FEDERAL REGISTER
Vol. 86 Thursday No. 61 April 1, 2021
Pages 17055–17270
OFFICE OF THE FEDERAL REGISTER
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Contents Federal Register Vol. 86, No. 61
Thursday, April 1, 2021
Agriculture Department Agency Information Collection Activities; Proposals, See Rural Business-Cooperative Service Submissions, and Approvals: See Rural Utilities Service Place of Performance, 17150 Transition Assistance Program Information for Families, Census Bureau Caregivers, Veterans and Community-Based NOTICES Organizations, 17142–17143 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Drug Enforcement Administration Current Population Survey, Annual Social and Economic NOTICES Supplement, 17121–17122 Bulk Manufacturer of Controlled Substances Application: Marihuana; ThinkPur, LLC, 17206 Civil Rights Commission Importer of Controlled Substances Application: NOTICES Sharp Clinical Services, Inc., 17206–17207 Meetings: North Dakota Advisory Committee, 17120–17121 Education Department Utah Advisory Committee, 17120 NOTICES Agency Information Collection Activities; Proposals, Coast Guard Submissions, and Approvals: RULES High School and Beyond 2022 Base-Year Full-Scale Safety Zones: Study Data Collection and First Follow-Up Field Test Vieques Unexploded Ordnance Operations, East Vieques, Sampling, Tracking, and Recruitment, 17144 Vieques, PR, 17068–17071 Coronavirus Response and Relief Supplemental Security Zone: Cleveland Harbor, Cleveland, OH, 17066–17068 Appropriations Act Supplemental Aid to Institutions of PROPOSED RULES Higher Education Application, 17145 Anchorage Grounds: Employment and Training Administration Approaches to New York, Ambrose, Long Beach, NY, 17090–17096 NOTICES Drawbridge Operations: Change in Status of the Extended Benefit Program: Mobile River, Hurricane, AL, 17096–17098 California, Colorado, Hawaii, Puerto Rico, and Safety Management Systems for Domestic Passenger Washington, 17207 Vessels, 17090 Energy Department Commerce Department See Federal Energy Regulatory Commission See Census Bureau See International Trade Administration Environmental Protection Agency See National Oceanic and Atmospheric Administration RULES See National Telecommunications and Information Air Quality State Implementation Plans; Approvals and Administration Promulgations: Rhode Island; Control of Volatile Organic Compound Community Living Administration Emissions, 17071–17073 NOTICES Extension of 2019 and 2020 Renewable Fuel Standard Agency Information Collection Activities; Proposals, Compliance and Attest Engagement Reporting Submissions, and Approvals: Deadlines, 17073–17078 National Survey of Older Americans Act Participants, PROPOSED RULES 17153–17156 Air Quality State Implementation Plans; Approvals and State Developmental Disabilities Council, Annual Promulgations: Program Performance Report, 17152–17153 North Dakota; Revisions to Air Pollution Control Rules; Availability of Program Application Instructions for Regional Haze, 17101–17106 Medicare Improvement for Patients and Providers Act Utah; 2017 Base Year Inventories for the 2015 8-Hour Program Funds, 17150–17151 Ozone National Ambient Air Quality Standard for the Uinta Basin, Northern Wasatch Front and Corporation for National and Community Service Southern Wasatch Front Nonattainment Areas, NOTICES 17106–17109 Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Administrative Settlement Agreement and Order on Application Package for Applicant Operational and Consent: Financial Management Survey, 17140–17141 Richardson Flat Tailings Site, Park City, Summit County, Utah, 17147–17148 Defense Department Request for Nominations: NOTICES Candidates to the Clean Air Scientific Advisory Agency Information Collection Activities; Proposals, Committee, 17146–17147 Submissions, and Approvals, 17141–17144 Science Advisory Board, 17148–17149
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Federal Aviation Administration Meetings: PROPOSED RULES Endocrinologic and Metabolic Drugs Advisory Airworthiness Directives: Committee, 17165–17167 Airbus Canada Limited Partnership (Type Certificate Food and Drug Administration Science Forum 2021; Previously Held by C Series Aircraft Limited Public Workshop, 17164–17165 Partnership (CSALP); Bombardier, Inc.) Airplanes, Regulatory Review Period for Purposes of Patent Extension: 17087–17090 IBSRELA, 17157–17159 Revocation of Authorization of Emergency Use of a Medical Federal Communications Commission Device During COVID–19, 17162–17164 RULES TG United, Inc., et al.; Withdrawal of Approval of 27 Modernizing the E-Rate Program for Schools and Libraries, Abbreviated New Drug Applications: 17079–17080 Correction, 17165 PROPOSED RULES Television Broadcasting Services: General Services Administration Amarillo, TX, 17110–17111 NOTICES Jonesboro, AR, 17110 Agency Information Collection Activities; Proposals, Federal Election Commission Submissions, and Approvals: NOTICES Place of Performance, 17150 Meetings; Sunshine Act, 17149 Health and Human Services Department Federal Emergency Management Agency See Community Living Administration RULES See Food and Drug Administration Suspension of Community Eligibility, 17078–17079 See Health Resources and Services Administration NOTICES See Substance Abuse and Mental Health Services National Flood Insurance Program: Administration Assistance to Private Sector Property Insurers, FY 2022 NOTICES Arrangement, 17173–17180 Meetings: National Vaccine Advisory Committee, 17170 Federal Energy Regulatory Commission NOTICES Health Resources and Services Administration Application: NOTICES Pacific Gas and Electric Co., 17145–17146 Agency Information Collection Activities; Proposals, Federal Reserve System Submissions, and Approvals: Federal Tort Claims Act Program Deeming Applications NOTICES for Health Centers; Extension, 17169–17170 Change in Bank Control: Acquisitions of Shares of a Bank or Bank Holding Company, 17149–17150 Homeland Security Department See Coast Guard Food and Drug Administration See Federal Emergency Management Agency RULES See U.S. Citizenship and Immigration Services Electronic Import Entries; Technical Amendments, 17059– See U.S. Customs and Border Protection 17060 Medical Devices; Technical Amendments, 17065–17066 Indian Affairs Bureau New Animal Drugs: NOTICES Approval of New Animal Drug Applications, 17061– Grant Availability to Federally Recognized Indian Tribes To 17065 Implement Traffic Safety Programs and Projects on Requirements for Foreign and Domestic Establishment Indian Reservations, 17185–17187 Registration and Listing for Human Drugs, Including Drugs That Are Regulated Under a Biologics License Application, and Animal Drugs; Corrections, 17061 Interior Department NOTICES See Indian Affairs Bureau Agency Information Collection Activities; Proposals, See Land Management Bureau Submissions, and Approvals: See National Park Service Substances Prohibited From Use in Animal Food or Feed, 17156–17157 International Trade Administration Determination of Regulatory Review Period for Purposes of RULES Patent Extension: Aluminum Import Monitoring and Analysis System: Stay BioMimics 3D Vascular Stent System, 17167–17168 and Delay of Compliance Date, 17058–17059 TPOXX, 17160–17162 NOTICES Determination That Products Were Not Withdrawn From Antidumping or Countervailing Duty Investigations, Orders, Sale for Reasons of Safety or Effectiveness: or Reviews: CUTIVATE (Fluticasone Propionate) Ointment, 0.005 Citric Acid and Certain Citrate Salts From Thailand, Percent, 17159–17160 17122–17124 SERENTIL (Mesoridazine Besylate) Tablets, 10 Initiation of Administrative Reviews, 17124–17137 Milligrams, 25 Milligrams, 50 Milligrams, and 100 Opportunity To Request Administrative Review, 17137– Milligrams, 17159 17139
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International Trade Commission Nuclear Regulatory Commission NOTICES NOTICES Antidumping or Countervailing Duty Investigations, Orders, Agency Information Collection Activities; Proposals, or Reviews: Submissions, and Approvals: Petroleum Wax Candles From China; Institution of a Financial Protection Requirements and Indemnity Five-Year Review, 17203–17206 Agreements, 17216–17217 Polyethylene Retail Carrier Bags From China, Indonesia, Environmental Assessments; Availability, etc.: Malaysia, Taiwan, Thailand, and Vietnam; Institution Findings of No Significant Impact of Independent Spent of Five-Year Reviews, 17200–17203 Fuel Storage Facilities Decommissioning Funding Polyethylene Terephthalate Resin From Canada, China, Plans, 17209–17211 India, and Oman; Institution of Five-Year Reviews, License Amendment Application: 17197–17200 Dominion Energy Nuclear Connecticut, Inc., Millstone Power Station, Unit 3, 17211–17216 Justice Department See Drug Enforcement Administration Pension Benefit Guaranty Corporation RULES Labor Department Rescission of Pension Benefit Guaranty Corporation Rule on See Employment and Training Administration Guidance, 17066 NOTICES Land Management Bureau Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Agency Information Collection Activities; Proposals, Survey of Nonparticipating Single Premium Group Submissions, and Approvals: Annuity Rates, 17217–17219 Conveyance of Federally-Owned Mineral Interests, 17188–17189 Personnel Management Office Plats of Survey: NOTICES Nebraska, 17187–17188 Agency Information Collection Activities; Proposals, National Aeronautics and Space Administration Submissions, and Approvals: CyberCorps Scholarship for Service Registration System, NOTICES Agency Information Collection Activities; Proposals, 17219 Submissions, and Approvals: Postal Regulatory Commission Place of Performance, 17150 PROPOSED RULES National Oceanic and Atmospheric Administration Periodic Reporting, 17100–17101 RULES Postal Service Fisheries of the Caribbean, Gulf of Mexico, and South Atlantic: NOTICES Snapper-Grouper Fishery of the South Atlantic; 2021– Change in Class of General Applicability for Competitive 2022 Recreational Fishing Season for Black Sea Bass, Products, 17219–17222 17080–17081 Transfer of Bound Printed Matter Parcels to Competitive Fisheries of the Northeastern United States: Product List, 17222 Atlantic Herring; Framework Adjustment 8, 17081–17086 Rural Business-Cooperative Service National Park Service NOTICES NOTICES Funding Availability: Inventory Completion: Rural Business Development Grant Program To Provide American Museum of Natural History, New York, NY; Technical Assistance for Rural Transportation Correction, 17195–17196 Systems, 17112–17116 Diablo Valley College, Pleasant Hill, CA, 17189–17190 Field Museum of Natural History, Chicago, IL; Correction, Rural Utilities Service 17190–17191 NOTICES Museum of Riverside (formerly known as the Riverside Application Deadlines and Requirements: Metropolitan Museum), Riverside, CA, 17194–17195 Section 313A Guarantees for Bonds and Notes Issued for Princeton University, Princeton, NJ, 17196–17197 Utility Infrastructure Purposes for Fiscal Year 2021, Tennessee Valley Authority, Knoxville, TN, 17191–17194 17117–17120 National Science Foundation Securities and Exchange Commission NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals, 17207–17209 Submissions, and Approvals, 17222–17223, 17257– Meetings; Sunshine Act, 17209 17259 Application: National Telecommunications and Information Deregistration Under the Investment Company Act, Administration 17226–17227 NOTICES Self-Regulatory Organizations; Proposed Rule Changes: Meetings: Cboe BYX Exchange, Inc., 17230–17252 Multistakeholder Process on Promoting Software MIAX PEARL, LLC, 17259–17263 Component Transparency, 17139–17140 Nasdaq ISE, LLC, 17223–17226
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Nasdaq PHLX, LLC, 17254–17257 Monthly Report on Naturalization Papers, 17180–17181 New York Stock Exchange, LLC, 17252–17254 Petition for a Nonimmigrant Worker, 17181–17182 The Nasdaq Stock Market, LLC, 17227–17230, 17263 Petition for CNMI-Only Nonimmigrant Transition Worker and Semiannual Report for CW–1 Employers, 17182– Small Business Administration 17183 NOTICES Request for Fee Waiver, 17184–17185 Interest Rates, 17263
State Department U.S. Customs and Border Protection NOTICES RULES Agency Information Collection Activities; Proposals, Imposition of Import Restrictions on Categories of Submissions, and Approvals: Archaeological Material of Costa Rica, 17055–17058 Foreign Diplomatic Services Applications, 17264
Substance Abuse and Mental Health Services United States Mint Administration NOTICES NOTICES Meetings: Agency Information Collection Activities; Proposals, Submissions, and Approvals: Citizens Coinage Advisory Committee, 17266–17267 New Survey of Behavioral Health Workforce Employers, 17172–17173 Veterans Affairs Department Current List of Certified Laboratories and Instrumented PROPOSED RULES Initial Testing Facilities Which Meet Minimum Certification of Evidence for Proof of Service, 17098–17100 Standards To Engage in Urine and Oral Fluid Drug NOTICES Testing for Federal Agencies, 17170–17171 Meetings: Transportation Department Documentation Required for Identification of Veterans See Federal Aviation Administration Who Are Members of an Indian Tribe; Tribal Consultation, 17267 Treasury Department National Research Advisory Council, 17267–17268 See United States Mint Request for Information: RULES Staff Sergeant Parker Gordon Fox Suicide Prevention Imposition of Import Restrictions on Categories of Grant Program, 17268–17270 Archaeological Material of Costa Rica, 17055–17058 NOTICES Aid of Analyses of the Terrorism Risk Insurance Program, 17265–17266 Reader Aids Requests for Nominations: Consult the Reader Aids section at the end of this issue for Treasury Tribal Advisory Committee, 17264–17265 phone numbers, online resources, finding aids, and notice U.S. Citizenship and Immigration Services of recently enacted public laws. NOTICES To subscribe to the Federal Register Table of Contents Agency Information Collection Activities; Proposals, electronic mailing list, go to https://public.govdelivery.com/ Submissions, and Approvals: accounts/USGPOOFR/subscriber/new, enter your e-mail Application To Extend/Change Nonimmigrant Status, address, then follow the instructions to join, leave, or 17183–17184 manage your subscription.
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CFR PARTS AFFECTED IN THIS ISSUE
A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.
14 CFR Proposed Rules: 39...... 17087 19 CFR 12 (2 documents) ...... 17055 361...... 17058 21 CFR 1...... 17059 207...... 17061 510...... 17061 520...... 17061 522...... 17061 524...... 17061 528...... 17061 558...... 17061 821...... 17065 29 CFR 4908...... 17066 33 CFR 165 (2 documents) ...... 17066, 17068 Proposed Rules: 96...... 17090 110...... 17090 117...... 17096 38 CFR Proposed Rules: 3...... 17098 39 CFR Proposed Rules: 3050...... 17100 40 CFR 52...... 17071 80...... 17073 Proposed Rules: 52 (2 documents) ...... 17101, 17106 44 CFR 64...... 17078 46 CFR Proposed Rules: 71...... 17090 115...... 17090 176...... 17090 47 CFR 54...... 17079 Proposed Rules: 73 (2 documents) ...... 17110 50 CFR 622...... 17080 648...... 17081
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Rules and Regulations Federal Register Vol. 86, No. 61
Thursday, April 1, 2021
This section of the FEDERAL REGISTER Policy and Programs, Office of Trade, (4) that the application of import contains regulatory documents having general (202) 427–2018, [email protected]. restrictions as set forth in this final rule applicability and legal effect, most of which SUPPLEMENTARY INFORMATION: is consistent with the general interests are keyed to and codified in the Code of of the international community in the Federal Regulations, which is published under Background interchange of cultural property among 50 titles pursuant to 44 U.S.C. 1510. The Convention on Cultural Property nations for scientific, cultural, and The Code of Federal Regulations is sold by Implementation Act, Public Law 97– educational purposes (19 U.S.C. the Superintendent of Documents. 446, 19 U.S.C. 2601 et seq. (hereinafter, 2602(a)(1)(D)). The Assistant Secretary ‘‘the Cultural Property Implementation also found that the material described in Act’’), implements the 1970 United the determinations meets the statutory DEPARTMENT OF HOMELAND Nations Educational, Scientific and definition of ‘‘archaeological or SECURITY Cultural Organization (UNESCO) ethnological material of the State Party’’ Convention on the Means of Prohibiting (19 U.S.C. 2601(2)). U.S. Customs and Border Protection and Preventing the Illicit Import, Export The Agreement and Transfer of Ownership of Cultural DEPARTMENT OF THE TREASURY Property (hereinafter, ‘‘the Convention’’ On January 15, 2021, the United (823 U.N.T.S. 231 (1972)). Pursuant to States and Costa Rica signed a bilateral 19 CFR Part 12 the Cultural Property Implementation agreement, ‘‘Memorandum of Understanding between the Government Act, the United States entered into a [CBP Dec. 21–06] of the United States of America and the bilateral agreement with Costa Rica to Government of the Republic of Costa impose import restrictions on certain RIN 1515–AE62 Rica Concerning the Imposition of archaeological material from Costa Rica. Import Restrictions on Categories of Imposition of Import Restrictions on This rule announces that the United Archaeological Material of Costa Rica’’ Categories of Archaeological Material States is now imposing import (‘‘the Agreement’’), pursuant to the of Costa Rica restrictions on certain archaeological provisions of 19 U.S.C. 2602(a)(2). The material from Costa Rica. AGENCY: U.S. Customs and Border Agreement entered into force upon Protection, Department of Homeland Determinations signature, and enables the promulgation of import restrictions on categories of Security; Department of the Treasury. Under 19 U.S.C. 2602(a)(1), the archaeological material representing ACTION: Final rule. United States must make certain Costa Rica’s cultural heritage ranging in determinations before entering into an date from approximately 12,000 B.C. to SUMMARY: This final rule amends the agreement to impose import restrictions A.D. 1550. A list of the categories of U.S. Customs and Border Protection under 19 U.S.C. 2602(a)(2). On archaeological material subject to the (CBP) regulations to reflect the September 3, 2020, the Assistant import restrictions is set forth later in imposition of import restrictions on Secretary for Educational and Cultural this document. certain archaeological material from the Affairs, United States Department of Republic of Costa Rica (Costa Rica). State, after consultation with and Restrictions and Amendment to the These restrictions are being imposed recommendation by the Cultural Regulations pursuant to an agreement between the Property Advisory Committee, made the In accordance with the Agreement, United States and Costa Rica that has determinations required under the been entered into under the authority of importation of material designated statute with respect to certain below is subject to the restrictions of 19 the Convention on Cultural Property archaeological material originating in Implementation Act. The final rule U.S.C. 2606 and § 12.104g(a) of title 19 Costa Rica that is described in the of the Code of Federal Regulations (19 amends the CBP regulations by adding Designated List set forth below in this Costa Rica to the list of countries which CFR 12.104g(a)) and will be restricted document. from entry into the United States unless have a bilateral agreement with the These determinations include the United States that imposes cultural the conditions set forth in 19 U.S.C. following: (1) That the cultural 2606 and § 12.104c of the CBP property import restrictions. The final patrimony of Costa Rica is in jeopardy rule also contains the Designated List Regulations (19 CFR 12.104c) are met. from the pillage of archaeological CBP is amending § 12.104g(a) of the that describes the types of material representing Costa Rica’s archaeological material to which the CBP Regulations (19 CFR 12.104g(a)) to cultural heritage dating from indicate that these import restrictions import restrictions apply. approximately 12,000 B.C. to A.D. 1550 have been imposed. DATES: Effective on March 31, 2021. (19 U.S.C. 2601(a)(1)(A)); (2) that the Import restrictions listed at 19 CFR FOR FURTHER INFORMATION CONTACT: For Costa Rican government has taken 12.104g(a) are effective for no more than legal aspects, Lisa L. Burley, Chief, measures consistent with the five years beginning on the date on Cargo Security, Carriers and Restricted Convention to protect its cultural which the Agreement enters into force Merchandise Branch, Regulations and patrimony (19 U.S.C. 2602(a)(1)(B)); (3) with respect to the United States. This Rulings, Office of Trade, (202) 325– that import restrictions imposed by the period may be extended for additional 0300, ot-otrrculturalproperty@ United States would be of substantial periods of not more than five years if it cbp.dhs.gov. For operational aspects, benefit in deterring a serious situation of is determined that the factors which Pinky Khan, Branch Chief, Commercial pillage and remedies less drastic are not justified the Agreement still pertain and Targeting and Analysis Center, Trade available (19 U.S.C. 2602(a)(1)(C)); and no cause for suspension of the
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Agreement exists. The import adornment. Examples of archaeological represented. Many pendants combine restrictions will expire on January 15, jade objects covered in the bilateral features of more than one creature. Dual 2026, unless extended. agreement include, but are not limited figures depict a single body with two to, the following objects: heads and two tails. Some zoomorphic Designated List of Archaeological A. Pendants—Celtiform pendants pendants hold human bodies or limbs in Material of Costa Rica (sometimes called Axe-gods) may have the mouth. The Agreement between the United human, avian, or composite human and B. Anthropomorphic pendants— States and Costa Rica includes, but is avian figures carved on the upper Elaborate human figures may be not limited to, the categories of objects portion and perforations for suspension. depicted wearing zoomorphic masks or described in the Designated List set Some feature bats, and rare examples display a mix of human and animal or forth below. Importation of material on have Olmecoid faces and features. supernatural traits. Some human figures this list is restricted unless the material Celtiform pendants can be made from play musical instruments such as flutes is accompanied by documentation whole-, half-, and even sixth-celt blanks. or drums, are surrounded by attendant certifying that the material left Costa Figure pendants may be carved into the figures, have square or round frames, or Rica legally and not in violation of the shape of ‘‘beak-birds,’’ ‘‘curly-tailed have dangling pendants. export laws of Costa Rica. animals,’’ humans, frogs, monkeys, C. Bells—Bells may be undecorated or The Designated List includes crocodiles, saurians, or bats. Some decorated with zoomorphic figures such archaeological materials in jade, gold human pendants wear masks or as monkeys or spiders. Complete bells and other metal, ceramics, stone, bone, headdresses. Staff-bearer pendants may have loose ceramic or stone resin, and shell ranging in date from depict a human wearing a mask or clappers. approximately 12,000 B.C. to A.D. 1550. headdress carrying a vertical staff D. Hammered ornaments—Hammered topped with a zoomorphic effigy. gold discs, chest plates, cuffs, diadems, Categories of Archaeological Material Horizontal zoomorphic pendants may ear spools, and beads may have I. Jade be double-ended, and horizontal bat embossed geometric, anthropomorphic, II. Gold and Other Metal pendants often emphasize wings that or zoomorphic motifs. III. Ceramic terminate in crocodile heads. Some E. Tools—Needles, fish hooks, IV. Stone pendants, imported to Costa Rica in tweezers, and punches may be made of V. Bone, Resin, and Shell antiquity, have incised Epi-Olmec or metal. Archaeological Material Maya carvings and hieroglyphic III. Ceramic Approximate chronology of well- inscriptions. B. Beads—Most jade beads are tubular Archaeological ceramics in Costa Rica known archaeological sites, traditions, in shape and vary in size. Large tubular are low-fired terracotta, typically coil- and cultures: Archaeological material beads may be up to approximately 50 and slab-built, but sometimes produced covered by the Agreement is associated cm long and have low-relief geometric using molds. Hollow mammiform, with indigenous groups living in Costa or zoomorphic carving. Disc-shaped rattle, figural, and slab tripod vessel Rica. The three main archaeological beads are also common. supports are common. Decorations can zones of Costa Rica are: Guanacaste C. Ear ornaments—Spool-shaped ear be monochrome, bichrome, trichrome, (also referred to as Greater Nicoya), flares may have openwork decoration in or polychrome made with slip, paint, Central Highlands-Atlantic (or the center. negative (or resist) paint, burnishing, Caribbean) Watershed, and the Southern D. Vessels—Miniature jade jars, often and polishing. The most common colors Zone (also referred to as Greater measuring about 6 cm tall, may be are brown, black, and red, but can Chiriquı´ or Diquı´s). The following round with little decoration or have two include white, orange, and purple. standardized periodization for lower zoomorphic or anthropomorphic heads Decorations, in addition to slips and 1 Central America is commonly used in on opposite sides. They often have paints, include impressions, incisions, the archaeology of Costa Rica: perforations for strings to keep lids in engraving, applique´, and modeling. (a) Period I (?–8000 B.C.) place. Most designs are geometric, linear, and/ (b) Period II (8000–4000 B.C.) E. Mace heads—Jade mace heads, or divided into zones. Common (c) Period III (4000–1000 B.C.) which may be carved into avian, bat, zoomorphic designs include felines, (d) Period IV (1000 B.C.–A.D. 500) feline, or anthropomorphic effigies, birds, crocodilians, saurians, marine (e) Period V (A.D. 500–1000) have large holes drilled in the center for animals, deer, monkeys, tapirs, and (f) Period VI (A.D. 1000–1550) mounting on staffs. peccaries. Humans may be depicted (g) European contact and Colonial wearing zoomorphic masks or as period (A.D. 1500–1821) 2 II. Gold and Other Metal composite figures with combined Most archaeological metal objects anthropomorphic and zoomorphic I. Jade from Costa Rica are personal ornaments features. Some female figures hold Archaeological jade objects may be made from gold or a gold-copper alloy infants. Other figures may be dressed in made from several types of stone such known as tumbaga or guanı´n. Objects ostentatious clothing and/or show as jadeite, jadeitite, serpentine, were produced by lost-wax casting or decapitated heads. omphacite, agate, chalcedony, jasper, cold hammering and annealing. Archaeological cultures in the three slate, opal, and quartz. These stones are Examples of archaeological gold and cultural zones of Costa Rica produced various shades of green, as well as other metal objects covered in the distinctly different styles, especially white, beige, brown, and black. Most bilateral agreement include, but are not after about A.D. 500. For example, well- jade objects were used for personal limited to, the following objects: known ceramics from the Guanacaste A. Zoomorphic pendants— zone have white- and salmon-colored 1 Lange, Frederick W., and Doris Stone. 1984. The Zoomorphic pendants most commonly slip with polychrome decoration, which Archaeology of Lower Central America. depict avians, crocodilians, saurians, may include distinctive blue-gray or Albuquerque: University of New Mexico Press. orange paints. Well-known ceramics 2 Import restrictions concerning European contact and snakes. Bats, butterflies, spiders, period archaeological material apply only to those frogs, felines, turtles, lobsters, crabs, from the Central and Atlantic (or objects dating to A.D. 1550 and earlier. fish, armadillos, and deer are also Caribbean) Watershed zone are
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monochrome or bichrome with incised F. Inhalers and pipes—Inhalers and anthropomorphic forms incorporated and molded decorations. The best- pipes may be single-tubed pipes or into the upper part. More delicate known ceramics from the Southern double-tubed nasal snuffers. manos may have a thin, flat grinding Zone are polychrome vessels with white G. Beads—Beads typically are small, surface with a zoomorphic figure slips decorated with geometric painting round, perforated objects intended to be serving as a handle. in black and red and fine-walled beige strung on cords. C. Biconical effigy seats—Hourglass- shaped seats may be decorated with or natural-colored ‘‘biscuit’’ ware with IV. Stone small molded decorations. modeling and relief carving depicting an Examples of archaeological ceramic Early chipped-stone tools mark the abstract crocodilian or saurian head and objects covered in the bilateral appearance of the first people to inhabit geometric designs. agreement include, but are not limited the region and continued to be used D. Bowls or receptacles—Stone bowls to, the following objects: throughout history. Highly skilled may be supported by anthropomorphic A. Vessels—Ceramic vessels include stoneworkers created elaborately carved or zoomorphic figures. Reclining figures stone sculpture from basalt and plates, bowls, jars, effigy vessels, and with a shallow bowl in the belly, andesite, volcanic stones common in incense burners. Plates have flat or sometimes called chacmools, can Costa Rica. The most common material slightly convex bases, sometimes with combine feline, raptorial, and snake is grey vesicular andesite, distinguished tripod supports. Bowls sometimes have features. by its rough surface. Examples of E. Figural sculpture—Free-standing tripod supports or annular supports. archaeological stone objects covered in sculpture depicts a variety of figures in Bowls may have decorated exteriors, the bilateral agreement include, but are various sizes. Anthropomorphic figures interiors, and rims with modeled not limited to, the following objects: typically about 30 cm tall wear decoration. Some bowls have A. Metates (grinding tables)—Both crocodilian masks, tubular bead anthropomorphic or zoomorphic forms. simple and elaborately carved flying- pendants, and multi-tiered headdresses. Jars, often called ollas, are globular panel metates and special-purpose lithic Stylized anthropomorphic peg-base vessels with short necks that may have platforms are typically made from figures, typically about 25–35 cm tall, tripod or annular supports. Some jars porous basalt. Forms may be often have a bifurcated tongue, hair are shoe-shaped or gourd-shaped, rectangular, oval, or circular. Tripod ending in snakes, and N-shaped feline neckless vessels called tecomates. Jars metates with curved rimless plates may incisors. Some carry trophy heads. may be decorated on the exterior with have elaborately carved low-relief Large, realistic anthropomorphic zoned paint, modeled decoration, or decoration on the underside of the plate figures, typically ranging in size from 50 linear paint depicting geometric designs featuring abstract designs, deities, and cm to 1 m, may be female figures or have human faces on the neck or animals; elaborately carved legs; and/or holding the breasts with brief girdles body. Effigy vessels are containers zoomorphic heads extending from the and plastered-down coiffures; bound, sculpted in human or animal forms, plate, especially felines, jaguars, naked male prisoners; or males sometimes with bridge-and-spout forms. monkeys, crocodiles, saurians, avians, displaying an axe and trophy head. Incense burners, or incensarios, may and canines. Metates with flat plates Small female and male figurines, have hemispherical bases and a and raised rims may have decorated typically about 12 cm tall, may grasp ventilated lid decorated with a modeled rims and have three cylindrical supports cylindrical shaped objects in each hand. crocodilian or saurian effigy. Skillet-like connected by ‘‘flying panels’’ with Seated human figures, known as sukias, incense burners may have zoomorphic open-carving depicting multiple human typically measure about 25 cm tall and handles. and/or animal figures, decapitated rest their elbows on their knees while B. Pot stands, stools, and griddles— human heads, and an anthropomorphic holding a tube to their mouths. Pot stands are flared, cylindrical objects central figure wearing a saurian or avian Independent human heads, known as that may have bases made from rings of mask. Tetrapod metates may have a trophy heads, may measure about 15 cm human figures and/or modeled birds. border of stylized human heads and tall and have varied facial features and Thick buff-colored pottery stools have supports that may be in the form of hair or hat motifs. Independent feline bases with modeled zoomorphic or human figures or human heads. Feline- heads may be decorated in low relief. anthropomorphic figures. Griddles, effigy metates typically have a head Rounded zoomorphic effigy figures of known as budares, have flat surfaces for extending from one end of the plate, a varied size usually depict felines, cooking. tail from the opposite end, and four though other animals like armadillos are C. Figurines—Anthropomorphic supports representing legs that may be also known. figurines include both solid and hollow connected by open-carving depicting F. Figure-decorated mortuary slabs— forms, the latter of which can include monkeys or other animals. Circular Thin, decorated slabs that probably rattles. Common forms include figures pedestal tables may have a single base stood vertically as grave markers may with flattened headdresses sometimes with vertical slots and small feline have a row of figures in low relief along seated on benches, female figurines figures or heads pendant from the table each side and openwork figures at the holding infants, and hunchbacks. surface. Plain, rimless metates typically top. D. Musical instruments—Musical have tripod supports. G. Petroglyphs—Petroglyphs typically instruments include maracas, rattles, B. Manos (handstones) and pestles— display carved motifs on one rock face ring-rattles, ocarinas, whistles, flutes, A mano or pestle can be a round, loaf- or on multiple sides of a stone. Most and drums. Ocarinas can be in the shape shaped, or cylindrical hand-held stone motifs are abstract geometric motifs, of humans, birds, turtles, and other used with a metate or mortar to often with spirals or rounded designs. animals. pulverize grains, tubers, spices, and Some petroglyphs include zoomorphic E. Stamps—Stamps may be roller medicinal plants. Manos and pestles engravings such as crocodilians, stamps or have one flat surface with a may have low-relief, zoomorphic or saurians, human faces, and human design for stamping or sealing. Surfaces geometric carving at one or both ends. figures. typically have deep, geometric Flared-head manos may have a finely H. Mace heads—Stone mace heads decorations that would transfer with abraded working surface. Stirrup- may be spherical or carved in the shape pigment to cloth or skin. shaped manos may have carved of human heads, human skulls, owls,
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bats, avians, canines, felines, or References List of Subjects in 19 CFR Part 12 saurians. National Museum of Costa Rica, Cultural property, Customs duties and I. Stone spheres—Stone spheres are Archaeological Collections: https:// inspection, Imports, Prohibited typically made of gabbro or granodiorite www.museocostarica.go.cr/nuestro- merchandise, Reporting and trabajo/colecciones/arqueologia/ but can also be made from limestone. recordkeeping requirements. Stone spheres range from less than 10 Inapplicability of Notice and Delayed cm up to about 2.6 m in diameter. Effective Date Amendment to CBP Regulations J. Polished stone tools—Polished This amendment involves a foreign For the reasons set forth above, part stone tools may include celts, chisels, affairs function of the United States and 12 of title 19 of the Code of Federal and hoes, typically ranging in size from is, therefore, being made without notice Regulations (19 CFR part 12), is 3 to 20 cm. Figure-decorated celts may or public procedure (5 U.S.C. 553(a)(1)). amended as set forth below: be made from various jades (discussed For the same reason, a delayed effective above) and volcanic stone. Bark beaters date is not required under 5 U.S.C. PART 12—SPECIAL CLASSES OF are oval plaques scored with deep 553(d)(3). MERCHANDISE incisions on one face. Regulatory Flexibility Act K. Chipped-stone tools—Chipped- ■ 1. The general authority citation for stone tools may include projectile Because no notice of proposed part 12 and the specific authority points, waisted axes, and other tools for rulemaking is required, the provisions citation for § 12.104g continue to read as scraping, cutting, or perforating. Early, of the Regulatory Flexibility Act (5 follows: U.S.C. 601 et seq.) do not apply. extremely rare Paleoindian and Archaic Authority: 5 U.S.C. 301; 19 U.S.C. 66, projectile points include Clovis and Executive Order 12866 1202 (General Note 3(i), Harmonized Tariff Fluted Fishtail points. CBP has determined that this Schedule of the United States (HTSUS)), V. Bone, Resin, and Shell document is not a regulation or rule 1624. subject to the provisions of Executive * * * * * Examples of archaeological bone, Order 12866 because it pertains to a Sections 12.104 through 12.104i also resin, and shell objects covered in the foreign affairs function of the United issued under 19 U.S.C. 2612; bilateral agreement include, but are not States, as described above, and therefore * * * * * limited to, the following objects. is specifically exempted by section ■ A. Personal ornaments—Pendants, ear 3(d)(2) of Executive Order 12866. 2. In § 12.104g, the table in paragraph (a) is amended by adding Costa Rica to spools, and beads typically are made Signing Authority from shell or bone. the list in alphabetical order to read as This regulation is being issued in follows: B. Figurines—Figurines made from accordance with 19 CFR 0.1(a)(1) resin may have gold sheathing. pertaining to the Secretary of the § 12.104g Specific items or categories C. Tools—Tools may include bone designated by agreements or emergency Treasury’s authority (or that of his/her actions. points and awls, burnishers, needles, delegate) to approve regulations related spatulas, and fishhooks. to customs revenue functions. (a) * * *
State party Cultural property Decision No.
******* Costa Rica ..... Archaeological material representing Costa Rica’s cultural heritage from approximately 12,000 B.C. to CBP Dec. 21–06. A.D. 1550.
*******
* * * * * purposes of publication in the Federal DEPARTMENT OF COMMERCE Troy A. Miller, the Senior Official Register. International Trade Administration Performing the Duties of the Robert F. Altneu, Commissioner, having reviewed and Director, Regulations & Disclosure Law 19 CFR Part 361 approved this document, is delegating Division, Regulations & Rulings, Office of the authority to electronically sign this Trade, U.S. Customs and Border Protection. [Docket No. 210326–0072 ] document to Robert F. Altneu, who is Approved: March 26, 2021. the Director of the Regulations and RIN 0625–AB18 Timothy E. Skud, Disclosure Law Division for CBP, for Deputy Assistant Secretary of the Treasury. Aluminum Import Monitoring and [FR Doc. 2021–06701 Filed 3–31–21; 8:45 am] Analysis System: Stay and Delay of Compliance Date BILLING CODE 9114–14–P AGENCY: Enforcement and Compliance, International Trade Administration, Department of Commerce. ACTION: Final rule; stay.
SUMMARY: The U.S. Department of Commerce (Commerce) is delaying
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compliance with the final rule, entitled comment, on the January 27 of aluminum product categories using ‘‘Aluminum Import Monitoring and notification, that closed on February 26, both publicly available import data and Analysis System,’’ by staying the 2021, on all aspects of the Final Rule data obtained from the aluminum regulations from March 29, 2021, until and the AIM system.2 licenses. June 28, 2021. Commerce will release Upon receipt and consideration of the Releasing the public AIM monitor, the public Aluminum Import public comment,3 Commerce has while delaying compliance with the Monitoring and Analysis (AIM) monitor determined that it is appropriate to license application system, is consistent on the AIM system website on March delay compliance with most aspects of with the historical release of the early 29, 2021. part 361 and the AIM system by an Steel Import Monitor and Analysis DATES: As of March 29, 2021, additional ninety days, by staying part (SIMA) monitor. When SIMA was first compliance with the final rule 361. This delay will allow Commerce launched in early 2003, an early version published December 23, 2020 at 85 FR time to finalize the license application of the SIMA monitor was released with 83804 and amended January 27, 2021 at system and to provide both the public only public data.4 This provided the 86 FR 7237 is delayed and 19 CFR part and U.S. Customs and Border Protection public some details about what the 361 is stayed until June 28, 2021. The (CBP) with sufficient advance notice of monitor may look like and created public AIM monitor will be released on the new compliance date. In addition, public interest in SIMA before the the AIM system website on March 29, the delay will allow Commerce to implementation of the license 2021. consider and respond, as appropriate, to application system. Commerce finds it the comments; Commerce intends to appropriate to adopt a similar approach ADDRESSES: The AIM system website is issue another notification addressing in this instance for the AIM system. https://www.trade.gov/aluminum. these comments prior to June 28, 2021. This is a significant rulemaking under Commerce will release the public AIM Therefore, unless otherwise Executive Order 12866 but it is not monitor using publicly available data announced, compliance for the majority economically significant. through this website on March 29, 2021. of part 361 and the AIM system will be More information can be found in the effective on June 28, 2021, meaning that List of subjects in 19 CFR Part 361 Final Rule and at https:// licenses will be required for all covered Administrative practice and www.trade.gov/updates-aluminum- aluminum imports on or after this date. procedure, Business and industry, import-licensing. Commerce is offering Additionally, the remaining portions of Imports, Reporting and recordkeeping virtual demonstrations of the public the regulations concerning the removal requirements, Aluminum. AIM monitor, which are available to the of the option to state ‘‘unknown’’ for For the reasons stated in the preamble general public. Although the certain fields on the aluminum license and under the authority of 13 U.S.C. demonstrations will be completely form will be effective on December 24, virtual, Commerce will have a limited 2021, as stated in the relevant sections 301(a) and 302, the Department of number of spots available for of part 361, unless otherwise Commerce stays 19 CFR part 361 until participation in the demonstrations. For announced. For further background and June 28, 2021. specific dates and times of the information, see the Final Rule. Further Dated: March 29, 2021. demonstrations, and to participate in guidance on licenses already issued and Christian Marsh, the demonstrations, please visit https:// the issuance of new licenses in the Acting Assistant Secretary for Enforcement www.trade.gov/updates-aluminum- intervening period before June 28, 2021 and Compliance. import-licensing. will be provided on the AIM system [FR Doc. 2021–06744 Filed 3–29–21; 4:15 pm] FOR FURTHER INFORMATION CONTACT: Julie website. BILLING CODE 3510–DS–P Al-Saadawi at (202) 482–1930 or Jessica Although Commerce is delaying Link at (202) 482–1411. compliance with the majority of part SUPPLEMENTARY INFORMATION: On 361 and the AIM system as described DEPARTMENT OF HEALTH AND December 23, 2020, Commerce above, Commerce is moving forward HUMAN SERVICES published ‘‘Aluminum Import with one aspect of the AIM system on Monitoring and Analysis System,’’ March 29, 2021. Specifically, Commerce Food and Drug Administration (Final Rule) establishing the AIM will release the public AIM monitor on system in part 361 that would be the AIM system website on March 29, 21 CFR Part 1 2021. When released, the public AIM comprised of an aluminum import [Docket No. FDA–2016–N–1487] licensing program and a public AIM monitor will provide information on U.S. imports of aluminum from all monitor, available through the AIM Electronic Import Entries; Technical countries by broad product categories in system website.1 On January 4, 2021, Amendments Commerce launched the AIM system both value and volume measures. The website (https://www.trade.gov/ public AIM monitor will initially only AGENCY: Food and Drug Administration, aluminum). The original effective date include publicly available import data, Department of Health and Human for part 361 was January 25, 2021, as the license information will not be Services (HHS). meaning that licenses would be required available. Once the license collection ACTION: Final rule; technical for all covered aluminum imports on or begins, and Commerce has had amendments. after this date. sufficient time to review the license On January 27, 2021, Commerce data, the public AIM monitor will report SUMMARY: The Food and Drug published a notification delaying the certain aggregate information on imports Administration (FDA, the Agency, or effective date of the AIM system until we) is amending its electronic import March 29, 2021, and opening a 30-day 2 Aluminum Import Monitoring and Analysis entries regulation to correct the System: Delay of Effective Date, 86 FR 7237 statutory citation in the sections of that comment period to solicit public (January 27, 2021). 3 These comments can be found by searching for regulation requiring submission of the 1 Aluminum Import Monitoring and Analysis the Final Rule (Docket No. ITA–2021–0001) on the System, 85 FR at 83804 (December 23, 2020) (Final Federal eRulemaking portal at http:// 4 Steel Import Licensing and Surge Monitoring, 67 Rule). www.regulations.gov. FR 79845 (Dec. 31, 2002).
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Drug Registration Number for human II. Description of the Technical List of Subjects in 21 CFR Part 1 drugs and for animal drugs. The present Amendments Cosmetics, Drugs, Exports, Food revisions are necessary to correct We are amending the electronic labeling, Imports, Labeling, Reporting editorial errors and to ensure that the and recordkeeping requirements. codified cites the correct section of the import entries regulation to revise the Federal Food, Drug, and Cosmetic Act statutory citation in the sections of that Therefore, under the Federal Food, (FD&C Act). The electronic import rule requiring submission of the Drug Drug, and Cosmetic Act, 21 CFR part 1 entries regulation provides that the Drug Registration Number for human drugs is amended as follows: regulated by FDA’s Center for Drug Registration Number, which must be PART 1—GENERAL ENFORCEMENT Evaluation and Research and Center for submitted at the time of entry in the REGULATIONS Automated Commercial Environment Biologics Evaluation and Research, and (ACE) or any other electronic data for animal drugs regulated by FDA’s ■ 1. The authority citation for part 1 interchange (EDI) system authorized by Center for Veterinary Medicine. The continues to read as follows: the U.S. Customs and Border Protection sections of the regulation specified in Agency (CBP), is the unique facility Authority: 15 U.S.C. 1333, 1453, 1454, this rule, specifically 21 CFR 1.74(a)(1), 1455, 4402; 19 U.S.C. 1490, 1491; 21 U.S.C. identifier specified in the FD&C Act. 1.75(a), and 1.78(d), have been revised 321, 331, 332, 333, 334, 335a, 342, 343, 350c, This rule does not impose any new to change the reference from section 350d, 350e, 350j, 350k, 352, 355, 360b, regulatory requirements on affected 510(b) of the FD&C Act to section 510 360ccc, 360ccc–1, 360ccc–2, 362, 371, 373, parties. This action is editorial in nature of the FD&C Act, which is the correct 374, 379j–31, 381, 382, 384, 384a, 384b, and is intended to improve the accuracy statutory citation. The rule does not 384d, 387, 387a, 387c, 393; 42 U.S.C. 216, of the Agency’s regulations. impose any new regulatory 241, 243, 262, 264, 271; Pub. L. 107–188, 116 Stat. 594, 668–69; Pub. L. 111–353, 124 Stat. DATES: This rule is effective April 1, requirements on affected parties. The 3885, 3889. 2021. amendments are editorial in nature and should not be construed as modifying ■ 2. Revise the third sentence of ADDRESSES: For access to the docket to any substantive standards or § 1.74(a)(1) to read as follows: read background documents or requirements. comments received, go to https:// § 1.74 Human drugs. www.regulations.gov and insert the III. Notice and Public Comment * * * * * docket number found in brackets in the (a) * * * heading of this final rule into the Publication of this document (1) *** The unique facility ‘‘Search’’ box and follow the prompts, constitutes final action of these changes identifier is the identifier submitted by and/or go to the Dockets Management under the Administrative Procedures a registrant in accordance with the Staff, 5630 Fishers Lane, Rm. 1061, Act (APA) (5 U.S.C. 553). Section 553 of system specified under section 510 of Rockville, MD 20852, 240–402–7500. the APA exempts ‘‘rules of agency the Federal Food, Drug, and Cosmetic organization, procedure, or practice’’ Act. * * * FOR FURTHER INFORMATION CONTACT: Ann from proposed rulemaking (i.e., notice * * * * * Metayer, Office of Regulatory Affairs, and comment rulemaking) (5 U.S.C. Food and Drug Administration, 10903 ■ 3. Revise the third sentence of 553(b)(3)(A)). Rules are also exempt New Hampshire Ave., Bldg. 32, Rm. § 1.75(a) to read as follows. when an Agency finds ‘‘good cause’’ 4375, Silver Spring, MD 20903–0002, that notice and comment rulemaking § 1.75 Animal drugs. 301–796–3324, Ann.Metayer@ fda.hhs.gov. procedures would be ‘‘impracticable, * * * * * unnecessary, or contrary to the public (a) * * * The Unique Facility SUPPLEMENTARY INFORMATION: interest’’ (5 U.S.C. 553(b)(3)(B).) Identifier is the identifier submitted by I. Background FDA has determined that this a registrant in accordance with the rulemaking meets the notice and system specified under section 510 of In the Federal Register of November comment exemption requirements in 5 the Federal Food, Drug, and Cosmetic 29, 2016 (81 FR 85854), FDA published U.S.C. 553(b)(3)(A) and (B). FDA’s Act. * * * a final rule that established revisions make technical or * * * * * requirements for the electronic filing of nonsubstantive changes that pertain ■ 4. Revise the last sentence of § 1.78(d) entries for FDA-regulated products in solely to ensuring that the regulations to read as follows. the ACE or any other EDI system accurately cite the FD&C Act. FDA does authorized by the CBP. The rule not believe public comment is necessary § 1.78 Biological products, HCT/Ps, and requires the submission of the Drug for these minor revisions. related drugs and medical devices. Registration Number for human and * * * * * The APA allows an effective date less animal drugs in ACE at the time of (d) *** The unique facility than 30 days after publication as entry. The Drug Registration Number identifier is the identifier submitted by that must be submitted at the time of ‘‘provided by the agency for good cause a registrant in accordance with the entry in ACE is the unique facility and published with the rule’’ (5 U.S.C. system specified under section 510 of identifier of the foreign establishment 553(d)(3)). A delayed effective date is the Federal Food, Drug, and Cosmetic where the human or animal drug was unnecessary in this case because the Act. amendments do not impose any new manufactured, prepared, propagated, * * * * * compounded, or processed before being regulatory requirements on affected imported or offered for import into the parties. As a result, affected parties do Dated: March 25, 2021. United States. The unique facility not need time to prepare before the rule Xavier Becerra, identifier is the identifier submitted by takes effect. Therefore, FDA finds good Secretary, Department of Health and Human a registrant in accordance with the cause for the amendments to become Services. system specified under section 510 of effective on the date of publication of [FR Doc. 2021–06679 Filed 3–31–21; 8:45 am] the FD&C Act (21 U.S.C. 360). this action. BILLING CODE 4164–01–P
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DEPARTMENT OF HEALTH AND 207.13, 207.49, and 207.53 (21 CFR ‘‘§ 207.1(b)’’ and adding in its place HUMAN SERVICES 207.1, 207.3, 207.13, 207.49, and ‘‘this section’’. 207.53) by replacing all cross-references Food and Drug Administration to ‘‘§ 207.1(b)’’ with ‘‘§ 207.1’’. § 207.3 [Amended] ■ 3. Amend § 207.3 by removing III. Notice and Public Comment 21 CFR Part 207 ‘‘§ 207.1(b)’’ and adding in its place Publication of this document ‘‘§ 207.1’’. [Docket No. FDA–2005–N–0464] constitutes final action on these changes § 207.13 [Amended] RIN 0910–AA49 under the Administrative Procedure Act (APA) (5 U.S.C. 553). Section 553 of the ■ 4. Amend § 207.13(l)(1) by removing Requirements for Foreign and APA exempts ‘‘rules of agency ‘‘§ 207.1(b)’’ and adding in its place Domestic Establishment Registration organization, procedure, or practice’’ ‘‘§ 207.1’’. and Listing for Human Drugs, from proposed rulemaking (i.e., notice Including Drugs That Are Regulated and comment rulemaking) (5 U.S.C. § 207.49 [Amended] Under a Biologics License Application, 553(b)(3)(A)). Rules are also exempt ■ 5. Amend § 207.49(a)(15)(i), and Animal Drugs; Corrections when an Agency finds ‘‘good cause’’ (a)(15)(ii)(A) and (B), and (a)(15)(iii)(A) that notice and comment rulemaking AGENCY: Food and Drug Administration, and (B) by removing ‘‘§ 207.1(b)’’ and procedures would be ‘‘impracticable, adding in its place ‘‘§ 207.1’’. Department of Health and Human unnecessary, or contrary to the public Services (HHS). interest’’ (5 U.S.C. 553(b)(3)(B).) § 207.53 [Amended] ACTION: Final rule; correcting FDA has determined that this ■ 6. Amend § 207.53(d)(1), (d)(2)(i) and amendments. rulemaking meets the notice and (ii), and (d)(3)(i) and (ii) by removing comment exemption requirements in 5 SUMMARY: On August 31, 2016, the Food ‘‘§ 207.1(b)’’ and adding in its place U.S.C. 553(b)(3)(A) and (B). FDA’s ‘‘§ 207.1’’. and Drug Administration (FDA or revisions make only technical changes Agency) published an amended final to correct inaccurate cross-references. Dated: March 25, 2021. rule that listed inaccurate cross- FDA does not believe public comment Xavier Becerra, references to FDA’s drug establishment is necessary for these minor revisions. Secretary, Department of Health and Human registration and drug listing regulations. The APA allows an effective date less Services. This document corrects the inaccurate than 30 days after publication as [FR Doc. 2021–06677 Filed 3–31–21; 8:45 am] cross-references used in the final ‘‘provided by the agency for good cause BILLING CODE 4164–01–P regulations. and published with the rule’’ (5 U.S.C. DATES: This rule is effective April 1, 553(d)(3)). A delayed effective date is 2021. unnecessary in this case because the DEPARTMENT OF HEALTH AND amendments do not impose any new HUMAN SERVICES FOR FURTHER INFORMATION CONTACT: regulatory requirements on affected Florine Purdie, Center for Drug parties. As a result, affected parties do Food and Drug Administration Evaluation and Research, Food and not need time to prepare before the rule Drug Administration, 10903 New takes effect. Therefore, FDA finds good 21 CFR Parts 510, 520, 522, 524, 528, Hampshire Ave., Bldg. 51, Rm. 6248, cause for the amendments to become and 558 Silver Spring, MD 20993–0002, 301– effective on the date of publication of 796–3521. this action. [Docket No. FDA–2020–N–0002] SUPPLEMENTARY INFORMATION: List of Subjects in 21 CFR Part 207 New Animal Drugs; Approval of New I. Background Drugs, Reporting and recordkeeping Animal Drug Applications In the Federal Register of October 31, requirements. AGENCY: Food and Drug Administration, 2016 (81 FR 60170), FDA published the Therefore, under the Federal Food, final rule entitled ‘‘Requirements for Department of Health and Human Drug, and Cosmetic Act, 21 CFR part Services. Foreign and Domestic Establishment 207 is amended as follows: Registration and Listing for Human ACTION: Final rule; technical Drugs, Including Drugs That Are PART 207—REQUIREMENTS FOR amendments. Regulated Under a Biologics License FOREIGN AND DOMESTIC SUMMARY: Application, and Animal Drugs.’’ That ESTABLISHMENT REGISTRATION The Food and Drug final rule amended current regulations AND LISTING FOR HUMAN DRUGS, Administration (FDA or we) is in part 207 (21 CFR part 207) INCLUDING DRUGS THAT ARE amending the animal drug regulations to concerning who must register REGULATED UNDER A BIOLOGICS reflect application-related actions for establishments and list human drugs, LICENSE APPLICATION, AND ANIMAL new animal drug applications (NADAs) human drugs that are also biological DRUGS, AND THE NATIONAL DRUG and abbreviated new animal drug products, and animal drugs. CODE applications (ANADAs) during October, November, and December 2020. FDA is II. Description of the Technical ■ 1. The authority citation for part 207 informing the public of the availability Amendments continues to read as follows: of summaries of the basis of approval and of environmental review FDA is amending its regulations in Authority: 21 U.S.C. 321, 331, 351, 352, part 207 to correct inaccurate cross- 355, 360, 360b, 371, 374, 381, 393; 42 U.S.C. documents, where applicable. The references used in the August 31, 2016, 262, 264, 271. animal drug regulations are also being final rule. This document amends the amended to improve the accuracy and Agency’s regulations in part 207 § 207.1 [Amended] readability of the regulations. through minor technical amendments to ■ 2. Amend § 207.1 in the definition of DATES: This rule is effective April 1, update references in §§ 207.1, 207.3, Bulk drug substance by removing 2021.
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FOR FURTHER INFORMATION CONTACT: FDA is informing the public of the between 9 a.m. and 4 p.m., Monday George K. Haibel, Center for Veterinary availability, where applicable, of through Friday, 240–402–7500. Persons Medicine (HFV–6), Food and Drug documentation of environmental review with access to the internet may obtain Administration, 7500 Standish Pl., required under the National these documents at the CVM FOIA Rockville, MD 20855, 240–402–5689, Environmental Policy Act (NEPA) and, Electronic Reading Room: https:// [email protected]. for actions requiring review of safety or www.fda.gov/about-fda/center- SUPPLEMENTARY INFORMATION: effectiveness data, summaries of the veterinary-medicine/cvm-foia- basis of approval (FOI Summaries) electronic-reading-room. Marketing I. Approvals under the Freedom of Information Act exclusivity and patent information may FDA is amending the animal drug (FOIA). These public documents may be be accessed in FDA’s publication, regulations to reflect approval actions seen in the office of the Dockets Approved Animal Drug Products Online for NADAs and ANADAs during Management Staff (HFA–305), Food and (Green Book) at: https://www.fda.gov/ October, November, and December Drug Administration, 5630 Fishers animal-veterinary/products/approved- 2020, as listed in table 1. In addition, Lane, Rm. 1061, Rockville, MD 20852, animal-drug-products-green-book.
TABLE 1—ORIGINAL AND SUPPLEMENTAL NADAS AND ANADAS APPROVED DURING OCTOBER, NOVEMBER, AND DECEMBER 2020
Product Public Approval date File No. Sponsor name Species Effect of the action documents
October 16, 2020 ...... 141–536 Elanco US Inc., 2500 ELURA Dogs and cats ...... Original approval for FOI Summary. Innovation Way, (caprom- management of Greenfield, IN 46140. orelin weight loss in cats oral solu- with chronic kidney tion). disease. October 29, 2020 ...... 200–692 Virbac AH, Inc., P.O. CYCLAVA- Dogs ...... Original approval as a FOI Summary. Box 162059, Fort NCE generic copy of Worth, TX 76161. (cyclosp- NADA 141–218. orine oral solution) USP MODI- FIED. November 16, 2020 ...... 141–541 QBiotics Group Ltd., STELFON- Dogs ...... Original approval for FOI Summary. Suite 3A, Level 1, TA the treatment of non- 165 Moggill Rd., (tigilanol metastatic cutaneous Taringa, Queensland tiglate in- mast cell tumors and 4068, Australia. jection). non-metastatic sub- cutaneous mast cell tumors located at or distal to the elbow or the hock in dogs. November 25, 2020 ...... 200–557 Dechra Veterinary TZED Dogs ...... Supplemental approval FOI Summary. Products LLC, 7015 (tiletamin- for an intravenous College Blvd., Suite e and route. 525, Overland Park, zolazepa- KS 66211. m for in- jection). December 14, 2020 ...... 141–542 Revivicor, Inc., a wholly pPL657 Swine ...... Original approval for an FOI Summary. owned subsidiary of rDNA intentional genomic United Therapeutics construct alteration in domestic Corp., 1700 Kraft Dr., in do- pigs. Suite 2400, mestic Blacksburg, VA pigs. 24060. December 16, 2020 ...... 200–696 Bimeda Animal Health SELASPOT Dogs and cats ...... Original approval as a FOI Summary. Ltd., 1B The Herbert (selamec- generic copy of Building, The Park, tin) Top- NADA 141–152. Carrickmines, Dublin ical Solu- 18, Ireland. tion.
As provided in the regulatory text, the II. Technical Amendments • 21 CFR 558.342 is amended to animal drug regulations are amended to FDA is making the following reformat special considerations for reflect these approval actions. As they amendments to improve the accuracy, labeling and manufacture of are now the sponsor of an approved consistency, and readability of the melengestrol medicated feeds. application, QBiotics Group Ltd. and animal drug regulations: • Typographical errors are being Revivicor, Inc. will be added to the list • 21 CFR 558.128 is amended to corrected wherever they have been of sponsors of approved applications in reflect the sponsors of approved found. 21 CFR 510.600(c). conditions of use for chlortetracycline in beef cattle.
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III. Legal Authority particular applicability.’’ Therefore, it is authority delegated to the Commissioner This rule sets forth technical not subject to the congressional review of Food and Drugs, 21 CFR parts 510, amendments to the regulations to codify requirements in 5 U.S.C. 801–808. 520, 522, 524, 528, and 558 are recent actions on approved new animal Likewise, this is not a rule subject to amended as follows: Executive Order 12866, which defines a drug applications and corrections to PART 510—NEW ANIMAL DRUGS improve the accuracy of the regulations, rule as ‘‘an agency statement of general applicability and future effect, which and as such does not impose any burden ■ the agency intends to have the force and 1. The authority citation for part 510 on regulated entities. This rule is issued continues to read as follows: under section 512(i) of the Federal effect of law, that is designed to Food, Drug, and Cosmetic Act (FD&C implement, interpret, or prescribe law Authority: 21 U.S.C. 321, 331, 351, 352, Act) (21 U.S.C. 360b(i)), which requires or policy or to describe the procedure or 353, 360b, 371, 379e. Federal Register publication of the practice requirements of an agency.’’ ■ 2. In § 510.600: conditions of use of an approved or List of Subjects ■ a. In the table in paragraph (c)(1), add conditionally approved new animal entries for ‘‘QBiotics Group Ltd.’’ and drug and the name and address of the 21 CFR Part 510 ‘‘Revivicor, Inc.’’ in alphabetical order; drug′s sponsor in a ‘‘notice, which upon Administrative practice and and publication shall be effective as a procedure, Animal drugs, Labeling, ■ b. In the table in paragraph (c)(2), add regulation.’’ A notice published Reporting and recordkeeping entries for ‘‘086132’’ and ‘‘086134’’ in pursuant to section 512(i) is not subject requirements. numerical order. to the notice-and-comment rulemaking 21 CFR Parts 520, 522, 524, and 528 The additions read as follows: requirements of the Administrative Procedure Act, 5 U.S.C. 551 et seq. See Animal drugs. § 510.600 Names, addresses, and drug labeler codes of sponsors of approved section 512(i) of the FD&C Act; 21 CFR 21 CFR Part 558 10.40(e)(3); S. Rep. 90–1308, at 5 (1968). applications. This document does not meet the Animal drugs, Animal feeds. * * * * * definition of ‘‘rule’’ in 5 U.S.C. Therefore, under the Federal Food, (c) * * * 804(3)(A) because it is a ‘‘rule of Drug, and Cosmetic Act and under (1) * * *
Drug Firm name and address labeler code
******* QBiotics Group Ltd., Suite 3A, Level 1, 165 Moggill Rd., Taringa, Queensland 4068, Australia ...... 086132
******* Revivicor, Inc., a wholly owned subsidiary of United Therapeutics Corp., 1700 Kraft Dr., Suite 2400, Blacksburg, VA 24060 ...... 086134
*******
(2) * * *
Drug labeler code Firm name and address
******* 086132 ...... QBiotics Group Ltd., Suite 3A, Level 1, 165 Moggill Rd., Taringa, Queensland 4068, Australia 086134 ...... Revivicor, Inc., a wholly owned subsidiary of United Therapeutics Corp., 1700 Kraft Dr., Suite 2400, Blacksburg, VA 24060
*******
PART 520—ORAL DOSAGE FORM (2) 20 mg capromorelin. (i) Amount. Administer 2 mg/kg once NEW ANIMAL DRUGS * * * * * daily by mouth. (c) Conditions of use—(1) Dogs. Use (ii) Indications for use. For ■ 3. The authority citation for part 520 product described in paragraph (a)(1) of management of weight loss in cats with continues to read as follows: this section as follows: chronic kidney disease. Authority: 21 U.S.C. 360b. (i) Amount. Administer 3 mg/kg once (iii) Limitations. Federal law restricts daily by mouth. ■ 4. In § 520.292, revise paragraphs (a) this drug to use by or on the order of (ii) Indications for use. For appetite a licensed veterinarian. and (c) to read as follows: stimulation in dogs. (iii) Limitations. Federal law restricts ■ 5. In § 520.522, add paragraph (b)(3) to § 520.292 Capromorelin. this drug to use by or on the order of read as follows: (a) Specifications. Each milliliter of a licensed veterinarian. solution contains: (2) Cats. Use product described in § 520.522 Cyclosporine. (1) 30 milligrams (mg) capromorelin; paragraph (a)(2) of this section as * * * * * or follows: (b) * * *
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(3) No. 051311 for use of product (2) No. 051311 for use as in § 528.2001 pPL657 recombinant described in paragraph (a)(2) of this paragraphs (c)(1)(i)(A), (c)(1)(ii)(A), deoxyribonucleic acid construct. section as in paragraph (d)(1) of this (c)(1)(iii), and (c)(2) of this section. (a) Specifications. pPL657 in the section. * * * * * glycoprotein galactosyltransferase * * * * * alpha-1,3 (GGTA1) gene in domestic PART 524—OPHTHALMIC AND pigs. PART 522—IMPLANTATION OR TOPICAL DOSAGE FORM NEW (b) Sponsor. See No. 086134 in INJECTABLE DOSAGE FORM NEW ANIMAL DRUGS § 510.600(c) of this chapter. ANIMAL DRUGS (c) Conditions of use—(1) Intended ■ 9. The authority citation for part 524 use. pPL657 rDNA construct in the ■ 6. The authority citation for part 522 continues to read as follows: glycoprotein galactosyltransferase continues to read as follows: Authority: 21 U.S.C. 360b. alpha-1,3 gene (GGTA1) in the lineage Authority: 21 U.S.C. 360b. of domestic pigs (Sus scrofa domesticus) ■ 10. In § 524.2098: hemizygous and homozygous for the ■ 7. Add § 522.2450 to read as follows: ■ a. Revise paragraphs (a) and (b); intentional genomic alteration resulting in undetectable endogenous galactose § 522.2450 Tigilanol. ■ b. Remove paragraph (c) and redesignate paragraph (d) as paragraph alpha-1,3-galactose sugar residues on (a) Specifications. Each milliliter (mL) (c); and biological derivatives of domestic pigs of solution contains 1 milligram ■ homozygous for the intentional genomic tigilanol tiglate. c. Revise newly redesignated paragraph (c)(1). alteration lineage that are intended to be (b) Sponsor. See No. 086132 in used as sources of food or human § 510.600(c) of this chapter. The revisions read as follows: therapeutics including excipients, (c) Conditions of use in dogs—(1) § 524.2098 Selamectin. devices, drugs, or biological products. Amount. Administer as an intratumoral (2) Limitations. Pigs of this lineage (a) Specifications. Each milliliter (possessing the intentional genomic injection at a dose of 0.5 mL per cubic contains 60 or 120 milligrams (mg) of centimeter of tumor volume. alteration (pPL657 rDNA construct)) selamectin. should not be treated with (2) Indications for use. For the (b) Sponsors. See Nos. 054771, treatment of non-metastatic cutaneous aminoglycoside drugs and must only be 055529, 061133, and 061651 in housed in physically contained facilities mast cell tumors and non-metastatic § 510.600(c) of this chapter. subcutaneous mast cell tumors located specified in the approved application. at or distal to the elbow or the hock in (c) * * * (1) Amount. Administer topically 2.7 PART 558—NEW ANIMAL DRUGS FOR dogs. USE IN ANIMAL FEEDS (3) Limitations. Federal law restricts mg of selamectin per pound (6 mg per kilogram) of body weight. this drug to use by or on the order of ■ 13. The authority citation for part 558 a licensed veterinarian. * * * * * continues to read as follows: ■ 8. In § 522.2470, revise paragraphs PART 528—NEW ANIMAL DRUGS IN Authority: 21 U.S.C. 354, 360b, 360ccc, (b)(1) and (2) to read as follows: GENETICALLY ENGINEERED 360ccc-1, 371. ■ § 522.2470 Tiletamine and zolazepam for ANIMALS 14. In § 558.128, revise paragraph injection. (e)(4)(xv) to read as follows: ■ 11. The authority citation for part 528 * * * * * continues to read as follows: § 558.128 Chlortetracycline. (b) * * * Authority: 21 U.S.C. 360b. * * * * * (1) Nos. 026637 and 054771 for use as (e) * * * in paragraph (c) of this section. ■ 12 Add § 528.2001 to read as follows: (4) * * *
Com- Chlor- bination tetracy- in Indications for use Limitations Sponsor cline grams/ amount ton
******* (xv) 350 1. Beef cattle: For control of bac- Withdrawal periods: To sponsor No. 054771 under NADAs 046–699 054771 mg/ terial pneumonia associated with and 049–287, No. 066104 under NADA 092–286, and No. 069254 066104 head/ shipping fever complex caused under NADA 048–480: Withdraw 48 hours prior to slaughter. To 069254 day. by Pasteurella spp. susceptible sponsor No. 069254 under NADA 138–935 and ANADA 200–510: to chlortetracycline. Zero withdrawal period...... 2. Beef cattle (under 700 lb): For Withdrawal periods: To sponsor No. 054771 under NADAs 046–699 054771 control of active infection of and 049–287, No. 066104 under NADA 092–286, and No. 069254 066104 anaplasmosis caused by A. under NADA 048–480: Withdraw 48 hours prior to slaughter. To 069254 marginale susceptible to chlor- sponsor No. 054771 under NADA 048–761 and No. 069254 under tetracycline. NADA 138–935 and ANADA 200–510: Zero withdrawal period.
*******
* * * * * ■ a. Revise paragraphs (d)(3) through ■ b. Remove paragraphs (d)(7) and (8). ■ 15. In § 558.342: (6); and The revisions read as follows:
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§ 558.342 Melengestrol. SUPPLEMENTARY INFORMATION: comment rulemaking procedures would be ‘‘impracticable, unnecessary, or * * * * * I. Background (d) * * * contrary to the public interest’’ (5 U.S.C. (3) Liquid or dry combination Type B FDA’s Center for Devices and 553(b)(3)(B)). or C medicated feeds containing Radiological Health (CDRH) has FDA has determined that this melengestrol acetate and lasalocid must reorganized to create an agile rulemaking meets the notice and be labeled in accordance with infrastructure that can adapt to future comment exemption requirements in 5 § 558.311(d). organizational, regulatory, and scientific U.S.C. 553(b)(3)(A) and (B). FDA’s (4) Liquid or dry combination Type B needs (84 FR 22854, May 20, 2019; 85 revisions make technical or non- or C medicated feeds containing FR 18439, April 2, 2020). The newly substantive changes that pertain solely melengestrol acetate and monensin formed Office of Product Evaluation and to the CDRH reorganization and do not must be labeled in accordance with Quality (OPEQ) combined the former alter any substantive standard. FDA § 558.355(d). Office of Compliance, the Office of does not believe public comment is (5) Liquid combination Type B or C Device Evaluation, the Office of necessary for these minor revisions. medicated feeds containing Surveillance and Biometrics, and the The APA allows an effective date less melengestrol acetate and tylosin must be Office of In Vitro Diagnostics and than 30 days after publication as manufactured in accordance with Radiological Health, with a focus on a ‘‘provided by the agency for good cause § 558.625(d). Total Product Lifecycle (TPLC) found and published with the rule’’ (5 (6) Liquid melengestrol acetate may approach to medical device oversight. U.S.C. 553(d)(3)). A delayed effective not be mixed with oxytetracycline in a Within OPEQ there are Offices of Health date is unnecessary in this case because common liquid feed supplement. Technology that focus on the TPLC the amendments do not impose any new * * * * * review of specific types of medical regulatory requirements on affected devices as well as cross-cutting offices parties. As a result, affected parties do Dated: March 19, 2021. focusing on specific policy and Lauren K. Roth, not need time to prepare before the rule programmatic needs including the takes effect. Therefore, FDA finds good Acting Principal Associate Commissioner for Office of Regulatory Programs and the Policy. cause for the amendments to become Office of Clinical Evidence and effective on the date of publication of [FR Doc. 2021–06704 Filed 3–31–21; 8:45 am] Analysis. As part of this technical this action. BILLING CODE 4164–01–P amendment, we are making changes to correct a reference to an obsolete office List of Subjects in 21 CFR Part 821 and to correctly identify the positions Imports, Medical devices, Reporting DEPARTMENT OF HEALTH AND with authority to make decisions on and recordkeeping requirements. HUMAN SERVICES exemptions and variances from tracking Therefore, under the Federal Food, orders. This change is nonsubstantive Food and Drug Administration Drug, and Cosmetic Act, 21 CFR part and editorial in nature. 821 is amended as follows. 21 CFR Part 821 II. Description of the Technical Amendments PART 821—MEDICAL DEVICE [Docket No. FDA–2021–N–0246] TRACKING REQUIREMENTS The regulations specified in this rule Medical Devices; Technical have been revised to make a non- ■ 1. The authority citation for part 821 Amendments substantive editorial change to correct continues to read as follows: ‘‘Director of the Office of Regulatory AGENCY: Authority: 21 U.S.C. 331, 351, 352, 360, Food and Drug Administration, Program’’ to ‘‘Director or Principal 360e, 360h, 360i, 371, 374. Department of Health and Human Deputy Director of the Office of Product Services (HHS). Evaluation and Quality’’ and replace a ■ 2. In § 821.2, revise paragraphs (b) ACTION: Final rule; technical reference to ‘‘Director, Office of introductory text and (c) to read as amendments. Compliance’’ with ‘‘Director or Deputy follows: SUMMARY: The Food and Drug Directors, CDRH, or the Director or § 821.2 Exemptions and variances. Administration (FDA, the Agency, or Principal Deputy Director of the Office of Product Evaluation and Quality.’’ The * * * * * we) is amending its medical device (b) A request for an exemption or regulations to make an editorial rule does not impose any new regulatory requirements on affected variance shall be submitted in the form nonsubstantive change and replace a of a petition under § 10.30 of this reference to an obsolete office with parties. The amendments are editorial in nature and should not be construed as chapter and shall comply with the updated information. The rule does not requirements set out therein, except that impose any new regulatory modifying any substantive standards or requirements. a response shall be issued in 90 days. requirements on affected parties. This The Director or Deputy Directors, action is editorial in nature and is III. Notice and Public Comment CDRH, or the Director or Principal intended to improve the accuracy of the Publication of this document Deputy Director of the Office of Product Agency’s regulations. constitutes final action of these changes Evaluation and Quality, CDRH, shall DATES: This rule is effective April 1, under the Administrative Procedure Act issue responses to requests under this 2021. (5 U.S.C. 553). Section 553 of the section. The petition shall also contain FOR FURTHER INFORMATION CONTACT: Administrative Procedure Act (APA) the following: Madhusoodana Nambiar, Office of exempts ‘‘rules of agency organization, * * * * * Policy, Center for Devices and procedure, or practice’’ from proposed (c) An exemption or variance is not Radiological Health, 10903 New rulemaking (i.e., notice and comment effective until the Director or Deputy Hampshire Ave., Bldg. 66, Rm. 5519, rulemaking) (5 U.S.C. 553(b)(3)(A)). Directors, CDRH, or the Director or Silver Spring, MD 20993–0002, 301– Rules are also exempt when an Agency Principal Deputy Director of the Office 796–5837. finds ‘‘good cause’’ that notice and of Product Evaluation and Quality,
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CDRH, approves the request under Agency Guidance Documents,’’ signed 13992, PBGC amends title 29, chapter § 10.30(e)(2)(i) of this chapter. by President Trump on October 9, 2019. XL, subchapter L of the Code of Federal Dated: March 25, 2021. As required by the E.O., this rule Regulations by removing part 4908. Xavier Becerra, contained policy and requirements for Issued in Washington, DC. issuing, modifying, withdrawing, and Secretary, Department of Health and Human Gordon Hartogensis, using guidance; making guidance Services. Director, Pension Benefit Guaranty available to the public; a notice and Corporation. [FR Doc. 2021–06681 Filed 3–31–21; 8:45 am] comment process for significant BILLING CODE 4164–01–P guidance; and taking and responding to [FR Doc. 2021–06734 Filed 3–31–21; 8:45 am] petitions about guidance (85 FR 52481). BILLING CODE 7709–02–P On January 20, 2021, President Biden PENSION BENEFIT GUARANTY issued E.O. 13992, ‘‘Revocation of CORPORATION Certain Executive Orders Concerning DEPARTMENT OF HOMELAND Federal Regulation’’ which, among other SECURITY 29 CFR Part 4908 things, revoked E.O. 13891 and directed Coast Guard RIN 1212–AB52 agencies to promptly take steps to rescind any orders, rules, regulations, 33 CFR Part 165 Rescission of Pension Benefit guidelines, or policies, or portions Guaranty Corporation Rule on thereof, implementing or enforcing the [Docket Number USCG–2021–0155] Guidance Executive orders. In accordance with RIN 1625–AA87 E.O. 13992, PBGC is issuing this final AGENCY: Pension Benefit Guaranty rule, which rescinds the rule on Corporation. Security Zone; Cleveland Harbor, procedures for PBGC guidance Cleveland, OH ACTION: Final rule; rescission of documents published at 85 FR 52481. regulations. AGENCY: Coast Guard, Department of II. Final Rule Homeland Security (DHS). SUMMARY: On August 26, 2020, the PBGC has determined that this rule is ACTION: Temporary final rule. Pension Benefit Guaranty Corporation suitable for final rulemaking. The (PBGC) published a final rule on revisions to PBGC’s policies and SUMMARY: The Coast Guard is guidance implementing an Executive requirements surrounding guidance are establishing a temporary security zone order entitled ‘‘Promoting the Rule of purely internal matters of agency for navigable waters surrounding the Law Through Improved Agency management, as well as the agency’s Port of Cleveland, First Energy Stadium, Guidance Documents,’’ and providing organization, procedure, and practice. The Rock and Roll Hall of Fame, and policy and requirements for issuing, Accordingly, as with the August 2020 Voinovich Bicentennial Park from east modifying, withdrawing, and using final rule, PBGC is not required to of the Cuyahoga River entrance to west guidance; making guidance available to engage in a notice and comment process of the Voinovich Bicentennial Park and the public; a notice and comment to issue this rule under the outward from shore, including inlets, to process for significant guidance; and Administrative Procedure Act. See 5 the navigation channel as marked by taking and responding to petitions about U.S.C. 553(a)(2), 553(b)(A). navigation buoys, but not including the guidance. In accordance with the Furthermore, because this rule is channel. The security zone is needed to ‘‘Executive Order on Revocation of procedural rather than substantive, the protect the public, participants, and Certain Executive Orders Concerning normal requirement of 5 U.S.C. 553(d) spectators of the 2021 NFL Draft from Federal Regulation,’’ issued by that a rule not be effective until at least terrorist and similar criminal acts, President Biden on January 20, 2021, 30 days after publication in the Federal accidents, or other incidents detrimental this final rule rescinds PBGC’s rule on Register is inapplicable. PBGC also to public safety. Entry of persons, guidance. finds good cause to provide an vessels or objects into this zone when DATES: This final rule is effective April immediate effective date for this rule under enforcement is prohibited unless 1, 2021. because it imposes no obligations on specifically authorized by the Captain of FOR FURTHER INFORMATION CONTACT: parties outside the federal government the Port Buffalo or her representative. Hilary Duke ([email protected]), and therefore no advance notice is DATES: This rule is effective from 8 a.m. Assistant General Counsel for required to enable employers or other on April 29, 2021, through 11:59 p.m. Regulatory Affairs, Office of the General private parties to come into compliance. on May 1, 2021. Counsel, Pension Benefit Guaranty List of Subjects in 29 CFR Part 4908 ADDRESSES: To view documents Corporation, 1200 K Street NW, mentioned in this preamble as being Washington, DC 20005–4026; 202–229– Administrative practice and available in the docket, go to https:// 3839. (TTY users may call the Federal procedure, Employee benefit plans, www.regulations.gov, type USCG–2021– Relay Service toll-free at 800–877–8339 Organization and functions 0155 in the ‘‘SEARCH’’ box and click and ask to be connected to 202–229– (Government agencies), Pension ‘‘SEARCH.’’ Click on Open Docket 3839.) insurance. Folder on the line associated with this SUPPLEMENTARY INFORMATION: PART 4908—[REMOVED] rule. FOR FURTHER INFORMATION CONTACT: If I. Discussion ■ For the reasons discussed in the you have questions on this rule, call or On August 26, 2020, the Pension preamble, and under the authority of email Petty Officer Natalie Smith, Benefit Guaranty Corporation (PBGC) section 4002(b)(3) of the Employee Waterways Management Division, U.S. published a final rule on procedures for Retirement Income Security Act of 1974 Coast Guard Marine Safety Unit PBGC guidance documents (ERISA), which authorizes PBGC to Cleveland; telephone 216–937–6007, implementing E.O. 13891, ‘‘Promoting issue regulations to carry out the email D09-SMB-MSUCleveland-WWM@ the Rule of Law Through Improved purposes of title IV of ERISA, and E.O. uscg.mil.
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SUPPLEMENTARY INFORMATION: expected to draw large crowds in a This regulatory action determination concentrated area. Hazards include is based on the size, location, duration, I. Table of Abbreviations potential security threats, violent or and time-of-year of the security zone. CFR Code of Federal Regulations disruptive public disorder, delivery of a Vessel traffic will be able to safely COTP Captain of the Port weapon of mass destruction, launch of transit around the security zone, which DHS Department of Homeland Security a stand-off attack weapon, delivery of an will impact a small designated area and FR Federal Register armed assault force, or other similar will be enforced only during the event NFL National Football League NOAA National Oceanic and Atmospheric criminal act or accident. This rule is and event-related activities. The Administration needed to protect people, vessels, security zone is in a location where NPRM Notice of proposed rulemaking property, and the marine environment commercial vessel traffic is expected to § Section in the navigable waters within the be minimal during enforcement and U.S.C. United States Code security zone at various times navigation channels will remain open VHF-FM Very High Frequency-Frequency throughout the event. and outside the zone; additionally, Modulated vessel traffic would be authorized to IV. Discussion of the Rule II. Background Information and transit the security zones to the extent Regulatory History From April 29, 2021, through May 1, compatible with public safety and security; persons and vessels would be The Coast Guard is issuing this 2021, the 2021 NFL Draft will be held in Cleveland, Ohio. The primary venue able to operate in the surrounding area temporary rule without prior notice and adjacent to the security zone during the opportunity to comment pursuant to for the 2021 NFL Draft is First Energy Stadium, which is adjacent or proximate enforcement period; persons and vessels authority under section 4(a) of the would be able to enter or remain within Administrative Procedure Act (APA) (5 to Cleveland Harbor and Lake Erie. A secondary venue hosting NFL Draft- the security zone if authorized by the U.S.C. 553(b)). This provision COTP Buffalo or a designated authorizes an agency to issue a rule related activities includes the Rock and Roll Hall of Fame and surrounding open representative. Moreover, the Coast without prior notice and opportunity to Guard will issue Broadcast Notice to comment when the agency for good areas adjacent to the water. The security zone will cover all navigable waters Mariners via VHF-FM marine channel cause finds that those procedures are 16 about the zone and the rule allows ‘‘impracticable, unnecessary, or contrary surrounding the Port of Cleveland, First Energy Stadium, The Rock and Roll Hall vessels to seek permission to enter the to the public interest.’’ Under 5 U.S.C. zone. 553(b)(B), the Coast Guard finds that of Fame and Voinovich Bicentennial good cause exists for not publishing a Park from east of the Cuyahoga River B. Impact on Small Entities notice of proposed rulemaking (NPRM) entrance to west of the Voinovich The Regulatory Flexibility Act of with respect to this rule because it Bicentennial Park and outward from 1980, 5 U.S.C. 601–612, as amended, would be contrary to the public interest. shore to the navigation channel as requires Federal agencies to consider Due to the potential impact to public marked by navigation buoys, but not the potential impact of regulations on safety and high visibility associated including the channel. The zone will small entities during rulemaking. The with the 2021 NFL Draft, providing a include all inlets to the shore. The term ‘‘small entities’’ comprises small public notice and comment period duration of the zone is intended to businesses, not-for-profit organizations would be contrary to the security zone’s protect people, vessels, property and the that are independently owned and intended objective of protecting the marine environment in these navigable operated and are not dominant in their public, as certain security measures waters while the event and related fields, and governmental jurisdictions cannot be shared with the public activities are taking place. No vessel, with populations of less than 50,000. associated with enforcing the security person, or object will be permitted to The Coast Guard certifies under 5 U.S.C. zone. Additionally, the remaining time enter or remain in the security zone 605(b) that this rule will not have a left to implement the zone is not without obtaining permission from the significant economic impact on a sufficient to provide public notice and COTP or a designated representative. substantial number of small entities. comment. However, failing to V. Regulatory Analyses While some owners or operators of implement the zone would present an vessels intending to transit the safety unacceptable risk to the public and We developed this rule after zone may be small entities, for the participants involved in the NFL draft. considering numerous statutes and reasons stated in section V.A above, this Under 5 U.S.C. 553(d)(3), the Coast Executive orders related to rulemaking. rule will not have a significant Guard finds that good cause exists for Below we summarize our analyses economic impact on any vessel owner making this rule effective less than 30 based on a number of these statutes and or operator. days after publication in the Federal Executive orders, and we discuss First Under section 213(a) of the Small Register. For the same reasons Amendment rights of protestors. Business Regulatory Enforcement discussed in the preceding paragraph, A. Regulatory Planning and Review Fairness Act of 1996 (Pub. L. 104–121), waiting for a 30-day notice period to run we want to assist small entities in would be impracticable and contrary to Executive Orders 12866 and 13563 understanding this rule. If the rule the public interest. direct agencies to assess the costs and would affect your small business, benefits of available regulatory organization, or governmental III. Legal Authority and Need for Rule alternatives and, if regulation is jurisdiction and you have questions The Coast Guard is issuing this rule necessary, to select regulatory concerning its provisions or options for under authority in 46 U.S.C. 70034 approaches that maximize net benefits. compliance, please call or email the (previously 33 U.S.C. 1231). The This rule has not been designated a person listed in the FOR FURTHER Captain of the Port Buffalo has ‘‘significant regulatory action,’’ under INFORMATION CONTACT section. determined that potential hazards Executive Order 12866. Accordingly, Small businesses may send comments associated with the 2021 NFL Draft are this rule has not been reviewed by the on the actions of Federal employees a security concern for the surrounding Office of Management and Budget who enforce, or otherwise determine area. This event is highly visible and (OMB). compliance with, Federal regulations to
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the Small Business and Agriculture F. Environment Green East Basin Channel Lighted Buoy Regulatory Enforcement Ombudsman We have analyzed this rule under number 5 on NOAA chart 14839); and the Regional Small Business Department of Homeland Security thence proceeding Southwest until ° ′ ″ Regulatory Fairness Boards. The Directive 023–01, Rev. 1, associated intersecting a point at 41 30 18.22 ° ′ ″ Ombudsman evaluates these actions implementing instructions, and North Latitude and 81 42 41.71 West annually and rates each agency’s Environmental Planning COMDTINST Longitude; thence proceeding South responsiveness to small business. If you 5090.1 (series), which guide the Coast until intersecting a point at position ° ′ ″ wish to comment on actions by Guard in complying with the National 41 30 14.3 North Latitude and ° ′ ″ employees of the Coast Guard, call 1– Environmental Policy Act of 1969 (42 81 42 41.714 West Longitude (Green 888–REG–FAIR (1–888–734–3247). The U.S.C. 4321–4370f), and have Main Entrance Light number 5 on Coast Guard will not retaliate against determined that this action is one of a NOAA chart 14839) (NAD83). small entities that question or complain category of actions that do not (b) Definitions. As used in this about this rule or any policy or action individually or cumulatively have a section, designated representative of the Coast Guard. significant effect on the human means a Coast Guard Patrol Commander, including a Coast Guard C. Collection of Information environment. This rule involves a security zone that will prohibit entry coxswain, petty officer, or other officer This rule will not call for a new within waters surrounding First Energy operating a Coast Guard vessel and a collection of information under the Stadium and The Rock and Roll Hall of Federal, State, and local officer Paperwork Reduction Act of 1995 (44 Fame. It is categorically excluded from designated by or assisting the Captain of U.S.C. 3501–3520). further review under paragraph L60(a) the Port Buffalo. Authority to designate of Appendix A, Table 1 of DHS may be delated by the Captain of the D. Federalism and Indian Tribal Instruction Manual 023–01–001–01, Port Buffalo. A designation need not be Governments Rev. 1. in writing. (c) Regulations. (1) In accordance with A rule has implications for federalism G. Protest Activities the general regulations in § 165.33, entry under Executive Order 13132, The Coast Guard respects the First into, transiting, remaining, or anchoring Federalism, if it has a substantial direct Amendment rights of protesters. within this security zone is prohibited effect on the States, on the relationship Protesters are asked to call or email the unless authorized by the Captain of the between the National Government and person listed in the FOR FURTHER Port Buffalo or a designated on-scene the States, or on the distribution of INFORMATION CONTACT section to representative. power and responsibilities among the coordinate protest activities so that your (2) This security zone is closed to all various levels of government. We have message can be received without traffic, except as may be permitted by analyzed this rule under that order and jeopardizing the safety or security of the Captain of the Port Buffalo or their have determined that it is consistent people, places or vessels. designated on-scene representative. with the fundamental federalism (3) The ‘‘on-scene representative’’ of principles and preemption requirements List of Subjects in 33 CFR Part 165 the Captain of the Port Buffalo is any described in Executive Order 13132. Harbors, Marine safety, Navigation Coast Guard commissioned, warrant, Also, this rule does not have tribal (water), Reporting and recordkeeping petty officer, or Federal, State, or local implications under Executive Order requirements, Security measures, law enformcement officer who is 13175, Consultation and Coordination Waterways. designated by the Captain of the Port with Indian Tribal Governments, For the reasons discussed in the Buffalo to act on her behalf. because it does not have a substantial preamble, the Coast Guard amends 33 (d) Enforcement period. This section direct effect on one or more Indian CFR part 165 as follows: will be enforced intermittently from tribes, on the relationship between the 8:00 a.m. on April 29, 2021, through Federal Government and Indian tribes, PART 165—REGULATED NAVIGATION 11:59 p.m. on May 1, 2021. AREAS AND LIMITED ACCESS AREAS or on the distribution of power and Dated: March 26, 2021. responsibilities between the Federal ■ 1. The authority citation for part 165 L.M. Littlejohn, Government and Indian tribes. If you continues to read as follows: Captain, U.S. Coast Guard, Captain of the believe this rule has implications for Port Buffalo. Authority: 46 U.S.C. 70034, 70051; 33 CFR federalism or Indian tribes, please [FR Doc. 2021–06728 Filed 3–31–21; 8:45 am] contact the person listed in the FOR 1.05–1, 6.04–1, 6.04–6, and 160.5; Department of Homeland Security Delegation BILLING CODE 9110–04–P FURTHER INFORMATION CONTACT section No. 0170.1. above. ■ 2. Add § 165.T09–0155 to read as DEPARTMENT OF HOMELAND E. Unfunded Mandates Reform Act follows: SECURITY The Unfunded Mandates Reform Act § 165.T09–0155 Security Zone; 2021 NFL of 1995 (2 U.S.C. 1531–1538) requires Draft, Cleveland Harbor, Cleveland, Ohio. Coast Guard Federal agencies to assess the effects of (a) Location. The security zone will their discretionary regulatory actions. In encompass all waters of Cleveland 33 CFR Part 165 particular, the Act addresses actions Harbor East Basin that are within the [Docket Number USCG–2020–0424] that may result in the expenditure by a following boundary to the shore State, local, or tribal government, in the including inlets and harbors: Starting RIN 1625–AA00 aggregate, or by the private sector of from a point at 41°30′41.24″ North ° ′ ″ Safety Zones; Vieques Unexploded $100,000,000 (adjusted for inflation) or Latitude and 81 41 47.6 West Ordnance Operations, East Vieques; more in any one year. Though this rule Longitude and proceeding North- Vieques, Puerto Rico will not result in such an expenditure, Northwest until intersecting a point at we do discuss the effects of this rule position 41°30′49.222″ North Latitude AGENCY: Coast Guard, Department of elsewhere in this preamble. and 081°41′52.375″ West Longitude (the Homeland Security (DHS).
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ACTION: Final rule. Puerto Rico’’ (85 FR 66290). There we risk of explosion and fragmentation stated why we issued the NPRM, and hazards. SUMMARY: The Coast Guard is invited comments on our proposed Persons and vessels may request establishing permanent safety zones for regulatory action related to the safety authorization to enter, transit through, certain waters of Vieques, Puerto Rico. zones. During the comment period that anchor in, or remain within the This action is necessary to provide for ended Novemeber 18, 2020, we received permanent safety zones by contacting the safety of life on the navigable waters no comments. the Captain of the Port San Juan by near the island of Vieques, Puerto Rico Under 5 U.S.C. 553(d)(3), the Coast VHF–FM radio on Channels 16 and due to unexploded ordnances. This Guard finds that good cause exists for 22A, by calling Sector San Juan rulemaking will prohibit mariners from making this rule effective less than 30 Command Center at (787) 289–2041, or anchoring, dredging, or trawling in the days after publication in the Federal via email to [email protected]. If designated areas. It will also prohibit Register because doing so would be authorization to enter, transit through, persons and vessels from being in the impracticable and contrary to the public or remain in the zones during ordnance safety zones during clearance interest. Delaying the effective date of clearing operations or anchor, dredge, or operations, unless authorized by the this rule would be contrary to the safety trawl at any time is granted, all persons Captain of the Port San Juan or a zone’s intended objectives of protecting and vessels receiving such authorization designated representative. persons and vessels from the potential must comply with the instructions of DATES: This rule is effective April 1, safety hazards associated with UXOs the Captain of the Port San Juan or a 2021. ordnance clearing operations on the designated representative. ADDRESSES: To view documents waters of East Vieques, Vieques, Puerto V. Regulatory Analyses mentioned in this preamble as being Rico. available in the docket, go to https:// We developed this rule after III. Legal Authority and Need for Rule www.regulations.gov, type USCG–2020– considering numerous statutes and 0424 in the ‘‘SEARCH’’ box and click The Coast Guard is issuing this rule Executive orders related to rulemaking. ‘‘SEARCH.’’ Click on Open Docket under authority in 46 U.S.C. 70034. The Below we summarize our analyses Folder on the line associated with this COTP has determined that potential based on a number of these statutes and rule. hazards associated with the UXOs Executive orders, and we discuss First Amendment rights of protestors. FOR FURTHER INFORMATION CONTACT: If would be a safety concern for anyone you have questions on this rule, call or within the designated areas. The A. Regulatory Planning and Review email Lieutenant Natallia Lopez, Sector purpose of this rule is to ensure safety Executive Orders 12866 and 13563 San Juan Prevention Department, of vessels and the navigable waters in direct agencies to assess the costs and Waterways Management Division, U.S. the safety zones. benefits of available regulatory Coast Guard; telephone 787–729–2380, IV. Discussion of Comments, Changes, alternatives and, if regulation is email [email protected]. and the Rule necessary, to select regulatory SUPPLEMENTARY INFORMATION: approaches that maximize net benefits. As noted above, we received no I. Table of Abbreviations Executive Order 13771 directs agencies comments on our NPRM published on to control regulatory costs through a CFR Code of Federal Regulations October 19, 2020. There are no changes budgeting process. This rule has not COTP Captain of the Port in the regulatory text of this rule from been designated a ‘‘significant DHS Department of Homeland Security the proposed rule in the NPRM. regulatory action,’’ under Executive FR Federal Register This rule establishes safety zones in NPRM Notice of proposed rulemaking Order 12866. Accordingly, this rule has the navigable waters east of Vieques, not been reviewed by the Office of PR Puerto Rico Puerto Rico. UXOs from past military § Section Management and Budget (OMB), and U.S.C. United States Code training operations remain present in pursuant to OMB guidance it is exempt UXO Unexploded Ordnance the waters of east Vieques, Puerto Rico. from the requirements of Executive The U.S. Navy is currently in the II. Background Information and Order 13771. process of planning, retrieving, and This regulatory action determination Regulatory History properly disposing of the UXOs in this is based on the size, location, and On April 30, 2020, contractors on area. These operations will be ongoing restrictions of the safety zones. Vessels behalf of the U.S. Navy contacted the for the next 20 years. Accordingly, will be permitted to enter the safety Coast Guard requesting the ordnance clearing operations will be zones when UXO operations are not establishment of permanent safety zones held at various times on the waters of being conducted so long as they do not surrounding unexploded ordnances East Vieques, Vieques, Puerto Rico. anchor, dredge, or trawl. (UXO) in Vieques, PR. The Navy has UXOs will be retrieved by several divers implemented long-term plans for the working for the U.S. Navy. B. Impact on Small Entities deactivation and removal of the UXOs, The safety zone areas encompass the The Regulatory Flexibility Act of but safety zones are needed until those waters in East Vieques, Vieques, Puerto 1980, 5 U.S.C. 601–612, as amended, operations are completed. The Captain Rico. In areas where UXOs are present requires Federal agencies to consider of the Port San Juan (COTP) has in shallow waters, mariners have been the potential impact of regulations on determined that potential hazards known to anchor which creates risk for small entities during rulemaking. The associated with the UXOs would be a the unintended detonation of UXOs. term ‘‘small entities’’ comprises small safety concern for anyone within the The safety zones will prohibit vessels businesses, not-for-profit organizations designated areas. In response, on from anchoring, dredging, or trawling in that are independently owned and October 19, 2020, the Coast Guard the designated areas at all times. operated and are not dominant in their published a notice of proposed Further, no vessel or person will be fields, and governmental jurisdictions rulemaking (NPRM) titled, ‘‘Safety permitted to enter, transit through, or with populations of less than 50,000. Zones; Vieques Unexploded Ordnance remain in the safety zones during The Coast Guard received no comments Operations, East Vieques; Vieques, clearance operations due to increased from the Small Business Administration
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on this rulemaking. The Coast Guard direct effect on one or more Indian PART 165—REGULATED NAVIATION certifies under 5 U.S.C. 605(b) that this tribes, on the relationship between the AREAS AND LIMITED ACCESS AREAS rule will not have a significant Federal Government and Indian tribes, economic impact on a substantial or on the distribution of power and ■ 1. The authority citation for part 165 number of small entities. responsibilities between the Federal continues to read as follows: While some owners or operators of Government and Indian tribes. Authority: 46 U.S.C. 70034, 70051; 33 CFR vessels intending to transit the safety 1.05–1, 6.04–1, 6.04–6, and 160.5; zone may be small entities, for the E. Unfunded Mandates Reform Act Department of Homeland Security Delegation reasons stated in section V.A above, this The Unfunded Mandates Reform Act No. 0170.1. rule will not have a significant of 1995 (2 U.S.C. 1531–1538) requires ■ 2. Add § 165.787 to read as follows: economic impact on any vessel owner Federal agencies to assess the effects of or operator. their discretionary regulatory actions. In § 165.787 Safety Zones; Vieques Under section 213(a) of the Small Unexploded Ordnance Operations, East particular, the Act addresses actions Vieques; Vieques, Puerto Rico. Business Regulatory Enforcement that may result in the expenditure by a (a) Regulated area. The following Fairness Act of 1996 (Pub. L. 104–121), State, local, or tribal government, in the regulated areas are established as a we want to assist small entities in aggregate, or by the private sector of safety zones: understanding this rule. If the rule $100,000,000 (adjusted for inflation) or would affect your small business, (1) All waters of East Vieques, more in any one year. Though this rule Vieques, Puerto Rico encompassed organization, or governmental will not result in such an expenditure, jurisdiction and you have questions within the following points: starting at we do discuss the effects of this rule Point 1 in position 18°08′56.48″ N, concerning its provisions or options for elsewhere in this preamble. compliance, please call or email the 065°20′10.69″ W; thence north to point person listed in the FOR FURTHER F. Environment 2 in position 18°09′10.72″ N, INFORMATION CONTACT section. 065°20′04.11″ W; thence east to Point 3 Small businesses may send comments We have analyzed this rule under in position 18°08′50.19″ N, on the actions of Federal employees Department of Homeland Security 065°17′05.78″ W; thence south to Point who enforce, or otherwise determine Directive 023–01, Rev. 1, associated 4 in position 18°08′05.79″ N, compliance with, Federal regulations to implementing instructions, and 065°16′16.70″ W. the Small Business and Agriculture Environmental Planning COMDTINST (2) All waters of East Vieques, Regulatory Enforcement Ombudsman 5090.1 (series), which guide the Coast Vieques, Puerto Rico encompassed and the Regional Small Business Guard in complying with the National within the following points: starting at Regulatory Fairness Boards. The Environmental Policy Act of 1969 (42 Point 1 in position 18 07′38.60″ N, Ombudsman evaluates these actions U.S.C. 4321–4370f), and have 065°17′45.95″ W; thence south to point annually and rates each agency’s determined that this action is one of a 2 in position 18°07′23.73″ N, responsiveness to small business. If you category of actions that do not 065°17′58.34″ W; thence west to Point 3 wish to comment on actions by individually or cumulatively have a in position 18°07′18.77″ N, employees of the Coast Guard, call 1– significant effect on the human 065°18′29.64″ W; thence north to Point 888–REG–FAIR (1–888–734–3247). The environment. This rule involves the 4 in position 18°07′34.47″ N, Coast Guard will not retaliate against establishment of two safety zones. It is 065°18′31.82″ W. small entities that question or complain categorically excluded from further (b) Regulations. (1) No person or about this rule or any policy or action review under paragraph L60(a) vessel may anchor, dredge, or trawl in of the Coast Guard. Appendix A, Table 1 of DHS Instruction the safety zones unless authorized by Manual 023–01–001–01, Rev. 1. A the Captain of the Port (COTP), San C. Collection of Information Record of Environmental Consideration Juan, Puerto Rico, or a designated Coast This rule will not call for a new supporting this determination is Guard commissioned, warrant, or petty collection of information under the available in the docket. For instructions officer. Those in the safety zones must Paperwork Reduction Act of 1995 (44 on locating the docket, see the comply with all lawful orders or U.S.C. 3501–3520). ADDRESSES section of this preamble. directions given to them by the COTP or the designated Coast Guard D. Federalism and Indian Tribal G. Protest Activities commissioned, warrant, or petty officer. Governments The Coast Guard respects the First (2) No person or vessel may enter, A rule has implications for federalism Amendment rights of protesters. transit or remain in the safety zones under Executive Order 13132, Protesters are asked to call or email the during unexploded ordnance clearance Federalism, if it has a substantial direct person listed in the FOR FURTHER operations, unless authorized by the effect on the States, on the relationship INFORMATION CONTACT section to Captain of the Port San Juan or a between the National Government and coordinate protest activities so that your designated representative. the States, or on the distribution of message can be received without (3) Vessels encountering emergencies, power and responsibilities among the jeopardizing the safety or security of which require transit through the safety various levels of government. We have people, places or vessels. zones, should contact the Coast Guard analyzed this rule under that order and patrol craft or Duty Officer on VHF have determined that it is consistent List of Subjects in 33 CFR Part 165 Channel 16. In the event of an emergency, the Coast Guard patrol craft with the fundamental federalism Harbors, Marine safety, Navigation may authorize a vessel to transit through principles and preemption requirements (water), Reporting and recordkeeping the safety zones with a Coast Guard described in Executive Order 13132. requirements, Security measures, Also, this rule does not have tribal designated escort. Waterways. implications under Executive Order (4) The Captain of the Port and the 13175, Consultation and Coordination For the reasons discussed in the Duty Officer at Sector San Juan, Puerto with Indian Tribal Governments, preamble, the Coast Guard amends 33 Rico, can be contacted at telephone because it does not have a substantial CFR part 165 as follows: number 787–289–2041. The Coast
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Guard Patrol Commander enforcing the publicly available only in hard copy comments support EPA’s proposal to safety zones can be contacted on VHF– form. Publicly available docket approve the Rhode Island SIP revisions. FM channels 16 and 22A. materials are available at https:// III. Final Action (5) Coast Guard Sector San Juan will www.regulations.gov or at the U.S. notify the marine community of periods Environmental Protection Agency, EPA EPA is approving the Rhode Island during which these safety zones will be Region 1 Regional Office, Air and SIP revisions consisting of two revised in effect by providing notice to mariners Radiation Division, 5 Post Office regulations 250–RICR–120–05–31, in accordance with § 165.7. Square—Suite 100, Boston, MA. EPA ‘‘Control of Volatile Organic (6) All persons and vessels must requests that if at all possible, you Compounds from Consumer Products’’ comply with the instructions of on- contact the contact listed in the FOR and 250–RICR–120–05–33, ‘‘Control of scene patrol personnel. On-scene patrol FURTHER INFORMATION CONTACT section to Volatile Organic Compounds from personnel include commissioned, schedule your inspection. The Regional Architectural Coatings and Industrial warrant, or petty officers of the U.S. Office’s official hours of business are Maintenance Coatings,’’ excluding the Coast Guard. Coast Guard Auxiliary and Monday through Friday, 8:30 a.m. to Application subsections 31.2 and 33.2 local or state officials may be present to 4:30 p.m., excluding legal holidays and respectively. inform vessel operators of the facility closures due to COVID–19. IV. Incorporation by Reference requirements of this section, and other FOR FURTHER INFORMATION CONTACT: applicable laws. In this rule, the EPA is finalizing David L. Mackintosh, Air Quality regulatory text that includes Dated: January 11, 2021. Branch, U.S. Environmental Protection incorporation by reference. In G.H. Magee, Agency, EPA Region 1, 5 Post Office accordance with requirements of 1 CFR Captain, U.S. Coast Guard, Captain of the Square—Suite 100, (Mail code 05–2), 51.5, the EPA is finalizing the Port San Juan. Boston, MA 02109–3912, tel. 617–918– incorporation by reference of the Rhode [FR Doc. 2021–06750 Filed 3–31–21; 8:45 am] 1584, email [email protected]. Island regulations described in the BILLING CODE 9110–04–P SUPPLEMENTARY INFORMATION: amendments to 40 CFR part 52 set forth Throughout this document whenever below. The EPA has made, and will ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean continue to make, these documents ENVIRONMENTAL PROTECTION EPA. generally available through https:// AGENCY Table of Contents www.regulations.gov and at the EPA Region 1 Office (please contact the I. Background and Purpose 40 CFR Part 52 person identified in the FOR FURTHER II. Public Comment [EPA–R01–OAR–2020–0712; FRL–10022– III. Final Action INFORMATION CONTACT section of this 16–Region 1] IV. Incorporation by Reference preamble for more information). V. Statutory and Executive Order Reviews Therefore, these materials have been Air Plan Approval; Rhode Island; approved by EPA for inclusion in the Control of Volatile Organic Compound I. Background and Purpose state implementation plan, have been Emissions On February 8, 2021 (86 FR 8564), incorporated by reference by EPA into EPA issued a notice of proposed that plan, are fully federally enforceable AGENCY: Environmental Protection rulemaking (NPRM) for Rhode Island. In under sections 110 and 113 of the CAA Agency (EPA). the NPRM, EPA proposed approval of as of the effective date of the final ACTION: Final rule. SIP revisions submitted by Rhode Island rulemaking of EPA’s approval, and will on January 24, 2020 and revised by SUMMARY: The Environmental Protection be incorporated by reference in the next 1 Agency (EPA) is approving State Rhode Island on April 1, 2020, and update to the SIP compilation. December 28, 2020. The SIP revisions Implementation Plan (SIP) revisions V. Statutory and Executive Order contain two revised air pollution control submitted by the State of Rhode Island. Reviews These revisions update Rhode Island air regulations 250–RICR–120–05–31, ‘‘Control of Volatile Organic Under the Clean Air Act, the pollution control regulations for volatile Administrator is required to approve a organic compound (VOC) emissions Compounds from Consumer Products’’ and 250–RICR–120–05–33, ‘‘Control of SIP submission that complies with the from consumer products and provisions of the Act and applicable architectural and industrial Volatile Organic Compounds from Architectural Coatings and Industrial Federal regulations. 42 U.S.C. 7410(k); maintenance coatings. The intended 40 CFR 52.02(a). Thus, in reviewing SIP effect of this action is to approval the Maintenance Coatings.’’ These revised regulations became effective in Rhode submissions, EPA’s role is to approve revised regulations. This action is being state choices, provided that they meet taken under the Clean Air Act. Island on January 9, 2017 and July 21, 2020, respectively. In each regulation the criteria of the Clean Air Act. DATES: This rule is effective on May 3, Rhode Island has submitted to EPA for Accordingly, this action merely 2021. incorporation into the SIP, its approves state law as meeting Federal ADDRESSES: EPA has established a subsection 2 ‘‘Application’’ has been requirements and does not impose docket for this action under Docket stricken from the rule. Rhode Island additional requirements beyond those Identification No. EPA–R01–OAR– notes that this language is only relevant imposed by state law. For that reason, 2020–0712. All documents in the docket in Rhode Island and not incorporated this action: are listed on the https:// into the Rhode Island SIP. • Is not a significant regulatory action www.regulations.gov website. Although The NPRM provides the rationale for subject to review by the Office of listed in the index, some information is EPA’s proposed approval, which will Management and Budget under not publicly available, i.e., CBI or other not be restated here. Executive Orders 12866 (58 FR 51735, information whose disclosure is October 4, 1993) and 13563 (76 FR 3821, restricted by statute. Certain other II. Public Comment January 21, 2011); material, such as copyrighted material, EPA received four comments in is not placed on the internet and will be response to the NPRM. The four 1 62 FR 27968 (May 22, 1997).
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• Does not impose an information or in any other area where EPA or an of such rule or action. This action may collection burden under the provisions Indian tribe has demonstrated that a not be challenged later in proceedings to of the Paperwork Reduction Act (44 tribe has jurisdiction. In those areas of enforce its requirements. (See section U.S.C. 3501 et seq.); Indian country, the rule does not have 307(b)(2).) • Is certified as not having a tribal implications and will not impose List of Subjects in 40 CFR Part 52 significant economic impact on a substantial direct costs on tribal substantial number of small entities governments or preempt tribal law as Environmental protection, Air under the Regulatory Flexibility Act (5 specified by Executive Order 13175 (65 pollution control, Incorporation by U.S.C. 601 et seq.); FR 67249, November 9, 2000). reference, Intergovernmental relations, • Does not contain any unfunded The Congressional Review Act, 5 Ozone, Reporting and recordkeeping mandate or significantly or uniquely U.S.C. 801 et seq., as added by the Small requirements, Volatile organic affect small governments, as described Business Regulatory Enforcement compounds. in the Unfunded Mandates Reform Act Fairness Act of 1996, generally provides Dated: March 24, 2021. of 1995 (Pub. L. 104–4); that before a rule may take effect, the • Does not have federalism agency promulgating the rule must Deborah Szaro, implications as specified in Executive submit a rule report, which includes a Acting Regional Administrator, EPA Region Order 13132 (64 FR 43255, August 10, copy of the rule, to each House of the 1. 1999); Congress and to the Comptroller General Part 52 of chapter I, title 40 of the • Is not an economically significant of the United States. EPA will submit a Code of Federal Regulations is amended regulatory action based on health or report containing this action and other as follows: safety risks subject to Executive Order required information to the U.S. Senate, 13045 (62 FR 19885, April 23, 1997); the U.S. House of Representatives, and PART 52—APPROVAL AND • Is not a significant regulatory action the Comptroller General of the United PROMULGATION OF subject to Executive Order 13211 (66 FR States prior to publication of the rule in IMPLEMENTATION PLANS 28355, May 22, 2001); the Federal Register. A major rule • Is not subject to requirements of cannot take effect until 60 days after it ■ 1. The authority citation for part 52 Section 12(d) of the National is published in the Federal Register. continues to read as follows: Technology Transfer and Advancement This action is not a ‘‘major rule’’ as Authority: 42 U.S.C. 7401 et seq. Act of 1995 (15 U.S.C. 272 note) because defined by 5 U.S.C. 804(2). application of those requirements would Under section 307(b)(1) of the Clean Subpart OO—Rhode Island be inconsistent with the Clean Air Act; Air Act, petitions for judicial review of and this action must be filed in the United ■ 2. Section 52.2070 is amended in the • Does not provide EPA with the States Court of Appeals for the table in paragraph (c) by revising the discretionary authority to address, as appropriate circuit by June 1, 2021. entries for ‘‘Air Pollution Control appropriate, disproportionate human Filing a petition for reconsideration by Regulation 31’’ and ‘‘Air Pollution health or environmental effects, using the Administrator of this final rule does Control Regulation 33’’ to read as practicable and legally permissible not affect the finality of this action for follows: methods, under Executive Order 12898 the purposes of judicial review nor does (59 FR 7629, February 16, 1994). it extend the time within which a § 52.2070 Identification of plan. In addition, the SIP is not approved petition for judicial review may be filed, * * * * * to apply on any Indian reservation land and shall not postpone the effectiveness (c) * * *
EPA-APPROVED RHODE ISLAND REGULATIONS
State State Title/subject effective EPA Explanations citation date approval date
******* Air Pollution Control of VOCs from Com- 1/9/2017 4/1/2021 [In- All of APCR No. 31 is approved with the exception of 31.2 Control Reg- mercial and Consumer sert Federal ‘‘Application’’ which the state did not submit as part of the ulation 31. Products. Register ci- SIP revision. tation].
******* Air Pollution Control of VOCs from Archi- 7/21/2020 4/1/2021 [In- All of APCR No. 33 is approved with the exception of 33.2 Control Reg- tectural Coatings and In- sert Federal ‘‘Application’’ which the state did not submit as part of the ulation 33. dustrial Maintenance Coat- Register ci- SIP revision. ings. tation].
*******
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* * * * * whose disclosure is restricted by statute. fairness which require that all affected [FR Doc. 2021–06616 Filed 3–31–21; 8:45 am] Certain other material is not available persons be afforded a reasonable BILLING CODE 6560–50–P on the internet and will be publicly amount of time to prepare for the available only in hard copy form. effective date of its ruling.’’ Gavrilovic, Publicly available docket materials are 551 F.2d at 1105. ENVIRONMENTAL PROTECTION available electronically through http:// EPA has determined that the AGENCY www.regulations.gov. regulatory amendments to 40 CFR part 40 CFR Part 80 FOR FURTHER INFORMATION CONTACT: For 80, subpart M, are operational upon questions regarding this action, contact signature because they relieve a [EPA–HQ–OAR–2020–0725; FRL–10021–95– Lauren Michaels, Office of restriction by extending the 2019 and OAR] Transportation and Air Quality, 2020 compliance deadlines (and RIN 2060–AV07 Assessment and Standards Division, associated attest engagement report Environmental Protection Agency, 2000 deadlines) ahead of the otherwise Extension of 2019 and 2020 Renewable Traverwood Drive, Ann Arbor, MI imminent 2020 RFS compliance Fuel Standard Compliance and Attest 48105; telephone number: (734) 214– deadline of March 31, 2021, thereby Engagement Reporting Deadlines 4640; email address: michaels.lauren@ providing obligated parties with additional time to demonstrate AGENCY: Environmental Protection epa.gov. compliance. There is additionally good Agency (EPA). SUPPLEMENTARY INFORMATION: Dates. cause for immediate implementation of ACTION: Final rule. Section 553(d) of the Administrative these provisions because pending Procedure Act (APA), 5 U.S.C. chapter litigation in the Supreme Court makes it SUMMARY: The Environmental Protection 5, generally provides that rules may not Agency (EPA) is finalizing necessary for this rule to go into effect take effect until 30 days after they are prior to March 31, 2021, to ensure modifications of certain compliance published in the Federal Register. EPA dates under the Renewable Fuel regulated entities do not begin is issuing this final rule under CAA sec. complying with removed regulatory Standard (RFS) program. First, EPA is 307(d), which states, ‘‘The provisions of extending the RFS compliance deadline obligations. Among other actions, EPA section 553 through 557 . . . of Title 5 is today extending the regulatory for the 2019 compliance year and the shall not, except as expressly provided associated deadline for submission of deadline for small refineries to comply in this section, apply to actions to with their 2019 RFS obligations from attest engagement reports for the 2019 which this subsection applies.’’ Thus, compliance year for small refineries. March 31, 2020, to November 30, 2021, section 553(d) of the APA does not because litigation pending before the The new deadlines are November 30, apply to this rule. EPA is nevertheless 2021, and June 1, 2022, respectively. United States Supreme Court is acting consistently with the policies expected to resolve legal questions Second, EPA is extending the RFS underlying APA section 553(d) in compliance deadline for the 2020 regarding some small refineries’ making this final rule effective upon eligibility to receive annual exemptions compliance year and the associated signature. The purpose of this APA deadline for submission of attest from their 2019 regulatory obligations. provision is to ‘‘give affected parties a EPA is also extending the regulatory engagement reports for the 2020 reasonable time to adjust their behavior compliance year for obligated parties. deadline for all obligated parties to before the final rule takes effect.’’ comply with their 2020 RFS obligations, The new deadlines are January 31, 2022, Omnipoint Corp. v. Fed. Commc’n and June 1, 2022, respectively. Finally, from March 31, 2021, to January 31, Comm’n, 78 F.3d 620, 630 (D.C. Cir. 2022, which is required because of EPA is extending the deadline for 1996); see also United States v. submission of attest engagement reports agency delay in promulgating future Gavrilovic, 551 F.2d 1099, 1104 (8th Cir. RFS compliance obligations and the for the 2021 compliance year for 1977) (quoting legislative history). obligated parties to September 1, 2022. corresponding impact on compliance However, when an agency grants or decisions. These actions mean any delay DATES: This final rule is effective on recognizes an exemption or relieves a March 30, 2021. in the effectiveness of this final rule past restriction, affected parties do not need March 31, 2021, would result in Operational dates: For operational a reasonable time to adjust because the purposes under the Clean Air Act, this confusion among regulated entities effect is not adverse. Thus, APA section regarding their compliance obligations. final rule is effective as of March 23, 553(d) allows an effective date less than 2021. 30 days after publication for any rule Does this action apply to me? ADDRESSES: EPA has established a that ‘‘grants or recognizes an exemption Entities potentially affected by this docket for this action under Docket ID or relieves a restriction’’ (see 5 U.S.C. rule are those involved with the No. EPA–HQ–OAR–2020–0725. All 553(d)(1)). An accelerated effective date production, distribution, and sale of documents in the docket are listed on may also be appropriate for good cause transportation fuels, including gasoline, the https://www.regulations.gov pursuant to APA section 553(d)(3) diesel, and renewable fuels such as website. Although listed in the index, where an agency can ‘‘balance the ethanol, biodiesel, renewable diesel, some information is not publicly necessity for immediate implementation and biogas. Potentially affected available, e.g., CBI or other information against principles of fundamental categories include:
Category NAICS 1 code Examples of potentially affected entities
Industry ...... 324110 Petroleum refineries. Industry ...... 325193 Ethyl alcohol manufacturing. Industry ...... 325199 Other basic organic chemical manufacturing. Industry ...... 424690 Chemical and allied products merchant wholesalers. Industry ...... 424710 Petroleum bulk stations and terminals. Industry ...... 424720 Petroleum and petroleum products merchant wholesalers. Industry ...... 221210 Manufactured gas production and distribution.
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Category NAICS 1 code Examples of potentially affected entities
Industry ...... 454319 Other fuel dealers. 1 North American Industry Classification System (NAICS).
This table is not intended to be E. Executive Order 13132: Federalism amendments to extend the deadlines for exhaustive, but rather provides a guide F. Executive Order 13175: Consultation all obligated parties to submit reports for readers regarding entities likely to be and Coordination With Indian Tribal demonstrating compliance with their affected by this action. This table lists Governments G. Executive Order 13045: Protection of 2020 RFS obligations and their the types of entities that EPA is now Children From Environmental Health corresponding attest engagement aware could potentially be affected by Risks and Safety Risks reports. Finally, in response to this action. Other types of entities not H. Executive Order 13211: Actions stakeholder feedback, we are also listed in the table could also be affected. Concerning Regulations That extending the 2021 attest engagement To determine whether your entity Significantly Affect Energy Supply, report deadline for all obligated parties. would be affected by this action, you Distribution, or Use should carefully examine the I. National Technology Transfer and For small refineries, we are extending applicability criteria in 40 CFR part 80. Advancement Act (NTTAA) and 1 CFR the 2019 compliance deadline in light of If you have any questions regarding the Part 51 the continued uncertainty surrounding applicability of this action to a J. Executive Order 12898: Federal Actions small refinery exemptions (SREs) under To Address Environmental Justice in 2 particular entity, consult the person the RFS program. We are finalizing a Minority Populations and Low-Income 2019 compliance deadline for small listed in the FOR FURTHER INFORMATION Populations CONTACT section. K. Congressional Review Act (CRA) refineries of November 30, 2021, and an III. Statutory Authority attest engagement report deadline of Outline of this Preamble June 1, 2022. For the 2020 compliance I. Background and Extension of Deadlines I. Background and Extension of year, we are extending the compliance A. Extension of the 2019 RFS Compliance Deadlines deadline for all obligated parties Deadline for Small Refineries In January 2021, EPA proposed because we have not yet promulgated an B. Extension of the 2020 RFS Compliance annual rulemaking establishing the 2021 Deadline for All Obligated Parties amendments to the RFS regulations to C. Corresponding Attest Engagement extend the deadline for obligated parties RFS standards. We are finalizing a 2020 Report Deadlines to demonstrate compliance with their compliance deadline for all obligated II. Statutory and Executive Order Reviews 2019 and 2020 RFS obligations.1 We are parties of January 31, 2022, and an attest A. Executive Order 12866: Regulatory finalizing the amendments as proposed engagement report deadline of June 1, Planning and Review and Executive to extend the deadlines for small 2022. Finally, for the 2021 compliance Order 13563: Improving Regulation and refineries to submit reports year, we are extending the attest Regulatory Review B. Paperwork Reduction Act (PRA) demonstrating compliance with their engagement report deadline for C. Regulatory Flexibility Act (RFA) 2019 RFS obligations and their obligated parties to September 1, 2022. D. Unfunded Mandates Reform Act corresponding attest engagement These new deadlines are summarized in (UMRA) reports. We are also finalizing Table I.A–1 below.
TABLE I.A–1—ORIGINAL AND REVISED ANNUAL COMPLIANCE AND ATTEST ENGAGEMENT REPORTING DEADLINES FOR OBLIGATED PARTIES FOR THE 2019 (AS APPLICABLE), 2020, AND 2021 COMPLIANCE YEARS
Original attest Revised attest Regulated party category Original annual Revised annual engagement engagement compliance deadline compliance deadline reporting deadline reporting deadline
2019 Compliance Year
Small refineries ...... March 31, 2020 ...... November 30, 2021 .. June 1, 2020 ...... June 1, 2022.
2020 Compliance Year
Obligated parties ...... March 31, 2021 ...... January 31, 2022 ...... June 1, 2021 ...... June 1, 2022.
2021 Compliance Year
Obligated parties ...... March 31, 2022 (unchanged) June 1, 2022 ...... September 1, 2022.
Obligated party commenters were compliance deadline extensions would also received comments from generally supportive of our proposal to be helpful. In contrast, biofuels industry stakeholders involved in the attest extend the compliance deadlines, groups suggested extensions were either engagement process who provided although some suggested that additional not justified or excessive in length. We feedback on the scope and sequencing
1 See 86 FR 3928 (January 15, 2021). to replace or reduce the quantity of petroleum- more information about small refinery exemptions 2 The Renewable Fuel Standard (RFS) program, based transportation fuel, heating oil, or jet fuel (SREs), see https://www.epa.gov/fuels-registration- established under Clean Air Act (CAA) section used in the United States. Small refineries may reporting-and-compliance-help/rfs-small-refinery- petition EPA annually for exemption from their RFS 211(o), requires a certain volume of renewable fuel exemptions. obligations under CAA section 211(o)(9)(B). For
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of attest report deadline extensions. We Therefore, we are finalizing our 75,000 barrels of crude oil per day) or have considered these comments, and in proposed extension of the 2019 the nature of their business (i.e., not a some cases, adjusted our regulations in compliance deadline for small petroleum refinery). The parties that response to the comments.3 refineries. We believe that it is EPA has found ineligible because they appropriate to do so only for small A. Extension of the 2019 RFS do not meet the definition of small refineries because it is only the refinery in recent years will similarly Compliance Deadline for Small compliance requirements of these Refineries not be eligible for the compliance date parties that would be affected by the extension for small refineries. The RFS regulations establish outcome of the HollyFrontier case.9 All We note that all of the existing deadlines for obligated parties with other obligated parties’ compliance regulatory flexibilities for small renewable volume obligations (RVOs) to obligations for 2019 remain the same refineries—including the ability to submit annual compliance regardless of the HollyFrontier decision. demonstration reports to EPA, and later As stated in the proposed rule, EPA satisfy up to 20 percent of their 2019 deadlines for the same parties to submit will allow small refineries to revisit RVOs using 2018 carryover RINs under associated attest engagement reports. their compliance reports in the time 40 CFR 80.1427(a)(5) and the ability to Under existing RFS regulations, period between finalization of this rule carry forward a deficit from 2019 to obligated parties must submit and up to the new compliance date for 2020 if they did not carry forward a compliance demonstration reports for 2019 established by this rulemaking. deficit from 2018 under 40 CFR each calendar year by March 31 of the This means that if a small refinery 80.1427(b)—will continue to be following year, and associated attest carried forward a deficit to demonstrate available to them to demonstrate engagements by June 1 of the following 2019 compliance by March 31, 2020, but compliance for 2019 on the new year.4 In this action, we are revising later receives an SRE for 2019 or retires November 30, 2021, compliance certain reporting deadlines applicable to RINs 10 in accordance with its deadline. This means that small the 2019, 2020, and 2021 compliance obligation, that initial decision to carry refineries that carried forward a deficit years. forward a deficit will not constitute a for 2019 in their initial 2019 compliance On January 24, 2020, the U.S. Court carry-forward deficit (i.e., failing to meet reports (filed in 2020) can reverse that of Appeals for the Tenth Circuit issued the requirement to retire sufficient RINs decision in new compliance reports and a decision in Renewable Fuels as described in 40 CFR 80.1427(a)(1)) retain their ability to carry forward a Association (RFA) v. EPA invalidating that would make the small refinery deficit for 2020. It also means that small several SREs granted by EPA.5 The ineligible to do the same for 2020 under refineries that did not submit a 2019 small refineries whose SREs were 40 CFR 80.1427(b). Small refineries that compliance report by March 31, 2020, invalidated by the court in the RFA case did not submit a compliance report by can also carry forward a deficit for 2020. sought rehearing from the Tenth Circuit, March 31, 2020, will need to submit a Finally, small refineries can either carry which was denied on April 7, 2020.6 compliance report to comply with the forward a deficit for 2019 (if they did Thus, the Tenth Circuit’s decision was new November 30, 2021, compliance not do so for 2018) or for 2020 (if they not final until after the 2019 compliance deadline, unless they receive an do not do so for 2019). Due to the reporting deadline had already passed exemption for 100% relief of their RFS ongoing litigation, we take no position on March 31, 2020. On September 4, compliance obligations. on the availability of SREs for the 2019 2020, the small refinery intervenors in This deadline extension applies only compliance year, but refer stakeholders that suit filed a petition for a writ of to those parties who meet the definition to EPA’s announcement on February 24, certiorari from the U.S. Supreme Court, of small refinery in CAA section 2021, regarding the HollyFrontier case.11 which was granted on January 8, 2021, 211(o)(1)(k) and 40 CFR B. Extension of the 2020 RFS in HollyFrontier v. RFA.7 Briefing in 80.1441(e)(2)(iii) for the 2019 Compliance Deadline for All Obligated that case is ongoing, and oral argument compliance year. Limiting the extension Parties is scheduled for April 27, 2021. The in this way is appropriate because only Supreme Court’s decision in small refineries’ compliance obligations are affected by the HollyFrontier case We are also finalizing the proposed HollyFrontier has the potential to affect modification of the 2020 compliance the availability of SREs. Due to the and it is consistent with our eligibility requirements regarding SREs. We deadline for all obligated parties to resulting uncertainty, we do not believe January 31, 2022. We are doing so it would be appropriate to require small recognize that in recent years we have determined that some parties who have because EPA has not yet proposed the refineries to demonstrate compliance 2021 RFS standards, including with their 2019 obligations until the petitioned for SREs have been deemed ineligible by EPA, often due to the applicable volumes, and we recognize Supreme Court renders a decision in the importance to obligated parties of 8 refinery’s throughput (i.e., more than HollyFrontier. planning their compliance for a given uncertainty due to the lack of 2019 and 2020 SRE calendar year by understanding their 3 Further discussion of the comments received, decisions and the unknown 2021 RFS standards and our responses to them, can be found in the obligations for the years before and ‘‘make it practically impossible for small refineries Response to Comments document, available in the after.12 This is particularly true given to plan for compliance.’’ This letter is available in docket for this action. the docket for this action. the two-year ‘‘lifespan’’ for RINs, such 4 See 40 CFR 80.1451(a) and 80.1464(d). 9 Most small refineries currently have pending that 2020 RINs can be used for 5 Renewable Fuels Ass’n v. EPA, 948 F.3d 1206 2019 SRE petitions before the agency. We are compliance with either 2020 or 2021 (10th Cir. 2020) (RFA). extending this flexibility to all small refineries obligations. Compliance obligations for 6 Order, RFA, No. 18–9533 (10th Cir. Apr. 7, because others may elect to submit petitions in the 2020). future. 7 HollyFrontier Cheyenne Refining, LLC v. 10 RINs, or renewable identification numbers, are 11 Available at: https://www.epa.gov/renewable- Renewable Fuels Ass’n, No. 20–472 (U.S.). credits generated by renewable fuel producers and fuel-standard-program/epa-signals-new-position- 8 EPA received a letter from the Small Refineries used for compliance with RFS obligations. For more small-refinery-exemptions. Coalition dated July 30, 2020, requesting that EPA information about RINs, see https://www.epa.gov/ 12 For discussion of obligated parties’ interest in modify the 2019, 2020, and 2021 compliance renewable-fuel-standard-program/renewable- such extensions in past actions, see 80 FR 33099, deadlines and corresponding attest engagement identification-numbers-rins-under-renewable-fuel- 33149 (June 10, 2015) and 78 FR 49794, 49823 reporting deadlines. The letter suggests that standard. (August 15, 2013).
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2021 will remain unknown until EPA proposed changes to the 2020 attest an administrative bottleneck.15 Another finalizes the 2021 standards. engagement reporting deadline for RIN- commenter recommended that we We are also modifying the 2020 generating renewable fuel producers, maintain at least 90 days between compliance deadline to allow small RIN-generating importers of renewable respective annual compliance deadlines refineries who have not yet fuel, and other parties owning RINs, for and annual attest engagement reporting demonstrated compliance with their the reasons explained below. deadlines.16 We agree with these 2019 obligations sufficient time between For small refineries, given the short comments and believe providing an each year’s compliance obligation period of time between when small additional three months for 2021 attest demonstration. Modifying the 2020 refineries will have to demonstrate engagements will provide auditors a compliance deadline to a date after the compliance with their 2019 and 2020 reasonable amount of time to perform 2019 compliance deadline for small obligations, we do not believe it is the audits. This change also will not refineries will allow for complete 2019 feasible for them to conduct an attest impact obligated parties’ plans and compliance by all obligated parties, engagement for 2019 between the new actions to comply with their RFS including these small refineries, prior to 2019 and 2020 compliance deadlines. obligations, since the attest engagements having to demonstrate 2020 compliance. Therefore, we are finalizing the are after-the-fact reports summarizing Requiring full compliance with the 2019 requirement that small refineries those compliance measures. standards prior to the 2020 compliance conduct their 2019 attest engagement by In contrast, we do not believe that deadline will provide all obligated June 1, 2022. requiring small refineries to submit both parties and market participants with an their 2019 and 2020 attest engagement accurate picture of the RIN market, For all obligated parties, we are also reports by June 1, 2022, will create including the availability of 2019 finalizing that the 2020 attest much additional effort for attest auditors carryover RINs to comply with 2020 engagement reporting deadline be June due to the relatively low number of standards. 1, 2022. We believe this will provide all small refineries and the fact that all We are finalizing the proposed 2020 obligated parties with the time other obligated parties have already compliance date of January 31, 2022, for necessary to conduct their attest submitted their 2019 attest engagement all obligated parties. This deadline engagements in a timely manner and on reports, which were due on June 1, allows several things to occur prior to a similar schedule. Because attest 2020. that compliance date. First, it allows engagements are based on the In response to public comment, we small refineries to complete compliance information in the previously submitted are not finalizing the proposed changes with their 2019 obligations. Second, it compliance reports, sequencing the to the deadline for 2020 attest provides 60 days between the 2019 and attest engagement to occur after the engagement reports for RIN-generating 2020 compliance deadlines to allow for compliance deadline is a reasonable renewable fuel producers, RIN- obligated parties to make additional RIN approach. We believe that this generating importers of renewable fuel, acquisitions, transfers, transactions, and sequencing of reports, and the time and other parties owning RINs. A retirements prior to the 2020 allowed between them, will allow commenter stated that such a deadline compliance deadline. Finally, this obligated parties to proceed to extension was unnecessary because all deadline provides 60 days between 2020 demonstrate compliance with both their the records and reports needed to and 2021 compliance deadlines, 2019 and 2020 RVOs in a logical and perform the attest audits and prepare allowing the 2021 compliance deadline orderly fashion with all relevant the attest engagement reports for these to remain on March 31, 2022, as information available and with parties are already available and not currently prescribed in our sufficient intervening time so as not to dependent on the compliance deadlines regulations.13 pose an increased burden. for obligated parties. The commenter highlighted concern that attest auditors C. Corresponding Attest Engagement For the 2021 compliance year, we are may already be stretched to provide Report Deadlines extending the attest engagement reporting deadline for all obligated sufficient time and resources to We are finalizing the proposed parties to September 1, 2022. We agree complete all audits in such a short changes to the deadlines for attest with feedback received from window for obligated parties, and there engagement reports required under 40 stakeholders who prepare attest was no need to compound this situation CFR 80.1464(g) for small refineries for engagement reports for obligated parties by extending the attest audit deadlines 2019 compliance demonstrations and that it would be useful to stagger attest for these parties and we agree with these for all obligated parties for 2020 engagement deadlines to accommodate comments. Additionally, based on our compliance demonstrations. In addition, the staggered nature of the annual experience overseeing compliance with we are also adopting a change to the compliance deadlines and so as not to reporting deadlines, we believe we 2021 attest engagement reporting overwhelm auditors and processes for should maintain existing reporting deadline for all obligated parties to preparing and submitting reports.14 This deadlines when possible, as this ensure enough time for attest auditors to stakeholder highlighted concerns provides regulated parties with reasonably conduct the 2019, 2020, and regarding the proposed requirement that regulatory certainty. Therefore, we are 2021 attest engagement reports; this the 2019 (for small refineries), 2020, and maintaining the 2020 attest engagement change is supported by stakeholder 2021 attest report deadlines would fall reporting deadline of June 1, 2021, for feedback on the proposed rule and on the same date, which would almost RIN-generating renewable fuel consideration of the administrative certainly mean that the limited number producers, RIN-generating importers of complications that will accompany the of attest auditors that perform these renewable fuel, and other parties attest engagement compliance and services for obligated parties would not owning RINs.17 We also encourage reporting deadline extensions being have enough time to perform the audits 15 finalized in this rule. However, after and prepare the reports, thereby creating See also comments from Weaver suggesting consideration of public comments staggered attest report dates for 2019–2021 (Docket Item No. EPA–HQ–OAR–2020–0725—0011. received, we are not finalizing the 14 See ‘‘External Party Meeting Log for RFS 16 See comments from AFPM (Docket Item No. Compliance Date Extension Rule,’’ available in the EPA–HQ–OAR–2020–0725–0023). 13 See 40 CFR 80.1451. docket for this action. 17 See 40 CFR 80.1464(d).
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parties required to submit annual attest entities subject to the rule. This action I. National Technology Transfer and engagement reports to submit those extends the RFS compliance deadlines. Advancement Act (NTTAA) and 1 CFR reports early, if possible, as this may We do not anticipate that there will be Part 51 help attest auditors better sequence their any costs associated with these changes. This action does not involve technical work and ensure that reports are We have therefore concluded that this standards. submitted on time. action will have no regulatory burden Finally, we note that we intend to for all directly regulated small entities. J. Executive Order 12898: Federal provide additional reporting Actions To Address Environmental instructions on our fuels reporting D. Unfunded Mandates Reform Act Justice in Minority Populations and website for the attest engagement (UMRA) Low-Income Populations reports prior to the revised deadlines.18 We commonly post helpful and This action does not contain an The EPA believes that this action is detailed information that will assist unfunded mandate of $100 million or not subject to Executive Order 12898 (59 parties in submitting compliance more as described in UMRA, 2 U.S.C. FR 7629, February 16, 1994) because it reports, including attest engagement 1531–1538, and does not significantly or does not create disproportionately high reports, to our website and we uniquely affect small governments. This and adverse human health or encourage them to use our website as a action imposes no enforceable duty on environmental effects on minority and low-income populations. resource. any state, local or tribal governments. II. Statutory and Executive Order Requirements for the private sector do K. Congressional Review Act (CRA) Reviews not exceed $100 million in any one This action is subject to the CRA, and year. Additional information about these the EPA will submit a rule report to statutes and Executive Orders can be E. Executive Order 13132: Federalism each House of the Congress and to the found at http://www.epa.gov/laws- Comptroller General of the United regulations/laws-and-executive-orders. This action does not have federalism States. This action is not a ‘‘major rule’’ implications. It will not have substantial as defined by 5 U.S.C. 804(2). A. Executive Order 12866: Regulatory direct effects on the states, on the III. Statutory Authority Planning and Review and Executive relationship between the national Order 13563: Improving Regulation and government and the states, or on the Statutory authority for this action Regulatory Review distribution of power and comes from section 211(o) of the Clean This action is not a significant responsibilities among the various Air Act, 42 U.S.C. 7545(o). regulatory action and was therefore not levels of government. List of Subjects in 40 CFR Part 80 submitted to the Office of Management and Budget (OMB) for review. F. Executive Order 13175: Consultation Environmental protection, and Coordination With Indian Tribal Administrative practice and procedure, B. Paperwork Reduction Act (PRA) Governments Air pollution control, Diesel fuel, Fuel This action does not impose any new additives, Gasoline, Imports, Oil information collection burden under the This action does not have tribal imports, Penalties, Petroleum, PRA. OMB has previously approved the implications as specified in Executive Renewable fuel, Reporting and information collection activities Order 13175. This rule only affects RFS recordkeeping requirements. contained in the existing regulations obligated parties. Thus, Executive Order Michael Regan, and has assigned OMB control number 13175 does not apply to this action. 2060–0725 and 2060–0723. This action Administrator. only makes a one-time change in the G. Executive Order 13045: Protection of For the reasons set forth in the compliance dates for certain regulated Children From Environmental Health preamble, EPA amends 40 CFR part 80 parties and adjusts the due date of their Risks and Safety Risks as follows: compliance reports and attest engagements to reflect this change. It EPA interprets Executive Order 13045 PART 80—REGISTRATION OF FUELS does not change the information to be as applying only to those regulatory AND FUEL ADDITIVES collected or increase the frequency of actions that concern environmental collection. health or safety risks that EPA has ■ 1. The authority citation for part 80 reason to believe may continues to read as follows: C. Regulatory Flexibility Act (RFA) disproportionately affect children, per Authority: 42 U.S.C. 7414, 7521, 7542, I certify that this action will not have the definition of ‘‘covered regulatory 7545, and 7601(a). a significant economic impact on a action’’ in section 2–202 of the substantial number of small entities Executive Order. This action is not Subpart M—Renewable Fuel Standard under the RFA. In making this subject to Executive Order 13045 ■ determination, the impact of concern is because it does not concern an 2. Amend § 80.1451 by adding any significant adverse economic environmental health risk or safety risk. paragraphs (a)(1)(xiv)(E) and (F) to read impact on small entities. An agency may as follows: certify that a rule will not have a H. Executive Order 13211: Actions Concerning Regulations That § 80.1451 What are the reporting significant economic impact on a requirements under the RFS program? substantial number of small entities if Significantly Affect Energy Supply, (a) * * * the rule relieves regulatory burden, has Distribution, or Use no net burden or otherwise has a (1) * * * positive economic effect on the small This action is not subject to Executive (xiv) * * * Order 13211, because it is not a (E) For obligated parties that meet the 18 See https://www.epa.gov/fuels-registration- significant regulatory action under requirements for a small refinery under reporting-and-compliance-help/program-specific- Executive Order 12866. § 80.1441(e)(2)(iii), for the 2019 instructions-attest-engagements. compliance year, annual compliance
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reports must be submitted no later than at www.fema.gov/flood-insurance/work- insurance. Their current NFIP November 30, 2021. with-nfip/community-status-book. participation status can be verified at (F) For obligated parties, for the 2020 Please note that per Revisions to anytime on the CSB section at fema.gov. compliance year, annual compliance Publication Requirements for In addition, FEMA publishes a Flood reports must be submitted no later than Community Eligibility Status Insurance Rate Map (FIRM) that January 31, 2022. Information Under the National Flood identifies the Special Flood Hazard * * * * * Insurance Program, notices such as this Areas (SFHAs) in these communities. one for scheduled suspension will no The date of the published FIRM is ■ 3. Amend § 80.1464 by adding longer be published in the Federal indicated in the fourth column of the paragraphs (g)(7), (8) and (9) to read as Register as of June 2021 but will be table. No direct federal financial follows: available at National Flood Insurance assistance (except assistance pursuant to § 80.1464 What are the attest engagement Community Status and Public the Robert T. Stafford Disaster Relief requirements under the RFS program? Notification | FEMA.gov. Individuals and Emergency Assistance Act not in connection with a flood) may be (g) * * * without internet access will be able to provided for construction or acquisition (7) For obligated parties that meet the contact their local floodplain management official and/or State NFIP of buildings in identified SFHAs for requirements for a small refinery under Coordinating Office directly for communities not participating in the § 80.1441(e)(2)(iii), for the 2019 assistance. NFIP and identified for more than a year compliance year, reports required under on FEMA’s initial FIRM for the this section must be submitted to the DATES: The effective date of each community’s scheduled suspension is community as having flood-prone areas EPA no later than June 1, 2022. (section 202(a) of the Flood Disaster (8) For obligated parties, for the 2020 the third date (‘‘Susp.’’) listed in the third column of the following tables. Protection Act of 1973, 42 U.S.C. compliance year, reports required under 4106(a), as amended). This prohibition FOR FURTHER INFORMATION CONTACT: If this section must be submitted to the against certain types of federal you want to determine whether a EPA no later than June 1, 2022. assistance becomes effective for the particular community was suspended (9) For obligated parties, for the 2021 communities listed on the date shown on the suspension date or for further compliance year, reports required under in the last column. The Administrator information, contact Adrienne L. this section must be submitted to the finds that notice and public comment Sheldon, PE, CFM, Federal Insurance EPA no later than September 1, 2022. procedures under 5 U.S.C. 553(b), are and Mitigation Administration, Federal * * * * * impracticable and unnecessary because Emergency Management Agency, 400 C [FR Doc. 2021–06336 Filed 3–30–21; 8:45 am] communities listed in this final rule Street SW, Washington, DC 20472, (202) BILLING CODE 6560–50–P have been adequately notified. 674–1087. Details regarding updated Each community receives 6-month, publication requirements of community 90-day, and 30-day notification letters eligibility status information under the DEPARTMENT OF HOMELAND addressed to the Chief Executive Officer NFIP can be found on the CSB section SECURITY stating that the community will be at www.fema.gov. suspended unless the required Federal Emergency Management SUPPLEMENTARY INFORMATION: The NFIP floodplain management measures are Agency enables property owners to purchase met prior to the effective suspension Federal flood insurance that is not date. Since these notifications were 44 CFR Part 64 otherwise generally available from made, this final rule may take effect private insurers. In return, communities within less than 30 days. [Docket ID FEMA–2021–0003; Internal agree to adopt and administer local National Environmental Policy Act. Agency Docket No. FEMA–8673] floodplain management measures aimed FEMA has determined that the Suspension of Community Eligibility at protecting lives, new and community suspension(s) included in substantially improved construction, this rule is a non-discretionary action AGENCY: Federal Emergency and development in general from future and therefore the National Management Agency, DHS. flooding. Section 1315 of the National Environmental Policy Act of 1969 (42 ACTION: Final rule. Flood Insurance Act of 1968, as U.S.C. 4321 et seq.) does not apply. amended, 42 U.S.C. 4022, prohibits the Regulatory Flexibility Act. The SUMMARY: This rule identifies sale of NFIP flood insurance unless an Administrator has determined that this communities where the sale of flood appropriate public body adopts rule is exempt from the requirements of insurance has been authorized under adequate floodplain management the Regulatory Flexibility Act because the National Flood Insurance Program measures with effective enforcement the National Flood Insurance Act of (NFIP) that are scheduled for measures. The communities listed in 1968, as amended, Section 1315, 42 suspension on the effective dates listed this document no longer meet that U.S.C. 4022, prohibits flood insurance within this rule because of statutory requirement for compliance coverage unless an appropriate public noncompliance with the floodplain with NFIP regulations, 44 CFR part 59. body adopts adequate floodplain management requirements of the Accordingly, the communities will be management measures with effective program. If the Federal Emergency suspended on the effective date listed in enforcement measures. The Management Agency (FEMA) receives the third column. As of that date, flood communities listed no longer comply documentation that the community has insurance will no longer be available in with the statutory requirements, and adopted the required floodplain the community. FEMA recognizes after the effective date, flood insurance management measures prior to the communities may adopt and submit the will no longer be available in the effective suspension date given in this required documentation after this rule is communities unless remedial action rule, the suspension will not occur. published but prior to the actual takes place. Information identifying the current suspension date. These communities Regulatory Classification. This final participation status of a community can will not be suspended and will continue rule is not a significant regulatory action be obtained from FEMA’s CSB available to be eligible for the sale of NFIP flood under the criteria of section 3(f) of
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Executive Order 12866 of September 30, Paperwork Reduction Act, 44 U.S.C. Authority: 42 U.S.C. 4001 et seq.; 1993, Regulatory Planning and Review, 3501 et seq. Reorganization Plan No. 3 of 1978, 3 CFR, 58 FR 51735. 1978 Comp.; p. 329; E.O. 12127, 44 FR 19367, Executive Order 13132, Federalism. List of Subjects in 44 CFR Part 64 3 CFR, 1979 Comp.; p. 376. This rule involves no policies that have Flood insurance, Floodplains. § 64.6 [Amended] federalism implications under Executive Accordingly, 44 CFR part 64 is Order 13132. amended as follows: ■ 2. The tables published under the Executive Order 12988, Civil Justice authority of § 64.6 are amended as Reform. This rule meets the applicable PART 64—COMMUNITIES ELIGIBLE follows: standards of Executive Order 12988. FOR THE SALE OF INSURANCE Paperwork Reduction Act. This rule does not involve any collection of ■ 1. The authority citation for Part 64 information for purposes of the continues to read as follows:
Date certain federal Community Effective date authorization/cancellation of Current effective assistance no State and location No. sale of flood insurance in community map date longer available in SFHAs
Region 6 Oklahoma: Bowlegs, Town of, Seminole County .. 400468 May 20, 1980, Emerg; August 19, 1985, April 7, 2021 ..... April 7, 2021. Reg; April 7, 2021, Susp. Konawa, City of, Seminole County..... 400190 January 21, 1976, Emerg; October 26, ...... do * ...... Do. 1982, Reg; April 7, 2021, Susp. Maud, City of, Pottawatomie and 400401 May 21, 1980, Emerg; July 3, 1985, Reg; ...... do ...... Do. Seminole Counties. April 7, 2021, Susp. Sasakwa, Town of, Seminole County 400191 May 5, 1976, Emerg; March 1, 1987, Reg; ...... do ...... Do. April 7, 2021, Susp. Seminole, City of, Seminole County... 400192 May 20, 1974, Emerg; November 17, ...... do ...... Do. 1982, Reg; April 7, 2021, Susp. Seminole County, Unincorporated 400497 December 11, 1984, Emerg; February 16, ...... do ...... Do. Areas. 1990, Reg; April 7, 2021, Susp. Wewoka, City of, Seminole County .... 400193 March 6, 1975, Emerg; July 16, 1980, ...... do ...... Do. Reg; April 7, 2021, Susp. Region 7 Iowa: Fairfield, City of, Jefferson County ..... 190168 July 15, 1975, Emerg; February 18, 1981, ...... do ...... Do. Reg; April 7, 2021, Susp. * do = Ditto. Code for reading third column: Emerg.—Emergency; Reg.—Regular; Susp.—Suspension.
