FEDERAL REGISTER

Vol. 86 Thursday No. 158 August 19, 2021

Pages 46579–46756

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 86, No. 158

Thursday, August 19, 2021

Agricultural Marketing Service Disability Employment Policy Office PROPOSED RULES NOTICES Exceptions to Geographic Boundaries, 46606–46611 Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Revision of United States Standards for Grades of Job Accommodation Network Customer Satisfaction Watermelons, 46673 Questionnaire, 46717 Agriculture Department See Agricultural Marketing Service Drug Enforcement Administration NOTICES Census Bureau Importer of Controlled Substances Application: NOTICES Chattem Chemicals, Inc., 46716–46717 Meetings: Galephar Pharmaceutical Research Inc., 46716 Scientific Advisory Committee, 46674 Economic Analysis Bureau Centers for Disease Control and Prevention NOTICES NOTICES Agency Information Collection Activities; Proposals, Guidance: Submissions, and Approvals: Medical Eligibility Criteria for Contraceptive Use and Quarterly Survey of Transactions in Selected Services United States Selected Practice Recommendations for and Intellectual Property with Foreign Persons, Contraceptive Use, 46703–46704 46674–46675 Children and Families Administration NOTICES Education Department Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Applications for New Awards: Tribal Maternal, Infant, and Early Childhood Home Training of Interpreters for Individuals Who Are Deaf or Visiting Program: Guidance for Submitting an Hard of Hearing and Individuals Who Are DeafBlind Annual Report to the Secretary, 46704–46705 Program; Correction, 46690 Final Priority and Requirements: Civil Rights Commission Training of Interpreters for Individuals Who Are Deaf or NOTICES Hard of Hearing and Individuals Who Are DeafBlind Meetings: Program; Correction, 46691 Kansas Advisory Committee, 46674 Coast Guard Employment and Training Administration NOTICES RULES Safety Zones: Trade Adjustment Assistance; Determinations, 46717–46720 Annual Events in the Captain of the Port Buffalo Zone, Trade Adjustment Assistance; Investigations, 46720–46722 46601 New York Upper Bay, Pierhead Channel, and Port Jersey Energy Department Channel, Bayonne, NJ, 46603–46605 See Federal Energy Regulatory Commission SML Bridge Repairs, Portsmouth, NH, 46601–46603 See Southeastern Power Administration PROPOSED RULES RULES Safety Zones: Energy Conservation Program: Ironman Michigan, Frankfort Harbor, MI, 46636–46638 Final Determination of Fans and Blowers as Covered Equipment, 46579–46590 Commerce Department PROPOSED RULES See Census Bureau Energy Conservation Program: See Economic Analysis Bureau Definitions for General Service Lamps, 46611–46626 See Foreign-Trade Zones Board See Industry and Security Bureau Environmental Protection Agency See International Trade Administration PROPOSED RULES See National Oceanic and Atmospheric Administration Approval and Promulgation of State Air Quality Plans for Defense Department Designated Facilities and Pollutants: Texas; Control of Emissions from Existing Other Solid RULES Waste Incineration Units, 46639–46640 Civil Monetary Penalty Inflation Adjustment, 46599–46601 National Industrial Security Program Operating Manual, 46597–46599 Federal Accounting Standards Advisory Board NOTICES NOTICES Request for Information: Issuance; Accounting and Reporting of Government Land, Community Input on Noise Mitigation, 46685–46690 46701

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Federal Aviation Administration See Children and Families Administration PROPOSED RULES See National Institutes of Health Airworthiness Directives: NOTICES Airbus SAS Airplanes, 46626–46629 Findings of Research Misconduct, 46706–46707 Dassault Aviation Airplanes, 46629–46631 Meetings: National Committee on Vital and Health Statistics, 46705 Federal Communications Commission PROPOSED RULES Homeland Security Department Protecting Against National Security Threats to the See Coast Guard Communications Supply Chain through the Equipment Authorization Program and the Competitive Bidding Industry and Security Bureau Program, 46641–46661 RULES State-of-the-Art Radar Sensors in 60 GHz Band, 46661– Control of Firearms, Guns, Ammunition and Related 46672 Articles the President Determines No Longer Warrant Control under the United States Munitions List; Federal Energy Regulatory Commission Corrections, 46590–46597 NOTICES Interior Department Application: See Geological Survey Beaver City Corp., 46694–46695 See Land Management Bureau New Hampshire Renewable Resources, LLC, 46691–46692 See National Park Service Wisconsin Public Service Corp., 46696–46697 NOTICES Combined Filings, 46693–46694 Agency Information Collection Activities; Proposals, Environmental Assessments; Availability, etc.: Submissions, and Approvals: Green Mountain Power Corp., 46692–46693 Onshore Geophysical Exploration, 46711–46712 Mountain Valley Pipeline, LLC; Mountain Valley Pipeline Amendment Project, 46695–46696 International Trade Administration Meetings: NOTICES Electric Transmission Incentives Policy under the Federal Antidumping or Countervailing Duty Investigations, Orders, Power Act; Workshop, 46697 or Reviews: Permit Application: Certain Corrosion-Resistant Steel Products from the Alabama Power Co., 46697–46698 People’s Republic of China, 46675–46676 Certain Magnesia Carbon Bricks From Mexico and the Federal Mediation and Conciliation Service People’s Republic of China, 46676–46677 NOTICES Crystalline Silicon Photovoltaic Cells, Whether or not Privacy Act; Systems of Records, 46701–46702 Assembled into Modules, from the People’s Republic of China, 46678–46680 Federal Motor Carrier Safety Administration Silicon Metal from Malaysia, 46677–46678 NOTICES Commercial Driver’s License Standards: International Trade Commission Daimler Trucks North America, LLC (Daimler); NOTICES Exemption Application, 46752–46753 Determination of Sales At Less Than Fair Value: Metal Lockers from China, 46714–46715 Federal Reserve System Investigations; Determinations, Modifications, and Rulings, NOTICES etc.: Change in Bank Control: Certain Audio Players and Controllers, Components Acquisitions of Shares of a Bank or Bank Holding Thereof, and Products Containing Same, 46715– Company, 46702–46703 46716 Fiscal Service Justice Department PROPOSED RULES See Drug Enforcement Administration Federal Government Participation in the Automated Clearing House, 46631–46636 Labor Department See Disability Employment Policy Office Foreign-Trade Zones Board See Employment and Training Administration NOTICES Proposed Production Activity: Land Management Bureau MSD International GMBH (Puerto Rico Branch), LLC NOTICES (Pharmaceuticals), Las Piedras, PR; Foreign-Trade Plats of Survey: Zone 7, Mayaguez, PR, 46675 California, 46712

Geological Survey National Institutes of Health NOTICES NOTICES Agency Information Collection Activities; Proposals, Meetings: Submissions, and Approvals: National Cancer Institute, 46707–46709 Hydrography Addressing Tool, 46710–46711 National Institute of Biomedical Imaging and Bioengineering, 46709–46710 Health and Human Services Department National Institute of Environmental Health Sciences, See Centers for Disease Control and Prevention 46708

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National Oceanic and Atmospheric Administration State Department NOTICES NOTICES Agency Information Collection Activities; Proposals, Certification: Submissions, and Approvals: Foreign Operations, and Related Programs Appropriations Application and Reports for Scientific Research and Act, 2021, 46749 Enhancement Permits under the Endangered Species Act, 46680 Surface Transportation Board High Seas Fishing Permit Application, Logbook Reporting NOTICES Amended Lease and Operation Exemption: and Vessel Marking, 46682–46683 Decatur Junction Railway Co., Lines in Illinois, 46750 Recreational Angler Survey of Sea Turtle Interactions, 46680–46681 Susquehanna River Basin Commission Weather and Society Survey, 46681–46682 NOTICES Taking and Importing Marine Mammals: Meeting, 46750 Incidental to Geophysical Surveys Related to Oil and Gas Projects Approved for Consumptive Uses of Water, 46750– Activities in the Gulf of Mexico, 46683–46685 46751

Transportation Department National Park Service See Federal Aviation Administration NOTICES See Federal Motor Carrier Safety Administration National Register of Historic Places: NOTICES Pending Nominations and Related Actions, 46712–46714 Requests for Nominations: Appointment for the Anti-Discrimination Subcommittee, Securities and Exchange Commission 46753–46754 NOTICES Treasury Department Self-Regulatory Organizations; Proposed Rule Changes: See Fiscal Service Miami International Securities Exchange, LLC, 46737– NOTICES 46744 Meetings: MIAX Emerald, LLC, 46726–46733 Federal Advisory Committee on Insurance, 46754–46755 Nasdaq BX, Inc., 46724–46726 New York Stock Exchange, LLC, 46733–46737 NYSE American, LLC, 46746–46749 Reader Aids The Nasdaq Stock Market, LLC, 46722–46724, 46744– Consult the Reader Aids section at the end of this issue for 46746 phone numbers, online resources, finding aids, and notice of recently enacted public laws. To subscribe to the Federal Register Table of Contents Southeastern Power Administration electronic mailing list, go to https://public.govdelivery.com/ NOTICES accounts/USGPOOFR/subscriber/new, enter your e-mail Interim Approval: address, then follow the instructions to join, leave, or Rate Schedules for Jim Woodruff Project, 46698–46701 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.

7 CFR Proposed Rules: 800...... 46606 10 CFR 431...... 46579 Proposed Rules: 430...... 46611 14 CFR Proposed Rules: 39 (2 documents) ...... 46626, 46629 15 CFR 740...... 46590 742...... 46590 743...... 46590 748...... 46590 758...... 46590 774...... 46590 31 CFR Proposed Rules: 210...... 46631 32 CFR 117...... 46597 269...... 46599 33 CFR 165 (3 documents) ...... 46601, 46603 Proposed Rules: 165...... 46636 40 CFR Proposed Rules: 62...... 46639 47 CFR Proposed Rules: 2 (2 documents) ...... 46641, 46644 15...... 46661

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Rules and Regulations Federal Register Vol. 86, No. 158

