii) clarify • that a User may not increase its order on the Send paper comments in triplicate NYSE Arca, Inc.; NYSE Chicago, Inc.; Cabinet Waitlist or Combined Waitlist to a size that to Secretary, Securities and Exchange Notice of Filing of Amendment Nos. 1 would exceed the Cabinet Limits or Combined Commission, 100 F Street NE, and 2 and Order Granting Accelerated Limits, as applicable; and (iii) correct typographical Washington, DC 20549–1090. Approval of Proposed Rule Changes, errors. Amendment No 1 for each filing is available Each as Modified by Amendment Nos. on the Commission’s website at: https:// All submissions should refer to File www.sec.gov/comments/sr-nyse-2021-12/ Number SR–FINRA–2021–005. This file 1 and 2, to Establish Procedures for srnyse202112-8393729-229404.pdf; https:// number should be included on the the Allocation of Power in Co-Location www.sec.gov/comments/sr-nyseamer-2021-08/ subject line if email is used. To help the When Availability Falls Below Certain srnyseamer202108-8393752-229406.pdf; https:// Thresholds www.sec.gov/comments/sr-nysenat-2021-03/ Commission process and review your srnysenat202103-8394067-229408.pdf; https:// comments more efficiently, please use April 8, 2021. www.sec.gov/comments/sr-nysearca-2021-11/ only one method. The Commission will srnysearca202111-8393756-229407.pdf; https:// I. Introduction www.sec.gov/comments/sr-nysechx-2021-02/ post all comments on the Commission’s srnysechx202102-8394068-229409.pdf. For ease of internet website (http://www.sec.gov/ On February 4, 2021, New York Stock reference, page citations to Amendment No. 1 are rules/sro.shtml). Copies of the Exchange LLC, NYSE American LLC, to NYSE–2021–12 Amendment No. 1. submission, all subsequent NYSE National, Inc., NYSE Arca, Inc., 6 Amendment No. 2 revises a portion of the amendments, all written statements proposed text of General Note 8 to state more and NYSE Chicago, Inc. (the clearly that the Combined Waitlist would cease to with respect to the proposed rule ‘‘Exchanges’’) each filed with the be in effect when unallocated power capacity is 100 change that are filed with the Securities and Exchange Commission kW or more, and at the time, the Cabinet Waitlist Commission, and all written (‘‘Commission’’), pursuant to Section would apply if cabinet inventory is 10 or fewer communications relating to the cabinets. Amendment No. 2 for each filing is 19(b)(1) of the Securities Exchange Act available on the Commission’s website at: https:// 1 proposed rule change between the of 1934 (‘‘Act’’) and Rule 19b–4 www.sec.gov/comments/sr-nyse-2021-12/ Commission and any person, other than thereunder,2 a proposed rule change to srnyse202112-8393729-229404.pdf; https:// those that may be withheld from the establish procedures for the allocation www.sec.gov/comments/sr-nyseamer-2021-08/ public in accordance with the of power in co-location if the Exchanges srnyseamer202108-8393752-229406.pdf; https:// www.sec.gov/comments/sr-nysenat-2021-03/ 3 provisions of 5 U.S.C. 552, will be cannot satisfy all User demand. Each srnysenat202103-8394067-229408.pdf; https:// available for website viewing and proposed rule change was published for www.sec.gov/comments/sr-nysearca-2021-11/ printing in the Commission’s Public comment in the Federal Register on srnysearca202111-8393756-229407.pdf; https:// Reference Room, 100 F Street NE, February 24, 2021.4 The Commission www.sec.gov/comments/sr-nysechx-2021-02/ srnysechx202102-8394068-229409.pdf. For ease of Washington, DC 20549, on official reference, page citations to Amendment No. 2 are 26 17 CFR 200.30–3(a)(12). to NYSE–2021–12 Amendment No. 2. 25 For purposes only of waiving the 30-day 1 15 U.S.C. 78s(b)(1). 7 For purposes of the Exchanges’ co-location operative delay, the Commission has considered the 2 17 CFR 240.19b–4. services, a ‘‘User’’ means any market participant proposed rule change’s impact on efficiency, 3 See infra note 7 for the definition of ‘‘User.’’ that requests to receive co-location services directly competition, and capital formation. See 15 U.S.C. 4 See Securities Exchange Act Release Nos. 91154 from the Exchange. See Securities Exchange Act 78c(f). (February 18, 2021), 86 FR 11345 (SR–NYSE–2021– Release Nos. 76008 (September 29, 2015), 80 FR

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options for purchasing cabinet space to propose to establish procedures for cabinets, with two partial cabinets house their servers and other equipment allocating power when cabinet counting as one dedicated cabinet).18 in co-location and meet their associated inventory (and associated Standard The Exchanges propose to amend power needs.8 Cabinets are offered as Cabinet Power) and/or power inventory General Note 7 to provide for limits on dedicated or partial cabinets, and Users fall below specified thresholds.14 power reservation and new purchases if are assessed an initial fee depending on the Cabinet Threshold and/or the Power B. Proposed Limits and Waitlist type of cabinet purchased, and a Threshold is reached. Procedures if Standard Cabinet Power monthly fee based on the number of If only the Cabinet Threshold is and/or Additional Power Fall Below kilowatts (‘‘kW’’) contracted for the reached, the following limits (‘‘Cabinet Specified Thresholds cabinet.9 Dedicated cabinets have a Limits’’) would apply: (i) All Users with standard power allocation of either 4 The Exchanges represent that Users PNU cabinets would be required to kW or 8 kW (the ‘‘Standard Cabinet have had an unprecedented demand for either convert their PNU cabinets into Power’’). Partial cabinets, which are power, largely driven by the demands dedicated cabinets or relinquish their available in increments of eight-rack caused by volatile market conditions PNU cabinets; and (ii) the Exchanges units of space, may be allocated 1 or 2 related to the COVID–19 pandemic and would cease offering or providing new kW. For dedicated cabinets a User may higher than usual trading volumes.15 PNU cabinets to all Users and Users request power upgrades in excess of The further state that they are currently would not be permitted to convert a Standard Cabinet Power. A User may working to expand the amount of power currently used dedicated cabinet to a request that such additional power and number of cabinets available in co- PNU cabinet.19 As a result, the space (‘‘Additional Power’’) be allocated to a location.16 Although current procedures and power reserved for PNU cabinets cabinet when it is first set up or later. address the potential for cabinet space would be available for active use, and a A User with a dedicated cabinet, for to become limited, they do not address User would be prevented from reserving example, may develop its infrastructure the potential for power in co-location to but not using this resource when other in a manner that allows for Additional become limited due to heightened Users are subject to purchasing limits.20 Power without need for an additional demand for (i) cabinets and associated In addition, new cabinet purchases cabinet (e.g., by overhauling wiring, Standard Cabinet Power and/or (ii) would be limited, to a maximum of four circuitry and hardware to permit the Additional Power.17 The Exchanges dedicated cabinets (which may be dedicated cabinet to handle the now propose to establish procedures to comprised of dedicated and partial increased power).10 address this possibility. cabinets, with two partial cabinets The Exchanges also offer cabinets that Specifically, the Exchanges propose to counting as one dedicated cabinet), as is do not have power: Cabinets for which amend General Notes 7 and 8 on their currently the case. power is not utilized (‘‘PNU respective fee schedules to supplement If only the Power Threshold is cabinets’’).11 PNU cabinets are reserved existing cabinet allocation procedures reached, or both the Cabinet Threshold cabinet space that are not active and can with power allocation procedures. As and the Power Threshold are reached, be converted to a powered, dedicated further explained in Amendment No. 1, then ‘‘Combined Limits’’ would apply: cabinet when the User requests it. a shortage in power or a shortage in both (i) All Users with PNU cabinets Although PNU cabinets do not use power and cabinets could impede the similarly would be required to either power, when the Exchanges establish a ability of the Exchanges to satisfy User convert their PNU cabinets into PNU cabinet, they allocate unused demand for cabinets (which come with dedicated cabinets or relinquish their power capacity to it, depending on the Standard Cabinet Power) and/or PNU Cabinets; (ii) the Exchanges User’s requirements. The allocated Additional Power. Accordingly, the similarly would cease offering or power is kept in reserve for the PNU proposed procedures establish power providing new PNU cabinets to all Users cabinet, and, upon the User’s request, allocation procedures when (i) cabinet and Users would not be permitted to the PNU cabinet may be powered and inventory falls to 40 cabinets or fewer convert a currently used dedicated used promptly. (the ‘‘Cabinet Threshold’’), and/or (ii) cabinet to a PNU cabinet. As a result, The Exchanges currently have in total power inventory falls to 350 kW or the space and power reserved for PNU place general measures for the below (the ‘‘Power Threshold’’). cabinets would be available for active conversion of PNU cabinets if such General Note 7 currently provides that use, and a User would be prevented reserved cabinet space is needed for if the Cabinet Threshold is reached, a from reserving but not using this 12 use, and procedures for allocating User would be required to convert or resource when other Users are subject to cabinet space should cabinet inventory relinquish its PNU cabinets before purchasing limits. 21 In addition if the fall and remain below specified purchasing new cabinets, and limit its 13 Combined Limits are in effect, then a thresholds. The Exchanges now purchase of new cabinets (dedicated User may purchase either or both of the and partial) to a maximum of four following, so long as the combined 60190 (October 5, 2015) (SR–NYSE–2015–40); dedicated cabinets (which may be 76009 (September 29, 2015), 80 FR 60213 (October power usage of such purchases is no 5, 2015) (SE–NYSEMKT–2015–67); 83351 (May 31. comprised of dedicated and partial more than a maximum of 32 kW: (A) 2018), 83 FR 26314 (June 6, 2018) (SR–NYSENAT– New cabinets (dedicated and partial), 2018–07); 76010 (September 29, 2015), 80 FR 60197 2020) (SR–NYSE–2020–73, SR–NYSEAMER–2020– subject to a maximum of four dedicated (October 5, 2015) (SR–NYSEArca–2015–82); and 66, SR–NYSEArca–2020–82, SR–NYSECHX–2020– 87408 (October 28, 2019), 84 FR 58778 (November 26, and SR–NYSENAT–2020–28) (Notice of Filings cabinets with standard power 1, 2019) (SR–NYSECHX–2019–27). of Amendment No. 1 and Order Granting Approval 8 See Notice, supra note 4 at 11346. See also, e.g., of Proposed Rule Changes, Each as Modified by 18 See supra note 13. NYSE Price List, available at: https:// Amendment No. 1, Amending the Exchanges’ Co- 19 The Exchange will notify each User with a PNU www.nyse.com/publicdocs/nyse/markets/nyse/ Location Services To Establish Procedures for the cabinet that the User has 30 business days to decide _ _ NYSE Price List.pdf. Allocation of Cabinets to Co-Located Users if whether to contract to convert the PNU cabinet to 9 See Notice, supra note 4 at 11346. Cabinet Inventory Falls Below Certain Thresholds). a dedicated cabinet. If the User does not contract 10 Id. 14 See Notice, supra note 4 at 11346. to use the PNU cabinet as a dedicated cabinet 11 Id. 15 Id. within such time, the PNU cabinet will be 12 See Notice, supra note 4 at 11346 and n. 10. 16 Id. relinquished. See Notice, supra note 4 at 11347. 13 See Securities Exchange Act Release No. 90732 17 See Notice, supra note 4 at 11346 and 20 See Notice, supra note 4 at 11347, 11349. (December 18, 2020), 85 FR 84443 (December 28, Amendment No. 1 at 2–3. 21 See id.

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allocations of 4 kW or 8 kW, or (B) size it requested in its order; (vii) a User would cease use of the Combined Additional Power for new or existing may turn down an Exchange’s offer of Waitlist when unallocated power cabinets. 22 a cabinet of a different size than the capacity it 100 kW or more; if at that Amended General Note 7 would also User requested in its order and remain time the unallocated cabinet inventory specify that when the number of at the top of the waitlist until its order is 10 or fewer cabinets, the Cabinet available cabinets is greater than 40 is completed.; and (viii) a User that is Waitlist would enter into effect.27 (above the Cabinet Threshold), the removed from the Cabinet Waitlist but Cabinet Limits would cease to apply, III. Discussion and Commission subsequently submits a new written Findings and when the available power is greater order for cabinets would be added to the than 350 kW (above the Power bottom of the Cabinet Waitlist.24 The After careful review, the Commission Threshold), the Combined Limits would Exchanges would cease use of the finds that the proposed rule changes, cease to apply.23 Cabinet Waitlist when unallocated each as modified by Amendment Nos. 1 General Note 8 currently sets forth cabinet inventory is more than 10 and 2 are consistent with the waitlist procedures if cabinet inventory cabinets.25 requirements of the Act and the rules falls to zero. The Exchanges propose to and regulations thereunder applicable to amend General Note 8 to provide for Similarly, if unallocated power a national securities exchange.28 In both a ‘‘Cabinet Waitlist’’ and capacity is zero (or if a User requests, in particular, the Commission finds that ‘‘Combined Waitlist.’’ Specifically, if writing, an amount of power (whether the proposed rule changes, each is cabinet inventory is zero (or a User Standard Cabinet Power or Additional modified by Amendment Nos. 1 and 2, requests, in writing, a number of Power) that, if provided, would cause are consistent with Section 6(b)(5) of the cabinets that, if provided, would cause the unallocated power capacity to be Act,29 which requires that the rules of the available inventory to be zero), then below zero) then a Combined Waitlist a national securities exchange be a Cabinet Waitlist would be initiated. If would be initiated. If a Combined designed, among other things, to a Cabinet Waitlist is in effect, then the Waitlist is in effect, then, operating in prevent fraudulent and manipulative following will apply: (i) Users will be substantially the same manner as the acts and practices, to promote just and required to either convert their PNU Cabinet Waitlist, the following would equitable principles of trade, to remove cabinets into dedicated cabinets or apply: (i) All Users with PNU cabinets impediments to and perfect the relinquish their PNU cabinets; (ii) a will be required to either convert their mechanism of a free and open market User would be placed on the Cabinet PNU cabinets into dedicated cabinets or and a national market system and, in Waitlist based on the date its signed relinquish their PNU cabinets; (ii) A general, to protect investors and the order is received and may only have one User would be placed on the Combined public interest, and not be designed to order for new cabinets at a time; (iii) a Waitlist based on the date its signed permit unfair discrimination between User may change the size of its cabinet order for cabinets and/or Additional customers, issuers, brokers or dealers. order while it is on the Cabinet Waitlist, Power is received, and may only have The Exchanges propose rational provided that the User may not increase one order on the Combined Waitlist at objective procedures to address the size of its order such that it would a time; (iii) a User may change the size circumstances in which the supply of exceed the Cabinet Limits; (iv) as of its order while it is on the Combined available power in co-location becomes cabinets become available, the Waitlist, provided that the User may not limited due to heightened demand for Exchanges would offer them to the User increase the size of its order such that Standard Cabinet Power and/or at the top of the waitlist; (v) a User it would exceed the Combined Limits; Additional Power. As the Exchanges would be removed from the Cabinet (iv) as Additional Power and/or cabinets work to expand the amount of power Waitlist when its order is completed become available, the Exchanges would and number of cabinets available in co- and would remain at the top of the offer them to the User at the top of the location to address unprecedented Cabinet Waitlist if its order is not waitlist; (vi) a User would be removed demand, the establishment of allocation completed; (vi) a User would be from the Combined Waitlist when its procedures when the proposed removed from the Cabinet Waitlist (a) at order is completed and would remain at thresholds are crossed offers a the User’s request or (b) if the User turns the top of the Combined Waitlist if its reasonable buffer that would allow for down an offer of a cabinet of the same order is not completed; (vi) a User limited purchases of Standard Cabinet would be removed from the Combined Power or Additional Power before a 22 See Notice, supra note 4 at 11347. The Waitlist (a) at the User’s request or (b) waitlist is initiated. The Commission purchase may be comprised of a mix of dedicated if the Exchange User turns down an believes that the proposed Cabinet and partial cabinets, with two partial cabinets offer of the same size it requested in its Limits and Combined Limits are counting as one dedicated cabinet. Id. Consistent with current procedures, the Exchanges propose order; (vii) if the Exchange offers the reasonably designed to facilitate an that a User will have to wait 30 days from the date User an offer that is different than its equitable distribution if the cabinet of its signed order form before purchasing new order, the User may turn down the offer inventory or power supply are cabinets or Additional Power again. Also consistent and remain at the top of the waitlist insufficient to fully satisfy User with current procedure, the Exchanges propose that if a User requests, in writing, a number of new until its order is completed.; (viii) a demand, and are not designed to permit cabinets and/or an amount of Additional Power User that is removed from the Combined unfair discrimination between that, if provided, would cause the unallocated Waitlist but subsequently submits a new customers, issuers, brokers or dealers. power capacity to be below the Power Threshold or written order would be added to the Further, the proposed Cabinet Waitlist Cabinet Threshold, the Combined Limits would 26 apply only to the portion of the User’s order below bottom of the waitlist. The Exchanges the relevant threshold. Id. not be created, and the Combined Waitlist will 23 See Notice, supra note 4 at 11347. If the 24 See Notice, supra note 4 at 11347. continue in effect. Id. Cabinet Threshold is reached before the Power 25 Id. 27 See Amendment No. 2. Threshold, the Cabinet Limits will be in effect until 26 See Notice, supra note 4 at 11347. If a Cabinet 28 In approving this proposed rule change, as the Power Threshold is reached, after which the Waitlist exists when the requirements to create a modified by Amendment Nos. 1 and 2, the Combined Limits will apply. Id. If the Combined Combined Waitlist are met, the Cabinet Waitlist Commission notes that it has considered the Limits are discontinued when unallocated cabinet will convert to the Combined Waitlist. If a proposed rule’s impact on efficiency, competition, inventory is 40 or fewer cabinets, the Cabinet Limits Combined Waitlist exists when the requirements to and capital formation. See 15 U.S.C. 78c(f). would enter into effect. Id. create a Cabinet Waitlist are met, a new waitlist will 29 15 U.S.C. 78f(b)(5).

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and Combined Waitlist are reasonably business days between the hours of proposed rule changes (SR–NYSE– designed to facilitate an equitable 10:00 a.m. and 3:00 p.m. Copies of the 2021–12, SR–NYSEAMER–2021–08, allocation of these resources while filing also will be available for SR–NYSENAT–2021–03, SR– preventing Users from utilizing the inspection and copying at the principal NYSEArca–2021–11, SR–NYSECHX– waitlist as a method to obtain a greater office of the Exchange. All comments 2021–02), each as modified by portion of the power available. When received will be posted without change. Amendment Nos. 1 and 2 be, and cabinets and power are no longer at or Persons submitting comments are hereby are, approved on an accelerated below the specified thresholds, the cautioned that we do not redact or edit basis. proposed limits and waitlists will cease personal identifying information from to apply. For the foregoing reasons, comment submissions. You should For the Commission, by the Division of Commission finds that the proposals, submit only information that you wish Trading and Markets, pursuant to delegated each as modified by Amendment Nos. 1 to make available publicly. All authority.32 and 2, are consistent with the Act. submissions should refer to File J. Matthew DeLesDernier, Numbers SR–NYSE–2021–12, SR– IV. Solicitation of Comments on Assistant Secretary. NYSEAMER–2021–08, SR–NYSENAT– Amendment Nos. 1 and 2 [FR Doc. 2021–07598 Filed 4–13–21; 8:45 am] 2021–03, SR–NYSEArca–2021–11, SR– BILLING CODE 8011–01–P Interested persons are invited to NYSECHX–2021–02 and should be submit written data, views, and submitted on or before May 5, 2021. arguments concerning the foregoing, SECURITIES AND EXCHANGE including whether Amendment Nos. 1 V. Accelerated Approval of Proposed COMMISSION and 2 to the proposed rule change is Rule Changes, Each as Modified by consistent with the Act. Comments may Amendment Nos. 1 and 2 be submitted by any of the following The Commission finds good cause to [Release No. 34–91505; File No. SR–MIAX– methods: approve the proposed rule changes, 2021–07] each as modified by Amendment Nos. 1 Electronic Comments and 2, prior to the 30th day after the Self-Regulatory Organizations: Miami • Use the Commission’s internet date of publication of notice of International Securities Exchange LLC; comment form (http://www.sec.gov/ Amendment Nos. 1 and 2 in the Federal Notice of Filing and Immediate rules/sro.shtml); or Effectiveness of a Proposed Rule • Register. Amendment No. 1. revises the Send an email to rule-comments@ proposals to: (i) Provide additional Change To Amend Its Fee Schedule sec.gov. Please include File Numbers explanation for why the Exchanges Regarding cPRIME Agency Order SR–NYSE–2021–12, SR–NYSEAMER– believe it is reasonable to integrate the Rebates 2021–08, SR–NYSENAT–2021–03, SR– procedures for the allocation of power NYSEArca–2021–11, SR–NYSECHX– with the procedures for the allocation of April 8, 2021. 2021–02 on the subject line. cabinets; (ii) clarify that a User may not Pursuant to the provisions of Section Paper Comments increase its order on the Cabinet 19(b)(1) of the Securities Exchange Act Waitlist or Combined Waitlist to a size 1 • Send paper comments in triplicate of 1934 (‘‘Act’’) and Rule 19b–4 that would exceed the Cabinet Limits or 2 to Secretary, Securities and Exchange thereunder, notice is hereby given that Combined Limits, as applicable; and Commission, 100 F Street NE, on March 26, 2021, Miami International (iii) correct typographical errors. Washington, DC 20549–1090. Securities Exchange LLC (‘‘MIAX’’ or Amendment No. 2 revises a portion of ‘‘Exchange’’) filed with the Securities All submissions should refer to File the proposed text of General Note 8 to Numbers SR–NYSE–2021–12, SR– and Exchange Commission state more clearly that the Combined (‘‘Commission’’) a proposed rule change NYSEAMER–2021–08, SR–NYSENAT– Waitlist would cease to be in effect 2021–03, SR–NYSEArca–2021–11, SR– as described in Items I and II below, when unallocated power capacity it 100 which Items have been prepared by the NYSECHX–2021–02. This file number kW or more, and at the time, the Cabinet Exchange. The Commission is should be included on the subject line Waitlist would apply if cabinet publishing this notice to solicit if email is used. To help the inventory is 10 or fewer cabinets. The Commission process and review your Commission believes that Amendment comments on the proposed rule change comments more efficiently, please use Nos. 1 and 2 provide additional clarity from interested persons. only one method. The Commission will and detail to the rule text and additional I. Self-Regulatory Organization’s post all comments on the Commission’s explanation for the basis of the internet website (http://www.sec.gov/ Statement of the Terms of Substance of proposal, thereby facilitating the the Proposed Rule Change rules/sro.shtml). Copies of the Commission’s ability to make the submission, all subsequent findings set forth above to approve the The Exchange is filing a proposal to amendments, all written statements proposal. amend the MIAX Options Fee Schedule with respect to the proposed rule Accordingly, pursuant to Section (the ‘‘Fee Schedule’’). change that are filed with the 19(b)(2) of the Exchange Act,30 the The text of the proposed rule change Commission, and all written Commission finds good cause to is available on the Exchange’s website at communications relating to the approve the proposed rule changes, http://www.miaxoptions.com/rule- proposed rule change between the each as modified by Amendment Nos. 1 Commission and any person, other than and 2, on an accelerated basis. filings, at MIAX’s principal office, and those that may be withheld from the at the Commission’s Public Reference public in accordance with the VI. Conclusion Room. provisions of 5 U.S.C. 552, will be It is therefore ordered, pursuant to available for website viewing and Section 19(b)(2) of the Act,31 that the printing in the Commission’s Public 32 17 CFR 200.30–3(a)(12). Reference Room, 100 F Street NE, 30 15 U.S.C. 78s(b)(2). 1 15 U.S.C. 78s(b)(1). Washington, DC 20549, on official 31 See id. 2 17 CFR 240.19b–4.

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II. Self-Regulatory Organization’s participation in a cPRIME Auction and The cPRIME mechanism is used for Statement of the Purpose of, and trading of cPRIME Orders is governed Complex Orders 9 on the Exchange’s Statutory Basis for, the Proposed Rule by Rule 515A, Interpretation and Strategy Book,10 with the cPRIME Change Policies .12.6 cPRIME Orders are mechanism operating in the same In its filing with the Commission, the processed and executed in the manner for processing and execution of Exchange included statements Exchange’s PRIME mechanism, the cPRIME Orders that is used for PRIME concerning the purpose of and basis for same mechanism that the Exchange uses Orders on the Simple Order Book. the proposed rule change and discussed to process and execute simple PRIME The Exchange proposes to amend any comments it received on the orders, pursuant to Exchange Rule footnote ‘‘*’’ in Section 1)a)iii) of the 7 proposed rule change. The text of these 515A. PRIME is a process by which a Fee Schedule to extend the waiver of statements may be examined at the Member may electronically submit for the contracts cap per leg for cPRIME places specified in Item IV below. The execution an order it represents as agent Agency Order rebates for all tiers under Exchange has prepared summaries, set (an ‘‘Agency Order’’) against principal the PCRP until June 30, 2021. Prior to forth in sections A, B, and C below, of interest and/or solicited interest. The a rule filing by the Exchange (described the most significant aspects of such Member that submits the Agency Order below), the Exchange limited the statements. (‘‘Initiating Member’’) agrees to cPRIME Agency Order Credit to be guarantee the execution of the Agency payable only to the first 1,000 contracts A. Self-Regulatory Organization’s Order by submitting a contra-side order per leg for each cPRIME Agency Order Statement of the Purpose of, and representing principal interest or in all tiers under the PCRP. On February Statutory Basis for, the Proposed Rule solicited interest (‘‘Contra-Side Order’’). 28, 2020, the Exchange filed, and the Change When the Exchange receives a properly Commission approved, the Exchange’s 1. Purpose designated Agency Order for Auction proposal to waive the 1,000 contracts processing, a request for response cap per leg for cPRIME Agency Order The Exchange proposes to amend the (‘‘RFR’’) detailing the option, side, size rebates for all tiers under the PCRP from Fee Schedule to extend the cap waiver and initiating price is broadcasted to March 1, 2020 until May 31, 2020.11 of 1,000 contracts per leg for complex MIAX participants up to an optional On May 29, 2020, the Exchange filed, 3 PRIME (‘‘cPRIME’’) Agency Order designated limit price. Members may and the Commission approved, the rebates for all tiers under the Priority submit responses to the RFR, which can Exchange’s proposal to extend the 4 Customer Rebate Program (‘‘PCRP’’) be either an Auction or Cancel (‘‘AOC’’) waiver of the 1,000 contracts cap per leg until June 30, 2021. order or an AOC eQuote. A cPRIME for cPRIME Agency Order rebates for all Background Auction is the price-improvement tiers under the PCRP from June 1, 2020 mechanism of the Exchange’s System until July 31, 2020.12 On July 31, 2020, Exchange Rule 518(b)(7) defines a pursuant to which an Initiating Member the Exchange filed, and the Commission cPRIME Order as a type of complex electronically submits a complex approved, the Exchange’s proposal to order 5 that is submitted for Agency Order into a cPRIME Auction. extend the waiver of the 1,000 contracts The Initiating Member, in submitting an cap per leg for cPRIME Agency Order 3 ‘‘cPRIME’’ is the process by which a Member may electronically submit a ‘‘cPRIME Order’’ (as Agency Order, must be willing to either rebates for all tiers under the PCRP from defined in Rule 518(b)(7)) it represents as agent (a (i) cross the Agency Order at a single August 1, 2020 until August 31, 2020.13 ‘‘cPRIME Agency Order’’) against principal or price against principal or solicited On August 25, 2020, the Exchange filed, solicited interest for execution (a ‘‘cPRIME interest, or (ii) automatically match and the Commission approved, the Auction’’), subject to the restrictions set forth in Exchange Rule 515A, Interpretation and Policy .12. against principal or solicited interest, Exchange’s proposal to extend the See Exchange Rule 515A. the price and size of a RFR that is waiver of the 1,000 contracts cap per leg 4 Under the PCRP, MIAX credits each Member the broadcast to MIAX participants up to an for cPRIME Agency Order rebates for all per contract amount resulting from each Priority optional designated limit price. Such tiers under the PCRP from August 31, Customer order transmitted by that Member which 14 is executed electronically on the Exchange in all responses are defined as cPRIME AOC 2020 until December 31, 2020. On multiply-listed option classes (excluding, in simple Responses or cPRIME eQuotes. The December 21, 2020, the Exchange filed, or complex as applicable, QCC and cQCC Orders, PRIME mechanism is used for orders on and the Commission approved [sic], the mini-options, Priority Customer-to-Priority the Exchange’s Simple Order Book.8 Customer Orders, C2C and cC2C Orders, PRIME and 9 See supra, note 5. Mini-options may only be part cPRIME AOC Responses, PRIME and cPRIME of a complex order that includes other mini- Contra-side Orders, PRIME and cPRIME Orders for executing a particular investment strategy. A options. Only those complex orders in the classes which both the Agency and Contra-side Order are complex order can also be a ‘‘stock-option’’ order, designated by the Exchange and communicated to Priority Customers, and executions related to which is an order to buy or sell a stated number Members via Regulatory Circular with no more than contracts that are routed to one or more exchanges of units of an underlying security coupled with the the applicable number of legs, as determined by the in connection with the Options Order Protection purchase or sale of options contract(s) on the Exchange on a class-by-class basis and and Locked/Crossed Market Plan referenced in opposite side of the market, subject to certain communicated to Members via Regulatory Circular, Exchange Rule 1400), provided the Member meets contingencies set forth in the proposed rules are eligible for processing. See Exchange Rule certain percentage thresholds in a month as governing complex orders. For a complete 518(a)(5). described in the PCRP table. See Fee Schedule, definition of a ‘‘complex order,’’ see Exchange Rule 10 Section 1)a)iii. ‘‘Priority Customer’’ means a person 518(a)(5). See also Securities Exchange Act Release The ‘‘Strategy Book’’ is the Exchange’s or entity that (i) is not a broker or dealer in No. 78620 (August 18, 2016), 81 FR 58770 (August electronic book of complex orders and complex securities, and (ii) does not place more than 390 25, 2016) (SR–MIAX–2016–26). quotes. See Exchange Rule 518(a)(17). orders in listed options per day on average during 6 See Securities Exchange Act Release No. 81131 11 See Securities Exchange Act Release No. 88349 a calendar month for its own beneficial accounts(s). (July 12, 2017), 82 FR 32900 (July 18, 2017) (SR– (March 10, 2020), 85 FR 14995 (March 15, 2020) A ‘‘Priority Customer Order’’ means an order for the MIAX–2017–19) (Order Granting Approval of a (SR–MIAX–2020–05). account of a Priority Customer. See Exchange Rule Proposed Rule Change to Amend MIAX Options 12 See Securities Exchange Act Release No. 89035 100. Rules 515, Execution of Orders and Quotes; 515A, (June 9, 2020), 85 FR 36249 (June 15, 2020) (SR– 5 A ‘‘complex order’’ is any order involving the MIAX Price Improvement Mechanism (‘‘PRIME’’) MIAX–2020–12). concurrent purchase and/or sale of two or more and PRIME Solicitation Mechanism; and 518, 13 See Securities Exchange Act Release No. 89530 different options in the same underlying security Complex Orders). (August 12, 2020), 85 FR 50845 (August 18, 2020) (the ‘‘legs’’ or ‘‘components’’ of the complex order), 7 Id. (SR–MIAX–2020–26). for the same account, in a ratio that is equal to or 8 The ‘‘Simple Order Book’’ is the Exchange’s 14 See Securities Exchange Act Release No. 89771 greater than one-to-three (.333) and less than or regular electronic book of orders and quotes. See (September 4, 2020), 85 FR 55873 (September 10, equal to three-to-one (3.00) and for the purposes of Exchange Rule 518(a)(15). 2020) (SR–MIAX–2020–28).

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Exchange’s proposal to extend the pursuant to the PCRP.19 The Exchange options, no single exchange has more waiver of the 1,000 contracts cap per leg experienced a decrease in total market than 15% of the market share of for cPRIME Agency Order rebates for all share between the months of February executed volume of multiply-listed tiers under the PCRP from December 31, and March of 2019. Accordingly, the equity options trades for the month of 2020, until March 31, 2021.15 Exchange believes that the March 1, February 2021.23 Therefore, no The Exchange now proposes to extend 2019 fee change may have contributed exchange possesses significant pricing the cap waiver of 1,000 contracts per leg to the decrease in the Exchange’s market power in the execution of multiply- for cPRIME Agency Order rebates for all share and, as such, the Exchange listed equity and ETF options order tiers under the PCRP until June 30, believes competitive forces constrain flow. More specifically, for the month of 2021. The purpose of this proposed options exchange transaction and non- February 2021, the Exchange had a total change is for business and competitive transaction fees. market share of 4.04% of all equity options volume.24 reasons and to continue to entice market 2. Statutory Basis participants to submit larger-sized The Exchange believes that the ever- The Exchange believes that its cPRIME Agency Orders. shifting market shares among the proposal to amend its Fee Schedule is exchanges from month to month The Commission has repeatedly consistent with Section 6(b) of the Act 20 demonstrates that market participants expressed its preference for competition in general, and furthers the objectives of can shift order flow, or discontinue or over regulatory intervention in Section 6(b)(4) of the Act 21 in reduce use of certain categories of determining prices, products, and particular, in that it is an equitable products, in response to transaction services in the securities markets. In allocation of reasonable fees and other and/or non-transaction fee changes. For Regulation NMS, the Commission charges among its members and issuers example, on March 1, 2019, the highlighted the importance of market and other persons using its facilities. Exchange filed with the Commission an forces in determining prices and self- The Exchange also believes the proposal immediately effective filing to decrease regulatory organization (‘‘SRO’’) furthers the objectives of Section 6(b)(5) certain credits assessable to Members revenues and, also, recognized that of the Act in that it is designed to pursuant to the PCRP.25 The Exchange current regulation of the market system promote just and equitable principles of experienced a decrease in total market ‘‘has been remarkably successful in trade, to remove impediments to and share between the months of February promoting market competition in its perfect the mechanism of a free and and March of 2019. Accordingly, the broader forms that are most important to open market and a national market Exchange believes that the March 1, investors and listed companies.’’ 16 system, and, in general to protect 2019 fee change may have contributed There are currently 16 registered investors and the public interest and is to the decrease in the Exchange’s market options exchanges competing for order not designed to permit unfair share and, as such, the Exchange flow. Based on publicly-available discrimination between customers, believes competitive forces constrain information, and excluding index-based issuers, brokers and dealers. options exchange transaction and non- options, no single exchange has more The Exchange believes its proposal to transaction fees and market participants than 15% of the market share of extend the waiver of the cap of 1,000 can shift order flow based on fee executed volume of multiply-listed contracts per leg for cPRIME Agency changes instituted by the exchanges. equity options trades for the month of Order rebates for all tiers under the The Exchange believes that its February 2021.17 Therefore, no PCRP until June 30, 2021 provides for proposal to continue to waive the 1,000 exchange possesses significant pricing the equitable allocation of reasonable contracts cap per leg for cPRIME Agency power in the execution of multiply- dues and fees and is not unfairly Order rebates for all tiers in the PCRP listed equity options order flow. More discriminatory for the following until June 30, 2021 is reasonable, specifically, for the month of February reasons. The Exchange operates in a equitably allocated, and not unfairly 2021, the Exchange had a total market highly competitive market. The discriminatory because this change is share of 4.04% of all equity options Commission has repeatedly expressed for business and competitive reasons volume.18 its preference for competition over and available equally to all market The Exchange believes that the ever- regulatory intervention in determining participants. The Exchange cannot shifting market shares among the prices, products, and services in the predict with certainty whether any exchanges from month to month securities markets. In Regulation NMS, market participant would submit demonstrates that market participants the Commission highlighted the additional cPRIME Agency Orders in can shift order flow (as further importance of market forces in excess of 1,000 contracts per leg in light described below), discontinue, or determining prices and SRO revenues of the proposal to continue to waive the reduce use of certain categories of and, also, recognized that current cap of 1,000 contracts per leg for products, in response to transaction and regulation of the market system ‘‘has cPRIME Agency Order rebates for all non-transaction fee changes. For been remarkably successful in tiers under the PCRP, but believes that example, on March 1, 2019, the promoting market competition in its market participants would continue to broader forms that are most important to be encouraged to submit larger orders to Exchange filed with the Commission an 22 immediately effective filing to decrease investors and listed companies.’’ obtain the additional credits. The certain credits assessable to Members There are currently 16 registered Exchange believes that this proposed options exchanges competing for order change would encourage increased flow. Based on publicly-available 15 See Securities Exchange Act Release No. 90818 cPRIME Agency Order flow, which will (December 29, 2020), 86 FR 350 (January 5, 2021) information, and excluding index-based bring greater volume and liquidity to the (SR–MIAX–2020–40). Exchange, which benefits all market 16 See Securities Exchange Act Release No. 51808 19 See Securities Exchange Act Release No. 85301 participants by providing more trading (March 13, 2019), 84 FR 10166 (March 19, 2019) (June 9, 2005), 70 FR 37496 (June 29, 2005). opportunities and tighter spreads. 17 The OCC publishes options and futures volume (SR–MIAX–2019–09). in a variety of formats, including daily and monthly 20 15 U.S.C. 78f(b). volume by exchange, available at: https:// 21 15 U.S.C. 78f(b)(4) and (5). 23 See supra note 17. www.theocc.com/market-data/volume/default.jsp. 22 See Securities Exchange Act Release No. 51808 24 See id. 18 See id. (June 9, 2005), 70 FR 37496 (June 29, 2005). 25 See supra note 19.

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B. Self-Regulatory Organization’s specifically, for the month of February All submissions should refer to File Statement on Burden on Competition 2021, the Exchange had a total market Number SR–MIAX–2021–07. This file share of 4.04% of all equity options number should be included on the In accordance with Section 6(b)(8) of 28 the Act,26 the Exchange believes that the volume. subject line if email is used. To help the proposed rule changes would not In such an environment, the Exchange Commission process and review your impose any burden on competition that must continually adjust its transaction comments more efficiently, please use only one method. The Commission will are not necessary or appropriate in and non-transaction fees to remain post all comments on the Commission’s furtherance of the purposes of the Act. competitive with other exchanges and to internet website (http://www.sec.gov/ Instead, as discussed above, the attract order flow. The Exchange rules/sro.shtml). Copies of the Exchange believes that the proposed believes that the proposed rule change submission, all subsequent change would continue to encourage the reflects this competitive environment amendments, all written statements submission of additional liquidity to a because it continues to encourage with respect to the proposed rule public exchange, thereby promoting market participants to provide and send change that are filed with the market depth, price discovery and order flow to the Exchange. To the Commission, and all written transparency and enhancing order extent this is achieved, all the Exchange’s market participants should communications relating to the execution opportunities for all market proposed rule change between the participants. As a result, the Exchange benefit from the improved market quality. Commission and any person, other than believes that the proposed change those that may be withheld from the furthers the Commission’s goal in C. Self-Regulatory Organization’s public in accordance with the adopting Regulation NMS of fostering Statement on Comments on the provisions of 5 U.S.C. 552, will be integrated competition among orders. Proposed Rule Change Received From available for website viewing and The Exchange does not believe that Members, Participants, or Others printing in the Commission’s Public other market participants at the Written comments were neither Reference Room, 100 F Street NE, Exchange would be placed at a relative solicited nor received. Washington, DC 20549, on official disadvantage by the proposed change to business days between the hours of continue to waive the cap of 1,000 III. Date of Effectiveness of the 10:00 a.m. and 3:00 p.m. Copies of the contracts per leg for cPRIME Agency Proposed Rule Change and Timing for filing also will be available for Order rebates for all tiers under the Commission Action inspection and copying at the principal PCRP until June 30, 2021. The proposed The foregoing rule change has become office of the Exchange. All comments change is designed to attract additional effective pursuant to Section received will be posted without change. order flow to the Exchange. The 19(b)(3)(A)(ii) of the Act,29 and Rule Persons submitting comments are Exchange believes that this proposal 19b–4(f)(2) 30 thereunder. At any time cautioned that we do not redact or edit will continue to encourage Members to within 60 days of the filing of the personal identifying information from submit Priority Customer cPRIME proposed rule change, the Commission comment submissions. You should Agency Orders, which will increase summarily may temporarily suspend submit only information that you wish liquidity and benefit all market such rule change if it appears to the to make available publicly. All participants by providing more trading Commission that such action is submissions should refer to File opportunities and tighter spreads. necessary or appropriate in the public Number SR–MIAX–2021–07 and should Accordingly, the Exchange believes that interest, for the protection of investors, be submitted on or before May 5, 2021. the proposed change will not impose or otherwise in furtherance of the any burden on competition not For the Commission, by the Division of purposes of the Act. Trading and Markets, pursuant to delegated necessary or appropriate in furtherance authority.31 IV. Solicitation of Comments of the purposes of the Act because it J. Matthew DeLesDernier, will continue to encourage order flow, Interested persons are invited to Assistant Secretary. which provides greater volume and submit written data, views, and liquidity, benefiting all market [FR Doc. 2021–07594 Filed 4–13–21; 8:45 am] arguments concerning the foregoing, BILLING CODE 8011–01–P participants by providing more trading including whether the proposed rule opportunities and tighter spreads. change is consistent with the Act. The Exchange operates in a highly Comments may be submitted by any of SECURITIES AND EXCHANGE competitive market in which market the following methods: COMMISSION participants can readily favor competing venues if they deem fee levels at a Electronic Comments [Release No. 34–91503; File No. SR– particular venue to be excessive. There • Use the Commission’s internet NYSECHX–2021–05] are currently 16 registered options comment form (http://www.sec.gov/ Self-Regulatory Organizations; NYSE exchanges competing for order flow. rules/sro.shtml); or Chicago, Inc.; Notice of Filing and Based on publicly-available • Send an email to rule-comments@ Immediate Effectiveness of Proposed information, and excluding index-based sec.gov. Please include File Number SR– Rule Change To Amend Rule 7.37 options, no single exchange has more MIAX–2021–07 on the subject line. than 15% of the market share of April 8, 2021 Paper Comments executed volume of multiply-listed Pursuant to Section 19(b)(1) 1 of the equity options trades for the month of • Send paper comments in triplicate Securities Exchange Act of 1934 (the February 2021.27 Therefore, no to Secretary, Securities and Exchange ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 exchange possesses significant pricing Commission, 100 F Street NE, notice is hereby given that, on April 1 power in the execution of multiply- Washington, DC 20549–1090. listed equity options order flow. More 31 17 CFR 200.30–3(a)(12). 28 See id. 1 15 U.S.C. 78s(b)(1). 26 15 U.S.C. 78f(b)(8). 29 15 U.S.C. 78s(b)(3)(A)(ii). 2 15 U.S.C. 78a. 27 See supra note 17. 30 17 CFR 240.19b–4(f)(2). 3 17 CFR 240.19b–4.

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2021, the NYSE Chicago, Inc. (‘‘NYSE routes interest to a protected quotation, (‘‘Nasdaq’’) 8 and Cboe BZX Exchange, Chicago’’ or the ‘‘Exchange’’) filed with the Exchange adjusts the PBBO.5 The Inc. (‘‘BZX’’) 9 function. the Securities and Exchange Exchange proposes to amend its rules to Specifically, the Exchange proposes Commission (the ‘‘Commission’’) the include that description in Rule 7.37 that it would adjust its calculation of the proposed rule change as described in and provide additional specificity of PBBO upon receipt of a Day ISO Order Items I, II, and III below, which Items when it may adjust its calculation of the that the Exchange displays. As have been prepared by the self- PBBO. described in Rule 7.37(e)(3)(C), a Day regulatory organization. The ISO is eligible for the exception to As proposed, new paragraph (d)(2) of Commission is publishing this notice to locking or crossing a protected Rule 7.37 would provide: solicit comments on the proposed rule quotation because the member change from interested persons. The Exchange may adjust its calculation of organization simultaneously routes an I. Self-Regulatory Organization’s the PBBO based on information about orders ISO to execute against the full size of Statement of the Terms of Substance of it sends to Away Markets with protected any locked or crossed protection the Proposed Rule Change quotations, execution reports received from quotations, i.e., the member those Away Markets, and certain orders organization routes ISOs to trade with The Exchange proposes to amend received by the Exchange. contra-side protected quotations on Rule 7.37 to specify when the Exchange Away Markets that are priced equal to This proposed rule text is consistent may adjust its calculation of the PBBO. or better than the arriving Day ISO on with the Exchange’s disclosure in the The proposed rule change is available the Exchange. Because receipt of a Day on the Exchange’s website at Pillar Filing and adds specificity that ISO informs the Exchange that the www.nyse.com, at the principal office of the Exchange may adjust its calculation member organization has routed ISOs to the Exchange, and at the Commission’s of the PBBO based on execution reports trade with Away Market contra-side Public Reference Room. received from Away Markets and certain protected quotations priced equal to or II. Self-Regulatory Organization’s orders received by the Exchange.6 better than the Day ISO, upon receipt Statement of the Purpose of, and Proposed Rule 7.37(d)(2) is based on and displaying of a Day ISO, the Statutory Basis for, the Proposed Rule MEMX LLC (‘‘MEMX’’) Rule 13.4(b) Exchange proposes to adjust its Change with two non-substantive differences.7 calculation of the PBBO to exclude any In its filing with the Commission, the First, the Exchange proposes to use the contra-side protected quotations that are self-regulatory organization included term ‘‘PBBO,’’ which is the term used in priced equal to or better than the Day statements concerning the purpose of, the Exchange’s rules for the best-priced ISO. and basis for, the proposed rule change protected quotations, instead of • For example, if the best protected and discussed any comments it received ‘‘NBBO.’’ Second, the Exchange bid is 10.00, Exchange A is displaying on the proposed rule change. The text proposes to refer to ‘‘Away Markets,’’ a protected offer at 10.05, and Exchange of those statements may be examined at which is a defined term in Rule 1.1, B is displaying a protected offer at the places specified in Item IV below. instead of ‘‘other venues.’’ 10.09, the Exchange’s calculation of the The Exchange has prepared summaries, PBBO would be 10.00 × 10.05. If the set forth in sections A, B, and C below, MEMX has not disclosed Exchange receives a Day ISO for 100 of the most significant parts of such circumstances when ‘‘certain orders shares to buy priced at 10.05 that is statements. received by the Exchange’’ would result displayed on the Exchange at 10.05, the in an adjustment to its calculation of the Exchange would adjust its calculation of A. Self-Regulatory Organization’s PBBO, but the Exchange believes that the PBBO to be 10.05 × 10.09 and would Statement of the Purpose of, and the when MEMX receives an ISO with a Day Statutory Basis for, the Proposed Rule time in force (‘‘Day ISO’’), it adjusts its 8 Change See Nasdaq Rule 4703(j) (‘‘Upon receipt of an calculation of the PBBO. The Exchange ISO, the System will consider the stated price of the 1. Purpose proposes that it would also adjust its ISO to be available for other Orders to be entered at that price, unless the ISO is not itself accepted The Exchange proposes to amend calculation of the PBBO based on at that price level (for example, a Post-Only Order Rule 7.37 to specify when the Exchange receipt of a Day ISO, which is consistent that has its price adjusted to avoid executing against 4 with how Nasdaq Stock Market LLC an Order on the Nasdaq Book) or the ISO is not may adjust its calculation of the PBBO. Displayed.’’) and Securities Exchange Act Release Generally, the Exchange updates both No. 74558 (March 20, 2015) 80 FR 16050, 16068 the PBBO and NBBO based on quote (March 26, 2015) (SR–Nasdaq–2015–024) (Notice). updates received from data feeds from 9 See Securities Exchange Act Release No. 74074 Away Markets, which are disclosed in (January 15, 2015), 80 FR 3679, 3680 (January 23, Rule 7.37(d). In 2019, the Exchange 2015) (SR–BATS–2015–04) (Notice of filing and immediate effectiveness of proposed rule change to described in a rule filing that when it clarify the use of certain data feeds) (‘‘The 5 See Securities Exchange Act Release No. 86709 Exchange’s [matching engine] will update the 4 NBBO upon receipt of a Day ISO. When a Day ISO The term ‘‘PBBO’’ is defined in Rule 1.1 to mean (August 20, 2019), 84 FR 44654, 44657 (August 26, is posted on the BATS Book, the [matching engine] the Best Protected Bid and the Best Protected Offer, 2019) (SR–NYSENat–2018–02) (Notice of filing) which in turn mean the highest Protected Bid and uses the receipt of a Day ISO as evidence that the (‘‘Pillar Filing’’). the lowest Protected Offer, which refer to protected quotes have been cleared, and the ME quotations in an NMS stock that is (i) displayed by 6 The Exchange does not adjust its calculation of does not check away markets for equal or better- an Automated Trading Center; (ii) disseminated the NBBO based on information about orders sent priced protected quotes. . . . . In determining pursuant to an effective national market system to Away Markets, execution reports from Away whether to route an order and to which venue(s) it plan; and (iii) an Automated Quotation that is the Markets, or certain orders received by the Exchange. should be routed, the [routing engine] makes its best bid or best offer of a national securities Id. own calculation of the NBBO. . . . The [routing exchange or the best bid or best offer of a national engine] does not utilize Day ISO Feedback in 7 MEMX Rule 13.4(b) provides: ‘‘The Exchange securities association. The term NBBO is defined to constructing the NBBO; however, because all orders mean the national best bid and offer. The Exchange may adjust its calculation of the NBBO based on initially flow through the [matching engine], to the notes that the NBBO may differ from the PBBO information about orders sent to other venues with extent Day ISO Feedback has updated the [matching because the NBBO includes Manual Quotations, protected quotations, execution reports received engine’s] calculation of the NBBO, all orders which are defined as any quotation other than an from those venues, and certain orders received by processed by the [routing engine] do take Day ISO automated quotation. 17 CFR 242.600(b)(37). the Exchange.’’ Feedback into account.’’) (‘‘BZX Filing’’).

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use this updated PBBO for execution, Day ISO ALO to buy priced at 10.07 has impediments to and perfect the routing, and re-pricing determinations. represented that it has sent ISOs to trade mechanism of a free and open market If a Day ISO is displayed on the with protected offers on other exchanges and a national market system because it Exchange at a price less aggressive than priced at 10.07 or lower. The only is designed to promote clarity and its limit price (e.g., a Day ISO ALO that, reason that such order would not be transparency in Exchange rules of when if displayed at its limit price, would displayed at 10.07 on the Exchange is the Exchange may adjust its calculation lock displayed interest on the because it has an ALO modifier and of the PBBO. The Exchange believes that Exchange), the Day ISO still informs the cannot trade with the Exchange’s adjusting its calculation of the PBBO Exchange that the member organization displayed offer of 10.07. However, there based on receipt of a Day ISO is has routed ISOs to trade with contra- is no restriction on that Day ISO ALO consistent with Regulation NMS side protected quotations on Away being displayed at 10.06, which crosses because the member organization that Markets that are priced equal to or better the Away Market PBO of 10.05. The entered such Day ISO has also sent ISOs than the limit price of arriving Day ISO Exchange believes in this circumstance, to Away Markets to trade with contra- on the Exchange. The Exchange would it is consistent with Regulation NMS for side protected quotations priced equal therefore use the limit price of the Day the Exchange to consider that any Away to or better than the Day ISO. For the ISO ALO to determine how to adjust its Market protected offers priced 10.07 or same reasons that displaying a Day ISO calculation of the contra-side Away below have been cleared and therefore at a price that locks or crosses the PBBO Market PBBO, provided that contra-side adjust its calculation of the contra-side is consistent with Regulation NMS, the displayed interest on the Exchange Away Market PBBO for purposes of Exchange believes that adjusting its equal to the limit price of the Day ISO execution, routing, and repricing calculation of the PBBO based on ALO would not be considered cleared. determinations based on the limit price receipt and display of a Day ISO for The price at which the arriving Day ISO of the Day ISO ALO. purposes of making execution, routing, ALO would be displayed would be the The Exchange believes that the and repricing determinations for other price that informs the Exchange’s proposed amendments to Rule 7.37(d) orders is also consistent with Regulation calculation of the same-side PBBO. would promote clarity and transparency NMS. The Exchange further notes that For example, when the best protected in the Exchange’s rules regarding the proposed rule text is not novel and bid is 10.00 and Exchange A is circumstances when the Exchange may is based on MEMX Rule 13.4(b) and is displaying a protected offer at 10.05 and adjust its calculation of the PBBO. The consistent with Nasdaq rules and the the Exchange’s best displayed offer is Exchange does not believe this proposed BZX Filing. 10.07, the Exchange’s calculation of the rule change is novel. Rather, the B. Self-Regulatory Organization’s PBBO would be 10.00 × 10.05, then: Exchange believes that other equity • If the Exchange receives ALO ‘‘1’’ to exchanges that accept Day ISOs Statement on Burden on Competition buy at 10.06, it would be displayed at similarly adjust their calculation of the In accordance with Section 6(b)(8) of 10.04 and be assigned a working price best protected bid and best protected the Act,14 the Exchange believes that the of 10.05, which is the PBO (displayed offer for purposes of making execution, proposed rule change would not impose on Exchange A),10 and the Exchange routing, and repricing determinations any burden on competition that is not would adjust the PBBO to be 10.04 × based on the receipt of Day ISOs, as necessary or appropriate in furtherance 10.05. described above. The Exchange of the purposes of the Act. The • If next, the Exchange receives Day anticipates that it will implement the proposed rule changes are designed to ISO ALO ‘‘2’’ to buy at 10.07, the technology change to how it calculates promote transparency and clarity in Exchange would be permitted to display the PBBO in May 2021. Exchange rules regarding when the that order at a price that crosses 2. Statutory Basis Exchange may adjust its calculation of Exchange A’s PBO because it is a Day the PBBO. The Exchange believes that ISO. However, because it locks the The Exchange believes that the the proposed rule change would Exchange’s best displayed offer, due to proposal is consistent with Section 6(b) promote competition because the 12 its ALO modifier, the Exchange would of the Act, in general, and furthers the Exchange proposes to adjust its display Day ISO ALO ‘‘2’’ at 10.06 and objectives of Sections 6(b)(5) of the calculation of the PBBO under similar 13 it would have a working price of Act, in particular, because it is circumstances that other equity 10.06.11 In this scenario, the Exchange designed to prevent fraudulent and exchanges adjust their calculation of the proposes to adjust its calculation of the manipulative acts and practices, to PBBO, including MEMX, Nasdaq, and PBBO to be 10.06 × 10.07 and use this promote just and equitable principles of BZX. updated PBBO for execution, routing, trade, to foster cooperation and coordination with persons engaged in C. Self-Regulatory Organization’s and re-pricing determinations, Statement on Comments on the including repricing the ALO ‘‘1’’ to buy regulating, clearing, settling, processing information with respect to, and Proposed Rule Change Received From to both work and display at its limit Members, Participants, or Others price of 10.06. facilitating transactions in securities, to The Exchange believes that adjusting remove impediments to, and perfect the No written comments were solicited the PBBO in this manner is consistent mechanisms of, a free and open market or received with respect to the proposed with Regulation NMS because the and a national market system and, in rule change. member organization that submitted the general, to protect investors and the public interest and because it is not III. Date of Effectiveness of the Proposed Rule Change and Timing for 10 designed to permit unfair See Rule 7.31(e)(2)(B)(i). Commission Action 11 See Rule 7.31(e)(3)(D)(ii). Currently, the discrimination between customers, Exchange would display such Day ISO ALO ‘‘2’’ at issuers, brokers, or dealers. The Exchange has filed the proposed 10.06 and would adjust its calculation of the same- The Exchange believes that the rule change pursuant to Section side PBBO and reprice same-side resting orders to proposed rule change would remove 19(b)(3)(A)(iii) of the Act 15 and Rule the Day ISO price, but would not adjust its calculation of the contra-side PBBO for purposes of routing and execution determinations of new 12 15 U.S.C. 78f(b). 14 15 U.S.C. 78f(b)(8). orders. 13 15 U.S.C. 78f(b)(5). 15 15 U.S.C. 78s(b)(3)(A)(iii).

