Vol. 86 Monday, No. 1 January 4, 2021

Pages 1–222

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 86, No. 1

Monday, January 4, 2021

Agriculture Department Energy Department See Animal and Plant Health Inspection Service See Federal Energy Regulatory Commission See Food and Nutrition Service RULES See Rural Business-Cooperative Service Energy Conservation Program: NOTICES Test Procedures for Small Electric Motors and Electric Request for Commodity Board Topics and Contribution of Motors, 4–25 Funding under the Agriculture and Food Research NOTICES Initiative Competitive Grants Program, 49–50 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 78–79 Animal and Plant Health Inspection Service Energy Conservation Program: NOTICES Decision and Order Granting a Waiver to Senneca Agency Information Collection Activities; Proposals, Holdings from the Walk-in Cooler and Walk-in Submissions, and Approvals: Freezer Test Procedure, 75–78 SARS-CoV-2 Testing in Animals Reporting Activities, 50– 51 Environmental Protection Agency NOTICES Centers for Medicare & Medicaid Services Asbestos (Part 1: Chrysotile Asbestos); Final Toxic NOTICES Substances Control Act Risk Evaluation, 89–91 Agency Information Collection Activities; Proposals, Proposed Consent Decree: Submissions, and Approvals, 99–100 Clean Air Act Citizen Suit, 88–89 Proposed Settlement Agreement: Coast Guard Challenge to Clean Air Act, 87–88 PROPOSED RULES Export-Import Bank Safety Zones: NOTICES Super Bowl LV; Hillsborough Bay and River, Tampa, FL, Meetings; Sunshine Act, 91–92 32–34 Federal Aviation Administration Commerce Department RULES See Foreign-Trade Zones Board Standard Instrument Approach Procedures, and Takeoff See International Trade Administration Minimums and Obstacle Departure Procedures: See National Institute of Standards and Technology Miscellaneous Amendments, 25–28 See National Oceanic and Atmospheric Administration Federal Communications Commission Education Department PROPOSED RULES NOTICES Pallone-Thune Telephone Robocall Abuse Criminal Submission of Data by State Educational Agencies: Enforcement and Deterrence Act, 44–47 Submission Dates for State Revenue and Expenditure Reports for Fiscal Year 2020, Revisions to Those Federal Emergency Management Agency Reports, and Revisions to Prior Fiscal Year Reports, NOTICES 74–75 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Employee Benefits Security Administration Rated Orders, Adjustments, Exceptions, or Appeals under NOTICES the Emergency Management Priorities and Proposed Exemption for Certain Prohibited Transaction Allocations System, 113–114 Restrictions: Goldman Sachs Group, Inc., New York, NY; Goldman Federal Energy Regulatory Commission Sachs or the Applicant, 131–144 NOTICES Combined Filings, 80–82 Employment and Training Administration Environmental Assessments; Availability, etc.: RULES Southern Star Central Gas Pipeline, Inc., 86–87 Discretionary Review by the Secretary of Labor, 1–4 Filing: PROPOSED RULES Hoosier Energy Rural Electric Cooperative, Inc., 86 Discretionary Review by the Secretary of Labor, 29–32 Initial Market-Based Rate Filings Including Requests for NOTICES Blanket Section 204 Authorizations: Agency Information Collection Activities; Proposals, RE Slate 1, LLC, 85 Submissions, and Approvals: Petition for Declaratory Order: YouthBuild Reporting System, 145 Hollow Road Solar, LLC, 85–86 Revised Schedule of Remuneration for the Unemployment Request under Blanket Authorization and Establishing Compensation for Ex-Servicemembers Program Intervention and Protest Deadline: Reflecting Military Pay Increase Effective January 1, Algonquin Gas Transmission, LLC, 79–80 2021, 144–145 Colorado Interstate Gas Co., LLC, 82–83

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Request under Blanket Authorization: Foreign-Trade Zones Board Texas Gas Transmission, LLC, 83–85 NOTICES Approval of Expansion of Subzone 18F: Federal Motor Carrier Safety Administration Lam Research Corp., Fremont, CA, 55–56 NOTICES Hours of Service of Drivers: Government Accountability Office Proposed Regulatory Guidance Concerning the Use of a NOTICES Commercial Motor Vehicle for Yard Moves, 179–181 Requests for Nominations: Medicaid and Children’s Health Insurance Program Federal Reserve System Payment and Access Commission, 98 NOTICES Health and Human Services Department Agency Information Collection Activities; Proposals, See Centers for Medicare & Medicaid Services Submissions, and Approvals, 92–97 See Food and Drug Administration Change in Bank Control: See National Institutes of Health Acquisitions of Shares of a Bank or Bank Holding See Substance Abuse and Mental Health Services Company, 92 Administration Formations of, Acquisitions by, and Mergers of Bank Holding Companies, 98 Homeland Security Department Proposals to Engage in or to Acquire Companies Engaged in See Coast Guard Permissible Nonbanking Activities, 98 See Federal Emergency Management Agency RULES Fish and Wildlife Service Discretionary Review by the Secretary of Labor, 1–4 RULES PROPOSED RULES Endangered and Threatened Species: Discretionary Review by the Secretary of Labor, 29–32 Reclassification of the Endangered June Sucker to NOTICES Threatened, 192–212 Determination Pursuant to the Illegal Immigration Reform NOTICES and Immigrant Responsibility Act, 114–115 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Housing and Urban Development Department Concessions, 123–126 NOTICES Online Eastern Population Sandhill Crane Survey Data Agency Information Collection Activities; Proposals, Entry Portal, 116–118 Submissions, and Approvals: Draft Revised Boundaries: Transfer and Consolidation of Public Housing Programs, John H. Chafee Coastal Barrier Resources System; 115–116 Okaloosa and Walton Counties, FL; Beaufort and Interior Department Charleston Counties, SC, 118–123 See Fish and Wildlife Service Food and Drug Administration International Trade Administration NOTICES NOTICES Agency Information Collection Activities; Proposals, Antidumping or Countervailing Duty Investigations, Orders, Submissions, and Approvals: or Reviews: Class II Special Controls Guidance Document: Labeling Boltless Steel Shelving Units Prepackaged for Sale from Natural Rubber Latex Condoms, 109–111 the People’s Republic of China, 58–60 National Agriculture and Food Defense Strategy Survey, Certain Chassis and Subassemblies Thereof from the 104–106 People’s Republic of China, 56–58 Final Debarment Order: Citric Acid and Certain Citrate Salts from the People’s Alec Burlakoff, 102–103 Republic of China, 72–73 Jerrod Nichols Smith, 101–102 Initiation of Five-Year (Sunset) Reviews, 60–61 Joseph A. Rowan, 103–104 Uncovered Innerspring Units from the Socialist Republic Sunrise Lee, 100–101 of Vietnam, 61–63 Guidance: Wood Mouldings and Millwork Products from the Coronavirus Disease 2019, 106–109 People’s Republic of China, 67–70 Determination of Sales At Less Than Fair Value: Food and Nutrition Service Wood Mouldings and Millwork Products from Brazil, 70– NOTICES 72 Agency Information Collection Activities; Proposals, Wood Mouldings and Millwork Products from the Submissions, and Approvals: People’s Republic of China, 63–67 Supplemental Nutrition Assistance Program Quality Control Regulations, 51–52 International Trade Commission Supplemental Nutrition Assistance Program Requirement NOTICES for National Directory of New Hires Employment Complaint: Verification, 52–54 Certain Active Matrix Organic Light-emitting Diode Privacy Act; Matching Program, 54–55 Display Devices and Components Thereof, 128–129 Investigations; Determinations, Modifications, and Rulings, Foreign Assets Control Office etc.: NOTICES Certain Cloud-Connected Wood-Pellet Grills and Blocking or Unblocking of Persons and Properties, 186–189 Components Thereof, 129–130

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Magnesia Carbon Bricks from China and Mexico; Presidential Documents Institution of Five-Year Reviews, 126–128 PROCLAMATIONS Special Observances: Justice Department Martyrdom of Saint Thomas Becket; 850th Anniversary NOTICES (Proc. 10129), 213–217 Proposed Consent Decree: EXECUTIVE ORDERS United States v. Russell Kirk, et al., 130 Educational Opportunity; Effort to Expand Through School Choice (EO 13969), 219–221 Labor Department See Employee Benefits Security Administration Rural Business-Cooperative Service See Employment and Training Administration NOTICES See Wage and Hour Division Inviting applications for Value-Added Producer Grants and RULES Solicitation of Grant Reviewers; Correction, 55 Discretionary Review by the Secretary of Labor, 1–4 PROPOSED RULES Securities and Exchange Commission Discretionary Review by the Secretary of Labor, 29–32 NOTICES Application: National Highway Traffic Safety Administration Deregistration under the Investment Company Act of PROPOSED RULES 1940, 157 Federal Motor Vehicle Safety Standards: Meetings; Sunshine Act, 157 Child Restraint Systems, Incorporation by Reference, 47– Self-Regulatory Organizations; Proposed Rule Changes: 48 Cboe BYX Exchange, Inc., 158–159 NOTICES Cboe BYX Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe Petition for Decision of Inconsequential Noncompliance: EDGA Exchange, Inc.; Cboe EDGX Exchange, Inc., Goodyear Tire and Rubber Co., 181–182 163–164 Porsche Cars North America, Inc., 184–186 ICE Clear Europe, Ltd., 169–172 Petition for Decision: Long-Term Stock Exchange, Inc., 164–168 Nonconforming Model Year 1997 Jeep Wrangler Multi- MEMX, LLC, 152–157 purpose Vehicles are Eligible for Importation, 183– New York Stock Exchange, LLC, 148–152 184 NYSE Arca, Inc., 159–161 The Depository Trust Co., 162–163 National Institute of Standards and Technology PROPOSED RULES Small Business Administration Rights to Federally Funded Inventions and Licensing of NOTICES Government Owned Inventions, 35–44 Agency Information Collection Activities; Proposals, Submissions, and Approvals: National Institutes of Health Paycheck Protection Program, 172–173 NOTICES State Department Meetings: National Toxicology Program Board of Scientific NOTICES Counselors, 111–112 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Career Connections Evaluation, 174 National Oceanic and Atmospheric Administration TechGirls Evaluation, 178–179 NOTICES Global Magnitsky Human Rights Accountability Act Annual Requests for Nominations: Report, 174–178 Western and Central Pacific Fisheries Commission Permanent Advisory Committee, 73–74 Substance Abuse and Mental Health Services Administration Nuclear Regulatory Commission NOTICES NOTICES Certified Laboratories and Instrumented Initial Testing Meetings; Sunshine Act, 146 Facilities: List of Facilities which Meet Minimum Standards to Postal Regulatory Commission Engage in Urine and Oral Fluid Drug Testing for NOTICES Federal Agencies, 112–113 New Postal Products, 146–147 Transportation Department Postal Service See Federal Aviation Administration NOTICES See Federal Motor Carrier Safety Administration International Product Change: See National Highway Traffic Safety Administration International Priority Airmail, Commercial ePacket, Priority Mail Express International, Priority Mail Treasury Department International and First-Class Package International See Foreign Assets Control Office Service Agreement, 147–148 NOTICES International Priority Airmail, International Surface Air Agency Information Collection Activities; Proposals, Lift, Commercial ePacket, Priority Mail Express Submissions, and Approvals: International, Priority Mail International and First- Internal Revenue Service Request for Section 754 Class Package International Service Agreement, 148 Revocation, 189

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Veterans Affairs Department Part III NOTICES Presidential Documents, 213–217, 219–221 Meetings: Veterans and Community Oversight and Engagement Board, 189–190 Reader Aids Wage and Hour Division Consult the Reader Aids section at the end of this issue for RULES phone numbers, online resources, finding aids, and notice Discretionary Review by the Secretary of Labor, 1–4 PROPOSED RULES of recently enacted public laws. Discretionary Review by the Secretary of Labor, 29–32 To subscribe to the Federal Register Table of Contents electronic mailing list, go to https://public.govdelivery.com/ accounts/USGPOOFR/subscriber/new, enter your e-mail Separate Parts In This Issue address, then follow the instructions to join, leave, or manage your subscription. Part II Interior Department, Fish and Wildlife Service, 192–212

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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: 10129...... 215 Executive Orders: 13969...... 219 10 CFR 431...... 4 14 CFR 97 (2 documents) ...... 27, 7 20 CFR 655...... 1 Proposed Rules: 655...... 29 29 CFR 18...... 1 503...... 1 Proposed Rules: 18...... 29 503...... 29 33 CFR Proposed Rules: 165...... 32 37 CFR Proposed Rules: 401...... 35 404...... 35 47 CFR 0...... 44 64...... 44 49 CFR Proposed Rules: 571...... 47 50 CFR 17...... 192

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Rules and Regulations Federal Register Vol. 86, No. 1

Monday, January 4, 2021

This section of the FEDERAL REGISTER Departments receive significant adverse Information Relay Service at (800) 877– contains regulatory documents having general comment, the Departments will publish 8339. applicability and legal effect, most of which a timely withdrawal in the Federal SUPPLEMENTARY INFORMATION: This are keyed to and codified in the Code of Register informing the public that this preamble is divided into five sections: Federal Regulations, which is published under DFR will not take effect (see Section I, 50 titles pursuant to 44 U.S.C. 1510. Section I describes the process of Direct Final Rule Published rulemaking using a direct final rule with The Code of Federal Regulations is sold by Concurrently With Companion a companion proposed rule; Section II the Superintendent of Documents. Proposed Rule, for more details on this provides general background process). To ensure consideration, information on the rulemaking; Section comments must be in writing and must III summarizes the regulatory text; DEPARTMENT OF HOMELAND be received by January 19, 2021. Section IV covers the administrative SECURITY ADDRESSES: You may send comments, requirements for this rulemaking; and RIN 1615–AC63 identified by Regulatory Identification Section V provides additional Number (RIN) 1290–AA43, information and instructions to those DEPARTMENT OF LABOR electronically only, consistent with the wishing to comment on the rule. following instructions. Submit This final rule is not an Executive Employment and Training comments, read background documents, Order 13771 regulatory action because it Administration and read comments received through is not significant under Executive Order the Federal eRulemaking Portal at 12866. Pursuant to the Congressional 20 CFR Part 655 http://www.regulations.gov. To locate Review Act (5 U.S.C. 801 et seq.), the this rulemaking, use docket number Office of Information and Regulatory Office of the Secretary DOL–2020–0019 key words such as Affairs designated this as not a major ‘‘Office of Administrative Law Judges’’ rule as defined by 5 U.S.C. 804(2). 29 CFR Part 18 or ‘‘Rules of Practice and Procedure for Administrative Hearings Before the I. Direct Final Rule Published Wage and Hour Division Office of Administrative Law Judges.’’ Concurrently With Companion Instructions for submitting comments Proposed Rule 29 CFR Part 503 are found on the www.regulations.gov The Department of Homeland [DOL Docket No. DOL–2020–0019] website. All comments must be received Security (DHS) and Department of Labor by 11:59 p.m. on the date indicated for (DOL) (collectively, the Departments) RIN 1290–AA43 consideration in this rulemaking. Please are simultaneously publishing with this be advised that comments received will ‘‘direct final’’ rule an identical proposed Discretionary Review by the Secretary be posted without change to http:// rule elsewhere in this issue of the of Labor www.regulations.gov, including any Federal Register, with an identical AGENCY: U.S. Citizenship and personal information provided. change to the regulatory text. In direct Immigration Services, Department of Therefore, the Departments final rulemaking, an agency publishes a Homeland Security; and Office of the recommend that commenters safeguard final rule with a statement that the rule Secretary, Employment and Training their personal information by not will go into effect unless the agency Administration, and Wage and Hour including Social Security numbers, receives significant adverse comments Division, Department of Labor. personal addresses, telephone numbers, within a specified period. If the agency ACTION: Direct final rule. and email addresses in comments. It is receives no significant adverse the responsibility of the commenters to comments in response to the direct final SUMMARY: The Department of Homeland safeguard their information. rule, the DFR goes into effect. If the Security and the Department of Labor If you need assistance to review the agency receives significant adverse (DOL) are jointly issuing this direct final comments of the rulemaking, the comments, the agency withdraws the rule to extend DOL’s recently Department will consider providing the direct final rule and treats such established system of discretionary comments and the proposed rule in comments as submissions in response to Secretary of Labor review to H–2B other formats upon request. For the proposed rule. The proposed rule temporary labor certification cases (H– assistance to review the comments or provides the procedural framework to 2B cases) pending before or decided by obtain the direct final rule in an finalize the proposed regulatory changes the Department of Labor’s Board of alternate format, contact Mr. Todd through a final rule. Agencies typically Alien Labor Certification Appeals and to Smyth, General Counsel, U.S. use direct final rulemaking when they make technical, conforming changes to Department of Labor, at (513) 684–3252. anticipate a rule will be non- regulations governing the timing and FOR FURTHER INFORMATION CONTACT: controversial. finality of those decisions and of Todd Smyth, General Counsel, U.S. The Departments have determined decisions from the Department of Department of Labor, Office of that this rule is suitable for direct final Labor’s Administrative Review Board in Administrative Law Judges, 800 K Street rulemaking. The revision to DOL’s H–2B cases. NW, Washington, DC 20001–8002; internal adjudicatory processes would DATES: This direct final rule (DFR) is telephone (513) 684–3252. Individuals implement the mechanism by which the effective February 3, 2021 unless with hearing or speech impairments Secretary of Labor (Secretary) can significant adverse comment is may access the telephone number above review H–2B cases pending before or submitted by January 19, 2021. If the by TTY by calling the toll-free Federal decided by the Board of Alien Labor

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Certification Appeals (BALCA) and and Training Administration’s Secretary of Labor will rely on BALCA decisions of the Administrative Review adjudication of foreign labor to assist him in identifying cases where Board (ARB)—a power the Secretary certification applications. It was created secretarial review may be warranted. already possesses with respect to other by regulation to exercise delegated Also consistent with current practices at cases pending before or decided by authority on behalf of the Secretary of DOL and other agencies, the BALCA under DOL’s recent final rule, Labor. Its existence is neither compelled Departments do not anticipate that the Rules Concerning Discretionary Review nor governed by statute, and it is power of secretarial review over H–2B by the Secretary, 85 FR 30608 (May 20, entrusted with the power to issue final cases will be used often. The 2020), and, with respect to ARB agency decisions in the name of the Departments similarly anticipate that decisions in H–2B cases, reflects a Secretary of Labor. Earlier this year, secretarial review—while completely power he already possesses pursuant to DOL issued regulations establishing a within the Secretary’s discretion as the the Secretary’s Order 01–2020, mechanism by which the Secretary can principal officer accountable for DOL’s Delegation of Authority and Assignment exercise review of decisions issued by activities—will typically be reserved for of Responsibility to the Administrative BALCA on his behalf in the H–2A, CW– matters of significant importance. Review Board, 85 FR 13186 (Mar. 6, 1, and PERM programs. This rule will Finally, DOL will ensure that the 2020). This is a rule of agency apply the same mechanism for review secretarial review process will continue management and personnel and is over decisions issued by BALCA in the to be accomplished in a manner that entirely a procedural change to how H–2B program. complies with any applicable legal officers within DOL exercise delegated To ensure that the Secretary has the requirements. authority on behalf of the Secretary; ability to properly supervise and direct The Departments appreciate the therefore, the Departments are not the actions of the Department he expeditious nature of BALCA required to engage in a notice-and- supervises, earlier this year the proceedings involving temporary labor comment process to issue this rule. See Secretary of Labor also established a certifications and, as with the existing 5 U.S.C. 553(a)(2), (b)(A). Further, system of discretionary secretarial system of review, do not anticipate that discretionary review by an agency head review over the decisions of the ARB. secretarial review over H–2B cases will over adjudicatory decisions exists in See Secretary of Labor’s Order No. 01– significantly disrupt or otherwise many other executive branch agencies, 2020. DOL’s authority to effect this impede the way such cases are currently including the Department of Justice, the reform, as well as the related processed. As noted above, the Department of the Interior, and the rulemaking undertaken earlier this year Departments expect that secretarial Department of Education. The rule is to establish discretionary review over review over BALCA’s H–2B decisions thus consistent with well-known and decisions of and appeals before BALCA, will likely not be exercised often. well-established models of internal derives from 5 U.S.C. 301, which Further, BALCA decisions will remain agency review both at DOL and at other authorizes the heads of agencies to the Secretary of Labor’s final agencies. regulate the internal operations of their administrative decision unless the The comment period for the proposed departments; 5 U.S.C. 305, which Secretary himself assumes jurisdiction rule runs concurrently with the provides for continuing review of over the case. For example, once comment period for this DFR. Any agency operations; and the Secretary’s BALCA issues a decision that grants a comments received in response to the authority to administer the statutes and labor certification or remands for further proposed rule will also be considered programs at issue in ARB and BALCA processing, the private party in the case comments regarding the direct final rule proceedings, including the H–2B will be able to proceed immediately to and vice versa. For purposes of this temporary-labor-certification and the next step of the application process. rulemaking, a significant adverse enforcement programs provided for in The private party will be delayed in comment is one that addresses (1) why DHS and DOL’s 2015 joint rules. In doing so only if the Secretary later the rule is inappropriate, including combination, these authorities establish decides to undertake review. Moreover, challenges to the rule’s underlying many of the powers of DOL within the as it does now, 29 CFR 18.95 will premise or approach; or (2) why the rule Office of the Secretary, and give the continue to limit any potential will be ineffective or unacceptable Secretary of Labor wide latitude to uncertainty that may exist because of without a change. In determining delegate those powers to his the possibility of secretarial review by whether a significant adverse comment subordinates on the terms he deems placing strict time limits on when the counsels in favor of withdrawal of the appropriate. Thus, the Secretary of Secretary of Labor will have the option direct final rule, the Departments will Labor has the power to delegate his of assuming jurisdiction over a case. consider whether the comment raises an authority to appropriately supervise the As noted in the DOL’s prior issue serious enough to warrant a adjudicatory process within DOL, and rulemaking establishing secretarial substantive response. A comment has similarly exercised that same review over other BALCA cases, 85 FR recommending an addition to the rule authority to assert his decision-making 30608, the Departments have will not be considered significant and prerogatives by modifying the terms on determined that it is appropriate to adverse unless the comment explains which the members of the ARB and issue jointly this rule regarding the how the direct final rule would be BALCA exercise his delegated authority. Secretary of Labor’s review authority ineffective or unacceptable without the The Departments do so through this over H–2B cases under 29 CFR 18.95. addition. rulemaking with respect to H–2B cases This determination follows conflicting The Departments request comments pending before or decided by BALCA. court decisions concerning DOL’s on all issues related to this rule, This rule, like those actions authority to issue legislative rules on its including economic or other regulatory undertaken earlier this year, preserves own to carry out its duties in the H–2B impacts of this rule on the public. the existing structures by which DOL program. Although the Departments processes adjudications while giving the each have authority to issue rules II. Background and Joint Issuance for Secretary the option, in his sole implementing their respective duties in This Rulemaking discretion, to initiate review directly. As the H–2B program, including rules BALCA has authority over appeals with DOL’s existing mechanisms of providing for secretarial review, the from the decisions of the Employment secretarial review, under this reform the Departments determined to make the

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amendments to the applicable another agency; and will not materially and approved this document, has regulations jointly to ensure that there alter the budgetary impact of delegated the authority to electronically can be no question about the authority entitlements, grants, user fees, or loan sign this document to Chad R. Mizelle, underlying such amendments. This programs or the rights and obligations of who is the Senior Official Performing approach is consistent with the joint recipients thereof. Furthermore, the rule the Duties of the General Counsel for rulemaking governing the Temporary does not raise a novel legal or policy DHS, for purposes of publication in the Non-Agricultural Employment of H–2B issue arising out of legal mandates, the Federal Register. Aliens in the United States, 80 FR 24042 President’s priorities, or the principles V. Notice and Comment (Apr. 29, 2015) (codified at 8 CFR part set forth in the Executive order. 214, 20 CFR part 655, and 29 CFR part Accordingly, OMB has waived A. APA Requirements for Notice and 503). review. Comment III. Discussion of Changes Regulatory Flexibility Act of 1980 This rule addresses matters of internal Through this rule, the Departments Because no notice of proposed agency management and personnel, as revise 29 CFR part 18 by modifying the rulemaking is required for this rule well as matters of agency organization, conditions under which an H–2B under section 553 of the Administrative practice and procedure, and decision of BALCA becomes the final Procedure Act, the regulatory flexibility consequently are exempt from the decision of DOL and by extending to H– analysis requirements of the Regulatory notice and public comments 2B cases the process by which the Flexibility Act, 5 U.S.C. 603, 604, do not requirements of the Administrative Secretary of Labor may exercise apply to this rule. See 5 U.S.C. 603(a), Procedure Act. See 5 U.S.C. 553(a)(2), discretionary review over cases pending 604(a). (b)(A). Nevertheless, the Departments wish to provide the public an before or decided by the BALCA. Paperwork Reduction Act Technical amendments are also made to opportunity to submit comments. The Departments have determined 20 CFR part 655, subpart A, to B. Publication of Comments harmonize the manner in which BALCA that this rule is not subject to the issues decisions on behalf of the requirements of the Paperwork Please be advised that the Secretary with the system of Reduction Act, 44 U.S.C. 3501 et seq., Departments will generally post all discretionary review established in 29 as this rulemaking does not involve any comments without making any change CFR part 18. Additionally, this rule collections of information. See 5 CFR to the comments, including any modifies or removes the reference to 1320.3(c). personal information provided. The ‘‘final’’ decisions of the ARB in 20 CFR Unfunded Mandates Reform Act of 1995 www.regulations.gov website is the 655.73(g)(6) and 29 CFR 503.55 to and Executive Order 13132, Federalism Federal e-rulemaking portal, and all reflect that the finality of ARB decisions comments received will be available The Departments have reviewed this is governed by Secretary’s Order 01– and accessible to the public on this rule in accordance with the 2020. website. Therefore, the Departments requirements of Executive Order 13132 recommend that commenters safeguard IV. Administrative Requirements and the Unfunded Mandates Reform Act their personal information by not of 1995, 2 U.S.C. 1501 et seq., and have Executive Orders 12866, Regulatory including social security numbers, found no potential or substantial direct Planning and Review, and 13563, personal addresses, telephone numbers, effects on the states, on the relationship Improving Regulation and Regulatory or email addresses in comments. It is between the National Government and Review the responsibility of the commenter to the states, or on the distribution of safeguard his or her information. Executive Orders 12866 and 13563 power and responsibilities among the direct agencies to assess the costs and various levels of government. As there C. Access to Docket benefits of available regulatory is no Federal mandate contained herein alternatives and, if regulation is that could result in increased In addition to all comments received necessary, to select regulatory expenditures by state, local, and tribal by the Departments being accessible on approaches that maximize net benefits governments, or by the private sector, www.regulations.gov, the Departments (including potential economic, the Departments have not prepared a will make all the comments available for environmental, public health and safety budgetary impact statement. public inspection during normal effects, distributive impacts, and business hours at the office listed in the equity). Executive Order 13563 Executive Order 13175, Consultation ADDRESSES section above. If you need emphasizes the importance of and Coordination With Indian Tribal assistance to review the comments, the quantifying both costs and benefits, of Governments Departments will provide you with reducing costs, of harmonizing rules, The Departments have reviewed this appropriate aids such as readers or print and of promoting flexibility. rule in accordance with Executive Order magnifiers. The Departments will make This rule has been drafted and 13175 and has determined that it does copies of the rule available, upon reviewed in accordance with Executive not have ‘‘tribal implications.’’ The rule request, in large print or electronic file Order 12866. The Departments, in does not ‘‘have substantial direct effects on portable digital media. The coordination with the Office of on one or more Indian tribes, on the Departments will consider providing the Management and Budget (OMB), relationship between the Federal rule in other formats upon request. To determined that this rule is not a government and Indian tribes, or on the schedule an appointment to review the significant regulatory action under distribution of power and comments or obtain the rule in an section 3(f) of Executive Order 12866 responsibilities between the Federal alternate format, contact Todd Smyth, because the rule will not have an annual government and Indian tribes.’’ General Counsel, U.S. Department of effect on the economy of $100 million Labor, Office of Administrative Law or more; will not create a serious Signature Judges, 800 K Street NW, Washington, inconsistency or otherwise interfere The Acting Secretary of Homeland DC 20001–8002; telephone (513) 684– with an action taken or planned by Security, Chad F. Wolf, having reviewed 3252.

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Individuals with hearing or speech U.S.C. 1101 note); sec. 412(e), Pub. L. 105– (b) * * * impairments may access the telephone 277, 112 Stat. 2681; 8 CFR 214.2(h); and 28 (1) In any case for which number above by TTY by calling the U.S.C. 2461 note, Pub. L. 114–74 at section administrative review is sought or 701. handled in accordance with 20 CFR toll-free Federal Information Relay Subparts L and M issued under 8 U.S.C. Service at (800) 877–8339. 1101(a)(15)(H)(i)(c) and 1182(m); sec. 2(d), 655.61, 655.171(a), or 655.461, at any point from when the BALCA receives a List of Subjects Pub. L. 106–95, 113 Stat. 1312, 1316 (8 U.S.C. 1182 note); Pub. L. 109–423, 120 Stat. 2900; request for review until the passage of 20 CFR Part 655 and 8 CFR 214.2(h). 10 business days after the date on which Administrative practice and ■ 2. In § 655.61, revise paragraph (e) to BALCA has issued its decision. procedure, Labor certification processes read as follows: * * * * * for temporary employment. § 655.61 Administrative review. Title 29: Labor 29 CFR Part 18 * * * * * Wage and Hour Division Administrative practice and (e) Review. The BALCA must review procedure, Labor. the CO’s determination only on the PART 503—ENFORCEMENT OF basis of the Appeal File, the request for OBLIGATIONS FOR TEMPORARY 29 CFR Part 503 review, and any legal briefs submitted NONIMMIGRANT NON- Administrative practice and and must, except in cases over which AGRICULTURAL WORKERS procedure, Obligations, Enforcement, the Secretary has assumed jurisdiction DESCRIBED IN THE IMMIGRATION Immigration and Nationality Act, pursuant to 29 CFR 18.95: AND NATIONALITY ACT Temporary alien non-agricultural (1) Affirm the CO’s determination; or ■ workers. (2) Reverse or modify the CO’s 7. The authority citation for part 503 continues to read as follows: For the reasons discussed in the joint determination; or preamble, part 655 of title 20 of the (3) Remand to the CO for further Authority: 8 U.S.C. 1101(a)(15)(H)(ii)(b); 8 Code of Federal Regulations and parts action. U.S.C. 1184; 8 CFR 214.2(h); 28 U.S.C. 2461 18 and 503 of title 29 of the Code of * * * * * note (Federal Civil Penalties Inflation ■ 3. In § 655.72, revise paragraph (b)(3) Adjustment Act of 1990); Pub. L. 114–74 at Federal Regulations are amended as § 701. follows: to read as follows: ■ 8. Revise § 503.55 to read as follows: DEPARTMENT OF LABOR § 655.72 Revocation. § 503.55 Decision of the Administrative Title 20: Employees’ Benefits * * * * * (b) * * * Review Board. Employment and Training (3) Appeal. An employer may appeal The ARB’s decision will be issued Administration a Notice of Revocation, or a final within 90 days from the notice granting determination of the Administrator, the petition and served upon all parties PART 655—TEMPORARY OFLC after the review of rebuttal and the ALJ. EMPLOYMENT OF FOREIGN evidence, according to the appeal WORKERS IN THE UNITED STATES Eugene Scalia, procedures of § 655.61. Secretary of Labor. ■ 1. The authority citation for part 655 * * * * * Chad R. Mizelle, ■ continues to read as follows: 4. In § 655.73, revise paragraph (g)(6) Senior Official Performing the Duties of the Authority: Section 655.0 issued under 8 to read as follows: General Counsel, U.S. Department of U.S.C. 1101(a)(15)(E)(iii), 1101(a)(15)(H)(i) § 655.73 Debarment. Homeland Security. and (ii), 8 U.S.C. 1103(a)(6), 1182(m), (n), (p), [FR Doc. 2020–28951 Filed 12–30–20; 4:15 pm] * * * * * and (t), 1184(c), (g), and (j), 1188, and 1288(c) BILLING CODE 4510–HL–P and (d); sec. 3(c)(1), Pub. L. 101–238, 103 (g) * * * Stat. 2099, 2102 (8 U.S.C. 1182 note); sec. (6) ARB decision. The ARB’s decision 221(a), Pub. L. 101–649, 104 Stat. 4978, 5027 must be issued within 90 calendar days (8 U.S.C. 1184 note); sec. 303(a)(8), Pub. L. from the notice granting the petition and DEPARTMENT OF ENERGY 102–232, 105 Stat. 1733, 1748 (8 U.S.C. 1101 served upon all parties and the ALJ. 10 CFR Part 431 note); sec. 323(c), Pub. L. 103–206, 107 Stat. * * * * * 2428; sec. 412(e), Pub. L. 105–277, 112 Stat. [EERE–2017–BT–TP–0047] 2681 (8 U.S.C. 1182 note); sec. 2(d), Pub. L. Title 29: Labor 106–95, 113 Stat. 1312, 1316 (8 U.S.C. 1182 RIN 1904–AE18 note); 29 U.S.C. 49k; Pub. L. 107–296, 116 Office of the Secretary of Labor Stat. 2135, as amended; Pub. L. 109–423, 120 Energy Conservation Program: Test PART 18—RULES OF PRACTICE AND Stat. 2900; 8 CFR 214.2(h)(4)(i); 8 CFR Procedures for Small Electric Motors PROCEDURE FOR ADMINISTRATIVE 214.2(h)(6)(iii); and sec. 6, Pub. L. 115–218, and Electric Motors 132 Stat. 1547 (48 U.S.C. 1806). HEARINGS BEFORE THE OFFICE OF Subpart A issued under 8 CFR 214.2(h). ADMINISTRATIVE LAW JUDGES AGENCY: Office of Energy Efficiency and Subpart B issued under 8 U.S.C. Renewable Energy, Department of ■ 1101(a)(15)(H)(ii)(a), 1184(c), and 1188; and 8 5. The authority citation for part 18 Energy. CFR 214.2(h). continues to read as follows: ACTION: Final rule. Subpart E issued under 48 U.S.C. 1806. Authority: 5 U.S.C. 301; 5 U.S.C. 551–553; Subparts F and G issued under 8 U.S.C. 5 U.S.C. 571 note; E.O. 12778; 57 FR 7292. SUMMARY: In this final rule, the 1288(c) and (d); sec. 323(c), Pub. L. 103–206, Department of Energy (‘‘DOE’’) is further 107 Stat. 2428; and 28 U.S.C. 2461 note, Pub. ■ 6. In § 18.95, revise paragraph (b)(1) to L. 114–74 at section 701. read as follows: harmonizing its test procedures with Subparts H and I issued under 8 U.S.C. industry practice by updating a 1101(a)(15)(H)(i)(b) and (b)(1), 1182(n), (p), § 18.95 Review of decision and review by currently incorporated testing standard and (t), and 1184(g) and (j); sec. 303(a)(8), the Secretary. to reference that standard’s latest Pub. L. 102–232, 105 Stat. 1733, 1748 (8 * * * * * version, incorporating a new industry

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testing standard that manufacturers SUPPLEMENTARY INFORMATION: DOE A. Authority would be permitted to use in addition maintains or updates previously B. Background to those industry standards currently approved incorporations by reference II. Synopsis of the Final Rule incorporated by reference, and III. Discussion and newly incorporates by reference the A. Scope of the Test Procedures for harmonizing certain test conditions following industry standards into 10 Currently Regulated Small Electric with current industry standards to CFR part 431: Motors and Electric Motors improve the comparability of test results Canadian Standards Association (‘‘CSA’’) 1. Definition of ‘‘Small Electric Motor’’ for small electric motors. None of these C390–10, ‘‘Test methods, marking 2. Scope of the Small Electric Motor Test changes would affect the measured requirements, and energy efficiency Procedure average full-load efficiency of small levels for three-phase induction motors,’’ 3. Scope of the Electric Motor Test electric motors or the measured nominal March 2010. Procedure full-load efficiency of electric motors CSA C747–09, ‘‘Energy efficiency test B. Industry Standards 1. IEEE 112–2017 when compared to the current test methods for small motors,’’ October 2009. 2. IEC 60034–2–1:2014 procedures. C. Rated Output Power and Breakdown Copies of CSA C390–10 and CSA C747–09 DATES: The effective date of this rule is Torque of Small Electric Motors can be obtained from Canadian Standards D. Rated Values Specified for Testing February 3, 2021. The final rule changes Association, Sales Department, 5060 will be mandatory for product testing Small Electric Motors Spectrum Way, Suite 100, Mississauga, 1. Rated Frequency starting July 6, 2021. The incorporation Ontario, L4W 5N6, Canada, 1–800–463–6727, 2. Rated Load by reference of certain publications or by visiting http://www.shopcsa.ca/ 3. Rated Voltage listed in the rule is approved by the onlinestore/welcome.asp. E. Effective and Compliance Date Director of the Federal Register on Institute of Electrical and Electronics F. Test Procedure Costs and Impacts February 3, 2021. The incorporation by Engineers (‘‘IEEE’’) 112–2017, ‘‘IEEE 1. Cost Impacts for Small Electric Motors reference of certain other publications Standard Test Procedure for Polyphase 2. Cost Impacts for Electric Motors listed in this rulemaking was approved Induction Motors and Generators,’’ 3. Additional Amendments approved December 6, 2017. by the Director of the Federal Register IV. Procedural Issues and Regulatory Review IEEE 114–2010, ‘‘Test Procedure for Single- A. Review Under Executive Order 12866 on June 4, 2012. Phase Induction Motors,’’ approved B. Review Under Executive Orders 13771 ADDRESSES: The docket, which includes September 30, 2010. and 13777 Federal Register notices, public meeting Copies of IEEE 112–2017 and IEEE 114– C. Review Under the Regulatory Flexibility attendee lists and transcripts, 2010 can be obtained from Institute of Act comments, and other supporting Electrical and Electronics Engineers, 445 D. Review Under the Paperwork Reduction documents/materials, is available for Hoes Lane, P.O. Box 1331, Piscataway, NJ Act of 1995 08855–1331, (732) 981–0060, or by visiting E. Review Under the National review at http://www.regulations.gov. Environmental Policy Act of 1969 All documents in the docket are listed http://www.ieee.org. International Electrotechnical Commission F. Review Under Executive Order 13132 in the http://www.regulations.gov index. G. Review Under Executive Order 12988 However, some documents listed in the (‘‘IEC’’) 60034–1:2010, Edition 12.0 2010–02, ‘‘Rotating electric machines— H. Review Under the Unfunded Mandates index, such as those containing Part 1: Rating and performance.’’ Reform Act of 1995 information that is exempt from public IEC 60034–2–1:2014, Edition 2.0 2014–06, I. Review Under the Treasury and General disclosure, may not be publicly ‘‘Rotating electrical machines—Part 2–1: Government Appropriations Act, 1999 available. Standard methods for determining losses J. Review Under Executive Order 12630 A link to the docket web page can be and their efficiency from tests (excluding K. Review Under Treasury and General machines for traction vehicles).’’ Government Appropriations Act, 2001 found at https://www.regulations.gov/ L. Review Under Executive Order 13211 docket?D=EERE-2017-BT-TP-0047. The IEC 60051–1:2016, Edition 6.0 2016–02, ‘‘Direct acting indicating analogue M. Review Under Section 32 of the Federal docket web page contains instructions Energy Administration Act of 1974 on how to access all documents, electrical measuring instruments and their accessories—Part 1: Definitions and N. Congressional Notification including public comments, in the general requirements common to all O. Description of Materials Incorporated by docket. parts.’’ Reference IV. Approval of the Office of the Secretary For further information on how to Copies of IEC 60034–2–1:2014, IEC 60034– review the docket contact the Appliance 1:2010, and IEC 60051–1:2016 may be I. Authority and Background and Equipment Standards Program staff purchased from International The Department of Energy (‘‘DOE’’) is at (202) 287–1445 or by email: Electrotechnical Commission, 3 rue de ApplianceStandardsQuestions@ Varembe´, 1st Floor, P.O. Box 131, CH—1211 authorized to establish and amend ee.doe.gov. Geneva 20—Switzerland, +41 22 919 02 11, energy conservation standards and test or by visiting https://webstore.iec.ch/home. procedures for small electric motors and FOR FURTHER INFORMATION CONTACT: electric motors.1 (42 U.S.C. 6311(1)(A); Mr. Jeremy Dommu, U.S. Department of National Electrical Manufacturers Association (‘‘NEMA’’) MG 1–2016, 42 U.S.C. 6317(b)) The current DOE test Energy, Office of Energy Efficiency and ‘‘American National Standard for Motors procedures for small electric motors Renewable Energy, Building and Generators (‘‘NEMA MG 1–2016’’), appear at subpart X, part 431 of Title 10 Technologies Office, EE–2J, 1000 ANSI approved June 1, 2018. of the Code of Federal Regulations Independence Avenue SW, Washington, Copies of NEMA MG 1–2016 may be (‘‘CFR’’). See 10 CFR 431.444. The DC 20585–0121. Telephone: (202) 586– purchases from National Electrical current DOE test procedures for electric 9870. Email: Manufacturers Association, 1300 North 17th motors appear in appendix B to subpart ApplianceStandardsQuestions@ Street, Suite 900, Arlington, Virginia 22209, +1 703 841 3200, or by visiting https:// ee.doe.gov. 1 www.nema.org. EPCA authorized DOE to prescribe test Mr. Michael Kido, U.S. Department of procedures and energy conservation standards for Energy, Office of the General Counsel, For a further discussion of these small electric motors pending a determination of GC–33, 1000 Independence Avenue SW, standards, see section IV.O. feasibility and justification (42 U.S.C. 6317(b)), Washington, DC 20585–0121. completed on July 10, 2006. 71 FR 38799. DOE is Table of Contents obligated to review (and amend as needed) its test Telephone: (202) 586–8145. Email: procedures and standards under 42 U.S.C. 6314(a) [email protected]. I. Authority and Background and 6316(a).

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B of 10 CFR part 431 (‘‘Appendix B’’). labeling, and standards. (42 U.S.C. motors specified in EPCA, which The following sections discuss DOE’s 6316(a) and (b); 42 U.S.C. 6297) requires that DOE publish either a final authority to amend test procedures for The Federal testing requirements rule amending the test procedures or a small electric motors and electric consist of test procedures that determination that amended test motors, as well as relevant background manufacturers of covered equipment procedures are not required. (42 U.S.C. information regarding DOE’s must use as the basis for: (1) Certifying 6314(a)(1)(A)) This final rule also consideration of test procedures for to DOE that their equipment complies responds to petitions for rulemaking these motors. with the applicable energy conservation received from the National Electrical standards adopted pursuant to EPCA (42 A. Authority Manufacturers Association (‘‘NEMA’’) U.S.C. 6316(a); 42 U.S.C. 6295(s)), and and Underwriters Laboratory (‘‘UL’’) The Energy Policy and Conservation (2) making representations about the pertaining to small electric motors and Act, as amended (‘‘EPCA’’) 2 (42 U.S.C. efficiency of that equipment. (42 U.S.C. electric motors. (See section I.B) 6291–6317), among other things, 6314(d)) Similarly, DOE uses these test authorizes DOE to regulate the energy procedures to determine whether the B. Background efficiency of a number of consumer equipment complies with relevant products and industrial equipment. standards promulgated under EPCA. (42 EPCA defines ‘‘small electric motor,’’ Title III, Part C 3 of EPCA, added by Title U.S.C. 6316(a); 42 U.S.C. 6295(s)) as ‘‘a NEMA general purpose alternating IV, section 441(a) of the National Energy Under 42 U.S.C. 6314, EPCA sets forth current single-speed induction motor, Conservation Policy Act (Pub. L. 95–619 criteria and procedures for prescribing built in a two-digit frame number series (Nov. 9, 1978)), established the Energy and amending test procedures for in accordance with NEMA Standards Conservation Program for Certain covered equipment. EPCA provides in Publication MG 1–1987.’’ (42 U.S.C. Industrial Equipment, which set forth a relevant part that any test procedures 6311(13)(G)) EPCA directed DOE to variety of provisions designed to prescribed or amended under this establish a test procedure for those improve the energy efficiency of certain section must be reasonably designed to small electric motors for which DOE industrial equipment. Later, the Energy produce test results which reflect the makes a determination that energy Policy Act of 1992, Public Law 102–486 energy efficiency, energy use, or conservation standards would be (October 24, 1992), further amended estimated annual operating cost of technologically feasible and EPCA by adding, among other things, covered equipment during a economically justified and would result provisions governing the regulation of representative average use cycle and in significant energy savings. (42 U.S.C. small electric motors. EPCA was further requires that test procedures not be 6317(b)(1)) On July 10, 2006, DOE amended by the American Energy unduly burdensome to conduct. (42 published its determination that energy Manufacturing Technical Corrections U.S.C. 6314(a)(2)) conservation standards for certain Act, Public Law 112–210 (December 18, In addition, if DOE determines that a polyphase and certain single-phase, 2012), which explicitly permitted DOE test procedure amendment is warranted, capacitor-start, induction-run, small to examine the possibility of regulating it must publish test procedures and offer electric motors are technologically ‘‘other motors’’ in addition to those the public an opportunity to present feasible and economically justified, and electric and small electric motors that oral and written comments on them. (42 would result in significant energy Congress had already otherwise defined U.S.C. 6314(b)) savings. 71 FR 38799. DOE later adopted and required DOE to regulate. (42 U.S.C. EPCA also requires that, at least once test procedures for small electric 6311(1)(A), 42 U.S.C. 6311(2)(B)(xiii); 42 every 7 years, DOE evaluate test motors. 74 FR 32059 (July 7, 2009) U.S.C. 6317(b)) procedures for each type of covered (‘‘July 2009 final rule’’). EPCA also The energy conservation program equipment including small electric required that following establishment of under EPCA consists essentially of four motors to determine whether amended the required test procedures, DOE test procedures would more accurately parts: (1) Testing, (2) labeling, (3) establish energy conservation standards or fully comply with the requirements Federal energy conservation standards, for those small electric motors for which for the test procedures to not be unduly and (4) certification and enforcement test procedures were prescribed. (42 burdensome to conduct and be procedures. Relevant provisions of U.S.C. 6317(b)(2)) DOE complied with EPCA include definitions (42 U.S.C. reasonably designed to produce test this requirement when it established 6311), test procedures (42 U.S.C. 6314), results that reflect the energy efficiency, energy conservation standards for small labeling provisions (42 U.S.C. 6315), energy use, and estimated operating electric motors. 75 FR 10874 (March 9, energy conservation standards (42 costs during a representative average 2010) (‘‘March 2010 final rule’’).4 U.S.C. 6313), and the authority to use cycle. (42 U.S.C. 6314(a)(1)) If the require information and reports from Secretary determines that a test Subsequently, DOE published an manufacturers (42 U.S.C. 6316). EPCA procedure amendment is warranted, the update to the test procedures for small includes specific authority for DOE to Secretary must publish test procedures electric motors on May 4, 2012. 77 FR establish test procedures and standards in the Federal Register and afford 26608. The test procedures for small for small electric motors. (42 U.S.C. interested persons an opportunity (of electric motors appear at 10 CFR 6317(b)) not less than 45 days’ duration) to 431.444, and incorporate certain Federal energy efficiency present oral and written data, views, industry standards from the Institute of requirements for covered equipment and arguments on the test procedures. Electrical and Electronics Engineers established under EPCA generally (42 U.S.C. 6314(b)) DOE is publishing (‘‘IEEE’’) and Canadian Standards supersede State laws and regulations this final rule to satisfy the 7-year Association (‘‘CSA’’), as listed in Table concerning energy conservation testing, review requirement for small electric I–1.

2 All references to EPCA in this document refer 3 For editorial purposes, upon codification into 4 A technical correction was published on April to the statute as amended through America’s Water the U.S. Code, Part C was re-designated as Part A– 5, 2010, to correct the compliance date. 75 FR Infrastructure Act of 2018, Public Law 115–270 1. 17036. (Oct. 23, 2018).

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TABLE I–1—INDUSTRY STANDARDS CURRENTLY INCORPORATED BY REFERENCE FOR SMALL ELECTRIC MOTORS

Equipment description Industry test procedure

Single-phase small electric motors ...... IEEE 114–2010, CSA C747–09. Polyphase small electric motors less than or equal to 1 horsepower ..... IEEE 112–2004 Test Method A, CSA C747–09. Polyphase small electric motors greater than 1 horsepower ...... IEEE 112–2004 Test Method B, CSA C390–10.

More recently, DOE published a the comment period for the July 2017 to the comments received to the July request for information pertaining to the RFI in a notice published on August 30, 2017 RFI and proposing to further test procedures for small electric motors 2017. 82 FR 41179. clarify the test procedures for small and electric motors in July 2017. 82 FR Separate from the July 2017 RFI, electric motors and incorporate an 35468 (July 31, 2017) (‘‘July 2017 RFI’’). NEMA and Underwriter Laboratories additional industry test method, IEC In the July 2017 RFI, DOE solicited (‘‘UL’’) independently submitted written 60034–2–1:2014 industry test standard, public comments, data, and information petitions requesting that certain for testing small electric motors and on all aspects of, and any issues or portions of International electric motors.6 84 FR 17004 (April 23, Electrotechnical Commission (‘‘IEC’’) problems with, the existing DOE test 2019). The April 2019 NOPR also 60034–2–1:2014 be adopted as a procedure for small electric motors, addressed the test procedures for permitted alternative test method for including on any needed updates or small electric motors and electric electric motors in response to the revisions. DOE also discussed potential motors.5 DOE published a notice of November 2017 notice of petition. Id. categories of electric motors (as defined receipt of these petitions on November DOE received four comments in at 10 CFR 431.12) that may be 2, 2017. 82 FR 50844 (‘‘November 2017 response to the April 2019 NOPR from considered in future DOE test notice of petition’’). the interested parties listed in Table I– procedures. 82 FR 35470–35474. At the On April 23, 2019, DOE published a 2. request of commenters, DOE extended NOPR (‘‘April 2019 NOPR’’) responding

TABLE I–2—APRIL 2019 NOPR WRITTEN COMMENTS

Organization(s) Reference in this final rule Organization type

Appliance Standards Awareness Project, Alliance to Save Energy, California Energy Efficiency Advocates ...... Efficiency Organizations. Commission, Natural Resources Defense Council. Association of Home Appliance Manufacturers & Air-Conditioning, Heating, and Re- AHAM and AHRI ...... Trade Associations. frigeration Institute. Pacific Gas and Electric Company, San Diego Gas and Electric, and Southern Cali- CA IOUs ...... Utilities. fornia Edison. National Electrical Manufacturers Association ...... NEMA ...... Trade Association.

II. Synopsis of the Final Rule (2) Incorporating by reference as an motors based on NEMA MG 1–2016; alternative test procedure for the and 7 In this final rule, DOE is amending 10 measurement of energy efficiency in CFR part 431 as follows: (4) Specifying the frequency used for small electric motors and electric testing by defining ‘‘rated frequency,’’ (1) Updating the referenced industry motors testing standard IEC 60034–2– and specify that manufacturers select 1:2014, ‘‘Standard methods for testing standard for measuring the the voltage used for testing by defining determining losses and efficiency from energy efficiency of small electric ‘‘rated voltage.’’ motors and electric motors to its latest tests (excluding machines for traction Table II–1 summarizes the test version, IEEE 112–2017, ‘‘IEEE Standard vehicles);’’ procedure amendments compared to the Test Procedure for Polyphase Induction (3) Adding definitions for ‘‘rated load,’’ ‘‘rated output power,’’ and current test procedure as well as the Motors and Generators;’’ ‘‘breakdown torque’’ of small electric reason for each change. TABLE II–1—SYNOPSIS OF THE NOTICE OF TEST PROCEDURE

Current test procedure NOPR test procedure Final rule test procedure Reason

Incorporates by reference IEEE 112– —Proposed adding IEEE 112–2017 as Replaces IEEE 112–2004 with IEEE —Achieves consistency with industry 2004 to measure full-load efficiency an alternative to IEEE 112–2004. 112–2017 (considered equivalent). update to IEEE 112–2017. of polyphase small electric motors. The IEEE 112–2017 version includes —Addresses comments in response to the following updates compared to the April 2019 NOPR that including IEEE 112–2004: both the 2004 and 2017 versions of (1) Updates to certain requirements re- IEEE 112 is unnecessary because garding measurement instrument se- they are equivalent. See section lection and accuracy. III.B.1 for further discussion.

5 The NEMA petition and work paper are available at https://www.regulations.gov/ www.regulations.gov under docket number EERE– available at https://www.regulations.gov/ document?D=EERE-2017-BT-TP-0047-0029. 2017–BT–TP–0047. document?D=EERE-2017-BT-TP-0047-0028. The UL 6 All comments received in response to the July 7 Approved by ANSI on June 1, 2018 with 2018 petition and supporting documentation are 2017 TP RFI are available for review at http:// supplements. DOE is not incorporating by reference these supplements as part of this final rule.

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TABLE II–1—SYNOPSIS OF THE NOTICE OF TEST PROCEDURE—Continued

Current test procedure NOPR test procedure Final rule test procedure Reason

(2) Alignment of core loss calculation with CSA 390–10 and Method 2–1– 1B of IEC 60034–2–1:2014. Does not incorporate by reference IEC —Proposed adding Method 2–1–1B of Identical to the NOPR ...... Addresses suggestions offered in in- 60034–2–1:2014. IEC 60034–2–1:2014 as an alter- dustry petition (EERE–2017–BT–TP– native to IEEE 112–2004 Test Meth- 0047–0030). od B, IEEE 112–2017 Test Method B and CSA C390–10. —Proposed adding Method 2–1–1A of IEC 60034–2–1:2014 as an alter- native to IEEE 114–2010, IEEE 112– 2004, IEEE 112–2017 Test Method A and CSA C747–09. For Small Electric Motors: Specifies —Proposed defining ‘‘rated load’’ (and Similar to the NOPR. Clarifies that —Reflects industry practice and im- testing at rated load but does not de- ‘‘rated output power’’ and ‘‘break- DOE will not require additional test- proves the representativeness of the fine that term. down torque’’ to support the defini- ing and measurement of breakdown test procedure. tion of ‘‘rated load’’) of small electric torque. Also clarifies the definition of —Addresses comments to the April motors based on NEMA MG 1–2016. breakdown torque. 2019 NOPR regarding testing and reporting. See section III.C for further discussion. For Small Electric Motors: Specifies —Proposed defining ‘‘rated voltage,’’ Similar to the NOPR. Clarifies further Improves repeatability of the test pro- testing at rated voltage and rated fre- which provides that manufacturers that the rated voltage must be one of cedure. quency, but does not define those select the voltage that is used for the voltages used by the manufac- terms. testing, and ‘‘rated frequency’’. turer for making representation of the small electric motor performance.

DOE has determined that the that are built in accordance with U.S. 10883. DOE determined for purposes of amendments described in section III of customary units of measurement. its regulations that only CSIR, CSCR, this notice will not alter the measured The current definition at 10 CFR and polyphase motors are able to meet efficiency of small electric motors or 431.442 lists the criteria that must be the performance requirements in NEMA electric motors, and that the test met for a motor to be defined as a ‘‘small MG1 and are widely considered general procedures will not be unduly electric motor.’’ Under these criteria, a purpose alternating current motors, as burdensome to conduct. Discussion of small electric motor is: shown by the listings found in DOE’s actions are addressed in detail in A NEMA general purpose motor 8 manufacturers’ catalogs. Id. As such, section III of this document. that: DOE concluded that CSIR, CSCR, and • Uses alternating current, • polyphase motors are the only motor III. Discussion Is single-speed, categories that would satisfy the • Is an induction motor; and relevant criteria set by EPCA to be A. Scope of the Test Procedures for • Is built in a two-digit frame size in regulated as small electric motors. 75 FR Currently Regulated Small Electric accordance with NEMA Standards Motors and Electric Motors Publication MG 1–1987, including IEC 10874, 10883. DOE established test metric equivalent motors. See 10 CFR procedures for these three topologies in This final rule does not change the 431.442. subpart X of 10 CFR part 431. scope of the test procedure with respect DOE did not propose to modify the In response to the April 2019 NOPR, to small electric motors and electric definition of ‘‘small electric motor’’ in DOE received a number of comments motors. The scope of the test procedure the April 2019 NOPR (See 84 FR 17004, relevant to the scope of applicability for as applied to currently regulated motors 17007) and DOE did not receive any the small electric motors test is discussed in sections III.A.1 through comments suggesting that it do so. procedures. NEMA commented that III.A.3. Accordingly, DOE is not modifying the there have been no significant technological advancements for small 1. Definition of ‘‘Small Electric Motor’’ current definition of small electric motor. electric motors since the last rulemaking EPCA defines the term ‘‘small electric and that it supported maintaining the 2. Scope of the Small Electric Motor motor’’ as ‘‘a NEMA general purpose current scope of applicability. (NEMA, Test Procedure 9 alternating current single-speed No. 84 at p. 2) AHAM and AHRI also induction motor, built in a two-digit In the March 2010 final rule, DOE supported the current scope of the test procedure, (AHAM and AHRI, No. 85 at frame number series in accordance with concluded that the following motor pp. 1–2), and opposed developing NEMA Standards Publication MG 1– topologies satisfy the small electric separate test procedures and energy 1987.’’ 42 U.S.C. 6311(13)(G) In the July motor definition: Capacitor-start conservation standards for special and 2009 final rule, DOE adopted a modified induction-run (‘‘CSIR’’), capacitor-start definite purpose motors. In their view, version of this definition at 10 CFR capacitor-run (‘‘CSCR’’), and certain an expanded test procedure scope 431.442 to specify that the term also polyphase motors. 75 FR 10874, 10882– would increase costs (equipment cost, encompasses those motors that are built 8 as ‘‘IEC metric equivalent motors.’’ 74 In response to questions from NEMA and various motor manufacturers, DOE issued a 9 A notation in the form ‘‘NEMA, No. 84 at p. 2’’ FR 32059, 32062; 10 CFR 431.442. This guidance document that identifies some key design identifies a written comment: (1) Made by NEMA; specification ensures that motors that elements for consideration when determining (2) recorded in document number 84 that is filed otherwise satisfy the small electric whether a given individual motor meets the small in the docket of this test procedure rulemaking electric motor definition and is subject to the energy (Docket No. EERE–2017–BT–TP–0047) and motor definition but are built in conservation standards promulgated for small available for review at http://www.regulations.gov; accordance with metric-units are treated electric motors. See https://www.regulations.gov/ and (3) which appears on page 2 of document in a like manner as their counterparts document?D=EERE-2017-BT-TP-0047-0082. number 84.

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testing costs, and costs related to only motor categories that are general U.S.C. 6317(b)(3)) and requested that certification) and would not increase purpose motors (which is a key element DOE interpret the exemption to apply to energy savings because original to the statutory definition of this term), all small electric motors destined for or equipment manufacturers already and therefore the only categories for used in covered products or equipment. consider efficient small electric motors which DOE has authority to regulate as (AHAM and AHRI, No. 85 at p. 4) as a design option to meet the energy a small electric motor. 75 FR 10874, By statute, the small electric motor conservation standards for those 10881. Special purpose and definite standards established by DOE shall not finished products regulated by DOE. Id. purpose motors are not general purpose apply to any such motor that is a They added that an expanded scope to motors and therefore are not covered component of a covered product, or of include definite and special purpose under the statutory or regulatory covered equipment. (42 U.S.C. motors could impact the availability of definition of ‘‘small electric motor’’ and 6317(b)(3)) Accordingly, consistent with replacement parts. They noted that are not ‘‘small electric motors’’ under the statute, the test procedure as home appliances and heating, DOE’s statutory or regulatory amended in this final rule does not ventilation, and air conditioning framework.11 (See 42 U.S.C. 6311(13)(G) apply to a motor that is a component of (‘‘HVAC’’) equipment have long (defining ‘‘small electric motor’’), 42 a covered product, or of covered lifetimes and often have sizing U.S.C. 6311(13)(C) (defining ‘‘definite equipment. purpose motor’’) and 42 U.S.C. constraints. They asserted that, if motor 3. Scope of the Electric Motor Test 6311(13)(D) (defining ‘‘special purpose sizes increase in response to efficiency Procedure requirements, replacement motors may motor’’); see also generally 10 CFR no longer fit in those products using 431.442) As noted in section I.B, this final rule small electric motors.10 (AHAM and In the July 2017 RFI, DOE indicated also addresses the test procedure for AHRI, No. 85 at p. 3) that it may consider setting test electric motors in response to a petition The CA IOUs and Efficiency procedures for electric motors that are for rulemaking.12 The current electric Advocates supported expanding the considered ‘‘small’’ by customers and motor test procedure is codified at scope of the small electric motors test the electric motors industry, but that are subpart B of 10 CFR part 431. DOE did procedures to cover a broader range of not currently subject to the small not propose to amend the scope of the motors. In their view, DOE should electric motor test procedure. 82 FR electric motor test procedure. expand the scope of the small electric 35468, 35470–35471. DOE discussed Accordingly, this final rule does not motors test procedure to address a wide that the motors identified in the July change the scope of that test procedure. 2017 RFI may have similarities to range of motors that the market B. Industry Standards considers ‘‘small.’’ (CA IOUs, No. 86 at motors that are currently regulated as p. 2) The Efficiency Advocates stated small electric motors (such as The DOE test procedures rely on that DOE previously found that motors horsepower) and may be used in similar industry standards that are incorporated with the same characteristics as applications. However, DOE had not by reference at 10 CFR 431.443 for small currently regulated small electric motors concluded that the identified motors are electric motors and 10 CFR 431.15 for are widely available in larger small electric motors or electric motors electric motors. Specifically, the horsepower ranges. They referenced (nor did DOE propose such a existing DOE test procedures for small DOE’s preliminary identification conclusion). While certain commenters electric motors and electric motors rely presented in the July 2017 RFI of 11 urged DOE to expand the scope of the on the following test methods: (1) For single-phase small electric motor categories that may represent test procedures to include some or all of motors: Either IEEE 114–2010, or CSA significant shipment volumes and the 11 categories of motors identified in C747–09 (see 10 CFR 431.443(b)(1); 10 energy consumption and that were the July 2017 RFI, these commenters did CFR 431.443(c)(2); 10 CFR capable of being tested using existing not provide an explanation for how such expansion would be consistent 431.444(b)(1)); test procedures. The Efficiency (2) For polyphase small electric Advocates stated that these motor with DOE’s authority under EPCA, or how such motors should be classified motors of less than or equal to 1 hp, categories include both inefficient either Section 6.3 ‘‘Efficiency Test designs (e.g., shaded-pole) and high- and tested. AHAM and AHRI referenced the Method A, Input-Output’’ of IEEE 112– efficiency topologies (e.g., permanent statutory exemption regarding the 2004, ‘‘IEEE Standard Test Procedure for magnet and switched reluctance). application of energy conservation Polyphase Induction Motors and (Efficiency Advocates, No. 87 at p. 1) standards for small electric motors that Generators’’ (‘‘IEEE 112–2004’’) or CSA As previously stated, DOE is not are components of covered products (42 C747–09 (see 10 CFR 431.443(b)(1); 10 modifying the test procedure’s scope. CFR 431.443(c)(1)(i); 10 CFR The test procedure continues to apply 11 Under EPCA, the term ‘‘definite purpose 431.444(b)(2)); and only to small electric motors that are motor’’ means ‘‘any motor designed in standard (3) For polyphase small electric currently subject to DOE’s existing test ratings with standard operating characteristics or motors of greater than 1 hp and electric procedure at 10 CFR 431.444. As standard mechanical construction for use under service conditions other than usual or for use on a motors, either Section 6.4 ‘‘Efficiency explained in the March 2010 final rule, particular type of application and which cannot be Test Method B, Input-Output with Loss under the definition of ‘‘small electric used in most general purpose applications.’’ 42 Segregation’’ of IEEE 112–2004; or CSA motor’’ prescribed by EPCA, CSIR, U.S.C. 6311(13)(C). Similarly, EPCA defines a C390–10 (see 10 CFR 431.443(b)(2); 10 CSCR, and polyphase motors are the ‘‘special purpose motor’’ as ‘‘any motor, other than a general purpose motor or definite purpose motor, CFR 431.443(c)(1)(ii); 10 CFR which has special operating characteristics or 431.444(b)(3); 10 CFR 431.16 and 10 One of the methods for improving the special mechanical construction, or both, designed Appendix B). efficiency of an electric motor is to increase its stack for a particular application.’’ 42 U.S.C. 6311(13)(D). length—i.e., the number of rotors and stators that Given that EPCA treats these motors as being are stacked together to fit along a given motor’s separate from small electric motors, and that these 12 The NEMA petition and work paper are shaft. While this may increase the efficiency of a two categories of motors generally fall outside of available at https://www.regulations.gov/ given motor with specified horsepower and torque general purpose motor applications, coverage of document?D=EERE-2017-BT-TP-0047-0028. The UL ratings, it also results in increasing the overall definite purpose and special purpose motors cannot petition and supporting documentation are dimensions of the motor, thereby affecting its be accomplished through DOE’s authority to available at https://www.regulations.gov/ ability to fit within a given application. regulate small electric motors. document?D=EERE-2017-BT-TP-0047-0029.

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In preparation for the April 2019 rule published on May 4, 2012, ensuring that motors that have NOPR, DOE reviewed each of the commenters indicated the difference in demonstrated compliance under IEEE referenced industry standards to efficiency outcome between IEEE 112– 112–2004 methods do not require determine whether they still represent 2004 and CSA C390–10 to be within 0.2 retesting (see section III.F.1 for more the most current procedures developed percent. 84 FR 17004, 17012 citing 77 details). by industry. On February 14, 2018, IEEE FR 26608, 26622. DOE stated that the Therefore, the updates to IEEE 112– published an updated edition of the core loss calculation in IEEE 112–2017 2017 are in the following sections of the IEEE 112 standard. The other referenced aligns with the core loss calculation in CFR (as amended by this final rule): industry standards incorporated into CSA C390–10, and that based on this For small electric motors, 10 CFR DOE’s test procedure developed by CSA comparison of IEEE 112–2004 and CSA 431.443 ‘‘Materials incorporated by and IEEE remain current or have been C390–10, the impact of the core loss reference,’’ paragraph (d)(1); 10 CFR reaffirmed without changes.13 This final calculation between IEEE 112–2004 and 431.444 ‘‘Test procedures for the rule maintains the references to IEEE IEEE 112–2017 should be no greater measurement of energy efficiency,’’ 114–2010, CSA C390–10, and CSA than 0.2 percent. 84 FR 17004, 17012. paragraphs (b)(1)(vi), (b)(3)(i) and C747–09. As discussed in Section III.B.1 To avoid any potential need to retest (b)(4)(i); and 10 CFR 431.447 of this document, DOE is updating the motors that have relied on IEEE 112– ‘‘Department of Energy recognition of reference to IEEE 112 to reference the 2004 for purposes of compliance, DOE nationally recognized certification updated IEEE 112–2017 standard. As proposed to incorporate the IEEE 112– programs,’’ paragraphs (b)(4) and (c)(4). discussed in section III.B.2, DOE is also 2017 test method as an alternative to the For electric motors, 10 CFR 431.12 incorporating by reference IEC 60034– test methods incorporated in the current ‘‘Definitions’’ (the definition for 2–1:2014 as an additional alternative test procedure, while retaining the ‘‘accreditation’’); 10 CFR 431.15 test procedure for small electric motors currently incorporated IEEE 112–2004 ‘‘Materials incorporated by reference,’’ and electric motors. IEEE 112–2017 and method, and requested data comparing paragraph (d)(1); 10 CFR 431.19 IEC 60034–2–1:2014 are discussed in the results of the IEEE 112–2004 and ‘‘Department of Energy recognition of the following paragraphs. IEEE 112–2017. 84 FR 17004, 17012. accreditation bodies,’’ paragraphs (b)(4) In response to the April 2019 NOPR, and (c)(4); 10 CFR 431.20 ‘‘Department 1. IEEE 112–2017 NEMA supported updating the reference of Energy recognition of nationally On February 14, 2018, IEEE approved to IEEE 112 to its latest 2017 version recognized certification programs,’’ IEEE 112–2017, ‘‘IEEE Standard Test and noted that IEEE 112–2017 Method paragraphs (b)(4) and (c)(4); and Procedure for Polyphase Induction B resolves previous technical Appendix B to Subpart B of Part 431 Motors and Generators.’’ DOE differences between IEEE 112–2004 ‘‘Uniform test method for measuring conducted a full review of that revised Method B and CSA C390–10. NEMA nominal full load efficiency of electric testing standard to identify any changes added that both versions of IEEE 112 led motors,’’ Sections 0(d),14 2(3), 3. made relative to the industry test to equivalent results. (NEMA, No. 84 at 2. IEC 60034–2–1:2014 methods that are incorporated by p. 2) The Efficiency Advocates reference from IEEE 112–2004. In the supported referencing the latest version As discussed in section I.B, NEMA April 2019 NOPR, DOE highlighted the of IEEE 112 and urged DOE not to and UL independently submitted following changes between the 2004 and continue referencing the older version written petitions requesting that certain 2017 version: (1) Section 4, since referencing two different portions of IEC 60034–2–1:2014 be ‘‘Measurements’’ of IEEE 112–2017, procedures introduces additional adopted as a permitted alternative test includes several updates regarding variability into the DOE test procedure. method for small electric motors and instrument selection and measurement (Efficiency Advocates, No. 87 at p. 2) electric motors. Specifically, NEMA’s accuracy; and (2) the method for DOE has determined that IEEE 112– petition requested that DOE incorporate calculating core loss used in Section 6.4, 2017 will result in an accurate and IEC 60034–2–1:2014 Method 2–1–1B 15 ‘‘Efficiency Test Method B—Input- similar measurement of efficiency as as an alternative to IEEE 112–2004 Test Output with Loss Segregation’’ of IEEE compared to IEEE 112–2004. Given the Method B and CSA C390–10, which are 112–2017 was revised and aligned with expected variation of tested efficiency currently referenced in Appendix B. the efficiency test method specified in values for small electric motors and (NEMA, No. 28.2 at p. 1) UL requested CSA C390–10, currently incorporated by electric motors due to manufacturing that (1) IEC 60034–2–1:2014 Method 2– reference at 10 CFR 431.443(b)(2). 84 FR and material differences, any minor 1–1B be approved for Appendix B and 17004, 17011. DOE further noted that differences between IEEE 112–2004 and section 431.444 of 10 CFR part 431 (as this change also aligns with the Method IEEE 112–2017 will not result in any an alternative to IEEE 112–2004 Test 2–1–1B approach of IEC 60034–2– significant change in overall energy efficiency test results. This 14 Appendix B to subpart B of part 431 was 1:2014. Id. In the April 2019 NOPR, reorganized to include a new section 0 in this final DOE noted that the revisions in the 2017 determination is consistent with DOE’s rule. Section 0 details the applicability of the version aligned measurement, prior comparison of IEEE 112–2004 and industry testing standards incorporated by reference calculation methods, and CSA C390–10, as affirmed by NEMA’s and provides the specific provisions of the industry comment. Given the functional testing standards that are applicable to the DOE test instrumentation requirements with procedure and the sections of the DOE test industry practice, and that the equivalency of testing under IEEE 112– procedure in which the industry testing standards differences between the IEEE 112–2004 2004 and IEEE 112–2017, DOE is are incorporated. Because of this re-organization, and IEEE 112–2017 calculation methods incorporating IEEE 112–2017 in place of the instruction in section 3 of Appendix B to IEEE 112–2004. Referencing only the subpart B of part 431 regarding the applicability of were minimal, with both tests resulting subsequent editions of the incorporated industry in an accurate and similar measurement most recent version of IEEE 112 avoids testing standards was duplicative to those in section of efficiency. 84 FR 17004, 17011– the potential concerns identified by the 0, and therefore removed in this final rule. 17012. DOE noted that, in the small Efficiency Advocates. Additionally, 15 IEC 60034–2–1:2014 Method 2–1–1B (2014), incorporating this update further aligns ‘‘Rotating Electrical Machines—Part 2–1: Standard electric motor and electric motor final methods for determining losses and efficiency from DOE’s test procedures with current tests (excluding machines for traction vehicles),’’ 13 Both CSA C747–09 and CSA C390–10 have industry practice and reduces ‘‘Summation of losses, additional load losses been reaffirmed in 2014 and 2015, respectively. manufacturer test burden, while according to the method of residual loss.’’

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Method B and CSA C390–10) and (2) 1:2014 Method 2–1–1A, with certain In the April 2019 NOPR, DOE that IEC 60034–2–1:2014 Method 2–1– limitations regarding torque tentatively determined that IEC 60034– 1A 16 be approved for section 431.444 of measurement, as an alternative to IEEE 2–1:2014 Method 2–1–1A is likely to 10 CFR part 431 (as an alternative to 112–2004 Test Method B and CSA produce accurate and reproducible IEEE 112–2004 Test method A, IEEE C390–10. 84 FR 17004, 17012–17013. results that are consistent with results 114–2010, and CSA C747–09). (UL, No. DOE also proposed to permit use of IEC from the other test methods permitted 29.1 at p. 1) The NEMA and UL 60034–2–1:2014 Method 2–1–1B as a under subparts X and B of 10 CFR part petitions included and referenced permitted alternative to the test methods 431. 84 FR 17004, 17013. DOE proposed papers that compare the testing IEEE 112–2004 Test Method B and CSA to incorporate by reference IEC 60034– methodologies presented in IEC 60034– C390–10. 84 FR 17004, 17014. DOE 2–1:2014 Method 2–1–1A as an 2–1:2014 to the IEEE and CSA standards requested comment on its proposals alternative to the currently incorporated currently referenced in the small regarding IEC 60034–2–1:2014 Method industry testing standards IEEE 112– electric motors and electric motors test 2–1–1A and Method 2–1–1B, including 2004 Test Method A and CSA C747–09 procedures at 10 CFR part 431. data comparing test results of those in 10 CFR 431.443. Id. However, DOE The NEMA petition included a ‘‘work standards with the corresponding CSA also initially determined that the paper’’ that summarizes an evaluation and IEEE test procedures. 84 FR 17004, process for dynamometer torque conducted by the NEMA Motor and 17013–17014. correction in section 6.1.2.2 of IEC Generator Section technical committee, The CA IOUs questioned whether 60034–2–1:2014, Method 2–1–1A is which found that IEC 60034–2–1:2014 alternative testing standards are truly insufficiently described. 84 FR 17004, Method 2–1–1B was a suitable equivalent to one another and 17013. Specifically, IEEE 114–2010 17 alternative to the IEEE 112–2004 Test commented that DOE should evaluate and CSA C747–09 18 contain more Method B and CSA C390–10 test the possibility that one equivalent test detailed descriptions of torque methods. (NEMA, No. 28.3 at p. 1) This procedure may produce a correction procedures, but both state evaluation relied on (1) comparison of disproportionately favorable result that torque correction is not required instrumentation accuracy, test method, compared to another. The CA IOUs when torque is measured using either an and calculation approach among the recommended that, to avoid confusion inline, rotating torque transducer or IEC, IEEE, and CSA industry standards, in the market and maintain consistency stator reaction torque transducer. The (2) analysis of test results from over 500 in results, the DOE should specify a insufficient specificity of IEC 60034–2– motors tested at the Hydro-Que´bec single version of a test procedure to be 1:2014 Method 2–1–1A regarding Research Institute, and (3) reference to used for enforcement testing. (CA IOUs, dynamometer torque correction can be one scientific research paper (the No. 86 at p. 2–3) avoided by using a torque measurement ‘‘Angers et al. study’’), which also As discussed in the April 2019 NOPR method that does not require correction. concluded that all three and in the following sections, DOE Consequently, DOE proposed to permit methods provide results that are very evaluated the various industry tests as use of IEC 60034–2–1:2014 with closely aligned. (NEMA, No. 28.3 at pp. well as the results of comparative limitations to limit torque measurement 1–3) testing and concludes that the relevant to methods that do not require The UL petition included two papers test methods in IEC 60034–2–1:2014 are dynamometer torque correction (i.e., comparing the IEC 60034–2–1 test equivalent to the corresponding either in-line, shaft-coupled, rotating methods with the respective IEEE and industry standards currently referenced torque transducers or stationary, stator CSA standards. The first paper was the in the test procedures for small electric reaction torque transducers). 84 FR Angers et. al. study, which concluded motors and electric motors. Permitting 17004, 17012–17013. that the IEC 60034–2–1:2014 Method 2– use of the test methods in IEC 60034– In response to the April 2019 NOPR, 1–1B test method provides results that 2–1:2014 further harmonizes DOE’s test NEMA reiterated its support to have the are very closely aligned with the IEEE standards with industry and reduces option of using IEC 60034–2–1:2014 112–2004 Test Method B and CSA test burden while ensuring that the test Method 2–1–1A. (NEMA, No. 84 at p. 3) C390–10 test methods. (UL, No. 29.2 at procedure reflects the energy efficiency DOE did not receive any other comment pp. 1–8) The second paper, written by of the relevant motors during a on the incorporation of IEC 60034–2– IEEE member Wenping Cao, compared representative average use cycle. 1:2014 Method 2–1–1A generally, or the IEEE 112 and IEC 60034–2–1 a. Method 2–1–1A regarding the proposal to limit torque standards and concluded that the Among multiple testing methods measurement. resulting efficiency values were found For the reasons discussed in the April provided in IEC 60034–2–1:2014, to be equal or otherwise closely aligned. 2019 NOPR, DOE is referencing IEC Method 2–1–1A ‘‘Direct measurement of (UL, No. 29.3 at p. 7) UL requested that 60034–2–1:2014 Method 2–1–1A as an input and output’’ is the standard’s DOE incorporate IEC 60034–2–1:2014 alternative to the referenced industry preferred testing method for single- Method 2–1–1B as an alternative to IEEE testing standards IEEE 112–2017 Test phase motors. It is based on direct 112–2004 Test Method B and CSA Method A (per the amendment in this measurement of electrical input power C390–10 because of an increased use of final rule) and CSA C747–09 in 10 CFR the IEC 60034–2–1:2014 Method 2–1– to the motor and mechanical output 431.443. As proposed, this final rule 1B. (UL, No 29.1 at p.1) In its comments, power (in the form of torque and speed) requires torque measurement, when UL did not quantify how broadly IEC from the motor. This approach is using IEC 60034–2–1:2014 Method 2–1– 60034–2–1:2014 Method 2–1–1B is analogous to the methods of the other 1A, to be made using either in-line, currently being used. industry standards, IEEE 114–2010 and shaft-coupled, rotating torque In the April 2019 NOPR, DOE CSA C747–09, currently incorporated by transducers or stationary, stator reaction proposed to permit use of IEC 60034–2– reference for testing single-phase torque transducers. This change will motors, and IEEE 112–2004 Test Method 16 IEC 60034–2–1:2014 Method 2–1–1A (2014), A, currently incorporated by reference 17 Section 5.2.1.1.1 of IEEE 114–2010 addressees ‘‘Rotating Electrical Machines—Part 2–1: Standard for the purpose of testing polyphase methods for determining losses and efficiency from when torque correction is required. tests (excluding machines for traction vehicles),’’ motors of output power less than or 18 Section 6.7.1 of CSA C747–09 addresses when ‘‘Direct Measurement of Input and Output.’’ equal to one horsepower. torque correction is required.

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further harmonize DOE’s test procedure as described in section within the expected measurement procedures with current industry 8.6.2.3.3 of IEC 60034–1, using the variation of the existing test procedure; practice and reduce manufacturer test shortest possible time instead of the (2) all three tests would result in burden (see section III.F.1 for more time interval specified in Table 5 measurements of efficiency that would details). therein, and extrapolating to zero. yield the same results with respect to For small electric motors, DOE is Therefore, in this final rule, DOE is also motor compliance; and (3) given the adding a reference to IEC 60034–2–1 in incorporating by reference IEC 60034– variable nature of tested efficiency 10 CFR 431.443 ‘‘Materials incorporated 1:2010 and IEC 60051–1:2016 to specify values for electric motors and small by reference,’’ paragraph (c)(2) and the test conditions and procedures as electric motors due to manufacturing making a more specific set of references referenced in IEC 60034–2–1:2014. and material differences, the variation to IEC 60034–2–1:2014 Method 2–1–1A b. Method 2–1–1B in the calculated efficiency is in 10 CFR 431.444 ‘‘Test procedures for insignificant and not likely to result in the measurement of energy efficiency,’’ Among the multiple testing methods any significant change in overall energy paragraphs (b)(2)(iii) and (b)(3)(iii) and provided in IEC 60034–2–1:2014, efficiency test results. 84 FR 17004, in 10 CFR 431.447 ‘‘Department of Method 2–1–1B ‘‘Summation of losses, 17014. Accordingly, in the April 2019 Energy recognition of nationally additional load losses according to the NOPR, DOE proposed to incorporate by recognized certification programs,’’ method of residual loss’’ is the IEC reference IEC 60034–2–1:2014 Method paragraphs (b)(4) and (c)(4). 60034–2–1:2014 standard’s preferred 2–1–1B as an alternative to the currently In addition, section 6.1.2.2 of IEC testing method for three-phase motors. incorporated industry testing standards 60034–2–1:2014 Method 2–1–1A This method relies on the indirect IEEE 112–2004 Test Method B and CSA specifies that motors under test should calculation of motor losses using a C390–10 and to IEEE 112–2017 Test be operated at the ‘‘required load’’ until combination of measured values (e.g., Method B. Id. thermal equilibrium is achieved. As winding resistance) and assumptions so In response to the April 2019 NOPR, required under DOE’s test procedure, that direct measurement of motor torque NEMA reaffirmed its request for the is not needed. This method is analogous the motor must be rated and tested at addition of IEC 60034–2–1:2014 Method to the methods of the other industry rated load. For clarity and consistency, 2–1–1B as an alternative test standard standards, IEEE 112–2004 and CSA in the April 2019 NOPR, DOE proposed for polyphase small electric motors to modify these instructions by C390–10, currently incorporated by greater than 1 hp and electric motors. replacing the term ‘‘required load’’ with reference for testing polyphase small (NEMA, No. 84 at p. 3) ‘‘rated load.’’ 84 FR 17004, 17013. DOE electric motors of output power greater Based on the considerations presented did not receive any stakeholder than one horsepower and electric in the April 2019 NOPR, DOE affirms its comments on this proposal and is motors. modifying these instructions by DOE reviewed IEC 60034–2–1:2014, initial conclusions regarding IEC 60034– replacing the term ‘‘required load’’ with Method 2–1–1B, and stakeholder 2–1:2014 Method 2–1–1B. Allowing ‘‘rated load.’’ responses to the November 2017 notice manufacturers to test according to IEC Furthermore, IEC 60034–2–1:2014 of petition, as well as all of the research 60034–2–1:2014 Method 2–1–1B further references IEC 60034–1:2010 and IEC papers referenced in the NEMA and UL harmonizes DOE’s test procedures with 60051–1:2016 to specify required test petitions. The research papers evaluated current industry practice and reduces conditions and procedures when IEC 60034–2–1:2014, Method 2–1–1B manufacturer test burden (see section applying the test methods for measuring and the IEEE 112–2004 Test Method B III.F.2 for more details) while ensuring energy efficiency in the following and CSA C390–10 testing standards that the test procedure reflects the sections: (1) Section 5.4.1 of IEC 60034– with respect to a comparison of the energy efficiency of the relevant motors 2–1:2014 specifies that the supply instrumentation accuracy, test method, during a representative average use voltage shall be in accordance with and calculation approach, in addition to cycle. Therefore, in this final rule, DOE sections 7.2 (and 8.3.1 for thermal tests) an analysis of any variability of actual is referencing IEC 60034–2–1:2014 of IEC 60034–1:2010; (2) section 5.5.2 of test results. DOE also considered a Method 2–1–1B as a permitted IEC 60034–2–1:2014 specifies that the comparison of results from a round alternative to the current test methods measuring instruments shall have the robin test program among 11 IEEE 112–2004 Test Method B (which in equivalent of an accuracy class of 0.2 in participants, which concluded that the this final rule will be replaced with case of a direct test and 0.5 in case of same motor tested at multiple test IEEE 112–2017 Test Method B) and CSA an indirect test in accordance with IEC facilities showed a maximum deviation C390–10. In addition, as described in 60051; 19 and (3) section 5.7.1 of IEC of ±0.4 percentage points, using the section III.B.2.a, DOE is also 60034–2–1:2014 states that the same IEEE 112–2004 Test Method B for incorporating by reference IEC 60034– measured resistance at the end of the each test.20 84 FR 17013–17014. DOE 1:2010 and IEC 60051–1:2016, which thermal test shall be determined in a noted that the largest difference specify the test conditions and similar way to the extrapolation reported by stakeholders between procedures for IEC 60034–2–1:2014. measured efficiency values using IEC Accordingly, reference to IEC 60034– 19 Section 3.8.2 of IEC 60051–1:2016 defines 60034–2–1:2014, Method 2–1–1B and 2–1:2014 Method 2–1–1B is being added ‘‘accuracy class’’ as a ‘‘class of measuring IEEE 112–2004 Test Method B did not to the following sections of the CFR: instruments, all of which are intended to comply ± with a set of specifications regarding uncertainty.’’ exceed 0.2 percentage points. 84 FR For small electric motors, IEC 60034– Furthermore, IEC 6005–1:2016 specifies that an 17004, 17014. 2–1 is referenced in 10 CFR 431.443 accuracy class always specifies a limit of DOE initially concluded that (1) these ‘‘Materials incorporated by reference,’’ uncertainty, whatever other metrological methods are not identical, but the paragraph (c)(2). The specific references characteristics it specifies. While IEC 60051–1:2006 does not define a metric for this term, in practice, differences between these standards are to IEC 60034–2–1:2014 Method 2–1–1B accuracy classes are used to designate percentage are in 10 CFR 431.444 ‘‘Test procedures uncertainties. For example, section 5.5.2 of IEC 20 Hydro-Quebec Research Institute, NEMA Motor for the measurement of energy 60034–2–1:2014 states that ‘‘for an accuracy class Round Robin, November 2018. Motor Summit 2018 efficiency,’’ paragraph (b)(4)(iii) and 10 of 0.2, the measuring equipment shall reach an Proceedings. Available at https:// overall uncertainty of 0.2% of reading at power www.motorsummit.ch/sites/default/files/2018-11/ CFR 431.447 ‘‘Department of Energy factor of 1.0.’’ MS18_proceedings.pdf. recognition of nationally recognized

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certification programs,’’ paragraphs 17014–17016. In concept, breakdown power’’ and ‘‘breakdown torque.’’ (b)(4) and (c)(4). torque describes the maximum torque Additionally, DOE requested comment For electric motors, IEC 60034–2–1 is the motor can develop without slowing on how to determine when an ‘‘abrupt referenced in 10 CFR 431.12 down and stalling. The maximum drop in speed’’ (e.g., the local maximum ‘‘Definitions’’ (the definition for torque over the entire speed range could of the torque-speed plot closest to the ‘‘accreditation’’); and 10 CFR 431.15 occur at a different condition (e.g., the rated torque) has occurred when testing ‘‘Materials incorporated by reference,’’ motor start-up, zero speed condition) the breakdown torque of a small electric paragraph (c)(3). The specific references than the breakdown condition. As motor. Id. to IEC 60034–2–1:2014 Method 2–1–1B explained in the April 2019 NOPR, In response to the April 2019 NOPR, are in 10 CFR 431.19 ‘‘Department of breakdown torque corresponds to a local NEMA commented that there is no need Energy recognition of accreditation maximum torque (on a plot of torque to define ‘‘breakdown torque’’ or bodies,’’ paragraphs (b)(4) and (c)(4); 10 versus speed) that is nearest to the rated ‘‘abrupt drop in speed’’ for the purposes CFR 431.20 ‘‘Department of Energy torque. 84 FR 17004, 17014. The phrase of testing electric motors. (NEMA, No. recognition of nationally recognized ‘‘abrupt drop in speed’’ corresponds to 84 at p. 3) Specifically, NEMA stated certification programs,’’ paragraphs the expectation that the motor will slow that incorporating breakdown torque as (b)(4) and (c)(4); and Appendix B to down or stall if the load increases and the method to define the rated output Subpart B of Part 431 ‘‘Uniform test indicates that minor reductions in speed power of the motor is unnecessary method for measuring nominal full load observed due to measurement because NEMA MG 1–2016, Part 1.40 efficiency of electric motors,’’ Sections sensitivities are not considered. already states the output rating of a 2(2) and 3. The breakdown torque for a specific machine ‘‘shall’’ consist of the output horsepower rating is specified as a range power. Instead, NEMA recommended C. Rated Output Power and Breakdown as a function of input frequency and that the declared values of output power Torque of Small Electric Motors synchronous speed of the motor in two be used as provided on the The current regulations for small tables: Table 10–5 of NEMA MG 1–2016, manufacturer’s nameplate and that DOE electric motors specify that the metric which applies to induction motors, not require a declaration of breakdown for energy conservation standards, except permanent-split capacitor torque. (NEMA, No. 84 at pp. 3–4). average full-load efficiency, is to be (‘‘PSC’’) and shaded-pole motors; and NEMA further stated that the ‘‘abrupt measured at ‘‘full rated load.’’ 10 CFR Table 10–6 of NEMA MG 1–2016, which drop in speed’’ corresponds to the 431.442. The industry testing standards applies to shaded-pole and PSC motors expectations that the motor will slow referenced in the small electric motor for fan and pump applications. For down or stall if the torque applied to the test procedure do not provide a method polyphase motors, section 12.37 of motor exceeds the local maximum value to determine the rated load of the tested NEMA MG 1–2016 specifies that the of torque that is most closely located to unit but instead rely on manufacturer- breakdown torque of a general-purpose the rated torque of the motor (i.e., the specified output power, which is polyphase squirrel-cage small motor breakdown torque). Finally, NEMA typically listed on a motor’s nameplate, shall not be less than 140 percent of the claimed that performing any additional to determine average full-load efficiency breakdown torque of a single-phase speed-torque tests for determining at full rated load.21 The industry general purpose motor of the same ‘‘abrupt drop in speed’’ would increase standards do not define rated output horsepower and speed rating. manufacturer burden. (NEMA, No. 84 at power; rather, the output power is a In the April 2019 NOPR, DOE initially pp. 3–5) No other comments were manufacturer declaration. determined that NEMA MG 1–2016’s received in regard to this issue. As explained in the April 2019 NOPR, Table 10–5 can apply to all small In the April 2019 NOPR, DOE did not the motors subject to the small electric electric motors subject to DOE’s intend to suggest that it would require motors test procedures are capable of standards and that most manufacturers manufacturers to test or report the value operating over a continuous range of already use the breakdown torque of breakdown torque used to establish loads. 84 FR 17004, 17014. For example, method as a standard practice to the rated output power of a small a motor that is rated at 1 hp is also determine rated output power. 84 FR electric motor. Rather, the intent of capable of delivering 0.75 hp, but likely 17004, 17016. Accordingly, DOE defining ‘‘breakdown torque,’’ through with a different speed, torque, and proposed to define ‘‘rated output reference to the industry standard efficiency than those of when it is power’’ as ‘‘the mechanical output NEMA MG 1–2016, was to in turn delivering its rated load of 1 hp. The power that corresponds to the small define ‘‘rated output power’’ for the output power of the motor depends on electric motor’s breakdown torque as purpose of measuring average full-load the load and the design of the motor. specified in NEMA MG 1–2016 Table efficiency. As noted previously, NEMA Therefore, the load point at which the 10–5 for single-phase motors or 140 responded to the April 2019 NOPR by motor must be tested is not an intrinsic percent of the breakdown torque values explaining that NEMA MG 1–2016 Part parameter of the motor, but rather a specified in NEMA MG 1–2016 Table 1.40 already states the output rating of parameter that must be defined or 10–5 for polyphase motors.’’ 22 Id. DOE a machine shall consist of the output specified. The test’s load point is also proposed defining ‘‘breakdown power. (NEMA, No. 84 at p. 3–4) As relevant to efficiency testing because the torque’’ as ‘‘the maximum torque that indicated by its inclusion in NEMA MG efficiency of small electric motors varies the motor will develop with rated 1–2016, the breakdown torque method according to load. voltage and frequency applied without is commonly used by industry for In the April 2019 NOPR, DOE an abrupt drop in speed, determined in determining rated output power. proposed to define rated output power accordance with NEMA MG 1–2016.’’ Defining rated output power based on using breakdown torque as specified in Id. DOE requested comment on the NEMA MG 1–2016 provides additional NEMA MG 1–2016. 84 FR 17004, proposed definitions for ‘‘rated output detail that allows for the accurate comparison of small electric motors. 21 See e.g., CSA C747–09, Section 3, Definition of 22 For purposes of this definition, NEMA MG 1– Therefore, in this final rule, DOE ‘‘full load’’; CSA C390–10, Section 3.1, Definition 2016 Table 10–5 can be applied to all small electric defines ‘‘rated output power’’ as, the of ‘‘rating’’; IEEE 112–2017, Section 3.3.2 motors, regardless of whether elements of NEMA (‘‘Specified temperature’’); and IEEE 114–2010, MG 1–2016 Table 10–5 are identified as for small mechanical output power that Section 8.2 (‘‘Determination of efficiency’’). or medium motors. corresponds to the small electric motor’s

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breakdown torque as specified in NEMA motor, determined in accordance with installed in the field. In addition, MG 1–2016 Table 10–5 for single-phase NEMA MG 1–2016. commenters also recommended DOE motors or 140 percent of the breakdown require testing at a rated frequency of 60 D. Rated Values Specified for Testing torque values specified in NEMA MG 1– Hz, as noted. Therefore, in this final Small Electric Motors 2016 Table 10–5 for polyphase motors. rule, DOE is amending 10 CFR 431.442 For purposes of this definition, NEMA DOE notes that the definition of to establish a definition of ‘‘rated MG 1–2016 Table 10–5 can be applied average full-load efficiency at 10 CFR frequency’’ as ‘‘60 hertz.’’ to all small electric motors, regardless of 431.442 specifies that it is determined 2. Rated Load whether elements of NEMA MG 1–2016 when the motor operates at the rated Table 10–5 are identified as for small or frequency, rated load, and rated voltage. ‘‘Rated load’’ 24 is a term used in medium motors. Additionally, industry standards refer to industry standards to specify a loading DOE also is defining ‘‘breakdown these rated values, which are expected point for motor testing (e.g., sections 5.6 torque.’’ Consistent with the proposed to be known or provided (e.g., on the and 6.1 in IEEE 112–2004, and section definition, DOE is defining ‘‘breakdown nameplate). However, ‘‘rated 8.2.1 in IEEE 114–2010). Typically, a torque,’’ in part, as ‘‘the maximum frequency,’’ ‘‘rated load,’’ and ‘‘rated rated load represents a power output torque that the motor will develop with voltage’’ are not defined. To provide expected from the motor (e.g., a rated voltage and frequency applied additional specificity regarding these horsepower value on the nameplate). without an abrupt drop in speed.’’ As terms, in the April 2019 NOPR, DOE The rated load will have a previously noted, the phrase ‘‘abrupt proposed to define them to further corresponding rated speed and rated drop in speed’’ references the intrinsic ensure the comparability of results torque. In the April 2019 NOPR, DOE behavior of motors, in which a motor between motors, and to better ensure proposed to amend 10 CFR 431.442 by will slow down or stall if the load reproducible testing for all equipment. defining ‘‘rated load’’ as ‘‘the rated applied to the motor exceeds the 84 FR 17004, 17017–17018. In this final output power of a small electric motor’’ breakdown torque, and indicates that rule, DOE is amending 10 CFR 431.442 (see section III.C for definition of rated to establish definitions for ‘‘rated minor reductions in speed observed due output power). 84 FR 17004, 17017. frequency,’’ ‘‘rated load,’’ and ‘‘rated to measurement sensitivities are not DOE also proposed that the rated output voltage,’’ as discussed in the following considered. To provide additional power (given on the motor nameplate) sections. specification for determining be used for any reference to rated load, breakdown torque based on the physical 1. Rated Frequency full rated load, rated full-load, or full- attributes of a small electric motor, DOE The test procedures and energy load in an industry standard used for is also including in the definition that conservation standards established testing small electric motors. Id the breakdown torque of a motor is the under EPCA apply to those regulated The Efficiency Advocates supported local maximum of the torque-speed plot motors that are distributed in commerce DOE’s proposed definition for rated of the motor, closest to the synchronous load, commenting that this specification 23 within the United States. Within the speed of the motor. United States, electricity is supplied at will help ensure that test procedures are Both the April 2019 NOPR and 60 hertz (‘‘Hz’’); in other regions of the applied consistently. (Efficiency NEMA’s comments explained that on a world, electricity is supplied at 50 Hz. Advocates, No. 87 at p. 2) The CA IOUs torque-speed plot, the breakdown torque Small electric motors could be designed supported the definition for ‘‘rated is the local maximum torque in the to operate at frequencies in addition to load’’ for small electric motors based on region of the plot characterized through 60 Hz (e.g., motors designed to operate NEMA MG 1–2016. (CA IOUs, No. 86 at reference to the rated torque. The at either 60 or 50 Hz). Therefore, it p. 3) NEMA commented that qualifying relevant region of the plot can also be could be unclear at which frequency the that the rated output power stamped on characterized through reference to the test should be performed. DOE proposed the name plate of a small motor is synchronous speed. The local maximum to amend the small electric motor test equivalent to rated load, full rated load, of the torque-speed plot in the region procedure at 10 CFR 431.442 by rated full load or full-load in an characterized by the rated torque is the defining the term ‘‘rated frequency’’ as industry standard is beneficial and same value as the local maximum of the ‘‘60 hertz.’’ See 84 FR 17004, 17017. eliminates questions regarding torque-speed plot in the region NEMA commented that explicitly interpretation. (NEMA, No. 84 at p. 4) characterized by the synchronous speed. stating that rated frequency is 60 Hz Providing a definition for ‘‘rated load’’ DOE is providing additional detail to would be beneficial in the case of a further ensures the comparability of define breakdown torque using the motor marked as 60/50 hertz. (NEMA, results between motors, and better synchronous speed, as it is a physical No. 84 at p. 4) The CA IOUs supported ensures reproducible testing. In attribute of the motor rather than rated DOE’s proposal that all tests be addition, qualifying that the rated torque, which is a manufacturer performed using a rated frequency of 60 output power is equivalent to rated declared value. Hz. (CA IOUs, No. 86 at p. 3) The load, rated full-load, full rated load, or For the reasons discussed in the Efficiency Advocates supported DOE’s full-load in an industry standard used preceding paragraphs, DOE is defining proposal to specify that all small electric for testing small electric motors removes ‘‘breakdown torque’’ as the maximum motor tests be performed using a rated any confusion on the interpretation of torque that the motor will develop with frequency of 60 Hz to remove ambiguity terms. Commenters also supported rated voltage and frequency applied in the test procedure and to ensure that clarifying the term ‘‘rated load.’’ without an abrupt drop in speed. The the test procedure reflects the operating Accordingly, consistent with its breakdown torque is the local maximum frequency in the U.S. (Efficiency proposal, DOE is amending 10 CFR of the torque-speed plot of the motor, Advocates, No. 87 at p. 2) DOE did not 431.442 to establish a definition of closest to the synchronous speed of the receive any comments opposing the ‘‘rated load’’ as ‘‘the rated output power proposed definition. of a small electric motor.’’ 23 The synchronous speed of a motor is calculated as follows: 120 × f ÷ p where f is the frequency at DOE notes that 60 Hz as the tested which the motor is operating and p is the number input frequency matches the frequency 24 Also referred to as ‘‘rated full-load,’’ ‘‘full rated of poles of the motor. experienced by the motor when load,’’ or ‘‘full-load’’ interchangeably.

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3. Rated Voltage In the April 2019 NOPR, DOE proposed may affect the measured efficiency, DOE Industry testing standards use ‘‘rated to maintain the practice of permitting does not have data to fully characterize voltage’’ to specify the voltage supplied small electric motors to be tested at any any such impact. to the motor under test (e.g., section 6.1 nameplate voltage value and to specify Moreover, EPCA requires that the test in IEEE 112–2004, section 6.1 in IEEE this flexibility by defining the term procedures shall be reasonably designed 112–2017, and section 3 in IEEE 114– ‘‘rated voltage’’ at 10 CFR 431.442 as to produce test results which reflect 2010). The industry test procedures referring to the input voltage of a small energy efficiency of small electric incorporated into DOE’s regulations electric motor selected by the motor’s motors during a representative average permit manufacturers to select the input manufacturer to be used for testing the use cycle and shall not be unduly voltage for testing. DOE proposed to motor’s efficiency. 84 FR 17004, 17081. burdensome to conduct. (42 U.S.C. continue to permit small electric motors DOE is adopting the proposed 6314(a)(1) and (2)) DOE does not have to be tested at the nameplate voltage 25 definition of ‘‘rated voltage’’ with data to indicate that a represented input value selected by the manufacturer and additional clarification. In the April voltage selected by a manufacturer is to define ‘‘rated voltage’’ at 10 CFR 2019 NOPR, DOE stated that the inappropriately representative of the 431.442 as ‘‘the input voltage of a small proposed definition of ‘‘rated voltage’’ average use of that small electric motor electric motor selected by the motor’s would allow small electric motors to be as compared to a different represented manufacturer to be used for testing the tested at any nameplate voltage value. input voltage. Commenters did not motor’s efficiency.’’ 84 FR 17004, Id. As noted, DOE does not require a provide data to indicate that the 17017–17018. nameplate to be affixed to a small represented values being selected by In response to the April 2019 NOPR, electric motor. To properly describe the manufacturers are not representative of the Efficiency Advocates commented voltages from which the voltage is average use. Therefore, DOE is that small electric motors should be selected for testing, DOE is specifying maintaining the current test procedure tested at all nameplate voltages 26 and that the selected input voltage must be direction allowing manufacturers to were concerned that allowing the one of the voltages used by the select the input voltage for testing. manufacturer to select the voltage for manufacturer for making testing will result in inconsistent ratings representations of the small electric E. Effective and Compliance Date across products and will allow for motor performance (i.e., a represented The effective date (i.e., the date the gaming of the test procedure because of input voltage). Specifically, DOE is final rule is legally operative after being the fact that efficiency can vary with defining ‘‘rated voltage’’ as ‘‘the input published in the Federal Register) for voltage of a small electric motor used input voltage. The Efficiency Advocates the adopted test procedure amendments when making representations of the suggested that DOE require that small will be 30 days after publication of this performance characteristics of a given electric motors be tested at all final rule in the Federal Register. See 10 small electric motor and selected by the nameplate voltages and meet the CFR part 430, subpart C, appendix A, motor’s manufacturer to be used for minimum efficiency standards at all section 12(b) and 10 CFR 431.4 testing the motor’s efficiency.’’ Based on nameplate voltages. (Efficiency (applying 10 CFR part 430, subpart C, DOE’s experience in reviewing Advocates, No. 87 at p. 3) The CA IOUs appendix A to commercial/industrial manufacturer reports and literature, the opposed allowing motor manufacturers equipment). The compliance date (the additional description reflects to select the voltage to be used when specific date when manufacturers are manufacturer practice (i.e., small testing small electric motors, asserting electric motors are tested at one of the required to use the amended test that this creates uncertainty for voltages at which manufacturer procedures requirements to make consumers as to the motor’s energy representations are made). The representations concerning the energy performance in the field. Instead, they additional language also avoids any efficiency or use of a small electric recommended a prescribed voltage in potential confusion as to the input motor and electric motor, including the test procedure or that the motor be voltage required for testing. certification that the covered equipment tested at all voltages listed on the motor DOE is not requiring a specific input meets an applicable energy conservation nameplate, and that, if the motor is voltage for testing. As discussed in the standard) is 180 days after the date of tested at multiple voltages, an efficiency April 2019 NOPR, NEMA previously publication of this final rule in the level for each tested voltage should be indicated that the input voltage setting Federal Register. See id. at section listed on the nameplate. (CA IOUs, No. can affect efficiency, noting that, if DOE 12(c). 86 at p. 3–4) were to require motors to comply with EPCA prescribes that all In the March 2010 final rule, DOE testing performed at the input voltage representations of energy efficiency and noted that the industry test procedures that resulted in the lowest level of energy use, including those made on incorporated into DOE’s regulations efficiency, manufacturers would be marketing materials and product labels, permit manufacturers to select the input forced to redesign these motors, since at must be made in accordance with an voltage for testing. 75 FR 10874, 10892. least some motors would be out of amended test procedure, beginning 180 compliance at voltages not currently days after publication of the final rule 25 The April 2019 NOPR used the term selected for certification. 84 FR 17004, in the Federal Register. (42 U.S.C. ‘‘nameplate voltage’’ but DOE does not require that a nameplate be affixed to small electric motors. 17017–17018. In its prior comment, 6314(d)(1)) EPCA also provides an ‘‘Nameplate voltage’’ was used generally to describe NEMA explained that these redesign allowance for individual manufacturers representations made by a manufacturer either on efforts would result in larger motors to of consumer products to petition DOE a nameplate affixed to the unit or in equipment accommodate the additional active for an extension of the 180-day period literature provided by the manufacturer. 26 As discussed previously, DOE does not require material required to create a compliant if the manufacturer may experience that a nameplate be affixed to small electric motors. motor and could result in the use of undue hardship in meeting the DOE understands the commenter to be referring to larger frame sizes, which would create deadline. (42 U.S.C. 6314(d)(2)). To representations made by a manufacturer either on utility problems for end users of the receive such an extension, petitions a nameplate affixed to the unit or in equipment literature provided by the manufacturer. It is in this motors. (NEMA, EERE–2014–BT–CE– must be filed with DOE no later than 60 context that DOE uses the term ‘‘nameplate’’ in this 0019, No. 10 at p. 10) While the days before the end of the 180-day document. selection of the input voltage for testing period and must detail how the

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manufacturer will experience undue and testing instructions, updating the procedure. DOE has determined that the hardship. (Id.) reference to industry standard IEEE 112 test procedures as amended by this final to reference the 2017 version in place of rule will not be unduly burdensome for F. Test Procedure Costs and Impacts the 2014 version, and permitting the use manufacturers to conduct and instead EPCA requires that test procedures of IEC 60034–2–1:2014 as an additional will reduce test burden for prescribed by DOE not be unduly alternative test procedure; and (2) the manufacturers. burdensome to conduct. 42 U.S.C. existing test procedure for electric This final rule will result in a net cost 6314(a)(2). DOE is amending (1) the motors by permitting the use of IEC savings to manufacturers, as existing test procedure for small electric 60034–2–1:2014 as an additional summarized in Table III–1 and Table motors by clarifying the existing scope alternative and equivalent test III–2.

TABLE III–1—SUMMARY OF COST IMPACTS FOR SMALL ELECTRIC MOTORS AND ELECTRIC MOTORS

Present value Discount rate Category (million 2016$) (percent)

Cost Savings: Reduction in Future Testing Costs for Small Electric Motors ...... 0.2 3 0.1 7 Reduction in Future Testing Costs for Electric Motors ...... 3.7 3 1.4 7 Total Net Cost Impact:

Total Net Cost Impact ...... (4.0) 3 (1.5) 7

TABLE III–2—SUMMARY OF ANNUALIZED COST IMPACTS FOR SMALL ELECTRIC MOTORS AND ELECTRIC MOTORS

Annualized value Discount rate Category (thousand 2016$) (percent)

Annualized Cost Savings: Reduction in Future Testing Costs for Small Electric Motors ...... 7 3 6 7 Reduction in Future Testing Costs for Electric Motors ...... 112 3 100 7 Total Net Annualized Cost Impact:

Total Net Cost Impact ...... (119) 3 (106) 7

Further discussion of the analyses of procedures with current industry Recognizing that some, but not all, the cost impact of the test procedure practice and international standards. manufacturers already test their motors amendments is presented in the Permitting manufacturers to test using IEC 60034–2–1:2014, DOE (as following paragraphs. according to IEC 60034–2–1:2014 explained later in this section) assumed enables manufacturers who use IEC that 10 percent 28 of small electric motor 1. Cost Impacts for Small Electric models sold in the U.S. that are tested Motors 60034–2–1:2014 for business purposes (for international markets), or to comply with either the CSA or IEEE methods The clarifications of the existing with regulatory requirements in other referenced in the Federal test procedure scope and test instructions will not countries, to reduce the number of tests are also tested with the IEC 60034–2–1 method. impose any new requirements on that they must perform by removing the To calculate the testing cost reduction manufacturers of regulated small need to conduct a test according to the associated with allowing the IEC 60034– electric motors. Instead, this final rule 27 CSA or IEEE methods currently 2–1:2014 method for testing small will provide manufacturers with greater referenced in DOE’s test procedure for electric motors, DOE estimated the certainty in the conduct of the test small electric motors. As described in number of motor models that would not procedures, offer additional equivalent section III.B.2, NEMA and UL petitioned have to be tested to both the amended testing options, and do not increase test that certain portions of IEC test DOE test procedure and the IEC test burden. Reference to IEEE 112–2017 in procedure 60034–2–1:2014 be adopted place of IEEE 112–2004 will not as a permitted alternative test method 28 NEMA and UL did not provide quantitative increase test burden or require new for small electric motors and electric information regarding the number of small electric testing. As discussed, results under the motors. UL further noted in its petition motors that are tested with either the CSA method or the IEEE method, and the IEC method, although 2017 version of IEEE 112 are equivalent the increasing use of the IEC test to results from testing under the 2004 NEMA commented that this is an increasing trend. procedure 60034–2–1:2014 by the Based on a review of the market, only a small version. Manufacturers will be able to industry worldwide. fraction of motors are designed for operation on 50 rely on data generated under the current Hz and 60 Hz power (indicating they are suitable test procedure. Additionally, the for sale in both the U.S. and foreign markets), or use 27 CSA 747–09, CSA 390–10, IEEE 112–2017 (per NEMA and IEC units of measure (hp vs. kW) and incorporation of IEC 60034–2–1:2014 as the amended reference under this final rule), or other designators. As noted, the U.S. electrical grid an additional alternative test procedure IEEE 114–2010 depending on the category of small is operated at 60 Hz, while many other countries further harmonizes DOE’s test electric motor. and regions (e.g., Europe) operate at 50 Hz.

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method when brought to market. First, due to the test procedure DOE expects that, for those DOE reviewed the product catalogs of amendments.34 manufacturers who are already using four major small electric motor DOE estimated the cost of testing a IEC 60034–2–1:2014, this change will manufacturers published over a seven- single small electric motor unit to be reduce the number of tests that year period.29 DOE compared the $2,000 at a third-party facility and manufacturers perform by avoiding the current product offerings to the approximately $500 at an in-house need to conduct a test according to the historical catalogs to identify the total facility.35 DOE requires at least five CSA or IEEE methods 38 currently number of new models listed over that units to be tested per basic model. 10 referenced in DOE’s test procedure. period of time.30 DOE then annualized CFR 431.445(c)(2) To estimate in-house To calculate the testing cost reduction that total number of new models.31 testing costs, DOE assumed testing a associated with allowing the IEC 60034– Next, DOE scaled up that annualized single motor unit requires 2–1:2014 method for testing electric value based on the estimated market approximately nine hours of a motors, DOE employed a similar share of the manufacturers whose mechanical engineer technician time methodology to the small electric catalogs were reviewed. This scaled-up and three hours from a mechanical motors analysis and estimated the annualized value estimated the total engineer. The mean hourly wage for a number of electric motor models that number of new models listed for sale mechanical engineer technician is would not have to test to both the each year for the entire U.S. market.32 $28.00 and the total hourly amended DOE test procedure and the Then, DOE estimated that 10 percent of compensation paid by the employer IEC test method when brought to new models would be tested each (including all fringe benefits) is market. First, DOE reviewed the product year.33 DOE made this estimate based on $36.25.36 The mean hourly wage for a catalogs of four major electric motor (1) knowledge that many motor models mechanical engineer is $44.62 and the manufacturers published over a six-year are grouped under a single basic model total hourly compensation paid by the period.39 DOE compared the current classification (and therefore each employer (including all fringe benefits) product offerings to the historical individual model would not need to be is $57.76.37 In addition, DOE assumed catalogs to identify the total number of tested), (2) observations that only a that 50 percent of tests are conducted at new models listed over that period of 40 fraction of electric motor basic models third-party facilities and 50 percent of time. DOE then annualized that total 41 are tested (the remainder have efficiency tests are conducted at in-house number of new models. determined through an alternative facilities. Based on these estimates, DOE Next, DOE scaled up that annualized efficiency determination method anticipates annual cost savings of value based on the estimated market [‘‘AEDM’’]), and (3) recognition that approximately $8,000 for the small share of the manufacturers whose many motor models may have been electric motors industry. catalogs were reviewed. This scaled-up relabeled or rebranded but not annualized value estimated the total redesigned (and therefore no new 2. Cost Impacts for Electric Motors number of new models listed for sale 42 testing is needed). Finally, DOE Regarding electric motors, DOE is not each year for the entire U.S. market. assumed that 10 percent of small amending the scope of applicability of Then, DOE estimated that only 10 electric motor models sold in the U.S. percent of new models would be tested the test procedure at Appendix B. 43 that are tested with either the CSA or Consistent with the small electric each year. DOE made this estimate IEEE methods referenced in the Federal motors analysis, the incorporation of based on (1) knowledge that many test procedure are also tested with the IEC 60034–2–1:2014 in this test motor models are grouped under a IEC 60034–2–1 method. Based on these procedure provides manufacturers single basic model classification (and calculations, DOE determined that additional flexibility by permitting an therefore each individual model would approximately 1 new small electric alternative and equivalent test not need to be tested), (2) observations that only a fraction of electric motor motor basic model per year (i.e., 10 procedure for measuring energy loss and basic models are tested (the remainder percent of 13) that already would be would further harmonize DOE’s test have efficiency determined through an tested with the IEC 60034–2–1 method procedures with current industry AEDM), and (3) recognition that many would no longer have to conduct an practice and international standards. additional test to comply with DOE’s motor models that may have been relabeled or rebranded but not amended test procedure when 34 This yields an estimate of 1.28, since DOE redesigned (and therefore no new introduced into the U.S market and estimates 10 percent of the 12.8 new small electric therefore would realize costs savings motor models introduced each year are already tested with the IEC 60034–2–1 method. 38 CSA 390–10 or IEEE 112–2017 (per the 35 Estimate based on standard rates charged by amended reference under this final rule) depending 29 The seven-year period for which DOE reviewed third party laboratories. on the category of electric motor. product catalogs was from 2009 to 2016. DOE 36 See Bureau of Labor Statistics, Occupational 39 The six-year period for which DOE reviewed expects this approach will also be representative of Employment and Wages, 17–3027 Mechanical product catalogs was from 2010 to 2016. DOE the market from 2016 to the present. DOE did not Engineer Technician, May 2018. https:// expects this approach will also be representative of receive comment on this approach following the www.bls.gov/oes/2018/may/oes173027.htm. Last the market from 2016 to the present. DOE did not publication of the April 2019 NOPR. accessed February 20, 2020. United States Census receive comment on this approach following the 30 DOE identified 598 small electric motor models Bureau, Annual Survey of Manufacturers, 2016 for publication of the April 2019 NOPR. introduced into the U.S. market by these four NAICS Code 335312 ‘‘Motor and Generator 40 DOE identified 8,110 electric motor models manufacturers during the period 2009–2016. Manufacturing’’. https://www.census.gov/data/ introduced into the U.S. market by these four 31 Based on this count, DOE estimates that these tables/2016/econ/asm/2016-asm.html. Last manufacturers during the period 2010–2016. four small electric motor manufacturers collectively accessed February 20, 2020. 41 Based on this count, DOE estimates that these introduced approximately 85 small electric motor 37 See Bureau of Labor Statistics, Occupational four electric motor manufacturers collectively models into the U.S. market each year. Employment and Wages, 17–2141 Mechanical introduced approximately 1,352 electric motor 32 This scaled-up calculation yielded a value of Engineer, May 2018. https://www.bls.gov/oes/2018/ models into the U.S. market each year. 128 small electric motor models introduced each may/oes172141.htm. Last accessed February 20, 42 This scaled-up calculation yielded a value of year for the entire U.S. market, as DOE assumed 2020. 2,028 electric motor models introduced each year these four small electric motor manufacturers United States Census Bureau, Annual Survey of for the entire U.S. market, as DOE assumed these represented approximately 67 percent of the entire Manufacturers, 2016 for NAICS Code 335312 four electric motor manufacturers represented U.S. market. ‘‘Motor and Generator Manufacturing’’. https:// approximately 67 percent of the entire U.S. market. 33 DOE estimates that approximately 13 new www.census.gov/data/tables/2016/econ/asm/2016- 43 DOE estimates that approximately 203 new small electric motor models are tested each year. asm.html. Last accessed February 20, 2020. electric motor models are tested each year.

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testing is needed). Similar to what was not subject to review under the savings of approximately $106,000 done for small electric motors, DOE Executive Order by the Office of using a perpetual time horizon assumed that 10 percent of electric Information and Regulatory Affairs discounted to 2016 at a 7 percent motor models sold in the U.S. that are (‘‘OIRA’’) in OMB. discount rate. Therefore, this final rule tested with either the CSA or IEEE B. Review Under Executive Orders is an E.O. 13771 deregulatory action. methods referenced in the Federal test procedure are also tested with the IEC 13771 and 13777 C. Review Under the Regulatory 60034–2–1 method. Based on these On January 30, 2017, the President Flexibility Act calculations, DOE determined that issued E.O. 13771, ‘‘Reducing approximately 20 new electric motor Regulation and Controlling Regulatory The Regulatory Flexibility Act (5 basic models per year (i.e., 10 percent of Costs.’’ See 82 FR 9339 (Feb. 3, 2017). U.S.C. 601 et seq.) requires preparation 203) that already would be tested with E.O. 13771 stated the policy of the of a final regulatory flexibility analysis the IEC 60034–2–1 method would no executive branch is to be prudent and (‘‘FRFA’’) for any final rule where the longer have to conduct an additional financially responsible in the agency was first required by law to test to comply with DOE’s amended test expenditure of funds, from both public publish a rule for public comment, procedure when introduced into the U.S and private sources. E.O. 13771 stated it unless the agency certifies that the rule, market and therefore would realize costs is essential to manage the costs if promulgated, will not have a savings due to the test procedure associated with the governmental significant economic impact on a amendments.44 imposition of private expenditures substantial number of small entities. As DOE estimated the cost of testing a required to comply with Federal required by E.O. 13272, ‘‘Proper single electric motor unit to be $2,000 regulations. Consideration of Small Entities in at a third-party facility and Additionally, on February 24, 2017, Agency Rulemaking,’’ 67 FR 53461 approximately $500 at an in-house the President issued E.O. 13777, (Aug. 16, 2002), DOE published facility. DOE requires at least five units ‘‘Enforcing the Regulatory Reform procedures and policies on February 19, to be tested per basic model. 10 CFR Agenda.’’ 82 FR 12285 (March 1, 2017). 2003 to ensure that the potential 431.17(b)(2) In addition, based on DOE’s E.O. 13777 required the head of each impacts of its rules on small entities are understanding that this equipment is agency designate an agency official as properly considered during the DOE its Regulatory Reform Officer (‘‘RRO’’). tested both in-house and at third-party rulemaking process. 68 FR 7990. DOE testing labs, DOE assumed an even split Each RRO oversees the implementation has made its procedures and policies in testing between the two venues. of regulatory reform initiatives and available on the Office of the General Based on these estimates, DOE policies to ensure that agencies anticipates annual industry cost savings effectively carry out regulatory reforms, Counsel’s website: http://energy.gov/gc/ of approximately $127,000 for electric consistent with applicable law. Further, office-general-counsel. motors that are currently subject to the E.O. 13777 requires the establishment of These amendments would neither standards at 10 CFR 431.25. a regulatory task force at each agency. expand the scope of test procedure The regulatory task force is required to applicability to small electric motors 3. Additional Amendments make recommendations to the agency beyond those currently subject to test The remainder of the amendments head regarding the repeal, replacement, procedures, nor would it place adopted in this final rule will not or modification of existing regulations, additional requirements on those small impact test costs. The other consistent with applicable law. At a electric motors currently subject to amendments adopted in this final rule minimum, each regulatory reform task DOE’s test procedures. Furthermore, include new definitions for ‘‘rated force must attempt to identify this proposal would not place any load,’’ ‘‘rated output power,’’ regulations that: additional requirements on those ‘‘breakdown torque,’’ ‘‘rated frequency,’’ (1) Eliminate jobs, or inhibit job electric motors that are already subject and ‘‘rated voltage’’. The addition of creation; these definitions will improve test (2) Are outdated, unnecessary, or to DOE’s test procedures, nor would it procedure repeatability. Furthermore, ineffective; require manufacturers to retest existing the definitions reflect current industry (3) Impose costs that exceed benefits; electric motors. Accordingly, practice, and therefore do not impose (4) Create a serious inconsistency or manufacturers would not be required any new requirements on manufacturers otherwise interfere with regulatory under this rule to retest any existing of regulated small electric motors and reform initiatives and policies; small electric motors or electric motors electric motors. (5) Are inconsistent with the already subject to DOE’s test requirements of the Information Quality procedures. IV. Procedural Issues and Regulatory Act, or the guidance issued pursuant to These amendments would also not Review that Act, in particular those regulations increase testing costs nor would it that rely in whole or in part on data, A. Review Under Executive Order 12866 impose any additional testing burden on information, or methods that are not The Office of Management and Budget any manufacturers, including all small publicly available or that are (‘‘OMB’’) has determined that this test insufficiently transparent to meet the businesses. Therefore, DOE concludes procedure rulemaking does not standard for reproducibility; or that the cost effects accruing from this constitute a ‘‘significant regulatory (6) Derive from or implement rule would not have a ‘‘significant action’’ under section 3(f) of Executive Executive Orders or other Presidential economic impact on a substantial Order (‘‘E.O.’’) 12866, Regulatory directives that have been subsequently number of small entities,’’ and that the Planning and Review, 58 FR 51735 (Oct. rescinded or substantially modified. preparation of a FRFA is not warranted. 4, 1993). Accordingly, this action was DOE concludes that this rulemaking is DOE has submitted a certification and consistent with the directives set forth supporting statement of factual basis to 44 This yields an estimate of 20.28, since DOE in these executive orders. This final rule the Chief Counsel for Advocacy of the estimates 10 percent of the 202.8 new electric motor models introduced each year are already tested with is estimated to result in a cost savings. Small Business Administration for the IEC 60034–2–1 method. The final rule yields annualized cost review under 5 U.S.C. 605(b).

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D. Review Under the Paperwork formulating and implementing policies standards in sections 3(a) and 3(b) to Reduction Act of 1995 or regulations that preempt State law or determine whether they are met or it is Manufacturers of electric motors must that have Federalism implications. The unreasonable to meet one or more of certify to DOE that their equipment Executive Order requires agencies to them. DOE has completed the required comply with any applicable energy examine the constitutional and statutory review and determined that, to the authority supporting any action that conservation standards. To certify extent permitted by law, this final rule would limit the policymaking discretion compliance, manufacturers must first meets the relevant standards of E.O. of the States and to carefully assess the obtain test data for their equipment 12988. necessity for such actions. The according to the DOE test procedures, Executive Order also requires agencies H. Review Under the Unfunded including any amendments adopted for to have an accountable process to Mandates Reform Act of 1995 those test procedures. DOE has ensure meaningful and timely input by established regulations for the Title II of the Unfunded Mandates State and local officials in the certification and recordkeeping Reform Act of 1995 (‘‘UMRA’’) requires development of regulatory policies that requirements for all covered consumer each Federal agency to assess the effects have Federalism implications. On of Federal regulatory actions on State, products and industrial equipment, March 14, 2000, DOE published a including electric motors. (See generally local, and Tribal governments and the statement of policy describing the private sector. Public Law 104–4, sec. 10 CFR part 431.) The collection-of- intergovernmental consultation process information requirement for the 201 (codified at 2 U.S.C. 1531). For a it will follow in the development of regulatory action resulting in a rule that certification and recordkeeping is such regulations. 65 FR 13735. DOE subject to review and approval by OMB may cause the expenditure by State, examined this final rule and determined local, and Tribal governments, in the under the Paperwork Reduction Act that it will not have a substantial direct (‘‘PRA’’). This requirement has been aggregate, or by the private sector of effect on the States, on the relationship $100 million or more in any one year approved by OMB under OMB control between the national government and number 1910–1400. Public reporting (adjusted annually for inflation), section the States, or on the distribution of 202 of UMRA requires a Federal agency burden for the certification is estimated power and responsibilities among the to average 35 hours per response, to publish a written statement that various levels of government. EPCA estimates the resulting costs, benefits, including the time for reviewing governs and prescribes Federal instructions, searching existing data and other effects on the national preemption of State regulations as to economy. (2 U.S.C. 1532(a), (b)) The sources, gathering and maintaining the energy conservation for the products data needed, and completing and UMRA also requires a Federal agency to that are the subject of this final rule. develop an effective process to permit reviewing the collection of information. States can petition DOE for exemption Notwithstanding any other provision timely input by elected officers of State, from such preemption to the extent, and local, and Tribal governments on a of the law, no person is required to based on criteria, set forth in EPCA. (42 respond to, nor shall any person be ‘‘significant intergovernmental U.S.C. 6297(d)) No further action is mandate,’’ and requires an agency plan subject to a penalty for failure to comply required by E.O. 13132. with, a collection of information subject for giving notice and opportunity for to the requirements of the PRA, unless G. Review Under Executive Order 12988 timely input to potentially affected that collection of information displays a Regarding the review of existing small governments before establishing currently valid OMB Control Number. regulations and the promulgation of any requirements that might new regulations, section 3(a) of E.O. significantly or uniquely affect small E. Review Under the National 12988, ‘‘Civil Justice Reform,’’ 61 FR governments. On March 18, 1997, DOE Environmental Policy Act of 1969 4729 (Feb. 7, 1996), imposes on Federal published a statement of policy on its Pursuant to the National agencies the general duty to adhere to process for intergovernmental Environmental Policy Act of 1969 the following requirements: (1) consultation under UMRA. 62 FR (‘‘NEPA’’), DOE has analyzed this action Eliminate drafting errors and ambiguity; 12820; also available at http:// in accordance with NEPA and DOE’s (2) write regulations to minimize energy.gov/gc/office-general-counsel. NEPA implementing regulations (10 litigation; (3) provide a clear legal DOE examined this final rule according CFR part 1021). DOE has determined standard for affected conduct rather to UMRA and its statement of policy that this rule qualifies for categorical than a general standard; and (4) promote and determined that the rule contains exclusion (‘‘CX’’) under 10 CFR part simplification and burden reduction. neither an intergovernmental mandate, 1021, subpart D, Appendix A5 because Section 3(b) of E.O. 12988 specifically nor a mandate that may result in the it is an interpretive rulemaking that requires that Executive agencies make expenditure of $100 million or more in does not change the environmental every reasonable effort to ensure that the any year, so these requirements do not effect of the rule and meets the regulation (1) clearly specifies the apply. requirements for application of a CX. preemptive effect, if any; (2) clearly I. Review Under the Treasury and See 10 CFR 1021.410. Therefore, DOE specifies any effect on existing Federal General Government Appropriations has determined that promulgation of law or regulation; (3) provides a clear Act, 1999 this rule is not a major Federal action legal standard for affected conduct significantly affecting the quality of the while promoting simplification and Section 654 of the Treasury and human environment within the meaning burden reduction; (4) specifies the General Government Appropriations of NEPA, and does not require an retroactive effect, if any; (5) adequately Act, 1999 (Pub. L. 105–277) requires environmental assessment or defines key terms; and (6) addresses Federal agencies to issue a Family environmental impact statement. other important issues affecting clarity Policymaking Assessment for any rule and general draftsmanship under any that may affect family well-being. This F. Review Under Executive Order 13132 guidelines issued by the Attorney final rule will not have any impact on Executive Order 13132, ‘‘Federalism,’’ General. Section 3(c) of E.O. 12988 the autonomy or integrity of the family 64 FR 43255 (Aug. 10, 1999), imposes requires Executive agencies to review as an institution. Accordingly, DOE has certain requirements on agencies regulations in light of applicable concluded that it is not necessary to

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prepare a Family Policymaking M. Review Under Section 32 of the O. Description of Materials Incorporated Assessment. Federal Energy Administration Act of by Reference J. Review Under Executive Order 12630 1974 In this final rule, DOE incorporates by DOE has determined, under E.O. Under section 301 of the Department reference standards published by IEC, 12630, ‘‘Governmental Actions and of Energy Organization Act (Pub. L. 95– IEEE and NEMA. The IEC standard, Interference with Constitutionally 91; 42 U.S.C. 7101), DOE must comply titled ‘‘IEC 60034–2–1:2014 Rotating Protected Property Rights’’ 53 FR 8859 with section 32 of the Federal Energy electrical machines—Part 2–1: Standard (March 18, 1988), that this regulation Administration Act of 1974, as amended methods for determining losses and efficiency from tests (excluding will not result in any takings that might by the Federal Energy Administration machines for traction vehicles),’’ is an require compensation under the Fifth Authorization Act of 1977. (15 U.S.C. Amendment to the U.S. Constitution. alternative industry standard to those 788; ‘‘FEAA’’) Section 32 essentially currently incorporated by reference K. Review Under Treasury and General provides in relevant part that, where a (IEEE 112–2004, IEEE 114–2010, CSA Government Appropriations Act, 2001 rule authorizes or requires use of C747–09, and CSA C390–10) for Section 515 of the Treasury and commercial standards, the notice of measurement of small electric motor General Government Appropriations rulemaking must inform the public of efficiency and electric motor efficiency Act, 2001 (44 U.S.C. 3516 note) provides the use and background of such (See section III.B for more details). for agencies to review most standards. In addition, section 32(c) IEC 60034–2–1:2014 establishes disseminations of information to the requires DOE to consult with the methods of determining efficiencies public under guidelines established by Attorney General and the Chairman of from tests and to specify methods of each agency pursuant to general the Federal Trade Commission (‘‘FTC’’) obtaining specific losses. In addition, guidelines issued by OMB. OMB’s concerning the impact of the DOE incorporates by reference two guidelines were published at 67 FR commercial or industry standards on additional IEC standards, titled ‘‘IEC 8452 (Feb. 22, 2002), and DOE’s competition. 60034–1:2010, Rotating electrical guidelines were published at 67 FR The modifications to the test machines—Part 1: Rating and 62446 (Oct. 7, 2002). DOE has reviewed procedure for small electric motors and performance’’ and ‘‘IEC 60051–1:2016, this final rule under the OMB and DOE electric motors adopted in this final rule Direct acting indicating analogue guidelines and has concluded that it is incorporate certain testing methods measuring instruments and their consistent with applicable policies in contained of the following commercial accessories—Part 1: Definitions and those guidelines. standards: ‘‘IEC 60034–2–1:2014, general requirements common to all L. Review Under Executive Order 13211 Rotating electrical machines—Part 2–1: parts.’’ IEC 60034–1:2010 and IEC 60051–1:2016 specify test conditions E.O. 13211, ‘‘Actions Concerning Standard methods for determining losses and efficiency from tests and procedures that are required for Regulations That Significantly Affect application of the test methods for Energy Supply, Distribution, or Use,’’ 66 (excluding machines for traction vehicles);’’ IEC 60034–1:2010, ‘‘Rotating measurement of energy efficiency FR 28355 (May 22, 2001), requires established in IEC 60034–2–1:2014. Federal agencies to prepare and submit electric machines—Part 1: Rating and The IEEE standard, titled ‘‘IEEE 112– to OMB, a Statement of Energy Effects performance;’’ IEC 60051–1:2016, 2017, Test Procedure for Polyphase for any significant energy action. A ‘‘Direct acting indicating analogue Induction Motors and Generators’’ ‘‘significant energy action’’ is defined as electrical measuring instruments and establishes methods of measurement for any action by an agency that their accessories—Part 1: Definitions current and frequency for both small promulgated or is expected to lead to and general requirements common to all electric motors and electric motors. DOE promulgation of a final rule, and that (1) parts;’’ ‘‘IEEE 112–2017, IEEE Standard incorporates IEEE 112–2017 Test is a significant regulatory action under Test Procedure for Polyphase Induction Method A and Test Method B as an Executive Order 12866, or any successor Motors and Generators;’’ and NEMA MG update to the industry test methods that order; and (2) is likely to have a 1–2016 Motors and Generators. DOE has are currently incorporated by reference significant adverse effect on the supply, evaluated these standards and is unable from IEEE 112–2004 (See section III.B distribution, or use of energy; or (3) is to conclude whether they fully comply for more details). Such action will designated by the Administrator of with the requirements of section 32(b) of harmonize the permitted test methods OIRA as a significant energy action. For the FEAA (i.e., whether they were under subparts X (for small electric any significant energy action, the agency developed in a manner that fully motors) and B (for electric motors) of 10 must give a detailed statement of any provides for public participation, CFR part 431 and align measurement adverse effects on energy supply, comment, and review.) DOE has and instrumentation requirements with distribution, or use if the regulation is consulted with both the Attorney industry practice. implemented, and of reasonable General and the Chairman of the FTC The NEMA standard, titled ‘‘NEMA alternatives to the action and their about the impact on competition of expected benefits on energy supply, MG 1–2016 Motors and Generators’’ using the methods contained in these establishes industry definitions for distribution, and use. standards and has received no This regulatory action is not a breakdown torque of small electric comments objecting to their use. significant regulatory action under E.O. motors (See section III.C for more 12866. Moreover, it would not have a N. Congressional Notification details). significant adverse effect on the supply, In summary, DOE incorporates by distribution, or use of energy, nor has it As required by 5 U.S.C. 801, DOE will reference the following standards: been designated as a significant energy report to Congress on the promulgation (1) IEC 60034–2–1:2014, ‘‘Rotating action by the Administrator of OIRA. of this rule before its effective date. The electrical machines—Part 2–1: Standard Therefore, it is not a significant energy report will state that it has been methods for determining losses and action, and, accordingly, DOE has not determined that the rule is not a ‘‘major efficiency from tests (excluding prepared a Statement of Energy Effects. rule’’ as defined by 5 U.S.C. 804(2). machines for traction vehicles)’’.

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(2) IEC 60034–1:2010, ‘‘Rotating Signed in Washington, DC, on December Floor, 950 L’Enfant Plaza SW, electric machines—Part 1: Rating and 11, 2020. Washington, DC 20024, (202) 586–2945, performance’’. Treena V. Garrett, or go to http://www1.eere.energy.gov/ _ (3) IEC 60051–1:2016, ‘‘Direct acting Federal Register Liaison Officer, U.S. buildings/appliance standards/. It is Department of Energy. indicating analogue electrical measuring also available at the National Archives and Records Administration (NARA). instruments and their accessories—Part For the reasons stated in the For information on the availability of 1: Definitions and general requirements preamble, DOE is amending part 431 of this material at NARA, email: common to all parts’’. Chapter II of Title 10, Code of Federal Regulations as set forth as follows: [email protected], or go to: (4) IEEE 112–2017, ‘‘IEEE Standard www.archives.gov/federal-register/cfr/ Test Procedure for Polyphase Induction PART 431—ENERGY EFFICIENCY ibr-locations.html. Motors and Generators’’. PROGRAM FOR CERTAIN * * * * * (5) NEMA MG 1–2016, ‘‘Motors and COMMERCIAL AND INDUSTRIAL (c) * * * Generators’’. EQUIPMENT (2) IEC 60034–1, Edition 12.0 2010– 02, (‘‘IEC 60034–1:2010’’), Rotating Copies of these standards can be ■ 1. The authority citation for part 431 Electrical Machines—Part 1: Rating and obtained from the organizations directly continues to read as follows: Performance, IBR approved for at the following addresses: Authority: 42 U.S.C. 6291–6317; 28 U.S.C. appendix B to this subpart. • IEC, 3 rue de Varembe´, 1st Floor, 2461 note. (3) IEC 60034–2–1:2014, Edition 2.0 P.O. Box 131, CH—1211 Geneva 20— ■ 2. Section 431.12 is amended by 2014–06, (‘‘IEC 60034–2–1:2014’’), Switzerland, +41 22 919 02 11, or by revising the definition of Rotating electrical machines—Part 2–1: visiting https://webstore.iec.ch/home. ‘‘Accreditation’’ to read as follows: Standard methods for determining • IEEE, 445 Hoes Lane, P.O. Box losses and efficiency from tests § 431.12 Definitions. (excluding machines for traction 1331, Piscataway, NJ 08855–1331, (732) vehicles), IBR approved for §§ 431.12; 981–0060, or by visiting http:// * * * * * 431.19; 431.20; appendix B to this www.ieee.org. Accreditation means recognition by an accreditation body that a laboratory subpart. • NEMA, 1300 North 17th Street, is competent to test the efficiency of * * * * * Suite 900, Arlington, Virginia 22209, +1 electric motors according to the scope (6) IEC 60051–1:2016, Edition 6.0 703 841 3200, or by visiting https:// and procedures given in IEEE 112–2017 2016–02, (‘‘IEC 60051–1:2016’’), Direct www.nema.org. Test Method B, CSA C390–10, or IEC acting indicating analogue electrical IV. Approval of the Office of the 60034–2–1:2014 Method 2–1–1B measuring instruments and their (incorporated by reference, see accessories—Part 1: Definitions and Secretary § 431.15). general requirements common to all The Secretary of Energy has approved * * * * * parts, IBR approved for appendix B to publication of this final rule. ■ 3. Section 431.15 is amended by: this subpart. ■ * * * * * List of Subjects in 10 CFR Part 431 a. Throughout this section, removing the words ‘‘subpart B of part 431’’ and (d) * * * TM Administrative practice and adding, in their place, ‘‘this subpart’’ (1) IEEE 112 –2017 (‘‘IEEE 112– 2017’’), IEEE Standard Test Procedure procedure, Confidential business ■ b. Revising paragraph (a); for Polyphase Induction Motors and information, Energy conservation test ■ c. Redesignating paragraph (c)(4) as Generators, approved December 6, 2017, procedures, Incorporation by reference, paragraph (c)(7) and paragraphs (c)(2) and (3) as paragraphs (c)(4) and (5), IBR approved for §§ 431.12; 431.19; and Reporting and recordkeeping 431.20; appendix B to this subpart. requirements. respectively; ■ d. Adding new paragraphs (c)(2), (3), * * * * * Signing Authority and (6); and ■ 4. Section 431.19 is amended by ■ e. Revising paragraph (d)(1). revising paragraphs (b)(4) and (c)(4) to This document of the Department of The additions and revisions read as read as follows: Energy was signed on December 11, follows: 2020, by Daniel R Simmons, Assistant § 431.19 Department of Energy recognition Secretary for Energy Efficiency and § 431.15 Materials incorporated by of accreditation bodies. Renewable Energy, pursuant to reference. * * * * * delegated authority from the Secretary (a) General. Certain material is (b) * * * of Energy. That document with the incorporated by reference into this (4) It must be expert in the content original signature and date is subpart with the approval of the and application of the test procedures maintained by DOE. For administrative Director of the Federal Register under 5 and methodologies in IEEE 112–2017 purposes only, and in compliance with U.S.C. 552(a) and 1 CFR part 51. To Test Method B, CSA C390–10, or IEC requirements of the Office of the Federal enforce any edition other than that 60034–2–1:2014 Method 2–1–1B, specified in this section, the Department Register, the undersigned DOE Federal (incorporated by reference, see of Energy must publish a document in Register Liaison Officer has been § 431.15). the Federal Register and the material (c) * * * authorized to sign and submit the must be available to the public. (4) Expertise in electric motor test document in electronic format for Standards can be obtained from the procedures. The petition should set publication, as an official document of sources below. All approved material is forth the organization’s experience with the Department of Energy. This available for inspection at U.S. the test procedures and methodologies administrative process in no way alters Department of Energy, Office of Energy in IEEE 112–2017 Test Method B, CSA the legal effect of this document upon Efficiency and Renewable Energy, C390–10, or IEC 60034–2–1:2014 publication in the Federal Register. Building Technologies Program, Sixth Method 2–1–1B, (incorporated by

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reference, see § 431.15). This part of the each occurrence and add in its place, calculations’’ as specified in section 2(3) of petition should include items such as, ‘‘IEEE 112–2017 Test Method B.’’ this appendix. but not limited to, a description of prior The additions and revisions read as (b) In § 431.15, DOE incorporated by projects and qualifications of staff follows: reference the following enumerated provisions of NEMA MG 1–2009: members. Of particular relevance would Appendix B to Subpart B of Part 431— (i) Paragraph 12.58.1, ‘‘Determination of be documentary evidence that Uniform Test Method for Measuring Motor Efficiency and Losses’’ as specified in establishes experience in applying the Nominal Full Load Efficiency of the introductory paragraph to section 2 of guidelines contained in the ISO/IEC this appendix, and Electric Motors Guide 25, General Requirements for the (ii) [Reserved] Competence of Calibration and Testing 0. Incorporation by Reference (c) In cases where there is a conflict, the language of this appendix takes precedence Laboratories, (referenced for guidance (a) In § 431.15, DOE incorporated by over those documents. Any subsequent reference the entire standard for CSA C390– only, see § 431.14) to energy efficiency amendment to a referenced document by the 10, IEC 60034–1:2010, IEC 60034–2–1:2014, testing for electric motors. standard-setting organization will not affect IEC 60051–1:2016, and IEEE 112–2017; * * * * * the test procedure in this appendix, unless however, only enumerated provisions of and until the test procedure is amended by ■ 5. Section 431.20 is amended by those documents are applicable as follows: revising paragraphs (b)(4) and (c)(4) to DOE. Material is incorporated as it exists on (i) CSA C390–10: the date of the approval, and a notice of any read as follows: (1) Section 1.3 ‘‘Scope,’’ as specified in change in the material will be published in section 2(1) of this appendix; the Federal Register. § 431.20 Department of Energy recognition (2) Section 3.1 ‘‘Definitions,’’ as specified of nationally recognized certification in section 2(1) of this appendix; * * * * * programs. (3) Section 5 ‘‘General test requirements— 2. Test Procedures * * * * * Measurements,’’ as specified in section 2(1) of this appendix; Efficiency and losses must be determined (b) * * * in accordance with NEMA MG 1–2009 (4) It must be expert in the content (4) Section 7 ‘‘Test method,’’ as specified in section 2(1) of this appendix; (incorporated by reference, see § 431.15), and application of the test procedures paragraph 12.58.1, ‘‘Determination of Motor and methodologies in IEEE 112–2017 (5) Table 1 ‘‘Resistance measurement time delay,’’ as specified in section 2(1) of this Efficiency and Losses,’’ and one of the Test Method B, CSA C390–10, or IEC appendix; following testing methods: 60034–2–1:2014 Method 2–1–1B, (6) Annex B ‘‘Linear regression analysis,’’ (1) CSA C390–10 (incorporated by (incorporated by reference, see as specified in section 2(1) of this appendix; reference, see § 431.15), Section 1.3 ‘‘Scope’’, § 431.15). It must have satisfactory and Section 3.1 ‘‘Definitions’’, Section 5 ‘‘General test requirements—Measurements’’, Section 7 (7) Annex C ‘‘Procedure for correction of criteria and procedures for the selection ‘‘Test method’’, Table 1 ‘‘Resistance dynamometer torque readings’’ as specified and sampling of electric motors tested measurement time delay’’, Annex B ‘‘Linear in section 2(1) of this appendix. for energy efficiency. regression analysis’’ and Annex C ‘‘Procedure (ii) IEC 60034–1:2010: (c) * * * for correction of dynamometer torque (1) Section 7.2 as specified in section 2(2) (4) Expertise in electric motor test readings.’’ of this appendix; procedures. The petition should set (2) IEC 60034–2–1:2014 (incorporated by (2) Section 8.6.2.3.3 as specified in section reference, see § 431.15), Method 2–1–1B, forth the program’s experience with the 2(2) of this appendix; and Section 3 ‘‘Terms and definitions’’, Section 4 test procedures and methodologies in (3) Table 5 as specified in section 2(2) of IEEE 112–2017 Test Method B, CSA ‘‘Symbols and abbreviations’’, Section 5 this appendix. ‘‘Basic requirements’’, Section 6.1.3 ‘‘Method C390–10, or IEC 60034–2–1:2014 (iii) IEC 60034–2–1:2014: 2–1–1B—Summation of losses, additional Method 2–1–1B, (incorporated by (1) Method 2–1–1B as specified in section load losses according to the method of reference, see § 431.15). This part of the 2(2) and section 3, of this appendix; residual losses.’’ The supply voltage shall be petition should include items such as, (2) Section 3 ‘‘Terms and definitions’’ as in accordance with section 7.2 of IEC 60034– but not limited to, a description of prior specified in section 2(2) of this appendix; 1:2010 (incorporated by reference, see (3) Section 4 ‘‘Symbols and abbreviations’’ projects and qualifications of staff § 431.15). The measured resistance at the end as specified in section 2(2) of this appendix; of the thermal test shall be determined in a members. Of particular relevance would (4) Section 5 ‘‘Basic requirements’’ as be documentary evidence that similar way to the extrapolation procedure specified in section 2(2) of this appendix; described in section 8.6.2.3.3 of IEC 60034– establishes experience in applying and 1:2010, using the shortest possible time guidelines contained in the ISO/IEC (5) Section 6.1.3 ‘‘Method 2–1–1B— instead of the time interval specified in Table Guide 25, General Requirements for the Summation of losses, additional load losses 5 therein, and extrapolating to zero. The Competence of Calibration and Testing according to the method of residual losses’’ measuring instruments for electrical Laboratories (referenced for guidance as specified in section 2(2) of this appendix. quantities shall have the equivalent of an only, see 431.14) to energy efficiency (iv) IEEE 112–2017: accuracy class of 0,2 in case of a direct test (1) Test Method B, Input-Output With Loss testing for electric motors. and 0,5 in case of an indirect test in Segregation as specified in section 2(3), accordance with IEC 60051–1:2016 * * * * * section 3, and section 3.8 of this appendix; (incorporated by reference, see § 431.15), or ■ 6. Appendix B to subpart B of part 431 (2) Section 3 ‘‘General’’ as specified in (3) IEEE 112–2017, (incorporated by is amended by: section 2(3) of this appendix; reference, see § 431.15), Test Method B, ■ a. Removing the introductory note; (3) Section 4 ‘‘Measurements’’ as specified Input-Output With Loss Segregation, Section ■ b. Adding Section 0; in section 2(3) of this appendix; 3 ‘‘General’’, Section 4 ‘‘Measurements’’, ■ c. Revising Section 2; (4) Section 5 ‘‘Machine losses and tests for Section 5 ‘‘Machine losses and tests for ■ d. Removing Section 3; losses’’ as specified in section 2(3) of this losses’’, Section 6.1 ‘‘General’’, Section 6.4 ■ e. Redesignating Sections 4, 4.1,4.2, appendix; ‘‘Efficiency test method B—Input-output (5) Section 6.1 ‘‘General’’ as specified in with loss segregation’’, Section 9.4 ‘‘Form 4.3, 4.4, 4.5, 4.6, 4.7, and 4.8 as Sections section 2(3) of this appendix; 3, 3.1, 3.2, 3.4, 3.5, 3.6, 3.7, and 3.8 B—Method B’’, and Section 9.5 ‘‘Form B2— (6) Section 6.4 ‘‘Efficiency test method B— Method B calculations.’’ respectively; Input-output with loss segregation’’ as ■ f. Revising newly redesignated specified in section 2(3) of this appendix; 3. Procedures for the Testing of Certain Section 3; and and Electric Motor Types ■ g. In newly redesignated Section 3.8, (7) Section 9.4 ‘‘Form B—Method B’’, and Prior to testing according to CSA C390–10, remove ‘‘IEEE 112 (Test Method B)’’ at Section 9.5 ‘‘Form B2—Method B IEC 60034–2–1:2014 Method 2–1–1B, or IEEE

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112–2017 Test Method B, each basic model § 431.443 Materials incorporated by Generators, ANSI approved June 1, of the electric motor types listed below must reference. 2018, IBR approved for § 431.442. be set up in accordance with the instructions (a) General. Certain material is (2) [Reserved] of this section to ensure consistent test incorporated by reference into subpart X ■ 9. Section 431.444 is revised to read results. These steps are designed to enable a of part 431 with the approval of the motor to be attached to a dynamometer and as follows: Director of the Federal Register under 5 run continuously for testing purposes. For § 431.444 Test Procedures for the the purposes of this appendix, a ‘‘standard U.S.C. 552(a) and 1 CFR part 51. Material is incorporated as it exists on measurement of energy efficiency of small bearing’’ is a 6000 series, either open or electric motors. grease-lubricated double-shielded, single- the date of the approval, and a row, deep groove, radial ball bearing. notification of any change in the (a) Scope. Pursuant to section 346(b)(1) of EPCA, this section provides * * * * * material will be published in the Federal Register. Standards can be the test procedures for measuring the ■ 7. Section 431.442 is amended by full-load efficiency of small electric adding, in alphabetical order, obtained from the sources below. All approved material is available for motors pursuant to EPCA. (42 U.S.C. definitions for ‘‘Breakdown torque’’, inspection at U.S. Department of 6317(b)(1)) For purposes of this part 431 ‘‘Rated frequency’’, ‘‘Rated load’’, Energy, Office of Energy Efficiency and and EPCA, the test procedures for ‘‘Rated output power’’, and ‘‘Rated Renewable Energy, Building measuring the efficiency of small voltage’’, to read as follows: Technologies Program, Sixth Floor, 950 electric motors shall be the test § 431.442 Definitions. L’Enfant Plaza SW, Washington, DC procedures specified in paragraph (b) of 20024, (202) 586–2945, or go to http:// this section. * * * * * (b) Testing and Calculations. Breakdown torque means the www1.eere.energy.gov/buildings/ appliance_standards/. It is also Determine the full-load efficiency of a maximum torque that the motor will small electric motor using one of the test develop with rated voltage and available at the National Archives and Records Administration (NARA). For methods listed in this paragraphs (b)(1) frequency applied without an abrupt through (4) of this section. drop in speed. The breakdown torque is information on the availability of this material at NARA, email: fedreg.legal@ (1) Incorporation by reference: In the local maximum of the torque-speed § 431.443, DOE incorporated by plot of the motor, closest to the nara.gov, or go to: www.archives.gov/ federal-register/cfr/ibr-locations.html. reference the entire standard for CSA synchronous speed of the motor, C747–09, CSA C390–10, IEC 60034– determined in accordance with NEMA * * * * * 1:2010, IEC 60034–2–1:2014, IEC (c) IEC. International Electrotechnical MG 1–2016 (incorporated by reference, 60051–1:2016, IEEE 112–2017, and IEEE Commission, 3 rue de Varembe´, 1st see § 431.443). 114–2010 into this section; however, Floor, P.O. Box 131, CH—1211 Geneva * * * * * only enumerated provisions of those 20—Switzerland, +41 22 919 02 11, or Rated frequency means 60 hertz. documents referenced in this section are Rated load (or full load, full rated go to https://webstore.iec.ch/home. (1) IEC 60034–1, Edition 12.0 2010– applicable as follows: load, or rated full load) means the rated (i) CSA C747–09: 02, (‘‘IEC 60034–1:2010’’), Rotating output power of a small electric motor. (A) Section 1.6 ‘‘Scope’’ as specified electrical machines—Part 1: Rating and Rated output power means the in paragraphs (b)(2)(ii) and (b)(3)(ii) of performance, IBR approved for mechanical output power that this section; §§ 431.444. (B) Section 3 ‘‘Definitions’’ as corresponds to the small electric motor’s (2) IEC 60034–2–1:2014, Edition 2.0 specified in paragraphs (b)(2)(ii) and breakdown torque as specified in NEMA 2014–06, (‘‘IEC 60034–2–1:2014’’), (b)(3)(ii) of this section; MG 1–2016 Table 10–5 (incorporated by Rotating electrical machines—Part 2–1: reference, see § 431.443) for single- (C) Section 5 ‘‘General test Standard methods for determining requirements’’ as specified in phase motors or 140 percent of the losses and efficiency from tests breakdown torque values specified in paragraphs (b)(2)(ii) and (b)(3)(ii) of this (excluding machines for traction section; and NEMA MG 1–2016 Table 10–5 for vehicles), IBR approved for §§ 431.444, polyphase motors. For purposes of this (D) Section 6 ‘‘Test method’’ as and 431.447. specified in paragraphs (b)(2)(ii) and definition, NEMA MG 1–2016 Table 10– (3) IEC 60051–1:2016, Edition 6.0 (b)(3)(ii) of this section. 5 is applied regardless of whether 2016–02, (‘‘IEC 60051–1:2016), Direct elements of NEMA MG 1–2016 Table (ii) CSA C390–10: acting indicating analogue electrical (A) Section 1.3, ‘‘Scope’’ as specified 10–5 are identified as for small or measuring instruments and their medium motors. in paragraph (b)(4)(ii) of this section; accessories—Part 1: Definitions and (B) Section 3.1, ‘‘Definitions’’ as Rated voltage means the input voltage general requirements common to all specified in paragraph (b)(4)(ii) of this of a small electric motor used when parts, IBR approved for §§ 431.444. section; making representations of the (d) * * * (C) Section 5, ‘‘General test performance characteristics of a given TM (1) IEEE 112 –2017 (‘‘IEEE 112– requirements—Measurements’’ as small electric motor and selected by the 2017’’), IEEE Standard Test Procedure specified in paragraph (b)(4)(ii) of this motor’s manufacturer to be used for for Polyphase Induction Motors and section; testing the motor’s efficiency. Generators, approved December 6, 2017, (D) Section 7, ‘‘Test method’’ as * * * * * IBR approved for §§ 431.444, and specified in paragraph (b)(4)(ii) of this ■ 8. Section 431.443 is amended by: 431.447. section; ■ a. Revising paragraph (a); * * * * * (E) Table 1, ‘‘Resistance measurement ■ b. Redesignating paragraph (c) as (d); (e) NEMA. National Electrical time delay’’ as specified in paragraph ■ c. Adding new paragraph (c); Manufacturers Association, 1300 North (b)(4)(ii) of this section; ■ d. Revising newly redesignated 17th Street, Suite 900, Arlington, (F) Annex B, ‘‘Linear regression paragraph (d)(1); and Virginia 22209, +1 703 841 3200, or go analysis’’ as specified in paragraph ■ e. Adding paragraph (e). to https://www.nema.org. (b)(4)(ii) of this section; and The revisions and additions read as (1) NEMA MG 1–2016, American (G) Annex C, ‘‘Procedure for follows: National Standard for Motors and correction of dynamometer torque

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readings’’ as specified in paragraph (I) Section 9.2, ‘‘Form A—Method A’’ Section 4 ‘‘Symbols and abbreviations’’, (b)(4)(ii) of this section. as specified in paragraph (b)(3)(i) of this Section 5 ‘‘Basic requirements’’, and (iii) IEC 60034–1:2010: section; Section 6.1.2 ‘‘Method 2–1–1A—Direct (A) Section 7.2 as specified in (J) Section 9.3, ‘‘Form A2—Method A measurement of input and output’’ paragraphs (b)(2)(iii), (b)(3)(iii), and calculations’’ as specified in paragraph (except Section 6.1.2.2, ‘‘Test (b)(4)(iii) of this section; (b)(3)(i) of this section; Procedure’’). The supply voltage shall (B) Section 8.6.2.3.3 as specified in (K) Section 9.4, ‘‘Form B—Method B’’ be in accordance with section 7.2 of IEC paragraphs (b)(2)(iii), (b)(3)(iii), and as specified in paragraph (b)(4)(i) of this 60034–1:2010 (incorporated by (b)(4)(iii) of this section; and section; and reference, see § 431.443). The measured (C) Table 5 as specified in paragraphs (L) Section 9.5, ‘‘Form B2—Method B resistance at the end of the thermal test (b)(2)(iii), (b)(3)(iii), and (b)(4)(iii) of this calculations’’ as specified in paragraph shall be determined in a similar way to section. (b)(4)(i) of this section. the extrapolation procedure described (iv) IEC 60034–2–1:2014: (vii) IEEE 114–2010: in section 8.6.2.3.3 of IEC 60034–1:2010, (A) Method 2–1–1A as specified in (A) Section 3.2, ‘‘Test with load’’ as using the shortest possible time instead paragraphs (b)(2)(iii) and (b)(3)(iii) of specified in paragraph (b)(2)(i) of this of the time interval specified in Table 5 this section; section; therein, and extrapolating to zero. The (B) Method 2–1–1B as specified in (B) Section 4, ‘‘Testing Facilities as measuring instruments for electrical paragraph (b)(4)(iii) of this section; specified in paragraph (b)(2)(i) of this quantities shall have the equivalent of (C) Section 3 ‘‘Terms and definitions’’ section; an accuracy class of 0,2 in case of a as specified in paragraphs (b)(2)(iii), (C) Section 5, ‘‘Measurements’’ as direct test and 0,5 in case of an indirect (b)(3)(iii), and (b)(4)(iii) of this section; specified in paragraph (b)(2)(i) of this test in accordance with section 5.2 of (D) Section 4 ‘‘Symbols and section; IEC 60051–1:2016 (incorporated by abbreviations’’ as specified in (D) Section 6, ‘‘General’’ as specified reference, see § 431.443). paragraphs (b)(2)(iii), (b)(3)(iii), in paragraph (b)(2)(i) of this section; (A) Additional IEC 60034–2–1:2014 (b)(4)(iii) of this section; (E) Section 7, ‘‘Type of loss’’ as Method 2–1–1A Torque Measurement (E) Section 5 ‘‘Basic requirements’’ as specified in paragraph (b)(2)(i) of this Instructions. specified in paragraphs (b)(2)(iii), section; If using IEC 60034–2–1:2014 Method (b)(3)(iii), and (b)(4)(iii) of this section; (F) Section 8, ‘‘Efficiency and Power 2–1–1A to measure motor performance, (F) Section 6.1.2 ‘‘Method 2–1–1A— Factor’’ as specified in paragraph follow the instructions in paragraph Direct measurement of input and (b)(2)(i) of this section; (b)(2)(iii)(B) of this section, instead of output’’ (except Section 6.1.2.2, ‘‘Test (G) Section 10 ‘‘Temperature Tests’’ as section 6.1.2.2 of IEC 60034–2–1:2014; Procedure’’) as specified in paragraphs specified in paragraph (b)(2)(i) of this (B) Couple the machine under test to (b)(2)(iii) and (b)(3)(iii) of this section; section; a load machine. Measure torque using (G) Section 6.1.3 ‘‘Method 2–1–1B— (H) Annex A, Section A.3 an in-line, shaft-coupled, rotating torque Summations of losses, additional load ‘‘Determination of Motor Efficiency’’ as transducer or stationary, stator reaction losses according to the method of specified in paragraph (b)(2)(i) of this torque transducer. Operate the machine residual losses’’ as specified in section; and under test at the rated load until thermal paragraph (b)(4)(iii) of this section; and (I) Annex A, Section A.4 ‘‘Explanatory equilibrium is achieved (rate of change (H) Annex D, ‘‘Test report template notes for form 3, test data’’ as specified 1 K or less per half hour). Record U, I, for 2–1–1B’’ as specified in paragraph in paragraph (b)(2)(i) of this section. Pel, n, T, qc. (b)(4)(iii) of this section. (viii) In cases where there is a (3) Polyphase small electric motors of (v) IEC 60051–1:2016: conflict, the language of this appendix less than or equal to 1 horsepower (0.75 (A) Section 5.2 as specified in takes precedence over those documents. kW). For polyphase small electric paragraphs (b)(2)(iii), (b)(3)(iii) and Any subsequent amendment to a motors with 1 horsepower or less, use (b)(4)(iii), of this section; and referenced document by the standard- (B) [Reserved] one of the following methods: (vi) IEEE 112–2017: setting organization will not affect the (i) IEEE 112–2017 Test Method A, (A) Test Method A as specified in test procedure in this appendix, unless Section 3, ‘‘General’’, Section 4, paragraph (b)(3)(i) of this section; and until the test procedure is amended ‘‘Measurements’’, Section 5, ‘‘Machine (B) Test Method B as specified in by DOE. losses and tests for losses’’, Section 6.1, paragraph (b)(4)(i) of this section; (2) Single-phase small electric motors. ‘‘General’’, Section 6.3, ‘‘Efficiency test (C) Section 3, ‘‘General’’ as specified For single-phase small electric motors, method A—Input-output’’, Section 9.2, in paragraphs (b)(3)(i) and (b)(4)(i) of use one of the following methods: ‘‘Form A—Method A’’, and Section 9.3, this section; (i) IEEE 114–2010, Section 3.2, ‘‘Test ‘‘Form A2—Method A calculations’’; (D) Section 4, ‘‘Measurements’’ as with load’’, Section 4, ‘‘Testing (ii) CSA C747–09, Section 1.6 specified in paragraphs (b)(3)(i) and Facilities, Section 5, ‘‘Measurements’’, ‘‘Scope’’, Section 3 ‘‘Definitions’’, (b)(4)(i) of this section; Section 6, ‘‘General’’, Section 7, ‘‘Type Section 5, ‘‘General test requirements’’, (E) Section 5, ‘‘Machine losses and of loss’’, Section 8, ‘‘Efficiency and and Section 6 ‘‘Test method’’; tests for losses’’ as specified in Power Factor’’; Section 10 (iii) IEC 60034–2–1:2014 Method 2–1– paragraphs (b)(3)(i) and (b)(4)(i) of this ‘‘Temperature Tests’’, Annex A, Section 1A, Section 3 ‘‘Terms and definitions’’, section; A.3 ‘‘Determination of Motor Section 4 ‘‘Symbols and abbreviations’’, (F) Section 6.1, ‘‘General’’ as specified Efficiency’’, Annex A, Section A.4 Section 5 ‘‘Basic requirements’’, and in paragraphs (b)(3)(i) and (b)(4)(i) of ‘‘Explanatory notes for form 3, test Section 6.1.2 ‘‘Method 2–1–1A—Direct this section; data’’; measurement of input and output’’ (G) Section 6.3, ‘‘Efficiency test (ii) CSA C747–09, Section 1.6 (except Section 6.1.2.2, ‘‘Test method A—Input-output’’ as specified ‘‘Scope’’, Section 3 ‘‘Definitions’’, Procedure’’). The supply voltage shall in paragraph (b)(3)(i) of this section; Section 5, ‘‘General test requirements’’, be in accordance with section 7.2 of IEC (H) Section 6.4, ‘‘Efficiency test and Section 6 ‘‘Test method’’; 60034–1:2010. The measured resistance method B—Input-output’’ as specified (iii) IEC 60034–2–1:2014 Method 2–1– at the end of the thermal test shall be in paragraph (b)(4)(i) of this section; 1A, Section 3 ‘‘Terms and definitions’’, determined in a similar way to the

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extrapolation procedure described in measuring instruments for electrical DEPARTMENT OF TRANSPORTATION section 8.6.2.3.3 of IEC 60034–1:2010 quantities shall have the equivalent of using the shortest possible time instead an accuracy class of 0,2 in case of a Federal Aviation Administration of the time interval specified in Table 5 direct test and 0,5 in case of an indirect therein, and extrapolating to zero. The test in accordance with section 5.2 of 14 CFR Part 97 measuring instruments for electrical IEC 60051–1:2016. quantities shall have the equivalent of [Docket No. 31349; Amdt. No. 3938] an accuracy class of 0,2 in case of a ■ 10. Section 431.447 is amended by direct test and 0,5 in case of an indirect revising paragraphs (b)(4) and (c)(4), to Standard Instrument Approach test in accordance with section 5.2 of read as follows: Procedures, and Takeoff Minimums IEC 60051–1:2016. and Obstacle Departure Procedures; (A) Additional IEC 60034–2–1:2014 § 431.447 Department of Energy Miscellaneous Amendments Method 2–1–1A Torque Measurement recognition of nationally recognized certification programs. Instructions. AGENCY: Federal Aviation If using IEC 60034–2–1:2014 Method * * * * * Administration (FAA), DOT. 2–1–1A to measure motor performance, (b) * * * ACTION: Final rule. follow the instructions in paragraph (b)(3)(iii)(B) of this section, instead of (4) It must be expert in the content SUMMARY: This rule amends, suspends, section 6.1.2.2 of IEC 60034–2–1:2014; and application of the test procedures or removes Standard Instrument (B) Couple the machine under test to and methodologies in IEEE 112–2017 Approach Procedures (SIAPs) and load machine. Measure torque using an Test Method A, IEEE 112–2017 Test associated Takeoff Minimums and in-line shaft-coupled, rotating torque Method B, IEEE 114–2010, IEC 60034– Obstacle Departure Procedures for transducer or stationary, stator reaction 2–1:2014 Method 2–1–1A, IEC 60034– operations at certain airports. These torque transducer. Operate the machine 2–1:2014 Method 2–1–1B, CSA C390– regulatory actions are needed because of under test at the rated load until thermal 10, or CSA C747–09 (incorporated by the adoption of new or revised criteria, equilibrium is achieved (rate of change reference, see § 431.443) or similar or because of changes occurring in the 1 K or less per half hour). Record U, I, procedures and methodologies for National Airspace System, such as the Pel, n, T, qc. determining the energy efficiency of commissioning of new navigational (4) Polyphase small electric motors of small electric motors. It must have facilities, adding new obstacles, or greater than 1 horsepower (0.75 kW). satisfactory criteria and procedures for changing air traffic requirements. These For polyphase small electric motors the selection and sampling of electric changes are designed to provide for the exceeding 1 horsepower, use one of the motors tested for energy efficiency. safe and efficient use of the navigable following methods: airspace and to promote safe flight (i) IEEE 112–2017 Test Method B, (c) * * * operations under instrument flight rules Section 3, ‘‘General’’; Section 4, (4) Expertise in small electric motor at the affected airports. ‘‘Measurements’’; Section 5, ‘‘Machine test procedures. The petition should set DATES: This rule is effective January 4, losses and tests for losses’’, Section 6.1, forth the program’s experience, as 2021. The compliance date for each ‘‘General’’, Section 6.4, ‘‘Efficiency test applicable, with the test procedures and SIAP, associated Takeoff Minimums, method B—Input-output with loss methodologies in, IEEE 112–2017 Test and ODP is specified in the amendatory segregation’’, Section 9.4, ‘‘Form B— Method A, IEEE 112–2017 Test Method provisions. Method B’’, and Section 9.5, ‘‘Form B, IEEE 114–2010, IEC 60034–2–1:2014 The incorporation by reference of B2—Method B calculations’’; or Method 2–1–1A, IEC 60034–2–1:2014 (ii) CSA C390–10, Section 1.3, certain publications listed in the Method 2–1–1B, CSA C390–10, and ‘‘Scope’’, Section 3.1, ‘‘Definitions’’, regulations is approved by the Director Section 5, ‘‘General test requirements— CSA C747–09 (incorporated by of the Federal Register as of January 4, Measurements’’, Section 7, ‘‘Test reference, see § 431.443) and with 2021. method’’, Table 1, ‘‘Resistance similar procedures and methodologies. ADDRESSES: Availability of matter measurement time delay, Annex B, This part of the petition should include incorporated by reference in the ‘‘Linear regression analysis’’, and Annex items such as, but not limited to, a amendment is as follows: description of prior projects and C, ‘‘Procedure for correction of For Examination dynamometer torque readings’’; or qualifications of staff members. Of (iii) IEC 60034–2–1:2014 Method 2–1– particular relevance would be 1. U.S. Department of Transportation, 1B Section 3 ‘‘Terms and definitions’’, documentary evidence that establishes Docket Ops–M30, 1200 New Jersey Section 4 ‘‘Symbols and abbreviations’’, experience in applying guidelines Avenue SE, West Bldg., Ground Floor, Section 5 ‘‘Basic requirements’’, Section contained in the ISO/IEC Guide 25, Washington, DC 20590–0001; 6.1.3 ‘‘Method 2–1–1B—Summation of General Requirements for the 2. The FAA Air Traffic Organization losses, additional load losses according Competence of Calibration and Testing Service Area in which the affected to the method of residual losses.’’, and Laboratories to energy efficiency testing airport is located; Annex D, ‘‘Test report template for 2– for electric motors. 3. The office of Aeronautical 1–1B. The supply voltage shall be in Navigation Products, 6500 South * * * * * MacArthur Blvd., Oklahoma City, OK accordance with section 7.2 of IEC [FR Doc. 2020–27662 Filed 12–31–20; 8:45 am] 60034–1:2010. The measured resistance 73169 or, at the end of the thermal test shall be BILLING CODE 6450–01–P 4. The National Archives and Records determined in a similar way to the Administration (NARA). extrapolation procedure described in For information on the availability of section 8.6.2.3.3 of IEC 60034–1:2010 this material at NARA, email using the shortest possible time instead [email protected] or go to: https:// of the time interval specified in Table 5 www.archives.gov/federal-register/cfr/ therein, and extrapolating to zero. The ibr-locations.html.