Thursday, August 19, 2021

This section of the FEDERAL REGISTER ApplianceStandardsQuestions@ A. Authority contains regulatory documents having general ee.doe.gov. applicability and legal effect, most of which EPCA authorizes DOE to regulate the are keyed to and codified in the Code of Ms. Amelia Whiting, U.S. Department energy efficiency of a number of Federal Regulations, which is published under of Energy, Office of the General Counsel, consumer products and certain 50 titles pursuant to 44 U.S.C. 1510. GC–33, 1000 Independence Avenue SW, industrial equipment. (42 U.S.C. 6291– Washington, DC 20585. Telephone: 6317) Title III, Part C 2 of EPCA, added The Code of Federal Regulations is sold by (202) 586–2588. Email: by Public Law 95–619, Title IV, section the Superintendent of Documents. [email protected]. 441(a) (42 U.S.C. 6311–6317, as For further information on how to codified), established the Energy DEPARTMENT OF ENERGY review other public comments and the Conservation Program for Certain docket contact the Appliance and Industrial Equipment, which sets forth a 10 CFR Part 431 Equipment Standards Program staff at variety of provisions designed to (202) 287–1445 or by email: improve energy efficiency of certain [EERE–2011–BT–DET–0045] ApplianceStandardsQuestions@ commercial and industrial equipment ee.doe.gov. (hereafter referred to as ‘‘covered RIN 1905–AC55 equipment’’). The purpose of Part A–1 SUPPLEMENTARY INFORMATION: Energy Conservation Program: Final is to improve the efficiency of electric Determination of Fans and Blowers as Table of Contents motors and pumps and certain other Covered Equipment industrial equipment in order to I. Introduction conserve the energy resources of the AGENCY: Office of Energy Efficiency and A. Authority Nation. (42 U.S.C. 6312(a)) Renewable Energy, Department of B. Background EPCA specifies a list of equipment II. General Discussion 3 Energy. A. Definition and Scope of Coverage that constitutes covered equipment. ACTION: Final rule; final determination. B. Evaluation of Fans and Blowers as EPCA also provides that ‘‘covered Covered Equipment equipment’’ includes any other type of SUMMARY: The U.S. Department of 1. Energy Consumption in Operation industrial equipment for which the Energy (‘‘DOE’’) is classifying certain 2. Distribution in Commerce Secretary of Energy (‘‘Secretary’’) fans and blowers as covered equipment 3. Prior Inclusion as a Covered Product determines inclusion is necessary to under Part A–1 of Title III of the Energy 4. Coverage Necessary To Carry Out the carry out the purpose of Part A–1. (42 Policy and Conservation Act, as Purposes of Part A–1 U.S.C. 6311(1)(L); 42 U.S.C. 6312(b)) amended. Accordingly, this document C. Final Determination EPCA specifies the types of equipment III. Procedural Issues and Regulatory Review establishes the definition of equipment A. Review Under Executive Order 12866 that can be classified as industrial that is considered fans and blowers. B. Review Under the Regulatory Flexibility equipment. (42 U.S.C. 6311(2) This DATES: This final determination is Act equipment includes fans and blowers. effective September 20, 2021. C. Review Under the National (42 U.S.C. 6311(2)(B)(ii) and (iii)). Environmental Policy Act of 1969 ADDRESSES: Docket: The docket, which Industrial equipment must be of a type D. Review Under Executive Order 13132 includes Federal Register notices, that consumes, or is designed to E. Review Under Executive Order 12988 consume, energy in operation; is public meeting attendee lists and F. Review Under the Unfunded Mandates transcripts, comments, and other distributed in commerce for industrial Reform Act of 1995 or commercial use; and is not a covered supporting documents/materials, is G. Review Under the Treasury and General available for review at Government Appropriations Act, 1999 product as defined in 42 U.S.C. www.regulations.gov. All documents in H. Review Under Executive Order 12630 6291(a)(2) of EPCA other than a the docket are listed in the I. Review Under the Treasury and General component of a covered product with www.regulations.gov index. However, Government Appropriations Act, 2001 respect to which there is in effect a not all documents listed in the index J. Review Under Executive Order 13211 determination under section 6312(c). K. Information Quality (42 U.S.C. 6311(2)(A)). may be publicly available, such as L. Congressional Notification information that is exempt from public IV. Approval of the Office of the Secretary 2 For editorial reasons, upon codification in the disclosure. U.S. Code, Part C was redesignated Part A–1 and The docket web page can be found at I. Introduction hereafter referred to as Part A–1. www.regulations.gov/docket/EERE- 3 ‘‘Covered equipment’’ means one of the The following section briefly 2011-BT-DET-0045. The docket web following types of industrial equipment: Electric discusses the statutory authority page contains instructions on how to motors and pumps; small commercial package air underlying this determination, as well conditioning and heating equipment; large access all documents, including public as the relevant historical background to commercial package air conditioning and heating comments, in the docket. equipment; very large commercial package air the inclusion of fans and blowers as FOR FURTHER INFORMATION CONTACT: conditioning and heating equipment; commercial Mr. covered equipment under the Energy refrigerators, freezers, and refrigerator-freezers; Jeremy Dommu, U.S. Department of Policy and Conservation Act, as automatic commercial ice makers; walk-in coolers Energy, Office of Energy Efficiency and amended (‘‘EPCA’’).1 and walk-in freezers; commercial clothes washers; Renewable Energy, Building packaged terminal air-conditioners and packaged terminal heat pumps; warm air furnaces and Technologies Office, EE–5B, 1000 1 All references to EPCA in this document refer packaged boilers; and storage water heaters, Independence Avenue SW, Washington, to the statute as amended through the Energy Act instantaneous water heaters, and unfired hot water DC 20585–0121. Email: of 2020, Public Law 116–260 (Dec. 27, 2020). storage tanks. (42 U.S.C. 6311(1)(A)–(K))

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B. Background industrial fan types, which includes industrial fans and blowers energy On June 28, 2011, DOE published a fans used to ventilate fume hoods. Id. conservation standard rulemaking notice of proposed determination of On December 10, 2014, DOE docket. (Docket No. EERE–2013–BT– coverage proposing to determine that published a notice of data availability STD–0006, No. 179) ASRAC approved fans, blowers, and fume hoods qualify that presented a provisional analysis the term sheet on September 24, 2015. as covered equipment (‘‘June 2011 estimating the economic impacts and (Docket No. EERE–2013–BT–NOC–0005; NOPD’’). 76 FR 37678. DOE noted that energy savings from potential energy Public Meeting Transcript, No. 58, at p. there are no statutory definitions for conservation standards for certain fans 29) On November 1, 2016, DOE ‘‘fan,’’ ‘‘blower,’’ or ‘‘fume hood,’’ and and blowers. 79 FR 73246. published a third notice of data On April 1, 2015, DOE published a presented definitions for consideration. availability (‘‘November 2016 NODA’’) notice of intent to establish a negotiated 76 FR 37678, 37679. that presented a revised analysis based In the June 2011 NOPD, DOE rulemaking working group under the on the scope and metric preliminarily determined that coverage Appliance Standards and Rulemaking recommendations of the term sheet. 81 of fans, blowers, and fume hoods is Federal Advisory Committee (hereafter FR 75742. necessary to carry out the purposes of referred to as the ‘‘Working Group’’) to On January 10, 2020, DOE received a Part A–1 because coverage would negotiate proposed definitions, and, as petition from the Air Movement and promote the conservation of energy applicable, certain aspects of a proposed Control Association, International supplies. 76 FR 37678, 37680. DOE test procedure and proposed energy (‘‘AMCA’’), Air Conditioning estimated that technologies exist which conservation standards for fans and Contractors of America, and Sheet Metal can reduce the electricity consumption blowers. 80 FR 17359. On May 1, 2015, & Air Conditioning Contractors of of fans and blowers by as much as 20 DOE published a second notice of data America requesting that DOE establish a percent and that there are technologies availability of a revised provisional Federal test procedure for certain and design strategies for fume hoods analysis of the potential economic categories of fans based on an upcoming that could reduce energy use by 50 impacts and energy savings that could industry test method, AMCA Standard percent. Id. DOE requested comment on result from promulgating an energy 214, ‘‘Test Procedure for Calculating the proposed definitions and its conservation standard for commercial Fan Energy Index (FEI) for Commercial preliminary determination that coverage and industrial fans and blowers. 80 FR and Industrial Fans and Blowers’’ DOE of fans, blowers, and fume hoods is 24841 (‘‘May 2015 NODA’’). published a notice of petition and The Working Group 5 negotiations necessary to carry out the purposes of request for public comment (‘‘April comprised 16 meetings and three Part A–1. 76 FR 37678, 37682. 2020 Notice of Petition’’). 85 FR 22677 webinars and covered scope, metrics, DOE received seven comments in (Apr. 23, 2020). AMCA, Air test procedures, and energy response to the June 2011 NOPD from Conditioning Contractors of America, conservation standard levels for fans the interested parties listed in Table II– and Sheet Metal & Air Conditioning and blowers.6 The Working Group 1 of this document. Contractors have since withdrawn their 8 DOE subsequently published a concluded its negotiations on petition (AMCA, No.12, at p. 1). 4 September 3, 2015, and approved by In preparation for this notice, on May framework document detailing an 7 analytical approach for developing consensus vote a term sheet containing 10, 2021, DOE published a request for potential energy conservation standards recommendations for DOE on scope, information requesting comments on a for commercial and industrial fans and energy conservation standards, and a potential fan or blower definition. 86 FR blowers should the Secretary classify test procedure for the subject industrial 24752 (‘‘May 2021 RFI’’). such equipment as covered equipment. equipment. The term sheet containing On February 14, 2020, DOE published 78 FR 7306 (Feb. 1, 2013). In the January the Working Group recommendations is in the Federal Register a final rule 2013 Framework Document, DOE also available in the commercial and which updated the procedures, requested feedback from interested interpretations, and policies that DOE 5 The Working Group was comprised of will follow in the consideration and parties generally on issues related to test representatives from AAON, Inc.; AcoustiFLO LLC; methods for evaluating the energy promulgation of new or revised AGS Consulting LLC; AMCA; AHRI, Appliance appliance energy conservation efficiency of commercial and industrial Standards Awareness Project; Berner International fans and blowers (January 2013 Corp; Buffalo Air Handling Company; Carnes standards and test procedures under Framework Document at pp. 16–25). Company; Daikin/Goodman; ebm-papst; Greenheck; EPCA. 85 FR 8626; see also 10 CFR part Morrison Products; Natural Resources Defense 430, subpart C, appendix A (i.e., In the January 2013 Framework Council; Newcomb & Boyd; Northwest Energy Document DOE determined that it lacks Efficiency Alliance; CA IOUs; Regal Beloit ‘‘Process Rule’’). The updated Process authority to establish energy Corporation; Rheem Manufacturing Company; Rule establishes the process DOE must conservation standards for fume hoods Smiley Engineering LLC representing Ingersoll follow when undertaking a Rand/Trane; SPX Cooling Technologies/CTI; The determination of whether industrial because fume hoods are not listed as a New York Blower Company; Twin City Companies, type of equipment for which DOE could Ltd; U.S. Department of Energy; and United equipment should be covered under establish standards (January 2013 Technologies/Carrier EPCA. Section 5 of the Process Rule. Framework Document at p. 15). DOE 6 Details of the negotiation sessions can be found in the public meeting transcripts that are posted to 8 The parenthetical reference provides a reference acknowledged that the fan that provides the docket for the energy conservation standard for information located in DOE Docket No. EERE– ventilation for the fume hood consumes rulemaking at: www.regulations.gov/ 2011–BT–DET–0045. The references are arranged as the largest portion of energy within the docket?D=EERE-2013-BT-STD-0006. follows: (Commenter name, comment docket ID fume hood system, and that DOE 7 At the beginning of the negotiated rulemaking number, page of that document). If one comment process, the Working Group defined that before any was submitted with multiple attachments, the planned to cover all commercial and vote could occur, the Working Group must establish references are arranged as follows: (Commenter a quorum of at least 20 of the 25 members and name, comment docket ID number, attachment 4 Energy Conservation Standards Rulemaking defined consensus as an agreement with less than number, page of that document). The attachment Framework for Commercial and Industrial Fans and 4 negative votes. Twenty voting members of the number corresponds to the order in which the Blowers (‘‘January 2013 Framework Document’’) is Working Group were present for this vote. Two attachment appears in the docket. If the information included in Docket EERE–2013–BT–STD–0006 and members (Air-Conditioning, Heating, and was submitted to a different DOE docket, the DOE available at www.regulations.gov/ Refrigeration Institute and Ingersoll Rand/Trane) Docket number is additionally specified in the document?D=EERE-2013-BT-STD-0006-0001. voted no on the term sheet. reference.