Eric J. Letvin, approved, for a period of three years, an SUPPLEMENTARY INFORMATION: The Deputy Assistant Administrator for information collection associated with Commission made a submission for Mitigation, Federal Insurance and Mitigation the rules for the Universal Service non-substantive changes to an existing Administration—FEMA Resilience, Schools and Libraries program collection for review and approval by Department of Homeland Security, Federal contained in the Commission’s OMB, as required by the Paperwork Emergency Management Agency. Modernizing the E-Rate Program for Reduction Act (PRA) of 1995, on March [FR Doc. 2021–06565 Filed 3–31–21; 8:45 am] Schools and Libraries Report and Order 23, 2021, which were approved by the BILLING CODE 9110–12–P (Category Two Order), FCC 19–117. This OMB on March 24, 2021. The document is consistent with the information collection requirements are Category Two Order, which stated that contained in the Commission’s Category FEDERAL COMMUNICATIONS the Commission would publish a Two Order, FCC 19–117, published at COMMISSION document in the Federal Register 84 FR 70026, December 20, 2019. The announcing the effective date of the new OMB Control Number is 3060–0806. 47 CFR Part 54 information collection requirements. The Commission publishes this [WC Docket No. 13–184; FCC 19–117; FRS document as an announcement of the DATES: The amendments to § 54.502(d) 17561] effective date of the rules published and (e) published at 84 FR 70026, December 20, 2019. If you have any December 20, 2019, are effective April 1, Modernizing the E-Rate Program for comments on the burden estimates 2021. Schools and Libraries listed below, or how the Commission AGENCY: Federal Communications FOR FURTHER INFORMATION CONTACT: Kate can improve the collections and reduce Commission. Dumouchel, Wireline Competition any burdens caused thereby, please ACTION: Final rule; announcement of Bureau at (202) 418–7400 or via email: contact Nicole Ongele, Federal effective date. [email protected]. For Communications Commission, 45 L St. additional information concerning the NE, Washington, DC 20554. Please SUMMARY: In this document, the Federal Paperwork Reduction Act information include the OMB Control Number, Communications Commission collection requirements contact Nicole 3060–0806, in your correspondence. We (Commission) announces that the Office Ongele at (202) 418–2991 or via email: ask that requests for accommodations be of Management and Budget (OMB) has [email protected]. made as soon as possible in order to
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allow the agency to satisfy such requests information submitted to the DEPARTMENT OF COMMERCE whenever possible. Send an email to Commission or to the Administrator be [email protected] or call the Consumer withheld from public inspection under National Oceanic and Atmospheric and Governmental Affairs Bureau at 47 CFR 0.459 of the FCC’s rules. Administration (202) 418–0530. Privacy Act Impact Assessment: No 50 CFR Part 622 Synopsis impact(s). [Docket No. 130403320–4891–02] As required by the Paperwork Needs and Uses: Collection of the Reduction Act of 1995 (44 U.S.C. 3507), information on FCC Forms 470 and 471 RTID 0648–XA938 the Commission is notifying the public is necessary so that the Commission and that it received OMB approval on March USAC have sufficient information to Fisheries of the Caribbean, Gulf of 24, 2021, for the information collection determine if entities are eligible for Mexico, and South Atlantic; Snapper- requirements contained in 47 CFR funding pursuant to the schools and Grouper Fishery of the South Atlantic; 54.502(d) and (e), published at 84 FR libraries support mechanism, to 2021–2022 Recreational Fishing 70026, December 20, 2019. Under 5 CFR determine if entities are complying with Season for Black Sea Bass the Commission’s rules, and to prevent part 1320, an agency may not conduct AGENCY: National Marine Fisheries waste, fraud, and abuse. In addition, the or sponsor a collection of information Service (NMFS), National Oceanic and information is necessary for the unless it displays a current, valid OMB Atmospheric Administration (NOAA), Commission to evaluate the extent to Control Number. Commerce. which the E-rate program is meeting the No person shall be subject to any ACTION: statutory objectives specified in section Temporary rule; recreational penalty for failing to comply with a season length. collection of information subject to the 254(h) of the 1996 Act, and the Paperwork Reduction Act that does not Commission’s performance goals SUMMARY: NMFS announces that the display a current, valid OMB Control established in the E-rate Modernization length of the recreational fishing season Number. The OMB Control Number is Order and Second E-rate Modernization for black sea bass in the exclusive 3060–0806. Order. economic zone (EEZ) of the South The foregoing notice is required by In December 2019, the Commission Atlantic will extend throughout the the Paperwork Reduction Act of 1995, adopted the Category Two Order, which species’ 2021–2022 fishing year. Public Law 104–13, October 1, 1995, modified E-Rate program rules to, Announcing the length of the and 44 U.S.C. 3507. among other things: Make permanent recreational season for black sea bass is The total annual reporting burdens the category two budget approach, one of the accountability measures and costs for the respondents are as which provides applicants with a set (AMs) for the recreational sector. This follows: amount of category two funding for a announcement allows recreational OMB Control Number: 3060–0806. five-year period; allow applicants to fishers to maximize their opportunity to OMB Approval Date: March 24, 2021. apply for category two funding on a harvest the recreational annual catch OMB Expiration Date: December 31, school district-wide or library system- limit (ACL) for black sea bass during the 2021. wide basis, rather than an entity-level fishing season while managing harvest Title: Universal Service—Schools and basis; and decrease the administrative to protect the black sea bass resource. Libraries Universal Service Program, burden on applicants requesting DATES: This rule is effective from 12:01 FCC Forms 470 and 471. funding for category two services. The a.m. eastern time on April 1, 2021, Form No.: FCC Forms 470 and 471. Commission sought to modify the FCC through March 31, 2022, unless changed Respondents: Not-for-profit Form 471 to implement these changes by subsequent notification in the institutions, and State, Local or Tribal for funding year 2021, as set forth in the Federal Register. governments. Category Two Order. Number of Respondents and FOR FURTHER INFORMATION CONTACT: Responses: 43,000 respondents and The submission was made for Nikhil Mehta, NMFS Southeast Regional 67,100 responses. proposed non-substantive changes to an Office, telephone: 727–824–5305, email: Estimated Time per Response: 3.5 existing information collection pursuant [email protected]. hours for FCC Form 470 (3 hours for to 44 U.S.C. 3507. The submission SUPPLEMENTARY INFORMATION: The South response; 0.5 hours for recordkeeping; sought to make non-substantive changes Atlantic snapper-grouper fishery 4.5 hours for FCC Form 471 (4 hours for to certain fields, instructions, and the includes black sea bass south of response; 0.5 hours for recordkeeping). filing process for the FCC Form 471 to 35°15.19′ N latitude and is managed Frequency of Response: implement the changes adopted by the under the Fishery Management Plan for Recordkeeping, on occasion and Commission in the Category Two Order, the Snapper-Grouper Fishery of the annually reporting requirements. FCC 19–117. The submission also South Atlantic Region (FMP). The South Obligation to Respond: Required to sought to make non-substantive changes Atlantic Fishery Management Council obtain or retain benefits. Statutory to the instructions and process by which prepared the FMP and the FMP is authority for this information collection applicants fill out the FCC Form 471 to implemented by NMFS under the is contained in sections 47 U.S.C. 151– improve the user experience and reduce authority of the Magnuson-Stevens 154, 201–205, 218–220, 254, 303(r), 403 the administrative burden. There are no Fishery Conservation and Management and 405 of the Communications Act of proposed changes for the FCC Form 470. Act (Magnuson-Stevens Act) by 1934, as amended. The FCC Form 471 is contained in an regulations at 50 CFR part 622. Total Annual Burden: 273,950 hours. online database. The recreational fishing year for black sea bass is April 1 through March 31. Total Annual Cost: No Cost. Federal Communications Commission. Nature and Extent of Confidentiality: The recreational AM for black sea bass There is no assurance of confidentiality Marlene Dortch, requires that before the April 1 start date provided to respondents concerning this Secretary, Office of the Secretary. of each recreational fishing year, NMFS information collection. However, [FR Doc. 2021–06566 Filed 3–31–21; 8:45 am] projects the length of the recreational respondents may request materials or BILLING CODE 6712–01–P fishing season based on when NMFS
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projects the recreational ACL will be Dated: March 26, 2021. NMFS–2021–0025 in the Search box. met, and announces the recreational Jennifer M. Wallace, Click the ‘‘Comment’’ icon, complete season end date in the Federal Register Acting Director, Office of Sustainable the required fields, and Enter or attach (50 CFR 622.193(e)(2)). The purpose of Fisheries, National Marine Fisheries Service. your comments. this AM is to have a more predictable [FR Doc. 2021–06702 Filed 3–29–21; 4:15 pm] Instructions: Comments sent by any recreational season length while still BILLING CODE 3510–22–P other method or received after the end constraining harvest at the recreational of the comment period, may not be ACL to protect the stock from considered by NMFS. All comments experiencing adverse biological DEPARTMENT OF COMMERCE received are a part of the public record consequences. and will generally be posted for public The recreational ACL for the 2021– National Oceanic and Atmospheric viewing on www.regulations.gov 2022 black sea bass fishing year is Administration without change. All personal identifying 310,602 lb (140,887 kg), gutted weight, information (e.g., name, address, etc.), 366,510 lb (166,246 kg), round weight 50 CFR Part 648 confidential business information, or (50 CFR 622.193(e)(2)). [Docket No. 210325–0071] otherwise sensitive information NMFS estimates that recreational submitted voluntarily by the sender will landings of black sea bass for the 2021– RIN 0648–BK11 be publicly accessible. NMFS will 2022 fishing year will be less than the accept anonymous comments (enter ‘‘N/ Fisheries of the Northeastern United 2021–2022 recreational ACL. To make A’’ in the required fields if you wish to States; Atlantic Herring; Framework this determination, NMFS compared remain anonymous). Adjustment 8 recreational landings in the last three FOR FURTHER INFORMATION CONTACT: Aly fishing years when data were available AGENCY: National Marine Fisheries Pitts, Fishery Management Specialist, to the recreational ACL for the 2021– Service (NMFS), National Oceanic and (978) 281–9352. 2022 black sea bass fishing year. Atmospheric Administration (NOAA), SUPPLEMENTARY INFORMATION: Recreational landings in the past three Commerce. Background recent fishing seasons with available ACTION: Interim final rule; request for data have been below the ACL, and comments. Regulations implementing the NMFS expects similar landings for the Atlantic Herring Fishery Management 2021–2022 fishing season. Therefore, SUMMARY: This rule approves and Plan (FMP) appear at 50 CFR part 648, because NMFS projects that the implements the 2021–2023 Atlantic subpart K. The regulations at § 648.200 recreational landings will be less than herring fishery specifications and require the Council to recommend the 2021–2022 recreational ACL, NMFS management measures. Framework herring specifications for NMFS’ review does not expect to close the recreational Adjustment 8 is required to set the and publication in the Federal Register, sector during the fishing year and specifications for 2021–2023 and adjusts including: The overfishing limit (OFL); announces that the season end date for measures in the herring fishery to allow acceptable biological catch (ABC); recreational fishing for black sea bass in greater opportunity to catch Atlantic annual catch limit (ACL); management the South Atlantic EEZ south of mackerel. The specifications and uncertainty; optimum yield (OY); 35°15.19′ N latitude is March 31, 2022. management measures are intended to domestic annual harvest (DAH); meet conservation objectives while Classification domestic annual processing (DAP); U.S. providing vessels with sustainable at-sea processing; border transfer; the NMFS issues this action pursuant to levels of access to the fishery. sub-ACL for each management area, section 305(d) of the Magnuson-Stevens DATES: including seasonal periods as allowed Act. This action is required by 50 CFR Effective date: This action is effective by § 648.201(d) and modifications to 622.193(e)(2), which was issued March 29, 2021. sub-ACLs as allowed by § 648.201(f); pursuant to section 304(b), and is Comments due date: Comments must and the amount to be set aside for the exempt from review under Executive be received on or before May 3, 2021. research set aside (RSA) (0–3 percent of Order 12866. ADDRESSES: Copies of the analyses the sub-ACL from any management Pursuant to 5 U.S.C. 553(b)(B), there supporting this rulemaking, including area) for up to 3 years. These regulations is good cause to waive prior notice and the Framework Adjustment 8 also provide the Council with the an opportunity for public comment on environmental assessment (EA) discretion to recommend river herring this action, as notice and comment prepared by the New England Fishery and shad catch caps as part of the would be unnecessary and contrary to Management Council (Council) are specifications in addition to modifying the public interest. Such procedures are available from: Thomas A. Nies, the incidental possession limit during a unnecessary because the rule Executive Director, New England closure of a sub-ACL and modifying establishing the AM has already been Fishery Management Council, 50 Water seasonal area closures. subject to notice and comment. Such Street, Mill 2, Newburyport, MA 01950, The Magnuson-Stevens Fishery procedures are contrary to the public telephone (978) 465–0492. The Conservation and Management Act interest because of the need to supporting documents are also (MSA) permits NMFS to approve, immediately announce the notice of the accessible via the internet at: https:// partially approve, or disapprove recreational season length since the www.nefmc.org/management-plans/ measures proposed by the Council season starts April 1, 2021, and all that herring or http://www.regulations.gov. based only on whether the measures are remains is to notify the public. You may submit comments, identified consistent with the fishery management For the aforementioned reasons, the by NOAA–NMFS–2021–0025, by the plan, plan amendment, the MSA and its Acting Assistant Administrator for following method: National Standards, and other NMFS also finds good cause to waive Electronic Submission: Submit all applicable law. We intended to propose the 30-day delay in the effectiveness of electronic public comments via the measures recommended by the Council this action under 5 U.S.C. 553(d)(3). Federal e-Rulemaking Portal. Go to in September 2020. However, given the Authority: 16 U.S.C. 1801 et seq. www.regulations.gov and enter NOAA– greatly reduced catch limits in the
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specifications, and in order to avoid previous assessment in 2018 that associated with this action estimate that potential overages that may occur at the indicated the stock was approaching an overall herring biomass is expected to start of the fishing year while higher overfished condition, and overfishing remain at relatively low levels in the specifications are in place, we are was not occurring. Recruitment next few years. The probability of the approving and implementing the 2021– continues to be at historic low levels. stock remaining overfished is relatively 2023 herring specifications and other Based on these results, NMFS officially high under all alternatives considered management measures recommended by notified the Council that the stock was for this action. the Council through this interim final declared overfished in early October 2021–2023 Atlantic Herring rule. We are requesting public 2020 following the Council’s final Specifications comments on this action following the action on Framework 8 in September rule’s publication. 2020, and requested the Council Based on the findings of the June 2020 The Northeast Fisheries Science develop rebuilding measures. The management track assessment, the Center (NEFSC) completed a NEFSC will conduct a new herring Council recommended the 2021–2023 management track assessment of the management track assessment in 2022. specifications for the herring fishery at Atlantic herring stock in June 2020. This This assessment will reassess projected its September 30, 2020, meeting. This assessment showed that the stock is biomass and recruitment trends and will rule implements the specifications now overfished, but overfishing is not be used to set herring specifications for detailed in Table 1, as recommended by occurring. This is a change from the 2023–2025. The specifications the Council.
TABLE 1—2021–2023 ATLANTIC HERRING SPECIFICATIONS [mt]
Specification 2021 2022 2023
OFL ...... 23,423 26,292 44,600 ABC ...... 9,483 8,767 8,767 Management Uncertainty ...... 4,669 4,669 4,669 OY/ACL ...... * 4,814 * 4,098 * 4,098 DAH ...... 4,814 4,098 4,098 Border Transfer ...... 0 0 0 DAP ...... 4,814 4,098 4,098 U.S. At-Sea Processing ...... 0 0 0 Area 1A sub-ACL (28.9%) ...... * 1,391 * 1,184 * 1,184 Area 1B sub-ACL (4.3%) ...... 207 176 176 Area 2 sub-ACL (27.8%) ...... 1,338 1,139 1,139 Area 3 sub-ACL (39%) ...... 1,877 1,598 1,598 Fixed Gear Set-Aside ...... 30 30 30 Research Set-Aside as percentage of sub-ACL ...... ** 0 0 *** 0 * If New Brunswick weir landings are less than 3,012 mt through October 1, then 1,000 mt will be subtracted from the management uncertainty buffer and reallocated to the Area 1A sub-ACL and ACL. Thus, the Area 1A sub-ACL would increase to 2,391 mt, and the ACL would increase to 5,814 mt in 2021. ** Because the RSA participants will not be pursing RSA, we will not deduct it from the sub-ACLs. *** RSA will to be revisited for 2023–2025 specifications.
Several factors contributed to the 2021 ABC is 51-percent lower than that ACLs are 4,814 mt for 2021 and 4,098 Council’s ABC recommendations for currently in place for 2021. mt for 2022–2023. 2021–2023. The ABC is reduced from The ACL is reduced from the ABC to The Council also recommended a the OFL to account for scientific account for management uncertainty. provision that if weir fishery landings uncertainty. The Council’s Scientific Currently, although the FMP allows for are less than 3,012 mt through October and Statistical Committee (SSC) and the consideration of other aspects of 1, NMFS would subtract 1,000 mt from Council determined that a conservative management uncertainty (e.g., the management uncertainty buffer and method of management, specifically one uncertainty around discard estimates of reallocate that 1,000 mt to the Area 1A that accounts for scientific uncertainty, herring caught in Federal and state sub-ACL and ACL. Currently, this was essential due to the current status waters), the only source for management provision is allowed if New Brunswick of the herring stock and the uncertainty uncertainty that is applied to the 2021– weir landings are less than 2,942 mt surrounding estimates of biomass and 2023 ABCs are landings in the New through October 1. The updated recruitment. The SSC and the Council Brunswick weir fishery. Catch in the landings estimate is based on the most recommended a herring ABC of 9,483 New Brunswick weir fishery is variable recent landings data. There is no trend mt for 2021 and 8,757 mt for 2022–2023 but has declined in recent years. After in recent New Brunswick weir landings; based on the control rule approved in considering a range of management using a 10-year average is intended to Amendment 8 that reduces the available uncertainty buffers, the Council reflect the variability of the fishery. This harvest to explicitly account for recommended a buffer of 4,669 mt, action implements these adjustments to herring’s role as forage in the ecosystem. consistent with average landings in the the weir fishery reallocation provision. The original projection for the 2023 New Brunswick weir fishery over the Border Transfer ABC was 11,025 mt; however, the SSC last 10 years. The Council selected this and Council recommended reducing the method in Framework 6 (85 FR 26874, Border Transfer is a processing ABC for 2023 to better address May 6, 2020) for setting the 2019–2021 allocation available to Canadian dealers uncertainties in the projection specifications to account for variability that is included in, and does not reduce, estimates. For comparison, the proposed in this fishery as well. The resulting the domestic catch limits. The MSA
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provides for the issuance of permits to Herring specifications are currently Carryover Canadian vessels transporting U.S. being set every two years, and herring harvested herring to Canada for sardine RSA awards have recently been granted Currently, regulations at § 648.201 processing. This action sets a 0-mt on 3-year cycles. A pause in the require that up to 10 percent of the specification for border transfer for program provides time to sync the RSA unharvested catch in a herring 2021–2023. Incentives are currently low program with the specifications cycle management area shall be carried over to transfer fish to Canadian vessels and and potentially address other issues and added to that area’s sub-ACL for the this allocation can be revisited in the with the herring RSA program. Future fishing year following when total catch future. specifications packages can adjust these is determined. This carryover increases percentages up to 3 percent, and the the sub-ACL for that management area, Research Set-Aside Council will reevaluate this decision but it does not increase the total ACL. During 2019–2021, the herring when considering revisions to the 2023 Under Framework 6, NMFS temporarily research set-aside (RSA) for each specifications and beyond following the suspended the carryover of unharvested management area was set to 3 percent of results of the next assessment. catch for 2020 and 2021 because the each area’s sub-ACL. Any unallocated or River Herring and Shad Catch Caps amount of carryover was substantial unused RSA is re-allocated to the sub- relative to the reduced ACLs. Carryover ACL and made available to the fleet This action maintains status quo river of higher amounts of unharvested quota before the end of the fishing year in herring and shad catch caps for 2021– from 2018 relative to lower sub-ACLs in accordance with the Administrative 2023 (see Table 2). These catch caps 2020 could have had potentially Procedure Act, provided that the RSA were originally set for the fishery in the negative unintended consequences on can be available for harvest before the 2016–2018 specifications, and were some participants in the fishery that fish end of the fishing year for which the maintained in 2019 and 2020. Catch is in different areas and seasons. This RSA is specified. The Council tracked against river herring and shad action maintains the automatic recommended setting aside 3 percent of catch caps on trips landing more than carryover of unharvested catch but each sub-ACL for 2021 RSA, but zero 6,600 lb (3,000 kg) of herring. Once a percent for 2022 and 2023. Because an catch cap is reached, the possession changes the amount from up to 10 RSA award was granted using 2021 limit for herring vessels using that gear percent to up to 5 percent of each sub- RSA, this set-aside recommendation type and fishing in that area (or the ACL. The 5 percent carryover is would support that previously approved corresponding catch cap closure area) is expected to benefit the herring fleet project. However, with recent sub-ACL reduced to 2,000 lb (907 kg) of herring with sub-ACL increases, while resulting reductions, it has been difficult to for the remainder of the fishing year. in a reduced risk of potential negative harvest RSA, and it may be more These caps are intended to meet the consequences on the herring resource beneficial to have that allocation original catch cap goals to provide a than the amounts carried over at 10 applied directly to the herring fishery strong incentive for the herring fleet to percent. Specifically, up to 5 percent of while catch limits are so low. The continue to reduce river herring and each area’s sub-ACL in 2019 or 2020 participants in the RSA program will shad catch, while allowing the fleet to would automatically rollover and be not continue their RSA project in 2021. fully harvest the herring ACL. added to the sub-ACL for each herring Regulations at § 648.207(g) require that management area in 2021 and 2022, we reallocate any unallocated or unused TABLE 2—2021–2023 RIVER HERRING respectively. For example, the 2021 the RSA amount to the respective sub- AND SHAD CATCH CAPS Area 1A sub-ACL increases by 218 mt (5 percent of the 2019 sub-ACL), which ACL(s) if we determine that the RSA [mt] cannot be utilized by a project. As a is an 18-percent increase of the 2021 result, we will not specify RSA for 2021 Catch caps 2021–2023 sub-ACL. This benefit is broken down in and instead will apply the RSA Table 3 below. The overall ACL would allocation directly to the sub-ACLs. The Midwater Trawl Gulf of Maine .... 76.7 not increase due to any carryover from Council recently conducted a review of Midwater Trawl Cape Cod ...... 32.4 a previous year. After the 2022 fishing all RSA programs in this region and the Midwater Trawl Southern New year ends, the 5-percent automatic report highlighted several modifications England and Mid-Atlantic ...... 129.6 carryover would expire, and it would Bottom Trawl Southern New that could be made to the herring RSA England and Mid-Atlantic ...... 122.3 revert to up to 10 percent unless program to improve its effectiveness. modified by a future action.
TABLE 3—SUMMARY OF 2019 SUB-ACLS AND CATCH AND CARRYOVER FOR 2021 [mt]
Carryover 2019 2019 2019 2019 for 2021 2021 2021 Area Initial Adjusted 2019 Catch Underages/ (5 percent Initial Adjusted sub-ACL sub-ACLs Final catch (percent of overages of 2019 sub-ACLs sub-ACLs sub-ACL) sub-ACL)
1A ...... 4,354 5,223 4,916 94 307 218 1,391 1,609 1B ...... 647 628 159 25 469 32 207 239 2 * ...... 4,188 4,062 4,748 117 ¥686 NA 1,338 652 3 ...... 5,876 5,700 3,523 57 2,117 294 1,887 2,181 * Area 2 will be reduced in 2021 due an overage in that area in 2019.
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The Council recommended status quo During development of Framework 8, of the MSA, and other applicable law, methods to set all other herring NMFS cautioned that while this two- subject to further consideration after specifications, including DAH, DAP, step process may offer herring vessels public comment. U.S. at-sea processing, fixed gear set- more access to herring when fishing for The Acting AA finds that prior notice aside, and management area sub-ACLs. mackerel in the future when herring and the opportunity for public sub-ACLs are higher, the benefits may comment, pursuant to authority set forth Other Measures not be realized during times when sub- at 5 U.S.C. 553(b)(B), would be contrary There are two measures in this rule ACLs are low. Despite the lower sub- to the public interest. The Council’s intended to provide more opportunities ACLs, the increase in the initial recommendations for Framework 8 for the herring and mackerel fisheries to incidental possession limit is not adopted at its September meeting and achieve optimum yield by providing expected to result in exceeding the ABC later submitted to NMFS prevented flexibility for the herring fleet to access or result in overfishing. The reduced NMFS from publishing a proposed and the Atlantic mackerel resource during a sub-ACLs in this action still take into final rule in time to implement final sub-ACL closure, given the reduced sub- account management uncertainty. Also, measures by January 1, 2021, which is ACLs. These measures adjust the we expect our ability to monitor and the start of the fishing year. This rule herring incidental catch possession project catch and implement possession sets the specifications for 2021–2023, limit in Areas 2 and 3 and eliminate the limit adjustments with low sub-ACLs in which are greatly reduced from the seasonal closure of Area 1B from a high volume fishery in a timely current sub-ACLs. If these specifications January through April. While the sub- manner may require us to bypass are not set as close to the start of the ACLs are reduced with this action due implementing the 40,000-lb (18,144-kg) fishing year as possible, there is a risk to the status of the resource, increasing incidental possession limit and quickly of an overage in the sub-ACLs, ACL, and the incidental possession limit allows implement the 2,000-lb (907-kg) ABC that will be set by this action, for conservation of the resource as there possession limit to avoid overages and which would further impede is management uncertainty included in an increased risk of exceeding the ABC. conservation of the herring resource. the specifications to avoid an overage. Our management of Areas 1A and 1B is Any overages would be required to be The regulations at § 648.201 currently expected to be consistent with our past reduced from next year’s corresponding specify a 2,000-lb (907-kg) herring experience as this action makes no catch limits, reducing fishing incidental catch possession limit per changes to the current possession limit opportunities next year. This action also trip or calendar day when 92 percent of adjustment triggers in Areas 1A and 1B includes measures to mitigate adverse the sub-ACL for a herring management and maintains the requirement to adjust economic impacts from lost area (Area 1A, 1B, 2 and 3) or 95 percent to a 2,000-lb (907-kg) limit for all areas opportunities to fish due to the reduced of the total ACL for the herring fishery when 95 percent of the total ACL for the sub-ACLs by revising measures that is projected to be caught. This herring fishery is projected to be caught. would allow for the herring fleet to possession limit makes it challenging to This action also removes the seasonal access the Atlantic mackerel resource target mackerel during a sub-ACL closure of Area 1B from January–April. during a sub-ACL closure. Directed directed fishery closure, especially in The seasonal closure of Area 1B from fishery area closures can happen certain areas and seasons when herring January–April prevents vessels from quickly in this high-volume fishery and mackerel mix. These in-season targeting herring and other species. when the sub-ACLs are this low. herring possession limits apply to both Atlantic mackerel have been known to Implementing these measures as quickly limited access and open access herring migrate through Area 1B during this as possible will provide the industry permit holders. Vessels with limited time as they leave the Mid-Atlantic and greater opportunity to realize the access herring permits are not subject to head north in the spring. Providing intended benefits of these measures. a herring possession limit unless one of herring fleet access to Area 1B earlier in The public is anticipating these these triggers is met in-season. the year could improve access to measures, since the recommendations This action implements a two-step Atlantic mackerel overall. were voted on by the Council at the incidental possession limit with similar September meeting. The delay required incidental possession limits as in the Regulation Clarifications for comments on these measures prior to Atlantic mackerel fishery for herring We are modifying the regulations for their implementation would undermine Management Areas 2 and 3 while fisheries of the Northeastern United the resource conservation and economic making no changes to the Management States under the authority of section benefit intended by these measures. We Area 1A and 1B possession limits or 305(d) to the MSA which provides that are still soliciting and accepting closure triggers. The measures in this the Secretary of Commerce may additional public comments on this rule set a higher initial possession limit promulgate regulations necessary to rule. For these reasons, prior notice and of 40,000 lb (18,144 kg) per trip or carry out an FMP or the Magnuson- the opportunity for public comment, calendar day that will be implemented Stevens Act. Specifically, at § 648.202, pursuant to authority set forth at U.S.C. when the fishery is projected to catch a this rule clarifies that the restriction on 553(b)(B), would be contrary to the lower closure trigger threshold of 90 using midwater trawl gear in public interest. percent of the Area 2 or 3 sub-ACL. The Management Area 1A during June Similarly, the need to implement next closure trigger, setting the through September applies to all these measures in a timely manner to possession limit at 2,000 lb (907 kg) per midwater trawl gear, not just those put this interim final rule in place as trip or calendar day, will be fishing for herring. The Council is close to January 1, 2021, as possible implemented when the herring fishery supportive of this clarification. constitutes good cause under authority is projected to catch 98 percent of the contained in 5 U.S.C. 553(d)(3), to sub-ACL in Area 2 or 3. This two-step Classification establish an effective date less than 30 process is intended to slow the directed Pursuant to section 304(b)(1)(A) of the days after date of publication. These herring fishery while allowing vessels MSA, the NMFS Acting Assistant measures promote conservation goals of access to mackerel in the same areas. Administrator (AA) has preliminarily the FMP and allow for flexibility to This measure will be in place until determined that this rule is consistent herring vessels to access the Atlantic adjusted by a future Council action. with the Herring FMP, other provisions mackerel resource during a seasonal
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closure of the directed herring fishery. to Area 1A or Area 1B, before the end (b) A vessel may transit an area that Delay in implementing this rule would of the fishing year, or 92 percent of the is limited to the 2,000-lb (907.2-kg) limit put the herring resource at risk for Area 1A sub-ACL allocated to the or 40,000-lb (18,143.7-kg) limit specified further depletion in addition to seasonal period as set forth in paragraph in paragraph (a) of this section with less preventing the herring fleet from access (d) of this section, beginning the date than 2,000 lb (907.2 kg) or less than to mackerel in the event of a sub-ACL the catch is projected to reach 92 40,000 lb (18,143.7 kg) of herring on directed fishery area closure. percent of the sub-ACL, vessels may not board, provided such herring were This rule has been determined to be attempt or do any of the following: Fish caught in an area or areas not subject to not significant for purposes of Executive for, possess, catch, transfer, or land the 2,000-lb (907.2-kg) limit or 40,000- Order 12866. more than 2,000 lb (907.2 kg) of Atlantic lb (18,143.7-kg) limit specified in This interim final rule is exempt from herring per trip in or from the paragraph (a) of this section, and that all the procedures of the Regulatory applicable area, and from landing fishing gear is stowed and not available Flexibility Act because the rule is issued herring more than once per calendar for immediate use as defined in § 648.2, without opportunity for prior notice and day, except as provided in paragraphs and provided the vessel is issued a opportunity for public comment. (b) and (c) of this section. NMFS shall vessel permit appropriate to the amount This interim rule contains no implement these restrictions in of herring on board and the area where information collection requirements accordance with the APA. the herring was harvested. under the Paperwork Reduction Act of (B) Areas 2 and 3. (1) Incidental (c) A vessel may land in an area that 1995. Possession Limit Adjustment—Phase 1. is limited to the 2,000-lb (907.2-kg) limit List of Subjects in 50 CFR Part 648 If NMFS projects that catch from Area or 40,000-lb (18,143.7-kg) limit specified 2 or Area 3 will reach 90 percent of the in paragraph (a) of this section with less Fisheries, Fishing, Recordkeeping and than 2,000 lb (907.2 kg) or less than reporting requirements. annual sub-ACL allocated to Area 2 or Area 3 before the end of the fishing year, 40,000 lb (18,143.7 kg) of herring on Dated: March 29, 2021. beginning the date the catch is projected board, provided such herring were Samuel D. Rauch III, to reach 90 percent of the applicable caught in an area or areas not subject to Deputy Assistant Administrator for sub-ACL, vessels may not attempt or do the 2,000-lb (907.2-kg) limit or 40,000- Regulatory Programs, National Marine any of the following: Fish for, possess, lb (18,143.7-kg) limit specified in Fisheries Service. catch, transfer, or land more than 40,000 paragraph (a) of this section, and that all For the reasons set out in the lb (18,143.7 kg) of Atlantic herring per fishing gear is stowed and not available preamble, 50 CFR part 648 is amended trip in or from the applicable area, and for immediate use as defined in § 648.2, as follows: from landing herring more than once and provided the vessel is issued a per calendar day, except as provided in vessel permit appropriate to the amount PART 648—FISHERIES OF THE paragraphs (b) and (c) of this section. of herring on board and the area where NORTHEASTERN UNITED STATES NMFS shall implement these the herring was harvested. restrictions in accordance with the APA. * * * * * ■ 1. The authority citation for part 648 (d) * * * continues to read as follows: (2) Incidental Possession Limit (2) Area 1B: 100 percent available for Adjustment—Phase 2. If NMFS projects harvest during January–December. Authority: 16 U.S.C. 1801 et seq. that catch will reach 98 percent of the ■ 2. In § 648.14, revise paragraph annual sub-ACL allocated to Area 2 or * * * * * (r)(1)(ii)(B) to read as follows: Area 3 before the end of the fishing year, (g) * * * beginning the date the catch is projected (1) Subject to the conditions described § 648.14 Prohibitions. to reach 98 percent of the sub-ACL, in this paragraph (g), unharvested catch * * * * * vessels may not fish for, possess, catch, in a herring management area in a (r) * * * transfer, or land more than 2,000 lb fishing year (up to 10 percent of that (1) * * * (907.2 kg) of Atlantic herring per trip in area’s sub-ACL) shall be carried over (ii) * * * the applicable area, and from landing and added to the sub-ACL for that (B) Attempt or do any of the herring more than once per calendar herring management area for the fishing following: Fish for, possess, transfer, day, except as provided in paragraphs year following the year when total catch receive, or sell; more than the (b) and (c) of this section. NMFS shall is determined. For example, NMFS will possession limits specified at implement these restrictions in determine total catch from Year 1 § 648.201(a) during a management area accordance with the APA. during Year 2, and will add carryover to closure, or from a river herring and shad the applicable sub-ACL(s) in Year 3. All catch cap closure area that has been (ii) Herring fishery closure. If NMFS such carryover shall be based on the closed to specified gear pursuant to projects that catch will reach 95 percent herring management area’s initial sub- § 648.201(a)(4)(ii), if the vessel has been of the ACL before the end of the fishing ACL allocation for the fishing year, not issued and holds a valid herring permit. year, beginning the date the catch is the sub-ACL as increased by carryover * * * * * projected to reach 95 percent of the or decreased by an overage deduction, ACL, vessels may not attempt or do any ■ 3. In § 648.201, revise paragraphs as specified in paragraph (a)(3) of this of the following: Fish for, possess, catch, section. All herring caught from a (a)(1)(i) and (ii), (b), (c), (d)(2), (g)(1) and transfer, or land more than 2,000 lb (2), and (h) to read as follows: herring management area shall count (907.2 kg) of Atlantic herring per trip in against that area’s sub-ACL, as increased § 648.201 AMs and harvest controls. all herring management areas, and from by carryover. For example, if 100 mt of (a) * * * landing herring more than once per herring is added as carryover from Year (1) * * * calendar day, except as provided in 1 to a 5,000 mt sub-ACL in Year 3, catch (i) Management area closure. (A) paragraphs (b) and (c) of this section. in that management area would be Areas 1A and 1B. If NMFS projects that NMFS shall implement these tracked against a total sub-ACL of 5,100 catch from Area 1A or 1B will reach 92 restrictions in accordance with the APA. mt. NMFS shall add sub-ACL carryover percent of the annual sub-ACL allocated * * * * * only if the ACL, specified consistent
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with § 648.200(b)(3), for the fishing year ■ 4. In § 648.202, revise paragraphs midwater trawl gear on board may in which there is unharvested herring, (a)(1) and (2) introductory text to read transit the inshore midwater trawl is not exceeded. The ACL, consistent as follows: restricted area, provided such midwater with § 648.200(b)(3), shall not be trawl gear is stowed and not available § 648.202 Season and area restrictions. increased by carryover specified in this for immediate use as defined in § 648.2. paragraph (g). (a) * * * Vessels on a declared research set-aside (2) Carryover of unharvested catch to (1) Area 1A. Federally permitted trip are permitted to use, deploy, or fish any herring management area’s sub-ACL vessels fishing may not use, deploy, or with midwater trawl gear within the in the 2021 and 2022 herring fishing fish with midwater trawl gear in Area inshore midwater trawl restricted areas years, as described in this paragraph (g), 1A from June 1 September 30 of each provided the vessel is operating as shall be limited to 5 percent of fishing year. A vessel with midwater authorized by an exempted fishing unharvested catch in the 2019 and 2020 trawl gear on board may transit Area 1A fishing years. from June 1–September 30, provided permit. The Inshore Midwater Trawl (h) If NMFS determines that the New such midwater trawl gear is stowed and Restricted Area includes all state and Brunswick weir fishery landed less than not available for immediate use as Federal waters between the U.S. 3,012 mt of herring through October 1, defined in § 648.2. Vessels may use any coastline and the following points, NMFS will subtract 1,000 mt from authorized gear type to harvest herring connected in the order listed by straight management uncertainty and reallocate in Area 1A from October 1–May 31. lines, unless otherwise noted: that 1,000 mt to the ACL and Area 1A (2) Inshore. Federally permitted * * * * * sub-ACL. NMFS will notify the Council vessels may not use, deploy, or fish with [FR Doc. 2021–06751 Filed 3–29–21; 4:15 pm] of this adjustment and publish the midwater trawl gear within the inshore BILLING CODE 3510–22–P adjustment in the Federal Register. midwater trawl restricted area. A * * * * * federally permitted vessel with
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Proposed Rules Federal Register Vol. 86, No. 61
Thursday, April 1, 2021
This section of the FEDERAL REGISTER 30, West Building Ground Floor, Room recommended change, and include contains notices to the public of the proposed W12–140, 1200 New Jersey Avenue SE, supporting data. The FAA will consider issuance of rules and regulations. The Washington, DC 20590. all comments received by the closing purpose of these notices is to give interested • Hand Delivery: Deliver to Mail date and may amend the proposal persons an opportunity to participate in the address above between 9 a.m. and 5 because of those comments. rule making prior to the adoption of the final p.m., Monday through Friday, except rules. Except for Confidential Business Federal holidays. Information (CBI) as described in the For material that will be incorporated following paragraph, and other DEPARTMENT OF TRANSPORTATION by reference (IBR) in this AD, contact information as described in 14 CFR TCCA, Transport Canada National 11.35, the FAA will post all comments Federal Aviation Administration Aircraft Certification, 159 Cleopatra received, without change, to https:// Drive, Nepean, Ontario, K1A 0N5, www.regulations.gov, including any 14 CFR Part 39 Canada; telephone +1–888–663–3639; personal information you provide. The email [email protected]; internet https:// agency will also post a report [Docket No. FAA–2021–0201; Project tc.canada.ca/en/aviation. You may view Identifier MCAI–2020–01346–T] summarizing each substantive verbal this IBR material at the FAA, contact received about this proposed RIN 2120–AA64 Airworthiness Products Section, AD. Operational Safety Branch, 2200 South Airworthiness Directives; Airbus 216th St., Des Moines, WA. For Confidential Business Information Canada Limited Partnership (Type information on the availability of this CBI is commercial or financial Certificate Previously Held by C Series material at the FAA, call 206–231–3195. information that is both customarily and Aircraft Limited Partnership (CSALP); It is also available in the AD docket on actually treated as private by its owner. Bombardier, Inc.) Airplanes the internet at https:// Under the Freedom of Information Act AGENCY: Federal Aviation www.regulations.gov by searching for (FOIA) (5 U.S.C. 552), CBI is exempt Administration (FAA), DOT. and locating Docket No. FAA–2021– from public disclosure. If your ACTION: Notice of proposed rulemaking 0201. comments responsive to this NPRM (NPRM). Examining the AD Docket contain commercial or financial information that is customarily treated SUMMARY: The FAA proposes to adopt a You may examine the AD docket on as private, that you actually treat as new airworthiness directive (AD) for all the internet at https:// private, and that is relevant or Airbus Canada Limited Partnership www.regulations.gov by searching for responsive to this NPRM, it is important Model BD–500–1A10 and BD–500– and locating Docket No. FAA–2021– that you clearly designate the submitted 1A11 airplanes. This proposed AD was 0201; or in person at Docket Operations comments as CBI. Please mark each prompted by a report of cracking in between 9 a.m. and 5 p.m., Monday page of your submission containing CBI certain components on left and right through Friday, except Federal holidays. as ‘‘PROPIN.’’ The FAA will treat such sides of the aft wing-to-body fairing The AD docket contains this NPRM, any marked submissions as confidential (WTBF) structure near the tie-rod comments received, and other under the FOIA, and they will not be attachment at a certain fuselage station; information. The street address for placed in the public docket of this this cracking likely resulted from Docket Operations is listed above. NPRM. Submissions containing CBI excessive tie-rod preload. This proposed Comments will be available in the AD should be sent to Andrea Jimenez, AD would require inspecting the aft docket shortly after receipt. Aerospace Engineer, Airframe and WTBF structure for any cracking or FOR FURTHER INFORMATION CONTACT: Propulsion Section, FAA, New York damage, adjusting the load on the two Andrea Jimenez, Aerospace Engineer, ACO Branch, 1600 Stewart Avenue, tie-rods at a certain fuselage station, and Airframe and Propulsion Section, FAA, Suite 410, Westbury, NY 11590; repair if necessary, as specified in a New York ACO Branch, 1600 Stewart telephone 516–228–7330; fax 516–794– Transport Canada Civil Aviation (TCCA) Avenue, Suite 410, Westbury, NY 5531; email [email protected]. AD, which is proposed for incorporation 11590; telephone 516–228–7330; fax Any commentary that the FAA receives by reference. The FAA is proposing this 516–794–5531; email 9-avs-nyaco-cos@ which is not specifically designated as AD to address the unsafe condition on faa.gov. CBI will be placed in the public docket these products. SUPPLEMENTARY INFORMATION: for this rulemaking. DATES: The FAA must receive comments Discussion on this proposed AD by May 17, 2021. Comments Invited ADDRESSES: You may send comments, The FAA invites you to send any TCCA, which is the aviation authority using the procedures found in 14 CFR written relevant data, views, or for Canada, has issued TCCA AD CF– 11.43 and 11.45, by any of the following arguments about this proposal. Send 2020–32, dated September 25, 2020 methods: your comments to an address listed (TCCA AD CF–2020–32) (also referred • Federal eRulemaking Portal: Go to under ADDRESSES. Include ‘‘Docket No. to as the Mandatory Continuing https://www.regulations.gov. Follow the FAA–2021–0201; Project Identifier Airworthiness Information, or the instructions for submitting comments. MCAI–2020–01346–T’’ at the beginning MCAI), to correct an unsafe condition • Fax: 202–493–2251. of your comments. The most helpful for all Airbus Canada Limited • Mail: U.S. Department of comments reference a specific portion of Partnership Model BD–500–1A10 and Transportation, Docket Operations, M– the proposal, explain the reason for any BD–500–1A11 airplanes.
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This proposed AD was prompted by FAA’s Determination and Requirements source of information for compliance a report of cracking in the longeron, of This Proposed AD with requirements for corresponding frame, and tie-rod on left and right sides This product has been approved by FAA ADs. The FAA has since of the aft WTBF structure near the tie- the aviation authority of another coordinated with other manufacturers rod attachment at fuselage section (FS) country, and is approved for operation and civil aviation authorities (CAAs) to 973. The cracking likely resulted from in the United States. Pursuant to the use this process. As a result, TCCA AD excessive tie-rod preload, and the FAA’s bilateral agreement with the State CF–2020–32 will be incorporated by cracking reportedly begins earlier on of Design Authority, the FAA has been reference in the FAA final rule. This airplanes with the latest of the two aft notified of the unsafe condition proposed AD would, therefore, require WTBF configurations. The FAA is described in the MCAI referenced compliance with TCCA AD CF–2020–32 proposing this AD to address such above. The FAA is proposing this AD in its entirety, through that cracking, which could lead to loss of aft because the FAA evaluated all the incorporation, except for any differences WTBF integrity and result in damage relevant information and determined identified as exceptions in the due to parts departing the airplane, loss the unsafe condition described regulatory text of this proposed AD. of the radio altimeter, and effects on previously is likely to exist or develop Service information specified in TCCA airplane stability and performance. See in other products of the same type AD CF–2020–32 that is required for the MCAI for additional background design. compliance with TCCA AD CF–2020–32 information. will be available on the internet at Proposed AD Requirements Related Service Information Under 1 https://www.regulations.gov by This proposed AD would require CFR Part 51 searching for and locating Docket No. accomplishing the actions specified in FAA–2021–0201 after the FAA final TCCA AD CF–2020–32 describes TCCA AD CF–2020–32 described rule is published. procedures for doing repetitive detailed previously, as incorporated by visual inspections of the aft WTBF reference, except for any differences Interim Action structure for any cracking or damage identified as exceptions in the The FAA considers this proposed AD (including, but not limited to, cracking), regulatory text of this AD. adjusting the load on the two tie-rods at interim action. If final action is later FS 973, reporting inspection results, and Explanation of Required Compliance identified, the FAA might consider repairing any cracked or damaged Information further rulemaking then. WTBF structure. This material is In the FAA’s ongoing efforts to Costs of Compliance reasonably available because the improve the efficiency of the AD interested parties have access to it process, the FAA initially worked with The FAA estimates that this proposed through their normal course of business Airbus and European Aviation Safety AD affects 11 airplanes of U.S. registry. or by the means identified in the Agency (EASA) to develop a process to The FAA estimates the following costs ADDRESSES section. use certain EASA ADs as the primary to comply with this proposed AD:
ESTIMATED COSTS FOR REQUIRED ACTIONS *
Cost per Cost on U.S. Labor cost Parts cost product operators
9 work-hours × $85 per hour = $765 ...... $0 $765 $8,415 * Table does not include estimated costs for reporting.
The FAA estimates that it would take required by this proposed AD is 2120– Aviation Programs, describes in more about 1 work-hour per product to 0056. The paperwork cost associated detail the scope of the Agency’s comply with the proposed reporting with this proposed AD has been authority. requirement in this proposed AD. The detailed in the Costs of Compliance The FAA is issuing this rulemaking average labor rate is $85 per hour. Based section of this document and includes under the authority described in on these figures, the FAA estimates the time for reviewing instructions, as well Subtitle VII, Part A, Subpart III, Section cost of reporting on U.S. operators to be as completing and reviewing the 44701: General requirements. Under $935, or $85 per product. collection of information. Therefore, all that section, Congress charges the FAA The FAA has received no definitive reporting associated with this proposed with promoting safe flight of civil data on which to base the cost estimates AD is mandatory. Comments concerning aircraft in air commerce by prescribing for the on-condition repairs specified in the accuracy of this burden and regulations for practices, methods, and this proposed AD. suggestions for reducing the burden procedures the Administrator finds should be directed to Information necessary for safety in air commerce. Paperwork Reduction Act Collection Clearance Officer, Federal This regulation is within the scope of A federal agency may not conduct or Aviation Administration, 10101 that authority because it addresses an sponsor, and a person is not required to Hillwood Parkway, Fort Worth, TX unsafe condition that is likely to exist or respond to, nor shall a person be subject 76177–1524. develop on products identified in this to penalty for failure to comply with a rulemaking action. collection of information subject to the Authority for This Rulemaking requirements of the Paperwork Title 49 of the United States Code Regulatory Findings Reduction Act unless that collection of specifies the FAA’s authority to issue The FAA determined that this information displays a current valid rules on aviation safety. Subtitle I, proposed AD would not have federalism OMB control number. The control section 106, describes the authority of implications under Executive Order number for the collection of information the FAA Administrator. Subtitle VII: 13132. This proposed AD would not
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have a substantial direct effect on the cracking likely resulted from excessive tie- procedures found in 14 CFR 39.19. In States, on the relationship between the rod preload. The FAA is issuing this AD to accordance with 14 CFR 39.19, send your national Government and the States, or address such cracking, which could lead to request to your principal inspector or responsible Flight Standards Office, as on the distribution of power and loss of aft WTBF integrity and result in damage due to parts departing the airplane, appropriate. If sending information directly responsibilities among the various loss of the radio altimeter, and effects on to the manager of the certification office, levels of government. airplane stability and performance. send it to ATTN: Program Manager, For the reasons discussed above, I Continuing Operational Safety, FAA, New certify this proposed regulation: (f) Compliance York ACO Branch, 1600 Stewart Avenue, (1) Is not a ‘‘significant regulatory Comply with this AD within the Suite 410, Westbury, NY 11590; telephone action’’ under Executive Order 12866, compliance times specified, unless already 516–228–7300; fax 516–794–5531. Before (2) Will not affect intrastate aviation done. using any approved AMOC, notify your appropriate principal inspector, or lacking a in Alaska, and (g) Requirements principal inspector, the manager of the (3) Will not have a significant Except as specified in paragraph (h) of this responsible Flight Standards Office. economic impact, positive or negative, AD: Comply with all required actions and (2) Contacting the Manufacturer: For any on a substantial number of small entities compliance times specified in, and in requirement in this AD to obtain instructions under the criteria of the Regulatory accordance with, Transport Canada Civil from a manufacturer, the instructions must Flexibility Act. Aviation (TCCA) AD CF–2020–32, dated be accomplished using a method approved September 25, 2020 (TCCA AD CF–2020–32). by the Manager, New York ACO Branch FAA; List of Subjects in 14 CFR Part 39 or TCCA; or Airbus Canada’s TCCA Design (h) Exceptions to TCCA AD CF–2020–32 Approval Organization (DAO). If approved by Air transportation, Aircraft, Aviation (1) Where TCCA AD CF–2020–32 refers to the DAO, the approval must include the safety, Incorporation by reference, its effective date, this AD requires using the DAO-authorized signature. Safety. effective date of this AD. (3) Paperwork Reduction Act Burden (2) Where paragraphs B. and E. of TCCA Statement: A federal agency may not conduct The Proposed Amendment AD CF–2020–32 specify to repair ‘‘any cracks or sponsor, and a person is not required to Accordingly, under the authority or damage’’ at certain compliance times or respond to, nor shall a person be subject to delegated to me by the Administrator, intervals, this AD requires repairing any a penalty for failure to comply with a the FAA proposes to amend 14 CFR part cracks or damage before further flight. collection of information subject to the (3) Where TCCA AD CF 2020–32 refers to requirements of the Paperwork Reduction 39 as follows: hours air time, this AD requires using flight Act unless that collection of information PART 39—AIRWORTHINESS hours. displays a current valid OMB Control (4) Where table 1 of TCCA AD CF 2020– Number. The OMB Control Number for this DIRECTIVES 32 specifies a compliance time ‘‘for new information collection is 2120–0056. Public aeroplanes with an aeroplane date of reporting for this collection of information is ■ 1. The authority citation for part 39 manufacture, as identified on the estimated to be approximately 1 hour per continues to read as follows: identification plate of the aeroplane, dated on response, including the time for reviewing Authority: 49 U.S.C. 106(g), 40113, 44701. or after the effective date of this AD’’ for this instructions, searching existing data sources, AD use ‘‘for airplanes with a date of gathering and maintaining the data needed, § 39.13 [Amended] manufacturer, as identified on the and completing and reviewing the collection ■ 2. The FAA amends § 39.13 by adding identification plate of the airplane, dated on of information. All responses to this or after the effective date of this AD.’’ collection of information are mandatory as the following new airworthiness (5) Where TCCA AD CF 2020–32 defines required by this AD. Send comments directive (AD): the ‘‘applicable AMP DM’’ as ‘‘Airbus Canada regarding this burden estimate or any other Airbus Canada Limited Partnership (Type Limited Partnership AMP DM BD500–A–J53– aspect of this collection of information, Certificate Previously Held by C Series 82–55–04AAA–720A–A (Aft fairing strut, including suggestions for reducing this Aircraft Limited Partnership (CSALP); Wing To Body Fairing (WTBF)—Install burden to Information Collection Clearance Bombardier, Inc.): Docket No. FAA– procedure) Issue 006, dated 26 June 2020, or Officer, Federal Aviation Administration, 2021–0201; Project Identifier MCAI– later revisions,’’ for this AD use ‘‘Airbus 10101 Hillwood Parkway, Fort Worth, TX 2020–01346–T. Canada Limited Partnership AMP DM 76177–1524. BD500–A–J53–82–55–04AAA–720A–A (Aft (a) Comments Due Date fairing strut, Wing To Body Fairing (WTBF)— (j) Related Information The FAA must receive comments by May Install procedure) Issue 006, dated 26 June (1) For information about TCCA AD CF– 17, 2021. 2020, or later-approved revisions.’’ 2020–32, contact TCCA, Transport Canada (6) Paragraph D. of TCCA AD CF–2020–32 National Aircraft Certification, 159 Cleopatra (b) Affected Airworthiness Directives (ADs) specifies to report inspection results to Drive, Nepean, Ontario, K1A 0N5, Canada; None. Airbus Canada Limited Partnership within a telephone 888–663–3639; email AD-CN@ certain compliance time. For this AD, report tc.gc.ca; Internet https://tc.canada.ca/en/ (c) Applicability inspection results at the applicable time aviation. You may find this TCCA AD on the This AD applies to all Airbus Canada specified in paragraph (h)(6)(i) or (ii) of this TCCA website at https://tc.canada.ca/en/ Limited Partnership (Type Certificate AD. aviation. You may view this material at the Previously Held by C Series Aircraft Limited (i) If the inspection was done on or after FAA, Airworthiness Products Section, Partnership (CSALP); Bombardier, Inc.) the effective date of this AD: Submit the Operational Safety Branch, 2200 South 216th Model BD–500–1A10 and BD–500–1A11 report within 30 days after the inspection. St., Des Moines, WA. For information on the airplanes, certificated in any category. (ii) If the inspection was done before the availability of this material at the FAA, call effective date of this AD: Submit the report 206–231–3195. This material may be found (d) Subject within 30 days after the effective date of this in the AD docket on the internet at https:// Air Transport Association (ATA) of AD. www.regulations.gov by searching for and America Code 53, Fuselage. locating Docket No. FAA–2021–0201. (i) Other FAA AD Provisions (2) For more information about this AD, (e) Reason The following provisions also apply to this contact Andrea Jimenez, Aerospace Engineer, This AD was prompted by a report of AD: Airframe and Propulsion Section, FAA, New cracking in the longeron, frame, and tie-rod (1) Alternative Methods of Compliance York ACO Branch, 1600 Stewart Avenue, on left and right sides of the aft wing-to-body (AMOCs): The Manager, New York ACO Suite 410, Westbury, NY 11590; telephone fairing (WTBF) structure near the tie-rod Branch, FAA, has the authority to approve 516–228–7330; fax 516–794–5531; email 9- attachment at fuselage station (FS) 973; this AMOCs for this AD, if requested using the [email protected].
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Issued on March 25, 2021. The Coast Guard is evaluating the DEPARTMENT OF HOMELAND Lance T. Gant, potential use of Safety Management SECURITY Director, Compliance & Airworthiness Systems (SMSs) to improve safety and Division, Aircraft Certification Service. reduce marine casualties on board U.S. Coast Guard [FR Doc. 2021–06550 Filed 3–31–21; 8:45 am] flagged passenger vessels. The ANPRM BILLING CODE 4910–13–P published January 15, 2021, seeks 33 CFR Part 110 public input and responses to specific [Docket Number USCG–2020–0620] questions on the feasibility, DEPARTMENT OF HOMELAND applicability, and nature of Safety Anchorage Ground; Approaches to SECURITY Management Systems for potential use New York, Ambrose, Long Beach, NY on U.S.-flagged passenger vessels. The Coast Guard Coast Guard may use this information to AGENCY: Coast Guard, DHS. develop a proposed rule. ACTION: Notification of inquiry; request 33 CFR Part 96 On March 1, 2021, we published a for comments. correction (86 FR 11913) to one of the 46 CFR Parts 71, 115, and 176 SUMMARY: We are requesting public questions in the ANPRM. The corrected comments regarding the potential Question 19 now reads: ‘‘How would [Docket No. USCG–2020–0123] establishment of an anchorage ground in the costs and benefits of expanding an area referred to by mariners as the RIN 1625–AC65 other existing regulations, as detailed in ‘‘Ambrose anchorage,’’ which is an question 6, differ from the costs and Safety Management Systems for offshore area that has been used by benefits of requiring SMSs for all Domestic Passenger Vessels ships awaiting inshore anchorages or passenger vessels?’’ berths. The area is located in the AGENCY: Coast Guard, DHS. We encourage you to submit approaches to New York, approximately ACTION: Advance notice of proposed comments through the Federal 3 nautical miles south of Long Beach, rulemaking; extension of comment eRulemaking Portal at https:// New York, and just north of the period. www.regulations.gov. If you cannot Nantucket to Ambrose Traffic Lane. The submit your material by using https:// Coast Guard is considering formally SUMMARY: The Coast Guard is extending www.regulations.gov, call or email the establishing an anchorage ground at this the comment period for the advance person in the FOR FURTHER INFORMATION location, possibly with regulations notice of proposed rulemaking CONTACT section of this document for governing its use, if doing so will published January 15, 2021, that seeks alternate instructions. improve navigation safety and enhance comments on the potential use of Safety safe and efficient flow of vessel traffic Management Systems to improve safety The ANPRM and public comments in response to it are available in our online and commerce. We are seeking your and reduce marine casualties on board comments on the benefits and impacts U.S.-flagged passenger vessels. We are docket at https://www.regulations.gov, and can be viewed by following that of establishing a regulated anchorage extending the comment period an ground, and if so, what types of additional 45 days, to June 1, 2021. website’s instructions. We review all comments received, but we will only requirements we should consider for the DATES: The comment period for the post comments that address the topic of Coast Guard oversight of the anchorage advance notice of proposed rulemaking the ANPRM. We may choose not to post ground. published January 15, 2021, 86 FR 3899, off-topic, inappropriate, or duplicate DATES: Your comments and related is extended. Comments must be comments that we receive. Additionally, material must reach the Coast Guard on received by the Coast Guard on or before if you visit the online docket and sign or before June 1, 2021. Commenters June 1, 2021. up for email alerts, you will be notified should be aware that the electronic FOR FURTHER INFORMATION CONTACT: For when comments or additional Federal Docket Management System information about this document, call or documents are posted. The Coast Guard will not accept comments after midnight email Lieutenant Kimberly Gates, Vessel will not issue a separate response to the Eastern Daylight Time on the last day of and Facility Operating Standards comments received, but will carefully the comment period. Although the Coast Division (CG–OES–2), U.S. Coast Guard, consider each comment and will Guard prefers and highly encourages all 2703 Martin Luther King Jr. Avenue SE, address them in a proposed rule if one comments and related material be Washington, DC 20593; telephone 202– is developed. submitted directly to the electronic 372–1455, email kimberly.m.gates@ We accept anonymous comments. docket, two virtual public meetings will uscg.mil. Comments we post to https:// be held via webinar and teleconference SUPPLEMENTARY INFORMATION: The Coast www.regulations.gov will include any to provide an opportunity for oral Guard received a request to extend the personal information you have comments regarding the possible comment period for an additional 45 provided. For more about privacy and establishment of an anchorage ground, days on its advance notice of proposed submissions in response to this often informally referred to as the rulemaking (ANPRM) entitled ‘‘Safety document, see the Department of ‘‘Ambrose anchorage’’ on Wednesday, Management Systems for Domestic Homeland Security’s eRulemaking April 21, 2021, beginning at 9 a.m. EST, Passenger Vessels,’’ that was published System of Records notice (85 FR 14226, and on Tuesday, April 27, 2021, January 15, 2021 (86 FR 3899). The March 11, 2020). beginning at 5 p.m. EST. requester cited ongoing COVID–19 ADDRESSES: You may submit comments Dated: March 19, 2021. impacts and that vessel owners and identified by docket number USCG– operators of the potentially affected M.T. Cunningham, 2020–0620 using the Federal portal at population are impacted operationally. Chief, Office of Regulations and https://www.regulations.gov. See the In response to this request, we are Administrative Law. ‘‘Public Participation and Request for extending the comment period to June [FR Doc. 2021–06145 Filed 3–31–21; 8:45 am] Comments’’ portion of the 1, 2021. BILLING CODE 9110–04–P SUPPLEMENTARY INFORMATION section for
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further instructions on submitting Jersey. The Coast Guard’s role is to establishment of a system of shipping comments. support access to navigable waterways safety fairways (‘‘fairways’’) along the The virtual public meeting on for mariners, facilitate movement of Atlantic Coast of the United States Wednesday, April 21, 2021, beginning commerce, and support environmental identified as navigation safety corridors at 9 a.m. EST, will be held via webinar protection, all in a safe manner. in the ACPARS. and teleconference. Global trends are bringing newer Also in 2020, the Coast Guard The virtual public meeting on classes of large ships to the ports of New published a notice of study announcing Tuesday, April 27, 2021, beginning at 5 York and New Jersey. A recently the Northern New York Bight Port p.m. EST, will be held via webinar and completed harbor deepening project Access Route Study (NNYBPARS) (85 teleconference. increased the Federal project depth to FR 38907, June 29, 2020) to obtain Access information for these virtual 50 feet in New York Harbor to comments regarding the adequacy of public meetings will be posted at accommodate the next generation of existing vessel routing measures and to https://homeport.uscg.mil/port- commercial ships. Ships going to or determine whether additional vessel directory/new-york by Friday, April 9, from the ports of New York and New routing measures are necessary for port 2021 under the News and Events Jersey anchor in unregulated areas approaches to New York and New Jersey section. located in the approaches to New York and other port approaches in the First north of the Nantucket to Ambrose FOR FURTHER INFORMATION CONTACT: If Coast Guard District area of Traffic Lane. Vessels may be anchoring you have questions about this responsibility. During a 60-day in this area for a broad range of notification of inquiry, call or email Mr. comment period, five of the 24 purposes including waiting for available Craig Lapiejko, First Coast Guard comments submitted discussed or at space at berths or inshore anchorage District (dpw), U.S. Coast Guard; least mentioned concerns about areas grounds, waiting on inspection, taking telephone (617) 223–8351, email where vessels anchor within the study on stores, transferring of personnel, or [email protected]. area. Some of these comments other activities. Regulated anchorage SUPPLEMENTARY INFORMATION: recommended the Coast Guard identify grounds are available within the port of the customary areas that vessels anchor I. Table of Abbreviations New York and New Jersey. Regulations and federally designate them as establishing these anchorage grounds CFR Code of Federal Regulations anchorage grounds. One comment DHS Department of Homeland Security and governing their use are set out in 33 specifically described an area off Long FR Federal Register CFR 110.155. These anchorage ground Beach, New York believed to be used for § Section regulations were last revised in January anchoring commercial ships. MTS Marine Transportation System 2015 to establish and modify anchorage Within recent years, members of the U.S.C. United States Code grounds to support port demands and New York Harbor Safety, Navigation enhance navigation safety. See Final II. Background and Purpose and Operations Committee have raised Rule published in the Federal Register concerns of how potential wind energy The Coast Guard is considering the on January 15, 2015 (80 FR 2011). leases or the routing of associated establishment of an anchorage ground, In 2016, the Coast Guard requested transmission cables might conflict with informally referred to by mariners as the comments on its draft report of the traditional unregulated anchorage ‘‘Ambrose anchorage,’’ located in the Atlantic Coast Port Access Route Study grounds thereby preventing their approaches to New York, 3 nautical (ACPARS) (81 FR 13307, March 14, continued use. miles south of Long Beach, New York, 2016) that analyzed the Atlantic Coast Preliminary details describing the and just north of the Nantucket to waters seaward of existing port location of this contemplated anchorage Ambrose Traffic Lane. Our authority to approaches within the U.S. Exclusive ground are provided below. The establish anchorage grounds is found in Economic Zone, and announced the anchorage ground dimensions would be 33 U.S.C. 471. Under Title 33 Code of report as final in 2017 (82 FR 16510, approximately 5 nautical miles by 3 Federal Regulation (CFR) § 1.05–1, U.S. April 5, 2017). This multiyear study nautical miles and would encompass an Coast Guard District Commanders are began in 2011, included public area of approximately 15 square nautical delegated the authority to establish participation, and identified key miles. The anchorage ground would anchorage grounds by the Commandant alongshore navigation routes encompass all waters within the lines of the U.S. Coast Guard. customarily followed by ships engaged connecting the following points using The Coast Guard plays a major role in in commerce between U.S. ports from coordinates based on North American the management of the nation’s Marine New York and New Jersey to the Florida Datum of 1983 (NAD83). Transportation System (MTS). The MTS Straits. See https://navcen.uscg.gov/ ′ ″ ′ ″ is a complex system that includes ports, 40 28 24.430 N, 073 39 31.644 W, ?pageName=PARSReports. ′ ″ ′ ″ vessels, lock chambers, intermodal In 2020, the Coast Guard published an 40 29 19.002 N, 073 33 16.321 W, connections, marine terminals, and aids advance notice of proposed rulemaking 40 31′ 06.599″ N, 073 36′ 30.493″ W, to navigation. The approaches to New (ANPRM) titled Shipping Safety 40 31′ 27.763″ N, 073 41′ 42.667″ W, York are a part of this system providing Fairways Along the Atlantic Coast (85 40 29′ 14.949″ N, 073 40′ 29.677″ W, safe and predictable access to the FR 37034, June 19, 2020) seeking 40 29′ 14.896″ N, 073 39′ 31.361″ W, critical ports of New York and New comments regarding the possible thence to point of origin.
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Illustration showing the location of the considered anchorage ground.
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Illustration showing the location of the considered anchorage ground.
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------•""... ·1'! .. _ "
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Illustration showing details near the location of the considered anchorage ground.
Additional illustrations showing the on navigational safety, continued we describe the considered Ambrose location of this considered anchorage growth of the Port of New York and anchorage area. ground are available in the docket. New Jersey, offshore renewable energy 2. Should we establish a Federal III. Information Requested and associated economic activity, and anchorage ground, and if so, what other activities in this offshore area. In Public participation will help the regulations should we consider to the event the Coast Guard were to manage it. This could include but is not Coast Guard decide whether to formally proceed with an anchorage ground in limited to regulations governing establish the anchorage ground, often this location, it would follow normal capacity, size or type of vessel, usage, or informally referred to as the ‘‘Ambrose notice and comment rulemaking duration vessels may remain at anchor. anchorage,’’ located in the approaches processes in accordance with the to New York, 3 nautical miles south of Administrative Procedure Act, 5 U.S.C. 3. Additional information or concerns Long Beach, New York, and just north 551 et seq. regarding the two inactive submarine of the Nantucket to Ambrose Traffic communication cables that lay within Lane. The Coast Guard seeks public We are also specifically seeking comments on: the contemplated anchorage ground and comments, positive or negative, how they would affect the ability to regarding the benefits and impacts a 1. Any alterations to the specific anchor safely. regulated anchorage ground may have location, size or boundary lines of how
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14 TO
Illustration showing the two submarine cables that lay within the considered anchorage ground.
4. Additional information, concerns, ground will have with the Long Island Atlantic Coast (85 FR 37034, June 19, or possible solutions regarding the Fairway proposed in the ANPRM titled 2020). conflict this considered anchorage Shipping Safety Fairways Along the
Illustration showing conflict between the considered anchorage ground and the southern end of the proposed Long Island Fairway.
IV. Public Participation and Request for document, see DHS’s eRulemaking referred to as the ‘‘Ambrose anchorage.’’ Comments System of Records notice (85 FR 14226, If you want to provide a written version We encourage you to submit March 11, 2020). of your oral comments made at the comments through the Federal portal at Documents mentioned in this notice virtual public meeting, you may submit https://www.regulations.gov. If your of inquiry as being available in the them directly to Mr. Craig Lapiejko. material cannot be submitted using docket, and all public comments, will These comments will be added to our https://www.regulations.gov, contact the be in our online docket at https:// online public docket. We recommend person in the FOR FURTHER INFORMATION www.regulations.gov and can be viewed that you include your name and a CONTACT section of this document for by following that website’s instructions. mailing address, an email address, or a alternate instructions. In your We plan to hold two virtual public telephone number in the body of your submission, please include the docket meetings to receive oral comments on document so that we can contact you if number for this notice of inquiry and this notice. Again, as stated earlier, the we have questions regarding your provide a reason for each suggestion or Coast Guard prefers and highly submission. Attendance at the virtual recommendation. encourages all comments and related public meeting is not required. We will We accept anonymous comments. All material be submitted directly to the provide a written summary of the oral comments received will be posted online public docket, but two virtual comments received and will place that without change to https:// public meetings will be held via summary in the online public docket. www.regulations.gov and will include webinar and teleconference to provide The virtual public meeting on any personal information you have an opportunity for oral comments Wednesday, April 21, 2021, beginning provided. For more about privacy and regarding the possible establishment of at 9 a.m. EST, will be held via webinar submissions in response to this an anchorage ground, often informally and teleconference.
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The virtual public meeting on drawbridge across the Mobile River, operations manual that remote operators Tuesday, April 27, 2021, beginning at 5 mile 13.3 near Hurricane, Mobile use to control each bridge. p.m. EST, will be held via webinar and County, Alabama. This proposed rule In the future, CSX anticipates to teleconference. allows the bridge owner to operate the remotely operate an additional ten Access information for these virtual bridge remotely from the CSX remote drawbridges from the CSX remote public meetings will be posted at control center in Mobile, AL. control center. As a general rule the https://homeport.uscg.mil/port- DATES: Comments and relate material Coast Guard will consider allowing one directory/new-york by Friday, April 9, must reach the Coast Guard on or before (1) remote operator to control up to 2021 under the News and Events September 28, 2021. three (3) separate bridges. This is section. ADDRESSES: You may submit comments dependent on the type of vessels that To view the comments and identified by docket number USCG– use the waterways, vessel traffic volume documents mentioned in this preamble 2019–0911 using Federal e-Rulemaking and environmental or geographical as being available in the online public Portal at https://www.regulations.gov. conditions of each bridge and waterway docket, go to http:// See the ‘‘Public Participation and On January 27, 2020 the Coast Guard www.regulations.gov, click on the ‘‘read Request for Comments’’ portion of the published a temporary deviation from regulations; request for comments (TD) comments’’ box, which will then SUPPLEMENTARY INFORMATION section entitled Drawbridge Operation become highlighted in blue. In the below for instructions on submitting Regulation; Mobile River, Hurricane, AL ‘‘Keyword’’ box insert ‘‘USCG–2020– comments. 0620’’ and click ‘‘Search.’’ Click the in the Federal Register (85 FR 4587). FOR FURTHER INFORMATION CONTACT: If ‘‘Open Docket Folder’’ in the ‘‘Actions’’ This temporary deviation was issued to you have questions on this proposed column. test the remote operations system for 60 rule, call or email Mr. Doug Blakemore. days. The objective was to also to collect V. Future Actions Eighth Coast Guard District Bridge and analyze information on how the It is possible that this inquiry may Administration Branch Chief; telephone drawbridge operated from a remote conclude that no formal anchorage (504) 671–2128, email location and the potential effect on ground is necessary. It is also possible [email protected]. vessel traffic in the area. This deviation that this inquiry may conclude that a SUPPLEMENTARY INFORMATION: ended March 27, 2020. Given the duration of time from the formal anchorage ground is needed to I. Table of Abbreviations improve navigation safety and provide end of the test period and the for the overall safe and efficient flow of CFR Code of Federal Regulations development of this NPRM, the Coast CSX CSX Transportation Guard is authorizing second deviation vessel traffic and commerce which will DHS Department of Homeland Security lead to future rulemakings. If so, any to re-test the remote operations of the FR Federal Register bridge and its effect on waterway substantive rulemaking effort associated OMB Office of Management and Budget with this project will follow Coast NPRM Notice of Proposed Rulemaking mobility in that area. However, this Guard public notice and comment (Advance, Supplemental) deviation will run for 180 days and rulemaking procedures to allow for § Section simultaneously with this NPRM. Both public participation in the process and U.S.C. United States Code under the same docket number. Both would require us by law, National documents can be found at https:// II. Background, Purpose and Legal www.regulations.gov and comments can Environmental Policy Act (NEPA), to Basis undertake an assessment of the be made to either document. The CSX Transportation Railroad During the 60 day test period, the environmental effects of our proposed drawbridge has a vertical clearance of Coast Guard did not identify any issues actions. 5.5’ in the closed to navigation position with the remote operation of the bridge Dated: March 22, 2021. and operates in accordance with 33 CFR or any negative impact to a vessels T.G. Allan Jr., 117.5. The CSX Railroad Company, the reasonable ability to use this waterway. Rear Admiral, U.S. Coast Guard, Commander, owner of the bridge requested to change The Coast Guard received four First Coast Guard District. operation of the bridge from a tended comments from the public during the [FR Doc. 2021–06521 Filed 3–31–21; 8:45 am] drawbridge to a remotely operated test period. These comments can be BILLING CODE 9110–04–P drawbridge. This proposed rule will not viewed in the Docket and have been change the operation schedule of the addressed throughout this NPRM or bridge. A copy of the bridge owners below. These comments have been DEPARTMENT OF HOMELAND request can be found at https:// summarized and evaluated by the Coast SECURITY www.regulations.gov in the Docket Guard. USCG–2019–0911. One of the comments received Coast Guard The waterway users include expressed concern that remote operation recreational vessels and commercial systems have not been proven. Under 33 33 CFR Part 117 tows; which combined requires CFR 117.42 the Coast Guard has [Docket No. USCG–2019–0911] approximately six openings a day. authorized a number of drawbridge to CSX has completed installation of a be remotely operated with successful RIN 1625–AA09 remote operation system at the bridge results. Safety is a priority and the and a remote control center, located in Drawbridge Operation Regulation; bridge must operate as if a drawtender Mobile, AL. At the bridge, CSX has Mobile River, Hurricane, AL were present at the bridge. installed infrared cameras, closed The same commenter had safety AGENCY: Coast Guard, DHS. circuit cameras and TVs, concerns that without drawtenders on ACTION: Notice of proposed rulemaking. communication systems and site, maintenance, repairs, inspections information technology systems on the and vessel assistance through the bridge SUMMARY: The Coast Guard proposes to bridge that allow an operator from would not be conducted. In accordance change the operating requirements for Mobile to monitor and control the with CSX procedures, drawtenders are the CSX Transportation Railroad bridge. They have also developed an not allowed to perform these actions.
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There are also concerns about IV. Regulatory Analyses we want to assist small entities in unreported strikes of the bridge by We developed this proposed rule after understanding this proposed rule. If the vessels and potential trespassers at the considering numerous statutes and rule would affect your small business, bridge. CSX has cameras at the bridge Executive Orders related to rulemaking. organization, or governmental and given that the bridge operating Below we summarize its analyses based jurisdiction and you have questions schedule is open on demand, the bridge on these statutes and Executive Orders concerning its provisions or options for must be monitored 24 hours a day. Also, and we discusses First Amendment compliance, please contact the person vessels are required to report certain rights of protestors. listed in the FOR FURTHER INFORMATION marine incidents and casualties and CONTACT section. The Coast Guard will local law enforcement will be alerted if A. Regulatory Planning and Review not retaliate against small entities that there is illegal activity at the bridge. Executive Orders 12866 and 13563 question or complain about this Another comment recommended that direct agencies to assess the costs and proposed rule or any policy or action of the bridge remain in the open to benefits of available regulatory the Coast Guard. navigation position and close when a alternatives and, if regulation is C. Collection of Information train is approaching. Coast Guard will necessary, to select regulatory consider this option and discuss with approaches that maximize net benefits. This proposed rule would call for no CSX during the comment and test Executive Order 13771 directs agencies new collection of information under the period. to control regulatory costs through a Paperwork Reduction Act of 1995 (44 III. Discussion of Proposed Rule budgeting process. This NPRM has not U.S.C. 3501–3520.). 33 CFR 117.42 sets Coast Guard been designated a ‘‘significant D. Federalism and Indian Tribal drawbridge regulations. This regulation regulatory action,’’ under Executive Governments authorizes the Coast Guard District Order 12866. Accordingly, the NPRM has not been reviewed by the Office of A rule has implications for federalism Commander to approve operations from under Executive Order 13132 a remote site. CSX has requested to Management and Budget (OMB) and pursuant to OMB guidance it is exempt (Federalism), if it has a substantial operate the CSX Transportation Bridge direct effect on the States, on the across the Mobile River from the CSX from the requirements of Executive Order 13771. relationship between the national remote control center in Mobile, AL. government and the States, or on the The waterway users include recreational This regulatory action determination is based on the ability that vessels can distribution of power and vessels and commercial tows; which responsibilities among the various combined requires approximately six still transit the bridge with the bridge operator controlling the bridge from a levels of government. We have analyzed openings a day. this proposed rule under that Order and Presently, the bridge opens on signal remote location. have determined that it is consistent for the passage of vessels in accordance B. Impact on Small Entities with the fundamental federalism with 33 CFR 117.05 and this proposed principles and preemption requirements rule will not change that operating The Regulatory Flexibility Act of 1980 described in Executive Order 13132. schedule. This proposed rule will also (RFA), 5 U.S.C. 601–612, as amended, not change how a request to open the requires federal agencies to consider the Also, this proposed rule does not have bridge will be conducted. Mariners potential impact of regulations on small tribal implications under Executive requiring an opening may do so by entities during rulemaking. The term Order 13175 (Consultation and contacting the CSX remote control ‘‘small entities’’ comprises small Coordination with Indian Tribal center on Channels 13/16 or by the businesses, not-for-profit organizations Governments) because it would not phone number posted at the bridge. that are independently owned and have a substantial direct effect on one or The Coast Guard has visited the CSX operated and are not dominant in their more Indian tribes, on the relationship remote control center several times and fields, and governmental jurisdictions between the Federal Government and has confirmed that the remote operating with populations of less than 50,000. Indian tribes, or on the distribution of system is effective. This proposed rule The Coast Guard certifies under 5 U.S.C. power and responsibilities between the allows CSX to control the drawbridge 605(b) that this proposed rule would not Federal Government and Indian tribes. from their remote control center and have a significant economic impact on If you believe this proposed rule has requires CSX to have the capability, a substantial number of small entities. implications for federalism or Indian including resources and manpower to While some owners or operators of tribes, please contact the person listed return the operator to the bridge vessels intending to transit the bridge in the FOR FURTHER INFORMATION location within 3 hours following any of may be small entities, for the reasons CONTACT section. stated in section IV.A above this the below situations: E. Unfunded Mandates Reform Act • Any component of the remote proposed rule would not have a operations system fails and prevents the significant economic impact on any The Unfunded Mandates Reform Act remote operator from being able to vessel owner or operator. of 1995 (2 U.S.C. 1531–1538) requires visually identify vessels, communicate If you think that your business, Federal agencies to assess the effects of with vessels, detect vessels immediately organization, or governmental their discretionary regulatory actions. In underneath the bridge or visually jurisdiction qualifies as a small entity particular, the Act addresses actions identify trains approaching the bridge. and that this rule would have a that may result in the expenditure by a • CSX fails to meet Federal Railway significant economic impact on it, State, local, or tribal government, in the Administration (FRA) or any other please submit a comment (see aggregate, or by the private sector of government agency safety requirements. ADDRESSES) explaining why you think it $100,000,000 (adjusted for inflation) or • Anytime that CSX procedures, qualifies and how and to what degree more in any one year. Though this equipment or operators fail to safely this rule would economically affect it. proposed rule will not result in such an open and close the bridge fail. Under section 213(a) of the Small expenditure, the Coast Guard does • At the direction of the District Business Regulatory Enforcement discuss the effects of this proposed rule Commander. Fairness Act of 1996 (Pub. L. 104–121), elsewhere in this preamble.
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F. Environment www.regulations.gov and will include Dated: March 16, 2021. We have analyzed this rule under any personal information you have John P. Nadeau, Department of Homeland Security provided. For more about privacy and Rear Admiral, U.S. Coast Guard, Commander, Management Directive 023–01, Rev.1, submissions in response to this Eighth Coast Guard District. associated implementing instructions, document, see DHS’s eRulemaking [FR Doc. 2021–06483 Filed 3–31–21; 8:45 am] and Environmental Planning Policy System of Records notice (85 FR 14226, BILLING CODE 9110–04–P COMDTINST 5090.1 (series), which March 11, 2020). guide the Coast Guard in complying Documents mentioned in this NPRM with the National Environmental Policy as being available in this docket and all public comments, will be in our online DEPARTMENT OF VETERANS Act of 1969 (NEPA)(42 U.S.C. 4321– AFFAIRS 4370f) and have made. The Coast Guard docket at https://www.regulations.gov has determined that this action is one of and can be viewed by following that 38 CFR Part 3 a category of actions that do not website’s instructions. Additionally, if individually or cumulatively have a you go to the online docket and sign up RIN 2900–AR13 significant effect on the human for email alerts, you will be notified environment. This proposed rule when comments are posted or a final Certification of Evidence for Proof of promulgates the operating regulations or rule is published. Service procedures for drawbridges. Normally List of Subjects in 33 CFR Part 117 AGENCY: Department of Veterans Affairs. such actions are categorically excluded Bridges. ACTION: Proposed rule. from further review, under paragraph For the reasons discussed in the L49, of Chapter 3, Table 3–1 of the U.S. SUMMARY: The Department of Veterans preamble, the Coast Guard proposes to Coast Guard Environmental Planning Affairs (VA) proposes to amend its amend 33 CFR part 117 as follows: Implementation Procedures. adjudication regulations concerning the Neither a Record of Environmental PART 117—DRAWBRIDGE nature of evidence that VA will accept Consideration nor a Memorandum for OPERATION REGULATIONS as proof of military service and the Record are required for this rule. We character of discharge. In the past, VA seek any comments or information that ■ 1. The authority citation for part 117 only accepted original service may lead to the discovery of a continues to read as follows: documents, copies of service documents significant environmental impact from issued by the service department or by this proposed rule. Authority: 33 U.S.C. 499; 33 CFR 1.05–1; DHS Delegation No. 0170.1. a public custodian of records, or G. Protest Activities photocopies of service documents if ■ 2. Add § 117.111 to read as follows: they were certified to be true copies of The Coast Guard respects the First § 117.111 Mobile River. documents acceptable to VA by an Amendment rights of protesters. accredited agent, attorney or service Protesters are asked to contact the (a) The draw of the CSX organization representative who had person listed in the FOR FURTHER Transportation railroad bridge, mile successfully completed VA-prescribed INFORMATION CONTACT section to 13.3 located near Hurricane, AL shall be training on military records. This coordinate protest activities so that your remotely operated by the bridge proposed change would allow VA to message can be received without operator at CSX’s bridge remote control accept uncertified copies of service jeopardizing the safety or security of center in Mobile, Alabama. Closed documents as evidence of military people, places or vessels. Circuit TVs, infrared detectors, service if VA is satisfied that the communications systems and documents are free from alteration. The V. Public Participation and Request for information technology systems have Comments intended effect of this amendment is to been installed at the bridge. Vessels can streamline and improve the timeliness We view public participation as contact the CSX bridge operator via of adjudication and claims processing essential to effective rulemaking, and VHF–FM channel 13 or by telephone at for VA benefits—without compromising will consider all comments and material the number displayed on the signs program integrity. received during the comment period. posted at the bridge to request an Your comment can help shape the opening of the draw. DATES: Comments must be received on outcome of this rulemaking. If you (b) CSX will return the operator to the or before June 1, 2021. submit a comment, please include the bridge location within 3 hours following ADDRESSES: Comments may be docket number for this rulemaking, any of the situations in this paragraph submitted through www.Regulations.gov indicate the specific section of this (b): or mailed to: Pension and Fiduciary document to which each comment (1) Any component of the remote Service (21PF), Department of Veterans applies, and provide a reason for each operations system fails and prevents the Affairs, 810 Vermont Avenue NW, suggestion or recommendation. remote operator from being able to Washington, DC 20420. Comments We encourage you to submit visually identify vessels, communicate should indicate that they are submitted comments through the Federal with vessels, detect vessels immediately in response to RIN 2900–AR13– eRulemaking Portal at https:// underneath the bridge or visually Certification of Evidence for Proof of www.regulations.gov. If your material identify trains approaching the bridge. Service. Comments received will be cannot be submitted using https:// (2) CSX fails to meet Federal Railway available at www.Regulations.gov for www.regulations.gov, contact the person Administration (FRA) or any other public viewing, inspection or copies. in the FOR FURTHER INFORMATION government agency safety requirements. FOR FURTHER INFORMATION CONTACT: CONTACT section of this document for (3) Anytime that CSX procedures, David Klusman, Lead Program Analyst, alternate instructions. equipment or operators fail to safely Pension and Fiduciary Service (21PF), We accept anonymous comments. All open and close the bridge fail. Veterans Benefits Administration, comments received will be posted (4) Anytime at the direction of the Department of Veterans Affairs, 810 without change to https:// District Commander. Vermont Avenue NW, Washington, DC
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20420, (202) 632–8863. (This is not a completed VA-prescribed training on from the uncertified copy of the service toll-free number.) military records certified them to be true document in 2,105 claims (99.6%). Of SUPPLEMENTARY INFORMATION: The copies of documents acceptable to VA. the eight remaining claims, VA is cornerstone of eligibility for VA benefits VA explained that the proposed awaiting a response from the RMC is active military, naval, or air service amendment would ‘‘help streamline because the records are fire-related or and a discharge or release under claims processing because it will reduce cannot be located. Thus, there is little conditions other than dishonorable. VA the number of instances where VA must evidence that the current regulation regulations at 38 CFR 3.203 establish the seek verification of military service from concerning the nature of evidence that nature of the evidence VA will accept as the service department.’’ 65 FR 39580. VA will accept as proof of military proof of active military service and VA published a final rule adopting these service and character of discharge character of discharge. In general, those changes in April 2001. 66 FR 19857 actually reduces fraud; rather, it only regulations require original service (Apr. 18, 2001). increases the time to deliver benefits documents; VA will accept copies of Under the current process, when the and services to Veterans and those documents only if the copies are Veterans Benefits Administration (VBA) beneficiaries. issued by the military service receives uncertified service documents Therefore, VA proposes to amend 38 department or by a public custodian of (i.e., not originals or certified copies), it CFR 3.203 to authorize VA to accept records or photocopies if they are must seek to verify service through uncertified copies of service certified to be true copies of documents other means, such as data sharing with documents—submitted by claimants other Federal agencies. Although VA is and/or their representatives—as acceptable to VA by an accredited agent, engaged in these efforts, the available evidence of military service if VA is attorney or service organization tools to rapidly request verification of satisfied that the documents are free representative who has successfully service only apply to service that ended from alteration. This proposed completed VA-prescribed training on after 1994. Thus, particularly for amendment would help streamline and military records. pension and survivor benefits claims— improve the timeliness of adjudication On November 3, 1980, VA amended where the population skews towards a and claims processing for VA benefits 38 CFR 3.203 as a consequence of the service period prior to 1994—VA cannot by providing VA additional flexibility Department of Defense’s revision to its utilize the more rapid service regarding the nature of evidence that VA DD Form 214, (Certificate of Release or verification methods noted above, as the will accept as proof of military service Discharge from Active Duty). 45 FR majority of those claimants served in (or and reducing the number of instances 72654 (Nov. 3, 1980). Under the revised are beneficiaries of those who served in) where VA must unnecessarily seek version of § 3.203, VA would only periods that pre-date 1994. verification of military service from accept a copy of a DD Form 214 or VA’s inability to use the more rapid other Federal agencies. VA also Certificate of Discharge if the copy was service verification methods in these proposes minor technical changes to issued by the service department. VA’s cases often adds months to the claims § 3.203(a)(1) for clarity. revisions precluded acceptance of a process, and yet the responses received Finally, we note that VA’s proposed document certified by a notary public or from the other Federal agencies almost revisions to § 3.203 would not alter the a public record custodian without always affirm the information that was underlying standards for determining verification by the service department. already available on the uncertified qualifying service, which would However, in June 1981, VA proposed service document. And in instances continue to be dependent on the to further amend § 3.203 to again accept where the records cannot be located— information contained in the service a copy of a discharge document certified such as those destroyed in the 1973 fire documents. Nothing in this proposed as a true and exact copy by a public at the National Personnel Records rule would alter VA’s essential policy, custodian of records. 46 FR 32036 (Jun. Center—VA must conduct additional reflected in § 3.203, of relying on service 19, 1981). VA explained that ‘‘[i]t now review and request additional service department determinations of qualifying appears that failure to use certified information from the claimants, which service, and for any disputes regarding copies of discharge documents is adds more time to the claims process. the content of a person’s service record causing lengthy delays in claims Lastly, specific to pension benefit to be raised with the appropriate service processing because verification of claims, service verification is often the department. Rather, this proposed service must be obtained from the only additional piece of information rulemaking would only address the service departments in many more cases needed for final adjudication—turning a circumstances under which a copy of than we originally believed.’’ 46 FR claim that should be completed in one the service document would be 32036. VA noted that, ‘‘[s]ince the touch into a claim requiring multiple acceptable to VA without requiring process of obtaining verification is touches that almost always add no verification from the service lengthy, the volume of requests is additional value. department. rapidly increasing. Consequently, we From August 1, 2017, to September are proposing to amend § 3.203 so as to 30, 2017, the Saint Paul and Milwaukee Executive Orders 12866 and 13563 again accept a certified copy of a DD Pension Management Centers (PMCs) Executive Orders 12866 and 13563 Form 214 or the Certificate of Discharge conducted a service verification pilot direct agencies to assess the costs and issued by a public custodian of program that accepted uncertified benefits of available regulatory records.’’ Id. VA published a final rule copies of service documents to expedite alternatives and, when regulation is adopting these proposed changes in claims adjudication. The PMCs necessary, to select regulatory October 1981. 46 FR 51246 (Oct. 19, adjudicated the claims with uncertified approaches that maximize net benefits 1981). copies of the service documents and (including potential economic, In June 2000, VA proposed further then requested that the Records environmental, public health and safety revision to § 3.203 to allow VA to accept Management Center (RMC) verify said effects, and other advantages; photocopies of service documents as service. As of June 4, 2019, of the 2,113 distributive impacts; and equity). proof of service if an accredited agent, total claims completed, the RMC Executive Order 13563 (Improving attorney, or service organization verified as correct the service Regulation and Regulatory Review) representative who had successfully information that was initially obtained emphasizes the importance of
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quantifying both costs and benefits, Housing for Disabled Veterans; 64.109, POSTAL REGULATORY COMMISSION reducing costs, harmonizing rules, and Veterans Compensation for Service- promoting flexibility. The Office of Connected Disability; and 64.110, 39 CFR Part 3050 Information and Regulatory Affairs has Veterans Dependency and Indemnity [Docket No. RM2021–4; Order No. 5852] determined that this rule is not a Compensation for Service-Connected significant regulatory action under Death. Periodic Reporting Executive Order 12866. VA’s impact analysis can be found as List of Subjects in 38 CFR Part 3 AGENCY: Postal Regulatory Commission. a supporting document at http:// Administrative practice and ACTION: Notice of proposed rulemaking. www.regulations.gov, usually within 48 procedure, Claims, Disability benefits, hours after the rulemaking document is Health care, Pensions, Veterans. SUMMARY: The Commission is published. Additionally, a copy of the acknowledging a recent filing requesting Signing Authority: Denis McDonough, the Commission initiate a rulemaking rulemaking and its Regulatory Impact Secretary of Veterans Affairs, approved Analysis (RIA) are available on VA’s proceeding to consider changes to this document on March 12, 2021, and analytical principles relating to periodic website at http://www.va.gov/orpm/, by authorized the undersigned to sign and following the link for ‘‘VA Regulations reports (Proposal Two). This document submit the document to the Office of the informs the public of the filing, invites Published From FY 2004 Through Fiscal Federal Register for publication Year to Date.’’ public comment, and takes other electronically as an official document of administrative steps. the Department of Veterans Affairs. Paperwork Reduction Act DATES: Comments are due: May 14, This proposed rule contains no Jeffrey M. Martin, 2021. provisions constituting a collection of Assistant Director, Office of Regulation Policy ADDRESSES: Submit comments information under the Paperwork & Management, Office of the Secretary, electronically via the Commission’s Department of Veterans Affairs. Reduction Act of 1995 (44 U.S.C. 3501– Filing Online system at http:// 3521). For the reasons set forth in the www.prc.gov. Those who cannot submit Regulatory Flexibility Act preamble, VA proposes to amend 38 comments electronically should contact CFR part 3 as follows: the person identified in the FOR FURTHER The Secretary certifies that this INFORMATION CONTACT section by proposed rule would not have a PART 3—ADJUDICATION telephone for advice on filing significant economic impact on a alternatives. substantial number of small entities as ■ 1. The authority citation for part 3, they are defined in the Regulatory subpart A, continues to read as follows: FOR FURTHER INFORMATION CONTACT: Flexibility Act, 5 U.S.C. 601–612. There Authority: 38 U.S.C. 501(a), unless David A. Trissell, General Counsel, at are no small entities involved with the otherwise noted. 202–789–6820. process and/or benefits associated with SUPPLEMENTARY INFORMATION: ■ 2. Revise 38 CFR 3.203(a)(1) to read as this rulemaking. Therefore, pursuant to follows: Table of Contents 5 U.S.C. 605(b), the initial and final regulatory flexibility analysis § 3.203 Service records as evidence of I. Introduction requirements of 5 U.S.C. 603 and 604 do service and character of discharge. II. Proposal Two not apply. III. Notice and Comment (a) * * * IV. Ordering Paragraphs Unfunded Mandates (1) The evidence is a document issued by the service department. A copy of an I. Introduction The Unfunded Mandates Reform Act original document is acceptable if: of 1995 requires, at 2 U.S.C. 1532, that On March 24, 2021, the Postal Service (i) The copy was issued by the service filed a petition pursuant to 39 CFR agencies prepare an assessment of department; or anticipated costs and benefits before 3050.11 requesting that the Commission (ii) The copy was issued by a public initiate a rulemaking proceeding to issuing any rule that may result in the custodian of records who certifies that expenditure by State, local, and tribal consider changes to analytical it is a true and exact copy of the 1 governments, in the aggregate, or by the principles relating to periodic reports. document in the custodian’s custody; or The Petition identifies the proposed private sector, of $100 million or more (iii) The copy was submitted by an (adjusted annually for inflation) in any analytical changes filed in this docket as accredited agent, attorney or service Proposal Two. one year. This proposed rule would organization representative who has have no such effect on State, local, and successfully completed VA-prescribed II. Proposal Two tribal governments, or on the private training on military records, and who Background. To estimate costs sector. certifies that it is a true and exact copy avoided by mailer presort activities for Catalog of Federal Domestic Assistance of either an original document or of a First-Class Mail letters, a workshare The Catalog of Federal Domestic copy issued by the service department model is developed and filed each year Assistance numbers and titles for the or a public custodian of records; or as part of the Postal Service’s Annual programs affected by this document are (iv) The Department of Veterans Compliance Report (ACR). Petition, 64.100, Automobiles and Adaptive Affairs is satisfied that an otherwise Proposal Two at 1. Mail processing flow Equipment for Certain Disabled uncertified copy submitted by the is ‘‘modeled by rate category, and the Veterans and Members of the Armed claimant or by the claimant’s activities involved are assigned costs Forces; 64.101, Burial Expenses representative is free from alteration; based on the appropriate wage rate, Allowance for Veterans; 64.104, Pension and productivity, and related indirect (i.e. for Non-Service-Connected Disability * * * * * (Authority: 38 U.S.C. 501(a)) 1 Petition of the United States Postal Service for for Veterans; 64.105, Pension to the Initiation of a Proceeding to Consider Proposed Veterans Surviving Spouses, and [FR Doc. 2021–06535 Filed 3–31–21; 8:45 am] Changes in Analytical Principles (Proposal Two), Children; 64.106, Specially Adapted BILLING CODE 8320–01–P March 24, 2021 (Petition).
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‘‘piggyback’’) costs of each operation.’’ Presort’’ and ‘‘Correlated with Presort.’’ 2. Comments by interested persons in Id. The resulting costs are called Id. this proceeding are due no later than ‘‘directly modeled’’ costs. Id. Mail ‘‘Modeled/Proportional Pools’’ May 14, 2021. processing costs are separately include ‘‘cost pools where the mailflow 3. Pursuant to 39 U.S.C. 505, the calculated as part of the Cost and model directly characterizes the flow of Commission appoints Katalin K. Revenue Analysis (CRA) Report using mail through the pools and measures Clendenin to serve as an officer of the In-Office Cost System (IOCS) data for the cost of the component activities.’’ Id. Commission (Public Representative) to the same activities at the product level, at 5. ‘‘Unrelated to Presort’’ include cost represent the interests of the general or within the same cost pools. Id. pools where the ‘‘activities performed public in this docket. However, the ‘‘directly modeled’’ costs are incurred because of piece 4. The Secretary shall arrange for can differ from those calculated as part characteristics unrelated to presort and publication of this order in the Federal of the CRA Report for several reasons.2 thus the costs are invariant to presort, Register. and pools where the costs have spurious As a result, the ‘‘CRA Adjustment By the Commission. correlation with presort.’’ Id. at 6. Factor’’ was developed in order to Erica A. Barker, ‘‘calibrate the model and ‘true-up’ the ‘‘Correlated with Presort’’ include cost Secretary. modeled costs to the costs reported in pools that are generally associated with the CRA Report,’’ using the following non-piece sorting allied labor and [FR Doc. 2021–06633 Filed 3–31–21; 8:45 am] equation: 3 support operations. Id. at 8. The Postal BILLING CODE 7710–FW–P MailProcUnitCosti = ModelUnitCosti * Service notes that ‘‘Correlated with CRAAdjustmentFactor + Presort’’ cost pools may include costs FixedUnitCost that are ‘‘partly avoidable with a greater ENVIRONMENTAL PROTECTION degree of presorting, but not directly AGENCY The Postal Service notes that, under proportional to modeled piece costs.’’ the current methodology, ‘‘cost pools Id. 40 CFR Part 52 that are directly modeled are treated as Finally, the Postal Service notes that proportional, cost pools that are the model would be modified in one [EPA–R08–OAR–2021–0002; FRL–10021– operationally determined to be additional way. The Postal Service 88–Region 8] unrelated to workshare are treated as indicates that costs associated with the fixed, and the remaining cost pools are distribution of mailpieces to P.O. Boxes Approval and Promulgation of treated as partly proportional.’’ Petition, will no longer be included as part of the Implementation Plans; North Dakota; Proposal Two at 3. It further notes that, model. Id. at 10. It describes subsequent Revisions to Air Pollution Control for the last group of cost pools, ‘‘unit ‘‘costing enhancements’’ that have Rules; Regional Haze costs are divided into proportional and eliminated the need to model these AGENCY: Environmental Protection fixed components based on costs in the costs, which it states are ‘‘explicitly Agency (EPA). directly assigned cost pools.’’ Id. measured’’ as part of the ACR. Id. at 10– The Postal Service indicates that, in 11. ACTION: Proposed rule. the years since the methodology Impact. Under the Postal Service’s SUMMARY: The Environmental Protection described above was first established, proposed methodology, avoided costs Agency (EPA) is proposing to approve a ‘‘the structure of cost pools has been and passthroughs associated with First- revision to the North Dakota State configured to better align with Class Mail letters would be affected. Implementation Plan (SIP) submitted by operational practice, enhancing the Those effects are presented in Table 3 of the State of North Dakota on November ability to conduct operational analysis the proposal. See id. at 14. 11, 2016 and supplemented on March of cost pools.’’ Id. The Postal Service III. Notice and Comment 15, 2021, that addresses amendments to further indicates that, ‘‘[w]ith these the regional haze provisions of the developments in data availability, the The Commission establishes Docket North Dakota Administrative Code current methodology for calibrating the No. RM2021–4 for consideration of (NDAC). These revisions were [cost avoidance] models to CRA costs is matters raised by the Petition. More submitted to remove certain regional in need of refinement.’’ Id. information on the Petition may be haze requirements related to Best Proposal. With Proposal Two, the accessed via the Commission’s website at http://www.prc.gov. Interested Available Retrofit Technology (BART) Postal Service seeks to ‘‘revise cost pool in the first planning period. EPA is also classifications for the determination of persons may submit comments on the Petition and Proposal Two no later than proposing to approve a revision to the the proportional and fixed adjustment to North Dakota SIP submitted on August modeled costs’’ and ‘‘update the cost May 14, 2021. Pursuant to 39 U.S.C. 505, Katalin K. Clendenin is designated 3, 2020, that addresses additional pool classification vocabulary to better amendments to the regional haze reflect how the cost pools are treated in as an officer of the Commission (Public Representative) to represent the provisions of the NDAC. The 2020 SIP the calibration methodology.’’ Id. at 4. revision was submitted to update the The Postal Service proposes three new interests of the general public in this proceeding. incorporation by reference date for cost pool classifications: ‘‘Modeled/ regional haze definitions, add emission Proportional Pools,’’ ‘‘Unrelated to IV. Ordering Paragraphs reduction requirements to make It is ordered: reasonable progress during the second 2 Id. The Postal Service notes that CRA costs are 1. The Commission establishes Docket and subsequent regional haze planning not only subject to sampling variation, but the data used to calculate costs for the CRA Report capture No. RM2021–4 for consideration of the periods, and revise the regional haze additionally incurred costs from activities that matters raised by the Petition of the monitoring, recordkeeping, and cannot be directly modeled. Id. United States Postal Service for the reporting requirements to be applicable 3 See id. at 1–2. The CRA Adjustment Factor was Initiation of a Proceeding to Consider under the second and subsequent initially developed in Docket No. R2006–1. Id. at 2–3; see generally Docket No. R2006–1, Opinion Proposed Changes in Analytical planning period. EPA is taking this and Recommended Decision, Volume 1, February Principles (Proposal Two), filed March action pursuant to section 110 and Part 26, 2007. 24, 2021. C of the Clean Air Act (CAA).
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DATES: Written comments must be C. Long-Term Strategy and Reasonable under the second and subsequent received on or before May 3, 2021. Progress Requirements planning periods. D. Consultation With Federal Land ADDRESSES: Submit your comments, II. Background identified by Docket ID No. EPA–R08– Managers OAR–2021–0002, to the Federal E. Monitoring, Recordkeeping, and A. Requirements of the Clean Air Act Reporting Rulemaking Portal: https:// and EPA’s Regional Haze Rule F. Regulatory and Legal History for North www.regulations.gov. Follow the online Dakota Regional Haze In section 169A of the CAA, Congress instructions for submitting comments. III. EPA’s Evaluation of North Dakota’s created a program for protecting Once submitted, comments cannot be Regional Haze SIP Revisions visibility in national parks and edited or removed from A. November 11, 2016 Submittal and wilderness areas. This section of the www.regulations.gov. EPA may publish March 15, 2021 Supplement CAA establishes ‘‘as a national goal the any comment received to its public B. August 3, 2020 Submittal prevention of any future, and the docket. Do not submit electronically any C. Consultation With Federal Land remedying of any existing, impairment information you consider to be Managers of visibility in mandatory Class I Confidential Business Information (CBI) IV. Clean Air Act Section 110(l) Federal areas which impairment results or other information whose disclosure is V. Summary of EPA’s Proposed Action from manmade air pollution.’’ 3 restricted by statute. Multimedia VI. Incorporation by Reference EPA promulgated a rule to address submissions (audio, video, etc.) must be VII. Statutory and Executive Order Reviews regional haze on July 1, 1999.4 The Regional Haze Rule revised the existing accompanied by a written comment. I. What action is EPA proposing? The written comment is considered the visibility regulations 5 to integrate official comment and should include EPA is proposing to approve North provisions addressing regional haze and discussion of all points you wish to Dakota’s regional haze SIP revision established a comprehensive visibility make. EPA will generally not consider submitted by the State of North Dakota protection program for Class I areas. The comments or comment contents located on November 11, 2016, and requirements for regional haze, found at outside of the primary submission (i.e., supplemented on March 15, 2021, as 40 CFR 51.308 and 40 CFR 51.309, are on the web, cloud, or other file sharing discussed in sections III and V of this included in EPA’s visibility protection system). For additional submission proposed rulemaking. Specifically, we regulations at 40 CFR 51.300 through 40 6 methods, the full EPA public comment are proposing to approve North Dakota’s CFR 51.309. EPA revised the Regional 7 policy, information about CBI or removal of NDAC section 33–15–25– Haze Rule on January 10, 2017. multimedia submissions, and general 02.1 (requirement pertaining to the The CAA requires each state to guidance on making effective submittal of a regional haze BART develop a SIP to meet various air quality comments, please visit http:// analysis) and section 33–15–25–03 requirements, including protection of www2.epa.gov/dockets/commenting- (requirement that references the federal visibility by submitting periodic plans epa-dockets. guidelines for BART determinations demonstrating how they have and will Docket: All documents in the docket under the regional haze rule) from the continue to make progress towards are listed in the www.regulations.gov regional haze provisions provided in achieving their visibility improvement index. Although listed in the index, NDAC section 33–15–25.1 some information is not publicly 3 42 U.S.C. 7491(a). Areas designated as EPA is also proposing to approve a mandatory Class I Federal areas consist of national available, e.g., CBI or other information portion of North Dakota’s August 3, parks exceeding 6,000 acres, wilderness areas and whose disclosure is restricted by statute. national memorial parks exceeding 5,000 acres, and 2020, SIP revision that addresses NDAC Certain other material, such as all international parks that were in existence on section 33.1–15–25 of the Air Pollution copyrighted material, will be publicly August 7, 1977. 42 U.S.C. 7472(a). In accordance Control Rules for regional haze.2 with section 169A of the CAA, EPA, in consultation available only in hard copy. Publicly Specifically, we are proposing to with the Department of Interior, promulgated a list available docket materials are available of 156 areas where visibility is identified as an approve the following revisions to electronically in www.regulations.gov. important value. 44 FR 69122 (November 30, 1979). NDAC: Section 33.1–15–25–01 which To reduce the risk of COVID–19 The extent of a mandatory Class I area includes updates the incorporation by reference subsequent changes in boundaries, such as park transmission, for this action we do not date for regional haze definitions; expansions. 42 U.S.C. 7472(a). Although states and plan to offer hard copy review of the tribes may designate as Class I additional areas section 33.1–15–25–03 which adds docket. Please email or call the person whose visibility they consider to be an important emission reduction requirements to value, the requirements of the visibility program set listed in the FOR FURTHER INFORMATION make reasonable progress for the second forth in section 169A of the CAA apply only to CONTACT section if you need to make and subsequent planning periods; and ‘‘mandatory Class I Federal areas.’’ Each mandatory alternative arrangements for access to Class I Federal area is the responsibility of a section 33.1–15–25–04 which revises the docket. ‘‘Federal Land Manager.’’ 42 U.S.C. 7602(i). When the regional haze monitoring, we use the term ‘‘Class I area’’ in this action, we FOR FURTHER INFORMATION CONTACT: recordkeeping, and reporting mean a ‘‘mandatory Class I Federal area.’’ Jaslyn Dobrahner, Air and Radiation requirements to be applicable to sources 4 64 FR 35714, 35714 (July 1, 1999) (codified at Division, EPA, Region 8, Mailcode 40 CFR part 51, subpart P). 5 8ARD–IO, 1595 Wynkoop Street, EPA had previously promulgated regulations to 1 On August 6, 2018, North Dakota submitted a address visibility impairment in Class I areas that Denver, Colorado 80202–1129, (303) SIP to EPA that recodified the Air Pollution Control is ‘‘reasonably attributable’’ to a single source or 312–6252, [email protected]. Rules, including those that address regional haze, small group of sources, i.e., reasonably attributable SUPPLEMENTARY INFORMATION: from NDAC section 33–15 to NDAC section 33.1– visibility impairment (RAVI). 45 FR 80084, 80084 15. EPA approved the recodification on February 5, (December 2, 1980). Throughout this document wherever 2019 (84 FR 1610). The recodification made the 6 EPA revised the Regional Haze Rule on January ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean regional haze section of NDAC to be changed from 10, 2017. 82 FR 3078 (January 10, 2017). Under the EPA. section 33–15–25 to section 33.1–15–25. The 2018 revised Regional Haze Rule, the requirements 40 SIP reflected the deletions of section 33.1–15–25– CFR 51.308(d) and (e) apply to first implementation I. What action is EPA proposing? 02.1 and section 33.1–15.25–03 (formerly referred period SIP submissions and section 51.308(f) II. Background to as section 33–15–25–02.1 and section 33–15–25– applies to submissions for the second and A. Requirements of the Clean Air Act and 03). subsequent implementation periods. 82 FR 3087; EPA’s Regional Haze Rule 2 EPA will act on the remaining portions of the see also 81 FR 26942, 26952 (May 4, 2016). B. Best Available Retrofit Technology ND August 3, 2020, SIP in a future rulemaking. 7 82 FR 3078 (January 10, 2017).
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goals.8 Regional haze SIPs must assure visibility impairment for each Managers (FLMs) before adopting and reasonable progress toward the national mandatory Class I area within the state submitting a required SIP or SIP goal of preventing future and remedying and for each mandatory Class I area revision. Further, when considering a existing manmade visibility impairment located outside the state that may be SIP revision, a state must include in its in Class I areas. A state must submit its affected by emissions from the state. It proposal a description of how it SIP and SIP revisions to EPA for must include the enforceable emission addressed any comments provided by approval.9 The first state plans were due limitations, compliance schedules, and the FLMs.18 in 2007 and covered the 2008–2018 other measures necessary to achieve the E. Monitoring, Recordkeeping, and planning period. State plans covering reasonable progress goals.13 The Reporting the second planning period, 2018–2028, reasonable progress goals, in turn, are are due on July 31, 2021. Once calculated for each Class I area based on The CAA requires that SIPs, including approved, a SIP is enforceable by EPA the control measures states have regional haze SIPs, contain elements and citizens under the CAA; that is, the selected by analyzing the four statutory sufficient to ensure emission limits are SIP is federally enforceable. ‘‘reasonable progress’’ factors, which are practically enforceable. CAA section ‘‘the costs of compliance, the time 110(a)(2) states that the monitoring, B. Best Available Retrofit Technology necessary for compliance, the energy recordkeeping, and reporting provisions Section 169A(b)(2) of the CAA and non-air quality environmental of states’ SIPs must: ‘‘(A) include requires SIPs to contain such measures impacts of compliance, and the enforceable emissions limitations and as may be necessary to make reasonable remaining useful life of any existing other control measures, means, or progress toward meeting the national source subject to such requirement.’’ 14 techniques (including economic visibility goal. Section 169(b)(2)(A) Thus, the four reasonable progress incentives such as fees, marketable specifies that one such requirement is factors are considered by a state in permits, and auctions of emissions for certain categories of existing major setting the reasonable progress goal by rights), as well as schedules and stationary sources built between 1962 virtue of the state having first timetables for compliance, as may be and 1977 to procure, install, and operate considered them, and certain other necessary or appropriate to meet the BART as determined by the states factors listed in § 51.308(d)(3) of the applicable requirements of this chapter; through their SIPs. Under the Regional Regional Haze Rule, when deciding . . . (C) include a program to provide Haze Rule, states (or EPA, in the case of what controls are to be included in the for the enforcement of the measures a FIP) are directed to conduct BART long-term strategy. Then, the numerical described in subparagraph (A), and determinations for such ‘‘BART- levels of the reasonable progress goals regulation of the modification and eligible’’ sources—typically larger, often are the predicted visibility outcome of construction of any stationary source uncontrolled, and older stationary implementing the long-term strategy in within the areas covered by the plan as sources—that may reasonably be addition to ongoing pollution control necessary to assure that national anticipated to cause or contribute to any programs stemming from other CAA ambient air quality standards are visibility impairment in a Class I area.10 requirements. achieved, including a permit program as Rather than requiring source-specific Unlike BART determinations, which required in parts C and D of this BART controls, states also have the are required only for the first regional subchapter ;. . . (F) require, as may be flexibility to adopt an emissions trading haze planning period SIPs,15 states are prescribed by the Administrator—(i) the program or other alternative program as required to submit updates to their long- installation, maintenance, and long as the alternative will achieve term strategies, including updated replacement of equipment, and the greater reasonable progress toward reasonable progress analyses and implementation of other necessary natural visibility conditions than reasonable progress goals, in the form of steps, by owners or operators of BART.11 SIP revisions on July 31, 2021, and at stationary sources to monitor emissions 16 C. Long-Term Strategy and Reasonable specific intervals thereafter. In from such sources, (ii) periodic reports Progress Requirements addition, each state must periodically on the nature and amounts of emissions submit a report to EPA at five-year and emissions-related data from such In addition to the BART requirements, intervals beginning five years after the sources, and (iii) correlation of such the CAA’s visibility protection submission of the initial regional haze reports by the State agency with any provisions also require that states’ SIP, evaluating the state’s progress emissions limitations or standards regional haze SIPs contain a ‘‘long-term towards meeting the reasonable progress established pursuant to this chapter, (ten to fifteen years) strategy for making goals for each Class I area within the which reports shall be available at reasonable progress toward meeting the 17 state. reasonable times for public national goal....’’12 The long-term inspection.’’ 19 strategy must address regional haze D. Consultation With Federal Land Managers Accordingly, 40 CFR part 51, subpart 8 K, Source Surveillance, requires the SIP 42 U.S.C. 7410(a), 7491, and 7492(a); CAA The Regional Haze Rule requires that to provide for monitoring the status of sections 110(a), 169A, and 169B. a state consult with Federal Land 9 42 U.S.C. 7491(b)(2) and 7410. compliance with the regulations in the 10 40 CFR 51.308(e). EPA designed the Guidelines SIP, including ‘‘[p]eriodic testing and 13 for BART Determinations Under the Regional Haze 40 CFR 51.308(d)(3). inspection of stationary sources,’’ 20 and 14 Rule (Guidelines) 40 CFR appendix Y to part 51 ‘‘to 42 U.S.C. 7491(g)(1); 40 CFR 51.308(d)(1)(i). ‘‘legally enforceable procedures’’ for 15 Under the Regional Haze Rule, SIPs are due for help States and others (1) identify those sources 21 that must comply with the BART requirement, and each regional haze planning period, or recordkeeping and reporting. (2) determine the level of control technology that implementation period. The terms ‘‘planning Furthermore, 40 CFR part 51, appendix represents BART for each source.’’ Guidelines, period’’ and ‘‘implementation period’’ are used V, Criteria for Determining the section I.A. section II of the Guidelines describes interchangeably in this document. Completeness of Plan Submissions, the four steps to identify BART sources, and section 16 40 CFR 51.308(f). The deadline for the 2018 SIP III explains how to identify BART sources (i.e., revision was moved to 2021. 82 FR 3078 (January sources that are ‘‘subject to BART’’). 10, 2017); see also 40 CFR 51.308(f). Following the 18 40 CFR 51.308(i). 11 40 CFR 51.308(e)(2). WildEarth Guardians v. 2021 SIP revision deadline, the next SIP revision is 19 42 U.S.C. 7410(a)(2)(A), (C), and (F). EPA, 770 F.3d 919, 934 (10th Cir. 2014). due in 2028. 40 CFR 51.308(f). 20 40 CFR 51.212. 12 42 U.S.C. 7491(b)(2)(B). 17 Id. § 51.308(g); § 51.309(d)(10). 21 Id. § 51.214.
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states in section 2.2 that complete SIPs 33–15–25 (also known as section 33.1– BART analyses and determinations for contain: ‘‘(g) Evidence that the plan 15–25) 26 addressing regional haze. On the first planning period of the regional contains emission limitations, work March 15, 2021, we received a haze rule, thereby negating the need for practice standards and recordkeeping/ supplemental submission to the 2016 these provisions to remain in the SIP. Of reporting requirements, where SIP. On August 3, 2020, we received importance, the State did not remove necessary, to ensure emission levels’’; from North Dakota a SIP revision that BART provisions related to the and ‘‘(h) Compliance/enforcement addressed additional amendments to installation (NDAC section 33.1–15–25– strategies, including how compliance NDAC section 33.1–15–25 addressing 02.2) and operation and maintenance of will be determined in practice.’’ 22 regional haze. The following is a BART (NDAC section 33.1–15–25–02.3) which provides for the continued F. Regulatory and Legal History for discussion of our evaluation. compliance with the regional haze rule North Dakota Regional Haze A. November 11, 2016 Submittal and requirements related to the first On March 3, 2010, North Dakota March 15, 2021 Supplement planning period. Furthermore, the State submitted a SIP that addressed regional In the November 11, 2016, SIP can rely on its authorities in NDAC haze requirements under 40 CFR 51.308 submittal supplemented on March 15, section 23.1–06–04(e), (h), and (j) to for the first regional haze planning 2021, North Dakota removed NDAC require an updated BART analysis for period. The State submitted a sections 33–15–25–02.1 and 33–15–25– Coal Creek Station, if needed.30 Thus, supplement to the March 3, 2010 03 (currently referred to as NDAC we propose to approve the removal of submittal on July 27, 2010, and a SIP sections 33.1–15–25–02.1 and 33.1–15– NDAC sections 33.1–15–25–02.1 and amendment on July 28, 2011 25–03) 27 pertaining to the submission 33.1–15–25–03 31 related to the (collectively, the ‘‘2010 Regional Haze and guidelines for BART requirements, submission of and guidelines for BART SIP’’). The State’s 2010 Regional Haze respectively.28 Specifically, North requirements, respectively. SIP was submitted to meet the Dakota removed NDAC section 33.1–15– B. August 3, 2020 Submittal requirements of the CAA and our rules 25–02.1 which required owners and for the regional haze program. On April operators of any existing stationary On August 3, 2020, North Dakota 6, 2012, EPA partially approved and facility as defined in 40 CFR 51.301 that submitted amendments to NDAC partially disapproved North Dakota’s contributes to visibility impairment in a section 33.1–15–25–01 updating the Regional Haze SIP and issued a Federal class I federal area to submit, within date of the Code of Federal Regulations Implementation Plan (FIP) to address nine months after being notified by the (CFR) found at 40 CFR 51.301 which the the disapproved portions of North department, a regional haze BART State incorporated by reference to reflect Dakota’s regional haze.23 Among other analysis to the State. In conjunction, the updated July 1, 2019 edition of the items, we approved the incorporation of North Dakota also removed section CFR. We are proposing to approve this North Dakota’s regional haze regulatory 33.1–15–25–03 which referenced the revision because it incorporates by requirements found in NDAC sections July 6, 2005, version of the federal reference EPA’s rule provisions. 33–15–25–01, 33–15–25–02, 33–15–25– guidelines contained in 40 CFR part 51, In addition, North Dakota added 03, and 33–15–25–04 pertaining to appendix Y for preparing BART NDAC section 33.1–15–25–03 to North regional haze definitions, the analysis, determinations. Dakota’s regional haze requirements installation, and operation and According to the State, these establishing the framework for requiring maintenance of BART, BART subsections were eliminated because emission control measures to make guidelines, and monitoring, they are no longer requisite. Indeed, we reasonable progress towards the State’s recordkeeping, and reporting. proposed to approve the remaining visibility goal for second and Subsequently, several petitioners outstanding BART determination for subsequent regional haze planning challenged EPA’s disapproval of North periods. Under this new rule the owner NOX at Coal Creek Station on April 26, Dakota’s 2010 Regional Haze SIP and 2018.29 With the submission of a BART or operator of an existing stationary issuance of the 2012 FIP in the United analysis and subsequent BART source, or group of sources shall States Court of Appeals for the Eighth determination for Coal Creek Station implement emission reduction measures Circuit. On September 23, 2013, the completed and submitted to EPA, we to make reasonable progress, as determined in accordance with federal Eighth Circuit concluded that EPA agree with the State’s determination that requirements and required in a SIP properly disapproved portions of the owners and operators of BART sources revision developed by the department. State’s 2010 Regional Haze SIP and within the State of North Dakota have Additionally, the rule requires the remanded and vacated portions of EPA’s completed and submitted required FIP.24 25 measures be: (1) Implemented within a 26 EPA approved the recodification of the Air III. EPA’s Evaluation of North Dakota’s 30 North Dakota Century Code (NDCC) section Regional Haze SIP Revisions Pollution Control Rules, including those that address regional haze, from NDAC section 33–15 to 23.1–06–04(e) Issues orders necessary to effectuate NDAC section 33.1–15. See 84 FR 1610 (February the purpose of this chapter and enforce the orders On November 11, 2016 we received by all appropriate administrative and judicial 5, 2019). The recodification changed the regional from North Dakota SIP revisions that procedures; NDCC section 23.1–06–04(h) Formulate haze section of NDAC from section 33–15–25 to and adopt emission control requirements for the included amendments to NDAC section 33.1–15–25. prevention, abatement, and control of air pollution 27 In 2019, EPA approved North Dakota’s 22 in this state including achievement of ambient air 40 CFR part 51, appendix V. recodification of NDAC section 33–15 to 33.1–15 quality standards; NDCC section 23.1–06–04(j) 23 77 FR 20894 (April 6, 2012). (84 FR 1610, February 5, 2019). Hereinafter, we will Require the owner and operator of a regulated air 24 North Dakota v. United States EPA, 730 F.3d refer to the current NDAC citation. contaminant source to establish and maintain 750 (8th Cir. 2013), cert. denied, 134 S. Ct. 2662 28 SIP submittal received by EPA on November records; make reports; install, use, and maintain (2014). 11, 2016 with a letter dated October 27, 2016, from monitoring equipment or methods; sample 25 The Eighth Circuit concluded that EPA Governor Jack Dalrymple, State of North Dakota to emissions in accordance with those methods at properly disapproved portions of the State’s 2010 Shaun McGrath, Regional Administrator, EPA designated locations and intervals, and using Regional Haze SIP and upheld portions of EPA’s Region 8. In addition, North Dakota submitted a designated procedures; and provide other FIP. However, the court remanded and vacated letter dated March 15, 2021 supplementing the information as may be required. EPA’s FIP promulgating an emission limit of 0.13 November 11, 2016 SIP for the NDAC section 33– 31 Referenced as NDAC section 33–15–25–02.1 lb/MMbtu (30-day rolling average) for Coal Creek 15–25–02.1 and 33–15–25–03. and section 33–15–25–03 in the November 11, 2016 Station. 29 83 FR 18248. North Dakota SIP.
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reasonable timeframe after EPA in addition to other types of source, revision would interfere with any approves the SIP revision; and (2) when determining what emission applicable requirement concerning properly operated and maintained. The reduction measures are necessary to attainment and reasonable further rule also specifies that emission make reasonable progress. Therefore, we progress (as defined in section 7501 of reduction measures and compliance propose to approve these revisions. this title), or any other applicable deadlines shall be determined on a 33 C. Consultation With Federal Land requirement of this chapter.’’ The source-by-source basis and included in Managers previous sections of the document the State’s SIP. The regional haze explain how the proposed SIP revisions There are two Class I areas in the requirements found in NDAC section will comply with applicable regional State of North Dakota: Theodore 33.1–15–25–03 are consistent with the haze requirements and general federal requirements found at 40 CFR Roosevelt National Park and Lostwood implementation plan requirements and 51.308(f)(2), Long-term strategy for National Wildlife Refuge Wilderness regional haze, which requires Area. The National Park Service further strengthen North Dakota’s enforceable emission limitations, manages Theodore Roosevelt National regional haze regulations in accordance compliance schedules, and other Park. The United States Fish and with the revised regional haze rule for measures as necessary to make Wildlife Service manage the Lostwood the second and subsequent planning reasonable progress. Therefore, we are National Wildlife Refuge Wilderness periods while maintaining regional haze proposing to approve the addition of Area. The Regional Haze Rule grants the requirements and associated emission NDAC section 33.1–15–25–03 into the FLMs a special role in the review of control measures for the first planning State’s regional haze requirements. regional haze implementation plans, period. Therefore, we propose to find Finally, North Dakota’s revised NDAC summarized in Section II.D of this that these revisions satisfy section 110(l) section 33.1–15–25–04 to broaden the preamble. Under 40 CFR 51.308(i)(2), by not interfering with any applicable applicability of this section to make North Dakota was obligated to provide requirement concerning attainment and monitoring, recordkeeping, and the FLMs with an opportunity for reasonable further progress or any other reporting requirements applicable to consultation in development of the applicable requirement under section sources under the second and State’s proposed SIP revisions. North 110 of the CAA. subsequent planning periods of the Dakota provided the FLMs with notice regional haze program. Here, the State and access to the proposed revisions to V. Summary of EPA’s Proposed Action expanded the applicability of the rule to NDAC section 33.1–15–25 prior to the In this action, EPA is proposing to include ‘‘groups of sources’’ and the public hearings held on November 10, approve SIP amendments to North installation of ‘‘emission reduction 2015, and February 7, 2020.32 The FLMs Dakota Air Pollution Control Rules, measures to make reasonable progress.’’ did not provide any comments on the These revisions are consistent the proposed revisions. shown in Table 1, submitted by the federal regional haze regulations at 40 State of North Dakota on November 11, CFR 51.308(f)(2), Long-term strategy for IV. Clean Air Act Section 110(l) 2016, and supplemented March 15, regional haze, which recommends states Under CAA section 110(l), EPA 2021, and August 3, 2020. consider evaluating groups of sources, cannot approve a plan revision ‘‘if the
TABLE 1—LIST OF NORTH DAKOTA AMENDMENTS THAT EPA IS PROPOSING TO APPROVE
Amended Sections in the November 11, 2016 Submittal, Supplemented March 15, 2021, Proposed for Approval
NDAC section 33–15–25–02,34 NDAC section 33–15–25–03.35
32 The public hearing associated with the November 11, 2016, revisions was held on November 10, 2015 (refer to November 11, 2016 SIP submittal, page 8). The public hearing associated with the August 3, 2020 revisions was held on February 7, 2020 (refer to August 3, 2020 SIP submittal, page 10). 33 Note that ‘‘reasonable further progress’’ as used in CAA section 110(l) is a reference to that term as defined in section 301(a) (i.e., 42 U.S.C. 7501(a)), and as such means reductions required to attain the National Ambient Air Quality Standards (NAAQS) set for criteria pollutants under section 109. This term as used in section 110(l) (and defined in section 301(a)) is not synonymous with ‘‘reasonable progress’’ as that term is used in the regional haze program. Instead, section 110(l) provides that EPA cannot approve plan revisions that interfere with regional haze requirements (including reasonable progress requirements) insofar as they are ‘‘other applicable requirement[s]’’ of the CAA. 34 Since North Dakota’s NDAC recodification in 2018, section 33–15–25–02.1 is referred to as section 33.1–15–25–02.1. 35 Since North Dakota’s NDAC recodification in 2018, section 33–15–25–03 is referred to as section 33.1–15–25–03.
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TABLE 1—LIST OF NORTH DAKOTA AMENDMENTS THAT EPA IS PROPOSING TO APPROVE—Continued Amended Sections in the August 3, 2020 Submittal Proposed for Approval
NDAC section 33.1–15–25–01, NDAC section 33.1–15–25–03, NDAC section 33.1–15–25–04.
VI. Incorporation by Reference Technology Transfer and Advancement submitted by the State of Utah. The In this document, EPA is proposing to Act of 1995 (15 U.S.C. 272 note) because revision fulfills the base year inventory include regulatory text in an EPA final application of those requirements would requirement for the 2015 8-hour ozone be inconsistent with the CAA; and national ambient air quality standard rule that includes incorporation by • reference. In accordance with Does not provide EPA with the (NAAQS) for the Uinta Basin, Northern requirements of 1 CFR 51.5, EPA is discretionary authority to address, as Wasatch Front, and Southern Wasatch proposing to incorporate by reference appropriate, disproportionate human Front nonattainment areas. Utah NDAC as described in section III. of this health or environmental effects, using submitted the base year emissions preamble. EPA has made, and will practicable and legally permissible inventories to meet, in part, the continue to make, these materials methods, under Executive Order 12898 nonattainment requirements for generally available through (59 FR 7629, February 16, 1994). Marginal ozone nonattainment areas www.regulations.gov (refer to docket In addition, the SIP is not approved under the 2015 8-hour ozone NAAQS. EPA–R08–OAR–2021–0002). to apply on any Indian reservation land EPA is taking this action pursuant to or in any other area where EPA or an sections 110, 172, and 182 of the Clean VII. Statutory and Executive Order Indian tribe has demonstrated that a Air Act (CAA). Reviews tribe has jurisdiction. In those areas of DATES: Written comments must be Under the CAA, the Administrator is Indian country, the proposed rule does received on or before May 3, 2021. required to approve a SIP submission not have tribal implications and will not ADDRESSES: Submit your comments, that complies with the provisions of the impose substantial direct costs on tribal identified by Docket ID No. EPA–R08– Act and applicable Federal regulations. governments or preempt tribal law as OAR–2020–0646, to the Federal 42 U.S.C. 7410(k); 40 CFR 52.02(a). specified by Executive Order 13175 (65 Rulemaking Portal: https:// Thus, in reviewing SIP submissions, FR 67249, November 9, 2000). www.regulations.gov. Follow the online EPA’s role is to approve state choices, List of Subjects in 40 CFR Part 52 instructions for submitting comments. provided that they meet the criteria of Once submitted, comments cannot be the CAA. Accordingly, this action Environmental protection, Air edited or removed from merely proposes to approve state law as pollution control, Carbon monoxide, www.regulations.gov. EPA may publish meeting Federal requirements and does Greenhouse gases, Incorporation by any comment received to its public not impose additional requirements reference, Intergovernmental relations, docket. Do not submit electronically any beyond those imposed by state law. For Lead, Nitrogen dioxide, Ozone, information you consider to be that reason, this action: Particulate matter, Reporting and • Confidential Business Information (CBI) Is not a ‘‘significant regulatory recordkeeping requirements, Sulfur or other information whose disclosure is action’’ subject to review by the Office oxides, Volatile organic compounds. restricted by statute. Multimedia of Management and Budget under Authority: 42 U.S.C. 7401 et seq. submissions (audio, video, etc.) must be Executive Orders 12866 (58 FR 51735, accompanied by a written comment. October 4, 1993) and 13563 (76 FR 3821, Dated: March 23, 2021. Debra H. Thomas, The written comment is considered the January 21, 2011); official comment and should include • Does not impose an information Acting Regional Administrator, Region 8. discussion of all points you wish to collection burden under the provisions [FR Doc. 2021–06399 Filed 3–31–21; 8:45 am] make. EPA will generally not consider of the Paperwork Reduction Act (44 BILLING CODE 6560–50–P comments or comment contents located U.S.C. 3501 et seq.); • Is certified as not having a outside of the primary submission (i.e., on the web, cloud, or other file sharing significant economic impact on a ENVIRONMENTAL PROTECTION system). For additional submission substantial number of small entities AGENCY under the Regulatory Flexibility Act (5 methods, the full EPA public comment U.S.C. 601 et seq.); 40 CFR Part 52 policy, information about CBI or • Does not contain any unfunded multimedia submissions, and general [EPA–R08–OAR–2020–0646; FRL–10021– guidance on making effective mandate or significantly or uniquely 65–Region 8] affect small governments, as described comments, please visit http:// in the Unfunded Mandates Reform Act Approval and Promulgation of www2.epa.gov/dockets/commenting- of 1995 (Pub. L. 104–4); Implementation Plans; Utah; 2017 Base epa-dockets. • Docket: All documents in the docket Does not have Federalism Year Inventories for the 2015 8-Hour are listed in the www.regulations.gov implications as specified in Executive Ozone National Ambient Air Quality index. Although listed in the index, Order 13132 (64 FR 43255, August 10, Standard for the Uinta Basin, Northern some information is not publicly 1999); Wasatch Front and Southern Wasatch • available, e.g., CBI or other information Is not an economically significant Front Nonattainment Areas regulatory action based on health or whose disclosure is restricted by statute. safety risks subject to Executive Order AGENCY: Environmental Protection Certain other material, such as 13045 (62 FR 19885, April 23, 1997); Agency (EPA). copyrighted material, will be publicly • Is not a significant regulatory action ACTION: Proposed rule. available only in hard copy. Publicly subject to Executive Order 13211 (66 FR available docket materials are available 28355, May 22, 2001); SUMMARY: The Environmental Protection electronically in www.regulations.gov. • Is not subject to requirements of Agency (EPA) is proposing to approve a To reduce the risk of COVID–19 section 12(d) of the National state implementation plan (SIP) revision transmission, for this action we do not
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plan to offer hard copy review of the Marginal nonattainment for the more inventory requirements under CAA docket. Please email or call the person stringent 2015 8-hour ozone NAAQS.5 sections 172(c)(3) and 182(a)(1).11 On listed in the FOR FURTHER INFORMATION The Uinta Basin Nonattainment Area January 28, 2021, UDAQ submitted a CONTACT section if you need to make (NAA) is comprised of portions of superseding supplement to the earlier alternative arrangements for access to Duchesne and Uintah Counties. The submission, which corrected and the docket. Northern Wasatch Front NAA includes explained administrative errors in FOR FURTHER INFORMATION CONTACT: Salt Lake, Davis, and portions of Weber Utah’s SIP revision.12 Utah met the Matthew Lang, Air and Radiation and Tooele Counties. The Southern reasonable notice and public hearing Division, EPA, Region 8, Mailcode Wasatch Front NAA is comprised of requirements of CAA section 110(a) for 8ARD–IO, 1595 Wynkoop Street, only a portion of Utah County. the SIP revision through reasonable Denver, Colorado 80202–1129, (303) Under section 172(c)(3) of the CAA, notice posted on June 11, 2020, and Utah is required to submit 312–6709, [email protected]. notice of a public hearing for July 16, comprehensive, accurate, and current SUPPLEMENTARY INFORMATION: 2020.13 Throughout this document wherever inventories of actual emissions from all sources of the relevant pollutants in its Utah’s SIP revision uses 2017 as its ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean base year for SIP planning purposes, as EPA. Marginal nonattainment areas, i.e., the Uinta Basin NAA, Northern Wasatch recommended in EPA’s implementation I. Background Front NAA, and Southern Wasatch rule for the 2015 Ozone NAAQS.14 The Ground-level ozone is formed when Front NAA.6 Specific to areas classified 2017 base year inventories represent NOX and VOC emissions estimates for nitrogen oxides (NOX) and volatile as Marginal ozone nonattainment, CAA organic compounds (VOCs) react in the section 182(a)(1) requires that a base an average episode day (work weekday) presence of sunlight. Referred to as year inventory of ozone precursors be during the peak ozone season of an area. ozone precursors, these two pollutants submitted within two years of the For the Uinta Basin NAA, an average are emitted by many types of pollution nonattainment designation.7 episode day during the peak ozone sources, including motor vehicles, EPA’s guidance for emissions season is in February. For the Northern power plants, industrial facilities, and inventory development specifically calls Wasatch Front NAA and Southern area wide sources, such as consumer for states to report ‘‘ozone season day Wasatch Front NAA, an average episode 8 products and lawn and garden emissions’’ in the base year inventory. day during the peak ozone season is in equipment. Scientific evidence EPA’s regulations define ozone season July.15 The inventories were developed indicates that adverse public health day emissions as an average day’s for all major source categories including effects may occur following exposure to emissions for a typical ozone season point sources, area (nonpoint) sources, 9 ozone pollution. These effects are more work weekday. Although elevated and mobile sources, including both pronounced in children and adults with ground-level ozone is typically a nonroad mobile and on-road mobile lung disease. Breathing air containing summertime issue for many areas, high sources.16 Additionally, the Uinta Basin ozone can reduce lung function and ground-level ozone can occur during the NAA inventory included a separate oil inflame airways, which can increase winter with the presence of temperature and gas source category.17 Emissions respiratory symptoms and aggravate inversions and snow cover as well as sources in the Uinta Basin are located asthma or other lung diseases. In 1979, sufficient solar radiation and ozone both in state land and in Indian country. in response to this scientific evidence, precursors. We note that the Uinta Basin portion of CAA sections 172 and 182 identify EPA promulgated the first ozone Utah’s SIP revision includes only additional plan submissions and NAAQS, the 0.12 part per million (ppm) emissions from sources located on state requirements for ozone nonattainment 1-hour ozone NAAQS.1 EPA had lands within the Uinta Basin NAA.18 previously promulgated a NAAQS for areas. Under sections 172(c)(5) and 182(a)(3)(B) of the CAA, Utah is Tables 1–3 of this document total photochemical oxidants. On July 18, 1997, EPA promulgated a required to implement a nonattainment summarize the 2017 VOC and NOX revised ozone NAAQS of 0.08 ppm, new source review permit program and emission inventory by source sector for averaged over eight hours.2 EPA emission statement requirement, the Uinta Basin NAA, Northern Wasatch 10 determined this standard to be more respectively. EPA will act on SIP Front NAA, and Southern Wasatch protective of public health than the revisions that address these two Front NAA. Ozone season weekday previous 1979 1-hour ozone standard. In requirements separately from the base emissions are given in tons per day 2008, EPA revised the 8-hour ozone year emissions inventories at issue in (tpd). NAAQS from 0.08 to 0.075 ppm.3 On this action. 11 October 26, 2015, EPA again II. Summary of SIP Revision Letter dated July 29, 2020, from Gary R. strengthened the 8-hour ozone NAAQS Herbert, Governor, State of Utah, to Gregory Sopkin, On July 30, 2020, the Utah Division of Regional Administrator, EPA, Region 8. to 0.070 ppm, based on extensive 12 Air Quality (UDAQ) submitted a SIP Utah, Utah Administrative Documentation, scientific evidence about ozone’s effects revision titled ‘‘2017 Marginal Ozone Marginal Ozone Inventory Supplement, January 4 2021 (‘‘UT SIP Revision’’). on public health and welfare. Effective Inventories’’ to satisfy the emission August 3, 2018, EPA designated the 13 Id. at 68, 86–87, 107–108. Uinta Basin, Northern Wasatch Front, 14 Implementation of the 2015 National Ambient 5 Additional Air Quality Designations for the Air Quality Standards for Ozone: Nonattainment and Southern Wasatch Front areas as 2015 Ozone National Ambient Air Quality Area State Implementation Plan Requirements, 83 Standards, 83 FR 25776 (June 4, 2018). FR 62998, 63004–05, 63011 n.29 (December 6, 1 Revisions to the National Ambient Air Quality 6 42 U.S.C. 7502(c)(3). 2018). Standards for Photochemical Oxidants, 44 FR 8202 7 Id. 7511a(a)(1). 15 UT SIP Revision at 92, 98, 103. (Feb. 8, 1979). 8 EPA, Emissions Inventory Guidance for 16 Id. at 93, 99, 104. 2 National Ambient Air Quality Standards for Implementation of Ozone and Particulate Matter 17 Note that Utah included oil and gas emissions Ozone, 62 FR 38856. National Ambient Air Quality Standards (NAAQS) as area sources for the Northern and Southern 3 National Ambient Air Quality Standards for and Regional Haze Regulations, May 2017, 21, 45, Wasatch NAAs. See, e.g., UDAQ, Area Source Ozone, 73 FR 16436 (March 27, 2008). 75. Inventories, April 2, 2020. 4 National Ambient Air Quality Standards for 9 40 CFR 51.1300(q). 18 UT SIP Revision at 95. See also 40 CFR 51.1, Ozone, 80 FR 65292. 10 42 U.S.C. 7502(c)(5); 7511a(a)(3)(B). 51.15(b).
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TABLE 1—UINTA BASIN NONATTAIN- to a 24-hour period.23 The SMOKE with the State’s submittal details MENT AREA 2017 VOC AND NOX Emissions Processing technical support MOVES modeling inputs including BASELINE EMISSIONS INVENTORY document included with Utah’s SIP speeds, vehicle fuel properties and revision describes the processing specifications, Vehicle Miles Traveled [Tons/Day] 19 software in greater detail.24 A further (VMT), inspection and maintenance Source type NO VOC description of the point source profiles, VMT mix, vehicle age X emissions inventory is found in the Base distributions, and meteorological Point ...... 1.07 0.73 Year Ozone SIP Point Source Inventory conditions.29 VMT within the NAAs is Nonpoint ...... 0.22 1.46 technical support document included based on their respective transportation On-road Mobile 3.24 1.22 with Utah’s SIP revision.25 model’s output data from the UDOT, Nonroad Mobile 0.1 0.11 Nonpoint sources, also known as area MAG, and WFRC.30 The MOVES Oil & Gas ...... 10.61 37.4 sources, are sources of pollution that are modeling used meteorological inputs for small and numerous, and that have not Total ...... 15.24 40.93 the Uinta Basin NAA based on been inventoried as specific point or conditions for an ozone exceedance mobile sources. They include a wide event from February 1–10, 2013, in TABLE 2—NORTHERN WASATCH range of sources including, for example, Uintah, Utah, and conditions on an FRONT NONATTAINMENT AREA 2017 dry cleaners, residential heating and average July day in 2017 for both the VOC AND NOX BASELINE EMIS- cooling, auto body painting, and Southern Wasatch Front NAA and SIONS INVENTORY consumer solvents. To inventory Northern Wasatch Front NAA. UDOT, nonpoint sources, sources are grouped MAG, and WFRC developed the on-road [Tons/Day] 20 so that emissions can be estimated inventories in the State’s submittal collectively using one methodology. For Source type NO VOC using MOVES 2014b default fuel X Utah’s 2017 base year emissions parameters for diesel and compressed Point ...... 18.83 5.88 inventories, the State determined area natural gas. The inventories adjusted Nonpoint ...... 1.25 44.48 emissions from UDAQ’s area source gasoline fuel parameters for gasoline On-road Mobile 52.46 28.56 emissions calculation workbooks that sulfur levels in Utah since small volume Nonroad Mobile 27.59 18.54 are the foundation for data in the 2017 refiners were not required to comply National Emissions Inventory (NEI).26 with federal Tier 3 gasoline (10 ppm Total ...... 100.12 97.46 The on-road mobile source portion of sulfur) requirements until January 1, the State’s 2017 base year inventories 2020. Utah notes in the technical TABLE 3—SOUTHERN WASATCH includes emissions from vehicles, such support document for on-road mobile FRONT NONATTAINMENT AREA 2017 as cars, trucks, trash trucks, over-the- sources that the EPA Office of road diesel trucks, and buses, which are Transportation and Air Quality (OTAQ) VOC AND NOX BASELINE EMIS- operated on public roadways. These provided the 2017 local gasoline sulfur SIONS INVENTORY emissions were estimated using EPA’s value of 20.9 ppm.31 [Tons/Day] 21 Motor Vehicle Emissions Simulator Nonroad mobile sources are mobile (MOVES) model version MOVES2014b. sources other than on-road vehicles, Source type NOX VOC Metropolitan planning organizations including aircraft, locomotives, Point ...... 1.25 0.21 (MPOs) determined on-road emissions construction and agricultural Nonpoint ...... 0.56 13.1 for the urban nonattainment areas. The equipment, recreational equipment like On-road Mobile 14.93 7.07 Utah Department of Transportation snowmobiles, and marine vessels. The Nonroad Mobile 5.18 3.67 (UDOT) determined on-road emissions 2017 base year inventory includes for rural nonattainment counties and emissions from nonroad mobile sources, Total ...... 21.92 24.06 UDAQ determined emissions in rural excluding aircraft and locomotives, as counties in attainment. The on-road estimated for the Uinta Basin NAA, Point sources are large, stationary, mobile source portion of the inventories Northern Wasatch Front NAA, and identifiable sources of emissions that for the Uinta Basin NAA, Northern Southern Wasatch Front NAA by EPA’s release pollutants into the atmosphere. Wasatch Front NAA, and Southern Non-Road Model. EPA’s Non-Road For Utah’s 2017 base year inventories, Wasatch Area were developed by Model is incorporated into EPA’s the State determined point source UDOT, the Wasatch Front Regional MOVES model.32 emissions in the three nonattainment Council (WFRC) MPO and the The State prepared aircraft emissions areas from source-reported data in the Mountainland Association of from data reported by the 2017 NEI, and UDAQ State and Local Emissions Governments (MAG) MPO, determined emissions from airport Inventory System (SLEIS) database, respectively.27 ground support equipment using the which includes any source that has the The On-road Mobile Sources Federal Aviation Administration’s potential to emit greater than or equal to technical support document 28 included Aviation Environmental Design Tool.33 100 tons per year of NOX or VOCs. The point source actuals are reported in tons 23 Id. at 94, 100, 105. Please see the docket for specific technical support 22 per year. Utah’s SIP revision uses the 24 UDAQ, SMOKE Emissions Processing, June 10, documents. emissions processing software SMOKE 2020. 29 See, e.g., UDAQ, Technical Support Document (Sparse Matrix Operator Kernel 25 Utah, Base Year Ozone SIP Point Source for On-road Mobile Sources: Summertime 2017 Emissions) to distribute inventoried Inventory (listing point sources by NAA). Baseline Ozone Emissions Inventory for the 26 Northern Wasatch Front, UT Nonattainment Area pollutants in time and space, including UT SIP Revision at 93, 99, 104. 27 Id. at 94, 100, 105. and Surrounding Modeling Domain in Utah, April 2020, 5. 28 Utah provided a separate technical support 30 19 Id. at 95; Note that the Uinta Basin inventory document for each source sector in each of the three Id. at 6–7. represents only emissions from State land in the NAAs. Each technical support document contains 31 Id. at 8. Uinta Basin NAA. largely the same material regarding methodology. 32 Utah SIP Revision at 94, 100, 105. 20 Id. at 100. Thus, for ease of reference, we will cite to the 33 UDAQ, Technical Support Document Non- 21 Id. at 105. technical support document for the Northern Road Mobile Source: Ozone Inventory for 2017 Base 22 See, e.g., id. at 95. Wasatch Front NAA unless otherwise specified. Year, February and July, April 2020, 3, 5.