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19b–4(f)(6) thereunder.16 Because the change that are filed with the I. Self-Regulatory Organization’s proposed rule change does not: (i) Commission, and all written Statement of the Terms of Substance of Significantly affect the protection of communications relating to the the Proposed Rule Change investors or the public interest; (ii) proposed rule change between the impose any significant burden on Commission and any person, other than The Exchange is filing a proposal to competition; and (iii) become operative those that may be withheld from the amend Exchange Rule 404A, Select prior to 30 days from the date on which public in accordance with the Provisions of Options Listing it was filed, or such shorter time as the provisions of 5 U.S.C. 552, will be Procedures Plan. Commission may designate, if available for website viewing and The text of the proposed rule change consistent with the protection of printing in the Commission’s Public is available on the Exchange’s website at investors and the public interest, the Reference Room, 100 F Street NE, http://www.miaxoptions.com/rule- proposed rule change has become Washington, DC 20549 on official filings/pearl at MIAX Pearl’s principal effective pursuant to Section 19(b)(3)(A) business days between the hours of office, and at the Commission’s Public of the Act and Rule 19b–4(f)(6)(iii) 10:00 a.m. and 3:00 p.m. Copies of the Reference Room. thereunder. filing also will be available for II. Self-Regulatory Organization’s At any time within 60 days of the inspection and copying at the principal Statement of the Purpose of, and filing of such proposed rule change, the office of the Exchange. All comments Statutory Basis for, the Proposed Rule Commission summarily may received will be posted without change. Change temporarily suspend such rule change if Persons submitting comments are it appears to the Commission that such cautioned that we do not redact or edit In its filing with the Commission, the action is necessary or appropriate in the personal identifying information from Exchange included statements public interest, for the protection of comment submissions. You should concerning the purpose of and basis for investors, or otherwise in furtherance of submit only information that you wish the proposed rule change and discussed the purposes of the Act. If the to make available publicly. All any comments it received on the Commission takes such action, the submissions should refer to File proposed rule change. The text of these Commission shall institute proceedings Number SR–NYSECHX–2021–05, and statements may be examined at the under Section 19(b)(2)(B) 17 of the Act to should be submitted on or before May places specified in Item IV below. The determine whether the proposed rule 5, 2021. Exchange has prepared summaries, set change should be approved or For the Commission, by the Division of forth in sections A, B, and C below, of disapproved. Trading and Markets, pursuant to delegated the most significant aspects of such IV. Solicitation of Comments authority.18 statements. J. Matthew DeLesDernier, Interested persons are invited to A. Self-Regulatory Organization’s submit written data, views, and Assistant Secretary. Statement of the Purpose of, and arguments concerning the foregoing, [FR Doc. 2021–07592 Filed 4–13–21; 8:45 am] Statutory Basis for, the Proposed Rule including whether the proposed rule BILLING CODE 8011–01–P Change change is consistent with the Act. 1. Purpose Comments may be submitted by any of the following methods: SECURITIES AND EXCHANGE The Exchange proposes to amend COMMISSION Exchange Rule 404A, Select Provisions Electronic Comments of Options Listing Procedures Plan, to • [Release No. 34–91519; File No. SR– Use the Commission’s internet PEARL–2021–13] make a minor non-substantive change to comment form (http://www.sec.gov/ update a Uniform Resource Locator rules/sro.shtml); or Self-Regulatory Organizations; MIAX (‘‘URL’’) to point to the complete copy • Send an email to rule-comments@ PEARL, LLC; Notice of Filing and of the current Options Listings sec.gov. Please include File Number SR– Immediate Effectiveness of a Proposed Procedures Plan (‘‘OLPP’’) on the NYSECHX–2021–05 on the subject line. Rule Change To Amend Exchange Options Clearing Corporation (‘‘OCC’’) Paper Comments Rule 404A, Select Provisions of website. Options Listing Procedures Plan • Send paper comments in triplicate Currently, Exchange Rule 404A to Secretary, Securities and Exchange April 8, 2021. provides that, the provisions set forth in Commission, 100 F Street NE, Pursuant to Section 19(b)(1) of the this Rule 404A were adopted by the Washington, DC 20549–1090. Securities Exchange Act of 1934 (the Exchange as a quote mitigation strategy All submissions should refer to File ‘‘Act’’),1 and Rule 19b–4 thereunder,2 and are codified in the Options Listing Number SR–NYSECHX–2021–05. This notice is hereby given that on March 26, Procedures Plan (‘‘OLPP’’). The current file number should be included on the 2021, MIAX PEARL, LLC (‘‘MIAX Pearl’’ rule provides an invalid link to the subject line if email is used. To help the or the ‘‘Exchange’’) filed with the OLPP, stating that, A complete copy of Commission process and review your Securities and Exchange Commission the current OLPP may be accessed at: comments more efficiently, please use (‘‘Commission’’) the proposed rule http://www.optionsclearing.com/ components/docs/clearing/services/ only one method. The Commission will change as described in Items I and II _ _ _ post all comments on the Commission’s below, which Items have been prepared options listing procedures plan.pdf. internet website (http://www.sec.gov/ by the self-regulatory organization. The The Exchange notes that the current rules/sro.shtml). Copies of the Commission is publishing this notice to copy of the OLPP is no longer located submission, all subsequent solicit comments on the proposed rule at this URL and instead may be found amendments, all written statements change from interested persons. at https://www.theocc.com/Clearance- with respect to the proposed rule and-Settlement/Industry-Services. 18 17 CFR 200.30–3(a)(12). Therefore, the Exchange proposes to 16 17 CFR 240.19b–4(f)(6). 1 15 U.S.C. 78s(b)(1). remove the old invalid URL and replace 17 15 U.S.C. 78s(b)(2)(B). 2 17 CFR 240.19b–4. it with the current valid URL.

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2. Statutory Basis C. Self-Regulatory Organization’s subject line if email is used. To help the Statement on Comments on the Commission process and review your The Exchange believes that its Proposed Rule Change Received From comments more efficiently, please use proposed rule change is consistent with Members, Participants, or Others only one method. The Commission will Section 6(b) of the Act 3 in general, and Written comments were neither post all comments on the Commission’s furthers the objectives of Section 6(b)(5) solicited nor received. internet website (http://www.sec.gov/ of the Act 4 in particular, in that it is rules/sro.shtml). Copies of the designed to prevent fraudulent and III. Date of Effectiveness of the submission, all subsequent manipulative acts and practices, to Proposed Rule Change and Timing for amendments, all written statements promote just and equitable principles of Commission Action with respect to the proposed rule trade, to foster cooperation and Because the foregoing proposed rule change that are filed with the coordination with persons engaged in change does not: (i) Significantly affect Commission, and all written regulating, clearing, settling, processing the protection of investors or the public communications relating to the information with respect to, and interest; (ii) impose any significant proposed rule change between the facilitating transactions in securities, to burden on competition; and (iii) become Commission and any person, other than remove impediments to and perfect the operative for 30 days after the date of those that may be withheld from the mechanisms of a free and open market the filing, or such shorter time as the public in accordance with the and a national market system and, in Commission may designate, it has provisions of 5 U.S.C. 552, will be general, to protect investors and the become effective pursuant to Section available for website viewing and public interest. 19(b)(3)(A) of the Act 6 and Rule 19b– printing in the Commission’s Public 4(f)(6) 7 thereunder. Reference Room, 100 F Street NE, The proposed rule change will At any time within 60 days of the Washington, DC 20549 on official promote just and equitable principles of filing of the proposed rule change, the business days between the hours of trade, foster cooperation and Commission summarily may 10:00 a.m. and 3:00 p.m. Copies of the coordination with persons engaged in temporarily suspend such rule change if filing also will be available for regulating, clearing, settling, processing it appears to the Commission that such inspection and copying at the principal information with to, and facilitating action is necessary or appropriate in the office of the Exchange. All comments transaction in securities. Further, the public interest, for the protection of received will be posted without change. proposed rule change promotes the investors, or otherwise in furtherance of Persons submitting comments are protection of investors and the public the purposes of the Act. If the cautioned that we do not redact or edit interest by providing an accurate URL to Commission takes such action, the personal identifying information from where the public and investors may find Commission shall institute proceedings comment submissions. You should the current and complete copy of the to determine whether the proposed rule submit only information that you wish OLPP. It is in the public and investors should be approved or disapproved. to make available publicly. All submissions should refer to File interest for Exchange rules to be IV. Solicitation of Comments accurate and concise so as to avoid the Number SR–PEARL–2021–13 and potential for confusion. Interested persons are invited to should be submitted on or before May submit written data, views and 5, 2021. B. Self-Regulatory Organization’s arguments concerning the foregoing, For the Commission, by the Division of Statement on Burden on Competition including whether the proposed rule Trading and Markets, pursuant to delegated change is consistent with the Act. authority.8 The Exchange does not believe that Comments may be submitted by any of J. Matthew DeLesDernier, the proposed rule change will impose the following methods: any burden on competition that is not Assistant Secretary. necessary or appropriate in furtherance Electronic Comments [FR Doc. 2021–07602 Filed 4–13–21; 8:45 am] of the purposes of the Act. The • Use the Commission’s internet BILLING CODE 8011–01–P Exchange believes the proposed rule comment form (http://www.sec.gov/ change will not impose any burden on rules/sro.shtml); or intra-market competition as every • Send an email to rule-comments@ DEPARTMENT OF STATE Member of the Exchange benefits from sec.gov. Please include File Number SR– [Public Notice 11405] the location of the OLPP being corrected PEARL–2021–13 on the subject line. Notice of Updated Department of State in the Exchange’s rulebook. Paper Comments Additionally, the proposed rule change Public Guidance for the Protecting • Send paper comments in triplicate is similar to the rules of other Europe’s Energy Security Act (PEESA), 5 to Secretary, Securities and Exchange as Amended exchanges. Commission, 100 F Street NE, The Exchange does not believe that Washington, DC 20549–1090. ACTION: Notice. the proposed rule change will impose All submissions should refer to File SUMMARY: The Protecting Europe’s any burden on inter-market competition Number SR–PEARL–2021–13. This file Energy Security Act (PEESA) was as the proposed change is not a number should be included on the competitive filing and is being made amended by the FY21 National Defense Authorization Act (NDAA) on January 1, solely to correct an inaccurate URL. 6 15 U.S.C. 78s(b)(3)(A). 7 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 2021. The Department of State is issuing 4(f)(6) requires a self-regulatory organization to give updated, clarifying public guidance and the Commission written notice of its intent to file Frequently Asked Questions (FAQs) for the proposed rule change at least five business days 3 15 U.S.C. 78f(b). PEESA, as amended, on April 09, 2021, prior to the date of filing of the proposed rule 4 15 U.S.C. 78f(b)(5). change, or such shorter time as designated by the to provide public notice of the 5 See Nasdaq ISE Options 4, Section 6; and Cboe Commission. The Exchange has satisfied this Exchange Rule 4.7(a). requirement. 8 17 CFR 200.30–3(a)(12).

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Administration’s implementation of pipeline project, or any project that is a leased, or provided or facilitated selling, PEESA, as amended, and the range of successor to either such project; and (B) leasing, or providing those vessels [i.e., activities captured under the amended foreign persons that the Secretary of the vessels listed for having engaged in legislation. State, in consultation with the Secretary pipe-laying or pipe-laying activities at DATES: Applicable Date: The public of the Treasury, determines have depths of 100 feet or more below sea guidance and associated FAQs for knowingly: (i) Sold, leased or provided, level] for the construction of such a PEESA, as amended, is effective on or facilitated selling, leasing, or project.’’ Such projects include Nord April 9, 2021. providing those vessels for the Stream 2, TurkStream, or any project that is a successor to either such project. ADDRESSES: The Department of State construction of such a project; (ii) Section 7503(a)(1)(B)(i) covers foreign will publish the PEESA, as amended, facilitated deceptive or structured persons who provide or finance the public guidance and associated FAQs, transactions to provide those vessels for vessels and also covers certain forms of on its website, replacing the October the construction of such a project; (iii) support provided to the vessels not 2020 PEESA public guidance (https:// provided for those vessels underwriting services or insurance or reinsurance already covered under Sections www.state.gov/protecting-europes- 7503(a)(1)(B)(ii–v). energy-security-act-peesa/). necessary or essential for the completion of such a project; (iv) Additionally, Section 7503(a)(1)(B)(ii) FOR FURTHER INFORMATION CONTACT: covers foreign persons that the Secretary _ _ provided services or facilities for Email CAATSA PEESA of State, in consultation with the [email protected]. technology upgrades or installation of welding equipment for, or retrofitting or Secretary of the Treasury, determines SUPPLEMENTARY INFORMATION: tethering of, those vessels if the services have knowingly facilitated deceptive or Frequently Asked Questions on PEESA, or facilities are necessary or essential for structured transactions to provide those as Amended by the National Defense the completion of such a project; or (v) vessels for the construction of such a Authorization Act for FY2021 provided services for the testing, project. Such projects include Nord inspection, or certification necessary or Stream 2, TurkStream, or any project The Department of State is committed that is a successor to either such project. to fully implementing sanctions essential for the completion or operation of the Nord Stream 2 pipeline. Further, Sections 7503(a)(1)(B)(iii)–(v) authorities in the Protecting Europe’s cover foreign persons that the Secretary Energy Security Act of 2019 (‘‘PEESA’’ In addition, the FY2021 NDAA amendments to PEESA expanded the of State, in consultation with the or ‘‘the Act,’’ Title LXXV, National Secretary of the Treasury, determines Defense Authorization Act for Fiscal types of vessel activity subject to reporting requirements in Section have knowingly: Provided for those Year 2020, Pub. L. 116–92), as amended vessels underwriting services or on January 1, 2021 by the National 7503(a)(1)(A) from solely ‘‘pipe-laying’’ to also include ‘‘pipe-laying activities,’’ insurance or reinsurance necessary or Defense Authorization Act for FY2021 essential for the completion of any of (FY2021 NDAA), Public Law 116–283. which are defined in Section 7503(k)(5) as ‘‘activities that facilitate pipe-laying, the aforementioned projects; provided PEESA (Sec. 7503 of FY2020 NDAA), as services or facilities for technology amended (by FY2021 NDAA Sec. 1242). including site preparation, trenching, surveying, placing rocks, backfilling, upgrades or installation of welding We continue to call on Russia to cease equipment for, or retrofitting or using its energy resources for coercive stringing, bending, welding, coating, and lowering of pipe.’’ Furthermore, tethering of, those vessels if the services purposes. Russia uses its energy export or facilities are necessary or essential for pursuant to Section 7503(c), sanctions pipelines to create national and regional the completion of any of the are to be imposed on those foreign dependencies on Russian energy aforementioned projects; or provided persons that are determined to meet the supplies, leveraging these dependencies services for the testing, inspection, or criteria pursuant to Section to expand its political, economic, and certification necessary or essential for 7503(a)(1)(B)(i–v) of PEESA, as military influence, weaken European the completion or operation of the Nord amended, and who are not certified for security, and undermine U.S. national Stream 2 pipeline. security and foreign policy interests. wind-down under the applicable wind- These pipelines also reduce European down period and are not subject to the Q: Does PEESA provide for certain energy diversification, and hence exceptions under PEESA, as amended. activities to be excepted from sanctions? weaken European energy security. The amendments made to PEESA by the A: PEESA, as amended, includes a PEESA, as amended, provides the FY2021 NDAA require consultation number of exceptions specifying United States with the authority to with the governments of Norway, activities to which sanctions under advance U.S. national security and Switzerland, the United Kingdom, and PEESA shall not apply. For example, foreign policy objectives, in particular to member countries of the EU before pursuant to Section 7503(e)(3) of address Russian pipeline projects that imposing any sanctions. PEESA, as amended, sanctions under create risks to U.S. national security, Persons with additional questions are this section shall not apply with respect encouraged to contact the State threaten Europe’s energy security, and _ _ to a person providing provisions to a consequently, endanger Europe’s Department at CAATSA PEESA vessel identified under Section political and economic welfare. [email protected]. 7503(a)(1)(A) if such provisions are In accordance with PEESA Section Frequently Asked Questions intended for the safety and care of the 7503, as amended, the Secretary of crew aboard the vessel, the protection of State, in consultation with the Secretary Q: What conduct does Section human life aboard the vessel, or the of the Treasury, is to submit a report to 7503(a)(1)(B) of PEESA, as amended, maintenance of the vessel to avoid any Congress for the relevant period, cover? environmental or other significant identifying, among other things, (A) A: Section 7503(a)(1)(B)(i), as damage. vessels that engaged in pipe-laying or amended, requires that the report to Pursuant to Section 7503(e)(4) of pipe-laying activities at depths of 100 Congress include foreign persons that PEESA, as amended, sanctions under feet or more below sea level for the the Secretary of State, in consultation this section shall not apply with respect construction of the Nord Stream 2 with the Secretary of the Treasury, to a person for engaging in activities pipeline project, the TurkStream determines have knowingly ‘‘sold, necessary for or related to the repair or

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maintenance of, or environmental DEPARTMENT OF STATE DATES: March 1–31, 2021. remediation with respect to, Nord [Public Notice: 11395] ADDRESSES: Susquehanna River Basin Stream 2, TurkStream, or any project Commission, 4423 North Front Street, that is a successor to either such project. Notice of Determinations; Culturally Harrisburg, PA 17110–1788. Pursuant to Section 7503(e)(6) of Significant Objects Being Imported for FOR FURTHER INFORMATION CONTACT: PEESA, as amended, sanctions under Exhibition—Determinations: ‘‘The Jason E. Oyler, General Counsel and this section shall not apply with respect Buddha Transcendent’’ Exhibition Secretary to the Commission, telephone: to the European Union; the government (717) 238–0423, ext. 1312; fax: (717) SUMMARY: Notice is hereby given of the 238–2436; email: [email protected]. of Norway, Switzerland, the United following determinations: I hereby Kingdom or any member country of the Regular mail inquiries may be sent to determine that certain objects being the above address. European Union; or any entity of the imported from abroad pursuant to an SUPPLEMENTARY INFORMATION: This European Union or a government noted agreement with the foreign owner or notice lists the projects, described herein that is not operating as a business custodian for temporary display in the below, receiving approval for the enterprise. exhibition ‘‘The Buddha Transcendent’’ consumptive use of water pursuant to at the Museum of Fine Arts, Houston, in Q. How does the U.S. government plan the Commission’s approval by rule Houston, Texas and at possible to implement the wind-down specified process set forth in 18 CFR 806.22(f) for additional exhibitions or venues yet to in Section 1242(f) of the National the time period specified above: be determined, are of cultural Defense Authorization Act for Fiscal significance, and, further, that their Water Source Approval—Issued Under Year 2021 (NDAA)? temporary exhibition or display within 18 CFR 806.22(f) A: Upon passage of the FY2021 the United States as aforementioned is 1. Cabot Oil & Gas Corporation; Pad ID: NDAA on January 1, 2021, the in the national interest. I have ordered BenediktK P1; ABR–202102003; amendments made to PEESA pursuant that Public Notice of these Bridgewater Township, Susquehanna determinations be published in the to Section 1242(f) of the FY2021 NDAA County, Pa.; Consumptive Use of Up to Federal Register. 5.0000 mgd; Approval Date: March 1, immediately became effective. In 2021. accordance with the wind-down FOR FURTHER INFORMATION CONTACT: Chi D. Tran, Program Administrator, Office 2. SWN Production Company, LLC; Pad ID: provision in Section 1242(f) of the WY–18 WEST PAD; ABR–201510008.R1; of the Legal Adviser, U.S. Department of FY2021 NDAA, persons that were Eaton and Mehoopany Townships, State (telephone: 202–632–6471; email: knowingly engaged in conduct subject Wyoming County, Pa.; Consumptive Use [email protected]). The mailing to sanctions under the amendments to of Up to 4.9990 mgd; Approval Date: address is U.S. Department of State, PEESA would have needed to cease March 1, 2021. L/PD, SA–5, Suite 5H03, Washington, 3. SWN Production Company, LLC; Pad ID: construction-related activity or engage DC 20522–0505. GU–X SEYMOUR PAD; ABR– in good faith efforts to wind down SUPPLEMENTARY INFORMATION: The 201512010.R1; Stevens Township, sanctionable activity no later than 30 Bradford County; and Rush Township, foregoing determinations were made days after PEESA, as amended, became Susquehanna County; Pa.; Consumptive pursuant to the authority vested in me Use of Up to 4.9990 mgd; Approval Date: effective. That date was January 31, by the Act of October 19, 1965 (79 Stat. 2021. The wind-down provision in March 1, 2021. 985; 22 U.S.C. 2459), Executive Order 4. SWN Production Company, LLC; Pad ID: Section 1242(f) of the FY2021 NDAA is 12047 of March 27, 1978, the Foreign Hayes Well Pad; ABR–201202034.R2; not applicable to activities that were Affairs Reform and Restructuring Act of Silver Lake Township, Bradford County, already subject to sanctions under 1998 (112 Stat. 2681, et seq.; 22 U.S.C. Pa.; Consumptive Use of Up to 4.0000 Section 7503 of PEESA prior to the 6501 note, et seq.), Delegation of mgd; Approval Date: March 1, 2021. amendments in the FY2021 NDAA. Authority No. 234 of October 1, 1999, 5. SWN Production Company, LLC; Pad ID: Following the conclusion of the wind- and Delegation of Authority No. 236–3 Demento Pad; ABR–201102036.R2; Silver Lake Township, Bradford County, down period, the Secretary of State, in of August 28, 2000. Pa.; Consumptive Use of Up to 4.9900 consultation with the Secretary of the Matthew R. Lussenhop, mgd; Approval Date: March 2, 2021. Treasury, is required to impose 6. SWN Production Company, LLC; Pad ID: Acting Assistant Secretary, Bureau of sanctions on those foreign persons that Knapik Well Pad; ABR–201102033.R2; Educational and Cultural Affairs, Department Liberty Township, Susquehanna County, are determined to meet the criteria of State. Pa.; Consumptive Use of Up to 4.0000 pursuant to Section 7503(a)(1)(B)(i–v) of [FR Doc. 2021–07613 Filed 4–13–21; 8:45 am] PEESA, as amended, and who are not mgd; Approval Date: March 2, 2021. BILLING CODE 4710–05–P 7. BKV Operating, LLC; Pad ID: Yarasavage otherwise subject to the exceptions Well Pad; ABR–201102021.R2; under PEESA, as amended. Washington Township, Wyoming County, Pa.; Consumptive Use of Up to Virginia E. Palmer, SUSQUEHANNA RIVER BASIN COMMISSION 5.0000 mgd; Approval Date: March 2, Acting Assistant Secretary, Bureau of Energy 2021. Resources, Department of State. Projects Approved for Consumptive 8. Repsol Oil & Gas USA, LLC; Pad ID: [FR Doc. 2021–07662 Filed 4–13–21; 8:45 am] HARTNETT (05 097) R; ABR– Uses of Water 201010045.R2; Orwell and Warren BILLING CODE 4710–AE–P AGENCY: Susquehanna River Basin Townships, Bradford County, Pa.; Commission. Consumptive Use of Up to 6.0000 mgd; Approval Date: March 4, 2021. ACTION: Notice. 9. Rockdale Marcellus, LLC; Pad ID: Guillaume 715; ABR–201011002.R2; SUMMARY: This notice lists the projects Liberty Township, Tioga County, Pa.; approved by rule by the Susquehanna Consumptive Use of Up to 4.9900 mgd; River Basin Commission during the Approval Date: March 4, 2021. period set forth in DATES. 10. SWN Production Company, LLC; Pad ID:

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Herman Well Pad; ABR–201102035.R2; 375; ABR–201012053.R2; Union Consumptive Use of Up to 3.0000 mgd; Franklin Township, Susquehanna Township, Tioga County, Pa.; Approval Date: March 22, 2021. County, Pa.; Consumptive Use of Up to Consumptive Use of Up to 4.9900 mgd; 39. EOG Resources, Inc.; Pad ID: 4.0000 mgd; Approval Date: March 4, Approval Date: March 16, 2021. MELCHIONNE 1H; ABR–201008087.R2; 2021. 25. Repsol Oil & Gas USA, LLC; Pad ID: Ridgebury Township, Bradford County, 11. Repsol Oil & Gas USA, LLC; Pad ID: DEWING (05 100) R; ABR– Pa.; Consumptive Use of Up to 3.0000 ANTISDEL (05 036) M; ABR– 201102020.R2; Warren Township, mgd; Approval Date: March 22, 2021. 201009016.R2; Warren Township, Bradford County, Pa.; Consumptive Use 40. EOG Resources, Inc.; Pad ID: Bradford County, Pa.; Consumptive Use of Up to 6.0000 mgd; Approval Date: OBERKAMPER Pad; ABR– of Up to 6.0000 mgd; Approval Date: March 16, 2021. 201009004.R2; Springfield Township, March 8, 2021. 26. Seneca Resources Company, LLC; Pad ID: Bradford County, Pa.; Consumptive Use 12. Repsol Oil & Gas USA, LLC; Pad ID: Cole 495; ABR–201102016.R2; of Up to 3.0000 mgd; Approval Date: WATKINS (03 052) M; ABR– Richmond Township, Tioga County, Pa.; March 22, 2021. 201011048.R2; Columbia Township, Consumptive Use of Up to 4.0000 mgd; 41. EOG Resources, Inc.; Pad ID: Rightmire Bradford County, Pa.; Consumptive Use Approval Date: March 16, 2021. 1H; ABR–201008082.R2; Ridgebury of Up to 6.0000 mgd; Approval Date: 27. Chief Oil & Gas, LLC; Pad ID: NELSON Township, Bradford County, Pa.; March 9, 2021. UNIT PAD B; ABR–202103005; Forks Consumptive Use of Up to 3.0000 mgd; 13. Seneca Resources Company, LLC; Pad ID: Township, Sullivan County, Pa.; Approval Date: March 22, 2021. Peffer-Strong 483; ABR–202103001; Consumptive Use of Up to 2.5000 mgd; 42. EOG Resources, Inc.; Pad ID: Sullivan Township, Tioga County, Pa.; Approval Date: March 16, 2021. STURDEVANT 1H; ABR–201008155.R2; Consumptive Use of Up to 4.0000 mgd; 28. Chesapeake Appalachia, L.L.C.; Pad ID: Ridgebury Township, Bradford County, Approval Date: March 9, 2021. Burke; ABR–201103019.R2; Wilmot Pa.; Consumptive Use of Up to 3.0000 14. SWN Production Company, LLC; Pad ID: Township, Bradford County, Pa.; mgd; Approval Date: March 22, 2021. Sheldon Pad; ABR–201102028.R2; Consumptive Use of Up to 7.5000 mgd; 43. EOG Resources, Inc.; Pad ID: WENGER Jackson Township, Susquehanna Approval Date: March 18, 2021. Pad; ABR–201008118.R2; Springfield County, Pa.; Consumptive Use of Up to 29. Cabot Oil & Gas Corporation; Pad ID: Township, Bradford County, Pa.; 4.9900 mgd; Approval Date: March 12, KrisuleviczV P1; ABR–201102027.R2; Consumptive Use of Up to 3.0000 mgd; 2021. Auburn Township, Susquehanna Approval Date: March 22, 2021. 15. VEC Energy, LLC; Pad ID: Brookfield #1 County, Pa.; Consumptive Use of Up to 44. EOG Resources, Inc.; Pad ID: SEAMAN Pad; ABR–201601003.R1; Brookfield 5.0000 mgd; Approval Date: March 18, 1H; ABR–201008091.R2; Ridgebury Township, Bradford County, Pa.; 2021. Township, Bradford County, Pa.; Consumptive Use of Up to 6.0000 mgd; 30. Rockdale Marcellus, LLC; Pad ID: Consumptive Use of Up to 3.0000 mgd; Approval Date: March 12, 2021. Marshall Brothers Inc. 731; ABR– Approval Date: March 22, 2021. 16. Chesapeake Appalachia, L.L.C.; Pad ID: 201012057.R2; Jackson Township, 45. EOG Resources, Inc.; Pad ID: GROSS 1H DPH; ABR–201103011.R2; Windham Lycoming County, Pa.; Consumptive Use Pad; ABR–201008098.R2; Springfield Township, Wyoming County, Pa.; of Up to 4.9900 mgd; Approval Date: Township, Bradford County, Pa.; Consumptive Use of Up to 7.5000 mgd; March 18, 2021. Consumptive Use of Up to 3.0000 mgd; Approval Date: March 15, 2021. 31. Cabot Oil & Gas Corporation; Pad ID: Approval Date: March 22, 2021. 17. Chesapeake Appalachia, L.L.C.; Pad ID: ZickJ P1; ABR–201103020.R2; Lenox 46. Chesapeake Appalachia, L.L.C.; Pad ID: Dziuba; ABR–201103012.R2; Tuscarora Township, Susquehanna County, Pa.; Shoemaker-Saxe; ABR–202103004; Township, Bradford County, Pa.; Consumptive Use of Up to 5.0000 mgd; Colley Township, Sullivan County, Pa.; Consumptive Use of Up to 7.5000 mgd; Approval Date: March 18, 2021. Consumptive Use of Up to 7.5000 mgd; Approval Date: March 15, 2021. 32. Seneca Resources Company, LLC; Pad ID: Approval Date: March 22, 2021. 18. Cabot Oil & Gas Corporation; Pad ID: Wilson 283; ABR–201012048.R2; 47. Chief Oil & Gas, LLC; Pad ID: Kerrick HawleyJ P1; ABR–201103009.R2; Forest Charleston Township, Tioga County, Pa.; Drilling Pad #1; ABR–201103040.R2; Lake Township, Susquehanna County, Consumptive Use of Up to 4.0000 mgd; Asylum Township, Bradford County, Pa.; Pa.; Consumptive Use of Up to 5.0000 Approval Date: March 19, 2021. Consumptive Use of Up to 2.0000 mgd; mgd; Approval Date: March 15, 2021. 33. Chief Oil & Gas, LLC; Pad ID: Curtin Approval Date: March 24, 2021. 19. Cabot Oil & Gas Corporation; Pad ID: Ely Drilling Pad #1; ABR–201012034.R2; 48. Seneca Resources Company, LLC; Pad ID: P3; ABR–20080709.R2; Dimock Albany Township, Bradford County; and Knowlton 303; ABR–201101077.R2; Township, Susquehanna County, Pa.; Cherry Township, Sullivan County; Pa.; Charleston Township, Tioga County, Pa.; Consumptive Use of Up to 5.0000 mgd; Consumptive Use of Up to 2.0000 mgd; Consumptive Use of Up to 4.0000 mgd; Approval Date: March 16, 2021. Approval Date: March 22, 2021. Approval Date: March 24, 2021. 20. Cabot Oil & Gas Corporation; Pad ID: Teel 34. Chesapeake Appalachia, L.L.C.; Pad ID: 49. Seneca Resources Company, LLC; Pad ID: P3; ABR–20080702.R2; Springville Jones Pad; ABR–201103022.R2; Standing MY TB INV LLC 891; ABR– Township, Susquehanna County, Pa.; Stone Township, Bradford County, Pa.; 201102010.R2; Deerfield Township, Consumptive Use of Up to 5.0000 mgd; Consumptive Use of Up to 7.5000 mgd; Tioga County, Pa.; Consumptive Use of Approval Date: March 16, 2021. Approval Date: March 22, 2021. Up to 4.0000 mgd; Approval Date: March 21. Cabot Oil & Gas Corporation; Pad ID: 35. Seneca Resources Company, LLC; Pad ID: 24, 2021. HeitzenroderA P2; ABR–202103002.R2; COP Pad O; ABR–201103030.R2; 50. Seneca Resources Company, LLC; Pad ID: Springville Township, Susquehanna Lawrence Township, Clearfield County, Butler 853; ABR–201103037.R2; County, Pa.; Consumptive Use of Up to Pa.; Consumptive Use of Up to 4.9990 Middlebury Township, Tioga County, 5.0000 mgd; Approval Date: March 15, mgd; Approval Date: March 22, 2021. Pa.; Consumptive Use of Up to 4.0000 2021. 36. Seneca Resources Company, LLC; Pad ID: mgd; Approval Date: March 24, 2021. 22. Chief Oil & Gas, LLC; Pad ID: W & L PHC Pad BB; ABR–201103028.R2; 51. Diversified Production, LLC; Pad ID: Wilson Drilling Pad #1; ABR– Lawrence Township, Clearfield County, Phoenix S; ABR–201012009.R2; Duncan 201103014.R2; Lemon Township, Pa.; Consumptive Use of Up to 4.9990 Township, Susquehanna County, Pa.; Wyoming County, Pa.; Consumptive Use mgd; Approval Date: March 22, 2021. Consumptive Use of Up to 4.0000 mgd; of Up to 2.0000 mgd; Approval Date: 37. Seneca Resources Company, LLC; Pad ID: Approval Date: March 24, 2021. March 16, 2021. PPHC Pad B; ABR–201103023.R2; 52. Diversified Production, LLC; Pad ID: 23. Chesapeake Appalachia, L.L.C.; Pad ID: Lawrence Township, Clearfield County, Phoenix R; ABR–201011057.R2; Duncan Acton; ABR–201103013.R2; Rome Pa.; Consumptive Use of Up to 4.9990 Township, Susquehanna County, Pa.; Township, Bradford County, Pa.; mgd; Approval Date: March 22, 2021. Consumptive Use of Up to 4.0000 mgd; Consumptive Use of Up to 7.5000 mgd; 38. EOG Resources, Inc.; Pad ID: JANOWSKY Approval Date: March 24, 2021. Approval Date: March 16, 2021. 1H; ABR–201008054.R2; Ridgebury 53. Chesapeake Appalachia, L.L.C.; Pad ID: 24. Rockdale Marcellus, LLC; Pad ID: Neal Township, Bradford County, Pa.; Sarah; ABR–201103041.R2; Athens

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Township, Bradford County, Pa.; ADDRESSES: Susquehanna River Basin FAA’s exemption process. Neither Consumptive Use of Up to 7.5000 mgd; Commission, 4423 North Front Street, publication of this notice nor the Approval Date: March 25, 2021. Harrisburg, PA 17110–1788. inclusion or omission of information in 54. Seneca Resources Company, LLC; Pad ID: Weiner 882; ABR–201103045.R2; FOR FURTHER INFORMATION CONTACT: the summary is intended to affect the Farmington Township, Tioga County, Jason E. Oyler, General Counsel and legal status of the petition or its final Pa.; Consumptive Use of Up to 4.0000 Secretary to the Commission, telephone: disposition. mgd; Approval Date: March 25, 2021. (717) 238–0423, ext. 1312; fax: (717) 55. Beech Resources, LLC.; Pad ID: ISA Well 238–2436; email: [email protected]. DATES: Comments on this petition must Site; ABR–202103003; Lycoming Regular mail inquiries May be sent to identify the petition docket number and Township, Lycoming County, Pa.; the above address. must be received on or before May 4, Consumptive Use of Up to 3.0000 mgd; 2021. Approval Date: March 25, 2021. SUPPLEMENTARY INFORMATION: This 56. Pennsylvania General Energy Company, notice lists GF Registration for projects, ADDRESSES: Send comments identified L.L.C.; Pad ID: COP Tract 726 Pad B; described below, pursuant to 18 CFR by docket number FAA–2020–1057 ABR–201706002.1; Plunkett’s Creek 806, Subpart E for the time period using any of the following methods: Township, Lycoming County, Pa.; specified above: Modification of Consumptive Use of Up • Federal eRulemaking Portal: Go to to 4.5000 mgd; Approval Date: March 26, Grandfathering Registration Under 18 http://www.regulations.gov and follow 2021. CFR Part 806, Subpart E: the online instructions for sending your 57. ARD Operating, LLC; Pad ID: Cynthia M. 1. TableTrust Brands LLC—Freebird East, GF comments electronically. Knispel Pad A; ABR–201103038.R2; Certificate No. GF–202103157, Bethel • Mail: Send comments to Docket Cogan House Township, Lycoming Township, Lebanon County, Pa., Wells 2 County, Pa.; Consumptive Use of Up to and 6 and consumptive use; Issue Date: Operations, M–30; U.S. Department of 7.5000 mgd; Approval Date: March 26, March 3, 2021. Transportation (DOT), 1200 New Jersey 2021. 2. Empire Kosher Poultry, Inc., GF Certificate Avenue SE, Room W12–140, West 58. Rockdale Marcellus, LLC; Pad ID: No. GF–202103158, Walker Township, Building Ground Floor, Washington, DC Wesneski 724; ABR–201007017.R2; Juniata County, Pa., consumptive use; Union Township, Tioga County, Pa.; 20590–0001. Issue Date: March 12, 2021. • Consumptive Use of Up to 4.9900 mgd; 3. Town of Vestal—Public Water Supply Hand Delivery or Courier: Take Approval Date: March 29, 2021. System, GF Certificate No. GF– comments to Docket Operations in 59. Chesapeake Appalachia, L.L.C.; Pad ID: 202103159, Town of Vestal, Broome Room W12–140 of the West Building Barclay; ABR–201103044.R2; Franklin County, N.Y., Wells 1–3, 4–2, 4–3, and Ground Floor at 1200 New Jersey Township, Bradford County, Pa.; 5–1; Issue Date: March 18, 2021. Consumptive Use of Up to 7.5000 mgd; Avenue SE, Washington, DC, between 9 4. Canton Borough Authority—Public Water a.m. and 5 p.m., Monday through Approval Date: March 29, 2021. Supply System, GF Certificate No. GF– 60. Chesapeake Appalachia, L.L.C.; Pad ID: 202103160, Canton Borough, Bradford Friday, except Federal holidays. Hi-Lev; ABR–201103051.R2; Troy County, Pa., Wells 1 and 2; Issue Date: • Township, Bradford County, Pa.; Fax: Fax comments to Docket March 18, 2021. Operations at 202–493–2251. Consumptive Use of Up to 7.5000 mgd; 5. Montoursville Borough—Public Water Approval Date: March 29, 2021. Supply System, GF Certificate No. GF– Privacy: In accordance with 5 U.S.C. 61. Seneca Resources Company, LLC; Pad ID: 202103161, Montoursville Borough and 553(c), DOT solicits comments from the DCNR 595 PAD C; ABR–201103047.R2; Armstrong Township, Lycoming County, public to better inform its rulemaking Bloss Township, Tioga County, Pa.; Pa., Wells 2, 3, 4, 5 and Sylvan Dell process. DOT posts these comments, Consumptive Use of Up to 4.0000 mgd; Spring; Issue Date: March 18, 2021. Approval Date: March 29, 2021. without edit, including any personal Dated: April 9, 2021. information the commenter provides, to Authority: Pub. L. 91–575, 84 Stat. 1509 et seq., 18 CFR parts 806, 807, and 808. Jason E. Oyler, http://www.regulations.gov, as General Counsel and Secretary to the described in the system of records Dated: April 9, 2021. Commission. notice (DOT/ALL–14 FDMS), which can Jason E. Oyler, [FR Doc. 2021–07656 Filed 4–13–21; 8:45 am] be reviewed at http://www.dot.gov/ General Counsel and Secretary to the BILLING CODE 7040–01–P privacy. Commission. [FR Doc. 2021–07655 Filed 4–13–21; 8:45 am] Docket: Background documents or BILLING CODE 7040–01–P comments received may be read at DEPARTMENT OF TRANSPORTATION http://www.regulations.gov at any time. Follow the online instructions for Federal Aviation Administration SUSQUEHANNA RIVER BASIN accessing the docket or go to the Docket COMMISSION [Summary Notice No. PE–2021–2066] Operations in Room W12–140 of the West Building Ground Floor at 1200 Grandfathering (GF) Registration Petition for Exemption; Summary of New Jersey Avenue SE, Washington, Petition Received; B/E Aerospace—FSI Notice DC, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. AGENCY: Susquehanna River Basin AGENCY: Federal Aviation Commission. Administration (FAA), DOT. FOR FURTHER INFORMATION CONTACT: ACTION: Notice of petition for exemption ACTION: Notice. Michael H. Harrison, AIR–612, Federal received. Aviation Administration, 2200 South 216th Street, Des Moines, WA 98198, SUMMARY: This notice lists SUMMARY: This notice contains a Grandfathering Registration for projects summary of a petition seeking relief phone and fax 206–231–3368, email by the Susquehanna River Basin from specified requirements of Federal [email protected]. Commission during the period set forth Aviation Regulations. The purpose of This notice is published pursuant to in DATES. this notice is to improve the public’s 14 CFR 11.85. DATES: March 1–31, 2021. awareness of, and participation in, the

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Issued in Des Moines, Washington, on caps, for a period of one year for privacy-notice for the privacy notice of March 31, 2021. locomotive GLRX #111. The locomotive regulations.gov. Daniel J. Elgas, has operated for 375 service days since Issued in Washington, DC. it entered service in 2016 with a newly Manager, Strategic Policy Management John Karl Alexy, Branch, Policy and Innovation Division, constructed boiler. GLRX states that Aircraft Certification Service. because of the coronavirus disease 2019, Associate Administrator for Railroad Safety Chief Safety Officer. Petition For Exemption GLRX #111 did not incur any service days in 2020. If granted the requested [FR Doc. 2021–07654 Filed 4–13–21; 8:45 am] Docket No.: FAA–2020–1057. relief, GLRX explains it would perform BILLING CODE 4910–06–P Petitioner: B/E Aerospace—FSI. the required testing at the 2022 annual Section(s) of 14 CFR Affected: inspection. §§ 25.813(e) and 121.310(f)(6). A copy of the petition, as well as any DEPARTMENT OF TRANSPORTATION Description of Relief Sought: B/E written communications concerning the Federal Railroad Administration Aerospace—FSI is seeking relief from petition, is available for review online at the requirement that no door may be www.regulations.gov. [Docket Number FRA–2021–0030] installed between any passenger seat Interested parties are invited to that is occupiable for takeoff and participate in these proceedings by Petition for Waiver of Compliance landing and any passenger emergency submitting written views, data, or Under part 211 of title 49 Code of exit, such that the door crosses any comments. FRA does not anticipate Federal Regulations (CFR), this egress path (including aisles, crossaisles scheduling a public hearing in document provides the public notice and passageways), as well as the connection with these proceedings since that on February 25, 2021, Iowa requirement that no person may operate the facts do not appear to warrant a Interstate Railroad (IAIS) petitioned the an airplane that incorporates a door hearing. If any interested parties desire Federal Railroad Administration (FRA) installed between any passenger seat an opportunity for oral comment and a for a waiver of compliance from certain occupiable for takeoff and landing and public hearing, they should notify FRA, provisions of the Federal railroad safety any passenger emergency exit. The in writing, before the end of the regulations contained at 49 CFR part petitioner is proposing to install comment period and specify the basis 230, Steam Locomotive Inspection and expandable monuments at emergency for their request. Maintenance Standards. FRA assigned exits on Boeing Model 777 and Model All communications concerning these the petition Docket Number FRA–2021– 787 airplanes and Airbus Model A330 proceedings should identify the 0030. and Model A350 airplanes. The appropriate docket number and may be Specifically, IAIS requests relief for expandable monument is a modular submitted by any of the following its steam locomotive IAIS 6988, from 49 transforming-unit that exploits methods: CFR 230.17(a), One thousand four underutilized areas in the cabin by • Website: http:// hundred seventy-two (1472) service day expanding to provide additional usable www.regulations.gov. Follow the online inspection, to extend the 1472 service space. This is achieved by taking instructions for submitting comments. day inspection (SDI) 106 calendar days advantage of unused space, unfolding • Fax: 202–493–2251. • from September 5, 2021, to December in-flight to provide additional service Mail: Docket Operations Facility, 20, 2021, if coronavirus disease 2019 areas. When the modular units are U.S. Department of Transportation (COVID–19) restrictions are reduced to deployed, they block the emergency (DOT), 1200 New Jersey Ave. SE, W12– permit servicing and operation. If exits and the attendant seats, located at 140, Washington, DC 20590. • COVID–19 restrictions are not lifted, the exits. Hand Delivery: 1200 New Jersey and operation is limited or not [FR Doc. 2021–07621 Filed 4–13–21; 8:45 am] Ave. SE, Room W12–140, Washington, permitted in 2021, IAIS requests an BILLING CODE 4910–13–P DC 20590, between 9 a.m. and 5 p.m., Monday through Friday, except Federal extension of the 1472 SDI until Holidays. December 20, 2022, a total of 471 DEPARTMENT OF TRANSPORTATION Communications received by June 1, calendar days. 2021 will be considered by FRA before IAIS states that the COVID–19 public Federal Railroad Administration final action is taken. Comments received health emergency has caused IAIS to after that date will be considered if halt excursion service, which resulted [Docket Number FRA–2021–0036] practicable. in IAIS 6988 only accumulating one Petition for Waiver of Compliance Anyone can search the electronic service day since its 2020 annual form of any written communications inspection. IAIS anticipates operating Under part 211 of title 49 Code of and comments received into any of our IAIS 6988 for about 40 service days in Federal Regulations (CFR), this dockets by the name of the individual 2021. Further, IAIS states that during document provides the public notice submitting the comment (or signing the the extension period, all regularly that on March 8, 2021, Georgetown document, if submitted on behalf of an scheduled maintenance and inspections Loop Railroad (GLRX) petitioned the association, business, labor union, etc.). required will be performed, and the Federal Railroad Administration (FRA) Under 5 U.S.C. 553(c), DOT solicits IAIS 6988 will be stored indoors, for a waiver of compliance from certain comments from the public to better serviceable, and drained. provisions of the Federal railroad safety inform its processes. DOT posts these A copy of the petition, as well as any regulations contained at 49 CFR part comments, without edit, including any written communications concerning the 230, Steam Locomotive Inspection and personal information the commenter petition, is available for review online at Maintenance Standards. FRA assigned provides, to www.regulations.gov, as www.regulations.gov. the petition Docket Number FRA–2021– described in the system of records Interested parties are invited to 0036. notice (DOT/ALL–14 FDMS), which can participate in these proceedings by Specifically, GLRX requests relief be reviewed at https:// submitting written views, data, or from 49 CFR 230.16(a)(2), Fifth annual www.transportation.gov/privacy. See comments. FRA does not anticipate inspection, of flexible staybolts and also https://www.regulations.gov/ scheduling a public hearing in

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connection with these proceedings since DEPARTMENT OF TRANSPORTATION sought under section 543.6 or section the facts do not appear to warrant a 543.7. Under section 543.6, a hearing. If any interested parties desire National Highway Traffic Safety manufacturer may request an exemption an opportunity for oral comment and a Administration by providing specific information about the antitheft device, its capabilities, and public hearing, they should notify FRA, Petitions for Exemption From the in writing, before the end of the the reasons the petitioner believes the Federal Motor Vehicle Theft Prevention device to be as effective at reducing and comment period and specify the basis Standard; Volkswagen Group of for their request. deterring theft as compliance with the America, Inc. parts-marking requirements. Section All communications concerning these AGENCY: National Highway Traffic 543.7 permits a manufacturer to request proceedings should identify the Safety Administration (NHTSA), an exemption under a more streamlined appropriate docket number and may be Department of Transportation (DOT). process if the vehicle line is equipped submitted by any of the following ACTION: Grant of petition for exemption. with an antitheft device (an methods: ‘‘immobilizer’’) as standard equipment • Website: http:// SUMMARY: This document grants in full that complies with one of the standards www.regulations.gov. Follow the online the Volkswagen Group of America, specified in that section. instructions for submitting comments. Inc.’s (Volkswagen) petition for Section 543.8 establishes exemption from the Federal Motor requirements for processing petitions for • Fax: 202–493–2251. Vehicle Theft Prevention Standard (theft exemption from the theft prevention • Mail: Docket Operations Facility, prevention standard) for its Taos vehicle standard. As stated in section 543.8(a), U.S. Department of Transportation line beginning in model year (MY) 2022. NHTSA processes any complete (DOT), 1200 New Jersey Ave. SE, W12– DATES: The exemption granted by this exemption petition. If NHTSA receives 140, Washington, DC 20590. notice is effective beginning with the an incomplete petition, NHTSA will • Hand Delivery: 1200 New Jersey 2022 model year. notify the petitioner of the deficiencies. Ave. SE, Room W12–140, Washington, FOR FURTHER INFORMATION CONTACT: Once NHTSA receives a complete DC 20590, between 9 a.m. and 5 p.m., Carlita Ballard, Office of International petition it will process it and, in Monday through Friday, except Federal Policy, Fuel Economy, and Consumer accordance with section 543.8(b), will Holidays. Programs, NHTSA, West Building, grant the petition if it determines that, W43–439, NRM–310, 1200 New Jersey based upon substantial evidence, the Communications received by June 1, Avenue SE, Washington, DC 20590. Ms. standard equipment antitheft device is 2021 will be considered by FRA before Ballard’s phone number is (202) 366– likely to be as effective in reducing and final action is taken. Comments received 5222. Her fax number is (202) 493–2990. deterring motor vehicle theft as after that date will be considered if SUPPLEMENTARY INFORMATION: Under 49 compliance with the parts-marking practicable. U.S.C. Chapter 331, the Secretary of requirements of part 541. Anyone can search the electronic Transportation (and the National Section 543.8(c) requires NHTSA to form of any written communications Highway Traffic Safety Administration issue its decision either to grant or to and comments received into any of our (NHTSA) by delegation) is required to deny an exemption petition not later dockets by the name of the individual promulgate a theft prevention standard than 120 days after the date on which submitting the comment (or signing the to provide for the identification of a complete petition is filed. If NHTSA document, if submitted on behalf of an certain motor vehicles and their major does not make a decision within the association, business, labor union, etc.). replacement parts to impede motor 120-day period, the petition shall be Under 5 U.S.C. 553(c), DOT solicits vehicle theft. NHTSA promulgated deemed to be approved and the manufacturer shall be exempt from the comments from the public to better regulations at part 541 (theft prevention standard for the line covered by the inform its processes. DOT posts these standard) to require parts-marking for petition for the subsequent model year.1 comments, without edit, including any specified passenger motor vehicles and light trucks. Pursuant to 49 U.S.C. Exemptions granted under part 543 personal information the commenter apply only to the vehicle line or lines provides, to www.regulations.gov, as 33106, manufacturers that are subject to the parts-marking requirements may that are subject to the grant and that are described in the system of records petition the Secretary of Transportation equipped with the antitheft device on notice (DOT/ALL–14 FDMS), which can for an exemption for a line of passenger which the line’s exemption was based, be reviewed at https:// motor vehicles equipped as standard and are effective for the model year www.transportation.gov/privacy. See equipment with an antitheft device that beginning after the model year in which also https://www.regulations.gov/ the Secretary decides is likely to be as NHTSA issues the notice of exemption, privacy-notice for the privacy notice of effective in reducing and deterring unless the notice of exemption specifies regulations.gov. motor vehicle theft as compliance with a later year. Issued in Washington, DC. the parts-marking requirements. In Sections 543.8(f) and (g) apply to the John Karl Alexy, accordance with this statute, NHTSA manner in which NHTSA’s decisions on promulgated 49 CFR part 543, which petitions are to be made known. Under Associate Administrator for Railroad Safety section 543.8(f), if the petition is sought Chief Safety Officer. establishes the process through which manufacturers may seek an exemption under section 543.6, NHTSA publishes [FR Doc. 2021–07653 Filed 4–13–21; 8:45 am] from the theft prevention standard. a notice of its decision to grant or deny BILLING CODE 4910–06–P 49 CFR 543.5 provides general the exemption petition in the Federal submission requirements for petitions Register and notifies the petitioner in and states that each manufacturer may writing. Under section 543.8(g), if the petition NHTSA for an exemption of petition is sought under section 543.7, one vehicle line per model year. Among NHTSA notifies the petitioner in writing other requirements, manufacturers must identify whether the exemption is 1 49 U.S.C. 33106(d).

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of the agency’s decision to grant or deny vehicle by means other than a key; (3) In accordance with section the exemption petition. prevent defeating or circumventing the 543.6(a)(2), Volkswagen provided a This grant of petition for exemption device by an unauthorized person detailed description and diagram of the considers Volkswagen Group of attempting to enter a vehicle by means identity, design, and location of the America, Inc.’s (Volkswagen) petition other than a key; (4) prevent the components of the antitheft device for for its Taos vehicle line beginning in operation of a vehicle which an its Taos vehicle line. Volkswagen stated MY 2022. Volkswagen’s petition is unauthorized person has entered using that its fifth generation transponder- granted under 49 U.S.C. 33106 and 49 means other than a key; and (5) ensure based electronic engine immobilizer CFR 543.8(c), which state that if the the reliability and durability of the antitheft device will be installed as Secretary of Transportation (NHTSA, by device.2 standard equipment on the entire MY delegation) does not make a decision In addition to providing information 2022 Taos vehicle line. Key components about a petition within 120 days of the about the antitheft device and its of the antitheft device will include an petition submission, the petition shall functionality, petitioners must also adapted ignition key (ID-transmitter or be deemed to be approved and the submit the reasons for the petitioner’s ‘‘key fob’’), instrument cluster, gateway manufacturer shall be exempt from the belief that the antitheft device will be (cluster to CAN bus, only routing standard for the line covered by the effective in reducing and deterring function) and an engine control unit. petition for the subsequent model year. motor vehicle theft, including any theft Volkswagen provided information on Separately, based on the information data and other data that are available to the reliability and durability of its provided in Volkswagen’s petition, the petitioner and form a basis for that proposed device as required by section NHTSA has determined that the belief,3 and the reasons for the 543.6(a)(3)(v). To ensure reliability and antitheft device to be placed on its petitioner’s belief that the agency durability of the device, Volkswagen vehicle line as standard equipment is should determine that the antitheft stated that the antitheft device has been likely to be as effective in reducing and device is likely to be as effective as tested for compliance with its corporate deterring motor vehicle theft as compliance with the parts-marking requirements, including those for compliance with the parts-marking requirements of part 541 in reducing electrical and electronic assemblies in requirements of the theft prevention and deterring motor vehicle theft, motor vehicles related to performance standard. including any statistical data that are requirements including electrical system temperature stability, I. Specific Petition Content available to the petitioner and form the mechanical integrity, electrical Requirements Under 49 CFR 543.6 basis for the petitioner’s belief that a line of passenger motor vehicles performance, electromagnetic Pursuant to 49 CFR part 543, equipped with the antitheft device is compatibility (EMC), environmental Exemption from Vehicle Theft likely to have a theft rate equal to or less compatibility and service life. Prevention, Volkswagen petitioned for than that of passenger motor vehicles of Volkswagen stated that its an exemption for its specified vehicle the same, or a similar, line which have immobilizer device actively line from the parts-marking parts marked in compliance with part incorporates the power control unit into requirements of the theft prevention 541.4 the evaluation and monitoring process. standard, beginning in MY 2022. The following sections describe Volkswagen also stated that activation Volkswagen petitioned under 49 CFR Volkswagen’s petition information of its immobilizer device occurs 543.6, Petition: Specific content provided pursuant to 49 CFR part 543, automatically after the engine is requirements, which, as described Exemption from Vehicle Theft switched off. Deactivation of the above, requires manufacturers to Prevention. To the extent that specific immobilizer device occurs when the provide specific information about the information in Volkswagen’s petition is ignition is turned on or the key fob is antitheft device installed as standard subject to a properly filed recognized by the immobilizer control equipment on all vehicles in the line for confidentiality request, that information unit. Specifically, when turning on the which an exemption is sought, the was not disclosed as part of this notice. ignition on/off switch, the key antitheft device’s capabilities, and the See 49 CFR 512.20(a). transponder sends a fixed code to the reasons the petitioner believes the In a petition dated May 29, 2020, immobilizer control unit. If this is device to be as effective at reducing and Volkswagen requested an exemption identified as the correct code, a variable deterring theft as compliance with the from the parts-marking requirements of code is generated in the immobilizer parts-marking requirements. the theft prevention standard for its control unit and sent to the transponder. More specifically, section 543.6(a)(1) Taos vehicle line beginning with MY Volkswagen stated that a secret requires petitions to include a statement 2022. Pursuant to section 543.6(a)(1), arithmetic process is then started that an antitheft device will be installed Volkswagen stated that the antitheft according to a set of specific equations as standard equipment on all vehicles in device described in its petition will be and that a new variable code is the line for which the exemption is installed as standard equipment its Taos generated every time the immobilizer sought. Under section 543.6(a)(2), each vehicles starting with MY 2022.5 goes through the secret computing petition must list each component in the process. The results of the computing antitheft system, and a diagram showing 2 49 CFR 543.6(a)(3). process are evaluated in the control unit the location of each of those 3 49 CFR 543.6(a)(4). and if verified, the vehicle key is components within the vehicle. As 4 49 CFR 543.6(a)(5). acknowledged as correct. The engine required by section 543.6(a)(3), each 5 Volkswagen also stated that it will offer an control unit then sends a variable code petition must include an explanation of audible and visible alarm as optional equipment on its Taos vehicle line. Per 49 U.S.C. 33106 (b), to the immobilizer control unit for the means and process by which the manufacturers may petition NHTSA for an device is activated and functions, exemption ‘‘for a line of passenger motor vehicles equipment already installed in a motor vehicle including any aspect of the device equipped as standard equipment with an antitheft when it is delivered from the manufacturer and not designed to: (1) Facilitate or encourage device that [NHTSA] decides is likely to be as an accessory or other item that the first purchaser effective in reducing and deterring motor vehicle customarily has the option to have installed. its activation by motorists; (2) attract theft as compliance with’’ the theft prevention Therefore, for purposes of Volkswagen’s petition, attention to the efforts of an standard (emphasis added). Per 49 U.S.C. NHTSA is only considering the device equipped on unauthorized person to enter or move a 33106(a)(2), ‘‘standard equipment’’ means the vehicle as standard equipment.