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Availability Availability and Summary of Material necessary to keep them operationally Incorporated by Reference current. It, therefore—(1) is not a All SIAPs and Takeoff Minimums and The material incorporated by ‘‘significant regulatory action’’ under ODPs are available online free of charge. reference is publicly available as listed Executive Order 12866; (2) is not a Visit the National Flight Data Center in the ADDRESSES section. ‘‘significant rule’’ under DOT regulatory online at nfdc.faa.gov to register. The material incorporated by Policies and Procedures (44 FR 11034; Additionally, individual SIAP and reference describes SIAPs, Takeoff February 26, 1979); and (3) does not Takeoff Minimums and ODP copies may Minimums and ODPs as identified in warrant preparation of a regulatory be obtained from the FAA Air Traffic the amendatory language for part 97 of evaluation as the anticipated impact is Organization Service Area in which the this final rule. so minimal. For the same reason, the affected airport is located. FAA certifies that this amendment will The Rule not have a significant economic impact FOR FURTHER INFORMATION CONTACT: This amendment to 14 CFR part 97 is on a substantial number of small entities Thomas J. Nichols, Flight Procedures effective upon publication of each under the criteria of the Regulatory and Airspace Group, Flight separate SIAP and Takeoff Minimums Flexibility Act. Technologies and Procedures Division, and ODP as amended in the transmittal. List of Subjects in 14 CFR Part 97 Flight Standards Service, Federal For safety and timeliness of change Aviation Administration. Mailing considerations, this amendment Air Traffic Control, Airports, Address: FAA Mike Monroney incorporates only specific changes Incorporation by reference, Navigation Aeronautical Center, Flight Procedures contained for each SIAP and Takeoff (Air). and Airspace Group, 6500 South Minimums and ODP as modified by Issued in Washington, DC, on December MacArthur Blvd., Registry Bldg 29 FDC permanent NOTAMs. 25, 2020. Room 104, Oklahoma City, OK 73169. The SIAPs and Takeoff Minimums Wade Terrell, and ODPs, as modified by FDC Telephone: (405) 954–4164. Aviation Safety, Manager, Flight Procedures permanent NOTAM, and contained in SUPPLEMENTARY INFORMATION: & Airspace Group, Flight Technologies and this amendment are based on criteria Procedures Division. This rule amends 14 CFR part 97 by contained in the U.S. Standard for amending the referenced SIAPs. The Terminal Instrument Procedures Adoption of the Amendment complete regulatory description of each (TERPS). In developing these changes to Accordingly, pursuant to the SIAP is listed on the appropriate FAA SIAPs and Takeoff Minimums and authority delegated to me, Title 14, CFR Form 8260, as modified by the National ODPs, the TERPS criteria were applied part 97, is amended by amending Flight Data Center (NFDC)/Permanent only to specific conditions existing at Standard Instrument Approach Notice to Airmen (P–NOTAM), and is the affected airports. All SIAP Procedures and Takeoff Minimums and incorporated by reference under 5 amendments in this rule have been ODPs, effective at 0901 UTC on the U.S.C. 552(a), 1 CFR part 51, and 14 previously issued by the FAA in a FDC dates specified, as follows: CFR 97.20. The large number of SIAPs, NOTAM as an emergency action of their complex nature, and the need for immediate flight safety relating directly PART 97—STANDARD INSTRUMENT a special format make their verbatim to published aeronautical charts. APPROACH PROCEDURES publication in the Federal Register The circumstances that created the ■ 1. The authority citation for part 97 expensive and impractical. Further, need for these SIAP and Takeoff continues to read as follows: airmen do not use the regulatory text of Minimums and ODP amendments the SIAPs, but refer to their graphic require making them effective in less Authority: 49 U.S.C. 106(f), 106(g), 40103, depiction on charts printed by than 30 days. 40106, 40113, 40114, 40120, 44502, 44514, Because of the close and immediate 44701, 44719, 44721–44722. publishers of aeronautical materials. relationship between these SIAPs, ■ 2. Part 97 is amended to read as Thus, the advantages of incorporation Takeoff Minimums and ODPs, and by reference are realized and follows: safety in air commerce, I find that notice By amending: § 97.23 VOR, VOR/ publication of the complete description and public procedure under 5 U.S.C. of each SIAP contained on FAA form DME, VOR or TACAN, and VOR/DME 553(b) are impracticable and contrary to or TACAN; § 97.25 LOC, LOC/DME, documents is unnecessary. This the public interest and, where amendment provides the affected CFR LDA, LDA/DME, SDF, SDF/DME; applicable, under 5 U.S.C. 553(d), good § 97.27 NDB, NDB/DME; § 97.29 ILS, sections, and specifies the SIAPs and cause exists for making these SIAPs Takeoff Minimums and ODPs with their ILS/DME, MLS, MLS/DME, MLS/RNAV; effective in less than 30 days. § 97.31 RADAR SIAPs; § 97.33 RNAV applicable effective dates. This The FAA has determined that this SIAPs; and § 97.35 COPTER SIAPs, amendment also identifies the airport regulation only involves an established Identified as follows: and its location, the procedure and the body of technical regulations for which amendment number. frequent and routine amendments are Effective Upon Publication

AIRAC date State City Airport FDC No. FDC date Subject

28–Jan–21 ...... NY New York ...... John F Kennedy Intl ... 0/1081 12/15/20 VOR RWY 31L, Orig-A.

[FR Doc. 2020–29057 Filed 12–31–20; 8:45 am] BILLING CODE 4910–13–P

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DEPARTMENT OF TRANSPORTATION Availability Minimums and/or ODPs as identified in All SIAPs and Takeoff Minimums and the amendatory language for part 97 of Federal Aviation Administration ODPs are available online free of charge. this final rule. Visit the National Flight Data Center at 14 CFR Part 97 The Rule nfdc.faa.gov to register. Additionally, This amendment to 14 CFR part 97 is [Docket No. 31348; Amdt. No. 3937] individual SIAP and Takeoff Minimums and ODP copies may be obtained from effective upon publication of each Standard Instrument Approach the FAA Air Traffic Organization separate SIAP, Takeoff Minimums and Procedures, and Takeoff Minimums Service Area in which the affected ODP as amended in the transmittal. and Obstacle Departure Procedures; airport is located. Some SIAP and Takeoff Minimums and textual ODP amendments may have Miscellaneous Amendments FOR FURTHER INFORMATION CONTACT: been issued previously by the FAA in a Thomas J. Nichols, Flight Procedures AGENCY: Federal Aviation Flight Data Center (FDC) Notice to and Airspace Group, Flight Administration (FAA), DOT. Airmen (NOTAM) as an emergency Technologies and Procedures Division, action of immediate flights safety ACTION: Final rule. Flight Standards Service, Federal relating directly to published Aviation Administration. Mailing SUMMARY: This rule establishes, amends, aeronautical charts. Address: FAA Mike Monroney suspends, or removes Standard Aeronautical Center, Flight Procedures The circumstances that created the Instrument Approach Procedures and Airspace Group, 6500 South need for some SIAP and Takeoff (SIAPS) and associated Takeoff MacArthur Blvd., Registry Bldg 29 Minimums and ODP amendments may Minimums and Obstacle Departure Room 104, Oklahoma City, OK 73169. require making them effective in less procedures (ODPs) for operations at Telephone (405) 954–4164. than 30 days. For the remaining SIAPs certain airports. These regulatory and Takeoff Minimums and ODPs, an SUPPLEMENTARY INFORMATION: This rule actions are needed because of the effective date at least 30 days after amends 14 CFR part 97 by establishing, adoption of new or revised criteria, or publication is provided. amending, suspending, or removes because of changes occurring in the Further, the SIAPs and Takeoff National Airspace System, such as the SIAPS, Takeoff Minimums and/or ODPS. The complete regulatory Minimums and ODPs contained in this commissioning of new navigational amendment are based on the criteria facilities, adding new obstacles, or description of each SIAP and its associated Takeoff Minimums or ODP contained in the U.S. Standard for changing air traffic requirements. These Terminal Instrument Procedures changes are designed to provide safe for an identified airport is listed on FAA form documents which are incorporated (TERPS). In developing these SIAPs and and efficient use of the navigable Takeoff Minimums and ODPs, the airspace and to promote safe flight by reference in this amendment under 5 U.S.C. 552(a), 1 CFR part 51, and 14 TERPS criteria were applied to the operations under instrument flight rules conditions existing or anticipated at the at the affected airports. CFR part 97.20. The applicable FAA Forms 8260–3, 8260–4, 8260–5, 8260– affected airports. Because of the close DATES: This rule is effective January 4, 15A, 8260–15B, when required by an and immediate relationship between 2021. The compliance date for each entry on 8260–15A, and 8260–15C. these SIAPs, Takeoff Minimums and SIAP, associated Takeoff Minimums, The large number of SIAPs, Takeoff ODPs, and safety in air commerce, I find and ODP is specified in the amendatory Minimums and ODPs, their complex that notice and public procedure under provisions. nature, and the need for a special format 5 U.S.C. 553(b) are impracticable and The incorporation by reference of make publication in the Federal contrary to the public interest and, certain publications listed in the Register expensive and impractical. where applicable, under 5 U.S.C. 553(d), regulations is approved by the Director Further, airmen do not use the good cause exists for making some of the Federal Register as of January 4, regulatory text of the SIAPs, Takeoff SIAPs effective in less than 30 days. 2021. Minimums or ODPs, but instead refer to The FAA has determined that this ADDRESSES: Availability of matters their graphic depiction on charts regulation only involves an established incorporated by reference in the printed by publishers or aeronautical body of technical regulations for which amendment is as follows: materials. Thus, the advantages of frequent and routine amendments are necessary to keep them operationally For Examination incorporation by reference are realized and publication of the complete current. It, therefore—(1) is not a 1. U.S. Department of Transportation, description of each SIAP, Takeoff ‘‘significant regulatory action’’ under Docket Ops–M30. 1200 New Jersey Minimums and ODP listed on FAA form Executive Order 12866; (2) is not a Avenue SE, West Bldg., Ground Floor, documents is unnecessary. This ‘‘significant rule’’ under DOT Washington, DC 20590–0001. amendment provides the affected CFR Regulatory Policies and Procedures (44 2. The FAA Air Traffic Organization sections and specifies the typed of FR 11034; February 26, 1979); and (3) Service Area in which the affected SIAPS, Takeoff Minimums and ODPs does not warrant preparation of a airport is located; with their applicable effective dates. regulatory evaluation as the anticipated 3. The office of Aeronautical This amendment also identifies the impact is so minimal. For the same Navigation Products, 6500 South airport and its location, the procedure, reason, the FAA certifies that this MacArthur Blvd., Oklahoma City, OK and the amendment number. amendment will not have a significant 73169 or, economic impact on a substantial 4. The National Archives and Records Availability and Summary of Material number of small entities under the Administration (NARA). For Incorporated by Reference criteria of the Regulatory Flexibility Act. information on the availability of this The material incorporated by Lists of Subjects in 14 CFR Part 97 material at NARA, email fedreg.legal@ reference is publicly available as listed nara.gov or go to: https:// in the ADDRESSES section. Air Traffic Control, Airports, www.archives.gov/federal-register/cfr/ The material incorporated by Incorporation by reference, Navigation ibr-locations.html. reference describes SIAPS, Takeoff (Air).

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Issued in Washington, DC, on December Apalachicola, FL, KAAF, NDB RWY 14, Omaha, NE, KOMA, ILS OR LOC RWY 25, 2020. Amdt 2C, CANCELLED 14L, Amdt 2A Wade Terrell, Reidsville, GA, KRVJ, RNAV (GPS) Portsmouth, NH, Portsmouth Intl at Aviation Safety Manager, Flight Procedures RWY 11, Amdt 1C Pease, ILS OR LOC RWY 16, Amdt 2B & Airspace Group, Flight Technologies and Kaunakakai, HI, Molokai, RNAV (GPS)- Portsmouth, NH, Portsmouth Intl at Procedures Division. B, Amdt 2 Pease, ILS OR LOC RWY 34, Amdt 3A Adoption of the Amendment Terre Haute, IN, KHUF, RNAV (GPS) Tucumcari, NM, Tucumcari Muni, RWY 23, Amdt 1E RNAV (GPS) RWY 26, Orig-A Accordingly, pursuant to the Goodland, KS, KGLD, RNAV (GPS) Saratoga Springs, NY, 5B2, RNAV (GPS) authority delegated to me, Title 14, RWY 23, Amdt 1D RWY 5, Amdt 1E Code of Federal Regulations, Part 97 (14 Falmouth, MA, KFMH, RNAV (GPS) CRF part 97) is amended by Batavia, OH, I69, RNAV (GPS) RWY 22, RWY 23, Orig-A Amdt 2 establishing, amending, suspending, or Falmouth, MA, Cape Cod Coast Guard removing Standard Instrument Dubois, PA, KDUJ, ILS OR LOC RWY Air Station, Takeoff Minimums and 25, Amdt 10 Approach Procedures and/or Takeoff Obstacle DP, Orig-A Minimums and Obstacle Departure Dubois, PA, KDUJ, RNAV (GPS) RWY 7, Lawrence, MA, KLWM, ILS OR LOC Amdt 3 Procedures effective at 0901 UTC on the RWY 5, Amdt 6A dates specified, as follows: Dubois, PA, KDUJ, RNAV (GPS) RWY College Park, MD, College Park, Takeoff 25, Amdt 2 PART 97—STANDARD INSTRUMENT Minimums and Obstacle DP, Amdt 4 Dubois, PA, KDUJ, VOR/DME RWY 7, APPROACH PROCEDURES Cumberland, MD, KCBE, RNAV (GPS) Amdt 4, CANCELLED RWY 5, Amdt 3 Athens, TN, McMinn County, Takeoff ■ 1. The authority citation for part 97 Hancock, MI, KCMX, RNAV (GPS) RWY Minimums and Obstacle DP, Amdt 1A continues to read as follows: 7, Amdt 1C Humboldt, TN, Humboldt Muni, Takeoff Hancock, MI, KCMX, VOR RWY 25, Authority: 49 U.S.C. 106(f), 106(g), 40103, Minimums and Obstacle DP, Amdt 2 Amdt 17D 40106, 40113, 40114, 40120, 44502, 44514, Borger, TX, Hutchinson County Airport, Springfield, MN, D42, RNAV (GPS) 44701, 44719, 44721–44722. Takeoff Minimums and Obstacle DP, RWY 13, Orig-C ■ Amdt 2A 2. Part 97 is amended to read as Springfield, MN, D42, RNAV (GPS) Tyler, TX, KTYR, RNAV (GPS) RWY 18, follows: RWY 31, Orig-C Amdt 1A Springfield, MN, D42, VOR RWY 13, Effective 28 January 2021 Tyler, TX, KTYR, RNAV (GPS) RWY 36, Amdt 3B Naples, FL, KAPF, RNAV (GPS)-A, Orig- Amdt 1A Memphis, MO, 03D, RNAV (GPS) RWY B Tyler, TX, Tyler Pounds Rgnl, Takeoff 12, Orig-A Naples, FL, KAPF, RNAV (GPS)-B, Orig- Minimums and Obstacle DP, Amdt 3A B Memphis, MO, 03D, RNAV (GPS) RWY 30, Orig-A Tyler, TX, KTYR, VOR RWY 4, Amdt 5B Effective 25 February 2021 Neosho, MO, KEOS, VOR–A, Amdt 7A, Norfolk, VA, KORF, ILS OR LOC RWY 23, Amdt 8A Huntsville, AL, KHSV, RADAR–1, Amdt CANCELLED Ronan, MT, 7S0, RNAV (GPS) RWY 16. Rutland, VT, KRUT, ILS Y LOC Y RWY 11 19, Amdt 1A Ukiah, CA, Ukiah Muni, Takeoff Amdt 1B Rutland, VT, KRUT, ILS Z LOC Z RWY Minimums and Obstacle DP, Amdt 2A Ronan, MT, 7S0, RNAV (GPS) RWY 34. 19, Amdt 1A Erie, CO, Erie Muni, RNAV (GPS)-B, Amdt 1B Orig Stevensville, MT, 32S, RNAV (GPS)-A, Bremerton, WA, Bremerton Intl, RNAV Erie, CO, Erie Muni, VOR–A, Amdt 1 Orig-F (GPS) RWY 2, Amdt 2B Danbury, CT, Danbury Muni, Takeoff Asheville, NC, KAVL, ILS OR LOC RWY [FR Doc. 2020–29056 Filed 12–31–20; 8:45 am] Minimums and Obstacle DP, Amdt 4A 17, Orig BILLING CODE 4910–13–P

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Proposed Rules Federal Register Vol. 86, No. 1

Monday, January 4, 2021

This section of the FEDERAL REGISTER consideration, comments must be in information on the proposed contains notices to the public of the proposed writing and must be received by January rulemaking; Section III summarizes the issuance of rules and regulations. The 19, 2021. proposed regulatory text; Section IV purpose of these notices is to give interested ADDRESSES: You may send comments, covers the administrative requirements persons an opportunity to participate in the for this proposed rulemaking; and rule making prior to the adoption of the final identified by Regulatory Identification rules. Number (RIN) 1290–AA43, Section V provides additional electronically only, consistent with the information and instructions to those following instructions. Submit wishing to comment on the rule. DEPARTMENT OF HOMELAND comments, read background documents, This proposed rule is not expected to SECURITY and read comments received through be an Executive Order 13771 regulatory the Federal eRulemaking Portal at action because it is not significant under RIN 1615–AC63 http://www.regulations.gov. To locate Executive Order 12866. Pursuant to the DEPARTMENT OF LABOR this rulemaking, use docket number Congressional Review Act (5 U.S.C. 801 DOL–2020–0019 or key words such as et seq.), the Office of Information and Employment and Training ‘‘Office of Administrative Law Judges’’ Regulatory Affairs designated this as not Administration or ‘‘Rules of Practice and Procedure for a major rule as defined by 5 U.S.C. Administrative Hearings Before the 804(2). 20 CFR Part 655 Office of Administrative Law Judges.’’ Instructions for submitting comments I. Proposed Rule Published are found on the www.regulations.gov Concurrently With Companion Direct Office of the Secretary website. All comments must be received Final Rule by 11:59 p.m. on the date indicated for 29 CFR Part 18 The Department of Homeland consideration in this rulemaking. Please Security (DHS) and Department of Labor be advised that comments received will Wage and Hour Division (DOL) (collectively, the Departments) be posted without change to http:// are simultaneously publishing with this www.regulations.gov, including any 29 CFR Part 503 proposed rule an identical ‘‘direct final’’ personal information provided. rule elsewhere in this issue of the [DOL Docket No. DOL–2020–0019] Therefore, the Departments Federal Register, with an identical recommend that commenters safeguard RIN 1290–AA43 change to the regulatory text. In direct their personal information by not final rulemaking, an agency publishes a Discretionary Review by the Secretary including social security numbers, final rule with a statement that the rule of Labor personal addresses, telephone numbers, will go into effect unless the agency and email addresses in comments. It is receives significant adverse comments AGENCY: U.S. Citizenship and the responsibility of the commenters to within a specified period. If the agency Immigration Services, Department of safeguard their information. receives no significant adverse Homeland Security; and Office of the If you need assistance to review the comments in response to the direct final Secretary, Employment and Training comments of the rulemaking, the rule (DFR), the DFR goes into effect. If Administration, and Wage and Hour Department will consider providing the the agency receives significant adverse Division, Department of Labor. comments and the proposed rule in comments, the agency withdraws the ACTION: Notice of proposed rulemaking. other formats upon request. For direct final rule and treats such assistance to review the comments or comments as submissions in response to SUMMARY: The Department of Homeland obtain the direct final rule in an the proposed rule. The proposed rule Security and the Department of Labor alternate format, contact Mr. Todd provides the procedural framework to (DOL) are jointly issuing this notice of Smyth, General Counsel, U.S. finalize the proposed regulatory changes proposed rulemaking to seek public Department of Labor, at (513) 684–3252. through a final rule. Agencies typically comments on a proposal to extend FOR FURTHER INFORMATION CONTACT: use direct final rulemaking when they DOL’s recently established system of Todd Smyth, General Counsel, U.S. anticipate a rule will be non- discretionary Secretary of Labor review Department of Labor, Office of controversial. to H–2B temporary labor certification Administrative Law Judges, 800 K Street The Departments have determined cases (H–2B cases) pending before or NW, Washington, DC 20001–8002; that this rule is suitable for direct final decided by the Department of Labor’s telephone (513) 684–3252. Individuals rulemaking. The proposed revision to Board of Alien Labor Certification with hearing or speech impairments DOL’s internal adjudicatory processes Appeals and to make technical, may access the telephone number above would implement the mechanism by conforming changes to regulations by TTY by calling the toll-free Federal which the Secretary of Labor can review governing the timing and finality of Information Relay Service at (800) 877– H–2B cases pending before or decided those decisions and of decisions from 8339. by the Board of Alien Labor the Department of Labor’s SUPPLEMENTARY INFORMATION: This Certification Appeals (BALCA) and Administrative Review Board in H–2B preamble is divided into five sections: decisions of the Administrative Review cases. Section I describes the process of Board (ARB)—a power the Secretary DATES: The Departments invite rulemaking using a direct final rule with already possesses with respect to other interested persons to submit comments a companion proposed rule; Section II cases pending before or decided by on the proposed rule. To ensure provides general background BALCA under DOL’s recent final rule,

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Rules Concerning Discretionary Review nor governed by statute, and it is Departments do not anticipate that the by the Secretary, 85 FR 30608 (May 20, entrusted with the power to issue final power of secretarial review over H–2B 2020), and, with respect to ARB agency decisions in the name of the cases will be used often. The decisions in H–2B cases, reflects a Secretary of Labor. Earlier this year, Departments similarly anticipate that power he already possesses pursuant to DOL issued regulations establishing a secretarial review—while completely the Secretary of Labor’s Order 01–2020, mechanism by which the Secretary of within the Secretary of Labor’s Delegation of Authority and Assignment Labor can exercise review of decisions discretion as the principal officer of Responsibility to the Administrative issued by BALCA on his behalf in the accountable for DOL’s activities—will Review Board, 85 FR 13186 (Mar. 6, H–2A, CW–1, and PERM programs. This typically be reserved for matters of 2020). This proposed rule is a rule of rule will apply the same mechanism for significant importance. Finally, DOL agency management and personnel and review over decisions issued by BALCA will ensure that the secretarial review is entirely a procedural change to how in the H–2B program. process will continue to be officers within DOL exercise delegated To ensure that the Secretary of Labor accomplished in a manner that complies authority on behalf of the Secretary of has the ability to properly supervise and with any applicable legal requirements. Labor; therefore, the Departments are direct the actions of the Department he The Departments appreciate the not required to engage in a notice and supervises, earlier this year the expeditious nature of BALCA comment process to issue this rule. See Secretary also established a system of proceedings involving temporary labor 5 U.S.C. 553(a)(2), (b)(A). Further, discretionary secretarial review over the certifications and, as with the existing discretionary review by an agency head decisions of the ARB. See Secretary of system of review, do not anticipate that over adjudicatory decisions exists in Labor’s Order No. 01–2020. DOL’s secretarial review over H–2B cases will many other executive branch agencies, authority to effect this reform, as well as significantly disrupt or otherwise including the Department of Justice, the the related rulemaking undertaken impede the way such cases are currently Department of the Interior, and the earlier this year to establish processed. As noted above, the Department of Education. The proposed discretionary review over decisions of Departments expect that secretarial rule is thus consistent with well-known and appeals before BALCA, derives review over BALCA’s H–2B decisions and well-established models of internal from 5 U.S.C. 301, which authorizes the will likely not be exercised often. agency review both at DOL and at other heads of agencies to regulate the Further, BALCA decisions will remain agencies. internal operations of their departments; the Secretary of Labor’s final The comment period for this 5 U.S.C. 305, which provides for administrative decision unless the proposed rule runs concurrently with continuing review of agency operations; Secretary himself assumes jurisdiction the comment period for the direct final and the Secretary of Labor’s authority to over the case. For example, once rule. Any comments received in administer the statutes and programs at BALCA issues a decision that grants a response to this proposed rule will also issue in ARB and BALCA proceedings, labor certification or remands for further be considered comments regarding the including the H–2B temporary-labor- processing, the private party in the case direct final rule and vice versa. For certification and enforcement programs will be able to proceed immediately to purposes of this rulemaking, a provided for in DHS and DOL’s 2015 the next step of the application process. significant adverse comment is one that joint rules. In combination, these The private party will be delayed in addresses (1) why the rule is authorities establish many of the powers doing so only if the Secretary of Labor inappropriate, including challenges to of DOL within the Office of the later decides to undertake review. the rule’s underlying premise or Secretary, and give the Secretary of Moreover, as it does now, 29 CFR 18.95 approach; or (2) why the rule will be Labor wide latitude to delegate those will continue to limit any potential ineffective or unacceptable without a powers to his subordinates on the terms uncertainty that may exist because of change. In determining whether a he deems appropriate. Thus, the the possibility of secretarial review by significant adverse comment counsels in Secretary of Labor has the power to placing strict time limits on when the favor of withdrawal of the direct final delegate his authority to appropriately Secretary of Labor will have the option rule, the Departments will consider supervise the adjudicatory process of assuming jurisdiction over a case. whether the comment raises an issue within DOL, and has similarly exercised As noted in the DOL’s prior serious enough to warrant a substantive that same authority to assert his rulemaking establishing secretarial response. A comment recommending an decision-making prerogatives by review over other BALCA cases, 85 FR addition to the rule will not be modifying the terms on which the 30608, the Departments have considered significant and adverse members of the ARB and BALCA determined that it is appropriate to unless the comment explains how the exercise his delegated authority. The issue jointly this rule regarding the direct final rule would be ineffective or Departments propose to do so through Secretary of Labor’s review authority unacceptable without the addition. this rulemaking with respect to H–2B over H–2B cases under 29 CFR 18.95. The Departments request comments cases pending before or decided by This determination follows conflicting on all issues related to this rule, BALCA. court decisions concerning DOL’s including economic or other regulatory This proposal, like those actions authority to issue legislative rules on its impacts of this rule on the public. undertaken earlier this year, preserves own to carry out its duties in the H–2B the existing structures by which DOL program. Although the Departments II. Background and Joint Issuance for processes adjudications while giving the each have authority to issue rules This Rulemaking Secretary of Labor the option, in his sole implementing their respective duties in BALCA has authority over appeals discretion, to initiate review directly. As the H–2B program, including rules from the decisions of the Employment with DOL’s existing mechanisms of providing for secretarial review, the and Training Administration’s secretarial review, under this reform the Departments are proposing to make the adjudication of foreign labor Secretary will rely on BALCA to assist amendments to the applicable certification applications. It was created him in identifying cases where regulations jointly to ensure that there by regulation to exercise delegated secretarial review may be warranted. can be no question about the authority authority on behalf of the Secretary of Also consistent with current practices at underlying such amendments. This Labor. Its existence is neither compelled DOL and other agencies, the approach is consistent with the joint

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rulemaking governing the Temporary recipients thereof. Furthermore, the rule who is the Senior Official Performing Non-Agricultural Employment of H–2B does not raise a novel legal or policy the Duties of the General Counsel for Aliens in the United States, 80 FR 24042 issue arising out of legal mandates, the DHS, for purposes of publication in the (Apr. 29, 2015) (codified at 8 CFR part President’s priorities, or the principles Federal Register. 214, 20 CFR part 655, and 29 CFR part set forth in the Executive order. V. Notice and Comment 503). Accordingly, OMB has waived review. A. APA Requirements for Notice and III. Discussion of Changes Comment This rule proposes revisions to 29 Regulatory Flexibility Act of 1980 CFR part 18 by modifying the Because no notice of proposed This proposed rule addresses matters conditions under which an H–2B rulemaking is required for this rule of internal agency management and decision of BALCA becomes the final under section 553 of the Administrative personnel, as well as matters of agency decision of DOL and by extending to H– Procedure Act, the regulatory flexibility organization, practice and procedure, 2B cases the process by which the analysis requirements of the Regulatory and consequently are exempt from the Secretary of Labor may exercise Flexibility Act, 5 U.S.C. 603, 604, do not notice and public comments discretionary review over cases pending apply to this rule. See 5 U.S.C. 603(a), requirements of the Administrative before or decided by the BALCA. 604(a). Procedure Act. See 5 U.S.C. 553(a)(2), (b)(A). Nevertheless, the Departments Technical amendments are also made to Paperwork Reduction Act 20 CFR part 655, subpart A to wish to provide the public an harmonize the manner in which BALCA The Departments have determined opportunity to submit comments. that this proposed rule is not subject to issues decisions on behalf of the B. Publication of Comments Secretary with the system of the requirements of the Paperwork discretionary review established in 29 Reduction Act, 44 U.S.C. 3501 et seq., Please be advised that the CFR part 18. Additionally, this rule as this rulemaking does not involve any Departments will generally post all proposes to modify or remove the collections of information. See 5 CFR comments without making any change reference to ‘‘final’’ decisions of the 1320.3(c). to the comments, including any ARB in 20 CFR 655.73(g)(6) and 29 CFR Unfunded Mandates Reform Act of 1995 personal information provided. The 503.55 to reflect that the finality of ARB and Executive Order 13132, Federalism www.regulations.gov website is the decisions is governed by Secretary of Federal e-rulemaking portal, and all Labor’s Order 01–2020. The Departments have reviewed this comments received will be available proposed rule in accordance with the and accessible to the public on this IV. Administrative Requirements of the requirements of Executive Order 13132 website. Therefore, the Departments Proposed Rulemaking and the Unfunded Mandates Reform Act recommend that commenters safeguard Executive Orders 12866, Regulatory of 1995, 2 U.S.C. 1501 et seq., and have their personal information by not Planning and Review, and 13563, found no potential or substantial direct including social security numbers, Improving Regulation and Regulatory effects on the states, on the relationship personal addresses, telephone numbers, Review between the National Government and or email addresses in comments. It is the states, or on the distribution of Executive Orders 12866 and 13563 the responsibility of the commenter to power and responsibilities among the safeguard his or her information. direct agencies to assess the costs and various levels of government. As there benefits of available regulatory is no Federal mandate contained herein C. Access to Docket alternatives and, if regulation is that could result in increased necessary, to select regulatory In addition to all comments received expenditures by state, local, and tribal by the Departments being accessible on approaches that maximize net benefits governments, or by the private sector, (including potential economic, www.regulations.gov, the Departments the Departments have not prepared a will make all the comments available for environmental, public health and safety budgetary impact statement. effects, distributive impacts, and public inspection during normal equity). Executive Order 13563 Executive Order 13175, Consultation business hours at the office listed in the emphasizes the importance of and Coordination With Indian Tribal ADDRESSES section above. If you need quantifying both costs and benefits, of Governments assistance to review the comments, the reducing costs, of harmonizing rules, The Departments have reviewed this Departments will provide you with and of promoting flexibility. proposed rule in accordance with appropriate aids such as readers or print This proposed rule has been drafted Executive Order 13175 and has magnifiers. The Departments will make and reviewed in accordance with determined that it does not have ‘‘tribal copies of the proposed rule available, Executive Order 12866. The implications.’’ The proposed rule does upon request, in large print or electronic Departments, in coordination with the not ‘‘have substantial direct effects on file on portable digital media. The Office of Management and Budget one or more Indian tribes, on the Departments will consider providing the (OMB), determined that this proposed relationship between the Federal proposed rule in other formats upon rule is not a significant regulatory action government and Indian tribes, or on the request. To schedule an appointment to under section 3(f) of Executive Order distribution of power and review the comments or obtain the 12866 because the rule will not have an responsibilities between the Federal proposed rule in an alternate format, annual effect on the economy of $100 government and Indian tribes.’’ contact Todd Smyth, General Counsel, million or more; will not create a U.S. Department of Labor, Office of serious inconsistency or otherwise Signature Administrative Law Judges, 800 K Street interfere with an action taken or The Acting Secretary of Homeland NW, Washington, DC 20001–8002; planned by another agency; and will not Security, Chad F. Wolf, having reviewed telephone (513) 684–3252. materially alter the budgetary impact of and approved this document, has Individuals with hearing or speech entitlements, grants, user fees, or loan delegated the authority to electronically impairments may access the telephone programs or the rights and obligations of sign this document to Chad R. Mizelle, number above by TTY by calling the

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toll-free Federal Information Relay Subparts L and M issued under 8 U.S.C. handled in accordance with 20 CFR Service at (800) 877–8339. 1101(a)(15)(H)(i)(c) and 1182(m); sec. 2(d), 655.61, 655.171(a), or 655.461, at any Pub. L. 106–95, 113 Stat. 1312, 1316 (8 U.S.C. point from when the BALCA receives a List of Subjects 1182 note); Pub. L. 109–423, 120 Stat. 2900; request for review until the passage of and 8 CFR 214.2(h). 20 CFR Part 655 10 business days after the date on which ■ Administrative practice and 2. In § 655.61, revise paragraph (e) to BALCA has issued its decision. procedure, Labor certification processes read as follows: * * * * * for temporary employment. § 655.61 Administrative review. Title 29: Labor 29 CFR Part 18 * * * * * Wage and Hour Division Administrative practice and (e) Review. The BALCA must review procedure, Labor. the CO’s determination only on the PART 503—ENFORCEMENT OF basis of the Appeal File, the request for OBLIGATIONS FOR TEMPORARY 29 CFR Part 503 review, and any legal briefs submitted NONIMMIGRANT NON- Administrative practice and and must, except in cases over which AGRICULTURAL WORKERS procedure, Obligations, Enforcement, the Secretary has assumed jurisdiction DESCRIBED IN THE IMMIGRATION Immigration and Nationality Act, pursuant to 29 CFR 18.95: AND NATIONALITY ACT Temporary alien non-agricultural (1) Affirm the CO’s determination; or ■ workers. (2) Reverse or modify the CO’s 7. The authority citation for part 503 continues to read as follows: For the reasons discussed in the joint determination; or preamble, part 655 of title 20 of the (3) Remand to the CO for further Authority: 8 U.S.C. 1101(a)(15)(H)(ii)(b); 8 Code of Federal Regulations and parts action. U.S.C. 1184; 8 CFR 214.2(h); 28 U.S.C. 2461 18 and 503 of title 29 of the Code of * * * * * note (Federal Civil Penalties Inflation ■ 3. In § 655.72, revise paragraph (b)(3) Adjustment Act of 1990); Pub. L. 114–74 at Federal Regulations are proposed to be § 701. amended as follows: to read as follows: ■ 8. Revise § 503.55 to read as follows: DEPARTMENT OF LABOR § 655.72 Revocation. § 503.55 Decision of the Administrative Title 20: Employees’ Benefits * * * * * (b) * * * Review Board. Employment and Training (3) Appeal. An employer may appeal The ARB’s decision will be issued Administration a Notice of Revocation, or a final within 90 days from the notice granting the petition and served upon all parties PART 655—TEMPORARY determination of the Administrator, and the ALJ. EMPLOYMENT OF FOREIGN OFLC after the review of rebuttal evidence, according to the appeal WORKERS IN THE UNITED STATES Eugene Scalia, procedures of § 655.61. Secretary of Labor. ■ 1. The authority citation for part 655 * * * * * Chad R. Mizelle, continues to read as follows: ■ 4. In § 655.73, revise paragraph (g)(6) to read as follows: Senior Official Performing the Duties of the Authority: Section 655.0 issued under 8 General Counsel, U.S. Department of U.S.C. 1101(a)(15)(E)(iii), 1101(a)(15)(H)(i) § 655.73 Debarment. Homeland Security. and (ii), 8 U.S.C. 1103(a)(6), 1182(m), (n), (p), [FR Doc. 2020–28952 Filed 12–30–20; 4:15 pm] and (t), 1184(c), (g), and (j), 1188, and 1288(c) * * * * * and (d); sec. 3(c)(1), Pub. L. 101–238, 103 (g) * * * BILLING CODE 4510–HL–P Stat. 2099, 2102 (8 U.S.C. 1182 note); sec. (6) ARB decision. The ARB’s decision 221(a), Pub. L. 101–649, 104 Stat. 4978, 5027 must be issued within 90 calendar days (8 U.S.C. 1184 note); sec. 303(a)(8), Pub. L. from the notice granting the petition and DEPARTMENT OF HOMELAND 102–232, 105 Stat. 1733, 1748 (8 U.S.C. 1101 served upon all parties and the ALJ. SECURITY note); sec. 323(c), Pub. L. 103–206, 107 Stat. 2428; sec. 412(e), Pub. L. 105–277, 112 Stat. * * * * * Coast Guard 2681 (8 U.S.C. 1182 note); sec. 2(d), Pub. L. Title 29: Labor 106–95, 113 Stat. 1312, 1316 (8 U.S.C. 1182 33 CFR Part 165 note); 29 U.S.C. 49k; Pub. L. 107–296, 116 Office of the Secretary of Labor Stat. 2135, as amended; Pub. L. 109–423, 120 [Docket Number USCG–2020–0691] Stat. 2900; 8 CFR 214.2(h)(4)(i); 8 CFR PART 18—RULES OF PRACTICE AND RIN 1625–AA00 214.2(h)(6)(iii); and sec. 6, Pub. L. 115–218, PROCEDURE FOR ADMINISTRATIVE 132 Stat. 1547 (48 U.S.C. 1806). HEARINGS BEFORE THE OFFICE OF Safety Zone; Super Bowl LV; Subpart A issued under 8 CFR 214.2(h). ADMINISTRATIVE LAW JUDGES Subpart B issued under 8 U.S.C. Hillsborough Bay and River, Tampa, FL 1101(a)(15)(H)(ii)(a), 1184(c), and 1188; and 8 ■ 5. The authority citation for part 18 AGENCY: Coast Guard, DHS. CFR 214.2(h). continues to read as follows: Subpart E issued under 48 U.S.C. 1806. ACTION: Notice of proposed rulemaking. Subparts F and G issued under 8 U.S.C. Authority: 5 U.S.C. 301; 5 U.S.C. 551–553; 1288(c) and (d); sec. 323(c), Pub. L. 103–206, 5 U.S.C. 571 note; E.O. 12778; 57 FR 7292. SUMMARY: The Coast Guard is proposing 107 Stat. 2428; and 28 U.S.C. 2461 note, Pub. ■ 6. In § 18.95, revise paragraph (b)(1) to to establish a temporary safety zone on L. 114–74 at section 701. read as follows: certain waters of Garrison Channel, Subparts H and I issued under 8 U.S.C. Seddon Channel Turning Basin, and the 1101(a)(15)(H)(i)(b) and (b)(1), 1182(n), (p), § 18.95 Review of decision and review by Hillsborough River, in the vicinity of and (t), and 1184(g) and (j); sec. 303(a)(8), the Secretary. downtown Tampa, Florida during the Pub. L. 102–232, 105 Stat. 1733, 1748 (8 U.S.C. 1101 note); sec. 412(e), Pub. L. 105– * * * * * Super Bowl LV celebrations from 277, 112 Stat. 2681; 8 CFR 214.2(h); and 28 (b) * * * January 29, 2021, through February 7, U.S.C. 2461 note, Pub. L. 114–74 at section (1) In any case for which 2021. The safety zone is necessary to 701. administrative review is sought or protect the public and Super Bowl event

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personnel from the hazards associated and the navigable waters within the the safety zone at a steady speed, with potential vessel traffic within the safety zone before, during, and after the making it limited in scope. The safety area of the safety zone. All persons and scheduled events. The Coast Guard is zone will be in effect for ten days, vessels would be required to transit proposing this rulemaking under the making it limited in duration. The Coast through the safety zone at a steady authority in 46 U.S.C. 70034. Guard will issue a Broadcast Notice to speed and may not slow down, stop or III. Discussion of Proposed Rule Mariners via VHF–FM Channel 16 about anchor except in the case of unforeseen the safety zone. mechanical failure or other emergency The COTP Saint Petersburg is B. Impact on Small Entities unless given prior authorization from proposing a safety zone from January 29, the Captain of the Port. Any person or 2021, through February 7, 2021. The The Regulatory Flexibility Act of vessel forced to slow or stop in the safety zone would cover certain 1980, 5 U.S.C. 601–612, as amended, established zone must immediately navigable waters of Garrison Channel, requires Federal agencies to consider notify the Captain of the Port Tampa via Seddon Channel Turning Basin, and the the potential impact of regulations on VHF channel 16. We invite your Hillsborough River, in the vicinity of small entities during rulemaking. The comments on this proposed rulemaking. downtown Tampa, Florida. The term ‘‘small entities’’ comprises small duration of the zone is intended to DATES: Comments and related material businesses, not-for-profit organizations ensure the safety of persons, vessels, must be received by the Coast Guard on that are independently owned and and navigable waters before, during, and or before February 3, 2021. operated and are not dominant in their after the scheduled events. All persons fields, and governmental jurisdictions ADDRESSES: You may submit comments and vessels would be required to transit with populations of less than 50,000. identified by docket number USCG– through the safety zone at a steady The Coast Guard certifies under 5 U.S.C. 2020–0691 using the Federal speed and may not slow down, stop or 605(b) that this proposed rule would not eRulemaking Portal at https:// anchor except in the case of unforeseen have a significant economic impact on www.regulations.gov. See the ‘‘Public mechanical failure or other emergency a substantial number of small entities. Participation and Request for unless given prior authorization from While some owners or operators of Comments’’ portion of the the COTP. Any person or vessel forced vessels intending to transit the safety SUPPLEMENTARY INFORMATION section for to slow or stop in the established zone zone may be small entities, for the further instructions on submitting must immediately notify the Captain of reasons stated in section IV.A above, comments. the Port Tampa via VHF channel 16. this proposed rule would not have a FOR FURTHER INFORMATION CONTACT: If IV. Regulatory Analyses significant economic impact on any you have questions about this proposed vessel owner or operator. rulemaking, call or email Marine We developed this proposed rule after If you think that your business, Science Technician First Class Michael considering numerous statutes and organization, or governmental D. Shackleford, Sector St. Petersburg Executive orders related to rulemaking. jurisdiction qualifies as a small entity Prevention Department, Coast Guard; Below we summarize our analyses and that this rule would have a telephone (813) 228–2191, email based on a number of these statutes and significant economic impact on it, [email protected]. Executive orders, and we discuss First please submit a comment (see Amendment rights of protestors. SUPPLEMENTARY INFORMATION: ADDRESSES) explaining why you think it A. Regulatory Planning and Review qualifies and how and to what degree I. Table of Abbreviations this rule would economically affect it. Executive Orders 12866 and 13563 Under section 213(a) of the Small CFR Code of Federal Regulations direct agencies to assess the costs and DHS Department of Homeland Security Business Regulatory Enforcement FR Federal Register benefits of available regulatory Fairness Act of 1996 (Pub. L. 104–121), NPRM Notice of proposed rulemaking alternatives and, if regulation is we want to assist small entities in § Section necessary, to select regulatory understanding this proposed rule. If the U.S.C. United States Code approaches that maximize net benefits. rule would affect your small business, Executive Order 13771 directs agencies II. Background, Purpose, and Legal organization, or governmental to control regulatory costs through a Basis jurisdiction and you have questions budgeting process. This NPRM has not concerning its provisions or options for On September 22, 2020, the Maritime been designated a ‘‘significant compliance, please call or email the Subcommittee for Super Bowl LV regulatory action,’’ under Executive person listed in the FOR FURTHER notified the Coast Guard that during the Order 12866. Accordingly, the NPRM INFORMATION CONTACT section. The Coast Super bowl LV event celebrations there has not been reviewed by the Office of Guard will not retaliate against small will be several planned Super Bowl- Management and Budget (OMB), and entities that question or complain about related events throughout the waterfront pursuant to OMB guidance it is exempt this proposed rule or any policy or areas of Tampa, FL. These events will from the requirements of Executive action of the Coast Guard. occur at various times from January 29, Order 13771. 2021 through February 7, 2021. These This regulatory action determination C. Collection of Information events could lead to large gatherings of is based on the size, location, scope and This proposed rule would not call for persons and vessels in waterways duration of the safety zone. The rule a new collection of information under around the Tampa area. The Captain of will impact only a small designated area the Paperwork Reduction Act of 1995 the Port St. Petersburg (COTP) has of Garrison Channel, Seddon Channel (44 U.S.C. 3501–3520). determined that the potential hazards Turning Basin, and the Hillsborough associated with persons and vessel River in the vicinity of downtown D. Federalism and Indian Tribal congestion within the proposed safety Tampa, Florida, and vessel traffic will Governments zone during these events is a safety be able to safely operate in the area with A rule has implications for federalism concern. minimal restrictions, hence the safety under Executive Order 13132 The purpose of this rulemaking is to zone is limited in size and location. (Federalism), if it has a substantial ensure the safety of vessels and persons Vessels will be able to transit through direct effect on the States, on the

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relationship between the National determination is available in the docket. For the reasons discussed in the Government and the States, or on the For instructions on locating the docket, preamble, the Coast Guard is proposing distribution of power and see the ADDRESSES section of this to amend 33 CFR part 165 as follows: responsibilities among the various preamble. We seek any comments or levels of government. We have analyzed information that may lead to the PART 165—REGULATED NAVIGATION this proposed rule under that Order and discovery of a significant environmental AREAS AND LIMITED ACCESS AREAS have determined that it is consistent impact from this proposed rule. with the fundamental federalism ■ G. Protest Activities 1. The authority citation for part 165 principles and preemption requirements continues to read as follows: described in Executive Order 13132. The Coast Guard respects the First Also, this proposed rule does not have Amendment rights of protesters. Authority: 46 U.S.C. 70034; 46 U.S.C. tribal implications under Executive Protesters are asked to call or email the 70051; 33 CFR 1.05–1, 6.04–1, 6.04–6, and 160.5; Department of Homeland Security Order 13175 (Consultation and person listed in the FOR FURTHER Delegation No. 0170.1. Coordination with Indian Tribal INFORMATION CONTACT section to Governments) because it would not coordinate protest activities so that your ■ 2. Add § 165.T07–0691 to read as have a substantial direct effect on one or message can be received without follows: more Indian tribes, on the relationship jeopardizing the safety or security of between the Federal Government and people, places, or vessels. § 165.T07–0691 Safety Zone; Super Bowl Indian tribes, or on the distribution of LV, Hillsborough Bay and River, Tampa, FL. power and responsibilities between the V. Public Participation and Request for Federal Government and Indian tribes. Comments (a) Location. The following regulated area is a safety zone: All waters of If you believe this proposed rule has We view public participation as Hillsborough River south of the N. implications for federalism or Indian essential to effective rulemaking, and Boulevard Bridge, Seddon Channel tribes, please call or email the person will consider all comments and material listed in the FOR FURTHER INFORMATION received during the comment period. Turning Basin, and Garrison Channel in CONTACT section. Your comment can help shape the the vicinity of downtown, Tampa, Florida. E. Unfunded Mandates Reform Act outcome of this rulemaking. If you submit a comment, please include the (b) Definition. The term ‘‘designated The Unfunded Mandates Reform Act docket number for this rulemaking, representative’’ means Coast Guard of 1995 (2 U.S.C. 1531–1538) requires indicate the specific section of this Federal agencies to assess the effects of Patrol Commanders, including Coast document to which each comment their discretionary regulatory actions. In Guard coxswains, petty officers, and applies, and provide a reason for each particular, the Act addresses actions other officers operating Coast Guard suggestion or recommendation. that may result in the expenditure by a vessels, and Federal, state, and local State, local, or tribal government, in the We encourage you to submit officers designated by or assisting the aggregate, or by the private sector of comments through the Federal Captain of the Port St. Petersburg in the $100,000,000 (adjusted for inflation) or eRulemaking Portal at https:// enforcement of the regulated area. www.regulations.gov. If your material more in any one year. Though this (c) Regulations. (1) All persons and cannot be submitted using https:// proposed rule would not result in such vessels are required to transit through an expenditure, we do discuss the www.regulations.gov, call or email the person in the FOR FURTHER INFORMATION the safety zone at a steady speed and effects of this rule elsewhere in this may not slow down, stop or anchor preamble. CONTACT section of this document for alternate instructions. except in the case of unforeseen F. Environment We accept anonymous comments. All mechanical failure or other emergency We have analyzed this proposed rule comments received will be posted unless given prior authorization from under Department of Homeland without change to https:// the Captain of the Port. Any person or Security Directive 023–01, Rev. 1, www.regulations.gov and will include vessel forced to slow or stop in the associated implementing instructions, any personal information you have established zone must immediately and Environmental Planning provided. For more about privacy and notify the Captain of the Port Tampa via COMDTINST 5090.1 (series), which submissions in response to this VHF channel 16. guide the Coast Guard in complying document, see DHS’s eRulemaking (2) The Coast Guard will provide with the National Environmental Policy System of Records notice (85 FR 14226, notice of the regulated area by Local Act of 1969 (42 U.S.C. 4321–4370f), and March 11, 2020). Notice to Mariners, Broadcast Notice to have made a preliminary determination Documents mentioned in this NPRM Mariners, and on-scene designated that this action is one of a category of as being available in the docket, and all representatives. actions that do not individually or public comments, will be in our online cumulatively have a significant effect on docket at https://www.regulations.gov (d) Enforcement period. This rule will the human environment. This proposed and can be viewed by following that be enforced daily from January 29, 2021, rule involves a safety zone lasting 10 website’s instructions. Additionally, if through February 7, 2021. days that would restrict certain aspects you go to the online docket and sign up Dated: November 19, 2020. of navigation on certain waters in the for email alerts, you will be notified Matthew A. Thompson, vicinity of Tampa, Florida within the when comments are posted or a final Captain, U.S. Coast Guard, Captain of the safety zone. Normally such actions are rule is published. Port St. Petersburg. categorically excluded from further List of Subjects in 33 CFR Part 165 [FR Doc. 2020–26070 Filed 12–31–20; 8:45 am] review under paragraph L60(a) of Appendix A, Table 1 of DHS Instruction Harbors, Marine safety, Navigation BILLING CODE 9110–04–P Manual 023–01–001–01, Rev. 1. A (water), Reporting and recordkeeping preliminary Record of Environmental requirements, Security measures, Consideration supporting this Waterways.

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DEPARTMENT OF COMMERCE formats and other information about and under such circumstances, rights electronic filing. All submissions, vest in the Government. National Institute of Standards and including attachments and other The Secretary of Commerce has Technology supporting materials, will become part delegated to the Director of NIST the of the public record and subject to authority to promulgate implementing 37 CFR Parts 401 and 404 public disclosure. NIST reserves the regulations. Regulations implementing 35 U.S.C. 200 through 204 are codified [Docket No.: 201207–0327] right to publish relevant comments publicly, unedited and in their entirety. at 37 CFR part 401, ‘‘Rights to RIN 0693–AB66 Personal information, such as account Inventions Made by Nonprofit numbers or Social Security numbers, or Organizations and Small Business Firms Rights to Federally Funded Inventions names of other individuals, should not under Government Grants, Contracts, and Licensing of Government Owned be included. Do not submit confidential and Co-operative Agreements,’’ and Inventions business information, or otherwise apply to all Federal agencies, 37 CFR AGENCY: National Institute of Standards proprietary, sensitive or protected 401.1(b). These regulations govern all and Technology (NIST), United States information. Comments that contain subject inventions under Bayh-Dole, 37 Department of Commerce. profanity, vulgarity, threats, or other CFR 401.2(d), even if the Federal Government is not the sole source of ACTION: Notice of proposed rulemaking. inappropriate language or content will not be posted or considered. funding for either the conception or the SUMMARY: The National Institute of For Public Webinar: Details about reduction to practice, 37 CFR 401.1(a). Standards and Technology (NIST) accessing the public webinar will be Regulations implementing 35 U.S.C. requests comments on proposed made available via the Technology 208, specifying the terms and conditions revisions to regulations that would Partnerships Office website at http:// upon which federally owned further the Return on Investment (ROI) www.nist.gov/tpo/bayh-dole. inventions, other than inventions Initiative for Unleashing American FOR FURTHER INFORMATION CONTACT: owned by the Tennessee Valley Innovation. The proposed revisions to Courtney Silverthorn, via email: Authority, may be licensed on a ‘‘Rights to Inventions Made by [email protected] or by nonexclusive, partially exclusive, or Nonprofit Organizations and Small telephone at 301–975–4189. exclusive basis, are codified at 37 CFR part 404, ‘‘Licensing of Government Business Firms under Government SUPPLEMENTARY INFORMATION: Grants, Contracts, and Cooperative Owned Inventions.’’ Agreements’’ and ‘‘Licensing of I. General Information Bayh-Dole and its implementing regulations require Federal funding Government-Owned Inventions’’ make Does this action apply to me? agencies to employ certain ‘‘standard technical corrections; reorganize certain This action may be of interest to you subsections; remove outdated and/or clauses’’ in funding agreements awarded if you are an educational institution, to contractors, except under certain unnecessary sections; institute a company, or nonprofit organization, reporting requirement on Federal specified conditions; 37 CFR 401.3. especially one that has received or Through these standard clauses, set agencies; and provide clarifications on would like to receive Federal funding forth at 37 CFR 401.14(a), contractors definitions, communications, scope of for scientific research and development. are obligated to take certain actions to march-in rights, filing of provisional properly manage subject inventions. patent applications, electronic filing, the II. Statutory Framework These actions include disclosing each purpose of royalties on government These proposed rule revisions are subject invention to the Federal agency licenses, and the processes for granting promulgated under the University and within two months after the contractor’s exclusive, co-exclusive and partially Small Business Patent Procedures Act of inventor discloses it in writing to exclusive licenses and for appeals. NIST 1980, Public Law 96–517 (as amended), contractor personnel responsible for intends to hold a webinar regarding the codified at title 35 of the United States patent matters, 37 CFR 401.14(c)(1); proposed changes and information on Code (U.S.C.) 200 et seq., commonly electing in writing whether or not to that webinar will be available to the known as the ‘‘Bayh-Dole Act’’ or retain title to any subject invention by public at https://www.nist.gov/tpo/ ‘‘Bayh-Dole,’’ which governs rights in notifying the Federal agency within two bayh-dole. inventions made with Federal years of disclosure, 37 CFR 401.14(c)(2); DATES: assistance. The Bayh-Dole Act obligates filing an initial patent application on a For Comments: Comments must be nonprofit organizations and small subject invention as to which the received no later than April 5, 2021. business firms (‘‘contractors’’), and large contractor elects to retain title within For Public Webinar: Details about businesses, as directed by Executive one year after election, 37 CFR accessing the public webinar will be Order 12591, to disclose each ‘‘subject 401.14(c)(3); executing and promptly made available via the Technology invention’’ (that is, each invention delivering to the Federal agency all Partnerships Office website at http:// conceived or first actually reduced to instruments necessary to establish or www.nist.gov/tpo/bayh-dole. practice in the performance of work confirm the rights the Government has ADDRESSES: Submit your comments, under a funding agreement, 35 U.S.C. throughout the world in those subject identified by docket identification (ID) 201(e)) within a reasonable time after inventions to which the contractor number: 201207–0327, through the the invention becomes known to the elects to retain title, 37 CFR 401.14(f)(1); Federal e-Rulemaking Portal: http:// contractor, 35 U.S.C. 202(c)(1), and requiring, by written agreement, the www.regulations.gov (search using the permits contractors to elect, within a contractor’s employees to disclose docket number). Follow the online reasonable time after disclosure, to promptly in writing each subject instructions for submitting comments. retain title to a subject invention, 35 invention made under contract, 37 CFR Identify the document by docket ID U.S.C. 202(a). Under certain defined 401.14(f)(2); notifying the Federal number and other identifying ‘‘exceptional’’ circumstances, Bayh-Dole agency of any decision not to continue information (subject heading, Federal permits the Government to restrict or the prosecution of a patent application, Register date and page number). See eliminate the contractor’s right to elect 37 CFR 401.14(f)(3); and including in SUPPLEMENTARY INFORMATION for file to retain title, 35 U.S.C. 202(a), 202(b), the specification of any U.S. patent

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applications and any patent issuing Cross Agency Priority (CAP) goal, part Bayh-Dole implementing regulations thereon covering a subject invention, a of the 2018 President’s Management that could improve compliance, statement that the invention was made Agenda. The Lab-to-Market CAP goal’s enhance a contractor’s ability to with Government support under the stated purpose is to ‘‘. . .improve the commercialize subject inventions, and grant or contract awarded by the Federal transition of federally funded increase the return on investment of agency, and that the Government has innovations from the laboratory to the Federal funding through new goods and certain rights in the invention, 37 CFR marketplace by reducing the services to the public. Four of those 401.14(f)(4). administrative and regulatory burdens seven findings are considered in this In addition, a contractor is obligated for technology transfer and increasing notice of proposed rulemaking (NPRM to include the requirements of the private sector investment in later-stage or proposed rule). standard clauses in any subcontracts research and development (R&D); As part of the overall streamlining under the contractor’s award, 37 CFR develop and implement more effective effort in this proposed rule, some 401.14(g); to submit periodic reports as partnering models and technology outdated or redundant text has been requested on the utilization of a subject transfer mechanisms for Federal proposed for removal. This includes invention or on efforts at obtaining such agencies; and enhance the effectiveness §§ 401.1(a), 401.1(c), 401.1(d), 401.1(f), utilization that are being made by the of technology transfer by improving the 401.3(g), 401.8, 401.11(a), 401.11(b)(5), contractor or its licensees or assignees, methods for evaluating the ROI and 401.13(b) and 404.4. Other text has been 37 CFR 401.14(h); and to agree that economic and national security impacts moved or substantially reincorporated neither the contractor nor any assignee of federally funded R&D, and using that into new sections in the proposed rule will grant to any person the exclusive information to focus efforts on as follows: § 401.5(f) moved to right to use or sell any subject approaches proven to work.’’ § 401.14(c)(1) and (3); §§ 401.7 and inventions in the United States unless Beginning in April 2018, NIST 401.14(m) incorporated into such person agrees that any products utilized a number of avenues to seek §§ 401.14(k)(4) through (6); § 401.13(a) embodying the subject invention or input from the public on ways to moved to § 401.14(c)(6); § 401.15 produced through the use of the subject improve federal technology transfer and incorporated into § 401.9; § 401.16 invention will be manufactured the commercialization of federally moved to § 401.14(m); § 404.2 substantially in the United States, 37 funded inventions. These included a incorporated into § 404.1(b); and § 404.4 CFR 401.14(i), subject to waiver. Request for Information that NIST incorporated into § 404.5(g). Bayh-Dole and its implementing published in the Federal Register,1 four In addition to these changes and regulations also specify certain public meetings,2 a summit hosted by technical corrections throughout the conditions applicable to licenses NIST, extensive consultations with regulation, the proposed revisions to 37 granted by Federal agencies in any interagency working groups responsible CFR part 401 will: federally owned invention. The for technology transfer issues, and (1) Clarify in § 401.1 the scope of the implementing regulations include 37 multiple stakeholder engagement regulation and applicability to large CFR 404.5, which sets forth restrictions sessions. These public inputs, as well as businesses unless otherwise directed by and conditions applicable to all Federal an extensive literature review of statute, and remove the outdated agency licenses, 37 CFR 404.6, which government and academic publications requirement for multiple copies of addresses requirements pertaining to on federal technology transfer, agency regulations to be submitted to nonexclusive licenses, and 37 CFR ultimately informed NIST Special the Secretary prior to OMB review. 404.7, which addresses requirements Publication 1234: Return on Investment (2) Update the definitions of pertaining to exclusive and partially Initiative To Advance the President’s electronically filed and electronic exclusive licenses. Management Agenda, Final Green system in § 401.2(k) and (l) to remove Pursuant to authority delegated to it Paper. outdated references to ‘‘optical by the Secretary of Commerce, NIST is The Green Paper described 15 electronic system’’. providing notice to the public of a findings from NIST’s stakeholder (3) Update the definitions of patent proposed rulemaking to revise Parts 401 engagement process that may have the application and initial patent and 404 of Title 37 of the Code of potential to ‘‘unleash American application in § 401.2(m) and (n) to Federal Regulations which address innovation’’ and advance the goals of encompass U.S. provisional and non- rights to inventions made under Lab-to-Market through regulatory or provisional applications, applications Government grants, contracts, and legislative changes, updates to policy filed in a foreign country or cooperative agreements, and licensing of and guidance, and the development of international patent office directly, PCT government owned inventions. NIST is new tools and services. In addition to applications, and applications for Plant seeking public comments on the the overall Lab-to-Market strategy to Variety Protection certificates. proposed amendments. Brief ‘‘Identify regulatory impediments and (4) Update § 401.5(a) to reflect that explanations of the proposed changes administrative improvements in Federal modifications to paragraph § 401.14(g) are included below; the full text of 37 technology transfer policies and are no longer needed due to the CFR part 401 is available at https:// practices’’ (which supports the applicability of 37 CFR part 401 to all www.gpo.gov/fdsys/pkg/CFR-2010- Administration’s stated goal to businesses regardless of size pursuant to title37-vol1/pdf/CFR-2010-title37-vol1- streamline and reduce regulatory E.O. 12591. part401.pdf and the full text of 37 CFR burdens), seven of the Green Paper’s 15 (5) Revise § 401.5(b) for clarity by part 404 is available at https:// findings noted potential changes to the removing the ambiguity of www.gpo.gov/fdsys/granule/CFR-2004- ‘‘instructions’’ to the agency versus title37-vol1/CFR-2004-title37-vol1- 1 ‘‘Request for Information Regarding Federal ‘‘instructions’’ to the contractor. part404. Technology Transfer Authorities and Process’’ (6) Revise the existing text at published in the Federal Register on May 1, 2018 § 401.6(b) [new § 401.6(a)(1)] to clarify III. Return on Investment Initiative (83 FR 19052). the informal agency consultation 2 San Jose, California, May 17, 2018; Denver, In 2018, NIST undertook a large-scale Colorado, May 21, 2018; Oak Lawn, Illinois, May process with the contractor prior to the stakeholder engagement effort to inform 29, 2018; NIST Campus Gaithersburg, Maryland, exercise of march-in rights, and increase the development of the Lab-to-Market June 14, 2018. the allowable time frame an agency has

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to respond to the contractor following 401, including the number of subject to that which denies a party the the informal consultation from 60 days inventions reported, the number of opportunity to promote the to 120 days. patent applications filed on reported commercialization of an invention, and (7) Clarify § 401.6 to include a subject inventions, the number of issued by requiring all agencies to establish provision that march-in rights shall not patents on subject inventions, the procedures for considering appeals. be exercised by an agency exclusively number of requests made and granted This proposed rulemaking does not on the basis of business decisions of a for extensions of time under address definitions (§ 404.3), contractor regarding the pricing of § 401.14(c)(5), the number of subject nonexclusive licenses (§ 404.6), commercial goods and services arising inventions to which title has been application for a license (§ 404.8), from the practical application of the conveyed to the Government, the protection and administration of invention. number of requests made and granted inventions (§ 404.12), or transfer of (8) Revise § 401.9 to clarify the for a waiver of the preference for U.S. custody (§ 404.13). statutory authority and process for industry requirement, and the number assigning rights to an employee/ of requests for assignment of invention IV. Request for Comments inventor, and to clarify said employee/ rights. NIST is requesting comments about inventor’s responsibilities under 37 CFR (15) Remove the telephone number for 37 CFR parts 401 and 404 of the Bayh- part 401 when receiving an assignment the Interagency Edison service center so Dole regulations. We have included of rights to a subject invention made that contact information can be updated some questions that you might consider under a funding agreement, and in a timelier fashion via the iEdison as you develop your comments: incorporate streamlined text from website. 1. Are there any changes to these § 401.15 to clarify the process by which This proposed rulemaking does not regulations, consistent with current law, a contractor may make a request for address government assignment to that you or your organization think greater rights in an invention when the contractor of rights in invention of would accelerate the transfer of funding agreement contains an alternate government employee (§ 401.10) or federally funded research and provision in accordance with licensing of background rights to third technology to entrepreneurs, or § 401.3(a)(2), and remove the parties (§ 401.12). otherwise strengthen the Nation’s requirement for an agency to reimburse In addition to the aforementioned innovation system? the contractor for the costs of filing a streamlining changes and technical 2. Are there specific revisions to the patent application while a greater rights corrections throughout the regulation, language in § 401.14(b) that could help request is under review. the proposed revisions to 37 CFR part clarify the existing scope of the (9) Revise § 401.13 to streamline the 404 will: Government Use License for owners and text and clarify the confidentiality of (1) Revise § 404.1 to clarify that licensees working to achieve practical contractor submissions made under licensing royalties are not considered an application of subject inventions? § 401.14(c) as it relates to Freedom of augmentation of appropriated funds. 3. Are there provisions within 37 CFR Information Act requests, copies of (2) Revise § 404.2 to clarify the link part 401 or 404 that are inconsistent documents filed with a patent office, between establishing patent license with, or otherwise affected by, changes and agency policies on public financial terms and the goal of in the patent laws under the Leahy- dissemination of results supported by promoting commercial use, by noting Smith America Invents Act, Public Law agency funding programs. that the government may consider 112–29, or that Act’s implementing (10) Revise § 401.14(c)(3) to clarify the licensing payments as a means to ensure regulations? procedures for filing more than one commercialization by the licensee and When submitting comments, provisional patent application on a thus promote the practical application remember to: disclosed subject invention. of a subject invention. i. Identify the document by docket ID (11) Revise § 401.14(d) to add a new (3) Streamline § 404.7 by removing number and other identifying paragraph permitting agencies, at their duplicative sections and revising the information (subject heading, Federal discretion, to release the contractor from paragraph to align the process for Register date and page number). the requirement to waive title to the granting exclusive, co-exclusive and ii. Please organize your comments by agency after one of the conditions in partially exclusive licenses with the referencing the specific question you are § 401.14(d) has occurred. requirements of 35 U.S.C. 209 as it responding to or the relevant section (12) Revise § 401.14(k) to streamline pertains to the required information and number in the proposed regulatory text. the requirements for small business publication site for a notice of intent to iii. Explain why you agree or disagree; considerations into a single section by grant an exclusive license, the suggest alternatives and substitute incorporating language from §§ 401.7 requirement to consider the interests of language for your requested changes. and 401.14(m). the Federal Government or United iv. Describe any assumptions and (13) Move the electronic filing States industry in foreign commerce provide any technical information and/ requirements from § 401.16 into the before granting an exclusive license on or data that you used. standard clause at § 401.14; update the a foreign patent application or patent, v. Provide specific examples to requirements to include that if the and the additional provisions that apply illustrate your concerns and suggest patent information and periodic reports to exclusive licenses beyond the alternatives. in § 401.14(c)(3) and/or the close-out requirements of § 404.5. vi. Explain your views as clearly as report § 401.14(c)(1) are required by an (4) Revise § 404.10 to remove the possible. agency, they will be electronically filed requirement that a Federal agency notify vii. All submissions, including unless otherwise directed by the agency; sublicensees of an intent to modify or attachments and other supporting and permit other written notices to be terminate a license. materials, will become part of the public electronically transmitted between the (5) Revise § 404.11 to clarify who has record and subject to public disclosure. contractor and the agency. standing to appeal the grant, denial, NIST reserves the right to publish (14) Implement a requirement [new modification, or termination of a license relevant comments publicly, unedited § 401.16] for federal agencies to report by limiting a claim of damage by the and in their entirety. Personal annually on activities under 37 CFR part agency’s granting of an exclusive license information, such as account numbers

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or Social Security numbers, or names of Executive Order 13132 that this rulemaking, if adopted, would other individuals, should not be This proposed rule does not contain not have a significant economic impact included. Do not submit confidential policies with federalism implications as on a substantial number of small business information, or otherwise defined in Executive Order 13132. entities. The factual basis for this proprietary, sensitive or protected determination is as follows: information. Comments that contain Executive Order 13771 A description of this proposed rule, profanity, vulgarity, threats, or other This final rule is considered to be an why it is being considered, and the inappropriate language will not be E.O. 13771 deregulatory action. The objectives of this proposed rule are considered. proposed regulation is deregulatory in contained in the preamble and in the viii. Make sure to submit your that it is removing duplicative text and SUMMARY section of the preamble. The comments by the comment period streamlining and/or reducing regulatory statutory basis for this proposed rule is deadline identified. burdens, all at no additional cost. provided by 35 U.S.C. 200–212. The ix. The following formats are The proposed regulation: (1) Updates Bayh-Dole Act and its implementing preferred for comment submissions: the definitions of patent application and regulations apply to all small business .doc or .docx, .pdf, and .txt. initial patent application in § 401.2(m) firms and nonprofit organizations that and (n) to encompass U.S. provisional have entered into a Federal funding V. References and non-provisional applications, agreement, as defined in 35 U.S.C. 201, 1. National Institute of Standards and applications filed in a foreign country or and express a policy to ‘‘encourage Technology (2019). Unleashing international patent office directly, PCT maximum participation of small American Innovation: Return on applications, and applications for Plant business firms in federally supported Investment Initiative to Advance the Variety Protection certificates, which research and development efforts; to President’s Management Agenda, Final reduces patent filing burdens for promote collaboration between Green Paper. NIST Special Publication recipients of federal funding by commercial concerns and nonprofit 1234, retrieved from: https:// providing additional options to fulfill organizations, including universities; www.nist.gov/unleashing-american- the regulation’s filing requirements. (2) [and] to ensure that inventions made by innovation/green-paper. Clarifies § 401.6 to include a provision nonprofit organizations and small 2. Copan, W. and Kratsios, M. (2019). Lab to that march-in rights shall not be business firms are used in a manner to Market: Cross Agency Priority Goal exercised by an agency exclusively on promote free competition and enterprise Quarterly Progress Update, December the basis of business decisions of a without unduly encumbering future 2019. Retrieved from: https:// contractor regarding the pricing of research and discovery.’’ 35 U.S.C. 200. www.performance.gov/CAP/action_ _ _ _ _ commercial goods and services arising For small business firms and nonprofit plans/dec 2019 Lab to Market.pdf. organizations that deal with the 3. Additional Actions Needed to Improve from practical application of the Licensing of Patented Laboratory invention, which limits the Government in areas of technology Inventions (2018). GAO–18–327, government’s use of this provision and development, the Bayh-Dole Retrieved from: https://www.gao.gov/ provides additional certainty to implementing regulations make it easier assets/700/692961.pdf. licensees. (3) Moves the electronic filing to participate in federally-supported 4. National Institute of Standards and requirements from § 401.16 into the programs by guaranteeing the protection Technology (2019). Federal Laboratory standard clause at § 401.14; update the of the intellectual property they create. Technology Transfer, Fiscal Year 2016 requirements to include that if the This proposed rule, if implemented, Summary Report to the President and patent information and periodic reports would predominantly make technical the Congress. Retrieved from: https:// in § 401.14(c)(3) and/or the close-out changes and clarifications, remove www.nist.gov/tpo/reports-and- report § 401.14(c)(1) are required by an outdated material, and streamline the publications. See ‘‘Federal Licenses’’ agency, they will be electronically filed regulation, and is not anticipated to table on page 8. unless otherwise directed by the agency; have any quantifiable economic impact 5. Federal Laboratory Consortium for with respect to small entities. Several Technology Transfer (2013). Technology and permit other written notices to be proposed changes would reduce Transfer Desk Reference. Retrieved from: electronically transmitted between the https://federallabs.org/media/ contractor and the agency, which administrative burdens and increase the publication-library/flc-technology- reduces the burden on recipients of ability of small entities to fulfill transfer-desk-reference. federal funding to complete and submit regulatory requirements through paper forms. electronic submissions, while clarifying VI. Statutory and Executive Order the confidentiality of said submissions Reviews Regulatory Flexibility Act so as to not affect the ability to seek Executive Order 12866 The Regulatory Flexibility Act (RFA) patent protection on a subject invention. requires the preparation and availability The proposed change to the definition This rulemaking is a significant for public comment of ‘‘an initial of an ‘‘initial patent application’’ regulatory action under Executive Order regulatory flexibility analysis’’ which expands the applications by which a 12866. This rulemaking, however, is not will ‘‘describe the impact of the contractor can fulfil the filing an ‘‘economically significant’’ proposed rule on small entities.’’ (5 requirement of the regulation, providing regulatory action under section 3(f)(1) of U.S.C. 603(a)). Section 605 of the RFA additional flexibility for small entities. the Executive order, as it does not have allows an agency to certify a rule, in lieu Proposed revisions to 37 CFR 401.6 an effect on the economy of $100 of preparing an analysis, if the proposed provide additional clarity on the scope million or more in any one year, and it rulemaking is not expected to have a of the Government’s march-in rights, does not have a material adverse effect significant economic impact on a while the proposed revision to 37 CFR on the economy, a sector of the substantial number of small entities. 401.14(d) provides an avenue for an economy, productivity, competition, The Chief Counsel for Regulation of agency to release a small entity from the jobs, the environment, public health or the Department of Commerce certified requirement to convey title to the safety, or State, local, or tribal to the Chief Counsel for Advocacy of the Government if they have taken governments or communities. Small Business Administration (SBA) corrective actions after failing to meet a

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regulatory requirement—these revisions PART 401—RIGHTS TO INVENTIONS § 401.2 Definitions. will all increase the ability for a small MADE BY NONPROFIT In addition to the definitions in 35 entity to more effectively attract outside ORGANIZATIONS AND SMALL U.S.C. 201, as used in this part— funding for their inventions. Proposed BUSINESS FIRMS UNDER * * * * * revisions to 37 CFR 401.9 and § 401.15 GOVERNMENT GRANTS, (k) The term electronically filed will clarify the process by which small CONTRACTS, AND COOPERATIVE means any submission of information entities and sole proprietors may AGREEMENTS transmitted by an electronic system. request title to their inventions when (l) The term electronic system means not otherwise automatically granted title ■ 1. The authority citation for 37 CFR a software-based system approved by by the funding agreement. While the part 401 continues to read as follows: the agency for the transmission of requirements for small business Authority: 35 U.S.C. 206; DOO 30–2A. information. considerations in licensing have been (m) The term patent application or significantly streamlined, the proposed ■ 2. Revise § 401.1 to read as follows: ‘‘application for patent’’ may be the following: revision greatly increases the clarity of § 401.1 Scope. these requirements while not affecting (1) A United States provisional any of the statutory requirements that a (a) This part implements 35 U.S.C. application as defined in 37 CFR contractor must fulfill with regard to 200 through 204 and is applicable to 1.9(a)(2) and filed under 35 U.S.C. small entities. Finally, revisions to 37 any funding agreement with a nonprofit 111(b); or CFR 404.7 will make it easier for small organization or small business firm as (2) A United States nonprovisional defined by 35 U.S.C. 201, except for an entities to seek exclusive, co-exclusive, application as defined in 37 CFR agreement made primarily for 1.9(a)(3) and filed under 35 U.S.C. or partially exclusive licenses. educational purposes under 35 U.S.C. 111(a); or The information provided above 212. This part also applies to any (3) A patent application filed in a supports a determination that this funding agreement with business firms foreign country or an international proposed rule would not have a regardless of size in accordance with patent office; or significant economic impact on a section 1, paragraph (b)(4) of Executive (4) A patent application filed under substantial number of small entities. Order 12591, as amended by Executive the Patent Cooperation Treaty as Because this rulemaking, if Order 12618, unless directed otherwise defined in 37 CFR 1.9(b) which implemented, is not expected to have a pursuant to NASA or DOE vesting designates the United States; or significant economic impact on any statutes. (5) An application for a Plant Variety small entities, an initial regulatory (b) This regulation supersedes OMB Protection certificate. flexibility analysis is not required and Circular A–124 and shall take (n) The term initial patent application none has been prepared. precedence over any regulations or means, as to a given subject invention: other guidance dealing with ownership (1) The first United States provisional Paperwork Reduction Act of inventions made by businesses and application as defined in 37 CFR This proposed rule contains no new nonprofit organizations which are 1.9(a)(2) and filed under 35 U.S.C. 111(b); or collection of information subject to the inconsistent with it. Only deviations (2) The first United States Paperwork Reduction Act, 44 U.S.C. requested by a contractor and not nonprovisional application as defined 3501 et seq. inconsistent with Chapter 18 of Title 35, United States Code, may be made in 37 CFR 1.9(a)(3) and filed under 35 National Environmental Policy Act without approval of the Secretary. U.S.C. 111(a); or Modifications or tailoring of clauses as (3) The first patent application filed in This proposed rule will not authorized by § 401.5 or 401.3, when a foreign country or an international significantly affect the quality of the alternate provisions are used under patent office; or human environment. Therefore, an § 401.3(a)(1) through (6), are not (4) The first patent application filed environmental assessment or considered deviations requiring the under the Patent Cooperation Treaty as Environmental Impact Statement is not Secretary’s approval. defined in 37 CFR 1.9(b) which designates the United States; or required to be prepared under the (c) This part is not intended to apply (5) The first application for a Plant National Environmental Policy Act of to arrangements under which nonprofit Variety Protection certificate. 1969. organizations, small business firms, or (o) The term statutory period means others are allowed to use government- List of Subjects in 37 CFR Parts 401 and the one-year period before the effective owned research facilities and normal 404 filing date of a claimed invention in a technical assistance provided to users of patent application during which Inventions and patents, Laboratories, those facilities, whether on a exceptions to prior art exist per 35 Research and development, Science and reimbursable or nonreimbursable basis. U.S.C. 102(b) as amended by the Leahy- This part is also not intended to apply technology, Technology transfer. Smith America Invents Act, Public Law to arrangements under which sponsors 112–29. For the reasons stated in the reimburse the government or facility preamble, the National Institute of contractor for the contractor employee’s § 401.3 [Amended] Standards and Technology proposes to time in performing work for the ■ amend 37 CFR parts 401 and 404 as 4. Amend § 401.3 as follows: sponsor. Such arrangements are not ■ follows: a. Remove ‘‘§ 401.5(g)’’ and add in its considered ‘‘funding agreements’’ as place ‘‘§ 401.5(f)’’ in paragraph (c)(3); defined at 35 U.S.C. 201(b) and ■ b. Remove ‘‘of Commerce’’ from the § 401.2(a). fourth sentence of paragraph (f); and ■ 3. Amend § 401.2 by revising the ■ c. Remove paragraph (g) and introductory text and paragraphs (k) redesignate paragraphs (h) and (i) as through (o) to read as follows: paragraphs (g) and (h).

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§ 401.4 [Amended] ■ g. Redesignate paragraph (i) as information or argument in opposition ■ 5. Amend § 401.4 as follows: paragraph (b); to the proposed march-in, including any ■ a. Remove ‘‘35 U.S.C. 202(b)(4)’’ and ■ h. Redesignate paragraph (j) as additional specific information which add in its place ‘‘35 U.S.C. 202(b)(3)’’ in paragraph (c) and revise the newly raises a genuine dispute over the the first sentence of paragraph (a); and redesignated paragraph (c); material facts upon which the march-in ■ b. Remove ‘‘United States Claims ■ i. Redesignate paragraph (k) as is based. If the information presented Court’’ and add in its place ‘‘United paragraph (d); raises a genuine dispute over the States Court of Federal Claims’’ in the ■ j. Add a new paragraph (e); material facts, the head of the agency or last sentence of paragraph (b)(6). ■ k. Redesignate paragraph (l) as designee shall undertake or refer the ■ 6. Amend § 401.5 as follows: paragraph (f). matter to another official for fact- ■ a. Revise paragraphs (a) and (b); The revisions and additions read as finding. ■ b. Remove paragraph (f) and follows: (4) Fact-finding shall be conducted in redesignate paragraphs (g) and (h) as § 401.6 Exercise of march-in rights. accordance with the procedures paragraphs (f) and (g); established by the agency. Such ■ c. Revise the newly redesignated (a) * * * procedures shall be as informal as (1) Whenever an agency receives paragraph (g). practicable and be consistent with The revisions read as follows: information that it believes might principles of fundamental fairness. The warrant the exercise of march-in rights, procedures should afford the contractor § 401.5 Modification and tailoring of before initiating any march-in the opportunity to appear with counsel, clauses. proceeding, it shall notify the contractor submit documentary evidence, present (a) Agencies should complete the in writing (including electronic means) witnesses and confront such persons as blank in paragraph (g)(2) of the clauses of the information and request an the agency may present. A transcribed at § 401.14 in accordance with their own informal consultation and information record shall be made and shall be or applicable government-wide relevant to the matter with the available at cost to the contractor upon regulations such as the Federal contractor to understand the nature of request. The requirement for a Acquisition Regulation. If the funding the issue and consider possible actions transcribed record may be waived by agreement is a grant or cooperative other than exercising march-in rights. In mutual agreement of the contractor and agreement, paragraph (g)(3) of the clause the absence of response from the the agency. Any portion of the march- may be deleted. contractor to the agency request for in proceeding, including a fact-finding (b) Agencies should complete informal consultation within 30 days, hearing that involves testimony or paragraph (l) of the clause in § 401.14, the agency may, at its discretion, evidence relating to the utilization or ‘‘Communication’’ by designating a proceed with the procedures below. If efforts at obtaining utilization that are central point of contact for informal consultation occurs within 30 being made by the contractor, its communications on matters relating to days, or later if the agency has not assignee, or licensees shall be closed to the clause. Agencies may also include initiated the procedures below, then the the public, including potential additional information on agency shall, within 120 days after licensees. In accordance with 35 U.S.C. communications in paragraph (l) of the informal consultation, either notify the 202(c)(5), agencies shall not disclose clause in § 401.14. contractor of the initiation of the any such information obtained during a * * * * * procedures below with a summary of march-in proceeding to persons outside (g) If the contract is for the operation the efforts taken, or notify the the government except when such of a government-owned facility, contractor, in writing, that it will not release is authorized by the contractor agencies may add paragraph (f)(6) to the pursue march-in rights on the basis of (assignee or licensee) or otherwise clause at § 401.14 with the following the available information. required by law. text: (2) A march-in proceeding shall be (5) The official conducting the fact- The contractor shall establish and initiated by the issuance of a written finding shall prepare or adopt written maintain active and effective procedures notice by the agency to the contractor findings of fact and transmit them to the to ensure that subject inventions are and its assignee or exclusive licensee, as head of the agency or designee promptly promptly identified and timely applicable and if known to the agency, after the conclusion of the fact-finding disclosed and shall submit a description stating that the agency is considering proceeding along with a recommended of the procedures to the contracting the exercise of march-in rights. The determination. A copy of the findings of officer so that the contracting officer notice shall state the reasons for the fact shall be sent to the contractor may evaluate and determine their proposed march-in in terms sufficient to (assignee or exclusive licensee) by effectiveness. put the contractor on notice of the facts registered or certified mail. The ■ 7. Amend § 401.6 as follows: upon which the action would be based contractor (assignee or exclusive ■ a. Remove the period from the end of and shall specify the field or fields of licensee) and agency representatives paragraph (a) introductory text and add use in which the agency is considering will be given 30 days to submit written in its place a colon; requiring licensing. The notice shall arguments to the head of the agency or ■ b. Add paragraphs (a)(1) through (7); advise the contractor (assignee or designee; and, upon request by the ■ c. Redesignate paragraph (b) as exclusive licensee) of its rights, as set contractor oral arguments will be held paragraph (a)(1) and revise the newly forth in this section and in any before the agency head or designee that redesignated paragraph (a)(1); supplemental agency regulations. The will make the final determination. ■ d. Redesignate paragraphs (c) and (d) determination to exercise march-in (6) In cases in which fact-finding has as paragraphs (a)(2) and (3); rights shall be made by the head of the been conducted, the head of the agency ■ e. Redesignate paragraph (e) as agency or his or her designee. or designee shall base his or her paragraph (a)(4) and revise the newly (3) Within 30 days after the receipt of determination on the facts found, redesignated paragraph (a)(4); the written notice of march-in, the together with any other information and ■ f. Redesignate paragraphs (f) through contractor (assignee or exclusive written or oral arguments submitted by (h) as paragraphs (a)(5) through (7) licensee) may submit in person, in the contractor (assignee or exclusive respectively; writing, or through a representative, licensee) and agency representatives,

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and any other information in the provisions in accordance with The revisions read as follows: administrative record. The consistency § 401.3(a)(2): of the exercise of march-in rights with (1) The agency shall consider if the § 401.11 Appeals. the policy and objectives of 35 U.S.C. circumstances which originally led the (a) * * * 200 shall also be considered. In cases agency to invoke an exception under (1) A refusal to grant an extension referred for fact-finding, the head of the § 401.3(a) are currently valid and under paragraph (c)(5) of the standard agency or designee may reject only applicable to the actual subject clause at § 401.14. those facts that have been found to be invention. (2) A request for a conveyance of title clearly erroneous, but must explicitly (i) The agency shall provide the under paragraph (d)(1) of the standard state the rejection and indicate the basis contractor the opportunity to submit clause at § 401.14. for the contrary finding. Written notice information on its plans and intentions (3) A refusal to grant a waiver under of the determination whether march-in to bring the subject invention to paragraph (i) of the standard clause at rights will be exercised shall be made by practical application pursuant to 35 § 401.14. the head of the agency or designee and U.S.C. 200. (4) A refusal to approve an assignment sent to the contractor (assignee of (ii) The agency shall assess whether under paragraph (k)(1) of the standard exclusive licensee) by certified or government ownership of the invention clause at § 401.14. registered mail within 90 days after the will better promote the policies and (b) Each agency shall establish and completion of fact-finding or 90 days objectives of 35 U.S.C. 200 than the publish procedures under which any of after oral arguments, whichever is later, plans and intentions submitted by the the agency actions listed in paragraph or the proceedings will be deemed to contractor. (a) of this section may be appealed to have been terminated and thereafter no (iii) The agency shall consider the head of the agency or designee. march-in based on the facts and reasons whether to allow the standard clause at Review at this level shall consider both upon which the proceeding was § 401.14 to apply with additional the factual and legal basis for the actions initiated may be exercised. conditions imposed upon the and its consistency with the policy and (7) An agency may, at any time, contractor’s use of the invention for objectives of 35 U.S.C. 200–206. terminate a march-in proceeding if it is specific uses or applications, or with (c) Appeals procedures established satisfied that it does not wish to exercise expanded government license rights in under paragraph (b) of this section shall march-in rights. such uses or applications. include administrative due process (b) The procedures of this part shall (2) The agency shall reply to the procedures and standards for fact- also apply to the exercise of march-in contractor with its determination within finding at least comparable to those set rights against inventors receiving title to 90 days after receiving a request and any forth in § 401.6(a)(4) through (6) subject inventions under 35 U.S.C. supporting information from the whenever there is a dispute as to the 202(d) and, for that purpose, the term contractor. If a bar to patenting is sooner factual basis for an agency request for a ‘‘contractor’’ as used in this section than 90 days from receipt of a request, conveyance of title under paragraph (d) shall be deemed to include the inventor. the agency may either file a patent of the standard clause at § 401.14, (c) An agency determination application on the subject invention or including any dispute as to whether or unfavorable to the contractor (assignee authorize the contractor to file a patent not an invention is a subject invention. or exclusive licensee) shall be held in application at its own risk and expense. (d) To the extent that any of the abeyance pending the exhaustion of (3) The Department of Energy is actions described in paragraph (a) of appeals or petitions filed under 35 authorized to process deferred this section are subject to appeal under U.S.C. 203(b). determinations either in accordance the Contract Dispute Act, the (d) For purposes of this section the with its waiver regulations or this procedures under the Act will satisfy term exclusive licensee includes a section. the requirements of paragraphs (b) and partially exclusive licensee. (b) Pursuant to 35 U.S.C. 202(d), a (c) of this section. ■ (e) March-in rights shall not be contractor is required to obtain approval 11. Revise § 401.13 to read as follows: exercised exclusively based on the from a funding Agency before assigning rights to a subject invention made under § 401.13 Confidentiality of contractor business decisions of the contractor submissions. regarding the pricing of commercial a funding agreement to an employee/ inventor. When an employee/inventor Pursuant to 35 U.S.C. 202(c)(5) and goods and services arising from the 205, the following procedures shall practical application of the invention. retains rights to a subject invention made under a funding agreement, either govern confidentiality of documents (f) Agencies are authorized to issue submitted under paragraph (c) of the supplemental procedures not the Agency or the contractor must ensure compliance by the employee/ standard clause found at § 401.14: inconsistent with this part for the (a) Agencies shall not disclose to third conduct of march-in proceedings. inventor with at least those conditions that would apply under paragraphs (b), parties pursuant to requests under the § § 401.7 and 401.8 [Removed and (d), (f)(4), (h), (i), and (j) of the clause Freedom of Information Act (FOIA) any Reserved] at § 401.14. information disclosing a subject ■ 8. Remove and reserve §§ 401.7 and ■ 10. Amend § 401.11 as follows: invention during the time which an 401.8. ■ a. Remove paragraph (a); initial patent application may be filed ■ 9. Revise § 401.9 as follows: ■ b. Redesignate paragraph (b) as under paragraph (c) of the standard paragraph (a); clause found at § 401.14 or such other § 401.9 Contractor and contractor ■ c. Revise the newly redesignated clause in the funding agreement. This employee inventor requests for rights in paragraphs (a)(1) through (4); prohibition does not apply to inventions. ■ d. Remove newly redesignated information that has previously been (a) Agencies shall allow a contractor paragraph (a)(5); published by the inventor, contractor, or to request greater rights in an invention, ■ e. Redesignate paragraphs (c) through otherwise. including a request to return title to an (e) as paragraphs (b) through (d), (b) Agencies shall not disclose or invention to the contractor, when the respectively, and revise the newly release, pursuant to requests under the funding agreement contains alternate redesignated paragraphs (b) through (d). Freedom of Information Act or

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otherwise, copies of any document patent application during which application. The contractor shall file or which is part of an application for exceptions to prior art exist per 35 notify the government that they do not patent with the U.S. Patent and U.S.C. 102(b) as amended by the Leahy- intend to file a non-provisional Trademark Office or any foreign patent Smith America Invents Act, Public Law application within 10 months of the last office filed by the contractor (or its 112–29. filed provisional application that is assignees, licensees, or employees) on a * * * * * consistent with this section. subject invention to which the (c) * * * (iii) The contractor will file patent contractor has elected to retain title. (1) The contractor will disclose each applications in additional countries or This prohibition does not extend to subject invention to the Federal agency international patent offices within either disclosure to other government agencies within two months after the inventor ten months of the first filed patent or contractors of government agencies discloses it in writing to contractor application or six months from the date under an obligation to maintain such personnel responsible for patent permission is granted by the information in confidence. This matters. The disclosure to the agency Commissioner of Patents to file foreign prohibition does not apply to shall be in the form of a written report patent applications where such filing documents published by the U.S. Patent and shall identify the contract under has been prohibited by a Secrecy Order. and Trademark Office or any foreign which the invention was made and the (iv) If required by the Federal agency, patent office. inventor(s). It shall be sufficiently the contractor will provide the filing (c) When implementing policies that complete in technical detail to convey a date, patent application number and encourage public dissemination of the clear understanding to the extent known title; a copy of the patent application; results of work supported by the agency at the time of the disclosure, of the and patent number and issue date for through government publications or nature, purpose, operation, and the any subject invention in any country in which the contractor has applied for a other publications of technical reports, physical, chemical, biological or patent. agencies shall not include copies of electrical characteristics of the documents submitted by contractors invention. The disclosure shall also * * * * * pursuant to § 401.14(c) when a identify any publication, on sale or (6) In the event a subject invention is contractor notifies the agency that a public use of the invention, and made under funding agreements of more particular report or other submission whether a manuscript describing the than one agency, at the request of the contains a disclosure of a subject invention has been submitted for contractor or on their own initiative the invention to which it has elected title or publication and, if so, whether it has agencies shall designate one agency as may elect title, or such publication been accepted for publication at the responsible for administration of the could create a statutory bar to obtaining time of disclosure. In addition, after rights of the government in the patent protection. disclosure to the agency, the contractor invention. (d) Conditions When the Government ■ 12. Amend § 401.14 as follows: will promptly notify the agency of the ■ a. Revise paragraphs (a)(2) and (7), May Obtain Title acceptance of any manuscript (1) A Federal agency may require the and (c)(1) and (3); describing the invention for publication ■ contractor to convey title to the Federal b. Add paragraph (c)(6); or of any on sale or public use planned ■ c. Revise paragraph (d); agency of any subject invention— ■ by the contractor. If required by the (i) If the contractor fails to disclose or d. Remove ‘‘sucessor’’ and add in its Federal agency, the contractor will place ‘‘successor’’ in the final sentence elect title to the subject invention provide periodic (but no more within the times specified in paragraph of paragraph (e)(1); frequently than annual) listings of all ■ e. Revise paragraph (f)(3); (c) of this clause, or elects not to retain subject inventions which were disclosed ■ f. Remove ‘‘incidential’’ and add in its title. to the agency during the period covered place ‘‘incidental’’ in paragraph (k)(3); (ii) In those countries in which the ■ g. Revise paragraph (k)(4); by the report, and will provide a report contractor fails to file patent ■ h. Add paragraphs (k)(5) and (6); prior to the close-out of a funding applications within the times specified ■ i. Add paragraph (m). agreement listing all subject inventions in paragraph (c) of this clause; provided, The revisions read as follows: or stating that there were none. however, that if the contractor has filed * * * * * a patent application in a country after § 401.14 Standard patent rights clauses. (3)(i) The contractor will file its initial the times specified in paragraph (c) of * * * * * patent application on a subject this clause, but prior to its receipt of the (a) * * * invention to which it elects to retain written request of the Federal agency, (2) Subject invention means any title within one year after election of the contractor shall continue to retain invention of a contractor conceived or title or, if earlier, prior to the end of any title in that country. first actually reduced to practice in the statutory period wherein valid patent (iii) In any country in which the performance of work under a funding protection can be obtained in the United contractor decides not to continue the agreement; provided that in the case of States after a publication, on sale, or prosecution of any non-provisional a variety of plant, the date of public use. Subject to the grant of an patent application for, to pay a determination (as defined in section extension by an agency under paragraph maintenance, annuity or renewal fee on, 41(d) of the Plant Variety Protection (c)(5) of this clause, if the contractor or to defend in a reexamination or Act, 7 U.S.C. 2401(d)) must also occur files a provisional application as its opposition proceeding on, a patent on a during the period of contract initial patent application, it shall file a subject invention. performance. An invention that is non-provisional application within 10 (2) A Federal agency, at its discretion, conceived and reduced to practice months of the filing of the provisional may waive the requirement for the without the use of any federal funds is application. contractor to convey title to any subject not considered a subject invention. (ii) Each provisional application filed invention. * * * * * following the initial patent application * * * * * (7) The term statutory period means must contain additional written (f) * * * the one-year period before the effective description of the subject invention not (3) For each subject invention, the filing date of a claimed invention in a previously disclosed in a patent contractor will, no less than 60 days

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prior to the expiration of the statutory (c) Issued patents on subject alternative to appropriated funding or as deadline, or 60 days prior to the date if inventions; an alternative funding mechanism. 401.14(c)(5) applies, notify the Federal (d) Number of requests and number of ■ 18. Revise § 404.2 to read as follows: agency of any decision. requests granted for extension of the § 404.2 Policy and objective. * * * * * time for disclosures, election, and filing (k) * * * per 37 CFR 401.14(c)(5); It is the policy and objective of this (4) It will make efforts that are (e) Number of subject inventions subpart to promote the results of reasonable under the circumstances to conveyed to the Government in federally funded research and attract licensees of subject inventions accordance with 37 CFR 401.14(d); development through the patenting and that are small business firms and that, (f) Number of waivers requested and licensing process. In negotiating when appropriate, it will give a waivers granted per 37 CFR 401.14(i); licenses, the Government may consider preference to a small business firm and payments under a licensing agreement when licensing a subject invention; (g) Number of requests for assignment as a means for promoting the practical (5) The Federal agency may review of invention rights. Such information application of a subject invention and as the contractor’s licensing program and will be received by the Secretary no a method to ensure commercialization decisions regarding small business later than the last day of October of each by the licensee. applicants, and the contractor will year. negotiate changes to its licensing § 404.4 [Removed and Reserved] policies, procedures, or practices with § 401.17 [Amended] ■ 19. Remove and reserve § 404.4. ■ 15. Amend § 401.17 by removing the the Federal agency when the Federal § 404.5 [Amended] agency’s review discloses that the phrase ‘‘, telephone (301) 435–1986’’ ■ contractor could take reasonable steps to before the final period of the paragraph. 20. Amend § 404.5 by removing more effectively implement the ‘‘§ 404.5(a)(2)’’ from paragraph (b)(8)(iv) requirements of paragraph (k)(4) of this PART 404—LICENSING OF and adding in its place ‘‘35 U.S.C. clause; and GOVERNMENT OWNED INVENTIONS 209(b)’’. ■ 21. Revise § 404.7 to read as follows: (6) The Federal agency may take into ■ 16. The authority citation for 37 CFR consideration concerns presented by part 404 continues to read as follows: § 404.7 Exclusive, co-exclusive, and small businesses in making such partially exclusive licenses. determinations in paragraph (k)(5) of Authority: 35 U.S.C. 207–209, DOO 30– (a) Exclusive, co-exclusive or partially this clause. 2A. ■ 17. Revise § 404.1 to read as follows: exclusive licenses may be granted on * * * * * Government owned inventions, only if: (m) Electronic Filing § 404.1 Scope of part. (1) Notice of a prospective license, (a) Unless otherwise requested or identifying the invention at a minimum, directed by the Federal agency— (a) This part prescribes the terms, (1) The written disclosure required in conditions, and procedures upon which has been published and responses, if (c)(1) of this clause shall be a federally owned invention, other than any, reviewed in accordance with 35 electronically filed; an invention in the custody of the U.S.C. 209. The agency, in its discretion, (2) The written election required in Tennessee Valley Authority, may be may include other information as (c)(2) of this clause shall be licensed. This part does not affect appropriate; electronically filed; and licenses which: (2) After expiration of the public (3) If required by the agency to be (1) Were in effect prior to April 7, notice period and consideration of any submitted, the close-out report in 2006; written objections received in paragraph (c)(1) of this clause and the (2) May exist at the time of the accordance with 35 U.S.C. 209(e), the patent information and periodic Government’s acquisition of title to the Federal agency has determined that: reporting identified in paragraph (c)(3) invention, including those resulting (i) The public will be served by the of this clause shall be electronically from the allocation of rights to granting of the license, as indicated by filed. inventions made under Government the applicant’s intentions, plans and (b) Other written notices required in research and development contracts; ability to bring the invention to the this clause may be electronically (3) Are the result of an authorized point of practical application or delivered to the agency or the contractor exchange of rights in the settlement of otherwise promote the invention’s through an electronic database used for patent disputes, including interferences; utilization by the public; reporting subject inventions, patents, or (ii) The proposed scope of exclusivity and utilization reports to the funding (4) Are otherwise authorized by law is not greater than reasonably necessary agency. or treaty, including 35 U.S.C. 202(e), 35 to provide the incentive for bringing the U.S.C. 207(a)(3) and 15 U.S.C. 3710a, invention to practical application, as § 401.15 [Removed and Reserved] which also may authorize the proposed by the applicant, or otherwise ■ 13. Remove and reserve § 401.15. assignment of inventions. Although to promote the invention’s utilization by ■ 14. Revise § 401.16 to read as follows: licenses on inventions made under a the public; and § 401.16 Federal agency reporting cooperative research and development (iii) Exclusive, co-exclusive or requirements. agreement (CRADA) are not subject to partially exclusive licensing is a Federal agencies will report annually this regulation, agencies are encouraged reasonable and necessary incentive to to the Secretary of Commerce on data to apply the same policies and use call forth the investment capital and pertaining to reported subject similar terms when appropriate. expenditures needed to bring the inventions under a funding agreement, Similarly, this should be done for invention to practical application or including— licenses granted under inventions where otherwise promote the invention’s (a) Number of subject inventions the agency has acquired rights pursuant utilization by the public; reported to the Federal Agency; to 35 U.S.C. 207(a)(3). (3) The Federal agency has (b) Patent applications filed on subject (b) Royalties collected pursuant to determined that the grant of such a inventions; this part are not intended as an license will not tend substantially to

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lessen competition or create or maintain being denied the opportunity to overnight courier, or by first-class or a violation of the Federal antitrust laws; promote the commercialization of the overnight U.S. Postal Service mail. All (4) The Federal agency has given first invention. filings must be addressed to the preference to any small business firms (b) The Federal agency shall establish Commission’s Secretary, Office of the submitting plans that are determined by appropriate procedures for considering Secretary, Federal Communications the agency to be within the capability of appeals under paragraph (a) of this Commission. the firms and as having equal or greater section. • Commercial overnight mail (other likelihood as those from other ■ 24. Revise § 404.14 to read as follows: than U.S. Postal Service Express Mail applicants to bring the invention to and Priority Mail) must be sent to 9050 § 404.14 Confidentiality of information. practical application within a Junction Drive, Annapolis Junction, MD reasonable time; and 35 U.S.C. 209(f) requires that any plan 20701. (5) In the case of an invention covered submitted pursuant to § 404.8(a)(8) and • U.S. Postal Service first-class, by a foreign patent application or any report required by 35 U.S.C. Express, and Priority mail must be patent, the interests of the Federal 209(d)(2) shall be treated as commercial addressed to 45 L Street NE, Government or United States industry or financial information obtained from a Washington, DC 20554. in foreign commerce will be enhanced. person and privileged and confidential • Effective March 19, 2020, and until (b) In addition to the provisions of and not subject to disclosure under 5 further notice, the Commission no § 404.5, the following terms and U.S.C. 552. longer accepts any hand or messenger conditions apply to exclusive, co- Kevin Kimball, delivered filings. This is a temporary exclusive and partially exclusive Chief of Staff. measure taken to help protect the health licenses: and safety of individuals, and to [FR Doc. 2020–27581 Filed 12–31–20; 8:45 am] (1) The license shall be subject to the mitigate the transmission of COVID–19. irrevocable, royalty-free right of the BILLING CODE 3510–13–P See FCC Announces Closure of FCC Government of the United States to Headquarters Open Window and practice or have practiced the invention Change in Hand-Delivery Policy, Public on behalf of the United States and on FEDERAL COMMUNICATIONS Notice, DA 20–304 (March 19, 2020), behalf of any foreign government or COMMISSION https://www.fcc.gov/document/fcc- international organization pursuant to 47 CFR Parts 0 and 64 closes-headquarters-open-window-and- any existing or future treaty or changes-hand-delivery-policy. agreement with the United States. [EB Docket No. 20–374; FCC 20–174; FRS People with Disabilities: Contact the (2) The license shall reserve to the 17331] FCC to request reasonable Federal agency the right to require the accommodations (accessible format Pallone-Thune Telephone Robocall licensee to grant sublicenses to documents, sign language interpreters, Abuse Criminal Enforcement and responsible applicants, on reasonable CART, etc.) by email: [email protected] Deterrence Act (TRACED Act) terms, when necessary to fulfill health or phone: 202–418–0530 or TTY: 202– or safety needs. AGENCY: Federal Communications 418–0432. (3) The license shall be subject to any Commission. FOR FURTHER INFORMATION CONTACT: For licenses in force at the time of the grant ACTION: Proposed rule. additional information on this of the exclusive, co-exclusive or proceeding, contact Daniel Stepanicich partially exclusive license. SUMMARY: In this document, the of the Telecommunications Consumers (4) The license may grant the licensee Commission proposes rules to Division, Enforcement Bureau, at the right to take any suitable and implement the Pallone-Thune [email protected] or (202) necessary actions to protect the licensed Telephone Robocall Abuse Criminal 418–7451. property, on behalf of the Federal Enforcement and Deterrence Act Government. SUPPLEMENTARY INFORMATION: This is a (TRACED Act) to streamline the process summary of the Commission’s Notice of (c) Federal agencies shall maintain a by which private entities may submit record of determinations to grant Proposed Rulemaking, FCC 20–174, EB information to the Commission about Docket No. 20–374, adopted and exclusive, co-exclusive or partially violations of the Communications Act. exclusive licenses. released on December 8, 2020. The full DATES: Comments are due on or before text of this document is available for § 404.10 [Amended] February 3, 2021 and reply comments public inspection online at https:// ■ 22. Amend § 404.10 by removing ‘‘and are due on or before February 18, 2021. docs.fcc.gov/public/attachments/FCC- any sublicensee of record’’. ADDRESSES: You may submit comments, 20-174A1.pdf. To request this document ■ 23. Revise paragraphs (a) introductory identified by EB Docket No. 20–374, by in accessible formats for people with text, (a)(3), and (b) to read as follows: any of the following methods: disabilities (e.g., Braille, large print, • Electronic Filers: Comments may be electronic files, audio format, etc.) or to § 404.11 Appeals. filed electronically using the internet by request reasonable accommodations (a) The following parties may appeal accessing the ECFS: http://apps.fcc.gov/ (e.g., accessible format documents, sign to the agency head or designee any ecfs/. language interpreters, CART, etc.), send decision or determination concerning • Paper Filers: Parties who choose to an email to [email protected] or call the the grant, denial, modification, or file by paper must file an original and FCC’s Consumer and Governmental termination of a license: one copy of each filing. If more than one Affairs Bureau at (202) 418–0530 * * * * * docket or rulemaking number appears in (voice), (202) 418–0432 (TTY). (3) A person who timely filed a the caption of this proceeding, filers written objection in response to the must submit two additional copies for Synopsis notice required by § 404.7 and who can each additional docket or rulemaking 1. In this Notice of Proposed demonstrate to the satisfaction of the number. Rulemaking, the Federal Federal agency that such person may be Filings can be sent by hand or Communications Commission damaged by the agency action due to messenger delivery, by commercial (Commission) proposes to implement

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section 10(a) of the Pallone-Thune FCC website that the Enforcement example, should we consider creating a Telephone Robocall Abuse Criminal Bureau would monitor. We believe that safe harbor for private entities that share Enforcement Act (TRACED Act). this will streamline the collection of information through the web portal, and Unlawful robocalls plague the American information pertaining to robocall and if so, what should be the scope of any public. Such calls are frequently spoofing violations, in conformance such safe harbor? Would additional safe coupled with misleading or inaccurate with section 10(a) of the TRACED Act. harbor protections be necessary and telephone numbers displayed as caller We seek comment on this proposal. We appropriate to encourage timely ID information, an act known as propose that this mechanism will be in reporting of violations? We invite spoofing. Spoofed calls are often used to addition to, and distinct from, the specific suggestions for safe harbors, facilitate fraudulent or other harmful informal complaint process that the including our legal authority to adopt activities. Congress enacted the Pallone- Consumer and Governmental Affairs such suggestions. Thune Telephone Robocall Abuse Bureau manages. We anticipate that 8. No Impact on Informal Consumer Criminal Enforcement and Deterrence private entities will use the portal to Complaint Process. We note that our Act (TRACED Act) to aid efforts to curb submit information about suspected actions here would not affect the illegal robocalling. Congress recognized robocall or spoofing violations (i.e., process by which a consumer submits the value of industry cooperation in ‘‘tips’’). Based on our experience, we an informal complaint about a robocall fighting unlawful spoofed robocalls and expect that the portal will be or spoofed call. The Commission took steps to formalize such particularly valuable to employees who receives thousands of informal cooperation. suspect that their company is violating consumer complaints a month involving 2. In particular, Congress sought to the law, and third parties who have unwanted calls, including robocalls and enhance the ability of private entities to been disrupted by unlawful spoofers. robotexts. The unwanted calls convey concerns about calls and texts Consumers should continue to submit complaint form asks for information that violate robocall or caller ID complaints about robocalls and spoofed such as date and time of the incident, spoofing restrictions. Specifically, calls through the Consumer and caller ID information displayed, Congress directed the Commission to Governmental Affairs Bureau’s informal telephone number where the unwanted establish regulations, no later than June consumer complaint process. We seek call was received, information about the 30, 2021, to create a process that comment on this proposal. We also seek consumer’s telephone service, and a ‘‘streamlines the ways in which a comment on alternative or additional description of the unwanted call. The private entity may voluntarily share methods to streamline collection of Consumer and Governmental Affairs with the Commission information information from private entities for Bureau uses this information to inform relating to’’ a call or text message that potential enforcement of robocalling or Commission consumer protection violates the law regarding robocalls or spoofing violations. policies as well as for analytical and spoofing. This Notice of Proposed 5. We propose that the online form consumer education purposes. It also Rulemaking proposes and seeks would require certain minimum forwards these complaints to the comment on rules to implement this information, including the name of the Enforcement Bureau, which may use mandate. We propose to establish an private entity, a point of contact, the them to pursue enforcement actions. We online web portal where private entities caller ID information displayed as well recognize that consumers might may submit information about as the phone numbers affected by the mistakenly file complaints with the new violations of sections 227(b) and 227(e) robocalling incident, the date(s) and streamlined process rather than the of the Communications Act. Under the time(s) of the relevant calls or texts, the existing consumer complaint process. In proposal, the Commission’s name of the private entity’s service such cases, we propose that the Enforcement Bureau would monitor the provider, and a description of the Enforcement Bureau will forward such portal. problematic calls or texts. We propose consumer complaints to the Consumer 3. Definition of Private Entity. We to allow private entities to submit and Governmental Affairs Bureau. And must first determine what constitutes a additional information. We invite input to mitigate that impact, we propose that ‘‘private entity’’ for purposes of section on this proposal and seek comment on the new portal clearly explain its 10 of the TRACED Act. Given the what other information we should purpose and intended uses. We seek breadth of the term ‘‘entity,’’ which require. comment on these proposals. typically goes beyond just persons, we 6. We further invite comment on 9. Initial Regulatory Flexibility propose to define ‘‘private entity’’ to whether there are any regulatory or Analysis. As required by the Regulatory exclude only governments; in other statutory obligations or mandates that Flexibility Act of 1980, as amended words, a private entity is anyone (an we should consider in developing the (RFA), the Commission has prepared an individual, a company, an organization, new streamlined process for collecting Initial Regulatory Flexibility Analysis an association, etc.) that is not a public information from private entities under (IRFA) of the possible significant entity. We note that Congress did not the definition we propose. Specifically, economic impact on small entities by define the term ‘‘private entity’’ in the are there any laws or regulations that the policies and rules addressed in the TRACED Act, but in other laws currently deter private entities from Notice of Proposed Rulemaking. Written Congress has defined ‘‘private entity’’ in sharing data with the Commission public comments are requested on the a similar manner. We seek comment on regarding robocalls and spoofed calls IRFA. Comments must be identified as our proposed interpretation, and and texts? What confidentiality responses to the IRFA and must be filed whether there is a basis for a different assurances, if any, are necessary to by the deadlines for comments on the interpretation of what constitutes a ensure that a private entity would not Notice of Proposed Rulemaking. The private entity. open itself up to potential liability for Commission will send a copy of the 4. Streamlined Process. We propose to any such sharing. Notice of Proposed Rulemaking, create a mechanism for private entities 7. What other incentives are needed to including this IRFA, to the Chief to submit information about suspected encourage private entities to share Counsel for Advocacy of the Small robocall and spoofing violations directly information with the Commission about Business Administration (SBA). In to the Enforcement Bureau. We propose illegal robocalling or spoofing addition, the Notice of Proposed to create an online portal located on the campaigns in a timely manner? For Rulemaking and IRFA (or summaries

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thereof) will be published in the Federal $50,000 or less to delineate its annual counterproductive to consumers and Register. electronic filing requirements for small small entities. We propose to give 10. In the Notice of Proposed exempt organizations. Nationwide, for maximum flexibility to small entities as Rulemaking, the Commission proposes tax year 2018, there were approximately they may still continue to submit to streamline the process for private 571,709 small exempt organizations in robocall complaints to the Consumer entities to submit information to the the U.S. reporting revenues of $50,000 Complaint Center. This flexibility limits Commission about a violation of 47 or less according to the registration and any undue burdens on small entities. U.S.C. 227(b) or 47 U.S.C. 227(e). The tax data for exempt organizations We seek comment on whether we Commission proposes to create a web available from the IRS. should consider any alternative portal where private entities can submit 15. Finally, the small entity described proposals to reduce the impact on small robocall violation information that will as a ‘‘small governmental jurisdiction’’ entities. be monitored and reviewed by the is defined generally as ‘‘governments of 19. Initial Paperwork Reduction Act of Enforcement Bureau. Additionally, the cities, counties, towns, townships, 1995 Analysis. The Notice of Proposed Commission proposes to define ‘‘private villages, school districts, or special Rulemaking contains proposed new entity’’ as any individual or entity other districts, with a population of less than information collection requirements. than a public entity. fifty-thousand.’’ The rules proposed in The Commission, as part of its 11. The proposed action is authorized this Notice of Proposed Rulemaking continuing effort to reduce paperwork pursuant to sections 4(i) and 4(j) of the exclude public entities and therefore do burdens, invites the general public and Communications Act of 1934, as not apply to small governmental the Office of Management and Budget amended, 47 U.S.C. 154(i), 154(j), and jurisdictions. (OMB) to comment on the information 227, and section 10(a) of the Pallone- 16. The Commission does not expect collection requirements contained in Thune Telephone Robocall Abuse the rules proposed in the Notice of this document, as required by the Criminal Enforcement and Deterrence Proposed Rulemaking will impose any Paperwork Reduction Act of 1995, Act, Public Law 116–105, 133 Stat. new and/or additional reporting or Public Law 104–13. In addition, 3274. recordkeeping and/or compliance pursuant to the Small Business 12. The RFA directs agencies to obligations on small entities. The Paperwork Relief Act of 2002, Public provide a description of, and where proposed web portal is a completely Law 107–198, see 44 U.S.C. 3506(c)(4), feasible, an estimate of the number of voluntary process that small entities we seek specific comment on how we small entities that may be affected by may use to submit information about might further reduce the information the proposed rules, if adopted. The RFA robocall or spoofing violations. Small collection burden for small business generally defines the term ‘‘small entities are advised to retain copies of concerns with fewer than 25 employees. entity’’ as having the same meaning as their submissions to the Commission as 20. Ex Parte Presentations—Permit- the terms ‘‘small business,’’ ‘‘small well any supporting documentation But-Disclose. This proceeding shall be organization,’’ and ‘‘small governmental should the Bureau wish to follow-up treated as a ‘‘permit-but-disclose’’ jurisdiction.’’ In addition, the term with the complainant for more proceeding in accordance with the ‘‘small business’’ has the same meaning information. Commission’s ex parte rules. Persons as the term ‘‘small business concern’’ 17. The RFA requires an agency to making ex parte presentations must file under the Small Business Act. A small describe any significant, specifically a copy of any written presentation or a business concern is one that: (1) Is small business, alternatives that it has memorandum summarizing any oral independently owned and operated; (2) considered in reaching its proposed presentation within two business days is not dominant in its field of approach, which may include the after the presentation (unless a different operations; and (3) satisfies any following four alternatives (among deadline applicable to the Sunshine additional criteria established by the others): ‘‘(1) the establishment of period applies). Persons making oral ex SBA. differing compliance or reporting parte presentations are reminded that 13. Small Business, Small requirements or timetables that take into memoranda summarizing the Organizations, and Small Governmental account the resources available to small presentation must (1) list all persons Jurisdictions. Our action may, over time, entities; (2) the clarification, attending or otherwise participating in affect small entities that are not easily consolidation, or simplification of the meeting at which the ex parte was categorized at present. We therefore compliance and reporting requirements made, and (2) summarize all data describe here, at the outset, three broad under the rule for such small entities; presented and arguments made during groups of small entities that could (3) the use of performance rather than the presentation. If the presentation potentially be directly affected herein. design standards; and (4) the exemption consisted in whole or in part of the First, while there are industry specific from coverage of the rule, or any part presentation of data or arguments size standards for small businesses that thereof, for such small entities.’’ already reflected in the presenter’s are used in the RFA, according to data 18. Congress directed the Commission written comments, memoranda, or other from the SBA’s Office of Advocacy, in to streamline the process for private filing in the proceeding, the presenter general a small business is an entities to submit information about may provide citations to such data or independent business having fewer than robocall violations. We determined that arguments in his or her prior comments, 500 employees. These types of small creating a web portal would best meet memoranda, or other filings (specifying businesses represent 99.9 percent of all the Congressional mandate while also the relevant page and/or paragraph businesses in the United States, which placing as few burdens as possible on numbers where such data or arguments translates to 30.7 million businesses. private entities. Furthermore, the use of can be found) in lieu of summarizing 14. Next, the type of small entity the portal is entirely voluntary and does them in the memorandum. Documents described as a ‘‘small organization’’ is not place any additional requirements shown or given to Commission staff generally ‘‘any not-for-profit enterprise on small entities. We also considered during ex parte meeting are deemed to which is independently owned and whether to make changes to the existing be written ex parte presentations and operated and is not dominant in its Consumer Complaint Center, but we must be filed consistent with section field.’’ The Internal Revenue Service determined that any such changes 1.1206(b) of the Commission’s rules. In (IRS) uses a revenue benchmark of would be disruptive and proceedings governed by section 1.49(f)

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of the Commission’s rules or for which ■ 5. Add § 64.1606 to read as follows: • Mail: Docket Management Facility, the Commission has made available a M–30, U.S. Department of method of electronic filing, written ex § 64.1606 Private entity submissions of Transportation, West Building, Ground spoofing violations. parte presentations and memoranda Floor, Rm. W12–140, 1200 New Jersey summarizing oral ex parte (a) Any private entity may submit to Avenue SE, Washington, DC 20590. presentations, and all attachments the Enforcement Bureau information • Hand Delivery or Courier: West thereto, must be filed through the related to a call or text message for Building, Ground Floor, Room W12– electronic comment filing system which misleading or inaccurate caller 140, 1200 New Jersey Avenue SE, available for that proceeding, and must identification information was caused to between 9 a.m. and 5 p.m. Eastern Time, be filed in their native format (e.g., .doc, be transmitted in violation of Monday through Friday, except Federal .xml, .ppt, searchable.pdf). Participants § 64.1604(a). holidays. To be sure someone is there to in this proceeding should familiarize (b) For the purposes of this section, help you, please call (202) 366–9332 themselves with the Commission’s ex the term ‘‘private entity’’ shall mean any before coming. parte rules. individual or entity other than a public • Fax: 202–493–2251. entity. Regardless of how you submit your List of Subjects in Parts 0 and 64 [FR Doc. 2020–28612 Filed 12–31–20; 8:45 am] comments, please mention the docket Authority delegations (Government BILLING CODE 6712–01–P number identified in the heading of this agencies), Telecommunications. document. Federal Communications Commission. Instructions: For detailed instructions on submitting comments and additional Marlene Dortch, DEPARTMENT OF TRANSPORTATION information on the rulemaking process, Secretary. National Highway Traffic Safety see the Public Participation heading of Proposed Rules Administration the SUPPLEMENTARY INFORMATION section For the reasons discussed in the of this document. Note that all preamble, the Federal Communications 49 CFR Part 571 comments received will be posted without change to http:// Commission proposes to amend 47 CFR [Docket No. NHTSA–2020–0093] parts 0 and 64 as follows: www.regulations.gov, including any RIN 2127–AL34 personal information provided. PART 0—COMMISSION Privacy Act: In accordance with 5 ORGANIZATION Federal Motor Vehicle Safety U.S.C. 553(c), DOT solicits comments Standards; Child Restraint Systems, from the public to better inform its ■ 1. The authority citation for part 0 Incorporation by Reference decision-making process. DOT posts continues to read as follows: these comments, without edit, including AGENCY: National Highway Traffic any personal information the Authority: 47 U.S.C. 151, 154(i), 154(j), Safety Administration (NHTSA), 155, 225, and 409, unless otherwise noted. commenter provides, to Department of Transportation (DOT). www.regulations.gov, as described in ■ 2. Amend § 0.111 by redesignating ACTION: Proposed rule; extension of the system of records notice (DOT/ALL– paragraph (j) as paragraph (k) and comment period. 14 FDMS), which can be reviewed at adding new paragraph (j) to read as www.transportation.gov/privacy. In follows: SUMMARY: NHTSA has received petitions order to facilitate comment tracking and asking the Agency to extend the § 0.111 Functions of the Bureau response, the Agency encourages comment period for a notice of * * * * * commenters to provide their name, or proposed rulemaking (NPRM) to update the name of their organization; however, (j) Collects and reviews information Federal Motor Vehicle Safety Standard received from private entities related to submission of names is completely (FMVSS) No. 213, ‘‘Child restraint optional. Whether or not commenters violations of § 64.1200(a) and systems.’’ The NPRM proposed to § 64.1604(a) of this title. identify themselves, all timely incorporate a new test sled assembly to comments will be fully considered. PART 64—MISCELLANEOUS RULES conduct compliance tests of child Docket: For access to the docket to RELATING TO COMMON CARRIERS restraints and update a number of the read background documents or test procedures of the standard. The comments received, go to ■ 3. The authority citation for part 64 comment period for the NPRM is www.regulations.gov, or the street continues to read as follows: scheduled to end on January 4, 2021. In address listed above. To be sure Authority: 47 U.S.C. 151, 152, 154, 201, response to petitions from the Juvenile someone is there to help you, please call 202, 217, 218, 220, 225, 226, 227, 227b, 228, Products Manufacturers Association and (202) 366–9332 before coming. Follow 251(e), 254(k), 262, 276, 403(b)(2)(B), (c), 616, the Children’s Hospital of Philadelphia, the online instructions for accessing the 620, 1401–1473, unless otherwise noted; Pub. the Agency is extending the comment dockets. L. 115–141, Div. P, sec. 503, 132 Stat. 348, period by 90 days. 1091. FOR FURTHER INFORMATION CONTACT: For DATES: The comment period for the technical issues, you may call Cristina ■ 4. Add § 64.1204 to read as follows: NPRM published on November 2, 2020, Echemendia, Office of Crashworthiness § 64.1204 Private entity submissions of at 85 FR 69388, is extended to April 5, Standards (telephone: 202–366–6345) robocall violations. 2021. (fax: 202–493–2990). For legal issues, (a) Any private entity may submit to ADDRESSES: You may submit comments you may call Deirdre Fujita, Office of the Enforcement Bureau information to the docket number identified in the Chief Counsel (telephone: 202–366– related to a call made in violation of heading of this document by any of the 5246) (fax: 202–366–3820). Address: § 64.1200(a). following methods: National Highway Traffic Safety (b) For the purposes of this section, • Federal eRulemaking Portal: Go to Administration, U.S. Department of the term ‘‘private entity’’ shall mean any http://www.regulations.gov. Follow the Transportation, 1200 New Jersey individual or entity other than a public online instructions for submitting Avenue SE, West Building, Washington, entity. comments. DC 20590.

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SUPPLEMENTARY INFORMATION: Section extensive, and evaluation of the changes complexity and importance of the 31501(b) of the Moving Ahead for requires the fabrication of standard seat rulemaking, and the basis for the Progress in the 21st Century Act (MAP– assemblies, which JPMA said would requests. The 3-dimensional drawings of 21) requires the Secretary (NHTSA, by take 8 to 16 weeks for delivery to the the standard seat assembly were made delegation) to commence and complete testing facilities. JPMA stated that public on November 16, 2020.2 Based a rulemaking to amend the standard seat ‘‘[w]ithout the ability to inspect, fully on an 8 to 12-week lead time for assembly in FMVSS No. 213 to better evaluate and conduct comparative fabrication and delivery of the proposed simulate a single representative motor testing using this new bench, seat assembly, NHTSA estimates entities vehicle rear seat. Pursuant to this particularly in regard to its repeatability could acquire the proposed seat mandate, on November 2, 2020, NHTSA and reproducibility characteristics, our assembly for evaluation between mid- published an NPRM proposing to CRS manufacturing members are January and early February 2021. A 90- amend FMVSS No. 213 by updating the seriously limited in their ability to day extension of the comment period standard seat assembly NHTSA uses to comment in the time period prescribed provides sufficient time following test child restraint systems (CRSs) for in the current NPRM.’’ procurement of the seat assembly for compliance with the standard’s On December 11, 2020, the Children’s interested persons to test CRSs, analyze dynamic performance requirements. Hospital of Philadelphia (CHOP) results, and prepare comments. This NPRM proposed other submitted a petition to extend the Therefore, NHTSA partially grants the amendments to modernize FMVSS No. comment period. CHOP did not specify requests for extending the comment 213, including ways to streamline the the additional time sought but argued period by extending it for 90 days. that remote teleworking and competing Agency’s use of test dummies to assess The Agency supports efforts to restraint performance. NHTSA provided work due to the public health emergency has created challenges to develop useful technical information on a 60-day comment period for the the proposal and believes 90 additional November 2, 2020 proposal, which gather all the individuals and relevant data to draft a response. days will achieve that result. Extending closes on January 4, 2021. the comment period 90 days balances Petitions Agency Decision the need to provide more time to entities to assess the proposal with the The Juvenile Products Manufacturers In accordance with NHTSA’s rulemaking procedures in 49 CFR part need to incorporate a representative Association (JPMA), representing vehicle seat in FMVSS No. 213 manufacturers of child restraint 553, subpart B, the Agency is granting the petitioners’ requests to extend the compliance tests expeditiously. systems, submitted a petition on Incorporating a representative vehicle December 14, 2020 requesting a 120-day comment period, but is extending it only for 90 days. NHTSA has seat in FMVSS No. 213 will provide a extension of the comment period for the determined that the petitioners have more meaningful assessment of the November 2, 2020 NPRM.1 JPMA shown good cause for an extension, and performance of CRSs in vehicles on the provided several reasons for extending that the extension is consistent with the road today. the comment period, including the need public interest (49 CFR 553.19). Entities for social distancing and restrictions on Please note that even after the seeking to build the proposed standard businesses due to the public health comment closing date has passed, seat assembly need time to procure emergency, the delay in public release interested persons are able to file materials and fabricate the assembly. of the drawing package for the standard comments in the docket, which NHTSA NHTSA typically procures test seat seat assembly referenced by the NPRM, will consider to the extent practicable. assemblies in 6 to 8 weeks, but and the plans of some manufacturers to 49 CFR 553.23. NHTSA may also understand that it may take longer to continue to file relevant information in evaluate the proposed standard seat obtain the seat assembly discussed in assembly by fabricating and evaluating the docket as it becomes available. the NPRM due to possible customer Accordingly, the Agency recommends the assembly for repeatability and demand, the time needed to procure the reproducibility of results with the child that readers periodically check the seat foam (8–12 weeks), and the docket for new material. restraint models they produce. JPMA business restrictions caused by the stated that the original 60-day comment public health emergency. However, Authority: 49 U.S.C. 322, 30111, 30115, period does not adequately reflect the JPMA has not provided any basis 30117, and 30166; delegation of authority at 49 CFR 1.95 and 49 CFR 501.8. time necessary for manufacturers to explaining why it would take 8 to 16 evaluate the potential implications of weeks, almost twice the normal time, to Issued in Washington, DC, under authority the NPRM thoroughly and to provide procure the assembly. Without a delegated in 49 CFR 1.95 and 501.8. constructive feedback to NHTSA. They reasoned explanation for the James C. Owens, argued that the proposed changes are exceptionally long period, we conclude Deputy Administrator. a 120-day extension is unwarranted and [FR Doc. 2020–29111 Filed 12–30–20; 11:15 am] 1 JPMA requested that ‘‘the comment period be unduly delays the rulemaking. extended to 180 days from the date of publication’’ BILLING CODE 4910–59–P of the NPRM. NHTSA understands this request to In considering the petitions, NHTSA include the 60 days provided by the NPRM, which weighed the statutory interest in 2 JPMA incorrectly stated the publishing date was means JPMA is requesting a 120-day extension. completing this rulemaking, the November 9, 2020.