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Pursuant to the updated Process Rule, if standards rulemaking (i.e., DOE will not process). To date, DOE has not proposed DOE determines to initiate the coverage issue any requests for information, test procedures or energy conservation determination process, it will first notices of data availability, or any other standards for fans and blowers. publish a notice of proposed mechanism to gather information for the determination, providing an purpose of initiating a rulemaking to II. General Discussion opportunity for public comment of not establish a test procedure or energy DOE developed this determination less than 60 days, in which DOE will conservation standard for the proposed after considering comments, data, and explain how coverage of the equipment covered equipment prior to finalization information from interested parties that type that it seeks to designate as of the coverage determination). Section represent a variety of interests. Table II– ‘‘covered’’ is ‘‘necessary’’ to carry out 5(c) of the Process Rule. the purposes of EPCA. Section 5(b) of Because this coverage determination 1 lists the interested parties that have the Process Rule. DOE will publish its was already in progress at the time the provided comments on the January 2013 final decision on coverage as a separate revised Process Rule was published, Framework,9 June 2011 NOPD, April notice, an action that will be completed DOE is applying those provisions 2020 Notice of Petition,10 and May 2021 prior to the initiation of any test moving forward (i.e., rather than RFI relevant to the coverage procedure or energy conservation reinitiating the entire rulemaking determination. TABLE II–1—JANUARY 2013 FRAMEWORK, JUNE 2011 NOPD, APRIL 2020 NOTICE OF PETITION, AND MAY 2021 RFI WRITTEN COMMENTS

January June April May Organization(s) Reference in this NOPR Organization type 2013 2011 2020 2021 framework NOPD notice of RFI petition

Air Movement and Control Association Inter- AMCA ...... Trade Association ...... X ...... X national. Air-Conditioning, Heating, and Refrigeration Insti- AHRI ...... Trade Association...... X X X X tute. Appliance Standards Awareness Project, Amer- Efficiency Advocates ...... Efficiency Organizations ...... X ...... ican Council for an Energy-Efficient Economy, National Consumer Law Center, and Natural Resources Defense Council. Appliance Standards Awareness Project/National ASAP/NRDC ...... Efficiency Organization ...... X Research Defense Council. Appliance Standards Awareness Project, North- ACEEE et al ...... Efficiency Organization ...... X ...... west Energy Efficiency Alliance, Natural Re- sources Defense Council, and Alliance to Save Energy. China World Trade Organization, Technical Bar- China WTO/TBT ...... Government Entity ...... X ...... riers to Trade National Notification and Enquiry Center. Cooling Technology Institute ...... CTI ...... Trade Association ...... X Daikin Applied ...... Daikin ...... Manufacturer ...... X ...... Ebm-papst Inc ...... Ebm-papst ...... Manufacturer ...... X X ...... X Edison Electric Institute ...... EEI ...... Utility ...... X ...... Greenheck Group ...... Greenheck ...... Manufacturer ...... X Ingersoll Rand/Trane ...... Ingersoll Rand/Trane ...... Manufacturer ...... X ...... Johnson Controls ...... Johnson Controls ...... Manufacturer ...... X ...... Lennox International Inc ...... Lennox ...... Manufacturer ...... X ...... X ...... Marley Engineered Products LLC ...... MEP ...... Manufacturer ...... X Morrison Products Inc ...... Morrison Products ...... Manufacturer ...... X ...... Northwest Energy Efficiency Alliance ...... NEEA ...... Efficiency Organizations ...... X ...... Pacific Gas and Electric Company, Southern PG&E, SCE, SDG&E ...... Utility ...... X California Edison, San Diego Gas and Electric Company. Pacific Gas and Electric Company, San Diego CA IOUs ...... Utility ...... X X ...... Gas and Electric, Southern California Gas Company, and Southern California Edison.

The comments received specific to the procedures). The comments from statutory authority to include fume fan and blower definition, fan and interested parties and term sheet hoods as covered equipment. blower coverage, and DOE’s decision recommendations related to the test A. Definition and Scope of Coverage regarding a definition and coverage for procedures and energy conservation fans and blowers are discussed in the standards will be addressed separately Although EPCA lists fans and blowers paragraphs that follow. However, DOE as part of any potential rulemaking for as types of equipment that may be does not reference or respond to establishing test procedures and energy defined as industrial equipment, these comments made by interested parties conservation standards for fans and terms are not defined. (See 42 U.S.C. regarding issues that are outside the blowers. Further, comments related to 6311(2)(B)(ii) and (iii)) As noted, DOE scope of this final determination (e.g., fume hoods are not discussed in this proposed definitions for ‘‘fan’’ and comments related to potential energy final determination as DOE has ‘‘blower’’ in the June 2011 NOPD.11 76 conservation standards and test determined it does not have the

9 DOE Docket No. EERE–2013–BT–STD–0006. 11 DOE also proposed a definition of ‘‘fume does not have statutory authority to include fume 10 DOE Docket No. EERE–2020–BT–PET–0003. hood,’’ but as discussed DOE has determined it hoods as covered equipment.

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FR 37678, 37679. Specifically, DOE following definitions for ‘‘fan’’ and No. EERE–2013–BT–STD–0006; AMCA, proposed the following definitions: ‘‘blower:’’ No. 19, at pp. 4, 43) The American A fan is an electrically powered device Commercial/Industrial Fan: A device used Council for an Energy-Efficient used in commercial or industrial systems to in commercial or industrial systems to Economy and other efficiency provide a continuous flow of a gas, typically provide a continuous flow of a gas, typically organizations 15 (‘‘ACEEE, et al.’’) air, for ventilation, circulation, or other air, by an impeller fit to a shaft and commented in support of establishing a industrial process requirements. Fans are bearing(s). A fan may be manufactured with broad definition for fans and then classified as axial or centrifugal. Axial fans or without a housing component. specify which fans should be excluded move an airstream along the axis of the fan. Blower: An axial or centrifugal fan with a from coverage, as this approach is more Centrifugal fans generate airflow by specific ratio between 1.11 and 1.20. administrable and less subject to accelerating the airstream radially. A fan may (January 2013 Framework Document at include some or all of the following unintended loopholes. ACEE, et al. also components: motor and motor controls, rotor pp. 7 and 9) commented that the a distinction or fan blades, and transmission and housing. DOE also acknowledged that the between fans, blowers, and compressors A blower is a type of centrifugal fan. terms ‘‘fan’’ and ‘‘blower’’ are used has not been established. (Docket No. interchangeably by the industry. EERE–2013–BT–STD–0006; ACEEE, et Id. (January 2013 Framework Document at al.; No. 25, at p. 3) In response to the In response to the June 2011 NOPD, p. 9) January 2013 Framework Document, the CA IOUs encouraged DOE to consult In response to the January 2013 ebm-papst commented that the terms test procedures of AMCA, American Framework Document, the CA IOUs ‘‘commercial’’ and ‘‘industrial’’ would Society of Heating, Refrigeration and commented that AMCA 99–10, require further clarification and that a Air-Conditioning Engineers ‘‘Standards Handbook’’ 12 included a fan fan definition should rely on physical (‘‘ASHRAE’’), and National Fire definition and that the American features (e.g., size, performance, Protection Association, as well as any Society of Mechanical Engineers construction). Ebm-papst noted that in other test procedures that may be (‘‘ASME’’) relied on specific ratios of the Europe, an impeller fitted to a shaft and relevant to this rulemaking. They also total pressure at the outlet of the bearing is not considered a ‘‘fan’’. encouraged DOE to develop a more equipment over the total inlet pressure Rather the entity that combines the robust definition for blowers suggesting to distinguish between fans, blowers, impeller with an electric motor is that fans and blowers are differentiated and compressors. The CA IOUs considered the fan manufacturer. by the method used to move the air and commented that DOE should ensure the (Docket No. EERE–2013–BT–STD–0006; by the system pressure they must definitions for fans, blowers, and emb-papst, No. 20, at p. 6) Emb-papst operate against. The CA IOUs compressors 13 are aligned to prevent added a fan description from the recommended DOE rely on specific any loopholes. (Docket No. EERE–2013– European Ventilation Industry ratios of the discharge pressure over the BT–STD–0006; CA IOUs, No. 11, at p. Association which describes a fans as: suction pressure, to define fans and 3) Morrison Products commented that ‘‘A fan is a combination of an blowers. The CA IOUs also urged DOE while the industry used the terms fan impeller(s) and motor. It may also to ensure that the definitions for fans do and blower interchangeably, they include a housing, mechanical drive not overlap with residential air handlers recommend using the ASME and a variable speed drive.’’ (Docket No. or commercial packaged air terminology. (Docket No. EERE–2013– EERE–2013–BT–STD–0006; emb-papst, conditioning units. (CA IOUs, No. 6, at BT–STD–0006; Morrison Products, No. No. 20, at p. 8) pp. 3–5). 15, at p. 5) AMCA commented that the Consistent with DOE’s In response to the June 2011 NOPD, terms fan and blower were used acknowledgement, the Working Group NEEA asked whether the proposed interchangeably and suggested a commented that the terms ‘‘fan’’ and 14 definition of ‘‘fan’’ included mixed flow definition for the term fan. (Docket ‘‘blower’’ are used interchangeably in fans which have aspects of both an axial the U.S. market and suggested 12 and centrifugal fan, citing a tubular ANSI/AMCA Standard 99–10: Standards eliminating the term ‘‘blower’’ to avoid centrifugal fan as an example of this Handbook. Available at www.amca.org. 13 Fans and compressors are equipment used to potential confusion. (Docket No. EERE– type of fan. NEEA also asked whether move amounts of gas (generally air). A fan moves 2013–BT–STD–0006; Public Meeting the proposed definition of ‘‘blower’’ gas with a low increase in pressure while a Presentation, No. 106, at p. 47) To the would include mixed flow blowers that compressor moves gas with a high increase in extent that a blower would meet the have aspects of both an axial and pressure. DOE established a definition of compressor as follows: A machine or apparatus that criteria in the proposed definition, it is centrifugal fan and are frequently used converts different types of energy into the potential a fan. As such, DOE is not considering for laboratory exhaust applications. energy of gas pressure for displacement and further a separate definition for (NEEA, No. 5, at p. 1–2). The Efficiency compression of gaseous media to any higher ‘‘blower.’’ advocates encouraged DOE to cover pressure values above atmospheric pressure and has mixed flow fans (Efficiency advocates, a pressure ratio at full-load operating pressure DOE reviewed existing industry greater than 1.3. See 10 CFR 431.342. standards to compare how industry No. 4, at p. 3). 14 AMCA recommended defining fan as a rotary standards define the terms fan and In response to the June 2011 NOPD, bladed machine designed to convert mechanical power to air power in order to maintain continuous blower and distinguish this equipment AMCA commented generally that the from compressors. AMCA 99–10 16 proposed definitions of fans and flow from the inlet(s) to outlet(s). Energy output is limited to 25 kJ/kg of air. A fan contains the includes an energy limit of 25 kilojoule blowers were not consistent with the following basic components: (a) Impeller(s): Rotary established fan industry definitions and bladed aerodynamic component responsible for the recommended that DOE adopt the total energy increase of the airstream delivered by Surface(s) bounded by a portion of the fan structure the fan; (b) Fan Structure: Any integral from which air exits the fan. (Docket No. EERE– relevant industry standards (AMCA, No. component(s) necessary to support the impeller, 2013–BT–STD–0006; AMCA, No. 19, at p. 43) 7, at p. 3). alter(s) the energy-composition of the airstream, or 15 Appliance Standards Awareness Project, Taking into consideration the direct(s) flow into or out of the impeller. These Northwest Energy Efficiency Alliance, Natural components must be present when testing to Resources Defense Council, and Alliance to Save comments received to the June 2011 develop performance ratings of the fan; (c) Inlet: Energy. NOPD, in the January 2013 Framework Surface(s) bounded by a portion of the fan structure 16 ANSI/AMCA Standard 99–10: Standards Document, DOE considered the across which air enters the fan; (d) Outlet: Handbook. Available at www.amca.org.