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For rail yard emissions, associated with approvable. EPA has concluded that the • Is certified as not having a the operation of switcher engines, Utah 2017 base year inventories are based on significant economic impact on a used emissions reported by the 2017 the most current and accurate substantial number of small entities NEI that are compiled by the Eastern information available to the State at the under the Regulatory Flexibility Act (5 Regional Technical Advisory time the inventories were developed. U.S.C. 601 et seq.); Committee. Commuter rail emissions Additionally, the 2017 inventory • Does not contain any unfunded from UTA FrontRunner are also comprehensively addresses all source mandate or significantly or uniquely included.34 The State processed the categories in Utah’s NAAs and was nonroad emissions for the inventories developed consistent with the relevant affect small governments, as described included in the State’s submittal with EPA emission inventory guidance and in the Unfunded Mandates Reform Act SMOKE. Additional information models. of 1995 (Pub. L. 104–4); describing the development of the • Does not have Federalism III. Proposed Action inventory of the nonroad mobile source implications as specified in Executive sector can be found in the Non-Road As detailed in the Utah SIP Revision Order 13132 (64 FR 43255, August 10, Mobile Source technical support and summarized previously in this 1999); document included with the State’s proposed rulemaking, the procedures • Is not an economically significant submittal. used by the State in developing the 2017 regulatory action based on health or To inventory oil and gas emissions, base year inventories for the source safety risks subject to Executive Order Utah explains in the SIP revision that sectors in the Uinta Basin NAA, 13045 (62 FR 19885, April 23, 1997); emissions within the Uinta Basin NAA Northern Wasatch Front NAA, and were determined from workbooks Southern Wasatch Front NAA satisfy • Is not a significant regulatory action submitted by sources as well as EPA/ the requirements of the CAA. Therefore, subject to Executive Order 13211 (66 FR NOMAD (Nonpoint Methods Advisory we are proposing to approve the 2017 28355, May 22, 2001); group) oil and gas tool outputs.35 base year inventories for the 2015 8- • Is not subject to requirements of Additionally, the State included hour ozone NAAQS for the Uinta Basin, emissions associated with off-road section 12(d) of the National Northern Wasatch Front, and Southern Technology Transfer and Advancement mobile oil and gas and nonroad oil and Wasatch Front Marginal NAAs because gas well pad construction equipment in Act of 1995 (15 U.S.C. 272 note) because the State prepared the inventories in application of those requirements would the 2017 base year inventory for the accordance with the requirements in be inconsistent with the CAA; and Uinta Basin NAA. Off-road mobile oil sections 172(c)(3) and 182(a)(1) of the and gas emissions are from mobile CAA and its implementing regulations, • Does not provide EPA with the sources that operate within the oil and including those at 40 CFR 51.1315. EPA discretionary authority to address, as gas fields located in the Uinta Basin is soliciting public comments on the appropriate, disproportionate human NAA and were calculated in the base issues discussed in this document. EPA health or environmental effects, using year inventory from emission factors practicable and legally permissible 36 will consider these comments before generated using MOVES2014b. taking final action. methods, under Executive Order 12898 Nonroad oil and gas well equipment (59 FR 7629, February 16, 1994). emissions, which include emissions IV. Statutory and Executive Order from well pad, access road, and pipeline Reviews In addition, the SIP is not approved construction, were calculated from to apply on any Indian reservation land Under the CAA, the Administrator is or in any other area where EPA or an emissions factors generated by the EPA required to approve a SIP submission 37 Indian tribe has demonstrated that a MOVES2014b Non-Road Model. Well that complies with the provisions of the tribe has jurisdiction. In those areas of counts for 2017 were provided for by Act and applicable Federal regulations. the UDAQ Technical Analysis Section 42 U.S.C. 7410(k); 40 CFR 52.02(a). Indian country, the proposed rule does from the Utah Division of Oil, Gas, and Thus, in reviewing SIP submissions, not have tribal implications and will not Mining for both the determination of oil EPA’s role is to approve state choices, impose substantial direct costs on tribal and gas off-road mobile and nonroad provided that they meet the governments or preempt tribal law as emissions.38 requirements of the CAA. Accordingly, specified by Executive Order 13175 (65 EPA has reviewed Utah’s 2017 base FR 67249, November 9, 2000). year emission inventories’ results, this action merely proposes to approve procedures, and methodologies for the state law as meeting Federal List of Subjects in 40 CFR Part 52 Uinta Basin NAA, Northern Wasatch requirements and does not impose Front NAA, and Southern Wasatch additional requirements beyond those Environmental protection, Air Front NAA and we propose to find them imposed by state law. For that reason, pollution control, Carbon monoxide, this action: Greenhouse gases, Incorporation by • 34 Id. at page 8. Is not a ‘‘significant regulatory reference, Intergovernmental relations, 35 Utah SIP Revision at 94. action’’ subject to review by the Office Lead, Nitrogen dioxide, Ozone, 36 UDAQ, Technical Support Document 2017 of Management and Budget under Particulate matter, Reporting and Baseline Wintertime Ozone Emissions Inventory: Executive Orders 12866 (58 FR 51735, Off-road Mobile Sources Operating Within the Oil recordkeeping requirements, Sulfur and Gas Fields Located in the Uintah, UT October 4, 1993) and 13563 (76 FR 3821, oxides, Volatile organic compounds. Nonattainment Area, March 2020, 5–6. January 21, 2011); Authority: 42 U.S.C. 7401 et seq. 37 UDAQ, Technical Support Document 2017 • Is not an Executive Order 13771 (82 Baseline Wintertime Ozone Emissions Inventory: FR 9339, February 2, 2017) regulatory Dated: March 23, 2021. Non-Road Well Pad Construction Equipment Operating within the Oil and Gas Fields within the action because SIP approvals are Debra H. Thomas, Uintah, UT Nonattainment Area, March 2020, 4. exempted under Executive Order 12866; Acting Regional Administrator, Region 8. 38 Id. at 5; UDAQ, Technical Support Document • Does not impose an information [FR Doc. 2021–06754 Filed 3–31–21; 8:45 am] 2017 Baseline Wintertime Ozone Emissions collection burden under the provisions Inventory: Off-road Mobile Sources Operating BILLING CODE 6560–50–P Within the Oil and Gas Fields Located in the of the Paperwork Reduction Act (44 Uintah, UT Nonattainment Area, March 2020, 9. U.S.C. 3501 et seq.);
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FEDERAL COMMUNICATIONS This document does not contain Community Channel No. COMMISSION information collection requirements subject to the Paperwork Reduction Act ***** 47 CFR Part 73 of 1995, Public Law 104–13. In addition, Jonesboro ...... 20, 27, 48. [MB Docket No. 21–56; RM–11881; DA 21– therefore, it does not contain any 165; FRS 17494] proposed information collection burden ***** ‘‘for small business concerns with fewer Television Broadcasting Services than 25 employees,’’ pursuant to the [FR Doc. 2021–06394 Filed 3–31–21; 8:45 am] Jonesboro, Arkansas Small Business Paperwork Relief Act of BILLING CODE 6712–01–P 2002, Public Law 107–198, see 44 U.S.C. AGENCY: Federal Communications 3506(c)(4). Provisions of the Regulatory Commission. Flexibility Act of 1980, 5 U.S.C. 601– FEDERAL COMMUNICATIONS ACTION: Proposed rule. 612, do not apply to this proceeding. COMMISSION Members of the public should note SUMMARY: The Commission has before it 47 CFR Part 73 a petition for rulemaking filed by Gray that all ex parte contacts are prohibited Television Licensee, LLC, (Gray), from the time a Notice of Proposed [MB Docket No. 21–52; RM–11877; DA 21– licensee of KAIT, channel 8, Jonesboro, Rulemaking is issued to the time the 161; FR ID 17505] Arkansas, requesting the substitution of matter is no longer subject to Television Broadcasting Services channel 27 for channel 8 at Jonesboro in Commission consideration or court Amarillo, Texas the DTV Table of Allotments. In support review, see 47 CFR 1.1208. There are, of its channel substitution request, Gray however, exceptions to this prohibition, AGENCY: Federal Communications states that the Commission has which can be found in Section 1.1204(a) Commission. of the Commission’s rules, 47 CFR recognized that VHF channels have ACTION: Proposed rule. certain propagation characteristics 1.1204(a). which may cause reception issues for See Sections 1.415 and 1.420 of the SUMMARY: The Commission has before it some viewers, and also that the Commission’s rules for information a petition for rulemaking (Petition) filed reception of VHF signals require larger regarding the proper filing procedures by KVII Licensee, LLC, (Licensee), antennas, relative to UHF channels.’’ for comments, 47 CFR 1.415 and 1.420. licensee of KVII–TV, Channel 7, Amarillo, Texas (KVII or Station), According to Gray, many of its viewers List of Subjects in 47 CFR Part 73 experience significant difficulty requesting the substitution of channel receiving KAIT’s signal, and while there Television. 20 for channel 7 at Amarillo in the DTV is small terrain limited predicted loss Federal Communications Commission. Table of Allotments. Licensee states that area, the viewers will continue to be Thomas Horan, the proposed channel substitution for KVII from VHF channel 7 to UHF well served by at least five other stations Chief of Staff, Media Bureau. and receive ABC network service from channel 20 would allow KVII to another station licensed to Memphis, Proposed Rule significantly improve its over-the-air service to the Station’s viewers in the Tennessee. For the reasons discussed in the Amarillo, Texas, market. Licensee states preamble, the Federal Communications DATES: Comments must be filed on or that the proposed channel change from Commission proposes to amend 47 CFR before May 3, 2021 and reply comments channel 7 to channel 20 would result in part 73 as follows: on or before May 17, 2021. a substantial increase in signal ADDRESSES: Federal Communications PART 73—RADIO BROADCAST receivability for KVII’s core viewers and Commission, Office of the Secretary, 45 SERVICE enable viewers to receive the Station’s L Street NE, Washington, DC 20554. In signal with a significantly smaller addition to filing comments with the ■ 1. The authority citation for part 73 antenna. Licensee maintains that KVII, FCC, interested parties should serve continues to read as follows: as a VHF channel station, has had a long counsel for petitioner as follows: Joan history of dealing with severe reception Stewart, Esq., Wiley Rein, LLP, 1776 K Authority: 47 U.S.C. 154, 155, 301, 303, 307, 309, 310, 334, 336, 339. problems exacerbated by the analog to Street NW, Washington, DC, 20006. digital conversion. The proposed FOR FURTHER INFORMATION CONTACT: § 73.622 [Amended] migration of KVII from channel 7 to Joyce Bernstein, Media Bureau, at (202) ■ 2. In § 73.622 paragraph (i), amend the channel 20, Licensee contends, is in the 418–1647; or Joyce Bernstein, Media Post-Transition Table of DTV public interest based on the enhanced Bureau, at [email protected]. Allotments under Arkansas by revising signal levels that will be delivered to a SUPPLEMENTARY INFORMATION: This is a the entry for Jonesboro to read as large percentage of the Station’s synopsis of the Commission’s Notice of follows: population without any predicted loss Proposed Rulemaking, MB Docket No. of coverage. Further, Licensee maintains 21–56; RM–11881; DA 21–165 adopted § 73.622 Digital television table of that the change will result in an February 12, 2021, and released allotments. predicted increase of 9.44% in the February 12, 2021. The full text of this * * * * * Station’s overall population and the document is available for download at (i) * * * staff has determined there is no loss of https://www.fcc.gov/edocs. To request service. Licensee concludes by saying materials in accessible formats (braille, Community Channel No. that the public interest would be best large print, computer diskettes, or audio served by promptly granting its Petition recordings), please send an email to with the specifications set forth therein ***** [email protected] or call the Consumer & so that Amarillo-area viewers may Government Affairs Bureau at (202) Arkansas benefit from substantially improved 418–0530 (VOICE), (202) 418–0432 over-the-air broadcast television service (TTY). as soon as possible.
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DATES: Comments must be filed on or therefore, it does not contain any Commission proposes to amend 47 CFR before May 3, 2021 and reply comments proposed information collection burden part 73 as follows: on or before May 17, 2021. ‘‘for small business concerns with fewer ADDRESSES: Federal Communications than 25 employees,’’ pursuant to the PART 73—RADIO BROADCAST Commission, Office of the Secretary, 45 Small Business Paperwork Relief Act of SERVICE L Street NE, Washington, DC 20554. In 2002, Public Law 107–198, see 44 U.S.C. addition to filing comments with the 3506(c)(4). Provisions of the Regulatory ■ 1. The authority citation for part 73 FCC, interested parties should serve Flexibility Act of 1980, 5 U.S.C. 601– continues to read as follows: counsel for petitioner as follows: Paul 612, do not apply to this proceeding. Authority: 47 U.S.C. 154, 155, 301, 303, A. Cicelski, Esq., Lerman Senter PLLC, Members of the public should note 307, 309, 310, 334, 336, 339. 2001 L Street NW, Suite 400, that all ex parte contacts are prohibited ■ Washington, DC 20036. from the time a Notice of Proposed 2. In § 73.622 in paragraph (i) amend the Post-Transition Table of DTV FOR FURTHER INFORMATION CONTACT: Rulemaking is issued to the time the Allotments under Texas by revising the Shaun Maher, Media Bureau, at (202) matter is no longer subject to entry for Amarillo to read as follows: 418–2324; or [email protected]. Commission consideration or court SUPPLEMENTARY INFORMATION: This is a review, see 47 CFR 1.1208. There are, § 73.622 Digital television table of synopsis of the Commission’s Notice of however, exceptions to this prohibition, allotments. Proposed Rulemaking, MB Docket No. which can be found in Section 1.1204(a) * * * * * of the Commission’s rules, 47 CFR 21–52; RM–11877; DA 21–161, adopted (i) * * * February 12, 2021, and released 1.1204(a). February 12, 2021. The full text of this See Sections 1.415 and 1.420 of the Community Channel No. document is available for download at Commission’s rules for information https://www.fcc.gov/edocs. To request regarding the proper filing procedures materials in accessible formats (braille, for comments, 47 CFR 1.415 and 1.420. ***** large print, computer diskettes, or audio List of Subjects in 47 CFR Part 73 recordings), please send an email to Texas [email protected] or call the Consumer & Television. Government Affairs Bureau at (202) Federal Communications Commission. ***** 418–0530 (VOICE), (202) 418–0432 Thomas Horan, Amarillo ...... 20 (TTY). Chief of Staff, Media Bureau. This document does not contain ***** information collection requirements Proposed Rule subject to the Paperwork Reduction Act For the reasons discussed in the [FR Doc. 2021–06395 Filed 3–31–21; 8:45 am] of 1995, Public Law 104–13. In addition, preamble, the Federal Communications BILLING CODE 6712–01–P
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Notices Federal Register Vol. 86, No. 61
Thursday, April 1, 2021
This section of the FEDERAL REGISTER project is located. A list of the USDA such a persistent poverty county that contains documents other than rules or Rural Development state office contacts has a population that does not exceed proposed rules that are applicable to the can be found at: http:// the authorized population limit by more public. Notices of hearings and investigations, www.rd.usda.gov/contact-us/state- than 10 percent. This provision expands committee meetings, agency decisions and offices. the current 50,000 population limit to rulings, delegations of authority, filing of petitions and applications and agency FOR FURTHER INFORMATION CONTACT: The 55,000 for county seats located in statements of organization and functions are Rural Development office for the state in Persistent Poverty counties. Therefore, examples of documents appearing in this which the applicant is located. A list of beneficiaries of technical assistance section. Rural Development state office contacts services located in Persistent Poverty is provided at the following link: http:// county seats with populations up to www.rd.usda.gov/contact-us/state- 55,000 (per the 2010 Census) are DEPARTMENT OF AGRICULTURE offices. eligible. Rural Business-Cooperative Service SUPPLEMENTARY INFORMATION: A. Program Description [Docket #: RBS–21–BUSINESS–0006] Priority Language for Funding 1. Purpose of the Program. The Opportunities purpose of this program is to improve Inviting Applications for the Rural the economic conditions of Rural Areas. Business Development Grant Program The agency encourages applicants to 2. Statutory Authority. This program To Provide Technical Assistance for consider projects that will promote is authorized under section 310B(c) of Rural Transportation Systems equity and economic opportunity in the Consolidated Farm and Rural rural America, specifically those that Development Act (7 U.S.C. 1932(c)). AGENCY: Rural Business-Cooperative advance key priorities: Regulations are contained in 7 CFR part • Containing the COVID–19 Service, USDA. 4280, subpart E. The program is pandemic, ACTION: Notice of funding availability. administered on behalf of Rural • Ensuring racial equity, Business-Cooperative Service (RBCS) at SUMMARY: The Rural-Business • Rebuilding our rural economy, and the state level by the USDA Rural Cooperative Service (the Agency) • Addressing the climate crisis. Development state offices. Assistance announces the availability of two Overview provided to Rural Areas under the individual grants: One single $500,000 program has historically included the grant from the rural transportation funds Solicitation Opportunity Title: Rural provision of on-site Technical appropriated for the Rural Business Business Development Grants. Assistance to tribal, local and regional Development Grant (RBDG) program Announcement Type: Initial governments, public transit agencies, and another single $250,000 grant for Announcement. and related nonprofit and for-profit Federally Recognized Native American Catalog of Federal Domestic organizations in Rural Areas; the Tribes (FRNATs) (collectively Assistance Number: 10.351. development of training materials; and ‘‘Programs’’) from the funds Dates: The deadline for completed the provision of necessary training appropriated for the RBDG program. applications must be received in the assistance to local officials and agencies Each grant is to be competitively USDA Rural Development state office in Rural Areas. awarded to an eligible applicant which no later than June 30, 2021 for paper Awards under the RBDG passenger is a qualified national non-profit applications and 11:59 p.m. (local time) transportation program will be made on organization. One grant is for the for electronic submissions on June 30, a competitive basis using specific provision of technical assistance to rural 2021, to be eligible for FY 2021 grant selection criteria contained in 7 CFR transportation (RT) projects and the funding. A list of the USDA Rural part 4280, subpart E, and in accordance other grant will solely be for the Development state offices can be found with section 310B(c) of the Consolidated provision of technical assistance to RT at: http://www.rd.usda.gov/contact-us/ Farm and Rural Development Act (7 projects operated by FRNATs. state-offices. U.S.C. 1932(c)). Information required to All applicants are responsible for any Persistent poverty counties: Section be in the application package includes expenses incurred in developing their 736 of the Further Consolidated Standard Form (SF) 424, ‘‘Application applications. Appropriations Act, 2021 (the Appropriations Act), designates funding for Federal Assistance;’’ environmental DATES: The deadline for completed for projects in Persistent Poverty documentation in accordance with 7 applications to be received in the counties. Persistent Poverty counties is CFR part 1970, ‘‘Environmental Policies United States Department of Agriculture defined as ‘‘any county that has had 20 and Procedures;’’ Scope of Work (USDA) Rural Development state office percent or more of its population living Narrative; Income Statement; Balance is no later than June 30, 2021 for paper in poverty over the past 30 years, as Sheet or Audit for previous 3 years; SF applications and 11:59 p.m. (local time) measured by the 1990 and 2000 LLL, ‘‘Disclosure of Lobbying for electronic submissions on June 30, decennial censuses, and 2007–2011 Activities;’’ RD 400–1, ‘‘Equal 2021, to be eligible for FY 2021 grant American Community Survey 5-year Opportunity Agreement;’’ RD 400–4, funding. Applications received after the average, or any territory or possession of ‘‘Assurance Agreement;’’ and a letter deadline will be ineligible for funding. the United States’’. Another provision of providing Board authorization to obtain ADDRESSES: Applications must be the Appropriations Act expands the assistance. For the FRNAT grant, which submitted to the USDA Rural eligible population in Persistent Poverty must benefit FRNATs, at least 75 Development state office where the counties to include any county seat of percent of the benefits of the Project
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must be received by members of C. Eligibility Information whether organizational staff or FRNATs. The Project that scores the 1. Eligible Applicants. consultants or contractors will be used; greatest number of points based on the To be considered eligible, an entity and RBDG selection criteria and the must be a qualified national (9) Other information the Agency may discretionary points will be selected for organization serving Rural Areas as request to assist in making a grant award each grant. evidenced in its organizational determination. For the funding for Technical documents and demonstrated (e) The latest 3 years of financial Assistance for RT systems, applicants experience, per 7 CFR part 4280, information to show the applicant’s must be qualified national organizations subpart E. Grants will be competitively financial capacity to carry out the with experience in providing Technical awarded to qualified national proposed work. If the applicant is less Assistance and training to rural organizations. than 3 years old, at a minimum, the communities nationwide for the The Agency requires the following information should include all balance purpose of improving passenger information to make an eligibility sheet(s), income statement(s), and cash transportation services or facilities. To determination that an applicant is a flow statement(s). A current audited be considered ‘‘national,’’ RBCS national organization. These report is required if available; requires a qualified organization to applications must include, but are not (f) Documentation regarding the provide evidence that it can operate RT limited to, the following: availability and amount of other funds assistance programming nationwide. An (a) An original and one copy of SF to be used in conjunction with the funds entity can qualify if they can work in 424, ‘‘Application for Federal from RBDG; partnership with other entities to fulfill Assistance (for non-construction);’’ (g) A budget which includes salaries, the national requirement as long as the (b) Copies of applicant’s fringe benefits, consultant costs, indirect applicant will have ultimate control of organizational documents showing the costs, and other appropriate direct costs the grant administration. For the applicant’s legal existence and authority for the Project. funding for RT systems to FRNATs, an to perform the activities under the grant; 2. Cost Sharing or Matching. Matching entity can qualify if it can work in (c) A proposed scope of work, funds are not required. partnership with other entities to including a description of the proposed 3. Other. support all federally recognized tribes in Project, details of the proposed activities Applications will only be accepted all States, as long as the applicant will to be accomplished and timeframes for from qualified national organizations to have ultimate control of the grant completion of each task, the number of provide Technical Assistance for RT. administration. There is not a months for the duration of the Project, There are no ‘‘responsiveness’’ or requirement to use the grant funds in a and the estimated time it will take from ‘‘threshold’’ eligibility criteria for these multi-State area. Grants will be made to grant approval to the beginning of grants. There is no limit on the number qualified national organizations for the Project implementation; of applications an applicant may submit provision of Technical Assistance and (d) A written narrative that includes, under this announcement. None of the training to Rural communities for the at a minimum, the following items: funds made available may be used to purpose of improving passenger (1) An explanation of why the Project enter into a contract, memorandum of transportation services or facilities. is needed, the benefits of the proposed understanding, or cooperative Project, and how the Project meets the 3. Definition of Terms. The definitions agreement with, make a grant to, or grant eligible purposes; provide a loan or loan guarantee to, any applicable to this notice are published (2) Area to be served, identifying each corporation that has any unpaid Federal at 7 CFR 4280.403. governmental unit, i.e., tribe, town, tax liability that has been assessed, for 4. Application Awards. The Agency county, etc., to be affected by the which all judicial and administrative will review, evaluate, and score Project; applications received in response to this (3) Description of how the Project will remedies have been exhausted or have notice based on the provisions in 7 CFR coordinate Economic Development lapsed, and that is not being paid in a part 4280, subpart E and as indicated in activities with other Economic timely manner pursuant to an agreement this notice. However, the Agency Development activities within the with the authority responsible for advises all interested parties that the Project area; collecting the tax liability, where the applicant bears the burden in preparing (4) Businesses to be assisted, if awarding agency is aware of the unpaid and submitting a complete application appropriate, and economic development tax liability, unless a Federal agency has in response to this notice. to be accomplished; considered suspension or debarment of the corporation and has made a B. Federal Award Information (5) An explanation of how the proposed Project will result in newly determination that this further action is Type of Award: Grants. created, increased, or supported jobs in not necessary to protect the interests of Fiscal Year Funds: FY 2021. the area and the number of projected the Government. Available Funds: $750,000. new and supported jobs within the next None of the funds made available may be used to enter into a contract, Approximate Number of Awards: 3 years; (6) A description of the applicant’s memorandum of understanding, or Two. Historically, two awards have cooperative agreement with, make a been made each Fiscal Year. demonstrated capability and experience in providing the proposed Project grant to, or provide a loan or loan Maximum Awards: One single assistance, including experience of key guarantee to, any corporation that was $500,000 grant and another single staff members and persons who will be convicted of a felony criminal violation $250,000 grant for FRNATs. providing the proposed Project activities under any Federal law within the Award Date: Prior to September 30, and managing the Project; preceding 24 months, where the 2021. (7) The method and rationale used to awarding agency is aware of the Performance Period: October 1, 2021, select the areas and businesses that will conviction, unless a Federal agency has through September 30, 2023. receive the service; considered suspension or debarment of Renewal or Supplemental Awards: (8) A brief description of how the the corporation and has made a None. work will be performed, including determination that this further action is
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not necessary to protect the interests of www.grants.gov. Please note that we submitted to the USDA Rural the Government. cannot accept emailed or faxed Development state office. Multiple 4. Completeness Eligibility. applications. Project applications must identify each Applications will not be considered for You can locate the Grants.gov individual Project, indicate the amount funding if they do not provide sufficient downloadable application package for of funding requested for each individual information to determine eligibility or this program by using a keyword, the Project, and address the criteria as are missing required elements. program name, or the Catalog of Federal stated above for each individual Project. Domestic Assistance number for this For multiple-Project applications, the D. Application and Submission program. Information average of the individual Project scores When you enter the Grants.gov will be the score for that application. website, you will find information about 1. Address To Request Application The applicant documentation and Package applying electronically through the site, as well as the hours of operation. forms needed for a complete application For further information, entities To use Grants.gov, you must already are located in the Program Description wishing to apply for assistance should have a Dun and Bradstreet Universal section of this notice, and 7 CFR part contact the USDA Rural Development Numbering System (DUNS) number and 4280, subpart E. state office provided in the ADDRESSES you must also be registered and (a) There are no specific formats, section of this notice to obtain copies of maintain registration in the System for limitations on number of pages, font the application package. Awards Management (SAM). We size and type face, or sequence for an Prior to official submission of grant strongly recommend that you do not application though the documentation applications, applicants may request wait until the application deadline date and forms must be submitted in one technical assistance or other application to begin the application process through complete package and properly guidance from the Agency, as long as Grants.gov. organized for review by the Agency. such requests are made prior to May 21, Documents submitted electronically (b) The component pieces of this 2021. Technical Assistance is not meant through Grants.gov must include application must contain original to be an analysis or assessment of the electronic signatures. Original signatures on the original application. quality of the materials submitted, a signatures may be required if funds are (c) Since these grants are for substitute for Agency review of awarded. completed applications, nor a After applying electronically through Technical Assistance for transportation determination of eligibility, if such Grants.gov, you will receive an purposes, no additional information determination requires in-depth automatic acknowledgement from requirements other than those described analysis. The Agency will not solicit or Grants.gov that contains a Grants.gov in this notice and 7 CFR part 4280, consider scoring or eligibility tracking number. subpart E, are required. information that is submitted after the If you want to submit a paper 3. Unique Entity Identifier and System application deadline. The Agency application, send it to the State Office for Award Management reserves the right to contact applicants located in the state where the Project to seek clarification information on will primarily take place. You can find All applicants must have a DUNS materials contained in the submitted State Office contact information at: number which can be obtained at no application. http://www.rd.usda.gov/contact-us/ cost via a toll-free request line at (866) Applications must be submitted in state-offices. 705–5711 or at: http://fedgov.dnb.com/ paper format or electronic submission. If The organization submitting the webform. Each applicant (unless the you want to submit an electronic application will be considered the lead applicant is an individual or Federal application, follow the instructions for entity. The Contact/Program Manager awarding agency that is excepted from the RBDG Transportation funding must be associated with the lead entity the requirements under 2 CFR 25.110(b) announcement located at: http:// submitting the application. or (c) or has an exception approved by www.grants.gov. Please review the An application must contain all of the the Federal awarding agency under 2 Grants.gov website for instructions on required elements. Each application CFR 25.110(d) is required to: (i) Be the process of registering your received in a USDA Rural Development registered in SAMS before submitting its organization as soon as possible to State Office will be reviewed to application; (ii) provide a valid unique ensure you can meet the electronic determine if it is consistent with the entity identifier in its application; and application deadline. Applications eligible purposes contained in section (iii) continue to maintain an active SAM submitted to a USDA Rural 310B(c) of the Consolidated Farm and registration with current information at Development State Office must be Rural Development Act (7 U.S.C. all times during which it has an active received by the closing date and local 1932(c)). Each selection priority Federal award or an application or plan time. criterion outlined in 7 CFR 4280.435 under consideration by a Federal must be addressed in the application. awarding agency. The Federal awarding 2. Content and Form of Application Failure to address any of the criterion agency may not make a Federal award Submission will result in a zero-point score for that to an applicant until the applicant has You may submit your application in criterion and will impact the overall complied with all applicable unique paper form or electronically through evaluation of the application. Copies of entity identifier and SAM requirements Grants.gov. Your application must 7 CFR part 4280, subpart E, are available and, if an applicant has not fully contain all required information using on the Rural Development website at: complied with the requirements by the only one of the submission methods. If https://www.rd.usda.gov/page/ time the Federal awarding agency is you submit in paper form, any forms regulations-and-guidance, or at any ready to make a Federal award, the requiring signatures must include an USDA Rural Development state office. Federal awarding agency may determine original signature. All Projects to receive Technical that the applicant is not qualified to To apply electronically, you must Assistance through these passenger receive a Federal award and use that follow the instructions for this funding transportation grant funds are to be determination as a basis for making a announcement at: http:// identified when the applications are Federal award to another applicant.
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4. Submission Dates and Times E. Application Review Information new Office of Management and Budget (OMB) regulations at 2 CFR part 200. (a) Application Deadline Date: Paper 1. Criteria All successful applicants will be applications are due June 30, 2021. All eligible and complete applications notified by letter, which will include a Electronic applications must be will be evaluated and scored based on Letter of Conditions, and a Letter of submitted via grants.gov no later than the scoring criteria contained in 7 CFR Intent to Meet the Conditions. This 11:59 p.m. eastern time on June 30, 4280.435. The Agency will select letter is not an authorization to begin 2021. grantees subject to the grantees’ performance. If the applicant wishes to Explanation of Deadlines: satisfactory submission of the additional consider beginning performance prior to Applications must be in the USDA items required by 7 CFR part 4280, the grant being officially closed, all pre- Rural Development state office by the Section 4280.427, and the USDA Rural award costs must be approved in local deadline date and time as Development Letter of Conditions. writing and in advance by the Agency. indicated above. If the due date falls on Failure to address any one of the criteria The grant will be considered officially a Saturday, Sunday, or Federal holiday, in 7 CFR 4280.427 by the application awarded when all conditions in the the application is due the next business deadline will result in the application Letter of Conditions have been met and day. being determined ineligible, and the the Agency obligates the funding for the application will not be considered for Project. (b) The deadline date means that the funding. Additional requirements that apply to completed application package must be 2. Review and Selection Process grantees selected for this program can be received in the USDA Rural found in 7 CFR part 4280, subpart E; the Development state office by the The state offices will review Grants and Agreements regulations of deadline date established above. All applications to determine if they are the U.S. Department of Agriculture application documents identified in this eligible for assistance based on the codified in 2 CFR part 400, and notice are required. application and project eligibility successor regulations. In addition, all (c) If complete applications are not requirements contained in 7 CFR recipients of Federal financial assistance received by the deadline established 4280.416 and 4280.417, respectively, are required to report information about above, the application will neither be and as stated in this notice. If first-tier sub-awards and executive reviewed nor considered under any determined eligible, your application compensation (see 2 CFR part 170). You circumstances. will be submitted to the national office. will be required to have the necessary Funding of Projects is subject to the (d) The Agency will determine the processes and systems in place to applicant’s satisfactory submission of comply with the Federal Funding paper application receipt date based on the additional items required by that the actual date postmarked. Accountability and Transparency Act of subpart and the USDA Rural 2006 (Pub. L. 109–282) reporting (e) This notice is for RT Technical Development Letter of Conditions. The requirements (see 2 CFR 170.200(b), Assistance grants only and therefore Agency reserves the right to award unless you are exempt under 2 CFR intergovernmental reviews are not additional discretionary points under 7 170.110(b)). required. CFR 4280.435(k). The following additional In awarding discretionary points, the (f) These grants are for RT Technical requirements apply to grantees selected Agency scoring criteria regularly assigns Assistance grants only; no construction for this program: or equipment purchases are permitted. points to applications that direct loans (a) Form RD 4280–2 ‘‘Rural Business- If the grantee has a previously approved or grants to Projects based in, or serving, Cooperative Service Financial indirect cost rate and if it is permissible census tracts with poverty rates greater Assistance Agreement.’’ otherwise, the applicant may elect to than or equal to 20 percent. This (b) Letter of Conditions. charge the 10 percent indirect cost rate emphasis will support Rural (c) Form RD 1940–1, ‘‘Request for permitted under 2 CFR 200.414(f) or Development’s mission of improving the Obligation of Funds.’’ request a determination of its Indirect quality of life for Rural Americans and (d) Form RD 1942–46, ‘‘Letter of Cost Rate. Due to the time required to commitment to directing resources to Intent to Meet Conditions.’’ those who most need them. evaluate Indirect Cost Rates, it is likely (e) Form RD 400–4, ‘‘Assurance that all funds will be awarded by the F. Federal Award Administration Agreement.’’ Each prospective recipient time the Indirect Cost Rate is Information must sign Form RD 400–4 which assures determined. No foreign travel is USDA that the recipient is in 1. Federal Award Notices permitted. Pre-Federal award costs will compliance with Title VI of the Civil only be reimbursed with prior written Successful applicants will receive Rights Act of 1964, 7 CFR part 15, and approval by the Agency. notification for funding from their other Agency regulations. Form RD 400– USDA Rural Development state office. 4 also provides that no person will be (g) Applicants must submit Applicants must comply with all discriminated against based on race, applications in paper copy format, or an applicable statutes and regulations color, or national origin, in regard to any electronic submission as previously before the grant award will be approved. program or activity for which the indicated in the Application and Unsuccessful applications will receive recipient receives Federal financial Submission Information section of this notification by mail. assistance. Nondiscrimination notice. If the applicant wishes to hand statements must be included in any deliver its application, the appropriate 2. Administrative and National Policy grantee advertisements and brochures. address can be located in the ADDRESSES Requirements Program participants will be required section of this notice. Additional requirements that apply to to collect and maintain data provided by (h) If you require alternative means of grantees selected for this program can be recipients on race, sex, and national communication for program information found in 7 CFR 4280.408, 4280.410, and origin and ensure recipients collect and (e.g., Braille, large print, audiotape, etc.) 4280.439. Awards are subject to USDA maintain this data. Race and ethnicity please contact USDA’s TARGET Center Departmental Grant Regulations at 2 data will be collected in accordance at (202) 720–2600 (voice and TDD). CFR part 400, which incorporates the with OMB Federal Register notice,
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‘‘Revisions to the Standards for the action taken or planned to resolve the recipients of Federal financial assistance Classification of Federal Data on Race situation; are required to report information about and Ethnicity,’’ (62 FR 58782), October (3) Objectives and timetable first-tier sub-awards and executive total 30, 1997. Data on recipients’ sex will be established for the next reporting compensation in accordance with 2 CFR collected in accordance with Title IX of period; part 170. the Education Amendments of 1972. (4) Any special reporting Nondiscrimination Statement These items should not be submitted requirements, such as jobs supported with the application but should be and created, businesses assisted, or In accordance with Federal civil available upon request by the Agency. Economic Development which results in rights law and U.S. Department of The applicant and the ultimate improvements in median household Agriculture (USDA) civil rights recipient must comply with Title VI of incomes, and any other specific regulations and policies, the USDA, its the Civil Rights Act of 1964, Title IX of requirements, should be placed in the Agencies, offices, and employees, and the Education Amendments of 1972, the reporting section in the Letter of institutions participating in or Americans with Disabilities Act (ADA), Conditions; and administering USDA programs are (5) Within 90 days after the Section 504 of the Rehabilitation Act of prohibited from discriminating based on conclusion of the Project, the grantee 1973, the Age Discrimination Act of race, color, national origin, religion, sex, will provide a final Project evaluation 1975, Executive Order 13166 (Improving gender identity (including gender report. The last quarterly payment will Access to Services for Persons with expression), sexual orientation, be withheld until the final report is Limited English Proficiency), and 7 CFR disability, age, marital status, family/ received and approved by the Agency. part 1901, subpart E. parental status, income derived from a Even though the grantee may request (j) SF LLL, ‘‘Disclosure of Lobbying public assistance program, political reimbursement on a monthly basis, the Activities,’’ if applicable. last 3 months of reimbursements will be beliefs, or reprisal or retaliation for prior (k) Form SF 270, ‘‘Request for withheld until a final Project, Project civil rights activity, in any program or Advance or Reimbursement.’’ performance, and financial status report activity conducted or funded by USDA (not all bases apply to all programs). 3. Grantee Reporting Requirements are received and approved by the Agency. Remedies and complaint filing (a) A Financial Status Report and a deadlines vary by program or incident. Project performance activity report will G. Federal Awarding Agency Contact(s) Persons with disabilities who require be required of all grantees on a quarterly For general questions about this alternative means of communication for basis until initial funds are expended announcement, please contact your program information (e.g., Braille, large and yearly thereafter, if applicable, USDA Rural Development State Office print, audiotape, American Sign based on the Federal fiscal year. The provided in the ADDRESSES section of Language, etc.) should contact the grantee will complete the Project within this notice. responsible Agency or USDA’s TARGET the total time available to it in H. Civil Rights Requirements Center at (202) 720–2600 (voice and accordance with the Scope of Work and TTY) or contact USDA through the any necessary modifications thereof All grants made under this notice are Federal Relay Service at (800) 877–8339. prepared by the grantee and approved subject to Title VI of the Civil Rights Act Additionally, program information may by the Agency. A final Project of 1964 as required by the USDA (7 CFR be made available in languages other performance report will be required part 15, subpart A) and Section 504 of than English. with the final Financial Status Report. the Rehabilitation Act of 1973, Title VIII To file a program discrimination The final report may serve as the last of the Civil Rights Act of 1968, Title IX, complaint, complete the USDA Program quarterly report. The final report must Executive Order 13166 (Improving Discrimination Complaint Form, AD provide complete information regarding Access to Services for Persons with 3027, found online at: http:// the jobs created and supported as a Limited English Proficiency), Executive www.usda.gov/oascr/how-to-file-a- result of the grant, if applicable. Order 11246 (Equal Employment program-discrimination-complaint and Grantees must continuously monitor Opportunity), and the Equal Credit at any USDA office, or write a letter performance to ensure that time Opportunity Act of 1974. addressed to USDA and provide in the schedules are being met, projected work I. Other Information letter all of the information requested in by time periods is being accomplished, the form. To request a copy of the and other performance objectives are Paperwork Reduction Act complaint form, call (866) 632–9992. being achieved. Grantees must submit In accordance with the Paperwork Submit your completed form or letter to an original of each report to the Agency Reduction Act of 1995, the information USDA by: no later than 30 days after the end of the collection requirement contained in this quarter. The Project performance reports (1) Mail: U.S. Department of notice is approved by OMB under OMB Agriculture, Office of the Assistant must include, but not be limited to, the Control Number 0570–0070. following: Secretary for Civil Rights, 1400 (1) A comparison of actual Federal Funding Accountability and Independence Avenue SW, Washington, accomplishments to the objectives Transparency Act DC 20250–9410; established for that period; All applicants, in accordance with 2 (2) Fax: (202) 690–7442; or (2) Problems, delays, or adverse CFR part 25, must have a DUNS (3) Email: [email protected]. conditions, if any, which have affected number, which can be obtained at no USDA is an equal opportunity or will affect attainment of overall cost via a toll-free request line at (866) provider, employer, and lender. Project objectives, prevent meeting time 705–5711, or online at: http:// schedules or objectives, or preclude the fedgov.dnb.com/webform. Similarly, all Mark Brodziski, attainment of particular Project work applicants must be registered in SAM Acting Administrator, Rural Business- elements during established time prior to submitting an application. Cooperative Service. periods. This disclosure shall be Applicants may register for the SAM at: [FR Doc. 2021–06703 Filed 3–31–21; 8:45 am] accompanied by a statement of the http://www.sam.gov/SAM. All BILLING CODE 3410–XY–P
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DEPARTMENT OF AGRICULTURE 1, 2021 as stated in the DATES section of to allow proceeds of guaranteed bonds this NOSA. awarded under this NOSA to be used to Rural Utilities Service make broadband loans, or to refinance Overview [Docket Number RUS–20–ELECTRIC–0045] broadband loans made to a borrower Federal Agency: Rural Utilities that has received, or is eligible to Announcement of Application Service, USDA. receive, a broadband loan under Title VI Deadlines and Requirements for Funding Opportunity Title: of the RE Act. As a result, to the extent Section 313A Guarantees for Bonds Guarantees for Bonds and Notes Issued that the proceeds of guaranteed bonds and Notes Issued for Utility for Utility Infrastructure Purposes for are to be used to fund or refinance Infrastructure Purposes for Fiscal Year Fiscal Year (FY) 2021. broadband loans that were not made by (FY) 2021 Announcement Type: Guarantees for RUS (‘‘Non Broadband Loans’’), such Bonds and Notes. proceeds may only be used for Non AGENCY: Rural Utilities Service, USDA. Catalog of Federal Domestic Broadband Loans that would meet the ACTION: Notice of Solicitation of Assistance (CFDA) Number: 10.850. amended eligibility requirements of Applications (NOSA). Due Date for Applications: Completed Title VI pursuant to the 2018 Farm Bill. applications must be received or post The 2018 Farm Bill has also modified SUMMARY: The Rural Utilities Service marked by RUS no later than 5:00 p.m. the 313A Program to allow the proceeds (RUS), an agency of the United States Eastern Daylight Time (EDT) June 1, of guaranteed loans made under this Department of Agriculture (USDA), 2021. NOSA to be used by the Guaranteed announces the application window and Items in Supplementary Information Lender to fund projects for the requirements and $750 million in loan generation of electricity. funding that is available for Fiscal Year I. Funding Opportunity Description (FY) 2021 under the Guarantees for II. Award Information B. Statutory Authority Bonds and Notes Issued for Utility III. Eligibility Information The 313A Program is authorized by Infrastructure Purposes Program (the IV. Fiscal Year 2021 Application and Section 313A of the Rural Electrification Submission Information 313A Program), authorized under the Act of 1936, as amended (7 U.S.C. 940c– Rural Electrification Act of 1936, as V. Application Review Information VI. Issuance of Guarantee 1) and is implemented by regulations amended (the RE Act). Successful VII. Guarantee Agreement located at 7 CFR part 1720, in applications will be selected by the VIII. Reporting Requirements accordance with the 2018 Farm Bill. Agency for funding and subsequently IX. Award Administration Information The Administrator of RUS (the awarded. All applicants are responsible X. National Environmental Policy Act Administrator) has been delegated for any expenses incurred in developing Certification responsibility for administering the their applications. XI. Other Information and Requirements 313A Program. XII. Agency Contacts: Website, Phone, Fax, DATES: Completed applications must be Email, Contact Name C. Definition of Terms received, or post marked by RUS no XIII. Non-Discrimination Statement: USDA later than 5:00 p.m. Eastern Daylight Non-Discrimination Statement, How To The definitions applicable to this Time (EDT) June 1, 2021. File a Complaint, Persons With NOSA are currently published at 7 CFR ADDRESSES: Applicants are required to Disabilities 1720.3, or its equivalent in any new regulation issued by RUS. submit one original and two copies of I. Funding Opportunity Description their loan application to the U.S. D. Application Awards Department of Agriculture, Rural A. Purpose and Objectives of the 313A Utilities Service, Electric Program, Program RUS will review and evaluate applications received in response to this ATTN: Amy McWilliams, Program The purpose of the 313A Program is Advisor, 1400 Independence Avenue NOSA based on the regulations at 7 CFR to make guaranteed loans to selected 1720.7, and as provided in this NOSA. SW, STOP 1560, Room 4137D–S, applicants (each referred to as Washington, DC 20250–1560. ‘‘Guaranteed Lender’’ in this NOSA) II. Award Information FOR FURTHER INFORMATION CONTACT: that are to be used (i) to make utility Type of Awards: Guaranteed Loans. Amy McWilliams, Program Advisor, infrastructure loans or (ii) to refinance Fiscal Year Funds: FY 2021. 1400 Independence Avenue SW, STOP bonds or notes issued for such purposes Available Funds: $750 million. 1560, Room 4137D–S, Washington, DC to a borrower that has at any time Should additional funding become 20250–1560. Telephone: (202) 205– received, or is eligible to receive, a loan available this fiscal year, the RUS 8663; fax: (844) 749–0736; or email: under the RE Act. Each applicant must reserves the right to increase the total [email protected]. provide a statement on how it proposes funds available under this notice. SUPPLEMENTARY INFORMATION: to use the proceeds of the guaranteed Award Amounts: RUS anticipates bonds, and the financial benefit it making multiple guarantees under this Congressional Review Act anticipates deriving from participating NOSA. The number, amount, and terms Pursuant to the Congressional Review in the program pursuant to 7 CFR of awards under this NOSA will depend Act (5 U.S.C. 801 et seq.), the Office of 1720.6(a)(3), or its equivalent in any in part on the number of eligible Information and Regulatory Affairs in subsequent regulation. Objectives may applications and the amount of funds the Office of Management and Budget include, but are not limited to the requested. In determining whether or designated this action as a major rule, as annual savings to be realized by the not to make an award, RUS will take defined by 5 U.S.C. 804(2), because it ultimate borrower(s) as a result of the overall program policy objectives into will result in an annual effect on the applicant’s use of lower cost loan funds account. economy of $100,000,000 or more. provided by the Federal Financing Bank Due Date for Applications: See Accordingly, there will be a mandatory (FFB) and guaranteed by RUS. SUPPLEMENTARY INFORMATION above. 60-day delay in effectiveness to award The Agriculture Improvement Act of Award Date: Awards will be made on loan funds. However, applications will 2018 (2018 Farm Bill) modified the or before September 30, 2021, but no be accepted for 60 days beginning April 313A Program by amending the RE Act earlier than June 1, 2021.
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Schedule of Loan Repayment: The and insular possessions (including any form is available at http:// amortization method for the repayment area within the Federated States of www.rd.usda.gov/resources/directives/ of the guaranteed loan shall be repaid by Micronesia, the Marshall Islands, and electric-sample-documents; the Guaranteed Lender: (i) in periodic the Republic of Palau) other than a city, 4. Federal Debt Delinquency town, or unincorporated area that has a installments of principal and interest, Requirements (ii) in periodic installments of interest population of greater than 20,000 and, at the end of the term of the bond inhabitants; and (ii) any area within a This report indicates whether the or note, as applicable, by the repayment service area of a borrower for which a applicants are delinquent on any of the outstanding principal, or (iii) borrower has an outstanding loan as of Federal debt (See 7 CFR 1710.126 and through a combination of the methods June 18, 2008, made under titles I 7 CFR 1710.501(a)(13)). This form (the described in (i) and (ii) above. The through V of the Rural Electrification Federal Debt Delinquency Certification) amortization method will be agreed to Act of 1936, as amended (7 U.S.C. 901– is available at http://www.rd.usda.gov/ by RUS and the Guaranteed Lender. 950cc-2). For initial loans to a borrower resources/directives/electric-sample- made after June 18, 2008, the ‘‘rural’’ documents; III. Eligibility Information character of an area is determined at the 5. Form RD 400–4, Assurance A. Eligible Applicants time of the initial loan to furnish or Agreement improve service in the area. 1. To be eligible to participate in the Applicants must submit a non- 313A Program, a Guaranteed Lender IV. Fiscal Year 2021 Application and discrimination assurance commitment must be: Submission Information to comply with certain regulations on a. A bank or other lending institution A. Applications non-discrimination in program services organized as a private, not-for-profit and benefits and on equal employment cooperative association, or otherwise All applications must be prepared and opportunity as set forth in 7 CFR parts submitted in accordance with this organized on a non-profit basis; 15 and 15b and 12 CFR part 202, 7 CFR NOSA and 7 CFR part 1720 (available b. Able to demonstrate to the 1901, subpart E., DR4300–003, DR4330– online at http://www.ecfr.gov/cgi-bin/ Administrator that it possesses the 0300, DR4330–005. This form is text-idx?SID=9295e45c9a0f6a857d800 appropriate expertise, experience, and available at: http://www.rd.usda.gov/ fbec5dde2fb&mc=true&node= qualifications to make loans for utility resources/directives/electric-sample- pt7.11.1720&rgn=div5). infrastructure purposes (to the extent documents; and that the applicant intends to use the B. Content and Form of Submission guaranteed loan funds for such 6. Articles of Incorporation and Bylaws In addition to the required application purpose); and See 7 CFR 1710.501(b)(1). These are specified in 7 CFR 1720.6, all applicants c. Able to demonstrate to the required if either document has been must submit the following additional Administrator that it has bonds or notes amended since the last loan application required documents and materials: eligible for refinancing under the 313A was submitted to RUS, or if this is the Program (to the extent that the applicant 1. System for Awards Management applicant’s first application for a loan intends to use the guaranteed loan funds All program applicants must be under the RE Act. for such purpose). registered in the System for Awards C. Supplemental Documents for 2. To be eligible to receive a Management (SAM) prior to submitting Submission guarantee, a Guaranteed Lender’s bond an application, unless determined must meet the following criteria: exempt under 2 CFR 25.110. Loan 1. Pro Forma Financial Statements a. The Guaranteed Lender must recipients must maintain an active SAM Including Cash Flow Projections and furnish the Administrator with a registration with current information at Assumptions certified list of the principal balances of all times during which it has an active Each applicant must include five-year eligible loans outstanding and certify Federal award or an application under pro forma income statements, balance that such aggregate balance is at least consideration by the Agency. The sheets and cash flow projections or equal to the sum of the proposed applicant must ensure that the business plans and clearly state the principal amount of guaranteed bonds information in the database is current, assumptions that underlie the to be issued, including any previously accurate, and complete. Applicants projections, demonstrating that there is issued guaranteed bonds outstanding; must ensure they complete the reasonable assurance that the applicant and Financial Assistance General will be able to repay the guaranteed loan b. The guaranteed bonds to be issued Certifications and Representations in in accordance with its terms (See 7 CFR by the Guaranteed Lender would receive SAM; 1720.6(a)(4)). an underlying investment grade rating from a Rating Agency, without regard to 2. Restrictions on Lobbying 2. Pending Litigation Statement the guarantee. Applicants must comply with the A statement from the applicant’s 3. A lending institution’s status as an requirements relating to restrictions on counsel listing any pending litigation, eligible applicant does not assure that lobbying activities. (See 2 CFR part 418, including levels of related insurance the Administrator will issue the and 7 CFR 1710.125.) This form is coverage and the potential effect on the guarantee sought in the amount or available at https://www.gsa.gov/forms- applicant, must be submitted to RUS. under the terms requested, or otherwise library/disclosure-lobbying-activities; preclude the Administrator from V. Application Review Information 3. Uniform Relocation Act Assurance declining to issue a guarantee. A. Application Evaluation Statement B. Other Eligibility Requirements Applicants must comply with 49 CFR 1. Administrator Review Applications will only be accepted part 24, which implements the Uniform a. Each application will be reviewed from lenders that serve rural areas Relocation Assistance and Real Property by the Administrator to determine defined in 7 CFR 1710.2(a) as (i) any Acquisition Policies Act of 1970, as whether it is eligible under 7 CFR area of the United States, its territories amended. (See 7 CFR 1710.124.) This 1720.5, the information required under
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7 CFR 1720.6 is complete, and the IX. Award Administration Information d. The Guaranteed Lender will be proposed guaranteed bond complies required to agree not to take any action Award Notices with applicable statutes and regulations. that would have the effect of reducing The Administrator can at any time reject RUS will send a commitment letter to the value of the pledged collateral below an application that fails to meet these an applicant once the loan is approved. the level described above. requirements. Applicants must accept and commit to e. Applicants must certify to the RUS, b. Applications will be subject to a all terms and conditions of the loan the portion of their loan portfolio that is: (1) Refinanced RUS debt; substantive review, on a competitive which are requested by RUS and FFB as follows: (2) Debt of borrowers for whom both basis, by the Administrator based upon RUS and the applicants have the evaluation factors listed in 7 CFR 1. Compliance Conditions outstanding loans; and 1720.7(b). In addition to the standard conditions (3) Debt of borrowers for whom both 2. Decisions by the Administrator placed on the 313A Program or RUS and the applicant have outstanding conditions requested by RUS to ensure concurrent loans pursuant to Section The Administrator may limit the loan security and statutory compliance, 307 of the RE Act, and the amount of number of guarantees made to a applicants must comply with the Eligible Loans. maximum of five per year, to ensure a following conditions: 2. Compliance With Federal Laws sufficient examination is conducted of a. Each Guaranteed Lender selected applicant requests. RUS will notify the under the 313A Program will be Applicants must comply with all applicant in writing of the required to post collateral for the benefit applicable Federal laws and regulations. a. This obligation is subject to the Administrator’s approval or denial of an of RUS in an amount at least equal to provisions contained in the application. Approvals for guarantees the aggregate amount of loan advances Consolidated Appropriations Act, 2021, will be conditioned upon compliance made to the Guaranteed Lender under Public Law 116–260, Division A, Title with 7 CFR 1720.4 (in accordance with the 313A Program. III, Sections 744 and 745, as amended the 2018 Farm Bill) and 7 CFR 1720.6. b. The pledged collateral (the Pledged The Administrator reserves the and/or subsequently enacted for USDA Collateral) shall consist of outstanding agencies and offices, regarding the discretion to approve an application for notes or bonds payable to the an amount that was less than requested. prohibition against RUS making awards Guaranteed Lender (the Eligible to applicants having corporate felony B. Independent Assessment Securities) and shall be placed on convictions within the past 24 months deposit with a collateral agent for the or to applicants having corporate federal Before a guarantee decision is made benefit of RUS. To be deemed Eligible tax delinquencies. by the Administrator, the Administrator Securities that can be pledged as b. An authorized official within your shall request that FFB review the rating collateral, the notes or bonds to be organization must execute, date, and agency determination required by 7 CFR pledged (i) cannot be classified as non- return the loan commitment letter and 1720.5(b)(2) as to whether the bond or performing, impaired, or restructured the Assurance Regarding Felony note to be issued would receive an under generally accepted accounting Conviction or Tax Delinquent Status for investment grade rating without regard principles; special mention loans as Corporate Applicants (Form AD–3031) to the guarantee. defined by the Office of the Comptroller to RUS within 14 calendar days from of the Currency; or any other elevated VI. Issuance of the Guarantee the date of the loan commitment letter, risk categories used by the Guaranteed or by September 24, 2021, if the loan is The requirements under this section Lender, (ii) must be free and clear of all approved after September 9, 2021; must be met by the applicant prior to liens other than the lien created for the otherwise, the commitment will be void. the endorsement of a guarantee by the benefit of RUS, (iii) cannot be This form is available at https:// Administrator (See 7 CFR 1720.8.) comprised of more than 30 percent of www.ocio.usda.gov/document/ad3031. bonds or notes from generation and c. Uniform Commercial Code (UCC) VII. Guarantee Agreement transmission borrowers, (iv) cannot Filing. The Borrower must provide RUS have more than 5 percent of notes and with evidence that the Borrower has Each Guaranteed Lender will be bonds be from any one particular required to enter into a Guarantee filed the UCC financing statement borrower and (v) cannot be unsecured required by 7 CFR 1720.8(a)(2). Upon Agreement with RUS that contains the notes. filing of the appropriate UCC financing provisions described in 7 CFR 1720.8 c. The Guaranteed Lender will be statement, the Guaranteed Lender will (Issuance of the Guarantee), 7 CFR required to place a lien on the Pledged provide RUS with a perfection opinion 1720.9 (Guarantee Agreement), and 7 Collateral in favor of RUS (as secured by outside counsel which demonstrates CFR 1720.12 (Reporting Requirements). party) at the time that the Pledged that RUS’s security interest in the The Guarantee Agreement will also Collateral is deposited with the pledged collateral under the Pledge obligate the Guaranteed Lender to pay, collateral agent. RUS will have the right, Agreement is perfected. on an annual basis, a guarantee fee in its sole discretion, within 14 business d. Additional conditions may be equal to 30 basis points (0.30 percent) days of receipt of pledged collateral instituted for future obligations. of the outstanding principal amount of report to reject and require the the guaranteed loan (See 7 CFR substitution of any Pledged Collateral X. National Environmental Policy Act 1720.10). that the Guaranteed Lender deposits as Certification VIII. Reporting Requirements collateral with the collateral agent. Prior For any proceeds to be used to to receiving any advances under the refinance bonds and notes previously Guaranteed Lenders are required to 313A Program, the Guaranteed Lender issued by the Guaranteed Lender for RE comply with the financial reporting will be required to enter into a pledge Act purposes that are not obligated for requirements and Pledged Collateral agreement, satisfactory to RUS, with a specific projects, RUS has determined review and certification requirements banking institution serving as collateral that these financial actions will not set forth in 7 CFR 1720.12. agent. individually or cumulatively have a
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significant effect on the human 3027. Individuals wishing to file a number and listen to the meeting. environment as defined by the National discrimination complaint may use the Callers can expect to incur charges for Environmental Policy Act of 1969 (42 form available at https://www.usda.gov/ calls they initiate over wireless lines, U.S.C. 4321 et seq.) and its oascr/how-to-file-a-program- and the Commission will not refund any implementing regulations at 40 CFR discrimination-complaint and at any incurred charges. Callers will incur no parts 1500–1508. However, for any new USDA office, or may write a letter charge for calls they initiate over land- projects funded through the 313A addressed to USDA and provide in the line connections to the toll-free Program, applicants must consult with letter all of the information requested in telephone number. Persons with hearing RUS and comply with the Agency the form. To request a copy of the impairments may also follow the regulations at 7 CFR part 1970. complaint form, call (866) 632–9992. proceedings by first calling the Federal Submit your completed form or letter to Relay Service at 1–800–877–8339 and XI. Other Information and USDA by: providing the Service with the Requirements (1) Mail: U.S. Department of conference call number and conference Applications must contain all the Agriculture, Office of the Assistant ID number. required elements of this NOSA, and all Secretary for Civil Rights, 1400 Members of the public are entitled to standard requirements as required by 7 Independence Avenue SW, Washington, make comments during the open period CFR part 1720. Additional supporting DC 20250–9410; or at the end of the meeting. Members of data or documents may be required by (2) Email: [email protected]. the public may also submit written RUS depending on the individual USDA is an equal opportunity comments; the comments must be application or financial conditions. All provider, employer, and lender. received in the Regional Programs Unit within 30 days following the meeting. applicants must comply with all Federal Authority: 7 U.S.C. 940c–1. laws and regulations. Written comments may be emailed to Christopher A. McLean, Angelica Trevino at [email protected]. XII. Agency Contacts Acting Administrator, Rural Utilities Service. Persons who desire additional A. Website: https://www.rd.usda.gov/ [FR Doc. 2021–06675 Filed 3–31–21; 8:45 am] information may contact Angelica contact-us/national-office/rus. BILLING CODE 3410–15–P Trevino at (202) 695–8935. B. Phone: (202) 720–9540. Records and documents discussed C. Email: [email protected]. during the meeting will be available for D. Main point of contact: Amy CIVIL RIGHTS COMMISSION public viewing prior to and after the McWilliams, Program Advisor; Phone: meetings at https:// (202) 720 9540 or (202) 205–8663; Notice of Public Meeting of the Utah www.facadatabase.gov/FACA/ XIII. USDA Non-Discrimination Advisory Committee FACAPublicViewCommitteeDetails Statement ?id=a10t0000001gzltAAA. AGENCY: U.S. Commission on Civil Please click on the ‘‘Committee In accordance with Federal civil Rights. Meetings’’ tab. Records generated from rights law and U.S. Department of ACTION: Announcement of meeting. these meetings may also be inspected Agriculture (USDA) civil rights and reproduced at the Regional regulations and policies, the USDA, its SUMMARY: Notice is hereby given, Programs Unit, as they become Agencies, offices, and employees, and pursuant to the provisions of the rules available, both before and after the institutions participating in or and regulations of the U.S. Commission meetings. Persons interested in the work administering USDA programs are on Civil Rights (Commission) and the of this Committee are directed to the prohibited from discriminating based on Federal Advisory Committee Act Commission’s website, https:// race, color, national origin, religion, sex, (FACA) that a teleconference meeting of www.usccr.gov, or may contact the gender identity (including gender the Utah Advisory Committee to the Regional Programs Unit at the above expression), sexual orientation, Commission will be held at 12 p.m. email or street address. disability, age, marital status, family/ Mountain Time on Friday, April 23, parental status, income derived from a 2021. The purpose of this planning Agenda public assistance program, political meeting is to discuss scheduling a —Rollcall beliefs, or reprisal or retaliation for prior possible virtual panel presentation with —Designate Note Taker civil rights activity, in any program or Utah shareholders about their responses —Welcome activity conducted or funded by USDA to the recently published Committee —Planning Meeting (not all bases apply to all programs). report titled, Civil Rights and the —Other Business Remedies and complaint filing Gender Wage Gap in Utah, and other —Next Public Meeting —Public Comment deadlines vary by program or incident. matters. Persons with disabilities who require —Adjourn DATES: alternative means of communication for The meeting will be held on Dated: March 28, 2021. program information (e.g., Braille, large Friday, April 23, 2021 at 12 p.m. MT. David Mussatt, Public Call Information: Dial: 800– print, audiotape, American Sign Supervisory Chief, Regional Programs Unit. 367–2403. Conference ID: 8890038. Language, etc.) should contact the [FR Doc. 2021–06685 Filed 3–31–21; 8:45 am] FOR FURTHER INFORMATION CONTACT: responsible Agency or USDA’s TARGET BILLING CODE P Center at (202) 720–2600 (voice and Angelica Trevino, Program Specialist TTY) or contact USDA through the (PS) at [email protected], or by phone Federal Relay Service at (800) 877–8339. at (202) 695–8935. COMMISSION ON CIVIL RIGHTS Additionally, program information may SUPPLEMENTARY INFORMATION: This be made available in languages other meeting is available to the public Notice of Public Meeting of the North than English. through the following toll-free call-in Dakota Advisory Committee To file a program discrimination number: 800–367–2403, conference ID AGENCY: Commission on Civil Rights. complaint, complete the USDA Program number: 8890038. Any interested ACTION: Announcement of meeting. Discrimination Complaint Form, AD– member of the public may call this
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SUMMARY: Notice is hereby given, 3. Discuss Housing Report Identifiable Information (for example, pursuant to the provisions of the rules 4. Next Steps name and address) voluntarily and regulations of the U.S. Commission 5. Public Comment submitted by the commenter may be on Civil Rights (Commission), and the 6. Other Business publicly accessible. Do not submit Federal Advisory Committee Act 7. Adjourn Confidential Business Information or (FACA), that a meeting of the North Dated: March 26, 2021. otherwise sensitive or protected Dakota Advisory Committee to the David Mussatt, information. You may submit Commission will convene by conference attachments to electronic comments in Supervisory Chief, Regional Programs Unit. call on Thursday, April 8, 2021 at 12:00 Microsoft Word, Excel, or Adobe PDF p.m. (CT). The purpose is to review a [FR Doc. 2021–06680 Filed 3–31–21; 8:45 am] file formats. BILLING CODE P statement on hates crimes against Asian FOR FURTHER INFORMATION CONTACT: Americans and to discuss its draft report Requests for additional information or on housing discrimination. specific questions related to collection DEPARTMENT OF COMMERCE DATES: Thursday, April 8, 2021 at 12:00 activities should be directed to Lisa p.m. (CT) Census Bureau Cheok, U.S. Census Bureau, ADDP/CPS Public Webex Conference Registration HQ–7H136A, Washington, DC 20233– Link (video and audio): https://bit.ly/ Agency Information Collection 8400, (301) 763–3806 (or via the internet 3tWBQc3; password (if necessary): Activities; Submission to the Office of at [email protected]). NDUSCCR. Management and Budget (OMB) for SUPPLEMENTARY INFORMATION: To Join by Phone Only: Dial 1–800– Review and Approval; Comment 360–9505; Access code: 199 490 4967. Request; Current Population Survey, I. Abstract FOR FURTHER INFORMATION CONTACT: Annual Social and Economic The Census Bureau plans to request Evelyn Bohor at [email protected] or by Supplement clearance from the Office of phone at 202–921–2212. Management and Budget (OMB) for the AGENCY: U.S. Census Bureau, SUPPLEMENTARY INFORMATION: This collection of data concerning the Commerce. meeting is available to the public Annual Social and Economic through the WebEx link above. If joining ACTION: Notice of Information Supplement (ASEC) to be conducted in only via phone, callers can expect to Collection, request for comment. conjunction with the February, March, and April Current Population Survey incur charges for calls they initiate over SUMMARY: The Department of wireless lines, and the Commission will (CPS). The Census Bureau and the Commerce, in accordance with the Bureau of Labor Statistics sponsor this not refund any incurred charges. Paperwork Reduction Act (PRA) of Individuals who are deaf, deafblind and supplement, which had its beginnings 1995, invites the general public and in 1942. This collection is authorized hard of hearing may also follow the other Federal agencies to comment on proceedings by first calling the Federal under Title 13, United States Code, proposed, and continuing information Sections 141 and 182; and Title 29, Relay Service at 1–800–877–8339 and collections, which helps us assess the providing the Service with the call-in United States Code, Sections 1–9. The impact of our information collection current clearance expires December 31, number found through registering at the requirements and minimize the public’s web link provided above for the 2021. The ASEC data collection reporting burden. The purpose of this questions and design will remain meeting. notice is to allow for 60 days of public Members of the public are entitled to unchanged from its most recent comment on the proposed extension of collection in 2021. make comments during the open period the Annual Social and Economic at the end of the meeting. Members of Information on work experience, Supplement (ASEC) to the Current personal income, noncash benefits, the public may also submit written Population Survey, prior to the comments; the comments must be current and previous year health submission of the information collection insurance coverage, employer- received in the Regional Programs Unit request (ICR) to OMB for approval. within 30 days following the respective sponsored insurance take-up, and meeting. Written comments may be DATES: To ensure consideration, migration is collected through the emailed to Barbara Delaviez at ero@ comments regarding this proposed ASEC. The work experience items in the usccr.gov. All written comments information collection must be received ASEC provide a unique measure of the received will be available to the public. on or before June 1, 2021. dynamic nature of the labor force as Persons who desire additional ADDRESSES: Interested persons are viewed over a one-year period. These information may contact the Regional invited to submit written comments by items produce statistics that show Programs Unit at (202) 809–9618. email to the Current Population Surveys movements in and out of the labor force Records and documents discussed Branch email address at dsd.cps@ by measuring the number of periods of during the meeting will be available for census.gov. Please reference the Annual unemployment experienced by people, public viewing as they become available Social and Economic Supplement the number of different employers at the www.facadatabase.gov. Persons (ASEC) in the subject line of your worked for during the year, the interested in the work of this advisory comments. You may also submit principal reasons for unemployment, committee are advised to go to the comments, identified by Docket Number and part-/full-time attachment to the Commission’s website, www.usccr.gov, USBC–2021–0009, to the Federal labor force. We can make indirect or to contact the Regional Programs Unit e-Rulemaking Portal: http:// measurements of discouraged workers at the above phone number or email www.regulations.gov. All comments and others with a casual attachment to address. received are part of the public record. the labor market. No comments will be posted to http:// The income data from the ASEC are Agenda: Thursday, April 8, 2021; 12:00 www.regulations.gov for public viewing used by social planners, economists, p.m. (CT) until after the comment period has government officials, and market 1. Roll call closed. Comments will generally be researchers to gauge the economic well- 2. Review a Statement on Hate Crimes posted without change. All Personally being of the country as a whole, and
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selected population groups of interest. Respondent’s Obligation: Voluntary. value (NV) by COFCO Biochemical Government planners and researchers Legal Authority: Title 13, United (Thailand) Co., Ltd. (COFCO) or use these data to monitor and evaluate States Code, Sections 141 and 182; and Sunshine Biotech International Co., Ltd. the effectiveness of various assistance Title 29, United States Code, Sections (Sunshine) during the period of review programs. Market researchers use these 1–9. (POR) July 1, 2019, through June 30, data to identify and isolate potential 2020. Interested parties are invited to IV. Request for Comments customers. Social planners use these comment on these preliminary results. data to forecast economic conditions We are soliciting public comments to DATES: Applicable April 1, 2021. and to identify special groups that seem permit the Department/Bureau to: (a) FOR FURTHER INFORMATION CONTACT: Joy to be especially sensitive to economic Evaluate whether the proposed Zhang or Patrick Barton, AD/CVD fluctuations. Economists use ASEC data information collection is necessary for Operations, Office III, Enforcement and to determine the effects of various the proper functions of the Department, Compliance, International Trade economic forces, such as inflation, including whether the information will Administration, U.S. Department of recession, recovery, and so on, and their have practical utility; (b) Evaluate the Commerce, 1401 Constitution Avenue differential effects on various accuracy of our estimate of the time and NW, Washington, DC 20230; telephone: population groups. cost burden for this proposed collection, (202) 482–1168 or (202) 482–8362, The ASEC is the official source of including the validity of the respectively. national poverty estimates calculated in methodology and assumptions used; (c) SUPPLEMENTARY INFORMATION: accordance with the Office of Evaluate ways to enhance the quality, Management and Budget’s Statistical utility, and clarity of the information to Background Policy Directive 14. Two other be collected; and (d) Minimize the On September 3, 2020, based on important national estimates derived reporting burden on those who are to timely requests for review, in from the ASEC are real median respond, including the use of automated accordance with 19 CFR household income and the number and collection techniques or other forms of 351.221(c)(1)(i), Commerce initiated an percent of individuals without health information technology. administrative review of the insurance coverage. Comments that you submit in antidumping duty (AD) order on citric The ASEC also contains questions response to this notice are a matter of acid from Thailand, covering three related to: (1) Medical expenditures; (2) public record. We will include, or companies: COFCO, Niran (Thailand) presence and cost of a mortgage on summarize, each comment in our Co., Ltd. (Niran), and Sunshine.1 property; (3) child support payments; request to OMB to approve this ICR. Commerce rescinded this review, in and (4) amount of child care assistance Before including your address, phone part, with respect to Niran on February received. These questions enable number, email address, or other 3, 2021.2 For a complete description of analysts and policymakers to obtain personal identifying information in your the events that followed the initiation of better estimates of family and household comment, you should be aware that this review, see the Preliminary income, and more precisely gauge your entire comment—including your Decision Memorandum.3 poverty status. personal identifying information—may 4 be made publicly available at any time. Scope of the Order II. Method of Collection While you may ask us in your comment The merchandise covered by this The ASEC information will be to withhold your personal identifying order includes all grades and collected by both personal visit and information from public review, we granulation sizes of citric acid, sodium telephone interviews in conjunction cannot guarantee that we will be able to citrate, and potassium citrate in their with the regular February, March and do so. unblended forms, whether dry or in April CPS interviewing. All interviews solution, and regardless of packaging are conducted using computer-assisted Sheleen Dumas, type. The scope also includes blends of interviewing. Department PRA Clearance Officer, Office of citric acid, sodium citrate, and the Chief Information Officer, Commerce potassium citrate; as well as blends with III. Data Department. other ingredients, such as sugar, where OMB Control Number: 0607–0354. [FR Doc. 2021–06753 Filed 3–31–21; 8:45 am] the unblended form(s) of citric acid, Form Number(s): None. BILLING CODE 3510–07–P sodium citrate, and potassium citrate Type of Review: Regular submission. constitute 40 percent or more, by Request for an Extension, without weight, of the blend. Change, of a Currently Approved DEPARTMENT OF COMMERCE Collection. 1 International Trade Administration See Initiation of Antidumping and Affected Public: Households. Countervailing Duty Administrative Reviews, 85 FR Estimated Number of Respondents: [A–549–833] 54983 (September 3, 2020); see also Memorandum, 78,000. ‘‘Antidumping Duty Administrative Review of Citric Acid and Certain Citrate Salts from Thailand; Estimated Time per Response: 25 Citric Acid and Certain Citrate Salts 2019–2020: Selection of Respondents for Individual mintues. From Thailand: Preliminary Results of Examination,’’ dated September 17, 2020. Estimated Total Annual Burden Antidumping Duty Administrative 2 See Citric Acid and Certain Citrate Salts from Hours: 32,500. Review; 2019–2020 Thailand: Partial Rescission of Antidumping Duty Estimated Total Annual Cost to Administrative Review, 2019–2020, 86 FR 7989 Public: $0 (This is not the cost of AGENCY: Enforcement and Compliance, (February 3, 2021). International Trade Administration, 3 See Memorandum, ‘‘Decision Memorandum for respondents’ time, but the indirect costs Preliminary Results of Antidumping Duty respondents may incur for such things Department of Commerce. Administrative Review: Citric Acid and Certain as purchases of specialized software or SUMMARY: The Department of Commerce Citrate Salts from Thailand; 2019–2020,’’ dated hardware needed to report, or (Commerce) preliminarily determines concurrently with, and hereby adopted by, this notice (Preliminary Decision Memorandum). expenditures for accounting or records that sales of citric acid and certain 4 See Citric Acid and Certain Citrate Salts from maintenance services required citrate salts (citric acid) from Thailand Belgium, Colombia, and Thailand: Antidumping specifically by the collection.) have not been made at less than normal Duty Orders, 83 FR 35214 (July 25, 2018) (Order).
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Citric acid and sodium citrate are appropriate entries covered by this of administrative review for all classifiable under 2918.14.0000 and review. shipments of citric acid from Thailand 2918.15.1000 of the Harmonized Tariff If the weighted-average dumping entered, or withdrawn from warehouse, Schedule of the United States (HTSUS), margin for companies listed above are for consumption on or after the date of respectively. Potassium citrate and not zero or de minimis (i.e., less than 0.5 publication of the final results, as crude calcium citrate are classifiable percent), we will calculate importer- provided by section 751(a)(2)(C) of the under 2918.15.5000 and, if included in specific ad valorem AD assessment rates Act: (1) The cash deposit rate for the a mixture or blend, 3824.99.9295 of the based on the ratio of the total amount of firms listed above will be equal to the HTSUS. Blends that include citric acid, dumping calculated for the importer’s dumping margins established in the sodium citrate, and potassium citrate examined sales to the total entered final results of this review, except if the are classifiable under 3824.99.9295 of value of those same sales in accordance ultimate rates are de minimis within the 5 the HTSUS. Although the HTSUS sub- with 19 CFR 351.212(b)(1). We will meaning of 19 CFR 351.106(c)(1), in headings are provided for convenience instruct CBP to assess antidumping which case the cash deposit rates will and customs purposes, the written duties on all appropriate entries covered be zero; (2) for merchandise exported by description of the merchandise is by this review when the importer- producers or exporters not covered in dispositive. For a full description of the specific assessment rate calculated in this administrative review but covered scope of the Order, see the Preliminary the final results of this review is above in a prior segment of the proceeding, the Decision Memorandum. de minimis (i.e., 0.5 percent). Where cash deposit rate will continue to be the either the respondent’s weighted- company-specific rate published for the Methodology average dumping margin is zero or de most recently completed segment of this minimis, or an importer-specific Commerce is conducting this review proceeding in which the producer or assessment rate is zero or de minimis, in accordance with section 751(a)(1)(B) exporter participated; (3) if the exporter we will instruct CBP to liquidate the of the Tariff Act of 1930, as amended is not a firm covered in this review, a (the Act). We calculated export price appropriate entries without regard to prior review, or the original LTFV and constructed export price in antidumping duties. The final results of investigation but the producer is, then accordance with section 772 of the Act. this review shall be the basis for the the cash deposit rate will be the rate We calculated NV in accordance with assessment of antidumping duties on established for the most recently section 773 of the Act. For a full entries of merchandise covered by the completed segment of the proceeding description of the methodology final results of this review and for future underlying our conclusions, see the deposits of estimated duties, where for the producer of the merchandise; Preliminary Decision Memorandum. applicable.6 and (4) the cash deposit rate for all other producers or exporters will continue to A list of topics discussed in the In accordance with Commerce’s be 11.25 percent, the all-others rate Preliminary Decision Memorandum is ‘‘automatic assessment’’ practice, for established in the LTFV investigation.7 attached as an appendix to this notice. entries of subject merchandise during The Preliminary Decision Memorandum the POR produced by each respondent These cash deposit requirements, when is a public document and is on file which did not know that its imposed, shall remain in effect until electronically via Enforcement and merchandise was destined for the further notice. United States, we will instruct CBP to Compliance’s Antidumping and Disclosure and Public Comment Countervailing Duty Centralized liquidate entries not reviewed at the all- Electronic Service System (ACCESS). others rate established in the original Commerce intends to disclose to the ACCESS is available to registered users less-than-fair value (LTFV) investigation parties to the proceeding the at http://access.trade.gov. In addition, a (i.e., 11.25 percent) if there is no rate for calculations performed in connection complete version of the Preliminary the intermediate company(ies) involved with these preliminary results to Decision Memorandum can be accessed in the transaction. interested parties within five days of directly at http://enforcement.trade.gov/ Commerce intends to issue publication of this notice.8 frn/index.html. assessment instructions to CBP no earlier than 35 days after the date of Interested parties may submit case Preliminary Results of the Review publication of the final results of this briefs to Commerce in response to these review in the Federal Register. If a preliminary results no later than 30 days As a result of this review, we after the publication of this notice.9 preliminarily determine the following timely summons is filed at the U.S. Court of International Trade, the Rebuttal briefs, limited to issues raised weighted-average dumping margins in the case briefs, may be filed no later exist for the POR: assessment instructions will direct CBP not to liquidate relevant entries until the than seven days after the date for filing 10 Weighted- time for parties to file a request for a case briefs. Parties who submit case average statutory injunction has expired (i.e., briefs or rebuttal briefs in this Exporter/producer dumping within 90 days of publication). proceeding are encouraged to submit margin with each argument: (1) A statement of (percent) Cash Deposit Requirements the issue; (2) a brief summary of the COFCO Biochemical (Thailand) The following cash deposit argument; and (3) a table of Co., Ltd. (COFCO) ...... 0.00 requirements will be effective upon Sunshine Biotech International publication of the notice of final results 7 See Order. Co., Ltd ...... 0.00 8 See 19 CFR 351.224(b). 5 In the preliminary results, Commerce applied 9 See 19 CFR 351.309(c)(1)(ii). Assessment Rates the assessment rate calculation method adopted in 10 See 19 CFR 351.309(d)(1) and (2); see also Antidumping Proceedings: Calculation of the Temporary Rule Modifying AD/CVD Service Upon issuance of the final results, Weighted-Average Dumping Margin and Requirements Due to COVID–19, 85 FR 17006 Commerce shall determine, and U.S. Assessment Rate in Certain Antidumping (March 26, 2020); Temporary Rule Modifying AD/ Proceedings; Final Modification, 77 FR 8101 CVD Service Requirements Due to COVID–19; Customs and Border Protection (CBP) (February 14, 2012). Extension of Effective Period, 85 FR 41363 (July 10, shall assess, antidumping duties on all 6 See section 751(a)(2)(C) of the Act. 2020) (collectively, Temporary Rule).
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authorities.11 Case and rebuttal briefs Dated: March 25, 2021. submissions must be filed electronically should be filed using ACCESS.12 Note Christian Marsh, at https://access.trade.gov in accordance that Commerce has temporarily Acting Assistant Secretary for Enforcement with 19 CFR 351.303.1 Such modified certain of its requirements for and Compliance. submissions are subject to verification in accordance with section 782(i) of the serving documents containing business Appendix proprietary information, until further Tariff Act of 1930, as amended (the Act). notice.13 List of Topics Discussed in the Preliminary Further, in accordance with 19 CFR Decision Memorandum 351.303(f)(1)(i), a copy must be served Pursuant to 19 CFR 351.310(c), I. Summary on every party on Commerce’s service interested parties who wish to request a II. Background list. hearing must submit a written request to III. Scope of the Order the Assistant Secretary for Enforcement IV. Discussion of the Methodology Respondent Selection and Compliance, filed electronically via V. Recommendation In the event Commerce limits the ACCESS. An electronically-filed request [FR Doc. 2021–06730 Filed 3–31–21; 8:45 am] number of respondents for individual for a hearing must be received BILLING CODE 3510–DS–P examination for administrative reviews successfully in its entirety by ACCESS initiated pursuant to requests made for by 5 p.m. Eastern Time within 30 days the orders identified below, Commerce after the date of publication of this DEPARTMENT OF COMMERCE intends to select respondents based on notice.14 Hearing requests should U.S. Customs and Border Protection International Trade Administration contain: (1) The party’s name, address, (CBP) data for U.S. imports during the and telephone number; (2) the number Initiation of Antidumping and POR. We intend to place the CBP data of participants; and (3) a list of issues to Countervailing Duty Administrative on the record within five days of be discussed. Issues raised in the Reviews publication of the initiation notice and hearing will be limited to issues raised to make our decision regarding in the briefs. If a request for a hearing AGENCY: Enforcement and Compliance, respondent selection within 30 days of is made, Commerce intends to hold the International Trade Administration, publication of the initiation Federal hearing at a date and time to be Department of Commerce. Register notice. Comments regarding the determined.15 SUMMARY: The Department of Commerce CBP data and respondent selection (Commerce) has received requests to should be submitted within seven days Commerce intends to issue the final conduct administrative reviews of after the placement of the CBP data on results of this administrative review, various antidumping duty (AD) and the record of this review. Parties including the results of our analysis of countervailing duty (CVD) orders and wishing to submit rebuttal comments the issues raised in any written briefs, findings with February anniversary should submit those comments within not later than 120 days after the date of dates. In accordance with Commerce’s five days after the deadline for the publication of these preliminary results regulations, we are initiating those initial comments. in the Federal Register, unless administrative reviews. In the event Commerce decides it is 16 otherwise extended. DATES: Applicable April 1, 2021. necessary to limit individual examination of respondents and FOR FURTHER INFORMATION CONTACT: Notification to Importers conduct respondent selection under Brenda E. Brown, AD/CVD Operations, section 777A(c)(2) of the Act, the This notice also serves as a Customs Liaison Unit, Enforcement and following guidelines regarding preliminary reminder to importers of Compliance, International Trade collapsing of companies for purposes of their responsibility under 19 CFR Administration, U.S. Department of respondent selection will apply. In 351.402(f)(2) to file a certificate Commerce, 1401 Constitution Avenue general, Commerce has found that regarding the reimbursement of NW, Washington, DC 20230, telephone: determinations concerning whether antidumping duties prior to liquidation (202) 482–4735. particular companies should be of the relevant entries during this SUPPLEMENTARY INFORMATION: ‘‘collapsed’’ (e.g., treated as a single review period. Failure to comply with Background entity for purposes of calculating this requirement could result in antidumping duty rates) require a Commerce has received timely Commerce’s presumption that substantial amount of detailed requests, in accordance with 19 CFR reimbursement of antidumping duties information and analysis, which often 351.213(b), for administrative reviews of occurred and the subsequent assessment require follow-up questions and various AD and CVD orders and of doubled antidumping duties. analysis. Accordingly, Commerce will findings with February anniversary not conduct collapsing analyses at the Notification to Interested Parties dates. All deadlines for the submission of respondent selection phase of this We are issuing and publishing these various types of information, review and will not collapse companies preliminary results in accordance with certifications, or comments or actions by at the respondent selection phase unless sections 751(a)(1) and 777(i)(1) of the Commerce discussed below refer to the there has been a determination to Act, and 19 CFR 351.213(h)(1). number of calendar days from the collapse certain companies in a applicable starting time. previous segment of this AD proceeding (e.g., investigation, administrative 11 See 19 CFR 351.309(c)(2) and (d)(2) and 19 CFR Notice of No Sales review, new shipper review, or changed 351.303 (for general filing requirements). circumstances review). For any 12 See generally 19 CFR 351.303. If a producer or exporter named in company subject to this review, if 13 See Temporary Rule. this notice of initiation had no exports, 14 See 19 CFR 351.310(c); see also 19 CFR sales, or entries during the period of 1 See Antidumping and Countervailing Duty 351.303(b)(1). review (POR), it must notify Commerce Proceedings: Electronic Filing Procedures; 15 See 19 CFR 351.310(d). within 30 days of publication of this Administrative Protective Order Procedures, 76 FR 16 See section 751(a)(3)(A) of the Act. notice in the Federal Register. All 39263 (July 6, 2011).
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Commerce determined, or continued to under section 773(e) of the Act, then it certification, please follow the treat, that company as collapsed with will modify its dumping calculations ‘‘Instructions for Filing the others, Commerce will assume that such appropriately. Certification’’ in the Separate Rate companies continue to operate in the Neither section 773(e) of the Act nor Certification. Separate Rate same manner and will collapse them for 19 CFR 351.301(c)(2)(v) set a deadline Certifications are due to Commerce no respondent selection purposes. for the submission of PMS allegations later than 30 calendar days after Otherwise, Commerce will not collapse and supporting factual information. publication of this Federal Register companies for purposes of respondent However, in order to administer section notice. The deadline and requirement selection. Parties are requested to; (a) 773(e) of the Act, Commerce must for submitting a Certification applies identify which companies subject to receive PMS allegations and supporting equally to NME-owned firms, wholly review previously were collapsed; and factual information with enough time to foreign-owned firms, and foreign sellers (b) provide a citation to the proceeding consider the submission. Thus, should who purchase and export subject in which they were collapsed. Further, an interested party wish to submit a merchandise to the United States. PMS allegation and supporting new if companies are requested to complete Entities that currently do not have a factual information pursuant to section the Quantity and Value (Q&V) separate rate from a completed segment Questionnaire for purposes of 773(e) of the Act, it must do so no later of the proceeding 3 should timely file a than 20 days after submission of initial respondent selection, in general, each Separate Rate Application to company must report volume and value responses to section D of the questionnaire. demonstrate eligibility for a separate data separately for itself. Parties should rate in this proceeding. In addition, not include data for any other party, Separate Rates companies that received a separate rate even if they believe they should be In proceedings involving non-market in a completed segment of the treated as a single entity with that other proceeding that have subsequently party. If a company was collapsed with economy (NME) countries, Commerce begins with a rebuttable presumption made changes, including, but not another company or companies in the limited to, changes to corporate most recently completed segment of this that all companies within the country are subject to government control and, structure, acquisitions of new proceeding where Commerce companies or facilities, or changes to considered collapsing that entity, thus, should be assigned a single their official company name,4 should complete Q&V data for that collapsed antidumping duty deposit rate. It is timely file a Separate Rate Application entity must be submitted. Commerce’s policy to assign all exporters of merchandise subject to an to demonstrate eligibility for a separate Deadline for Withdrawal of Request for administrative review in an NME rate in this proceeding. The Separate Administrative Review country this single rate unless an Rate Application will be available on Pursuant to 19 CFR 351.213(d)(1), a exporter can demonstrate that it is Commerce’s website at https:// party that has requested a review may sufficiently independent so as to be enforcement.trade.gov/nme/nme-sep- withdraw that request within 90 days of entitled to a separate rate. rate.html on the date of publication of the date of publication of the notice of To establish whether a firm is this Federal Register notice. In initiation of the requested review. The sufficiently independent from responding to the Separate Rate regulation provides that Commerce may government control of its export Application, refer to the instructions extend this time if it is reasonable to do activities to be entitled to a separate contained in the application. Separate so. Determinations by Commerce to rate, Commerce analyzes each entity Rate Applications are due to Commerce extend the 90-day deadline will be exporting the subject merchandise. In no later than 30 calendar days after made on a case-by-case basis. accordance with the separate rates publication of this Federal Register criteria, Commerce assigns separate notice. The deadline and requirement Deadline for Particular Market rates to companies in NME cases only for submitting a Separate Rate Situation Allegation if respondents can demonstrate the Application applies equally to NME- Section 504 of the Trade Preferences absence of both de jure and de facto owned firms, wholly foreign-owned Extension Act of 2015 amended the Act government control over export firms, and foreign sellers that purchase by adding the concept of a particular activities. and export subject merchandise to the market situation (PMS) for purposes of All firms listed below that wish to United States. constructed value under section 773(e) qualify for separate rate status in the For exporters and producers who of the Act.2 Section 773(e) of the Act administrative reviews involving NME submit a Separate Rate Application or states that ‘‘if a particular market countries must complete, as Certification and subsequently are situation exists such that the cost of appropriate, either a separate rate selected as mandatory respondents, materials and fabrication or other application or certification, as described these exporters and producers will no processing of any kind does not below. For these administrative reviews, longer be eligible for separate rate status accurately reflect the cost of production in order to demonstrate separate rate unless they respond to all parts of the in the ordinary course of trade, the eligibility, Commerce requires entities for whom a review was requested, that administering authority may use 3 Such entities include entities that have not another calculation methodology under were assigned a separate rate in the participated in the proceeding, entities that were this subtitle or any other calculation most recent segment of this proceeding preliminarily granted a separate rate in any methodology.’’ When an interested in which they participated, to certify currently incomplete segment of the proceeding that they continue to meet the criteria (e.g., an ongoing administrative review, new party submits a PMS allegation pursuant shipper review, etc.) and entities that lost their to section 773(e) of the Act, Commerce for obtaining a separate rate. The separate rate in the most recently completed will respond to such a submission Separate Rate Certification form will be segment of the proceeding in which they consistent with 19 CFR 351.301(c)(2)(v). available on Commerce’s website at participated. https://enforcement.trade.gov/nme/ 4 Only changes to the official company name, If Commerce finds that a PMS exists rather than trade names, need to be addressed via nme-sep-rate.html on the date of a Separate Rate Application. Information regarding 2 See Trade Preferences Extension Act of 2015, publication of this Federal Register new trade names may be submitted via a Separate Public Law 114–27, 129 Stat. 362 (2015). notice. In responding to the Rate Certification.
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questionnaire as mandatory Initiation of Reviews AD and CVD orders and findings. We respondents. In accordance with 19 CFR intend to issue the final results of these 351.221(c)(1)(i), we are initiating reviews not later than February 28, administrative reviews of the following 2022.
Period to be reviewed
AD Proceedings India: Certain Frozen Warmwater Shrimp, A–533–840 ...... 2/1/20–1/31/21 Abad Fisheries Accelerated Freeze Drying Co. ADF Foods Ltd. Akshay Food Impex Private Limited Alashore Marine Exports (P) Ltd. Albys Agro Private Limited Al-Hassan Overseas Private Limited Allana Frozen Foods Pvt. Ltd. Allanasons Ltd. Alpha Marine Alps Ice & Cold Storage Private Limited Amarsagar Seafoods Private Limited Amulya Seafoods Ananda Enterprises (India) Private Limited Ananda Group (comprised of Ananda Aqua Applications; Ananda Aqua Exports (P) Limited; and Ananda Foods) Anantha Seafoods Private Limited Anjaneya Seafoods Apex Frozen Foods Private Limited Aquatica Frozen Foods Global Pvt. Ltd. Arya Sea Foods Private Limited Asvini Agro Exports Asvini Fisheries Ltd/Asvini Fisheries Private Ltd. Avanti Frozen Foods Private Limited Ayshwarya Seafood Private Limited B R Traders Baby Marine Eastern Exports Baby Marine Exports Baby Marine International Baby Marine Sarass Baby Marine Ventures Balasore Marine Exports Private Limited BB Estates & Exports Private Limited Bell Exim Private Limited Bhatsons Aquatic Products Bhavani Seafoods Bijaya Marine Products Blue Fin Frozen Foods Pvt. Ltd. Blue Water Foods & Exports P. Ltd. Bluepark Seafoods Pvt. Ltd. BMR Exports BMR Industries Private Limited B-One Business House Private Limited Britto Seafood Exports Pvt Ltd. C.P. Aquaculture (India) Pvt. Ltd. Calcutta Seafoods Pvt. Ltd./Bay Seafood Pvt. Ltd./Elque & Co. Canaan Marine Products Capithan Exporting Co. Cargomar Private Limited Castlerock Fisheries Ltd. Chakri Fisheries Private Limited Chemmeens (Regd) Cherukattu Industries (Marine Div) Choice Trading Corporation Pvt. Ltd. Coastal Aqua Private Limited Coastal Corporation Ltd. Cochin Frozen Food Exports Pvt. Ltd. Continental Fisheries India Private Limited Coreline Exports Corlim Marine Exports Pvt. Ltd. CPF (India) Private Limited Crystal Sea Foods Private Limited Danica Aqua Exports Private Limited Datla Sea Foods Delsea Exports Pvt. Ltd. Devi Fisheries Group (comprised of Devi Fisheries Limited; Satya Seafoods Private Limited; Usha Seafoods; and Devi Aquatech Private Limited)
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Period to be reviewed
Devi Sea Foods Limited 5 Diamond Seafoods Exports/Edhayam Frozen Foods Private Limited/Kadalkanny Frozen Foods/Theva & Com- pany DSF Aquatech Private Limited Empire Industries Limited Entel Food Products Private Limited Esmario Export Enterprises Everblue Sea Foods Private Limited Falcon Marine Exports Limited/KR Enterprises Febin Marine Foods Private Limited Fedora Sea Foods Private Limited Five Star Marine Exports Private Limited Food Products Pvt., Ltd./Parayil Food Products Private Limited Forstar Frozen Foods Pvt. Ltd. Fouress Food Products Private Limited Frontline Exports Pvt. Ltd. G A Randerian Ltd. Gadre Marine Exports (AKA Gadre Marine Exports Pvt. Ltd.) Galaxy Maritech Exports P. Ltd. Geo Aquatic Products (P) Ltd. Geo Seafoods Godavari Mega Aqua Food Park Private Limited Grandtrust Overseas (P) Ltd. Growel Processors Private Limited GVR Exports Pvt. Ltd. Hari Marine Private Limited Haripriya Marine Exports Pvt. Ltd. HIC ABF Special Foods Pvt. Ltd. Hiravati Exports Pvt. Ltd. Hiravati International Pvt. Ltd. Hiravati Marine Products Private Limited HMG Industries Ltd. HN Indigos Private Limited Hyson Exports Private Limited IFB Agro Industries Limited Indian Aquatic Products Indo Aquatics Indo Fisheries Indo French Shellfish Company Private Limited International Freezefish Exports ITC Ltd. Jagadeesh Marine Exports Jaya Lakshmi Sea Foods Pvt. Ltd. Jinny Marine Traders K.V. Marine Exports Kalyan Aqua & Marine Exp. India Pvt. Ltd. Karunya Marine Exports Private Limited Kaushalya Aqua Marine Product Exports Pvt. Ltd. Kay Kay Exports Kings Marine Products KNC Agro Limited Koluthara Exports Ltd. Liberty Group (comprised of Devi Marine Food Exports Private Ltd.; Kader Exports Private Limited; Kader Invest- ment and Trading Company Private Limited; Liberty Frozen Foods Private Limited; Liberty Oil Mills Limited; Premier Marine Products Private Limited; and Universal Cold Storage Private Limited) Libran Foods LNSK Green House Agro Products LLP/Green House Agro Products 6 Magnum Export/Magnum Exports Pvt. Ltd. Magnum Seafoods Limited/Magnum Estates Limited Mangala Marine Exim India Pvt. Ltd. Mangala Sea Products Mangala Seafoods (AKA Mangala Sea Foods) Marine Harvest India Megaa Moda Pvt. Ltd. Milesh Marine Exports Private Limited Milsha Agro Exports Pvt. Ltd. Milsha Sea Product Minaxi Fisheries Private Limited Mindhola Foods LLP Minh Phu Group MMC Exports Limited Monsun Foods Pvt Ltd Mourya Aquex Pvt. Ltd. MTR Foods
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Period to be reviewed
Munnangi Seafoods (Pvt) Ltd. Naga Hanuman Fish Packers Naik Frozen Foods Private Limited Naik Oceanic Exports Pvt. Ltd/Rafiq Naik Exports Pvt. Ltd Naik Seafoods Limited NAS Fisheries Pvt. Ltd. Neeli Aqua Private Limited Nekkanti Mega Food Park Private Limited Nekkanti Sea Foods Limited Nezami Rekha Sea Foods Private Limited Nila Sea Foods Exports/Nila Sea Foods Pvt. Ltd. Nine Up Frozen Foods NK Marine Exports LLP Nutrient Marine Foods Limited Oceanic Edibles International Limited Paragon Sea Foods Pvt. Ltd. Paramount Seafoods Pasupati Aquatics Private Limited Penver Products (P) Ltd. Pesca Marine Products Pvt., Ltd. Pijikay International Exports P Ltd. Pravesh Seafood Private Limited Premier Exports International Premier Marine Foods Premier Seafoods Exim (P) Ltd. Raju Exports Ram’s Assorted Cold Storage Ltd. Raunaq Ice & Cold Storage Razban Seafoods Ltd. RDR Exports RF Exports Private Limited Riyarchita Agro Farming Private Limited Royal Imports and Exports Royal Oceans Royale Marine Impex Private Limited RSA Marines Rupsha Fish Private Limited R V R Marine Products Private Limited S.A. Exports S Chanchala Combines Private Limited Sagar Grandhi Exports Pvt. Ltd. Sagar Samrat Seafoods Sahada Exports Sai Marine Exports Pvt. Ltd. Sai Sea Foods Samaki Exports Private Limited Sanchita Marine Products P Limited Sandhya Aqua Exports Pvt. Ltd. Sandhya Marines Limited Sassoondock Matsyodyog Sahakari Society Ltd. Sea Doris Marine Exports Sea Foods Private Limited Seagold Overseas Pvt. Ltd. Sharat Industries Ltd. Shimpo Exports Private Limited Shimpo Seafoods Private Limited Shiva Frozen Food Exp. Pvt. Ltd. Shree Datt Aquaculture Farms Pvt. Ltd. Shroff Processed Food & Cold Storage P Ltd. Silver Seafood Sita Marine Exports Sonia Fisheries Southern Tropical Foods Pvt. Ltd. Sprint Exports Pvt. Ltd. Sri Sakkthi Cold Storage Srikanth International SSF Ltd. Star Agro Marine Exports Private Limited Star Organic Foods Private Limited Stellar Marine Foods Private Limited Sterling Foods Summit Marine Exports Private Limited Sun Agro Exim Sunrise Seafoods India Private Limited
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Period to be reviewed
Supran Exim Private Limited Suryamitra Exim Pvt. Ltd. Suvarna Rekha Exports Private Limited Suvarna Rekha Marines P Ltd. TBR Exports Pvt. Ltd. Teekay Marine P Ltd. The Waterbase Limited Torry Harris Seafoods Ltd. Triveni Fisheries P Ltd. U & Company Marine Exports Ulka Sea Foods Private Limited Uniroyal Marine Exports Ltd. Unitriveni Overseas Private Limited V.V. Marine Products Vaisakhi Bio-Marine Pvt. Ltd. Vasai Frozen Food Co. Vasista Marine Veerabhadra Exports Private Limited Veronica Marine Exports Private Limited Victoria Marine & Agro Exports Ltd. Vinner Marine Vitality Aquaculture Pvt. Ltd. VKM Foods Private Limited VRC Marine Foods LLP Wellcome Fisheries Limited West Coast Fine Foods (India) Private Limited West Coast Frozen Foods Private Limited Z.A. Sea Foods Pvt. Ltd. Zeal Aqua Limited India: Stainless Steel Bar, A–533–810 ...... 2/1/20–1/31/21 Ambica Steels Limited Hindustan Inox Ltd. Laxcon Steels Limited Precision Metals Sieves Manufactures(India) Pvt. Ltd. Venus Group Venus Wire Industries Pvt. Ltd. Italy: Stainless Steel Butt-Weld Pipe Fittings, A–475–828 ...... 2/1/20–1/31/21 Filmag Italia, SpA Malaysia: Stainless Steel Butt-Weld Pipe Fittings, A–557–809 ...... 2/1/20–1/31/21 Mac Piping Materials Sdn. Bhd. Pantech Stainless & Alloy Industries Sdn. Bhd. S.P. United Industry Sdn. Bhd. Statewell Co., Ltd. Mexico: Large Residential Washers, A–201–842 ...... 2/1/20–1/31/21 Electrolux Home Products Corp. N.V. Electrolux Home Products de Mexico, S.A. de C.V. Philippines: Stainless Steel Butt-Weld Pipe Fittings, A–565–801 ...... 2/1/20–1/31/21 E N Corporation Enlin Steel Corporation Vinox Corporation (a/k/a Vinoc Corporation) Republic of Korea: Certain Cut-To-Length Carbon-Quality Steel Plate, A–580–836 ...... 2/1/20–1/31/21 BDP International Dongkuk Steel Mill Co., Ltd. Hyundai Steel Company Sung Jin Steel Co., Ltd. Socialist Republic of Vietnam: Certain Frozen Warmwater Shrimp, A–552–802 ...... 2/1/20–1/31/21 AFoods Amanda Seafood Co., Ltd. An Nguyen Investment Production and Group Anh Khoa Seafood Anh Minh Quan Corp APT Co. Asia Foodstuffs Import Export Co., Ltd. Au Vung One Seafood Bien Dong Seafood Co., Ltd. BIM Foods Joint Stock Company Binh Dong Fisheries Joint Stock Company Binh Thuan Import–Export Joint Stock Company Blue Bay Seafood Co., Ltd. Cadovimex II Seafood Import Export and Processing Joint Stock Company Cadovimex Seafood Import-Export and Processing Joint Stock Company Cadovimex CJ Cau Tre Foods Joint Stock Company
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Period to be reviewed
Coastal Fisheries Development Corporation COFIDEC Danang Seaproducts Import-Export Corporation Dong Hai Seafood Limited Company Dong Phuong Seafood Co., Ltd. Duc Cuong Seafood Trading Co., Ltd. Fine Foods Company FFC Gallant Dachan Seafood Co., Ltd. Gallant Ocean Viet Nam Co. Ltd. Go Dang Joint Stock Company GODACO Seafood Green Farms Seafood Joint Stock Company Hanh An Trading Service Co., Ltd Hong Ngoc Seafood Co., Ltd. Hung Bang Co., Ltd. HungHau Agricultural Joint Stock Company JK Fish Co., Ltd. Khanh Hoa Seafoods Exporting Company KHASPEXCO Long Toan Frozen Aquatic Products Joint Stock Company Minh Bach Seafood Company Limited Minh Cuong Seafood Import Export Processing Joint Stock Company MC Seafood Minh Phu Hau Giang Seafood 7 Minh Phu Seafood Corporation 8 Minh Qui Seafood Co., Ltd.9 Namcan Seaproducts Import Export Joint Stock Company New Generation New Generation Seafood Joint Stock Company New Wind Seafood Co., Ltd Ngoc Trinh Bac Lieu Seafood Co., Ltd Nhat Duc Co., Ltd. Nigico Co., Ltd. Phuong Nam Foodstuff Corp Quang Minh Seafood Co., Ltd Quoc Ai Seafood Processing Import Export Co., Ltd. QAIMEXCO Quoc Toan Seafood Processing Factory Quoc Toan PTE Quy Nhon Frozen Seafoods Joint Stock Safe And Fresh Aquatic Products Joint Stock Company Safe And Fresh Co Saigon Aquatic Product Trading Joint Stock Company Saigon Food Joint Stock Company SEADANANG Seafood Joint Stock Company No.4 Seafood Travel Construction Import-Export Joint Stock Company Seanamico Seaspimex Vietnam Seavina Joint Stock Company Soc Trang Seafood Joint Stock Company STAPIMEX South Ha Tinh Seaproducts ImportExport Joint Stock Company Southern Shrimp Joint Stock Company South Vina Shrimp—SVS Special Aquatic Products Joint Stock Company T & P Seafood Company Limited Tai Nguyen Seafood Co., Ltd. Tan Phong Phu Seafood Co., Ltd. TPP Co. Ltd. Tan Thanh Loi Frozen Food Co., Ltd. Thai Hoa Foods Joint Stock Company Thai Minh Long Seafood Company LTD Thaimex Thanh Doan Fisheries Import-Export Joint Stock Company Thanh Doan Sea Products Import & Export Processing Joint-Stock Company THADIMEXCO Thien Phu Export Seafood Thinh Hung Co., Ltd. Thong Thuan Cam Ranh Seafood Joint Stock Company T&T Cam Ranh Trang Corporation (Vietnam) Van Duc Food Company Limited
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Period to be reviewed
Viet Phu Foods and Fish Corp. Viet Shrimp Corporation VIFAFOOD Vinh Hoan Corp. Vinh Phat Food Joint Stock Company XNK Thinh Phat Processing Company Taiwan: Crystalline Silicon Photovoltaic Products, A–583–853 ...... 2/1/20–1/31/21 AU Optronics Corporation Baoding Jiasheng Photovoltaic Technology Co. Ltd. Baoding Tianwei Yingli New Energy Resources Co., Ltd. Beijing Tianneng Yingli New Energy Resources Co. Ltd. Boviet Solar Technology Co., Ltd. Canadian Solar Inc. Canadian Solar International, Ltd. Canadian Solar Manufacturing (Chang shu), Inc. Canadian Solar Manufacturing (Luoyang), Inc. Canadian Solar Solution Inc. EEPV CORP. E–TON Solar Tech. Co., Ltd. Hainan Yingli New Energy Resources Co., Ltd. Hengshui Yingli New Energy Resources Co., Ltd. Inventec Energy Corporation Inventec Solar Energy Corporation Kyocera Mexicana S.A. de C.V. Lixian Yingli New Energy Resources Co., Ltd. Ming Hwei Energy Co., Ltd. Motech Industries, Inc. Shenzhen Yingli New Energy Resources Co., Ltd. Sino-American Silicon Products Inc. Sunengine Corporation Ltd. Sunrise Energy Co. Ltd. Tianjin Yingli New Energy Resources Co., Ltd. TSEC Corporation United Renewable Energy Co., Ltd. Vina Solar Technology Co., Ltd. Win Win Precision Technology Co., Ltd. Yingli Energy (China) Co., Ltd. Yingli Green Energy International Trading Company Limited Thailand: Certain Frozen Warmwater Shrimp, A–549–822 ...... 2/1/20–1/31/21 A Foods 1991 Co., Ltd./May Ao Foods Co., Ltd.10 A. Wattanachai Frozen Products Co., Ltd. A.P. Frozen Foods Co., Ltd. A.S. Intermarine Foods Co., Ltd. Ampai Frozen Foods Co., Ltd. Anglo-Siam Seafoods Co., Ltd. Apitoon Enterprise Industry Co., Ltd. Asian Alliance International Co., Ltd. Asian Sea Corporation Public Company Limited Asian SeaFoods Coldstorage (Suratthani) Co., Limited Asian Seafoods Coldstorage PLC Asian Seafoods Coldstorage Public Co. Ltd. Asian Star Trading Co., Ltd. B.S.A. Food Products Co., Ltd. C N Import Export Co., Ltd. C.P. Intertrade Co. Ltd. Chaivaree Marine Products Co., Ltd. Chanthaburi Frozen Food Co., Ltd Chanthaburi Seafoods Co., Ltd Charoen Pokphand Foods Public Company Limited/CP Merchandising Co., Ltd.11 Chonburi LC Commonwealth Trading Co., Ltd. CPF Food Products Co., Ltd. Crystal Frozen Foods Co., Ltd. Daedong (Thailand) Co. Ltd. Daiei Taigen (Thailand) Co., Ltd. Daiho (Thailand) Co., Ltd. Earth Food Manufacturing Co., Ltd. F.A.I.T. Corporation Limited Far East Cold Storage Co., Ltd. Findus (Thailand) Ltd Fortune Frozen Foods (Thailand) Co., Ltd. Gallant Ocean (Thailand) Co., Ltd. Golden Sea Frozen Foods Co. Ltd. Golden Seafood International Co., Ltd.
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Period to be reviewed
Good Fortune Cold Storage Co., Ltd. Good Luck Product Co., Ltd. Grobest Frozen Foods Co., Ltd. Haitai Seafood Co., Ltd. Handy International (Thailand) Co., Ltd. Heritrade Co., Ltd. HIC (Thailand) Co., Ltd. I.T. Foods Industries Co., Ltd. Inter-Pacific Marine Products Co., Ltd. Inter-Oceanic Resources Co., Ltd. K & U Enterprise Co., Ltd. Kiang Huat Sea Gull Trading Frozen Food Public Co., Ltd. Kingfisher Holdings Ltd./KF Foods Ltd.12 Kitchens of The Oceans (Thailand) Company, Limited Kongphop Frozen Foods Co., Ltd. Lee Heng Seafood Co., Ltd. Li-Thai Frozen Foods Co., Ltd. Lucky Union Foods Co., Ltd. Mahachai Food Processing Co., Ltd. Marine Gold Products Ltd.13 Merkur Co., Ltd. N&N Foods Co., Ltd. N.R. Instant Produce Co., Ltd. Narong Seafood Co., Ltd. Nongmon SMJ Products Pacific Fish Processing Co., Ltd. Penta Impex Co., Ltd. Phatthana Frozen Food Co., Ltd. Phatthana Seafood Co., Ltd. Premier Frozen Products Co., Ltd. Royal Andaman Seafood Co., Ltd. S & D Marine Products Co., Ltd. S. Chaivaree Cold Storage Co., Ltd S. Khonkaen Food Industry Public Co., Ltd. S.K. Foods (Thailand) Public Co. Limited S2K Marine Product Co., Ltd. Sea Bonanza Foods Co., Ltd. Sea Wealth Frozen Food Co., Ltd. Sea-Tech Intertrade Co., Ltd. Seafresh Industry Public Co., Ltd./Seafresh Fisheries 14 SEAPAC Sethachon Co., Ltd. Shianlin Bangkok Co., Ltd. Shing-Fu Seaproducts Development Co., Ltd. Siam Food Supply Co., Ltd. Siam Intersea Co., Ltd. Siam Marine Products Co. Ltd. Siam Ocean Frozen Foods Co., Ltd. Siamchai International Food Co., Ltd. Smile Heart Foods SMP Food Products Co., Ltd. Songkla Canning Public Co., Ltd. Southeast Asian Packaging and Canning Ltd. Southport Seafood Co., Ltd. Starfoods Industries Co., Ltd. STC Foodpak Ltd. Suntechthai Intertrading Co., Ltd. Surapon Foods Public Co., Ltd./Surat Seafoods Public Co., Ltd.15 Surapon Nichirei Foods Co., Ltd. Tep Kinsho Foods Co., Ltd. Tey Seng Cold Storage Co., Ltd./Chaiwarut Co., Ltd.16 Thai Agri Foods Public Co., Ltd. Thai I Mei Frozen Food Co., Ltd. Thai Ocean Venture Co., Ltd. Thai Royal Frozen Food Co., Ltd. Thai Spring Fish Co., Ltd. Thai Union Group Public Co., Ltd./Thai Union Frozen Products Co., Ltd./Thai Union Seafood Co., Ltd./Pakfood Public Company Limited/Asia Pacific (Thailand) Co., Ltd./Chaophraya Cold Storage Co., Ltd./Okeanos Co., Ltd./Okeanos Food Co., Ltd./Takzin Samut Co., Ltd.17 Thai Union Manufacturing Company Limited The Siam Union Frozen Foods Co., Ltd. The Union Frozen Products Co., Ltd./Bright Sea Co., Ltd.18 Top Product Food Co., Ltd. Trang Seafood Products Public Co., Ltd.
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Period to be reviewed
Unicord Public Co., Ltd. Xian-Ning Seafood Co., Ltd. Yeenin Frozen Foods Co., Ltd. The People’s Republic of China: Common Alloy Aluminum Sheet, A–570–073 ...... 2/1/20–1/31/21 Alcha International Holdings Limited Jiangsu Alcha Aluminum Co., Ltd. Yinbang Clad Material Co., Ltd The People’s Republic of China: Certain Frozen Warmwater Shrimp, A–570–893 ...... 2/1/20–1/31/21 Allied Pacific Aquatic Products (Zhanjiang) Co., Ltd./Allied Pacific Food (Dalian) Co., Ltd 19 Anhui Fuhuang Sungem Foodstuff Group Co., Ltd Asian Seafoods (Zhanjiang) Co., Ltd. Beihai Anbang Seafood Co., Ltd. Beihai Boston Frozen Food Co., Ltd. Beihai Tianwei Aquatic Food Co. Ltd. Changli Luquan Aquatic Products Co., Ltd. Chengda Development Co Ltd. Dalian Beauty Seafood Company Ltd. Dalian Changfeng Food Co., Ltd. Dalian Guofu Aquatic Products and Food Co., Ltd. Dalian Haiqing Food Co., Ltd. Dalian Hengtai Foods Co., Ltd. Dalian Home Sea International Trading Co., Ltd. Dalian Philica International Trade Co., Ltd. Dalian Philica Supply Chain Management Co., Ltd. Dalian Rich Enterprise Group Co., Ltd. Dalian Shanhai Seafood Co., Ltd. Dalian Sunrise Foodstuffs Co., Ltd. Dalian Taiyang Aquatic Products Co., Ltd. Dandong Taihong Foodstuff Co., Ltd. Dongwei Aquatic Products (Zhangzhou) Co., Ltd. Ferrero Food Fujian Chaohui Group Fujian Dongshan County Shunfa Aquatic Product Co., Ltd. Fujian Dongwei Food Co., Ltd. Fujian Dongya Aquatic Products Co., Ltd. Fujian Fuding Seagull Fishing Food Co., Ltd. Fujian Hainason Trading Co., Ltd. Fujian Haihun Aquatic Product Company Fujian Hongao Trade Development Co. Fujian R & J Group Ltd. Fujian Rongjiang Import and Export Co., Ltd. Fujian Zhaoan Haili Aquatic Co., Ltd. Fuqing Chaohui Aquatic Food Co., Ltd. Fuqing Dongwei Aquatic Products Industry Co., Ltd. Fuqing Longhua Aquatic Food Co., Ltd. Fuqing Minhua Trade Co., Ltd. Fuqing Yihua Aquatic Food Co., Ltd. Gallant Ocean Group Guangdong Foodstuffs Import & Export (Group) Corporation Guangdong Gourmet Aquatic Products Co., Ltd. Guangdong Jinhang Foods Co., Ltd. Guangdong Rainbow Aquatic Development Guangdong Shunxin Marine Fishery Group Co., Ltd. Guangdong Taizhou Import & Export Trade Co., Ltd. Guangdong Universal Aquatic Food Co. Ltd. Guangdong Wanshida Holding Corp. Guangdong Wanya Foods Fty. Co., Ltd. HaiLi Aquatic Product Co., Ltd. Hainan Brich Aquatic Products Co., Ltd. Hainan Golden Spring Foods Co., Ltd. Hainan Qinfu Foods Co., Ltd. Hainan Xintaisheng Industry Co., Ltd. Huazhou Xinhai Aquatic Products Co. Ltd. Kuehne Nagel Ltd. Xiamen Branch Leizhou Bei Bu Wan Sea Products Co., Ltd. Longhai Gelin Foods Co., Ltd. Maoming Xinzhou Seafood Co., Ltd. New Continent Foods Co., Ltd. Ningbo Prolar Global Co., Ltd. North Seafood Group Co. Pacific Andes Food Ltd. Penglai Huiyang Foodstuff Co., Ltd. Penglai Yuming Foodstuff Co., Ltd.
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Period to be reviewed
Qingdao Fusheng Foodstuffs Co., Ltd. Qingdao Yihexing Foods Co., Ltd. Qingdao Yize Food Co., Ltd. Qingdao Zhongfu International Qinhuangdao Gangwan Aquatic Products Co., Ltd. Rizhao Meijia Aquatic Foodstuff Co., Ltd. Rizhao Meijia Keyuan Foods Co. Ltd. Rizhao Rongxing Co. Ltd. Rizhao Rongjin Aquatic Rizhao Smart Foods Company Limited Rongcheng Yinhai Aquatic Product Co., Ltd. Rushan Chunjiangyuan Foodstuffs Co., Ltd. Rushan Hengbo Aquatic Products Co., Ltd. Savvy Seafood Inc. Sea Trade International Inc. Shanghai Finigate Integrated Shanghai Zhoulian Foods Co., Ltd. Shantou Freezing Aquatic Product Foodstuffs Co. Shantou Haili Aquatic Product Co. Ltd. Shantou Haimao Foodstuff Factory Co., Ltd. Shantou Jiazhou Food Industrial Co., Ltd. Shantou Jintai Aquatic Product Industrial Co., Ltd. Shantou Longsheng Aquatic Product Foodstuff Co., Ltd. Shantou Ocean Best Seafood Corporation Shantou Red Garden Food Processing Co., Ltd./Shantou Red Garden Foodstuff Co., Ltd.20 Shantou Ruiyuan Industry Co., Ltd. Shantou Wanya Foods Fty. Co., Ltd. Shantou Yuexing Enterprise Company Shengyuan Aquatic Food Co., Ltd. Suizhong Tieshan Food Co., Ltd. Thai Royal Frozen Food Zhanjiang Co., Ltd. Tongwei Hainan Aquatic Products Co., Ltd. Xiamen East Ocean Foods Co., Ltd. Xiamen Granda Import and Export Co., Ltd. Yangjiang Dawu Aquatic Products Co., Ltd. Yangjiang Guolian Seafood Co., Ltd. Yangjiang Haina Datong Trading Co. Yantai Longda Foodstuffs Co., Ltd. Yantai Tedfoods Co., Ltd. Yantai Wei-Cheng Food Co., Ltd. Yixing Magnolia Garment Co., Ltd. Zhangzhou Donghao Seafoods Co., Ltd. Zhangzhou Hongwei Foods Co., Ltd. Zhangzhou Xinhui Foods Co., Ltd. Zhangzhou Xinwanya Aquatic Product Co., Ltd. Zhangzhou Yanfeng Aquatic Product & Foodstuff Co., Ltd. Zhanjiang Evergreen Aquatic Product Science and Technology Co., Ltd. Zhanjiang Fuchang Aquatic Products Co., Ltd. Zhanjiang Fuchang Aquatic Products Freezing Plant Zhanjiang Guolian Aquatic Products Co., Ltd.21 Zhanjiang Longwei Aquatic Products Industry Co., Ltd. Zhanjiang Regal Integrated Marine Resources Co., Ltd.22 Zhanjiang Universal Seafood Corp. Zhaoan Yangli Aquatic Co., Ltd. Zhejiang Evernew Seafood Co. Zhejiang Xinwang Foodstuffs Co., Ltd. Zhoushan Genho Food Co., Ltd. Zhoushan Green Food Co., Ltd. Zhoushan Haizhou Aquatic Products Zhuanghe Yongchun Marine Products The People’s Republic of China: Certain Hardwood Plywood Products 23, A–570–051 ...... 1/1/20–12/31/20 Celtic Co., Ltd China Friend Limited The People’s Republic of China: Multilayered Wood Flooring, A–570–970 ...... 12/1/19–11/30/20 Omni Arbor Solution Co., Ltd.24 The People’s Republic of China: Truck and Bus Tires, A–570–040 ...... 2/1/20–1/31/21 Giti Tire Global Trading Pte. Ltd. Guangrao Kaichi Trading Co., Ltd. Shandong Huasheng Rubber Co., Ltd. The People’s Republic of China: Uncovered Innerspring Units, A–570–928 ...... 2/1/20–1/31/21 Comfort Coil Technology Sdn. Bhd. CVD Proceedings India: Certain Cold-Drawn Mechanical Tubing of Carbon and Alloy Steel, C–533–874 ...... 1/1/20–12/31/20
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Period to be reviewed
Goodluck India Limited 25 KLT Automotive and Tubular Products Limited Metamorphosis Engitech India Private Limited Pennar Industries Limited India Tube Investments of India Ltd.26 Republic of Korea: Certain Cut-To-Length Carbon-Quality Steel Plate, C–580–837 ...... 1/1/20–12/31/20 BDP International Dongkuk Steel Mill Co., Ltd. Hyundai Steel Co., Ltd. (aka Hyundai Steel Company) Sung Jin Steel Co., Ltd The People’s Republic of China: Aluminum Wire and Cable 27, C–570–096 ...... 4/8/19–12/31/19 The People’s Republic of China: Common Alloy Aluminum Sheet, C–570–074 ...... 1/1/20–12/31/20 Alcha International Holdings Limited Jiangsu Alcha Aluminium Co., Ltd. Yinbang Clad Material Co., Ltd. The People’s Republic of China: Truck and Bus Tires, C–570–041 ...... 1/1/20–12/31/20 Chongqing Hankook Tire Co., Ltd. Double Coin Tyre Group (Shanghai) Imp & Exp Co., Ltd. Giti Tire (Anhui) Company Ltd. Giti Tire (Fujian) Company Ltd. Giti Tire Global Trading Pte. Ltd. Guangrao Kaichi Trading Co., Ltd. Jiangsu General Science Technology Co., Ltd. Jiangsu Hankook Tire Co., Ltd. Prinx Chengshan (Shandong) Tire Company Ltd. Qingdao Awesome International Trade Co., Ltd Qingdao Doublestar Tire Industrial Co., Ltd. Qingdao Fullrun Tyre Corp. Ltd Qingdao Ge Rui Da Rubber Co. Ltd. Qingdao Honghuasheng Trade Co., Ltd. Qingdao Kapsen Trade Co., Ltd. Qingdao Sunfulcess Tyre Co., Ltd. Shandong Habilead Rubber Co., Ltd. Shandong Haohua Tire Co., Ltd. Shandong Huasheng Rubber Co., Ltd Shandong Hugerubber Co., Ltd. Shandong Kaixuan Rubber Co., Ltd Shandong Qilun Rubber Co., Ltd. Shanghai Huayi Group Corporation Limited Triangle Tyre Co., Ltd. Weifang Shunfuchang Rubber And Plastic Products Co., Ltd. Suspension Agreements None.
Duty Absorption Reviews Partial Revocation of the Antidumping Duty Order, 10 In past reviews, Commerce has treated these 81 FR 47756, 47757–47758 (July 22, 2016). During any administrative review companies as a single entity. See Certain Frozen Accordingly, we are initiating this administrative Warmwater Shrimp from Thailand: Final Results of covering all or part of a period falling review for this exporter only with respect to subject Antidumping Duty Administrative Review; Final merchandise produced by another entity. Determination of No Shipments; 2015–2016, 82 FR 8 5 Shrimp produced and exported by Devi Sea Shrimp produced and exported by Minh Phu 30836 (July 3, 2017) (2015–2016 AR Final). Absent Foods Limited (Devi) was excluded from the order Seafood Corporation were excluded from the information to the contrary, we intend to continue effective February 1, 2009. See Certain Frozen antidumping duty order on certain frozen to treat these companies as a single entity for the warmwater shrimp from Vietnam, effective July 18, Warmwater Shrimp from India: Final Results of the purpose of this administrative review. 2016. See Certain Frozen Warmwater Shrimp from Antidumping Duty Administrative Review, Partial 11 the Socialist Republic of Vietnam: Notice of In past reviews, Commerce has treated these Rescission of Review, and Notice of Revocation of Implementation of Determination Under Section companies as a single entity. See, e.g., 2015–2016 Order in Part, 75 FR 41813, 41814 (July 19, 2010). 129 of the Uruguay Round Agreements Act and AR Final. Absent information to the contrary, we Accordingly, we are initiating this administrative Partial Revocation of the Antidumping Duty Order, intend to continue to treat these companies as a review with respect to Devi only for shrimp 81 FR 47756, 47757–47758 (July 22, 2016). single entity for the purpose of this administrative produced in India where Devi acted as either the Accordingly, we are initiating this administrative review. manufacturer or exporter (but not both). review for this exporter only with respect to subject 12 In past reviews, Commerce has treated these 6 In March 2021, Commerce determined that merchandise produced by another entity. companies as a single entity. See, e.g., Certain LNSK Greenhouse Agro Products LLP is the 9 Shrimp produced and exported by Minh Qui Frozen Warmwater Shrimp from Thailand: Final successor-in-interest to Green House Agro Products. Seafood Co., Ltd. were excluded from the Results and Final Partial Rescission of Therefore, we have not initiated a separate antidumping duty order on certain frozen Antidumping Duty Administrative Review; 2006– administrative review of Green House Agro warmwater shrimp from Vietnam, effective July 18, 2007, 73 FR 50933 (August 29, 2008) (2006–2007 Products. 2016. See Certain Frozen Warmwater Shrimp from AR Final). Absent information to the contrary, we 7 Shrimp produced and exported by Minh Phu the Socialist Republic of Vietnam: Notice of intend to continue to treat these companies as a Hau Giang Seafood were excluded from the Implementation of Determination Under Section single entity for the purpose of this administrative antidumping duty order on certain frozen 129 of the Uruguay Round Agreements Act and review. warmwater shrimp from Vietnam, effective July 18, Partial Revocation of the Antidumping Duty Order, 13 Shrimp produced and exported by Marine Gold 2016. See Certain Frozen Warmwater Shrimp from 81 FR 47756, 47757–47758 (July 22, 2016). Products Ltd. (Marine Gold) were excluded from the Socialist Republic of Vietnam: Notice of Accordingly, we are initiating this administrative the order effective February 1, 2012. See Certain Implementation of Determination Under Section review for this exporter only with respect to subject Frozen Warmwater Shrimp from Thailand: Final 129 of the Uruguay Round Agreements Act and merchandise produced by another entity. Continued
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between the first and second or third separate letters of appearance as Results of Antidumping Duty Administrative and fourth anniversary of the discussed at 19 CFR 351.103(d)). Review, Partial Rescission of Review, and publication of an AD order under 19 Revocation of the Order (in Part); 2011–2012, 78 FR Factual Information Requirements 42497 (July 16, 2013). Accordingly, we are initiating CFR 351.211 or a determination under this administrative review with respect to Marine 19 CFR 351.218(f)(4) to continue an Commerce’s regulations identify five Gold only for shrimp produced in Thailand where order or suspended investigation (after categories of factual information in 19 Marine Gold acted as either the manufacturer or sunset review), Commerce, if requested CFR 351.102(b)(21), which are exporter (but not both). summarized as follows: (i) Evidence 14 In past reviews, Commerce has treated these by a domestic interested party within 30 companies as a single entity. See, e.g., 2015–2016 days of the date of publication of the submitted in response to questionnaires; AR Final. Absent information to the contrary, we notice of initiation of the review, will (ii) evidence submitted in support of intend to continue to treat these companies as a determine whether AD duties have been allegations; (iii) publicly available single entity for the purpose of this administrative absorbed by an exporter or producer information to value factors under 19 review. CFR 351.408(c) or to measure the 15 In past reviews, Commerce has treated these subject to the review if the subject companies as a single entity. Id. Absent information merchandise is sold in the United States adequacy of remuneration under 19 CFR to the contrary, we intend to continue to treat these through an importer that is affiliated 351.511(a)(2); (iv) evidence placed on companies as a single entity for the purposes of this with such exporter or producer. The the record by Commerce; and (v) administrative review. request must include the name(s) of the evidence other than factual information 16 In past reviews, Commerce has treated these described in (i)–(iv). These regulations companies as a single entity. See, e.g., 2006–2007 exporter or producer for which the AR Final. Absent information to the contrary, we inquiry is requested. require any party, when submitting intend to continue to treat these companies as a factual information, to specify under single entity for the purpose of this administrative Gap Period Liquidation which subsection of 19 CFR review. For the first administrative review of 351.102(b)(21) the information is being 17 In past reviews, Commerce has treated these any order, there will be no assessment submitted and, if the information is companies as a single entity. See, e.g., 2015–2016 AR Final. Absent information to the contrary, we of antidumping or countervailing duties submitted to rebut, clarify, or correct intend to continue to treat these companies as a on entries of subject merchandise factual information already on the single entity for the purpose of this administrative entered, or withdrawn from warehouse, record, to provide an explanation review. for consumption during the relevant identifying the information already on 18 In past reviews, Commerce has treated these ‘‘gap’’ period of the order (i.e., the the record that the factual information companies as a single entity. Id. Absent information to the contrary, we intend to continue to treat these period following the expiry of seeks to rebut, clarify, or correct. The companies as a single entity for the purpose of this provisional measures and before regulations, at 19 CFR 351.301, also administrative review. definitive measures were put into provide specific time limits for such 19 Allied Pacific Food (Dalian) Co., Ltd., Allied place), if such a gap period is applicable factual submissions based on the type of Pacific (HK) Co., Ltd., Allied Pacific Aquatic to the POR. factual information being submitted. Products (Zhanjiang) Co., Ltd; and Allied Pacific Please review the Final Rule,28 available Aquatic Products (Zhongshan) Co., Ltd. comprise Administrative Protective Orders and at https://enforcement.trade.gov/frn/ the single entity Allied Pacific. See Certain Frozen Letters of Appearance Warmwater Shrimp from the People’s Republic of 2013/1304frn/2013-08227.txt, prior to China and Diamond Sawblades and Parts Thereof Interested parties must submit submitting factual information in this from the People’s Republic of China: Notice of applications for disclosure under segment. Note that Commerce has Implementation of Determinations Under Section 129 of the Uruguay Round Agreements Act and administrative protective orders in temporarily modified certain of its Partial Revocation of the Antidumping Duty Orders, accordance with the procedures requirements for serving documents 78 FR 18958, 18959 (March 28, 2013) (China outlined in Commerce’s regulations at containing business proprietary Shrimp Exclusion). Additionally, this Order was 19 CFR 351.305. Those procedures information, until further notice.29 revoked with respect to merchandise exported by apply to administrative reviews Any party submitting factual Allied Pacific (HK) Co., Ltd., or Allied Pacific Food (Dalian) Co., Ltd., and manufactured by Allied included in this notice of initiation. information in an AD or CVD Pacific Aquatic Products (Zhanjiang) Co., Ltd., or Parties wishing to participate in any of proceeding must certify to the accuracy Allied Pacific Aquatic Products (Zhongshan) Co., these administrative reviews should and completeness of that information Ltd., or Allied Pacific Food (Dalian) Co., Ltd. See ensure that they meet the requirements using the formats provided at the end of China Shrimp Exclusion, 78 FR at 18959. 30 Accordingly, we are initiating this review for these of these procedures (e.g., the filing of the Final Rule. Commerce intends to exporters only with respect to subject merchandise reject factual submissions in any produced by entities other than the aforementioned Administrative Review; 2011–2012, 78 FR 56209, proceeding segments if the submitting producers. 56210 (September 12, 2013). Accordingly, we are party does not comply with applicable 20 Shantou Red Garden Food Processing Co., Ltd. initiating this review for this exporter only with certification requirements. and Shantou Red Garden Foodstuff Co., Ltd. respect to subject merchandise produced by another comprise the single entity Shantou Red Garden entity. Extension of Time Limits Regulation Foods. See Certain Frozen Warmwater Shrimp from 23 Commerce inadvertently published these two the People’s Republic of China: Final Results of company names on a single line in the initiation Parties may request an extension of Antidumping Duty Administrative Review and notice for this administrative review and is time limits before a time limit Final Determination of No Shipments; 2018–2019, correcting that initiation notice here. See Initiation of Antidumping and Countervailing Duty 85 FR 83891 (December 23, 2020). 28 See Certification of Factual Information To 21 Administrative Reviews, 86 FR 12599, 12605 This Order was revoked with respect to subject Import Administration During Antidumping and merchandise produced and exported by Zhanjiang (March 4, 2021). Countervailing Duty Proceedings, 78 FR 42678 (July 24 Guolian Aquatic Products Co., Ltd. See Notice of Commerce inadvertently misspelled this 17, 2013) (Final Rule); see also the frequently asked Amended Final Determination of Sales at Less company’s name in the initiation notice that questions regarding the Final Rule, available at Than Fair Value and Antidumping Duty Order: published on February 4, 2021 (86 FR 8166). https://enforcement.trade.gov/tlei/notices/factual_ Certain Frozen Warmwater Shrimp from the 25 This initiation includes Goodluck India info_final_rule_FAQ_07172013.pdf. People’s Republic of China, 70 FR 5149, 5152 Limited, and its division, Good Luck Industries. 29 See Temporary Rule Modifying AD/CVD (February 1, 2005). Accordingly, we are initiating 26 This initiation includes Tube Investments of Service Requirements Due to COVID–19, 85 FR this review for this exporter only with respect to India Ltd., and its division, Tube Products of India. 41363 (July 10, 2020). subject merchandise produced by another entity. 27 In the initiation notice that published on 30 See section 782(b) of the Act; see also Final 22 This Order was revoked with respect to subject February 4, 2021 (86 FR 8166) Commerce Rule; and the frequently asked questions regarding merchandise produced and exported by Zhanjiang inadvertently listed the wrong period of review for the Final Rule, available at https:// Regal Integrated Marine Resources Co., Ltd. See the referenced case above. The correct POR is listed enforcement.trade.gov/tlei/notices/factual_info_ Certain Frozen Warmwater Shrimp from the in this notice. final_rule_FAQ_07172013.pdf. People’s Republic of China: Final Results of
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established under Part 351 expires, or as DEPARTMENT OF COMMERCE within five days of placement of the otherwise specified by Commerce.31 In CBP data on the record of the review. general, an extension request will be International Trade Administration In the event Commerce decides it is considered untimely if it is filed after necessary to limit individual Antidumping or Countervailing Duty the time limit established under Part examination of respondents and Order, Finding, or Suspended 351 expires. For submissions which are conduct respondent selection under Investigation; Opportunity To Request section 777A(c)(2) of the Act: due from multiple parties Administrative Review simultaneously, an extension request In general, Commerce finds that will be considered untimely if it is filed AGENCY: Enforcement and Compliance, determinations concerning whether after 10:00 a.m. on the due date. International Trade Administration, particular companies should be Examples include, but are not limited Department of Commerce. ‘‘collapsed’’ (i.e., treated as a single entity for purposes of calculating to: (1) Case and rebuttal briefs, filed FOR FURTHER INFORMATION CONTACT: antidumping duty rates) require a pursuant to 19 CFR 351.309; (2) factual Brenda E. Brown, Office of AD/CVD substantial amount of detailed information to value factors under 19 Operations, Customs Liaison Unit, information and analysis, which often CFR 351.408(c), or to measure the Enforcement and Compliance, require follow-up questions and adequacy of remuneration under 19 CFR International Trade Administration, analysis. Accordingly, Commerce will 351.511(a)(2), filed pursuant to 19 CFR U.S. Department of Commerce, 1401 not conduct collapsing analyses at the 351.301(c)(3) and rebuttal, clarification Constitution Avenue NW, Washington, respondent selection phase of a review and correction filed pursuant to 19 CFR DC 20230, telephone: (202) 482–4735. and will not collapse companies at the 351.301(c)(3)(iv); (3) comments SUPPLEMENTARY INFORMATION: respondent selection phase unless there concerning the selection of a surrogate Background has been a determination to collapse country and surrogate values and certain companies in a previous rebuttal; (4) comments concerning CBP Each year during the anniversary segment of this antidumping proceeding data; and (5) Q&V questionnaires. Under month of the publication of an (i.e., investigation, administrative certain circumstances, Commerce may antidumping or countervailing duty review, new shipper review or changed elect to specify a different time limit by order, finding, or suspended circumstances review). For any which extension requests will be investigation, an interested party, as company subject to a review, if considered untimely for submissions defined in section 771(9) of the Tariff Commerce determined, or continued to which are due from multiple parties Act of 1930, as amended (the Act), may treat, that company as collapsed with simultaneously. In such a case, request, in accordance with 19 CFR others, Commerce will assume that such Commerce will inform parties in the 351.213, that the Department of companies continue to operate in the letter or memorandum setting forth the Commerce (Commerce) conduct an same manner and will collapse them for deadline (including a specified time) by administrative review of that respondent selection purposes. which extension requests must be filed antidumping or countervailing duty Otherwise, Commerce will not collapse to be considered timely. This policy also order, finding, or suspended companies for purposes of respondent requires that an extension request must investigation. selection. Parties are requested to: (a) be made in a separate, stand-alone All deadlines for the submission of Identify which companies subject to submission, and clarifies the comments or actions by Commerce review previously were collapsed; and circumstances under which Commerce discussed below refer to the number of (b) provide a citation to the proceeding will grant untimely-filed requests for the calendar days from the applicable in which they were collapsed. Further, extension of time limits. Please review starting date. if companies are requested to complete a Quantity and Value Questionnaire for the Final Rule, available at https:// Respondent Selection purposes of respondent selection, in www.gpo.gov/fdsys/pkg/FR-2013-09-20/ In the event Commerce limits the general each company must report html/2013-22853.htm, prior to number of respondents for individual volume and value data separately for submitting factual information in these examination for administrative reviews itself. Parties should not include data segments. initiated pursuant to requests made for for any other party, even if they believe These initiations and this notice are the orders identified below, Commerce they should be treated as a single entity in accordance with section 751(a) of the intends to select respondents based on with that other party. If a company was Act (19 U.S.C. 1675(a)) and 19 CFR U.S. Customs and Border Protection collapsed with another company or 351.221(c)(1)(i). (CBP) data for U.S. imports during the companies in the most recently completed segment of a proceeding Dated: March 29, 2021. period of review. We intend to release the CBP data under Administrative where Commerce considered collapsing James Maeder, Protective Order (APO) to all parties that entity, complete quantity and value Deputy Assistant Secretary for Antidumping having an APO within five days of data for that collapsed entity must be and Countervailing Duty Operations. publication of the initiation notice and submitted. [FR Doc. 2021–06737 Filed 3–31–21; 8:45 am] to make our decision regarding Deadline for Withdrawal of Request for BILLING CODE 3510–DS–P respondent selection within 21 days of Administrative Review publication of the initiation Federal Register notice. Therefore, we Pursuant to 19 CFR 351.213(d)(1), a encourage all parties interested in party that requests a review may commenting on respondent selection to withdraw that request within 90 days of submit their APO applications on the the date of publication of the notice of date of publication of the initiation initiation of the requested review. The notice, or as soon thereafter as possible. regulation provides that Commerce may Commerce invites comments regarding extend this time if it is reasonable to do 31 See 19 CFR 351.302. the CBP data and respondent selection so. Determinations by Commerce to
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extend the 90-day deadline will be administering authority may use 773(e) of the Act, Commerce must made on a case-by-case basis. another calculation methodology under receive PMS allegations and supporting this subtitle or any other calculation factual information with enough time to Deadline for Particular Market methodology.’’ When an interested consider the submission. Thus, should Situation Allegation party submits a PMS allegation pursuant an interested party wish to submit a Section 504 of the Trade Preferences to section 773(e) of the Act, Commerce PMS allegation and supporting new Extension Act of 2015 amended the Act will respond to such a submission factual information pursuant to section by adding the concept of particular consistent with 19 CFR 351.301(c)(2)(v). 773(e) of the Act, it must do so no later market situation (PMS) for purposes of If Commerce finds that a PMS exists than 20 days after submission of initial constructed value under section 773(e) under section 773(e) of the Act, then it Section D responses. of the Act.1 Section 773(e) of the Act will modify its dumping calculations Opportunity To Request a Review: Not states that ‘‘if a particular market appropriately. later than the last day of April 2021,2 situation exists such that the cost of Neither section 773(e) of the Act nor interested parties may request materials and fabrication or other 19 CFR 351.301(c)(2)(v) set a deadline administrative review of the following processing of any kind does not for the submission of PMS allegations orders, findings, or suspended accurately reflect the cost of production and supporting factual information. investigations, with anniversary dates in in the ordinary course of trade, the However, in order to administer section April for the following periods:
Period to be reviewed
Antidumping Duty Proceedings ARGENTINA: Biodiesel, A–357–820 ...... 4/1/20–3/31/21 INDIA: Carbon and Alloy Steel Threaded Rod, A–533–887 ...... 9/25/19–3/31/21 INDONESIA: Biodiesel, A–560–830 ...... 4/1/20–3/31/21 REPUBLIC OF KOREA: Phosphor Copper, A–580–885 ...... 4/1/20–3/31/21 THAILAND: Rubber Bands, A–549–835 ...... 4/1/20–3/31/21 THE PEOPLE’S REPUBLIC OF CHINA: 1,1,1,2- Tetrafluoroethane (R–134A), A–570–044 ...... 4/1/20–3/31/21 Activated Carbon, A–570–904 ...... 4/1/20–3/31/21 Aluminum Foil, A–570–053 ...... 4/1/20–3/31/21 Carbon and Alloy Steel Threaded Rod, A–570–104 ...... 9/25/19–3/31/21 Drawn Stainless Steel Sinks, A–570–983 ...... 4/1/20–3/31/21 Magnesium Metal, A–570–896 ...... 4/1/20–3/31/21 Non-Malleable Cast Iron Pipe Fittings, A–570–875 ...... 4/1/20–3/31/21 Stainless Steel Sheet and Strip, A–570–042 ...... 4/1/20–3/31/21 Certain Steel Threaded Rod, A–570–932 ...... 4/1/20–3/31/21 Wooden Cabinets and Vanities and Components Thereof, A–570–106 ...... 10/9/19–3/31/21 Countervailing Duty Proceedings INDIA: Carbon and Alloy Steel Threaded Rod, C–533–888 ...... 7/29/19–12/31/20 THE PEOPLE’S REPUBLIC OF CHINA: Aluminum Foil, C–570–054 ...... 1/1/20–12/31/20 Carbon and Alloy Steel Threaded Rod, C–570–105 ...... 7/29/19–12/31/20 Drawn Stainless Steel Sinks, C–570–984 ...... 1/1/20–12/31/20 Stainless Steel Sheet and Strip, C–570–043 ...... 1/1/20–12/31/20 Wooden Cabinets and Vanities and Components Thereof, C–570–107 ...... 8/12/19–12/31/20 Suspension Agreements None.
In accordance with 19 CFR to review those particular producers or an administrative review of that party 351.213(b), an interested party as exporters. If the interested party intends absent new information as to the party’s defined by section 771(9) of the Act may for the Secretary to review sales of location. Moreover, if the interested request in writing that the Secretary merchandise by an exporter (or a party who files a request for review is conduct an administrative review. For producer if that producer also exports unable to locate the producer or both antidumping and countervailing merchandise from other suppliers) exporter for which it requested the duty reviews, the interested party must which was produced in more than one review, the interested party must specify the individual producers or country of origin and each country of provide an explanation of the attempts exporters covered by an antidumping origin is subject to a separate order, then it made to locate the producer or finding or an antidumping or the interested party must state exporter at the same time it files its countervailing duty order or suspension specifically, on an order-by-order basis, request for review, in order for the agreement for which it is requesting a which exporter(s) the request is Secretary to determine if the interested review. In addition, a domestic intended to cover. party’s attempts were reasonable, interested party or an interested party Note that, for any party Commerce pursuant to 19 CFR 351.303(f)(3)(ii). described in section 771(9)(B) of the Act was unable to locate in prior segments, As explained in Antidumping and must state why it desires the Secretary Commerce will not accept a request for Countervailing Duty Proceedings:
1 See Trade Preferences Extension Act of 2015, 2 Or the next business day, if the deadline falls Public Law 114–27, 129 Stat. 362 (2015). on a weekend, Federal holiday or any other day when Commerce is closed.
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Assessment of Antidumping Duties, 68 website at https://access.trade.gov.6 DEPARTMENT OF COMMERCE FR 23954 (May 6, 2003), and Non- Further, in accordance with 19 CFR Market Economy Antidumping 351.303(f)(l)(i), a copy of each request National Telecommunications and Proceedings: Assessment of must be served on the petitioner and Information Administration Antidumping Duties, 76 FR 65694 each exporter or producer specified in Multistakeholder Process on (October 24, 2011), Commerce clarified the request. Note that Commerce has its practice with respect to the Promoting Software Component temporarily modified certain of its Transparency collection of final antidumping duties requirements for serving documents on imports of merchandise where containing business proprietary AGENCY: National Telecommunications intermediate firms are involved. The information, until further notice.7 and Information Administration, U.S. public should be aware of this Department of Commerce. clarification in determining whether to Commerce will publish in the Federal request an administrative review of Register a notice of ‘‘Initiation of ACTION: Notice of open meeting. merchandise subject to antidumping Administrative Review of Antidumping findings and orders.3 or Countervailing Duty Order, Finding, SUMMARY: The National Telecommunications and Information Commerce no longer considers the or Suspended Investigation’’ for Administration (NTIA) will convene a non-market economy (NME) entity as an requests received by the last day of virtual meeting of a multistakeholder exporter conditionally subject to an April 2021. If Commerce does not process on promoting software antidumping duty administrative receive, by the last day of April 2021, component transparency on April 29, reviews.4 Accordingly, the NME entity a request for review of entries covered 2021. will not be under review unless by an order, finding, or suspended Commerce specifically receives a investigation listed in this notice and for DATES: The meeting will be held on request for, or self-initiates, a review of the period identified above, Commerce April 29, 2021, from 12 p.m. to 4 p.m., the NME entity.5 In administrative will instruct CBP to assess antidumping Eastern Time. reviews of antidumping duty orders on or countervailing duties on those entries ADDRESSES: The meeting will be held merchandise from NME countries where at a rate equal to the cash deposit of virtually, with online slide share and a review of the NME entity has not been estimated antidumping or dial-in information to be posted at initiated, but where an individual countervailing duties required on those https://www.ntia.gov/ exporter for which a review was entries at the time of entry, or SoftwareTransparency. initiated does not qualify for a separate withdrawal from warehouse, for rate, Commerce will issue a final consumption and to continue to collect FOR FURTHER INFORMATION CONTACT: decision indicating that the company in the cash deposit previously ordered. Allan Friedman, National question is part of the NME entity. Telecommunications and Information However, in that situation, because no For the first administrative review of Administration, U.S. Department of review of the NME entity was any order, there will be no assessment Commerce, 1401 Constitution Avenue conducted, the NME entity’s entries of antidumping or countervailing duties NW, Room 4725, Washington, DC were not subject to the review and the on entries of subject merchandise 20230; telephone: (202) 482–4281; rate for the NME entity is not subject to entered, or withdrawn from warehouse, email: [email protected]. Please direct change as a result of that review for consumption during the relevant media inquiries to NTIA’s Office of (although the rate for the individual provisional-measures ‘‘gap’’ period of Public Affairs: (202) 482–7002; email: exporter may change as a function of the the order, if such a gap period is [email protected]. finding that the exporter is part of the applicable to the period of review. SUPPLEMENTARY INFORMATION: NME entity). Following initiation of an This notice is not required by statute Background: This NTIA cybersecurity antidumping administrative review but is published as a service to the multistakeholder process focuses on when there is no review requested of the international trading community. promoting software component NME entity, Commerce will instruct 1 Dated: March 24, 2021. transparency. Most modern software is CBP to liquidate entries for all exporters not written completely from scratch, but not named in the initiation notice, James Maeder, includes existing components, modules, including those that were suspended at Deputy Assistant Secretary for Antidumping and libraries from the open source and the NME entity rate. and Countervailing Duty Operations. commercial software world. Modern All requests must be filed [FR Doc. 2021–06733 Filed 3–31–21; 8:45 am] development practices such as code electronically in Enforcement and BILLING CODE 3510–DS–P reuse, and a dynamic IT marketplace Compliance’s Antidumping and with acquisitions and mergers, make it Countervailing Duty Centralized challenging to track the use of software Electronic Service System (ACCESS) on components. The Internet of Things Enforcement and Compliance’s ACCESS compounds this phenomenon, as new organizations, enterprises, and 3 See the Enforcement and Compliance website at innovators take on the role of software https://legacy.trade.gov/enforcement/. developer to add ‘‘smart’’ features or 4 See Antidumping Proceedings: Announcement of Change in Department Practice for Respondent connectivity to their products. While Selection in Antidumping Duty Proceedings and the majority of libraries and components Conditional Review of the Nonmarket Economy 6 See Antidumping and Countervailing Duty do not have known vulnerabilities, Entity in NME Antidumping Duty Proceedings, 78 Proceedings: Electronic Filing Procedures; many do, and the sheer quantity of FR 65963 (November 4, 2013). Administrative Protective Order Procedures, 76 FR software means that some software 5 In accordance with 19 CFR 351.213(b)(1), parties should specify that they are requesting a review of 39263 (July 6, 2011). entries from exporters comprising the entity, and to 7 See Temporary Rule Modifying AD/CVD Service 1 NTIA serves as the President’s principal adviser the extent possible, include the names of such Requirements Due to COVID–19, 85 FR 41363 (July on telecommunications and information policies. exporters in their request. 10, 2020). See 47 U.S.C. 902(b)(2)(D).