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Notices Federal Register Vol. 86, No. 1

Monday, January 4, 2021

This section of the FEDERAL REGISTER ADDRESSES: You may submit topics by boards (or other equivalent State contains documents other than rules or the following method: Website: https:// entities) to submit topics they are proposed rules that are applicable to the nifa.usda.gov/resource/commodity- proposing for inclusion in fiscal year public. Notices of hearings and investigations, board-submission-form. Instructions: 2021 AFRI RFAs. Topics must relate to committee meetings, agency decisions and The topic submission must be emailed the established AFRI priority areas, rulings, delegations of authority, filing of petitions and applications and agency to [email protected] using which are: Plant health and production statements of organization and functions are the website form. Required fields are and plant products; animal health and examples of documents appearing in this marked. Topics submitted through this production and animal products; food section. form will not be posted to a public site. safety, nutrition, and health; bioenergy, Submitted topics will receive an email natural resources, and environment; with acknowledgment of receipt. agriculture systems and technology; and DEPARTMENT OF AGRICULTURE FOR FURTHER INFORMATION CONTACT: agriculture economics and rural Mark Mirando; Phone: (202) 445–5575, communities. A summary statement on Solicitation of Commodity Board or Email: [email protected]. AFRI is included below. To learn more Topics and Contribution of Funding SUPPLEMENTARY INFORMATION: If, after about AFRI programs, including Under the Agriculture and Food NIFA’s evaluation, proposed topics are program priorities, typical award budget Research Initiative Competitive Grants accepted for inclusion, they will be amounts, and examples of RFAs, please Program incorporated into AFRI competitive visit: https://nifa.usda.gov/commodity- boards/. AGENCY: National Institute of Food and grants program RFAs. As a condition of Agriculture (NIFA), USDA. funding grants pertaining to a topic, AFRI Program Overview NIFA will require an agreement with the ACTION: Notice of opportunity for commodity board to provide funds The AFRI program is the largest commodity boards to submit topics and equal to the amount NIFA is agricultural competitive grants program contribute funding under the contributing under the agreed upon in the United States and a primary Agriculture and Food Research topic. funding source for research, education, Initiative Competitive Grants Program. This Notice invites topic submissions and extension projects that bring from commodity boards as defined practical solutions to some of today’s SUMMARY: NIFA is soliciting topics above, outlines the process NIFA will most critical societal challenges. AFRI commodity board entities (Federal and use to evaluate the appropriateness of programs impact all components of State-level commodity boards, as these topics for inclusion in AFRI RFAs, agriculture, including farm and ranch defined below) are willing to co-fund and describes the commitment required efficiency and profitability, bioenergy, equally with NIFA. To be considered for of commodity boards for NIFA to jointly forestry, aquaculture, rural inclusion in future Agriculture and fund competitively selected AFRI communities, human nutrition, food Food Research Initiative (AFRI) awards within a topic area submitted by safety, biotechnology, and genetic competitive grants program Requests for the commodity boards. improvement of plants and animals. Applications (RFAs), topics must relate In FY 2021, NIFA plans to solicit to the established priority areas of AFRI. Background and Purpose applications for AFRI funding Commodity boards are those entities This Notice begins the sixth topic opportunities in the six AFRI priority established under a commodity submission cycle to implement section areas (Plant health and production and promotion law, as such term is defined 2(b)(4)(F) of the Competitive, Special, plant products; Animal health and under the Federal Agriculture and Facilities Research Grant Act (7 production and animal products; Food Improvement and Reform Act of 1996, U.S.C. 3157(b)(4)(F)), as added by safety, nutrition, and health; Bioenergy, or a State commodity board or other section 7404 of the Agricultural Act of natural resources, and environment; equivalent State entity. See the 2014, Public Law 113–79, which Agriculture systems and technology; SUPPLEMENTARY INFORMATION section of requires NIFA to ‘‘establish procedures, Agriculture economics and rural this Notice under the heading including timelines, under which an communities). It is anticipated these ‘‘Eligibility for Submitting Topics’’ for entity established under a commodity will include the AFRI Foundational and further information. promotion law (as such term is defined Applied Science Program RFA and the DATES: Commodity boards may submit under section 501(a) of the Federal AFRI Education and Workforce topics at any time; however, all topics Agriculture Improvement and Reform Development RFA. The annual AFRI received by 5:00 p.m. EDT on March 5, Act of 1996 (7 U.S.C. 7401(a))) or a State Foundational and Applied Science 2021 will be considered for the fiscal commodity board (or other equivalent Program RFA solicits grant applications year 2021 AFRI RFAs. Topics submitted State entity) may directly submit to focused predominately, but not by eligible commodity board entities [NIFA] for consideration proposals for exclusively, on fundamental scientific after this date are not guaranteed review requests for applications’’ within the research addressing statutory priorities. for fiscal year 2021 but will be AFRI Program. The AFRI Education and Workforce considered for RFAs to be issued in Stakeholder feedback gathered in Development RFA solicits grant future years. Frequently asked questions previous years informed this Notice and applications for training K–14 about commodity board topics are the process NIFA is using to implement educational professionals, workforce available on the NIFA website (https:// section 7404. This Notice invites training, undergraduate research and nifa.usda.gov/commodity-boards- entities established under a commodity extension experiential learning frequently-asked-questions). promotion law or State commodity fellowships, and pre- and post-doctoral

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fellowships. Any additional AFRI RFAs Commodity boards should only submit From those topics received by 5:00 made available in FY 2021 may be topics that have a strong economic p.m. EDT on March 5, 2021, NIFA will included in this solicitation. impact on their industry and U.S. select the topic(s) that were evaluated agriculture, as a whole. Examples of favorably for inclusion in the Eligibility for Submitting Topics topics typically supported by AFRI can appropriate FY 2021 AFRI RFA. NIFA Eligible commodity board entities are be found at https://nifa.usda.gov/ will notify commodity boards as to those established under a commodity commodity-boards/. whether their topics will be included by promotion law, as such term is defined If topics are accepted for funding, April 5, 2021. Based on the evaluation, under 7 U.S.C. 7401(a), or a State they will be incorporated into AFRI NIFA reserves the right to negotiate with commodity board (or other equivalent RFAs, and grants supporting the topic commodity boards should changes be State entity). Language in 7 U.S.C. area may be awarded to AFRI eligible required to accept topics and funding 7401(a) defines a ‘‘commodity entities based on a competitive peer amounts. Any changes to topics and promotion law’’ as ‘‘a Federal law that review process. As a condition of funding amounts will be reviewed by provides for the establishment and funding grants in a topic, NIFA will USDA’s AMS to determine if such operation of a promotion program require an agreement by the commodity changes are consistent with applicable regarding an agricultural commodity board to provide funds in an amount commodity promotion laws. that includes a combination of equal to the amount NIFA is NIFA will evaluate topics submitted promotion, research, industry contributing under the agreed upon after the March 5, 2021 deadline on an information, or consumer information topic. If a topic is selected for inclusion annual basis and notify commodity activities, is funded by mandatory in an RFA, the commodity board boards whether their topics will be assessments on producers or processors, submitting the topic will be required to included in subsequent RFAs within and is designed to maintain or expand maintain the confidentiality of the topic two weeks following the meeting of the markets and uses for the commodity (as until the RFA is issued by NIFA. All internal evaluation panel, the date of determined by the Secretary).’’ 7 U.S.C. commodity board funds and NIFA funds which will be published on NIFA’s 7401(a) includes a list of such Federal must be available at the time projects Commodity Boards web page at (https:// laws. nifa.usda.gov/commodity-boards/). A current list of approved entities is are selected for funding; awards are maintained at https://nifa.usda.gov/ fully funded at the beginning of the Done at Washington, DC, this 21st day of commodity-boards/. Additionally, award. Applications submitted under December 2020. entities eligible to submit topics include topics provided by commodity boards Parag R. Chitnis, State commodity boards (or other will be required to include a letter of Acting Director, National Institute of Food equivalent State entities). This includes support for co-funding from the and Agriculture, Department of Agriculture. commodity boards authorized by State commodity board that proposed the [FR Doc. 2020–28698 Filed 12–31–20; 8:45 am] topic. law; commodity boards that are not BILLING CODE 3410–22–P authorized by State law, but are Evaluation and Notification Process organized and operate within a State and meet the requirements of their NIFA will screen proposed research DEPARTMENT OF AGRICULTURE authorizing statute; and commodity topics to ensure eligibility of the Animal and Plant Health Inspection boards that are authorized by a State submitting commodity boards. NIFA Service and operate within the State for will also consult with USDA’s commodities that have no Federal Agricultural Marketing Service (AMS) to [Docket No. APHIS–2020–0109] program or oversight. determine that submissions and proposed financial contributions are Notice of Request for Approval of an Topic Submission Guidance and consistent with commodity promotion Information Collection; SARS–CoV–2 Procedures laws and commodity boards’ charters, as Testing in Animals Reporting Activities Topics may be submitted at any time applicable. and will be evaluated by NIFA on an Commodity board topics are reviewed ACTION: New information collection; annual basis. However, to guarantee by an internal panel based on evaluation comment request. criteria developed using stakeholder consideration for the proposed fiscal SUMMARY: In accordance with the input from commodity boards and other year 2021 AFRI RFAs, topics must be Paperwork Reduction Act of 1995, this stakeholders from government, industry, received by 5:00 p.m. EDT on March 5, notice announces the Animal and Plant and academe. Each topic will be 2021. Health Inspection Service’s intention to Each topic proposed must be evaluated based on alignment with one request approval of a new information submitted using the topic submission or more of the statutory AFRI priority collection associated with the testing form provided at: https://nifa.usda.gov/ areas (six AFRI priority areas authorized and reporting of SARS–CoV–2 in resource/commodity-board-submission- in the Farm Bill and described in 7 CFR animals. form. Commodity boards may propose 3430.309); alignment with the support for multiple awards for each President’s budget proposal for NIFA, as DATES: We will consider all comments topic proposed. For each topic the identified in the Department of that we receive on or before March 5, commodity board proposes to support, Agriculture’s annual budget submission; 2021. the minimum amount contributed by and alignment with the priority areas in ADDRESSES: You may submit comments the commodity board must align with the AFRI RFAs to be released by NIFA by either of the following methods: budget guidance for each AFRI area during the fiscal year for which the • Federal eRulemaking Portal: Go to https://nifa.usda.gov/commodity- commodity board is proposing a topic http://www.regulations.gov/ boards/ and comply with the maximum for funding (for example, within the #!docketDetail;D=APHIS-2020-0109. amount of $5 million allowed per topic. AFRI Foundational and Applied • Postal Mail/Commercial Delivery: NIFA does not intend to match funding Science RFA, the AFRI Animal Health Send your comment to Docket No. from a single commodity board in and Production and Animal Products’ APHIS–2020–0109, Regulatory Analysis excess of $10 million in any year. ‘‘Animal Reproduction’’ priority area). and Development, PPD, APHIS, Station

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3A–03.8, 4700 River Road, Unit 118, Report on Methods of Treatment of is estimated to average 1.72 hours per Riverdale, MD 20737–1238. Animals, and Means for Suppression of response. Supporting documents and any Diseases,’’ amended February 7, 1928. Respondents: State animal scientists, comments we receive on this docket Collection, analysis, and U.S. laboratory personnel, and may be viewed at http:// dissemination of animal and poultry veterinarians. www.regulations.gov/ health information is consistent with Estimated annual number of #!docketDetail;D=APHIS-2020-0109 or the APHIS mission of protecting and respondents: 77. in our reading room, which is located in improving American agriculture’s Estimated annual number of Room 1620 of the USDA South productivity and competitiveness. responses per respondent: 12. Building, 14th Street and Independence APHIS uses the National Animal Health Estimated annual number of Avenue SW, Washington, DC. Normal Reporting System (NAHRS) for responses: 949. reading room hours are 8 a.m. to 4:30 reporting and tracking the emergence, Estimated total annual burden on p.m., Monday through Friday, except prevalence, epidemiology, and respondents: 1,626 hours. (Due to holidays. To be sure someone is there to economic importance of diseases in averaging, the total annual burden hours help you, please call (202) 799–7039 livestock, poultry, and other animals. may not equal the product of the annual before coming. The system facilitates standardization of number of responses multiplied by the reporting burden per response.) FOR FURTHER INFORMATION CONTACT: For disease information throughout the United States, provides a central point All responses to this notice will be information on testing and reporting of summarized and included in the request SARS–CoV–2 in animals, contact Dr. for the collection of national data, and assists APHIS in meeting its animal for OMB approval. All comments will Laura Miles, Veterinarian also become a matter of public record. Epidemiologist, Surveillance, Design, disease reporting obligations to the and Analysis Section, Center for World Organization for Animal Health Done in Washington, DC. Epidemiology and Animal Health, (OIE). Michael Watson, Veterinary Services, 2150 Centre Ave., To better meet its reporting Acting Administrator, Animal and Plant Bldg. B, Fort Collins, CO 80526; (970) requirements about emerging diseases to Health Inspection Service. 494–7246; [email protected]. the OIE, APHIS is interested in [FR Doc. 2020–29014 Filed 12–31–20; 8:45 am] For additional information about the collecting information as to the BILLING CODE 3410–34–P information collection process, contact detection of severe acute respiratory Mr. Joseph Moxey, APHIS’ Information syndrome coronavirus 2 (SARS–CoV–2) Collection Coordinator, at (301) 851– in animals. To accomplish this, APHIS DEPARTMENT OF AGRICULTURE 2483. will distribute a request for information to U.S. laboratories engaged in the Food and Nutrition Service SUPPLEMENTARY INFORMATION: testing of animals for SARS–CoV–2, Title: SARS–CoV–2 Testing in develop a questionnaire in NAHRS, and Agency Information Collection Animals Reporting Activities. request that State animal health officials Activities: Proposed Collection; OMB Control Number: 0579–XXXX. and U.S. laboratories provide SARS– Comment Request—FNS 245—SNAP Type of Request: Approval of a new CoV–2 animal testing data on a monthly Quality Control Regulations information collection. Abstract: The Animal Health basis. AGENCY: Food and Nutrition Service We are asking the Office of Protection Act (AHPA) of 2002 is the (FNS), USDA. Management and Budget (OMB) to primary Federal law governing the ACTION: Notice. approve our use of these information protection of animal health. The AHPA collection activities, as described, for 3 SUMMARY: gives the Secretary of Agriculture broad In accordance with the years. Paperwork Reduction Act of 1995, this authority to detect, control, or eradicate The purpose of this notice is to solicit pests or diseases of agricultural animals notice invites the general public and comments from the public (as well as other public agencies to comment on and animal products. The Secretary may affected agencies) concerning our also prohibit or restrict import or export this proposed information collection. information collection. These comments This is a revision of a currently of any animal or related material if will help us: necessary, to prevent the spread of any approved information collection (1) Evaluate whether the collection of request. disease. The U.S. Department of information is necessary for the proper DATES: Agriculture has a duty under section performance of the functions of the Written comments must be 8219 of the Public Health Security and Agency, including whether the received on or before March 4, 2021. Bioterrorism Preparedness and information will have practical utility; ADDRESSES: Comments may be sent to Response Act of 2002 to collaborate and (2) Evaluate the accuracy of our Stephanie Proska, Food and Nutrition coordinate with the Department of estimate of the burden of the collection Service, U.S. Department of Agriculture, Health and Human Services partners in of information, including the validity of 1320 Braddock Place, Room 05.5040, the surveillance of zoonoses disease. the methodology and assumptions used; Alexandria, VA 22314. Comments may Collection and dissemination of animal (3) Enhance the quality, utility, and also be submitted via email to SNAPHQ- and poultry health data and information clarity of the information to be [email protected]. Comments will also is mandated by 7 U.S.C. 391, the Animal collected; and be accepted through the Federal Industry Act of 1884, which established (4) Minimize the burden of the eRulemaking Portal. Go to http:// the Bureau of Animal Industry, which collection of information on those who www.regulations.gov, and follow the was the precursor of the Animal and are to respond, through use, as online instructions for submitting Plant Health Inspection Service’s appropriate, of automated, electronic, comments electronically. All responses (APHIS’) Veterinary Services. Legal mechanical, and other collection to this notice will be summarized and requirements for examining and technologies; e.g., permitting electronic included in the request for Office of reporting on animal disease control submission of responses. Management and Budget approval. All methods were further mandated by 21 Estimate of burden: The public comments will be a matter of public U.S.C. 119, ‘‘Agents to Examine and burden for this collection of information record.

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FOR FURTHER INFORMATION CONTACT: utility, and clarity of the information to collect quality control (QC) data and Requests for additional information or be collected; and (d) ways to minimize serve as the data entry form for negative copies of this information collection the burden of the collection of case action QC reviews in the should be directed to Stephanie Proska information on those who are to Supplemental Nutrition Assistance at 703–305–2437. respond, including use of appropriate Program (SNAP). State agencies SUPPLEMENTARY INFORMATION: Comments automated, electronic, mechanical, or complete the FNS–245 for each negative are invited on: (a) Whether the proposed other technological collection case in their QC sample. The reporting collection of information is necessary techniques or other forms of information and recordkeeping burden associated for the proper performance of the technology. with the completion of the FNS–245 has functions of the agency, including Title: Supplemental Nutrition decreased from approximately whether the information shall have Assistance Program (SNAP). 115,514.87 hours to 102,001 hours. The practical utility; (b) the accuracy of the OMB Number: 0584–0034. 13,513.87 hour decrease in the total agency’s estimate of the burden of the Expiration Date: April 30, 2021. burden is largely a result of the decrease proposed collection of information, Type of Request: Revision of a in total SNAP negative case selections including the validity of the currently approved collection. methodology and assumptions that were Abstract: The FNS–245, Negative Case from 38,970 cases in FY 2015 to 34,322 used; (c) ways to enhance the quality, Action Review Schedule, is designed to cases in FY 2018.

Estimated Estimated Number of Reg. section Affected public Description of number of responses per Total annual burden hours Estimated total activity respondents respondent responses per response burden hours

Reporting Burden Reporting Burden for State Agencies FNS 245, OMB 0584–0034

275.13 (b) ...... State Agencies ... Household Case 53 647.5849 34,322.00 1.75 60,063.50 Record Review. 275.12 (b) ...... State Agencies ... Variance identi- 53 647.5849 34,322.00 0.6906 23,702.77 fication. 275.13 (c) ...... State Agencies ... Error analysis ..... 53 647.5849 34,322.00 0.5 17,161.00

Grand Totals Reporting Burden ...... 53.00 ...... 102,966.00 2.9406 100,927.27

Record Keeping Burden Recordkeeping Burden for State Agencies FNS 245, OMB 0584–0034

275.4 ...... State Agencies ... Record Retention 53 647.5849 34,322 0.0236 1,073.73

Overall Grand Total Reporting and Recordkeeping ..... 53.00 ...... 137,288.00 2.96 102,001.00

Affected Public: State, Local and DEPARTMENT OF AGRICULTURE www.regulations.gov, and follow the Tribal Government. online instructions for submitting Estimated Number of Respondents: 53 Food and Nutrition Service comments electronically. All responses State Agencies. to this notice will be summarized and Agency Information Collection Estimated Number of Responses per included in the request for Office of Activities: Supplemental Nutrition Respondent: 647.59. Management and Budget approval. All Assistance Program (SNAP) Estimated Total Annual Responses: comments will be a matter of public Requirement for National Directory of record. 102,966. New Hires Employment Verification Estimated Time per Response: 2.9406 FOR FURTHER INFORMATION CONTACT: hours. AGENCY: Food and Nutrition Service Requests for additional information or Estimated Total Burden Hours: (FNS), USDA. copies of this information collection 100,927.27. ACTION: Notice. should be directed to Evan Sieradzki at Number of Record Keepers: 53. 703–605–3212. SUMMARY: Number of Records per Record In accordance with the SUPPLEMENTARY INFORMATION: This Keeper: 647.59 Records. Paperwork Reduction Act of 1995, this collection is a revision of an expired Estimated Number of Records/ notice invites the general public and collection at 84 FR 11928. In 2016, an Response to Keep: 34,322 Records. other public agencies to comment on Interim Final Rule titled ‘‘Supplemental this proposed information collection. Recordkeeping Time per Response: Nutrition Assistance Program: .0236 hours. DATES: Written comments must be Requirement for National Directory of Total Estimated Recordkeeping received on or before March 5, 2021. New Hires Employment Verification Burden Hours: 1,073.73 hours. ADDRESSES: Comments may be sent to: and Annual Program Activity Estimated Total Annual Reporting Maribelle Balbes, Food and Nutrition Reporting,’’ was published in the and Recordkeeping Burden on Service, U.S. Department of Agriculture, Federal Register. This rule codified Respondents: 137,288 hours. 1320 Braddock Place, Alexandria, section 4013 of the Agricultural Act of Virginia 22314. Comments may also be 2014, requiring State agencies to access Pamilyn Miller, submitted via email to SNAPSAB@ employment data through the National Administrator, Food and Nutrition Service. FNS.USDA.GOV. Comments will also be Directory of New Hires (NDNH) at the [FR Doc. 2020–29005 Filed 12–31–20; 8:45 am] accepted through the Federal time of certification, including BILLING CODE 3410–30–P eRulemaking Portal. Go to http:// recertification, to determine eligibility

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status and correct benefit amount for Title: SNAP Requirement for National Notice: The Notice of Adverse Action SNAP applicants. The rule also Directory of New Hires Employment or Notice of Denial is issued by State amended regulations to increase the Verification. agencies to participating households frequency of the requirement for State Form Number: N/A. whose benefits will be reduced or agency submission of the Program OMB Number: 0584–0608. terminated as the result of a change in Activity Statement from an annual Expiration Date: 5/31/2019. household circumstances. Should the requirement based on the State fiscal Type of Request: Revision of a State agency independently verify year to a quarterly requirement. The currently approved collection. unreported or underreported income burden hours for the increase in Abstract: Supplemental Nutrition discovered through NDNH, and that submission frequency for the Program Assistance Program (SNAP) regulations income results in a reduction of benefits Activity Statement, form FNS–366B, at 7 CFR 272.16 require that each State or change in eligibility, the State agency have been merged into the Food agency must establish a system to must take action by issuing the Programs Reporting System (FPRS) compare identifiable information about household a Notice of Adverse Action information collection, OMB #0584– each adult household member against or Notice of Denial and adjusting 0594 (expiration 7/31/2023). Therefore, data from the U.S. Department of Health benefits accordingly. this notice seeks to renew the burden and Human Services’ (HHS) National Burden Estimates: The previous hours associated with the National Directory of New Hires (NDNH). This burden for this collection was 252,432 Directory of New Hires portion of this comparison will be used to determine reporting hours (209,899 reporting information collection only and the eligibility status of the household burden hours for State agencies + 41,583 removes burden hours and references and determine the correct benefit reporting burden hours for households). for the Program Activity Statement, amount the household should receive. The requested burden is 521,719.02 form FNS–366B. Applicant and Recipient Screening: (482,290.88 reporting burden hours for The State agency must compare State agencies + 39,428.14 reporting Comments are invited on: (a) Whether identifiable information about each burden hours for households), which the proposed collection of information adult household member against represents an increase of 269,287.02 is necessary for the proper performance information from the NDNH. States hours due to program adjustments. of the functions of the agency, including must make the comparison of matched There are no recordkeeping whether the information shall have data at the time of application and requirements associated with this practical utility; (b) the accuracy of the recertification and must independently collection. agency’s estimate of the burden of the verify any positive match results. Affected Public: State and local proposed collection of information, Verification of Match: The State agency agencies, households. including the validity of the must independently verify the Estimated Number of Respondents: methodology and assumptions that were information prior to taking any adverse 1,180,536.20. used; (c) ways to enhance the quality, action against an individual. Should the Estimated Number of Responses per utility, and clarity of the information to State agency receive employment Respondent: 8.8567. be collected; and (d) ways to minimize information via the NDNH that was Estimated Total Annual Responses: the burden of the collection of previously unreported by the 10,455,713.40. information on those who are to household, the State agency may issue Estimated Time per Response: respond, including use of appropriate a Request for Contact to the household 0.04989. automated, electronic, mechanical, or to verify the information or contact the Estimated Total Annual Burden on other technological collection employer directly, depending upon Respondents: 521,719.02 hours. See the techniques or other forms of information applicable reporting requirements as table below for estimated total annual technology. defined at 7 CFR 273.12. burden for each type of respondent.

Estimated Estimated Estimated total Estimated Estimated Regulation Burden activity number of responses per annual hours per total annual respondents respondent responses response hours

State Agency Reporting Burden

272.2 ...... Program Activity Statement ...... 0 0 0 0 0 272.15 ...... NDNH—Applicant/Recipient Screening ...... 53 147,162.75 7,799,626.00 0.0501 390,761.26 272.15 ...... NDNH—Verification of Match ...... 53 19,886.85 1,054,003.00 0.0668 70,407.40 272.15 ...... NDND—Notice of Adverse Action or Notice of De- 53 7,954.74 421,601.20 0.0501 21,122.22 nial.

State Agency Total ...... 53 175,004.34 9,275,230.20 0.051997726 482,290.88

Household Reporting Burden

272.15 ...... NDNH—Response to Request for Contact ...... 758,882.00 1.00 758,882.00 0.0334 25,346.66 272.15 ...... NDNH—Response to Notice of Adverse Action or 421,601.20 1.00 421,601.20 0.0334 14,081.48 Notice of Denial.

Household Reporting Total ...... 1,180,483.20 1 1,180,483.20 0.0334 39,428.14

Grand Totals ...... 1,180,536.20 8.856749501 10,455,713.40 0.049897984 521,719.02

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Pamilyn Miller, at 1320 Braddock Place, Alexandria, Act, prescribes mandatory periods of Administrator, Food and Nutrition Service. Virginia 22314. ineligibility for persons found to have [FR Doc. 2020–29007 Filed 12–31–20; 8:45 am] FOR FURTHER INFORMATION CONTACT: If committed an IPV such as fraud, BILLING CODE 3410–30–P you have questions about the matching misrepresentation, or other violation of program, you may contact Maribelle statute or regulation in connection with Balbes, (703) 605–4272. SNAP. Section 6(b)(4) prescribes DEPARTMENT OF AGRICULTURE SUPPLEMENTARY INFORMATION: The regulations to ensure that appropriate State and Federal entities forward Food and Nutrition Service Privacy Act of 1974, as amended, 5 U.S.C. 552a, provides certain information concerning determinations arising out of such proscribed activity Privacy Act of 1974; Computer protections for individuals applying for by a specific individual. Matching Program and receiving federal benefits. The law governs the use of computer matching Purpose: The eDRS matching program AGENCY: Food and Nutrition Service by federal agencies when records in a maintains program integrity and reduces (FNS), USDA. system of records, which contains payment errors by providing ACTION: Notice of reestablished information about individuals that are information to assist State agencies with matching program. retrieved by name or other personal establishing or verifying the eligibility identifier, are matched with records of of individuals for SNAP benefits and SUMMARY: In accordance with the other Federal, State, or local government determining the appropriate Privacy Act of 1974, the U.S. disqualification period to be imposed Department of Agriculture (USDA) Food records. The Privacy Act requires agencies involved in a matching for a new IPV as required in regulations and Nutrition Service (FNS) is at 7 CFR 273.16, Disqualification for providing notice of a reestablished program to: 1. Obtain approval of a Computer intentional Program violation. Each computer matching program between State agency must submit information FNS and the State agencies that Matching Agreement, prepared in accordance with the Privacy Act, by the about individuals who have been administer the Supplemental Nutrition disqualified from SNAP within their Assistance Program (SNAP). The Data Integrity Board of any Federal agency participating in a matching State to eDRS. As a participant in this matching program allows State agencies matching program, each State agency access to the Electronic Disqualified program. 2. Enter into a written Computer has access to this national system to Recipient System (eDRS), a national both submit the required information for database operated by FNS. The system Matching Agreement. 3. Provide a report of the matching their State and perform the required maintains records of SNAP program to Congress and the Office of matches against information provided disqualifications imposed by State Management and Budget (OMB), and by all State agencies. agencies on individuals who have been make it available to the public, as Categories of Individuals: SNAP found to have committed an intentional required by 5 U.S.C. 552a(o), (u)(3)(A), applicants and new household members program violation (IPV). State agencies and (u)(4). are matched against eDRS as part of the need access to nationwide 4. Publish a notice of the matching eligibility determination process to disqualification information to meet program in the Federal Register as ensure the individual is not currently program integrity requirements because required by 5 U.S.C. 552a(e)(12) after disqualified from receiving benefits due a disqualification in any State applies to OMB and Congress complete their to an IPV. Individuals who are being SNAP nationally. Matches against eDRS review of the report, as provided by disqualified by a State agency due to a enhance program integrity by providing OMB Circular A–108, Federal Agency new IPV finding are matched against State agencies assistance in determining Responsibilities for Review, Reporting, eDRS to assist the State agency in eligibility for SNAP benefits and the and Publication under the Privacy Act. determining the appropriate duration of proper disqualification length when 5. Notify the individuals whose the new disqualification. imposing a new disqualification. information will be used in the Categories of Records: The data DATES: The deadline for comments on matching program that the information elements in eDRS provide information this notice is February 3, 2021. The they provide is subject to verification about individuals who have been effective date of the reestablished through matching, as required by 5 disqualified, the disqualification details, matching program will be not sooner U.S.C. 552a(o)(1)(D). and the agency that imposed the than 30 days from the publication of 6. Verify match findings before disqualification. State agencies submit this notice, provided no comments are suspending, terminating, reducing, or this information about disqualifications received that result in a contrary making a final denial of an individual’s imposed in their State and this determination. The matching program benefits or payments or taking other information is then available to all will be conducted for an initial term of adverse action against the individual, as participating State agencies with access 18 months and, within three months of required by 5 U.S.C. 552a(p). to eDRS. State agencies use personally expiration, may be renewed for one This matching program meets these identifying information to search eDRS additional year if the parties make no requirements. for the individual being matched. change to the matching program and Participating Agencies: FNS and the 1. Information about the disqualified certify that the program has been State agencies that administer SNAP to individual: conducted in compliance with the include all 50 States, the District of • Name agreement. Columbia, and the territories of Guam • Social security number or ADDRESSES: Interested parties may and the U.S. Virgin Islands. alternative ID submit written comments on this notice Authority for Conducting the • Date of birth to Maribelle Balbes, Chief, State Matching Program: The Food and • Gender Administration Branch, Program Nutrition Act of 2008 (the Act), as • Alias Accountability and Administration amended, 7 U.S.C. 2015(b), provides the 2. Disqualification details: Division, SNAP, by email at legal authority for conducting the • Disqualification number [email protected], or by mail matching program. Section 6(b) of the • Disqualification decision date

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• Disqualification start date 27986, on page 83039, in the second 27986, on page 83041, in the second • Duration of disqualification period column, under B. Federal Award column, correct the sixth full paragraph • Offense code Information, correct Available Total to read: If you want to submit a paper 3. Agency information: Funding to read: $33 million. or electronic mail application, send it to • Locality code (3) In the Federal Register of the State Office located in the state • Locality contact name, title, December 21, 2020, in FR Doc. 2020– where your project will primarily take location, and phone number 27986, on page 83038, in the first place. You can find State Office contact System of Records: The system of column, correct the DATES caption to information at https://www.rd.usda.gov/ records for this data exchange read: Applications must be submitted to page/state-offices. An optional-use comprising eDRS is USDA/FNS–5, the USDA Rural Development State Agency application template is available Information on Persons Disqualified Office for the state where the project is online at http://www.rd.usda.gov/ from the Supplemental Nutrition located. Applications may be submitted programs-services/value-added- Assistance Program, 75 FR 81205 (Dec. in paper through hand delivery or producer-grants. 27, 2010). This data exchange is electronic mail format to the appropriate (7) In the Federal Register of authorized under routine uses. Rural Development State Office and December 21, 2020, in FR Doc. 2020– must be received by 4:30 p.m. local time 27986, on page 83042, in the first Pamilyn Miller, on March 22, 2021. Mailed applications column, under 4. Submission Dates and Administrator, Food and Nutrition Service. must be postmarked, shipped or sent by Times, under Explanation of Deadlines:, [FR Doc. 2020–29004 Filed 12–31–20; 8:45 am] March 22, 2021. Electronic applications correct the first paragraph to read: Paper BILLING CODE 3410–30–P via http://www.grants.gov must be applications must be postmarked and received before Midnight Eastern time mailed, shipped, or sent overnight by on March 16, 2021. Follow the March 22, 2021. The Agency will DEPARTMENT OF AGRICULTURE instructions for the VAPG funding determine whether your application is announcement on http:// Rural Business-Cooperative Service late based on the date shown on the www.grants.gov. Please review the postmark or shipping invoice. You may [Docket No. RBS–20–BUSINESS–0045] Grants.gov website at https:// also hand deliver or electronic mail www.grants.gov/web/grants/applicants/ your application to one of our field Inviting Applications for Value-Added registration.html for instructions on the offices, but it must be received by close Producer Grants and Solicitation of process of registering your organization of business on the deadline date. If the Grant Reviewers; Correction as soon as possible to ensure you are due date falls on a Saturday, Sunday, or able to meet the electronic application AGENCY: Federal holiday, the application is due Rural Business-Cooperative deadline. Late applications are not Service, USDA. the next business day. Late applications eligible for grant funding under this will automatically be considered ACTION: Notice; correction. Notice. Applicants are encouraged to ineligible and will not be evaluated contact their respective Rural SUMMARY: The Rural Business- further. Development State Office for an email Cooperative Service (Agency), USDA contact to submit an electronic Mark Brodziski, published a notice in the Federal application prior to the submission Deputy Administrator, Rural Business- Register of December 21, 2020 regarding deadline date(s). A list of the USDA Cooperative Service. acceptance of applications for the Rural Development State Office contacts [FR Doc. 2020–29010 Filed 12–31–20; 8:45 am] Value-Added Producer Grant (VAPG) can be found at: https:// BILLING CODE P Program. This document inadvertently www.rd.usda.gov/page/state-offices. listed two incorrect amounts of (4) In the Federal Register of available funds and omitted the option December 21, 2020, in FR Doc. 2020– DEPARTMENT OF COMMERCE for the applicants to submit applications 27986, on page 83038, in the third via electronic mail. This notice corrects column, under Overview, correct Dates Foreign-Trade Zones Board these errors. to read: Application Deadline. You must [S–202–2020] FOR FURTHER INFORMATION CONTACT: Greg submit your complete paper or York at (202) 281–5289, gregory.york@ electronic mail application by March 22, Approval of Expansion of Subzone usda.gov or Mike Daniels at (715) 345– 2021, or it will not be considered for 18F, Lam Research Corporation, 7637, [email protected], Program funding. Electronic applications must be Fremont, California Management Division, Rural Business- received by http://www.grants.gov no Cooperative Service, United States later than midnight Eastern time on On November 12, 2020, the Executive Department of Agriculture, 1400 March 16, 2021, or it will not be Secretary of the Foreign-Trade Zones Independence Ave. SW, Mails STOP considered for funding. (FTZ) Board docketed an application 3226, Room 5801–S, Washington, DC (5) In the Federal Register of submitted by the City of San Jose, 20250–3226, Telephone (202) 720–1400, December 21, 2020, in FR Doc. 2020– grantee of FTZ 18, requesting an or email [email protected]. 27986, on page 83041, in the first expansion of Subzone 18F, subject to SUPPLEMENTARY INFORMATION: column, under D. Application and the existing activation limit of FTZ 18, Submission Information, under 2. on behalf of Lam Research Corporation, Correction Content and Form of Application in Fremont, California. (1) In the Federal Register of Submission, correct the first paragraph The application was processed in December 21, 2020, in FR Doc. 2020– to read: You may submit your accordance with the FTZ Act and 27986, on page 83038, in the first application in paper, in electronic mail Regulations, including notice in the column, under the SUMMARY, correct the form, or electronically through Federal Register inviting public second sentence to read: Approximately Grants.gov. Your application must comment (85 FR 73458–73459, $33 million is currently available. contain all required information. November 18, 2020). The FTZ staff (2) In the Federal Register of (6) In the Federal Register of examiner reviewed the application and December 21, 2020, in FR Doc. 2020– December 21, 2020, in FR Doc. 2020– determined that it meets the criteria for

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approval. Pursuant to the authority 2020, Commerce postponed the 30 days after the publication of this delegated to the FTZ Board Executive preliminary determination of this notice. Secretary (15 CFR Sec. 400.36(f)), the investigation and the revised deadline is Methodology application to expand Subzone 18F was now December 28, 2020.2 approved on December 29, 2020, subject For a complete description of the Commerce is conducting this to the FTZ Act and the Board’s events that followed the initiation of investigation in accordance with section regulations, including Section 400.13, this investigation, see the Preliminary 701 of the Act. For each of the subsidy and further subject to FTZ 18’s 2,000- Decision Memorandum.3 A list of topics programs found countervailable, acre activation limit. discussed in the Preliminary Decision Commerce preliminarily determines Dated: December 29, 2020. Memorandum is included as Appendix that there is a subsidy, i.e., a financial contribution by an ‘‘authority’’ that Elizabeth Whiteman, II to this notice. The Preliminary Decision Memorandum is a public gives rise to a benefit to the recipient, Acting Executive Secretary. document and is on file electronically and that the subsidy is specific.6 [FR Doc. 2020–29115 Filed 12–31–20; 8:45 am] via Enforcement and Compliance’s Commerce notes that, in making these BILLING CODE 3510–DS–P Antidumping and Countervailing Duty findings, it relied, in part, on facts Centralized Electronic Service System available and, because it finds that one (ACCESS). ACCESS is available to or more respondents did not act to the DEPARTMENT OF COMMERCE registered users at http:// best of their ability to respond to International Trade Administration access.trade.gov. In addition, a complete Commerce’s requests for information, it version of the Preliminary Decision drew an adverse inference where [C–570–136] Memorandum can be accessed directly appropriate in selecting from among the at http://enforcement.trade.gov/frn/. facts otherwise available.7 For further Certain Chassis and Subassemblies The signed and electronic versions of information, see ‘‘Use of Facts Thereof From the People’s Republic of the Preliminary Decision Memorandum Otherwise Available and Adverse China: Preliminary Affirmative are identical in content. Inferences’’ in the Preliminary Decision Countervailing Duty Determination Memorandum. Scope of the Investigation AGENCY: Enforcement and Compliance, All-Others Rate International Trade Administration, The products covered by this Department of Commerce. investigation are certain chassis and Sections 703(d) and 705(c)(5)(A) of SUMMARY: The Department of Commerce subassemblies thereof from China. For a the Act provide that, in the preliminary (Commerce) preliminarily determines complete description of the scope of this determination, Commerce shall that countervailable subsidies are being investigation, see Appendix I. determine an estimated all-others rate provided to producers and exporters of Scope Comments for companies not individually certain chassis and subassemblies examined. The rate shall be an amount In accordance with the preamble to thereof (chassis) from the People’s equal to the weighted average of the Commerce’s regulations,4 Republic of China (China). The period the Initiation estimated subsidy rates established for of investigation is January 1, 2019 Notice set aside a period of time for those companies individually parties to raise issues regarding product examined, excluding any rates that are through December 31, 2019. Interested 5 parties are invited to comment on this coverage (i.e., scope). Certain interested zero, de minimis, or rates based entirely preliminary determination. parties commented on the scope of the under section 776 of the Act. investigation as it appeared in the DATES: Applicable January 4, 2021. In this investigation, Commerce Initiation Notice. Because this preliminarily calculated a rate for FOR FURTHER INFORMATION CONTACT: investigation is not currently aligned Qingdao CIMC Special Vehicles Co., William Langley or Nicholas with the companion AD investigation, Ltd. and Dongguan CIMC Vehicle Co., Czajkowski, AD/CVD Operations, Office Commerce intends to issue its Ltd. (collectively, CIMC), the only I, Enforcement and Compliance, preliminary decision regarding mandatory respondent. The only rate International Trade Administration, comments concerning the scope of the that is not zero, de minimis, or based U.S. Department of Commerce, 1401 AD and CVD investigations no later than entirely on facts otherwise available is Constitution Avenue NW, Washington, the rate calculated for CIMC. DC 20230; telephone: (202) 482–3681 or Countervailing Duty Investigation, 85 FR 52549 Consequently, the rate calculated for (202) 482–1395, respectively. (August 26, 2020) (Initiation Notice). CIMC is also assigned as the rate for all SUPPLEMENTARY INFORMATION: 2 See Certain Chassis and Subassemblies Thereof from the People’s Republic of China: Postponement other producers and exporters. Background of Preliminary Determination in the Countervailing Duty Investigation, 85 FR 63251 (October 7, 2020). Preliminary Determination This preliminary determination is 3 See Memorandum, ‘‘Decision Memorandum for Commerce preliminarily determines made in accordance with section 703(b) the Preliminary Determination of the that the following estimated of the Trade Act of 1930, as amended Countervailing Duty Investigation of Certain countervailable subsidy rates exist: (the Act). Commerce published the Chassis and Subassemblies Thereof from the People’s Republic of China,’’ dated concurrently notice of initiation of this investigation with, and hereby adopted by, this notice 6 See sections 771(5)(B) and (D) of the Act 1 on August 26, 2020. On October 1, (Preliminary Decision Memorandum). regarding financial contribution; section 771(5)(E) 4 See Antidumping Duties; Countervailing Duties, of the Act regarding benefit; and section 771(5A) of 1 See Certain Chassis and Subassemblies Thereof Final Rule, 62 FR 27296, 27323 (May 19, 1997). the Act regarding specificity. 5 from the People’s Republic of China: Initiation of See Initiation Notice. 7 See sections 776(a) and (b) of the Act.

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Subsidy rate Company (percent)

Qingdao CIMC Special Vehicles Co., Ltd. and Dongguan CIMC Vehicle Co., Ltd 8 ...... 38.52 All Others ...... 38.52

Suspension of Liquidation Compliance. Commerce will notify will determine before the later of 120 In accordance with section interested parties of the deadline for the days after the date of this preliminary 703(d)(1)(B) and (d)(2) of the Act, submission of case briefs. Rebuttal determination or 45 days after the final Commerce will direct U.S. Customs and briefs, limited to issues raised in case determination. briefs, may be submitted no later than Border Protection (CBP) to suspend Notification to Interested Parties liquidation of entries of subject seven days after the deadline date for 9 This determination is issued and merchandise as described in the scope case briefs. Pursuant to 19 CFR published pursuant to sections 703(f) of the investigation section entered, or 351.309(c)(2) and (d)(2), parties who and 777(i) of the Act and 19 CFR withdrawn from warehouse, for submit case briefs or rebuttal briefs in 351.205(c). consumption on or after the date of this investigation are encouraged to publication of this notice in the Federal submit with each argument: (1) A Dated: December 28, 2020. Register. Further, pursuant to 19 CFR statement of the issue; (2) a brief Jeffrey I. Kessler, 351.205(d), Commerce will instruct CBP summary of the argument; and (3) a Assistant Secretary for Enforcement and to require a cash deposit equal to the table of authorities. Compliance. rates indicated above. Pursuant to 19 CFR 351.310(c), interested parties who wish to request a Appendix I Disclosure hearing, limited to issues raised in the Scope of the Investigation Commerce intends to disclose its case and rebuttal briefs, must submit a The merchandise covered by this calculations and analysis performed to written request to the Assistant investigation are chassis and subassemblies interested parties in this preliminary Secretary for Enforcement and thereof, whether finished or unfinished, determination within five days of its Compliance, U.S. Department of whether assembled or unassembled, whether public announcement, or if there is no Commerce within 30 days after the date coated or uncoated, regardless of the number of axles, for carriage of containers, or other public announcement, within five days of publication of this notice. Requests should contain the party’s name, payloads (including self-supporting of the date of this notice in accordance payloads) for road, marine roll-on/roll-off with 19 CFR 351.224(b). address, and telephone number, the (RORO) and/or rail transport. Chassis are number of participants, whether any Verification typically, but are not limited to, rectangular participant is a foreign national, and a framed trailers with a suspension and axle As provided in section 782(i)(1) of the list of the issues to be discussed. If a system, wheels and tires, brakes, a lighting Act, Commerce intends to verify the request for a hearing is made, Commerce and electrical system, a coupling for towing information relied upon in making its intends to hold the hearing at a time and behind a truck tractor, and a locking system final determination. Normally, date to be determined. Parties should or systems to secure the shipping container confirm by telephone the date and time or containers to the chassis using twistlocks, Commerce verifies information using slide pins or similar attachment devices to standard procedures, including an on- of the hearing two days before the engage the corner fittings on the container or site examination of original accounting, scheduled date. other payload. financial, and sales documentation. Parties are reminded that briefs and Subject merchandise includes, but is not However, due to current travel hearing requests are to be filed limited to, the following subassemblies: restrictions in response to the global electronically using ACCESS and that • Chassis frames, or sections of chassis COVID–19 pandemic, Commerce is electronically filed documents must be frames, including kingpins or kingpin unable to conduct on-site verification in received successfully in their entirety by assemblies, bolsters consisting of transverse this investigation. Accordingly, we 5 p.m. Eastern Time on the due date. beams with locking or support mechanisms, goosenecks, drop assemblies, extension intend to verify the information relied Note that Commerce has temporarily modified certain of its requirements for mechanisms and/or rear impact guards; upon in making the final determination • Running gear assemblies or axle through alternative means in lieu of an serving documents containing business assemblies for connection to the chassis on-site verification. proprietary information, until further frame, whether fixed in nature or capable of notice.10 sliding fore and aft or lifting up and lowering Public Comment down, which may or may not include International Trade Commission Case briefs or other written comments suspension(s) (mechanical or pneumatic), Notification may be submitted to the Assistant wheel end components, slack adjusters, Secretary for Enforcement and In accordance with section 703(f) of axles, brake chambers, locking pins, and tires the Act, Commerce will notify the and wheels; • Landing gear (legs) or landing gear 8 Commerce preliminarily finds the following International Trade Commission (ITC) of companies to be cross-owned with Qingdao CIMC its determination. If the final assemblies, for connection to the chassis frame, capable of supporting the chassis Special Vehicles Co., Ltd. and Dongguan CIMC determination is affirmative, the ITC Vehicle Co., Ltd.: CIMC Vehicles (Group) Co., Ltd.; when it is not engaged to a tractor; and Shenzhen CIMC Vehicle Co., Ltd.; Zhumadian • Assemblies and/or components that CIMC Huajun Casting Co., Ltd.; China International 9 See 19 CFR 351.309; see also 19 CFR 351.303 connect to the chassis frame or a section of Marine Containers (Group) Co., Ltd.; Liangshan (for general filing requirements); Temporary Rule the chassis frame, such as, but not limited to, CIMC Dongyue Vehicles Co., Ltd.; Shandong Modifying AD/CVD Service Requirements Due to pintle hooks or B-trains (which include a COVID–19, 85 FR 17006 (March 26, 2020); and Wanshida Special Vehicle Manufacturing Co., Ltd.; fifth wheel), which are capable of connecting Yangzhou CIMC Tonghua Special Vehicles Co., Temporary Rule Modifying AD/CVD Service Ltd.; Zhumadian CIMC Huajun Vehicle Co., Ltd.; Requirements Due to COVID–19; Extension of a chassis to a converter dolly or another Gansu CIMC Huajun Vehicles Co., Ltd.; CIMC Effective Period, 85 FR 41363 (July 10, 2020) chassis. Vehicles (Liaoning) Co., Ltd.; and Zhumadian CIMC (Temporary Rule). Importation of any of these subassemblies, Wanjia Axle Co., Ltd. 10 See Temporary Rule. whether assembled or unassembled,

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constitutes an unfinished chassis for DEPARTMENT OF COMMERCE substantive response from the domestic purposes of this investigation. interested party.4 We received no Subject merchandise also includes chassis, International Trade Administration substantive responses from any other whether finished or unfinished, entered with interested parties, including the or for further assembly with components [C–570–019] such as, but not limited to: Hub and drum Government of China, nor was a hearing assemblies, brake assemblies (either drum or Boltless Steel Shelving Units requested. On October 27, 2020, disc), axles, brake chambers, suspensions and Prepackaged for Sale From the Commerce notified the U.S. suspension components, wheel end People’s Republic of China: Final International Trade Commission that it components, landing gear legs, spoke or disc Results of the Expedited First Sunset did not receive an adequate substantive wheels, tires, brake control systems, Review of the Countervailing Duty response from respondent interested electrical harnesses and lighting systems. Order parties.5 As a result, pursuant to Processing of finished and unfinished 751(c)(3)(B) of the Act and 19 CFR chassis and components such as trimming, AGENCY: Enforcement and Compliance, cutting, grinding, notching, punching, 351.218(e)(1)(ii)(C)(2), Commerce International Trade Administration, conducted an expedited (120-day) drilling, painting, coating, staining, finishing, Department of Commerce. assembly, or any other processing either in sunset review of the Order. the country of manufacture of the in-scope SUMMARY: The Department of Commerce product or in a third country does not (Commerce) finds that revocation of the Scope of the Order remove the product from the scope. Inclusion countervailing duty (CVD) order on The product covered by the Order is of other components not identified as boltless steel shelving units boltless steel shelving. For a full comprising the finished or unfinished chassis prepackaged for sale (boltless steel description of the scope, see the Issues does not remove the product from the scope. shelving) from the People’s Republic of and Decision Memorandum.6 This scope excludes dry van trailers, China (China) would be likely to lead to refrigerated van trailers and flatbed trailers. Analysis of Comments Received Dry van trailers are trailers with a wholly continuation or recurrence of enclosed cargo space comprised of fixed countervailable subsidies at the levels All issues raised in this sunset review sides, nose, floor and roof, with articulated indicated in the ‘‘Final Results of Sunset are addressed in the accompanying panels (doors) across the rear and Review’’ section of this notice. Issues and Decision Memorandum, occasionally at selected places on the sides, DATES: Applicable January 4, 2021. which is hereby adopted by this notice. with the cargo space being permanently FOR FURTHER INFORMATION CONTACT: The issues discussed in the Issues and incorporated in the trailer itself. Refrigerated Decision Memorandum are the van trailers are trailers with a wholly Nathan James, AD/CVD, Operations, Office V, Enforcement and Compliance, likelihood of continuation or recurrence enclosed cargo space comprised of fixed of a countervailable subsidy, the net sides, nose, floor and roof, with articulated International Trade Administration, panels (doors) across the rear and U.S. Department of Commerce, 1401 countervailable subsidy rate likely to occasionally at selected places on the sides, Constitution Avenue NW, Washington, prevail if the Order were revoked, and with the cargo space being permanently DC 20230; telephone: (202) 482–5305. the nature of the subsidy programs. A incorporated in the trailer and being complete list of the issues discussed in SUPPLEMENTARY INFORMATION: insulated, possessing specific thermal the Issues and Decision Memorandum properties intended for use with self- Background can be found in the appendix to this contained refrigeration systems. Flatbed (or On October 21, 2015, Commerce notice. The Issues and Decision platform) trailers consist of load-carrying Memorandum is a public document and main frames and a solid, flat or stepped published in the Federal Register the loading deck or floor permanently CVD order on boltless steel shelves from is on file electronically via Enforcement incorporated with and supported by frame China.1 On September 1, 2020, and Compliance’s Antidumping and rails and cross members. Commerce published the notice of Countervailing Duty Centralized The finished and unfinished chassis initiation of the first sunset review of Electronic Service System (ACCESS). subject to this investigation are typically the Order, pursuant to section 751(c) of ACCESS is available to registered users classified in the Harmonized Tariff Schedule at http://access.trade.gov. In addition, a of the United States (HTSUS) at subheadings: the Tariff Act of 1930, as amended (the Act).2 On September 14, 2020, complete version of the Issues and 8716.39.0090 and 8716.90.5060. Imports of Decision Memorandum can be accessed finished and unfinished chassis may also Commerce received a notice of intent to enter under HTSUS subheading participate from Edsal Manufacturing directly at http://enforcement.trade.gov/ 8716.90.5010. While the HTSUS subheadings Company, Inc. (the domestic interested frn/. The signed and electronic versions are provided for convenience and customs party), within the deadline specified in of the Issues and Decision purposes, the written description of the 19 CFR 351.218(d)(1)(i).3 The domestic Memorandum are identical in content. merchandise under investigation is interested party claimed interested party dispositive. Final Results of Sunset Review status under section 771(9)(C) of the Pursuant to sections 751(c)(1) and Appendix II Act, as a producer of the domestic like 752(b) of the Act, Commerce determines List of Topics Discussed in the Preliminary product in the United States. On September 30, 2020, Commerce Decision Memorandum 4 received a timely and adequate See Domestic Interested Party’s Letter, ‘‘Five- I. Summary Year (Sunset) Review of the Countervailing Duty Order on Boltless Steel Shelving Units Prepackaged II. Background 1 III. Scope Comments See Boltless Steel Shelving Units Prepackaged for Sale from the People’s Republic of China— for Sale from the People’s Republic of China: Petitioner’s Substantive Response to Notice of IV. Scope of the Investigation Amended Final Affirmative Countervailing Duty Initiation,’’ dated September 30, 2020. V. Subsidies Valuation Determination and Countervailing Duty Order, 80 5 See Commerce’s Letter, ‘‘Sunset Reviews VI. New Subsidy Allegations FR 63745 (October 21, 2015) (Order). Initiated on September 1, 2020,’’ dated October 27, VII. Use of Facts Otherwise Available and 2 See Initiation of Five-Year (Sunset) Reviews, 85 2020. Adverse Inferences FR 54348 (September 1, 2020). 6 See Memorandum, ‘‘Issues and Decision VIII. Benchmarks and Discount Rates 3 See Domestic Interested Party’s Letter, ‘‘Five- Memorandum for the Final Results of the Expedited IX. Analysis of Programs Year (‘Sunset‘) Review of Countervailing Duty First Five-Year Sunset Review of the Countervailing X. Recommendation Order on Boltless Shelving Units Prepackaged for Duty Order on Boltless Steel Shelving Units Sale from the People’s Republic of China— Prepackaged for Sale from the People’s Republic of [FR Doc. 2020–29101 Filed 12–31–20; 8:45 am] Petitioner’s Notice of Intent to Participate,’’ dated China,’’ dated concurrently with this notice (Issues BILLING CODE 3510–DS–P September 14, 2020. and Decision Memorandum).

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that revocation of the Order would recurrence of countervailable subsidies likely lead to the continuation or at the rates listed below:

Subsidy rate Producer/exporter (percent)

Ningbo ETDZ Huixing Trade Co., Ltd ...... 12.40 Nanjing Topsun Racking Manufacturing Co., Ltd ...... 15.05 Dalian Huameilong Metal Products Co., Ltd ...... 80.39 Dongguan Yuan Er Sheng Machinery Source Hardware Co., Ltd ...... 80.39 Dong Rong Metal Products Co., Ltd ...... 80.39 Global Storage Equipment Manufacturer Limited ...... 80.39 Intradin (Shanghai) Import & Export Co., Ltd ...... 80.39 Jinhua Development District Hongfa Tool, Ltd ...... 80.39 Kunshan Jisheng Metal & Plastic Co., Ltd ...... 80.39 Nanjing Huade Warehousing Equipment Manufacturing Co. Ltd ...... 80.39 Nanjing Whitney Metal Products Co., Ltd ...... 80.39 Nanjing Yodoly Logistics Equipments Manufacturing Co., Ltd ...... 80.39 Ningbo Decko Metal Products Trade Co., Ltd ...... 80.39 Ningbo Haifa Metal Works Co., Ltd ...... 80.39 Ningbo HaiFa Office Equipment Co., Ltd ...... 80.39 Ningbo TLT Metal Products Co., Ltd ...... 80.39 All Others ...... 13.73

Administrative Protective Order DEPARTMENT OF COMMERCE 2020, Commerce published the Notice of Initiation of the first sunset review of This notice also serves as the only International Trade Administration the antidumping duty order on boltless reminder to parties subject to an [A–570–018] steel shelving from China pursuant to Administrative Protective Order (APO) section 751(c) of the Tariff Act of 1930, of their responsibility concerning the Boltless Steel Shelving Units as amended (the Act).2 On September destruction of proprietary information Prepackaged for Sale From the 14, 2020, Commerce received a notice of disclosed under APO in accordance People’s Republic of China: Final intent to participate from Edsal with 19 CFR 351.305. Timely Results of the Expedited Sunset Manufacturing Company Inc. (the notification of the return or destruction Review of the Antidumping Duty Order petitioner), a domestic producer of of APO materials or conversion to boltless steel shelving and the petitioner judicial protective order is hereby AGENCY: Enforcement and Compliance, in the underlying investigation, within requested. Failure to comply with the International Trade Administration, the deadline specified in 19 CFR regulations and terms of an APO is a Department of Commerce. 351.218(d)(1)(i).3 The petitioner claimed violation which is subject to sanction. SUMMARY: As a result of this expedited domestic interested party status under sunset review, the Department of section 771(9)(C) of the Act, as a Notification to Interested Parties Commerce (Commerce) finds that manufacturer of a domestic like product revocation of the antidumping duty in the United States.4 On September 30, We are issuing and publishing these (AD) order on boltless steel shelving 2020, the petitioner filed its timely final results in accordance with sections units prepackaged for sale (boltless steel substantive response within the 30-day 751(c), 752(b), and 777(i)(1) of the Act shelving) from the People’s Republic of deadline specified in 19 CFR and 19 CFR 351.218. China (China) would be likely to lead to 351.218(d)(3)(i).5 Commerce received no Dated: December 28, 2020. continuation or recurrence of dumping substantive responses from any other Jeffrey I. Kessler, at the levels indicated in the ‘‘Final interested parties with respect to the Order covered by this sunset review, nor Assistant Secretary, for Enforcement and Results of Review’’ section of this notice. was a hearing requested. Commerce Compliance. received no comments on the adequacy DATES: Appendix Applicable January 4, 2021. of responses in this sunset review. As a FOR FURTHER INFORMATION CONTACT: result, pursuant to section 751(c)(3)(B) List of Topics Discussed in the Issues and Kabir Archuletta, AD/CVD Operations, of the Act and 19 CFR Decision Memorandum Office V, Enforcement and Compliance, 351.218(e)(1)(ii)(C)(2), Commerce is I. Summary International Trade Administration, conducting an expedited (120-day) II. Background U.S. Department of Commerce, 1401 sunset review of the Order. III. Scope of the Order Constitution Avenue NW, Washington, Scope of the Order IV. History of the Order DC 20230; telephone: (202) 482–2593. V. Legal Framework SUPPLEMENTARY INFORMATION: The scope of the Order covers boltless VI. Discussion of the Issues steel shelving units prepackaged for VII. Final Results of Sunset Review Background VIII. Recommendation On October 21, 2015, Commerce 2 See Initiation of Five-Year (Sunset) Reviews, 85 FR 54348 (September 1, 2020) (Notice of Initiation). [FR Doc. 2020–29106 Filed 12–31–20; 8:45 am] issued the AD order on boltless steel 3 See Petitioner’s Letter, ‘‘Petitioner’s Notice of 1 BILLING CODE 3510–DS–P shelving from China. On September 1, Intent to Participate,’’ dated September 14, 2020 at 2. 1 See Boltless Steel Shelving Units Prepackaged 4 See Petitioner’s Letter, ‘‘Petitioner’s Substantive for Sale from the People’s Republic of China: Response to Notice of Initiation,’’ dated September Antidumping Duty Order, 80 FR 63741 (October 21, 30, 2020. 2015) (Order). 5 Id.

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sale, with or without decks (boltless dumping likely to prevail would be SUMMARY: In accordance with the Tariff steel shelving). The term ‘‘prepackaged weighted-average margins of up to Act of 1930, as amended (the Act), the for sale’’ means that, at a minimum, the 112.68 percent. Department of Commerce (Commerce) is steel vertical supports (i.e., uprights and Administrative Protective Order automatically initiating the five-year posts) and steel horizontal supports (i.e., reviews (Sunset Reviews) of the beams, braces) necessary to assemble a This notice serves as the only antidumping and countervailing duty completed shelving unit (with or reminder to parties subject to (AD/CVD) order(s) and suspended without decks) are packaged together for administrative protective order (APO) of investigation(s) listed below. The ultimate purchase by the end user. their responsibility concerning the International Trade Commission (ITC) is destruction of proprietary information Subject boltless steel shelving enters publishing concurrently with this notice the United States through Harmonized disclosed under APO in accordance its notice of Institution of Five-Year Tariff Schedule of the United States with 19 CFR 351.305(a). Timely Reviews which covers the same order(s) (HTSUS) statistical subheadings notification of the destruction of APO and suspended investigation(s). 9403.20.0018, 9403.20.0020, materials or conversion to judicial 9403.20.0025, and 9403.20.0026, but protective orders is hereby requested. DATES: Applicable (January 1, 2021). may also enter through HTSUS Failure to comply with the regulations FOR FURTHER INFORMATION CONTACT: 9403.10.0040. A full description of the and terms of an APO is a violation scope of the Order is contained in the which is subject to sanction. Commerce official identified in the Issues and Decision Memorandum.6 Initiation of Review section below at Notifications to Interested Parties AD/CVD Operations, Enforcement and Analysis of Comments Received We are issuing and publishing these Compliance, International Trade All issues raised in this review are final results in accordance with sections Administration, U.S. Department of addressed in the Issues and Decision 751(c), 752(c), and 777(i)(1) of the Act, Commerce, 1401 Constitution Avenue Memorandum, which is hereby adopted and 19 CFR 351.221(c)(5)(ii). NW, Washington, DC 20230. For by this notice. The issues discussed in Dated: December 28, 2020. information from the ITC, contact Mary the Issues and Decision Memorandum Messer, Office of Investigations, U.S. Jeffrey I. Kessler, include the likelihood of continuation International Trade Commission at (202) or recurrence of dumping and the Assistant Secretary for Enforcement and Compliance. 205–3193. magnitude of the margins of dumping likely to prevail if the Order were Appendix SUPPLEMENTARY INFORMATION: revoked. The Issues and Decision List of Topics Discussed in the Issues and Background Memorandum is a public document and Decision Memorandum is on file electronically via Enforcement Commerce’s procedures for the and Compliance’s Antidumping and I. Summary conduct of Sunset Reviews are set forth II. Background Countervailing Duty Centralized III. Scope of the Order in its Procedures for Conducting Five- Electronic Service System (ACCESS). IV. History of the Order Year (Sunset) Reviews of Antidumping ACCESS is available to registered users V. Legal Framework and Countervailing Duty Orders, 63 FR at http://access.trade.gov. A list of VI. Discussion of the Issues 13516 (March 20, 1998) and 70 FR topics discussed in the Issues and Comment 1: Likelihood of Continuation or 62061 (October 28, 2005). Guidance on Decision Memorandum is included as Recurrence of Dumping methodological or analytical issues an Appendix to this notice. In addition, Comment 2: Magnitude of the Margins relevant to Commerce’s conduct of Likely to Prevail a complete version of the Issues and Sunset Reviews is set forth in Decision Memorandum can be accessed VII. Final Results of Sunset Review VIII. Recommendation Antidumping Proceedings: Calculation directly at http://enforcement.trade.gov/ of the Weighted-Average Dumping [FR Doc. 2020–29097 Filed 12–31–20; 8:45 am] frn/index.html. The signed and Margin and Assessment Rate in Certain BILLING CODE 3510–DS–P electronic versions of the Issues and Antidumping Duty Proceedings; Final Decision Memorandum are identical in Modification, 77 FR 8101 (February 14, content. DEPARTMENT OF COMMERCE 2012). Final Results of Review Initiation of Review Pursuant to sections 751(c)(1) and International Trade Administration In accordance with section 751(c) of 752(c)(1) and (3) of the Act, Commerce Initiation of Five-Year (Sunset) the Act and 19 CFR 351.218(c), we are determines that revocation of the Reviews antidumping duty order on boltless steel initiating the Sunset Reviews of the shelving from China would be likely to AGENCY: Enforcement and Compliance, following antidumping and lead to continuation or recurrence of International Trade Administration, countervailing duty order(s) and dumping, and that the margins of Department of Commerce. suspended investigation(s):

DOC case No. ITC case No. Country Product Commerce contact

A–570–954 ..... 731–TA–1166 .. China ...... Magnesia Carbon Bricks (2nd Review) ...... Mary Kolberg, (202) 482–1785. C–570–955 ..... 701–TA–468 .... China ...... Magnesia Carbon Bricks (2nd Review) ...... Jacqueline Arrowsmith, (202) 482–5255. A–201–837 ..... 731–TA–1167 .. Mexico ...... Magnesia Carbon Bricks (2nd Review) ...... Mary Kolberg, (202) 482–1785.

6 See Memorandum, ‘‘Issues and Decisions Steel Shelving Units Prepackaged for Sale from the with this notice (Issues and Decisions Memorandum for the Final Results of the People’s Republic of China’’ dated concurrently Memorandum). Antidumping Duty Administrative Review: Boltless

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Filing Information submitting factual information in these responses not later than 30 days after 5 As a courtesy, we are making segments. the date of publication in the Federal Register of this notice of initiation. The information related to sunset Letters of Appearance and required contents of a substantive proceedings, including copies of the Administrative Protective Orders pertinent statute and Commerce’s response, on an order-specific basis, are Pursuant to 19 CFR 351.103(d), regulations, Commerce’s schedule for set forth at 19 CFR 351.218(d)(3). Note Commerce will maintain and make Sunset Reviews, a listing of past that certain information requirements available a public service list for these revocations and continuations, and differ for respondent and domestic proceedings. Parties wishing to current service lists, available to the parties. Also, note that Commerce’s participate in any of these five-year public on Commerce’s website at the information requirements are distinct reviews must file letters of appearance following address: https:// from the ITC ’s information as discussed at 19 CFR 351.103(d)). To enforcement.trade.gov/sunset/. All requirements. Consult Commerce’s facilitate the timely preparation of the submissions in these Sunset Reviews regulations for information regarding public service list, it is requested that must be filed in accordance with Commerce’s conduct of Sunset Reviews. those seeking recognition as interested Commerce’s regulations regarding Consult Commerce’s regulations at 19 parties to a proceeding submit an entry format, translation, and service of CFR part 351 for definitions of terms of appearance within 10 days of the documents. These rules, including and for other general information publication of the Notice of Initiation. electronic filing requirements via concerning antidumping and Because deadlines in Sunset Reviews Enforcement and Compliance’s countervailing duty proceedings at can be very short, we urge interested Antidumping and Countervailing Duty Commerce. parties who want access to proprietary Centralized Electronic Service System This notice of initiation is being information under administrative (ACCESS), can be found at 19 CFR published in accordance with section protective order (APO) to file an APO 351.303.1 751(c) of the Act and 19 CFR 351.218(c). application immediately following Any party submitting factual Dated: December 18, 2020. information in an AD/CVD proceeding publication in the Federal Register of James Maeder, must certify to the accuracy and this notice of initiation. Commerce’s completeness of that information.2 regulations on submission of proprietary Deputy Assistant Secretary for Antidumping and Countervailing Duty Operations. Parties must use the certification information and eligibility to receive formats provided in 19 CFR 351.303(g).3 access to business proprietary [FR Doc. 2020–29123 Filed 12–31–20; 8:45 am] Commerce intends to reject factual information under APO can be found at BILLING CODE 3510–DS–P submissions if the submitting party does 19 CFR 351.304–306. Note that not comply with applicable revised Commerce has temporarily modified DEPARTMENT OF COMMERCE certification requirements. certain of its requirements for serving documents containing business On April 10, 2013, Commerce International Trade Administration modified two regulations related to AD/ proprietary information, until further 6 CVD proceedings: The definition of notice. factual information (19 CFR Information Required From Interested [A–552–803] 351.102(b)(21)), and the time limits for Parties Uncovered Innerspring Units From the the submission of factual information Domestic interested parties, as Socialist Republic of Vietnam: Final (19 CFR 351.301).4 Parties are advised to defined in section 771(9)(C), (D), (E), (F), Results of the Antidumping Duty review the final rule, available at and (G) of the Act and 19 CFR Administrative Review; 2018–2019 https://enforcement.trade.gov/frn/2013/ 351.102(b), wishing to participate in a 1304frn/2013-08227.txt, prior to Sunset Review must respond not later AGENCY: Enforcement and Compliance, submitting factual information in these than 15 days after the date of International Trade Administration, segments. To the extent that other publication in the Federal Register of Department of Commerce. regulations govern the submission of this notice of initiation by filing a notice SUMMARY: factual information in a segment (such The Department of Commerce of intent to participate. The required (Commerce) has completed the as 19 CFR 351.218), these time limits contents of the notice of intent to will continue to be applied. Parties are administrative review of the participate are set forth at 19 CFR antidumping duty order on uncovered also advised to review the final rule 351.218(d)(1)(ii). In accordance with concerning the extension of time limits innerspring units (innersprings) from Commerce’s regulations, if we do not the Socialist Republic of Vietnam for submissions in AD/CVD receive a notice of intent to participate proceedings, available at https:// (Vietnam) covering the period of review from at least one domestic interested (POR) December 1, 2018 through enforcement.trade.gov/frn/2013/ party by the 15-day deadline, Commerce 1309frn/2013-22853.txt, prior to November 30, 2019. We continue to find will automatically revoke the order that Angkor Spring Co., Ltd. (Angkor without further review.7 Spring) did not demonstrate eligibility 1 See also Antidumping and Countervailing Duty If we receive an order-specific notice Proceedings: Electronic Filing Procedures; for a separate rate; therefore, it is part Administrative Protective Order Procedures, 76 FR of intent to participate from a domestic of the Vietnam-wide entity. 39263 (July 6, 2011). interested party, Commerce’s DATES: Applicable January 4, 2021. 2 See section 782(b) of the Act. regulations provide that all parties 3 See also Certification of Factual Information to wishing to participate in a Sunset FOR FURTHER INFORMATION CONTACT: Import Administration During Antidumping and Review must file complete substantive Brendan Quinn, AD/CVD Operations, Countervailing Duty Proceedings, 78 FR 42678 (July 17, 2013) (Final Rule). Answers to frequently asked Office III, Enforcement and Compliance, questions regarding the Final Rule are available at 5 See Extension of Time Limits, 78 FR 57790 International Trade Administration, http://enforcement.trade.gov/tlei/notices/factual_ (September 20, 2013). U.S. Department of Commerce, 1401 info_final_rule_FAQ_07172013.pdf. 6 See Temporary Rule Modifying AD/CVD Service Constitution Ave. NW, Washington, DC 4 See Definition of Factual Information and Time Requirements Due to COVID–19, 85 FR 41363 (July 20230; telephone: (202) 482–5848. Limits for Submission of Factual Information: Final 10, 2020). Rule, 78 FR 21246 (April 10, 2013). 7 See 19 CFR 351.218(d)(1)(iii). SUPPLEMENTARY INFORMATION:

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Background subheadings 9404.10.0000, appropriate entries in this review, in On July 1, 2020, Commerce published 9404.29.9005, 9404.29.9011, accordance with section 751(a)(2)(C) of the Preliminary Results of this review 7326.20.0070, 7326.20.0090, the Act and 19 CFR 351.212(b)(1). We and gave interested parties an 7320.20.5010, 7320.90.5010, or intend to issue assessment instructions opportunity to comment.1 We received 7326.20.0071 of the Harmonized Tariff directly to CBP 15 days after publication in the Federal Register or these final no comments. These final results cover Schedule of the United States 4 results of this administrative review. one company for which an (HTSUS). The HTSUS subheadings are administrative review was requested provided for convenience and customs Cash Deposit Requirements and not rescinded: Angkor Spring.2 This purposes only; the written description of the scope of the order is dispositive. The following cash deposit review was conducted in accordance requirements will be effective upon with section 751(a)(1) of the Tariff Act Final Results of Review publication of the final results of this of 1930, as amended (the Act).3 Commerce preliminarily determined administrative review for all shipments Scope of the Order that the company subject to this review of subject merchandise entered, or withdrawn from warehouse, for The merchandise subject to this order did not demonstrate eligibility for separate rate status and, thus, consumption on or after the publication is uncovered innerspring units date, as provided for by section composed of a series of individual metal Commerce found it to be part of the 5 751(a)(2)(C) of the Act: (1) For springs joined together in sizes Vietnam-wide entity. As noted above, Commerce received no comments previously investigated or reviewed corresponding to the sizes of adult Vietnamese and non-Vietnamese mattresses (e.g., twin, twin long, full, concerning the Preliminary Results of this review. We find that there is no exporters not under review in this full long, queen, California king and segment of the proceeding, but who king) and units used in small reason to modify our analysis. Accordingly, no decision memorandum have separate rates, the cash deposit rate constructions, such as crib and youth will continue to be the exporter-specific mattresses. All uncovered innerspring accompanies this Federal Register notice. For further details regarding the rate published for the most recent units are included in the scope period; (2) for all Vietnamese exporters regardless of width and length. issues addressed in this proceeding, see the Preliminary Results.6 of subject merchandise that have not Including within this definition are been found to be entitled to a separate innersprings typically ranging from 30.5 In these final results of review, we continue to treat the sole exporter rate, the cash deposit rate will be the inches to 76 inches in width and 68 Vietnam-wide entity rate (i.e., 116.31 inches to 84 inches in length. subject to this review as part of the 7 percent); and (3) for all non-Vietnamese Innerspring for crib mattresses typically Vietnam-wide entity. The Vietnam- wide rate is 116.31 percent. exporters of subject merchandise which range from 25 inches to 27 inches in have not received their own rate, the width and 50 inches to 52 inches in Vietnam-Wide Entity cash deposit rate will be the rate length. Commerce’s policy regarding the applicable to the Vietnamese exporter Uncovered innerspring units are conditional review of the Vietnam-wide that supplied that non-Vietnamese suitable for use as the innerspring entity applies to this administrative exporter. These deposit requirements, component in the manufacture of review.8 Under this policy, the Vietnam- when imposed, shall remain in effect innerspring mattresses, including wide entity will not be under review until further notice. mattresses that incorporate a foam unless a party specifically requests, or encasement around the innerspring. Reimbursement of Duties Commerce self-initiates, a review of the Pocketed and non-pocketed entity. Because no party requested a This notice also serves as a final innerspring units are included in this review of the Vietnam-wide entity, and reminder to importers of their definition. Non-pocketed innersprings Commerce did not self-initiate a review, responsibility under 19 CFR are typically joined together with helical the entity is not under review and the 351.402(f)(2) to file a certificate wire and border rods. Non-pocketed entity’s rate is not subject to change (i.e., regarding the reimbursement of innersprings are included in this 116.31 percent). antidumping duties prior to liquidation definition regardless of whether they of the relevant entries during this have border rods attached to the Assessment Rates review period. Failure to comply with perimeter of the innerspring. Pocketed Commerce has determined, and CBP this requirement could result in innersprings are individual coils shall assess, antidumping duties on all Commerce’s presumption that covered by a ‘‘pocket’’ or ‘‘sock’’ of a reimbursement of antidumping duties nonwoven synthetic material or woven 4 Based on a recommendation by CBP, on occurred and the subsequent assessment material and then glued together in a September 15, 2017, Commerce added HTS of double antidumping duties. linear fashion. 7326.20.0090 to the scope. See Memorandum, Uncovered innersprings are classified ‘‘Request from Customs and Border Protection to Administrative Protective Order Update the ACE AD/CVD Case Reference File,’’ under subheading 9404.29.9010 and dated September 15, 2017 (Barcode 3622582–01). This notice also serves as a reminder have also been classified under 5 See Preliminary Results. to parties subject to administrative 6 Id. protective order (APO) of their 1 See Uncovered Innerspring Units from the 7 In the Preliminary Results, we found the sole responsibility concerning the return or Socialist Republic of Vietnam: Preliminary Results exporter subject to this review to be part of the destruction of proprietary information of the Administrative Review; 2018–2019, 85 FR Vietnam-wide entity, as it failed to submit a disclosed under APO in accordance 39524 (July 1, 2020) (Preliminary Results). separate rate application and/or a separate rate 2 Id. certification to establish its eligibility for separate with 19 CFR 351.305(a)(3), which 3 On July 21, 2020, Commerce tolled all deadlines rate status. continues to govern business in administrative reviews by an additional 60 days. 8 See Antidumping Proceedings: Announcement proprietary information in this segment The deadline for the final results of this review is of Change in Department Practice for Respondent of the proceeding. Timely written now December 28, 2020. See Memorandum, Selection in Antidumping Duty Proceedings and ‘‘Tolling of Deadlines for Antidumping and Conditional Review of the Nonmarket Economy notification of the return/destruction of Countervailing Duty Administrative Reviews,’’ Entity in NME Antidumping Duty Proceedings, 78 APO materials or conversion to judicial dated July 21, 2020. FR 65963 (November 4, 2013). protective order is hereby requested.

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Failure to comply with the regulations see the Issues and Decision parties in this investigation are and terms of an APO is a violation, Memorandum.2 addressed in the Issues and Decision which is subject to sanction. Memorandum. For a list of the issues Scope of the Investigation raised by interested parties and Notification to Interested Parties The products covered by this addressed in the Issues and Decision We are issuing and publishing this investigation are millwork products Memorandum, see Appendix II to this notice in accordance with section from China. For a complete description notice. The Issues and Decision 751(a)(1) and 777(i)(1) of the Act, and 19 of the scope of this investigation, see Memorandum is a public document and CFR 351.213(h). Appendix I. is made available to the public via Dated: December 28, 2020. Scope Comments Enforcement and Compliance’s Jeffrey I. Kessler, Antidumping and Countervailing Duty On August 5, 2020, we issued a Centralized Electronic Service System Assistant Secretary for Enforcement and Preliminary Scope Memorandum.3 Compliance. (ACCESS). ACCESS is available to Several interested parties submitted registered users at http:// [FR Doc. 2020–29110 Filed 12–31–20; 8:45 am] case and rebuttal briefs concerning the access.trade.gov. In addition, a complete BILLING CODE 3510–DS–P scope of this investigation. For a version of the Issues and Decision summary of the product coverage Memorandum can be accessed directly comments and rebuttal comments DEPARTMENT OF COMMERCE at https://enforcement.trade.gov/frn/ submitted to the record for this final index.html. The signed and electronic International Trade Administration determination, and accompanying versions of the Issues and Decision discussion and analysis of all comments Memorandum are identical in content. timely received, see the Final Scope [A–570–117] Memorandum.4 Based on the comments China-Wide Entity and Use of Adverse received from interested parties, we are Facts Available Wood Mouldings and Millwork revising the scope of this investigation Products From the People’s Republic Commerce continues to find that the as it appeared in the Preliminary of China: Final Affirmative use of facts available is warranted in Determination. The scope in Appendix Determination of Sales at Less Than determining the rate of the China-wide I reflects these changes. Fair Value entity pursuant to sections 776(a)(1) and Verification (a)(2)(A)–(C) of the Act. As discussed in AGENCY: Enforcement and Compliance, the Issues and Decision Memorandum, International Trade Administration, Commerce normally verifies Commerce finds that the use of facts U.S. Department of Commerce. information relied upon in making its available is also warranted with respect final determination, pursuant to section SUMMARY: The Department of Commerce to Bel Trade Wood Industrial Co., Ltd. 782(i)(1) of the Tariff Act of 1930, as (Commerce) determines that imports of Youxi Fujian (Bel Trade) pursuant to amended (the Act). However, during the wood mouldings and millwork products sections 776(a)(1) and (a)(2)(A)–(C) of course of this investigation, Commerce (millwork products) from the People’s the Act. Furthermore, we find that the was unable to conduct on-site Republic of China (China) are being, or use of adverse facts available (AFA) is verification due to travel restrictions.5 are likely to be, sold in the United States warranted because the China-wide Consistent with section 776(a)(2)(D) of at less than fair value (LTFV). The entity, including Bel Trade, did not the Act, Commerce relied on the period of investigation is July 1, 2019 cooperate to the best of its ability to information submitted on the record, through December 31, 2019. comply with our requests for where appropriate, which we used in DATES: Applicable January 4, 2021. information and, accordingly, we making our Preliminary Determination, applied adverse inferences in selecting FOR FURTHER INFORMATION CONTACT: as facts available in making our final from the facts available, pursuant to Brian Smith or Michael Bowen, AD/ determination. section 776(b) of the Act and 19 CFR CVD Operations, Office VIII, 351.308(a). For the final determination, Enforcement and Compliance, Analysis of Comments Received as AFA, we are assigning the China- International Trade Administration, All issues raised in the case and wide entity, including Bel Trade, the U.S. Department of Commerce, 1401 rebuttal briefs that were submitted by rate of 230.36 percent, which is the Constitution Avenue NW, Washington, highest calculated transaction-specific DC 20230; telephone: (202) 482–1766 or 2 See Memorandum, ‘‘Wood Mouldings and margin on the record.6 (202) 482–0768, respectively. Millwork Products from the People’s Republic of China: Issues and Decision Memorandum for the SUPPLEMENTARY INFORMATION: Final Affirmative Determination of Sales at Less Separate Rates Than Fair Value,’’ dated concurrently with, and We preliminarily granted 43 Background hereby adopted by, this notice (Issues and Decision companies, including the two On August 12, 2020, Commerce Memorandum). 3 See Memorandum, ‘‘Wood Mouldings and mandatory respondents, Fujian Yinfeng published the Preliminary Millwork Products from Brazil and the People’s Imp & Exp Trading Co., Ltd./Fujian Determination in the LTFV investigation Republic of China: Preliminary Scope Decision Province Youxi City Mangrove Wood of millwork products from China.1 For Memorandum,’’ dated August 5, 2020 (Preliminary Scope Memorandum). Machining Co., Ltd. (Yinfeng/ a complete description of the events that 7 4 See Memorandum, ‘‘Wood Mouldings and Mangrove) and Bel Trade, and 41 non- followed the Preliminary Determination, Millwork Products from Brazil and the People’s Republic of China: Scope Comments Decision 6 See Issues and Decision Memorandum at 1 See Wood Mouldings and Millwork Products Memorandum for the Final Determinations,’’ dated ‘‘Application of Facts Available and Use of Facts from the People’s Republic of China: Preliminary concurrently with, and hereby adopted by, this Available’’ section for a full discussion. Affirmative Determination of Sales at Less Than notice (Final Scope Memorandum). 7 Commerce preliminarily determined that the Fair Value, Postponement of Final Determination, 5 See Memorandum, ‘‘Antidumping Duty exporter Yinfeng, and its affiliated producer, and Extension of Provisional Measures, 85 FR Investigation of Wood Mouldings and Millwork Mangrove, are a single entity. See Preliminary 48669 (August, 12, 2020) (Preliminary Products from the People’s Republic of China: Determination PDM. No new facts have been Determination), and accompanying Preliminary Cancellation of Verification and Establishment of presented on the record of this investigation since Decision Memorandum (PDM). Briefing Schedule,’’ dated October 23, 2020. Continued

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individually examined respondents, a information requested after the eligibility for a separate rate, consistent separate rate in the Preliminary Preliminary Determination.11 with our practice.12 Determination based on their In determining the rate for non- Changes Since the Preliminary eligibility.8 As discussed in the Issues individually examined separate rate Determination and Decision Memorandum, we respondents in a non-market economy continue to find that Yinfeng/Mangrove Based on our review and analysis of antidumping duty (AD) investigation, is eligible for a separate rate in the final the comments received from interested determination.9 Because we find that Commerce normally takes guidance parties, we made changes to the margin AFA is warranted for Bel Trade in the from section 735(c)(5)(A) of the Act, calculations for Yinfeng/Mangrove.13 As final determination, it is no longer which governs the calculation of the all- a result of these changes, Commerce eligible for a separate rate and is others rate in a market economy AD also revised the China-wide entity rate considered part of the China-wide investigation. Generally, under section and the rate for those companies entity.10 735(c)(5)(A) of the Act, this rate shall be entitled to a separate rate. For a No party commented on our an amount equal to the weighted discussion of these changes, see the preliminary separate rate average of the estimated AD rates Issues and Decision Memorandum. determinations with respect to the 41 established for those companies non-individually examined companies; individually examined, excluding any Combination Rates thus, there is no basis to reconsider our zero and de minimis rates and any rates Consistent with the Preliminary preliminary determinations with respect based entirely under section 776 of the Determination 14 and Policy Bulletin to these companies, and we have Act. 05.1,15 Commerce calculated continued to grant them a separate rate The sole calculated AD rate for this combination rates for the respondents in this final determination. Finally, with that are eligible for a separate rate in final determination is the margin respect to Lanzhou Xinyoulian this investigation. Industrial Co., Ltd. (Lanzhou calculated for Yinfeng/Mangrove. Xinyoulian), a company to which we Therefore, for the final determination, Final Determination preliminarily denied a separate rate, we we assigned the rate calculated for Commerce determines that the find Lanzhou Xinyoulian is also entitled Yinfeng/Mangrove as the separate rate following weighted-average dumping to a separate rate after careful for the non-individually examined margins exist for the companies under consideration of its timely submitted companies which established their investigation:

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

Fujian Yinfeng Imp & Exp Trading Co., Ltd/Fujian Fujian Yinfeng Imp & Exp Trading Co., Ltd/Fujian 44.60 33.87 Province Youxi City Mangrove Wood Machining Province Youxi City Mangrove Wood Machining Co., Ltd.16. Co., Ltd. Anji Golden Elephant Bamboo Wooden Industry Co., Anji Golden Elephant Bamboo Wooden Industry Co., 44.60 33.87 Ltd. Ltd. Anji Huaxin Bamboo & Wood Products Co., Ltd ...... Anji Huaxin Bamboo & Wood Products Co., Ltd ...... 44.60 33.87 Cao County Hengda Wood Products Co., Ltd ...... Cao County Hengda Wood Products Co., Ltd ...... 44.60 33.87 Evermark (Yantai) Co., Ltd ...... Evermark (Yantai) Co., Ltd ...... 44.60 33.87 Fujian Hongjia Craft Products Co., Ltd ...... Fujian Hongjia Craft Products Co., Ltd ...... 44.60 33.87 Fujian Jinquan Trade Co., Ltd ...... Fujian Province Youxi County Baiyuan Wood Machin- 44.60 33.87 ing Co., Ltd. Fujian Nanping Yuanqiao Wood Industry Co., Ltd ...... Fujian Nanping Yuanqiao Wood Industry Co., Ltd ...... 44.60 33.87 Fujian Province Youxi County Chang Sheng Wood Fujian Province Youxi County Chang Sheng Wood 44.60 33.87 Machining Co., Ltd. Machining Co., Ltd. Fujian Sanming City Donglai Wood Co., Ltd ...... Fujian Sanming City Donglai Wood Co., Ltd ...... 44.60 33.87 Fujian Shunchang Shengsheng Wood Industry Lim- Fujian Shunchang Shengsheng Wood Industry Lim- 44.60 33.87 ited Company. ited Company. Fujian Wangbin Decorative Material Co., Ltd ...... Fujian Wangbin Decorative Material Co., Ltd ...... 44.60 33.87 Fujian Youxi Best Arts & Crafts Co., Ltd ...... Fujian Ruisen International Industrial Co., Ltd ...... 44.60 33.87 Fujian Zhangping Kimura Forestry Products Co., Ltd Fujian Zhangping Kimura Forestry Products Co., Ltd 44.60 33.87 Heze Huasheng Wooden Co., Ltd ...... Heze Huasheng Wooden Co., Ltd ...... 44.60 33.87 Huaan Longda Wood Industry Co., Ltd ...... Huaan Longda Wood Industry Co., Ltd ...... 44.60 33.87 Jiangsu Chen Sheng Forestry Development Co., Ltd Jiangsu Chen Sheng Forestry Development Co., Ltd 44.60 33.87 Jiangsu Wenfeng Wood Co., Ltd ...... Jiangsu Wenfeng Wood Co., Ltd ...... 44.60 33.87 Lanzhou Xinyoulian Industrial Co., Ltd ...... Lanzhou Xinyoulian Industrial Co., Ltd ...... 44.60 33.87

the Preliminary Determination warranting 12 See, e.g., Preliminary Determination of Sales at 14 See Preliminary Determination. reconsideration of this decision in the final Less Than Fair Value and Partial Affirmative 15 See Enforcement and Compliance’s Policy determination. Determination of Critical Circumstances: Certain Bulletin No. 05.1, regarding, ‘‘Separate-Rates Polyester Staple Fiber from the People’s Republic of 8 See Preliminary Determination PDM at 12–13. Practice and Application of Combination Rates in China, 71 FR 77373, 77377 (December 26, 2006), 9 Antidumping Investigations involving Non-Market See Issues and Decision Memorandum at unchanged in Final Determination of Sales at Less Comment 1 for further discussion. Than Fair Value and Partial Affirmative Economy Countries,’’ dated April 5, 2005 (Policy 10 Id. at ‘‘Application of Facts Available and Use Determination of Critical Circumstances: Certain Bulletin 05.1), available on Commerce’s website at of Facts Available’’ section. Polyester Staple Fiber from the People’s Republic of http://enforcement.trade.gov/policy/bull05-1.pdf. China, 72 FR 19690 (April 19, 2007). 16 As mentioned above, Commerce determined 11 Id. at ‘‘Separate Rates’’ section. 13 See Issues and Decision Memorandum. that Yinfeng/Mangrove is a single entity.

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

Lianyungang Tianke New Energy Technology Co., Ltd Lianyungang Tianke New Energy Technology Co., Ltd 44.60 33.87 Longquan Jiefeng Trade Co., Ltd ...... Zhejiang Senya Board Industry Co., Ltd ...... 44.60 33.87 Nanping Huatai Wood & Bamboo Co., Ltd ...... Nanping Huatai Wood & Bamboo Co., Ltd ...... 44.60 33.87 Nanping Qiangmei Import & Export Co., Ltd ...... Pucheng County Qiangmei Wood Company, Ltd ...... 44.60 33.87 Oppein Home Group Inc ...... Oppein Home Group Inc...... 44.60 33.87 Putian Yihong Wood Industry Co., Ltd ...... Putian Yihong Wood Industry Co., Ltd ...... 44.60 33.87 Qimen Jianxing Bamboo and Wood Goods Co., Ltd ... Qimen Jianxing Bamboo and Wood Goods Co., Ltd ... 44.60 33.87 Qingdao Sanhe Dacheng International Trade Co., Ltd Yongan Tenlong Bamboo & Wood Products Co., Ltd 44.60 33.87 Rizhao Duli Trade Co., Ltd ...... Rizhao Jiayue Industry & Trading Co., Ltd ...... 44.60 33.87 Rizhao Guantong Woodworking Co., Ltd ...... Shouguang Luli Wood Industry Co., Ltd/Rizhao Forest 44.60 33.87 International Trading Co., Ltd/Xiamen Oubai Indus- try & Trade Co., Ltd. Sanming Lingtong Trading Co., Ltd ...... Sanming Shitong Wood Industry Co., Ltd ...... 44.60 33.87 Shandong Miting Household Co., Ltd ...... Shandong Jicheng Decorative Material Co., Ltd ...... 44.60 33.87 Shaxian Hengtong Wood Industry Co., Ltd ...... Shaxian Hengtong Wood Industry Co., Ltd ...... 44.60 33.87 Shaxian Shiyiwood, Ltd ...... Shaxian Shiyiwood, Ltd ...... 44.60 33.87 Shuyang Kevin International Co., Ltd ...... Shuyang Zhongding Decoration Materials Co., Ltd ..... 44.60 33.87 Suqian Sulu Import & Export Trading Co., Ltd ...... Suqian Sulu Import & Export Trading Co., Ltd ...... 44.60 33.87 The Ancientree Cabinet Co., Ltd ...... The Ancientree Cabinet Co., Ltd ...... 44.60 33.87 Xiamen Jinxi Building Material Co., Ltd ...... Zhangzhou City Jinxi Building Material Co., Ltd ...... 44.60 33.87 Xuzhou Goodwill Resource Co., Ltd...... Pucheng County Qiangmei Wood Company, Ltd/ 44.60 33.87 Lianyungang Tianke New Energy Technology Co., Ltd/Fujian Sanming City Donglai Wood Co., Ltd/ Zhangzhou Fukangyuan Industry and Trade Co., Ltd. Xuzhou Hexi Wood Co., Ltd ...... Xuzhou Hexi Wood Co., Ltd ...... 44.60 33.87 Zhangping San Chuan Industrial & Trade Co., Ltd ..... Zhangping San Chuan Industrial & Trade Co., Ltd ..... 44.60 33.87 Zhangzhou Green Wood Industry and Trade Co., Ltd Zhangzhou Green Wood Industry and Trade Co., Ltd 44.60 33.87 Zhangzhou Wangjiamei Industry and Trade Co., Ltd .. Zhangzhou Wangjiamei Industry and Trade Co., Ltd .. 44.60 33.87 Zhangzhou Yihong Industrial Co., Ltd ...... Zhangzhou Yihong Industrial Co., Ltd ...... 44.60 33.87 China-Wide Entity ...... 230.36 219.63

Disclosure combinations of Chinese exporters/ subsidy rates 17 as indicated in the We intend to disclose to parties in producers of subject merchandise that above chart. However, suspension of this proceeding the calculations have not received their own separate liquidation for provisional measures in performed for this final determination rate above, the cash deposit rate will be the companion CVD case has been within five days of the date of the cash deposit rate established for the discontinued effective October 10, 2020; publication of this notice, in accordance China-wide entity; and (3) for all non- therefore, we are not instructing CBP to with 19 CFR 351.224(b). Chinese exporters of subject collect cash deposits based upon the merchandise which have not received adjusted estimated weighted-average Continuation of Suspension of Liquidation their own separate rate above, the cash dumping margin for those export deposit rate will be the cash deposit rate subsidies at this time. In accordance with section applicable to the Chinese exporter/ 735(c)(1)(B) of the Act, we will instruct For this final determination, we made producer combination that supplied that no adjustment for domestic subsidy U.S. Customs and Border Protection non-Chinese exporter. These suspension (CBP) to continue to suspend pass-through because we found no basis of liquidation instructions will remain liquidation of all entries of millwork upon which to make such an in effect until further notice. 18 products from China, as described in adjustment. Appendix I of this notice, which are To determine the cash deposit rate, entered, or withdrawn from warehouse, Commerce normally adjusts the estimated weighted-average dumping for consumption on or after August 12, 17 margin by the amount of domestic The export subsidy rate determined in the final 2020, the date of publication in the determination of the companion CVD investigation Federal Register of the affirmative subsidy pass-through and export is 10.73 percent. See Wood Mouldings and Millwork Preliminary Determination. subsidies determined in a companion Products from the People’s Republic of China: Pursuant to section 735(c)(1)(B)(ii) of countervailing duty (CVD) proceeding Preliminary Affirmative Countervailing Duty the Act, upon the publication of this where appropriate. Accordingly, Determination (unpublished and dated notice, Commerce will instruct CBP to because Commerce made a final concurrently with this memorandum); unchanged from Wood Mouldings and Millwork Products from require a cash deposit equal to the affirmative determination for export weighted-average amount by which the the People’s Republic of China: Preliminary subsidies in the companion CVD Affirmative Countervailing Duty Determination and normal value exceeds U.S. price as investigation, we offset the calculated Alignment of Final Determination with Final follows: (1) The cash deposit rate for the estimated weighted-average dumping Antidumping Duty Determination, 85 FR 35900 exporter/producer combinations listed margins by the appropriate export (June 12, 2020), and accompanying PDM at 33–52. in the table above will be the rate 18 See Issues and Decision Memorandum at identified in the table; (2) for all Comment 5 for further discussion.

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International Trade Commission and millwork products that are made of country of manufacture of the in-scope Notification wood (regardless of wood species), bamboo, product. laminated veneer lumber (LVL), or of wood Excluded from the scope of this In accordance with section 735(d) of and composite materials (where the investigation are countertop/butcherblocks the Act, we will notify the International composite materials make up less than 50 imported as a full countertop/butcherblock Trade Commission (ITC) of our final percent of the total merchandise), and which panel, exterior fencing, exterior decking and affirmative determination of sales at are continuously shaped wood or finger- exterior siding products (including solid LTFV. We will allow the ITC access to jointed or edge-glued moulding or millwork wood siding, non-wood siding (e.g., all privileged and business proprietary blanks (whether or not resawn). The composite or cement), and shingles) that are information in our files, provided the merchandise subject to this investigation can not LVL or finger jointed; finished and be continuously shaped along any of its unfinished doors; flooring; parts of stair steps ITC confirms that it will not disclose edges, ends, or faces. (including newel posts, balusters, easing, such information, either publicly or The percentage of composite materials gooseneck, risers, treads, rail fittings and stair under an administrative protective order contained in a wood moulding or millwork stringers); picture frame components three (APO), without the written consent of product is measured by length, except when feet and under in individual lengths; and the Assistant Secretary for Enforcement the composite material is a coating or lumber whether solid, finger-jointed, or edge- and Compliance. Because the final cladding. Wood mouldings and millwork glued. To be excluded from the scope, finger- determination in this proceeding is products that are coated or clad, even along jointed or edge-glued lumber must have a affirmative, in accordance with section their entire length, with a composite nominal thickness of 1.5 inches or greater material, but that are otherwise comprised of and a certification stamp from an American 735(b)(2) of the Act, the ITC will make wood, LVL, or wood and composite materials Lumber Standard Committee-certified its final determination as to whether the (where the non-coating composite materials grading agency. The exclusion for lumber domestic industry in the United States make up 50 percent or less of the total whether solid, finger-jointed, or edge-glued is materially injured, or threatened with merchandise) are covered by the scope. does not apply to screen/‘‘surfaced on 4 material injury, by reason of imports of The merchandise subject to this sides’’ (S4S) and/or ‘‘surface 1 side, 2 edges’’ subject merchandise from China no later investigation consists of wood, LVL, bamboo, (SlS2E) stock (also called boards) that are than 45 days after our final or a combination of wood and composite finger-jointed and/or edge-glued, or to finger- determination. If the ITC determines materials that is continuously shaped jointed and/or edge-glued moulding or that such injury does not exist, this throughout its length (with the exception of millwork blanks (whether or not resawn). any endwork/dados), profiled wood having a Accordingly, S4S and S1S2E stock/boards proceeding will be terminated, and all repetitive design in relief, similar milled that are not finger-jointed or edge-glued are cash deposits posted will be refunded. wood architectural accessories, such as excluded from the scope of this investigation. If the ITC determines that such injury rosettes and plinth blocks, and finger-jointed Excluded from the scope of this does exist, Commerce will issue an AD or edge-glued moulding or millwork blanks investigation are all products covered by the order directing CBP to assess, upon (whether or not resawn). The scope includes scope of the antidumping duty order on further instruction by Commerce, continuously shaped wood in the forms of Hardwood Plywood from the People’s antidumping duties on all imports of the dowels, building components such as interior Republic of China. See Certain Hardwood subject merchandise entered, or paneling and jamb parts, and door Plywood Products from the People’s Republic withdrawn from warehouse, for components such as rails, stiles, interior and of China: Amended Final Determination of exterior door frames or jambs (including Sales at Less Than Fair Value, and consumption on or after the effective split, flat, stop applied, single- or double- Antidumping Duty Order, 83 FR 504 (January date of the suspension of liquidation. rabbeted), frame or jamb kits, and packaged 4, 2018). Notification Regarding Administrative door frame trim or casing sets, whether or not Excluded from the scope of this Protective Orders the door components are imported as part of investigation are all products covered by the a door kit or set. scope of the antidumping duty order on This notice will serve as a reminder The covered products may be solid wood, Multilayered Wood Flooring from the to the parties subject to administrative laminated, finger-jointed, edge-glued, face- People’s Republic of China. See Multilayered protective order (APO) of their glued, or otherwise joined in the production Wood Flooring from the People’s Republic of responsibility concerning the or remanufacturing process and are covered China: Amended Final Determination of disposition of proprietary information by the scope whether imported raw, coated Sales at Less Than Fair Value and disclosed under APO in accordance (e.g., gesso, polymer, or plastic), primed, Antidumping Duty Order, 76 FR 76690 painted, stained, wrapped (paper or vinyl (December 8, 2011). with 19 CFR 351.305(a)(3). Timely overlay), any combination of the Excluded from the scope of this written notification of return or aforementioned surface coatings, treated, or investigation are all products covered by the destruction of APO materials or which incorporate rot-resistant elements scope of the antidumping duty order on conversion to judicial protective order is (whether wood or composite). The covered Wooden Cabinets and Vanities from the hereby requested. Failure to comply products are covered by the scope whether or People’s Republic of China. See Wooden with the regulations and terms of an not any surface coating(s) or covers obscure Cabinets and Vanities and Components APO is a violation which is subject to the grain, textures, or markings of the wood, Thereof from the People’s Republic of China: sanction. whether or not they are ready for use or Antidumping Duty Order, 85 FR 22126 (April require final machining (e.g., endwork/dado, 21, 2020). Notification to Interested Parties hinge/strike machining, weatherstrip or Excluded from the scope of this application thereof, mitre) or packaging. investigation are all products covered by the This determination is issued and All wood mouldings and millwork scope of the antidumping duty order on published in accordance with sections products are included within the scope even Wooden Bedroom Furniture from the 735(d) and 777(i)(1) of the Act, and 19 if they are trimmed; cut-to-size; notched; People’s Republic of China. See Notice of CFR 351.210(c). punched; drilled; or have undergone other Amended Final Determination of Sales at Dated: December 28, 2020. forms of minor processing. Less Than Fair Value and Antidumping Duty Subject merchandise also includes wood Order: Wooden Bedroom Furniture from the Jeffrey I. Kessler, mouldings and millwork products that have People’s Republic of China, 70 FR 329 Assistant Secretary for Enforcement and been further processed in a third country, (January 4, 2005). Compliance. including but not limited to trimming, Imports of wood mouldings and millwork Appendix I—Scope of the Investigation cutting, notching, punching, drilling, coating, products are primarily entered under the or any other processing that would not following Harmonized Tariff Schedule of the The merchandise subject to this otherwise remove the merchandise from the United States (HTSUS) numbers: investigation consists of wood mouldings scope of this investigation if performed in the 4409.10.4010, 4409.10.4090, 4409.10.4500,

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4409.10.5000, 4409.22.4000, DC 20230; telephone: (202) 482–6905 or Electronic Service System (ACCESS). 4409.22.5000,4409.29.4100, and (202) 482–1537, respectively. ACCESS is available to registered users 4409.29.5100. Imports of wood mouldings SUPPLEMENTARY INFORMATION: at http://access.trade.gov. In addition, a and millwork products may also enter under complete version of the Issues and HTSUS numbers: Background 4409.10.6000,4409.10.6500, 4409.22.6000, Decision Memorandum can be accessed 4409.22.6500, 4409.29.6100, 4409.29.6600, On June 12, 2020, Commerce directly at http://enforcement.trade.gov/ 4418.20.4000, 4418.20.8030, 4418.20.8060, published in the Federal Register the frn/. The signed and electronic versions 4418.99.9095 and 4421.99.9780. While the Preliminary Determination.1 On August of the Issues and Decision HTSUS subheadings are provided for 20, 2020, Commerce published its Memorandum are identical in content. convenience and customs purposes, the Amended Preliminary Determination to written description of the scope of the revise the scope of the investigation.2 Period of Investigation investigation is dispositive. The selected mandatory respondents in The period of investigation (POI) is Appendix II—List of Topics Discussed this investigation are Fujian Yinfeng January 1, 2019 through December 31, in the Issues and Decision Imp & Exp Trading Co., Ltd. (Yinfeng) 2019. and Fujian Nanping Yuanqiao Wood- Memorandum Scope of the Investigation Industry Co., Ltd. (Yuanqiao). In the I. Summary Preliminary Determination, in The products covered by this II. Background accordance with section 705(a)(1) of the investigation are millwork products III. Application of Facts Available and Use of Tariff Act of 1930, as amended (the Act), from China. For a full description of the Adverse Inference and 19 CFR 351.210(b)(4), Commerce scope of this investigation, see IV. China-Wide Rate Appendix I. V. Separate Rates aligned the final countervailing duty VI. Adjustments for Countervailable Export (CVD) determination with the final Scope Comments Subsidies antidumping duty (AD) determination. VII. Changes From the Preliminary The revised deadline for the final On August 5, 2020, we issued a Determination determination of this investigation is Preliminary Scope Memorandum.5 VIII. Discussion of the Issues now December 28, 2020. On October 19, Several interested parties submitted Comment 1: Whether to Deny Yinfeng/ 2020, Commerce issued its Post- case and rebuttal briefs concerning the Mangrove a Separate Rate Preliminary Analysis.3 scope of this investigation. For a Comment 2: Whether to Deny Wuxi Boda A summary of the events that summary of the product coverage a Separate Rate occurred since Commerce published the comments and rebuttal comments Comment 3: Primary Surrogate Country submitted to the record for this final Selection Preliminary Determination, as well as a Comment 4: Surrogate Value Selection for full discussion of the issues raised by determination, and accompanying Laminated Veneer Lumber/Plywood/ parties for this final determination, may discussion and analysis of all comments Tray Material Inputs be found in the Issues and Decision timely received, see the Final Scope Comment 5: Domestic Subsidy Offset Memorandum which is hereby adopted Memorandum.6 Based on the comments IX. Recommendation by this notice.4 The Issues and Decision received from interested parties, we are [FR Doc. 2020–29104 Filed 12–31–20; 8:45 am] Memorandum is a public document and revising the scope of this investigation BILLING CODE 3510–DS–P is on file electronically via Enforcement as it appeared in the Amended and Compliance’s Antidumping and Preliminary Determination. The scope Countervailing Duty Centralized in Appendix I reflects these changes. DEPARTMENT OF COMMERCE Analysis of Subsidy Programs and 1 See Wood Mouldings and Millwork Products International Trade Administration from the People’s Republic of China: Preliminary Comments Received Affirmative Countervailing Duty Determination and The subsidy programs under [C–570–118] Alignment of Final Determination with Final Antidumping Duty Determination, 85 FR 35900 investigation and the issues raised in (June 12, 2020) (Preliminary Determination), and the case and rebuttal briefs by parties in Wood Mouldings and Millwork accompanying Preliminary Decision Memorandum. this investigation are discussed in the Products From the People’s Republic 2 See Wood Mouldings and Millwork Products Issues and Decision Memorandum. A of China: Final Affirmative from the People’s Republic of China: Amended list of the issues raised by parties, and Countervailing Duty Determination Preliminary Countervailing Duty Determination, 85 FR 51410 (August 20, 2020) (Amended Preliminary to which we responded in the Issues AGENCY: Enforcement and Compliance, Determination). and Decision Memorandum, is attached International Trade Administration, 3 See Memorandum, ‘‘Post-Preliminary Analysis to this notice at Appendix II. of the Countervailing Duty Investigation of Wood Department of Commerce. Mouldings and Millwork Products from the Methodology SUMMARY: The Department of Commerce People’s Republic of China,’’ dated October 19, Commerce conducted this (Commerce) determines that 2020; see also Memorandum, ‘‘Countervailing Duty Investigation of Wood Mouldings and Millwork investigation in accordance with section countervailable subsidies are being Products from the People’s Republic of China: 701 of the Act. For each of the subsidy provided to producers and exporters of Preliminary Creditworthiness Determination for programs found countervailable, wood mouldings and millwork products Fujian Province Youxi City Mangrove Wood Commerce determines that there is a (millwork products) from the People’s Machining Co., Ltd.,’’ dated October 19, 2020; and Memorandum, ‘‘Countervailing Duty Investigation Republic of China (China). of Wood Mouldings and Millwork Products from 5 See Memorandum, ‘‘Wood Mouldings and DATES: Applicable January 4, 2021. the People’s Republic of China: Post-Prelim Millwork Products from Brazil and the People’s Calculations for Fujian Yinfeng Imp & Exp Trading Republic of China: Preliminary Scope Decision FOR FURTHER INFORMATION CONTACT: Co., Ltd.,’’ dated October 19, 2020. Memorandum,’’ dated August 5, 2020 (Preliminary Irene Gorelik or Faris Montgomery, AD/ 4 See Memorandum, ‘‘Issues and Decision Scope Memorandum). CVD Operations, Office VIII, Memorandum for the Final Affirmative 6 See Memorandum, ‘‘Wood Mouldings and Enforcement and Compliance, Determination of the Countervailing Duty Millwork Products from Brazil and the People’s Investigation of Wood Mouldings and Millwork Republic of China: Scope Comments Decision International Trade Administration, Products from the People’s Republic of China,’’ Memorandum for the Final Determinations,’’ dated U.S. Department of Commerce, 1401 dated concurrently with, and hereby adopted, by concurrently with, and hereby adopted by, this Constitution Avenue NW, Washington, this notice (Issues and Decision Memorandum). notice (Final Scope Memorandum).

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subsidy, i.e., a financial contribution by individual examination which failed to Federal Register. In the Amended an ‘‘authority’’ that gives rise to a participate on this investigation. Preliminary Determination, we revised benefit to the recipient, and that the Section 705(c)(5)(A) of the Act the scope of the investigation, notifying subsidy is specific.7 For a full provides that in the final determination, parties that because certain products description of the methodology Commerce shall determine an estimated were henceforth excluded from the underlying our final determination, see all-others rate for companies not scope of the investigation, Commerce the Issues and Decision Memorandum. individually examined. This rate shall instructed CBP to terminate suspension In making this final determination, be an amount equal to the weighted of liquidation of those excluded Commerce relied, in part, on facts average of the estimated subsidy rates products, and to refund any cash available pursuant to section 776(a) of established for those companies deposits previously posted with respect the Act. Additionally, as discussed in individually examined, excluding any to them.10 However, we did not revise the Issues and Decision Memorandum, zero and de minimis rates and any rates the estimated cash deposit rates because one or more respondents did based entirely under section 776 of the published in the Preliminary not act to the best of their ability in Act. Determination. responding to our requests for In this investigation, Commerce In accordance with section 703(d) of information, we drew adverse assigned a rate based entirely on facts the Act, effective October 10, 2020, we inferences, where appropriate, in available for Yuanqiao. Therefore, the instructed CBP to discontinue the selecting from among the facts only rate that is not zero, de minimis or suspension of liquidation of all entries otherwise available, pursuant to section based entirely on facts otherwise at that time, but to continue the 776(b) of the Act. For further available is the rate calculated for suspension of liquidation of all entries information, see the section ‘‘Use of Yinfeng. Consequently, we assigned the between June 12, 2020 and October 9, Facts Otherwise Available and Adverse rate calculated for Yinfeng as the all- 2020. Inferences’’ in the accompanying Issues others rate applicable to producers and If the U.S. International Trade and Decision Memorandum. exporters not individually examined. Commission (ITC) issues a final Commerce determines that the affirmative injury determination, we Verification following estimated countervailable will issue a CVD order, reinstate the Commerce normally verifies subsidy rates exist: suspension of liquidation and require a information relied upon in making its cash deposit of estimated CVDs for such final determination, pursuant to section Subsidy rate entries of subject merchandise in the Company (percent) 782(i)(1) of the Act. However, during the amounts indicated above, in accordance course of this investigation, Commerce Fujian Yinfeng Imp & Exp with section 706(a) of the Act. If the ITC was unable to conduct on-site Trading Co., Ltd.9 ...... 20.56 determines that material injury, or verification due to travel restrictions.8 Fujian Nanping Yuanqiao threat of material injury, does not exist, Consistent with section 776(a)(2)(D) of Wood Industry Co., Ltd ..... 252.29 this proceeding will be terminated, and the Act, Commerce relied on the All Others ...... 20.56 all estimated duties deposited or information submitted on the record, securities posted as a result of the where appropriate, which we used in Disclosure suspension of liquidation will be making our Preliminary Determination, Commerce intends to disclose to refunded or canceled. as facts available in making our final interested parties the calculations and International Trade Commission determination. analysis performed in this final Notification determination within five days of any Changes Since the Preliminary In accordance with section 705(d) of Determination public announcement or, if there is no public announcement, within five days the Act, we will notify the ITC of our Based on our review and analysis of of the date of the publication of this affirmative determination that the comments received from parties, we notice in accordance with 19 CFR countervailable subsidies are being made certain changes to Yinfeng’s 351.224(b). provided to producers and exporters of subsidy rate calculations. For a millwork products from China. We will discussion of these changes, see the Continuation of Suspension of allow the ITC access to all privileged Issues and Decision Memorandum. Liquidation and business proprietary information in our files, provided the ITC confirms that Final Determination As a result of our Preliminary Determination and pursuant to section it will not disclose such information, In accordance with section 703(d)(1)(B) and (d)(2) of the Act, we either publicly or under an 705(c)(l)(B)(i) of the Act, we calculated instructed U.S. Customs and Border administrative protective order (APO), a rate for Yinfeng, a producer/exporter Protection (CBP) to suspend liquidation without the written consent of the of subject merchandise selected for of entries of subject merchandise as Assistant Secretary for Enforcement and individual examination in this described in the ‘‘Scope of the Compliance. Because the final investigation. Commerce assigned rates Investigation’’ section entered, or determination in this proceeding is based entirely on facts otherwise withdrawn from warehouse, for affirmative, in accordance with section available with adverse inferences consumption, effective June 12, 2020, 705(b) of the Act, the ITC will make its pursuant to section 776 of the Act to which is the date of publication of the final determination as to whether the Yuanqiao, a producer/exporter of Preliminary Determination in the domestic industry in the United States subject merchandise selected for is materially injured, or threatened with 9 As discussed in the Preliminary Determination, material injury, by reason of imports of 7 See sections 771(5)(B) and (D) of the Act Commerce found that Yinfeng Fujian Province millwork products from China no later regarding financial contribution; section 771(5)(E) Youxi City Mangrove Wood Machining Co., Ltd. than 45 days after our final of the Act regarding benefit; and section 771(5A) of and Fujian Province Youxi City Mangrove Wood the Act regarding specificity. Machining Co., Ltd., Xicheng Branch are cross- determination. If the ITC determines 8 See Memorandum, ‘‘Cancellation of Verification owned affiliates of mandatory respondent Yinfeng. and Establishment of the Briefing Schedule,’’ dated See Preliminary Determination, 85 FR at 35901, 10 See Amended Preliminary Determination, 85 October 23, 2020. unchanged in the final determination. FR at 51410.

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that material injury or threat of material The merchandise subject to this sides’’ (S4S) and/or ‘‘surface 1 side, 2 edges’’ injury does not exist, this proceeding investigation consists of wood, LVL, bamboo, (SlS2E) stock (also called boards) that are will be terminated and all cash deposits or a combination of wood and composite finger-jointed and/or edge-glued, or to finger- will be refunded. If the ITC determines materials that is continuously shaped jointed and/or edge-glued moulding or throughout its length (with the exception of that such injury does exist, Commerce millwork blanks (whether or not resawn). any endwork/dados), profiled wood having a Accordingly, S4S and S1S2E stock/boards will issue a CVD order directing CBP to repetitive design in relief, similar milled that are not finger-jointed or edge-glued are assess, upon further instruction by wood architectural accessories, such as excluded from the scope of this investigation. Commerce, CVDs on all imports of the rosettes and plinth blocks, and finger-jointed Excluded from the scope of this subject merchandise that are entered, or or edge-glued moulding or millwork blanks investigation are all products covered by the withdrawn from warehouse, for (whether or not resawn). The scope includes scope of the countervailing duty order on consumption on or after the effective continuously shaped wood in the forms of Hardwood Plywood from the People’s date of the suspension of liquidation, as dowels, building components such as interior Republic of China. See Certain Hardwood paneling and jamb parts, and door Plywood Products from the People’s Republic discussed above in the ‘‘Continuation of components such as rails, stiles, interior and Suspension of Liquidation’’ section. of China: Countervailing Duty Order, 83 FR exterior door frames or jambs (including 513 (January 4, 2018). Notification Regarding Administrative split, flat, stop applied, single- or double- Excluded from the scope of this rabbeted), frame or jamb kits, and packaged Protective Orders investigation are all products covered by the door frame trim or casing sets, whether or not scope of the countervailing duty order on In the event that the ITC issues a final the door components are imported as part of Multilayered Wood Flooring from the a door kit or set. People’s Republic of China. See Multilayered negative injury determination, this The covered products may be solid wood, Wood Flooring from the People’s Republic of notice will serve as the only reminder laminated, finger-jointed, edge-glued, face- China: Countervailing Duty Order, 76 FR to parties subject to an APO of their glued, or otherwise joined in the production 76693 (December 8, 2011). responsibility concerning the or remanufacturing process and are covered Excluded from the scope of this destruction of proprietary information by the scope whether imported raw, coated investigation are all products covered by the (e.g., gesso, polymer, or plastic), primed, disclosed under APO in accordance scope of the countervailing duty order on painted, stained, wrapped (paper or vinyl with 19 CFR 351.305(a)(3). Timely Wooden Cabinets and Vanities from the overlay), any combination of the written notification of the return/ People’s Republic of China. See Wooden aforementioned surface coatings, treated, or destruction of APO materials or Cabinets and Vanities and Components which incorporate rot-resistant elements Thereof from the People’s Republic of China: conversion to judicial protective order is (whether wood or composite). The covered Countervailing Duty Order, 85 FR 22134 hereby requested. Failure to comply products are covered by the scope whether or (April 21, 2020). with the regulations and terms of an not any surface coating(s) or covers obscure Imports of wood mouldings and millwork APO is a violation which is subject to the grain, textures, or markings of the wood, products are primarily entered under the sanction. whether or not they are ready for use or following Harmonized Tariff Schedule of the require final machining (e.g., endwork/dado, United States (HTSUS) numbers: Notification to Interested Parties hinge/strike machining, weatherstrip or 4409.10.4010, 4409.10.4090, 4409.10.4500, application thereof, mitre) or packaging. 4409.10.5000, 4409.22.4000, This determination is issued and All wood mouldings and millwork 4409.22.5000,4409.29.4100, and published pursuant to sections 705(d) products are included within the scope even 4409.29.5100. Imports of wood mouldings and 777(i) of the Act and 19 CFR if they are trimmed; cut-to-size; notched; and millwork products may also enter under 351.210(c). punched; drilled; or have undergone other HTSUS numbers: forms of minor processing. Dated: December 28, 2020. 4409.10.6000,4409.10.6500, 4409.22.6000, Subject merchandise also includes wood 4409.22.6500, 4409.29.6100, 4409.29.6600, Jeffrey I. Kessler, mouldings and millwork products that have 4418.20.4000, 4418.20.8030, 4418.20.8060, Assistant Secretary for Enforcement and been further processed in a third country, 4418.99.9095 and 4421.99.9780. While the Compliance. including but not limited to trimming, HTSUS subheadings are provided for cutting, notching, punching, drilling, coating, Appendix I—Scope of the Investigation convenience and customs purposes, the or any other processing that would not written description of the scope of the The merchandise subject to this otherwise remove the merchandise from the investigation is dispositive. investigation consists of wood mouldings scope of this investigation if performed in the and millwork products that are made of country of manufacture of the in-scope Appendix II—List of Topics Discussed wood (regardless of wood species), bamboo, product. in the Issues and Decision laminated veneer lumber (LVL), or of wood Excluded from the scope of this Memorandum and composite materials (where the investigation are countertop/butcherblocks composite materials make up less than 50 imported as a full countertop/butcherblock I. Summary percent of the total merchandise), and which panel, exterior fencing, exterior decking and II. Background are continuously shaped wood or finger- exterior siding products (including solid III. Use of Facts Otherwise Available and jointed or edge-glued moulding or millwork wood siding, non-wood siding (e.g., Adverse Inferences blanks (whether or not resawn). The composite or cement), and shingles) that are IV. Subsidies Valuation merchandise subject to this investigation can not LVL or finger jointed; finished and V. Analysis of Programs be continuously shaped along any of its unfinished doors; flooring; parts of stair steps VI. Analysis of Comments edges, ends, or faces. (including newel posts, balusters, easing, Comment 1: Calculation of the All-Others The percentage of composite materials gooseneck, risers, treads, rail fittings and stair Rate contained in a wood moulding or millwork stringers); picture frame components three Comment 2: Whether To Continue To product is measured by length, except when feet and under in individual lengths; and Apply Adverse Facts Available (AFA) to the composite material is a coating or lumber whether solid, finger-jointed, or edge- the Export Buyer’s Credit (EBC) Program cladding. Wood mouldings and millwork glued. To be excluded from the scope, finger- Comment 3: Whether the Provision of products that are coated or clad, even along jointed or edge-glued lumber must have a Electricity for Less Than Adequate their entire length, with a composite nominal thickness of 1.5 inches or greater Remuneration (LTAR) Is Countervailable material, but that are otherwise comprised of and a certification stamp from an American Comment 4: Calculation of the Electricity wood, LVL, or wood and composite materials Lumber Standard Committee-certified for LTAR Benefit (where the non-coating composite materials grading agency. The exclusion for lumber Comment 5: Whether Individual-Owned make up 50 percent or less of the total whether solid, finger-jointed, or edge-glued Sawn Wood and Plywood Input merchandise) are covered by the scope. does not apply to screen/‘‘surfaced on 4 Suppliers Are Government Authorities

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Comment 6: Whether Commerce Should Enforcement and Compliance, determination in this investigation. Countervail Imported Sawn Wood International Trade Administration, However, we took additional steps in Purchased From Domestic Trading U.S. Department of Commerce, 1401 lieu of an on-site verification to verify Companies Comment 7: Whether the Provision of Constitution Avenue NW, Washington, the information relied upon in making Primer, Including Gesso, for LTAR DC 20230; telephone: (202) 482–2623 or this final determination, in accordance Program Was Unlawfully Expanded (202) 482–0783, respectively. with section 782(i) of the Tariff Act of Comment 8: Whether Zeroing of Negative SUPPLEMENTARY INFORMATION: 1930, as amended (the Act).5 LTAR Benefits Must Be Eliminated Comment 9: Whether To Include Land Background Analysis of Comments Received Purchased From an Individual in the On August 12, 2020, Commerce All issues raised in the case and Benefits Calculation published the Preliminary Comment 10: Provision of Land-Use Rights rebuttal briefs that were submitted by for LTAR Benchmarks Determination in the LTFV investigation parties in this investigation are Comment 11: Adjustment to Ocean Freight of millwork products from Brazil.1 For addressed in the Issues and Decision Data a complete description of the events that Memorandum. For a list of the issues Comment 12: Calculation of Mangrove’s followed the Preliminary Determination, raised by interested parties and Creditworthiness see the Issues and Decision addressed in the Issues and Decision Comment 13: Benchmark Data Memorandum.2 VII. Recommendation Memorandum, see Appendix II to this Scope of the Investigation notice. The Issues and Decision [FR Doc. 2020–29105 Filed 12–31–20; 8:45 am] Memorandum is a public document and BILLING CODE 3510–DS–P The products covered by this is made available to the public via investigation are millwork products Enforcement and Compliance’s from Brazil. For a complete description Antidumping and Countervailing Duty DEPARTMENT OF COMMERCE of the scope of this investigation, see Centralized Electronic Service System Appendix I. International Trade Administration (ACCESS). ACCESS is available to Scope Comments registered users at http:// [A–351–853] access.trade.gov. In addition, a complete On August 5, 2020, we issued a version of the Issues and Decision Wood Mouldings and Millwork Preliminary Scope Memorandum.3 Memorandum can be accessed directly Products From Brazil: Final Negative Several interested parties submitted at http://enforcement.trade.gov/frn/ Determination of Sales at Less Than case and rebuttal briefs concerning the index.html. The signed and electronic Fair Value scope of this investigation. For a versions of the Issues and Decision summary of the product coverage AGENCY: Enforcement and Compliance, Memorandum are identical in content. comments and rebuttal comments International Trade Administration, submitted to the record for this final Changes Since the Preliminary Department of Commerce. determination, and accompanying Determination SUMMARY: The Department of Commerce discussion and analysis of all comments (Commerce) determines that imports of timely received, see the Final Scope Based on our review and analysis of wood mouldings and millwork products Memorandum.4 Based on the comments the comments received from interested (millwork products) from Brazil are not received from interested parties, we are parties, we made certain changes to the being, or are not likely to be, sold in the revising the scope of this investigation margin calculations for Araupel S.A./ United States at less than fair value as it appeared in the Preliminary Braslumber Industria de Molduras (LTFV). The period of investigation Determination. The scope in Appendix Ltda./BrasPine Madeiras Ltda. For a (POI) is January 1, 2019 through I reflects these changes. discussion of these changes, see the December 31, 2019. Issues and Decision Memorandum. DATES: Verification Applicable January 4, 2021. Final Determination FOR FURTHER INFORMATION CONTACT: Commerce was unable to conduct on- George Ayache or Suzanne Lam, AD/ site verification of the information The final estimated weighted-average CVD Operations, Office VIII, relied upon in making its final dumping margin is as follows:

Estimated weighted- average Exporter/producer dumping margin (percent)

Araupel S.A./Braslumber Industria de Molduras Ltda./BrasPine Madeiras Ltda.6 ...... 0.00

1 See Wood Mouldings and Millwork Products Republic of China: Preliminary Scope Decision October 22, 2020; and Braslumber Industria de from Brazil: Preliminary Negative Determination of Memorandum,’’ dated August 5, 2020 (Preliminary Molduras Ltda. and Braspine Madeiras Ltda.’s Sales at Less Than Fair Value and Postponement Scope Memorandum). Letter, ‘‘Antidumping Duties on Imports of Wood of Final Determination, 85 FR 48667 (August 12, 4 See Memorandum, ‘‘Wood Mouldings and Mouldings and Millwork Products from Brazil: 2020) (Preliminary Determination), and Millwork Products from Brazil and the People’s BrasPine/Braslumber’s Response to the accompanying Preliminary Decision Memorandum. Republic of China: Scope Comments Decision Department’s Questionnaire in Lieu of 2 See Memorandum, ‘‘Issues and Decision Memorandum for the Final Determinations,’’ dated Memorandum for the Final Negative Determination concurrently with, and hereby adopted by, this Verification,’’ dated October 22, 2020. in the Less-Than-Fair-Value Investigation of Wood notice (Final Scope Memorandum). 6 Commerce determines that Araupel S.A., Mouldings and Millwork Products from Brazil,’’ 5 See Commerce’s Letters with attached Braslumber Industria de Molduras Ltda., and dated concurrently with, and hereby adopted by, questionnaire in lieu of verification, dated October Braspine Madeiras Ltda. are a single entity. See this notice (Issues and Decision Memorandum). 14, 2020; see also Araupel S.A.’s Letter, ‘‘Wood Issues and Decision Memorandum. 3 See Memorandum, ‘‘Wood Mouldings and Mouldings and Millwork Products from Brazil: Millwork Products from Brazil and the People’s Verification Questionnaire Response,’’ dated

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Because the weighted-average Notification to Interested Parties hinge/strike machining, weatherstrip or dumping margin is zero, we determine application thereof, mitre) or packaging. This determination is issued and All wood mouldings and millwork that millwork products from Brazil are published in accordance with sections not being, or are not likely to be, sold products are included within the scope even 735(d) and 777(i)(1) of the Act, and 19 if they are trimmed; cut-to-size; notched; in the United States at LTFV. Commerce CFR 351.210(c). punched; drilled; or have undergone other has not calculated an estimated Dated: December 28, 2020. forms of minor processing. weighted-average dumping margin for Subject merchandise also includes wood all other producers and exporters Jeffrey I. Kessler, mouldings and millwork products that have pursuant to sections 735(c)(1)(B) and Assistant Secretary, for Enforcement and been further processed in a third country, (c)(5) of the Act because it has not made Compliance. including but not limited to trimming, cutting, notching, punching, drilling, coating, a final affirmative determination of sales Appendix I—Scope of the Investigation at LTFV. or any other processing that would not The merchandise subject to this otherwise remove the merchandise from the Disclosure investigation consists of wood mouldings scope of this investigation if performed in the and millwork products that are made of country of manufacture of the in-scope We intend to disclose to parties in wood (regardless of wood species), bamboo, product. this proceeding the calculations laminated veneer lumber (LVL), or of wood Excluded from the scope of this performed for this final determination and composite materials (where the investigation are countertop/butcherblocks imported as a full countertop/butcherblock within five days of the date of composite materials make up less than 50 percent of the total merchandise), and which panel, exterior fencing, exterior decking and publication of this notice, in accordance are continuously shaped wood or finger- exterior siding products (including solid with 19 CFR 351.224(b). jointed or edge-glued moulding or millwork wood siding, non-wood siding (e.g., composite or cement), and shingles) that are Suspension of Liquidation blanks (whether or not resawn). The merchandise subject to this investigation can not LVL or finger jointed; finished and In the Preliminary Determination, the be continuously shaped along any of its unfinished doors; flooring; parts of stair steps (including newel posts, balusters, easing, weighted-average dumping margin for edges, ends, or faces. The percentage of composite materials gooseneck, risers, treads, rail fittings and stair Araupel S.A./Braslumber Industria de contained in a wood moulding or millwork stringers); picture frame components three Molduras Ltda./BrasPine Madeiras Ltda. product is measured by length, except when feet and under in individual lengths; and was zero and, therefore, we did not the composite material is a coating or lumber whether solid, finger-jointed, or edge- suspend liquidation of entries of cladding. Wood mouldings and millwork glued. To be excluded from the scope, finger- millwork products from Brazil.7 products that are coated or clad, even along jointed or edge-glued lumber must have a Because Commerce has made a final their entire length, with a composite nominal thickness of 1.5 inches or greater negative determination of sales at LTFV material, but that are otherwise comprised of and a certification stamp from an American wood, LVL, or wood and composite materials Lumber Standard Committee-certified with regard to the subject merchandise, grading agency. The exclusion for lumber Commerce will not direct U.S. Customs (where the non-coating composite materials make up 50 percent or less of the total whether solid, finger-jointed, or edge-glued and Border Protection to suspend merchandise) are covered by the scope. does not apply to screen/‘‘surfaced on 4 liquidation or to require a cash deposit The merchandise subject to this sides’’ (S4S) and/or ‘‘surface 1 side, 2 edges’’ of estimated antidumping duties for investigation consists of wood, LVL, bamboo, (SlS2E) stock (also called boards) that are entries of millwork products from or a combination of wood and composite finger-jointed and/or edge-glued, or to finger- Brazil. materials that is continuously shaped jointed and/or edge-glued moulding or throughout its length (with the exception of millwork blanks (whether or not resawn). International Trade Commission any endwork/dados), profiled wood having a Accordingly, S4S and S1S2E stock/boards Notification repetitive design in relief, similar milled that are not finger-jointed or edge-glued are wood architectural accessories, such as excluded from the scope of this investigation. In accordance with section 735(d) of rosettes and plinth blocks, and finger-jointed Imports of wood mouldings and millwork the Act, we will notify the International or edge-glued moulding or millwork blanks products are primarily entered under the Trade Commission of our final (whether or not resawn). The scope includes following Harmonized Tariff Schedule of the determination. As our final continuously shaped wood in the forms of United States (HTSUS) numbers: 4409.10.4010, 4409.10.4090, 4409.10.4500, determination is negative, this dowels, building components such as interior paneling and jamb parts, and door 4409.10.5000, 4409.22.4000, proceeding is terminated in accordance 4409.22.5000,4409.29.4100, and with section 735(c)(2) of the Act. components such as rails, stiles, interior and exterior door frames or jambs (including 4409.29.5100. Imports of wood mouldings split, flat, stop applied, single—or double- and millwork products may also enter under Notification Regarding Administrative HTSUS numbers: Protective Orders rabbeted), frame or jamb kits, and packaged door frame trim or casing sets, whether or not 4409.10.6000,4409.10.6500, 4409.22.6000, 4409.22.6500, 4409.29.6100, 4409.29.6600, the door components are imported as part of This notice will serve as a reminder 4418.20.4000, 4418.20.8030, 4418.20.8060, a door kit or set. to the parties subject to administrative 4418.99.9095 and 4421.99.9780. While the The covered products may be solid wood, protective order (APO) of their HTSUS subheadings are provided for laminated, finger-jointed, edge-glued, face- convenience and customs purposes, the responsibility concerning the glued, or otherwise joined in the production written description of the scope of the disposition of proprietary information or remanufacturing process and are covered investigation is dispositive. disclosed under APO in accordance by the scope whether imported raw, coated with 19 CFR 351.305(a)(3). Timely (e.g., gesso, polymer, or plastic), primed, Appendix II—List of Topics Discussed written notification of return or painted, stained, wrapped (paper or vinyl in the Issues and Decision destruction of APO materials or overlay), any combination of the Memorandum conversion to judicial protective order is aforementioned surface coatings, treated, or hereby requested. Failure to comply which incorporate rot-resistant elements I. Summary with the regulations and terms of an (whether wood or composite). The covered II. Background products are covered by the scope whether or III. Changes From the Preliminary APO is a violation which is subject to not any surface coating(s) or covers obscure Determination sanction. the grain, textures, or markings of the wood, IV. Discussion of the Issues whether or not they are ready for use or Comment 1: Whether Commerce Should 7 See Preliminary Determination, 85 FR at 48667. require final machining (e.g., endwork/dado, Treat All Three Mandatory Respondents

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as Affiliates and Collapse Them Into a FOR FURTHER INFORMATION CONTACT: Ian Scope of the Orders Single Entity Hamilton, AD/CVD Operations, Office The scope of the orders includes all Comment 2: Whether Commerce Should II, or Zachary Shaykin, AD/CVD Revise Its CV Profit Calculation grades and granulation sizes of citric Comment 3: Whether Araupel’s Log Operations, Office IV, Enforcement and acid, sodium citrate, and potassium Valuations Are Inaccurate and Do Not Compliance, International Trade citrate in their unblended forms, Reflect an Accurate Market Price Administration, U.S. Department of whether dry or in solution, and Comment 4: Whether Commerce Should Commerce, 1401 Constitution Avenue regardless of packaging type. The scope Recalculate the Fair Value Adjustment NW, Washington, DC 20230; telephone: also includes blends of citric acid, for Araupel’s Costs for Biological Assets (202) 482–4798 and (202) 482–2638, sodium citrate, and potassium citrate; as Consumed during the POI respectively. well as blends with other ingredients, Comment 5: Whether Commerce such as sugar, where the unblended Incorrectly Decreased Araupel’s Costs for SUPPLEMENTARY INFORMATION: Biological Assets Not Consumed during form(s) of citric acid, sodium citrate, the POI Background and potassium citrate constitute 40 Comment 6: Whether Commerce Should percent or more, by weight, of the blend. Apply the Major Input Rule to Araupel’s On May 29, 2009, Commerce The scope of the order also includes all Log Purchases published in the Federal Register a forms of crude calcium citrate, Comment 7: Whether Unreconciled Costs notice of the AD and CVD orders on including dicalcium citrate Should Be Allocated to Production Costs monohydrate, and tricalcium citrate Comment 8: Whether Araupel’s Non-Prime citric acid and certain citrate salts from 1 tetrahydrate, which are intermediate Merchandise Should Be Assigned Full China. On May 1, 2020, Commerce Production Costs initiated,2 and the ITC instituted,3 the products in the production of citric Comment 9: Whether Commerce Should second sunset review of the Orders, acid, sodium citrate, and potassium Use the Federal Reserve’s Small Business pursuant to section 751(c) of the Tariff citrate. The scope of the order does not Lending Survey Short-Term Interest Rate Act of 1930, as amended (the Act). include calcium citrate that satisfies the To Calculate Araupel’s Credit Expenses standards set forth in the United States Comment 10: Whether Commerce Should As a result of its reviews, Commerce Pharmacopeia and has been mixed with Use the Earlier of the Shipment Date or determined, pursuant to sections a functional excipient, such as dextrose Commercial Invoice as Braslumber/ 751(c)(1) and 752(c) of the Act, that or starch, where the excipient BrasPine’s Date of Sale revocation of the Orders would likely constitutes at least 2 percent, by weight, Comment 11: Whether the Date of Sale lead to continuation or recurrence of of the product. The scope of the order Should Be Consistent Between the dumping and countervailable subsidies. Mandatory Respondents includes the hydrous and anhydrous Comment 12: Whether Commerce Should Commerce therefore notified the ITC of forms of citric acid, the dihydrate and Include Araupel’s Reported Other the magnitude of the margins of anhydrous forms of sodium citrate, Revenue dumping and subsidy rates likely to otherwise known as citric acid sodium V. Recommendation prevail should these Orders be salt, and the monohydrate and [FR Doc. 2020–29103 Filed 12–31–20; 8:45 am] revoked.4 On December 21, 2020, the monopotassium forms of potassium BILLING CODE 3510–DS–P ITC published its determination that citrate. Sodium citrate also includes revocation of the Orders would likely both trisodium citrate and monosodium lead to a continuation or recurrence of citrate, which are also known as citric DEPARTMENT OF COMMERCE material injury to an industry in the acid trisodium salt and citric acid United States within a reasonably monosodium salt, respectively. Citric International Trade Administration foreseeable time, pursuant to sections acid and sodium citrate are classifiable 751(c) and 752(a) of the Act.5 under 2918.14.0000 and 2918.15.1000 of [A–570–937, C–570–938] the Harmonized Tariff Schedule of the 1 United States (HTSUS), respectively. Citric Acid and Certain Citrate Salts See Citric Acid and Certain Citrate Salts from Canada and the People’s Republic of China: Potassium citrate and crude calcium From the People’s Republic of China: Antidumping Duty Orders, 74 FR 25703 (May 29, citrate are classifiable under Continuation of Antidumping Duty and 2009); see also Citric Acid and Certain Citrate Salts 2918.15.5000 and 3824.90.9290 of the Countervailing Duty Orders from the People’s Republic of China: Notice of Countervailing Duty Order, 74 FR 25705 (May 29, HTSUS, respectively. Blends that AGENCY: Enforcement and Compliance, 2009) (collectively, Orders). include citric acid, sodium citrate, and International Trade Administration, 2 See Initiation of Five-Year (Sunset) Reviews, 85 potassium citrate are classifiable under FR 25386 (May 1, 2020). Department of Commerce. 3824.90.9290 of the HTSUS. Although 3 See Citric Acid and Certain Citrate Salts from the HTSUS subheadings are provided SUMMARY: As a result of the Canada and China; Institution of Five-Year for convenience and customs purposes, determinations by the Department of Reviews, 85 FR 25475 (May 1, 2020). 4 our written description of the scope is Commerce (Commerce) and the U.S. See Citric Acid and Certain Citrate Salts from the People’s Republic of China: Final Results of dispositive. International Trade Commission (ITC) Second Expedited Sunset Review of Antidumping that revocation of the antidumping (AD) Duty Order, 85 FR 50009 (August 17, 2020), and Continuation of the Orders accompanying Issues and Decision Memorandum; and countervailing duty (CVD) orders As a result of the determinations by on citric acid and certain citrate salts see also Citric Acid and Certain Citrate Salts from the People’s Republic of China: Final Results of the Commerce and the ITC that revocation from the People’s Republic of China Expedited Second Five-Year Sunset Review of the of the Orders would likely lead to a (China) would likely lead to a Countervailing Duty Order, 85 FR 54536 (September continuation or recurrence of dumping, 2, 2020), and accompanying Issues and Decision continuation or recurrence of dumping, countervailable subsidies and material countervailable subsidies, and material Memorandum. 5 injury to an industry in the United injury to an industry in the United See Citric Acid and Certain Citrate Salts from China (Inv. Nos. 701–TA–456 and 731–TA–1152 States, pursuant to section 751(d)(2) of States, Commerce is publishing a notice (Second Review)), 85 FR 84371 (December 28, the Act and 19 CFR 351.218(a), of continuation of the AD and CVD 2020); see also Citric Acid and Certain Citrate Salts Commerce hereby orders the orders. from China (Inv. Nos. 701–TA–456 and 731–TA– 1152 (Second Review)), USITC Pub. 5147 continuation of the Orders. U.S. DATES: Applicable January 4, 2021. (December 2020). Customs and Border Protection will

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continue to collect AD and CVD cash input to the U.S. Commissioners to the is to be represented on the Commission deposits at the rates in effect at the time Western and Central Pacific Fisheries by five U.S. Commissioners, appointed of entry for all imports of subject Commission (Commission) regarding by the President. merchandise. the deliberations and decisions of the Permanent Advisory Committee The effective date of the continuation Commission. The Act (16 U.S.C. 6902) provides (in of the Orders will be the date of DATES: Nominations must be received section 6902(d)) that the Secretary of publication in the Federal Register of no later than February 18, 2021. this notice of continuation. Pursuant to Commerce, in consultation with the Nominations received after the deadline U.S. Commissioners to the Commission, section 751(c)(2) of the Act and 19 CFR will not be accepted. 351.218(c)(2), Commerce intends to will appoint individuals as members of ADDRESSES: Nominations should be initiate the next five-year (sunset) the advisory committee established directed to Michael Tosatto, Regional reviews of these Orders not later than 30 under the Act, referred to here as the Administrator, NMFS Pacific Islands days prior to the fifth anniversary of the ‘‘Permanent Advisory Committee’’. Regional Office, and may be submitted effective date of continuation. The appointed members of the by any of the following means: Permanent Advisory Committee are to • Administrative Protective Order (APO) Email: [email protected]. Include include not less than 15 nor more than This notice also serves as the only in the subject line the following 20 individuals selected from the various reminder to parties subject to APO of document identifier: ‘‘Permanent groups concerned with the fisheries their responsibility concerning the Advisory Committee nominations’’. covered by the Convention, providing, return, destruction, or conversion to Email comments, including to the extent practicable, an equitable attachments, are limited to 5 megabytes. judicial protective order of proprietary • balance among such groups. On behalf information disclosed under APO in Mail or hand delivery: 1845 Wasp of the Secretary of Commerce, NMFS is accordance with 19 CFR 351.305(a)(3). Boulevard, Bldg 176, Honolulu, HI now seeking nominations for these Failure to comply is a violation of the 96818. appointments. • Facsimile: 808–725–5215. APO which may be subject to sanctions. In addition to the 15–20 appointed FOR FURTHER INFORMATION CONTACT: members, the Permanent Advisory Notification to Interested Parties Emily Reynolds, NMFS Pacific Islands Committee includes the chair of the These five-year sunset reviews and Regional Office; telephone: 808–725– Western Pacific Fishery Management this notice are in accordance with 5039; facsimile: 808–725–5215; email: Council’s Advisory Committee (or section 751(c) of the Act and published [email protected]. designee), and officials of the fisheries pursuant to section 777(i)(1) of the Act SUPPLEMENTARY INFORMATION: management authorities of American and 19 CFR 351.218(f)(4). The Convention and the Commission Samoa, Guam, and the Commonwealth Dated: December 28, 2020. of the Northern Mariana Islands (or their The objective of the Convention is to Jeffrey I. Kessler, designees). ensure, through effective management, Members of the Permanent Advisory Assistant Secretary for Enforcement and the long-term conservation and Compliance. Committee will be invited to attend all sustainable use of highly migratory fish non-executive meetings of the U.S. [FR Doc. 2020–29114 Filed 12–31–20; 8:45 am] stocks in the western and central Pacific Commissioners to the Commission and BILLING CODE 3510–DS–P Ocean in accordance with the United at such meetings will be given Nations Convention on the Law of the opportunity to examine and be heard on Sea of 10 December 1982 (UNCLOS) and DEPARTMENT OF COMMERCE all proposed programs of investigation, the Agreement for the Implementation reports, recommendations, and National Oceanic and Atmospheric of the Provisions of the UNCLOS regulations of the Commission. Administration Relating to the Conservation and Each appointed member of the Management of Straddling Fish Stocks Permanent Advisory Committee will [RTID 0648–XA715] and Highly Migratory Fish Stocks. The serve for a term of 2 years and is eligible Convention establishes the Commission, Nominations for the Western and for reappointment. This request for the secretariat of which is based in Central Pacific Fisheries Commission nominations is for the term to begin on Pohnpei, Federated States of Permanent Advisory Committee August 3, 2021, and is for a term of 2 Micronesia. consecutive years. AGENCY: National Marine Fisheries The Convention applies to all highly The Secretaries of Commerce and Service (NMFS), National Oceanic and migratory fish stocks (defined as all fish State will furnish the Permanent Atmospheric Administration (NOAA), stocks of the species listed in Annex I Advisory Committee with relevant Commerce. of the UNCLOS occurring in the information concerning fisheries and ACTION: Notice of request for Convention Area, and such other international fishery agreements. nominations. species of fish as the Commission may NMFS, on behalf of the Secretary of determine), except sauries. Commerce, will provide to the SUMMARY: NMFS, on behalf of the The United States actively supported Permanent Advisory Committee Secretary of Commerce, is seeking the negotiations and the development of administrative and technical support nominations for the advisory committee the Convention and signed the services as are necessary for its effective established under the Western and Convention when it was opened for functioning. Central Pacific Fisheries Convention signature in 2000. It participated as a Appointed members of the Permanent Implementation Act (Act). The cooperating non-member of the Advisory Committee will serve without Permanent Advisory Committee, Commission since it became operational pay, but while away from their homes composed of individuals from groups in 2005. The United States became a or regular places of business in the concerned with the fisheries covered by Contracting Party to the Convention and performance of services for the advisory the Western and Central Pacific a full member of the Commission when committee will be allowed travel Fisheries Convention (Convention), will it ratified the Convention in January expenses, including per diem in lieu of be given the opportunity to provide 2007. Under the Act, the United States subsistence, in the same manner as

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persons employed intermittently in the of Education’s (the Department’s) Secretary does not accept either of the Government service are allowed National Center for Education Statistics following as proof of mailing: expenses under 5 U.S.C. 5703. They will (NCES). The data will be published by 1. A private metered postmark. not be considered Federal employees NCES and will be used by the Secretary 2. A mail receipt that is not dated by while performing service as members of in the calculation of allocations for FY the U.S. Postal Service. the advisory committee except for the 2022 appropriated funds. Note: The U.S. Postal Service does not purposes of injury compensation or tort DATES: SEAs can begin submitting data uniformly provide a dated postmark. Before claims liability as provided in 5 U.S.C. on Friday, January 29, 2021. SEAs are relying on this method, an SEA should check 81 and 28 U.S.C. 171. urged to submit accurate and complete with its local post office. Procedure for Submitting Nominations data by Friday, March 26, 2021, to FOR FURTHER INFORMATION CONTACT: facilitate timely processing. Stephen Q. Cornman, NPEFS Project Nominations for the Permanent The deadline for the final submission Director, National Center for Education Advisory Committee should be of all data, including any revisions to Statistics, Institute of Education submitted to NMFS (see ADDRESSES). previously submitted data for FY 2019 Sciences, U.S. Department of Education, This request for nominations is for first- and FY 2020, is Friday, August 13, 400 Maryland Avenue SW, Washington, time nominees as well as previous and 2021. Any resubmissions of FY 2019 or DC 20202. Telephone: (202) 245–7753. current Permanent Advisory Committee FY 2020 data by SEAs in response to Email: [email protected]. You members. Self nominations are requests for clarification or may also contact an NPEFS team acceptable. Nominations should include reconciliation or other inquiries by member at the Census Bureau. the following information: (1) Full NCES or the Census Bureau must be Telephone: 1–800–437–4196 or (301) name, address, telephone, and email completed as soon as possible, but no 763–1571. Email: erd.npefs.list@ address of nominee; (2) nominee’s later than Tuesday, September 7, 2021. census.gov. organization(s) or professional All outstanding data issues must be If you use a telecommunications affiliation(s) serving as the basis for the reconciled or resolved by the SEAs, device for the deaf (TDD) or a text nomination, if any; and (3) a NCES, and the Census Bureau as soon telephone (TTY), call the Federal Relay background statement, not to exceed as possible, but no later than September Service, toll free, at 1–800–877–8339. one page in length, describing the 7, 2021. SUPPLEMENTARY INFORMATION: Under nominee’s qualifications, experience ADDRESSES: SEAs are encouraged to section 153(a)(1)(I) of the Education and interests, specifically as related to submit data online using the interactive Sciences Reform Act of 2002, 20 U.S.C. the fisheries covered by the Convention. survey form on the NPEFS data 9543(a)(1)(I), which authorizes NCES to Authority: 16 U.S.C. 6902. collection website at: http:// gather data on the financing and Dated: December 29, 2020. surveys.nces.ed.gov/ccdnpefs. The management of education, NCES Jennifer M. Wallace, NPEFS interactive survey includes a collects data annually from SEAs Acting Director, Office of Sustainable digital confirmation page where a through ED Form 2447. The report from Fisheries, National Marine Fisheries Service. personal identification number (PIN) SEAs includes attendance, revenue, and [FR Doc. 2020–29075 Filed 12–31–20; 8:45 am] may be entered. A successful entry of expenditure data from which NCES the PIN serves as a signature by the determines a State’s ‘‘average per-pupil BILLING CODE 3510–22–P authorizing official. Alternatively, a expenditure’’ (SPPE) for elementary and certification form also may be printed secondary education, as defined in from the website, signed by the section 8101(2) of the Elementary and DEPARTMENT OF EDUCATION authorizing official, and mailed to the Secondary Education Act of 1965, as Submission of Data by State Economic Reimbursable Surveys amended (ESEA) (20 U.S.C. 7801(2)). Educational Agencies; Submission Division of the Census Bureau at the In addition to using the SPPE data as Dates for State Revenue and Washington, DC, address provided general information on the financing of Expenditure Reports for Fiscal Year above, within five business days after elementary and secondary education, 2020, Revisions to Those Reports, and submission of the NPEFS web the Secretary uses these data directly in Revisions to Prior Fiscal Year Reports interactive form. calculating allocations for certain In the alternative, SEAs may mail ED formula grant programs, including, but AGENCY: National Center for Education Form 2447 to: U.S. Census Bureau, not limited to, title I, part A, of the Statistics, Institute of Education ATTENTION: Economic Reimbursable ESEA, Impact Aid, and Indian Sciences, Department of Education. Surveys Division, 4600 Silver Hill Road, Education programs. Other programs, ACTION: Notice. Suitland, MD 20746. such as the Education for Homeless If an SEA’s submission is received by Children and Youth program under title SUMMARY: The Secretary announces the Census Bureau after August 13, VII of the McKinney-Vento Homeless dates for State educational agencies 2021, the SEA must show one of the Assistance Act, and the Student Support (SEAs) to submit expenditure and following as proof that the submission and Academic Enrichment Grants under revenue data and average daily was mailed on or before that date: title IV, part A of the ESEA make use of attendance statistics on ED Form 2447 1. A legibly dated U.S. Postal Service SPPE data indirectly because their (the National Public Education postmark. formulas are based, in whole or in part, Financial Survey (NPEFS)) for fiscal 2. A legible mail receipt with the date on State title I, part A, allocations. year (FY) 2020, revisions to those of mailing stamped by the U.S. Postal In January 2021, the Census Bureau, reports, and revisions to reports for Service. acting as the data collection agent for previous fiscal years. The Secretary sets 3. A dated shipping label, invoice, or NCES, will email ED Form 2447 to these dates to ensure that data are receipt from a commercial carrier. SEAs, with instructions, and will available to serve as the basis for timely 4. Any other proof of mailing request that SEAs commence submitting distribution of Federal funds. The U.S. acceptable to the Secretary. FY 2020 data to the Census Bureau on Census Bureau is the data collection If the SEA mails ED Form 2447 Thursday, January 29, 2021. SEAs are agent for this request of the Department through the U.S. Postal Service, the urged to submit accurate and complete

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data by Friday, March 26, 2021, to as soon as possible, but no later than requests for clarification or facilitate timely processing. September 7, 2021. reconciliation or other inquiries by Submissions by SEAs to the Census In order to facilitate timely NCES or the Census Bureau must be Bureau will be analyzed for accuracy submission of data, the Census Bureau completed through the interactive and returned to each SEA for will send reminder notices to SEAs in survey form on the NPEFS data verification. SEAs must submit all data, June and July of 2021. collection website or ED Form 2447 by including any revisions to FY 2019 and Having accurate, consistent, and Tuesday, September 7, 2021. If an SEA FY 2020 data, to the Census Bureau no timely information is critical to an submits revised data after the final later than Friday, August 13, 2021. Any efficient and fair allocation process and deadline that result in a lower SPPE resubmissions of FY 2019 or FY 2020 to the NCES statistical process. The figure, the SEA’s allocations may be data by SEAs in response to requests for Department establishes Friday, August adjusted downward, or the Department clarification or reconciliation or other 13, 2021, as the final date by which the may direct the SEA to return funds. inquiries by NCES or the Census Bureau SEAs must submit data using either the SEAs should be aware that all of these must be completed by Tuesday, interactive survey form on the NPEFS data are subject to audit and that, if any September 7, 2021. Between August 13, data collection website at: https:// inaccuracies are discovered in the audit 2021, and September 7, 2021, SEAs may surveys.nces.ed.gov/ccdnpefs or ED process, the Department may seek also, on their own initiative, resubmit Form 2447. This date is established to recovery of overpayments for the data to resolve issues not addressed in ensure that the best, most accurate data applicable programs. their final submission of NPEFS data by will be available to support timely Note: The following are important dates in August 13, 2021. All outstanding data distribution of Federal education funds. the data collection process for FY 2020 data issues must be reconciled or resolved by Any resubmissions of FY 2019 or FY and revisions to reports for previous fiscal the SEAs, NCES, and the Census Bureau 2020 data by SEAs in response to years:

Date Activity

January 29, 2021 ...... SEAs can begin to submit accurate and complete data for FY 2020 and revisions to previously submitted data for FY 2019. March 26, 2021 ...... Date by which SEAs are urged to submit accurate and complete data for FY 2020 and FY 2019. August 13, 2021 ...... Mandatory final submission date for FY 2019 and FY 2020 data to be used for program funding allocation purposes. September 7, 2021 .... Mandatory final deadline for responses by SEAs to requests for clarification or reconciliation or other inquiries by NCES or the Census Bureau. Between August 13, 2021, and September 7, 2021, SEAs may also, on their own initiative, re- submit data to resolve issues not addressed in their final submission of NPEFS data by August 13, 2021. All data issues must be resolved.

Accessible Format: On request to the the Department. (Authority: 20 U.S.C. the Decision and Order, Senneca is program contact person listed under FOR 9543.) required to test and rate the specified FURTHER INFORMATION CONTACT basic models of its walk-in doors in , Craig Stanton, individuals with disabilities can obtain accordance with the alternate test Deputy Director of Administration and Policy, procedure specified in the Decision and this document in an accessible format. Institute of Education Sciences. Order. The Department will provide the [FR Doc. 2020–29112 Filed 12–31–20; 8:45 am] DATES: The Decision and Order is requestor with an accessible format that BILLING CODE 4000–01–P may include Rich Text Format (RTF) or effective on January 4, 2021. The text format (txt), a thumb drive, an MP3 Decision and Order will terminate upon the compliance date of any future file, braille, large print, audiotape, or DEPARTMENT OF ENERGY compact disc, or other accessible format. amendment to the test procedure for [Case Number 2020–002; EERE–2020–BT– walk-in cooler and walk-in freezer doors Electronic Access to This Document: WAV–0009] located at title 10 of the Code of Federal The official version of this document is Regulations (‘‘CFR’’), part 431, subpart the document published in the Federal Energy Conservation Program: R, appendix A that addresses the issues Register. You may access the official Decision and Order Granting a Waiver presented in this waiver. At such time, edition of the Federal Register and the to Senneca Holdings From the Senneca must use the relevant test Code of Federal Regulations at Department of Energy Walk-in Cooler procedure for this equipment for any www.govinfo.gov. At this site you can and Walk-in Freezer Test Procedure testing to demonstrate compliance with view this document, as well as all other AGENCY: Office of Energy Efficiency and the applicable standards, and any other documents of this Department Renewable Energy, Department of representations of energy use. published in the Federal Register, in Energy. FOR FURTHER INFORMATION CONTACT: text or Portable Document Format ACTION: Notification of decision and Ms. Lucy deButts, U.S. Department of (PDF). To use PDF you must have order. Energy, Office of Energy Efficiency and Adobe Acrobat Reader, which is Renewable Energy, Building available free at the site. SUMMARY: The Department of Energy Technologies Office, EE–5B, 1000 (‘‘DOE’’) gives notification of a Decision Independence Avenue SW, Washington, You may also access documents of the and Order (Case Number 2020–002) that DC 20585–0121. Email: AS_Waiver_ Department published in the Federal grants to Senneca Holdings (‘‘Senneca’’) [email protected]. Register by using the article search a waiver from specified portions of the Mr. Michael Kido, U.S. Department of feature at www.federalregister.gov. DOE test procedure for determining the Energy, Office of the General Counsel, Specifically, through the advanced energy consumption of specified walk- Mail Stop GC–33, Forrestal Building, search feature at this site, you can limit in cooler and walk-in freezer door 1000 Independence Avenue SW, your search to documents published by (‘‘walk-in door’’) basic models. Under Washington, DC 20585–0103.

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Telephone: (202) 586–8145. Email: Signed in Washington, DC, on December reflect energy efficiency, energy use or [email protected]. 29, 2020. estimated annual operating cost of SUPPLEMENTARY INFORMATION: Treena V. Garrett, covered equipment during a In accordance with Title 10 of the Federal Register Liaison Officer, U.S. representative average use cycle and Code of Federal Regulations (10 CFR Department of Energy. requires that test procedures not be unduly burdensome to conduct. (42 431.401(f)(2)), DOE gives notification of Case #2020–002 Decision and Order the issuance of its Decision and Order U.S.C.6314(a)(2)) The test procedure for as set forth below. The Decision and I. Background and Authority walk-in doors is contained at 10 CFR Order grants Senneca a waiver from the The Energy Policy and Conservation part 431, subpart R, appendix A, applicable test procedure at 10 CFR part Act, as amended (‘‘EPCA’’),1 among ‘‘Uniform Test Method for the 431, subpart R, appendix A for specified other things, authorizes the U.S. Measurement of Energy Consumption of basic models of walk-in doors, and Department of Energy (‘‘DOE’’) to the Components of Envelopes of Walk- provides that Senneca must test and rate regulate the energy efficiency of a In Coolers and Walk-In Freezers’’ such equipment using the alternate test number of consumer products and (‘‘Appendix A’’). procedure specified in the Decision and certain industrial equipment. (42 U.S.C. Under 10 CFR 431.401, any interested Order. Senneca’s representations 6291–6317) Title III, Part C 2 of EPCA person may submit a petition for waiver concerning the energy consumption of established the Energy Conservation from DOE’s test procedure the specified basic models must be Program for Certain Industrial requirements. DOE will grant a waiver from the test procedure requirements if based on testing according to the Equipment, which sets forth a variety of DOE determines either that the basic provisions and restrictions in the provisions designed to improve energy model for which the waiver was alternate test procedure set forth in the efficiency for certain types of industrial requested contains a design Decision and Order, and the equipment. These types of equipment characteristic that prevents testing of the representations must fairly disclose the include walk-in coolers and walk-in basic model according to the prescribed test results. Distributors, retailers, and freezers, the focus of this document. (42 test procedures, or that the prescribed private labelers are held to the same U.S.C. 6311(1)(G)) test procedures evaluate the basic model requirements when making Under EPCA, DOE’s energy in a manner so unrepresentative of its representations regarding the energy conservation program consists true energy consumption characteristics consumption of this equipment. (42 essentially of four parts: (1) Testing, (2) as to provide materially inaccurate U.S.C. 6314(d)) labeling, (3) Federal energy conservation comparative data. 10 CFR 431.401(f)(2). Consistent with 10 CFR 431.401(j), standards, and (4) certification and DOE may grant the waiver subject to not later than March 5, 2021, any enforcement procedures. Relevant conditions, including adherence to manufacturer not currently distributing provisions of EPCA include definitions alternate test procedures. Id. in commerce in the United States (42 U.S.C. 6311), test procedures (42 equipment employing a technology or U.S.C. 6314), labeling provisions (42 II. Senneca’s Petition for Waiver: characteristic that results in the same U.S.C. 6315), energy conservation Assertions and Determinations need for a waiver from the applicable standards (42 U.S.C. 6313), and the By letter dated March 13, 2020, test procedure must submit a petition authority to require information and Senneca Holdings (‘‘Senneca’’) filed a for waiver. Manufacturers not currently reports from manufacturers (42 U.S.C. petition for waiver and a petition for distributing such equipment in 6316). interim waiver from the DOE test commerce in the United States must The Federal testing requirements procedure applicable to walk-in doors petition for and be granted a waiver consist of test procedures that set forth in Appendix A. (Senneca, No. prior to the distribution in commerce of manufacturers of covered equipment 1) 3 In response to questions from DOE, that equipment in the United States. must use as the basis for: (1) Certifying Senneca provided subsequent petitions Manufacturers may also submit a to DOE that their equipment complies for waiver and interim waiver on June request for interim waiver pursuant to with the applicable energy conservation 12, 2020 (Senneca, No. 2) and on July the requirements of 10 CFR 431.401. standards adopted pursuant to EPCA (42 21, 2020 (Senneca, No. 3).4 Appendix A U.S.C. 6316(a); 42 U.S.C. 6295(s)), and Signing Authority accounts for the power consumption of (2) making representations about the all electrical components associated This document of the Department of efficiency of that equipment (42 U.S.C. with each door and discounts the power Energy was signed on December 28, 6314(d)). Similarly, DOE must use these consumption of electrical components 2020, by Daniel R. Simmons, Assistant test procedures to determine whether based on their operating time by an Secretary for Energy Efficiency and the equipment complies with relevant assigned percent time off (‘‘PTO’’) value. Renewable Energy, pursuant to standards promulgated under EPCA. (42 Appendix A, section 4.5.2. Section 4.5.2 delegated authority from the Secretary U.S.C. 6316(a); 42 U.S.C. 6295(s)) of Appendix A specifies a PTO of 25 of Energy. That document with the Under 42 U.S.C. 6314, EPCA sets forth percent for ‘‘other electricity-consuming original signature and date is the criteria and procedures DOE is maintained by DOE. For administrative required to follow when prescribing or 3 A notation in the form ‘‘Senneca, No. 1’’ purposes only, and in compliance with amending test procedures for covered identifies a written submission: (1) Made by Senneca Holdings; and (2) recorded in document requirements of the Office of the Federal equipment. EPCA requires that any test number 1 that is filed in the docket of this petition Register, the undersigned DOE Federal procedures prescribed or amended for waiver (Docket No. EERE–2020–BT–WAV–0009) Register Liaison Officer has been under this section must be reasonably and available for review at http:// authorized to sign and submit the designed to produce test results which www.regulations.gov. 4 Due to the lengthy list of walk-in door basic document in electronic format for models listed in Senneca’s July 21, 2020 petition, publication, as an official document of 1 All references to EPCA in this document refer DOE is making the complete list publicly available the Department of Energy. This to the statute as amended through America’s Water in the relevant regulatory docket. The specific basic administrative process in no way alters Infrastructure Act of 2018, Public Law 115–270 models identified in Appendix I of the petition can (Oct. 23, 2018). be found in the docket at http:// the legal effect of this document upon 2 For editorial reasons, upon codification in the www.regulations.gov/docket?D=EERE-2020-BT- publication in the Federal Register. U.S. Code, Part C was redesignated as Part A–1. WAV-0009.