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(‘‘kJ’’)/kilogram (‘‘kg’’) of air 17 in its fan Meeting Transcript, No. 165 at p. 76) ebm-papst, No. 19, at p. 1; Greenheck, definition. As discussed, the specific Ingersoll Rand/Trane, commented in No. 18, at p. 1). AMCA also supported ratio is often used to separate fans support of the fan definition as drafted DOE’s position that the definition of (specific ratio less than or equal to 1.11), by the Working Group (Docket No. compressor in the compressor blowers (specific ratio greater than 1.11 EERE–2013–BT–STD–0006; Ingersoll regulation sufficed to differentiate fans and less than or equal to 1.20), and Rand/Trane, No. 153 at p. 6). from compressors. (AMCA, No. 12, at p. compressors (specific ratio greater than A recent industry test procedure, 3) Ebm-papst stated that limiting the 1.20), however, ASME states that this AMCA 214–21,20 includes a definition energy output to 25 kJ/kg of air on the distinction in common practice is similar to that drafted by the Working fan definition is appropriate to imprecise.18 The ISO 13349:2010, Group. AMCA 214–21 defines a fan as distinguish a fan from a compressor ‘‘Fans—Vocabulary and definitions of follows: ‘‘a rotary bladed machine used (ebm-papst, No. 19, at p. 1). In addition, categories’’ 19 defines fans based on a to convert electrical or mechanical AMCA commented that fans that use maximum energy limit of 25 kJ/kg of air power to air power, with an energy steam, combustion, or drivers other than and indicates that this is equivalent to output limited to 25 kJ/kg of air. It electric motors suitable to be powered a specific ratio of 1.3. DOE presented consists of an impeller, a shaft and by the electricity ‘‘grid’’ should be this information to the Working Group. bearings and/or driver to support the exempted from any future DOE (Docket No. EERE–2013–BT–STD–0006; impeller, as well as a structure or regulation. (AMCA, No. 12, at p. 2) Public Meeting Presentation, No. 106, at housing. A fan may include a DOE is establishing a definition for p. 47). Subsequently, the Working transmission, driver, and/or motor fan or blower, which provides the scope Group developed a draft definition of controller.’’ of coverage of the final determination, fan as follows: ‘‘a rotary bladed machine In the May 2021 RFI, DOE requested and is identical to the definition of used to convert power to air power with comments on this definition and the ‘‘fan’’ in AMCA 214–21. DOE has an energy output limited to 25 kJ/kg of potential addition of the descriptor determined that the terms ‘‘fan’’ and air; typically consisting of an impeller, ‘‘commercial and industrial’’ with the ‘‘blower’’ are used interchangeably in a shaft, bearings, a structure or housing, term ‘‘fan’’ to clarify that the subject the U.S. market and therefore applies transmission, driver, and control if fans are industrial equipment and that the same definition to the terms ‘‘fan’’ included by the manufacturer at the the term excludes ceiling fans and and ‘‘blower’’ (also referred to time of sale’’. The Working Group noted furnace fans, both covered products collectively as ‘‘fan’’ in the remainder of that this definition was still a work in defined at 10 CFR 430.2. In the May this final determination). progress and that AMCA would consult 2021 RFI, DOE also initially determined DOE notes that the maximum energy its technical committee to confirm the that the terms ‘‘fan’’ and ‘‘blower’’ can limit of 25 kJ/kg of air is equivalent to value used to characterize the energy be used interchangeably. 86 FR 24752, a pressure ratio of 1.3.21 The value of 1.3 output limit (Docket No. EERE–2013– 24754. matches the pressure ratio used in the BT–STD–0006; Public Meeting In response to the May 2021 RFI, definition of compressor at 10 CFR Presentation, No. 106, at pp. 45, 47). ASAP/NRDC supported the adoption of 431.342. Based on the comments from Subsequently, AMCA’s fan technical the AMCA 214–21 definition of fan as interested parties and on the existing committee commented in support of the the definition for commercial and DOE definition of ‘‘compressor,’’ DOE Working Group’s definition. (Docket No. industrial fans. (ASAP/NRDC, No. 14, at concludes that the maximum fan energy EERE–2013–BT–STD–0006; AMCA, No. p. 1) PG&E, SCE, SDG&E also limit of 25 kJ/kg is appropriate to 74, at p. 1) This definition was later commented in support of this distinguish fans from compressors and included as a draft working definition in definition. In addition, PG&E, SCE, is adopting this upper limit in the a draft term sheet with some SDG&E commented that the AMCA definition. modifications as follows: ‘‘a rotary 214–21 fan definition included an With regard to the criterion that a fan bladed machine used to convert power energy output limit of 25 kJ/kg of air must convert ‘‘electrical and mechanical to air power, with an energy output which is appropriate to distinguish a fan power into air power,’’ fans that are limited to 25 kJ/kg of air, consisting of from a compressor (PG&E, SCE, SDG&E, powered by an engine or any other an impeller, a shaft, bearings, and a No. 17, at pp. 1–2). Further, PG&E, SCE, driver would meet this criterion as the structure or housing; and includes any SDG&E noted that the definition for fans engine or other driver would be transmissions, driver, and/or controls if in AMCA 214–21 includes the option providing mechanical power that is integrated, assembled, or packaged by (but not the requirement) for a motor converted into air power. Inclusion of the manufacturer at the time of sale.’’ controller and is not specific to the term ‘‘mechanical’’ covers fans that (Docket No. EERE–2013–BT–STD–0006; electrically-driven equipment. PG&E, are sold without an electric motor or Draft Term Sheet, No. 143 at p. 1) The SCE, SDG&E, also noted that the other driver and which convert approved term sheet did not include a definition does not specify a fan flow mechanical power into airpower. recommended definition of ‘‘fan,’’ as the angle and includes centrifugal, axial, In response to the May 2021 RFI, definition established by the Working and mixed-flow blade orientations (i.e., Ebm-papst agreed that the ‘‘fan’’ Group was still considered a draft what are commonly referred to as definition in AMCA 214–21 is definition at the time. (Docket No. ‘‘blowers’’). (PG&E, SCE, SDG&E, No. appropriate for the coverage EERE–2013–BT–STD–0006; Public 17, at p. 2). AMCA, Greenheck, and determination and commented that the 17 This value characterizes the increase in ebm-papst supported the definition of ‘‘commercial and industrial fan’’ pressure of the air being moved by the fan. An fan in AMCA 214–21 and further definition, as based on the AMCA 214– energy output of 25 kJ/kg is equivalent to a pressure verified that they consider the terms 21 fan definition, should include ratio of 1.3. For an air density of 1.2 kg/m3, the fan ‘‘fan’’ and ‘‘blower’’ to be circulating fans that are not ceiling fans pressure is 1.2 × 25 kJ/kg, i.e., 30 kPa, and the pressure ratio is calculated as (100+30)/100 = 1.30 interchangeable (AMCA, No. 12, at p. 3; as defined at 10 CFR 430.2. (ebm-papst, (where atmospheric pressure = 100 kPa). 18 ASME PTC 11–2008 Standard: Fans. Available 20 ANSI/AMCA 214–21, Test Procedure for 21 For an air density of 1.2 kg/m3, the fan pressure at www.asme.org. Calculating Fan Energy Index (FEI) for Commercial is 1.2 × 25 kJ/kg, i.e., 30 kPa, and the pressure ratio 19 ISO 13349:2010 Fans—Vocabulary and and Industrial Fans and Blowers. (‘‘AMCA 214– is calculated as (100 + 30)/100 = 1.30 (where definitions of categories. Available at www.iso.org. 21’’) atmospheric pressure = 100 kPa).

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No. 19, at p. 1) PG&E, SCE, SDG&E regulated equipment that contain component, including fans, would commented that including the terms commercial and industrial fans would change the performance of the ‘‘commercial and industrial’’ with ‘‘fan’’ be subject to double regulations. (AHRI, equipment. AHRI commented that would limit confusion with residential No. 16.2, at p. 3). Ebm-pabst, while energy conservation standards could products, i.e., circulating fans and stating its support of the AMCA 214–21 create a safety issue for replacement furnace fans. (PG&E, SCE, SDG&E, No. ‘‘fan’’ definition for use in DOE’s fans in equipment to the extent that 17, at p. 2) CTI generally supported the coverage determination, also suggested compliance with safety and adoption of the AMCA 214–21 that furnace fans and ceiling fans, as performance standards could be affected definition of fan as the definition for defined in 10 CFR 430.2, should be by a change in the fan performance. commercial and industrial fans but specifically excluded in the (Docket No. EERE–2020–BT–PET–0003; asserted that the definition was unclear ‘‘commercial and industrial fan’’ AHRI, No. 14 at p. 3) 22 Daikin as to which fans would fall within definition and commented that fans commented in support of AHRI’s DOE’s scope of coverage. CTI explained operating at three-phase or rated at comment. (Docket No. EERE–2020–BT– that they were neutral on the term greater than 127 volts would typically PET–0003; Daikin, No. 8 at p. 1) Lennox ‘‘commercial and industrial’’ to further be considered as commercial and similarly opposed regulating fans that describe fans, but expressed concern industrial fans (ebm-papst, No. 19, at are components of HVACR equipment. with the fans that could fall under such p.1). MEP recommended that the (Docket No. EERE–2020–BT–PET–0003; descriptor. In addition, CTI expressed definition for a commercial and Lennox, No. 5 at pp. 2–3) concerns that embedded fans were not industrial fan should include a In response to the April 2020 Notice explicitly excluded from the scope of requirement for polyphase electric of Petition, Johnson Controls AMCA 214–21, only its foreword, and current with a fan shaft power greater commented in support of initiating a thought that embedded fans should be than 3 hp, to avoid including coverage determination for commercial specifically excluded from the scope of ‘‘residential fans’’ in regulations. (MEP, and industrial fans and blower products AMCA 214–21. (CTI, No. 13, pp. 1–2) No. 15, at p. 1). AMCA commented that within the same scope and noted AMCA recommended that ceiling fans the scope of any potential DOE exemptions of the petition by AMCA, and furnace fans be explicitly excluded regulation should be based on a lower the Air Conditioning Contractors of from the scope of any potential DOE shaft power limit of 1 horsepower to America, and the Sheet Metal & Air regulation because of the existing align with ASHRAE 90.1–2019 and the Conditioning Contractors of America. regulations of those products. (AMCA, 2021 International Energy Conservation Johnson Controls commented that they No. 12, at p. 3) Code. (AMCA, No.12, at p. 3) strongly oppose any regulatory While generally supporting use of the measures aimed at fans that are While generally supporting use of the AMCA 214–21 definition as the DOE components of heating, ventilation, and AMCA 214–21 definition as the DOE definition for ‘‘fan’’, Greenheck air conditioning (‘‘HVAC’’) equipment definition for ‘‘fan’’, AHRI expressed recommended establishing a separate where the primary purpose of the that ‘‘commercial and industrial’’ had a definition for fans that are embedded in equipment is to heat or cool a space, ‘‘special meaning’’ not identical to the a manufactured assembly where the and for which there are already well- 214–21 definition of fan and that hat assembly includes functions other than established equipment-level energy required further elaboration by DOE. air movement require further definition efficiency. (Docket No. EERE–2020–BT– AHRI recommended that the definition that considers the utility, function and PET–0003; Johnson Controls, No. 10 at for ‘‘commercial and industrial fan’’ overall energy consumption and p. 1) needs to make clear that fans within efficiency of the manufactured In this final rule, DOE is no longer scope are industrial equipment, assembly. (Greenheck, No. 18, p. 1) MEP including the description ‘‘commercial including commercial fans per 42 U.S.C. also recommended that DOE establish a and industrial’’ with the term ‘‘fan’’, 6311(2), and exclude ceiling fans, separate definition for embedded fans as since DOE has determined that this furnace fans, and fans embedded in provided by AMCA 214–21 and to make language is redundant, given the other consumer products. (AHRI, No. clear that embedded fans are not statutory definition of ‘‘industrial 16.2, at p. 2). AHRI also suggested a included in the definition of ‘‘fans.’’ equipment’’ in 42 U.S.C. 6311(2). In definition for ‘‘commercial and (MEP, No. 15, at p. 1) CTI commented addition, as noted above, comments also industrial fans’’ that would exclude that the majority of fan energy savings raised questions as to whether including equipment that utilizes single-phase derive from standalone fans as opposed ‘‘commercial and industrial’’ would electricity and exclude equipment with to embedded fans. CTI commented that provide more clarity or provoke more a rated fan shaft power less than or an exemption for fans used in heat uncertainty. The definition of equal to 1 hp (or fan electrical input rejection equipment is appropriate ‘‘industrial equipment’’ explicitly power above 0.89 kilowatts), and listed because the overall performance of the excludes covered products, other than a specific equipment categories heat rejection equipment is the key component of a covered product. (42 containing fans for which AHRI metric and not the performance of the U.S.C. 6311(2)(A)(iii)) Therefore, the recommends exclusions (AHRI, No. individual fan component. (CTI, No. 13, inclusion of ‘‘commercial and 16.1, at p. 1; 16.2, at pp. 2, 3). AHRI at p. 2) industrial’’ is not necessary to clarify asserted that collectively these In response to the April 2020 Notice the exclusion of ceiling fans and furnace exclusions would be consistent with the of Petition, DOE received a number of fans, both covered products defined at scope of the AMCA 214–21 test comments relevant to the scope of the 10 CFR 430.2. procedure, the scope of the test determination. AHRI commented that While fans would typically operate on procedure as recommended in the DOE should initiate a new coverage three-phase power and not on single- petition presented in the April 2020 determination process and that the final phase power, this criterion does not Notice of Petition, and the scope of the scope of coverage should be limited to necessarily distinguish a fan as test procedure and energy conservation stand-alone fans. AHRI commented that industrial equipment, because some standards as recommended by the HVACR and water heating equipment is Working Group. AHRI also expressed built, tested, rated, and certified as a 22 As previously discussed, AHRI repeated these concern that manufacturers of DOE completed design; and that modifying a arguments in response to the May 2021 RFI.