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mutual identification. If all the data attention to the efforts of unauthorized vehicle line from the parts-marking matches, the vehicle can be started. persons to enter or operate a vehicle by requirements of 49 CFR part 541, In support of its belief that its means other than a key; preventing beginning with its MY 2022 vehicles. antitheft device will be as effective as or defeat or circumvention of the device by Issued under authority delegated in more effective than the parts-marking unauthorized persons; preventing 49 CFR 1.95 and 501.8. requirement in reducing and deterring operation of the vehicle by vehicle theft, and in accordance with 49 unauthorized entrants; and ensuring the Raymond R. Posten, CFR 543.6(a)(5), Volkswagen provided reliability and durability of the device. Associate Administrator for Rulemaking. data on the theft rate of similarly-sized The agency notes that 49 CFR part [FR Doc. 2021–07570 Filed 4–13–21; 8:45 am] vehicle lines that had been granted an 541, Appendix A–1, identifies those BILLING CODE 4910–59–P exemption from the parts-marking lines that are exempted from the theft requirement. Volkswagen also prevention standard for a given model referenced the effectiveness of year. 49 CFR 543.8(f) contains DEPARTMENT OF TRANSPORTATION immobilizer devices installed on other publication requirements incident to the vehicles for which NHTSA has granted disposition of all part 543 petitions. National Highway Traffic Safety exemptions. Specifically, Volkswagen Advanced listing, including the release Administration referenced information from the of future product nameplates, the Petitions for Exemption From the Highway Loss Data Institute which beginning model year for which the Federal Motor Vehicle Theft Prevention showed that BMW vehicles experienced petition is granted and a general Standard; General Motors, LLC theft loss reductions resulting in a 73% description of the antitheft device is decrease in relative claim frequency and necessary in order to notify law AGENCY: National Highway Traffic a 78% lower average loss payment per enforcement agencies of new vehicle Safety Administration (NHTSA), claim for vehicles equipped with an lines exempted from the parts-marking Department of Transportation (DOT). immobilizer. Volkswagen also stated requirements of the theft prevention ACTION: Grant of petitions for that the National Crime Information standard. exemption. Center’s (NCIC) theft data showed that If Volkswagen decides not to use the there was a 70% reduction in theft exemption for its requested vehicle line, SUMMARY: This document grants in full experienced when comparing the MY the manufacturer must formally notify the General Motors, LLC’s (GM) petition 1987 Ford Mustang vehicle thefts (with the agency. If such a decision is made, for exemption from the Federal Motor immobilizers) to MY 1995 Ford Mustang the line must be fully marked as Vehicle Theft Prevention Standard vehicle thefts (without immobilizers). required by 49 CFR 541.5 and 541.6 (Theft Prevention Standard) for its (marking of major component parts and III. Decision To Grant the Petition Chevrolet Trax line beginning in model replacement parts). year (MY) 2022. The petition is granted Pursuant to 49 U.S.C. 33106 and 49 NHTSA notes that if Volkswagen because the agency has determined that CFR 543.8(b), the agency grants a wishes in the future to modify the the antitheft device to be placed on the petition for exemption from the parts- device on which this exemption is line as standard equipment is likely to marking requirements of part 541, either based, the company may have to submit be as effective in reducing and deterring in whole or in part, if it determines that, a petition to modify the exemption. motor vehicle theft as compliance with based upon substantial evidence, the Section 543.8(d) states that a part 543 the parts-marking requirements of the standard equipment antitheft device is exemption applies only to vehicles that Theft Prevention Standard. likely to be as effective in reducing and belong to a line exempted under this DATES: The exemption granted by this deterring motor vehicle theft as part and equipped with the antitheft notice is effective beginning with the compliance with the parts-marking device on which the line’s exemption is 2022 model year. requirements of part 541. As discussed based. Further, section 543.10(c)(2) above, in this case, Volkswagen’s provides for the submission of petitions FOR FURTHER INFORMATION CONTACT: petition is granted under 49 U.S.C. ‘‘to modify an exemption to permit the Carlita Ballard, Office of International 33106(d). Separately, NHTSA finds that use of an antitheft device similar to but Policy, Fuel Economy, and Consumer Volkswagen has provided adequate differing from the one specified in the Programs, NHTSA, West Building, reasons for its belief that the antitheft exemption.’’ W43–439, NRM–310, 1200 New Jersey device for its vehicle line is likely to be The agency wishes to minimize the Avenue SE, Washington, DC 20590. Ms. as effective in reducing and deterring administrative burden that section Ballard’s phone number is (202) 366– motor vehicle theft as compliance with 543.10(c)(2) could place on exempted 5222. Her fax number is (202) 493–2990. the parts-marking requirements of the vehicle manufacturers and itself. The SUPPLEMENTARY INFORMATION: Under 49 theft prevention standard. This agency did not intend in drafting part U.S.C. Chapter 331, the Secretary of conclusion is based on the information 543 to require the submission of a Transportation (and the National the Volkswagen provided about its modification petition for every change Highway Traffic Safety Administration antitheft device. NHTSA believes, based to the components or design of an (NHTSA) by delegation) is required to on the supporting evidence submitted antitheft device. The significance of promulgate a theft prevention standard by Volkswagen, that the antitheft device many such changes could be de to provide for the identification of described for its vehicle line is likely to minimis. Therefore, NHTSA suggests certain motor vehicles and their major be as effective in reducing and deterring that if Volkswagen contemplates making replacement parts to impede motor motor vehicle theft as compliance with any changes, the effects of which might vehicle theft. NHTSA promulgated the parts-marking requirements of the be characterized as de minimis, it regulations at Part 541 (Theft Prevention theft prevention standard. should consult the agency before Standard) to require parts-marking for The agency concludes that preparing and submitting a petition to specified passenger motor vehicles and Volkswagen’s antitheft device will modify. light trucks. Pursuant to 49 U.S.C. provide the five types of performance For the foregoing reasons, the agency 33106, manufacturers that are subject to features listed in section 543.6(a)(3): hereby grants in full Volkswagen’s the parts-marking requirements may promoting activation; attracting petition for exemption for the Taos petition the Secretary of Transportation

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for an exemption for a line of passenger equipped with the antitheft device on operation of a vehicle which an motor vehicles equipped as standard which the line’s exemption was based, unauthorized person has entered using equipment with an antitheft device that and are effective for the model year means other than a key; and (5) ensure the Secretary decides is likely to be as beginning after the model year in which the reliability and durability of the effective in reducing and deterring NHTSA issues the notice of exemption, device.2 motor vehicle theft as compliance with unless the notice of exemption specifies In addition to providing information the parts-marking requirements. In a later year. about the antitheft device and its accordance with this statute, NHTSA Sections 543.8(f) and (g) apply to the functionality, petitioners must also promulgated 49 CFR part 543, which manner in which NHTSA’s decisions on submit the reasons for their belief that establishes the process through which petitions are to be made known. Under the antitheft device will be effective in manufacturers may seek an exemption section 543.8(f), if the petition is sought reducing and deterring motor vehicle from the Theft Prevention Standard. under section 543.6, NHTSA publishes theft, including any theft data and other 49 CFR 543.5 provides general a notice of its decision to grant or deny data that are available to the petitioner submission requirements for petitions the exemption petition in the Federal and form a basis for that belief,3 and the and states that each manufacturer may Register and notifies the petitioner in reasons for the petitioner’s belief that petition NHTSA for an exemption of writing. Under section 543.8(g), if the the agency should determine that the one vehicle line per model year. Among petition is sought under section 543.7, antitheft device is likely to be as other requirements, manufacturers must NHTSA notifies the petitioner in writing effective as compliance with the parts- identify whether the exemption is of the agency’s decision to grant or deny marking requirements of Part 541 in sought under section 543.6 or section the exemption petition. reducing and deterring motor vehicle 543.7. Under section 543.6, a This grant of petition for exemption theft, including any statistical data that manufacturer may request an exemption considers GM’s petition for its Chevrolet are available to the petitioner and form by providing specific information about Trax vehicle line beginning in MY 2022. the basis for the petitioner’s belief that the antitheft device, its capabilities, and I. Specific Petition Content a line of passenger motor vehicles the reasons the petitioner believes the Requirements Under 49 CFR 543.6 equipped with the antitheft device is device to be as effective at reducing and likely to have a theft rate equal to or less deterring theft as compliance with the Pursuant to 49 CFR part 543, than that of passenger motor vehicles of parts-marking requirements. Section Exemption from Vehicle Theft the same, or a similar, line which have 543.7 permits a manufacturer to request Prevention, GM petitioned for an parts marked in compliance with Part an exemption under a more streamlined exemption for its specified vehicle line 541.4 process if the vehicle line is equipped from the parts-marking requirements of The following sections describe GM’s with an antitheft device (an the Theft Prevention Standard, petition information provided pursuant ‘‘immobilizer’’) as standard equipment beginning in MY 2022. GM petitioned to 49 CFR part 543, Exemption from that complies with one of the standards under 49 CFR 543.6, Petition: Specific Vehicle Theft Prevention. To the extent specified in that section. content requirements, which, as that specific information in GM’s Section 543.8 establishes described above, requires manufacturers petition is subject to a properly filed requirements for processing petitions for to provide specific information about confidentiality request, that information exemption from the Theft Prevention the antitheft device installed as standard will not be disclosed as part of this Standard. As stated in section 543.8(a), equipment on all vehicles in the line for notice. See 49 CFR 512.20(a). NHTSA processes any complete which an exemption is sought, the In a petition dated August 14, 2020, exemption petition. If NHTSA receives antitheft device’s capabilities, and the GM requested an exemption from the an incomplete petition, NHTSA will reasons the petitioner believes the parts-marking requirements of the Theft notify the petitioner of the deficiencies. device to be as effective at reducing and Prevention Standard for its Chevrolet Once NHTSA receives a complete deterring theft as compliance with the Trax vehicle line beginning with MY petition it will process it and, in parts-marking requirements. 2022. Pursuant to section 543.6(a)(1), accordance with section 543.8(b), will More specifically, section 543.6(a)(1) GM stated that the antitheft device grant the petition if it determines that, requires petitions to include a statement described in its petition, the PASS-Key based upon substantial evidence, the that an antitheft device will be installed III+, will be installed as standard standard equipment antitheft device is as standard equipment on all vehicles in equipment on its Chevrolet Trax likely to be as effective in reducing and the line for which the exemption is vehicles starting with MY 2022. PASS- deterring motor vehicle theft as sought. Under section 543.6(a)(2), each Key III+ is a transponder-based compliance with the parts-marking petition must list each component in the electronic engine immobilizer antitheft requirements of Part 541. antitheft system, and include a diagram device. Section 543.8(c) requires NHTSA to showing the location of each of those In accordance with section issue its decision either to grant or to components within the vehicle. As 543.6(a)(2), GM provided a detailed deny an exemption petition not later required by section 543.6(a)(3), each description and diagram of the identity, than 120 days after the date on which petition must include an explanation of design, and location of the components a complete petition is filed. If NHTSA the means and process by which the of the antitheft device for its Chevrolet does not make a decision within the device is activated and functions, Trax vehicle line. Key components of 120-day period, the petition shall be including any aspect of the device the antitheft device include a PASS-Key deemed to be approved and the designed to: (1) Facilitate or encourage III+ controller module, engine control manufacturer shall be exempt from the its activation by motorists; (2) attract module (ECM), an electronically-coded standard for the line covered by the attention to the efforts of an ignition key, a radio frequency (RF) petition for the subsequent model year.1 unauthorized person to enter or move a receiver, an immobilizer exciter module, Exemptions granted under Part 543 vehicle by means other than a key; (3) three low frequency antennas, and a apply only to the vehicle line or lines prevent defeating or circumventing the that are subject to the grant and that are device by an unauthorized person 2 49 CFR 543.6(a)(3). attempting to enter a vehicle by means 3 49 CFR 543.6(a)(4). 1 49 U.S.C. 33106(d). other than a key; (4) prevent the 4 49 CFR 543.6(a)(5).

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passive antenna module and provided a GM provided information on the Key III+, GM believes that the PASS-Key diagram of the locations of the reliability and durability of its proposed III+ device will be more effective in components. device as required by section deterring theft than the parts-marking GM stated that the PASS-Key III+ 543.6(a)(3)(v). To ensure reliability and requirements of 49 CFR part 541. immobilizer device is designed to be durability of the device, GM followed its III. Decision To Grant the Petition active at all times without direct own standards in assessing reliability intervention by the vehicle operator. and conducted tests to validate the Pursuant to 49 U.S.C. 33106 and 49 GM further stated that activation of the integrity, durability and reliability of the CFR 543.8(b), the agency grants a device occurs immediately after the PASS-Key III+ device, including tests petition for exemption from the parts- ignition has been turned off and the key for high temperature storage, low marking requirements of Part 541, either has been removed and deactivation of temperature storage, thermal shock, in whole or in part, if it determines that, the antitheft device occurs humidity, frost, salt fog, flammability based upon substantial evidence, the automatically when the engine is and others. GM further stated that the standard equipment antitheft device is started. design and assembly processes of the likely to be as effective in reducing and GM stated that the Chevrolet Trax PASS-Key III+ subsystem and deterring motor vehicle theft as vehicle line will be equipped with one components are validated for 10 years of compliance with the parts-marking of two ignition versions. Specifically, vehicle life and 150,000 miles of requirements of Part 541. The agency the Chevrolet Trax will be equipped performance. finds GM has provided adequate reasons with either a keyed or keyless ignition In support of its belief that its for its belief that the antitheft device for version of its PASS-Key III+ antitheft device will be as effective as or the Chevrolet Trax vehicle line is likely immobilizer antitheft device. GM stated more effective than the parts-marking to be as effective in reducing and that the ‘‘keyed’’ ignition version requirement in reducing and deterring deterring motor vehicle theft as utilizes a special ignition key and vehicle theft, and in accordance with 49 compliance with the parts-marking decoder module and its electrical code CFR 543.6(a)(5), GM referenced data requirements of the Theft Prevention must be sensed and properly decoded provided by the American Automobile Standard. This conclusion is based on by the controller module before the Manufacturers Association (AAMA) in the information the manufacturer vehicle can be operated. GM further support of the effectiveness of GM’s provided about its antitheft device. stated that with the ‘‘keyless’’ ignition PASS-Key devices in reducing and NHTSA believes, based on the version, an electronic key fob performs deterring motor vehicle theft, and stated supporting evidence submitted by the normal remote keyless entry functions that the PASS-Key III+ device has been manufacturer, that the antitheft device and communicates with the vehicle designed to enhance the functionality described for its vehicle line is likely to without direct owner intervention. and theft protection provided by its be as effective in reducing and deterring Specifically, during operation of the first, second and third generation PASS- motor vehicle theft as compliance with vehicle, when the owner presses the Key, PASS-Key II, and PASS-Key III the parts-marking requirements of the engine start/stop switch, the vehicle devices. Specifically, GM stated that Theft Prevention Standard. transmits a randomly generated data which provide the basis for GM’s The agency concludes that GM’s challenge and vehicle identifier within confidence that the PASS-Key III+ antitheft device will provide four of the the passenger compartment of the system will be effective in reducing and five types of performance features listed vehicle via three low-frequency deterring motor vehicle theft are in section 543.6(a)(3): Promoting antennas, controlled by the passive contained in the response of the activation; preventing defeat or antenna module. The electronic key American Automobile Manufacturers circumvention of the device by receives the data and if the vehicle Association (AAMA) to Docket 97–042; unauthorized persons; preventing identifier matches that of the vehicle, Notice I (NHTSA Request for Comments the electronic key will calculate the on its preliminary Report to Congress on operation of the vehicle by response to the vehicle using the the effects of the Anti Car Theft Act of unauthorized entrants; and ensuring the challenge and secret information shared 1992 and the Motor Vehicle Theft Law reliability and durability of the device. between the key and the vehicle. The Enforcement Act of 1984). In the Report The agency notes that 49 CFR part electronic key then transmits the to Congress, AAMA stated the more 541, Appendix A–1, identifies those response via a radio frequency channel recent antitheft systems are more lines that are exempted from the Theft to a vehicle mounted receiver, effective in reducing auto theft. Prevention Standard for a given model conveying the information to the PASS- GM also stated that theft rate data year. 49 CFR 543.8(f) contains Key III+ control module. The PASS-Key have indicated a decline in theft rates publication requirements incident to the III+ control module compares the for vehicle lines equipped with disposition of all Part 543 petitions. received response with an internally comparable devices that have received Advanced listing, including the release calculated response. If the values match, full exemptions from the parts-marking of future product nameplates, the the device will allow the vehicle to requirements. GM stated that the theft beginning model year for which the enter functional modes and transmit a rate data, as provided by the Federal petition is granted and a general fixed code pre-release password to the Bureau of Investigation’s National Crime description of the antitheft device is engine controller over the serial data Information Center (NCIC) and necessary in order to notify law bus, and enable computation and compiled by the agency, show that theft enforcement agencies of new vehicle communication of a response to any rates are lower for exempted GM models lines exempted from the parts-marking valid challenge received from the engine equipped with the PASS-Key-like requirements of the Theft Prevention controller. If a valid key is not detected, systems than the theft rates for earlier Standard. the system will not transmit a fixed models with similar appearance and If GM decides not to use the code pre-release password to the engine construction that were parts-marked. exemption for its requested vehicle line, controller and fuel will not be delivered Based on the performance of the PASS- the manufacturer must formally notify to the engine and the starter will not be Key, PASS-Key II, and PASS-Key III the agency. If such a decision is made, enabled, so the vehicle will be devices on other GM models, and the the line must be fully marked as immobilized. advanced technology utilized in PASS- required by 49 CFR 541.5 and 541.6

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(marking of major component parts and (OMB) for emergency approval of a for the following DOT information replacement parts). proposed information collection. DOT collection activity: NHTSA notes that if GM wishes in the requests that OMB authorize the OMB Control Number: 2106–NEW. future to modify the device on which collection of information on or before Title: Aviation Manufacturing Jobs this exemption is based, the company May 15, 2021, for 180 days after the date Protection (AMJP) program. may have to submit a petition to modify of approval by OMB. Upon receiving the Form Numbers: New collection. the exemption. Section 543.8(d) states requested six-month emergency Type of Review: Emergency approval that a Part 543 exemption applies only approval by OMB, DOT will follow the of information collection. to vehicles that belong to a line normal PRA procedures to obtain Expected Number of Respondents: exempted under this part and equipped extended approval for this proposed 4,900. with the antitheft device on which the information collection. The purpose of Frequency: One-time application, to line’s exemption is based. Further, this collection is to enable eligible be followed by disbursement requests section 543.10(c)(2) provides for the business entities to apply for payroll and closeout. Estimated Average Burden per submission of petitions ‘‘to modify an assistance under the ‘‘Aviation Response: 28 hours (initial application, exemption to permit the use of an Manufacturing Jobs Protection’’ (AMJP) 12 hours; monthly disbursement antitheft device similar to but differing program, established by the ‘‘American request, 2 hours each for 6 months; and from the one specified in the Rescue Plan Act of 2021’’ (ARPA), closeout documentation, 4 hours). exemption.’’ which was enacted on March 11, 2021. Estimated Total Annual Burden: The agency wishes to minimize the DOT is requesting emergency approval 137,200. administrative burden that section due to the urgency of making the Abstract: On March 11, 2021, the 543.10(c)(2) could place on exempted associated funds available to business ‘‘American Rescue Plan Act of 2021’’ vehicle manufacturers and itself. The entities that meet the eligibility (ARPA), Public Law (Pub. L.) 117–2, agency did not intend in drafting Part requirements under the law. The was enacted. Sections 7201 and 7202 543 to require the submission of a continued viability of these business establish the ‘‘Aviation Manufacturing modification petition for every change entities is crucial to supporting the Jobs Protection’’ (AMJP) program. The to the components or design of an aviation industry and economic stated purpose of the program is ‘‘to antitheft device. The significance of recovery in the United States. Because provide public contributions to many such changes could be de ARPA requires DOT to reduce funding supplement compensation of an eligible minimis. Therefore, NHTSA suggests on a pro rata basis if eligible requests employee group’’ (which is defined in that if GM contemplates making any exceed available funds, DOT must the statute), by entering into agreements changes, the effects of which might be identify the full universe of eligible with qualifying business entities to pay characterized as de minimis, it should businesses and the magnitude of their up to half of the payroll costs for that consult the agency before preparing and funding requests before issuing the first group of employees for up to six submitting a petition to modify. agreement. The statutory requirements months, in return for several For the foregoing reasons, the agency of the AJMP also establish a strict six- commitments, including a commitment hereby grants in full GM’s petition for month timeframe during which DOT that the company will not involuntarily exemption for the Chevrolet Trax must enter into payroll support furlough or lay off employees within vehicle line from the parts-marking agreements with eligible businesses. that group. Individual employees requirements of 49 CFR part 541, DATES: Comments should be submitted (including contract employees) are not beginning with its MY 2022 vehicles. as soon as possible upon publication of eligible to apply for assistance under Issued in Washington, DC, under authority this notice in the Federal Register. this program. delegated in 49 CFR 1.95 and 501.8. ADDRESSES: Comments and questions Application for assistance under the Raymond R. Posten, should be directed to the Office of AMJP is voluntary. No business is Associate Administrator for Rulemaking. Information and Regulatory Affairs required to apply. To be eligible, [FR Doc. 2021–07569 Filed 4–13–21; 8:45 am] (OIRA), Attn: OST OMB Desk Officer, however, businesses must meet all the BILLING CODE 4910–59–P 725 17th Street NW, Washington, DC requirements set forth in the law. 20503. Comments and questions about Therefore, DOT must collect certain the ICR identified below may be information from applicants to DEPARTMENT OF TRANSPORTATION transmitted electronically to OIRA at determine eligibility. DOT must also _ verify the accuracy of specific payment [Docket No: OST–2021–0038] oira [email protected]. requests from approved applicants, in FOR FURTHER INFORMATION CONTACT: Agency Request for Emergency accordance with other laws and Information related to this ICR, regulations governing Federal financial Approval of an Information Collection including applicable supporting of Information Associated With the assistance programs, including (but not documentation may be obtained by limited to) the Anti-Deficiency Act, the Aviation Manufacturing Jobs contacting Alexus Jenkins-Reid in the Protection (AMJP) Program Federal Funding Accountability and Office of the Secretary of Transparency Act (FFATA), the AGENCY: U.S. Department of Transportation, 1200 New Jersey Payment Integrity Information Act of Transportation. Avenue SE, Washington, DC 20590, via 2019, and 2 CFR part 200, among others. telephone at (202) 366–4594, or via ACTION: The ARPA requires DOT to reduce Notice and request for email at [email protected]. comments. funding on a pro rata basis if eligible SUPPLEMENTARY INFORMATION: The requests exceed available funds. SUMMARY: In compliance with the Paperwork Reduction Act of 1995 (44 Therefore, DOT will conduct a single- Paperwork Reduction Act of 1995, the U.S.C. chapter 35; as amended) and 5 round, expedited application process to Department of Transportation (DOT) CFR part 1320 require each Federal identify all eligible requests before provides notice that it will submit an agency to obtain OMB approval to beginning the award process. information collection request (ICR) to initiate an information collection Accordingly, DOT is developing a the Office of Management and Budget activity. DOT is seeking OMB approval process and system that will enable

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businesses to apply for financial Employer/Taxpayer Identification categories and numbers of personnel in assistance under the AMJP. DOT Number (EIN/TIN), Data Universal each category.2 anticipates using an online, web-based Numbering System (DUNS) number, • The actual aggregate total cost of system to collect the following Unique Entity Identifier under 2 CFR compensation for the eligible employee information: part 25, etc. All applicants will be group for the six-month period ending • Legal name of the applicant (i.e., required to have pre-registered with the March 31, 2021. DOT requires this the legal name of the business entity), as System for Award Management (SAM) information to calculate the potentially well as any other identities under which at https://sam.gov/SAM/. eligible amount of financial assistance the applicant may be doing business. • under the AMJP (subject to pro rata • Address, telephone, and email Description of the applicant’s reduction if necessary due to contact information for the applicant. business operations, in sufficient detail availability of funds). DOT anticipates • Legal authority under which the to demonstrate how the applicant meets requiring a breakdown of the applicant is established. the statutory requirement to have compensation costs (e.g., aggregate base • Name and title of the authorized ‘‘significant operations in, and a salaries versus other major benefit representative of the applicant (who majority of its employees engaged in categories, including but not limited to will attest to the required certifications). aviation manufacturing activities and medical benefits paid by the employer, • DOT may also require the identity services, or maintenance, repair, and paid leave, insurance premiums paid by of external parties involved in overhaul activities and services based in the employer, employer match on preparation of the application, the United States.’’ This will include a employee retirement contributions, including outside accountants, listing of all business locations, and the etc.). Applicants will be required to attorneys, or auditors who may be number of employees (and the provide supporting documentation in assisting the business entity that is percentage of their time) engaged in sufficient detail to substantiate the applying for assistance under this aviation-related versus other business preceding aggregate costs, but program. specifically excluding any Personally • The specific statutory criteria that activities at each location, as of a specific date that DOT will identify in Identifiable Information (PII) for any the applicant meets for eligibility under individual employees. This may include this program. The statute defines a subsequent program announcement. • financial reports and redacted payroll eligible applicants to include a Details sufficient to demonstrate reports, or such additional supporting corporation, firm, or other business how the applicant meets the documentation as DOT may require. entity that ‘‘(i) actively manufactures an requirement to have ‘‘involuntarily • Whether the applicant business aircraft, aircraft engine, propeller, or a furloughed or laid off at least 10 percent entity is currently engaged in any legal component, part, or systems of an of its workforce in 2020 as compared to proceeding that could jeopardize its aircraft or aircraft engine under a 2019 or has experienced at least a 15 ability to fulfill the legal commitments Federal Aviation Administration percent decline in 2020 revenues as required in statute as conditions for production approval; (ii) holds a compared to 2019.’’ The applicant will receiving funds under the AMJP. certificate issued under part 145 of title be required to provide either aggregate Examples of such proceedings could 14, Code of Federal Regulations, for numbers of personnel as of April 1, include (but are not limited to) any maintenance, repair, and overhaul of 2019 and April 1, 2020, or total process related to the United States aircraft, aircraft engines, components, or operating revenue figures for the Bankruptcy Code, potential merger or propellers; or (iii) operates a process applicant’s fiscal years ending 2019 and acquisition discussions, or current certified to SAE AS9100 1 related to the 2020. litigation against the applicant. The design, development, or provision of an • application system will request that aviation product or service, including a Certification that the applicant has applicants identify any such issues at a part, component, or assembly.’’ not received a credit against applicable high level, but avoid including Accordingly, DOT will require the employment taxes under section 2301 of unnecessary details in the application. applicant to identify which of these the CARES Act (26 U.S.C. 3111 note) for • Whether the applicant is delinquent categories they meet, and how. DOT the immediately preceding calendar on any debt to any Federal agency, may also require applicants to provide quarter ending before such agreement is along with supporting details. supporting documentation, including entered into, or financial assistance • Certification by the applicant that reference numbers and copies of under section 4113 of the CARES Act they can and will enter into a legal certificates or authorizations issued by (15 U.S.C. 9073) (providing payroll agreement with DOT, that will require the Federal Aviation Administration or support to air carriers and contractors), the applicant to (1) provide the private by SAE. and is not currently expending financial contribution (which means the • Location where the applicant was assistance under the paycheck remainder of the total compensation legally established, created, or organized protection program established under costs associated with the eligible to do business. This information and section 7(a)(36) of the Small Business employee group that is not funded by supporting documentation will be Act (15 U.S.C. 636(a)(36)), as of the date assistance under the AMJP); and (2) not required to demonstrate how the the employer submits an application conduct any involuntary layoffs, applicant meets the statutory under the AMJP. Although DOT may furloughs, or reductions in pay rates or requirement to be ‘‘established, created, verify the accuracy of these benefits for the eligible employee group or organized in the United States or certifications, including the possibility 2 under the laws of the United States.’’ of a risk-based approach to verification, The statutory definition of the ‘‘eligible • Other identification numbers, employee group’’ is the portion of an employer’s applicants are legally responsible for including but not limited to the United States workforce that does not exceed 25 ensuring the accuracy of these percent of the employer’s total United States certifications. workforce as of April 1, 2020; contains only 1 SAE refers to the Society of Automotive employees with a total compensation level of Engineers, whose membership includes • Definition of the applicant’s $200,000 or less per year; and is engaged in aviation aeronautical engineers. For information about SAE ‘‘eligible employee group,’’ as defined in manufacturing activities and services, or AS9100, see https://www.sae.org/standards/ maintenance, repair, and overhaul activities and content/as9100/. the statute, identifying the specific job services.

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during the term of the agreement with Affairs (VA), is announcing an OMB Control Number: 2900–0677. DOT. opportunity for public comment on the Type of Review: Extension of a • A sworn certification as to the proposed collection of certain currently approved collection. complete and accurate nature of all information by the agency. Under the Abstract: VA Form 28–1903 is used to information provided, including all Paperwork Reduction Act (PRA) of gather the necessary information to supporting documentation, subject to 1995, Federal agencies are required to develop formal training agreements with civil or criminal penalties. The specific publish notice in the Federal Register an institution, training establishment, or certification language will include: ‘‘I concerning each proposed collection of employer for training and rehabilitation certify under penalty of perjury that the information, including each proposed under 38 U.S.C. Chapter 31. information and certifications provided extension of a currently approved Additionally, the information is used to in the application and its attachments collection, and allow 60 days for public authorize a claimant’s participation in a are true and correct. WARNING: comment in response to the notice. program with a training vendor or Anyone who knowingly submits a false DATES: Written comments and facility under 38 U.S.C 3104. claim or makes a false statement is recommendations on the proposed Affected Public: Private Sector. subject to criminal and/or civil collection of information should be Estimated Annual Burden: 400 hours. penalties, including confinement for up received on or before June 14, 2021. Estimated Average Burden per to 5 years, fines, and civil penalties. (18 ADDRESSES: Submit written comments Respondent: 60 minutes. U.S.C. 287, 1001; 31 U.S.C. 3729, on the collection of information through Frequency of Response: One time. 3802).’’ Federal Docket Management System Estimated Number of Respondents: • After DOT determines eligibility (FDMS) at www.Regulations.gov or to 1,600. and enters into an agreement with the Nancy J. Kessinger, Veterans Benefits By direction of the Secretary. applicant (referred to hereafter as ‘‘the Administration (20M33), Department of Dorothy Glasgow, recipient’’), DOT may also require the Veterans Affairs, 810 Vermont Avenue VA PRA Clearance Officer (Alt), Office of recipient to provide the actual aggregate NW, Washington, DC 20420 or email to Enterprise and Integration/Data Governance total cost of compensation for the [email protected]. Please refer to Analytics, Department of Veterans Affairs. eligible employee group during the ‘‘OMB Control No. 2900–0677’’ in any [FR Doc. 2021–07578 Filed 4–13–21; 8:45 am] period of the agreement with DOT, if correspondence. During the comment BILLING CODE 8320–01–P DOT determines it is necessary in order period, comments may be viewed online to review and approve actual through FDMS. disbursements pursuant to the FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF VETERANS agreement. Recipients will be required Maribel Aponte, Office of Enterprise AFFAIRS to provide supporting documentation in and Integration, Data Governance [OMB Control No. 2900–0024] sufficient detail to substantiate the Analytics (008), 1717 H Street NW, actual costs, specifically excluding any Washington, DC 20006, (202) 266–4688 Agency Information Collection Personally Identifiable Information (PII) or email [email protected]. Please Activity: Insurance Deduction for any individual employees. • refer to ‘‘OMB Control No. 2900–0677’’ Authorization Recipients will also be required to in any correspondence. provide additional supporting AGENCY: Veterans Benefits SUPPLEMENTARY INFORMATION: Under the information and certifications in Administration, Department of Veterans PRA of 1995, Federal agencies must support of disbursement requests. Affairs. obtain approval from the Office of Authority: The Paperwork Reduction Act Management and Budget (OMB) for each ACTION: Notice. of 1995; 44 U.S.C. Chapter 35, as amended; collection of information they conduct SUMMARY: Veterans Benefits and the American Rescue Plan Act of 2021 or sponsor. This request for comment is (Pub. L. 117–2). Administration, Department of Veterans being made pursuant to Section Signed in Washington, DC on April 7, Affairs (VA), is announcing an 3506(c)(2)(A) of the PRA. opportunity for public comment on the 2021. With respect to the following proposed collection of certain Brian Elliott Black, collection of information, VBA invites information by the agency. Under the Special Program Development Lead, U.S. comments on: (1) Whether the proposed Paperwork Reduction Act (PRA) of Department of Transportation. collection of information is necessary 1995, Federal agencies are required to [FR Doc. 2021–07468 Filed 4–13–21; 8:45 am] for the proper performance of VBA’s publish notice in the Federal Register BILLING CODE 4910–9X–P functions, including whether the concerning each proposed collection of information will have practical utility; information, including each proposed (2) the accuracy of VBA’s estimate of the extension of a currently approved burden of the proposed collection of DEPARTMENT OF VETERANS collection, and allow 60 days for public information; (3) ways to enhance the AFFAIRS comment in response to the notice. quality, utility, and clarity of the [OMB Control No. 2900–0677] information to be collected; and (4) DATES: Written comments and recommendations on the proposed Agency Information Collection ways to minimize the burden of the collection of information on collection of information should be Activity: Contract for Training and received on or before June 14, 2021. Employment respondents, including through the use of automated collection techniques or ADDRESSES: Submit written comments AGENCY: Veterans Benefits the use of other forms of information on the collection of information through Administration, Department of Veterans technology. Federal Docket Management System Affairs. Authority: 38 U.S.C. 501(a) and 38 (FDMS) at www.Regulations.gov or to ACTION: Notice. U.S.C. 3104. Nancy J. Kessinger, Veterans Benefits Title: Contract for Training and Administration (20M33), Department of SUMMARY: Veterans Benefits Employment (Chapter 31, Title 38, U.S. Veterans Affairs, 810 Vermont Avenue Administration, Department of Veterans Code). NW, Washington, DC 20420 or email to

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[email protected]. Please refer to comments on: (1) Whether the proposed Abstract: These forms are used by ‘‘OMB Control No. 2900–0024’’ in any collection of information is necessary veterans to authorize the Department of correspondence. During the comment for the proper performance of VBA’s Veterans Affairs (VA) to make period, comments may be viewed online functions, including whether the deductions from benefit payments to through FDMS. information will have practical utility; pay premiums, loans and/or liens on FOR FURTHER INFORMATION CONTACT: (2) the accuracy of VBA’s estimate of the his/her insurance contract. The Maribel Aponte, Office of Enterprise burden of the proposed collection of information requested is authorized by and Integration, Data Governance information; (3) ways to enhance the law, 38 CFR 8.8. Analytics (008), 1717 H Street NW, quality, utility, and clarity of the Affected Public: Individuals and Washington, DC 20006, (202) 266–4688 information to be collected; and (4) households. or email [email protected]. Please ways to minimize the burden of the Estimated Annual Burden: 622 hours. refer to ‘‘OMB Control No. 2900–0024’’ collection of information on Estimated Average Burden per in any correspondence. respondents, including through the use Respondent: 10 minutes. of automated collection techniques or Frequency of Response: On occasion. SUPPLEMENTARY INFORMATION: Under the the use of other forms of information Estimated Number of Respondents: PRA of 1995, Federal agencies must technology. 3,732. obtain approval from the Office of Management and Budget (OMB) for each Authority: Public Law 104–13; 44 By direction of the Secretary. collection of information they conduct U.S.C. 3501–3521. Maribel Aponte, or sponsor. This request for comment is Title: Insurance Deduction VA PRA Clearance Officer, Office of being made pursuant to Section Authorization, VA Form 29–888. Enterprise and Integration/Data Governance 3506(c)(2)(A) of the PRA. OMB Control Number: 2900–0024. Analytics, Department of Veterans Affairs. With respect to the following Type of Review: Revision of a [FR Doc. 2021–07587 Filed 4–13–21; 8:45 am] collection of information, VBA invites previously approved collection. BILLING CODE 8320–01–P

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Vol. 86 Wednesday, No. 70 April 14, 2021

Part II

Department of Health and Human Services

Centers for Medicare & Medicaid Services 42 CFR Parts 418 and 484 Medicare Program; FY 2022 Hospice Wage Index and Payment Rate Update, Hospice Conditions of Participation Updates, Hospice and Home Health Quality Reporting Program Requirements; Proposed Rule

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DEPARTMENT OF HEALTH AND to http://www.regulations.gov. Follow addition, this rule proposes to rebase HUMAN SERVICES the ‘‘Submit a comment’’ instructions. the labor shares of the hospice payment 2. By regular mail. You may mail rates and proposes clarifying regulations Centers for Medicare & Medicaid written comments to the following text changes to the election statement Services address ONLY: Centers for Medicare & addendum requirements finalized in the Medicaid Services, Department of FY 2020 Hospice Wage Index and 42 CFR Parts 418 and 484 Health and Human Services, Attention: Payment Rate Update final rule (84 FR [CMS–1754–P] CMS–1754–P, P.O. Box 8010, Baltimore, 38484). This rule also includes MD 21244–1850. information on hospice utilization RIN 0938–AU41 Please allow sufficient time for mailed trends and solicits comments regarding comments to be received before the hospice utilization and spending Medicare Program; FY 2022 Hospice close of the comment period. patterns. In addition, this rule proposes Wage Index and Payment Rate Update, 3. By express or overnight mail. You to make permanent selected regulatory Hospice Conditions of Participation may send written comments to the blanket waivers for hospice agencies Updates, Hospice and Home Health following address ONLY: Centers for during the COVID–19 Public Health Quality Reporting Program Medicare & Medicaid Services, Emergency (PHE) and proposes Requirements Department of Health and Human revisions to the hospice conditions of AGENCY: Centers for Medicare & Services, Attention: CMS–1754–P, Mail participation (CoPs). This rule proposes Medicaid Services (CMS), HHS. Stop C4–26–05, 7500 Security changes to the Hospice Quality Boulevard, Baltimore, MD 21244–1850. Reporting Program (HQRP), requests ACTION: Proposed rule. For information on viewing public information on advancing to digital SUMMARY: This rule proposes updates to comments, see the beginning of the quality measurement and the use of Fast the hospice wage index, payment rates, SUPPLEMENTARY INFORMATION section. Healthcare Interoperability Resources and aggregate cap amount for Fiscal FOR FURTHER INFORMATION CONTACT: (FHIR), addresses the White House Year 2022. This rule proposes changes For general questions about hospice Executive Order related to health equity to the labor shares of the hospice payment policy, send your inquiry via in the HQRP and provides updates on payment rates, proposes clarifying email to: [email protected]. advancing the Health Information regulations text changes to the election For questions regarding the CAHPS® Exchange. Finally, this rule proposes statement addendum that was Hospice Survey, contact Debra Dean- changes to the Home Health Quality implemented on October 1, 2020, Whittaker at (410) 786–0848. Reporting Program (HH QRP) to address includes information on hospice For questions regarding the hospice the January 2022 refresh in accordance utilization trends and solicits comments conditions of participation (CoPs), with sections 1895(b)(3)(B)(v)(III) and regarding hospice utilization and contact Mary Rossi-Coajou at (410)786– 1899(B)(f) of the Act. spending patterns. In addition, this rule 6051. B. Summary of the Major Provisions proposes to make permanent selected For questions regarding the home Section III.A of this proposed rule regulatory blanket waivers that were health public reporting, contact Charles includes data analysis on historical issued to Medicare-participating Padgett (410) 786–2811. hospice utilization trends. The analysis hospice agencies during the COVID–19 For questions regarding the hospice includes data on the number of public health emergency and updates quality reporting program, contact beneficiaries using the hospice benefit, the hospice conditions of participation. Cindy Massuda at (410) 786–0652. live discharges, reported diagnoses on The proposed rule would update the SUPPLEMENTARY INFORMATION: hospice claims, Medicare hospice Hospice Quality Reporting Program. The Inspection of Public Comments: All spending, and Parts A, B and D non- comments received before the close of proposed rule requests information on hospice spending during a hospice the comment period are available for advancing to digital quality election. In this section, we also solicit viewing by the public, including any measurement, the use of Fast Healthcare comments from the public, including personally identifiable or confidential Interoperability Resources, addresses hospice providers as well as patients business information that is included in the White House Executive Order and advocates, regarding the presented a comment. We post all comments related to health equity in the Hospice analysis on hospice utilization and received before the close of the Quality Reporting Program and provides spending patterns. We also include comment period on the following updates to advancing Health questions related to non-hospice website as soon as possible after they Information Exchange. Finally, this rule spending during a hospice election. proposes changes beginning with the have been received: http:// Section III.B of this proposed rule January 2022 public reporting for the www.regulations.gov. Follow the search proposes to rebase and revise the labor Home Health Quality Reporting Program instructions on that website to view shares for continuous home care (CHC), to address exceptions related to the public comments. routine home care (RHC), inpatient COVID–19 public health emergency. Wage index addenda will be available respite care (IRC), and general inpatient DATES: To be assured consideration, only through the internet on our website care (GIP) using 2018 Medicare cost comments must be received at one of at: (https://www.cms.gov/Medicare/ report (MCR) data for freestanding the addresses provided below by June 7, Medicare-Fee-for-Service-Payment/ hospice facilities. 2021. Hospice/Hospice-Wage-Index.html.) Section III.C proposes updates to the ADDRESSES: In commenting, refer to file I. Executive Summary hospice wage index and makes the code CMS–1754–P. application of the updated wage data Comments, including mass comment A. Purpose budget neutral for all four levels of submissions, must be submitted in one This rule proposes updates to the hospice care. In section III.C of this rule, of the following three ways (choose only hospice wage index, payment rates, and we also discuss the proposed FY 2022 one of the ways listed): cap amount for Fiscal Year (FY) 2022 as hospice payment update percentage of 1. Electronically. You may submit required under section 1814(i) of the 2.3 percent, updates to the hospice electronic comments on this regulation Social Security Act (the Act). In payment rates, as well as the updates to

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the hospice cap amount for FY 2022 by Finally, in section III.G of this rule, centered care for those who are the hospice payment update percentage we are proposing changes to the HH terminally ill. of 2.3 percent. QRP to establish that, beginning with As referenced in our regulations at Section III.D proposes clarifying the January 2022 through the July 2024 § 418.22(b)(1), to be eligible for regulations text changes regarding the public reporting refresh cycle, we will Medicare hospice services, the patient’s election statement addendum report fewer quarters of data due to attending physician (if any) and the requirements that were finalized in the COVID–19 PHE exceptions granted on hospice medical director must certify FY 2020 Hospice Wage Index and Rate March 27, 2020. We include this Home that the individual is ‘‘terminally ill,’’ as Update final rule (84 FR 38484). Health proposal in this rule because we defined in section 1861(dd)(3)(A) of the Section III.E proposes to make plan to resume public reporting for the Act and our regulations at § 418.3; that permanent selected regulatory blanket HH QRP with the January 2022 refresh is, the individual has a medical waivers that were issued to Medicare- of Care Compare. In order to prognosis that his or her life expectancy participating hospice agencies during accommodate the exception of 2020 Q1 is 6 months or less if the illness runs its the COVID–19 PHE. We are proposing to and Q2 data, we are proposing to normal course. The regulations at revise hospice aide requirements to resume public reporting using 3 out of § 418.22(b)(2) require that clinical allow the use of the pseudo-patient for 4 quarters of data for the January 2022 information and other documentation conducting hospice aide competency refresh. In order to finalize this proposal that support the medical prognosis evaluations. We are also proposing to in time to release the required preview accompany the certification and be filed revise the provisions at report related to the refresh, which we in the medical record with it and those § 418.76(h)(1)(iii) to state that if a release 3 months prior to any given at § 418.22(b)(3) require that the hospice verifies during an on-site visit refresh (October 2021), we need the rule certification and recertification forms the finding of a supervising nurse containing this proposal to finalize by include a brief narrative explanation of regarding an area of concern in the October 2021. the clinical findings that support a life performance of a hospice aide, the expectancy of 6 months or less. hospice must conduct and the hospice C. Summary of Impacts Under the Medicare hospice benefit, aide must complete a competency the election of hospice care is a patient evaluation related to the deficient and The overall economic impact of this choice and once a terminally ill patient related skill(s), in accordance with proposed rule is estimated to be $530 elects to receive hospice care, a hospice § 418.76(c). million in increased payments to interdisciplinary group is essential in In section III.F of this rule, we discuss hospices for FY 2022. the seamless provision of primarily proposals to the HQRP including the II. Background home-based services. The hospice addition of claims-based Hospice Care interdisciplinary group works with the Index (HCI) measure, and Hospice Visits A. Hospice Care beneficiary, family, and caregivers to in the Last Days of Life (HVLDL) Hospice care is a comprehensive, develop a coordinated, comprehensive measure for public reporting; removal of holistic approach to treatment that care plan; reduce unnecessary the seven Hospice Item Set (HIS) recognizes the impending death of a diagnostics or ineffective therapies; and measures because a more broadly terminally ill individual and warrants a maintain ongoing communication with applicable measure, the NQF 3235 HIS change in the focus from curative care individuals and their families about Comprehensive Assessment Measure for to palliative care for relief of pain and changes in their condition. The the particular topic is available and for symptom management. Medicare beneficiary’s care plan will shift over already publicly reported; and further regulations define ‘‘palliative care’’ as time to meet the changing needs of the development of, Hospice Outcome and individual, family, and caregiver(s) as patient and family-centered care that Patient Evaluation (HOPE) assessment the individual approaches the end of optimizes quality of life by anticipating, instrument. We also provide updates on life. preventing, and treating suffering. the public reporting change for one If, in the judgment of the hospice refresh cycle to report less than the Palliative care throughout the interdisciplinary team, which includes standard quarters of data due to the continuum of illness involves the hospice physician, the patient’s COVID–19 PHE exemptions and adding addressing physical, intellectual, symptoms cannot be effectively the Consumer Assessment of Healthcare emotional, social, and spiritual needs managed at home, then the patient is Providers and Systems (CAHPS®) and to facilitate patient autonomy, eligible for general inpatient care (GIP), Hospice Survey Star ratings. access to information, and choice (42 a more medically intense level of care. Additionally, there are requests for CFR 418.3). Palliative care is at the core GIP must be provided in a Medicare- information (RFI) on advancing to of hospice philosophy and care certified hospice freestanding facility, digital quality measurement and the use practices, and is a critical component of skilled nursing facility, or hospital. GIP of Fast Healthcare Interoperability the Medicare hospice benefit. is provided to ensure that any new or Resources (FHIR) and on addressing the The goal of hospice care is to help worsening symptoms are intensively White House Executive Order related to terminally ill individuals continue life addressed so that the beneficiary can health equity in the HQRP. In addition, with minimal disruption to normal return to his or her home and continue this rule provides updates to advancing activities while remaining primarily in to receive routine home care. Limited, Health Information Exchange (HIE). The the home environment. A hospice uses short-term, intermittent, inpatient Department of Health and Human an interdisciplinary approach to deliver respite care (IRC) is also available Services (HHS) has a number of medical, nursing, social, psychological, because of the absence or need for relief initiatives designed to encourage and emotional, and spiritual services of the family or other caregivers. support the adoption of interoperable through a collaboration of professionals Additionally, an individual can receive health information technology and to and other caregivers, with the goal of continuous home care (CHC) during a promote nationwide health information making the beneficiary as physically period of crisis in which an individual exchange to improve health care and and emotionally comfortable as requires continuous care to achieve patient access to their health possible. Hospice is compassionate palliation or management of acute information. beneficiary and family/caregiver- medical symptoms so that the

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individual can remain at home. providing hospice care to a beneficiary brought to light the potential role Continuous home care may be covered who is a hospice patient be established hospices could play in medical aid in for as much as 24 hours a day, and these before care is provided by, or under dying (MAID) where such practices periods must be predominantly nursing arrangements made by, the hospice have been legalized in certain states, we care, in accordance with the regulations program; and that the written plan be wish to remind hospices that The at § 418.204. A minimum of 8 hours of periodically reviewed by the Assisted Suicide Funding Restriction nursing care, or nursing and aide care, beneficiary’s attending physician (if Act of 1997 (Pub. L. 105–12) prohibits must be furnished on a particular day to any), the hospice medical director, and the use of Federal funds to provide or qualify for the continuous home care an interdisciplinary group (section pay for any health care item or service rate (§ 418.302(e)(4)). 1861(dd)(2)(B) of the Act). The services or health benefit coverage for the Hospices must comply with offered under the Medicare hospice purpose of causing, or assisting to cause, applicable civil rights laws,1 including benefit must be available to the death of any individual including section 504 of the Rehabilitation Act of beneficiaries as needed, 24 hours a day, mercy killing, euthanasia, or assisted 1973 and the Americans with 7 days a week (section 1861(dd)(2)(A)(i) suicide. However, the prohibition does Disabilities Act, under which covered of the Act). not pertain to the provision of an item entities must take appropriate steps to Upon the implementation of the or service for the purpose of alleviating ensure effective communication with hospice benefit, the Congress also pain or discomfort, even if such use may patients and patient care representatives expected hospices to continue to use increase the risk of death, so long as the with disabilities, including the volunteer services, though Medicare item or service is not furnished for the provisions of auxiliary aids and does not pay for these volunteer services specific purpose of causing or services. Additionally, they must take (section 1861(dd)(2)(E) of the Act). As accelerating death. reasonable steps to ensure meaningful stated in the FY 1983 Hospice Wage 1. Omnibus Budget Reconciliation Act access for individuals with limited Index and Rate Update proposed rule of 1989 English proficiency, consistent with (48 FR 38149), the hospice must have an Title VI of the Civil Rights Act of 1964. interdisciplinary group composed of Section 6005(a) of the Omnibus Further information about these paid hospice employees as well as Budget Reconciliation Act of 1989 (Pub. requirements may be found at: http:// hospice volunteers, and that ‘‘the L. 101–239) amended section www.hhs.gov/ocr/civilrights. hospice benefit and the resulting 1814(i)(1)(C) of the Act and provided Medicare reimbursement is not changes in the methodology concerning B. Services Covered by the Medicare updating the daily payment rates based Hospice Benefit intended to diminish the voluntary spirit of hospices.’’ This expectation on the hospital market basket Coverage under the Medicare hospice supports the hospice philosophy of percentage increase applied to the benefit requires that hospice services community based, holistic, payment rates in effect during the must be reasonable and necessary for comprehensive, and compassionate end previous Federal fiscal year. the palliation and management of the of life care. 2. Balanced Budget Act of 1997 terminal illness and related conditions. Section 1861(dd)(1) of the Act C. Medicare Payment for Hospice Care Section 4441(a) of the Balanced establishes the services that are to be Budget Act of 1997 (BBA) (Pub. L. 105– Sections 1812(d), 1813(a)(4), 33) established that updates to the rendered by a Medicare-certified 1814(a)(7), 1814(i), and 1861(dd) of the hospice program. These covered hospice payment rates beginning FY Act, and the regulations in 42 CFR part 2002 and subsequent FYs be the services include: Nursing care; physical 418, establish eligibility requirements, therapy; occupational therapy; speech- hospital market basket percentage payment standards and procedures; increase for the FY. Section 4442 of the language pathology therapy; medical define covered services; and delineate social services; home health aide BBA amended section 1814(i)(2) of the the conditions a hospice must meet to Act, effective for services furnished on services (called hospice aide services); be approved for participation in the physician services; homemaker services; or after October 1, 1997, to require that Medicare program. Part 418, subpart G, hospices submit claims for payment for medical supplies (including drugs and provides for a per diem payment based biologicals); medical appliances; hospice care furnished in an on one of four prospectively-determined individual’s home only on the basis of counseling services (including dietary rate categories of hospice care (RHC, counseling); short-term inpatient care in the geographic location at which the CHC, IRC, and GIP), based on each day service is furnished. Previously, local a hospital, nursing facility, or hospice a qualified Medicare beneficiary is inpatient facility (including both respite wage index values were applied based under hospice care (once the individual on the geographic location of the care and procedures necessary for pain has elected). This per diem payment is control and acute or chronic symptom hospice provider, regardless of where meant to cover all of the hospice the hospice care was furnished. Section management); continuous home care services and items needed to manage during periods of crisis, and only as 4443 of the BBA amended sections the beneficiary’s care, as required by 1812(a)(4) and 1812(d)(1) of the Act to necessary to maintain the terminally ill section 1861(dd)(1) of the Act. individual at home; and any other item provide for hospice benefit periods of or service which is specified in the plan While payments made to hospices is two 90-day periods, followed by an of care and for which payment may to cover all items, services, and drugs unlimited number of 60-day periods. otherwise be made under Medicare, in for the palliation and management of the terminal illness and related 3. FY 1998 Hospice Wage Index Final accordance with Title XVIII of the Act. Rule Section 1814(a)(7)(B) of the Act conditions, Federal funds cannot be requires that a written plan for used for the prohibited activities, even The FY 1998 Hospice Wage Index in the context of a per diem payment. final rule (62 FR 42860), implemented a 2 1 Hospices are also subject to additional Federal While recent news reports have new methodology for calculating the civil rights laws, including the Age Discrimination Act, Section 1557 of the Affordable Care Act, and 2 Nelson, R., Should Medical Aid in Dying Be Part 2020. https://www.medscape.com/viewarticle/ conscience and religious freedom laws. of Hospice Care? Medscape Nurses. February 26, 925769#vp_1.