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devices’’ (i.e., electrical devices other comment 5 from Hussmann Corporation 6314(a)(2). Additionally, the required than lighting or anti-sweat heaters) that (‘‘Hussmann’’).6 Hussmann objected to use of 97 percent is consistent with have demand-based controls, and a PTO Senneca’s request for an alternate test waivers previously granted in response of 0 percent for other electricity- procedure, asserting that Senneca’s to petitions that presented the same consuming devices without demand- waiver request does not meet the criteria issue as in Senneca’s petition. See based controls. Id. In its petition for for DOE to grant a waiver, specifically: Notice of Decision and Order granting a waiver, Senneca suggested applying a (1) The basic model(s) for which the waiver to Jamison Door (Case No. 2017– PTO value of 97 percent to the door waiver was requested must contain a 009), 83 FR 53460 (Oct. 23, 2018); motors associated with the basic models design characteristic that prevents Notice of Decision and Order granting a specified in its petition. Senneca stated testing of the basic model according to waiver to HH Technologies (Case No. that the test procedure’s assumption the prescribed test procedures, or (2) the 2018–001), 83 FR 53457 (Oct. 23, 2018); that the door motor operates for 75 prescribed test procedure must evaluate and Extension of Waiver to HH percent of the day significantly the basic model(s) in a manner so Technologies (Case No. 2018–011), 84 overstates normal motor usage on their unrepresentative of its true energy FR 1434 (Feb. 4, 2019).7 ColdGuard and Eco-Cold powered door consumption as to provide materially For the reasons explained here and in models, causing the prescribed test inaccurate comparative data. the Notification of Petition for Waiver, procedure to inaccurately evaluate the (Hussmann, No. 5 at p. 1) Further, absent a waiver the basic models true energy consumption characteristics Hussmann stated that Senneca’s petition identified by Senneca in its petition as to provide materially inaccurate should be denied because investment cannot be tested and rated for energy comparative data (Senneca, No. 3 at and redesign can be used to achieve consumption on a basis representative p. 1). compliance with the current Federal of their true energy consumption On September 28, 2020, DOE standards. (Hussmann, No. 5 at p. 2) characteristics. DOE has reviewed the published a notification that announced As discussed previously, DOE may recommended procedure suggested by its receipt of the petition for waiver and grant a waiver if either (1) the basic Senneca and concludes that it will granted Senneca an interim waiver. 85 model for which the waiver was allow for the accurate measurement of FR 60771 (‘‘Notification of Petition for requested contains a design the energy use of the equipment, while Waiver’’). In the Notification of Petition characteristic that prevents testing of the alleviating the testing issues associated for Waiver, DOE presented Senneca’s basic model according to the prescribed with Senneca’s implementation of claim that results from testing the test procedures, or (2) the prescribed DOE’s applicable walk-in door test specified basic models according to test procedures evaluate the basic model procedure for the specified basic Appendix A are unrepresentative of in a manner so unrepresentative of its models. Thus, DOE is requiring that actual energy usage because of the true energy consumption characteristics Senneca test and rate walk-in door basic assigned PTO value. DOE also as to provide materially inaccurate models according to the alternate test summarized Senneca’s requested comparative data. 10 CFR 431.401(f)(2). procedure specified in this Decision and alternate test procedure, which would In response to Hussmann’s assertion Order, which is identical to the require testing the specified basic that the criteria for granting a waiver to procedure provided in the interim models according to Appendix A, Senneca has not been met, DOE notes waiver. except the PTO value for door motors that while Senneca is not prevented This Decision and Order is applicable would be modified from 25 percent to from testing the basic models specified only to the basic models listed and does 97 percent for the specified freight and in its waiver petition, the performance not extend to any other basic models. passage doors. data demonstrate that the current test DOE evaluates and grants waivers for As explained in the Notification of procedure evaluates the energy only those basic models specifically set Petition for Waiver, DOE considered the consumption of its basic models with out in the petition, not future models potential range of parameters affecting motorized door openers in a manner so that may be manufactured by the door motor operating time and unrepresentative of its true energy petitioner. evaluated the PTO based on the most consumption as to provide materially Senneca may request that DOE extend energy consumptive scenarios for both inaccurate comparative data. In the scope of this waiver to include the horizontally and vertically opening response to Hussmann’s comment that additional basic models that employ the door basic models specified by Senneca. compliance with current Federal same technology as those listed in this 85 FR 60771, 60774. In its calculations, standards could be achieved, DOE notes waiver. 10 CFR 431.401(g). Senneca may DOE used the largest door opening at that the criteria which allow DOE to also submit another petition for waiver the slowest speed and standard duty grant a waiver do not depend on from the test procedure for additional cycle specified in the product literature whether investment or redesign could basic models that employ a different of the door motors associated with make the basic models compliant with technology and meet the criteria for test Senneca’s specified basic models. Id. the standard. EPCA does not require procedure waivers. 10 CFR Assuming the most energy consumptive that a manufacturer design a particular 431.401(a)(1). scenarios, DOE initially determined that type of equipment to enable it to be DOE notes that it may modify or the suggested PTO value of 97 percent tested under a given test procedure. rescind the waiver at any time upon was more representative of actual Instead, a test procedure must, among DOE’s determination that the factual energy use than the currently required other things, be reasonably designed to basis underlying the petition for waiver PTO value of 25 percent. 85 FR 60771, produce test results reflecting the energy 60775. efficiency of a given type of industrial 7 DOE notes that Hussmann has previously expressed general support for similar petitions for In the Notification of Petition for equipment. See generally 42 U.S.C. waiver, specifically in response to waiver petitions Waiver, DOE also solicited comments from Jamison Door, in which Jamison Door from interested parties on all aspects of 5 DOE received an additional comment from an requested a PTO value of 93.5 percent (Docket No. the petition and the specified alternate anonymous submitter opposing waivers in general. EERE–2017–BT–WAV–0040–0005 at p. 1), and from 6 Hussmann’s comment can be accessed at: HH Technologies, in which HH Technologies test procedure. 85 FR 60771. In https://www.regulations.gov/docket?D=EERE-2020- requested a PTO value of 96 percent (Docket No. response, DOE received one substantive BT-WAV-0009. EERE–2018–BT–WAV–0001–0013 at p. 1).

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is incorrect, or upon a determination rescind or modify this waiver at any FOR FURTHER INFORMATION CONTACT: that the results from the alternate test time if it determines the factual basis Requests for additional information or procedure are unrepresentative of the underlying the petition for waiver is copies of the information collection basic models’ true energy consumption incorrect, or the results from the instrument and instructions should be characteristics. 10 CFR 431.401(k)(1). alternate test procedure are directed to James Dillard, U.S. Likewise, Senneca may request that unrepresentative of a basic model’s true Department of Energy, Office of Health, DOE rescind or modify the waiver if the energy consumption characteristics. 10 Safety and Security, AU–11/ company discovers an error in the CFR 431.401(k)(1). Likewise, Senneca Germantown Building, 1000 information provided to DOE as part of may request that DOE rescind or modify Independence Avenue SW, Washington, its petition, determines that the waiver the waiver if Senneca discovers an error DC 20585, or by email at james.dillard@ is no longer needed, or for other in the information provided to DOE as hq.doe.gov or by telephone at (301) 903– appropriate reasons. 10 CFR part of its petition, determines that the 1165. 431.401(k)(2). waiver is no longer needed, or for other SUPPLEMENTARY INFORMATION: III. Order appropriate reasons. 10 CFR Comments are invited on: (a) Whether 431.401(k)(2). the extended collection of information After careful consideration of all the (6) Senneca remains obligated to is necessary for the proper performance material that was submitted by Senneca, fulfill all applicable requirements set of the functions of the agency, including the various public-facing materials (e.g., forth at 10 CFR part 429. whether the information shall have product literature, installation manuals) for the units listed in the petition, and Signed in Washington, DC, on December practical utility; (b) the accuracy of the comment(s) received, in this matter, it is 28, 2020. agency’s estimate of the burden of the ordered that: Daniel R. Simmons, proposed collection of information, (1) Senneca must, as of the date of Assistant Secretary for Energy Efficiency and including the validity of the publication of this Order in the Federal Renewable Energy. methodology and assumptions used; (c) Register, test and rate the basic models [FR Doc. 2020–29099 Filed 12–31–20; 8:45 am] ways to enhance the quality, utility, and listed in Appendix I of its July 21, 2020 BILLING CODE 6450–01–P clarity of the information to be petition as provided in Docket Number collected; and (d) ways to minimize the EERE–2020–BT–WAV–0009–0003 with burden of the collection of information the alternate test procedure as set forth DEPARTMENT OF ENERGY on respondents, including through the use of automated collection techniques in paragraph (2): Agency Information Collection (2) The alternate test procedure for the or other forms of information Extension Senneca basic models identified in technology. paragraph (1) of this Order is the test AGENCY: Office of Environment, Health, This information collection request procedure for walk-in doors prescribed Safety and Security, Department of contains: (1) OMB Control No.: 1910– by DOE at 10 CFR part 431, subpart R, Energy. 5112; (2) Information Collection Request appendix A, except that the PTO value Title: Final Rule: Chronic Beryllium ACTION: Notice and request for Disease Prevention Program; (3) Type of specified in section 4.5.2 ‘‘Direct Energy comments. Consumption of Electrical Components Review: Renewal; (4) Purpose: This of Non-Display Doors’’ shall be 97 SUMMARY: The Department of Energy collection provides the Department with percent for door motors. All other (DOE), pursuant to the Paperwork the information needed to continue requirements of 10 CFR part 431, Reduction Act of 1995, intends to reducing the number of workers subpart R, appendix A and DOE’s extend for three years, an information currently exposed to beryllium in the regulations remain applicable. collection request with the Office of course of their work at DOE facilities (3) Representations. Senneca may not Management and Budget (OMB). The managed by DOE or its contractors; make representations about the energy information continues to be necessary to minimize the levels and potential use of a basic model identified in provide DOE with the information exposure to beryllium; to provide paragraph (1) of this Order for needed to reduce the number of workers information to employees, to provide compliance or marketing, unless the currently exposed to beryllium in the medical surveillance to ensure early basic model has been tested in course of their work at sites managed by detection of disease; and to permit accordance with the provisions set forth DOE or its contractors; minimize the oversight of the programs by DOE above and such representations fairly levels of and potential for exposure to management. DOE issued a final rule on disclose the results of such testing. beryllium; and provide medical December 8, 1999 (64 FR 68854), (4) This waiver shall remain in effect surveillance to ensure early detection of Chronic Beryllium Disease Prevention according to the provisions of 10 CFR chronic beryllium disease. Program, which includes provisions that 431.401. impose collections of information; (5) DATES: (5) DOE issues this waiver on the Comments regarding this Annual Estimated Number of condition that the door performance proposed information collection must Respondents: 6,650 (26 DOE sites and characteristics, statements, be received on or before March 5, 2021. 6,624 workers affected by the rule); (6) representations, test data, and If you anticipate difficulty in submitting Annual Estimated Number of Total documentary materials provided by comments within that period, contact Responses: 16,613; (7) Annual Senneca are valid. If Senneca makes any the person listed below as soon as Estimated Number of Burden Hours: modifications to the controls or possible. 29,290; (8) Annual Estimated Reporting configurations of these basic models, ADDRESSES: Written comments may be and Recordkeeping Cost Burden: such modifications will render the sent to James Dillard, U.S. Department $1,867,465; (9) Response Obligation: waiver invalid with respect to that basic of Energy, Office of Health, Safety and Mandatory. model, and Senneca will either be Security, AU–11/Germantown Building, Statutory Authority: Atomic Energy required to use the current Federal test 1000 Independence Avenue SW, Act of 1954, 42 U.S.C. 2201, and the method or submit a new application for Washington, DC 20585, or by email at: Department of Energy Organization Act, a test procedure waiver. DOE may [email protected]. 42 U.S.C. 7191 and 42 U.S.C. 7254.

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Signing Authority file with the Commission and open to protest, the instant request for This document of the Department of public inspection. authorization will be considered by the Energy was signed on December 23, In addition to publishing the full text Commission. 2020, by Matthew B. Moury, Associate of this document in the Federal Protests must comply with the Under Secretary for Environment, Register, the Commission provides all requirements specified in section Health, Safety and Security, pursuant to interested persons an opportunity to 157.205(e) of the Commission’s delegated authority from the Secretary view and/or print the contents of this regulations,4 and must be submitted by of Energy. That document with the document via the internet through the the protest deadline, which is February Commission’s Home Page (http:// original signature and date is 26, 2021. A protest may also serve as a ferc.gov) using the ‘‘eLibrary’’ link. maintained by DOE. For administrative motion to intervene so long as the Enter the docket number excluding the purposes only, and in compliance with protestor states it also seeks to be an last three digits in the docket number requirements of the Office of the Federal intervenor. Register, the undersigned DOE Federal field to access the document. At this Register Liaison Officer has been time, the Commission has suspended Interventions authorized to sign and submit the access to the Commission’s Public Reference Room, due to the Any person has the option to file a document in electronic format for motion to intervene in this proceeding. publication, as an official document of proclamation declaring a National Only intervenors have the right to the Department of Energy. This Emergency concerning the Novel request rehearing of Commission orders administrative process in no way alters Coronavirus Disease (COVID–19), issued issued in this proceeding and to the legal effect of this document upon by the President on March 13, 2020. For subsequently challenge the publication in the Federal Register. assistance, contact the Federal Energy Regulatory Commission at Commission’s orders in the U.S. Circuit Signed in Washington, DC, on December [email protected] or call Courts of Appeal. 29, 2020. toll-free, (886) 208–3676 or TYY, (202) Treena V. Garrett, To intervene, you must submit a 502–8659. motion to intervene to the Commission Federal Register Liaison Officer, U.S. Any questions concerning this Department of Energy. in accordance with Rule 214 of the application should be directed to Lisa Commission’s Rules of Practice and [FR Doc. 2020–29053 Filed 12–31–20; 8:45 am] A. Connolly, Director, Regulatory, Procedure 5 and the regulations under BILLING CODE 6450–01–P Algonquin Gas Transmission, LLC, P.O. the NGA 6 by the intervention deadline Box 1642, Houston, Texas 77251–1642, for the project, which is February 26, by telephone at (713) 627–4102, by fax DEPARTMENT OF ENERGY 2021. As described further in Rule 214, at (713) 627–5947, or by email at your motion to intervene must state, to [email protected]. Federal Energy Regulatory the extent known, your position Commission Public Participation regarding the proceeding, as well as your interest in the proceeding. For an [Docket No. CP21–20–000] There are three ways to become involved in the Commission’s review of individual, this could include your Algonquin Gas Transmission, LLC; this project: You can file a protest to the status as a landowner, ratepayer, Notice of Request Under Blanket project, you can file a motion to resident of an impacted community, or Authorization and Establishing intervene in the proceeding, and you recreationist. You do not need to have Intervention and Protest Deadline can file comments on the project. There property directly impacted by the is no fee or cost for filing protests, project in order to intervene. For more Take notice that on December 18, motions to intervene, or comments. The information about motions to intervene, 2020, Algonquin Gas Transmission, LLC deadline for filing protests, motions to refer to the FERC website at https:// (Algonquin), 5400 Westheimer Court, intervene, and comments is 5:00 p.m. www.ferc.gov/resources/guides/how-to/ Houston, Texas 77056, filed in the Eastern Time on February 26, 2021. intervene.asp. above referenced docket a prior notice How to file protests, motions to pursuant to Section 157.205 and All timely, unopposed motions to intervene, and comments is explained intervene are automatically granted by 157.208 of the Federal Energy below. Regulatory Commission’s regulations operation of Rule 214(c)(1). Motions to under the Natural Gas Act and the Protests intervene that are filed after the blanket certificate issued to Algonquin intervention deadline are untimely and Pursuant to section 157.205 of the may be denied. Any late-filed motion to by the Commission in Docket No. CP87– Commission’s regulations under the 1 intervene must show good cause for 317–000, seeking authorization to NGA,2 any person 3 or the Commission’s replace approximately 490-foot segment being late and must explain why the staff may file a protest to the request. If time limitation should be waived and of 26-inch diameter pipeline of its Line no protest is filed within the time ML in Putnam County, New York (Stony provide justification by reference to allowed or if a protest is filed and then factors set forth in Rule 214(d) of the Point Anomaly-Metro-North Railroad withdrawn within 30 days after the Crossing Project). The new segment is to Commission’s Rules and Regulations. A allowed time for filing a protest, the person obtaining party status will be be installed via conventional boring proposed activity shall be deemed to be placed on the service list maintained by method and will be placed adjacent to authorized effective the day after the the Secretary of the Commission and the existing Line ML pipeline within time allowed for protest. If a protest is will receive copies (paper or electronic) Algonquin’s existing easement. filed and not withdrawn within 30 days of all documents filed by the applicant Algonquin estimates the cost of the after the time allowed for filing a project to be $12.5 million, all as more and by all other parties. fully set forth in the request which is on 2 18 CFR 157.205. 3 Persons include individuals, organizations, 4 18 CFR 157.205(e). 1 Algonquin Gas Transmission Co., 40 FERC businesses, municipalities, and other entities. 18 5 18 CFR 385.214. ¶ 62,398 (1987). CFR 385.102(d). 6 18 CFR 157.10.

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Comments Tracking the Proceeding Applicants: Bayou Cove Peaking Any person wishing to comment on Throughout the proceeding, Power, LLC, Big Cajun I Peaking Power the project may do so. The Commission additional information about the project LLC, Cleco Cajun LLC, Cleco Power considers all comments received about will be available from the Commission’s LLC, Cottonwood Energy Company LP, the project in determining the Office of External Affairs, at (866) 208– Louisiana Generating LLC, Sterlington appropriate action to be taken. To FERC, or on the FERC website at Power LLC, Macquarie Energy LLC, ensure that your comments are timely www.ferc.gov using the ‘‘eLibrary’’ link Macquarie Energy Trading LLC. and properly recorded, please submit as described above. The eLibrary link Description: Updated Market Power your comments on or before February also provides access to the texts of all Analysis of Bayou Cove Peaking Power, 26, 2021. The filing of a comment alone formal documents issued by the LLC, et. al. will not serve to make the filer a party Commission, such as orders, notices, Filed Date: 12/23/20. to the proceeding. To become a party, and rulemakings. Accession Number: 20201223–5374. you must intervene in the proceeding. In addition, the Commission offers a Comments Due: 5 p.m. ET 2/21/21. free service called eSubscription which Docket Numbers: ER12–348–007. How To File Protests, Interventions, and Applicants: Mercuria Energy America, Comments allows you to keep track of all formal issuances and submittals in specific LLC. There are two ways to submit dockets. This can reduce the amount of Description: Triennial Market Power protests, motions to intervene, and time you spend researching proceedings Analysis for Southeast Region of comments. In both instances, please by automatically providing you with Mercuria Energy America, LLC. reference the Project docket number notification of these filings, document Filed Date: 12/28/20. CP21–20–000 in your submission. summaries, and direct links to the Accession Number: 20201228–5089. (1) You may file your protest, motion documents. For more information and to Comments Due: 5 p.m. ET 2/26/21. to intervene, and comments by using the register, go to www.ferc.gov/docs-filing/ Docket Numbers: ER21–717–000. Commission’s eFiling feature, which is esubscription.asp. Applicants: Hollow Road Solar, LLC. located on the Commission’s website Description: Request for Limited (www.ferc.gov) under the link to Dated: December 28, 2020. Waiver, et al. of Hollow Road Solar, Documents and Filings. New eFiling Nathaniel J. Davis, Sr., LLC. users must first create an account by Deputy Secretary. Filed Date: 12/22/20. clicking on ‘‘eRegister.’’ You will be [FR Doc. 2020–29066 Filed 12–31–20; 8:45 am] Accession Number: 20201222–5135. asked to select the type of filing you are BILLING CODE 6717–01–P Comments Due: 5 p.m. ET 1/5/21. making; first select General’’ and then Docket Numbers: ER21–735–000. select ‘‘Protest’’, ‘‘Intervention’’, or Applicants: Appalachian Power 7 ‘‘Comment on a Filing’’; or DEPARTMENT OF ENERGY Company, AEP Appalachian (2) You can file a paper copy of your Transmission Company, Inc, Indiana Federal Energy Regulatory submission by mailing it to the address Michigan Power Company, AEP Indiana 8 Commission below. Your submission must reference Michigan Transmission Company, Inc., the Project docket number CP21–20– Kentucky Power Company, AEP 000. Kimberly D. Bose, Secretary, Combined Notice of Filings #1 Kentucky Transmission Company, Inc., Federal Energy Regulatory Commission, Take notice that the Commission Kingsport Power Company, AEP Ohio 888 First Street NE, Washington, DC received the following electric rate Transmission Company, Inc., Ohio 20426. filings: The Commission encourages Power Company, AEP West Virginia electronic filing of submissions (option Docket Numbers: ER10–1484–023; Transmission Company, Inc., American 1 above) and has eFiling staff available ER12–2381–009; ER13–1069–012. Electric Power Service Corporation, to assist you at (202) 502–8258 or Applicants: Shell Energy North Wheeling Power Company, PJM [email protected]. America (US), L.P., MP2 Energy LLC, Interconnection, L.L.C. Protests and motions to intervene MP2 Energy NE LLC. Description: § 205(d) Rate Filing: AEP must be served on the applicant either Description: Triennial Market Power submits revisions to PJM OATT Atts. H– by mail or email (with a link to the Analysis for Southeast Region of Shell 14B and H–20B re: Depreciation Rates to document) at: lisa.connolly@ Energy North America (US), L.P., et. al. be effective 1/1/2020. enbridge.com or P.O. Box 1642, Filed Date: 12/23/20. Filed Date: 12/23/20. Houston, Texas 77251–1642. Any Accession Number: 20201223–5367. Accession Number: 20201223–5113. subsequent submissions by an Comments Due: 5 p.m. ET 2/21/21. Comments Due: 5 p.m. ET 1/13/21. intervenor must be served on the Docket Numbers: ER10–2564–010; Docket Numbers: ER21–736–000. applicant and all other parties to the ER10–2289–010; ER10–2600–010. Applicants: RE Slate 1 LLC. proceeding. Contact information for Applicants: Tucson Electric Power Description: § 205(d) Rate Filing: parties can be downloaded from the Company, UNS Electric, Inc., UniSource Petition for Order Accepting Market- service list at the eService link on FERC Energy Development Company. Based Rate Tariff to be effective 1/25/ Online. Description: Notice of Non-Material 2021. Change in Status of Tucson Electric Filed Date: 12/23/20. 7 Additionally, you may file your comments Power Company. Accession Number: 20201223–5115. electronically by using the eComment feature, Filed Date: 12/23/20. Comments Due: 5 p.m. ET 1/13/21. which is located on the Commission’s website at Accession Number: 20201223–5365. www.ferc.gov under the link to Documents and Docket Numbers: ER21–737–000. Filings. Using eComment is an easy method for Comments Due: 5 p.m. ET 1/13/21. Applicants: Lakehurst Solar, L.L.C. interested persons to submit brief, text-only Docket Numbers: ER10–2791–017; Description: Baseline eTariff Filing: comments on a project. ER10–2792–017; ER19–289–006; ER10– Reactive Power Compensation Tariff 8 Hand-delivered submissions in docketed 1827–008; ER10–1575–015; ER10–2876– proceedings should be delivered to Health and Filing to be effective 1/1/2021. Human Services, 12225 Wilkins Avenue, Rockville, 017; ER19–2378–001; ER19–2462–003; Filed Date: 12/28/20. Maryland 20852. ER18–2264–006. Accession Number: 20201228–5022.

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Comments Due: 5 p.m. ET 1/19/21. Accession Number: 20201228–5103. Any person desiring to intervene or Docket Numbers: ER21–738–000. Comments Due: 5 p.m. ET 1/19/21. protest in any of the above proceedings Applicants: Midcontinent Docket Numbers: ER21–746–000. must file in accordance with Rules 211 Independent System Operator, Inc. Applicants: Mayflower Power & Gas and 214 of the Commission’s Description: § 205(d) Rate Filing: LLC. Regulations (18 CFR 385.211 and 2020–12–28_SA 3258 Big Rivers Description: Baseline eTariff Filing: 385.214) on or before 5:00 p.m. Eastern Electric-OSER 1st Rev GIA (J753) to be Baseline new to be effective 2/1/2021. time on the specified comment date. effective 12/15/2020. Filed Date: 12/28/20. Protests may be considered, but Filed Date: 12/28/20. Accession Number: 20201228–5119. intervention is necessary to become a Accession Number: 20201228–5034. Comments Due: 5 p.m. ET 1/19/21. party to the proceeding. Comments Due: 5 p.m. ET 1/19/21. Docket Numbers: ER21–747–000. eFiling is encouraged. More detailed Docket Numbers: ER21–739–000. Applicants: PJM Interconnection, information relating to filing Applicants: Midcontinent L.L.C. requirements, interventions, protests, Independent System Operator, Inc. Description: § 205(d) Rate Filing: service, and qualifying facilities filings Description: § 205(d) Rate Filing: Correction to Original ISA, SA No. 5622; can be found at: http://www.ferc.gov/ 2020–12–28_SA 3259 Big Rivers Queue No. AF1–196 (amend) to be docs-filing/efiling/filing-req.pdf. For Electric-OSER 1st Rev GIA (J762) to be effective 3/10/2020. other information, call (866) 208–3676 effective 12/15/2020. Filed Date: 12/28/20. (toll free). For TTY, call (202) 502–8659. Filed Date: 12/28/20. Accession Number: 20201228–5189. Dated: December 28, 2020. Accession Number: 20201228–5044. Comments Due: 5 p.m. ET 1/19/21. Nathaniel J. Davis, Sr., Comments Due: 5 p.m. ET 1/19/21. Docket Numbers: ER21–748–000. Deputy Secretary. Docket Numbers: ER21–740–000. Applicants: System Energy Resources, [FR Doc. 2020–29070 Filed 12–31–20; 8:45 am] Applicants: Duke Energy Florida, Inc. BILLING CODE 6717–01–P LLC. Description: § 205(d) Rate Filing: SERI Description: § 205(d) Rate Filing: DEF- UPSA Historical Credits to be effective City of Wauchula Amended and 2/26/2021. DEPARTMENT OF ENERGY Restated NITSA SA 150 to be effective Filed Date: 12/28/20. 3/1/2021. Accession Number: 20201228–5207. Federal Energy Regulatory Filed Date: 12/28/20. Comments Due: 5 p.m. ET 1/19/21. Commission Accession Number: 20201228–5051. Docket Numbers: ER21–749–000. Combined Notice of Filings Comments Due: 5 p.m. ET 1/19/21. Applicants: Public Service Company Docket Numbers: ER21–741–000. of Colorado. Take notice that the Commission has Applicants: Midcontinent Description: § 205(d) Rate Filing: received the following Natural Gas Independent System Operator, Inc. 2020–12–28 Const & Intercon-Ault Pipeline Rate and Refund Report filings: Description: § 205(d) Rate Filing: Husky 230kV–567–0.0.0 to be effective Docket Numbers: PR21–12–000. 2020–12–28 SA 3291 Termination Duke 12/29/2020. Applicants: Black Hills Wyoming Gas, Energy-Roaming Bison Renewables GIA Filed Date: 12/28/20. LLC. (J754) to be effective 12/29/2020. Accession Number: 20201228–5215. Description: § 284.123(g) Rate Filing: Filed Date: 12/28/20. Comments Due: 5 p.m. ET 1/19/21. NJR Energy Services Negotiated Rate Accession Number: 20201228–5066. Take notice that the Commission Amendment to be effective 12/24/2020. Comments Due: 5 p.m. ET 1/19/21. received the following electric securities Filed Date: 12/23/20. Docket Numbers: ER21–742–000. filings: Accession Number: 202012235028. Comments Due: 5 p.m. ET 1/13/2021. Applicants: V20 Mansfield, LLC, Docket Numbers: ES21–19–000. 284.123(g) Protests Due: 5 p.m. ET 2/ AF1327, LLC, West Denville, LLC. Applicants: Evergy Missouri West, 22/2021. Description: Petition for Limited Inc. Waiver, et al. of V20 Mansfield, LLC, et Description: Application Under Docket Numbers: RP21–326–000. al. Section 204 of the Federal Power Act for Applicants: Tennessee Gas Pipeline Filed Date: 12/23/20. Authorization to Issue Securities for Company, L.L.C. Description: Motion to Intervene of Accession Number: 20201223–5366. Evergy Missouri West, Inc. Antero Resources Corporation under Comments Due: 5 p.m. ET 1/13/21. Filed Date: 12/23/20. RP21–326. Accession Number: 20201223–5271. Docket Numbers: ER21–744–000. Filed Date: 12/23/20. Applicants: Wallingford Renewable Comments Due: 5 p.m. ET 1/13/21. Accession Number: 20201223–5188. Energy LLC. Docket Numbers: ES21–20–000. Comments Due: 5 p.m. ET 1/4/21. Description: Baseline eTariff Filing: Applicants: NECEC Transmission Docket Numbers: RP21–328–000. Wallingford Renewable Energy LLC LLC. Applicants: Florida Gas Transmission Application for MBR Authority to be Description: Application under Company, LLC. effective 1/4/2021. Section 204 of the Federal Power Act for Description: Compliance filing Filed Date: 12/28/20. Authorization to Issue Securities for Annual Accounting Report on 12–23–20 Accession Number: 20201228–5100. NECEC Transmission LLC. to be effective N/A. Comments Due: 5 p.m. ET 1/19/21. Filed Date: 12/23/20. Filed Date: 12/23/20. Docket Numbers: ER21–745–000. Accession Number: 20201223–5421. Accession Number: 20201223–5001. Applicants: Valley Electric Comments Due: 5 p.m. ET 1/13/21. Comments Due: 5 p.m. ET 1/4/21. Association, Inc. The filings are accessible in the Docket Numbers: RP21–329–000. Description: § 205(d) Rate Filing: Commission’s eLibrary system (https:// Applicants: Iroquois Gas Annual TRBA Filing to be effective 1/ elibrary.ferc.gov/idmws/search/ Transmission System, L.P. 1/2021. fercgensearch.asp) by querying the Description: § 4(d) Rate Filing: 122320 Filed Date: 12/28/20. docket number. Negotiated Rates—Castleton

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Commodities Merchant Trading L.P. R– Description: § 4(d) Rate Filing: NJR Therefore, CIG states that there will be 4010–28 to be effective 1/1/2021. Energy Services Negotiated Rate no impact on the service it provides to Filed Date: 12/23/20. Amendment to be effective 12/24/2020. its customers. CIG further states that no Accession Number: 20201223–5008. Filed Date: 12/23/20. construction related activities will be Comments Due: 5 p.m. ET 1/4/21. Accession Number: 20201223–5111. required and there will be no Docket Numbers: RP21–330–000. Comments Due: 5 p.m. ET 1/4/21. environmental impacts associated with Applicants: Iroquois Gas The filings are accessible in the the requested reclassification, all as Transmission System, L.P. Commission’s eLibrary system (https:// more fully set forth in the application Description: § 4(d) Rate Filing: 122320 elibrary.ferc.gov/idmws/search/ which is on file with the Commission Negotiated Rates—Castleton fercgensearch.asp) by querying the and open to public inspection. Commodities Merchant Trading L.P. R– docket number. In addition to publishing the full text 4010–27 to be effective 1/1/2021. Any person desiring to intervene or of this document in the Federal Filed Date: 12/23/20. protest in any of the above proceedings Register, the Commission provides all Accession Number: 20201223–5009. must file in accordance with Rules 211 interested persons an opportunity to Comments Due: 5 p.m. ET 1/4/21. and 214 of the Commission’s view and/or print the contents of this Docket Numbers: RP21–331–000. Regulations (18 CFR 385.211 and document via the internet through the Applicants: Iroquois Gas 385.214) on or before 5:00 p.m. Eastern Commission’s Home Page (http:// Transmission System, L.P. time on the specified comment date. ferc.gov) using the ‘‘eLibrary’’ link. Description: § 4(d) Rate Filing: 122320 Protests may be considered, but Enter the docket number excluding the Negotiated Rates—Shell Energy North intervention is necessary to become a last three digits in the docket number America (US), L.P. R–2170–15 to be party to the proceeding. field to access the document. At this effective 1/1/2021. eFiling is encouraged. More detailed time, the Commission has suspended Filed Date: 12/23/20. information relating to filing access to the Commission’s Public Accession Number: 20201223–5012. requirements, interventions, protests, Reference Room, due to the Comments Due: 5 p.m. ET 1/4/21. service, and qualifying facilities filings proclamation declaring a National Docket Numbers: RP21–332–000. can be found at: http://www.ferc.gov/ Emergency concerning the Novel Applicants: Iroquois Gas docs-filing/efiling/filing-req.pdf. For Coronavirus Disease (COVID–19), issued Transmission System, L.P. other information, call (866) 208–3676 by the President on March 13, 2020. For Description: § 4(d) Rate Filing: 122320 (toll free). For TTY, call (202) 502–8659. assistance, contact FERC at Negotiated Rates—Shell Energy North Dated: December 28, 2020. [email protected] or call toll-free, (886) 208–3676 or TYY, (202) America (US), L.P. R–2170–16 to be Nathaniel J. Davis, Sr., 502–8659. effective 1/1/2021. Deputy Secretary. Filed Date: 12/23/20. Any questions regarding this prior [FR Doc. 2020–29072 Filed 12–31–20; 8:45 am] notice request should be directed to Accession Number: 20201223–5013. BILLING CODE 6717–01–P Comments Due: 5 p.m. ET 1/4/21. Francisco Tarin, Director, Regulatory, Colorado Interstate Gas Company, Docket Numbers: RP21–333–000. L.L.C.; P.O. Box 1087, Colorado Springs, DEPARTMENT OF ENERGY Applicants: Enable Mississippi River Colorado 80944 at (719) 667–7517 or by Transmission, L. _ Federal Energy Regulatory email to franciso tarin@ Description: § 4(d) Rate Filing: MRT kindermorgan.com. Tariff Cleanup Filing—February 2021 to Commission be effective 2/1/2021. [Docket No. CP21–18–000] Public Participation Filed Date: 12/23/20. There are three ways to become Accession Number: 20201223–5027. Colorado Interstate Gas Company, involved in the Commission’s review of Comments Due: 5 p.m. ET 1/4/21. L.L.C.; Notice of Request Under this project: You can file a protest to the Docket Numbers: RP21–334–000. Blanket Authorization and Establishing project, you can file a motion to Applicants: Northern Natural Gas Intervention and Protest Deadline intervene in the proceeding, and you Company. Take notice that on December 15, can file comments on the project. There Description: § 4(d) Rate Filing: 2020, Colorado Interstate Gas Company, is no fee or cost for filing protests, 20201223 Negotiated Rate to be effective L.L.C. (CIG), Post Office Box 1087, motions to intervene, or comments. The 12/29/2020. Colorado Springs, Colorado 80944, filed deadline for filing protests, motions to Filed Date: 12/23/20. in the above referenced docket, a prior intervene, and comments is 5:00 p.m. Accession Number: 20201223–5073. notice request pursuant to sections Eastern Time on February 26, 2021. Comments Due: 5 p.m. ET 1/4/21. 157.205 and 157.213(b) of the How to file protests, motions to Docket Numbers: RP21–334–000. Commission’s regulations under the intervene, and comments is explained Applicants: Northern Natural Gas Natural Gas Act (NGA) and CIG’s below. Company. blanket certificate issued in Docket No. Protests Description: (doc-less) Motion to CP83–21–000, for authorization to Intervene of Northern States Power reclassify an injection/withdrawal well Pursuant to section 157.205 of the Company—Minnesota and Northern Commission’s regulations under the (Well No. 12) to an observation well at 1 2 States Power Company—Wisconsin the Flank Natural Gas Storage Field NGA, any person or the Commission’s under RP21–334. (Flank) located in Baca County, staff may file a protest to the request. If Filed Date: 12/23/20. Colorado. CIG states that the requested no protest is filed within the time Accession Number: 20201223–5104. reclassification of Well No. 12 involves allowed or if a protest is filed and then Comments Due: 5 p.m. ET 1/4/21. no change in the certificated physical 1 18 CFR 157.205. Docket Numbers: RP21–335–000. parameters of Flank, including total 2 Persons include individuals, organizations, Applicants: Columbia Gas inventory, reservoir pressure, reservoir businesses, municipalities, and other entities. 18 Transmission, LLC. and buffer boundaries, and/or capacity. CFR 385.102(d).

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withdrawn within 30 days after the the Secretary of the Commission and applicant and all other parties to the allowed time for filing a protest, the will receive copies (paper or electronic) proceeding. Contact information for proposed activity shall be deemed to be of all documents filed by the applicant parties can be downloaded from the authorized effective the day after the and by all other parties. service list at the eService link on FERC time allowed for protest. If a protest is Comments Online. filed and not withdrawn within 30 days after the time allowed for filing a Any person wishing to comment on Tracking the Proceeding protest, the instant request for the project may do so. The Commission Throughout the proceeding, authorization will be considered by the considers all comments received about additional information about the project Commission. the project in determining the will be available from the Commission’s Protests must comply with the appropriate action to be taken. To Office of External Affairs, at (866) 208– requirements specified in section ensure that your comments are timely FERC, or on the FERC website at 157.205(e) of the Commission’s and properly recorded, please submit www.ferc.gov using the ‘‘eLibrary’’ link regulations,3 and must be submitted by your comments on or before February as described above. The eLibrary link the protest deadline, which is February 26, 2021. The filing of a comment alone also provides access to the texts of all 26, 2021. A protest may also serve as a will not serve to make the filer a party formal documents issued by the motion to intervene so long as the to the proceeding. To become a party, Commission, such as orders, notices, protestor states it also seeks to be an you must intervene in the proceeding. and rulemakings. intervenor. How To File Protests, Interventions, and In addition, the Commission offers a Interventions Comments free service called eSubscription which allows you to keep track of all formal Any person has the option to file a There are two ways to submit issuances and submittals in specific motion to intervene in this proceeding. protests, motions to intervene, and dockets. This can reduce the amount of Only intervenors have the right to comments. In both instances, please time you spend researching proceedings request rehearing of Commission orders reference the Project docket number by automatically providing you with issued in this proceeding and to CP21–18–000 in your submission. notification of these filings, document subsequently challenge the (1) You may file your protest, motion summaries, and direct links to the Commission’s orders in the U.S. Circuit to intervene, and comments by using the documents. For more information and to Courts of Appeal. Commission’s eFiling feature, which is register, go to www.ferc.gov/docs-filing/ To intervene, you must submit a located on the Commission’s website esubscription.asp. motion to intervene to the Commission (www.ferc.gov) under the link to in accordance with Rule 214 of the Documents and Filings. New eFiling Dated: December 28, 2020. Commission’s Rules of Practice and users must first create an account by Nathaniel J. Davis, Sr., Procedure 4 and the regulations under clicking on ‘‘eRegister.’’ You will be Deputy Secretary. the NGA 5 by the intervention deadline asked to select the type of filing you are [FR Doc. 2020–29067 Filed 12–31–20; 8:45 am] for the project, which is February 26, making; first select General’’ and then BILLING CODE 6717–01–P 2021. As described further in Rule 214, select ‘‘Protest’’, ‘‘Intervention’’, or your motion to intervene must state, to ‘‘Comment on a Filing’’; or 6 the extent known, your position (2) You can file a paper copy of your DEPARTMENT OF ENERGY regarding the proceeding, as well as submission by mailing it to the address your interest in the proceeding. For an below.7 Your submission must reference Federal Energy Regulatory individual, this could include your the Project docket number CP21–18– Commission status as a landowner, ratepayer, 000. [Docket No. CP21–19–000] resident of an impacted community, or Kimberly D. Bose, Secretary, Federal recreationist. You do not need to have Energy Regulatory Commission, 888 Texas Gas Transmission, LLC; Notice property directly impacted by the First Street NE, Washington, DC 20426. of Request Under Blanket project in order to intervene. For more The Commission encourages Authorization and Establishing information about motions to intervene, electronic filing of submissions (option Intervention and Protest Deadline refer to the FERC website at https:// 1 above) and has eFiling staff available www.ferc.gov/resources/guides/how-to/ to assist you at (202) 502–8258 or Take notice that on December 18, intervene.asp. [email protected]. 2020, Texas Gas Transmission, LLC All timely, unopposed motions to Protests and motions to intervene (Texas Gas) filed a prior notice intervene are automatically granted by must be served on the applicant either application pursuant to sections operation of Rule 214(c)(1). Motions to by mail at: P.O. Box 1087, Colorado 157.205(b), 157.208(c) and 157.210 of intervene that are filed after the Springs, Colorado 80944 or email (with the Commission’s regulations under the _ intervention deadline are untimely and a link to the document) at: franciso Natural Gas Act (NGA), and Texas Gas’ may be denied. Any late-filed motion to [email protected]. Any blanket certificate issued in Docket No. intervene must show good cause for subsequent submissions by an CP82–407. Texas Gas requests being late and must explain why the intervenor must be served on the authorization to install a new 3,750 time limitation should be waived and horsepower natural gas-fired provide justification by reference to 6 Additionally, you may file your comments reciprocating engine caterpillar G3612 electronically by using the eComment feature, unit, discharge gas cooler, water cooler, factors set forth in Rule 214(d) of the which is located on the Commission’s website at Commission’s Rules and Regulations. A www.ferc.gov under the link to Documents and unit blowdown vent/silencer, yard and person obtaining party status will be Filings. Using eComment is an easy method for station piping, and other ancillary placed on the service list maintained by interested persons to submit brief, text-only auxiliary equipment at Texas Gas’ comments on a project. existing Midland 3 Compressor Station 7 Hand-delivered submissions in docketed 3 18 CFR 157.205(e). proceedings should be delivered to Health and junction located in Muhlenberg County, 4 18 CFR 385.214. Human Services, 12225 Wilkins Avenue, Rockville, Kentucky, as more fully set forth in the 5 18 CFR 157.10. Maryland 20852. application, which is on file with the

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Commission and open to public after the time allowed for filing a Comments inspection. protest, the instant request for Any person wishing to comment on In addition to publishing the full text authorization will be considered by the the project may do so. The Commission of this document in the Federal Commission. considers all comments received about Register, the Commission provides all Protests must comply with the the project in determining the interested persons an opportunity to requirements specified in section appropriate action to be taken. To view and/or print the contents of this 157.205(e) of the Commission’s ensure that your comments are timely document via the internet through the regulations,3 and must be submitted by and properly recorded, please submit Commission’s Home Page (http:// the protest deadline, which is February your comments on or before February ferc.gov) using the ‘‘eLibrary’’ link. 26, 2021. A protest may also serve as a 26, 2021. The filing of a comment alone Enter the docket number excluding the motion to intervene so long as the will not serve to make the filer a party last three digits in the docket number protestor states it also seeks to be an to the proceeding. To become a party, field to access the document. At this intervenor. you must intervene in the proceeding. time, the Commission has suspended access to the Commission’s Public Interventions How To File Protests, Interventions, and Reference Room, due to the Comments proclamation declaring a National Any person has the option to file a motion to intervene in this proceeding. There are two ways to submit Emergency concerning the Novel protests, motions to intervene, and Coronavirus Disease (COVID–19), issued Only intervenors have the right to request rehearing of Commission orders comments. In both instances, please by the President on March 13, 2020. For reference the Project docket number assistance, contact the Federal Energy issued in this proceeding and to subsequently challenge the CP21–19–000 in your submission. Regulatory Commission at (1) You may file your protest, motion [email protected] or call Commission’s orders in the U.S. Circuit Courts of Appeal. to intervene, and comments by using the toll-free, (886) 208–3676 or TYY, (202) Commission’s eFiling feature, which is To intervene, you must submit a 502–8659. located on the Commission’s website motion to intervene to the Commission Any questions regarding this (www.ferc.gov) under the link to in accordance with Rule 214 of the application may be directed to Texas Documents and Filings. New eFiling Commission’s Rules of Practice and Gas’ Supervisor of Regulatory Affairs, users must first create an account by Procedure 4 and the regulations under Juan Eligio, Jr. at (713) 479–3480 or clicking on ‘‘eRegister.’’ You will be the NGA 5 by the intervention deadline [email protected]; or to Sr. asked to select the type of filing you are for the project, which is February 26, Regulatory Analyst, Payton Barrientos at making; first select ‘‘General’’ and then 2021. As described further in Rule 214, (713) 479–8157 or payton.barrientos@ select ‘‘Protest’’, ‘‘Intervention’’, or your motion to intervene must state, to bwpipelines.com; both at 9 Greenway ‘‘Comment on a Filing’’; or 6 Plaza, Houston, Texas, 77046. the extent known, your position (2) You can file a paper copy of your regarding the proceeding, as well as Public Participation submission by mailing it to the address your interest in the proceeding. For an below.7 Your submission must reference There are three ways to become individual, this could include your the Project docket number CP21–19– involved in the Commission’s review of status as a landowner, ratepayer, 000. this project: You can file a protest to the resident of an impacted community, or project, you can file a motion to recreationist. You do not need to have Kimberly D. Bose, Secretary, Federal intervene in the proceeding, and you property directly impacted by the Energy Regulatory Commission, 888 can file comments on the project. There project in order to intervene. For more First Street NE, Washington, DC is no fee or cost for filing protests, information about motions to intervene, 20426 motions to intervene, or comments. The refer to the FERC website at https:// The Commission encourages deadline for filing protests, motions to www.ferc.gov/resources/guides/how-to/ electronic filing of submissions (option intervene, and comments is 5:00 p.m. intervene.asp. 1 above) and has eFiling staff available Eastern Time on February 26, 2021. All timely, unopposed motions to to assist you at (202) 502–8258 or How to file protests, motions to intervene are automatically granted by [email protected]. intervene, and comments is explained operation of Rule 214(c)(1). Motions to Protests and motions to intervene below. intervene that are filed after the must be served on the applicant either Protests intervention deadline are untimely, and by mail or email (with a link to the may be denied. Any late-filed motion to document) at: 9 Greenway Plaza, Pursuant to section 157.205 of the intervene must show good cause for Houston, Texas 77046 or at juan.eligio@ Commission’s regulations under the being late and must explain why the bwpipelines.com. Any subsequent NGA,1 any person 2 or the Commission’s time limitation should be waived and submissions by an intervenor must be staff may file a protest to the request. If provide justification by reference to served on the applicant and all other no protest is filed within the time factors set forth in Rule 214(d) of the parties to the proceeding. Contact allowed or if a protest is filed and then Commission’s Rules and Regulations. A information for parties can be withdrawn within 30 days after the person obtaining party status will be allowed time for filing a protest, the 6 placed on the service list maintained by Additionally, you may file your comments proposed activity shall be deemed to be the Secretary of the Commission and electronically by using the eComment feature, authorized effective the day after the which is located on the Commission’s website at will receive copies (paper or electronic) time allowed for protest. If a protest is www.ferc.gov under the link to Documents and of all documents filed by the applicant Filings. Using eComment is an easy method for filed and not withdrawn within 30 days and by all other parties. interested persons to submit brief, text-only comments on a project. 1 18 CFR 157.205. 7 Hand-delivered submissions in docketed 2 Persons include individuals, organizations, 3 18 CFR 157.205(e). proceedings should be delivered to Health and businesses, municipalities, and other entities. 18 4 18 CFR 385.214. Human Services, 12225 Wilkins Avenue, Rockville, CFR 385.102(d). 5 18 CFR 157.10. Maryland 20852.

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downloaded from the service list at the future issuances of securities and Practice and Procedure, 18 CFR eService link on FERC Online. assumptions of liability, is January 19, 385.207,1 Hollow Road Solar LLC 2021. (Petitioner or Hollow Road), filed a Tracking the Proceeding The Commission encourages petition for declaratory order (Petition) Throughout the proceeding, electronic submission of protests and requesting that the Commission issue a additional information about the project interventions in lieu of paper, using the declaratory order confirming that will be available from the Commission’s FERC Online links at http:// Hollow Road will not be subject to the Office of External Affairs, at (866) 208– www.ferc.gov. To facilitate electronic application of the expanded Minimum FERC, or on the FERC website at service, persons with internet access Offer Price Rule in the forthcoming PJM www.ferc.gov using the ‘‘eLibrary’’ link who will eFile a document and/or be Base Residual Auction for the 2022/ as described above. The eLibrary link listed as a contact for an intervenor 2023 Delivery Year as a consequence of also provides access to the texts of all must create and validate an being granted local property tax relief formal documents issued by the eRegistration account using the pursuant to the Virginia Certified Commission, such as orders, notices, eRegistration link. Select the eFiling Pollution Control Equipment and and rulemakings. link to log on and submit the Facilities Section of the Virginia Code In addition, the Commission offers a intervention or protests. on Taxation (Virginia Pollution Control free service called eSubscription which Persons unable to file electronically Statute),2 as more fully explained in the allows you to keep track of all formal may mail similar pleadings to the petition. issuances and submittals in specific Federal Energy Regulatory Commission, Any person desiring to intervene or to dockets. This can reduce the amount of 888 First Street NE, Washington, DC protest this filing must file in time you spend researching proceedings 20426. Hand delivered submissions in accordance with Rules 211 and 214 of by automatically providing you with docketed proceedings should be the Commission’s Rules of Practice and notification of these filings, document delivered to Health and Human Procedure (18 CFR 385.211, 385.214). summaries, and direct links to the Services, 12225 Wilkins Avenue, Protests will be considered by the documents. For more information and to Rockville, Maryland 20852. Commission in determining the register, go to www.ferc.gov/docs-filing/ In addition to publishing the full text appropriate action to be taken, but will esubscription.asp. of this document in the Federal not serve to make protestants parties to Dated: December 28, 2020. Register, the Commission provides all the proceeding. Any person wishing to Nathaniel J. Davis, Sr., interested persons an opportunity to become a party must file a notice of Deputy Secretary. view and/or print the contents of this intervention or motion to intervene, as document via the internet through the appropriate. Such notices, motions, or [FR Doc. 2020–29069 Filed 12–31–20; 8:45 am] Commission’s Home Page (http:// protests must be filed on or before the BILLING CODE 6717–01–P ferc.gov) using the ‘‘eLibrary’’ link. comment date. Anyone filing a motion Enter the docket number excluding the to intervene or protest must serve a copy DEPARTMENT OF ENERGY last three digits in the docket number of that document on the Petitioner. field to access the document. At this In addition to publishing the full text Federal Energy Regulatory time, the Commission has suspended of this document in the Federal Commission access to the Commission’s Public Register, the Commission provides all Reference Room, due to the interested persons an opportunity to [Docket No. ER21–736–000] proclamation declaring a National view and/or print the contents of this Emergency concerning the Novel document via the internet through the RE Slate 1 LLC; Supplemental Notice Coronavirus Disease (COVID–19), issued Commission’s Home Page (http:// That Initial Market-Based Rate Filing by the President on March 13, 2020. For ferc.gov) using the ‘‘eLibrary’’ link. Includes Request for Blanket Section assistance, contact the Federal Energy Enter the docket number excluding the 204 Authorization Regulatory Commission at last three digits in the docket number This is a supplemental notice in the [email protected] or call field to access the document. At this above-referenced proceeding of RE Slate toll-free, (886) 208–3676 or TYY, (202) time, the Commission has suspended 1 LLC’s application for market-based 502–8659. access to the Commission’s Public rate authority, with an accompanying Dated: December 28, 2020. Reference Room, due to the rate tariff, noting that such application Nathaniel J. Davis, Sr., proclamation declaring a National Emergency concerning the Novel includes a request for blanket Deputy Secretary. authorization, under 18 CFR part 34, of Coronavirus Disease (COVID–19), issued [FR Doc. 2020–29071 Filed 12–31–20; 8:45 am] future issuances of securities and by the President on March 13, 2020. For BILLING CODE 6717–01–P assumptions of liability. assistance, contact the Federal Energy Any person desiring to intervene or to Regulatory Commission at [email protected] or call protest should file with the Federal DEPARTMENT OF ENERGY Energy Regulatory Commission, 888 toll-free, (886) 208–3676 or TYY, (202) First Street NE, Washington, DC 20426, Federal Energy Regulatory 502–8659. in accordance with Rules 211 and 214 Commission The Commission strongly encourages of the Commission’s Rules of Practice electronic filings of comments, protests and Procedure (18 CFR 385.211 and [Docket No. EL21–35–000] and interventions in lieu of paper using 385.214). Anyone filing a motion to the ‘‘eFiling’’ link at http:// Hollow Road Solar LLC; Notice of www.ferc.gov. Persons unable to file intervene or protest must serve a copy Petition for Declaratory Order of that document on the Applicant. Notice is hereby given that the Take notice that on December 22, 1 Pursuant to 18 CFR 381.302, the NYISO has electronically submitted the applicable filing fee. deadline for filing protests with regard 2020, pursuant to Rule 207 of the See Update of Annual Filing Fees, 169 FERC to the applicant’s request for blanket Federal Energy Regulatory ¶ 61,167 (2019). authorization, under 18 CFR part 34, of Commission’s (Commission) Rules of 2 Va. Code Ann. § 58.1–3660 (2020).

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electronically may mail similar assistance, contact the Federal Energy significantly affecting the quality of the pleadings to the Federal Energy Regulatory Commission at human environment. Regulatory Commission, 888 First Street [email protected] or call The proposed Project includes the NE, Washington, DC 20426. Hand toll-free, (886) 208–3676 or TYY, (202) abandonment in-place of approximately delivered submissions in docketed 502–8659. 31.8 and 31.4 miles of the Line DT and proceedings should be delivered to The Commission strongly encourages Line DS pipelines, respectively in Health and Human Services, 12225 electronic filings of comments, protests Anderson and Franklin Counties, Wilkins Avenue, Rockville, Maryland and interventions in lieu of paper using Kansas. 20852. the ‘‘eFiling’’ link at http:// The Commission mailed a copy of the Comment Date: 5:00 p.m. Eastern time www.ferc.gov. Persons unable to file Notice of Availability to federal, state, on January 21, 2021. electronically may mail similar and local government representatives pleadings to the Federal Energy and agencies; elected officials; Dated: December 28, 2020. environmental and public interest Nathaniel J. Davis, Sr., Regulatory Commission, 888 First Street NE, Washington, DC 20426. Hand groups; Native American tribes; Deputy Secretary. delivered submissions in docketed potentially affected landowners and [FR Doc. 2020–29076 Filed 12–31–20; 8:45 am] proceedings should be delivered to other interested individuals and groups; BILLING CODE 6717–01–P Health and Human Services, 12225 and newspapers and libraries in the Wilkins Avenue, Rockville, Maryland project area. The EA is only available in 20852. electronic format. It may be viewed and DEPARTMENT OF ENERGY Comment Date: 5:00 p.m. Eastern downloaded from the FERC’s website Time on January 18, 2021. (www.ferc.gov), on the natural gas Federal Energy Regulatory environmental documents page (https:// Commission Dated: December 28, 2020. www.ferc.gov/industries-data/natural- [Docket No. NJ19–16–001] Nathaniel J. Davis, Sr., gas/environment/environmental- Deputy Secretary. documents). In addition, the EA may be Hoosier Energy Rural Electric [FR Doc. 2020–29073 Filed 12–31–20; 8:45 am] accessed by using the eLibrary link on Cooperative, Inc.; Notice of Filing BILLING CODE 6717–01–P the FERC’s website. Click on the eLibrary link (https://elibrary.ferc.gov/ Take notice that on November 24, eLibrary/search), select General Search 2020, the Hoosier Energy Rural Electric DEPARTMENT OF ENERGY and enter the docket number in the Cooperative, Inc. submitted its tariff ‘‘Docket Number’’ field (i.e., CP21–2). filing: Compliance Filing for the October Federal Energy Regulatory Be sure you have selected an 26th Order to be effective 11/25/2020. Commission appropriate date range. For assistance, Any person desiring to intervene or to please contact FERC Online Support at protest this filing must file in [Docket No. CP21–2–000] [email protected] or toll free accordance with Rules 211 and 214 of at (866) 208–3676, or for TTY, contact the Commission’s Rules of Practice and Southern Star Central Gas Pipeline, (202) 502–8659. Procedure (18 CFR 385.211, 385.214). Inc.; Notice of Availability of the The EA is not a decision document. Protests will be considered by the Environmental Assessment for the It presents the Commission staff’s Commission in determining the Proposed independent analysis of the appropriate action to be taken but will environmental issues for the not serve to make protestants parties to Lines DT and DS Replacement Project Amendment Commission to consider when the proceeding. Any person wishing to addressing the merits of all issues in become a party must file a notice of The staff of the Federal Energy this proceeding. Any person wishing to intervention or motion to intervene, as Regulatory Commission (FERC or comment on the EA may do so. Your appropriate. Such notices, motions, or Commission) has prepared an comments should focus on the EA’s protests must be filed on or before the environmental assessment (EA) for the disclosure and discussion of potential comment date. On or before the Lines DT and DS Replacement Project environmental effects, reasonable comment date, it is not necessary to Amendment (Project), proposed by alternatives, and measures to avoid or serve motions to intervene or protests Southern Star Central Gas Pipeline, Inc. lessen environmental impacts. The more on persons other than the Applicant. (Southern Star) in the above-referenced specific your comments, the more useful In addition to publishing the full text docket. Southern Star requests they will be. To ensure that the of this document in the Federal authorization to abandon Lines DT and Commission has the opportunity to Register, the Commission provides all DS entirely in-place, rather than consider your comments prior to interested persons an opportunity to primarily by removal in Anderson and making its decision on this project, it is view and/or print the contents of this Franklin Counties, Kansas. Southern important that we receive your document via the internet through the Star contends that the abandonment of comments in Washington, DC on or Commission’s Home Page (http:// the pipeline facilities in-place would before 5:00 p.m. Eastern Time on ferc.gov) using the ‘‘eLibrary’’ link. reduce impacts on landowners and the January 27, 2021. Enter the docket number excluding the environment. For your convenience, there are three last three digits in the docket number The EA assesses the potential methods you can use to file your field to access the document. At this environmental effects of the comments to the Commission. The time, the Commission has suspended abandonment of the Project in Commission encourages electronic filing access to the Commission’s Public accordance with the requirements of the of comments and has staff available to Reference Room, due to the National Environmental Policy Act assist you at (866) 208–3676 or proclamation declaring a National (NEPA). The FERC staff concludes that [email protected]. Please Emergency concerning the Novel approval of the proposed Project, with carefully follow these instructions so Coronavirus Disease (COVID–19), issued appropriate mitigating measures, would that your comments are properly by the President on March 13, 2020. For not constitute a major federal action recorded.

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(1) You can file your comments dockets. This can reduce the amount of Instructions: All submissions received electronically using the eComment time you spend researching proceedings must include the Docket ID number for feature on the Commission’s website by automatically providing you with this action. Comments received may be (www.ferc.gov) under the link to FERC notification of these filings, document posted without change to https:// Online. This is an easy method for summaries, and direct links to the www.regulations.gov/, including any submitting brief, text-only comments on documents. Go to https://www.ferc.gov/ personal information provided. For a project; ferc-online/overview to register for detailed instructions on sending (2) You can also file your comments eSubscription. comments and additional information electronically using the eFiling feature Dated: December 28, 2020. on the rulemaking process, see the on the Commission’s website Nathaniel J. Davis, Sr., ‘‘Additional Information about (www.ferc.gov) under the link to FERC Commenting on the Proposed Deputy Secretary. Online. With eFiling, you can provide Settlement Agreement’’ heading under comments in a variety of formats by [FR Doc. 2020–29068 Filed 12–31–20; 8:45 am] the SUPPLEMENTARY INFORMATION section attaching them as a file with your BILLING CODE 6717–01–P of this document. Out of an abundance submission. New eFiling users must of caution for members of the public first create an account by clicking on and our staff, the EPA Docket Center ‘‘eRegister.’’ You must select the type of ENVIRONMENTAL PROTECTION and Reading Room are closed to the filing you are making. If you are filing AGENCY public, with limited exceptions, to a comment on a particular project, reduce the risk of transmitting COVID– please select ‘‘Comment on a Filing’’; or [EPA–HQ–OGC–2020–0717; FRL–10019–15– 19. Our Docket Center staff will OGC] (3) You can file a paper copy of your continue to provide remote customer comments by mailing them to the service via email, phone, and webform. Commission. Be sure to reference the Proposed Settlement Agreement, Challenge to Clean Air Act We encourage the public to submit project docket number (CP21–2–000) on comments via https:// your letter. Submissions sent via the AGENCY: Environmental Protection www.regulations.gov, as there may be a U.S. Postal Service must be addressed Agency (EPA). delay in processing mail and faxes. to: Kimberly D. Bose, Secretary, Federal ACTION: Notice of proposed settlement Hand deliveries and couriers may be Energy Regulatory Commission, 888 agreement; request for public comment. received by scheduled appointment First Street NE, Room 1A, Washington, only. For further information on EPA DC 20426. Submissions sent via any SUMMARY: In accordance with the Clean Docket Center services and the current other carrier must be addressed to: Air Act, as amended (‘‘CAA’’ or the status, please visit us online at https:// Kimberly D. Bose, Secretary, Federal ‘‘Act’’), notice is hereby given of a www.epa.gov/dockets. Energy Regulatory Commission, 12225 proposed Settlement Agreement to Wilkins Avenue, Rockville, Maryland The EPA continues to carefully and resolve petitions for review filed by the continuously monitor information from 20852. State of Wyoming (‘‘Wyoming’’) and Filing environmental comments will the CDC, local area health departments, PacifiCorp with respect to PacifiCorp’s and our Federal partners so that we can not give you intervenor status, but you Wyodak electric generating unit (EGU). do not need intervenor status to have respond rapidly as conditions change In 2014, Wyoming and PacifiCorp filed regarding COVID–19. your comments considered. Only petitions for review in the United States intervenors have the right to seek Court of Appeals for the Tenth Circuit, FOR FURTHER INFORMATION CONTACT: rehearing or judicial review of the challenging EPA’s final rule, in which Stephanie L. Hogan, Air and Radiation Commission’s decision. At this point in the Agency partially approved and Law Office (2344A), Office of General this proceeding, the timeframe for filing partially disapproved elements of Counsel, U.S. Environmental Protection timely intervention requests has Wyoming’s Regional Haze State Agency, 1200 Pennsylvania Ave. NW, expired. Any person seeking to become Implementation Plan (SIP), and Washington, DC 20460; telephone: (202) a party to the proceeding must file a promulgated a Federal Implementation 564–3244; email address: motion to intervene out-of-time Plan (FIP) to address the disapproved [email protected]. pursuant to Rule 214(b)(3) and (d) of the elements. In the Final rule, EPA, inter SUPPLEMENTARY INFORMATION: Commission’s Rules of Practice and alia, disapproved Wyoming’s Procedures (18 CFR 385.214(b)(3) and determination concerning nitrogen I. Obtaining a Copy of the Proposed (d)) and show good cause why the time oxide (NO ) best available retrofit Settlement Agreement limitation should be waived. Motions to X technology (BART) for Wyodak and The official public docket for this intervene are more fully described at promulgated a FIP addressing NO https://www.ferc.gov/ferc-online/ferc- X action (identified by Docket ID No. BART requirements for Wyodak. The EPA–HQ–OGC–2020–0717) contains a online/how-guides. Settlement Agreement would resolve Additional information about the copy of the proposed Settlement Wyoming’s and PacifiCorp’s challenges project is available from the Agreement. to the final rule. Under the proposed Commission’s Office of External Affairs, The electronic version of the public Settlement Agreement, the parties agree at (866) 208–FERC, or on the FERC docket for this action contains a copy of to take certain specified actions. website (www.ferc.gov) using the the proposed Settlement Agreement, eLibrary link. The eLibrary link also DATES: Written comments on the and is available through https:// provides access to the texts of all formal proposed settlement agreement must be www.regulations.gov. You may use documents issued by the Commission, received by February 3, 2021. https://www.regulations.gov to submit such as orders, notices, and ADDRESSES: Submit your comments, or view public comments, access the rulemakings. identified by Docket ID No. EPA–HQ– index listing of the contents of the In addition, the Commission offers a OGC–2020–0717, online at https:// official public docket, and access those free service called eSubscription which www.regulations.gov (EPA’s preferred documents in the public docket that are allows you to keep track of all formal method). Follow the online instructions available electronically. Once in the issuances and submittals in specific for submitting comments. system, key in the appropriate docket

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identification number then select consider comments or comment ENVIRONMENTAL PROTECTION ‘‘search.’’ contents located outside of the primary AGENCY submission (i.e., on the web, cloud, or II. Additional Information About the [EPA–HQ–OGC–2020–0652; FRL–10019–16– Proposed Settlement Agreement other file sharing system). For OGC] additional submission methods, the full The proposed Settlement Agreement EPA public comment policy, Proposed Consent Decree, Clean Air would resolve Wyoming’s and information about CBI or multimedia Act Citizen Suit PacifiCorp’s challenges to the following submissions, and general guidance on action: Approval, Disapproval and AGENCY: making effective comments, please visit Environmental Protection Promulgation of Implementation Plans; Agency (EPA). State of Wyoming; Regional Haze State https://www.epa.gov/dockets/ commenting-epa-dockets. For additional ACTION: Notice of proposed consent Implementation Plan; Federal decree; request for public comment. Implementation Plan for Regional Haze; information about submitting final rule, 79 FR 5032 (January 30, information identified as CBI, please SUMMARY: In accordance with the Clean 2014). See Wyoming v. EPA, No. 14– contact the person listed in the FOR Air Act, as amended (CAA or the Act), 9529 (10th Cir. filed March 28, 2014) FURTHER INFORMATION CONTACT section of notice is given of a proposed consent and PacifiCorp v. EPA, No. 14–9534 this document. Note that written decree in United Refining Co. v. (10th Cir. filed March 31, 2014). comments containing CBI and Wheeler, No. 20–cv–1956 (D.D.C.). On The proposed Settlement Agreement submitted by mail may be delayed and July 7, 2020, United Refining Co. establishes deadlines by which deliveries or couriers will be received (United) filed a complaint in the United Wyoming and EPA will take certain by scheduled appointment only. States District Court for the District of specified actions with respect to If you submit an electronic comment, Columbia alleging that the development of and action on a SIP EPA recommends that you include your Environmental Protection Agency (EPA revision addressing NOX BART name, mailing address, and an email or the Agency) failed to perform a requirements for Wyodak. The proposed certain non-discretionary duty. United Settlement Agreement further provides address or other contact information in the body of your comment. This ensures alleges that EPA failed to take final that, if certain conditions are met, action on its petition for a small refinery that you can be identified as the Wyoming, PacifiCorp, and EPA agree to hardship exemption from its 2019 submitter of the comment and allows move for dismissal of Wyoming’s and obligations under the Renewable Fuel PacifiCorp’s challenges to the Final rule. EPA to contact you in case EPA cannot Standards (RFS) program established by See the proposed Settlement Agreement read your comment due to technical the Clean Air Act. The proposed for specific details. difficulties or needs further information consent decree would establish a In accordance with section 113(g) of on the substance of your comment. Any deadline for EPA to act on the petition. the CAA, for a period of thirty (30) days identifying or contact information DATES: Written comments on the following the date of publication of this provided in the body of a comment will notice, the Agency will accept written proposed consent decree must be be included as part of the comment that received by February 3, 2021. comments relating to the proposed is placed in the official public docket ADDRESSES: Submit your comments, Settlement Agreement. EPA or the and made available in EPA’s electronic identified by Docket ID No. EPA–HQ– Department of Justice may withdraw or public docket. If EPA cannot read your withhold consent to the proposed OGC–2020–0652, online at https:// comment due to technical difficulties www.regulations.gov (EPA’s preferred Settlement Agreement if the comments and cannot contact you for clarification, disclose facts or considerations that method). Follow the online instructions EPA may not be able to consider your indicate that such consent is for submitting comments. comment. inappropriate, improper, inadequate, or Instructions: All submissions received inconsistent with the requirements of Use of the https:// must include the Docket ID number for the Act. www.regulations.gov website to submit this action. Comments received may be comments to EPA electronically is posted without change to https:// III. Additional Information About EPA’s preferred method for receiving www.regulations.gov/, including any Commenting on the Proposed comments. The electronic public docket personal information provided. For Settlement Agreement system is an ‘‘anonymous access’’ detailed instructions on sending Submit your comments, identified by system, which means EPA will not comments and additional information Docket ID No. EPA–HQ–OGC–2020– know your identity, email address, or on the rulemaking process, see the 0717, via https://www.regulations.gov. other contact information unless you ‘‘Additional Information about Once submitted, comments cannot be provide it in the body of your comment. Commenting on the Proposed Consent edited or removed from this docket. The Decree’’ heading under the EPA may publish any comment received Please ensure that your comments are SUPPLEMENTARY INFORMATION section of to its public docket. Do not submit to submitted within the specified comment this document. Out of an abundance of EPA’s docket at https:// period. Comments received after the caution for members of the public and www.regulations.gov any information close of the comment period will be our staff, the EPA Docket Center and you consider to be Confidential marked ‘‘late.’’ EPA is not required to Reading Room are closed to the public, Business Information (CBI) or other consider these late comments. with limited exceptions, to reduce the information whose disclosure is risk of transmitting COVID–19. Our Gautam Srinivasan, restricted by statute. Multimedia Docket Center staff will continue to submissions (audio, video, etc.) must be Associate General Counsel. provide remote customer service via accompanied by a written comment. [FR Doc. 2020–29065 Filed 12–31–20; 8:45 am] email, phone, and webform. We The written comment is considered the BILLING CODE 6560–50–P encourage the public to submit official comment and should include comments via https:// discussion of all points you wish to www.regulations.gov, as there may be a make. The EPA will generally not delay in processing mail and faxes.

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Hand-deliveries and couriers may be written comments relating to the comment due to technical difficulties received by scheduled appointment proposed consent decree. EPA or the and cannot contact you for clarification, only. For further information on EPA Department of Justice may withdraw or EPA may not be able to consider your Docket Center services and the current withhold consent to the proposed comment. status, please visit us online at https:// consent decree if the comments disclose Use of the https:// www.epa.gov/dockets. facts or considerations that indicate that www.regulations.gov website to submit EPA continues to carefully and such consent is inappropriate, comments to EPA electronically is continuously monitor information from improper, inadequate, or inconsistent EPA’s preferred method for receiving the CDC, local area health departments, with the requirements of the Act. comments. The electronic public docket and our federal partners so that we can III. Additional Information About system is an ‘‘anonymous access’’ respond rapidly as conditions change Commenting on the Proposed Consent system, which means EPA will not regarding COVID–19. Decree know your identity, email address, or FOR FURTHER INFORMATION CONTACT: other contact information unless you Submit your comments, identified by Meredith G. Miller, Air and Radiation provide it in the body of your comment. Docket ID No. EPA–HQ–OGC–2020– Law Office (2344A), Office of General Please ensure that your comments are 0652, via https://www.regulations.gov. Counsel, U.S. Environmental Protection submitted within the specified comment Once submitted, comments cannot be Agency, 1200 Pennsylvania Ave. NW, period. Comments received after the edited or removed from this docket. close of the comment period will be Washington, DC 20460; telephone (202) EPA may publish any comment received 564–8572; email address marked ‘‘late.’’ EPA is not required to to its public docket. Do not submit to consider these late comments. [email protected]. EPA’s docket at https:// SUPPLEMENTARY INFORMATION: www.regulations.gov any information Gautam Srinivasan, I. Obtaining a Copy of the Proposed you consider to be Confidential Associate General Counsel. Consent Decree Business Information (CBI) or other [FR Doc. 2020–29078 Filed 12–31–20; 8:45 am] information whose disclosure is BILLING CODE 6560–50–P The official public docket for this restricted by statute. Multimedia action (identified by Docket ID No. submissions (audio, video, etc.) must be EPA–HQ–OGC–2020–0652) contains a accompanied by a written comment. ENVIRONMENTAL PROTECTION copy of the proposed consent decree. The written comment is considered the AGENCY The electronic version of the public official comment and should include docket for this action contains a copy of [EPA–HQ–OPPT–2019–0501; FRL–10017– discussion of all points you wish to 43] the proposed consent decree, and is make. EPA will generally not consider available through https:// comments or comment contents located Asbestos (Part 1: Chrysotile www.regulations.gov. You may use outside of the primary submission (i.e., Asbestos); Final Toxic Substances https://www.regulations.gov to submit on the web, cloud, or other file sharing Control Act (TSCA) Risk Evaluation; or view public comments, access the system). For additional submission Notice of Availability index listing of the contents of the methods, the full EPA public comment official public docket, and access those policy, information about CBI or AGENCY: Environmental Protection documents in the public docket that are multimedia submissions, and general Agency (EPA). available electronically. Once in the guidance on making effective ACTION: Notice. system, key in the appropriate docket comments, please visit https:// identification number then select www.epa.gov/dockets/commenting-epa- SUMMARY: The Environmental Protection ‘‘search.’’ dockets. For additional information Agency (EPA) is announcing the about submitting information identified availability of the final Toxic II. Additional Information About the Substances Control Act (TSCA) risk Proposed Consent Decree as CBI, please contact the person listed in the FOR FURTHER INFORMATION evaluation of Asbestos Part 1 (Chrysotile The proposed consent decree would CONTACT section of this document. Note Asbestos). The purpose of conducting require EPA to act on United’s petition that written comments containing CBI risk evaluations under TSCA is to for a small refinery hardship exemption and submitted by mail may be delayed determine whether a chemical from its 2019 RFS obligations. On or and deliveries or couriers will be substance presents an unreasonable risk about December 18, 2019, United received by scheduled appointment of injury to health or the environment submitted its petition seeking a small only. under the conditions of use, including refinery exemption from the RFS If you submit an electronic comment, an unreasonable risk to a relevant program pursuant to CAA section EPA recommends that you include your potentially exposed or susceptible 211(o). 42 U.S.C. 7545(o). CAA section name, mailing address, and an email subpopulation, without consideration of 211(o)(9)(B)(iii) provides a 90-day address or other contact information in costs or other nonrisk factors. EPA has deadline for the Administrator to act on the body of your comment. This ensures determined that specific conditions of such petitions. 42 U.S.C. that you can be identified as the use of Chrysotile Asbestos present an 211(o)(9)(B)(iii). EPA has not acted on submitter of the comment and allows unreasonable risk of injury to health. the petition. The proposed consent EPA to contact you in case EPA cannot For those conditions of use for which decree would require the Administrator read your comment due to technical EPA has found an unreasonable risk, to either grant or deny United’s petition difficulties or needs further information EPA must take regulatory action to for a 2019 small refinery hardship on the substance of your comment. Any address that unreasonable risk through exemption no later than February 19, identifying or contact information risk management measures enumerated 2021. provided in the body of a comment will in TSCA. EPA has also determined that In accordance with section 113(g) of be included as part of the comment that specific conditions of use do not present the CAA, for a period of thirty (30) days is placed in the official public docket unreasonable risk of injury to health or following the date of publication of this and made available in EPA’s electronic the environment. For those conditions document, the Agency will accept public docket. If EPA cannot read your of use for which EPA has found no

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unreasonable risk to health or the evaluation, the EPA has not attempted identified hazards and exposures. 15 environment, the Agency’s to describe all the specific entities that U.S.C. 2605(b)(4)(F)(i) through (ii) and determination is a final Agency action may be affected by this action. (iv) through (v). Each risk evaluation and is issued via order in the risk must not consider costs or other nonrisk B. What is EPA’s authority for taking evaluation. EPA is currently developing factors. 15 U.S.C. 2605(b)(4)(F)(iii). this action? Part 2 of the TSCA risk evaluation for The statute requires that the risk Asbestos which will evaluate risk of TSCA section 6, 15 U.S.C. 2605, evaluation process be completed within injury to health or the environment for requires EPA to conduct risk a specified timeframe and provide an legacy uses and associated disposals of evaluations to ‘‘determine whether a opportunity for public comment on a asbestos. The Agency plans to release a chemical substance presents an draft risk evaluation prior to publishing draft scope for Part 2 of the risk unreasonable risk of injury to health or a final risk evaluation. 15 U.S.C. evaluation for Asbestos for public the environment, without consideration 2605(b)(4). comment mid-year 2021. of costs or other nonrisk factors, Subsection 5.3.1 of the final risk including an unreasonable risk to a evaluation for Asbestos Part 1 ADDRESSES: The docket for this action, potentially exposed or susceptible (Chrysotile Asbestos) constitutes the identified by docket identification (ID) subpopulation identified as relevant to order required under TSCA section number EPA–HQ–OPPT–2019–0501, is the risk evaluation by the 6(i)(1), and the ‘‘no unreasonable risk’’ available online at https:// Administrator, under the conditions of determinations in that subsection are www.regulations.gov or in-person at the use.’’ 15 U.S.C. 2605(b)(4)(A). TSCA considered to be a final Agency action Office of Pollution Prevention and sections 6(b)(4)(A) through (H) effective on the date of issuance of the Toxics Docket (OPPT Docket), enumerate the deadlines and minimum order. In conducting risk evaluations, Environmental Protection Agency requirements applicable to this process, ‘‘EPA will determine whether the Docket Center (EPA/DC), West William including provisions that provide chemical substance presents an Jefferson Clinton Bldg., Rm. 3334, 1301 instruction on chemical substances that unreasonable risk of injury to health or Constitution Ave. NW, Washington, DC. must undergo evaluation, the minimum the environment under each condition The Public Reading Room is open from components of a TSCA risk evaluation, of use[ ] within the scope of the risk 8:30 a.m. to 4:30 p.m., Monday through and the timelines for public comment evaluation, either in a single decision Friday, excluding legal holidays. The and completion of the risk evaluation. document or in multiple decision telephone number for the Public TSCA also requires that EPA operate in documents. ’’ 40 CFR 702.47. Under Reading Room is (202) 566–1744, and a manner that is consistent with the best EPA’s implementing regulations, ‘‘[a] the telephone number for the OPPT available science, make decisions based determination by EPA that the chemical Docket is (202) 566–0280. on the weight of the scientific evidence substance, under one or more of the Due to the public health concerns and consider reasonably available conditions of use within the scope of related to COVID–19, the EPA Docket information. 15 U.S.C. 2625(h), (i), and the risk evaluation, does not present an Center (EPA/DC) and Public Reading (k). TSCA section 6(i) directs that a unreasonable risk of injury to health or Room are closed to visitors with limited determination of ‘‘no unreasonable risk’’ the environment will be issued by order exceptions. The EPA/DC staff continue shall be issued by order and considered and considered to be a final Agency to provide remote customer service via to be a final Agency action, while a action, effective on the date of issuance email, phone, and webform. For the determination of ‘‘unreasonable risk’’ is of the order.’’ 40 CFR 702.49(d). For latest status information on EPA/DC not considered to be a final Agency purposes of TSCA section 19(a)(1)(A), services and docket access, visit https:// action. 15 U.S.C. 2605(i). the date of issuance of the TSCA section www.epa.gov/dockets. The statute identifies the minimum 6(i)(1) order for Asbestos Part 1 FOR FURTHER INFORMATION CONTACT: components for all chemical substance (Chrysotile Asbestos) shall be at 1:00 For technical information contact: risk evaluations. For each risk p.m. Eastern time (standard or daylight, Collin Beachum, Office of Pollution evaluation, EPA must publish a as appropriate) on the date that is two Prevention and Toxics (7403M), document that outlines the scope of the weeks after the date when this notice is Environmental Protection Agency, 109 risk evaluation to be conducted, which published in the Federal Register, T.W. Alexander Drive, Research includes the hazards, exposures, which is in accordance with 40 CFR Triangle Park, NC 27711; (919) 541– conditions of use, and the potentially 23.5. 7554; email address: beachum.collin@ exposed or susceptible subpopulations epa.gov. that EPA expects to consider. 15 U.S.C. C. What action is EPA taking? For general information contact: The 2605(b)(4)(D). The statute further EPA is announcing the availability of TSCA-Hotline, ABVI-Goodwill, 422 provides that each risk evaluation must the risk evaluation of the chemical South Clinton Ave., Rochester, NY also: (1) Integrate and assess available substance identified in Unit II. In this 14620; telephone number: (202) 554– information on hazards and exposures risk evaluation EPA has made 1404; email address: TSCA-Hotline@ for the conditions of use of the chemical unreasonable risk determinations on epa.gov. substance, including information that is some of the conditions of use within the relevant to specific risks of injury to scope of the risk evaluation for this SUPPLEMENTARY INFORMATION: health or the environment and chemical. For those conditions of use I. General Information information on relevant potentially for which EPA has found an exposed or susceptible subpopulations; unreasonable risk of injury to health or A. Does this action apply to me? (2) describe whether aggregate or the environment, EPA must initiate This action is directed to the public sentinel exposures were considered and regulatory action to address those risks in general. This action may be of the basis for that consideration; (3) take through risk management measures interest to persons who are or may be into account, where relevant, the likely enumerated in 15 U.S.C. 2605(a). interested in risk evaluations of duration, intensity, frequency, and EPA also is announcing the chemical substances under TSCA, 15 number of exposures under the availability of the information required U.S.C. 2601 et seq. Since other entities conditions of use; and (4) describe the to be provided publicly with each risk may also be interested in this final risk weight of the scientific evidence for the evaluation, which is available online at

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https://www.regulations.gov in the implement the statutory process is set C. Risk Evaluation for Asbestos Part 2: dockets identified. 40 CFR 702.51. out in 40 CFR part 702 and summarized Legacy Uses and Associated Disposals Specifically, for the risk evaluation of on EPA’s website at https:// of Asbestos Asbestos Part 1 (Chrysotile Asbestos), www.epa.gov/assessing-and-managing- As a result of the court decision in EPA has provided: chemicals-under-tsca/risk-evaluations- • Safer Chemicals Healthy Families v. The scope document and problem existing-chemicals-under-tsca. As formulation (in Docket ID No. EPA–HQ– EPA, 943 F.3d 397 (9th Cir. 2019), EPA explained in the preamble to EPA’s final will evaluate legacy uses and associated OPPT–2016–0736); rule on procedures for risk evaluation • Draft risk evaluation and final risk disposals for Asbestos in Part 2 of the (82 FR 33726, July 20, 2017) (FRL– evaluation (in Docket ID No. EPA–HQ– Risk Evaluation which is under OPPT–2019–0501); 9964–38), the specific regulatory expedited development. Legacy uses • All notices, determinations, process set out in 40 CFR part 702, and associated disposals of Asbestos are findings, consent agreements, and subpart B is being followed for the first conditions of use for which orders (in Docket ID No. EPA–HQ– ten chemical substances undergoing risk manufacture, import, processing and OPPT–2019–0501); evaluation to the maximum extent distribution no longer occur but where • Any information required to be practicable. use and disposal, respectively, are still provided to the Agency under 15 U.S.C. Prior to the publication of this final known, intended, or reasonably foreseen 2603 (in Docket ID No. EPA–HQ–OPPT– risk evaluation, a draft risk evaluation to occur. Part 2 of the Risk Evaluation 2016–0736 and Docket ID No. EPA–HQ– was subject to peer review and public for Asbestos will consider all six fiber OPPT–2019–0501); comment. EPA reviewed the report from types of Asbestos described in the TSCA • A nontechnical summary of the risk definition. evaluation (in Docket ID No. EPA–HQ– the peer review committee and public comments and has amended the risk Part 2 of the Risk Evaluation for OPPT–2019–0501); Asbestos will begin with a draft scope • A list of the studies, with the results evaluation in response to these comments as appropriate. The public document that will be made available of the studies, considered in carrying for public comment. EPA will engage comments, peer review report, and out each risk evaluation in Docket ID external stakeholders, where EPA’s response to comments is in No. EPA–HQ–OPPT–2019–0501); appropriate, to obtain reasonably • The final peer review report, Docket ID No. EPA–HQ–OPPT–2019– available information related to legacy including the response to peer review 0501. Prior to the publication of the uses and associated disposals, including and public comments received during draft risk evaluation, EPA made in situ in older buildings or still present peer review (in Docket ID No. EPA–HQ– available the scope and problem in older equipment that has not OPPT–2019–0501); and formulation, and solicited public input • exceeded its useful life. Response to public comments on uses and exposure. EPA’s documents Authority: 15 U.S.C. 2601 et seq. received on the draft scope and the draft and the public comments are in Docket risk evaluation (in Docket ID No. EPA– ID No. EPA–HQ–OPPT–2016–0736. Andrew Wheeler, HQ–OPPT–2019–0501). Additionally, information about the Administrator. II. TSCA Risk Evaluation scope, problem formulation, and draft [FR Doc. 2020–29109 Filed 12–31–20; 8:45 am] A. What is EPA’s risk evaluation process risk evaluation phases of the TSCA risk BILLING CODE 6560–50–P for existing chemicals under TSCA? evaluation for this chemical is available at EPA’s website at https:// The risk evaluation process is the www.epa.gov/assessing-and-managing- second step in EPA’s existing chemical chemicals-under-tsca/risk-evaluation- EXPORT-IMPORT BANK review process under TSCA, following asbestos-0. prioritization and before risk Sunshine Act Meetings management. As this chemical is one of B. Definition of asbestos? the first ten chemical substances Notice of an Open Meeting of the Board undergoing risk evaluation, the For the purposes of the Risk of Directors of the Export-Import Bank chemical substance was not required to Evaluation for Asbestos under TSCA of the United States go through prioritization (81 FR 91927, Section 6(a), EPA is using the TSCA TIME AND DATE: Thursday, January 14, December 19, 2016) (FRL–9956–47). The section 202 definition of asbestos; 2021 at 1:00 p.m. purpose of conducting risk evaluations which is—‘‘asbestiform varieties of six is to determine whether a chemical fiber types—chrysotile (serpentine), PLACE: The meeting will be held via substance presents an unreasonable risk crocidolite (riebeckite), amosite teleconference. of injury to health or the environment (cummingtonite-grunerite), STATUS: The meeting will be open to under the conditions of use, including anthophyllite, tremolite or actinolite.’’ public observation for Item Number 1 an unreasonable risk to a relevant Part 1 of the Risk Evaluation for only. potentially exposed or susceptible Asbestos is focused on Chrysotile MATTERS TO BE CONSIDERED: State subpopulation. As part of this process, Asbestos, as this is the only fiber type EPA must evaluate both hazard and Department Vetting of EXIM currently being imported, processed, or Transactions. exposure, not consider costs or other distributed for use in the United States. nonrisk factors, use reasonably available CONTACT PERSON FOR MORE INFORMATION: It is used in diaphragms, sheet gaskets, information and approaches in a Joyce B. Stone (202–257–4086). other gaskets, oilfield brake blocks, manner that is consistent with the Members of the public who wish to requirements in TSCA for the use of the aftermarket automotive brakes/linings, attend the meeting via audio only best available science, and ensure and other vehicle friction products. Part teleconference should register via decisions are based on the weight of the 1 of the Risk Evaluation for Asbestos https://attendee.gotowebinar.com/ scientific evidence. presents risk determinations for register/7434330690988996623 by noon The specific risk evaluation process Chrysotile Asbestos attributable to these Wednesday, January 13, 2021. that EPA has established by rule to conditions of use. Individuals will be directed to a

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Webinar registration page and provided Lake, Minnesota; Scott C. Johnson, Federal Reserve Board Clearance call-in information. individually and as trustee of the Edsel Officer—Nuha Elmaghrabi—Office of F. Johnson Disclaimer Trust, both of the Chief Data Officer, Board of Joyce B. Stone, Stillwater, Minnesota; Jill E. King, Arden Governors of the Federal Reserve Assistant Corporate Secretary. Hills, Minnesota; and Mackenzie L. System, Washington, DC 20551, (202) [FR Doc. 2020–29156 Filed 12–30–20; 11:15 am] Farrill, Hudson, Wisconsin; to join the 452–3829. BILLING CODE 6690–01–P Johnson Family Group, a group acting in Office of Management and Budget concert, to retain voting shares of (OMB) Desk Officer—Will Bestani— Marine Bancshares, Inc., and thereby Office of Information and Regulatory FEDERAL RESERVE SYSTEM indirectly retain voting shares of Affairs, Office of Management and Security State Bank of Marine, both of Budget, New Executive Office Building, Change in Bank Control Notices; Marine on St. Croix, Minnesota. Room 10235, 725 17th Street NW, Acquisitions of Shares of a Bank or C. Federal Reserve Bank of Dallas Washington, DC 20503, or by fax to Bank Holding Company (Robert L. Triplett III, Senior Vice (202) 395–6974. The notificants listed below have President) 2200 North Pearl Street, SUPPLEMENTARY INFORMATION: On June applied under the Change in Bank Dallas, Texas 75201–2272: 15, 1984, OMB delegated to the Board Control Act (Act) (12 U.S.C. 1817(j)) and 1. William Alexander O’Brien, authority under the PRA to approve and § 225.41 of the Board’s Regulation Y (12 Amarillo, Texas; to acquire voting assign OMB control numbers to CFR 225.41) to acquire shares of a bank shares of BOC Bank, McLean, Texas. collections of information conducted or or bank holding company. The factors Board of Governors of the Federal Reserve sponsored by the Board. Board- that are considered in acting on the System, December 28, 2020. approved collections of information are applications are set forth in paragraph 7 Ann Misback, incorporated into the official OMB of the Act (12 U.S.C. 1817(j)(7)). Secretary of the Board. inventory of currently approved The public portions of the [FR Doc. 2020–29030 Filed 12–31–20; 8:45 am] collections of information. The OMB applications listed below, as well as BILLING CODE 6210–01–P inventory, as well as copies of the PRA other related filings required by the Submission, supporting statements, and Board, if any, are available for approved collection of information immediate inspection at the Federal FEDERAL RESERVE SYSTEM instrument(s) are available at https:// Reserve Bank(s) indicated below and at www.reginfo.gov/public/do/PRAMain. the offices of the Board of Governors. Agency Information Collection These documents are also available on This information may also be obtained Activities: Announcement of Board the Federal Reserve Board’s public on an expedited basis, upon request, by Approval Under Delegated Authority website at https:// contacting the appropriate Federal and Submission to OMB www.federalreserve.gov/apps/ Reserve Bank and from the Board’s reportforms/review.aspx or may be AGENCY: Board of Governors of the Freedom of Information Office at requested from the agency clearance Federal Reserve System. https://www.federalreserve.gov/foia/ officer, whose name appears above. request.htm. Interested persons may SUMMARY: The Board of Governors of the express their views in writing on the Federal Reserve System (Board) is Final Approval Under OMB Delegated standards enumerated in paragraph 7 of adopting a proposal to extend for three Authority of the Extension for Three the Act. years, with revision, the Financial Years, With Revision of the Following Comments regarding each of these Statements for Holding Companies (FR Information Collections: applications must be received at the Y–9 reports; OMB Control Number (1) Report title: Financial Statements Reserve Bank indicated or the offices of 7100–0128) and the Consolidated for Holding Companies. the Board of Governors, Ann E. Report of Condition and Income for Agency form numbers: FR Y–9C, FR Misback, Secretary of the Board, 20th Edge and Agreement Corporations (FR Y–9LP, FR Y–9SP, FR Y–9ES, and FR Street and Constitution Avenue NW, 2886b; OMB Control Number 7100– Y–9CS. Washington, DC 20551–0001, not later 0086). The new revisions to these OMB control number: 7100–0128. reports are effective as of March 31, than January 19, 2021. Frequency: Quarterly, semiannually, 2021. The Board is also finalizing the A. Federal Reserve Bank of Chicago and annually. following revisions that were previously (Colette A. Fried, Assistant Vice Respondents: Bank holding President) 230 South LaSalle Street, approved on an interim basis: Revisions to the definition of ‘‘savings deposits’’ companies (BHCs), savings and loan Chicago, Illinois 60690–1414: holding companies (SLHCs), securities 1. Timothy Schams, La Crosse, in the FR Y–9C and FR 2886b instructions associated with the holding companies, and U.S. Wisconsin; to acquire voting shares of intermediate holding companies (IHCs) River Holding Company, Stoddard, amendments to the Board’s Regulation 1 D (Reserve Requirements of Depository (collectively, holding companies). Wisconsin, and thereby indirectly Estimated number of respondents: acquire voting shares of River Bank, Institutions), collection of two new FR Y–9C (non-advanced approaches Stoddard, Wisconsin, and Wisconsin temporary data items on loan holding companies) with less than $5 River Bank, Sauk City, Wisconsin. modifications consistent with section billion in total assets—124, B. Federal Reserve Bank of 4013(d)(2) of the Coronavirus Aid, Minneapolis (Chris P. Wangen, Relief and Economic Security (CARES) Act, and collection of four new 1 An SLHC must file one or more of the FR Y– Assistant Vice President), 90 Hennepin 9 family of reports unless it is: (1) A grandfathered Avenue, Minneapolis, Minnesota temporary data items related to the an unitary SLHC with primarily commercial assets and 55480–0291: interim final rule implementing the thrifts that make up less than five percent of its 1. Angela K. Rassas, Potomac Falls, Paycheck Protection Program Liquidity consolidated assets; or (2) a SLHC that primarily Facility (PPPLF). These changes became holds insurance-related assets and does not Virginia; Dianne K. Johnson, as a trustee otherwise submit financial reports with the SEC of the Dianne K. Johnson Trust and the effective June 30, 2020. pursuant to section 13 or 15(d) of the Securities Mignon L. Johnson Trust, all of Forest FOR FURTHER INFORMATION CONTACT: Exchange Act of 1934.

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FR Y–9C (non advanced approaches acquisitions, and to analyze a holding ‘‘FDIC deposit insurance assessments,’’ holding companies) with $5 billion or company’s overall financial condition to Schedule HC–P’s item 7.a, more in total assets—218, ensure the safety and soundness of its ‘‘Representation and warranty reserves FR Y–9C (advanced approaches operations. The FR Y–9C, FR Y–9LP, for 1–4 family residential mortgage holding companies)—9, and FR Y–9SP serve as standardized loans sold to U.S. government agencies FR Y–9LP—416, financial statements for the holding and government sponsored agencies,’’ FR Y–9SP—3,739, companies. The FR Y–9ES is a financial and Schedule HC–P’s item 7.b, FR Y–9ES—78, statement for holding companies that ‘‘Representation and warranty reserves FR Y–9CS—236. are Employee Stock Ownership Plans. for 1–4 family residential mortgage Estimated average hours per response: The Board uses the voluntary FR Y–9CS loans sold to other parties’’ are considered confidential commercial and Reporting (a free-form supplement) to collect additional information deemed to be financial information. Such treatment is FR Y–9C (non advanced approaches critical and needed in an expedited appropriate under exemption 4 of the holding companies) with less than $5 manner. Holding companies file the FR Freedom of Information Act (‘‘FOIA’’),5 billion in total assets—35.72; Y–9C on a quarterly basis, the FR Y–9LP because these data items reflect FR Y–9C (non advanced approaches quarterly, the FR Y–9SP semiannually, commercial and financial information holding companies) with $5 billion or the FR Y–9ES annually, and the FR Y– that is both customarily and actually more in total assets—44.92; 9CS on a schedule that is determined treated as private by the submitter, and FR Y–9C (advanced approaches when this supplement is used. which the Board has previously assured holding companies)—50.14; Legal authorization and submitters will be treated as FR Y–9LP—5.27; confidentiality: The reporting and confidential. It also appears that FR Y–9SP—5.40; recordkeeping requirements associated disclosing these data items may reveal FR Y–9ES—0.50; with the FR Y–9 series of reports are confidential examination and FR Y–9CS—0.50. authorized for BHCs pursuant to section supervisory information, and in such Recordkeeping 5 of the Bank Holding Company Act instances, the information also would be (‘‘BHC Act’’); 2 for SLHCs pursuant to withheld pursuant to exemption 8 of the FR Y–9C—1; section 10(b)(2) and (3) of the Home FOIA,6 which protects information FR Y–9LP—1; Owners’ Loan Act, 12 U.S.C. 1467a(b)(2) related to the supervision or FR Y–9SP—0.50; and (3), as amended by sections 369(8) examination of a regulated financial FR Y–9ES—0.50; and 604(h)(2) of the Dodd-Frank Wall institution. FR Y–9CS—0.50. Street and Consumer Protection Act In addition, for both the FR Y–9C Estimated annual burden hours: (‘‘Dodd-Frank Act’’); for IHCs pursuant report and the FR Y–9SP report, Reporting to section 5 of the BHC Act, as well as Schedule HC’s Memorandum item 2.b, pursuant to sections 102(a)(1) and 165 the name and email address of the FR Y–9C (non advanced approaches of the Dodd-Frank Act; 3 and for external auditing firm’s engagement holding companies) with less than $5 securities holding companies pursuant partner, is considered confidential billion in total assets—17,715; to section 618 of the Dodd-Frank Act.4 commercial information and protected FR Y–9C (non advanced approaches 7 Except for the FR Y–9CS report, which by exemption 4 of the FOIA, if the holding companies) with $5 billion or is expected to be collected on a identity of the engagement partner is more in total assets—39,166; voluntary basis, the obligation to submit treated as private information by FR Y–9C (advanced approaches the remaining reports in the FR Y–9 holding companies. The Board has holding companies)—1,805; series of reports and to comply with the assured respondents that this FR Y–9LP—8,769; recordkeeping requirements set forth in information will be treated as FR Y–9SP—40,381; the respective instructions to each of the confidential since the collection of this FR Y–9ES—39; data item was proposed in 2004. FR Y–9CS—472. other reports, is mandatory. With respect to the FR Y–9C report, Additionally, items on the FR Y–9C, Schedule HC–C regarding loans Recordkeeping Schedule HI’s Memorandum item 7.g, modified under section 4013 of the FR Y–9C—1,404; 2 CARES Act (Memorandum item 16.a, FR Y–9LP—1,664; 12 U.S.C. 1844. 3 12 U.S.C. 5311(a)(1) and 5365; Section 165(b)(2) ‘‘Number of Section 4013 loans FR Y–9SP—3,739; of Title I of the Dodd-Frank Act, 12 U.S.C. outstanding’’, and Memorandum item FR Y–9ES—39; 5365(b)(2), refers to ‘‘foreign-based bank holding 16.b, ‘‘Outstanding balance of Section FR Y–9CS—472. company.’’ Section 102(a)(1) of the Dodd-Frank Act, 4013 loans’’) are considered General description of report: The FR 12 U.S.C. 5311(a)(1), defines ‘‘bank holding company’’ for purposes of Title I of the Dodd-Frank confidential. While the Board generally Y–9 family of reporting forms continues Act to include foreign banking organizations that makes institution-level FR Y–9C report to be the primary source of financial are treated as bank holding companies under data publicly available, the Board data on holding companies that section 8(a) of the International Banking Act, 12 believes the disclosure of these items at examiners rely on in the intervals U.S.C. 3106(a). The Board has required, pursuant to the holding company level would not be section 165(b)(1)(B)(iv) of the Dodd-Frank Act, 12 8 between on-site inspections. The Board U.S.C. 5365(b)(1)(B)(iv), certain foreign banking in the public interest. Such information requires holding companies to provide organizations subject to section 165 of the Dodd- is permitted to be collected on a standardized financial statements to Frank Act to form U.S. intermediate holding confidential basis, consistent with 5 fulfill the Board’s statutory obligation to companies. Accordingly, the parent foreign-based U.S.C. 552(b)(8).9 Holding companies organization of a U.S. IHC is treated as a BHC for supervise these organizations. Financial purposes of the BHC Act and section 165 of the data from these reporting forms are used Dodd-Frank Act. Because section 5(c) of the BHC 5 5 U.S.C. 552(b)(4). to detect emerging financial problems, Act authorizes the Board to require reports from 6 5 U.S.C. 552(b)(8). to review performance and conduct pre- subsidiaries of BHCs, section 5(c) provides 7 5 U.S.C. 552(b)(4). additional authority to require U.S. IHCs to report 8 inspection analysis, to monitor and See 12 U.S.C. 1464(v)(2). the information contained in the FR Y–9 series of 9 Exemption 8 of the Freedom of Information Act evaluate capital adequacy, to evaluate reports. (FOIA) specifically exempts from disclosure holding company mergers and 4 12 U.S.C. 1850a(c)(1)(A). Continued

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may be reluctant to offer modifications Estimated annual reporting hours: Current actions: On July 7, 2020, the under section 4013 if information on Banking: Edge and agreement Board published a notice 14 to these modifications are publicly corporations (quarterly): 586; temporarily revise the FR Y–9C to available, as analysts, investors, and Banking: Edge and agreement collect four new data items related to other users of public FR Y–9C report corporations (annually): 16; Paycheck Protection Program (PPP) information may penalize an institution Investment: Edge and agreement loans and the PPPLF. Also, as part of for using the relief provided by the corporations (quarterly): 1,034; this notice, the Board temporarily CARES Act. Investment: Edge and agreement revised the FR Y–9C to collect two new Aside from the data items described corporations (annually): 79. data items related to section 4013 of the above, the remaining data items Estimated average hours per response: CARES act. collected on the FR Y–9C report and the Banking: Edge and agreement On October 8, 2020, the Board FR Y–9SP report are generally not corporations (quarterly): 15.77; published a separate notice 15 to accorded confidential treatment. The Banking: Edge and agreement propose a number of revisions to the FR data items collected on FR Y–9LP, FR corporations (annually): 15.87; Y–9C, FR Y–9LP, and FR Y–9SP related Y–9ES, and FR Y–9CS 10 reports, are Investment: Edge and agreement to U.S. GAAP effective for reports with also generally not accorded confidential corporations (quarterly): 11.81; a March 31, 2021, as-of date, except for treatment. As provided in the Board’s Investment: Edge and agreement proposed revisions related to last-of- Rules Regarding Availability of corporations (annually): 10.82. layer hedging, which were proposed to Information,11 however, a respondent Number of respondents: become effective following the adoption may request confidential treatment for Banking: Edge and agreement and implementation of a final standard any data items the respondent believes corporations (quarterly): 9; by the Financial Accounting Standards should be withheld pursuant to a FOIA Banking: Edge and agreement Board (FASB). For holding companies exemption. The Board will review any corporations (annually): 1; that have adopted Accounting such request to determine if confidential Investment: Edge and agreement Standards Codification (ASC) Topic treatment is appropriate, and will corporations (quarterly): 21; 326, Financial Instruments—Credit inform the respondent if the request for Investment: Edge and agreement Losses, the Board proposed in the confidential treatment has been granted corporations (annually): 7. October 2020 notice to add new or denied. General description of report: The FR Memorandum item 7, ‘‘Provisions for To the extent the instructions to the 2886b reporting form is filed quarterly credit losses on off-balance sheet credit FR Y–9C, FR Y–9LP, FR Y–9SP, and FR and annually by banking Edge and exposures,’’ to Schedule HI–B, Part II, Y–9ES reports each respectively direct agreement corporations and investment Changes in allowances for Credit Losses. the financial institution to retain the (nonbanking) Edge and agreement This line item would have enhanced workpapers and related materials used corporations (collectively, ‘‘Edges or transparency and differentiate between in preparation of each report, such Edge corporations’’). The mandatory FR the provisions attributable to on-and off- material would only be obtained by the 2886b comprises a balance sheet, an balance sheet credit exposures reported Board as part of the examination or income statement, two schedules in item 4, ‘‘Provisions for loan and lease supervision of the financial institution. reconciling changes in capital and losses’’ on the FR Y–9C income Accordingly, such information is reserve accounts, and 11 supporting statement. As part of the GAAP-related considered confidential pursuant to schedules. The Board uses the FR 2886b changes, the Board also proposed new 12 Memorandum item 8 to Schedule HI–B, exemption 8 of the FOIA. In addition, data to help plan and target the scope Part II, ‘‘Changes in Allowances for the workpapers and related materials of examinations of Edges and to Credit Losses’’, to the FR Y–9C report. may also be protected by exemption 4 evaluate applications from Edge The description of the memorandum of the FOIA, to the extent such financial corporations. Data from the FR 2886b item would have been ‘‘Estimated information is treated as confidential by are also used to monitor aggregate 13 amount of expected recoveries of the respondent. institutional trends, such as growth in amounts previously written off included (2) Report title: Consolidated Report assets and the number of offices, within the allowance for credit losses on of Condition and Income for Edge and changes in leverage, and the types and loans and leases held for investment Agreement Corporations. locations of customers and to monitor Agency form number: FR 2886b. (included in item 7, column A, ‘Balance OMB control number: 7100–0086. and identify present and potential end of current period,’ above).’’ In Frequency: Quarterly and annually. problems with Edge corporations. proposing this reporting change, the Reporters: Edge and agreement Legal authorization and Board noted that, under ASC Topic 326, corporations. confidentiality: Sections 25 and 25A of holding companies could in some the Federal Reserve Act authorize the circumstances reduce the amount of the information ‘‘contained in or related to Federal Reserve to collect the FR 2886b allowance for credit losses that would examination, operating, or condition reports (12 U.S.C. 602, 625). The obligation to prepared by, on behalf of, or for the use of an otherwise be calculated for a pool of report this information is mandatory. assets with similar risk characteristics, agency responsible for the regulation or supervision For Edge and Agreement corporations of financial institutions.’’ which includes charged-off assets, by 10 The FR Y–9CS is a supplemental report that engaged in banking, current Schedules the estimated amount of expected may be utilized by the Board to collect additional RC–M (with the exception of item 3) recoveries of amounts written off on information that is needed in an expedited manner and RC–V are held confidential these assets. from holding companies. The information collected pursuant to exemption 4 of FOIA (12 on this supplemental report is subject to change as In this same October notice, the Board needed. Generally, the FR Y–9CS report is treated U.S.C. 552(b)(4)). For Edge and proposed to finalize, on an interim as public. However, where appropriate, data items Agreement corporations not engaged in basis, revisions to the definition of on the FR Y–9CS report may be withheld under banking, only information collected on ‘‘savings deposits’’ in the FR Y–9C and exemptions 4 or 8 of the FOIA, 5 U.S.C. 552(b)(4) Schedule RC–M (with the exception of and (8). FR 2886b instructions that are 11 12 CFR part 261. item 3) are given confidential treatment 12 5 U.S.C. 552(b)(8). pursuant to exemption 4 of FOIA (12 14 85 FR 40646 (July 7, 2020). 13 5 U.S.C. 552(b)(4). U.S.C. 552(b)(4)). 15 85 FR 63553 (October 8, 2020).

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associated with the amendments to the ‘‘savings deposits’’ is December 31, 7100–0087). The commenter Board’s Regulation D (Reserve 2020. The effective date for all other recommended that the Board provide Requirements of Depository Institutions) changes is March 31, 2021. clear and consistent definitions of published April 28, 2020.16 The ‘‘savings deposits,’’ ‘‘transaction Comments Received on Provision for temporarily-approved revisions permit, accounts,’’ and ‘‘nontransaction Credit Losses on Off-Balance Sheet but do not require, depository Credit Exposures accounts.’’ In response to the institutions to immediately suspend commenter’s recommendation, the enforcement of the six-transfer limit on The lone commenter on the October Board will continue to maintain the convenient transfers for savings deposits 2020 notice noted the potential impact requirement to report ‘‘savings and to allow their customers to make an on other reports beyond the FR Y–9C of deposits’’ as a component of unlimited number of convenient the GAAP change related to provision nontransaction accounts on the FR Y– transfers and withdrawals from their for credit losses on off-balance sheet 9C and FR 2886b in order to maintain savings deposits. The General credit exposures. These other reports consistency with the Call Report. The Instructions for FR Y–9C Schedule HC– include the FR Y–7N (OMB Control Board will also maintain the definition E, Deposit Liabilities, and FR 2886b Number 7100–0125), FR Y–11 (OMB of ‘‘transaction accounts’’ and Schedule RC–E, Deposit Liabilities, Control Number 7100–0244), FR 2314 ‘‘nontransaction accounts’’ as currently were revised to state that if an (OMB Control Number 7100–0073), FR stated in the FR Y–9C and FR 2886b institution chooses to suspend 2886b (OMB Control Number 7100– instructions, which is consistent with enforcement of the six-transfer limit on 0086), and FR 2644 (OMB Control the Call Report instructions. It is a ‘‘savings deposit,’’ the institution may Number 7100–0075). important to note the Call Report and continue to report that account as a The Board will consider conforming FR Y–9C are principal sources of ‘‘savings deposit’’ or may instead choose changes to the forms and instructions financial data used for supervision and for the FR 2886b, FR Y–7N, FR Y–11, to report that account as a ‘‘transaction regulation of the banking industry and FR 2314 in the future. Any such account’’ based on an assessment of whereas the primary purpose of the FR changes would be proposed by the certain characteristics of the account. 2900 report is to collect data for the Board through a separate Federal Also as part of the October notice, the construction of the monetary aggregates. Board proposed to revise the General Register notice pursuant to the Secondly, regarding the proposed Instructions for FR Y–9C Schedule HC– Paperwork Reduction Act. The Board changes to the assessment criteria for E and FR 2886b Schedule RC–E to state does not intend to make conforming that where the reporting institution has changes to the FR 2644 since this report ‘‘savings deposits,’’ the commenter suspended the enforcement of the six- is only comprised of balance sheet items recommended that a depositor’s transfer limit rule on an account that and this GAAP-related change only eligibility to hold a NOW account otherwise meets the definition of a impacts income statement items. should not be included in the criteria savings deposit, the institution must assessment to determine the reporting Comments Received on Final treatment for savings deposits for which report such deposits as a ‘‘savings Regulation D Reporting Revisions deposit’’ (and as a ‘‘nontransaction the numeric limits on transfers and account’’) or a ‘‘transaction account’’ The Board did not receive comments withdrawals have been removed. The based on an assessment of certain on the proposal to finalize the commenter noted that ‘‘if a firm does criteria. temporarily-approved revisions to the not offer NOW accounts, they would be The comment period for the July 2020 FR Y–9C and FR 2886b instructions required to report savings deposits as notice ended on September 8, 2020. The regarding the definition of ‘‘savings NOW accounts, ATS accounts, or Board did not receive any comments on deposits’’ associated with the telephone and preauthorized transfer this proposal, and the revisions will be amendments to the Board’s Regulation accounts (and as transaction accounts) implemented as proposed, with the new D. The changes were effective as of June based on a depositor’s eligibility to hold data items being collected through 30, 2020. such account’’ and ‘‘for firms that do not December 31, 2021. The commenter on the October 2020 offer NOW accounts, the data necessary The comment period for the October notice raised several concerns with the to determine a depositor’s eligibility for 2020 notice expired on December 7, proposed changes related to the NOW accounts would not be readily 2020. The Board received a comment definition of ‘‘savings deposits’’ and the available.’’ In addition, the commenter from a banker’s association on this assessment criteria to remove certain noted that this reporting treatment proposal. Comments were also received optional reporting, and requested a would be inconsistent with the on a comparable proposal involving the clarification on the definition of ‘‘retail Regulation D definition of savings Consolidated Reports of Condition and sweep arrangements.’’ The commenter deposits, as NOW account eligibility is Income (Call Report) (FFIEC 031, FFIEC recommended that the revisions be not a component of the definition. The 041and FFIEC 051; OMB Control consistent across reports. Specifically, commenter believed that gathering the Number 7100–0036).17 The Board has the commenter recommended that data necessary to distinguish these taken the comments from the proposed savings deposits be classified depositors from other savings account changes to the Call Report into consistently as transaction or holders solely for regulatory reporting consideration in finalizing the proposed nontransaction accounts across reports. purposes would create business and FR Y–9C and FR 2886b changes. The The commenter stated that the systems challenges. The Board agrees revisions to the FR Y–9C and FR 2886b differences in the treatment of savings with the commenter that the depositor’s will be implemented as proposed, with deposits would require firms to report eligibility to hold a NOW account certain modifications described below. savings deposits as nontransaction should not be included in the The effective date of the proposed accounts on the Call Reports, FR Y–9C, assessment criteria for classification as a revisions to the FR Y–9C and FR 2886b and FR 2886b, while the same deposits ‘‘savings deposit,’’ as such reporting instructions regarding the definition of would be classified as a transaction would not be consistent with the account on the Report of Transaction Regulation D definition of savings 16 85 FR 23445 (April 28, 2020). Accounts, Other Deposits and Vault deposits. Therefore, the Board will 17 85 FR 44361 (July 22, 2020). Cash (FR 2900; OMB Control Number remove the depositor’s eligibility to

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hold a NOW account from the Instead, the instructions will note that implementation of a final standard on assessment criteria. The Board and the institutions that offer valid retail sweep this matter by FASB. other federal banking agencies have programs must report each component Because FASB has not yet adopted a proposed comparable revisions to the of the retail sweep arrangement based final standard regarding last-of-layer Call Report. on the customer account agreement hedging, the Board has not adopted the Additionally, the commenter established by the depository proposed FR Y–9C revisions associated recommended that the effective date of institution. The instructions will also with this topic at this time. The Board the proposed revisions to the FR Y–9C note that two key criteria must be met will consider whether to finalize the and the FR 2886b definition of ‘‘savings for a valid retail sweep program. These proposed revisions related to last-of- deposits’’ be delayed from December 31, criteria are: (1) A depository institution layer hedging when FASB adopts a final 2020, until June 30, 2021, to better align must establish by agreement with its standard. with the proposed effective dates of the customer two distinct, legally separate Additional Instructional Matters FR 2900 18 and the Report of Foreign accounts; and (2) the swept funds must (Non-U.S.) Currency Deposits (FR 2915; actually be moved between the The agencies addressed several OMB Control Number 7100–0087). The customer’s accounts on the depository additional instructional matters in the commenter noted that aligning the institution’s official books and records final Call Report notice. The Board will timing of the revisions would give firms as of the close of business on the day(s) make comparable clarifying changes to additional time to implement any on which the depository institution the FR Y–9 reports for consistency further changes made by the Board and intends to report the funds as being in purposes as discussed in detail below. other agencies in light of the comments separate accounts. These modifications 1. Uncollectible Accrued Interest received. In response to the are consistent with modifications to the Receivable Under ASC Topic 326 commenter’s recommendation, the Call Report instructions made in In April 2019, the Financial Board has deferred the effective date of response to a similar comment.19 the proposed revisions that requires a Accounting Standards Board (FASB) depository institution to report each Modifications to Proposed issued ASU No. 2019–04, ‘‘Codification account as a ‘‘savings deposit’’ or a Memorandum Item 8 of Schedule HI–B, Improvements to Topic 326, Financial ‘‘transaction account’’ based on the Part II, ‘‘Changes in Allowances for Instruments—Credit Losses, Topic 815, institution’s assessment of account Credit Losses’’ Derivatives and Hedging, and Topic characteristics and removes the 825, Financial Instruments,’’ which As discussed above, the Board amended ASC Topic 326 to allow an optionality in reporting savings deposits proposed to add a new Memorandum as either a ‘‘savings deposit’’ or a institution to make certain accounting item 8 to Schedule HI–B, Part II, to policy elections for accrued interest ‘‘transaction account’’ if the institution collect the estimated amount of suspended the enforcement of the six- receivable balances, including a expected recoveries of amounts separate policy election, at the class of transfer limit until March 31, 2021. previously written off included within Choosing March 31, 2021 as the financing receivable or major security- the allowance for credit losses on loans proposed effective date will align the FR type level, to charge off any and leases held for investment. The Y–9C and FR 2886b Regulation D uncollectible accrued interest receivable Board did not receive any comments on revisions with the Call Report and will by reversing interest income, this aspect of the proposal, and will provide institutions additional time to recognizing credit loss expense (i.e., adopt this revision. However, the Board implement any necessary changes. The provision expense), or a combination of has decided to collect this new timing of the FR Y–9C changes was both. The Glossary entry for ‘‘Accrued Memorandum item only from holding chosen to match the Call Report to allow Interest Receivable’’ in the FR Y–9C companies with $5 billion or more in for consistent quarterly reporting. report instructions currently references Lastly, the commenter requested total consolidated assets. The Board the following accounting policy clarification on how institutions should decided to limit this collection to such elections in ASU 2019–04: report the components of retail sweep holding companies in order to minimize • Holding companies may elect to arrangements on the FR Y–9C report. burden, consistent with a number of separately present accrued interest Specifically, the commenter asked other FR Y–9C items that are not receivable from the associated financial whether institutions should continue to required from holding companies with asset, and the accrued interest report the nontransaction components less than $5 billion in total assets. receivable is presented net of an of, or savings deposits in, retail sweep Proposed Revisions Related to Last-of- allowance for credit losses (ACL), if any; arrangements as nontransaction Layer Hedging and accounts. If not, the commenter asked • Holding companies that charge off whether institutions should strictly In the October 2020 notice, the Board uncollectible accrued interest receivable follow the proposed assessment criteria proposed to make certain revisions to in a timely manner, i.e., in accordance for the treatment of accounts where the the FR Y–9C related to the last-of-layer with the Glossary entry for ‘‘Nonaccrual transfer limit has been removed. In method of hedge accounting standards. Status,’’ may elect, at the class of response to the comment, the Board has This proposal would have implemented financing receivable or the major modified the description of retail sweep in the FR Y–9C revisions related to a security-type level, not to measure an arrangements in the FR Y–9C project added to the FASB agenda to ACL for accrued interest receivable. instructions to remove references to expand last-of-layer hedging to multiple Although this Glossary entry does not transaction and nontransaction layers, thereby providing more currently provide for the ASU’s separate components. Further, the instructions flexibility to entities when applying accounting policy election for the will indicate that institutions should not hedge accounting to a closed portfolio of charge-off of uncollectible accrued follow the proposed assessment criteria prepayable assets. The Board proposed interest receivable at the class of for the treatment of accounts for which for these revisions to become effective financing receivable or major security- the transfer limit has been removed. following the adoption and type level, this election is specifically addressed in the Interagency Policy 18 85 FR 54577 (Nov. 2, 2020). 19 85 FR 74784. Statement on Allowances for Credit

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Losses issued in May 2020.20 statement, including securitization Accordingly, Schedule HC–B, item 7, Accordingly, as provided in the FR Y– income and servicing fee income, which will be removed effective December 31, 9C Supplemental Instructions for the are currently reported net of specified 2020. 21 September 30, 2020, report date, a expenses and costs. Holding companies report held-to- This net approach better represents an holding company that has adopted ASC maturity and AFS securities in Schedule Topic 326 may make the charge-off institution’s income from a securities- HC–B, items 1 through 7, and have long election for accrued interest receivable related or insurance activity engaged in reported in Schedule HC–B, balances in ASU 2019–04 separately jointly with a third party than when the from the other elections for these third party’s share of the fees and Memorandum item 1, ‘‘Pledged balances in the ASU for FR Y–9C commissions is separately reported as a securities’’ the amount of such reporting purposes. A holding company noninterest expense in another income securities that are pledged to secure may also charge off uncollectible statement data item. As a result, the deposits and for other purposes. accrued interest receivable against an Board has clarified the existing Considering that all institutions that ACL for FR Y–9C reporting purposes. Schedule HI instructions to ensure previously reported their AFS equity The Board plans to update the FR Y– consistent reporting on a net basis of securities in Schedule HC–B, item 7, 9C Glossary entry for ‘‘Accrued Interest fees and commissions from securities- now report these securities in Schedule Receivable’’ to align the instructions in related and insurance activities that are HC, item 2.c, the Board is updating the this entry with the elections permitted shared with third parties. Furthermore, instructions for Schedule HC–B, under U.S. GAAP for institutions that to avoid including repetitive language in Memorandum item 1, and Schedule HC, have adopted ASC 326, which also the instructions for the multiple item 2.c, to indicate that holding would achieve consistency with the noninterest income items for income companies should include in discussion of accrued interest receivable from securities-related and insurance Memorandum item 1 the fair value of in the Interagency Policy Statement on activities in Schedule HI, a new non- pledged equity securities with readily reportable item 5.d captioned ‘‘Income Allowances for Credit Losses. determinable fair values not held for from securities-related and insurance trading that are now reported in 2. Shared Fees and Commissions From activities’’ has been added before the Securities-Related and Insurance existing 5.d subitems on the FR Y–9C Schedule HC, item 2.c. The wording of Activities report. The reporting treatment for existing footnote 1 to Memorandum item 1 of Schedule HC–B on the FR Y– Holding companies with $5 billion or arrangements involving the sharing of more in total assets report income from fees and commissions with third parties 9C forms will be similarly updated. certain securities-related and insurance arising from an institution’s securities These instructional clarifications would activities in FR Y–9C report Schedule brokerage, investment banking, ensure that pledged equity securities HI, Income Statement, items 5.d.(1) investment advisory, securities formerly reportable as AFS equity through (7), while holding companies underwriting, insurance and annuity securities would continue to be reported with less than $5 billion in total assets sales, insurance underwriting, or any in Memorandum item 1 report only items 5.d.(6) and 5.d.(7). other securities-related and insurance notwithstanding the change in When an institution partners with, or activities is explained once in the new accounting for equity securities under otherwise joins with, a third party to item 5.d instructions. U.S. GAAP. Information on pledged conduct these securities-related or 3. Pledged Equity Securities securities is an important element of the insurance activities, and any fees and agencies’ analysis of an institution’s In January 2016, the FASB issued commissions generated by these liquidity risk. The existing footnote 1 to ASU 2016–01, ‘‘Recognition and activities are shared with the third Memorandum item 1, Schedule HC–B Measurement of Financial Assets and party, the Schedule HI instructions do Financial Liabilities.’’ As one of its main on the FR Y–9C forms and the not currently address the reporting provisions, the ASU requires instructions for PC–B Memoranda line treatment for these sharing investments in equity securities, except item 10, ‘‘Pledged securities’’, of the FR arrangements. Consequently, holding those accounted for under the equity Y–9LP and related footnote 1 reference companies may have reported the gross method and those that result in of this line item on the FR Y–9LP forms fees and commissions from these consolidation, to be measured at fair will be similarly updated. activities in the appropriate subitem of value, with changes in fair value Schedule HI, item 5, ‘‘Other noninterest The FR Y–9C instructional recognized in net income. Thus, the income,’’ and the third party’s share of clarifications to the Glossary entry for ASU eliminates the existing concept of ‘‘Accrued Interest Receivable’’ and the fees and commissions separately as available-for-sale (AFS) equity expenses in Schedule HI, item 7.d, Schedule HC–B for pledged equity securities, which are measured at fair securities will take effect December 31, ‘‘Other noninterest expense.’’ value with changes in fair value Alternatively, holding companies may 2020, while the instructional generally recognized in other clarifications to Schedule HI for shared have reported only their net share of the comprehensive income. As of December fees and commissions from securities- fees or commissions in the appropriate 31, 2020, all holding companies will related and insurance activities will take subitem of Schedule HI, item 5. have been required to adopt ASU 2016– The Board believes that reporting 01 and, as a consequence, must report effect March 31, 2021. shared fees and commissions on a net equity securities with readily Board of Governors of the Federal Reserve basis is preferable to gross reporting and determinable fair values not held for System, December 28, 2020. is analogous to how income from certain trading in Schedule HC, Balance Sheet, Ann Misback, other income-generating activities is item 2.c, ‘‘Equity securities with readily reported on the FR Y–9C income Secretary of the Board. determinable fair values not held for [FR Doc. 2020–29028 Filed 12–31–20; 8:45 am] trading,’’ instead of Schedule HC–B, 20 85 FR 32991 (June 1, 2020). BILLING CODE 6210–01–P 21 https://www.federalreserve.gov/reportforms/ Securities, item 7, ‘‘Investments in supplemental/Final%20FR%20Y-9C%20September mutual funds and other equity securities %202020%20Supplemental%20Instructions.pdf. with readily determinable fair values.’’

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FEDERAL RESERVE SYSTEM FEDERAL RESERVE SYSTEM Board of Governors of the Federal Reserve System, December 28, 2020. Formations of, Acquisitions by, and Notice of Proposals To Engage in or Ann Misback, Mergers of Bank Holding Companies To Acquire Companies Engaged in Secretary of the Board. Permissible Nonbanking Activities [FR Doc. 2020–29034 Filed 12–31–20; 8:45 am] The companies listed in this notice have applied to the Board for approval, The companies listed in this notice BILLING CODE P pursuant to the Bank Holding Company have given notice under section 4 of the Act of 1956 (12 U.S.C. 1841 et seq.) Bank Holding Company Act (12 U.S.C. 1843) (BHC Act) and Regulation Y, (12 (BHC Act), Regulation Y (12 CFR part GOVERNMENT ACCOUNTABILITY CFR part 225) to engage de novo, or to 225), and all other applicable statutes OFFICE and regulations to become a bank acquire or control voting securities or holding company and/or to acquire the assets of a company, including the Request for Medicaid and CHIP assets or the ownership of, control of, or companies listed below, that engages Payment and Access Commission the power to vote shares of a bank or either directly or through a subsidiary or (MACPAC) Nominations bank holding company and all of the other company, in a nonbanking activity banks and nonbanking companies that is listed in § 225.28 of Regulation Y AGENCY: Government Accountability owned by the bank holding company, (12 CFR 225.28) or that the Board has Office (GAO). including the companies listed below. determined by Order to be closely related to banking and permissible for ACTION: Request for letters of The public portions of the bank holding companies. Unless nomination and resumes. applications listed below, as well as otherwise noted, these activities will be other related filings required by the conducted throughout the United States. SUMMARY: The Children’s Health Board, if any, are available for Insurance Program Reauthorization Act immediate inspection at the Federal The public portions of the applications listed below, as well as of 2009 (CHIPRA) established MACPAC Reserve Bank(s) indicated below and at to review Medicaid and CHIP access the offices of the Board of Governors. other related filings required by the Board, if any, are available for and payment policies and to advise This information may also be obtained Congress on issues affecting Medicaid on an expedited basis, upon request, by immediate inspection at the Federal Reserve Bank(s) indicated below and at and CHIP. CHIPRA gave the Comptroller contacting the appropriate Federal the offices of the Board of Governors. General of the United States Reserve Bank and from the Board’s This information may also be obtained responsibility for appointing MACPAC’s Freedom of Information Office at on an expedited basis, upon request, by members. GAO is now accepting https://www.federalreserve.gov/foia/ contacting the appropriate Federal nominations for MACPAC appointments request.htm. Interested persons may Reserve Bank and from the Board’s that will be effective May 2021. express their views in writing on the Freedom of Information Office at Nominations should be sent to the email standards enumerated in the BHC Act https://www.federalreserve.gov/foia/ address listed below. Acknowledgement (12 U.S.C. 1842(c)). request.htm. Interested persons may of submissions will be provided within Comments regarding each of these express their views in writing on the a week of submission. applications must be received at the question whether the proposal complies DATES: Letters of nomination and Reserve Bank indicated or the offices of with the standards of section 4 of the resumes should be submitted no later the Board of Governors, Ann E. BHC Act. than January 26, 2021, to ensure Misback, Secretary of the Board, 20th Unless otherwise noted, comments adequate opportunity for review and Street and Constitution Avenue NW, regarding the applications must be consideration of nominees prior to Washington, DC 20551–0001, not later received at the Reserve Bank indicated appointment. than February 3, 2021. or the offices of the Board of Governors, A. Federal Reserve Bank of Atlanta Ann E. Misback, Secretary of the Board, ADDRESSES: Submit letters of (Kathryn Haney, Assistant Vice 20th Street and Constitution Avenue nomination and resumes to President) 1000 Peachtree Street NE, NW, Washington, DC 20551–0001, not [email protected]. Atlanta, Georgia 30309. Comments can later than February 3, 2021. FOR FURTHER INFORMATION CONTACT: also be sent electronically to A. Federal Reserve Bank of New York Susan Anthony at (312) 220–7666 or [email protected]: (Ivan Hurwitz, Senior Vice President) 33 [email protected] if you do not receive 1. St. Holdings, Inc., Orlando, Florida; Liberty Street, New York, New York an acknowledgment or need additional to become a bank holding company by 10045–0001. Comments can also be sent information. For general information, acquiring outstanding shares of Rochelle electronically to contact GAO’s Office of Public Affairs, State Bank, Rochelle, Georgia. [email protected]: (202) 512–4800. Board of Governors of the Federal Reserve 1. Caisse Fe´de´rale de Cre´dit Mutuel, Authority: Public Law 111–3, sec. 506; 42 System, December 28, 2020. Strasbourg, France; and its subsidiaries U.S.C. 1396. ´ Ann Misback, Credit Industriel et Commercial and Banque Transatlantique, both of Paris, Gene L. Dodaro, Secretary of the Board. France; to engage in financial and Comptroller General of the United States. [FR Doc. 2020–29033 Filed 12–31–20; 8:45 am] investment advisory activities through [FR Doc. 2020–28477 Filed 12–31–20; 8:45 am] BILLING CODE P their indirect subsidiary, BILLING CODE 1610–02–P Transatlantique Private Wealth LLC, New York, New York, pursuant to section 225.28(b)(6) of the Board’s Regulation Y.

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DEPARTMENT OF HEALTH AND 2. Call the Reports Clearance Office at information will be used by CMS to: (1) HUMAN SERVICES (410) 786–1326. Ensure that applicants meet CMS FOR FURTHER INFORMATION CONTACT: requirements for offering Part D plans Centers for Medicare & Medicaid William Parham at (410) 786–4669. (including network adequacy, Services SUPPLEMENTARY INFORMATION: Under the contracting requirements, and [Document Identifier: CMS–10137 and CMS– Paperwork Reduction Act of 1995 (PRA) compliance program requirements, as R–262] (44 U.S.C. 3501–3520), federal agencies described in the application), (2) must obtain approval from the Office of support the determination of contract Agency Information Collection Management and Budget (OMB) for each awards. Form Number: CMS–10137 Activities: Submission for OMB collection of information they conduct (OMB control number: 0938–0936); Review; Comment Request or sponsor. The term ‘‘collection of Frequency: Yearly; Affected Public: Private Sector: Business or other for- AGENCY: Centers for Medicare & information’’ is defined in 44 U.S.C. 3502(3) and 5 CFR 1320.3(c) and profits and Not-for-profit institutions Medicaid Services, Health and Human and State, Local or Tribal Governments; includes agency requests or Services (HHS). Number of Respondents: 658; Total requirements that members of the public ACTION: Annual Responses: 331; Total Annual Notice. submit reports, keep records, or provide Hours: 1,550. (For policy questions information to a third party. Section SUMMARY: The Centers for Medicare & regarding this collection, contact 3506(c)(2)(A) of the PRA (44 U.S.C. Medicaid Services (CMS) is announcing Arianne Spaccarelli at 410–786–5715.) an opportunity for the public to 3506(c)(2)(A)) requires federal agencies 2. Type of Information Collection comment on CMS’ intention to collect to publish a 30-day notice in the Request: Revision of a currently information from the public. Under the Federal Register concerning each approved collection; Title of Paperwork Reduction Act of 1995 proposed collection of information, Information Collection: CMS Plan (PRA), federal agencies are required to including each proposed extension or Benefit Package (PBP) and Formulary publish notice in the Federal Register reinstatement of an existing collection CY 2022; Use: Under the Medicare concerning each proposed collection of of information, before submitting the Modernization Act (MMA), Medicare information, including each proposed collection to OMB for approval. To Advantage (MA) and Prescription Drug extension or reinstatement of an existing comply with this requirement, CMS is Plan (PDP) organizations are required to collection of information, and to allow publishing this notice that summarizes submit plan benefit packages for all a second opportunity for public the following proposed collection(s) of Medicare beneficiaries residing in their comment on the notice. Interested information for public comment: service area. The plan benefit package persons are invited to send comments 1. Type of Information Collection submission consists of the Plan Benefit regarding the burden estimate or any Request: Revision of a currently Package (PBP) software, formulary file, other aspect of this collection of approved collection; Title of and supporting documentation, as information, including the necessity and Information Collection: Solicitation for necessary. MA and PDP organizations utility of the proposed information Applications for Medicare Prescription use the PBP software to describe their collection for the proper performance of Drug Plan 2022 Contracts; Use: Coverage organization’s plan benefit packages, the agency’s functions, the accuracy of for the prescription drug benefit is including information on premiums, the estimated burden, ways to enhance provided through contracted cost sharing, authorization rules, and the quality, utility, and clarity of the prescription drug plans (PDPs) or supplemental benefits. They also information to be collected, and the use through Medicare Advantage (MA) generate a formulary to describe their of automated collection techniques or plans that offer integrated prescription list of drugs, including information on other forms of information technology to drug and health care coverage (MA–PD prior authorization, step therapy, minimize the information collection plans). Cost Plans that are regulated tiering, and quantity limits. burden. under Section 1876 of the Social CMS requires that MA and PDP Security Act, and Employer Group organizations submit a completed PBP DATES: Comments on the collection(s) of Waiver Plans (EGWP) may also provide and formulary as part of the annual information must be received by the a Part D benefit. Organizations wishing bidding process. During this process, OMB desk officer by February 3, 2021. to provide services under the organizations prepare their proposed ADDRESSES: Written comments and Prescription Drug Benefit Program must plan benefit packages for the upcoming recommendations for the proposed complete an application, negotiate rates, contract year and submit them to CMS information collection should be sent and receive final approval from CMS. for review and approval. CMS uses this within 30 days of publication of this Existing Part D Sponsors may also data to review and approve the benefit notice to www.reginfo.gov/public/do/ expand their contracted service area by packages that the plans will offer to PRAMain. Find this particular completing the Service Area Expansion Medicare beneficiaries. This allows information collection by selecting (SAE) application. CMS to review the benefit packages in ‘‘Currently under 30-day Review—Open Collection of this information is a consistent way across all submitted for Public Comments’’ or by using the mandated in Part D of the Medicare bids during with incredibly tight search function. Prescription Drug, Improvement, and timeframes. This data is also used to To obtain copies of a supporting Modernization Act of 2003 (MMA) in populate data on Medicare Plan Finder, statement and any related forms for the Subpart 3. The application requirements which allows beneficiaries to access and proposed collection(s) summarized in are codified in Subpart K of 42 CFR 423 compare Medicare Advantage and this notice, you may make your request entitled ‘‘Application Procedures and Prescription Drug plans. Form Number: using one of following: Contracts with PDP Sponsors.’’ CMS–R–262 (OMB control number: 1. Access CMS’ website address at The information will be collected 0938–0763); Frequency: Yearly; Affected website address at https://www.cms.gov/ under the solicitation of proposals from Public: Private Sector: Business or other Regulations-and-Guidance/Legislation/ PDP, MA–PD, Cost Plan, Program of All for-profits and Not-for-profit institutions PaperworkReductionActof1995/PRA- Inclusive Care for the Elderly (PACE), and State, Local or Tribal Governments; Listing.html. and EGWP applicants. The collected Number of Respondents: 753; Total

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Annual Responses: 8,090; Total Annual debarment of an individual from Ms. Lee’s co-conspirators directed Insys Hours: 74,038. (For policy questions providing services in any capacity to a employees to mislead insurers to obtain regarding this collection, contact Kristy person that has an approved or pending payment authorization. Holtje at 410–786–2209.) drug product application if FDA finds As a result of this conviction, FDA Dated: December 29, 2020. that the individual has been convicted sent Ms. Lee by certified mail on August 3, 2020, a notice proposing to William N. Parham, III, of a felony under Federal law for conduct relating to the regulation of any permanently debar her from providing Director, Paperwork Reduction Staff, Office drug product under the FD&C Act. On services in any capacity to a person that of Strategic Operations and Regulatory has an approved or pending drug Affairs. January 22, 2020, Ms. Lee was convicted as defined in section 306(l)(1) of the product application. The proposal was [FR Doc. 2020–29116 Filed 12–31–20; 8:45 am] FD&C Act when judgment was entered based on a finding, under section BILLING CODE 4120–01–P against her in the U.S. District Court for 306(a)(2)(B) of the FD&C Act, that Ms. the District of Massachusetts, after a jury Lee was convicted of a felony under Federal law for conduct relating to the DEPARTMENT OF HEALTH AND verdict, on one count of Racketeering regulation of a drug product under the HUMAN SERVICES Conspiracy in violation of 18 U.S.C. 1962(d). The pattern of racketeering FD&C Act. The proposal also offered Food and Drug Administration activity she was convicted of included Ms. Lee an opportunity to request a engaging in multiple acts of mail fraud hearing, providing her 30 days from the [Docket No. FDA–2020–N–1415] (18 U.S.C. 1341) and wire fraud (18 date of receipt of the letter in which to U.S.C. 1343). file the request, and advised her that Sunrise Lee: Final Debarment Order failure to request a hearing constituted The factual basis for this conviction is an election not to use the opportunity AGENCY: Food and Drug Administration, as follows: Ms. Lee held executive for a hearing and a waiver of any HHS. management positions, to include contentions concerning this action. Ms. ACTION: Notice. Regional Sales Manager for the Mid- Lee received the proposal on September Atlantic Region, Regional Director for SUMMARY: 8, 2020. She did not request a hearing The Food and Drug the Central Region, and Regional within the timeframe prescribed by Administration (FDA or Agency) is Director for the West Region, of Insys issuing an order under the Federal regulation and has, therefore, waived Therapeutics Inc. (Insys), a Delaware her opportunity for a hearing and any Food, Drug, and Cosmetic Act (FD&C Corporation, with headquarters in Act) permanently debarring Sunrise Lee contentions concerning her debarment Chandler, Arizona. Insys developed and (21 CFR part 12). from providing services in any capacity owned a drug called SUBSYS, a liquid to a person that has an approved or formulation of fentanyl to be applied II. Findings and Order pending drug product application. FDA under the tongue. FDA approved Therefore, the Assistant bases this order on a finding that Ms. SUBSYS for the management of Lee was convicted of a felony under Commissioner, Office of Human and breakthrough pain in adult cancer Animal Food Operations, under section Federal law for conduct that relates to patients who are already receiving and the regulation of a drug product under 306(a)(2)(B) of the FD&C Act, under are already tolerant to opioid therapy for authority delegated to the Assistant the FD&C Act. Ms. Lee was given notice their underlying persistent cancer pain. of the proposed permanent debarment Commissioner, finds that Ms. Sunrise From 2012 and continuing through Lee has been convicted of a felony and an opportunity to request a hearing 2015, Ms. Lee participated in a to show why she should not be under Federal law for conduct conspiracy whereby employees of Insys otherwise relating to the regulation of a debarred. As of October 8, 2020 (30 days bribed medical practitioners in various after receipt of the notice), Ms. Lee had drug product under the FD&C Act. states to get those practitioners to As a result of the foregoing finding, not responded. Ms. Lee’s failure to increase prescribing SUBSYS to their Ms. Lee is permanently debarred from respond and request a hearing patients, many of whom did not have providing services in any capacity to a constitutes a waiver of her right to a cancer. Ms. Lee, along with her co- person with an approved or pending hearing concerning this action. conspirators, measured the effect of drug product application, effective (see DATES: This order is applicable January these bribes on each practitioner’s DATES) (see sections 306(a)(2)(B) and 4, 2021. prescribing habits and on the revenue (c)(2)(A)(ii) of the FD&C Act). Any ADDRESSES: Submit applications for that each bribed practitioner generated person with an approved or pending termination of debarment to the Dockets for Insys. Ms. Lee, along with her co- drug product application who Management Staff, Food and Drug conspirators, reduced or eliminated knowingly employs or retains as a Administration, 5630 Fishers Lane, Rm. bribes paid to those practitioners who consultant or contractor, or otherwise 1061, Rockville, MD 20852, 240–402– failed to meet the minimum uses the services of Ms. Lee in any 7500, or at https://www.regulations.gov. prescription requirements or failed to capacity during her debarment, will be FOR FURTHER INFORMATION CONTACT: generate enough revenue to justify subject to civil money penalties (section Jaime Espinosa, (ELEM–4029) Division additional bribes. To further this 307(a)(6) of the FD&C Act (21 U.S.C. of Enforcement, Office of Strategic conspiracy, Ms. Lee’s co-conspirators 335b(a)(6))). If Ms. Lee provides services Planning and Operational Policy, Office mislead and defrauded health insurance in any capacity to a person with an of Regulatory Affairs, Food and Drug providers to ensure those providers approved or pending drug product Administration, 12420 Parklawn Dr., approved payment for SUBSYS. Insys application during her period of Rockville, MD 20857, 240–402–8743, or achieved this goal by establishing the debarment, she will be subject to civil at [email protected]. ‘‘Insys Reimbursement Center,’’ which money penalties (section 307(a)(7) of the SUPPLEMENTARY INFORMATION: was designed to shift the burden of FD&C Act). In addition, FDA will not seeking prior authorization for SUBSYS accept or review any abbreviated new I. Background from practitioners to Insys. This allowed drug application from Ms. Lee during Section 306(a)(2)(B) of the FD&C Act Insys to determine what medical her period of debarment, other than in (21 U.S.C. 335a(a)(2)(B)) requires information was presented to insurers. connection with an audit under section

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306 of the FD&C Act (section DATES: This order is effective January 4, drugs pursuant to 21 U.S.C. 353. These 306(c)(1)(B) of the FD&C Act). Note that, 2021. unauthorized sellers obtained their for purposes of section 306 of the FD&C ADDRESSES: Submit applications for prescription drugs from various Act, a ‘‘drug product’’ is defined as a termination of debarment to the Dockets networks of street level drug diverters. drug subject to regulation under section Management Staff, Food and Drug Mr. Smith directed employees to take 505, 512, or 802 of the FD&C Act (21 Administration, 5630 Fishers Lane, Rm. steps to conceal the true origins of the U.S.C. 355, 360b, or 382) or under 1061, Rockville, MD 20852, 240–402– diverted prescription drugs shipped to section 351 of the Public Health Service 7500, or at https://www.regulations.gov. the company’s warehouse facilities Act (42 U.S.C. 262) (section 201(dd) of FOR FURTHER INFORMATION CONTACT: before shipping them to pharmacy the FD&C Act (21 U.S.C. 321(dd))). Jaime Espinosa, Division of Enforcement customers around the country. Such Any application by Ms. Lee for (ELEM–4029), Office of Strategic steps included, but were not limited to, special termination of debarment under Planning and Operational Policy, Office falsification of documents concerning section 306(d)(4) of the FD&C Act of Regulatory Affairs, Food and Drug the chain of custody or pedigree of a should be identified with Docket No. Administration, 12420 Parklawn Dr., drug. These falsified pedigree FDA–2020–N–1415 and sent to the Rockville, MD 20857, 240–402–8743, or documents, which Mr. Smith provided Dockets Management Staff (see at [email protected]. to his pharmacy customers or ADDRESSES). The public availability of maintained at Cumberland, inaccurately information in these submissions is SUPPLEMENTARY INFORMATION: represented that the diverted products governed by 21 CFR 10.20. I. Background had been obtained from licensed Publicly available submissions will be wholesale distributors. Mr. Smith also Section 306(a)(2)(B) of the FD&C Act placed in the docket and will be used shell companies to receive and (21 U.S.C. 335a(a)(2)(B)) requires viewable at https://www.regulations.gov relabel diverted prescription drugs debarment of an individual from or at the Dockets Management Staff (see before sending them to Cumberland’s providing services in any capacity to a ADDRESSES) between 9 a.m. and 4 p.m., warehouse facilities to create the false person that has an approved or pending Monday through Friday, 240–402–7500. appearance that his company was drug product application if FDA finds purchasing prescription drugs from Dated: December 28, 2020. that the individual has been convicted Lauren K. Roth, licensed wholesale distributors. of a felony under Federal law for The diverted drugs included, but were Acting Principal Associate Commissioner for conduct relating to the regulation of any Policy. not limited to, drugs used to treat drug product under the FD&C Act. On human immunodeficiency virus/ [FR Doc. 2020–29044 Filed 12–31–20; 8:45 am] July 16, 2018, Mr. Smith was convicted acquired immunodeficiency syndrome, BILLING CODE 4164–01–P as defined in section 306(l)(1)(A) of the antipsychotic medications, FD&C Act when judgment was entered antidepressants, blood pressure against him in the U.S. District Court for medications, and diabetes medications. DEPARTMENT OF HEALTH AND the Middle District of Tennessee, HUMAN SERVICES Numerous pharmacies reported Nashville Division, after a jury trial, to problems with drugs they purchased Food and Drug Administration one count of conspiracy to commit mail from Cumberland, including fraud in violation of 18 U.S.C. 371, 15 prescription drug bottles containing the [Docket No. FDA–2019–N–3794] counts of mail fraud in violation of 18 wrong medicine, the wrong dosage U.S.C. 1341, and one count of information, and foreign objects inside. Jerrod Nichols Smith: Debarment obstruction of justice in violation of 18 Order At trial, several witnesses testified that U.S.C. 1001. at least one bottle of prescription drugs AGENCY: Food and Drug Administration, The factual basis for these convictions sold by Cumberland contained Tic Tacs HHS. is as follows: Mr. Smith was one of the instead of medicine. Through the course ACTION: Notice. owners and operators of Cumberland of this scheme, Mr. Smith’s company Distribution, Inc. (‘‘Cumberland’’), had gross proceeds of approximately SUMMARY: The Food and Drug formerly known as Midwest Pharmacy, $58,984,912. His profits were Administration (FDA or Agency) is which was a wholesale drug approximately $14,689,782. issuing an order permanently debarring distribution company incorporated in As a result of these convictions, FDA Jerrod Nichols Smith from providing Nevada and Tennessee. Mr. Smith was sent Mr. Smith by certified mail on July services in any capacity to a person that engaged in the business of wholesale 16, 2020, a notice proposing to has an approved or pending drug distribution of prescription drugs, as permanently debar him from providing product application. FDA bases this defined by 21 U.S.C. 353(e)(3)(B), to services in any capacity to a person that order on a finding that Mr. Smith was pharmacy customers throughout the has an approved or pending drug convicted of multiple felony counts United States. From December 2006 product application. The proposal was under Federal law for conduct that through August 2009, Mr. Smith, along based on a finding, under section relates to the regulation of a drug with others, purchased millions of 306(a)(2)(B) of the FD&C Act, that Mr. product under the Federal, Food, Drug, dollars of prescription drugs, through Smith was convicted of felonies under and Cosmetic Act (the FD&C Act). Mr. Cumberland. The vast majority of the Federal law for conduct relating to the Smith was given notice of the proposed prescription drugs purchased by regulation of a drug product under the permanent debarment and was given an Cumberland and received at the FD&C Act. The proposal also offered Mr. opportunity to request a hearing to show company’s warehouse facilities were Smith an opportunity to request a why he should not be debarred. As of sold to Cumberland, directly and hearing, providing him 30 days from the September 27, 2020 (30 days after indirectly, by individuals and entities date of receipt of the letter in which to receipt of the notice), Mr. Smith had not whom Mr. Smith knew were not file the request, and advised him that responded. Mr. Smith’s failure to licensed by any State to engage in the failure to request a hearing constituted respond and request a hearing wholesale distribution of prescription an election not to use the opportunity constitutes a waiver of his right to a drugs and were not otherwise for a hearing and a waiver of any hearing concerning this action. authorized to distribute prescription contentions concerning this action. Mr.