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products ship with vulnerable or out-of- Other Information: The meeting is comments information of a confidential date components. open to the public and the press on a nature, such as sensitive personal The first meeting of this first-come, first-served basis. information or proprietary information. multistakeholder process was held on The virtual meeting is accessible to If you send an email comment, your July 19, 2018, in Washington, DC.2 people with disabilities. Requests for email address will be automatically Stakeholders presented multiple real-time captioning or other auxiliary captured and included as part of the perspectives, and identified several aids should be directed to Allan comment that is placed in the public inter-related work streams: Friedman at (202) 482–4281 or docket and made available on the Understanding the Problem, Use Cases [email protected] at least seven (7) internet. Please note that responses to and State of Practice, Standards and business days prior to the meeting. this public comment request containing Formats, and Healthcare Proof of Access details for the meeting are any routine notice about the Concept. Since then, stakeholders have subject to change. Please refer to NTIA’s confidentiality of the communication been discussing key issues and website, https://www.ntia.gov/ will be treated as public comment that developing products such as guidance SoftwareTransparency, for the most may be made available to the public, documents. NTIA acts as the convener, current information. notwithstanding the inclusion of the but stakeholders drive the outcomes. Dated: March 26, 2021. routine notice. Success of the process will be evaluated Kathy D. Smith, FOR FURTHER INFORMATION CONTACT: by the extent to which broader findings Linda Southcott, (202) 606–6638, or by on software component transparency are Chief Counsel, National Telecommunications and Information Administration. email at [email protected]. implemented across the ecosystem. SUPPLEMENTARY INFORMATION: The first set of stakeholder-drafted [FR Doc. 2021–06683 Filed 3–31–21; 8:45 am] Title of Collection: Applicant documents on Software Bills of BILLING CODE 3510–60–P Operational and Financial Management Materials was published by NTIA in Survey. November 2019. Those documents, and OMB Control Number: 3045–0102. subsequent consensus-approved drafts CORPORATION FOR NATIONAL AND Type of Review: Renewal. from the community, are available at: COMMUNITY SERVICE Respondents/Affected Public: https://www.ntia.gov/SBOM. The main Businesses and Organizations OR State, objectives of the April 29, 2021 meeting Agency Information Collection Local or Tribal Governments. are to share progress from the working Activities; Submission to the Office of Total Estimated Number of Annual groups; to give feedback on the ongoing Management and Budget for Review Responses: 1,500. work around technical challenges, and Approval; Comment Request; Application Package for Applicant Total Estimated Number of Annual tooling, demonstrations, and awareness Burden Hours: 3,000. and adoption; and to continue Operational and Financial Management Survey Abstract: This survey is intended to discussions around potential guidance collect information about the capacity of or playbook documents. This meeting AGENCY: Corporation for National and applicants to manage federal grant will also feature short presentations and Community Service. funds. Per 2 CFR 200.205, AmeriCorps discussions of SBOM-related tools and ACTION: Notice of information collection; must evaluate the degree of risk posed services to help the community request for comment. by an applicant. Information from the understand the growth of the broader survey will be used to assess an ecosystem. Presentation suggestions and SUMMARY: In accordance with the organization’s operational and financial proposals should be 250 words or less Paperwork Reduction Act of 1995, the management capabilities prior to and should be submitted to Allan Corporation for National and receiving a federal award and may also Friedman at [email protected] by Community Service (operating as be used to support future monitoring April 15, 2021. More information about AmeriCorps) is proposing to renew an activities, should the applicant receive stakeholders’ work is available at: information collection. federal funds from AmeriCorps. https://www.ntia.gov/ DATES: Written comments must be AmeriCorps also seeks to continue using SoftwareTransparency. submitted to the individual and office the currently approved information Time and Date: NTIA will convene listed in the ADDRESSES section by June collection until the revised information the next meeting of the multistakeholder 1, 2021. collection is approved by OMB. The process on Software Component ADDRESSES: currently approved information Transparency on April 29, 2021, from You may submit comments, collection is due to expire on 05/31/ 12 p.m. to 4 p.m. Eastern Time. The identified by the title of the information 2021. exact time of the meeting is subject to collection activity, by any of the Comments submitted in response to change. Please refer to NTIA’s website, following methods: (1) By mail sent to: AmeriCorps, this notice will be summarized and/or https://www.ntia.gov/ Attention Linda Southcott, 250 E Street included in the request for OMB SoftwareTransparency, for the most SW, Washington, DC 20525. approval. Comments are invited on: (a) current information. Place: The meeting will be held (2) By hand delivery or by courier to Whether the collection of information is virtually, with online slide share and the AmeriCorps mailroom at the mail necessary for the proper performance of dial-in information to be posted at address given in paragraph (1) above, the functions of the agency, including https://www.ntia.gov/ between 9:00 a.m. and 4:00 p.m. Eastern whether the information shall have SoftwareTransparency. Please refer to Time, Monday through Friday, except practical utility; (b) the accuracy of the NTIA’s website, https://www.ntia.gov/ federal holidays. agency’s estimate of the burden of the SoftwareTransparency, for the most (3) Electronically through collection of information; (c) ways to current information. www.regulations.gov. enhance the quality, utility, and clarity Comments submitted in response to of the information to be collected; (d) 2 Notes, presentations, and a video recording of this notice may be made available to the ways to minimize the burden of the the July 19, 2018 kickoff meeting are available at: public through regulations.gov. For this collection of information on https://www.ntia.gov/SoftwareTransparency. reason, please do not include in your respondents, including through the use
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of automated collection techniques or ADDRESSES: The Department has Annual Responses: 16,515. other forms of information technology; requested emergency processing from Average Burden per Response: 30 and (e) estimates of capital or start-up OMB for this information collection minutes. costs and costs of operation, request by 15 days after publication of Annual Burden Hours: 8,258. maintenance, and purchase of services this notice. Interested parties can access Affected Public: Individuals or to provide information. Burden means the supporting materials and collection households. the total time, effort, or financial instrument as well as submit comments Frequency: Annually. resources expended by persons to and recommendations to OMB at Respondent’s Obligation: Voluntary. generate, maintain, retain, disclose or www.reginfo.gov/public/do/PRAMain. Request for Comments: Comments are provide information to or for a Federal Find this particular information invited on: (1) Whether the proposed agency. This includes the time needed collection by selecting ‘‘Currently under collection of information is necessary to review instructions; to develop, 15-day Review—Open for Public for the proper performance of the acquire, install and utilize technology Comments’’ or by using the search functions of DoD, including whether the and systems for the purpose of function. Comments submitted in information collected has practical collecting, validating and verifying response to this notice will be utility; (2) the accuracy of DoD’s information, processing and summarized and included in the request estimate of the burden (including hours maintaining information, and disclosing for OMB approval of this information and cost) of the proposed collection of and providing information; to train collection. They will also become a information; (3) ways to enhance the personnel and to be able to respond to matter of public record. quality, utility, and clarity of the a collection of information, to search FOR FURTHER INFORMATION CONTACT: information to be collected; and (4) data sources, to complete and review Angela James, 571–372–7574, or ways to minimize the burden of the the collection of information; and to whs.mc-alex.esd.mbx.dd-dod- collection of information on transmit or otherwise disclose the [email protected]. respondents, including automated information. All written comments will SUPPLEMENTARY INFORMATION: The Status collection techniques or the use of other be available for public inspection on of Forces Reserve Survey (SOFS–R) is a forms of information technology. regulations.gov. DoD-wide survey of Reserve and Dated: March 29, 2021. Dated: March 29, 2021. National Guard used in evaluating Aaron T. Siegel, Linda Southcott, existing policies and programs, Alternate OSD Federal Register Liaison Director, Office of Monitoring. establishing baseline measures before Officer, Department of Defense. [FR Doc. 2021–06746 Filed 3–31–21; 8:45 am] implementing new policies and [FR Doc. 2021–06713 Filed 3–31–21; 8:45 am] BILLING CODE 6050–28–P programs, and monitoring the progress BILLING CODE 5001–06–P of policies/programs that make a difference in the lives of Reserve component members and their families. DEPARTMENT OF DEFENSE DEPARTMENT OF DEFENSE The survey assesses topics such as Office of the Secretary financial well-being, reintegration Office of the Secretary programs following activation/ [Docket ID: DoD–2021–OS–0020] deployment, outreach to civilian [Docket ID DoD–2021–OS–0019] employers, employer support, family Submission for OMB Review; Submission for OMB Review; support programs, and benefits (i.e., Comment Request Comment Request education, commissary/exchange, AGENCY: Office of the Under Secretary of health care), and suicide awareness. AGENCY: Office of the Under Secretary of Defense for Personnel and Readiness, Data are aggregated by appropriate Defense for Personnel and Readiness, Department of Defense (DoD). demographics, including Service, Department of Defense (DoD). ACTION: Information collection notice. paygrade, gender, race/ethnicity, ACTION: Information collection notice. activation status, and other indicators. SUMMARY: Consistent with the In order to be able to meet reporting SUMMARY: Consistent with the Paperwork Reduction Act of 1995 and requirements for DoD leadership, the Paperwork Reduction Act of 1995 and its implementing regulations, this Military Services, and Congress, the its implementing regulations, this document provides notice DoD is survey needs to be completed by fall document provides notice DoD is submitting an Information Collection 2021. As required by the NDAA, the submitting an Information Collection Request to the Office of Management results of this survey are used by each Request to the Office of Management and Budget (OMB) to collect of the Service Secretaries to evaluate and Budget (OMB) to collect information on Reserve and National and update training. In addition, the information from Sexual Assault Guard used in evaluating existing Undersecretary of Defense for Personnel Response Coordinators (SARCs), Sexual policies and programs, establishing and Readiness uses the SOFS–R to Assault Prevention and Response baseline measures before implementing suggest changes to services supporting Victim Advocates (SAPR VAs), Special new policies and programs, and Reserve component members’ ability to Victims Counsels (SVC), Victims Legal monitoring the progress of policies/ return to their families and their civilian Counsels (VLCs), and Prevention programs that make a difference in the jobs following activation/deployment as Personnel to assess progress, identify lives of Reserve component members well as addressing retention, health shortfalls, and revise policies and and their families. DoD requests care, and family life issues. programs as needed for the emergency processing and OMB Title; Associated Form; and OMB QuickCompass of Sexual Assault authorization to collect the information Number: Status of Forces Survey Prevention and Response Personnel after publication of this Notice for a (Reserve). (QSAPR). DoD requests emergency period of six months. Type of Request: New. processing and OMB authorization to DATES: Comments must be received by Number of Respondents: 16,515. collect the information after publication April 16, 2021. Responses per Respondent: 1. of this Notice for a period of six months.
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DATES: Comments must be received by Ultimately, the study will provide a DoD TAP benefits, amenities, and April 16, 2021. report to Congress and all of the data, resources offered to military ADDRESSES: The Department has programs, and computational details dependents, caregivers of military requested emergency processing from necessary for replication and peer members, Veterans, and military/ OMB for this information collection review. veteran service organizations. request by 15 days after publication of Title; Associated Form; and OMB FOR FURTHER INFORMATION CONTACT: this notice. Interested parties can access Number: Sexual Assault Prevention and Tamre Newton, (703) 614–8658. the supporting materials and collection Response Personnel. SUPPLEMENTARY INFORMATION: On instrument as well as submit comments Type of Request: New. September 23, 2019 (84 FR 48724), DoD and recommendations to OMB at Number of Respondents: 5,000. removed Part 88 from Title 32 of the www.reginfo.gov/public/do/PRAMain. Responses per Respondent: 1. Code of Federal Regulation concerning Find this particular information Annual Responses: 5,000. the Department of Defense (DoD) collection by selecting ‘‘Currently under Average Burden per Response: 20 Transition Assistance Program. Part 88 15-day Review—Open for Public minutes. summarized the benefits in statute and Comments’’ or by using the search Annual Burden Hours: 1,667. internal policy. The following function. Comments submitted in Affected Public: Individuals or information is provided to promote response to this notice will be households. awareness of those benefits for military summarized and included in the request Frequency: Every three years. dependents, caregivers of military for OMB approval of this information Respondent’s Obligation: Voluntary. members, Veterans, and military/ collection. They will also become a Request for Comments: Comments are veteran service organizations. matter of public record. invited on: (1) Whether the proposed DoD internal policy is published and FOR FURTHER INFORMATION CONTACT: collection of information is necessary publicly available on the Department’s Angela James, 571–372–7574, or for the proper performance of the website in DoD Instruction (DoDI) whs.mc-alex.esd.mbx.dd-dod- functions of DoD, including whether the 1332.35, ‘‘Transition Assistance [email protected]. information collected has practical Program (TAP) for Military Personnel’’ SUPPLEMENTARY INFORMATION: The utility; (2) the accuracy of DoD’s at https://www.esd.whs.mil/Directives/ QuickCompass of Sexual Assault estimate of the burden (including hours issuances/dodi/. Prevention and Response Personnel and cost) of the proposed collection of Virtual DoD TAP training curriculum (QSAPR) assesses perceived information; (3) ways to enhance the for Veterans and family members is professional or other reprisal or quality, utility, and clarity of the publicly available at https:// retaliation; access to sufficient physical information to be collected; and (4) www.tapevents.org/courses. and mental health services as a result of ways to minimize the burden of the The DoD Transition Day (the DoD the nature of their work; access to collection of information on Managing Your Transition, Military installation and unit commanders; respondents, including automated Occupational Codes Crosswalk, access to victims and alleged offender’s collection techniques or the use of other Financial Planning for Transition) and immediate commander; responsiveness forms of information technology. DoD Managing Your Education of commanders to SARCs; support and Dated: March 29, 2021. participant guides are publicly available services provided to sexual assault Aaron T. Siegel, on the Defense Visual Information victims; understanding of others of the Alternate OSD Federal Register Liaison Distribution Service (DVIDS) under process and their willingness to assist; Officer, Department of Defense. recent publications at https:// adequacy of training received by SARCs [FR Doc. 2021–06717 Filed 3–31–21; 8:45 am] www.dvidshub.net/unit/DODTAP. and SAPR VAs to effectively perform BILLING CODE 5001–06–P Outlined in DoDI 1332.35 and their duties; and other factors affecting Chapter 58 of Title 10, U.S.C is the the ability of SARCs and SAPR VAs to process for how transition assistance is perform their duties. In addition, the DEPARTMENT OF DEFENSE provided to caregivers, spouses and results of the survey will assess dependents of eligible Service members. progress, identify shortfalls, and revise [Docket ID: DoD–2020–OS–0074] This includes DoD collaboration policies and programs as needed. The Department of Defense, Transition between the Military-Civilian Transition FY21 NDAA requires that not later than Assistance Program (TAP) Information Office and the Military Community and June 30, 2021 the Secretary of Defense for Families, Caregivers, Veterans and Family Policy (MC&FP) Office (SECDEF) survey SARCs and SAPR VAs Community-Based Organizations concerning policy about job placement on their ability to perform duties. counseling for the spouses of eligible SECDEF is required to submit a report AGENCY: Under Secretary of Defense for transitioning Service members, and of the survey results and actions to be Personnel and Readiness, Military- career change counseling for taken as a result of the survey to the Civilian Transition Office, Department dependents of eligible Service members Senate and House Committees on of Defense (DoD). in accordance with 10 U.S.C. 1142. This Armed Services. In order to be able to ACTION: TAP notice. also entails updates for Service member meet reporting requirements for DoD dependents on Military OneSource leadership, the Military Services, and SUMMARY: The DoD TAP is the incorporation into pre-separation/ Congress, the survey needs to be overarching program that provides transition counseling and transition completed by May 2021 to be able to transition assistance, information, assistance curriculum. present results to leadership by the end training, and services for all eligible DoD, Defense Personnel and Family of 2021. That will also allow the results members of the Armed Forces, their Support Center (DPFSC) will inform to be shared with the Department and spouses, dependents, and caregivers. eligible Service members’ spouses and Congress in the DoD SAPRO Annual DoD TAP eligibility, priority of services, caregivers of TAP services through Report as they have been in previous and TAP protocol and services are online media and other cooperative cycles. Data will be aggregated and outlined in statue and internal policy. outreach efforts pursuant to the criteria reported triennially in perpetuity. This notice promotes awareness of those in 38 U.S.C. 1720G, and procedural
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guidance in DoDI 1332.35, in (b) Information on suicide prevention classroom attendance will be based on accordance with 10 U.S.C. These resources following separation from the resource availability and capacity in authorities pertain to the required Military Services. accordance with DoDI 1332.35. program of comprehensive assistance (4) Eligible Service members and their Dated: March 29, 2021. for family caregivers and the dependents are entitled to transitional Aaron T. Siegel, medical and dental care that will be responsibilities of the military services Alternate OSD Federal Register Liaison regarding caregiver participation in DoD available for 180 days, beginning on the Officer, Department of Defense. pre-separation counseling sessions. first day after the date of separation, [FR Doc. 2021–06727 Filed 3–31–21; 8:45 am] retirement, or release from active duty Military and Veteran Service in accordance with 10 U.S.C. 1145. BILLING CODE 5001–06–P Organizations (5) Spouses of eligible Service Military Departments will encourage members are encouraged to participate DEPARTMENT OF DEFENSE installation commanders to permit in transition assistance, as resources and access to veterans service organizations capacity allow. Participating spouses [Docket ID: DoD–2021–OS–0021] and military service organizations to may have their attendance recorded in transition assistance-related events and accordance with the privacy and Submission for OMB Review; activities in the United States and information collection mandates and Comment Request abroad in accordance with the TAP requirements of Titles 10 and 14, U.S.C., AGENCY: Office of the Under Secretary of MOU, DoD 5500.07–R, DoDI 1344.07 and DoD 5400.11–R. Defense for Personnel and Readiness, and the December 23, 2014 Secretary of (6) Spouses completing pre- Department of Defense (DoD). Defense Memorandum, ‘‘Installation separation/transition counseling (using ACTION: Information collection notice. Access and Support Services to VA- DD Form 2648) on behalf of an eligible Recognized Veteran Service recovering Service member in SUMMARY: Consistent with the Organizations/Military Service accordance with DoDI 1332.35 will Paperwork Reduction Act of 1995 and Organizations,’’ at no cost to the U.S. provide their DoD identification number its implementing regulations, this Government. Access must be for the for data collection purposes. document provides notice DoD is submitting an Information Collection purpose of assisting Service members TAP Eligibility for Caregivers with the pre- and post-military Request to the Office of Management disability claim process and transition (1) The Military Services will provide, and Budget (OMB) to collect assistance resources and services. during mandatory pre-separation information on active duty spouses to Family members and caregivers of counseling, a description of the determine the effectiveness of the Service members can find information assistance and support services Department’s family support programs. on non-local community resources provided for family caregivers of eligible DoD requests emergency processing and through the National Resource Director veterans pursuant to 38 U.S.C. 1720G. OMB authorization to collect the at www.nrd.gov. (2) Service members undergoing pre- information after publication of this separation/transition counseling, who Notice for a period of six months. TAP Eligibility for Spouses and may require caregiver services after Dependents DATES: Comments must be received by separation, may identify an individual April 16, 2021. (1) Spouses of eligible transitioning in writing to provide such services after ADDRESSES: The Department has Service members are eligible to attend separation. (3) Service members who identified requested emergency processing from the Department of Labor (DOL) One-Day OMB for this information collection and the DOL Employment Track in an individual to provide caregiver services after separation may permit request by 15 days after publication of accordance with 10 U.S.C. 1144. this notice. Interested parties can access (2) Spouses of eligible transitioning their caregiver to participate in the the supporting materials and collection Service members are eligible for the member’s pre-separation/transition instrument as well as submit comments following services and information in counseling session to inform the and recommendations to OMB at accordance with 10 U.S.C. 1142. caregiver of: www.reginfo.gov/public/do/PRAMain. (a) DOL Job placement counseling. (a) The assistance and support (b) DoD and VA-administered services available to caregivers of Find this particular information survivor benefits information. members after separation. collection by selecting ‘‘Currently under (c) DoD financial education and (b) The manner in which the 15-day Review—Open for Public counseling, including information on member’s transition to civilian life after Comments’’ or by using the search budgeting, saving, credit, loans, and separation may impact the caregiver. function. taxes. Comments submitted in response to Transition Assistance Priority of (d) Transition plan assistance to this notice will be summarized and Service enable achievement of educational, included in the request for OMB training, employment, and financial The descending order of priority for approval of this information collection. objectives. participation in transition assistance They will also become a matter of (e) VA benefits orientation, such as classroom attendance is based on the public record. education, employment, home loan targeted population dates of separation FOR FURTHER INFORMATION CONTACT: services, housing assistance benefit or release from active duty, or their Angela James, 571–372–7574, or information, and responsible borrowing status of returning from overseas, or whs.mc-alex.esd.mbx.dd-dod- practices counseling. assignment to remote or isolated and [email protected]. (3) Dependents of eligible Service geographically dispersed locations. DoD SUPPLEMENTARY INFORMATION: The members are entitled to the following TAP training is publicly available results of the Active Duty Spouse services and information in accordance virtually, as referenced above. Eligible Survey (ADSS) provide leadership with with 10 U.S.C. 1142. Service members will be given an understanding of the effectiveness of (a) Career change counseling and its preference for classroom DoD TAP, and the Department’s family support effects on individuals and their family. spouse eligibility for DoD TAP programs. Given deployment and family
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life cycles, it allows policy offices to ACTION: Notice. processed and used in a timely manner; monitor changes in attitudes/opinions, (3) is the estimate of burden accurate; SUMMARY: evaluate effectiveness of recent In accordance with the (4) how might the Department enhance Paperwork Reduction Act of 1995, ED is initiatives, and provide insight into the quality, utility, and clarity of the proposing a revision of a currently topics such as financial well-being, information to be collected; and (5) how approved collection. overall health, life in the military, might the Department minimize the DATES: spouse unemployment, and use of Interested persons are invited to burden of this collection on the submit comments on or before June 1, military-provided resources. Due to the respondents, including through the use 2021. COVID–19 public health emergency, of information technology. Please note ADDRESSES: DoD has delayed implementation in To access and review all the that written comments received in documents related to the information order to review and modify questions as response to this notice will be collection listed in this notice, please needed to ensure an adequate response considered public records. rate. This exemption will allow this use http://www.regulations.gov by survey to be fielded in May 2021 so searching the Docket ID number ED– Title of Collection: High School and results will be available by the end of 2021–SCC–0053. Comments submitted Beyond 2022 (HS&B:22) Base-Year Full- 2021. in response to this notice should be Scale Study Data Collection and First Title; Associated Form; and OMB submitted electronically through the Follow-up Field Test Sampling, Number: Active Duty Spouse Survey. Federal eRulemaking Portal at http:// Tracking, and Recruitment. Type of Request: New. www.regulations.gov by selecting the OMB Control Number: 1850–0944. Number of Respondents: 11,500. Docket ID number or via postal mail, Responses per Respondent: 1. commercial delivery, or hand delivery. Type of Review: A revision of a Annual Responses: 11,500. If the regulations.gov site is not currently approved collection. Average Burden per Response: 30 available to the public for any reason, Respondents/Affected Public: minutes. ED will temporarily accept comments at Individuals and Households. Annual Burden Hours: 5750. [email protected]. Please include the Total Estimated Number of Annual Affected Public: Individuals or docket ID number and the title of the Responses: 128,478. households. information collection request when Frequency: Biannually. requesting documents or submitting Total Estimated Number of Annual Respondent’s Obligation: Voluntary. comments. Please note that comments Burden Hours: 53,930. Request for Comments submitted by fax or email and those Abstract: The High School and submitted after the comment period will Beyond 2022 study (HS&B:22) will be Comments are invited on: (1) Whether not be accepted. Written requests for the sixth in a series of longitudinal the proposed collection of information information or comments submitted by studies at the high school level is necessary for the proper performance postal mail or delivery should be conducted by the National Center for of the functions of DoD, including addressed to the PRA Coordinator of the Education Statistics (NCES), within the whether the information collected has Strategic Collections and Clearance Institute of Education Sciences (IES) of practical utility; (2) the accuracy of Governance and Strategy Division, U.S. DoD’s estimate of the burden (including the U.S. Department of Education. Department of Education, 400 Maryland HS&B:22 will follow a nationally hours and cost) of the proposed Ave. SW, LBJ, Room 208C, Washington, representative sample of ninth grade collection of information; (3) ways to DC 20202–8240. students from the start of high school in enhance the quality, utility, and clarity FOR FURTHER INFORMATION CONTACT: For of the information to be collected; and the fall of 2022 to the spring of 2026 specific questions related to collection when most will be in twelfth grade. A (4) ways to minimize the burden of the activities, please contact Carrie Clarady, field test was conducted in fall 2019. collection of information on 202–245–6347. respondents, including automated The study sample will be freshened in SUPPLEMENTARY INFORMATION: The collection techniques or the use of other 2026 to create a nationally Department of Education (ED), in forms of information technology. representative sample of twelfth-grade accordance with the Paperwork students. A high school transcript Dated: March 29, 2021. Reduction Act of 1995 (PRA) (44 U.S.C. collection and additional follow-up data Aaron T. Siegel, 3506(c)(2)(A)), provides the general collections beyond high school are also Alternate OSD Federal Register Liaison public and Federal agencies with an Officer, Department of Defense. opportunity to comment on proposed, planned. [FR Doc. 2021–06716 Filed 3–31–21; 8:45 am] revised, and continuing collections of Dated: March 26, 2021. BILLING CODE 5001–06–P information. This helps the Department Juliana Pearson, assess the impact of its information PRA Coordinator, Strategic Collections and collection requirements and minimize Clearance Governance and Strategy Division, DEPARTMENT OF EDUCATION the public’s reporting burden. It also Office of Chief Data Officer, Office of helps the public understand the Planning, Evaluation and Policy [Docket No.: ED–2021–SCC–0053] Department’s information collection Development. Agency Information Collection requirements and provide the requested [FR Doc. 2021–06649 Filed 3–31–21; 8:45 am] data in the desired format. ED is Activities; Comment Request; High BILLING CODE 4000–01–P School and Beyond 2022 (HS&B:22) soliciting comments on the proposed Base-Year Full-Scale Study Data information collection request (ICR) that Collection and First Follow-Up Field is described below. The Department of Test Sampling, Tracking, and Education is especially interested in Recruitment public comment addressing the following issues: (1) Is this collection AGENCY: Institute of Education Sciences, necessary to the proper functions of the Department of Education (ED). Department; (2) will this information be
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DEPARTMENT OF EDUCATION 3506(c)(2)(A)), provides the general minimizes burden. We estimate that the public and Federal agencies with an application will require 3 hours per [Docket No. ED–2021–SCC–0052] opportunity to comment on proposed, applicant to complete. Agency Information Collection revised, and continuing collections of Dated: March 29, 2021. information. This helps the Department Activities; Comment Request; Kate Mullan, CRRSAA Supplemental Aid to assess the impact of its information collection requirements and minimize PRA Coordinator, Strategic Collections and Institutions of Higher Education Clearance, Governance and Strategy Division, Application the public’s reporting burden. It also Office of Chief Data Officer, Office of helps the public understand the Planning, Evaluation and Policy AGENCY: Office of Postsecondary Department’s information collection Development. Education (OPE), Department of requirements and provide the requested [FR Doc. 2021–06691 Filed 3–31–21; 8:45 am] Education (ED). data in the desired format. ED is BILLING CODE 4000–01–P ACTION: Notice. soliciting comments on the proposed information collection request (ICR) that SUMMARY: In accordance with the is described below. The Department of Paperwork Reduction Act of 1995, ED is Education is especially interested in DEPARTMENT OF ENERGY requesting the Office of Management public comment addressing the and Budget (OMB) to conduct an following issues: (1) Is this collection Federal Energy Regulatory emergency review of a new collection. necessary to the proper functions of the Commission DATES: The Department requested Department; (2) will this information be emergency processing from OMB for processed and used in a timely manner; [Project No. 1061–103] this information collection request by (3) is the estimate of burden accurate; March 25, 2021; and therefore, the (4) how might the Department enhance Pacific Gas and Electric Company; regular clearance process is hereby the quality, utility, and clarity of the Notice Soliciting Scoping Comments being initiated to provide the public information to be collected; and (5) how with the opportunity to comment under might the Department minimize the Take notice that the following the full comment period. Interested burden of this collection on the hydroelectric application has been filed persons are invited to submit comments respondents, including through the use with the Commission and is available on or before June 1, 2021. of information technology. Please note for public inspection. ADDRESSES: To access and review all the that written comments received in a. Type of Application: New Major documents related to the information response to this notice will be License. collection listed in this notice, please considered public records. b. Project No.: 1061–103. use http://www.regulations.gov by Title of Collection: CRRSAA c. Date Filed: August 24, 2020. searching the Docket ID number ED– Supplemental Aid to Institutions of d. Applicant: Pacific Gas and Electric 2021–SCC–0052. Comments submitted Higher Education Application. Company. in response to this notice should be OMB Control Number: 1840–New. e. Name of Project: Phoenix submitted electronically through the Type of Review: New collection. Hydroelectric Project. Respondents/Affected Public: Private Federal eRulemaking Portal at http:// f. Location: The existing project is Sector; State, Local, and Tribal www.regulations.gov by selecting the located on the South Fork Stanislaus Governments. Docket ID number or via postal mail, River and in the Tuolumne River Basin, Total Estimated Number of Annual commercial delivery, or hand delivery. in Tuolumne County, California. The Responses: 1,500. If the regulations.gov site is not Total Estimated Number of Annual project occupies 26.99 acres of federal available to the public for any reason, Burden Hours: 4,500. land administered by the U.S. Forest ED will temporarily accept comments at Abstract: Section 314(a)(3) of Service and 0.59 acres administered by [email protected]. Please include the Coronavirus Response and Relief the Bureau of Land Management. docket ID number and the title of the Supplemental Appropriations Act g. Filed Pursuant to: Federal Power information collection request when (CRRSAA) allocates funds for Act, 16 U.S.C. 791 (a)–825(r). requesting documents or submitting institutions of higher education that the h. Applicant Contact: Jan Nimick, comments. Please note that comments Secretary determines have the greatest Vice President, Power Generation, submitted by fax or email and those unmet needs related to the coronavirus. Pacific Gas and Electric Company, 245 submitted after the comment period will This collection includes (1) a Market Street, San Francisco, CA 94105, not be accepted. Written requests for certification and agreement and (2) a (415) 973–0629. information or comments submitted by profile form that will be used by i. FERC Contact: Jim Hastreiter, (503) postal mail or delivery should be institutions applying for discretionary 552–2760 or [email protected]. addressed to the PRA Coordinator of the grant funding under this section. j. Deadline for filing scoping Strategic Collections and Clearance Additional Information: Emergency comments: April 26, 2021. Governance and Strategy Division, U.S. processing was requested for the The Commission strongly encourages Department of Education, 400 Maryland Department to issue these awards in a electronic filing. Please file scoping Ave. SW, LBJ, Room 6W208D, timely manner. These awards are comments using the Commission’s Washington, DC 20202–8240. particularly needed by IHEs that have eFiling system at https:// FOR FURTHER INFORMATION CONTACT: For experienced the greatest economic and ferconline.ferc.gov/FERCOnline.aspx. specific questions related to collection educational disruptions caused by Commenters can submit brief comments activities, please contact Karen Epps, 2019–nCoV in order to support their up to 6,000 characters, without prior (202) 453–6337. recovery. Given the short timeframe, ED registration, using the eComment system SUPPLEMENTARY INFORMATION: The is unable to consult with the public at https://ferconline.ferc.gov/ Department of Education (ED), in prior to issuing the forms. However, ED QuickComment.aspx. You must include accordance with the Paperwork has ample experience designing other your name and contact information at Reduction Act of 1995 (PRA) (44 U.S.C. similar forms in a way that is clear and the end of your comments. For
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assistance, please contact FERC Online n. You may also register online at diverse range of disciplines to be Support at FERCOnlineSupport@ http://www.ferc.gov/docs-filing/ considered for appointment to the Clean ferc.gov, (866) 208–3676 (toll free), or esubscription.asp to be notified via Air Scientific Advisory Committee (202) 502–8659 (TTY). In lieu of email of new filings and issuances (CASAC). electronic filing, you may submit a related to this or other pending projects. DATES: Nominations should be paper copy. Submissions sent via the For assistance, contact FERC Online submitted in time to arrive no later than U.S. Postal Service must be addressed Support. May 3, 2021. to: Kimberly D. Bose, Secretary, Federal o. Scoping Process FOR FURTHER INFORMATION CONTACT: For Energy Regulatory Commission, 888 information about the CASAC Commission staff will prepare either First Street NE, Room 1A, Washington, membership appointment process and an environmental assessment (EA) or an DC 20426. Submissions sent via any schedule, please contact Mr. Aaron Environmental Impact Statement (EIS) other carrier must be addressed to: Yeow, DFO, by telephone at 202–564– that describes and evaluates the Kimberly D. Bose, Secretary, Federal 2050 or by email at yeow.aaron@ probable effects, if any, of the licensee’s Energy Regulatory Commission, 12225 epa.gov. Wilkins Avenue, Rockville, Maryland proposed action and alternatives. The 20852. All filings must clearly identify EA or EIS will consider environmental SUPPLEMENTARY INFORMATION: the project name and docket number on impacts and reasonable alternatives to Background: The CASAC is a the first page: Phoenix Hydroelectric the proposed action. The Commission’s chartered Federal Advisory Committee, Project (P–1061–103). scoping process will help determine the established pursuant to the Clean Air Act (CAA) Amendments of 1977, The Commission’s Rules of Practice required level of analysis and satisfy the codified at 42 U.S.C. 7409(d)(2), to and Procedure require all interveners NEPA scoping requirements, provide advice, information and filing documents with the Commission irrespective of whether the Commission recommendations to the EPA to serve a copy of that document on prepares an EA or an EIS. Due to restrictions on mass gatherings related Administrator on the scientific and each person on the official service list technical aspects of air quality criteria for the project. Further, if an intervener to COVID–19, we do not intend to conduct a public scoping meeting and and National Ambient Air Quality files comments or documents with the Standards (NAAQS). Members of the Commission relating to the merits of an site visit in this case. Instead, we are soliciting written comments and CASAC constitute a distinguished body issue that may affect the responsibilities of non-EPA scientists and engineers of a particular resource agency, they suggestions on the preliminary list of issues and alternatives to be addressed who are nationally and internationally must also serve a copy of the document recognized experts in their respective on that resource agency. in the NEPA document, as described in scoping document 1 (SD1), issued fields. Members are appointed by the k. The application is not ready for EPA Administrator and serve as Special environmental analysis at this time. March 26, 2021. Copies of the SD1 outlining the Government Employees who provide l. The Phoenix Hydroelectric Project independent expert advice to the consists of the following existing subject areas to be addressed in the NEPA document were distributed to the agency. facilities: (1) A 535-foot-long and 132- Expertise Sought for CASAC: The parties on the Commission’s mailing list foot-high concrete arch dam on the CASAC was established pursuant to the and the applicant’s distribution list. South Fork Stanislaus River, (2) a 172.3 Clean Air Act (CAA) Amendments of Copies of SD1 may be viewed on the acre reservoir, (3) a 133.1-foot-long and 1977, codified at 42 U.S.C. 7409(d)(2), to web at http://www.ferc.gov using the 20-foot-high concrete arch cushion dam, review air quality criteria and NAAQS ‘‘eLibrary’’ link. Enter the docket (4) a 15.38-mile-long Main Tuolumne and recommend to the EPA number excluding the last three digits in Canal, (5) a Header Box (forebay), a Administrator any new NAAQS and 5,611-foot-long penstock, and a the docket number field to access the revisions of existing criteria and powerhouse with an impulse turbine document. For assistance, call 1–866– NAAQS as may be appropriate. The rated at 1.6 megawatts. The project is 208–3676 or for TTY, (202) 502–8659. CASAC shall also: Advise the EPA estimated to generate an average of Dated: March 26, 2021. Administrator of areas in which 9,956 megawatt-hours annually. Kimberly D. Bose, additional knowledge is required to m. In addition to publishing the full Secretary. appraise the adequacy and basis of text of this document in the Federal [FR Doc. 2021–06719 Filed 3–31–21; 8:45 am] existing, new, or revised NAAQS; Register, the Commission provides all BILLING CODE 6717–01–P describe the research efforts necessary interested persons an opportunity to to provide the required information; view and/or print the contents via the advise the EPA Administrator on the internet through the Commission’s ENVIRONMENTAL PROTECTION relative contribution to air pollution Home Page (http://www.ferc.gov) using AGENCY concentrations of natural as well as the ‘‘eLibrary’’ link. Enter the docket anthropogenic activity; and advise the number excluding the last three digits in [FRL–10021–37–OP] EPA Administrator of any adverse the docket number field to access the public health, welfare, social, economic, document. At this time, the Commission Request for Nominations of or energy effects which may result from has suspended access to the Candidates to the EPA’s Clean Air various strategies for attainment and Commission’s Public Reference Room, Scientific Advisory Committee maintenance of such NAAQS. As due to the proclamation declaring a (CASAC) required under the CAA section 109(d), National Emergency concerning the AGENCY: Environmental Protection the CASAC is composed of seven Novel Coronavirus Disease (COVID–19), Agency (EPA). members, with at least one member of issued by the President on March 13, ACTION: Notice. the National Academy of Sciences, one 2020. For assistance, contact FERC at physician, and one person representing [email protected] or call SUMMARY: The U.S. Environmental state air pollution control agencies. The toll-free, (866) 208–3676 or TYY, (202) Protection Agency (EPA) invites SAB Staff Office is seeking nominations 502–8659. nominations of scientific experts from a of experts to serve on the CASAC with
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expertise in: Air quality, biostatistics, making the nomination; contact form should not be submitted as part of ecology, environmental engineering, information for the nominee; the a nomination. epidemiology, exposure assessment, disciplinary and specific areas of Thomas Brennan, medicine, risk assessment, and expertise of the nominee; the nominee’s Director, EPA Science Advisory Staff Office. toxicology. The SAB Staff Office is curriculum vitae; and a biographical especially interested in scientists with sketch of the nominee indicating current [FR Doc. 2021–06715 Filed 3–31–21; 8:45 am] expertise described above who have position, educational background; BILLING CODE 6560–50–P knowledge and experience relating to research activities; sources of research criteria pollutants (carbon monoxide, funding for the last two years; and lead, nitrogen oxides, ozone, particulate ENVIRONMENTAL PROTECTION recent service on other national AGENCY matter, and sulfur oxides). For further advisory committees or national information about the CASAC professional organizations. To help the [CERCLA–08–2021–0005; FRL–10022–10– membership appointment process and agency evaluate the effectiveness of its Region 8] schedule, please contact Mr. Aaron outreach efforts, please indicate how Yeow, DFO, by telephone at 202–564– Administrative Settlement Agreement you learned of this nomination and Order on Consent: Richardson 2050 or by email at yeow.aaron@ opportunity. Persons having questions epa.gov. Flat Tailings Site, Park City, Summit about the nomination process or the County, Utah Selection Criteria for the CASAC public comment process described below, or who are unable to submit AGENCY: Environmental Protection Nominees are selected based on their nominations through the CASAC Agency (EPA). individual qualifications. Curriculum website, should contact the DFO, as ACTION: Notice of proposed agreement; vitae should reflect the following: identified above. The DFO will request for public comment. —Demonstrated scientific credentials acknowledge receipt of nominations and and disciplinary expertise in relevant will invite the nominee to provide any SUMMARY: In accordance with the fields; additional information that the nominee requirements of the Comprehensive —Willingness to commit time to the feels would be useful in considering the Environmental Response, committee and demonstrated ability nomination, such as availability to Compensation, and Liability Act of to work constructively and effectively participate as a member of the 1980, as amended (‘‘CERCLA’’), notice is hereby given of the proposed on committees; and committee; how the nominee’s —Background and experiences that settlement under CERCLA, between the background, skills and experience would help members contribute to the U.S. Environmental Protection Agency would contribute to the diversity of the diversity of perspectives on the (‘‘EPA’’), the U.S. Department of Interior committee; and any questions the committee, e.g., geographical, (‘‘DOI’’), the State of Utah (‘‘State’’), and nominee has regarding membership. economic, social, cultural, Big Hoss Properties, LLC (‘‘Settling The names and biosketches of qualified educational backgrounds, professional Party’’) to resolve its alleged civil nominees identified by respondents to affiliations; and other considerations. liability at the Richardson Flat Tailings this Federal Register notice, and —For the committee as a whole, Site in Summit County, Utah. additional experts identified by the SAB consideration of the collective breadth For thirty (30) days following the date and depth of scientific expertise; and Staff Office, will be posted in a List of of publication of this document, the a balance of scientific perspectives is Candidates on the CASAC website at Agency will receive written comments important. http://www.epa.gov/casac. Public relating to the agreement. The Agency comments on each List of Candidates will consider all comments received and As the committee undertakes specific will be accepted for 21 days from the advisory activities, the SAB Staff Office may modify or withdraw its consent to date the list is posted. The public will the agreement if comments received will consider two additional criteria for be requested to provide relevant each new activity: Absence of financial disclose facts or considerations that information or other documentation on indicate that the agreement is conflicts of interest and absence of an nominees that the SAB Staff Office appearance of a loss of impartiality. inappropriate, improper, or inadequate. should consider in evaluating How to Submit Nominations: Any DATES: Comments must be submitted on candidates. interested person or organization may or before May 3, 2021. nominate qualified persons to be Candidates may be asked to submit ADDRESSES: The proposed agreement considered for appointment to this the ‘‘Confidential Financial Disclosure and additional background information advisory committee. Individuals may Form for Special Government relating to the agreement, as well as the self-nominate. Nominations should be Employees Serving on Federal Advisory Agency’s response to any comments are submitted in electronic format Committees at the U.S. Environmental or will be available for public inspection (preferred) using the online nomination Protection Agency’’ (EPA Form 3110– at the EPA Superfund Record Center, form under the ‘‘Nomination of Experts’’ 48). This confidential form is required 1595 Wynkoop Street, Denver, category at the bottom of the CASAC for Special Government Employees Colorado, by appointment. Comments home page at http://www.epa.gov/casac. (SGEs) and allows EPA to determine and requests for a copy of the proposed To be considered, all nominations whether there is a statutory conflict agreement should be addressed to Matt should include the information between that person’s public Hogue, Enforcement Specialist, requested below. EPA values and responsibilities as an SGE and private Superfund and Emergency Management welcomes diversity. All qualified interests and activities, or the Division, Environmental Protection candidates are encouraged to apply appearance of a loss of impartiality, as Agency—Region 8, Mail Code 8SEM– regardless of sex, race, disability or defined by Federal regulation. The form PAC, 1595 Wynkoop Street, Denver, ethnicity. may be viewed and downloaded Colorado 80202, (303) 312–6591, The following information should be through the ‘‘Ethics Requirements for [email protected] and should provided on the nomination form: Advisors’’ link on the CASAC home reference the Richardson Flat Tailings Contact information for the person page at http://www.epa.gov/casac. This Site.
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FOR FURTHER INFORMATION CONTACT: epa.gov or Dr. Thomas Armitage, DFO, statistics; sustainability; radiological Amelia Piggott, Senior Assistant by telephone at (202) 564–2155 or by risk assessment; toxicology; uncertainty Regional Counsel, Office of Regional email at [email protected]. analysis; water quality; water quantity Counsel, Environmental Protection SUPPLEMENTARY INFORMATION: and reuse; and waste management. For Agency-Region 8, Mail Code 8ORC– Background: The SAB is a chartered further information about the chartered LEC, 1595 Wynkoop Street, Denver, Federal Advisory Committee, SAB membership appointment process Colorado 80202, (303) 312–6410, established in 1978, under the authority and schedule, please contact Dr. Suhair [email protected]. of the Environmental Research, Shallal, DFO, by telephone at (202) 564– SUPPLEMENTARY INFORMATION: The Development and Demonstration 2057 or by email at shallal.suhair@ proposed Settlement Agreement allows Authorization Act (ERDDAA), codified epa.gov or Dr. Thomas Armitage, DFO, the Settling Party to make a cash at 42 U.S.C. 4365, to provide by telephone at (202) 564–2155 or by payment: (1) To EPA to resolve alleged independent scientific and technical email at [email protected]. civil CERCLA liability; and (2) to DOI peer review, consultation, advice and Members selected to the Chartered and the State to resolve alleged natural recommendations to the EPA SAB may also participate on standing resource damage liability. The proposed Administrator. Members of the SAB committees of the SAB. These Settlement Agreement also allows the constitute a distinguished body of non- committees take the lead at evaluating Settling Party to perform work, EPA scientists, engineers, and specific peer review actions where SAB implement land use restrictions economists who are nationally and feedback is requested. Board members requested by the State and for the internationally recognized experts in with demonstrated scientific payment of oversight costs incurred by their respective fields. Members are credentials, disciplinary expertise in the United States at or in connection appointed by the EPA Administrator to relevant fields, and experience may be with the Property. The Settling Party serve as Special Government Employees asked to also participate on the consents to and will not contest the following SAB Standing Committees: and provide independent expert advice • authority of the United States to enter to the agency for a term of up to three The Agricultural Science into the Agreement or to implement or Committee; years. Additional information about the • enforce its terms. The Settling Party SAB is available at http://www.epa.gov/ the Chemical Assessment Advisory recognizes that the Agreement has been sab. Committee; negotiated in good faith and that the • the Climate Science Committee; Expertise Sought for the Sab: The • Agreement is entered into without the the Drinking Water Committee; chartered SAB provides scientific • the Economic Analysis Committee; admission or adjudication of any issue advice to the EPA Administrator on a • of fact or law. the Environmental Justice Science variety of EPA science and research Committee; and, Betsy Smidinger, topics. All the work of SAB standing • the Radiation Advisory Committee. committees and ad-hoc panels is Division Director, Superfund and Emergency Selection Criteria for the SAB Includes Management Division, Environmental conducted under the auspices of the Protection Agency, Region VIII. chartered SAB. The chartered SAB —Demonstrated scientific credentials [FR Doc. 2021–06755 Filed 3–31–21; 8:45 am] reviews all SAB standing committee and and disciplinary expertise in relevant BILLING CODE 6560–50–P ad-hoc panel draft reports and fields; determines whether each exhibits the —Willingness to commit time to the high quality and meets the SAB’s committee and demonstrated ability ENVIRONMENTAL PROTECTION criteria to deliver to the EPA to work constructively and effectively AGENCY Administrator. The SAB Staff Office on committees; invites nominations of individuals to —Background and experiences that [FRL–10021–31–OP] serve on the chartered SAB with would help members contribute to the Request for Nominations of expertise or extensive experience in the diversity of perspectives on the Candidates to the EPA’s Science following scientific disciplines and committee, e.g., geographical, social, Advisory Board (SAB) topics as they relate to human health cultural, educational backgrounds, and the environment: Air quality; professional affiliations; and other AGENCY: Environmental Protection agricultural sciences and economics; considerations; and Agency (EPA). analytical chemistry; atmospheric —For the committee, the collective ACTION: Notice. sciences; benefit-cost analysis; chemical breadth and depth of scientific safety; climate science; citizen science; expertise is considered of the SUMMARY: The U.S. Environmental community environmental health; dose- individual and holistically for the Protection Agency (EPA) invites response assessment; drinking water; entire committee. nominations of scientific experts from a drinking water engineering; ecological As the SAB and its standing diverse range of disciplines to be sciences and ecological assessment; committees and ad-hoc panels considered for appointment to the EPA ecological risk assessment; ecosystem undertake specific advisory activities, Science Advisory Board (SAB) services; economics; energy and the the SAB Staff Office will consider two described in this notice. Appointments environment; engineering; additional criteria for each new activity: will be announced by the environmental justice; epidemiology; Absence of financial conflicts of interest Administrator. exposure assessment; forestry; and absence of an appearance of a loss DATES: Nominations should be geochemistry; health sciences; human of impartiality. submitted no later than May 3, 2021. health risk assessment; hydrology; How to Submit Nominations: Any FOR FURTHER INFORMATION CONTACT: For hydrogeology; medicine; microbiology; interested person or organization may information about the chartered SAB modeling; pediatrics; pesticide risk nominate qualified persons to be membership appointment process and assessment, public health; considered for appointment to these schedule, please contact Dr. Suhair physiologically based pharmacokinetic advisory committees. Individuals may Shallal, DFO, by telephone at (202) 564– (PBPK) modeling; risk assessment; self-nominate. Nominations should be 2057 or by email at shallal.suhair@ social, behavioral and decision sciences; submitted in electronic format using the
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online nomination form under the there is a statutory conflict between that Information the premature disclosure ‘‘Nomination of Experts’’ category at the person’s public responsibilities as a of which would be likely to have a bottom of the SAB home page at http:// Special Government Employee and considerable adverse effect on the www.epa.gov/sab. To be considered, all private interests and activities, or the implementation of a proposed nominations should include the appearance of a loss of impartiality, as Commission action. information requested below. EPA defined by Federal regulation. The form Matters concerning participation in values and welcomes diversity. All may be viewed and downloaded civil actions or proceedings or qualified candidates are encouraged to through the ‘‘Ethics Requirements for arbitration. apply regardless of gender, race, Advisors’’ link on the SAB home page * * * * * disability, or ethnicity. at http://www.epa.gov/sab. This form CONTACT PERSON FOR MORE INFORMATION: The following information should be should not be submitted as part of a Judith Ingram, Press Officer, Telephone: provided on the nomination form: nomination. (202) 694–1220. Contact information for the person Dated: March 24, 2021. making the nomination; contact Vicktoria J. Allen, V. Khanna Johnston, information for the nominee; the Acting Deputy Secretary of the Commission. Deputy Director, EPA Science Advisory Board disciplinary and specific areas of [FR Doc. 2021–06855 Filed 3–30–21; 4:15 pm] Staff Office. expertise of the nominee; the nominee’s BILLING CODE 6715–01–P curriculum vitae; and a biographical [FR Doc. 2021–06647 Filed 3–31–21; 8:45 am] sketch of the nominee indicating current BILLING CODE 6560–50–P position, educational background; FEDERAL RESERVE SYSTEM research activities; sources of research funding for the last two years; and FEDERAL ELECTION COMMISSION Change in Bank Control Notices; recent service on other national Acquisitions of Shares of a Bank or advisory committees or national Sunshine Act Meeting Bank Holding Company professional organizations. To help the agency evaluate the effectiveness of its FEDERAL REGISTER CITATION OF PREVIOUS The notificants listed below have outreach efforts, please indicate how ANNOUNCEMENT: 86 FR 14752. applied under the Change in Bank you learned of this nomination PREVIOUSLY ANNOUNCED TIME AND DATE OF Control Act (Act) (12 U.S.C. 1817(j)) and opportunity. Persons having questions THE MEETING: Tuesday, March 23, 2021 § 225.41 of the Board’s Regulation Y (12 about the nomination process or the at 10:00 a.m. and its continuation at the CFR 225.41) to acquire shares of a bank public comment process described conclusion of the open meeting on or bank holding company. The factors below, or who are unable to submit March 25, 2021. that are considered in acting on the applications are set forth in paragraph 7 nominations through the SAB website, CHANGES IN THE MEETING: This meeting should contact a DFO as identified of the Act (12 U.S.C. 1817(j)(7)). will also discuss: The public portions of the above. The SAB Staff Office will Matters relating to internal personnel acknowledge receipt of nominations and applications listed below, as well as decisions, or internal rules and other related filings required by the invite the nominee to provide any practices. additional information that the nominee Board, if any, are available for feels would be useful in considering the * * * * * immediate inspection at the Federal nomination, such as availability to CONTACT PERSON FOR MORE INFORMATION: Reserve Bank(s) indicated below and at participate as a member of the Judith Ingram, Press Officer, Telephone: the offices of the Board of Governors. committee; how the nominee’s (202) 694–1220. This information may also be obtained on an expedited basis, upon request, by background, skills and experience Vicktoria J. Allen, would contribute to the diversity of the contacting the appropriate Federal Acting Deputy Secretary of the Commission. SAB; and any questions the nominee Reserve Bank and from the Board’s has regarding membership. The names [FR Doc. 2021–06795 Filed 3–30–21; 11:15 am] Freedom of Information Office at and biosketches of qualified nominees BILLING CODE 6715–01–P https://www.federalreserve.gov/foia/ identified by respondents to this request.htm. Interested persons may Federal Register notice, and any express their views in writing on the FEDERAL ELECTION COMMISSION additional experts identified by the SAB standards enumerated in paragraph 7 of Staff Office, will be posted in a List of Sunshine Act Meeting the Act. Candidates on the SAB website at Comments regarding each of these http://www.epa.gov/sab. Public TIME AND DATE: Tuesday, April 6, 2021 applications must be received at the comments on each List of Candidates at 10:00 a.m. and its continuation at the Reserve Bank indicated or the offices of will be accepted for 21 days from the conclusion of the open meeting on april the Board of Governors, Ann E. date the list is posted. The public will 8, 2021. Misback, Secretary of the Board, 20th be requested to provide relevant Street and Constitution Avenue NW, PLACE: 1050 First Street NE, Washington DC 20551–0001, not later information or other documentation on Washington, DC (This meeting will be a than April 15, 2021. nominees that the SAB Staff Office virtual meeting). should consider in evaluating A. Federal Reserve Bank of candidates. STATUS: This meeting will be closed to Minneapolis (Chris P. Wangen, Candidates invited to serve will be the public. Assistant Vice President) 90 Hennepin asked to submit the ‘‘Confidential MATTERS TO BE CONSIDERED: Avenue, Minneapolis, Minnesota Financial Disclosure Form for Special Compliance matters pursuant to 52 55480–0291: Government Employees Serving on U.S.C. 30109. 1. William S. Lewis, Hermantown, Federal Advisory Committees at the Investigatory records compiled for Minnesota; to retain additional voting U.S. Environmental Protection Agency’’ law enforcement purposes and shares of Western Bancorporation, Inc., (EPA Form 3110–48). This confidential production would disclose investigative and thereby indirectly retain voting form allows EPA to determine whether techniques. shares of Western National Bank, both
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of Duluth, Minnesota, Cass Lake Instructions: All items submitted (d) Determine whether the Company, and Western National Bank must cite OMB Control No. 9000–0047, prospective contractor is a manufacturer of Cass Lake, both of Cass Lake, Place of Performance. Comments or a regular dealer. Minnesota. In addition, John S. Lewis, received generally will be posted C. Annual Burden Thomas S. Lewis, and James S. Lewis, without change to http:// all of Duluth, Minnesota; to join the www.regulations.gov, including any Respondents: 14,188. Lewis family shareholder group, a group personal and/or business confidential Total Annual Responses: 1,996,197. acting in concert, to acquire voting information provided. To confirm Total Burden Hours: 90,827. shares of Western Bancorporation, Inc., receipt of your comment(s), please D. Public Comment check www.regulations.gov, and thereby indirectly acquire voting A 60-day notice was published in the approximately two-to-three days after shares of Western National Bank, Cass Federal Register at 86 FR 4075, on submission to verify posting. If there are Lake Company, and Western National January 15, 2021. No comments were difficulties submitting comments, Bank of Cass Lake. received. Board of Governors of the Federal Reserve contact the GSA Regulatory Secretariat Obtaining Copies: Requesters may System, March 26, 2021. Division at 202–501–4755 or obtain a copy of the information Michele Taylor Fennell, [email protected]. collection documents from the GSA Deputy Associate Secretary of the Board. FOR FURTHER INFORMATION CONTACT: Regulatory Secretariat Division, by Zenaida Delgado, Procurement Analyst, [FR Doc. 2021–06640 Filed 3–31–21; 8:45 am] calling 202–501–4755 or emailing at telephone 202–969–7207, or BILLING CODE P [email protected]. [email protected]. Please cite OMB Control No. 9000– SUPPLEMENTARY INFORMATION: 0047, Place of Performance. DEPARTMENT OF DEFENSE A. OMB Control Number, Title, and Janet Fry, Any Associated Form(s) Director, Federal Acquisition Policy Division, GENERAL SERVICES 9000–0047, Place of Performance. Office of Governmentwide Acquisition Policy, ADMINISTRATION Office of Acquisition Policy, Office of B. Need and Uses Governmentwide Policy. NATIONAL AERONAUTICS AND This clearance covers the information [FR Doc. 2021–06651 Filed 3–31–21; 8:45 am] SPACE ADMINISTRATION that bidders or offerors must submit to BILLING CODE 6820–EP–P comply with the following Federal [OMB Control No. 9000–0047; Docket No. Acquisition Regulation (FAR) 2021–0053; Sequence No. 1] requirements: DEPARTMENT OF HEALTH AND • 52.214–14, Place of Performance- HUMAN SERVICES Submission for OMB Review; Place of Sealed Bidding. This FAR provision is Performance prescribed for invitation for bids (i.e., Administration for Community Living AGENCY: Department of Defense (DoD), FAR part 14 procurements) where the Availability of Program Application General Services Administration (GSA), Government did not specify the place of Instructions for MIPPA Program Funds and National Aeronautics and Space performance. • Administration (NASA). 52.215–6, Place of Performance. Title: Medicare Improvements for This FAR provision is prescribed for Patients and Providers Act: State ACTION: Notice. solicitations, when contracting by Applications for Medicare Low-Income SUMMARY: Under the provisions of the negotiation (i.e., FAR part 15 Benefit Programs Enrollment Outreach Paperwork Reduction Act, the procurements), where the Government and Assistance. Regulatory Secretariat Division has did not specify the place of Announcement Type: Initial. performance. Funding Opportunity Numbers: submitted to the Office of Management • and Budget (OMB) a request to review Both provisions ask for identical CIP–MI–21–001—MIPPA Priority and approve a revision and renewal of information from bidders or offerors: Area 1: SHIP 2021 • CIP–MI–21–002—MIPPA Priority a previously approved information Whether or not they intend to use one or more plants or facilities located at a Area 2: AAA 2021 collection requirement regarding place • CIP–MI–21–003—MIPPA Priority of performance. different address from the address of the bidder or offeror as indicated in their Area 3: ADRC 2021 DATES: Submit comments on or before bid or offer. If the response indicates the Statutory Authority: The Medicare May 3, 2021. intention to use plants or facilities Improvements for Patients and ADDRESSES: Written comments and located at a different location than the Providers Act of 2008, as amended by recommendations for this information bidder’s or offeror’s address, the the Patient Protection and Affordable collection should be sent within 30 days provisions require that bidders or Care Act of 2010 and reauthorized by of publication of this notice to offerors provide the address(es) of the the American Taxpayer Relief Act of www.reginfo.gov/public/do/PRAMain. other place(s) of performance, along 2012 (ATRA), Protecting Access to Find this particular information with name and address of the owner Medicare Act of 2014, Medicare Access collection by selecting ‘‘Currently under and operator of such plant or facility (if and CHIP Reauthorization Act of 2015, Review—Open for Public Comments’’ or other than the bidder or offeror). Bipartisan Budget Act of 2018, by using the search function. The contracting officer uses the place Coronavirus Aid, Relief, and Economic Additionally, submit a copy to GSA of performance and the owner of the Security Act of 2020, and Consolidated through http://www.regulations.gov and plant or facility to— Appropriations Act of 2021. follow the instructions on the site. This (a) Determine prospective contractor Catalog of Federal Domestic website provides the ability to type responsibility; Assistance (CFDA) Number: 93.071. short comments directly into the (b) Determine price reasonableness; DATES: The deadline date for the comment field or attach a file for (c) Conduct plant or source submission of MIPPA Program State lengthier comments. inspections; and Plans is 11:59 p.m. EST June 1, 2021.
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Funding Opportunity Description II. Award Information designated state agencies) are eligible to apply. The Medicare Improvement for 1. Funding Instrument Type Priority Area 2—AAA: Only State Patients and Providers Act (MIPPA) These awards will be made in the Units on Aging (SUA) (or SUA- program supports states through grants form of grants to agencies for each designated state agencies) are eligible to to provide outreach and assistance to MIPPA Priority Area: Medicare beneficiaries with limited Priority Area 1—SHIP: Grants to state apply. incomes and assets to ensure the agencies (State Units on Aging or State Priority Area 3—ADRC: Only agencies beneficiaries have access to all Medicare Departments of Insurance) that that are established ADRCs who have related benefits available to them. administer the SHIP to provide received an ACL ADRC COVID grant (or MIPPA state grantees help educate enhanced outreach to eligible Medicare ADRC-designated state agencies) are Medicare beneficiaries about benefit beneficiaries regarding their preventive, eligible to apply. programs that help them pay for wellness, and limited income benefits; Eligibility may change if future Medicare including the Low-Income application assistance to individuals funding is available. Subsidy (LIS) program for Medicare Part who may be eligible for LIS or MSPs; D and the Medicare Savings Programs and outreach activities aimed at 2. Cost Sharing or Matching Is Not (MSPs). In addition, MIPPA grantees preventing disease and promoting Required provide education on Medicare wellness. 3. DUNS Number Preventive Services. MIPPA grantees Priority Area 2—AAA: Grants to state provide education through public agencies for AAA programs to provide All grant applicants must obtain and outreach while also providing one-on- enhanced outreach to eligible Medicare keep current a D–U–N–S number from one assistance to eligible Medicare beneficiaries regarding their preventive, Dun and Bradstreet. It is a nine-digit beneficiaries to help them access and wellness, and limited income benefits; identification number, which provides apply for benefit programs that help application assistance to individuals unique identifiers of single business lower the costs of their Medicare who may be eligible for LIS or MSPs; entities. The D–U–N–S number can be premiums and deductibles. and outreach activities aimed at obtained from: https://iupdate.dnb.com/ preventing disease and promoting MIPPA state funding is limited to iUpdate/viewiUpdateHome.htm. agencies eligible for MIPPA funding: wellness. Priority Area 3—ADRC: Aging and 4. Intergovernmental Review • Priority Area 1—State Health Disability Resource Center Programs Insurance Assistance Program (SHIP): (ADRC): Grants to agencies that are Executive Order 12372, State agencies (State Units on Aging established ADRCs to provide outreach Intergovernmental Review of Federal or State Departments of Insurance) regarding Medicare Part D benefits Programs, is not applicable to these that administer the SHIP related to LIS and MSPs, and conduct grant applications. • outreach activities aimed at preventing Priority Area 2—Area Agencies on IV. Submission Information Aging (AAAs): State agencies for disease and promoting wellness. AAAs 2. Anticipated Total Priority Area 1. Application Kits • Priority Area 3—Aging and Disability Funding per Budget Period Application Kits/Program Instructions Resource Center Programs (ADRC): ACL intends to make available, under are available at www.grantsolutions.gov. Agencies that are established ADRCs this program announcement, grant Instructions for completing the who have received an ACL ADRC awards for the three MIPPA priority application kit will be available on the COVID grant areas. Funding will be distributed site. ACL will accept only one application through a formula as identified in for each Priority Area per state. If an statute. The amounts allocated are based 2. Submission Dates and Times agency is eligible for more than one upon factors defined in statute and will To receive consideration, applications MIPPA Priority Area, the agency may be distributed to each priority area must be submitted by 11:59 p.m. Eastern based on the formula. ACL will fund combine their responses into one Time on June 1, 2021 through total project periods of up to one (1) comprehensive narrative which can be www.GrantSolutions.gov. submitted to each Priority Area year contingent upon availability of application. However, unique budget federal funds. VII. Agency Contacts documents and full application Priority Area 1—SHIP: $14.4 million packages for each Priority Area must in FY 2021 for state agencies that Direct inquiries regarding still be completed and submitted for administer the SHIP Program. programmatic issues to: Margaret each application. Priority Area 2—AAA: $13.9 million Flowers, Phone: 202.795.7315, Email: [email protected]. These funds will allow agencies to in FY 2021 for State Units on Aging for provide enhanced outreach to eligible Area Agencies on Aging. Dated: March 26, 2021. Priority Area 3—ADRC: $4.7 million Medicare beneficiaries regarding their Alison Barkoff, in FY 2020 for agencies that are preventive, wellness, and limited Acting Administrator and Assistant Secretary income benefits; application assistance established ADRCs who have received an ACL ADRC COVID grant. for Aging. to individuals who may be eligible for [FR Doc. 2021–06742 Filed 3–31–21; 8:45 am] LIS or MSPs; and outreach activities III. Eligibility Criteria and Other BILLING CODE 4154–01–P covering LIS, MSP, or aimed at Requirements preventing disease and promoting wellness. Applicant plans should go 1. Eligible Applicants for MIPPA State above and beyond those regular Grants activities planned in response to other Priority Area 1—SHIP: Only existing funding sources. SHIP grant recipients or (SHIP-
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DEPARTMENT OF HEALTH AND Developmental Disabilities Assistance (c) the quality, utility, and clarity of the HUMAN SERVICES and Bill of Rights Act and for information to be collected; (d) ways to monitoring and providing technical minimize the burden of the collection of Administration for Community Living assistance (e.g., during site visits), and information on respondents, including support for management decision through the use of automated collection Proposed Information Collection making. techniques, when appropriate, and other Activity; Public Comment Request; DATES: Submit written or electronic forms of information technology. Extension of a Currently Approved Consideration will only be given to Information Collection; State comments on the collection of information by June 1, 2021. comments and suggestions submitted Developmental Disabilities Council— within 60 days of this publication. ADDRESSES: Submit electronic Annual Program Performance Report To view and comment on the comments on the collection of (PPR) (OMB Control Number 0985– proposed State Councils on information to Sara.Newell-Perez@ 0033) Developmental Disabilities Annual acl.hhs.gov. AGENCY: Office on Intellectual and Program Performance Report, please Developmental Disabilities (OIDD), FOR FURTHER INFORMATION CONTACT: Sara visit the ACL public input page: https:// Administration for Community Living Newell-Perez at (202) 795–7413 or www.acl.gov/about-acl/policy-and- (ACL), Department of Health and [email protected]. regulations. Human Services (HHS). SUPPLEMENTARY INFORMATION: Under the ACL estimates the burden of this ACTION: Notice. PRA (44 U.S.C. 3501–3520), Federal collection of information as follows: agencies must obtain approval from the The total estimated hour burden per SUMMARY: The Administration for Office of Management and Budget respondent for the proposed DD Council Community Living (ACL) is announcing (OMB) for each collection of PPR is 172 burden hours per response. an opportunity for the public to information they conduct or sponsor. The number of hours to complete the comment on ACL’s intention to extend ‘‘Collection of information’’ includes PPR multiplied by 56 State Council the use of the current PPR data agency requests or requirements that programs, results in a total estimated collection necessary to determine members of the public submit reports, annual burden of 9,632. grantee compliance with Part B of the keep records, or provide information to The burden is reflective of Developmental Disabilities Assistance a third party. performance measures introduced in the and Bill of Rights Act of 2000 (DD Act). Section 3506(c)(2)(A) of the PRA FFY 2017–2021 state plan cycle. These Under the Paperwork Reduction Act of requires Federal agencies to provide a measures hone in on individual and 1995 (PRA), Federal agencies are 60-day notice in the Federal Register family advocacy, as well as systems required to publish a notice in the concerning each proposed collection of change advocacy. One example of these Federal Register concerning each information, including each proposed measures is a reporting of the number of proposed collection of information, extension or update of an existing promising and/or best practices including each proposed extension of an collection of information, before improved based on results of systems existing collection of information, and submitting the collection to OMB for change activities. The PPR is an to allow 60 days for public comment in approval. opportunity for Councils to report on response to the proposed action. This The proposed data collection the actual data and outcomes that notice solicits comments on a proposed represents extension of a currently resulted from carrying out the new State extension to an existing data collection approved information collection. In Plan activities. This extension was related to the State Councils on compliance with the requirements of the previously pilot tested by a Performance Developmental Disabilities (State PRA, the Administration on Community Measures Workgroup consisting of nine Councils) Annual Program Performance Living (ACL) is soliciting public (9) State Council representatives. This Report (PPR). On an annual basis, each comment on the information collection workgroup deemed the PPR necessary to Council must submit a PPR to describe described above. The Department accurately capture and report on the the extent to which annual progress is specifically requests comments on: (a) progress of the State Councils. A being achieved on the 5-year State plan Whether the proposed collection of separate workgroup consisting of nine goals. The PPR will be used by: (1) The information is necessary for the proper (9) different State Council Council as a planning document to track performance of the function of the representatives further discussed data progress made in meeting state plan agency, including whether the collection methodologies as it relates to goals; (2) the citizenry of the State as a information will have practical utility; the proposed PPR template. This PPR mechanism for monitoring progress and (b) the accuracy of the agency’s estimate offers a comprehensive categorization activities on the plans of the Council; of the burden of the proposed collection and approach to collecting data and (3) the Department as a stewardship of information, including the validity of necessary to report to Congress and tool for ensuring compliance with the the methodology and assumptions used; other interested entities.
Number of Responses per Hours per Annual burden Respondent/data collection activity respondents respondent response hours
State Councils on Developmental Disabilities Annual Program Perform- ance Report (PPR) ...... 56 1 172 9,632
Total ...... 56 1 172 9,632
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Dated: March 26, 2021. 20201, by email at Susan.Jenkins@ with families and friends unable to Alison Barkoff, acl.hhs.gov or by telephone at 202–795– assist loved ones due to the fear of Acting Administrator and Assistant Secretary 7369. spreading the virus, have left many for Aging. SUPPLEMENTARY INFORMATION: In older adults isolated and without the [FR Doc. 2021–06741 Filed 3–31–21; 8:45 am] compliance with 44 U.S.C. 3507, ACL programs and services they need to BILLING CODE 4154–01–P has submitted the following proposed remain living safely in the community. collection of information to OMB for The purpose of adding questions on review and clearance. The COVID–19 to the NSOAAP is to DEPARTMENT OF HEALTH AND Administration for Community Living measure the effect COVID–19 has had HUMAN SERVICES (ACL) is requesting approval to collect on older adults’ access to and use of data for the National Survey of Older Older Americans Act programs and Administration for Community Living Americans Act (OAA) Participants services during the past year. [OMB # 0985–0023] information collection to include The results of this information consumer assessment surveys for the collection will be used by ACL/AoA to: Agency Information Collection Congregate and Home-delivered meal • Provide refined national Activities; Submission for OMB nutrition programs; Case Management, benchmarks for use by states and AAAs. Review; Public Comment Request; Homemaker, and Transportation • Provide secondary data for analysis National Survey of Older Americans Services; and the National Family of various Title III program evaluations. Act Participants Caregiver Support Program. • Provide performance information This survey builds on earlier national AGENCY: Administration for Community for key demographic subgroups, pilot studies and surveys, as well as Living, HHS. geographical sub regions, and different performance measurement tools types of AAAs which will enable ACL/ ACTION: Notice. developed by ACL grantees in the AoA to identify variations in Performance Outcomes Measures SUMMARY: The Administration for performance and examine the need for Project (POMP). Changes identified as a Community Living is announcing that additional targeted technical assistance. the proposed collection of information result of these initiatives were • incorporated into the last data collection Provide secondary data for analysis listed above has been submitted to the of the effect of COVID–19 on access to Office of Management and Budget package that was approved by OMB and are included in this proposed extension and use of OAA programs and services (OMB) for review and clearance as among older adults that will be shared required under section 506(c)(2)(A) of of a currently approved collection. This information will be used by ACL to with states and AAAs to help structure the Paperwork Reduction Act of 1995. their programs and services in response This 30-Day notice collects comments track performance outcome measures; support budget requests; comply with to COVID-related changes. on the information collection The data will be used by the requirements related to the information the GPRA Modernization Act of 2010 (GPRMA) reporting requirements; Administrator of the Administration for collection requirements for consumer Community Living/Assistant Secretary assessment surveys used by ACL to provide national benchmark information; and inform program for Aging in testimony and measure program performance for presentations; it will be incorporated programs funded under Title III of the development and management initiatives. into the agency’s Annual Report; and it Older Americans Act. This notice will be used by program staff to identify solicits comments on a proposed In addition to the proposed extension of the existing collection of information, areas that may need attention at the revision of a currently approved national level. collection with the addition of a new ACL is requesting approval for a module Descriptions of previous National rotating module to the National Survey on COVID–19 to be added to the Surveys of OAA Participants can be of Older Americans Act Participants. currently approved NSOAAP data collection effort. This module supplants found under the section on OAA DATES: Submit written comments on the the module on Emergency Preparedness Performance Information on ACL’s collection of information by May 3, that was included in the 60-day FRN website at: https://acl.gov/programs/ 2021. due to the ongoing health crisis older performance-older-americans-act- ADDRESSES: Submit written comments adults are experiencing as a result of programs. Copies of the survey and recommendations for the proposed COVID–19. The Emergency instruments and data from previous information collection within 30 days of Preparedness module will be added to National Surveys of OAA Participants publication of this notice to the 2022 collection instrument. can be found and queried using the www.reginfo.gov/public/do/PRAMain. As part of a nationwide effort to slow Aging, Independence, and Disability Find the information collection by transmission of COVID–19, (AGID) Program Data Portal at http:// selecting ‘‘Currently under 30-day communities have closed locations such www.agid.acl.gov/. Review—Open for Public Comments’’ or as senior centers, adult day care centers, Comments in Response to the 60-Day by using the search function. By mail to and congregate meal facilities where Federal Register Notice the Office of Information and Regulatory many older adults received vital home- Affairs, OMB, New Executive Office and community-based services. In A notice published in the Federal Bldg., 725 17th St. NW, Rm. 10235, addition, many of the in-home services Register on Tuesday, November 17, Washington, DC 20503, Attn: OMB Desk that help older adults to remain in their 2020 in 85 FR No. 222 page 73273. Officer for ACL. homes, such as home-delivered meals, There were thirteen public comments FOR FURTHER INFORMATION CONTACT: homemaker services, and respite care received during the 60-day FRN, please Susan Jenkins, Administration for have been curtailed due to fear of see ACLs response to comment listed Community Living, Washington, DC spreading COVID–19. This, combined below.
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Topic/issue Comment ACL response
Food insecurity in older ‘‘We support the inclusion of the USDA module to pro- ACL concurs and plans to maintain the USDA module adults. vide national estimates of the rate of food insecurity and associated questions for the foreseeable future. among OAA program participants. We recommend this module be continuously included in future admin- istration of this survey.’’ Risk of malnutrition ...... ‘‘We suggest that ACL consider adding malnutrition ACL recognizes the importance of reducing and as- screening questions in addition to the USDA mod- sessing risk for malnutrition. However, further delib- ule’s food insecurity questions, such as: eration is needed to ensure that we select the most • Do you ever eat only one meal daily?’’ ...... appropriate and universally accepted language. ACL • Do limits on chewing, swallowing or physical mobility will call upon the expertise of a nutrition workgroup to ever prevent you from eating your home-delivered make recommendations to ACL on selecting the best meals, even though you may be hungry?’’ language to use. The workgroup’s recommendation • Do limits on chewing, swallowing or physical mobility will inform a redesign of future NSOAAP survey col- ever prevent you from getting to your local con- lection efforts. gregate meal site and eating your meal, even though you may be hungry?’’ Medically-tailored meals for ‘‘We suggest that ACL consider adding a question ACL recognizes the importance of capturing data on participants requiring spe- about the need for therapeutic diets or texture-modi- the capability of OAA nutrition programs to accom- cial diets. fied meals to better understand the needs of partici- modate special diets. ACL will call upon nutrition ex- pants as it relates to medically tailored meals.’’ perts to make recommendations and inform a rede- sign of future NSOAAP collection efforts. Ethnic and cultural barriers ‘‘We suggest that ACL consider including a question ACL recognizes that ethnic and cultural barriers may to communication and nu- about communication barriers to both the congregate affect participants in the nutrition programs. ACL will tritional preferences. and home-delivered meals modules, such as: call upon nutrition experts to make recommendations • Do you have language or cultural barriers to talking and inform a redesign of future NSOAAP collection with staff at your congregate meal site/your home de- efforts. livery staff? We also suggest that ACL consider adding a question ACL is considering a special topical module related to to both the congregate and home-delivered meals equity and underserved populations. modules about meals meeting cultural preferences. Nutrition counselor: Re- ‘‘SVC1(k) asks whether the respondent has access to a ACL recognizes ‘‘nutrition counselor’’ may offer subjec- phrase question to im- ‘‘nutrition counselor’’ who is providing dietary advice tive responses. However, respondents may not know prove clarity. based on the respondent’s condition, medications, if the qualifications of the person providing dietary and related factors. We question why the survey advice. ACL will call upon nutrition experts to make would not specify ‘‘a qualified nutrition professional recommendations and inform a redesign of future such as a registered dietitian’’ (or registered dietitian NSOAAP collection efforts. The use of terminology nutritionist), since these professionals are the most for this item will be tested. qualified to answer such questions. Moreover, in 28 states, only licensed professionals are legally eligible to provide such advice. The term ‘‘nutrition coun- selor’’ allows for substantial subjective interpretations, and could theoretically include food service staff or other program participants who may be providing such advice against state law.’’ Modify item response in nu- ‘‘We note that the survey asks about changes in meals, ACL concurs with this suggested change. The re- trition modules to include but almost all coding options for the interviewer are quested change has been made to the survey instru- positive as well as nega- about reductions or negative changes with few op- ment. tive changes. portunities for interviewers to code any positive changes reported by participants. In addition to cod- ing for both reductions and improvements in quality of the food, we recommend adding the corresponding ‘‘positive’’ option for all other codes.’’ Consistent language in ‘‘Ensure that consistent language is used to describe ACL recognizes that the language used to describe the meals program. the program, particularly for congregate or senior din- meals programs may need to be revised to be more ing meals. Some questions use the term ‘‘meals pro- consistent. ACL will call upon nutrition experts to gram’’ while others use the term ‘‘lunch program’’ or, make recommendations and inform a redesign of fu- generically, ‘‘this service’’, including CNR20–23 ture NSOAAP collection efforts. where three different terms are used across four con- The term ‘‘meals program’’ will be used at this time due secutive questions. This also applies to SVC1 ques- to the variety of food services during the COVID–19 tion in Additional Services module. We recommend pandemic. using the term ‘‘meals program’’ unless exclusively referring to lunch, as some programs serve breakfast or dinner meals rather than lunch meals.’’ Living independently ...... ‘‘SVC3 asks about continuing to ‘‘live independently’’ ACL concurs with this suggested change. The re- vs. ‘‘living at home’’ (as they do in CS15, CNR23, quested change has been made to the survey instru- HNR28, HC9 and TR20). The terminology ‘‘living ment. independently’’ is preferred. Simply continuing to live ‘‘at home’’ does not mean that the person is living independently, is living in their own home (vs that of a relative), or has autonomy over where he or she lives.’’
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Topic/issue Comment ACL response
Context of ‘‘secure’’ ...... ‘‘SVC3(b) should be more specific with regard to the The question refers to how participants feel about addi- context of ‘‘secure.’’ We are unsure whether the con- tional services that they or their care recipient re- text is financial, food-based, or related to physical ceive. ACL recognizes that the use of the word ‘‘se- safety.’’ cure’’ may be ambiguous. ACL will call upon experts in the aging network to make recommendations to in- form a redesign of future NSOAAP collection efforts. Multiple meals ...... ‘‘HNR5 should be re-phrased to reflect the fact that ACL recognizes that the question may need to be many HDM clients receive more than one meal and modified. ACL will call upon nutrition experts to make may consume multiple HDMs in a day.’’ recommendations and inform a redesign of future NSOAAP collection efforts. Care recipients under age The 2020 reauthorization of OAA allows ‘‘individuals liv- While ACL recognizes the value of collecting data on 60 with dementia. ing with dementia under the age of 60 to access cer- care recipients of the NFCSP who are under 60, that tain OAA supports like nutritional services and respite is not the focus of the NSOAAP. The focus of the care through the National Family Caregiver Support NSOAAP is the service recipients, that is, the care- program. We respectfully request that ACL analyze givers. the data collected on these younger individuals and the services they receive so that those services can be tailored and improved.’’ Emergency preparedness .... The advocacy organizations ‘‘support ACL’s request to ACL is not going to add this module for the 2021 ad- add an emergency preparedness module to the sur- ministration but still plans to use it in the future. vey. . .’’ Question on participant sex ‘‘I encourage the modification of the questions about In order to improve demographic data collection related (gender identity). participant sex to include response options (which to the LGBT community, ACL is supporting the are recorded but not verbally offered as options) to Measuring Sex, Gender Identity, and Sexual Orienta- include ‘‘transgender’’ and or ‘‘other’’ with a write-in tion for the National Institutes of Health an ad hoc option. panel of the National Academies of Sciences, Engi- The questions this relates to are: DE1 (DEGENDR); neering, and Medicine which will review current CGC (CGPMF); CG83 (CGPMF)—both of the last measures and the methodological issues related to have the same variable labels and this should be measuring sex as a non-binary construct, gender corrected in the survey construction.’’ identity, and sexual orientation. The panel will produce a consensus report which is expected in De- cember 2021. ACL will use the report as a foundation for testing new survey questions and administrative data elements. The variable label in the survey instrument for CGPMF was corrected to RGENDER.
Estimated Program Burden ACL estimates the burden associated with this collection of information as follows:
Number of Responses per Hours per Annual burden Annual burden Respondent/data collection activity respondents respondent response hours Cost per hour (cost)
Area Agency on Aging: Respondent se- 350 1 4.0...... 1,400 $44...... $61,600 lection process. Service Recipients (i.e., Congregate 4,400 1 .75...... 3,300 $25...... 82,500 and Home-delivered meal nutrition programs; Case Management, Homemaker, and Transportation Services) + Rotating Module. National Family Caregiver Support Pro- 2,200 1 .75...... 1,650 $25...... 41,250 gram Clients + Rotating Module.
Total ...... 6,950 1 .914 (weighted 6,350 Varies ...... 185,350 mean).
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Dated: March 26, 2021. Substances Prohibited From Use in impose conditions if a request is Alison Barkoff, Animal Food or Feed—21 CFR Part 589 granted. Section 589.2001(f) further states that countries designated under Acting Administrator and Assistant Secretary OMB Control Number 0910–0627— that section will be subject to our future for Aging. Extension [FR Doc. 2021–06740 Filed 3–31–21; 8:45 am] review to determine whether their This information collection supports designations remain appropriate. As BILLING CODE 4154–01–P Agency regulations regarding substances part of this process, we may ask prohibited from use in animal food or designated countries from time to time feed. Bovine spongiform to confirm that their BSE situation and DEPARTMENT OF HEALTH AND encephalopathy (BSE) is a progressive HUMAN SERVICES the information submitted by them in and fatal neurological disorder of cattle support of their original application that results from an unconventional Food and Drug Administration remains unchanged. We may revoke a transmissible agent. BSE belongs to the country’s designation if we determine family of diseases known as that it is no longer appropriate. [Docket No. FDA–2013–N–0520] transmissible spongiform Therefore, designated countries may encephalopathies (TSEs). All TSEs respond to our periodic requests by Agency Information Collection affect the central nervous system of Activities; Submission for Office of submitting information to confirm their infected animals. Our regulation at designations remain appropriate. We Management and Budget Review; § 589.2001 (21 CFR 589.2001), entitled use the information to ensure their Comment Request; Substances ‘‘Cattle materials prohibited in animal designations remain appropriate. Prohibited From Use in Animal Food or food or feed to prevent the transmission Recordkeeping: Renderers that Feed of bovine spongiform encephalopathy,’’ receive, manufacture, process, blend, or is designed to further strengthen distribute CMPAF, or products that AGENCY: Food and Drug Administration, existing safeguards against the contain or may contain CMPAF, must HHS. establishment and amplification of BSE take measures to ensure that the in the United States through animal ACTION: Notice. materials are not introduced into animal feed. The regulation prohibits the use of feed, including maintaining adequate certain cattle origin materials in the written procedures specifying how such SUMMARY: The Food and Drug food or feed of all animals. These processes are to be carried out Administration (FDA) is announcing materials are referred to as ‘‘cattle (§ 589.2001(c)(2)(ii)). Renderers that that a proposed collection of materials prohibited in animal feed’’ or receive, manufacture, process, blend, or information has been submitted to the CMPAF. Office of Management and Budget Under § 589.2001, no animal feed or distribute CMPAF are required to (OMB) for review and clearance under feed ingredient can contain CMPAF. As establish and maintain records the Paperwork Reduction Act of 1995. a result, we impose requirements on sufficient to track the CMPAF to ensure renderers of specifically defined cattle that they are not introduced into animal DATES: Submit written comments materials, including reporting and feed (§ 589.2001(c)(2)(vi)). (including recommendations) on the recordkeeping requirements. For Renderers that receive, manufacture, collection of information by May 3, purposes of the regulation, we define a process, blend, or distribute any cattle 2021. renderer as any firm or individual that materials must establish and maintain processes slaughter byproducts; animals records sufficient to demonstrate that ADDRESSES: To ensure that comments on unfit for human consumption, including material rendered for use in animal feed the information collection are received, carcasses of dead cattle; or meat scraps. was not manufactured from, processed OMB recommends that written Reporting and recordkeeping with, or does not otherwise contain, comments be submitted to https:// requirements are necessary because CMPAF (§ 589.2001(c)(3)(i)). www.reginfo.gov/public/do/PRAMain. once materials are separated from an Renderers that receive, manufacture, Find this particular information animal it may not be possible, without process, blend, or distribute any cattle collection by selecting ‘‘Currently under records, to know whether the cattle materials must, if these materials were Review—Open for Public Comments’’ or material meets the requirements of our obtained from an establishment that by using the search function. The OMB regulation. segregates CMPAF from other materials, control number for this information Reporting: Under our regulations, we establish and maintain records to collection is 0910–0627. Also include may designate a country from which demonstrate that the supplier has the FDA docket number found in cattle materials are not considered adequate procedures in place to brackets in the heading of this CMPAF. Section 589.2001(f) provides effectively exclude CMPAF from any document. that a country seeking to be so materials supplied (§ 589.2001(c)(3)(i)). designated must send a written request Records will meet this requirement if FOR FURTHER INFORMATION CONTACT: Ila to the Director of the Center for they include either: (1) Certification or S. Mizrachi, Office of Operations, Food Veterinary Medicine. The country is other documentation from the supplier and Drug Administration, Three White required to submit information about its that materials supplied do not include Flint North, 10A–12M, 11601 BSE case history, risk factors, measures CMPAF (§ 589.2001(c)(3)(i)(A)), or (2) Landsdown St., North Bethesda, MD to prevent the introduction and documentation of another method 20852, 301–796–7726, PRAStaff@ transmission of BSE, and any other acceptable to FDA, such as third-party fda.hhs.gov. information relevant to determining certification (§ 589.2001(c)(3)(i)(B)). whether the cattle materials from the Description of Respondents: SUPPLEMENTARY INFORMATION: In requesting country do or do not meet Respondents to this information compliance with 44 U.S.C. 3507, FDA the definitions set forth in collection include rendering facilities, has submitted the following proposed § 589.2001(b)(1). We use the feed manufacturers, livestock feeders, collection of information to OMB for information to determine whether to and foreign governments seeking review and clearance. grant a request for designation and to designation under § 589.2001(f).
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In the Federal Register of December comment on the proposed collection of FDA estimates the burden of this 17, 2020 (85 FR 81930), FDA published information. No comments were collection of information as follows: a 60-day notice requesting public received.
TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1
Number of Average 21 CFR part Number of responses per Total annual burden per Total hours respondents respondent responses response
589.2001(f); request for designation ...... 1 1 1 80 80 589.2001(f); response to request for review by FDA ...... 1 1 1 26 26
Total ...... 106 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
TABLE 2—ESTIMATED ANNUAL RECORDKEEPING BURDEN 1
Number of Average 21 CFR part Number of records per Total annual burden per Total hours recordkeepers recordkeeper records recordkeeping
589.2001(c)(2)(ii); maintain written procedures ...... 50 1 50 20 1,000 589.2001(c)(2)(vi) and (c)(3)(i); maintain records ...... 175 1 175 20 3,500 589.2001(c)(3)(i)(A) and (B); certification or documentation from the supplier ...... 175 1 175 26 4,550
Total ...... 9,050 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
Based on a review of the information DATES: Anyone with knowledge that any the docket unchanged. Because your collection since our last request for of the dates as published (see comment will be made public, you are OMB approval, we have made no SUPPLEMENTARY INFORMATION) are solely responsible for ensuring that your adjustments to our burden estimate. incorrect may submit either electronic comment does not include any Dated: March 26, 2021. or written comments and ask for a confidential information that you or a Lauren K. Roth, redetermination by June 1, 2021. third party may not wish to be posted, Furthermore, any interested person may such as medical information, your or Acting Principal Associate Commissioner for Policy. petition FDA for a determination anyone else’s Social Security number, or regarding whether the applicant for confidential business information, such [FR Doc. 2021–06706 Filed 3–31–21; 8:45 am] extension acted with due diligence as a manufacturing process. Please note BILLING CODE 4164–01–P during the regulatory review period by that if you include your name, contact September 28, 2021. See ‘‘Petitions’’ in information, or other information that DEPARTMENT OF HEALTH AND the SUPPLEMENTARY INFORMATION section identifies you in the body of your HUMAN SERVICES for more information. comments, that information will be ADDRESSES: You may submit comments posted on https://www.regulations.gov. Food and Drug Administration as follows. Please note that late, • If you want to submit a comment untimely filed comments will not be with confidential information that you [Docket No. FDA–2020–E–1314] considered. Electronic comments must do not wish to be made available to the Determination of Regulatory Review be submitted on or before June 1, 2021. public, submit the comment as a Period for Purposes of Patent The https://www.regulations.gov written/paper submission and in the Extension; IBSRELA electronic filing system will accept manner detailed (see ‘‘Written/Paper comments until 11:59 p.m. Eastern Time Submissions’’ and ‘‘Instructions’’). AGENCY: Food and Drug Administration, at the end of June 1, 2021. Comments HHS. received by mail/hand delivery/courier Written/Paper Submissions ACTION: Notice. (for written/paper submissions) will be Submit written/paper submissions as considered timely if they are follows: SUMMARY: The Food and Drug postmarked or the delivery service • Administration (FDA or the Agency) has acceptance receipt is on or before that Mail/Hand d89.pelivery/Courier determined the regulatory review period date. (for written/paper submissions): Dockets for IBSRELA and is publishing this Management Staff (HFA–305), Food and notice of that determination as required Electronic Submissions Drug Administration, 5630 Fishers by law. FDA has made the Submit electronic comments in the Lane, Rm. 1061, Rockville, MD 20852. determination because of the following way: • For written/paper comments submission of an application to the • Federal eRulemaking Portal: submitted to the Dockets Management Director of the U.S. Patent and https://www.regulations.gov. Follow the Staff, FDA will post your comment, as Trademark Office (USPTO), Department instructions for submitting comments. well as any attachments, except for of Commerce, for the extension of a Comments submitted electronically, information submitted, marked and patent which claims that human drug including attachments, to https:// identified, as confidential, if submitted product. www.regulations.gov will be posted to as detailed in ‘‘Instructions.’’
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Instructions: All submissions received SUPPLEMENTARY INFORMATION: IBSRELA is 3,219 days. Of this time, must include the Docket No. FDA– 2,853 days occurred during the testing I. Background 2020–E–1314 for ‘‘Determination of phase of the regulatory review period, Regulatory Review Period for Purposes The Drug Price Competition and while 366 days occurred during the of Patent Extension; IBSRELA.’’ Patent Term Restoration Act of 1984 approval phase. These periods of time Received comments, those filed in a (Pub. L. 98–417) and the Generic were derived from the following dates: timely manner (see ADDRESSES), will be Animal Drug and Patent Term 1. The date an exemption under placed in the docket and, except for Restoration Act (Pub. L. 100–670) section 505(i) of the Federal Food, Drug, those submitted as ‘‘Confidential generally provide that a patent may be and Cosmetic Act (FD&C Act) (21 U.S.C. Submissions,’’ publicly viewable at extended for a period of up to 5 years 355(i)) became effective: November 21, https://www.regulations.gov or at the so long as the patented item (human 2010. The applicant claims November Dockets Management Staff between 9 drug product, animal drug product, 20, 2010, as the date the investigational a.m. and 4 p.m., Monday through medical device, food additive, or color new drug application (IND) became Friday, 240–402–7500. additive) was subject to regulatory effective. However, FDA records • Confidential Submissions—To review by FDA before the item was indicate that the IND effective date was submit a comment with confidential marketed. Under these acts, a product’s November 21, 2010, which was 30 days information that you do not wish to be regulatory review period forms the basis after FDA receipt of the IND. made publicly available, submit your for determining the amount of extension 2. The date the application was comments only as a written/paper an applicant may receive. initially submitted with respect to the submission. You should submit two A regulatory review period consists of human drug product under section copies total. One copy will include the two periods of time: A testing phase and 505(b) of the FD&C Act or section 351 information you claim to be confidential an approval phase. For human drug of the Public Health Service Act: products, the testing phase begins when with a heading or cover note that states September 12, 2018. FDA has verified the exemption to permit the clinical ‘‘THIS DOCUMENT CONTAINS the applicant’s claim that the new drug investigations of the drug becomes CONFIDENTIAL INFORMATION.’’ The application (NDA) for IBSRELA (NDA effective and runs until the approval Agency will review this copy, including 211801) was initially submitted on phase begins. The approval phase starts the claimed confidential information, in September 12, 2018. with the initial submission of an its consideration of comments. The 3. The date the application was application to market the human drug second copy, which will have the approved: September 12, 2019. FDA has product and continues until FDA grants claimed confidential information verified the applicant’s claim that NDA permission to market the drug product. redacted/blacked out, will be available 211801 was approved on September 12, Although only a portion of a regulatory for public viewing and posted on 2019. review period may count toward the This determination of the regulatory https://www.regulations.gov. Submit actual amount of extension that the review period establishes the maximum both copies to the Dockets Management Director of USPTO may award (for potential length of a patent extension. Staff. If you do not wish your name and example, half the testing phase must be However, the USPTO applies several contact information to be made publicly subtracted as well as any time that may statutory limitations in its calculations available, you can provide this have occurred before the patent was of the actual period for patent extension. information on the cover sheet and not issued), FDA’s determination of the In its application for patent extension, in the body of your comments and you length of a regulatory review period for this applicant seeks 1,272 days of patent must identify this information as a human drug product will include all term extension. ‘‘confidential.’’ Any information marked of the testing phase and approval phase as ‘‘confidential’’ will not be disclosed III. Petitions as specified in 35 U.S.C. 156(g)(1)(B). except in accordance with § 10.20 (21 FDA has approved for marketing the Anyone with knowledge that any of CFR 10.20) and other applicable human drug product, IBSRELA the dates as published are incorrect may disclosure law. For more information (tenapanor hydrochloride). IBSRELA is submit either electronic or written about FDA’s posting of comments to indicated for treatment of irritable comments and, under 21 CFR 60.24, ask public dockets, see 80 FR 56469, bowel syndrome with constipation in for a redetermination (see DATES). September 18, 2015, or access the adults. Subsequent to this approval, the Furthermore, as specified in § 60.30 (21 information at: https:// USPTO received a patent term CFR 60.30), any interested person may www.govinfo.gov/content/pkg/FR-2015- restoration application for IBSRELA petition FDA for a determination 09-18/pdf/2015-23389.pdf. (U.S. Patent No. 8,541,448) from regarding whether the applicant for Docket: For access to the docket to Ardelyx, Inc., and the USPTO requested extension acted with due diligence read background documents or the FDA’s assistance in determining the during the regulatory review period. To electronic and written/paper comments patent’s eligibility for patent term meet its burden, the petition must received, go to https:// restoration. In a letter dated May 26, comply with all the requirements of www.regulations.gov and insert the 2020, FDA advised the USPTO that this § 60.30, including but not limited to: docket number, found in brackets in the human drug product had undergone a Must be timely (see DATES), must be heading of this document, into the regulatory review period and that the filed in accordance with § 10.20, must ‘‘Search’’ box and follow the prompts approval of IBSRELA represented the contain sufficient facts to merit an FDA and/or go to the Dockets Management first permitted commercial marketing or investigation, and must certify that a Staff, 5630 Fishers Lane, Rm. 1061, use of the product. Thereafter, the true and complete copy of the petition Rockville, MD 20852, 240–402–7500. USPTO requested that FDA determine has been served upon the patent FOR FURTHER INFORMATION CONTACT: the product’s regulatory review period. applicant. (See H. Rept. 857, part 1, 98th Beverly Friedman, Office of Regulatory Cong., 2d sess., pp. 41–42, 1984.) Policy, Food and Drug Administration, II. Determination of Regulatory Review Petitions should be in the format 10903 New Hampshire Ave., Bldg. 51, Period specified in 21 CFR 10.30. Rm. 6250, Silver Spring, MD 20993, FDA has determined that the Submit petitions electronically to 301–796–3600. applicable regulatory review period for https://www.regulations.gov at Docket
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No. FDA–2013–S–0610. Submit written gain approval of a new drug application (mesoridazine besylate) tablets, 10 mg, petitions (two copies are required) to the (NDA). 25 mg, 50 mg, and 100 mg, were Dockets Management Staff (HFA–305), The 1984 amendments include what withdrawn for reasons of safety or Food and Drug Administration, 5630 is now section 505(j)(7) of the Federal effectiveness. We have carefully Fishers Lane, Rm. 1061, Rockville, MD Food, Drug, and Cosmetic Act (21 U.S.C. reviewed our files for records 20852. 355(j)(7)), which requires FDA to concerning the withdrawal of publish a list of all approved drugs. Dated: March 26, 2021. SERENTIL (mesoridazine besylate) FDA publishes this list as part of the tablets, 10 mg, 25 mg, 50 mg, and 100 Lauren K. Roth, ‘‘Approved Drug Products With mg, from sale. We have also Acting Principal Associate Commissioner for Therapeutic Equivalence Evaluations,’’ independently evaluated relevant Policy. which is known generally as the literature and data for possible [FR Doc. 2021–06693 Filed 3–31–21; 8:45 am] ‘‘Orange Book.’’ Under FDA regulations, postmarketing adverse events. We have BILLING CODE 4164–01–P drugs are removed from the list if the reviewed the available evidence and Agency withdraws or suspends determined that this drug product was approval of the drug’s NDA or ANDA not withdrawn from sale for reasons of DEPARTMENT OF HEALTH AND for reasons of safety or effectiveness or safety or effectiveness. HUMAN SERVICES if FDA determines that the listed drug Accordingly, the Agency will Food and Drug Administration was withdrawn from sale for reasons of continue to list SERENTIL safety or effectiveness (21 CFR 314.162). (mesoridazine besylate) tablets, 10 mg, [Docket No. FDA–2020–P–1881] A person may petition the Agency to 25 mg, 50 mg, and 100 mg, in the determine, or the Agency may ‘‘Discontinued Drug Product List’’ Determination That SERENTIL determine on its own initiative, whether section of the Orange Book. The (Mesoridazine Besylate) Tablets, 10 a listed drug was withdrawn from sale ‘‘Discontinued Drug Product List’’ Milligrams, 25 Milligrams, 50 for reasons of safety or effectiveness. delineates, among other items, drug Milligrams, and 100 Milligrams, Were This determination may be made at any products that have been discontinued Not Withdrawn From Sale for Reasons time after the drug has been withdrawn from marketing for reasons other than of Safety or Effectiveness from sale, but must be made prior to safety or effectiveness. ANDAs that refer approving an ANDA that refers to the AGENCY: Food and Drug Administration, to SERENTIL (mesoridazine besylate) listed drug (§ 314.161 (21 CFR 314.161)). HHS. tablets, 10 mg, 25 mg, 50 mg, and 100 FDA may not approve an ANDA that mg, may be approved by the Agency as ACTION: Notice. does not refer to a listed drug. long as they meet all other legal and SUMMARY: The Food and Drug SERENTIL (mesoridazine besylate) regulatory requirements for the approval Administration (FDA, the Agency, or tablets, 10 mg, 25 mg, 50 mg, and 100 of ANDAs. If FDA determines that we) has determined that SERENTIL mg, are the subject of NDA 16774, held labeling for this drug product should be (mesoridazine besylate) tablets, 10 by Norvartis Pharmaceuticals revised to meet current standards, the milligrams (mg), 25 mg, 50 mg, and 100 Corporation, and initially approved on Agency will advise ANDA applicants to mg, were not withdrawn from sale for February 27, 1970. SERENTIL is submit such labeling. indicated for the management of reasons of safety or effectiveness. This Dated: March 29, 2021. schizophrenic patients who fail to determination will allow FDA to Lauren K. Roth, respond adequately to treatment with approve abbreviated new drug Acting Principal Associate Commissioner for applications (ANDAs) for mesoridazine other antipsychotic drugs. In a letter dated September 9, 2008, Policy. besylate tablets, 10 mg, 25 mg, 50 mg, Novartis Pharmaceuticals Corporation [FR Doc. 2021–06722 Filed 3–31–21; 8:45 am] and 100 mg, if all other legal and requested withdrawal of NDA 16774 for BILLING CODE 4164–01–P regulatory requirements are met. SERENTIL (mesoridazine besylate) FOR FURTHER INFORMATION CONTACT: tablets, 10 mg, 25 mg, 50 mg, and 100 DEPARTMENT OF HEALTH AND Ayako Sato, Center for Drug Evaluation mg. In the Federal Register of February HUMAN SERVICES and Research, Food and Drug 22, 2018 (83 FR 7738), FDA announced Administration, 10903 New Hampshire that it was withdrawing approval of Food and Drug Administration Ave., Bldg. 51, Rm. 6206, Silver Spring, NDA 16774, effective March 26, 2018. MD 20993–0002, 240–402–4191, The Weinberg Group submitted a [Docket No. FDA–2021–N–0289] [email protected]. citizen petition dated September 15, SUPPLEMENTARY INFORMATION: In 1984, 2020 (Docket No. FDA–2020–P–1881), Determination That CUTIVATE Congress enacted the Drug Price under 21 CFR 10.30, requesting that the (Fluticasone Propionate) Ointment, Competition and Patent Term Agency determine whether SERENTIL 0.005 Percent, Was Not Withdrawn Restoration Act of 1984 (Pub. L. 98–417) (mesoridazine besylate) tablets, 10 mg, From Sale for Reasons of Safety or (the 1984 amendments), which 25 mg, 50 mg, and 100 mg, were Effectiveness authorized the approval of duplicate withdrawn from sale for reasons of AGENCY: Food and Drug Administration, versions of drug products under an safety or effectiveness. HHS. ANDA procedure. ANDA applicants After considering the citizen petition ACTION: Notice. must, with certain exceptions, show that and reviewing Agency records and the drug for which they are seeking based on the information we have at this SUMMARY: The Food and Drug approval contains the same active time, FDA has determined under Administration (FDA or Agency) has ingredient in the same strength and § 314.161 that SERENTIL (mesoridazine determined that CUTIVATE (fluticasone dosage form as the ‘‘listed drug,’’ which besylate) tablets, 10 mg, 25 mg, 50 mg, propionate) ointment, 0.005 percent, is a version of the drug that was and 100 mg, were not withdrawn for was not withdrawn from sale for reasons previously approved. ANDA applicants reasons of safety or effectiveness. The of safety or effectiveness. This do not have to repeat the extensive petitioner has identified no data or other determination means that FDA will not clinical testing otherwise necessary to information suggesting that SERENTIL begin procedures to withdraw approval
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of abbreviated new drug applications manifestations of corticosteroid- DEPARTMENT OF HEALTH AND (ANDAs) that refer to this drug product, responsive dermatoses in adult patients. HUMAN SERVICES and it will allow FDA to continue to CUTIVATE (fluticasone propionate) approve ANDAs that refer to the ointment, 0.005 percent, is currently Food and Drug Administration product as long as they meet relevant listed in the ‘‘Discontinued Drug [Docket Nos. FDA–2019–E–3183 and FDA– legal and regulatory requirements. Product List’’ section of the Orange 2019–E–3184] FOR FURTHER INFORMATION CONTACT: Book. Heather Dorsey, Center for Drug BF Innovation Inc., acting on behalf of Determination of Regulatory Review Evaluation and Research, Food and Bright Future Pharmaceutical Period for Purposes of Patent Drug Administration, 10903 New Laboratories Limited, submitted a Extension; TPOXX Hampshire Ave., Bldg. 51, Rm. 6220, citizen petition dated November 2, 2020 (Docket No. FDA–2020–P–2146), under AGENCY: Food and Drug Administration, Silver Spring, MD 20993–0002, 301– HHS. 796–3600, [email protected]. 21 CFR 10.30, requesting that the Agency determine whether CUTIVATE ACTION: Notice. SUPPLEMENTARY INFORMATION: In 1984, (fluticasone propionate) ointment, 0.005 Congress enacted the Drug Price SUMMARY: The Food and Drug percent, was withdrawn from sale for Competition and Patent Term Administration (FDA or Agency) has reasons of safety or effectiveness. determined the regulatory review period Restoration Act of 1984 (Pub. L. 98–417) After considering the citizen petition for TPOXX and is publishing this notice (the 1984 amendments), which and reviewing Agency records and of that determination as required by authorized the approval of duplicate based on the information we have at this law. FDA has made the determination versions of drug products under an time, FDA has determined under because of the submission of ANDA procedure. ANDA applicants § 314.161 that CUTIVATE (fluticasone applications to the Director of the U.S. must, with certain exceptions, show that propionate) ointment, 0.005 percent, Patent and Trademark Office (USPTO), the drug for which they are seeking was not withdrawn for reasons of safety Department of Commerce, for the approval contains the same active or effectiveness. The petitioner has extension of a patent which claims that ingredient in the same strength and identified no data or other information human drug product. dosage form as the ‘‘listed drug,’’ which suggesting that this drug product was is a version of the drug that was withdrawn for reasons of safety or DATES: Anyone with knowledge that any previously approved. ANDA applicants effectiveness. We have carefully of the dates as published (see the do not have to repeat the extensive reviewed our files for records SUPPLEMENTARY INFORMATION section) are clinical testing otherwise necessary to concerning the withdrawal of incorrect may submit either electronic gain approval of a new drug application CUTIVATE (fluticasone propionate) or written comments and ask for a (NDA). ointment, 0.005 percent, from sale. We redetermination by June 1, 2021. The 1984 amendments include what have also independently evaluated Furthermore, any interested person may is now section 505(j)(7) of the Federal relevant literature and data for possible petition FDA for a determination Food, Drug, and Cosmetic Act (21 U.S.C. postmarketing adverse events. We have regarding whether the applicant for 355(j)(7)), which requires FDA to found no information that would extension acted with due diligence publish a list of all approved drugs. indicate that this drug product was during the regulatory review period by FDA publishes this list as part of the withdrawn from sale for reasons of September 28, 2021. See ‘‘Petitions’’ in ‘‘Approved Drug Products With safety or effectiveness. the SUPPLEMENTARY INFORMATION section Therapeutic Equivalence Evaluations,’’ Accordingly, the Agency will for more information. which is known generally as the continue to list CUTIVATE (fluticasone ADDRESSES: You may submit comments ‘‘Orange Book.’’ Under FDA regulations, propionate) ointment, 0.005 percent, in as follows. Please note that late, drugs are removed from the list if the the ‘‘Discontinued Drug Product List’’ untimely filed comments will not be Agency withdraws or suspends section of the Orange Book. The considered. Electronic comments must approval of the drug’s NDA or ANDA ‘‘Discontinued Drug Product List’’ be submitted on or before June 1, 2021. for reasons of safety or effectiveness or delineates, among other items, drug The https://www.regulations.gov if FDA determines that the listed drug products that have been discontinued electronic filing system will accept was withdrawn from sale for reasons of from marketing for reasons other than comments until 11:59 p.m. Eastern Time safety or effectiveness (21 CFR 314.162). safety or effectiveness. FDA will not at the end of June 1, 2021. Comments A person may petition the Agency to begin procedures to withdraw approval received by mail/hand delivery/courier determine, or the Agency may of approved ANDAs that refer to this (for written/paper submissions) will be determine on its own initiative, whether drug product. Additional ANDAs for considered timely if they are a listed drug was withdrawn from sale this drug product may also be approved postmarked or the delivery service for reasons of safety or effectiveness. by the Agency as long as they meet all acceptance receipt is on or before that This determination may be made at any other legal and regulatory requirements date. time after the drug has been withdrawn for the approval of ANDAs. If FDA Electronic Submissions from sale, but must be made prior to determines that labeling for this drug approving an ANDA that refers to the product should be revised to meet Submit electronic comments in the listed drug (§ 314.161 (21 CFR 314.161)). current standards, the Agency will following way: • Federal eRulemaking Portal: FDA may not approve an ANDA that advise ANDA applicants to submit such https://www.regulations.gov. Follow the does not refer to a listed drug. labeling. CUTIVATE (fluticasone propionate) instructions for submitting comments. ointment, 0.005 percent, is the subject of Dated: March 29, 2021. Comments submitted electronically, NDA 019957, held by Fougera Lauren K. Roth, including attachments, to https:// Pharmaceuticals, Inc., and initially Acting Principal Associate Commissioner for www.regulations.gov will be posted to approved on December 14, 1990. Policy. the docket unchanged. Because your CUTIVATE is indicated for the relief of [FR Doc. 2021–06721 Filed 3–31–21; 8:45 am] comment will be made public, you are the inflammatory and pruritic BILLING CODE 4164–01–P solely responsible for ensuring that your
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comment does not include any both copies to the Dockets Management actual amount of extension that the confidential information that you or a Staff. If you do not wish your name and Director of USPTO may award (for third party may not wish to be posted, contact information to be made publicly example, half the testing phase must be such as medical information, your or available, you can provide this subtracted as well as any time that may anyone else’s Social Security number, or information on the cover sheet and not have occurred before the patent was confidential business information, such in the body of your comments and you issued), FDA’s determination of the as a manufacturing process. Please note must identify this information as length of a regulatory review period for that if you include your name, contact ‘‘confidential.’’ Any information marked a human drug product will include all information, or other information that as ‘‘confidential’’ will not be disclosed of the testing phase and approval phase identifies you in the body of your except in accordance with § 10.20 (21 as specified in 35 U.S.C. 156(g)(1)(B). comments, that information will be CFR 10.20) and other applicable FDA has approved for marketing the posted on https://www.regulations.gov. disclosure law. For more information human drug product TPOXX • If you want to submit a comment about FDA’s posting of comments to (tecovirimat monohydrate). TPOXX is with confidential information that you public dockets, see 80 FR 56469, indicated for treatment of human do not wish to be made available to the September 18, 2015, or access the smallpox disease in adults and pediatric public, submit the comment as a information at: https:// patients weighing at least 13 kilograms. written/paper submission and in the www.govinfo.gov/content/pkg/FR-2015- Limitations of Use: manner detailed (see ‘‘Written/Paper 09-18/pdf/2015-23389.pdf. • The effectiveness of TPOXX for Submissions’’ and ‘‘Instructions’’). Docket: For access to the docket to treatment of smallpox disease has not Written/Paper Submissions read background documents or the been determined in humans because electronic and written/paper comments Submit written/paper submissions as adequate and well-controlled field trials received, go to https:// have not been feasible, and inducing follows: www.regulations.gov and insert the • Mail/Hand delivery/Courier (for smallpox disease in humans to study docket number, found in brackets in the written/paper submissions): Dockets the drug’s efficacy is not ethical. heading of this document, into the • Management Staff (HFA–305), Food and TPOXX efficacy may be reduced in ‘‘Search’’ box and follow the prompts Drug Administration, 5630 Fishers immunocompromised patients based on and/or go to the Dockets Management Lane, Rm. 1061, Rockville, MD 20852. studies demonstrating reduced efficacy • For written/paper comments Staff, 5630 Fishers Lane, Rm. 1061, in immunocompromised animal submitted to the Dockets Management Rockville, MD 20852, 240–402–7500. models. Staff, FDA will post your comment, as FOR FURTHER INFORMATION CONTACT: Subsequent to this approval, the well as any attachments, except for Beverly Friedman, Office of Regulatory USPTO received a patent term information submitted, marked and Policy, Food and Drug Administration, restoration application for TPOXX (U.S. identified, as confidential, if submitted 10903 New Hampshire Ave., Bldg. 51, Patent Nos. 7,737,168 and 8,124,643) as detailed in ‘‘Instructions.’’ Rm. 6250, Silver Spring, MD 20993, from SIGA Technologies, Inc., and the Instructions: All submissions received 301–796–3600. USPTO requested FDA’s assistance in must include the Docket Nos. FDA– SUPPLEMENTARY INFORMATION: determining the patent’s eligibility for 2019–E–3183 and FDA–2019–E–3184 patent term restoration. In a letter dated for ‘‘Determination of Regulatory I. Background October 29, 2019, FDA advised the Review Period for Purposes of Patent The Drug Price Competition and USPTO that this human drug product Extension; TPOXX.’’ Received Patent Term Restoration Act of 1984 had undergone a regulatory review comments, those filed in a timely (Pub. L. 98–417) and the Generic period and that the approval of TPOXX manner (see ADDRESSES), will be placed Animal Drug and Patent Term represented the first permitted in the docket and, except for those Restoration Act (Pub. L. 100–670) commercial marketing or use of the submitted as ‘‘Confidential generally provide that a patent may be product. Thereafter, the USPTO Submissions,’’ publicly viewable at extended for a period of up to 5 years requested that FDA determine the https://www.regulations.gov or at the so long as the patented item (human product’s regulatory review period. drug product, animal drug product, Dockets Management Staff between 9 II. Determination of Regulatory Review medical device, food additive, or color a.m. and 4 p.m., Monday through Period Friday, 240–402–7500. additive) was subject to regulatory • Confidential Submissions—To review by FDA before the item was FDA has determined that the submit a comment with confidential marketed. Under these acts, a product’s applicable regulatory review period for information that you do not wish to be regulatory review period forms the basis TPOXX is 4,601 days. Of this time, made publicly available, submit your for determining the amount of extension 4,383 days occurred during the testing comments only as a written/paper an applicant may receive. phase of the regulatory review period, submission. You should submit two A regulatory review period consists of while 218 days occurred during the copies total. One copy will include the two periods of time: A testing phase and approval phase. These periods of time information you claim to be confidential an approval phase. For human drug were derived from the following dates: with a heading or cover note that states products, the testing phase begins when 1. The date an exemption under ‘‘THIS DOCUMENT CONTAINS the exemption to permit the clinical section 505(i) of the Federal Food, Drug, CONFIDENTIAL INFORMATION.’’ The investigations of the drug becomes and Cosmetic Act (FD&C Act) (21 U.S.C. Agency will review this copy, including effective and runs until the approval 355(i)) became effective: December 9, the claimed confidential information, in phase begins. The approval phase starts 2005. The applicant claims December 8, its consideration of comments. The with the initial submission of an 2005, as the date the investigational new second copy, which will have the application to market the human drug drug application (IND) became effective. claimed confidential information product and continues until FDA grants However, FDA records indicate that the redacted/blacked out, will be available permission to market the drug product. IND effective date was December 9, for public viewing and posted on Although only a portion of a regulatory 2005, which was 30 days after FDA https://www.regulations.gov. Submit review period may count toward the receipt of the IND.