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hospice wage index and instituted an by section 3132(a)(1)(B) of the PPACA, urban consumers (CPI–U) for medical annual Budget Neutrality Adjustment authorized the Secretary to collect care expenditures. Factor (BNAF) so aggregate Medicare additional data and information 8. FY 2015 Hospice Wage Index and payments to hospices would remain determined appropriate to revise Payment Rate Update Final Rule budget neutral to payments calculated payments for hospice care and other using the 1983 wage index. purposes. The types of data and The FY 2015 Hospice Wage Index and information suggested in the PPACA Rate Update final rule (79 FR 50452) 4. FY 2010 Hospice Wage Index Final finalized a requirement that the Notice Rule could capture accurate resource utilization, which could be collected on of Election (NOE) be filed within 5 The FY 2010 Hospice Wage Index and claims, cost reports, and possibly other calendar days after the effective date of Rate Update final rule (74 FR 39384) mechanisms, as the Secretary hospice election. If the NOE is filed instituted an incremental 7-year phase- determined to be appropriate. The data beyond this 5-day period, hospice out of the BNAF beginning in FY 2010 collected could be used to revise the providers are liable for the services through FY 2016. The BNAF phase-out methodology for determining the furnished during the days from the reduced the amount of the BNAF payment rates for RHC and other effective date of hospice election to the increase applied to the hospice wage services included in hospice care, no date of NOE filing (79 FR 50474). As index value, but was not a reduction in earlier than October 1, 2013, as with the NOE, the claims processing the hospice wage index value itself or in described in section 1814(i)(6)(D) of the system must be notified of a the hospice payment rates. Act. In addition, CMS was required to beneficiary’s discharge from hospice or hospice benefit revocation within 5 5. The Affordable Care Act consult with hospice programs and the Medicare Payment Advisory calendar days after the effective date of Starting with FY 2013 (and in Commission (MedPAC) regarding the discharge/revocation (unless the subsequent FYs), the market basket hospice has already filed a final claim) percentage update under the hospice additional data collection and payment revision options. through the submission of a final claim payment system referenced in sections or a Notice of Termination or 1814(i)(1)(C)(ii)(VII) and 6. FY 2012 Hospice Wage Index Final Revocation (NOTR). 1814(i)(1)(C)(iii) of the Act are subject to Rule The FY 2015 Hospice Wage Index and annual reductions related to changes in Rate Update final rule (79 FR 50479) In the FY 2012 Hospice Wage Index economy-wide productivity, as also finalized a requirement that the final rule (76 FR 47308 through 47314) specified in section 1814(i)(1)(C)(iv) of election form include the beneficiary’s it was announced that beginning in the Act. choice of attending physician and that 2012, the hospice aggregate cap would In addition, sections 1814(i)(5)(A) the beneficiary provide the hospice with be calculated using the patient-by- through (C) of the Act, as added by a signed document when he or she patient proportional methodology, section 3132(a) of the Patient Protection chooses to change attending physicians. and Affordable Care Act (PPACA) (Pub. within certain limits. Existing hospices In addition, the FY 2015 Hospice L. 111–148), required hospices to begin had the option of having their cap Wage Index and Rate Update final rule submitting quality data, based on calculated through the original (79 FR 50496) provided background, measures specified by the Secretary of streamlined methodology, also within described eligibility criteria, identified the Department of Health and Human certain limits. As of FY 2012, new survey respondents, and otherwise Services (the Secretary), for FY 2014 hospices have their cap determinations implemented the Hospice Experience of and subsequent FYs. Since FY 2014, calculated using the patient-by-patient Care Survey for informal caregivers. hospices that fail to report quality data proportional methodology. If a hospice’s Hospice providers were required to have their market basket percentage total Medicare payments for the cap begin using this survey for hospice increase reduced by 2 percentage points. year exceed the hospice aggregate cap, patients as of 2015. Note that with the passage of the then the hospice must repay the excess Finally, the FY 2015 Hospice Wage Consolidated Appropriations Act, 2021 back to Medicare. Index and Rate Update final rule (hereafter referred to as CAA 2021) (Pub. 7. IMPACT Act of 2014 required providers to complete their L. 116–260), the reduction changes to 4 aggregate cap determination not sooner percentage points beginning in FY 2024. The Improving Medicare Post-Acute than 3 months after the end of the cap Section 1814(a)(7)(D)(i) of the Act, as Care Transformation Act of 2014 year, and not later than 5 months after, added by section 3132(b)(2) of the (IMPACT Act) (Pub. L. 113–185) became and remit any overpayments. Those PPACA, required, effective January 1, law on October 6, 2014. Section 3(a) of hospices that fail to submit their 2011, that a hospice physician or nurse the IMPACT Act mandated that all aggregate cap determinations on a practitioner have a face-to-face Medicare certified hospices be surveyed timely basis will have their payments encounter with the beneficiary to every 3 years beginning April 6, 2015 suspended until the determination is determine continued eligibility of the and ending September 30, 2025. In completed and received by the Medicare beneficiary’s hospice care prior to the addition, section 3(c) of the IMPACT contractor (79 FR 50503). 180th day recertification and each Act requires medical review of hospice subsequent recertification, and to attest cases involving beneficiaries receiving 9. FY 2016 Hospice Wage Index and that such visit took place. When more than 180 days of care in select Payment Rate Update Final Rule implementing this provision, the hospices that show a preponderance of In the FY 2016 Hospice Wage Index Centers for Medicare & Medicaid such patients; section 3(d) of the and Rate Update final rule (80 FR Services (CMS) finalized in the FY 2011 IMPACT Act contains a new provision 47142), CMS finalized two different Hospice Wage Index final rule (75 FR mandating that the cap amount for payment rates for RHC: A higher per 70435) that the 180th day recertification accounting years that end after diem base payment rate for the first 60 and subsequent recertifications would September 30, 2016, and before October days of hospice care and a reduced per correspond to the beneficiary’s third or 1, 2025 be updated by the hospice diem base payment rate for subsequent subsequent benefit periods. Further, payment percentage update rather than days of hospice care. CMS also finalized section 1814(i)(6) of the Act, as added using the consumer price index for a service intensity add-on (SIA)

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payment payable for certain services 2017. Regarding the CAHPS® Hospice October 1, 2025. Division CC, section during the last 7 days of the Survey, CMS finalized a policy that 407 of CAA 2021 revises section beneficiary’s life. A service intensity hospices that receive their CMS 1814(i)(5)(A)(i) to increase the payment add-on payment will be made for the Certification Number (CCN) after reduction for hospices who fail to meet social worker visits and nursing visits January 1, 2017 for the FY 2019 Annual hospice quality measure reporting provided by a registered nurse (RN), Payment Update (APU) and January 1, requirements from two percent to four when provided during routine home 2018 for the FY 2020 APU will be percent beginning with FY 2024. care in the last 7 days of life. The SIA exempted from the Hospice CAHPS® III. Provisions of the Proposed Rule payment is in addition to the routine requirements due to newness (81 FR home care rate. The SIA payment is 52182). The exemption is determined by A. Hospice Utilization and Spending provided for visits of a minimum of 15 CMS and is for 1 year only. Patterns minutes and a maximum of 4 hours per 11. FY 2020 Hospice Wage Index and CMS provides analysis as it relates to day (80 FR 47172). Payment Rate Update Final Rule hospice utilization such as Medicare In addition to the hospice payment spending, utilization by level of care, In the FY 2020 Hospice Wage Index reform changes discussed, the FY 2016 lengths of stay, live discharge rates, and and Rate Update final rule (84 FR Hospice Wage Index and Rate Update skilled visits during the last days of life 38484), we finalized rebased payment final rule implemented changes using the most recent, complete claims rates for CHC and GIP and set those mandated by the IMPACT Act, in which data. Stakeholders report that such data rates equal to their average estimated FY the cap amount for accounting years can be used to educate hospices on 2019 costs per day. We also rebased IRC that end after September 30, 2016 and Medicare policies to help ensure per diem rates equal to the estimated FY before October 1, 2025 would be compliance. Moreover, in response to 2019 average costs per day, with a updated by the hospice payment update the Office of Inspector General (OIG) reduction of 5 percent to the FY 2019 percentage rather than using the CPI–U reports highlighting vulnerabilities in average cost per day to account for (80 FR 47186). In addition, we finalized the Medicare hospice benefit including coinsurance. We finalized the FY 2020 a provision to align the cap accounting hospices engaging in inappropriate proposal to reduce the RHC payment year for both the inpatient cap and the billing, not providing needed services rates by 2.72 percent to offset the hospice aggregate cap with the FY for and crucial information to beneficiaries increases to CHC, IRC, and GIP payment FY 2017 and thereafter. Finally, the FY in order for them to make informed rates to implement this policy in a 2016 Hospice Wage Index and Rate decisions about their care, 3 we continue budget-neutral manner in accordance Update final rule (80 FR 47144) clarified to monitor both hospice and non- with section 1814(i)(6) of the Act (84 FR that hospices would have to report all hospice spending during a hospice 38496). diagnoses on the hospice claim as a part election. We are still analyzing the of the ongoing data collection efforts for In addition, we finalized a policy to use the current year’s pre-floor, pre- effects of the COVID–19 PHE as it possible future hospice payment relates to the following routine refinements. reclassified hospital inpatient wage index as the wage adjustment to the monitoring analysis and whether those 10. FY 2017 Hospice Wage Index and labor portion of the hospice rates. effects are likely to be temporary or Payment Rate Update Final Rule Finally, in the FY 2020 Hospice Wage permanent and if such effects vary In the FY 2017 Hospice Wage Index Index and Rate Update final rule (84 FR significantly across hospice providers. and Rate Update final rule (81 FR 38505), we finalized modifications to Therefore, for the purposes of providing 52160), CMS finalized several new the hospice election statement content routine analysis on utilization and policies and requirements related to the requirements at § 418.24(b) by requiring spending, in this proposed rule, we HQRP. First, CMS codified the policy hospices, upon request, to furnish an used the most complete data we have that if the National Quality Forum election statement addendum effective from FY 2019. (NQF) made non-substantive changes to beginning in FY 2021. The addendum 1. General Hospice Utilization Trends specifications for HQRP measures as must list those items, services, and Since the implementation of the part of the NQF’s re-endorsement drugs the hospice has determined to be hospice benefit in 1983, there has been process, CMS would continue to utilize unrelated to the terminal illness and substantial growth in hospice the measure in its new endorsed status, related conditions, increasing coverage utilization. The number of Medicare without going through new notice-and- transparency for beneficiaries under a beneficiaries receiving hospice services comment rulemaking. CMS would hospice election. has grown from 584,438 in FY 2001 to continue to use rulemaking to adopt over 1.6 million in FY 2019. Medicare substantive updates made by the NQF to 12. Consolidated Appropriations Act, hospice expenditures have risen from the endorsed measures adopted for the 2021 $3.5 billion in FY 2001 to HQRP; determinations about what Division CC, section 404 of the CAA approximately $20 billion in FY 2019.4 constitutes a substantive versus non- 2021 amended section 1814(i)(2)(B) of substantive change would be made on a the Act and extended the provision that CMS’ Office of the Actuary (OACT) measure-by-measure basis. Second, we currently mandates the hospice cap be projects that aggregate hospice finalized two new quality measures for updated by the hospice payment update expenditures are expected to continue the HQRP for the FY 2019 payment percentage (hospital market basket to increase, by approximately 7.6 determination and subsequent years: update reduced by the multifactor percent annually. We note that the Hospice Visits when Death is Imminent productivity adjustment) rather than the 3 ‘‘Hospice Inappropriately Billed Medicare Over Measure Pair and Hospice and Palliative CPI–U for accounting years that end $250 Million for General Inpatient Care’’, OEI–02– Care Composite Process Measure- after September 30, 2016 and before 10–00491, March, 2016. ‘‘Vulnerabilities in the Comprehensive Assessment at October 1, 2030. Prior to enactment of Medicare Hospice Program Affect Quality Care and Admission (81 FR 52173). The data this provision, the hospice cap update Program Integrity: An OIG Portfolio’’, OEI–02–16– 00570, July, 2018. collection mechanism for both of these was set to revert to the original 4 Source: Analysis of data for FY 2001 through FY measures is the Hospice Item Set (HIS), methodology of updating the annual cap 2019 accessed from the Chronic Conditions Data and the measures were effective April 1, amount by the CPI–U beginning on Warehouse (CCW) on January 15, 2021.

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average spending per beneficiary has 2019 from approximately $11,158 in FY the Medicare hospice benefit has also increased between FY 2010 and FY 2010 to $12,687 in FY 2019.5 increased as shown in Table 1. The percentage of Medicare decedents who died while receiving services under

TABLE 1: Deaths in Hospice by Fiscal Year

Deaths of Total Deaths of Percentage of Medicare FY Medicare Deaths in Beneficiaries Beneficiaries Hospice Using Hospice 2010 1,988,485 866,335 43.6% 2011 2,051,800 924,507 45.1% 2012 2.050.164 958.408 46.7% 2013 2,137,216 1 009 584 47.2% 2014 2.123.163 1020318 48.1% 2015 2,223,283 1 073 876 48.3% 2016 2,206,350 1,090,513 49.4% 2017 2,277,731 1,142,935 50.2% 2018 2,328,219 1,183,449 50.8% 2019 2,326,948 1,209,109 52.0% Source: Analysis of data for FY 2010 through FY 2019 accessed from the CCW on January 15, 2021. Note: Hospice deaths are counted as any hospice claim with a discharge status code of "40", "41 ", or "42".

Similar to the increase in the number market as a whole. In FY 2019, 68 implementation of the Medicare hospice of beneficiaries using the benefit, the percent (3,254 out of 4,811) of hospices benefit from primarily cancer diagnoses total number of organizations offering were for-profit and 21 percent (987 out to neurological diagnoses, including hospice services also continues to grow, of 4,811) were non-profit, whereas in FY Alzheimer’s disease and other related with for-profit providers entering the 2014, 61 percent (2,513 out of 4,108) dementias (80 FR 25839). Our ongoing market at higher rates than not-for-profit were for-profit and 25 percent (1,029 out analysis of diagnosis reporting finds that providers. In its March 2020 Report to of 4,108) of hospices were non-profit. In neurological and organ-based failure the Congress, MedPAC stated that for FY 2019, for-profit hospices provided conditions remain the top-reported more than a decade, the increasing approximately 58 percent of all hospice principal diagnoses. Beneficiaries with number of hospice providers is due days while non-profit hospices provided these terminal conditions tend to have almost entirely to the entry of for-profit 31 percent of all hospice days.7 longer hospice stays, which have providers. MedPAC also stated that long Hospices that listed their ownership historically been more profitable than stays in hospice have been very status as ‘‘Other’’, ‘‘Government’’ or had 8 profitable and this has attracted new an unknown ownership status shorter stays. Table 2 shows the top 20 provider entrants with revenue- accounted for the remaining percentage most frequently reported principal generating strategies specifically of hospice days. diagnoses on FY 2019 hospice claims. targeting those patients expected to have There have been notable changes in BILLING CODE 4120–??–P longer lengths of stay.6 Freestanding the pattern of diagnoses among hospices continue to dominate the Medicare hospice enrollees since the

5 Source: Analysis of data for FY 2010 through FY Provider of Service (POS) File (https:// ‘‘Government’’ categories and the ‘‘Combination 2019 accessed from the CCW on Jan 15, 2021. www.cms.gov/files/zip/posothercsvdec19.zip). Government & Nonprofit’’ option. Other represents 6 Report to Congress, Medicare Payment Policy. NOTES: Using the Analytic file, we found there the ‘‘other’’ category. One hospice could not be Hospice Services, Chapter 12. MedPAC. March were 4,971 hospices that submitted at least one linked to the POS file and is listed as unknown. claim in FY 2019. Of those, we show the frequency 2020. http://www.medpac.gov/docs/default-source/ 8 Report to Congress, Medicare Payment Policy. _ _ _ of their ownership type as shown in the POS file. reports/mar20 medpac ch12 sec.pdf. For-profit hospices include the ‘‘proprietary’’ Hospice Services, Chapter 12. MedPAC. March 7 Source: FY 2014–FY 2019 hospice claims data categories. Non-profit includes the ‘‘voluntary non- 2020. http://www.medpac.gov/docs/default-source/ from CCW on January 15, 2021. December 2020 profit’’ categories. Government includes the reports/mar20_medpac_ch12_sec.pdf.

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TABLE 2: Top Twenty Principal Hospice Diagnoses, FY 2019

Percentage of all Number of Rank ICD-10/Reported Principal Diagnosis Reported Beneficiaries Principal Dia2noses 1 G30.9-Alzheimer's disease, unspecified 148,890 9.2% 2 G3 l. l-Senile degeneration of brain, not elsewhere classified 92,931 5.8% 3 J44.9-Chronic obstructive pulmonary disease, unspecified 84,926 5.3% 4 150.9-Heart failure, unspecified 60,383 3.7% C34.90-Malignant neoplasm of unspecified part of unspecified 5 51,927 3.2% bronchus or lung 6 G30.l-Alzheimer's disease with late onset 47,817 3.0% 7 G20-Parkinson's disease 46,781 2.9%

Percentage of all Number of Rank ICD-10/Reported Principal Diagnosis Reported Beneficiaries Principal Dia2noses 125.10-Atherosclerotic heart disease of native coronary artery without 8 43,186 2.7% angina pectoris 9 167 .2-Cerebral atherosclerosis 35,355 2.2% 10 I 11. 0-Hypertensive heart disease with heart failure 28,657 1.8% J44.l-Chronic obstructive pulmonary disease with (acute) 11 28,333 1.8% exacerbation 12 163.9-Cerebral infarction, unspecified 27,405 1.7% 13 C6 l-Malignant neoplasm of prostate 26,652 1.7% 113.0-Hypertensive heart and chronic kidney disease with heart 14 failure and stage 1 through stage 4 chronic kidney disease, or 25,818 1.6% unspecified chronic kidnev disease 15 167.9-Cerebrovascular disease, unspecified 24,467 1.5% 16 Nl8.6-End stage renal disease 22,727 1.4% 17 C25. 9-Malignant neoplasm of pancreas, unspecified 21,700 1.3% 18 C 18. 9-Malignant neoplasm of colon, unspecified 21,111 1.3% 19 E43-Unspecified severe protein-calorie malnutrition 20,741 1.3% 20 151.9-Heart disease, unspecified 17,428 1.1% Source: Analysis of data for FY 2019 accessed from the CCW on January 15, 2021. Notes: The frequencies shown represent beneficiaries that had a least one claim with the specific ICD-10 code reported as the principal diagnosis. Beneficiaries could be represented multiple times in the results if they had multiple claims during FY 2019 with different principal diagnoses. The percentage column represents the percentage of beneficiary /diagnosis pairs in FY 2019 with a specific ICD-10 code.

BILLING CODE 4120–??–C how hospices have been utilizing the as the highest percentage of total Hospice Utilization by Level of Care different levels of care. RHC hospice payments as shown in Tables 3 Our analysis shows that there have consistently represents the highest and 4). only been slight changes over time in percentage of total hospice days as well

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TABLE 3: Percent of Hospice Days by Level of Care, FY 2010 and FY 2019

FY RHC CHC IRC GIP

2010 97.2% 0.4% 0.3% 2.1% 2019 98.3% 0.2% 0.3% 1.2%

TABLE 4: Percent of Payments to Hospices by Level of Care, FY 2010 and FY 2019

FY RHC CHC IRC GIP

2010 89.2% 2.0% 0.2% 8.5% 2019 93.8% 0.9% 0.3% 4.9%

In the FY 2020 Hospice Wage Index Medicare regulations at § 418.3 define Hospice Length of Stay and Payment Rate Update final rule (84 ‘‘terminally ill’’ to mean that the FR 38496), we rebased the payment individual has a medical prognosis that We examined hospice length of stay rates for the CHC, IRC, and GIP levels his or her life expectancy is 6 months in three ways: (1) Average length of of care to better align hospice payment or less if the illness runs its normal election, meaning the number of hospice days during a single hospice with the costs of providing care. We will course. However, we recognize that a election at the time of live discharge or continue to monitor the effects of these beneficiary may be under a hospice death; (2) the median lifetime length of rebased rates to determine if there are election longer than 6 months, as long any notable shifts in the provision of stay, which represents the 50th as there remains a reasonable percentile, and; (3) average lifetime care or any other perverse utilization expectation that the individuals have a patterns that would warrant any length of stay, which includes the sum life expectancy of 6 months or less. It program integrity or survey actions. of all days of hospice care across all has always been our expectation that the hospice elections. Extremely long 2. Trends in Hospice Length of Stay, certifying physicians will use their best lengths of stay influence both the Live Discharges and Skilled Visits in the clinical judgment, in accordance with average length of election and average Last Days of Life Analysis the regulations at §§ 418.22 and 418.25, lifetime length of stay. Table 5 shows Eligibility under the Medicare hospice to determine if the individual has a life the average length of election, the benefit is predicated on the individual expectancy of 6 months or less with median and average lifetime lengths of being certified as terminally ill. each certification and recertification. stay from FYs 2016 through 2019.

TABLE 5: Hospice Length of Stay FYs 2016 - 2019

FY 2016 FY 2017 FY 2018 FY 2019 Average Length 74 Days 74 Days 75 Days 77 Days of Election Median Lifetime 19 Days 19 Days 19 Days 20 Days Len!rth of Stav Average Lifetime 95 Days 95 Days 96 Days 99 Days Len,rth of Stav Source: Hospice claims data accessed from CCW on January 15, 2021.

Length of stay estimates vary based on claims in FY 2019 along with the the exception of kidney disease/kidney the reported principal diagnosis Table 6 corresponding number of hospice failure) tend to have much longer lists the top six clinical categories of discharges. Patients with neurological lengths of stay compared to patients principal diagnoses reported on hospice and organ-based failure conditions (with with cancer diagnoses.

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TABLE 6: Average Length of Stay in Days for Hospice Users in FY 2019

Number of Median Average Average Hospice Users Lifetime Lifetime Category Length of Discharged at the Length of Length of Election End of FY 2019 Stay Stay

Alzheimer's, Dementia, and 210,944 126.9 52 169.0 Parkinson's CVA/Stroke 57,100 114.7 34 148.3 Cancers 290,868 45.7 17 53.5 Chronic Kidney Disease/Kidney 28,130 35.6 8 44.3 Failure Heart (CHF and Other Heart 210,087 85.4 24 107.6 Disease) Lung (COPD and Pneumonias) 112,852 82.2 20 108.0 Other 351,977 64.2 14 82.1 All Diagnoses 1,261,958 77.3 20 98.8 Source: Hospice claims data accessed from CCW on January 15, 2021 Notes: Only beneficiaries whose last day of hospice in FY 2019 was not associated with a discharge status code of "30" were counted ("30" indicates they remained in hospice). We count the start of an election as when a patient begins hospice and is not already within a hospice election. We count elections as ending when we obsenre a discharge status code other than "30". Lifetime length of stay is determined using all hospice elections over the beneficiary's lifetime.

Hospice Live Discharges § 418.28. However, at any time From FY 2014 through FY 2019, the Federal regulations limit the thereafter, the beneficiary may re-elect average live discharge rate has been circumstances in which a Medicare hospice coverage at any other hospice approximately 17 percent per year. Of hospice provider may discharge a election period that they are eligible to the live discharges in FY 2019, 37.5 patient from its care. In accordance with receive. Immediately upon hospice percent were because of revocations, § 418.26, discharge from hospice care is revocation, Medicare coverage resumes 37.2 percent were because the permissible when the patient moves out for those Medicare benefits previously beneficiary was determined to no longer of the provider’s service area, is waived with the hospice election. Only be terminally ill, 10.7 percent were determined to be no longer terminally the beneficiary (or representative) can because beneficiaries moved out of the ill, or for cause. Hospices may not revoke the hospice election. A service area without transferring discharge the patient at their discretion, revocation must be in writing and must hospices, and 12.9 percent were because even if the care may be costly or specify the effective date of the beneficiaries transferred to another inconvenient for the hospice. revocation. A hospice cannot revoke a hospice (see Figure 1). The remaining Additionally, an individual or beneficiary’s hospice election, nor is it 1.6 percent were discharged for cause.9 representative may revoke the appropriate for hospices to encourage, Figure 1 shows the average annual rates individual’s election of hospice care at request, or demand that the beneficiary of live discharge rates from FYs 2010 any time during an election period in or his or her representative revoke his through 2019. accordance with the regulations at or her hospice election.

9 For cause is defined in Chapter 9, Section 20.2.3 www.cms.gov/Regulations-and-Guidance/ of the Hospice Benefit Policy Manual. https:// Guidance/Manuals/downloads/bp102c09.pdf.

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Figure 1: Annual Live Discharge Rates for FYs 2010 - FY 2019

20.0% 19.3%

Ill 19.0% QJ ....ra ci::: gi, 18.0% ,_ 17.5% ra .c u 16.9% .!!! C 17.0% QJ > ::::i 16.8% QJ .!:! 16.0% Cl. Ill 0 ::c: 15.0%

14.0% 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 Fiscal Year

Source: Analysis of data for FY 2010 through FY 2019 accessed from the CCW on January 15, 2021. Notes: All hospice claims examined list a discharge status code (meaning claims were excluded if they listed status code 30, indicating a continuing patient). Discharges ending in death had a discharge status code of 40, 41, or 42. Any claims not already excluded or indicated a discharge resulting from death were considered live discharges.

Finally, we looked at the distribution discharges occur in the first 30 days of where approximately 25 percent of live of live discharges by length of stay hospice care and after 180 days of discharges occurred within 30 days of intervals. Figure 2 shows the live hospice care. The proportion of live the start of hospice care, and discharge rates by length of stay discharges occurring between the approximately 32 percent occurred after intervals from FY 2016 through FY lengths of stay intervals was relatively a length of stay over 180 days of hospice 2019. We found that the majority of live constant from FY 2016 to FY 2019 care.

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Figure 2: Length of Stay Intervals Distribution for Live Discharges, FY 2016 to FY2019

i:° 40.0%

~ 0 ..c I 30.0% ------­ ~ ~.., ~ J! 20.0% c~ GJ ~ o 10.0% GJ 1111 Ill 1: GJ ~ GJ 1:1. 0.0% 2016 2017 2018 2019 Fiscal Vear

<= 30 Days !11!131- 60 Days !1161- 90 Days 11191- 180 Days 111 >= 181 Days

Source: Analysis of data for FY 2016 through FY 2019 accessed from the CCW on January 15, 2021. Notes: All hospice claims examined list a discharge status code (meaning claims were excluded if they listed status code 30, indicating they were a continuing patient). Discharges ending in death had a discharge status code of 40, 41, or 42. Any claims not already excluded or indicated a discharge resulting from death were considered live discharges.

Service Intensity Add-On (SIA) Payment hospice care and a reduced base preceding the SIA payment), the A hospice’s costs typically follow a U- payment rate for days 61 and later. (80 percentage of beneficiaries who did not shaped curve, with higher costs at the FR 47172). To reflect higher costs receive a skilled nursing or social beginning and end of a stay, and lower associated with the last 7 days of life, in worker visit on the last day of life (when costs in the middle of the stay. This cost FY 2016, we implemented the service the last day of life was RHC) was nearly curve reflects hospices’ higher service intensity add-on payment (SIA) for RHC 23 percent. Our analysis shows a slight intensity at the time of the patient’s when direct patient care is provided by decline in the number of beneficiaries admission and the time surrounding the a RN or social worker during the last 7 who did not receive an RN or social patient’s death.10 In the period of the beneficiary’s life. The SIA worker visit on the last day of life (when immediately preceding death, patient payment is equal to the CHC hourly rate the last day of life was RHC) where the needs typically surge and more multiplied by the hours of nursing or percentage trended downward to just intensive services are typically social work provided on the day of over 19 percent in CYs 2017 to 2019. service (up to 4 hours), if certain criteria warranted, and where the provision of This trend is similar for the 4 days are met (80 FR 47177). This effort care would proportionately escalate to leading up to the end of life (when the meet the increased clinical, emotional, represented meaningful advances in encouraging visits to hospice last 4 days of life were RHC), meaning and other needs of the hospice beneficiaries are receiving more skilled beneficiary and his or her family and beneficiaries during the time preceding nursing and social worker visits during caregiver(s). death and where patient and family In the FY 2016 Hospice Rate Update needs typically intensify. the last days of life since final rule (80 FR 47142), we established To examine the effects of the SIA implementation of the SIA payment. two different payment rates for RHC to payment, we analyzed claims since the Table 7 shows the percentage of reflect the cost of providing hospice care implementation of the SIA payment to decedents not receiving skilled visits at throughout the course of a hospice determine if there was an increase in RN the end of life for CY 2015 through CY election. We finalized a higher base and social worker visits in the last seven 2019. payment rate for the first 60 days of days of life. In CY 2015 (the year BILLING CODE 4120–01–P

10 Reforming Medicare’s Hospice Benefit. docs/default-source/reports/Mar09_ MedPAC. March 2009. http://www.medpac.gov/ Ch06.pdf?sfvrsn=0.

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TABLE 7: Percentage of Decedents Not Receiving Skilled Visits at the End of Life (on Routine Home Care Days), Calendar Years (CYs) 2015-2019

CY CY CY CY CY 2015 2016 2017 2018 2019 No skilled visits on last day 22.7% 20.4% 19.4% 19.5% 19.6% (and last dav was RHC) No skilled visits on last two days (and last two days were 11.0% 9.3% 8.3% 7.8% 7.5% RHC) No skilled visits on last three days (and last three days were 6.8% 5.7% 5.0% 4.6% 4.4% RHC) No skilled visits on last four days (and last four days were 4.6% 3.8% 3.2% 2.9% 2.8% RHC) Source: Analysis of Medicare hospice claims and administrative data (CY 2015-2019) accessed from the CCW on January 15, 2021. Note: The FY 2016 payment reform was enacted on January 1, 2016, these analyses use CYs, not FYs, to better align with reform implementation.

SIA payments have increased from FY to $150 million respectively as shown in 2016 through FY 2019 from $88 million Figure 3.

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Figure 3: Number of Beneficiaries with Visits that Qualified for SIA Payments, FY 2016 - FY 2019

1,000,000 $160,000,000

900,000 $140,000,000

800,000 $120,000,000 700,000 Ill (IJ ·;: $100,000,000 .!l! Ill u ...C I;:: (IJ (IJ C E (IJ 500,000 $80,000,000 > 1:0 Ill ... Q. ...0

$20,000,000 100,000

0 $0 2016 2017 2018 2019 - Beneficiaries ~SIA Payments

Source: Analysis of data for FY 2016 through FY 2019 accessed from the CCW on January 15, 2021. Note: SIA payments were determined by summing the revenue center payments for revenue codes 055x (Nursing) and 056x (Medical Social Services). FY 2016 only includes nine months of SIA payment because the policy started on January 1, 2016.

BILLING CODE 4120–01–C and overall there were only modest worker minutes in the last 7 days of life To further evaluate the impact of the changes from CY 2015 to CY 2019, as from CY 2015 through 2018 in their SIA, we examined the total amount of shown in Table 8.11 MedPAC had March 2020 Report to Congress and minutes provided by skilled nurses and examined skilled nurse and social similarly found little change overall.12 social workers in the last 7 days of life

11 Note: The SIA technically only applies to For the analyses in this section we examine all 2020. http://www.medpac.gov/docs/default-source/ registered nurses and non-telephonic social worker skilled nurse and social worker visits, broadly. reports/mar20_medpac_ch12_sec.pdf. visits. The distinction was not widely possible in 12 Report to Congress, Medicare Payment Policy. the claims data prior to the SIA’s implementation. Hospice Services, Chapter 12. MedPAC. March

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TABLE 8: Average Number of Minutes Provided in the Last Seven Days of Life on Routine Home Care days by Skilled Nurse and Medical Social Workers, CY 2015-2019

Skilled Nurse Social Worker Total Year Minutes Minutes Minutes 2015 48.1 6.0 54.1 2016 49.5 6.5 56.0 2017 50.0 6.6 56.6 2018 50.3 6.6 56.9 2019 50.2 6.7 56.9 Source: Analysis of Medicare hospice claims and administrative data (CY 2015-2019) accessed from the CCW on January 15, 2021.

3. Non-Hospice Spending During a care, regardless of whether services are In examining overall non-hospice Hospice Election rendered on any given day. spending during a hospice election, The Medicare hospice per diem Additionally, when a beneficiary Medicare paid over $1 billion in non- payment amounts were developed to elects the Medicare hospice benefit, he hospice spending during a hospice cover all services needed for the or she waives the right to Medicare election in FY 2019 for items and palliation and management of the payment for services related to the services under Parts A, B, and D. terminal illness and related conditions, treatment of the terminal illness and Medicare payments for non-hospice Part as described in section 1861(dd)(1) of related conditions, except for services A and Part B items and services the Act. Hospice services provided provided by the designated hospice and received by hospice beneficiaries during under a written plan of care (POC) the attending physician. The a hospice election increased from $583 should reflect patient and family goals comprehensive nature of the services million in FY 2016 to $692 million in and interventions based on the covered under the Medicare hospice FY 2019 (see Figure 4). This represents problems identified in the initial, benefit is structured such that hospice an increase in non-hospice Medicare comprehensive, and updated beneficiaries should not have to spending for Parts A and B of 18.7 comprehensive assessments. As routinely seek items, services, and/or percent. Whereas there is minimal medications beyond those provided by referenced in our regulations at § 418.64 beneficiary cost sharing under the and section II.B of this rule, a hospice hospice. We believe that it would be Medicare hospice benefit,13 non-hospice must routinely provide all core services unusual and exceptional to see services services received outside of the directly by hospice employees and they provided outside of hospice for those must be provided in a manner individuals who are approaching the Medicare hospice benefit are subject to consistent with acceptable standards of end of life and we have reiterated since beneficiary cost sharing. In FY 2019, the practice. Under the current payment 1983 that ‘‘virtually all’’ care needed by total beneficiary cost sharing amount system, hospices are paid for each day the terminally ill individual would be was $170 million for Parts A and B.14 that a beneficiary is enrolled in hospice provided by the hospice. BILLING CODE 4120–01–P

13 The amount of coinsurance for each of coinsurance for each prescription may not exceed 14 Part A and B cost sharing is calculated by prescription approximates 5 percent of the cost of $5. The amount of coinsurance for each respite care summing together the deductible and coinsurance the drug or biological to the hospice determined in day is equal to 5 percent of the payment made by amounts for each claim. accordance with the drug copayment schedule CMS for a respite care. established by the hospice, except that the amount

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Figure 4: Medicare Payments for Non-Hospice Medicare Part A and Part B Items and Services During Hospice Elections, FY 2016- FY 2019

co olS Ill < s t: tl n, cu C. w ~ cu n, u .!::! ·a. "C Ill cu 0 ~ ::c: b.O ~ .5 $300,000,000 ·-Q. ...::, :g C ::C: Ill I .... $200,000,000 C: C: 0 cu z E > .19~ $100,000,000 {].

2016 2017 2018 2019 Fiscal Vear

Source: Analysis of 100% Medicare Part A and B claims analytic files, FY 2016 - 2019, from the CCW, accessed January 15, 2021. Notes: Payments are based on estimated total non-hospice Medicare utilization($) per hospice service day, excluding utilization on hospice admission or live discharge days. Only Medicare paid amounts are included. The Medicare paid amounts were equally apportioned across the length of each claim and only the days that overlapped a hospice election (not including hospice admission or live discharge days) were counted.

We also examined non-hospice claim type for Parts A and B, as shown spending during a hospice election by in Table 9.

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TABLE 9: Total Medicare Spending Outside the Hospice Benefit during Days of Hospice Service (Excluding Admission/Live Discharge Days) By Claim Type [All Beneficiaries], FY 2016 - FY 2019

Claim Type FY 2016 FY 2017 FY2018 FY 2019

Durable Medical $38,702,631 $40,740,569 $46,385,066 $54,465,708 Equipment Home Health Agency $19,860,890 $17,491,197 $16,181,405 $16,274,141 Inpatient $136,926,412 $132,750,947 $139,348,335 $141,717,834 Outpatient $104,866,171 $109,554,523 $120,840,000 $135,302,250 Physician Billing $261,085,794 $272,239,518 $296,053,914 $335,142,715 Skilled Nursing $21,301,311 $15,271,476 $12,711,167 $9,249,967 Facilitv Source: Analysis of 100% Medicare Part A and B claims analytic files, FY 2016- 2019 from the CCW, accessed January 15, 2021. Notes: Payments are based on estimated total non-hospice Medicare utilization($) per hospice service day, excluding utilization on hospice admission or live discharge days. Only Medicare paid amounts are included. The Medicare paid amounts were equally apportioned across the length of each claim and only the days that overlapped a hospice election (not including hospice admission or live discharge days) were counted.

Hospices are responsible for covering terminal illness or related conditions. and management of the terminal drugs and biologicals related to the After a hospice election, many prognosis.15 Similar to the increase in palliation and management of the maintenance drugs or drugs used to non-hospice spending during a hospice terminal illness and related conditions treat or cure a condition are typically election for Medicare Parts A and B while the patient is under hospice care. discontinued as the focus of care shifts items and services, non-hospice For a prescription drug to be covered to palliation and comfort measures. spending for Part D drugs increased in under Part D for an individual enrolled However, those same drugs may be from $353 million in FY 2016 to $499 in hospice, the drug must be for appropriate to continue as they may million in FY 2019 (Figure 5). treatment completely unrelated to the offer symptom relief for the palliation

15 Update on Part D Payment Responsibility for Hospice. November 2016. https://www.cms.gov/ Hospice/Downloads/2016-11-15-Part-D-Hospice- Drugs for Beneficiaries Enrolled in Medicare Medicare/Medicare-Fee-for-Service-Payment/ Guidance.pdf.

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Figure 5: Total Payments for Non-Hospice Medicare Part D Drugs During Hospice Elections, FY 2016- FY 2019

$600,000,000 ------... -~-----····· ------....u, C (LI E > $500,000,000 ---~----~------·---- •••--co•--cc,-~•cc>---•--·-•------ru u, C. C C -~ ,... o $400,000,000 -~-~-----~~------~------m cu C. w (LI (LI m·a $300,000,000 -~ u, "C 0 (LI :::c ~ ~ $200,000,000 u ... ·-~c::J 0 :::c $100,000,000 ----- I C 0 z $0 2016 2017 2018 2019 Fiscal Year

Source: Analysis of 100% Part D prescription drug events (PDEs), FY 2016 - 2019 from the CCW Virtual Research Data Center (January 15, 2021). Notes: The Medicare paid amounts were assigned to hospice days based on the seIVice date on the PDE. Only seIVice dates that fell within a hospice election and were not hospice admission or live discharge days were counted. The Medicare paid amount includes the low income cost-sharing subsidy and covered drug plan paid amount on Part D PDEs.

Analysis of Part D prescription drug current policy, Part D sponsors are not access that could be created by requiring events (PDEs) data suggests that the expected to place hospice PA PA on all drugs.16 Examples of current use of prior authorization (PA) requirements on categories of drugs maintenance drugs are those used to by Part D sponsors has reduced Part D (other than the four targeted categories treat high blood pressure, heart disease, program payments for drugs in four listed above) or take special measures asthma and diabetes. These categories targeted categories (analgesics, anti- beyond their normal compliance and include beta blockers, calcium channel nauseants, anti-anxiety, and laxatives), utilization review activities. Under this blockers, corticosteroids, and insulin. which are typically used to treat policy, sponsors are not expected to Table 10 details the various common symptoms experienced during place PA requirements on maintenance components of Part D spending for the end of life. However, under drugs, for beneficiaries under a hospice patients receiving hospice care for FY Medicare Part D there has been an election, though these drugs may still be 2019. The portion of the FY 2019 Part increase in hospice beneficiaries filling subject to standard Part D formulary D spending that was paid by Medicare prescriptions for a separate category of management practices. This policy was is the sum of the Low Income Cost- drugs we refer to as maintenance drugs put in place in recognition of the Sharing Subsidy and the Covered Drug (https://www.cms.gov/Medicare/ operational challenges associated with Plan Paid Amount, approximately $499 Medicare-Fee-for-Service-Payment/ requiring PA on all drugs for million. The beneficiary cost sharing Hospice/Downloads/2016-11-15-Part-D- beneficiaries who have elected hospice amount was approximately $59 Hospice-Guidance.pdf). Under CMS’s and because of the potential barriers to million.17

16 Part D Payment for Drugs for Beneficiaries Service-Payment/Hospice/Downloads/2014-PartD- 17 Part D cost sharing is calculated by summing Enrolled in Medicare Hospice. July 18, 2014. Hospice-Guidance-Revised-Memo.pdf. together the ‘‘the patient pay amount’’ and the https://www.cms.gov/Medicare/Medicare-Fee-for- ‘‘other true out of pocket’’ amount that are recorded on the Part D PDE.

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TABLE 10: Drug Cost Sources for Hospice Beneficiaries' FY 2019 Drugs Received Through Part D

Component FY 2019 Expenditures Patient Pay Amount $58,509,601 Low Income Cost-Sharing Subsidy $137,228,459 Other True Out-of Pocket Amount $1,384,551 Patient Liability Reduction Due to Other Payer Amount $17,073,388 Covered Drug Plan Paid Amount $361,684,989 Non-Covered Plan Paid Amount $12,407,033 Six Payment Amount Totals $588,288,021 Unknown/Unreconciled $27,560,104 Gross Total Drug Costs, Reported $615,848,125 Source: Analysis of 100% Part D prescription drug events (PDEs), FY 2019, from the CCW, accessed January 15, 2021. Notes: Payments and costs that occur on hospice admission or live discharge days are excluded from the analysis.

Comment Solicitation on Analysis of covered under the Medicare hospice skilled nursing facility costs per day (48 Hospice Utilization and Spending benefit but are being paid under other FR 38155 through 38156; 56 FR 26917). Patterns Medicare benefits. We are soliciting For the FY 2022 proposed rule, we are We are soliciting comments on all comments as to how hospices make proposing to rebase and revise the labor aspects of the analysis presented in this determinations as to what items, shares for CHC, RHC, IRC and GIP using proposed rule regarding hospice services and drugs are related versus MCR data for freestanding hospices utilization and spending patterns. Our unrelated to the terminal illness and (CMS Form 1984–14, OMB NO. 0938– 18 ongoing monitoring and analysis have related conditions. That is, how do 0758 ) for 2018. We are proposing to shown that the hospice benefit has hospices define what is unrelated to the continue to establish separate labor evolved; originally providing services terminal illness and related conditions shares for CHC, RHC, IRC, and GIP and primarily to patients with cancer, to when establishing a hospice plan of base them on the calculated now primarily patients with care. Likewise, we are soliciting compensation cost weights for each neurological conditions and organ-based comments on what other factors may level of care from the 2018 MCR data. failure. We are particularly interested in influence whether or how certain We describe our proposed methodology how this change in patient services are furnished to hospice for deriving the compensation cost characteristics may have influenced any beneficiaries. Finally, we are interested weights for each level of care using the changes in the provision of hospice in stakeholder feedback as to whether MCR data below. We note that we did services. As mentioned in the above the hospice election statement explore the possibility of using facility- analysis, after the implementation of the addendum has changed the way based hospice MCR data to calculate the SIA in FY 2016, the number of hospices make care decisions and how compensation cost weights; however, beneficiaries who did not receive an RN the addendum is used to prompt very few providers passed the Level I or social worker visit on the last day of discussions with beneficiaries and non- edits (as described in more detail below) has decreased. We are soliciting hospice providers to ensure that the care and so these reports were not usable. comments regarding skilled visits in the needs of beneficiaries who have elected 1. Proposed Methodology for last week of life, particularly, what the hospice benefit are met. Calculating Compensation Costs factors determine how and when visits B. FY 2022 Proposed Labor Shares are made as an individual approaches We are proposing to derive a compensation cost weight for each level the end of life. 1. Background Given the comprehensive and holistic of care that consists of five major nature of the services covered under the The labor share for CHC and RHC of components: (1) Direct patient care Medicare hospice benefit, we continue 68.71 percent was established with the salaries and contract labor costs, (2) to expect that hospices are providing FY 1984 Hospice benefit direct patient care benefits costs, (3) virtually all of the care needed by implementation based on the wage/ other patient care salaries, (4) overhead terminally ill individuals. However, the nonwage proportions specified in salaries, and (5) overhead benefits costs. analysis of non-hospice spending during Medicare’s limit on home health agency For each level of care, we are proposing a hospice election indicates a costs (48 FR 38155 through 38156). The to use the same methodology to derive continuing trend where there is a labor shares for IRC and GIP are the components; however, for the (1) potential ‘‘unbundling’’ of items, currently 54.13 percent and 64.01 18 percent, respectively. These proportions Hospice Facility Cost Report. https:// services, and drugs from the Medicare www.cms.gov/Regulations-and-Guidance/ hospice benefit. That is, there may be were based on skilled nursing facility Legislation/PaperworkReductionActof1995/PRA- items, services, and drugs that should be wage and nonwage cost limits and Listing-Items/CMS-1984-14.

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direct patient care salaries and (3) other patient care costs for RHC (Worksheet (6) Total Compensation Costs and Total patient care salaries, we are proposing A–2, column 7, lines 38 through 46). For Costs to use the MCR worksheet that is IRC, we are proposing to multiply this To calculate the compensation costs specific to that level of care (that is, ratio by total other patient care costs for for each provider, we are proposing to Worksheet A–1 for CHC, Worksheet A– IRC (Worksheet A–3, column 7, lines 38 then sum each of the costs estimated in 2 for RHC, Worksheet A–3 for IRC, and through 46). For GIP, we are proposing steps (1) through (5) to derive total Worksheet A–4 for GIP). to multiply this ratio by total other compensation costs for CHC, RHC, IRC, (1) Direct Patient Care Salaries and patient care costs for GIP (Worksheet A– and GIP. We are proposing that total Contract Labor Costs 4, column 7, lines 38 through 46). This costs for CHC are equal to Worksheet B, proposed methodology assumes that the column 18, line 50, for RHC are equal Direct patient care salaries and proportion of salary costs to total costs to Worksheet B, column 18, line 51, for contract labor costs are costs associated for other patient care services is IRC would be equal to Worksheet B, with medical services provided by consistent for each of the four levels of column 18, line 52, and for GIP are medical personnel including but not care. equal to Worksheet B, column 18, line limited to physician services, nurse 53. practitioners, registered nurses, and (4) Overhead Salaries hospice aides. We are proposing to 2. Proposed Methodology for Deriving define direct patient care salaries and The MCR captures total overhead Compensation Cost Weights costs (including but not limited to contract labor costs to be equal to costs To derive the compensation cost administrative and general, plant reported on Worksheet A–1 (for CHC) or weights for each level of care, we first operations and maintenance, and Worksheet A–2 (for RHC) or Worksheet are proposing to begin with a sample of housekeeping) attributable to each of the A–3 (for IRC) or Worksheet A–4 (for providers who met new Level I edit four levels of care. To estimate overhead GIP), column 7, for lines 26 through 37. conditions that required freestanding salaries for each level of care, we first (2) Direct Patient Care Benefits Costs hospices to fill out certain parts of their propose to calculate noncapital non- cost reports effective for freestanding We are proposing that direct patient benefit overhead costs for each level of hospice cost reports with a reporting care benefits costs for CHC would be care to be equal to Worksheet B, column period that ended on or after December equal to Worksheet B, column 3, line 50, 18, less the sum of Worksheet B, 31, 2017.19 Specifically, we required the for RHC are equal to Worksheet B, columns 0 through 3, for line 50 (CHC), following costs to be greater than zero: column 3, line 51, for IRC are equal to or line 51 (RHC) or line 52 (IRC) or line Fixed capital costs (Worksheet B, Worksheet B, column 3, line 52, and for 53 (GIP). We then are proposing to column 0, line 1), movable capital costs GIP are equal to Worksheet B, column multiply these non-capital non-benefit (Worksheet B, column 0, line 2), 3, line 53. overhead costs for each level of care employee benefits (Worksheet B, (3) Other Patient Care Salaries times the ratio of total facility overhead column 0, line 3), administrative and salaries (Worksheet A, column 1, lines Other patient care salaries are those general (Worksheet B, column 0, line 4), 4 through 16) to total facility non-capital volunteer service coordination salaries attributable to patient services non-benefit overhead costs (which is including but not limited to patient (Worksheet B, column 0, line 13), equal to Worksheet B, column 18 (total pharmacy and drugs charged to patients transportation, labs, and imaging costs), line 101 less the sum of services. These salaries, reflecting all (sum of Worksheet B, column 0, line 14 Worksheet B, columns 0 (direct patient and Worksheet A, column 7, line 42.50), levels of care, are reported on care costs), column 1 (fixed capital), Worksheet A, column 1, lines 38 registered nurse costs (Worksheet A, column 2 (moveable capital) and through 46 and then are further column 7, line 28), medical social column 3 (employee benefits), line 101). service costs (Worksheet A, column 7, disaggregated for CHC, RHC, IRC, and line 33), hospice aide and homemaker GIP on Worksheets A–1, A–2, A–3, and (5) Overhead Benefits Costs services costs (Worksheet A, column 7, A–4, respectively, on column 1 line 37), and durable medical (salaries), lines 38 through 46. Our To estimate overhead benefits costs equipment (Worksheet A, column 7, analysis, however, found that many for each level of care, we are proposing line 38). Applying these Level I edits to providers were not reporting salaries on a similar methodology to overhead the 2018 freestanding hospice MCRs the detailed level of care worksheets (A– salaries. For each level of care, we are resulted in 3,345 providers that passed 1, A–2, A–3, A–4, column 1), but rather proposing to calculate noncapital the edits (four were excluded). reporting total costs (reflecting salary overhead costs for each level of care to be equal to Worksheet B, column 18, Then, for each level of care separately, and non-salary costs) for these services we are proposing to further trim the less the sum of Worksheet B, columns for each level of care on Worksheets A– sample of MCRs. We outline our 0 through 2, for line 50 (CHC), or line 1, A–2, A–3, A–4, column 7. Therefore, proposed trimming methodology using 51 (RHC) or line 52 (IRC) or line 53 we are proposing to estimate other CHC as an example. Specifically, for (GIP). We then are proposing to patient care salaries attributable to CHC, CHC, we propose that total CHC costs RHC, IRC, and GIP by first calculating multiply these non-capital overhead (Worksheet B, column 18, line 50) and the ratio of total facility (reflecting all costs for each level of care times the CHC compensation costs to be greater levels of care) other patient care salaries ratio of total facility overhead benefits than zero. We also propose that CHC (Worksheet A, column 1, lines 38 (Worksheet B, column 3, lines 4 through direct patient care salaries and contract through 46) to total facility other patient 16) to total facility noncapital overhead labor costs per day would be greater care total costs (Worksheet A, column 7, costs (Worksheet B, column 18, line 101 lines 38 through 46). For CHC, we are less the sum of Worksheet B, columns 19 Medicare Department of Health and Human proposing to then multiply this ratio by 0 through 2, line 101). This proposed Services (DHHS) Provider Reimbursement other patient care total costs for CHC methodology assumes the ratio of total Manual—Part 2, Provider Cost Reporting Forms and overhead benefit costs to total Instructions, Chapter 43, Form CMS–1984–14. April (Worksheet A–1 column 7, lines 38 13, 2018. https://www.cms.gov/Regulations-and- through 46). For RHC, we are proposing noncapital overhead costs is consistent Guidance/Guidance/Transmittals/2018Downloads/ to multiply this ratio by total other among all four levels of care. R3P243.pdf.

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than 1. We also propose to exclude well as total costs to be greater than using data from the universe of those providers whose CHC compensation costs. freestanding providers that reported compensation costs were greater than Finally, to derive the proposed either IRC or GIP total costs. For total CHC costs. compensation cost weights for each example, we calculated reweighted For the IRC and GIP compensation level of care for each provider, we are compensation cost weights by ownership-type (proprietary, cost weights, we are proposing to only proposing to divide compensation costs for each level of care by total costs for government and nonprofit), by size use those MCRs from providers that each level of care. We are proposing to (based on RHC days) and by region. Our provided inpatient services in their then trim the data for each level of care reweighted compensation cost weights facility. Therefore, we are proposing to separately to remove outliers. Following for IRC and GIP were similar (less than exclude providers that reported costs our example for CHC, we are proposing one percentage point in absolute terms) greater than zero on Worksheet A–3, to simultaneously remove those to our proposed compensation cost column 7, line 25 (Inpatient Care— providers whose total CHC costs per day weights for IRC and GIP (as shown in Contracted) for IRC and Worksheet A– fall in the top and bottom one percent Table 11) and, therefore, we believe our 4, column 7, line 25 (Inpatient Care— of total CHC costs per day for all CHC sample is representative of freestanding Contracted) for GIP. The facilities that providers as well remove those hospices providing inpatient hospice remained after this trim reported providers whose compensation cost care. detailed direct patient care costs and weight falls in the top and bottom five Table 11 provides the proposed labor other patient care costs for which we percent of compensation cost weights share for each level of care based on the could then derive direct patient care for all CHC providers. We then sum the compensation cost weights we derived salaries and other patient care salaries CHC compensation costs and total CHC using our proposed methodology per the methodology described earlier. costs of the remaining providers, described previously. We are proposing This additional trim resulted in a yielding a proposed compensation cost the labor shares be equal to three sample that consists of approximately weight for CHC. decimal places consistent with the labor 20 percent of IRP providers and 28 Since we have to limit our sample for shares used in other Prospective percent of GIP providers that passed IRC and GIP compensation cost weights Payment Systems (PPS) (such as the both the Level I edits and the trims that to those hospices providing inpatient inpatient prospective payment system required total costs and compensation services in their facility, we conducted (IPPS) and the Home Health Agency costs to be greater than zero, and direct sensitivity analysis to test for the PPS). We invite comments on our patient care salaries and contract labor representative of this sample by proposed methodology to derive the costs per day to be greater than 1, as reweighting compensation cost weights labor shares for each level of care.

TABLE 11: Proposed and Current Labor shares by Level of Care

Proposed Labor Current Labor shares shares Continuous Home 74.6% 68.71% Care Routine Home Care 64.7% 68.71% Inpatient Respite Care 60.1% 54.13% General Inpatient Care 62.8% 64.01%

C. Proposed Routine FY 2022 Hospice Budget (OMB) to the Metropolitan Bureau population estimates for July 1, Wage Index and Rate Update Statistical Areas (MSAs) definitions. 2017 and July 1, 2018. (For a copy of this bulletin, we refer readers to the 1. Proposed FY 2022 Hospice Wage In general, OMB issues major following website: https:// Index revisions to statistical areas every 10 years, based on the results of the www.whitehouse.gov/wp-content/ The hospice wage index is used to decennial census. However, OMB uploads/2020/03/Bulletin-20-01.pdf). In adjust payment rates for hospices under occasionally issues minor updates and OMB Bulletin No. 20–01, OMB the Medicare program to reflect local revisions to statistical areas in the years announced one new Micropolitan differences in area wage levels, based on between the decennial censuses. On Statistical Area, one new component of the location where services are March 6, 2020, OMB issued Bulletin No. an existing Combined Statistical Are furnished. The hospice wage index 20–01, which provided updates to and and changes to New England City and utilizes the wage adjustment factors superseded OMB Bulletin No. 18–04 Town Area (NECTA) delineations. In used by the Secretary for purposes of that was issued on September 14, 2018. the FY 2021 Hospice Wage Index final section 1886(d)(3)(E) of the Act for The attachments to OMB Bulletin No. rule (85 FR 47070) we stated that if hospital wage adjustments. Our 20–01 provided detailed information on appropriate, we would propose any regulations at § 418.306(c) require each the update to statistical areas since updates from OMB Bulletin No. 20–01 labor market to be established using the September 14, 2018, and were based on in future rulemaking. After reviewing most current hospital wage data the application of the 2010 Standards OMB Bulletin No. 20–01, we have available, including any changes made for Delineating Metropolitan and determined that the changes in Bulletin by the Office of Management and Micropolitan Statistical Areas to Census 20–01 encompassed delineation changes

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that would not affect the Medicare wage pre-floor, pre-reclassified hospital wage floor, pre-reclassified hospital wage index for FY 2022. Specifically, the index value to use as a reasonable proxy index value of 0.7440, we would updates consisted of changes to NECTA for these areas. For FY 2022, the only multiply 0.7440 by 1.15, which equals delineations and the redesignation of a CBSA without a hospital from which 0.8556. Because 0.8556 is greater than single rural county into a newly created hospital wage data can be derived is 0.8, County B’s hospice wage index Micropolitan Statistical Area. The 25980, Hinesville-Fort Stewart, Georgia. would be 0.8. The proposed hospice Medicare wage index does not utilize The FY 2022 adjusted wage index value wage index applicable for FY 2022 NECTA definitions, and, as most for Hinesville-Fort Stewart, Georgia is (October 1, 2021 through September 30, recently discussed in the FY 2021 0.8649. 2022) is available on our website at: Hospice Wage Index final rule (85 FR There exist some geographic areas https://www.cms.gov/Medicare/ 47070), we include hospitals located in where there were no hospitals, and thus, Medicare-Fee-for-Service-Payment/ Micropolitan Statistical areas in each no hospital wage data on which to base Hospice/Hospice-Wage-Index.html. state’s rural wage index. Therefore, the calculation of the hospice wage while we are proposing to adopt the index. In the FY 2008 Hospice Wage 2. Proposed FY 2022 Hospice Payment updates set forth in OMB Bulletin No. Index final rule (72 FR 50217 through Update Percentage 20–01 consistent with our longstanding 50218), we implemented a methodology Section 4441(a) of the BBA (Pub. L. policy of adopting OMB delineation to update the hospice wage index for 105–33) amended section updates, we note that specific wage rural areas without hospital wage data. 1814(i)(1)(C)(ii)(VI) of the Act to index updates would not be necessary In cases where there was a rural area establish updates to hospice rates for for FY 2022 as a result of adopting these without rural hospital wage data, we use FYs 1998 through 2002. Hospice rates OMB updates. In other words, these the average pre-floor, pre-reclassified were to be updated by a factor equal to OMB updates would not affect any hospital wage index data from all the inpatient hospital market basket geographic areas for purposes of the contiguous CBSAs, to represent a percentage increase set out under wage index calculation for FY 2022. reasonable proxy for the rural area. The section 1886(b)(3)(B)(iii) of the Act, In the FY 2020 Hospice Wage Index term ‘‘contiguous’’ means sharing a minus 1 percentage point. Payment rates final rule (84 FR 38484), we finalized border (72 FR 50217). Currently, the for FYs since 2002 have been updated the proposal to use the current FY’s only rural area without a hospital from according to section 1814(i)(1)(C)(ii)(VII) hospital wage index data to calculate which hospital wage data could be of the Act, which states that the update the hospice wage index values. In the derived is Puerto Rico. However, for to the payment rates for subsequent FYs FY 2021 Hospice Wage Index final rule rural Puerto Rico, we would not apply must be the inpatient market basket (85 FR 47070), we finalized the proposal this methodology due to the distinct percentage increase for that FY. CMS to adopt the revised OMB delineations economic circumstances that exist there currently uses 2014-based IPPS with a 5 percent cap on wage index (for example, due to the close proximity operating and capital market baskets to decreases, where the estimated to one another of almost all of Puerto update the market basket percentage. In reduction in a geographic area’s wage Rico’s various urban and non-urban the FY 2022 IPPS proposed rule 20 CMS index would be capped at 5 percent in areas, this methodology would produce is proposing to rebase and revise the FY 2021 and no cap would be applied a wage index for rural Puerto Rico that IPPS market baskets to reflect a 2018 to wage index decreases for the second is higher than that in half of its urban base year. We refer stakeholders to the year (FY 2022). For FY 2022, the areas); instead, we would continue to FY 2022 IPPS proposed rule for further proposed hospice wage index would be use the most recent wage index information. based on the FY 2022 hospital pre-floor, previously available for that area. For Section 3401(g) of the Affordable Care pre-reclassified wage index for hospital FY 2022, we propose to continue to use Act mandated that, starting with FY cost reporting periods beginning on or the most recent pre-floor, pre- 2013 (and in subsequent FYs), the after October 1, 2017 and before October reclassified hospital wage index value hospice payment update percentage 1, 2018 (FY 2018 cost report data). The available for Puerto Rico, which is would be annually reduced by changes proposed FY 2022 hospice wage index 0.4047, subsequently adjusted by the in economy-wide productivity as would not include a cap on wage index hospice floor. specified in section 1886(b)(3)(B)(xi)(II) As described in the August 8, 1997 decreases and would not take into of the Act. The statute defines the Hospice Wage Index final rule (62 FR account any geographic reclassification productivity adjustment to be equal to of hospitals, including those in 42860), the pre-floor and pre- the 10-year moving average of changes accordance with section 1886(d)(8)(B) or reclassified hospital wage index is used in annual economy-wide private 1886(d)(10) of the Act. The appropriate as the raw wage index for the hospice nonfarm business multifactor wage index value is applied to the labor benefit. These raw wage index values productivity (MFP). portion of the hospice payment rate are subject to application of the hospice The proposed hospice payment based on the geographic area in which floor to compute the hospice wage index update percentage for FY 2022 is based the beneficiary resides when receiving used to determine payments to on the current estimate of the proposed RHC or CHC. The appropriate wage hospices. As previously discussed, the inpatient hospital market basket update index value is applied to the labor adjusted pre-floor, pre-reclassified of 2.5 percent (based on IHS Global portion of the payment rate based on the hospital wage index values below 0.8 geographic location of the facility for will be further adjusted by a 15 percent Inc.’s fourth-quarter 2020 forecast with beneficiaries receiving GIP or IRC. increase subject to a maximum wage historical data through the third quarter In the FY 2006 Hospice Wage Index index value of 0.8. For example, if 2020). Due to the requirements at final rule (70 FR 45135), we adopted the County A has a pre-floor, pre- sections 1886(b)(3)(B)(xi)(II) and policy that, for urban labor markets reclassified hospital wage index value of 1814(i)(1)(C)(v) of the Act, the proposed without a hospital from which hospital 0.3994, we would multiply 0.3994 by inpatient hospital market basket update wage index data could be derived, all of 1.15, which equals 0.4593. Since 0.4593 20 IPPS Regulations and Notices. https:// the Core-Based Statistical Areas is not greater than 0.8, then County A’s www.cms.gov/Medicare/Medicare-Fee-for-Service- (CBSAs) within the state would be used hospice wage index would be 0.4593. In Payment/AcuteInpatientPPS/IPPS-Regulations-and- to calculate a statewide urban average another example, if County B has a pre- Notices.