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fans are sold without a motor (making potential test procedures and energy a type, which (1) in operation it impossible to determine whether they conservation standards, DOE will consumes, or is designed to consume, would be operated on single-phase or consider the extent to which any such energy; (2) to any significant extent, is three-phase power) and some fans could test procedures or standards are distributed in commerce for industrial potentially be operated with either a appropriate and justified for specific or commercial use; (3) is not a ‘‘covered three-phase or single-phase motor. As fans. product,’’ and (4) for which the such, DOE is not including a phase Based on the foregoing discussion, Secretary has determined coverage is criterion as part of the definition since DOE is establishing the term ‘‘fan’’ to necessary to carry out the purpose of it does not sufficiently distinguish a fan mean a rotary bladed machine used to Part A–1. (42 U.S.C. 6311(2)(A); 42 as industrial equipment. convert electrical or mechanical power U.S.C. 6312(b)) Further, while larger fans (i.e., fans to air power, with an energy output EPCA lists fans (i.e., fans and blowers) with higher fan shaft input power) are limited to 25 kilojoule (kJ)/kilogram (kg) among the equipment that may be typically used in commercial and of air. It consists of an impeller, a shaft, industrial equipment. (42 U.S.C. industrial applications, some with lower and bearings and/or driver to support 6311(2)(B)(ii) and (iii)) DOE addresses fan shaft input power are also used in the impeller, as well as a structure or the requirements for determining that smaller commercial and industrial housing. A fan may include a fans are ‘‘industrial equipment’’ and applications. Because nothing would transmission, driver, and/or motor ‘‘covered equipment’’ in the following formally prevent the use of a fan with controller. DOE is applying the same paragraphs. a lower shaft input power in definition to the term ‘‘blower’’. 1. Energy Consumption in Operation commercial and industrial applications, B. Evaluation of Fans and Blowers as DOE is not using shaft input power in To qualify as ‘‘industrial equipment’’ Covered Equipment defining fans and finds the definition fans and blowers must be of a type as-is will provide sufficient demarcation As stated previously and discussed in which in operation consumes, or is between industrial equipment and detail in the following paragraphs, DOE designed to consume, energy. (42 U.S.C. consumer products. DOE may consider has determined that fans (i.e., fans and 6311(2)(A)(i)) fan shaft power when establishing the blowers) meet the criteria for inclusion In the 2011 NOPD, DOE used scope for potential fan test procedures as ‘‘covered equipment.’’ (See 42 U.S.C. information from the 2009 U.S. Energy and energy conservation standards. 6311(2)(A) and 42 U.S.C. 6312(b)) Information Administration (‘‘EIA’’) Commenters raised concerns that In response to the April 2020 Notice Annual Energy Outlook (‘‘AEO’’) to including embedded fans would of Petition, AHRI commented that any estimate the total energy consumption produce overlapping standards and final coverage determination that would of equipment covered under the then create multiple standard cycles, and rely on the analysis performed during proposed definitions of fan and blower questioned how DOE would evaluate the ASRAC process would not be in the commercial sector.23 DOE also performance of embedded fans that appropriate given concerns related to used the 2009 EIA Manufacturing work as a component of a system. As the fan performance data used which Energy Consumption Survey to estimate discussed, the statutory definition of was not certified performance data and the total electricity consumption of the ‘‘industrial equipment’’ generally was not confirmed to be reflective of industrial sector. DOE then used excludes covered products, but does not fans that are components of HVACR and information on the percentage of fan exclude the component of covered water heating equipment. (Docket No. and blower electricity use in industry products. EPCA explicitly provides that EERE–2020–BT–PET–0003; AHRI, No. from an American Council for an industrial equipment can be a 14 at p. 3) Lennox commented that the Energy-Efficient Economy study 24 to component of a covered product if the June 2011 NOPD analysis lacked calculate fan and blower electricity use Secretary determines in a rule that such specificity and that DOE should account in the industrial sector. DOE estimated equipment is to a significant extent, for the findings of the Working Group. that ‘‘commercial fans and blowers’’ distributed in commerce other than as (Docket No. EERE–2020–BT–PET–0003; consumed 139,533 million kWh of component parts for consumer products Lennox, No. 5 at p. 2) electricity per year while ‘‘industrial and such equipment otherwise meets The November 2016 NODA analysis fans and blowers’’ consumed 90,057 the definition of industrial equipment. included market and technical million kWh of electricity per year. 76 (42 U.S.C. 6311(2)(A)(iii); 42 U.S.C. information to characterize and evaluate FR 37678, 37979. 6312(c)) While some fans that meet the the impacts of potential standards on In response to the 2011 NOPD and the definition of ‘‘fan’’ as defined in this certain embedded fans. 81 FR May 2021 RFI, AHRI commented that Final Determination may be component 75742,75751. As presented and the energy consumption estimate parts of consumer products, not all fans discussed in detail in sections II.B.1, provided by DOE was based on outdated as defined are such. Therefore, whether II.B.2, and II.B.4 of this document, DOE data and did not account for energy a fan is embedded is not a criterion that has updated its analysis to account for saving measures required by the major can be reliably used to identify ‘‘fans’’. the findings of the Working Group and energy building codes in the U.S. AHRI While some commenters additional information collected after stated that ASHRAE Standard 90.1– recommended specific exclusions from the publication of the November 2016 2010 Energy Standard for Buildings the fan definition, as stated and NODA. Except Low-Rise Residential Building discussed in detail in section II.B, DOE As noted, EPCA provides that has determined that fans as defined in ‘‘covered equipment’’ includes any 23 DOE used AEO’s estimate of total energy this final determination and without other type of industrial equipment consumption in commercial buildings by end use (e.g., lighting, cooking, and office equipment) and further exclusions qualify as ‘‘covered which the Secretary classifies as selected ‘‘ventilation’’ as the representative end use equipment’’ under part A–1 of Title III covered equipment for which the for fans as this equipment is used to provide of EPCA. (See 42 U.S.C. 6311(2)(A) and Secretary has determined coverage is building ventilation. 42 U.S.C. 6312(b)) This final necessary to carry out the purpose of 24 Energy Efficiency and Electric Motors, Report PB–259 129, A.D. Little, Inc. 1976., U.S. Federal determination does not establish test Part A–1. 42 U.S.C. 6311(1)(L). Energy Administration, Office of Industrial procedures or energy conservation ‘‘Industrial equipment’’ is any article of Programs. Springfield, VA: National Technical standards for fans. In evaluating specifically listed equipment that is of Information Service.

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(‘‘ASHRAE Standard 90.1’’) includes BT–STD–0006; National Impact in the November 2016 NODA from 1.18 limits on the energy consumption of Analysis Spreadsheet, No. 192) The million to 721,725 units.29 commercial fans and has been adopted shipments of all fans and blowers Based on the shipments data, DOE in most states. (AHRI, No. 3, at pp. 2– covered under the definition of ‘‘fan’’ as estimates the shipments of fans and 3) established in this final determination blowers to be at least 721,725 units per For this final determination, DOE are likely higher. year. Both the estimates from the June updated its analysis to include 2011 NOPD and the updated estimates In response to the November 2016 information from a 2021 DOE study to demonstrate that fans and blowers are NODA analysis, A.O. Smith Corporation estimate the amount of motor electricity distributed in commerce to a significant (‘‘A.O. Smith’’) commented that there use represented by fans and blowers in extent for industrial and commercial were additional categories of equipment the industrial and commercial sectors.25 use, satisfying the second statutory that incorporate fans. A.O Smith listed Based on this study, DOE estimates that element to qualify as ‘‘industrial equipment such as boilers, water fans and blowers consume 192,085 equipment’’. (See 42 U.S.C. heaters, and pool heaters. (Docket No. million kWh of electricity per year in 6311(2)(A)(ii)) EERE–2013–BT–STD–0006; A.O. Smith, the commercial sector and 112,942 No. 219 at p. 2) Greenheck listed other 3. Prior Inclusion as a Covered Product million kWh of electricity per year in the industrial sector. HVACR equipment that were not To qualify as ‘‘industrial equipment’’ Both the estimates from the June 2011 captured in DOE’s estimate. (Docket No. fans and blowers must not be a ‘‘covered NOPD and the updated estimates EERE–2013–BT–STD–0006; Greenheck, product’’ as that term is defined in 42 demonstrate that fans and blowers No. 221.1 at pp. 20–21) However, A.O. U.S.C. 6291(a)(2). (42 U.S.C. consume energy in operation. Therefore, Smith and Greenheck did not provide 6311(2)(A)(iii)) DOE concludes that fans and blowers quantitative information to estimate ‘‘Covered product’’ is defined through satisfy the first element of ‘‘industrial these shipments. (Docket No. EERE– reference to the enumerated list of equipment’’ required by 42 U.S.C. 2013–BT–STD–0006; A.O. Smith, No. products at section 6292(a) of EPCA, 6311(2)(A)(i). 219 at p. 2; Greenheck, No. 221.1 at pp. which includes ‘‘any other type of 20–21) AHRI commented that they consumer product which the Secretary 2. Distribution in Commerce estimated the number of fans in HVACR classifies as a covered product’’ To qualify as ‘‘industrial equipment’’ equipment to be between five to 14 pursuant to certain statutory criteria. (42 fans and blowers must be, to a million units. (Docket No. EERE–2013– U.S.C. 6291(a)(2)) The fans and blowers significant extent, distributed in BT–STD–0006; AHRI, No. 222 at p. 15) are not included in the enumerated list commerce for industrial and Daikin commented in support of this of covered products in section 6292(a) commercial use.26 (42 U.S.C. estimate and added that DOE of EPCA and the Secretary has not 6311(2)(A)(ii)) overestimated the number of fans in air- previously determined such fans and DOE published shipments estimates handling units, noting that air-handler blowers to be covered products, though for certain varieties of fans to support shipments should be closer to 130,000– DOE does regulate ceiling fans and the November 2016 NODA analysis. The 230,000. (Docket No. EERE–2013–BT– furnace fans. Further, the definition of November 2016 NODA analyzed a STD–0006; Daikin, No. 216 at p. 4) fans (i.e., fans and blowers) established subset of fans operating with a shaft AHRI submitted additional shipments in this document explicitly excludes input power equal to or greater than 1 data to the California Energy ceiling fans and furnace fans, both horsepower and fan air power equal to Commission (‘‘CEC’’) Fan rulemaking defined at 10 CFR 430.2. Therefore, or less than 150 horsepower as docket which included updated equipment that is covered under the recommended in the term sheet. shipments estimates.27 definition of ‘‘fans’’ (i.e., fans and Generally, the scope excluded certain DOE reviewed the data submitted by blowers’’ established in this document fans used in HVACR equipment subject AHRI to the CEC and subsequently are not covered products as that term is to DOE energy conservation standards revised the shipment estimates prepared defined in 42 U.S.C. 6291(a)(2). and specific categories of fans such as DOE concludes that the third element for the November 2016 NODA. safety fans. 81 FR 75742, 75745–75746 of ‘‘industrial equipment’’ is satisfied. Specifically, DOE revised (1) air (Docket No. EERE–2013–BT–STD–0006; (See 42 U.S.C. 6311(2)(A)(iii)) handling unit shipments from 330,402 No. 179, Recommendation #1, 2, 3, 5, at units to 65,000 units; (2) chiller 4. Coverage Necessary To Carry Out the pp. 1–4) In the November 2016 NODA, DOE shipments from 12,759 to 27,000 units Purposes of Part A–1 estimated annual shipments of fans in and used 7 instead of 14 fans per unit The purpose of Part A–1 is to improve scope of the analysis to be 1.18 million to calculate corresponding fan units; the energy efficiency of electric motors, with approximately 18 percent for use and (3) the number of fans per unit used pumps, and certain other industrial in industrial applications and 82 in commercial packaged air- equipment to conserve the energy percent for use in commercial conditioning and heating equipment by resources of the Nation. (42 U.S.C. 28 applications. (Docket No. EERE–2013– capacity range. The updates reduced 6312(a)) In the 2011 NOPD, DOE the total shipments for the fans analyzed initially determined that coverage of 25 U.S Department of Energy (January 2021), fans and blowers was necessary to carry United States Industrial and Commercial Motor 27 AHRI’s submission to the CEC docket is out the purposes of Part A–1 of EPCA System Market Assessment Report. Volume 1: available here: CEC Docket 17–AAER–06, because coverage would potentially Characteristics of the Installed Base. Retrieved TN#221201–1. Available at: efiling.energy.ca.gov/ February 2, 2021, from eta-publications.lbl.gov/ GetDocument.aspx?tn=221201- promote the conservation of energy sites/default/files/u.s._industrial_and_commerical_ 1&DocumentContentId=26700. motor_system_market_assessment_report_vol_1_ 28 For return and exhaust fans, DOE assumed an 29 The November 2016 NODA analyzed certain .pdf. average of 0.06 to 0.85 fans per unit depending on categories of fans with a fan shaft input power equal 26 DOE notes that distribution for residential use the capacity of the unit instead of 0.5 to 1.5 fans to or greater than 1 horsepower and fan air power does not preclude coverage as covered equipment per unit. See Table 6 of CEC Docket 17–AAER–06, equal or less than 150 horsepower as recommended so long as to a significant extent the equipment is TN#221201–1. Available at: efiling.energy.ca.gov/ in the term sheet. (Docket No. EERE–2013–BT– of a type that is also distributed in commerce for GetDocument.aspx?tn=221201- STD–0006; No. 179, Recommendation #1, 2, 3, 5, industrial and commercial use. 1&DocumentContentId=26700. at pp.1–4)