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Smith received the proposal on August ADDRESSES) between 9 a.m. and 4 p.m., person that has an approved or pending 28, 2020. Mr. Smith did not request a Monday through Friday, 240–402–7500. drug product application if FDA finds hearing within the timeframe prescribed Dated: December 28, 2020. that the individual has been convicted of a felony under Federal law for by regulation and has, therefore, waived Lauren K. Roth, his opportunity for a hearing and any conduct relating to the regulation of any Acting Principal Associate Commissioner for drug product under the FD&C Act. On contentions concerning his debarment Policy. (21 CFR part 12). January 23, 2020, Mr. Burlakoff was [FR Doc. 2020–29052 Filed 12–31–20; 8:45 am] convicted as defined in section 306(l)(1) II. Findings and Order BILLING CODE 4164–01–P of the FD&C Act when judgment was Therefore, the Assistant entered against him in the U.S. District Court for the District of Massachusetts, Commissioner, Office of Human and DEPARTMENT OF HEALTH AND after his plea of guilty, to one count of Animal Food Operations, under section HUMAN SERVICES 306(a)(2)(B) of the FD&C Act, under Racketeering Conspiracy in violation of authority delegated to the Assistant Food and Drug Administration 18 U.S.C. 1962(d). The pattern of Commissioner, finds that Mr. Smith has racketeering activity he was convicted been convicted of multiple felonies [Docket No. FDA–2020–N–1372] of included engaging in multiple acts of under Federal law for conduct illegal distribution of a controlled Alec Burlakoff: Final Debarment Order otherwise relating to the regulation of a substance (21 U.S.C. 841(a)(1)); mail drug product under the FD&C Act. AGENCY: Food and Drug Administration, fraud (18 U.S.C. 1341); wire fraud (18 As a result of the foregoing finding, HHS. U.S.C. 1343); honest services mail fraud Mr. Smith is permanently debarred from ACTION: Notice. (18 U.S.C. 1341 and 1346); and, honest providing services in any capacity to a services wire fraud (18 U.S.C. 1343 and person with an approved or pending SUMMARY: The Food and Drug 1346). drug product application, effective (see Administration (FDA or Agency) is The factual basis for this conviction is DATES) (see section 306(a)(2)(B) and issuing an order under the Federal as follows: Mr. Burlakoff held executive (c)(2)(A)(ii) of the FD&C Act). Any Food, Drug, and Cosmetic Act (FD&C management positions at Insys person with an approved or pending Act) permanently debarring Alec Therapeutics Inc. (Insys), including drug product application who Burlakoff from providing services in any Regional Sales Manager for the knowingly employs or retains as a capacity to a person that has an Southeast Region and Vice President of consultant or contractor, or otherwise approved or pending drug product Sales. Insys is a Delaware Corporation, uses the services of Mr. Smith, in any application. FDA bases this order on a with headquarters in Chandler, Arizona. capacity during his debarment, will be finding that Alec Burlakoff was Insys developed and owned a drug subject to civil money penalties (section convicted of a felony under Federal law called SUBSYS, a liquid formulation of fentanyl to be applied under the tongue. 307(a)(6) of the FD&C Act (21 U.S.C. for conduct that relates to the regulation FDA approved SUBSYS for the 335b(a)(6))). If Mr. Smith provides of a drug product under the FD&C Act. management of breakthrough pain in services in any capacity to a person with Mr. Burlakoff was given notice of the adult cancer patients who are already an approved or pending drug product proposed permanent debarment and receiving and are already tolerant to application during his period of was given an opportunity to request a opioid therapy for their underlying debarment he will be subject to civil hearing to show why he should not be persistent cancer pain. From May 2012 money penalties (section 307(a)(7) of the debarred. As of July 24, 2020 (30 days and continuing until December 2015, he FD&C Act). In addition, FDA will not after receipt of the notice), Mr. Burlakoff participated in a conspiracy whereby accept or review any abbreviated new had not responded. Mr. Burlakoff’s failure to respond and request a hearing employees of Insys bribed and provided drug applications from Mr. Smith kickbacks to medical practitioners in during his period of debarment, other constitutes a waiver of his right to a hearing concerning this action. various states to get those practitioners than in connection with an audit under to increase prescribing SUBSYS to their DATES: This order is applicable January section 306 of the FD&C Act (section patients, many of whom did not have 4, 2021. 306(c)(1)(B) of the FD&C Act). Note that, cancer. The bribes and kickbacks took for purposes of section 306 of the FD&C ADDRESSES: Submit applications for various forms to include honoraria for Act, a ‘‘drug product’’ is defined as a special termination of debarment to the the practitioners’ participation in drug subject to regulation under section Dockets Management Staff (HFA–305), educational events, payment of the 505, 512, or 802 of the FD&C Act (21 Food and Drug Administration, 5630 practitioner’s staff salaries, and the U.S.C. 355, 360b, or 382) or under Fishers Lane, Rm. 1061, Rockville, MD completion of office tasks for the section 351 of the Public Health Service 20852, 240–402–7500. provider performed by Insys employees. Act (42 U.S.C. 262) (see section 201(dd) FOR FURTHER INFORMATION CONTACT: Mr. Burlakoff and his co-conspirators of the FD&C Act (21 U.S.C. 321(dd))). Jaime Espinosa, Division of used pharmacy data acquired from third Any application by Mr. Smith for Enforcement, Office of Strategic parties to identify practitioners who special termination of debarment under Planning and Operational Policy, Office either prescribed unusually high section 306(d)(4) of the FD&C Act of Regulatory Affairs, Food and Drug volumes of rapid-onset opioids, or had should be identified with Docket No. Administration, 12420 Parklawn Dr., demonstrated a capacity to prescribe FDA–2019–N–3794 and sent to the Rockville, MD 20857, debarments@ unusually large volumes of rapid-onset Dockets Management Staff (see fda.hhs.gov, 240–402–8743. opioids. In exchange for bribes and ADDRESSES). The public availability of SUPPLEMENTARY INFORMATION: kickbacks to these targeted practitioners, information in these submissions is the practitioners increased the number governed by 21 CFR 10.20. I. Background of new SUBSYS prescriptions they Publicly available submissions will be Section 306(a)(2)(B) of the FD&C Act wrote and increased the dosage and placed in the docket and will be (21 U.S.C. 335a(a)(2)(B)) requires number of units of SUBSYS for new and viewable at https://www.regulations.gov debarment of an individual from existing prescriptions. Many of the or at the Dockets Management Staff (see providing services in any capacity to a targeted practitioner’s patients for

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whom they wrote the additional U.S.C. 335b(a)(6))). If Mr. Burlakoff of a drug product under the FD&C Act. SUBSYS prescriptions did not have provides services in any capacity to a Mr. Rowan was given notice of the cancer. Mr. Burlakoff, along with his co- person with an approved or pending proposed permanent debarment and an conspirators, measured the effect of the drug product application during his opportunity to request a hearing to show bribes and kickbacks on each period of debarment, he will be subject why he should not be debarred. As of practitioner’s prescribing habits and on to civil money penalties (section August 6, 2020 (30 days after receipt of the revenue that each bribed 307(a)(7) of the FD&C Act). In addition, the notice), Mr. Rowan had not practitioner generated. Mr. Burlakoff, FDA will not accept or review any responded. Mr. Rowan’s failure to along with his co-conspirators, reduced abbreviated new drug application from respond and request a hearing or eliminated bribes and kickbacks paid Mr. Burlakoff during his period of constitutes a waiver of his right to a to those practitioners who failed to meet debarment, other than in connection hearing concerning this action. the minimum prescription requirements with an audit under section 306 of the DATES: This order is applicable January or failed to generate enough revenue to FD&C Act (section 306(c)(1)(B) of the 4, 2021. justify additional bribes and kickbacks. FD&C Act). Note that, for purposes of ADDRESSES: Submit applications for As a result of this conviction, FDA section 306 of the FD&C Act, a ‘‘drug termination of debarment to the Dockets sent Mr. Burlakoff by certified mail on product’’ is defined as a drug subject to Management Staff (HFA–305), Food and July 16, 2020, a notice proposing to regulation under 21 U.S.C. 355, 360b, or Drug Administration, 5630 Fishers permanently debar him from providing 382 or under section 351 of the Public Lane, Rm. 1061, Rockville, MD 20852, services in any capacity to a person that Health Service Act (42 U.S.C. 262) 240–402–7500, or at https:// has an approved or pending drug (section 201(dd) of the FD&C Act (21 www.regulations.gov. product application. The proposal was U.S.C. 321(dd)). based on a finding, under section Any application by Mr. Burlakoff for FOR FURTHER INFORMATION CONTACT: 306(a)(2)(B) of the FD&C Act, that Mr. special termination of debarment under Jaime Espinosa (ELEM–4029), Division Burlakoff was convicted of a felony section 306(d)(4) of the FD&C Act of Enforcement, Office of Strategic under Federal law for conduct relating should be identified with Docket No. Planning and Operational Policy, Office to the regulation of a drug product FDA–2020–N–1372 and sent to the of Regulatory Affairs, Food and Drug under the FD&C Act. The proposal also Dockets Management Staff (see Administration, 12420 Parklawn Dr., offered Mr. Burlakoff an opportunity to ADDRESSES). The public availability of Rockville, MD 20857, 240–402–8743, or request a hearing, providing him 30 information in these submissions is at [email protected]. days from the date of receipt of the letter governed by 21 CFR 10.20. SUPPLEMENTARY INFORMATION: in which to file the request, and advised Publicly available submissions will be I. Background him that failure to request a hearing placed in the docket and will be constituted an election not to use the viewable at https://www.regulations.gov Section 306(a)(2)(B) of the FD&C Act opportunity for a hearing and a waiver or at the Dockets Management Staff (see (21 U.S.C. 335a(a)(2)(B)) requires of any contentions concerning this ADDRESSES) between 9 a.m. and 4 p.m., debarment of an individual from action. Mr. Burlakoff received the Monday through Friday, 240–402–7500. providing services in any capacity to a proposal on July 25, 2020. He did not person that has an approved or pending Dated: December 28, 2020. drug product application if FDA finds request a hearing within the timeframe Lauren K. Roth, prescribed by regulation and has, that the individual has been convicted Acting Principal Associate Commissioner for of a felony under Federal law for therefore, waived his opportunity for a Policy. hearing and any contentions concerning conduct relating to the regulation of any his debarment (21 CFR part 12). [FR Doc. 2020–29046 Filed 12–31–20; 8:45 am] drug product under the FD&C Act. On BILLING CODE 4164–01–P January 21, 2020, Mr. Rowan was II. Findings and Order convicted as defined in section 306(l)(1) Therefore, the Assistant of the FD&C Act when judgment was Commissioner, Office of Human and DEPARTMENT OF HEALTH AND entered against him in the U.S. District Animal Food Operations, under section HUMAN SERVICES Court for the District of Massachusetts, 306(a)(2)(B) of the FD&C Act, under Food and Drug Administration after a jury verdict, on one count of authority delegated to the Assistant Racketeering Conspiracy in violation of Commissioner, finds that Alec Burlakoff [Docket No. FDA–2020–N–1412] 18 U.S.C. 1962(d). The pattern of has been convicted of a felony under racketeering activity he was convicted Federal law for conduct otherwise Joseph A. Rowan: Final Debarment of included engaging in multiple acts of relating to the regulation of a drug Order mail fraud (18 U.S.C. 1341) and wire product under the FD&C Act. AGENCY: Food and Drug Administration, fraud (18 U.S.C. 1343). As a result of the foregoing finding, HHS. The factual basis for this conviction is Mr. Burlakoff, is permanently debarred ACTION: Notice. as follows: Mr. Rowan held executive from providing services in any capacity management positions, including to a person with an approved or SUMMARY: The Food and Drug Regional Sales Manager and Regional pending drug product application, Administration (FDA or Agency) is Director of the East Region of Insys effective (see DATES) (see sections issuing an order under the Federal Therapeutics Inc. (Insys), a Delaware 306(a)(2)(B) and (c)(2)(A)(ii) of the FD&C Food, Drug, and Cosmetic Act (FD&C corporation, with headquarters in Act). Any person with an approved or Act) permanently debarring Joseph A. Chandler, Arizona. Insys developed and pending drug product application who Rowan from providing services in any owned a drug called SUBSYS, a liquid knowingly employs or retains as a capacity to a person that has an formulation of fentanyl to be applied consultant or contractor, or otherwise approved or pending drug product under the tongue. FDA approved uses the services of Mr. Burlakoff, in application. FDA bases this order on a SUBSYS for the management of any capacity during his debarment, will finding that Joseph A. Rowan was breakthrough pain in adult cancer be subject to civil money penalties convicted of a felony under Federal law patients who are already receiving and (section 307(a)(6) of the FD&C Act (21 for conduct that relates to the regulation are already tolerant to opioid therapy for

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their underlying persistent cancer pain. Animal Food Operations, under section DEPARTMENT OF HEALTH AND From May 2012 and continuing until 306(a)(2)(B) of the FD&C Act, under HUMAN SERVICES December 2015, Mr. Rowan participated authority delegated to the Assistant in a conspiracy whereby employees of Commissioner, finds that Mr. Rowan Food and Drug Administration Insys bribed medical practitioners in has been convicted of a felony under [Docket No. FDA–2018–N–1129] various States to get those practitioners Federal law for conduct otherwise to increase prescribing SUBSYS to their relating to the regulation of a drug Agency Information Collection patients, many of whom did not have product under the FD&C Act. Activities; Proposed Collection; cancer. Mr. Rowan, along with his co- As a result of the foregoing finding, Comment Request; National conspirators, measured the effect of Mr. Rowan is permanently debarred Agriculture and Food Defense Strategy these bribes on each practitioner’s from providing services in any capacity Survey prescribing habits and on the revenue to a person with an approved or that each bribed practitioner generated AGENCY: Food and Drug Administration, pending drug product application, HHS. for Insys. Mr. Rowan, along with his co- effective (see DATES) (see sections ACTION: Notice. conspirators, reduced or eliminated 306(a)(2)(B) and 306(c)(2)(A)(ii) of the bribes paid to those practitioners who FD&C Act). Any person with an SUMMARY: The Food and Drug failed to meet the minimum approved or pending drug product Administration (FDA or Agency) is prescription requirements or failed to application who knowingly employs or announcing an opportunity for public generate enough revenue to justify retains as a consultant or contractor, or comment on the proposed collection of additional bribes. otherwise uses the services of Mr. certain information by the Agency. To further this conspiracy, Mr. Rowan Rowan, in any capacity during his Under the Paperwork Reduction Act of was involved in a scheme with his co- debarment, will be subject to civil 1995 (PRA), Federal Agencies are conspirators whereby Insys executives money penalties (section 307(a)(6) of the required to publish notice in the conspired to mislead and defraud health FD&C Act (21 U.S.C. 335b(a)(6))). If Mr. Federal Register concerning each insurance providers to ensure those Rowan provides services in any capacity proposed collection of information, providers approved payment for to a person with an approved or including each proposed extension of an SUBSYS. Insys achieved this goal by pending drug product application existing collection of information, and establishing the ‘‘Insys Reimbursement during his period of debarment, he will to allow 60 days for public comment in Center,’’ which was designed to shift the response to the notice. This notice burden of seeking prior authorization be subject to civil money penalties solicits comments on the information for SUBSYS from practitioners to Insys. (section 307(a)(7) of the FD&C Act (21 collection requirements for a voluntary This allowed Insys to determine what U.S.C. 335b(a)(7))). In addition, FDA medical information was presented to will not accept or review any survey for the Department of Health and insurers. Mr. Rowan and his co- abbreviated new drug application from Human Services (HHS), the U.S. conspirators directed Insys employees Mr. Rowan during his period of Department of Agriculture (USDA), and to mislead insurers to obtain payment debarment, other than in connection the Department of Homeland Security authorization. with an audit under section 306 of the (DHS), which will inform the FDA Food As a result of this conviction, FDA FD&C Act (section 306(c)(1)(B) of the Safety Modernization Act (FSMA), sent Mr. Rowan by certified mail on FD&C Act). Note that, for purposes of National Agriculture and Food Defense August 3, 2020, a notice proposing to section 306 of the FD&C Act, a ‘‘drug Strategy (NAFDS) Report to Congress. permanently debar him from providing product’’ is defined as a drug subject to The proposed survey will be used to services in any capacity to a person that regulation under section 505, 512, or determine what food defense activities, has an approved or pending drug 802 of the FD&C Act (21 U.S.C. 355, if any, State, local, territorial, and/or product application. The proposal was 360b, or 382) or under section 351 of the tribal (SLTT) agencies have completed based on a finding, under section Public Health Service Act (42 U.S.C. to date. The information will be 306(a)(2)(B) of the FD&C Act, that Mr. 262) (see section 201(dd) of the FD&C compared to the initial baseline data Rowan was convicted of a felony under Act (21 U.S.C. 321(dd))). collected by State(s) in 2018. Federal law for conduct relating to the Any application by Mr. Rowan for DATES: Submit either electronic or regulation of a drug product under the special termination of debarment under written comments on the collection of FD&C Act. The proposal also offered Mr. section 306(d)(4) of the FD&C Act information by March 5, 2021. Rowan an opportunity to request a should be identified with Docket No. ADDRESSES: You may submit comments hearing, providing him 30 days from the FDA–2020–N–1412 and sent to the as follows. Please note that late, date of receipt of the letter in which to Dockets Management Staff (see untimely filed comments will not be file the request, and advised him that ADDRESSES). The public availability of considered. Electronic comments must failure to request a hearing constituted information in these submissions is be submitted on or before March 5, an election not to use the opportunity governed by 21 CFR 10.20. 2021. The https://www.regulations.gov for a hearing and a waiver of any Publicly available submissions will be electronic filing system will accept contentions concerning this action. Mr. placed in the docket and will be comments until 11:59 p.m. Eastern Time Rowan received the proposal on August viewable at https://www.regulations.gov at the end of March 5, 2021. Comments 7, 2020. He did not request a hearing or at the Dockets Management Staff (see received by mail/hand delivery/courier within the timeframe prescribed by ADDRESSES) between 9 a.m. and 4 p.m., (for written/paper submissions) will be regulation and has, therefore, waived Monday through Friday, 240–402–7500. considered timely if they are his opportunity for a hearing and any postmarked or the delivery service Dated: December 28, 2020. contentions concerning his debarment acceptance receipt is on or before that (21 CFR part 12). Lauren K. Roth, date. Acting Principal Associate Commissioner for II. Findings and Order Policy. Electronic Submissions Therefore, the Assistant [FR Doc. 2020–29045 Filed 12–31–20; 8:45 am] Submit electronic comments in the Commissioner, Office of Human and BILLING CODE 4164–01–P following way:

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• Federal eRulemaking Portal: CONFIDENTIAL INFORMATION.’’ The With respect to the following https://www.regulations.gov. Follow the Agency will review this copy, including collection of information, FDA invites instructions for submitting comments. the claimed confidential information, in comments on these topics: (1) Whether Comments submitted electronically, its consideration of comments. The the proposed collection of information including attachments, to https:// second copy, which will have the is necessary for the proper performance www.regulations.gov will be posted to claimed confidential information of FDA’s functions, including whether the docket unchanged. Because your redacted/blacked out, will be available the information will have practical comment will be made public, you are for public viewing and posted on utility; (2) the accuracy of FDA’s solely responsible for ensuring that your https://www.regulations.gov. Submit estimate of the burden of the proposed comment does not include any both copies to the Dockets Management collection of information, including the confidential information that you or a Staff. If you do not wish your name and validity of the methodology and third party may not wish to be posted, contact information to be made publicly assumptions used; (3) ways to enhance such as medical information, your or available, you can provide this the quality, utility, and clarity of the anyone else’s Social Security number, or information on the cover sheet and not information to be collected; and (4) confidential business information, such in the body of your comments and you ways to minimize the burden of the as a manufacturing process. Please note must identify this information as collection of information on that if you include your name, contact ‘‘confidential.’’ Any information marked respondents, including through the use information, or other information that as ‘‘confidential’’ will not be disclosed of automated collection techniques, identifies you in the body of your except in accordance with 21 CFR 10.20 when appropriate, and other forms of comments, that information will be and other applicable disclosure law. For information technology. posted on https://www.regulations.gov. more information about FDA’s posting • If you want to submit a comment of comments to public dockets, see 80 National Agriculture and Food Defense with confidential information that you FR 56469, September 18, 2015, or access Strategy Survey do not wish to be made available to the the information at: https:// OMB Control Number 0910–0855— public, submit the comment as a www.govinfo.gov/content/pkg/FR-2015- Extension written/paper submission and in the 09-18/pdf/2015-23389.pdf. We are seeking OMB approval of the manner detailed (see ‘‘Written/Paper Docket: For access to the docket to NAFDS under section 108 of FSMA. Submissions’’ and ‘‘Instructions’’). read background documents or the This is a voluntary survey of SLTT electronic and written/paper comments Written/Paper Submissions governments intended to gauge received, go to https:// government activities in food and Submit written/paper submissions as www.regulations.gov and insert the agriculture defense from intentional follows: docket number, found in brackets in the • contamination and emerging threats. Mail/Hand Delivery/Courier (for heading of this document, into the The collected information will be written/paper submissions): Dockets ‘‘Search’’ box and follow the prompts included in the mandatory NAFDS Management Staff (HFA–305), Food and and/or go to the Dockets Management followup Report to Congress. The Drug Administration, 5630 Fishers Staff, 5630 Fishers Lane, Rm. 1061, authority for us to collect the Lane, Rm. 1061, Rockville, MD 20852. Rockville, MD 20852, 240–402–7500. • For written/paper comments information derives from the FOR FURTHER INFORMATION CONTACT: Ila submitted to the Dockets Management Commissioner of Food and Drugs’ S. Mizrachi, Office of Operations, Food Staff, FDA will post your comment, as authority provided in section and Drug Administration, Three White well as any attachments, except for 1003(d)(2)(c) of the Federal Food, Drug, Flint North, 10A–12M, 11601 information submitted, marked and and Cosmetic Act (21 U.S.C. Landsdown St., North Bethesda, MD identified, as confidential, if submitted 393(d)(2)(c)). 20852, 301–796–7726, PRAStaff@ as detailed in ‘‘Instructions.’’ Protecting the nation’s food and Instructions: All submissions received fda.hhs.gov. agriculture supply against intentional must include the Docket No. FDA– SUPPLEMENTARY INFORMATION: Under the contamination and other emerging 2018–N–1129 for ‘‘Agency Information PRA (44 U.S.C. 3501–3521), Federal threats is an important responsibility Collection Activities; Proposed Agencies must obtain approval from the shared by SLTT governments as well as Collection; Comment Request; National Office of Management and Budget private sector partners. On January 4, Agriculture and Food Defense Strategy (OMB) for each collection of 2011, the President signed into law Survey.’’ Received comments, those information they conduct or sponsor. FSMA. FSMA focuses on ensuring the filed in a timely manner (see ‘‘Collection of information’’ is defined safety of the U.S. food supply by ADDRESSES), will be placed in the docket in 44 U.S.C. 3502(3) and 5 CFR shifting the efforts of Federal regulators and, except for those submitted as 1320.3(c) and includes Agency requests from response to prevention and ‘‘Confidential Submissions,’’ publicly or requirements that members of the recognizes the importance of viewable at https://www.regulations.gov public submit reports, keep records, or strengthening existing collaboration or at the Dockets Management Staff provide information to a third party. among all stakeholders to achieve between 9 a.m. and 4 p.m., Monday Section 3506(c)(2)(A) of the PRA (44 common public health and security through Friday, 240–402–7500. U.S.C. 3506(c)(2)(A)) requires Federal goals. FSMA identifies some key • Confidential Submissions—To Agencies to provide a 60-day notice in priorities for working with partners in submit a comment with confidential the Federal Register concerning each areas such as reliance on Federal, State, information that you do not wish to be proposed collection of information, and local agencies for inspections; made publicly available, submit your including each proposed extension of an improving foodborne illness comments only as a written/paper existing collection of information, surveillance; and leveraging and submission. You should submit two before submitting the collection to OMB enhancing State and local food safety copies total. One copy will include the for approval. To comply with this and defense capacities. Section 108 of information you claim to be confidential requirement, FDA is publishing notice FSMA (NAFDS) requires HHS and with a heading or cover note that states of the proposed collection of USDA, in coordination with DHS, to ‘‘THIS DOCUMENT CONTAINS information set forth in this document. work together with State, local,

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territorial, and tribal governments to partners to complete the NAFDS Report agencies participating in food and monitor and measure progress in food to Congress. An interagency working agricultural defense are asked to defense. group will conduct the survey and respond to the voluntary survey. Food In 2015, the initial NAFDS Report to collect and update the NAFDS as defense leaders responsible for Congress detailed the specific Federal directed by FSMA, including conducting food defense activities response to food and agriculture defense developing metrics and measuring during a food emergency for their goals, objectives, key initiatives, and progress for the evaluation process. jurisdiction are identified and will activities that HHS, USDA, DHS, and The survey of Federal and State receive an emailed invitation to other stakeholders planned to partners will be used to determine what complete the survey online; they will be accomplish to meet the objectives food defense activities, if any, Federal provided with a web link to the survey. outlined in FSMA. The NAFDS charts a and/or SLTT agencies have completed direction for how Federal Agencies, in (or are planning on completing) from The survey will be conducted cooperation with SLTT governments 2021 to 2025. Planning for the local, electronically on the FDA.gov web and private sector partners, protect the territorial, and tribal information portal, and results will be analyzed by nation’s food supply against intentional collections will commence during this the interagency working group. contamination. Not later than 4 years period of renewal. The survey will Description of Respondents: after the initial NAFDS Report to continue to be repeated approximately Respondents to this collection are SLTT Congress (2015), and every 4 years every 2 to 4 years, as described in government representatives (survey thereafter (i.e., 2019, 2023, 2027, etc.), section 108 of FSMA. The NAFDS respondents) who are food defense HHS, USDA, and DHS are required to survey is being administered for the leaders responsible for conducting food revise and submit an updated report to purpose of monitoring progress in food defense activities during a food the relevant committees of Congress. and agricultural defense by government emergency for their jurisdictions. FDA is the Agency primarily agencies. responsible for obtaining the A purposive sampling strategy is We estimate the burden of this information from Federal and SLTT employed, such that the government collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

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

SLTT Surveys ...... 500 1 500 0.33 (20 minutes) ...... 165 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

The FDA Office of Partnerships DEPARTMENT OF HEALTH AND DATES: The announcement of the reviewed the questionnaire and HUMAN SERVICES guidances is published in the Federal provided the estimate of time to Register on January 4, 2021. complete the survey. The total burden is Food and Drug Administration ADDRESSES: You may submit either based on our previous experiences [Docket Nos. FDA–2020–D–1825 and FDA– electronic or written comments on conducting surveys. The burden has 2020–D–1138] Agency guidances at any time as been revised to reflect the total number follows: of states and possible number of local, Guidance Documents Related to tribal, and territorial entities that may Coronavirus Disease 2019; Availability Electronic Submissions partake of the survey. Based on a review AGENCY: Food and Drug Administration, Submit electronic comments in the of the information collection since our HHS. following way: last request for OMB approval, we have ACTION: Notice of availability. • increased our burden estimate by 149 Federal eRulemaking Portal: hours (from 16.17 to 165 hours) and 451 SUMMARY: The Food and Drug https://www.regulations.gov. Follow the respondents (from 49 to 500 Administration (FDA or Agency) is instructions for submitting comments. respondents). announcing the availability of FDA Comments submitted electronically, guidance documents related to the including attachments, to https:// Dated: December 29, 2020. Coronavirus Disease 2019 (COVID–19) www.regulations.gov will be posted to Lauren K. Roth, public health emergency (PHE). This the docket unchanged. Because your Acting Principal Associate Commissioner for notice of availability (NOA) is pursuant comment will be made public, you are Policy. to the process that FDA announced, in solely responsible for ensuring that your [FR Doc. 2020–29082 Filed 12–31–20; 8:45 am] the Federal Register of March 25, 2020, comment does not include any BILLING CODE 4164–01–P for making available to the public confidential information that you or a COVID–19-related guidances. The third party may not wish to be posted, guidances identified in this notice such as medical information, your or address issues related to the COVID–19 anyone else’s Social Security number, or PHE and have been issued in confidential business information, such accordance with the process announced as a manufacturing process. Please note in the March 25, 2020, notice. The that if you include your name, contact guidances have been implemented information, or other information that without prior comment, but they remain identifies you in the body of your subject to comment in accordance with comments, that information will be the Agency’s good guidance practices. posted on https://www.regulations.gov.

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• If you want to submit a comment as ‘‘confidential’’ will not be disclosed In the Federal Register of March 25, with confidential information that you except in accordance with 21 CFR 10.20 2020 (85 FR 16949) (the March 25, 2020, do not wish to be made available to the and other applicable disclosure law. For notice) (available at https:// public, submit the comment as a more information about FDA’s posting www.govinfo.gov/content/pkg/FR-2020- written/paper submission and in the of comments to public dockets, see 80 03-25/pdf/2020-06222.pdf), FDA manner detailed (see ‘‘Written/Paper FR 56469, September 18, 2015, or access announced procedures for making Submissions’’ and ‘‘Instructions’’). the information at: https:// available FDA guidances related to the Written/Paper Submissions www.govinfo.gov/content/pkg/FR-2015- COVID–19 PHE. These procedures, 09-18/pdf/2015-23389.pdf. which operate within FDA’s established Submit written/paper submissions as Docket: For access to the docket to good guidance practices regulations, are follows: read background documents or the intended to allow FDA to rapidly • Mail/Hand Delivery/Courier (for electronic and written/paper comments disseminate Agency recommendations written/paper submissions): Dockets received, go to https:// and policies related to COVID–19 to Management Staff (HFA–305), Food and www.regulations.gov and insert the industry, FDA staff, and other Drug Administration, 5630 Fishers docket number, found in brackets in the stakeholders. The March 25, 2020, Lane, Rm. 1061, Rockville, MD 20852. • For written/paper comments heading of this document, into the notice stated that due to the need to act submitted to the Dockets Management ‘‘Search’’ box and follow the prompts quickly and efficiently to respond to the Staff, FDA will post your comment, as and/or go to the Dockets Management COVID–19 PHE, FDA believes that prior well as any attachments, except for Staff, 5630 Fishers Lane, Rm. 1061, public participation will not be feasible information submitted, marked and Rockville, MD 20852, 240–402–7500. or appropriate before FDA implements identified, as confidential, if submitted You may submit comments on any COVID–19-related guidances. Therefore, as detailed in ‘‘Instructions.’’ guidance at any time (see § 10.115(g)(5) FDA will issue COVID–19-related Instructions: All submissions received (21 CFR 10.115(g)(5))). guidances for immediate must include the name of the guidance Submit written requests for single implementation without prior public document that the comments address copies of these guidances to the address comment (see section 701(h)(1)(C) of the and the docket number for the guidance noted in table 1. Send two self- Federal Food, Drug, and Cosmetic Act (see table 1). Received comments will be addressed adhesive labels to assist that (FD&C Act) (21 U.S.C. 371(h)(1)(C)) and placed in the docket(s) and, except for office in processing your requests. See § 10.115(g)(2)). The guidances are those submitted as ‘‘Confidential the SUPPLEMENTARY INFORMATION section available on FDA’s web pages entitled Submissions,’’ publicly viewable at for electronic access to the guidances. ‘‘COVID–19-Related Guidance https://www.regulations.gov or at the FOR FURTHER INFORMATION CONTACT: Documents for Industry, FDA Staff, and Dockets Management Staff between 9 Stephen Ripley, Center for Biologics Other Stakeholders’’ (available at a.m. and 4 p.m., Monday through Evaluation and Research (CBER), Food https://www.fda.gov/emergency- Friday, 240–402–7500. and Drug Administration, 10903 New preparedness-and-response/mcm- • Confidential Submissions—To Hampshire Ave., Bldg. 71, Rm. 7301, issues/covid-19-related-guidance- submit a comment with confidential Silver Spring, MD 20993–0002, 240– documents-industry-fda-staff-and-other- information that you do not wish to be 402–7911, or Erica Takai, Center for stakeholders) and ‘‘Search for FDA made publicly available, submit your Devices and Radiological Health Guidance Documents’’ (available at comments only as a written/paper (CDRH), Food and Drug Administration, https://www.fda.gov/regulatory- submission. You should submit two 10903 New Hampshire Ave., Bldg. 66, information/search-fda-guidance- copies total. One copy will include the Rm. 5456, Silver Spring, MD 20993– documents). information you claim to be confidential with a heading or cover note that states 0002, 301–796–6353. The March 25, 2020, notice further ‘‘THIS DOCUMENT CONTAINS SUPPLEMENTARY INFORMATION: stated that, in general, rather than publishing a separate NOA for each CONFIDENTIAL INFORMATION.’’ The I. Background Agency will review this copy, including COVID–19-related guidance, FDA the claimed confidential information, in On January 31, 2020, as a result of intends to publish periodically a its consideration of comments. The confirmed cases of COVID–19, and after consolidated NOA announcing the second copy, which will have the consultation with public health officials availability of certain COVID–19-related claimed confidential information as necessary, Alex M. Azar II, Secretary guidances that FDA issued during the redacted/blacked out, will be available of Health and Human Services (HHS), relevant period, as included in table 1. for public viewing and posted on pursuant to the authority under section This notice announces COVID–19- https://www.regulations.gov. Submit 319 of the Public Health Service Act (42 related guidances that are posted on both copies to the Dockets Management U.S.C. 247d) (PHS Act), determined that FDA’s website. Staff. If you do not wish your name and a PHE exists and has existed since II. Availability of COVID–19-Related contact information to be made publicly January 27, 2020, nationwide.1 On Guidance Documents available, you can provide this March 13, 2020, President Donald J. information on the cover sheet and not Trump declared that the COVID–19 Pursuant to the process described in in the body of your comments and you outbreak in the United States constitutes the March 25, 2020, notice, FDA is must identify this information as a national emergency, beginning March announcing the availability of the ‘‘confidential.’’ Any information marked 1, 2020.2 following COVID–19-related guidances:

1 Secretary of Health and Human Services Alex https://www.phe.gov/emergency/news/ available at: https://www.whitehouse.gov/ M. Azar, II, ‘‘Determination that a Public Health healthactions/phe/Pages/default.aspx. presidential-actions/proclamation-declaring- Emergency Exists’’ (originally issued on January 31, 2 Proclamation on Declaring a National national-emergency-concerning-novel-coronavirus- 2020, and subsequently renewed), available at: Emergency Concerning the Novel Coronavirus disease-covid-19-outbreak/. Disease (COVID–19) Outbreak (March 13, 2020),

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TABLE 1—GUIDANCES RELATED TO THE COVID–19 PUBLIC HEALTH EMERGENCY

Docket No. Center Title of guidance Contact information to request single copies

FDA–2020–D–1825 CBER ..... Investigational COVID–19 Convalescent Plasma (Up- Office of Communication, Outreach and Development, dated November 2020). 10903 New Hampshire Ave., Bldg. 71, Rm. 3128, Silver Spring, MD 20993–0002; 1–800–835–4709 or 240–402–8010; email [email protected]. FDA–2020–D–1138 CDRH .... Notifying CDRH of a Permanent Discontinuance or [email protected]. Please include the Interruption in Manufacturing of a Device Under document number 20032–R2 and complete title of Section 506J of the FD&C Act During the COVID– the guidance in the request. 19 Public Health Emergency (Revised) (November 2020). FDA–2020–D–1138 CDRH .... Enforcement Policy for Bioburden Reduction Systems [email protected]. Please include the Using Dry Heat to Support Single-User Reuse of document number 20044 and complete title of the Certain Filtering Facepiece Respirators During the guidance in the request. Coronavirus Disease 2019 (COVID–19) Public Health Emergency (November 2020). FDA–2020–D–1138 CDRH .... Enforcement Policy for the Quality Standards of the [email protected]. Please include the Mammography Quality Standards Act During the document number 20047 and complete title of the COVID–19 Public Health Emergency (December guidance in the request. 2020).

Although these guidances have been FDA or the public. You can use an Therefore, clearance by the Office of implemented immediately without prior alternative approach if it satisfies the Management and Budget (OMB) under comment, FDA will consider all requirements of the applicable statutes the Paperwork Reduction Act of 1995 comments received and revise the and regulations. (PRA) (44 U.S.C. 3501–3521) is not guidances as appropriate (see required for this guidance. The § 10.115(g)(3)). III. Paperwork Reduction Act of 1995 previously approved collections of These guidances are being issued A. CBER Guidance information are subject to review by consistent with FDA’s good guidance OMB under the PRA. The collections of practices regulation (§ 10.115). The While this guidance contains no information in the following FDA guidances represent the current thinking collection of information, it does refer to regulations and guidances have been of FDA. They do not establish any rights previously approved FDA collections of approved by OMB as listed in the for any person and are not binding on information (listed in table 2). following table:

TABLE 2—CBER GUIDANCE AND COLLECTIONS

Another guidance title referenced OMB control COVID–19 guidance title CFR cite referenced in COVID–19 guidance in COVID–19 No(s). guidance

Investigational COVID–19 Convalescent Plasma 21 CFR part 312 ...... 0910–0014 (Updated November 2020). 21 CFR parts 610, 606, and 630 ...... 0910–0116 Form FDA 3926 ..... 0910–0814

B. CDRH Guidances previously approved collections of information that has been granted a PHE While these guidances contain no information are subject to review by waiver from the PRA by HHS on March collection of information, they do refer OMB under the PRA. The collections of 19, 2020, under section 319(f) of the to previously approved FDA collections information in the following FDA PHS Act. Information concerning the of information (listed in table 3). statutory provision, regulations and PHE PRA waiver can be found on the Therefore, clearance by OMB under the guidances have been approved by OMB HHS website at https://aspe.hhs.gov/ PRA (44 U.S.C. 3501–3521) is not as listed in the following table. These public-health-emergency-declaration- required for these guidances. These guidances also contain a collection of pra-waivers. TABLE 3—CDRH GUIDANCES AND COLLECTIONS

Citation referenced in Another guidance referenced OMB control New collection covered by COVID–19 guidance title COVID–19 in COVID–19 guidance No(s). PHE PRA waiver guidance

Notifying CDRH of a Permanent Discontinuance or Interruption Section 506J ...... 0910–0491 in Manufacturing of a Device Under Section 506J of the (21 FD&C Act During the COVID–19 Public Health Emergency U.S.C.356j) (Revised) (November 2020). of the FD&C Act. 21 CFR Part ...... 0910–0625 807, subparts A through D.

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TABLE 3—CDRH GUIDANCES AND COLLECTIONS—Continued

Citation referenced in Another guidance referenced OMB control New collection covered by COVID–19 guidance title COVID–19 in COVID–19 guidance No(s). PHE PRA waiver guidance

Emergency Use Authorization 0910–0595 of Medical Products and Re- lated Authorities; Guidance for Industry and Other Stakeholders. Updates to FDA every 6 weeks after initial notification on the shortage situation. Voluntary submission of other information. Enforcement Policy for Bioburden Reduction Systems Using ...... Emergency Use Authorization 0910–0595 Dry Heat to Support Single-User Reuse of Certain Filtering of Medical Products and Re- Facepiece Respirators During the Coronavirus Disease lated Authorities; Guidance 2019 (COVID–19) Public Health Emergency (November for Industry and Other 2020). Stakeholders. Labeling of the bioburden re- duction system. Enforcement Policy for the Quality Standards of the Mammog- 21 CFR Part ...... 0910–0309 raphy Quality Standards Act [MQSA] During the COVID–19 900. Public Health Emergency (December 2020). Document the time period that the facility was temporarily closed and present informa- tion during the facility’s MQSA inspection. Document and provide the cir- cumstances re: lack of med- ical physicist survey within 14 months of the last annual survey. Information on inability to meet the survey timeframes de- scribed in the guidance. Provide documentation of the dates and events that led to noncompliance and that fa- cility will ensure compliance as soon as possible after COVID–19 restrictions are lifted.

IV. Electronic Access DEPARTMENT OF HEALTH AND to allow 60 days for public comment in HUMAN SERVICES response to the notice. This notice Persons with access to the internet solicits comments on the information may obtain COVID–19-related guidances Food and Drug Administration collection for the labeling of natural at: [Docket No. FDA–2014–N–1414] rubber latex condoms. • FDA web page entitled ‘‘COVID–19- DATES: Submit either electronic or Agency Information Collection Related Guidance Documents for written comments on the collection of Activities; Proposed Collection; Industry, FDA Staff, and Other information by March 5, 2021. Stakeholders,’’ available at https:// Comment Request; Class II Special www.fda.gov/emergency-preparedness- Controls Guidance Document: ADDRESSES: You may submit comments and-response/mcm-issues/covid-19- Labeling Natural Rubber Latex as follows. Please note that late, related-guidance-documents-industry- Condoms untimely filed comments will not be considered. Electronic comments must fda-staff-and-other-stakeholders; AGENCY: Food and Drug Administration, • be submitted on or before March 5, FDA web page entitled ‘‘Search for HHS. 2021. The https://www.regulations.gov FDA Guidance Documents’’ available at ACTION: Notice. electronic filing system will accept https://www.fda.gov/regulatory- SUMMARY: The Food and Drug comments until 11:59 p.m. Eastern Time information/search-fda-guidance- Administration (FDA or Agency) is at the end of March 5, 2021. Comments documents; or announcing an opportunity for public received by mail/hand delivery/courier • https://www.regulations.gov. comment on the proposed collection of (for written/paper submissions) will be considered timely if they are Dated: December 29, 2020. certain information by the Agency. postmarked or the delivery service Lauren K. Roth, Under the Paperwork Reduction Act of 1995 (PRA), Federal Agencies are acceptance receipt is on or before that Acting Principal Associate Commissioner for required to publish notice in the date. Policy. Federal Register concerning each Electronic Submissions [FR Doc. 2020–29058 Filed 12–31–20; 8:45 am] proposed collection of information, BILLING CODE 4164–01–P including each proposed extension of an Submit electronic comments in the existing collection of information, and following way:

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• Federal eRulemaking Portal: ‘‘THIS DOCUMENT CONTAINS of the proposed collection of https://www.regulations.gov. Follow the CONFIDENTIAL INFORMATION.’’ The information set forth in this document. instructions for submitting comments. Agency will review this copy, including With respect to the following Comments submitted electronically, the claimed confidential information, in collection of information, FDA invites including attachments, to https:// its consideration of comments. The comments on these topics: (1) Whether www.regulations.gov will be posted to second copy, which will have the the proposed collection of information the docket unchanged. Because your claimed confidential information is necessary for the proper performance comment will be made public, you are redacted/blacked out, will be available of FDA’s functions, including whether solely responsible for ensuring that your for public viewing and posted on the information will have practical comment does not include any https://www.regulations.gov. Submit utility; (2) the accuracy of FDA’s confidential information that you or a both copies to the Dockets Management estimate of the burden of the proposed third party may not wish to be posted, Staff. If you do not wish your name and collection of information, including the such as medical information, your or contact information to be made publicly validity of the methodology and anyone else’s Social Security number, or available, you can provide this assumptions used; (3) ways to enhance confidential business information, such information on the cover sheet and not the quality, utility, and clarity of the as a manufacturing process. Please note in the body of your comments and you information to be collected; and (4) that if you include your name, contact must identify this information as ways to minimize the burden of the information, or other information that ‘‘confidential.’’ Any information marked collection of information on identifies you in the body of your as ‘‘confidential’’ will not be disclosed respondents, including through the use comments, that information will be except in accordance with 21 CFR 10.20 of automated collection techniques, posted on https://www.regulations.gov. and other applicable disclosure law. For when appropriate, and other forms of • If you want to submit a comment more information about FDA’s posting information technology. with confidential information that you of comments to public dockets, see 80 Class II Special Controls Guidance do not wish to be made available to the FR 56469, September 18, 2015, or access Document: Labeling for Natural Rubber public, submit the comment as a the information at: https:// Latex Condoms—21 CFR 884.5300 OMB written/paper submission and in the www.govinfo.gov/content/pkg/FR-2015- Control Number 0910–0633—Extension manner detailed (see ‘‘Written/Paper 09-18/pdf/2015-23389.pdf. Submissions’’ and ‘‘Instructions’’). Under the Medical Device Docket: For access to the docket to Amendments of 1976 (Pub. L. 94–295), Written/Paper Submissions read background documents or the class II devices were defined as those Submit written/paper submissions as electronic and written/paper comments devices for which there was insufficient follows: received, go to https:// information to show that general • Mail/Hand Delivery/Courier (for www.regulations.gov and insert the controls themselves would provide a written/paper submissions): Dockets docket number, found in brackets in the reasonable assurance of safety and Management Staff (HFA–305), Food and heading of this document, into the effectiveness but for which there was Drug Administration, 5630 Fishers ‘‘Search’’ box and follow the prompts sufficient information to establish Lane, Rm. 1061, Rockville, MD 20852. and/or go to the Dockets Management performance standards to provide such • For written/paper comments Staff, 5630 Fishers Lane, Rm. 1061, assurance. Accordingly, FDA has submitted to the Dockets Management Rockville, MD 20852, 240–402–7500. established the above captioned Special Staff, FDA will post your comment, as FOR FURTHER INFORMATION CONTACT: Controls Guidance Document regarding well as any attachments, except for JonnaLynn Capezzuto, Office of the labeling of natural rubber latex information submitted, marked and Operations, Food and Drug condoms. Condoms without spermicidal identified, as confidential, if submitted Administration, Three White Flint lubricant containing nonoxynol 9 are as detailed in ‘‘Instructions.’’ North, 10A–12M, 11601 Landsdown St., Instructions: All submissions received classified in class II. They were North Bethesda, MD 20852, 301–796– must include the Docket No. FDA– originally classified before the 3794, [email protected]. 2014–N–1414 for ‘‘Agency Information enactment of provisions of the Safe Collection Activities; Proposed SUPPLEMENTARY INFORMATION: Under the Medical Devices Act of 1990 (Pub. L. Collection; Comment Request; Class II PRA (44 U.S.C. 3501–3521), Federal 101–629), which broadened the Special Controls Guidance Document: Agencies must obtain approval from the definition of class II devices and now Labeling Natural Rubber Latex Office of Management and Budget permits FDA to establish special Condoms.’’ Received comments, those (OMB) for each collection of controls beyond performance standards, filed in a timely manner (see information they conduct or sponsor. including guidance documents, to help ADDRESSES), will be placed in the docket ‘‘Collection of information’’ is defined provide reasonable assurance of the and, except for those submitted as in 44 U.S.C. 3502(3) and 5 CFR safety and effectiveness of such devices. ‘‘Confidential Submissions,’’ publicly 1320.3(c) and includes Agency requests In December 2000, Congress enacted viewable at https://www.regulations.gov or requirements that members of the Public Law 106–554, which directed or at the Dockets Management Staff public submit reports, keep records, or FDA to ‘‘reexamine existing condom between 9 a.m. and 4 p.m., Monday provide information to a third party. labels’’ and ‘‘determine whether the through Friday, 240–402–7500. Section 3506(c)(2)(A) of the PRA (44 labels are medically accurate regarding • Confidential Submissions—To U.S.C. 3506(c)(2)(A)) requires Federal the overall effectiveness or lack of submit a comment with confidential Agencies to provide a 60-day notice in effectiveness in preventing sexually information that you do not wish to be the Federal Register concerning each transmitted diseases . . . .’’ In made publicly available, submit your proposed collection of information, response, FDA recommended labeling comments only as a written/paper including each proposed extension of an intended to provide important submission. You should submit two existing collection of information, information for condom users, including copies total. One copy will include the before submitting the collection to OMB the extent of protection provided by information you claim to be confidential for approval. To comply with this condoms against various types of with a heading or cover note that states requirement, FDA is publishing notice sexually transmitted diseases.

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Respondents to this collection of requirements final rule (64 FR 13254, part 807, subpart E have been approved information are manufacturers and March 17, 1999). Because the packaging under OMB control number 0910–0120; repackagers of male condoms made of requirements for condoms are similar to and the collections of information in 21 natural rubber latex without spermicidal those of many OTC drugs, we believe CFR part 820 have been approved under lubricant. FDA expects approximately the burden to design the labeling for OMB control number 0910–0073. five new manufacturers or repackagers OTC drugs is an appropriate proxy for The collection of information under the estimated burden to design condom to enter the market yearly and to 21 CFR 801.437 does not constitute a collectively have a third-party labeling. The special controls guidance ‘‘collection of information’’ under the disclosure burden of 60 hours. The document also refers to previously PRA. Rather, it is a ‘‘public disclosure average burden per disclosure was approved collections of information of information originally supplied by derived from a study performed for FDA found in FDA regulations. The the Federal Government to the recipient by Eastern Research Group, Inc., an collections of information in 21 CFR for the purpose of disclosure to the economic consulting firm, to estimate part 801 have been approved under public’’ (5 CFR 1320.3(c)(2)). the impact of the 1999 over-the-counter OMB control number 0910–0485; the FDA estimates the burden of this (OTC) human drug labeling collections of information in 21 CFR collection of information as follows:

TABLE 1—ESTIMATED ANNUAL THIRD-PARTY DISCLOSURE BURDEN 1

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

‘‘Class II Special Controls Guidance Document: Labeling for Natural Rubber Latex Condoms Classified Under 21 CFR 884.5300’’ ...... 5 1 5 12 60 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

Based on a review of the information Meeting: Scheduled for February 2, Designated Federal Official for the BSC. collection since our last request for 2021, 12:30 p.m.–5:00 p.m. Eastern Following the meeting, summary OMB approval, we have made no Standard Time (EST). Written Public minutes will be prepared and made adjustments to our burden estimate. Comment Submissions: Deadline is available on the BSC meeting web page. Dated: December 29, 2020. January 26, 2021. Meeting Attendance Registration: The meeting is open to the public with time Lauren K. Roth, Registration for Oral Comments: Deadline is January 26, 2021. scheduled for oral public comments. Acting Principal Associate Commissioner for Registration is not required to view the Policy. ADDRESSES: virtual meeting; the URL for the virtual [FR Doc. 2020–29091 Filed 12–31–20; 8:45 am] Meeting Web page: The preliminary agenda, registration, and other meeting meeting is provided on the BSC meeting BILLING CODE 4164–01–P materials are available at https:// web page (https://ntp.niehs.nih.gov/go/ ntp.niehs.nih.gov/go/165. 165). TTY users should contact the Federal TTY Relay Service at 800–877– DEPARTMENT OF HEALTH AND Virtual Meeting: The URL for viewing 8339. Requests should be made at least HUMAN SERVICES the virtual meeting will be provided on the meeting web page. five business days in advance of the event. National Institutes of Health FOR FURTHER INFORMATION CONTACT: Dr. Written Public Comments: NTP Sheena Scruggs, Designated Federal invites written public comments. National Toxicology Program Board of Official for the BSC, Office of Liaison, Guidelines for public comments are Scientific Counselors; Announcement Policy and Review, Division of NTP, available at https://ntp.niehs.nih.gov/ of Meeting; Request for Comments NIEHS, P.O. Box 12233, K2–03, ntp/about_ntp/guidelines_public_ AGENCY: National Institutes of Health, Research Triangle Park, NC 27709. comments_508.pdf. HHS. Phone: 984–287–3355, Fax: 301–451– The deadline for submission of ACTION: Notice. 5759, Email: [email protected]. written comments is January 26, 2021. Hand Deliver/Courier address: 530 Written public comments should be SUMMARY: This notice announces the Davis Drive, Room K2130, Morrisville, submitted through the meeting web next meeting of the National Toxicology NC 27560. page. Persons submitting written Program (NTP) Board of Scientific SUPPLEMENTARY INFORMATION: The BSC comments should include name, Counselors (BSC). The BSC, a federally will provide input to the NTP on affiliation, mailing address, phone, chartered, external advisory group programmatic activities and issues. The email, and sponsoring organization (if composed of scientists from the public preliminary agenda topics include any). Written comments received in and private sectors, will review and presentations from two of the Division response to this notice will be posted on provide advice on programmatic of the National Toxicology Program the NTP web page, and the submitter activities. This meeting is a virtual (DNTP)’s research program areas. The will be identified by name, affiliation, meeting and is open to the public. preliminary agenda, roster of BSC and sponsoring organization (if any). Written comments will be accepted and members, background materials, public Oral Public Comment Registration: registration is required to present oral comments, and any additional The agenda allows for two formal public comments. Information about the information, when available, will be comment periods—one comment period meeting and registration is available at posted on the BSC meeting web page for each program area (up to 3 https://ntp.niehs.nih.gov/go/165. (https://ntp.niehs.nih.gov/go/165) or commenters, up to 5 minutes per DATES: may be requested in hardcopy from the speaker, per topic). Persons wishing to

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make an oral comment are required to Dated: December 29, 2020. of the laboratories currently certified to register online at https:// Brian R. Berridge, meet the standards of the Mandatory ntp.niehs.nih.gov/go/165 by January 26, Associate Director, National Toxicology Guidelines using Oral Fluid. 2021. Oral comments will be received Program. The Mandatory Guidelines using only during the formal comment periods [FR Doc. 2020–29079 Filed 12–31–20; 8:45 am] Urine were first published in the indicated on the preliminary agenda. BILLING CODE 4140–01–P Federal Register on April 11, 1988 (53 Oral comments will only be by FR 11970), and subsequently revised in teleconference line. The access number the Federal Register on June 9, 1994 (59 for the teleconference line will be DEPARTMENT OF HEALTH AND FR 29908); September 30, 1997 (62 FR provided to registrants by email prior to HUMAN SERVICES 51118); April 13, 2004 (69 FR 19644); the meeting. Registration is on a first- November 25, 2008 (73 FR 71858); come, first-served basis. Each Substance Abuse and Mental Health December 10, 2008 (73 FR 75122); April organization is allowed one time slot Services Administration 30, 2010 (75 FR 22809); and on January per topic. After the maximum number of Current List of HHS-Certified 23, 2017 (82 FR 7920). speakers per comment period is The Mandatory Guidelines using Oral exceeded, individuals registered to Laboratories and Instrumented Initial Testing Facilities Which Meet Minimum Fluid were first published in the provide oral comment will be placed on Federal Register on October 25, 2019 a wait list and notified should an Standards To Engage in Urine and Oral Fluid Drug Testing for Federal (84 FR 57554) with an effective date of opening become available. Commenters January 1, 2020. will be notified approximately one week Agencies The Mandatory Guidelines were before the meeting about the actual time AGENCY: Substance Abuse and Mental allotted per speaker. initially developed in accordance with Health Services Administration, HHS. Executive Order 12564 and section 503 If possible, oral public commenters ACTION: Notice. of Public Law 100–71 and allowed urine should send a copy of their slides and/ drug testing only. The Mandatory SUMMARY: The Department of Health and or statement or talking points to NTP- Guidelines using Urine have since been [email protected] by January 26, 2021. Human Services (HHS) notifies federal agencies of the laboratories and revised, and new Mandatory Guidelines Meeting Materials: The preliminary Instrumented Initial Testing Facilities allowing for oral fluid drug testing have meeting agenda is available on the (IITFs) currently certified to meet the been published. The Mandatory meeting web page (https:// standards of the Mandatory Guidelines Guidelines require strict standards that ntp.niehs.nih.gov/go/165) and will be for Federal Workplace Drug Testing laboratories and IITFs must meet in updated one week before the meeting. Programs using Urine or Oral Fluid order to conduct drug and specimen Individuals are encouraged to access the (Mandatory Guidelines). validity tests on specimens for federal meeting web page to stay abreast of the agencies. HHS does not allow IITFs to FOR FURTHER INFORMATION CONTACT: most current information regarding the conduct oral fluid testing. meeting. Anastasia Donovan, Division of Workplace Programs, SAMHSA/CSAP, To become certified, an applicant Background Information on the BSC: 5600 Fishers Lane, Room 16N06B, laboratory or IITF must undergo three The BSC is a technical advisory body Rockville, Maryland 20857; 240–276– rounds of performance testing plus an comprised of scientists from the public 2600 (voice); Anastasia.Donovan@ on-site inspection. To maintain that and private sectors that provides samhsa.hhs.gov (email). certification, a laboratory or IITF must primary scientific oversight to the NTP. participate in a quarterly performance SUPPLEMENTARY INFORMATION: A notice Specifically, the BSC advises the NTP testing program plus undergo periodic, listing all currently HHS-certified on-site inspections. on matters of scientific program content, laboratories and IITFs is published in both present and future, and conducts the Federal Register during the first Laboratories and IITFs in the periodic review of the program for the week of each month. If any laboratory or applicant stage of certification are not to purpose of determining and advising on IITF certification is suspended or be considered as meeting the minimum the scientific merit of its activities and revoked, the laboratory or IITF will be requirements described in the HHS their overall scientific quality. Its omitted from subsequent lists until such Mandatory Guidelines using Urine and/ members are selected from recognized time as it is restored to full certification or Oral Fluid. An HHS-certified authorities knowledgeable in fields such under the Mandatory Guidelines. laboratory or IITF must have its letter of as toxicology, pharmacology, pathology, If any laboratory or IITF has certification from HHS/SAMHSA epidemiology, risk assessment, withdrawn from the HHS National (formerly: HHS/NIDA), which attests carcinogenesis, mutagenesis, cellular Laboratory Certification Program (NLCP) that the test facility has met minimum biology, computational toxicology, during the past month, it will be listed standards. HHS does not allow IITFs to neurotoxicology, genetic toxicology, at the end and will be omitted from the conduct oral fluid testing. reproductive toxicology or teratology, monthly listing thereafter. HHS-Certified Laboratories Approved and biostatistics. Members serve This notice is also available on the To Conduct Oral Fluid Drug Testing overlapping terms of up to four years. internet at https://www.samhsa.gov/ The BSC usually meets periodically. workplace/resources/drug-testing/ In accordance with the Mandatory The authority for the BSC is provided by certified-lab-list. Guidelines using Oral Fluid dated 42 U.S.C. 217a, section 222 of the Public The Department of Health and Human October 25, 2019 (84 FR 57554), the Health Service Act (PHS), as amended. Services (HHS) notifies federal agencies following HHS-certified laboratories The BSC is governed by the of the laboratories and Instrumented meet the minimum standards to conduct provisions of the Federal Advisory Initial Testing Facilities (IITFs) drug and specimen validity tests on oral Committee Act, as amended (5 U.S.C. currently certified to meet the standards fluid specimens: app.), which sets forth standards for the of the Mandatory Guidelines for Federal At this time, there are no laboratories formation and use of advisory Workplace Drug Testing Programs certified to conduct drug and specimen committees. (Mandatory Guidelines) using Urine and validity tests on oral fluid specimens.

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HHS-Certified Instrumented Initial 679–1630. (Formerly: Gamma- Beecham Clinical Laboratories; Testing Facilities Approved To Conduct Dynacare Medical Laboratories) SmithKline Bio-Science Laboratories) Urine Drug Testing ElSohly Laboratories, Inc., 5 Industrial Quest Diagnostics Incorporated, 400 In accordance with the Mandatory Park Drive, Oxford, MS 38655, 662– Egypt Road, Norristown, PA 19403, Guidelines using Urine dated January 236–2609 610–631–4600/877–642–2216. Laboratory Corporation of America 23, 2017 (82 FR 7920), the following (Formerly: SmithKline Beecham Holdings, 7207 N Gessner Road, HHS-certified IITFs meet the minimum Clinical Laboratories; SmithKline Bio- Houston, TX 77040, 713–856–8288/ standards to conduct drug and specimen Science Laboratories) 800–800–2387 validity tests on urine specimens: Redwood Toxicology Laboratory, 3700 Laboratory Corporation of America Westwind Blvd., Santa Rosa, CA Dynacare, 6628 50th Street NW, Holdings, 69 First Ave., Raritan, NJ 95403, 800–255–2159 Edmonton, AB Canada T6B 2N7, 780– 08869, 908–526–2400/800–437–4986. US Army Forensic Toxicology Drug 784–1190. (Formerly: Gamma- (Formerly: Roche Biomedical Testing Laboratory, 2490 Wilson St., Dynacare Medical Laboratories) Laboratories, Inc.) Fort George G. Meade, MD 20755– HHS-Certified Laboratories Approved Laboratory Corporation of America 5235, 301–677–7085. Testing for To Conduct Urine Drug Testing Holdings, 1904 TW Alexander Drive, Department of Defense (DoD) Research Triangle Park, NC 27709, Employees Only In accordance with the Mandatory 919–572–6900/800–833–3984. Guidelines using Urine dated January (Formerly: LabCorp Occupational Anastasia Marie Donovan, 23, 2017 (82 FR 7920), the following Testing Services, Inc., CompuChem Policy Analyst. HHS-certified laboratories meet the Laboratories, Inc.; CompuChem [FR Doc. 2020–29059 Filed 12–31–20; 8:45 am] minimum standards to conduct drug Laboratories, Inc., A Subsidiary of BILLING CODE 4160–20–P and specimen validity tests on urine Roche Biomedical Laboratory; Roche specimens: CompuChem Laboratories, Inc., A Alere Toxicology Services, 1111 Newton Member of the Roche Group) DEPARTMENT OF HOMELAND St., Gretna, LA 70053, 504–361–8989/ Laboratory Corporation of America SECURITY 800–433–3823. (Formerly: Kroll Holdings, 1120 Main Street, Laboratory Specialists, Inc., Southaven, MS 38671, 866–827–8042/ Federal Emergency Management Laboratory Specialists, Inc.) 800–233–6339. (Formerly: LabCorp Agency Alere Toxicology Services, 450 Occupational Testing Services, Inc.; Southlake Blvd., Richmond, VA MedExpress/National Laboratory [Docket ID: FEMA–2020–0040; OMB No. 1660–0150] 23236, 804–378–9130. (Formerly: Center) Kroll Laboratory Specialists, Inc., LabOne, Inc. d/b/a Quest Diagnostics, Agency Information Collection Scientific Testing Laboratories, Inc.; 10101 Renner Blvd., Lenexa, KS Kroll Scientific Testing Laboratories, Activities: Proposed Collection; 66219, 913–888–3927/800–873–8845. Comment Request; Rated Orders, Inc.) (Formerly: Quest Diagnostics Clinical Reference Laboratory, Inc., 8433 Adjustments, Exceptions, or Appeals Incorporated; LabOne, Inc.; Center for Under the Emergency Management Quivira Road, Lenexa, KS 66215– Laboratory Services, a Division of 2802, 800–445–6917 Priorities and Allocations System LabOne, Inc.) (EMPAS) Cordant Health Solutions, 2617 East L Legacy Laboratory Services Toxicology, Street, Tacoma, WA 98421, 800–442– 1225 NE 2nd Ave., Portland, OR AGENCY: Federal Emergency 0438. (Formerly: STERLING Reference 97232, 503–413–5295/800–950–5295 Management Agency, DHS. Laboratories) MedTox Laboratories, Inc., 402 W ACTION: Desert Tox, LLC, 5425 E Bell Rd., Suite 60-Day notice and request for County Road D, St. Paul, MN 55112, comments. 125, Scottsdale, AZ, 85254, 602–457– 651–636–7466/800–832–3244 5411/623–748–5045 Minneapolis Veterans Affairs Medical SUMMARY: The Federal Emergency DrugScan, Inc., 200 Precision Road, Center, Forensic Toxicology Management Agency, as part of its Suite 200, Horsham, PA 19044, 800– Laboratory, 1 Veterans Drive, continuing effort to reduce paperwork 235–4890 Minneapolis, MN 55417, 612–725– and respondent burden, invites the Dynacare,* 245 Pall Mall Street, 2088. Testing for Veterans Affairs general public to take this opportunity London, ONT, Canada N6A 1P4, 519– (VA) Employees Only to comment on a revision of a currently Pacific Toxicology Laboratories, 9348 approved information collection. In * The Standards Council of Canada (SCC) voted to end its Laboratory Accreditation Program for DeSoto Ave., Chatsworth, CA 91311, accordance with the Paperwork Substance Abuse (LAPSA) effective May 12, 1998. 800–328–6942. (Formerly: Centinela Reduction Act of 1995, this notice seeks Laboratories certified through that program were Hospital Airport Toxicology comments concerning information accredited to conduct forensic urine drug testing as Laboratory) necessary to support the President’s required by U.S. Department of Transportation Phamatech, Inc., 15175 Innovation (DOT) regulations. As of that date, the certification priorities and allocations authority of those accredited Canadian laboratories will Drive, San Diego, CA 92128, 888– under the DPA implemented by the continue under DOT authority. The responsibility 635–5840 Emergency Management Priorities and for conducting quarterly performance testing plus Quest Diagnostics Incorporated, 1777 Allocations System (EMPAS) regulation, periodic on-site inspections of those LAPSA- Montreal Circle, Tucker, GA 30084, accredited laboratories was transferred to the U.S. which was added by FEMA’s May 13, HHS, with the HHS’ NLCP contractor continuing to 800–729–6432. (Formerly: SmithKline 2020, Emergency Management Priorities have an active role in the performance testing and and Allocations System Interim Final laboratory inspection processes. Other Canadian meeting the minimum standards of the Mandatory Rule. laboratories wishing to be considered for the NLCP Guidelines published in the Federal Register on may apply directly to the NLCP contractor just as January 23, 2017 (82 FR 7920). After receiving DOT DATES: Comments must be submitted on U.S. laboratories do. certification, the laboratory will be included in the or before March 5, 2021. Upon finding a Canadian laboratory to be monthly list of HHS-certified laboratories and qualified, HHS will recommend that DOT certify participate in the NLCP certification maintenance ADDRESSES: Submit comments at the laboratory (Federal Register, July 16, 1996) as program. www.regulations.gov under Docket ID

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FEMA–2020–0040. Follow the working days for a ‘‘DX’’ rated order and Comments instructions for submitting comments. 15 working days for a ‘‘DO’’ rated Comments may be submitted as All submissions received must order). Rated orders may be placed indicated in the ADDRESSES caption include the agency name and Docket ID, directly by the Federal Government on above. Comments are solicited to (a) and will be posted, without change, to a contractor or supplier, or they may evaluate whether the proposed data the Federal eRulemaking Portal at ‘‘flow down’’ from a contractor to collection is necessary for the proper http://www.regulations.gov, and will subsequent subcontractors or suppliers. performance of the agency, including include any personal information you Additionally, FEMA may facilitate sales whether the information shall have provide. Therefore, submitting this to third parties. Section 333.13 also practical utility; (b) evaluate the information makes it public. You may requires that certain emergency accuracy of the agency’s estimate of the wish to read the Privacy and Security preparedness rated orders must be burden of the proposed collection of Notice that is available via a link on the accepted or rejected within shorter time information, including the validity of homepage of www.regulations.gov. periods as specified in section the methodology and assumptions used; FOR FURTHER INFORMATION CONTACT: 333.12(b). Section 333.13(d)(3) of the (c) enhance the quality, utility, and Marc Geier, Office of Policy and EMPAS regulation requires that, if after clarity of the information to be Program Analysis, Federal Emergency acceptance of a rated order the supplier collected; and (d) minimize the burden Management Agency, 500 C Street SW, discovers that shipment or performance of the collection of information on those Washington, DC 20472, 202.924.0196 or against the order will be delayed, the who are to respond, including through [email protected]. You may supplier must notify the customer the use of appropriate automated, contact the Information Management immediately in written electronic electronic, mechanical, or other Division for copies of the proposed format, giving the reasons for the delay technological collection techniques or collection of information at email and advising the customer of a new other forms of information technology, address: FEMA-Information-Collections- shipment or performance date. This e.g., permitting electronic submission of [email protected]. collection of information involves order responses. SUPPLEMENTARY INFORMATION: This communications between a Federal Government prime contractor and its Millicent L. Brown, information is necessary to support the Acting Records Management Branch Chief, President’s priorities and allocations subcontractors, unless FEMA is facilitating a sale to a third party. In Office of the Chief Administrative Officer, authority under the DPA implemented Mission Support, Federal Emergency by the Emergency Management those situations, FEMA would collect Management Agency, Department of Priorities and Allocations System information on the customer as part of Homeland Security. (EMPAS) regulation (44 CFR part 333), the sale facilitation. [FR Doc. 2020–29029 Filed 12–31–20; 8:45 am] which was added by FEMA’s May 13, Finally, under section 333.70 each BILLING CODE 9111–19–P 2020, Emergency Management Priorities request for adjustment or exception and Allocations System Interim Final must be in writing and contain a Rule (RIN 1660–AB04). The purpose of complete statement of all the facts and DEPARTMENT OF HOMELAND this authority is to ensure the timely circumstances related to 44 CFR part SECURITY delivery of products, materials, and 333 or official action from which services to meet current national adjustment is sought and a full and Office of the Secretary precise statement of the reasons why defense requirements. The definition of Determination Pursuant to Section 102 relief should be provided. Under section ‘‘national defense’’ in Section 702(14) of of the Illegal Immigration Reform and 333.71, any person who has had a the DPA provides that this term Immigrant Responsibility Act of 1996, includes ‘‘homeland security,’’ request for adjustment or exception as Amended ‘‘emergency preparedness activities’’ denied by FEMA under section 333.70 conducted pursuant to Section 602 of may appeal to the Administrator. Each AGENCY: Office of the Secretary, the Robert T. Stafford Disaster Relief appeal must be in writing and contain Department of Homeland Security. and Emergency Assistance Act (Stafford a complete statement of all the facts and ACTION: Notice of determination. Act) (42 U.S.C. 5195a), and ‘‘critical circumstances related to the action infrastructure protection and appealed from a full and precise SUMMARY: The Acting Secretary of restoration.’’ statement of the reasons the decision Homeland Security has determined, should be modified or reversed. pursuant to law, that it is necessary to Collection of Information waive certain laws, regulations, and Affected Public: For Profit Business; other legal requirements in order to Title: Rated Orders, Adjustments, Private Non-Profit; State, local or Tribal ensure the expeditious construction of Exceptions, or Appeals Under the government. Emergency Management Priorities and barriers and roads in the vicinity of the Estimated Number of Respondents: Allocations System (EMPAS). international land border in Imperial 26. Type of Information Collection: County, California. Revision of a currently approved Estimated Number of Responses: 26. DATES: This determination takes effect information collection. Estimated Total Annual Burden on January 4, 2021. OMB Number: 1660–0150. Hours: 8.5. SUPPLEMENTARY INFORMATION: Important FEMA Forms: No forms. Estimated Total Annual Respondent mission requirements of the Department Abstract: To help ensure the timely Cost: $533. of Homeland Security (‘‘DHS’’) include delivery of goods and services in border security and the detection and Estimated Respondents’ Operation support of approved emergency prevention of illegal entry into the and Maintenance Costs: None. management programs, section 333.13 United States. Border security is critical of the EMPAS regulation requires Estimated Respondents’ Capital and to the nation’s national security. suppliers to accept or reject priority Start-Up Costs: None. Recognizing the critical importance of rated orders for these goods and services Estimated Total Annual Cost to the border security, Congress has mandated within established time periods (10 Federal Government: $188. DHS to achieve and maintain

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operational control of the international Determination and Waiver barriers, roads, supporting elements, land border. Secure Fence Act of 2006, drainage, erosion controls, safety Section 1 Public Law 109–367, sec. 2, 120 Stat. features, lighting, cameras, and sensors) 2638 (Oct. 26, 2006) (8 U.S.C. 1701 The United States Border Patrol’s El in the project areas, all of the following note). Congress defined ‘‘operational Centro Sector is an area of high illegal statutes and regulations, including any control’’ as the prevention of all entry. In fiscal year 2020, the United legal requirements of, deriving from, or unlawful entries into the United States, States Border Patrol (‘‘Border Patrol’’) related to the subject of, the following including entries by terrorists, other apprehended over 11,000 illegal aliens statutes and regulations: 41 U.S.C. 3301; unlawful aliens, instruments of attempting to enter the United States 41 U.S.C. 3302(b)–(e); 41 U.S.C. 3304; terrorism, narcotics, and other between border crossings in the El 41 U.S.C. 3306(a); 41 U.S.C. 3309(b)–(e); contraband. Id. Consistent with that Centro Sector. In that same time period, 41 U.S.C. 3502; 41 U.S.C. 4103(c), mandate from Congress, the President’s between border crossings in the El (d)(3)–(4); 41 U.S.C. 4104(b); 41 U.S.C. Executive Order on Border Security and Centro Sector the Border Patrol seized 4106(c)–(d); 41 U.S.C. 6101(b)(1); 41 Immigration Enforcement Improvements over 200 pounds of marijuana, over 50 U.S.C. 1126; 41 U.S.C. 1708(a), (c), (e); directed executive departments and pounds of cocaine, over 30 pounds of Section 880 of Division A, Title VIII of agencies to deploy all lawful means to heroin, over 3,100 pounds of Public Law 115–232; 15 U.S.C. 644; 15 secure the southern border. Executive methamphetamine, and over 60 pounds U.S.C. 657q; 15 U.S.C. 631(j); 15 U.S.C. Order 13767, sec. 1. In order to achieve of fentanyl. 637(d)–(f), and (h); 13 CFR part 125; 48 that end, the President directed, among Due to the high levels of illegal entry CFR 22.404–5; 48 CFR 16.504(c); and 48 other things, that I take immediate steps within the El Centro Sector, I must use CFR 16.505(a)(4) and (5), (a)(8)(i) and to prevent all unlawful entries into the my authority under section 102 of (iii), (b). United States, including the immediate IIRIRA to install additional physical This waiver does not revoke or construction of physical infrastructure barriers and roads in the El Centro supersede any other waiver to prevent illegal entry. Executive Order Sector. Therefore, DHS will take determination made pursuant to section 13767, sec. 4(a). immediate action to construct primary 102(c) of IIRIRA. Such waivers shall Congress has provided to the and secondary barriers in the El Centro remain in full force and effect in Secretary of Homeland Security a Sector. The areas in the vicinity of the accordance with their terms. I reserve number of authorities necessary to carry border within which such construction the authority to execute further waivers out DHS’s border security mission. One will occur are referred to herein as the from time to time as I may determine to of those authorities is found at section ‘‘project areas’’ and are more be necessary under section 102 of 102 of the Illegal Immigration Reform specifically described in Section 2 IIRIRA. below. and Immigrant Responsibility Act of Signature 1996, as amended (‘‘IIRIRA’’). Public Section 2 The Acting Secretary of Homeland Law 104–208, Div. C, 110 Stat. 3009– Security, Chad F. Wolf, having reviewed 546, 3009–554 (Sept. 30, 1996) (8 U.S.C I determine that the following areas in and approved this document, is 1103 note), as amended by the REAL ID the vicinity of the United States border, delegating the authority to electronically Act of 2005, Public Law 109–13, Div. B, located in the State of California in the sign this document to Ian J. Brekke, who 119 Stat. 231, 302, 306 (May 11, 2005) Border Patrol’s El Centro Sector are is Deputy General Counsel for DHS, for (8 U.S.C. 1103 note), as amended by the areas of high illegal entry (the ‘‘project purposes of publication in the Federal Secure Fence Act of 2006, Public Law areas’’): Register. 109–367, sec. 3, 120 Stat. 2638 (Oct. 26, • Starting one-half (0.5) of a mile west 2006) (8 U.S.C. 1103 note), as amended of the San Diego County—Imperial Ian J. Brekke, by the Department of Homeland County line and extending east to Deputy General Counsel for DHS. approximately one mile east of Border Security Appropriations Act, 2008, [FR Doc. 2020–29128 Filed 12–30–20; 4:15 pm] Monument 210 Public Law 110–161, Div. E, Title V, sec. BILLING CODE 9111–14–P 564, 121 Stat. 2090 (Dec. 26, 2007). In There is presently an acute and section 102(a) of IIRIRA, Congress immediate need to construct physical provided that the Secretary of barriers and roads in the vicinity of the DEPARTMENT OF HOUSING AND Homeland Security shall take such border of the United States in order to URBAN DEVELOPMENT actions as may be necessary to install prevent unlawful entries into the United additional physical barriers and roads States in the project areas pursuant to [Docket No. FR–7028–N–09] (including the removal of obstacles to sections 102(a) and 102(b) of IIRIRA. In detection of illegal entrants) in the order to ensure the expeditious 60-Day Notice of Proposed Information vicinity of the United States border to construction of the barriers and roads in Collection: Transfer and Consolidation deter illegal crossings in areas of high the project areas, I have determined that of Public Housing Programs; OMB illegal entry into the United States. In it is necessary that I exercise the Control No.: 2577–0280 section 102(b) of IIRIRA, Congress authority that is vested in me by section AGENCY: Office of the Assistant mandated the installation of additional 102(c) of IIRIRA. Secretary for Public and Indian fencing, barriers, roads, lighting, Accordingly, pursuant to section Housing, PIH, HUD. cameras, and sensors on the southwest 102(c) of IIRIRA, I hereby waive in their ACTION: Notice. border. Finally, in section 102(c) of entirety, with respect to all contracting IIRIRA, Congress granted to the actions associated with the construction SUMMARY: HUD is seeking approval from Secretary of Homeland Security the of physical barriers and roads the Office of Management and Budget authority to waive all legal requirements (including, but not limited to, accessing (OMB) for the information collection that I, in my sole discretion, determine the project areas, creating and using described below. In accordance with the necessary to ensure the expeditious staging areas, the conduct of earthwork, Paperwork Reduction Act, HUD is construction of barriers and roads excavation, fill, and site preparation, requesting comment from all interested authorized by section 102 of IIRIRA. and installation and upkeep of physical parties on the proposed collection of

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information. The purpose of this notice and Legislative Initiatives, PIH, Description of the need for the is to allow for 60 days of public Department of Housing and Urban information and proposed use: State comment. Development, 451 7th Street SW, legislatures or other local governing (L’Enfant Plaza, Room 2206), bodies may from time to time direct or DATES: Comments Due Date: March 5, Washington, DC 20410; telephone 202– agree that the public interest is best 2021. 402–4109, (this is not a toll-free served if one public housing agency ADDRESSES: Interested persons are number). Persons with hearing or (PHA) cedes its public housing program invited to submit comments regarding speech impairments may access this to another PHA, or that two or more this proposal. Comments should refer to number via TTY by calling the Federal PHAs should be combined into one the proposal by name and/or OMB Relay Service at (800) 877–8339. Copies multijurisdictional PHA. This proposed Control Number and should be sent to: of available documents submitted to information collection serves to protect Colette Pollard, Reports Management OMB may be obtained from Ms. Rogers. HUD’s several interests in either Officer, QDAM, Department of Housing SUPPLEMENTARY INFORMATION: This transaction: (1) Insuring the continued and Urban Development, 451 7th Street notice informs the public that HUD is used of the property as public housing; SW, Room 4176, Washington, DC seeking approval from OMB for the (2) that HUD’s interests are secured; and 20410–5000; telephone 202–402–3400 information collection described in (3) that the operating and capital (this is not a toll-free number) or email Section A. subsidies that HUD pays to support the at [email protected] for a copy of A. Overview of Information Collection operation and maintenance of public the proposed forms or other available housing is properly paid to the correct information. Persons with hearing or Title of Information Collection: Public PHA on behalf of the correct properties. speech impairments may access this Housing Program—Transfer and In addition to submitting number through TTY by calling the toll- Consolidation of Public Housing documentation to HUD, PHAs are free Federal Relay Service at (800) 877– Programs. required to make conforming changes to OMB Approval Number: 2577–0280. 8339. Type of Request: Extension of a HUD’s Public Housing Information FOR FURTHER INFORMATION CONTACT: previously approved collection. Center (PIC). Dacia Rogers, Office of Policy, Programs Form Number: N/A. Total Estimated Burdens:

TOTAL BURDEN HOUR ESTIMATES FOR PHAS

Est. Avg. Est. annual Number of Frequency of × time for Number of transfer or consolidation actions respondents requirement * requirement = burden (hours) (hours)

3 Transfers ...... 6 1 120 720 2 Consolidations ...... 4 1 200 800

Subtotals ...... 10 ...... 320 1,520 * The frequency shown assumes that the receiving or consolidated PHA makes one submission for all other PHAs involved in either the trans- fer or consolidation.

B. Solicitation of Public Comment C. Authority ACTION: Notice of information collection; This notice is soliciting comments Section 3507 of the Paperwork request for comment. from members of the public and affected Reduction Act of 1995, 44 U.S.C. SUMMARY: In accordance with the parties concerning the collection of Chapter 35. Paperwork Reduction Act of 1995, we, information described in Section A on Dated: December 16, 2020. the United States Fish and Wildlife the following: Merrie Nichols-Dixon, Service (Service), are proposing a new (1) Whether the proposed collection Director, Office of Policy, Programs and information collection. of information is necessary for the Legislative Initiatives. DATES: Interested persons are invited to proper performance of the functions of [FR Doc. 2020–28705 Filed 12–31–20; 8:45 am] submit comments on or before March 5, the agency, including whether the BILLING CODE 4210–67–P 2021. information will have practical utility; (2) The accuracy of the agency’s ADDRESSES: Send your comments on the estimate of the burden of the proposed information collection request (ICR) by collection of information; DEPARTMENT OF THE INTERIOR mail to the Service Information (3) Ways to enhance the quality, Collection Clearance Officer, U.S. Fish utility, and clarity of the information to Fish and Wildlife Service and Wildlife Service, MS: PRB (JAO/ 3W), 5275 Leesburg Pike, Falls Church, be collected; and [FWS–HQ–MB–2020–N157; [FF09M28100, (4) Ways to minimize the burden of VA 22041–3803 (mail); or by email to FXMB1231092MFR0, 212]; OMB Control _ the collection of information on those Number 1018–New] Info [email protected]. Please reference who are to respond; including through OMB Control Number ‘‘1018–Sandhill the use of appropriate automated Agency Information Collection Cranes’’ in the subject line of your collection techniques or other forms of Activities; Online Eastern Population comments. information technology, e.g., permitting Sandhill Crane Survey Data Entry electronic submission of responses. Portal HUD encourages interested parties to AGENCY: Fish and Wildlife Service, submit comment in response to these Interior. questions.

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FOR FURTHER INFORMATION CONTACT: To to OMB to approve this ICR. Before Notifications for the survey are sent to request additional information about including your address, phone number, volunteers and data results are entered this ICR, contact Madonna L. Baucum, email address, or other personal into the data portal in order to calculate Service Information Collection identifying information in your an abundance of sandhill cranes. This Clearance Officer, by email at comment, you should be aware that survey is conducted via an online [email protected], or by telephone at your entire comment—including your survey platform to reduce cost, improve (703) 358–2503. Individuals who are personal identifying information—may data quality, and decrease respondent hearing or speech impaired may call the be made publicly available at any time. burden. This survey has no statistical Federal Relay Service at 1–800–877– While you can ask us in your comment design. We collect the following 8339 for TTY assistance. to withhold your personal identifying information in conjunction with the SUPPLEMENTARY INFORMATION: In information from public review, we account setup process and survey data accordance with the Paperwork cannot guarantee that we will be able to submission: Reduction Act (PRA, 44 U.S.C. 3501 et do so. • Account setup process: seq.) and its implementing regulations Abstract: The Migratory Bird Treaty Æ Email address, at 5 CFR 1320, all information Act (16 U.S.C. 703–712) designates the Æ User name, collections require approval under the Department of the Interior as the Æ Photo (optional), PRA. We may not conduct or sponsor primary agency responsible for Æ Option for other users to contact and you are not required to respond to managing migratory bird populations the registrant, a collection of information unless it frequenting the United States and Æ Time zone, displays a currently valid OMB control setting hunting regulations that allow Æ First and last name, number. for the well-being of migratory bird Æ Phone number, and As part of our continuing effort to populations. These responsibilities Æ Start date. reduce paperwork and respondent dictate that we gather accurate data on • Survey data submission: burdens, we invite the public and other various characteristics of migratory bird Æ Data submission location via online Federal agencies to comment on new, populations. map, The Service’s fall survey for eastern proposed, revised, and continuing Æ Date and time of observation, population sandhill crane was collections of information. This helps us Æ Number of cranes, established in 1979. It is implemented assess the impact of our information Æ Method (ground count or point by state and Federal agencies and public collection requirements and minimize count), volunteers from eight states in the the public’s reporting burden. It also Æ Habitat (agricultural field, sandbar, helps the public understand our Atlantic and Mississippi Flyways, as well as Ontario, Canada. Sandhill cranes wetland, or mixed-wetland information collection requirements and agricultural field), and provide the requested data in the are widely dispersed during the Æ breeding and wintering seasons and are Any additional notes the user desired format. would like to submit. We are especially interested in public difficult to count. The optimal time to comment addressing the following: survey cranes is during the last week of We received OMB approval to (1) Whether or not the collection of October when the majority of eastern conduct usability testing of the data information is necessary for the proper population cranes breeding in Canada entry portal in 2019 under Interior’s performance of the functions of the migrate to traditional staging grounds in Fast Track clearance process ‘‘DOI agency, including whether or not the the Great Lake States (e.g., Jasper- Generic Clearance for the Collection of information will have practical utility; Pulaski Fish and Wildlife Area, Qualitative Feedback on Agency Service (2) The accuracy of our estimate of the Medaryville, Indiana). Since the initial Delivery’’ (OMB Control No. 1090– burden for this collection of survey in 1979, crane numbers have 0011). After conducting the usability information, including the validity of increased to over 90,000 birds. testing of the data entry portal for one the methodology and assumptions used; The information collected through year, we are now ready to seek OMB’s (3) Ways to enhance the quality, this survey is vital in assessing the full approval of this information utility, and clarity of the information to relative changes in the geographic collection under the PRA. be collected; and distribution of the species. We use the Title of Collection: Online Eastern (4) How might the agency minimize information primarily to inform Population Sandhill Crane Survey Data the burden of the collection of managers of changes in sandhill crane Entry Portal. information on those who are to distribution and population trends. OMB Control Number: 1018–New. respond, including through the use of Without information on the Form Number: None. appropriate automated, electronic, population’s status, we might Type of Review: New. mechanical, or other technological promulgate hunting regulations that: Respondents/Affected Public: collection techniques or other forms of • Are not sufficiently restrictive, Individuals and state agencies. information technology, e.g., permitting which could cause harm to the sandhill Respondent’s Obligation: Voluntary. electronic submission of response. crane population, or Frequency of Collection: One time for Comments that you submit in • Are too restrictive, which would the initial registration, and on occasion response to this notice are a matter of unduly restrict recreational for survey submission. public record. We will include or opportunities afforded by sandhill crane Total Estimated Annual Nonhour summarize each comment in our request hunting. Burden Cost: None.

Average Average Average Average completion Estimated Requirement number of number of number of time per annual annual responses annual response burden respondents each responses * (mins) hours *

Account Registration: Individuals ...... 33 1 33 5 3

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Average Average Average Average completion Estimated Requirement number of number of number of time per annual annual responses annual response burden respondents each responses * (mins) hours *

State agencies ...... 18 1 18 5 2 Online Survey Submission: Individuals ...... 38 2 76 3 4 State agencies ...... 23 1.3 30 3 2

Totals ...... 112 ...... 157 ...... 11 * Rounded.

An agency may not conduct or Proposed Coastal Barrier Resources two existing CBRS units in Okaloosa sponsor and a person is not required to System Boundaries and Related and Walton Counties, Florida, and for respond to a collection of information Information, below, should be made by four existing units and two proposed unless it displays a currently valid OMB February 3, 2021 to encourage any local new units in Beaufort and Charleston control number. outreach to be conducted early in the Counties, South Carolina. This notice The authority for this action is the comment period, leaving ample time for announces the availability of the Paperwork Reduction Act of 1995 (44 the public to review and submit proposed boundaries for public review U.S.C. 3501 et seq.). comments. However, requests made and comment. after this date, within a reasonable time, Dated: December 29, 2020. Background on the Coastal Barrier Madonna Baucum, will be fulfilled. Submitting comments: To ensure Resources System Information Collection Clearance Officer, U.S. consideration, we must receive your Coastal barrier ecosystems are Fish and Wildlife Service. written comments by March 5, 2021. inherently dynamic systems located at [FR Doc. 2020–29047 Filed 12–31–20; 8:45 am] ADDRESSES: You may submit written the interface of land and sea. Coastal BILLING CODE 4333–15–P comments by one of the following barriers and their associated aquatic methods: habitat (wetlands and open water) • Electronically: Go to the Federal e- DEPARTMENT OF THE INTERIOR provide important habitat for fish and Rulemaking Portal: https:// wildlife, and serve as the mainland’s Fish and Wildlife Service www.regulations.gov. Search for FWS– first line of defense against the impacts HQ–ES–2019–0058, which is the docket of severe storms. With the passage of the [Docket No. FWS–HQ–ES–2019–0058; number for this notice. Coastal Barrier Resources Act (CBRA) in FF09E15000–FXES111609B0000–190] • By hard copy: Submit by U.S. mail 1982 (16 U.S.C. 3501 et seq.), Congress or hand-delivery to: Public Comments recognized that certain actions and John H. Chafee Coastal Barrier Processing, Attn: Docket No. FWS–HQ– Resources System; Okaloosa and programs of the Federal Government ES–2019–0058, U.S. Fish and Wildlife have historically subsidized and Walton Counties, FL; Beaufort and Service, 5275 Leesburg Pike, MS: PRB/ Charleston Counties, SC; Availability encouraged development on storm- 3W, Falls Church, VA 22041–3808. prone and highly dynamic coastal of Draft Revised Boundaries and We request that you send comments Request for Comments barriers, and the result has been the loss by only one of the methods described of natural resources; threats to human AGENCY: Fish and Wildlife Service, above. We will post all information life, health, and property; and the Interior. received on https:// expenditure of billions of tax dollars. ACTION: Notice of availability; request www.regulations.gov. If you provide CBRA established the CBRS, which for comments. personal identifying information in your originally comprised 186 geographic comment, you may request at the top of units encompassing approximately SUMMARY: The Coastal Barrier Resources your document that we withhold this 453,000 acres of relatively undeveloped Reauthorization Act of 2006 requires the information from public review. lands and associated aquatic habitat Secretary of the Interior to prepare However, we cannot guarantee that we along the Atlantic and Gulf of Mexico digital versions of the John H. Chafee will be able to do so. coasts. The CBRS was expanded by the Coastal Barrier Resources System FOR FURTHER INFORMATION CONTACT: Coastal Barrier Improvement Act of (CBRS) maps and make Katie Niemi, Coastal Barriers 1990 (CBIA; Pub. L. 101–591) to include recommendations for the expansion of Coordinator, via telephone at 703–358– additional areas along the Atlantic and the CBRS. We, the U.S. Fish and 2071, by email at [email protected], or via Gulf of Mexico coasts, as well as areas Wildlife Service, have prepared draft the Federal Relay Service at 800–877– along the coasts of the Great Lakes, the revised boundaries for two existing 8339 for TTY assistance. U.S. Virgin Islands, and Puerto Rico. CBRS units in Okaloosa and Walton SUPPLEMENTARY INFORMATION: The The CBRS now comprises a total of Counties, Florida, and for four existing Coastal Barrier Resources 870 geographic units, encompassing units and two proposed new units in Reauthorization Act of 2006 (CBRRA; approximately 3.5 million acres of land Beaufort and Charleston Counties, section 4 of Pub. L. 109–226) requires and associated aquatic habitat. These South Carolina. This notice announces the Secretary of the Interior (Secretary) areas are depicted on a series of maps the availability of the proposed to prepare digital versions of the John H. and known as the John H. Chafee boundaries for public review and Chafee Coastal Barrier Resources System Coastal Barrier Resources System. Most comment. (CBRS) maps and make new Federal expenditures and financial DATES: recommendations for the expansion of assistance that would have the effect of Accessing documents: Requests for the CBRS. We, the U.S. Fish and encouraging development are prohibited the stakeholder outreach toolkit Wildlife Service (Service), have within the CBRS. Development can still described under Availability of prepared draft revised boundaries for occur within the CBRS, provided that

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private developers or other non-Federal Coastal Barrier Resources System recreation area data (e.g., park and parties bear the full cost. Remapping Methodology wildlife refuge parcel boundaries, The CBRS includes two types of units, The methodology described below is conservation easement data, and parcel System Units and Otherwise Protected the general process through which the acquisition dates). Some of these data Areas (OPAs). System Units contain Service prepares comprehensively sets are available for download on the areas that were relatively undeveloped revised CBRS boundaries, including internet or through specific requests to and predominantly privately owned at those produced through this technical the data steward, while others can only be reviewed online through mappers, the time of designation, though they correction for certain Florida and South websites, and/or databases. Carolina units. This methodology is may also contain areas held for Proposed CBRS boundaries prepared consistent with the methodology used conservation and/or recreation. Most by the Service are based upon the best new Federal expenditures and financial for prior comprehensive remapping available information that the Service is assistance, including Federal flood efforts, including the Service’s able to obtain. In some cases, there are insurance, are prohibited within System Hurricane Sandy Remapping Project challenges associated with the data Units. OPAs are predominantly (affecting nine States in the northeast) mining and research process. Data may comprised of conservation and/or that is described in a notice the Service be unavailable, unobtainable within a recreation areas such as national published in the Federal Register on reasonable time frame, incomplete, wildlife refuges, State and national March 12, 2018 (83 FR 10739). outdated, and/or in conflict with other parks, and local and private Data Mining and Research data of the same type from a different conservation areas, though they may source. Construction dates and both The Service procures the best also contain private areas not held for present and historical land ownership available data and information conservation and/or recreation. OPAs information can be difficult to obtain necessary to: (1) Determine whether the are denoted with a ‘‘P’’ at the end of the and validate for certain areas (in existing CBRS unit boundaries unit number. The only Federal spending particular, ownership information for prohibition within OPAs is the appropriately follow the features they undeveloped wetland areas). It is also prohibition related to Federal flood were intended to follow on-the-ground; difficult in some cases to determine insurance. (2) determine the level of development structure type and use (e.g., residential, that was on-the-ground when the areas commercial, or other). The Secretary, through the Service, is were originally included within the responsible for administering CBRA, CBRS (e.g., dates of construction and Initial Stakeholder Outreach which includes maintaining the official density of development); (3) identify During the data mining and research maps of the CBRS, determining whether qualifying additions; and (4) evaluate certain areas are located within the phase of the technical correction review, unit type classifications (i.e., System the Service generally conducts outreach CBRS, consulting with Federal agencies Unit or OPA). with certain landowners and/or that propose to spend funds within the We review all applicable historical managers of coastal barrier areas that are CBRS, preparing updated maps of the background records of the CBRS units ‘‘otherwise protected’’ (as defined by the CBRS, and making recommendations to (maintained by the Service), reports to CBIA), meaning within the boundaries Congress regarding changes to the Congress, public laws, legislative of an area established under Federal, CBRS. Aside from three minor history, testimony from Congressional State, or local law, or held by a qualified exceptions, only Congress—through hearings, Federal Register notices, organization (defined under the Internal legislation—can modify the maps of the current and historical CBRS maps, the Revenue Code (26 U.S.C. 170(h)(3)), CBRS to add or remove land. These 1982 and 1994 CBRS photographic primarily for wildlife refuge, sanctuary, exceptions, which allow the Secretary to atlases (a set of aerial photography recreational purposes, or natural make limited modifications to the CBRS maintained by the Service with the resource conservation purposes. Such (16 U.S.C. 3503(c)–(e)), are for: (1) CBRS unit boundaries overlaid), outreach is generally not conducted Changes that have occurred to the CBRS materials submitted by interested with the landowners and/or managers of as a result of natural forces, (2) parties and their representatives in areas that do not meet the definition of voluntary additions to the CBRS by Congress, and other data and ‘‘otherwise protected.’’ This includes property owners, and (3) additions of information. areas zoned or regulated by State or excess Federal property to the CBRS. When necessary, we also obtain and local governments for the purpose of The Service receives numerous assess both geospatial and non- restricting the nature or density of requests from property owners and geospatial data from a variety of Federal development, but where such regulation other interested parties who seek to sources (e.g., Federal Emergency does not necessarily reflect the intent of remove areas from the CBRS. When Management Agency, National Oceanic the property owners to protect the area assessing potential removals from and and Atmospheric Administration, U.S. for conservation and/or recreation in additions to the CBRS, the Service Army Corps of Engineers, U.S. perpetuity (e.g., local zoning categories considers a set of guiding principles and Department of Agriculture, Service’s such as dune districts, inlet hazard criteria which are further described National Wetlands Inventory and refuge areas, and setback zones and areas under Types of Boundary Changes, programs, and U.S. Geological Survey), subject to conservation easements or below. The Service generally does not as well as State, local, and leases that have limited restrictions). recommend removals from the CBRS, nongovernmental sources. These data Conservation/recreation area unless there is clear and compelling may include, but are not limited to, landowners and/or managers are evidence that a mapping error was current and historical aerial imagery, contacted during the data mining and made. In cases where mapping errors natural resource and natural hazard data research phase in cases where the are found, the Service recommends (e.g., wetlands data, shoreline change following information is necessary to changes to the maps and works with data, and flood hazard data), land prepare the proposed boundaries: (1) Congress and other interested parties to ownership and development data (e.g., The location of conservation and/or create comprehensively revised maps property parcel data and construction recreation area boundaries (primarily in using modern digital technology. date information), and conservation and cases where the CBRS unit boundary

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was intended to be coincident with that sand sharing system of coastal barriers Modifications To Reflect Geomorphic boundary and there is conflicting is normally defined by the 30-foot Change information about the parcel boundary bathymetric contour. In the Great Lakes location), and/or (2) the acquisition and in large coastal embayments (e.g., CBRA requires that the Service review date(s) of the conservation and/or Chesapeake Bay, Delaware Bay, and the maps of the CBRS at least once every recreation area. Additionally, Narragansett Bay), the sand sharing 5 years and make modifications to the conservation/recreation area system is more limited in extent. In boundaries of the units to account for landowners and/or managers are these cases, the sand sharing system is changes caused by natural forces such contacted when the Service requires defined by the 20-foot bathymetric as accretion and erosion (16 U.S.C. additional information necessary to contour or a line approximately 1 mile 3503(c)). This type of change can be determine the appropriate CBRS unit seaward of the shoreline, whichever is made by the Service administratively; type classification (i.e., System Unit or nearer the coastal barrier. however, it is also incorporated into OPA) for a particular conservation and/ comprehensive remapping efforts for or recreation area. Shoreline Calculations efficiency and cost-saving purposes. The Given the large number of The Service calculates the shoreline boundaries of System Units and OPAs conservation and/or recreation area of the units to help assess the linear are modified where appropriate to stakeholders within certain areas and extent of the CBRS and to facilitate the account for natural changes that have complexities associated with mapping calculation of the acreage of the units as occurred since the maps were last numerous small parcels, we generally described above. For the purposes of updated. limit our initial outreach to those CBRS remapping projects, the Service Alignment With Geomorphic Features stakeholders that own and/or manage digitizes a shoreline boundary to conservation and/or recreation areas artificially close off the units along the CBRS boundaries are often intended that are greater than approximately 10 seaward shoreline. This shoreline to follow geomorphic features such as a acres in size within the existing and/or boundary generally follows the wet/dry shoreline or the interface between proposed System Units. See Types of sand line along the seaward side of the wetlands and fastlands. This applies Boundary Changes, below, for unit as interpreted from the base mostly to System Units, though there additional information about the imagery. Additionally, the shoreline mapping of conservation/recreation are many cases where OPA boundaries boundary spans any inlets and/or other follow geomorphic features. The areas within the CBRS. dividing water bodies within each unit. Additional outreach to these groups boundaries of System Units and OPAs In some cases, highly convoluted and a broader group of stakeholders is are modified where appropriate to align shorelines are generalized. Due to the being conducted as part of the public with underlying geomorphic features. complexities of shoreline delineations, review process; see Request for Alignment With Development Features Comments, below, for further acreage numbers (rather than shoreline miles) are the most reliable way to information. CBRS boundaries are often intended quantify proposed changes to the CBRS to follow development features, such as Acreage Calculations for individual units. the edge of a road, a bridge, or the The Service calculates the acreage of Types of Boundary Changes ‘‘break-in-development’’ that existed on- the CBRS units to help assess the areal the-ground when the area was included extent of the units and to quantify The Service applies objective within the CBRS. The break-in- mapping protocols, statutory criteria, proposed changes. The total acreage of development is where development and a set of guiding principles for a CBRS unit is comprised of fastland ended, immediately adjacent to the last assessing modifications to the CBRS. In (land above mean high tide) and structure in a cluster or row of 1982 and 1985, the Department associated aquatic habitat (wetlands and structures, or at the property parcel published guidance in the Federal open water). For the purpose of boundary of the last structure. This Register (47 FR 35696 (August 16, 1982) calculating acreage for CBRS remapping applies mostly to System Units, though and 50 FR 8698 (March 4, 1985)) for projects, the wetland/fastland acreage there are cases where OPA boundaries delineating CBRS unit boundaries. The breakdown of the units is derived from follow development features. The Department’s Undeveloped Coastal the Service’s National Wetlands boundaries of System Units and OPAs Inventory (NWI) data. A shoreline is Barriers: Report to Congress (1982) and are modified where appropriate to align delineated (as described below) to be Report to Congress: Coastal Barrier with development features. used in conjunction with the boundaries Resources System (1988) and the of the unit to calculate acreage, and only Service’s Final Report to Congress: John Alignment With Cultural Features areas landward of this shoreline are H. Chafee Coastal Barrier Resources included in the calculation. The System Digital Mapping Pilot Project CBRS boundaries are often intended associated aquatic habitat acreage (2016) also contain protocols, criteria, to follow cultural features such as roads numbers include open water landward and guiding principles for CBRS and political boundaries (e.g., State, of the coastal barrier, but not nearshore mapping. The different types of changes county, and town boundaries) or or offshore waters seaward of the proposed through CBRS remapping conservation/recreation area shoreline. The offshore acreage of the projects include modifications to reflect boundaries. Both System Units and units is not calculated, because a fixed geomorphic change; alignment with OPAs follow cultural features; however, seaward boundary for the units is geomorphic, development, and cultural this applies especially to OPAs, which generally not drawn due to the highly features; additions to and removals from often coincide with the boundaries of dynamic nature of the littoral zone. the CBRS; and modifications to CBRS the underlying conservation and/or Although acreage for offshore areas is boundaries in channels. Additionally, recreation areas (although there are not calculated, the entire sand sharing CBRS unit type classifications (and exceptions). The boundaries of System system on the seaward side, including reclassifications) are determined Units and OPAs are modified where the beach and nearshore area, is according to a standard protocol appropriate to align with cultural included within the CBRS units. The described below. features.

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Additions to the Coastal Barrier additions to the CBRS can be made by unit boundaries following channels in Resources System the Service administratively (16 U.S.C. some cases include the entire channel In carrying out CBRS remapping 3503(d)); however, they are also and in other cases include none of the projects, the Service often finds areas of incorporated into ongoing CBRS channel within the unit. The boundaries undeveloped fastland and associated mapping projects like this one for of System Units and OPAs are modified aquatic habitat that are not currently efficiency and cost-saving purposes. where appropriate to include the entire within the CBRS but are appropriate for extent of the channel within the unit. In Removals From the Coastal Barrier cases where a System Unit and an OPA inclusion (either as additions to existing Resources System share a coincident boundary that units or as entirely new units). When In carrying out CBRS remapping follows a channel located between the assessing whether an area may be projects, the Service also finds areas that two units, the entire channel is appropriate for addition to the CBRS, were inappropriately included within generally included within the System the Service considers the following the CBRS and constitute technical Unit. In cases where two System Units guiding principles: mapping errors. When assessing or two OPAs fall within a channel, the (1) Whether the area may reasonably whether an area may be appropriate for coincident boundary is generally placed be considered to be a coastal barrier removal from the CBRS, the Service at the center of the channel. A buffer (of feature, or related to a coastal barrier considers the following guiding about 20 feet) is generally applied along ecosystem (this generally includes areas principles: developed shorelines (i.e., where that are inherently vulnerable to coastal (1) Whether the area may reasonably structures and/or infrastructure such as hazards such as flooding, storm surge, be considered to be a coastal barrier seawalls, bulkheads, and roads are very wind, erosion, and sea level rise) and feature, or related to a coastal barrier close to and run parallel to or are (2) Whether inclusion of the area ecosystem (this generally includes areas coincident with the shoreline) to ensure within the CBRS is rationally related to that are inherently vulnerable to coastal that existing development and the purposes of CBRA (i.e., to minimize hazards such as flooding, storm surge, infrastructure located on the shoreline the loss of human life, wasteful wind, erosion, and sea level rise) and are not inadvertently included within expenditure of Federal revenues, and (2) Whether inclusion of the area the CBRS. damage to fish, wildlife, and other within the CBRS is rationally related to natural resources). the purposes of CBRA (i.e., to minimize Coastal Barrier Resources System Unit When assessing potential additions to the loss of human life, wasteful Type Classification the CBRS, the Service also considers the expenditure of Federal revenues, and In carrying out CBRS remapping following criteria: damage to fish, wildlife, and other projects, the Service considers the (1) The level of development on-the- natural resources). qualifying coastal barrier feature and ground (i.e., whether the number of The Service considers a technical delineates the unit boundaries in structures or complement of mapping error to be a mistake in the accordance with the protocols, criteria, infrastructure on-the-ground exceeds delineation of the CBRS boundaries that and guiding principles identified above, the threshold for the area to be was made as a result of incorrect, regardless of whether the area is (or was considered undeveloped) (16 U.S.C. outdated, or incomplete information previously) owned or managed for 3503(g)(1)) and/or (often stemming from inaccuracies on conservation and/or recreation. In other (2) In the case of certain additions to the original base maps). When assessing words, the boundaries of both System existing units, the location of whether an area may be appropriate for Units and OPAs are generally drawn geomorphic, cultural, and development removal, the Service also considers the using the same protocols, criteria, and features on-the-ground at the time the following criteria: guiding principles. The Service then adjacent area was included within the (1) The level of development on-the- determines the unit type classification CBRS (i.e., whether the CBRS boundary ground at the time the area was (for proposed additions) and lines on the maps precisely follow the included within the CBRS (i.e., the reclassification (for existing units) in underlying features they were intended number of structures or complement of accordance with the protocols below. to follow on-the-ground). infrastructure on-the-ground exceeded The unit type classification (i.e., The boundaries of System Units and the threshold for the area to be System Unit versus OPA) is based on OPAs are modified where appropriate to considered undeveloped) (16 U.S.C. whether or not the unit was add undeveloped fastland and 3503(g)(1)) and/or predominantly held for conservation associated aquatic habitat to the CBRS (2) The location of geomorphic, and/or recreation at the time of (either as additions to existing units or cultural, and development features on- designation, and is modified where as entirely new units). Such additions to the-ground at the time the area was appropriate and practicable. Such unit the CBRS are consistent with section included within the CBRS (i.e., the type modifications for areas that are 4(c)(3) of the 2006 Coastal Barrier CBRS boundary lines on the maps do currently within the CBRS are referred Resources Reauthorization Act, which not precisely follow the underlying to as ‘‘reclassifications.’’ The directs the Secretary to make features they were intended to follow reclassified areas are either added to an recommendations for expansion of the on-the-ground). existing adjacent unit of the same type CBRS. The unit type classification (i.e., The boundaries of System Units and or assigned a new unit number. The System Unit versus OPA) is determined OPAs are modified where appropriate to following considerations are applied for according to the protocol described remove areas that were inappropriately unit type classification and below, under Coastal Barrier Resources included within the CBRS and reclassification. System Unit Type Classification. constitute technical mapping errors. Additionally, the Service Areas Not Held for Conservation/ accommodates requests from Modifications to Coastal Barrier Recreation Within Otherwise Protected landowners for voluntary additions to Resources System Boundaries in Areas the CBRS or reclassifications of Channels Areas that are not held for conservation/recreation areas from OPA In carrying out CBRS remapping conservation/recreation may be to System Unit status. Voluntary projects, the Service finds that the CBRS included within OPAs if they are: (1)

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Interspersed with and/or adjacent to a owners (regardless of size) when there is Hunting Island Unit SC–09P in Beaufort larger conservation/recreation area, and evidence of such prior intent, including County, South Carolina. The proposed (2) located in coastal barrier areas that letters from the stakeholder in the boundaries include two proposed new were undeveloped according to CBRA’s Service’s records indicating that the OPAs, Morris Island Complex M06P and statutory development criteria (16 organization supported inclusion of the St. Phillips Unit M12P, which are U.S.C. 3503(g)(1)) at the time they were property within the System Unit in the within the vicinity of the existing units included within the CBRS (or are past, or records of specific changes to in Beaufort and Charleston Counties. currently undeveloped in the case of the Department’s recommended maps These proposed new units are proposed additions). Additionally, made by the Congressional committees comprised entirely of areas that are not privately held inholdings (developed or that reviewed them prior to their currently contained within the CBRS. undeveloped private tracts that are enactment. The proposed boundaries for the contained within the exterior South Carolina units would remove 13 Areas Held for Conservation/Recreation boundaries of the conservation and/or acres from the CBRS (all fastland) and After Area Designated as CBRS recreation area) may also be included add 9,956 acres to the CBRS (593 acres within OPAs. If an area is dedicated to conservation of fastland and 9,363 acres of associated and/or recreation after its initial aquatic habitat). The proposed Conservation/Recreation Areas Within inclusion within a System Unit, it is boundaries would remove nine System Units generally not reclassified to an OPA. structures from the CBRS and add one structure to the CBRS. Areas Held for Conservation/Recreation Proposed Modifications to the CBRS Prior to CBRS Designation The Service has prepared draft Proposed Additions to the Coastal Areas that are held for conservation/ revised boundaries that propose Barrier Resources System recreation may be included within modifications to the CBRS in Florida The draft revised boundaries for the System Units if they are: (1) and South Carolina in accordance with Florida and South Carolina units would Interspersed with and/or adjacent to a the methodology described above. The make additions to the CBRS (including larger area that is not held for proposed revisions would remove areas the creation of two new units) that are conservation/recreation and (2) that were inappropriately included consistent with a directive in section 4 undeveloped according to CBRA’s within the CBRS in the past and add of the 2006 CBRRA concerning statutory development criteria (16 areas that meet CBRA’s criteria for recommendations for expansion of the U.S.C. 3503(g)(1)) at the time they were inclusion within the CBRS (16 U.S.C. CBRS. The proposed boundaries are included within the CBRS (or are 3503(g)(1)). The proposed revisions based upon the best data available to the currently undeveloped in the case of would also reclassify certain areas from Service at the time the areas were proposed additions). System Unit to OPA, and vice versa. reviewed. Our assessment indicated that For conservation/recreation areas A summary of metrics associated with any new areas proposed for addition to greater than 10 acres, the Service the proposed changes by county/State is the CBRS were relatively undeveloped coordinates with the landowners (or provided below. More detailed at the time the proposed boundaries managers) to seek their concurrence on information regarding the specific were created. inclusion of their area within the proposed changes to each unit is CBRA (16 U.S.C. 3503(g)) requires System Unit. If the owners do not available in a set of unit summaries. See that we consider the following criteria concur with System Unit status, the Availability of Proposed Coastal Barrier when assessing the development status Service classifies such areas as OPAs to Resources System Boundaries and of a potential addition to the CBRS: (1) the extent practicable. However, minor Related Information, below, for Whether the density of development is conservation/recreation areas (fastlands information on where to access the unit less than one structure per 5 acres of and wetlands smaller than 10 acres) and summaries. land above mean high tide (which certain areas of open water would be generally suggests eligibility for impractical from a mapping perspective Okaloosa and Walton Counties, Florida inclusion within the CBRS); and (2) to delineate separately as OPAs and The Service has prepared whether there is existing infrastructure therefore may be included within comprehensively revised proposed consisting of a road, with a reinforced System Units. Outreach is generally not boundaries for Moreno Point Unit P32/ road bed, to each lot or building site in conducted for these minor areas during P32P in Okaloosa and Walton Counties, the area; a wastewater disposal system the initial stakeholder outreach phase of Florida. The proposed boundaries for sufficient to serve each lot or building the project (described above under the Florida units would remove 17 acres site in the area; electric service for each Coastal Barrier Resources System from the CBRS (14 acres of fastland and lot or building site in the area; and a Remapping Methodology). Descriptions 3 acres of associated aquatic habitat) fresh water supply for each lot or of such ‘‘minor’’ areas within System and add 57 acres to the CBRS (7 acres building site in the area (which Units are included in the set of unit of fastland and 50 acres of associated generally suggests ineligibility for summaries that describe the Service’s aquatic habitat). The proposed inclusion within the CBRS). proposed changes to the CBRS. See boundaries would remove 31 structures If, upon review of the proposed Availability of Proposed Coastal Barrier from the CBRS and add no structures to boundaries, interested parties find that Resources System Boundaries and the CBRS. any areas proposed for addition to the Related Information, below, for CBRS are currently developed information on where to access the unit Beaufort County and Charleston (according to the criteria codified at 16 summaries. Counties, South Carolina U.S.C. 3503(g)), they may submit The Service’s records indicate that The Service has prepared supporting documentation of such some conservation/recreation areas were comprehensively revised proposed development to the Service during this intentionally added to the CBRS as boundaries for Morris Island Complex public comment period. For any areas System Units in the past. The Service M06 in Charleston County, South proposed for addition to the CBRS, we generally does not seek concurrence Carolina, and for Harbor Island Unit will consider the density of from conservation/recreation area M11, St. Phillips Unit M12, and development and level of infrastructure

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on-the-ground as of the close of the Availability of Proposed Coastal DEPARTMENT OF THE INTERIOR comment period (see DATES, above). Barrier Resources System Boundaries Fish and Wildlife Service Request for Comments and Related Information [FWS–HQ–NWRS–2020–N155; Section 4 of the 2006 CBRRA requires The CBRS Projects Mapper (an online FXRS12630900000/FF09R81000; OMB the Secretary to provide an opportunity interface for the public to view the Control Number 1018–New] for the submission of public comments. proposed boundaries and obtain We invite the public to review and information about the proposed Agency Information Collection comment on the proposed CBRS changes) and unit summaries Activities; Submission to the Office of boundaries for CBRS Units P32/P32P, (containing historical changes and Management and Budget for Review M06/M06P, M11, M12/M12P, and SC– proposed changes to the individual and Approval; U.S. Fish and Wildlife 09P. The Service is specifically units) can be accessed from the Service Concessions notifying the following stakeholders Service’s website at https:// concerning the availability of the AGENCY: Fish and Wildlife Service, www.fws.gov/cbra. A shapefile of the proposed boundaries: The Chair and Interior. proposed CBRS boundaries, which can Ranking Member of the House of ACTION: Notice of information collection; Representatives Committee on Natural be used with GIS software, is also request for comment. Resources; the Chair and Ranking available for download. The shapefile is Member of the Senate Committee on best viewed using the base imagery to SUMMARY: In accordance with the Environment and Public Works; the which the boundaries were drawn; the Paperwork Reduction Act of 1995, we, members of the Senate and House of base imagery sources and dates are the U.S. Fish and Wildlife Service Representatives for the affected areas; included in the metadata for the (Service), are proposing a new the Governors of Florida and South shapefile. The Service is not responsible information collection in use without an Carolina; organizations that own (or for any misuse or misinterpretation of OMB Control Number. manage) land held for conservation and/ the shapefile. You may submit a public DATES: Interested persons are invited to or recreation within the existing and comment using one of the methods submit comments on or before February proposed units (where such ownership listed above in ADDRESSES. 3, 2021. information and mailing addresses were Additionally, a stakeholder outreach ADDRESSES: Written comments and publicly available); other appropriate toolkit (comprising unit summaries, a recommendations for the proposed Federal, State, and local officials; and shapefile of the draft revised information collection should be sent appropriate nongovernmental boundaries, and a ‘‘Dear Interested within 30 days of publication of this organizations. notice to www.reginfo.gov/public/do/ Party’’ notification letter) will be made The Service is generally not notifying PRAMain. Find this particular available to local officials upon request. individual private property owners information collection by selecting Local officials may use this toolkit to concerning the availability of the ‘‘Currently under Review—Open for proposed boundaries (except for increase awareness of the project within Public Comments’’ or by using the individuals who have specifically their communities. Local officials may search function. Please provide a copy contacted us in the past concerning a contact the individual identified in FOR of your comments to the Service technical correction request). However, FURTHER INFORMATION CONTACT, above, Information Collection Clearance the Service encourages local officials to for more information regarding the Officer, U.S. Fish and Wildlife Service, distribute the ‘‘Dear Interested Party’’ toolkit. We recommend that any local MS: PRB/PERMA (JAO/3W), 5275 notification letter included in the community officials who want to use Leesburg Pike, Falls Church, VA 22041– stakeholder outreach toolkit, described the outreach toolkit request it as soon as 3803 (mail); or by email to Info_Coll@ below under Availability of Proposed possible to allow outreach activities to fws.gov. Please reference OMB Control Coastal Barrier Resources System occur in time for the public to submit Number 1018—Concessions in the Boundaries and Related Information, to comments before the comment period subject line of your comments. affected property owners in their closes (see DATES). FOR FURTHER INFORMATION CONTACT: communities. Interested parties may submit written Interested parties who are unable to Madonna L. Baucum, Service comments and accompanying data as access the proposed boundaries or other Information Collection Clearance Officer, by email at [email protected], described in ADDRESSES, above. information online may contact the or by telephone at (703) 358–2503. Comments regarding specific CBRS individual identified in FOR FURTHER Individuals who are hearing or speech unit(s) should reference the appropriate INFORMATION CONTACT, above, and impaired may call the Federal Relay unit number(s) and unit name(s). We reasonable accommodations will be Service at 1–800–877–8339 for TTY must receive comments on or before the made. assistance. You may also view the date listed above in DATES. Following the close of the comment Gary Frazer, information collection request (ICR) at period, we will review all comments we Assistant Director for Ecological Services, http://www.reginfo.gov/public/do/ receive on the proposed boundaries and U.S. Fish and Wildlife Service. PRAMain. make adjustments to the boundaries, as [FR Doc. 2020–29043 Filed 12–31–20; 8:45 am] SUPPLEMENTARY INFORMATION: In appropriate, based on information BILLING CODE 4333–15–P accordance with the Paperwork received through public comments, Reduction Act of 1995 (PRA, 44 U.S.C. updated aerial imagery, CBRA criteria, 3501 et seq.) and 5 CFR 1320.8(d)(1), we and objective mapping protocols. We provide the general public and other will then prepare final recommended Federal agencies with an opportunity to maps to be submitted to Congress. The comment on new, proposed, revised, final recommended maps will become and continuing collections of effective only if they are adopted by information. This helps us assess the Congress through legislation. impact of our information collection

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requirements and minimize the public’s • The National Wildlife Refuge wildlife-dependent recreation, reporting burden. It also helps the System Administration Act of 1966 particularly opportunities for parents public understand our information (Administration Act, 16 U.S.C. 668dd– and their children to safely engage in collection requirements and provide the 668ee), as amended by the National traditional outdoor activities, such as requested data in the desired format. Wildlife Refuge System Improvement fishing and hunting. On June 1, 2020, we published in the Act of 1997, authorizes the Secretary of Private businesses and non-profit Federal Register (85 FR 33193) a notice the Interior to negotiate and award organization under contract to the of our intent to request that OMB contracts and issue regulations to carry Service provide recreational, approve this information collection. In out the Act. educational, and interpretive enjoyment that notice, we solicited comments for • The Refuge Recreation Act of 1962 of our lands and waters by managing 60 days, ending on July 31, 2020. We (16 U.S.C. 460k–460k–3) allows the use lodging, food, transportation, and received one comment in response to of refuges for public recreation when supplies and equipment for the that notice, but it did not address the such use is not inconsistent with or enjoyment of the visiting public. These information collection requirements. No does not interfere with the primary services gross approximately $3,000,000 response to that comment is required. purpose(s) of the refuge. every year and provide jobs for more As part of our continuing effort to • The Refuge Revenue Sharing Act than 100 people annually. reduce paperwork and respondent (16 U.S.C. 715s) authorizes the Secretary The regulations at 50 CFR subpart F burdens, we are again soliciting to grant privileges and collect revenues (§ 25.61) primarily implement the comments from the public and other from leases for public accommodations authorities governing public use Federal agencies on the proposed ICR or facilities established for the System. facilities operated by concessionaires or that is described below. We are Specifically, the Administration Act cooperators under appropriate contact especially interested in public comment provides that, with respect to the Refuge or legal agreement on national wildlife addressing the following: System, it is the policy of the United refuges where there is a demonstrated (1) Whether or not the collection of States that— justified need for services or facilities, information is necessary for the proper a. Each refuge shall be managed to including but not limited to boat rentals, performance of the functions of the fulfill the mission of the System, as well swimming facilities, conducted tours of agency, including whether or not the as the specific purposes for which that special natural attractions, shelters, information will have practical utility; refuge was established; tables, trailer lots, food, lodging, and b. Compatible wildlife-dependent (2) The accuracy of our estimate of the related service. recreation is a legitimate and burden for this collection of Service Manual chapters 630 FW 6–8 appropriate general public use of the information, including the validity of discuss the Service’s current policy for System, directly related to the mission the methodology and assumptions used; concession management and provide of the System and the purposes of many (3) Ways to enhance the quality, guidance for permitting and refuges, and which generally fosters utility, and clarity of the information to administering concession operations on refuge management and through which be collected; and Service lands. We use concession the American public can develop an (4) How might the agency minimize contracts to assist us in providing appreciation for fish and wildlife; the burden of the collection of c. Compatible wildlife-dependent wildlife-dependent recreation activities information on those who are to recreational uses are the priority general to the visiting public by using contracts respond, including through the use of public uses of the System and shall between the Service and a private appropriate automated, electronic, receive priority consideration in refuge entity, where the private entity is mechanical, or other technological planning and management; and allowed to charge a fee for services collection techniques or other forms of d. When the Secretary determines that provided at a field station to the visiting information technology, e.g., permitting a proposed wildlife-dependent public. electronic submission of response. recreational use is a compatible use We collect information in a narrative Comments that you submit in within a refuge, that activity should be (non-form) format. Details concerning response to this notice are a matter of facilitated, subject to such restrictions or the specific information required are public record. Before including your regulations as may be necessary, contained in 50 CFR 25.61 and the address, phone number, email address, reasonable, and appropriate. recently updated Service Manual or other personal identifying The Administration Act also provides chapters available to the public on the information in your comment, you that, in administering the Refuge Service’s website at https:// should be aware that your entire System, the Secretary shall— www.fws.gov/policy/manuals/ comment—including your personal a. Recognize compatible wildlife- part.cfm?series=600&seriestitle= identifying information—may be made dependent recreational uses as the LAND%20USE%20 publicly available at any time. While priority general public uses of the AND%20MANAGEMENT%20SERIES. you can ask us in your comment to System, through which the American The amount of information or degree of withhold your personal identifying public can develop an appreciation for detail requested varies widely, information from public review, we fish and wildlife; depending upon the size and scope of cannot guarantee that we will be able to b. Ensure that opportunities are the business opportunity. For example, do so. provided within the System for a much greater amount of detailed Abstract: The Secretary of the Interior compatible wildlife-dependent information would be required for a is authorized to ensure that we provide recreational uses; multi-unit camping and food service opportunities within the Service for c. Ensure that priority general public operation than would be required for a compatible wildlife-dependent uses of the System receive enhanced small bait sales operation. We use the recreational uses across the National consideration over other general public information provided by prospective Wildlife Refuge System (System). uses in planning and management concessionaires to objectively evaluate Furthermore, the Secretary is authorized within the System; and offers received for a particular business to award concessions contracts under d. Provide increased opportunities for opportunity, assure adequate protection the following Acts: families to experience compatible of refuge resources, and to determine

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which offeror will provide the best • The amount of the proposed Approval To Sell or Transfer service to visitors. minimum franchise fee and other forms Concession Operation Below are examples of types of of financial consideration. • information the Service collects from a Information to assess the potential or current concessionaire. Proposal for Concession Opportunity transferee’s ability to manage the • business successfully and fulfill the General Concessionaire Information Offeror’s transmittal letter, including the name and contact terms of the concession contract, in • Description of how the respondent information of the entity offering a order for the Regional Director to grant will conduct operations to minimize proposal to operate a concession approval. disturbance to wildlife; protect refuge contract. Recordkeeping Requirements resources; and provide visitors with a • Business type of the offeror, such as • high-quality, safe, and enjoyable visitor corporation, limited liability company, In accordance with Service Manual experience. partnership, etc. chapter 630 FW 8.3, a concessioner (and • Proposal to protect, conserve, and • Business history information, any subconcessioner) must keep and preserve resources of the refuge. The including adverse history that could make available to the Service records for proposal must respond to specific impact future operations under a the term of the concession contract. resource management objectives and concession contract. Title of Collection: U.S. Fish and issues at the refuge and regarding the • Credit report, so that we can Wildlife Service Concessions. contract in question. • Proposal to provide necessary and understand the offeror’s credit history OMB Control Number: 1018–New. appropriate visitor services at and any risks of contracting with the Form Number: None. entity. Type of Review: Existing collection in reasonable rates. This proposal must • respond to specific visitor service Proposed staffing/management use without an OMB control number. operation information, including questions at the refuge and regarding the Respondents/Affected Public: organization charts and delegations of contract in question. Businesses and nonprofit organizations. • Experience and related background authority, to ensure adequate staffing. • Proof of indemnification, including Respondent’s Obligation: Required to of the offeror, including past obtain or retain a benefit. performance and expertise of the offeror public liability insurance that co-names in providing the same or similar visitor the Government as co-insured. Frequency of Collection: On occasion for proposals, amendments, and services as those to be provided under Reporting Requirements the draft concession contract. appeals; annually for financial reports; • Financial capability of the offeror to • Annual financial reports providing quarterly for progress reports; and carry out its proposal. In particular, we concessioner financial information, as ongoing for recordkeeping. require projected financials, including required by each concession contract. Total Estimated Annual Nonhour initial investments, startup expenses, • Quarterly and annual progress Burden Cost: $69,900 (associated with income statement, operating reports to monitor performance. administrative overhead, as well as assumptions, cash flow statement, • Inspections and inspection reports costs associated with the development recapture of investments, and all conducted in concert with the on-site of proposals in response to concessions associated assumptions. concession manager. opportunities).

Completion Total annual time per Total annual Activity responses response burden (hours) hours *

General Concessionaire Information: Inspection form ...... 80 3 240 Proposal for Concessions Opportunities: Large Concessions ...... 6 40 240 Small Concessions ...... 3 16 48 Reporting Requirements: Annual Financial Report ...... 10 16 160 Quarterly Progress Report ...... 12 4 48 Annual Progress Report ...... 10 16 160 Approval to Sell/Transfer A Concession Operation ...... 1 8 8 Recordkeeping Requirements: Large Concessions ...... 5 40 200 Small Concessions ...... 5 20 100

Totals ...... 132 ...... 1,204

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An agency may not conduct or Commission’s electronic docket (EDIS) Product constitutes a major proportion sponsor and a person is not required to at https://edis.usitc.gov. of the total domestic production of the respond to a collection of information SUPPLEMENTARY INFORMATION: product. In its original determinations, unless it displays a currently valid OMB Background.—On September 20, the Commission defined the Domestic control number. 2010, the Department of Commerce Industry as all producers of the The authority for this action is the (‘‘Commerce’’) issued antidumping duty Domestic Like Product, certain magnesia Paperwork Reduction Act of 1995 (44 orders on imports of certain magnesia carbon bricks. U.S.C. 3501 et seq.). carbon bricks from China and Mexico (5) An Importer is any person or firm Dated: December 29, 2020. (75 FR 57257). On September 21, 2010, engaged, either directly or through a parent company or subsidiary, in Madonna Baucum, Commerce issued a countervailing duty order on imports of certain magnesia importing the Subject Merchandise into Information Collection Clearance Officer, U.S. the United States from a foreign Fish and Wildlife Service. carbon bricks from China (75 FR 57442). manufacturer or through its selling [FR Doc. 2020–29074 Filed 12–31–20; 8:45 am] Following the first five-year reviews by Commerce and the Commission, agent. BILLING CODE 4333–15–P Participation in the proceeding and effective February 12, 2016, Commerce public service list.—Persons, including issued a continuation of the industrial users of the Subject countervailing duty order on imports of INTERNATIONAL TRADE Merchandise and, if the merchandise is certain magnesia carbon bricks from COMMISSION sold at the retail level, representative China and the antidumping duty orders consumer organizations, wishing to [Investigation Nos. 701–TA–468 and 731– on imports of certain magnesia carbon TA–1166–1167 (Second Review)] participate in the proceeding as parties bricks from China and Mexico (81 FR must file an entry of appearance with Magnesia Carbon Bricks From China 7502). The Commission is now the Secretary to the Commission, as and Mexico; Institution of Five-Year conducting second reviews pursuant to provided in § 201.11(b)(4) of the Reviews section 751(c) of the Act, as amended Commission’s rules, no later than 21 (19 U.S.C. 1675(c)), to determine days after publication of this notice in AGENCY: International Trade whether revocation of the orders would the Federal Register. The Secretary will Commission. be likely to lead to continuation or maintain a public service list containing ACTION: Notice. recurrence of material injury to the the names and addresses of all persons, domestic industry within a reasonably or their representatives, who are parties SUMMARY: The Commission hereby gives foreseeable time. Provisions concerning notice that it has instituted reviews to the proceeding. the conduct of this proceeding may be Former Commission employees who pursuant to the Tariff Act of 1930 (‘‘the found in the Commission’s Rules of are seeking to appear in Commission Act’’), as amended, to determine Practice and Procedure at 19 CFR part five-year reviews are advised that they whether revocation of the 201, subparts A and B, and 19 CFR part may appear in a review even if they countervailing duty order on certain 207, subparts A and F. The Commission participated personally and magnesia carbon bricks from China and will assess the adequacy of interested substantially in the corresponding the antidumping duty orders on certain party responses to this notice of underlying original investigation or an magnesia carbon bricks from China and institution to determine whether to earlier review of the same underlying Mexico would be likely to lead to conduct full or expedited reviews. The investigation. The Commission’s continuation or recurrence of material Commission’s determinations in any designated agency ethics official has injury. Pursuant to the Act, interested expedited reviews will be based on the advised that a five-year review is not the parties are requested to respond to this facts available, which may include same particular matter as the underlying notice by submitting the information information provided in response to this original investigation, and a five-year specified below to the Commission. notice. review is not the same particular matter DATES: Instituted January 4, 2021. To be Definitions.—The following as an earlier review of the same assured of consideration, the deadline definitions apply to these reviews: underlying investigation for purposes of for responses is February 3, 2021. (1) Subject Merchandise is the class or 18 U.S.C. 207, the post-employment Comments on the adequacy of responses kind of merchandise that is within the statute for Federal employees, and may be filed with the Commission by scope of the five-year reviews, as Commission rule 201.15(b) (19 CFR March 18, 2021. defined by Commerce. 201.15(b)), 79 FR 3246 (Jan. 17, 2014), FOR FURTHER INFORMATION CONTACT: (2) The Subject Countries in these 73 FR 24609 (May 5, 2008). Mary Messer (202–205–3193), Office of reviews are China and Mexico. Consequently, former employees are not Investigations, U.S. International Trade (3) The Domestic Like Product is the required to seek Commission approval Commission, 500 E Street SW, domestically produced product or to appear in a review under Commission Washington, DC 20436. Hearing- products which are like, or in the rule 19 CFR 201.15, even if the impaired persons can obtain absence of like, most similar in corresponding underlying original information on this matter by contacting characteristics and uses with, the investigation or an earlier review of the the Commission’s TDD terminal on 202– Subject Merchandise. In its original same underlying investigation was 205–1810. Persons with mobility determinations and its expedited first pending when they were Commission impairments who will need special five-year review determinations, the employees. For further ethics advice on assistance in gaining access to the Commission defined a single Domestic this matter, contact Charles Smith, Commission should contact the Office Like Product consisting of magnesia Office of the General Counsel, at 202– of the Secretary at 202–205–2000. carbon bricks that are within 205–3408. General information concerning the Commerce’s scope. Limited disclosure of business Commission may also be obtained by (4) The Domestic Industry is the U.S. proprietary information (BPI) under an accessing its internet server (https:// producers as a whole of the Domestic administrative protective order (APO) www.usitc.gov). The public record for Like Product, or those producers whose and APO service list.—Pursuant to this proceeding may be viewed on the collective output of the Domestic Like § 207.7(a) of the Commission’s rules, the

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Secretary will make BPI submitted in 207.3 of the Commission’s rules, each (1) The name and address of your firm this proceeding available to authorized document filed by a party to the or entity (including World Wide Web applicants under the APO issued in the proceeding must be served on all other address) and name, telephone number, proceeding, provided that the parties to the proceeding (as identified fax number, and Email address of the application is made no later than 21 by either the public or APO service list certifying official. days after publication of this notice in as appropriate), and a certificate of (2) A statement indicating whether the Federal Register. Authorized service must accompany the document your firm/entity is an interested party applicants must represent interested (if you are not a party to the proceeding under 19 U.S.C. 1677(9) and if so, how, parties, as defined in 19 U.S.C. 1677(9), you do not need to serve your response). including whether your firm/entity is a who are parties to the proceeding. A Please note the Secretary’s Office will U.S. producer of the Domestic Like separate service list will be maintained accept only electronic filings at this Product, a U.S. union or worker group, by the Secretary for those parties time. Filings must be made through the a U.S. importer of the Subject authorized to receive BPI under the Commission’s Electronic Document Merchandise, a foreign producer or APO. Information System (EDIS, https:// exporter of the Subject Merchandise, a Certification.—Pursuant to § 207.3 of edis.usitc.gov). No in-person paper- U.S. or foreign trade or business the Commission’s rules, any person based filings or paper copies of any association (a majority of whose submitting information to the electronic filings will be accepted until members are interested parties under Commission in connection with this further notice. the statute), or another interested party proceeding must certify that the No response to this request for (including an explanation). If you are a information is accurate and complete to information is required if a currently union/worker group or trade/business the best of the submitter’s knowledge. In valid Office of Management and Budget association, identify the firms in which making the certification, the submitter (‘‘OMB’’) number is not displayed; the your workers are employed or which are will acknowledge that information OMB number is 3117 0016/USITC No. members of your association. submitted in response to this request for 20–5–478, expiration date June 30, (3) A statement indicating whether information and throughout this 2023. Public reporting burden for the your firm/entity is willing to participate proceeding or other proceeding may be request is estimated to average 15 hours in this proceeding by providing disclosed to and used: (i) By the per response. Please send comments information requested by the Commission, its employees and Offices, regarding the accuracy of this burden Commission. (4) A statement of the likely effects of and contract personnel (a) for estimate to the Office of Investigations, developing or maintaining the records the revocation of the antidumping and U.S. International Trade Commission, of this or a related proceeding, or (b) in countervailing duty orders on the 500 E Street SW, Washington, DC internal investigations, audits, reviews, Domestic Industry in general and/or 20436. and evaluations relating to the your firm/entity specifically. In your Inability to provide requested programs, personnel, and operations of response, please discuss the various the Commission including under 5 information.—Pursuant to § 207.61(c) of factors specified in section 752(a) of the U.S.C. Appendix 3; or (ii) by U.S. the Commission’s rules, any interested Act (19 U.S.C. 1675a(a)) including the government employees and contract party that cannot furnish the likely volume of subject imports, likely personnel, solely for cybersecurity information requested by this notice in price effects of subject imports, and purposes. All contract personnel will the requested form and manner shall likely impact of imports of Subject sign appropriate nondisclosure notify the Commission at the earliest Merchandise on the Domestic Industry. agreements. possible time, provide a full explanation (5) A list of all known and currently Written submissions.—Pursuant to of why it cannot provide the requested operating U.S. producers of the § 207.61 of the Commission’s rules, each information, and indicate alternative Domestic Like Product. Identify any interested party response to this notice forms in which it can provide known related parties and the nature of must provide the information specified equivalent information. If an interested the relationship as defined in section below. The deadline for filing such party does not provide this notification 771(4)(B) of the Act (19 U.S.C. responses is February 3, 2021. Pursuant (or the Commission finds the 1677(4)(B)). to § 207.62(b) of the Commission’s rules, explanation provided in the notification (6) A list of all known and currently eligible parties (as specified in inadequate) and fails to provide a operating U.S. importers of the Subject Commission rule 207.62(b)(1)) may also complete response to this notice, the Merchandise and producers of the file comments concerning the adequacy Commission may take an adverse Subject Merchandise in each Subject of responses to the notice of institution inference against the party pursuant to Country that currently export or have and whether the Commission should § 776(b) of the Act (19 U.S.C. 1677e(b)) exported Subject Merchandise to the conduct expedited or full reviews. The in making its determinations in the United States or other countries after deadline for filing such comments is reviews. 2014. March 18, 2021. All written submissions Information to be Provided in (7) A list of 3–5 leading purchasers in must conform with the provisions of Response to This Notice of Institution: If the U.S. market for the Domestic Like § 201.8 of the Commission’s rules; any you are a domestic producer, union/ Product and the Subject Merchandise submissions that contain BPI must also worker group, or trade/business (including street address, World Wide conform with the requirements of association; import/export Subject Web address, and the name, telephone §§ 201.6, 207.3, and 207.7 of the Merchandise from more than one number, fax number, and Email address Commission’s rules. The Commission’s Subject Country; or produce Subject of a responsible official at each firm). Handbook on Filing Procedures, Merchandise in more than one Subject (8) A list of known sources of available on the Commission’s website Country, you may file a single response. information on national or regional at https://www.usitc.gov/documents/ If you do so, please ensure that your prices for the Domestic Like Product or handbook_on_filing_procedures.pdf, response to each question includes the the Subject Merchandise in the U.S. or elaborates upon the Commission’s information requested for each pertinent other markets. procedures with respect to filings. Also, Subject Country. As used below, the (9) If you are a U.S. producer of the in accordance with §§ 201.16(c) and term ‘‘firm’’ includes any related firms. Domestic Like Product, provide the

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following information on your firm’s countervailing duties) of U.S. different national markets (including operations on that product during commercial shipments of Subject barriers to importation in foreign calendar year 2020, except as noted Merchandise imported from each markets or changes in market demand (report quantity data in short tons and Subject Country; and abroad). Demand conditions to consider value data in U.S. dollars, f.o.b. plant). (c) the quantity and value (f.o.b. U.S. include end uses and applications; the If you are a union/worker group or port, including antidumping and/or existence and availability of substitute trade/business association, provide the countervailing duties) of U.S. internal products; and the level of competition information, on an aggregate basis, for consumption/company transfers of among the Domestic Like Product the firms in which your workers are Subject Merchandise imported from produced in the United States, Subject employed/which are members of your each Subject Country. Merchandise produced in each Subject association. (11) If you are a producer, an exporter, Country, and such merchandise from (a) Production (quantity) and, if or a trade/business association of other countries. known, an estimate of the percentage of producers or exporters of the Subject (13) (OPTIONAL) A statement of total U.S. production of the Domestic Merchandise in any Subject Country, whether you agree with the above Like Product accounted for by your provide the following information on definitions of the Domestic Like Product firm’s(s’) production; your firm’s(s’) operations on that and Domestic Industry; if you disagree (b) Capacity (quantity) of your firm to product during calendar year 2020 with either or both of these definitions, produce the Domestic Like Product (that (report quantity data in short tons and please explain why and provide is, the level of production that your value data in U.S. dollars, landed and alternative definitions. establishment(s) could reasonably have duty-paid at the U.S. port but not expected to attain during the year, including antidumping or AUTHORITY: This proceeding is being countervailing duties). If you are a conducted under authority of title VII of the assuming normal operating conditions Tariff Act of 1930; this notice is published (using equipment and machinery in trade/business association, provide the pursuant to § 207.61 of the Commission’s place and ready to operate), normal information, on an aggregate basis, for rules. operating levels (hours per week/weeks the firms which are members of your By order of the Commission. per year), time for downtime, association. maintenance, repair, and cleanup, and a (a) Production (quantity) and, if Issued: December 23, 2020. typical or representative product mix); known, an estimate of the percentage of Katherine Hiner, (c) the quantity and value of U.S. total production of Subject Merchandise Acting Secretary to the Commission. commercial shipments of the Domestic in each Subject Country accounted for [FR Doc. 2020–28941 Filed 12–31–20; 8:45 am] Like Product produced in your U.S. by your firm’s(s’) production; BILLING CODE 7020–02–P plant(s); (b) Capacity (quantity) of your firm(s) (d) the quantity and value of U.S. to produce the Subject Merchandise in internal consumption/company each Subject Country (that is, the level INTERNATIONAL TRADE transfers of the Domestic Like Product of production that your establishment(s) COMMISSION produced in your U.S. plant(s); and could reasonably have expected to (e) the value of (i) net sales, (ii) cost attain during the year, assuming normal Notice of Receipt of Complaint; of goods sold (COGS), (iii) gross profit, operating conditions (using equipment Solicitation of Comments Relating to (iv) selling, general and administrative and machinery in place and ready to the Public Interest (SG&A) expenses, and (v) operating operate), normal operating levels (hours AGENCY: U.S. International Trade income of the Domestic Like Product per week/weeks per year), time for Commission. produced in your U.S. plant(s) (include downtime, maintenance, repair, and both U.S. and export commercial sales, cleanup, and a typical or representative ACTION: Notice. product mix); and internal consumption, and company SUMMARY: Notice is hereby given that (c) the quantity and value of your transfers) for your most recently the U.S. International Trade firm’s(s’) exports to the United States of completed fiscal year (identify the date Commission has received a complaint Subject Merchandise and, if known, an on which your fiscal year ends). entitled Certain Active Matrix OLED (10) If you are a U.S. importer or a estimate of the percentage of total Display Devices and Components trade/business association of U.S. exports to the United States of Subject Thereof, DN 3518; the Commission is importers of the Subject Merchandise Merchandise from each Subject Country soliciting comments on any public from any Subject Country, provide the accounted for by your firm’s(s’) exports. interest issues raised by the complaint following information on your firm’s(s’) (12) Identify significant changes, if or complainant’s filing pursuant to the operations on that product during any, in the supply and demand Commission’s Rules of Practice and calendar year 2020 (report quantity data conditions or business cycle for the Procedure. in short tons and value data in U.S. Domestic Like Product that have dollars). If you are a trade/business occurred in the United States or in the FOR FURTHER INFORMATION CONTACT: Lisa association, provide the information, on market for the Subject Merchandise in R. Barton, Secretary to the Commission, an aggregate basis, for the firms which each Subject Country after 2014, and U.S. International Trade Commission, are members of your association. significant changes, if any, that are 500 E Street SW, Washington, DC (a) The quantity and value (landed, likely to occur within a reasonably 20436, telephone (202) 205–2000. The duty-paid but not including foreseeable time. Supply conditions to public version of the complaint can be antidumping or countervailing duties) consider include technology; accessed on the Commission’s of U.S. imports and, if known, an production methods; development Electronic Document Information estimate of the percentage of total U.S. efforts; ability to increase production System (EDIS) at https://edis.usitc.gov. imports of Subject Merchandise from (including the shift of production For help accessing EDIS, please email each Subject Country accounted for by facilities used for other products and the [email protected]. your firm’s(s’) imports; use, cost, or availability of major inputs General information concerning the (b) the quantity and value (f.o.b. U.S. into production); and factors related to Commission may also be obtained by port, including antidumping and/or the ability to shift supply among accessing its internet server at United

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States International Trade Commission relating to the requested remedial directed to the Secretary to the (USITC) at https://www.usitc.gov. The orders; Commission and must include a full public record for this investigation may (iii) identify like or directly statement of the reasons why the be viewed on the Commission’s competitive articles that complainant, Commission should grant such Electronic Document Information its licensees, or third parties make in the treatment. See 19 CFR 201.6. Documents System (EDIS) at https://edis.usitc.gov. United States which could replace the for which confidential treatment by the Hearing-impaired persons are advised subject articles if they were to be Commission is properly sought will be that information on this matter can be excluded; treated accordingly. All information, obtained by contacting the (iv) indicate whether complainant, including confidential business Commission’s TDD terminal on (202) complainant’s licensees, and/or third information and documents for which 205–1810. party suppliers have the capacity to confidential treatment is properly SUPPLEMENTARY INFORMATION: The replace the volume of articles sought, submitted to the Commission for Commission has received a complaint potentially subject to the requested purposes of this Investigation may be and a submission pursuant to § 210.8(b) exclusion order and/or a cease and disclosed to and used: (i) By the of the Commission’s Rules of Practice desist order within a commercially Commission, its employees and Offices, and Procedure filed on behalf of Solas reasonable time; and and contract personnel (a) for OLED Ltd. on December 28, 2020. The (v) explain how the requested developing or maintaining the records complaint alleges violations of section remedial orders would impact United of this or a related proceeding, or (b) in 337 of the Tariff Act of 1930 (19 U.S.C. States consumers. internal investigations, audits, reviews, 1337) in the importation into the United Written submissions on the public and evaluations relating to the States, the sale for importation, and the interest must be filed no later than by programs, personnel, and operations of sale within the United States after close of business, eight calendar days the Commission including under 5 importation of certain active matrix after the date of publication of this U.S.C. Appendix 3; or (ii) by U.S. OLED display devices and components notice in the Federal Register. There government employees and contract thereof. The complaint names as will be further opportunities for personnel,2 solely for cybersecurity respondents: BOE Technology Group comment on the public interest after the purposes. All nonconfidential written Co. Ltd. of China; Beijing BOE Display issuance of any final initial submissions will be available for public Technology Co., Ltd. of China; BOE determination in this investigation. Any inspection at the Office of the Secretary Technology America, Inc. of Santa written submissions on other issues and on EDIS.3 Clara, CA; LG Electronics Inc. of Korea; must also be filed by no later than the This action is taken under the LG Electronics USA, Inc. of Englewood close of business, eight calendar days authority of section 337 of the Tariff Act Cliffs, NJ; LG Display America, Inc. of after publication of this notice in the of 1930, as amended (19 U.S.C. 1337), San Jose, CA; LG Display Co., Ltd. of Federal Register. Complainant may file and of §§ 201.10 and 210.8(c) of the Korea; Samsung Electronics Co., Ltd. of replies to any written submissions no Commission’s Rules of Practice and Korea; Samsung Electronics America, later than three calendar days after the Procedure (19 CFR 201.10, 210.8(c)). date on which any initial submissions Inc. of Ridgefield Park, NJ; Samsung By order of the Commission. were due. Any submissions and replies Display Co., Ltd. of Korea and Sony Issued: December 29, 2020. Electronics Inc. of San Diego, CA. The filed in response to this Notice are limited to five (5) pages in length, William Bishop, complainant requests that the Supervisory Hearings and Information Commission issue a permanent limited inclusive of attachments. Persons filing written submissions Officer. exclusion order, cease and desist orders, must file the original document [FR Doc. 2020–29102 Filed 12–31–20; 8:45 am] and impose a bond on importation and electronically on or before the deadlines BILLING CODE 7020–02–P sales of infringing products during the stated above. Submissions should refer 60-day Presidential review period to the docket number (‘‘Docket No. pursuant to 19 U.S.C. 1337(j). INTERNATIONAL TRADE 3518’’) in a prominent place on the Proposed respondents, other COMMISSION cover page and/or the first page. (See interested parties, and members of the Handbook for Electronic Filing [Inv. No. 337–TA–1237] public are invited to file comments on Procedures, Electronic Filing any public interest issues raised by the Procedures).1 Please note the Secretary’s Certain Cloud-Connected Wood-Pellet complaint or § 210.8(b) filing. Office will accept only electronic filings Grills and Components Thereof; Notice Comments should address whether during this time. Filings must be made of Institution of Investigation issuance of the relief specifically through the Commission’s Electronic requested by the complainant in this AGENCY: U.S. International Trade Document Information System (EDIS, investigation would affect the public Commission. https://edis.usitc.gov). No in-person health and welfare in the United States, ACTION: Notice. paper-based filings or paper copies of competitive conditions in the United any electronic filings will be accepted SUMMARY: States economy, the production of like Notice is hereby given that a until further notice. Persons with or directly competitive articles in the complaint was filed with the U.S. questions regarding filing should United States, or United States International Trade Commission on contact the Secretary at EDIS3Help@ consumers. November 25, 2020, under section 337 usitc.gov. In particular, the Commission is of the Tariff Act of 1930, as amended, Any person desiring to submit a interested in comments that: on behalf of Traeger Pellet Grills LLC of document to the Commission in (i) Explain how the articles Salt Lake City, Utah. A letter confidence must request confidential potentially subject to the requested supplementing the complaint was filed treatment. All such requests should be remedial orders are used in the United 2 All contract personnel will sign appropriate States; 1 Handbook for Electronic Filing Procedures: nondisclosure agreements. (ii) identify any public health, safety, https://www.usitc.gov/documents/handbook_on_ 3 Electronic Document Information System or welfare concerns in the United States filing_procedures.pdf. (EDIS): https://edis.usitc.gov.

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on December 10, 2020. The complaint required by subsection (a)(2) of section By order of the Commission. alleges violations of section 337 based 337; Issued: December 28, 2020. upon the importation into the United (2) Pursuant to section 210.10(b)(1) of William Bishop, States, the sale for importation, and the the Commission’s Rules of Practice and Procedure, 19 CFR 210.10(b)(1), the Supervisory Hearings and Information sale within the United States after Officer. importation of certain cloud-connected plain language description of the wood-pellet grills and components accused products or category of accused [FR Doc. 2020–29009 Filed 12–31–20; 8:45 am] thereof by reason of infringement of products, which defines the scope of the BILLING CODE 7020–02–P certain claims of U.S. Patent No. investigation, is ‘‘cloud-connected 10,158,720 (‘‘the ’720 Patent’’), and U.S. wood-pellet grills and components Patent No. 10,218,833 (‘‘the ’833 thereof, including the digital Patent’’). The complaint further alleges controller’’; DEPARTMENT OF JUSTICE that an industry in the United States (3) For the purpose of the exists as required by the applicable investigation so instituted, the following Notice of Lodging Proposed Consent Federal Statute. The complainant are hereby named as parties upon which Decree requests that the Commission institute this notice of investigation shall be an investigation and, after the served: In accordance with Departmental investigation, issue a limited exclusion (a) The complainant is: Traeger Pellet Policy, 28 CFR 50.7, notice is hereby order and a cease and desist order. Grills LLC, 1215 East Wilmington Ave., given that a proposed Consent Decree in Suite 200, Salt Lake City, Utah 84106. United States v. Russell Kirk, et al., Civil ADDRESSES: The complaint, except for (b) The respondent is the following any confidential information contained No. 4:18–cv–00371–JEG–HCA, was entity alleged to be in violation of therein, may be viewed on the lodged with the United States District section 337, and is the party upon Commission’s electronic docket (EDIS) Court for the Southern District of Iowa which the complaint is to be served: at https://edis.usitc.gov. For help on December 28, 2020. GMG Products LLC, 72315 US Highway accessing EDIS, please email 101, Lakeside, OR 97449. This proposed Consent Decree [email protected]. Hearing impaired (4) For the investigation so instituted, concerns a complaint filed by the individuals are advised that information the Chief Administrative Law Judge, United States against Russell Kirk, on this matter can be obtained by U.S. International Trade Commission, Breaking Gate, LLC, and Ottumwa contacting the Commission’s TDD shall designate the presiding Northshore, LLC, pursuant to 33 U.S.C. terminal on (202) 205–1810. Persons Administrative Law Judge. 1311(a), to obtain injunctive relief from with mobility impairments who will The Office of Unfair Import and impose civil penalties against the need special assistance in gaining access Investigations will not participate as a Defendants for violating the Clean Water to the Commission should contact the party to this investigation. Act by discharging pollutants without a Office of the Secretary at (202) 205– Responses to the complaint and the permit into waters of the United States. 2000. General information concerning notice of investigation must be The proposed Consent Decree resolves the Commission may also be obtained submitted by the named respondent in these allegations by requiring the by accessing its internet server at accordance with section 210.13 of the Defendants to restore impacted areas, https://www.usitc.gov. Commission’s Rules of Practice and perform mitigation, and pay a civil FOR FURTHER INFORMATION CONTACT: Procedure, 19 CFR 210.13. Pursuant to penalty. Katherine Hiner, Office of Docket 19 CFR 201.16(e) and 210.13(a), as Services, U.S. International Trade amended in 85 FR 15798 (March 19, The Department of Justice will accept Commission, telephone (202) 205–1802. 2020), such responses will be written comments relating to the SUPPLEMENTARY INFORMATION: considered by the Commission if proposed Consent Decree for thirty (30) days from the date of publication of this Authority: The authority for institution of received not later than 20 days after the this investigation is contained in section 337 date of service by the complainant of the Notice. Please address comments to of the Tariff Act of 1930, as amended, 19 complaint and the notice of Patrick R. Jacobi, Environmental U.S.C. 1337, and in section 210.10 of the investigation. Extensions of time for Defense Section, Denver Place Building, Commission’s Rules of Practice and submitting responses to the complaint 999 18th Street, Suite 370—South Procedure, 19 CFR 210.10 (2020). and the notice of investigation will not Terrace, Denver, CO 80202, and refer to Scope of Investigation: Having be granted unless good cause therefor is United States v. Russell Kirk, et al., DJ considered the complaint, the U.S. shown. #90–5–1–1–21241. Failure of the respondent to file a International Trade Commission, on The proposed Consent Decree may be timely response to each allegation in the December 28, 2020, ordered that— examined at the Clerk’s Office, United (1) Pursuant to subsection (b) of complaint and in this notice may be States District Court for the Southern section 337 of the Tariff Act of 1930, as deemed to constitute a waiver of the amended, an investigation be instituted right to appear and contest the District of Iowa, 123 East Walnut Street, to determine whether there is a allegations of the complaint and this Des Moines, IA 50309. In addition, the violation of subsection (a)(1)(B) of notice, and to authorize the proposed Consent Decree may be section 337 in the importation into the administrative law judge and the examined electronically at http:// United States, the sale for importation, Commission, without further notice to www.justice.gov/enrd/consent-decrees. or the sale within the United States after the respondent, to find the facts to be as Cherie Rogers, importation of certain products alleged in the complaint and this notice Assistant Section Chief, Environmental identified in paragraph (2) by reason of and to enter an initial determination Defense Section, Environment and Natural infringement of one or more of claims 1, and a final determination containing Resources Division. 2, 12, 16, 21, and 22 of the ’720 patent such findings, and may result in the [FR Doc. 2020–29039 Filed 12–31–20; 8:45 am] and claims 1–3, 6–9, 11–14, 18, and 22– issuance of an exclusion order or a cease 24 of the ’833 patent; and whether an and desist order or both directed against BILLING CODE P industry in the United States exists as the respondent.