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for FY 2022 of 2.5 percent must be index. A hospice is paid the RHC rate hospice claims data (FY 2019) to reduced by a MFP adjustment as for each day the beneficiary is enrolled determine if there were significant mandated by Affordable Care Act in hospice, unless the hospice provides differences between utilizing 2019 and (currently estimated to be 0.2 percentage CHC, IRC, or GIP. CHC is provided 2020 claims data. The difference points for FY 2022). In effect, the during a period of patient crisis to between using FY 2019 and FY 2020 proposed hospice payment update maintain the patient at home; IRC is hospice claims data was minimal. percentage for FY 2022 would be 2.3 short-term care to allow the usual Therefore, we will continue our practice percent. If more recent data becomes caregiver to rest and be relieved from of using the most recent, complete available after the publication of this caregiving; and GIP is to treat symptoms hospice claims data available; that is we proposed rule and before the that cannot be managed in another are using FY 2020 claims data for the FY publication of the final rule (for setting. 2022 payment rate updates. In order to example, more recent estimates of the As discussed in the FY 2016 Hospice calculate the wage index inpatient hospital market basket update Wage Index and Rate Update final rule standardization factor, we simulate total and MFP adjustment), we would use (80 FR 47172), we implemented two payments using FY 2020 hospice such data, if appropriate, to determine different RHC payment rates, one RHC utilization claims data with the FY 2021 the hospice payment update percentage rate for the first 60 days and a second wage index (pre-floor, pre-reclassified for FY 2022 in the final rule. RHC rate for days 61 and beyond. In hospital wage index with the hospice Currently, the labor portion of the addition, in that final rule, we floor, and a 5 percent cap on wage index hospice payment rates are as follows: implemented a SIA payment for RHC decreases) and FY 2021 payment rates For RHC, 68.71 percent; for CHC, 68.71 when direct patient care is provided by (that include the current labor shares) an RN or social worker during the last percent; for GIP, 64.01 percent; and for and compare it to our simulation of total 7 days of the beneficiary’s life. The SIA IRC, 54.13 percent. As discussed in payments using the FY 2022 hospice payment is equal to the CHC hourly rate section III.B of this proposed rule, we wage index (with hospice floor, without multiplied by the hours of nursing or are proposing to rebase and revise the the 5 percent cap on wage index social work provided (up to 4 hours labor shares for RHC, CHC, GIP and IRC decreases) and FY 2021 payment rates total) that occurred on the day of using MCR data for freestanding (that include the current labor shares). service, if certain criteria are met. In hospices (CMS Form 1984–14, OMB By dividing payments for each level of order to maintain budget neutrality, as Control Number 0938–0758) for 2018. care (RHC days 1 through 60, RHC days We are proposing the labor portion of required under section 1814(i)(6)(D)(ii) of the Act, the new RHC rates were 61+, CHC, IRC, and GIP) using the FY the payment rates to be: For RHC, 64.7 2021 wage index and payment rates for percent; for CHC, 74.6 percent; for GIP, adjusted by a service intensity add-on each level of care by the FY 2022 wage 62.8 percent; and for IRC, 60.1 percent. budget neutrality factor (SBNF). The index and FY 2021 payment rates, we The non-labor portion is equal to 100 SBNF is used to reduce the overall RHC obtain a wage index standardization percent minus the labor portion for each rate in order to ensure that SIA factor for each level of care. In order to level of care. Therefore, we are payments are budget-neutral. At the calculate the labor share standardization proposing the non-labor portion of the beginning of every FY, SIA utilization is factor we simulate total payments using payment rates to be as follows: For RHC, compared to the prior year in order FY 2020 hospice utilization claims data 35.3 percent; for CHC, 25.4 percent; for calculate a budget neutrality with the FY 2022 hospice wage index GIP, 37.2 percent; and for IRC, 39.9 adjustment. and the current labor shares and percent. In the FY 2017 Hospice Wage Index and Rate Update final rule (81 FR compare it to our simulation of total 3. Proposed FY 2022 Hospice Payment 52156), we initiated a policy of applying payments using the FY 2022 hospice Rates a wage index standardization factor to wage index with the proposed revised There are four payment categories that hospice payments in order to eliminate labor shares. The wage index and labor are distinguished by the location and the aggregate effect of annual variations share standardization factors for each intensity of the hospice services in hospital wage data. Typically, the level of care are shown in the Tables 12 provided. The base payments are wage index standardization factor is and 13. adjusted for geographic differences in calculated using the most recent, The proposed FY 2022 RHC rates are wages by multiplying the labor share, complete hospice claims data available. shown in Table 12. The proposed FY which varies by category, of each base However, due to the COVID–19 PHE, we 2022 payment rates for CHC, IRC, and rate by the applicable hospice wage looked at using the previous fiscal year’s GIP are shown in Table 13.

TABLE 12: Proposed FY 2022 Hospice RHC Payment Rates

Proposed FY Propose FY 2021 SIA Budget Wage Index Labor Share 2022 dFY Code Description Payment Neutrality Standardizati Standardizati Hospice 2022 Rates Factor on Factor on Factor Payment Paymen Update t Rates Routine Home 651 $199.25 1.0004 1.0002 0.9993 X 1.023 $203.81 Care (days 1-60) Routine Home 651 $157.49 1.0005 1.0001 0.9988 X 1.023 $161.02 Care (days 61+)

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TABLE 13: Proposed FY 2022 Hospice CHC, me, and GIP Payment Rates

Proposed Proposed FY 2021 Wage Index Labor Share FY2022 FY2022 Code Description Payment Standardization Standardization Hospice Payment Rates Factor Factor Payment Rates Uodate Continuous Home Care $1,432.41 $1,465.79 652 Full Rate = 24 hours of ($59.68 0.9998 1.0005 X 1.023 ($61.07 per care per hour) hour)

655 Inpatient Respite Care $461.09 1.0007 1.0051 X 1.023 $474.43

656 General Inpatient Care $1,045.66 1.0013 0.9993 X 1.023 $1,070.35

Sections 1814(i)(5)(A) through (C) of data in October 2012, and submit that that FY. The proposed FY 2022 rates for the Act require that hospices submit quality data in 2013. Section hospices that do not submit the required quality data, based on measures to be 1814(i)(5)(A)(i) of the Act requires that quality data would be updated by the specified by the Secretary. In the FY beginning with FY 2014 and each proposed FY 2022 hospice payment 2012 Hospice Wage Index and Rate subsequent FY, the Secretary shall update percentage of 2.3 percent minus Update final rule (76 FR 47320 through reduce the market basket update by 2 2 percentage points. These rates are 47324), we implemented a HQRP as percentage points for any hospice that shown in Tables 14 and 15. required by those sections. Hospices does not comply with the quality data were required to begin collecting quality submission requirements with respect to

TABLE 14: Proposed FY 2022 Hospice RHC Payment Rates for Hospices That DO NOT Submit the Required Quality Data Proposed FY2022 Hospice Proposed FY 2021 SIA Budget Wage Index Labor Share Payment FY2022 Code Description Paymen Neutrality Standardization Standardizatio Update of Payment t Rates Factor Factor n Factor 2.3%minus 2 Rates percentage points= +o.3% Routine Home Care 651 $199.25 1.0004 1.0002 0.9993 X 1.003 $199.83 (days 1-60) Routine Home Care 651 $157.49 1.0005 1.0001 0.9988 X 1.003 $157.87 (days 61+)

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TABLE 15: Proposed FY 2022 Hospice CHC, IRC, and GIP Payment Rates for Hospices That DO NOT Submit the Required Quality Data

Proposed FY2022 Hospice Proposed FY 2021 Wage Index Labor Share Payment FY2022 Code Description Payment Standardization Standardization Update of 2.3% Payment Rates Factor Factor minus 2 Rates percentage points = -+-0.3% Continuous Home $1,432.41 $1,437.14 Care 652 ($59.68 I 0.9998 1.0005 X 1.003 ($59.88 per Full Rate= 24 hours of per hour) hour) care 655 Inpatient Respite Care $461.09 1.0007 1.0051 X 1.003 $465.16 656 General Inpatient Care $1,045.66 1.0013 0.9993 X 1.003 $1,049.43

4. Proposed Hospice Cap Amount for FY included a new condition for payment 6. A written clinical explanation, in 2022 requiring a hospice, upon request, to language the beneficiary and his or her As discussed in the FY 2016 Hospice provide the beneficiary (or representative can understand, as to Wage Index and Rate Update final rule representative) an election statement why the identified conditions, items, (80 FR 47183), we implemented changes addendum (hereafter called ‘‘the services, and drugs are considered mandated by the IMPACT Act of 2014 addendum’’) outlining the items, unrelated to the terminal illness and (Pub. L. 113–185). Specifically, we services, and drugs that the hospice has related conditions and not needed for stated that for accounting years that end determined are unrelated to the terminal pain or symptom management. This after September 30, 2016 and before illness and related conditions. We stated clinical explanation must be accompanied by a general statement that October 1, 2025, the hospice cap is in that final rule that the addendum is the decision as to what conditions, updated by the hospice payment update intended to complement the Hospice items, services, or drugs are unrelated is percentage rather than using the CPI–U. Conditions of Participation (CoPs) at made for each individual patient, and Division CC, section 404 of the CAA § 418.52(a), which require hospices to that the beneficiary should share this 2021 has extended the accounting years verbally inform beneficiaries, at the time clinical explanation with other health impacted by the adjustment made to the of hospice election, of the services care providers from which he or she hospice cap calculation until 2030. covered under the Medicare hospice seeks services unrelated to his or her Therefore, for accounting years that end benefit, as well as the limitations of such services (84 FR 38509). The terminal illness and related conditions; after September 30, 2016 and before 7. References to any relevant clinical October 1, 2030, the hospice cap requirements at §§ 418.24(b) and 418.52(a) ensure that beneficiaries are practice, policy, or coverage guidelines; amount is updated by the hospice 8. Information on the following: payment update percentage rather than aware of any items, services, or drugs they would have to seek outside of the a. Purpose of the addendum using the CPI–U. As a result of the b. patient’s right to immediate advocacy changes mandated by Division CC, benefit, as well as their potential out-of- pocket costs for hospice care, such as 9. Name and signature of the section 404 of the CAA 2021, we are Medicare hospice beneficiary (or proposing conforming regulation text co-payments and/or coinsurance. Section 418.24(c) sets forth the representative) and date signed, along changes at § 418.309 to reflect the new with a statement that signing this language added to section 1814(i)(2)(B) elements that must be included on the addendum: addendum (or its updates) is only of the Act. acknowledgement of receipt of the The proposed hospice cap amount for 1. The addendum must be titled ‘‘Patient Notification of Hospice Non- addendum (or its updates) and not the FY 2022 cap year will be $31,389.66, necessarily the beneficiary’s agreement which is equal to the FY 2021 cap Covered Items, Services, and Drugs’’; 2. Name of the hospice; with the hospice’s determinations. amount ($30,683.93) updated by the The hospice is required to furnish the 3. Beneficiary’s name and hospice proposed FY 2022 hospice payment addendum in writing in an accessible medical record identifier; update percentage of 2.3 percent. format,23 so the beneficiary (or 4. Identification of the beneficiary’s representative) can understand the D. Proposed Clarifying Regulation Text terminal illness and related conditions; information provided, make treatment Changes for the Hospice Election 5. A list of the beneficiary’s current decisions based on that information, Statement Addendum diagnoses/conditions present on and share such information with non- In the FY 2020 Hospice Wage Index hospice admission (or upon plan of care hospice providers rendering un-related and Payment Rate Update final rule (84 update, as applicable) and the items and services to the beneficiary. FR 38484), we finalized modifications to associated items, services, and drugs, Therefore, the format of the addendum the hospice election statement content not covered by the hospice because they requirements at § 418.24(b) to increase have been determined by the hospice to 23 English and Spanish Version of the Hospice coverage transparency for patients be unrelated to the terminal illness and Addendum Model. https://www.cms.gov/Medicare/ under a hospice election. These changes related conditions; Medicare-Fee-for-Service-Payment/Hospice.

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must be usable for the beneficiary and/ Though we did not propose any palliation and management of a or representative. Although we stated in changes to the election statement beneficiary’s terminal illness. This the FY 2020 Hospice Wage Index and addendum content requirements at assessment is necessary because it Payment Rate Update that hospices may § 418.24(c), or the October 1, 2020 provides an overview of the items, develop their own election statement effective date, in the FY 2021 Hospice services and drugs that the patient is addendum (84 FR 38507), we posted a Wage Index and Payment Rate Update already utilizing as well as helps modified model election statement and proposed rule, we solicited comments determine what the hospice may need to addendum on the Hospice Center web on the usefulness of the modified model add in order to treat the patient page,21 along with the publication of the election statement and addendum throughout the dying process. If the FY 2021 Hospice Wage Index and posted on the Hospice Center web page addendum is completed prior to the Payment Rate Update final rule (85 FR (85 FR 20949). In the FY 2021 Hospice comprehensive assessment, the hospice 47070). The intent was to provide an Wage Index and Payment Rate Update may not have a complete patient profile, illustrative example as hospices can final rule (85 FR 47093), we responded which could potentially result in the modify and develop their own forms to to comments received, and stated that, hospice incorrectly anticipating the meet the content requirements. In the as finalized in the FY 2020 Hospice extent of covered and non-covered FY 2021 Hospice Wage Index and Wage Index and Payment Rate Update services and lead to an inaccurate Payment Rate Update final rule, we final rule, the hospice election election statement addendum. Hospice stated that most often we would expect statement addendum will remain a providers are only able to discern what the addendum would be in a hard copy condition for payment that is met when items, services, and drugs they will not format the beneficiary or representative there is a signed addendum (and its cover once they have a beneficiary’s can keep for his or her own records, updates) in the beneficiary’s hospice comprehensive assessment. We are similar to how hospices are required by medical record. proposing to allow the hospice to Since its implementation on October the hospice CoPs at § 418.52(a)(3) to furnish the addendum within 5 days 1, 2020, CMS has received additional provide the individual a copy of the from the date of a beneficiary or inquiries from stakeholders asking for representative request, if the request is notice of patient rights and clarification on certain aspects of the responsibilities (85 FR 47091). The within 5 days from the date of a hospice addendum. We appreciate and election. For example, if the patient hospice CoPs at § 418.104(a)(2) state that understand the importance of provider the patient’s record must include elects hospice on December 1st and input and involvement in ensuring that requests the addendum on December ‘‘signed copies of the notice of patient this document is effective in increasing rights in accordance with § 418.52.’’ 3rd, the hospice would have until coverage transparency for beneficiaries. December 8th to furnish the addendum. Likewise, since the addendum is part of Therefore, we are providing clarification the election statement as set forth in on, and proposing modifications to, Additionally, hospices have noted § 418.24(b)(6), then it is required to be certain signature and timing that there is not a timeframe in part of the patient’s record (if requested requirements and proposing regulations regarding the patient by the beneficiary or representative). corresponding clarifying regulations text signature on the addendum. Section The signed addendum is only changes. 418.24(c)(9) requires the beneficiary’s acknowledgement of the beneficiary’s Currently the regulations at signature (or his/her representative’s (or representative’s) receipt of the § 418.24(c) require that if a beneficiary signature) as well as the date the addendum (or its updates) and the or his or her representative requests the document was signed. We noted in the payment requirement is considered met addendum at the time of the initial FY 2021 Hospice Wage Index & if there is a signed addendum (and any hospice election (that is, at the time of Payment Rate Update final rule that signed updates) in the requesting admission to hospice), the hospice must because the beneficiary signature is an beneficiary’s medical record with the provide this information, in writing, to acknowledgement of receipt of the hospice. We believe that a signed the individual (or representative) within addendum, this means the beneficiary addendum connotes that the hospice 5 days from the date of the election. would sign the addendum when the discussed the addendum and its Hospices have reported that hospice provides it, in writing, to the contents with the beneficiary (or beneficiaries or representatives beneficiary or representative (85 FR representative). Additionally, in the sometimes do not request the addendum 47092). Additionally, obtaining the event that a beneficiary (or at the time of election, but rather within required signatures on the election representative) does not request the the 5 days after the effective date of the statement has been a longstanding addendum, we expect hospices to election. In these situations, the regulatory requirement. Therefore, we document, in some fashion, that an regulations require the hospice to expect that hospices already have addendum has been discussed with the provide the addendum within 3 days, as processes and procedures in place to patient (or representative) at the time of the beneficiary requested the addendum ensure that required signatures are election, similar to how other patient during the course of care. However, in obtained, either from the beneficiary, or and family discussions are documented accordance with § 418.54(b), the hospice from the representative in the event the in the hospice’s clinical record. It is interdisciplinary group (IDG), in beneficiary is unable to sign. We necessary for the hospice to document consultation with the individual’s anticipate that hospices would use the that the addendum was discussed and attending physician (if any), must same procedures for obtaining whether or not it was requested, in complete the hospice comprehensive signatures on the addendum. However, order to prevent potential claims denials assessment no later than 5 calendar days we understand that some beneficiaries related to any absence of an addendum after the election of hospice care. In or representatives may request an (or addendum updates) in the medical some instances, this may mean that the emailed addendum or request more time record. hospice must furnish the addendum to review the addendum before signing, prior to completion of the in which case the date that the hospice comprehensive assessment. The furnished the addendum to the 21 Hospice Center web page. https:// www.cms.gov/Medicare/Medicare-Fee-for-Service- comprehensive assessment includes all beneficiary (or representative) may Payment/Hospice/index. areas of hospice care related to the differ from the date that the beneficiary

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or representative signs the addendum. address circumstances in which the addendum to the beneficiary or This means the hospice may furnish the non-hospice provider or Medicare representative on or before the third day addendum within the required contractor requests the addendum, and after the date of the request. For timeframe; however, the signature date the beneficiary or representative does example, if a beneficiary (or may be beyond the required timeframe. not. As such, we are proposing to clarify representative) requests the addendum Therefore, we propose to clarify in in regulation that if a non-hospice on February 22nd, then the hospice will regulation that the ‘‘date furnished’’ provider requests the addendum, rather have until February 25th to furnish the must be within the required timeframe than the beneficiary or representative, addendum, regardless of what time the (that is, 3 or 5 days of the beneficiary the non-hospice provider is not required addendum was requested on February or representative request, depending on to sign the addendum. 22nd. The intent of this clarification is when such request was made), rather There may be instances in which the to better align with the requirement for than the signature date. At beneficiary or representative requests furnishing an election statement § 418.24(c)(10), we propose that the the addendum and the beneficiary dies, addendum when the addendum is hospice would include the ‘‘date revokes, or is discharged prior to signing requested within 5 days of the date of furnished’’ in the patient’s medical the addendum. While we stated in the election, which also uses ‘‘days’’ rather record and on the addendum itself. FY 2020 Hospice Wage Index and than ‘‘hours’’. In the FY 2021 Hospice Wage Index Payment Rate Update final rule, that if We are soliciting comments on these and Payment Rate Update final rule, we the beneficiary requests the election proposed clarifications and conforming addressed a concern regarding a statement addendum at the time of regulation text changes. potential situation wherein the hospice election but dies within 5 days, beneficiary or representative refuses to the hospice would not be required to E. Hospice Waivers Made Permanent sign the addendum (85 FR 47088). We furnish the addendum as the Conditions of Participation reiterated that the signature on the requirement would be deemed as being 1. Background addendum is only acknowledgement of met in this circumstance (84 FR 38521), receipt and not a tacit agreement of its this policy was not codified in In order to support provider and contents, and that we expect the hospice regulation. Therefore, we are proposing supplier communities due to the to inform the beneficiary of the purpose conforming regulations text changes at COVID–19 PHE, CMS has issued an of the addendum and rationale for the § 418.24(c) to reflect this policy. unprecedented number of regulatory signature. However, we recognized that Furthermore, we propose to clarify at waivers under our statutory authority there might be rare instances in which § 418.24(d)(4) that if the patient revokes set forth at section 1135 of the Act. the beneficiary (or representative) or is discharged within the required Under section 1135 of the Act, the refuses to sign the addendum. We noted timeframe (3 or 5 days after a request, Secretary may temporarily waive or that we would consider whether this depending upon when such request was modify certain Medicare, Medicaid, and issue would require future rulemaking. made), but the hospice has not yet Children’s Health Insurance Program We have subsequently received this furnished the addendum, the hospice is (CHIP) requirements to ensure that question from stakeholders post not required to furnish the addendum. sufficient health care items and services implementation, therefore, in this Similarly, we are proposing to clarify at are available to meet the needs of proposed rule, we are clarifying that if § 418.24(d)(5) that in the event that a individuals enrolled in the programs in a patient or representative refuses to beneficiary requests the addendum and the emergency area and time periods, sign the addendum, the hospice must the hospice furnishes the addendum and that providers who furnish such document clearly in the medical record within 3 or 5 days (depending upon services in good faith, but who are (and on the addendum itself) the reason when the request for the addendum was unable to comply with one or more the addendum is not signed in order to made), but the beneficiary dies, revokes, requirements as described under section mitigate a claims denial for this or is discharged prior to signing the 1135(b) of the Act, can be reimbursed condition for payment. In such a case, addendum, a signature from the and exempted from sanctions for although the beneficiary has refused to individual (or representative) is no violations of waived provisions (absent sign the addendum, the ‘‘date longer required. We would continue to any determination of fraud or abuse). furnished’’ must still be within the expect that the hospice would note the The intent of these waivers was to required timeframe (that is, within 3 or date furnished in the patient’s medical expand healthcare system capacity 5 days of the beneficiary or record and on the addendum, if the while continuing to maintain public and representative request, depending on hospice has already completed the patient safety, and to hold harmless when such request was made), and addendum, as well as an explanation in providers and suppliers unable to noted in the chart and on the addendum the patient’s medical record noting that comply with existing regulations after a itself. the patient died, revoked, or was good faith effort. Stakeholders again requested that discharged prior to signing the While some of these waivers simply CMS clarify whether a non-hospice addendum. delay certain administrative deadlines, provider is required to sign the Finally, we are proposing conforming others directly affect the provision of addendum in the event that the non- regulations text changes at § 418.24(c) in patient care. The utilization and hospice provider requests the alignment with subregulatory guidance application of these waivers pushed us addendum rather than the beneficiary or indicating that hospices have ‘‘3 days,’’ to consider whether permanent changes representative. Therefore, if only a non- rather than ‘‘72 hours’’ to meet the would be beneficial to patients, hospice provider or Medicare contractor requirement when a patient requests the providers, and professionals. We requests the addendum (and not the addendum during the course of a identified selected waivers as beneficiary or representative) we would hospice election. Hospices must furnish appropriate candidates for formal not expect a signed copy in the patient’s the addendum no later than 3 calendar regulatory changes. Those proposed medical record. Hospices can develop days after a beneficiary’s (or changes and their respective histories processes (including how to document representative’s) request during the and background information are such requests from non-hospice course of a hospice election. This means discussed in detail in section II. E of this providers and Medicare contractors) to that hospice providers must furnish the rule. We are also proposing regulatory

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changes that are not directly related to must be capable of responding to and hospice aide competency testing, and PHE waivers but would clarify or align interacting with the hospice aide the proposed change to allow the some policies that have been raised as trainee, and must demonstrate the hospice to focus on the hospice aides’ concerns by stakeholders. general characteristics of the primary specific deficient skill(s) instead of We are proposing the following patient population served by the completing a full competency revisions to the hospice Conditions of hospice in key areas such as age, frailty, evaluation. We especially welcome Participation (CoPs). functional status, cognitive status and comments from hospices that 2. Hospice Aide Training and care goals. implemented the use of pseudo-patients • ‘‘Simulation’’ means a training and Evaluation—Using Pseudo-Patients during the COVID–19 PHE and the assessment technique that mimics the additional proposal, that if an area of Hospice aides deliver a significant reality of the homecare environment, concern is verified by the hospice portion of direct care. Aides are usually including environmental distractions during the on-site visit, then the hospice trained by an employer, such as a and constraints that evoke or replicate must conduct, and the hospice aide hospice, home health agency (HHA) or substantial aspects of the real world in must complete, a competency nursing home and may already be a fully interactive fashion, in order to evaluation related to the deficient and certified as an aide prior to being hired. teach and assess proficiency in related skill(s). The competency of new aides must be performing skills, and to promote evaluated by the hospice to ensure decision making and critical thinking. F. Proposals and Updates to the Hospice appropriate care can be provided by the These proposed changes would allow Quality Reporting Program aide. Aide competency evaluations hospices to utilize pseudo-patients, 1. Background and Statutory Authority should be conducted in a way that such as a person trained to participate identifies and meets training needs of in a role-play situation or a computer- The Hospice Quality Reporting the aide as well as the patient’s needs. based mannequin device, instead of Program (HQRP) specifies reporting These evaluations are a critical part of actual patients, in the competency requirements for both the Hospice Item providing safe, quality care. In testing of hospice aides for those tasks Set (HIS) and Consumer Assessment of September of 2019, we published a final Healthcare Providers and Systems that must be observed being performed ® rule that allows the use of the pseudo- on a patient. This could increase the (CAHPS ) Hospice Survey. Section patient for conducting home health aide speed of performing competency testing 1814(i)(5) of the Act requires the competency evaluations (‘‘Medicare and and would allow new aides to begin Secretary to establish and maintain a Medicaid Programs; Regulatory serving patients more quickly while still quality reporting program for hospices. Provisions To Promote Program protecting patient health and safety. Section 1814(i)(5)(A)(i) of the Act was Efficiency, Transparency, and Burden amended by section 407(b) of Division Reduction; Fire Safety Requirements for 3. Hospice Aid Training and CC, Title IV of the CAA 2021 (Pub. L. Certain Dialysis Facilities; Hospital and Evaluation—Targeting Correction of 116–260) to change the payment Critical Access Hospital (CAH) Changes Deficiencies reduction for failing to meet hospice To Promote Innovation, Flexibility, and We are also proposing to amend the quality reporting requirements from 2 to Improvement in Patient Care’’ (84 FR requirement at § 418.76(h)(1)(iii) to 4 percentage points. This policy will 51732)). The ability to use pseudo- specify that if an area of concern is apply beginning with FY 2024 annual patients during aide competency verified by the hospice during the on- payment update (APU). Specifically, the evaluations allows greater flexibility site visit, then the hospice must Act requires that, beginning with FY and may reduce burden on suppliers. conduct, and the hospice aide must 2014 through FY 2023, the Secretary We believe that hospices and their complete, a competency evaluation of shall reduce the market basket update patients would also benefit from the the deficient skill and all related skill(s) by 2 percentage points and beginning ability to use pseudo-patients in aide in accordance with § 418.76(c). This with the FY 2024 APU and for each training. proposed change would permit the subsequent year, the Secretary shall The current hospice aide competency hospice to focus on the hospice aides’ reduce the market basket update by 4 standard regulations at § 418.76(c)(1) specific deficient and related skill(s) percentage points for any hospice that requires the aide to be evaluated by instead of completing another full does not comply with the quality data observing an aide’s performance of the competency evaluation. We believe submission requirements for that FY. task with a patient. We propose to make when a deficient area(s) in the aide’s In addition, section 407(a)(2) of the similar changes to hospice aide care is assessed by the RN, there may be CAA 2021 removes the prohibition on competency standards to those already additional related competencies that public disclosure of hospice surveys made with respect to HHAs (see may also lead to additional deficient performed be a national accreditation § 484.80(c)) in our hospice regulations at practice areas. For example, if a agency in section 1865(b) of the Act, § 418.76(c)(1)), which describes the patient’s family informed the nurse that thus allowing the Secretary to disclose process for conducting hospice aide the patient almost fell when the aide such accreditation surveys. In addition, competency evaluations, and propose to was transferring the patient to a chair; section 407(a)(1) of the CAA 2021 adds define both ‘‘pseudo-patient’’ and the nurse could assess the aide’s new requirements in newly added ‘‘simulation’’ at § 418.3. Thus, we are transferring technique to determine section 1822(a)(2) to require each state proposing to permit skill competencies whether there was any improper form. and local survey agency, and each to be assessed by observing an aide The hospice must also conduct, and the national accreditation body with an performing the skill with either a hospice aide must complete, a approved hospice accreditation patient or a pseudo-patient as part of a competency evaluation related to the program, to submit information simulation. The proposed definitions deficient and related transferring skills; respecting any survey or certification are as follows: such as transferring from bed to bedside made with respect to a hospice program. • ‘‘Pseudo-patient’’ means a person commode or shower chair. Such information shall include any trained to participate in a role-play We request public comment on our inspection report made by such survey situation, or a computer-based proposed changes to allow for the use of agency or body with respect to such mannequin device. A pseudo-patient the pseudo patient for conducting survey or certification, any enforcement

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actions taken as a result of such survey must be submitted in a form, manner, Measure 2) in the FY 2017 Hospice or certification, and any other and at a time specified by the Secretary. Wage Index and Payment Rate Update information determined appropriate by Any measures selected by the Secretary final rule, effective April 1, 2017. We the Secretary. This information will be must have been endorsed by the refer the public to the FY 2017 Hospice published publicly on our website, such consensus-based entity which holds a Wage Index and Payment Rate Update as Care Compare, in a manner that is performance measurement contract with final rule (81 FR 52144) for a detailed easily accessible, readily the Secretary under section 1890(a) of discussion. understandable, and searchable no later the Act. This contract is currently held The CAHPS Hospice Survey is a than October 1, 2022. In addition, by the National Quality Forum (NQF). component of the CMS HQRP, which is national accreditation bodies with However, section 1814(i)(5)(D)(ii) of the used to collect data on the experiences approved hospice accreditation Act provides that in the case of a of hospice patients and their family programs described above are required specified area or medical topic caregivers listed in their hospice to use the same survey form used by determined appropriate by the Secretary records. Readers who want more state and local survey agencies, which is for which a feasible and practical information about the development of currently the Form CMS–2567, on or measure has not been endorsed by the the survey, originally called the Hospice after October 1, 2021. consensus-based entity, the Secretary Experience of Care Survey, may refer to Depending on the amount of the may specify measures that are not 79 FR 50452 and 78 FR 48261. National annual update for a particular year, a endorsed, as long as due consideration implementation of the CAHPS Hospice reduction of 2 percentage points is given to measures that have been Survey commenced January 1, 2015, as through FY 2023 or 4 percentage points endorsed or adopted by a consensus- stated in the FY 2015 Hospice Wage beginning in FY 2024 could result in the based organization identified by the annual market basket update being less Index and Payment Rate Update final Secretary. Section 1814(i)(5)(D)(iii) of than zero percent for a FY and may rule (79 FR 50452). the Act requires that the Secretary result in payment rates that are less than The CAHPS Hospice Survey measures publish selected measures applicable payment rates for the preceding FY. Any received NQF endorsement on October reduction based on failure to comply with respect to FY 2014 no later than 26, 2016 and was re-endorsed November with the reporting requirements, as October 1, 2012. 20, 2020 (NQF #2651). NQF endorsed required by section 1814(i)(5)(B) of the In the FY 2014 Hospice Wage Index six composite measures and two overall Act, would apply only for the specified and Payment Rate Update final rule (78 measures from the CAHPS Hospice year. Any such reduction would not be FR 48234), and in compliance with Survey. Along with nine HIS-based cumulative nor be taken into account in section 1814(i)(5)(C) of the Act, we quality measures, the CAHPS Hospice computing the payment amount for finalized the specific collection of data Survey measures are publicly reported subsequent FYs. items that support the seven NQF- on a designated CMS website that is Section 1814(i)(5)(C) of the Act endorsed hospice measures described in currently Care Compare. Table 16 lists requires that each hospice submit data Table 1. In addition, we finalized the all quality measures currently adopted to the Secretary on quality measures Hospice Visits When Death is Imminent for the HQRP. specified by the Secretary. The data measure pair (HVWDII, Measure 1 and BILLING CODE 4120–01–P

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TABLE 16: Quality Measures Currently Adopted for the Hospice Quality Reporting

Program

Hospice Item Set

NQF# Short name Data collection began

1617 Patients Treated with an Opioid who are Given a Bowel October 1, 2014 Regimen

1634 Pain Screening October 1, 2014

1637 Pain Assessment October 1, 2014

1638 Dyspnea Treatment October 1, 2014

1639 Dyspnea Screening October 1, 2014

1641 Treatment Preferences October 1, 2014

1647 BeliefsNalues Addressed (if desired by the patient) October 1, 2014

Not applicable Hospice Visits when Death is Imminent (HVWDII) Aprill,2017 • Measure 1 - Percent of patients receiving at least one visit from registered nurses, physicians, nurse practitioners, or physician assistants in the last three days of life. • Measure 2 - Measure 2: Percentage of patients receiving at least two visits from medical social workers,

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chaplains or spiritual counselors, licensed practical nurses or hospice aides in the last seven days of life. 3235 Hospice and Palliative Care Composite Process Measure- Aprill,2017 HIS-Comprehensive Assessment Measure at Admission includes:

1. Patients Treated with an Opioid who are Given a Bowel Regimen (NQF #1617) 2. Pain Screening (NQF#1634) 3. Pain Assessment (NQF #1637) 4. Dyspnea Treatment (NQF #1638) 5. Dyspnea Screening (NQF# 1639) 6. Treatment Preferences (NQF #1641) 7. Beliefs/Values Addressed (if desired by the patient) (NOF# 1647) CAHPS Hospice Survey

NQF# Short Name Data collection began

2651 CARPS Hospice Survey - single measure January 1, 2015 • Communication with Family • Getting timely help • Treating patient with respect • Emotional and spiritual support • Help for pain and symptoms • Training family to care for the patient • Rating of this hospice • Willing to recommend this hospice

BILLING CODE 4120–01–C or replacement. However, if there is improvements in performance can no The Hospice and Palliative Care reason to believe continued collection of longer be made; Composite Process Measure—HIS- a measure raises potential safety 2. Performance or improvement on a Comprehensive Assessment at concerns, we will take immediate action measure does not result in better patient Admission measure (hereafter referred to remove the measure from the HQRP outcomes; to as ‘‘the HIS Comprehensive and will not wait for the annual 3. A measure does not align with Assessment Measure’’) underwent an rulemaking cycle. Such measures will current clinical guidelines or practice; off-cycle review by the NQF Palliative be promptly removed and we will 4. A more broadly applicable measure and End-of-Life Standing Committee immediately notify hospices and the (across settings, populations, or and successfully received NQF public of our decision through the usual conditions) for the particular topic is endorsement in July 2017 (NQF 3235). HQRP communication channels, available; The HIS Comprehensive Assessment including but not limited to listening 5. A measure that is more proximal in Measure captures whether multiple key sessions, email notification, Open Door time to desired patient outcomes for the care processes were delivered upon Forums, HQRP Forums, and Web particular topic is available; patients’ admissions to hospice in one postings. In such instances, the removal 6. A measure that is more strongly measure as described in the Table 1. of a measure will be formally associated with desired patient NQF 3235 does not require NQF’s announced in the next annual outcomes for the particular topic is endorsements of the previous rulemaking cycle. available; components to remain valid. Thus, if 7. Collection or public reporting of a the components included in NQF 3235 In the FY 2019 Hospice Wage Index measure leads to negative unintended do not individually maintain and Rate Update final rule (83 FR consequences; or endorsement, the endorsement status of 38622), we also adopted an eighth factor 8. The costs associated with a NQF 3235, as a single measure, will not for removal of a measure. This factor measure outweighs the benefit of its change. aims to promote improved health continued use in the program. In the FY 2016 Hospice Wage Index outcomes for beneficiaries while On August 31, 2020, we added and Rate Update final rule (80 FR minimizing the overall costs associated correcting language to the FY 2016 47142), we finalized the policy for with the program. These costs are Hospice Wage Index and Payment Rate retention of HQRP measures adopted for multifaceted and include the burden Update and Hospice Quality Reporting previous payment determinations and associated with complying with the Requirements; Correcting Amendment seven factors for measure removal. In program. The finalized reasons for (85 FR 53679) hereafter referred to as that same final rule, we discussed that removing quality measures are: the FY 2021 HQRP Correcting we will issue public notice, through 1. Measure performance among Amendment. In this final rule, we made rulemaking, of measures under hospices is so high and unvarying that correcting amendments to 42 CFR consideration for removal, suspension, meaningful distinctions in 418.312 to correct technical errors

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identified in the FY 2016 Hospice Wage standardized data items, known as the poorly on addressing pain. High-quality Index and Payment Rate Update final HIS, that support the following NQF- hospice care not only manages pain and rule. Specifically, the FY 2021 HQRP endorsed measures: symptoms of the terminal illness, but Correcting Amendment (85 FR 53679) • NQF #1617 Patients Treated with an assesses non-clinical needs of the adds paragraph (i) to § 418.312 to reflect Opioid who are Given a Bowel patient and family caregivers, which is our exemptions and extensions Regimen a hallmark of patient-centered care. requirements, which were referenced in • NQF #1634 Pain Screening Since the HIS Comprehensive the preamble but inadvertently omitted • NQF #1637 Pain Assessment Assessment Measure captures all seven from the regulations text. Thus, these • NQF #1638 Dyspnea Treatment processes collectively, we believe that exemptions or extensions can occur • NQF #1639 Dyspnea Screening public display of the individual when a hospice encounters certain • NQF #1641 Treatment Preferences component measures are not necessary. extraordinary circumstances. • NQF #1647 Beliefs/Values Addressed The interdisciplinary, holistic scope As stated in the FY 2019 Hospice (if desired by the patient) of the NQF #3235 HIS Comprehensive Wage Index and Rate Update final rule These measures were adopted to Assessment Measure aligns with the (83 FR 38622), we launched the increase public awareness of key public’s expectations for hospice care. Meaningful Measures initiative (which components of hospice care, such as In addition, the measure supports identifies high priority areas for quality pain and symptom management and alignment across our programs and with measurement and improvement) to non-clinical care needs. Consistent with other public and private initiatives. The improve outcomes for patients, their our policy for measure retention and seven individual components address families, and providers while also removal, finalized in the FY 2016 care processes around hospice reducing burden on clinicians and Hospice Wage Index and Rate Update admission that are clinically providers. More information about the final rule (80 FR 47142), we reviewed recommended or required in the Meaningful Measures initiative can be these measures against the factors for hospice CoPs. The Medicare Hospice found at: https://www.cms.gov/ removal. Our analysis found that they CoPs require that hospice Medicare/Quality-Initiatives-Patient- meet factor 4: ‘‘A more broadly comprehensive assessments identify Assessment-Instruments/ applicable measure (across settings, patients’ physical, psychosocial, QualityInitiativesGenInfo/MMF/ emotional, and spiritual needs and General-info-Sub-Page.html. populations, or conditions) for the particular topic is available.’’ We address them to promote the hospice In the FY 2020 Hospice Wage Index patient’s comfort throughout the end-of- and Payment Rate Update final rule (84 determined that the NQF #3235 HIS Comprehensive Assessment Measure, life process. Furthermore, the person- FR 38484), we discussed our interest in centered, family, and caregiver developing quality measures using discussed in detail in the FY 2017 Hospice Wage Index and Payment Rate perspective align with the domains claims data, to expand data sources for identified by the CoPs and the National quality measure development. While we Update final rule (81 FR 52144), is a Consensus Project 22 as patients and acknowledged in that rule the more broadly applicable measure and their family caregivers also place value limitations with using claims data as a continues to provide, in a single on physical symptom management and source for measure development, there measure, meaningful differences spiritual/psychosocial care as important are several advantages to using claims between hospices regarding overall factors at the end-of-life. The HIS data as part of a robust HQRP as quality in addressing the physical, Comprehensive Assessment Measure is discussed previously in the FY 2020 psychosocial, and spiritual factors of a composite measure that serves to rule. We also discussed developing the hospice care upon admission. ensure all hospice patients receive a Hospice Outcomes & Patient Evaluation The HIS Comprehensive Assessment comprehensive assessment for both (HOPE), a new patient assessment Measure’s ‘‘all or none’’ criterion physical and psychosocial needs at instrument that is planned to replace requires hospices to perform all seven admission. the HIS. See an update on HOPE care processes in order to receive credit. In addition, MedPAC’s Report to development in section III.F.6, Update In this way, it is different from an Congress: Medicare Payment Policy 23 regarding the Hospice Outcomes & average-based composite measure and over the past few years notes that the Patient Evaluation (HOPE) sets a higher bar for performance. This HIS Comprehensive Assessment development. single measure differentiates hospices We also discussed our interest in and holds them accountable for Measure differentiates the hospice’s outcome quality measure development. completing all seven process measures overall ability to address care processes Unlike process measures, outcome to ensure core services of the hospice better than the seven individual HIS measures capture the results of care as comprehensive assessment are process measures. In this way, it experienced by patients, which can completed for all hospice patients. provides consumers viewing data on include aspects of a patient’s health Therefore, the HIS Comprehensive Care Compare with a streamlined way to status and their experiences in the Assessment Measure continues to health system. The portfolio of quality encourage hospices to improve and 22 The National Consensus Project Guidelines maintain high performance in all seven expand on the eight domains of palliative care in measures in the HQRP will include the 3rd edition and include clinical and outcome measures that reflect the processes simultaneously, rather than organizational strategies, screening and assessment results of care. rely on its component measures to elements, practice examples, tools and resources. demonstrate quality hospice care in a The guidelines were developed by the National 2. Proposal To Remove the Seven way that may be hard to interpret for Consensus Project for Quality Palliative Care, comprising 16 national organizations with ‘‘Hospice Item Set Process Measures’’ consumers. The individual measures From HQRP Beginning FY 2022 extensive expertise in and experience with show performance for only one process palliative care and hospice, and were published by In the FY 2014 Hospice Wage Index and do not demonstrate whether the the National Coalition for Hospice and Palliative and Payment Rate Update final rule (78 hospice provides high-quality care Care. Journal of Hospice & Palliative Nursing: December 2018—Volume 20—Issue 6—p 507. FR 48234), and in compliance with overall, as an organization. For example, 23 MedPAC. (2020). Chapter 12: Hospice Services. section 1814(i)(5)(C) of the Act, we a hospice may perform extremely well http://medpac.gov/docs/default-source/reports/ finalized the specific collection of assessing treatment preferences, but mar20_medpac_ch12_sec.pdf.

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assess the extent to which a hospice indicators calculated from Medicare into a single HCI score, convey a broad follows care processes. claims data. The index design of the HCI overview of the quality of hospice care We are not proposing any revisions to simultaneously monitors all ten provision and validates well with the HIS Comprehensive Assessment indicators. Collectively these indicators CAHPS Willingness to Recommend and Measure in this proposed rule because represent different aspects of hospice Rating of this Hospice. the single measure continues to provide service and thereby characterize The HCI will help to identify whether value to patients, their families, and hospices comprehensively, rather than hospices have aggregate performance providers. on just a single care dimension. trends that indicate higher or lower Because the HIS Comprehensive Therefore, the HCI composite yields a quality of care relative to other hospices. Assessment Measure is a more broadly more reliable provider ranking. Together with other measures already applicable measure, we propose to The HCI indicators, through the publicly reported in the HQRP, HCI remove the seven individual HIS composite, would add new information scores will help patients and family process measures from the HQRP, no to HQRP that was either directly caregivers better decide between longer publicly reporting them as recommended for CMS to publicly hospice providers based on the factors individual measures on Care Compare report by Federal stakeholders 23 24 or that matter most to them. Additionally, beginning with FY 2022. In addition, we identified as areas for improvement creating a comprehensive quality are proposing to remove the ‘‘7 during information gathering activities. measure capturing a variety of related measures that make up the HIS Furthermore, each indicator represents care processes and outcomes in a single Comprehensive Assessment Measure’’ either a domain of hospice care metric will provide consumers and section of Care Compare, which recommended by leading hospice and providers an efficient way to assess the displays the seven HIS measures. We quality experts 25 for CMS to publicly overall quality of hospice care, which propose to make these changes report, or a requirement included in the can be used to meaningfully and easily removing the seven HIS process hospice CoPs. The indicators required to compare hospice providers to make a measures as individual measures from calculate the single composite are better-informed health care decision. HQRP no earlier than May 2022. discussed in the ‘‘Specifications for the The HCI will complement the existing Although this proposal removes the HCI Indicators Selected’’ section below. HIS Comprehensive Measure and does seven individual HIS process measures, These specifications list all the not replace any existing reported it does not propose any changes to the information required to calculate each measures. Both the HCI and the HIS requirement to submit the HIS indicator, including the numerator and Comprehensive Measure are composite admission assessment. Since the HIS denominator definitions, different measures in that they act as single Comprehensive Assessment Measure is thresholds for receiving credit toward measures that capture multiple areas of a composite of the seven HIS process the overall HCI score, and explanations hospice care. Because the indicators measures, the burden and requirement for those thresholds. Indicators reflect comprising the HCI differ in data source to report the HIS data remain practices or outcomes hospices should from the HIS Comprehensive Measure, unchanged in the time, manner, and pursue, thereby awarding points based the HCI and the HIS Comprehensive form finalized in the FY 2017 Hospice on the criterion. The HCI scoring Measure can together provide a Wage Index and Rate Update final rule example in Table 16 illustrates how meaningful and efficient way to inform (81 FR 52144). Hospices which do not points are awarded based on meeting patients and family caregivers, and report HIS data used for the HIS the criterion of the indicator. For support their selection of hospice care Comprehensive Assessment Measure example, Gaps in Nursing Visits have a providers. As a claims-based measure, will not meet the requirements for criterion of ‘‘lower than the 90th the HCI measure would not impose any compliance with the HQRP. percentile,’’ and supports the hospice new collection of information We are soliciting public comment on CoPs that require a member of the requirements. To learn more about the the proposal to remove the seven HIS interdisciplinary team to ensure ongoing background of the HCI, please watch process quality measures as individual assessment of patient and caregiver this video: https://youtu.be/ measures from the HQRP no earlier than needs and plan of care implementation. by68E9E2cZc. May 2022, and to continue including Other indicators, such as nurse visits on a. Measure Importance the seven HIS process measures in the weekends or near death, have a criterion confidential quality measure (QM) of ‘‘higher than the 10th percentile,’’ The FY 2019 Hospice Wage Index and Reports which are available to hospices. identifying hospice care delivery during Payment Rate Update final rule (83 FR The seven HIS process measures are the most vulnerable periods during a 38622) introduced the Meaningful also available by visiting the data hospice stay. Measure Initiative to hospice providers catalogue at https://data.cms.gov/ Each indicator equally affects the to identify high priority areas for quality provider-data/topics/hospice-care. We single HCI score, reflecting the equal measurement and improvement. The are also seeking public comment on the importance of each aspect of care Meaningful Measure Initiative areas are technical correction to the regulation at delivered from admission to discharge. intended to increase measure alignment § 418.312(b) effective October 1, 2021. A hospice is awarded a point for across programs and other public and meeting each criterion for each of the 10 private initiatives. Additionally, the 3. Proposal To Add a ‘‘Claims-Based indicators. The sum of the points earned initiative points to high priority areas Index Measure’’, the Hospice Care Index from meeting the criterion of each where there may be informational gaps We are proposing a new hospice indictor results in the hospice’s HCI in available quality measures, while quality measure, called the Hospice score, with 10 as the highest hospice helping guide our efforts to develop and Care Index (HCI), which will provide score. The ten indicators, aggregated implement quality measures to fill those more information to better reflect gaps, and develop those concepts several processes of care during a 23 2019: Vulnerabilities in Hospice Care (Office of towards quality measures that meet hospice stay, and better empower the Inspector General). standards for public reporting. The goal 24 Report to Congress: Medicare Payment Policy patients and family caregivers to make (March 2019) MEDPAC. of HQRP quality measure development informed health care decisions. The HCI 25 2019: Vulnerabilities in Hospice Care (Office of is to identify measures from a variety of is a single measure comprising ten the Inspector General). data sources that provide a window into

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hospice care throughout the dying effort from clinicians, patients, and that we are proposing, and all ten are process, fit well with the hospice family caregivers before they can be necessary to derive the HCI score. We business model, and meet the objectives submitted and used by CMS. use analytics, based on a variety of data of the Meaningful Measures initiative. • Claims data are collected based on files, to specify the indicators and To that end, the HCI seeks to add care delivered, providing a more direct measure. These data files include: value to the HQRP by filling reflection of care delivery decisions and • Medicare fee-for-service (FFS) informational gaps in aspects of hospice actions than patient assessments or hospice claims with through dates on service not addressed by the current surveys. and between October 1, 2016 and measure set. Consistent with the • Claims data are considered a September 30, 2019 to determine Meaningful Measure Initiative, we reliable source of standardized data information such as hospice days by conducted a number of information about the services provided, because level of care, provision of visits, live gathering activities to identify providers must comply with Medicare discharges, hospice payments, and dates informational gaps. Our information payment and claims processing policy. of hospice election. gathering activities included soliciting Currently, CMS does publicly report • Medicare fee-for-service inpatient feedback from hospice stakeholders several pieces of information derived claims with through dates on and such as providers and family caregivers; from hospice claims data in the HQRP between January 1, 2016 and December seeking input from hospice and quality on Care Compare, including (i) the 31, 2019 to determine dates of experts through a Technical Expert levels of care the hospice provided, (ii) hospitalization. Panel (TEP); interviews with hospice the primary diagnoses the hospice • Medicare beneficiary summary file quality experts; considering public served, (iii) the sites of service hospices to determine dates of death. comments received in response to provided care, and (iv) the hospice’s • Provider of Services (POS) File to previous solicitations on claims-based daily census. examine trends in the scores of the HCI hospice quality initiatives; and a review In the FY2018 Hospice Wage Index & and its indicators, including by decade of quality measurement Payment Rate proposed rule (82 FR by which the hospice was certified for recommendations offered by the OIG, 20750), we solicited public comment on Medicare, ownership status, facility MedPAC, and the peer-reviewed two high-priority claims-based measure type, census regions, and urban/rural literature. concepts being considered at the time, status. We found that hospices currently one which looked at transitions from • CAHPS Hospice Survey to examine underutilize HQRP measures to inform hospice and another which examined alignment between the survey outcomes their quality improvement, mainly access to higher levels of hospice care. and the HCI. because of gaps in relevant quality In response to this solicitation, CMS We acquired all claims data from the information within the HQRP measure received public comments highlighting Chronic Conditions Warehouse (CCW) set. In particular, the existing HQRP the potential limitations of a single Virtual Research Data Center (VRDC). measure set, calculated using data concept claims-based measure. In We obtained the hospice claims and the collected from the HIS and the CAHPS particular, a single-concept claims- Medicare beneficiary summary file in Hospice survey, does not assess quality based measure may not adequately May 2020, and the inpatient data in of hospice care during a hospice account for all relevant circumstances August 2020. We obtained the POS file election (between admission and that might influence a hospice’s data via: https://www.cms.gov/ discharge). Moreover, the current performance. While external Research-Statistics-Data-and-Systems/ measure set does not directly address circumstances could justify a hospice’s Downloadable-Public-Use-Files/ the full range of hospice services or poor performance on a single claims- Provider-of-Services. We obtained the outcomes. Therefore, we have identified based indicator, it would be unlikely for Hospice-aggregate CAHPS Hospice a need for a new quality measure to external circumstances to impact Survey outcome data via: https:// address this gap and reflect care multiple claims-based indicators data.cms.gov/provider-data. We delivery processes during the hospice considered simultaneously. Therefore, performed analyses using Stata/MP stay using available data without the results of a multi-indicator claims- Version 16.1. increasing data collection burden. based index, such as HCI, is more likely Table 17 indicates the number of Claims data are the best available data to differentiate hospices than a single hospice days, hospice claims, source for measuring care during the claims-based indicator. Taking this beneficiaries enrolled in hospices and hospice stay and present an opportunity public feedback into consideration, we hospices with at least one claim to bridge the quality measurement gap designed the HCI and developed the represented in each year of our analysis. that currently exists between the HIS specifications based on simulated Analysis for each year was based on the and CAHPS Hospice Survey. Medicare reporting periods. FY calendar. For example, FY 2019 claims are administrative records of covers claims with dates of services on health care services provided and b. Specifications for the HCI Indicators or between October 1, 2018 and payments which Medicare (and Selected September 30, 2019. For these analyses, beneficiaries as applicable) made for The specifications for the ten we exclude claims from hospices with those services. Claims are a rich and indicators required to calculate the 19 or fewer discharges 26 within a FY. comprehensive source about many care single HCI score are described in this The table reports the sample size before processes and aspects of health care section. These component indicators and after exclusion.27 utilization. As such, they are a valuable reflect various elements and outcomes source of information that can be used of care provided between admission and 26 We count discharges as any claim with a to measure the quality of care provided discharge. The HCI uses information discharge status code other than ‘‘30’’ (which is to beneficiaries for several reasons: from all ten indicators to collectively defined as ‘‘Still Patient’’) • Claims data are readily-available represent a hospice’s ability to address 27 Another exclusion was made prior to reporting and reduce provider burden for patients’ needs, best practices hospices the numbers in Table B.1. We exclude all claims for a beneficiary if a beneficiary ever had two implementation, as opposed to data should observe, and/or care outcomes overlapping hospice days on separate claims. For collection through patient assessments that matter to consumers. Each indicator FY 2019 this removes 5,212,319 hospice days that or surveys, which require additional is a key component of the HCI measure come from 218,420 claims and 33,009 beneficiaries.

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TABLE 17: Sample Size for Analyses by Federal Fiscal Year (FY)

Excluding claims from hospices with <20 After Before Before Exclusion After Exclusion discha Exclusion Exclusion Numb resented 106,406,018 105,750,624 113,762,656 113,085,444 Number of claims 4,775,310 4,747,725 5,048,355 5,019,848 1,522,290 1,515,186 1,569,350 1,562,003 4,623 4,004 4,796 4,155

The rest of this section presents the • Numerator: The total number of dates billed for CHC by examining the component indicators and their CHC or GIP services days provided by revenue center date.33 We define a specifications. Although we describe the hospice within a reporting period. hospice stay by a sequence of each component indicator separately, • Denominator: The total number of consecutive days for a particular the HCI is a composite that can only be hospice service days provided by the beneficiary that are billed under the calculated using all 10 indicators hospice at any level of care within a hospice benefit. A gap of at least 1 day combined. We believe that, composed of reporting period. without hospice ends the sequence. For this set of ten indicators, the HCI will • Index Earned Point Criterion: this indicator, we identified hospice strengthen the HQRP by Hospices earn a point towards the HCI stays that included 30 or more comprehensively, reflecting hospices’ if they provided at least one CHC or GIP consecutive days of hospice. Once we performance across all ten indicators. service day within a reporting period. identified those hospice stays, we (1). Indicator One: Continuous Home (2). Indicator Two: Gaps in Nursing examined the timing of the provision of Care (CHC) or General Inpatient (GIP) Visits nursing visits within those stays. We Provided identified nursing visits if we observed The Medicare Hospice CoPs require a any of the following criteria: Medicare Hospice Conditions of member of the interdisciplinary team to • The presence of revenue center Participation (CoPs) require hospices to ensure ongoing assessment of patient code 055x (Skilled Nursing) on the be able to provide both CHC and GIP and caregiver needs and plan of care hospice claim. The date of the visit is 31 levels of care, if needed to manage more implementation. The OIG has found recorded in the corresponding revenue intense symptoms.28 29 However, a 2013 instances of infrequent visits by nurses center date. OIG report 30 found that 953 hospice to hospice patients.32 To assess patients’ • The presence of revenue code 0652 programs did not provide any GIP level receipt of adequate oversight, one HCI (CHC) on the hospice claim. Days billed of care services, and it was unclear if indicator examines hospices that have a as CHC require more than half the hours dying patients at such hospices were high rate of patients who are not seen provided be nursing hours. receiving appropriate pain control or at least once a week by nursing staff. • The presence of revenue code 0656 symptoms management (a similar This indicator identifies whether a (GIP) on the hospice claim. We assume concern exists for hospice services at hospice is below the 90th percentile in that days billed as GIP will include the CHC level). To consider the terms of how often hospice stays of at nursing visits. We make that assumption provision of adequate services needed to least 30 days contain at least one gap of instead of looking at the visits directly manage patients’ symptoms, the HCI eight or more days without a nursing because Medicare does not require measure includes an indicator for visit. Days of hospice service are hospices to record all visits on the claim whether hospice programs provided any identified based on the presence of for the GIP level of care. CHC or GIP service days. This indicator revenue center codes 0651 (routine Based on the above information, if identifies hospices that provided at least home care (RHC)), 0652 (CHC), 0655 within a hospice stay, we find eight or one day of hospice care under the CHC (inpatient respite care (IRC)), and 0656 more consecutive days where no or the GIP levels of care during the (GIP) on hospice claims. We identify the nursing visits are provided, no CHC is period examined. The provision of CHC dates billed for RHC, IRC, and GIP by provided, and no GIP is provided, then and GIP is identified on hospice claims examining the corresponding revenue we identify the hospice stay as having by the presence of revenue center codes center date (which identifies the first a gap in nursing visits greater than 7 0652 (CHC) and 0656 (GIP). day in the sequence of days by level of days. This indicator helps the HCI to The specifications for Indicator One, care) and the revenue center units capture patients’ receipt of adequate CHC or GIP services provided, are as (which identify the number of days oversight through nurse visits and direct follows: (including the first day) in the sequence patient care, which is an important of days by level of care). We identify the aspect of hospice care. For each hospice, 28 See Special coverage requirements, Title 42, we divide the number of stays with at Chapter IV, Subchapter B, Part 418, § 418.204. 31 See § 418.56 (https://www.ecfr.gov/cgi-bin/text- least one gap of eight or more days https://www.ecfr.gov/cgi-bin/text- idx?rgn=div5;node=42%3A3.0.1.1.5#se42.3.418_ idx?rgn=div5;node=42%3A3.0.1.1.5#se42.3.418_ 156) and § 418.76 (https://www.ecfr.gov/cgi-bin/ without a nursing visit (for stays of 30 1204. text- or more days) by the number of stays of 29 See Payment procedures for hospice care, Title idx?rgn=div5;node=42%3A3.0.1.1.5#se42.3.418_ 30 or more days. We only consider the 42, Chapter IV, Subchapter B, Part 418, § 418.302. 176). days within the period being examined. https://www.ecfr.gov/cgi-bin/text- 32 Office of Inspector General. (2019). Hospice The specifications for Indicator Two, idx?rgn=div5;node=42%3A3.0.1.1.5#se42.3.418_ Deficiencies Pose Risks to Medicare Beneficiaries. 1302. https://oig.hhs.gov/oei/reports/oei-02-17- Gaps in Nursing Visits, are as follows: 30 Office of Inspector General. (2013). Medicare 00020.pdf?utm_source=summary-page&utm_ Hospice: Use of General lnpatient Care. https:// medium=web&utm_campaign=OEI-02-17-00020- 33 Hospices bill each day of CHC on a separate oig.hhs.gov/oei/reports/oei-02-10-00490.pdf. PDF. line item on the hospice claim.