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resources. DOE estimated that No. 24, at p. 2) In response to the June by as much as 30 percent,33 resulting in technologies exist that could reduce the 2011 NOPD, CTI also commented that national energy savings ranging from electricity consumption of fans by as much of the energy savings for 0.79–6.96 quads site savings over the 30 much as 20 percent.30 76 FR 37678, standalone fans is already captured in year analysis period (2.2 to 19.1 quads 37680. ASHRAE 90.1 and in the International Full Fuel Cycle) depending on the EL In response to the 2011 NOPD, the CA Energy Conservation Code. (CTI, No. 13, considered. (Docket No. EERE–2013– IOUs commented that commercial and at p. 2) BT–STD–0006; National Impact industrial fans and blowers represent a In response to the May 2021 RFI, Analysis Spreadsheet, No. 192) significant potential for energy savings. Regarding ASHRAE Standard 90.1 AHRI reiterated its concern that the data To illustrate the potential energy and its effect on the current mix of fan savings, the CA IOUs presented evaluated in DOE’s previous NODA and blower efficiencies on the market, estimates of how different blade designs analyses used a fan database with fan DOE considered confidential sales data compare in terms of energy efficiency, performance characteristics that may provided by AMCA in development of noting that some designs (i.e., airfoil, not have appropriately represented fan efficiency distributions for the backward curved/inclined centrifugal embedded fans. (AHRI, No. 16.2, at p. 5) November 2016 NODA. DOE collected fans and vanaxial axial fans) are better Greenheck recommended that DOE additional technical and market than others. (CA IOUs, No. 6 at pp. 1– reevaluate the potential energy savings information specific to embedded fans 2) for fans based on the new fan energy to represent both the embedded fan and In response to the June 2011 NOPD, requirements included in the 2019 standalone fan markets. DOE applied AHRI commented that systems that version of ASHRAE 90.1, as well as these efficiency distributions to account includes commercial and industrial fans savings obtained from ongoing utility for the fact that more efficient fans are and blowers are already subject to DOE incentive programs, related state energy already on the market when estimating energy conservation standards. AHRI standards/codes and industry energy savings from potential energy asserted that Part A–1’s purpose has performance certifications programs. conservation standards. 81 FR 75742, already been achieved through DOE’s (Greenheck, No. 18, at pp. 2, 3) 75751–75752.34 Further, since the energy conservation standards for In the November 2016 NODA, DOE publication of the November 2016 commercial equipment; the minimum provided estimates of national energy NODA, the industry standard in energy efficiency requirements within savings that may result from potential ASHRAE Standard 90.1 applicable to these standards adequately account for energy conservation standards.31 DOE fans was revised to include updated fan the energy consumption of various analyzed six efficiency levels (‘‘ELs’’) efficiency requirements corresponding components within a system, including representing lower efficiency fans to approximately the stringency level in fans and blowers. (AHRI, No. 3 at pp. 1– (‘‘baseline level’’—EL0) and higher EL 3 as analyzed in the November 2016 35 2) In response to the January 2013 efficiency fans (‘‘max tech’’—EL6). To NODA. Because ASHRAE Standard Framework Document, AHRI added that develop these efficiency levels, DOE 90.1 is approximately as stringent as EL setting energy conservation standards identified existing technology options 3 in the 2016 NODA analysis, the for fans and blowers used in HVAC that affect efficiency. DOE then figures and analysis from the 2016 applications would not ensure an conducted a screening analysis to NODA can be used to determine optimized energy savings solution for review each technology option and remaining potential energy savings, this category of equipment and that decide whether it: (1) Is technologically assuming a full implementation of the fan requirements in ASHRAE 90.1. Even ASHRAE Standard 90.1 already feasible; (2) is practicable to assuming full implementation of includes fan efficiency requirements for manufacture, install, and service; (3) ASHRAE Standard 90.1, DOE estimates certain categories of HVAC fans. (Docket would adversely affect product utility or that there would remain a potential for No. EERE–2013–BT–STD–0006; AHRI, product availability; or (4) would have additional energy savings ranging from No. 12 at p. 1) Also, in response to the adverse impacts on health and safety. 0.55–5.5 quads site energy savings (1.5 January 2013 Framework Document, The technology options remaining after AMCA, EEI, Lennox, commented that to 15.1 quads FFC energy savings) over the screening analysis consisted of a the 30 year analysis period.36 DOE’s analysis should account for the variety of impeller designs and guide existing fan efficiency requirements in The national energy savings results vanes. DOE used these technology presented in the November 2016 NODA ASHRAE Standard 90.1. (Docket No. options to divide the fan groups into EERE–2013–BT–STD–0006; AMCA, No. subgroups and conducted a market- 33 19 at pp. 5, 32; EEI, No. 13 at p. 2; Based on the difference in fan efficiency targets based assessment of the prevalence of at EL0 and EL6. Lennox, No. 18, at p. 3;) Ingersoll Rand/ each subgroup at the different efficiency 34 The efficiency distributions reflect market Trane noted that HVAC equipment that levels analyzed. DOE analyzed six shares of fan shipments by efficiency level in the incorporate fans are already subject to absence of an energy conservation standard. In the efficiency levels in the November 2016 minimum efficiency requirements in November 2016 NODA, DOE assumed that some NODA, including one efficiency level fans are already being purchased at efficiency levels ASHRAE Standard 90.1. For fans going representing the efficiency target as above the baseline. See ‘‘LCC Input’’ tab of the into these HVAC equipment, Ingersoll recommended by AMCA 32 as well as national impact analysis tool (Row #39) Available Rand/Trane commented that any at https://www.regulations.gov/document/EERE- additional levels above and below. 81 improvements in the fan energy 2013-BT-STD-0006-0192. FR 75742, 75748. DOE estimated that 35 efficiency would not results in any ANSI/ASHRAE/IES Standard 90.1–2019 (I–P), Energy Standard for Buildings Except Low-Rise energy savings as the HVAC equipment technologies exist that could reduce the electricity consumption of a baseline fan Residential Buildings. Section 6.5.3.1.3 ‘‘Fan would continue to be designed to meet efficiency’’. the equipment level metrics required by 36 To estimate these savings, DOE subtracted the ASHRAE 90.1. (Docket No. EERE–2013– 31 The national impact analysis tool and results national energy savings estimates at EL3 from the supporting the November 2016 NODA are available national energy savings estimates as projected by in BT–STD–0006; Ingersoll Rand/Trane, online at https://www.regulations.gov/document/ the November 2016 NODA. The national impact EERE-2013-BT-STD-0006-0192. analysis tool and results supporting the November 30 Martin, N., Worrel, E., et al. Emerging Energy 32 See AMCA’s DOE Fan efficiency Proposal 2016 NODA are available online at https:// Efficient Industrial Technologies, LBNL–46990, 10/ presented at the 59th AMCA Annual Meeting, www.regulations.gov/document/EERE-2013-BT- 2000. January 24, 2015. STD-0006-0192.