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DEPARTMENT OF LABOR Avenue NW, Washington, DC 20210. able to consider your comment. See SUPPLEMENTARY INFORMATION below Additionally, the http:// Employee Benefits Security for additional information regarding www.regulations.gov website is an Administration comments. ‘‘anonymous access’’ system, which [Exemption Application No. D–12030] FOR FURTHER INFORMATION CONTACT: means EBSA will not know your Joseph Brennan of the Department at identity or contact information unless Proposed Exemption for Certain (202) 693–8456. (This is not a toll-free you provide it in the body of your Prohibited Transaction Restrictions number.) comment. If you send an email directly Involving The Goldman Sachs Group, SUPPLEMENTARY INFORMATION: to EBSA without going through http:// Inc. (Goldman Sachs or the Applicant) Comments: Comments should state www.regulations.gov, your email Located in New York, New York the nature of the person’s interest in the address will be automatically captured proposed exemption and the manner in and included as part of the comment AGENCY: Employee Benefits Security which the person would be adversely Administration, Labor. that is placed in the public record and affected by the exemption, if granted. made available on the internet. ACTION: Notice of proposed exemption. Any person who may be adversely affected by an exemption can request a Background: The Department is SUMMARY: This document provides hearing on the exemption. A request for considering granting an exemption notice of the pendency before the a hearing must state: (1) The name, under the authority of 408(a) of the Act Department of Labor (the Department) of address, telephone number, and email and section 4975(c)(2) of the Code, in a proposed individual exemption from address of the person making the accordance with the procedures set certain of the prohibited transaction request; (2) the nature of the person’s forth in 29 CFR part 2570, subpart B (76 restrictions of the Employee Retirement 1 interest in the exemption and the FR 46637, 66644, October 27, 2011). If Income Security Act of 1974 (ERISA or manner in which the person would be the proposed exemption is granted, the the Act) and/or the Internal Revenue adversely affected by the exemption; Goldman Sachs Affiliated QPAMs and Code of 1986 (the Code). If this and (3) a statement of the issues to be the Goldman Sachs Related QPAMs, as proposed exemption is granted, certain addressed and a general description of defined below, will not be precluded entities with specified relationships to the evidence to be presented at the from relying on the exemptive relief Goldman Sacs will not be precluded hearing. The Department will grant a provided by Prohibited Transaction from relying on the exemptive relief request for a hearing made in provided by Prohibited Transaction Class Exemption 84–14 (PTE 84–14 or accordance with the requirements above 2 Class Exemption 84–14. the QPAM Exemption), where a hearing is necessary to fully notwithstanding the judgment of DATES: If granted, this proposed explore material factual issues conviction against Goldman Sachs exemption will be in effect for five years identified by the person requesting the (Malaysia) Sdn. Bhd. (Goldman Sachs beginning on the Conviction Date. hearing. A notice of such hearing shall Malaysia), an indirect, wholly-owned Written comments and requests for a be published by the Department in the public hearing on the proposed subsidiary of Goldman (the Goldman Federal Register. The Department may Sachs Malaysia FCPA Conviction),3 for exemption should be submitted to the decline to hold a hearing if: (1) The Department by February 10, 2021. conspiracy to violate the anti-bribery request for the hearing does not meet provisions of the Foreign Corrupt ADDRESSES: All written comments and the requirements above; (2) the only Practices Act of 1977 (FCPA). This requests for a hearing (at least three issues identified for exploration at the proposed exemption will be effective for copies) should be sent to the Employee hearing are matters of law; or (3) the Benefits Security Administration factual issues identified can be fully a period of up to five (5) years, (EBSA), Office of Exemption explored through the submission of beginning on the date a judgment of Determinations, U.S. Department of evidence in written (including conviction against Goldman Sachs Labor, 200 Constitution Avenue NW, electronic) form. Malaysia, in Cr. No. 20–438 (MKB), is Suite 400, Washington, DC 20210, Warning: All comments received will entered in the United States District Attention: Application No. D–12030 or be included in the public record Court for the Eastern District of New via private delivery service or courier to without change and may be made York (the Conviction Date), provided the Employee Benefits Security available online at http:// that the conditions set out below in Administration (EBSA), Office of www.regulations.gov, including any Section I are satisfied. Exemption Determinations, U.S. personal information provided, unless Department of Labor, 122 C St. NW, the comment includes information Suite 400, Washington, DC 20001. claimed to be confidential or other 1 For purposes of this proposed exemption Attention: Application No. D–12030. information whose disclosure is reference to specific provisions of Title I of the Act, Interested persons may also submit restricted by statute. If you submit a unless otherwise specified, should be read to refer as well to the corresponding provisions of the Code. comments and/or hearing requests to comment, EBSA recommends that you 2 49 FR 9494 (March 13, 1984), as corrected at 50 EBSA via email to [email protected] or by include your name and other contact FR 41430 (October 10, 1985), as amended at 70 FR FAX to (202) 693–8474, or online information in the body of your 49305 (August 23, 2005), and as amended at 75 FR through http://www.regulations.gov. comment, but DO NOT submit 38837 (July 6, 2010). Any such comments or requests should information that you consider to be 3 Section I(g) of PTE 84–14 generally provides be sent by the end of the scheduled confidential, or otherwise protected that ‘‘[n]either the QPAM nor any affiliate thereof comment period. The application for (such as Social Security number or an . . . nor any owner . . . of a 5 percent or more exemption and the comments received unlisted phone number) or confidential interest in the QPAM is a person who within the will be available for public inspection in business information that you do not 10 years immediately preceding the transaction has been either convicted or released from the Public Disclosure Room of the want publicly disclosed. However, if imprisonment, whichever is later, as a result of’’ Employee Benefits Security EBSA cannot read your comment due to certain felonies including violation of the Sherman Administration, U.S. Department of technical difficulties and cannot contact Antitrust Act, Title 15 United States Code, Section Labor, Room N–1515, 200 Constitution you for clarification, EBSA might not be 1.

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Summary of Facts and service providers with respect to the high standard of integrity. This Representations 4 plan, and certain of their affiliates.6 expectation extends not only to the 4. The prohibited transaction QPAM itself, but also to those who may The Applicant provisions under section 406(a) of be in a position to influence the policies 1. The Goldman Sachs Group, Inc. ERISA and 4975(c)(1) of the Code of the QPAM. (Goldman) is a global investment prohibit, in relevant part, sales, leases, loans or the provision of services Goldman Sachs Malaysia FCPA banking, securities and investment between a party in interest and a plan Conviction management firm with approximately (or an entity whose assets are deemed to 8. On October 21, 2020, Goldman 36,000 employees and offices in over 30 constitute the assets of a plan), as well Sachs Malaysia entered a guilty plea for countries. Goldman has a number of as the use of plan assets by or for the conspiracy to commit offenses against affiliated asset managers, including: The benefit of, or a transfer of plan assets to, the United States, in violation of the Goldman Sachs Trust Company, N.A.; a party in interest.7 Under the authority anti-bribery provisions of the Foreign Goldman Sachs Bank USA; Goldman of section 408(a) of ERISA and section Corrupt Practices Act of 1977 (FCPA). Sachs & Co. LLC; Goldman Sachs Asset 4975(c)(2) of the Code, the Department The following day, the District Court for Management, L.P.; Goldman Sachs has the authority to grant exemptions the Eastern District of New York Asset Management International; from such ‘‘prohibited transactions’’ in accepted Goldman Sachs Malaysia’s Goldman Sachs Hedge Fund Strategies accordance with the procedures set guilty plea Goldman Sachs Malaysia LLC; GS Investment Strategies, LLC; forth in 29 CFR part 2570, subpart B (76 FCPA Conviction. For purposes of GSAM Stable Value, LLC; The Ayco FR 66637, 66644, October 27, 2011). Section I(g) of PTE 84–14, the date Company, L.P.; Aptitude Investment 5. PTE 84–14 reflects the Goldman is sentenced is the Conviction Management LP; Rocaton Investment Department’s conclusion that it could Date. Therefore Goldman Sachs Advisors, LLC; United Capital Financial provide broad relief from the prohibited (Malaysia) Sdn. Bhd. (Goldman Sachs Advisers, LLC; and PFE Advisors, Inc. transaction provisions of section 406(a) Malaysia), and the Goldman Sachs (together, the Goldman Sachs Affiliated of ERISA and 4975(c)(1) of the Code, in Affiliated and Related QPAMs will no QPAMs). Goldman may be related to, the circumstances set forth in that longer be able to rely on the relief but does not own a controlling interest exemption, only if the commitments provided by PTE 84–14 as of the date of in, a number of other asset managers. and the investments of plan assets, and Goldman Sachs Malaysia’s sentencing. Similarly, Goldman Sachs Malaysia may the negotiations leading thereto, are the Statement of Facts That Served as the be related to, but does not own a sole responsibility of an independent, Basis for the Plea Agreement controlling interest in, a number of discretionary manager. other asset managers (the Goldman 6. Section I(g) of PTE 84–14 prevents 9. According to the Plea Agreement’s Sachs Related QPAMs). an entity that may otherwise meet the Statement of Facts,9 between 2009 and 2014, Goldman, together with several of 2. The Goldman affiliated asset definition of a QPAM from utilizing the its wholly-owned subsidiaries and managers’ clients include plans subject exemptive relief provided by PTE 84– 14, for itself and its client plans, if that affiliated entities,10 through certain of to Part IV of Title I of ERISA and plans entity or an ‘‘affiliate’’ 8 thereof or any its agents and employees including Tim subject to section 4975 of the Code, with owner, direct or indirect, of a 5 percent Leissner and Roger Ng, knowingly and respect to which the Goldman Sachs or more interest in the QPAM has, willfully conspired and agreed with Affiliated QPAMs rely on PTE 84–14, or within 10 years immediately preceding others to corruptly provide payments with respect to which the Goldman the transaction, been either convicted or and things of value to, or for the benefit Sachs Affiliated QPAMs (or a Goldman released from imprisonment, whichever of, certain foreign officials and their Sachs affiliate) have expressly is later, as a result of criminal activity relatives. The purpose of these represented that the managers qualify as described in that section. payments was to induce those foreign a QPAM or rely on the QPAM 7. The inclusion of Section I(g) in PTE officials to influence the decisions of Exemption.5 These plans are hereinafter 84–14 is, in part, based on an 1Malaysia Development Berhad referred to as Covered Plans. expectation that QPAMs will maintain a (1MDB), a strategic investment and Relevant ERISA Provisions and PTE 84– development company wholly owned 14 6 Under the Code such parties, or similar parties, by the Government of Malaysia through are referred to as ‘‘disqualified persons.’’ its Ministry of Finance; International 3. The rules set forth in section 406 7 The prohibited transaction provisions also include certain fiduciary prohibited transactions Petroleum Investment Company (IPIC), of ERISA and section 4975(c)(1) of the under section 406(b) of ERISA and 4975(c)(1)(E) an investment fund wholly owned by Code proscribe certain ‘‘prohibited and (F) of the Code. These include transactions the Government of Abu Dhabi; and transactions’’ between plans and related involving fiduciary self-dealing, fiduciary conflicts Aabar Investments PJS (Aabar), a parties with respect to those plans. of interest, and kickbacks to fiduciaries. PTE 84–14 provides only very narrow conditional relief for subsidiary of IPIC, to obtain and retain Under ERISA, such parties are known as transactions described in Section 406(b) of ERISA. business for Goldman, including in ‘‘parties in interest.’’ Under section 8 Section VI(d) of PTE 84–14 defines the term positions as an advisor to 1MDB on the 3(14) of ERISA, parties in interest with ‘‘affiliate’’ for purposes of Section I(g) as ‘‘(1) Any acquisitions of Malaysian energy assets, respect to a plan include, among others, person directly or indirectly through one or more intermediaries, controlling, controlled by, or under the plan fiduciary, a sponsoring common control with the person, (2) Any director 9 Plea Agreement entered into between the United employer of the plan, a union whose of, relative of, or partner in, any such person, (3) States of America, by and through the United States members are covered by the plan, Any corporation, partnership, trust or Department of Justice, Criminal Division, Fraud unincorporated enterprise of which such person is Section and Money Laundering and Asset Recovery an officer, director, or a 5 percent or more partner Section, and the United States Attorney’s Office for 4 The Summary of Facts and Representations is or owner, and (4) Any employee or officer of the the Eastern District of New York and Goldman based on the Applicant’s representations, unless person who—(A) Is a highly compensated employee Sachs (Malaysia) Sdn. Bhd., Cr. No. 20–438 (MKB), indicated otherwise. (as defined in Section 4975(e)(2)(H) of the Code) or filed Oct. 21, 2020. 5 49 FR 9494 (March 13, 1984), as corrected at 50 officer (earning 10 percent or more of the yearly 10 Goldman Sachs (Malaysia) Sdn. Bhd, Goldman FR 41430 (October 10, 1985), as amended at 70 FR wages of such person), or (B) Has direct or indirect Sachs (Singapore) Pte., Goldman Sachs 49305 (August 23, 2005), and as amended at 75 FR authority, responsibility or control regarding the International, Goldman Sachs Bank USA, Goldman 38837 (July 6, 2010). custody, management or disposition of plan assets.’’ Sachs & Co. L.L.C. and Goldman Sachs (Asia) L.L.C.

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as underwriter of the 1MDB bonds, and which Goldman’s Chief Executive internal accounting and other controls, as underwriter of certain other 1MDB Officer authorized to provide global and other Goldman employees and business, including the contemplated oversight and approval of bond agents responsible for implementing initial public offering of 1MDB’s transactions, including those Goldman’s internal accounting controls Malaysian energy assets (the Goldman transactions in which Goldman used its failed to do so in connection with the Sachs Malaysia FCPA Misconduct). own assets to purchase financial 1MDB bond deals. Specifically, 10. Tim Leissner (Leissner) was instruments, such as the 1MDB bonds. although employees serving in employed by Goldman between 1998 Goldman’s internal accounting controls Goldman’s compliance control and 2016, and was a Participating also included approval of the bonds by functions (i.e., the parts of Goldman Managing Director between November Goldman’s Business Intelligence Group Sachs responsible for overseeing and 2006 and February 2016. Additionally, and Compliance Group, both of which enforcing Goldman Sachs’ compliance he held various senior positions in were represented on the FWCC.12 with rules designed to ensure that no Goldman’s Investment Banking Division 13. As detailed in the Plea improper transactions have or will in Asia between 2011 and 2016, Agreement’s Statement of Facts, Low, an occur) knew that any transaction including Chairman of Southeast Asia, a individual known to have relationships involving Low posed a significant risk, region that included Malaysia, between with high-ranking officials in Malaysia and although they were on notice that July 2014 and February 2016, and he and Abu Dhabi, and whom Goldman he was involved in the transactions, served on the Board of Directors for had rejected as a client multiple times they did not take reasonable steps to Goldman Malaysia. Leissner’s job because of his unexplained source of prevent his involvement. Additionally, included obtaining and executing wealth, conspired with Leissner and Ng there were significant red flags raised business for Goldman.11 to facilitate the bribery scheme. Despite during the due diligence process and Ng Chong Hwa, also known as ‘‘Roger the rejections, Leissner, Ng and others at afterward, including, but not limited to, Ng’’ (Ng), was employed by various Goldman continued their relationship Low’s involvement in the deals, that Goldman subsidiaries between 2005 and with Low and used him to obtain and were either ignored or only nominally 2014, including Goldman Malaysia. retain business for Goldman from 1MDB addressed so that the transactions Between April 2010 and May 2014, Ng and others. Between 2012 and 2013, would be approved and Goldman could was a Managing Director of Goldman. Leissner, Ng, Employee 1 and other continue to do business with 1MDB. For part of that time, Ng served as Head Goldman employees worked with Low 16. In February 2012, 1MDB engaged of Investment Banking and on the Board to help 1MDB raise more than $6.5 Goldman as its financial advisor for its of Directors for Goldman Malaysia, and billion through three separate bond anticipated purchase of a Malaysian was then employed by another Goldman offering transactions, referred to energy company (Malaysian Energy subsidiary in Malaysia. internally at Goldman as ‘‘Project Company A) through a bond 11. The bribes resulted in Goldman Magnolia,’’ ‘‘Project Maximus’’ and transaction. Low helped secure being engaged on, among other projects, ‘‘Project Catalyze,’’ respectively. Goldman’s role in assisting 1MDB in its three bond offerings that were related to Employee 1 served as a Goldman pursuit of Malaysian Energy Company 1MDB’s energy acquisitions and that participating managing director between A. In early 2012, Leissner, Ng, Low and raised a total of approximately $6.5 October 2007 and November 2018 and, 1MDB officials met in Malaysia to billion for 1MDB in 2012 and 2013. The during the relevant time period, held discuss obtaining a guarantee from IPIC bribes were also intended to help various leadership positions in to Goldman, which would purchase all Goldman secure a role on an anticipated Goldman’s Asia operations. of the bonds initially and then sell the IPO with respect to 1MDB’s energy 14. Leissner, Ng and Employee 1 used bonds to other investors. It is the acquisitions. These three bond offerings Low’s connections within the Department’s understanding that the and a related acquisition, along with a Governments of Malaysia and Abu guarantee was designed to ensure that transaction involving Jho Low (Low) Dhabi to obtain and retain this and other Goldman was protected in the event the business for Goldman and, in turn, and IPIC, ultimately earned Goldman in bonds dropped in price between the concealed Low’s involvement in the excess of $600 million in fees and time the bonds were issued and the time deals from certain employees and agents revenue across its divisions, and the bonds were sold to investors. of Goldman. In total, Goldman 17. In February 2012, Leissner and Ng increased Goldman’s stature in conspired to provide approximately traveled to London to meet with Low Southeast Asia. The parties made $1.6077 billion to, or for the benefit of, and others to discuss the proposed bond payments and communications in foreign officials and their relatives. transaction. Leissner and Ng expended furtherance of the scheme by wire. Approximately $18.1 million was paid Goldman resources on their travel to 12. Pursuant to Goldman’s internal from accounts controlled by Leissner. London. At that meeting, Low explained accounting controls, each 1MDB bond 15. Certain of Goldman’s employees that government officials from Abu transaction required Goldman and agents, including Leissner, Ng and Dhabi and Malaysia would have to be management’s general and specific Employee 1, circumvented Goldman’s bribed to obtain the guarantee from IPIC authorization. Moreover, because and get the necessary approvals from Goldman initially purchased the full 12 According to the U.S. Securities and Exchange Malaysia and 1MDB. Low advised that value of each bond from 1MDB using Commission’s Order Instituting Cease-and-Desist a high-ranking official of IPIC and a Proceedings In the Matter of the Goldman Sachs Goldman’s assets, the transactions had Malaysian official would have to be to be authorized and properly recorded Group Inc. (Administrative Proceeding File No. 3– 20132), Goldman had a general anti-corruption paid the largest bribes to approve the in accordance with Goldman’s policy, including both a written Statement of transaction, and that other lower-level procedures. Goldman’s internal Principles Regarding Anti-Bribery and related policies and procedures (collectively, the Anti- officials would need to be bribed as accounting controls included the well. Subsequently, Leissner and Ng Firmwide Capital Committee (FWCC), Bribery Policy) applicable to all employees that expressly prohibited improper payments to each separately informed Employee 1 government officials intended to obtain or retain about the discussion on bribing foreign 11 To the Department’s knowledge, on numerous business for the company. Goldman’s Anti-Bribery occasions, the timing of Goldman’s misconduct is Policy was overseen and enforced by its compliance officials. uncertain. Therefore, the dates herein regarding function (the Compliance Group) and its Business 18. Meanwhile, although employees their misconduct are approximate. Intelligence Group. within Goldman’s control functions

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suspected that Low may be involved in of funds from the proceeds of Project funds from the proceeds of Project the deal, the only step taken by the Magnolia to various shell companies. Maximus to a number of different shell control functions to investigate that 21. Within weeks of closing Project companies. suspicion was to ask members of the Magnolia, in May 2012, 1MDB sought 26. In November 2012, almost deal team whether Low was involved assistance from Goldman to purchase a immediately after Project Maximus and to accept their denials without second Malaysian energy company closed, Leissner and Low began working reasonable confirmation. For example, (Malaysian Energy Company B) and to on another bond issuance known as during a telephone call in March 2012, issue a bond to raise funds for the Project Catalyze that was purportedly a high-ranking employee in the Business acquisition. In August 2012, 1MDB intended to fund 1MDB’s portion of a Intelligence Group (BIG), who was a agreed to purchase Malaysian Energy joint venture with Aabar. Ultimately, managing director, voiced suspicions Company B for approximately $814 Goldman underwrote this third bond that Low was involved in Project million and planned to finance the issuance that raised an additional $3 Magnolia. During this call, Leissner purchase with another $1.75 billion billion for 1MDB with Goldman acting denied that Low was involved. bond guaranteed indirectly by IPIC. as arranger and underwriter. Similarly, on April 3, 2012, the day 22. Once again, Goldman’s 27. Goldman’s compliance control before a FWCC meeting to discuss compliance control functions simply functions had continuing suspicions Project Magnolia, a high-ranking accepted at face value the that Low was working on the Project executive in BIG, who was also an representations of the deal team Catalyze bond deal. Once again, advisor to the FWCC, emailed other members and failed to further however, the compliance control members of BIG that ‘‘Leissner said Jho investigate Low’s suspected functions relied solely on the deal team Low not involved at all in deal as far as involvement in this bond deal. For members’ denials of Low’s involvement he [is] aware but that Low was present example, on June 20, 2012, a member of without any further scrutiny. On April when Leissner met an IPIC in Abu Goldman’s control functions asked 24, 2013, a senior Goldman executive Dhabi.’’ members of the deal team, ‘‘Is Jho Low who was a member of Goldman’s 19. On April 4, 2012, Goldman involve[d] in this transaction? Please approval committee located in New executives in New York participated in also keep us posted if there are any York, New York, emailed Leissner about an FWCC meeting by phone. During this other politically exposed person ‘‘1MDB,’’ asking: ‘‘Is there a story meeting, Leissner was asked whether involve[d] in this transaction in a non- circulating about an intermediary on the Low was involved in Project Magnolia official capacity.’’ A deal team member Magnolia trades??’’ Leissner responded, and Leissner said that, other than responded ‘‘no.’’ ‘‘Not that I am aware of . . . There arranging a meeting between Leissner 23. Additionally, on October 10, 2012, definitely was no intermediary on any and IPIC Official 1, Low was not in response to committee questions, of the trades. The blogs in Malaysia involved. Goldman’s compliance Leissner told a firmwide committee that always try to link a young Chinese control functions accepted the neither Low nor any intermediary was business man [sic], Jho Low, to 1MDB. statements of the deal team members involved in Project Maximus. Despite That is not the case other than he was about Low’s involvement at face value, their continued concern, as evidenced an advisor alongside other prominent rather than taking additional steps that by their repeated questions, Goldman’s figures to the King of Malaysia at the Goldman’s compliance control compliance control functions did not time of the creation of 1MDB.’’ There functions took in other deals, such as engage in electronic surveillance of was no follow-up by Goldman’s reviewing the electronic Leissner’s correspondence or activities compliance control functions about communications of members of the deal to determine whether Low was involved Low. team to look for evidence of Low’s in the deal. 28. Goldman also failed to address involvement. Had Goldman conducted a 24. Goldman’s continued compliance other red flags that were raised by the review of Leissner’s electronic control failures were further proposed $3 billion transaction, communications at this time, it would compounded when Goldman ignored including, 1MDB raising large sums of have discovered multiple messages additional red flags raised by Project money with no identified use of linking Low to, among others, the bond Maximus, including that 1MDB was proceeds within months of Project deal, 1MDB officials, Malaysian officials seeking to raise additional funds within Magnolia and Project Maximus, and and Abu Dhabi officials, as well as the a few months of raising $1.75 billion Goldman’s failure to verify use of past use of personal email addresses by through Project Magnolia without bond proceeds. Leissner and Ng to discuss Goldman having utilized the full amount from 29. Goldman’s committees business. that deal, and was also seeking to raise nevertheless approved Project Catalyze 20. On May 16, 2012, Goldman’s far more than was needed to acquire on March 13, 2013, and the proceeds committees approved Project Magnolia Malaysian Energy Company B. from Project Catalyze were issued on and on May 21, 2012, the $1.75 billion Goldman’s compliance control March 19, 2013. Goldman purchased the bond issuance closed. Goldman functions also failed to verify how entire bond issuance from 1MDB and purchased the entire bond issuance Project Magnolia’s proceeds were used. booked approximately $279,000,000 in from 1MDB. On May 22, 2012, Goldman 25. Project Maximus closed on fees on Project Catalyze. caused approximately $907,500,000 in October 19, 2012, and Goldman 30. Low and Leissner continued to proceeds from Project Magnolia to be purchased the entire bond issuance pay bribes to government officials from wired to a 1MDB subsidiary, through a from 1MDB. On October 19, 2012, the bond proceeds. On March 19, 2013, correspondent bank account in New Goldman caused approximately $1.64 Goldman transferred via wire from and York, New York. Goldman booked billion to be transferred by wire through through the United States approximately $192,500,000 in fees for correspondent accounts in the United approximately $2.7 billion from Project this bond transaction and an additional States to another 1MDB subsidiary. Catalyze to an account for another approximately $16,800,000 in fees for Goldman booked approximately 1MDB subsidiary (1MDB Subsidiary 3) advising on the acquisition of Malaysian $110,000,000 in fees in connection with at Foreign Financial Institution A. Energy Company A. Low and others Project Maximus. Further, Low and Subsequently, Low caused subsequently caused multiple transfers others caused multiple transfers of approximately $1,440,188,045 to be

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transferred through a series of pass- officer had informed his subordinate Malaysia FCPA Conviction they through accounts to accounts that ‘‘there are a number of key people expected would be entered against beneficially owned or controlled by Low who are involved in, let’s call it the Goldman Sachs Malaysia. As noted and Individual 1. Low then directed situation. [Abu Dhabi Official 1] is one. above, Section I(g) of PTE 84–14 multiple transfers to various Jho Low for sure. He thinks Jho Low is prevents an entity that may otherwise government officials. the leader of the pack. And he has a meet the definition of a QPAM from 31. After the bond deals were very strong view that [Leissner] is utilizing the exemptive relief provided completed, in and between March 2013 involved.’’ The compliance control by PTE 84–14, if that entity or an and February 2016, additional red flags functions never took steps to address ‘‘affiliate’’ thereof or any owner, direct were raised in the press and on internal these red flags. or indirect, of a 5 percent or more phone calls among Goldman’s 34. There were also subsequent emails interest in the QPAM has, within 10 employees and executives about Low’s and recorded phone calls between years immediately preceding the involvement in the deals and the Employee 3 and senior Goldman transaction, been convicted as a result of possible payment of bribes in executives in the compliance control criminal activity described in that connection with the deals. Goldman functions about the disparity between section. Since the Goldman Sachs failed to investigate these red flags or to how due diligence and risk issues were Affiliated QPAMs are affiliated with perform an internal review of its role in handled on various deals. In particular, Goldman Sachs Malaysia as defined in the bond deals despite the clear they discussed the unusual latitude PTE 84–14, the Goldman Sachs implication that the deals had involved granted to certain employees, such as Affiliated QPAMs will no longer be able criminal wrongdoing. Further, high Leissner and Employee 1. to rely on the relief provided by PTE ranking employees of Goldman failed to 35. For example, in January 2016, on 84–14 following the Conviction Date. escalate concerns about bribery and a recorded call between Employee 2, Further, since Goldman Sachs Malaysia other criminal conduct related to the who had been involved in BIG’s review may own five or more percent of an bond deals pursuant to Goldman’s of each of the relevant transactions, and asset manager that is not otherwise escalation policy, which required any Employee 3, they discussed, among affiliated with Goldman Sachs Malaysia Goldman employee who became aware other things, Leissner’s conduct, (i.e., a Goldman Sachs Related QPAM), of any conduct that could raise, among including Leissner’s false statements the Goldman Sachs Related QPAMs will other things, ‘‘a legal, compliance, that Low was not involved in the 1MDB no longer be able to rely on the relief reputational, ethical, accounting, [or] deals. Employee 2 then noted that there provided by PTE 84–14 following the internal accounting control’’ issue, to were several similarly ‘‘problematic’’ Conviction Date.13 report such conduct immediately to a people from a compliance perspective at The Applicant represents that the supervisor and to Goldman’s Goldman, and Employee 3 agreed, exemption will enable the Covered compliance control functions. immediately mentioning Employee 1 as Plans to continue their current 32. In May 2013, a Goldman an example of a ‘‘problematic’’ person. investment strategy with their current participating managing director Employee 3 also noted the ‘‘double investment manager or trustee. (Employee 3) who had been involved in standard’’ between the minor According to the Applicant, if the the 1MDB deals, discussed the deals in repercussions meted out to favored Department denies the requested a series of phone calls with Goldman employees like Leissner and Employee exemption, Covered Plans could decide senior executives that were recorded on 1 when they got caught trying to to find other managers, at significant Goldman phone lines. For example, on circumvent the compliance control costs to them. The Applicant states that May 8, 2013, Employee 3 called a senior functions, and the more serious many of the assets of the Covered Plan Goldman executive about, among other repercussions to other, less favored accounts could be difficult to transition, things, Project Catalyze. Employee 3 employees who engaged in similar and the interruption of certain stated, ‘‘the main reason for the delay behavior. Employee 2 agreed, stating, investment strategies, such as stable for [IPIC] not having funded their three ‘‘Yes, double standard, and it looks value, could create significant billion into the JV with 1MDB is [Abu stupid.’’ In the course of the call, disruption and liquidation costs for Dhabi Official 1] is trying to get Employee 2 also noted that Leissner’s Covered Plans with assets invested in something on the side in his pocket.’’ email communications had been those strategies. He continued later, ‘‘I think it’s quite searched as part of an internal 37. The Applicant represents that disturbing to have come across this investigation into a separate incident disqualification from PTE 84–14 would piece of information . . . .’’ The senior involving the use of an intermediary deprive Covered Plans of the investment Goldman executive replied, ‘‘What’s that occurred subsequent to the 1MDB management services (some of which disturbing about that? It’s nothing new, deals, which Employee 2 stated ‘‘seems are highly specialized) that these plans is it?’’ In response, Employee 3 agreed to me should have been done ages ago.’’ expected to receive when they that the situation was nothing new. Employee 3 similarly discussed on a appointed the Goldman Sachs Affiliated Employee 3 had at least one recorded call in February 2016 with a or Related Asset Manager, and could substantially similar phone high-ranking employee in compliance, result in the termination of relationships conversation with at least one other who was a managing director, how that the fiduciaries of the plans have senior Goldman executive. repercussions for compliance control 33. Subsequently, in May 2015 and function violations varied radically 13 The Department notes that this proposed again in October 2015, amid negative between deals. exemption requires each Goldman Sachs Affiliated media reporting linking Low with the QPAM to immediately develop, maintain, Exemption Request implement, and follow written policies and 1MDB bond deals and Malaysian procedures (the Policies). The Policies must require, Official 1, Goldman executives and 36. On October 15, 2020, the and must be reasonably designed to ensure, that, employees discussed Low’s Applicant filed an exemption request among other things: The asset management involvement in the 1MDB deals. For for Goldman Sachs Affiliated QPAMs decisions of the Goldman Sachs Affiliated QPAM are conducted independently of Goldman’s example, on a recorded call on October and Goldman Sachs Related QPAMs to corporate management and business activities, and 13, 2015, Employee 3 told the senior continue to rely on PTE 84–14, the corporate management and business activities of Goldman executive that a senior IPIC notwithstanding the Goldman Sachs Goldman Sachs Malaysia.

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determined to be in the best interests of Other Changes Sought by the Applicant their participants and beneficiaries) and the plans. 41. The Department’s most recent allow them to continue to utilize the 38. The Applicant represents that, QPAM Section I(g) individual services of the Goldman Sachs Affiliated with respect to many Covered Plan exemptions contain conditions that are and Related QPAMs. If this proposed transactions, virtually every substantially similar to the conditions exemption is granted as proposed, it counterparty to a Covered Plan may be set forth in this proposed exemption.14 would allow these Covered Plans to a service provider to that Covered Plan. These conditions were carefully avoid the costs and expenses that may Transactions between the Covered Plan designed, after consideration of arise if such plans and IRAs are forced and the party-in-interest service comments from the public, including on short notice to hire a different QPAM provider would be prohibited under one the applicants to those exemptions, to because the Goldman asset managers are or more provisions of Section 406 of protect Covered Plans. As part of its no longer able to rely on the relief ERISA, absent an exemption. The exemption request, the Applicant provided by PTE 84–14, due to the Applicant states that, because requested numerous changes to those Goldman Sachs Malaysia FCPA counterparties are comfortable with the conditions. Except as described below, Conviction. QPAM Exemption, it is generally the the Department declines to make the 43. It is a material condition of this most commonly used prohibited Applicant’s requested changes. The exemption that, with the exception of transaction exemption. The Applicant Applicant did not demonstrate that the one individual who worked in a non- represents further that, with respect to requested revisions would be in the fiduciary business within a Goldman a potential transaction between a interest of, or sufficiently protective of, Sachs Affiliated QPAM, and who had Covered Plan and a counterparty, the Covered Plans. The Department believes no responsibility for, and exercised no counterparty may provide less that the proposed revisions would authority in connection with, the advantageous pricing with respect to the generally weaken important Covered management of plan assets, the transaction, or may not bid at all, if the Plan protections.15 Goldman Sachs Affiliated QPAMs and Covered Plan’s investment manager is Goldman Sachs Related QPAMs: (a) Did not a QPAM, and various strategies in Conditions not know of, did not have reason to which Covered Plans are managed may 42. In developing administrative know of, and the Goldman Sachs depend significantly on the QPAM exemptions under Section 408(a) of Malaysia FCPA Misconduct; and (b) did Exemption. ERISA, the Department implements its not receive direct compensation, or 39. The Applicant represents that it statutory directive to grant only knowingly receive indirect would be disruptive and expensive to exemptions that are appropriately compensation, in connection with the cause plan fiduciaries to reconsider protective of, and in the interest of, Goldman Sachs Malaysia FCPA 16 their arrangements with their chosen affected plans and IRAs. The Misconduct. investment manager because of Department is proposing this exemption 44. The protective conditions in this uncertainties relating to the QPAM with a number of protective conditions proposed exemption include a Exemption. This uncertainty, according that would protect Covered Plans (and requirement that the fiduciary and asset to the Applicant, could disrupt certain management functions of the Goldman investment strategies and could result in 14 See PTE 2017–03, 82 FR 61816 (December 29, Sachs Affiliated QPAMs must, at all significant redemptions from pooled 2017); PTE 2017–04, 82 FR 61840 (December 29, times, remain isolated from the funds, which would frustrate efforts to 2017); PTE 2017–05, 82 FR 61864 (December 29, Goldman Sachs Malaysia FCPA effectively manage the pooled funds’ 2017); PTE 2017–06, 82 FR 61881 (December 29, Misconduct that underlies the Goldman assets, harm remaining plan investors, 2017); PTE 2017. Sachs Malaysia FCPA Conviction. 15 For example, ‘‘(b)ecause GS Malaysia does not and increase the expense ratios of the exercise (and would not exercise) any control over Further, under the proposed investment funds. the GS Related QPAMs,’’ the Applicant requested exemption’s conditions, Goldman Sachs that the Goldman Sachs Related QPAMs receive a Applicant’s Request for an Exemption Affiliated QPAMs may not employ or ten-year exemption, subject only to the conditions knowingly engage any of the individuals With a Ten-Year Duration that they did not know of or participate in the Goldman Sachs Malaysia FCPA Conduct, and did who participated in the Goldman Sachs 40. In its exemption request, the not receive compensation as a result of that Malaysia FCPA Misconduct. Applicant seeks a ten-year exemption conduct. Granting this request would permit the 45. This proposed exemption requires term. The Department has determined Goldman Sachs Related QPAMs to be subject to that no Goldman Sachs Affiliated that, given the magnitude, gravity, fewer conditions than those set forth in the Department’s prior exemptions involving Section QPAM may use its authority or duration and pervasiveness of the I(g) criminal convictions for entities related by influence to direct an ‘‘investment Goldman Sachs Malaysia FCPA direct or indirect 5% ownership, including that: fund’’ (as defined in Section VI(b) of Misconduct, along with numerous Any failure of the Goldman Sachs Related QPAMs PTE 84–14) that is subject to ERISA or Goldman compliance control failures to satisfy Section I(g) of PTE 84–14 arose solely from the Goldman Sachs Malaysia FCPA the Code to enter into any transaction associated with the Goldman Sachs Conviction; and the Goldman Sachs Related with Goldman Sachs Malaysia, or to Malaysia FCPA Misconduct, limiting QPAMs did not exercise authority over the assets engage Goldman Sachs Malaysia to relief to five years would be in the of any ERISA-covered plan or IRA in a manner that provide any service to such investment interest of, and provide more adequate it knew or should have known would further the criminal conduct that is the subject of the Goldman fund, regardless of whether such protection for, the Covered Plans. If the Sachs Malaysia FCPA Conviction, or cause the transaction or service may otherwise be Applicant seeks additional exemptive relevant Related QPAM or its affiliates to directly within the scope of relief provided by relief, it can submit a new exemption or indirectly profit from the criminal conduct that an administrative or statutory request before the end of this is the subject of the Goldman Sachs Malaysia FCPA Conviction. The Department notes that the exemption. Other than with respect to exemption’s five year term, if granted. conditions above are consistent with the At that time, the Department will review Department’s prior QPAM Section I(g) exemptions, 16 For the purposes of this proposed exemption, the application, the audit reports the Applicant’s representations, and the ‘‘participate in’’ refers not only to active required by this exemption, and other Department’s understanding of the facts that gave participation in the Goldman Sachs Malaysia FCPA rise to the Goldman Sachs Malaysia FCPA Misconduct, but also to knowing approval of, or information it deems necessary to Conviction. Accordingly, the proposed exemption knowledge of the conduct without taking active determine whether additional relief is includes these additional conditions with respect to steps to prevent the Goldman Sachs Malaysia FCPA warranted. Goldman Sachs Related QPAMs. Misconduct.

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employee benefit plans maintained or Affiliated QPAMs must grant the disclaiming or otherwise limiting the sponsored for its own employees or the auditor unconditional access to their liability of the Goldman Sachs Affiliated employees of an affiliate, Goldman business, and the auditor’s engagement QPAM for a violation of such Sachs Malaysia will not act as a must specifically require the auditor to agreement’s terms. fiduciary within the meaning of section test each Goldman Sachs Affiliated 52. Each Goldman Sachs Affiliated 3(21)(A)(i) or (iii) of ERISA, or section QPAM’s operational compliance with QPAM must provide a notice of its 4975(e)(3)(A) and (C) of the Code, with the Policies and Training. obligations under this exemption to respect to ERISA-covered plan and IRA 49. The independent auditor must each Covered Plan. Each Goldman assets. issue a written audit report (the Audit Sachs Affiliated QPAM also must 46. Each Goldman Sachs Affiliated Report) to Goldman and the Goldman provide to each sponsor and beneficial QPAM must develop, implement and Sachs Affiliated QPAM to which the owner of a Covered Plan a Federal maintain written policies and audit applies, that describes the Register copy of the notice of the procedures (the Policies) that are procedures performed by the auditor in exemption, a separate summary reasonably designed to ensure: (a) That connection with its examination. describing the facts that led to the the asset management decisions of the Further, the Goldman Sachs Affiliated Goldman Sachs Malaysia FCPA Goldman Sachs Affiliated QPAMs are QPAMs must promptly address any Conviction (the Summary), and a conducted independently of Goldman identified noncompliance, and must prominently displayed statement (the and Goldman Sachs Malaysia’s promptly address or prepare a written Statement) that the Goldman Sachs corporate management and business plan of action to address any Malaysia FCPA Conviction results in a activities; (b) that the Goldman Sachs determination as to the adequacy of the failure to meet a condition in PTE 84– Affiliated QPAMs fully comply with Policies and Training and the auditor’s 14. ERISA’s fiduciary duties, and with recommendations, if any, with respect 53. This proposed exemption requires ERISA’s and the Code’s prohibited to strengthening the Policies and Goldman to designate a senior transaction provisions; (c) that the Training of the respective Goldman compliance officer (the Compliance Goldman Sachs Affiliated QPAMs do Sachs Affiliated QPAM. Officer) who will be responsible for not knowingly participate in any other 50. This proposed exemption further compliance with the Policies and person’s violation of ERISA or the Code requires that the General Counsel, or Training requirements described in this with respect to Covered Plans; (d) that one of the three most senior executive exemption. The Compliance Officer any filings or statements made by the officers of the Goldman Sachs Affiliated must conduct five reviews, one for each Goldman Sachs Affiliated QPAMs to QPAM to which the Audit Report of the five consecutive twelve month regulators on behalf of, or in relation to, applies, certify in writing, under penalty periods that comprise the Exemption Covered Plans are materially accurate of perjury, that the officer has reviewed Period (the Exemption Review), to and complete; (e) that the Goldman the Audit Report and the exemption, if determine the adequacy and Sachs Affiliated QPAMs do not make granted, and that the Goldman Sachs effectiveness of the implementation of material misrepresentations or omit Affiliated QPAM has addressed, the Policies and Training, and issue a material information in their corrected, and remedied (or has an written report (the Exemption Report) communications with such regulators, appropriate written plan to address) any on the findings. or in their communications with identified instance of noncompliance or 54. This proposal requires Goldman to Covered Plans; and (f) that the Goldman inadequacy regarding the Policies and impose internal procedures, controls, Sachs Affiliated QPAMs comply with Training identified in the Audit Report. and protocols on Goldman Sachs the terms of the exemption. 51. With respect to any arrangement, Malaysia to reduce the likelihood of any 47. This proposed exemption requires agreement, or contract between a recurrence of conduct that is the subject each Goldman Sachs Affiliated QPAM Goldman Sachs Affiliated QPAM and a of the Goldman Sachs Malaysia FCPA to develop, implement and maintain a Covered Plan, this proposal requires the Conviction. program of training (the Training), to be Goldman Sachs Affiliated QPAMs to Statutory Findings conducted at least annually, for all agree and warrant: (a) To comply with relevant asset/portfolio management, ERISA and the Code, including the 55. Section 408(a) of ERISA provides, trading, legal, compliance, and internal standards of prudence and loyalty set in part, that the Department may not audit personnel. This required Training forth in section 404 of ERISA; (b) to grant an exemption unless the must, at a minimum, cover the Policies, refrain from engaging in prohibited Department finds that the exemption is ERISA and Code compliance, ethical transactions that are not otherwise administratively feasible, in the interest conduct, the consequences for not exempt; (c) to indemnify and hold of affected plans and of their complying with the conditions harmless the Covered Plan for any participants and beneficiaries, and described in this proposal, and the actual losses resulting directly from, protective of the rights of such requirement for prompt reporting of among other things, the Goldman Sachs participants and beneficiaries. These wrongdoing. Affiliated QPAM’s violation of ERISA’s criteria are discussed below. 48. This proposed exemption requires fiduciary duties; (d) with narrow 56. ‘‘Administratively Feasible.’’ The that each Goldman Sachs Affiliated exceptions, not to restrict the ability of Department has tentatively determined QPAM submit to three audits, such Covered Plan to terminate or that the proposal is administratively conducted by an independent auditor, withdraw from its arrangement with the feasible since, among other things, a to evaluate the adequacy of and Goldman Sachs Affiliated QPAM with qualified independent auditor will be compliance with, the Policies and respect to any investment in a required to perform an in-depth audit Training required by the exemption, as separately managed account or pooled covering, among other things, each described below. The independent fund subject to ERISA and managed by Goldman Sachs Affiliated QPAM’s auditor must be prudently selected and such QPAM; (e) with narrow compliance with the terms of the have appropriate technical training and exceptions, not to impose any fees, exemption, and a corresponding written proficiency with ERISA and the Code to penalties, or charges for such audit report will be provided to the perform the tasks required by the termination or withdrawal; and (f) not to Department and available to the public. exemption. The Goldman Sachs include exculpatory provisions The independent audit will provide an

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incentive for compliance, while active documented steps to stop the be retrieved by most internet search reducing the immediate need for review misconduct. engines. and oversight by the Department. 59. Department’s Notes: This General Information 57. ‘‘In the interest of.’’ The proposed five-year exemption provides Department has tentatively determined relief from certain of the restrictions set The attention of interested persons is that the proposed exemption is in the forth in sections 406 and 407 of ERISA. directed to the following: interests of the participants and No relief or waiver of a violation of any (1) The fact that a transaction is the beneficiaries of affected Covered Plans. other law is provided by the exemption. subject of an exemption under section It is the Department’s understanding, The relief in this proposed five-year 408(a) of the Act and/or section exemption would terminate based on representations from the 4975(c)(2) of the Code does not relieve immediately if, among other things, an Applicant, that if the requested a fiduciary or other party in interest or entity within the Goldman Sachs exemption is denied, Covered Plans disqualified person from certain other Malaysia corporate structure is could decide to find other managers, at provisions of the Act and/or the Code, convicted of any crime covered by significant costs to them. According to including any prohibited transaction Section I(g) of PTE 84–14 (other than the the Applicant, disqualification from provisions to which the exemption does Goldman Sachs Malaysia FCPA PTE 84–14 would deprive the Covered not apply and the general fiduciary Conviction during the effective period Plans of the investment management responsibility provisions of section 404 of the proposed five-year exemption). services that these plans expected to of the Act, which, among other things, While such an entity could apply for a receive when they appointed these require a fiduciary to discharge his managers, and could result in the new exemption in that circumstance, the Department is not obligated to grant duties respecting the plan solely in the termination of relationships that the interest of the participants and fiduciaries of the Covered Plans have a requested exemption. 60. When interpreting and beneficiaries of the plan and in a determined to be in the best interests of prudent fashion in accordance with those plans.17 implementing this exemption, the Applicant and the Goldman Sachs section 404(a)(1)(b) of the Act; nor does 58. ‘‘Protective of.’’ The Department it affect the requirement of section has tentatively determined that the Affiliated QPAMs should resolve any ambiguities in light of the exemption’s 401(a) of the Code that the plan must proposed exemption is protective of the operate for the exclusive benefit of the interests of the participants and protective purposes. To the extent additional clarification is necessary, employees of the employer maintaining beneficiaries of affected Covered Plans. the plan and their beneficiaries; As described above, the proposed these persons or entities should contact (2) Before an exemption may be exemption is subject to a suite of EBSA’s Office of Exemption Determinations, at 202–693–8540. granted under section 408(a) of the Act conditions including but not limited to: and/or section 4975(c)(2) of the Code, (a) The development and maintenance Notice to Interested Persons the Department must find that the of the Policies; (b) the implementation Notice of the proposed exemption exemption is administratively feasible, of the Training; (c) a robust series of will be provided to all interested in the interests of the plan and of its audits conducted by a qualified persons within seven (7) days of the participants and beneficiaries, and independent auditor; (d) the provision publication of the notice of proposed protective of the rights of participants of certain agreements and warranties on five-year exemption in the Federal and beneficiaries of the plan; the part of the Goldman Sachs Affiliated Register. The notice will be provided to (3) The proposed exemption, if QPAMs; (e) specific notices and all interested persons in the manner disclosures concerning the granted, will be supplemental to, and approved by the Department and will not in derogation of, any other circumstances necessitating the need for contain the documents described exemptive relief, and the Goldman provisions of the Act and/or the Code, therein and a supplemental statement, including statutory or administrative Sachs Affiliated QPAMS’ obligations as required pursuant to 29 CFR under this proposed exemption; and (f) exemptions and transitional rules. 2570.43(a)(2). The supplemental Furthermore, the fact that a transaction the designation of a Compliance Officer statement will inform interested persons with responsibility to ensure is subject to an administrative or of their right to comment on and to statutory exemption is not dispositive of compliance with the Policies and request a hearing with respect to the Training requirements under this whether the transaction is in fact a pending exemption. All written prohibited transaction; and proposed exemption, and the comments and/or requests for a hearing Compliance Officer’s completion of an must be received by the Department (4) The proposed exemption, if annual Exemption Review and within thirty seven (37) days of the date granted, will be subject to the express corresponding Exemption Report. of publication of this proposed five-year condition that the material facts and Further, no person, including any exemption in the Federal Register. All representations contained in each person referenced in the Department of comments will be made available to the application are true and complete, and Justice’s Statement of Facts that gave public. that each application accurately rise to the Plea Agreement, who knew Warning: If you submit a comment, describes all material terms of the of, or should have known of, or EBSA recommends that you include transaction which is the subject of the participated in, any misconduct your name and other contact exemption. described in the Statement of Facts, by information in the body of your Proposed Exemption any party, may be involved with various comment, but DO NOT submit responsibilities required of Goldman by information that you consider to be The Department is considering the exemption, unless the person took confidential, or otherwise protected granting a five-year exemption under (such as Social Security number or an the authority of section 408(a) of the Act 17 The Department specifically requests unlisted phone number) or confidential (or ERISA) and section 4975(c)(2) of the comments on the scope and magnitude of any business information that you do not Internal Revenue Code (or Code), and in impacts, including any increased costs, that accordance with the procedures set Covered Plans and IRAs would sustain if the want publicly disclosed. All comments Department were to deny the exemption. may be posted on the internet and can forth in 29 CFR part 2570, subpart B (76

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FR 66637, 66644, October 27, 2011).18 approval of the criminal conduct, or Goldman Sachs Malaysia FCPA Effective December 31, 1978, section knowledge of such conduct without Conviction; 102 of Reorganization Plan No. 4 of taking active steps to prohibit such (f) A Goldman Sachs Affiliated QPAM 1978, 5 U.S.C. App. 1 (1996), transferred conduct, including reporting the or a Goldman Sachs Related QPAM did the authority of the Secretary of the conduct to such individual’s not exercise authority over the assets of Treasury to issue exemptions of the type supervisors, and to the Board of any plan subject to Part 4 of Title I of requested to the Secretary of Labor. Directors; ERISA (an ERISA-covered plan) or Therefore, this notice of proposed (b) Other than Tim Leissner, who section 4975 of the Code (an IRA) in a exemption is issued solely by the worked for a non-fiduciary business manner that it knew or should have Department. within a Goldman Sachs Affiliated known would further the criminal QPAM, and who had no responsibility conduct that is the subject of the Section I. Covered Transactions for, and exercised no authority in Goldman Sachs Malaysia FCPA If this proposed exemption is granted, connection with, the management of Conviction; or cause the Goldman Sachs the Goldman Sachs Affiliated QPAMs plan assets, the Goldman Sachs Affiliated QPAM, Related QPAM or its and the Goldman Sachs Related QPAMs Affiliated QPAMs and the Goldman affiliates to directly or indirectly profit (as defined in Section II(d) and (e)) will Sachs Related QPAMs (including their from the criminal conduct that is the not be precluded from relying on the officers, directors, agents (other than subject of the Goldman Sachs Malaysia exemptive relief provided by Prohibited Goldman Sachs Malaysia), and FCPA Conviction; Transaction Class Exemption 84–14 employees of such Goldman Sachs (g) Other than with respect to (PTE 84–14 or the QPAM Exemption) 19 Affiliated QPAMs) did not receive direct employee benefit plans maintained or during the Exemption Period, compensation, or knowingly receive sponsored for its own employees or the notwithstanding the Goldman Sachs indirect compensation, in connection employees of an affiliate, Goldman Malaysia FCPA Conviction, as defined with the criminal conduct of Goldman Sachs Malaysia will not act as a in Section II(a), provided that the Sachs Malaysia that is the subject of the fiduciary within the meaning of section following conditions are satisfied: Goldman Sachs Malaysia FCPA 3(21)(A)(i) or (iii) of ERISA, or section (a) Other than Tim Leissner, who Conviction. Further, any other party 4975(e)(3)(A) and (C) of the Code, with worked for a non-fiduciary business engaged on behalf of the Goldman Sachs respect to ERISA-covered plan and IRA within a Goldman Sachs Affiliated Affiliated QPAMs and the Goldman assets; provided, however, that QPAM, and who had no responsibility Sachs Related QPAMs who had Goldman Sachs Malaysia will not be for, and exercised no authority in responsibility for, or exercised authority treated as violating the conditions of connection with, the management of in connection with the management of this exemption, if granted, solely plan assets did not receive direct plan assets, the Goldman Sachs because they acted as an investment compensation, or knowingly receive Affiliated QPAMs and Goldman Sachs advice fiduciary within the meaning of indirect compensation, in connection Related QPAMs (including their section 3(21)(A)(ii) of ERISA or section with the criminal conduct of Goldman officers, directors, agents (other than 4975(e)(3)(B) of the Code; Sachs Malaysia that is the subject of the Goldman Sachs Malaysia), and the (h)(1) Within four months of the Goldman Sachs Malaysia FCPA employees of the Goldman Sachs effective date of this five-year Conviction; Affiliated QPAMs and Goldman Sachs exemption, each Goldman Sachs Related QPAMs) did not know of, did (c) The Goldman Sachs Affiliated QPAMs do not currently and will not in Affiliated QPAM must immediately not have reason to know of, or did not develop, maintain, implement, and participate in the criminal conduct of the future employ or knowingly engage any of the individuals who participated follow written policies and procedures Goldman Sachs Malaysia that is the (the Policies). The Policies must require, subject of the Goldman Sachs Malaysia in the criminal conduct of Goldman Sachs Malaysia that is the subject of the and must be reasonably designed to FCPA Conviction. Further, any other ensure that: party engaged on behalf of the Goldman Goldman Sachs Malaysia FCPA Conviction; (i) The asset management decisions of Sachs Affiliated QPAMs and Goldman the Goldman Sachs Affiliated QPAM are Sachs Related QPAMs who had (d) At all times during the Exemption Period, no Goldman Sachs Affiliated conducted independently of Goldman’s responsibility for, or exercised authority corporate management and business in connection with the management of QPAM will use its authority or influence to direct an ‘‘investment activities, and the corporate plan assets did not know of, did not fund’’ (as defined in Section VI(b) of management and business activities of have reason to know of, or participate in PTE 84–14) that is subject to ERISA or Goldman Sachs Malaysia. This the criminal conduct of Goldman Sachs the Code and managed by such condition does not preclude a Goldman Malaysia that is the subject of the Goldman Sachs Affiliated QPAM with Sachs Affiliated QPAM from receiving Goldman Sachs Malaysia FCPA respect to one or more Covered Plans (as publicly available research and other Conviction. For purposes of this defined in Section II(b)) to enter into widely available information from proposed exemption, ‘‘participate in’’ any transaction with Goldman Sachs Goldman Sachs Malaysia; refers not only to active participation in Malaysia or to engage Goldman Sachs (ii) The Goldman Sachs Affiliated the criminal conduct that is the subject Malaysia to provide any service to such QPAM fully complies with ERISA’s of the Goldman Sachs Malaysia FCPA investment fund, for a direct or indirect fiduciary duties, and with ERISA and Conviction, but also to knowing fee borne by such investment fund, the Code’s prohibited transaction regardless of whether such transaction provisions, in each case as applicable 18 For purposes of this proposed five-year exemption, references to section 406 of Title I of the or service may otherwise be within the with respect to each Covered Plan, and Act, unless otherwise specified, should be read to scope of relief provided by an does not knowingly participate in any refer as well to the corresponding provisions of administrative or statutory exemption; violation of these duties and provisions section 4975 of the Code. (e) Any failure of a Goldman Sachs with respect to Covered Plans; 19 49 FR 9494 (March 13, 1984), as corrected at (iii) The Goldman Sachs Affiliated 50 FR 41430, (October 10, 1985), as amended at 70 Affiliated QPAM or a Goldman Sachs FR 49305 (August 23, 2005), and as amended at 75 Related QPAM to satisfy Section I(g) of QPAM does not knowingly participate FR 38837 (July 6, 2010). PTE 84–14 arose solely from the in any other person’s violation of ERISA

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or the Code with respect to Covered (i) At a minimum, cover the Policies, implemented, maintained, and followed Plans; ERISA and Code compliance (including the Policies in accordance with the (iv) Any filings or statements made by applicable fiduciary duties and the conditions of this five-year exemption, the Goldman Sachs Affiliated QPAM to prohibited transaction provisions), and has developed and implemented regulators, including, but not limited to, ethical conduct, the consequences for the Training, as required herein; the Department, the Department of the not complying with the conditions of (4) The auditor’s engagement must Treasury, the Department of Justice, and this exemption (including any loss of specifically require the auditor to test the Pension Benefit Guaranty exemptive relief provided herein), and each Goldman Sachs Affiliated QPAM’s Corporation, on behalf of or in relation the requirement for prompt reporting of operational compliance with the to Covered Plans, are materially wrongdoing; and Policies and Training. In this regard, the accurate and complete, to the best of (ii) Be conducted by a professional auditor must test, for each Goldman such QPAM’s knowledge at that time; who has been prudently selected and Sachs Affiliated QPAM, a sample of (v) To the best of its knowledge at that who has appropriate technical training such Goldman Sachs Affiliated QPAM’s time, the Goldman Sachs Affiliated and proficiency with ERISA and the transactions involving Covered Plans, QPAM does not make material Code to perform the tasks required by sufficient in size and nature to afford misrepresentations or omit material this exemption, if granted; the auditor a reasonable basis to information in its communications with (i)(1) Each Goldman Sachs Affiliated determine such Goldman Sachs such regulators with respect to Covered QPAM submits to three audits Affiliated QPAM’s operational Plans, or make material conducted by an independent auditor, compliance with the Policies and misrepresentations or omit material who has been prudently selected and Training; information in its communications with who has appropriate technical training (5) For each audit, on or before the Covered Plans; and and proficiency with ERISA and the end of the relevant period described in Code, to evaluate the adequacy of, and Section I(i)(1) for completing the audit, (vi) The Goldman Sachs Affiliated each Goldman Sachs Affiliated QPAM’s the auditor must issue a written report QPAM complies with the terms of this compliance with, the Policies and (the Audit Report) to Goldman and the five-year exemption; Training described herein. The audit Goldman Sachs Affiliated QPAM to (2) Any violation of, or failure to requirement must be incorporated in the which the audit applies that describes comply with an item in subparagraphs Policies. The first audit must cover the the procedures performed by the auditor (h)(1)(ii) through (vi), is corrected as twelve month period that ends on the in connection with its examination. The soon as reasonably possible upon date that is two years following the date auditor, at its discretion, may issue a discovery, or as soon after the QPAM of the Goldman Sachs Malaysia FCPA single consolidated Audit Report that reasonably should have known of the Conviction, and must be completed covers all the Goldman Sachs Affiliated noncompliance (whichever is earlier), within sixty days thereafter. The second QPAMs. The Audit Report must include and any such violation or compliance audit must cover the twelve month the auditor’s specific determinations failure not so corrected is reported, period that ends on the date that is four regarding: upon the discovery of such failure to so years following the date of the Goldman (i) The adequacy of each Goldman correct, in writing. This report must be Sachs Malaysia FCPA Conviction, and Sachs Affiliated QPAM’s Policies and made to the head of compliance and the must be within completed sixty days Training; each Goldman Sachs general counsel (or their functional thereafter. The third audit must cover Affiliated QPAM’s compliance with the equivalent) of the relevant Goldman the fifth year covered by this exemption, Policies and Training; the need, if any, Sachs Affiliated QPAM that engaged in and must be completed within sixty to strengthen such Policies and the violation or failure, and the days thereafter. The corresponding Training; and any instance of the independent auditor responsible for certified Audit Reports must be respective Goldman Sachs Affiliated reviewing compliance with the Policies. submitted to the Department no later QPAM’s noncompliance with the A Goldman Sachs Affiliated QPAM will than 45 days following the completion written Policies and Training described not be treated as having failed to of the audit. in Section I(h) above. The Goldman develop, implement, maintain, or follow (2) Within the scope of the audit and Sachs Affiliated QPAM must promptly the Policies, provided that it corrects to the extent necessary for the auditor, address any noncompliance. The any instance of noncompliance as soon in its sole opinion, to complete its audit Goldman Sachs Affiliated QPAM must as reasonably possible upon discovery, and comply with the conditions for promptly address or prepare a written or as soon as reasonably possible after relief described herein, and only to the plan of action to address any the Goldman Sachs Affiliated QPAM extent such disclosure is not prevented determination as to the adequacy of the reasonably should have known of the by state or federal statute, or involves Policies and Training and the auditor’s noncompliance (whichever is earlier), communications subject to attorney- recommendations (if any) with respect and provided that it adheres to the client privilege, each Goldman Sachs to strengthening the Policies and reporting requirements set forth in this Affiliated QPAM and, if applicable, Training of the respective Goldman subparagraph (2); Goldman, will grant the auditor Sachs Affiliated QPAM. Any action (3) Within six months of the effective unconditional access to its business, taken or the plan of action to be taken date of the exemption, each Goldman including, but not limited to: Its by the respective Goldman Sachs Sachs Affiliated QPAM must computer systems; business records; Affiliated QPAM must be included in an immediately develop, maintain, adjust transactional data; workplace locations; addendum to the Audit Report (such (to the extent necessary) and implement training materials; and personnel. Such addendum must be completed prior to a program of training during the access is limited to information relevant the certification described in Section Exemption Period, to be conducted at to the auditor’s objectives as specified I(i)(7) below). In the event such a plan least annually, for all relevant Goldman by the terms of this exemption; of action to address the auditor’s Sachs Affiliated QPAM asset/portfolio (3) The auditor’s engagement must recommendation regarding the management, trading, legal, compliance, specifically require the auditor to adequacy of the Policies and Training is and internal audit personnel. The determine whether each Goldman Sachs not completed by the time of Training must: Affiliated QPAM has developed, submission of the Audit Report, the

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following period’s Audit Report must certification required by this exemption, arrangement, agreement, or contract state whether the plan was satisfactorily unless the person took active between a Goldman Sachs Affiliated completed. Any determination by the documented steps to stop the QPAM and a Covered Plan, the auditor that a Goldman Sachs Affiliated misconduct; Goldman Sachs Affiliated QPAM agrees QPAM has implemented, maintained, (8) The Goldman Sachs Board of and warrants to Covered Plans: and followed sufficient Policies and Directors is provided a copy of the (1) To comply with ERISA and the Training must not be based solely or in Audit Report; and a senior executive Code, as applicable with respect to such substantial part on an absence of officer of the Audit Committee Covered Plan; to refrain from engaging evidence indicating noncompliance. In established by the Goldman Sachs in prohibited transactions that are not this last regard, any finding that a Board of Directors must review the otherwise exempt (and to promptly Goldman Sachs Affiliated QPAM has Audit Report for each Goldman Sachs correct any inadvertent prohibited complied with the requirements under QPAM and must certify in writing, transactions); and to comply with the this subparagraph must be based on under penalty of perjury, that such standards of prudence and loyalty set evidence that the particular Goldman officer has reviewed the Audit Report. forth in section 404 of ERISA with Sachs Affiliated QPAM has actually Notwithstanding the above, no person, respect to each such ERISA-covered implemented, maintained, and followed including any person referenced in the plan and IRA to the extent that section the Policies and Training required by Department of Justice’s Statement of 404 is applicable; this exemption, if granted. Furthermore, Facts that gave rise to the Plea (2) To indemnify and hold harmless the auditor must not solely rely on the Agreement, who knew of, or should the Covered Plan for any actual losses Exemption Report created by the have known of, or participated in, any resulting directly from: A Goldman Compliance Officer, as described in misconduct described in the Statement Sachs Affiliated QPAM’s violation of Section I(m) below, as the basis for the of Facts, by any party, may provide the ERISA’s fiduciary duties, as applicable, auditor’s conclusions in lieu of certification required by this exemption, and of the prohibited transaction independent determinations and testing unless such person took active provisions of ERISA and the Code, as performed by the auditor as required by documented steps to prohibit the applicable; a breach of contract by the Section I(i)(3) and (4) above; and misconduct; QPAM; or any claim arising out of the (ii) The adequacy of the Exemption (9) Each Goldman Sachs Affiliated failure of such Goldman Sachs Review described in Section I(m); QPAM provides its certified Audit Affiliated QPAM to qualify for the (6) The auditor must notify the Report, by regular mail to: Office of exemptive relief provided by PTE 84–14 respective Goldman Sachs Affiliated Exemption Determinations (OED), 200 as a result of a violation of Section I(g) QPAM of any instance of Constitution Avenue NW, Suite 400, of PTE 84–14, other than the Goldman noncompliance identified by the auditor Washington, DC 20210. This delivery Sachs Malaysia FCPA Conviction. This within five (5) business days after such must take place no later than 45 days condition applies only to actual losses noncompliance is identified by the following completion of the Audit caused by the Goldman Sachs Affiliated auditor, regardless of whether the audit Report. The Audit Reports will be made QPAM’s violations. has been completed as of that date; part of the public record regarding this (3) Not to require (or otherwise cause) (7) With respect to each Audit Report, five-year exemption. Furthermore, each the Covered Plan to waive, limit, or the general counsel or one of the three Goldman Sachs Affiliated QPAM must qualify the liability of the Goldman most senior executive officers of the make its Audit Reports unconditionally Sachs Affiliated QPAM for violating Goldman Sachs Affiliated QPAM to available, electronically or otherwise, ERISA or the Code or engaging in which the Audit Report applies, must for examination upon request by any prohibited transactions; certify in writing, under penalty of duly authorized employee or (4) Not to restrict the ability of such perjury, that the officer has reviewed the representative of the Department, other Covered Plan to terminate or withdraw Audit Report and this exemption, if relevant regulators, and any fiduciary of from its arrangement with the Goldman granted; that, to the best of such officer’s a Covered Plan; Sachs Affiliated QPAM with respect to knowledge at the time, the Goldman (10) Any engagement agreement with any investment in a separately managed Sachs Affiliated QPAM has addressed, an auditor to perform the audit required account or pooled fund subject to ERISA corrected, and remedied any by this exemption must be submitted to and managed by such QPAM, with the noncompliance and inadequacy or has OED no later than two months after the exception of reasonable restrictions, an appropriate written plan to address execution of such agreement; appropriately disclosed in advance, that any inadequacy regarding the Policies (11) The auditor must provide the are specifically designed to ensure and Training identified in the Audit Department, upon request, for equitable treatment of all investors in a Report. This certification must also inspection and review, access to all the pooled fund in the event such include the signatory’s determination workpapers created and used in withdrawal or termination may have that, to the best of the officer’s connection with the audit, provided adverse consequences for all other knowledge at the time, the Policies and such access and inspection is otherwise investors. In connection with any such Training in effect at the time of signing permitted by law; and arrangements involving investments in are adequate to ensure compliance with (12) Goldman or a Goldman Sachs pooled funds subject to ERISA entered the conditions of this exemption, if Affiliated QPAM must notify the into after the effective date of this granted, and with the applicable Department of a change in the exemption, the adverse consequences provisions of ERISA and the Code. independent auditor no later than two must relate to a lack of liquidity of the Notwithstanding the above, no person, months after the engagement of a underlying assets, valuation issues, or including any person referenced in the substitute or subsequent auditor and regulatory reasons that prevent the fund Department of Justice’s Statement of must provide an explanation for the from promptly redeeming an ERISA- Facts that gave rise to the Plea substitution or change including a covered plan’s or IRA’s investment, and Agreement, who knew of, or should description of any material disputes such restrictions must be applicable to have known of, or participated in, any involving the terminated auditor; all such investors and be effective no misconduct described in the Statement (j) As of the effective date of this five- longer than reasonably necessary to of Facts, by any party, may provide the year exemption, with respect to any avoid the adverse consequences;

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(5) Not to impose any fees, penalties, a Goldman Sachs Affiliated QPAM, or Audit Committee and a direct reporting or charges for such termination or the sponsor of an investment fund in line to the highest ranking corporate withdrawal with the exception of any case where a Goldman Sachs officer in charge of compliance for the reasonable fees, appropriately disclosed Affiliated QPAM acts as a sub-advisor to applicable Goldman Sachs Affiliated in advance, that are specifically the investment fund in which such QPAM; designed to prevent generally ERISA-covered plan and IRA invests. (2) With respect to the Exemption recognized abusive investment practices All Covered Plan clients that enter into Review, the following conditions must or specifically designed to ensure a written asset or investment be met: equitable treatment of all investors in a management agreement with a Goldman (i) The Exemption Review includes a pooled fund in the event such Sachs Affiliated QPAM after that date review of the Goldman Sachs Affiliated withdrawal or termination may have must receive a copy of the notice of the QPAMs’ compliance with and adverse consequences for all other exemption, the Summary, and the effectiveness of the Policies and investors, provided that such fees are Statement prior to, or Training and of the following: Any applied consistently and in a like contemporaneously with, the Covered compliance matter related to the manner to all such investors; and Plan’s receipt of a written asset or Policies or Training that was identified (6) Not to include exculpatory investment management agreement from by, or reported to, the Compliance provisions disclaiming or otherwise the Goldman Sachs Affiliated QPAM. Officer or the Audit Committee, during limiting liability of the Goldman Sachs The notices may be delivered the previous year; the most recent Audit Affiliated QPAM for a violation of such electronically (including by an email Report issued pursuant to this agreement’s terms. To the extent that has a link to the five-year exemption, if granted; any material consistent with Section 410 of ERISA, exemption); change in the relevant business however, this provision does not (l) The Goldman Sachs Affiliated activities of the Goldman Sachs prohibit disclaimers for liability caused QPAMs must comply with each Affiliated QPAMs; and any change to by an error, misrepresentation, or condition of PTE 84–14, as amended, ERISA, the Code, or regulations related misconduct of a plan fiduciary or other with the sole exception of the violation to fiduciary duties and the prohibited party hired by the plan fiduciary who is of Section I(g) of PTE 84–14 that is transaction provisions that may be independent of Goldman and its attributable to the Goldman Sachs applicable to the activities of the affiliates, or damages arising from acts Malaysia FCPA Conviction. If, during Goldman Sachs Affiliated QPAMs; outside the control of the Goldman the Exemption Period, an entity within (ii) The Compliance Officer prepares Sachs Affiliated QPAM; the Goldman corporate structure is a written report for the Exemption (7) Within four (4) months of the convicted of a crime described in Review (an Exemption Report) that (A) effective date of this five-year Section I(g) of PTE 84–14 (other than the summarizes his or her material activities exemption, each Goldman Sachs Goldman Sachs Malaysia FCPA during the prior year; (B) sets forth any Affiliated QPAM must provide a notice Conviction), relief in this exemption, if instance of noncompliance discovered of its obligations under this Section I(j) granted, would terminate immediately; during the prior year, and any related to each Covered Plan. For Covered Plans (m)(1) Within 60 days of the effective corrective action; (C) details any change that enter into a written asset or date of this exemption, Goldman must to the Policies or Training to guard investment management agreement with designate a senior compliance officer against any similar instance of a Goldman Sachs Affiliated QPAM on or (the Compliance Officer) who will be noncompliance occurring again; and (D) after the effective date of this responsible for compliance with the makes recommendations, as necessary, exemption, if granted, the Goldman Policies and Training requirements for additional training, procedures, Sachs Affiliated QPAM must agree to its described herein. Notwithstanding the monitoring, or additional and/or obligations under this Section I(j) in an above, no person, including any person changed processes or systems, and updated investment management referenced in the Department of Justice’s management’s actions on such agreement between the Goldman Sachs Statement of Facts that gave rise to the recommendations; Affiliated QPAM and such clients, or Plea Agreement, who knew of, or should (iii) In the Exemption Report, the other written contractual agreement. have known of, or participated in, any Compliance Officer must certify in Notwithstanding the above, a Goldman misconduct described in the Statement writing that to the best of his or her Sachs Affiliated QPAM will not violate of Facts, by any party, may be involved knowledge at the time: (A) The report is the condition solely because a Plan or with the designation or responsibilities accurate; (B) the Policies and Training IRA refuses to sign an updated required by this condition, unless the are working in a manner which is investment management agreement. person took active documented steps to reasonably designed to ensure that the (k) Within 60 days of the effective stop the misconduct. The Compliance Policies and Training requirements date of this five-year exemption, each Officer must conduct a review of each described herein are met; (C) any known Goldman Sachs Affiliated QPAM will twelve month period of the Exemption instance of noncompliance during the provide a Federal Register copy of the Period (the Exemption Review), to prior year and any related correction notice of the exemption, along with a determine the adequacy and taken to date have been identified in the separate summary describing the facts effectiveness of the implementation of Exemption Report; and (D) the Goldman that led to the Goldman Sachs Malaysia the Policies and Training. With respect Sachs Affiliated QPAMs have complied FCPA Conviction (the Summary), which to the Compliance Officer, the following with the Policies and Training, and/or has been submitted to the Department, conditions must be met: corrected (or are correcting) any known and a prominently displayed statement (i) The Compliance Officer must be a instances of noncompliance in (the Statement) that the Goldman Sachs professional who has extensive accordance with Section I(h) above; Malaysia FCPA Conviction results in a experience with, and knowledge of, the (iv) The Exemption Report must be failure to meet a condition in PTE 84– regulation of financial services and provided to appropriate corporate 14, to each sponsor and beneficial products, including under ERISA and officers of Goldman and Goldman Sachs owner of a Covered Plan that has the Code; and Affiliated QPAM to which such report entered into a written asset or (ii) The Compliance Officer must have relates, and to the head of compliance investment management agreement with a direct reporting line within Goldmans’ and the general counsel (or their

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functional equivalent) of the relevant QPAM’s written Policies developed in (c) The term ‘‘Goldman’’ means The Goldman Sachs Affiliated QPAM; and connection with this exemption. If the Goldman Sachs Group, Inc. the report must be made Policies are thereafter changed, each (d) The term ‘‘Goldman Sachs unconditionally available to the Covered Plan client must receive a new Affiliated QPAMs’’ means The Goldman independent auditor described in disclosure within six months following Sachs Trust Company, N.A.; Goldman Section I(i) above; the end of the calendar year during Sachs Bank USA; Goldman Sachs & Co. (v) The first Exemption Review, which the Policies were changed.20 LLC; Goldman Sachs Asset including the Compliance Officer’s With respect to this requirement, the Management, L.P.; Goldman Sachs written Exemption Report, must cover description may be continuously Asset Management International; the twelve month period beginning on maintained on a website, provided that Goldman Sachs Hedge Fund Strategies the date of the Goldman Sachs Malaysia such website link to the Policies or LLC; GS Investment Strategies, LLC; FCPA Conviction. The next four Summary Policies is clearly and GSAM Stable Value, LLC; The Ayco Exemption Reviews and Exemption prominently disclosed to each Covered Company, L.P.; Aptitude Investment Reports must each cover a twelve month Plan; and Management LP; Rocaton Investment period that begins on the date that (s) A Goldman Sachs Affiliated QPAM Advisors, LLC; United Capital Financial follows the end of a prior Exemption will not fail to meet the terms of this Advisers, LLC; and PFE Advisors, Inc., Review coverage period. Each Annual five-year exemption, if granted, solely and any future ‘‘affiliate’’ of Goldman Review, including the Compliance because a different Goldman Sachs (as defined in Part VI(d) of PTE 84–14) Officer’s written Annual Report, must Affiliated QPAM fails to satisfy a that qualifies as a ‘‘qualified be completed within three months condition for relief described in professional asset manager’’ (as defined following the end of the period to which Sections I(c), (d), (h), (i), (j), (k), (l), (p) in Section VI(a) of PTE 84–14) 21 and it relates; or (r); or if the independent auditor that relies on the relief provided by PTE (n) Goldman imposes its internal described in Section I(i) fails a provision 84–14. The term ‘‘Goldman Sachs procedures, controls, and protocols on of the exemption other than the Affiliated QPAMs’’ excludes Goldman Goldman Sachs Malaysia to reduce the requirement described in Section Sachs Malaysia. likelihood of any recurrence of conduct I(i)(11), provided that such failure did (e) The term ‘‘Goldman Sachs Related that is the subject of the Goldman Sachs not result from any actions or inactions QPAMs’’ means any current or future Malaysia FCPA Conviction; of Goldman. ‘‘qualified professional asset manager’’ (o) Goldman complies in all material Section II. Definitions (as defined in Section VI(a) of PTE 84– respects with the requirements imposed 14) that relies on the relief provided by by a U.S regulatory authority in (a) The term ‘‘Goldman Sachs PTE 84–14, and with respect to which connection with the Goldman Sachs Malaysia FCPA Conviction’’ means the Goldman Sachs Malaysia owns a direct Malaysia FCPA Conviction; judgment of conviction against Goldman or indirect five (5) percent or more (p) Each Goldman Sachs Affiliated Sachs Malaysia in connection with a interest, but with respect to which QPAM will maintain records necessary U.S. plea by Goldman Sachs Malaysia to Goldman Sachs Malaysia is not an to demonstrate that the conditions of one count of conspiracy to commit ‘‘affiliate’’ (as defined in section VI(d)(1) this exemption have been met for six offenses against the United States, in of PTE 84–14). The term ‘‘Goldman years following the date of any violation of Title 18, United States Sachs Related QPAMs’’ excludes transaction for which such Goldman Code, Section 371, that is, to violate the Goldman Sachs Malaysia. Sachs Affiliated QPAM relies upon the anti-bribery provisions of the Foreign (f) The term ‘‘Goldman Sachs relief in this exemption; Corrupt Practices Act of 1977, as Malaysia’’ means Goldman Sachs (q) During the Exemption Period, amended, see Title 15, United States (Malaysia) Sdn. Bhd. Goldman must: (1) Immediately disclose Code, Sections 78dd–1 and 78dd–3. (g) The term ‘‘Exemption Period’’ (b) The term ‘‘Covered Plan’’ means a to the Department any Deferred means the five-year period beginning on plan subject to Part IV of Title I of Prosecution Agreement (a DPA) or Non- the date Goldman Sachs Malaysia is ERISA (an ‘‘ERISA-covered plan’’) or a Prosecution Agreement (an NPA) with sentenced for one count of conspiracy to plan subject to section 4975 of the Code the U.S. Department of Justice, entered commit offenses against the United (an ‘‘IRA’’), in each case, with respect to into by The Goldman Sachs Group, Inc. States, in violation of Title 18, United which a Goldman Sachs Affiliated or any of its affiliates (as defined in States Code, Section 371, that is, to QPAM relies on PTE 84–14, or with Section VI(d) of PTE 84–14) in violate the anti-bribery provisions of the respect to which a Goldman Sachs connection with conduct described in Foreign Corrupt Practices Act of 1977, Affiliated QPAM (or any Goldman Section I(g) of PTE 84–14 or section 411 as amended, see Title 15, United States Sachs affiliate) has expressly of ERISA; and (2) immediately provide Code, Sections 78dd–1 and 78dd–3. the Department any information represented that the manager qualifies (h) The term ‘‘Plea Agreement’’ means requested by the Department, as as a QPAM or relies on the QPAM class the Plea Agreement entered into permitted by law, regarding the exemption (PTE 84–14). A Covered Plan between the United States of America, agreement and/or conduct and does not include an ERISA-covered plan by and through the United States allegations that led to the agreement; or IRA to the extent the Goldman Sachs Department of Justice, Criminal (r) Within 60 days of the effective date Affiliated QPAM has expressly Division, Fraud Section and Money of the five-year exemption, each disclaimed reliance on QPAM status or Laundering and Asset Recovery Section, Goldman Sachs Affiliated QPAM, in its PTE 84–14 in entering into a contract, and the United States Attorney’s Office agreements with, or in other written arrangement, or agreement with the disclosures provided to Covered Plans, ERISA-covered plan or IRA. 21 In general terms, a QPAM is an independent will clearly and prominently inform fiduciary that is a bank, savings and loan Covered Plan clients of their right to 20 In the event the Applicant meets this disclosure association, insurance company, or investment obtain a copy of the Policies or a requirement through Summary Policies, changes to adviser that meets certain equity or net worth the Policies shall not result in the requirement for requirements and other licensure requirements and description (Summary Policies) which a new disclosure unless, as a result of changes to that has acknowledged in a written management accurately summarizes key components the Policies, the Summary Policies are no longer agreement that it is a fiduciary with respect to each of the Goldman Sachs Affiliated accurate. plan that has retained the QPAM.

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for the Eastern District of New York and DEPARTMENT OF LABOR indicating that there is no Copy 5 of the Goldman Sachs (Malaysia) Sdn. Bhd. Cr. Certificate of Release or Discharge from No. 20–438 (MKB), filed October 21, Employment and Training Active Duty (DD Form 214) for an 2020. Administration individual under the social security (i) The term ‘‘Conviction Date’’ means number provided. A response from the Notice To Ensure State Workforce FCCC that indicates ‘‘no DD214 on file’’ the date that a judgment of conviction Agencies Are Aware of the Revised against Goldman Sachs (Malaysia) Sdn. will prompt the state to start the Schedule of Remuneration for the affidavit process and to use the attached Bhd., in Cr. No. 20–438 (MKB), is Unemployment Compensation for Ex- entered in the United States District schedule to calculate the Federal Servicemembers (UCX) Program That military wages for an unemployment Court for the Eastern District of New Reflects the Military Pay Increase York. insurance or UCX monetary Effective January 1, 2021 determination. The schedule applies to Effective Date: This exemption will be UCX ‘‘first claims’’ filed beginning with in effect for a period of five years AGENCY: Employment and Training Administration, Labor. the first day of the first week that begins beginning on the Conviction Date. on or after January 1, 2021. States must ACTION: Notice. Signed at Washington, DC, this 29th day of continue to use the 2020 schedule (or December, 2020. SUMMARY: Each year, the Department of other appropriate schedule) for UCX Christopher Motta, Defense issues a Schedule of ‘‘first claims’’ filed before the effective Chief, Division of Individual Exemptions, Remuneration used by states for UCX date of the revised schedule. Office of Exemption Determinations, purposes. States must use the schedule John Pallasch, Employee Benefits Security Administration, to determine Federal military wages for U.S. Department of Labor. Assistant Secretary for Employment and UCX ‘‘first claims’’ only when the Training, Labor. [FR Doc. 2020–29113 Filed 12–31–20; 8:45 am] Federal Claims Control Center (FCCC) BILLING CODE P responds to a request for information Attachment I 2021 FEDERAL SCHEDULE OF REMUNERATION [20 CFR 614.12(d)]

Weekly Daily Pay grade Monthly rate (7/30th) (1/30th)

1. Commissioned Officers: O–10 ...... 20,925.54 4,882.63 697.52 O–9 ...... 20,925.54 4,882.63 697.52 O–8 ...... 20,285.99 4,733.40 676.20 O–7 ...... 18,152.10 4,235.49 605.07 O–6 ...... 15,954.25 3,722.66 531.81 O–5 ...... 13,412.47 3,129.58 447.08 O–4 ...... 11,505.96 2,684.72 383.53 O–3 ...... 9,081.63 2,119.05 302.72 O–2 ...... 7,343.63 1,713.51 244.79 O–1 ...... 5,722.97 1,335.36 190.77 2. Commissioned Officers With Over 4 Years Active Duty As An Enlisted Member or Warrant Officer: O–3 E ...... 10,673.82 2,490.56 355.79 O–2 E ...... 8,761.23 2,044.29 292.04 O–1 E ...... 7,536.69 1,758.56 251.22 3. Warrant Officer: W–5 ...... 12,174.75 2,840.77 405.82 W–4 ...... 11,046.28 2,577.47 368.21 W–3 ...... 9,538.46 2,225.64 317.95 W–2 ...... 8,128.20 1,896.58 270.94 W–1 ...... 6,974.63 1,627.41 232.49 4. Enlisted Personnel: E–9 ...... 10,374.57 2,420.73 345.82 E–8 ...... 8,548.86 1,994.73 284.96 E–7 ...... 7,634.24 1,781.32 254.47 E–6 ...... 6,690.13 1,561.03 223.00 E–5 ...... 5,699.76 1,329.94 189.99 E–4 ...... 4,708.64 1,098.68 156.95 E–3 ...... 4,233.16 987.74 141.11 E–2 ...... 4,021.30 938.30 134.04 E–1 ...... 3,667.50 855.75 122.25 The Federal Schedule includes columns reflecting derived weekly and daily rates. This revised Federal Schedule of Remuneration is effective for UCX ‘‘first claims’’ filed beginning with the first day of the first week which begins on or after January 1, 2021, pursuant to 20 CFR 614.12(c).

[FR Doc. 2020–29140 Filed 12–30–20; 11:15 am] BILLING CODE 4510–FW–P

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DEPARTMENT OF LABOR demographic characteristics, types of consideration, and they will be services received, placements, summarized and included in the request Employment and Training outcomes, and follow-up status. for OMB approval of the final ICR. In Administration Specifically, these reports collect data order to help ensure appropriate on individuals who receive education, consideration, comments should Agency Information Collection occupational skill training, leadership mention OMB 1205–0464. Activities; Comment Request; development services, and other Submitted comments will also be a YouthBuild (YB) Reporting System services essential to preparing at-risk matter of public record for this ICR and youth for in-demand occupations ACTION: Notice. posted on the internet, without through YouthBuild programs. There redaction. DOL encourages commenters SUMMARY: The Department of Labor’s are no changes proposed for ETA–9136 not to include personally identifiable (DOL) Employment and Training and ETA–9138 in this ICR, and ETA information, confidential business data, Administration (ETA) is soliciting expects that these forms will sunset in or other sensitive statements/ comments concerning a proposed the next few years as new grantees shift information in any comments. to a new reporting system associated extension for the authority to conduct DOL is particularly interested in with a different information collection. the information collection request (ICR) comments that: The Work Site Description and Housing titled, ‘‘YouthBuild Reporting System.’’ • Census (ETA–9143) form collects Evaluate whether the proposed This comment request is part of collection of information is necessary continuing Departmental efforts to information about the proposed work sites for low-income or homeless for the proper performance of the reduce paperwork and respondent functions of the agency, including burden in accordance with the individuals or families where YouthBuild participants receive training whether the information will have Paperwork Reduction Act of 1995 practical utility; (PRA). and participate in construction skills activities. This form also collects • Evaluate the accuracy of the DATES: Consideration will be given to all information annually on the number of agency’s estimate of the burden of the written comments received by March 5, housing units that grantees build or proposed collection of information, 2021. renovate each year, which allows ETA including the validity of the ADDRESSES: A copy of this ICR with to demonstrate the annual increase in methodology and assumptions used; applicable supporting documentation, affordable housing supported by • Enhance the quality, utility, and including a description of the likely YouthBuild. ETA is proposing changes clarity of the information to be respondents, proposed frequency of to the ETA–9143 form based on collected; and response, and estimated total burden, YouthBuild grantee feedback to clarify • Minimize the burden of the may be obtained free by contacting the information requested for collection collection of information on those who Stephanie Pena by telephone at (202) and to provide improved instructions on are to respond, including through the 693–3153 (this is not a toll-free the form. use of appropriate automated, The accuracy, reliability, and number), TTY 1–877–889–5627 (this is electronic, mechanical, or other comparability of program reports not a toll-free number), or by email at technological collection techniques or submitted by grantees using Federal [email protected]. Submit other forms of information technology, funds are fundamental elements of good written comments regarding, or requests (e.g., permitting electronic submission public administration and are necessary for a copy of, this ICR by email: of responses). [email protected]; or by fax: tools for maintaining and demonstrating Agency: DOL–ETA. (202) 693–3113. system integrity. The use of a standard set of data elements, definitions, and Type of Review: REVISION. FOR FURTHER INFORMATION CONTACT: specifications at all levels of the Contact Stephanie Pena by telephone at Title of Collection: YOUTHBUILD workforce system helps improve the (202) 693–3153 (this is not a toll-free (YB) REPORTING SYSTEM. quality of performance information number) or by email at Form: ETA–9136, ETA–9138, ETA– submitted to ETA. The Workforce [email protected]. 9143. Innovation and Opportunity Act (29 OMB Control Number: 1205–0464. SUPPLEMENTARY INFORMATION: DOL, as U.S.C. 3101) authorizes this information part of continuing efforts to reduce collection. Affected Public: Grantees. paperwork and respondent burden, This information collection is subject Estimated Number of Respondents: conducts a pre-clearance consultation to the PRA. A Federal agency generally 6,853. program to provide the general public cannot conduct or sponsor a collection Frequency: Varies. and Federal agencies an opportunity to of information, and the public is Total Estimated Annual Responses: comment on proposed and/or generally not required to respond to an 7,490. continuing collections of information information collection, unless it is before submitting them to the Office of approved by OMB under the PRA and Estimated Average Time per Management and Budget (OMB) for final displays a currently valid OMB Control Response: 1.5 hours. approval. This program helps to ensure Number. In addition, notwithstanding Estimated Total Annual Burden requested data can be provided in the any other provisions of law, no person Hours: 24,449 hours. desired format, reporting burden (time shall generally be subject to penalty for Total Estimated Annual Other Cost and financial resources) is minimized, failing to comply with a collection of Burden: $174,636.20. collection instruments are clearly information that does not display a Authority: 44 U.S.C. 3506(c)(2)(A). understood, and the impact of collection valid Control Number. See 5 CFR requirements can be properly assessed. 1320.5(a) and 1320.6. John Pallasch, The YouthBuild legacy quarterly Interested parties are encouraged to Assistant Secretary for Employment and performance report (ETA–9136 and provide comments to the contact shown Training. ETA–9138) includes aggregate and in the ADDRESSES section. Comments [FR Doc. 2020–29011 Filed 12–31–20; 8:45 am] participant-level information on must be written to receive BILLING CODE 4510–FT–P

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NUCLEAR REGULATORY 415–1969), or by email at Tyesha.Bush@ and CP2021–66; MC2021–65 and COMMISSION nrc.gov. CP2021–67; MC2021–66 and CP2021– The NRC is holding the meetings 68. [NRC–2020–0001] under the authority of the Government Table of Contents Sunshine Act Meetings in the Sunshine Act, 5 U.S.C. 552b. I. Introduction Dated: December 30, 2020. II. Docketed Proceeding(s) TIME AND DATE: Weeks of January 4, 11, For the Nuclear Regulatory Commission. 18, 25, February 1, 8, 2021. Denise L. McGovern, I. Introduction PLACE: Commissioners’ Conference Policy Coordinator, Office of the Secretary. The Commission gives notice that the Room, 11555 Rockville Pike, Rockville, [FR Doc. 2020–29174 Filed 12–30–20; 4:15 pm] Postal Service filed request(s) for the Maryland. BILLING CODE 7590–01–P Commission to consider matters related STATUS: Public. to negotiated service agreement(s). The request(s) may propose the addition or Week of January 4, 2021 removal of a negotiated service POSTAL REGULATORY COMMISSION There are no meetings scheduled for agreement from the market dominant or the week of January 4, 2021. [Docket Nos. MC2021–54 and CP2021–56; the competitive product list, or the MC2021–55 and CP2021–57; MC2021–56 modification of an existing product Week of January 11, 2021—Tentative and CP2021–58; MC2021–57 and CP2021– currently appearing on the market There are no meetings scheduled for 59; MC2021–58 and CP2021–60; MC2021– dominant or the competitive product the week of January 11, 2021. 59 and CP2021–61; MC2021–60 and list. CP2021–62; MC2021–61 and CP2021–63; Section II identifies the docket Week of January 18, 2021—Tentative MC2021–62 and CP2021–64; MC2021–63 number(s) associated with each Postal There are no meetings scheduled for and CP2021–65; MC2021–64 and CP2021– 66; MC2021–65 and CP2021–67; MC2021– Service request, the title of each Postal the week of January 18, 2021. 66 and CP2021–68] Service request, the request’s acceptance date, and the authority cited by the Week of January 25, 2021—Tentative New Postal Products Postal Service for each request. For each There are no meetings scheduled for request, the Commission appoints an the week of January 25, 2021. AGENCY: Postal Regulatory Commission. officer of the Commission to represent ACTION: the interests of the general public in the Week of February 1, 2021—Tentative Notice. proceeding, pursuant to 39 U.S.C. 505 There are no meetings scheduled for SUMMARY: The Commission is noticing a (Public Representative). Section II also the week of February 1, 2021. recent Postal Service filing for the establishes comment deadline(s) Commission’s consideration concerning Week of February 8, 2021—Tentative pertaining to each request. a negotiated service agreement. This The public portions of the Postal There are no meetings scheduled for notice informs the public of the filing, Service’s request(s) can be accessed via the week of February 8, 2021. invites public comment, and takes other the Commission’s website (http:// CONTACT PERSON FOR MORE INFORMATION: administrative steps. www.prc.gov). Non-public portions of For more information or to verify the DATES: Comments are due: January 6, the Postal Service’s request(s), if any, status of meetings, contact Denise 2021, January 7, 2021, and January 8, can be accessed through compliance McGovern at 301–415–0681 or via email 2021. with the requirements of 39 CFR 3011.301.1 at [email protected]. The ADDRESSES: Submit comments schedule for Commission meetings is The Commission invites comments on electronically via the Commission’s whether the Postal Service’s request(s) subject to change on short notice. Filing Online system at http:// The NRC Commission Meeting in the captioned docket(s) are consistent www.prc.gov. Those who cannot submit with the policies of title 39. For Schedule can be found on the internet comments electronically should contact at: https://www.nrc.gov/public-involve/ request(s) that the Postal Service states the person identified in the FOR FURTHER concern market dominant product(s), public-meetings/schedule.html. INFORMATION CONTACT section by The NRC provides reasonable applicable statutory and regulatory telephone for advice on filing requirements include 39 U.S.C. 3622, 39 accommodation to individuals with alternatives. disabilities where appropriate. If you U.S.C. 3642, 39 CFR part 3030, and 39 need a reasonable accommodation to FOR FURTHER INFORMATION CONTACT: CFR part 3040, subpart B. For request(s) participate in these public meetings or David A. Trissell, General Counsel, at that the Postal Service states concern need this meeting notice or the 202–789–6820. competitive product(s), applicable transcript or other information from the SUPPLEMENTARY INFORMATION: The statutory and regulatory requirements public meetings in another format (e.g., January 6, 2021 comment due date include 39 U.S.C. 3632, 39 U.S.C. 3633, braille, large print), please notify Anne applies to Docket Nos. MC2021–54 and 39 U.S.C. 3642, 39 CFR part 3035, and Silk, NRC Disability Program Specialist, CP2021–56; MC2021–55 and CP2021– 39 CFR part 3040, subpart B. Comment at 301–287–0745, by videophone at 57; MC2021–56 and CP2021–58; deadline(s) for each request appear in 240–428–3217, or by email at MC2021–57 and CP2021–59; MC2021– section II. [email protected]. Determinations on 58 and CP2021–60. 1. Docket No(s).: MC2021–54 and requests for reasonable accommodation The January 7, 2021 comment due CP2021–56; Filing Title: USPS Request will be made on a case-by-case basis. date applies to Docket Nos. MC2021–59 to Add International Priority Airmail, Members of the public may request to and CP2021–61; MC2021–60 and International Surface Air Lift, receive this information electronically. CP2021–62; MC2021–61 and CP2021– Commercial ePacket, Priority Mail If you would like to be added to the 63; MC2021–62 and CP2021–64; 1 See Docket No. RM2018–3, Order Adopting distribution, please contact the Nuclear MC2021–63 and CP2021–65. Final Rules Relating to Non-Public Information, Regulatory Commission, Office of the The January 8, 2021 comment due June 27, 2018, Attachment A at 19–22 (Order No. Secretary, Washington, DC 20555 (301– date applies to Docket Nos. MC2021–64 4679).

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Express International, Priority Mail 3040.135, and 39 CFR 3035.105; Public 3040.130 through 3040.135, and 39 CFR International & First-Class Package Representative: Matthew R. Ashford; 3035.105; Public Representative: Katalin International Service Contract 2 to Comments Due: January 7, 2021. K. Clendenin; Comments Due: January Competitive Product List and Notice of 7. Docket No(s).: MC2021–60 and 8, 2021. Filing Materials Filed Under Seal; Filing CP2021–62; Filing Title: USPS Request 13. Docket No(s).: MC2021–66 and Acceptance Date: December 28, 2020; to Add Priority Mail Express & Priority CP2021–68; Filing Title: USPS Request Filing Authority: 39 U.S.C. 3642, 39 CFR Mail Contract 122 to Competitive to Add Priority Mail Express, Priority Product List and Notice of Filing 3040.130 through 3040.135, and 39 CFR Mail, First-Class Package Service & Materials Under Seal; Filing Acceptance 3035.105; Public Representative: Parcel Select Contract 8 to Competitive Date: December 28, 2020; Filing Gregory Stanton; Comments Due: Product List and Notice of Filing Authority: 39 U.S.C. 3642, 39 CFR January 6, 2021. Materials Under Seal; Filing Acceptance 2. Docket No(s).: MC2021–55 and 3040.130 through 3040.135, and 39 CFR Date: December 28, 2020; Filing CP2021–57; Filing Title: USPS Request 3035.105; Public Representative: Authority: 39 U.S.C. 3642, 39 CFR to Add International Priority Airmail, Lyudmila Y. Bzhilyanskaya; Comments 3040.130 through 3040.135, and 39 CFR Commercial ePacket, Priority Mail Due: January 7, 2021. 3035.105; Public Representative: Katalin Express International, Priority Mail 8. Docket No(s).: MC2021–61 and K. Clendenin; Comments Due: January International & First-Class Package CP2021–63; Filing Title: USPS Request International Service Contract 10 to to Add Priority Mail & First-Class 8, 2021. Competitive Product List and Notice of Package Service Contract 187 to This Notice will be published in the Filing Materials Filed Under Seal; Filing Competitive Product List and Notice of Federal Register. Acceptance Date: December 28, 2020; Filing Materials Under Seal; Filing Erica A. Barker, Filing Authority: 39 U.S.C. 3642, 39 CFR Acceptance Date: December 28, 2020; 3040.130 through 3040.135, and 39 CFR Filing Authority: 39 U.S.C. 3642, 39 CFR Secretary. 3035.105; Public Representative: 3040.130 through 3040.135, and 39 CFR [FR Doc. 2020–29080 Filed 12–31–20; 8:45 am] Gregory Stanton; Comments Due: 3035.105; Public Representative: BILLING CODE 7710–FW–P January 6, 2021. Jennaca D. Upperman; Comments Due: 3. Docket No(s).: MC2021–56 and January 7, 2021. CP2021–58; Filing Title: USPS Request 9. Docket No(s).: MC2021–62 and to Add Priority Mail & Parcel Select CP2021–64; Filing Title: USPS Request POSTAL SERVICE Contract 5 to Competitive Product List to Add Priority Mail & First-Class and Notice of Filing Materials Under Package Service Contract 188 to International Product Change— Seal; Filing Acceptance Date: December Competitive Product List and Notice of International Priority Airmail, 28, 2020; Filing Authority: 39 U.S.C. Filing Materials Under Seal; Filing Commercial ePacket, Priority Mail 3642, 39 CFR 3040.130 through Acceptance Date: December 28, 2020; Express International, Priority Mail 3040.135, and 39 CFR 3035.105; Public Filing Authority: 39 U.S.C. 3642, 39 CFR International & First-Class Package Representative: Matthew R. Ashford; 3040.130 through 3040.135, and 39 CFR International Service Agreement: Comments Due: January 6, 2021. 3035.105; Public Representative: Postal ServiceTM 4. Docket No(s).: MC2021–57 and Jennaca D. Upperman; Comments Due: CP2021–59; Filing Title: USPS Request January 7, 2021. ACTION: Notice. to Add Priority Mail & First-Class 10. Docket No(s).: MC2021–63 and Package Service Contract 186 to CP2021–65; Filing Title: USPS Request SUMMARY: The Postal Service gives Competitive Product List and Notice of to Add Parcel Select Contract 46 to notice of filing a request with the Postal Filing Materials Under Seal; Filing Competitive Product List and Notice of Regulatory Commission to add an Acceptance Date: December 28, 2020; Filing Materials Under Seal; Filing International Priority Airmail, Filing Authority: 39 U.S.C. 3642, 39 CFR Acceptance Date: December 28, 2020; Commercial ePacket, Priority Mail 3040.130 through 3040.135, and 39 CFR Filing Authority: 39 U.S.C. 3642, 39 CFR Express International, Priority Mail 3035.105; Public Representative: 3040.130 through 3040.135, and 39 CFR International & First-Class Package Jennaca D. Upperman; Comments Due: 3035.105; Public Representative: International Service contract to the list January 6, 2021. Lyudmila Y. Bzhilyanskaya; Comments of Negotiated Service Agreements in the 5. Docket No(s).: MC2021–58 and Due: January 7, 2021. Competitive Product List in the Mail CP2021–60; Filing Title: USPS Request 11. Docket No(s).: MC2021–64 and Classification Schedule. to Add Priority Mail Contract 686 to CP2021–66; Filing Title: USPS Request Competitive Product List and Notice of to Add Priority Mail Contract 687 to DATES: Date of notice: January 4, 2021. Filing Materials Under Seal; Filing Competitive Product List and Notice of FOR FURTHER INFORMATION CONTACT: Acceptance Date: December 28, 2020; Filing Materials Under Seal; Filing Christopher C. Meyerson, (202) 268– Filing Authority: 39 U.S.C. 3642, 39 CFR Acceptance Date: December 28, 2020; 7820. 3040.130 through 3040.135, and 39 CFR Filing Authority: 39 U.S.C. 3642, 39 CFR 3035.105; Public Representative: 3040.130 through 3040.135, and 39 CFR SUPPLEMENTARY INFORMATION: The Christopher C. Mohr; Comments Due: 3035.105; Public Representative: United States Postal Service® hereby January 6, 2021. Christopher C. Mohr; Comments Due: gives notice that, pursuant to 39 U.S.C. 6. Docket No(s).: MC2021–59 and January 8, 2021. 3642 and 3632(b)(3), on December 28, CP2021–61; Filing Title: USPS Request 12. Docket No(s).: MC2021–65 and 2020, it filed with the Postal Regulatory to Add Priority Mail Express, Priority CP2021–67; Filing Title: USPS Request Commission a USPS Request to Add Mail & First-Class Package Service to Add Priority Mail & First-Class International Priority Airmail, Contract 73 to Competitive Product List Package Service Contract 189 to Commercial ePacket, Priority Mail and Notice of Filing Materials Under Competitive Product List and Notice of Express International, Priority Mail Seal; Filing Acceptance Date: December Filing Materials Under Seal; Filing International & First-Class Package 28, 2020; Filing Authority: 39 U.S.C. Acceptance Date: December 28, 2020; International Service Contract 10 to 3642, 39 CFR 3040.130 through Filing Authority: 39 U.S.C. 3642, 39 CFR Competitive Product List. Documents

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are available at www.prc.gov, Docket SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s Nos. MC2021–55 and CP2021–57. COMMISSION Statement of the Purpose of, and the Statutory Basis for, the Proposed Rule Joshua J. Hofer, [Release No. 34–90803; File No. SR–NYSE– Change Attorney, Federal Compliance. 2020–85] 1. Purpose [FR Doc. 2020–29035 Filed 12–31–20; 8:45 am] Paragraphs (b) and (c) of Sections BILLING CODE 7710–12–P Self-Regulatory Organizations; New 312.03 of the Manual require listed York Stock Exchange LLC; Notice of companies to obtain shareholder Filing of Proposed Rule Change To POSTAL SERVICE approval prior to certain kinds of equity Amend the NYSE Listed Company issuances. The Exchange believes that Manual To Revise the Shareholder International Product Change— these requirements can make it Approval Requirements in Sections International Priority Airmail, unnecessarily difficult for listed 312.03 and 312.04 and the International Surface Air Lift, companies to raise necessary capital in Requirements for Related Party Commercial ePacket, Priority Mail private placement transactions that are Transactions in Section 314.00 Express International, Priority Mail in the interests of the company and its shareholders. Consequently, the International & First-Class Package December 28, 2020. International Service Agreement: Exchange proposes to modify these Pursuant to Section 19(b)(1) 1 of the Postal ServiceTM provisions, bringing its shareholder Securities Exchange Act of 1934 (the approval requirements into closer ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 alignment with those of Nasdaq and ACTION: Notice. notice is hereby given that, on December NYSE American,4 by providing listed 16, 2020, New York Stock Exchange companies with flexibility that exists SUMMARY: The Postal Service gives LLC (‘‘NYSE’’ or the ‘‘Exchange’’) filed under the rules of those other listing notice of filing a request with the Postal with the Securities and Exchange markets. The Exchange has waived Regulatory Commission to add an Commission (the ‘‘Commission’’) the certain requirements under Section International Priority Airmail, proposed rule change as described in 312.03 to provide listed companies with International Surface Air Lift, greater flexibility to raise capital during Items I, II, and III below, which Items Commercial ePacket, Priority Mail the COVID–19 crisis.5 Among other have been prepared by the self- Express International, Priority Mail things, the current proposal includes regulatory organization. The International & First-Class Package amendments that are identical in effect Commission is publishing this notice to International Service contract to the list to the current waiver. The Exchange has solicit comments on the proposed rule of Negotiated Service Agreements in the observed that a significant number of change from interested persons. Competitive Product List in the Mail companies have benefited from the Classification Schedule. I. Self-Regulatory Organization’s flexibility provided by the waiver and Statement of the Terms of Substance of has not observed any significant DATES: Date of notice: January 4, 2021. the Proposed Rule Change problems associated with companies’ FOR FURTHER INFORMATION CONTACT: completion of transactions permitted by the waiver. Christopher C. Meyerson, (202) 268– The Exchange proposes to amend 7820. Sections 312.03, 312.04 and 314.00 of Proposed Amendments to Section the NYSE Listed Company Manual 312.03(b) SUPPLEMENTARY INFORMATION: The (‘‘Manual’’). The proposed rule change Subject to an exception for early stage United States Postal Service® hereby is available on the Exchange’s website at companies set forth therein, Section gives notice that, pursuant to 39 U.S.C. www.nyse.com, at the principal office of 312.03(b) of the Manual requires 3642 and 3632(b)(3), on December 28, the Exchange, and at the Commission’s shareholder approval of certain 2020, it filed with the Postal Regulatory Public Reference Room. issuances of common stock, or securities Commission a USPS Request to Add II. Self-Regulatory Organization’s convertible into or exercisable for International Priority Airmail, Statement of the Purpose of, and common stock, to: International Surface Air Lift, • A director, officer or substantial Statutory Basis for, the Proposed Rule Commercial ePacket, Priority Mail security holder 6 of the company (each Change Express International, Priority Mail International & First-Class Package In its filing with the Commission, the 4 See Nasdaq Marketplace Rule 5635 and NYSE International Service Contract 2 to American Company Guide Sections 712 and 713. self-regulatory organization included 5 See Securities Exchange Act Release No. 34– Competitive Product List. Documents statements concerning the purpose of, 88572 (April 6, 2020); 85 FR 20323 (April 10, 2020) are available at www.prc.gov, Docket and basis for, the proposed rule change (SR–NYSE–2020–30). (waiving certain requirements Nos. MC2021–54 and CP2021–56. and discussed any comments it received of Section 312.03 through June 30, 2020). See also Securities Exchange Act Release No. 89219 (July 2, Joshua J. Hofer, on the proposed rule change. The text 2020); 85 FR 41640 (July 10, 2020) (SR–NYSE– of those statements may be examined at 2020–58) (extending the waiver through September Attorney, Federal Compliance. the places specified in Item IV below. 30, 2020). See also Securities Exchange Act Release [FR Doc. 2020–29032 Filed 12–31–20; 8:45 am] No. 90020 (September 28, 2020); 85 FR 62357 The Exchange has prepared summaries, (October 2, 2020) (SR–NYSE–2020–79) (extending BILLING CODE 7710–12–P set forth in sections A, B, and C below, the waiver through December 31, 2020). of the most significant parts of such 6 For purposes of Section 312.03, Section statements. 312.04(e) provides that: ‘‘[a]n interest consisting of less than either five percent of the number of shares of common stock or five percent of the voting power outstanding of a company or entity shall not be 1 15 U.S.C. 78s(b)(1). considered a substantial interest or cause the holder 2 15 U.S.C. 78a. of such an interest to be regarded as a substantial 3 17 CFR 240.19b–4. security holder.’’

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a ‘‘Related Party’’ for purposes of and NYSE American, as both of those • The Exchange proposes to delete Section 312.03(b)); markets focus their shareholder from Section 312.03(b) two provisions • a subsidiary, affiliate, or other approval requirements solely on the that will no longer be relevant as they closely related person of a Related Party; regulation of the Related Parties relate to transactions that benefit from or themselves and not on closely related exemptions from shareholder approval • Any company or entity in which a persons of Related Parties. under current Section 312.03(b), but Related Party has a substantial direct or • As proposed to be amended, would be exempt from shareholder indirect interest. Section 312.03(b) would require approval under the general application This prior shareholder approval is shareholder approval of cash sales to of Section 312.03(b) as proposed to be required if the number of shares of Related Parties (as such term is defined amended. These provisions relate to: (i) common stock to be issued, or if the in Section 312.03(b)) only if the price is Cash sales meeting the Minimum Price number of shares of common stock into less than the Minimum Price. test and relating to no more than 5% of which the securities may be convertible Accordingly, Section 312.03(b) would the number of shares of common stock or exercisable, exceeds either 1% of the no longer require shareholder approval or 5% of the voting power outstanding number of shares of common stock or of issuances in a cash sale that meet the before the issuance to a Related Party 1% of the voting power outstanding Minimum Price requirement to a where the Related Party involved in the before the issuance. A limited exception Related Party where the number of transaction is classified as such solely to these shareholder approval shares of common stock to be issued, or because such person is a substantial requirements permits cash sales relating the number of shares of common stock security holder; and (ii) the Early Stage to no more than 5% of the number of into which the securities may be Company exemption, to which the shares of common stock or voting power convertible or exercisable, exceeds Exchange proposes to remove the outstanding that meet a Minimum Price either 5% of the number of shares of reference from Section 312.04 as it will test set forth in the rule (the ‘‘Minimum common stock or 5% of the voting no longer be needed. For the same Price’’).7 However, this exception may power outstanding before the issuance. reason, the Exchange proposes to delete only be used if the Related Party in However, cash sales to Related Parties from Section 312.03(b) a sentence that question has Related Party status solely that meet the Minimum Price provides that the Early Stage Company because it is a substantial security requirement would be subject to the exemption is not applicable to a sale of holder of the company. same limitations as cash sales to all securities by the listed company to any The Exchange proposes to amend other investors under the proposed person subject to the provisions of Section 312.03(b) in several respects. amended Section 312.03(c), as described Section 312.03(b) in a transaction, or • The Exchange proposes to modify below. In addition, cash sales relating to series of transactions, whose proceeds the class of persons with respect to more than 1% of the issuer’s common will be used to fund an acquisition of which an issuance of common stock stock or voting power prior to the stock or assets of another company would require a listed company to seek issuance to a Related Party for prices where such person has a direct or shareholder approval. Specifically, below the Minimum Price will continue indirect interest in the company or assets to be acquired or in the Section 312.03(b) as amended would to be subject to shareholder approval consideration to be paid for such require prior shareholder approval for under Section 312.03(b) (this issuances of common stock to directors, acquisition. requirement is not included in the The Exchange notes that Section officers, and substantial securityholders Nasdaq or NYSE American rules). 312.03(b) would continue to include (‘‘Related Party’’) and would no longer • The Exchange proposes to require text stating that any sale of stock to an require such approval for issuances to shareholder approval of any transaction employee, director or service provider is such Related Parties’ subsidiaries, or series of related transactions in which also subject to the equity compensation affiliates or other closely related persons any Related Party has a 5% or greater rules in Section 303A.08 of the Manual or to entities in which a Related Party interest (or such persons collectively and stating that shareholder approval is has a substantial interest (except where have a 10% or greater interest), directly required if any of the subparagraphs of a Related Party has a 5% or greater or indirectly, in the company or assets Section 312.03 require such approval, interest in the counterparty, as to be acquired or in the consideration to notwithstanding that the transaction described below). In making this be paid in the transaction and the does not require approval under Section change, the Exchange is harmonizing its present or potential issuance of common 312.03(b) or one or more of the other approach to the regulation of issuances stock, or securities convertible into subparagraphs. to related parties with that of Nasdaq common stock, could result in an There would continue to be other increase in outstanding common shares significant protections for shareholders 7 Section 312.04(i) defines the ‘‘Minimum Price’’ of 5% or more. This proposed provision as follows: ‘‘Minimum Price’’ means a price that is with respect to a company’s sales of the lower of: (i) The Official Closing Price is substantively identical to the only securities. Firstly, Section 314.00 of the immediately preceding the signing of the binding limitation placed specifically on Manual in its proposed amended form agreement; or (ii) the average Official Closing Price issuances to related parties in the will provide that transactions with for the five trading days immediately preceding the Nasdaq and NYSE American rules. The related parties, such as those in which signing of the binding agreement. Section 312.04(j) defines ‘‘Official Closing Price’’ Exchange would also continue to a director, officer or substantial as follows: ‘‘Official Closing Price’’ of the issuer’s require shareholder approval of any sale securityholder has an interest, must be common stock means the official closing price on of securities by a listed company to a reviewed and approved by the the Exchange as reported to the Consolidated Tape Related Party in a transaction, or series company’s audit committee or another immediately preceding the signing of a binding of transactions, whose proceeds will be agreement to issue the securities. For example, if body of independent directors. the transaction is signed after the close of the used to fund an acquisition of stock or Furthermore, there are other significant regular session at 4:00 p.m. Eastern Standard Time assets of another company where such protections under other paragraphs of on a Tuesday, then Tuesday’s official closing price Related Party has a direct or indirect Section 312.03, including a requirement is used. If the transaction is signed at any time interest in the company or assets to be of shareholder approval for any sale for between the close of the regular session on Monday and the close of the regular session on Tuesday, acquired or in the consideration to be less than the Minimum Price relating to then Monday’s official closing price is used. paid for such acquisition. 20% or more of the issuer’s outstanding

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common stock or voting power prior to purchasers, acquires, or has the right to The proposed amendments would such issuance. This requirement means acquire upon exercise or conversion of make the Exchange’s rules for cash sales that any economically dilutive the securities, more than 5% of the of securities that meet the Minimum transaction would be subject to shares of the issuer’s common stock or Price test substantively identical to shareholder approval. In addition, any more than five percent of the issuer’s those of Nasdaq and NYSE American related party sale that gives rise to a voting power before the sale. and the Exchange believes that the long change of control would be subject to The Exchange proposes to replace the experience of those other markets in shareholder approval under Section reference to ‘‘bona fide private applying those substantially identical 312.03(d). financing’’ in Section 312.03(c) with rules provides evidence that they The Exchange believes that the ‘‘other financing (that is not a public provide an appropriate level of investor continuation of the important offering for cash) in which the company protection. limitations with respect to related party is selling securities for cash.’’ This issuances as described above (including change would eliminate the 5% limit for Deletion of Section 312.03T the review of such transactions under any single purchaser participating in a Section 312.03T was adopted to Section 314.00 and the continued transaction relying on the exemption.8 provide temporary relief from certain of application of the shareholder approval In addition, as any sale to a broker- the requirements of Section 312.03 requirements with respect to equity dealer under the current Bona Fide during the COVID–19 pandemic. compensation set forth in Section Private Financing exception would also Section 312.03T was applicable by its 303A.08) would continue to provide qualify for an exception to shareholder terms through June 30, 2020. As that shareholders of NYSE listed companies approval under the proposed amended date has passed, the Exchange now with protections in relation to issuances exemption, there is no need to retain a proposes to delete Section 312.03T in its to related parties (including Related separate provision for sales made to entirety, as it is no longer applicable. Parties as such term is defined in broker-dealers. The Exchange also Amendment to Section 314.00 Section 312.03(b) In particular, the proposes to amend Section 312.03(c) to Exchange notes that the continued provide that, if any of the proceeds of In its current form, Section 314.00 shareholder approval requirement for such a financing will be paid in an provides that related party transactions cash sales to Related Parties relating to acquisition and the securities generating normally include transactions between more than 1% of the company’s such proceeds when combined with any officers, directors, and principal outstanding common stock that do not securities issued in connection with shareholders and the company and that meet the Minimum Price requirement is such acquisition exceed either 20% of each related party transaction is to be an important protection not provided by the number of shares of common stock reviewed and evaluated by an the Nasdaq or NYSE American rules. or 20% of the voting power outstanding appropriate group within the listed The proposed amendments would make before the issuance, then shareholder company involved. The current rule the Exchange’s rules for cash sales to approval is required. Finally, as the further states that, while the Exchange related parties substantively identical to Bona Fide Private Financing term will does not specify who should review those of Nasdaq and NYSE American for no longer be used in Section 312.03(c), related party transactions, the Exchange issuances that meet the Minimum Price the Exchange proposes to delete the believes that the Audit Committee or test and the Exchange believes that the definition of that term in Section another comparable body might be long experience of those other markets 312.04(g). considered as an appropriate forum for in applying those substantially identical The Exchange notes that the proposed this task. rules provides evidence that they amendments to Section 312.03(c) do not The Exchange proposes to amend the 9 provide an appropriate level of investor change the rule as it relates to issuances first paragraph of Section 314.00. The protection. in non-cash transactions or in cash proposed new rule text strengthens the rule in two important respects: transactions for a price below the • Proposed Amendments to Section Minimum Price. Instead, in replacing For purposes of Section 314.00, the 312.03(c) the Bona Fide Private Financing term ‘‘related party transaction’’ refers Section 312.03(c) of the Manual exception with the revised exemption to transactions required to be disclosed requires shareholder approval of any described in the immediately preceding pursuant to Item 404 of Regulation S– transaction relating to 20% or more of paragraph, the proposed amendment K under the Securities Exchange Act. In the company’s outstanding common would only remove a limitation in the the case of foreign private issuers, the stock or 20% of the voting power Bona Fide Private Financing exception term ‘‘related party transactions’’ refers outstanding before such issuance, but that limits the participation of any to transactions required to be disclosed pursuant to Form 20–F, Item 7.B. provides the following exceptions: (1) single investor in a Minimum Price cash • Any public offering for cash; (2) any sale of more than 5% of the shares or Related party transactions under the bona fide private financing involving a voting power. The Exchange believes rule as amended must be reviewed by cash sale of the company’s securities that this change is consistent with the either the company’s audit committee or that comply with the Minimum Price protection of investors because the another independent body of the board requirement. As set forth in Section Minimum Price requirement protects of directors and the audit committee or 312.04(g), a ‘‘bona fide private against a sale using the exception such other body may prohibit such a financing’’ (‘‘Bona Fide Private resulting in economic dilution. Further, transaction if it determines it to be Financing’’) refers to a sale in which the separately applicable requirements 9 either: of Section 312.03(d) require that the The Second paragraph of Section 314.00 will be • retained in its entirety. It reads as follows: A registered broker-dealer shareholders approve any transaction The Exchange will continue to review proxy purchases the securities from the issuer that would result in a change of control. statements and other SEC filings disclosing related with a view to the private sale of such party transactions and where such situations securities to one or more purchasers; or 8 While the proposed amended exemption would continue year after year, the Exchange will remind • the issuer sells the securities to not limit the size of any transaction that meets the the listed company of its obligation, on a continuing Minimum Price test, any such transaction giving basis, to evaluate each related party transaction and multiple purchasers, and no one such rise to a change of control will be subject to determine whether or not it should be permitted to purchaser, or group of related shareholder approval under Section 312.03(d). continue.

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inconsistent with the interests of the smaller separate transactions that would test substantively identical to those of company.10 not individually require shareholder Nasdaq and NYSE American and the approval. In addition, any related party Exchange believes that the long 2. Statutory Basis sale that gives rise to a change of control experience of those other markets in The proposed rule change is will be subject to shareholder approval applying those substantially identical consistent with Section 6(b) of the under Section 312.03(d). The Exchange rules provides evidence that they Act,11 in general, and furthers the believes that the continuation of the provide an appropriate level of investor objectives of Section 6(b)(5) of the Act,12 important limitations with respect to protection. in particular, in that it is designed to related party issuances as described The Exchange believes that the prevent fraudulent and manipulative above (including the review of such proposed amendments to Section 314.00 acts and practices, to promote just and transactions under Section 314.00 and are also designed to protect the public equitable principles of trade, to foster the continued application of the interest and the interests of investors. cooperation and coordination with shareholder approval requirements with By proposing to use the definition of a persons engaged in facilitating respect to equity compensation set forth related party transaction in SEC transactions in securities, to remove in Section 303A.08) would continue to disclosure rules, the Exchange is impediments to and perfect the provide shareholders of NYSE listed providing greater clarity to both issuers mechanism of a free and open market companies with protections in relation and investors as to when the rule must and a national market system, and, in to issuances to related parties (including be applied. By proposing to require that general, to protect the public interest Related Parties as such term is defined transactions subject to the rule must be and the interests of investors, and in Section 312.03(b)). In particular, the reviewed and approved by either the because it is not designed to permit Exchange notes that the continued audit committee or another body of unfair discrimination between shareholder approval requirement for independent directors, the Exchange is customers, issuers, brokers, or dealers. cash sales to Related Parties that relate making the requirement more explicit The Exchange believes that the to more than 1% of the company’s and preventing any listed issuer from proposed amendments to Section outstanding common stock or voting giving that role to any group that is not 312.03(b) are designed to protect the power and do not meet the Minimum entirely made up of independent public interest and the interests of Price requirement is an important directors. investors because there would continue protection not provided by the Nasdaq to be other significant protections for B. Self-Regulatory Organization’s or NYSE American rules. The proposed shareholders with respect to sales of Statement on Burden on Competition amendments would make the securities to related parties. Firstly, Exchange’s rules for cash sales to related The Exchange does not believe that Section 314.00 of the Manual, as parties substantively identical to those the proposed rule change would impose proposed to be amended, will provide of Nasdaq and NYSE American for any burden on competition that is not that related party transactions, such as issuances that meet the Minimum Price necessary or appropriate in furtherance those in which a director, officer or test and the Exchange believes that the of the purposes of the Act. The substantial securityholder has an long experience of those other markets proposed rule changes will conform the interest, are required to be reviewed and in applying those substantially identical shareholder approval requirements of approved by the issuer’s audit rules provides evidence that they the NYSE to those of Nasdaq and NYSE committee or another group of provide an appropriate level of investor American in certain respects and independent directors. Furthermore, protection. therefore enhances competition among there are other significant protections listing exchanges. As all listed The Exchange believes that the under other paragraphs of Section companies will be subject to the same proposed amendments to Section 312.03, including any sale relating to shareholder approval and related party 312.03(c) are also designed to protect 20% or more of the issuer’s common transaction approval requirements, the the public interest and the interests of stock or voting power immediately proposal does not impose any burden investors. The Exchange notes that the preceding this issuance for less than the on competition among listed issuers. Minimum Price. This requirement proposed amendments to Section means that any economically dilutive 312.03(c) do not change the rule as it C. Self-Regulatory Organization’s transaction would be subject to relates to issuances in non-cash Statement on Comments on the shareholder approval. The Exchange transactions or to cash transactions for Proposed Rule Change Received From notes that Section 312.03(c) applies to a price below the Minimum Price. The Members, Participants, or Others any transaction or series of related sole purpose of the amendment is to No written comments were solicited transactions, which provides remove an arbitrary limitation in the or received with respect to the proposed shareholders with further protection by Bona Fide Private Financing exception rule change. ensuring that a company cannot avoid that limits the participation of any III. Date of Effectiveness of the the shareholder approval requirement single investor in a Minimum Price cash Proposed Rule Change and Timing for by separating an overall transaction into sale to 5%. The Exchange believes that this change is consistent with the Commission Action 10 The Exchange proposes to delete from Section protection of investors because the Within 45 days of the date of 314.00 a sentence that reads as follows: ‘‘Following Minimum Price requirement provides publication of this notice in the Federal the review, the company should determine whether protection against economic dilution, Register or up to 90 days (i) as the or not a particular relationship serves the best interests of the company and its shareholders and while the separately applicable Commission may designate if it finds whether the relationship should be continued or requirements of Section 312.03(d) such longer period to be appropriate eliminated.’’ This sentence is no longer necessary, provide that shareholders will have a and publishes its reasons for so finding as the proposed amended rule gives the audit vote on any transaction that would or (ii) as to which the self-regulatory committee or other independent body of the board the authority to prohibit any related party result in a change of control. The organization consents, the Commission transaction it reviews. proposed amendments would also make will: 11 15 U.S.C. 78f(b). the Exchange’s rules for cash sales of (A) By order approve or disapprove 12 15 U.S.C. 78f(b)(5). securities that meet the Minimum Price the proposed rule change, or

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(B) institute proceedings to determine For the Commission, by the Division of II. Self-Regulatory Organization’s whether the proposed rule change Trading and Markets, pursuant to delegated Statement of the Purpose of, and should be disapproved. authority.13 Statutory Basis for, the Proposed Rule Change IV. Solicitation of Comments J. Matthew DeLesDernier, Assistant Secretary. In its filing with the Commission, the Interested persons are invited to [FR Doc. 2020–29020 Filed 12–31–20; 8:45 am] Exchange included statements submit written data, views, and BILLING CODE 8011–01–P concerning the purpose of and basis for arguments concerning the foregoing, the proposed rule change and discussed including whether the proposed rule any comments it received on the change is consistent with the Act. SECURITIES AND EXCHANGE proposed rule change. The text of these Comments may be submitted by any of COMMISSION statements may be examined at the the following methods: places specified in Item IV below. The Electronic Comments [Release No. 34–90808; File No. SR–MEMX– Exchange has prepared summaries, set • 2020–16] forth in sections A, B, and C below, of Use the Commission’s internet the most significant aspects of such comment form (http://www.sec.gov/ Self-Regulatory Organizations; MEMX statements. rules/sro.shtml); or LLC; Notice of Filing and Immediate • Send an email to rule-comments@ Effectiveness of a Proposed Rule A. Self-Regulatory Organization’s Statement of the Purpose of, and sec.gov. Please include File Number SR– Change To Amend Rules 4.5 and 4.7 Statutory Basis for, the Proposed Rule NYSE–2020–85 on the subject line. Regarding the National Market System Change Paper Comments Plan Governing the Consolidated Audit Trail 1. Purpose • Send paper comments in triplicate to: Secretary, Securities and Exchange December 28, 2020. The purpose of this proposed rule change is to amend Exchange Rules 4.5 Commission, 100 F Street NE, Pursuant to Section 19(b)(1) of the Washington, DC 20549–1090. and 4.7, each a part of the Exchange’s Securities Exchange Act of 1934 Compliance Rule, to be consistent with 1 2 All submissions should refer to File (‘‘Act’’), and Rule 19b–4 thereunder, the Allocation Exemption. The Number SR–NYSE–2020–85. This file notice is hereby given that on December Commission granted the relief number should be included on the 18, 2020, MEMX LLC (‘‘MEMX’’ or the conditioned upon the Participants’ subject line if email is used. To help the ‘‘Exchange’’) filed with the Securities adoption of Compliance Rules that Commission process and review your and Exchange Commission implement the alternative approach to comments more efficiently, please use (‘‘Commission’’) the proposed rule reporting allocations to the Central only one method. The Commission will change as described in Items I and II Repository described in the Allocation post all comments on the Commission’s below, which Items have been prepared Exemption (referred to as the internet website (http://www.sec.gov/ by the Exchange. The Commission is ‘‘Allocation Alternative’’). rules/sro.shtml). Copies of the publishing this notice to solicit (1) Request for Exemptive Relief submission, all subsequent comments on the proposed rule change amendments, all written statements from interested persons. Pursuant to Section 6.4(d)(ii)(A) of the with respect to the proposed rule CAT NMS Plan, each Participant must, change that are filed with the I. Self-Regulatory Organization’s through its Compliance Rule, require its Commission, and all written Statement of the Terms of Substance of Industry Members to record and report communications relating to the the Proposed Rule Change to the Central Repository, if the order is proposed rule change between the executed, in whole or in part: (1) An Commission and any person, other than The Exchange is filing with the Allocation Report; 5 (2) the SRO- those that may be withheld from the Commission a proposed rule change to Assigned Market Participant Identifier public in accordance with the amend Exchange Rules 4.5 and 4.7, each of the clearing broker or prime broker, provisions of 5 U.S.C. 552, will be a part of the Exchange’s compliance rule if applicable; and the (3) CAT-Order-ID available for website viewing and (‘‘Compliance Rule’’) regarding the of any contra-side order(s). Accordingly, printing in the Commission’s Public National Market System Plan Governing the Exchange and the other Participants Reference Room, 100 F Street NE, the Consolidated Audit Trail (the ‘‘CAT implemented Compliance Rules that Washington, DC 20549 on official 3 NMS Plan’’ or ‘‘Plan’’), to be consistent require their Industry Members that are business days between the hours of with a conditional exemption granted executing brokers to submit to the 10:00 a.m. and 3:00 p.m. Copies of the by the Commission from certain Central Repository, among other things, filing also will be available for allocation reporting requirements set Allocation Reports and the SRO- inspection and copying at the principal forth in Sections 6.4(d)(ii)(A)(1) and (2) Assigned Market Participant Identifier office of the Exchange. All comments of the CAT NMS Plan (‘‘Allocation received will be posted without change. 4 Exemption’’). The text of the proposed 5 Section 1.1 of the CAT NMS Plan defines an Persons submitting comments are rule change is provided in Exhibit 5. ‘‘Allocation Report’’ as ‘‘a report made to the cautioned that we do not redact or edit Central Repository by an Industry Member that identifies the Firm Designated ID for any account(s), personal identifying information from 13 17 CFR 200.30–3(a)(12). including subaccount(s), to which executed shares comment submissions. You should 1 15 U.S.C. 78s(b)(1). are allocated and provides the security that has submit only information that you wish 2 17 CFR 240.19b–4. been allocated, the identifier of the firm reporting to make available publicly. All 3 Unless otherwise specified, capitalized terms the allocation, the price per share of shares submissions should refer to File used in this rule filing are defined as set forth in allocated, the side of shares allocated, the number Number SR–NYSE–2020–85 and should the Compliance Rule. of shares allocated to each account, and the time of 4 See Securities Exchange Act Release No. 90223 the allocation; provided for the avoidance of doubt, be submitted on or before January 25, (October 19, 2020), 85 FR 67576 (October 23, 2020) any such Allocation Report shall not be required to 2021. (‘‘Allocation Exemptive Order’’). be linked to particular orders or executions.’’

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of the clearing broker or prime broker, Allocations to accounts other than client In addition, the Participants stated that, if applicable. accounts; in that instance, such because shares/contracts for every On August 27, 2020, the Participants Allocations must be marked as execution must be allocated to an submitted to the Commission a request Allocations to accounts other than client account by the clearing broker in such for an exemption from certain allocation accounts. circumstances, there would be no loss of reporting requirements set forth in information by shifting the reporting Sections 6.4(d)(ii)(A)(1) and (2) of the (A) Executing Brokers and Allocation Reports obligation from the executing broker to CAT NMS Plan (‘‘Exemption the clearing broker. Request’’).6 In the Exemption Request, To implement the Allocation the Participants requested that they be Alternative, the Participants requested (B) Identity of Prime Broker permitted to implement the Allocation exemptive relief from Section To implement the Allocation Alternative, which, as noted above, is an 6.4(d)(ii)(A)(1) of the CAT NMS Plan, to Alternative, the Participants also alternative approach to reporting the extent that the provision requires requested exemptive relief from Section allocations to the Central Repository. each Participant to, through its 6.4(d)(ii)(A)(2) of the CAT NMS Plan, to Under the Allocation Alternative, any Compliance Rule, require its Industry the extent that the provision requires Industry Member that performs an Members that are executing brokers, each Participant to, through its allocation to a client account would be who do not perform Allocations, to Compliance Rule, require its Industry required under the Compliance Rule to record and report to the Central Members to record and report to the submit an Allocation Report to the Repository, if the order is executed, in Central Repository, if an order is Central Repository when shares/ whole or in part, an Allocation Report. executed, in whole or in part, the SRO- contracts are allocated to a client Under the Allocation Alternative, when Assigned Market Participant Identifier account regardless of whether the an Industry Member other than an of the prime broker, if applicable. Industry Member was involved in executing broker (e.g., a prime broker or Currently, under the CAT NMS Plan, an executing the underlying order(s). clearing broker) performs an Allocation, Industry Member is required to report Under the Allocation Alternative, a that Industry Member would be the SRO-Assigned Market Participant ‘‘client account’’ would be any account required to submit the Allocation Report Identifier of the clearing broker or prime that is not owned or controlled by the to the Central Repository. When an broker in connection with the execution Industry Member. executing broker performs an Allocation of an order, and such information would In addition, under the Allocation for an order that is executed, in whole be part of the order’s lifecycle, rather Alternative, an ‘‘Allocation’’ would be or in part, the burden of submitting an than in an Allocation Report that is not defined as: (1) The placement of shares/ Allocation Report to the Central linked to the order’s lifecycle.10 Under contracts into the same account for Repository would remain with the the Allocation Alternative, the identity which an order was originally placed; or executing broker under the Allocation of the prime broker would be required (2) the placement of shares/contracts Alternative. In certain circumstances to be reported by the clearing broker on into an account based on allocation this would result in multiple Allocation the Allocation Report, and, in addition, instructions (e.g., subaccount Reports—the executing broker (if self- the prime broker itself would be allocations, delivery versus payment clearing) or its clearing firm would required to report the ultimate (‘‘DVP’’) allocations). Pursuant to this report individual Allocation Reports allocation, which the Participants definition and the proposed Allocation identifying the specific prime broker to believe would provide more complete Alternative, an Industry Member that which shares/contracts were allocated information. performs an Allocation to an account and then each prime broker would itself The Participants stated that that is not a client account, such as report an Allocation Report identifying associating a prime broker with a proprietary accounts and events the specific customer accounts to which specific execution, as is currently including step outs,7 or correspondent the shares/contracts were finally required by the CAT NMS Plan, does flips,8 would not be required to submit allocated. not reflect how the allocation process an Allocation Report to the Central The Participants stated that granting works in practice as allocations to a Repository for that allocation, but could exemptive relief from submitting prime broker are done post-trade and do so on a voluntary basis. Industry Allocation Reports for executing brokers are performed by the clearing broker of Members would be allowed to report who do not perform an Allocation, and the executing broker. The Participants requiring the Industry Member other also stated that with the implementation 6 See letter from the Participants to Vanessa than the executing broker that is of the Allocation Alternative, it would Countryman, Secretary, Commission, dated August 27, 2020 (the ‘‘Exemption Request’’). performing the Allocation to submit be duplicative for the executing broker 7 ‘‘A step-out allows a broker-dealer to allocate all such Allocation Reports, is consistent to separately identify the prime broker or part of a client’s position from a previously with the basic approach taken by the for allocation purposes. executed trade to the client’s account at another Commission in adopting Rule 613 under The Participants stated that if a broker-dealer. In other words, a step-out functions the Exchange Act. Specifically, the particular customer only has one prime as a client’s position transfer, rather than a trade; there is no exchange of shares and funds and no Participants stated that they believe that broker, the identity of the prime broker change in beneficial ownership.’’ See FINRA, Trade the Commission sought to require each can be obtained from the customer and Reporting Frequently Asked Questions, at Section broker-dealer and exchange that touches account information through the DVP 301, available at: https://www.finra.org/filing- an order to record the required data accounts for that customer that contain reporting/market-transparency-reporting/trade- reporting-faq. with respect to actions it takes on the the identity of the prime broker. The 8 Correspondent clearing flips are the movement order.9 Without the requested Participants further stated that of a position from an executing broker’s account to exemptive relief, executing brokers that Allocation Reports related to those a different account for clearance and settlement, do not perform Allocations would be executions would reflect that shares/ allowing a broker-dealer to execute a trade through another broker-dealer and settle the trade in its own required to submit Allocation Reports. contracts were allocated to the single account. See, e.g., The Depository Trust & Clearing Corporation, Correspondent Clearing, available at: 9 See Securities Exchange Act Release No. 67457 10 The Participants did not request exemptive https://www.dtcc.com/clearing-services/equities- (July 18, 2012), 77 FR 45722, 45748 (August 1, relief relating to the reporting of the SRO-Assigned tradecapture/correspondent-clearing. 2012). Market Participant Identifier of clearing brokers.

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prime broker. The Participants believe (1) Allocation ID, which is the internal paragraph (c) of Rule 4.5 would define that there is no loss of information allocation identifier assigned to the an ‘‘Allocation’’ to mean ‘‘(1) the through the implementation of the allocation event by the Industry placement of shares/contracts into the Allocation Alternative compared to Member; (2) trade date; (3) settlement same account for which an order was what is required in the CAT NMS Plan date; (4) IB/correspondent CRD Number originally placed; or (2) the placement and that this approach does not (if applicable); (5) FDID of new order(s) of shares/contracts into an account decrease the regulatory utility of the (if available in the booking system); 11 based on allocation instructions (e.g., CAT for single prime broker (6) allocation instruction time subaccount allocations, delivery versus circumstances. (optional); (7) if the account meets the payment (‘‘DVP’’) allocations).’’ The In cases where a customer maintains definition of institution under FINRA SEC stated in the Allocation Exemption relationships with multiple prime Rule 4512(c); 12 (8) type of allocation that this definition of ‘‘Allocation’’ is brokers, the Participants asserted that (allocation to a custody account, reasonable. the executing broker will not have allocation to a DVP account, step out, (B) Definition of Allocation Report information at the time of the trade as correspondent flip, allocation to a firm to which particular prime broker may be owned or controlled account, or other The Exchange proposes to amend the allocated all or part of the execution. non-reportable transactions (e.g., option definition of ‘‘Allocation Report’’ set Under the Allocation Alternative, the exercises, conversions); (9) for DVP forth in Exchange Rule 4.5(c) to reflect executing broker (if self-clearing) or its allocations, custody broker-dealer the requirements of the Allocation clearing firm would report individual clearing number (prime broker) if the Exemption. Exchange Rule 4.5(c) Allocation Reports identifying the custodian is a U.S. broker-dealer, DTCC defines the term ‘‘Allocation Report’’ to specific prime broker to which shares/ number if the custodian is a U.S. bank, mean: contracts were allocated and then each or a foreign indicator, if the custodian a report made to the Central Repository by an prime broker would itself report an is a foreign entity; and (10) if an Industry Member that identifies the Firm Allocation Report identifying the allocation was cancelled, a cancel flag, Designated ID for any account(s), including specific customer accounts where the which indicates that the allocation was subaccount(s), to which executed shares are allocated and provides the security that has shares/contracts were ultimately cancelled, and a cancel timestamp, allocated. To determine the prime been allocated, the identifier of the firm which represents the time at which the reporting the allocation, the price per share broker for a customer, a regulatory user allocation was cancelled. of shares allocated, the side of shares would query the customer and account allocated, the number of shares allocated to database using the customer’s CCID to (2) Proposed Rule Changes To each account, and the time of the allocation; obtain all DVP accounts for the CCID at Implement Exemptive Relief provided, for the avoidance of doubt, any broker-dealers. The Participants state On October 29, 2020, the Commission such Allocation Report shall not be required that when a customer maintains granted the exemptive relief requested to be linked to particular orders or executions. relationships with multiple prime in the Exemption Request. The brokers, the customer typically has a Commission granted the relief The Exchange proposes to amend this separate DVP account with each prime conditioned upon the adoption of definition in two ways: (1) Applying the broker, and the identities of those prime Compliance Rules that implement the requirements for Allocation Reports to brokers can be obtained from the reporting requirements of the Allocation contracts in addition to shares; and (2) customer and account information. Alternative. Accordingly, the Exchange requiring the reporting of additional (C) Additional Conditions to Exemptive proposes the following changes to its elements for the Allocation Report. Relief Compliance Rule to implement the (i) Shares and Contracts reporting requirements of the Allocation In the Exemption Request, the Alternative. The requirements for Allocation Participants included certain additional Reports apply only to shares, as the conditions for the requested relief. (A) Definition of Allocation definition of ‘‘Allocation Report’’ in Currently, the definition of Allocation The Exchange proposes to add a Rule 4.5(c) refers to shares, not Report in the CAT NMS Plan only refers definition of ‘‘Allocation’’ as new contracts. In the Allocation Exemption, to shares. To implement the Allocation paragraph (c) to Rule 4.5.13 Proposed the Commission stated that applying the Alternative, the Participants proposed to requirements for Allocation Reports to require that all required elements of 11 The Participants propose that for scenarios contracts in addition to shares is Allocation Reports apply to both shares where the Industry Member responsible for appropriate because CAT reporting and contracts, as applicable, for all reporting the Allocation has the FDID of the related requirements apply to both options and Eligible Securities. Specifically, new order(s) available, such FDID must be reported. This would include scenarios in which: (1) The equities. Accordingly, the SEC stated Participants would require the reporting FDID structure of the top account and subaccounts that the Participants would be required of the following in each Allocation is known to the Industry Member responsible for to modify their Compliance Rules such Report: (1) The FDID for the account reporting the Allocation(s); and (2) the FDID that all required elements of Allocation receiving the allocation, including structure used by the IB/Correspondent when reporting new orders is known to the clearing firm Reports apply to both shares and subaccounts; (2) the security that has reporting the related Allocations. contracts, as applicable, for all Eligible been allocated; (3) the identifier of the 12 FINRA Rule 4512(c) states the for purposes of Securities. Therefore, the Exchange firm reporting the allocation; (3) the the rule, the term ‘‘institutional account’’ means the proposes to amend Rule 4.5(c) (to be price per share/contracts of shares/ account of: (1) A bank, savings and loan association, renumbered as Rule 4.5(d)) to apply to contracts allocated; (4) the side of insurance company or registered investment company; (2) an investment adviser registered contracts, as well as shares. Specifically, shares/contracts allocated; (4) the either with the SEC under Section 203 of the the Exchange proposes to add references number of shares/contracts allocated; Investment Advisers Act or with a state securities to contracts to the definition of and (5) the time of the allocation. commission (or any agency or office performing like ‘‘Allocation Report’’ to the following Furthermore, to implement the functions); or (3) any other person (whether a natural person, corporation, partnership, trust or phrases: ‘‘the Firm Designated ID for Allocation Alternative, the Participants otherwise) with total assets of at least $50 million. proposed to require the following 13 The Exchange proposes to renumber the of this new definition of ‘‘Allocation’’ and the new information on all Allocation Reports: definitions in Rule 4.5 to accommodate the addition definition of ‘‘Client Account’’ discussed below.

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any account(s), including subaccount(s), 4.7(a)(2)(A)(i),14 which requires an performs an Allocation to a Client to which executed shares/contracts are Industry Member to record and report to Account, whether or not the Industry allocated,’’ ‘‘the price per share/contract the Central Repository an Allocation Member was the executing broker for of shares/contracts allocated,’’ ‘‘the side Report if the order is executed, in whole the trade.’’ of shares/contracts allocated,’’ and ‘‘the or in part, and to replace this provision (iii) Client Accounts number of shares/contracts allocated to with proposed Rule 4.7(a)(2)(F) as each account.’’ discussed below. In the Allocation Exemption, the Commission also exempted the (ii) Additional Elements (ii) Industry Members That Perform Participants from the requirement that Allocations they amend their Compliance Rules to The Commission also conditioned the The Allocation Exemption requires require Industry Members to report Allocation Exemption on the the Participants to amend their Allocations for accounts other than Participants amending their Compliance Compliance Rules to require Industry client accounts. The Commission Rules to require the ten additional Members to provide Allocation Reports believes that allocations to client elements in Allocation Reports to the Central Repository any time they accounts, and not allocations to described above. Accordingly, the perform Allocations to a client account, proprietary accounts or events such as Exchange proposes to require these whether or not the Industry Member step-outs and correspondent flips, additional elements in Allocation was the executing broker for the trades. provide regulators the necessary Reports. Specifically, the Exchange Accordingly, the Commission information to detect abuses in the proposes to amend the definition of conditioned the Allocation Exemption allocation process because it would ‘‘Allocation Report’’ in Rule 4.5(c) (to be on the Participants adopting provide regulators with detailed renumbered as Rule 4.5(d)) to include Compliance Rules that require prime information regarding the fulfillment of the following elements, in addition to and/or clearing brokers to submit orders submitted by clients, while those elements currently required under Allocation Reports when such brokers reducing reporting burdens on broker- the CAT NMS Plan: perform allocations, in addition to dealers. For example, Allocation (6) the time of the allocation; (7) Allocation requiring executing brokers that perform Reports would be required for ID, which is the internal allocation identifier allocations to submit Allocation allocations to registered investment assigned to the allocation event by the Reports. The Commission determined advisor and money manager accounts. Industry Member; (8) trade date; (9) that such exemptive relief would The Commission further believes that settlement date; (10) IB/correspondent CRD improve efficiency and reduce the costs the proposed approach should facilitate Number (if applicable); (11) FDID of new regulators’ ability to distinguish order(s) (if available in the booking system); and burdens of reporting allocations for (12) allocation instruction time (optional); Industry Members because the reporting Allocation Reports relating to (12) if account meets the definition of obligation would belong to the Industry allocations to client accounts from other institution under FINRA Rule 4512(c); (13) Member with the requisite information, Allocation Reports because Allocations type of allocation (allocation to a custody and executing brokers that do not have to accounts other than client accounts account, allocation to a DVP account, step the information required on an would have to be identified as such. out, correspondent flip, allocation to a firm Allocation Report would not have to This approach could reduce the time owned or controlled account, or other non- develop the infrastructure and processes CAT Reporters expend to comply with reportable transactions (e.g., option exercises, required to obtain, store and report the CAT reporting requirements and lower conversions); (14) for DVP allocations, information. The Commission stated costs by allowing broker dealers to use custody broker-dealer clearing number that this exemptive relief should not existing business practices. (prime broker) if the custodian is a U.S. To clarify that an Industry Member broker-dealer, DTCC number if the custodian reduce the regulatory utility of the CAT is a U.S. bank, or a foreign indicator, if the because an Allocation Report would must report an Allocation Report solely custodian is a foreign entity; and (15) if an still be submitted for each executed for Allocations to a client account, allocation was cancelled, a cancel flag trade allocated to a client account, proposed Rule 4.7(a)(2)(F) specifically indicating that the allocation was cancelled, which in certain circumstances could references ‘‘Client Accounts,’’ as and a cancel timestamp, which represents the still result in multiple Allocation discussed above. In addition, the time at which the allocation was cancelled. Reports,15 just not necessarily by the Exchange proposes to add a definition of ‘‘Client Account’’ as proposed Rule (C) Allocation Reports executing broker. In accordance with the Allocation 4.5(l). Proposed Rule 4.5(l) would define (i) Executing Brokers That Do Not Exemption, the Exchange proposes to a ‘‘Client Account’’ to mean ‘‘for the Perform Allocations add proposed Rule 4.7(a)(2)(F) to the purposes of an Allocation and Compliance Rule. Proposed Rule Allocation Report, any account or The Commission granted the 4.7(a)(2)(F) would require Industry subaccount that is not owned or Participants an exemption from the Members to record and report to the controlled by the Industry Member.’’ requirement that the Participants, Central Repository ‘‘an Allocation through their Compliance Rule, require (D) Identity of Prime Broker Report any time the Industry Member executing brokers that do not perform The Exchange also proposes to amend Allocations to submit Allocation 14 The Exchange proposes to renumber Rule Rule 4.7(a)(2)(A)(ii) to eliminate the Reports. The Commission stated that it 4.7(a)(2)(A)(ii) and (iii) as Rule 4.7(a)(2)(A)(i) and requirement for executing brokers to understands that executing brokers that (ii) in light of the proposed deletion of Rule record and report the SRO-Assigned are not self-clearing do not perform 4.7(a)(2)(A)(i). Market Participant Identifier of the allocations themselves, and such 15 As noted above, under the Allocation Alternative, for certain executions, the executing prime broker. Rule 4.7(a)(2)(A)(ii) states allocations are handled by prime and/or broker (if self-clearing) or its clearing firm would that each Industry Member is required clearing brokers, and these executing report individual Allocation Reports identifying the to record and report to the Central brokers therefore do not possess the specific prime broker to which shares/contracts Repository, if the order is executed, in requisite information to provide were allocated and then each prime broker would itself report an Allocation Report identifying the whole or in part, the ‘‘SRO-Assigned Allocation Reports. Accordingly, the specific customer accounts to which the shares/ Market Participant Identifier of the Exchange proposes to eliminate Rule contracts were finally allocated. clearing broker or prime broker, if

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applicable.’’ The Exchange proposes to The Exchange believes that this impose any significant burden on delete the phrase ‘‘or prime broker’’ proposal is consistent with the Act competition; and (iii) become operative from this provision. Accordingly, each because it is consistent with, and prior to 30 days from the date on which Industry Member that is an executing implements, the Allocation Exemption, it was filed, or such shorter time as the broker would no longer be required to and is designed to assist the Exchange Commission may designate, if report the SRO-Assigned Market and its Industry Members in meeting consistent with the protection of Participant Identifier of the prime regulatory obligations pursuant to the investors and the public interest, the broker. Plan. In approving the Plan, the SEC proposed rule change has become As the Commission noted in the noted that the Plan ‘‘is necessary and effective pursuant to Section 19(b)(3)(A) Allocation Exemption, exempting the appropriate in the public interest, for of the Act and Rule 19b–4(f)(6)(iii) Participants from the requirement that the protection of investors and the thereunder. they, through their Compliance Rules, maintenance of fair and orderly markets, At any time within 60 days of the require executing brokers to provide the to remove impediments to, and perfect filing of this proposed rule change, the SRO-Assigned Market Participant the mechanism of a national market Commission summarily may Identifier of the prime broker is system, or is otherwise in furtherance of temporarily suspend such rule change if appropriate because, as stated by the the purposes of the Act.’’ 18 To the it appears to the Commission that such Participants, allocations are done on a extent that this proposal implements the action is necessary or appropriate in the post-trade basis and the executing Plan, and applies specific requirements public interest, for the protection of broker will not have the requisite to Industry Members, the Exchange investors, or otherwise in furtherance of information at the time of the trade. believes that this proposal furthers the the purposes of the Act. If the Because an executing broker, in certain objectives of the Plan, as identified by Commission takes such action, the circumstances, does not have this the SEC, and is therefore consistent with Commission shall institute proceedings information at the time of the trade, this the Act. under Section 19(b)(2)(B) 21 of the Act to relief relieves executing brokers of the B. Self-Regulatory Organization’s determine whether the proposed rule burdens and costs of developing Statement on Burden on Competition change should be approved or infrastructure and processes to obtain disapproved. The Exchange does not believe that this information in order to meet the the proposed rule change will result in IV. Solicitation of Comments contemporaneous reporting any burden on competition that is not Interested persons are invited to requirements of the CAT NMS Plan. necessary or appropriate in furtherance submit written data, views, and As the Commission noted in the of the purposes of the Act. The arguments concerning the foregoing, Allocation Exemption, although Exchange notes that the proposed rule including whether the proposed rule executing brokers would no longer be changes are consistent with the change is consistent with the Act. required to provide the prime broker Allocation Exemption, and are designed Comments may be submitted by any of information, regulators will still be able to assist the Exchange in meeting its the following methods: to determine the prime broker(s) regulatory obligations pursuant to the associated with orders through querying Plan. The Exchange also notes that the Electronic Comments the customer and account information proposed rule changes will apply • Use the Commission’s internet database. If an executing broker has only equally to all Industry Members. In comment form (http://www.sec.gov/ one prime broker, the identity of the addition, all national securities rules/sro.shtml); or prime broker can be obtained from the exchanges and FINRA are proposing • Send an email to rule-comments@ customer and account information this amendment to their Compliance sec.gov. Please include File Number SR– associated with the executing broker. Rules. Therefore, this is not a MEMX–2020–16 on the subject line. For customers with multiple prime competitive rule filing, and, does not Paper Comments brokers, the identity of the prime impose a burden on competition. brokers can be obtained from the • Send paper comments in triplicate customer and account information C. Self-Regulatory Organization’s to Secretary, Securities and Exchange which will list the prime broker, if there Statement on Comments on the Commission, 100 F Street NE, is one, that is associated with each Proposed Rule Change Received From Washington, DC 20549–1090. account. Members, Participants, or Others All submissions should refer to File The Exchange neither solicited nor b. Statutory Basis Number SR–MEMX–2020–16. This file received comments on the proposed number should be included on the The Exchange believes that the rule change. subject line if email is used. To help the proposed rule change is consistent with III. Date of Effectiveness of the Commission process and review your the provisions of Section 6(b)(5) of the comments more efficiently, please use 16 Proposed Rule Change and Timing for Act, which require, among other Commission Action only one method. The Commission will things, that the Exchange’s rules must post all comments on the Commission’s be designed to prevent fraudulent and The Exchange has filed the proposed internet website (http://www.sec.gov/ manipulative acts and practices, to rule change pursuant to Section rules/sro.shtml). Copies of the 19 promote just and equitable principles of 19(b)(3)(A)(iii) of the Act and Rule submission, all subsequent 20 trade, and, in general, to protect 19b–4(f)(6) thereunder. Because the amendments, all written statements investors and the public interest, and proposed rule change does not: (i) with respect to the proposed rule Section 6(b)(8) of the Act,17 which Significantly affect the protection of change that are filed with the requires that the Exchange’s rules not investors or the public interest; (ii) Commission, and all written impose any burden on competition that communications relating to the 18 See Securities Exchange Act Release No. 79318 is not necessary or appropriate. (November 15, 2016), 81 FR 84696, 84697 proposed rule change between the (November 23, 2016). Commission and any person, other than 16 15 U.S.C. 78f(b)(6). 19 15 U.S.C. 78s(b)(3)(A)(iii). 17 15 U.S.C. 78f(b)(8). 20 17 CFR 240.19b–4(f)(6). 21 15 U.S.C. 78s(b)(2)(B).