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• Numerator: The number of elections measure because, some stakeholders models that seek out patients likely to with the hospice where the patient assert, these discharges reflect have long stays who may not meet the experienced at least one gap between beneficiary preferences and are not in hospice eligibility criteria’’.38 Because nursing visits exceeding 7 days, the hospice’s control. Because of quality implications for hospices who excluding hospice elections where the beneficiaries may choose to revoke pursue such business models, the live patient elected hospice for less than 30 hospice for a variety of reasons, which discharge after long hospice enrollments days within a reporting period. in some cases are related to the hospice was included in the index. • Denominator: The total number of provider’s business practices or quality This indicator identifies whether a elections with the hospice, excluding of care, we include revocations in our hospice is below the 90th percentile in hospice elections where the patient analysis.’’ terms of the percentage of live elected hospice for less than 30 days This indicator identifies whether a discharges that occur on or after the within a reporting period. hospice is below the 90th percentile in 180th day of hospice. Live discharges • Index Earned Point Criterion: terms of the percentage of live occur when the patient discharge status Hospices earn a point towards the HCI discharges that occur within 7 days of code does not equal a value from the if their individual hospice score for gaps hospice admission during the fiscal year following list: ‘‘30’’, ‘‘40’’, ‘‘41’’, ‘‘42’’, in nursing visits greater than 7 days falls examined. Live discharges occur when ‘‘50’’, ‘‘51’’. We measure whether a live below the 90th percentile ranking the patient discharge status code on a discharge occurs on or after the 180th among hospices nationally. hospice claim does not equal a code day of hospice by looking at a patient’s (3). Indicator Three: Early Live from the following list: ‘‘30’’, ‘‘40’’, lifetime length of stay in hospice. For Discharges ‘‘41’’, ‘‘42’’, ‘‘50’’, ‘‘51’’. We measure each hospice, we divide the number of whether a live discharge occurs during live discharges that occur on or after the Prior work has identified various the first 7 days of hospice by looking at 180th day of hospice by the number of concerning patterns of live discharge a patient’s lifetime length of stay in live discharges. Live discharges are from hospice. High rates of live hospice.37 For each hospice, we divide assigned to a particular reporting period discharge suggest concerns in hospices’ the number of live discharges in the first based on the date of the live discharge care processes, their advance care 7 days of hospice by the number of live (which corresponds to the through date planning to prevent hospitalizations, or discharges. Live discharges are assigned on the claim). their discharge processes.34 As MedPAC to a particular reporting period based on The specifications for Indicator Four, noted,35 ‘‘Hospice providers are the date of the live discharge (which Late Live Discharges, are as follows: expected to have some rate of live • corresponds to the through date on the Numerator: The total number of live discharges because some patients discharges from the hospice occurring claim indicating the live discharge). change their mind about using the The specifications for Indicator Three, on or after 180 days of enrollment in hospice benefit and dis-enroll from Early Live Discharges, are as follows: hospice within a reporting period. hospice or their condition improves and • Denominator: The total number of • Numerator: The total number of live they no longer meet the hospice all live discharge from the hospice discharges from the hospice occurring eligibility criteria. However, providers within a reporting period. within the first 7 days of hospice within with substantially higher percent of live • Index Earned Point Criterion: a reporting period. Hospices earn a point towards the HCI discharge than their peers could signal • Denominator: The total number of a potential concern with quality of care if their individual hospice score for live all live discharge from the hospice discharges on or after the 180th day of or program integrity. An unusually high within a reporting period. rate of live discharges could indicate • hospice falls below the 90th percentile Index Earned Point Criterion: ranking among hospices nationally. that a hospice provider is not meeting Hospices earn a point towards the HCI the needs of patients and families or is if their individual percentage of live (5). Indicator Five: Burdensome admitting patients who do not meet the discharges on or before the seventh day Transitions (Type 1)—Live Discharges eligibility criteria.’’ of hospice falls below the 90th From Hospice Followed by Our live discharge indicators percentile ranking among hospices Hospitalization and Subsequent Hospice included in the HCI, like MedPAC’s, nationally. Readmission comprise discharges for all reasons. They include instances where the (4). Indicator Four: Late Live Discharges The Type 1 burdensome transitions reflects hospice live discharge with a patient was no longer found terminally The rate of live discharge that ill and revocations due to the patient’s hospital admission within 2 days of occurred 180 days or more after hospice hospice discharge, and then hospice choice. MedPAC explains their rationale enrollment identifies another 36 readmission within 2 days of hospital for including all discharge as follows: potentially concerning pattern of live ‘‘Some stakeholders argue that live discharge. This pattern of transitions discharge from hospice. Both indicator may lead to fragmented care and may be discharges initiated by the beneficiary— three and indicator four of the HCI such as when the beneficiary revokes associated with concerning care recognize concerning patterns of live processes. For example, Type 1 his or her hospice enrollment—should discharge impacting patient experience not be included in a live-discharge burdensome transitions may arise from and quality of care. MedPAC, in a deficiency in advance care planning to descriptive analyses of hospices 34 Teno J.M., Bowman, J., Plotzke, M., Gozalo, prevent hospitalizations or a discharge P.L., Christian, T., Miller, S.C., Williams, C., & Mor, exceeding the Medicare annual payment process that does not appropriately V. (2015). Characteristics of hospice programs with cap, noted that ‘‘if some hospices have identify a hospice patient whose problematic live discharges. Journal of Pain and rates of discharging patients alive that Symptom Management, 50, 548–552. doi: 10.1016/ conditions are stabilized prior to are substantially higher than most other discharge.39 j.jpainsymman.2015.05.001. hospices it raises concerns that some 35 MedPAC. (2020). Chapter 12: Hospice Services. http://medpac.gov/docs/default-source/reports/ hospices may be pursuing business 38 MedPAC. (2020). Chapter 12: Hospice Services. mar20_medpac_ch12_sec.pdf. http://medpac.gov/docs/default-source/reports/ 36 MedPAC. (2020). Chapter 12: Hospice Services. 37 That is, we are measuring the first seven days mar20_medpac_ch12_sec.pdf. http://medpac.gov/docs/default-source/reports/ of hospice over a patient’s lifetime and potentially 39 For example, see: Teno J.M., Bowman, J., mar20_medpac_ch12_sec.pdf. across multiple hospice elections and fiscal years. Plotzke, M., Gozalo, P.L., Christian, T., Miller, S.C.,

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This indicator identifies whether a (6). Indicator Six: Burdensome • Index Earned Point Criterion: hospice is below the 90th percentile in Transitions (Type 2)—Live Discharges Hospices earn a point towards the HCI terms of the percentage of live From Hospice Followed by if their individual hospice score for discharges that are followed by a Hospitalization With the Patient Dying Type 2 burdensome transitions falls hospitalization (within 2 days of in the Hospital below the 90th percentile ranking hospice discharge) and then followed by Death in a hospital following live among hospices nationally. a hospice readmission (within 2 days of discharge in another concerning pattern (7). Indicator Seven: Per-Beneficiary hospitalization) during the FY in hospice use. Thus, we believe that Medicare Spending examined. Live discharges occur when indicators five and indicator six of the Estimates of per-beneficiary spending the patient discharge status code does HCI are necessary to differentiate are endorsed by NQF (#2158) 42 and not equal a value from the following list: concerning behaviors affecting patient publicly reported by CMS for other care ‘‘30’’, ‘‘40’’, ‘‘41’’, ‘‘42’’, ‘‘50’’, ‘‘51’’. care. This indicator reflects hospice live discharge followed by hospitalization settings. Because the Medicare hospice Hospitalizations are found by looking at benefit pays a per diem rate, an all fee-for-service Medicare inpatient within 2 days with the patient dying in the hospital, referred to as Type 2 important determinant of per- claims. Overlapping inpatient claims beneficiary spending is the length of were combined to determine the full burdensome transitions. This pattern of transitions may be associated with a election. MedPAC reported that nearly length of a hospitalization (looking at discharge process that does not half of Medicare hospice expenditures the earliest from date and latest through appropriately assess the stability of a are for patients that have had at least date from a series of overlapping hospice patient’s conditions prior to live 180 or more days on hospice, and inpatient claims for a beneficiary). In discharge.41 expressed a concern that some programs order to be counted, the ‘‘from’’ date of This indicator identifies whether a do not appropriately discharge patients the hospitalization had to occur no more hospice is below the 90th percentile in whose medical condition makes them than 2 days after the date of hospice live terms of the percentage of live no longer eligible for hospice services, discharge.40 From there, we found all discharges that are followed by a or, that that hospices selectively enroll beneficiaries that ended their hospitalization (within two days of patients with non-cancer diagnoses and hospitalization and were readmitted hospice discharge) and then the patient longer predicted lengths of stay in back to hospice no more than 2 days dies in the hospital. Live discharges hospice.43 The other determinant of per- after the last date of the hospitalization. occur when the patient discharge status beneficiary spending is the level of care To calculate the percentage, for each code does not equal a value from the at which services are billed. In a 2016 hospice we divided the number of live following list: ‘‘30’’, ‘‘40’’, ‘‘41’’, ‘‘42’’, report, the OIG has expressed concern at discharges that are followed by a ‘‘50’’, ‘‘51’’. Hospitalizations are found the potentially inappropriate billing of 44 hospitalization (within 2 days of by looking at all inpatient claims. GIP care. For these reasons the HCI hospice discharge) and then followed by Overlapping inpatient claims were includes one indicator for per- a hospice readmission (within 2 days of combined to determine a full length of beneficiary spending; lower rates of per a hospitalization (looking at the earliest beneficiary spending may identify hospitalization) in a given reporting from date and latest through date from hospices that provide efficient care at a period by the number of live discharges a series of overlapping inpatient claims). lower cost to Medicare. in that same period. To be counted, the ‘‘from’’ date of the This indicator identifies whether a The specifications for Indicator Five, hospitalization had to occur no more hospice is below the 90th percentile in Burdensome Transitions Type 1, are as than 2 days after the date of hospice live terms of the average Medicare hospice follows: discharge. From there, we identified all payments per beneficiary. Hospice • Numerator: The total number of live beneficiaries whose date of death is payments per beneficiary are discharges from the hospice followed by listed as occurring during the dates of determined by summing together all hospital admission within 2 days, then the hospitalization. To calculate the payments on hospice claims for a percentage, for each hospice we divided hospice readmission within 2 days of particular reporting year for a particular the number of live discharges that are hospital discharge within a reporting hospice. The number of beneficiaries a followed by a hospitalization (within 2 hospice serves in a particular year is period. days of hospice discharge) and then the determined by counting the number of • Denominator: The total number of patient dies in the hospital in a given unique beneficiaries on all hospice all live discharge from the hospice FY by the number of live discharges in claims in the same period for a within a reporting period. that same reporting period. particular hospice. Medicare spending • Index Earned Point Criterion: The specifications for Indicator Six, per beneficiary is then calculated by Burdensome Transitions Type 2, are as Hospices earn a point towards the HCI dividing the total payments by the total follows: if their individual hospice score for • number of unique beneficiaries. Numerator: The total number of live The specifications for Indicator Type 1 burdensome transitions falls discharges from the hospice followed by below the 90th percentile ranking Seven, Per-Beneficiary Medicare a hospitalization within 2 days of live Spending, are as follows: among hospices nationally. discharge with death in the hospital within a reporting year. • 42 National Quality Forum. (2013). #2158 Denominator: The total number of Payment-Standardized Medicare Spending Per all live discharge from the hospice Beneficiary (MSPB). https://www.qualityforum.org/ Projects/c-d/Cost_and_Resource_Project/2158.aspx. Williams, C., & Mor, V. (2015). Characteristics of within a reporting year. 43 MedPAC. (2020). Chapter 12: Hospice Services. hospice programs with problematic live discharges. 41 For example, see: Teno J.M., Bowman, J., http://medpac.gov/docs/default-source/reports/ Journal of Pain and Symptom Management, 50, _ _ _ Plotzke, M., Gozalo, P.L., Christian, T., Miller, S.C., mar20 medpac ch12 sec.pdf. 548–552. doi: 10.1016/j.jpainsymman.2015.05.001. Williams, C., & Mor, V. (2015). Characteristics of 44 Office of Inspector General. (2016). Hospices 40 For example, if the hospice discharge occurred hospice programs with problematic live discharges. Inappropriately Billed Medicare Over $250 Million on a Sunday, the hospitalization had to occur on Journal of Pain and Symptom Management, 50, for General Inpatient Care. https://oig.hhs.gov/oei/ Sunday, Monday, or Tuesday to be counted. 548–552. doi: 10.1016/j.jpainsymman.2015.05.001. reports/oei-02-10-00491.pdf.

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• Numerator: Total Medicare hospice provided on RHC days and divide by revenue center date overlaps with one of payments received by a hospice within the sum of RHC days. the days of RHC previously identified. a reporting period. The specifications for Indicator Eight, We then count the minutes of skilled • Denominator: Total number of Nurse Care Minutes per RHC Day, are as nursing visits by taking the beneficiaries electing hospice with the follows: corresponding revenue center units and hospice within a reporting period. • Numerator: Total skilled nursing multiplying by 15. For each hospice, we • Index Earned Point Criterion: minutes provided by a hospice on all sum together all skilled nursing minutes Hospices earn a point towards the HCI RHC service days within a reporting provided on RHC days that occur on a if their average Medicare spending per period. Saturday or Sunday and divide by the beneficiary falls below the 90th • Denominator: The total number of sum of all skilled nursing minutes percentile ranking among hospices RHC days provided by a hospice within provided on all RHC days. nationally. a reporting period. The specifications for Indicator Nine, • (8). Indicator Eight: Nurse Care Minutes Index Earned Point Criterion: Skilled Nursing Minutes on Weekends, per Routine Home Care (RHC) Day Hospices earn a point towards the HCI are as follows: if their individual hospice score for • Numerator: Total sum of minutes Medicare Hospice CoPs require a Nursing Minutes per RHC day falls provided by the hospice during skilled member of the interdisciplinary team to above the 10th percentile ranking nursing visits during RHC services days ensure ongoing assessment of patient occurring on Saturdays or Sunday 45 among hospices nationally. and caregiver needs. Such assessment within a reporting period. is necessary to ensure the successful (9). Indicator Nine: Skilled Nursing • Denominator: Total skilled nursing preparation, implementation, and Minutes on Weekends minutes provided by the hospice during refinements for the plan of care. Our regulations at § 418.100(c)(2) RHC service days within a reporting Hospices must also ensure that patients require that ‘‘[n]ursing services, period. and caregivers receive education and physician services, and drugs and • Index Earned Point Criterion: training as appropriate to their biologicals . . . be made routinely Hospices earn a point towards the HCI responsibilities for the care and services available on a 24-hour basis seven days if their individual hospice score for identified in the plan of care. To assess a week’’.46 Ongoing assessment of percentage of skilled nursing minutes adequate oversight, the HCI includes patient and caregiver needs and plan of provided during the weekend is above this indicator assessing the average care implementation are necessary for the 10th percentile ranking among number of skilled nursing minutes per adequate hospice care oversight. Fewer hospices nationally. day during RHC days to differentiate observed hospice services on weekends (10). Indicator Ten: Visits Near Death hospices that are providing assessment (relative to that provided on weekdays) throughout the hospice stay. is not itself an indication of a lack of The end of life is typically the period This indicator identifies whether a access. In fact, on weekends, patients’ in the terminal illness trajectory with hospice is above the 10th percentile in caregivers are more likely to be around the highest symptom burden. terms of the average number of nursing and could prefer privacy from hospice Particularly during the last few days minutes provided on RHC days during staff. However, patterns of variation before death, patients (and caregivers) the reporting period examined. We across providers could signal less experience many physical and identify RHC days by the presence of service provider availability and access emotional symptoms, necessitating revenue code 0651 on the hospice for patients on weekends. Thus, the HCI close care and attention from the claim. We identify the dates of RHC includes this indicator to further integrated hospice team and drawing service by the corresponding revenue differentiate whether care is available to increasingly on hospice team center date (which identifies the first 47 48 49 patients on weekends. To assess hospice resources. Physical symptoms of day of RHC) and the revenue center service availability, this indicator actively dying can often be identified units (which identifies the number of includes minutes of care provided by within three days of death in some days of RHC (including the first day of 50 skilled nurses on weekend RHC days. patients. RHC)). We identify nursing visits by the This indicator identifies whether a This indicator identifies whether a presence of revenue code 055x (Skilled hospice is at or above the 10th hospice is at or above the 10th Nursing) on the claim. We count skilled percentile in terms of the percentage of percentile in terms of the percentage of nursing visits where the corresponding skilled nursing minutes performed on beneficiaries with a nurse and/or revenue center date overlaps with one of weekends compared to all days during medical social services visit in the last the days of RHC previously identified. the reporting period examined. We 3 days of life. For this indicator, we first We then count the minutes of skilled identify RHC days by the presence of nursing visits by taking the 47 de la Cruz, M., et al. (2015). Delirium, agitation, revenue code 0651 on the hospice corresponding revenue center units (that and symptom distress within the final seven days claim. We identify the dates of RHC is, one unit is 15 minutes) and of life among cancer patients receiving hospice care. service by the corresponding revenue Palliative & Supportive Care, 13(2): 211–216. doi: multiplying by 15. For each hospice, we center date (which identifies the first 10.1017/S1478951513001144. sum together all skilled nursing minutes 48 day of RHC) and the revenue center Dellon, E.P., et al. (2010). Family caregiver perspectives on symptoms and treatments for units (which identifies the number of 45 See Condition of participation: patients dying from complications of cystic fibrosis. Interdisciplinary group, care planning, and days of RHC (including the first day of Journal of Pain & Symptom Management, 40(6): coordination of services, Title 42, Chapter IV, RHC)). We identify nursing visits by the 829–837. doi: 10.1016/j.jpainsymman.2010.03.024. Subchapter B, Part 418, § 418.56 (https:// presence of revenue code 055x (Skilled 49 Kehl, K.A., et al. (2013). A systematic review www.ecfr.gov/cgi-bin/text- Nursing) on the claim. We count skilled of the prevalence of signs of impending death and idx?rgn=div5;node=42%3A3.0.1.1.5#se42.3.418_ symptoms in the last 2 weeks of life. American 156) and Condition of participation: Hospice aide nursing visits where the corresponding Journal of Hospice & Palliative Care, 30(6): 601–616. and homemaker services, Title 42, Chapter IV, doi: 10.1177/1049909112468222. Subchapter B, Part 418, § 418.76 (https:// 46 See § 418.100 (https://www.ecfr.gov/cgi-bin/ 50 Hui D et al. (2014). Clinical Signs of Impending www.ecfr.gov/cgi-bin/text- text- Death in Cancer Patients. The Oncologist. idx?rgn=div5;node=42%3A3.0.1.1.5#se42.3.418_ idx?rgn=div5;node=42%3A3.0.1.1.5#se42.3.418_ 19(6):681–687. doi:10.1634/theoncologist.2013– 176). 1100). 0457.

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determine if a beneficiary was in at least 1 day of hospice during the last summarizes information from ten hospice for at least 1 day during their 3 days of life. indicators with each indicator last 3 days of life by comparing days of The specifications for Indicator Ten, representing key components of the hospice enrollment from hospice claims Visits Near Death, are as follows: hospice care recognizing care delivery • to their date of death. We identify Numerator: The number of and processes. Hospices receive a single nursing visits and medical social service decedent beneficiaries receiving a visit HCI score, which reflects the visits by the presence of revenue code by a skilled nurse or social worker staff information from all ten indicators. for the hospice in the last 3 days of the 055x (Skilled Nursing) and 056x Specifically, a hospice’s HCI score is beneficiary’s life within a reporting (Medical Social Services) on the claim. period. based on its collective performance on We identify the dates of those visits by • Denominator: The number of the ten performance indicators detailed the revenue center date for those decedent beneficiaries served by the above, all of which must be included to revenue codes. hospice within a reporting period. calculate the score and meaningfully Additionally, we assume that days • Index Earned Point Criterion: distinguish between hospices’ relative billed as GIP (revenue code 0656) will Hospices earn a point towards the HCI performance. The HCI’s component include nursing visits. We make that if their individual hospice score for indicators are assigned a criterion assumption instead of looking at the percentage of decedents receiving a visit determined by statistical analysis of an visits directly because Medicare does by a skilled nurse or social worked in individual hospice’s indicator score not require hospices to record all visits the last 3 days of life falls above the relative to national hospice on the claim for the GIP level of care. 10th percentile ranking among hospices performance. Table 18 illustrates how a nationally. For each hospice, we divide the number hypothetical hospice’s score is of beneficiaries with a nursing or (11). Hospice Care Index Scoring determined across all ten indicators, medical social service visits on a Example and how the ten indicators’ scores determine the overall HCI score. hospice claim during the last 3 days of As discussed during the NQF’s life by the number of beneficiaries with January 2021 MAP meeting, the HCI BILLING CODE 4120–01–P

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TABLE 18: Hospice Care Index Indicator Scoring Example

Burdensome transitions, Type Below 90 1 4 27 14.8% 8.7% 77 Percentile Yes (%live Rank discharges)

Hospice Care Index Total Score 8

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BILLING CODE 4120–01–C percent) that would yield reportable During measure testing, we observed c. Measure Reportability, Variability, measure scores over 1 year (for more on that hospices achieved scores between and Validity reportability analysis, see section (2) three and ten. In testing, 37.1 percent of Update on Use of Q4 2019 Data and hospices scored ten out of ten, 30.4 As part of developing the HCI, we Data Freeze for Refreshes in 2021.). percent scored nine out of ten, 17.9 conducted reportability, variability, and Variability analyses confirmed that HCI percent scored eight out of ten, 9.6 validity testing using claims data from demonstrates sufficient ability to percent scored seven out of ten, and 5.0 FY 2019. Reportability analyses found a differentiate hospices. Hospices’ scores percent scored six or lower, as shown in high proportion of hospices (over 85 on the HCI can range from zero to ten. Figure 6.

Figure 6: Distribution of Hospice Care Index Scores, Federal Fiscal Year 2019

1,800 .c 37.11% +"" 1,600 -~ 1,400 V, ~ ~ 0 1,200 ·-c.. V')u V, "'C 1,000 0 Q) :c +"" 17.91% ...,_ ro 800 0 ::, i...... !d 600 QJ ro .c u 9.60% E 400 ::, z 3.56% 200 0.00% 0.00% 0.00% 0.05% 0.24% 1. !3% ,------,-----,-----,-----,.---r- ..... "', I __ ,.,- 0 1 2 3 4 5 6 7 8 9 10 Hospice Care Index Score

Source: 100% Medicare hospice claims, Federal Fiscal Year 2019.

Validity analyses showed that indicating that a hospice’s HCI scores WorkArea/linkit.aspx?Link hospices’ HCI scores align with family would not normally fluctuate a great Identifier=id&ItemID=94893. caregivers’ perceptions of hospice deal from one year to the next. Stakeholders were generally quality, as measured by CAHPS Hospice supportive of a quality measure based d. Stakeholder Support survey responses (NQF endorsed quality on multiple indicators using claims data measure #2651). Hospices with higher A TEP convened by our measure for public reporting. Several hospice HCI scores generally achieve better development contractor, in April 2020, providers expressed support for the caregiver ratings as measured by CAHPS provided input on this measure concept. measure’s ability to demonstrate greater Hospice scores, and hospices with lower Additionally, during the summer of variation in hospice performance than HCI scores generally achieve poorer 2020, CMS convened five listening the component indicators taken CAHPS Hospice scores. As measured by sessions with national hospice provider individually. Hospice caregivers also Pearson’s correlation coefficients, the organizations to discuss the HCI concept welcomed the addition of new quality correlation between the CAHPS hospice with the goals of engaging stakeholders measures to HQRP to better differentiate overall rating and the HCI is +0.0675, and receiving feedback early in the between hospices. In particular, family and the correlation between the CAHPS measure’s development. In October caregivers stated that there might be a hospice recommendation outcome and 2020, our contractor, Abt Associates, need for several HCI indicators, such as the HCI score is +0.0916. As such, HCI convened a workgroup of family nursing availability on weekends and scores are consistent with CAHPS caregivers whose family members have average Medicare per-beneficiary Hospice caregiver ratings, supporting received hospice care to provide input spending, to be included on Care the index as a valid measurement of on this measure concept from the family Compare as additional information. hospice care. and caregiver perspective. Finally, the Some stakeholders raised concerns We also conducted a stability analysis NQF Measures Application Partnership that claims data may not adequately by comparing index scores calculated (MAP) met on January 11, 2021 and express the quality of care provided, for the same hospice using claims from provided input to CMS. The MAP and may be better suited as an indicator Federal FY 2017 and 2019. The analysis conditionally supports the HCI for for program integrity or compliance found that 82.8 percent of providers’ rulemaking contingent on NQF issues. Hospice providers suggested that scores changed by, at most, one point endorsement. The ‘‘2020–2021 MAP claims may lack sufficient information over the 2 years. These results serve as 2020 Final Recommendations’’ can be to adequately reflect individual patient evidence of the measure’s reliability by found at: http://www.qualityforum.org/ needs or the full array of hospice

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practices. In particular, claims do not indicators and HCI overall score to HVWDII with a claims-based HVLDL fully capture patients’ clinical support hospices in interpreting the measure. The November 2019 TEP conditions, patient and caregiver information. The HCI indicators will be report can be found in the downloads preferences, or hospice activities such available by visiting the Provider Data section at Hospice QRP Provider as telehealth, chaplain visits, and Catalog at https://data.cms.gov/ Engagement Opportunities and final specialized services such as massage or provider-data/topics/hospice-care. recommendations and presentation of music therapy. After much We are soliciting public comment on the HVLDL measure before NQF’s MAP consideration of the input received, we the proposal to add the composite HCI can be found at Quality Forum—Post- believe the benefits of proposing measure to the HQRP starting in FY Acute Care, https:// adoption of the HCI outweigh its 2022. We are also soliciting comments www.qualityforum.org/Publications/ limitations. The HCI would not be on the proposal to add the HCI to the 2020/02/MAP_2020_Considerations_ intended to account for all potentially program for public reporting beginning for_Implementing_Measures_Final_ valuable aspects of hospice care, nor no earlier than May 2022. Report_-_PAC_LTC.aspx. would it be expected to entirely close 4. Update on the Hospice Visits in the OMB approved the proposal to the information gaps presently found in Last Days of Life (HVLDL) and Hospice replace the HVWDII measure with the the HQRP. Rather, the HCI would serve Item Set V3.00 HVLDL measure and remove Section O as a useful measure to add value to the from the discharge assessment on On August 13, 2020, we sought public HQRP by providing more information to February 16, 2021. The HIS V3.00 comment in an information collection patients and family caregivers and better became effective on February 16, 2021 request to remove Section O ‘‘Service empowering them to make informed and expires on February 29, 2024; OMB Utilization’’ (hereafter referred to as health care decisions. We view the HCI control number 0938–1153. as an opportunity to add value to the Section O) of the HIS discharge HQRP, augmenting the current measure assessment. Removal of Section O is the 5. Proposal To Revise § 418.312(b) set with an index of indicators compiled sole change from HIS V2.01 and in Submission of Hospice Quality from currently available claims data. effect eliminate the HVWDII quality Reporting Program Data This will provide new and useful measure pair. In Paperwork Reduction Act package (PRA), CMS–10390 (OMB To address the inclusion of information to patients and family administrative data, such as Medicare caregivers without further burden to control number: 0938–1153), we also proposed to replace the HVWDII claims used for hospice claims-based them, or to providers. measures like the HVLDL and HCI in Stakeholders also suggested several measure pair with the HVLDL. This means that we will no longer report the HQRP and correct technical errors valuable exploratory analyses, identified in the FY 2016 and 2019 improvements for the indicators HVWDII with patient discharges and will start publicly reporting HVLDL no Hospice Wage Index and Payment Rate presented, and ideas for eventual public Update final rules, we propose to revise display for CMS to consider. We further earlier than May 2022. The Office of the regulation at § 418.312(b) by adding refined the HCI based on this feedback, Management and Budget (OMB) paragraphs (b)(1) through (3). As focusing on those indicators with the approved the collection of information proposed, paragraph (b)(1) would now strongest consistency with CAHPS to remove Section O of the HIS expiring include the existing language on the Hospice scores and/or which quality on February 29, 2024, (OMB Control standardized set of admission and experts have identified as salient issues Number: 0938–1153, CMS–10390). We discharge items. Paragraph (b)(2) would for measurement and observation. We direct the public to review the PRA at require collection of Administrative also revised and refined how the HCI https://www.cms.gov/regulations-and- Data, such as Medicare claims data, will be publicly displayed on Care guidancelegislation used for hospice quality measures to Compare in response to family caregiver paperworkreductionactof1995pra- input. listing/cms-10390 and HVWDII report at capture services throughout the hospice https://www.cms.gov/files/document/ stay. And these data automatically meet e. Form, Manner and Timing of Data hqrphospice-visits-when-death- the HQRP requirements for Collection and Submission imminent-testing-re-specification- § 418.306(b)(2). The data source for this HCI measure reportoctober-2020.pdf. As a claims- Paragraph (b)(3) would be a technical will be Medicare claims data that are based measure, the HVLDL measure correction to address errors identified in already collected and submitted to CMS. would not impose any new collection of the FY 2016 and FY 2019 Hospice Wage We propose to begin reporting this information requirements. Index and Payment Rate Update final measure using existing data items no The HVLDL measure, as a rules, (80 FR 47186 and 83 FR 38636). earlier than May 2022. For more details, replacement, will continue to fill an In the FY 2016 Hospice final rule (80 FR see section (3). Proposal to Publicly important area in hospice care 47186) adopted seven factors for Report the Hospice Care Index and previously filled by the HVWDII measure removal, and in the FY 2019 Hospice Visits in the Last Days of Life measure pair. We discussed the analysis Hospice final rule (83 FR 38636) Claims-based Measures. with a TEP convened by our measure adopted the eighth factor for measure In addition, to help hospices development contractor in November removal. In those final rules, we understand the HCI and their hospice’s 2019 and with the MAP, hosted by the referenced the measure removal factors performance, we will revise the NQF in December 2019 51 for inclusion in the preamble but inadvertently confidential QM report to include in the HQRP. During these meetings, the omitted them from the regulations text. claims-based measure scores, including discussions reflecting on the analysis Thus, these measure removal factors agency and national rates through the generally supported the replacement of identify how measures are removed Certification and Survey Provider from the HQRP. Section 418.312(b)(3) Enhanced Reports (CASPER) or 51 National Quality Forum. (2020). MAP 2020 would include the eight measure replacement system. The QM report will Considerations for Implementing Measures Final removal factors as follows: Report—PAC LTC. http://www.qualityforum.org/ also include results of the individual Publications/2020/02/MAP_2020_Considerations_ CMS may remove a quality measure indicators used to calculate the single for_Implementing_Measures_Final_Report_-_PAC_ from the Hospice QRP based on one or HCI score, and provide details on the LTC.aspx. more of the following factors:

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(1) Measure performance among abstraction from the patient’s clinical providing input through information hospices is so high and unvarying that record.’’ (HIS Manual v.2.01). In sharing activities, including expert meaningful distinctions in contrast, the HOPE is a patient interviews, key stakeholder interviews, improvements in performance can no assessment instrument, designed to and focus groups to support the HOPE longer be made. capture patient and family care needs in development. As CMS proceeds with (2) Performance or improvement on a real-time during patient interactions field testing the HOPE, we will continue measure does not result in better patient throughout the patient’s hospice stay, to engage with stakeholders through outcomes. with the flexibility to accommodate sub-regulatory channels. In particular, (3) A measure does not align with patients with varying clinical needs. we will continue to host HQRP Forums current clinical guidelines or practice. The HOPE will enable CMS and to allow hospices and other interested (4) The availability of a more broadly hospices to understand the care needs of parties to engage with us on the latest applicable (across settings, populations, people through the dying process, updates and ask questions on the or conditions) measure for the particular supporting provider care planning and development of the HOPE and related topic. quality improvement efforts, and quality measures. We also have a (5) The availability of a measure that ensuring the safety and comfort of dedicated email account, is more proximal in time to desired individuals enrolled in hospice [email protected], for patient outcomes for the particular nationwide. The HOPE will include key comments about the HOPE. We will use topic. items from the HIS along with field test results to create a final version (6) The availability of a measure that Standardized Patient Assessment Data of the HOPE to propose in future is more strongly associated with desired Elements (SPADEs), and demographics rulemaking for national patient outcomes for the particular like gender and race. This approach to implementation. We will continue to topic. include key aspects of SPADES and engage all stakeholders throughout this (7) Collection or public reporting of a demographics supports hospice process. We appreciate the support for measure leads to negative unintended feedback provided in the FYs 2017 and the HOPE and reiterate our commitment consequences other than patient harm. 2018 Hospice Wage Index and Payment to providing updates and engaging (8) The costs associated with a Rate Update final rule (81 FR 52171 and stakeholders through sub-regulatory measure outweigh the benefit of its 82 FR 36669) and CMS’ goals for a means. Future updates and engagement continued use in the program. hospice assessment instrument, as opportunities regarding HOPE can be We solicit public comment on our stated in the FY 2018 Hospice Wage found at: https://www.cms.gov/ proposal to revise the regulation at Index and Payment Rate Update final Medicare/Quality-Initiatives-Patient- § 418.312(b) to add paragraphs (b)(1) rule. The HOPE assessment instrument Assessment-Instruments/Hospice- through (3) to include administrative would facilitate communication among Quality-Reporting/HOPE.html. data as part of the HQRP, and correct providers and to measure the care of 7. Update on Quality Measure technical errors identified in the FY patient populations across settings. Development for Future Years 2016 and 2019 Hospice Wage Index and While the standardization of measures Payment Rate Update final rules. required for adoption under the In the FY 2017 Hospice Wage Index and Payment Rate Update final rule (81 6. Update Regarding the Hospice IMPACT Act of 2014 is not applicable FR 52160), we finalized new policies Outcomes & Patient Evaluation (HOPE) to hospices, it makes reasonable sense to and requirements related to the HQRP, Development include those standardized elements and items that appropriately and including how we would provide As finalized in the FY 2020 Hospice feasibly apply to hospice. After all, updates related to the development of Wage Index and Payment Rate Update some patients may move through the new quality measures. Information on and Hospice Quality Reporting healthcare system to hospice so the current HQRP quality measures can Requirements final rule (84 FR 38484), capturing and tracking key SPADES and be found at: https://www.cms.gov/ we are developing a hospice patient social risk factor items that apply to Medicare/Quality-Initiatives-Patient- assessment instrument identified as the hospice, including some of the Assessment-Instruments/Hospice- HOPE. This tool is intended to help categories of SPADES identified in the Quality-Reporting/Current-Measures. In hospices better understand care needs IMPACT Act of 2014, may help CMS this proposed rule, we are continuing to throughout the patient’s dying process achieve our goals for continuity of care, provide updates for both HOPE-based and contribute to the patient’s plan of overall patient care and well-being, and claims-based quality measure care. It will assess patients in real-time, interoperability, and health equity that development. based on interactions with the patient. are also discussed in this rule. To support new measure The HOPE will support quality The draft HOPE has undergone development, our contractor, Abt improvement activities and calculate cognitive and pilot testing, and will Associates, convened TEP meetings in outcome and other types of quality undergo field testing to establish 2020 to provide feedback on several measures in a way that mitigates burden reliability, validity and feasibility of the measure concepts. In 2020, the TEP on hospice providers and patients. Our assessment instrument. We anticipate explored potential quality measure two primary objectives for the HOPE are proposing the HOPE in future constructs that could be derived from to provide quality data for the HQRP rulemaking after testing is complete. the HOPE and their specifications. requirements through standardized data We will continue development of the Specifically, for HOPE-based measure collection, and to provide additional HOPE assessment in accordance with development, the TEP focused on pain clinical data that could inform future the Blueprint for the CMS Measures and other symptom outcome measure payment refinements. Management System. Development of concepts that could be calculated from We anticipate that the HOPE will the HOPE is grounded in extensive the HOPE. Input from initial TEP replace the HIS. The HIS is not a patient information gathering activities to workgroups held in spring 2020 assessment instrument. HIS data identify and refine hospice assessment informed follow-up information- collection ‘‘consists of selecting domains and candidate assessment gathering activities related to pain in responses to HIS items in conjunction items. We appreciate the industry’s and general and neuropathic pain in with patient assessment activities or via national associations’ engagement in particular. The 2020 Information

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Gathering Summary report is available obtained via: https://www.cms.gov/files/ hybrid measures based on a at https://www.cms.gov/files/document/ document/2020-hqrp-tep-summary- combination of data sources. 12042020-information-gathering- report.pdf. Related to the outcome 8. CAHPS Hospice Survey Participation oy1508.pdf. During fall 2020, the TEP measures and in order to have HOPE Requirements for the FY 2023 APU and reviewed measure concepts focusing on pain and symptom measures in the Subsequent Years pain and symptom outcomes that could program as soon as possible, we plan to be calculated from HOPE items. develop process measures, including on a. Background and Description of the The TEP supported further pain and symptom management. These CAHPS Hospice Survey exploration and development of these process measures may support or The CAHPS Hospice Survey is a measures. As described in the 2020 TEP complement the outcome measures. We component of the CMS HQRP which is Summary Report, the TEP generally solicit comments on current HOPE- used to collect data on the experiences supports the following measure based quality measure development and of hospice patients and the primary concepts that are calculated using HOPE recommendations for future process and caregivers listed in their hospice items: Timely Reduction of Pain Impact, outcome measure constructs. records. Readers who want more Reduction in Pain Severity, and Timely In the FY 2020 Hospice Wage Index information about the development of Reduction of Symptoms. The candidate and Payment Rate Update final rule (84 the survey, originally called the Hospice measure Timely Reduction of Pain FR 38484) and as discussed below, we Experience of Care Survey, may refer to Impact reports the percentage of are interested in claims-based quality 79 FR 50452 and 78 FR 48261. National patients who experienced a reduction in measures in order to leverage the implementation of the CAHPS Hospice the impact of moderate or severe pain. multiple data sources currently Survey commenced January 1, 2015 as HOPE items assessing Symptom Impact, available to support quality measure stated in the FY 2015 Hospice Wage and Patient Desired Tolerance Level for development. Specifically, we intend to Index and Payment Rate Update final Symptoms or Patient Preferences for develop additional claims-based rule (79 FR 50452). Symptom Management were used to measures that may enable beneficiaries calculate this measure. The candidate and their family caregivers to make b. Overview of the ‘‘CAHPS Hospice measure Reduction in Pain Severity more informed choices about hospice Survey Measures’’ reports the percentage of patients who care and to hold hospices more The CAHPS Hospice Survey measures had a reduction in reported pain accountable for the care they provide. was re-endorsed by NQF on November severity. The primary HOPE items used As discussed in this section, the HVLDL 20, 2020. The re-endorsement can be to calculate this measure include Pain and HCI claims-based measures support found on the NQF website at: https:// Screening, Pain Active Problem, and the Meaningful Measures initiative and www.qualityforum.org/Measures_ Patient Desired Tolerance Level for address gaps in HQRP. Additional Reports_Tools.aspx. Use the QPS tool Symptoms or Patient Preferences for claim-based measure concepts we are and search for NQF number 2651. The Symptom Management. The last considering for development include survey received its initial NQF candidate measure discussed by the TEP hospice services on weekends, endorsement on October 26, 2016 (NQF was Timely Reduction of Symptoms transitions after hospice live discharge, #2651). We adopted 8 survey based which measures the percentage of Medicare expenditures per beneficiary measures for the CY 2018 data patients who experience a reduction in (including the share of non-hospice collection period and for subsequent the impact of symptoms other than pain. spending during hospice election, and years. These eight measures are publicly The HOPE items assessing Symptom the share for hospice care prior to the reported on a designated CMS website, Impact, and Patient Desired Tolerance last year of life), and post-mortem visits Care Compare, https:// Level for Symptoms or Patient www.medicare.gov/care-compare/. Preferences for Symptom Management as measures of hospice quality. We were used to calculate this measure. The intend to submit additional claims- c. Data Sources based measures for future consideration HOPE items for all three measure are We previously finalized the collected at multiple time points across and solicit public comment. We solicit public comment on the participation requirements for the a patient’s stay, including at Admission, CAHPS Hospice Survey, (84 FR 38484). Symptom Reassessment, Level of Care aforementioned HOPE- and claims- based quality measures to distinguish We propose no changes to these Change, and Recertification. Overall, the requirements going forward. TEP supported each candidate measure between high- and low-quality hospices, and agreed that they were viable for support healthcare providers in quality d. Public Reporting of CAHPS Hospice distinguishing hospice quality. We improvement efforts, and provide Survey Results support to hospice consumers in continue to develop all three candidate We began public reporting of the helping to select a hospice provider. We quality measures. results of the CAHPS Hospice Survey on solicit public comment on how the We are interested in exploring patient Hospice Compare as of February 2018. candidate measures may achieve those preferences for symptom management, Prior to the COVID–19 public health goals. addressing patient spiritual and emergency (PHE), we reported the most psychosocial needs, and medication We are also considering developing recent 8 quarters of data on the basis of management in outcomes of care in hybrid quality measures that would be a rolling average, with the most recent development of quality measures. We calculated using claims, assessment quarter of data being added and the seek public comment, methods, (HOPE), or other data sources. Hybrid oldest quarter of data removed from the instruments, or brief summaries on quality measures allow for a more averages for each data refresh. Given the hospice quality initiatives related to comprehensive set of information about exemptions provided due to COVID–19 goal attainment, patient preferences, care processes and outcomes than can PHE in the March 27, 2020 Guidance be calculated using claims data alone. spiritual needs, psychosocial needs, and Memorandum,52 public reporting will medication management. Assessment data can be used to support Information about the TEP feedback risk-adjustment. We seek public 52 https://www.cms.gov/files/document/guidance- on these quality measures concepts and comment on quality measure concepts memo-exceptions-and-extensions-quality-reporting- future measure concepts can be and considerations for developing and-value-based-purchasing-programs.pdf.

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continue to be the most recent 8 Survey Data Collection and Reporting caregiver pairs in the year prior to the quarters of data, excluding the requirements for FY 2021 and every data collection year are eligible to apply exempted quarters; Quarter 1 and year thereafter (84 FR 38526). for the size exemption. Hospices may Quarter 2 of CY 2020. More information We propose no changes to this apply for a size exemption by about this is detailed in the section exemption. The exemption request form submitting the size exemption request entitled: Proposal for Public Reporting is available on the official CAHPS form as outlined above. The size CAHPS-based measures with Fewer Hospice Survey website: http:// exemption is only valid for the year on than Standard Numbers of Quarters Due www.hospiceCAHPSsurvey.org. the size exemption request form. If the Hospices that intend to claim the size to PHE Exemptions. hospice remains eligible for the size exemption are required to submit to exemption, the hospice must complete e. Volume-Based Exemption for CAHPS CMS their completed exemption request Hospice Survey Data Collection and form by December 31, of the data the size exemption request form for Reporting Requirements collection year. every applicable FY APU period, as We previously finalized a volume- Hospices that served a total of fewer shown in table 19. based exemption for CAHPS Hospice than 50 survey-eligible decedent/

TABLE 19: Size Exemption Key Dates FY 2022 Through FY 2026 Fiscal year Data collection year Reference year Size exemption form submission deadline FY2022 CY2020 CY2019 December 31 2020 FY2023 CY2021 CY2020 December 31 2021 FY2024 CY2022 CY2021 December 31 2022 FY2025 CY2023 CY2022 December 31 2023 FY2026 CY2024 CY2023 December 31 2024

f. Newness Exemption for CAHPS exemption for FY 2023, and all through FY 2025 as stated in the FY Hospice Survey Data Collection and subsequent years. We encourage 2018 and FY 2019 Hospice Wage Index Public Reporting Requirements hospices to keep the letter they receive and Payment Rate Update final rules (82 We previously finalized a one-time providing them with their CMS FR 36670 and 83 FR 38642 through newness exemption for hospices that Certification Number (CCN). The letter 38643). We also continued those meet the criteria as stated in the FY can be used to show when you received requirements in all subsequent years (84 2017 Hospice Wage Index and Payment your number. FR 38526). Table 20 restates the data Rate Update final rule (81 FR 52181). In g. Survey Participation Requirements submission dates for FY 2023 through the FY 2019 Hospice Wage Index and FY 2025. Payment Rate Update final rule (83 FR We previously finalized survey 38642), we continued the newness participation requirements for FY 2022

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TABLE 20: CAHPS Hospice Survey Data Submission Dates for the APU in FY 2023, FY 2024, and FY 2025

Sample months CARPS Quarterly Data Submission Deadlines** month of death * FY2023 APU CYJ Au st 11, 2021 CY November 10, 2021 CYJ CY October-December 2021 FY2024APU CY January-March 2022 (Quarter 1) August 10, 2022 CY April-June 2022 (Quarter 2) November 9, 2022 CY July-September 2022 (Quarter 3) February 8, 2023 CY October-December 2022 (Quarter 4) May 10, 2023 FY2025APU CY January-March 2023 (Quarter 1) August 9, 2023 CY April-June 2023 (Quarter 2) November 8, 2023 CY July-September 2023 (Quarter 3) February 14, 2024 CY October-December 2023 (Quarter 4) May 8, 2024 * Data collection for each sample month initiates 2 months following the month of patient death (for example, in April for deaths occurring in January). ** Data submission deadlines are the second Wednesday of the submission months, which are the months August, November, February, and May.

For further information about the the eight CAHPS Hospice Survey performance, in the second stage, we CAHPS Hospice Survey, we encourage measures. Specifically, individual-level would compare mean measure scores hospices and other entities to visit: responses to survey items would be for the bigger hospices used in the first https://www.hospiceCAHPSsurvey.org. scored such that the most favorable stage to all other hospices, and update For direct questions, contact the CAHPS response is scored as 100 and all other cut-points by adjusting the initial cut- Hospice Survey Team at responses are scored as 0. A hospice- points to reflect the normalized [email protected] or level score for a given survey item difference between bigger and smaller call 1-(844) 472–4621. would then be calculated as the average hospices. This two-stage approach h. Proposal To Add CAHPS Hospice of the individual-level responses, with allows for calculation of stable cut- Survey Star Ratings to Public Reporting adjustment for differences in case mix points that reflect the full range of and mode of survey administration. For hospice performance. We propose that CMS currently publishes CAHPS star a measure composed of multiple items, hospice star ratings for each measure be ratings for several of its public reporting the hospice-level measure score is the assigned based on where the hospice- programs including Home Health average of the hospice-level scores for level measure score falls within these CAHPS and Hospital CAHPS. The each item within the measure. Similar cut-points. intention in doing so is to provide a to other CAHPS programs, we propose We further propose to calculate a simple, easy to understand, method for that the cut-points used to determine summary or overall CAHPS Hospice summarizing CAHPS scores. Star ratings the stars be constructed using statistical Survey Star Rating by averaging the Star benefit the public in that they can be clustering procedures that minimize the easier for some to understand than Ratings across the 8 measures, with a score differences within a star category 1 absolute measure scores, and they make weight of ⁄2 for Rating of the Hospice, and maximize the differences across star 1 comparisons between hospices more a weight of ⁄2 for Willingness to categories. straightforward. The public’s familiarity Recommend the Hospice, and a weight with a 1 through 5 star rating system, We propose to use a two-stage of 1 for each of the other measures, and given its use by other programs, is also approach to calculate these cut-points. then rounding to a whole number. We a benefit to using this system. In the first stage, we would determine propose that only the overall Star Rating We propose to introduce Star Ratings initial cut-points by calculating the be publicly reported and that hospices for public reporting of CAHPS Hospice clustering algorithm among hospices must have a minimum of 75 completed Survey results on the Care Compare or with 30 or more completed surveys over surveys in order to be assigned a Star successor websites no sooner than FY 2 quarters (that is, 6 months); restricting Rating. We propose to publish the 2022. We propose that the calculation these calculations to hospices that meet details of the Star Ratings methodology and display of the CAHPS Hospice a minimum sample size promotes on the CAHPS Hospice Survey website, Survey Star Ratings be similar to that of stability of cut-points. Depending on www.hospicecahpssurvey.org. CMS other CAHPS Star Ratings programs whether hospices that meet this requires no additional resources to such as Hospital CAHPS and Home minimum sample size have different create and display CAHPS star ratings. Health CAHPS. The stars would range score patterns than smaller hospices, the We solicit comments on these from one star (worst) to five stars (best). initial cut-points may be too high or too proposals for CAHPS Star Ratings and We propose that the stars be calculated low. To ensure that cut-points reflect included in public reporting no sooner based on ‘‘top-box’’ scores for each of the full distribution of measure than FY 2022.

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9. Form, Manner, and Timing of Quality reduce the market basket update by 4 Data Collection Year. The Reference Data Submission percentage points for any hospice that Year applies to hospices submitting a a. Background does not comply with the quality data size exemption from the CAHPS survey submission requirements for that FY. (there is no similar exemption for HIS). Section 1814(i)(5)(C) of the Act For example, for the CY 2022 data b. Compliance requires that each hospice submit data collection year, the Reference Year, is to the Secretary on quality measures HQRP Compliance requires CY 2021. This means providers seeking specified by the Secretary. Such data understanding three timeframes for both a size exemption for CAHPS in CY 2022 must be submitted in a form and HIS and CAHPS. (1) The relevant would base it on their hospice size in manner, and at a time specified by the Reporting Year, payment FY and the CY 2021. Submission requirements are Secretary. Section 1814(i)(5)(A)(i) of the Reference Year. The ‘‘Reporting Year’’ codified in § 418.312. Act was amended by the CAA 2021 and (HIS)/‘‘Data Collection Year’’ (CAHPS). For every CY, all Medicare-certified the payment reduction for failing to This timeframe is based on the CY. It is hospices are required to submit HIS and meet hospice quality reporting the same CY for both HIS and CAHPS. CAHPS data according to the requirements is increased from 2 If the CAHPS Data Collection year is CY requirements in § 418.312. Table 21 percent to 4 percent beginning with FY 2022, then the HIS reporting year is also summarizes the three timeframes 2024. The Act requires that, beginning CY 2022. (2) The APU is subsequently described above. It illustrates how the with FY 2014 through FY 2023, the applied to FY payments based on CY interacts with the FY payments, Secretary shall reduce the market basket compliance in the corresponding covering the CY 2020 through CY 2023 update by 2 percentage points and then Reporting Year/Data Collection Year. (3) data collection periods and the beginning in FY 2024 and for each For the CAHPS Hospice Survey, the corresponding APU application from FY subsequent year, the Secretary shall Reference Year is the CY prior to the 2022 through FY 2025.

TABLE 21: HQRP Reporting Requirements and Corresponding Annual Payment Updates

Reporting Year for HIS and Reference Year for Data Collection Year for · CARPS Size Exemption CARPS data CARPS onl CY2020 CY2019 CY2021 CY2022 CY2023 * Beginning in FY 2024 and all subsequent years, the payment penalty is 4 percent. Prior to FY 2024, the payment

As illustrated in Table 21, CY 2020 Admission and Discharge records hospices are required to collect data data submissions compliance impacts submitted in CY 2018) are based on a monthly using the CAHPS Hospice the FY 2022 APU. CY 2021 data timeliness threshold of 90 percent. This Survey. Hospices comply by utilizing a submissions compliance impacts the FY means CMS requires that hospices CMS-approved third-party vendor. 2023 APU. CY 2022 data submissions submit 90 percent of all required HIS Approved Hospice CAHPS vendors compliance impacts FY 2024 APU. This records within 30-days of the event (that must successfully submit data on the CY data submission impacting FY APU is, patient’s admission or discharge). hospice’s behalf to the CAHPS Hospice pattern follows for subsequent years. The 90-percent threshold is hereafter Survey Data Center. A list of the referred to as the timeliness compliance approved vendors can be found on the c. Submission Data and Requirements threshold. Ninety percent of all required CAHPS Hospice Survey website: As finalized in the FY 2016 Hospice HIS records must be submitted and www.hospicecahpssurvey.org. Table 22. Wage Index and Payment Rate Update accepted within the 30-day submission HQRP Compliance Checklist illustrates final rule (80 FR 47192), hospices’ deadline to avoid the statutorily- compliance with HIS requirements mandated payment penalty. the APU and timeliness threshold beginning with the FY 2020 APU To comply with CMS’ quality requirements. determination (that is, based on HIS- reporting requirements for CAHPS,

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TABLE 22: HQRP Compliance Checklist

Annual Payment HIS CAHPS Update Submit at least 90 percent of all HIS records within Ongoing monthly participation FY2022 30 days of the event date (patient's admission or in the Hospice CARPS smvey discharge) for patient admissions/discharges 1/1/2020 - 12/31/2020 occurring 1/1/20 - 12/31/20.

Submit at least 90 percent of all HIS records within Ongoing monthly participation FY2023 30 days of the event date (patient's admission or in the Hospice CARPS smvey discharge) for patient admissions/discharges 1/1/2021 - 12/31/2021 occurring 1/1/21 - 12/31/21. Submit at least 90 percent of all HIS records within Ongoing monthly participation 30 days of the event date (patient's admission or in the Hospice CARPS smvey FY2024 discharge) for patient admissions/discharges 1/1/2022 - 12/31/2022 occurring 1/1/22 - 12/31/22.