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and the subsequent estimates that Flexibility Act and the policies and equipment for which DOE has made a assume full implementation of relevant procedures published on February 19, coverage determination pursuant to 42 industry standards demonstrate that 2003. This final determination does not U.S.C. 6311(1)(L) the preemption coverage of fans and blowers and energy establish test procedures or standards provisions of 42 U.S.C. 6297 begin on conservation standards that may result for fans and blowers. On the basis of the the date on which a final rule from such coverage would improve the foregoing, DOE certifies that this final establishing an energy conservation efficiency of fans and blowers. Such determination has no significant standard is issued by the Secretary, standards would further the purpose of economic impact on a substantial except that any State or local standard Part A–1, to conserve the energy number of small entities. Accordingly, prescribed or enacted for the equipment resources of the Nation. DOE has not prepared an IRFA for this before the date on which the final rule final determination. DOE will transmit is issued shall not be preempted until C. Final Determination this certification and supporting the energy conservation standard Based on the foregoing discussion, statement of factual basis to the Chief established by the Secretary for the DOE concludes that including fans and Counsel for Advocacy of the Small equipment takes effect. (42 U.S.C. blowers, as defined in this final Business Administration for review 6316(a)(10)) This final determination determination, as covered equipment is under 5 U.S.C. 605(b). does not establish energy conservation standards for fans and blowers. DOE has necessary to carry out the purposes of C. Review Under the National examined this final determination and Part A–1. Based on the information Environmental Policy Act of 1969 discussed in sections II.B.1, II.B.2, and concludes that it does not preempt State II.B.3 of this final determination, DOE is Pursuant to the National law or have substantial direct effects on classifying fans and blowers as covered Environmental Policy Act (NEPA) of the States, on the relationship between equipment. 1969, DOE has analyzed this proposed the Federal government and the States, This final determination does not action in accordance with NEPA and or on the distribution of power and establish test procedures or energy DOE’s NEPA implementing regulations responsibilities among the various conservation standards for fans and (10 CFR part 1021). DOE has determined levels of government. No further action blowers. DOE will address test that this rule qualifies for categorical is required by E.O. 13132. exclusion under 10 CFR part 1021, procedures and energy conservation E. Review Under Executive Order 12988 standards through its normal subpart D, appendix A6 because it is rulemaking process. strictly procedural and meets the With respect to the review of existing requirements for application of a CX. regulations and the promulgation of III. Procedural Issues and Regulatory See 10 CFR part 1021410. Therefore, new regulations, section 3(a) of E.O. Review DOE has determined that promulgation 12988, ‘‘Civil Justice Reform,’’ imposes A. Review Under Executive Order 12866 of this rule is not a major Federal action on Federal agencies the general duty to significantly affecting the quality of the adhere to the following requirements: This coverage determination has been human environment within the meaning (1) Eliminate drafting errors and determined to be not significant for of NEPA, and does not require an ambiguity, (2) write regulations to purposes of Executive Order (‘‘E.O’’) Environmental Assessment or minimize litigation, (3) provide a clear 12866, ‘‘Regulatory Planning and Environmental Impact Statement. legal standard for affected conduct Review,’’ 58 FR 51735 (Oct. 4, 1993). As rather than a general standard, and (4) D. Review Under Executive Order 13132 a result, the Office of Management and promote simplification and burden Budget (‘‘OMB’’) did not review this E.O. 13132, ‘‘Federalism,’’ 64 FR reduction. 61 FR 4729 (Feb. 7, 1996). final determination. 43255 (Aug. 10, 1999), imposes certain Regarding the review required by requirements on Federal agencies B. Review Under the Regulatory section 3(a), section 3(b) of E.O. 12988 formulating and implementing policies Flexibility Act specifically requires that Executive or regulations that preempt State law or agencies make every reasonable effort to The Regulatory Flexibility Act (5 that have federalism implications. The ensure that the regulation: (1) Clearly U.S.C. 601 et seq.) requires preparation Executive order requires agencies to specifies the preemptive effect, if any, of an initial regulatory flexibility examine the constitutional and statutory (2) clearly specifies any effect on analysis (‘‘IRFA’’) for any rule that by authority supporting any action that existing Federal law or regulation, (3) law must be proposed for public would limit the policymaking discretion provides a clear legal standard for comment, unless the agency certifies of the States and to carefully assess the affected conduct while promoting that the rule, if promulgated, will not necessity for such actions. The simplification and burden reduction, (4) have a significant economic impact on Executive order also requires agencies to specifies the retroactive effect, if any, (5) a substantial number of small entities. have an accountable process to ensure adequately defines key terms, and (6) As required by E.O. 13272, ‘‘Proper meaningful and timely input by State addresses other important issues Consideration of Small Entities in and local officials in the development of affecting clarity and general Agency Rulemaking,’’ 67 FR 53461 regulatory policies that have federalism draftsmanship under any guidelines (Aug. 16, 2002), DOE published implications. On March 14, 2000, DOE issued by the Attorney General. Section procedures and policies on February 19, published a statement of policy 3(c) of Executive Order 12988 requires 2003, to ensure that the potential describing the intergovernmental Executive agencies to review regulations impacts of its rules on small entities are consultation process it will follow in the in light of applicable standards in properly considered during the development of such regulations. 65 FR section 3(a) and section 3(b) to rulemaking process. 68 FR 7990. DOE 13735. determine whether they are met or it is has made its procedures and policies EPCA governs and prescribes Federal unreasonable to meet one or more of available on the Office of the General preemption of State regulations as to them. DOE has completed the required Counsel’s website (https://energy.gov/ energy conservation for the industrial review and determined that, to the gc/office-general-counsel). equipment that is the subject of this extent permitted by law, this final DOE reviewed this final rule under final determination. (42 U.S.C. determination meets the relevant the provisions of the Regulatory 6316(a)(10); 42 U.S.C. 6297) Regarding standards of E.O. 12988.

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F. Review Under the Unfunded determination would not result in any K. Information Quality Mandates Reform Act of 1995 takings that might require compensation On December 16, 2004, OMB, in Title II of the Unfunded Mandates under the Fifth Amendment to the U.S. Constitution. consultation with the Office of Science Reform Act of 1995 (‘‘UMRA’’) requires and Technology Policy (‘‘OSTP’’), each Federal agency to assess the effects I. Review Under the Treasury and issued its Final Information Quality of Federal regulatory actions on State, General Government Appropriations Bulletin for Peer Review (‘‘the local, and Tribal governments and the Act, 2001 Bulletin’’). 70 FR 2664 (Jan. 14, 2005). private sector. Public Law 104–4, sec. Section 515 of the Treasury and The Bulletin establishes that certain 201 (codified at 2 U.S.C. 1531). For a General Government Appropriations scientific information shall be peer regulatory action likely to result in a Act, 2001 (44 U.S.C. 3516 note) provides reviewed by qualified specialists before rule that may cause the expenditure by for Federal agencies to review most it is disseminated by the Federal State, local, and Tribal governments, in disseminations of information to the Government, including influential the aggregate, or by the private sector of public under information quality scientific information related to agency $100 million or more in any one year guidelines established by each agency regulatory actions. The purpose of the (adjusted annually for inflation), section pursuant to general guidelines issued by bulletin is to enhance the quality and 202 of UMRA requires a Federal agency OMB. OMB’s guidelines were published credibility of the Government’s to publish a written statement that at 67 FR 8452 (Feb. 22, 2002), and scientific information. Under the estimates the resulting costs, benefits, DOE’s guidelines were published at 67 Bulletin, the energy conservation and other effects on the national FR 62446 (Oct. 7, 2002). Pursuant to standards rulemaking analyses are economy. (2 U.S.C. 1532(a), (b)). The OMB Memorandum M–19–15, ‘‘influential scientific information,’’ UMRA also requires a Federal agency to Improving Implementation of the which the Bulletin defines as ‘‘scientific develop an effective process to permit Information Quality Act (April 24, information the agency reasonably can timely input by elected officers of State, 2019), DOE published updated determine will have, or does have, a local, and Tribal governments on a guidelines which are available at clear and substantial impact on proposed ‘‘significant intergovernmental www.energy.gov/sites/prod/files/2019/ important public policies or private mandate,’’ and requires an agency plan 12/f70/DOE%20Final%20 sector decisions.’’ Id. at 70 FR 2667. for giving notice and opportunity for Updated%20IQA%20 timely input to potentially affected Guidelines%20Dec%202019.pdf. DOE In response to OMB’s Bulletin, DOE small governments before establishing has reviewed this final determination conducted formal peer reviews of the any requirements that might under the OMB and DOE guidelines and energy conservation standards significantly or uniquely affect them. On has concluded that it is consistent with development process and the analyses March 18, 1997, DOE published a applicable policies in those guidelines. that are typically used and has prepared statement of policy on its process for a report describing that peer review.37 intergovernmental consultation under J. Review Under Executive Order 13211 Generation of this report involved a UMRA. 62 FR 12820. DOE’s policy E.O. 13211, ‘‘Actions Concerning rigorous, formal, and documented statement is also available at Regulations That Significantly Affect evaluation using objective criteria and www.energy.gov/sites/prod/files/gcprod/ Energy Supply, Distribution, or Use,’’ 66 qualified and independent reviewers to documents/umra_97.pdf. FR 28355 (May 22, 2001), requires make a judgment as to the technical/ This final determination does not Federal agencies to prepare and submit scientific/business merit, the actual or contain a Federal intergovernmental to OIRA at OMB, a Statement of Energy anticipated results, and the productivity mandate, nor is it expected to require Effects for any significant energy action. and management effectiveness of expenditures of $100 million or more in A ‘‘significant energy action’’ is defined programs and/or projects. DOE has any one year by the private sector. As as any action by an agency that determined that the peer-reviewed a result, the analytical requirements of promulgates or is expected to lead to analytical process continues to reflect UMRA do not apply. promulgation of a final rule, and that (1) current practice, and the Department is a significant regulatory action under followed that process for developing G. Review Under the Treasury and Executive Order 12866, or any successor energy conservation standards in the General Government Appropriations Executive order; and (2) is likely to have case of the present action. Act, 1999 a significant adverse effect on the Section 654 of the Treasury and supply, distribution, or use of energy, or L. Congressional Notification General Government Appropriations (3) is designated by the Administrator of As required by 5 U.S.C. 801, DOE will Act, 1999 (Pub. L. 105–277) requires OIRA as a significant energy action. For report to Congress on the promulgation Federal agencies to issue a Family any significant energy action, the agency of this final determination prior to its Policymaking Assessment for any rule must give a detailed statement of any effective date. The report will state that that may affect family well-being. This adverse effects on energy supply, it has been determined that the rule is final determination would not have any distribution, or use should the proposal a ‘‘major rule’’ as defined by 5 U.S.C. impact on the autonomy or integrity of be implemented, and of reasonable 804(2). the family as an institution. alternatives to the action and their Accordingly, DOE has concluded that it expected benefits on energy supply, IV. Approval of the Office of the is not necessary to prepare a Family distribution, and use. Secretary Policymaking Assessment. This final determination is not establishing energy conservation The Secretary of Energy has approved H. Review Under Executive Order 12630 standards for fans and blowers. It is not publication of this final determination. Pursuant to E.O. 12630, a significant energy action, nor has it ‘‘Governmental Actions and Interference been designated as such by the 37 ‘‘Energy Conservation Standards Rulemaking Peer Review Report.’’ 2007. Available at with Constitutionally Protected Property Administrator at OIRA. Accordingly, www.energy.gov/eere/buildings/downloads/energy- Rights,’’ 53 FR 8859 (Mar. 15, 1988), DOE has not prepared a Statement of conservation-standards-rulemaking-peer-review- DOE has determined that this final Energy Effects. report-0.