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those that may be withheld from the should be accompanied by proof of SECURITIES AND EXCHANGE public in accordance with the service on applicants, in the form of an COMMISSION provisions of 5 U.S.C. 552, will be affidavit or, for lawyers, a certificate of available for website viewing and service. Pursuant to Rule 0–5 under the Sunshine Act Meetings printing in the Commission’s Public Act, hearing requests should state the Reference Room, 100 F Street NE, nature of the writer’s interest, any facts TIME AND DATE: 2:00 p.m. on Wednesday, Washington, DC 20549, on official bearing upon the desirability of a January 6, 2021. business days between the hours of hearing on the matter, the reason for the PLACE: The meeting will be held via 10:00 a.m. and 3:00 p.m. Copies of the request, and the issues contested. remote means and/or at the filing also will be available for Persons who wish to be notified of a Commission’s headquarters, 100 F inspection and copying at the principal hearing may request notification by Street NE, Washington, DC 20549. office of the Exchange. All comments writing to the Commission’s Secretary at received will be posted without change. [email protected]. STATUS: This meeting will be closed to Persons submitting comments are the public. cautioned that we do not redact or edit ADDRESSES: The Commission: personal identifying information from [email protected]. MATTERS TO BE CONSIDERED: comment submissions. You should Commissioners, Counsel to the FOR FURTHER INFORMATION CONTACT: submit only information that you wish Commissioners, the Secretary to the Shawn Davis, Assistant Director, at to make available publicly. All Commission, and recording secretaries (202) 551–6413 or Chief Counsel’s submissions should refer to File will attend the closed meeting. Certain Office at (202) 551–6821; SEC, Division Number SR–MEMX–2020–16, and staff members who have an interest in of Investment Management, Chief should be submitted on or before the matters also may be present. January 25, 2021. Counsel’s Office, 100 F Street NE, Washington, DC 20549–8010. In the event that the time, date, or For the Commission, by the Division of location of this meeting changes, an Trading and Markets, pursuant to delegated Premier Multi-Series VIT [File No. 811– announcement of the change, along with authority.22 22712] the new time, date, and/or place of the J. Matthew DeLesDernier, meeting will be posted on the Assistant Secretary. Summary: Applicant seeks an order declaring that it has ceased to be an Commission’s website at https:// [FR Doc. 2020–29026 Filed 12–31–20; 8:45 am] investment company. On April 22, www.sec.gov. BILLING CODE 8011–01–P 2020, applicant made a liquidating The General Counsel of the distribution to its shareholders based on Commission, or his designee, has SECURITIES AND EXCHANGE net asset value. Expenses of certified that, in his opinion, one or COMMISSION approximately $97,923 incurred in more of the exemptions set forth in 5 connection with the reorganization were U.S.C. 552b(c)(3), (5), (6), (7), (8), 9(B) [Investment Company Act Release No. paid by the applicant and the and (10) and 17 CFR 200.402(a)(3), 34159] applicant’s investment adviser. (a)(5), (a)(6), (a)(7), (a)(8), (a)(9)(ii) and Notice of Applications for Filing Dates: The application was (a)(10), permit consideration of the Deregistration Under Section 8(f) of the filed on July 29, 2020, and amended on scheduled matters at the closed meeting. Investment Company Act of 1940 December 3, 2020. The subject matter of the closed meeting will consist of the following December 28, 2020. Applicant’s Address: topics: The following is a notice of [email protected]. Institution and settlement of applications for deregistration under SEI Insurance Products Trust [File No. injunctive actions; section 8(f) of the Investment Company 811–22862] Act of 1940 for the month of December Institution and settlement of 2020. A copy of each application may be Summary: Applicant seeks an order administrative proceedings; obtained via the Commission’s website declaring that it has ceased to be an Resolution of litigation claims; and by searching for the file number, or for investment company. On September 28, an applicant using the Company name 2020, applicant made a liquidating Other matters relating to enforcement box, at http://www.sec.gov/search/ distribution to its shareholders based on proceedings. search.htm or by calling (202) 551– net asset value. Expenses of At times, changes in Commission 8090. An order granting each approximately $21,512 incurred in priorities require alterations in the application will be issued unless the connection with the liquidation were scheduling of meeting agenda items that SEC orders a hearing. Interested persons paid by the applicant. may consist of adjudicatory, may request a hearing on any Filing Date: The application was filed examination, litigation, or regulatory application by emailing the SEC’s matters. Secretary at [email protected] on October 1, 2020. and serving the relevant applicant with Applicant’s Address: john.obrien@ CONTACT PERSON FOR MORE INFORMATION: a copy of the request by email, if an morganlewis.com. For further information; please contact Vanessa A. Countryman from the Office email address is listed for the relevant For the Commission, by the Division of applicant below, or personally or by Investment Management, pursuant to of the Secretary at (202) 551–5400. mail, if a physical address is listed for delegated authority. Dated: December 30, 2020. the relevant applicant below. Hearing J. Matthew DeLesDernier, Jill M. Peterson, requests should be received by the SEC by 5:30 p.m. on January 26, 2021, and Assistant Secretary. Assistant Secretary. [FR Doc. 2020–29013 Filed 12–31–20; 8:45 am] [FR Doc. 2020–29201 Filed 12–30–20; 4:15 pm] 22 17 CFR 200.30–3(a)(12). BILLING CODE 8011–01–P BILLING CODE 8011–01–P

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SECURITIES AND EXCHANGE respective markets if NYSE lifts the halt, continuing to ensure that the Exchanges’ COMMISSION suspension, or pause in that security re-opening is tied to the existence of a during an extra-hours session.7 Under market in the security on one or more [Release No. 34–90804; File Nos. SR– CboeBYX–2020–032, SR–CboeBZX–2020– the Exchanges’ current rules and national securities exchanges. 083, SRCboeEDGA–2020–029, SR– procedures, the only way to re-open If there is no available NBBO in the CboeEDGX–2020–055] trading in an extra-hours session of an security, the proposed automated NYSE-listed security that has been procedures would not resume trading Self-Regulatory Organizations; Cboe halted, suspended, or paused by NYSE on the Exchanges. However, each BYX Exchange, Inc.; Cboe BZX is for Exchange staff to manually re- Exchange would retain the ability to Exchange, Inc.; Cboe EDGA Exchange, open the market for that security.8 The manually resume trading at its Inc.; Cboe EDGX Exchange, Inc.; Order Exchanges have represented that, under discretion pursuant to an existing rule.10 Granting Approval of Proposed Rule their current procedures, Exchange staff Each Exchange also has proposed to Changes To Revise Each Exchange’s would have the authority to re-open amend the existing rule to specifically Process for Re-Opening Trading of their markets for trading an NYSE-listed provide that that discretion exists only NYSE-Listed Securities Outside of security during an extra-hours session if when a security has not otherwise been Regular Trading Hours two conditions are met: (1) NYSE lifts re-opened for trading on the Exchange the halt, suspension, or pause in that pursuant to the new automated December 28, 2020. security; and (2) one or more other procedures. The Exchanges believe that I. Introduction exchanges resumes quoting the modifying the rules in this manner security.9 Furthermore, under current would increase transparency by On November 5, 2020, Cboe BYX specifically identifying the times when Exchange, Inc. (‘‘CboeBYX’’), Cboe BZX procedures, Exchange staff would ascertain whether these two conditions this discretion is not relevant due to the Exchange, Inc. (‘‘CboeBZX’’), Cboe fact that the Exchange has successfully EDGA Exchange, Inc. (‘‘CboeEDGA’’) had been met and, if so, re-open the market manually. The Exchanges re-opened the security using its and Cboe EDGX Exchange, Inc. automated procedures. The Exchanges (‘‘CboeEDGX,’’ and collectively, the believe that this manual process is inefficient, and state that members have have represented that these additional ‘‘Exchanges’’) filed with the Securities changes would not substantively modify and Exchange Commission requested that the Exchanges replace this process with a more efficient the scope of the discretion provided (‘‘Commission’’), pursuant to Section under the existing rules. 19(b)(1) of the Securities Exchange Act automated process. The Exchanges have proposed to of 1934 (‘‘Act’’) 1 and Rule 19b–4 III. Discussion and Commission reconfigure their systems such that, thereunder,2 proposed rule changes to Findings when NYSE has halted, suspended, or revise each Exchange’s process for re- paused trading in one of its listed After careful review, the Commission opening trading of a security listed on securities and subsequently lifts the finds that the proposed rule changes are the New York Stock Exchange LLC halt, suspension, or pause during an consistent with the requirements of the (‘‘NYSE’’) outside of regular trading extra-hours session, the Exchanges Act and the rules and regulations hours. The proposed rule changes were would re-open their respective markets thereunder applicable to a national published for comment in the Federal securities exchange.11 In particular, the in that security automatically when Register on November 19, 2020.3 The Commission finds that the proposed those two conditions are present, Commission received no comments on rule changes are consistent with Section thereby eliminating the need for manual the proposed rule changes. This order 6(b)(5) of the Act,12 which requires, intervention. The Exchanges are not approves the proposed rule changes. among other things, that the rules of a proposing any changes to the conditions national securities exchange be II. Description of the Proposed Rule for re-opening their markets, only the designed to prevent fraudulent and Changes mechanism for doing so. The new manipulative acts and practices, to automated procedures would Outside of regular trading hours, the promote just and equitable principles of automatically resume trading after one Exchanges’ operate extra-hours sessions trade, to foster cooperation and from 7:00 a.m. to 8:00 a.m. Eastern Time second has passed following the coordination with persons engaged in (‘‘ET’’),4 8:00 a.m. to 9:30 a.m. ET,5 and Exchanges’ receipt of the first NBBO facilitating transactions in securities, to from 4:00 p.m. to 8:00 p.m. ET.6 The following the resumption of trading remove impediments to and perfect the Exchanges have proposed to change the after the halt, suspension, or pause. This mechanism of a free and open market manner by which they re-open trading change would allow each Exchange to and a national market system, and, in of an NYSE-listed security on their avoid the need for its staff to monitor for general, to protect investors and the resumption messages, and would allow public interest. 1 15 U.S.C. 78s(b)(1). members’ orders to be automatically As noted above, the Exchanges have 2 17 CFR 240.19b–4. reflected in the market, while proposed to reconfigure their systems 3 See Securities Exchange Act Release Nos. 90421 such that, when NYSE has halted, (Nov. 13, 2020), 85 FR 73826 (Nov. 19, 2020) (SR– 7 If NYSE lifts the halt, suspension, or pause in suspended, or paused trading in one of CboeBYX–2020–032); 90420 (Nov. 13, 2020), 85 FR one of its listed securities during regular trading 73832 (Nov. 19, 2020) (SR–CboeBZX–2020–083); hours, existing rules of the Exchanges—which the its listed securities and subsequently 90419 (Nov. 13, 2020), 85 FR 73829 (Nov. 19, 2020) Exchanges are not proposing to change—would (SR–CboeEDGA–2020–029); 90422 (Nov. 13, 2020), apply. See CboeBYX Rule 11.23(e)(1); CboeBZX 10 See CboeBYX Rule 11.23(e)(2); CboeBZX Rule 85 FR 73816 (Nov. 19, 2020) (SR–CboeEDGX–2020– Rule 11.24(e)(1); CboeEDGA Rule 11.7(e)(1); 11.24(e)(2); CboeEDGA Rule 11.7(e)(2); CboeEDGX 055). The proposed rule changes are nearly CboeEDGX Rule 11.7(e)(1). Rule 11.7(e)(2) (providing that, where neither of the identical. 8 See CboeBYX Rule 11.23(e)(2); CboeBZX Rule conditions required for re-opening has occurred, the 4 See CboeBYX Rule 1.5(ee); CboeBZX Rule 11.24(e)(2); CboeEDGA Rule 11.7(e)(2); CboeEDGX security may be opened for trading at the discretion 1.5(ee); CboeEDGA Rule 1.5(ii); CboeEDGX Rule Rule 11.7(e)(2). of the Exchange). 1.5(ii). 9 See Email from Adrian Griffiths, Assistant 11 In approving these proposed rule changes, the 5 See CboeBYX Rule 1.5(r); CboeBZX Rule 1.5(r); General Counsel, Cboe Global Markets, to Michael Commission has considered the proposed rules’ CboeEDGA Rule 1.5(s); CboeEDGX Rule 1.5(s). Gaw, Kathleen Gross, and Marlene Olsen, Division impact on efficiency, competition, and capital 6 See CboeBYX Rule 1.5(c); CboeBZX Rule 1.5(c); of Trading and Markets, Commission (Dec. 14, formation. See 15 U.S.C. 78c(f). CboeEDGA Rule 1.5(r); CboeEDGX Rule 1.5(r). 2020). 12 15 U.S.C. 78f(b)(5).

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lifts the halt, suspension, or pause (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 The Exchange proposes to reflect a during an extra-hours session, the notice is hereby given that, on December change in the time of calculation and Exchanges would re-open their markets 21, 2020, NYSE Arca, Inc. (‘‘NYSE publication of the Wilshire Gold Index in that security automatically when the Arca’’ or ‘‘Exchange’’) filed with the (‘‘Index’’) applicable to Shares of the two aforementioned conditions are met, Securities and Exchange Commission Trust. The Trust’s Shares have not thereby eliminating the need for manual (‘‘Commission’’) the proposed rule commenced trading on the Exchange.6 intervention. The Exchanges have change as described in Items I and II According to the Registration narrowly tailored this new automated below, which Items have been prepared Statement and the Prior Order, the process to be invoked only when both by the self-regulatory organization. The investment objective of the Trust is for conditions are met. The Exchanges have Commission is publishing this notice to the Shares to closely reflect the Index, stated that, currently, Exchange solicit comments on the proposed rule which will be published by Solactive personnel would confirm that the change from interested persons. AG (the Index Calculation Agent), less security is no longer halted and identify the Trust’s liabilities and expenses. The I. Self-Regulatory Organization’s that there are quotes in the security Trust will have no assets other than (a) Statement of the Terms of Substance of available on other exchanges, and that physical gold bullion (‘‘Physical Gold’’) the Proposed Rule Change the Exchanges believe that an automated in proportions that seek to closely process would be more consistent and The Exchange proposes to reflect a replicate the Index and (b) cash. reliable. By setting forth a clear, rules- change in the time of calculation and The Prior Order stated that the Index based approach to re-opening trading in publication of the Wilshire Gold Index value using the London Bullion Market 7 a narrow set of circumstances, the applicable to shares of the Wilshire Association (‘‘LBMA’’) Gold Price PM proposals are reasonably designed to wShares Enhanced Gold Trust will be calculated and published daily increase the consistency and efficiency (‘‘Trust’’). Shares of the Trust have been each business day at approximately 5:00 of the re-opening process in these approved by the Commission for listing p.m. (Eastern time (‘‘E.T.’’)) on the circumstances. Therefore, the and trading on the Exchange under Trust’s website. The Exchange proposes Commission finds that the proposals are NYSE Arca Rule 8.201–E.4 The Trust’s to change this representation to state consistent with the Act. As noted above, shares have not commenced trading on that the Index value using the LBMA the Commission received no comments the Exchange. The proposed rule change Gold Price PM will be calculated and opposing the proposed rule changes. is available on the Exchange’s website at published daily each business day by www.nyse.com, at the principal office of approximately 7:00 p.m. E.T. on the IV. Conclusion the Exchange, and at the Commission’s Trust’s website. The revised time is being proposed as a result of certain It is therefore ordered, pursuant to Public Reference Room. 13 contractual licensing restrictions which Section 19(b)(2) of the Act, that the II. Self-Regulatory Organization’s prevents the publication of the Index proposed rule changes (SR–CboeBYX– Statement of the Purpose of, and value prior to 7:00 p.m. E.T. 2020–032, SR–CboeBZX–2020–083, SR– Statutory Basis for, the Proposed Rule The Exchange believes that modifying CboeEDGA–2020–029, and SR– Change the representation regarding when the CboeEDGX–2020–055) be, and hereby In its filing with the Commission, the Index value using the LBMA Gold Price are, approved. self-regulatory organization included PM is published to reflect that such For the Commission, by the Division of statements concerning the purpose of, Index value would be published each Trading and Markets, pursuant to delegated business day by approximately 7:00 14 and basis for, the proposed rule change authority. and discussed any comments it received p.m. E.T. would have no impact on the J. Matthew DeLesDernier, on the proposed rule change. The text Trust’s shareholders. During the Assistant Secretary. of those statements may be examined at proposed two hour extension from [FR Doc. 2020–29021 Filed 12–31–20; 8:45 am] the places specified in Item IV below. approximately 5:00 p.m. E.T. to BILLING CODE 8011–01–P The Exchange has prepared summaries, approximately 7:00 p.m. E.T., the value set forth in sections A, B, and C below, of the Trust’s holdings and net asset of the most significant parts of such value (‘‘NAV’’) will be available, which SECURITIES AND EXCHANGE statements. will provide investors and authorized COMMISSION participants (‘‘APs’’) with a basis to A. Self-Regulatory Organization’s determine whether Shares during the Statement of the Purpose of, and the [Release No. 34–90807; File No. SR– NYSEArca–2020–114] Statutory Basis for, the Proposed Rule Amendment No. 3 and Order Granting Accelerated Change Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Amend NYSE Arca Rule Self-Regulatory Organizations; NYSE 1. Purpose 8.201–E (Commodity-Based Trust Shares) and To Arca, Inc.; Notice of Filing and Permit the Listing and Trading of Shares of the Immediate Effectiveness of Proposed The Commission has approved a Wilshire wShares Enhanced Gold Trust Under Rule Change To Reflect a Change in proposed rule change relating to listing Amended NYSE Arca Rule 8.201–E) (‘‘Prior Order’’). the Time of Calculation and and trading on the Exchange of shares (‘‘Shares’’) of the Wilshire wShares 6 On November 18, 2020 the Trust filed with the Publication of the Wilshire Gold Index Commission an amended registration statement on Applicable to Shares of the Wilshire Enhanced Gold Trust (‘‘Trust’’) for Form S–1 under the Securities Act of 1933 relating wShares Enhanced Gold Trust listing and trading on the Exchange to the Trust (File No. 333–235913) (‘‘Registration under NYSE Arca Rule 8.201–E Statement’’). The description of the operation of the December 28, 2020. (‘‘Commodity-Based Trust Shares’’).5 Trust herein is based, in part, on the Prior Order. The procedures described in this proposed rule Pursuant to Section 19(b)(1) 1 of the change will not be implemented until this proposed 2 Securities Exchange Act of 1934 15 U.S.C. 78a. rule change is effective and operative. 3 17 CFR 240.19b–4. 7 As stated in the Prior Order, the LBMA Gold 4 See note 5, infra. Price PM is the price of Physical Gold obtained 13 15 U.S.C. 78s(b)(2). 5 See Securities Exchange Act Release No. 90216 from auctions conducted in the afternoon (London 14 17 CFR 200.30–3(a)(12). (October 16, 2020), 85 FR 67401 (October 22, 2020) time) by ICE Benchmark Administration (‘‘IBA’’), a 1 15 U.S.C. 78s(b)(1). (SR–NYSEArca–2020–59) (Notice of Filing of benchmark administrator appointed by the LBMA.

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Exchange’s Late Trading Session The Exchange notes that the Prior In addition, as stated in the Prior Order, (normally 4:00 p.m., E.T. to 8:00 p.m., Order stated that the Index value is the Exchange, the Index Calculation E.T.) are trading at a premium or a calculated and published each business Agent or a third party financial data discount to the Trust’s NAV. Therefore, day at approximately 5:00 p.m. E.T. on provider will calculate an intraday investors and APs will have sufficient the Trust’s website.10 Such calculation indicative value (‘‘IIV’’) for the Shares information to be able to ascertain and publication time occurs outside of every fifteen seconds during the whether any premiums or discounts the Exchange’s Core Trading Session Exchange’s Core Trading Session, which will have a material impact on their (normally 9:30 a.m. to 4:00 p.m. E.T.) for will be available from one or more major trading in Shares of the Trust.8 The each business day but occurs during the market data vendors.14 creation and redemption process used Exchange’s Late Trading Session. The The Sponsor represents that the by the Trust will not be affected by the proposed change to the calculation and proposed change described above will proposed change because the value used publication time from approximately not impact investors. Except for the for purposes of effecting creations and 5:00 p.m. E.T. to approximately 7:00 change noted above, all other redemptions of the Shares is based on p.m. E.T. is consistent with the Prior representations made in the Prior Order NAV, not the Index value. Order in that calculation and remain unchanged.15 The proposed two-hour extension of publication of the Index value will 2. Statutory Basis the calculation and publication of the continue to occur outside of the Index value will not impact investors Exchange’s Core Trading Session for The basis under the Act for this each business day but during the proposed rule change is the requirement trading Shares during the Exchange’s 16 Early Trading Session (normally 4:00 Exchange’s Late Trading Session. The under Section 6(b)(5) that an a.m. to 9:30 a.m. E.T.) or the Exchange’s Exchange notes that the Commission exchange have rules that are designed to Core Trading Session (normally 9:30 has previously approved listing and prevent fraudulent and manipulative acts and practices, to promote just and a.m. to 4:00 p.m. E.T.) as such trading on the Exchange of shares of equitable principles of trade, to remove calculation and publication time will, gold-related commodity trusts under impediments to, and perfect the consistent with the Prior Order, occur NYSE Arca Rule 8.201–E where the mechanism of a free and open market after such trading sessions. In addition, specified time (i.e., approximately 6:00 and, in general, to protect investors and investors trading Shares during the a.m. E.T.) for dissemination of the applicable index value occurs outside of the public interest. Exchange’s Late Trading Session The proposed rule change is designed (normally 4:00 p.m. to 8:00 p.m. E.T.) the Core Trading Session for such business day but during the Exchange’s to perfect the mechanism of a free and will not be impacted by such change, as open market and, in general, to protect the Trust’s NAV will be determined as Early Trading Session (normally 4:00 a.m., E.T. to 9:30 a.m., E.T.).11 investors and the public interest. The of 4:00 p.m., E.T. (or as soon thereafter Exchange believes that the proposed as practicable) and then disseminated The proposed change would not affect the Trust’s requirement to provide change to the time of Index value via market data feeds as well as posted calculation and publication would have on the Trust’s website. Like the Index, investors with an updated Index value each day and would not alter any no impact on the Trust’s shareholders. the value of the Physical Gold held by The Trust’s ability to pursue its the Trust for purposes of determining information that is provided to investors during the trading day.12 Rather, the investment objective will not be the Trust’s NAV is determined by impacted by the proposed change to reference to the LBMA Gold Price PM proposed publication of the Index value at approximately 7:00 p.m., E.T. would, provide for a later calculation and for that day. Therefore, whether the publication of an updated Index value Index value is calculated and published like the approximately 5:00 p.m., E.T. time frame approved in the Prior Order, for a particular business day. at 5:00 p.m. E.T. or 7:00 p.m. E.T., The proposed change would provide investors trading in the Exchange’s Late provide for publication after the close of the Exchange’s Core Trading Session.13 investors with an updated Index value Trading Session will trade based on the each day and would not alter any Trust’s NAV determined as of 4:00 p.m. 10 The Index currently is published daily through information that is provided to investors E.T. (or as soon thereafter as various market data vendors, including Bloomberg during the trading day. Like the 9 practicable). LP, under the ticker symbol ‘‘WGIX’’, and Refinitiv, approximately 5:00 p.m., E.T. time under the Reuters instrument code (‘‘RIC’’) frame approved in the Prior Order, the 8 The Commission has previously approved ‘‘WGIX’’. Wilshire Phoenix Funds LLC, the Trust’s proposed rule changes permitting listing and ‘‘Sponsor,’’ represents that both the cash and Index would be calculated and trading of shares of gold-related commodity trusts Physical Gold weights for the Index are posted on published after the close of the where such proposed rule changes did not specify the Trust’s website on the first Business Day after Exchange’s Core Trading Session and when NAV or the value of the applicable trust’s the rebalance date, which is the last Business Day during the Exchange’s Late Trading holdings would be posted to the trust’s website. of each month. See, e.g., Securities Exchange Act Release Nos. 11 See Securities Exchange Act Release Nos. 50603 (October 28, 2004), 69 FR 64614 (November 79518 (December 9, 2016), 81 FR 90876 (December Late Trading Session (normally 4:00 p.m., E.T. to 5, 2004) (SR–NYSE–2004–22) Order Granting 15, 2016) (SR–NYSEArca–2016–84) (order 8:00 p.m., E.T.). The Exchange notes, that NYSE Approval of Proposed Rule Change and Notice of approving listing and trading of shares of the Long Arca Rule 7.34–E (Trading Sessions) includes Filing and Order Granting Accelerated Approval to Dollar Gold Trust); 80840 (June 1, 2017), 82 FR certain requirements for orders entered in the Late Amendments No. 1 and No. 2 Thereto to the 26534 (June 7, 2017) (SR–NYSEArca–2017–33) Trading Session. Among these is the requirement Proposed Rule Change by the New York Stock (Order Approving a Proposed Rule Change, as that no Equity Trading Permit (‘‘ETP’’) Holder may Exchange, Inc. Regarding Listing and Trading of Modified by Amendment No. 2 Thereto, To List and accept an order from a non-ETP Holder for streetTRACKS® Gold Shares); 71378 (January 13, Trade Shares of the Euro Gold Trust, Pound Gold execution in the Exchange’s Late Trading Session 2014), 79 FR 4786 (January 29, 2014) (SR– Trust, and the Yen Gold Trust Under NYSE Arca without disclosing to such non-ETP Holder certain NYSEArca–2013–137) (Order Approving a Equities Rule 8.201). risks, including the risk that an updated underlying Proposed Rule Change, as Modified by Amendment 12 As stated in the Prior Order, the current Index index value or IIV may not be calculated or publicly No. 1 Thereto, to List and Trade Shares of the Merk value will be disseminated by one or more major disseminated in extended trading hours. Gold Trust Pursuant to NYSE Arca Equities Rule market vendors at least every 15 seconds during the 14 For purposes of the Prior Order and this filing, 8.201). Exchange’s Core Trading Session. the IIV is the value referenced in NYSE Arca Rule 9 The LBMA Gold Price PM for such day does not 13 The proposed approximately 7:00 p.m. E.T. 8.201–E(e)(2)(v). change between the hours of 4:00 p.m. E.T. and 7:00 time for Index publication, like the approximately 15 See note 5, supra. All terms referenced but not p.m. E.T. and the investment objective of the Trust 5:00 p.m., E.T. Index calculation and publication defined herein are defined in the Prior Order. is for the Shares to closely reflect the Index. time, would overlap with part of the Exchange’s 16 15 U.S.C. 78f(b)(5).

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Session. In addition, as stated in the to Rule 19b–4(f)(6)(iii),20 the Paper Comments Prior Order, the Exchange, the Index Commission may designate a shorter • Calculation Agent or a third party time if such action is consistent with the Send paper comments in triplicate financial data provider will calculate an protection of investors and the public to: Secretary, Securities and Exchange IIV for the Shares every fifteen seconds interest. The Exchange has asked the Commission, 100 F Street NE, during the Exchange’s Core Trading Commission to waive the 30-day Washington, DC 20549–1090. Session, which will be available from operative delay so that the proposal may one or more major market data vendors. become operative immediately upon All submissions should refer to File The Sponsor represents that both the filing. The Exchange states that the Number SR–NYSEArca–2020–114. This cash and Physical Gold weights for the proposed change would not alter any file number should be included on the Index are posted on the Trust’s website information that is provided to investors subject line if email is used. To help the on the first Business Day after the during the Exchange’s Core Trading Commission process and review your rebalance date, which is the last Session and that investors and APs will comments more efficiently, please use Business Day of each month. have sufficient information to determine only one method. The Commission will The Sponsor represents that the whether Shares are trading at a post all comments on the Commission’s proposed change described above will premium or discount to the Trust’s NAV internet website (http://www.sec.gov/ not impact investors. Except for the during the Exchange’s Late Trading rules/sro.shtml). Copies of the change noted above, all other Session. In addition, the Exchange submission, all subsequent representations made in the Prior Order represents that other than the change amendments, all written statements remain unchanged. discussed herein, all other with respect to the proposed rule representations made in the Prior Order B. Self-Regulatory Organization’s change that are filed with the remain unchanged. Finally, the change Statement on Burden on Competition Commission, and all written would not affect the Trust’s requirement communications relating to the The Exchange does not believe that to provide investors with an updated proposed rule change between the the proposed rule change will impose Index value each day. For these reasons, Commission and any person, other than any burden on competition that is not the proposed rule change does not raise those that may be withheld from the necessary or appropriate in furtherance any novel regulatory issues, and the public in accordance with the of the purpose of the Act and will Commission believes waiver of the 30- provisions of 5 U.S.C. 552, will be enhance competition among issues of day operative delay is consistent with gold-based Commodity-Based Trust available for website viewing and the protection of investors and the printing in the Commission’s Public Shares. public interest. The Commission Reference Room, 100 F Street NE, therefore waives the 30-day operative C. Self-Regulatory Organization’s Washington, DC 20549 on official Statement on Comments on the delay and designates the proposed rule change to be operative upon filing.21 business days between the hours of Proposed Rule Change Received From 10:00 a.m. and 3:00 p.m. Copies of the Members, Participants, or Others At any time within 60 days of the filing also will be available for No written comments were solicited filing of such proposed rule change, the inspection and copying at the principal or received with respect to the proposed Commission summarily may office of the Exchange. All comments temporarily suspend such rule change if rule change. received will be posted without change. it appears to the Commission that such Persons submitting comments are III. Date of Effectiveness of the action is necessary or appropriate in the cautioned that we do not redact or edit Proposed Rule Change and Timing for public interest, for the protection of Commission Action investors, or otherwise in furtherance of personal identifying information from comment submissions. You should The Exchange has filed the proposed the purposes of the Act. submit only information that you wish rule change pursuant to Section IV. Solicitation of Comments to make available publicly. All 19(b)(3)(A)(iii) of the Act 17 and Rule submissions should refer to File 19b–4(f)(6) thereunder.18 Because the Interested persons are invited to proposed rule change does not: (i) submit written data, views, and Number SR–NYSEArca–2020–114 and Significantly affect the protection of arguments concerning the foregoing, should be submitted on or before investors or the public interest; (ii) including whether the proposed rule January 25, 2021. impose any significant burden on change is consistent with the Act. For the Commission, by the Division of competition; and (iii) become operative Comments may be submitted by any of Trading and Markets, pursuant to delegated prior to 30 days from the date on which the following methods: authority.22 it was filed, or such shorter time as the Electronic Comments J. Matthew DeLesDernier, Commission may designate, if Assistant Secretary. consistent with the protection of • Use the Commission’s internet [FR Doc. 2020–29025 Filed 12–31–20; 8:45 am] investors and the public interest, the comment form (http://www.sec.gov/ BILLING CODE 8011–01–P proposed rule change has become rules/sro.shtml); or effective pursuant to Section 19(b)(3)(A) • Send an email to rule-comments@ of the Act and Rule 19b–4(f)(6)(iii) sec.gov. Please include File Number SR– thereunder. NYSEArca–2020–114 on the subject A proposed rule change filed under line. Rule 19b–4(f)(6) 19 normally does not become operative prior to 30 days after the date of the filing. However, pursuant 20 17 CFR 240.19b–4(f)(6)(iii). 21 For purposes only of waiving the 30-day operative delay, the Commission has also 17 15 U.S.C. 78s(b)(3)(A)(iii). considered the proposed rule’s impact on 18 17 CFR 240.19b–4(f)(6). efficiency, competition, and capital formation. See 19 Id. 15 U.S.C. 78c(f). 22 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE (A) Clearing Agency’s Statement of the economic requirements. In COMMISSION Purpose of, and Statutory Basis for, the consideration of that policy, the Proposed Rule Change aggregate amount of $3.50 per-matched [Release No. 34–90805; File No. SR–DTC– claim will help facilitate a four-year 2020–020] 1. Purpose return on investment for DTC’s creation Self-Regulatory Organizations; The The purpose of the proposed rule of ClaimConnect and help cover Depository Trust Company; Notice of change is to amend the Fee Guide to add continued operating expenses for the Filing and Immediate Effectiveness of a fee for the new ClaimConnect service service. Second, the per-side structure a Proposed Rule Change To Add a Fee at DTC. was chosen to allocate the cost evenly for the New ClaimConnectTM Service ClaimConnect, an optional DTC between a claim’s two counterparties. service, enables Participants to Third, in order to align charges for the December 28, 2020. bilaterally match and settle cash claim ClaimConnect service with Participants’ 8 Pursuant to Section 19(b)(1) of the transactions at DTC. More specifically, actual usage of the service, the fee was Securities Exchange Act of 1934 ClaimConnect is a validation and structured as a per-usage fee (i.e., per- (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 matching engine that continually matched claim) instead of a flat monthly notice is hereby given that on December monitors claims throughout their or annual fixed-rate fee. Fourth, in 18, 2020, The Depository Trust lifecycle in order to settle and close setting the fee, DTC was mindful that, Company (‘‘DTC’’) filed with the claims through DTC’s settlement although there are no competing Securities and Exchange Commission process. Claims can be matched services, Participants could choose not (‘‘Commission’’) the proposed rule manually (i.e., Affirmed) by to use ClaimConnect and continue to change as described in Items I, II and III ClaimConnect users or automatically settle claims as they did prior to below, which Items have been prepared (i.e., Auto-matched) by the ClaimConnect (e.g., using internal/ ClaimConnect service when it matches by the clearing agency. DTC filed the proprietary systems, third-party two like claims based on the alignment proposed rule change pursuant to software, or some combination thereof). 3 of certain data elements. Once matched, Section 19(b)(3)(A) of the Act and Rule Fifth, DTC evaluated its existing Stock, 4 claims are settled through systematic 19b–4(f)(2) thereunder. The Loan, Repo & Fail Adjustments fee that Securities Payment Orders (‘‘SPOs’’) Commission is publishing this notice to DTC charges Participants for such generated and submitted by solicit comments on the proposed rule entitlement/allocation adjustment change from interested persons. ClaimConnect at set times intraday on a 9 activity (‘‘Adjustment Service Fee’’), settlement date. 12 I. Clearing Agency’s Statement of the With this proposed rule change, DTC similar to a cash claim. There, DTC Terms of Substance of the Proposed is establishing a ClaimConnect matching charges a $1.50 per adjustment, not per Rule Change fee of a $1.75 per side, per-matched side. In other words, whichever party The proposed rule change 5 consists of claim, whether or not the claim is submits an adjustment is charged $1.50. amendments to the Guide to the DTC Affirmed or Auto-matched. In other However, because there is no validation Fee Schedule (‘‘Fee Guide’’) 6 to add a words, both parties to a matched claim and matching process for adjustments, fee for the new ClaimConnect service at will be charged $1.75, such that DTC unlike with ClaimConnect claims, DTC,7 as described in greater detail would collect $3.50 for each matched counterparties often need to submit below. claim.10 No charge will be assessed for multiple adjustments between each claims that do not match (e.g., other before reaching final agreement; II. Clearing Agency’s Statement of the thus, the total adjustment cost routinely Purpose of, and Statutory Basis for, the Uncompared, DK-uncompared, or 11 exceeds $3.50. Proposed Rule Change Canceled claims). This per-side matching fee for claims Changes to the Fee Guide In its filing with the Commission, the processing will be new for Participants To effectuate the ClaimConnect fee, clearing agency included statements that use Asset Services products. In the Corporate Action subsection of the concerning the purpose of and basis for choosing this fee and fee structure, DTC Custody and Securities Processing the proposed rule change and discussed considered various factors. First, DTC section of the Fee Guide will be updated any comments it received on the followed its pricing policy of setting to include a ClaimConnect Matching proposed rule change. The text of these fees at cost plus a low-margin markup. Fee of $1.75, per each claim side after statements may be examined at the The ‘‘low-margin markup’’ is applied to matching. places specified in Item IV below. The recover development costs and clearing agency has prepared operating expenses, and to accumulate Implementation Timeframe summaries, set forth in sections A, B, capital sufficient to meet regulatory and and C below, of the most significant The ClaimConnect fee will be added aspects of such statements. to the 2021 Fee Guide and charged 8 With respect to ClaimConnect, a cash claim or beginning January 1, 2021. cash claim transaction is a cash entitlement (i.e., a 1 15 U.S.C. 78s(b)(1). request for cash) from one Participant to another 2. Statutory Basis 2 17 CFR 240.19b–4. Participant. Typically, cash claims arise as a result 3 15 U.S.C. 78s(b)(3)(A). of trading exceptions from a Corporate Action Section 17A(b)(3)(D) of the Act 4 17 CFR 240.19b–4(f)(2). event, where a cash entitlement needs to be requires that DTC’s Rules provide for 5 Capitalized terms not defined herein are defined delivered from one holder to another. Trading the equitable allocation of reasonable in the Rules, By-Laws and Organization Certificate exceptions include, but are not limited to, trades outside of the market’s agreed upon settlement dues, fees, and other charges among its of DTC (‘‘Rules’’) available at http://www.dtcc.com/ 13 ∼/media/Files/Downloads/legal/rules/dtc_rules.pdf, cycle, lack of due bill fail tracking, stock loan or Participants. DTC believes that the or in the ClaimConnectTM Service Guide available repo transaction discrepancy, or tax treaty ClaimConnect fee is consistent with this at https://www.dtcc.com/-/media/Files/Downloads/ differences. provision of the Act. legal/service-guides/ClaimConnect.pdf. 9 See ClaimConnect Service Guide, supra note 5. As described above, the ClaimConnect 6 Available at http://www.dtcc.com/-/media/ 10 Separate from ClaimConnect, an existing SPO Files/Downloads/legal/fee-guides/dtcfeeguide.pdf. fee of $.10 per side, per SPO will continue to be service is an optional service that was 7 See Securities Exchange Act Release No. 90481 charged. Fee ID 186, Fee Guide, supra note 6. (November 23, 2020), 85 FR 76640 (November 30, 11 See ClaimConnect Service Guide, supra note 5, 12 Fee ID 709, Fee Guide, supra note 6. 2020) (SR–DTC–2020–012) (‘‘Approval Order’’). regarding claim states. 13 15 U.S.C. 78q–1(b)(3)(D).

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developed based on discussions with the Participant can simply choose not to rules/sro.shtml). Copies of the Participants to enable them to bilaterally use ClaimConnect and continue to settle submission, all subsequent match and settle cash claim transactions claims away from DTC. Given this amendments, all written statements at DTC.14 Pursuant to this proposed rule optionality, DTC believes that the with respect to the proposed rule change, DTC is establishing an aggregate proposed fee should not place any change that are filed with the fee of $3.50 per-matched claim. DTC Participants at a relative disadvantage Commission, and all written believes the fee is equitably allocated compared to other Participants. communications relating to the because, as described above, the fee will proposed rule change between the be divided evenly between the two (C) Clearing Agency’s Statement on Commission and any person, other than counterparties to a claim, such that each Comments on the Proposed Rule those that may be withheld from the side of the claim will be charge $1.75 Change Received From Members, public in accordance with the per-matched claim, which reflects the Participants, or Others provisions of 5 U.S.C. 552, will be counterparties’ shared usage of the Written comments relating to this available for website viewing and service in settling a claim. proposed rule change have not been printing in the Commission’s Public DTC believes the fee is reasonable solicited or received. DTC will notify Reference Room, 100 F Street NE, because, as described above, (i) it is the Commission of any written Washington, DC 20549 on official consistent with DTC’s cost plus low- comments received by DTC. business days between the hours of margin markup pricing policy; (ii) it is 10:00 a.m. and 3:00 p.m. Copies of the III. Date of Effectiveness of the expected to produce a four-year return filing also will be available for Proposed Rule Change, and Timing for on DTC’s investment in developing inspection and copying at the principal Commission Action ClaimConnect, compared to a higher fee office of DTC and on DTCC’s website that would produce a quicker return, The foregoing rule change has become (http://dtcc.com/legal/sec-rule- while helping cover continued effective pursuant to Section filings.aspx). All comments received operating expenses for the service; (iii) 19(b)(3)(A) 15 of the Act and paragraph will be posted without change. Persons it is structured so that both parties to a (f) 16 of Rule 19b–4 thereunder. At any submitting comments are cautioned that claim pay the same amount; (iv) it is time within 60 days of the filing of the we do not redact or edit personal structured to align charges for the proposed rule change, the Commission identifying information from comment service with actual usage of the service; summarily may temporarily suspend submissions. You should submit only and (v) it was set in consideration of a such rule change if it appears to the information that you wish to make similar, existing fee (i.e., the Adjustment Commission that such action is available publicly. All submissions Service Fee) but knowing that parties to necessary or appropriate in the public should refer to File Number SR–DTC– a claim will not need to submit interest, for the protection of investors, 2020–020 and should be submitted on additional claims and pay additional or otherwise in furtherance of the or before January 25, 2021. ClaimConnect fees to reach agreement purposes of the Act. For the Commission, by the Division of on a claim, given the service’s IV. Solicitation of Comments Trading and Markets, pursuant to delegated validation and matching process. authority.17 Interested persons are invited to (B) Clearing Agency’s Statement on J. Matthew DeLesDernier, submit written data, views and Burden on Competition Assistant Secretary. arguments concerning the foregoing, [FR Doc. 2020–29022 Filed 12–31–20; 8:45 am] DTC does not believe that the including whether the proposed rule ClaimConnect fee will have any impact change is consistent with the Act. BILLING CODE 8011–01–P on competition. Comments may be submitted by any of As described above, DTC believes that the following methods: the proposed fee is equitable, SECURITIES AND EXCHANGE reasonable, and on par with fees for Electronic Comments COMMISSION other DTC services (e.g., the Adjustment • Use the Commission’s internet [Release No. 34–90802; File No. SR– Service Fee) already used by comment form (http://www.sec.gov/ CboeBZX–2020–042] Participants. As such, there is no rules/sro.shtml); or expectation that this particular fee • Send an email to rule-comments@ Self-Regulatory Organizations; Cboe would cause any competitive sec.gov. Please include File Number SR– BZX Exchange, Inc.; Notice of advantages or disadvantages among DTC–2020–020 on the subject line. Withdrawal of a Proposed Rule Change Participants. Moreover, although there To Accommodate Exchange Listing is no service in direct competition with Paper Comments and Trading of Options-Linked ClaimConnect, Participants are able to • Send paper comments in triplicate Securities settle their cash claims without using to Secretary, Securities and Exchange December 28, 2020. ClaimConnect, as they did prior to DTC Commission, 100 F Street NE, On May 15, 2020, Cboe BZX establishing the service. As such, it will Washington, DC 20549. Exchange, Inc. (‘‘Exchange’’) filed with be up to Participants to decide whether All submissions should refer to File the Securities and Exchange settling claims via the ClaimConnect Number SR–DTC–2020–020. This file Commission (‘‘Commission’’), pursuant service is worth the cost. If a Participant number should be included on the to Section 19(b)(1) of the Securities concludes that the manner in which it subject line if email is used. To help the Exchange Act of 1934 (‘‘Act’’) 1 and Rule was settling claims prior to Commission process and review your 19b–4 thereunder,2 a proposed rule ClaimConnect (e.g., using internal/ comments more efficiently, please use change to permit Exchange listing and proprietary systems, a third-party only one method. The Commission will trading of Options-Linked Securities. software, or some combination thereof) post all comments on the Commission’s The proposed rule change was is preferable (whether due to cost, internet website (http://www.sec.gov/ functionality, or some other factor), then 17 17 CFR 200.30–3(a)(12). 15 15 U.S.C. 78s(b)(3)(A). 1 15 U.S.C. 78s(b)(1). 14 See Approval Order, supra note 7. 16 17 CFR 240.19b–4(f). 2 17 CFR 240.19b–4.

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published for comment in the Federal have been prepared by the self- (1) Request for Exemptive Relief 3 Register on June 3, 2020. On July 9, regulatory organization. The Pursuant to Section 6.4(d)(ii)(A) of the 2020, pursuant to Section 19(b)(2) of the Commission is publishing this notice to CAT NMS Plan, each Participant must, 4 Act, the Commission designated a solicit comments on the proposed rule through its Compliance Rule, require its longer period within which to approve change from interested persons. Industry Members to record and report the proposed rule change, disapprove to the Central Repository, if the order is the proposed rule change, or institute I. Self-Regulatory Organization’s Statement of the Terms of Substance of executed, in whole or in part: (1) An proceedings to determine whether to Allocation Report; 5 (2) the SRO- 5 the Proposed Rule Change disapprove the proposed rule change. Assigned Market Participant Identifier On September 1, 2020, the Commission LTSE proposes a rule change to of the clearing broker or prime broker, instituted proceedings under Section amend the Rule Series 11.600, the 6 if applicable; and the (3) CAT-Order-ID 19(b)(2)(B) of the Act to determine Exchange’s compliance rule of any contra-side order(s). Accordingly, whether to approve or disapprove the (‘‘Compliance Rule’’) regarding the 7 the Exchange and the other Participants proposed rule change. On November National Market System Plan Governing implemented Compliance Rules that 17, 2020, the Commission designated a the Consolidated Audit Trail (the ‘‘CAT require their Industry Members that are longer period within which to issue an 3 NMS Plan’’ or ‘‘Plan’’) to be consistent executing brokers to submit to the order approving or disapproving the with a conditional exemption granted Central Repository, among other things, proposed rule change.8 The Commission by the Commission from certain Allocation Reports and the SRO- received no comment letters on the allocation reporting requirements set Assigned Market Participant Identifier proposed rule change. On December 23, forth in Sections 6.4(d)(ii)(A)(1) and (2) of the clearing broker or prime broker, 2020, the Exchange withdrew the of the CAT NMS Plan (‘‘Allocation 4 if applicable. proposed rule change (SR–CboeBZX– Exemption’’). On August 27, 2020, the Participants 2020–042). The text of the proposed rule change submitted to the Commission a request For the Commission, by the Division of is available at the Exchange’s website at for an exemption from certain allocation Trading and Markets, pursuant to delegated https://longtermstockexchange.com/, at reporting requirements set forth in 9 authority. the principal office of the Exchange, and Sections 6.4(d)(ii)(A)(1) and (2) of the J. Matthew DeLesDernier, at the Commission’s Public Reference CAT NMS Plan (‘‘Exemption Assistant Secretary. Room. Request’’).6 In the Exemption Request, [FR Doc. 2020–29019 Filed 12–31–20; 8:45 am] II. Self-Regulatory Organization’s the Participants requested that they be BILLING CODE 8011–01–P Statement on the Purpose of, and permitted to implement the Allocation Statutory Basis for, the Proposed Rule Alternative, which, as noted above, is an Change alternative approach to reporting SECURITIES AND EXCHANGE allocations to the Central Repository. COMMISSION In its filing with the Commission, the Under the Allocation Alternative, any self-regulatory organization included Industry Member that performs an [Release No. 34–90809; File No. SR–LTSE– statements concerning the purpose of 2020–24] allocation to a client account would be and basis for the proposed rule change required under the Compliance Rule to Self-Regulatory Organizations; Long- and discussed any comments it received submit an Allocation Report to the Term Stock Exchange, Inc.; Notice of on the proposed rule change. The text Central Repository when shares/ Filing and Immediate Effectiveness of of these statements may be examined at contracts are allocated to a client Proposed Rule Change To Amend the the places specified in Item IV below. account regardless of whether the Rule Series 11.600 The self-regulatory organization has Industry Member was involved in prepared summaries, set forth in December 28, 2020. executing the underlying order(s). Sections A, B, and C below, of the most Under the Allocation Alternative, a Pursuant to Section 19(b)(1) of the significant aspects of such statements. Securities Exchange Act of 1934 ‘‘client account’’ would be any account (‘‘Act’’),1 and Rule 19b–4 thereunder,2 A. Self-Regulatory Organization’s that is not owned or controlled by the notice is hereby given that on December Statement on the Purpose of, and Industry Member. 18, 2020, Long-Term Stock Exchange, Statutory Basis for, the Proposed Rule In addition, under the Allocation Inc. (‘‘LTSE’’ or the ‘‘Exchange’’) filed Change Alternative, an ‘‘Allocation’’ would be defined as: (1) The placement of shares/ with the Securities and Exchange 1. Purpose Commission (‘‘Commission’’) the contracts into the same account for proposed rule change as described in The purpose of this proposed rule which an order was originally placed; or Items I, II and III below, which Items change is to amend the Rule Series (2) the placement of shares/contracts 11.600 to be consistent with the into an account based on allocation 3 See Securities Exchange Act Release No. 88968 Allocation Exemption. The Commission (May 28, 2020), 85 FR 34270. granted the relief conditioned upon the 5 Section 1.1 of the CAT NMS Plan defines an 4 15 U.S.C. 78s(b)(2). Participants’ adoption of Compliance ‘‘Allocation Report’’ as ‘‘a report made to the Central Repository by an Industry Member that 5 See Securities Exchange Act Release No. 89267, Rules that implement the alternative 85 FR 42933 (July 15, 2020). identifies the Firm Designated ID for any account(s), approach to reporting allocations to the including subaccount(s), to which executed shares 6 15 U.S.C. 78s(b)(2)(B). Central Repository described in the are allocated and provides the security that has 7 See Securities Exchange Act Release No. 89722, Allocation Exemption (referred to as the been allocated, the identifier of the firm reporting 85 FR 55337 (September 4, 2020). the allocation, the price per share of shares 8 See Securities Exchange Act Release No. 90444, ‘‘Allocation Alternative’’). allocated, the side of shares allocated, the number 85 FR 74777 (November 23, 2020). The Commission of shares allocated to each account, and the time of designated January 29, 2021, as the date by which 3 Unless otherwise specified, capitalized terms the allocation; provided for the avoidance of doubt, the Commission shall either approve or disapprove used in this rule filing are defined as set forth in any such Allocation Report shall not be required to the proposed rule change. the Compliance Rule. be linked to particular orders or executions.’’ 9 17 CFR 200.30–3(a)(12). 4 See Securities Exchange Act Rel. No. 90223 6 See Letter from the Participants to Vanessa 1 15 U.S.C. 78s(b)(1). (October 19, 2020), 85 FR 67576 (October 23, 2020) Countryman, Secretary, Commission, dated August 2 17 CFR 240.19b–4. (‘‘Allocation Exemptive Order’’). 27, 2020 (the ‘‘Exemption Request’’).

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instructions (e.g., subaccount identifying the specific prime broker to required to report the ultimate allocations, delivery versus payment which shares/contracts were allocated allocation, which the Participants (‘‘DVP’’) allocations). Pursuant to this and then each prime broker would itself believe would provide more complete definition and the proposed Allocation report an Allocation Report identifying information. Alternative, an Industry Member that the specific customer accounts to which The Participants stated that performs an Allocation to an account the shares/contracts were finally associating a prime broker with a that is not a client account, such as allocated. specific execution, as is currently proprietary accounts and events The Participants stated that granting required by the CAT NMS Plan, does including step outs,7 or correspondent exemptive relief from submitting not reflect how the allocation process flips,8 would not be required to submit Allocation Reports for executing brokers works in practice as allocations to a an Allocation Report to the Central who do not perform an Allocation, and prime broker are done post-trade and Repository for that allocation, but could requiring the Industry Member other are performed by the clearing broker of do so on a voluntary basis. Industry than the executing broker that is the executing broker. The Participants Members would be allowed to report performing the Allocation to submit also stated that with the implementation Allocations to accounts other than client such Allocation Reports, is consistent of the Allocation Alternative, it would accounts; in that instance, such with the basic approach taken by the be duplicative for the executing broker Allocations must be marked as Commission in adopting Rule 613 under to separately identify the prime broker Allocations to accounts other than client the Act. Specifically, the Participants for allocation purposes. accounts. stated that they believe that the The Participants stated that if a Commission sought to require each particular customer only has one prime (A) Executing Brokers and Allocation broker-dealer and exchange that touches Reports broker, the identity of the prime broker an order to record the required data can be obtained from the customer and To implement the Allocation with respect to actions it takes on the account information through the DVP Alternative, the Participants requested 9 order. Without the requested accounts for that customer that contain exemptive relief from Section exemptive relief, executing brokers that the identity of the prime broker. The 6.4(d)(ii)(A)(1) of the CAT NMS Plan, to do not perform Allocations would be Participants further stated that the extent that the provision requires required to submit Allocation Reports. Allocation Reports related to those each Participant to, through its In addition, the Participants stated that, executions would reflect that shares/ Compliance Rule, require its Industry because shares/contracts for every contracts were allocated to the single Members that are executing brokers, execution must be allocated to an prime broker. The Participants believe who do not perform Allocations, to account by the clearing broker in such that there is no loss of information record and report to the Central circumstances, there would be no loss of through the implementation of the Repository, if the order is executed, in information by shifting the reporting Allocation Alternative compared to whole or in part, an Allocation Report. obligation from the executing broker to what is required in the CAT NMS Plan Under the Allocation Alternative, when the clearing broker. an Industry Member other than an and that this approach does not executing broker (e.g., a prime broker or (B) Identity of Prime Broker decrease the regulatory utility of the clearing broker) performs an Allocation, To implement the Allocation CAT for single prime broker that Industry Member would be Alternative, the Participants also circumstances. required to submit the Allocation Report requested exemptive relief from Section In cases where a customer maintains to the Central Repository. When an 6.4(d)(ii)(A)(2) of the CAT NMS Plan, to relationships with multiple prime executing broker performs an Allocation the extent that the provision requires brokers, the Participants asserted that for an order that is executed, in whole each Participant to, through its the executing broker will not have or in part, the burden of submitting an Compliance Rule, require its Industry information at the time of the trade as Allocation Report to the Central Members to record and report to the to which particular prime broker may be Repository would remain with the Central Repository, if an order is allocated all or part of the execution. executing broker under the Allocation executed, in whole or in part, the SRO- Under the Allocation Alternative, the Alternative. In certain circumstances Assigned Market Participant Identifier executing broker (if self-clearing) or its this would result in multiple Allocation of the prime broker, if applicable. clearing firm would report individual Reports—the executing broker (if self- Currently, under the CAT NMS Plan, an Allocation Reports identifying the clearing) or its clearing firm would Industry Member is required to report specific prime broker to which shares/ report individual Allocation Reports the SRO-Assigned Market Participant contracts were allocated and then each Identifier of the clearing broker or prime prime broker would itself report an 7 ‘‘A step-out allows a broker-dealer to allocate all broker in connection with the execution Allocation Report identifying the or part of a client’s position from a previously of an order, and such information would specific customer accounts where the executed trade to the client’s account at another shares/contracts were ultimately broker-dealer. In other words, a step-out functions be part of the order’s lifecycle, rather as a client’s position transfer, rather than a trade; than in an Allocation Report that is not allocated. To determine the prime there is no exchange of shares and funds and no linked to the order’s lifecycle.10 Under broker for a customer, a regulatory user change in beneficial ownership.’’ See FINRA, Trade the Allocation Alternative, the identity would query the customer and account Reporting Frequently Asked Questions, at Section 301, available at: https://www.finra.org/filing- of the prime broker would be required database using the customer’s CCID to reporting/market-transparency-reporting/trade- to be reported by the clearing broker on obtain all DVP accounts for the CCID at reporting-faq. the Allocation Report, and, in addition, broker-dealers. The Participants state 8 Correspondent clearing flips are the movement the prime broker itself would be that when a customer maintains of a position from an executing broker’s account to a different account for clearance and settlement, relationships with multiple prime allowing a broker-dealer to execute a trade through 9 See Securities Exchange Act Release No. 67457 brokers, the customer typically has a another broker-dealer and settle the trade in its own (July 18, 2012), 77 FR 45722, 45748 (August 1, separate DVP account with each prime 2012). account. See, e.g., The Depository Trust & Clearing broker, and the identities of those prime Corporation, Correspondent Clearing, available at: 10 The Participants did not request exemptive https://www.dtcc.com/clearing-services/equities- relief relating to the reporting of the SRO-Assigned brokers can be obtained from the tradecapture/correspondent-clearing. Market Participant Identifier of clearing brokers. customer and account information.

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(C) Additional Conditions to Exemptive number if the custodian is a U.S. bank, requirements for Allocation Reports to Relief or a foreign indicator, if the custodian contracts in addition to shares; and (2) In the Exemption Request, the is a foreign entity; and (10) if an requiring the reporting of additional Participants included certain additional allocation was cancelled, a cancel flag, elements for the Allocation Report. which indicates that the allocation was conditions for the requested relief. (i) Shares and Contracts cancelled, and a cancel timestamp, Currently, the definition of Allocation which represents the time at which the The requirements for Allocation Report in the CAT NMS Plan only refers allocation was cancelled. Reports apply only to shares, as the to shares. To implement the Allocation definition of ‘‘Allocation Report’’ in Alternative, the Participants proposed to (2) Proposed Rule Changes To Rule 11.610(c) refers to shares, not require that all required elements of Implement Exemptive Relief contracts. In the Allocation Exemption, Allocation Reports apply to both shares On October 29, 2020, the Commission the Commission stated that applying the and contracts, as applicable, for all granted the exemptive relief requested requirements for Allocation Reports to Eligible Securities. Specifically, in the Exemption Request. The contracts in addition to shares is Participants would require the reporting Commission granted the relief appropriate because CAT reporting of the following in each Allocation conditioned upon the adoption of requirements apply to both options and Report: (1) The FDID for the account Compliance Rules that implement the equities. Accordingly, the SEC stated receiving the allocation, including reporting requirements of the Allocation that the Participants would be required subaccounts; (2) the security that has Alternative. Accordingly, the Exchange to modify their Compliance Rules such been allocated; (3) the identifier of the proposes the following changes to its that all required elements of Allocation firm reporting the allocation; (3) the Compliance Rule to implement the Reports apply to both shares and price per share/contracts of shares/ reporting requirements of the Allocation contracts, as applicable, for all Eligible contracts allocated; (4) the side of Alternative. Securities. Therefore, the Exchange shares/contracts allocated; (4) the (A) Definition of Allocation proposes to amend Rule 11.610(c) (to be number of shares/contracts allocated; renumbered as Rule 11.610(d)) to apply and (5) the time of the allocation. The Exchange proposes to add a to contracts, as well as shares. Furthermore, to implement the definition of ‘‘Allocation’’ as new 13 Specifically, the Exchange proposes to Allocation Alternative, the Participants paragraph (c) to Rule 11.610. Proposed add references to contracts to the proposed to require the following paragraph (c) of Rule 11.610 would definition of ‘‘Allocation Report’’ to the information on all Allocation Reports: define an ‘‘Allocation’’ to mean ‘‘(1) the following phrases: ‘‘the Firm Designated (1) Allocation ID, which is the internal placement of shares/contracts into the ID for any account(s), including allocation identifier assigned to the same account for which an order was subaccount(s), to which executed originally placed; or (2) the placement allocation event by the Industry shares/contracts are allocated,’’ ‘‘the of shares/contracts into an account Member; (2) trade date; (3) settlement price per share/contract of shares/ based on allocation instructions (e.g., date; (4) IB/correspondent CRD Number contracts allocated,’’ ‘‘the side of shares/ subaccount allocations, delivery versus (if applicable); (5) FDID of new order(s) contracts allocated,’’ and ‘‘the number 11 payment (‘‘DVP’’) allocations).’’ The (if available in the booking system); of shares/contracts allocated to each SEC stated in the Allocation Exemption (6) allocation instruction time account.’’ (optional); (7) if the account meets the that this definition of ‘‘Allocation’’ is definition of institution under FINRA reasonable. (ii) Additional Elements 12 Rule 4512(c); (8) type of allocation (B) Definition of Allocation Report The Commission also conditioned the (allocation to a custody account, Allocation Exemption on the The Exchange proposes to amend the allocation to a DVP account, step out, Participants amending their Compliance definition of ‘‘Allocation Report’’ set correspondent flip, allocation to a firm Rules to require the ten additional forth in Exchange Rule 11.610(c) to owned or controlled account, or other elements in Allocation Reports non-reportable transactions (e.g., option reflect the requirements of the Allocation Exemption. Exchange Rule described above. Accordingly, the exercises, conversions); (9) for DVP Exchange proposes to require these allocations, custody broker-dealer 11.610(c) defines the term ‘‘Allocation Report’’ to mean: additional elements in Allocation clearing number (prime broker) if the Reports. Specifically, the Exchange custodian is a U.S. broker-dealer, DTCC a report made to the Central Repository by an proposes to amend the definition of Industry Member that identifies the Firm ‘‘Allocation Report’’ in Rule 11.610(c) 11 Designated ID for any account(s), including The Participants propose that for scenarios (to be renumbered as Rule 11.610(d)) to where the Industry Member responsible for subaccount(s), to which executed shares are reporting the Allocation has the FDID of the related allocated and provides the security that has include the following elements, in new order(s) available, such FDID must be reported. been allocated, the identifier of the firm addition to those elements currently This would include scenarios in which: (1) The reporting the allocation, the price per share required under the CAT NMS Plan: FDID structure of the top account and subaccounts of shares allocated, the side of shares (6) the time of the allocation; (7) Allocation is known to the Industry Member responsible for allocated, the number of shares allocated to ID, which is the internal allocation identifier reporting the Allocation(s); and (2) the FDID each account, and the time of the allocation; assigned to the allocation event by the structure used by the IB/Correspondent when provided, for the avoidance of doubt, any reporting new orders is known to the clearing firm Industry Member; (8) trade date; (9) such Allocation Report shall not be required reporting the related Allocations. settlement date; (10) IB/correspondent CRD to be linked to particular orders or 12 FINRA Rule 4512(c) states the for purposes of Number (if applicable); (11) FDID of new executions. the rule, the term ‘‘institutional account’’ means the order(s) (if available in the booking system); account of: (1) A bank, savings and loan association, The Exchange proposes to amend this (12) allocation instruction time (optional); insurance company or registered investment definition in two ways: (1) Applying the (12) if account meets the definition of company; (2) an investment adviser registered institution under FINRA Rule 4512(c); (13) either with the SEC under Section 203 of the Investment Advisers Act or with a state securities 13 The Exchange proposes to renumber the type of allocation (allocation to a custody commission (or any agency or office performing like definitions in Rule 11.610 to accommodate the account, allocation to a DVP account, step- functions); or (3) any other person (whether a addition of this new definition of ‘‘Allocation’’ and out, correspondent flip, allocation to a firm natural person, corporation, partnership, trust or the new definition of ‘‘Client Account’’ discussed owned or controlled account, or other non- otherwise) with total assets of at least $50 million. below. reportable transactions (e.g., option exercises,

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conversions); (14) for DVP allocations, the information required on an CAT reporting requirements and lower custody broker-dealer clearing number Allocation Report would not have to costs by allowing broker-dealers to use (prime broker) if the custodian is a U.S. develop the infrastructure and processes existing business practices. broker-dealer, DTCC number if the custodian To clarify that an Industry Member is a U.S. bank, or a foreign indicator, if the required to obtain, store and report the custodian is a foreign entity; and (15) if an information. The Commission stated must report an Allocation Report solely allocation was cancelled, a cancel flag that this exemptive relief should not for Allocations to a client account, indicating that the allocation was cancelled, reduce the regulatory utility of the CAT proposed Rule 11.630(a)(2)(F) and a cancel timestamp, which represents the because an Allocation Report would specifically references ‘‘Client time at which the allocation was cancelled. still be submitted for each executed Accounts,’’ as discussed above. In addition, the Exchange proposes to add (C) Allocation Reports trade allocated to a client account, which in certain circumstances could a definition of ‘‘Client Account’’ as (i) Executing Brokers That Do Not still result in multiple Allocation proposed Rule 11.610(l). Proposed Rule Perform Allocations Reports,15 just not necessarily by the 11.610(l) would define a ‘‘Client The Commission granted the executing broker. Account’’ to mean ‘‘for the purposes of Participants an exemption from the In accordance with the Allocation an Allocation and Allocation Report, requirement that the Participants, Exemption, the Exchange proposes to any account or subaccount that is not through their Compliance Rule, require add proposed Rule 11.630(a)(2)(F) to the owned or controlled by the Industry executing brokers that do not perform Compliance Rule. Proposed Rule Member.’’ Allocations to submit Allocation 11.630(a)(2)(F) would require Industry (D) Identity of Prime Broker Reports. The Commission stated that it Members to record and report to the The Exchange also proposes to amend understands that executing brokers that Central Repository ‘‘an Allocation Rule 11.630(a)(2)(A)(ii) to eliminate the are not self-clearing do not perform Report any time the Industry Member requirement for executing brokers to allocations themselves, and such performs an Allocation to a Client record and report the SRO-Assigned allocations are handled by prime and/or Account, whether or not the Industry Market Participant Identifier of the clearing brokers, and these executing Member was the executing broker for prime broker. Rule 11.630(a)(2)(A)(ii) brokers therefore do not possess the the trade.’’ states that each Industry Member is requisite information to provide (iii) Client Accounts required to record and report to the Allocation Reports. Accordingly, the In the Allocation Exemption, the Central Repository, if the order is Exchange proposes to eliminate Rule executed, in whole or in part, the ‘‘SRO- 11.630(a)(2)(A)(i),14 which requires an Commission also exempted the Participants from the requirement that Assigned Market Participant Identifier Industry Member to record and report to of the clearing broker or prime broker, they amend their Compliance Rules to the Central Repository an Allocation if applicable.’’ The Exchange proposes require Industry Members to report Report if the order is executed, in whole to delete the phrase ‘‘or prime broker’’ Allocations for accounts other than or in part, and to replace this provision from this provision. Accordingly, each client accounts. The Commission with proposed Rule 11.630(a)(2)(F) as Industry Member that is an executing believes that allocations to client discussed below. broker would no longer be required to accounts, and not allocations to report the SRO-Assigned Market (ii) Industry Members That Perform proprietary accounts or events such as Participant Identifier of the prime Allocations step-outs and correspondent flips, broker. The Allocation Exemption requires provide regulators the necessary As the Commission noted in the the Participants to amend their information to detect abuses in the Allocation Exemption, exempting the Compliance Rules to require Industry allocation process because it would Participants from the requirement that Members to provide Allocation Reports provide regulators with detailed they, through their Compliance Rules, to the Central Repository any time they information regarding the fulfillment of require executing brokers to provide the perform Allocations to a client account, orders submitted by clients, while SRO-Assigned Market Participant whether or not the Industry Member reducing reporting burdens on broker- Identifier of the prime broker is was the executing broker for the trades. dealers. For example, Allocation appropriate because, as stated by the Accordingly, the Commission Reports would be required for Participants, allocations are done on a conditioned the Allocation Exemption allocations to registered investment post-trade basis and the executing on the Participants adopting advisor and money manager accounts. broker will not have the requisite Compliance Rules that require prime The Commission further believes that information at the time of the trade. and/or clearing brokers to submit the proposed approach should facilitate Because an executing broker, in certain Allocation Reports when such brokers regulators’ ability to distinguish circumstances, does not have this perform allocations, in addition to Allocation Reports relating to information at the time of the trade, this requiring executing brokers that perform allocations to client accounts from other relief relieves executing brokers of the allocations to submit Allocation Allocation Reports because Allocations burdens and costs of developing Reports. The Commission determined to accounts other than client accounts infrastructure and processes to obtain that such exemptive relief would would have to be identified as such. this information in order to meet the improve efficiency and reduce the costs This approach could reduce the time contemporaneous reporting and burdens of reporting allocations for CAT Reporters expend to comply with requirements of the CAT NMS Plan. Industry Members because the reporting As the Commission noted in the 15 obligation would belong to the Industry As noted above, under the Allocation Allocation Exemption, although Member with the requisite information, Alternative, for certain executions, the executing broker (if self-clearing) or its clearing firm would executing brokers would no longer be and executing brokers that do not have report individual Allocation Reports identifying the required to provide the prime broker specific prime broker to which shares/contracts information, regulators will still be able 14 The Exchange proposes to renumber Rule were allocated and then each prime broker would 11.630(a)(2)(A)(ii) and (iii) as Rule 11.630(a)(2)(A)(i) itself report an Allocation Report identifying the to determine the prime broker(s) and (ii) in light of the proposed deletion of Rule specific customer accounts to which the shares/ associated with orders through querying 11.630(a)(2)(A)(i). contracts were finally allocated. the customer and account information

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database. If an executing broker has only Plan. The Exchange also notes that the Electronic Comments one prime broker, the identity of the proposed rule changes will apply • prime broker can be obtained from the equally to all Industry Members. In Use the Commission’s internet customer and account information addition, all national securities comment form (http://www.sec.gov/ associated with the executing broker. exchanges and FINRA are proposing rules/sro.shtml); or For customers with multiple prime this amendment to their Compliance • Send an email to rule-comments@ brokers, the identity of the prime Rules. Therefore, this is not a sec.gov. Please include File Number SR– brokers can be obtained from the competitive rule filing and does not LTSE–2020–24 on the subject line. customer and account information impose a burden on competition. which will list the prime broker, if there Paper Comments C. Self-Regulatory Organization’s is one, that is associated with each • account. Statement on Comments on the Send paper comments in triplicate Proposed Rule Change Received From to Secretary, Securities and Exchange 2. Statutory Basis Members, Participants, or Others Commission, 100 F Street NE, The Exchange believes that the Washington, DC 20549–1090. proposed rule change is consistent with Written comments were neither All submissions should refer to File the provisions of Section 6(b)(5) of the solicited nor received. Number SR–LTSE–2020–24. This file Act,16 which require, among other III. Date of Effectiveness of the things, that the Exchange’s rules must number should be included on the be designed to prevent fraudulent and Proposed Rule Change and Timing for subject line if email is used. To help the manipulative acts and practices, to Commission Action Commission process and review your promote just and equitable principles of comments more efficiently, please use The Exchange has filed the proposed only one method. The Commission will trade, and, in general, to protect rule change pursuant to Section post all comments on the Commission’s investors and the public interest, and 19(b)(3)(A)(iii) of the Act 19 and Rule 17 internet website (http://www.sec.gov/ Section 6(b)(8) of the Act, which 19b–4(f)(6) thereunder.20 Because the rules/sro.shtml). Copies of the requires that the Exchange’s rules not proposed rule change does not: (i) impose any burden on competition that submission, all subsequent Significantly affect the protection of is not necessary or appropriate. amendments, all written statements investors or the public interest; (ii) The Exchange believes that this with respect to the proposed rule proposal is consistent with the Act impose any significant burden on competition; and (iii) become operative change that are filed with the because it is consistent with, and Commission, and all written implements, the Allocation Exemption, prior to 30 days from the date on which it was filed, or such shorter time as the communications relating to the and is designed to assist the Exchange proposed rule change between the and its Industry Members in meeting Commission may designate, if consistent with the protection of Commission and any person, other than regulatory obligations pursuant to the those that may be withheld from the Plan. In approving the Plan, the SEC investors and the public interest, the public in accordance with the noted that the Plan ‘‘is necessary and proposed rule change has become appropriate in the public interest, for effective pursuant to Section 19(b)(3)(A) provisions of 5 U.S.C. 552, will be the protection of investors and the of the Act and Rule 19b–4(f)(6)(iii) available for website viewing and maintenance of fair and orderly markets, thereunder. printing in the Commission’s Public Reference Room, 100 F Street NE, to remove impediments to, and perfect At any time within 60 days of the Washington, DC 20549, on official the mechanism of a national market filing of such proposed rule change, the business days between the hours of system, or is otherwise in furtherance of Commission summarily may 18 10:00 a.m. and 3:00 p.m. Copies of the the purposes of the Act.’’ To the temporarily suspend such rule change if extent that this proposal implements the it appears to the Commission that such filing also will be available for Plan, and applies specific requirements action is necessary or appropriate in the inspection and copying at the principal to Industry Members, the Exchange public interest, for the protection of office of the Exchange. All comments believes that this proposal furthers the investors, or otherwise in furtherance of received will be posted without change. objectives of the Plan, as identified by the purposes of the Act. If the Persons submitting comments are the SEC, and is therefore consistent with Commission takes such action, the cautioned that we do not redact or edit the Act. Commission shall institute proceedings personal identifying information from B. Self-Regulatory Organization’s under Section 19(b)(2)(B) 21 of the Act to comment submissions. You should Statement on Burden on Competition determine whether the proposed rule submit only information that you wish to make available publicly. All The Exchange does not believe that change should be approved or the proposed rule change will result in disapproved. submissions should refer to File Number SR–LTSE–2020–24, and should any burden on competition that is not IV. Solicitation of Comments necessary or appropriate in furtherance be submitted on or before January 25, of the purposes of the Act. The Interested persons are invited to 2021. Exchange notes that the proposed rule submit written data, views, and For the Commission, by the Division of changes are consistent with the arguments concerning the foregoing, Trading and Markets, pursuant to delegated Allocation Exemption, and are designed including whether the proposed rule authority.22 to assist the Exchange in meeting its change is consistent with the Act. J. Matthew DeLesDernier, regulatory obligations pursuant to the Comments may be submitted by any of Assistant Secretary. the following methods: 16 15 U.S.C. 78f(b)(5). [FR Doc. 2020–29027 Filed 12–31–20; 8:45 am] 17 15 U.S.C. 78f(b)(8). BILLING CODE 8011–01–P 19 18 See Securities Exchange Act Release No. 79318 15 U.S.C. 78s(b)(3)(A)(iii). (November 15, 2016), 81 FR 84696, 84697 20 17 CFR 240.19b–4(f)(6). (November 23, 2016). 21 15 U.S.C. 78s(b)(2)(B). 22 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE places specified in Item IV below. ICE right exists and is exercised or unless COMMISSION Clear Europe has prepared summaries, otherwise stated in circular, among set forth in sections (A), (B), and (C) other existing exceptions, such CDS [Release No. 34–90806; File No. SR–ICEEU– 2020–018)] below, of the most significant aspects of Trade Particulars would be deemed to such statements. have been submitted at 8:00 a.m. on the following Business Day. Furthermore, Self-Regulatory Organizations; ICE (A) Clearing Agency’s Statement of the the Procedures would provide that if the Clear Europe Limited; Notice of Filing Purpose of, and Statutory Basis for, the Trade Date specified in the CDS Trade of Proposed Rule Change Relating to Proposed Rule Change, Security-Based Particulars is not a Business Day, then Amendments to the ICE Clear Europe Swap Submission or Advance Notice CDS Procedures and CDS Default the relevant CDS Trade Particulars Management Policy (a) Purpose would be rejected. This reflects current ICE Clear Europe is proposing to Clearing House practice. December 28, 2020. amend its CDS Procedures as to the Pursuant to Section 19(b)(1) of the CDS Default Committee following: (i) The requirements for a Securities Exchange Act of 1934 The amendments to the Procedures in Clearing Member to be approved to be (‘‘Act’’),1 and Rule 19b–4 thereunder,2 paragraph 5 would update the a CDS Committee-Eligible Clearing notice is hereby given that on December requirements for a Clearing Member to Member, (ii) the courses of action for the 14, 2020, ICE Clear Europe Limited be approved to be a CDS Committee- Clearing House if a CDS Committee- (‘‘ICE Clear Europe’’ or the ‘‘Clearing Eligible Clearing Member. Pursuant to Eligible Clearing Member is unable to House’’) filed with the Securities and paragraph 5.2, as proposed to be take part in the CDS Default Committee Exchange Commission (‘‘Commission’’) amended, the Clearing Member would for the Relevant CDS Default Committee the proposed rule changes described in need to meet the following conditions in Period for which it is due to take part, Items I, II, and III below, which Items order to be eligible: (a) In the event that (iii) the confidentiality obligations of have been prepared primarily by ICE it has one or more Affiliates that are CDS Default Committee Members and Clear Europe. The Commission is CDS Clearing Members, it has the CDS Default Committee Participants and publishing this notice to solicit longest period of membership of the the limitations on liability applicable to comments on the proposed rule change Clearing House among such Affiliates; such persons, (iv) timing requirements from interested persons. (b) it has a London-based CDS trading with respect to the submission of CDS desk; and (c) it is deemed appropriate to I. Clearing Agency’s Statement of the Trade Particulars and (v) various be a CDS Default Committee Member by Terms of Substance of the Proposed drafting clarifications and the Clearing House at its discretion. The Rule Change improvements. ICE Clear Europe is also Clearing House would maintain a list of The principal purpose of the proposing to update the CDS Default all CDS Committee-Eligible Clearing proposed amendments is for ICE Clear Management Policy which would Members. The procedure for Europe to modify its CDS Procedures provide further detail with respect to maintaining the CDS Default Committee (the ‘‘CDS Procedures’’ or the the requirements for a Clearing Member Participant List (including adding CDS ‘‘Procedures’’) to update the to be Committee-Eligible for purposes of Clearing Members to, removing CDS requirements for a Clearing Member to serving on the CDS Default Committee, Clearing Members from or changing the be approved to be a CDS Committee- and to make various drafting order of Clearing Members on the CDS Eligible Clearing Member for purposes clarifications and improvements, as Default Committee Participant List) of the CDS Default Committee, as well consistent with the proposed updates to would be determined from time to time as certain other updates and the Procedures. by the Clearing House at its discretion. clarifications, and to modify its CDS I. CDS Procedures (Certain such matters would be Default Management Policy (the ‘‘CDS addressed in further detail in the Policy, General Drafting Clarifications and Default Management Policy’’ or as discussed below.) CDS Clearing Improvements ‘‘Policy’’) to make corresponding Members would be able to provide updates to the requirements for a The amendments to the Procedures information of relevance to the Clearing Clearing Member to be eligible to serve would clarify that the term ‘‘CDS House with respect to their own on the CDS Default Committee, as well Committee-Eligible Clearing Members’’ inclusion or omission or order on the as to provide more detail with respect must be approved in accordance with list, but such information would not be to review and testing of its default paragraph 5.2 of the Procedures and binding on the Clearing House. procedures, remove appendices and continue to meet the criteria of such Additionally, the Procedures would make certain other updates and Paragraph. As described below, state that ICE Clear Europe may also clarifications to be consistent with other paragraph 5.2, as proposed to be share the CDS Default Committee ICE Clear Europe policies. amended, would specify in detail the Participant List with any other clearing requirements for a Clearing Member to organization. II. Clearing Agency’s Statement of the be approved to be a CDS Committee- Amendments to paragraph 5.3 would Purpose of, and Statutory Basis for, the Eligible Clearing Member. add that if a CDS Committee-Eligible Proposed Rule Change Clearing Member considers that it is Submission and Acceptance of CDS In its filing with the Commission, ICE unable to take part in the CDS Default Contracts Clear Europe included statements Committee for the Relevant CDS Default concerning the purpose of and basis for The amendments would revise Committee Period for which it is due to the proposed rule change and discussed paragraph 4.4 of the Procedures, which take part, it may request to postpone its any comments it received on the describes the timing requirements for participation for that period. ICE Clear proposed rule change. The text of these submitting CDS Trade Particulars, to Europe could, at its discretion, approve statements may be examined at the clarify that with respect to CDS Trade such request and, if so, the following Particulars submitted after 6:00 p.m. on events would take place: (a) That CDS 1 15 U.S.C. 78s(b)(1). a Business Day or on a day that is not Committee-Eligible Clearing Member 2 17 CFR 240.19b–4. a Business Day, unless a revocation would be listed so as to take part in the

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CDS Default Committee for the next same. The procedures that would apply option to request to postpone their Relevant CDS Default Committee Period in the event a Covered Party is served Relevant CDS Default Committee for a as one of the three CDS Default with or otherwise subject to legal Relevant CDS Default Committee Committee Participants; and (b) one of process have been removed as Period. If the Clearing House finds the the next three CDS Committee-Eligible unnecessary in light of the referenced reason for postponement satisfactory, Clearing Members on the CDS Default provisions of Rule 106. Paragraph 5.9 the CDS Default Committee Participant Committee Participant List would be would be amended to clarify that each would be substituted for a CDS selected by the Clearing House at its CDS Clearing Member agrees that each Committee-Eligible Clearing Member discretion to take part in the CDS Covered Party would be responsible for from the next three members on the CDS Default Committee during that Relevant its own costs associated with its service Default Committee Participant List. CDS Default Committee Period. The in such position. Prior to commencement of a rotation, CDS Default Committee Participant List CDS Default Committee Members would II. CDS Default Management Policy would be amended accordingly. Certain be required to have signed all other drafting clarifications are made to General Drafting Clarifications and documentation required by the Clearing paragraph 5.3. Improvements House (including but not limited to a Paragraph 5.4 would be amended to By way of general drafting Seconded Trader Agreement), and the add that if a CDS Clearing Member clarifications and improvements, the Clearing House would use reasonable becomes a defaulter or is suspended or amendments to the Policy would efforts to ensure that such requirement receives a termination notice with is enforced. respect to its Clearing Membership, it remove Appendices A and B, which contain various forms of notice and The amendments would also clarify would be removed from the CDS Default that CDS Default Committee Members Committee Participant List. Paragraphs examples, as well as references thereto. In ICE Clear Europe’s view, these would be responsible for assisting in 5.4 and 5.5 would be amended to clarify executing any CDS transactions (with that the CDS Default Committee appendices do not need to be included in the Policy and, to the extent they respect to Rules 902 or 903 in CDS only) Participant List would be amended to on behalf of the Clearing House only if take into account any Clearing Member remain relevant, forms of notice can be needed. Under the Committee that becomes (or resumes being) a CDS maintained by the Clearing House Activation Procedures section, the Committee-Eligible Clearing Member or separately. Certain terminology would procedure for use of an alternate CDS is removed from being a CDS Default be updated throughout the Policy as Default Committee Member contact Committee Participant because the follows: (i) The term, Employee, would would be revised to refer generally to a Clearing House determines that such be updated to Eligible Employee; and situation where the designated primary Clearing Member has a conflict or lacks (ii) the terms, Defaulting Clearing representative cannot be reached in a impartiality. Member or Defaulting Member, would The amendments in paragraph 5.6 be updated to defaulter in certain reasonable amount of time, and remove would also provide that the Clearing instances in order to avoid repetition specific examples of reasons a member House would give notice that, since CDS and aid with readability. Certain could not be reached. Default Committee Members and CDS provisions relating to the Clearing Secondment Facilities Default Committee Participants act as House ceasing to clear new trades for a part of the governance of ICE Clear Defaulting Clearing Member would be The amendments would clarify that Europe, such CDS Default Committee moved and reorganized. upon arrival at the ICE Clear Europe offices, each CDS Default Committee Members and CDS Default Committee CDS Default Committee Activation Participants would take the benefit of all Member would be assigned a PC with exclusions and limitations of liability Consistent with the changes described the ICE Clear Europe risk reports available to the Clearing House under above to the CDS Procedures, the Policy concerning the defaulter’s portfolio and the Rules or Applicable Laws. The would be amended to provide that a a third-party data provider application. change is intended to make the Clearing Member would only be defined References to how the CDS Default exclusions and limitations on liability as Committee-Eligible, hereby Committee Member would be able to for such persons consistent with those permitting such Clearing Member to be login to the PC and view certain generally applicable to Clearing House a CDS Default Committee Participant, if information sent to ICE Clear Europe by governance process. such Clearing Member (i) is deemed the non-defaulting Clearing Members The amendments in paragraph 5.8 appropriate by the Clearing House, (ii) would be removed as unnecessary. The would provide that CDS Clearing is the primary clearing entity of an amendments would also clarify that Members agree and acknowledge that affiliate group, and (iii) has a London CDS Default Committee Members would each CDS Default Committee Members based trading desk. The Policy would only execute the hedging and and CDS Default Committee Participant also clarify that the Clearing House liquidating transactions that the Head of (each a ‘‘Covered Party’’) would be maintains a list of all CDS Committee- Clearing Risk and the team deem subject to the provisions of Rule 106 Eligible Clearing Members and that the necessary. relevant term for the committee (regarding confidentiality of information Confidentiality received and permitted disclosures) as if (‘‘Relevant CDS Default Committee it were the Clearing House. Period’’) is six calendar months or until The amendments would remove the Furthermore, each CDS Clearing the end of any active Default event. requirement that seconded traders sign Member would be required to ensure In addition, the Policy would provide an additional confidentiality agreement that each such Covered Party nominated that in the event that a CDS Default pertaining to their role within a given by it would not use any Confidential Committee Participant is unable to member default (as ICE Clear Europe Material for its own benefit or the fulfill its upcoming rotation obligation believes the existing single secondment benefit of any of its Affiliates and, if so for any reason including serving in the agreement is sufficient). Instead, the requested by the Clearing House, would CDS Default Committee of another Policy would provide that CDS Default execute any documentation specified by clearing house, such CDS Default Committee Members would be the Clearing House acknowledging the Committee Participant would have the reminded of ongoing confidentiality

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obligations by the ICE Clear Europe prompt and accurate clearance and discussed above, the proposed Compliance department. settlement of securities transactions amendments would enhance ICE Clear and, to the extent applicable, derivative Europe’s default management Auction Process and Results agreements, contracts, and transactions, capabilities. Specifically, ICE Clear The amendments would provide that the safeguarding of securities and funds Europe believes that the updated, and details of the auction and relevant in the custody or control of the clearing more clearly defined requirements for position data will be made available agency or for which it is responsible, Clearing Members to become eligible to through the ICE Default Management and the protection of investors and the participate in the CDS Default System, consistent with the ICE Clear public interest. Committee will better ensure that the Europe auction procedures. The The proposed changes to the CDS committee is staffed with appropriate amendments would also clarify that Procedures and CDS Default representatives. The other amendments following the close of an auction for Management Policy are designed to better ensure that such members have sub-portfolio, the Clearing House would strengthen ICE Clear Europe’s tools to appropriate resources for their role on publish the new trades to be booked to manage Clearing Member defaults with the committee working and that there is the winning bidders through the ICE respect to CDS contracts. The CDS a process in place should a member Default Management System. The Default Committee, which relies on need to delay the start of its tenure on Clearing House would no longer notify seconded representatives of Clearing the committee for permissible reasons. the point of contact for the winning Members, is a key aspect of the Clearing Amendments to the Policy would also bidders verbally. The change is House’s procedures for addressing ensure that the Clearing House review intended to conform to the ICE Clear Clearing Member defaults, including by its default procedures at least quarterly Europe auction procedures. facilitating the ability of the Clearing and perform simulation exercises at House to hedge or liquidate positions of Default Management Testing least annually and that such tests would the defaulter. The amendments would be conducted in coordination with The amendments would provide update and clarify the requirements for Clearing Members as well as the internal additional detail with respect to default a Clearing Member to be eligible to serve and external stakeholders involved in management testing. Specifically, on the CDS Default Committee as well the default management process. The pursuant to the amendments, the Policy as clarify the procedures to be used by amendments overall strengthen ICE would state that the Clearing House the CDS Default Committee if such Clear Europe’s ability to contain losses would test and review its default Clearing Member is unable to fulfill its in a manner consistent with the procedures at least quarterly and upcoming rotation obligation. The requirements of Rule 17Ad–22(e)(13).7 perform simulation exercises at least clarifications and other changes to the Rule 17Ad–22(e)(3)(i) 8 requires annually. The default test would be Policy and Procedures enhance clearing agencies to maintain a sound conducted in coordination with readability and ensure that the Policy risk management framework that Clearing Members by engaging all the and Procedures remain clear and up-to- identifies, measures, monitors and internal and external stakeholders that date. Through better managing risks in manages the range of risks that it faces. would be involved in the default default scenarios and promoting market The amendments to the CDS Default management process (for example, the stability, the proposed amendments Management Policy and the CDS Clearing Risk Department, ICE Clear promote the stability of the clearing Procedures are intended to update and Europe Senior Management Team, CDS house and the prompt and accurate state more clearly the criteria for Default Committee Members, regulators, clearance and settlement of cleared representation on the CDS Default etc.). Each default test would be contracts. The enhanced risk Committee and provide for enhanced planned in accordance with the ICE management is therefore also generally review and testing of the default Clear Europe Multi-Years Default Plan, consistent with the protection of management processes. The which would list several different investors and the public interest in the amendments will thus strengthen the default scenarios that would need to be safe operation of the Clearing House. management of default risks, and risk tested by the Clearing House on a (ICE Clear Europe would not expect the management more generally. In ICE regular basis. The ICE Clear Europe amendments to affect the safeguarding Clear Europe’s view, the amendments Senior Management Team would be of securities and funds in ICE Clear are therefore consistent with the responsible for approving the scope of Europe’s custody or control or for which requirements of Rule 17Ad–22(e)(3)(i).9 the annual default test by choosing it is responsible.) Accordingly, the different scenarios outlined in the Plan. amendments satisfy the requirements of (B) Clearing Agency’s Statement on The Plan and changes to it would need Section 17A(b)(3)(F).5 Burden on Competition to be approved by the Executive Risk In addition, ICE Clear Europe believes ICE Clear Europe does not believe the Committee. the amendments satisfy Rule 17Ad– proposed amendments would have any 22(e)(13),6 which requires the covered impact, or impose any burden, on (b) Statutory Basis clearing agency to ensure that it ‘‘has competition not necessary or ICE Clear Europe believes that the the authority and operational capacity appropriate in furtherance of the proposed amendments to the CDS to take timely action to contain losses purposes of the Act. The amendments Default Management Policy and the CDS and liquidity demands and continue to are being adopted to update and clarify Procedures are consistent with the meet its obligations by, at a minimum, the ICE Clear Europe CDS Default requirements of Section 17A of the Act 3 requiring the covered clearing agency’s Management Policy and ICE Clear and the regulations thereunder participants and, when practicable, Europe CDS Procedures and will apply applicable to it. In particular, Section other stakeholders to participate in the to all CDS Clearing Members. ICE Clear 17A(b)(3)(F) of the Act 4 requires, among testing and review of its default Europe does not expect that the other things, that the rules of a clearing procedures, including any close-out proposed changes will adversely affect agency be designed to promote the procedures, at least annually.’’ As 7 17 CFR 240.17Ad–22(e)(13). 3 15 U.S.C. 78q–1. 5 15 U.S.C. 78q–1(b)(3)(F). 8 17 CFR 240.17 Ad–22(e)(3)(i). 4 15 U.S.C. 78q–1(b)(3)(F). 6 17 CFR 240.17Ad–22(e)(13). 9 17 CFR 240.17 Ad–22(e)(3)(i).

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access to clearing or the ability of Paper Comments ACTION: 60-Day notice; request for Clearing Members, their customers or • Send paper comments in triplicate comments other market participants to continue to to Secretary, Securities and Exchange clear contracts. ICE Clear Europe also SUMMARY: The Small Business Commission, 100 F Street NE, Administration (SBA) is publishing this does not believe the amendments would Washington, DC 20549–1090. materially affect the cost of clearing or notice to solicit additional public All submissions should refer to File comments on the information collection otherwise impact competition among Number SR–ICEEU–2020–018. This file CDS Clearing Members or other market described below, particularly SBA Form number should be included on the 3509 ‘‘Loan Necessity Questionnaire participants or limit market subject line if email is used. To help the participants’ choices for selecting (For-Profit Borrowers)’’ and SBA Form Commission process and review your 3510, ‘‘Loan Necessity Questionnaire clearing services. Accordingly, ICE Clear comments more efficiently, please use Europe does not believe the (Non-Profit Borrowers).’’ Comments in only one method. The Commission will response to this second public comment amendments would impose any burden post all comments on the Commission’s on competition not necessary or notice will be evaluated in conjunction internet website (http://www.sec.gov/ with comments received in response to appropriate in furtherance of the rules/sro.shtml). Copies of the purpose of the Act. previous notices published on July 14, submission, all subsequent 2020, and October 26, 2020. After such (C) Clearing Agency’s Statement on amendments, all written statements evaluation, SBA will submit any Comments on the Proposed Rule with respect to the proposed rule resulting amendments to the Change Received From Members, change that are filed with the information collection to the Office of Participants or Others Commission, and all written Management and Budget (OMB) for communications relating to the approval. Written comments relating to the proposed rule change between the DATES: proposed amendments have not been Commission and any person, other than Submit comments on or before solicited or received by ICE Clear those that may be withheld from the March 5, 2021. Europe. ICE Clear Europe will notify the public in accordance with the ADDRESSES: Comments should refer to Commission of any written comments provisions of 5 U.S.C. 552, will be the information collection by title or received with respect to the proposed available for website viewing and OMB Control Number (3245–0407) and rule change. printing in the Commission’s Public must be submitted by the deadline above to: [email protected]. III. Date of Effectiveness of the Reference Room, 100 F Street NE, Proposed Rule Change and Timing for Washington, DC 20549, on official FOR FURTHER INFORMATION CONTACT: Commission Action business days between the hours of Adrienne Grierson, Program Manager, 10:00 a.m. and 3:00 p.m. Copies of such Office of Financial Program Operations, Within 45 days of the date of filings will also be available for 202–205–6573 adrienne.grierson@ publication of this notice in the Federal inspection and copying at the principal sba.gov. Register or within such longer period office of ICE Clear Europe and on ICE Copies: You may obtain a copy of the up to 90 days (i) as the Commission may Clear Europe’s website at https:// information collection and supporting designate if it finds such longer period www.theice.com/notices/ documents from the Agency Clearance to be appropriate and publishes its Notices.shtml?regulatoryFilings. Officer, Curtis Rich, at (202) 205–7030, reasons for so finding or (ii) as to which All comments received will be posted or [email protected]. the self-regulatory organization without change. Persons submitting SUPPLEMENTARY INFORMATION: consents, the Commission will: comments are cautioned that we do not Background (A) By order approve or disapprove redact or edit personal identifying the proposed rule change or information from comment submissions. Section 1102 of the Coronavirus Aid, (B) institute proceedings to determine You should submit only information Relief, and Economic Security (CARES) whether the proposed rule change that you wish to make available Act, Public Law 116–136, authorized should be disapproved. publicly. All submissions should refer SBA to guarantee loans made by banks to File Number SR–ICEEU–2020–018 or other financial institutions under a The proposal shall not take effect temporary program titled the ‘‘Paycheck until all regulatory actions required and should be submitted on or before January 25, 2021. Protection Program’’ (PPP). These loans with respect to the proposal are are available to eligible small completed. For the Commission, by the Division of Trading and Markets, pursuant to delegated businesses, certain non-profit IV. Solicitation of Comments authority.10 organizations, veterans’ organizations, J. Matthew DeLesDernier, Tribal business concerns, independent Interested persons are invited to contractors, and self-employed Assistant Secretary. submit written data, views, and individuals adversely impacted by the arguments concerning the foregoing, [FR Doc. 2020–29023 Filed 12–31–20; 8:45 am] COVID–19 Emergency. Subject to including whether the proposed rule BILLING CODE 8011–01–P certain limitations, proceeds of a PPP change is consistent with the Act. loan may be used for payroll costs, costs Comments may be submitted by any of related to the continuation of group the following methods: SMALL BUSINESS ADMINISTRATION health care benefits during periods of paid sick, medical or family leave, and Electronic Comments Information Collection Available for insurance premiums, mortgage interest Public Comment; Paycheck Protection • Use the Commission’s internet payments, rent payments, utility Program comment form (http://www.sec.gov/ payments, interest payments on other rules/sro.shtml) or AGENCY: U.S. Small Business debt incurred prior to February 15, • Send an email to rule-comments@ Administration. 2020, and to refinance an eligible SBA sec.gov. Please include File Number SR– Economic Injury Disaster Loan. Under ICEEU–2020–018 on the subject line. 10 17 CFR 200.30–3(a)(12). section 1106(b) of the CARES Act, a PPP

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loan may be forgiven in full or in part Commenters expressed concern that the (v) SBA Form 3508—Paycheck if the PPP borrower uses the proceeds affected public had not been given Protection Program—Loan Forgiveness for payroll costs, payment of interest on adequate notice to review or comment Application a covered mortgage, payment on any on these two forms. Accordingly, SBA is Estimated Number of Respondents: covered rent obligation, and any publishing this notice to provide 60 260,606. covered utility payment. days for the public to review the PPP Estimated Annual Responses: In order to make the financial information collection, particularly 260,606. assistance available as expeditiously as these two forms. Estimated Annual Hour Burden: possible after the PPP was authorized, 781,819. on April 6, 2020, SBA obtained Solicitation of Public Comments emergency approval, including waiver SBA invites the public to submit (vi) SBA Form 3508S, Paycheck of the 60-day and 30-day public comments, including specific and Protection Program—PPP Loan comment notices, to collect the detailed suggestions on ways to improve Forgiveness Application Form 3508S information necessary to process the collection and reduce the burden on Estimated Number of Respondents: applications for the program. SBA respondents. Commenters should also 3,574,000. amended the emergency approved address (i) whether the information Estimated Annual Responses: information collection on several collection is necessary for the proper 3,574,000. occasions as the need to quickly performance of SBA’s functions, Estimated Annual Hour Burden: implement other aspects of the PPP including whether it has any practical 893,500. (e.g., loan reviews, loan forgiveness or utility; (ii) the accuracy of the estimated expansion of eligibility requirements) burdens; (iii) ways to enhance the (vii) SBA Form 3508EZ—Paycheck arose. SBA subsequently published the quality, utility, and clarity of the Protection Program—PPP Loan 60-day notice on July 14, 2020,1 and the information to be collected; and (iv) the Forgiveness Application 30-day notice on October 26, 2020 2 to use of automated collection techniques Estimated Number of Respondents: solicit comments on the information or other forms of information 1,377,522. collection. technology to minimize the information Estimated Annual Responses: At the time SBA published the 60-day collection burden on those who are 1,377,522. notice, the Agency had not yet required to respond. Estimated Annual Hour Burden: developed Form 3508S, a ‘‘PPP Loan 459,174. Forgiveness Application’’; Form 3509, Summary of Information Collection (viii) [Form Number N/A] Lender ‘‘Loan Necessity Questionnaire (For- Title: Paycheck Protection Loan Reporting Requirements Concerning Profit Borrowers)’’; and SBA Form 3510, Program Borrower Information Form Requests for Loan Forgiveness ‘‘Loan Necessity Questionnaire (Non- and Lender’s Application for Loan Profit Borrowers)’’; therefore, they were Guaranty. Estimated Number of Respondents: not referenced in a public comment OMB Control Number: 3245–0407. 5,460. notice until the 30-day notice. Estimated Annual Responses: Borrowers that received a PPP loan of (i) SBA Form 2483—Paycheck 5,212,128. $50,000 or less may use Form 3508S to Protection Program Borrower Estimated Annual Hour Burden: apply for forgiveness of the loan (unless Application 1,070,350. the borrower, together with its affiliates, Estimated Number of Respondents: (ix) [Form Number N/A] Lender received PPP loans totaling $2 million 5,500,000. Reporting Requirements for SBA Loan Estimated Annual Responses: or greater). This form was developed to Reviews streamline the process for borrowers 5,500,000. with very small loans. Forms 3509 and Estimated Annual Hour Burden: Estimated Number of Respondents: 3510 are designed to collect additional 733,333. 5,460. Estimated Annual Responses: information from non-profit or for-profit (ii) SBA Form 2484—Paycheck borrowers that together with their 1,950,000. Protection Program Lender’s Estimated Annual Hour Burden: affiliates received PPP loans of $2 Application for 7(a) Guaranty 975,000. million or more. The information will be collected during SBA’s review of Estimated Number of Respondents: (x) SBA Form 3509—Loan Necessity these loans, which includes an 5,460 Questionnaire (For-Profit Borrowers) Estimated Annual Responses: assessment of the borrowers’ good-faith 5,212,128. Estimated Number of Respondents: certifications that due to the economic Estimated Annual Hour Burden: 42,000. uncertainty their PPP loan requests were 2,171,720. Estimated Annual Responses: 37,000. necessary to support ongoing Estimated Annual Hour Burden: operations. As part of their response to (iii) SBA Form 3506—CARES Act 67,333. the questionnaire, borrowers may Section 1102 Lender Agreement (xi) SBA Form 3510—Loan Necessity include a statement regarding the Number of Respondents: 751. circumstances that provided the basis Total Annual Responses: 751. Questionnaire (Non-Profit Borrowers) for their good-faith loan necessity Estimated Annual Hour Burden: 125. Estimated Number of Respondents: certification. 10,000. SBA received multiple comments in (iv) SBA Form 3507—CARES Act Estimated Annual Responses: 5,000. response to the notices, particularly the Section 1102 Lender Agreement—Non- Estimated Annual Hour Burden: 30-day notice. Generally, commenters Bank and Non-Insured Depository 9,167. focused almost exclusively on SBA Institution Lender Form 3509 and SBA Form 3510. Number of Respondents: 147. Curtis Rich, Number of Responses: 147. Management Analyst. 1 85 FR 42479. Total Estimated Annual Hour Burden: [FR Doc. 2020–29012 Filed 12–31–20; 8:45 am] 2 85 FR 67809. 61. BILLING CODE 8026–03–P

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DEPARTMENT OF STATE • Total Estimated Alumni Survey Career Connections program. The Burden Time: 104.33 hours. purpose of this evaluation is to inform [Public Notice: 11288] • Estimated Number of Alumni Key the next iteration of the award with 60-Day Notice of Proposed Information Informants: 45. participant-driven recommendations on • Average Time per Alumni Collection: Career Connections how to strengthen the Career Interview: 1 hour. Connections program. The Evaluation Evaluation • Total Estimated Alumni Interview Division will survey participants of ACTION: Notice of request for public Burden Time: 45 hours. Career Connections participants along • Estimated Number of Seminar comment. with a small sample of alumni that have Presenter Key Informants: 15. • not participated in seminars, as well as SUMMARY: The Department of State is Average Time per Seminar conduct key-informant interviews with Presenter Interview: 0.75 hour. seeking Office of Management and • alumni and seminar presenters. Budget (OMB) approval for the Total Estimated Seminar Presenter information collection described below. Interview Burden Time: 11.25 hours. Methodology • Total Estimated Burden Time: In accordance with the Paperwork As existing project monitoring data 160.58 annual hours. Reduction Act of 1995, we are • Frequency: Once. does not cover the topics being requesting comments on this collection • Obligation to Respond: Voluntary. investigated sufficiently, it is necessary from all interested individuals and We are soliciting public comments to to collect information directly from organizations. The purpose of this permit the Department to: program alumni to fully understand notice is to allow 60 days for public • Evaluate whether the proposed how the Career Connections program comment preceding submission of the information collection is necessary for can be strengthened and what the collection to OMB. the proper functions of the Department. immediate outcomes for participants DATES: The Department will accept • Evaluate the accuracy of our are. While alumni who have comments from the public up to March estimate of the time and cost burden for participated in the Career Connections 5, 2021. this proposed collection, including the program will receive an online survey, ADDRESSES: You may submit comments validity of the methodology and a small number will also be invited to assumptions. participate in individual interviews to by the following method: • • Web: Persons with access to the Enhance the quality, utility, and explore key issues in greater depth. The internet may comment on this notice by clarity of the information to be survey will also be sent to a small collected. sample of alumni that have not going to www.Regulations.gov. You can • search for the document by entering Minimize the reporting burden on participated in Career Connections ‘‘Docket Number: DOS–2020–0055’’ in those who are to respond, including the seminars to understand why they the Search field. Then click the use of automated collection techniques haven’t participated and how they could ‘‘Comment Now’’ button and complete or other forms of information be enticed to in the future. Finally, as technology. the comment form. ECA wishes to understand best practices Please note that comments submitted You must include the DS form in professional development training, a in response to this Notice are public number (if applicable), information small group of seminar presenters will record. Before including any detailed collection title, and the OMB control be invited to participate in individual personal information, you should be number in any correspondence. interviews to discuss what they feel aware that your comments as submitted, could be strengthened. FOR FURTHER INFORMATION CONTACT: including your personal information, Direct requests for additional will be available for public review. Aleisha Woodward, information regarding the collection Deputy Assistant Secretary for Policy, Bureau listed in this notice, including requests Abstract of Proposed Collection of Educational and Cultural Affairs, for copies of the proposed collection The Career Connections program is Department of State. instrument and supporting documents, managed by the Bureau of Educational [FR Doc. 2020–29050 Filed 12–31–20; 8:45 am] may be sent to Natalie Donahue, Chief and Cultural Affairs (ECA) Office of BILLING CODE 4710–05–P of Evaluation, Bureau of Educational Alumni Affairs OAA. Started in 2019, and Cultural Affairs, who may be the Career Connections program brings reached at (202) 632–6193 or together American alumni (18–35 years DEPARTMENT OF STATE [email protected]. old) of U.S. Government-sponsored [Public Notice: 11279] SUPPLEMENTARY INFORMATION: exchange programs with expert career • Title of Information Collection: coaches, professionals from diverse Global Magnitsky Human Rights Career Connections Evaluation. fields, and international leaders to help Accountability Act Annual Report • OMB Control Number: None. alumni market their international • Type of Request: New collection. exchange experiences. Delivered as two- ACTION: Notice. • Originating Office: Educational and day seminars across the country, the Cultural Affairs (ECA/P/V). Career Connections program provides SUMMARY: This notice contains the text • Form Number: No form. invaluable networking opportunities for of the report required by the Global • Respondents: Career Connections U.S. alumni with leaders in their Magnitsky Human Rights program alumni, small sample of communities with activities including: Accountability Act, as submitted by the American alumni, and seminar Resume-building, developing a personal Secretary of State. presenters. brand, translating skills gained through FOR FURTHER INFORMATION CONTACT: Bob • Estimated Number of Alumni the exchange experience, developing an Viglietta, Email: [email protected], Survey Respondents: 3,125. online presence, and networking to Phone: (202) 647–8836. • Estimated Number of Alumni develop connections with fellow alumni SUPPLEMENTARY INFORMATION: On Survey Responses: 313. and expert speakers alike. December 10, 2020, the Secretary of • Average Time per Alumni Survey: ECA’s Evaluation Division will State approved the following report 20 minutes. undertake an internal evaluation of the pursuant to the Global Magnitsky

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Human Rights Accountability Act (Pub. resources; and Ugandan officials other religious and ethnic minority L. 114–328, Title XII, Subtitle F) (‘‘the engaged in an adoption scam that groups in the region. The XPSB, through Act’’), which is implemented and built victimized Ugandan-born children. the Integrated Joint Operations Platform upon by Executive Order 13818 of These designations clearly demonstrate (IJOP), uses digital surveillance systems December 20, 2017, ‘‘Executive Order the resolve of the Administration to to track Uyghurs’ movements and Blocking the Property of Persons leverage this important tool, when activities, to include surveilling who Involved in Serious Human Rights appropriate, to target individuals and they interact with and what they read. Abuse or Corruption’’ (E.O. 13818). The entities engaging in specified conduct. In turn, IJOP uses this data to determine text of the report follows: When considering economic which persons could be potential Pursuant to Section 1264 of the Act, sanctions under Global Magnitsky, the threats; according to reports, some of and in accordance with E.O. 13818, the United States prioritizes actions that are these individuals are subsequently Secretary of State, in consultation with expected to produce a tangible and detained and sent to detention camps, the Secretary of the Treasury, submits significant impact on the sanctioned being held indefinitely without charges this report to detail the Administration’s persons and their affiliates and prompt or trial. implementation of the Act in 2020. changes in behavior or disrupt the 3. Chen Quanguo: Chen was In 2020, the United States took activities of malign actors. Persons designated on July 9, 2020 for his significant action under the Global sanctioned pursuant to this authority connection to serious human rights Magnitsky sanctions program (‘‘Global appear on the Office of Foreign Assets abuse against members of religious and Magnitsky’’). As of December 10, 2020, Control’s (OFAC) List of Specially ethnic minority groups in Xinjiang. the United States has designated 243 Designated Nationals and Blocked Chen is the Party Secretary of the foreign persons (individuals and Persons (SDN List). As a result of these Xinjiang Uyghur Autonomous Region, a entities) pursuant to E.O. 13818. This actions, all property and interests in position he was appointed to in 2016, sanctions program, which targets property of the sanctioned persons that following Chen’s notorious history of serious human rights abusers, corrupt are in the United States or in the intensifying security operations in the actors, and their enablers, represents the possession or control of U.S. persons, Tibetan Autonomous Region to tighten best of the United States’ values by are blocked and must be reported to control over the Tibetan ethnic taking impactful steps to protect and OFAC. Unless authorized by a general minorities. promote human rights and combat or specific license issued by OFAC or 4. Huo Liujun: Huo was designated on corruption around the world. Through otherwise exempt, OFAC’s regulations July 9, 2020 for his connection to serious the Act and E.O. 13818, the United generally prohibit all transactions by human rights abuse against members of States has sought to disrupt and deter U.S. persons or within (or transiting) the religious and ethnic minority groups in serious human rights abuse and United States that involve any property Xinjiang. Huo was the former Party corruption abroad; promote or interests in property of designated or Secretary of the XPSB from at least accountability for those who act with otherwise blocked persons. The March 2017 to 2018. impunity; and protect, promote, and prohibitions include the making of any 5. Wang Mingshan: Wang was enforce longstanding international contribution or provision of funds, designated on July 9, 2020 for his norms alongside our partners and allies. goods, or services by, to, or for the connection to serious human rights As the President outlined in his benefit of any blocked person or the abuse against members of religious and National Security Strategy (NSS), receipt of any contribution or provision ethnic minority groups in Xinjiang. liberty, free enterprise, equal justice of funds, goods or services from any Wang has been the leader of the XPSB under the law, and the dignity of every such person. since at least May 2018. human life are values that represent The Secretary of the Treasury, in 6. Zhu Hailun: Zhu was designated on who we are as a people. Further, the consultation with the Secretary of State July 9, 2020 for his connection to serious NSS states we support with our words and the Attorney General, imposed human rights abuse against members of and actions those who live under financial sanctions on the following religious and ethnic minority groups in oppressive regimes and seek freedom, persons pursuant to E.O. 13818: Xinjiang. Zhu, former Deputy Party individual dignity, and the rule of law. 1. Taban Deng Gai: Deng Gai was Secretary of the Xinjiang Uyghur The NSS outlines a commitment to designated on January 8, 2020, for his Autonomous Region (XUAR), held combat global corruption that facilitates link to serious human rights abuse, several positions in the Chinese transnational crime and terrorism and including disappearances and killings. Communist Party, prior to holding the undermines economic growth. Through As First Vice President of South Sudan, position of Party Secretary of the Global Magnitsky, the Administration is Deng reportedly arranged and directed Xinjiang Political and Legal Committee taking action to execute the President’s the disappearance and deaths of human (XPLC) from 2016 to 2019. In this role, vision as described in the NSS. rights lawyer Samuel Dong Luak and Zhu was responsible for maintaining Actions taken in 2020 continue to Sudan People’s Liberation Movement— internal security and law enforcement in demonstrate the reach, flexibility, and In Opposition (SPLM–IO) member the XUAR; while Zhu left this role in broad scope of the Global Magnitsky Aggrey Idry. Deng directed these actions 2019, he still currently serves as the authorities. The United States in order to solidify his position within Deputy Secretary of Xinjiang’s People’s responded to serious human rights President Kiir’s government and to Congress, a regional legislative body. abuses and corruption globally, intimidate members of the SPLM–IO. 7. Xinjiang Production and addressing some of the most egregious 2. Xinjiang Public Security Bureau Construction Corps (XPCC): The XPCC behavior this tool can attempt to disrupt (XPSB): The XPSB was designated on was designated on July 31, 2020 for its and deter. These actions targeted, July 9, 2020 for its involvement in connection to serious human rights among other things, serious human serious human rights abuse, which abuse against members of religious and rights abusers affecting millions of reportedly includes mass arbitrary ethnic minority groups in Xinjiang. The members of Muslim minority groups in detention and severe physical abuse, XPCC is a paramilitary organization in northwest China’s Xinjiang province; among other serious abuses targeting the XUAR that is subordinate to the corrupt actors in South Sudan involved Uyghurs, a Turkic Muslim population Chinese Communist Party. The XPCC in draining the country of critical indigenous to Xinjiang, and members of enhances internal control over the

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region by advancing China’s vision of through the manipulation or been instrumental in aiding and economic development in the XUAR falsification of court documents. abetting Jammeh’s economic crimes that emphasizes subordination to 13. Patrick Ecobu: Ecobu was against The Gambia. She is also central planning and resource designated on August 17, 2020 for his believed to be in charge of most of extraction. Chen Quanguo is the First role in providing support to corruption. Jammeh’s assets around the world, and Political Commissar of the XPCC, a role Ecobu, the husband of Mirembe, utilized a charitable foundation as cover in which he has exercised control over participated in a scheme whereby, in to facilitate the illicit transfer of funds the entity. certain instances, young children were to her husband. 8. Sun Jinlong: Sun was designated on removed from Ugandan families under 17. Gibran Bassil: Bassil was July 31, 2020 in connection with serious promises for ‘‘special education’’ designated on November 6, 2020 for his human rights abuse against members of programs and study in the United involvement in corruption in Lebanon. religious and ethnic minority groups in States, and were subsequently offered to Bassil has held several high-level posts Xinjiang. Sun is the former Party U.S. families for adoption. In order to in the Lebanese government, including Secretary of the XPCC. arrange the adoption of the children, serving as the Minister of 9. Peng Jiarui: Peng was designated on Ecobu assisted Mirembe in facilitating Telecommunications, the Minister of July 31, 2020 in connection with serious multiple bribes to Ugandan judges Energy and Water, and the Minister of human rights abuse against members of Mukiibi, Musene, and other Ugandan Foreign Affairs and Emigrants, and religious and ethnic minority groups in government officials, either directly or Bassil has been marked by significant Xinjiang. Peng is the Deputy Party through an interlocutor. allegations of corruption. In 2017, Bassil Secretary and Commander of the XPCC. 14. Union Development Group (UDG): strengthened his political base by UDG was designated on September 15, 10. Moses Mukiibi: Mukiibi was appointing friends to positions and 2020 for its involvement in corruption in designated on August 17, 2020 for his purchasing other forms of influence Cambodia. UDG is a PRC state-owned involvement in corruption in Uganda. within Lebanese political circles. In entity acting for or on behalf of a PRC Mukiibi, a Ugandan judge, participated 2014, while Minister of Energy, Bassil official that, on May 9, 2008, was in a scheme whereby, in certain was involved in approving several granted a 99-year lease with the instances, young children were removed projects that would have steered Cambodian government for 36,000 Lebanese government funds to from Ugandan families under promises hectares (approximately 90,000 acres) of individuals close to him through a for ‘‘special education’’ programs and land in the Koh Kong province of group of front companies. study in the United States, and were Cambodia. Following the approved 18. Mohamed al-Kani: Al-Kani was subsequently offered to U.S. families for lease, UDG began to develop the $3.8 designated on November 25, 2020 for adoption. Members of this scheme billion Dara Sakor project, ostensibly to being the leader of the Kaniyat Militia facilitated multiple bribes to Ugandan be used as a tourism development. in Libya, which over several years judge Mukiibi, and other Ugandan UDG, through Kun Kim, a senior gained control over the city of government officials, either directly or Cambodian general previously Tarhouna, Libya, while detaining, through an interlocutor. designated under E.O. 13818, used torturing, and murdering civilians. In 11. Wilson Musalu Musene: Musene Cambodian military forces to intimidate April 2019, the Kaniyat militia changed was designated on August 17, 2020 for local villagers and to clear out land allegiances from Libya’s recognized his involvement in corruption in necessary for UDG to build the Dara Government of National Accord (GNA), Uganda. Musene, a Ugandan judge, Sakor project. Kim was instrumental in to the self-styled Libyan National Army participated in a scheme whereby, in the UDG development and reaped (LNA), providing the LNA a foothold certain instances, young children were significant financial benefit from his near Tripoli during its offensive against removed from Ugandan families under relationships with UDG. the Libyan capital. In June 2020, promises for ‘‘special education’’ 15. Nabah Ltd: Nabah was designated following a de facto truce, GNA-aligned programs and study in the United on September 15, 2020 for its role in forces re-entered Tarhouna and States, and were subsequently offered to providing support to Ashraf Seed discovered at least 11 mass graves U.S. families for adoption. Members of Ahmed Al-Cardinal, who was previously containing the bodies of civilians this scheme negotiated with Musene a designated on October 11, 2019, for his previously detained by the Kaniyat flat fee for processing adoption cases. In involvement in bribery, kickbacks and militia, including women, children, and at least one case, a member of the procurement fraud with senior elderly. Some of the deceased appeared scheme met directly with Musene to government officials. Nabah is owned or to have been tortured, burned, or buried arrange an additional amount of money controlled by Al-Cardinal. Al-Cardinal alive. The Kaniyat militia is also required for Musene to expedite the date himself was part of a sanctions evasion responsible for hundreds of summary of a pending adoption case on Musene’s scheme in which a senior South executions at Tarhouna prison, court calendar. Sudanese official used a bank account numerous forced disappearances, and 12. Dorah Mirembe: Mirembe was in the name of one of Al-Cardinal’s the displacement of entire families from designated on August 17, 2020 for her companies to store his personal funds in Tarhouna. OFAC also designated the role in providing support to corruption. an attempt to avoid the effects of U.S. Kaniyat Militia for being responsible for Mirembe, a Ugandan lawyer, sanctions. or complicit in, or for having directly or participated in a scheme whereby, in 16. Zineb Souma Yahya Jammeh: indirectly engaged in, serious human certain instances, young children were Zineb was designated on September 15, rights abuse. removed from Ugandan families under 2020 for her role in providing support to 19. Harry Varney Gboto-Nambi promises for ‘‘special education’’ Yahya Jammeh, the former President of Sherman: Sherman was designated on programs and study in the United The Gambia who was sanctioned on December 9, 2020 for his involvement in States, and were subsequently offered to December 21, 2017 for his long history corruption in Liberia. A prominent U.S. families for adoption. The adoption of engaging in human rights abuses and lawyer, Liberian senator, and Chair of agency organizing the scheme used corruption. Zineb is the former First the Liberian Senate Judiciary Mirembe’s law firm to handle the legal Lady of The Gambia and the current Committee, Sherman was indicted in aspects of the adoptions, in some cases wife of Jammeh. Zineb has reportedly 2016 by the Liberian government, along

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with several other government officials, five-day attack in multiple Port-au- Service, Yemen’s new security and for his involvement in a bribery scheme. Prince neighborhoods in which civilians intelligence agency. Sherman offered bribes to multiple were killed and houses were set on fire. 27. Abdul Rahab Jarfan: Jarfan was judges associated with his trial, has Cherizier is now one of Haiti’s most designated on December 10, 2020 for his routinely paid judges to decide cases in influential gang leaders and leads an involvement in serious human rights his favor, and has allegedly facilitated alliance of nine Haitian gangs known as abuse in Yemen. Jarfan is a Houthi payments to Liberian politicians to the ‘‘G9 alliance.’’ member and the former Head of support impeachment of a judge who 23. Fednel Monchery: Monchery was Yemen’s National Security Bureau has ruled against him. Sherman’s acts designated on December 10, 2020 for his (NSB). Under Jarfan, the NSB of bribery demonstrate a larger pattern involvement in serious human rights systematically engaged in torture and of behavior to exercise influence over abuse in Haiti. Monchery was the abusive detention of Yemeni citizens. the Liberian judiciary and the Ministry Director General of the Ministry of the 28. Motlaq Amer al-Marrani: Al- of Justice. Interior and Local Authorities and, Marrani was designated on December 20. Raimbek Matraimov: Matraimov while serving in this role, participated in 10, 2020 for his involvement in serious was designated on December 9, 2020 for the planning of La Saline. Monchery human rights abuse in Yemen. During his involvement in corruption in the supplied weapons and state vehicles to his tenure as a leader or official of the Kyrgyz Republic. A former deputy of the members of armed gangs who NSB, Marrani oversaw detainees of the Kyrgyz Customs Service, Matraimov was perpetrated the attack. Monchery also NSB, who were reportedly subjected to involved in a customs scheme in which attended a meeting during which La torture and other mistreatment by at least USD 700 million was laundered Saline was planned and where weapons members of the NSB while detained. In from the Kyrgyz Republic. The scheme were distributed to the perpetrators of addition, Marrani played a significant involved a company and their evasion the attack. role in the arrest, detention, and ill treatment of humanitarian workers and of customs fees. Matraimov used his 24. Joseph Pierre Richard Duplan: other authorities working on position to ensure that the company’s Duplan was designated on December 10, humanitarian assistance and was also goods would be able to seamlessly pass 2020 for his involvement in serious found to have abused his authority and through the borders of the Kyrgyz human rights abuse in Haiti. Duplan, influence over humanitarian access as Republic and was in charge of collecting who was Haitian President Jovenal and distributing bribes that came from leverage to generate personal profit. Moı¨se’s Departmental Delegate at the 29. Qader al-Shami: Shami was this company, among other things. time of La Saline, is accused of being Matraimov, utilizing his former position designated on December 10, 2020 for his the ‘‘intellectual architect’’ and was as deputy of the Kyrgyz Customs involvement in serious human rights seen discussing the attack with armed Service, made hundreds of millions of abuse in Yemen. Shami is the former gang members in the La Saline dollars as a result of his involvement in director of Yemen’s Political Security neighborhood during the violence. the customs scheme. Organization (PSO). Since late 2014, the 21. Wan Kuok Koi: Koi was designated Duplan provided firearms and HNP PSO has been responsible for the regular on December 9, 2020 for his uniforms to armed gang members who practice of illegal detention and torture involvement in corruption in Southeast participated in the killings. of prisoners, including children. PSO Asia. Koi is a member of the Communist 25. Sultan Zabin: Zabin was officials were found to have been Party of China’s (CCP) Chinese People’s designated on December 10, 2020 for his keeping detainees in undisclosed Political Consultative Conference, and is involvement in serious human rights locations, subjecting them to torture, a leader of the 14K Triad, one of the abuse in Yemen. As the current Director and not allowing them to communicate largest Chinese organized criminal of the Sana’a-based Criminal with their families, depriving them of organizations in the world that engages Investigation Department (CID), Zabin their fundamental liberties. Al-Shami in drug trafficking, illegal gambling, and his CID officers have arrested, currently serves as the Deputy Director racketeering, human trafficking, and a detained, and tortured women under the of the Security and Intelligence Bureau, range of other criminal activities. In pretense of a policy designed to curb a role he has occupied since the addition to bribery, corruption and prostitution and organized crime. In organization’s inception in September graft, the 14K Triad has engaged in reality, this policy was used to target 2019. similar illicit activities in Palau. OFAC politically active women who opposed 30. Ramzan Kadyrov: Kadyrov was also designated three entities that are the Houthis, and resulted in numerous designated on December 10, 2020 for his owned or controlled by Koi. reported cases of illegal arrest, arbitrary involvement in serious human rights 22. Jimmy Cherizier: Cherizier was detention, enforced disappearance, abuse in Russia. Kadyrov is the Head of designated on December 10, 2020 for his sexual violence, rape, torture, and other the Chechen Republic and the leader of involvement in serious human rights cruel treatment utilized by the Sana’a an organization, the Kadyrovtsy, that abuse in Haiti. While serving as an CID against these women. has engaged in, or whose members have officer in the Haitian National Police 26. Abdul-Hakim Al-Khaiwani: engaged in, serious human rights (HNP), Cherizier planned and Khaiwani was designated on December abuses. Kadyrov and the forces he participated in the November 2018 10, 2020 for his involvement in serious commands, commonly known as the deadly attack against civilians in a Port- human rights abuse in Yemen. As a Kadyrovtsy, are implicated in the au-Prince neighborhood known as La Houthi member and Deputy Minister of murder of Boris Nemtsov, an opposition Saline. During this attack, at least 71 the Interior, Khaiwani was responsible politician to Russian President Vladimir people were killed, over 400 houses for many detention facilities and Putin, and other serious violations of were destroyed, and at least seven security forces, including the Sana’a human rights. In addition to Kadyrov, women were raped by armed gangs. CID. The illegal arrest, detention, and OFAC is designating six companies Throughout 2018 and 2019, Cherizier torture of women conducted by the CID registered in Russia that continue to led armed groups in coordinated, brutal was done so under the ultimate provide Kadyrov pride and significant attacks in Port-au-Prince authority of the Ministry of Interior. profit. neighborhoods. Most recently, in May Khaiwani currently serves as the 31. Vakhit Usmayev: Usmayev was 2020, Cherizier led armed gangs in a Director of the Security and Intelligence designated on December 10, 2020 for his

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involvement in serious human rights consular officer has reason to believe DEPARTMENT OF STATE abuse in Russia. Usmayev, the Deputy that they participated in acts of [Public Notice 11238] Prime Minister of Chechnya, has acted genocide, torture or extrajudicial or purported to act for or on behalf of, killings. 60-Day Notice of Proposed Information directly or indirectly, Kadyrov. Collection: TechGirls Evaluation 32. Timur Dugazaev: Dugazaev was Efforts To Encourage Governments of designated on December 10, 2020 for his Other Countries To Impose Sanctions ACTION: Notice of request for public involvement in serious human rights Similar to Those Authorized by the Act comment. abuse in Russia. A representative of Kadyrov in Europe, Dugazaev has acted In 2020, the Administration SUMMARY: The Department of State is or purported to act for or on behalf of, continued its successful outreach seeking Office of Management and directly or indirectly, Kadyrov. campaign to international partners Budget (OMB) approval for the 33. Ziyad Sabsabi: Sabsabi was regarding the expansion of domestic and information collection described below. designated on December 10, 2020 for his multilateral anticorruption and human In accordance with the Paperwork involvement in serious human rights rights sanctions regimes. Following Reduction Act of 1995, we are abuse in Russia. A representative of support by the Departments of State and requesting comments on this collection Kadyrov, Sabsabi has acted or the Treasury over the course of 2018– from all interested individuals and purported to act for or on behalf of, 2019 to deliver expertise on the organizations. The purpose of this directly or indirectly, Kadyrov. underpinnings of the Global Magnitsky notice is to allow 60 days for public 34. Daniil Vasilievich Martynov: sanctions program, the United Kingdom comment preceding submission of the Martynov was designated on December established a Global Human Rights collection to OMB. 10, 2020 for his involvement in serious (GHR) sanctions regime pursuant to its DATES: The Department will accept human rights abuse in Russia. A Sanctions and Anti-Money Laundering comments from the public up to March personal security advisor for Kadyrov, Act 2018 on July 6, 2020. In February 5, 2021. Martynov has acted or purported to act 2020, the Departments of State and the ADDRESSES for or on behalf of, directly or indirectly, : You may submit comments Treasury formed a technical delegation by the following method: Kadyrov. • 35. Satish Seemar: Seemar was to brief Australian partners at the Web: Persons with access to the designated on December 10, 2020 for his invitation of Parliament, which initiated internet may comment on this notice by involvement in serious human rights an inquiry into whether Australia going to www.Regulations.gov. You can abuse in Russia. A horse trainer for should adopt a human rights-based search for the document by entering Kadyrov, Seemar has materially sanctions regime. The Administration ‘‘Docket Number: DOS–2020–0046’’ in assisted, sponsored, or provided also welcomed the European Union’s the Search field. Then click the financial, material, or technological adoption of its global human rights ‘‘Comment Now’’ button and complete support for, or goods and services to or sanctions framework on December 7, the comment form. in support of, Kadyrov. 2020. Over the last year, the You must include the DS form Administration has worked closely with number (if applicable), information Visa Restrictions Imposed collection title, and the OMB control the Canadian and British governments number in any correspondence. Although no visa restrictions were in pursuing coordinated actions against imposed under the Act during 2020, human rights abusers and corrupt FOR FURTHER INFORMATION CONTACT: persons designated pursuant to E.O. actors. Throughout this and future Direct requests for additional 13818 shall be subject to the visa information regarding the collection outreach, the Administration has restrictions articulated in section 2, listed in this notice, including requests identified champions, partners, and unless an exception applies. Section 2 for copies of the proposed collection potential spoilers of the objectives provides that the entry of persons instrument and supporting documents, designated under section 1 of the order established by Congress within the Act. may be sent to Natalie Donahue, Chief is suspended pursuant to Presidential The Departments of State and the of Evaluation, Bureau of Educational Proclamation 8693. In 2020, the State Treasury have, over the last year, shared and Cultural Affairs, 2200 C Street NW, Department also applied, when information, coordinated messaging, Washington, DC 20037 who may be appropriate, visa restrictions on foreign and provided technical assistance to reached at (202) 632–6193 or persons involved in significant this end. The Administration will [email protected]. corruption or gross violation of human continue to seek out additional allies SUPPLEMENTARY INFORMATION: rights under other authorities, reported and partners to jointly leverage all tools • Title of Information Collection: to Congress through other means. As at our disposal to deny access to the TechGirls Evaluation. appropriate, the Department of State U.S. and international financial systems • OMB Control Number: None. will take additional action to impose to all those who engage in serious • Type of Request: New collection. visa restrictions on those responsible for human rights abuses and corruption. • Originating Office: Bureau of certain human rights violations and Dated: December 23, 2020. Educational and Cultural Affairs (ECA). significant corruption pursuant to other • Form Number: No form. authorities, including Presidential David Hale, • Respondents: TechGirls program Proclamations 7750 and 8697, and Under Secretary for Political Affairs, alumnae, their host families, their job Section 7031(c) of the FY2020 Department of State. shadow hosts, and ECA implementing Department of State, Foreign [FR Doc. 2020–29015 Filed 12–31–20; 8:45 am] partner program staff. Operations, and Related Programs, as BILLING CODE 4710–AE–P • Estimated Number of Alumnae carried forward by the FY2021 Survey Respondents: 214. Continuing Appropriations Act, 2021. In • Estimated Number of Alumnae addition, section 212(a)(3)(E) of the Survey Responses: 160. Immigration and Nationality Act • Average Time per Alumnae Survey: renders aliens ineligible for visas if a 46 minutes.

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• Total Estimated Alumnae Survey pathways, participants gain guidance applies to all commercial Burden Time: 122.6 hours. understanding of the United States and motor vehicle (CMV) drivers required to • Estimated Number of Host Family its culture and create a network of record their hours of service. The Survey Respondents: 60. STEM-focused alumnae upon their Agency requests public comments on • Estimated Number of Host Family return home. The authority for the the proposed guidance, which includes Survey Responses: 30. program is the Mutual Educational and examples of properties that are and are • Average Time per Host Family Cultural Exchange Act of 1961, as not ‘‘yards.’’ Movements of CMVs in Survey: 29 minutes. amended (22 U.S.C. 2451 et seq.). ‘‘yards’’ would be considered ‘‘yard • Total Estimated Host Family Survey In order to assess the efficacy and moves’’ and could be recorded as on- Burden Time: 14.5 hours. impact of TechGirls, the U.S. duty not driving time rather than • Estimated Number of Job Shadow Department of State’s Bureau of driving time. Host Survey Respondents: 41. Educational and Cultural Affairs (ECA) • DATES: Comments are due by February Estimated Number of Job Shadow intends to conduct an evaluation of the 3, 2021. Host Survey Responses: 21. program, which will include collection ADDRESSES: • Average Time per Job Shadow Host You may submit comments of data from program alumnae between bearing the Federal Docket Management Survey: 16 minutes. 2012 and 2019, program staff, host • Total Estimated Job Shadow Host System (FDMS) Docket ID FMCSA– families in the United States, and job 2020–0118 using any of the following Survey Burden Time: 5.6 hours. shadow hosts. As the TechGirls program • Estimated Number of Implementing methods: has been running for almost 10 years, • Federal eRulemaking Portal: Go to Partner Staff Respondents: 39. ECA is conducting this evaluation to • Estimated Number of Implementing www.regulations.gov. Follow the on-line determine the extent to which the instructions for submitting comments. Partner Staff Responses: 20. program is achieving its long-term goals. • • Average Time per Implementing Mail: Docket Operations; U.S. In order to do so, ECA has contracted Department of Transportation, 1200 Partner Staff Survey: 16 minutes. Dexis Consulting Group to conduct • Total Estimated Implementing New Jersey Avenue SE, West Building surveys with alumnae and surveys with Ground Floor, Room W12–140, Partner Staff Survey Burden Time: 5.3 their host families, program staff, and hours. Washington, DC 20590–0001. job shadow hosts. • • Total Estimated Burden Time: 148 Hand Delivery or Courier: Deliver annual hours. Methodology comments to Docket Operations, West • Building Ground Floor, Room W12–140, Frequency: Once. As baseline information is limited to • Obligation to Respond: Voluntary. 1200 New Jersey Avenue SE, initial profiles, it is necessary to collect Washington, DC, between 9:00 a.m. and We are soliciting public comments to information directly from program permit the Department to: 5:00 p.m., ET, Monday through Friday, • alumnae to assess the outcomes of the except Federal Holidays. Evaluate whether the proposed TechGirls experience, particularly in the information collection is necessary for • Fax: 1–202–493–2251. areas of educational and career Each submission must include the the proper functions of the Department. trajectories and networking with others. • Evaluate the accuracy of our Agency name and the docket number for Additional perspectives will be sought estimate of time and cost burden for this this notice. Note that DOT posts all from the participants’ host families and proposed collection, including the comments received without change to job shadow hosts. All of these groups validity of the methodology and www.regulations.gov, including any will receive online surveys. assumptions used. personal information included in a • Enhance the quality, utility, and Aleisha Woodward, comment. Please see the Privacy Act clarity of the information to be Deputy Assistant Secretary for Policy, Bureau heading below. collected. of Educational and Cultural Affairs, Docket: For access to the docket to • Minimize the reporting burden on Department of State. read background documents or those who are to respond, including the [FR Doc. 2020–29049 Filed 12–31–20; 8:45 am] comments, go to www.regulations.gov at use of automated collection techniques BILLING CODE 4710–05–P any time or visit Room W12–140 on the or other forms of information ground level of the West Building, 1200 technology. New Jersey Avenue SE, Washington, Please note that comments submitted DEPARTMENT OF TRANSPORTATION DC, between 9:00 a.m. and 5:00 p.m., in response to this Notice are public ET, Monday through Friday, except record. Before including any detailed Federal Motor Carrier Safety Federal holidays. To be sure someone is personal information, you should be Administration there to help you, please call (202) 366– aware that your comments as submitted, 9317 or (202) 366–9826 before visiting [Docket No. FMCSA–2020–0118] including your personal information, Docket Operations. Regulations.gov is will be available for public review. Hours of Service of Drivers: Proposed available 24 hours each day, 365 days each year. If you would like Abstract of Proposed Collection Regulatory Guidance Concerning the Use of a Commercial Motor Vehicle for acknowledgement that we received your TechGirls enables students aged 15– Yard Moves comments, please include a self- 17 to gain exposure to a range of careers addressed stamped envelope or postcard in science, technology, engineering, and AGENCY: Federal Motor Carrier Safety or print the acknowledgement page that mathematics (STEM) through a month- Administration (FMCSA), DOT. appears after submitting comments on- long summer scholarship program in the ACTION: Notice of proposed regulatory line. United States. The program includes guidance; request for comments. Privacy Act: DOT solicits comments programming bootcamp, leadership from the public to better inform its skills development, job shadow with SUMMARY: FMCSA is proposing to revise guidance process. DOT posts these women in STEM fields, and a home stay the regulatory guidance concerning comments, without edit, including any with U.S. families. In addition to recording time operating a commercial personal information the commenter exposure to career and educational motor vehicle as a ‘‘yard move.’’ This provides, to www.regulations.gov, as

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described in the system of records financial information that is customarily FR 78292), require manufacturers to notice (DOT/ALL–14 FDMS), which can treated as private, that you actually treat include two special driving categories: be reviewed at www.dot.gov/privacy. as private, and that is relevant or Authorized personal use (‘‘personal FOR FURTHER INFORMATION CONTACT: Mr. responsive to this notice, it is important conveyance’’) and ‘‘yard moves.’’ These Bill Mahorney, Chief, Enforcement that you clearly designate the submitted categories may be used by drivers at the Division, FMCSA, 202–493–0001, comments as CBI. FMCSA will treat motor carrier’s discretion (49 CFR [email protected]. If you have such marked submissions as 395.28). FMCSA stated in its questions about viewing or submitting confidential under the Freedom of Supplemental Notice of Proposed material to the docket, contact Docket Information Act, and they will not be Rulemaking that the intent of the ‘‘yard Operations at (202) 366–9826. placed in the public docket for this move’’ category was to capture time guidance publication. Please mark each ‘‘where the CMV may be in motion but SUPPLEMENTARY INFORMATION: page of your submission that constitutes a driver is not necessarily in a ‘driving’ I. Public Participation and Request for CBI as ‘‘PROPIN’’ to indicate it contains duty status’’ (79 FR 17656, 17668, Comments proprietary information. Submissions March 28, 2014). Some commenters FMCSA encourages you to participate containing CBI should be sent to Mr. asked that the term ‘‘yard move’’ be Brian Dahlin, Chief, Regulatory Analysis defined. Commenters generally viewed by submitting comments and related Division, FMCSA, 1200 New Jersey ‘‘yard moves’’ as an on-duty not driving materials. Avenue SE, Washington, DC 20590. Any activity occurring on private property. A. Submitting Comments comments FMCSA receives that are not The Agency declined to define the term ‘‘yard move’’ in its final rule, If you submit a comment, please specifically designated as CBI will be noting that ‘‘yard moves’’ relate broadly include the docket number for this placed in the public docket for this to the HOS rules, not just to CMV notice (FMCSA–2020–0118), indicate guidance publication. FMCSA will consider all comments operations using ELDs. The final rule, the specific section of this document to and material received during the however, provides that ELDs will record which each comment applies, and comment period and may make changes ‘‘yard moves’’ as on-duty not driving provide a reason for each suggestion or based on your comments. time (49 CFR part 395, subpart B, recommendation. You may submit your appendix A, section 4.4.1.1(b)). comments and material online or by fax, B. Viewing Comments and Documents FMCSA published revised regulatory mail, or hand delivery, but please use To view comments, as well as guidance concerning operating a CMV only one of these means. FMCSA documents mentioned in this preamble as a ‘‘personal conveyance’’ on June 7, recommends that you include your as being available in the docket, go to 2018 (83 FR 26377). On February 28, name and a mailing address, an email http://www.regulations.gov and insert 2020, FMCSA updated its guidance on address, or a phone number in the body the docket number, ‘‘FMCSA–2020– ‘‘yard moves’’ in the U.S. Department of of your document so the Agency can 0118’’ in the ‘‘Keyword’’ box and click Transportation’s guidance portal (85 FR contact you if it has questions regarding ‘‘Search.’’ Next, click ‘‘Open Docket 12663, March 3, 2020). your submission. Folder’’ button and choose the The Federal Highway Administration, To submit your comment online, go to document listed to review. If you do not FMCSA’s predecessor agency, issued http://www.regulations.gov and put the have access to the internet, you may guidance on ‘‘yard moves’’ in a docket number, ‘‘FMCSA–2020–0118’’ view the docket online by visiting compilation of regulatory guidance in the ‘‘Keyword’’ box, and click Docket Operations in Room W12–140 published on April 4, 1997 (49 CFR ‘‘Search.’’ When the new screen on the ground floor of the DOT West 395.2, Question 9, 62 FR 16370, 16422). appears, click on ‘‘Comment Now!’’ Building, 1200 New Jersey Avenue SE, The 1997 guidance stated that a driver button and type your comment into the Washington, DC 20590, between 9:00 who jockeys CMVs in the yard (private text box in the following screen. Choose a.m. and 5:00 p.m. ET, Monday through property) on weekends should record whether you are submitting your Friday, except Federal holidays. To be that time as on-duty (driving) time. The comment as an individual or on behalf sure someone is there to help you, 1997 guidance is no longer in effect. of a third party and then submit. If you please call (202) 366–9317 or (202) 366– FMCSA’s revised 2020 guidance submit your comments by mail or hand 9826 before visiting Docket Operations. provides that the time jockeying CMVs delivery, submit them in an unbound in the yard is not driving time. The 1 II. Background format, no larger than 8 ⁄2 by 11 inches, driver should record that time as on- suitable for copying and electronic The Federal Motor Carrier Safety duty (not driving) time. filing. If you submit comments by mail Regulations require most drivers of The 2020 updated guidance is and would like to know that they commercial motor vehicles (CMVs) to consistent with the principle in the ELD reached the facility, please enclose a document their hours of service (HOS) rule that time spent performing ‘‘yard stamped, self-addressed postcard or on records of duty status (RODS), moves’’ should be recorded as on-duty envelope. identifying one of four duty status not driving time. Because ‘‘yard moves’’ FMCSA will consider all comments options: (1) On-duty not driving, (2) occur on private property within the and material received during the driving, (3) sleeper berth, and (4) off- confines of a yard and not on a public comment period and may change this duty (49 CFR 395.8). Drivers are road, this time does not constitute notice based on your comments. required to document their duty status ‘‘driving time’’ within the meaning of 49 Confidential Business Information: on their RODS irrespective of the CFR 395.2. The updated guidance is Confidential Business Information (CBI) method used to record the driver’s HOS available on the Agency’s website in the is commercial or financial information (i.e., whether paper logs or electronic guidance portal at https:// that is both customarily and actually logging devices (ELDs)). www.fmcsa.dot.gov/guidance as treated as private by its owner. Under The minimum performance and FMCSA–HOS–395.2–Q09 and reads as the Freedom of Information Act (5 design standards for ELDs in the follows: U.S.C. 552), CBI is exempt from public Agency’s December 16, 2015, final rule, Question 9: A driver drives on streets disclosure. If your comments responsive ‘‘Electronic Logging Devices and Hours and highways during the week and to this notice contain commercial or of Service Supporting Documents’’ (80 jockeys commercial motor vehicles in

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the yard (private property) on on-duty not driving under 49 CFR 2. Are there other properties or weekends. How is the yard time to be 395.8(b) only if the movement of the situations where drivers may be in a recorded? CMV occurs in a confined area on ‘‘yard move’’ status that should be Guidance: On-duty (not driving). private property (or intermodal facility included as examples in this guidance? FMCSA also published guidance in or briefly on public roads, as described 3. Would adding examples of ‘‘yard the guidance portal on February 28, below). Examples of properties that may moves’’ be beneficial for this guidance 2020, that distinguishes between qualify as yards include, but are not (e.g., moving a CMV for maintenance)? movements of the CMV that may be limited to: If so, please provide examples for considered as off-duty ‘‘personal 1. An intermodal yard or port facility. consideration. conveyance’’ and movements that are 2. A motor carrier’s place of business. 4. How should ‘‘yard’’ be defined for on-duty ‘‘yard moves.’’ This guidance is 3. A shipper’s privately-owned the purposes of this guidance? available on the Agency’s website in the parking lot. guidance portal at https:// James W. Deck, 4. A public road, but only if and while Deputy Administrator. www.fmcsa.dot.gov/hours-service/elds/ public access to the road is restricted [FR Doc. 2020–29062 Filed 12–31–20; 8:45 am] when-can-movement-cmv-during-duty- through traffic control measures such as period-be-considered-personal- lights, gates, flaggers or other means. For BILLING CODE 4910–EX–P conveyance and reads as follows: example, if a driver must operate on a FAQ 12: When can a movement of a public road briefly to reach different DEPARTMENT OF TRANSPORTATION CMV during an off-duty period be parts of a private property, the considered personal conveyance? movement may be considered a yard Answer: A move may be considered as National Highway Traffic Safety move if public access is restricted Administration personal conveyance if the driver is off- during the move. duty and the movement is not for the [Docket No. NHTSA–2020–0011; Notice 1] (b) Examples of properties that do not motor carrier, shipper or receiver’s qualify as yards, include, but are not commercial benefit. Examples include Goodyear Tire & Rubber Company, limited to: moving a CMV from one parking space Receipt of Petition for Decision of 1. A public road without the traffic to another at a shipper or port, or Inconsequential Noncompliance control measures in paragraph (a)(4) driving to a truck stop, rest area or any above. AGENCY: National Highway Traffic other location. In these situations, the 2. Public rest areas. Safety Administration (NHTSA), CMV movement is made in the off-duty Department of Transportation (DOT). period. However, the CMV should be IV. Expiration Date of the Proposed ACTION: Receipt of petition. moved no farther than the nearest Regulatory Guidance reasonable and safe location to complete In accordance with section SUMMARY: Goodyear Tire & Rubber the rest period. 5203(a)(2)(A) and (a)(3) of the Fixing Company (Goodyear) has determined An on-duty yard move, such as that certain Eagle F1 Asymmetric 5 tires moving the vehicle a short distance America’s Surface Transportation (FAST) Act, Public Law 114–94, 129 do not fully comply with Federal Motor while waiting to load, would not qualify Vehicle Safety Standard (FMVSS) No. as personal conveyance. Stat. 1312, 1535 (Dec. 4, 2015), 49 CFR part 5, subpart C, and Executive Order 139, New Pneumatic Radial Tires for III. Proposed Guidance Language 13891, the proposed regulatory Light Vehicles. Goodyear filed a noncompliance report dated December FMCSA proposes to clarify when a guidance will be posted on FMCSA’s 10, 2019, and petitioned NHTSA on driver may record time performing website in the guidance portal, https:// December 10, 2019, for a decision that ‘‘yard moves’’ as on-duty not driving www.fmcsa.dot.gov/guidance, if the subject noncompliance is time by providing examples of finalized. It would be reviewed by the inconsequential as it relates to motor properties that qualify as yards. Agency no later than 5 years after it is vehicle safety. This notice announces Therefore, the movement of a CMV on finalized. The Agency would consider at receipt of Goodyear’s petition. these properties would qualify as a that time whether the guidance should ‘‘yard move’’ and be recorded as on- be withdrawn, reissued for another DATES: Send comments on or before duty not driving time. period up to 5 years, or incorporated February 3, 2021. FMCSA proposes to replace Question into the safety regulations. ADDRESSES: Interested persons are 9 to 49 CFR 395.2 at https:// V. Request for Comments invited to submit written data, views, www.fmcsa.dot.gov/regulations/hours- and arguments on this petition. service/ss3952-definitions with the Refer to the ADDRESSES section above Comments must refer to the docket and following revised Question 9 and seeks for instructions on submitting notice number cited in the title of this comments on this proposed guidance. comments to the public docket notice and may be submitted by any of This guidance, if finalized, lacks the concerning this regulatory guidance. the following methods: force and effect of law and is not meant FMCSA will consider comments • Mail: Send comments by mail to bind the public in any way. This received by the closing date of the addressed to the U.S. Department of guidance document is intended only to comment period to determine whether Transportation, Docket Operations, M– provide clarity to the public regarding any further clarification of these 30, West Building Ground Floor, Room the Agency’s interpretation of its regulatory provisions is necessary. In W12–140, 1200 New Jersey Avenue SE, existing regulations. addition to general comments Washington, DC 20590. Question 9: Under what concerning the guidance, the Agency • Hand Delivery: Deliver comments circumstances may a driver classify the requests responses to the following by hand to the U.S. Department of operation of a commercial motor vehicle questions: Transportation, Docket Operations, M– (CMV) as a yard move and record it as 1. Would defining ‘‘yard moves’’ in 30, West Building Ground Floor, Room on-duty not driving time? the Agency’s regulations provide W12–140, 1200 New Jersey Avenue SE, (a) Guidance: A driver may record necessary clarification and therefore Washington, DC 20590. The Docket time operating a CMV for yard moves as benefit carriers and drivers? Section is open on weekdays from 10

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a.m. to 5 p.m. except for Federal exemption from the notification and will have the correct number of plies Holidays. remedy requirements of 49 U.S.C. shown on the tire sidewalls. • Electronically: Submit comments Chapter 301 on the basis that this 2. Goodyear states that NHTSA has electronically by logging onto the noncompliance is inconsequential as it previously granted petitions for the relates to motor vehicle safety, pursuant Federal Docket Management System same noncompliance related to tire (FDMS) website at https:// to 49 U.S.C. 30118(d) and 30120(h) and construction information on tires www.regulations.gov/. Follow the online 49 CFR part 556, Exemption for because of surveys that show most instructions for submitting comments. Inconsequential Defect or • Comments may also be faxed to Noncompliance. consumers do not base tire purchases on (202) 493–2251. This notice of receipt of Goodyear’s tire construction information found on Comments must be written in the petition is published under 49 U.S.C. the tire related to the number of plies in English language, and be no greater than 30118 and 30120 and does not represent the sidewall. 15 pages in length, although there is no any Agency decision or other exercise of Goodyear concluded by expressing limit to the length of necessary judgment concerning the merits of the the belief that the subject attachments to the comments. If petition. noncompliance is inconsequential as it comments are submitted in hard copy II. Tires Involved: Approximately 550 relates to motor vehicle safety, and that Goodyear Eagle F1 Asymmetric 5 tires, form, please ensure that two copies are its petition to be exempted from size 255/40R20 (the subject tires), provided. If you wish to receive providing notification of the confirmation that comments you have manufactured between November 17, 2019, and November 30, 2019, are noncompliance, as required by 49 submitted by mail were received, please U.S.C. 30118, and a remedy for the enclose a stamped, self-addressed potentially involved. III. Noncompliance: Goodyear noncompliance, as required by 49 postcard with the comments. Note that U.S.C. 30120, should be granted. all comments received will be posted explains that the noncompliance is due without change to https:// to a mold labeling error in that the NHTSA notes that the statutory www.regulations.gov, including any number of plies indicated on the provisions (49 U.S.C. 30118(d) and sidewall of the subject tires do not personal information provided. 30120(h)) that permit manufacturers to match the actual number of plies in the All comments and supporting file petitions for a determination of tire construction, and therefore, do not materials received before the close of inconsequentiality allow NHTSA to meet the requirements of paragraph business on the closing date indicated exempt manufacturers only from the S5.5(f) of FMVSS No. 139. Specifically, above will be filed in the docket and duties found in sections 30118 and the sidewall of the subject tires was will be considered. All comments and 30120, respectively, to notify owners, marked with the number of plies as ‘‘1’’ supporting materials received after the purchasers, and dealers of a defect or when it should have been marked with closing date will also be filed and will noncompliance and to remedy the the number of plies as ‘‘2.’’ be considered to the fullest extent IV. Rule Requirements: Paragraph defect or noncompliance. Therefore, any possible. S5.5(f) of FMVSS No. 139, includes the decision on this petition only applies to When the petitions are granted or requirements relevant to this petition. the subject tires that Goodyear no longer denied, notice of the decisions will also Each tire must be marked on one controlled at the time it determined that be published in the Federal Register sidewall with the actual number of plies the noncompliance existed. However, pursuant to the authority indicated at in the sidewall, and the actual number any decision on this petition does not the end of this notice. of plies in the tread area, if different. relieve equipment distributors and All comments, background V. Summary of Goodyear’s Petition: dealers of the prohibitions on the sale, documentation, and supporting The following views and arguments offer for sale, or introduction or delivery materials submitted to the docket may presented in this section are the views for introduction into interstate be viewed by anyone at the address and and arguments provided by Goodyear. commerce of the noncompliant tires times given above. The documents may They have not been evaluated by the under their control after Goodyear also be viewed on the internet at https:// Agency and do not reflect the views of www.regulations.gov by following the notified them that the subject the Agency. The petitioner described noncompliance existed. online instructions for accessing the the subject noncompliance and stated dockets. The docket ID number for this the belief that the noncompliance is (Authority: 49 U.S.C. 30118, 30120: petition is shown in the heading of this inconsequential as it relates to motor delegations of authority at 49 CFR 1.95 and notice. vehicle safety. 501.8) DOT’s complete Privacy Act In support of the petition, Goodyear Otto G. Matheke III, Statement is available for review in a submitted the following reasoning: Director, Office of Vehicle Safety Compliance. Federal Register notice published on 1. Goodyear believes this April 11, 2000 (65 FR 19477–78). noncompliance is inconsequential to [FR Doc. 2020–29094 Filed 12–31–20; 8:45 am] SUPPLEMENTARY INFORMATION: motor vehicle safety because these tires BILLING CODE 4910–59–P I. Overview: Goodyear has determined were manufactured as designed and that certain Eagle F1 Asymmetric 5 tires meet or exceed all applicable FMVSS. do not fully comply with paragraph All of the sidewall markings related to S5.5(f) of FMVSS No. 139, New tire service (load capacity, Pneumatic Radial Tires for Light corresponding inflation pressure, etc.) Vehicles (49 CFR 571.139). are correct. Goodyear believes the Goodyear filed a noncompliance mislabeling of these tires is not a safety report dated December 10, 2019, concern and has no impact on the use pursuant to 49 CFR part 573, Defect and of the tires or on the repair and Noncompliance Responsibility and recycling industries. Goodyear states Reports, and subsequently petitioned that the affected tire mold has already NHTSA on December 10, 2019, for an been corrected and all future production

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DEPARTMENT OF TRANSPORTATION Comments must be written in the affords interested persons an English language, and be no greater than opportunity to comment on the petition. National Highway Traffic Safety 15 pages in length, although there is no At the close of the comment period, Administration limit to the length of necessary NHTSA decides, on the basis of the attachments to the comments. If petition and any comments that it has [Docket No. NHTSA–2020–0037; Notice 1] comments are submitted in hard copy received, whether the vehicle is eligible Notice of Receipt of Petition for form, please ensure that two copies are for importation. The agency then Decision That Nonconforming Model provided. If you wish to receive publishes this decision in the Federal Year 1997 Jeep Wrangler Multi- confirmation that comments you have Register. Purpose Vehicles Are Eligible for submitted by mail were received, please Wallace Environmental Testing Importation enclose a stamped, self-addressed Laboratories, Inc. (WETL), (Registered postcard along with the comments. Note Importer R–90–005), of Houston, Texas AGENCY: National Highway Traffic that all comments received will be has petitioned NHTSA to decide Safety Administration, Department of posted without change to https:// whether nonconforming 1997 Jeep Transportation (DOT). www.regulations.gov, including any Wrangler MPVs are eligible for ACTION: Receipt of petition. personal information provided. importation into the United States. The All comments and supporting vehicles which Wallace Environmental SUMMARY: This document announces the materials received before the close of Testing Laboratories, Inc. believes are National Highway Traffic Safety business on the closing date indicated substantially similar are MY 1997 Jeep Administration (NHTSA) receipt of a above will be filed in the docket and Wrangler MPVs sold in the United petition for a decision that model year will be considered. All comments and States and certified by their (MY) 1997 Jeep Wrangler multi-purpose supporting materials received after the manufacturer as conforming to all vehicles (MPVs) that were not originally closing date will also be filed and will applicable FMVSS. manufactured to comply with all be considered to the fullest extent The petitioner claims that it compared applicable Federal motor vehicle safety possible. non-U.S. certified MY 1997 Jeep standards (FMVSS), are eligible for All comments, background Wrangler MPVs to their U.S. certified importation into the United States documentation, and supporting counterparts, and found the vehicles to because they are substantially similar to materials submitted to the docket may be substantially similar with respect to vehicles that were originally be viewed by anyone at the address and compliance with most FMVSS. manufactured for sale in the United times given above. The documents may Wallace Environmental Testing States and that were certified by their also be viewed on the internet at https:// Laboratories, Inc. submitted information manufacturer as complying with the www.regulations.gov by following the with its petition intended to safety standards (the U.S.-certified online instructions for accessing the demonstrate that non-U.S. certified MY version of the 1997 Jeep Wrangler dockets. The docket ID number for this 1997 Jeep Wrangler MPVs, as originally MPVs) and are capable of being readily petition is shown in the heading of this manufactured, conform to many applicable FMVSS in the same manner altered to conform to the standards. notice. as their U.S.-certified counterparts, or DATES: DOT’s complete Privacy Act The closing date for comments are capable of being readily altered to on the petition is February 3, 2021. Statement is available for review in a Federal Register notice published on conform to those standards. ADDRESSES: Interested persons are Specifically, the petitioner claims that April 11, 2000, (65 FR 19477–78). invited to submit written data, views, the non-U.S. certified MY 1997 Jeep and arguments on this petition. FOR FURTHER INFORMATION CONTACT: Wrangler MPVs, as originally Comments must refer to the docket and Robert Mazurowski, Office of Vehicle manufactured, conform to: FMVSS Nos. notice number cited in the title of this Safety Compliance, NHTSA (202–366– 102, Transmission Shift Position notice and may be submitted by any of 1012). Sequence, Starter Interlock, and the following methods: SUPPLEMENTARY INFORMATION: Transmission Braking Effect, 103, • Mail: Send comments by mail Windshield Defrosting and Defogging addressed to the U.S. Department of Background Systems, 104, Windshield Wiping and Transportation, Docket Operations, M– Under 49 U.S.C. 30141(a)(1)(A), a Washing Systems, 106, Brake Hoses, 30, West Building Ground Floor, Room motor vehicle that was not originally 108, Lamps, Reflective Devices, and W12–140, 1200 New Jersey Avenue SE, manufactured to conform to all Associated Equipment, 109, New Washington, DC 20590. applicable FMVSS shall be refused Pneumatic and Certain Specialty Tires, • Hand Delivery: Deliver comments admission into the United States unless 113, Hood Latch System, 116, Motor by hand to the U.S. Department of NHTSA has decided that the motor Vehicle Brake Fluids, 118, Power- Transportation, Docket Operations, M– vehicle is substantially similar to a Operated Window, Partition, and Roof 30, West Building Ground Floor, Room motor vehicle originally manufactured Panel System, 124, Accelerator Control W12–140, 1200 New Jersey Avenue SE, for importation into and sale in the Systems, 135, Light Vehicle Brake Washington, DC 20590. The Docket United States, certified under 49 U.S.C. Systems, 201, Occupant Protection in Section is open on weekdays from 10 30115, and of the same MY as the model Interior Impact, 202, Head Restraints; a.m. to 5 p.m. except for Federal of the motor vehicle to be compared, Applicable at the Manufacturers Option Holidays. and is capable of being readily altered until September 1, 2009, 203, Impact • Electronically: Submit comments to conform to all applicable FMVSS. Protection for the Driver from the electronically by logging onto the Petitions for eligibility decisions may Steering Control System, 204, Steering Federal Docket Management System be submitted by either manufacturers or Control Rearward Displacement, 205, (FDMS) website at https:// importers who have registered with Glazing Materials, 206, Door Locks and www.regulations.gov/. Follow the online NHTSA pursuant to 49 CFR part 592. As Door Retention Components, 207, instructions for submitting comments. specified in 49 CFR 593.7, NHTSA Seating Systems, 210, Seat Belt • Comments may also be faxed to publishes notice of each petition that it Assembly Anchorages, 212, Windshield (202) 493–2251. receives in the Federal Register, and Mounting, 213, Child Restraint Systems,

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219, Windshield Zone Intrusion, 225, DEPARTMENT OF TRANSPORTATION Notice of receipt of Porsche’s petition Child Restraint Anchorage Systems, was published with a 30-day public 301, Fuel System Integrity, and 302, National Highway Traffic Safety comment period, on October 15, 2019, Flammability of Interior Materials. Administration in the Federal Register (84 FR 55219). The petitioner also contends that the One comment was received but lacked [Docket No. NHTSA–2019–0048; Notice 2] relevance to the subject petition. To subject non-U.S. certified vehicles are view the petition and all supporting capable of being readily altered to meet Porsche Cars North America, Inc., documents log onto the Federal Docket the following FMVSS, in the manner Grant of Petition for Decision of Inconsequential Noncompliance Management System (FDMS) website at indicated: https://www.regulations.gov/. Then FMVSS No. 101, Controls and AGENCY: National Highway Traffic follow the online search instructions to Displays: The instrument cluster will Safety Administration (NHTSA), locate docket number ‘‘NHTSA–2019– require replacement with a part meeting Department of Transportation (DOT). 0048.’’ the requirements of this standard. ACTION: Grant of petition. II. Vehicles Involved FMVSS No. 110, Tire Selection and Rims and Motor Home/Recreation SUMMARY: Porsche Cars North America, Approximately 230,212 of the Vehicle Trailer Load Carrying Capacity Inc. (Porsche), has determined that following MY 2008–2019 Porsche Information for Motor Vehicles with a certain model year (MY) 2008–2019 Cayenne and Macan motor vehicles, GVWR of 4,536 kilograms (10,000 Porsche Cayenne and Macan motor manufactured between June 1, 2007, pounds) or Less: The addition of a tire vehicles do not comply with Federal and September 21, 2018, are potentially involved: label is required. FMVSS No. 111, Rear motor vehicle safety standard (FMVSS) 110, Tire Selection and Rims and Motor • Visibility: Inscription of the required MY 2008–2014 Porsche Cayenne; Home/Recreation Vehicle Trailer Load • warning statement on the face of the MY 2016–2019 Porsche Cayenne; Carrying Capacity Information for Motor • MY 2017–2018 Porsche Cayenne passenger mirror. FMVSS No. 114, Theft Vehicles with a GVWR of 4,536 ‘‘Platinum Edition;’’ Protection: The addition of an audible kilograms (10,000 pounds) or Less. • MY 2014 Porsche Cayenne Diesel anti-theft system is required, which Porsche filed a noncompliance report ‘‘Platinum Edition;’’ gongs when the key is left in the dated March 28, 2019, and subsequently • MY 2014 Porsche Cayenne ‘‘Platinum ignition module and the driver’s door is petitioned NHTSA on April 20, 2019, Edition;’’ opened. FMVSS No. 208, Occupant for a decision that the subject • MY 2013–2016 Porsche Cayenne Crash Protection: Both front and rear noncompliance is inconsequential as it Diesel; outboard designated seating positions relates to motor vehicle safety. This • MY 2019 Porsche Cayenne E-Hybrid; will require replacement with Type 2 notice announces the grant of Porsche’s • MY 2008–2010 Porsche Cayenne GTS; seat belts. However, the petitioner notes petition. • MY 2013–2014 Porsche Cayenne GTS; • ‘‘driver and passenger front outboard FOR FURTHER INFORMATION CONTACT: MY 2010 Porsche Cayenne GTS seating positions are equipped with US Kerrin Bressant, Office of Vehicle Safety ‘‘Porsche Design Edition 3;’’ version air bag systems and knee • MY 2008–2010 Porsche Cayenne GTS; Compliance, the National Highway • bolsters’’. FMVSS No. 209, Seat Belt MY 2016–2018 Porsche Cayenne GTS Traffic Safety Administration (NHTSA), • Assemblies: Both front and rear telephone (202) 366–1110, facsimile MY 2015–2018 Porsche Cayenne S E- Hybrid; outboard designated seating positions (202) 366–5930. • will require replacement with Type 2 MY 2011–2014 Porsche Cayenne S SUPPLEMENTARY INFORMATION: Hybrid; seat belts. I. Overview • MY 2010 Porsche Cayenne S The petitioner additionally states that Transsyberia; all vehicles will be inspected prior to Porsche has determined that certain • MY 2008–2018 Porsche Cayenne S; importation for compliance with the MY 2008–2019 Porsche Cayenne and • MY 2017–2018 Porsche Cayenne S E- Theft Prevention Standard per 49 CFR Macan motor vehicles do not fully Hybrid ‘‘Platinum Edition;’’ part 541. The petitioner further states a comply with paragraphs S4.4.2(a) and • MY 2008–2019 Porsche Cayenne vehicle identification plate must be S4.4.2(c) of FMVSS No. 110, Tire Turbo; Selection and Rims and Motor Home/ affixed to the vehicle, near the left • MY 2009–2010 Porsche Cayenne Recreation Vehicle Trailer Load windshield pillar, to meet the Turbo S; Carrying Capacity Information for Motor • requirements of 49 CFR part 565, as well MY 2016–2018 Porsche Cayenne Vehicles with a GVWR of 4,536 Turbo S; as, a reference and certification label kilograms (10,000 pounds) or Less (49 • added to the left front door post area to MY 2014 Porsche Cayenne Turbo S; CFR 571.110). Porsche filed a • MY 2015–2018 Porsche Macan Turbo; meet the requirements of 49 CFR part noncompliance report dated March 28, • MY 2017–2018 Porsche Macan; 567. 2019, pursuant to 49 CFR part 573, • MY 2018 Porsche Macan ‘‘Sport Authority: 49 U.S.C. 30141(a)(1)(A), Defect and Noncompliance Edition;’’ (a)(1)(B), and (b)(1); 49 CFR 593.7; delegation Responsibility and Reports, and • MY 2017–2018 Porsche Macan GTS; of authority at 49 CFR 1.95 and 501.8. subsequently petitioned NHTSA on • MY 2015–2018 Porsche Macan S; and April 20, 2019, for an exemption from • MY 2017–2018 Porsche Macan Turbo Otto G. Matheke III, the notification and remedy Plus Performance Package. Director, Office of Vehicle Safety Compliance. requirements of 49 U.S.C. Chapter 301 [FR Doc. 2020–29041 Filed 12–31–20; 8:45 am] on the basis that this noncompliance is III. Noncompliance BILLING CODE 4910–59–P inconsequential as it relates to motor Porsche explains that the vehicle safety, pursuant to 49 U.S.C. noncompliance is that the subject 30118(d) and 30120(h) and 49 CFR part vehicles are equipped with rims that do 556, Exemption for Inconsequential not contain the required rim markings Defect or Noncompliance. as specified in paragraph S4.4.2 of

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FMVSS No. 110. Specifically, the rims marking does not affect the ability to Porsche’s representation that the on the subject vehicles do not contain identify the rims in the event of a recall vehicles comply with the standard, the designation symbol ‘‘E’’ as required and is not likely to have any effect on other than as discussed herein, and by paragraph S4.4.2(a) of FMVSS No. motor vehicle safety. Porsche asserts given that the vehicles have a vehicle- 110 and the certification symbol ‘‘DOT’’ that this is again consistent with level certification of compliance. See 49 as required by paragraph S4.4.2(c) of NHTSA’s prior decision on petitions for U.S.C. 30115; 49 CFR 567.4. FMVSS No. 110. the same. (See 74 FR 69376). Furthermore, while manufacturers are 3. The tire and rim of the affected IV. Rule Requirements required to include the designation spare wheels are properly matched and symbol required by S4.4.2(a), its Paragraphs S4.4.2(a) and S4.4.2(c) of are appropriate for the load-carrying omission does not prevent the proper FMVSS 110, include the requirements characteristics of the subject vehicle. matching of tires and rims in this relevant to this petition. In section Porsche asserts that the incorrect unique situation because sufficient S4.4.2(a), each rim or, at the option of association marking has no effect on the information about rim size is available the manufacturer in the case of a single- performance of the tire/rim from other markings on the rims, as well piece wheel, each wheel disc shall be combination. marked with the designation that 4. The subject tire/rim assembly meets as information available from the indicates the source of the rim’s paragraph S4.4.1(b) rapid air loss certification label required by 49 CFR published nominal dimensions. requirement of FMVSS No. 110. All part 567 and the vehicle placard (tire Specifically, the noncompliant rims other applicable requirements of information label) required by FMVSS should have been marked with the letter FMVSS Nos. 109 and 110 have been No. 110 that are present on the affected ‘‘E’’ indicating the European Tire and met. vehicles. In addition, the omitted Rim Technical Organization as the 5. Lastly, Porsche is unaware of any marking does not affect the ability to source of nominal dimensions. Section accidents, injuries, or customer identify the rims in the event of recall S4.4.2(c) requires each wheel disk to be complaints related to the omitted and is not likely to have a consequential marked with the symbol ‘‘DOT,’’ markings. effect on motor vehicle safety. constituting a certification of Porsche concluded by expressing the NHTSA’s Decision compliance with all applicable FMVSS. belief that the subject noncompliance is V. Summary of Porsche’s Petition inconsequential as it relates to motor In consideration of the foregoing, vehicle safety, and that its petition to be NHTSA has decided that Porsche has Porsche described the subject exempted from providing notification of met its burden of persuasion that the noncompliance and stated its belief that the noncompliance, as required by 49 failure to mark the wheels with the the noncompliance is inconsequential U.S.C. 30118, and a remedy for the letter ‘‘E’’ as the source of wheel as it relates to motor vehicle safety. noncompliance, as required by 49 nominal dimensions, as required by In support of its petition, Porsche U.S.C. 30120, should be granted. paragraph S4.4.2(a), and the symbol submitted the following reasoning: Porsche’s complete petition and all ‘‘DOT’’ for recognizing certification to 1. With respect to FMVSS No. 110, supporting documents are available by paragraph S4.4.2(c), the DOT marking all applicable FMVSSs, are logging onto the Federal Docket inconsequential to motor vehicle safety. signifies that the manufacturer of the Management System (FDMS) website at rim has certified that the rim complies Accordingly, Porsche’s petition is https://www.regulations.gov and by granted, and it is exempted from with all applicable FMVSSs. Porsche following the online search instructions asserts that because the DOT marking is providing the notification of to locate the docket number as listed in noncompliance that is required by 49 a ‘‘certification,’’ it is a violation of 49 the title of this notice. U.S.C. 30115 (‘‘Certification’’), which U.S.C. 30118, and from remedying the does not require notification or remedy. VI. Comments noncompliance, as required by 49 U.S.C. 30120. Porsche asserts that this is consistent NHTSA received one comment from with NHTSA’s prior decision on the general public. While the Agency NHTSA notes that the statutory petitions for the same issue. (See Volvo takes great interest in the public’s provisions (49 U.S.C. 30118(d) and Cars of North America, LLC, Grant of concerns and appreciates the 30120(h)) that permit manufacturers to Petition for Decision of Inconsequential commenter’s feedback, the comment file petitions for a determination of Noncompliance, 74 FR 69376, December does not address the purpose of this inconsequentiality allow NHTSA to 31, 2009). particular petition. exempt manufacturers only from the 2. With respect to FMVSS No. 110, duties found in sections 30118 and paragraph S4.4.2(a), Porsche believes VII. NHTSA’s Analysis 30120, respectively, to notify owners, that the omission of the designation The intent of the labeling purchasers, and dealers of a defect or symbol ‘‘E’’ will not prevent the proper requirements in paragraphs 4.4.2(a) and noncompliance and to remedy the matching of tires and rims because S4.4.2(c) of FMVSS No. 110 is to defect or noncompliance. Therefore, any sufficient information about rim size is provide safe operation of vehicles by decision on this petition only applies to available from other markings on the ensuring that vehicles are equipped the subject vehicles that Porsche no rim and the corresponding owner’s with rims of appropriate size and type longer controlled at the time it manual instructions. More specifically, designation mounted with compatible determined that the noncompliance Porsche states, the rims are marked tires of appropriate size and load rating. existed. However, any decision on this correctly with the size designation; the The purpose of the ‘‘DOT’’ marking is to petition does not relieve vehicle correct tire size information is listed on certify compliance with all applicable distributors and dealers of the the Tire and Loading Information standards. The ‘‘DOT’’ certification is prohibitions on the sale, offer for sale, placard, and the tire size is marked on also itself a requirement of the standard, or introduction or delivery for the tire sidewall. The vehicles’ 49 CFR 571.110, S.4.4.2(c). However, introduction into interstate commerce of Certification label also contains the NHTSA finds that the noncompliance the noncompliant vehicles under their correct tire and rim sizes. Porsche with the ‘‘DOT’’ marking requirement is control after Porsche notified them that indicates that, importantly, the omitted inconsequential in this situation, given the subject noncompliance existed.