Most hospices that fail to meet HQRP Evaluation System (iQIES) that will care hospices provide, we first posted requirements do so because they miss enable us to make real-time upgrades. the seven HIS Measures (NQF #1641, the 90 percent threshold. We offer many We are designating that system as the NQF #1647, NQF #1634, NQF #1637, training and education opportunities data submission system for the Hospice NQF #1639, NQF #1638, and NQF through our website, which are QRP. We will notify the public about #1617) in 2017, and then added the available 24/7, 365 days per year, to any system migration updates using CAHPS Hospice Survey measure (NQF enable hospice staff to learn at the pace subregulatory mechanisms such as web #2651) and the HIS Comprehensive and time of their choice. We want page postings, listserv messaging, and Assessment at Admission (NQF #3235) hospices to be successful with meeting webinars. in 2018. In 2019, we added the Hospice the HQRP requirements. We encourage 10. Public Display of ‘‘Quality Visits When Death is Imminent hospices to use this website at: https:// Measures’’ and Other Hospice Data for (Measure 1) to the website. www.cms.gov/Medicare/Quality- the HQRP Initiatives-Patient-Assessment- As discussed above, we propose to Instruments/Hospice-Quality-Reporting/ a. Background remove the seven HIS Measures from Hospice-Quality-Reporting-Training- Under section 1814(i)(5)(E) of the Act, public reporting on Care Compare no Training-and-Education-Library. the Secretary is required to establish earlier than May 2022. The Hospice For more information about HQRP procedures for making any quality data Item Set V3.00 PRA Submission Requirements, please visit the submitted by hospices available to the replaced the HVWDII measure with a frequently-updated HQRP website and public. These procedures shall ensure more robust version: The claims-based especially the Best Practice, Education that individual hospices have the measure HVLDL. We propose to and Training Library, and Help Desk opportunity to review their data prior to publicly report the HVLDL no earlier web pages at: https://www.cms.gov/ these data being made public on our than May 2022. We are also proposing Medicare/Quality-Initiatives-Patient- designated public website. To meet the to publicly report the HCI, another Assessment-Instruments/Hospice- Act’s requirement for making quality claims-based measure no earlier than Quality-Reporting. We also encourage measure data public, we launched May 2022. In addition to the publicly- members of the public to go to the Hospice Compare in August 2017. This reported quality measure data, in 2019 HQRP web page and sign-up for the website allows consumers, providers, we added to public reporting, Hospice Quality ListServ to stay and other stakeholders to search for all information about the hospices’ informed about HQRP. Medicare-certified hospice providers characteristics, taking raw data available and view their information and quality d. Update on Transition to iQIES from the Medicare Public Use File and measure scores. In September 2020, other publicly-available government In the FY 2020 Hospice Wage Index CMS transitioned Hospice Compare to and Payment Rate Update final rule (84 the Care Compare website. Hospice data sources and making them more FR 38484), we finalized the proposal to Compare was discontinued in December consumer friendly and accessible for migrate our systems for submitting and 2020. Care Compare supports all people seeking hospice care for processing assessment data. Hospices Medicare settings and fulfills the Act’s themselves or family members, (83 FR are currently required to submit HIS requirements for the HQRP. For more 38649). This publicly reported data to CMS using the Quality information about Care Compare, please information currently includes Improvement and Evaluation System see the Update on the Hospice Quality diagnoses, location of care, and levels of (QIES) Assessment and the Submission Reporting Requirements for FY 2022 in care provided. Processing (ASAP) system. The FY 2020 section D. Hospice Wage Index and Payment Rate Since 2017, we have increased and Update final rule (84 FR 38484) improved available information about finalized the proposal to migrate to a the care hospices provide for new internet Quality Improvement and consumers. To indicate the quality of

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b. Proposal Regarding Data Collection Hospitals, PPS-Exempt Cancer impact to the HIS here, and the impact and Reporting During a Public Health Hospitals, Inpatient Psychiatric to the CAHPS Hospice Survey further Emergency Facilities, Skilled Nursing Facilities, below. For HIS, the quarters are defined (1). Background: COVID–19 Public Home Health Agencies, Hospices, based on submission of HIS admission Health Emergency Temporary Inpatient Rehabilitation Facilities, Long- or discharge assessments. Exemption and Its Impact on the Public Term Care Hospitals, Ambulatory The exemption has impacted the Reporting Schedule Surgical Centers, Renal Dialysis public reporting schedule. Since Facilities, and MIPS Eligible Clinicians launching Hospice Compare in 2017, Under authority of section 319 of the Affected by COVID–19’’ 55 to the HIS-measures have been reported using Public Health Service (PHS) Act, the Medicare Learning Network (MLN) 4 quarters of data. The 4 quarters Secretary declared a Public Health Connects Newsletter and Other included are the most recent data that Emergency (PHE) effective as of January Program-Specific Listserv Recipients,56 have gone through Review and Correct 27, 2020. On March 13, 2020, the hereafter referred to as the March 27, processes, have been issued in a President declared a national state of 2020 CMS Guidance Memorandum. In provider preview report, and have time emergency under the Stafford Act, that memo, which applies to HIS and allotted for addressing requests for data effective March 1, 2020, allowing the CAHPS Hospice Survey, CMS granted suppression before being publicly Secretary to invoke section 1135(b) of an exemption to the HQRP reporting reported. As discussed in the FY 2017 the Act (42 U.S.C. 1320b–5) to waive or requirements for Quarter 4 (Q4) 2019 Hospice Wage Index and Payment Rate modify the requirements of titles XVIII, (October 1, 2019 through December 31, Update final rule (81 FR 52183), CMS XIX, and XXI of the Act and regulations 2019), Quarter 1 (Q1) 2020 (January 1, requires at least 4 quarters of data to to the extent necessary to address the 2020 through March 30, 2020), and establish the scientific acceptability for COVID–19 PHE. Many waivers and Quarter 2 (Q2) 2020 (April 1, 2020 our HIS-based quality measures. For modifications were made effective as of 53 54 through June 30, 2020). We discuss the CAHPS-based measures, we have March 1, 2020 in accordance with reported CAHPS measures using eight the president’s declaration. On March 55 https://www.cms.gov/files/document/guidance- rolling quarters of data on Hospice 27, 2020, we sent a guidance memo-exceptions-and-extensions-quality-reporting- Compare since 2018. In the FY 2017 memorandum under the subject title, and-value-based-purchasing-programs.pdf. Hospice Wage Index and Payment Rate 56 (2020, March 27). Exceptions and Extensions ‘‘Exceptions and Extensions for Quality Update final rule (81 FR 52143), we Reporting Requirements for Acute Care for Quality Reporting Requirements for Acute Care Hospitals, PPS-Exempt Cancer Hospitals, Inpatient stated that we would continue CAHPS Psychiatric Facilities, Skilled Nursing Facilities, reporting with eight rolling quarters on 53 Azar, A.M. (2020 March 15). Waiver or Home Health Agencies, Hospices, Inpatient an ongoing basis. This original public Modification of Requirements Under Section 1135 Rehabilitation Facilities, Long-Term Care Hospitals, of the Social Security Act. Public Health Ambulatory Surgical Centers, Renal Dialysis reporting schedule included the Emergency. https://www.phe.gov/emergency/news/ Facilities, and MIPS Eligible Clinicians Affected by exempted quarters of Q4 2019 and Q1 healthactions/section1135/Pages/covid19- COVID–19. Centers for Medicare & Medicaid and Q2 2020 in six refreshes for HIS and 13March20.aspx. Services. https://www.cms.gov/files/document/ 11 refreshes for CAHPS. Table 23 54 https://www.phe.gov/emergency/news/ guidance-memo-exceptions-and-extensions-quality- healthactions/section1135/Pages/covid19- reporting-and-value-based-purchasing- displays the original schedule for public 13March20.aspx. programs.pdf. reporting prior to the COVID–19 PHE.

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TABLE 23: Original Public Reporting Schedule with Refreshes Affected by PHE

Exemptions for the HQRP

Quarter Refresh HIS Quarters in Original CAHPS Quarters in Original Schedule Schedule for Care Compare for Care Compare *November 2020 Ql 2019- Q4 2019 Ql 2018-Q4 2019

*February 2021 Q2 2019- Ql 2020 Q2 2018-Ql 2020

*May 2021 Q3 2019-Q2 2020 Q3 2018-Q2 2020

*August 2021 Q4 2019- Q3 2020 Q4 2018-Q3 2020

*November 2021 Q 1 2020- Q4 2020 Q 1 20 l 9-Q4 2020

*February 2022 Q2 2020-Q 1 2021 Q2 2019-Ql 2021

tMay 2022 Q3 2020-Q2 2021 Q3 20 l 9-Q2 2021

t August 2022 Q4 2020-Q3 2021 Q4 20 l 9-Q3 2021

tNovember 2022 Ql 2021-Q4 2021 Q 1 2020-Q4 2021

tFebruary 2023 Q2 2021-Q 1 2022 Q2 2020-Q 1 2022

tMay 2023 Q3 2021-Q2 2022 Q3 2020-Q2 2022

*Exemption affects both HIS and CARPS data for refresh; tExemption affects only CARPS data for refresh.

During the spring and summer of CAHPS-based measures (Q1 through Q4 calculations for the November 2020 2020, we conducted testing to inform 2019 for HIS data and Q1 2018 through refresh. decisions about publicly reporting data Q4 2019 for CAHPS data) and is the last As for Q1 and Q2 2020, we for those refreshes which include refresh before Q1 2020 data are determined that we would not use HIS exempt data. The testing helped us included. Before proceeding with the or CAHPS data from these quarters for develop a plan for posting data as early November 2020 refresh, we conducted public reporting given the timing of the as possible, for as many hospices as testing to ensure that, even though we PHE onset. All refreshes, during which possible, and with scientific made an exception to reporting we decided to hold these data constant, acceptability similar to standard requirements for Q4 2019 in March included more than 2 quarters of data threshold for public reporting. The 2020, public reporting would still allow that were affected by the CMS-issued following sections provide the results of us to publicly report data for a similar COVID reporting exceptions; thus we our testing and explain how we used the number of hospice providers, as results to develop a plan that we believe did not have an adequate amount of compared to standard reporting. data to reliably calculate and publicly allows us to achieve these objectives as Specifically, we compared submission best as possible. display provider measures scores. rates in Q4 2019 to average annual rates Consequently, we determined to freeze (2). Update on Use of Q4 2019 Data and (Q4 2018 through Q3 2019) to assess the the data displayed, that is, holding data Data Freeze for Refreshes in 2021 extent to which hospices had taken constant after the November 2020 advantage of the exemption, and thus refresh without subsequently updating In the March 27, 2020 Guidance the extent to which data and measure the data through November 2021. This Memorandum, we stated that we should scores might be affected. We observed not include any post-acute care (PAC) decision was communicated to the that the HIS data submission rate for Q4 public in a Public Reporting Tip Sheet, quality data that are greatly impacted by 2019 was in fact 1.8 percent higher than the exemption in the quality reporting which is located at: https:// the previous CY (Q4 2018). For the programs. Given the timing of the PHE www.cms.gov/Medicare/Quality- CAHPS Hospice Survey, 2.1 percent onset, we determined that we would use Initiatives-Patient-Assessment- more hospices submitted data in Q4 any data that was submitted for Q4 Instruments/Hospice-Quality-Reporting/ 2019. We conducted analyses of those 2019 than in Q4 2018. We note that Q4 HQRP-Requirements-and-Best-Practices. data to ensure that their use was 2019 ended before the onset of the appropriate. In the original schedule COVID–19 PHE in the United States (Table 23) the November 2020 refresh (U.S.). Thus, we proceeded with includes Q4 2019 data for HIS- and including these data in measure

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(3). Proposal for Public Reporting of calculate HIS-based quality measures scores between scenarios. Second, for HIS-Based Measures With Fewer Than under two scenarios: each scenario, we conducted a split-half Standard Numbers of Quarters Due to • Standard Public Reporting (SPR) reliability analysis and estimated intra- PHE Exemption in February 2022 Scenario: We used data from the four class correlation (ICC) scores, where As noted above, we used Q4 2019 quarters of CY 2019, which represent higher scores imply better internal data for public reporting in November CY 2020 public reporting in the absence reliability. Modest differences in ICC 2020 and froze that data for the of the temporary exemption from the scores between scenarios would suggest February, May, August, and November submission of PAC quality data, as the that using fewer quarters of data does 2021 refreshes. This addressed five of basis for comparing simulated not impact the internal reliability of the the six PHE-affected quarters for HIS- alternatives. For HIS-based measures, results. Third, we estimated reliability based measures, and five of the 11 PHE- we used quarters Q1 through Q4 2019. scores. A higher value in these scores • affected quarters of CAHPS-based COVID–19 PHE Affected Reporting indicates that HIS Comprehensive measures. (CAR) Scenario: We calculated quality Assessment Measure values are Because November 2020 refresh data measures using Q2 2019, Q3 2019, and relatively consistent for patients will become increasingly out-of-date Q4 2019 data, to simulate using only Q3 admitted to the same hospice and and thus less useful for consumers, we 2020, Q4 2020, and Q1 2021 data for variation in the measure reflects true analyzed whether it would be possible public reporting. differences across providers. to use fewer quarters of data for the last The HIS Comprehensive Assessment refresh affected by the exemption Measure is based on the receipt of care Testing results show that the CAR (February 2022) and thus more quickly processes at the time of admission. scenario—specifically using 3 quarters resume public reporting with updated Therefore for the COVID–19 Affected of data for the HIS Comprehensive quality data. Using fewer quarters of Reporting (CAR) Scenario, we excluded Assessment Measure—demonstrates more recent data, the first option, would data for patient stays with admission acceptable levels of reportability and require that (1) a sufficient percentage of dates in Q1 2019. reliability. As displayed in Table 24, the providers would still likely have enough For each scenario, we calculated the number of providers who met the public assessment data to report quality reportability as the percent of hospices reporting threshold for the HIS measures (reportability); and (2) fewer meeting the 20-case minimum for public Comprehensive Assessment Measure quarters would likely produce similar reporting (the public reporting decreases by 236 (or by 5.2 percentage measure scores for hospices, and thus threshold). To test the reliability of points) when reporting three versus four not unfairly represent the quality of care restricting the providers included in the quarters of data. In the FY 2014 Hospice hospices provide during the period Standard Public Reporting (SPR) Wage Index and Payment Rate Update reported in a given refresh (reliability). Scenario to those included in the CAR final rule (78 FR 48234) we stated that To assess these criteria, we conducted Scenario, we performed three tests. reportability of 71 percent through 90 reportability and reliability analysis First, we evaluated measure correlation percent is acceptable. Therefore using 3 using 3 quarters of data in a refresh, using the Pearson and Spearman quarters of data for the HIS instead of the standard 4 quarters of correlation coefficients, which assess Comprehensive Assessment Measure data for reporting HIS-based measures. the alignment of hospices’ HIS would achieve acceptable reportability Specifically, we used historical data to Comprehensive Assessment Measure shown in Table 24.

TABLE 24: Reportability: Percent of Providers Meeting Measure Public

Reporting Thresholds

Reportability COVID-19 Affected Renortini:; Standard Public Renortini:; (CAR) {SPR) Difference Measure Met Threshold Met threshold (CAR-SPR) #(%)Providers #(%)Providers

HIS Comprehensive 3,842 (83.9%) 4,078 (89.1%) -236 (-5.2%) Assessment Measure

Table 24 indicates that the reliability 3 or 4 quarters of data. The results also Assessment Measure are also very of the HIS Comprehensive Assessment show that the HIS Comprehensive similar in both CAR and SPR scenarios. Measure scores is similar for the CAR Assessment Measure’s ICC for CAR and This indicates that scores estimated and SPR scenarios. Testing also yielded SPR scenarios are similar, with only a using 3 quarters of data continue to correlation coefficients above 0.9, 0.02 difference. This implies high capture provider-level differences and indicating a high degree of agreement internal reliability of the measure in that admission-level scores remain between hospices’ HIS Comprehensive both scenarios. The median reliability consistent within hospices. Assessment Measure scores when using scores for the HIS Comprehensive

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TABLE 25: Reliability: Correlations, Split-Half Testing, and Reliability Score for

COVID-19 Affected (CAR) and Standard Public Reporting (SPR) Scenarios

Correlation between CAR and Split-Half Reliability SPR Testin2 Reliabilit~ Score Difference Median Median Difference ICC ICC Measure Pearson Spearman (CAR- Score Score (CAR- (CAR) (SPR) SPR) (CAR) (SPR) SPR) HIS Comprehensive 0.98 0.96 0.95 0.93 0.02 97.5 97.7 -0.2 Assessment Measure ICC= ralntra-class Coefficient

In Table 25, we explore changes in score, such that higher scores are in a remain in the same quintile, suggesting hospices’ relative rankings between the higher quintile. Changes in a hospices’ that the ranking of hospices is fairly SPR and CAR scenarios. For each quintile from the SPR to CAR scenario stable between the SPR and CAR scenario, we divided hospices in would indicate a re-ranking of hospices scenarios. quintiles based on their HIS when using 3 quarters compared to 4 Comprehensive Assessment Measure quarters. Over 93 percent of hospices

TABLE 26: Performance: Comparison of Quintile Rankings between COVID-19

PHE Affected (CAR) and Standard Public Reporting (SPR) Scenarios

Overall Rural Providers Urban Providers % CAR %CAR % CAR % CAR %CAR % CAR %Same %Same %Same Measure Lower Higher Lower Higher Lower Higher Quintile Quintile Quintile Quintile Ouintile Quintile Ouintile Ouintile Ouintile HIS Comprehensive 93.4% 2.4% 4.2% 93.5% 2.1% 4.4% 93.3% 2.5% 4.2% Assessment Measure

We also used the results presented in We propose that, in the COVID–19 recent performance. Our testing results Table 26 to assess the option of PHE, we would use 3 quarters of HIS indicate we can achieve these positive reporting Q4 2019, Q3 2020, Q4 2020, data for the final affected refresh, the impacts while maintaining high and Q1 2021 for the February 2022 February 2022 public reporting refresh standards for reportability and refresh. This option maintains of Care Compare for the Hospice setting. reliability. Table 27 summarizes the requirements in the FY 2017 Hospice Using 3 quarters of data for the February comparison between the original Wage Index and Payment Update final 2022 refresh would allow us to begin schedule for public reporting with the rule for publicly reporting 4 quarters of displaying Q3 2020, Q4 2020, and Q1 revised schedule (that is, frozen data) data, but it requires using some data that 2021 data in February 2022, rather than and with the proposed schedule that is, are more than 2 years old. Also, the continue displaying November 2020 using 3 quarters in the February 2022 relatively high number of hospices that data (Q1 2019 through Q4 2019). We refresh. meet the public reporting threshold in believe that updating the data in the CAR scenario, relative to the SPR February 2022 by more than a year We seek public comment on this scenario, with just 3 quarters of data relative to the November 2020 freeze proposal to use 3 quarters of HIS data justify the use of 3 quarters in the data would assist consumers by for the February 2022 public reporting unusual circumstances of the PHE and providing more relevant quality data refresh. its associated exemptions. and allow hospices to demonstrate more

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TABLE 27: Original, Revised, and Proposed Schedule for Refreshes Affected by

COVID-19 PHE Exemptions

Quarter Refresh HIS Quarters in Original IDS Quarters in revised/proposed Schedule for Care Compare Schedule for Care Compare (number of uarters November 2020

February 2021

May 2021 Q3 2019-Q2 2020 (4)

August2021 Q4 2019- Q3 2020 (4)

November 2021 Ql 2020-Q4 2020 (4)

February 2022 Q2 2020-Ql 2021 (4)

Note: The shaded cells represent data frozen due to COVID-19 PHE.

(4). Proposal for Public Reporting of normal. However, we found that using much of the most recent data as ‘‘CAHPS Hospice Survey-Based fewer than 8 quarters of data would possible. Measures’’ Due to PHE Exemption have two important negative impacts on CMS froze CAHPS data starting with Prior to COVID–19 PHE, the CAHPS public reporting. First, it would reduce the November 2020 refresh and Hospice Survey publicly reported the the proportion of hospices that would concluding with the November 2021 most recent eight rolling quarters of have CAHPS Hospice Survey data refresh. We propose that starting with data. We propose to continue to report displayed on Care Compare. An analysis the February 2022 refresh, CMS will the most recent 8 quarters of available of the 8 quarters of data from Q1 2018 display the most recent 8 quarters of data after the freeze, but not to include through Q4 2019 (publicly reported in CAHPS Hospice Survey data, excluding the data from the exempted quarters of November 2020) shows there were 5,041 Q1 and Q2 2020. We will resume public Q1 and Q2 of 2020 as issued in the active hospices. Of these hospices: 2,941 reporting by displaying 3 quarters of March 27, 2020 Guidance Memorandum (58.3 percent) had 30+ completes for post-exemption data, plus five quarters with the effected quarters discussed those 8 quarters, and had scores of pre-exemption data. (Please see Table above. The optional data submission for publicly reported. Fewer hospices, 28.) We propose that in each refresh subsequent to February 2022, we will Q4 2019 results in publicly reporting of 2,328 (46.2 percent), would have had report one more post-exemption quarter that data since the CAHPS Hospice 30+ completes if 4 quarters of data were of data and one fewer pre-exemption Survey from that quarter were not used to calculate scores and 1,970 (39.1 quarter of data until we reach eight impacted. The data submitted for Q4 percent) would have 30+ completes if 3 2019 referred to deaths that occurred quarters of post-exemption data in May quarters were used to calculate scores. prior to COIVD–19. For the CAHPS of 2023. We further propose that as of In addition, the overall reliability of the Hospice Survey, 2.1 percent more August 2023, we will resume reporting CAHPS scores would decline with fewer hospices submitted data in Q4 2019 a rolling average of the most recent 8 than in the same quarter a year earlier. quarters of data. For these reasons, we quarters of data. Table 28 specifies the Like HIS, our goal is to report as much determined the best course of action quarters for each refresh. This will allow of the most recent CAHPS Hospice would be to continue to publicly report us to report the maximum amount of Survey data as possible, to display data the most recent 8 quarters of data, but new data, maintain reliability of the for as many hospices as possible, and to exempting Q1 and Q2 2020. This will data, and permit the maximum number maintain the reliability of the data. allow us to maximize the number of of hospices to receive scores. In Similar to HIS, the CAHPS Hospice hospices that will have CAHPS scores addition, Table 28 shows the proposed Survey reviewed the data for displayed on Care Compare, protect the CAHPS public reporting schedule reportability using fewer quarters than reliability of the data, and report as during and after the data freeze.

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TABLE 28: Proposed CAHPS Hospice Survey Public Reporting Quarters During and After the Freeze

Q4 2018 -Q4 2019, Feb 2022 Q3 2020 -Ql 2021 Ql 2019-Q4 2019, Q3 2020-Q2 2021 Ma 2022 Q2 2019-Q4 2019, Q3 2020-Q3 2021 Au st2022 Q3 2019-Q4 2019, November 2022 Q3 2020-Q4 2021 Q4 2019, Q3 2020-Q 1 2022 Feb 2023

Q3 2020-Q2 2022 Ma 2023 *The grey shading refers to the frozen quarters.

We seek public comment on this (2). Proposals for Calculating and Health Prospective Payment System proposal to publicly report the most- Publicly Reporting ‘‘Claims-Based final rule (81 FR 76702), FY 2017 recently available 8 quarters of CAHPS Measure’’ as Part of the HQRP Inpatient Rehabilitation Facility data starting with the February 2022 In the HIS V3.00 Paperwork Prospective Payment System final rule refresh and going through the May 2023 Reduction Act Submission (OMB (81 FR 52056), and the FY 2017 Long refresh on Care Compare because we control number: 0938–1153, CMS– Term Care Hospital Prospective cannot publicly report Q1 2020 and Q2 10390), we finalized a proposal to adopt Payment System final rule (81 FR 2020 data due to the COVID–19 PHE. HVLDL into the HQRP for FY 2021. We 56762). are also proposing in this rule, The proposed timeframe allows us to c. Quality Measures To Be Displayed on discussed above, to adopt the HCI into balance providing timely information to Care Compare in FY 2022 and Beyond the HQRP for FY2022. In this section, the public with calculating the claims- (1). Proposal To Remove Seven we present four proposals related to based measures using as complete a data ‘‘Hospice Item Set Process Measures’’ calculating and reporting claims-based set as possible. We recognize that the From Public Reporting measures, with specific application to proposed approximately 90-day ‘‘run- HVLDL and HCI. First, we propose to out’’ period is shorter than the Medicare As discussed earlier, we are proposing extract claims data to calculate claims- program’s current timely claims filing to remove the seven HIS process based measures at least 90 days after the policy under which providers have up measures from the HQRP as individual last discharge date in the applicable to 1 year from the date of discharge to measures, and no longer applying them period, which we will use for quality submit claims. However, several months to the FY 2024 APU and thereafter. We measure calculations and public lead-time is necessary after acquiring propose to remove the seven HIS reporting on Care Compare. For the data to conduct the claims-based process measures no earlier than May example, if the last discharge date in the calculations. If we were to delay our 2022 refresh from public reporting on applicable period for a measure is data extraction point to 12 months after Care Compare and from the Preview December 31, 2022, for data collection the last date of the last discharge in the Reports but continue to have it publicly January 1, 2022, through December 31, applicable period, we would not be able available in the data catalogue at https:// 2022, we would create the data extract to deliver the calculations to hospices data.cms.gov/provider-data/topics/ on approximately March 31, 2023, at the sooner than 18 to 24 months after the last discharge. hospice-care. We are seeking public earliest. We would use those data to comment on this proposal to remove the calculate and publicly report the claims- To implement this process, hospices seven HIS process measures from public based measures for the CY2022 would not be able to submit corrections reporting on Care Compare. reporting period. This proposal is to the underlying claims snapshot or similar to those finalized in other PAC add claims (for those claims-based settings, including the CY 2017 Home measures) to this data set at the

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conclusion of the 90-day period with the public only the most up-to-date We conducted reportability testing for following the last date of discharge used information and best reflects current HCI and HVLDL to help us consider in the applicable period. Therefore, we realities. Having only the most recent how best to balance the need for recent would consider the hospice claims data data can also help incentivize hospices data with the need for transparency in to be complete for purposes of with lower scores to make changes and reporting the HQRP claims-based calculating the claims-based measures at have the results of their effort be measures. Specifically, we conducted a this point. Thus, it is important that reflected in better scores. simulation using 2 years of data. We hospices ensure the completeness and then calculated the change in the At the same time, we want to report correctness of their claims prior to the number of hospices which achieved the measures scores to the public for as claims ‘‘snapshot.’’ minimum reporting standard. We also Second, we propose that we will many hospices as possible, including compared the measure scores of the update the claims-based measures used small hospices. Currently, only hospices that meet the reporting for the HQRP annually. Specifically, we Medicare-certified hospices with more threshold when we use 2 years of data will refresh claims-based measure than 20 discharges each year have with hospices that meet the threshold scores on Care Compare, in preview quality measure results publicly using only 1 year of data. reports, and in the confidential CASPER available on Care Compare. This public Results for both HCI and HVLDL QM preview reports annually. This reporting threshold protects the privacy indicate that using 2 years of data periodicity of updates aligns with most of patients who seek care at smaller increases reportability. For HVLDL, claims-based measures across PAC hospices. However, due to the combining 2 years of data (FY 2018 to settings. threshold, at least some hospices will FY 2019) allows an additional 326 Third, we propose that we will not achieve the minimum patient hospices to share measure scores, or calculate claims-based measure scores discharges within 1 year. This means 33.8 percent of the hospices that do not based on one or more years of data. We that their scores will not be displayed meet the reporting threshold in FY 2019 considered several factors to determine on Care Compare, and consumers will alone. For HCI, combining 2 years of the number of years to include in not have information about them to data (FY 2018 to FY 2019 data) allows measure calculations. Using only 1 year inform their decisions about selecting a an additional 277 to report HCI measure (4 quarters) of data, as is currently done hospice. Using more years of data scores on Care Compare, or 43.2 percent for HIS-based quality measures reported allows more of these hospices to meet of the hospices that do not meet the on Care Compare, allows us to share this threshold. reporting threshold in FY 2019 alone.

TABLE 29: Two years of Data Increases Reportability for HVLDL and HCI

Quality Excluded hospices when Additional hospices meeting threshold % of hospices that did not meet Measure using one year of data (FY with two years of data (FY 2018 - FY threshold in FY 2019 2019) alone 2019), relative to FY 2019 alone HVLDL 965 326 33.8% HCI 641 277 43.2%

Our simulations indicate that the reportability threshold, or 33.8 percent had lower HCI scores compared to the hospices that only meet the reporting of those previously missing. Those national average when using just FY threshold when using 2 years of data addition 326 hospices had an average 2019 data. Higher HCI scores indicate have performance scores substantially HVLDL score of just 43.3 percent, about better performance. As Figure 7 shows, lower than average. For HVLDL, where 20 percentage points lower than the a larger numbers of hospices among the higher scores indicate better quality of hospices meeting the reportability 277 hospices that only meet the care, the national average score was 65.5 threshold using FY 2019 alone national reporting threshold when using 2 years percent in FY 2019, where 965 hospices average score for this HVLDL measure. of data had HCI scores between four and did not meet the reportability threshold. The results for HCI similarly show eight, while a larger number of hospices After pooling data using FY 2018 to FY that the hospices with reportable data in the FY 2019 population had a perfect 2019, 326 additional hospices met the when using two-pooled years of data score of 10.

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Figure 7: Percent of hospices meeting the public reporting threshold based on 1 (FY 2019)

or 2 pooled years (FY 2018 to FY 2019) of data, by Hospice Care Index score

45.0% 40.0% 35.0% 30.0% 2.5.0% 20.0% 15.0% 10.0% 5.0% 0.0% 0 1 2 3 4 5 6 7 8 9 10 Hospice Care Index Score

■ HCI Score (2019); n=4,155 llll HCI Score (combined), small-missing hospices; n=277

Source: 100% Medicare claims, Federal Fiscal Years 2018-2019.

Given these findings, we propose (3). Proposal To Publicly Report the Relatedly, in the HIS V3.00 PRA using 2 years of data to publicly report Hospice Care Index and ‘‘Hospice Visits Submission, CMS–10390 (OMB control HCI and HVLDL in 2022. The use of 2 in the Last Days of Life’’ Claims-Based number: 0938–1153), we finalized the years or 8 quarters of quality data is Measures proposal to remove Section O from the HIS. As stated in section 1814(i)(5)(E) of already publicly reported for the quality As discussed previously, we are measures related to the CAHPS Hospice the Act, we establish procedures for proposing to publicly report the HCI making all quality data submitted by Survey so hospices are familiar with and HVLDL using 2 years, which is 8 this approach. We plan to consider hospices under § 418.312 available to quarters of Medicare claims data. We the public. Thus, we would have multiple years of data, like the 2 years propose to publicly report the HCI and of data, for other claims-based measures continued to publicly report HVWDII HVLDL beginning no earlier than May Measure 1 data through the November proposed in subsequent years. We 2022 using FY2021 Medicare hospice 2021 refresh. Because of the data freeze believe it is important to support claims data, and to include it in the detailed above, HVWDII Measure 1 data consumers by sharing information on Preview Reports no sooner than the May from the November 2020 refresh, the performance of hospices that have 2022 refresh. The publicly-reported covering HIS admissions during Q1 lower scores, and to incentivize those version of HCI on Care Compare will through Q4 2019, will be publicly hospices to improve. The results only include the final HCI score, and displayed for all calendar year 2021 demonstrate that using multiple years of not the component indicators. The refreshes. We may retain the November data help include more hospices that Preview Reports will reflect the HCI as 2020 refresh for HVWDII Measure 1 for have lower performance rates for publicly reported. We are seeking public one or more refreshes in 2022, when HVLDL and HCI in public reporting on comment on this proposal for HCI and there will be no HIS Section O data, if Care Compare. While using more years HVLDL public reporting on Care doing so will allow us to consolidate of data would allow us to report Compare no sooner than May 2022. changes and thus operate more measures for even more hospices, it (4). Update on Publicly Reporting for efficiently. would involve sharing data that are no the ‘‘Hospice Visits When Death is d. Update on Transition From Hospice longer relevant, and display scores that Imminent (HVWDII) Measure 1’’ and the Compare to Care Compare and Provider do not reflect recent hospice ‘‘Hospice Visits in the Last Days of Life Data Catalog improvement efforts. (HVLDL) Measure’’ In September 2020, we launched Care We are soliciting public comment on As discussed earlier, the HIS V3.00 Compare, a streamlined redesign of these proposals related to the using 2 PRA Submission, CMS–10390 (OMB eight existing CMS healthcare compare years of data for claims-based measures control number: 0938–1153), finalized tools available on Medicare.gov, and public reporting of claims measures the proposal to replace the HVWDII including Hospice Compare. Care in general and their application to measure pair with a re-specified version Compare provides a single user-friendly HVLDL and HCI specifically. called HVLDL, which is a single interface that patients and family measure based on Medicare claims. caregivers can use to make informed

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decisions about healthcare based on PAC PUF). For more information, please G. Proposal for the January 2022 HH cost, quality of care, volume of services, visit the PAC PUF web page at: https:// QRP Public Reporting Display Schedule and other data. With just one click, www.cms.gov/Research-Statistics-Data- With Fewer Than Standard Number of patients can find information that is and-Systems/Statistics-Trends-and- Quarters Due to COVID–19 Public easy to understand about doctors, Reports/Medicare-Provider-Charge- Health Emergency Exemptions hospitals, nursing homes, and other Data/PAC2017. Both the Hospice and 1. Background and Statutory Authority health care services instead of searching PAC PUFs provide information on We include this Home Health through multiple tools. services provided to Medicare For the last six years, Medicare’s proposal in this rule because we plan to beneficiaries by hospice providers. Hospice Compare has served as the resume public reporting for the HH QRP Specifically, they contain information cornerstone for publicizing quality care with the January 2022 refresh of Care information for patients, family on utilization, payment (Medicare Compare. In order to accommodate the caregivers, consumers, and the payment and standard payment), exception of 2020 Q1 and Q2 data, we healthcare community. The new website submitted charges, primary diagnoses, are proposing to resume public builds on the eMedicare initiative to sites of service, and beneficiary reporting using 3 out of 4 quarters of deliver simple tools and information to demographics organized by CCN (6-digit data for the January 2022 refresh. In current and future Medicare provider identification number) and order to finalize this proposal in time to beneficiaries. Drawing on lessons state. release the required preview report learned through research and PUF data, along with clear text related to the refresh, which we release stakeholder feedback, Care Compare explaining the purpose and uses of this 3 months prior to any given refresh includes features and functionalities information and suggesting consumers (October 2021), we need the rule that appeal to Hospice Compare discuss this information with their containing this proposal to finalize by consumers. By offering an accessible healthcare provider, first displayed in a October 2021. and user-friendly interface and a simple The HH QRP is authorized by section consumer-friendly format on Hospice design that is optimized for mobile and 1895(b)(3)(B)(v) of the Act. Section Compare in May 2019. Beginning May tablet use, it is easier than ever to find 1895(b)(3)(B)(v)(II) of the Act requires 2021, we will begin to display information that is important to patients that for 2007 and subsequent years, each when shopping for healthcare. additional information from the PAC HHA submit to the Secretary in a form Enhancements for mobile use will give PUF on Care Compare. This additional and manner, and at a time, specified by practical benefits like accessing the tool information includes hospices’ the Secretary, such data that the using a smartphone that can initiate beneficiary characteristics such as the Secretary determines are appropriate for phone calls to providers simply by percentage of patients enrolled in the measurement of health care quality. clicking on the provider’s phone Medicare Advantage. In addition, To the extent that an HHA does not number. consumers will see whether a hospice submit data in accordance with this In conjunction with the Care Compare provided services to Medicare clause, the Secretary shall reduce the launch, we have made additional Advantage enrollees or patients who home health market basket percentage improvements to other CMS data tools, have coverage under both Medicaid and increase applicable to the HHA for such to help Medicare beneficiaries compare Medicare, also called dual eligible year by 2 percentage points. As costs. Specifically, the Provider Data patients. The data for these additional provided at section 1895(b)(3)(B)(vi) of Catalog (PDC) better serves innovators characteristics are pulled directly from the Act, depending on the market basket and stakeholders who are interested in the PAC PUF file and provide potential percentage increase applicable for a detailed CMS data and use interactive hospice service patients and family particular year, the reduction of that and downloadable datasets like those caregivers with more detail prior to increase by 2 percentage points for currently available on selecting a hospice. failure to comply with the requirements data.Medicare.gov. The PDC now makes of the HH QRP and further reduction of quality datasets available through an As finalized in the FY 2019 Hospice the increase by the productivity improved Application Programming Wage Index and Payment Update final adjustment (except in 2018 and 2020) Interface (API), allowing innovators in rule (83 FR 38622), we also improved described in section 1886(b)(3)(B)(xi)(II) the field to easily access and analyze the access to publicly-available information of the Act may result in the home health CMS publicly-reported data and make it about hospices’ compliance with market basket percentage increase being useful for patients. Hospice QRP requirements. Specifically, less than 0.0 percent for a year, and may e. Update on Additional Information on we already post the annual Hospice result in payment rates under the Home Hospices for Public Reporting APU Compliant List on the HQRP Health PPS for a year being less than Requirements and Best Practices web payment rates for the preceding year. In the FY 2019 Hospice Wage Index page. This document displays the CCN, For more information on the policies we and Payment Rate Update and Hospice name, and address of every hospice that have adopted for the HH QRP, we refer Quality Reporting Requirements final successfully met quality reporting readers to the following rules: rule (83 FR 38622), we finalized plans program requirements for the fiscal year. • CY 2007 HH PPS final rule (71 FR to publicly post information from the Hospices are only considered compliant 65888 through 65891). Medicare Provider Utilization and • if they meet the standards for HIS and CY 2008 HH PPS final rule (72 FR Payment Data: Hospice Public Use File 49861 through 49864). (PUF) and other publicly-available CMS CAHPS reporting, as codified in • § 418.312. Consumers can now access CY 2009 HH PPS update notice (73 data to Hospice Compare or another FR 65356). CMS website. Hospice PUF data are the Hospice APU compliance file from • CY 2010 HH PPS final rule (74 FR available for CY 2014 through CY 2016. Care Compare, enabling them to 58096 through 58098). Beginning with CY 2017 data, hospice determine if a particular hospice is • CY 2011 HH PPS final rule (75 FR PUF data are public as part of the Post- compliant with CMS’ quality reporting 70400 through 70407). Acute Care and Hospice Provider requirements. • CY 2012 HH PPS final rule (76 FR Utilization and Payment PUF (hereafter 68574).

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• CY 2013 HH PPS final rule (77 FR 3. Proposal To Modify HH QRP Public to as the March 27, 2020 CMS Guidance 67092). Reporting To Address CMS’ Guidance Memorandum. In the March 27, 2020 • CY 2014 HH PPS final rule (78 FR To Except Data During the COVID–19 CMS Guidance Memo, we granted an 72297). PHE Beginning January 2022 Through exception to the HH QRP reporting July 2024 requirements under the HH QRP • CY 2015 HH PPS final rule (79 FR We are proposing to modify our exceptions and extension requirements 66073 through 66074). public display schedule to display fewer for Quarter 4 (Q4) 2019 (October 1, 2019 • CY 2016 HH PPS final rule (80 FR quarters of data than what we through December 31, 2019), Q1 2020 68690 through 68695). previously finalized for certain HH QRP (January 1, 2020 through March 30, • CY 2017 HH PPS final rule (81 FR measures for the January 2022 refreshes. 2020), and Q2 2020 (April 1, 2020 through June 30, 2020). The HH QRP 76752). Under authority of section 319 of the exception applied to the HH QRP • PHS Act, the Secretary declared a PHE CY 2018 HH PPS final rule (82 FR effective as of January 27, 2020. On Outcome and Assessment Information 51711 through 51712). March 13, 2020, the President declared Set (OASIS)-based measures, claims- • CY 2019 HH PPS final rule with a national state of emergency under the based measures, and HH CAHPS comment period (83 FR 56547). Stafford Act, effective March 1, 2020, Survey. We discuss the impact to the OASIS and claims here, and discuss to • CY 2020 HH PPS final rule (84 FR allowing the Secretary to invoke section the HH CAHPS further in section III.G. 60554 through 60611). 1135(b) of the Act (42 U.S.C. 1320b–5) to waive or modify the requirements of 4, Update on Use of Q4 2019 HH QRP • CY 2021 HH PPS final rule (85 FR titles XVIII, XIX, and XXI of the Act and Data and Data Freeze for Refreshes in 70326 through 70328). regulations to the extent necessary to 2021. For the OASIS, the exempted quarters are based upon admission and 2. Public Display of Home Health address the COVID–19 PHE. Many discharge assessments. Quality Data for the HH QRP waivers and modifications were made effective as of March 1, 2020 in A subset of the HH QRP measures has Section 1895(b)(3)(B)(v)(III) of the Act accordance with the President’s been publicly displayed on Home requires the Secretary to establish declaration.57 Health Compare (HH Compare) since procedures for making HH QRP data, On March 27, 2020, we sent a 2003. Under the current HH QRP public including data submitted under sections guidance memorandum under the display policy, Home Health Compare 1899B(c)(1) and 1899B(d)(1) of the Act, subject title, ‘‘Exceptions and uses 4 quarters of data to publicly Extensions for Quality Reporting display OASIS-based measures, and 4 or available to the public. Such public Requirements for Acute Care Hospitals, more quarters of data to publicly display display procedures must ensure that PPS-Exempt Cancer Hospitals, Inpatient claims-based measures. We use four HHAs have the opportunity to review Psychiatric Facilities, Skilled Nursing rolling quarters of data to publicly the data that will be made public with Facilities, Home Health Agencies display Home Health Care Consumer respect to each HHA prior to such data (HHAs), Hospices, Inpatient Assessment of Healthcare Providers and being made public. Section 1899B(g) of Rehabilitation Facilities, Long-Term Systems (HHCAHPS) Survey measures the Act requires that data and Care Hospitals, Ambulatory Surgical on Care Compare. As of September information regarding PAC provider Centers, Renal Dialysis Facilities, and 2020, HH QRP OASIS, claims-based, performance on quality measures and MIPS Eligible Clinicians Affected by and HHCAHPS Survey measures are resource use or other measures be made COVID–19’’ to the MLN Connects reported on the www.medicare.gov’s publicly available beginning not later Newsletter and Other Program-Specific Care Compare website. As of December than 2 years after the applicable Listserv Recipients,58 hereafter referred 2020, the data is no longer reported on specified ‘‘application date’’. the www.medicare.gov’s Home Health 57 Azar, A.M. (2020 March 15). Waiver or Compare website. We established our HH QRP Public Modification of Requirements Under Section 1135 Display Policy in the CY 2016 HH PPS of the Social Security Act. Public Health The exception granted under the final rule (80 FR 68709 through 68710). Emergency. https://www.phe.gov/emergency/news/ March 27, 2020 CMS Guidance Memo In that final rule, we noted that the healthactions/section1135/Pages/covid19- impacted the HH QRP public display 13March20.aspx. schedule. We will resume publicly procedures for HHAs to review and 58 (2020, March 27). Exceptions and Extensions displaying HH QRP claims-based correct their data on a quarterly basis is for Quality Reporting Requirements for Acute Care measures in January 2022 based upon performed through CASPER along with Hospitals, PPS-Exempt Cancer Hospitals, Inpatient Psychiatric Facilities, Skilled Nursing Facilities, the quarters of data specified for each of our procedure to post the data for the Home Health Agencies, Hospices, Inpatient the claims-based measures. Table 30 Rehabilitation Facilities, Long-Term Care Hospitals, public on our Care Compare website. displays the original schedule for public We have communicated our public Ambulatory Surgical Centers, Renal Dialysis Facilities, and MIPS Eligible Clinicians Affected by reporting of OASIS and HHCAHPS display schedule, which supports our COVID–19. Centers for Medicare & Medicaid Survey measures prior to the Q1 and Q2 Public Display Policy, on our websites Services. https://www.cms.gov/files/document/ 2020 data impacted by the COVID–19 whereby the quarters of data included guidance-memo-exceptions-and-extensions-quality- reporting-and-value-based-purchasing- PHE. are announced. programs.pdf. BILLING CODE 4120–01–P

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TABLE 30: Original Public Reporting Schedule with Refreshes

Quarter HH Quarters in Original Schedule for HHCAHPS Suney Quarters in Refresh Care Comnare Ori!!inal Schedule for Care Comnare October 2020 OASIS, ACH, & ED quality measure (QM): Q2 2019-Ql 2020 Ql 2019- Q4 2019 DTC, MSPB: Ql 2018- Q4 2019 (8) PPR: 01 2017- 04 2019 (12) *January 2021 OASIS, ACH, & ED QM: Q2 2019- Ql 2020 DTC, MSPB: Ql 2018- Q4 2019 (8) PPR: Ql 2017-Q4 2019 (12) Q3 2019-Q2 2020 *April 2021 OASIS, ACH & ED QM: Q3 2019- Q2 2020 DTC, MSPB: Ql 2018-Q4 2019 (8) PPR: Ql 2017-Q4 2019 (12) Q4 2019-Q3 2020 *July 2021 OASIS, ACH & ED QM: Q4 2019-Q3 2020 Q 1 2020 - Q4 2020 DTC, MSPB: Ql 2018-Q4 2019 (8) PPR: Ql 2017-Q4 2019 (12) *October 2021 OASIS, ACH & ED QM: Ql 2020- Q4 2020 Q2 2020-Ql 2021 DTC, MSPB: Ql 2019-Q4 2020 (8) PPR: Ql 2018- Q4 2020 (12) *January 2022 OASIS, ACH & ED QM: Q2 2020- Ql 2021 Q3 2020 - Q2 2021 DTC, MSPB: Ql 2019-Q4 2020 (8) PPR: Ql 2018 -Q4 2020 (12) t* April 2022 OASIS, ACH & ED QM: Q3 2020-Q2 2021 Q4 2020 - Q3 2021 DTC, MSPB: Ql 2019-Q4 2020 (8) PPR: 01 2018-04 2020 (12) tJuly 2022 OASIS, ACH & ED QM: Q4 2020-Q3 2021 Ql 2021-Q42021 DTC, MSPB: Ql 2019-Q4 2020 (8) PPR: Ql 2018- Q4 2020 (12) tOctober 2022 OASIS, ACH & ED QM: Ql 2021-Q4 2021 Q2 2021 -Ql 2022 DTC, MSPB: Ql 2020-Q4 2021 (8) PPR: Ql 2019- Q4 2021 (12)

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tJanuary 2023 OASIS, ACH & ED QM: Q2 2021-Ql 2022 Q3 2021-Q22022 DTC, MSPB: Ql 2020-Q4 2021 (8) PPR: Ql 2019- Q4 2021 (12) tApril 2023 OASIS, ACH & ED QM: Q3 2021-Q2 2022 Q4 2021 -Q3 2022 DTC, MSPB: Ql 2020-Q4 2021 (8) PPR: Ql 2019- Q4 2021 (12) tJuly 2023 OASIS, ACH & ED QM: Q4 2021-Q3 2022 DTC, MSPB: Ql 2020-Q4 2021 (8) PPR: Ql 2019- Q4 2021 (12) Q 1 2022-04 2022 ttOctober 2023 OASIS, ACH, ED Use: Ql 2022-Q4 2022 Q2 2022 - Q 1 2023 DTC, MSPB: Ql 2021-Q4 2022 (8) PPR: 012020-042022 (12) ttJanuary 2024 OASIS, ACH, ED Use: Q2 2022-Ql 2023 Q3 2022 -Q2 2023 DTC, MSPB: Ql 2021-Q4 2022 (8) PPR: Ql 2020-Q4 2022 (12) ttApril 2024 OASIS, ACH, ED Use: Q3 2022-Q2 2023 Q4 2022-Q3 2023 DTC, MSPB: Ql 2021-Q4 2022 (8) PPR: Ql 2020-Q4 2022 (12) tt July 2024 OASIS, ACH, ED Use: Q4 2022-Q3 2023 Ql 2023-Q4 2023 DTC, MSPB: Ql 2021-Q4 2022 (8) PPR: Ql 2020-Q4 2022 (12) October 2024 OASIS, ACH, ED Use: Ql 2023-Q4 2023 Q2 2023 -Ql 2024 DTC, MSPB: Ql 2022-Q4 2023 (8) PPR: Ql 2021- Q4 2023 (12) *Exceptions affect both OASIS and HHCAHPS Survey data for refresh; tExceptions affect only HHCAHPS Survey measures and some claims-based measures for refresh; tt Exceptions affect only some claims-based measures.

BILLING CODE 4120–01–C programs. Given the timing of the PHE Because we excepted HHAs from the During the spring and summer of onset, we determined that we would not HH QRP reporting requirements for Q1 2020, we conducted testing to inform use HH QRP OASIS, claims, or and Q2 2020, we did not use OASIS, decisions about publicly displaying HH HHCAHPS data from Q1 and Q2 of 2020 claims, or HHCAHPS data from these QRP data for those refreshes which for public reporting, and that we would quarters. All refreshes, during which we include data from the exception period assess the impact of the COVID–19 PHE decided to hold this data constant, of October 1, 2019 through June 30, on HH QRP data from Q4 2019. In the included more than 2 quarters of data 2020 (hereafter ‘‘excepted data’’). The original schedule (Table 30), the that were affected by the CMS-issued testing helped us develop a plan for October 2020 refresh included Q4 2019 COVID reporting exceptions, thus we displaying HH QRP data that are as up- measure based on OASIS and did not have an adequate amount of to-date as possible and that also meet HHCAHPS data and is the last refresh data to reliably calculate and publicly scientifically-acceptable standards for before Q1 2020 data are included. display provider measures scores. publicly displaying those data. We Consequently, we determined to believe that the plan allows us to Before proceeding with the October freeze the data displayed, that is, provide consumers with helpful 2020 refresh, we conducted testing to holding data constant after the October information on the quality of home ensure that publicly displaying Q4 2019 2020 refresh without subsequently health care, while also making the data would still meet our standards updating the data through October 2021. necessary adjustments to accommodate despite granting an exception to HH We communicated this in a Public the exception granted to HHAs. The QRP reporting requirements for Q4 Reporting Tip Sheet, which is located following sections provide the results of 2019. Specifically, we compared at: https://www.cms.gov/files/ our testing for OASIS and claims and submission rates in Q4 2019 to average document/hhqrp-pr-tip- explain how we used the results to rates in other quarters to assess the sheet081320final-cx-508.pdf. inform a proposal for accommodating extent to which HHAs had taken excepted data in public reporting. HH advantage of the exemption, and thus 5. Proposal To Use the COVID–19 PHE CAHPS discussion is further in section the extent to which data and measure Affected Reporting (CAR) Scenario To III.G.4. scores might be affected. We observed Publicly Display Certain HH QRP that the quality data submission rate for Measures (Beginning in January 2022 4. Update on Use of Q4 2019 HH QRP Q4 2019 was in fact 0.4 percent higher through July 2024) Due to the COVID– Data and Data Freeze for Refreshes in than the previous calendar year (Q4 19 PHE 2021 2018). We note that Q4 2019 ended We are also proposing to use the CAR In the March 27, 2020 Guidance before the onset of the COVID–19 scenario for refreshes for January 2022 Memorandum, we stated that we should pandemic in the U.S. Thus, we for OASIS and for refreshes from not include any PAC quality data that proceeded with including Q4 2019 data January 2022 through July 2024 for are greatly impacted by the exception in measure calculations for the October some claims-based measures. There are granted in the quality reporting 2020 refresh. several forthcoming HH QRP refreshes

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for which the original public reporting emergency department use claims-based and Spearman correlation coefficients, schedule included other quarters from measures, 8 quarters of HH QRP data which assess the alignment of HHs the quality data submission exception. from CY2018 and CY2019 for Medicare measure scores between scenarios. To These refreshes for claims-based spending per beneficiary (MSPB) and calculate the reliability results, we measures, OASIS-based measures, and discharge to community (DTC) claims- restricted the HHAs included in the SPR for HHCAHPS Survey measures are based measures; and or 12 quarters from Scenario to those included in the CAR outlined above (Table 30). January 2017 to December 2019 for the Scenario. Because October 2020 refresh data potentially preventable readmission Testing results showed that using the will become increasingly out-of-date claims-based measure. CAR scenario would achieve and thus less useful for the public, we • COVID–19 Affected Reporting scientifically acceptable quality measure analyzed whether it would be possible (CAR) Scenario: We calculated OASIS- scores for the HH QRP. As displayed in to use fewer quarters of data for one or based measures using 3 quarters of HH Table 31, the percentage of HHAs that more refreshes and thus reduce the QRP CY 2019 data to simulate using met the public display threshold for the number of refreshes that continue to only Q3 2020, Q4 2020, and Q1 2021 OASIS-based measure decreases by 5.5 display October 2020 data. Using fewer data for public reporting. We calculated percentage points or less for all but one quarters of more up-to-date data claims-based measures using HH QRP QM, the Influenza Immunization for the requires that: (1) A sufficient percentage CY 2017 to 2019 data, to simulate using Current Flu Season in the CAR scenario of HHAs would still likely have enough the most recent data while excluding versus SPR scenario. CMS has OASIS data to report quality measures the same quarters (Q1 and Q2) that are traditionally used a reportability (reportability); and (2) using fewer relevant from the PHE exception. We threshold of 70 percent, meaning at least quarters of data to calculate measures used 3 quarters of HH QRP data from CY 70 percent of HHAs are able to report at would likely produce similar measure 2019 for the all-cause hospitalization least 20 episodes for a given measure, as scores for HHAs, and thus not unfairly and emergency department use claims- the standard to determine whether a represent the quality of care HHAs based measures and 6 quarters of data measure should be publicly reported. By provided during the period reported in from HH QRP CY 2018 and CY 2019 this standard, we consider a decrease of a given refresh (reliability). were used for both the Medicare To assess these criteria, we conducted spending per beneficiary and discharge 5.5 percentage points or less reportability and reliability analysis to community claims-based measures. scientifically acceptable. The change in excluding the COVID–19 affected We used 10 quarters of HH QRP data reportability for the Influenza quarters of data in a refresh instead of from CY 2017 to 2019 to calculate the Immunization for the Current Flu the standard number of quarters of data CAR scenario for the potentially Season measure is related to the for reporting for each HH QRP measure preventable readmissions claims-based seasonality of this measure, which to model the impact of not using Q1 or measure. For both claims and OASIS- includes cases that occur during the flu Q2 2020. Specifically, we used based measures, the quarters used in our season only. historical data to calculate HH quality analysis were the most recently Under the CAR scenario, the January measures under two scenarios: available data that exclude the same 2022 refresh data would cover Q3 and • Standard Public Reporting (SPR) quarters (Q1 and Q2) as that are relevant Q4 of 2020 and Q1 of 2021, which occur Scenario: We used HH QRP data from from the PHE exception, and thus take during the flu season. This simulation CY 2017 through 2019 to build the seasonality into consideration. included Q2 through Q4 of 2019, which standard reported measures, to The OASIS-based measures are based crosses the flu season. Thus, the represent as a proxy CY 2020 public on the start of care and calculated using reportability of the actual data used is reporting in the absence of the admission dates. Therefore, under the likely to be better than this simulation. temporary exemptions from the CAR scenario we excluded data for Therefore, in general, using CAR submission of OASIS quality data, as OASIS-based measures for HHA patient scenario for the OASIS and claims- the basis for comparing simulated stays with admission dates in Q1 and based measures would achieve alternatives. This entails using 4 Q2 2019. To assess performance in these acceptable reportability for the HH QRP quarters of CY 2019 HH QRP data to scenarios, we calculated the measures. Testing also yielded model the OASIS based measures that reportability as the percent of HHAs correlation coefficients above 0.85, are normally calculated using 4 quarters meeting the 20-case minimum for public indicating a high degree of agreement of data. This also entailed using 4 reporting (the public reporting between HH measure scores when using quarters of HH QRP data from CY 2019 threshold, or ‘‘PRT’’). We evaluated the CAR scenario or the SPR scenario. for the all-cause hospitalization and measure reliability using the Pearson BILLING CODE 4120–01–P

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TABLE 31: HH QRP Measure Results Under the SPR and CAR Scenarios

Reportability Reliability Measure Reference %providers % providers Change in% Pearson Spearman Name meetingPRT meetingPRT Providers Correlation Correlation (Standard (COVID-19 meetingPRT Public Affected Reporting, SPR Reporting, CAR Scenario) Scenario) 86.2 81.9% 4.3% .97 .91 Application of Percent of Long Term Care Hospital Patients with an Admission and Discharge Functional Assessment and a Care Plan that Addresses Function (NQF 2631) Changes in Skin 80.9% 75.9% 5% .85 .87 Integrity Post-Acute Care Pressure

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Reoortabilitv Reliabilitv Measure Reference %providers % providers Change in% Pearson Spearman Name meetingPRT meetingPRT Providers Correlation Correlation (Standard (COVID-19 meetingPRT Public Affected Reporting, SPR Reporting, CAR Scenario) Scenario) Ulcers/Injuries

Drug Regimen 86.2% 81.9% 4.3% .99 .96 Review

Percent of Residents 86.1% 81.7% 4.4% .89 .88 Experiencing One or More Falls with Major Iajury (NQF #0674) Influenza 81.9% 70.7% 11.2% .92 .90 Immunization Received for Current Flu Season Timely Initiation of 86.2% 81.9% 4.3% .97 .95 Care (NQF #0526) Improvement in 80.4% 75.6% 4.8% .98 .97 Ambulation (NQF #0167) Improvement in Bed 80.1% 75.2% 4.9% .98 .97 Transfer(NQF 175) Improvement in 80.8% 75.7% 5.1% .98 .97 Bathing (NQF #0174) Improvement in 79.1% 73.6% 5.5% .98 .97 Dyspnea Improvement in 79.1% 73.8% 5.3% .98 .97 Management of Oral Medications (NQF #0176) Discharge to 86.5 81.7 4.8% .95 .96 Community (DTC) (NOF 3477) Medicare Spending 91.3 89.8 1.5% .94 .94 per Beneficiary (MSPB) Acute care 80.9 75.8 5.1% .88 .87 Hospitalization (AH)

BILLING CODE 4120–01–C proposing to use the CAR scenario for Our proposal of the CAR scenario for We are proposing to use the CAR refreshes from January 2022 through the January 2022 refresh would allow us scenario for the last of the refreshes July 2024 for some claims-based to begin displaying recent data in affecting OASIS-based measures, which measures. January 2022, rather than continue will occur in January 2022. We are also displaying October 2020 data (Q1 2019

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through Q4 2019). We believe that use eight or twelve months of data for between the original schedule for public updating the data in January 2022 by reporting between January 2022 and reporting with the revised schedule more than a year relative to the October July 2024 will allow us to begin (that is, frozen data) and also with the 2020 freeze data can assist the public by providing more relevant data sooner. proposed public display schedule under providing more relevant quality data Our testing results indicate we can the CAR scenario (that is, using 3 and allow CMS to display more recent achieve these positive impacts while quarters in the January 2022 refresh), for HHA performance. Similarly, using maintaining high standards for OASIS- and claims-based measures fewer than standard numbers of quarters reportability and reliability. Table 32 respectively. for claims-based measures that typically and Table 33 summarize the comparison BILLING CODE 4120–01–P

TABLE 32: Original, Revised, and Proposed Schedule for Refreshes Affected by

COVID-19 PHE Exceptions for HH OASIS-based QMs

Quarter Refresh OASIS Quarters in Original OASIS Quarters in revised/proposed Schedule for Care Compare Schedule for Care Compare (number of uarters October 2020

January 2021

April 2021 Q3 2019-Q2 2020 (4)

July 2021 Q4 2019- Q3 2020 (4)

October 2021 Ql 2020- Q4 2020 (4)

January 2022* Q2 2020-Ql 2021 (4)

Note: The shades cells represent data frozen due to PHE related to COVID-19. * OASIS data with 3 versus 4 quarters of data

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TABLE 33: Original, Revised, and Example Schedule for Refreshes Affected by COVID-19

PHE Exceptions for HH Claims-based QMs

Quarter Refresh Claims-based Quarters in Original Claims-based Quarters in Schedule for Care Compare (number revised/proposed Schedule for Care *Dates are for of quarters) Compare (number of quarters) example only--­ *Quarters are for example only--­ Actual Dates will be Actual Quarters will be provided sub­ regulatory

January 2021 ACH, ED Use: Q2 2019- Ql 2020 (4) DTC, MSPB: Ql 2018-Q4 2019 (8) PPR: 12017- 4 2019 12 April 2021 ACH, ED Use: Q3 2019-Q2 2020 (4) DTC, MSPB: Ql 2018- Q4 2019 (8) PPR: 1 2017- 4 2019 12 July 2021 ACH, ED Use: Q4 2019- Q3 2020 (4) DTC, MSPB: Ql 2018-Q4 2019 (8) PPR: 12017- 4 2019 12 October 2021 ACH, ED Use: Ql 2020-Q4 2020 (4) DTC, MSPB: Ql 2019-Q4 2020 (8) PPR: 1 2018- 4 2020 12 January 2022* ACH, ED Use: Q2 2020-Ql 2021 (4) ACH, ED Use: Q3 2020-Ql 2021 (3) DTC, MSPB: Ql 2019-Q4 2020 (8) DTC, MSPB: Ql 2019-Q4 2019; PPR: Ql 2018- Q4 2020 (12) Q3 2020-Q4 2020 (6) PPR: Ql 2018-Q4 2019 3 2020 - 4 2020 10 October 2022 * ACH, ED Use: Ql 2021-Q4 2021 (4) ACH, ED Use: Ql 2021-Q4 2021 (4) DTC, MSPB: Ql 2020-Q4 2021 (8) DTC, MSPB: Q3 2020 -Q4 2020 (6) PPR: Ql 2019-Q4 2021 (12) PPR: Ql 2019-Q4 2019 3 2020- 4 2021 10 October 2023* ACH, ED Use: Ql 2022-Q4 2022 (4) ACH, ED Use: Ql 2022-Q4 2022 (4) DTC, MSPB: Ql 2021-Q4 2022 (8) DTC, MSPB: Ql 2021-Q4 2022; PPR: Ql 2020-Q4 2022 (12) (8) PPR: Q3 2020-Q4 2020 Ql 2021-Q4 2022 (10) October 2024 t ACH, ED Use: Ql 2023-Q4 2023 (4) ACH, ED Use: Ql 2023-Q4 2023 (4) DTC, MSPB: Ql 2022-Q4 2023 (8) DTC, MSPB: Ql 2022-Q4 2023 (8) PPR: 12021- 4 2023 12 PPR: 1 2021- 4 2023 12 Note: The shades cells represent data frozen due to PHE related to COVID-19. DTC, MSPB and PPR measures are updated annually in October. * Refreshes with few quarters of certain claims data. t Refresh with the original public reporting schedule resuming for claims data.