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2. The date the application was DEPARTMENT OF HEALTH AND Authorization was published in the initially submitted with respect to the HUMAN SERVICES Federal Register on November 20, 2020 human drug product under section (85 FR 74346), as required by section 505(b) of the FD&C Act or section 351 Food and Drug Administration 564(h)(1) of the FD&C Act. FDA of the Public Health Service Act: [Docket No. FDA–2020–N–1584] authorized the Nova2200 using the December 8, 2017. FDA has verified the NovaClean decontamination process for applicant’s claim that the new drug Revocation of Authorization of use in decontaminating compatible N95 application (NDA) for TPOXX (NDA Emergency Use of a Medical Device respirators identified in the EUA 208627) was initially submitted on During COVID–19; Availability consistent with the Authorization. Subsequent to the issuance of the December 8, 2017. AGENCY: Food and Drug Administration, Authorization, as described in the 3. The date the application was HHS. revocation letter reprinted in this notice, approved: July 13, 2018. FDA has ACTION: Notice. FDA considered new data and evidence, verified the applicant’s claim that NDA including from testing performed by the 208627 was approved on July 13, 2018. SUMMARY: The Food and Drug Centers for Disease Control and Administration (FDA) is announcing the Prevention (CDC) and in published This determination of the regulatory revocation of the Emergency Use review period establishes the maximum literature, indicating that the compatible Authorization (EUA) (the Authorization) N95 respirators identified in the EUA potential length of a patent extension. issued to NovaSterilis, Inc. for the However, the USPTO applies several may not maintain adequate fit and Nova2200 using the NovaClean filtration efficiency following one statutory limitations in its calculations decontamination process. FDA revoked decontamination cycle using the of the actual period for patent extension. the Authorization on February 12, 2021, authorized product. In its applications for patent extension, under the Federal Food, Drug, and this applicant seeks 1,273 days or 1,585 Cosmetic Act (FD&C Act). The II. EUA Criteria for Issuance No Longer days of patent term extension. revocation, which includes an Met and Other Circumstances Make explanation of the reasons for the Revocation Appropriate To Protect the III. Petitions revocation, is reprinted in this Public Health or Safety Anyone with knowledge that any of document. Under section 564(g)(2)(B) and (C) of the dates as published are incorrect may DATES: The Authorization for the the FD&C Act, the Secretary of HHS may submit either electronic or written Nova2200 using the NovaClean revoke an EUA if, among other things, comments and, under 21 CFR 60.24, ask decontamination process is revoked as the criteria for issuance are no longer for a redetermination (see DATES). of February 12, 2021. met or other circumstances make such revocation appropriate to protect the Furthermore, as specified in § 60.30 (21 ADDRESSES: Submit written requests for public health or safety. On February 12, CFR 60.30), any interested person may a single copy of the revocation to the 2021, FDA revoked the Authorization petition FDA for a determination Office of Counterterrorism and because the criteria for issuance were no regarding whether the applicant for Emerging Threats, Food and Drug Administration, 10903 New Hampshire longer met and other circumstances extension acted with due diligence made such revocation appropriate to Ave., Bldg. 1, Rm. 4338, Silver Spring, during the regulatory review period. To protect the public health or safety. MD 20993–0002. Send one self- meet its burden, the petition must Under section 564(c)(2) of the FD&C addressed adhesive label to assist that comply with all the requirements of Act, an EUA may be issued only if FDA office in processing your request or § 60.30, including but not limited to: concludes that, based on the totality of include a Fax number to which the Must be timely (see DATES), must be scientific evidence available, including revocation may be sent. See the filed in accordance with § 10.20, must data from adequate and well-controlled SUPPLEMENTARY INFORMATION section for contain sufficient facts to merit an FDA clinical trials, if available, it is electronic access to the revocation. investigation, and must certify that a reasonable to believe that the product FOR FURTHER INFORMATION CONTACT: true and complete copy of the petition may be effective in diagnosing, treating, Jennifer J. Ross, Office of has been served upon the patent or preventing such disease or condition Counterterrorism and Emerging Threats, applicant. (See H. Rept. 857, part 1, 98th and that the known and potential Food and Drug Administration, 10903 Cong., 2d sess., pp. 41–42, 1984.) benefits of the product, when used to New Hampshire Ave., Bldg. 1, Rm. diagnose, prevent, or treat such disease Petitions should be in the format 4332, Silver Spring, MD 20993–0002, specified in 21 CFR 10.30. or condition, outweigh the known and 240–402–8155 (this is not a toll-free potential risks of the product. Submit petitions electronically to number). Given the new data and evidence https://www.regulations.gov at Docket SUPPLEMENTARY INFORMATION: from CDC and recently reported in the No. FDA–2013–S–0610. Submit written literature, FDA has concluded it is not petitions (two copies are required) to the I. Background reasonable to believe the product may Dockets Management Staff (HFA–305), Section 564 of the FD&C Act (21 be effective in preventing healthcare Food and Drug Administration, 5630 U.S.C. 360bbb–3) allows FDA to provider exposure to pathogenic Fishers Lane, Rm. 1061, Rockville, MD strengthen the public health protections biological airborne particulates. 20852. against biological, chemical, nuclear, Additionally, based on this new and radiological agents. Among other information, FDA can no longer Dated: March 26, 2021. things, section 564 of the FD&C Act conclude that the known and potential Lauren K. Roth, allows FDA to authorize the use of an benefits of the product outweigh the Acting Principal Associate Commissioner for unapproved medical product or an known and potential risks of its Policy. unapproved use of an approved medical emergency use. Further, based on the [FR Doc. 2021–06696 Filed 3–31–21; 8:45 am] product in certain situations. On August same information and the risks to public BILLING CODE 4164–01–P 20, 2020, FDA issued the Authorization. health and to healthcare providers from Notice of the issuance of the using decontaminated respirators with
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reduced fit and filtration performance, III. Electronic Access section 564(g) of the FD&C Act are met, FDA has concluded under section An electronic version of this FDA has revoked the EUA for the 564(g)(2)(C) of the FD&C Act that other document and the full text of the Nova2200 using the NovaClean circumstances make revocation revocations are available on the internet decontamination process. The appropriate to protect the public health at https://www.regulations.gov/ and revocation in its entirety follows and or safety. Accordingly, FDA has revoked https://www.fda.gov/media/145913/ provides an explanation of the reasons the Authorization, pursuant to section download. for revocation, as required by section 564(g)(2)(B) and (C) of the FD&C Act. 564(h)(1) of the FD&C Act. IV. The Revocation BILLING CODE 4164–01–P Having concluded that the criteria for revocation of the Authorization under
JJ.S. FOOD & DRUG At1MllliisrltArlON
February 12, 2021
Mt: TQlly Eisenhut NovaSterilis,Ine;. 3109 N. Triphamrrier Rel. Lansing, NY'14882
Re: R.evm:atfon:of.EUA201.745
:Dt;ar Mc Ei~nhut
this Mtet isfo response fu NovaSteriUs, Inc. 's letter dated November 24, 2020, informing FDA that it is withdrawing the Emergency use Attthorization(EUA201745)•for the Nova:2200 using the NovaClean de"-ontaminati!m process (hereafter referred to as "Nova2200")tssued on August 20, 2020. We interpret this: letter to mean that NovaSterili$, Inc. will n◊ longer rnake the Nova220Oavailablefortheauthorized emergency use, The authorizationofa.devicefor emergeooy use under section 564oftheFederal Food, Drug~ and Cosmetic Act{theAct) {21 US. C. 36Qbbb~3) niay,. pµrsua.ntto ~ction 564(g)(2) ofthe Act, be revoked, when the c:dteria imder section 564(c) ofthe Act for issuance ofsuch authorization areno longer met (section 564(gX2)(B) ofthe Abt), or other ciroumsances make suchtevocation appropriate to protectfhe public health orsafety {sectielrt 5o4(g)(:2)(C) ofthe Act). FDA hereby notifiesNovaSterilis, 1rtc. ofthe rev9Catio11 ofthe,EUAZ0 1745for the Noviazoo pllniµant to section 564(g;(2XB) oftl:1.e Actan On August 20, 2020; FbA authorized the einetgehcy use oftheN&va2200 for ttse in deCX>ntannnating compali~1e N95respirators1 that are contaminated or potentjaUy contaminated with SARS-CoV-2orofher pathogenic microorganisms, forammdmumofone (1) decontaminafion cycle pet respirator, forsingle-user reuse 2 by healthcare personnel (B:CP;3to prevent exposure to pathogenic biologica:Utlrborrte particulates dtiritig the Corona virus Disease 2019 (C::QVD.)..19}pandennc, Based, Qll the,totality pfscientifi~evidence avai)able at the ti111e, FI)Aconcluded that it was reasonable to believe that the Nova2200111ay be e.ffec;tive at 1 Fqr purpQSes of this EUA, "compatible N'9$ resprrators" are lnn.ited. to lhe 3M Mmlel is66 or Halyard, FLUIDSHIELDN93 respirators. 2 Single-userreqse means frult!h'!l sll1!1.eresph-atm: is returnedforreµsew thesameli.ealthcare persotu1elfoll~wlng its decontamirtatiott. t HCP refers to. all paid and· unpaid persons serving,in healthcare settings who have ilie potential for direct or. indirectexposure to patients•orinfectious materials, including body substances (e.g,; blood; tissue, and specific body fluids);.ooritarrtinated medical supplies, devices, andequipm:ent;coritarttirtated envirortmerttal sil.rfaces;or contaminated air. These HCP include, but are not limited to, emergency medical seivice personnel, nurses, nursing Msistartts, phyiiicians, technicians, therapists, piilebo~ists, phanrtacists, dentists and dental hnienillts, students and trainees, contractual staff not employed.by the healthcare facility, and persons not directly involved in patient care, but who could be1:Xpo~edto infectious agents thatcanbetransmitted irt th~ healthcar.i setting(e.g'.' cleric;il, dii;t;11-y, envirortlnental services,Jallildcy, security, engineering andfaciliti~ mlinag1;1nent, adinin'istrative, 1:iillil)g, and volunteer personnel), · · · · · · VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00052 Fmt 4703 Sfmt 4725 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES EN01AP21.007 17164 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices Page 2 - Revocation of ElJA201745 decontaminating compatible N95 respirators for single-user reuse by HCP to prevent exposure to pathogenic biological aitbofue partic.ulates when there are insufficient supplies offiltering fac¢piece respfrators (FFRs) resuiting from the COVID-19 pandemic, and that the known and potentfal benefits ofNova2200 outweigh the ~ow11 and R9tenihll.1isks Qf its use; Since then, FDA has become aware of new data and evidence suggesting that 3M Model 1860 and H:al.yardFLUIDSHIELD N95respirato:rs, the only compatible N95respiratorsidentifieditt thi.$ EUA, in:ay not mamtaiti adtlqllllte fitlilldfiltration efficiencyfollowing on¢ ( 1) decontamination cycle using the Nova2200, Specifically, I?Dt\ has reviewed new dataindicating thatJM Model 1&60N95 respirators maynotmaintainadequate fit and filtration efficiency after undergoing one (1) decontamination cycle using the Nova2200. 4 Additionally, FDA has become aware of preliminary evidence suggesting that duckbi11N95 resprnrtors, such as Halyard FLUIDSHIELD N9.5 respirators, maynotmai11tain adequate fit to support reuse. 5 A&such, FDAcanno. longerconcludethat itis reasonable to believe thatNova2200 may be effective in preventing HCP exposure to pathogenicbiologjcalaitbome particulates. Additionally, based on this new information, FDA caitno longer conclude that the known and potential benefits o:f'the N ova2200 outweigh the known and potentialrisks of its use; thrn,, the criteriaundersecfion 564(c) oftl1e Act for issuance ofan EUA are no longer met Moreover, based on the same information, and the potential risks to HCPfromusing decontaminated respirators with reduced.fit and filtration petfonnance, FDA has. concluded under section 564(g)(2)(G) of the Act that other circumstances .make revoca1ion>ofthjs EUAappropriate t9 protect the public healtkot safety. Accordingly, FDA hereby revokes EUA201745 for the Nova2200, pursuarit:to section 564(g)(:2)(B)andsection 564(gX2.)(C) oftheAct. As ofthe date ofthisletter, theNova2200js no h;>:nger authorizedf<>r eniergenc)' use t>y FDA. FDA encourages NovaSterilis Irie. to inform its customers ofthis xevocation. Notfoe ofthi!rrevocation will be published in the.Federal Register, pursuant to section 564(h)(l) ofthe.Act. Sincerely; DeniseM. ,~,{;:~\signed b>fooil;.M. Hinton-S \;:~~,2021JJ2.12:-OSni ... l5i47SH. RADM DeniseM. Hinton ChiefScienti$t Food and Drug Adminisfration 4 Diliailed test r~lts,can b~ found in the publi.cly-availa~ie test reportcat ...... · :fMww.cdc: iniosh/rt tifte fuitotslttis · , · 039 Reda6red Dated: March 24, 2021. DEPARTMENT OF HEALTH AND announcing the following virtual public Lauren K. Roth, HUMAN SERVICES workshop entitled ‘‘FDA Science Forum Acting Principal Associate Commissioner for 2021.’’ The purpose of the public Policy. Food and Drug Administration workshop is to inform the public about the groundbreaking science conducted [FR Doc. 2021–06711 Filed 3–31–21; 8:45 am] [Docket No. FDA–2021–N–0262] BILLING CODE 4164–01–C at the Agency and to show how Food and Drug Administration Science scientific research is used in FDA’s Forum 2021; Public Workshop regulatory decisions to protect and promote public health. AGENCY: Food and Drug Administration, HHS. DATES: The public workshop will be ACTION: Notice of public workshop. held virtually on May 26, 2021 (Day 1), from 9 a.m. to 3:30 p.m. Eastern Time, SUMMARY: The Food and Drug and May 27, 2021 (Day 2), from 9 a.m. Administration (FDA, Agency, or we) is to 2 p.m. Eastern Time. See the VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00053 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES EN01AP21.008 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17165 SUPPLEMENTARY INFORMATION section for be streamed via a webcast only. To withdrawing approval of ANDA 206061, registration date and information. register for the webcast, please visit the Pravastatin Sodium Tablets, 20 mg, 40 ADDRESSES: Please note that due to the following website: https://www.fda.gov/ mg, and 80 mg, after receiving a request impact of the COVID–19 pandemic, all scienceforum. Participants interested in from Hisun Pharmaceutical (Hangzhou) participants will be joining this public viewing via webcast must register by Co., Ltd. However, the document workshop via an online May 21, 2021, by 5 p.m. Eastern Time. published with the incorrect applicant teleconferencing platform. If you have never attended a Connect name for ANDA 206061. This document Pro event before, test your connection at FOR FURTHER INFORMATION CONTACT: corrects that error. All other information https://collaboration.fda.gov/common/ Rokhsareh Shahidzadeh, Office of for ANDA 206061 remains the same. help/en/support/meeting_test.htm. To Scientific Professional Development, FOR FURTHER INFORMATION CONTACT: get a quick overview of the Connect Pro Office of the Chief Scientist, Office of Martha Nguyen, Center for Drug program, visit https://www.adobe.com/ Evaluation and Research, Food and the Commissioner, Food and Drug go/connectpro_overview. FDA has Administration, 10903 New Hampshire verified the website addresses in this Drug Administration, 10903 New Ave., Bldg. 32, Rm. 2383, Silver Spring, document, as of the date this document Hampshire Ave., Bldg. 75, Rm. 1676, MD 20993, 301–796–8740, publishes in the Federal Register, but Silver Spring, MD 20993–0002, 240– [email protected]. websites are subject to change over time. 402–6980, [email protected]. SUPPLEMENTARY INFORMATION: Dated: March 24, 2021. SUPPLEMENTARY INFORMATION: In the Federal Register of Friday, January 15, I. Background Lauren K. Roth, 2021 (86 FR 4081), appearing on page The FDA Science Forum is held Acting Principal Associate Commissioner for Policy. 4081 in FR Doc. 2021–00833, the biennially to inform the public about following corrections are made on page the groundbreaking science conducted [FR Doc. 2021–06705 Filed 3–31–21; 8:45 am] 4082 in the table: BILLING CODE 4164–01–P at the Agency and to show how 1. The entries for ANDAs 084041, scientific research is used in FDA’s 084678, and 084679 are removed. regulatory decisions to protect and 2. In the third column, third item promote public health. Open to the DEPARTMENT OF HEALTH AND from the bottom, the applicant name public, industry, academia, patient HUMAN SERVICES ‘‘Hisun Pharmaceuticals USA, Inc.’’ is advocates, government agencies, and Food and Drug Administration corrected to read ‘‘Hisun current and potential collaborators, the Pharmaceuticals USA, Inc., U.S. Agent 2-day event offers an opportunity to [Docket No. FDA–2020–N–2306] for Hisun Pharmaceutical (Hangzhou) hear FDA scientific experts and Co., Ltd.’’ for ANDA 206061. nationally renowned scientists speak on TG United, Inc., et al.; Withdrawal of a range of topics associated with Approval of 27 Abbreviated New Drug Dated: March 29, 2021. regulatory science. Applications; Correction Lauren K. Roth, II. Topics for Discussion at the Public AGENCY: Food and Drug Administration, Acting Principal Associate Commissioner for Policy. Workshop HHS. ACTION: Notice; correction. [FR Doc. 2021–06745 Filed 3–31–21; 8:45 am] The theme for the 2021 FDA Science BILLING CODE 4164–01–P Forum, ‘‘Science as the Foundation for SUMMARY: The Food and Drug Protecting and Promoting Public Administration (FDA) is correcting a Health’’, will highlight areas of FDA notice that appeared in the Federal DEPARTMENT OF HEALTH AND research, including: (1) Improving Register of January 15, 2021. The HUMAN SERVICES clinical and postmarket evaluation; (2) document announced the withdrawal of substance use, misuse, and addiction; approval of 27 abbreviated new drug Food and Drug Administration (3) product development and applications (ANDAs) from multiple manufacturing; and (4) medical applicants as of February 16, 2021. The [Docket No. FDA–2021–N–0270] countermeasures, infectious disease, document indicated that FDA was and pathogen-reduction technologies. withdrawing approval of the following Endocrinologic and Metabolic Drugs three ANDAs after receiving a Advisory Committee; Notice of III. Participating in the Public withdrawal request from Upsher-Smith Meeting; Establishment of a Public Workshop Laboratories, LLC., 6701 Evenstad Dr., Docket; Request for Comments Registration: To register for the public Maple Grove, MN 55369: ANDA workshop, please visit the following 084041, Chlordiazepoxide AGENCY: Food and Drug Administration, website: https://www.fda.gov/ Hydrochloride (HCl) Capsules, 10 HHS. scienceforum. Registration is free. milligrams (mg); ANDA 084678, ACTION: Notice; establishment of a Persons interested in attending this Chlordiazepoxide HCl Capsules, 5 mg; public docket; request for comments. public workshop must register by May and ANDA 084679, Chlordiazepoxide 21, 2021, by 5 p.m. Eastern Time. HCl Capsules, 25 mg. Before FDA SUMMARY: The Food and Drug Registrants will receive confirmation withdrew the approval of these ANDAs, Administration (FDA) announces a when they have been accepted. Upsher-Smith Laboratories, LLC., forthcoming public advisory committee If you need special accommodations informed FDA that it did not want the meeting of the Endocrinologic and due to a disability, please contact approval of the ANDAs withdrawn. Metabolic Drugs Advisory Committee. Rokhsareh Shahidzadeh (see FOR Because Upsher-Smith Laboratories, The general function of the committee is FURTHER INFORMATION CONTACT) no later LLC., timely requested that approval of to provide advice and recommendations than May 21, 2021, by 5 p.m. Eastern these ANDAs not be withdrawn, the to FDA on regulatory issues. The Time. approval of ANDAs 084041, 084678, meeting will be open to the public. FDA Streaming Webcast of the Public and 084679 is still in effect. In addition, is establishing a docket for public Workshop: This public workshop will the document indicated that FDA was comment on this document. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00054 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17166 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices DATES: The meeting will be held on May comments, that information will be and other applicable disclosure law. For 27, 2021, from 9 a.m. to 5:30 p.m. posted on https://www.regulations.gov. more information about FDA’s posting Eastern Time. • If you want to submit a comment of comments to public dockets, see 80 ADDRESSES: Please note that due to the with confidential information that you FR 56469, September 18, 2015, or access impact of this COVID–19 pandemic, all do not wish to be made available to the the information at: https:// meeting participants will be joining this public, submit the comment as a www.govinfo.gov/content/pkg/FR-2015- advisory committee meeting via an written/paper submission and in the 09-18/pdf/2015-23389.pdf. online teleconferencing platform. manner detailed (see ‘‘Written/Paper Docket: For access to the docket to Answers to commonly asked questions Submissions’’ and ‘‘Instructions’’). read background documents or the about FDA advisory committee meetings Written/Paper Submissions electronic and written/paper comments may be accessed at: https:// received, go to https:// www.fda.gov/AdvisoryCommittees/ Submit written/paper submissions as www.regulations.gov and insert the follows: AboutAdvisoryCommittees/ • docket number, found in brackets in the ucm408555.htm. Mail/Hand delivery/Courier (for heading of this document, into the FDA is establishing a docket for written/paper submissions): Dockets ‘‘Search’’ box and follow the prompts public comment on this meeting. The Management Staff (HFA–305), Food and and/or go to the Dockets Management docket number is FDA–2021–N–0270. Drug Administration, 5630 Fishers Staff, 5630 Fishers Lane, Rm. 1061, Lane, Rm. 1061, Rockville, MD 20852. The docket will close on May 26, 2021. • Rockville, MD 20852, 240–402–7500. Submit either electronic or written For written/paper comments submitted to the Dockets Management FOR FURTHER INFORMATION CONTACT: comments on this public meeting by LaToya Bonner, Center for Drug May 26, 2021. Please note that late, Staff, FDA will post your comment, as well as any attachments, except for Evaluation and Research, Food and untimely filed comments will not be Drug Administration, 10903 New considered. Electronic comments must information submitted, marked and identified, as confidential, if submitted Hampshire Ave., Bldg. 31, Rm. 2417, be submitted on or before May 26, 2021. Silver Spring, MD 20993–0002, email: The https://www.regulations.gov as detailed in ‘‘Instructions.’’ Instructions: All submissions received [email protected], 301–796–2855, or electronic filing system will accept must include the Docket No. FDA– FDA Advisory Committee Information comments until 11:59 p.m. Eastern Time 2021–N–0270 for ‘‘Endocrinologic and Line, 1–800–741–8138 (301–443–0572 at the end of May 26, 2021. Comments Metabolic Drugs Advisory Committee; in the Washington, DC area). A notice in received by mail/hand delivery/courier Notice of Meeting; Establishment of a the Federal Register about last-minute (for written/paper submissions) will be Public Docket; Request for Comments.’’ modifications that impact a previously considered timely if they are Received comments, those filed in a announced advisory committee meeting postmarked or the delivery service timely manner (see ADDRESSES), will be cannot always be published quickly acceptance receipt is on or before that placed in the docket and, except for enough to provide timely notice. date. Therefore, you should always check Comments received on or before May those submitted as ‘‘Confidential FDA’s website at https://www.fda.gov/ 13, 2021, will be provided to the Submissions,’’ publicly viewable at AdvisoryCommittees/default.htm and committee. Comments received after https://www.regulations.gov or at the scroll down to the appropriate advisory that date will be taken into Dockets Management Staff between 9 committee meeting link, or call the consideration by FDA. In the event that a.m. and 4 p.m., Monday through advisory committee information line to the meeting is cancelled, FDA will Friday, 240–402–7500. • learn about possible modifications continue to evaluate any relevant Confidential Submissions—To before coming to the meeting. applications or information, and submit a comment with confidential consider any comments submitted to the information that you do not wish to be SUPPLEMENTARY INFORMATION: docket, as appropriate. made publicly available, submit your Agenda: The meeting presentations You may submit comments as comments only as a written/paper will be heard, viewed, captioned, and follows: submission. You should submit two recorded through an online copies total. One copy will include the teleconferencing platform. The Electronic Submissions information you claim to be confidential committee will discuss the safety and Submit electronic comments in the with a heading or cover note that states efficacy of biologics license application following way: ‘‘THIS DOCUMENT CONTAINS (BLA) 761183, for teplizumab • Federal eRulemaking Portal: CONFIDENTIAL INFORMATION.’’ FDA intravenous infusion, submitted by https://www.regulations.gov. Follow the will review this copy, including the Provention Bio, Inc. The proposed instructions for submitting comments. claimed confidential information, in its indication is for the delay or prevention Comments submitted electronically, consideration of comments. The second of clinical type 1 diabetes mellitus in at- including attachments, to https:// copy, which will have the claimed risk (Stage 2) individuals. www.regulations.gov will be posted to confidential information redacted/ FDA intends to make background the docket unchanged. Because your blacked out, will be available for public material available to the public no later comment will be made public, you are viewing and posted on https:// than 2 business days before the meeting. solely responsible for ensuring that your www.regulations.gov. Submit both If FDA is unable to post the background comment does not include any copies to the Dockets Management Staff. material on its website prior to the confidential information that you or a If you do not wish your name and meeting, the background material will third party may not wish to be posted, contact information be made publicly be made publicly available on FDA’s such as medical information, your or available, you can provide this website at the time of the advisory anyone else’s Social Security number, or information on the cover sheet and not committee meeting. Background confidential business information, such in the body of your comments and you material and the link to the online as a manufacturing process. Please note must identify the information as teleconference meeting room will be that if you include your name, contact ‘‘confidential.’’ Any information marked available at https://www.fda.gov/ information, or other information that as ‘‘confidential’’ will not be disclosed AdvisoryCommittees/Calendar/ identifies you in the body of your except in accordance with 21 CFR 10.20 default.htm. Scroll down to the VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00055 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17167 appropriate advisory committee meeting DEPARTMENT OF HEALTH AND solely responsible for ensuring that your link. The meeting will include slide HUMAN SERVICES comment does not include any presentations with audio components to confidential information that you or a allow the presentation of materials in a Food and Drug Administration third party may not wish to be posted, manner that most closely resembles an [Docket No. FDA–2019–N–3023] such as medical information, your or in-person advisory committee meeting. anyone else’s Social Security number, or Procedure: Interested persons may Determination of Regulatory Review confidential business information, such present data, information, or views, Period for Purposes of Patent as a manufacturing process. Please note orally or in writing, on issues pending Extension; BIOMIMICS 3D VASCULAR that if you include your name, contact before the committee. All electronic and STENT SYSTEM information, or other information that written submissions submitted to the identifies you in the body of your AGENCY: Food and Drug Administration, Docket (see ADDRESSES) on or before comments, that information will be HHS. May 13, 2021, will be provided to the posted on https://www.regulations.gov. ACTION: • committee. Oral presentations from the Notice. If you want to submit a comment with confidential information that you public will be scheduled between SUMMARY: The Food and Drug do not wish to be made available to the approximately 1:30 p.m. and 2:30 p.m. Administration (FDA or the Agency) has public, submit the comment as a Eastern Time. Those individuals determined the regulatory review period written/paper submission and in the interested in making formal oral for BIOMIMICS 3D VASCULAR STENT manner detailed (see ‘‘Written/Paper presentations should notify the contact SYSTEM and is publishing this notice Submissions’’ and ‘‘Instructions’’). person and submit a brief statement of of that determination as required by the general nature of the evidence or law. FDA has made the determination Written/Paper Submissions arguments they wish to present, the because of the submission of an Submit written/paper submissions as names and addresses of proposed application to the Director of the U.S. follows: participants, and an indication of the Patent and Trademark Office (USPTO), • Mail/Hand delivery/Courier (for approximate time requested to make Department of Commerce, for the written/paper submissions): Dockets their presentation on or before May 5, extension of a patent which claims that Management Staff (HFA–305), Food and 2021. Time allotted for each medical device. Drug Administration, 5630 Fishers presentation may be limited. If the DATES: Anyone with knowledge that any Lane, Rm. 1061, Rockville, MD 20852. number of registrants requesting to of the dates as published (see • For written/paper comments speak is greater than can be reasonably SUPPLEMENTARY INFORMATION) are submitted to the Dockets Management accommodated during the scheduled incorrect may submit either electronic Staff, FDA will post your comment, as open public hearing session, FDA may or written comments and ask for a well as any attachments, except for conduct a lottery to determine the redetermination by June 1, 2021. information submitted, marked and speakers for the scheduled open public Furthermore, any interested person may identified, as confidential, if submitted hearing session. The contact person will petition FDA for a determination as detailed in ‘‘Instructions.’’ notify interested persons regarding their regarding whether the applicant for Instructions: All submissions received request to speak by May 6, 2021. extension acted with due diligence must include the Docket No. FDA– For press inquiries, please contact the during the regulatory review period by 2019–N–3023 for ‘‘Determination of Office of Media Affairs at fdaoma@ September 28, 2021. See ‘‘Petitions’’ in Regulatory Review Period for Purposes fda.hhs.gov or 301–796–4540. the SUPPLEMENTARY INFORMATION section of Patent Extension; BIOMIMICS 3D FDA welcomes the attendance of the for more information. VASCULAR STENT SYSTEM.’’ public at its advisory committee ADDRESSES: You may submit comments Received comments, those filed in a meetings and will make every effort to as follows. Please note that late, timely manner (see ADDRESSES), will be accommodate persons with disabilities. untimely filed comments will not be placed in the docket and, except for If you require accommodations due to a considered. Electronic comments must those submitted as ‘‘Confidential disability, please contact LaToya Bonner be submitted on or before June 1, 2021. Submissions,’’ publicly viewable at (see FOR FURTHER INFORMATION CONTACT) The https://www.regulations.gov https://www.regulations.gov or at the at least 7 days in advance of the electronic filing system will accept Dockets Management Staff between 9 meeting. comments until 11:59 p.m. Eastern Time a.m. and 4 p.m., Monday through FDA is committed to the orderly at the end of June 1, 2021. Comments Friday, 240–402–7500. • conduct of its advisory committee received by mail/hand delivery/courier Confidential Submissions—To meetings. Please visit our website at (for written/paper submissions) will be submit a comment with confidential https://www.fda.gov/ considered timely if they are information that you do not wish to be AdvisoryCommittees/ postmarked or the delivery service made publicly available, submit your AboutAdvisoryCommittees/ acceptance receipt is on or before that comments only as a written/paper ucm111462.htm for procedures on date. submission. You should submit two public conduct during advisory copies total. One copy will include the Electronic Submissions committee meetings. information you claim to be confidential Notice of this meeting is given under Submit electronic comments in the with a heading or cover note that states following way: ‘‘THIS DOCUMENT CONTAINS the Federal Advisory Committee Act (5 • U.S.C. app. 2). Federal eRulemaking Portal: CONFIDENTIAL INFORMATION.’’ The https://www.regulations.gov. Follow the Agency will review this copy, including Dated: March 26, 2021. instructions for submitting comments. the claimed confidential information, in Lauren K. Roth, Comments submitted electronically, its consideration of comments. The Acting Principal Associate Commissioner for including attachments, to https:// second copy, which will have the Policy. www.regulations.gov will be posted to claimed confidential information [FR Doc. 2021–06708 Filed 3–31–21; 8:45 am] the docket unchanged. Because your redacted/blacked out, will be available BILLING CODE 4164–01–P comment will be made public, you are for public viewing and posted on VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00056 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17168 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices https://www.regulations.gov. Submit that the Director of USPTO may award Act (21 U.S.C. 360e): January 17, 2018. both copies to the Dockets Management (half the testing phase must be FDA has verified the applicant’s claim Staff. If you do not wish your name and subtracted as well as any time that may that the premarket approval application contact information to be made publicly have occurred before the patent was (PMA) for BIOMIMICS 3D VASCULAR available, you can provide this issued), FDA’s determination of the STENT SYSTEM (PMA 180003) was information on the cover sheet and not length of a regulatory review period for initially submitted January 17, 2018. in the body of your comments and you a medical device will include all of the 3. The date the application was must identify this information as testing phase and approval phase as ‘‘confidential.’’ Any information marked specified in 35 U.S.C. 156(g)(3)(B). approved: October 4, 2018. FDA has as ‘‘confidential’’ will not be disclosed FDA has approved for marketing the verified the applicant’s claim that PMA except in accordance with § 10.20 (21 medical device BIOMIMICS 3D 180003 was approved on October 4, CFR 10.20) and other applicable VASCULAR STENT SYSTEM. 2018. disclosure law. For more information BIOMIMICS 3D VASCULAR STENT This determination of the regulatory about FDA’s posting of comments to SYSTEM is indicated to improve review period establishes the maximum public dockets, see 80 FR 56469, luminal diameter in the treatment of potential length of a patent extension. September 18, 2015, or access the symptomatic de novo or restenotic However, the USPTO applies several information at: https:// lesions in the native superficial femoral statutory limitations in its calculations www.govinfo.gov/content/pkg/FR-2015- artery and/or proximal popliteal of the actual period for patent extension. arteries, with reference vessel diameters 09-18/pdf/2015-23389.pdf. In its application for patent extension, Docket: For access to the docket to ranging from 4.0 to 6.0 millimeters (mm) and lesion lengths up to 140 mm. this applicant seeks 580 days of patent read background documents or the term extension. electronic and written/paper comments Subsequent to this approval, the USPTO received, go to https:// received a patent term restoration III. Petitions www.regulations.gov and insert the application for BIOMIMICS 3D docket number, found in brackets in the VASCULAR STENT SYSTEM (U.S. Anyone with knowledge that any of heading of this document, into the Patent No. 9,314,353) from Veryan the dates as published are incorrect may ‘‘Search’’ box and follow the prompts Medical Limited, and the USPTO submit either electronic or written and/or go to the Dockets Management requested FDA’s assistance in comments and, under 21 CFR 60.24, ask Staff, 5630 Fishers Lane, Rm. 1061, determining this patent’s eligibility for for a redetermination (see DATES). Rockville, MD 20852, 240–402–7500. patent term restoration. In a letter dated Furthermore, as specified in § 60.30 (21 October 29, 2019, FDA advised the FOR FURTHER INFORMATION CONTACT: CFR 60.30), any interested person may USPTO that this medical device had Beverly Friedman, Office of Regulatory petition FDA for a determination undergone a regulatory review period regarding whether the applicant for Policy, Food and Drug Administration, and that the approval of BIOMIMICS 3D 10903 New Hampshire Ave., Bldg. 51, extension acted with due diligence VASCULAR STENT SYSTEM during the regulatory review period. To Rm. 6250, Silver Spring, MD 20993, represented the first permitted meet its burden, the petition must 301–796–3600. commercial marketing or use of the comply with all the requirements of SUPPLEMENTARY INFORMATION: product. Thereafter, the USPTO § 60.30, including but not limited to: I. Background requested that FDA determine the product’s regulatory review period. Must be timely (see DATES), must be The Drug Price Competition and filed in accordance with § 10.20, must Patent Term Restoration Act of 1984 II. Determination of Regulatory Review contain sufficient facts to merit an FDA (Pub. L. 98–417) and the Generic Period investigation, and must certify that a Animal Drug and Patent Term FDA has determined that the true and complete copy of the petition Restoration Act (Pub. L. 100–670) applicable regulatory review period for has been served upon the patent generally provide that a patent may be BIOMIMICS 3D VASCULAR STENT applicant. (See H. Rept. 857, part 1, 98th extended for a period of up to 5 years SYSTEM is 1,234 days. Of this time, 973 Cong., 2d sess., pp. 41–42, 1984.) so long as the patented item (human days occurred during the testing phase Petitions should be in the format drug product, animal drug product, of the regulatory review period, while specified in 21 CFR 10.30. medical device, food additive, or color 261 days occurred during the approval Submit petitions electronically to additive) was subject to regulatory phase. These periods of time were https://www.regulations.gov at Docket review by FDA before the item was derived from the following dates: marketed. Under these acts, a product’s 1. The date an exemption for this No. FDA–2013–S–0610. Submit written regulatory review period forms the basis device, under section 520(g) of the petitions (two copies are required) to the for determining the amount of extension Federal Food, Drug, and Cosmetic Act Dockets Management Staff (HFA–305), an applicant may receive. (FD&C Act) (21 U.S.C. 360j(g)), became Food and Drug Administration, 5630 A regulatory review period consists of effective: May 21, 2015. The applicant Fishers Lane, Rm. 1061, Rockville, MD two periods of time: A testing phase and claims that the investigational device 20852. an approval phase. For medical devices, exemption (IDE) required under section Dated: March 26, 2021. the testing phase begins with a clinical 520(g) of the FD&C Act for human tests Lauren K. Roth, investigation of the device and runs to begin became effective on February until the approval phase begins. The 18, 2010. However, FDA records Acting Principal Associate Commissioner for approval phase starts with the initial indicate that the IDE was determined Policy. submission of an application to market substantially complete for clinical [FR Doc. 2021–06709 Filed 3–31–21; 8:45 am] the device and continues until studies to have begun on May 21, 2015, BILLING CODE 4164–01–P permission to market the device is which represents the IDE effective date. granted. Although only a portion of a 2. The date an application was regulatory review period may count initially submitted with respect to the toward the actual amount of extension device under section 515 of the FD&C VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00057 Fmt 4703 Sfmt 9990 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17169 DEPARTMENT OF HEALTH AND SUPPLEMENTARY INFORMATION: When Health Center deeming applications for HUMAN SERVICES submitting comments or requesting Calendar Year 2021 and thereafter. information, please include the A 60-day notice published in the Health Resources and Services information request collection title for Federal Register on February 5, 2021, Administration reference. Vol. 86, No. 23; pp. 8364–65. There Information Collection Request Title: were no public comments. Agency Information Collection Federal Tort Claims Act Program Activities: Submission to OMB for Need and Proposed Use of the Deeming Application for Health Review and Approval; Public Comment Information: Deeming applications must Centers, OMB No. 0906–0035— Request; Information Collection address certain specified criteria Extension. Request; Federal Tort Claims Act required by law in order for deeming Program Deeming Applications for Abstract: Section 224(g)-(n) of the determinations to be issued, and FTCA Health Centers, 0906–0035, Extension Public Health Service (PHS) Act (42 application forms are critical to HRSA’s U.S.C. 233(g)-(n)), as amended, deeming determination process. This AGENCY: Health Resources and Services authorizes the ‘‘deeming’’ of entities form provides HRSA with information Administration (HRSA), Department of receiving funds under section 330 of the that is essential for evaluating health Health and Human Services. PHS Act as PHS employees for the center adherence to FTCA program ACTION: Notice. purposes of receiving Federal Tort requirements and making a Claims Act (FTCA) coverage. The Health determination as to whether a health SUMMARY: In compliance with of the Center Program is administered by center meets the statutory requirements Paperwork Reduction Act of 1995, HRSA’s Bureau of Primary Health Care. for deemed PHS employee status for the HRSA has submitted an Information Health centers submit deeming purposes of FTCA coverage. The Collection Request (ICR) to the Office of applications annually to HRSA in the application information is also used to Management and Budget (OMB) for prescribed form and manner in order to determine whether a site visit is review and approval. Comments obtain deemed PHS employee status, appropriate to assess issues relating to submitted during the first public review with the associated FTCA coverage. the health center’s quality of care and to of this ICR will be provided to OMB. Deemed PHS employment provides determine technical assistance needs. OMB will accept further comments from the covered individual with immunity Likely Respondents: Respondents the public during the review and from lawsuits and related civil actions include Health Center Program funds approval period. OMB may act on resulting from the performance of recipients seeking deemed PHS HRSA’s ICR only after the 30 day medical, surgical, dental, and related employee status for purposes of FTCA comment period for this notice has functions within the scope of deemed coverage. closed. employment. Burden Statement: Burden in this DATES: Comments on this ICR should be The FTCA Program has a web-based context means the time expended by received no later than May 3, 2021. application system, the Electronic persons to generate, maintain, retain, ADDRESSES: Written comments and Handbooks (EHBs). These electronic disclose or provide the information recommendations for the proposed application forms decrease the time and requested. This includes the time information collection should be sent effort required to complete the older, needed to review instructions; to within 30 days of publication of this paper-based OMB approved FTCA develop, acquire, install and utilize notice to www.reginfo.gov/public/do/ application forms. The application technology and systems for the purpose PRAMain. Find this particular includes: Contact Information; Section of collecting, validating, and verifying information collection by selecting 1: Review of Risk Management Systems; information, processing and ‘‘Currently under Review—Open for Section 2: Quality Improvement/Quality maintaining information, and disclosing Public Comments’’ or by using the Assurance (QI/QA) Attestations; Section and providing information; to train search function. 3: Credentialing and Privileging; Section personnel and to be able to respond to FOR FURTHER INFORMATION CONTACT: To 4: Claims Management; and Section 5: a collection of information; to search request a copy of the clearance requests Additional Information, Certification, data sources; to complete and review submitted to OMB for review, email Lisa and Signatures. the collection of information; and to Wright-Solomon, the HRSA Information HRSA is proposing no changes to the transmit or otherwise disclose the Collection Clearance Officer at Application for Health Center Program information. The total annual burden [email protected] or call (301) 443– Deemed Public Health Service hours estimated for this ICR are 1984. Employment Status, to be used for summarized in the table below. TOTAL ESTIMATED ANNUALIZED BURDEN—HOURS Average Number of Number of Total burden per Total burden Form name respondents responses per responses response hours respondent (in hours) FTCA Health Center Program Initial Application ...... 35 1 35 2.5 87.5 FTCA Health Center Program Redeeming Application ...... 1,125 1 1,125 2.5 2,812.5 Total ...... 1,160 ...... 1,160 ...... 2,900.0 HRSA specifically requests comments functions, (2) the accuracy of the use of automated collection techniques on (1) the necessity and utility of the estimated burden, (3) ways to enhance or other forms of information proposed information collection for the the quality, utility, and clarity of the proper performance of the agency’s information to be collected, and (4) the VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00058 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17170 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices technology to minimize the information related to the Program’s responsibilities. 2600 (voice); Anastasia.Donovan@ collection burden. The Assistant Secretary for Health samhsa.hhs.gov (email). serves as Director of the National SUPPLEMENTARY INFORMATION: In Maria G. Button, Vaccine Program. Director, Executive Secretariat. accordance with Section 9.19 of the During this NVAC meeting, NVAC Mandatory Guidelines, a notice listing [FR Doc. 2021–06690 Filed 3–31–21; 8:45 am] will hear presentations on vaccine all currently HHS-certified laboratories BILLING CODE 4165–15–P safety, communication activities for and IITFs is published in the Federal COVID–19 vaccines, and immunization Register during the first week of each equity. Please note that agenda items are month. If any laboratory or IITF DEPARTMENT OF HEALTH AND subject to change, as priorities dictate. HUMAN SERVICES certification is suspended or revoked, Information on the final meeting agenda the laboratory or IITF will be omitted will be posted prior to the meeting on Meeting of the National Vaccine from subsequent lists until such time as the NVAC website: http://www.hhs.gov/ Advisory Committee it is restored to full certification under nvpo/nvac/index.html. the Mandatory Guidelines. AGENCY: Office of Infectious Disease and Members of the public will have the If any laboratory or IITF has HIV/AIDS Policy, Office of the Assistant opportunity to provide comment at the withdrawn from the HHS National Secretary for Health, Office of the NVAC meeting during the public Laboratory Certification Program (NLCP) Secretary, Department of Health and comment period designated on the during the past month, it will be listed Human Services. agenda. Public comments made during at the end and will be omitted from the ACTION: Notice. the meeting will be limited to three monthly listing thereafter. minutes per person to ensure time is This notice is also available on the SUMMARY: As stipulated by the Federal allotted for all those wishing to speak. internet at https://www.samhsa.gov/ Advisory Committee Act, the Individuals are also welcome to submit workplace/resources/drug-testing/ Department of Health and Human written comments in advance. Written certified-lab-list. Services (HHS) is hereby giving notice comments should not exceed three The Department of Health and Human that the National Vaccine Advisory pages in length. Individuals submitting Services (HHS) notifies federal agencies Committee (NVAC) will hold a virtual comments should email their written of the laboratories and Instrumented meeting. The meeting will be open to comments or their request to provide a Initial Testing Facilities (IITFs) the public and public comment will be comment during the meeting to nvac@ currently certified to meet the standards heard during the meeting. hhs.gov at least five business days prior of the Mandatory Guidelines for Federal DATES: The meeting will be held June to the meeting. Workplace Drug Testing Programs 16–17, 2021. The confirmed meeting Ann Aikin, (Mandatory Guidelines) using Urine and times and agenda will be posted on the Acting Designated Federal Official, Office of of the laboratories currently certified to NVAC website at http://www.hhs.gov/ the Assistant Secretary for Health. meet the standards of the Mandatory nvpo/nvac/meetings/index.html as soon Guidelines using Oral Fluid. as they become available. [FR Doc. 2021–06692 Filed 3–31–21; 8:45 am] BILLING CODE 4150–44–P The Mandatory Guidelines using ADDRESSES: Instructions regarding Urine were first published in the attending this meeting will be posted Federal Register on April 11, 1988 (53 online at: http://www.hhs.gov/nvpo/ DEPARTMENT OF HEALTH AND FR 11970), and subsequently revised in nvac/meetings/index.html at least one HUMAN SERVICES the Federal Register on June 9, 1994 (59 week prior to the meeting. Pre- FR 29908); September 30, 1997 (62 FR registration is required for those who Substance Abuse and Mental Health 51118); April 13, 2004 (69 FR 19644); wish to attend the meeting or participate Services Administration November 25, 2008 (73 FR 71858); in public comment. Please register at December 10, 2008 (73 FR 75122); April http://www.hhs.gov/nvpo/nvac/ Current List of HHS-Certified 30, 2010 (75 FR 22809); and on January meetings/index.html. Laboratories and Instrumented Initial 23, 2017 (82 FR 7920). FOR FURTHER INFORMATION CONTACT: Ann Testing Facilities Which Meet Minimum The Mandatory Guidelines using Oral Aikin, Acting Designated Federal Standards To Engage in Urine and Oral Fluid were first published in the Officer, at the Office of Infectious Fluid Drug Testing for Federal Federal Register on October 25, 2019 Disease and HIV/AIDS Policy, U.S. Agencies (84 FR 57554) with an effective date of Department of Health and Human AGENCY: Substance Abuse and Mental January 1, 2020. Services, Mary E. Switzer Building, Health Services Administration, HHS. The Mandatory Guidelines were Room L618, 330 C Street SW, ACTION: Notice. initially developed in accordance with Washington, DC 20024. Email: nvac@ Executive Order 12564 and section 503 hhs.gov. Phone: 202–695–9742. SUMMARY: The Department of Health and of Pub. L. 100–71 and allowed urine SUPPLEMENTARY INFORMATION: Pursuant Human Services (HHS) notifies federal drug testing only. The Mandatory to Section 2101 of the Public Health agencies of the laboratories and Guidelines using Urine have since been Service Act (42 U.S.C. 300aa–1), the Instrumented Initial Testing Facilities revised, and new Mandatory Guidelines Secretary of HHS was mandated to (IITFs) currently certified to meet the allowing for oral fluid drug testing have establish the National Vaccine Program standards of the Mandatory Guidelines been published. The Mandatory to achieve optimal prevention of human for Federal Workplace Drug Testing Guidelines require strict standards that infectious diseases through Programs using Urine or Oral Fluid laboratories and IITFs must meet in immunization and to achieve optimal (Mandatory Guidelines). order to conduct drug and specimen prevention against adverse reactions to FOR FURTHER INFORMATION CONTACT: validity tests on specimens for federal vaccines. The NVAC was established to Anastasia Donovan, Division of agencies. HHS does not allow IITFs to provide advice and make Workplace Programs, SAMHSA/CSAP, conduct oral fluid testing. recommendations to the Director of the 5600 Fishers Lane, Room 16N06B, To become certified, an applicant National Vaccine Program on matters Rockville, Maryland 20857; 240–276– laboratory or IITF must undergo three VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00059 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17171 rounds of performance testing plus an Clinical Reference Laboratory, Inc., 8433 Hospital Airport Toxicology on-site inspection. To maintain that Quivira Road, Lenexa, KS 66215– Laboratory) certification, a laboratory or IITF must 2802, 800–445–6917 Phamatech, Inc., 15175 Innovation Cordant Health Solutions, 2617 East L participate in a quarterly performance Drive, San Diego, CA 92128, 888– Street, Tacoma, WA 98421, 800–442– testing program plus undergo periodic, 635–5840 on-site inspections. 0438 (Formerly: STERLING Reference Laboratories and IITFs in the Laboratories) Quest Diagnostics Incorporated, 400 applicant stage of certification are not to Desert Tox, LLC, 5425 E Bell Rd., Suite Egypt Road, Norristown, PA 19403, be considered as meeting the minimum 125, Scottsdale, AZ, 85254, 602–457– 610–631–4600/877–642–2216, requirements described in the HHS 5411/623–748–5045 (Formerly: SmithKline Beecham Mandatory Guidelines using Urine and/ DrugScan, Inc., 200 Precision Road, Clinical Laboratories; SmithKline Bio- or Oral Fluid. An HHS-certified Suite 200, Horsham, PA 19044, 800– Science Laboratories) laboratory or IITF must have its letter of 235–4890 Redwood Toxicology Laboratory, 3700 Dynacare,* 245 Pall Mall Street, certification from HHS/SAMHSA Westwind Blvd., Santa Rosa, CA London, ONT, Canada N6A 1P4, 519– (formerly: HHS/NIDA), which attests 95403, 800–255–2159 that the test facility has met minimum 679–1630 (Formerly: Gamma- U.S. Army Forensic Toxicology Drug standards. HHS does not allow IITFs to Dynacare Medical Laboratories) conduct oral fluid testing. ElSohly Laboratories, Inc., 5 Industrial Testing Laboratory, 2490 Wilson St., Park Drive, Oxford, MS 38655, 662– Fort George G. Meade, MD 20755– HHS-Certified Laboratories Approved 236–2609 5235, 301–677–7085, Testing for To Conduct Oral Fluid Drug Testing Laboratory Corporation of America Department of Defense (DoD) Holdings, 7207 N Gessner Road, In accordance with the Mandatory Employees Only Houston, TX 77040, 713–856–8288/ Guidelines using Oral Fluid dated 800–800–2387 ————— October 25, 2019 (84 FR 57554), the Laboratory Corporation of America * The Standards Council of Canada following HHS-certified laboratories Holdings, 69 First Ave., Raritan, NJ meet the minimum standards to conduct (SCC) voted to end its Laboratory 08869, 908–526–2400/800–437–4986 drug and specimen validity tests on oral Accreditation Program for Substance (Formerly: Roche Biomedical fluid specimens: Abuse (LAPSA) effective May 12, 1998. Laboratories, Inc.) At this time, there are no laboratories Laboratories certified through that Laboratory Corporation of America program were accredited to conduct certified to conduct drug and specimen Holdings, 1904 TW Alexander Drive, validity tests on oral fluid specimens. forensic urine drug testing as required Research Triangle Park, NC 27709, by U.S. Department of Transportation HHS-Certified Instrumented Initial 919–572–6900/800–833–3984 (DOT) regulations. As of that date, the (Formerly: LabCorp Occupational Testing Facilities Approved To Conduct certification of those accredited Testing Services, Inc., CompuChem Urine Drug Testing Canadian laboratories will continue Laboratories, Inc.; CompuChem In accordance with the Mandatory Laboratories, Inc., A Subsidiary of under DOT authority. The responsibility Guidelines using Urine dated January Roche Biomedical Laboratory; Roche for conducting quarterly performance 23, 2017 (82 FR 7920), the following CompuChem Laboratories, Inc., A testing plus periodic on-site inspections HHS-certified IITFs meet the minimum Member of the Roche Group) of those LAPSA-accredited laboratories standards to conduct drug and specimen Laboratory Corporation of America was transferred to the U.S. HHS, with validity tests on urine specimens: Holdings, 1120 Main Street the HHS’ NLCP contractor continuing to Dynacare, 6628 50th Street NW, Southaven, MS 38671 have an active role in the performance Edmonton, AB Canada T6B 2N7, 780– 866–827–8042/800–233–6339 testing and laboratory inspection 784–1190 (Formerly: Gamma- (Formerly: LabCorp Occupational processes. Other Canadian laboratories Dynacare Medical Laboratories) Testing Services, Inc.; MedExpress/ wishing to be considered for the NLCP National Laboratory Center) may apply directly to the NLCP HHS-Certified Laboratories Approved LabOne, Inc. d/b/a Quest Diagnostics, contractor just as U.S. laboratories do. To Conduct Urine Drug Testing 10101 Renner Blvd., Lenexa, KS 66219, 913–888–3927/800–873–8845 Upon finding a Canadian laboratory to In accordance with the Mandatory be qualified, HHS will recommend that Guidelines using Urine dated January (Formerly: Quest Diagnostics DOT certify the laboratory (Federal 23, 2017 (82 FR 7920), the following Incorporated; LabOne, Inc.; Center for Register, July 16, 1996) as meeting the HHS-certified laboratories meet the Laboratory Services, a Division of minimum standards to conduct drug LabOne, Inc.) minimum standards of the Mandatory and specimen validity tests on urine Legacy Laboratory Services Toxicology, Guidelines published in the Federal specimens: 1225 NE 2nd Ave., Portland, OR Register on January 23, 2017 (82 FR 97232, 503–413–5295/800–950–5295 7920). After receiving DOT certification, Alere Toxicology Services, 1111 Newton MedTox Laboratories, Inc., 402 W the laboratory will be included in the St., Gretna, LA 70053, 504–361–8989/ County Road D, St. Paul, MN 55112, monthly list of HHS-certified 800–433–3823 (Formerly: Kroll 651–636–7466/800–832–3244 laboratories and participate in the NLCP Laboratory Specialists, Inc., Minneapolis Veterans Affairs Medical certification maintenance program. Laboratory Specialists, Inc.) Center, Forensic Toxicology Alere Toxicology Services, 450 Laboratory, 1 Veterans Drive, Anastasia Marie Donovan, Southlake Blvd., Richmond, VA Minneapolis, MN 55417, 612–725– Policy Analyst. 23236, 804–378–9130 (Formerly: 2088, Testing for Veterans Affairs [FR Doc. 2021–06694 Filed 3–31–21; 8:45 am] Kroll Laboratory Specialists, Inc., (VA) Employees Only BILLING CODE 4160–20–P Scientific Testing Laboratories, Inc.; Pacific Toxicology Laboratories, 9348 Kroll Scientific Testing Laboratories, DeSoto Ave., Chatsworth, CA 91311, Inc.) 800–328–6942 (Formerly: Centinela VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00060 Fmt 4703 Sfmt 9990 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17172 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices DEPARTMENT OF HEALTH AND therapists); services offered (e.g., Provider Survey HUMAN SERVICES assertive community treatment, partial hospitalization); roles and training The survey will provide important Substance Abuse and Mental Health needs of peer support specialists, case data to inform understanding regarding Services Administration managers, care managers, and how many licensed clinical behavioral pharmacists (e.g., certification, health specialists (licensed Agency Information Collection population served, paid status, psychologists, licensed clinical social Activities: Submission for OMB reimbursement); professions with workers, licensed marriage and family Review; Comment Request recruitment and retention challenges therapists, and licensed professional counselors) are seeing clients for Periodically, the Substance Abuse and (e.g., select from list of professions); behavioral health needs and the Mental Health Services Administration reasons behind the challenges (e.g., low wages, high case load) and work- populations served. The survey includes (SAMHSA) will publish a summary of arounds (e.g., use of locum tenens); questions to assess the following information collection requests under average wait-time for appointments measures: demographics (e.g., age, race/ OMB review, in compliance with the (e.g., new patient visits); staffing needed ethnicity, sex); professional and practice Paperwork Reduction Act (44 U.S.C. to address gaps in care (e.g., estimated setting (e.g., self-employed, outpatient Chapter 35). To request a copy of these FTEs needed by profession type); use of mental health clinic, zip code, hours documents, call the SAMHSA Reports telehealth (e.g., percent of visits); worked); level of education (e.g., Clearance Officer at (240) 276–0361. patient mix (e.g., immigrants, LGBTQ Masters in Social Work, Doctorate in Project: New Survey of Behavioral communities, number of clients); and Social Work); types of services provided Health Workforce Employers, Part of form of payment (e.g., percent (e.g., assertive community treatment); the Mental and Substance Use Disorder commercial, Medicaid, self-pay). The number of and type clients served (e.g., Practitioner Data Grant Funded by survey will be administered online Medicaid, Medicare, veteran, SAMHSA, Grant Number through Qualtrics. The target population immigrants); telehealth use (e.g., current H79FG000028 will be the 2,800 member organizations or prior to COVID–19 outbreak); and of the National Council of Behavioral SAMHSA is requesting from the career satisfaction and burnout (e.g., Health (NCBH). NCBH members are Office of Management and Budget very satisfied, ‘‘I enjoy my work, I have healthcare organizations and no symptoms of burnout’’). (OMB) approval to administer two management entities that offer treatment The target population will be a surveys being developed as part of the and supports to more than ten million random sample of 5,000 licensed Mental and Substance Use Disorder adults and children living with mental clinical behavioral health providers Practitioner Data grant: (1) A one-time illnesses and addictions. survey to employers of behavioral The primary objectives of the survey (licensed psychologists, licensed health providers and, (2) a one-time are to: clinical social workers, licensed survey of licensed clinical behavioral • Better understand factors associated marriage and family therapists, and health providers. The information with challenges in both recruitment and licensed professional counselors) in gathered by these surveys will be used retention at behavioral health provider states where email addresses are to gain critical new insights into, and to organizations such as certified available with state licensure data. document, challenges in recruiting and community behavioral health clinics, The primary objectives of the survey retaining behavioral health staffing and community health centers and other are to: to assess the strength of available data organizations that employ providers • Assess whether state licensure data on the clinical behavioral health engaged in treating substance use workforce actively providing care for is a reliable data source for building a disorder and mental illness. comprehensive database on clinical mental health and substance use • Estimate the workforce needed to behavioral health practitioners who are disorders. better address gaps in care for mental actively providing client services that Employer Survey health and substance use disorder. • Obtain new insights on staffing require licensure. The survey includes questions to models for treatment of serious mental • These data will also help program assess the following measures: Facility illness, such as assertive community planners and policy makers to better type (e.g., outpatient facility, inpatient, treatment. understand the available supply of residential); type of behavioral health • Collect new data on use of peer clinical behavioral health providers, staff employed (e.g., addiction medicine support specialists, care coordinators, including those seeing Medicaid or specialists, psychiatric Nurse and pharmacists in behavioral health uninsured clients, and variation in types Practitioners, marriage and family care. of services provided by each profession. EXHIBIT 1—TOTAL ESTIMATED ANNUALIZED BURDEN BY INSTRUMENT Type of participant Number of Responses Total Hours per Total burden Wage Total hour activity participants per participant responses response hours rate cost Employer Survey ...... 2,800 1 2,800 .25 700 $21.79 $15,253 Provider Survey ...... 5,000 1 5,000 .25 1,250 21.79 27,237.50 Total ...... 7,800 ...... 7,800 ...... 1,950 ...... 42,490.50 Written comments and within 30 days of publication of this information collection by selecting recommendations for the proposed notice to www.reginfo.gov/public/do/ ‘‘Currently under 30-day Review—Open information collection should be sent PRAMain. Find this particular VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00061 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17173 for Public Comments’’ or by using the Pursuant to this authority, FEMA Any private insurance company with search function. enters into a standard Financial questions may contact FEMA at: Sarah Assistance/Subsidy Arrangement Devaney Ice, Federal Insurance and Jennifer Wilson, (Arrangement) with private sector Mitigation Administration, FEMA, 400 Budget Analyst. property insurers, also known as Write C St. SW, Washington, DC 20472 (mail); [FR Doc. 2021–06700 Filed 3–31–21; 8:45 am] Your Own (WYO) companies, to sell (202) 320–5577 (phone); or BILLING CODE P NFIP flood insurance policies under [email protected] their own names and adjust and pay (email). claims arising under the Standard Flood III. Fiscal Year 2022 Arrangement DEPARTMENT OF HOMELAND Insurance Policy (SFIP). Each SECURITY Arrangement entered into by a WYO Pursuant to 44 CFR 62.23(a), FEMA company must be in the form and must publish the Arrangement at least Federal Emergency Management substance of the standard Arrangement, six months prior to the Arrangement Agency a copy of which is published in the becoming effective. The FY 2022 [Docket ID FEMA–2021–0007] Federal Register annually, at least 6 Arrangement provided below is months prior to becoming effective. See substantially similar to the previous National Flood Insurance Program 44 CFR 62.23(a). To learn more about year’s Arrangement, but includes the (NFIP); Assistance to Private Sector FEMA’s WYO Program, please visit following substantive changes: Property Insurers, Notice of FY 2022 https://nfipservices.floodsmart.gov/ 1. Reframed Article I from a list of Arrangement write-your-own-program. nonbinding recitations to generally applicable, binding provisions. Some AGENCY: Federal Emergency II. Notice of Availability recitations were incorporated into other Management Agency, Department of Insurers interested in participating in articles that align with the recitation’s Homeland Security. subject-matter. ACTION: Notice. the WYO Program for Fiscal Year 2022 must contact Sarah Devaney Ice at 2. Removed references to ‘‘certified mail’’ to allow parties greater flexibility SUMMARY: The Federal Emergency [email protected] by Management Agency announces the June 30, 2021. to use other communication methods. 3. In Article II.D.1 (Cancellation by Fiscal Year 2022 Financial Assistance/ Prior participation in the WYO FEMA), added two additional reasons Subsidy Arrangement for private Program does not guarantee FEMA will that FEMA may cancel the property insurers interested in approve continued participation. FEMA participating in the National Flood Arrangement. First, FEMA has grounds will evaluate requests to participate in to cancel the Arrangement if a company Insurance Program’s Write Your Own light of publicly available information, Program. fails to maintain compliance with WYO industry performance data, and other company participation criteria at 44 DATES: Interested insurers must submit criteria listed in 44 CFR 62.24 and the CFR 62.24, such as the requirement for intent to subscribe or re-subscribe to the FY 2022 Arrangement, copied below. WYO companies to be state licensed Arrangement by June 30, 2021. FEMA encourages private insurance property insurance companies. Second, FOR FURTHER INFORMATION CONTACT: companies to supplement this FEMA will be able to terminate the Sarah Devaney Ice, Federal Insurance information with customer satisfaction Arrangement for conduct ‘‘so serious or and Mitigation Administration, FEMA, surveys, industry awards or recognition, compelling a nature that it affects the 400 C St. SW, Washington, DC 20472 or other objective performance data. In Company’s present responsibility.’’ (mail); (202) 320–5577 (phone); or addition, private insurance companies 4. In Article III.A.4 (Operations Plan), [email protected] should work with their vendors and WYO companies will be required to (email). subcontractors involved in servicing submit a Customer Service Plan. and delivering their insurance lines to SUPPLEMENTARY INFORMATION: 5. In Article III.A.4.e, FEMA is ensure FEMA receives the information providing additional guidance on the I. Background necessary to effectively evaluate the expected contents of the previously The National Flood Insurance Act of criteria set forth in its regulations. required Catastrophic Claims Handling 1968 (NFIA) (42 U.S.C. 4001 et seq.) FEMA will send a copy of the offer for Plan. authorizes the Administrator of the the FY 2022 Arrangement, together with 6. In Article III.A.4.h, FEMA is Federal Emergency Management Agency related materials and submission replacing the requirement for WYO (FEMA) to establish and carry out a instructions, to all private insurance companies to submit a Technology Plan National Flood Insurance Program companies successfully evaluated by the with the requirement to submit a (NFIP) to enable interested persons to NFIP. If FEMA, after conducting its System Security Plan based on either purchase flood insurance. See 42 U.S.C. evaluation, chooses not to renew a the National Institute of Standards and 4011(a). Under the NFIA, FEMA may Company’s participation, FEMA, at its Technology (NIST) Special Publication use insurance companies and other option, may require the continued (SP) 800–171 ‘‘Protecting Controlled insurers, insurance agents and brokers, performance of all or selected elements Unclassified Information in Nonfederal and insurance adjustment organizations of the FY 2021 Arrangement for a period Information Systems and as fiscal agents of the United States to required for orderly transfer or cessation Organizations,’’ Revision 2, https:// help it carry out the NFIP. See 42 U.S.C. of the business and settlement of csrc.nist.gov/publications/detail/sp/800- 4071. To this end, FEMA may ‘‘enter accounts, not to exceed 18 months. See 171/rev-2/final, ISO/IEC 27001, https:// into any contracts, agreements, or other FY 2021 Arrangement, Article V.C. All www.iso.org/isoiec-27001-information- appropriate arrangements’’ with private evaluations, whether successful or security.html, or another comparable insurance companies to use their unsuccessful, will inform both an standard. facilities and services in administering overall assessment of the WYO Program 7. In Article III.B (Time Standards), the NFIP on such terms and conditions and any potential changes FEMA may clarified that not all tasks subject to time as they agree upon. See 42 U.S.C. consider regarding the Arrangement in standards requiring mailing a document 4081(a). future fiscal years. and other clarifying changes. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00062 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17174 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 8. In Article III.E.2, clarified that the companies may draw on to a more C. In addition to the requirements of existing clear communication flexible requirement requiring FEMA Article II.B, in order to ensure requirement applies to all non-NFIP enable WYO companies to draw on the uninterrupted service to policyholders, insurance policies that cover flooding, National Flood Insurance Fund without the Company must notify FEMA within not just single-peril flood insurance specifying the specific method. thirty (30) calendar days of when the policies. Also broadened the existing 16. Adds Article VI.E, which requires Company elects not to re-subscribe to data protection requirement to prohibit WYO companies to comply with the the WYO Program during the term of the use of confidential information for False Claims Act. this Arrangement. If so notified, or if any purpose outside the scope of the 17. In Article XI (Equal Opportunity), FEMA chooses not to renew the Arrangement. conforms the non-discrimination Company’s participation, FEMA, at its 9. Added Article III.K (System for requirements with the 2020 DHS option, may require the continued Award Management) to require WYO Standard Terms and Conditions for performance of all or selected elements companies to register in the System for Grants. of this Arrangement for the period Award Management and maintain such 18. Adds Article XII.C (Nondisclosure required for orderly transfer or cessation registration. by Company), which requires WYO of business and settlement of accounts, 10. Added Article III.L (Cybersecurity) companies to protect the confidentiality not to exceed eighteen (18) months after to require WYO companies to of non-public information. the end of this Arrangement (September implement IT security standards The Fiscal Year 2022 Arrangement 30, 2022), and may either require specified by National Institute of reads as follows: transfer of activities to FEMA under Standards and Technology (NIST) Article II.C.1 or allow transfer of Special Publication (SP) 800–171 Financial Assistance/Subsidy activities to another WYO company ‘‘Protecting Controlled Unclassified Arrangement under Article II.C.2: Information in Nonfederal Information Article I. General Provisions 1. FEMA may require the Company to Systems and Organizations,’’ https:// transfer all activities under this csrc.nist.gov/publications/detail/sp/800- A. Parties. The parties to the Financial Arrangement to FEMA. Within thirty 171/rev-2/final. In lieu of full Assistance/Subsidy Arrangement are the (30) calendar days of FEMA’s election of compliance with this standard, WYO Federal Emergency Management Agency this option, the Company must deliver companies may choose to show (FEMA) and the Company. to FEMA the following: compliance with other comparable B. Purpose. The purpose of this a. A plan for the orderly transfer to standards, such as ISO/IEC 27001, Financial Assistance/Subsidy FEMA of any continuing responsibilities https://www.iso.org/isoiec-27001- Arrangement is to authorize the in administering the policies issued by information-security.html, or to provide Company to sell and service flood the Company under the Program FEMA a plan of action that describes insurance policies made available including provisions for coordination how unimplemented security through the National Flood Insurance assistance. requirements of NIST SP 800–171, rev. Program and adjust and pay claims b. All data received, produced, and 2 will be met and how any planned arising under such policies as fiscal maintained through the life of the mitigations will be implemented. agents of the Federal Government. Company’s participation in the Program, 11. In Article IV.C.3, clarifies that C. Authority. This Financial including certain data, as determined by requests for reimbursement of Assistance/Subsidy Arrangement is FEMA, in a standard format and subrogation expenses are subject to authorized under the National Flood medium. guidelines issued by FEMA. Insurance Act of 1968 (NFIA) (42 U.S.C. c. All claims and policy files, 12. In Article IV.D.3 (Oversight of 4001 et seq.), and in particular, section including those pertaining to receipts Litigation), adds statement from Article 1345(a) of the NFIA (42 U.S.C. 4081(a)), and disbursements that have occurred I that any litigation resulting from, as implemented by 44 CFR 62.23 and during the life of each policy. In the related to, or arising from the 62.24. event of a transfer of the services Company’s compliance with the written Article II. Commencement and provided, the Company must provide standards, procedures, and guidance Termination FEMA with a report showing, on a issued by FEMA arises under the policy basis, any amounts due from or National Flood Insurance Act of 1968 or A. The effective period of this payable to policyholders, agents, regulations, and such legal issues raise Arrangement begins on October 1, 2021, brokers, and others as of the transition a Federal question. and terminates no earlier than date. 13. Adds Article IV.D.3.d (Customary September 30, 2022, subject to d. All funds in its possession with Business Practices), which makes clear extension pursuant to Articles II.C and respect to any policies transferred to that WYO companies must oversee II.G. FEMA may provide financial FEMA for administration and the litigation arising under the Arrangement assistance only for policy applications unearned expenses retained by the using the customary business practices and endorsements accepted by the Company. for the oversight of litigation arising Company during this period pursuant to e. A point of contact within the under the Company’s property and the Program’s effective date, Company responsible for addressing casualty lines of insurance not sold underwriting, and eligibility rules. issues that may arise from the under the Arrangement, including B. Pursuant to 44 CFR 62.23(a), FEMA Company’s previous participation under billing rates and standards. will publish the Arrangement and the the WYO Program. 14. Adds Article IV.F (Suspension terms for subscription or re-subscription 2. FEMA may allow the Company to and Debarment), which prohibits WYO for Fiscal Year 2023 in the Federal transfer all activities under this companies from using the services of Register no later than April 1, 2022. Arrangement to one or more other WYO persons suspended or debarred by the Upon such publication, the Company companies. Prior to commencing such Federal Government. must notify FEMA of its intent to re- transfer, the Company must submit, and 15. In Article V.A and Article VI.A, subscribe or not re-subscribe to the FEMA must approve, a formal request. replaces the requirement for FEMA to WYO Program for the following term Such request must include the establish Letters of Credit that WYO within ninety (90) calendar days. following: VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00063 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17175 a. An assurance of uninterrupted agrees to transfer, and FEMA will Company’s standard business practices service to policyholders. accept, any and all WYO policies issued for its non-NFIP policies. b. A detailed transfer plan providing by the Company and in force as of the b. Adjuster registration. The Company for either: (1) The renewal of the date of such inability or failure to may not use an independent adjuster to Company’s NFIP policies by one or perform. In such event FEMA will adjust a claim unless the independent more other WYO companies; or (2) the assume all obligations and liabilities adjuster: transfer of the Company’s NFIP policies within the scope of the Arrangement i. Holds a valid Flood Control Number to one or more other WYO companies. owed to policyholders arising before issued by FEMA; or c. A description of who the and after the date of transfer, and the ii. Participates in the Flood Adjuster responsible party will be for liabilities Company will immediately transfer to Capacity Program. relating to losses incurred by the FEMA all needed records and data and c. Claim reinspections. The Company Company in this or preceding all funds in its possession with respect must cooperate with any claim Arrangement years. to all such policies transferred and the reinspection by FEMA. d. A point of contact within the unearned expenses retained by the 3. Reports. The Company must certify Company responsible for addressing Company. As an alternative to the its business under the WYO Program issues that may arise from the transfer of the policies to FEMA, FEMA through monthly financial reports in Company’s previous participation under will consider a proposal, if it is made by accordance with the requirements of the the WYO Program. the Company, for the assumption of Pivot Use Procedures. The Company D. Cancellation by FEMA. responsibilities by another WYO must follow the Financial Control Plan 1. FEMA may cancel financial company as provided by Article II.C.2. and the WYO Accounting Procedures assistance under this Arrangement in its F. In the event the Act is amended, Manual. FEMA will validate and audit, entirety upon thirty (30) calendar days repealed, expires, or if FEMA is in detail, these data and compare the written notice to the Company stating otherwise without authority to continue results against Company reports. one or more of the following reasons for the Program, FEMA may cancel 4. Operations Plan. Within ninety (90) such cancellation: financial assistance under this calendar days of the commencement of a. Fraud or misrepresentation by the Arrangement for any new or renewal this Arrangement, the Company must Company subsequent to the inception of business, but the Arrangement will submit a written Operations Plan to the Arrangement; or continue for policies in force that shall FEMA describing its efforts to perform b. Nonpayment to FEMA of any be allowed to run their term under the under this Arrangement. The plan must amount due; or Arrangement. c. Material failure to comply with the include the following: G. If FEMA does not publish the a. Private Flood Insurance Separation requirements of this Arrangement or Fiscal Year 2023 Arrangement in the with the written standards, procedures, Plan. If applicable, a description of the Federal Register on or before April 1, Company’s policies, procedures, and or guidance issued by FEMA relating to 2022, then FEMA may require the the NFIP and applicable to the practices separating their NFIP flood continued performance of all or selected insurance lines of business from their Company. elements of this Arrangement through d. Failure to maintain compliance non-NFIP flood insurance lines of December 31, 2023, but such extension with WYO company participation business, including its implementation may not exceed the expiration of the six criteria at 44 CFR 62.24. of Article III.E. (6) month period following publication e. Any other cause so serious or b. Marketing Plan. A marketing plan of the Fiscal Year 2023 Arrangement in compelling a nature that affects the describing the Company’s forecasted the Federal Register. Company’s present responsibility. growth, efforts to achieve that growth, 2. If FEMA cancels this Arrangement Article III. Undertakings of the and ability to comply with any pursuant to Article II.D.1, FEMA may Company marketing guidelines provided by require the transfer of administrative FEMA. A. Responsibilities of the Company. c. Customer Service Plan. A responsibilities and the transfer of data 1. Policy Issuance and Maintenance. description of overall customer service and records as provided in Article The Company must meet all practices, including ongoing and II.C.1.a–d. If transfer is required, the requirements of the Financial Control planned improvement efforts. Company must remit to FEMA the Plan and any guidance issued by FEMA. d. Distribution Plan. A description of unearned expenses retained by the The Company is responsible for the the Company’s NFIP flood insurance Company. In such event, FEMA will following: distribution network, including assume all obligations and liabilities a. Compliance with Rating anticipated numbers of agents, efforts to owed to policyholders under such Procedures. policies, arising before and after the date b. Eligibility Determinations. train those agents, and an average rate of transfer. c. Policy Issuances. of commissions paid to producers by 3. As an alternative to the transfer of d. Policy Endorsements. state. the policies to FEMA pursuant to e. Policy Cancellations. e. Catastrophic Claims Handling Plan. Article II.D.2, FEMA will consider a f. Policy Correspondence. A catastrophic claims handling plan proposal, if it is made by the Company, g. Payment of Agents’ Commissions. describing how the Company will for the assumption of responsibilities by h. Fund Management, including the respond and maintain service standards another WYO company as provided in receipt, recording, disbursement, and in catastrophic flood events, including: Article II.C.2. timely deposit of NFIP funds. 1. Deploying mobile or temporary E. In the event that the Company is 2. Claims Processing. claims centers to provide immediate unable or otherwise fails to carry out its a. In general. The Company must policyholder assistance, including obligations under this Arrangement by process all claims consistent with the submission of notice of loss and claim reason of any order or directive duly Standard Flood Insurance Policy, status information. issued by the Department of Insurance Financial Control Plan, Claims Manual, 2. Preparing people, processes, and of any jurisdiction to which the other guidance adopted by FEMA, and tools for claims processing in remote Company is subject, the Company as much as possible, with the work scenarios. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00064 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17176 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 3. Preparing communications in 3. Endorsement processing—fifteen or the Federal Government in any way advance for readiness throughout the (15) business days. endorses, sponsors, oversees, regulates, year including a suite of printed and 4. Cancellation processing—fifteen or otherwise has any connection with digital materials (e.g., advertisements, (15) business days. the non-NFIP insurance line. The educational materials, social media 5. File examination—seven (7) Company may assure compliance with messaging, website blogs and business days from the day the this requirement by prominently announcements) that provide key Company receives the final report. including in such communications the messaging to stakeholders, including 6. Claims draft processing—seven (7) following statement: ‘‘This insurance policyholders, agents, and the public business days from completion of file product is not affiliated with the following a catastrophic flood event. examination. National Flood Insurance Program.’’ 4. Identifying the core areas of 7. Claims adjustment—forty-five (45) b. Data protection. The company may information technology that need to be calendar days average from the receipt not use non-public data, information, or scaled pre-event or are scalable post- of Notice of Loss (or equivalent) through resources obtained in course of event. completion of examination. executing this Arrangement to further or f. Business Continuity Plan. A 8. Upload transactions to PIVOT—one support any activities outside the scope business continuity plan identifying (1) business day. of this Arrangement. threats and risks facing the Company’s C. Policy Issuance. F. Claims. The Company must NFIP-related operations and how the 1. The flood insurance subject to this investigate, adjust, settle, and defend all Company will maintain operations in Arrangement must be only that claims or losses arising from policies the event of a disaster affecting its insurance written by the Company in its issued under this Arrangement. operational capabilities. own name pursuant to the Act. Payment of flood insurance claims by g. Privacy Protection Plan. A privacy 2. The Company must issue policies the Company bind FEMA, subject to protection plan that describes the under the regulations prescribed by appeal. Company’s standards for using and FEMA, in accordance with the Act, on G. Compliance with Agency maintaining personally identifiable a form approved by FEMA. Standards and Guidelines. information. 3. The Company must issue all 1. The Company must comply with h. System Security Plan. A system policies in consideration of such the Act, regulations, written standards, security plan that describes system premiums and upon such terms and procedures, and guidance issued by boundaries, system environments of conditions and in such states or areas or FEMA relating to the NFIP and operation, how security requirements subdivisions thereof as may be applicable to the Company, including, are implemented, and the relationships designated by FEMA and only where but not limited to the following: with or connections to other systems, the Company is licensed by State law to a. Financial Control Plan. including plans of action that describe engage in the property insurance b. Pivot Use Procedures. how unimplemented security business. c. Flood Insurance Manual. requirements will be met and how any D. Lapse of Authority or d. Claims Manual. planned mitigations will be Appropriation. FEMA may require the e. National Flood Insurance Program implemented, prepared in accordance Company to discontinue issuing Litigation Manual. with either: policies subject to this Arrangement f. WYO Accounting Procedures National Institute of Standards and immediately in the event Congressional Manual. Technology (NIST) Special Publication authorization or appropriation for the g. WYO Bulletins. (SP) 800–171 ‘‘Protecting Controlled NFIP is withdrawn. 2. The Company must market flood Unclassified Information in Nonfederal E. Separation of Finances and Other insurance policies in a manner Information Systems and Lines of Flood Insurance. consistent with marketing guidelines Organizations,’’ Revision 2, https:// 1. The Company must separate established by FEMA. csrc.nist.gov/publications/detail/sp/800- Federal flood insurance funds from all 3. FEMA may require the Company to 171/rev-2/final; or other Company accounts, at a bank or collect customer service information to Another comparable standard deemed banks of its choosing for the collection, monitor and improve their program acceptable by FEMA. retention and disbursement of Federal delivery. B. Time Standards. WYO companies funds relating to its obligation under 4. The Company must notify its agents must meet the time standard provided this Arrangement, less the Company’s of the requirement to comply with State below. Time will be measured from the expenses as set forth in Article IV. The regulations regarding flood insurance date of receipt through the date the task Company must remit all funds not agent education, notify agents of flood is completed. In addition to the required to meet current expenditures to insurance training opportunities, and standards set forth below, all functions the United States Treasury, in assist FEMA in periodic assessment of performed by the Company must be in accordance with the provisions of the agent training needs. accordance with the highest reasonably WYO Accounting Procedures Manual. H. Compliance with Appeals Process. attainable quality standards generally 2. Other Undertakings of the 1. In general. FEMA will notify the used in the insurance and data Company. Company when a policyholder files an processing field. Applicable time a. Clear communication. If the appeal. After notification, the Company standards are: Company also offers insurance policies must provide FEMA the following 1. Application Processing—fifteen covering the peril of flood outside of the information: (15) business days (Note: If the policy NFIP in any geographic area in which a. All records created or maintained cannot be sent due to insufficient or Program authorizes the purchase of pursuant to this Arrangement requested erroneous information or insufficient flood insurance, the Company must by FEMA; and funds, the Company must send a request ensure that all public communications b. A comprehensive claim file for correction or added moneys within (whether written, recorded, electronic, synopsis, redacted of personally ten (10) business days). or other) regarding non-NFIP insurance identifiable information, that includes a 2. Renewal processing—seven (7) lines would not lead a reasonable summary of the appeal issues, the business days. person to believe that the NFIP, FEMA, Company’s position on each issue, and VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00065 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17177 any additional relevant information. If, or FEMA notifies the Company of a 4. Service and Organization Controls in the process of writing the synopsis, possible subrogation claim, the (SOC) 2, https://www.aicpa.org/ the Company determines that it can Company must notify FEMA of its interestareas/frc/ address the issue raised by the intent to pursue the claim or refer the assuranceadvisoryservices/ policyholder on appeal without further claim to FEMA. sorhome.html; or direction, it must notify FEMA. The 4. Cooperation. Pursuant to 44 CFR 5. Another comparable standard Company will then work directly with 62.23(i)(11), the Company must extend deemed acceptable by FEMA; the policyholder to achieve resolution reasonable cooperation to FEMA’s b. Provide a plan of action that and update FEMA upon completion. Office of the Chief Counsel on matters describes how unimplemented security The Company may have a claims related to subrogation. requirements of NIST SP 800–171, rev. examiner review the file who is J. Access to Records. The Company 2, (https://csrc.nist.gov/publications/ independent from the original decision must furnish to FEMA such summaries detail/sp/800-171/rev-2/final) will be and who possesses the authority to and analysis of information including met and how any planned mitigations overturn the original decision if the claim file information and property will be implemented as part of the facts support it. address, location, and/or site system security plan required under 2. Cooperation. The Company must information in its records as may be Article III.A.4.h. cooperate with FEMA throughout the necessary to carry out the purposes of Article IV. Loss Costs, Expenses, appeal process until final resolution. the Act, in such form as FEMA, in Expense Reimbursement, and Premium This includes adhering to any written cooperation with the Company, will Refunds appeals guidance issued by FEMA. prescribe. 3. Resolution of Appeals. FEMA will K. System for Award Management. A. The Company is liable for close an appeal when: The Company must be registered in the operating, administrative, and a. FEMA upholds the denial by the System for Award Management. Such production expenses, including any Company; registration must have an active status State premium taxes, dividends, agents’ b. FEMA overturns the denial by the during the period of performance under commissions or any other expense of Company and all necessary actions that this Arrangement. The Company must whatever nature incurred by the follow are completed; ensure that its SAM registration is Company in the performance of its c. The Company independently accurate and up to date. obligations under this Arrangement but resolves the issue raised by the L. Cybersecurity. excluding other taxes or fees, such as policyholder without further direction; 1. In general. Unless the Company municipal or county premium taxes, d. The policyholder voluntarily uses a compliance alternative pursuant surcharges on flood insurance premium, withdraws the appeal; or to Article III.L.2, the Company must and guaranty fund assessments. e. The policyholder files litigation. implement the security requirements B. Payment for Selling and Servicing 4. Processing of Additional Payments specified by National Institute of Policies. from Appeal. The Company must follow Standards and Technology (NIST) 1. Operating and Administrative established NFIP adjusting practices and Special Publication (SP) 800–171 Expenses. The Company may withhold, claim handling procedures for appeals ‘‘Protecting Controlled Unclassified as operating and administrative that result in additional payment to a Information in Nonfederal Information expenses, other than agents’ or brokers’ policyholder when FEMA does not Systems and Organizations’’, Revision 2 commissions, an amount from the explicitly direct such payment during (https://csrc.nist.gov/publications/ Company’s written premium on the the review of the appeal. detail/sp/800-171/rev-2/final) for any policies covered by this Arrangement in 5. Time Standards. system that processes, stores, or reimbursement of all of the Company’s a. Provide FEMA with requested files transmits information that requires marketing, operating, and pursuant to Article III.H.1.a—ten (10) safeguarding or dissemination controls administrative expenses, except for business days after request. pursuant to and consistent with law, allocated and unallocated loss b. Provide FEMA with comprehensive regulations, this Arrangement, or other adjustment expenses described in claim file synopsis pursuant to Article applicable requirements, including Article IV.C. This amount will equal the III.H.1.b—ten (10) business days after information protected pursuant to sum of the average industry expenses request. Article XII.C and personally identifiable ratios for ‘‘Other Act.,’’ ‘‘Gen. Exp.’’ And c. Responding to inquiries from information of NFIP applicants and ‘‘Taxes’’ calculated by aggregating FEMA regarding an appeal—ten (10) policyholders. Such implementation premiums and expense amounts for business days after inquiry. must be validated by a third-party each of five property coverages using d. Inform FEMA of any litigation filed assessment organization. direct premium and expense by a policyholder with a current 2. Compliance alternatives. In lieu of information to derive weighted average appeal—ten (10) business days of compliance with Article IV.L.1, the expense ratios. For this purpose, FEMA notice. Company may either: will use data for the property/casualty I. Subrogation. a. Provide FEMA with documentation industry published, as of March 15 of 1. In general. Consistent with Federal that the Company is securing the the prior Arrangement year, in Part III law and guidance, the Company must systems subject to the requirements of of the Insurance Expense Exhibit in use its customary business practices Article III.L.1 with either: A.M. Best Company’s Aggregates and when pursuing subrogation. 1. ISO/IEC 27001, https:// Averages for the following five property 2. Referral to FEMA. Pursuant to 44 www.iso.org/isoiec-27001-information- coverages: Fire, Allied Lines, CFR 62.23(i)(8), in lieu of the Company security.html; Farmowners Multiple Peril, pursuing a subrogation claim, WYO 2. NIST Cybersecurity Framework, Homeowners Multiple Peril, and companies may refer such claims to https://csrc.nist.gov/publications/detail/ Commercial Multiple Peril (non-liability FEMA. sp/800-171/rev-2/final; portion). 3. Notification. No more than ten (10) 3. Cybersecurity Maturity Model 2. Agent Compensation. The calendar days after either the Company Certification (CMMC), https:// Company may retain fifteen (15) percent identifies a possible subrogation claim www.acq.osd.mil/cmmc/; of the Company’s written premium on VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00066 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17178 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices the policies covered by this account(s) established under Article participating in federal transactions Arrangement as the commission III.E.1 and, if such funds are depleted, pursuant to 2 CFR part 180 (covering allowance to meet the commissions or from Federal funds withdrawn from the federal nonprocurement transactions) or salaries of insurance agents, brokers, or National Flood Insurance Fund 48 CFR part 9, subpart 9.4 (covering other entities producing qualified flood pursuant to Article V. federal procurement transactions) in insurance applications and other related 2. Loss payments include payments relation to this Arrangement. expenses. because of litigation that arises under 2. Reimbursement. FEMA will not 3. Growth Bonus. FEMA may increase the scope of this Arrangement, and the reimburse the company for any the amount of expense allowance Authorities set forth herein. All such expenses incurred in violation of Article retained by the Company depending on loss payments and related expenses IV.F.1. the extent to which the Company meets must meet the documentation 3. Compliance. The Company may the marketing goals for the Arrangement requirements of the Financial Control ensure compliance with Article IV.F.1 year contained in marketing guidelines Plan and of this Arrangement, and the by: established pursuant to Article III.G.2. Company must comply with the a. Checking the System for Awards The total growth bonuses paid to litigation documentation and Management at sam.gov; companies pursuant to this notification requirements established by b. Collecting a certification from that Arrangement may not exceed two (2) FEMA. Failure to meet these person; or percent of the aggregate net written requirements may result in FEMA’s c. Adding a clause or condition to the transaction with that person. premium collected by all WYO decision not to provide reimbursement. companies. FEMA will pay the 3. Oversight of Litigation. Article V. Undertakings of the Company the amount of any increase a. Any litigation resulting from, Government after the end of the Arrangement year. related to, or arising from the A. FEMA must enable the Company to 4. Reimbursement for Services of a Company’s compliance with the written withdraw funds from the National Flood National Rating Organization. The standards, procedures, and guidance Insurance Fund daily, if needed, Company, with the consent of FEMA as issued by FEMA arises under the pursuant to prescribed procedures to terms and costs, may use the services National Flood Insurance Act of 1968 or implemented by FEMA. FEMA will of a national rating organization, regulations, and such legal issues raise increase the amounts of the licensed under state law, to help us a Federal question. authorizations as necessary to meet the undertake and carry out such studies b. The Company must conduct obligations of the Company under and investigations on a community or litigation arising out of the Company’s Article IV.C–E. The Company may only individual risk basis, and to determine participation in the NFIP in accordance request funds when net premium equitable and accurate estimates of with the National Flood Insurance income has been depleted. The timing flood insurance risk premium rates as Program Litigation Manual. and amount of cash advances must be c. FEMA will not reimburse the authorized under the Act, as amended. as close as is administratively feasible to Company for any award or judgment for FEMA will reimburse the Company for the actual disbursements by the damages and any costs to defend the charges or fees for such services recipient organization for allowable under the provisions of the WYO litigation that is either: 1. Grounded in actions by the expenses. Request for payment may not Accounting Procedures Manual. ordinarily be drawn more frequently C. FEMA will reimburse Loss Company that are significantly outside than daily. The Company may withdraw Adjustment Expenses as follows: the scope of this Arrangement; or funds from the National Flood 1. FEMA will reimburse unallocated 2. Involves issues of agent negligence. Insurance Fund for any of the following loss adjustment expenses to the d. Customary Business Practices. Unless otherwise directed by FEMA, the reasons: Company pursuant to a ‘‘ULAE 1. Payment of claims, as described in Schedule’’ coordinated with the Company must oversee litigation arising under this Arrangement using its Article IV.D; Company and provided by FEMA. 2. Refunds to applicants and customary business practices for the 2. FEMA will reimburse allocated loss policyholders for insurance premium oversight of litigation arising under the adjustment expenses to the Company overpayment, or if the application for pursuant to a ‘‘Fee Schedule’’ Company’s property and casualty lines insurance is rejected or when coordinated with the Company and of insurance not sold under this cancellation or endorsement of a policy provided by FEMA. To ensure the Arrangement, including billing rates results in a premium refund, as availability of qualified insurance and standards. described in Article IV.E; and adjusters during catastrophic flood E. Refunds. The Company must make 3. Allocated and unallocated loss events, FEMA may, in its sole premium refunds required by FEMA to adjustment expenses, as described in discretion, temporarily authorize the applicants and policyholders from Article IV.C. use of an alternative Fee Schedule with Federal flood insurance funds referred B. FEMA must provide technical increased amounts during the term of to in Article II.E.1, and, if such funds assistance to the Company as follows: this Arrangement for losses incurred are depleted, from funds derived by 1. NFIP policy and history. during a time frame and geographic area withdrawing from the National Flood 2. Clarification of underwriting, established by FEMA. Insurance Fund pursuant to Article V. coverage, and claims handling. 3. FEMA will reimburse special The Company may not refund any 3. Other assistance as needed. allocated loss expenses and subrogation premium to applicants or policyholders C. FEMA must provide the Company expenses reimbursable under 44 CFR in any manner other than as specified with a copy of all formal written appeal 62.23(i)(8) to the Company in by FEMA since flood insurance decisions conducted in accordance with accordance with guidelines issued by premiums are funds of the Federal Section 205 of the Bunning-Bereuter- FEMA. Government. Blumenauer Flood Insurance Reform D. Loss Payments. F. Suspension and Debarment. Act of 2004, Public Law 108–264 and 44 1. The Company must make loss 1. In general. The Company may not CFR 62.20. payments for flood insurance policies contract with or employ any person who D. Prior to the end of the Arrangement from federal funds retained in the bank is suspended or debarred from period, FEMA may provide the VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00067 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17179 Company a statistical summary of their Fire and Casualty Annual Statement, which the Company had actual notice performance during the signed and Insurance Expense Exhibit or prior to making payment, and Arrangement period. This summary will amendments thereof as filed with the subsequently determines that the detail the Company’s performance State Insurance Authority of the mortgagee (or trustee) is also entitled to individually, as well as compare the Company’s domiciliary State. any part of said claim payment, any Company’s performance to the aggregate E. The Company must comply with additional payment may not be paid by performance of all WYO companies and the requirements of the False Claims Act the Company from any portion of the the NFIP Direct Servicing Agent. (31 U.S.C. 3729–3733), which prohibits premium and any funds derived from submission of false or fraudulent claims any Federal funds deposited in the bank Article VI. Cash Management and for payment to the Federal Government. Accounting account described in Article III.E.1. In Article VII. Arbitration addition, the Company agrees to hold A. FEMA must make available to the the Federal Government harmless Company during the entire term of this If any misunderstanding or dispute against any claim asserted against the Arrangement the ability to withdraw arises between the Company and FEMA Federal Government by any such funds from the National Flood with reference to any factual issue mortgagee (or trustee), as described in Insurance Fund provided for in Article under any provisions of this the preceding sentence, by reason of any V. The Company may withdraw funds Arrangement or with respect to FEMA’s claim payment made to any insured from the National Flood Insurance Fund nonrenewal of the Company’s under the circumstances described for reimbursement of its expenses as set participation, other than as to legal above. forth in Article V.A that exceed net liability under or interpretation of the written premiums collected by the Standard Flood Insurance Policy, such Article IX. Officials Not To Benefit Company from the effective date of this misunderstanding or dispute may be No Member or Delegate to Congress, Arrangement or continuation period to submitted to arbitration for a or Resident Commissioner, may be the date of the draw. In the event that determination that will be binding upon admitted to any share or part of this adequate funding is not available to approval by FEMA. The Company and Arrangement, or to any benefit that may meet current Company obligations for FEMA may agree on and appoint an arise therefrom; but this provision may flood policy claim payments issued, arbitrator who will investigate the not be construed to extend to this FEMA must direct the Company to subject of the misunderstanding or Arrangement if made with a corporation immediately suspend the issuance of dispute and make a determination. If the for its general benefit. loss payments until such time as Company and FEMA cannot agree on adequate funds are available. The the appointment of an arbitrator, then Article X. Offset Company is not required to pay claims two arbitrators will be appointed, one to At the settlement of accounts, the from their own funds in the event of be chosen by the Company and one by Company and FEMA have, and may such suspension. FEMA. B. The Company must remit all funds, exercise, the right to offset any balance The two arbitrators so chosen, if they or balances, whether on account of including interest, not required to meet are unable to reach an agreement, must current expenditures to the United premiums, commissions, losses, loss select a third arbitrator who must act as adjustment expenses, salvage, or States Treasury, in accordance with the umpire, and such umpire’s provisions of the WYO Accounting otherwise due one party to the other, its determination will become final only successors or assigns, hereunder or Procedures Manual or procedures upon approval by FEMA. The Company approved in writing by FEMA. under any other Arrangements and FEMA shall bear in equal shares all heretofore or hereafter entered into C. In the event the Company elects expenses of the arbitration. Findings, not to participate in the Program in this between the Company and FEMA. This proposed awards, and determinations right of offset shall not be affected or or any subsequent fiscal year, or is resulting from arbitration proceedings otherwise unable or not permitted to diminished because of insolvency of the carried out under this section, upon Company. participate, the Company and FEMA objection by FEMA or the Company, All debts or credits of the same class, must make a provisional settlement of shall be inadmissible as evidence in any whether liquidated or unliquidated, in all amounts due or owing within three subsequent proceedings in any court of favor of or against either party to this (3) months of the expiration or competent jurisdiction. termination of this Arrangement. This This Article shall indefinitely succeed Arrangement on the date of entry, or any settlement must include net premiums the term of this Arrangement. order of conservation, receivership, or collected, funds withdrawn from the liquidation, shall be deemed to be National Flood Insurance Fund, and Article VIII. Errors and Omissions mutual debts and credits and shall be reserves for outstanding claims. The A. In the event of negligence by the offset with the balance only to be Company and FEMA agree to make a Company that has not resulted in allowed or paid. No offset shall be final settlement, subject to audit, of litigation but has resulted in a claim allowed where a conservator, receiver, accounts for all obligations arising from against the Company, FEMA will not or liquidator has been appointed and this Arrangement within eighteen (18) consider reimbursement of the where an obligation was purchased by months of its expiration or termination, Company for costs incurred due to that or transferred to a party hereunder to be except for contingent liabilities that negligence unless the Company takes all used as an offset. must be listed by the Company. At the reasonable actions to rectify the Although a claim on the part of either time of final settlement, the balance, if negligence and to mitigate any such party against the other may be any, due FEMA or the Company must be costs as soon as possible after discovery unliquidated or undetermined in remitted by the other immediately and of the negligence. The Company may amount on the date of the entry of the the operating year under this choose not to seek reimbursement from order, such claim will be regarded as Arrangement must be closed. FEMA. being in existence as of the date of such D. Upon FEMA’s request, the B. If the Company has made a claim order and any credits or claims of the Company must provide FEMA with a payment to an insured without same class then in existence and held by true and correct copy of the Company’s including a mortgagee (or trustee) of the other party may be offset against it. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00068 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17180 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices Article XI. Equal Opportunity representatives, for the purpose of Article XIII. Compliance With Act and A. Age Discrimination Act of 1975. investigation, audit, and examination Regulations The Company must comply with the shall have access to any books, This Arrangement and all policies of requirements of the Age Discrimination documents, papers and records of the insurance issued pursuant thereto are Act of 1975, Public Law 94–135 (42 Company that are pertinent to this subject to Federal law and regulations. U.S.C. 6101 et seq.) which prohibits Arrangement. The Company shall keep records that fully disclose all matters Article XIV. Relationship Between the discrimination on the basis of age in any Parties and the Insured program or activity receiving federal pertinent to this Arrangement, including financial assistance. premiums and claims paid or payable Inasmuch as the Federal Government B. Americans with Disabilities Act. under policies issued pursuant to this is a guarantor hereunder, the primary The Company must comply with the Arrangement. Records of accounts and relationship between the Company and requirements of Titles I, II, and III of the records relating to financial assistance the Federal Government is one of a Americans with Disabilities Act, Public shall be retained and available for three fiduciary nature, that is, to assure that Law 101–336 (42 U.S.C. 12101–12213), (3) years after final settlement of any taxpayer funds are accounted for which prohibits recipients from accounts, and to financial assistance, and appropriately expended. The discriminating on the basis of disability three (3) years after final adjustment of Company is a fiscal agent of the Federal in the operation of public entities, such claims. FEMA shall have access to Government, but is not a general agent public and private transportation policyholder and claim records at all of the Federal Government. The systems, places of public times for purposes of the review, Company is solely responsible for its accommodation, and certain testing defense, examination, adjustment, or obligations to its insured under any entities. investigation of any claim under a flood policy issued pursuant hereto, such that C. Civil Rights Act of 1964—Title VI. insurance policy subject to this the Federal Government is not a proper The Company must comply with the Arrangement. party to any lawsuit arising out of such requirements of Title VI of the Civil B. Nondisclosure by FEMA. FEMA, to policies. Rights Act of 1964 (42 U.S.C. 2000d et the extent permitted by law and (Authority: 42 U.S.C. 4071, 4081; 44 CFR seq.), which provides that no person in regulation, will safeguard and treat 62.23) information submitted or made the United States will, on the grounds David I. Maurstad, of race, color, or national origin, be available by the Company pursuant to Deputy Associate Administrator for Insurance excluded from participation in, be this Arrangement as confidential where the information has been marked and Mitigation, Federal Emergency denied the benefits of, or be subjected Management Agency. to discrimination under any program or ‘‘confidential’’ by the Company and the [FR Doc. 2021–06714 Filed 3–31–21; 8:45 am] activity receiving federal financial Company customarily keeps such assistance. Department of Homeland information private or closely-held. To BILLING CODE 9111–52–P Security implementing regulations for the extent permitted by law and the Act are found at 6 CFR part 21 and regulation, FEMA will not release such information to the public pursuant to a DEPARTMENT OF HOMELAND 44 CFR part 7. SECURITY D. Civil Rights Act of 1968. The Freedom of Information Act (FOIA) Company must comply with Title VIII of request, 5 U.S.C. 552, without prior U.S. Citizenship and Immigration the Civil Rights Act of 1968 (42 U.S.C. notification to the Company. FEMA may Services 3601–3619), which prohibits recipients transfer documents provided by the from discriminating in the sale, rental, Company to any department or agency [OMB Control Number 1615–0051] within the Executive Branch or to either financing, and advertising of dwellings, Agency Information Collection or in the provision of services in house of Congress if the information relates to matters within the Activities; Extension, Without Change, connection therewith, on the basis of of a Currently Approved Collection: race, color, national origin, religion, organization’s jurisdiction. FEMA may also release the information submitted Monthly Report on Naturalization disability, familial status, and sex as Papers implemented by the U.S. Department of pursuant to a judicial order from a court Housing and Urban Development at 24 of competent jurisdiction. AGENCY: U.S. Citizenship and CFR part 100. C. Nondisclosure by Company. Immigration Services, Department of E. Rehabilitation Act of 1973. The 1. In general. The Company, to the Homeland Security. Company must comply with the extent permitted by law, must safeguard ACTION: 30-Day notice. requirements of Section 504 of the and treat information submitted or made Rehabilitation Act of 1973 (29 U.S.C. available by FEMA pursuant to this SUMMARY: The Department of Homeland 794), which provides that no otherwise Arrangement as confidential where the Security (DHS), U.S. Citizenship and qualified handicapped individuals in information has been marked or Immigration Services (USCIS) will be the United States will, solely by reason identified as ‘‘confidential’’ by FEMA submitting the following information of the handicap, be excluded from and FEMA customarily keeps such collection request to the Office of participation in, be denied the benefits information private or closely-held. The Management and Budget (OMB) for of, or be subjected to discrimination Company may not disclose such review and clearance in accordance under any program or activity receiving confidential information to a third-party with the Paperwork Reduction Act of federal financial assistance. without the express written consent of 1995. The purpose of this notice is to FEMA or as otherwise required by law. allow an additional 30 days for public Article XII. Access to Books and 2. Other protections. Article XII.C.1 comments. Records shall not be construed as to limit the DATES: Comments are encouraged and A. Audits. FEMA, the Department of effect of any other requirement on the will be accepted until May 3, 2021. Homeland Security, and the Company to protect information from ADDRESSES: Written comments and/or Comptroller General of the United disclosure, including a joint defense suggestions regarding the item(s) States, or their duly authorized agreement or under the Privacy Act. contained in this notice, especially VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00069 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17181 regarding the estimated public burden should address one or more of the (7) An estimate of the total public and associated response time, must be following four points: burden (in cost) associated with the submitted via the Federal eRulemaking (1) Evaluate whether the proposed collection: The estimated total annual Portal website at http:// collection of information is necessary cost burden associated with this www.regulations.gov under e-Docket ID for the proper performance of the collection of information is $7,200. number USCIS–2005–0032. All functions of the agency, including Dated: March 26, 2021. whether the information will have submissions received must include the Samantha L. Deshommes, OMB Control Number 1615–0051 in the practical utility; Chief, Regulatory Coordination Division, body of the letter, the agency name and (2) Evaluate the accuracy of the agency’s estimate of the burden of the Office of Policy and Strategy, U.S. Citizenship Docket ID USCIS–2005–0032. and Immigration Services, Department of FOR FURTHER INFORMATION CONTACT: proposed collection of information, Homeland Security. including the validity of the USCIS, Office of Policy and Strategy, [FR Doc. 2021–06666 Filed 3–31–21; 8:45 am] methodology and assumptions used Regulatory Coordination Division, BILLING CODE 9111–97–P Samantha Deshommes, Chief, (3) Enhance the quality, utility, and Telephone number (240) 721–3000 clarity of the information to be (This is not a toll-free number; collected; and DEPARTMENT OF HOMELAND (4) Minimize the burden of the comments are not accepted via SECURITY collection of information on those who telephone message.). Please note contact are to respond, including through the information provided here is solely for U.S. Citizenship and Immigration use of appropriate automated, questions regarding this notice. It is not Services electronic, mechanical, or other for individual case status inquiries. technological collection techniques or [OMB Control Number 1615–0009] Applicants seeking information about other forms of information technology, the status of their individual cases can Agency Information Collection e.g., permitting electronic submission of check Case Status Online, available at Activities; Extension, Without Change, responses. the USCIS website at http:// of a Currently Approved Collection: www.uscis.gov, or call the USCIS Overview of This Information Petition for a Nonimmigrant Worker Contact Center at (800) 375–5283; TTY Collection (800) 767–1833. AGENCY: U.S. Citizenship and (1) Type of Information Collection: Immigration Services, Department of SUPPLEMENTARY INFORMATION: Extension, Without Change, of a Homeland Security. Currently Approved Collection. Comments ACTION: 60-day notice. (2) Title of the Form/Collection: The information collection notice was Monthly Report on Naturalization SUMMARY: The Department of Homeland previously published in the Federal Papers. Security (DHS), U.S. Citizenship and Register on January 14, 2021, at 86 FR (3) Agency form number, if any, and Immigration Services (USCIS) invites 3167, allowing for a 60-day public the applicable component of the DHS the general public and other Federal comment period. USCIS did not receive sponsoring the collection: N–4; USCIS. agencies to comment upon this any comments in connection with the (4) Affected public who will be asked proposed extension of a currently 60-day notice. or required to respond, as well as a brief approved collection of information. In You may access the information abstract: Primary: Federal Government; accordance with the Paperwork collection instrument with instructions, or State, local or Tribal Government. Reduction Act (PRA) of 1995, the or additional information by visiting the This form is used by the clerk of courts information collection notice is Federal eRulemaking Portal site at: that administer the oath of allegiance for published in the Federal Register to http://www.regulations.gov and enter naturalization to notify the USCIS of all obtain comments regarding the nature of USCIS–2005–0032 in the search box. persons to whom the oath was the information collection, the The comments submitted to USCIS via administered. The information is used categories of respondents, the estimated this method are visible to the Office of by the USCIS to update its alien files burden (i.e. the time, effort, and Management and Budget and comply and records to indicate that the aliens resources used by the respondents to with the requirements of 5 CFR are now citizens; develop an audit trail respond), the estimated cost to the 1320.12(c). All submissions will be on the certificates of naturalization; and respondent, and the actual information posted, without change, to the Federal determine the payments to be made to collection instruments. eRulemaking Portal at http:// the courts for reimbursement of their DATES: Comments are encouraged and www.regulations.gov, and will include expenses in connection with the will be accepted for 60 days until June any personal information you provide. naturalization process. Therefore, submitting this information (5) An estimate of the total number of 1, 2021. makes it public. You may wish to respondents and the amount of time ADDRESSES: All submissions received consider limiting the amount of estimated for an average respondent to must include the OMB Control Number personal information that you provide respond: The estimated total number of 1615–0009 in the body of the letter, the in any voluntary submission you make respondents for the information agency name and Docket ID USCIS– to DHS. DHS may withhold information collection N–4 is 160, the number of 2005–0030. Submit comments via the provided in comments from public responses per respondent is 12, the total Federal eRulemaking Portal website at viewing that it determines may impact number of responses is 1,920, and the https://www.regulations.gov under e- the privacy of an individual or is estimated hour burden per response is Docket ID number USCIS–2005–0030. offensive. For additional information, 0.5 hour. USCIS is limiting communications for please read the Privacy Act notice that (6) An estimate of the total public this Notice as a result of USCIS’ COVID– is available via the link in the footer of burden (in hours) associated with the 19 response actions. http://www.regulations.gov. collection: The total estimated annual FOR FURTHER INFORMATION CONTACT: Written comments and suggestions hour burden associated with this USCIS, Office of Policy and Strategy, from the public and affected agencies collection is 960 hours. Regulatory Coordination Division, VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00070 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17182 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices Samantha Deshommes, Chief, telephone Overview of This Information Classification Supplement to Form I– number (240) 721–3000 (This is not a Collection 129 is 37,831 and the estimated hour toll-free number. Comments are not (1) Type of Information Collection: burden per response is 1.34; the accepted via telephone message). Please Extension, Without Change, of a estimated total number of respondents note contact information provided here Currently Approved Collection. for the information collection O and P is solely for questions regarding this (2) Title of the Form/Collection: Classifications Supplement to Form I– notice. It is not for individual case Petition for a Nonimmigrant Worker. 129 is 22,710 and the estimated hour status inquiries. Applicants seeking (3) Agency form number, if any, and burden per response is 1; the estimated information about the status of their the applicable component of the DHS total number of respondents for the individual cases can check Case Status sponsoring the collection: I–129; USCIS. information collection Q–1 Online, available at the USCIS website (4) Affected public who will be asked Classification Supplement to Form I– at https://www.uscis.gov, or call the or required to respond, as well as a brief 129 is 155 and the estimated hour USCIS Contact Center at 800–375–5283 abstract: Primary: Business or other for- burden per response is 0.34; the (TTY 800–767–1833). profit. USCIS uses the data collected on estimated total number of respondents SUPPLEMENTARY INFORMATION: this form to determine eligibility for the for the information collection R–1 requested nonimmigrant petition and/or Classification Supplement to Form I– Comments requests to extend or change 129 is 6,635 and the estimated hour You may access the information nonimmigrant status. An employer (or burden per response is 2.34. collection instrument with instructions agent, where applicable) uses this form (6) An estimate of the total public or additional information by visiting the to petition USCIS for an alien to burden (in hours) associated with the Federal eRulemaking Portal site at: temporarily enter as a nonimmigrant. collection: The total estimated annual https://www.regulations.gov and An employer (or agent, where hour burden associated with this entering USCIS–2005–0030 in the applicable) also uses this form to collection is 1,072,810 hours. search box. All submissions will be request an extension of stay or change (7) An estimate of the total public posted, without change, to the Federal of status on behalf of the alien worker. burden (in cost) associated with the eRulemaking Portal at https:// The form serves the purpose of collection: The estimated total annual www.regulations.gov, and will include standardizing requests for cost burden associated with this any personal information you provide. nonimmigrant workers, and ensuring collection of information is $70,681,290. Therefore, submitting this information that basic information required for Dated: March 26, 2021. makes it public. You may wish to assessing eligibility is provided by the Samantha L Deshommes, consider limiting the amount of petitioner while requesting that Chief, Regulatory Coordination Division, personal information that you provide beneficiaries be classified under certain Office of Policy and Strategy, U.S. Citizenship in any voluntary submission you make nonimmigrant employment categories. It and Immigration Services, Department of to DHS. DHS may withhold information also assists USCIS in compiling Homeland Security. provided in comments from public information required by Congress [FR Doc. 2021–06662 Filed 3–31–21; 8:45 am] viewing that it determines may impact annually to assess effectiveness and BILLING CODE 9111–97–P the privacy of an individual or is utilization of certain nonimmigrant offensive. For additional information, classifications. please read the Privacy Act notice that (5) An estimate of the total number of DEPARTMENT OF HOMELAND is available via the link in the footer of respondents and the amount of time SECURITY https://www.regulations.gov. estimated for an average respondent to U.S. Citizenship and Immigration Written comments and suggestions respond: The estimated total number of Services from the public and affected agencies respondents for the information should address one or more of the collection I–129 is 294,751 and the [OMB Control Number 1615–0111] following four points: estimated hour burden per response is (1) Evaluate whether the proposed 2.34 hours; the estimated total number Agency Information Collection collection of information is necessary of respondents for the information Activities; Extension, Without Change, for the proper performance of the collection E–1/E–2 Classification of a Currently Approved Collection: functions of the agency, including Supplement to Form I–129 is 4,760 and Petition for CNMI-Only Nonimmigrant whether the information will have the estimated hour burden per response Transition Worker and Semiannual practical utility; is 0.67; the estimated total number of Report for CW–1 Employers (2) Evaluate the accuracy of the respondents for the information AGENCY: U.S. Citizenship and agency’s estimate of the burden of the collection Trade Agreement Supplement Immigration Services, Department of proposed collection of information, to Form I–129 is 3,057 and the Homeland Security. including the validity of the estimated hour burden per response is ACTION: 60-Day notice. methodology and assumptions used; 0.67; the estimated total number of (3) Enhance the quality, utility, and respondents for the information SUMMARY: The Department of Homeland clarity of the information to be collection H Classification Supplement Security (DHS), U.S. Citizenship and collected; and to Form I–129 is 96,291 and the Immigration Services (USCIS) invites (4) Minimize the burden of the estimated hour burden per response is the general public and other Federal collection of information on those who 2; the estimated total number of agencies to comment upon this are to respond, including through the respondents for the information proposed extension of a currently use of appropriate automated, collection H–1B and H–1B1 Data approved collection of information. In electronic, mechanical, or other Collection and Filing Fee Exemption accordance with the Paperwork technological collection techniques or Supplement is 96,291 and the estimated Reduction Act (PRA) of 1995, the other forms of information technology, hour burden per response is 1; the information collection notice is e.g., permitting electronic submission of estimated total number of respondents published in the Federal Register to responses. for the information collection L obtain comments regarding the nature of VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00071 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17183 the information collection, the should address one or more of the use as DOL may deem appropriate. categories of respondents, the estimated following four points: Congress expressly provided for these burden (i.e. the time, effort, and (1) Evaluate whether the proposed semiannual reports to be shared with resources used by the respondents to collection of information is necessary DOL. 48 U.S.C. 1086(d)(3)(D)(ii). respond), the estimated cost to the for the proper performance of the (5) An estimate of the total number of respondent, and the actual information functions of the agency, including respondents and the amount of time collection instruments. whether the information will have estimated for an average respondent to DATES: Comments are encouraged and practical utility; respond: The estimated total number of (2) Evaluate the accuracy of the will be accepted for 60 days until June respondents for the information agency’s estimate of the burden of the 1, 2021. collection Form I–129CW is 5,975 and proposed collection of information, the estimated hour burden per response ADDRESSES: All submissions received including the validity of the is 3.5 hours; the estimated total number must include the OMB Control Number methodology and assumptions used; of respondents for the information 1615–0111 in the body of the letter, the (3) Enhance the quality, utility, and collection Form I–129CWR is 5,975 and agency name and Docket ID USCIS– clarity of the information to be the estimated hour burden per response 2012–0011. Submit comments via the collected; and is 2.5 hours. Federal eRulemaking Portal website at (4) Minimize the burden of the (6) An estimate of the total public https://www.regulations.gov under e- collection of information on those who burden (in hours) associated with the Docket ID number USCIS–2012–0011. are to respond, including through the collection: The total estimated annual USCIS is limiting communications for use of appropriate automated, hour burden associated with this this Notice as a result of USCIS’ COVID– electronic, mechanical, or other collection is 35,851 hours. 19 response actions. technological collection techniques or (7) An estimate of the total public FOR FURTHER INFORMATION CONTACT: other forms of information technology, burden (in cost) associated with the USCIS, Office of Policy and Strategy, e.g., permitting electronic submission of collection: The estimated total annual Regulatory Coordination Division, responses. cost burden associated with this Samantha Deshommes, Chief, telephone Overview of This Information collection of information is $3,809,063. number (240) 721–3000 (This is not a Collection Dated: March 26, 2021. toll-free number. Comments are not Samantha L Deshommes, accepted via telephone message). Please (1) Type of Information Collection: Extension, Without Change, of a Chief, Regulatory Coordination Division, note contact information provided here Office of Policy and Strategy, U.S. Citizenship is solely for questions regarding this Currently Approved Collection. (2) Title of the Form/Collection: and Immigration Services, Department of notice. It is not for individual case Homeland Security. status inquiries. Applicants seeking Petition for CNMI-Only Nonimmigrant Transition Worker and Semiannual [FR Doc. 2021–06667 Filed 3–31–21; 8:45 am] information about the status of their BILLING CODE 9111–97–P individual cases can check Case Status Report for CW–1 Employers. (3) Agency form number, if any, and Online, available at the USCIS website the applicable component of the DHS at https://www.uscis.gov, or call the DEPARTMENT OF HOMELAND sponsoring the collection: I–129CW; I– USCIS Contact Center at 800–375–5283 SECURITY 129CWR; USCIS. (TTY 800–767–1833). (4) Affected public who will be asked U.S. Citizenship and Immigration SUPPLEMENTARY INFORMATION: or required to respond, as well as a brief Services Comments abstract: Primary: Business or other for- profit. USCIS uses the data collected on [OMB Control Number 1615–0003] You may access the information Form I–129CW to determine eligibility collection instrument with instructions for the requested immigration benefits. Agency Information Collection or additional information by visiting the An employer uses Form I–129CW to Activities; Extension, Without Change, Federal eRulemaking Portal site at: petition USCIS for an alien to of a Currently Approved Collection: https://www.regulations.gov and temporarily enter as a nonimmigrant Application To Extend/Change entering USCIS–2012–0011 in the into the CNMI to perform services or Nonimmigrant Status search box. All submissions will be labor as a CW–1 worker. An employer AGENCY: U.S. Citizenship and posted, without change, to the Federal also uses Form I–129CW to request an Immigration Services, Department of eRulemaking Portal at https:// extension of stay or change of status on Homeland Security. www.regulations.gov and will include behalf of the alien worker. The Form I– ACTION: 60-Day notice. any personal information you provide. 129CW serves the purpose of Therefore, submitting this information standardizing requests for these benefits SUMMARY: The Department of Homeland makes it public. You may wish to and ensuring that the basic information Security (DHS), U.S. Citizenship and consider limiting the amount of required to determine eligibility is Immigration Services (USCIS) invites personal information that you provide provided by the petitioners. the general public and other Federal in any voluntary submission you make Form I–129CWR, Semiannual Report agencies to comment upon this to DHS. DHS may withhold information for CW–1 Employers, is used by proposed extension of a currently provided in comments from public employers to comply with the reporting approved collection of information. In viewing that it determines may impact requirements imposed by the Workforce accordance with the Paperwork the privacy of an individual or is Act. Form I–129CWR captures data Reduction Act (PRA) of 1995, the offensive. For additional information, USCIS requires to help verify the information collection notice is please read the Privacy Act notice that continuing employment and payment of published in the Federal Register to is available via the link in the footer of the CW–1 worker. DHS may provide obtain comments regarding the nature of https://www.regulations.gov. such semiannual reports to other federal the information collection, the Written comments and suggestions partners, including the US. Department categories of respondents, the estimated from the public and affected agencies of Labor (DOL) for investigative or other burden (i.e. the time, effort, and VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00072 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17184 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices resources used by the respondents to for the proper performance of the collection: The estimated total annual respond), the estimated cost to the functions of the agency, including cost burden associated with this respondent, and the actual information whether the information will have collection of information is $42,700,241. collection instruments. practical utility; Dated: March 26, 2021. (2) Evaluate the accuracy of the DATES: Comments are encouraged and Samantha L Deshommes, will be accepted for 60 days until June agency’s estimate of the burden of the proposed collection of information, Chief, Regulatory Coordination Division, 1, 2021. Office of Policy and Strategy, U.S. Citizenship ADDRESSES: All submissions received including the validity of the and Immigration Services, Department of must include the OMB Control Number methodology and assumptions used; Homeland Security. (3) Enhance the quality, utility, and 1615–0003 in the body of the letter, the [FR Doc. 2021–06665 Filed 3–31–21; 8:45 am] clarity of the information to be agency name and Docket ID USCIS– BILLING CODE 9111–97–P 2007–0038. Submit comments via the collected; and (4) Minimize the burden of the Federal eRulemaking Portal website at collection of information on those who https://www.regulations.gov under DEPARTMENT OF HOMELAND are to respond, including through the e-Docket ID number USCIS–2007–0038. SECURITY use of appropriate automated, USCIS is limiting communications for electronic, mechanical, or other this Notice as a result of USCIS’ COVID– U.S. Citizenship and Immigration technological collection techniques or 19 response actions. Services other forms of information technology, FOR FURTHER INFORMATION CONTACT: e.g., permitting electronic submission of [OMB Control Number 1615–0116] USCIS, Office of Policy and Strategy, responses. Regulatory Coordination Division, Agency Information Collection Samantha Deshommes, Chief, telephone Overview of This Information Activities; Extension, Without Change, number (240) 721–3000 (This is not a Collection of a Currently Approved Collection: toll-free number. Comments are not (1) Type of Information Collection: Request for Fee Waiver accepted via telephone message). Please Extension, Without Change, of a AGENCY: U.S. Citizenship and note contact information provided here Currently Approved Collection. Immigration Services, Department of is solely for questions regarding this (2) Title of the Form/Collection: Homeland Security. notice. It is not for individual case Application to Extend/Change ACTION: 60-Day notice. status inquiries. Applicants seeking Nonimmigrant Status. information about the status of their (3) Agency form number, if any, and SUMMARY: The Department of Homeland individual cases can check Case Status the applicable component of the DHS Security (DHS), U.S. Citizenship and Online, available at the USCIS website sponsoring the collection: Form I–539 Immigration Services (USCIS) invites at https://www.uscis.gov, or call the and I–539A; USCIS. the general public and other Federal USCIS Contact Center at 800–375–5283 (4) Affected public who will be asked agencies to comment upon this (TTY 800–767–1833). or required to respond, as well as a brief proposed extension of a currently SUPPLEMENTARY INFORMATION: abstract: Primary: Individuals or approved collection of information. In households. This form will be used for Comments accordance with the Paperwork nonimmigrants to apply for an Reduction Act (PRA) of 1995, the You may access the information extension of stay, for a change to information collection notice is collection instrument with instructions another nonimmigrant classification, or published in the Federal Register to or additional information by visiting the for obtaining V nonimmigrant obtain comments regarding the nature of Federal eRulemaking Portal site at: classification. the information collection, the https://www.regulations.gov and (5) An estimate of the total number of categories of respondents, the estimated entering USCIS–2007–0038 in the respondents and the amount of time burden (i.e. the time, effort, and search box. All submissions will be estimated for an average respondent to resources used by the respondents to posted, without change, to the Federal respond: The estimated total number of respond), the estimated cost to the eRulemaking Portal at https:// respondents for the information respondent, and the actual information www.regulations.gov, and will include collection Form I–539 (paper) is 174,289 collection instruments. any personal information you provide. and the estimated hour burden per DATES: Comments are encouraged and Therefore, submitting this information response is 2.00 hours, the estimated will be accepted for 60 days until June makes it public. You may wish to total number of respondents for the 1, 2021. consider limiting the amount of information collection I–539 (electronic) personal information that you provide is 74,696 and the estimated hour burden ADDRESSES: All submissions received in any voluntary submission you make per response is 1.083 hours; and the must include the OMB Control Number to DHS. DHS may withhold information estimated total number of respondents 1615–0116 in the body of the letter, the provided in comments from public for the information collection I–539A is agency name and Docket ID USCIS– viewing that it determines may impact 54,375 and the estimated hour burden 2010–0008. Submit comments via the the privacy of an individual or is per response is 0.5 hours; biometrics Federal eRulemaking Portal website at offensive. For additional information, processing is 373,477 total respondents https://www.regulations.gov under e- please read the Privacy Act notice that requiring an estimated 1.17 hours per Docket ID number USCIS–2010–0008. is available via the link in the footer of response. USCIS is limiting communications for https://www.regulations.gov. (6) An estimate of the total public this Notice as a result of USCIS’ COVID– Written comments and suggestions burden (in hours) associated with the 19 response actions. from the public and affected agencies collection: The total estimated annual FOR FURTHER INFORMATION CONTACT: should address one or more of the hour burden associated with this USCIS, Office of Policy and Strategy, following four points: collection is 893,630 hours. Regulatory Coordination Division, (1) Evaluate whether the proposed (7) An estimate of the total public Samantha Deshommes, Chief, telephone collection of information is necessary burden (in cost) associated with the number (240) 721–3000 (This is not a VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00073 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17185 toll-free number. Comments are not Overview of This Information cost burden associated with this accepted via telephone message). Please Collection collection of information is $2,259,480. note contact information provided here (1) Type of Information Collection: Dated: March 26, 2021. is solely for questions regarding this Extension, Without Change, of a Samantha L. Deshommes, notice. It is not for individual case Currently Approved Collection. Chief, Regulatory Coordination Division, status inquiries. Applicants seeking Office of Policy and Strategy, U.S. Citizenship information about the status of their (2) Title of the Form/Collection: Request for Fee Waiver. and Immigration Services, Department of individual cases can check Case Status Homeland Security. Online, available at the USCIS website (3) Agency form number, if any, and the applicable component of the DHS [FR Doc. 2021–06663 Filed 3–31–21; 8:45 am] at https://www.uscis.gov, or call the BILLING CODE 9111–97–P USCIS Contact Center at 800–375–5283 sponsoring the collection: I–912; USCIS. (TTY 800–767–1833). (4) Affected public who will be asked or required to respond, as well as a brief SUPPLEMENTARY INFORMATION: abstract: Primary: Individuals or DEPARTMENT OF THE INTERIOR Comments households. USCIS uses the data Bureau of Indian Affairs collected on this form to verify that the You may access the information applicant is unable to pay for the [212A2100DD/AAKC001030// collection instrument with instructions immigration benefit being requested. A0A501010.999900] or additional information by visiting the USCIS will consider waiving a fee for an Grant Availability to Federally Federal eRulemaking Portal site at: application or petition when the Recognized Indian Tribes To https://www.regulations.gov and applicant or petitioner clearly Implement Traffic Safety Programs and entering USCIS–2010–0008 in the demonstrates that he or she is unable to Projects on Indian Reservations search box. All submissions will be pay the fee. Form I–912 standardizes the posted, without change, to the Federal collection and analysis of statements AGENCY: Bureau of Indian Affairs, eRulemaking Portal at https:// and supporting documentation provided Interior. www.regulations.gov, and will include by the applicant with the fee waiver ACTION: Notice. any personal information you provide. request. Form I–912 also streamlines Therefore, submitting this information and expedites USCIS’s review, approval, SUMMARY: In accordance with a statute makes it public. You may wish to or denial of the fee waiver request by and as authorized by the Secretary of consider limiting the amount of clearly laying out the most salient data Transportation through the Secretary of personal information that you provide and evidence necessary for the the Interior, the Bureau of Indian Affairs in any voluntary submission you make determination of inability to pay. (BIA), under the Indian Highway Safety to DHS. DHS may withhold information Officers evaluate all factors, Program (IHSP), will make funds provided in comments from public circumstances, and evidence supplied available to federally recognized Indian viewing that it determines may impact in support of a fee waiver request when Tribes on an annual basis for the privacy of an individual or is making a final determination. Each case implementing traffic safety programs offensive. For additional information, is unique and is considered on its own and projects designed to reduce the please read the Privacy Act notice that merits. If the fee waiver is granted, the number of traffic crashes, death, is available via the link in the footer of application will be processed. If the fee injuries, and property damage within https://www.regulations.gov. waiver is not granted, USCIS will notify these populations. All project Written comments and suggestions the applicant and instruct him or her to applications received will be reviewed from the public and affected agencies file a new application with the and selected on a competitive basis. should address one or more of the appropriate fee. DATES: On or about February 15, 2021, following four points: (5) An estimate of the total number of the IHSP mailed application packets to (1) Evaluate whether the proposed respondents and the amount of time all Tribal leaders. Applications for collection of information is necessary estimated for an average respondent to program and/or project funds must be for the proper performance of the respond: The estimated total number of received on or before May 1, 2021. functions of the agency, including respondents for the information Applications not received by the IHSP whether the information will have collection Form I–912 is 594,000 and by close of business on May 1, 2021, practical utility; the estimated hour burden per response will not be considered and will be is 1.17. The estimated total number of returned unopened. This notice informs (2) Evaluate the accuracy of the respondents for the information qualified applicants of the application agency’s estimate of the burden of the collection Non-form request for fee procedures for Federal Fiscal Year 2022. proposed collection of information, waiver is 8,400 and the estimated hour ADDRESSES: To apply, each Tribe must including the validity of the burden per response is 1.17. The submit its application to the Bureau of methodology and assumptions used; estimated total number of respondents Indian Affairs, Office of Justice Services, (3) Enhance the quality, utility, and for the information collection 8 CFR Attention: Indian Highway Safety clarity of the information to be 103.7(d) Director’s exception request is Program Director, 1001 Indian School collected; and 128 and the estimated hour burden per NE, Suite 251, Albuquerque, New (4) Minimize the burden of the response is 1.17. Mexico 87104. collection of information on those who (6) An estimate of the total public FOR FURTHER INFORMATION CONTACT: are to respond, including through the burden (in hours) associated with the Tribes should direct questions or use of appropriate automated, collection: The total estimated annual requests for copies of the application electronic, mechanical, or other hour burden associated with this packet to: Ms. Kimberly Belone, Indian technological collection techniques or collection is 704,958 hours. Highway Safety Program, 1001 Indian other forms of information technology, (7) An estimate of the total public School NE, Suite 251, Albuquerque, e.g., permitting electronic submission of burden (in cost) associated with the New Mexico 87104; telephone (505) responses. collection: The estimated total annual 563–3900. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00074 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17186 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices SUPPLEMENTARY INFORMATION: National Priority Program Areas upon accurate Tribal data. Data should be complete and accurate and should Background The following highway safety program areas have been identified as show problems and/or trends. This data The Highway Safety Act of 1966, 23 priority program areas eligible for should be available in Tribal U.S.C. 402, as amended, provided for funding under 23 U.S.C 402 on Tribal enforcement, traffic crash records and U.S. Department of Transportation lands: medical records. 2. Goals, Performance Measures and (DOT) funding, through the National 1. Impaired driving Strategies. Tribes must provide the Highway Traffic Safety Administration 2. Occupant protection overall goals of the project as well as a (NHTSA) to assist Indian Tribes in 3. Traffic records list of performance measures and implementing traffic safety projects. Other fundable program areas may be considered based upon well strategies to be used to evaluate Any program or project request must be performance. All goals, performance designed to reduce the number of motor documented problem identification from the Tribes. measures and strategies must have base vehicle traffic crashes and their line numbers and will be expressed in resulting fatalities, injuries, and Indian Highway Safety Program clearly defined, time-framed, and property damage on Indian reservations Funding Areas measurable terms. (Example: To and within Indian communities. Motor Proposals are being solicited for the decrease alcohol related motor vehicle vehicle crashes are the leading cause of following program areas: crashes by ll% from the 2020 number death to American Indians/Alaska 1. Impaired Driving: Programs of ll to ll by the end of FY2022.) Natives ages 1 to 44. Nationwide, 557 directed at reducing injuries and death Performance measures should be American Indians/Alaska Natives were attributed to impaired driving on the aggressive but attainable and based on killed in motor vehicle crashes in 2018. reservations such as: selective traffic available data and trends. Of this total 377 died on reservations. enforcement programs (STEP) to 3. Training. Training identified in the Two hundred four (204) were also apprehend impaired drivers, specialized application must relate directly to the drivers (only) of motor vehicles and 164 law enforcement training (such as project being proposed. of the drivers killed were impaired by standardized field sobriety testing), 4. Equipment. Any equipment alcohol with a blood-alcohol content public information programs on identified in the application must relate (BAC) of 0.08+. For additional American alcohol/other drug use and driving, directly to the project being proposed. Indians/Alaska Natives fatality data, you education programs for convicted DWI/ 5. Line Item Budget. The activities to can access the NHTSA fatality website DUI offenders, youth alcohol education be funded must be outlined in detail at https://cdan.nhtsa.gov/NA_report/ programs promoting traffic safety, DUI/ according to the following object NA_Report.htm. Impaired driving courts, and programs groups: personnel services; travel and or projects directed toward judicial training, operating costs and equipment. This notice solicits applications from All Tribes applying for grants must federally recognized Indian Tribes training. Proposals for projects that enhance the development and attach a copy of the Tribe’s indirect cost eligible to receive this assistance. Grant implementation of innovative programs rate to the application. funds awarded to Tribes as a result of to combat impaired driving are also 6. Funding Requirements. With the this announcement are reimbursed for solicited. enactment of the ‘‘Fixing America’s eligible costs incurred under the terms 2. Occupant Protection: Programs Surface Transportation Act’’ (Fast Act), of 23 U.S.C. 402, as amended. directed at decreasing injuries and the IHSP is required to certify, on behalf Responsibilities deaths attributed to the lack of safety of the Tribes, the program will meet belt and child restraint usage such as: certain conditions and comply with all For the purposes of application of this surveys to determine usage rates and to applicable rules and regulations for grant and the collection and distribution identify high-risk non-users, administering a highway safety of the funds, Indian reservations are comprehensive programs to promote program. In addition to program collectively considered a ‘‘State’’ and correct usage of child safety seats and oversight and technical assistance, the the Secretary of the Interior is other occupant restraints, enforcement BIA must certify it will implement the considered the ‘‘Governor of a State.’’ of safety belt ordinances or laws, following activities in support of The Secretary of the Interior delegated specialized training (e.g., Operation national highway safety goals: the authority to administer the programs Kids, traffic occupant protection a. Participate in national law for all the Indian Tribes in the United strategies (TOPS), Standardized Child enforcement mobilizations; b. Encourage sustained enforcement States to the Assistant Secretary—Indian Passenger Safety Technician Training), of impaired driving, occupant Affairs. The Assistant Secretary—Indian and evaluations. protection and speeding; Affairs further delegated the 3. Traffic Records: Programs to help Tribes develop or update electronic c. Conduct an annual safety belt responsibility for administration of the survey in accordance with criteria IHSP to the BIA, Office of Justice traffic records systems which will assist with analysis of crash information, established by the Secretary of Interior Services, IHSP located in Albuquerque, causational factors, and support joint to measure safety belt usage rates; and New Mexico. The Program Director of efforts with other agencies to improve d. Develop data systems to provide the IHSP has staff members available to the Tribe’s traffic records system. timely and effective data analysis to provide program and technical support allocation of highway traffic assistance to Indian Tribes. The IHSP Project Guidelines safety resources. maintains contact with NHTSA with Each Tribe, to be eligible, must fill out 7. In order to comply with the respect to program approval, funding, and submit the BIA IHSP application provisions of FAST ACT and the State and receiving technical assistance. that was mailed to the Tribal leaders. Certifications and Assurances, the IHSP NHTSA is responsible for ensuring the Applications will adhere to the will allocate funds on behalf of the IHSP is carried out in accordance with following guidelines: Tribes to implement the provisions 23 CFR part 1300 and other applicable 1. Problem Identification. Highway listed in (6) above. Copies of the State Federal statutes and regulations. traffic safety problems shall be based Certifications and Assurances are VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00075 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17187 available upon request or at: http:// Measures and Strategies. (35 points with an expiration of September 30, www.nhtsa.dot.gov/nhtsa/whatsup/ maximum). 2021. tea21/GrantMan/HTML/ Criterion (4), details on necessity and Project Monitoring StateCertifications_8-05.html. reasonableness of the budget requested. 8. Funding Length. Traffic safety (10 points maximum). During the program year, it is the program funding is designed primarily responsibility of the BIA IHSP office to Notification of the Selection as the source of invention and review the implementation of Tribal motivation. As a result, all projects may Once the selection committee traffic safety plans and programs, be funded for a 12 month period of time. concludes its evaluation, it will notify monitor the progress of their activities This program is not intended for long those Tribes it recommends for and expenditures and provide technical term financial support of continuing participation and funding by letter. assistance as needed. This assistance and on-going operations. Upon notification, each selected Tribe may be on-site, by telephone and/or a 9. Project Monitoring length may must provide a duly authorized Tribal review of monthly progress claims. exceed the grant period in the cases resolution. The resolution must be on Project Evaluation where distribution of purchase file before grants funds can be expended equipment is necessary. by or reimbursed to the Tribe. Each project funded is required to submit an annual report that meets the Notification of Non-Selection Certifications minimum criteria as set forth in 23 CFR A list of certifications is attached to The Program Director will notify each part 1300.35. The BIA IHSP will the grant application and must be Tribe of non-selection. conduct an annual performance initialed to show acceptance by the Uniform Administrative Requirements evaluation for each Highway Safety Tribe. These certifications are required for Grant-in-Aid Project funded. Pursuant to 23 CFR part by the either the funding agency and/or 1300.35, the evaluation will measure the the IHSP and include: Federal Funding Uniform grant administration actual accomplishments to the planned Accountability and Transparency Act, procedures have been established on a activity and how the project and Drug Free Workplace Act of 1988, national basis for all grant-in-aid activities funded contributed to the Equipment, Civil Rights, Buy America programs by 2 CFR 200, ‘‘Uniform overall goal of the IHSP. Program staff Act, Political Activity (Hatch Act), Administrative Requirements for Grants will evaluate progress from baseline Federal Lobbying, Restriction of State and Cooperative Agreements to State data as reported by the Tribe. BIA IHSP Lobbying, Lower Tier Certification, and and Local Government.’’ NHTSA and staff will evaluate the project on-site at Policy to Ban Text Messaging While the Federal Highway Administration the discretion of the IHSP Director. Driving. (FHWA) have codified uniform procedures for State Highway Safety Bryan Newland, Submission Deadline Programs in 23 CFR part 1300 and the Principal Deputy Assistant Secretary—Indian Each Tribe must send its funding ‘‘Highway Safety Grant Funding Policy Affairs, Exercising the Delegated Authority request on the appropriate application for NHTSA/FHWA Field Administered of the Assistant Secretary—Indian Affairs. form to the BIA IHSP office in Grants’’ are the established cost [FR Doc. 2021–06725 Filed 3–31–21; 8:45 am] Albuquerque, New Mexico, by the close principles applicable to grants and BILLING CODE 4337–15–P of business May 1, 2020. Request can be contracts through the BIA and with received by U.S. Mail or via email to: Tribal governments. A copy of the Grant Bureau of Indian Affairs, Office of Funding Policy document can be DEPARTMENT OF THE INTERIOR Justice Services, Attention: Indian obtained from the BIA IHSP office or at Bureau of Land Management Highway Safety Program Director, 1001 https://one.nhtsa.gov/nhtsa/whatsup/ Indian School NE, Suite 251, tea21/tea21programs/index.htm. [LLWY–957000–XXX–L19100000–BJ0000– Albuquerque, NM 87104 or by email to The BIA IHSP office has been LRCSKX00300A] [email protected]. established and is designated to establish operating procedures Filing of Plats of Survey, Nebraska Selection Criteria consistent with the applicable AGENCY: Bureau of Land Management, A selection committee will review provisions of these rules and any others Interior. and evaluate each application that govern these grant funds. requesting funding. Each member of the Auditing of Highway Safety Projects ACTION: Notice of official filing. selection committee, by assigning points will be included in the Tribal A–133 SUMMARY: The Bureau of Land single audit requirement. Copies of to the following four criteria, will rank Management (BLM) is scheduled to file Tribal audits must be available for each of the proposals based on the plats of survey 30 calendar days from inspection by the highway safety following criteria: the date of this publication in the BLM Criterion (1), the General Information program staff. Tribes must provide Wyoming State Office, Cheyenne, section will include information on the monthly program status reports and a Wyoming. This survey, which was type of grant, location, population and corresponding reimbursement claim to executed at the request of the Bureau of size of reservation, type of law the BIA Indian Highway Safety Program, Indian Affairs was necessary for the enforcement and pertinent contact 1001 Indian School, Suite 251, management of these lands. information. (10 points maximum). Albuquerque, NM 87104, in order to be Criterion (2), the strength of the reimbursed for program costs. These are DATES: Protests must be received by the Problem Identification based on to be submitted no later than 15 working BLM prior to the scheduled date of verifiable, current and applicable data to days beyond the reporting month. official filing by May 3, 2021. indicate the extent of the traffic safety ADDRESSES: You may submit written problem. (45 points maximum). Paperwork Reduction Act protests to the Wyoming State Director Criterion (3), the quality of the OMB Control Number 1076–0190 at WY957, Bureau of Land Management, proposed solution plan based on currently authorizes the collection of 5353 Yellowstone Road, Cheyenne, aggressive but attainable Performance information requested in this notice, Wyoming 82009. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00076 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17188 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices A person or party who wishes to Dated: March 24, 2021. As part of our continuing effort to protest one or more plats of survey Sonja S. Sparks, reduce paperwork and respondent identified below must file a written Chief Cadastral Surveyor, Division of burdens, we invite the public and other notice of protest within 30 calendar Minerals & Lands. Federal agencies to comment on new, days from the date of this publication [FR Doc. 2021–06678 Filed 3–31–21; 8:45 am] proposed, revised, and continuing with the Wyoming State Director at the BILLING CODE 4310–22–P collections of information. This helps us above address. Any notice of protest assess the impact of our information received after the scheduled date of collection requirements and minimize official filing will be untimely and will DEPARTMENT OF THE INTERIOR the public’s reporting burden. It also not be considered. A written statement helps the public understand our Bureau of Land Management of reasons in support of a protest, if not information collection requirements and filed with the notice of protest, must be provide the requested data in the [L14400000 PN0000 HQ350000 212; OMB desired format. filed with the State Director within 30 Control No. 1004–0153] We are especially interested in public calendar days after the notice of protest comment addressing the following: is filed. If a notice of protest against a Agency Information Collection (1) Whether or not the collection of plat of survey is received prior to the Activities; Conveyance of Federally- information is necessary for the proper scheduled date of official filing, the Owned Mineral Interests performance of the functions of the official filing of the plat of survey AGENCY: agency, including whether or not the identified in the notice of protest will be Bureau of Land Management, Interior. information will have practical utility; stayed pending consideration of the (2) The accuracy of our estimate of the protest. A plat of survey will not be ACTION: Notice of information collection; burden for this collection of officially filed until the next business request for comment. information, including the validity of the methodology and assumptions used; day following dismissal or resolution of SUMMARY: In accordance with the (3) Ways to enhance the quality, all protests of the plat. Before including Paperwork Reduction Act of 1995, the utility, and clarity of the information to your address, phone number, email Bureau of Land Management (BLM) is address, or other personal identifying be collected; and proposing to renew an information (4) How might the agency minimize information in your protest, you should collection. be aware that your entire protest— the burden of the collection of including your personal identifying DATES: Interested persons are invited to information on those who are to information—may be made publicly submit comments on or before June 1, respond, including through the use of available at any time. While you can ask 2021. appropriate automated, electronic, us to withhold your personal identifying ADDRESSES: Send your written mechanical, or other technological information from public review, we comments on this information collection techniques or other forms of information technology, e.g., permitting cannot guarantee that we will be able to collection request (ICR) by mail to electronic submission of response. do so. Darrin King, Information Collection Clearance Officer, U.S. Department of Comments that you submit in FOR FURTHER INFORMATION CONTACT: the Interior, Bureau of Land response to this notice are a matter of Sonja Sparks, BLM Wyoming Chief Management, Attention PRA Office, 440 public record. We will include or Cadastral Surveyor at 307–775–6225 or W 200 S #500, Salt Lake City, UT 84101; summarize each comment in our request [email protected]. Persons who use a or by email to BLM_HQ_PRA_ to OMB to approve this ICR. Before telecommunications device for the deaf [email protected]. Please reference including your address, phone number, (TDD) may call the Federal Relay Office of Management and Budget email address, or other personal Service at 1–800–877–8339 to contact (OMB) Control Number 1004–0153 in identifying information in your this office during normal business the subject line of your comments. comment, you should be aware that hours. The Service is available 24 hours Please note that due to COVID–19, the your entire comment—including your a day, 7 days a week, to leave a message electronic submission of comments is personal identifying information—may or question with this office. You will recommended. be made publicly available at any time. receive a reply during normal business While you can ask us in your comment FOR FURTHER INFORMATION CONTACT: To hours. to withhold your personal identifying request additional information about information from public review, we SUPPLEMENTARY INFORMATION: The plats this ICR, contact Susie Greenhalgh by cannot guarantee that we will be able to of survey of the following described email at [email protected], or by do so. lands are scheduled to be officially filed telephone at 202–302–4288. Individuals Abstract: Section 209(b) of the Federal in the Bureau of Land Management, who are hearing or speech impaired Land Policy and Management Act (43 Wyoming State Office, Cheyenne, may call the Federal Relay Service at U.S.C. 1719) authorizes the Secretary of Wyoming. 1–800–877–8339 for TTY assistance. the Interior to convey Federally-owned You may also view the ICR at http:// mineral interests to non-Federal owners Sixth Principal Meridian, Nebraska www.reginfo.gov/public/do/PRAMain. of the surface estate. The respondents in All plats of survey in this notice of official SUPPLEMENTARY INFORMATION: In this information collection are non- filing were accepted March 12, 2021. accordance with the Paperwork Federal owners of surface estates who T. 25 N., R. 5 E., Group No. 188, dependent Reduction Act of 1995 (PRA, 44 U.S.C. apply for underlying Federally-owned resurvey and survey 3501 et seq.) and 5 CFR 1320.8(d)(1), all mineral interests. This information Copies of the preceding described plat and information collections require approval collection enables the BLM to determine field notes are available to the public at a cost under the PRA. We may not conduct or if the applicants are eligible to receive of $4.20 per plat and $0.15 per page of field sponsor and you are not required to title to the Federally-owned mineral notes. Requests can be made to blm_wy_ respond to a collection of information interests beneath their lands. [email protected] or by telephone at unless it displays a currently valid OMB Regulations at 43 CFR part 2720 307–775–6222. control number. establish guidelines and procedures for VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00077 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17189 the processing of these applications. associated funerary objects in of Lisjan, a non-federally recognized OMB’s approval for the information consultation with the appropriate Indian group (hereafter referred to as collections approved under OMB Indian Tribes or Native Hawaiian ‘‘The Consulted Tribes and Groups’’). control number 1004–0153 is scheduled organizations and has determined that The Buena Vista Rancheria of Me- to expire on August 31, 2021. In there is a cultural affiliation between the Wuk Indians of California and the Tule accordance with OMB’s regulations at 5 human remains and associated funerary River Indian Tribe of the Tule River CFR 1320.12, Clearance of collections of objects and present-day Indian Tribes or Reservation were invited to consult but information in current rules, this Native Hawaiian organizations. Lineal deferred to The Consulted Tribes and request is for OMB to renew this OMB descendants or representatives of any Groups. The Big Valley Band of Pomo control number for an additional three Indian Tribe or Native Hawaiian Indians of the Big Valley Rancheria, years. organization not identified in this notice California; Bridgeport Indian Colony Title of Collection: Conveyance of that wish to request transfer of control [previously listed as Bridgeport Paiute Federally-Owned Mineral Interests (43 of these human remains and associated Indian Colony of California]; California CFR part 2720). funerary objects should submit a written Valley Miwok Tribe, California; OMB Control Number: 1004–0153. request to Diablo Valley College. If no Federated Indians of Graton Rancheria, Form Number: None. additional requestors come forward, California; Habematolel Pomo of Upper Type of Review: Extension of a transfer of control of the human remains Lake, California; Hopland Band of Pomo currently approved collection. and associated funerary objects to the Indians [previously listed as Hopland Respondents/Affected Public: Owners lineal descendants, Indian Tribes, or Band of Pomo Indians of the Hopland of surface estates (i.e., individuals, Native Hawaiian organizations stated in Rancheria, California]; Mechoopda businesses, or state, local, or tribal this notice may proceed. Indian Tribe of Chico Rancheria, California; Sherwood Valley Rancheria governments) that want to obtain DATES: Lineal descendants or underlying Federally-owned mineral representatives of any Indian Tribe or of Pomo Indians of California; Wilton estates. Native Hawaiian organization not Rancheria, California; Yocha Dehe Wintun Nation, California [previously Total Estimated Number of Annual identified in this notice that wish to listed as Rumsey Indian Rancheria of Respondents: 5. request transfer of control of these Wintun Indians of California; and four Total Estimated Number of Annual human remains and associated funerary non-federally recognized Indian groups Responses: 5. objects should submit a written request (Amah Mutsun Tribal Band of Mission Estimated Completion Time per with information in support of the San Juan Bautista; Indian Canyon Response: 1 hour. request to Diablo Valley College at the Mutsun Band of Costanoan; Northern Total Estimated Number of Annual address in this notice by May 3, 2021. Valley Yokuts; and the Muwekma Burden Hours: 5. ADDRESSES: Susan Lamb, President, Respondent’s Obligation: Required to Ohlone Indian Tribe of the SF Bay Area) Diablo Valley College, 321 Golf Club were invited to consult but did not obtain or retain a benefit. Road, Pleasant Hill, CA 94523, Frequency of Collection: On occasion. participate. Hereafter, the non- telephone (925) 969–2001, email participating Indian Tribes and groups Total Estimated Annual Nonhour [email protected]. Burden Cost: $250. are referred to as ‘‘The Invited Tribes SUPPLEMENTARY INFORMATION: Notice is and Groups’’. An agency may not conduct or hereby given in accordance with the sponsor and, notwithstanding any other Native American Graves Protection and History and Description of the Remains provision of law, a person is not Repatriation Act (NAGPRA), 25 U.S.C. At an unknown date, human remains required to respond to a collection of 3003, of the completion of an inventory representing, at minimum, two information unless it displays a of human remains and associated individuals were removed from an currently valid OMB control number. funerary objects under the control of unknown site in Contra Costa County. The authority for this action is the Diablo Valley College, Pleasant Hill, CA. In 1961, the human remains were Paperwork Reduction Act of 1995 (44 The human remains and associated donated to Diablo Valley College by a U.S.C. 3501 et seq.). funerary objects were removed from person identified only as ‘‘Perryman.’’ Darrin A. King, various locations in Contra Costa The human remains consist of a lower Information Collection Clearance Officer. County, CA, including Concord, mandible and an upper cap skull. The [FR Doc. 2021–06684 Filed 3–31–21; 8:45 am] Lafayette, Oakley, Alamo, Danville, and sex and age of the individuals are unknown. No known individuals were BILLING CODE 4310–84–P San Ramon. This notice is published as part of the identified. No associated funerary National Park Service’s administrative objects are present. DEPARTMENT OF THE INTERIOR responsibilities under NAGPRA, 25 At an unknown date, human remains U.S.C. 3003(d)(3). The determinations in representing, at minimum, one National Park Service this notice are the sole responsibility of individual were removed from the institution that has control of the Knightsen Mound, close to Oakley. In [NPS–WASO–NAGPRA–NPS0031642; Native American human remains and 1964, the human remains were donated PPWOCRADN0–PCU00RP14.R50000] associated funerary objects. The to Diablo Valley College by Jerry Notice of Inventory Completion: Diablo National Park Service is not responsible Wentling. The human remains consist of Valley College, Pleasant Hill, CA for the determinations in this notice. a skull, mandible, and bone chips. The sex and age of the individual are Consultation AGENCY: National Park Service, Interior. unknown. No known individual was ACTION: Notice. A detailed assessment of the human identified. The three associated funerary remains was made by Diablo Valley objects include one lot of olivella shell SUMMARY: Diablo Valley College, a College professional staff in beads, one shell bead necklace, and one campus of Contra Costa Community consultation with representatives of the shell piece. College District, has completed an Scotts Valley Band of Pomo Indians of At an unknown date, human remains inventory of human remains and California and the Confederated Villages representing, at minimum, one VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00078 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17190 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices individual were removed and human vertebrae. The sex and age Dated: March 16, 2021. ‘‘approximately 75 yards off the main of the individual are unknown. No Melanie O’Brien, highway and Stone Valley Road’’ in known individual was identified. No Manager, National NAGPRA Program. Alamo. In 1964, the human remains associated funerary objects are present. [FR Doc. 2021–06656 Filed 3–31–21; 8:45 am] were donated to Diablo Valley College Based on collection research, BILLING CODE 4312–52–P by Norm LaFleur. The human remains archeological evidence, geographic consist of skull fragments. No known location, ethnographic information, and individual was identified. No associated oral history evidence, the sites from DEPARTMENT OF THE INTERIOR funerary objects are present. which the human remains and In 1956, human remains representing, associated funerary objects listed in this National Park Service at minimum, five individuals were notice were removed are located within [NPS–WASO–NAGPRA–NPS0031613; removed during an anthropological the territory traditionally occupied by PPWOCRADN0–PCU00RP14.R50000] excavation at Galindo Creek in Concord. the Scotts Valley Band of Pomo Indians In 1964, the human remains were of California and the Confederated Notice of Inventory Completion: Field donated to Diablo Valley College by Villages of Lisjan, a non-federally Museum of Natural History, Chicago, Charles Sapper. The human remains recognized Indian group. IL; Correction consist of a full skull, skull pieces, a mandible, miscellaneous skull caps Determinations Made by Diablo Valley AGENCY: National Park Service, Interior. glued from four to five skulls, and College ACTION: Notice; correction. miscellaneous skeletal materials. The sex and age of the individuals are Officials of Diablo Valley College have SUMMARY: The Field Museum of Natural unknown. No known individuals were determined that: History has corrected an inventory of identified. No associated funerary • Pursuant to 25 U.S.C. 3001(9), the human remains, published in a Notice objects are present. human remains described in this notice of Inventory Completion in the Federal In 1965, human remains representing, represent the physical remains of 16 Register on January 5, 2010. This notice at minimum, one individual were individuals of Native American corrects the minimum number of removed from a site containing graves ancestry. individuals, number of associated near Hough Avenue in Lafayette. In • Pursuant to 25 U.S.C. 3001(3)(A), funerary objects, and cultural affiliation. 