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(Authority: 49 U.S.C. 30118, 30120: Control (OFAC) is publishing the names tel.: 202–622–2480; or Assistant Director delegations of authority at 49 CFR 1.95 and of one or more persons that have been for Regulatory Affairs, tel.: 202–622– 501.8) placed on OFAC’s Specially Designated 4855. Nationals and Blocked Persons List Otto G. Matheke III, SUPPLEMENTARY INFORMATION: Director, Office of Vehicle Safety Compliance. based on OFAC’s determination that one [FR Doc. 2020–29042 Filed 12–31–20; 8:45 am] or more applicable legal criteria were Electronic Availability satisfied. All property and interests in BILLING CODE 4910–59–P The Specially Designated Nationals property subject to U.S. jurisdiction of and Blocked Persons List and additional these persons are blocked, and U.S. information concerning OFAC sanctions persons are generally prohibited from programs are available on OFAC’s DEPARTMENT OF THE TREASURY engaging in transactions with them. website (https://www.treasury.gov/ofac). Office of Foreign Assets Control DATES: See SUPPLEMENTARY INFORMATION section for effective date(s). Notice of OFAC Action(s) Notice of OFAC Sanctions Actions FOR FURTHER INFORMATION CONTACT: On October 2, 2020, OFAC AGENCY: Office of Foreign Assets OFAC: Andrea Gacki, Director, tel.: determined that the property and Control, Treasury. 202–622–2420; Associate Director for interests in property subject to U.S. ACTION: Notice. Global Targeting, tel.: 202–622–2420; jurisdiction of the following persons are Assistant Director for Sanctions blocked under the relevant sanctions SUMMARY: The Department of the Compliance & Evaluation, tel.: 202–622– authority listed below. Treasury’s Office of Foreign Assets 2490; Assistant Director for Licensing, BILLING CODE 4810–AL–P

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Dated: December 18, 2020. Internal Revenue Service (IRS) DEPARTMENT OF VETERANS Andrea M. Gacki, AFFAIRS Director, Office of Foreign Assets Control, Title: Request for Section 754 U.S. Department of the Treasury. Revocation. Veterans and Community Oversight [FR Doc. 2020–28363 Filed 12–31–20; 8:45 am] OMB Control Number: 1545–NEW. and Engagement Board, Notice of Meeting BILLING CODE 4810–AL–C Type of Review: New collection. Description: Section 754 election The Department of Veterans Affairs revocation requests have increased since (VA) gives notice under the Federal DEPARTMENT OF THE TREASURY Advisory Committee Act, 5 U.S.C. App technical terminations were repealed 2., that the Veterans and Community Agency Information Collection under Tax Cuts and Jobs Act (TCJA) for Oversight and Engagement Board will Activities; Submission for OMB tax years beginning after December 31, meet virtually on January 28, 2021. The Review; Comment Request; Internal 2017. The IRS Large Business and meeting session will begin and end as Revenue Service Request for Section International (LB&I) division, in follows: 754 Revocation collaboration with the IRS Small Date: January 28, 2021 Business and Self-Employed (SBSE) AGENCY: Departmental Offices, Time: 3:00 p.m. to 6:00 p.m. EST division, developed a new form (Form Department of the Treasury. The meetings are open to the public. 15254) with instructions for the Members of the public can attend the ACTION: Notice. partnership to use to submit the meeting via teleconference (800) 767– revocation request. Form 15254— SUMMARY: The Department of the 1750 access code 94323#. Request for Section 754 Revocation, the The Board was established by the Treasury will submit the following data is the same collected on the Form West Los Angeles Leasing Act of 2016 information collection requests to the 1065 U.S. Return of Partnership Income on September 29, 2016. The purpose of Office of Management and Budget the Board is to provide advice and make (OMB) for review and clearance in and will be used to contact the recommendations to the Secretary of accordance with the Paperwork partnership and make a determination Veterans Affairs (SECVA) on: Reduction Act of 1995, on or after the regarding whether the Section 754 Identifying the goals of the community date of publication of this notice. The revocation request will be approved or and Veteran partnership; improving public is invited to submit comments on denied. services and outcomes for Veterans, these requests. Form: IRS Form 15254. members of the Armed Forces, and the DATES: Comments should be received on Affected Public: Businesses or other families of such Veterans and members; or before February 3, 2020 to be assured for-profit organizations. and on the implementation of the Draft of consideration. Estimated Number of Respondents: Master Plan approved by the Secretary ADDRESSES: Written comments and 50. on January 28, 2016, and on the creation and implementation of any successor recommendations for the proposed Frequency of Response: On Occasion. information collection should be sent master plans. within 30 days of publication of this Estimated Total Number of Annual On January 28, the agenda will notice to www.reginfo.gov/public/do/ Responses: 50. include opening remarks from the PRAMain. Find this particular Estimated Time per Response: 5 Committee Chair and the Executive information collection by selecting hours, 7 minutes. Sponsor. The Advisory Committee Management Office will present, ‘‘Currently under 30-day Review—Open Estimated Total Annual Burden for Public Comments’’ or by using the Federal Advisory Committee Act 101 Hours: 256 hours. search function. training. There will be a general update Authority: 44 U.S.C. 3501 et seq. from Veterans Administration Greater FOR FURTHER INFORMATION CONTACT: Los Angeles Healthcare System Dated: December 29, 2020. Copies of the submissions may be (VAGLAHS) on COVID–19 response, obtained from Molly Stasko by emailing Molly Stasko, Draft Master Plan Timeline Update, [email protected], calling (202) 622– Treasury PRA Clearance Officer. preliminary breakdown for the housing 8922, or viewing the entire information [FR Doc. 2020–29095 Filed 12–31–20; 8:45 am] planned IAW the Master Plan, and collection request at www.reginfo.gov. BILLING CODE 4830–01–P Strategies to overcome CERs Staffing SUPPLEMENTARY INFORMATION: shortage. The West Los Angeles

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Collective will provide a briefing on full Board on any draft Any member of the public seeking infrastructure commitment and recommendations considered for additional information should contact financing for Bldg. 207, and finally a forwarding to the SECVA. Mr. Eugene W. Skinner Jr. at (202) 631– presentation from Brilliant Corners on Individuals wishing to share 7645 or at [email protected]. Strategies to house homeless Veterans. information with the Committee should Dated: December 29, 2020. The Board’s subcommittees on Outreach contact Mr. Chihung Szeto (Alternate and Community Engagement with Jelessa M. Burney, Services and Outcomes, and Master Designated Federal Official) at Federal Advisory Committee Management Plan with Services and Outcomes will [email protected] to submit a 1–2 page Officer. report on activities since the last summary of their comments for [FR Doc. 2020–29051 Filed 12–31–20; 8:45 am] meeting, followed by an out brief to the inclusion in the official meeting record. BILLING CODE P

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Part II

Department of the Interior

Fish and Wildlife Service 50 CFR Part 17 Endangered and Threatened Wildlife and Plants; Reclassification of the Endangered June Sucker to Threatened With a Section 4(d) Rule; Final Rule

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DEPARTMENT OF THE INTERIOR and Plants due to recovery. A species is critical habitat comprising the lower 4.9 an ‘‘endangered species’’ for purposes of miles (mi) (7.8 kilometers (km)) of the Fish and Wildlife Service the Act if it is in danger of extinction Provo River in Utah County, Utah. throughout all or a significant portion of On November 13, 2001, we published 50 CFR Part 17 its range and is a ‘‘threatened species’’ in the Federal Register (66 FR 56840) a notice formally declaring our intention [Docket No. FWS–R6–ES–2019–0026; if it is likely to become an endangered FXES11130900000–201–FF09E22000] species within the foreseeable future to participate in the multi-agency June throughout all or a significant portion of Sucker Recovery Implementation RIN 1018–BD48 its range. The Act does not define the Program (JSRIP) in partnership with the term ‘‘foreseeable future.’’ However, we U.S. Bureau of Reclamation (USBR), Endangered and Threatened Wildlife consider ‘‘foreseeable future’’ as that Utah Reclamation Mitigation and and Plants; Reclassification of the period of time within which a Conservation Commission (URMCC), Endangered June Sucker to reasonable prediction can be relied the Department of the Interior (DOI), Threatened With a Section 4(d) Rule upon in making a determination about State of Utah Department of Natural AGENCY: Fish and Wildlife Service, the future conservation status of a Resources (UDNR), the Central Utah Interior. species. We are reclassifying June Water Conservancy District (CUWCD), ACTION: Final rule. sucker from endangered to threatened Provo River Water Users Association, (i.e., ‘‘downlisting’’) because we have Provo Reservoir Water Users Company, SUMMARY: We, the U.S. Fish and determined that the species is no longer and outdoor interest groups. The JSRIP Wildlife Service (Service), are in danger of extinction throughout all or was designed to implement recovery reclassifying the June sucker a significant portion of its range. actions for the June sucker and facilitate (Chasmistes liorus) from endangered to Downlisting a species can only be resolution of conflicts associated with threatened under the Endangered completed by issuing a rule. June sucker recovery in the Utah Lake Species Act of 1973, as amended (Act), The basis for our action. Under the and Provo River basins in Utah. We due to substantial improvements in the Act, we can determine that a species is have participated in the JSRIP since this species’ overall status since its original an endangered or threatened species time and remain an active program listing as endangered in 1986. This based on any one or more of the member. action is based on a thorough review of following five factors or the cumulative On November 26, 2019, we published the best scientific and commercial data effects thereof: (A) The present or in the Federal Register (84 FR 65080) a available, which indicates that the June threatened destruction, modification, or proposed rule to reclassify June sucker sucker no longer meets the definition of curtailment of its habitat or range; (B) from ‘‘endangered’’ to ‘‘threatened’’ (i.e., an endangered species under the Act. overutilization for commercial, to ‘‘downlist’’ the species) on the List of The June sucker will remain protected recreational, scientific, or educational Endangered and Threatened Wildlife as a threatened species under the Act. purposes; (C) disease or predation; (D) (List). Please refer to that proposed rule We are also finalizing a rule under the inadequacy of existing regulatory for a detailed description of the Federal section 4(d) of the Act that provides for mechanisms; or (E) other natural or actions concerning this species that the conservation of the June sucker. manmade factors affecting its continued occurred prior to November 26, 2019. DATES: This rule is effective February 3, existence. Based on an assessment of the Species Information 2021. best available information regarding the status of and threats to June sucker, we It is our intent to discuss only those ADDRESSES: This final rule, supporting have determined that the species no topics directly related to downlisting documents we used in preparing this longer meets the definition of June sucker in this rule. The citations rule, and public comments we received endangered under the Act, but does represent only the sources required to are available on the internet at http:// meet the definition of threatened. The support this action or to provide context www.regulations.gov at Docket No. 4(d) rule provides exceptions to take for it, and are not the sum total of all FWS–R6–ES–2019–0026. Persons who prohibitions for activities that will literature pertaining to the species. For use a telecommunications device for the further recovery of the species. more information on the description, deaf (TDD) may call the Federal Relay This final rule recognizes that based biology, ecology, and habitat of the Service at 800–877–8339. on the best available science, June species, please refer to the final listing FOR FURTHER INFORMATION CONTACT: sucker no longer meets the definition of rule published in the Federal Register Yvette Converse, Field Supervisor, an endangered species, but will remain on March 31, 1986 (51 FR 10851), and telephone: 801–975–3330. Direct all protected as a threatened species under the species’ recovery plan (Service questions or requests for additional the Act. This progress towards recovery 1999), as well as the materials cited in information to: JUNE SUCKER is a result of conservation efforts this rule. These documents will be QUESTIONS, U.S. Fish and Wildlife implemented by stakeholders. available as supporting materials on Service, Utah Ecological Services Field Collaborative conservation efforts have http://www.regulations.gov under Office, 2369 Orton Circle, Suite 50, West reduced the intensity of threats to the Docket No. FWS–R6–ES–2019–0026. Valley City, UT 84119. Persons who use species and improved its population In our analysis, we identify the a TDD may call the Federal Relay numbers. The 4(d) rule will species’ ecological requirements for Service at 800–877–8339. accommodate recovery activities such as survival and reproduction using the SUPPLEMENTARY INFORMATION: non-native control efforts, habitat concepts of resiliency, redundancy, and restoration, monitoring, research, representation (the 3Rs). Resiliency is Executive Summary stocking, and refuge maintenance. the ability of a species to withstand Why we need to publish a rule. Under environmental and demographic the Act, if a species is determined to no Previous Federal Actions stochastic events (the natural range of longer be an endangered or threatened On March 31, 1986, we published in favorable and unfavorable conditions). It species, we may reclassify the species or the Federal Register (51 FR 10851) the is associated with population size, remove it from the Federal Lists of final rule listing June sucker as an growth rate, and habitat quality. Endangered and Threatened Wildlife endangered species and designating Redundancy is the ability of a species to

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withstand catastrophic events for which suckers reach reproductive maturity at Shallow lakes, such as Utah Lake, are adaptation is unlikely. It is associated 5–10 years of age. They exhibit rapid typically characterized as having one of with the number, distribution, and growth for the first 3–5 years, with two ecological states: A clear water state resilience of individual populations intermediate growth rates between ages or a turbid water state (Scheffer 1998, p. throughout the current range of the 8–10, and a further reduced growth rate 10). The clear water state is often species. Representation is the ability of after age 10. Growth between sexes does dominated by rooted aquatic a species to adapt to novel changes in not differ within the first 10 years macrophytes (aquatic plants) that can its environment, as measured by its (Scoppettone and Vinyard 1991, p. 9). greatly reduce turbidity by securing ecological and genetic diversity and its bottom sediments (Carpenter and Lodge Distribution and Habitat ability to disperse and colonize new 1986, p. 4; Madsen et al. 2001, p. 6) and areas. The June sucker is native and preventing excessive phytoplankton endemic to Utah Lake and its (algae) production through a suite of Taxonomy and Description tributaries, which are the primary mechanisms (Timms and Moss 1984, The June sucker, a unique lake sucker spawning habitat for the species. The pp. 3–5). Alternatively, a shallow lake named for the month in which it June sucker is not found outside of its in a turbid water state contains little or spawns, was first collected and native range except in two populations no aquatic vegetation to secure bottom described by David S. Jordan in 1878, in established for conservation purposes. A sediments (Madsen et al. 2001, p. 9). As Utah Lake, Utah County, Utah (Jordan refuge population was created as part of a result, fish movement and wave action 1878, entire). However, taxonomic the JSRIP stocking program to enhance can easily suspend lake-bottom questions regarding hybridization of the and secure the species’ population in sediments (Madsen et al. 2001, p. 9). In June sucker and co-occurring Utah Utah Lake at the Fisheries Experiment addition, fish can promote algal sucker (Catostomus ardens) ultimately Station (FES) hatchery in Logan, Utah production by recycling nutrients (both resulted in reclassification of the species (Service 2015, entire). An additional through feeding activity and excretion). as described below. population was established in Red Butte Fish can also suppress zooplankton The two species likely evolved Reservoir, Salt Lake County, Utah, in densities through predation, and the together in Utah Lake. During the 1930s, 2004 and is now self-sustaining (Utah zooplankton would otherwise suppress a severe drought stressed the sucker Division of Wildlife Resources (UDWR) algal abundance (Timms and Moss populations in Utah Lake, increasing the 2010, pp. 4–5). These additional 1984, p. 11; Brett and Goldman 1996, p. incidence of June and Utah sucker populations have aided in retaining 3). hybridization (Miller and Smith 1981, p. ecologic and genetic diversity in June Historically, Utah Lake existed in a 7). After this hybridization event, as sucker, which in turn aids the species clear water state dominated by rooted sucker populations increased in in adapting to changing environmental aquatic vegetation, as shown in abundance, the new genes that occurred conditions (i.e., increases sediment cores extracted from Utah in both the June sucker and Utah sucker representation) (JSRIP 2018, pp. 2–3). Lake (Macharia and Power 2011, p. 3). populations resulted in hybrid Utah Lake is a remnant of ancient Sediment cores reveal a shift in the state characteristics within both populations Lake Bonneville, and is one of the of the lake shortly after European (Evans 1997, p. 8). It is likely that the largest natural freshwater lakes in the settlement of Utah Valley to an algae- two species may have hybridized at western United States. It covers an area dominated, turbid condition, lacking multiple points in the past, in response of approximately 150 square miles (mi2) macrophytic vegetation that serves as to environmental bottlenecks (Evans (400 square kilometers (km2)) and is refugial habitat for June sucker (Brimhill 1997, pp. 9–12). As a result of the relatively shallow, averaging 9 feet (ft) and Merritt 1981, p. 16; Scheffer 1998, hybridization event in the 1930s, two (2.7 meters (m)) in depth (Brimhall and p. 6; Hickman and Thurin 2007, p. 8; subspecies of June sucker were Merritt 1981, pp. 2–3). The lake lies Macharia and Power 2011, p. 5). This originally identified—Chasmistes liorus west of Provo, Utah, and is the terminus shift is believed to be a result of liorus for sucker specimens collected in for several rivers and creeks, including excessive nutrient input, management- Utah Lake in the late 1800s, and the Provo, Spanish Fork, and American induced fluctuations in lake levels, and Chasmistes liorus mictus for specimens Fork Rivers, and Hobble and Battle the introduction of common carp collected after 1939, following the Creeks. The outflow of Utah Lake is the (Cyprinus carpio). The result of drought years (Miller and Smith 1981, Jordan River, which flows north into the compounded natural and human-caused p. 11). This classification was never Great Salt Lake, a terminal basin. effects is a present-day lake ecosystem corroborated, and because the June Utah Lake is located in a sedimentary that is dominated by algae, rather than sucker maintained its distinctiveness drainage basin dominated by erosive the clear water state in which June from other lake suckers despite soils with high salt concentrations. Utah sucker evolved. hybridization, we determined that it Lake had a sediment filling rate of about The extent of ideal riverine habitat should be listed as a distinct species 0.03 in (1 millimeter (mm)) per year available for spawning adults and under the name Chasmistes liorus (51 over the past 10,000 years; this rate developing larval June sucker was more FR 10851; March 31, 1986). more than doubled with the abundant historically than it is The June sucker has a large, robust urbanization of Utah Valley (Brimhall currently. Prior to settlement of Utah body; a wide, rounded head; and a and Merritt 1981, pp. 3–5). Faults under Valley, spawning tributaries, such as the hump on the snout (Scoppettone and the lake appear to be lowering the lake Provo, Spanish Fork, and American Vinyard 1991, p. 1). Adults are 17–24 bed at about the same rate as sediment Fork Rivers, and Hobble Creek, inches (in) (43.2–61.0 centimeters (cm)) is filling it (Brimhall and Merritt 1981, contained large deltas with braided, in length (Scoppettone and Vinyard pp. 10–11). Inputs of nutrient-rich slow, meandering channels and aquatic 1991, p. 1; Belk 1998, p. 2). Lake suckers sediments combined with the lake’s vegetation that provided suitable are mid-water planktivores (plankton high evaporation rate cause high levels spawning and larval rearing habitat feeders). The June sucker is a long-lived of sediment loading, high soluble salt (Olsen et al. 2002, p. 4). Multiple species, living to 40 years or more concentrations, and high nutrient levels spawning tributaries provided (Scoppettone and Vinyard 1991, p. 3; as a baseline condition (Brimhall and redundancy for June sucker. The range Belk 1998, p. 6). In the wild, June Merritt 1981, p. 11). of diverse habitats historically present

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within these tributaries was essential to Most spawning is completed within suckers were caught during their larval sucker survival and maintaining 5–8 days. Post-spawning suckers spawning runs and widely used as the species’ resiliency. Most congregate near the mouth of Provo Bay, fertilizer and food (Carter 1969, p. 7). importantly, slow water pool and marsh which could be a response to the high During this period, an estimated 1,653 habitats provided refuge from predation food productivity that remains in the tons (1,500 metric tons) of spawning by larger fishes. bay until the fall (Radant and Shirley suckers were killed when 2.1 mi (3.3 Since European colonization of Utah 1987, p. 13; Buelow 2006, p. 8). km) of the Provo River was dewatered Valley, changes to the tributaries have Zooplankton densities are greater in due to reduced water availability and decreased the available habitat for June Provo Bay than in other lake areas high demand (Carter 1969, p. 8). sucker spawning and rearing, although (Kreitzer et al. 2011, p. 9), providing Hundreds of tons of suckers also died recent restoration projects have abundant food to meet the energy when Utah Lake was nearly emptied improved conditions in the Provo River demands of post-spawn suckers, as well during a 1932–1935 drought (Tanner and Hobble Creek. The Provo River as an ideal location for the growth and 1936, p. 3). After the drought, June contains many natural characteristics survival of young-of-year June suckers sucker populations gradually increased that support the majority of the June recently emerged from the spawning again, but due to the combined impacts sucker spawning run and also play an tributaries (Kreitzer et al. 2011, p. 10). of ongoing drought, overexploitation, important role in contributing to the June sucker spawning habitat consists and habitat destruction, the population recovery of the species. The Provo River of moderately deep runs and riffles in did not return to its historical level is the largest tributary to the lake in slow to moderate current with a (Heckmann et al. 1981, p. 9). June terms of annual flow, width, and substrate composed of 4–8 in (100–200 suckers were rare in monitoring surveys watershed area (Stamp et al. 2002, p. mm) coarse gravel or small cobble that during the 1950s through the 1970s 19). All of these characteristics is free of silt and algae. Deeper pools (Heckmann et al. 1981, p. 11; Radant contribute to higher numbers of adjacent to spawning areas may provide and Sakaguchi 1981, p. 5). spawning June suckers using the Provo important resting or staging areas By the time the species was listed River than the other Utah Lake (Stamp et al. 2002, p. 5). under the Act (16 U.S.C. 1531 et seq.) tributaries. These characteristics also Under natural conditions, June sucker in 1986, the June sucker had an best support the proper timing of the larvae drift downstream and rear in estimated wild spawning population of June sucker’s spawning period and help shallow vegetated habitats near tributary fewer than 1,000 individuals. In 1999, protect against further hybridization mouths in Utah Lake (Modde and we estimated the wild spawning with Utah sucker. Continued increase Muirhead 1990, pp. 7–8; Crowl and population to be approximately 300 and improvement of available larval Thomas 1997, p. 11; Keleher et al. 1998, individuals, with no evidence of wild rearing habitat in the Provo River is p. 47). Juvenile June suckers then recruitment (Keleher et al. 1998, pp. 12, necessary for recovery of the species. migrate into Utah Lake and use littoral 53; Service 1999, p. 5). aquatic vegetation as cover and refuge Due to the immediate threat of June Biology and Ecology (Crowl and Thomas 1997, p. 11). June sucker extinction at the time of listing, June suckers are highly mobile and sucker juveniles form schools near the the UDWR began raising populations in can cover large portions of their range water surface, presumably feeding on hatcheries and at secure refuge sites. in a short period of time (Radant and zooplankton in the shallows. Young-of- These efforts resulted in the stocking of Sakaguchi 1981, p. 7; Buelow 2006, p. year suckers form shoals (aggregations June suckers into Utah Lake to boost 4; Landom et al. 2006, p. 13). Adult June of hundreds of fish) near the surface population numbers beginning in the suckers exhibit lake-wide distributional under the cover of aquatic vegetation 1990s and continuing through the behavior throughout most of the year (Billman 2008, p. 3). present day (UDWR 2018b, p. 3). As of (Buelow 2006). However, in the fall, However, effects from nonnative 2017, more than 800,000 captive-bred June suckers congregate along the common carp, altered tributary flows, June suckers have been stocked in Utah western lakeshore, and in the winter, lake water level management, nutrient Lake (UDWR 2017b, p. 6). Stocking is move to the eastern areas. One loading, poor water quality, and river planned to continue until the wild explanation for the easterly orientation channelization have reduced the population is self-sustaining, which will in the winter may be the presence of amount of shallow, warm, and complex be determined by population viability relatively warm fresh-water springs vegetated aquatic habitat for rearing at analysis (JSRIP 2018, p. 10). along the eastern shore of Utah Lake the tributary mouths and Utah Lake Approximately 3,500 June suckers (SWCA 2002, p. 14). interface. This reduction in rearing were spawning annually in Utah Lake During pre-spawn staging, in April habitat has reduced survival of June tributaries as of 2016 (Conner and and May, June suckers congregate in suckers during the early life stages Landom 2018, p. 2). This represents at large numbers near the mouths of the (Modde and Muirhead 1990, p. 9; Olsen least a ten-fold increase in spawning Provo River, Hobble Creek, Spanish et al. 2002, p. 6), resulting in reduced fish from when the recovery plan was Fork River, and American Fork River population viability and resiliency. As finalized in 1999 (Conner and Landom (Radant and Hickman 1984, p. 3; June suckers reach the subadult stage, 2018, p. 2). The vast majority of fish Buelow et al. 2006, p. 4; Hines 2011, p. they begin to move offshore (Billman detected spawning in Utah Lake 8). June suckers generally initiate a 2005, p. 16). tributaries are stocked fish that have spawning migration into Utah Lake become naturalized (survived for tributaries (primarily the Provo River, Species Abundance and Trends multiple years until reaching breeding but also Hobble Creek and, to a lesser Early accounts indicate that Utah age) (UDWR 2018c, p. 7). For all extent, Spanish Fork River and Lake supported an enormous population spawning tributaries combined, the American Fork River) during the second of June suckers (Heckmann et al. 1981, spawning population size for both sexes and third weeks of May (Radant and p. 8), and was proclaimed ‘‘the greatest substantially increased from 2008 to Hickman 1984, p. 7). Provo Bay is likely sucker pond in the universe’’ (Jordan 2016, and the total known spawning one of their primary pre-spawn and 1878, p. 2). The first major reductions in population size grew by 22 percent. post-spawn congregation areas (Buelow the number of June suckers were in the These figures represent a minimum 2006, p. 4). late 1800s. Through the mid-1900s, June number of confirmed spawning June

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suckers, not a population estimate. They smallest June suckers, those stocked at the wild population. In 2020–2021, a do not include subadult or juvenile under 7.9 in (200 mm), had a survival study is underway to improve our individuals, non-spawning adults, rate into the next year of only 2 percent understanding of the degree of natural untagged fish, or tagged fish that were (Goldsmith et al. 2016, p. 14). recruitment of June sucker in Utah Lake not detected via the monitoring Year-to-year survival rates for and the origin of untagged June suckers. antennae. spawning June suckers ranged from 65 This information will, combined with The actual population of wild June to 95 percent depending on the tributary future monitoring, yield a population suckers in Utah Lake is likely greater and the year (Goldsmith et al. 2016, p. estimate and help inform future than 3,500, because this number 3). Additionally, June suckers that were stocking rates and management represents only the spawning adults. stocked more than 10 years prior were decisions for the purposes of further However, we did not attempt to detected spawning on multiple bolstering the species’ representation, extrapolate a total population estimate occasions, indicating the capability for resiliency, and redundancy to achieve from the adult spawning data because long-term survival in Utah Lake (Conner full recovery. monitoring efforts in tributaries were and Landom 2018, p. 3). Between 2013 not consistent across all years, data were and 2016, June sucker showed a positive Recovery not available for one year due to high population trend with a combined Section 4(f) of the Act directs us to flows, and the percentage and origin of annual growth rate of 1.06 for females develop and implement recovery plans untagged fish in Utah Lake is not yet and 1.04 for males across three for the conservation and survival of clear (Conner and Landom 2018, p. 4). tributaries (Provo River, Spanish Fork, endangered and threatened species Stocked June suckers are tagged with a and Hobble Creek), with Provo River unless we determine that such a plan passive integrated transponder (PIT). having the highest population growth will not promote the conservation of the Untagged fish may be stocked fish that rate and Hobble Creek showing an species. Under section 4(f)(1)(B)(ii), lost their PIT tag or the result of overall decline (Conner and Landom recovery plans must, to the maximum reproduction (i.e., recruitment) in the 2018, p. 3). However, nearly 50 percent extent practicable, include objective, wild (UDWR 2017, entire). of spawning June sucker detected in measurable criteria which, when met, Monitoring of June suckers in the Hobble Creek were of unknown origin. would result in a determination, in lower Provo River during the 2018 Therefore, a decline in detected accordance with the provisions of spawning period captured a significant spawners in this tributary does not section 4 of the Act, that the species be portion of fish that were not PIT tagged necessarily mean fewer fish overall are removed from the List. (UDWR 2018, p. 3). The natural using the tributary. Naturally recruited Recovery plans provide a roadmap for geochemical markers (signatures) in the fish that have never been tagged would us and our partners on methods of otoliths (ear bones) and fin rays of not be detected by the remote electronic enhancing conservation and minimizing collected, unmarked June suckers show methods used to collect June sucker threats to listed species, as well as that 39 percent (12 of 31) of these fish presence information at spawning measurable criteria against which to likely originated from the FES hatchery; locations. evaluate progress towards recovery and 42 percent from Red Butte reservoir, In summary, the viability of June assess the species’ likely future other rearing facilities, or inconclusive; sucker in its native range––as indicated condition. However, they are not and 19 percent (6 of 31) had signatures by its representation, resiliency, and regulatory documents and do not indicating they originated in Utah Lake redundancy—has improved substitute for the determinations and (Wolff and Johnson 2013, p. 9), meaning significantly since the time of listing, promulgation of regulations required they were likely recruited naturally into largely due to the efforts of the JSRIP under section 4(a)(1) of the Act. A Utah Lake. These results indicate that (see Recovery, below). Stocking of June decision to revise the status of a species, successful natural reproduction and suckers, a program designed to or to delist a species, is ultimately based recruitment are occurring, although the maximize representation through on an analysis of the best scientific and exact location and conditions that genetic diversity, has been very commercial data available to determine contributed to this successful natural successful at increasing the number of whether a species is no longer an recruitment are not known. Additional fish in Utah Lake. Stocked individuals endangered species or a threatened analysis of June suckers of unknown are behaving as wild fish by migrating species, regardless of whether that origin is planned within the next several to new habitats, surviving many years, information differs from the recovery years to determine the level of natural and participating in spawning activities. plan. recruitment occurring in Utah Lake. The JSRIP stocking program is planning There are many paths to Regardless of origin, capture of untagged to continue until the June sucker accomplishing recovery of a species, fish indicates there is an unknown reaches self-sustaining population and recovery may be achieved without number of spawning June suckers that levels, with a focus on stocking 2-year- all of the criteria in a recovery plan were not accounted for in the spawning old fish over 12 in (300 mm) long to being fully met. For example, one or population estimate. increase their chances of survival. The more criteria may be exceeded while The year-to-year survival rate of fish spawning population has increased at other criteria may not yet be stocked into Utah Lake varies least ten-fold since 1999; there is accomplished. In that instance, we may significantly depending on a number of evidence of high year-to-year survival determine that the threats are factors, including length of fish at stock rates and long-term survival for minimized sufficiently and that the (which correlates to age) and time of spawning individuals; and the species is robust enough that it no year stocked (Goldsmith et al. 2016, p. spawning population is increasing at a longer meets the definition of an 5). June suckers stocked in early high rate, improving the resiliency of endangered species or a threatened summer that were 11.6 in (296 mm) in the wild population. The stocking species. In other cases, we may discover length or more (usually representing an program and maintenance of two new recovery opportunities after having individual that was 2 years old) had a additional populations (the refuge finalized the recovery plan. Parties survival rate of 83 percent. June suckers population at FES hatchery and the seeking to conserve the species may use stocked at age 1 had survival rates introduced population at Red Butte these opportunities instead of methods ranging from 0 to 67 percent. The Reservoir) also provide redundancy to identified in the recovery plan.

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Likewise, we may learn new may be used to supplement Provo river 2008, an ecosystem-based flow regime information about the species after we flows as needed in any given year recommendation was finalized for the finalize the recovery plan. The new (USBR 2017, pp. 3–5). These protected lower Provo River (Stamp et al. 2008, p. information may change the extent to water sources, when delivered as 13). This year-round flow which existing criteria are appropriate additional water, provide added recommendation refined the operational for identifying recovery of the species. resiliency by improving habitat quality scenarios identified in 2004, through the The recovery of a species is a dynamic for the species, and operational incorporation of relevant ecological process requiring adaptive management flexibility to address fluctuating annual functions into the in-stream flow that may, or may not, follow all of the precipitation scenarios in a timely analysis. Hydrologic variability, guidance provided in a recovery plan. manner. geomorphology, water quality, aquatic We finalized a recovery plan for June The amount of water delivered to biology, and riparian biology were sucker in 1999, which included supplement flows in the Provo River considered as aspects of flow recovery actions and recovery criteria and Hobble Creek and the timing of recommendations. The year-round flow for downlisting and delisting of June those deliveries are determined recommendations are adaptive, with sucker. These criteria lack specific annually through a cooperative process consideration of the variability within metrics and will be updated in a involving multiple agencies. In 1996, and among each water year. These forthcoming revised recovery plan for the June Sucker Flow Work Group include recommendations for a baseline the species. However, they are still (Flow Work Group) was formed by the flow, a spring runoff flow, and the relevant to the evaluation of recovery, USBR, DOI Central Utah Project duration of the rising and receding flow and we discuss them in this document Completion Act (CUPCA) Office, Provo periods before and after runoff. As more as one way to evaluate the change in River Water Users Association, Provo is learned about the associations status of June sucker. River Water Commissioner, CUWCD, between flow and river functions, the Since 2002, the JSRIP has funded, UDWR, the Service, Provo City Public recommendations can be adjusted implemented, and overseen recovery Works, and the URMCC. These agencies (Stamp et al. 2008, p. 10). In 2015, the actions for the conservation of June initially worked together to adjust JSRIP passed a resolution affirming this sucker in accordance with the guidance reservoir releases to mimic a Provo process, which further defined how provided by the recovery plan, River spring runoff hydrograph and flows in the Provo River should be including using adaptive management improve June sucker spawning success. prioritized for the benefit of the June techniques to address new stressors as Since 2002, this process has been sucker, and defined the roles of partners they arose. These recovery actions overseen by the JSRIP. in supporting the water needs of June include: (1) Acquiring and managing As recovery-specific water was sucker in the Provo River (JSRIP 2015, water flows, (2) restoring habitat, (3) acquired, the role of the Flow Work entire). removing carp, and (4) augmenting the Group expanded to provide a forum for In 2009, ecosystem-based flow wild June sucker population. These determining the optimal delivery recommendations were developed for efforts, and how they relate to the pattern of supplemental flows. Based on Hobble Creek in the Lower Hobble recovery criteria, are described in the existing conditions for a given year (e.g., Creek Ecosystem Flow following paragraphs. snow pack and reservoir storage), the Recommendations Report (Stamp et al. multi-disciplinary work group uses Acquisition and Management of Water 2009, pp. 11–12). These operational flexibility for reservoir Flows recommendations were adopted by the water delivery and runoff timing to JSRIP, included in the East Hobble The first downlisting criterion evaluate and operate the system to Creek Restoration Project Environmental requires that Provo River flows essential deliver year-round flows to benefit June Analysis (JSRIP 2009, p. 5), and are for June sucker spawning and sucker recovery. Based on currently considered each April when recruitment are protected (Service 2011, recommendations of the Flow Work determining the annual p. 5). We consider this criterion to have Group, the JSRIP makes annual recommendations for delivery of flows been met. The JSRIP provides annual recommendations for flow deliveries to to Hobble Creek (DOI et al. 2013, p. 41). recommendations for river flows to the Provo River and Hobble Creek, Similar to the Provo River, these support June suckers on the Provo River adjusted for the available water recommendations are intended to be and Hobble Creek based on the known conditions. Water managers (including adaptive. In 2012, the JSRIP passed a biology of the species and the historical USBR, CUPCA, Provo River Water Users resolution affirming this process, which flow levels to the CUWCD and other Association, the Provo River Water further defines how flows in Hobble water-managing bodies. The JSRIP has Commissioner, CUWCD, and Provo City Creek should be prioritized for the also acquired water totaling over 21,000 Public Works) then work to deliver benefit of June sucker, and defines the acre-ft (25,903,080 cubic m (m3)) per water to meet that specific annual roles of partners in supporting the water year to enhance flows during the recommendation and have been needs of June sucker in Hobble Creek spawning season on the Provo River and successful in meeting the hydrograph (JSRIP 2012, entire). to supplement base flows through the scenarios agreed to by the Flow Work summer for the benefit of larval June Group on an annual basis since 2004. Habitat Restoration sucker. Approximately 13,000 acre-ft In 2004, the CUWCD, in cooperation The second downlisting criterion for (16,035,240 m3) of this water is with the Service and other members of June sucker requires that spawning and permanently allocated, and the the Flow Work Group, agreed on brood-rearing habitat in the Provo River remainder is allocated through 2021. operational scenarios that mimic dry, and Utah Lake be enhanced or The JSRIP is pursuing additional water, moderate, and wet year flow patterns for established to provide for the continued permanent and temporary, to bolster the Provo River (CUWCD et al. 2004, p. existence of all life stages (Service 1999, June sucker allocations after 2021 (JSRIP 17). The Flow Work Group applied p. 4). We consider this criterion to have 2018, p. 5). Additionally, the JSRIP has these operational scenarios in been met. Habitat restoration projects acquired 8,500 acre-ft (10,485,000 m3) of determining the spawning season flow occurred on the Provo River and Hobble permanent water for Hobble Creek, up pattern for the Provo River with the goal Creek, and habitat quality was enhanced to 4,500 acre-ft (5,550,660 m3) of which of benefiting June sucker recovery. In in Utah Lake as a result of nonnative

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species removal (see Carp Removal, due to changing lake levels and water suckers are using this area for rearing below). availability. Therefore, we determined (Fonken 2018, pers. comm.). Modifications of the Fort Field that an additional, reliably available Improving water quality in Utah Lake diversion structure on the Provo River, (i.e., available every year) spawning run is also an important part of enhancing located within critical habitat, were would improve redundancy for the June sucker habitat. In the interest of completed in October 2009. This species by providing security in the supporting June sucker recovery modification made an additional 1.2 mi event that a catastrophic event through increased water quality, the (1.9 km) of spawning habitat available eliminated the Provo River spawning Utah Division of Water Quality (UDWQ) for the June sucker, permitting fish habitat. Hobble Creek provides the best became a member of the JSRIP in 2017 passage farther upstream in the opportunity of the available spawning (JSRIP 2017). As part of the State’s historical range (URMCC 2009, pp. 8–9; tributaries for establishing a second commitment to water quality JSRIP 2008, p. 12). During the 2010 consistent spawning run (Stamp et al. management and improvement in Utah spawning season, June suckers were 2002, p. 13). Hobble Creek is more Lake, UDWQ formed a science panel observed in the Provo River upstream of frequently available to fish in low water composed of independent experts and the modified Fort Field Diversion years compared to other tributaries. representatives of all stakeholder structure (UDWR 2011, pp. 7–8). In However, Hobble Creek would still agencies for the express purpose of cooperation with the JSRIP, the CUWCD require habitat enhancements to make it furthering scientific understanding of and URMCC are working with other suitable for consistent, annual June the conditions in Utah Lake and diverters on the Provo River to evaluate sucker spawning runs and allow for the creating a comprehensive plan for further diversion structure removal or development of quality rearing habitat improvement. This plan will support modification. for young suckers (Stamp et al. 2002, p. June sucker recovery by including The JSRIP is also implementing a 13). recommendations for actions and large-scale stream channel and delta In 2008, the lower 0.5 mi (0.8 km) of threshold limits of nutrients and other restoration project for the lower Provo Hobble Creek was relocated and anthropogenic inputs for the benefit of River and its interface with Utah Lake, reconstructed on land purchased by the June sucker specifically and the Utah called the Provo River Delta Restoration JSRIP to provide June sucker spawning Lake ecosystem as a whole (UDWQ Project (PRDRP). This project will habitat, a more naturally functioning 2017, entire). restore, enhance, and create habitat stream channel, and suitable nursery conditions in the lower Provo River for Carp Removal habitat for young suckers. The JSRIP spawning, hatching, larval transport, The third downlisting criterion partnered with the Utah Transit rearing, and recruitment of the June requires that nonnative species that Authority to implement the habitat sucker to the adult life stage, thus present a threat to the continued increasing the species’ resiliency (Olson restoration project on the purchased existence of June sucker are reduced or et al. 2002, p. 15; BIO–WEST 2010, p. property (DOI 2008, p. 14). The project eliminated from Utah Lake. We consider 3). The PRDRP will reestablish some of re-created a functioning delta at the this criterion met, but ongoing. The the historical delta conditions in the interface between Hobble Creek and common carp was identified as the Provo River, thereby increasing habitat Utah Lake, and allowed the nonnative species having the greatest complexity and providing appropriate reestablishment of a June sucker adverse impact on June sucker habitat physical and biological conditions spawning run. The restoration resulted and resiliency, due to the large-scale necessary for egg hatching, larval in more active river processes and changes in water quality and development, growth, young-of-year includes numerous seasonally macrophytic vegetation caused by these survival, and recruitment of young fish inundated off-channel ponds, which fish (see Distribution and Habitat, into the adult population. A final serve as larval nursery and rearing above). environmental impact statement (EIS) habitat to increase larval fish growth In 2009, a mechanical removal for the PRDRP was released in April and survival (DOI 2008, p. 22). program was instituted to remove 2015, with a record of decision signed In 2009, June suckers spawned in the common carp from Utah Lake. Between in May 2015. Federal agencies have restored Hobble Creek, with verified 2009 and 2017, over 13,000 tons (11,750 acquired lands needed for the PRDRP larval production (Landom and Crowl metric tons) of common carp were and developed a detailed design to 2010, pp. 1–12), and in 2010, juvenile removed from the lake (UDWR 2017c, p. provide optimal rearing habitat for June June suckers (from 2009 spawning) were 2). This removal resulted in a decline of sucker (PRDRP 2017, entire). Work found in ponds within the Hobble Creek the common carp population. Catch-per- began spring of 2020, and is expected to restoration area (Landress 2011, p. 4). unit effort of common carp has be completed in 2024 (Stamp 2020, Due to the success of the restoration, decreased over the past 4 years, while pers. comm.). additional reaches of Hobble Creek have average weight of individual common Shortly after formation of the JSRIP, been selected for habitat enhancements carp has increased, thus indicating a and based on delisting criteria identified to increase the amount of available trend of reduction in common carp in the 1999 June Sucker Recovery Plan spawning habitat. For example, density in Utah Lake (Gaeta and (Service 1999, pp. 5–6), several Utah approximately 1 mi (1.6 km) upstream Landom 2017, p. 7). Lake tributaries were evaluated for the of the lower Hobble Creek restoration In 2015, after 6 years of common carp purpose of establishing a second area, the East Hobble Creek Restoration removal, native macrophytes were spawning run of June sucker in addition Project was completed to enhance the observed in Utah Lake vegetation to the Provo River spawning run (Stamp stream channel by increasing floodplain monitoring studies for the first time et al. 2002, p. 13). Depending on the width, sinuosity, and floodplain (Landom 2016, pers. comm.). As of availability of water in any given year, connectivity; modify or remove 2017, multiple sites in the lake have June suckers will use multiple other diversion structures; and provide native littoral vegetation, including sites tributaries for spawning, including additional stream flows for Hobble with increasing complexity supporting Spanish Fork, American Fork, and Creek (JSRIP 2016b, p. 17). An age-1 more than four native macrophytic Current Creek. However, not all June sucker was observed in this area in species at one site (Dillingham 2018, tributaries are available in every year, January 2018, indicating that June entire). Sites with more complex

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vegetation support a higher diversity of representation, support downlisting the the species, as well as other actions or macroinvertebrates, which provide species. The criterion of an increasing, conditions that may ameliorate any additional food for June sucker, provide self-sustaining spawning run of wild negative effects or may have positive greater opportunities for June sucker to June sucker resulting in significant effects. shelter from predators, and indicate recruitment over 10 years is more We must consider these same five improved water quality in the lake suitable as a delisting criterion and factors in downlisting a species from (Dillingham 2018, entire). indicative of full recovery. endangered to threatened. Under our The common carp removal program in Overall, recovery actions have regulations at 50 CFR 424.11(c)-(e), we Utah Lake has a positive impact on addressed many of the threats and may downlist a species if, after a review habitat quality, which may be stressors affecting the June sucker. The of the species’ status, the best available contributing to natural recruitment and JSRIP has been effective in collaborating scientific and commercial data indicate survival rates for the June sucker (Gaeta to implement a stocking program, that the species no longer meets the and Landom 2017, p. 8; see Species increase June sucker spawning definition of an endangered species, but Abundance and Trends, above). locations, acquire and manage water that it meets the definition of a Ongoing research by Utah State flows, remove nonnative common carp, threatened species. University continues to assess the and develop and conduct habitat For the purposes of this analysis, we relationship between common carp restorations that target all life stages of evaluate whether or not the June sucker removal, habitat improvement, and June June sucker. Studies are planned to meets the Act’s definition of an sucker population response as well as improve understanding of the effects of ‘‘endangered species’’ or a ‘‘threatened develop long-term recommendations for other threats and stressors, including species,’’ based on the best scientific sustainable common carp management lake water quality and the impact of and commercial information available. (Gaeta et al. 2018, entire). The JSRIP other invasive species on the June We use the term ‘‘threat’’ to refer in prioritizes continued suppression of the sucker. The JSRIP continues to be active general to actions or conditions that are common carp population via and committed to full recovery of the known to or are reasonably likely to mechanical removal, as well as research June sucker. negatively affect individuals of a into genetically modified sterile (YY) species. The term ‘‘threat’’ includes male technology that has the potential Summary of Factors Affecting the actions or conditions that directly affect to reduce or eliminate carp from Utah Species individuals (direct impacts), as well as Lake in the future (JSRIP 2018, p. 2). Section 4 of the Act (16 U.S.C. 1533) those that affect individuals through alteration of their habitat or required Population Augmentation and its implementing regulations (50 CFR part 424) set forth the procedures resources (stressors). The term ‘‘threat’’ The fourth and final downlisting for listing species, reclassifying species, may encompass—either together or criterion in the June sucker recovery or removing species from listed status. separately—the source of the action or plan is that an increasing, self- ‘‘Species’’ is defined by the Act as condition or the action or condition sustaining spawning run of wild June including any species or subspecies of itself. sucker resulting in significant fish or wildlife or plants, and any However, the mere identification of recruitment over 10 years has been distinct vertebrate population segment any threat(s) does not necessarily mean reestablished in the Provo River. We of fish or wildlife that interbreeds when that the species meets the statutory consider this criterion to be ongoing. mature (16 U.S.C. 1532(16)). The Act definition of an ‘‘endangered species’’ or This criterion does not define defines an endangered species as a a ‘‘threatened species.’’ In determining ‘‘significant’’ recruitment. Although the species that is ‘‘in danger of extinction whether a species meets either spawning population of June sucker is throughout all or a significant portion of definition, we must evaluate all increasing, annual stocking continues in its range,’’ and a threatened species as identified threats by considering the order to maintain the population. An a species that is ‘‘likely to become an species’ expected response and the augmentation plan for the June sucker endangered species within the effects of the threats—with regard to set a goal, for the purposes of meeting foreseeable future throughout all or a those actions and conditions that will the recovery criterion of a self- significant portion of its range.’’ ameliorate the threats—on an sustaining population, of stocking 2.8 The Act requires that we determine individual, population, and species million individuals into Utah Lake whether any species is an ‘‘endangered level. We evaluate each threat and its (Service and URMCC 1998, entire). The species’’ or a ‘‘threatened species’’ expected effects on the species and then goal was based on early studies of June because of any of the following factors: analyze the cumulative effect of all of sucker survival and the production (A) The present or threatened the threats on the species as a whole. capabilities of the facilities. As of 2017, destruction, modification, or We also consider the cumulative effect more than 800,000 captive-bred June curtailment of its habitat or range; of the threats with regard to those sucker have been stocked in Utah Lake (B) Overutilization for commercial, actions and conditions that will have from the various rearing locations, and recreational, scientific, or educational positive effects on the species—such as a long-term, continued stocking strategy purposes; any existing regulatory mechanisms or based on the most up-to-date research (C) Disease or predation; conservation efforts. The Secretary on stocking success and survival rates is (D) The inadequacy of existing determines whether the species meets under development (JSRIP 2008, p. 8; regulatory mechanisms; or the Act’s definition of an ‘‘endangered UDWR 2017b, p. 6). (E) Other natural or manmade factors species’’ or a ‘‘threatened species’’ only Although the June sucker has not yet affecting its continued existence. after conducting this cumulative met this downlisting criterion identified These factors represent broad analysis and describing the expected in the 1999 recovery plan, we find that categories of natural or human-caused effect on the species now and in the the population increases and trends actions or conditions that could have an foreseeable future. achieved thus far (see Species effect on a species’ continued existence. The Act does not define the term Abundance and Trends, above), along In evaluating these actions and ‘‘foreseeable future,’’ which appears in with the addition of refuge populations conditions, we look for those that may the statutory definition of ‘‘threatened to increase redundancy and genetic have a negative effect on individuals of species.’’ Our implementing regulations

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at 50 CFR 424.11(d) set forth a Water Development and Habitat one of the possible factors that framework for evaluating the foreseeable Modification contributed to the marked degradation future on a case-by-case basis. The term Water development and substantial of shoreline habitat and aquatic foreseeable future extends only so far habitat modifications have occurred in vegetation in the lake and to a decline into the future as we can reasonably the Utah Lake drainage since the mid- in June sucker refugial habitat from determine that both the future threats 1800s. These changes include the predators (Hickman and Thurin 2007, p. and the species’ responses to those reduction in riverine flows (including 23). threats are likely. In other words, the the Provo River) from numerous water The long history of water management foreseeable future is the period of time diversions, various water storage in the Provo River, including river in which we can make reliable projects, channelization, and additional alterations, dredging, and predictions. ‘‘Reliable’’ does not mean lake and in-stream alterations (Radant et channelization efforts, has modified the ‘‘certain’’; it means sufficient to provide al. 1987, p. 13; UDWR and UDNR 1997, historical braided and complex delta a reasonable degree of confidence in the p. 11; Andersen et al. 2007, p. 8). Many into a single trapezoidal channel prediction. Thus, a prediction is reliable of these modifications and water (Radant et al. 1987, p. 15; Olsen et al. if it is reasonable to depend on it when depletions remain today, and continue 2002, p. 11). The current channel lacks making decisions. to hinder the quantity and quality of vegetative cover, habitat complexity, It is not always possible or necessary June sucker rearing and spawning and the food sources necessary to to define foreseeable future as a habitat, which in turn impacts species sustain larval fishes rearing in the lower particular number of years. Analysis of resiliency. Provo River (Stamp et al. 2008, p. 20). the foreseeable future uses the best In 1849, settlers founded Fort Utah Additionally, the lower 2 mi (3.2 km) of scientific and commercial data available along the Provo River and began the Provo River experience a backwater and should consider the timeframes modifying the waters of Utah Lake and effect, where the velocity stalls under applicable to the relevant threats and to its main tributaries (USBR 1989, p. 3). low-flow scenarios and a high seasonal the species’ likely responses to those In 1872, a low dam was placed across lake level causes the water to back up threats in view of its life-history the lake outflow to the Jordan River, from the lake into the Provo River characteristics. Data that are typically changing the function of Utah Lake into (Stamp et al. 2008, p. 20). The slack relevant to assessing the species’ a storage reservoir (CUWCD 2004, p. 2). water substantially reduces the number biological response include species- By the early 1900s, a pumping plant was of larvae drifting into the lake. As a specific factors such as lifespan, constructed at the outflow to allow the result of their poorly developed reproductive rates or productivity, lake to be lowered below the outlet swimming abilities, the larvae either certain behaviors, and other elevation; this structure has since been starve or are consumed by predators in demographic factors. modified and enlarged (Andersen et al. this lower stretch of river (Ellsworth et al. 2010, p. 9). Because of the extensive In our determination, we correlate the 2007, p. 5). The present capacity of the pumping plant is 1,050 cubic feet per modification of the lower Provo River, threats acting on the species to the in the past, most June sucker larvae factors in section 4(a)(1) of the Act. second (cfs) (29.7 cubic meters per second (cms)), and it can lower the lake have not survived longer than 20 days The following analysis examines level 8–10 ft (2.4–3.0 m) below the after hatching (Ellsworth et al. 2010, pp. factors currently affecting the June compromise elevation of 4,489 ft (1,368 9–10). The upcoming PRDRP is sucker or that are likely to affect it m) (Andersen et al. 2007, p. 5). The designed to increase survival of larvae within the foreseeable future. For each compromise elevation is a managed lake by providing additional rearing habitat factor, we examine the threats at the elevation target that the responsible along the Provo River (PRDRP 2017, time of listing in 1986 (or if not present water authorities have agreed not to entire). at the time of listing, the status of the exceed through the active storage of Similar to the Provo River, Hobble threat when first detected), the water. This compromise elevation was Creek and other tributaries of downlisting criterion pertinent to the intended to balance the threat of significance (Spanish Fork River and threat, what conservation actions have flooding among lands adjacent to Utah American Fork River) have been been taken to meet the downlisting Lake and those downstream along the extensively modified by human criteria or otherwise mitigate the threat, Jordan River (CUWCD 2004, p. 7). activities. The hydrological regimes are the current status of the threat, and its As a storage reservoir, the surface altered by multiple dams and likely future impact on June sucker. We elevation of Utah Lake fluctuates diversions, and the stream channels also consider stressors not originally widely. Prior to the influence of water have been straightened and dredged into considered at the time of listing, most development projects, annual incised trapezoidal canals (Stamp et al. notably climate change. fluctuations averaged 2.1 ft (0.6 m) per 2002, p. 5). These alterations resulted in Habitat Destruction and Modification year. For approximately 50 years, under the streams becoming isolated from the influence of water development their historical floodplains and having Loss and alteration of spawning and projects, water levels fluctuated an modified flow velocities and pool-riffle rearing habitat were major factors average of 3.5 ft (1.0 m) annually prior sequences (Stamp et al. 2002, p. 6). leading to the listing of the June sucker to the completion of the Central Utah Until recent restoration efforts were (51 FR 10851; March 31, 1986) and Project. The Central Utah Project was implemented, the Hobble Creek channel continue to pose a threat to the species’ the largest water resources development had almost no gradient and ended overall resiliency and its recovery. program in Utah, distributing portions without a defined connection to the lake Suitable spawning and rearing habitat in of Utah’s share of Colorado River water. interface in Provo Bay due to diversion Utah Lake and its tributaries declined After its completion, annual lake structures and dredging. In the past, the due to water development, habitat fluctuations averaged 2.5 ft (0.8 m) channel was blocked by debris that modification, introduction of common (Hickman and Thurin 2007, p. 20). created barriers to fish migration, carp, and urbanization, but has Fluctuation in surface elevation of Utah preventing adult June suckers from improved since listing due to recovery Lake (particularly while the Central accessing the main stem of Hobble actions taken by the JSRIP. Utah Project was under construction) is Creek.

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Located south of Provo Bay, the (SWCA 2002, p. 19). However, the to improve water quality and address Spanish Fork River is the second largest previously described carp removal impacts of urbanization and other stream inflow to Utah Lake, but the program reduced carp populations and factors that may negatively impact majority of the discharge is diverted increased macrophytic vegetation in the future water quality (UDWQ 2017, during the irrigation season (June lake, improving resiliency of the June entire). through September; Psomas 2007, p. sucker (see Recovery, above). Lake Water Quality 12). Adult and larval June suckers occur Urbanization in the Spanish Fork River (UDWR 2006, Utah Lake is hypereutrophic, p. 2; 2007, p. 2; 2008a, p. 3; 2009a, p. Rapid urbanization on the floodplains characterized by frequent algal blooms 4; 2010b, p. 2); however, the seasonally of Utah Lake tributaries stimulated and high turbidity (Merritt 2004, p. 14; inadequate flows, poor June sucker extensive flood and erosion control Psomas 2007, p. 12). The increased rearing habitat at the Utah Lake activities in lake tributaries and reduced turbidity, decreased water quality, and interface, low water clarity, diversion available land for the natural historical change in the plant structures, and miles of levees along the meandering of the historical river community from macrophyte- channel are obstacles to successful channels (Stamp et al. 2008, p. 4). dominated to algae-dominated (see recruitment (Stamp et al. 2002, p. 5). Channelization for flood control and Habitat Restoration, above) affect the Adult spawning habitat is limited to the additional channel manipulation for fishes of Utah Lake, including the June lower 2.7 mi (4.3 km) of the Spanish erosion control further reduced riverine sucker. Fork River, where it is of poor quality. habitat complexity and reduced the total High turbidity decreases the feeding Other tributaries where spawning may length of tributary rivers for spawning ability of many species of planktivorous occur under favorable conditions and early-life-stage use (Stamp et al. fish (Brett and Groot 1963, pp. 5–6; include the American Fork River and 2008, pp. 12–13). It is anticipated that Vinyard and O’Brien 1976, p. 3), and Battle Creek, but streamflow to Utah further urban infrastructure can result in a lack of access to Lake in these tributaries is not available development is likely, as the sufficient food for rearing juveniles. most years; therefore, they are not found populations of cities bordering Utah Thus, elevated turbidity levels may to comprise a significant portion of June Lake and its tributaries continue to decrease feeding efficiency of June sucker spawning habitat. increase. suckers by limiting their ability to Recovery actions for the June sucker Among the potential impacts from visually prey on preferred plankton food to address impacts from water continued urbanization near Utah Lake types. development and habitat modification is the potential for the construction of Utah Lake is listed on Utah’s 2016 have included water acquisition, water bridges or other transportation section 303(d) list for exceedance of flow management, and habitat crossings. One example is the Utah State criteria for total phosphorus and restoration (see Recovery, above). The Crossing project, a causeway across TDS concentrations (UDWQ 2018, p. 3– availability of quality spawning habitat Utah Lake proposed in 2009 (Service 7). The majority of the total phosphorus will improve species resiliency, and 2009, entire). An updated application load to Utah Lake is from point sources. multiple spawning tributaries will for the project to proceed has not been Although Utah Lake has naturally improve species redundancy. The filed with Utah’s Department of elevated salinity levels compared to positive trend in spawning population Transportation; however, as other intermountain freshwater lakes, numbers, increased number of June development continues on the western the concentrations are substantially suckers, and observations of young-of- side of Utah Lake, the potential need for higher today than they were before year and age-1 June suckers in the wild some type of crossing may increase. human development (Psomas 2007, p. indicate that water acquisition, water A large-scale project to dredge Utah 8). Within Utah Lake, natural salinity flow management, and habitat Lake, remove invasive species, and levels are due in part to high restoration have had a positive impact build habitable islands for private evaporation rates, which are a function on June sucker reproduction (JSRIP development was proposed in 2017, and of the lake’s large surface-area-to-depth 2018, p. 1; see Species Abundance and is under early stages of planning and ratio and drainage basin characteristics. Trends, above). review at the State level (ULRP 2018, Evaporation naturally removes about 50 entire). This project has not received percent of the total volume of water that Introduction of Common Carp any approval or necessary permits at the flows into the lake, resulting in a Historically, Utah Lake had a rich State or Federal level. We do not expect doubling of the mean salt concentration array of rooted aquatic vegetation, this Utah Lake Restoration Project or the in water passing through the lake which provided nursery and rearing Utah Crossing project to move forward (Fuhriman et al. 1981, p. 7). habitat for young June suckers or impact the June sucker in the next 5– In addition, several natural mineral (Heckmann et al. 1981, p. 2; Ellsworth 10 years. All development projects on springs near the shores of Utah Lake et al. 2010, p. 9). However, with the Utah Lake are subject to Federal and contribute dissolved salts, although the introduction of common carp around State laws, and require consultation magnitude and effect of these sources the 1880s (Sigler and Sigler 1996, pp. 5– with the Service prior to beginning has not been quantitatively evaluated 6), this refugial habitat largely work. However, such projects could (Hatton 1932, p. 2). Evaporative losses disappeared. Common carp physically potentially impact the June sucker by continue to be the main driver of uproot and consume macrophytes and increasing habitat for predatory fish and salinity concentrations in Utah Lake. disturb sediments, increasing turbidity restricting June sucker movement in However, settlement and development and decreasing light penetration, which Utah Lake (Service 2009, entire). of the Utah Lake basin since the 1800s inhibits macrophyte establishment Additional impacts to water quality due led to increases in irrigation return (Crowl and Miller 2004, pp. 11–12). to the runoff from new structures could flows containing dissolved salts, which Although not specifically identified at also pose a threat to the June sucker likely exacerbated natural salinity the time of listing in 1986, the (Service 2009, entire). The UDWQ is concentrations within Utah Lake successful establishment of common partnering with the Utah Lake (Sanchez 1904, p. 1). Despite the human carp and their effects on the Utah Lake Commission and other stakeholders to influences on inflows, in recent years, ecosystem are a threat to the June sucker research and provide recommendations salinity levels in Utah Lake have not

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increased markedly (Psomas 2007, p. noted that, during algal blooms, fish significant runoff from agricultural and 13). The UDWQ continues to monitor movement decreased measurably municipal properties occurs during low Utah Lake for any changes in salinity (Goldsmith et al. 2017, p. 13). flow periods. Furthermore, heavy algal concentrations. The average Utah Lake TDS growth can cause the armoring of The effects of increased salinity concentration is about 900 parts per spawning gravels and aid in the concentrations on the various life stages million (ppm)/milligrams per liter (mg/ accumulation of fine sediments that of June suckers are unknown. Egg size, L), but large variations occur, depending degrade spawning habitat quality hatching success, and mean total length on the water year (Hickman and Thurin (Stamp et al. 2008, p. 32). of larvae decreased as salinity levels 2007, p. 9). There is no evidence of The Provo River is listed on Utah’s increased for another lake sucker that direct mortality to June suckers due to 2016 section 303(d) list for impairments occurs in Nevada, the cui-ui higher salinity levels, but it is possible harmful to cold-water aquatic life. (Chasmistes cujus; Chatto 1979, p. 7). that increased salinity, when combined Additionally, water quality is poor in However, salinity concentrations were with increased nutrient input and the river’s lower reaches during summer much higher in the cui-ui habitat than turbidity, may negatively affect June low-flow periods due to low dissolved any recorded concentrations in Utah suckers by reducing zooplankton and oxygen levels and elevated temperatures Lake. refugial habitat abundance as described (Stamp et al. 2008, p. 34). It is likely that Natural nutrient loading to the lake is above. Further study of June sucker the recent supplementation of flows for high due to the nutrient- and sediment- responses during high salinity events is June sucker recovery in the Provo River rich watershed surrounding the lake needed to better understand this are minimizing the risk of lethal (Fuhriman et al. 1981, p. 12). relationship. temperatures and dissolved oxygen Additionally, human development in Water quality concerns in Utah Lake fluctuations by providing water during the drainage increased the naturally are being addressed through a large- critical periods and maintaining base high inflow of sediments and nutrients scale study and the formation of a flows throughout the summer while to the lake (Fuhriman et al. 1981, p. 12). steering committee and science panel to larvae are developing. The planned Sewage effluent entering the lake develop recommendations for Utah Lake PRDRP will provide additional water accounts for 50, 76, and 80 percent of water quality for the benefit of June storage and refugial habitat (see all nitrogen, total phosphorous, and sucker (UDWQ 2017, entire). Recovery, above). ortho-phosphate, respectively (Psomas Hobble Creek is not on the Utah Riverine Water Quality 2007, p. 12). Phosphorus inputs to the section 303(d) list as an impaired lake (297.6 tons (270.0 metric tons) per Prior to 1986, the year in which we waterbody. However, there are year) exceed exports (83.5 tons (75.7 listed the June sucker, riverine water indications that total phosphorus and metric tons) per year) during all months quality was heavily impacted by water temperature may be problematic in of the year. Thus, the lake acts as a withdrawal, agricultural and municipal Hobble Creek during certain times of the phosphorus sink, accumulating effluents, and habitat modification. The year (Stamp et al. 2009, pp. 22–23). approximately 214 tons (194.1 metric water withdrawals reduced the ability of Average total phosphorous tons) annually (Psomas 2007, p. 15). the rivers to effectively transport concentration is 0.06 ppm/mg/L, which These high nutrient loads increase the sediments and other materials from the exceeds the Utah indicator value of 0.05 frequency and extent of large blue-green river channel. Furthermore, ppm/mg/L (Stamp et al. 2009, p. 24). In algal blooms, which greatly affect withdrawals influenced temperature, addition, creek temperatures exceed overall food web dynamics in Utah Lake dissolved oxygen, and pollutant and 68 °F (20 °C), which is the State cold- (Crowl et al. 1998b, p. 13). Blue-green nutrient concentrations (Stamp et al. water fishery standard; this temperature algae is inedible to many zooplankton 2008, p. 18). Diverted streams with increase typically occurs during species, which decreases zooplankton reduced, shallow summertime base summer days when air temperatures are abundance and its availability as a food flows are very susceptible to solar high and flow in the channel is low source for the June sucker (Landom et heating and can experience lethally (Stamp et al. 2009, p. 26). Similar to the al. 2010, p. 19). Reductions in feeding warm water temperatures (above 80 Provo River, the augmentation of stream rates translate into long-term effects degrees Fahrenheit (°F) or 27 degrees flows in Hobble Creek has likely such as decreased condition, growth Celsius (°C), depending on life stage). minimized the risk of lethal rates, and fish survival (Sigler et al. High water temperature, especially if temperatures by providing flows during 1984, p. 7; Hayes et al. 1992, p. 9). combined with stagnant flow velocities, critical periods. Furthermore, the increased algal can lead to low dissolved oxygen levels biomass limits available light for in streams where flows have been Effects of Climate Change submergent vegetation (Scheffer 1998, p. reduced (Stamp et al. 2008, p. 19). The predicted increase in global 19), thus reducing refugial habitat for Artificially high temperatures may average temperatures is expected to early life stages of June sucker. The also occur in streams where flow regime negatively affect water quality in frequency and size of algal blooms may alterations and channelization have shallow lakes (Mooij et al. 2007, p. 2). be increasing based on large-scale algal limited the recruitment of woody Turbid shallow lakes such as Utah Lake blooms that occurred in 2016 and 2017 riparian vegetation, thereby reducing are likely to have higher summer (UDWQ 2017, p. 3). the amount of streamside shading chlorophyll-a concentrations with a Although there is a significant amount (Stamp et al. 2008, p. 19). Subsequently, stronger dominance of blue-green algae of research indicating that algal blooms extensive colonization by filamentous and reduced zooplankton abundance can be harmful to many types of fish, we algae can occur in warmer temperatures, from the effects of climate change do not have direct evidence regarding creating extreme daily dissolved oxygen (Mooij et al. 2007, p. 5). This could the degree or manner in which they fluctuations that are harmful to June affect June sucker food resources since impact June suckers in Utah Lake sucker (Service 1994, p. 12). zooplankton are the primary food source (Psomas 2007, p. 14; Crowl 2015, Agricultural and municipal effluents for the species. entire). No fish kills were documented enrich production of algae, further In Utah, an increase in the intensity during recent bloom events, but post- impacting daily dissolved oxygen levels. of naturally occurring future droughts stocking monitoring of June sucker has These effluents can cause fish kills if and unprecedented warming are

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expected (Frankson et al. 2017, p. 2). these threats has decreased since the (Morone chrysops), walleye (Sander Projected changes in winter time of listing; adaptive management of vitreus), largemouth bass (Micropterus precipitation include an increase in the these threats is ongoing, and increased salmoides), black crappie (Pomoxis fractions falling as rain, rather than resiliency and redundancy are evident nigromaculatus), black bullhead snow, and potentially decreasing as indicated by increasing survival rates (Ameiurus melas), northern pike (Esox snowpack water storage (Frankson et al. and overall population numbers. lucius), and channel catfish (Ictalurus 2017, p. 2). These changes in timing and punctatus). Commercial Fishing amount of flow could affect June sucker Predation by nonnative fishes spawning, because the spawning cues of Commercial fishing, including fishing primarily targets the early life stages of increased runoff and water temperature, for June suckers, was historically an June suckers. Adult June suckers are on which the June sucker relies to important use of Utah Lake (Heckman et larger than the gape size of the average determine spawning time, would al. 1981, p. 9). Some commercial fishing predatory fish and, therefore, are potentially occur earlier in the year. for June suckers occurred through the significantly less vulnerable. At the time As changes to water availability and 1970s, but on a very limited basis. of listing, the effects of predation were timing occur in the future, the JSRIP Shortly thereafter, commercial harvest exacerbated by the lack of vegetated will need to coordinate reservoir for the species largely stopped due to refuge habitat within Utah Lake. operations to ensure timely releases. If the limited population size. Currently, White bass may have the highest runoff and upstream reservoir volumes the June sucker is a prohibited species potential to limit recruitment of young are insufficient, peak and base flows and cannot be harvested (Utah suckers into the spawning adult desired in spawning tributaries will be Administrative Code R657–14–8). population (SWCA 2002, p. 132; reduced. This, in turn, would negatively Consequently, commercial or Landom et al. 2010, p. 18). White bass impact the early season attractant flows recreational fishing is no longer become piscivorous at age-0 in Utah needed by spawning adults, and considered a threat to the species. Lake (Radant and Sakaguchi 1981, p. 12; potentially limit flows needed by larval Regulated collections of June suckers for Landom et al. 2010, pp. 11–12) and are suckers to move into downstream scientific purposes occur at a very the most abundant piscivore (UDWR rearing habitats. As previously limited level, but do not pose a threat 2010, p. 9). The white bass population described, the JSRIP partnership has to the species at the population level. in Utah Lake could consume as many as 3 550 million fish of various species acquired 13,000 acre-ft (16,035,240 m ) Disease of permanent water for the Provo River throughout the course of 1 year and 8,500 acre-ft (10,485,000 m3) for Neither disease nor the presence of (Landom et al. 2010, pp. 8–10). Hobble Creek. Flows in both systems are parasites were considered threats to the However, it appears that restored habitat intensively managed with consideration June sucker at the time of listing (51 FR with complex aquatic vegetation for the June sucker. Still, additional 10851; March 31, 1986). Although provides the June sucker with effective permanent water acquisitions may parasites likely exist in June sucker refuge from white bass. Thus, habitat become necessary to secure water that habitat, there is no evidence that June restoration is likely paramount to can be used to supplement flows during suckers at the individual or population young-of-year June sucker resiliency critical spawning and rearing periods as levels are compromised by the presence and survival (see Recovery, above). the climate shifts. of parasites. Fish health inspections are The recent illegal introduction of regularly conducted on June suckers at northern pike in Utah Lake raises Summary of Habitat-Based Threats the FES hatchery and in Red Butte concerns similar to white bass. Northern Water development and habitat Reservoir, and no known pathogens pike predominantly feed on juvenile modification, common carp, have been detected (JSRIP 2018c, fish; predation on adults is less than 1 urbanization, and water quality are entire). At this time, the best available percent (Reynolds and Gaeta 2017, p. threats to the June sucker. Additionally, information does not indicate that the 12). Thus far, the number of northern potential increased temperatures and presence of parasites or disease pike in the lake has not measurably decreased precipitation caused by negatively affects the June sucker. increased, and active removal efforts climate change may impact water continue to suppress populations quality. However, since the time of Predation by Nonnative Fishes (Reynolds and Gaeta 2017, p. 13). listing in 1986, the JSRIP partnership Predation by nonnative fishes poses a However, a northern pike population has implemented the following recovery threat to the successful recruitment of model shows potential for a high degree actions: (1) 13,000 acre-ft of permanent young suckers into the spawning adult of population increase with potential for water for instream flows are secured to life stage (Radant and Hickman 1984, p. a high negative impact on the June benefit the June sucker; (2) a mechanism 6) and was a major factor for listing the sucker population by the year 2040 for annually recommending and June sucker as endangered (51 FR (Gaeta et al. 2018, entire). Despite these providing flows for June sucker 10851; March 31, 1986). The modeling results, unique factors spawning was implemented; (3) the introduction of predatory nonnative impacting northern pike population common carp population was fishes significantly altered the native dynamics in Utah Lake are still not suppressed, resulting in measurable Utah Lake fish assemblage. Historically, understood. Recent habitat habitat improvement in Utah Lake; (4) Bonneville cutthroat trout improvements in the lake from common the impacts of urbanization are being (Oncorhynchus clarkii) was the top- carp removal (see Recovery, above) may considered through active research and level piscivore (fish-eating predator) in help mitigate northern pike predation planning; (5) a landscape-scale stream Utah Lake; however, 30 fish species by providing refugia for June suckers. channel and delta restoration for the have been introduced since the late Additionally, high levels of total Provo River is being implemented; and 1800s. Twelve nonnative fish species dissolved solids (TDS), such as those (6) future water quality and availability have established self-sustaining found in Utah Lake, may suppress are actively being studied and populations, and seven of these are northern pike spawning and prioritized by the JSRIP, UDWQ, and the piscivorous (SWCA 2002, p. 14). As a development (Scannell and Jacobs 2001, Utah Lake Commission (see Recovery, result, June suckers face an array of entire; Koel 2011, p. 7). The JSRIP is above). We find that the severity of predator species, including white bass funding research to clarify this

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relationship and to determine a course species or result in the destruction or impact the June sucker and works in of action to prevent northern pike from adverse modification of habitat of such concert with other regulatory becoming a greater threat to June sucker species that is determined by the mechanisms. in the future. Secretary, after soliciting comments Section 101(a) of the Federal Water While predation from nonnative from affected States, counties, and Pollution Control Act (i.e., Clean Water species remains a threat, spawning equivalent jurisdictions, to be critical. Act; 33 U.S.C. 1251 et seq.) states that populations of June suckers and the Section 10(a)(1)(A) of the Act provides the objective of this law is to restore and number of untagged fish (e.g., possibly a mechanism for research and maintain the chemical, physical, and natural recruitment) are increasing. propagation of listed species for biological integrity of the Nation’s Adaptive management of nonnative fish recovery purposes through a permitting is ongoing. system that allows incidental take of a waters and provide the means to assure In addition to nonnative predatory listed species in the course of scientific protection of fish and wildlife. This fishes, avian predation on June suckers projects that will benefit the species as statute contributes to the protection of has been documented and primarily a whole. For non-Federal actions, the June sucker through provisions for occurs when stocked June suckers are section 10(a)(1)(B) of the Act authorizes water quality standards, protection from first released into the lake (Goldsmith et the Service to issue a permit allowing the discharge of harmful pollutants and al., p. 12). Predation is primarily from take of species provided that the taking contaminants (sections 303(c), 304(a), pelicans, and the amount varies based is incidental to, and not the purpose of, and 402), and protection from the on location of release, time of year, and the carrying out of an otherwise lawful discharge of dredged or fill material into time of day of the June sucker release activity. Section 10(a)(2)(A) of the Act all waters, including certain wetlands (Goldsmith et al., p. 12). When possible, requires that a conservation plan, which (section 404). staff releasing stocked fish into Utah is part of an application for an The Clean Water Act requires every Lake drive off waiting pelicans, and do incidental take permit, describe the State to establish and maintain water releases in the fall and at night, when impact of the taking and identify steps quality standards designed to protect, predation is lowest (UDWR 2017, p. 3). to minimize and mitigate the impacts. restore, and preserve water quality in The best available information does not The Act will continue to provide the State. However, Utah Lake has failed indicate that pelicans or other avian protection to the June sucker after to meet water quality standards due to predators are a threat to June suckers downlisting to threatened status, for as exceedance of total phosphorus and once the fish are established in Utah long as it remains on the List. The June TDS concentrations (Psomas 2007, p. Lake. sucker and its habitat will also continue 11), and it is listed as a section 303(d) Existing Regulatory Mechanisms to receive consideration and protection through the other regulatory ‘‘impaired’’ water (Utah Lake Under this factor, we examine the mechanisms discussed below. Commission 2018, p. 7). Poor water stressors identified within the other The NEPA requires Federal agencies quality in Utah Lake could alter food factors as ameliorated or exacerbated by to evaluate the potential effects of their availability for the June sucker and any existing regulatory mechanisms or proposed actions on the quality of the contribute to increases in harmful algal conservation efforts. Section 4(b)(1)(A) human environment and requires the bloom events and toxin concentrations of the Act requires that the Service take preparation of an EIS whenever projects from those events, which could increase into account those efforts, if any, being may result in significant impacts. the risk of large-scale June sucker made by any State or foreign nation, or Federal agencies must identify adverse mortality events. To meet Clean Water any political subdivision of a State or environmental impacts of their Act requirements, the UDWQ and the foreign nation, to protect endangered or proposed actions and develop Utah Lake Commission are studying threatened species. We consider alternatives that undergo the scrutiny of water quality in Utah Lake. They have relevant Federal, State, and Tribal laws, other public and private organizations a steering committee and science panel regulations, and other such binding as a part of their decision-making for the purposes of providing legal mechanisms that may ameliorate process. However, impacts may still recommendations to improve water or exacerbate any of the threats we occur under NEPA, and the quality standards in Utah Lake (Utah describe in threat analyses under the implementation of conservation Lake Commission 2018, entire). other four factors or otherwise enhance measures is largely voluntary. Actions June suckers receive some protections the species’ conservation. Our evaluated under NEPA only affect the at the State level. Under Utah consideration of these mechanisms is June sucker if they address potential Administrative Code R657–14–8, June described below. impacts to the species or its habitat. suckers may not be harvested, and if As a listed species, the primary The Fish and Wildlife Coordination caught must be immediately returned regulatory mechanism for protection of Act (16 U.S.C. 661 et seq.) requires that alive and unharmed to the water from the June sucker is through section 9(a) Federal agencies sponsoring, funding, or which they were taken. of the Act, as administered by the permitting activities related to water Service, which broadly prohibits resource development projects request When this rule is effective (see DATES, import, export, take (e.g., to harm, review of these actions by the Service above), the June sucker will continue to harass, kill, capture), and possession of and the State natural resources receive protection under the Act as a the species. Additional regulatory management agency. Similar to caveats threatened species. The June sucker will mechanisms are provided through noted for NEPA, actions considered also continue to receive protection section 7(a)(2) of the Act, which states under the Fish and Wildlife under the other aforementioned that each Federal agency shall, in Coordination Act are only relevant if regulatory mechanisms. Despite these consultation with and with the they potentially impact the species or its existing regulatory mechanisms, the assistance of the Secretary, insure that habitat. The Fish and Wildlife threats discussed under the other factors any action authorized, funded, or Coordination Act does not provide continue to affect the June sucker such carried out by the agency is not likely strong or broad protections for listed that it now meets the definition of a to jeopardize the continued existence of species, but it provides an additional threatened species rather than an any endangered species or threatened layer of review for projects likely to endangered species.

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Cumulative Threats Summary of Comments and (1) Comment: The reviewer suggested Recommendations that there may be additional information The June sucker faces threats that could contribute to the accuracy primarily from degraded habitat and In the proposed rule published in the Federal Register on November 26, 2019 and completeness of our description water quality, water availability, and analysis of the biology, habitat, predation from nonnative species, and (84 FR 65080), we requested that all interested parties submit written population trends, and historical and urbanization. Furthermore, existing comments on our proposal to downlist current distribution of the June sucker. regulatory mechanisms do not the June sucker by January 27, 2020. We The reviewer stated there is quantitative adequately address these threats. The also contacted appropriate Federal and information on population dynamics June sucker also faces a future threat of and trends that was not considered in State agencies, scientific experts and climate change, which may exacerbate the proposed rule. organizations, and other interested other existing threats. These factors may Our Response: The reviewer did not parties and invited them to comment on specify what information may be act cumulatively on the species. For the proposal. Newspaper notices example, urbanization can result in missing from the rule or provide inviting general public comment were information on population dynamics increased pressure on existing water published in the Salt Tribune (Salt Lake resources as well as degraded water and trends that we failed to consider. City) and Daily Herald (Provo). We did We were unable to find additional quality, which, when combined with not receive any requests for a public rising temperatures and decreased population or biological information hearing. All substantive information about the June sucker that we had not rainfall, can result in less available provided during the comment period is water, increased water temperatures, reviewed when the proposed rule was either incorporated directly into this published. Some additional information and decreased habitat quality. These final rule or is addressed below. factors can cause reduced availability of has become available since publication food for the June sucker, decreased Peer Reviewer Comments of the proposed rule, and it is included in the text of this rule where relevant. reproductive success, and increased In accordance with our joint policy on (2) Comment: The reviewer mortality. peer review published on July 1, 1994 commented that we referred the reader However, since the time of listing (51 (59 FR 34270) and our August 22, 2016, to the final listing rule and recovery FR 10851; March 31, 1986), all of the memorandum (USFWS 2016, entire) plan, respectively published in 1986 identified threats to the June sucker updating and clarifying the role of peer and 1999, but that these documents are have either improved measurably or are review of listing actions under the Act, relatively old, and substantial new being adaptively managed according to we solicited expert opinion from three information has accrued since their the best available scientific information knowledgeable individuals with appearance, which we reference later. for the benefit of the June sucker (see scientific expertise and familiarity with Our Response: The final listing rule Recovery, above). Conservation the June sucker, its habitat, its biological (51 FR 10851; March 31, 1986) and the measures, including establishing refuge needs and potential threats, or recovery plan (Service 1999) represent populations, stocking of June suckers in principles of conservation biology. The the only two Service-published Utah Lake, habitat restoration projects purpose of peer review is to ensure that documents with significant information on spawning tributaries, and nonnative our listing and reclassification on the biology and habitat of the June fish removal, have resulted in increased determinations are based on sucker, until the proposed rule was numbers of June suckers in the lake, scientifically sound data, assumptions, published in 2019 (84 FR 65080; evidence of wild reproduction, and and analyses. We received responses November 26, 2019). We referenced the improved habitat within the lake and its from two peer reviewers. older documents in the proposed rule tributaries. As a result, resiliency, We reviewed all comments we because the proposed rule itself also received from the peer reviewers for redundancy, and representation have all served as the 5-year review and our substantive issues and new information improved. Continued research and most recent update to those documents. regarding the proposed downlisting of monitoring provide an avenue to As the reviewer notes, many other and the June sucker. The peer reviewers respond to new and evolving threats, more recent references are available for provided additional information, such as the effects of climate change, to additional information and are cited in clarifications, and suggestions to recovery progress. The existence of the text of both the proposed and final improve the final rule, which we refuge populations ensures that, should rules. include in this rule or address in the (3) Comment: The reviewer stated that a stochastic event or extreme responses to comments below. One peer we did not adequately consider some of combination of existing threats greatly reviewer favored the downlisting of the the threats to June sucker in our impact the population in Utah Lake, the June sucker and provided only small, analysis, particularly predation by white June sucker would not become extinct. technical edits to the document. The bass on juvenile June suckers, avian This resilience to the cumulative other peer reviewer also provided predation, and the reliance on hatchery- threats is due largely to the actions of an technical edits and suggestions. This produced fish to maintain the active, committed, and well-funded reviewer also expressed concern that population, as natural reproduction and recovery partnership. The JSRIP is the there was not enough detail in the recruitment are not sufficient. The driving force behind the reduction in proposed rule to determine whether reviewer did not provide any additional threats, habitat improvement, and June sucker meets the definition of a information to support these comments. population augmentation, and the JSRIP threatened species, and stated that many Our Response: The November 26, is able to adaptively manage new of the known threats should be more 2019, proposed rule (84 FR 65080), as stressors as they arise. The improvement thoroughly mitigated before downlisting well as this final rule, recognize that the of conditions and success of the JSRIP should be considered. Substantive June sucker currently relies on stocking can be measured via the increased comments from this reviewer are to maintain the population in Utah number of spawning June suckers, the addressed below, and minor editorial Lake. We do not find this reliance to be positive population trend, and the high comments were resolved in the text of in conflict with a ‘‘threatened’’ status level of year-to-year survival. the rule itself. determination, as we have reasonable

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certainty based on partner agreements legally assured flows for spawning, existing piece of literature on the that stocking will continue until the increased habitat, and a permanent species, but limited our citations to the Utah Lake population can be shown to continuous plan to remove carp and best scientific and commercial be self-sustaining. Continued and combat future novel predators that may information available regarding the planned recovery actions, such as be introduced. status of, and threats to, the June sucker. habitat restoration and removal of Our Response: The Recovery However, no piece of literature that we nonnative species, are likely to continue discussion in the proposed rule (84 FR found might have bearing on our to have a positive effect on 65080, November 26, 2019, pp. 84 FR analysis, either positively or negatively, reproduction, recruitment, and survival, 65084–65087), as well as in this final was excluded from our review, and the system is monitored intensely to rule (above), goes into detail regarding including the citations provided by the detect any rising threats or reversal of the existing downlisting criteria and commenter. recovery progress. As we discuss above how they have been met (if they have) in this final rule, the best available or why they are outdated or irrelevant. Public Comments information does not indicate that white The legal standard for downlisting is We received 19 letters from the public bass or avian predation constitute a whether the species meets the definition that provided comments on our threat to the June sucker in Utah Lake of a ‘‘threatened species’’ that is, it is November 26, 2019, proposed rule (84 under current conditions (which likely to become an endangered species FR 65080). Twelve of the commenters include ongoing recovery actions, like within the foreseeable future throughout expressed their explicit support for the stocking and nonnative fish removal). all or a significant portion of its range. proposed downlisting, and three Some predation does occur, and we Due to an exceptional track record and expressed their opposition to it. Four have added text regarding methods used proven recovery measures, we are commenters either did not explicitly to reduce pelican predation on June assured that the commitment of our state their position or expressed general suckers while they are being stocked, as partners and the JSRIP will continue, concerns that threats should be that is the time the largest number of recovery actions and responses to addressed if the June sucker is to be fish are vulnerable to avian predation. threats will be implemented, and the downlisted. Relevant and substantive If, in the future, these factors are shown existing agreements mean that June public comments that have not been to prevent the June sucker population in sucker is no longer currently in danger addressed through changes to the text Utah Lake from being self-sustaining, of extinction through all or a significant are addressed in the following they will need to be addressed before portion of its range. The reviewer’s summary. comments regarding downlisting criteria we can achieve full recovery. (1) Comment: One commenter (4) Comment: The reviewer stated that more closely represent the definition of objected to the proposed downlisting on we assume that capture of untagged fish full recovery and delisting than for the basis that too many threats to the or fish of ‘‘unknown origin’’ results in downlisting the species to threatened species (including climate change and population estimates and other status. carp) still exist to justify reduced demographic parameters that are (6) Comment: The reviewer protections, and stated that increased incorrect (low), but adds that a commented that we did not include all human development inevitably results population estimate does not depend on necessary and pertinent information to in death or extinction of animals in the tagged fish only and the estimate should support our arguments, and they area. include the total number of fish, tagged identified a number of references for and untagged. June sucker that we did not cite in our Our Response: We agree that a Our Response: The reviewer is proposed rule that were found through number of threats still impact the June correct. The number we present as the an internet search. The reviewer did not sucker and need to be continually known spawning population is not state that these particular references had managed for the species’ protection and meant to represent a population information that would impact our recovery. This rule analyzes adaptive estimate, but to provide the number of status evaluation; in fact, the reviewer measures for all known threats, recorded individual June sucker said that they had not read them. The including water management plans and spawners detected using PIT tags and reviewer only stated that they believed habitat restoration to mitigate the effects antennae. That number is the minimum the fact that they could find references of climate change; long-term number of spawning adults we can be we did not cite meant we had not been management plans for carp and other certain are surviving in the lake, and it thorough in our analysis. nonnative, invasive species; and does not account for fish that did not Our Response: The literature cited in protections that prevent future spawn in the years analyzed, fish the proposed rule (84 FR 65080; development from increasing the June without tags, or tagged fish that were November 26, 2019) constitutes the best sucker’s risk of becoming endangered not recorded by monitoring equipment. scientific and commercial information again. All exceptions from take Due to the lack of information regarding available regarding the downlisting of restrictions included in the 4(d) rule, as untagged fish or Utah Lake fish that are the June sucker. Additional literature, described below under Provisions of the not spawning, and the various ways the including all of the citations provided 4(d) Rule, are tied directly to the benefit data have been collected, we do not by the reviewer, were previously of June sucker recovery and the health attempt to extrapolate the number of evaluated as part of the rule of its native habitat. We are confident in recorded spawning June suckers into a development, and they remain on file as the JSRIP’s and our partners’ full population estimate. We have part of the record. A significant amount commitment to following through with removed all references to a population of literature on the June sucker and Utah existing plans and continuing to manage estimate in this document and clarified Lake exists, some of which is outdated the June sucker in accordance with the nature of the numbers provided. or redundant. Some was not necessary recovery objectives, as they have for the (5) Comment: The reviewer stated that to include, as it provides a level of last 18 years. Should threats to the June we have not shown adequately that detail on aspects of June sucker biology sucker increase to the point where there recovery criteria are met in order to that was superfluous to reaching a status is an increased risk of extinction, the allow for a downlisting, and cited the determination. For the sake of clarity Service can and will reevaluate its need for actions such as permanent, and brevity, we did not cite every status and protections accordingly.

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(2) Comment: One commenter and by our recovery partners at JSRIP increase in the wild spawning suggested removing all June suckers and meetings. population of at least ten-fold, a positive other desirable native fishes from Utah Additionally, in response to a peer- population trend, and increases in both Lake to a safe holding facility, review comment, in this final rule, we the quality and quantity of habitat. We exterminating the nonnative species, do not attempt to extrapolate the project that these conditions will and then reintroducing native species number of recorded spawning June continue to improve based on plans to back into the lake. suckers into a full population estimate; continue successful management Our Response: This comment does we have removed all references to a actions and implement new projects, not relate to the status of June sucker population estimate in this document such as the PRDRP and the Utah Water now, but to potential ways to continue and clarified the nature of the numbers Quality Study. Redundancy in June recovery in the future. However, due to provided. We also cite more recent sucker is assured by the existence of two the size of Utah Lake and unique information (published since the new populations, including the refuge hydrological factors, removal of all November 26, 2019, publication of the population maintained at FES hatchery nonnative fishes from the system, even proposed rule), where it is relevant, in and an additional naturally self- using strong piscicides, is not feasible. this final rule. sustaining population in Red Butte Mechanical removal is not able to Finally, we made nonsubstantive, Reservoir, as well as the presence of capture all nonnative fish at a rate that editorial changes, such as to explain a water flows in at least two spawning would prevent reestablishment, and cross-reference to other regulations, to tributaries each year (Provo River and suitable piscicides are not available in the text of the 4(d) rule to improve its Hobble Creek), with up to five spawning enough quantity to eradicate all clarity. tributaries available in good water years. nonnative fish from the lake, even if a Determination of June Sucker’s Status Prior to the June sucker’s listing, there practical and comprehensive were no refuge populations, and in low Section 4 of the Act (16 U.S.C. 1533) water years, there might be no available application method could be found. and its implementing regulations (50 (3) Comment: One commenter spawning tributaries with water CFR part 424) set forth the procedures throughout the summer. Representation requested that we update the June for determining whether a species meets sucker recovery plan in order to specify for the June sucker exists in the form of the definition of ‘‘endangered species’’ genetic diversity in the breeding and what needs to be done to reach full or ‘‘threatened species.’’ The Act defines recovery and delisting. stocking program, which has preserved an ‘‘endangered species’’ as a species a high degree of genetic variation in the Our Response: An update of the June that is ‘‘in danger of extinction sucker recovery plan, including fish stocked in Utah Lake since listing. throughout all or a significant portion of Based on these elements, we find that quantitative delisting criteria, is its range,’’ and a ‘‘threatened species’’ as overall viability for the June sucker has underway, and a draft will be published a species that is ‘‘likely to become an improved since the time of listing. for public comment at a later date, after endangered species within the Factor B is not considered a threat to this rule goes into effect (see DATES, foreseeable future throughout all or a the June sucker due to the fact that above). significant portion of its range.’’ The Act harvest and collection of the species are (4) Comment: We received several requires that we determine whether a strictly regulated and very limited. June comments requesting that provisions be species meets the definition of suckers are affected by loss and added to the 4(d) rule regarding State ‘‘endangered species’’ or ‘‘threatened degradation of habitat (Factor A), management of recreational fisheries of species’’ because of any of the following predation (Factor C), and other effects of Utah Lake and for education and factors: (A) The present or threatened human activities, including climate outreach efforts for June sucker and destruction, modification, or change (Factor E). Existing regulatory Utah Lake. In addition to official public curtailment of its habitat or range; (B) mechanisms outside of the Act (Factor comments, both of these provisions overutilization for commercial, D) do not address all the identified were also informally requested by recreational, scientific, or educational threats to the June sucker, as indicated recovery partners at JSRIP meetings. purposes; (C) disease or predation; (D) by the fact that these threats continue to Our Response: We have added the the inadequacy of existing regulatory affect the species throughout its range. requested provisions to the final 4(d) mechanisms; or (E) other natural or However, recovery actions have rule; both provisions will contribute to manmade factors affecting its continued significantly improved viability of the June sucker conservation. existence. June sucker and reduced the immediacy As required by the Act, we considered Summary of Changes From the of these threats. the five factors in assessing whether the Proposed Rule June sucker is an endangered or Status Throughout All of Its Range As explained above under Summary threatened species throughout all of its After evaluating threats to the species of Comments and Recommendations, range. We carefully examined the best and assessing the cumulative effects of we made several changes in this final scientific and commercial information the threats under the section 4(a)(1) rule in response to public comments we available regarding the past, present, factors, we find that the threats of loss received on our November 26, 2019, and future threats faced by the June and degradation of habitat (Factor A), proposed rule (84 FR 65080). The sucker. We reviewed the information predation (Factor C), and other effects of primary changes are to add exceptions available in our files and other available human activities including climate to the prohibitions on take in the 4(d) published and unpublished change (Factor E) are still acting on the rule for recreational fisheries information, and we consulted with June sucker. Existing regulatory management and for education and recognized experts and State agencies. mechanisms outside of the Act (Factor outreach. See ‘‘Recreational Fisheries We evaluated the changes in resiliency, D) do not address all the identified Management’’ and ‘‘Education and redundancy, and representation for the threats to the June sucker, as indicated Outreach,’’ under Provisions of the 4(d) June sucker since the time of listing (51 by the fact that these threats continue to Rule, below, for a description of these FR 10851; March 31, 1986). affect the species throughout its range, take exceptions. These changes address June sucker resiliency has improved although with less intensity than at the requests made both in public comments since the time of listing, with an time of listing (51 FR 10851; March 31,

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1986). However, given increases in still likely to become endangered within of the species’ range can provide a basis population numbers due to sustained the foreseeable future throughout all of for determining that the species is in recovery efforts by the JSRIP over the its range. danger of extinction in a significant last 18 years, we determine the June portion of its range, and we determine Status Throughout a Significant Portion sucker no longer meets the Act’s that the species is likely to become in of Its Range definition of an endangered species. We danger of extinction within the therefore proceed with determining Under the Act and our implementing foreseeable future throughout all of its whether the June sucker meets the Act’s regulations, a species may warrant range. This is consistent with the courts’ definition of a threatened species. listing if it is in danger of extinction or holdings in Desert Survivors v. Based solely on biological factors, we likely to become so in the foreseeable Department of the Interior, No. 16–cv– consider 25 years to be the foreseeable future throughout all or a significant 01165–JCS, 2018 WL 4053447 (N.D. Cal. future within which we can reasonably portion of its range. The court in Center Aug. 24, 2018), and Center for Biological determine that the future threats and the for Biological Diversity v. Everson, 2020 Diversity v. Jewell, 248 F. Supp. 3d, 946, June sucker’s response to those threats WL 437289 (D.D.C. Jan. 28, 2020) 959 (D. Ariz. 2017). is likely. This time period includes (Center for Biological Diversity), vacated multiple generations of the species and the aspect of the Final Policy on Determination of Status allows adequate time for impacts from Interpretation of the Phrase ‘‘Significant Our review of the best available conservation efforts or changes in Portion of Its Range’’ in the Endangered scientific and commercial information threats to be indicated through Species Act’s Definitions of indicates that the June sucker does not population response. ‘‘Endangered Species’’ and ‘‘Threatened meet the definition of an endangered The foreseeable future for the Species’’ (79 FR 37578; July 1, 2014) species in accordance with sections 3(6) individual threats vary. Management that provided that the Services do not and 4(a)(1) of the Act, but does meet the and recovery progress of the population undertake an analysis of significant definition of a threatened species in and its threats are overseen by the portions of a species’ range if the accordance with sections 3(20) and JSRIP. The charter of this program states species warrants listing as threatened 4(a)(1) of the Act. Therefore, we are that the purpose of the JSRIP is to throughout all of its range. Therefore, downlisting the June sucker in the List recover the June sucker to the point at we proceed to evaluating whether the of Endangered and Threatened Wildlife which it no longer requires protections species is endangered in a significant from endangered to threatened. under the Act, and to do so based on portion of its range—that is, whether It is our policy, as published in the recovery guidance provided by the there is any portion of the species’ range Federal Register on July 1, 1994 (59 FR Service using the best available for which both (1) the portion is 34272), to identify to the maximum scientific and biological information in significant; and, (2) the species is in extent practicable at the time a species an adaptive management approach. danger of extinction in that portion. is classified, those activities that would Because the JSRIP is committed to Depending on the case, it might be more or would not constitute a violation of achieving recovery and the partners efficient for us to address the section 9 of the Act. The intent of this have committed to continued funding, ‘‘significance’’ question or the ‘‘status’’ policy is to increase public awareness of threats to the June sucker will continue question first. We can choose to address the effect of a listing on proposed and to be adaptively managed by the JSRIP either question first. Regardless of ongoing activities within the range of until such time as we find it no longer which question we address first, if we the species being listed. Because we are requires protections under the Act. For reach a negative answer with respect to listing this species as a threatened at least as long as the species remains the first question that we address, we do species, the prohibitions in section 9 listed, the JSRIP will continue to not need to evaluate the other question would not apply directly. We are manage June sucker threats and for that portion of the species’ range. therefore putting into place below a set Following the court’s holding in population health and trends in an of regulations to provide for the Center for Biological Diversity, we now adaptive way, ensuring that the species conservation of the species in consider whether there are any is extremely unlikely to go extinct. The accordance with section 4(d), which significant portions of the species’ range Service will then rely on management also authorizes us to apply any of the where the species is in danger of actions that have been put in place by prohibitions in section 9 to a threatened extinction now (i.e., endangered). In the JSRIP, and other factors such as a species. The 4(d) rule, which includes a population viability analysis, habitat undertaking this analysis for the June description of the kinds of activities that improvements, and future long-term sucker, we choose to address the status would or would not constitute a agreements, when delisting is being question first—we consider information violation, complies with this policy. considered. This long-term management pertaining to the geographic distribution (e.g., permanent water acquisition, of both the species and the threats that Final Rule Issued Under Section 4(d) of breeding program, stocking, and the species faces to identify any the Act nonnative fish removal) ensures portions of the range where the species Background continued stability in the absence of the is endangered. protections of the Act after the June The June sucker is a narrow endemic Section 4(d) of the Act contains two sucker reaches full recovery. that functions as a single, contiguous sentences. The first sentence states that Although population numbers have population and occurs within a small the ‘‘Secretary shall issue such increased and the intensity of the area that includes one lake and regulations as he deems necessary and identified threats have decreased, our associated tributaries. Thus, there is no advisable to provide for the analysis indicates that, because of the biologically meaningful way to break conservation’’ of species listed as remaining threats and stressors, the this limited range into portions, and the threatened. The U.S. Supreme Court has species meets the Act’s definition of a threats that the species faces affect the noted that statutory language like threatened species. Thus, after assessing species throughout its entire range. This ‘‘necessary and advisable’’ demonstrates the best available information, we means that no portions of the species’ a large degree of deference to the agency conclude that the June sucker is not range have a different status from its (see Webster v. Doe, 486 U.S. 592 currently in danger of extinction, but is rangewide status. Therefore, no portion (1988)). Conservation is defined in the

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Act to mean ‘‘the use of all methods and Affecting the Species, we conclude that purposes, to enhance propagation or procedures which are necessary to bring the June sucker is no longer at risk of survival, for economic hardship, for any endangered species or threatened extinction, but is still likely to become zoological exhibition, for educational species to the point at which the so in the foreseeable future, primarily purposes, for incidental taking, or for measures provided pursuant to [the Act] due to the identified threats of water special purposes consistent with the are no longer necessary.’’ Additionally, development, habitat degradation, and purposes of the Act. There are also the second sentence of section 4(d) of the introduction of nonnative species. certain statutory exemptions from the the Act states that the Secretary ‘‘may by The provisions of this 4(d) rule promote prohibitions, which are found in regulation prohibit with respect to any conservation of the June sucker by sections 9 and 10 of the Act. threatened species any act prohibited encouraging management of the Utah We recognize the special and unique under section 9(a)(1), in the case of fish Lake system in ways that meet the relationship with our State natural or wildlife, or section 9(a)(2), in the case conservation needs of the June sucker resource agency partners in contributing of plants.’’ Thus, the combination of the while taking into consideration the to conservation of listed species. State two sentences of section 4(d) provides stakeholders’ needs. The provisions in agencies often possess scientific data the Secretary with wide latitude of this rule are some of many regulatory and valuable expertise on the status and discretion to select and promulgate tools that we will use to promote the distribution of endangered, threatened, appropriate regulations tailored to the conservation of the June sucker. and candidate species of wildlife and specific conservation needs of the plants. State agencies, because of their Provisions of the 4(d) Rule threatened species. The second sentence authorities and their close working grants particularly broad discretion to This 4(d) rule provides for the relationships with local governments us when adopting the prohibitions conservation of the June sucker by and landowners, are in a unique under section 9. prohibiting the following activities, with position to assist us in implementing all The courts have recognized the extent certain exceptions (discussed below): aspects of the Act. In this regard, section of the Secretary’s discretion under this Importing or exporting; possession and 6 of the Act provides that we shall standard to develop rules that are other acts with unlawfully taken cooperate to the maximum extent appropriate for the conservation of a specimens; delivering, receiving, practicable with the States in carrying species. For example, courts have transporting, or shipping in interstate or out programs authorized by the Act. upheld rules developed under section foreign commerce in the course of Therefore, any qualified employee or 4(d) as a valid exercise of agency commercial activity; and selling or agent of a State conservation agency that authority where they prohibited take of offering for sale in interstate or foreign is a party to a cooperative agreement threatened wildlife, or include a limited commerce. In addition, anyone taking, with us in accordance with section 6(c) taking prohibition (see Alsea Valley attempting to take, or otherwise of the Act, who is designated by his or Alliance v. Lautenbacher, 2007 U.S. possessing a June sucker, or parts her agency for such purposes, will be Dist. Lexis 60203 (D. Or. 2007); thereof, in violation of section 9 of the able to conduct activities designed to Washington Environmental Council v. Act will be subject to a penalty under conserve the June sucker that may result National Marine Fisheries Service, 2002 section 11 of the Act, with certain in otherwise prohibited take without U.S. Dist. Lexis 5432 (W.D. Wash. exceptions (discussed below). Under additional authorization. 2002)). Courts have also upheld 4(d) section 7 of the Act, Federal agencies As discussed above under Summary rules that do not address all of the must continue to ensure that any actions of Factors Affecting the Species, threats a species faces (see State of they authorize, fund, or carry out are not nonnative species, water development, Louisiana v. Verity, 853 F.2d 322 (5th likely to jeopardize the continued and habitat degradation affect the status Cir. 1988)). As noted in the legislative existence of the June sucker. of the June sucker. A range of history when the Act was initially Under the Act, ‘‘take’’ means to conservation activities, therefore, have enacted, ‘‘once an animal is on the harass, harm, pursue, hunt, shoot, the potential to benefit the June sucker, threatened list, the Secretary has an wound, kill, trap, capture, or collect, or including nonnative fish removal, almost infinite number of options to attempt to engage in any such habitat restoration projects, monitoring available to him with regard to the conduct. Some of these provisions have of June sucker, management of permitted activities for those species. He been further defined in regulations at 50 recreational fisheries, June sucker may, for example, permit taking, but not CFR 17.3. Take can result knowingly or research projects, educational and importation of such species, or he may otherwise, by direct and indirect outreach efforts, and maintenance of choose to forbid both taking and impacts, intentionally or incidentally. June sucker refuges and stocking importation but allow the transportation Allowing incidental and intentional programs. Accordingly, this 4(d) rule of such species’’ (H.R. Rep. No. 412, take in certain cases, such as for the addresses activities to facilitate 93rd Cong., 1st Sess. 1973). purposes of scientific inquiry, conservation and management of the Exercising this authority under monitoring, or to improve habitat or June sucker where they currently occur section 4(d), we have developed a water availability and quality, would and may occur in the future by species-specific 4(d) rule that is help preserve a species’ remaining excepting them from the Act’s take designed to address the June sucker’s populations, slow their rate of decline, prohibition under certain specific specific threats and conservation needs. and decrease synergistic, negative conditions. These activities are intended Although the statute does not require us effects from other stressors. to increase management flexibility and to make a ‘‘necessary and advisable’’ We may issue permits to carry out encourage support for the conservation finding with respect to the adoption of otherwise prohibited activities, and habitat improvement of the June specific prohibitions under section 9, including those described above, sucker. Under this 4(d) rule, take will we find that this rule as a whole satisfies involving threatened wildlife under continue to be prohibited, except for the requirement in section 4(d) of the certain circumstances. Regulations actions allowed in this 4(d) rule, Act to issue regulations deemed governing permits are codified at 50 provided the actions are approved by necessary and advisable to provide for CFR 17.32. With regard to threatened the Service, in coordination with any the conservation of the June sucker. As wildlife, a permit may be issued for the existing designated recovery program discussed under Summary of Factors following purposes: For scientific (e.g., JSRIP), for the purpose of June

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sucker conservation or recovery. Nonnative Fish Removal projects must be approved by the Approval must be in writing (by letter Incidental take is allowed where it Service in writing, in coordination with or email) from a Service biologist or results from activities intended to any existing designated recovery supervisor with authority over June reduce or eliminate nonnative fish, program, for that purpose. Examples of sucker decisions. Take is allowed under including, but not limited to, common planned or suggested projects where this 4(d) rule as follows, and is further carp, northern pike, and white bass, incidental take is allowed to occur described below: from Utah Lake or its tributaries. include the Provo River Delta • Incidental take resulting from Control of nonnative fish is vital for the Restoration Project and the removal of activities intended to reduce or continued recovery of June sucker. water diversion structures from the eliminate nonnative fish, including, but Provo River and Hobble Creek. Control of nonnative fish is primarily not limited to, common carp, northern conducted with mechanical removal via pike, and white bass, from Utah Lake or June Sucker Monitoring commercial seine netting and, to a its tributaries. This 4(d) rule allows incidental take • Incidental take resulting from limited extent, through angling (for associated with any method used to habitat restoration projects or projects northern pike). Other methods, detect June suckers in the wild for the that allow for the increase of instream including the use of genetically purposes of better understanding flows in Utah Lake tributaries, such as modified nonnative fish and population numbers, trends, or response diversion removals. electrofishing to reduce existing to stressors that is not intended to be • Incidental take resulting from populations, may be implemented in the destructive, but that may monitoring of June sucker in Utah Lake future. unintentionally cause harm or death. and its tributaries. This 4(d) rule defines nonnative fish Monitoring of June suckers is vital to • Incidental take resulting from removal as any action with the primary understanding the population monitoring and management of or secondary purpose (such as the dynamics, health, and trends; for recreational sportfish populations in introduction of genetically engineered measuring the success of the stocking Utah Lake and its tributaries. nonnative fish as part of an elimination program; for evaluating impacts from • Incidental and direct take resulting strategy) of removing nonnative fish threats; and for evaluating recovery from research projects to study factors from Utah Lake and its tributaries that actions that address threats to the affecting June sucker or its habitat for compete with, predate upon, or degrade species. With the use of PIT tag the purposes of providing management the habitat of the June sucker. These technology, monitoring is becoming less recommendations or improved removal methods must be approved by disruptive to the June sucker. However, condition of June sucker. the Service in writing (by letter or many monitoring methods, including • Incidental and direct take resulting email), in coordination with an existing the initial PIT tagging of individuals, from educational or outreach efforts to designated recovery program (e.g., may accidentally harm fish or result in increase public awareness, engagement, JSRIP) for that purpose. Such methods death. In addition to PIT tag readers, and support for June sucker recovery may include, but are not limited to, methods that may be used to detect June efforts. mechanical removal, chemical suckers in the wild include trammel • Incidental and direct take resulting treatments such as piscicides, or netting, spotlighting, minnow trapping, from maintaining June sucker refuges biological controls. All methods used trap netting, gill-netting, electrofishing, and stocking population, and from must be in compliance with State and and seining. Any monitoring activities moving June sucker for the purposes of Federal regulations. Whenever possible, not conducted by the State or under the stocking them in Utah Lake. June suckers that are caught alive as part State’s section 6 permit must be These forms of allowable take are of nonnative fish removal should be approved by the Service in writing and explained in more detail below. For all returned to their source as quickly as be conducted in coordination with any forms of allowable take, reasonable care possible. existing designated recovery program. must be practiced to minimize the impacts from the actions. Reasonable Habitat Restoration and Improvement of Recreational Fisheries Management care means limiting the impacts to June Instream Flows Recreational fisheries monitoring sucker individuals and populations by Incidental take resulting from habitat actions conducted by the State are complying with all applicable Federal, restoration projects or projects that allowed to cause incidental take of June State, and Tribal regulations for the increase instream flows in Utah Lake suckers through this 4(d) rule, provided activity in question; using methods and tributaries is allowed under this 4(d) that, whenever possible, June suckers techniques that result in the least harm, rule. Habitat restoration projects are that are caught alive as part of injury, or death, as feasible; undertaking needed to provide additional spawning recreational fisheries are returned to activities at the least impactful times and rearing habitat and refugia for June their source as quickly as possible. (e.g., conducting activities that might sucker. Improvements in the ability to These activities do not include fishing impact spawning habitat in a tributary obtain and deliver water to any of the or other recreational activities only after spawning is concluded for the known spawning tributaries will allow conducted by private individuals but year) and locations, as feasible; for improved spawning conditions, only those conducted by the State to procuring and implementing technical entrainment of June sucker larvae for manage fisheries in Utah Lake. Covered assistance from a qualified biologist on development, and periodic high flows activities are those that do not occur in projects regarding all methods prior to providing scouring of spawning June sucker spawning habitat during the the implementation of those methods; habitats. This 4(d) rule defines habitat season of use or rearing habitat at any ensuring the number of individuals restoration or water delivery time of year, and are designed to count removed or sampled minimally impacts improvement projects as any action or capture recreational sport fish only. the existing wild population; ensuring with the primary or secondary purpose According to the interagency ‘‘Policy for no disease or parasites are introduced of improving habitat conditions in Utah Conserving Species Listed or Proposed into the existing June sucker population; Lake and its tributaries or improving for Listing Under the Endangered and preserving the genetic diversity of water delivery and available instream Species Act While Providing and wild populations. flows in spawning tributaries. These Enhancing Recreational Fisheries

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Opportunities’’ published in the Federal allowed to cause take as any activity The process of breeding, rearing, Register on June 3, 1996 (61 FR 27978), undertaken for the purposes of growing, maintaining, and stocking June the Service will support management increasing public awareness of June suckers may result in take at all life practices that are consistent with sucker biology, ecology, or recovery stages, but the benefits to the species far recovery objectives and compatible with needs and their positive effects on Utah outweigh any losses. At the present existing recreational fisheries. Lake and its tributaries (e.g., a June time, one facility (FES hatchery) breeds Management of recreational fishing sucker rearing-and-release program for the June sucker for stocking in Utah opportunities undertaken by the State, high school students or a live June Lake; this facility also functions as the or its designated agent, on Utah Lake sucker display at an outreach event). designated refuge population for June and its tributaries require regular These activities must be approved by sucker. In addition to the hatchery, FES monitoring of sport fish populations. the Service in writing (by letter or uses offsite ponds as a grow-out facility Methods that may be used to monitor email), in coordination with any to allow fish to reach a larger size before sport fish populations include trammel existing designated recovery program they are stocked in Utah Lake because netting, spotlighting, trawling, minnow (e.g., JSRIP), as activities likely to this significantly increases survival trapping, trap netting, gill-netting, benefit June sucker conservation upon release (Burgad et al. 2016, p. 8). electrofishing, and seining. Use of these through increased public awareness and Another population of June suckers methods may inadvertently result in the engagement, which support June sucker exists in Red Butte Reservoir and is capture, and incidental take, of recovery. maintained, but not actively managed as individual June Sucker. Any activities Education and outreach are a vital a refuge, for stocking purposes. Red associated with recreational fisheries part of June sucker recovery progress. Butte Reservoir is a useful source management that are likely to Public awareness of June sucker biology population and may be used for significantly or repeatedly impact June and ecology helps foster support for the stocking more intensively in the future, suckers, such as those in spawning recovery program’s activities in and since fish from Red Butte Reservoir habitat during the season of use, those around Utah Lake. Increasing the consistently have the highest post- in the rearing habitat any time of year, prevailing understanding of how stocking success rates. or those that use methods not targeted recovery activities for June suckers Nothing in this 4(d) rule changes in to count or capture recreational sport improve the health, function, beauty, any way the recovery planning fish only, must be approved by the and quality of Utah Lake for sport provisions of section 4(f) of the Act, the Service in writing (by letter or email) fishers, recreationists, and the consultation requirements under section and conducted in coordination with any surrounding community will strengthen 7 of the Act, or our ability to enter into existing recovery program in order to support for continued conservation of partnerships for the management and minimize effects on the population. the fish. It will also serve to counteract protection of the June sucker. However, common and incorrect narratives that Research interagency cooperation may be further the protection of the June sucker is streamlined through planned This 4(d) rule defines June sucker responsible for preventing positive programmatic consultations for the research allowed to cause take as any activities and development in and species between us and other Federal activity undertaken for the purposes of around Utah Lake. This is particularly agencies, where appropriate. increasing our understanding of June important during the upcoming PRDRP sucker biology, ecology, or recovery construction, in order to tie the recovery Required Determinations needs under the auspices of UDWR, a of the fish to meaningful improvements National Environmental Policy Act (42 recognized academic institution, or a in ecological conditions and amenities U.S.C. 4321 et seq.) qualified scientific contractor and for the public at Utah Lake. approved by the Service in writing, in We have determined that coordination with any existing Refuges and Stocking environmental assessments and EISs, as designated recovery program, as a This 4(d) rule defines June sucker defined under the authority of the necessary and productive study for June stocking and refuge maintenance as any National Environmental Policy Act sucker recovery. Additional research is activity undertaken for the long-term (NEPA; 42 U.S.C. 4321 et seq.), need not needed on June sucker biology, ecology, maintenance of the June sucker at be prepared in connection with habitat needs, predators, and response facilities outside of Utah Lake and its determining a species’ listing status to threats in order to improve the tributaries or for the production of June under the Endangered Species Act. In species’ status and provide suckers for stocking in Utah Lake. Take an October 25, 1983, notice in the recommendations for population could occur from necessary facility Federal Register (48 FR 49244), we management, habitat improvement, and maintenance or water management, outlined our reasons for this threat reduction. Research may involve including at Red Butte Reservoir and its determination, which included a capture of June suckers using methods downstream drainages. Any breeding, compelling recommendation from the described above, or a variety of other stocking, or refuge program must be Council on Environmental Quality that activities to study water quality, approved by the Service in writing, in we cease preparing environmental nonnative fishes, lake and riverine coordination with any existing assessments or environmental impact ecosystems, tributary flows, habitat, or designated recovery program. Any June statements for listing decisions. sucker breeding program shall be in other factors affecting June suckers that Government-to-Government compliance with all applicable may impact individual fish Relationship With Tribes inadvertently. In some cases, lethal regulations and best hatchery and sampling of June suckers for research fishery management practices as In accordance with the President’s purposes may be necessary and described in the American Fisheries memorandum of April 29, 1994, appropriate. Society’s Fish Hatchery Management (Government-to-Government Relations (Wedemeyer 2002). with Native American Tribal Education and Outreach Maintaining refuge populations and Governments; 59 FR 22951), Executive This 4(d) rule defines June sucker stocking the June sucker in Utah Lake is Order 13175 (Consultation and educational and outreach actions an integral part of June sucker recovery. Coordination with Indian Tribal

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Governments), and the Department of References Cited Regulation Promulgation the Interior’s manual at 512 DM 2, we A complete list of all references cited Accordingly, we hereby amend part readily acknowledge our responsibility 17, subchapter B of chapter I, title 50 of to communicate meaningfully with in this final rule is available at http:// www.regulations.gov at Docket No. the Code of Federal Regulations, as recognized Federal Tribes on a follows: government-to-government basis. In FWS–R6–ES–2019–0026, or upon accordance with Secretarial Order 3206 request from the Utah Ecological PART 17—ENDANGERED AND of June 5, 1997 (American Indian Tribal Services Field Office (see FOR FURTHER THREATENED WILDLIFE AND PLANTS Rights, Federal-Tribal Trust INFORMATION CONTACT). ■ 1. The authority citation for part 17 Responsibilities, and the Endangered Authors Species Act), we readily acknowledge continues to read as follows: our responsibilities to work directly The primary authors of this final rule Authority: 16 U.S.C. 1361–1407; 1531– with Tribes in developing programs for are staff members of the Service’s 1544; and 4201–4245, unless otherwise healthy ecosystems, to acknowledge that Regions 5 and 7 and the Utah Ecological noted. tribal lands are not subject to the same Services Field Office (see ADDRESSES ■ 2. Amend § 17.11(h) by revising the controls as Federal public lands, to and FOR FURTHER INFORMATION CONTACT). entry for ‘‘Sucker, June (Chasmistes liorus)’’ under ‘‘FISHES’’ in the List of remain sensitive to Indian culture, and List of Subjects in 50 CFR Part 17 to make information available to Tribes. Endangered and Threatened Wildlife to We have determined that no Tribes will Endangered and threatened species, read as follows: be affected by this rule because there are Exports, Imports, Reporting and § 17.11 Endangered and threatened no Tribal lands or interests within or recordkeeping requirements, wildlife. adjacent to June sucker habitat. Transportation. * * * * * (h) * * *

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

******* FISHES

******* Sucker, June ...... Chasmistes liorus ...... Wherever found ...... T 51 FR 10851, 3/31/1986; 85 FR [insert Federal Register page where the document begins], 1/4/2021; 50 CFR 17.44(cc) 4d; 50 CFR 17.95(e).CH

*******

■ 3. Amend § 17.44 by adding paragraph forth at § 17.21(e) for endangered a private consulting firm that has been (cc) to read as follows: wildlife. approved by the Service in writing (by (v) Sale or offer for sale, as set forth letter or email), the designated recovery § 17.44 Special rules—fishes. at § 17.21(f) for endangered wildlife. program (e.g., June Sucker Recovery * * * * * (2) Exceptions from prohibitions. In Implementation Program), or the Utah (cc) June sucker (Chasmistes liorus). regard to this species, you may: Division of Wildlife Resources. (1) Prohibitions. The following (i) Conduct activities as authorized by (2) Reasonable care means limiting prohibitions that apply to endangered an existing permit under § 17.32. the impacts to June sucker individuals wildlife also apply to the June sucker. (ii) Conduct activities as authorized Except as provided under paragraph by a permit issued prior to February 3, and populations by complying with all (cc)(2) of this section and §§ 17.4 and 2021 under § 17.22 for the duration of applicable Federal, State, and Tribal 17.5, it is unlawful for any person the permit. regulations for the activity in question; subject to the jurisdiction of the United (iii) Take, as set forth at § 17.21(c)(2) using methods and techniques that States to commit, to attempt to commit, through (c)(4) for endangered wildlife. result in the least harm, injury, or death, to solicit another to commit, or cause to (iv) Take, as set forth at § 17.31(b). as feasible; undertaking activities at the (v) Take June suckers while carrying be committed, any of the following acts least impactful times and locations, as out the following legally conducted in regard to this species: feasible; procuring and implementing activities in accordance with this (i) Import or export, as set forth at technical assistance from a qualified paragraph (cc)(2)(iv): biologist on projects regarding all § 17.21(b) for endangered wildlife. (A) Definitions. For the purposes of methods prior to the implementation of (ii) Take, as set forth at § 17.21(c)(1) this paragraph (cc)(2)(iv): for endangered wildlife. (1) Qualified biologist means a full- those methods; ensuring the number of (iii) Possession and other acts with time fish biologist or aquatic resources individuals removed or sampled unlawfully taken specimens, as set forth manager employed by Utah Division of minimally impacts the existing wild at § 17.21(d)(1) for endangered wildlife. Wildlife Resources, a Department of the population; ensuring no disease or (iv) Interstate or foreign commerce in Interior agency, or fish biologist or parasites are introduced into the the course of commercial activity, as set aquatic resource manager employed by existing June sucker population; and

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preserving the genetic diversity of wild of improving habitat conditions in Utah direct take resulting from such approved populations. Lake and its tributaries or improving research to benefit the June sucker is (B) Allowable forms of take of June water delivery and available in-stream allowed. suckers. Take of June suckers as a result flows in spawning tributaries is (6) Education and outreach. Take of of the following legally conducted allowed. June suckers as a result of any activity activities is allowed, provided that the (3) Monitoring. Take of June suckers undertaken under the auspices of the activity is approved by the Service in as a result of any method that is used designated recovery program for the writing (by letter or email), in to detect June suckers in the wild to purposes of increasing public awareness coordination with any existing better understand population numbers, of June sucker biology, ecology, or designated recovery program, for the trends, or response to stressors, and that recovery needs and June sucker purpose of the conservation or recovery is not intended to be destructive but that recovery benefits for Utah Lake, its of the June sucker, and that reasonable may unintentionally cause harm or tributaries, and the surrounding care is practiced to minimize the impact death, is allowed. communities is allowed. Incidental and of such activities. (4) Recreational fisheries (1) Nonnative fish removal. Take of management. Take of June suckers as a direct take resulting from such June suckers as a result of any action result of any activity by the State, or its educational or outreach efforts to benefit with the primary or secondary purpose designated agent, that is necessary to the June sucker is allowed. of removing from Utah Lake and its manage or monitor recreational fisheries (7) Refuges and stocking. Take of June tributaries nonnative fish that compete in Utah Lake and its tributaries is suckers as a result of activities with, predate upon, or degrade the allowed, provided the management undertaken for the long-term habitat of the June sucker is allowed. practices do not contradict June sucker maintenance of June suckers at Service- Allowable methods of removal may recovery objectives and that the approved facilities outside of Utah Lake include, but are not limited to, activities are not intended to cause harm and its tributaries or for the production mechanical removal, chemical or death to June suckers. of June suckers for stocking in Utah treatments, or biological controls. (5) Research. Take of June suckers as Lake is allowed. Whenever possible, June suckers that a result of any activity undertaken for (vi) Possess and engage in other acts are caught alive as part of nonnative fish the purposes of increasing scientific with unlawfully taken endangered removal should be returned to their understanding of June sucker biology, wildlife, as set forth at § 17.21(d)(2). source as quickly as possible. ecology, or recovery needs under the (2) Habitat restoration and auspices of the designated recovery Aurelia Skipwith improvement of instream flows. Take of program, a recognized academic Director, U.S. Fish and Wildlife Service. June suckers as a result of any action institution, or a qualified scientific [FR Doc. 2020–27833 Filed 12–31–20; 8:45 am] with the primary or secondary purpose contractor is allowed. Incidental and BILLING CODE 4333–15–P

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Part III

The President

Proclamation 10129—850th Anniversary of the Martyrdom of Saint Thomas Becket Executive Order 13969—Expanding Educational Opportunity Through School Choice

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Federal Register Presidential Documents Vol. 86, No. 1

Monday, January 4, 2021

Title 3— Proclamation 10129 of December 28, 2020

The President 850th Anniversary of the Martyrdom of Saint Thomas Becket

By the President of the United States of America

A Proclamation Today is the 850th anniversary of the martyrdom of Saint Thomas Becket on December 29, 1170. Thomas Becket was a statesman, a scholar, a chan- cellor, a priest, an archbishop, and a lion of religious liberty. Before the Magna Carta was drafted, before the right to free exercise of religion was enshrined as America’s first freedom in our glorious Constitu- tion, Thomas gave his life so that, as he said, ‘‘the Church will attain liberty and peace.’’ The son of a London sheriff and once described as ‘‘a low-born clerk’’ by the King who had him killed, Thomas Becket rose to become the leader of the church in England. When the crown attempted to encroach upon the affairs of the house of God through the Constitutions of Clarendon, Thomas refused to sign the offending document. When the furious King Henry II threatened to hold him in contempt of royal authority and ques- tioned why this ‘‘poor and humble’’ priest would dare defy him, Archbishop Becket responded ‘‘God is the supreme ruler, above Kings’’ and ‘‘we ought to obey God rather than men.’’ Because Thomas would not assent to rendering the church subservient to the state, he was forced to forfeit all his property and flee his own country. Years later, after the intervention of the Pope, Becket was allowed to return— and continued to resist the King’s oppressive interferences into the life of the church. Finally, the King had enough of Thomas Becket’s stalwart defense of religious faith and reportedly exclaimed in consternation: ‘‘Will no one rid me of this meddlesome priest?’’ The King’s knights responded and rode to Canterbury Cathedral to deliver Thomas Becket an ultimatum: give in to the King’s demands or die. Thomas’s reply echoes around the world and across the ages. His last words on this earth were these: ‘‘For the name of Jesus and the protection of the Church, I am ready to embrace death.’’ Dressed in holy robes, Thomas was cut down where he stood inside the walls of his own church. Thomas Becket’s martyrdom changed the course of history. It eventually brought about numerous constitutional limitations on the power of the state over the Church across the West. In England, Becket’s murder led to the Magna Carta’s declaration 45 years later that: ‘‘[T]he English church shall be free, and shall have its rights undiminished and its liberties unimpaired.’’ When the Archbishop refused to allow the King to interfere in the affairs of the Church, Thomas Becket stood at the intersection of church and state. That stand, after centuries of state-sponsored religious oppression and religious wars throughout Europe, eventually led to the establishment of religious liberty in the New World. It is because of great men like Thomas Becket that the first American President George Washington could proclaim more than 600 years later that, in the United States, ‘‘All possess alike liberty of conscience and immunities of citizenship’’ and that ‘‘it is now no more that toleration is spoken of, as if it was by the indulgence of one class of people, that another enjoyed the exercise of their inherent natural rights.’’

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Thomas Becket’s death serves as a powerful and timeless reminder to every American that our freedom from religious persecution is not a mere luxury or accident of history, but rather an essential element of our liberty. It is our priceless treasure and inheritance. And it was bought with the blood of martyrs. As Americans, we were first united by our belief that ‘‘rebellion to tyrants is obedience to God’’ and that defending liberty is more important than life itself. If we are to continue to be the land of the free, no government official, no governor, no bureaucrat, no judge, and no legislator must be allowed to decree what is orthodox in matters of religion or to require religious believers to violate their consciences. No right is more fundamental to a peaceful, prosperous, and virtuous society than the right to follow one’s religious convictions. As I declared in Krasin´ ski Square in Warsaw, Poland on July 6, 2017, the people of America and the people of the world still cry out: ‘‘We want God.’’ On this day, we celebrate and revere Thomas Becket’s courageous stand for religious liberty and we reaffirm our call to end religious persecution worldwide. In my historic address to the United Nations last year, I made clear that America stands with believers in every country who ask only for the freedom to live according to the faith that is within their own hearts. I also stated that global bureaucrats have absolutely no business attacking the sovereignty of nations that wish to protect innocent life, reflect- ing the belief held by the United States and many other countries that every child—born and unborn—is a sacred gift from God. Earlier this year, I signed an Executive Order to prioritize religious freedom as a core dimen- sion of United States foreign policy. We have directed every Ambassador— and the over 13,000 United States Foreign Service officers and specialists— in more than 195 countries to promote, defend, and support religious freedom as a central pillar of American diplomacy. We pray for religious believers everywhere who suffer persecution for their faith. We especially pray for their brave and inspiring shepherds—like Car- dinal Joseph Zen of Hong Kong and Pastor Wang Yi of Chengdu—who are tireless witnesses to hope. To honor Thomas Becket’s memory, the crimes against people of faith must stop, prisoners of conscience must be released, laws restricting freedom of religion and belief must be repealed, and the vulnerable, the defenseless, and the oppressed must be protected. The tyranny and murder that shocked the conscience of the Middle Ages must never be allowed to happen again. As long as America stands, we will always defend religious liberty. A society without religion cannot prosper. A nation without faith cannot endure—because justice, goodness, and peace cannot prevail without the grace of God. NOW, THEREFORE, I, DONALD J. TRUMP, 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 December 29, 2020, as the 850th anniversary of the martyrdom of Saint Thomas Becket. I invite the people of the United States to observe the day in schools and churches and customary places of meeting with appropriate ceremonies in commemo- ration of the life and legacy of Thomas Becket.

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IN WITNESS WHEREOF, I have hereunto set my hand this twenty-eighth day of December, in the year of our Lord two thousand twenty, and of the Independence of the United States of America the two hundred and forty-fifth.

[FR Doc. 2020–29226 Filed 12–31–20; 11:15 am] Billing code 3295–F1–P

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Executive Order 13969 of December 28, 2020

Expanding Educational Opportunity Through School Choice

By the authority vested in me as President by the Constitution and the laws of the United States of America, and in order to ensure the education, health, safety, and well-being of America’s children, our most essential resource upon which the future of our great Nation depends, it is hereby ordered as follows: Section 1. Purpose. As part of their efforts to address the public health challenges and uncertainties posed by the COVID–19 pandemic, State and local officials shut down in-person learning for the vast majority of our more than 56 million elementary and secondary school students beginning in late February and early March of this year. Since then, however, our Nation has identified effective measures to facilitate the safe resumption of in-person learning, and the Federal Government has provided more than $13 billion to States and school districts to implement those measures. The prolonged deprivation of in-person learning opportunities has produced undeniably dire consequences for the children of this country. The Centers for Disease Control and Prevention has stated that school attendance is negatively correlated with a child’s risk of depression and various types of abuse. States have seen substantial declines in reports of child maltreat- ment while school buildings have been closed, indicating that allegations are going unreported. These reductions are driven in part by social isolation from the schoolteachers and support staff with whom students typically interact and who have an obligation to report suspected child maltreatment. The American Academy of Pediatrics (AAP) has also found that school closures have a ‘‘substantial impact on food security and physical activity for children and families.’’ Additionally, a recent survey of educators found student absences from school, including virtual learning, have nearly doubled during the pandemic, and as AAP has noted, chronic absenteeism is associ- ated with alcohol and drug use, teenage pregnancy, juvenile delinquency, and suicide attempts. School closures are especially difficult for families with children with special needs. Schools provide not only academic supports for students with special needs, but they also provide much-needed in-person therapies and services, including physical and occupational therapies. A recent survey found that 80 percent of children with special needs are not receiving the services and supports to which they are entitled and that approximately 40 percent of children with special needs are receiving no services or supports. More- over, the survey found that virtual learning may not be fully accessible to these students, as children with special needs are twice as likely to receive little or no remote learning and to be dissatisfied with the remote learning received. Low-income and minority children are also disproportionately affected by school closures. In low-income zip codes, students’ math progress decreased by nearly 50 percent while school buildings were closed in the spring, and the math progress of students in middle-income zip codes fell by almost a third during the same period. A recent analysis projected that, if in- person classes do not fully resume until January 2021, Hispanic, Black, and low-income students will lose 9.2, 10.3, and 12.4 months of learning, respectively.

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A failure to quickly resume in-person learning options is likely to have long-term economic effects on children and their families. According to a recent study, if in-person classes do not fully resume until January 2021, the average student could lose $61,000 to $82,000 in lifetime earnings, or the equivalent of a year of full-time work. Additionally, in 2019, more than 90 percent of children under the age of 18 had at least one employed parent. Many employed parents do not have the option of engaging in remote work that allows them the flexibility to supervise their children during the day when in-person learning options are not available. Without the resumption of in-person learning opportunities, the economic and social harms resulting from such lost employment opportunities will continue to compound. To help mitigate these harms, the Department of Health and Human Services recently announced additional relief for low-income parents by allowing States to use funds available through the Child Care and Development Fund to subsidize child care services and services that supplement academic instruction for children under the age of 13 who are participating in virtual instruction. Nevertheless, virtual instruction is an inadequate substitute for in-person learning opportunities and this aid is insufficient to meet current needs. While some families, especially those with financial means, have been able to mitigate school disruptions through in-person options such as homeschooling, private schools, charter schools, and innovative models like microschools and ‘‘learning pods,’’ for many families, their children’s residen- tially assigned public school remains their only financially available option. Unfortunately, more than 50 percent of all public-school students in the United States began school remotely this fall. These children, including those with special needs, are being underserved due to the public education system’s failure to provide in-person learning options. Students whose families pay tuition for their education are also facing significant hardships due to the economic disruptions caused by the pan- demic. Scores of private schools, including approximately 100 Catholic schools, have permanently closed since the onset of COVID–19, and more than half of our Nation’s private schools are believed to have lost enrollment due to the pandemic. These closures and declining enrollments are harmful to students, bad for communities, and likely to impose increased strain on public school systems. I am committed to ensuring that all children of our great Nation have access to the educational resources they need to obtain a high-quality edu- cation and to improving students’ safety and well-being, including by empow- ering families with emergency learning scholarships. Sec. 2. Providing Emergency Learning Scholarships for Students. The Sec- retary of Health and Human Services shall take steps, consistent with law, to allow funds available through the Community Services Block Grant pro- gram to be used by grantees and eligible entities to provide emergency learning scholarships to disadvantaged families for use by any child without access to in-person learning. These scholarships may be used for: (i) tuition and fees for a private or parochial school; (ii) homeschool, microschool, or learning-pod costs; (iii) special education and related services, including therapies; or (iv) tutoring or remedial education. Sec. 3. 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.

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(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, December 28, 2020.

[FR Doc. 2020–29235 Filed 12–31–20; 11:15 am] Billing code 3295–F1–P

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