BILLING CODE 4120–01–C 6. Update to the Public Display of and resulted in the freezing of the We are soliciting public comments on HHCAHPS Measures Due to the COVID– public display using Q1 2019 through the proposal to use the CAR scenario to 19 PHE Exception Q4 2019 data for the refreshes that publicly report HH OASIS in January would have occurred from October 2020 2022 and claims-based measures Since April 2012, we have publicly through October 2021, as shown in beginning with the January 2022 displayed four quarters of HHCAHPS Table 34. Beginning with January 2022, through July 2024 refreshes. data every quarter, in the months of we will resume reporting four quarters January, April, July, and October. The of HHCAHPS data. The data for the COVID–19 PHE Exception applied to Q1 January 2022 refresh are Q3 2020 and Q2 of 2020. Those excepted through Q2 2021. These are the same quarters cannot be publicly displayed quarters that would have been publicly

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displayed despite the COVID–19 PHE. Table 34 summarizes this discussion.

TABLE 34: HHCAHPS Public Reporting Quarters During and After the Freeze

Refresh Publicly Reported Quarters tm:,,:======~=

Q3 2020-Q2 2021 January 2022** Q4 2020-Q3 2021 April2022 Ql 2021-Q4 2021 July 2022 Q2 2021-Q 1 2022 October 2022 Q3 2021-Q2 2022 January 2023

Q4 2021-Q3 2022 April 2023

Q 1 2022-Q4 2022 July 2023 *The grey shading refers to the frozen quarters. **Resume rolling of most recent four rolling quarters of data. These are the same rolling quarters that would have displayed regardless of the COVID-19 PHE.

IV. Requests for Information scope of the Meaningful Measures (FHIR) for dQMs within the HQRP Framework has evolved to Meaningful aligning where possible with other A. Fast Healthcare Interoperability Measure 2.0 to accommodate the quality programs. FHIR is an open Resources (FHIR) in Support of Digital changes in the health care environment, source standards framework (in both Quality Measurement in Post-Acute initially focusing on measure and commercial and government settings) Care Quality Reporting Programs— burden reduction to include the Request for Information created by Health Level Seven promotion of innovation and International (HL7®) that establishes a 1. Background modernization of all aspects of common language and process for all quality.59 There is a need to streamline health information technology. A goal of the HQRP is to improve the our approach to data collection, quality of health care for beneficiaries calculation, and reporting to fully 2. Definition of Digital Quality Measures through measurement, transparency, leverage clinical and patient-centered We are considering adopting a and public reporting of data. The HQRP information for measurement, contributes to improvements in health improvement, and learning. standardized definition of Digital care, enhancing patient outcomes, and Quality Measures (dQMs) in alignment In alignment with the Meaningful informing consumer choice. In October across QRPs. We are considering in the Measure 2.0, we are seeking feedback on 2017, we launched the Meaningful future to propose the adoption within our future plans to define digital quality Measures Framework. This framework the HQRP the following definition: measures for the HQRP. We also are captures our vision to address health Digital Quality Measures (dQMs) are seeking feedback on the potential use of care quality priorities and gaps, quality measures that use one or more Fast Healthcare Interoperable Resources including emphasizing digital quality sources of health information that are measurement (dQM), reducing captured and can be transmitted 59 Meaningful Measures 2.0: Moving from measurement burden, and promoting Measure Reduction to Modernization. Available at: electronically via interoperable patient perspectives, while also focusing https://www.cms.gov/meaningful-measures-20- on modernization and innovation. The moving-measure-reduction-modernization.

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systems.60 A dQM includes software possible to send and receive the data Measures 2.0 Framework; the Federal that processes digital data to produce a needed for measures and other uses Electronic Health Record Modernization measure score or measure scores. Data from their EHRs through FHIR APIs. (DoD/VA); the Core Quality Measure sources for dQMs may include Collaborative, which convenes 4. Future Alignment of Measures Across administrative systems, electronically stakeholders from America’s Health Reporting Programs, Federal and State submitted clinical assessment data, case Insurance Plans (AHIP), CMS, NQF, management systems, electronic health Agencies, and the Private Sector provider organizations, private payers, records (EHRs), instruments (for We are committed to using policy and consumers and develops consensus example, medical devices and wearable levers and working with stakeholders to on quality measures for provider devices), patient portals or applications achieve interoperable data exchange and specialties; and the NQF-convened (for example, for collection of patient- to transition to full digital quality Measure Applications Partnership generated health data), health measurement in our quality programs. (MAP), which recommends measures information exchanges (HIEs) or We are considering the future potential for use in public payment and reporting registries, and other sources. As an development and staged programs. We would coordinate with example, the quality measures implementation of a cohesive portfolio HL7’s ongoing work to advance FHIR calculated from patient assessment data of dQMs across our regulated programs, resources in critical areas to support submitted electronically to CMS would including HQRP, agencies, and private patient care and measurement such as be considered digital quality measures. payers. This cohesive portfolio would social determinants of health. Through 3. Use of FHIR for Future dQMs in require, where possible, alignment of: this coordination, we would identify HQRP (1) Measure concepts and specifications which existing measures could be used including narrative statements, measure or evolved to be used as dQMs, in Over the past two years in other logic, and value sets, and (2) the recognition of current healthcare programs, we have focused on individual data elements used to build practice and priorities. opportunities to streamline and these measure specifications and This multi-stakeholder, joint Federal, modernize quality data collection and calculate the measures. Further, the state, and industry effort, made possible reporting processes, such as exploring and enabled by the pending advances ® ® required data elements would be limited HL7 FHIR (http://hl7.org/fhir) for to standardized, interoperable elements towards interoperability, would yield a quality reporting programs. One of the to the fullest extent possible; hence, part significantly improved quality first areas CMS has identified relative to of the alignment strategy will be the measurement enterprise. The success of improving our digital strategy is through consideration and advancement of data the dQM portfolio would be enhanced the use of FHIR-based standards to standards and implementation guides by the degree to which the measures exchange clinical information through for key data elements. We would achieve our programmatic requirements application programming interfaces coordinate closely with quality measure as well as the requirements of other (APIs), allowing clinicians to digitally developers, Federal and state agencies, agencies and payers. submit quality information one time and private payers to develop and to 5. Solicitation of Comments that can then be used in many ways. We maintain a cohesive dQM portfolio that believe that in the future proposing such meets our programmatic requirements We seek input on the following steps a standard within the HQRP could and that fully aligns across Federal and that would enable transformation of potentially enable collaboration and state agencies and payers to the extent CMS’ quality measurement enterprise to information sharing, which is essential possible. be fully digital: for delivering high-quality care and We intend this coordination to be a. What EHR/IT systems do you use better outcomes at a lower cost. ongoing and allow for continuous and do you participate in a health We are currently evaluating the use of refinement to ensure quality measures information exchange (HIE)? b. How do you currently share FHIR based APIs to access assessment remain aligned with evolving healthcare information with other providers and data collected and maintained through practices and priorities (for example, are there specific industry best practices the Quality Improvement and patient reported outcomes (PROs), for integrating SDOH screening into Evaluation System (QIES) and internet disparities, care coordination), and track EHR’s? QIES (iQIES) health information with the transformation of data c. What ways could we incentivize or systems and are working with collection. This includes conformance reward innovative uses of health healthcare standards organizations to with standards and health IT module information technology (IT) that could assure that their evolving standards updates, future adoption of technologies reduce burden for post-acute care fully support our assessment instrument incorporated within the ONC Health IT settings, including but not limited to content. Further, as more hospice Certification Program and may also providers are adopting EHRs including hospices? include standards adopted by ONC (for d. What additional resources or tools hospices, we are evaluating using the example, standards-based APIs). The FHIR interfaces for accessing patient would post-acute care settings, coordination would build on the including but not limited to hospices data (including standard assessments) principles outlined in HHS’ Nation directly from hospice EHRs. Accessing and health IT vendors find helpful to Health Quality Roadmap.61 data in this manner could also enable support testing, implementation, It would focus on the quality domains the exchange of data for purposes collection, and reporting of all measures of safety, timeliness, efficiency, beyond data reporting to CMS, such as using FHIR standards via secure APIs to effectiveness, equitability, and patient- care coordination further increasing the reinforce the sharing of patient health centeredness. It would leverage several value of EHR investments across the information between care settings? existing Federal and public-private healthcare continuum. Once providers e. Would vendors, including those efforts including our Meaningful map their EHR data to a FHIR API in that service post-acute care settings, including but not limited to hospices, be standard FHIR formats it could be 61 Department of Health and Human Services. National Health Quality Roadmap. May 15, 2020. interested in or willing to participate in 60 Definition taken from the CMS Quality Available at: https://www.hhs.gov/sites/default/ pilots or models of alternative Conference 2021. files/national-health-quality-roadmap.pdf. approaches to quality measurement that

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would align standards for quality disparities in health outcomes are the shown that African Americans are measure data collection across care result of number of factors, but significantly more likely than white settings to improve care coordination, importantly for CMS programs, although Americans to die prematurely from such as sharing patient data via secure not the sole determinant, poor access heart disease and stroke.81 The COVID– FHIR API as the basis for calculating and provision of lower quality health 19 pandemic has further illustrated and reporting digital measures? care contribute to health disparities. For many of these longstanding health f. What could be the potential use of instance, numerous studies have shown inequities with higher rates of infection, FHIR dQMs that could be adopted that among Medicare beneficiaries, hospitalization, and mortality among across all QRPs? racial and ethnic minority individuals black, Latino, and Indigenous and We plan to continue working with often receive lower quality of care, Native American persons relative to 82 83 other agencies and stakeholders to report lower experiences of care, and white persons. As noted by the coordinate and to inform our experience more frequent hospital Centers for Disease Control ‘‘long- readmissions and operative standing systemic health and social transformation to dQMs leveraging 70 71 72 73 74 75 health IT standards. While we will not complications. Readmission inequities have put many people from be responding to specific comments rates for common conditions in the racial and ethnic minority groups at Hospital Readmissions Reduction increased risk of getting sick and dying submitted in response to this Request 84 for Information in the FY 2022 Hospice Program are higher for black Medicare from COVID–19’’. One important final rule, we will actively consider all beneficiaries and higher for Hispanic strategy for addressing these important input as we develop future regulatory Medicare beneficiaries with Congestive inequities is by improving data Heart Failure and Acute Myocardial collection to allow for better proposals or future sub-regulatory Infarction.76 77 78 79 80 Studies have also measurement and reporting on equity policy guidance. Any updates to across our programs and policies. specific program requirements related to 68 www.cdc.gov/mmwr/volumes/70/wr/ We are committed to achieving equity quality measurement and reporting mm7005a1.htm. in health care outcomes for our provisions would be addressed through 69 Poteat TC, Reisner SL, Miller M, Wirtz AL. beneficiaries by supporting providers in separate and future notice- and- COVID–19 Vulnerability of Transgender Women quality improvement activities to reduce comment rulemaking, as necessary. With and Without HIV Infection in the Eastern and Southern U.S. Preprint. medRxiv. health inequities, enabling beneficiaries B. Closing the Health Equity Gap in 2020;2020.07.21.20159327. Published 2020 Jul 24. to make more informed decisions, and doi:10.1101/2020.07.21.20159327. promoting provider accountability for Post-Acute Care Quality Reporting 70 Martino, SC, Elliott, MN, Dembosky, JW, health care disparities.85 86 For the Programs—Request for Information Hambarsoomian, K, Burkhart, Q, Klein, DJ, Gildner, J, and Haviland, AM. Racial, Ethnic, and Gender purposes of this rule, we are using a 1. Background Disparities in Health Care in Medicare Advantage. definition of equity established in Significant and persistent inequities Baltimore, MD: CMS Office of Minority Health. Executive Order 13985, as ‘‘the 2020. consistent and systematic fair, just, and in health outcomes exist in the United 71 Guide to Reducing Disparities in Readmissions. States. In recognition of persistent CMS Office of Minority Health. Revised August impartial treatment of all individuals, health disparities and the importance of 2018. Available at: https://www.cms.gov/About- including individuals who belong to _ closing the health equity gap, we CMS/Agency-Information/OMH/Downloads/OMH underserved communities that have Readmissions_Guide.pdf. been denied such treatment, such as request information on expanding 72 Singh JA, Lu X, Rosenthal GE, Ibrahim S, Cram several related CMS programs to make P. Racial disparities in knee and hip total joint Black, Latino, and Indigenous and reporting of health disparities based on arthroplasty: An 18-year analysis of national Native American persons, Asian social risk factors and race and ethnicity Medicare data. Ann Rheum Dis. 2014 Americans and Pacific Islanders and more comprehensive and actionable for Dec;73(12):2107–15. other persons of color; members of 73 Rivera-Hernandez M, Rahman M, Mor V, religious minorities; lesbian, gay, providers and patients. Belonging to a Trivedi AN. Racial Disparities in Readmission Rates racial or ethnic minority group; living among Patients Discharged to Skilled Nursing bisexual, transgender, and queer with a disability; being a member of the Facilities. J Am Geriatr Soc. 2019 Aug;67(8):1672– (LGBTQ+) persons; persons with lesbian, gay, bisexual, transgender, and 1679. disabilities; persons who live in rural 74 Joynt KE, Orav E, Jha AK. Thirty-Day areas; and persons otherwise adversely queer (LGBTQ+) community; or being Readmission Rates for Medicare Beneficiaries by near or below the poverty level, is often Race and Site of Care. JAMA. 2011;305(7):675–681. 81 associated with worse health 75 Tsai TC, Orav EJ, Joynt KE. Disparities in HHS. Heart disease and African Americans. (March 29, 2021). https:// outcomes.62 63 64 65 66 67 68 69 Such surgical 30-day readmission rates for Medicare beneficiaries by race and site of care. Ann Surg. Jun www.minorityhealth.hhs.gov/omh/ 2014;259(6):1086–1090. browse.aspx?lvl=4&lvlid=19. 62 Joynt KE, Orav E, Jha AK. Thirty-Day 76 Rodriguez F, Joynt KE, Lopez L, Saldana F, Jha 82 https://www.cms.gov/files/document/medicare- Readmission Rates for Medicare Beneficiaries by AK. Readmission rates for Hispanic Medicare covid-19-data-snapshot-fact-sheet.pdf. Race and Site of Care. JAMA. 2011; 305(7):675–681. beneficiaries with heart failure and acute 83 Ochieng N, Cubanski J, Neuman T, Artiga S, 63 Lindenauer PK, Lagu T, Rothberg MB, et al. myocardial infarction. Am Heart J. Aug and Damico A. Racial and Ethnic Health Inequities Income Inequality and 30 Day Outcomes After 2011;162(2):254–261 e253. and Medicare. Kaiser Family Foundation. Februray Acute Myocardial Infarction, Heart Failure, and 77 Centers for Medicare and Medicaid Services. 2021. Available at: https://www.kff.org/medicare/ Pneumonia: Retrospective Cohort Study. British Medicare Hospital Quality Chartbook: Performance report/racial-and-ethnic-health-inequities-and- Medical Journal. 2013; 346. Report on Outcome Measures; 2014. medicare/. 64 Trivedi AN, Nsa W, Hausmann LRM, et al. 78 Guide to Reducing Disparities in Readmissions. 84 https://www.cdc.gov/coronavirus/2019-ncov/ Quality and Equity of Care in U.S. Hospitals. New CMS Office of Minority Health. Revised August community/health-equity/race-ethnicity.html. England Journal of Medicine. 2014; 371(24):2298– 2018. Available at: https://www.cms.gov/About- 85 https://www.cms.gov/Medicare/Quality- 2308. CMS/Agency-Information/OMH/Downloads/OMH_ Initiatives-Patient-Assessment-Instruments/ 65 Polyakova, M., et al. Racial Disparities In Readmissions_Guide.pdf. QualityInitiativesGenInfo/Downloads/CMS-Quality- Excess All-Cause Mortality During The Early 79 Prieto-Centurion V, Gussin HA, Rolle AJ, Strategy.pdf. COVID–19 Pandemic Varied Substantially Across Krishnan JA. Chronic obstructive pulmonary 86 Report to Congress: Improving Medicare Post- States. Health Affairs. 2021; 40(2): 307–316. disease readmissions at minority-serving Acute Care Transformation (IMPACT) Act of 2014 66 Rural Health Research Gateway. Rural institutions. Ann Am Thorac Soc. Dec Strategic Plan for Accessing Race and Ethnicity Communities: Age, Income, and Health Status. 2013;10(6):680–684. Data. January 5, 2017. Available at https:// Rural Health Research Recap. November 2018. 80 Joynt KE, Orav E, Jha AK. Thirty-Day www.cms.gov/About-CMS/Agency-Information/ 67 https://www.minorityhealth.hhs.gov/assets/ Readmission Rates for Medicare Beneficiaries by OMH/Downloads/Research-Reports-2017-Report-to- PDF/Update_HHS_Disparities_Dept-FY2020.pdf. Race and Site of Care. JAMA. 2011;305(7):675–681. Congress-IMPACT-ACT-of-2014.pdf.

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affected by persistent poverty or of specialized International feedback reports could allow facilities to inequality.’’ 87 We note that this Classification of Disease, 10th Edition, identify gaps in the quality of care they definition was recently established by Clinical Modification (ICD–10–CM) provide. (For example, methods similar the current administration, and provides codes for describing the socioeconomic, or analogous to the CMS Disparity a useful, common definition for equity cultural, and environmental Methods 91 which provide hospital-level across different areas of government, determinants of health. We continue to confidential results stratified by dual although numerous other definitions of work to improve our understanding of eligibility for condition-specific equity exist. this important issue and to identify readmission measures currently Our ongoing commitment to closing policy solutions that achieve the goals included in the Hospital Readmission the equity gap in CMS quality programs of attaining health equity for all Reduction Program (84 FR 42496 is demonstrated by a portfolio of patients. through 42500)). programs aimed at making information • Methods that commenters or their on the quality of health care providers 2. Solicitation of Public Comment organizations use in employing data to and services, including disparities, more While hospice is not included in the reduce disparities and improve patient transparent to consumers and providers. Improving Medicare Post-Acute Care outcomes, including the source(s) of The CMS Equity Plan for Improving Transformation (IMPACT) Act of 2014 data used, as appropriate. Quality in Medicare aims to support (Pub. L. 113–185), we look at measures • Given the importance of structured Quality Improvement Networks and adopted based on that Act, like SPADES data and health IT standards for the Quality Improvement Organizations and if aspects apply to hospice then we capture, use, and exchange of relevant (QIN–QIOs); Federal, state, local, and would consider including it in the health data for improving health equity, tribal organizations; providers; HQRP. This helps with continuity of the existing challenges providers’ researchers; policymakers; beneficiaries care since patients may transition from encounter for effective capture, use, and and their families; and other different PAC settings to hospice and it exchange of health information, such as stakeholders in activities to achieve would address a gap in hospice care. We data on race, ethnicity, and other social health equity. The CMS Equity Plan are seeking comment on the possibility determinants of health, to support care includes three core elements: (1) of expanding measure development, and delivery and decision making. Increasing understanding and awareness adding aspects of SPADEs that could While we will not be responding to of disparities; (2) developing and apply to hospice and address gaps in specific comments submitted in disseminating solutions to achieve health equity in the HQRP. Any response to this Request for Information health equity; and (3) implementing potential health equity data collection in the FY 2022 Hospice Wage Index sustainable actions to achieve health or measure reporting within a CMS final rule, we intend to use this input to equity.88 The CMS Quality Strategy and program that might result from public inform future policy development. We Meaningful Measures Framework 89 comments received in response to this look forward to receiving feedback on include elimination of racial and ethnic solicitation would be addressed through these topics, and note for readers that disparities as a fundamental principle. a separate notice- and-comment responses to the RFI will not directly Our ongoing commitment to closing the rulemaking in the future. impact payment decisions. We also note health equity gap in the HQRP is Specifically, we are inviting public our intention for an additional RFI or demonstrated by the sharing of comment on the following: • rulemaking on this topic in the future. information from the Medicare PAC Recommendations for quality We look forward to receiving feedback PUF on Care Compare and seeking to measures, or measurement domains that on these topics, and note for readers that adopt through future rulemaking aspects address health equity, for use in the responses to the RFI should focus on of the standardized patient assessment HQRP. • how they could be applied to the quality data elements (SPADEs) that apply to Suggested parts of SDOH SPADEs reporting program requirements. hospice which include several social adoption that could apply to hospice in determinants of health (SDOH). alignment with national data collection V. Advancing Health Information We continue to work with Federal and interoperable exchange standards. Exchange and private partners to better collect and This could include collecting The Department of Health and Human leverage data on social risk to improve information on certain SDOH, including Services (HHS) has a number of our understanding of how these factors race, ethnicity, preferred language, initiatives designed to encourage and can be better measured in order to close interpreter services, health literacy, support the adoption of interoperable the health equity gap. Among other transportation and social isolation. CMS health information technology and to things, we have developed an Inventory is seeking guidance on any additional promote nationwide health information of Resources for Standardized items, including SPADEs that could be exchange to improve health care and Demographic and Language Data used to assess health equity in the care patient access to their health Collection 90 and supported collection of hospice patients, for use in the HQRP. • information. To further interoperability Ways CMS can promote health in post-acute care settings, the Centers 87 https://www.federalregister.gov/documents/ equity in outcomes among hospice for Medicare & Medicaid Services (CMS) 2021/01/25/2021-01753/advancing-racial-equity- patients. We are also interested in and the Office of the National and-support-for-underserved-communities-through- feedback regarding whether including the-Federal-government. Coordinator for Health Information facility-level quality measure results 88 Centers for Medicare & Medicaid Services Technology (ONC) participate in the Office of Minority Health. The CMS Equity Plan for stratified by social risk factors and Post-Acute Care Interoperability Improving Quality in Medicare. https:// social determinants of health (for Workgroup (PACIO) (https:// www.cms.gov/About-CMS/Agency-Information/ example, dual eligibility for Medicare OMH/OMH_Dwnld-CMS_EquityPlanforMedicare_ pacioproject.org/) to facilitate 090615.pdf. and Medicaid, race) in confidential collaboration with industry stakeholders 89 https://www.cms.gov/Medicare/Quality- to develop Fast Healthcare Initiatives-Patient-Assessment-Instruments/ Disparities Inventory of Resources for Standardized QualityInitiativesGenInfo/MMF/General-info-Sub- Demographic and Language Data Collection. 2020. Interoperability Resources (FHIR) Page. https://www.cms.gov/About-CMS/Agency- 90 Centers for Medicare and Medicaid Services. Information/OMH/Downloads/Data-Collection- 91 https://qualitynet.cms.gov/inpatient/measures/ Building an Organizational Response to Health Resources.pdf. disparity-methods/methodology.

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standards. These standards could common-agreement and https:// approval. In order to fairly evaluate support the exchange and reuse of rce.sequoiaproject.org/. whether an information collection patient assessment data derived from On May 1, 2020, ONC published a should be approved by OMB, section the minimum data set (MDS), inpatient final rule in the Federal Register 3506(c)(2)(A) of the Paperwork rehabilitation facility patient assessment entitled ‘‘21st Century Cures Act: Reduction Act of 1995 requires that we instrument (IRF–PAI), long term care Interoperability, Information Blocking, solicit comment on the following issues: hospital continuity assessment record and the ONC Health IT Certification • The need for the information and evaluation (LCDS), outcome and Program’’ (85 FR 25642) that established collection and its usefulness in carrying assessment information set (OASIS), policies related to information blocking out the proper functions of our agency. and other sources, including HOPE if as authorized under section 4004 of the • The accuracy of our estimate of the implemented in HQRP through future 21st Century Cures Act. Information information collection burden. rulemaking. The PACIO Project has blocking is generally defined as a • The quality, utility, and clarity of focused on FHIR implementation guides practice by a health IT developer of the information to be collected. • for functional status, cognitive status certified health IT, health information Recommendations to minimize the and new use cases on advance network, health information exchange, information collection burden on the directives and speech, and language or health care provider that, except as affected public, including automated pathology. We encourage PAC provider required by law or specified by the collection techniques. and health IT vendor participation as Secretary of HHS as a reasonable and We are soliciting public comment on these efforts advance. necessary activity, is likely to interfere each of these issues for the following The CMS Data Element Library (DEL) with access, exchange, or use of sections of this rule that contain continues to be updated and serves as electronic health information. The information collection requirements. definition of information blocking the authoritative resource for PAC A. ICRs Regarding Hospice QRP assessment data elements and their includes a knowledge standard, which associated mappings to health IT is different for health care providers The HQRP proposals would not than for health IT developers of certified change provider burden or costs. standards such as Logical Observation • Identifiers Names and Codes and health IT and health information For the proposal to remove the 7 Systematized Nomenclature of networks or health information HIS measures from the HQRP, we do not Medicine. The DEL furthers CMS’ goal exchanges. A healthcare provider must propose any changes to the requirement of data standardization and know that the practice is unreasonable to submit the HIS admission assessment interoperability. These interoperable as well as likely to interfere with access, since we continue to collect the data for data elements can reduce provider exchange, or use of electronic health these 7 HIS measures in order to burden by allowing the use and information. To deter information calculate the more broadly applicable exchange of healthcare data; supporting blocking, health IT developers of NQF # 3235, the Hospice and Palliative provider exchange of electronic health certified health IT, health information Care Composite Process Measure—HIS- information for care coordination, networks and health information Comprehensive Assessment Measure at person-centered care; and supporting exchanges whom the HHS Inspector Admission. • The proposal to add the HCI also real-time, data driven, clinical decision General determines, following an would not change provider burden or making. Standards in the Data Element investigation, have committed costs since it is a claims-based measure Library (https://del.cms.gov/DELWeb/ information blocking, are subject to civil that CMS calculates from the Medicare pubHome) can be referenced on the monetary penalties of up to $1 million claims data. CMS website and in the ONC per violation. Appropriate disincentives • Likewise, the proposal to publicly Interoperability Standards Advisory for health care providers are expected to report the claims-based HVLDL quality (ISA). The 2021 ISA is available at be established by the Secretary through measure would not result in reduced https://www.healthit.gov/isa. future rulemaking. Stakeholders can provider burden and related costs. The The 21st Century Cures Act (Cures learn more about information blocking reduction in provider burden and costs Act) (Pub. L. 114–255, enacted at https://www.healthit.gov/curesrule/ occurred when we replaced the HIS- December 13, 2016) requires HHS to final-rule-policy/information-blocking. based HVWDII quality measure via the take new steps to enable the electronic ONC has posted information resources HIS–PRA package that OMB approved sharing of health information ensuring including fact sheets (https:// on February 16, 2021 (OMB Control interoperability for providers and www.healthit.gov/curesrule/resources/ Number: 0938–1153, CMS–10390). settings across the care continuum. The fact-sheets), frequently asked questions • Finally, the Home Health Rider Cures Act includes a trusted exchange (https://www.healthit.gov/curesrule/ proposal would not change provider framework and common agreement resources/information-blocking-faqs), burden or costs since it only affects the (TEFCA) provision 92 that will enable and recorded webinars (https:// number of quarters used in the the nationwide exchange of electronic www.healthit.gov/curesrule/resources/ calculation of certain claims-based health information across health webinars). We invite providers to learn more measures for the public display for information networks and provide an about these important developments certain refresh cycles. important way to enable bi-directional and how they could affect hospices. health information exchange in the B. ICRs Regarding Hospice CoPs future. For more information on current VI. Collection of Information We are proposing to revise the developments related to TEFCA, we Requirements provisions at § 418.76(c)(1) that requires refer readers to https:// Under the Paperwork Reduction Act the hospice aide to be evaluated by www.healthit.gov/topic/interoperability/ of 1995, we are required to provide 60- observing an aide’s performance of the trusted-exchange-framework-and- day notice in the Federal Register and task with a patient. This proposed solicit public comment before a revision is subject to the PRA; however, 92 ONC, Draft 2 Trusted Exchange Framework and Common Agreement, https://www.healthit.gov/ collection of information requirement is the information collection burden sites/default/files/page/2019-04/ submitted to the Office of Management associated with the existing FINALTEFCAQTF41719508version.pdf. and Budget (OMB) for review and requirements at § 418.76(c)(1) are

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accounted for under the information instructions and OMB control number payments and compare simulated collection request currently approved 0938–1153 (CMS–10390) or OMB payments using the FY 2022 wage index OMB control number 0938–1067. The control number 0938–1067 (CMS– and the proposed revised labor shares. proposed revision’s addition of the use 10277). We then apply a budget neutrality of a ‘‘pseudo patient’’ allow for greater adjustment so that the aggregate VII. Response to Comments flexibility and may minimally reduce simulated payments do not increase or burden on the hospice. We request Because of the large number of public decrease due to changes in the labor public comment on our determination comments we normally receive on share values. that the time and effort necessary to Federal Register documents, we are not Certain events may limit the scope or comply with implementing the use of able to acknowledge or respond to them accuracy of our impact analysis, because the pseudo-patient for hospice aide individually. We will consider all such an analysis is susceptible to training at § 418.76(c)(1), may reduce comments we receive by the date and forecasting errors due to other changes burden on the provider. time specified in the DATES section of in the forecasted impact time period. We are also proposing to revise the this preamble, and, when we proceed The nature of the Medicare program is provisions at § 418.76(h)(1)(iii) to state with a subsequent document, we will such that the changes may interact, and that if an area of concern is verified by respond to the comments in the the complexity of the interaction of the hospice during the on-site visit, then preamble to that document. these changes could make it difficult to the hospice must conduct, and the predict accurately the full scope of the hospice aide must complete, a VIII. Regulatory Impact Analysis impact upon hospices. competency evaluation related to the A. Statement of Need We have examined the impacts of this deficient and related skill(s) in rule as required by Executive Order accordance with § 418.76(c). We believe This proposed rule meets the 12866 on Regulatory Planning and this could increase the speed with requirements of our regulations at Review (September 30, 1993), Executive which hospices perform competency § 418.306(c) and (d), which require Order 13563 on Improving Regulation testing and could allow new aides to annual issuance, in the Federal and Regulatory Review (January 18, begin serving patients more quickly as Register, of the hospice wage index 2011), the Regulatory Flexibility Act these proposed changes will allow the based on the most current available (RFA) (September 19, 1980, Pub. L. 96– hospice to focus on specific aide skills CMS hospital wage data, including any 354), section 1102(b) of the Social when a skill deficiency is assessed. In changes to the definitions of CBSAs or Security Act, section 202 of the accordance with the implementing previously used MSAs, as well as any Unfunded Mandates Reform Act of 1995 regulations of the PRA at 5 CFR changes to the methodology for (March 22, 1995; Pub. L. 104–4), 1320.3(b)(2), we believe that both the determining the per diem payment Executive Order 13132 on Federalism existing requirements and the proposed rates. This proposed rule would also (August 4, 1999), and the Congressional revisions to the requirements at update payment rates for each of the Review Act (5 U.S.C. 804(2)). § 418.76(h) are exempt from the PRA. categories of hospice care, described in Executive Orders 12866 and 13563 We believe competency evaluations are § 418.302(b), for FY 2022 as required direct agencies to assess all costs and a usual and customary business practice under section 1814(i)(1)(C)(ii)(VII) of the benefits of available regulatory and we state as such in the information Act. The payment rate updates are alternatives and, if regulation is collection request associated with the subject to changes in economy-wide necessary, to select regulatory Hospice Conditions of Participation productivity as specified in section approaches that maximize net benefits (0938–1067). Therefore, we are not 1886(b)(3)(B)(xi)(II) of the Act. (including potential economic, proposing to seek PRA approval for any B. Overall Impacts environmental, public health and safety information collection or recordkeeping effects, distributive impacts, and activities that may be conducted in We estimate that the aggregate impact equity). Section 3(f) of Executive Order connection with the proposed revisions of the payment provisions in this 12866 defines a ‘‘significant regulatory to § 418.76(h), but we request public proposed rule would result in an action’’ as an action that is likely to comment on our determination that the estimated increase of $530 million in result in a rule: (1) Having an annual time and effort necessary to comply payments to hospices, resulting from the effect on the economy of $100 million with these evaluation requirements is hospice payment update percentage of or more in any 1 year, or adversely and usual and customary, and would be 2.3 percent for FY 2022. The impact materially affecting a sector of the incurred by hospice staff even absent analysis of this proposed rule represents economy, productivity, competition, this regulatory requirement. the projected effects of the changes in jobs, the environment, public health or hospice payments from FY 2021 to FY safety, or state, local or tribal C. Submission of PRA-Related 2022. Using the most recent complete governments or communities (also Comments data available at the time of rulemaking, referred to as ‘‘economically We have submitted a copy of this in this case FY 2020 hospice claims data significant’’); (2) creating a serious proposed rule to OMB for its review of as of January 15, 2021, we apply the inconsistency or otherwise interfering the rule’s information collection and current FY 2021 wage index with the with an action taken or planned by recordkeeping requirements. The current labor shares. Using the same FY another agency; (3) materially altering requirements are not effective until they 2020 data, we apply the FY 2022 wage the budgetary impacts of entitlement have been approved by OMB. index and the current labor share values grants, user fees, or loan programs or the We invite public comments on these to simulate FY 2022 payments. We then rights and obligations of recipients information collection requirements. If apply a budget neutrality adjustment so thereof; or (4) raising novel legal or you wish to comment, please identify that the aggregate simulated payments policy issues arising out of legal the rule (CMS–1754–P) and, where do not increase or decrease due to mandates, the President’s priorities, or applicable, the preamble section, and changes in the wage index. Then, using the principles set forth in the Executive the ICR section. See this rule’s DATES the same FY 2020 data, we apply the FY Order. and ADDRESSES sections for the 2022 wage index and the current labor A regulatory impact analysis (RIA) comment due date and for additional share values to simulate FY 2022 must be prepared for major rules with

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economically significant effects ($100 million in 1995 dollars, updated the resulting payments according to the million or more in any 1 year). We annually for inflation. The 2021 UMRA classifications (for example, provider estimate that this rulemaking is threshold is $158 million. This rule is type, geographic region, facility size), ‘‘economically significant’’ as measured not anticipated to have an effect on and compare the difference between by the $100 million threshold, and state, local, or tribal governments, in the current and future payments to hence also a major rule under the aggregate, or on the private sector of determine the overall impact. The first Congressional Review Act. Accordingly, $158 million or more. column shows the breakdown of all we have prepared a RIA that, to the best Executive Order 13132 establishes hospices by provider type and control of our ability presents the costs and certain requirements that an agency (non-profit, for-profit, government, benefits of the rulemaking. must meet when it promulgates a other), facility location, facility size. The proposed rule (and subsequent final C. Anticipated Effects second column shows the number of rule) that imposes substantial direct hospices in each of the categories in the The RFA requires agencies to analyze requirement costs on state and local options for regulatory relief of small governments, preempts state law, or first column. The third column shows businesses if a rule has a significant otherwise has Federalism implications. the effect of using the FY 2022 updated impact on a substantial number of small We have reviewed this rule under these wage index data. This represents the entities. The great majority of hospitals criteria of Executive Order 13132, and effect of moving from the FY 2021 and most other health care providers have determined that it will not impose hospice wage index to the FY 2022 and suppliers are small entities by substantial direct costs on state or local hospice wage index. The fourth column meeting the Small Business governments. shows the effect of the proposed rebased Administration (SBA) definition of a If regulations impose administrative labor shares. The aggregate impact of the small business (in the service sector, costs on private entities, such as the changes in column three and four is having revenues of less than $8.0 time needed to read and interpret this zero percent, due to the hospice wage million to $41.5 million in any 1 year), proposed rule, we should estimate the index standardization factor and the or being nonprofit organizations. For cost associated with regulatory review. labor share standardization factor. purposes of the RFA, we consider all Due to the uncertainty involved with However, there are distributional effects hospices as small entities as that term is accurately quantifying the number of of the FY 2022 hospice wage index. The used in the RFA. The Department of entities that will review the rule, we fifth column shows the effect of the Health and Human Services practice in assume that the total number of unique hospice payment update percentage as interpreting the RFA is to consider commenters on last year’s proposed rule effects economically ‘‘significant’’ only mandated by section 1814(i)(1)(C) of the will be the number of reviewers of this Act, and is consistent for all providers. if greater than 5 percent of providers proposed rule. We acknowledge that reach a threshold of 3 to 5 percent or The 2.3 hospice payment update this assumption may understate or percentage is based on the 2.5 percent more of total revenue or total costs. The overstate the costs of reviewing this inpatient hospital market basket update, effect of the FY 2022 hospice payment proposed rule. It is possible that not all reduced by a 0.2 percentage point update percentage results in an overall commenters reviewed last year’s rule in productivity adjustment. The sixth increase in estimated hospice payments detail, and it is also possible that some of 2.3 percent, or $530 million. The reviewers chose not to comment on the column shows the effect of all the distributional effects of the proposed FY proposed rule. For these reasons we proposed changes on FY 2022 hospice 2022 hospice wage index do not result thought that the number of past payments. It is projected aggregate in a greater than 5 percent of hospices commenters would be a fair estimate of payments would increase by 2.3 experiencing decreases in payments of 3 the number of reviewers of this percent; assuming hospices do not percent or more of total revenue. proposed rule. change their billing practices. As Therefore, the Secretary has determined Using the wage information from the illustrated in Table 35, the combined that this rule will not create a significant Bureau of Labor Statistics (BLS) for effects of all the proposals vary by economic impact on a substantial medical and health service managers specific types of providers and by number of small entities. In addition, (Code 11–9111); we estimate that the location. section 1102(b) of the Act requires us to cost of reviewing this rule is $114.24 per prepare a regulatory impact analysis if In addition, we are providing a hour, including overhead and fringe provider-specific impact analysis file, a rule may have a significant impact on benefits (https://www.bls.gov/oes/ the operations of a substantial number _ which is available on our website at current/oes nat.htm). This proposed https://www.cms.gov/Medicare/ of small rural hospitals. This analysis rule consists of approximately 55,000 must conform to the provisions of Medicare-Fee-for-Service-Payment/ words. Assuming an average reading section 603 of the RFA. For purposes of Hospice/Hospice-Regulations-and- speed of 250 words per minute, it would section 1102(b) of the Act, we define a take approximately 1.83 hours for the Notices.html. We note that simulated small rural hospital as a hospital that is staff to review half of it. For each payments are based on utilization in FY located outside of a MSA and has fewer hospice that reviews the rule, the 2020 as seen on Medicare hospice than 100 beds. This rule will only affect estimated cost is $209.06 (1.83 hour × claims (accessed from the CCW in hospices. Therefore, the Secretary has $114.24). Therefore, we estimate that January of 2021) and only include determined that this rule will not have the total cost of reviewing this payments related to the level of care and a significant impact on the operations of regulation is $11,080.18 ($209.06 × 53 do not include payments related to the a substantial number of small rural service intensity add-on. hospitals (see table 34). reviewers). Section 202 of the Unfunded D. Detailed Economic Analysis As illustrated in Table 35, the Mandates Reform Act of 1995 (UMRA) combined effects of all the proposals also requires that agencies assess 1. Proposed Hospice Payment Update vary by specific types of providers and anticipated costs and benefits before for FY 2022 by location. issuing any rule whose mandates The FY 2022 hospice payment BILLING CODE 4120–01–P require spending in any 1 year of $100 impacts appear in Table 34. We tabulate

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TABLE 35: Projected Impact to Hospices for FY 2022

Overall FY 2022 FY FY 2022 Total Updated 2022 Hospice Hospice Subgroup Hospices Impact Wage Labor Payment forFY Data Share Update(%) 2022 All Hospices 4,957 0.0% 0.0% 2.3% 2.3%

Freestanding/Non-Profit 600 0.0% -0.1% 2.3% 2.2% Freestanding/For-Profit 3,224 0.0% 0.0% 2.3% 2.3% Freestanding/Government 40 0.2% -0.1% 2.3% 2.4% Freestanding/Other 365 -0.3% 0.1% 2.3% 2.1% Facility/HHA Based/Non-Profit 366 0.0% 0.0% 2.3% 2.3% Facility/HHA Based/For-Profit 193 0.1% 0.2% 2.3% 2.6% Facility/HHA Based/Government 90 0.2% 0.5% 2.3% 3.0% Facility/HHA Based/Other 79 0.4% -0.2% 2.3% 2.5% Subtotal: Freestanding Facility 4,229 0.0% 0.0% 2.3% 2.3% T e Subtotal: Facility/HHA Based 728 0.1% 0.0% 2.3% 2.4% Facility T e Subtotal: Non-Profit 966 0.0% -0.1% 2.3% 2.2% Subtotal: For Profit 3,417 0.0% 0.0% 2.3% 2.3% Subtotal: Government 130 0.2% 0.2% 2.3% 2.7% Subtotal: Other 444 -0.3% 0.0% 2.3% 2.0%

Freestanding/Non-Profit 141 -0.2% 0.5% 2.3% 2.6% Freestanding/For-Profit 348 -0.2% 0.6% 2.3% 2.7% Freestanding/Government 18 0.2% 0.5% 2.3% 3.0% Freestanding/Other 48 -0.2% 0.7% 2.3% 2.8% Facility/HHA Based/Non-Profit 148 -0.3% 0.4% 2.3% 2.4% Facility/HHA Based/For-Profit 44 0.3% 0.5% 2.3% 3.1% Facility/HHA Based/Government 68 0.0% 0.5% 2.3% 2.8% Facility/HHA Based/Other 45 0.2% 0.4% 2.3% 2.9%

Freestanding/Non-Profit 459 0.0% -0.1% 2.3% 2.2% Freestanding/For-Profit 2,876 0.1% -0.1% 2.3% 2.3% Freestanding/Government 22 0.2% -0.1% 2.3% 2.4% Freestanding/Other 317 -0.4% 0.0% 2.3% 1.9% Facility/HHA Based/Non-Profit 218 0.1% -0.1% 2.3% 2.3% Facility/HHA Based/For-Profit 149 0.1% 0.2% 2.3% 2.6% Facility/HHA Based/Government 22 0.4% 0.5% 2.3% 3.2% Facility/HHA Based/Other 34 0.5% -0.3% 2.3% 2.5%

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Rural 860 -0.2% 0.5% 2.3% 2.6% Urban 4,097 0.0% -0.1% 2.3% 2.2%

New England 156 -0.6% -0.3% 2.3% 1.4% Middle Atlantic 277 -0.7% -0.2% 2.3% 1.4% South Atlantic 577 0.3% 0.3% 2.3% 2.9% East North Central 561 -0.2% 0.2% 2.3% 2.3% East South Central 258 -0.2% 0.7% 2.3% 2.8% West North Central 408 0.0% 0.3% 2.3% 2.6% West South Central 967 -0.3% 0.4% 2.3% 2.4% Mountain 503 0.1% 0.1% 2.3% 2.5% Pacific 1,201 0.5% -1.2% 2.3% 1.6% Outlying 49 -1.3% 3.4% 2.3% 4.4%

0 - 3,499 RHC Days (Small) 3,500-19,999 RHC Days 2,227 0.0% 0.0% 2.3% 2.3% Medium 20,000+ RHC Days (Large) 1,648 0.0% 0.0% 2.3% 2.3% Source: FY 2020 hospice claims data from CCW accessed on January 15, 2021. Note: The overall total impact reflects the addition of the individual impacts, which includes the overall wage index impact, the labor share impact as well as the 2.3% market basket update.

Region Key: New England=Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont Middle Atlantic=Pennsylvania, New Jersey, New York; South Atlantic=Delaware, District ofColwnbia, Florida, Georgia, Maryland, North Carolina, South Carolina, Virginia, West Virginia East North Central=Illinois, Indiana, Michigan, Ohio, Wisconsin East South Central=Alabama, Kentucky, Mississippi, Tennessee West North Central=Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota, South Dakota West South Central=Arkansas, Louisiana, Oklahoma, Texas Mountain=Arizona, Colorado, Idaho, Montana, Nevada, New Mexico, Utah, Wyoming Pacific= Alaska, California, Hawaii, Oregon, Washington Outlying=Guam, Puerto Rico, Virgin Islands

BILLING CODE 4120–01–C standardization factors. The wage index F. Accounting Statement standardization factors and labor share E. Alternatives Considered As required by OMB Circular A–4 standardization factors for each level of For the FY 2022 Hospice Wage Index (available at https:// care calculated using the FY 2020 and Rate Update proposed rule, we www.whitehouse.gov/sites/ considered alternatives to the claims data that was available at the whitehouse.gov/files/omb/circulars/A4/ calculations of the wage index time of rulemaking did not show a-4.pdf), in Table 36, we have prepared standardization factor and the labor significant differences compared to an accounting statement showing the share standardization factor. Typically, those calculated using FY 2019 claims classification of the expenditures the wage index standardization factor is data. As such, the differences between associated with the provisions of this calculated using the most recent, using FY 2019 and FY 2020 claims data proposed rule. Table 36 provides our complete hospice claims data available for rate-setting were minimal. Therefore, best estimate of the possible changes in at the time of rulemaking. However, due we will continue our practice of using Medicare payments under the hospice to the COVID–19 PHE, we looked at the most recent, complete hospice benefit as a result of the policies in this using FY 2019 claims data to determine claims data to available at the time of proposed rule. This estimate is based on if there were significant differences rulemaking to set payment rates. the data for 4,957 hospices in our between utilizing FY 2019 and FY 2020 impact analysis file, which was claims data for the calculation of the constructed using FY 2020 claims wage index and labor share available in January 2021. All

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expenditures are classified as transfers to hospices.

TABLE 36: Accounting Statement: Classification of Estimated Transfers and Costs, From FY 2021 to FY 2022

Cateeorv Transfers Annualized Monetized Transfers $ 530 million * From Whom to Whom? Federal Government to Medicare Hospices *The net increase of $530 million in transfer payments is a result of the 2.3 percent hospice payment update compared to payments in FY 2021.

G. Conclusion Pseudo-patient means a person statement addendum must include the trained to participate in a role-play following: We estimate that aggregate payments situation, or a computer-based to hospices in FY 2022 will increase by * * * * * mannequin device. A pseudo-patient $530 million as a result of the market (9) Name and signature of the must be capable of responding to and basket update, compared to payments in individual (or representative) and date interacting with the hospice aide FY 2021. We estimate that in FY 2022, signed, along with a statement that trainee, and must demonstrate the hospices in urban areas will experience, signing this addendum (or its updates) general characteristics of the primary on average, 2.2 percent increase in is only acknowledgement of receipt of patient population served by the estimated payments compared to FY the addendum (or its updates) and not hospice in key areas such as age, frailty, 2021. While hospices in rural areas will the individual’s (or representative’s) functional status, cognitive status and experience, on average, 2.6 percent agreement with the hospice’s care goals. increase in estimated payments determinations. If a non-hospice compared to FY 2021. Hospices * * * * * provider or Medicare contractor providing services in the Outlying and Simulation means a training and requests the addendum, the non-hospice South Atlantic regions would assessment technique that mimics the provider or Medicare contractor are not experience the largest estimated reality of the homecare environment, required to sign the addendum. increases in payments of 4.4 percent including environmental distractions (10) Date the hospice furnished the and 2.9 percent, respectively. Hospices and constraints that evoke or replicate addendum. serving patients in areas in the New substantial aspects of the real world in (d) Timeframes for the hospice England and Middle Atlantic regions a fully interactive fashion, in order to election statement addendum. (1) If the would experience, on average, the teach and assess proficiency in addendum is requested within the first lowest estimated increase of 1.4 percent performing skills, and to promote 5 days of a hospice election (that is, in in FY 2022 payments. decision making and critical thinking. the first 5 days of the hospice election In accordance with the provisions of * * * * * date), the hospice must provide this Executive Order 12866, this regulation ■ 3. Section 418.24 is amended by: information, in writing, to the was reviewed by the Office of ■ a. Revising paragraphs (c) individual (or representative), non- Management and Budget. introductory text and (c)(9); hospice provider, or Medicare ■ b. Adding paragraph (c)(10); contractor within 5 days from the date List of Subjects in 42 CFR Part 418 ■ c. Redesignating paragraphs (d) of the request. Health facilities, Hospice care, through (g) as paragraphs (e) through (2) If the addendum is requested Medicare, Reporting and recordkeeping (h); and during the course of hospice care (that requirements. ■ d. Adding a new paragraph (d). is, after the first 5 days of the hospice The revisions and additions read as election date), the hospice must provide For the reasons set forth in the follows: this information, in writing, within 3 preamble, the Centers for Medicare & days of the request to the requesting Medicaid Services proposes to amend § 418.24 Election of hospice care. individual (or representative), non- 42 CFR chapter IV as set forth below. * * * * * hospice provider, or Medicare (c) Content of hospice election contractor. PART 418—HOSPICE CARE statement addendum. For hospice (3) If there are any changes to the plan ■ 1. The authority citation for part 418 elections beginning on or after October of care during the course of hospice continues to read as follows: 1, 2020, in the event that the hospice care, the hospice must update the determines there are conditions, items, addendum and provide these updates, Authority: 42 U.S.C. 1302 and 1395hh. services, or drugs that are unrelated to in writing, to the individual (or ■ 2. Section 418.3 is amended by adding the individual’s terminal illness and representative) in order to communicate definitions for ‘‘Pseudo-patient’’ and related conditions, the individual (or these changes to the individual (or ‘‘Simulation’’ in alphabetical order to representative), non-hospice providers representative). read as follows: furnishing such items, services, or (4) If the individual dies, revokes, or drugs, or Medicare contractors may is discharged within the required § 418.3 Definitions. request a written list as an addendum to timeframe for furnishing the addendum * * * * * the election statement. The election (as outlined in paragraphs (d)(1) and (2)

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of this section, and before the hospice accordance with paragraph (c) of this items intended to capture patient-level has furnished the addendum, the section. data. addendum would not be required to be * * * * * (2) Administrative data, such as furnished to the individual (or ■ 5. Section 418.309 is amended by Medicare claims data, used for hospice representative). The hospice must note revising paragraphs (a)(1) and (2) to read quality measures to capture services the reason the addendum was not as follows: throughout the hospice stay, are furnished to the patient and the required and automatically meet the addendum would become part of the § 418.309 Hospice aggregate cap. HQRP requirements for § 418.306(b)(2). patient’s medical record if the hospice * * * * * (3) CMS may remove a quality has completed it at the time of (a) * * * measure from the Hospice QRP based on (1) For accounting years that end on discharge, revocation, or death. one or more of the following factors: (5) If the beneficiary dies, revokes, or or before September 30, 2016 and end is discharged prior to signing the on or after October 1, 2030, the cap (i) Measure performance among addendum (as outlined in paragraphs amount is adjusted for inflation by using hospices is so high and unvarying that (d)(1) and (2) of this section), the the percentage change in the medical meaningful distinctions in addendum would not be required to be care expenditure category of the improvements in performance can no furnished to the individual (or Consumer Price Index (CPI) for urban longer be made. representative). The hospice must note consumers that is published by the (ii) Performance or improvement on a the reason the addendum was not Bureau of Labor Statistics. This measure does not result in better patient signed and the addendum would adjustment is made using the change in outcomes. become part of the patient’s medical the CPI from March 1984 to the fifth (iii) A measure does not align with record. month of the cap year. current clinical guidelines or practice. * * * * * (2) For accounting years that end after (iv) The availability of a more broadly ■ 4. Section 418.76 is amended by September 30, 2016, and before October applicable (across settings, populations, revising paragraphs (c)(1) and (h)(1)(iii) 1, 2030, the cap amount is the cap or conditions) measure for the particular to read as follows: amount for the preceding accounting topic. year updated by the percentage update (v) The availability of a measure that § 418.76 Condition of participation: to payment rates for hospice care for Hospice aide and homemaker services. is more proximal in time to desired services furnished during the fiscal year patient outcomes for the particular * * * * * beginning on the October 1 preceding topic. (c) * * * the beginning of the accounting year as (1) The competency evaluation must (vi) The availability of a measure that determined pursuant to section is more strongly associated with desired address each of the subjects listed in 1814(i)(1)(C) of the Act (including the paragraph (b)(3) of this section. Subject patient outcomes for the particular application of any productivity or other topic. areas specified under paragraphs adjustments to the hospice percentage (vii) Collection or public reporting of (b)(3)(i), (iii), (ix), (x), and (xi) of this update). section must be evaluated by observing a measure leads to negative unintended * * * * * consequences other than patient harm. an aide’s performance of the task with ■ 6. Section 418.312 is amended by (viii) The costs associated with a a patient or pseudo-patient. The revising paragraph (b) to read as follows: remaining subject areas may be measure outweigh the benefit of its evaluated through written examination, § 418.312 Data submission requirements continued use in the program. oral examination, or after observation of under the hospice quality reporting * * * * * a hospice aide with a patient or a program. Dated: March 29, 2021. pseudo-patient during a simulation. * * * * * Elizabeth Richter, * * * * * (b) Submission of Hospice Quality (h) * * * Reporting Program data. (1) Acting Administrator, Centers for Medicare & Medicaid Services. (1) * * * Standardized set of admission and (iii) If an area of concern is verified by discharge items Hospices are required to Dated: April 6, 2021. the hospice during the on-site visit, then complete and submit an admission Xavier Becerra, the hospice must conduct, and the Hospice Item Set (HIS) and a discharge Secretary, Department of Health and Human hospice aide must complete, a HIS for each patient to capture patient- Services. competency evaluation of the deficient level data, regardless of payer or patient [FR Doc. 2021–07344 Filed 4–8–21; 4:15 pm] skill and all related skill(s) in age. The HIS is a standardized set of BILLING CODE 4120–01–P

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