1965, the human remains were donated the four objects described in this notice Lineal descendants or representatives of to Diablo Valley College by Rick are reasonably believed to have been any Indian Tribe or Native Hawaiian Bonnington. The human remains consist placed with or near individual human organization not identified in this notice of broken skull pieces. The sex and age remains at the time of death or later as that wish to request transfer of control of the individual are unknown. No part of the death rite or ceremony. of these human remains and associated known individual was identified. No • Pursuant to 25 U.S.C. 3001(2), there funerary objects should submit a written associated funerary objects are present. is a relationship of shared group request to the Museum. If no additional Sometime in the 1960s, human identity that can be reasonably traced requestors come forward, transfer of remains representing, at minimum, one between the Native American human control of the human remains and individual collected from Cypress Road remains and associated funerary objects associated funerary objects to the lineal on Bethel Island, in Oakley. In March and the Scotts Valley Band of Pomo descendants, Indian Tribes, or Native 1970, the human remains were donated Indians of California. Hawaiian organizations stated in this to Diablo Valley College by Barbara notice may proceed. Sanhuhl Fletcher. The human remains Additional Requestors and Disposition DATES: Lineal descendants or consist of a skull. No known individual representatives of any Indian Tribe or was identified. The one associated Lineal descendants or representatives of any Indian Tribe or Native Hawaiian Native Hawaiian organization not funerary object is a grinding stone. identified in this notice that wish to At an unknown date or dates, human organization not identified in this notice that wish to request transfer of control request transfer of control of these remains representing, at minimum, four human remains and associated funerary individuals were removed from of these human remains and associated funerary objects should submit a written objects should submit a written request unknown sites in Alamo, Danville, and with information in support of the San Ramon. During 1972 and 1973, the request with information in support of the request to Susan Lamb, President, request to the Field Museum at the human remains were donated to Diablo address in this notice by May 3, 2021. Valley College by Rick Hicks. The Diablo Valley College, 321 Golf Club ADDRESSES: human remains consist of two skulls in Road, Pleasant Hill, CA 94523, Helen Robbins, Repatriation pieces; a mandible; fragile bones; telephone (925) 969–2001, email Director, Field Museum of Natural vertebrae; foot bones; and the skull and [email protected], by May 3, 2021. After History, 1400 S Lake Shore Drive, skeleton belonging to an infant of that date, if no additional requestors Chicago, IL 60605–2496, telephone indeterminate sex (the sex and age of have come forward, transfer of control (312) 665–7317, email hrobbins@ the other three individuals are of the human remains and associated fieldmuseum.org. unknown). No known individuals were funerary objects to the Scotts Valley SUPPLEMENTARY INFORMATION: Notice is identified. No associated funerary Band of Pomo Indians of California and, here given in accordance with the objects are present. if joined to a request from the Scotts Native American Graves Protection and During 1973 and 1974, human Valley Band of Pomo Indians of Repatriation Act (NAGPRA), 25 U.S.C. remains representing, at minimum, one California, the Confederated Villages of 3003, of the correction of an inventory individual were removed from the ‘‘La Lisjan, may proceed. of human remains and associated Serena archaeological excavation site’’ Diablo Valley College is responsible funerary objects under the control of the in Alamo. In August of 1977, the human for notifying The Consulted Tribes and Field Museum of Natural History, remains were donated to Diablo Valley Groups and The Invited Tribes and Chicago, IL. The human remains and College by S. Herrmann. The human Groups that this notice has been associated funerary objects were remains consist of a skull and mandible, published. removed from the Channel Islands in VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00079 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17191 Santa Barbara and Los Angeles NY (Field Museum of Natural History catalog American human remains from both San Counties, CA. numbers 42700–42703, accession number Miguel Island and the unknown Channel This notice is published as part of the 407). Island location and the Santa Ynez Band of National Park Service’s administrative In the Federal Register (75 FR 435, Chumash Mission Indians of the Santa Ynez responsibilities under NAGPRA, 25 Reservation, California; and January 5, 2010), column 2, paragraph 4, • Pursuant to 25 U.S.C. 3001 (2), there is U.S.C. 3003(d)(3). The determinations in sentence 1 is corrected by substituting a relationship of shared group identity that this notice are the sole responsibility of the following sentence: can be reasonably traced between the human the museum, institution, or Federal At an unknown date, the Field Museum of remains from San Nicolas and Santa Catalina agency that has control of the Native Natural History acquired human remains Islands and The Tribes. American human remains and representing a minimum of three individuals associated funerary objects. The and two associated funerary objects from Additional Requestors and Disposition National Park Service is not responsible Santa Catalina Island, Los Angeles County, Lineal descendants or representatives CA, from an unknown source (Field Museum for the determinations in this notice. of any Indian Tribe or Native Hawaiian This notice corrects the minimum of Natural History catalog number 42706, accession 3910). organization not identified in this notice number of individuals, number of that wish to request transfer of control associated funerary objects, and cultural In the Federal Register (75 FR 435, of these human remains and associated affiliation published in a Notice of January 5, 2010), column 2, paragraph 4, funerary objects should submit a written Inventory Completion in the Federal sentence 4 is corrected by substituting request with information in support of Register (75 FR 435, January 5, 2010). the following sentence: the request to Helen Robbins, Field Following a re-inventory of the human Two associated funerary objects are present Museum of Natural History, 1400 S Lake remains and associated funerary objects consisting of fragments of non-human animal Shore Drive, Chicago, IL 60605, from the sites in question, the Field bone. telephone (312) 665–7317, email Museum of Natural History determined In the Federal Register (75 FR 435, [email protected], by May 3, that the minimum number of January 5, 2010), column 2, paragraph 5, 2021. After that date, if no additional individuals should be decreased by one sentences 2 and 3 are corrected by requestors have come forward, transfer and the number of associated funerary substituting the following sentences: of control of the human remains and objects should be increased by the For the human remains from San Miguel associated funerary objects to The addition of two previously unidentified Tribes may proceed. associated funerary objects. Also, Island and the unknown Channel Island location, geographical, kinship, biological, The Field Museum of Natural History further consultation yielded evidence to archeological, anthropological, linguistic, is responsible for notifying The Tribes establish a cultural affiliation of the folklore, oral tradition, and historical that this notice has been published. items with additional Indian Tribes. evidence indicate a shared group identity Transfer of control of the items in this between these human remains and the Santa Dated: March 16, 2021. correction notice has not occurred. Ynez Band of Chumash Mission Indians of Melanie O’Brien, the Santa Ynez Reservation, California. Manager, National NAGPRA Program. Correction Archeological investigations have identified [FR Doc. 2021–06657 Filed 3–31–21; 8:45 am] a cultural continuity for the Chumash In the Federal Register (75 FR 435, BILLING CODE 4312–52–P January 5, 2010), column 1, paragraph 3, Indians that traces their presence on the sentence 1 is corrected by substituting Channel Islands back 7,000 to 9,000 years. the following sentence: In the Federal Register (75 FR 435, DEPARTMENT OF THE INTERIOR January 5, 2010), column 2, paragraph 5, A detailed assessment of the human remains and associated funerary objects was is corrected by adding the following National Park Service sentence to the bottom of the paragraph: made by the Field Museum of Natural [NPS–WASO–NAGPRA–NPS0031606; History professional staff in consultation For the human remains from San Nicolas PPWOCRADN0–PCU00RP14.R50000] with representatives of the La Jolla Band of and Santa Catalina Islands, geographical, Luiseno Indians, California [previously listed kinship, biological, archeological, Notice of Inventory Completion: as La Jolla Band of Luiseno Mission Indians anthropological, linguistic, folklore, oral Tennessee Valley Authority, Knoxville, of the La Jolla Reservation]; Pala Band of tradition, and historical evidence indicate a TN Mission Indians [previously listed as Pala shared group identity between these human Band of Luiseno Mission Indians of the Pala remains and The Tribes. AGENCY: National Park Service, Interior. Reservation, California]; Pauma Band of Luiseno Mission Indians of the Pauma & In the Federal Register (75 FR 435, ACTION: Notice. Yuima Reservation, California; Pechanga January 5, 2010), column 3, paragraph 1, SUMMARY: The Tennessee Valley Band of Luiseno Mission Indians of the is corrected by substituting the Pechanga Reservation, California; Rincon following paragraph: Authority (TVA) has completed an Band of Luiseno Mission Indians of Rincon inventory of associated funerary objects Officials of the Field Museum of Natural in consultation with the appropriate Reservation, California; Santa Ynez Band of History have determined that: Chumash Mission Indians of the Santa Ynez • Pursuant to 25 U.S.C. 3001 (9–10), the Indian Tribes or Native Hawaiian Reservation, California; and the Soboba Band human remains described above are organizations, and has determined that of Luiseno Indians, California (hereafter reasonably believed to be the physical there is no cultural affiliation between referred to as ‘‘The Tribes’’). remains of 13 individuals of Native American the associated funerary objects and any In the Federal Register (75 FR 435, ancestry; present-day Indian Tribes or Native • January 5, 2010), column 1, paragraph 4, Pursuant to 25 U.S.C. 3001 (3)(A), the Hawaiian organizations. Representatives sentence 2 is corrected by substituting two objects described above are reasonably of any Indian Tribe or Native Hawaiian believed to have been placed with or near organization not identified in this notice the following sentence: individual human remains at the time of In 1893, human remains representing a death or later as part of the death rite or that wish to request transfer of control minimum of five individuals from that ceremony; of these associated funerary objects removal were purchased by the Field • Pursuant to 25 U.S.C. 3001 (2), there is should submit a written request to the Museum of Natural History from Ward’s a relationship of shared group identity that TVA. If no additional requestors come Natural Science Establishment of Rochester, can be reasonably traced between the Native forward, transfer of control of the VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00080 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17192 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices associated funerary objects to the Indian (hereafter referred to as ‘‘The Consulted of graphite, one chert preform, and two Tribes or Native Hawaiian organizations Tribes’’). shell beads. stated in this notice may proceed. From September 22, 1936, to History and Description of the Remains September 30, 1937, the Bluff Creek site, DATES: Representatives of any Indian 1LU59, was excavated in Lauderdale Tribe or Native Hawaiian organization The sites listed in this notice were County, AL. TVA had acquired this site not identified in this notice that wish to excavated as part of TVA’s Pickwick for the Pickwick Reservoir project on request transfer of control of these reservoir project by AMNH, using labor December 23, 1936, and the excavation associated funerary objects should and funds provided by the Works was conducted with Federal funds in submit a written request with Progress Administration (WPA). Details anticipation of reservoir construction. information in support of the request to regarding these excavations and sites This shell mound site, at the confluence the TVA at the address in this notice by may be found in An Archaeological of Bluff Creek and the Tennessee River, May 3, 2021. Survey of Pickwick Basin in the Adjacent Portions of the States of was an accumulation of mussel shell ADDRESSES: Dr. Thomas O. Maher, Alabama, Mississippi and Tennessee, by and village midden, rather than an Tennessee Valley Authority, 400 West William S. Webb and David L. intentionally constructed earthwork. Summit Hill Drive, WT11C, Knoxville, DeJarnette. The associated funerary Based on the material culture, this site TN 37902–1401, telephone (865) 632– objects listed in this notice have been in was occupied during the Late Archaic 7458, email [email protected]. the physical custody of AMNH since (4000–1000 B.C.), Early Woodland SUPPLEMENTARY INFORMATION: Notice is excavation, but they are under the (1000–100 B.C.), Middle Woodland here given in accordance with the control of TVA. (Copena phase, A.D. 100–500), and Late Native American Graves Protection and Human remains and other associated Woodland (McKelvey phase, A.D. 500– Repatriation Act (NAGPRA), 25 U.S.C. funerary objects from these sites were 1000). Shell-tempered ceramics from the 3003, of the completion of an inventory previously listed in Notices of Inventory Mississippian period are found in the of associated funerary objects under the Completion published in the Federal upper portion of this shell midden. The control of the Tennessee Valley Register (81 FR 60377–60380, recently rediscovered 74 associated Authority, Knoxville, TN, and stored at September 1, 2016; 82 FR 39904–39906, funerary objects include 19 animal the Alabama Museum of Natural History August 22, 2017; and 83 FR 65735– bones, eight Baytown Plain var. (AMNH) at the University of Alabama. 65738, December 21, 2018) and were McKelvey sherds, one unmodified piece The associated funerary objects were transferred to The Chickasaw Nation. of chert, four eroded grog-tempered removed from the following During a recent improvement in the sherds, one fire cracked rock, nine archeological sites: 1LU5, 1LU25, curation of the TVA archeological Mississippi Plain sherds, 21 Mulberry 1LU59, 1LU67, and 1LU72 in collections at AMNH, additional Creek Cord Marked sherds, two shell beads, three smoothed, grog-tempered Lauderdale County, and 1CT8 and associated funerary objects were found. sherds, one stamped, grog-tempered 1CT17 in Colbert County, AL. In February 1937, excavations took sherd, one Wheeler Check stamped This notice is published as part of the place at the Smithsonia Landing site, sherd, two Wheeler punctate sherds, National Park Service’s administrative 1LU5, in Lauderdale County, AL. and two Whithers Fabric Marked responsibilities under NAGPRA, 25 Excavation commenced after TVA sherds. U.S.C. 3003(d)(3) and 43 CFR 10.11(d). acquired the land encompassing site From June to September of 1936, The determinations in this notice are 1LU5 on May 4, 1936. This shell excavations took place at the Long the sole responsibility of the museum, midden site had been disturbed by a Branch site, 1LU67, in Lauderdale institution, or Federal agency that has historic riverboat landing and associated County, AL. Excavation commenced control of the Native American buildings. This disturbance and rising after TVA purchased three parcels of associated funerary objects. The reservoir water levels led to limited land encompassing this site on January National Park Service is not responsible excavations revealing a Late Archaic 11, 1935, September 16, 1935, and for the determinations in this notice. (4000—1000 B.C.) occupation. The February 8, 1936. Site 1LU67 was recently rediscovered associated Consultation located immediately adjacent to the funerary objects include 113 shell beads Tennessee River. Although described as A detailed assessment of the from burial 2 at this site. a mound, this site appears to have been associated funerary objects was made by From April 29, 1938, to November 8, an accumulation of discarded shell, TVA professional staff in consultation 1940, excavations by the AMNH took village midden, and alluvial soils, rather with representatives of the Absentee- place at the Perry site, 1LU25, in than an intentionally constructed Shawnee Tribe of Indians of Oklahoma; Lauderdale County, AL. TVA had earthwork. This shell midden extended Alabama-Coushatta Tribe of Texas acquired this site for the Pickwick to a depth of 11 feet below the surface. [previously listed as Alabama-Coushatta Reservoir project on February 19, 1937. The Long Branch site had multiple Tribes of Texas]; Alabama-Quassarte The Perry site was the largest excavation occupations, including during the Tribal Town; Cherokee Nation; on TVA land in Alabama. The site, Middle Archaic (6000–4000 B.C.), Late Coushatta Tribe of Louisiana; Eastern located on an island in the Tennessee Archaic (4000–1000 B.C.), Early Band of Cherokee Indians; Eastern River, was an extensive shell midden, Woodland (500–100 B.C.), Middle Shawnee Tribe of Oklahoma; village, and burial ground. There were Woodland (100 B.C.-A.D. 500), Late Mississippi Band of Choctaw Indians; two major occupations at 1LU25, the Woodland (A.D. 500–1000), and Poarch Band of Creeks [previously listed first one occurring during the terminal Mississippian (A.D. 900–1500). It is not as Poarch Band of Creek Indians of Middle through Late Archaic periods possible to determine from which level Alabama]; The Chickasaw Nation; The (4000–1000 B.C.) and the second one of occupation a burial unit originated. Choctaw Nation of Oklahoma; The occurring during the Kogers Island The 84 associated funerary objects Muscogee (Creek) Nation; The Seminole phase of the Mississippian period (A.D. include 27 animal bones or bone Nation of Oklahoma; Thlopthlocco 1200–1450). The 37 recently discovered fragments, one chert flake, one Mulberry Tribal Town; and the United Keetoowah associated funerary objects include 32 Creek Plain sherd, two projectile points, Band of Cherokee Indians in Oklahoma animal bones, one bone pin, one piece and 53 shell fragments. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00081 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17193 From January to February 1938, resemble those found in Late Archaic that date, if no additional requestors excavations took place at the Union (4000–1000 B.C.) occupations at nearby have come forward, transfer of control Hollow site, 1LU72, in Lauderdale sites. Although stratification of the of the associated funerary objects to The County, AL. Excavation commenced ceramics recovered from the excavation Chickasaw Nation may proceed. after TVA purchased the land is not clear, the ceramics exhibit temper The Tennessee Valley Authority is encompassing this site for the Pickwick and surface modifications characteristic responsible for notifying The Consulted Reservoir project on October 5, 1936. of the Early and Middle Woodland Tribes that this notice has been Site 1LU72 was located immediately period (300 B.C.–A.D. 500). In addition, published. adjacent to the Tennessee River. This a few shell-tempered ceramics from the Dated: March 16, 2021. shell mound was an accumulation of Mississippian period were found in the Melanie O’Brien, discarded shell, village midden, and upper portion of this shell midden. The Manager, National NAGPRA Program. alluvial soils, rather than an three recently found associated funerary intentionally constructed earthwork. objects include one antler tool and two [FR Doc. 2021–06661 Filed 3–31–21; 8:45 am] This shell midden extended to a depth deer mandibles. BILLING CODE 4312–52–P of 10 feet below surface. Early flooding of the Pickwick reservoir abbreviated Determinations Made by the Tennessee excavations at this site. The Union Valley Authority DEPARTMENT OF THE INTERIOR Hollow site had multiple occupations, Officials of the Tennessee Valley National Park Service including during the Late Archaic Authority have determined that: (4000–1000 B.C.), Early Woodland (500– • Pursuant to 25 U.S.C. 3001(3)(A), [NPS–WASO–NAGPRA–NPS0031605; 100 B.C.), and Mississippian (A.D. the 329 objects described in this notice PPWOCRADN0–PCU00RP14.R50000] 1200–1500). The recently found are reasonably believed to have been associated funerary objects include eight placed with or near individual human Notice of Inventory Completion: Mississippi Plain ceramic sherds. remains at the time of death or later as Tennessee Valley Authority, Knoxville, From December 27, 1938, to June 27, part of the death rite or ceremony. TN • 1939, excavations by the AMNH took Pursuant to 25 U.S.C. 3001(2), a AGENCY: National Park Service, Interior. place at the Little Bear Creek site, 1CT8, relationship of shared group identity ACTION: Notice. in Colbert County, AL. TVA had cannot be reasonably traced between the acquired this site for the Pickwick associated funerary objects and any SUMMARY: The Tennessee Valley Reservoir project on August 20, 1936. present-day Indian Tribe. Authority (TVA) has completed an This shell midden site was located at • According to final judgements of inventory of associated funerary objects the confluence of Little Bear Creek and the Indian Claims Commission or the in consultation with the appropriate the Tennessee River. While no Court of Federal Claims, the land from Indian Tribes or Native Hawaiian radiocarbon dates were obtained for this which the associated funerary objects organizations, and has determined that site, the excavated artifacts indicate that were removed is the aboriginal land of there is no cultural affiliation between all major occupations took place during the Cherokee Nation; Eastern Band of the associated funerary objects and any the Late Archaic (4000–1000 B.C.). Cherokee Indians; and the United present-day Indian Tribes or Native Ceramics, while not abundant, were Keetoowah Band of Cherokee Indians in Hawaiian organizations. Representatives found in the upper 2–3 feet. Some of the Oklahoma. of any Indian Tribe or Native Hawaiian • ceramics suggest minor occupations The Cherokee Nation; Eastern Band organization not identified in this notice during the Colbert (300 B.C.–A.D. 100) of Cherokee Indians; and the United that wish to request transfer of control and McKelvey (A.D. 500–1000) phases. Keetoowah Band of Cherokee Indians in of these associated funerary objects Distinctive shell-tempered vessels Oklahoma have declined to accept should submit a written request to the associated with some burials indicate a transfer of control of these associated TVA. If no additional requestors come Mississippian Kogers Island phase funerary objects. • forward, transfer of control of the occupation (A.D. 1200–1500). The 10 The Treaty of September 20, 1816, associated funerary objects to the Indian recently found associated funerary indicates that the land from which the Tribes or Native Hawaiian organizations objects include one bone awl, one cultural items were removed is the stated in this notice may proceed. chipped stone hoe, one chipped stone aboriginal land of The Chickasaw DATES: Representatives of any Indian drill, one Little Bear Creek PP/K, one Nation. Tribe or Native Hawaiian organization Mulberry Creek PP/K, one unidentified • Pursuant to 43 CFR 10.11(c)(4), the not identified in this notice that wish to PP/K, three preforms, and one White Tennessee Valley Authority has agreed request transfer of control of these Springs PP/K. to transfer control of the associated associated funerary objects should From January 25 to February 22, 1934, funerary objects to The Chickasaw submit a written request with associated funerary objects were Nation. removed by the AMNH from 1CT17 in information in support of the request to Colbert County, AL. TVA had acquired Additional Requestors and Disposition the TVA at the address in this notice by this land for the Pickwick Reservoir Representatives of any Indian Tribe or May 3, 2021. project on June 19, 1936, and the Native Hawaiian organization not ADDRESSES: Dr. Thomas O. Maher, excavation was conducted with Federal identified in this notice that wish to Tennessee Valley Authority, 400 West funds in anticipation of reservoir request transfer of control of the Summit Hill Drive, WT11C, Knoxville, construction. This shell mound and associated funerary objects should TN 37902–1401, telephone (865) 632– village site was located on the left submit a written request with 7458, email [email protected]. descending bank of the Tennessee River, information in support of the request to SUPPLEMENTARY INFORMATION: Notice is and was an accumulation of mussel Dr. Thomas O. Maher, Tennessee Valley here given in accordance with the shell and village midden, rather than an Authority, 400 West Summit Hill Drive, Native American Graves Protection and intentionally constructed earthwork. WT11C, Knoxville, TN 37902–1401, Repatriation Act (NAGPRA), 25 U.S.C. There are no radiocarbon dates from this telephone (865) 632–7458, email 3003, of the completion of an inventory site. Projectile points from 1CT17 [email protected], by May 3, 2021. After of associated funerary objects under the VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00082 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17194 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices control of the Tennessee Valley discussed in this notice include one lot Dated: March 16, 2021. Authority, Knoxville, TN. The of whole and fragmented snail shell Melanie O’Brien, associated funerary objects were from burial 2. Manager, National NAGPRA Program. removed from archeological site 1JA305 Determinations Made by the Tennessee [FR Doc. 2021–06660 Filed 3–31–21; 8:45 am] in Jackson County, AL. BILLING CODE 4312–52–P This notice is published as part of the Valley Authority National Park Service’s administrative Officials of the Tennessee Valley responsibilities under NAGPRA, 25 Authority have determined that: DEPARTMENT OF THE INTERIOR U.S.C. 3003(d)(3) and 43 CFR 10.11(d). • The determinations in this notice are Pursuant to 25 U.S.C. 3001(3)(A), National Park Service the sole responsibility of the museum, the objects described in this notice are reasonably believed to have been placed [NPS–WASO–NAGPRA–NPS0031612; institution, or Federal agency that has PPWOCRADN0–PCU00RP14.R50000] control of the associated funerary with or near individual human remains objects. The National Park Service is not at the time of death or later as part of Notice of Inventory Completion: responsible for the determinations in the death rite or ceremony. Museum of Riverside (Formerly Known this notice. • Pursuant to 25 U.S.C. 3001(2), a as the Riverside Metropolitan relationship of shared group identity Consultation Museum), Riverside, CA cannot be reasonably traced between the A detailed assessment of the associated funerary objects and any AGENCY: National Park Service, Interior. associated funerary objects was made by present-day Indian Tribe. ACTION: Notice. TVA professional staff in consultation • According to final judgments of the with representatives of the Absentee- SUMMARY: The Museum of Riverside has Shawnee Tribe of Indians of Oklahoma; Indian Claims Commission or the Court completed an inventory of human Alabama-Coushatta Tribe of Texas of Federal Claims, the land from which remains, in consultation with the [previously listed as Alabama-Coushatta the associated funerary objects were appropriate Indian Tribes or Native Tribes of Texas]; Cherokee Nation; removed is the aboriginal land of the Hawaiian organizations, and has Coushatta Tribe of Louisiana; Eastern Cherokee Nation; Eastern Band of determined that there is a cultural Band of Cherokee Indians; Poarch Band Cherokee Indians; and the United affiliation between the human remains of Creeks [previously listed as Poarch Keetoowah Band of Cherokee Indians in and present-day Indian Tribes or Native Band of Creek Indians of Alabama]; The Oklahoma. Hawaiian organizations. Lineal Chickasaw Nation; The Choctaw Nation • The Cherokee Nation; Eastern Band descendants or representatives of any of Oklahoma; The Muscogee (Creek) of Cherokee Indians; and the United Indian Tribe or Native Hawaiian Nation; The Seminole Nation of Keetoowah Band of Cherokee Indians in organization not identified in this notice Oklahoma; and the United Keetoowah Oklahoma have declined to accept that wish to request transfer of control Band of Cherokee Indians in Oklahoma transfer of control of these cultural of these human remains should submit (hereafter referred to as ‘‘The Consulted items. a written request to the Museum of Riverside. If no additional requestors Tribes’’). • Pursuant to 43 CFR 10.11(c)(4), the come forward, transfer of control of the History and Description of the Tennessee Valley Authority has agreed human remains to the lineal Associated Funerary Objects to transfer control of the associated descendants, Indian Tribes or Native funerary objects to the Alabama- Human remains and associated Hawaiian organizations stated in this Coushatta Tribe of Texas [previously notice may proceed. funerary objects from site 1JA305 were listed as Alabama-Coushatta Tribes of listed in a Notice of Inventory DATES: Lineal descendants or Texas]; Alabama-Quassarte Tribal representatives of any Indian Tribe or Completion published in the Federal Town; Coushatta Tribe of Louisiana; Register on May 3, 2019 (84 FR 19111– Native Hawaiian organization not and The Muscogee (Creek) Nation identified in this notice that wish to 19113, May 3, 2019). Pursuant to 43 (hereafter referred to as ‘‘The Tribes’’). CFR 10.11(c)(2)(i) and (c)(4), all the request transfer of control of these cultural items listed in that notice were Additional Requestors and Disposition human remains should submit a written transferred to the Alabama-Coushatta request with information in support of Tribe of Texas [previously listed as Representatives of any Indian Tribe or the request to the Museum of Riverside Alabama-Coushatta Tribes of Texas]; Native Hawaiian organization not at the address in this notice by May 3, Alabama-Quassarte Tribal Town; identified in this notice that wish to 2021. Coushatta Tribe of Louisiana; and The request transfer of control of the ADDRESSES: Robyn G. Peterson, Ph.D., Muscogee (Creek) Nation. Recently, associated funerary objects should Museum Director, Museum of Riverside, during a curation improvement project, submit a written request with 3580 Mission Inn Avenue, Riverside, additional associated funerary objects information in support of the request to CA 92501, telephone (951) 826–5792, from this site were discovered at the Dr. Thomas O. Maher, Tennessee Valley email [email protected]. Alabama Museum of Natural History. Authority, 400 West Summit Hill Drive, SUPPLEMENTARY INFORMATION: Notice is In 1973, excavations took place at the WT11C, Knoxville, TN 37902–1401, here given in accordance with the Widows Creek site, 1JA305, in Jackson telephone (865) 632–7458, email Native American Graves Protection and County, AL, as part of the expansion of [email protected], by May 3, 2021. After Repatriation Act (NAGPRA), 25 U.S.C. TVA’s Widows Creek power plant. TVA that date, if no additional requestors 3003, of the completion of an inventory purchased the land encompassing this have come forward, transfer of control of human remains under the control of site on September 12, 1943. Multiple of the associated funerary objects to The the Museum of Riverside, Riverside, CA. calibrated radiocarbon dates from this Tribes may proceed. The human remains were removed from site indicated Early Woodland (600–100 The Tennessee Valley Authority is an unknown location in Southern B.C.) and Late Woodland (A.D. 500– responsible for notifying The Consulted California. 1100) occupations. The recently Tribes that this notice has been This notice is published as part of the identified associated funerary objects published. National Park Service’s administrative VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00083 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17195 responsibilities under NAGPRA, 25 Mission Indians of the Morongo individuals of Native American U.S.C. 3003(d)(3). The determinations in Reservation]; Pala Band of Mission ancestry. this notice are the sole responsibility of Indians [previously listed as Pala Band • Pursuant to 25 U.S.C. 3001(2), there the museum, institution, or Federal of Luiseno Mission Indians of the Pala is a relationship of shared group agency that has control of the Native Reservation, California]; Pechanga Band identity that can be reasonably traced American human remains. The National of Luiseno Mission Indians of the between the Native American human Park Service is not responsible for the Pechanga Reservation, California; remains and The Tribes. determinations in this notice. Ramona Band of Cahuilla, California [previously listed as Ramona Band or Additional Requestors and Disposition Consultation Village of Cahuilla Mission Indians of Representatives of any Indian Tribe or A detailed assessment of the human California]; Rincon Band of Luiseno Native Hawaiian organization not remains was made by the Museum of Mission Indians of Rincon Reservation, identified in this notice that wish to Riverside professional staff with California; San Manuel Band of Mission request transfer of control of these assistance from Karimah Richardson, Indians, California [previously listed as human remains should submit a written Autry Museum of the American West San Manual Band of Serrano Mission request with information in support of and Rebekah Loveless, Loveless Linton, Indians of the San Manual Reservation]; the request to Robyn G. Peterson, Ph.D., Inc., in consultation with Santa Rosa Band of Cahuilla Indians, Museum Director, Museum of Riverside, representatives of the Kumeyaay California [previously listed as Santa 3580 Mission Inn Avenue, Riverside, Cultural Repatriation Committee on Rosa Band of Cahuilla Mission Indians CA 92501, telephone (951) 826–5792, behalf of the Campo Band of Diegueno of the Santa Rosa Reservation]; and the email [email protected], by Mission Indians of the Campo Indian Torres Martinez Desert Cahuilla Indians, May 3, 2021. After that date, if no Reservation, California; Capitan Grande California [previously listed as Torres- additional requestors have come Band of Diegueno Mission Indians of Martinez Band of Cahuilla Mission forward, transfer of control of the California (Barona Group of Capitan Indians of California] were invited to human remains to The Tribes may Grande Band of Mission Indians of the consult but did not participate. proceed. Barona Reservation, California; Viejas Hereafter, all Indian Tribes listed in this The Museum of Riverside is (Baron Long) Group of Capitan Grande section are referred to as ‘‘The Tribes.’’ responsible for notifying The Tribes that Band of Mission Indians of the Viejas this notice has been published. Reservation, California); Ewiiaapaayp History and Description of the Remains Band of Kumeyaay Indians, California; Prior to 1925, human remains Dated: March 16, 2021. Iipay Nation of Santa Ysabel, California representing, at minimum, two Melanie O’Brien, [previously listed as Santa Ysabel Band individuals (Accession RMM A3–74 and Manager, National NAGPRA Program. of Diegueno Mission Indians of the RMM A9–26) were removed from [FR Doc. 2021–06658 Filed 3–31–21; 8:45 am] Santa Ysabel Reservation]; Inaja Band of unknown locations likely in Southern BILLING CODE 4312–52–P Diegueno Mission Indians of the Inaja California. The collector (1844–1911) and Cosmit Reservation, California; was a founding donor of the Museum of Jamul Indian Village of California; La Riverside. In 1900, the collector moved DEPARTMENT OF THE INTERIOR Posta Band of Diegueno Mission Indians to Southern California, and in 1901, he of the La Posta Indian Reservation, began collecting Indian baskets, National Park Service California; Manzanita Band of Diegueno artifacts, and human remains. In 1925, [NPS–WASO–NAGPRA–NPS0031611; Mission Indians of the Manzanita the human remains were donated by the PPWOCRADN0–PCU00RP14.R50000] Reservation, California; Mesa Grande collector’s family to the Museum. The Band of Diegueno Mission Indians of human remains include one skull and Notice of Inventory Completion: the Mesa Grande Reservation, mandible (A3–74) and one piece of bone American Museum of Natural History, California; San Pasqual Band of embedded in asphaltum with 86 beige New York, NY; Correction Diegueno Mission Indians of California; colored shell beads (A9–26). Structural and the Sycuan Band of the Kumeyaay analysis of the skull and mandible AGENCY: National Park Service, Interior. Nation. concluded that the human remains were ACTION: Notice; correction. The Agua Caliente Band of Cahuilla likely female and of Native American Indians of the Agua Caliente Indian ancestry. No known individual was SUMMARY: The American Museum of Reservation, California; Augustine Band identified. No associated funerary Natural History has corrected an of Cahuilla Indians, California objects are present. inventory of human remains and [previously listed as Augustine Band of Available information suggests these associated funerary objects, published Cahuilla Mission Indians of the human remains were removed from in a Notice of Inventory Completion in Augustine Reservation]; Cabazon Band Southern California based on collection the Federal Register on September 8, of Mission Indians, California; Cahuilla practices and donor records. With no 2020. This notice corrects the minimum Band of Indians [previously listed as additional information available, this number of individuals. Lineal Cahuilla Band of Mission Indians of the geographic information likely traces a descendants or representatives of any Cahuilla Reservation, California]; La relationship of shared group identity Indian Tribe or Native Hawaiian Jolla Band of Luiseno Indians, California between the human remains and The organization not identified in this notice [previously listed as La Jolla Band of Tribes. that wish to request transfer of control Luiseno Mission Indians of the La Jolla of these human remains and associated Reservation]; Los Coyotes Band of Determinations Made by the Museum of funerary objects should submit a written Cahuilla and Cupeno Indians, California Riverside request to the American Museum of [previously listed as Los Coyotes Band Officials of the Museum of Riverside Natural History. If no additional of Cahuilla & Cupeno Indians of the Los have determined that: requestors come forward, transfer of Coyotes Reservation]; Morongo Band of • Pursuant to 25 U.S.C. 3001(9), the control of the human remains and Mission Indians, California [previously human remains described in this notice associated funerary objects to the lineal listed as Morongo Band of Cahuilla represent the physical remains of two descendants, Indian Tribes, or Native VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00084 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17196 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices Hawaiian organizations stated in this female; 33 adults of indeterminate sex; three request transfer of control of these notice may proceed. individuals whose age and sex are human remains should submit a written indeterminate; and 73 subadults. No known DATES: Lineal descendants or request to Princeton University. If no individuals were identified. representatives of any Indian Tribe or additional requestors come forward, Native Hawaiian organization not In the Federal Register (85 FR 55487, transfer of control of the human remains identified in this notice that wish to September 8, 2020), column 1, to the Indian Tribes or Native Hawaiian request transfer of control of these paragraph 1, sentence 1 is corrected by organizations stated in this notice may human remains and associated funerary substituting the following sentence: proceed. objects should submit a written request Pursuant to 25 U.S.C. 3001(9) the human DATES: Representatives of any Indian with information in support of the remains described in this notice represent the Tribe or Native Hawaiian organization request to the American Museum of physical remains of 188 individuals of Native not identified in this notice that wish to Natural History at the address in this American ancestry. request transfer of control of these notice by May 3, 2021. Additional Requestors and Disposition human remains should submit a written ADDRESSES: Nell Murphy, American request with information in support of Lineal descendants or representatives Museum of Natural History, Central the request to Princeton University at of any Indian Tribe or Native Hawaiian Park West at 79th Street, New York, NY the address in this notice by May 3, organization not identified in this notice 10024, telephone (212) 769–5837, email 2021. that wish to request transfer of control [email protected]. of these human remains and associated ADDRESSES: Bryan R. Just, Princeton SUPPLEMENTARY INFORMATION: Notice is funerary objects should submit a written University Art Museum, Princeton, NJ here given in accordance with the request with information in support of 08544, telephone (609) 258–8805, email Native American Graves Protection and the request to Nell Murphy, American [email protected]. Repatriation Act (NAGPRA), 25 U.S.C. Museum of Natural History, Central SUPPLEMENTARY INFORMATION: Notice is 3003, of the correction of an inventory Park West at 79th Street, New York, NY here given in accordance with the of human remains and associated 10024, telephone (212) 769–5837, email Native American Graves Protection and funerary objects under the control of the [email protected], by May 3, 2021. Repatriation Act (NAGPRA), 25 U.S.C. American Museum of Natural History, After that date, if no additional 3003, of the completion of an inventory New York, NY. The human remains and requestors have come forward, transfer of human remains under the control of associated funerary objects were of control of the human remains and Princeton University, Princeton, NJ. The removed from Fox Farm, May’s Lick associated funerary objects to the human remains were removed from vicinity, in Mason County, KY. Cherokee Nation; Eastern Band of Henry County, IN. This notice is published as part of the Cherokee Indians; and the United This notice is published as part of the National Park Service’s administrative Keetoowah Band of Cherokee Indians in National Park Service’s administrative responsibilities under NAGPRA, 25 Oklahoma may proceed. responsibilities under NAGPRA, 25 U.S.C. 3003(d)(3). The determinations in The American Museum of Natural U.S.C. 3003(d)(3) and 43 CFR 10.11(d). this notice are the sole responsibility of History is responsible for notifying The The determinations in this notice are the museum, institution, or Federal Consulted Tribes that this notice has the sole responsibility of the museum, agency that has control of the Native been published. institution, or Federal agency that has American human remains and Dated: March 16, 2021. control of the Native American human associated funerary objects. The remains. The National Park Service is Melanie O’Brien, National Park Service is not responsible not responsible for the determinations for the determinations in this notice. Manager, National NAGPRA Program. in this notice. This notice corrects the minimum [FR Doc. 2021–06659 Filed 3–31–21; 8:45 am] number of individuals published in a BILLING CODE 4312–52–P Consultation Notice of Inventory Completion in the A detailed assessment of the human Federal Register (85 FR 55486–55487, remains was made by Princeton September 8, 2020). Museum staff DEPARTMENT OF THE INTERIOR University professional staff in discovered an inadvertent omission of consultation with representatives of the one set of human remains from the National Park Service Absentee-Shawnee Tribe of Indians of original Notice of Inventory Completion. [NPS–WASO–NAGPRA–NPS0031649; Oklahoma; Bad River Band of the Lake Transfer of control of the items in this PPWOCRADN0–PCU00RP14.R50000] Superior Tribe of Chippewa Indians of correction notice has not occurred. the Bad River Reservation, Wisconsin; Notice of Inventory Completion: Correction Delaware Nation, Oklahoma; Delaware Princeton University, Princeton, NJ Tribe of Indians; Eastern Shawnee Tribe In the Federal Register (85 FR 55486, AGENCY: National Park Service, Interior. of Oklahoma; Forest County Potawatomi September 8, 2020), column 3, ACTION: Notice. Community, Wisconsin; Kaw Nation, paragraph 2, sentence 1 is corrected by Oklahoma; Lac du Flambeau Band of substituting the following sentence: SUMMARY: Princeton University has Lake Superior Chippewa Indians of the In 1895, human remains representing, at completed an inventory of human Lac du Flambeau Reservation of minimum, 188 individuals were removed remains, in consultation with the Wisconsin; Lac Vieux Desert Band of from May’s Lick Vicinity, Fannie Fox Farm, appropriate Indian Tribes or Native Lake Superior Chippewa Indians of Fox Farm Mason County, KY. Hawaiian organizations and has Michigan; Little River Band of Ottawa In the Federal Register (85 FR 55486, determined that there is no cultural Indians, Michigan; Little Shell Tribe of September 8, 2020), column 3, affiliation between the human remains Chippewa Indians of Montana; Miami paragraph 2, sentence 4 is corrected by and any present-day Indian Tribes or Tribe of Oklahoma; Nottawaseppi substituting the following sentence: Native Hawaiian organizations. Huron Band of the Potawatomi, The human remains include 32 adult Representatives of any Indian Tribe or Michigan (previously listed as Huron males; seven adults who may be male; 33 Native Hawaiian organization not Potawatomi, Inc.); Omaha Tribe of adult females; seven adults who may be identified in this notice that wish to Nebraska; Ottawa Tribe of Oklahoma; VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00085 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17197 Pokagon Band of Potawatomi Indians, among the transferred collection and Indian Community, Michigan; Kaw Michigan and Indiana; Ponca Tribe of alerted Princeton. During the week of Nation, Oklahoma; Little Shell Tribe of Nebraska; Prairie Band Potawatomi February 10, 2020, Princeton retook Chippewa Indians of Montana; Match-e- Nation (previously listed as Prairie Band physical custody of the human remains. be-nash-she-wish Band of Pottawatomi of Potawatomi Nation, Kansas); Quapaw No known individual was identified. No Indians of Michigan; Miami Tribe of Nation (previously listed as The associated funerary objects are present. Oklahoma; Nottawaseppi Huron Band of Quapaw Tribe of Indians); Saginaw Determinations Made by Princeton the Potawatomi, Michigan (previously Chippewa Indian Tribe of Michigan; St. University listed as Huron Potawatomi, Inc.); Croix Chippewa Indians of Wisconsin; Omaha Tribe of Nebraska; Pokagon Stockbridge Munsee Community, Officials of Princeton University have Band of Potawatomi Indians, Michigan Wisconsin; and The Osage Nation determined that: and Indiana; Prairie Band Potawatomi • (previously listed as Osage Tribe) Pursuant to 25 U.S.C. 3001(9), the Nation (previously listed as Prairie Band (hereafter referred to as ‘‘The Consulted human remains described in this notice of Potawatomi Nation, Kansas); Tribes’’). are Native American based on repute. • Shawnee Tribe; and the Stockbridge An invitation to consult was extended Pursuant to 25 U.S.C. 3001(9), the Munsee Community, Wisconsin to the Bay Mills Indian Community, human remains described in this notice (hereafter referred to as ‘‘The Tribes’’). Michigan; Chippewa Cree Indians of the represent the physical remains of one Rocky Boy’s Reservation, Montana individual of Native American ancestry. Additional Requestors and Disposition • (previously listed as Chippewa-Cree Pursuant to 25 U.S.C. 3001(2), a Representatives of any Indian Tribe or Indians of the Rocky Boy’s Reservation, relationship of shared group identity Native Hawaiian organization not Montana); Citizen Potawatomi Nation, cannot be reasonably traced between the identified in this notice that wish to Oklahoma; Grand Traverse Band of Native American human remains and request transfer of control of these Ottawa and Chippewa Indians, any present-day Indian Tribe. • human remains should submit a written Michigan; Hannahville Indian According to final judgments of the request with information in support of Community, Michigan; Keweenaw Bay Indian Claims Commission or the Court the request to Bryan R. Just, Princeton Indian Community, Michigan; Kickapoo of Federal Claims, the land from which University Art Museum, Princeton, NJ Traditional Tribe of Texas; Kickapoo the Native American human remains 08544, telephone (609) 258–8805, email Tribe of Indians of the Kickapoo were removed is the aboriginal land of [email protected], by May 3, 2021. Reservation in Kansas; Kickapoo Tribe the Delaware Nation, Oklahoma; After that date, if no additional of Oklahoma; Lac Courte Oreilles Band Delaware Tribe of Indians; Miami Tribe requestors have come forward, transfer of Lake Superior Chippewa Indians of of Oklahoma; and the Stockbridge of control of the human remains to The Wisconsin; Little Traverse Bay Bands of Munsee Community, Wisconsin. Tribes may proceed. • Treaties, Acts of Congress, or Odawa Indians, Michigan; Match-e-be- Princeton University is responsible Executive Orders indicate that the land nash-she-wish Band of Pottawatomi for notifying The Consulted Tribes, The from which the Native American human Indians of Michigan; Minnesota Invited Tribes and Groups, and The remains were removed is the aboriginal Chippewa Tribe, Minnesota (Six Tribes that this notice has been component reservations: Bois Forte land of the Miami Tribe of Oklahoma. • published. Band (Nett Lake); Fond du Lac Band; According to other authoritative Grand Portage Band; Leech Lake Band; government sources, the land from Dated: March 16, 2021. Mille Lacs Band; White Earth Band); which the Native American human Melanie O’Brien, Peoria Tribe of Indians of Oklahoma; remains were removed is the aboriginal Manager, National NAGPRA Program. Ponca Tribe of Indians of Oklahoma; land of the Absentee-Shawnee Tribe of [FR Doc. 2021–06655 Filed 3–31–21; 8:45 am] Red Cliff Band of Lake Superior Indians of Oklahoma; Citizen BILLING CODE 4312–52–P Chippewa Indians of Wisconsin; Red Potawatomi Nation, Oklahoma; Eastern Lake Band of Chippewa Indians, Shawnee Tribe of Oklahoma; Forest Minnesota; Sault Ste. Marie Tribe of County Potawatomi Community, INTERNATIONAL TRADE Chippewa Indians, Michigan; Shawnee Wisconsin; Hannahville Indian COMMISSION Tribe; Sokaogon Chippewa Community, Community, Michigan; Little Shell Wisconsin; Turtle Mountain Band of Tribe of Chippewa Indians of Montana; [Investigation Nos. 701–TA–531–532 and 731–TA–1270–1273 (Review)] Chippewa Indians of North Dakota; Match-e-be-nash-she-wish Band of Wyandotte Nation; and two non- Pottawatomi Indians of Michigan; Polyethylene Terephthalate (PET) federally recognized Indian groups, the Nottawaseppi Huron Band of the Resin From Canada, China, India, and Burt Lake Band of Ottawa and Potawatomi, Michigan (previously listed Oman; Institution of Five-Year Reviews Chippewa Indians and the Grand River as Huron Potawatomi, Inc.); Omaha Band of Ottawa Indians (hereafter Tribe of Nebraska; Pokagon Band of AGENCY: United States International referred to as ‘‘The Invited Tribes and Potawatomi Indians, Michigan and Trade Commission. Groups’’). Indiana; Prairie Band Potawatomi ACTION: Notice. Nation (previously listed as Prairie Band History and Description of the Remains of Potawatomi Nation, Kansas); and the SUMMARY: The Commission hereby gives On an unknown date, human remains Shawnee Tribe. notice that it has instituted reviews representing, at minimum, one • Pursuant to 43 CFR 10.11(c)(1), the pursuant to the Tariff Act of 1930 (‘‘the individual were removed from an disposition of the human remains may Act’’), as amended, to determine unknown location in Henry County, IN. be to the Absentee-Shawnee Tribe of whether revocation of the In 2004, Princeton transferred the now Indians of Oklahoma; Citizen countervailing duty orders on defunct Princeton Museum of Natural Potawatomi Nation, Oklahoma; polyethylene terephthalate (‘‘PET’’) History paleontology collection to Yale Delaware Nation, Oklahoma; Delaware resin from China and India and the University in New Haven, CT. On July Tribe of Indians; Eastern Shawnee Tribe antidumping duty orders on PET resin 30, 2008, someone at Yale identified of Oklahoma; Forest County Potawatomi from Canada, China, India, and Oman human remains (other number W8211) Community, Wisconsin; Hannahville would be likely to lead to continuation VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00086 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17198 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices or recurrence of material injury. (2) The Subject Countries in these statute for Federal employees, and Pursuant to the Act, interested parties reviews are Canada, China, India, and Commission rule 201.15(b) (19 CFR are requested to respond to this notice Oman. 201.15(b)), 79 FR 3246 (Jan. 17, 2014), by submitting the information specified (3) The Domestic Like Product is the 73 FR 24609 (May 5, 2008). below to the Commission. domestically produced product or Consequently, former employees are not DATES: Instituted April 1, 2021. To be products which are like, or in the required to seek Commission approval assured of consideration, the deadline absence of like, most similar in to appear in a review under Commission for responses is May 3, 2021. Comments characteristics and uses with, the rule 19 CFR 201.15, even if the on the adequacy of responses may be Subject Merchandise. In its original corresponding underlying original filed with the Commission by June 14, determinations, the Commission investigation or an earlier review of the 2021. defined a single Domestic Like Product, same underlying investigation was FOR FURTHER INFORMATION CONTACT: consisting of certain PET resin that is pending when they were Commission Mary Messer (202–205–3193), Office of coextensive with Commerce’s scope. employees. For further ethics advice on (4) The Domestic Industry is the U.S. Investigations, U.S. International Trade this matter, contact Charles Smith, producers as a whole of the Domestic Commission, 500 E Street SW, Office of the General Counsel, at 202– Like Product, or those producers whose Washington, DC 20436. Hearing- 205–3408. collective output of the Domestic Like Limited disclosure of business impaired persons can obtain Product constitutes a major proportion proprietary information (BPI) under an information on this matter by contacting of the total domestic production of the administrative protective order (APO) the Commission’s TDD terminal on 202– product. In its original determinations, and APO service list.—Pursuant to 205–1810. Persons with mobility the Commission defined the Domestic § 207.7(a) of the Commission’s rules, the impairments who will need special Industry as all U.S. producers of PET Secretary will make BPI submitted in assistance in gaining access to the resin. this proceeding available to authorized Commission should contact the Office (5) The Order Date is the date that the applicants under the APO issued in the of the Secretary at 202–205–2000. antidumping and countervailing duty proceeding, provided that the General information concerning the orders under review became effective. In application is made no later than 21 Commission may also be obtained by these reviews, the Order Date is May 6, days after publication of this notice in accessing its internet server (https:// 2016. the Federal Register. Authorized www.usitc.gov). The public record for (6) An Importer is any person or firm applicants must represent interested this proceeding may be viewed on the engaged, either directly or through a parties, as defined in 19 U.S.C. 1677(9), Commission’s electronic docket (EDIS) parent company or subsidiary, in who are parties to the proceeding. A at https://edis.usitc.gov. importing the Subject Merchandise into separate service list will be maintained SUPPLEMENTARY INFORMATION: the United States from a foreign by the Secretary for those parties Background.—On May 6, 2016, the manufacturer or through its selling authorized to receive BPI under the Department of Commerce (‘‘Commerce’’) agent. APO. issued countervailing duty orders on Participation in the proceeding and Certification.—Pursuant to § 207.3 of imports of PET resin from China and public service list.—Persons, including the Commission’s rules, any person India (81 FR 27978) and antidumping industrial users of the Subject submitting information to the duty orders on imports of PET resin Merchandise and, if the merchandise is Commission in connection with this from Canada, China, India, and Oman sold at the retail level, representative proceeding must certify that the (81 FR 27979). The Commission is consumer organizations, wishing to information is accurate and complete to conducting reviews pursuant to section participate in the proceeding as parties the best of the submitter’s knowledge. In 751(c) of the Act, as amended (19 U.S.C. must file an entry of appearance with making the certification, the submitter 1675(c)), to determine whether the Secretary to the Commission, as will acknowledge that information revocation of the orders would be likely provided in § 201.11(b)(4) of the submitted in response to this request for to lead to continuation or recurrence of Commission’s rules, no later than 21 information and throughout this material injury to the domestic industry days after publication of this notice in proceeding or other proceeding may be within a reasonably foreseeable time. the Federal Register. The Secretary will disclosed to and used: (i) By the Provisions concerning the conduct of maintain a public service list containing Commission, its employees and Offices, this proceeding may be found in the the names and addresses of all persons, and contract personnel (a) for Commission’s Rules of Practice and or their representatives, who are parties developing or maintaining the records Procedure at 19 CFR part 201, subparts to the proceeding. of this or a related proceeding, or (b) in A and B, and 19 CFR part 207, subparts Former Commission employees who internal investigations, audits, reviews, A and F. The Commission will assess are seeking to appear in Commission and evaluations relating to the the adequacy of interested party five-year reviews are advised that they programs, personnel, and operations of responses to this notice of institution to may appear in a review even if they the Commission including under 5 determine whether to conduct full or participated personally and U.S.C. Appendix 3; or (ii) by U.S. expedited reviews. The Commission’s substantially in the corresponding government employees and contract determinations in any expedited underlying original investigation or an personnel, solely for cybersecurity reviews will be based on the facts earlier review of the same underlying purposes. All contract personnel will available, which may include investigation. The Commission’s sign appropriate nondisclosure information provided in response to this designated agency ethics official has agreements. notice. advised that a five-year review is not the Written submissions.—Pursuant to Definitions.—The following same particular matter as the underlying § 207.61 of the Commission’s rules, each definitions apply to these reviews: original investigation, and a five-year interested party response to this notice (1) Subject Merchandise is the class or review is not the same particular matter must provide the information specified kind of merchandise that is within the as an earlier review of the same below. The deadline for filing such scope of the five-year reviews, as underlying investigation for purposes of responses is May 3, 2021. Pursuant to defined by Commerce. 18 U.S.C. 207, the post-employment § 207.62(b) of the Commission’s rules, VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00087 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17199 eligible parties (as specified in complete response to this notice, the Merchandise and producers of the Commission rule 207.62(b)(1)) may also Commission may take an adverse Subject Merchandise in each Subject file comments concerning the adequacy inference against the party pursuant to Country that currently export or have of responses to the notice of institution § 776(b) of the Act (19 U.S.C. 1677e(b)) exported Subject Merchandise to the and whether the Commission should in making its determinations in the United States or other countries since conduct expedited or full reviews. The reviews. the Order Date. deadline for filing such comments is Information to be Provided in (7) A list of 3–5 leading purchasers in June 14, 2021. All written submissions Response to This Notice of Institution: If the U.S. market for the Domestic Like must conform with the provisions of you are a domestic producer, union/ Product and the Subject Merchandise § 201.8 of the Commission’s rules; any worker group, or trade/business (including street address, World Wide submissions that contain BPI must also association; import/export Subject Web address, and the name, telephone conform with the requirements of Merchandise from more than one number, fax number, and Email address §§ 201.6, 207.3, and 207.7 of the Subject Country; or produce Subject of a responsible official at each firm). Commission’s rules. The Commission’s Merchandise in more than one Subject (8) A list of known sources of Handbook on Filing Procedures, Country, you may file a single response. information on national or regional available on the Commission’s website If you do so, please ensure that your prices for the Domestic Like Product or at https://www.usitc.gov/documents/ response to each question includes the the Subject Merchandise in the U.S. or handbook_on_filing_procedures.pdf, information requested for each pertinent other markets. elaborates upon the Commission’s Subject Country. As used below, the (9) If you are a U.S. producer of the procedures with respect to filings. Also, term ‘‘firm’’ includes any related firms. Domestic Like Product, provide the in accordance with §§ 201.16(c) and (1) The name and address of your firm following information on your firm’s 207.3 of the Commission’s rules, each or entity (including World Wide Web operations on that product during document filed by a party to the address) and name, telephone number, calendar year 2020, except as noted proceeding must be served on all other fax number, and Email address of the (report quantity data in pounds and parties to the proceeding (as identified certifying official. value data in U.S. dollars, f.o.b. plant). by either the public or APO service list (2) A statement indicating whether If you are a union/worker group or as appropriate), and a certificate of your firm/entity is an interested party trade/business association, provide the service must accompany the document under 19 U.S.C. 1677(9) and if so, how, information, on an aggregate basis, for (if you are not a party to the proceeding including whether your firm/entity is a the firms in which your workers are you do not need to serve your response). U.S. producer of the Domestic Like employed/which are members of your Please note the Secretary’s Office will Product, a U.S. union or worker group, association. accept only electronic filings at this a U.S. importer of the Subject (a) Production (quantity) and, if time. Filings must be made through the Merchandise, a foreign producer or known, an estimate of the percentage of Commission’s Electronic Document exporter of the Subject Merchandise, a total U.S. production of the Domestic Information System (EDIS, https:// U.S. or foreign trade or business Like Product accounted for by your edis.usitc.gov). No in-person paper- association (a majority of whose firm’s(s’) production; based filings or paper copies of any members are interested parties under (b) Capacity (quantity) of your firm to electronic filings will be accepted until the statute), or another interested party produce the Domestic Like Product (that further notice. (including an explanation). If you are a is, the level of production that your No response to this request for union/worker group or trade/business establishment(s) could reasonably have information is required if a currently association, identify the firms in which expected to attain during the year, valid Office of Management and Budget your workers are employed or which are assuming normal operating conditions (‘‘OMB’’) number is not displayed; the members of your association. (using equipment and machinery in OMB number is 3117 0016/USITC No. (3) A statement indicating whether place and ready to operate), normal 21–5–486, expiration date June 30, your firm/entity is willing to participate operating levels (hours per week/weeks 2023. Public reporting burden for the in this proceeding by providing per year), time for downtime, request is estimated to average 15 hours information requested by the maintenance, repair, and cleanup, and a per response. Please send comments Commission. typical or representative product mix); regarding the accuracy of this burden (4) A statement of the likely effects of (c) the quantity and value of U.S. estimate to the Office of Investigations, the revocation of the antidumping and commercial shipments of the Domestic U.S. International Trade Commission, countervailing duty orders on the Like Product produced in your U.S. 500 E Street SW, Washington, DC Domestic Industry in general and/or plant(s); 20436. your firm/entity specifically. In your (d) the quantity and value of U.S. Inability to provide requested response, please discuss the various internal consumption/company information.—Pursuant to § 207.61(c) of factors specified in § 752(a) of the Act transfers of the Domestic Like Product the Commission’s rules, any interested (19 U.S.C. 1675a(a)) including the likely produced in your U.S. plant(s); and party that cannot furnish the volume of subject imports, likely price (e) the value of (i) net sales, (ii) cost information requested by this notice in effects of subject imports, and likely of goods sold (COGS), (iii) gross profit, the requested form and manner shall impact of imports of Subject (iv) selling, general and administrative notify the Commission at the earliest Merchandise on the Domestic Industry. (SG&A) expenses, and (v) operating possible time, provide a full explanation (5) A list of all known and currently income of the Domestic Like Product of why it cannot provide the requested operating U.S. producers of the produced in your U.S. plant(s) (include information, and indicate alternative Domestic Like Product. Identify any both U.S. and export commercial sales, forms in which it can provide known related parties and the nature of internal consumption, and company equivalent information. If an interested the relationship as defined in transfers) for your most recently party does not provide this notification § 771(4)(B) of the Act (19 U.S.C. completed fiscal year (identify the date (or the Commission finds the 1677(4)(B)). on which your fiscal year ends). explanation provided in the notification (6) A list of all known and currently (10) If you are a U.S. importer or a inadequate) and fails to provide a operating U.S. importers of the Subject trade/business association of U.S. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00088 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17200 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices importers of the Subject Merchandise Merchandise from each Subject Country pursuant to the Tariff Act of 1930 (‘‘the from any Subject Country, provide the accounted for by your firm’s(s’) exports. Act’’), as amended, to determine following information on your firm’s(s’) (12) Identify significant changes, if whether revocation of the operations on that product during any, in the supply and demand countervailing duty order on calendar year 2020 (report quantity data conditions or business cycle for the polyethylene retail carrier bags from in pounds and value data in U.S. Domestic Like Product that have Vietnam and the antidumping duty dollars). If you are a trade/business occurred in the United States or in the order on polyethylene retail carrier bags association, provide the information, on market for the Subject Merchandise in from China, Indonesia, Malaysia, an aggregate basis, for the firms which each Subject Country since the Order Taiwan, Thailand, and Vietnam would are members of your association. Date, and significant changes, if any, be likely to lead to continuation or (a) The quantity and value (landed, that are likely to occur within a recurrence of material injury. Pursuant duty-paid but not including reasonably foreseeable time. Supply to the Act, interested parties are antidumping or countervailing duties) conditions to consider include requested to respond to this notice by of U.S. imports and, if known, an technology; production methods; submitting the information specified estimate of the percentage of total U.S. development efforts; ability to increase below to the Commission. imports of Subject Merchandise from production (including the shift of DATES: Instituted April 1, 2021. To be each Subject Country accounted for by production facilities used for other assured of consideration, the deadline your firm’s(s’) imports; products and the use, cost, or for responses is May 3, 2021. Comments (b) the quantity and value (f.o.b. U.S. availability of major inputs into on the adequacy of responses may be port, including antidumping and/or production); and factors related to the filed with the Commission by June 14, countervailing duties) of U.S. ability to shift supply among different 2021. commercial shipments of Subject national markets (including barriers to FOR FURTHER INFORMATION CONTACT: Merchandise imported from each importation in foreign markets or Mary Messer (202–205–3193), Office of Subject Country; and changes in market demand abroad). Investigations, U.S. International Trade (c) the quantity and value (f.o.b. U.S. Demand conditions to consider include Commission, 500 E Street SW, port, including antidumping and/or end uses and applications; the existence Washington, DC 20436. Hearing- countervailing duties) of U.S. internal and availability of substitute products; consumption/company transfers of impaired persons can obtain and the level of competition among the information on this matter by contacting Subject Merchandise imported from Domestic Like Product produced in the each Subject Country. the Commission’s TDD terminal on 202– United States, Subject Merchandise 205–1810. Persons with mobility (11) If you are a producer, an exporter, produced in each Subject Country, and or a trade/business association of impairments who will need special such merchandise from other countries. assistance in gaining access to the producers or exporters of the Subject (13) (OPTIONAL) A statement of Merchandise in any Subject Country, Commission should contact the Office whether you agree with the above of the Secretary at 202–205–2000. provide the following information on definitions of the Domestic Like Product your firm’s(s’) operations on that General information concerning the and Domestic Industry; if you disagree Commission may also be obtained by product during calendar year 2020 with either or both of these definitions, (report quantity data in pounds and accessing its internet server (https:// please explain why and provide www.usitc.gov). The public record for value data in U.S. dollars, landed and alternative definitions. duty-paid at the U.S. port but not this proceeding may be viewed on the Authority: This proceeding is being including antidumping or Commission’s electronic docket (EDIS) conducted under authority of Title VII of the at https://edis.usitc.gov. countervailing duties). If you are a Tariff Act of 1930; this notice is published trade/business association, provide the pursuant to § 207.61 of the Commission’s SUPPLEMENTARY INFORMATION: information, on an aggregate basis, for rules. Background.—On August 9, 2004, the Department of Commerce (‘‘Commerce’’) the firms which are members of your By order of the Commission. issued antidumping duty orders on association. Issued: March 23, 2021. (a) Production (quantity) and, if imports of polyethylene retail carrier Lisa Barton, known, an estimate of the percentage of bags from China, Malaysia, and total production of Subject Merchandise Secretary to the Commission. Thailand (69 FR 48201, 48203, and in each Subject Country accounted for [FR Doc. 2021–06358 Filed 3–31–21; 8:45 am] 48204). On May 4, 2010, Commerce by your firm’s(s’) production; BILLING CODE 7020–02–P issued a countervailing duty order on (b) Capacity (quantity) of your firm(s) imports of polyethylene retail carrier to produce the Subject Merchandise in bags from Vietnam (75 FR 23670) and each Subject Country (that is, the level INTERNATIONAL TRADE antidumping duty orders on imports of of production that your establishment(s) COMMISSION polyethylene retail carrier bags from could reasonably have expected to [Investigation Nos. 701–TA–462 and 731– Indonesia, Taiwan, and Vietnam (75 FR attain during the year, assuming normal TA–1156–1158 (Second Review) and 731– 23667). Following first five-year reviews operating conditions (using equipment TA–1043–1045 (Third Review)] by Commerce and the Commission, and machinery in place and ready to effective July 7, 2010, Commerce issued operate), normal operating levels (hours Polyethylene Retail Carrier Bags From a continuation of the antidumping duty per week/weeks per year), time for China, Indonesia, Malaysia, Taiwan, orders on imports of polyethylene retail downtime, maintenance, repair, and Thailand, and Vietnam; Institution of carrier bags from China, Malaysia, and cleanup, and a typical or representative Five-Year Reviews Thailand (75 FR 38978). Following first product mix); and AGENCY: United States International five-year reviews of the orders (c) the quantity and value of your Trade Commission. concerning Indonesia, Taiwan, and firm’s(s’) exports to the United States of ACTION: Notice. Vietnam and second five-year reviews of Subject Merchandise and, if known, an the orders concerning China, Malaysia, estimate of the percentage of total SUMMARY: The Commission hereby gives and Thailand by Commerce and the exports to the United States of Subject notice that it has instituted reviews Commission, effective May 5, 2016, VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00089 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17201 Commerce issued a continuation of the Taiwan, and Vietnam, and in its original § 207.7(a) of the Commission’s rules, the countervailing duty order on imports of determinations and its full first and Secretary will make BPI submitted in polyethylene retail carrier bags from second five-year review determinations this proceeding available to authorized Vietnam and antidumping duty orders concerning China, Malaysia, and applicants under the APO issued in the on imports of polyethylene retail carrier Thailand, the Commission found a proceeding, provided that the bags from China, Indonesia, Malaysia, single Domestic Industry consisting of application is made no later than 21 Taiwan, Thailand, and Vietnam (81 FR all U.S. producers of polyethylene retail days after publication of this notice in 27087). The Commission is now carrier bags. the Federal Register. Authorized conducting second five-year reviews of (5) An Importer is any person or firm applicants must represent interested the orders concerning Indonesia, engaged, either directly or through a parties, as defined in 19 U.S.C. 1677(9), Taiwan, and Vietnam and third five- parent company or subsidiary, in who are parties to the proceeding. A year reviews of the orders concerning importing the Subject Merchandise into separate service list will be maintained China, Malaysia, and Thailand pursuant the United States from a foreign by the Secretary for those parties to section 751(c) of the Act, as amended manufacturer or through its selling authorized to receive BPI under the (19 U.S.C. 1675(c)), to determine agent. APO. whether revocation of the orders would Participation in the proceeding and Certification.—Pursuant to § 207.3 of be likely to lead to continuation or public service list.—Persons, including the Commission’s rules, any person recurrence of material injury to the industrial users of the Subject submitting information to the domestic industry within a reasonably Merchandise and, if the merchandise is Commission in connection with this foreseeable time. Provisions concerning sold at the retail level, representative proceeding must certify that the the conduct of this proceeding may be consumer organizations, wishing to information is accurate and complete to found in the Commission’s Rules of participate in the proceeding as parties the best of the submitter’s knowledge. In Practice and Procedure at 19 CFR part must file an entry of appearance with making the certification, the submitter 201, subparts A and B, and 19 CFR part the Secretary to the Commission, as will acknowledge that information 207, subparts A and F. The Commission provided in § 201.11(b)(4) of the submitted in response to this request for will assess the adequacy of interested Commission’s rules, no later than 21 information and throughout this party responses to this notice of days after publication of this notice in proceeding or other proceeding may be institution to determine whether to the Federal Register. The Secretary will disclosed to and used: (i) By the conduct full or expedited reviews. The maintain a public service list containing Commission, its employees and Offices, Commission’s determinations in any the names and addresses of all persons, and contract personnel (a) for expedited reviews will be based on the or their representatives, who are parties developing or maintaining the records facts available, which may include to the proceeding. of this or a related proceeding, or (b) in information provided in response to this Former Commission employees who internal investigations, audits, reviews, notice. are seeking to appear in Commission and evaluations relating to the Definitions.—The following five-year reviews are advised that they programs, personnel, and operations of definitions apply to these reviews: may appear in a review even if they the Commission including under 5 (1) Subject Merchandise is the class or participated personally and U.S.C. Appendix 3; or (ii) by U.S. kind of merchandise that is within the substantially in the corresponding government employees and contract scope of the five-year reviews, as underlying original investigation or an personnel, solely for cybersecurity defined by Commerce. earlier review of the same underlying purposes. All contract personnel will (2) The Subject Countries in these investigation. The Commission’s sign appropriate nondisclosure reviews are China, Indonesia, Malaysia, designated agency ethics official has agreements. Taiwan, Thailand, and Vietnam. advised that a five-year review is not the Written submissions.—Pursuant to (3) The Domestic Like Product is the same particular matter as the underlying § 207.61 of the Commission’s rules, each domestically produced product or original investigation, and a five-year interested party response to this notice products which are like, or in the review is not the same particular matter must provide the information specified absence of like, most similar in as an earlier review of the same below. The deadline for filing such characteristics and uses with, the underlying investigation for purposes of responses is May 3, 2021. Pursuant to Subject Merchandise. In its original 18 U.S.C. 207, the post-employment § 207.62(b) of the Commission’s rules, determinations and its full first five-year statute for Federal employees, and eligible parties (as specified in review determinations concerning Commission rule 201.15(b) (19 CFR Commission rule 207.62(b)(1)) may also Indonesia, Taiwan, and Vietnam, and in 201.15(b)), 79 FR 3246 (Jan. 17, 2014), file comments concerning the adequacy its original determinations and its full 73 FR 24609 (May 5, 2008). of responses to the notice of institution first and second five-year review Consequently, former employees are not and whether the Commission should determinations concerning China, required to seek Commission approval conduct expedited or full reviews. The Malaysia, and Thailand, the to appear in a review under Commission deadline for filing such comments is Commission found one Domestic Like rule 19 CFR 201.15, even if the June 14, 2021. All written submissions Product consisting of the range of corresponding underlying original must conform with the provisions of polyethylene retail carrier bags investigation or an earlier review of the § 201.8 of the Commission’s rules; any corresponding to Commerce’s scope. same underlying investigation was submissions that contain BPI must also (4) The Domestic Industry is the U.S. pending when they were Commission conform with the requirements of producers as a whole of the Domestic employees. For further ethics advice on §§ 201.6, 207.3, and 207.7 of the Like Product, or those producers whose this matter, contact Charles Smith, Commission’s rules. The Commission’s collective output of the Domestic Like Office of the General Counsel, at 202– Handbook on Filing Procedures, Product constitutes a major proportion 205–3408. available on the Commission’s website of the total domestic production of the Limited disclosure of business at https://www.usitc.gov/documents/ product. In its original determinations proprietary information (BPI) under an handbook_on_filing_procedures.pdf, and its full first five-year review administrative protective order (APO) elaborates upon the Commission’s determinations concerning Indonesia, and APO service list.—Pursuant to procedures with respect to filings. Also, VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00090 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17202 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices in accordance with §§ 201.16(c) and (1) The name and address of your firm following information on your firm’s 207.3 of the Commission’s rules, each or entity (including World Wide Web operations on that product during document filed by a party to the address) and name, telephone number, calendar year 2020, except as noted proceeding must be served on all other fax number, and Email address of the (report quantity data in number of bags parties to the proceeding (as identified certifying official. and value data in U.S. dollars, f.o.b. by either the public or APO service list (2) A statement indicating whether plant). If you are a union/worker group as appropriate), and a certificate of your firm/entity is an interested party or trade/business association, provide service must accompany the document under 19 U.S.C. 1677(9) and if so, how, the information, on an aggregate basis, (if you are not a party to the proceeding including whether your firm/entity is a for the firms in which your workers are you do not need to serve your response). U.S. producer of the Domestic Like employed/which are members of your Please note the Secretary’s Office will Product, a U.S. union or worker group, association. accept only electronic filings at this a U.S. importer of the Subject (a) Production (quantity) and, if time. Filings must be made through the Merchandise, a foreign producer or known, an estimate of the percentage of Commission’s Electronic Document exporter of the Subject Merchandise, a total U.S. production of the Domestic Information System (EDIS, https:// U.S. or foreign trade or business Like Product accounted for by your edis.usitc.gov). No in-person paper- association (a majority of whose firm’s(s’) production; based filings or paper copies of any members are interested parties under (b) Capacity (quantity) of your firm to electronic filings will be accepted until the statute), or another interested party produce the Domestic Like Product (that further notice. (including an explanation). If you are a is, the level of production that your No response to this request for union/worker group or trade/business establishment(s) could reasonably have information is required if a currently association, identify the firms in which expected to attain during the year, valid Office of Management and Budget your workers are employed or which are assuming normal operating conditions (‘‘OMB’’) number is not displayed; the members of your association. (using equipment and machinery in OMB number is 3117 0016/USITC No. (3) A statement indicating whether place and ready to operate), normal 21–5–485, expiration date June 30, your firm/entity is willing to participate operating levels (hours per week/weeks 2023. Public reporting burden for the in this proceeding by providing per year), time for downtime, request is estimated to average 15 hours information requested by the maintenance, repair, and cleanup, and a per response. Please send comments Commission. typical or representative product mix); regarding the accuracy of this burden (4) A statement of the likely effects of (c) the quantity and value of U.S. estimate to the Office of Investigations, the revocation of the antidumping and commercial shipments of the Domestic U.S. International Trade Commission, countervailing duty orders on the Like Product produced in your U.S. 500 E Street SW, Washington, DC Domestic Industry in general and/or plant(s); 20436. your firm/entity specifically. In your (d) the quantity and value of U.S. Inability to provide requested response, please discuss the various internal consumption/company information.—Pursuant to § 207.61(c) of factors specified in section 752(a) of the transfers of the Domestic Like Product the Commission’s rules, any interested Act (19 U.S.C. 1675a(a)) including the produced in your U.S. plant(s); and party that cannot furnish the likely volume of subject imports, likely (e) the value of (i) net sales, (ii) cost information requested by this notice in price effects of subject imports, and of goods sold (COGS), (iii) gross profit, the requested form and manner shall likely impact of imports of Subject (iv) selling, general and administrative notify the Commission at the earliest Merchandise on the Domestic Industry. (SG&A) expenses, and (v) operating possible time, provide a full explanation (5) A list of all known and currently income of the Domestic Like Product of why it cannot provide the requested operating U.S. producers of the produced in your U.S. plant(s) (include information, and indicate alternative Domestic Like Product. Identify any both U.S. and export commercial sales, forms in which it can provide known related parties and the nature of internal consumption, and company equivalent information. If an interested the relationship as defined in section transfers) for your most recently party does not provide this notification 771(4)(B) of the Act (19 U.S.C. completed fiscal year (identify the date (or the Commission finds the 1677(4)(B)). on which your fiscal year ends). explanation provided in the notification (6) A list of all known and currently (10) If you are a U.S. importer or a inadequate) and fails to provide a operating U.S. importers of the Subject trade/business association of U.S. complete response to this notice, the Merchandise and producers of the importers of the Subject Merchandise Commission may take an adverse Subject Merchandise in each Subject from any Subject Country, provide the inference against the party pursuant to Country that currently export or have following information on your firm’s(s’) § 776(b) of the Act (19 U.S.C. 1677e(b)) exported Subject Merchandise to the operations on that product during in making its determinations in the United States or other countries after calendar year 2020 (report quantity data reviews. 2014. in number of bags and value data in U.S. Information to be Provided in (7) A list of 3–5 leading purchasers in dollars). If you are a trade/business Response to This Notice of Institution: If the U.S. market for the Domestic Like association, provide the information, on you are a domestic producer, union/ Product and the Subject Merchandise an aggregate basis, for the firms which worker group, or trade/business (including street address, World Wide are members of your association. association; import/export Subject Web address, and the name, telephone (a) The quantity and value (landed, Merchandise from more than one number, fax number, and Email address duty-paid but not including Subject Country; or produce Subject of a responsible official at each firm). antidumping or countervailing duties) Merchandise in more than one Subject (8) A list of known sources of of U.S. imports and, if known, an Country, you may file a single response. information on national or regional estimate of the percentage of total U.S. If you do so, please ensure that your prices for the Domestic Like Product or imports of Subject Merchandise from response to each question includes the the Subject Merchandise in the U.S. or each Subject Country accounted for by information requested for each pertinent other markets. your firm’s(s’) imports; Subject Country. As used below, the (9) If you are a U.S. producer of the (b) the quantity and value (f.o.b. U.S. term ‘‘firm’’ includes any related firms. Domestic Like Product, provide the port, including antidumping and/or VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00091 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17203 countervailing duties) of U.S. different national markets (including information on this matter by contacting commercial shipments of Subject barriers to importation in foreign the Commission’s TDD terminal on 202– Merchandise imported from each markets or changes in market demand 205–1810. Persons with mobility Subject Country; and abroad). Demand conditions to consider impairments who will need special (c) the quantity and value (f.o.b. U.S. include end uses and applications; the assistance in gaining access to the port, including antidumping and/or existence and availability of substitute Commission should contact the Office countervailing duties) of U.S. internal products; and the level of competition of the Secretary at 202–205–2000. consumption/company transfers of among the Domestic Like Product General information concerning the Subject Merchandise imported from produced in the United States, Subject Commission may also be obtained by each Subject Country. Merchandise produced in each Subject accessing its internet server (https:// (11) If you are a producer, an exporter, Country, and such merchandise from www.usitc.gov). The public record for or a trade/business association of other countries. this proceeding may be viewed on the producers or exporters of the Subject (13) (OPTIONAL) A statement of Commission’s electronic docket (EDIS) Merchandise in any Subject Country, whether you agree with the above at https://edis.usitc.gov. provide the following information on definitions of the Domestic Like Product SUPPLEMENTARY INFORMATION: your firm’s(s’) operations on that and Domestic Industry; if you disagree Background.—On August 28, 1986, the product during calendar year 2020 with either or both of these definitions, Department of Commerce (‘‘Commerce’’) (report quantity data in number of bags please explain why and provide issued an antidumping duty order on and value data in U.S. dollars, landed alternative definitions. imports of petroleum wax candles from and duty-paid at the U.S. port but not China (51 FR 30686). Following first, including antidumping or Authority: This proceeding is being conducted under authority of title VII of the second, third, and fourth five-year countervailing duties). If you are a Tariff Act of 1930; this notice is published trade/business association, provide the reviews by Commerce and the pursuant to § 207.61 of the Commission’s Commission, Commerce issued information, on an aggregate basis, for rules. the firms which are members of your continuations of the antidumping duty By order of the Commission. association. order on imports of petroleum wax (a) Production (quantity) and, if Issued: March 23, 2021. candles from China, effective September known, an estimate of the percentage of Lisa Barton, 23, 1999 (64 FR 51514), August 10, 2005 total production of Subject Merchandise Secretary to the Commission. (70 FR 56890), January 6, 2011 (76 FR in each Subject Country accounted for [FR Doc. 2021–06357 Filed 3–31–21; 8:45 am] 773), and May 26, 2016 (81 FR 33466), respectively. The Commission is now by your firm’s(s’) production; BILLING CODE 7020–02–P (b) Capacity (quantity) of your firm(s) conducting a fifth review pursuant to to produce the Subject Merchandise in section 751(c) of the Act, as amended each Subject Country (that is, the level INTERNATIONAL TRADE (19 U.S.C. 1675(c)), to determine of production that your establishment(s) COMMISSION whether revocation of the order would could reasonably have expected to be likely to lead to continuation or [Investigation No. 731–TA–282 (Fifth recurrence of material injury to the attain during the year, assuming normal Review)] operating conditions (using equipment domestic industry within a reasonably and machinery in place and ready to Petroleum Wax Candles From China; foreseeable time. Provisions concerning operate), normal operating levels (hours Institution of a Five-Year Review the conduct of this proceeding may be per week/weeks per year), time for found in the Commission’s Rules of downtime, maintenance, repair, and AGENCY: United States International Practice and Procedure at 19 CFR part cleanup, and a typical or representative Trade Commission. 201, subparts A and B, and 19 CFR part product mix); and ACTION: Notice. 207, subparts A and F. The Commission (c) the quantity and value of your will assess the adequacy of interested firm’s(s’) exports to the United States of SUMMARY: The Commission hereby gives party responses to this notice of Subject Merchandise and, if known, an notice that it has instituted a review institution to determine whether to estimate of the percentage of total pursuant to the Tariff Act of 1930 (‘‘the conduct a full review or an expedited exports to the United States of Subject Act’’), as amended, to determine review. The Commission’s Merchandise from each Subject Country whether revocation of the antidumping determination in any expedited review accounted for by your firm’s(s’) exports. duty order on petroleum wax candles will be based on the facts available, (12) Identify significant changes, if from China would be likely to lead to which may include information any, in the supply and demand continuation or recurrence of material provided in response to this notice. conditions or business cycle for the injury. Pursuant to the Act, interested Definitions.—The following Domestic Like Product that have parties are requested to respond to this definitions apply to this review: occurred in the United States or in the notice by submitting the information (1) Subject Merchandise is the class or market for the Subject Merchandise in specified below to the Commission. kind of merchandise that is within the each Subject Country after 2014, and DATES: Instituted April 1, 2021. To be scope of the five-year review, as defined significant changes, if any, that are assured of consideration, the deadline by Commerce. likely to occur within a reasonably for responses is May 3, 2021. Comments (2) The Subject Country in this review foreseeable time. Supply conditions to on the adequacy of responses may be is China. consider include technology; filed with the Commission by June 11, (3) The Domestic Like Product is the production methods; development 2021. domestically produced product or efforts; ability to increase production FOR FURTHER INFORMATION CONTACT: products which are like, or in the (including the shift of production Mary Messer (202–205–3193), Office of absence of like, most similar in facilities used for other products and the Investigations, U.S. International Trade characteristics and uses with, the use, cost, or availability of major inputs Commission, 500 E Street SW, Subject Merchandise. In its original into production); and factors related to Washington, DC 20436. Hearing- determination and its expedited first the ability to shift supply among impaired persons can obtain five-year review determination, the VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00092 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17204 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices Commission defined the Domestic Like advised that a five-year review is not the Written submissions.—Pursuant to Product as consisting only of petroleum same particular matter as the underlying § 207.61 of the Commission’s rules, each wax candles composed of more than 50 original investigation, and a five-year interested party response to this notice percent petroleum wax. In its full review is not the same particular matter must provide the information specified second five-year review determination as an earlier review of the same below. The deadline for filing such and its expedited third and fourth five- underlying investigation for purposes of responses is May 3, 2021. Pursuant to year review determinations, the 18 U.S.C. 207, the post-employment § 207.62(b) of the Commission’s rules, Commission defined the Domestic Like statute for Federal employees, and eligible parties (as specified in Product as candles with fiber or paper- Commission rule 201.15(b) (19 CFR Commission rule 207.62(b)(1)) may also cored wicks and containing any amount 201.15(b)), 79 FR 3246 (Jan. 17, 2014), file comments concerning the adequacy of petroleum wax, except for candles 73 FR 24609 (May 5, 2008). of responses to the notice of institution containing more than 50 percent Consequently, former employees are not and whether the Commission should beeswax. required to seek Commission approval conduct an expedited or full review. (4) The Domestic Industry is the U.S. to appear in a review under Commission The deadline for filing such comments producers as a whole of the Domestic rule 19 CFR 201.15, even if the is June 11, 2021. All written Like Product, or those producers whose corresponding underlying original submissions must conform with the collective output of the Domestic Like investigation or an earlier review of the provisions of § 201.8 of the Product constitutes a major proportion same underlying investigation was Commission’s rules; any submissions of the total domestic production of the pending when they were Commission that contain BPI must also conform with product. In its original determination employees. For further ethics advice on the requirements of §§ 201.6, 207.3, and and its expedited first five-year review this matter, contact Charles Smith, 207.7 of the Commission’s rules. The determination, the Commission defined Office of the General Counsel, at 202– Commission’s Handbook on Filing the Domestic Industry as producers of 205–3408. Procedures, available on the petroleum wax candles. In its full Limited disclosure of business Commission’s website at https:// second five-year review determination proprietary information (BPI) under an www.usitc.gov/documents/handbook_ and its expedited third and fourth five- administrative protective order (APO) on_filing_procedures.pdf, elaborates year review determinations, the and APO service list.—Pursuant to upon the Commission’s procedures with Commission defined the Domestic § 207.7(a) of the Commission’s rules, the respect to filings. Also, in accordance Industry as consisting of all domestic Secretary will make BPI submitted in with §§ 201.16(c) and 207.3 of the producers of candles with fiber or this proceeding available to authorized Commission’s rules, each document paper-cored wicks and containing applicants under the APO issued in the filed by a party to the proceeding must petroleum wax, except for candles that proceeding, provided that the be served on all other parties to the contain more than 50 percent beeswax, application is made no later than 21 proceeding (as identified by either the consistent with its revised domestic like days after publication of this notice in public or APO service list as product definition. the Federal Register. Authorized appropriate), and a certificate of service (5) An Importer is any person or firm applicants must represent interested must accompany the document (if you engaged, either directly or through a parties, as defined in 19 U.S.C. 1677(9), are not a party to the proceeding you do parent company or subsidiary, in who are parties to the proceeding. A not need to serve your response). importing the Subject Merchandise into separate service list will be maintained Please note the Secretary’s Office will the United States from a foreign by the Secretary for those parties accept only electronic filings at this manufacturer or through its selling authorized to receive BPI under the time. Filings must be made through the agent. APO. Commission’s Electronic Document Participation in the proceeding and Certification.—Pursuant to § 207.3 of Information System (EDIS, https:// public service list.—Persons, including the Commission’s rules, any person edis.usitc.gov). No in-person paper- industrial users of the Subject submitting information to the based filings or paper copies of any Merchandise and, if the merchandise is Commission in connection with this electronic filings will be accepted until sold at the retail level, representative proceeding must certify that the further notice. consumer organizations, wishing to information is accurate and complete to No response to this request for participate in the proceeding as parties the best of the submitter’s knowledge. In information is required if a currently must file an entry of appearance with making the certification, the submitter valid Office of Management and Budget the Secretary to the Commission, as will acknowledge that information (‘‘OMB’’) number is not displayed; the provided in § 201.11(b)(4) of the submitted in response to this request for OMB number is 3117 0016/USITC No. Commission’s rules, no later than 21 information and throughout this 21–5–484, expiration date June 30, days after publication of this notice in proceeding or other proceeding may be 2023. Public reporting burden for the the Federal Register. The Secretary will disclosed to and used: (i) By the request is estimated to average 15 hours maintain a public service list containing Commission, its employees and Offices, per response. Please send comments the names and addresses of all persons, and contract personnel (a) for regarding the accuracy of this burden or their representatives, who are parties developing or maintaining the records estimate to the Office of Investigations, to the proceeding. of this or a related proceeding, or (b) in U.S. International Trade Commission, Former Commission employees who internal investigations, audits, reviews, 500 E Street SW, Washington, DC are seeking to appear in Commission and evaluations relating to the 20436. five-year reviews are advised that they programs, personnel, and operations of Inability to provide requested may appear in a review even if they the Commission including under 5 information.—Pursuant to § 207.61(c) of participated personally and U.S.C. Appendix 3; or (ii) by U.S. the Commission’s rules, any interested substantially in the corresponding government employees and contract party that cannot furnish the underlying original investigation or an personnel, solely for cybersecurity information requested by this notice in earlier review of the same underlying purposes. All contract personnel will the requested form and manner shall investigation. The Commission’s sign appropriate nondisclosure notify the Commission at the earliest designated agency ethics official has agreements. possible time, provide a full explanation VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00093 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17205 of why it cannot provide the requested Country that currently export or have following information on your firm’s(s’) information, and indicate alternative exported Subject Merchandise to the operations on that product during forms in which it can provide United States or other countries after calendar year 2020 (report quantity data equivalent information. If an interested 2014. in pounds and value data in U.S. party does not provide this notification (7) A list of 3–5 leading purchasers in dollars). If you are a trade/business (or the Commission finds the the U.S. market for the Domestic Like association, provide the information, on explanation provided in the notification Product and the Subject Merchandise an aggregate basis, for the firms which inadequate) and fails to provide a (including street address, World Wide are members of your association. complete response to this notice, the Web address, and the name, telephone (a) The quantity and value (landed, Commission may take an adverse number, fax number, and Email address duty-paid but not including inference against the party pursuant to of a responsible official at each firm). antidumping duties) of U.S. imports § 776(b) of the Act (19 U.S.C. 1677e(b)) (8) A list of known sources of and, if known, an estimate of the in making its determination in the information on national or regional percentage of total U.S. imports of review. prices for the Domestic Like Product or Subject Merchandise from the Subject Information to be Provided in the Subject Merchandise in the U.S. or Country accounted for by your firm’s(s’) Response to This Notice of Institution: other markets. imports; As used below, the term ‘‘firm’’ includes (9) If you are a U.S. producer of the (b) the quantity and value (f.o.b. U.S. any related firms. Domestic Like Product, provide the port, including antidumping duties) of (1) The name and address of your firm following information on your firm’s U.S. commercial shipments of Subject or entity (including World Wide Web operations on that product during Merchandise imported from the Subject address) and name, telephone number, calendar year 2020, except as noted Country; and fax number, and Email address of the (report quantity data in pounds and (c) the quantity and value (f.o.b. U.S. certifying official. value data in U.S. dollars, f.o.b. plant). port, including antidumping duties) of (2) A statement indicating whether If you are a union/worker group or U.S. internal consumption/company your firm/entity is an interested party trade/business association, provide the transfers of Subject Merchandise under 19 U.S.C. 1677(9) and if so, how, information, on an aggregate basis, for imported from the Subject Country. including whether your firm/entity is a the firms in which your workers are (11) If you are a producer, an exporter, U.S. producer of the Domestic Like employed/which are members of your or a trade/business association of Product, a U.S. union or worker group, association. producers or exporters of the Subject a U.S. importer of the Subject (a) Production (quantity) and, if Merchandise in the Subject Country, Merchandise, a foreign producer or known, an estimate of the percentage of provide the following information on exporter of the Subject Merchandise, a total U.S. production of the Domestic your firm’s(s’) operations on that U.S. or foreign trade or business Like Product accounted for by your product during calendar year 2020 association (a majority of whose firm’s(s’) production; (report quantity data in pounds and members are interested parties under (b) Capacity (quantity) of your firm to value data in U.S. dollars, landed and the statute), or another interested party produce the Domestic Like Product (that duty-paid at the U.S. port but not (including an explanation). If you are a is, the level of production that your including antidumping duties). If you union/worker group or trade/business establishment(s) could reasonably have are a trade/business association, provide association, identify the firms in which expected to attain during the year, the information, on an aggregate basis, your workers are employed or which are assuming normal operating conditions for the firms which are members of your members of your association. (using equipment and machinery in association. (3) A statement indicating whether place and ready to operate), normal (a) Production (quantity) and, if your firm/entity is willing to participate operating levels (hours per week/weeks known, an estimate of the percentage of in this proceeding by providing per year), time for downtime, total production of Subject Merchandise information requested by the maintenance, repair, and cleanup, and a in the Subject Country accounted for by Commission. typical or representative product mix); your firm’s(s’) production; (4) A statement of the likely effects of (c) the quantity and value of U.S. (b) Capacity (quantity) of your firm(s) the revocation of the antidumping duty commercial shipments of the Domestic to produce the Subject Merchandise in order on the Domestic Industry in Like Product produced in your U.S. the Subject Country (that is, the level of general and/or your firm/entity plant(s); production that your establishment(s) specifically. In your response, please (d) the quantity and value of U.S. could reasonably have expected to discuss the various factors specified in internal consumption/company attain during the year, assuming normal section 752(a) of the Act (19 U.S.C. transfers of the Domestic Like Product operating conditions (using equipment 1675a(a)) including the likely volume of produced in your U.S. plant(s); and and machinery in place and ready to subject imports, likely price effects of (e) the value of (i) net sales, (ii) cost operate), normal operating levels (hours subject imports, and likely impact of of goods sold (COGS), (iii) gross profit, per week/weeks per year), time for imports of Subject Merchandise on the (iv) selling, general and administrative downtime, maintenance, repair, and Domestic Industry. (SG&A) expenses, and (v) operating cleanup, and a typical or representative (5) A list of all known and currently income of the Domestic Like Product product mix); and operating U.S. producers of the produced in your U.S. plant(s) (include (c) the quantity and value of your Domestic Like Product. Identify any both U.S. and export commercial sales, firm’s(s’) exports to the United States of known related parties and the nature of internal consumption, and company Subject Merchandise and, if known, an the relationship as defined in transfers) for your most recently estimate of the percentage of total § 771(4)(B) of the Act (19 U.S.C. completed fiscal year (identify the date exports to the United States of Subject 1677(4)(B)). on which your fiscal year ends). Merchandise from the Subject Country (6) A list of all known and currently (10) If you are a U.S. importer or a accounted for by your firm’s(s’) exports. operating U.S. importers of the Subject trade/business association of U.S. (12) Identify significant changes, if Merchandise and producers of the importers of the Subject Merchandise any, in the supply and demand Subject Merchandise in the Subject from the Subject Country, provide the conditions or business cycle for the VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00094 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17206 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices Domestic Like Product that have pending applications according to its In accordance with 21 CFR occurred in the United States or in the regulations governing the program of 1301.33(a), DEA is providing notice that market for the Subject Merchandise in growing marihuana for scientific and on January 11, 2020, ThinkPur, LLC, 46 the Subject Country after 2014, and medical research under DEA FM 3351 North, Bergheim, Texas 78004 significant changes, if any, that are registration. applied to be registered as a bulk likely to occur within a reasonably manufacturer of the following basic DATES: Registered bulk manufacturers of foreseeable time. Supply conditions to class(es) of controlled substances: the affected basic class(es), and consider include technology; applicants therefor, may file written production methods; development Controlled comments on or objections to the Drug code Schedule efforts; ability to increase production substance issuance of the proposed registration on (including the shift of production or before June 1, 2021. Marihuana Extract 7350 I facilities used for other products and the use, cost, or availability of major inputs ADDRESSES: Written comments should into production); and factors related to be sent to: Drug Enforcement William T. McDermott, the ability to shift supply among Administration, Attention: DEA Federal Assistant Administrator. different national markets (including Register Representative/DPW 8701 [FR Doc. 2021–06688 Filed 3–31–21; 8:45 am] barriers to importation in foreign Morrissette Drive, Springfield, Virginia BILLING CODE 4410–09–P markets or changes in market demand 22152. To ensure proper handling of abroad). Demand conditions to consider comments, please reference Docket include end uses and applications; the No—DEA–XXX in all correspondence, DEPARTMENT OF JUSTICE including attachments. existence and availability of substitute Drug Enforcement Administration products; and the level of competition SUPPLEMENTARY INFORMATION: The among the Domestic Like Product Controlled Substances Act (CSA) [Docket No. DEA–817] produced in the United States, Subject prohibits the cultivation and Importer of Controlled Substances Merchandise produced in the Subject distribution of marihuana except by Application: Sharp Clinical Services, Country, and such merchandise from persons who are registered under the Inc. other countries. CSA to do so for lawful purposes. In (13) (OPTIONAL) A statement of accordance with the purposes specified AGENCY: Drug Enforcement whether you agree with the above in 21 CFR 1301.33(a), DEA is providing Administration, Justice. definitions of the Domestic Like Product notice that the entity identified below ACTION: Notice of application. and Domestic Industry; if you disagree has applied for registration as a bulk with either or both of these definitions, manufacturer of schedule I controlled SUMMARY: Sharp Clinical Services, Inc., please explain why and provide substances. In response, registered bulk has applied to be registered as an alternative definitions. manufacturers of the affected basic importer of basic class(es) of controlled Authority: This proceeding is being class(es), and applicants therefor, may substance(s). Refer to Supplemental conducted under authority of title VII of the file written comments on or objections Information listed below for further Tariff Act of 1930; this notice is published of the requested registration, as drug information. pursuant to § 207.61 of the Commission’s provided in this notice. This notice does DATES: Registered bulk manufacturers of rules. not constitute any evaluation or the affected basic class(es), and By order of the Commission. determination of the merits of the applicants therefore, may file written Issued: March 23, 2021. application submitted. comments on or objections to the issuance of the proposed registration on Lisa Barton, The applicant plans to manufacture or before May 3, 2021. Such persons Secretary to the Commission. bulk active pharmaceutical ingredients (API) for product development and may also file a written request for a [FR Doc. 2021–06356 Filed 3–31–21; 8:45 am] distribution to DEA registered hearing on the application on or before BILLING CODE 7020–02–P researchers. If the application for May 3, 2021. registration is granted, the registrant ADDRESSES: Written comments should would not be authorized to conduct be sent to: Drug Enforcement DEPARTMENT OF JUSTICE other activity under this registration Administration, Attention: DEA Federal Register Representative/DPW, 8701 Drug Enforcement Administration aside from those coincident activities specifically authorized by DEA Morrissette Drive, Springfield, Virginia [Docket No. DEA–815] regulations. DEA will evaluate the 22152. All requests for a hearing must application for registration as a bulk be sent to: Drug Enforcement Bulk Manufacturer of Controlled manufacturer for compliance with all Administration, Attn: Administrator, Substances Application: Bulk applicable laws, treaties, and 8701 Morrissette Drive, Springfield, Manufacturer of Marihuana: ThinkPur, regulations and to ensure adequate Virginia 22152. All requests for a LLC safeguards against diversion are in hearing should also be sent to: (1) Drug AGENCY: Drug Enforcement place. Enforcement Administration, Attn: Administration, Justice. As this applicant has applied to Hearing Clerk/OALJ, 8701 Morrissette Drive, Springfield, Virginia 22152; and ACTION: Notice of application. become registered as a bulk manufacturer of marihuana, the (2) Drug Enforcement Administration, SUMMARY: The Drug Enforcement application will be evaluated under the Attn: DEA Federal Register Administration (DEA) is providing criteria of 21 U.S.C. 823(a). DEA will Representative/DPW, 8701 Morrissette notice of an application it has received conduct this evaluation in the manner Drive, Springfield, Virginia 22152. from an entity applying to be registered described in the rule published at 85 FR SUPPLEMENTARY INFORMATION: In to manufacture in bulk basic class(es) of 82333 on December 18, 2020, and accordance with 21 CFR 1301.34(a), this controlled substances listed in schedule reflected in DEA regulations at 21 CFR is notice that on February 15, 2021, I. DEA intends to evaluate this and other part 1318. Sharp Clinical Services, Inc., 2400 VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00095 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17207 Baglyos Circle, Bethlehem, week ‘‘off’’ period and making the DC 20210, telephone number (202) 693– Pennsylvania 18020–8024, applied to be application of the TUR trigger 2991 (this is not a toll-free number) or registered as an importer of the retroactive to March 18, 2020. As such, by email: [email protected]. following basic class(es) of controlled the state will trigger back ‘‘on’’ a high Signed in Washington, DC. substance(s): unemployment period with an effective Suzan G. LeVine, date of June 7, 2020. Controlled • Principal Deputy Assistant Secretary for Drug code Schedule Based on the data submitted by Employment and Training. substance Hawaii for the week ending February 28, 2021, Hawaii’s 13-week insured [FR Doc. 2021–06712 Filed 3–31–21; 8:45 am] Gamma Hydroxy- BILLING CODE 4510–FW–P butyric Acid ...... 2010 I unemployment rate (IUR) was 4.89 3,4-Methylenedioxy percent, falling below the 5.0 percent methamphet- IUR threshold necessary to remain ‘‘on’’ amine ...... 7405 I EB. Therefore, the EB period for Hawaii NATIONAL SCIENCE FOUNDATION ended on March 6, 2021. The state will Notice of Intent To Seek Approval To The company plans to import the remain in an ‘‘off’’ period for a Renew With Changes an Information listed controlled substances for clinical minimum of 13 weeks. Collection trials. No other activity for this drug • Based on the data submitted by code is authorized for this registration. Puerto Rico for the week ending AGENCY: National Science Foundation. Approval of permit applications will February 27, 2021, Puerto Rico’s 13- ACTION: Notice and request for occur only when the registrant’s week IUR was 4.96 percent, falling comments. business activity is consistent with what below the 5.0 percent IUR threshold is authorized under 21 U.S.C. 952(a)(2). necessary to remain ‘‘on’’ EB. Therefore, SUMMARY: The National Science Authorization will not extend to the the EB period for Puerto Rico ended on Foundation (NSF) is announcing plans import of Food and Drug March 20, 2021. The state will remain to request establishment and clearance Administration-approved or non- in an ‘‘off’’ period for a minimum of 13 of this collection. In accordance with approved finished dosage forms for weeks. the requirements of the Paperwork commercial sale. • Based on the data submitted by Reduction Act of 1995, we are providing Washington for the week ending opportunity for public comment on this William T. McDermott, February 20, 2021, Washington’s 13- action. After obtaining and considering Assistant Administrator. week IUR was 4.95 percent, falling public comment, NSF will prepare the [FR Doc. 2021–06687 Filed 3–31–21; 8:45 am] below the 5.0 percent IUR threshold submission requesting that OMB BILLING CODE P necessary to remain ‘‘on’’ EB. Therefore, approve clearance of this collection for the EB period for Washington ended on no longer than three years. March 13, 2021. The state will remain DATES: Written comments on this notice DEPARTMENT OF LABOR in an ‘‘off’’ period for a minimum of 13 must be received by June 1, 2021 to be weeks. assured of consideration. Comments Employment and Training The trigger notice covering state received after that date will be Administration eligibility for the EB program can be considered to the extent practicable. found at: http://ows.doleta.gov/ FOR FURTHER INFORMATION CONTACT: Notice of a Change in Status of the unemploy/claims_arch.as. Extended Benefit (EB) Program for Suzanne H. Plimpton, Reports Clearance California, Colorado, Hawaii, Puerto Information for Claimants Officer, National Science Foundation, Rico, and Washington 2415 Eisenhower Avenue, Room W The duration of benefits payable in 18000, Alexandria, Virginia 22314; or the EB program, and the terms and AGENCY: Employment and Training send email to [email protected]. Administration, Labor. conditions on which they are payable, Individuals who use a are governed by the Federal-State ACTION: Notice. telecommunications device for the deaf Extended Unemployment Compensation (TDD) may call the Federal Information This notice announces a changes in Act of 1970, as amended, and the Relay Service (FIRS) at 1–800–877– benefit period eligibility under the EB operating instructions issued to the 8339, which is accessible 24 hours a program that have occurred since the states by the U.S. Department of Labor. day, 7 days a week, 365 days a year publication of the last notice regarding In the case of a state beginning an EB (including federal holidays). the States’ EB status: period, the State Workforce Agency will Instructions: Please submit one copy • Colorado’s state law allows for the furnish a written notice of potential of your comments by only one method. temporary adoption of the optional total entitlement to each individual who has All submissions received must include unemployment rate (TUR) trigger during exhausted all rights to regular benefits the agency name and collection name periods of 100% Federal financing. and is potentially eligible for EB (20 identified above for this information Recent TUR data released by the Bureau CFR 615.13(c)(1)). collection. Commenters are strongly of Labor Statistics reflected Colorado’s Persons who believe they may be encouraged to transmit their comments TUR as meeting the conditions entitled to EB, or who wish to inquire electronically via email. Comments, necessary to be triggered ‘‘on’’ EB, about their rights under the program, including any personal information however the state was in a mandatory should contact their State Workforce provided become a matter of public 13-week ‘‘off’’ period beginning Agency. record. They will be summarized and/ November 28, 2020. That mandatory FOR FURTHER INFORMATION CONTACT: U.S. or included in the request for Office of ‘‘off’’ period was expired February 27, Department of Labor, Employment and Management and Budget approval of the 2021, and as such Colorado is triggered Training Administration, Office of information collection request. ‘‘on’’ to EB effective February 28, 2021. Unemployment Insurance Room SUPPLEMENTARY INFORMATION: • The State of California enacted S–4524, Attn: Thomas Stengle, 200 Comments: Comments are invited on legislation waiving the mandatory 13- Constitution Avenue NW, Washington, (a) whether the proposed collection of VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00096 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17208 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices information is necessary for the proper participants’ career choices by the REU Individuals who are participating in performance of the functions of the [principal investigators], was clearly awards that do not have a competitive Agency, including whether the insufficient to meet the [congressional] application process will only need to information shall have practical utility; mandate’’.i To respond to the America complete a profile with basic (b) the accuracy of the Agency’s COMPETES mandate, NSF demographic and contact information estimate of the burden of the proposed commissioned a data system for the and provide other information not collection of information; (c) ways to REU program. The current project is the captured in the profile but that is enhance the quality, utility, and clarity evolution of this early test that required for program monitoring and of the information on respondents, originated with the REU program to evaluation purposes, such as students’ including through the use of automated leverage the system and scale its pilot current enrollment or class standing (if collection techniques or other forms of test to include other NSF programs that applicable). information technology; (d) ways to similarly invest in human capital • Additional application minimize the burden of the collection of development. The new system—The requirements. Individuals wishing to information on those who are to Education and Training Application apply for awards that run competitive respond, including through the use of (ETAP)—supports NSF’s learning applications will be able to use the appropriate automated, electronic, agenda and is in alignment with the ETAP to apply to multiple NSF awards mechanical, or other technological Foundations for Evidence-Based through a fully operational electronic collection techniques or other forms of Policymaking Act of 2018 (Pub. L. 115– application. They will first complete the information technology. 435), which requires NSF to collect, use, common registration form (described Title of Collection: National Science or acquire data to support decision above), which collects basic Foundation’s Education and Training making. demographic and contact information Application Pilot. In addition to developing and needed for analysis and tracking OMB Number: 3145–0248. enhancing the system, the present study purposes. Next, they will proceed to the Expiration Date of Approval: will pilot test collecting data from a application form, through which they November 30, 2021. sample of Sites that volunteer to will submit additional information that Abstract participate. (A Site is an instance of an competitive Sites require as part of their NSF award offering an education and applications, such as resume, The National Science Foundation training opportunity at a given point in transcripts, and contact information for (NSF) seeks to develop and pilot test an time.) By participating in this study, their references. PIs and other electronic data collection system that principal investigators (PIs) from these authorized staff will use the system to supports applications to education and Sites will experience the data provide information needed by training opportunities funded by NSF collections firsthand and provide prospective applicants (such as the and allows tracking of participants’ feedback to help NSF improve the application deadline), retrieve applicant program experiences and career system before expanding its use. For information, record application outcomes over time. The pilot aims to example, PIs will have an opportunity decisions and participation status provide NSF with information to inform to determine whether the system among admitted applicants, and decisions in developing an effective and facilitates managing applications more produce reports of data submitted by low-burden approach to collect data efficiently than the usual process, applicants to their Sites. needed to monitor programs, report to comment on whether the system is user 2. Gathering program experiences and NSF leadership, and comply with friendly, assess the usefulness of data satisfaction. After participating in the congressional requirements. reports the system produces, and NSF program, participants will be The main goal of the current project suggest enhancements to the system. administered an exit survey to capture is to build upon a system originally Four key activities define the pilot: program experiences and participants’ developed for the NSF Research 1. Testing a web-based approach to attitudes and opinions. Experiences for Undergraduates (REU) obtain basic background and 3. Obtaining and integrating program. The work involves revising participation information while educational and employment and enhancing the system based on the supporting applications to individual information. Following a sample of lessons from the initial REU pilot and Sites. Specifically, PIs choose whether students who had used the predecessor conducting further testing to prepare it they will be running a competitive system (REU data system) to apply to for adoption for the REU program and application process for their Site (for the NSF award, this study will do the other education and training programs example, an REU Site award recruiting following: at NSF. The original REU data system participants nationally) or • Obtain information on educational was designed to collect data required by noncompetitive application (for outcomes from administrative data Congress in the America COMPETES example, an REU Supplement award (National Student Clearinghouse) that Reauthorization Act of 2010, which that invites its participants). Data NSF can purchase at low cost to the states that students in the REU program collected from applicants will therefore government and no burden to students. must ‘‘be tracked, for employment and depend on the type of application • Administer a short survey to obtain continued matriculation in STEM fields, process for their Sites of interest. The information on employment outcomes. through receipt of the undergraduate system will include the following: • Obtain information on research degree and for at least three years • Common registration form. All productivity outcomes (such as thereafter’’ (Section 514[a][6] of Pub. L. applicants will need to register to apply publications or patents) from Web of 111–358). A study conducted by the and participate in an NSF-funded Science, Scopus, and the United States Science and Technology Policy Institute opportunity participating in the pilot. Patent and Trademark Office. (NSF determined the need for NSF to create already subscribes to these new data collection because ‘‘the status i Zuckerman, B., J. Doyle, A. Mudd, T. Jones, and administrative databases, so they are quo of [REU] participants providing G. Davis. ‘‘Assessment of the Feasibility of Tracking accessible through NSF systems.) Participants from the National Science demographic information to NSF’s Foundation’s Research Experiences for 4. Conducting usability testing and Research Performance Report System, Undergraduates (REU) Sites Program.’’ Final report. gathering user feedback. This testing coupled with voluntary tracking of Washington, DC: STPI, 2016. will focus on new system enhancements VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00097 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17209 or functionality and seeks to obtain in- 7000. Meeting information and updates adams.html. To begin the search, select depth feedback from users on the may be found at http://www.nsf.gov/ ‘‘Begin Web-based ADAMS Search.’’ For common registration form, additional nsb/meetings/notices.jsp#sunshine. problems with ADAMS, please contact application requirements, and data Please refer to the National Science the NRC’s Public Document Room (PDR) reports available. Board website www.nsf.gov/nsb for reference staff at 1–800–397–4209, 301– Estimate of Burden: At present, most general information. 415–4737, or by email to pdr.resource@ education and training opportunities nrc.gov. The ADAMS accession number funded by NSF use applications that are Chris Blair, for each document referenced (if it is submitted directly to each Site, if such Executive Assistant to the National Science available in ADAMS) is provided the applications are required as is the case Board Office. first time that it is mentioned in this with the REU Sites program. Sites might [FR Doc. 2021–06787 Filed 3–30–21; 11:15 am] document. run competitive and noncompetitive BILLING CODE 7555–01–P • Attention: The PDR, where you may applications to select their program examine and order copies of public participants. We estimate that documents, is currently closed. You individuals applying for noncompetitive NUCLEAR REGULATORY may submit your request to the PDR via Sites will spend 3.25 hours submitting COMMISSION email at [email protected] or call 1– information through the ETAP system; 800–397–4209 or 301–415–4737, [NRC–2021–0059] for competitive Sites, this estimate is 7 between 8:00 a.m. and 4:00 p.m. (EST), hours. We estimate that individuals Monday through Friday, except Federal Environmental Assessments and holidays. writing letters of reference for students Findings of No Significant Impact of FOR FURTHER INFORMATION CONTACT: will spend 0.5 hours drafting a letter in Independent Spent Fuel Storage support of a student’s application to a Facilities Decommissioning Funding Christian Jacobs, Office of Nuclear Material Safety and Safeguards, U.S. competitive Site. We estimate that PIs Plans (or their designated users) will spend Nuclear Regulatory Commission, 4.7 hours using the system to track and AGENCY: Nuclear Regulatory Washington, DC 20555–0001; telephone: manage applications to their Site. Commission. 301–415–6825, email: Christian.Jacobs@ Respondents: Individuals. ACTION: Environmental assessment and nrc.gov. Estimated Number of Respondents: finding of no significant impact; SUPPLEMENTARY INFORMATION: 66,499. issuance. Estimated Total Annual Burden on I. Introduction Respondents: 146,710 hours. SUMMARY: The U.S. Nuclear Regulatory The NRC is considering the approval Frequency of Responses: Three Commission (NRC) is publishing this of the initial and updated DFPs rounds of data collection. notice regarding the issuance of a Final submitted by ISFSI licensees. The NRC Dated: March 26, 2021. Environmental Assessment (EA) and a staff has prepared a Final EA and FONSI determination for each of the initial and Suzanne H. Plimpton, Finding of No Significant Impact (FONSI) for its review and approval of updated ISFSI DFPs in accordance with Reports Clearance Officer, National Science the NRC regulations in Part 51 of title Foundation. the initial and updated decommissioning funding plans (DFPs) 10 of the Code of Federal Regulations [FR Doc. 2021–06664 Filed 3–31–21; 8:45 am] submitted by independent spent fuel (10 CFR), ‘‘Environmental Protection BILLING CODE 7555–01–P storage installation (ISFSI) licensees for Regulations for Domestic Licensing and the ISFSIs listed in the ‘‘Discussion’’ Related Regulatory Functions,’’ which section of this document. implement the National Environmental NATIONAL SCIENCE FOUNDATION Policy Act of 1969, as amended (42 DATES: The EA and FONSI referenced in Sunshine Act Meeting U.S.C. 4321 et seq.). this document are available on April 1, The NRC requires its licensees to plan 2021. The National Science Board’s ad hoc for the eventual decommissioning of Committee on Nominating the NSB Class of ADDRESSES: Please refer to Docket ID their licensed facilities prior to license 2022–2028, hereby gives notice of the NRC–2021–0059 when contacting the termination. On June 17, 2011, the NRC scheduling of a teleconference for the NRC about the availability of published a final rule in the Federal transaction of National Science Board information regarding this document. Register amending its decommissioning business, as follows: You may obtain publicly available planning regulations (76 FR 35512). The TIME AND DATE: Monday, April 5, 2021, information related to this document final rule amended the NRC regulation, from 3:30–5:00 p.m. EDT. using any of the following methods: 10 CFR 72.30, which concerns financial • Federal Rulemaking website: Go to PLACE: assurance and decommissioning for This meeting will be held by https://www.regulations.gov and search teleconference through the National ISFSIs. This regulation requires each for Docket ID NRC–2021–0059. Address holder of, or applicant for, a license Science Foundation, 2415 Eisenhower questions about Docket IDs in Avenue, Alexandria, VA 22314. under 10 CFR part 72 to submit a DFP Regulations.gov to Stacy Schumann; for the NRC’s review and approval. The STATUS: Closed. telephone: 301–415–0624; email: DFP is to demonstrate the licensee’s MATTERS TO BE CONSIDERED: The agenda [email protected]. For technical financial assurance, i.e., that funds will of the teleconference is: Chair’s questions, contact the individual listed be available to decommission the ISFSI. welcome and remarks; presentation of in the FOR FURTHER INFORMATION The NRC staff will later publish its the Committee charge; discussion of CONTACT section of this document. financial analyses of the DFP submittals timeline; discussion and approval of • NRC’s Agencywide Documents which will be available for public NSB C/O 2022–2028 nominee attributes; Access and Management System inspection in ADAMS. questions; and action item review. (ADAMS): You may obtain publicly CONTACT PERSON FOR MORE INFORMATION: available documents online in the II. Discussion Point of contact for this meeting is: ADAMS Public Documents collection at The following table includes the plant Chris Blair, [email protected], 703/292– https://www.nrc.gov/reading-rm/ name, docket number, licensee, and VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00098 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17210 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices ADAMS Accession Number for the submittals. For further details with Docket ID NRC–2021–0059. For Final EA and FONSI determination for respect to these actions, see the NRC additional direction on accessing each of the individual ISFSIs. The table staff’s Final EA and FONSI information related to this document, also includes the ADAMS Accession determinations which are available for see the ADDRESSES section of this Numbers for other relevant documents, public inspection in ADAMS and at document. including the initial and updated DFP https://www.regulations.gov under FINDING OF NO SIGNIFICANT IMPACT Facility ...... Monticello Nuclear Generating Plant. Docket No. 72–58. Licensee ...... Northern States Power Company, a Minnesota corporation, doing business as Xcel Energy (Xcel). Proposed Action ...... The NRC’s review and approval of Xcel’s initial and updated DFPs submitted in accordance with 10 CFR 72.30(b) and (c). Environmental Impact of Proposed The NRC staff has determined that the proposed action, the review and approval of Xcel’s initial and up- Action. dated DFPs, submitted in accordance with 10 CFR 72.30(b) and (c), will not authorize changes to li- censed operations or maintenance activities, or result in changes in the types, characteristics, or quan- tities of radiological or non-radiological effluents released into the environment from the ISFSI, or result in the creation of solid waste. Moreover, the approval of the initial and updated DFPs will not authorize any construction activity, facility modification, or other land-disturbing activity. The NRC staff has con- cluded that the proposed action is a procedural and administrative action that will not have a significant impact on the environment. Finding of No Significant Impact ..... The proposed action does not require changes to the ISFSI’s licensed routine operations, maintenance ac- tivities, or monitoring programs, nor does it require new construction or land-disturbing activities. The scope of the proposed action concerns only the NRC’s review and approval of Xcel’s initial and updated DFPs. The scope of the proposed action does not include, and will not result in, the review and approval of decontamination or decommissioning activities or license termination for the ISFSI or for other parts of Monticello Nuclear Generating Plant. Therefore, the NRC staff determined that approval of the initial and updated DFPs for the Monticello Nuclear Generating Plant ISFSI will not significantly affect the quality of the human environment, and accordingly, the staff has concluded that a FONSI is appropriate. The NRC staff further finds that preparation of an environmental impact statement (EIS) is not required. Available Documents ...... Xcel Energy, 2012. ISFSI Decommissioning Planning, dated December 14, 2012. ADAMS Accession No. ML12353A292. Xcel Energy, 2015. ISFSI DFPs, dated December 11, 2015. ADAMS Accession No. ML15348A143. U.S. Nuclear Regulatory Commission. EA for Final Rule-Decommissioning Planning, dated February 1, 2009. ADAMS Accession No. ML090500648. U.S. Nuclear Regulatory Commission. Note to File, Re: ESA Section 7 No Effect Determination for ISFSI DFP Reviews, dated May 15, 2017. ADAMS Accession No. ML17135A062. U.S. Nuclear Regulatory Commission. Review of the Draft EA and FONSI for the Monticello Nuclear Gen- erating Plant ISFSI DFP, dated September 26, 2016. ADAMS Accession No. ML16270A075. U.S. Nuclear Regulatory Commission. Final EA and FONSI for the Northern States Power Company’s Ini- tial and Updated DFPs Submitted in Accordance with 10 CFR 72.30(b) and (c) for Monticello Nuclear Generating Plant ISFSI, dated March 25, 2021. ADAMS Accession Package No. ML21055A733. Facility ...... Prairie Island Nuclear Generating Plant, Units 1 and 2. Docket No. 72–10. Licensee ...... Northern States Power Company, a Minnesota corporation, doing business as Xcel Energy (Xcel). Proposed Action ...... The NRC’s review and approval of Xcel’s initial and updated DFPs submitted in accordance with 10 CFR 72.30(b) and (c). Environmental Impact of Proposed The NRC staff has determined that the proposed action, the review and approval of Xcel’s initial and up- Action. dated DFPs, submitted in accordance with 10 CFR 72.30(b) and (c), will not authorize changes to li- censed operations or maintenance activities, or result in changes in the types, characteristics, or quan- tities of radiological or non-radiological effluents released into the environment from the ISFSI, or result in the creation of solid waste. Moreover, the approval of the initial and updated DFPs will not authorize any construction activity, facility modification, or other land-disturbing activity. The NRC staff has con- cluded that the proposed action is a procedural and administrative action that will not have a significant impact on the environment. Finding of No Significant Impact ..... The proposed action does not require changes to the ISFSI’s licensed routine operations, maintenance ac- tivities, or monitoring programs, nor does it require new construction or land-disturbing activities. The scope of the proposed action concerns only the NRC’s review and approval of Xcel’s initial and updated DFPs. The scope of the proposed action does not include, and will not result in, the review and approval of decontamination or decommissioning activities or license termination for the ISFSI or for other parts of Prairie Island Nuclear Generating Plant, Units 1 and 2. Therefore, the NRC staff determined that ap- proval of the initial and updated DFPs for the Prairie Island Nuclear Generating Plant, Units 1 and 2, ISFSI will not significantly affect the quality of the human environment, and accordingly, the staff has concluded that a FONSI is appropriate. The NRC staff further finds that preparation of an environmental impact statement (EIS) is not required. Available Documents ...... Xcel, 2012. Responses to Request for Supplemental Information—Prairie Island ISFSI License Renewal Application (TAC No. L24592), dated February 29, 2012. ADAMS Accession No. ML12065A073. Xcel Energy, 2015. ISFSI DFPs, dated December 11, 2015. ADAMS Accession No. ML15348A143. U.S. Nuclear Regulatory Commission. EA for Final Rule-Decommissioning Planning, dated February 1, 2009. ADAMS Accession No. ML090500648. U.S. Nuclear Regulatory Commission. Note to File, Re: ESA Section 7 No Effect Determination for ISFSI DFP Reviews, dated May 15, 2017. ADAMS Accession No. ML17135A062. U.S. Nuclear Regulatory Commission. Review of the Draft EA and FONSI for the Prairie Island Nuclear Generating Plant ISFSI DFP, dated August 17, 2017. ADAMS Accession No. ML17226A177. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00099 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17211 FINDING OF NO SIGNIFICANT IMPACT—Continued Minnesota Department of Health, 2017. Review of the Draft EA and FONSI for the Prairie Island Nuclear Generating Plant ISFSI DFP, dated September 14, 2017. ADAMS Accession No. ML17278A157. U.S. Nuclear Regulatory Commission. Final EA and FONSI for Northern States Power Company’s Initial and Updated DFPs Submitted in Accordance with 10 CFR 72.30(b) and (c) for Prairie Island Nuclear Generating Plant, Units 1 and 2, ISFSI, dated March 25, 2021. ADAMS Accession Package No. ML21055A596. Facility ...... La Crosse Boiling Water Reactor. Docket No. 72–46. Licensee ...... Dairyland Power Cooperative (DPC). Proposed Action ...... The NRC’s review and approval of DPC’s initial and updated DFPs submitted in accordance with 10 CFR 72.30(b) and (c). Environmental Impact of Proposed The NRC staff has determined that the proposed action, the review and approval of DPC’s initial and up- Action. dated DFPs, submitted in accordance with 10 CFR 72.30(b) and (c), will not authorize changes to li- censed operations or maintenance activities, or result in changes in the types, characteristics, or quan- tities of radiological or non-radiological effluents released into the environment from the ISFSI, or result in the creation of solid waste. Moreover, the approval of the initial and updated DFPs will not authorize any construction activity, facility modification, or other land-disturbing activity. The NRC staff has con- cluded that the proposed action is a procedural and administrative action that will not have a significant impact on the environment. Finding of No Significant Impact ..... The proposed action does not require changes to the ISFSI’s licensed routine operations, maintenance ac- tivities, or monitoring programs, nor does it require new construction or land-disturbing activities. The scope of the proposed action concerns only the NRC’s review and approval of DPC’s initial and updated DFPs. The scope of the proposed action does not include, and will not result in, the review and approval of decontamination or decommissioning activities or license termination for the ISFSI or for other parts of La Crosse Boiling Water Reactor. Therefore, the NRC staff determined that approval of the initial and updated DFPs for the La Crosse Boiling Water Reactor ISFSI will not significantly affect the quality of the human environment, and accordingly, the staff has concluded that a FONSI is appropriate. The NRC staff further finds that preparation of an environmental impact statement (EIS) is not required. Available Documents ...... DPC, 2013. La Crosse Boiling Water Reactor DFP for ISFSI, dated March 12, 2013. ADAMS Accession No. ML13100A127. DPC, 2016. La Crosse Boiling Water Reactor Funding Plan for ISFSI, dated March 14, 2016. ADAMS Ac- cession No. ML16102A101. DPC, 2018. Response to Request for Additional Information by the Spent Fuel Licensing Branch, Division of Spent Fuel Management, Office of Nuclear Material Safety and Safeguards 2016 DFP for La Crosse Boiling Water Reactor, dated March 21, 2018. ADAMS Accession No. ML18102A531. U.S. Nuclear Regulatory Commission. EA for Final Rule-Decommissioning Planning, dated February 1, 2009. ADAMS Accession No. ML090500648. U.S. Nuclear Regulatory Commission. Note to File, Re: ESA Section 7 No Effect Determination for ISFSI DFP Reviews, dated May 15, 2017. ADAMS Accession No. ML17135A062. U.S. Nuclear Regulatory Commission. Review of the Draft EA and FONSI for the La Crosse Boiling Water Reactor ISFSI DFP, dated September 26, 2016. ADAMS Accession No. ML16271A057. U.S. Nuclear Regulatory Commission. Request for Additional Information Regarding Dairyland Power Co- operative’s DFP Update for La Crosse Boiling Water Reactor ISFSI, dated March 8, 2018. ADAMS Package Accession No. ML18067A084. U.S. Nuclear Regulatory Commission. Final EA and FONSI for Dairyland Power Cooperative’s Initial and Updated DFPs Submitted in Accordance with 10 CFR 72.30(b) and (c) for La Crosse Boiling Water Re- actor ISFSI, dated March 25, 2021. ADAMS Accession Package No. ML21056A369. Dated: March 29, 2021. hearing, and petition for leave to order imposes procedures to obtain For the Nuclear Regulatory Commission. intervene; order. access to SUNSI for contention John B. McKirgan, preparation. The proposed amendment SUMMARY: Chief, Storage and Transportation Licensing The U.S. Nuclear Regulatory was previously noticed on January 26, Branch, Division of Fuel Management, Office Commission (NRC) is considering 2021 (86 FR 7115), and is being re- of Nuclear Material Safety and Safeguards. issuance of an amendment to Renewed noticed to include the instructions for [FR Doc. 2021–06749 Filed 3–31–21; 8:45 am] Facility Operating License No. NPF–49, requesting access to SUNSI. BILLING CODE 7590–01–P issued to Dominion Energy Nuclear Connecticut, Inc., for operation of the DATES: Submit comments by May 3, Millstone Power Station, Unit 3 (MPS3). 2021. A request for a hearing or NUCLEAR REGULATORY The proposed amendment would revise petitions for leave to intervene must be COMMISSION the renewed facility operating license filed by June 1, 2021. Any potential and technical specifications (TSs) to party as defined in section 2.4 of title 10 [Docket No. 50–423; NRC–2021–0085] support a measurement uncertainty of the Code of Federal Regulations (10 recapture power uprate from 3,650 CFR) who believes access to SUNSI is Dominion Energy Nuclear Connecticut, megawatts thermal (MWt) to 3,709 MWt. necessary to respond to this notice must Inc.; Millstone Power Station, Unit 3 For this amendment request, the NRC request document access by April 12, proposes to determine that it involves 2021. AGENCY: Nuclear Regulatory no significant hazards consideration. Commission. Because this amendment request ADDRESSES: You may submit comments ACTION: License amendment application; contains sensitive unclassified non- by any of the following methods; opportunity to comment, request a safeguards information (SUNSI), an however, the NRC encourages electronic VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00100 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17212 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices comment submission through the Monday through Friday, except Federal amendment would not (1) involve a Federal Rulemaking Website: holidays. significant increase in the probability or • Federal Rulemaking Website: Go to consequences of an accident previously B. Submitting Comments https://www.regulations.gov and search evaluated; or (2) create the possibility of for Docket ID NRC–2021–0085. Address The NRC encourages electronic a new or different kind of accident from questions about Docket IDs in comment submission through the any accident previously evaluated; or Regulations.gov to Stacy Schumann; Federal Rulemaking Website (https:// (3) involve a significant reduction in a telephone: 301–415–0624; email: www.regulations.gov). Please include margin of safety. As required by 10 CFR [email protected]. For technical Docket ID NRC–2021–0085 in your 50.91(a), the licensee has provided its questions, contact the individual listed comment submission. analysis of the issue of no significant in the FOR FURTHER INFORMATION The NRC cautions you not to include hazards consideration, which is CONTACT section of this document. identifying or contact information that presented below: • Mail comments to: Office of you do not want to be publicly disclosed in your comment submission. 1. Does the proposed change involve a Administration, Mail Stop: TWFN–7– significant increase in the probability or A60M, U.S. Nuclear Regulatory The NRC will post all comment consequences of an accident previously Commission, Washington, DC 20555– submissions at https:// evaluated? 0001, ATTN: Program Management, www.regulations.gov as well as enter the Response: No. Announcements and Editing Staff. comment submissions into ADAMS. The proposed change will increase the For additional direction on obtaining The NRC does not routinely edit maximum MPS3 RTP from 3650 MWt to information and submitting comments, comment submissions to remove 3709 MWt. Nuclear Steam Supply System see ‘‘Obtaining Information and identifying or contact information. (NSSS) and Balance of Plant (BOP) systems, Submitting Comments’’ in the If you are requesting or aggregating components, programs, and analyses that could be affected by the proposed change to SUPPLEMENTARY INFORMATION section of comments from other persons for submission to the NRC, then you should the RTP were evaluated using revised design this document. parameters. The evaluations determined that FOR FURTHER INFORMATION CONTACT: inform those persons not to include all structures, systems and components Richard Guzman, Office of Nuclear identifying or contact information that (SSCs) are capable of performing their design Reactor Regulation, U.S. Nuclear they do not want to be publicly function at the proposed uprated RTP of 3709 Regulatory Commission, Washington, disclosed in their comment submission. MWt. An evaluation of the accident analyses DC 20555–0001, telephone: 301–415– Your request should state that the NRC demonstrates that the applicable analysis 1030, email: [email protected]. does not routinely edit comment acceptance criteria are still met with the proposed changes. While power level is an SUPPLEMENTARY INFORMATION: submissions to remove such information before making the comment input assumption to equipment design and I. Obtaining Information and submissions available to the public or accident analyses, it is not a transient or Submitting Comments accident initiator. Accident initiators are not entering the comment into ADAMS. affected by the MUR Power Uprate, and plant A. Obtaining Information II. Introduction safety barrier challenges are not created by the proposed changes. Please refer to Docket ID NRC–2021– The NRC is considering issuance of an The proposed change does not involve any 0085 when contacting the NRC about amendment to Renewed Facility change to the design or functional the availability of information for this Operating License No. NPF–49, issued requirements of the safety and support action. You may obtain publicly to Dominion Energy Nuclear systems. That is, the increased power level available information related to this Connecticut, Inc., for operation of neither degrades the performance of, nor action by any of the following methods: MPS3, located in New London County, challenges the abilities of safety systems to • Federal Rulemaking Website: Go to Connecticut. meet limits assumed in the plant safety https://www.regulations.gov and search The proposed amendment would analysis. for Docket ID NRC–2021–0085. revise the renewed facility operating The radiological consequences of operation • NRC’s Agencywide Documents at the uprated power conditions have been license and TSs to support a assessed. The proposed change to RTP does Access and Management System measurement uncertainty recapture not affect release paths, frequency of release, (ADAMS): You may obtain publicly power uprate from 3,650 MWt to 3,709 or the analyzed source term for any accidents available documents online in the MWt. This is an increase of previously evaluated in the MPS3 Final ADAMS Public Documents collection at approximately 1.6 percent rated thermal Safety Analysis Report [(FSAR)]. SSCs https://www.nrc.gov/reading-rm/ power (RTP). The increase in thermal required to mitigate transients will remain adams.html. To begin the search, select power is based on the use of Cameron capable of performing their design functions ‘‘Begin Web-based ADAMS Search.’’ For Technology US LLC (currently known with the proposed changes. Analyses problems with ADAMS, please contact as Sensia, formerly known as Caldon) performed to assess the effects of mass and the NRC’s Public Document Room (PDR) energy releases remain valid. The source instrumentation to improve plant term used to assess radiological reference staff at 1–800–397–4209, 301– calorimetric heat balance measurement consequences was reviewed and determined 415–4737, or by email to pdr.resource@ accuracy. to bound operation at the proposed power nrc.gov. The ADAMS accession number Before any issuance of the proposed level. for each document referenced (if it is license amendment, the NRC will need Therefore, the proposed change does not available in ADAMS) is provided the to make the findings required by the involve a significant increase in the first time that it is mentioned in the Atomic Energy Act of 1954, as amended probability or consequences of an accident SUPPLEMENTARY INFORMATION section. (the Act), and NRC’s regulations. previously evaluated. • Attention: The PDR, where you may The NRC has made a proposed 2. Does the proposed change create the examine and order copies of public determination that the license possibility of a new or different kind of accident from any accident previously documents, is currently closed. You amendment request involves no evaluated? may submit your request to the PDR via significant hazards consideration. Under Response: No. email at [email protected] or call the NRC’s regulations in 10 CFR 50.92, No new accident scenarios, failure 1–800–397–4209 or 301–415–4737, this means that operation of the facility mechanisms, or single failures are introduced between 8:00 a.m. and 4:00 p.m. (EST), in accordance with the proposed as a result of the proposed changes. SSCs VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00101 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17213 required for transient mitigation will remain expiration of the 30-day notice period. in proving the contention at the hearing. capable of fulfilling their intended design However, if circumstances change The petitioner must also provide functions. The proposed changes have no during the notice period, such that references to the specific sources and significant adverse effect on any safety- failure to act in a timely way would documents on which the petitioner related SSCs and do not significantly change the performance or integrity of any safety- result, for example, in derating or intends to rely to support its position on related system. shutdown of the facility, the the issue. The petition must include The proposed changes do not adversely Commission may issue the license sufficient information to show that a affect any current system interfaces or create amendment before the expiration of the genuine dispute exists with the any new interfaces that could result in an 30-day notice period, provided that its applicant or licensee on a material issue accident or malfunction of a different kind final determination is that the of law or fact. Contentions must be than previously evaluated. Operating at RTP amendment involves no significant limited to matters within the scope of of 3709 MWt does not create any new hazards consideration. The final the proceeding. The contention must be accident initiators or precursors. Credible determination will consider all public one that, if proven, would entitle the malfunctions are bounded by the current accident analysis of record (AOR) or recent and State comments received. If the petitioner to relief. A petitioner who evaluations demonstrating that applicable Commission takes this action, it will fails to satisfy the requirements at 10 criteria are still met with the proposed publish in the Federal Register a notice CFR 2.309(f) with respect to at least one changes. of issuance. The Commission expects contention will not be permitted to Therefore, this change does not create the that the need to take this action will participate as a party. possibility of a new or different kind of occur very infrequently. Those permitted to intervene become accident from any accident previously parties to the proceeding, subject to any evaluated. III. Opportunity To Request a Hearing limitations in the order granting leave to 3. Does the proposed change involve a and Petition for Leave To Intervene intervene. Parties have the opportunity significant reduction in a margin of safety? Within 60 days after the date of to participate fully in the conduct of the Response: No. publication of this notice, any person The margins of safety associated with the hearing with respect to resolution of MUR Power Uprate are those pertaining to (petitioner) whose interest may be that party’s admitted contentions, core thermal power. These include fuel affected by any of these actions may file including the opportunity to present cladding, reactor coolant pressure boundary, a request for a hearing and petition for evidence, consistent with the NRC’s and containment barriers. Core analyses leave to intervene (petition) with respect regulations, policies, and procedures. demonstrate that MUR Power Uprate to that action. Petitions shall be filed in Petitions must be filed no later than implementation will not significantly impact accordance with the Commission’s 60 days from the date of publication of the current nuclear design basis. Impacts to ‘‘Agency Rules of Practice and this notice. Petitions and motions for components associated with the reactor Procedure’’ in 10 CFR part 2. Interested leave to file new or amended coolant boundary structural integrity, and factors such as pressure-temperature limits persons should consult a current copy contentions that are filed after the 3 of 10 CFR 2.309. The NRC’s regulations deadline will not be entertained absent (provided in MPS3 TS ⁄4.4.9), and pressurized thermal shock (PTS) described in are accessible electronically from the a determination by the presiding officer MPS3 FSAR Section 5.2.3.3.3 were NRC Library on the NRC’s website at that the filing demonstrates good cause determined to be bounded by the current https://www.nrc.gov/reading-rm/doc- by satisfying the three factors in 10 CFR AOR. The increase in neutron fluence above collections/cfr/. If a petition is filed, the 2.309(c)(1)(i) through (iii). The petition the current AOR is less than 2%. This Commission or a presiding officer will must be filed in accordance with the fluence is still less than the fluence assumed rule on the petition and, if appropriate, filing instructions in the ‘‘Electronic in the current Pressure-Temperature Limits a notice of a hearing will be issued. Submissions (E-Filing)’’ section of this and PTS analyses. As required by 10 CFR 2.309(d) the document. Systems will continue to operate within petition should specifically explain the If a hearing is requested, and the their design parameters and remain capable of performing their intended safety functions reasons why intervention should be Commission has not made a final following implementation of the proposed permitted with particular reference to determination on the issue of no change. The current MPS3 safety analyses, the following general requirements for significant hazards consideration, the including the design basis radiological standing: (1) The name, address, and Commission will make a final accident dose calculations, bound the effects telephone number of the petitioner; (2) determination on the issue of no of the proposed MUR Power Uprate. the nature of the petitioner’s right to be significant hazards consideration. The Therefore, this change does not involve a made a party to the proceeding; (3) the final determination will serve to significant reduction in a margin of safety. nature and extent of the petitioner’s establish when the hearing is held. If the The NRC staff has reviewed the property, financial, or other interest in final determination is that the licensee’s analysis and, based on this the proceeding; and (4) the possible amendment request involves no review, it appears that the three effect of any decision or order which significant hazards consideration, the standards of 10 CFR 50.92(c) are may be entered in the proceeding on the Commission may issue the amendment satisfied. Therefore, the NRC staff petitioner’s interest. and make it immediately effective, proposes to determine that the license In accordance with 10 CFR 2.309(f), notwithstanding the request for a amendment request involves no the petition must also set forth the hearing. Any hearing would take place significant hazards consideration. specific contentions that the petitioner after issuance of the amendment. If the The NRC is seeking public comments seeks to have litigated in the final determination is that the on this proposed determination that the proceeding. Each contention must amendment request involves a license amendment request involves no consist of a specific statement of the significant hazards consideration, then significant hazards consideration. Any issue of law or fact to be raised or any hearing held would take place comments received within 30 days after controverted. In addition, the petitioner before the issuance of the amendment the date of publication of this notice must provide a brief explanation of the unless the Commission finds an will be considered in making any final bases for the contention and a concise imminent danger to the health or safety determination. statement of the alleged facts or expert of the public, in which case it will issue Normally, the Commission will not opinion that support the contention and an appropriate order or rule under 10 issue the amendment until the on which the petitioner intends to rely CFR part 2. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00102 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17214 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices A State, local governmental body, found in the Guidance for Electronic documents are filed so that they can Federally recognized Indian Tribe, or Submissions to the NRC and on the NRC obtain access to the documents via the agency thereof, may submit a petition to website at https://www.nrc.gov/site- E-Filing system. the Commission to participate as a party help/e-submittals.html. Participants A person filing electronically using under 10 CFR 2.309(h)(1). The petition may not submit paper copies of their the NRC’s adjudicatory E-Filing system should state the nature and extent of the filings unless they seek an exemption in may seek assistance by contacting the petitioner’s interest in the proceeding. accordance with the procedures NRC’s Electronic Filing Help Desk The petition should be submitted to the described below. through the ‘‘Contact Us’’ link located Commission no later than 60 days from To comply with the procedural on the NRC’s public website at https:// the date of publication of this notice. requirements of E-Filing, at least 10 www.nrc.gov/site-help/e- The petition must be filed in accordance days prior to the filing deadline, the submittals.html, by email to with the filing instructions in the participant should contact the Office of [email protected], or by a toll- ‘‘Electronic Submissions (E-Filing)’’ the Secretary by email at free call to 1–866–672–7640. The NRC section of this document, and should [email protected], or by telephone Electronic Filing Help Desk is available meet the requirements for petitions set at 301–415–1677, to (1) request a digital between 9 a.m. and 6 p.m., Eastern forth in this section, except that under identification (ID) certificate, which Time, Monday through Friday, 10 CFR 2.309(h)(2) a State, local allows the participant (or its counsel or excluding government holidays. governmental body, or Federally representative) to digitally sign Participants who believe that they recognized Indian Tribe, or agency submissions and access the E-Filing have a good cause for not submitting thereof does not need to address the system for any proceeding in which it documents electronically must file an standing requirements in 10 CFR is participating; and (2) advise the exemption request, in accordance with 2.309(d) if the facility is located within Secretary that the participant will be 10 CFR 2.302(g), with their initial paper its boundaries. Alternatively, a State, submitting a petition or other filing stating why there is good cause for local governmental body, Federally adjudicatory document (even in not filing electronically and requesting recognized Indian Tribe, or agency instances in which the participant, or its authorization to continue to submit thereof may participate as a non-party counsel or representative, already holds documents in paper format. Such filings under 10 CFR 2.315(c). an NRC issued digital ID certificate). must be submitted by: (1) First class If a petition is submitted, any person Based upon this information, the mail addressed to the Office of the who is not a party to the proceeding and Secretary will establish an electronic Secretary of the Commission, U.S. is not affiliated with or represented by docket for the hearing in this proceeding Nuclear Regulatory Commission, a party may, at the discretion of the if the Secretary has not already Washington, DC 20555–0001, Attention: presiding officer, be permitted to make established an electronic docket. Rulemaking and Adjudications Staff; or a limited appearance pursuant to the Information about applying for a (2) courier, express mail, or expedited provisions of 10 CFR 2.315(a). A person digital ID certificate is available on the delivery service to the Office of the making a limited appearance may make NRC’s public website at https:// Secretary, 11555 Rockville Pike, an oral or written statement of his or her www.nrc.gov/site-help/e-submittals/ Rockville, Maryland 20852, Attention: position on the issues but may not getting-started.html. Once a participant Rulemaking and Adjudications Staff. otherwise participate in the proceeding. has obtained a digital ID certificate and Participants filing adjudicatory A limited appearance may be made at a docket has been created, the documents in this manner are any session of the hearing or at any participant can then submit responsible for serving the document on prehearing conference, subject to the adjudicatory documents. Submissions all other participants. Filing is limits and conditions as may be must be in Portable Document Format considered complete by first-class mail imposed by the presiding officer. Details (PDF). Additional guidance on PDF as of the time of deposit in the mail, or regarding the opportunity to make a submissions is available on the NRC’s by courier, express mail, or expedited limited appearance will be provided by public website at https://www.nrc.gov/ delivery service upon depositing the the presiding officer if such sessions are site-help/electronic-sub-ref-mat.html. A document with the provider of the scheduled. filing is considered complete at the time service. A presiding officer, having the document is submitted through the granted an exemption request from IV. Electronic Submissions (E-Filing) NRC’s E-Filing system. To be timely, an using E-Filing, may require a participant All documents filed in NRC electronic filing must be submitted to or party to use E-Filing if the presiding adjudicatory proceedings, including a the E-Filing system no later than 11:59 officer subsequently determines that the request for hearing and petition for p.m. Eastern Time on the due date. reason for granting the exemption from leave to intervene (petition), any motion Upon receipt of a transmission, the E- use of E-Filing no longer exists. or other document filed in the Filing system time stamps the document Documents submitted in adjudicatory proceeding prior to the submission of a and sends the submitter an email notice proceedings will appear in the NRC’s request for hearing or petition to confirming receipt of the document. The electronic hearing docket which is intervene, and documents filed by E-Filing system also distributes an email available to the public at https:// interested governmental entities that notice that provides access to the adams.nrc.gov/ehd, unless excluded request to participate under 10 CFR document to the NRC’s Office of the pursuant to an order of the Commission 2.315(c), must be filed in accordance General Counsel and any others who or the presiding officer. If you do not with the NRC’s E-Filing rule (72 FR have advised the Office of the Secretary have an NRC issued digital ID certificate 49139; August 28, 2007, as amended at that they wish to participate in the as described above, click ‘‘cancel’’ when 77 FR 46562; August 3, 2012). The E- proceeding, so that the filer need not the link requests certificates and you Filing process requires participants to serve the document on those will be automatically directed to the submit and serve all adjudicatory participants separately. Therefore, NRC’s electronic hearing dockets where documents over the internet, or in some applicants and other participants (or you will be able to access any publicly cases to mail copies on electronic their counsel or representative) must available documents in a particular storage media. Detailed guidance on apply for and receive a digital ID hearing docket. Participants are making electronic submissions may be certificate before adjudicatory requested not to include personal VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00103 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17215 privacy information, such as social of the Secretary and the Office of the later than 25 days after receipt of (or security numbers, home addresses, or General Counsel are Hearing.Docket@ access to) that information. However, if personal phone numbers in their filings, nrc.gov and more than 25 days remain between the unless an NRC regulation or other law [email protected], petitioner’s receipt of (or access to) the requires submission of such respectively.1 The request must include information and the deadline for filing information. For example, in some the following information: all other contentions (as established in instances, individuals provide home (1) A description of the licensing the notice of hearing or opportunity for addresses in order to demonstrate action with a citation to this Federal hearing), the petitioner may file its proximity to a facility or site. With Register notice; SUNSI contentions by that later respect to copyrighted works, except for (2) The name and address of the deadline. limited excerpts that serve the purpose potential party and a description of the G. Review of Denials of Access. of the adjudicatory filings and would potential party’s particularized interest (1) If the request for access to SUNSI constitute a Fair Use application, that could be harmed by the action is denied by the NRC staff after a participants are requested not to include identified in C.(1); and determination on standing and requisite copyrighted materials in their (3) The identity of the individual or need, the NRC staff shall immediately submission. entity requesting access to SUNSI and notify the requestor in writing, briefly For further details with respect to this the requestor’s basis for the need for the stating the reason or reasons for the action, see the application for license information in order to meaningfully denial. amendment dated November 19, 2020 participate in this adjudicatory (2) The requestor may challenge the (ADAMS Accession No. ML20324A703). proceeding. In particular, the request NRC staff’s adverse determination by Attorney for licensee: William S. must explain why publicly available filing a challenge within 5 days of Blair, Senior Counsel, Dominion Energy, versions of the information requested receipt of that determination with: (a) Inc., 120 Tredegar Street, RS–2, would not be sufficient to provide the The presiding officer designated in this Richmond, VA 23219. basis and specificity for a proffered proceeding; (b) if no presiding officer NRC Branch Chief: James G. Danna. contention. has been appointed, the Chief Order Imposing Procedures for Access D. Based on an evaluation of the Administrative Judge, or if he or she is to Sensitive Unclassified Non- information submitted under paragraph unavailable, another administrative Safeguards Information for Contention C.(3) the NRC staff will determine judge, or an Administrative Law Judge Preparation within 10 days of receipt of the request with jurisdiction pursuant to 10 CFR whether: 2.318(a); or (c) if another officer has A. This Order contains instructions (1) There is a reasonable basis to regarding how potential parties to this been designated to rule on information believe the petitioner is likely to access issues, with that officer. proceeding may request access to establish standing to participate in this documents containing Sensitive (3) Further appeals of decisions under NRC proceeding; and this paragraph must be made pursuant Unclassified Non-Safeguards (2) The requestor has established a Information (SUNSI). to 10 CFR 2.311. legitimate need for access to SUNSI. H. Review of Grants of Access. A B. Within 10 days after publication of E. If the NRC staff determines that the party other than the requestor may this notice of hearing and opportunity to requestor satisfies both D.(1) and D.(2) challenge an NRC staff determination petition for leave to intervene, any above, the NRC staff will notify the granting access to SUNSI whose release potential party who believes access to requestor in writing that access to would harm that party’s interest SUNSI is necessary to respond to this SUNSI has been granted. The written independent of the proceeding. Such a notice may request access to SUNSI. A notification will contain instructions on challenge must be filed within 5 days of ‘‘potential party’’ is any person who how the requestor may obtain copies of the notification by the NRC staff of its intends to participate as a party by the requested documents, and any other grant of access and must be filed with: demonstrating standing and filing an conditions that may apply to access to (a) The presiding officer designated in admissible contention under 10 CFR those documents. These conditions may this proceeding; (b) if no presiding 2.309. Requests for access to SUNSI include, but are not limited to, the officer has been appointed, the Chief submitted later than 10 days after signing of a Non-Disclosure Agreement Administrative Judge, or if he or she is publication of this notice will not be or Affidavit, or Protective Order 2 setting unavailable, another administrative considered absent a showing of good forth terms and conditions to prevent judge, or an Administrative Law Judge cause for the late filing, addressing why the unauthorized or inadvertent with jurisdiction pursuant to 10 CFR the request could not have been filed disclosure of SUNSI by each individual 2.318(a); or (c) if another officer has earlier. who will be granted access to SUNSI. C. The requestor shall submit a letter F. Filing of Contentions. Any been designated to rule on information requesting permission to access SUNSI contentions in these proceedings that access issues, with that officer. If challenges to the NRC staff to the Office of the Secretary, U.S. are based upon the information received determinations are filed, these Nuclear Regulatory Commission, as a result of the request made for procedures give way to the normal Washington, DC 20555–0001, Attention: SUNSI must be filed by the requestor no Rulemakings and Adjudications Staff, process for litigating disputes and provide a copy to the Deputy 1 While a request for hearing or petition to concerning access to information. The General Counsel for Hearings and intervene in this proceeding must comply with the availability of interlocutory review by Administration, Office of the General filing requirements of the NRC’s ‘‘E-Filing Rule,’’ the Commission of orders ruling on the initial request to access SUNSI under these such NRC staff determinations (whether Counsel, U.S. Nuclear Regulatory procedures should be submitted as described in this Commission, Washington, DC 20555– paragraph. granting or denying access) is governed 3 0001. The expedited delivery or courier 2 Any motion for Protective Order or draft Non- by 10 CFR 2.311. mail address for both offices is: U.S. Disclosure Affidavit or Agreement for SUNSI must be filed with the presiding officer or the Chief 3 Requestors should note that the filing Nuclear Regulatory Commission, 11555 Administrative Judge if the presiding officer has not requirements of the NRC’s E-Filing Rule (72 FR Rockville Pike, Rockville, Maryland yet been designated, within 30 days of the deadline 49139; August 28, 2007, as amended at 77 FR 20852. The email address for the Office for the receipt of the written access request. Continued VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00104 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17216 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices I. The Commission expects that the contentions meeting the specificity and For the Nuclear Regulatory Commission. NRC staff and presiding officers (and basis requirements in 10 CFR part 2. Annette L. Vietti-Cook, any other reviewing officers) will The attachment to this Order Secretary of the Commission. consider and resolve requests for access summarizes the general target schedule to SUNSI, and motions for protective for processing and resolving requests ATTACHMENT 1—General Target orders, in a timely fashion in order to under these procedures. Schedule for Processing and Resolving minimize any unnecessary delays in Requests for Access to Sensitive identifying those petitioners who have It is so ordered. Unclassified Non-Safeguards standing and who have propounded Dated: March 26, 2021. Information in This Proceeding Day Event/activity 0 ...... Publication of Federal Register notice of hearing and opportunity to petition for leave to intervene, including order with instruc- tions for access requests. 10 ...... Deadline for submitting requests for access to Sensitive Unclassified Non-Safeguards Information (SUNSI) with information: Supporting the standing of a potential party identified by name and address; describing the need for the information in order for the potential party to participate meaningfully in an adjudicatory proceeding. 60 ...... Deadline for submitting petition for intervention containing: (i) Demonstration of standing; and (ii) all contentions whose formula- tion does not require access to SUNSI (+25 Answers to petition for intervention; +7 petitioner/requestor reply). 20 ...... U.S. Nuclear Regulatory Commission (NRC) staff informs the requestor of the staff’s determination whether the request for ac- cess provides a reasonable basis to believe standing can be established and shows need for SUNSI. (NRC staff also informs any party to the proceeding whose interest independent of the proceeding would be harmed by the release of the information.) If NRC staff makes the finding of need for SUNSI and likelihood of standing, NRC staff begins document processing (prepara- tion of redactions or review of redacted documents). 25 ...... If NRC staff finds no ‘‘need’’ or no likelihood of standing, the deadline for petitioner/requestor to file a motion seeking a ruling to reverse the NRC staff’s denial of access; NRC staff files copy of access determination with the presiding officer (or Chief Ad- ministrative Judge or other designated officer, as appropriate). If NRC staff finds ‘‘need’’ for SUNSI, the deadline for any party to the proceeding whose interest independent of the proceeding would be harmed by the release of the information to file a motion seeking a ruling to reverse the NRC staff’s grant of access. 30 ...... Deadline for NRC staff reply to motions to reverse NRC staff determination(s). 40 ...... (Receipt +30) If NRC staff finds standing and need for SUNSI, deadline for NRC staff to complete information processing and file motion for Protective Order and draft Non-Disclosure Affidavit. Deadline for applicant/licensee to file Non-Disclosure Agree- ment for SUNSI. A ...... If access granted: Issuance of presiding officer or other designated officer decision on motion for protective order for access to sensitive information (including schedule for providing access and submission of contentions) or decision reversing a final ad- verse determination by the NRC staff. A + 3 ...... Deadline for filing executed Non-Disclosure Affidavits. Access provided to SUNSI consistent with decision issuing the protective order. A + 28 ...... Deadline for submission of contentions whose development depends upon access to SUNSI. However, if more than 25 days re- main between the petitioner’s receipt of (or access to) the information and the deadline for filing all other contentions (as es- tablished in the notice of opportunity to request a hearing and petition for leave to intervene), the petitioner may file its SUNSI contentions by that later deadline. A + 53 ...... (Contention receipt +25) Answers to contentions whose development depends upon access to SUNSI. A + 60 ...... (Answer receipt +7) Petitioner/Intervenor reply to answers. >A + 60 ...... Decision on contention admission. [FR Doc. 2021–06686 Filed 3–31–21; 8:45 am] information. The information collection INFORMATION CONTACT section of this BILLING CODE 7590–01–P is entitled, ‘‘Financial Protection document. Requirements and Indemnity • Mail comments to: David Cullison, Agreements.’’ Office of the Chief Information Officer, NUCLEAR REGULATORY Mail Stop: T–6 A10M, U.S. Nuclear COMMISSION DATES: Submit comments by June 1, Regulatory Commission, Washington, 2021. Comments received after this date [NRC–2020–0235] DC 20555–0001. will be considered if it is practical to do For additional direction on obtaining Information Collection: Financial so, but the Commission is able to ensure information and submitting comments, Protection Requirements and consideration only for comments see ‘‘Obtaining Information and Indemnity Agreements received on or before this date. Submitting Comments’’ in the ADDRESSES: You may submit comments SUPPLEMENTARY INFORMATION section of AGENCY: Nuclear Regulatory by any of the following methods; this document. Commission. however, the NRC encourages electronic FOR FURTHER INFORMATION CONTACT: ACTION: Renewal of existing information comment submission through the David Cullison, Office of the Chief collection; request for comment. Federal Rulemaking Website: Information Officer, U.S. Nuclear Regulatory Commission, Washington, SUMMARY: The U.S. Nuclear Regulatory • Federal Rulemaking Website: Go to Commission (NRC) invites public https://www.regulations.gov/ and search DC 20555–0001; telephone: 301–415– comment on the renewal of Office of for Docket ID NRC–2020–0235. For 2084; email: Infocollects.Resource@ Management and Budget (OMB) technical questions, contact the nrc.gov. approval for an existing collection of individual listed in the FOR FURTHER SUPPLEMENTARY INFORMATION: 46562; August 3, 2012) apply to appeals of NRC on a presiding officer or the Commission, as applicable), but not to the initial SUNSI request staff determinations (because they must be served submitted to the NRC staff under these procedures. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00105 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17217 I. Obtaining Information and If you are requesting or aggregating Atomic Energy Act of 1954, as amended, Submitting Comments comments from other persons for and (b) the liability insurance required submission to the OMB, then you opinion. On the basis of the EA A. Obtaining Information should inform those persons not to included in Section II of this document Please refer to Docket ID NRC–2020– include identifying or contact and incorporated by reference into this 0235 when contacting the NRC about information that they do not want to be finding, the NRC concludes that the the availability of information for this publicly disclosed in their comment proposed action would not have action. You may obtain publicly submission. Your request should state significant effects on the quality of the available information related to this that comment submissions are not human environment. The NRC’s action by any of the following methods; routinely edited to remove such evaluation considered information however, the NRC encourages electronic information before making the comment provided in the licensee’s application as comment submission through the submissions available to the public or well as the NRC’s independent review Federal Rulemaking Website: entering the comment into ADAMS. of other relevant environmental • Federal Rulemaking Website: Go to documents. Based on its findings, the II. Background https://www.regulations.gov/ and search NRC has determined not to prepare an for Docket ID NRC–2020–0235. In accordance with the Paperwork • environmental impact statement for the NRC’s Agencywide Documents Reduction Act of 1995 (44 U.S.C. proposed action. Access and Management System Chapter 35), the NRC is requesting (ADAMS): You may obtain publicly public comment on its intention to III. Specific Requests for Comments available documents online in the request the OMB’s approval for the The NRC is seeking comments that ADAMS Public Documents collection at information collection summarized address the following questions: https://www.nrc.gov/reading-rm/ below. 1. Is the proposed collection of adams.html. To begin the search, select 1. The title of the information information necessary for the NRC to ‘‘Begin Web-based ADAMS Search.’’ For collection: Part 140 of title 10 of the properly perform its functions? Does the problems with ADAMS, please contact Code of Federal Regulations (10 CFR), information have practical utility? the NRC’s Public Document Room (PDR) ‘‘Financial Protection Requirements and 2. Is the estimate of the burden of the reference staff at 1–800–397–4209, 301– Indemnity Agreements.’’ information collection accurate? 415–4737, or by email to pdr.resource@ 2. OMB approval number: 3150–0039. 3. Is there a way to enhance the nrc.gov. The supporting statement and 3. Type of submission: Extension. quality, utility, and clarity of the burden spreadsheet are available in 4. The form number, if applicable: information to be collected? ADAMS under Accession Nos. Not applicable. 4. How can the burden of the ML21013A489 and ML21013A488. 5. How often the collection is required information collection on respondents • Attention: The PDR, where you may or requested: Annually, and on be minimized, including the use of examine and order copies of public occasion, as needed for applicants and automated collection techniques or documents, is currently closed. You licensees to meet their responsibilities other forms of information technology? may submit your request to the PDR via called for in Sections 170 and 193 of the Dated: March 29, 2021. email at [email protected] or call 1– Atomic Energy Act of 1954. For the Nuclear Regulatory Commission. 6. Who will be required or asked to 800–397–4209 or 301–415–4737, David C. Cullison, between 8:00 a.m. and 4:00 p.m. (EST), respond: Each applicant for or holder of a license issued under 10 CFR parts 50 NRC Clearance Officer, Office of the Chief Monday through Friday, except Federal Information Officer. holidays. or 54, to operate a nuclear reactor, or the • NRC’s Clearance Officer: A copy of applicant for or holder of a combined [FR Doc. 2021–06752 Filed 3–31–21; 8:45 am] the collection of information and related license issued under 10 CFR parts 52 or BILLING CODE 7590–01–P instructions may be obtained without 54, as well as licensees authorized to charge by contacting the NRC’s possess and use plutonium in a Clearance Officer, David Cullison, plutonium processing and fuel PENSION BENEFIT GUARANTY Office of the Chief Information Officer, fabrication plant. In addition, licensees CORPORATION authorized to construct and operate a U.S. Nuclear Regulatory Commission, Proposed Submission of Information uranium enrichment facility in Washington, DC 20555–0001; telephone: Collection for OMB Review; Comment accordance with 10 CFR parts 40 and 301–415–2084; email: Request; Survey of Nonparticipating 70. [email protected]. Single Premium Group Annuity Rates 7. The estimated number of annual B. Submitting Comments responses: 208. AGENCY: Pension Benefit Guaranty The NRC encourages electronic 8. The estimated number of annual Corporation. comment submission through the respondents: 104. ACTION: Notice of intent to request Federal Rulemaking website (https:// 9. The estimated number of hours extension of OMB approval of www.regulations.gov). Please include needed annually to comply with the information collection, with Docket ID NRC–2020–0235 in your information collection requirement or modifications. comment submission. request: The total reporting and The NRC cautions you not to include recordkeeping burden is 753 (727 hours SUMMARY: The Pension Benefit Guaranty identifying or contact information in reporting + 26 hours recordkeeping). Corporation (PBGC) intends to request comment submissions that you do not 10. Abstract: 10 CFR part 140 that the Office of Management and want to be publicly disclosed in your specifies the information to be Budget (OMB) extend approval, under comment submission. All comment submitted by licensees that enables the the Paperwork Reduction Act, of a submissions are posted at https:// NRC to assess (a) financial protection collection of information with www.regulations.gov/ and entered into required by licensees and for the modifications. The purpose of this ADAMS. Comment submissions are not indemnification and limitation of information collection is to survey routinely edited to remove identifying liability of certain licensees and other insurance company rates for pricing or contact information. persons pursuant to Section 170 of the annuity contracts to obtain information VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00106 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17218 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices needed to set actuarial assumptions. benefits under single-employer plans in needed for PBGC to compare pricing The American Council of Life Insurers involuntary or distress terminations (29 information amongst survey responses conducts this voluntary survey for CFR part 4044) and the value of benefits when respondents are unable to PBGC. This notice informs the public of and certain assets under multiemployer completely exclude administrative PBGC’s intent and solicits public plans that undergo a mass withdrawal of expenses from pricing information. comment on the collection of contributing employers (29 CFR part • Consolidation and simplification of information. 4281). In each month immediately former parts III and IV into a new part DATES: Comments should be submitted preceding the start of a new calendar III and elimination of questions asking by June 1, 2021. quarter, PBGC publishes the interest for information PBGC no longer uses. rates to be used under those regulations ADDRESSES: Comments may be These changes streamline and simplify for plans terminating or undergoing submitted by any of the following the response process. mass withdrawal during the next • methods: Modification of a question asking • Federal eRulemaking Portal: quarter. for the volume of respondents’ plan The interest rates are intended to https://www.regulations.gov. Follow the termination annuity business so that it reflect current conditions in the annuity website instructions for submitting requests annual data instead of quarterly markets. To determine these interest comments. data to reduce volatility in survey • Email: paperwork.comments@ rates, PBGC gathers premium rate data responses. pbgc.gov. Refer to Survey of Insurance from insurance companies that are • Addition of a question soliciting Company Rates or OMB control number providing annuity contracts to feedback on how PBGC could improve terminating pension plans through a 1212–0030 in the subject line. the survey process. • Mail or Hand Delivery: Regulatory quarterly survey. The American Council • Addition of flexibility to conduct Affairs Division, Office of the General of Life Insurers (ACLI) distributes the the survey electronically. Counsel, Pension Benefit Guaranty survey and provides PBGC with ‘‘blind’’ This voluntary survey is directed at Corporation, 1200 K Street NW, data (i.e., PBGC is unable to match insurance companies most, if not all, of Washington, DC 20005–4026. responses with the insurance companies which are members of ACLI. The survey All submissions received must that submitted them). PBGC also uses is conducted quarterly and include the agency’s name (Pension the information from the survey in approximately 20 insurance companies Benefit Guaranty Corporation, or PBGC) determining the interest rates it uses to will be asked to participate. PBGC and refer to the Survey of Insurance value benefits payable to participants estimates that about six insurance and beneficiaries in PBGC-trusteed Company Rates or OMB control number companies will respond to the survey plans for purposes of PBGC’s financial 1212–0030. All comments received will each quarter, and that each survey will be posted without change to PBGC’s statements. PBGC is proposing several changes to require approximately 30 minutes to website, https://www.pbgc.gov, the survey distributed by ACLI: complete and return. The total burden is including any personal information • Addition of a question asking for estimated to be 12 hours (30 minutes provided. specific information about the interest per survey four surveys per year six Copies of the collection of assumptions underlying the annuity respondents per quarter). information may be obtained by writing premium rates reported in parts I and II The existing collection of information to Disclosure Division, Office of the of the survey. This information is was approved under OMB control General Counsel, Pension Benefit needed to allow PBGC to better analyze number 1212–0030 (expires August 31, Guaranty Corporation, 1200 K Street annuity price data provided in the 2021). PBGC intends to request that NW, Washington, DC 20005–4026, or survey. OMB approve PBGC’s use of this form calling 202–326–4040 during normal • Increases to the dollar ranges in the for 3 years. An agency may not conduct business hours. TTY users may call the questions on respondents’ group or sponsor, and a person is not required Federal Relay Service toll-free at 800– annuity business in part III to allow the to respond to, a collection of 877–8339 and ask to be connected to survey to continue to capture the information unless it displays a 202–326–4040. variability and range of business currently valid OMB control number. FOR FURTHER INFORMATION CONTACT: accepted by respondents as the prices of PBGC is soliciting public comments to— • Hilary Duke ([email protected]), plan termination annuity contracts Evaluate whether the proposed Assistant General Counsel for increase with inflation. collection of information is necessary Regulatory Affairs, Office of the General • Changes to the instructions to for the proper performance of the Counsel, Pension Benefit Guaranty clarify that respondents should provide functions of the agency, including Corporation, 1200 K Street NW, pricing information only for full plan whether the information will have Washington, DC 20005–4026, 202–229– terminations (and transactions priced practical utility; 3839; or Gregory Katz (katz.gregory@ consistently with full plan • Evaluate the accuracy of the pbgc.gov), Attorney, Regulatory Affairs terminations), that the annuity rates agency’s estimate of the burden of the Division, Office of the General Counsel, provided should include reductions for proposed collection of information, Pension Benefit Guaranty Corporation, investment expenses but exclude including the validity of the 1200 K Street NW, Washington, DC administrative expenses and reductions methodologies and assumptions used; 20005–4026, 202–229–3829. TTY users for competitive bidding, and that • Enhance the quality, utility, and may call the Federal relay service toll- respondents should assume that plan clarity of the information to be free at 800–877–8339 and ask to be provisions are straightforward and do collected; and connected to 202–229–3839 or 202– not contain significant levels of anti- • Minimize the burden of the 229–3829. selection, expensive options, or collection of information on those who SUPPLEMENTARY INFORMATION: PBGC’s subsidies. are to respond, including through the regulations prescribe actuarial valuation • Addition of a confirmation that use of appropriate automated, methods and assumptions (including administrative expenses are excluded electronic, mechanical, or other interest rate assumptions) to be used to from pricing information and an option technological collection techniques or determine the actuarial present value of to comment on any exceptions. This is other forms of information technology, VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00107 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17219 e.g. permitting electronic submission of National Science Foundation, in 3. Enhance the quality, utility, and responses. collaboration with the Office of clarity of the information to be Issued in Washington DC by. Personnel Management and the collected; and Hilary Duke, Department of Homeland Security, in 4. Ways in which we can minimize accordance with the Cybersecurity Assistant General Counsel for Regulatory the burden of the collection of Enhancement Act of 2014 (Pub. L. 113– Affairs, Pension Benefit Guaranty information on those who are to 274) as amended by the National Corporation. respond, including through the use of Defense Authorization Act FY18 (15 [FR Doc. 2021–06729 Filed 3–31–21; 8:45 am] U.S.C. 7442). This initiative reflects the appropriate automated, electronic, BILLING CODE 7709–02–P critical need for Information Technology mechanical, or other technological (IT) professionals, industrial control collection techniques or other forms of system security professionals, and information technology, e.g., permitting OFFICE OF PERSONNEL security managers in government. electronic submissions of responses. MANAGEMENT Students identified by their institutions Analysis Comment Request for Review of for SFS Scholarships must meet Information Collection: CyberCorps®: selection criteria based on prior Agency: Office of Personnel Scholarship for Service Registration academic performance, likelihood of Management, Human Resources ® System; OMB No. 3206–0246 success in obtaining the degree, and Solutions, CyberCorps : Scholarship for suitability for government employment. Service Program. AGENCY: Office of Personnel Each scholarship recipient, as a Title: Scholarship for Service (SFS) Management. condition of receiving a scholarship Program internet Site. ACTION: 60–Day notice and request for under the program, enters into an comments from the general public and agreement under which the recipient OMB Number: 3206–0246. other Federal agencies on request for agrees to work during the summer Frequency: Annually. between academic terms and work for a extension, without change, of a Affected Public: Individuals or previously approved collection for period equal to the length of the Households. which approval will expire September scholarship, following receipt of the 19, 2021. student’s degree, in the cyber security Number of Respondents: 761. mission of: Estimated Time per Respondent: 1 SUMMARY: In accordance with the (1) An executive agency (as defined in hour. Paperwork Reduction Act of 1995, as the United States Code, Title 5, Section Total Burden Hours: 761 hours. amended by the Clinger-Cohen Act, this 105; notice announces the Office of (2) Congress, including any agency, Alexys Stanley, Personnel Management (OPM), Human entity, office, or commission established Resources Solutions (HRS) intends to Regulatory Affairs Analyst. in the legislative branch; [FR Doc. 2021–06201 Filed 3–31–21; 8:45 am] submit to the Office of Management and (3) an interstate agency; BILLING CODE 6325–43–P Budget (OMB) a request for review of a (4) a State, local, or Tribal previously approved Information government; or Collection Request (ICR), 3206–0246, (5) a State, local, or Tribal Scholarship for Service Registration, for government-affiliated non-profit that is which approval will expire September POSTAL SERVICE critical infrastructure (as defined in 19, 2021. section 1016(e) of the USA Patriot Act Change in Class of General DATES: Comments are encouraged and (42 U.S.C. 5195c(e)). Approval of the Applicability for Competitive Products should be received within 60 calendar CyberCorps®: Scholarship for Service days from the date of this publication. (SFS) Registration system is necessary to AGENCY: Postal ServiceTM. This process is conducted in accordance continue management and operation of with 5 CFR 1320.1. the program in accordance with the ACTION: Notice of a change in class of ADDRESSES: Interested persons are Cybersecurity Enhancement Act of 2014 general applicability for competitive invited to submit written comments on (Pub. L. 113–274) as amended by the products. the proposed information collection to: National Defense Authorization Act Office of Personnel Management, Mid- FY18 (15 U.S.C. 7442), and to facilitate SUMMARY: This notice sets forth changes Atlantic Services Branch, Attention: the timely registration, selection and in class of general applicability for Stephanie Travis, 200 Granby Street, placement of program-enrolled students Priority Mail Express. Suite 500, Norfolk, VA 23510–1886, or in government agencies. DATES: May 23, 2021. via electronic email to: [email protected]. The Office of Management and Budget FOR FURTHER INFORMATION CONTACT: A is particularly interested in comments FOR FURTHER INFORMATION CONTACT: copy of this ICR, with applicable that: Elizabeth Reed, 202–268–3179. supporting documentation, may be 1. Evaluate whether the proposed SUPPLEMENTARY INFORMATION: obtained by contacting: Office of collection of information is necessary On Personnel Management, Mid-Atlantic for the proper performance of the February 8, 2021, pursuant to their Services Branch, Attention: Stephanie functions of the agency, including authority under 39 U.S.C. 3632, the Travis, 200 Granby Street, Suite 500, whether the information will have Governors of the Postal Service Norfolk, VA 23510–1886, or via practical utility; established classification changes for a electronic email to: [email protected], or via 2. Evaluate the accuracy of the competitive product, namely, Priority telephone at: 202–606–1800. agency’s estimate of the burden of the Mail Express. The Governors’ Decision SUPPLEMENTARY INFORMATION: The proposed collection of information, and the record of proceedings in CyberCorps®: Scholarship for Service including the validity of the connection with such decision are (SFS) Program was established by the methodology and assumptions used; VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00108 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17220 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices reprinted below in accordance with ZIP Code pairs. All current 12:00 p.m., Order section 3632(b)(2). 3:00 p.m., and 5:00 p.m. delivery The classification changes set forth Joshua J. Hofer, commitments will be moved to 6:00 herein shall be effective on April 18, p.m. These changes are intended to Attorney, Ethics & Legal Compliance. 2021, or as deemed advisable by better align the product with operational management thereafter. We direct the Decision of the Governors of the United capabilities, reduce the need for Secretary to have this decision States Postal Service on Changes in extraordinary operational efforts and published in the Federal Register in Class of General Applicability for deviations, and maintain a competitive accordance with 39 U.S.C. 3632(b)(2), Competitive Product (Governors’ end-of-day offering in the shipping and direct management to file with the Decision No. 21–1) services market. These delivery time Postal Regulatory Commission February 8, 2021 changes will be accomplished via appropriate notice of these changes. updates to the Domestic Mail Manual By The Governors: Statement of Explanation and (DMM), which will be issued in Justification /s/ lllllllllllllllllll conjunction with this Governors’ Robert M. Duncan, Pursuant to authority under section Decision and associated Commission Chairman, Board of Governors. 3632 of title 39, as amended by the filing. UNITED STATES POSTAL SERVICE Postal Accountability and Enhancement In accordance with these changes, the Act of 2006 (‘‘PAEA’’), we establish OFFICE OF THE BOARD OF Postal Service will be eliminating the GOVERNORS changes in a class of general 10:30 a.m. delivery option and the applicability for the Postal Service’s associated fee from the Priority Mail CERTIFICATION OF GOVERNORS’ shipping services (competitive Express product in the MCS. All other VOTE ON GOVERNORS’ DECISION products), namely, Priority Mail aspects of the Priority Mail Express NO. 21–1 Express. The changes are reflected in Consistent with 39 U.S.C. 3632(a), I the attached draft Mail Classification product in the MCS will remain hereby certify that, on February 8, 2021, Schedule (MCS) sections, with unchanged. the Governors voted on adopting classification changes shown in We have reviewed management’s Governors’ Decision No. 21–1, and a legislative format. proposal and have evaluated the majority of the Governors then holding classification changes in accordance The Postal Service intends to make office voted in favor of that Decision. certain changes to the Priority Mail with 39 U.S.C. 3632–3633 and 39 CFR Express product to update the 3035. We approve the changes, finding /s/ lllllllllllllllllll guaranteed delivery times available to that they are appropriate, and are Date: February 8, 2021. customers. The base service will now consistent with the regulatory criteria as Michael J. Elston provide 6:00 p.m. delivery indicated by management. Secretary of the Board of Governors. commitments for all origin-destination BILLING CODE 7710–12–P VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00109 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17221 2105 Priority Mail Express *** 2105.5 Optional Features The following additional postal services may be available in conjunction with the product specified in this section: • Pickup On Demand Service • Sunday/Holiday Delivery • 10:30 aR=i Dolii.1ory • Ancillary Services (1505) o Address Correction Service (1505.1) o Collect On Delivery (1505.7) o Priority Mail Express Insurance (1505.9) o Return Receipt ( 1505.13) o Special Handling (1505.18) • Competitive Ancillary Services (2545) o Adult Signature (2545.1) o Package Intercept Service (2545.2) o Premium Data Retention and Retrieval Service (2545.3) 2105.6 Prices *** Pickup On Demand Service Add $25.00 for each Pickup On Demand stop. Sunday/Holiday Delivery Add $12.50 for requesting Sunday or holiday delivery. 1Q:4Q BFR DoJivery Add $5.00 for requesting delivery by 10:30 am. /Mpb Noncompliance Fee Add $0.25 for each IMpb-noncompliant parcel paying commercial prices, unless the eVS Unmanifested Fee was already assessed on that parcel. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00110 Fmt 4703 Sfmt 4725 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES EN01AP21.005 17222 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices eVS Unmanifested Fee Add $0.25 for each unmanifested parcel paying commercial prices, unless the IMpb Noncompliance Fee was already assessed on that parcel. [FR Doc. 2021–06674 Filed 3–31–21; 8:45 am] Office of Management and Budget would be unable to fulfill these BILLING CODE 7710–12–C (‘‘OMB’’) a request for approval of statutory responsibilities. extension of the previously approved There are currently 24 national collection of information provided for in securities exchanges subject to Rule POSTAL SERVICE Rule 12f–1 (17 CFR 240.12f–1) under 12f–1. The burden of complying with the Securities Exchange Act of 1934 Rule 12f–1 arises when a potential Transfer of Bound Printed Matter (‘‘Act’’) (15 U.S.C. 78a et seq.). respondent seeks to reinstate its ability Parcels to Competitive Product List Rule 12f–1 (‘‘Rule’’), originally to extend unlisted trading privileges to any security for which unlisted trading AGENCY: Postal ServiceTM. adopted in 1979 pursuant to Sections 12(f) and 23(a) of the Act, and as further privileges have been suspended by the ACTION: Notice. modified in 1995 and 2005, sets forth Commission, pursuant to Section 12(f)(2)(A) of the Act. The staff estimates SUMMARY: The Postal Service is the requirements for filing an exchange that each application would require providing notice that it has filed a application to reinstate unlisted trading approximately one hour to complete. request with the Postal Regulatory privileges (‘‘UTP’’) in a security in Thus each potential respondent would Commission to transfer Bound Printed which UTP has been suspended by the incur on average one burden hour in Matter Parcels from the Market Commission pursuant to Section complying with the Rule. Dominant Product List to the 12(f)(2)(A) of the Act. Under Rule 12f– 1, an exchange must submit one copy of The Commission staff estimates that Competitive Product List. there could be as many as 24 responses DATES: April 1, 2021. an application for reinstatement of UTP to the Commission that contains annually for an aggregate annual hour FOR FURTHER INFORMATION CONTACT: specified information, as set forth in the burden for all respondents of approximately 24 hours (24 responses × Markes Lucius at (202) 268–6170 or Rule. The application for reinstatement, 1 hour per response). Each respondent’s Garry Rodriguez at (202) 268–7281. pursuant to the Rule, must provide the related internal cost of compliance for SUPPLEMENTARY INFORMATION: On March name of the issuer, the title of the Rule 12f–1 would be approximately 26, 2021, the United States Postal security, the name of each national ® $221.00, or, the cost of one hour of Service filed with the Postal securities exchange, if any, on which professional work of a paralegal needed Regulatory Commission a request to the security is listed or admitted to to complete the application. The total transfer Bound Printed Matter Parcels unlisted trading privileges, whether annual cost of compliance for all from the Market Dominant Product List transaction information concerning the potential respondents, therefore, is to the Competitive Product List, security is reported pursuant to an approximately $5,304 (24 responses × pursuant to 39 U.S.C. 3642. Documents effective transaction reporting plan pertinent to this request are available at $221.00 per response). contemplated by Rule 601 of Regulation Compliance with Rule 12f–1 is http://www.prc.gov, Docket No. NMS, the date of the Commission’s MC2021–78. mandatory. Rule 12f–1 does not have a suspension of unlisted trading record retention requirement per se. Ruth B. Stevenson, privileges in the security on the However, responses made pursuant to Attorney, Federal Compliance. exchange, and any other pertinent Rule 12f–1 are subject to the information related to whether the [FR Doc. 2021–06650 Filed 3–31–21; 8:45 am] recordkeeping requirements of Rules reinstatement of UTP in the subject BILLING CODE 7710–12–P 17a–3 and 17a–4 of the Act. Information security is consistent with the received in response to Rule 12f–1 shall maintenance of fair and orderly markets not be kept confidential; the information and the protection of investors. Rule collected is public information. SECURITIES AND EXCHANGE 12f–1 further requires a national COMMISSION An agency may not conduct or securities exchange seeking to reinstate sponsor, and a person is not required to [SEC File No. 270–139, OMB Control No. its ability to extend unlisted trading respond to, a collection of information 3235–0128] privileges in a security to indicate that under the PRA unless it displays a it has provided a copy of such currently valid OMB control number. Submission for OMB Review; application to the issuer of the security, The public may view background Comment Request as well as to any other national documentation for this information Upon Written Request, Copies Available securities exchange on which the collection at the following website: From: Securities and Exchange security is listed or admitted to unlisted www.reginfo.gov. Find this particular Commission, Office of FOIA Services, trading privileges. information collection by selecting 100 F Street NE, Washington, DC The information required by Rule ‘‘Currently under 30-day Review—Open 20549–2736 12f–1 enables the Commission to make for Public Comments’’ or by using the the necessary findings under the Act search function. Written comments and Extension: Rule 12f–1 prior to granting applications to recommendations for the proposed Notice is hereby given that, pursuant reinstate unlisted trading privileges. information collection should be sent to the Paperwork Reduction Act of 1995 This information is also made available within 30 days of publication of this (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the to members of the public who may wish notice to (i) www.reginfo.gov/public/do/ Securities and Exchange Commission to comment upon the applications. PRAMain and (ii) David Bottom, (‘‘Commission’’) has submitted to the Without the Rule, the Commission Director/Chief Information Officer, VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00111 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES EN01AP21.006 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17223 Securities and Exchange Commission, any comments it received on the In the case where a member both c/o Cynthia Roscoe, 100 F Street NE, proposed rule change. The text of these executes a transaction and clears the Washington, DC 20549, or by sending an statements may be examined at the transaction, the ORF is assessed to and email to: [email protected]. places specified in Item IV below. The collected from that member. In the case Dated: March 29, 2021. Exchange has prepared summaries, set where a member executes a transaction J. Matthew DeLesDernier, forth in sections A, B, and C below, of and a different member clears the transaction, the ORF is assessed to and Assistant Secretary. the most significant aspects of such statements. collected from the member who clears [FR Doc. 2021–06732 Filed 3–31–21; 8:45 am] the transaction and not the member who BILLING CODE 8011–01–P A. Self-Regulatory Organization’s executes the transaction. In the case Statement of the Purpose of, and where a non-member executes a Statutory Basis for, the Proposed Rule transaction at an away market and a SECURITIES AND EXCHANGE Change member clears the transaction, the ORF COMMISSION 1. Purpose is assessed to and collected from the [Release No. 34–91420; File No. SR–ISE– member who clears the transaction. In 2021–04] Currently, ISE assesses an ORF of the case where a member executes a $0.0020 per contract side as specified in transaction on ISE and a non-member Self-Regulatory Organizations; Nasdaq ISE’s Pricing Schedule at Options 7, clears the transaction, the ORF is ISE, LLC; Notice of Filing and Section 9, Part C. The Exchange assessed to the member that executed Immediate Effectiveness of Proposed proposes to reduce the ORF from the transaction on ISE and collected Rule Change To Amend ISE’s Pricing $0.0020 per contract side to $0.0018 per from the non-member who cleared the Schedule at Options 7, Section 9, Part contract side as of April 1, 2021, in transaction. In the case where a member C To Reduce the Options Regulatory order to help ensure that revenue executes a transaction at an away Fee collected from the ORF, in combination market and a non-member clears the with other regulatory fees and fines, March 26, 2021. transaction, the ORF is not assessed to does not exceed the Exchange’s total the member who executed the Pursuant to Section 19(b)(1) of the regulatory costs. Securities Exchange Act of 1934 transaction or collected from the non- (‘‘Act’’),1 and Rule 19b–4 thereunder,2 Collection of ORF member who cleared the transaction because the Exchange does not have notice is hereby given that on March 16, Currently, ISE assesses its ORF for 2021, Nasdaq ISE, LLC (‘‘ISE’’ or access to the data to make absolutely each customer option transaction that is certain that ORF should apply. Further, ‘‘Exchange’’) filed with the Securities either: (1) Executed by a member on ISE; and Exchange Commission (‘‘SEC’’ or the data does not allow the Exchange to or (2) cleared by an ISE member at The identify the member executing the trade ‘‘Commission’’) the proposed rule Options Clearing Corporation (‘‘OCC’’) change as described in Items I and II, at an away market. in the customer range,3 even if the below, which Items have been prepared transaction was executed by a non- ORF Revenue and Monitoring of ORF by the Exchange. The Commission is member of ISE, regardless of the The Exchange monitors the amount of publishing this notice to solicit exchange on which the transaction revenue collected from the ORF to comments on the proposed rule change occurs.4 If the OCC clearing member is ensure that it, in combination with other from interested persons. an ISE member, ORF is assessed and regulatory fees and fines, does not I. Self-Regulatory Organization’s collected on all cleared customer exceed regulatory costs. In determining Statement of the Terms of Substance of contracts (after adjustment for CMTA 5); whether an expense is considered a the Proposed Rule Change and (2) if the OCC clearing member is regulatory cost, the Exchange reviews The Exchange proposes to amend not an ISE member, ORF is collected all costs and makes determinations if ISE’s Pricing Schedule at Options 7, only on the cleared customer contracts there is a nexus between the expense Section 9, Part C to reduce the Options executed at ISE, taking into account any and a regulatory function. The Exchange Regulatory Fee or ‘‘ORF’’. CMTA instructions which may result in notes that fines collected by the While the changes proposed herein collecting the ORF from a non-member.6 Exchange in connection with a are effective upon filing, the Exchange disciplinary matter offset ORF. has designated the amendments become 3 Participants must record the appropriate Revenue generated from ORF, when operative on April 1, 2021. account origin code on all orders at the time of combined with all of the Exchange’s The text of the proposed rule change entry in order. The Exchange represents that it has other regulatory fees and fines, is surveillances in place to verify that members mark designed to recover a material portion of is available on the Exchange’s website at orders with the correct account origin code. https://listingcenter.nasdaq.com/ 4 The Exchange uses reports from OCC when the regulatory costs to the Exchange of rulebook/ise/rules, at the principal assessing and collecting the ORF. the supervision and regulation of office of the Exchange, and at the 5 CMTA or Clearing Member Trade Assignment is member customer options business Commission’s Public Reference Room. a form of ‘‘give-up’’ whereby the position will be including performing routine assigned to a specific clearing firm at OCC. surveillances, investigations, II. Self-Regulatory Organization’s 6 By way of example, if Broker A, an ISE member, routes a customer order to CBOE and the examinations, financial monitoring, and Statement of the Purpose of, and transaction executes on CBOE and clears in Broker policy, rulemaking, interpretive, and Statutory Basis for, the Proposed Rule A’s OCC Clearing account, ORF will be collected by enforcement activities. Regulatory costs Change ISE from Broker A’s clearing account at OCC via include direct regulatory expenses and direct debit. While this transaction was executed on In its filing with the Commission, the a market other than ISE, it was cleared by an ISE certain indirect expenses in support of Exchange included statements member in the member’s OCC clearing account in the regulatory function. The direct concerning the purpose of and basis for the customer range, therefore there is a regulatory expenses include in-house and third the proposed rule change and discussed nexus between ISE and the transaction. If Broker A party service provider costs to support was not an ISE member, then no ORF should be assessed and collected because there is no nexus; the day to day regulatory work such as 1 15 U.S.C. 78s(b)(1). the transaction did not execute on ISE nor was it surveillances, investigations and 2 17 CFR 240.19b–4. cleared by an ISE member. examinations. The indirect expenses VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00112 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17224 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices include support from such areas as investigations, examinations, financial The proposed decrease is based on Office of the General Counsel, monitoring, and policy, rulemaking, recent options volumes which included technology, and internal audit. Indirect interpretive, and enforcement activities. an increase in retail investors. With expenses are estimated to be respect to options volume, the Exchange Proposal approximately 42% of the total experienced a significant increase regulatory costs for 2021. Thus, direct Based on the Exchange’s most recent particularly in the fourth quarter of expenses are estimated to be review, the Exchange is proposing to 2020. For example, total options approximately 58% of total regulatory reduce the amount of ORF that will be contract volume in November 2020 was costs for 2021. collected by the Exchange from $0.0020 71% higher than the total options The ORF is designed to recover a per contract side to $0.0018 per contract contract volume in November 2019.8 material portion of the costs to the side. The Exchange issued an Options Below is industry data from OCC 9 Exchange of the supervision and Trader Alert on February 8, 2021 which illustrates the significant increase regulation of its members, including indicating the proposed rate change for in volume during the fourth quarter of performing routine surveillances, April 1, 2021.7 2020. October November December Q4 2020 Total ...... 633,365,184 673,660,858 753,568,354 2,060,594,396 Customer ...... 587,707,301 630,297,252 708,037,956 1,926,042,509 Total ADV ...... 28,789,326.55 33,683,042.90 34,253,107.00 32,196,787.44 Customer ADV ...... 26,713,968.23 31,514,862.60 32,183,543.45 30,094,414.20 With respect to customer options with all of the Exchange’s other facilities. Additionally, the Exchange volume across the industry, total regulatory fees and fines, would allow believes the proposed rule change is customer options contract average daily the Exchange to continue covering a consistent with the Section 6(b)(5) 17 volume in December 2020 was 88.6% material portion of its regulatory costs, requirement that the rules of an higher than total customer average daily while lessening the potential for exchange not be designed to permit volume in December 2019.10 generating excess revenue that may unfair discrimination between There can be no assurance that the otherwise occur using the current rate.12 customers, issuers, brokers, or dealers. Exchange’s final costs for 2021 will not The Exchange will continue to The Exchange believes the proposed differ materially from these expectations monitor the amount of revenue fee change is reasonable because and prior practice, nor can the Exchange collected from the ORF to ensure that it, customer transactions will be subject to predict with certainty whether options in combination with its other regulatory a lower ORF fee than the current rate. volume will remain at the current level fees and fines, does not exceed Moreover, the proposed reduction is going forward. The Exchange notes regulatory costs. If the Exchange necessary in order for the Exchange to however, that when combined with determines regulatory revenues exceed not collect revenue in excess of its regulatory fees and fines, the revenue regulatory costs, the Exchange will anticipated regulatory costs, in being generated utilizing the current adjust the ORF by submitting a fee combination with other regulatory fees ORF rate results in revenue that is change filing to the Commission and and fines, which is consistent with the running in excess of the Exchange’s notifying 13 its members via an Options Exchange’s practices. estimated regulatory costs for the year.11 Trader Alert.14 The Exchange had designed the ORF Particularly, as noted above, the options to generate revenues that would be less market has seen a substantial increase in 2. Statutory Basis than the amount of revenue collected volume in 2020, due in large part to the The Exchange believes the proposed from the ORF of the Exchange’s extreme volatility in the marketplace as rule change is consistent with the regulatory costs to ensure that it, in a result of the COVID–19 pandemic. Securities Exchange Act of 1934 (the combination with its other regulatory This unprecedented spike in volatility ‘‘Act’’) and the rules and regulations fees and fines, does not exceed resulted in significantly higher volume thereunder applicable to the Exchange regulatory costs, which is consistent than was originally projected by the and, in particular, the requirements of with the view of the Commission that Exchange (thereby resulting in Section 6(b) of the Act.15 Specifically, regulatory fees be used for regulatory substantially higher ORF revenue than the Exchange believes the proposed rule purposes and not to support the projected). The Exchange therefore change is consistent with Section 6(b)(4) Exchange’s business operations. As proposes to decrease the ORF in order of the Act,16 which provides that discussed above, however, after review to ensure it does not exceed its Exchange rules may provide for the of its regulatory costs and regulatory regulatory costs for the year. equitable allocation of reasonable dues, revenues, which includes revenues from Particularly, the Exchange believes that fees, and other charges among its ORF and other regulatory fees and fines, decreasing the ORF when combined members, and other persons using its the Exchange determined that absent a 7 See Options Trader Alert 2021–9. 11 The Exchange notes that notwithstanding the 14 The Exchange notes that in connection with 8 See data from OCC at: https:// excess ORF revenue collected to date, it has not this proposal, it provided the Commission www.businesswire.com/news/home/ used such revenue for non-regulatory purposes. confidential details regarding the Exchange’s 12 20201202005584/en/OCC-November-2020-Total- The Exchange notes that its regulatory projected regulatory revenue, including projected Volume-Up-71-Percent-From-a-Year-Ago. responsibilities with respect to member compliance revenue from ORF, along with a projected with options sales practice rules have largely been 9 regulatory expenses. See data from OCC at: https://www.theocc.com/ allocated to FINRA under a 17d–2 agreement. The Market-Data/Market-Data-Reports/Volume-and- ORF is not designed to cover the cost of that options 15 15 U.S.C. 78f(b). Open-Interest/Volume-by-Account-Type. sales practice regulation. 16 15 U.S.C. 78f(b)(4). 10 See data from OCC at: https://www.theocc.com/ 13 The Exchange will provide members with such 17 15 U.S.C. 78f(b)(5). Market-Data/Market-Data-Reports/Volume-and- notice at least 30 calendar days prior to the effective Open-Interest/Volume-by-Account-Type. date of the change. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00113 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17225 reduction in ORF, it may be collecting for such conduct without looking at and subparagraph (f)(2) of Rule 19b–4 21 revenue in excess of its regulatory costs. evaluating activity regardless of where it thereunder, because it establishes a due, Indeed, the Exchange notes that when transpires. In addition to its own fee, or other charge imposed by the taking into account the recent options surveillance programs, the Exchange Exchange. volume, which included an increase in also works with other SROs and At any time within 60 days of the customer options transactions, it exchanges on intermarket surveillance filing of such proposed rule change, the estimates the ORF will generate related issues. Through its participation Commission summarily may revenues that may cover more than the in the Intermarket Surveillance Group temporarily suspend such rule change if approximated Exchange’s projected (‘‘ISG’’) 19 the Exchange shares it appears to the Commission that such regulatory costs. Moreover, when information and coordinates inquiries action is necessary or appropriate in the coupled with the Exchange’s other and investigations with other exchanges public interest, for the protection of regulatory fees and revenues, the designed to address potential investors, or otherwise in furtherance of Exchange estimates ORF to generate intermarket manipulation and trading the purposes of the Act. If the over 100% of the Exchange’s projected abuses. Accordingly, there is a strong Commission takes such action, the regulatory costs. As such, the Exchange nexus between the ORF and the Commission shall institute proceedings believes it’s reasonable and appropriate Exchange’s regulatory activities with under Section 19(b)(2)(B) 22 of the Act to to decrease the ORF amount from respect to customer trading activity of determine whether the proposed rule $0.0020 to $0.0018 per contract side. its members. change should be approved or The Exchange also believes the disapproved. proposed fee change is equitable and B. Self-Regulatory Organization’s not unfairly discriminatory in that it is Statement on Burden on Competition IV. Solicitation of Comments charged to all members on all their The Exchange does not believe that Interested persons are invited to transactions that clear in the customer the proposed rule change will impose submit written data, views, and range at the OCC.18 The Exchange any burden on competition not arguments concerning the foregoing, believes the ORF ensures fairness by necessary or appropriate in furtherance including whether the proposed rule assessing higher fees to those members of the purposes of the Act. This change is consistent with the Act. that require more Exchange regulatory proposal does not create an unnecessary Comments may be submitted by any of services based on the amount of or inappropriate intra-market burden on the following methods: customer options business they competition because the ORF applies to Electronic Comments conduct. Regulating customer trading all customer activity, thereby raising activity is much more labor intensive regulatory revenue to offset regulatory • Use the Commission’s internet and requires greater expenditure of expenses. It also supplements the comment form (http://www.sec.gov/ human and technical resources than regulatory revenue derived from non- rules/sro.shtml); or regulating non-customer trading customer activity. The Exchange notes, • Send an email to rule-comments@ activity, which tends to be more however, the proposed change is not sec.gov. Please include File No. SR–ISE– automated and less labor-intensive. For designed to address any competitive 2021–04 on the subject line. example, there are costs associated with issues. Indeed, this proposal does not Paper Comments create an unnecessary or inappropriate main office and branch office • examinations (e.g., staff expenses), as inter-market burden on competition Send paper comments in triplicate well as investigations into customer because it is a regulatory fee that to Secretary, Securities and Exchange complaints and the terminations of supports regulation in furtherance of the Commission, 100 F Street NE, registered persons. As a result, the costs purposes of the Act. The Exchange is Washington, DC 20549–1090. associated with administering the obligated to ensure that the amount of All submissions should refer to File No. customer component of the Exchange’s regulatory revenue collected from the SR–ISE–2021–04. This file number overall regulatory program are ORF, in combination with its other should be included on the subject line materially higher than the costs regulatory fees and fines, does not if email is used. To help the associated with administering the non- exceed regulatory costs. Commission process and review your comments more efficiently, please use customer component (e.g., member C. Self-Regulatory Organization’s only one method. The Commission will proprietary transactions) of its Statement on Comments on the post all comments on the Commission’s regulatory program. Moreover, the Proposed Rule Change Received From internet website (http://www.sec.gov/ Exchange notes that it has broad Members, Participants, or Others regulatory responsibilities with respect rules/sro.shtml.) Copies of the No written comments were either to activities of its members, irrespective submission, all subsequent solicited or received. of where their transactions take place. amendments, all written statements Many of the Exchange’s surveillance III. Date of Effectiveness of the with respect to the proposed rule programs for customer trading activity Proposed Rule Change and Timing for change that are filed with the may require the Exchange to look at Commission Action Commission, and all written communications relating to the activity across all markets, such as The foregoing rule change is effective reviews related to position limit proposed rule change between the upon filing pursuant to Section Commission and any person, other than violations and manipulation. Indeed, 19(b)(3)(A) 20 of the Act and the Exchange cannot effectively review those that may be withheld from the public in accordance with the 19 ISG is an industry organization formed in 1983 18 If the OCC clearing member is an ISE member, to coordinate intermarket surveillance among the provisions of 5 U.S.C. 552, will be ORF is assessed and collected on all cleared SROs by cooperatively sharing regulatory available for website viewing and customer contracts (after adjustment for CMTA); information pursuant to a written agreement printing in the Commission’s Public and (2) if the OCC clearing member is not an ISE between the parties. The goal of the ISG’s Reference Room, 100 F Street NE, member, ORF is collected only on the cleared information sharing is to coordinate regulatory customer contracts executed at ISE, taking into efforts to address potential intermarket trading account any CMTA instructions which may result abuses and manipulations. 21 17 CFR 240.19b–4(f)(2). in collecting the ORF from a non-member. 20 15 U.S.C. 78s(b)(3)(A). 22 15 U.S.C. 78s(b)(2)(B). VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00114 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17226 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices Washington, DC 20549, on official hearing on the matter, the reason for the FS Global Credit Opportunities Fund-A business days between the hours of request, and the issues contested. [811–22798] 10:00 a.m. and 3:00 p.m. Copies of the Persons who wish to be notified of a Summary: Applicant, a closed-end filing also will be available for hearing may request notification by investment company, seeks an order inspection and copying at the principal writing to the Commission’s Secretary at declaring that it has ceased to be an office of the Exchange. All comments [email protected]. investment company. The applicant has received will be posted without change. ADDRESSES: The Commission: transferred its assets to FS Global Credit Persons submitting comments are [email protected]. Opportunities Fund, and on December cautioned that we do not redact or edit FOR FURTHER INFORMATION CONTACT: 14, 2020 made a final distribution to its personal identifying information from Shawn Davis, Assistant Director, at shareholders based on net asset value. comment submissions. You should (202) 551–6413 or Chief Counsel’s Expenses of $587,027 incurred in submit only information that you wish Office at (202) 551–6821; SEC, Division connection with the reorganization were to make available publicly. All of Investment Management, Chief paid by the acquiring fund. submissions should refer to File No. Counsel’s Office, 100 F Street NE, Filing Date: The application was filed SR–ISE–2021–04, and should be Washington, DC 20549–8010. on February 24, 2021. submitted on or before April 22, 2021. Applicant’s Address: legalnotices@ For the Commission, by the Division of Atlas U.S. Tactical Income Fund, Inc. fsinvestments.com. [File No. 811–23623] Trading and Markets, pursuant to delegated FS Global Credit Opportunities Fund- authority.23 Summary: Applicant seeks an order ADV [811–23138] J. Matthew DeLesDernier, declaring that it has ceased to be an Assistant Secretary. investment company. Applicant has Summary: Applicant, a closed-end investment company, seeks an order [FR Doc. 2021–06673 Filed 3–31–21; 8:45 am] never made a public offering of its declaring that it has ceased to be an BILLING CODE 8011–01–P securities under the Investment Company Act of 1940. investment company. The applicant has Filing Date: The application was filed transferred its assets to FS Global Credit SECURITIES AND EXCHANGE on February 22, 2021, and amended on Opportunities Fund, and on December COMMISSION March 25, 2021. 14, 2020 made a final distribution to its Applicant’s Address: shareholders based on net asset value. [Investment Company Act Release No. [email protected]. Expenses of $587,027 incurred in 34236] connection with the reorganization were Broadview Funds Trust [File No. 811– paid by the acquiring fund. Notice of Applications for 22885] Filing Date: The application was filed Deregistration Under Section 8(f) of the Summary: Applicant seeks an order on February 24, 2021. Investment Company Act of 1940 Applicant’s Address: legalnotices@ declaring that it has ceased to be an fsinvestments.com. March 26, 2021. investment company. The applicant has The following is a notice of transferred its assets to Madison Small FS Global Credit Opportunities Fund-D applications for deregistration under Cap Fund, a series of Madison Funds, [811–22797] section 8(f) of the Investment Company and on August 30, 2019 made a final Summary: Applicant, a closed-end Act of 1940 for the month of March distribution to its shareholders based on investment company, seeks an order 2021. A copy of each application may be net asset value. Expenses of $289,892 declaring that it has ceased to be an obtained via the Commission’s website incurred in connection with the investment company. The applicant has by searching for the file number, or for reorganization were paid by the transferred its assets to FS Global Credit an applicant using the Company name applicant’s investment adviser and the Opportunities Fund, and on December box, at http://www.sec.gov/search/ acquiring fund’s investment adviser. 14, 2020 made a final distribution to its search.htm or by calling (202) 551– Filing Dates: The application was shareholders based on net asset value. 8090. An order granting each filed on September 19, 2019, and Expenses of $587,027 incurred in application will be issued unless the amended on February 4, 2021, and connection with the reorganization were SEC orders a hearing. Interested persons March 12, 2021. paid by the acquiring fund. may request a hearing on any Applicant’s Address: stevef@ Filing Date: The application was filed application by emailing the SEC’s madisonadv.com. on February 24, 2021. Secretary at [email protected] City National Rochdale Structured Applicant’s Address: legalnotices@ and serving the relevant applicant with Claims Fixed Income Fund LLC [File fsinvestments.com. a copy of the request by email, if an No. 811–22358] email address is listed for the relevant FS Global Credit Opportunities Fund-T applicant below, or personally or by Summary: Applicant, a closed-end [811–23139] mail, if a physical address is listed for investment company, seeks an order Summary: Applicant, a closed-end the relevant applicant below. Hearing declaring that it has ceased to be an investment company, seeks an order requests should be received by the SEC investment company. On June 19, 2020, declaring that it has ceased to be an by 5:30 p.m. on April 20, 2021, and applicant made a liquidating investment company. The applicant has should be accompanied by proof of distribution to its shareholders based on transferred its assets to FS Global Credit service on applicants, in the form of an net asset value. Expenses of $56,216 Opportunities Fund, and on December affidavit or, for lawyers, a certificate of incurred in connection with the 14, 2020 made a final distribution to its service. Pursuant to Rule 0–5 under the liquidation were paid by the applicant’s shareholders based on net asset value. Act, hearing requests should state the members on a pro-rata basis. Expenses of $587,027 incurred in nature of the writer’s interest, any facts Filing Date: The application was filed connection with the reorganization were bearing upon the desirability of a on December 9, 2020. paid by the acquiring fund. Applicant’s Address: laurie.dee@ Filing Date: The application was filed 23 17 CFR 200.30–3(a)(12). morganlewis.com. on February 24, 2021. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00115 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17227 Applicant’s Address: legalnotices@ SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s fsinvestments.com. COMMISSION Statement of the Purpose of, and Statutory Basis for, the Proposed Rule [Release No. 34–91421; File No. SR– FS Global Credit Opportunities Fund- Change T2 [811–23243] NASDAQ–2021–012] 1. Purpose Summary: Applicant, a closed-end Self-Regulatory Organizations; The Nasdaq proposes to amend Listing investment company, seeks an order Nasdaq Stock Market LLC; Notice of Rules 5910 and 5920 to waive the Entry declaring that it has ceased to be an Filing and Immediate Effectiveness of Fees and Listing Rule IM–5900–4 to investment company. The applicant has Proposed Rule Change To Waive the waive the All-Inclusive Annual Listing transferred its assets to FS Global Credit Entry Fee and the All-Inclusive Annual Fee for any company not listed on a Opportunities Fund, and on December Listing Fee for Any Company Not national securities exchange that is 14, 2020 made a final distribution to its Listed on a National Securities listing upon closing of its acquisition of shareholders based on net asset value. Exchange That Is Listing Upon Closing of Its Acquisition of a Special Purpose a special purpose acquisition company Expenses of $587,027 incurred in (‘‘Acquisition Company’’) listed on connection with the reorganization were Acquisition Company Listed on Nasdaq Nasdaq. paid by the acquiring fund. When an Acquisition Company Filing Date: The application was filed March 26, 2021. consummates its business combination, on February 24, 2021. Pursuant to Section 19(b)(1) of the it is typically the legal acquirer in the Applicant’s Address: legalnotices@ Securities Exchange Act of 1934 transaction and, provided it meets the fsinvestments.com. (‘‘Act’’),1 and Rule 19b–4 thereunder,2 continued listing standards applied in notice is hereby given that on March 16, connection with a business combination Man FRM Alternative Multi-Strategy 2021, The Nasdaq Stock Market LLC by a listed Acquisition Company, it can Fund LLC [811–10083] (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the remain listed on the Exchange.3 Securities and Exchange Commission Following the business combination, the Summary: Applicant, a closed-end (‘‘SEC’’ or ‘‘Commission’’) the proposed company is not required to pay any investment company, seeks an order rule change as described in Items I, II, additional listing fees for any shares declaring that it has ceased to be an and III, below, which Items have been issued in connection with its business investment company. On July 30, 2019, prepared by the Exchange. The combination, so there are no listing fees November 1, 2019, and July 14, 2020, Commission is publishing this notice to payable in connection with a business applicant made liquidating distributions solicit comments on the proposed rule combination between a Nasdaq-listed to its shareholders based on net asset change from interested persons. Acquisition Company and a company value. Expenses of approximately which is not listed on a national I. Self-Regulatory Organization’s $162,000 incurred in connection with securities exchange where the Nasdaq- Statement of the Terms of Substance of the liquidation were paid by the listed Acquisition Company is the the Proposed Rule Change applicant. Applicant also has retained acquirer in the transaction. Similarly, $151,195.40 for the purpose of paying The Exchange proposes to waive the Nasdaq does not have any provision for outstanding liquidation expenses. Entry Fee and the All-Inclusive Annual charging prorated annual fees with Filing Dates: The application was Listing Fee for any company not listed respect to shares of currently listed filed on December 11, 2020 and on a national securities exchange that is companies issued during the course of amended on March 4, 2021. listing upon closing of its acquisition of a calendar year (such shares are a special purpose acquisition company Applicant’s Address: Karen.Spiegel@ reflected in the full year annual fee bill listed on Nasdaq. srz.com. for the next subsequent calendar year). The text of the proposed rule change As such, there are no fees imposed upon Putnam High Yield Trust [811–02796] is available on the Exchange’s website at the consummation of a business https://listingcenter.nasdaq.com/ combination by a Nasdaq-listed Summary: Applicant seeks an order rulebook/nasdaq/rules, at the principal Acquisition Company in which it is the declaring that it has ceased to be an office of the Exchange, and at the surviving legal entity. By contrast, if a investment company. The applicant has Commission’s Public Reference Room. company that is not listed on Nasdaq or transferred its assets to Putnam High II. Self-Regulatory Organization’s another national securities exchange Yield Fund, and on May 8, 2017 made Statement of the Purpose of, and merges with a Nasdaq-listed Acquisition a final distribution to its shareholders Statutory Basis for, the Proposed Rule Company and the non-listed company is based on net asset value. Expenses of Change the acquirer in the transaction, the non- $309,330 incurred in connection with listed company is treated as a new the reorganization were paid by the In its filing with the Commission, the listing and must pay the Entry Fees and applicant and the acquiring fund. Exchange included statements the prorated All-Inclusive Annual concerning the purpose of and basis for Filing Date: The application was filed Listing Fee, subject to certain credits.4 the proposed rule change and discussed on February 2, 2021. Nasdaq does not believe that this any comments it received on the disparate treatment of two substantially Applicant’s Address: proposed rule change. The text of these identical transactions is appropriate. [email protected]. statements may be examined at the For the Commission, by the Division of places specified in Item IV below. The 3 Among the continued listing requirements Investment Management, pursuant to Exchange has prepared summaries, set applicable to an Acquisition Company under IM– delegated authority. forth in sections A, B, and C below, of 5101–2 is the requirement that the combined company must meet all initial listing requirements J. Matthew DeLesDernier, the most significant aspects of such statements. following a business combination. Assistant Secretary. 4 Listing Rule IM–5900–1(b) provides for certain credits that benefit a non-Nasdaq company that lists [FR Doc. 2021–06654 Filed 3–31–21; 8:45 am] 1 15 U.S.C. 78s(b)(1). in connection with its acquisition of a Nasdaq listed BILLING CODE 8011–01–P 2 17 CFR 240.19b–4. company. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00116 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17228 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices The decision whether to structure a eligible for any credits under Listing among members and issuers and other business combination with the Rule IM–5900–1(b). persons using any facility, and is not Acquisition Company as the legal Similarly, Listing Rules 5910(a)(7)(iii) designed to permit unfair acquirer rather than the other party does (for companies listing on the Nasdaq discrimination between customers, not result in the listing of a Global and Global Select Markets) and issuers, brokers, or dealers. substantively different entity. 5920(a)(8)(iii) (for companies listing on As a preliminary matter, Nasdaq Accordingly, the Exchange believes the Nasdaq Capital Market) provide that competes for listings with other national there is no basis for charging fees purely the Entry Fees shall not be applicable securities exchanges and companies can on the basis of the structure of the with respect to any securities that are easily choose to list on, or transfer to, business combination chosen by the listed on another national securities those alternative venues. As a result, the parties. To address the existing disparity exchange but not listed on Nasdaq, if fees Nasdaq can charge listed companies in fees Nasdaq proposes to modify the the issuer of such securities is acquired are constrained by the fees charged by Rule 5900 Series to provide a waiver to by an unlisted company and, in its competitors and Nasdaq cannot the entry and annual fees otherwise connection with the acquisition, the charge prices in a manner that would be owed by any company not listed on a unlisted company lists exclusively on unreasonable, inequitable, or unfairly national securities exchange that is the Nasdaq. The Exchange also proposes discriminatory. listing upon closing of its acquisition of to extend this waiver so that it will The Exchange believes that the an Acquisition Company listed on apply in cases where a company that is proposed fee waivers are equitable as Nasdaq. not itself listed on a national securities they are being implemented to avoid an Specifically, Listing Rule IM–5900–4 exchange immediately prior to its initial anomalous fee outcome arising from the currently includes a waiver of the listing on the Exchange is listing upon manner in which an Acquisition prorated All-Inclusive Annual Listing closing of its acquisition of an Company business combination has Fee for any issuer that is not listed on Acquisition Company which had a class been structured. a national securities exchange of equity securities listed on Nasdaq The Exchange believes that the immediately prior to its initial listing on prior to the closing of such acquisition. proposal is not unfairly discriminatory, Nasdaq but is listing its Primary Equity To that end, Nasdaq proposes to adopt because the proposed waivers are Securities upon closing of its Listing Rules 5910(a)(7)(v) (for intended to eliminate a current acquisition of a company listed on companies listing on the Nasdaq Global distinction within the rules and avoid another national securities exchange and Global Select Markets) and the impact on a small group of issuers pursuant to special rules for acquisition 5920(a)(8)(v) (for companies listing on of an anomalous fee outcome arising companies whose business plan is to the Nasdaq Capital Market) to provide from the manner in which an complete one or more acquisitions. that the Entry Fees shall not be Acquisition Company business Nasdaq proposes to extend this waiver applicable with respect to any securities combination has been structured. so that it will apply in cases where a that are listed on Nasdaq by a Nasdaq does not have any provision for company that is not itself listed on a previously unlisted company in charging the Entry Fees or the prorated national securities exchange connection with its acquisition of a All-Inclusive Annual Listing Fee with immediately prior to its initial listing on company listed under IM–5101–2 (an respect to shares of currently listed the Exchange is listing upon the closing acquisition company whose business companies issued during the course of of its acquisition of an Acquisition plan is to complete one or more a calendar year (such shares are Company which had a class of equity acquisitions). reflected in the full year annual fee bill securities listed on Nasdaq prior to the The Exchange does not expect there to for the next subsequent calendar year). closing of such acquisition. be a significant number of listings in As such, there are no fees billed in Listing Rule IM–5900–1(b) provides which this proposed fee waiver will be connection with the issuance of for certain credits that benefit a non- applicable. Consequently, the proposed additional shares upon consummation Nasdaq company that lists in rule change would not affect the of a business combination by a Nasdaq- connection with its acquisition of a Exchange’s commitment of resources to listed Acquisition Company in which it Nasdaq listed company.5 Nasdaq its regulatory oversight of the listing is the surviving legal entity. By contrast, proposes to clarify that a company that process or its regulatory programs. if a company that is not listed on received a waiver of the All-Inclusive Finally, Nasdaq proposes to update Nasdaq or another national securities Annual Listing Fee for the remainder of the title of Listing Rule IM–5900–4 to exchange merges with a Nasdaq-listed the calendar year in which the listing clarify its applicability, as modified by Acquisition Company and the non- occurs, as described above, is not this proposed amendment and to listed company is the acquirer in the identify the paragraphs of this rule with transaction, the non-listed company is 5 Listing Rule IM–5900–1(b) provides that letters to improve its readability. Nasdaq treated as a new listing and must pay companies will receive a credit or waiver when a also proposes to update Listing Rules the Entry Fees and the prorated All- non-Nasdaq company completes a merger with a 5910 and 5920 to make conforming and Inclusive Annual Listing Fee in relation Nasdaq company and the non-Nasdaq company is formatting changes. the surviving entity and lists on Nasdaq. If the to all shares issued and outstanding at Nasdaq company previously paid its All-inclusive 2. Statutory Basis the time of initial listing, subject to Annual Listing Fee, the surviving non-Nasdaq certain credits.8 entity will, upon listing on Nasdaq, receive a credit The Exchange believes that its An Acquisition Company is a shell for the All-Inclusive Annual Listing Fee previously proposal is consistent with Section 6(b) company with no business operations. paid by the Nasdaq company, prorated for the of the Act,6 in general, and furthers the months remaining in the year after the merger. If the Consequently, the parties to a business objectives of Sections 6(b)(4) and 6(b)(5) Nasdaq company has not paid its All-inclusive combination between an Acquisition Annual Listing Fee for the year, the Nasdaq of the Act,7 in particular, in that it Company and an operating company company will receive a waiver of the All-Inclusive provides for the equitable allocation of Annual Listing Fee applicable to the months reasonable dues, fees and other charges remaining in the year after the merger and must pay 8 Listing Rule IM–5900–1(b) provides for certain the remaining balance of its All-Inclusive Annual credits that benefit a non-Nasdaq company that lists Listing Fee, representing the fee for the period it 6 15 U.S.C. 78f(b). in connection with its acquisition of a Nasdaq listed was listed. 7 15 U.S.C. 78f(b)(4) and (5). company. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00117 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17229 have significant flexibility in how they protect investors and the public interest to determine whether the proposed rule choose to structure the business by making them easier to understand. should be approved or disapproved. combination, including in determining For the foregoing reasons, the which entity will be the legal acquirer. Exchange believes that the proposal is IV. Solicitation of Comments Accordingly, the Exchange is proposing consistent with the Act. Interested persons are invited to to amend its fee structure to reflect the submit written data, views, and incidental nature of the resulting B. Self-Regulatory Organization’s Statement on Burden on Competition arguments concerning the foregoing, Acquisition Company business including whether the proposed rule combination and to avoid treating The Exchange does not believe that change is consistent with the Act. the proposed rule change will impose companies undergoing similar business Comments may be submitted by any of combinations disparately. any burden on competition not the following methods: By contrast to an Acquisition necessary or appropriate in furtherance Company business combination, there of the purposes of the Act. Electronic Comments are typically more significant The proposed waiver will be available • limitations on the ability of the parties to all similarly situated issuers on the Use the Commission’s internet to a merger between two operating same basis. The Exchange does not comment form (http://www.sec.gov/ companies to make decisions about believe that the proposed waivers will rules/sro.shtml); or which entity will be the acquirer, have any meaningful effect on the • Send an email to rule-comments@ including, for example, the desire to competition among issuers listed on the sec.gov. Please include File Number SR– maintain the acquirer’s SEC registration Exchange. NASDAQ–2021–012 on the subject line. and concerns about how to present the The Exchange operates in a highly combined entity to the market. As such, competitive market in which issuers can Paper Comments it is much more likely that the listing fee readily choose to list new securities on • implications of how the transaction is Send paper comments in triplicate other exchanges and transfer listings to to Secretary, Securities and Exchange structured would be a major other exchanges if they deem fee levels Commission, 100 F Street NE, consideration for the parties to an at those other venues to be more Washington, DC 20549–1090. Acquisition Company business favorable. Because competitors are free combination than would be the case in to modify their own fees in response, All submissions should refer to File a merger between two operating and because issuers may change their Number SR–NASDAQ–2021–012. This companies. As the implications of the listing venue, the Exchange does not file number should be included on the proposed fee waivers for decisions believe its proposed fee change can subject line if email is used. To help the relating to the transaction structures impose any burden on intermarket Commission process and review your utilized by unlisted companies listing in competition. Nasdaq notes that the comments more efficiently, please use connection with the acquisition of an NYSE is its primary competitor for only one method. The Commission will Acquisition Company are typically listing companies and that the NYSE post all comments on the Commission’s greater than for other companies listing has already adopted a waiver of its internet website (http://www.sec.gov/ in conjunction with merger transactions, comparable listing fees in the scenarios rules/sro.shtml). Copies of the the proposed waivers are not unfairly similar to those covered in this submission, all subsequent discriminatory. proposal.9 amendments, all written statements Nasdaq believes that the proposed with respect to the proposed rule rule change to clarify that a company C. Self-Regulatory Organization’s change that are filed with the that received a waiver of the All- Statement on Comments on the Inclusive Annual Listing Fee for the Proposed Rule Change Received From Commission, and all written remainder of the calendar year in which Members, Participants, or Others communications relating to the the listing occurs, as described above, is proposed rule change between the No written comments were either Commission and any person, other than not eligible for any credits under Listing solicited or received. Rule IM–5900–1(b) does not change the those that may be withheld from the substance of Listing Rule IM–5900–1(b) III. Date of Effectiveness of the public in accordance with the and protects investors and the public Proposed Rule Change and Timing for provisions of 5 U.S.C. 552, will be interest by clarifying the applicability of Commission Action available for website viewing and the rule and making it easier to printing in the Commission’s Public The foregoing rule change has become Reference Room, 100 F Street NE, understand. effective pursuant to Section Finally, Nasdaq believes that the Washington, DC 20549, on official 19(b)(3)(A)(ii) of the Act.10 business days between the hours of proposed rule change to identify At any time within 60 days of the paragraphs with letters and to update 10:00 a.m. and 3:00 p.m. Copies of the filing of the proposed rule change, the the title of Listing Rule IM–5900–4, to filing also will be available for Commission summarily may describe the applicability of this rule to inspection and copying at the principal temporarily suspend such rule change if waiver of certain annual fees ‘‘in office of the Exchange. All comments it appears to the Commission that such Conjunction with a Non-Exchange received will be posted without change. action is: (i) Necessary or appropriate in Listed Issuer Business Combination Persons submitting comments are the public interest; (ii) for the protection with an Acquisition Company,’’ does cautioned that we do not redact or edit of investors; or (iii) otherwise in not change the substance of this rule personal identifying information from furtherance of the purposes of the Act. and protects investors and the public comment submissions. You should If the Commission takes such action, the interest by clarifying the applicability of submit only information that you wish Commission shall institute proceedings the rule and making it easier to to make available publicly. All understand. Similarly, Nasdaq believes submissions should refer to File 9 See Securities Exchange Act Release No. 89773 Number SR–NASDAQ–2021–012 and that conforming and formatting changes (September 4, 2020), 85 FR 55902 (September 10, to Listing Rules 5910 and 5920 do not 2020) (SR–NYSE–2020–40). should be submitted on or before April change the substance of these rules and 10 15 U.S.C. 78s(b)(3)(A)(ii). 22, 2021. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00118 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17230 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices For the Commission, by the Division of Section 19(b)(2)(B) of the Exchange Act 6 on October 27, 2020 and Amendment Trading and Markets, pursuant to delegated to determine whether to approve or No. 2 on October 28, 2020. Amendment authority.11 disapprove the proposed rule change.7 No. 4 to SR–CboeBYX–2020–021 J. Matthew DeLesDernier, On January 26, 2021, the Commission partially amends the proposal as Assistant Secretary. designated a longer period for modified by Amendment No. 3. [FR Doc. 2021–06669 Filed 3–31–21; 8:45 am] Commission action on the proposed rule The purpose of the proposed rule 8 BILLING CODE P change. On February 10, 2021, the change is to introduce periodic auctions Exchange filed Amendment No. 3 to the for the trading of U.S. equity securities proposed rule change, which amended (‘‘Periodic Auctions’’).11 As proposed, SECURITIES AND EXCHANGE and superseded the proposed rule Periodic Auctions of one hundred COMMISSION change as modified by Amendment No. milliseconds would be conducted 2. On March 18, 2021, the Exchange throughout the course of the trading day [Release No. 34–91423; File No. SR– filed Amendment No. 4 to the proposed when there are matching buy and sell CboeBYX–2020–021] rule change, which amended the Periodic Auction Orders, as defined below, that are available to trade in such Self-Regulatory Organizations; Cboe proposed rule change as modified by 9 an auction. Periodic Auctions would not BYX Exchange, Inc.; Notice of Filing of Amendment No. 3. The Commission interrupt trading in the continuous Amendments No. 3 and No. 4, and has received comment letters on the market, and would be price forming Order Granting Accelerated Approval proposed rule change, including a 10 auctions that are executed at the price of a Proposed Rule Change, as response by the Exchange. The level that maximizes the total number of Modified by Amendments No. 3 and Commission is publishing this notice to shares in both the auction book and the No. 4, To Introduce Periodic Auctions solicit comments on Amendments No. 3 continuous market that are executed in for the Trading of U.S. Equity and No. 4 from interested persons and the auction. The Exchange’s parent Securities is approving the proposed rule change, as modified by Amendments No. 3 and company, Cboe Global Markets, Inc. March 26, 2021. No. 4, on an accelerated basis. (‘‘Cboe’’), has been a global leader in the implementation of periodic auctions, I. Introduction II. The Exchange’s Description of the and currently runs the largest periodic On July 17, 2020, Cboe BYX Proposed Rule Change, as Modified by auction book for the trading of European Exchange, Inc. (‘‘Exchange’’ or ‘‘BYX’’) Amendments No. 3 and No. 4 equities. The proposed Periodic filed with the Securities and Exchange In its filing with the Commission and Auctions that the Exchange would Commission (‘‘Commission’’), pursuant subsequent letter responding to implement are based on the model that to Section 19(b)(1) of the Securities comments, the Exchange included Cboe offers to clients in Europe, with Exchange Act of 1934 (‘‘Act’’ or statements concerning the purpose of targeted changes to adapt this model for ‘‘Exchange Act’’) 1 and Rule 19b–4 and basis for the proposed rule change the U.S. equities market. The Exchange thereunder,2 a proposed rule change to and discussed any comments it received believes that its implementation of introduce periodic auctions in U.S. on the proposed rule change. The text Periodic Auctions would enhance the equity securities. The proposed rule of these statements may be examined at ability for investors to source liquidity change was published for comment in the places specified in Item IV below. in all equity securities traded on the the Federal Register on August 4, 2020.3 The Exchange has prepared summaries, Exchange. As discussed below, this On September 10, 2020, pursuant to set forth in sections A, B, and C below, includes both equity securities that Section 19(b)(2) of the Exchange Act,4 of the most significant aspects of such trade in lower volume (i.e., ‘‘thinly- the Commission designated a longer statements. traded securities’’) where liquidity is naturally more scarce, but also more period within which to approve the A. Self-Regulatory Organization’s proposed rule change, disapprove the actively traded securities, including Statement of the Purpose of, and where available liquidity may be proposed rule change, or institute Statutory Basis for, the Proposed Rule proceedings to determine whether to diminished due to increased volatility Change 12 disapprove the proposed rule change.5 or other market conditions. On October 27, 2020, the Exchange filed 1. Purpose Today, U.S. equities market participants are largely limited to two Amendment No. 1 to the proposed rule Amendment No. 3 to SR–CboeBYX– change, and on October 28, 2020 the significant liquidity events where orders 2020–021 amends and replaces in its are pooled and executed at a single Exchange filed Amendment No. 2 to the entirety the proposal as originally proposed rule change, which replaced point in time—i.e., the opening and submitted on July 17, 2020 and closing auctions. During the rest of the in its entirety the proposed rule change amended pursuant to Amendment No. 1 trading day, liquidity may be more as modified by Amendment No. 1. On limited, particularly for market October 30, 2020, the Commission 6 15 U.S.C. 78s(b)(2)(B). participants that are seeking to trade noticed the filing of Amendment No. 2 7 See Securities Exchange Act Release No. 90288, larger orders. As proposed, Periodic and instituted proceedings under 85 FR 70678 (November 5, 2020). 8 See Securities Exchange Act Release No. 90993, Auctions would offer a new price 86 FR 7753 (February 1, 2021) (designating April 1, forming auction that could be utilized 11 17 CFR 200.30–3(a)(12). 2021 as the date by which the Commission shall 1 15 U.S.C. 78s(b)(1). approve or disapprove the proposal). 11 2 The term ‘‘Periodic Auction’’ shall mean an 17 CFR 240.19b–4. 9 All of the amendments to the proposed rule auction conducted pursuant to Proposed Rule 3 See Securities Exchange Act Release No. 89424 change, including Amendments No. 3 and No. 4, 11.25. See Proposed Rule 11.25(a)(4). (July 29, 2020), 85 FR 47262. can be can be found on the Commission’s website 12 As discussed in the following section, while 4 15 U.S.C. 78s(b)(2). at: https://www.sec.gov/comments/sr-cboebyx-2020- Periodic Auctions would be available in all 5 See Securities Exchange Act Release No. 89820, 021/srcboebyx2020021.htm. securities traded on the Exchange, the Exchange 85 FR 57891 (September 16, 2020). The 10 Comments on the proposed rule change, believes that this trading mechanism would be Commission designated November 2, 2020 as the including the Exchange’s response, can be found on particularly valuable for securities that trade in date by which the Commission shall approve or the Commission’s website at: https://www.sec.gov/ lower volume and consequently suffer from wider disapprove, or institute proceedings to determine comments/sr-cboebyx-2020-021/ spreads and less liquidity displayed in the public whether to disapprove, the proposed rule change. srcboebyx2020021.htm. markets. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00119 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17231 by investors seeking liquidity, including result of those efforts, the Exchange is when it is executed.18 Thus, as provided block-size liquidity, during the course of now proposing to implement Periodic in Proposed Rule 11.25(b), Users 19 may the trading day. The Exchange believes Auctions. enter Periodic Auction Orders, i.e., that concentrating available liquidity in As discussed above, Periodic Periodic Auction Only Orders or 20 Periodic Auctions that would take place Auctions would be available in all Periodic Auction Eligible Orders, that when the Exchange has received securities traded on the Exchange, are eligible to initiate Periodic Auctions matching auctionable buy and sell where it may benefit market participants pursuant to Proposed Rule 11.25(c), as orders would assist investors in and investors by providing a deeper discussed later in this proposed rule change, and Continuous Book Orders obtaining needed liquidity, particularly pool of liquidity with which to trade, as that may participate in such Periodic in the case of investors seeking to well as providing important price Auctions if present on the Continuous execute larger orders that would be discovery and other benefits. At the Book at the time a Periodic Auction is difficult to execute without market same time, the Exchange believes that completed. As explained in more detail impact in the continuous market. In the proposed introduction of Periodic below, the ability to choose between addition, since the proposed Periodic Auctions would be particularly valuable Periodic Auction Only Orders, Periodic Auctions would be price forming, these in thinly-traded securities that currently Auction Eligible Orders, and auctions would perform a valuable price suffer from diminished market quality Continuous Book Orders would allow discovery function, which may be compared to their more actively-traded members to control how their orders are particularly helpful for investors when counterparts. As expressed in Cboe’s handled in Periodic Auctions—e.g., trading securities that typically trade comment letter on the Commission’s whether the order is able to initiate a with wider spreads, including thinly- Statement, Cboe continues to believe Periodic Auction, or not, and whether traded securities. that a successful approach to improving the order participates on the Continuous a. Commission Statement on Thinly- market quality in thinly-traded Book, or not. The choice of different Traded Securities securities should focus on the methods of participating in Periodic difficulties that market participants face On October 17, 2019, the Commission Auctions would therefore provide in trading these securities in the public issued a Statement on Market Structure flexibility to members based on their markets today. In that letter, Cboe Innovation for Thinly Traded Securities individual business needs, or the needs discussed three difficulties that market (‘‘Statement’’).13 The Statement of their customers. Regardless of the participants currently face in trading requested comment on potential type of order submitted, orders entered thinly traded securities: (1) Sourcing innovations that could improve market on the Exchange that are present when liquidity, (2) the availability of price quality in thinly-traded securities, and a Periodic Auction is completed would improvement opportunities, and (3) the sought further feedback on the generally be eligible to participate in potential for significant market impact regulatory changes that may be needed that execution. The proposed in securities that are less liquid and to facilitate such innovation. Cboe introduction of Periodic Auctions trade infrequently. As discussed later in submitted a comment letter in response would therefore benefit both Users this proposed rule change, the Exchange to the Statement on December 20, explicitly seeking to use this believes that Periodic Auctions would 2019.14 As expressed in that comment functionality, as well as other Users that provide an effective means of letter, Cboe shares the Commission’s may benefit from any increased addressing each of these issues, and interest in improving market quality in liquidity routed to the Exchange in may therefore serve to improve market this segment of the U.S. equities market, order to participate in such Periodic quality in this currently underserved and believes that the best way to Auctions. accomplish this goal is through segment of the U.S. equities market. General Requirements for Order Entry innovation and targeted approaches that Further, the Exchange believes that and Cancellation. Periodic Auction invite investor choice.15 At that time, Periodic Auctions, as designed, would Orders and Continuous Book Orders Cboe suggested a handful of different provide a competitive mechanism for may be modified and/or cancelled at approaches that national securities the execution of orders in thinly-traded any time, including during the Periodic exchanges could take to improve market securities, and may therefore bring order Auction Period,21 at the discretion of quality in thinly-traded securities, flow in such securities back into the without requiring anti-competitive and public market, subject to fair access and 18 The term ‘‘Continuous Book Order’’ shall mean ultimately harmful changes to U.S. pursuant to transparent exchange rules. an order on the BYX Book that is not a Periodic 16 Auction Order, and the term ‘‘Continuous Book’’ equities market structure. Following b. Order Entry and Cancellation shall mean System’s electronic file of such the submission of that comment letter, Continuous Book Orders. See Proposed Rule Cboe has continued to work on the The Exchange would offer Periodic 11.25(a)(2). design of potential market structure Auction Only Orders and Periodic 19 The term ‘‘User’’ means any Member or innovations that it could implement to Auction Eligible Orders,17 both of which Sponsored Participant who is authorized to obtain access to the System pursuant to Rule 11.3. See improve market quality in thinly-traded indicate a member’s desire to initiate a BYX Rule 1.5(cc). and other securities that suffer from Periodic Auction, if possible, as well as 20 The term ‘‘Periodic Auction Order’’ shall mean diminished market quality, consistent Continuous Book Orders that would not a ‘‘Periodic Auction Only Order’’ or ‘‘Periodic with the Commission’s request. As a initiate a Periodic Auction but would be Auction Eligible Order’’ as those terms are defined in Proposed Rules 11.25(b)(1)–(2), and the term eligible to participate in such an auction ‘‘Periodic Auction Book’’ shall mean the System’s 13 See Securities Exchange Act Release No. 87327 electronic file of such Periodic Auction Orders. See (October 17, 2019), 84 FR 56956 (October 24, 2019) 17 A ‘‘Periodic Auction Only Order’’ is a Non- Proposed Rule 11.25(a)(6). (File No. S7–18–19). Displayed Limit Order entered with an instruction 21 The term ‘‘Periodic Auction Period’’ would be 14 See Letter from Adrian Griffiths, Assistant to participate solely in Periodic Auctions pursuant defined in Proposed Rule 11.25(a)(8) as the fixed General Counsel, Cboe to Vanessa Countryman, to Proposed Rule 11.25. A ‘‘Periodic Auction time period of 100 milliseconds for conducting a Secretary, Commission dated December 20, 2019, Eligible Order’’ is a Non-Displayed Limit Order Periodic Auction. The Exchange would permit available at https://www.sec.gov/comments/s7-18- eligible to trade on the Continuous Book that is cancellations of Periodic Auction Orders while a 19/s71819-6574727-201085.pdf. entered with an instruction to also initiate a Periodic Auction Period is ongoing in the security. 15 Id. Periodic Auction, if possible, pursuant to Proposed During the ordinary course of trading, market 16 Id. Rule 11.25. See Proposed Rule 11.25(b)(1)–(2). Continued VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00120 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17232 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices the User. Periodic Auctions are below $500 based on the consolidated Regular Trading Hours,24 and not designed to allow seamless participation last sale price, i.e., the last sale price during the Early Trading,25 Pre- in a price forming auction process that is disseminated by the securities Opening,26 or After Hours Trading without impacting continuous trading, information processor, or if no Sessions.27 Orders entered with a time- and market participants would therefore consolidated last sale price is available, in-force of RHO are cancelled at the end remain able to manage orders that they the previous day’s closing price.23 The of Regular Trading Hours on the trading have entered to participate in such Exchange would not implement similar day in which the order is entered, and auctions during the course of the trading size restrictions for higher-priced do not persist to the next trading day. day. Since some Users may not wish to securities, where such a size Periodic Auction Only Orders entered cancel Periodic Auction Orders requirement would generally require a during Regular Trading Hours may be inadvertently during the course of an higher minimum notional value to either RHO or IOC. If entered with a ongoing Periodic Auction, however, the participate in a Periodic Auction. For time-in-force of IOC, the order must Exchange would provide an optional example, Amazon.com, Inc. (‘‘AMZN’’) include an instruction pursuant to instruction that would allow such Users closed at $ 3,292.23 on January 22, Proposed Rule 11.25(b) not to cancel the to instruct the Exchange not to cancel a 2021. Requiring that a Periodic Auction order during a Periodic Auction Period Periodic Auction Order during a Order in AMZN be for at least 100 if it is marketable at the Periodic Periodic Auction Period if it is shares would require that the User be Auction Book Price.28 As previously marketable at the Periodic Auction Book willing to trade a notional value of discussed, with the inclusion of this Price.22 $329,223. Given the large notional instruction, an order that initiates a Given that Periodic Auctions are associated with such high-priced Periodic Auction would be considered designed, in part, to facilitate the securities, the Exchange would not ‘‘locked-in’’ and would not be sourcing of larger blocks of liquidity apply the proposed size requirement to cancellable by the entering User during that may not be available in continuous securities priced at or above $500. Based the course of an ongoing Periodic trading, the Exchange would also on the Exchange’s analysis of trading Auction Period unless it is not implement certain size restrictions that activity from January 4–22, 2021, only marketable at the Periodic Auction Book would be applicable to Periodic Auction 61 U.S. equity securities traded at prices Price. An IOC order entered with this Orders. Specifically, Periodic Auction of $500 or more, accounting for 0.53% instruction would therefore be able to Orders would have to be for a size of of total traded volume during that immediately initiate a Periodic Auction 100 shares or more in securities priced period. As such, the Exchange believes on entry. And, if it does so, it would not that the proposed $500 threshold would be cancelled for the duration of the participants often work orders simultaneously in Periodic Auction Period, except in multiple venues. In fact, a number of Exchange exclude only the highest priced members, including global trading firms that securities from the Exchange’s proposed circumstances where the Periodic currently use the periodic auction product offered minimum size requirements. Auction Book Price indicates that the by the Exchange’s affiliate, Cboe Europe, have Periodic Auction Only Orders. A order might not be executable, thereby indicated that they plan to incorporate Periodic ensuring that Periodic Auction Only Auctions into their normal workflow as a potential ‘‘Periodic Auction Only Order’’ would source of additional liquidity. As discussed, these be defined in proposed Rule 11.25(b)(1) Orders entered with these attributes firms would generally continue to work their orders as a Non-Displayed Limit Order entered would ordinarily be eligible to across other venues, and the Exchange has therefore with an instruction to participate solely participate in Periodic Auctions that proposed to allow cancellations of Periodic Auction Orders, including in cases where a Periodic Auction in Periodic Auctions pursuant to they initiate. has already been initiated. This handling would Proposed Rule 11.25. The Periodic The Exchange believes that the minimize potential overfills or related workflow Auction Only Order is an optional order Periodic Auction Only Order may be issues that could otherwise be experienced by type that is designed for market particularly valuable for market firms, thereby allowing them to use Periodic participants that are seeking to execute Auctions in the manner intended while seeking participants that want to access liquidity across other venues. As a self-regulatory liquidity that is available in one or more larger orders that they may not be organization, the Exchange would conduct Periodic Auctions and do not wish to willing to expose for trading on the surveillance to detect potential misuse of Periodic participate in the continuous market. As Continuous Book. Thus, the Exchange Auctions, including a pattern or practice of entering would permit Users to specify a and cancelling Periodic Auction Orders to gain such, a Periodic Auction Only Order information about other Periodic Auction Orders would not be eligible for execution on minimum execution quantity for their resting on the Periodic Auction Book. While the the Continuous Book. Instead, such Periodic Auction Only Orders. A Proposal would allow members to freely enter and orders would remain on the Periodic Periodic Auction Only Order entered cancel Periodic Auction Orders, the Exchange with a minimum execution quantity believes its regulatory program is appropriately Auction Book for participation in designed to detect and deter use of Periodic Periodic Auctions until executed or would be executed in a Periodic Auction Orders that is inconsistent with applicable cancelled. Auction only if the minimum size Exchange rules. Periodic Auction Orders must be specified can be executed against one or entered with the intent to participate in Periodic Periodic Auction Only Orders would Auctions. See Interpretations and Policies .04 to only be accepted with a time-in-force of 24 BYX Proposed Rule 11.25. A pattern or practice of Regular Hours Only (‘‘RHO’’) or The term ‘‘Regular Trading Hours’’ means the time between 9:30 a.m. and 4:00 p.m. Eastern Time. submitting orders for the purpose of disrupting or immediate-or-cancel (‘‘IOC’’). manipulating Periodic Auctions, including entering See BYX Rule 1.5(w). and immediately cancelling Periodic Auction Specifically, Periodic Auction Only 25 The term ‘‘Early Trading Session’’ means the Orders, will be deemed conduct inconsistent with Orders entered outside of Regular time between 7:00 a.m. and 8:00 a.m. Eastern Time. just and equitable principles of trade. Id. Trading Hours must include a time-in- See BYX Rule 1.5(ee). 22 The Periodic Auction Book Price is an force of RHO as the Exchange would 26 The term ‘‘Pre-Opening Session’’ means the time between 8:00 a.m. and 9:30 a.m. Eastern Time. indicative price that is designed to provide conduct Periodic Auctions only during information about the price where a Periodic See BYX Rule 1.5(r). Auction may ultimately be executed. See infra note 27 The term ‘‘After Hours Trading Session’’ means 42. The instruction to ‘‘lock-in’’ a Periodic Auction 23 Periodic Auction Only Orders that do not meet the time between 4:00 p.m. and 8:00 p.m. Eastern Order would be included as a port setting that a applicable size requirements would be rejected. Time. See BYX Rule 1.5(c). User can use to flag any orders entered through a Periodic Auction Eligible Orders would be 28 Periodic Auction Only Orders will be rejected particular port. Users that wish to use this feature converted to Continuous Book Orders, and would if they are entered with a time-in-force of IOC but must use the port setting and would not be able to be eligible to trade on the Continuous Book based do not contain an ‘‘lock-in’’ instruction pursuant to flag individual orders on an order-by-order basis. on User instructions. Proposed Rule 11.25(b). VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00121 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17233 more contra-side Periodic Auction The Exchange notes that there may be cancelled. The Exchange is not Orders or Continuous Book Orders. The situations where an incoming Periodic proposing to support the use of FOK Exchange offers Minimum Quantity Auction Eligible Order would be able to orders in Periodic Auctions, and Orders to Users that trade on the either initiate a Periodic Auction, or therefore Periodic Auction Eligible Continuous Book today.29 The proposed alternatively trade immediately with Orders would not be able to be entered instruction that could be attached to a one or more orders resting on the with a time-in-force of FOK.33 Periodic Auction Only Order is similar Continuous Book. In such instances the As previously explained, the to the current Minimum Quantity Periodic Auction Eligible Order would Exchange believes that Users seeking Orders used for trading on the trade immediately with the Continuous liquidity in Periodic Auctions may wish Continuous Book but would only permit Book, thereby securing a guaranteed to use such auctions to receive an the default handling of that order type, execution for the order. However, since execution at prices at or better than the and would not allow a member to Periodic Auction Eligible Orders are midpoint of the NBBO. The Exchange alternatively specify that the minimum geared towards participation in Periodic currently offers functionality that allows quantity condition be satisfied by each Auctions, with attendant price members entering Mid-Point Peg Orders individual contra-side order. Periodic discovery benefits and potential price on the Continuous Book to forgo an Auction Eligible Orders and Continuous improvement opportunities, such orders execution in situations where the NBBO Book Orders entered as Minimum would not trade on the Continuous is locked.34 However, in order to avoid Quantity Orders would be subject to Book during a Periodic Auction Period a Periodic Auction from being initiated similar restrictions. in the security. Although the Exchange that may not ultimately result in an In addition, the Exchange believes would not halt or otherwise suspend execution during a locked market, Mid- that some Users may wish to use trading on the Continuous Book while Point Peg Orders that are entered with Periodic Auctions to seek liquidity at or conducting a Periodic Auction, the an instruction to not execute when the better than a pegged price that is based Exchange believes that Periodic Auction NBBO is locked would not be eligible to on the applicable national best bid and Eligible Orders that are designed for use be entered as Periodic Auction Eligible offer (‘‘NBBO’’). The Exchange would in Periodic Auctions should generally Orders.35 This handling would mirror therefore allow a User to optionally preference trading in ongoing auctions the handling of Periodic Auction include an instruction on its Periodic over trading on the Continuous Book. Orders, which as proposed could be Auction Only Orders to peg such orders The time-in-force included on a entered with a midpoint peg instruction, to either the midpoint of the NBBO Periodic Auction Eligible Order would but would not include any further (‘‘midpoint peg’’), or the same side of also need to allow the order to be instructions that would allow the User the NBBO (‘‘primary peg’’). Similar to entered and remain on the Periodic to elect not to trade during a locked pegging instructions offered for Auction Book during the course of a market. Continuous Book Orders today,30 Periodic Auction. As a result, there Since the Exchange believes that Periodic Auction Only Orders entered would be certain limitations on the Periodic Auctions may be beneficial to with a primary peg instruction could be entry of Periodic Auction Eligible market participants trading larger orders pegged to the NBB or NBO, or a certain Orders with a time-in- IOC or fill-or-kill that they may not want to be executed amount above the NBB or below the (‘‘FOK’’). An IOC order is defined in unless a specified minimum size can be NBO (‘‘offset’’).31 The inclusion of a BYX Rule 11.9(b)(1) as a limit order that satisfied, the Exchange would also allow pegging instruction for Periodic Auction is to be executed in whole or in part as for Minimum Quantity Orders to be Only Orders would ensure that Users soon as such order is received. Thus, entered as Periodic Auction Eligible have the opportunity to specify that under the ordinary terms of an IOC Orders. As previously discussed, the these orders are only executed at prices order, if such an order were to initiate Exchange currently offers two variants defined in relation to the market for the a Periodic Auction, it would generally of this order type. By default, a particular security, including midpoint not be available for later execution at Minimum Quantity Order would executions that offer price improvement the end of any Periodic Auction Period. execute upon entry against a single compared to the applicable NBBO. To ensure that IOC orders that initiate order or multiple aggregated orders Periodic Auction Eligible Orders. A a Periodic Auction are eligible to simultaneously. Alternatively, such ‘‘Periodic Auction Eligible Order’’ participate in the auction’s eventual orders may be entered with an would be defined in Proposed Rule execution, the Exchange therefore instruction that the order not trade with 11.25(b)(2) as a Non-Displayed Limit proposes that Periodic Auction Eligible multiple aggregated orders Order eligible to trade on the Orders entered with a time-in-force of simultaneously, and that the minimum Continuous Book that is entered with an IOC must include an instruction quantity condition instead be satisfied instruction to also initiate a Periodic pursuant to Proposed Rule 11.25(b) not by each individual order resting on the Auction, if possible, pursuant to to cancel the order during a Periodic Continuous Book. As proposed, Proposed Rule 11.25. The Periodic Auction Period if it is marketable at the Minimum Quantity Orders, as defined Auction Eligible Order would allow Periodic Auction Book Price.32 Such in Rule 11.9(c)(5), may be entered as market participants to trade in the Periodic Auction Eligible Orders would continuous market during the course of be handled in a manner consistent with 33 Although the Exchange is not proposing any the trading day, with the ability to also that described above with respect to special handling for IOC or FOK orders that are initiate Periodic Auctions when there is entered as Continuous Book Orders, the Exchange Periodic Auction Only Orders. notes that such orders would not participate in contra-side liquidity available to trade. Similarly, an FOK order is defined in Periodic Auctions as they would never be posted BYX Rule 11.9(b)(6) as a limit order that to the Continuous Book. 29 See BYX Rule 11.9(c)(5). is to be executed in its entirety as soon 34 See BYX Rule 11.9(c)(9). 30 See BYX Rule 11.9(c)(8)(A). 35 This restriction would not apply to Continuous 31 Since Periodic Auctions are restricted from as it is received and, if not so executed, Book Orders. Since Continuous Book Orders do not trading outside of the applicable Protected NBBO, initiate Periodic Auctions, a Continuous Book the offset included on such orders would have to 32 Periodic Auction Eligible Orders will be Order entered with these instructions would be able result in the order being more aggressive than the rejected if they are entered with a time-in-force of to participate in the eventual execution of Periodic NBBO—i.e., priced higher for buy orders or lower IOC but do not contain an ‘‘lock-in’’ instruction Auctions if such execution can take place in for sell orders. pursuant to Proposed Rule 11.25(b). accordance with the terms of the order. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00122 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17234 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices Periodic Auction Eligible Orders only if Periodic Auction Eligible Orders— Auction Period of 100 milliseconds the order includes the default Continuous Book Orders entered with where the Exchange would match buy instruction that allows the minimum the alternative instruction that requires and sell orders for potential execution.39 size specified to be executed against one the minimum size specified to be Once the Periodic Auction Period has or more contra-side orders—i.e., similar satisfied by each individual contra-side begun, the Exchange would consolidate to the proposed handling of Periodic order would not be included in Periodic any additional Periodic Auction Orders Auction Only Orders entered with a Auctions. However, rather than that it receives, which would be used to minimum execution quantity prohibiting Users from entering calculate the information disseminated instruction. Orders entered with the Minimum Quantity Orders with this at a randomized time thereafter in a alternative instruction that requires the instruction on the Continuous Book, Periodic Auction Message.40 minimum size specified to be satisfied where this instruction may still be Specifically, at a randomized time in by each individual contra-side order valuable for investors, the Exchange one millisecond intervals after a would not be eligible to be entered as would simply prohibit any orders Periodic Auction has been initiated and Periodic Auction Eligible Orders. As entered with that instruction from before the end of the Periodic Auction,41 discussed later in this proposed rule participating in the execution of any the Exchange would disseminate via change, similar restrictions would also Periodic Auctions. Finally, Continuous electronic means an initial Periodic apply to Continuous Book Orders, Book Orders that are entered as Reserve Auction Message that includes two which would not participate in Periodic Orders, as defined in Rule 11.9(c)(1), important pieces of information about Auctions if entered with this alternative would be eligible to participate in the Periodic Auction: (1) The Periodic instruction. Periodic Auctions to the full extent of Auction Book Price,42 and (2) and the Finally, similar to the opening process their displayed size and Reserve total number of shares of Periodic used to begin trading in a security Quantity.37 Auction Orders that are matched at the pursuant to BYX Rule 11.23: (1) Periodic Auction Book Price.43 With Discretionary Orders, as defined in rule c. Initiation and Publication of Periodic 11.9(c)(10), would be eligible to Auction Information periods and the time it takes to initiate an auction participate only up to their ranked price The Exchange would conduct to determine a safe maximum for the number of auctions that can be initiated each second; and (2) for buy orders or down to their ranked Periodic Auctions during Regular a burst rate that would allow the System to initiate price for sell orders; 36 and (2) all Pegged Trading Hours to give market a larger number of Periodic Auctions when either Orders and Mid-Point Peg Orders, as participants an opportunity to obtain no or few auctions have been initiated for a defined in BYX Rule 11.9(c)(8) and (9), liquidity during the course of the specified time period. 39 One relevant exception to this would be for would be eligible for execution in trading day. Instead of initiating such Periodic Auctions that would otherwise end after Periodic Auctions based on their pegged auctions on a set schedule, the the Regular Trading Session. As previously prices. The Exchange believes that this Exchange would wait until it has discussed, Periodic Auctions would only be proposed handling is equally relevant to conducted during Regular Trading Hours. As a executable interest that is eligible to result, such Periodic Auctions would be performed Periodic Auctions, and would ensure, initiate a Periodic Auction, thereby at the end of the Regular Trading Session. where appropriate, that the order ensuring that Periodic Auctions are only 40 The ‘‘Periodic Auction Message’’ would be handling experienced in such Periodic performed when it may be possible for defined in Proposed Rule 11.25(a)(7) as a message Auctions is familiar to members and disseminated by electronic means that includes interested market participants to obtain information about any matched Periodic Auction investors. an execution at the end of the Periodic Orders on the Periodic Auction Book, as described Continuous Book Orders. A Auction Period. Specifically, as in Rule 11.25(c). ‘‘Continuous Book Order’’ would be provided in Proposed Rule 11.25(c), a 41 With the randomization of sending the defined in Proposed Rule 11.25(a)(2) as Periodic Auction would be initiated in message, the initial Periodic Auction Message an order on the BYX Book that is not a would be disseminated between 0 and 99 a security during Regular Trading Hours milliseconds following the initiation of the Periodic Periodic Auction Order. Continuous when one or more Periodic Auction Auction—e.g., immediately upon initiation, at the Book Orders, which may participate in Orders to buy become executable one millisecond mark, two millisecond mark, three the eventual execution of a Periodic millisecond mark, or so forth until the 99 against one or more Periodic Auction millisecond mark. The specific time chosen would Auction but would not be able to Orders to sell pursuant to Proposed Rule be entirely random for each Periodic Auction. As initiate such an auction, would be 11.25.38 This would begin a Periodic discussed in the paragraph that follows, revised handled in the same manner as Periodic Periodic Auction Messages would thereafter be disseminated in five millisecond intervals following Auction Eligible Orders solely with 37 There are no similar requirements applicable to the Exchange’s dissemination of the initial Periodic respect to handling of (1) Discretionary Periodic Auction Eligible Orders since Reserve Auction Message. Orders, and (2) Pegged Orders and Mid- Orders include a displayed portion and therefore 42 The ‘‘Periodic Auction Book Price’’ would be Point Peg Orders, each as discussed in would not be eligible for entry as Periodic Auction defined in Proposed Rule 11.25(a)(5) as the price Eligible Orders. As discussed, Periodic Auction the preceding paragraph. Continuous within the Collar Price Range at which the most Eligible Orders, as defined, would include only shares from the Periodic Auction Book would Book Orders would also be subject to Non-Displayed Limit Orders. match. In the event of a volume-based tie at the handling discussed for Periodic 38 As proposed, Periodic Auctions would operate multiple price levels, the Periodic Auction Book Auction Eligible Orders entered as alongside trading on the Continuous Book. The Price would be the price that results in the Exchange has therefore developed its system for minimum total imbalance. In the event of a volume- Minimum Quantity Orders, with the processing Periodic Auctions with the goal of based tie and a tie in minimum total imbalance at caveat that this handling would only minimizing interference with trading in the multiple price levels, the Periodic Auction Book apply to Continuous Book Orders continuous market. Thus, in rare circumstances Price would be the price closest to the Volume entered with the default instruction that where a number of Periodic Auctions could Based Tie Breaker. As calculated, the Periodic potentially be triggered at or around the same time, Auction Book Price would be expressed in the permits the execution of such orders the Exchange may throttle the initiation of such minimum increment for the security unless the against one or more contra-side orders. Periodic Auctions if needed to maintain appropriate midpoint of the NBBO establishes the Periodic As proposed, similar to the treatment of system performance and latency. Specifically, the Auction Book Price. Periodic Auction Orders—including throttle would limit the rate at which new auctions 43 Similar to the auction information are initiated by the System by imposing disseminated by the Exchange’s affiliate, BZX, for both Periodic Auction Only Orders and configurable limits for both: (1) A sustained rate its opening and closing auctions, the Periodic that controls the number of Periodic Auctions that Auction Message would be disseminated to market 36 The discretionary range of such orders would can be initiated on a continuous basis, calculated participants over the Exchange’s proprietary depth- not be considered in Periodic Auctions. by looking at System load during high utilization of-book market data feeds. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00123 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17235 these two pieces of information, appropriate trading decisions Volume Based Tie Breaker, which interested market participants would be throughout the Periodic Auction Period. would be defined in Proposed Rule 11.25(a)(9) as the midpoint of the NBBO informed of both the price at which d. Determination of Periodic Auction for a particular security where the Periodic Auction Orders would match Price based on current market conditions,44 NBBO is a Valid NBBO.51 Periodic Auctions are designed to and the number of shares of such orders e. Determination of Collar Price Range that would be matched. Although the facilitate meaningful price discovery in securities traded on the Exchange Exchange does not believe that all Users As discussed, the Periodic Auction throughout the course of the trading Price would be constrained by auction will want or need access to this day. Similar to the operation of opening collars that are designed to ensure that information to participate in Periodic 45 and closing auctions in securities listed the execution of a Periodic Auction Auctions, making such information on the Exchange’s affiliate, Cboe BZX takes place at a price that is reasonably available may encourage further Exchange, Inc. (‘‘BZX’’),47 as well as related to the market for the security participation from market participants. similar auctions conducted on other and consistent with applicable The calculation of the Periodic national securities exchanges, Periodic regulatory requirements. While Periodic Auction Book Price would exclude Auctions would therefore be executed at Auctions are designed to balance supply Continuous Book Orders. Although a price that maximizes the number of and demand through a competitive Continuous Book Orders are eligible to shares traded in the auction within auction process, the Collar Price Range trade in a Periodic Auction at the end designated auction collars (‘‘Collar Price would restrict trading from occurring at of the Periodic Auction Period, they are Range’’).48 Specifically, as provided in prices that are far away from the market. potentially subject to execution on the Proposed Rule 11.25(d), the Periodic Specifically, as proposed, the term Continuous Book prior to the execution Auction Price would be established by ‘‘Collar Price Range’’ would be defined of the Periodic Auction. As a result, determining the price level within the in Proposed Rule 11.25(a)(1) as the more similar to certain information Collar Price Range that maximizes the restrictive of the Midpoint Collar Price disseminated by other national number of shares executed from the Range and the Protected NBBO.52 The securities exchanges in advance of their Continuous Book and Periodic Auction Collar Price Range would be similar to 49 auctions,46 Continuous Book Orders Book in the Periodic Auction. the auction collars used today for BZX’s would not be used to calculate the data The Exchange would also implement opening and closing processes, with certain ‘‘tie-breakers’’ that would be elements included in the Periodic important differences to account for the used to determine the applicable Auction Message. After its initial fact that Periodic Auctions would be Periodic Auction Price if multiple price dissemination, a revised Periodic subject to the requirements of the Rule levels would satisfy the requirement to Auction Message would be 611 of Regulation NMS (‘‘Order maximize the number of shares Protection Rule’’) and the Plan to disseminated in five millisecond executed in the auction. These tie- Address Extraordinary Market Volatility intervals for the remaining duration of breakers would be the same as the tie- (the ‘‘Limit Up-Limit Down’’ or ‘‘LULD’’ the auction, thereby ensuring that breakers currently used for opening and Plan). Specifically, Periodic Auctions market participants maintain a current closing auctions on BZX for that would be subject to a Collar Price Range view of the market with which to make exchange’s listed securities. that is the more restrictive of the Specifically, in the event of a volume- Midpoint Collar Price Range (described 44 The Exchange would consider any relevant based tie at multiple price levels, the below) and the Protected NBBO. This instructions included on Periodic Auction Orders Periodic Auction Price would be the in calculating the information included in the implementation would therefore ensure Periodic Auction Message. For example, the pegged price that results in the minimum total that such Periodic Auctions are price of a Periodic Auction Order that includes a imbalance—i.e., the price at which the executed at a price that is consistent pegging instruction would be used in determining number of any executable shares to buy with the requirements of the Order the Periodic Auction Book Price, as well as the or sell that do not participate in the Protection Rule as well as the additional number of shares available at that price, as 50 disseminated in the Periodic Auction Message. Periodic Auction is minimized. In the protections provided by auction collars 45 Periodic Auction Orders would not be tied in event of a volume-based tie and a tie in that are similar to those currently used any way to a particular Periodic Auction. As a minimum total imbalance at multiple by the Exchanges’ affiliate, BZX, for result, Users may freely enter Periodic Auction price levels, the Periodic Auction Price opening and closing auctions in that Orders, and such orders would be eligible to initiate would be the price closest to the a Periodic Auction, either on entry or after being posted to the Periodic Auction Book, or participate 51 As is the case on the Exchange’s affiliate, BZX, in an ongoing periodic Auction. A User’s ability to 47 See BZX Rule 11.23(b)(2)(B); (c)(2)(B). for opening and closing auctions for BZX-listed participate effectively in the Periodic Auctions 48 The term ‘‘Collar Price Range’’ shall mean the securities, a NBBO would be considered a Valid would therefore not be tied to their use of the more restrictive of the Midpoint Collar Price Range, NBBO where: (i) There is both a NBB and NBO for Periodic Auction Message, and the Exchange as defined in Proposed Rule 11.25(a)(1), and the the security; (ii) the NBBO is not crossed; and (iii) believes that Periodic Auctions would be a valuable Protected NBBO. See Proposed Rule 11.25(a)(1). the midpoint of the NBBO is less than the tool for such Users irrespective of whether they Notwithstanding the foregoing, if the Collar Price Maximum Percentage away from both the NBB and choose to use such information. Range calculated by the Exchange would be outside the NBO as determined by the Exchange and 46 For example, the ‘‘Current Reference Price’’ of the applicable Price Bands established pursuant published in a circular distributed to Members with disseminated ahead of Nasdaq’s closing cross is to the Limit Up-Limit Down Plan, the Collar Price reasonable advance notice prior to initial defined as the single price that is at or within the Range will be capped at such Price Bands. Id. implementation and any change thereto. See BZX current Nasdaq Market Center best bid and offer at 49 The calculation of Collar Price Range, as Rule 11.23(b)(23). Where the NBBO is not a Valid which the maximum number of shares of MOC, defined in the Proposed Rule, is described in more NBBO, the consolidated last sale price would be LOC, and IO orders can be paired, subject to certain detail in Section V of this proposed rule change. As used. Id. tie-breakers. See Nasdaq Rule 4754(a)(7)(A). Nasdaq calculated, the Periodic Auction Price would be 52 The term ‘‘Midpoint Collar Price Range’’ shall does not include ‘‘Close Eligible Interest’’ entered expressed in the minimum increment for the mean the range from a set percentage below the on its continuous book in determining the Current security unless the midpoint of the NBBO Collar Midpoint (as defined below) to above the Reference Price pursuant to Nasdaq Rule establishes the Periodic Auction Price. Collar Midpoint, such set percentage being 4754(a)(7)(A), nor does it include such orders in its 50 Selecting a price that would minimize the dependent on the value of the Collar Midpoint at dissemination of the number of shares represented imbalance best reflects the value of the security the time of the auction, as described below. See by MOC, LOC, and IO orders that are paired at the based on the auction’s price discovery process Proposed Rule 11.25(a)(3). The ‘‘Protected NBBO’’ Current Reference Price. See Nasdaq Rule because it is the price level where the amount of is the national best bid or offer that is a Protected 4754(a)(7)(B). buy and sell interest is closest to equal. Quotation. See BYX Rule 1.5(s). VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00124 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17236 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices exchange’s listed securities. For all Rule 11.25(e), which describes the about the nature of executions on the Periodic Auctions, the Exchange would allocation model for Periodic Auctions. Exchange to subscribers of the SIP feeds, calculate a Midpoint Collar Price Range Generally, the allocation model the Exchange will submit a request to to establish an upper and lower bound described in this rule is intended to the operating committee(s) of the NMS for the execution of such auctions. The encourage active participation of plan(s) and make best efforts to have Midpoint Collar Price Range would Periodic Auction Orders, including similar information included on those mirror the collars currently established participation of larger orders, while feeds as soon as practicable. If approved for use in BZX auctions,53 and would be ensuring that Continuous Book Orders by applicable operating committee(s), defined in Proposed Rule 11.25(a)(3) as are also able to participate in resulting the Exchange represents that it will the range from a set percentage below executions, as appropriate, in order to submit a trade modifier on executions the Collar Midpoint to above the Collar encourage continued liquidity on the that result from Periodic Auctions to the Midpoint,54 such set percentage being Continuous Book. First, any displayed SIPs for dissemination to investors, dependent on the value of the Collar Continuous Book Orders that are similar to the manner in which it would Midpoint at the time of the auction. executable at the Periodic Auction Price mark such auction executions on its Specifically, the Collar Price Range would be executed in price/time own proprietary feeds. would be determined as follows: (1) priority, thereby encouraging the Finally, the Exchange notes that, in Where the Collar Midpoint is $25.00 or continued submission of displayed certain rare circumstances, the inclusion less, the Collar Price Range would be orders. Second, after any displayed of a minimum execution quantity on the range from 10% below the Collar Continuous Book Orders have been one or more Periodic Auction Orders Midpoint to 10% above the Collar executed, the Exchange would execute and/or Continuous Book Orders could Midpoint; (2) where the Collar Midpoint any Periodic Auction Orders that are potentially result in the Exchange being is greater than $25.00 but less than or executable at the Periodic Auction unable to process a Periodic Auction in equal to $50.00, the Collar Price Range Price. Since Periodic Auctions are a timely manner. Thus, as provided in would be the range from 5% below the designed, in part, to facilitate the Proposed Rule 11.25(f), to prevent Collar Midpoint to 5% above the Collar execution of larger orders, such Periodic potential capacity and/or performance Midpoint; and (3) where the Collar Auction Orders would be executed in issues that may impact both the Midpoint is greater than $50.00, the size/time priority, beginning with the execution of the auction, as well as Collar Price Range would be the range largest order. Finally, any non-displayed trading on Continuous Book, in such an from 3% below the Collar Midpoint to Continuous Book Orders that are event the Exchange would cancel the 3% above the Collar Midpoint. executable at the Periodic Auction Price auction after a specified number of Finally, all Periodic Auctions would would be executed pursuant the normal attempts. Specifically, to prevent be conducted during Regular Trading price-time priority allocation used for potential capacity and/or performance Hours and therefore would be subject to the execution of orders on the issues, the Exchange will cancel a the requirements of the LULD Plan. Continuous Book, as provided in BYX Periodic Auction at the end of the Generally, the LULD Plan sets forth Rule 11.9(a)(2)(B). All Match Trade Periodic Auction Period if it is unable procedures that provide for market-wide Prevention modifiers, as defined in BYX to successfully process such Periodic limit up-limit down requirements to Rule 11.9(f), would be ignored as it Auction according to Rule 11.25 after a prevent trades in individual NMS relates to executions occurring during a specified number of attempts Stocks from occurring outside of Periodic Auction.56 determined by the Exchange and specified Price Bands.55 Consistent with The Exchange intends to reflect published in a circular distributed to the requirements of the LULD Plan, the executions that occur during a Periodic members. Auction as auction executions on its Exchange would not execute Periodic g. Regulatory and Other Considerations Auctions at a price that is outside of the proprietary market data feeds as The Exchange would also adopt rule applicable Price Bands. Thus, if the happens today for other auctions language in the Interpretations and Collar Price Range calculated by the conducted by the Exchange and its Policies to the proposed rule that Exchange would be outside of the affiliated U.S. equities exchanges. There is no similar indicator disseminated by describes how Periodic Auctions would applicable Price Bands established be processed consistent with certain pursuant to the LULD Plan, the Collar the securities information processors (‘‘SIPs’’) for intraday auction executions, other regulatory obligations, including Price Range would be capped at such obligations related to member conduct, Price Bands. i.e., excluding opening and closing prints, and the Exchange is not able to or otherwise to ensure transparent f. Priority and Execution of Orders unilaterally propose the introduction of handling in certain specified As discussed, Periodic Auction such an indicator through a proposed circumstances. These rules would Orders and Continuous Book Orders rule change submitted to the provide additional clarity and that are executable at the end of the Commission pursuant to Section 19(b) transparency to members and investors Periodic Auction Period would be of the Exchange Act. Rather, pursuant to with respect to how the Exchange executed at the Periodic Auction Price Regulation NMS, the dissemination of would process Periodic Auctions determined pursuant to Proposed Rule such information by the SIPs is consistent with relevant obligations 11.25(d). Such orders would be governed by the operating committee(s) under the Exchange Act, or as otherwise executed in accordance with Proposed of the national market system (‘‘NMS’’) necessary or appropriate to maintain a plan(s) that govern the dissemination of fair and orderly market on the 53 See BZX Rule 11.23(c). this information. In the interest of Exchange. 54 The Collar Midpoint would be the Volume facilitating additional transparency First, as explained in Interpretations Based Tie Breaker for all Periodic Auctions. As and Policies .01 to Proposed Rule 11.25, discussed later in this proposed rule change, the 56 The Exchange notes that its Match Trade the Exchange would not conduct Volume Based Tie Breaker would generally be the Prevention features are designed for use on the Periodic Auctions during a trading halt midpoint of the NBBO, except where there is no Continuous Book, and may complicate the when such trading is prohibited. If a Valid NBBO. execution of an auction that requires the pooling 55 See e.g., LULD Plan, Preamble, available at and matching of multiple orders against other symbol is halted prior to the execution https://www.luldplan.com/plans. orders at a market clearing price. of a Periodic Auction that has already VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00125 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17237 been initiated pursuant to Proposed Book they would be subject to the same Further, consistent with Rule Rule 11.25(c), the Periodic Auction price sliding process as all orders that 201(b)(iii)(B) of Regulation SHO, the would be immediately cancelled trade in the continuous market. For Exchange’s policies and procedures without execution, consistent with example, pursuant to BYX Rule would be designed to permit the applicable limitations on trading during 11.9(g)(5)(A), a short sale order that, at execution or display of a short sale a halt. the time of entry, could not be executed order of a covered security marked Second, as explained in or displayed in compliance with Rule ‘‘short exempt’’ without regard to Interpretations and Policies .02 to 201 of Regulation SHO will be re-priced whether the order is at a price that is Proposed Rule 11.25, a Periodic Auction by the System at one minimum price less than or equal to the current NBB. would not be initiated during a Crossed variation above the current NBB As a result, the restrictions described in Market. If the market becomes crossed (‘‘Permitted Price’’). Thus, a short sale proposed Supplementary Material .03 to during a Periodic Auction that has order that is a Periodic Auction Eligible Rule 11.25 would not apply to orders already been initiated pursuant to Order or Continuous Book Order would marked ‘‘short exempt.’’ Such orders Proposed Rule 11.25(c), and remains be re-priced upon entry to a Permitted would instead be processed in the same crossed at the end of the Periodic Price that is consistent with the manner as long sale orders, and may be Auction Period, the Periodic Auction requirements of Regulation SHO. Such executed in a Periodic Auction without would be cancelled without orders may also be further adjusted to being subject to either the Exchange’s execution.57 If the market subsequently reflect declines in the NBB, depending short sale price sliding process, or becomes uncrossed, resting Periodic on the instructions of the Users.58 In subject to rejection or cancellation, as Auction Orders may trigger a Periodic addition, pursuant to BYX Rule appropriate. Auction pursuant to Rule 11.25(c). 11.9(g)(5)(B), the System may execute a Finally, Interpretations and Policies Third, Interpretations and Policies .03 displayed short sale order at a price .04 to Proposed Rule 11.25 would to Proposed Rule 11.25 would detail the below the Permitted Price if, at the time describe member conduct obligations proposed handling of orders consistent of initial display of the short sale order, with respect to the entry of Periodic with Regulation SHO. As proposed, all the order was at a price above the then Auction Orders. As proposed, Periodic short sale orders designated for current NBB.59 Auction Orders must be entered with participation in the Periodic Auction Periodic Auction Only Orders, the intent to participate in Periodic would have to be identified as ‘‘short’’ however, are designed solely for use in Auctions. A pattern or practice of or ‘‘short exempt’’ pursuant to Rule Periodic Auctions and do not trade on submitting orders for the purpose of 11.10(a)(5). Rules 201(b)(1)(i) and (ii) of the Continuous Book. Therefore, such disrupting or manipulating Periodic Regulation SHO generally requires that Periodic Auction Orders would not be Auctions, including entering and trading centers such as the Exchange managed pursuant to the price sliding immediately cancelling Periodic establish, maintain, and enforce written process described in BYX Rule Auction Orders, would be deemed policies and procedures reasonably 11.9(g)(5), which is for managing orders conduct inconsistent with just and designed to: (i) Prevent the execution or that trade in the continuous market, as equitable principles of trade. The display of a short sale order of a covered opposed to orders that would be entered Exchange would conduct surveillance to security at a price that is less than or in an auction mechanism, such as the ensure that Users do not inappropriately equal to the current national best bid proposed Periodic Auctions. As such, enter Periodic Auction Orders for (‘‘NBB’’) if the price of that covered the Exchange would reject or cancel impermissible purposes, such as to gain security decreases by 10% or more from Periodic Auction Only Orders marked information about other Periodic the covered security’s closing price; and ‘‘short’’ during a short sale circuit Auction Orders that are resting on the (ii) impose this price restriction for the Periodic Auction Book, or otherwise remainder of the day and the following breaker. Specifically, Periodic Auction disrupting or manipulating Periodic day. Only Orders marked ‘‘short’’ will be So as to maintain compliance with cancelled when a short sale circuit Auctions. breaker has been triggered pursuant to Rule 201 of Regulation SHO, Periodic h. Examples Auction Eligible Orders and Continuous Rule 201(b)(1)(i) of Regulation SHO, and The following examples illustrate the Book Orders marked ‘‘short’’ would be subsequently entered Periodic Auction proposed operation of Periodic subject to the Exchange’s current short Only Orders marked ‘‘short’’ will be Auctions: sale price sliding process described in rejected while the short sale circuit BYX Rule 11.9(g)(5). BYX Rule breaker remains in effect pursuant to Periodic Auction Initiation 11.9(g)(5) establishes the Exchange’s Rule 201(b)(1)(ii) of Regulation SHO. This will ensure that Periodic Auction Example 1: price sliding process for orders entered × on the Continuous Book, and is Only Orders, which as discussed would NBBO: $10.00 $10.10 designed to ensure that in the event a not be handled pursuant to the Order 1: Buy 100 shares @ $10.05 security is in a short sale circuit breaker, Exchange’s price sliding process, would Midpoint Peg—Periodic Auction short sale orders entered on the not trade in a Periodic Auction that Only/Eligible Continuous Book are re-priced to a price could potentially be executed at an Order 2: Sell 100 shares @ $10.05 that is above the NBB, as needed to impermissible price under Regulation Midpoint Peg—Periodic Auction comply with Rule 201 of Regulation SHO. Only/Eligible SHO. Since Periodic Auction Eligible Periodic Auctions are initiated when Orders and Continuous Book Orders are 58 Pursuant to BYX Rule 11.9(g)(5)(A), the one or more Periodic Auction Orders to Exchange’s default short sale sliding only re-prices buy are matched with one or more available for trading on the Continuous an order upon entry. See BYX Rule 11.9(g)(5)(A). However, Users may to elect to have a short sale Periodic Auction Orders to sell. 57 The Exchange would not immediately cancel order at the Permitted Price re-priced down to the Therefore, a Periodic Auction is the auction as crossed markets are typically short- order’s original limit price to reflect declines in the initiated when Order 2 matches with lived and the market may no longer be crossed at NBB. Id. Order 1. the end of the Periodic Auction Period, in which 59 This handling would only be available for case the Exchange could successfully execute the Continuous Book Orders as all Periodic Auction Example 2: auction. Eligible Orders are, by definition, non-displayed. NBBO: $10.00 × $10.10 VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00126 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17238 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices Order 1: Buy 100 shares @ 10.05 result, Order 3 would trade its full size Order 2 cannot participate at that price. Midpoint Peg—Continuous Book of 100 shares, and Order 2 would As a result, the Periodic Auction Price Order receive a partial execution for 50 shares. would be $10.05, i.e., the price that Order 2: Sell 100 shares @ 10.05 Example 5: minimizes the imbalance. Orders 3 and Midpoint Peg—Periodic Auction NBBO: $10.00 × $10.01 4 would trade their full size of 100 Eligible Order 1: Buy 5,000 shares @ $10.01— shares and 200 shares, respectively, A Periodic Auction is not initiated as Periodic Auction Only with Order 1. Order 1 is a Continuous Book Order. Order 2: Sell 1,000 shares @ $10.01— Example 7: Instead, Order 2, which is a Periodic Displayed Continuous Book Order NBBO: $10.00 × $10.10 Auction Eligible Order, would trade Order 3: Sell 2,000 @ $10.01—Non- Order 1: Buy 500 shares @ $10.05 Non- immediately with the Continuous Book Displayed Continuous Book Order Displayed—Periodic Auction Only and execute 100 shares against Order 1 Order 4: Sell 3,000 @ $10.01—Periodic Order 2: Sell 200 shares @ $10.04 Non- at $10.05. Auction Eligible Displayed—Periodic Auction Only Example 3: Auction Initiation: Order 1 is a Auction Initiation: A Periodic Auction NBBO: $10.00 × $10.10 Periodic Auction Only Order and Orders would be initiated when Order 1 and Order 1: Buy 100 shares @ 10.05 2 and 3 are Continuous Book Orders. As Order 2, which are both Periodic Midpoint Peg—Periodic Auction Only a result, when Order 2 and 3 are entered Auction Only Orders, match with each Order 2: Buy 100 shares @ 10.05 into the Exchange, those orders will not other. Midpoint Peg—Continuous Book initiate a Periodic Auction or trade with Execution: After 100 milliseconds the Order Order 1 immediately. Instead, a Periodic Periodic Auction would end, and orders Order 3: Sell 100 shares @ 10.05 Auction would be initiated when Order would be executed in the auction at a Midpoint Peg—Periodic Auction 4 matches with Order 1. price of $10.05. In this example, there Eligible Execution: After 100 milliseconds the are two prices at which the maximum A Periodic Auction is not initiated. Periodic Auction would end, and orders number of shares can be executed, i.e., Instead, Order 3, which is a Periodic would be executed in the auction at a $10.04 or $10.05, and in both cases Auction Eligible Order, would trade price of $10.01, which is the price at there would be a buy-side imbalance of immediately with the Continuous Book which the maximum number of shares 300 shares. As a result, the Periodic and execute 100 shares against Order 2 can be executed. Order 1 is the only Auction Price would be the price closest at $10.05. Although Order 1 is available order to buy and would trade its full size to the Volume Based Tie Breaker, i.e., to initiate a Periodic Auction, a Periodic of 5,000 shares. Between the available the midpoint price of $10.05. Order 1 Auction Eligible Order would trade sell orders, Order 2, which is a would trade 200 shares with Order 2. immediately with Continuous Book Displayed Continuous Book Order, Periodic Auction Message Orders on entry if it can do so instead would have priority over Order 4, which of initiating a Periodic Auction. is a Periodic Auction Eligible Order that Example 8: in turn has priority over Order 3, which × Periodic Auction Initiation and NBBO: $10.00 $10.10 is a Non-Displayed Continuous Book Order 1: Buy 500 shares @ $10.05 Execution Order. As a result, Order 2 and Order Midpoint—Periodic Auction Only Example 4: 4 would each trade their full size of Order 2: Buy 300 shares @ $10.06 NBBO: $10.00 × $10.10 1,000 shares and 3,000 shares Midpoint—Periodic Auction Eligible Order 1: Buy 150 shares @ $10.05 respectively, and Order 3 would receive Order 3: Sell 800 shares @ $10.05 Midpoint Peg—Periodic Auction Only a partial execution for 1,000 shares. Midpoint—Periodic Auction Eligible Order 2: Sell 100 shares @ $10.05 New NBBO: $10.02 × $10.10 Periodic Auction Price Calculation Midpoint Peg—Continuous Book Auction Initiation: A Periodic Auction Order Example 6: would be initiated when Order 3 Order 3: Sell 100 shares @ $10.05 NBBO: $10.00 × $10.10 matches with Orders 1 and 2. Midpoint Peg—Periodic Auction Order 1: Buy 500 shares @ $10.05 Non- Auction Message: A Periodic Auction Eligible Displayed—Periodic Auction Only Message would be disseminated at a Auction Initiation: Order 1 is a Order 2: Buy 300 shares @ $10.04 Non- randomized time after the initiation of Periodic Auction Only Order and Order Displayed—Continuous Book Order the auction, showing 800 shares 2 is a Continuous Book Order. As a Order 3: Sell 100 shares @ $10.04 Non- matched at a price of $10.05. After a result, when Order 2 is entered into the Displayed—Periodic Auction Only new NBBO is established, the midpoint Exchange, it will not initiate a Periodic Order 4: Sell 200 shares @ $10.04 Non- orders would be re-priced to the new Auction or trade with Order 1 Displayed—Periodic Auction Only midpoint of $10.06, subject to their limit immediately. Instead, a Periodic Auction Initiation: A Periodic Auction prices. As a result, Orders 2 and 3 Auction is initiated when Order 3 would be initiated when Order 3 is would be re-priced to $10.06, while matches with Order 1. entered into the Exchange and matches Order 1 would remain priced at $10.05 Execution: After 100 milliseconds the with Order 1. due to its lower limit price. The next Periodic Auction would end, and orders Execution: After 100 milliseconds the Auction Message would therefore would be executed in the auction at a Periodic Auction would end, and orders indicate 300 shares matched at a price price of $10.05, which is the price at would be executed in the auction at a of $10.06 due to the exclusion of Order which the maximum number of shares price of $10.05. In this example, there 1 at the new midpoint. can be executed. Order 1 is the only are two prices at which the maximum order to buy and would trade its full size number of shares can be executed, i.e., i. Implementation of 150 shares. Between the available sell $10.04 or $10.05. However, an execution The implementation of Periodic orders, Order 3, which is a Periodic at $10.04 would leave a 500 share buy- Auctions after any Commission Auction Eligible Order, would have side imbalance, whereas an execution at approval of the proposed functionality priority over Order 2, which is a Non- $10.05 would leave a smaller 200 share would follow the Exchange’s rigorous Displayed Continuous Book Order. As a buy-side imbalance due to the fact that software development process for VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00127 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17239 significant trading system and not to permit unfair discrimination Auctions would perform an important enhancements. This will include: (1) between customers, issuers, brokers, or price discovery function, which the Unit testing by the development team dealers. Specifically, the Exchange Exchange believes may be particularly and systemwide integration testing by believes that the proposed rule change valuable in thinly-traded securities that an independent quality assurance team, is consistent with the protection of often trade with significantly wider both of which will be incorporated into investors and the public interest as it spreads that negatively impact the the Exchange’s automated test would facilitate improved price ability for investors to ascertain market framework; (2) at least two weeks of formation and provide additional value,62 as well as high-priced or other internal testing in the Exchange’s execution opportunities for investors, securities that may also trade with certification environment using an particularly in securities that may suffer wider spreads today. The proposed automated system to generate and send from limited liquidity, including thinly- introduction of Periodic Auctions orders as well as manual testing by the traded securities. would therefore contribute to a fair and Exchange’s trade desk; and (3) at least Periodic Auctions would supplement orderly market in equity securities four weeks of customer testing in the traded on the Exchange. certification environment. Each of these existing opening and closing auctions steps would be completed and reviewed by consolidating buy and sell interest in a. Periodic Auctions in Europe before Periodic Auctions would be a price forming auction when investors made available to customers in the seek liquidity during the course of the The Exchange’s affiliate, Cboe Europe, Exchange’s production trading system. trading day. Although liquidity is has had a successful history with The Exchange’s certification frequently available in size around the periodic auctions in the European environment would also remain open and close of trading, liquidity may equities market, and the proposed available alongside the production be more limited intraday. Thus, introduction of Periodic Auctions for release of Periodic Auctions for investors looking to trade in size may the trading of U.S. equity securities is customers that want to test Periodic have issues getting their orders filled based, in part, on the successful Auction functionality in that during the trading day, or may receive implementation of a similar product environment following its initial rollout. inferior execution quality due to the offered by Cboe Europe. As illustrated market impact of trading larger blocks of in Chart A, Cboe Europe’s periodic 2. Statutory Basis equity securities in a market with auction book has grown to about 2%– The Exchange believes the proposed limited liquidity. As proposed, Periodic 2.5% of notional value traded on rule change is consistent with the Auctions would allow the Exchange to European equities exchanges since its requirements of Section 6(b) of the consolidate volume from market introduction in October 2015. Indeed, Act,60 in general, and Section 6(b)(5) of participants, thereby increasing the such periodic auctions now account for the Act,61 in particular, in that it is liquidity available to investors. By an average daily value traded (‘‘ADVT’’) designed to remove impediments to and creating a deeper pool of liquidity for of about Ö1 billion, with two months in perfect the mechanism of a free and the intraday execution of orders, Q1 2020 actually exceeding this open market and a national market including block-sized liquidity, the threshold, reflecting the value that this system, to promote just and equitable Exchange believes that members and offering has provided to market principles of trade, and, in general, to investors would be able to secure better participants that trade European protect investors and the public interest quality executions. In addition, Periodic equities. Chart A: Average Daily Value Traded in Choe Europe Periodic Auctions C 2,500;000,000 C 500,000,000 60 15 U.S.C. 78f(b). impact trading in thinly traded securities. The migrates to off-exchange venues where market 61 15 U.S.C. 78f(b)(5). Exchange believes that Periodic Auctions would participants can trade without publicly displaying improve price discovery in securities that tend to 62 See Letter from Adrian Griffiths, supra note 14, their orders and while potentially minimizing trade with wider spreads. As explained in that market impact. which illustrates the wider spreads that often letter, volume in thinly traded securities often VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00128 Fmt 4703 Sfmt 4725 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES EN01AP21.009 17240 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices CHART B—CBOE EUROPE PERIODIC AUCTION STATISTICS Periodic auction value traded Periodic auction market share % Month notional value Total monthly Average daily traded on exchanges in EU Jan-20 ...... Ö 19,266,389,823 Ö 875,883,628 2.42 Feb-20 ...... 24,377,313,487 1,218,865,674 2.52 Mar-20 ...... 36,933,642,050 1,678,801,911 2.46 Apr-20 ...... 18,370,457,305 918,522,865 2.33 May-20 ...... 15,993,488,255 761,594,679 2.13 Jun-20 ...... 18,221,339,811 828,242,719 1.91 This growth in Cboe Europe’s would be voluntary, and market ensuring that they are actually eligible periodic auction offering has promoted participants would be able to determine to participate in the execution of that price improvement opportunities, with whether and how to participate in auction, if possible. Without this an analysis of periodic auctions Periodic Auctions using these order requirement, a Periodic Auction could conducted by Cboe Europe for Q1 2020 types. Specifically, while both forms of be initiated even though the order showing such periodic auctions trading Periodic Auction Orders would be responsible for initiating that auction, about 85% of value traded at the eligible to initiate Periodic Auctions, by its terms, would not be eligible to midpoint. Although the Exchange Periodic Auction Only Orders would participate at the end of the Periodic recognizes that there are important allow firms to indicate that they are Auction Period, which would differences in market structure between seeking liquidity solely in Periodic potentially be to the detriment both of the U.S. and European equities markets, Auctions, while Periodic Auction the User entering the order and any as well as relevant design differences Eligible Orders would allow firms to Users that submitted contra-side orders between the two products, the Exchange also seek liquidity on the Continuous to trade with it under the assumption believes that U.S. investors may receive Book before and after the execution of that such interest was available. The similar benefits from its proposed a Periodic Auction. The Exchange Exchange believes that the proposed introduction of Periodic Auctions. believes that it is appropriate to offer requirements would benefit Users that Moreover, the Exchange believes that these two methods of initiating Periodic are looking for a speedy execution in such innovation should take preference Auctions so that market participants can Periodic Auctions, while also ensuring over other regulatory approaches that decide whether to use Periodic Auctions that Periodic Auction Only Orders may impede future innovation. as the sole means of sourcing liquidity, entered with a time-in-force of IOC can or as an additional means of accessing b. Periodic Auction Proposal trade at the end of the Periodic Auction liquidity if an order entered onto the Period. As discussed in detail in the Continuous Book has not been executed. paragraphs that follow, Periodic Periodic Auction Only Orders would The Exchange would also allow Users Auctions are designed to improve the provide a means for Users to indicate to include certain specified instructions investor experience for market that they solely wish to have their order on their Periodic Auction Only Orders. participants that trade U.S. equities, and executed in a Periodic Auction. Since Specifically, such orders would be the Exchange believes that this product Periodic Auctions would only take accepted with minimum execution may therefore contribute to a free and place during the Regular Trading quantity and pegging instructions. The open market and national market Session, Periodic Auction Only Orders Exchange believes that the Periodic system. Specifically, Periodic Auctions, would be accepted with a time-in-force Auction Only Order may be particularly as designed, would provide investors of RHO (either during or outside of valuable for market participants that with an innovative mechanism with Regular Trading Hours), or IOC (solely have larger orders to be executed in which to secure liquidity intraday, during Regular Trading Hours). If Periodic Auctions that they may not be providing additional price improvement entered with a time-in-force of IOC, a willing to expose for trading in the opportunities, and allowing market Periodic Auction Only Order would also continuous market. As illustrated in participants to reduce risks that may be have to be entered with an instruction Cboe’s commenter letter in response to associated with displaying orders on a to ‘‘lock-in’’ the order to avoid the Commission’s statement on thinly- traditional limit order book. As such, situations where a Periodic Auction traded securities,63 liquidity is often Periodic Auctions may improve market Only Order initiates an auction and then more limited in these securities, and as quality in U.S. equity securities traded is immediately cancelled prior to the such market participants often look to on the Exchange, and these benefits may execution of that auction. Periodic off-exchange venues that may be able to be even more pronounced in securities Auction Only Orders are not eligible to meet their liquidity needs without that currently trade with diminished trade on the Continuous Book and displaying orders in the public market, market quality. The paragraphs that therefore must include instructions that thereby limiting the market impact of follow addresses each aspect of the would allow the order to be executed in their trading activity. The Exchange Periodic Auction proposal in turn. a Periodic Auction. The requirement to believes that market participants that The Exchange believes that it is ‘‘lock-in’’ the order during the course of are looking for liquidity in size may find consistent with the protection of a Periodic Auction if the order is Periodic Auctions to be a valuable investors and the public interest to marketable at the Periodic Auction Book means of sourcing needed liquidity introduce Periodic Auction Only Orders Price is designed to allow a User to without the potential risks of displaying and Periodic Auction Eligible Orders to specify that they are only interested in their orders for execution. facilitate trading in the Periodic participating in a Periodic Auction if Auctions. Use of these order types they can do so immediately, while 63 See Letter from Adrian Griffiths, supra note 14. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00129 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17241 Given the potential benefits to larger Auction Eligible Orders as such Periodic entering the IOC order with an orders, the Exchange would permit Auction Eligible Orders would not be instruction that it should not be Users to specify a minimum execution available for execution during an cancelled during a Periodic Auction. If quantity for their Periodic Auction Only ongoing Periodic Auction. As a result, entered in this manner, a Periodic Orders. A Periodic Auction Only Order displayed orders, which are Auction Eligible Order may trade entered with a minimum execution disseminated to the market and subject immediately on entry on the Continuous quantity would be executed in a to firm quote requirements under Rule Book, whether in full or in part, or may Periodic Auction only if the minimum 602(b)(2) of Regulation NMS,64 would alternatively participate in a Periodic size specified can be executed against not be able to be entered as Periodic Auction, subject to cancellation no later one or more contra-side Periodic Auction Eligible Orders. However, such than the end of any Periodic Auction Auction Orders. The Exchange offers a displayed orders could still participate Period. The Exchange does not Minimum Quantity Order on the in Periodic Auctions as Continuous anticipate the same use case for FOK Continuous Book today. The proposed Book Orders, and would receive orders, which contain an additional instruction that could be attached to a execution priority when executed in condition that requires the order to be Periodic Auction Only Order is similar that manner. executable in full, and would therefore to the current Minimum Quantity Order As discussed in the purpose section of restrict their ability to be entered as but would only permit the default the proposed rule change, the time-in- Periodic Auction Eligible Orders. handling of that order type, and would force included on a Periodic Auction The Exchange would also not accept not allow a member to alternatively Eligible Order would need to allow the Mid-Point Peg Orders entered as specify that the minimum quantity order to remain executable during the Periodic Auction Eligible Orders if the condition be satisfied by each course of a Periodic Auction. The Mid-Point Peg Order is entered with an individual contra-side order. Periodic Exchange has therefore proposed to: (1) instruction to not execute when the Auction Eligible Orders and Continuous Only allow IOC orders to be entered as NBBO is locked. If the Exchange Book Orders entered as Minimum Periodic Auction Eligible Orders if such permitted Mid-Point Peg Orders with Quantity Orders would be subject to a orders include an instruction not to this instruction to be entered as Periodic similar restriction. cancel the order during a Periodic Auction Eligible Orders, those orders In addition, in light of the fact that Auction Period; and (2) disallow FOK could initiate a Periodic Auction but market participants often value orders from being entered as Periodic would not be available for the auction’s midpoint executions, or may wish to Auction Orders. The Exchange believes eventual execution if the market receive executions at other prices based that both of these requirements are subsequently becomes locked at that on the applicable national best bid or consistent with just and equitable time. The Exchange believes that the offer (‘‘NBBO’’), the Exchange would principles of trade as they are designed proposed handling is consistent with also allow Users to enter a pegging to ensure that a Periodic Auction just and equitable principles of trade as instruction for such orders. Periodic Eligible Order, which as discussed the Exchange wishes to avoid the Auction Only Orders would therefore would be eligible for the initiation of a potential for such orders to initiate a accommodate instructions that the order Periodic Auction, would not be Periodic Auction that may ultimately is to be pegged to either the midpoint or prevented from participating in the not execute due to the inclusion of this same side of the market. As is the case eventual execution of such Periodic condition. Periodic Auction Eligible for orders entered for trading on the Auction due to a time-in-force that Orders are designed to initiate Periodic Continuous Book, Periodic Auction contemplates the order either being Auctions and may encourage other Only Orders entered with a primary peg executed or cancelled immediately on Users to enter orders that could instruction would be pegged to the entry. As discussed with respect to participate in the auction’s execution. NBBO, with or without an offset, Periodic Auction Only Orders, without As a result, the Exchange believes that provided that only aggressive offsets this requirement, a Periodic Auction such orders should reflect trading would be permitted given the fact that could be initiated even though the order interest that does not include Periodic Auctions would be restricted to responsible for initiating that auction, unnecessary conditions. Users that wish trading within the Protected NBBO and by its terms, would not be eligible to to use Mid-Point Peg Orders with this would not be eligible to trade at inferior participate at the end of the Periodic instruction would still be eligible to prices. Although the Exchange would Auction Period, which would participate in Periodic Auctions as not generally offer special order potentially be to the detriment both of Continuous Book Orders, which are able handling instructions for Periodic the User entering the order and any to participate in the eventual execution Auction Only Orders, the Exchange Users that submitted contra-side orders of a Periodic Auction, but would not believes that midpoint and primary peg to trade with it under the assumption initiate such auctions. instructions, as described, would allow that such interest was available. Similar to the proposed handling of Users to more accurately capture their Nevertheless, the Exchange believes Periodic Auction Only Orders, the trading intent, and may therefore that some Users may find it valuable to Exchange would allow Periodic Auction promote more active use of Periodic enter IOC orders as Periodic Auction Eligible Orders to be entered as Auctions as a means of sourcing Eligible Orders. Although such Users Minimum Quantity Orders, but would liquidity for such orders. may be looking for a speedy execution, only permit such orders to be entered With respect to Periodic Auction and would therefore generally prefer an with the default handling of that Eligible Orders, the Exchange would execution on entry, or not at all, they instruction. That is, Minimum Quantity allow Users to include an instruction on may be willing to wait 100 milliseconds Orders entered as Periodic Auction non-displayed orders entered to trade for a potential execution in a Periodic Eligible Orders would execute only if on the Continuous Book that would Auction, instead of having the order the minimum size specified can be allow such orders to initiate a Periodic cancelled immediately. The Exchange executed against one or more contra- Auction if executable against contra- would therefore allow Users to signal side Periodic Auction Orders or side Periodic Auction Orders. The their intent to trade in this manner by Continuous Book Orders. Although the Exchange would not allow Users to Exchange does offer an alternative enter displayed orders as Periodic 64 See 17 CFR 242.602(b)(2). instruction that permits the User to VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00130 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17242 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices request that the Exchange only execute Orders would remain on the Continuous trade against one or more contra-side the order against a single contra-side Book and subject to potential execution orders. As discussed, the Exchange order, such handling is designed during a Periodic Auction Period, but believes that this treatment is necessary primarily for use on the Continuous would be included in the final in order to offer a minimum quantity Book, and would complicate the determination of the Periodic Auction instruction in an auction that pools execution of Periodic Auctions.65 For Price, and participate in any resulting interest and executes such interest at a similar reasons, Minimum Quantity execution. Although the Exchange single price. Orders are excluded from the believes that a number of Users may The Exchange also believes that the Exchange’s opening process for wish to use Periodic Auction Orders proposed handling of Continuous Book securities traded pursuant to unlisted that are specifically designed for Orders entered as Reserve Orders is trading privileges. However, as participation in Periodic Auctions and consistent with the maintenance of a discussed, the Exchange believes that have the ability to initiate those fair and orderly market as it will ensure Users participating in Periodic Auctions auctions, the Exchange also believes a familiar and consistent experience for may value the ability to specify a that Periodic Auctions would be market participants that trade on the minimum quantity, and the Exchange valuable to Users that wish primarily to Exchange. Although Periodic Auction has therefore proposed to allow such trade on the Continuous Book but may Eligible Orders must be non-displayed functionality for Periodic Auction be able to secure an execution in a and therefore cannot be entered as a Eligible Orders so long as the User is Periodic Auction if possible. As a result, Reserve Order that, by rule, includes willing for those orders to be executed Continuous Book Orders would both a displayed portion and non- against one or more contra-side orders. generally be eligible to trade in Periodic displayed portion, the proposed The Exchange believes that this strikes Auctions at the end of the auction handling for Continuous Book Orders is the right balance between allowing process, except in the case of Minimum the same as the handling applied to the Users to ensure that they only trade in Quantity Orders entered with the Exchange’s opening process securities a Periodic Auction if their minimum alternative instruction that requires the traded pursuant to unlisted trading quantity criteria can be met, while minimum size specified to be satisfied privileges. Thus, similar to the excluding instructions that could by each individual contra-side order.66 treatment of Discretionary Orders, unnecessarily complicate the execution Such Continuous Book Orders would Pegged Orders, and Mid-Point Peg of Periodic Auctions. be subject to similar handling to Orders, detailing the proposed handling In addition, the Exchange would Periodic Auction Eligible Orders that of Reserve Orders would both increase specify handling for Discretionary may also trade on the Continuous Book operational transparency and ensure Orders, Pegged Orders, and Mid-Point in addition to Periodic Auctions, consistent and familiar treatment of Pegged Orders that are entered as including the same handling discussed similar orders on the Exchange. Periodic Auction Eligible Orders. above with respect to Discretionary Periodic Auctions would be initiated Including this information in the rule Orders, Pegged Orders, and Mid-Point throughout Regular Trading Hours when would increase transparency around the Peg Orders. The Exchange believes that Periodic Auction Orders entered by operation of the Exchange and ensure this handling is consistent with just and Users are executable against each other, that Users are properly informed about equitable principles of trade as it would thereby ensuring that the initiation of an how orders with these instructions ensure consistent treatment of similar auction is tied to demonstrated interest would be handled in Periodic Auctions. orders traded in Periodic Auctions. In from both buyers and sellers in the The same handling is currently applied addition, Continuous Book Orders that security. Once the Exchange has to the Exchange’s opening process for are entered as Minimum Quantity matched two or more Periodic Auction securities traded pursuant to unlisted Orders would be subject to similar but Orders in this manner, a Periodic trading privileges, and treating these not identical handling to Periodic Auction Period of 100 milliseconds orders in the same manner for purposes Auction Eligible Orders. Given the value would begin to allow orders from of Periodic Auctions would ensure a of Minimum Quantity Orders that additional market participants to consistent and familiar experience for include the alternative instruction that participate in the execution of the Periodic Auction. The fixed 100- market participants that enter such allows a User to specify that the millisecond auction length is based on orders on the Exchange. The Exchange minimum size specified be satisfied by the maximum auction duration used for therefore believes that these proposed each individual contra-side order, Users periodic auctions conducted by Cboe rules are consistent the maintenance of would continue to be able to use this Europe today.67 Based on the a fair and orderly market. instruction for trading on the The Exchange also believes that it is Exchange’s affiliates experience Continuous Book. However, such consistent with just and equitable operating auctions for the trading of orders, which would not be permitted to principles of trade to allow Continuous European equities, the Exchange be entered as Periodic Auction Orders, Book Orders, i.e., orders that are not believes that the proposed auction would similarly not be able to entered as either Periodic Auction Only length would facilitate the prompt participate in Periodic Auctions as Orders or Periodic Auction Eligible processing and execution of Periodic Continuous Book Orders. Users that Orders, to participate in any Periodic Auctions, while continuing to provide wish to include a minimum quantity on Auction that results in an execution. time for interested market participants their orders could participate in Although Continuous Book Orders to enter orders to participate in the Periodic Auctions as either Periodic would not initiate a Periodic Auction, auction. such orders would be eligible to Auction Only Orders, Periodic Auction To facilitate the pooling of Periodic participate in the resulting execution, Eligible Orders, or Continuous Book Auction Orders during this period, the thereby facilitating additional liquidity Orders, provided that for each of these for those orders without disrupting their order types, the order must be willing to 67 Cboe Europe randomizes the length of the ability to trade normally during the auction rather than its dissemination of the auction 66 As discussed in the following paragraph, such message. As a result, periodic auctions conducted course of the auction. Continuous Book orders are not compatible with Periodic Auctions, by Cboe Europe would be for a maximum duration and therefore would not participate in the of 100 milliseconds, but could also be for a shorter 65 See BYX Rule 11.23(a)(2). execution of such auctions. duration. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00131 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17243 Exchange would publish information formation function of these auctions, the priority. Although the Exchange is about the auction, including (1) an Exchange would use logic for pricing proposing to introduce Periodic indicative Periodic Auction Book Price Periodic Auctions that largely mirrors Auctions to incentivize additional that reflects price at which the Periodic the logic used by its affiliate, BZX, for liquidity, the Exchange believes that it Auction could be executed, counting opening and closing auctions in that is important to continue to encourage only Periodic Auction Orders and exchange’s listed securities.68 the entry of displayed orders on the excluding Continuous Book Orders that Specifically, the Exchange would seek Continuous Book. Displayed orders may be subject to execution prior to the to execute Periodic Auctions at a price entered in the public market contribute end of the Periodic Auction Period; and that maximizes the number of shares to price formation, and are used as a (2) the total number of shares of that can trade in the auction, subject to reference price for the execution of Periodic Auction Orders that are specified price collars that would limit orders on other venues. As a result, the matched at the Periodic Auction Book executions at prices that are not Exchange’s proposal to introduce Price. This information would be first reasonably related to the price of the Periodic Auctions is designed to published beginning at a randomized security established by the market. The continue to encourage the entry of time in one millisecond intervals, and applicable price collars would also be displayed orders that would both trade would be refreshed in five millisecond based on the auction collars used for on the Continuous Book and intervals thereafter as additional orders BZX opening and closing auctions, simultaneously benefit from priority are entered or cancelled, or other except that trading would be further when executed in a Periodic Auction. changes to market conditions are made limited by applicable LULD Price Bands Second, after Continuous Book Orders that could impact the Periodic Auction and the Protected NBBO, as required displayed on the Continuous Book have Book Price. The Exchange believes that pursuant to applicable regulatory been executed, Periodic Auction Orders it is consistent with the protection of requirements.69 That is, the auction would be executed in size/time priority. investors and the public interest to collars would generally be the same as As previously noted, the Exchange publish this information as it may those used for BZX auctions, but could believes that Periodic Auctions may be inform potential trading in periodic be narrowed by applicable regulatory valuable for investors that are seeking auctions and encourage additional order requirements. liquidity in size. As a result, the priority flow to be entered to participate in such Finally, the price calculation would methodology employed by the Exchange auctions. The Exchange also believes be subject to tie-breakers that are for Periodic Auction Orders would that sending out the initial consistent with those used for BZX preference larger orders, which the dissemination at a randomized time opening and closing auctions in Exchange believes may contribute to after Periodic Auction Orders have been situations where there is a volume- greater depth in Periodic Auctions. In matched would facilitate the operation based tie at multiple price levels. These turn, the liquidity provided by these of a fair and orderly market. This tie-breakers would help ensure the larger orders would contribute to the handling would allow additional selection of a meaningful Periodic execution of smaller orders that may Periodic Auction Orders received Auction Price by selecting the price that also participate in Periodic Auctions, during this interim period to be pooled would minimize the potential thereby facilitating the execution of all in the initial dissemination of auction imbalance between supply and demand, orders, both large and small, that seek information. In addition, since market and then favoring prices closer to a liquidity in such auctions, and participants would not know how much Volume Based Tie Breaker that is furthering execution opportunities for time is left in the Periodic Auction generally the midpoint of the NBBO. In investors that trade on the Exchange. Period, firms would be incentivized to sum, the proposed calculation of the Finally, non-displayed Continuous respond quickly with Periodic Auction Periodic Auction Price would allow the Book Orders would be executed last in Orders to participate in the Periodic Exchange to appropriately balance priority. Unlike displayed orders Auction, rather than potentially waiting supply and demand in Periodic entered on the Continuous Book, or until the end of the auction, which may Auctions and facilitate robust price Periodic Auction Orders that contribute reduce the value of the information formation similar to opening and to important pricing information proposed to be disseminated to closing auctions. disseminated to market participants investors and may impact price After the Exchange determines the during the course of a Periodic Auction, discovery. Periodic Auction Price, any Periodic non-displayed orders entered on the Once the 100 millisecond Periodic Auction Orders or Continuous Book Continuous Book do not contribute to 70 Auction Period has ended, the Exchange Orders that are eligible for execution at pre-execution price formation. As a would calculate the execution price of that price would be executed based on result, while these orders would be the auction, i.e., the Periodic Auction a special allocation methodology eligible to trade in Periodic Auctions, Price, and execute Periodic Auction designed for use in Periodic Auctions. where they may benefit from additional Orders and Continuous Book Orders First, in order to continue to incentivize execution opportunities, they would be that are eligible to trade at that price. the entry of displayed orders on the subject to the lowest priority among The Exchange believes that the Exchange, Continuous Book Orders that Periodic Auction Orders and proposed methodology for determining are displayed on the Continuous Book Continuous Book Orders. In addition, the Periodic Auction Price is consistent would be executed first in price/time since these orders are not specifically with just and equitable principles of seeking liquidity in Periodic Auctions, trade. Generally, the proposed 68 See BZX Rules 11.23(b)(2)(B), (c)(2)(B). and would participate in Periodic 69 methodology for calculating the As discussed in the purpose section of this Auctions solely as an additional source proposed rule change, both the requirements of the of liquidity, priority within this band Periodic Auction Price is designed to LULD Plan and the Order Protection Rule apply to allow Periodic Auctions to facilitate transactions executed during Regular Trading would be determined based on the price discovery while maintaining Hours. Although opening and closing auctions are generally exempt from these requirements, there are 70 Non-displayed orders would contribute to price important investor protections and currently no exemptions that would apply to formation at the end of a Periodic Auction as they assuring compliance with applicable Periodic Auctions that perform a similar role in would be considered in the determination of the regulations. Given the important price facilitating price discovery. Periodic Auction Price. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00132 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17244 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices normal execution priority afforded to would add additional transparency c. Benefits for Thinly-Traded Securities such orders on the Continuous Book. around the operation of the Exchange. As mentioned in the purpose section The Exchange believes that this Finally, the Exchange believes that of this proposed rule change, the approach is consistent with just and the proposed language being codified in Exchange believes that its proposed equitable principles of trade as it would the Interpretations and Policies to the introduction of Periodic Auctions is ensure that non-displayed Continuous proposed rule is consistent with the responsive to the Statement that the Book Orders receive the priority that Exchange Act and the rules and Commission issued in October 2019 to they would normally be afforded for regulations adopted thereunder. As address market quality concerns in executions on the Continuous Book. thinly-traded securities.74 Specifically, Similar to the Exchange’s opening proposed, these rules would include the Periodic Auction proposal is process for securities traded pursuant to language that identifies how Periodic designed to improve liquidity and price unlisted trading privileges,71 all Match Auctions would be conducted during a formation in thinly-traded and other Trade Prevention modifiers, as defined crossed market, and consistent with securities that suffer from diminished in BYX Rule 11.9(f), would be ignored applicable regulatory requirements market quality, while also allowing the as it relates to executions occurring related to handling of trading halts and Exchange to better compete with off- during a Periodic Auction. The Regulation SHO. Such rules would also exchange venues that currently offer Exchange’s Match Trade Prevention describe appropriate standards of modifiers are designed to allow Users to member conduct, consistent with the features that investors may find better manage order flow and prevent Exchange’s obligations under the Act to beneficial for sourcing liquidity when certain undesirable executions on the regulate and surveil its market. The displayed liquidity in the public Continuous Book. However, this proposed rules included in markets is more scarce. Cboe offered its functionality would complicate the Interpretations and Policies .01–.03 thoughts in response to the Statement in processing of Periodic Auctions, where would ensure that: (1) Periodic Auctions a comment letter submitted to the orders are pooled together and executed do not take place when their execution Commission on December 20, 2019. As at a price that balances supply and may be complicated by the existence of stated in that comment letter, Cboe believes that innovation by national demand in the auction. As a result, the a crossed market that could interfere securities exchanges, rather than Exchange believes that ignoring Match with the auction’s price discovery potentially harmful regulatory changes Trade Prevention modifiers in Periodic function, or when such execution would that favor a limited segment of the Auctions, similar to the handling not be permissible due to a trading halt market, is what is ultimately needed to currently used by the Exchange for its in a security; 73 and (2) when the 72 facilitate better market quality in thinly- opening process, is consistent with the security is in a short sale circuit breaker, maintenance of a fair and orderly traded securities. The Exchange believes short sale orders that are not marked that Periodic Auctions, as designed, are market in securities traded in such ‘‘short exempt’’ would either be re- Periodic Auctions. such an innovation, and would address priced to a Permissible Price pursuant to the three main difficulties that market The Exchange also believes that it is BYX Rule 11.9(g)(5), i.e., in the case of consistent with the maintenance of a participants currently face in trading Periodic Auction Eligible Orders and fair and orderly market to cancel a thinly traded securities: (1) Sourcing Continuous Book Orders, or subject to Periodic Auction that cannot be liquidity, (2) the availability of price rejection or cancellation, i.e., in the case completed after a specified number of improvement opportunities, and (3) the attempts communicated to members. As of Periodic Auction Only Orders, in potential for significant market impact discussed in the purpose section of this each instance to ensure that the in securities that are less liquid and proposed rule change, there may be rare execution or display of such short sale trade infrequently. circumstances where the inclusion of a orders is consistent with the First, Periodic Auctions would assist minimum execution quantity on one or requirements of Rule 201 of Regulation investors in sourcing liquidity in the more Periodic Auction Orders and/or SHO. Further, the proposed rules public markets by establishing Continuous Book Orders may result in included in Interpretations and Policies meaningful liquidity events outside of the Exchange being unable to process a .04 would provide additional guidance the opening and closing auctions Periodic Auction in a timely manner. To to Users with respect to conduct that conducted by the primary listing prevent potential capacity and/or would be considered inconsistent with exchanges. As proposed, Periodic performance issues that may impact just and equitable principles of trade. Auctions would pool available interest both the execution of the auction, as The Exchange intends to conduct from market participants and execute well as trading on Continuous Book, the appropriate surveillance of its members those orders in price forming auctions Exchange would cancel the auction after to ensure that their participation in conducted at multiple points in time a specified number of attempts, as Periodic Auctions is done in a manner during the course of the trading day determined by the Exchange, rather than that is consistent with such rules. As a when there are matching Periodic continuing to attempt to complete the result, these rules would ensure that Auctions to buy and sell. The Exchange auction ad infinitum when there may be orders in Periodic Auctions would be therefore believes that Periodic no possibility for eventual execution, processed in a manner that is consistent Auctions would help investors to source and no guarantee that such execution with applicable regulatory obligations liquidity, including block-size liquidity, could be determined and processed in a and the maintenance of a fair and that may be unavailable through timely fashion. While the Exchange orderly market in securities traded on continuous trading on a traditional limit believes that these situations are likely the Exchange. order book. In addition, the Exchange to be infrequent, the proposed handling has taken steps to encourage greater would serve to eliminate certain 73 Although Rule 611(b)(4) of Regulation NMS liquidity in Periodic Auctions, potential performance issues, and provides an exception from the trade-through including prioritizing Periodic Auction including this language in the rule requirements of that rule for situations where a Orders based on size, establishing protected bid is crossed with a protected offer, the Exchange believes that market participants may not minimum size requirements for auction 71 See BYX Rule 11.23(b). desire an execution in a Periodic Auction during 72 See BYX Rule 11.23(b). periods when the market is crossed. 74 See supra note 13. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00133 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17245 participation, and supporting minimum change, the Order Protection Rule Auction Orders, including both Periodic execution size instructions in the applies to transactions executed during Auction Only Orders that trade solely in auction. These features, in combination Regular Trading Hours. Although Periodic Auctions and Periodic Auction with other features that are designed to opening and closing auctions are Eligible Orders that may also trade on encourage participation in Periodic generally exempt from these the Continuous Book, would at all times Auctions generally, may increase requirements,75 there are currently no be non-displayed, and therefore would needed liquidity in thinly-traded exceptions that would apply to Periodic not trigger the firm quote requirements securities. Auctions that perform a similar role in of the Quote Rule. That is, there would Second, Periodic Auctions are facilitating price discovery. The be no ‘‘published bid’’ or ‘‘published designed to balance supply and demand Exchange would therefore not execute offer’’ displayed to market participants and execute available interest at a single Periodic Auctions at prices that are that would be required to be ‘‘firm’’ market clearing price that would benefit inconsistent with the requirements of under the Quote Rule. both buyers and sellers by providing that rule. Generally, the Order Similarly, the introduction of Periodic potential price improvement Protection Rule requires trading centers Auctions alongside trading on the opportunities. This price formation to establish, maintain, and enforce Continuous Book would not result in process is broadly beneficial, but would written policies and procedures that are violations of the Quote Rule. The also be particularly beneficial in thinly- reasonably designed to prevent trade- Exchange would not halt or otherwise traded securities where spreads are throughs on that trading center of suspend trading on the Continuous typically wider and executing protected quotations in NMS stocks, Book while conducting a Periodic transactions at a market clearing price unless an exception applies. A ‘‘trade- Auction. As a result, Continuous Book within the spread would allow for through’’ is defined in Rule 600(b)(81) Orders entered to trade with the meaningful price improvement of Regulation NMS as the purchase or Exchange’s published quotation would opportunities for investors that may sale of an NMS stock during regular continue to be able to do so in the same otherwise have to seek those trading hours, either as principal or manner that they do today, opportunities in the off-exchange agent, at a price that is lower than a notwithstanding the introduction of market. Based on Cboe Europe’s protected bid or higher than a protected Periodic Auctions to be conducted experience in operating periodic offer. The proposed auction collars throughout the course of the trading auctions for the European equities would be applied at the time of day. The Exchange has designed its market, the Exchange believes that execution, and would therefore prevent system for trading Periodic Auctions to Periodic Auctions may facilitate trades from occurring at prices that minimize unnecessary latency, and significant price improvement, would constitute a trade-through at the therefore does not believe that the including midpoint executions, which time the Periodic Auction is processed, introduction of Periodic Auctions as discussed account for about 85% of consistent with the requirements of the would impair the ability of the value traded in Cboe Europe’s periodic Order Protection Rule. Exchange to execute incoming orders auctions. Similarly, with respect to compliance entered on the Continuous Book against Third, Periodic Auctions are designed with the LULD Plan, the Exchange’s its published bids or offers. The to minimize the risk of market impact of proposed auction collars would also Exchange will continue to monitor transacting in thinly-traded securities by limit trades to prices that are within the system performance and latency after providing a mechanism that allows LULD Price Bands established pursuant the introduction of Periodic Auctions to market participants to trade, potentially to that national market system plan. As ensure that it is able to process both in size, without the information leakage is the case with the Exchange’s Periodic Auctions and Continuous Book that may otherwise be associated with utilization of the Protected NBBO in Orders efficiently and without undue displaying orders to trade on a setting applicable auction collars, the latency. traditional limit order book. The LULD Price Bands would be used as an In addition, the Exchange would Exchange believes that this may additional collar on Periodic Auctions, continue to handle events processed by encourage additional participation in and would ensure that all transactions the matching engine in sequence, and a Periodic Auctions as market that result from a Periodic Auction Continuous Book Order that is included participants can avoid publicly showing would be executed within the in the Exchange’s published bid or offer their trading interest similar to their applicable LULD Price Bands at the time would trade with incoming Continuous ability to do so in various off-exchange the Periodic Auction is processed. The Book Orders unless the Periodic markets that currently trade significant Exchange would not execute Periodic Auction is processed prior to the volume in thinly-traded securities. Auctions at prices that are inconsistent matching engine’s receipt of the with the LULD Plan. incoming Continuous Book Order. Such d. Compliance With Other Regulatory The Exchange also believes that the executions would not run afoul of the Requirements proposed rule change is consistent with firm quote requirements of the Quote As discussed in more detail below, the Quote Rule. Generally, the firm Rule as Rule 602(b)(3) of Regulation the Exchange also believes that the quote provisions of the Quote Rule NMS contains an explicit exemption proposed rule change is consistent with require each responsible broker or from these requirements for broker- other regulatory requirements, including dealer to execute an order presented to dealers that are in the process of the Order Protection Rule, the LULD it, other than an odd lot order, at a price effecting a transaction in that security at Plan, and Rule 602 of Regulation NMS at least as favorable as its published bid the time the incoming order is (i.e., the ‘‘Quote Rule’’). or published offer, in any amount up to ‘‘presented’’ to the broker-dealer for First, with respect to compliance with its published quotation size. Periodic potential execution. the Order Protection Rule, the Finally, the Exchange’s published Exchange’s proposed auction collars 75 Rule 611(b)(3) of Regulation NMS provides an quotations would continue to be would, as previously discussed, limit exception to the requirements of the Order considered ‘‘automated quotations’’ as Protection Rule where the transaction that trades to prices that are within the constituted the trade-through was a single-priced defined in Rule 600(b)(4) of Regulation Protected NBBO. As discussed in the opening, reopening, or closing transaction by the NMS. As discussed with respect to purpose section of this proposed rule trading center. compliance with the Quote Rule, the VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00134 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17246 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices Exchange has designed its system for thereunder. Generally, Section 11(a)(1) for handling Periodic Auctions would trading Periodic Auctions to minimize of the Act restricts any member of a receive orders from members unnecessary latency, and therefore does national securities exchange from electronically through remote terminals not believe that the introduction of effecting any transaction on such or computer-to-computer interfaces, the Periodic Auctions would impair the exchange for (i) the member’s own Exchange believes that orders submitted ability of the Exchange to execute account, (ii) the account of a person to a Periodic Auction electronically incoming orders entered on the associated with the member, or (iii) an would satisfy the off-floor transmission Continuous Book against its published account with respect to which the requirement. bids or offers. In this regard, the member or a person associated with the The second condition of Rule 11a2– Exchange represents that any additional member exercises investment discretion 2(T) requires that neither a member nor latency on the Continuous Book that (collectively referred to as ‘‘covered an associated person of such member may result from the proposed accounts’’), unless a specific exemption participate in the execution of its order. introduction of Periodic Auctions is available. Rule 11a2–2(T) under the This requirement was originally would not be material from the Act,79 known as the ‘‘effect versus intended to prevent members from perspective of compliance with the execute’’ rule, provides exchange using their own brokers on an exchange Order Protection Rule. Under members with an exemption from the floor to influence or guide the execution Regulation NMS, an ‘‘automated’’ Section 11(a)(1) prohibition. of their orders.82 The Exchange quotation is one that, among other The ‘‘Effect vs. Execute’’ exemption represents that Periodic Auctions would things, can be executed ‘‘immediately permits an exchange member, subject to be executed automatically pursuant to and automatically’’ against an incoming certain conditions, to effect transactions the rules set forth in Proposed Rule immediate-or-cancel order. Although for covered accounts by arranging for an 11.25, which would govern the the Commission’s recent guidance unaffiliated member to execute operation of Periodic Auctions. related to automated quotations has transactions on the exchange. To Although the Exchange would focused on the introduction of comply with Rule 11a2–2(T)’s disseminate Periodic Auction Messages intentional delay mechanisms or ‘‘speed conditions, a member: (i) Must transmit during the Periodic Auction Period and bumps,’’ 76 which present different and the order from off the exchange floor; members would generally be permitted more complex issues under Regulation (ii) may not participate in the execution to modify and/or cancel their orders NMS, the Exchange believes that its of the transaction once it has been during the auction process, the proposed implementation of Periodic transmitted to the member performing execution of a member’s orders in a Auctions would not frustrate the the execution; 80 (iii) may not be Periodic Auction would depend not on purposes of the Order Protection Rule affiliated with the executing member; the member entering the order, but by ‘‘impairing fair and efficient access’’ and (iv) with respect to an account over rather on what other orders are present, to the Exchange’s quotations. In this which the member has investment the priority of those orders, and the regard, the Exchange notes that it has discretion, neither the member nor its remaining duration of any Periodic engaged in substantial testing of its associated person may retain any Auction in the security. Specifically, the Periodic Auction product and, based on compensation in connection with Periodic Auction Price at which orders that testing, believes that any additional effecting the transaction except as would be executed in a Periodic latency that may be experienced on the provided in the rule. For the reasons set Auction would be established at the end Continuous Book as a result of the forth below, the Exchange believes that of the 100 millisecond Periodic Auction introduction of its Periodic Auction members entering orders into Periodic Period based on objective rules that product would be minimal and de minis Auctions would satisfy the requirements balance supply and demand in the [sic] from the perspective of the Order of Rule 11a2–2(T), and that the proposal auction pursuant to Proposed Rule Protection Rule.77 is therefore consistent with Section 11.25(d), and the priority of any orders 11(a) of the Act and the rules e. Compliance With Section 11(a) of the executed at the Periodic Auction Price thereunder. would be determined based on the Exchange Act The first condition of Rule 11a2–2(T) criteria established in Proposed Rule is that orders for covered accounts be The proposed rule change is also 11.25(e), which defines the priority of transmitted from off the exchange floor. consistent with Section 11(a)(1) of the orders executed in such auctions. Thus, 78 The Exchange’s system, including the Act and the rules promulgated at no time following the submission of proposed system for processing Periodic an order is a member or associated 76 See Securities Exchange Act Release No. 78102 Auctions pursuant Proposed Rule 11.25, person of such member able to acquire (June 17, 2016), 81 FR 40785 (June 23, 2017) (File would continue to receive orders control or influence over the result or No. S7–03–16) (‘‘Commission Interpretation’’). electronically through remote terminals 77 Although the Commission refused to timing of order execution, which would or computer-to-computer interfaces. In enumerate a numeric latency threshold for an instead be conducted pursuant to the context of other automated trading intentional delay that is sufficiently de minimis for Proposed Rules 11.25(d)–(e), as the purposes of the Order Protection Rule, the Staff systems, the Commission has found that described, based on the Periodic of the Division of Trading and Markets has issued the off-floor transmission requirement is guidance stating the Staff’s belief that delays of less Auction Orders and Continuous Book met if an order for a covered account is than one millisecond would qualify as de minimis. Orders available to participate in the transmitted from a remote location See Staff Guidance on Automated Quotations under execution of the auction.83 Once an Regulation NMS (June 17, 2016), available at directly to an exchange by electronic https://www.sec.gov/divisions/marketreg/ means.81 Because the Exchange’s system automated-quotations-under-regulation-nms.htm. 11542 (March 17, 1978) (‘‘1978 Release’’); see also While the Exchange’s proposal would not introduce Securities Exchange Act Release No. 88806 (May 4, an intentional delay, the Exchange’s testing account over which it or its associated person 2020), 85 FR 27451 (May 8, 2020) (order approving indicates that any additional latency that may result exercises discretion unless an exception applies. MEMX LLC’s exchange registration); 85828 (May from the proposed introduction of Periodic 79 17 CFR 240.11a2–2(T). 10, 2019), 84 FR 21841 (May 15, 2019) (order Auctions would be well within this threshold. 80 The member may, however, participate in approving the Long-Term Stock Exchange, Inc.’s 78 15 U.S.C. 78k(a). Section 11(a)(1) prohibits a clearing and settling the transaction. exchange registration). member of a national securities exchange from 81 See Securities Exchange Act Release No. 15533 82 Id. (‘‘1978 Release’’). effecting transactions on that exchange for its own (January 29, 1979), 44 FR 6084 (January 31, 1979) 83 Users may modify and/or cancel their Periodic account, the account of an associated person, or an (‘‘1979 Release’’); 14563 (March 14, 1978), 43 FR Auction Orders at any time unless the User has VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00135 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17247 order has been transmitted, the member recognizes that members relying on Rule quality in thinly-traded and other that transmitted the order will not 11a2–2(T) for transactions effected securities. participate in its eventual execution. through a Periodic Auction must The introduction of Periodic Auctions The third condition of Rule 11a2–2(T) comply with this condition of the Rule, is designed to improve execution requires that the order be executed by and the Exchange will enforce this quality for investors sourcing liquidity an exchange member who is unaffiliated requirement pursuant to its obligations during the trading day, and, in with the member initiating the order. under Section 6(b)(1) of the Act to particular, those that are looking to The Commission has recognized that the enforce compliance with federal trade in size, or are looking to access requirement is satisfied when securities laws. liquidity in thinly-traded or other automated exchange facilities are used, securities where liquidity may be more as long as the design of these systems f. Conclusion scarce. Providing an additional ensures that members do not possess In conclusion, the Exchange believes mechanism for price forming orders to any special or unique trading that the proposed rule change would be executed would promote competition advantages in handling their orders after enhance the experience of investors between venues that seek to execute this transmitting them to the exchange.84 looking to access liquidity in the public order flow, and provide market The Exchange represents that the market and fill an important role in the participants and investors with greater Periodic Auctions are designed such U.S. equities market where liquidity choice with respect to how they choose that no member has any special or may be more limited outside of the open to source liquidity. The equities unique trading advantage in the and close of trading. By introducing a industry is fiercely competitive as the handling of any orders that are price forming auction for the Exchange must compete with other processed in Periodic Auctions after aggregation and execution of buy and equities exchanges and off-exchange transmitting such orders to the sell orders intraday, Periodic Auctions venues for order flow. The proposal is Exchange. would increase execution opportunities both evidence of this competition, and Finally, the fourth condition of Rule available to investors. In turn, Periodic would further enable the Exchange to 11a2–2(T) requires that, in the case of a Auctions may improve trading compete effectively in this market. transaction effected for an account with outcomes for market participants that III. Discussion and Commission respect to which the initiating member have trouble sourcing liquidity in the or an associated person thereof exercises Findings public markets today, including in investment discretion, neither the thinly-traded securities where liquidity After careful review of the proposal initiating member nor any associated is often limited and trading often occurs and the comments, the Commission person thereof may retain any on a number of off-exchange venues that finds that the Exchange’s proposal is compensation in connection with can offer reduced market impact. As consistent with the requirements of the effecting the transaction, unless the such, the Exchange believes that the Exchange Act and the rules and person authorized to transact business proposed rule change would remove regulations thereunder applicable to a for the account has expressly provided 86 impediments to and perfect the national securities exchange. In otherwise by written contract referring mechanism of a free and open market. particular, the Commission finds that to Section 11(a) of the Act and Rule the proposed rule change is consistent 11a2–2(T) thereunder.85 The Exchange B. Self-Regulatory Organization’s Statement on Burden on Competition 86 In approving this proposed rule change, the elected to use the proposed ‘‘lock-in’’ feature. See Commission has considered the proposed rule’s Proposed Rule 11.25(b). The Commission has stated The Exchange does not believe that impact on efficiency, competition, and capital that the non-participation requirement does not the proposed rule change would impose formation. See 15 U.S.C. 78c(f). One commenter preclude members from cancelling or modifying any burden on competition that is not asserts that exchange operators creating new orders, or from modifying instructions for executing matching protocols and order types on exchanges orders, after they have been transmitted so long as necessary or appropriate in furtherance with little trading volume forces market such modifications or cancellations are also of the purposes of the Act. Rather, the participants ‘‘to do their own subjective analysis to transmitted from off the floor. See Securities proposed rule change is designed to understand how these methods will affect the Exchange Act Release No. 14563 (March 14, 1978), increase competition by introducing an overall market’’ and that it involves a ‘‘painstaking 43 FR 11542, 11547 (the ‘‘1978 Release’’). assessment of every order type across each 84 In considering the operation of automated additional mechanism for equities exchange that only the most sophisticated execution systems operated by an exchange, the market participants to seek liquidity participants can master.’’ Letter from Joanna Commission noted that, while there is not an during the course of the trading day. Mallers, Secretary, FIA Principal Traders Group, to independent executing exchange member, the Indeed, the proposed introduction of Vanessa Countryman, Secretary, Commission, dated execution of an order is automatic once it has been August 25, 2020 (‘‘FIA PTG Letter’’) at 2. The transmitted into the system. Because the design of Periodic Auctions is a pro-competitive Commission does not believe that exchanges should these systems ensures that members do not possess means of addressing the concerns that be held to different standards for introducing new any special or unique trading advantages in the Commission expressed in its functionality based on their trading volume. The handling their orders after transmitting them to the Statement on thinly-traded securities. Commission has consistently encouraged trading exchange, the Commission has stated that centers to innovate and compete for order flow, executions obtained through these systems satisfy The proposal, which seeks to introduce consistent with the objectives of Section 11A of the the independent execution requirement of Rule innovative functionality on a non- Exchange Act, to assure fair competition among 11a2–2(T). See 1979 Release. primary listing exchange, would allow brokers and dealers, among exchange markets and 85 See 17 CFR 240.11a2–2(T)(a)(2)(iv). In addition, competition, rather than regulatory between exchange markets and markets other than Rule 11a2–2(T)(d) requires a member or associated exchange markets. For example, in amending Rule person authorized by written contract to retain intervention designed to limit 606(b)(3) of Regulation NMS, the Commission compensation, in connection with effecting competition (e.g., through the stated that the modified rule could affect transactions for covered accounts over which such suspension or termination of unlisted competition among trading centers. The member or associated persons thereof exercises trading privileges), to improve market Commission stated: ‘‘If broker-dealers change their investment discretion, to furnish at least annually order routing decisions to focus more on execution to the person authorized to transact business for the quality and route fewer orders to a given trading account a statement setting forth the total amount rendered to effect such transactions. See also 1978 center, that trading center will have an incentive to of compensation retained by the member in Release, at 11548 (stating ‘‘[t]he contractual and take measures to attract and gain back order flow connection with effecting transactions for the disclosure requirements are designed to assure that by innovating on execution quality.’’ Securities account during the period covered by the statement accounts electing to permit transaction-related Exchange Act Release No. 84528 (November 2, which amount must be exclusive of all amounts compensation do so only after deciding that such 2018), 83 FR 58338, 58400 (November 19, 2018) paid to others during that period for services arrangements are suitable to their interests’’). (S7–14–16). VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00136 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17248 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices with Section 6(b)(5) of the Exchange open and market close.90 The Exchange notes that participation in the Periodic Act,87 which requires, among other is proposing to add Periodic Auctions to Auctions is not required by the things, that the rules of a national continuous trading in an attempt to Exchange and that costs related to securities exchange be designed to attract intra-day trading liquidity. participation in or assessment of the prevent fraudulent and manipulative Two commenters support the Periodic Auctions would be determined acts and practices, to promote just and innovation of the proposal and its by market participants. The Exchange equitable principles of trade, to remove potential benefits to the national market asserts, in response to the commenter, impediments to and perfect the system.91 Commenters also raise some that its proposal will enhance market mechanism of a free and open market concerns and offer suggestions regarding quality by encouraging market and a national market system and, in the proposal. One commenter participants to post orders on its general, to protect investors and the characterizes Periodic Auctions as a Continuous Book because Periodic public interest. As outlined below, the new mechanism for non-displayed Auctions will: (1) Increase execution Commission has carefully reviewed the transactions and raises a concern that opportunities for such orders; and (2) proposed rule change, comments Periodic Auctions would encourage 92 provide an opportunity for such orders received, and BYX’s response to non-displayed trading. The to receive price improvement beyond commenter also states that market comments to arrive at these findings. their posted prices when executed in a structure considerations, including the In the current market structure for Periodic Auction.96 In addition, the mechanics of matching trades, are trading NMS stocks, there are multiple Exchange states that it has already complex and that a seemingly small competing trading centers for the conducted rigorous testing (discussed change in market structure can result in display and execution of orders. 97 significant negative and often below) and that, prior to Congress has found that it is in the implementing Periodic Auctions, it will public interest and appropriate for the unintended consequences and costs. From this general proposition, the conduct more testing of the proposed protection of investors and the functionality. This additional testing maintenance of fair and orderly markets commenter concludes that Periodic Auctions could cause wider bid-ask will include: (1) Unit testing by the to assure, among other things, the spreads 93 and decreased posted size.94 development team and system-wide economically efficient execution of The Commission notes that while integration testing by an independent securities transactions, the availability auction orders are not displayed, quality assurance team, both of which to brokers, dealers, and investors of information about auctions is will be incorporated into the Exchange’s information with respect to quotations disseminated to the marketplace, automated test framework; (2) at least for and transactions in securities, and including transaction information. In two weeks of internal testing in the the practicability of brokers executing addition, the Periodic Auction Book Exchange’s certification environment investors’ orders in the best market.88 Price and the total number of shares of using an automated system to generate In the U.S. equity market structure, Periodic Auction Orders that are and send orders as well as manual auctions are a fundamental form of price matched at the Periodic Auction Book testing by the Exchange’s trade desk; discovery mechanism, in which orders Price would be disseminated and trades and (3) at least four weeks of customer to buy and sell are matched at a single would be reported. Although the testing in the certification executing price. Traditionally, the U.S. commenter states that trading system environment.98 The Exchange states that markets open and close with an auction, changes can result in increased costs to its certification environment will and trading throughout the day is market participants,95 the Commission remain available alongside the conducted via continuous trading. production release of Periodic Auctions Consistent with Section 11A of the 90 See Securities Exchange Act Release No. 87327, for members that want to test Periodic Exchange Act, the Commission has supra note 13, 84 FR at 56957, n.15 and Auction functionality in that encouraged and welcomed beneficial accompanying text. environment following its initial 91 See letter from Ellen Greene, Managing innovations in the marketplace by 99 Director, Equities & Options Market Structure, rollout. The Commission believes that 89 market participants. In considering Securities Industry and Financial Markets this testing may allow the Exchange and market structure innovations that may Association, to Vanessa Countryman, Secretary, members to identify negative provide benefits to thinly traded Commission, dated December 17, 2020 (‘‘SIFMA Letter’’) at 1; letter from Joe Wald and Ray Ross, unintended consequences resulting securities, the Commission noted that Managing Directors and Co-Heads of Electronic from Periodic Auctions. More generally, some suggested that an exchange Trading, BMO Capital Markets Group, to Vanessa the Commission believes that market implement periodic intraday auctions as Countryman, Secretary, Commission, dated innovations may create new December 22, 2020 (‘‘BMO Letter’’) at 1. a means of concentrating liquidity at opportunities for investors and have the times other than solely at the market 92 See FIA PTG Letter, supra note 86, at 1. 93 Another commenter states that it is difficult to potential to benefit the market overall. predict whether Periodic Auctions would increase Given the anticipated enhancements to 87 15 U.S.C. 78f(b)(5). liquidity. See SIFMA Letter, supra note 91, at 2. price discovery and opportunities for 88 See Section 11A(a)(1)(C) of the Exchange Act, This commenter had previously submitted a letter price improvement that Periodic 15 U.S.C. 78k(a)(1)(C). stating that it might comment on the substance of 89 See Securities Exchange Act Release Nos. the proposal after reviewing the Exchange’s FAQs Auctions may provide, the Commission 61358 (January 14, 2010) (Concept Release on about the operation of the Periodic Auction. See finds the Exchange’s proposal is Equity Market Structure) (‘‘Moreover, to the extent letter from Ellen Greene, Managing Director, consistent with the Exchange Act. that a competitive advantage flows from these Equities & Options Market Structure, Securities [highly sophisticated trading tools], does that Industry and Financial Markets Association, to One commenter asks whether there competitive advantage help to promote and enable Vanessa Countryman, Secretary, Commission, dated would be any impact on price discovery competition, beneficial innovation, and ultimately, August 28, 2020. The Exchange did post FAQs on enhanced market quality?’’) and 83663 (July 18, its website and the commenter submitted its second 96 2018) (Regulation of NMS Stock Alternative comment letter. See letter from Adrian Griffiths, Assistant Trading Systems) (‘‘Regulation ATS was designed 94 See FIA PTG Letter, supra note 86, at 2. General Counsel, Exchange, to Vanessa to encourage innovation and provide enough Therefore, the commenter suggests that it is Countryman, Secretary, Commission, dated flexibility to accommodate the business objectives necessary to conduct a comprehensive and February 4, 2021 (‘‘BYX Response’’) at 6. of, and benefits provided by, alternative trading quantitative analysis to understand the 97 See infra note 102, and accompanying text. systems’’). See also Securities Exchange Act Release consequences. See id. 98 See Amendment No. 4 at 7–8. No. 87327, supra note 13. 95 See id. 99 See id. at 8. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00137 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17249 in the continuous order book.100 The Auction according to Rule 11.25 after a Periodic Auctions.110 Based on the Exchange states that offering Periodic specified number of attempts proposed standard established by Auctions alongside its continuous determined by the Exchange and Supplementary Material to .04 to trading would not cause any undue published in a circular distributed to Proposed Rule 11.25 as well as the latency that would negatively impact members.106 Based on the Exchange’s Exchange’s representation and the trading on the Continuous Book.101 The representations and the Commission’s Commission’s assessment of the Exchange represents that it has understanding of the proposed Exchange’s proposed surveillances, the conducted rigorous testing, including operation of the Periodic Auctions, the Commission finds that the proposal is both an analysis of system performance Commission finds that the potential for designed to prevent fraudulent and related to Periodic Auctions in expected delay resulting from the Periodic manipulative acts and practices. market conditions and additional stress Auctions as proposed would not impair On a related point, one commenter testing, including scenarios beyond fair and efficient access to the raises concerns about information what the Exchange expects to happen in Exchange’s protected quotations under leakage from the operation of the 102 a production environment. As a the Exchange Act.107 Periodic Auctions. The commenter result, the Exchange does not believe suggests that having a specific liquidity that the proposed Periodic Auctions Two commenters raise concerns about code attached to a continuous book would have any meaningful impact on the potential for market participants to order that interacts with an auction its ability to offer continuous trading manipulate or otherwise misuse order indicating it was executed in a alongside its proposed Periodic Auction Periodic Auctions or the continuous Periodic Auction could provide a ‘‘free and would not inappropriately interfere book. One commenter states that market look’’ regarding an imbalance in the with trading on the Continuous Book.103 participants may route orders to other market and the direction of the The Exchange states that, based on its trading venues before and during the imbalance.111 The Exchange disagrees, analysis, any additional latency that auction (based on information asserting that disclosing when an may be experienced on the Continuous disseminated by the Exchange) and execution occurs as part of an auction Book would be minimal, and both (1) thereby impact the price of the auction, is required and important post-trade within the range of latencies which could affect investors who transparency, not a form of improper experienced when the Exchange submitted orders on BYX’s continuous information leakage.112 Responding to conducts other resource consumptive book because orders on the continuous the commenter’s specific concern about tasks today, such as re-pricing of pegged book may not opt out of the auction.108 potentially signaling a potential buy or orders; and (2) so small as to not present Another commenter states that because sell imbalance by including Continuous any regulatory concerns under either the orders may be cancelled at any time, Book Orders in Periodic Auctions, the Quote Rule or the Order Protection and given the interconnectivity of the Exchange states that: (1) The Rule.104 These statements supplement periodic auction with the continuous Commission has approved the the Exchange’s representation in order book, market participants may be dissemination of actual imbalance Amendment No. 3 that, based on able to utilize the ability to cancel and information in other auctions for U.S. substantial testing, any additional the transparency surrounding orders in equity securities due to the value of that latency resulting from running a the periodic auction to gain and information in informing public price Periodic Auction would be minimal and improperly use information about discovery; (2) the Periodic Auction Price de minimis from the perspective of the trading interest on the Exchange in at which orders are executed in a Order Protection Rule and would be general.109 Supplementary Material to Periodic Auction would also be reported well within a threshold of one .04 to Proposed Rule 11.25 provides that on each executed transaction, rendering millisecond.105 Further, to prevent (1) Periodic Auction Orders must be any additional information that could be potential capacity and/or performance entered with the intent to participate in inferred about a potential imbalance in issues, the Exchange will cancel a a completed auction meaningless; and Periodic Auction at the end of the Periodic Auctions; and (2) a pattern or practice of submitting orders for the (3) Periodic Auctions are actually Periodic Auction Period if it is unable designed to perform an important price to successfully process such Periodic purpose of disrupting or manipulating Periodic Auctions, including entering discovery function, which is facilitated by post-trade transparency about the 100 and immediately cancelling Periodic See BMO Letter, supra note 91, at 2. The execution of orders in the auction.113 commenter also asks what the parameters are Auction Orders, will be deemed surrounding the circumstances in which the conduct inconsistent with just and While one may be able to detect that an Exchange would ‘‘throttle’’ the initiation of periodic equitable principles of trade. The order imbalance existed prior to a auctions. See id. In response, in Amendment No. 3, Periodic Auction based on the reported Exchange represents that it will conduct the Exchange provides additional information, price of executions from that auction, stating that ‘‘the throttle would limit the rate at surveillance to ensure that users do not the Commission agrees with the which new auctions are initiated by the System by inappropriately enter Periodic Auction Exchange that one may not necessarily imposing configurable limits for both: (1) A Orders for impermissible purposes, sustained rate that controls the number of Periodic infer from that reported price that an including to gain information about Auctions that can be initiated on a continuous imbalance persists after the auction and basis, calculated by looking at System load during Periodic Auction Orders that are resting believes that timely dissemination of high utilization periods and the time it takes to on the Periodic Auction Book or to initiate an auction to determine a safe maximum for transaction information is an important the number of auctions that can be initiated each otherwise disrupt or manipulate element of the national market system. second; and (2) a burst rate that would allow the The same commenter seeks System to initiate a larger number of Periodic 106 See proposed BYX Rule 11.25(f). See also Auctions when either no or few auctions have been confirmation that the FIX message Amendment No. 3 at 27. associated with a periodic auction initiated for a specified time period.’’ Amendment 107 See Securities Exchange Act Release No. No. 3 at 19, n.30. 78102 (June 17, 2016), 81 FR 40785 (File No. S7– 101 See BYX Response, supra note 96, at 10. 03–16) (Commission Interpretation Regarding 110 See BYX Response, supra note 96, at 6. See 102 See id. at 11. Automated Quotations Under Regulation NMS) also Amendment No. 3 at 31 and 58. 103 See id. (‘‘Commission Interpretation’’). 111 See BMO Letter, supra note 91, at 3. 104 See id. 108 See SIFMA Letter, supra note 91, at 2. 112 See BYX Response, supra note 96, at 9. 105 See Amendment No. 3, at 64, n.69. 109 See BMO Letter, supra note 91, at 2, n.4. 113 See id. at 10. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00138 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17250 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices execution would not have anything they think could be beneficial, although attempted to misuse the Periodic indicating that it occurred in an auction, commenters do not raise concerns that Auctions by entering orders into the i.e., the auction trade print will be a the proposal is inconsistent with the Periodic Auction to trade with bulk print that includes all fills, but that Exchange Act if the Exchange does not Continuous Book Orders at unfair prices the trade will be identified as an auction incorporate these suggested would incur additional risks if trading print on the Exchange’s proprietary data modifications. One commenter suggests in a Periodic Auction, where it may feed.114 The Exchange responds that it that initially Periodic Auctions be held have to trade with such orders at an would disseminate information about only for thinly traded securities and, if improved price rather than trading executions in Periodic Auctions through there are clear improvements to immediately with such orders on the both the securities information liquidity, Periodic Auctions should be Continuous Book.128 processors and its proprietary market gradually permitted for more liquid One commenter suggests that the data feeds as a single ‘‘bulk print’’ securities.120 The Exchange states that, Exchange execute orders in Periodic indicating the number of shares while Periodic Auctions may be Auctions only at the midpoint of the executed in the auction and the price at particularly beneficial in thinly traded NBBO to both reduce a potential latency which those shares are executed. It also securities, Periodic Auctions would be impact on the continuous order book responds that its proprietary market broadly beneficial to trading in other and address the complexity that data feeds would indicate that the securities, including those that suffer Periodic Auctions would add to the execution is an auction execution.115 from diminished market quality for market.129 The commenter also asserts The Exchange states that currently there reasons other than being thinly that its suggested NBBO midpoint is no similar indicator disseminated by traded.121 The Exchange also states that execution would create less potential for the SIPs for intraday auction its understanding, based on the information leakage.130 The Exchange executions.116 To facilitate additional experience of national securities responds that the Periodic Auction is transparency about the nature of exchanges that have implemented not designed to execute trades at the Periodic Auction executions to trading mechanisms limited to a subset midpoint, but that it is designed as a subscribers of the SIP feeds, the of NMS stocks, is that a number of price forming auction to execute orders Exchange represents that it will submit market participants that transact in at a price that balances supply and a request to the operating committee(s) NMS stocks do not employ demand in the Periodic Auctions, of the NMS plan(s) governing the differentiated routing logic for different whether or not that price is the NBBO dissemination of such information and symbols.122 Therefore, BYX believes midpoint.131 In addition, the Exchange make best efforts to have similar those market participants may not states that market participants that wish information included on those feeds as incorporate Periodic Auctions into their to receive midpoint executions already soon as practicable.117 The Commission routing logic if Periodic Auctions were can do so by using midpoint pegged notes that SIP indicators currently limited to thinly traded securities, and orders and similar order types.132 include those for opening and closing this, in turn, may impact the Exchange’s The same commenter suggests that the auctions and believes that adding an ability to achieve the critical mass Exchange provide further clarity indicator to identify Periodic Auction necessary to make Periodic Auctions regarding how and whether orders that transactions via the SIP feeds should successful.123 trade in Periodic Auctions will receive enhance transparency. The same commenter suggests that a unique fee code indicating that they National securities exchanges Continuous Book Orders be excluded indeed were executed in a Periodic 133 compete to attract orders through a from the Periodic Auctions.124 That Auction. The Exchange notes that the variety of means, including by offering commenter and another commenter also pending proposal does not address fees, innovative order execution suggest making Continuous Book Order states that it intends to submit a fee functionality. In turn, market participation in the Periodic Auctions proposal separately, and asserts that participants have flexibility to choose optional.125 In response, the Exchange consideration of such fee codes is how to route their orders so long as they asserts that if a user is concerned that inappropriate in connection with this 134 meet their regulatory obligations, its Continuous Book Orders could be proposal. including their obligations to meet the executed in Periodic Auctions at an The commenter also asks that BYX requirements under Regulation NMS unfair price the user would be no worse add its ‘‘True Minimum Quantity’’ and meet best execution obligations for off than if the user were to trade with instruction for orders participating in the proposed auction mechanism. The their customers.118 To the extent that an immediate-or-cancel order in the commenter states that this would better market participants are concerned about Continuous Book.126 The Exchange facilitate the interaction of large-size possible information leakage through states that a Continuous Book Order that orders.135 the reporting of the execution price or is executed in a Periodic Auction would The Exchange’s ‘‘true the operation of the Periodic Auctions, always trade at a price that is at least as minimum’’ instruction allows Users they may seek to protect their good, and in many cases better than, the trading on the Continuous Book to enter information in a number of ways, price it would obtain in an execution on orders with a minimum size condition that must be met by a single contra-side including choosing not to post orders on the Continuous Book.127 Additionally, order, instead of one or more contra-side the Continuous Book, or not to submit the Exchange asserts that, because each orders to Periodic Auctions.119 Periodic Auction is a price forming 128 See id. at 5. Commenters also suggest auction, a market participant that 129 See BMO Letter, supra note 91, at 3. modifications to BYX’s proposal that 130 See id. 120 See SIFMA Letter, supra note 91, at 3. 131 See BYX Response, supra note 96, at 8. 121 114 See BMO Letter, supra note 91, at 3. See BYX Response, supra note 96, at 7. 132 See id. 122 115 See BYX Response, supra note 96, at 9. See id. at 7, text accompanying n.8. 133 See BMO Letter, supra note 91, at 3, n.5. 123 116 See Amendment No. 4 at 5. See id. at 7–8. 134 See BYX Response, supra note 96, at 9, n.10. 117 See id. at 5–6. 124 See SIFMA Letter, supra note 91, at 3. The Exchange also notes that the commenter will 118 See Securities Exchange Act Release No. 125 See BMO Letter, supra note 91, at 2. have an opportunity comment on its fee proposal 90610 (December 9, 2020) (S7–03–20) at 37–38. 126 See BYX Response, supra note 96, at 5. if it has concerns. See id. 119 See text accompanying note 123, infra. 127 See id. at 4. 135 See BMO Letter, supra note 91, at 4. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00139 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17251 orders.136 The Exchange states that appropriate surveillances in place to available for website viewing and introducing the true minimum detect and deter such manipulation or printing in the Commission’s Public instruction into a Periodic Auction misuse. Reference Room, 100 F Street NE, would unnecessarily complicate The Commission must approve the Washington, DC 20549 on official executions; instead, the Exchange is proposed rule change, as modified by business days between the hours of proposing to offer a minimum quantity Amendments No. 3 and No. 4, which 10:00 a.m. and 3:00 p.m. Copies of the instruction in the Periodic Auctions, does not incorporate any of the filing also will be available for which it believes will be valuable.137 commenters’ suggestions, if it finds that inspection and copying at the principal The Commission believes that the it is consistent with the Exchange office of the Exchange. All comments Exchange’s decision not to incorporate Act; 139 alternatively the Commission received will be posted without change. the various suggestions offered by must disapprove it if it cannot make that Persons submitting comments are commenters into its proposal does not finding.140 For the reasons discussed cautioned that we do not redact or edit render the proposed rule change above, the Commission finds that the personal identifying information from without a rational basis or inconsistent proposed rule change, as modified by comment submissions. You should with the Exchange Act. Amendments No. 3 and No. 4, is submit only information that you wish The Commission finds that the consistent with the Exchange Act 141 to make available publicly. All proposed rule change is designed to and the rules and regulations submissions should refer to File remove impediments to and perfect the thereunder applicable to a national Number SR–CboeBYX–2020–021 and mechanism of a free and open market securities exchange. should be submitted on or before April and a national market system. Periodic 22, 2021. Auctions would supplement existing IV. Solicitation of Comments on opening and closing auctions by Amendments No. 3 and No. 4 to the V. Accelerated Approval of the consolidating buy and sell interest in Proposed Rule Change Proposed Rule Change, as Modified by Amendments No. 3 and No. 4 price forming auctions during the Interested persons are invited to course of the trading day. Periodic submit written views, data, and The Commission finds good cause to Auctions may be particularly helpful in arguments concerning whether approve the proposed rule change, as fulfilling and improving execution Amendments No. 3 and No. 4 are modified by Amendments No. 3 and No. quality of orders by or on behalf of consistent with the Exchange Act. 4, prior to the thirtieth day after the date market participants seeking to trade in Comments may be submitted by any of of publication of notice of the filing of size or in thinly traded securities. One the following methods: Amendments No. 3 and No. 4 in the potential issue with a periodic auction Federal Register. In Amendment No. 3, running concurrently with a continuous Electronic Comments: the Exchange (among other things) book is that the act of operating the • Use the Commission’s internet discussed how its proposal is consistent periodic auction could cause latency in comment form (http://www.sec.gov/ with Rule 201 of Regulation SHO. This the operation of the continuous book rules/sro.shtml); or supplemental information in that would impact market participants’ • Send an email to rule-comments@ Amendment No. 3 assisted the ability to receive timely executions on sec.gov. Please include File Number SR– Commission in evaluating the the continuous book. As discussed CboeBYX–2020–021 on the subject line. Exchange’s proposal and in determining above, the Exchange has conducted Paper Comments that it is consistent with the Exchange testing, including stress testing, of the Act. In Amendment No. 4, the Exchange • potential latency the Periodic Auctions Send paper comments in triplicate corrected Example 6. Additionally, in may introduce into the continuous book to Secretary, Securities and Exchange Amendment No. 4, in response to and has made representations that the Commission, 100 F Street NE, comments, the Exchange discussed its impact would be minimal and de Washington, DC 20549–1090. efforts to submit trade reports to the SIP minimis from the perspective of the All submissions should refer to File indicating which transactions were Order Protection Rule and would be Number SR–CboeBYX–2020–021. This effected during Periodic Auctions, well within a threshold of one file number should be included on the offered additional rationale for its millisecond.138 As a result, the subject line if email is used. To help the proposal to allow cancellations of Commission concludes that the Commission process and review your Periodic Auction Orders during ongoing potential latency caused by the Periodic comments more efficiently, please use Periodic Auctions, and set forth its Auctions as proposed does not impair only one method. The Commission will implementation plans for the Periodic fair and efficient access to the post all comments on the Commission’s Auction. Neither Amendment No. 3 nor Exchange’s protected quotations under internet website (http://www.sec.gov/ No. 4 raise any novel legal issue. the Exchange Act. In addition, the rules/sro.shtml). Copies of the Accordingly, the Commission finds Commission believes that the Exchange submission, all subsequent good cause, pursuant to Section 19(b)(2) has addressed the potential for amendments, all written statements of the Exchange Act,142 to approve the manipulation or misuse of the Periodic with respect to the proposed rule proposed rule change, as modified by Auctions and that the Exchange has change that are filed with the Amendments No. 3 and No. 4, on an Commission, and all written accelerated basis. 136 See BYX Response, supra note 96, at 11. See communications relating to the also BYX Rule 11.9(c)(5). proposed rule change between the VI. Conclusion 137 See BYX Response, supra note 96, at 11–12. It is therefore ordered, pursuant to BYX also states that no provision of the Exchange Commission and any person, other than 143 Act requires that the Exchange make any particular those that may be withheld from the Section 19(b)(2) of the Exchange Act, order instruction available to customers, or to allow public in accordance with the that the proposed rule change (SR– the use of all order instructions that it has provisions of 5 U.S.C. 552, will be CboeBYX–2020–021), as modified by determined to offer in each and every trading mechanism that is offers to its members. See id. at Amendments No. 3 and No. 4, be, and 12. 139 See Section 19(b)(2)(C)(i) of the Exchange Act. 138 See Commission Interpretation, supra note 140 See Section 19(b)(2)(C)(ii) of the Exchange Act. 142 15 U.S.C. 78s(b)(2). 107. 141 15 U.S.C. 78f(b)(5). 143 Id. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00140 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17252 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices it hereby is, approved on an accelerated of those statements may be examined at Acquisition Companies basis. the places specified in Item IV below. Section 102.06 of the NYSE Listed For the Commission, by the Division of The Exchange has prepared summaries, Company Manual sets forth the listing Trading and Markets, pursuant to delegated set forth in sections A, B, and C below, standards for Acquisition Companies. authority.144 of the most significant parts of such An Acquisition Company (known in the J. Matthew DeLesDernier, statements. marketplace as a special purpose Assistant Secretary. A. Self-Regulatory Organization’s acquisition company or ‘‘SPAC’’) is a [FR Doc. 2021–06676 Filed 3–31–21; 8:45 am] Statement of the Purpose of, and the special purpose company formed for the BILLING CODE 8011–01–P Statutory Basis for, the Proposed Rule purpose of effecting a merger, capital Change stock exchange, asset acquisition, stock purchase, reorganization or similar SECURITIES AND EXCHANGE 1. Purpose business combination with one or more COMMISSION operating businesses or assets. The The Exchange proposes to amend securities sold by the Acquisition [Release No. 34–91416; File No. SR–NYSE– Rule 103B, which governs the allocation 2021–18] Company in its initial public offering of securities to DMMs, to streamline the are typically units, consisting of one allocation process and facilitate the Self-Regulatory Organizations; New share of common stock and one or more selection of DMM units by issuers of York Stock Exchange LLC; Notice of warrants (or a fraction of a warrant) to acquisition companies listed under Filing and Immediate Effectiveness of purchase common stock, that are NYSE Listed Company Manual Section Proposed Rule Change To Amend Rule separable at some point after the IPO. 102.06 (‘‘Acquisition Companies’’). 103B, Which Governs the Allocation of Under Section 102.06 of the NYSE Securities to Designated Market Background Listed Company Manual, among other Makers things, an Acquisition Company must Current Rule 103B keep 90% of the gross proceeds of its March 26, 2021. Rule 103B(III) sets out the procedures IPO in an escrow account until the date 1 5 Pursuant to Section 19(b)(1) of the under which DMM units are assigned to of a business combination. The Securities Exchange Act of 1934 (the Acquisition Company must also 2 3 securities listed on the Exchange: An ‘‘Act’’) and Rule 19b–4 thereunder, issuer may either select a DMM unit complete one or more business notice is hereby given that on March 15, after interviewing all DMM units combinations, having an aggregate fair 2021, New York Stock Exchange LLC eligible to participate in the allocation market value of at least 80% of the value (‘‘NYSE’’ or the ‘‘Exchange’’) filed with process (Rule 103B(III)(A)), or delegate of the escrow account, within 36 the Securities and Exchange the authority for selecting its DMM unit months of the effectiveness of the IPO 6 Commission (the ‘‘Commission’’) the to the Exchange (Rule 103B(III)(B)). registration statement. Following a proposed rule change as described in business combination, the combined Items I and II below, which Items have In addition, Rule 103B(VI)(A)(1) sets company must meet the Exchange’s been prepared by the self-regulatory out an abbreviated DMM allocation requirements for initial listing of an organization. The Commission is process for listing companies that are a operating company.7 publishing this notice to solicit spin-off of or a company related to a An Acquisition Company is formed comments on the proposed rule change listed company or one that lists a by a person or group of people acting from interested persons. Related Security as defined in Rule together or by a corporate entity (in each 103B(VI)(A)(2).4 Under Rule case, a ‘‘Sponsor’’). Persons affiliated I. Self-Regulatory Organization’s 103B(VI)(A)(1), such a listing company with the Sponsor manage the Statement of the Terms of Substance of may remain with the DMM unit Acquisition Company, seek to identify the Proposed Rule Change registered in the Related Security or an appropriate business combination, The Exchange proposes to amend acting as the assigned DMM unit to the and successfully complete that Rule 103B, which governs the allocation related listed company or be allocated transaction. The Sponsor is not usually of securities to Designated Market through the allocation process pursuant compensated in cash by the Acquisition Makers (‘‘DMMs’’). The proposed rule to NYSE Rule 103B, Section III. The rule Company, but rather undertakes these change is available on the Exchange’s further provides that if the spin-off activities because it receives an website at www.nyse.com, at the company or company related to a listed ownership interest in the Acquisition principal office of the Exchange, and at company chooses to have its DMM unit Company that it acquires for nominal the Commission’s Public Reference selected by the Exchange pursuant to consideration. In many cases, Room. NYSE Rule 103B, Section III(B), and Acquisition Company Sponsors are requests not to be allocated to the DMM asset management entities or are II. Self-Regulatory Organization’s unit that was its listed company’s DMM controlled by individuals who have had Statement of the Purpose of, and unit, such request will be honored. successful careers in the banking or Statutory Basis for, the Proposed Rule asset management industries. In many Change 4 For purposes of NYSE Rule 103B, a ‘‘Related In its filing with the Commission, the Security’’ is defined as: (i) Any security listed on 5 See Section 102.06 of the NYSE Listed Company self-regulatory organization included the Exchange issued by a company whose common Manual. Section 102.06 also contains additional statements concerning the purpose of, equity securities are listed on the Exchange, other quantitative requirements to list an Acquisition than such common equity securities; and (ii) any Company. and basis for, the proposed rule change security listed on the Exchange by any issuer 6 See generally id. Public shareholders who object and discussed any comments it received affiliated with a company whose common equity to a business combination have the right to convert on the proposed rule change. The text securities are listed on the Exchange. Related their common stock into a pro rata share of the Securities of either a listed company whose funds held in escrow. See Section 102.06(b) of the common equity securities are listed on the NYSE Listed Company Manual. 144 17 CFR 200.30–3(a)(12). Exchange or of an affiliated entity of such listed 7 This includes the requirement to maintain a 1 15 U.S.C. 78s(b)(1). company include, but are not limited to, securities minimum of 400 round lot holders. See Sections 2 15 U.S.C. 78a. listed under NYSE Listed Company Manual Section 102.01A and 802.01B of the NYSE Listed Company 3 17 CFR 240.19b–4. 703.19 (except for Repackaged Securities). Manual. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00141 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17253 cases, the same persons or entities have multiple Acquisition Companies trading and reduces potential investor formed more than one Acquisition on the Exchange at the same time, there confusion, which would remove Company over time. As the volume of are managerial efficiencies from which impediments to and perfect the Acquisition Company listings has the Sponsor benefits in dealing with mechanism of a free and open market increased, the Exchange has observed only one DMM unit, rather than and a national market system. that the number of Sponsors that form multiple different DMM units. multiple Acquisition Companies has Finally, the Exchange proposes to B. Self-Regulatory Organization’s also grown. technical, non-substantive changes to Statement on Burden on Competition Rule 103B(VI)(A)(1) by capitalizing the The Exchange does not believe that Proposed Rule Change words ‘‘Related Security’’ in two places. the proposed rule change will impose The Exchange proposes to amend The Exchange also proposes to make the any burden on competition that is not Rule 103B(VI)(A), governing spin-offs technical, non-substantive change of re- necessary or appropriate in furtherance and listing of related companies and numbering current subsections (3) of the purposes of the Act because it related securities, to permit a similar through (8) of Rule 103B(VI)(A). merely provides a process for the abbreviated DMM allocation process for 2. Statutory Basis allocation of DMM units to Acquisition Acquisition Companies to that currently Companies listing on the Exchange available to issuers that spin-off entities The Exchange believes that the consistent with current rules. Nor does or list related companies or securities. proposed rule change is consistent with the Exchange believe that the proposed 8 Specifically, the Exchange would add Section 6(b) of the Act, in general, and changes would impose an undue burden a new subdivision (3) to Rule furthers the objectives of Section 6(b)(5) on intramarket competition between the 9 103B(VI)(A) that would provide that a of the Act, in particular, because it is DMM units, because all eligible DMM listing Acquisition Company that is designed to prevent fraudulent and units will participate in the original either under common control with manipulative acts and practices, Rule 103B(III) allocation process for an another currently-listed Acquisition promote just and equitable principles of Acquisition Company. Company or is controlled by person(s) trade, remove impediments to and who controlled a previously-listed perfect the mechanism of a free and C. Self-Regulatory Organization’s Acquisition Company at the time of open market and a national market Statement on Comments on the such other Acquisition Company’s system, and protect investors and the Proposed Rule Change Received From listing, could choose, as applicable, to public interest, as follows. Members, Participants, or Others be allocated to the DMM unit currently The Exchange believes that the No written comments were solicited registered in such other Acquisition proposed amendments to Rule or received with respect to the proposed Company or registered in such other 103B(VI)(A) would remove rule change. Acquisition Company while it was impediments to and perfect the listed on the Exchange. Alternatively, mechanism of a free and open market III. Date of Effectiveness of the the proposed rule would provide that and a national market system by Proposed Rule Change and Timing for the listing Acquisition Company could permitting Acquisition Companies Commission Action be allocated through the allocation under common control with another Because the foregoing proposed rule process pursuant to NYSE Rule 103B, currently-listed Acquisition Company or change does not (i) significantly affect Section III. As proposed, the process one controlled by person(s) who the protection of investors or the public would be substantially similar to that in controlled a previously-listed interest; (ii) impose any significant place for other issuers listing multiple Acquisition Company at the time of burden on competition; and; (iii) securities or related entities on the such other Acquisition Company’s become operative for 30 days from the Exchange who also have the option listing to choose to maintain the same date on which it was filed, or such under Rule 103B to remain with the DMM unit currently registered in the shorter time as the Commission may DMM unit registered in the related other Acquisition Company or designate, it has become effective security or acting as the assigned DMM registered in such other Acquisition pursuant to Section 19(b)(3)(A) of the unit to the related listed company or be Company while it was listed on the Act 10 and Rule 19b–4(f)(6) 11 allocated through the allocation process Exchange. As noted, this option already thereunder. pursuant to NYSE Rule 103B, Section exists for other issuers under Rule 103B, At any time within 60 days of the III. The Exchange believes that the and enhances the efficiency of listings filing of the proposed rule change, the proposed rule change tailored to by allowing issuers and DMM units to Commission summarily may Acquisition Companies would provide maintain their preexisting relationships temporarily suspend such rule change if those issuers with the same flexibility in with respect to the commonly owned or it appears to the Commission that such selecting a DMM unit as other issuers controlled companies. Acquisition action is necessary or appropriate in the currently have under Rule 103B. Company issuers would benefit from the public interest, for the protection of This proposal addresses the growing efficiencies when listing additional investors, or otherwise in furtherance of trend for successful Acquisition Acquisition Companies under NYSE the purposes of the Act. If the Company Sponsors to form additional Listed Company Manual Section 102.06. Commission takes such action, the SPACs over time. The Exchange Finally, the Exchange’s proposal to Commission will institute proceedings believes that an Acquisition Company make technical, non-substantive to determine whether the proposed rule Sponsor should be able to decide that it changes to Rule 103B(VI)(A)(1) by wishes to engage the same DMM unit for capitalizing the words ‘‘Related 10 15 U.S.C. 78s(b)(3)(A). any additional Acquisition Company Security’’ and re-numbering current 11 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– listings, as the Sponsor will be familiar subsections (3) through (8) of Rule 4(f)(6) requires a self-regulatory organization to give with the DMM unit’s expertise in 103B(VI)(A) adds clarity and the Commission written notice of its intent to file trading Acquisition Company securities transparency to the Exchange’s Rules the proposed rule change at least five business days prior to the date of filing of the proposed rule and should be allowed to continue with change, or such shorter time as designated by the that DMM unit if it is satisfied with its 8 15 U.S.C. 78f(b). Commission. The Exchange has satisfied this performance. Similarly, if a Sponsor has 9 15 U.S.C. 78f(b)(5). requirement. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00142 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17254 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices change should be approved or For the Commission, by the Division of proposed rule change. The text of these disapproved. Trading and Markets, pursuant to delegated statements may be examined at the authority.12 places specified in Item IV below. The IV. Solicitation of Comments J. Matthew DeLesDernier, Exchange has prepared summaries, set Interested persons are invited to Assistant Secretary. forth in sections A, B, and C below, of submit written data, views, and [FR Doc. 2021–06670 Filed 3–31–21; 8:45 am] the most significant aspects of such arguments concerning the foregoing, BILLING CODE 8011–01–P statements. including whether the proposed rule A. Self-Regulatory Organization’s change is consistent with the Act. Statement of the Purpose of, and SECURITIES AND EXCHANGE Comments may be submitted by any of Statutory Basis for, the Proposed Rule COMMISSION the following methods: Change [Release No. 34–91418; File No. SR–Phlx– Electronic Comments 2021–16] 1. Purpose Currently, Phlx assesses an ORF of • Use the Commission’s internet Self-Regulatory Organizations; Nasdaq $0.0050 per contract side as specified in comment form (http://www.sec.gov/ PHLX, LLC; Notice of Filing and Phlx’s Pricing Schedule at Options 7, rules/sro.shtml); or Immediate Effectiveness of Proposed Section 6, Part D. The Exchange • Send an email to rule-comments@ Rule Change To Amend Phlx’s Pricing proposes to reduce the ORF from sec.gov. Please include File Number SR– Schedule at Options 7, Section 6, Part $0.0050 per contract side to $0.0042 per NYSE–2021–18 on the subject line. D To Reduce the Phlx Options contract side as of April 1, 2021, in Regulatory Fee order to help ensure that revenue Paper Comments collected from the ORF, in combination • March 26, 2021. with other regulatory fees and fines, Send paper comments in triplicate Pursuant to Section 19(b)(1) of the to: Secretary, Securities and Exchange does not exceed the Exchange’s total Securities Exchange Act of 1934 regulatory costs. Commission, 100 F Street NE, (‘‘Act’’), 1 and Rule 19b–4 thereunder,2 Washington, DC 20549–1090. notice is hereby given that on March 16, Collection of ORF All submissions should refer to File 2021, Nasdaq PHLX LLC (‘‘Phlx’’ or Currently, Phlx assesses its ORF for Number SR–NYSE–2021–18. This file ‘‘Exchange’’) filed with the Securities each customer option transaction that is number should be included on the and Exchange Commission (‘‘SEC’’ or either: (1) Executed by a member subject line if email is used. To help the ‘‘Commission’’) the proposed rule organization 3 on Phlx; or (2) cleared by Commission process and review your change as described in Items I and II, a Phlx member organization at The comments more efficiently, please use below, which Items have been prepared Options Clearing Corporation (‘‘OCC’’) only one method. The Commission will by the Exchange. The Commission is in the customer range,4 even if the post all comments on the Commission’s publishing this notice to solicit transaction was executed by a non- internet website (http://www.sec.gov/ comments on the proposed rule change member organization of Phlx, regardless rules/sro.shtml). Copies of the from interested persons. of the exchange on which the transaction occurs.5 If the OCC clearing submission, all subsequent I. Self-Regulatory Organization’s member is a Phlx member organization, amendments, all written statements Statement of the Terms of Substance of ORF is assessed and collected on all with respect to the proposed rule the Proposed Rule Change change that are filed with the cleared customer contracts (after Commission, and all written The Exchange proposes to amend adjustment for CMTA 6); and (2) if the communications relating to the Phlx’s Pricing Schedule at Options 7, OCC clearing member is not a Phlx proposed rule change between the Section 6, Part D to reduce the Phlx member organization, ORF is collected Commission and any person, other than Options Regulatory Fee or ‘‘ORF’’. those that may be withheld from the While the changes proposed herein 3 The term ‘‘member organization’’ means a corporation, partnership (general or limited), public in accordance with the are effective upon filing, the Exchange has designated the amendments become limited liability partnership, limited liability provisions of 5 U.S.C. 552, will be company, business trust or similar organization, available for website viewing and operative on April 1, 2021. transacting business as a broker or a dealer in printing in the Commission’s Public The text of the proposed rule change securities and which has the status of a member organization by virtue of (i) admission to Reference Room, 100 F Street NE, is available on the Exchange’s website at https://listingcenter.nasdaq.com/ membership given to it by the Membership Washington, DC 20549 on official Department pursuant to the provisions of General business days between the hours of rulebook/phlx/rules, at the principal 3, Sections 5 and 10 or the By-Laws or (ii) the 10:00 a.m. and 3:00 p.m. Copies of the office of the Exchange, and at the transitional rules adopted by the Exchange pursuant Commission’s Public Reference Room. to Section 6–4 of the By-Laws. References herein to filing also will be available for officer or partner, when used in the context of a inspection and copying at the principal II. Self-Regulatory Organization’s member organization, shall include any person office of the Exchange. All comments Statement of the Purpose of, and holding a similar position in any organization other than a corporation or partnership that has the status received will be posted without change. Statutory Basis for, the Proposed Rule of a member organization. See General 1, Section Persons submitting comments are Change 1(17). cautioned that we do not redact or edit 4 Participants must record the appropriate In its filing with the Commission, the personal identifying information from account origin code on all orders at the time of Exchange included statements comment submissions. You should entry in order. The Exchange represents that it has concerning the purpose of and basis for surveillances in place to verify that member submit only information that you wish the proposed rule change and discussed organizations mark orders with the correct account to make available publicly. All origin code. any comments it received on the submissions should refer to File 5 The Exchange uses reports from OCC when Number SR–NYSE–2021–18 and should assessing and collecting the ORF. 12 17 CFR 200.30–3(a)(12). 6 CMTA or Clearing Member Trade Assignment is be submitted on or before April 22, 1 15 U.S.C. 78s(b)(1). a form of ‘‘give-up’’ whereby the position will be 2021. 2 17 CFR 240.19b–4. assigned to a specific clearing firm at OCC. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00143 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17255 only on the cleared customer contracts absolutely certain that ORF should Counsel, technology, and internal audit. executed at Phlx, taking into account apply. Further, the data does not allow Indirect expenses are estimated to be any CMTA instructions which may the Exchange to identify the member approximately 42% of the total result in collecting the ORF from a non- organization executing the trade at an regulatory costs for 2021. Thus, direct member organization.7 away market. expenses are estimated to be In the case where a member ORF Revenue and Monitoring of ORF approximately 58% of total regulatory organization both executes a transaction costs for 2021. The Exchange monitors the amount of The ORF is designed to recover a and clears the transaction, the ORF is revenue collected from the ORF to assessed to and collected from that material portion of the costs to the ensure that it, in combination with other Exchange of the supervision and member organization. In the case where regulatory fees and fines, does not a member organization executes a regulation of its members and member exceed regulatory costs. In determining organizations, including performing transaction and a different member whether an expense is considered a routine surveillances, investigations, organization clears the transaction, the regulatory cost, the Exchange reviews examinations, financial monitoring, and ORF is assessed to and collected from all costs and makes determinations if policy, rulemaking, interpretive, and the member organization who clears the there is a nexus between the expense enforcement activities. transaction and not the member and a regulatory function. The Exchange organization who executes the notes that fines collected by the Proposal transaction. In the case where a non- Exchange in connection with a member organization executes a disciplinary matter offset ORF. Based on the Exchange’s most recent transaction at an away market and a Revenue generated from ORF, when review, the Exchange is proposing to member organization clears the combined with all of the Exchange’s reduce the amount of ORF that will be transaction, the ORF is assessed to and other regulatory fees and fines, is collected by the Exchange from $0.0050 collected from the member organization designed to recover a material portion of per contract side to $0.0042 per contract who clears the transaction. In the case the regulatory costs to the Exchange of side. The Exchange issued an Options where a member executes a transaction the supervision and regulation of Trader Alert on February 8, 2021 on Phlx and a non-member organization member 8 and member organization indicating the proposed rate change for clears the transaction, the ORF is customer options business including April 1, 2021.9 assessed to the member organization performing routine surveillances, The proposed decrease is based on that executed the transaction on Phlx investigations, examinations, financial recent options volumes which included and collected from the non-member monitoring, and policy, rulemaking, an increase in retail investors. With organization who cleared the interpretive, and enforcement activities. respect to options volume, the Exchange transaction. In the case where a member Regulatory costs include direct experienced a significant increase organization executes a transaction at an regulatory expenses and certain indirect particularly in the fourth quarter of away market and a non-member expenses in support of the regulatory 2020. For example, total options organization clears the transaction, the function. The direct expenses include contract volume in November 2020 was ORF is not assessed to the member in-house and third party service 71% higher than the total options organization who executed the provider costs to support the day to day contract volume in November 2019.10 transaction or collected from the non- regulatory work such as surveillances, Below is industry data from OCC 11 member organization who cleared the investigations and examinations. The which illustrates the significant increase transaction because the Exchange does indirect expenses include support from in volume during the fourth quarter of not have access to the data to make such areas as Office of the General 2020. October November December Q4 2020 Total ...... 633,365,184 673,660,858 753,568,354 2,060,594,396 Customer ...... 587,707,301 630,297,252 708,037,956 1,926,042,509 Total ADV ...... 28,789,326.55 33,683,042.90 34,253,107.00 32,196,787.44 Customer ADV ...... 26,713,968.23 31,514,862.60 32,183,543.45 30,094,414.20 With respect to customer options There can be no assurance that the however, that when combined with volume across the industry, total Exchange’s final costs for 2021 will not regulatory fees and fines, the revenue customer options contract average daily differ materially from these expectations being generated utilizing the current volume in December 2020 was 88.6% and prior practice, nor can the Exchange ORF rate results in revenue that is higher than total customer average daily predict with certainty whether options running in excess of the Exchange’s volume in December 2019.12 volume will remain at the current level going forward. The Exchange notes 7 By way of example, if Broker A, a Phlx member ORF should be assessed and collected because there 9 See Options Trader Alert 2021–9. organization, routes a customer order to CBOE and is no nexus; the transaction did not execute on Phlx 10 See data from OCC at: https:// the transaction executes on CBOE and clears in nor was it cleared by a Phlx member organization. www.businesswire.com/news/home/2020120 Broker A’s OCC Clearing account, ORF will be 8 The term ‘‘member’’ means a permit holder 2005584/en/OCC-November-2020-Total-Volume- collected by Phlx from Broker A’s clearing account which has not been terminated in accordance with Up-71-Percent-From-a-Year-Ago. at OCC via direct debit. While this transaction was the By-Laws and these Rules of the Exchange. A 11 See data from OCC at: https://www.theocc.com/ executed on a market other than Phlx, it was member is a natural person and must be a person cleared by a Phlx member organization in the associated with a member organization. Any Market-Data/Market-Data-Reports/Volume-and- member organization’s OCC clearing account in the references in the rules of the Exchange to the rights Open-Interest/Volume-by-Account-Type. customer range, therefore there is a regulatory or obligations of an associated person or person 12 See data from OCC at: https://www.theocc.com/ nexus between Phlx and the transaction. If Broker associated with a member organization also Market-Data/Market-Data-Reports/Volume-and- A was not a Phlx member organization, then no includes a member. See General 1, Section 1(16). Open-Interest/Volume-by-Account-Type. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00144 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17256 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices estimated regulatory costs for the year.13 broker or a dealer in securities on Phlx other regulatory fees and revenues, the Particularly, as noted above, the options whereas a member is the permit holder. Exchange estimates ORF to generate market has seen a substantial increase in over 100% of the Exchange’s projected 2. Statutory Basis volume in 2020, due in large part to the regulatory costs. As such, the Exchange extreme volatility in the marketplace as The Exchange believes the proposed believes it’s reasonable and appropriate a result of the COVID–19 pandemic. rule change is consistent with the to decrease the ORF amount from This unprecedented spike in volatility Securities Exchange Act of 1934 (the $0.0050 to $0.0042 per contract side. resulted in significantly higher volume ‘‘Act’’) and the rules and regulations The Exchange also believes the than was originally projected by the thereunder applicable to the Exchange proposed fee change is equitable and Exchange (thereby resulting in and, in particular, the requirements of not unfairly discriminatory in that it is substantially higher ORF revenue than Section 6(b) of the Act.17 Specifically, charged to all member organizations on projected). The Exchange therefore the Exchange believes the proposed rule all their transactions that clear in the proposes to decrease the ORF in order change is consistent with Section 6(b)(4) customer range at the OCC.20 The to ensure that it no longer exceeds its of the Act, 18 which provides that Exchange believes the ORF ensures regulatory costs for the year. Exchange rules may provide for the fairness by assessing higher fees to those Particularly, the Exchange believes that equitable allocation of reasonable dues, members and member organizations that decreasing the ORF when combined fees, and other charges among its require more Exchange regulatory with all of the Exchange’s other members, member organizations, and services based on the amount of regulatory fees and fines, would allow other persons using its facilities. customer options business they the Exchange to continue covering a Additionally, the Exchange believes the conduct. Regulating customer trading material portion of its regulatory costs, proposed rule change is consistent with activity is much more labor intensive while eliminating excess ORF revenue the Section 6(b)(5) 19 requirement that and requires greater expenditure of collected and, in the future, lessening the rules of an exchange not be designed human and technical resources than the potential for generating excess to permit unfair discrimination between regulating non-customer trading revenue that may otherwise occur using customers, issuers, brokers, or dealers. activity, which tends to be more the current rate.14 The Exchange believes the proposed automated and less labor-intensive. For The Exchange will continue to fee change is reasonable because example, there are costs associated with monitor the amount of revenue customer transactions will be subject to main office and branch office collected from the ORF to ensure that it, a lower ORF fee than the current rate examinations (e.g., staff expenses), as in combination with its other regulatory and the adjustment will eliminate well as investigations into customer fees and fines, does not exceed excess ORF revenue. Moreover, the complaints and the terminations of regulatory costs. If the Exchange proposed reduction is necessary in registered persons. As a result, the costs determines regulatory revenues exceed order for the Exchange to no longer associated with administering the regulatory costs, the Exchange will collect revenue, in combination with customer component of the Exchange’s adjust the ORF by submitting a fee other regulatory fees and fines, in excess overall regulatory program are change filing to the Commission and of its anticipated regulatory costs which materially higher than the costs notifying 15 its members and member is consistent with the Exchange’s associated with administering the non- organizations via an Options Trader practices. customer component (e.g., member and Alert. 16 The Exchange had designed the ORF member organization proprietary The Exchange also proposes to amend to generate revenues that would be less transactions) of its regulatory program. Options 7, Section 6D of the Phlx than the amount of the Exchange’s Moreover, the Exchange notes that it has Pricing Schedule to make clear that the regulatory costs to ensure that it, in broad regulatory responsibilities with ORF is assessed to member combination with its other regulatory respect to activities of its members and organizations. The Exchange fees and fines, does not exceed member organizations, irrespective of inadvertently utilized the term regulatory costs, which is consistent where their transactions take place. ‘‘member’’ within the rule text instead with the view of the Commission that Many of the Exchange’s surveillance of ‘‘member organization’’ and in one regulatory fees be used for regulatory programs for customer trading activity place neglected to note ‘‘member purposes and not to support the may require the Exchange to look at organization’’ next to the term Exchange’s business operations. As activity across all markets, such as ‘‘member’’. A member organization is discussed above, however, after review reviews related to position limit the entity transacting business as a of its regulatory costs and regulatory violations and manipulation. Indeed, revenues, which includes revenues from the Exchange cannot effectively review 13 The Exchange notes that notwithstanding the ORF and other regulatory fees and fines, for such conduct without looking at and excess ORF revenue collected to date, it has not the Exchange determined that absent a evaluating activity regardless of where it used such revenue for non-regulatory purposes. reduction in ORF, it would continue to transpires. In addition to its own 14 The Exchange notes that its regulatory collect revenue in excess of its responsibilities with respect to member and surveillance programs, the Exchange member organization compliance with options sales regulatory costs. Indeed, the Exchange also works with other SROs and practice rules have largely been allocated to FINRA notes that when taking into account the exchanges on intermarket surveillance under a 17d–2 agreement. The ORF is not designed recent options volume, which included to cover the cost of that options sales practice related issues. Through its participation an increase in customer options in the Intermarket Surveillance Group regulation. transactions, it estimates the ORF will 15 The Exchange will provide members and member organizations with such notice at least 30 generate revenues that would cover 20 If the OCC clearing member is a Phlx member calendar days prior to the effective date of the more than the approximated Exchange’s organization, ORF is assessed and collected on all change. projected regulatory costs. Moreover, cleared customer contracts (after adjustment for 16 The Exchange notes that in connection with when coupled with the Exchange’s CMTA); and (2) if the OCC clearing member is not this proposal, it provided the Commission a Phlx member organization, ORF is collected only confidential details regarding the Exchange’s on the cleared customer contracts executed at Phlx, projected regulatory revenue, including projected 17 15 U.S.C. 78f(b). taking into account any CMTA instructions which revenue from ORF, along with a projected 18 15 U.S.C. 78f(b)(4). may result in collecting the ORF from a non- regulatory expenses. 19 15 U.S.C. 78f(b)(5). member organization. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00145 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17257 (‘‘ISG’’) 21 the Exchange shares clarity to the ORF rule text by utilizing only one method. The Commission will information and coordinates inquiries the defined terms ‘‘member’’ and post all comments on the Commission’s and investigations with other exchanges ‘‘member organization’’ correctly. internet website (http://www.sec.gov/ designed to address potential rules/sro.shtml). Copies of the C. Self-Regulatory Organization’s intermarket manipulation and trading submission, all subsequent Statement on Comments on the abuses. Accordingly, there is a strong amendments, all written statements Proposed Rule Change Received From nexus between the ORF and the with respect to the proposed rule Members, Participants, or Others Exchange’s regulatory activities with change that are filed with the respect to customer trading activity of No written comments were either Commission, and all written its members and member organizations. solicited or received. communications relating to the proposed rule change between the The Exchange’s proposal to amend III. Date of Effectiveness of the Commission and any person, other than Options 7, Section 6D of the Phlx Proposed Rule Change and Timing for those that may be withheld from the Pricing Schedule to make clear that the Commission Action ORF is assessed to member public in accordance with the organizations and note ‘‘member The foregoing rule change is effective provisions of 5 U.S.C. 552, will be organization’’ next to the term upon filing pursuant to Section available for website viewing and ‘‘member’’ in one place is reasonable, 19(b)(3)(A) 22 of the Act and printing in the Commission’s Public equitable and not unfairly subparagraph (f)(2) of Rule 19b–4 23 Reference Room, 100 F Street NE, discriminatory. The proposed thereunder, because it establishes a due, Washington, DC 20549, on official amendments will bring greater clarity to fee, or other charge imposed by the business days between the hours of the ORF rule text by utilizing the Exchange. 10:00 a.m. and 3:00 p.m. Copies of the defined terms ‘‘member’’ and ‘‘member At any time within 60 days of the filing also will be available for organization’’ correctly. filing of such proposed rule change, the inspection and copying at the principal Commission summarily may office of the Exchange. All comments B. Self-Regulatory Organization’s temporarily suspend such rule change if received will be posted without change. Statement on Burden on Competition it appears to the Commission that such Persons submitting comments are The Exchange does not believe that action is necessary or appropriate in the cautioned that we do not redact or edit the proposed rule change will impose public interest, for the protection of personal identifying information from any burden on competition not investors, or otherwise in furtherance of comment submissions. You should necessary or appropriate in furtherance the purposes of the Act. If the submit only information that you wish of the purposes of the Act. This Commission takes such action, the to make available publicly. All proposal does not create an unnecessary Commission shall institute proceedings submissions should refer to File No. or inappropriate intra-market burden on under Section 19(b)(2)(B) 24 of the Act to SR–Phlx–2021–16, and should be competition because the ORF applies to determine whether the proposed rule submitted on or before April 22, 2021. all customer activity, thereby raising change should be approved or For the Commission, by the Division of regulatory revenue to offset regulatory disapproved. Trading and Markets, pursuant to delegated expenses. It also supplements the 25 IV. Solicitation of Comments authority. regulatory revenue derived from non- J. Matthew DeLesDernier, Interested persons are invited to customer activity. The Exchange notes, Assistant Secretary. however, the proposed change is not submit written data, views, and [FR Doc. 2021–06672 Filed 3–31–21; 8:45 am] designed to address any competitive arguments concerning the foregoing, BILLING CODE 8011–01–P issues. Indeed, this proposal does not including whether the proposed rule create an unnecessary or inappropriate change is consistent with the Act. inter-market burden on competition Comments may be submitted by any of SECURITIES AND EXCHANGE because it is a regulatory fee that the following methods: COMMISSION supports regulation in furtherance of the Electronic Comments purposes of the Act. The Exchange is [SEC File No. 270–321, OMB Control No. • obligated to ensure that the amount of Use the Commission’s internet 3235–0358] comment form (http://www.sec.gov/ regulatory revenue collected from the Proposed Collection; Comment ORF, in combination with its other rules/sro.shtml); or • Request regulatory fees and fines, does not Send an email to rule-comments@ exceed regulatory costs. sec.gov. Please include File No. SR– Upon Written Request, Copies Available The Exchange’s proposal to amend Phlx–2021–16 on the subject line. From: Securities and Exchange Options 7, Section 6D of the Phlx Paper Comments Commission, Office of FOIA Services, Pricing Schedule to make clear that the • 100 F Street NE, Washington, DC ORF is assessed to member Send paper comments in triplicate 20549–2736 to Secretary, Securities and Exchange organizations and note ‘‘member Extension: Rule 11a–3 organization’’ next to the term Commission, 100 F Street NE, ‘‘member’’ in one place does not impose Washington, DC 20549–1090. Notice is hereby given that pursuant an undue burden on competition. The All submissions should refer to File No. to the Paperwork Reduction Act of 1995 proposed amendments will bring greater SR–Phlx–2021–16. This file number (44 U.S.C. 3501–3520), the Securities should be included on the subject line and Exchange Commission (the 21 ISG is an industry organization formed in 1983 if email is used. To help the ‘‘Commission’’) is soliciting comments to coordinate intermarket surveillance among the Commission process and review your on the collection of information SROs by cooperatively sharing regulatory comments more efficiently, please use summarized below. The Commission information pursuant to a written agreement plans to submit this existing collection between the parties. The goal of the ISG’s information sharing is to coordinate regulatory 22 15 U.S.C. 78s(b)(3)(A). of information to the Office of efforts to address potential intermarket trading 23 17 CFR 240.19b–4(f)(2). abuses and manipulations. 24 15 U.S.C. 78s(b)(2)(B). 25 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00146 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17258 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices Management and Budget for extension transaction, (ii) if the fund imposes an The staff estimates that 5 percent of and approval. administrative fee on exchange these 1,397 funds (or 70 funds) Section 11(a) of the Investment transactions, other than a nominal one, terminate an exchange offer or make a Company Act of 1940 (‘‘Act’’) (15 U.S.C. to maintain and preserve records with material change to the terms of their 80a–11(a)) provides that it is unlawful respect to the actual costs incurred in exchange offer each year, requiring the for a registered open-end investment connection with exchanges for at least fund to comply with the notice company (‘‘fund’’) or its underwriter to six years, and (iii) give the fund’s requirement of the rule. The staff make an offer to the fund’s shareholders shareholders a sixty day notice of a estimates that complying with the or the shareholders of any other fund to termination of an exchange offer or any notice requirement of the rule requires exchange the fund’s securities for material amendment to the terms of an approximately 1 hour of attorney time securities of the same or another fund exchange offer (unless the only material (at an estimated $419 per hour) 3 and 2 on any basis other than the relative net effect of an amendment is to reduce or hours of clerical time (at an estimated asset values (‘‘NAVs’’) of the respective eliminate an administrative fee, sales $63 per hour) per fund, for a total of securities to be exchanged, ‘‘unless the load or redemption fee payable at the approximately 210 hours for all funds to terms of the offer have first been time of an exchange). comply with the notice requirement (at submitted to and approved by the 4 The rule’s requirements are designed a total annual cost of $38,150). The Commission or are in accordance with to protect investors against abuses staff estimates that such notices will be such rules and regulations as the associated with exchange offers, provide enclosed with other written materials Commission may have prescribed in fund shareholders with information sent to shareholders, such as annual respect of such offers.’’ Section 11(a) necessary to evaluate exchange offers shareholder reports or account was designed to prevent ‘‘switching,’’ statements, and therefore any burdens the practice of inducing shareholders of and certain material changes in the terms of exchange offers, and enable the associated with mailing required notices one fund to exchange their shares for are accounted for in the burdens the shares of another fund for the Commission staff to monitor funds’ use of administrative fees charged in associated with Form N–1A registration purpose of exacting additional sales statements for funds. charges. connection with exchange transactions. Rule 11a–3 (17 CFR 270.11a–3) under The staff estimates that there are The recordkeeping and notice the Act is an exemptive rule that approximately 1,397 active open-end requirements together impose an permits open-end investment investment companies registered with estimated total burden of 559 hours on companies (‘‘funds’’), other than the Commission as of October 2020. The all funds (at a total annual cost of insurance company separate accounts, staff estimates that 25 percent of these $60,137).5 The total number of and funds’ principal underwriters, to funds (349 funds) impose a non- respondents is 419, each responding make certain exchange offers to fund nominal administrative fee on exchange once a year.6 The burdens associated shareholders and shareholders of other transactions. The staff estimates that the with the disclosure requirement of the funds in the same group of investment recordkeeping requirement of the rule rule are accounted for in the burdens companies. The rule requires a fund, requires approximately 1 hour annually associated with the Form N–1A among other things, (i) to disclose in its of clerical time (at an estimated $63 per registration statement for funds. prospectus and advertising literature the hour) 1 per fund, for a total of 349 hours Table 1 below summarizes the amount of any administrative or for all funds (at a total annual cost of currently-approved and updated redemption fee imposed on an exchange $21,987).2 burdens associated with rule 11a–3. TABLE 1—SUMMARY OF BURDEN ESTIMATES FOR RULE 11a–3 Internal burden Wage rate Cost of internal burden CURRENTLY–APPROVED BURDEN ESTIMATES Recordkeeping Requirement ...... 1 hour ...... $59/hr. (clerk) ...... $59. Respondents ...... 402 funds ...... 402 funds. Total ...... 402 hours ...... $23,718. Notice Requirement ...... 1 hour ...... $392/hr. (attorney) ...... $392. 2 hours ...... $59/hr. (clerk) ...... $118. Respondents ...... 80 funds ...... 80 funds. Total ...... 240 hours ...... $40,800. Total Responses ...... 482 ...... (Recordkeeping + Notice) ...... 1 This estimate of $63 per hour for clerical work 3 The estimate of $419 per hour for an Attorney $29,330 total attorney cost); (140 (clerical hours) × and the other estimated wage rates below are is derived from SIFMA’s Management & $63 = $8,820 clerical cost); ($29,330 + $8,820 = derived from the Securities Industry and Financial Professional Earnings in the Securities Industry $38,150 total annual cost). Markets Association’s (‘‘SIFMA’’) Office Salaries in 2013, modified to account for an 1800-hour work- 5 This estimate is based on the following the Securities Industry 2013, modified to account year and multiplied by 5.35 to account for bonuses, calculations: (210 (notice hours) + 349 for an 1800-hour work-year and multiplied by 5.35 firm size, employee benefits and overhead (adjusted to account for bonuses, firm size, employee benefits for inflation). (recordkeeping hours) = 559 total hours); ($38,150 (notice costs) + $21,987 (recordkeeping costs) = and overhead (updated for inflation). 4 This estimate is based on the following 2 This estimate is based on the following calculations: (1,397 (funds) × 5% = 70 funds); (70 $60,137 total annual costs). calculations: (1,397 funds × 25% = 349 funds); (349 × 1 (attorney hour) = 70 total attorney hours); (70 6 This estimate is based on the following × 1 (clerical hour) = 349 clerical hours); (349 × $63 (funds) × 2 (clerical hours) = 140 total clerical calculation: (349 funds responding to recordkeeping = $21,987 total annual cost for recordkeeping hours); (70 (attorney hours) + 140 (clerical hours) requirement + 70 funds responding to notice requirement). = 210 total hours); (70 (attorney hours) × $419 = requirement = 419 total respondents). VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00147 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17259 TABLE 1—SUMMARY OF BURDEN ESTIMATES FOR RULE 11a–3—Continued Internal burden Wage rate Cost of internal burden Total Burden ...... 642 hours ...... $64,518. (Recordkeeping + Notice) ...... UPDATED BURDEN ESTIMATES Recordkeeping Requirement ...... 1 hour ...... $63/hr. (clerk) ...... $63. Respondents ...... 349 funds ...... 349 funds. Total ...... 349 hours ...... $21,987. Notice Requirement ...... 1 hour ...... $419/hr. (attorney) ...... $419. 2 hours ...... $63/hr. (clerk) ...... $126. Respondents ...... 70 funds ...... 70 funds. Total ...... 210 hours ...... $38,150. Total Responses ...... 419 (Recordkeeping + Notice) ...... Total Burden ...... 559 hours ...... $60,137 (Recordkeeping + Notice) ...... The estimate of average burden hours SECURITIES AND EXCHANGE II. Self-Regulatory Organization’s is made solely for the purposes of the COMMISSION Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Paperwork Reduction Act, and is not [Release No. 34–91425; File No. SR– derived from a comprehensive or even PEARL–2021–09] Change a representative survey or study of the In its filing with the Commission, the costs of Commission rules and forms. Self-Regulatory Organizations; MIAX Exchange included statements An agency may not conduct or sponsor, PEARL, LLC; Notice of Filing and concerning the purpose of and basis for and a person is not required to respond Immediate Effectiveness of a Proposed the proposed rule change and discussed to, a collection of information unless it Rule Change To Amend Exchange any comments it received on the displays a currently valid control Rule 2614, Orders and Order proposed rule change. The text of these number. Instructions, To Adopt and Make statements may be examined at the Available the Reserve Quantity places specified in Item IV below. The Written comments are requested on: Instruction for Orders on the MIAX Exchange has prepared summaries, set (a) Whether the collection of PEARL Equities Platform forth in sections A, B, and C below, of information is necessary for the proper the most significant aspects of such March 26, 2021. performance of the functions of the statements. Commission, including whether the Pursuant to Section 19(b)(1) of the information has practical utility; (b) the Securities Exchange Act of 1934 A. Self-Regulatory Organization’s accuracy of the Commission’s estimate (‘‘Act’’),1 and Rule 19b–4 thereunder,2 Statement of the Purpose of, and of the burden(s) of the collection of notice is hereby given that on March 23, Statutory Basis for, the Proposed Rule information; (c) ways to enhance the 2021, MIAX PEARL, LLC (‘‘MIAX Change quality, utility, and clarity of the PEARL’’ or ‘‘Exchange’’) filed with the 1. Purpose Securities and Exchange Commission information collected; and (d) ways to (‘‘Commission’’) the proposed rule The purpose of the proposed rule minimize the burden of the collection of change as described in Items I, II, and change is to amend Exchange Rule 2614, information on respondents, including III below, which Items have been Orders and Order Instructions, to adopt through the use of automated collection prepared by the Exchange. The the Reserve Quantity instruction that techniques or other forms of information Commission is publishing this notice to would be available to orders in equity technology. Consideration will be given solicit comments on the proposed rule securities traded on the Exchange’s to comments and suggestions submitted change from interested persons. equity trading platform (referred to in writing within 60 days of this herein as ‘‘MIAX Pearl Equities’’). In publication. I. Self-Regulatory Organization’s sum, a Reserve Quantity instruction Statement of the Terms of Substance of 3 Please direct your written comments would enable a User to specify that a the Proposed Rule Change portion of their order be displayed and to David Bottom, Director/Chief The Exchange is filing a proposed rule another portion of their order be non- Information Officer, Securities and change to amend Exchange Rule 2614, displayed. The proposed operation of Exchange Commission, C/O Cynthia Orders and Order Instructions, to adopt the Reserve Quantity instruction is well Roscoe, 100 F Street NE, Washington, established in the equity markets and is _ the Reserve Quantity instruction. DC 20549; or send an email to: PRA The text of the proposed rule change based on similar functionality offered at [email protected]. is available on the Exchange’s website at other exchanges.4 Dated: March 29, 2021. http://www.miaxoptions.com/rule- 3 J. Matthew DeLesDernier, filings/pearl at MIAX PEARL’s principal Exchange Rule 1901 defines the term ‘‘User’’ as office, and at the Commission’s Public ‘‘any Member or Sponsored Participant who is Assistant Secretary. Reference Room. authorized to obtain access to the System pursuant [FR Doc. 2021–06731 Filed 3–31–21; 8:45 am] to Exchange Rule 2602.’’ 4 See, e.g., Cboe BYX Exchange, Inc. (‘‘BYX’’) and BILLING CODE 8011–01–P 1 15 U.S.C. 78s(b)(1). Cboe BZX Exchange, Inc. Rules 11.9(c)(1), Cboe 2 17 CFR 240.19b–4. Continued VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00148 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17260 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices The Exchange understands that some trade with resting interest in the MIAX Random Replenishment market participants avoid sending large Pearl Equities Book or route to away displayed orders to MIAX Pearl Equities markets. When resting, both the Random Replenishment is an out of concern that revealing the full Displayed Quantity and Reserve instruction where replenishment size of their order may adversely impact Quantity are available for execution quantities are randomly determined by the market for the security. Market against incoming and Aggressing the System within a replenishment participants submitting large volume Orders.6 The Exchange also proposes to range established by the User. The User orders may, therefore, have the desire to make a related change to Exchange Rule entering an order into the System conceal the full size of their order to 2614(a)(1)(A)(i) to specify that the subject to the Random Replenishment avoid anticipatory action from other Reserve Quantity instruction may be instruction must select a replenishment market participants. As only a small attached to a Limit Order.7 value and a Max Floor. The initial portion of the order is visible at any one Replenishment Amounts Displayed Quantity and replenishment time, price movements and market quantities will be determined by the Exchange Rule 2614(c)(8)(A) would impact would be reduced. For example, System by randomly selecting a number describe how an order’s Displayed a large institutional investor may want of shares within a replenishment range to avoid placing a large sell order that Quantity may be replenished from the Reserve Quantity. Specifically, that is between: (i) The Max Floor could cause panic. On the other hand, minus the replenishment value; and (ii) an institutional investor looking to buy Exchange Rule 2614(c)(8)(A) would the Max Floor plus the replenishment shares at the lowest possible price may provide that a User must select the 13 want to avoid placing a large buy order initial Displayed Quantity (‘‘Max value. that professional traders could see and Floor’’) when entering an order with a The following example illustrates the attempt to increase the price of the Reserve Quantity.8 The Max Floor is operation of Random Replenishment. A stock. also used to determine the User enters an order into the System to To facilitate the liquidation or replenishment amount and must be buy 10,000 shares at $100 and the User acquisition of a large position, market entered in round lots.9 If the Displayed selects Random Replenishment with a participants tend to submit multiple Quantity is reduced to less than the Max Floor of 1,000 shares and a 10 11 orders into the market that may only round lot, the System will replenish replenishment value of 400 shares represent a fraction of the overall the Displayed Quantity from the Reserve (‘‘Order 1’’). Under Random institutional position to be executed. Quantity using one of two Replenishment, the System will Various strategies used by institutional replenishment options in accordance generate the initial Displayed Quantity with the User’s instruction. The two market participants to execute large and subsequent replenished Displayed proposed replenishment options are orders are intended to limit price Quantities from within a replenishment Random Replenishment and Fixed movement of the security at issue. range that is calculated by adding and Replenishment, the descriptions of each Displaying the full size of their interest subtracting the 400 share replenishment at one time may impact the market for would be set forth under proposed value from the order’s Max Floor of that security such that the execution of Exchange Rule 2614(c)(8)(A)(i), 1,000 shares. For Order 1, 1,000 shares their order’s full size may be more described below. Proposed Exchange plus or minus 400 shares equals a costly to execute. As a result, these Rule 2614(c)(8)(A)(ii) sets forth the orders may often be executed away from default replenishment option and replenishment range of 600 to 1,400 the Exchange in dark pools or other provides an order with a Reserve shares. Assume the System randomly exchanges that offer the same Quantity will be subject to Fixed chooses an initial Displayed Quantity of functionality as proposed herein,5 or via Replenishment unless the User 800 shares, resulting in a Reserve broker-dealer internalization. affirmatively elects Random Quantity of 9,200 shares. An inbound To attract larger orders, the Exchange Replenishment.12 Market Order 14 to sell 800 shares proposes to add new optional (‘‘Order 2’’) is entered into the System functionality in the form of the Reserve 6 Exchange Rule 1901 defines the term and Order 2 executes against Order 1’s ‘‘Aggressing Order’’ as ‘‘an order to buy (sell) that 800 share Displayed Quantity. Under Quantity instruction. The proposed is or becomes marketable against sell (buy) interest Reserve Quantity instruction would be on the MIAX Pearl Equities Book. A resting order Random Replenishment, the Displayed set forth under new paragraph (c)(8) of may become an Aggressing Order if its working Quantity of Order 1 is randomly Exchange Rule 2614 and be described as price changes, if the PBBO or NBBO is updated, replenished to a new round lot quantity because of changes to other orders on the MIAX an instruction a User may attach to an Pearl Equities Book, or when processing inbound within the replenishment range of 600 order where a portion of the order is messages.’’ to 1,400 shares. Assume the System displayed (‘‘Displayed Quantity’’) and 7 Exchange Rule 2614(a)(1)(A)(i) would also selects a replenishment quantity of with a portion of the order non- provide that a displayed Limit Order with a Reserve 1,200 shares for Order 1. Order 1’s Quantity must include a replenishment instruction displayed (‘‘Reserve Quantity’’). Upon and a replenishment amount, as described herein. Displayed Quantity will be 1,200 shares entry, both the Displayed Quantity and 8 This behavior is identical to that of the Cboe to buy at $100, resulting in a Reserve the Reserve Quantity are eligible to Equity Exchanges and NYSE Exchanges. See, e.g., Quantity of 8,000 shares. Upon EDGX Rule 11.6(m)(1) and NYSE Rule replenishment, the Displayed Quantity 7.31(d)(1)(A). EDGA Exchange, Inc. (‘‘EDGA’’) and Cboe EDGX will receive a new time stamp and the Exchange, Inc. (‘‘EDGX’’, collectively with BYX, 9 100 shares constitutes a ‘‘round lot’’, unless BZX, and EDGA, the ‘‘Cboe Equity Exchanges’’) specified by the primary listing market to be fewer Rules 11.6(m), New York Stock Exchange LLC than 100 shares. See Exchange Rule 2610. 13 This behavior is identical to that of the Cboe (‘‘NYSE’’) Rule 7.31(d)(1), NYSE Arca, Inc. (‘‘NYSE 10 This behavior is identical to that of the Cboe Equity Exchanges. See, e.g., EDGX Rule Arca’’) Rule 7.31–E(d)(1), NYSE American LLC Equity Exchanges and NYSE Exchanges. See, e.g., 11.6(m)(1)(A). See also NASDAQ Rule 4703(h) (‘‘NYSE American’’, collectively with NYSE and EDGX Rule 11.6(m)(1) and NYSE Rule 7.31(d)(1)(A). (providing that the Participant may stipulate that NYSE Arca, the ‘‘NYSE Exchanges’’) Rule 11 The term ‘‘System’’ means the automated the original and subsequent displayed size will be 7.31E(d)(1), Investors Exchange, Inc. (‘‘IEX’’) Rule trading system used by the Exchange for the trading an amount randomly determined based on factors 11.190(b)(2), The NASDAQ Stock Market LLC of securities. See Exchange Rule 100. selected by the Participant (a ‘‘Random Reserve’’)). (‘‘NASDAQ’’) Rule 4703(h), and MEMX LLC 12 This default behavior is identical to that of the 14 A Market Order is an order to buy (sell) a stated (‘‘MEMX’’) Rule 11.6(k). Cboe Equity Exchanges. See, e.g., EDGX Rule amount of a security that is to be executed at the 5 Id. 11.6(m)(1)(B). PBO (PBB) or better. See Exchange Rule 2614(a)(2). VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00149 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17261 Reserve Quantity will retain its original is less than Order’s 1 Max Floor of 100 attached to a Limit Order.21 The time stamp, as described below.15 shares. Displayed Quantity of the Limit Order will be subject to the Exchange’s Fixed Replenishment Priority existing standard re-pricing processes Fixed Replenishment is an instruction Exchange Rule 2614(c)(8)(B) would for displayed orders.22 Exchange Rule where the System will replenish the describe the priority treatment of an 2614(c)(8)(C) would specify that the Displayed Quantity to equal the Max order’s Displayed Quantity and Reserve Reserve Quantity’s working price will Floor designated by the User.16 The Quantity. Exchange Rule 2614(c)(8)(B)(i) be adjusted pursuant to the Non- following example illustrates the would provide that the Displayed Displayed Price Sliding Process as operation of Fixed Replenishment. A Quantity of the order is provided provided for Exchange Rule 2614(g)(2). displayed priority pursuant to Exchange User enters an order into the System to Routing buy 10,000 shares at $100 with a Max Rule 2616(a)(2)(A)(i) and the Reserve Floor of 1,000 shares and a Reserve Quantity is provided non-displayed The behavior of an order with a Quantity of 9,000 shares (‘‘Order 1’’). priority pursuant to Exchange Rule Reserve Quantity would be described The order defaults to Fixed 2616(a)(2)(A)(ii).18 The Exchange does under Exchange Rule 2614(c)(8)(D) and Replenishment with an initial Displayed not propose to make any changes to would provide that any quantity of an Quantity of 1,000 shares, equal to its Exchange Rule 2616 regarding the order with a Reserve Quantity that is Max Floor. An inbound Market Order to priority of displayed and non-displayed returned unexecuted will join the sell 400 shares is entered into the orders. Reserve Quantity. If there is no Reserve System (‘‘Order 2’’). Order 2 executes The following example illustrates this Quantity to join, the returned quantity against the Order 1’s Displayed Quantity behavior. A User enters an order to buy will be assigned a new time stamp as of 1,000 shares, resulting in Order 1’s 6,000 shares at $30.50, the PBB,19 with the Reserve Quantity. In either case, Displayed Quantity to be decremented a Displayed Quantity of 1,000 shares such Reserve Quantity will replenish to 600 shares. Another order to sell 600 and a Reserve Quantity of 5,000 shares the Displayed Quantity pursuant to the shares is entered (‘‘Order 3’’). Order 3 (‘‘Order 1’’). Order 1 is subject to Fixed replenishment options set forth under executes against Order 1’s Displayed Replenishment. A User then enters a Exchange Rule 2614(C)(8)(A)(1), Quantity of 600 shares. Order 1’s displayed order to buy 600 shares at described above.23 $30.50 with no Reserve Quantity Displayed Quantity is then replenished Cancel/Replace Messages by the System from its Reserve Quantity (‘‘Order 2’’). Subsequently, an order to to the order’s Max Floor of 1,000 shares, sell 2,000 shares is entered into the The Exchange proposes to amend resulting in a remaining Reserve System (‘‘Order 3’’). Order 3 first Exchange Rule 2614(e)(3) to describe Quantity of 8,000 shares. executes against the Order 1’s Displayed what changes may be made to an order with a Reserve Quantity via a Replace Exchange Rule 2614(c)(8)(A)(iii) Quantity of 1,000 shares, then executes Message. Currently, Exchange Rule would provide that if after a partial against the full 600 shares of Order 2, 2614(e)(3) provides that only the price, execution the remainder of the order is and then executes 400 shares from sell long, sell short, or short exempt less than the replenishment amount, the Order 1’s Reserve Quantity. The indicator, and size terms of the order Exchange will replenish the Displayed Displayed Quantities of Orders 1 and 2 may be changed by a Replace Message. Quantity to equal the remaining size of execute in time priority, followed by the The Exchange proposes to amend the order.17 The following example Reserve Quantity of Order 1. The Exchange Rule 2614(e)(3) to also illustrates the proposed behavior. A Displayed Quantity of Order 1 is then provide that the Max Floor of an order User enters an order into the System to replenished for 1,000 shares, leaving a with a Reserve Quantity may also be buy 200 shares at $100 with a Max Floor Reserve Quantity of 3,600 shares. changed by a Replace Message.24 If a of 100 shares and a Reserve Quantity of As discussed above, Exchange Rule User desires to change any other terms 100 shares (‘‘Order 1’’). Order 1 defaults 2614(c)(8)(B)(ii) would provide that of an existing order the existing order to Fixed Replenishment with an initial each time the Displayed Quantity is must be cancelled and a new order must Displayed Quantity of 100 shares, equal replenished from the Reserve Quantity, be entered. to its Max Floor. An inbound Market a new time stamp is created for the The Exchange proposes to make a Order to sell 150 shares is entered into Displayed Quantity, while the Reserve 20 related change to Exchange Rule the System (‘‘Order 2’’). Order 2 Quantity retains its time stamp. 2616(a)(5) to describe when a executes against the Order 1’s Displayed Re-Pricing modification to an order with a Reserve Quantity of 100 shares and then As stated above, the Exchange Quantity made pursuant to Exchange executes against Order 1’s Reserve proposes to amend Exchange Rule Rule 2614(e)(5) described above may Quantity of 50 shares, resulting in Order 2614(a)(1)(A)(i) to specify that the result in a change to that order’s 1’s Reserve Quantity to be decremented Reserve Quantity instruction may be timestamp. Exchange Rule 2616(a)(5) to 50 shares. The total size of Order 1 currently provides that in the event an is now 50 shares (0 share Displayed 18 This proposed priority treatment is identical to order has been cancelled or replaced in Quantity + 50 shares Reserve Quantity the Cboe Equity Exchange and the NYSE accordance with Exchange Rule 2614(e), = 50 shares). Order 1’s Displayed Exchanges. See, e.g., EDGX Rule 11.9(a)(6) and such order only retains its timestamp if Quantity will now equal its remaining NYSE Rule 7.31(d)(1). order size of 50 shares because 50 shares 19 With respect to the trading of equity securities, the term ‘‘Protected NBB’’ or ‘‘PBB’’ shall mean the 21 The Exchange does not propose to allow a national best bid that is a Protected Quotation, the Reserve Quantity to be included with any other 15 This behavior is identical to that of the NYSE term ‘‘Protected NBO’’ or ‘‘PBO’’ shall mean the order type at this time. Exchanges. See, e.g., NYSE Rule 7.31(d)(1)(B). See national best offer that is a Protected Quotation, and 22 See Exchange Rule 2614(a)(1)(E), (F), and (H). infra note 20 and accompanying text. the term ‘‘Protected NBBO’’ or ‘‘PBBO’’ shall mean This proposed behavior is identical to the NYSE 16 This behavior is identical to that of the Cboe the national best bid and offer that is a Protected Exchanges. See, e.g., NYSE Rule 7.31(d)(1). Equity Exchanges. See, e.g., EDGX Rule Quotation. See Exchange Rule 1901. 23 This behavior is identical to that of the NYSE 11.6(m)(1)(B). 20 This proposed priority treatment is identical to Exchanges. See, e.g., NYSE Rule 7.31(d)(1)(D)(ii). 17 This behavior is identical to that of the Cboe the NYSE Exchanges. See, e.g., NYSE Rule 24 This behavior is identical to that of the Cboe Equity Exchanges. See, e.g., EDGX Rule 11.6(m)(1). 7.31(d)(1)(B). Equity Exchanges. See, e.g., EDGX Rule 11.10(e)(3). VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00150 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17262 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices such modification involves a decrease of the order is visible at any one time, the Exchange believes the proposed rule in the size of the order or a change in potentially reducing price movements change is consistent with the Act. position from (A) sell to sell short; (B) and market impact. For example, a large B. Self-Regulatory Organization’s sell to sell short exempt; (C) sell short institutional investor may want to avoid Statement on Burden on Competition to sell; (D) sell short to sell short placing a large sell order that could exempt; (E) sell short exempt to sell; cause panic. On the other hand, an The Exchange does not believe that and (F) sell short exempt to sell short. institutional investor looking to buy the proposed rule change will impose The Exchange proposes to amend shares at the lowest possible price may any burden on competition that is not Exchange Rule 2616(a)(5) to also want to avoid placing a large buy order necessary or appropriate in furtherance provide that a change to the Max Floor that professional traders could see and of the purposes of the Act. In fact, the of an order with a Reserve Quantity in attempt to increase the price of the Exchange believes that the proposal may accordance with Exchange Rule stock. Therefore, the proposal would have a positive effect on competition 2614(e)(5) will not result in a change to also provide them with greater potential because it will enable the Exchange to the order’s timestamp.25 Any other to improve the quality of their order offer functionality substantially similar modification to an order with a Reserve executions. to that offered by the Cboe Equity Quantity, including an increase in the Because the Exchange does not have Exchanges, the NYSE Exchanges, 29 size of the order and/or price change, this functionality, the Exchange believes NASDAQ, MEMX, and IEX. As noted will result in such order losing time that market participants, such as large above, the Exchange believes its lack of priority as compared to other orders in institutions that transact a large number this functionality has put it at a the MIAX Pearl Equities Book and the of orders on behalf of retail investors, do competitive disadvantage as market timestamp for such order being revised not frequently send large orders to the participants, such as large institutions to reflect the time of the modification. Exchange to avoid potentially more that transact a large number of orders on expensive transactions. In this regard, behalf of retail investors, have avoided Implementation the Exchange notes that the proposed sending large orders to the Exchange to avoid potentially more expensive Due to the technological changes new optional Reserve Quantity transactions. This proposal is designed associated with this proposed change, instruction may improve the Exchange’s to allow the Exchange to directly the Exchange will issue a trading alert market by attracting more order flow. compete with other exchanges that offer publicly announcing the Such new order flow will further similar Reserve Quantity functionality. implementation date of this proposed enhance the depth and liquidity on the The Exchange believes that its proposal rule change. The Exchange anticipates Exchange, which supports just and promotes competition because it is that the implementation date will be in equitable principles of trade and designed to attract liquidity to the either the second or third quarter of benefits all market participants. Exchange by allowing market 2021. Furthermore, the proposed Reserve participants to designate how much of 2. Statutory Basis Quantity instruction is consistent with their order is to be displayed at one providing market participants with The proposed rule change is time, thus providing them with greater flexibility over their orders so functionality available to them on other consistent with Section 6(b) of the that they may achieve their trading goals 26 exchanges. Act, in general, and furthers the and improve the quality of their 27 objectives of Section 6(b)(5), in executions. C. Self-Regulatory Organization’s particular, because it is designed to Lastly, the Exchange believes its Statement on Comments on the prevent fraudulent and manipulative proposal promotes just and equitable Proposed Rule Change Received From acts and practices, to promote just and principles of trade because the proposed Members, Participants, or Others equitable principles of trade, to foster operation of the Reserve Quantity Written comments were neither cooperation and coordination with instruction is well established in the solicited nor received. persons engaged in regulating, clearing, equity markets and is based on similar settling, processing information with functionality at other exchanges.28 The III. Date of Effectiveness of the respect to, and facilitating transactions Exchange does not propose to include Proposed Rule Change and Timing for in securities, to remove impediments to any unique functionality as part of its Commission Action and perfect the mechanism of a free and proposed Reserve Quantity instruction. Because the foregoing proposed rule open market and a national market For example, the Exchange does not change does not: (i) Significantly affect system, and, in general, to protect propose any unique priority treatment the protection of investors or the public investors and the public interest. The for orders with a Reserve Quantity as interest; (ii) impose any significant proposed rule change would remove the Displayed Quantity will be provided burden on competition; and (iii) become impediments to and promote just and displayed priority and the Reserve operative for 30 days after the date of equitable principles of trade because it Quantity will be provided non- the filing, or such shorter time as the would provide market participants, displayed priority under existing Commission may designate, it has including institutional firms who Exchange Rule 2616(a). The Exchange become effective pursuant to 19(b)(3)(A) ultimately represent individual retail also does not propose to route an order of the Act 30 and Rule 19b–4(f)(6) 31 investors in many cases, with optional with a Reserve Quantity any differently thereunder. functionality that would provide them than other orders that are eligible to be with better control over their orders. routed to an away market center under 29 Id. As discussed above, the proposed 30 Exchange Rule 2617(b). As described 15 U.S.C. 78s(b)(3)(A). optional Reserve Quantity would allow 31 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– throughout the proposal, all portions of a User to elect that only a small portion 4(f)(6) requires a self-regulatory organization to give the proposed rule text are based on the the Commission written notice of its intent to file rules of the Cboe Equity Exchanges or the proposed rule change at least five business days 25 This behavior is identical to that of the Cboe the NYSE Equity Exchanges. Therefore, prior to the date of filing of the proposed rule Equity Exchanges. See, e.g., EDGX Rule 11.9(a)(4). change, or such shorter time as designated by the 26 15 U.S.C. 78f(b). Commission. The Exchange has satisfied this 27 15 U.S.C. 78f(b)(5). 28 See supra note 4. requirement. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00151 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17263 At any time within 60 days of the personal identifying information from the Commission shall either approve the filing of the proposed rule change, the comment submissions. You should proposed rule change, disapprove the Commission summarily may submit only information that you wish proposed rule change, or institute temporarily suspend such rule change if to make available publicly. All proceedings to determine whether the it appears to the Commission that such submissions should refer to File proposed rule change should be action is necessary or appropriate in the Number SR–PEARL–2021–09, and disapproved. The 45th day after public interest, for the protection of should be submitted on or before April publication of the notice for this investors, or otherwise in furtherance of 22, 2021. proposed rule change is April 2, 2021. the purposes of the Act. If the For the Commission, by the Division of The Commission is extending this 45- Commission takes such action, the Trading and Markets, pursuant to delegated day time period. Commission shall institute proceedings authority.32 The Commission finds it appropriate to determine whether the proposed rule J. Matthew DeLesDernier, to designate a longer period within should be approved or disapproved. Assistant Secretary. which to take action on the proposed IV. Solicitation of Comments [FR Doc. 2021–06671 Filed 3–31–21; 8:45 am] rule change so that it has sufficient time BILLING CODE 8011–01–P to consider the proposed rule change Interested persons are invited to and the comment received. Accordingly, submit written data, views, and the Commission, pursuant to Section arguments concerning the foregoing, SECURITIES AND EXCHANGE 19(b)(2) of the Act,5 designates May 17, including whether the proposed rule COMMISSION 2021 as the date by which the change is consistent with the Act. Commission shall either approve or Comments may be submitted by any of [Release No. 34–91413; File No. SR- NASDAQ–2021–007] disapprove, or institute proceedings to the following methods: determine whether to disapprove, the Electronic Comments Self-Regulatory Organizations; The proposed rule change (File No. SR– • Use the Commission’s internet Nasdaq Stock Market LLC; Notice of NASDAQ–2021–007). comment form (http://www.sec.gov/ Designation of a Longer Period for For the Commission, by the Division of rules/sro.shtml); or Commission Action on a Proposed Trading and Markets, pursuant to delegated • Send an email to rule-comments@ Rule Change To Adopt Additional authority.6 sec.gov. Please include File Number SR– Initial Listing Criteria for Companies J. Matthew DeLesDernier, PEARL–2021–09 on the subject line. Primarily Operating in Jurisdictions Assistant Secretary. That Do Not Provide the PCAOB With [FR Doc. 2021–06668 Filed 3–31–21; 8:45 am] Paper Comments the Ability To Inspect Public BILLING CODE 8011–01–P • Send paper comments in triplicate Accounting Firms to Secretary, Securities and Exchange Commission, 100 F Street NE, March 26, 2021. Washington, DC 20549–1090. On February 1, 2021, The Nasdaq SMALL BUSINESS ADMINISTRATION Stock Market LLC (‘‘Nasdaq’’ or All submissions should refer to File ‘‘Exchange’’) filed with the Securities Number SR–PEARL–2021–09. This file Interest Rates and Exchange Commission number should be included on the (‘‘Commission’’), pursuant to Section The Small Business Administration subject line if email is used. To help the 19(b)(1) of the Securities Exchange Act publishes an interest rate called the Commission process and review your of 1934 (‘‘Act’’) 1 and Rule 19b–4 optional ‘‘peg’’ rate (13 CFR 120.214) on comments more efficiently, please use thereunder,2 a proposed rule change to a quarterly basis. This rate is a weighted only one method. The Commission will adopt additional initial listing criteria average cost of money to the post all comments on the Commission’s for companies primarily operating in government for maturities similar to the internet website (http://www.sec.gov/ jurisdictions that do not provide the average SBA direct loan. This rate may rules/sro.shtml). Copies of the Public Company Accounting Oversight be used as a base rate for guaranteed submission, all subsequent Board with the ability to inspect public fluctuating interest rate SBA loans. This amendments, all written statements accounting firms. The proposed rule rate will be 1.38 percent for the April– with respect to the proposed rule change was published for comment in June quarter of FY 2021. change that are filed with the the Federal Register on February 16, Pursuant to 13 CFR 120.921(b), the Commission, and all written 2021.3 maximum legal interest rate for any communications relating to the Section 19(b)(2) of the Act 4 provides third party lender’s commercial loan proposed rule change between the that within 45 days of the publication of which funds any portion of the cost of Commission and any person, other than notice of the filing of a proposed rule a 504 project (see 13 CFR 120.801) shall those that may be withheld from the change, or within such longer period up be 6% over the New York Prime rate or, public in accordance with the to 90 days as the Commission may if that exceeds the maximum interest provisions of 5 U.S.C. 552, will be designate if it finds such longer period rate permitted by the constitution or available for website viewing and to be appropriate and publishes its laws of a given State, the maximum printing in the Commission’s Public reasons for so finding, or as to which the interest rate will be the rate permitted Reference Room, 100 F Street NE, self-regulatory organization consents, by the constitution or laws of the given Washington, DC 20549, on official State. business days between the hours of 32 17 CFR 200.30–3(a)(12). John Wade, 10:00 a.m. and 3:00 p.m. Copies of the 1 15 U.S.C.78s(b)(1). filing also will be available for 2 17 CFR 240.19b–4. Chief, Secondary Market Division. inspection and copying at the principal 3 See Securities Exchange Act Release No. 91089 [FR Doc. 2021–06695 Filed 3–31–21; 8:45 am] (February 9, 2021), 86 FR 9549. Comment on the office of the Exchange. All comments BILLING CODE P proposed rule change can be found at: https:// received will be posted without change. www.sec.gov/comments/sr-nasdaq-2021-007/ Persons submitting comments are srnasdaq2021007.htm. 5 Id. cautioned that we do not redact or edit 4 15 U.S.C. 78s(b)(2). 6 17 CFR 200.30–3(a)(31). VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00152 Fmt 4703 Sfmt 9990 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17264 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices DEPARTMENT OF STATE • Frequency: For each specific event; DEPARTMENT OF THE TREASURY annually. [Public Notice: 11391] Call for Nominations for Secretary • Obligation to Respond: Mandatory Appointments to Treasury Tribal 30-Day Notice of Proposed Information and/or Required to Obtain or Retain a Advisory Committee Collection: Foreign Diplomatic Benefit. Services Applications (FDSA) We are soliciting public comments to AGENCY: Department of the Treasury. permit the Department to: ACTION: Notice of request for public ACTION: Notice. comment and submission to OMB of • Evaluate whether the proposed proposed collection information. information collection is necessary for SUMMARY: This notice announces that the proper functions of the Department. the Designated Federal Officer of the SUMMARY: The Department of State has • Department of the Treasury Tribal submitted the information collection Evaluate the accuracy of our Advisory Committee (TTAC) is seeking described below to the Office of estimate of the time and cost burden for on behalf of the Secretary of the Management and Budget (OMB) for this proposed collection, including the Treasury (Secretary) nominations for approval. In accordance with the validity of the methodology and three individuals to be appointed by the Paperwork Reduction Act of 1995 we assumptions used. Secretary as members of the TTAC. The are requesting comments on this • Enhance the quality, utility, and TTAC advises the Secretary on matters collection from all interested clarity of the information to be related to the taxation of Indians, individuals and organizations. The collected. training and education for Internal purpose of this Notice is to allow 30 • Revenue Service (IRS) field agents who days for public comment. Minimize the reporting burden on those who are to respond, including the administer and enforce internal revenue DATES: Submit comments up to May 3, use of automated collection techniques laws with respect to Indian tribes, and 2021. or other forms of information training and technical assistance for ADDRESSES: Written comments and technology. tribal financial officers. Nominations recommendations for the proposed should describe the candidate’s information collection should be sent Please note that comments submitted qualifications for TTAC membership. within 30 days of publication of this in response to this Notice are public Submittal of an application and resume notice to www.reginfo.gov/public/do/ record. Before including any detailed for each nominee is required. PRAMain. Find this particular personal information, you should be information collection by selecting aware that your comments as submitted, DATES: Please submit applications for ‘‘Currently under 30-day Review—Open including your personal information, appointment by the Secretary to the for Public Comments’’ or by using the will be available for public review. TTAC, the names and qualifications of search function. individuals you would recommend for Abstract of Proposed Collection appointment to the TTAC by the FOR FURTHER INFORMATION CONTACT: Secretary, or any comments on this Direct requests for additional Collection information instruments matter, before June 1, 2021. information regarding the collection dealing with information collection listed in this notice, including requests from the foreign mission community, to ADDRESSES: Please send applications or for copies of the proposed collection include the electronic data compilation recommendations to TTAC@ instrument and supporting documents, (e-Gov), have been combined under one treasury.gov, with a subject line to Timothy R. Johnson at 3507 information collection request, ‘‘Treasury Tribal Advisory Committee International Place NW, Washington, collectively referred to as the ‘‘Foreign member application or recommendation.’’ Self-nominations DC 20008, who may be reached on 202– Diplomatic Services Applications’’. and re-nominations of current TTAC 895–3556 or at [email protected]. These information collection members are welcome. The Department SUPPLEMENTARY INFORMATION: instruments provide the Office of • of the Treasury will accept applications Title of Information Collection: Foreign Missions and the Office of the Foreign Diplomatic Services for Secretarial appointments to the Chief of Protocol with the information TTAC until June 1, 2021. Applications (FDSA). necessary to provide and administer an • OMB Control Number: 1405–0105. effective and efficient benefits, FOR FURTHER INFORMATION CONTACT: • Type of Request: Revision of a privileges, and immunities program by Nancy Montoya, Policy Analyst, Currently Approved Collection. Department of the Treasury, 1500 • Originating Office: M/OFM. which foreign missions and eligible • applicants may apply for benefits from Pennsylvania Avenue NW, Room Form Number: DS–98, DS–99, DS– 1426G, Washington, DC 20220, at (202) 100, DS–101, DS–102, DS–104, DS– the U.S. Department of State, to which they are entitled pursuant to the Foreign 622–2031 (this is not a toll-free number) 1504, DS–1972D, DS–1972T, DS–2003, or by emailing [email protected]. Missions Act. DS–2004, DS–2005, DS–2006, DS–2008, Persons who have difficulty hearing or DS- 4139, DS–4140, DS–4284, DS–4285, Methodology speaking may access this number via DS–4298, DS–4299, DS–7675. • TTY by calling the toll-free Federal Respondents: Foreign Mission Information may be received via Relay Service at (800) 877–8339. Community. Email or electronic submission through • Estimated Number of Respondents: eGov at https://egov.ofm.state.gov/. SUPPLEMENTARY INFORMATION: This 79,095. request for nominations, particularly • Estimated Number of Responses: Kevin E. Bryant, from tribal leaders, is in furtherance of 79,095. Deputy Director, Office of Directives the objectives of Executive Order 13175, • Average Time per Response: 13 Management, Department of State. as reaffirmed by the Presidential minutes. [FR Doc. 2021–06710 Filed 3–31–21; 8:45 am] Memorandum of January 26, 2021 • Total Estimated Burden Time: BILLING CODE 4710–43–P (Tribal Consultation and Strengthening 18,200 hours annually. Nation-to-Nation Relationships). VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00153 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17265 Background be directed to the offices of the four analyzing in connection with its next I. Description and Mandate of the Members of Congress specified in the report concerning the participation of TTAC law, whose roles are identified above. small insurers in the Program, including any competitive challenges such II. Application for TTAC Appointment Section 3 of the Tribal General insurers face in the terrorism risk Welfare Exclusion Act of 2014 On behalf of the Secretary, the insurance marketplace. (TGWEA), Public Law 113–68, 128 Stat. Designated Federal Officer of the TTAC DATES: Submit comments on or before 1883 (Sept. 26, 2014), directs the seeks applications from individuals May 17, 2021. Secretary to establish a Tribal Advisory with experience and qualifications in ADDRESSES: Submit comments Committee to advise the Secretary on the subject areas identified by the electronically through the Federal matters related to the taxation of TWGEA: Indian taxation, IRS field agent eRulemaking Portal: http:// Indians, the training of Internal Revenue training, and Native American financial www.regulations.gov, or by mail to the Service field agents, and the provision officer training and technical assistance. Federal Insurance Office, Attn: Richard of training and technical assistance to TTAC members appointed by the Ifft, Room 1410 MT, Department of the Native American financial officers. Secretary will serve as volunteers for Treasury, 1500 Pennsylvania Avenue Pursuant to Section 3 of the TGWEA terms of four years. TTAC member NW, Washington, DC 20220. Because and in accordance with the provisions travel expenses will be reimbursed postal mail may be subject to processing of the Federal Advisory Committee Act within U.S. government guidelines. No delays, it is recommended that (FACA), 5 U.S.C. App. 1 et seq., the person who is a federally-registered comments be submitted electronically. TTAC was established on February 10, lobbyist may serve on the TTAC. All If submitting comments by mail, please 2015, as the ‘‘Department of the potential candidates must pass an IRS submit an original version with two Treasury Tribal Advisory Committee.’’ tax compliance check and a Federal copies. Comments should be captioned The TTAC’s Charter provides that it Bureau of Investigation (FBI) with ‘‘2021 TRIA Small Insurer Study shall operate under the provisions of the background investigation. Comments.’’ Please include your name, FACA and shall advise and report to the To apply, an applicant must submit group affiliation, address, email address, Secretary on: an appropriately detailed resume and a (1) Matters related to the taxation of and telephone number(s) in your cover letter that includes a description comment. Indians; of the applicant’s reason for applying. (2) The establishment of training and Where appropriate, a comment should An applicant must state in the include a short Executive Summary (no education for internal revenue field application materials that he or she agents who administer and enforce more than five single-spaced pages). agrees to submit to a pre-appointment FOR FURTHER INFORMATION CONTACT: internal revenue laws with respect to tax and criminal background Indian tribes of Federal Indian law and Richard Ifft, Senior Insurance investigation in accordance with Regulatory Policy Analyst, Federal the Federal Government’s unique legal Treasury Directive 21–03. treaty and trust relationship with Indian Insurance Office, Room 1410 MT, tribal governments; and Dated: March 29, 2021. Department of the Treasury, 1500 (3) The establishment of training of Krishna P. Vallabhaneni, Pennsylvania Avenue NW, Washington, such internal revenue field agents, and Tax Legislative Counsel and Designated DC 20220, at (202) 622–2922 (not a toll- provisions of training and technical Federal Officer. free number), Lindsey Baldwin, Senior assistance to tribal financial officers, [FR Doc. 2021–06747 Filed 3–31–21; 8:45 am] Insurance Regulatory Policy Analyst, about implementation of the TGWEA BILLING CODE 4810–AK–P Federal Insurance Office, at (202) 622– and any amendments. 3220 (not a toll free number), or Daniel Section 3(c) of the TGWEA provides McKnight, Policy Analyst, Federal that the TTAC’s membership is DEPARTMENT OF THE TREASURY Insurance Office, at (202) 622–7009 (not composed of seven members in total, a toll free number). Persons who have three members appointed by the Comments in Aid of Analyses of the difficulty hearing or speaking may Secretary and one member appointed by Terrorism Risk Insurance Program access these numbers via TTY by calling each of the following four Members of AGENCY: Departmental Offices, U.S. the toll-free Federal Relay Service at Congress: The Chairman and Ranking Department of the Treasury. (800) 877–8339. Member of the Committee on Ways and ACTION: Request for comments. SUPPLEMENTARY INFORMATION: Means of the House of Representatives I. Background and the Chairman and Ranking Member SUMMARY: The Terrorism Risk Insurance of the Committee on Finance of the Act of 2002 (TRIA) created the Section 104(h) of TRIA 1 directs the Senate. Pursuant to section 3(c)(2) of the Terrorism Risk Insurance Program (TRIP Secretary, beginning in calendar year TGWEA, the first members appointed by or Program) to address disruptions in 2016, to ‘‘require insurers participating the Secretary serve for a term of two the market for terrorism risk insurance, in the Program to submit to the years. All Congressional appointments to help ensure the continued availability Secretary such information regarding and all but the first Secretary and affordability of commercial insurance coverage for terrorism losses appointments are made for a term of property and casualty insurance for of such insurers as the Secretary four years. The terms of the first seven terrorism risk, and to allow for the considers appropriate to analyze the appointed TTAC members began on private markets to stabilize and build effectiveness of the Program[.]’’ This June 20, 2019, the date of the TTAC’s insurance capacity to absorb any future information and data includes first meeting. losses for terrorism events. The information regarding: (1) Lines of This notice requests nominations for Secretary of the Treasury (Secretary) insurance with exposure to such losses; the three Secretary appointments whose administers the Program, with the terms expire on June 20, 2021. assistance of the Federal Insurance 1 Public Law 107–297, 116 Stat. 2322, codified at 15 U.S.C. 6701, note. As the provisions of TRIA (as Recommendations for the four Office (FIO). Treasury requests amended) appear in a note, instead of particular Congressional appointments to the comments from interested parties sections, of the United States Code, the provisions TTAC expiring on June 20, 2023, should concerning the issues that FIO will be of TRIA are identified by the sections of the law. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00154 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17266 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices (2) premiums earned on such coverage; In addition, Treasury welcomes the aggregated data collected by (3) geographical location of exposures; qualitative and quantitative comments Treasury. (4) pricing of such coverage; (5) the take- on the following specific topics that Dated: March 24, 2021. up rate for such coverage; (6) the may be relevant to the competitiveness Steven E. Seitz, amount of private reinsurance for acts of of small insurers in the terrorism risk Director, Federal Insurance Office. terrorism purchased; and (7) such other insurance marketplace. [FR Doc. 2021–06698 Filed 3–31–21; 8:45 am] matters as the Secretary considers (1) Any potential constraints on the BILLING CODE 4810–AK–P appropriate. ability of small insurers to provide In addition, Section 108(h) of TRIA coverage for nuclear, chemical, requires the Secretary to conduct, by biological, and radiological (NBCR) DEPARTMENT OF THE TREASURY June 30, 2017 and every other year risks. thereafter, a study of small insurers (to (2) Any risk management strategies United States Mint be defined by the Secretary, as has been and challenges faced by small insurers done under 31 CFR 50.4(z)) in maintaining the ability to pay losses Notification of Citizens Coinage participating in the Program to identify associated with insured claims that are Advisory Committee April 20, 2021, any competitive challenges that small not subject to claims for the federal Public Meeting insurers face in the terrorism risk share of compensation (e.g., losses ACTION: Notice of meeting. insurance marketplace. Section 108(h) below the Program Trigger, within the also identifies specific matters that insurer deductible, and within the Pursuant to United States Code, Title Treasury is required to analyze in the insurer co- pay share). 31, section 5135(b)(8)(C), the United small insurers study. In addition to the (3) The impact, if any, on small States Mint announces the Citizens data that Treasury has previously insurer participation in the terrorism Coinage Advisory Committee (CCAC) collected and will be collecting in the risk insurance marketplace of the 2019 teleconference public meeting future, Treasury seeks comments for use reauthorization of the Program until scheduled for April 20, 2021. in the study that Treasury must conduct December 31, 2027, under the sharing Date: April 20, 2021. concerning the participation of small mechanisms in place as of Calendar Time: 12:30 p.m. to 4:30 p.m. (EST). insurers in the Program. Year 2020.3 Location: This meeting will occur via II. Solicitation for Comments on Small (4) The role of small insurers in teleconference. Interested members of Insurer Participation in the Program covering cyber-related acts of terrorism the public may dial in to listen to the under the Program. meeting at (888) 330–1716; Access As discussed above, Treasury will be Code: 1137147. collecting certain data from small (5) The role of small insurers in Subject: Review and discussion of the insurers as part of its 2021 TRIP Data covering terrorism risk under the common obverse design for the 2 4 Call, which Treasury will use (along Program for Places of Worship. American Women Quarters Program with data collected by Treasury during (6) Any potential issues posed for (2022–2025) and of reverse candidate prior TRIP Data Calls) in connection small insurers in the terrorism risk designs for the first of the 2022 with the study. Treasury welcomes insurance marketplace by market American Women Quarters. comments concerning small insurer impacts resulting from the COVID–19 Interested persons should call the participation in the Program generally, pandemic. CCAC HOTLINE at (202) 354–7502 for and invites responses to the following Treasury issued its first two studies of the latest update on meeting time and particular issues specified in Section small insurers under TRIA in June access information. 108(h) of TRIA: 20175 and June 2019.6 In those studies, The CCAC advises the Secretary of the (1) Changes to the market share, Treasury addressed the statutory issues Treasury on any theme or design premium volume, and policyholder identified above, with reference to data proposals relating to circulating coinage, surplus of small insurers relative to collected by Treasury in the TRIP Data bullion coinage, Congressional Gold large insurers. Calls, as well as other available sources. Medals, and national and other medals; (2) How the property and casualty Treasury requests further comment on advises the Secretary of the Treasury insurance market for terrorism risk these issues from interested parties, with regard to the events, persons, or differs between small and large insurers, particularly with respect to any issue places to be commemorated by the and whether such a difference exists that an interested party believes may not issuance of commemorative coins in within other perils. be fully evident solely by reference to each of the five calendar years (3) The impact of the Program’s succeeding the year in which a mandatory availability requirement 3 See Terrorism Risk Insurance Program commemorative coin designation is under Section 103(c) of TRIA on small Reauthorization Act of 2019, Public Law 116–94, made; and makes recommendations insurers. 133 Stat. 2534. with respect to the mintage level for any (4) The effect of increasing the trigger 4 As defined in Treasury’s 2020 and 2021 TRIP commemorative coin recommended. Data Calls. See, e.g., Instructions for Terrorism Risk amount for the Program under Section Insurance Program (TRIP) 2021 Data Call Small For members of the public interested 103(e)(1)(B) of TRIA for small insurers. Insurers at 16–18, https://home.treasury.gov/ in listening in to the provided call (5) The availability and cost of private system/files/311/Small-Final-Instructions-2021.pdf. number, this is a reminder that the reinsurance for small insurers. 5 U.S. Treasury, Study of Small Insurer public attendance is for listening Competitiveness in the Terrorism Risk Insurance purposes only. Any member of the (6) The impact that state workers’ Marketplace (June 2017), https://home.treasury.gov/ compensation laws have on small system/files/311/Study_of_Small_Insurer_ public interested in submitting matters insurers and workers’ compensation Competitiveness_in_the_Terrorism_R isk_ for the CCAC’s consideration is invited carriers in the terrorism risk insurance Insurance_Marketplace_%28June_2017%29.pdf. to submit them by email to info@ marketplace. 6 U.S. Treasury, Study of Small Insurer ccac.gov. Competitiveness in the Terrorism Risk Insurance Marketplace (June 2019), https://home.treasury.gov/ For Accommodation Request: If you 2 The 2021 TRIP Data Call commenced March 12, system/files/311/2019_TRIP_SmallInsurer_ need an accommodation to listen to the 2021. See 86 FR 14179 (March 12, 2021). Report.pdf. CCAC meeting, please contact the VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00155 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17267 Diversity Management and Civil Rights Isakson and David P. Roe, M.D. in determining if a Veteran is a member Office by April 14, 2021 at 202–354– Veterans Health Care and Benefits of an Indian tribe. 7260 or 1–888–646–8369 (TYY) Improvement Act of 2020 (the ‘‘Act’’), 3. How should VA determine whether FOR FURTHER INFORMATION CONTACT: amended 38 U.S.C. 1730A by a Veteran is a member of an Indian Jennifer Warren, United States Mint prohibiting VA from collecting tribe? In making this determination, Liaison to the CCAC; 801 9th Street NW, copayments from covered Veterans for should VA: Washington, DC 20220; or call 202–354– the receipt of hospital care or medical • Require documentation be provided 7208. services under laws administered by by the Veteran; • Require that the Veteran self-certify Authority: 31 U.S.C. 5135(b)(8)(C). VA. Pursuant to the Act, covered Veteran means a Veteran who is that they meet the definition; or Eric Anderson, catastrophically disabled, as defined by • Should this determination be made Executive Secretary, United States Mint. VA, or an Indian or urban Indian (as in some other manner? [FR Doc. 2021–06720 Filed 3–31–21; 8:45 am] defined in section 4 of the Indian Health Signing Authority: Denis McDonough, Secretary of BILLING CODE P Care Improvement Act (25 U.S.C. 1603)). Catastrophically-disabled Veterans Affairs, approved this Veterans have been exempt from certain document on March 29, 2021, and authorized the undersigned to sign and DEPARTMENT OF VETERANS copayments pursuant to section 1730A, submit the document to the Office of the AFFAIRS since 2010, and this exemption is further implemented in VA’s copayment Federal Register for publication Documentation Required for regulations at §§ 17.108, 17.110 and electronically as an official document of Identification of Veterans Who Are 17.111 of title 38, Code of Federal the Department of Veterans Affairs. Members of an Indian Tribe Regulations. Veterans who are Indians Jeffrey M. Martin, or urban Indians will not be eligible for AGENCY: Department of Veterans Affairs. Assistant Director, Office of Regulation Policy copayment exemption until January 5, & Management, Office of the Secretary, ACTION: Notice of Tribal Consultation 2022, as section 3002 of the Act does Department of Veterans Affairs. session. not take effect until 1 year from the date [FR Doc. 2021–06735 Filed 3–31–21; 8:45 am] of enactment of the Act. In order to SUMMARY: The Department of Veterans BILLING CODE 8320–01–P Affairs (VA), Veterans Health implement section 3002 of the Act, VA Administration (VHA) will facilitate a must be able to identify Indian and tribal consultation session to receive urban Indian Veterans in VA’s system of DEPARTMENT OF VETERANS attendees’ feedback regarding the enrollment during the registration AFFAIRS information and documentation that VA process to assist with downstream may utilize for identification of veterans applications for copayment billing National Research Advisory Council; who are members of an Indian tribe. determinations. This will be a new Notice of Meeting business process to collect official DATES: VA will hold the virtual tribal The Department of Veterans Affairs information to recognize Veterans who consultation session on Thursday, April (VA) gives notice under the Federal are Indians or urban Indians. This tribal 29, 2021, from 1:00–3:00 p.m. (Eastern Advisory Committee Act, 5 U.S.C. App. consultation session is seeking input Time). 2, that the National Research Advisory from tribal governments, Indians and ADDRESSES: Participants can access the Council will hold a virtual meeting on urban Indians regarding documentation presentation by logging into the Wednesday, June 2, 2021, by WebEx. that can be used by VA’s health care following link: https:// The teleconference number is 1–404– system to identify those Veterans who vacctraining.adobeconnect.com/occ- 397–1596, conference ID 199 017 8011# are Indians or urban Indians (as defined tribal-consultation/; for audio, please or the meeting link is https:// in 25 U.S.C. 1603). Input received dial 1–800–767–1750, extension 52908. veteransaffairs.webex.com/ during the tribal consultation session Participants will interact by submitting veteransaffairs/j.php?MTID=mc1e will be evaluated and as appropriate, written comments and/or questions 9b14087e6f88db874e991d6a969ca. The incorporated into any rulemaking and/ using the chat function during the meeting will convene at 11 a.m. and end or policy for copayment exemptions presentation. Written comments may at 2 p.m. EDT. This meeting is open to under 38 U.S.C. 1730A. also be submitted before May 29, 2021, the public. by any of the following methods: Tribal Consultation Topics The purpose of the National Research • Federal Rulemaking Portal: Go to VA seeks responses to the following Advisory Council is to advise the http://www.regulations.gov. Follow the questions: Secretary on research conducted by the online instructions for submitting 1. In determining whether a Veteran Veterans Health Administration, comments; is a member of an Indian tribe, could including policies and programs • Email: any or all of the following targeting the high priority of Veterans’ [email protected]; documentation from the Veteran health care needs. or On June 2, 2021, the agenda will • Mail to: Department of Veterans provide sufficient documentation? • Tribal Enrollment Card; include a follow up discussion of Affairs, Suite 915L, 810 Vermont • Certificate of Degree of Indian; or diversity, equity, and inclusion Avenue NW, Washington, DC 20420. • Certificate of Indian Blood from an activities in response to the NRAC FOR FURTHER INFORMATION CONTACT: American Indian/Alaska Native Tribe. recommendations; alternative strategies Please email Mr. Joseph Duran, Director 2. What other information and/or for funding research—MVP Mind and for Policy, VA Office of Community documentation are available for other opportunities; and lessons learned Care, at [email protected], or determining if a Veteran is a member of from COVID research activities. No time contact by telephone at 303–370–1637. an Indian tribe? To the extent possible, will be allocated at this meeting for (This is not a toll-free number.) please indicate the source of the receiving oral presentations from the SUPPLEMENTARY INFORMATION: Section information and/or how the information public. Members of the public wanting 3002 of Public Law 116–315, Johnny and/or documentation would assist VA to attend, have questions or VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00156 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17268 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices presentations to present may contact Dr. Health and Suicide Prevention represent mayors, unions, first Marisue Cody, Designated Federal (OMHSP), 11MHSP, 810 Vermont responders, chiefs of police and sheriffs, Officer, Office of Research and Avenue NW, Washington, DC 20420, governors, a territory of the United Development (14RD), Department of 202–266–4653 (This is not a toll-free States or represent a Tribal alliance; (3) Veterans Affairs, 810 Vermont Avenue telephone number). National organizations representing NW, Washington, DC 20420, at 202– SUPPLEMENTARY INFORMATION: members of the Armed Forces; (4) 443–5681, or [email protected] no National organizations that represent later than close of business on May 28, Background counties; (5) Organizations with which 2021. All questions and presentations Section 201 of the Commander John VA has a current memorandum of will be presented during the public Scott Hannon Veterans Mental Health agreement or understanding related to comment section of the meeting. Any Care Improvement Act of 2019 (the Act), mental health or suicide prevention; (6) member of the public seeking additional Public Law 116–171, enacted on State Departments of Veterans Affairs; information should contact Dr. Cody at October 17, 2020, created a new (7) National organizations representing the above phone number or email community-based suicide prevention members of the Reserve Components of address noted above. grant program to reduce veteran suicide. the Armed Forces; (8) National Section 201 authorizes the award of Dated: March 26, 2021. organizations representing members of grants for no more than $750,000 per LaTonya L. Small, the Coast Guard; (9) Organizations, grantee per fiscal year to eligible entities including institutions of higher Federal Advisory Committee Management to provide or coordinate providing Officer. education, with experience in creating suicide prevention services to eligible measurement tools for purposes of [FR Doc. 2021–06682 Filed 3–31–21; 8:45 am] individuals and their families. An advising the Secretary on the most BILLING CODE P eligible individual is a person at risk of appropriate existing measurement tool suicide who is a veteran as defined in or protocol for VA to utilize; (10) The 38 U.S.C. 101, an individual described National Alliance on Mental Illness; (11) DEPARTMENT OF VETERANS in 38 U.S.C. 1720I(b), or an individual AFFAIRS a labor organization (as such term is described in 38 U.S.C. defined in 5 U.S.C. 7103(a)(4)); (12) The AR16—Notice of Request for 1712A(a)(1)(C)(i)–(iv). Centers for Disease Control and The Secretary is required to Information on the Department of Prevention (CDC), the Substance Abuse implement the SSG Fox SPGP in Veterans Affairs’ Staff Sergeant Parker and Mental Health Services coordination with the President’s Gordon Fox Suicide Prevention Grant Administration and PREVENTS; and Roadmap to Empower Veterans and End Program such other organizations as the a National Tragedy of Suicide Secretary deems appropriate. AGENCY: Department of Veterans Affairs. (PREVENTS) Task Force and in This request for information, ACTION: Request for information. consultation with VA’s OMHSP. described in more detail below, serves Consultation With Interested Parties as VA’s consultation as required by the SUMMARY: The Department of Veterans In administering the SSG Fox SPGP, Act. Responses to this request for Affairs (VA) is requesting information to information will be used to inform assist in implementing the requirements VA is required to consult with certain entities to: developing the SSG Fox SPGP and its of section 201 of the Commander John implementing regulations. This notice Scott Hannon Veterans Mental Health 1. Establish the criteria for selecting eligible entities that have submitted and request for information has a Care Improvement Act of 2019. The Act comment period of 21 days, during mandates VA to establish the Staff applications; 2. Develop a framework for collecting which VA invites individuals, groups Sergeant Parker Gordon Fox Suicide and entities to reply to the questions Prevention Grant Program (SSG Fox and sharing information about eligible entities receiving grants; and presented below. VA believes that 21 SPGP) to reduce veteran suicide through days is sufficient to provide comments, a three-year community-based grant 3. Develop the measures and metrics eligible entities receiving grants will use as the individuals, groups and entities program that would provide financial interested in this program likely have assistance to eligible entities to provide to determine the effectiveness of programming provided to improve information and opinions readily or coordinate providing suicide available or can quickly compile and prevention services to eligible veterans mental health status, well-being and reduce suicide risk and deaths by submit such information. Commenters and their families. VA is required to are encouraged to provide complete but consult with certain entities related to suicide. VA is also required to consult with concise responses to the questions administering this new grant program, entities in developing a plan for the outlined below. Please note that VA will and through this request for design and implementing the provision not respond to comments or other information, VA seeks comments on of grants, including criteria for awarding questions regarding policy plans, various topics to help inform VA’s such grants, and on non-traditional and decisions or issues regarding this notice. development of the SSG Fox SPGP and innovative approaches and treatment Comments received in response to this its implementing regulations. practices. The Act requires VA to notice will be evaluated and, as DATES: Comments are due on or before specifically consult with the following appropriate, incorporated into a April 22, 2021. entities: (1) Veterans Service proposed rulemaking for grants under ADDRESSES: Comments must be Organizations; (2) National this law. submitted through www.Regulations.gov organizations representing potential VA will also be holding virtual public and will be available for public viewing, community partners in providing listening sessions to provide these inspection or copies. supportive services to address the needs groups and entities an opportunity to FOR FURTHER INFORMATION CONTACT: of veterans and their families, including share additional information. VA will Juliana Hallows, Associate Director for national organizations that advocate for publish information for these listening Policy and Planning—Suicide the needs of individuals with or at risk sessions in a future notice in the Prevention Program, Office of Mental of behavioral health conditions; Federal Register. VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00157 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 17269 Request for Information b. What existing measurements tool or an eligible entity in receipt of a grant To design and implement the SSG protocols are available to determine under the SSG Fox SPGP determines Fox SPGP consistent with, and pursuant program effectiveness? that an eligible individual furnished c. Which of these should be used for to, section 201 of the Act, the Secretary clinical services for emergency purposes of measuring effectiveness of treatment under subsection seeks information on the topics and programs provided through this grant (q)(11)(A)(iv) of the Act requires issues listed below. Commenters do not program? ongoing services, the entity shall refer need to address every question and 3. Should VA consider measures or the eligible individual to VA for should focus on those that relate to their metrics to evaluate how grantees additional care under subsection (n) of expertise or perspectives. To the extent identify or eliminate barriers for eligible the Act or any other provision of law. possible, please clearly indicate which individuals seeking or obtaining suicide 1. When an eligible entity in receipt topics and issues you address in your prevention services? of a grant under the SSG Fox SPGP response. determines that an eligible individual is C. Training and Technical Assistance A. Distribution and Selection of Grants at-risk of suicide or other mental or (Section 201(g) of the Act) (Section 201(d)(h)(1) of the Act) behavioral health condition pursuant to Section 201(g) of the Act provides that a qualifying baseline mental health 1. What criteria should VA establish the Secretary, in coordination with the screening, by what mechanism should for the selection of eligible entities that CDC, shall provide training and the eligible entity refer the eligible will submit applications under SSG Fox technical assistance to grant recipients. individual to VA for additional care? SPGP? The required training and technical 2. When an eligible entity in receipt a. How should VA weigh assistance will cover suicide risk of a grant under the SSG Fox SPGP organizations that have worked identification and management, data determines that an eligible individual extensively with the veteran required to be collected and shared with furnished clinical services for populations versus organizations with VA, the means of data collection and emergency treatment requires ongoing limited suicide prevention work with sharing, use of tools to be used to services, by what mechanism should the veterans? measure the effectiveness of the grants eligible entity refer the eligible b. How should VA consider prior and the reporting requirements. The individual to VA for additional care? experience working with vulnerable and Secretary may provide the training and 3. How should referrals to VA for disenfranchised populations? technical assistance directly or through additional care be tracked and reported 2. Pursuant to the Act, the Secretary grants or contracts with appropriate by eligible entities? shall give preference to eligible entities public or nonprofit entities. E. Risk of Suicide that have demonstrated the ability to 1. What training and technical provide or coordinate suicide assistance programs and tools currently Section 201(q)(8) of the Act directs prevention services. How should VA exist for the specified subject areas the Secretary to determine by regulation weigh evidence of demonstrated ability described above that could be utilized the degrees of risk of suicide using to provide or coordinate suicide by VA? health, environmental, and historical prevention services, in giving preference 2. What data collection tools and risk factors enumerated in section to eligible entities that have training currently exist for the specified 201(q)(8)(A)(i)–(iii). For health, these demonstrated such ability? subject areas that could be utilized by are: Mental health challenges, substance 3. Pursuant to the Act, the Secretary VA? abuse (that is, substance use disorder), may prioritize rural communities, Tribal 3. What tools and training currently serious or chronic conditions or pain, or Lands, territories of the United States, exist for measuring the effectiveness of traumatic brain injury. Environmental medically underserved areas, areas with grants that could be utilized by VA? risks factors include: Prolonged stress, a high number or percentage of minority 4. What tools and training currently stressful life events, unemployment, veterans or women veterans, and the exist for managing reporting homelessness, recent loss, and legal or areas with a high number or percentage requirements that could be utilized by financial challenges. Historical risk of calls to the Veterans Crisis Line. How VA? factors include: Previous suicide should VA consider these factors in 5. Should VA provide training and/or attempts; family history of suicide; and selecting applicants? technical assistance directly, through history of abuse, neglect, or trauma. B. Administration of Grant Program: grants or contracts with appropriate Section 201(q)(8) also provides that the Development of Measures and Metrics public or nonprofit entities, or a Secretary may, through regulation, (Section 201(h)(2) of the Act) combination of both? establish a process for determining the degrees of risk of suicide for use by 1. How should VA collect and share D. Referral for Care (Section 201(m) of the Act) grant recipients to focus the delivery of information about entities in receipt of suicide prevention services. grants under the SSG Fox SPGP? For Section 201(m) of the Act provides 1. What degree(s) of exposure to, or example, should VA create a public that if an eligible entity in receipt of a the existence of, the health, grantee roster with services noted and grant under the SSG Fox SPGP environmental, and historical risk contact information of each grantee? determines that an eligible individual is factors enumerated in section 2. How can shared information about at-risk of suicide or other mental or 201(q)(8)(A)(i)–(iii) should VA utilize in entities be used to improve the behavioral health condition pursuant to determining degrees of risk of suicide? provision or coordination of suicide a baseline mental health screening 2. What process should VA establish prevention services for eligible conducted under subsection for use by grant recipients in individuals and families? (q)(11)(A)(ii) of the Act with respect to determining the degrees of risk of a. What measures and metrics should the individual, the entity shall refer the suicide to focus the delivery of services eligible entities, who are in receipt of eligible individual to VA for additional using grant funds? grants under the SSG Fox SPGP, use to care under subsection (n) of the Act or 3. Are there existing measurement determine the effectiveness of the any other provision of law. Section tools for assessing environmental, programs they are providing? 201(m) of the Act also provides that if historical, and health risk factors that VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00158 Fmt 4703 Sfmt 4703 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES 17270 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices grant recipients could utilize as part of Paperwork Reduction Act Signing Authority their determination of degree of suicide This request for information risk? Denis McDonough, Secretary of constitutes a general solicitation of Veterans Affairs, approved this F. Suicide Prevention Services public comments as stated in the document on March 11, 2021, and implementing regulations of the authorized the undersigned to sign and Section 201(q)(11)(A)(x) of the Act Paperwork Reduction Act of 1995 at 5 submit the document to the Office of the notes that suicide prevention services CFR 1320.3(h)(4). Therefore, this request Federal Register for publication include non-traditional and innovative for information does not impose electronically as an official document of approaches and treatment practices, as information collection requirements the Department of Veterans Affairs. determined appropriate by the (i.e., reporting, recordkeeping or third- Secretary, in consultation with party disclosure requirements). Jeffrey M. Martin, appropriate entities. Consequently, there is no need for Assistant Director, Office of Regulation Policy review by the Office of Management and & Management, Office of the Secretary, 1. What non-traditional and Budget under the authority of the Department of Veterans Affairs. innovative approaches and treatment Paperwork Reduction Act of 1995 (44 [FR Doc. 2021–06392 Filed 3–31–21; 8:45 am] practices should VA consider? U.S.C. 3501, et seq.). BILLING CODE 8320–01–P VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00159 Fmt 4703 Sfmt 9990 E:\FR\FM\01APN1.SGM 01APN1 jbell on DSKJLSW7X2PROD with NOTICES i Reader Aids Federal Register Vol. 86, No. 61 Thursday, April 1, 2021 CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING APRIL Federal Register/Code of Federal Regulations At the end of each month the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. Presidential Documents 14 CFR Executive orders and proclamations 741–6000 Proposed Rules: The United States Government Manual 741–6000 39...... 17087 Other Services 19 CFR Electronic and on-line services (voice) 741–6020 12...... 17055 Privacy Act Compilation 741–6050 361...... 17058 21 CFR ELECTRONIC RESEARCH 1...... 17059 World Wide Web 207...... 17061 510...... 17061 Full text of the daily Federal Register, CFR and other publications 520...... 17061 is located at: www.govinfo.gov. 522...... 17061 Federal Register information and research tools, including Public 524...... 17061 Inspection List and electronic text are located at: 528...... 17061 www.federalregister.gov. 558...... 17061 821...... 17065 E-mail FEDREGTOC (Daily Federal Register Table of Contents Electronic 29 CFR Mailing List) is an open e-mail service that provides subscribers 4908...... 17066 with a digital form of the Federal Register Table of Contents. The digital form of the Federal Register Table of Contents includes 33 CFR HTML and PDF links to the full text of each document. 165...... 17066, 17068 To join or leave, go to https://public.govdelivery.com/accounts/ Proposed Rules: USGPOOFR/subscriber/new, enter your email address, then 96...... 17090 follow the instructions to join, leave, or manage your 110...... 17090 subscription. 117...... 17096 PENS (Public Law Electronic Notification Service) is an e-mail 38 CFR service that notifies subscribers of recently enacted laws. Proposed Rules: To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 3...... 17098 and select Join or leave the list (or change settings); then follow the instructions. 39 CFR FEDREGTOC and PENS are mailing lists only. We cannot Proposed Rules: respond to specific inquiries. 3050...... 17100 Reference questions. Send questions and comments about the 40 CFR Federal Register system to: [email protected] 52...... 17071 The Federal Register staff cannot interpret specific documents or 80...... 17073 regulations. Proposed Rules: 52...... 17101, 17106 FEDERAL REGISTER PAGES AND DATE, APRIL 44 CFR 17055–17270...... 1 64...... 17078 46 CFR Proposed Rules: 71...... 17090 115...... 17090 176...... 17090 47 CFR 54...... 17079 Proposed Rules: 73...... 17110 50 CFR 622...... 17080 648...... 17081 VerDate Sep 11 2014 20:24 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00001 Fmt 4712 Sfmt 4712 E:\FR\FM\01APCU.LOC 01APCU jbell on DSKJLSW7X2PROD with FR_CU ii Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Reader Aids listserv.gsa.gov/cgi-bin/ wa.exe?SUBED1=PUBLAWS- LIST OF PUBLIC LAWS Public Laws Electronic L&A=1 Notification Service Note: No public bills which (PENS) Note: This service is strictly have become law were for email notification of new received by the Office of the laws. The text of laws is not Federal Register for inclusion PENS is a free email available through this service. in today’s List of Public notification service of newly PENS cannot respond to Laws. enacted public laws. To specific inquiries sent to this Last List March 31, 2021 subscribe, go to https:// address. VerDate Sep 11 2014 20:24 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00002 Fmt 4712 Sfmt 4711 E:\FR\FM\01APCU.LOC 01APCU jbell on DSKJLSW7X2PROD with FR_CU Federal Register / Vol. 86 No. 61 / Thursday, April 1, 2021 / Reader Aids iii TABLE OF EFFECTIVE DATES AND TIME PERIODS—APRIL 2021 This table is used by the Office of the dates, the day after publication is A new table will be published in the Federal Register to compute certain counted as the first day. first issue of each month. dates, such as effective dates and When a date falls on a weekend or comment deadlines, which appear in holiday, the next Federal business day agency documents. In computing these is used. (See 1 CFR 18.17) DATE OF FR 15 DAYS AFTER 21 DAYS AFTER 30 DAYS AFTER 35 DAYS AFTER 45 DAYS AFTER 60 DAYS AFTER 90 DAYS AFTER PUBLICATION PUBLICATION PUBLICATION PUBLICATION PUBLICATION PUBLICATION PUBLICATION PUBLICATION April 1 Apr 16 Apr 22 May 3 May 6 May 17 Jun 1 Jun 30 April 2 Apr 19 Apr 23 May 3 May 7 May 17 Jun 1 Jul 1 April 5 Apr 20 Apr 26 May 5 May 10 May 20 Jun 4 Jul 6 April 6 Apr 21 Apr 27 May 6 May 11 May 21 Jun 7 Jul 6 April 7 Apr 22 Apr 28 May 7 May 12 May 24 Jun 7 Jul 6 April 8 Apr 23 Apr 29 May 10 May 13 May 24 Jun 7 Jul 7 April 9 Apr 26 Apr 30 May 10 May 14 May 24 Jun 8 Jul 8 April 12 Apr 27 May 3 May 12 May 17 May 27 Jun 11 Jul 12 April 13 Apr 28 May 4 May 13 May 18 May 28 Jun 14 Jul 12 April 14 Apr 29 May 5 May 14 May 19 Jun 1 Jun 14 Jul 13 April 15 Apr 30 May 6 May 17 May 20 Jun 1 Jun 14 Jul 14 April 16 May 3 May 7 May 17 May 21 Jun 1 Jun 15 Jul 15 April 19 May 4 May 10 May 19 May 24 Jun 3 Jun 18 Jul 19 April 20 May 5 May 11 May 20 May 25 Jun 4 Jun 21 Jul 19 April 21 May 6 May 12 May 21 May 26 Jun 7 Jun 21 Jul 20 April 22 May 7 May 13 May 24 May 27 Jun 7 Jun 21 Jul 21 April 23 May 10 May 14 May 24 May 28 Jun 7 Jun 22 Jul 22 April 26 May 11 May 17 May 26 Jun 1 Jun 10 Jun 25 Jul 26 April 27 May 12 May 18 May 27 Jun 1 Jun 11 Jun 28 Jul 26 April 28 May 13 May 19 May 28 Jun 2 Jun 14 Jun 28 Jul 27 April 29 May 14 May 20 Jun 1 Jun 3 Jun 14 Jun 28 Jul 28 April 30 May 17 May 21 Jun 1 Jun 4 Jun 14 Jun 29 Jul 29 VerDate Sep 11 2014 20:24 Mar 31, 2021 Jkt 253001 PO 00000 Frm 00001 Fmt 4201 Sfmt 4701 E:\FR\FM\01APEF.LOC 01APEF jbell on DSKJLSW7X2PROD with FR_EF