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List of Subjects in 10 CFR 431 as that term is defined and addressed in SUPPLEMENTARY INFORMATION: part 430 of this chapter. Administrative practice and Background procedure, Confidential business § 431.172 Definition. On January 23, 2020, the Department information, Energy conservation, Fan or blower means a rotary bladed of Commerce published the final rule, Incorporation by reference, machine used to convert electrical or Control of Firearms, Guns, Ammunition Intergovernmental relations, Reporting mechanical power to air power, with an and Related Articles the President and recordkeeping requirements, Small energy output limited to 25 kilojoule Determines No Longer Warrant Control businesses. (kJ)/kilogram (kg) of air. It consists of an Under the United States Munitions List Signing Authority impeller, a shaft and bearings and/or (USML) (85 FR 4136) (referred to This document of the Department of driver to support the impeller, as well henceforth as the ‘‘Commerce January 23 rule’’) in conjunction with a Energy was signed on August 13, 2021, as a structure or housing. A fan or Department of State final rule to revise by Kelly Speakes-Backman, Principal blower may include a transmission, Categories I, II, and III of the USML in Deputy Assistant Secretary and Acting driver, and/or motor controller. the ITAR (85 FR 3819) (referred to Assistant Secretary for Energy Efficiency §§ 431.173–431.176 [Reserved]. henceforth as the ‘‘State January 23 and Renewable Energy, pursuant to [FR Doc. 2021–17715 Filed 8–18–21; 8:45 am] rule’’). The Department of Commerce in delegated authority from the Secretary BILLING CODE 6450–01–P issuing the January 23 rule described of Energy. That document with the how articles the President determined original signature and date is no longer warrant control under USML maintained by DOE. For administrative DEPARTMENT OF COMMERCE Category I—Firearms, Close Assault purposes only, and in compliance with Weapons and Combat Shotguns; requirements of the Office of the Federal Bureau of Industry and Security Category II—Guns and Armament; and Register, the undersigned DOE Federal Category III—Ammunition/Ordnance Register Liaison Officer has been 15 CFR Parts 740, 742, 743, 748, 758, were to be controlled on the CCL of the authorized to sign and submit the and 774 Export Administration Regulations document in electronic format for [Docket No. 210810–0160] (EAR). The Commerce January 23 rule publication, as an official document of was published in conjunction with the the Department of Energy. This RIN 0694–AF47 State January 23 rule, issued by the administrative process in no way alters Department of State, Directorate of the legal effect of this document upon Control of Firearms, Guns, Defense Trade Controls (DDTC), publication in the Federal Register. Ammunition and Related Articles the completing the initial review of the Signed in Washington, DC, on August 13, President Determines No Longer USML that began in 2011 and making 2021. Warrant Control Under the United conforming changes to the EAR to Treena V. Garrett, States Munitions List (USML) control these items on the Commerce Federal Register Liaison Officer, U.S. AGENCY: Bureau of Industry and Control List (CCL). This final rule makes certain Department of Energy. Security, Department of Commerce. For the reasons set forth in the preamble, corrections and clarifications for the ACTION: DOE amends part 431 of chapter II, Final rule; technical corrections. changes made in the Commerce January subchapter D, of title 10 of the Code of SUMMARY: On January 23, 2020, the 23 rule. These changes are made to Federal Regulations, as set forth below: Department of Commerce published a improve understanding of the 0x5zz final rule in conjunction with a Export Control Classification Numbers PART 431—ENERGY EFFICIENCY (ECCNs) for items that transitioned from PROGRAM FOR CERTAIN Department of State final rule to revise Categories I (firearms, close assault USML Categories I and III to the CCL COMMERCIAL AND INDUSTRIAL and to the associated control structure EQUIPMENT weapons and combat shotguns), II (guns and armaments), and III (ammunition/ added to the EAR. These changes are ■ 1. The authority citation for part 431 ordnance) of the United States informed by BIS’s experience of continues to read as follows: Munitions List (USML) and transfer licensing, classifying, and enforcing the export control requirements specific to Authority: 42 U.S.C. 6291–6317; 28 U.S.C. items that no longer warrant control on the USML in the International Traffic in these items. These changes are also 2461 note. informed by BIS’s experience of ■ Arms Regulations (ITAR) to the 2. Add subpart J to read as follows: Commerce Control List (CCL). This final conducting outreach and answering Subpart J—Fans and Blowers rule makes corrections and clarifications questions from the public on the to the January 23 rule. The changes changes made to the EAR in the Sec. Commerce January 23 rule. The changes 431.171 Purpose and scope. made in this final rule are intended to 431.172 Definition. make the requirements easier to made in this final rule are intended to 431.173–431.176 [Reserved]. understand, interpreted consistently, make the requirements easier to and in accordance with the intent of the understand, provide for consistent Subpart J—Fans and Blowers Commerce January 23 rule. interpretation, and ensure the requirements are in accordance with the § 431.171 Purpose and scope. DATES: This rule is effective September intent of the Commerce January 23 rule. This subpart contains provisions 20, 2021. regarding fans and blowers, pursuant to FOR FURTHER INFORMATION CONTACT: Corrections and Clarifications Part C of Title III of the Energy Policy Steven Clagett, Office of In § 740.9(b) (Exports of items and Conservation Act, as amended, 42 Nonproliferation Controls and Treaty temporarily in the United States), this U.S.C. 6311–6317. This subpart does not Compliance, Nuclear and Missile final rule removes the last sentence of cover ‘‘ceiling fans’’ as that term is Technology Controls Division, tel. (202) the introductory text of paragraph (b)(1) defined and addressed in part 430 this 482–1641 or email steven.clagett@ and adds that same sentence as chapter, nor does it cover ‘‘furnace fans’’ bis.doc.gov. introductory text to paragraph (b). This

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sentence applies to all of paragraph (b), American States (OAS) member country classification or other control descriptor and so needed to be placed in the must include the initial Inter-American in the EEI filing in AES), to make two introductory text of paragraph (b) Convention Against the Illicit clarifications. The first change clarifies instead of paragraph (b)(1) to clarify the Manufacturing of and Trafficking in that the requirement in paragraph scope of its application. Firearms, Ammunition, Explosives, and (g)(4)(ii) is only applicable when an In § 742.17 (Exports of firearms to other Related Materials (Firearms exporter will use the alternative OAS member countries), this final rule Convention) (FC) Import Certificate. submission method under § 743.4(h) for revises the cross reference to This note also clarifies that all BIS conventional arms reporting. BIS is § 748.12(d)(4) by updating that to licenses for ECCNs 0A501 and 0A505 making this change in response to reference paragraph (d)(3) instead of commodities will include a standard questions from the public asking for (d)(4). Paragraph (d)(4) does not exist rider that requires that the applicant/ clarification because they prefer using and paragraph (d)(3) is what is intended exporter have a current FC Import the standard method under § 743.4(h) in the described cross reference to Certificate on file prior to export. The or, as a result of how their software § 748.12. note clarifies that while FC Import systems are set up for filing EEI in AES, In § 743.4 (Conventional arms Certificates are usually valid for 1 year, that meeting the requirement under reporting), this final rule removes the BIS licenses are valid for 4 years. This paragraph (g)(4)(ii) is not possible. This penultimate sentence of paragraph (a). clarification addresses a common clarification will make it clear that This final rule removes this sentence to question that BIS has received regarding when relying on the standard method, conform with the clarification made to the validity period of FC Import this additional EEI filing requirement in § 758.1(g)(4)(ii) that this requirement Certificates as compared to the validity AES is not applicable. The second only applies when a filer is following period of BIS licenses. This note clarification that BIS makes is to shorten the alternative submission method for clarifies that it is the responsibility of the text required in the commodity conventional arms reporting. the exporter to have a current copy of description block in the EEI filing in In § 743.4, this final rule revises the the FC import certificate prior to making AES. Instead of requiring the six second sentence of paragraph (h) to an export under the authorization of the character ECCN classification (i.e., remove the phrase ‘six character ECCN license. 0A501.a or 0A501.b), or, for shotguns classification (i.e., 0A501.a or 0A501.b)’ Also in § 748.12(e) (Requirement to controlled under 0A502, the phrase and adds in its place the phrase ‘items obtain an import certificate or permit for ‘0A502 barrel length less than 18 paragraph classification (i.e., .a, or .b) other than OAS member states), this inches,’ filers will now be required, for ECCN 0A501.’ This change is made final rule adds a new Note 3 to when relying on the alternative to conform with the change made to paragraph (e)(3). New Note 3 clarifies submission method, to insert ‘.a’ or ‘.b’ § 758.1(g)(4)(ii) to reduce the number of the requirements for BIS license for 0A501, or ‘SB’ instead of ‘0A502 characters to be included in the applications for ECCNs 0A501 and barrel length less than 18 inches’’ in the Commodity description block to 0A505 commodities when the license commodity description block in the EEI identify ECCN 0A501.a or .b firearms application is not for exports to an OAS filing in AES. This change is possible under the alternative submission country. Note 3 clarifies that license because the ECCN is already included in method under paragraph (h). applicants for exports and reexports to another block in the EEI filing in AES. In § 748.12 (Firearms import countries requiring that a government- BIS can therefore shorten the required certificate or import permit), this final issued certificate or permit be obtained text, which will assist filers by rule revises paragraph (b)(1) by prior to importing the commodity must eliminating problems related to the removing the reference to supplement have the initial government-issued limited number of characters allowed in no. 6 to part 748. Previously, the second certificate or permit prior to any export the commodity description block, while parenthetical phrase in paragraph (b)(1) under BIS license. Note 3, similar to continuing to allow BIS to identify the caused confusion for some exporters by Note 2, notes the usual, shorter validity items as firearms and shotguns in the incorrectly referencing supplement no. periods of government-issued certificate AES data. 6, which is reserved. To avoid this or permit compared to the four year In ECCN 0A018, this final rule confusion, this final rule clarifies validity period of BIS licenses and removes the ECCN. No items are § 748.12(b)(1) by removing the clarifies that the applicant/exporter currently in this ECCN 0A018, so this parenthetical phrase that refers to must have a current government-issued change is limited to removing the supplement no. 6 to part 748. As an certificate or permit on file prior to heading and the cross reference to additional conforming change, in export under the license. The rider 0A505 for ‘‘parts’’ and ‘‘components’’ supplement no. 6 to part 748, this final included on these licenses also for ammunition that, immediately prior rule revises the supplement to remove addresses the scenario where if to March 9, 2020, were classified under the heading and bracketed text to avoid subsequently a foreign government 0A018.b. Because the January 23 rule confusion for some exporters. This decides a government issued certificate has been effective for over one year, this change is made to supplement no. 6 to or permit is required, the existing cross reference is no longer needed. part 748 because the heading and license would already take that into In ECCN 0A501, this final rule makes bracketed text is unnecessary for a account and require the exporter or thirteen changes to the control text for reserved supplement. However, because reexporter to obtain the government- clarity. These changes include adding part 748 includes supplement nos. 7 to issued certificate or permit prior to additional notes and technical notes, as 9, this final rule continues to reserve making the export or reexport. Lastly, as well as other clarifications to the text to supplement no. 6, as a placeholder for a conforming change, this final rule make the control parameters easier to future use. redesignates Note 2 to paragraph (e) as understand and, therefore, interpreted In § 748.12(d) (Procedures for using Note 4 to paragraph (e). consistently. These corrections and document with license application), this In § 758.1 (The electronic export clarifications to 0A501 are described as final rule revises paragraph (d)(3) to add information (EEI) filing to the automated follows: a new Note 2. New Note 2 clarifies that export system (AES)), this final rule This final rule adds a new Technical license applications for exports and revises paragraph (g)(4)(ii) (Identifying Note to 0A501.a. This technical note reexports to an Organization of end item firearms by ‘‘items’’ level clarifies that the non-automatic and

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semi-automatic firearms described in 0A501.y.2 to y.5 are those commodities included in the kit. This guidance is 0A501 includes those chambered for the that meet the control parameters and based on existing BIS classification Browning Machine Gun (BMG) were moved to the EAR on March 9, practice, but adding the new Note 7 to cartridge. 2020. However, the items identified as 0A501 will make this clear and This final rule revises 0A501.c to add being classified under 0A501.y.2 to y.5 hopefully reduce the number of the term ‘striker’ after the term since January 23, 2020 have not questions that BIS receives specific to ‘hammers’ in two places to indicate that substantively differed from the other this issue. Note 7 to 0A501 also clarifies the term is synonymous for purposes of items that were previously subject to the that a complete firearm disassembled in this control parameter. EAR and designated as EAR99. In kit form is controlled as a firearm. This final rule adds a new Technical addition, trying to keep track of which In ECCN 0A505, this final rule makes Note to 0A501.c to clarify that barrel commodities are designated EAR99 and nine changes to the control text for blanks that have reached a stage in which are controlled in 0A501.y.2 to y.5 clarity. These changes include adding manufacturing in which they are either has created unneeded burdens on additional notes, technical notes, or chambered or rifled are controlled by industry and the U.S. Government, so it otherwise clarifying or adding text, e.g., 0A501.c. is warranted to remove these .y adding a new related definition, to make This final rule revises 0A501.d to paragraphs and treat these commodities the control parameters easier to remove the phrase ‘greater than 16 all as EAR99. understand and interpreted rounds’ and add in its place the phrase This final rule adds a Technical note consistently. These corrections and ‘17 to 50 rounds’ for clarity. 2 to 0A501 to specify that for purposes clarifications to 0A505 are as follows: This final rule revises Note 2 to of 0A501.e, receivers incorporating any This final rule adds an ECCN-specific 0A501.d to add a cross reference to the other controlled ‘‘part’’ or ‘‘component,’’ definition of ‘marking rounds’ in the USML to specify that magazines with a such as a barrel under 0A501.c, remain Definitions paragraph in the List of capacity greater than 50 rounds are controlled under 0A501.e. BIS has Items Controlled section of ECCN controlled under USML Category I. received questions from the public on 0A505. This definition clarifies that This final rule adds a new Note 3 to the applicability of 0A501.e when a ‘marking rounds’ are non-lethal. The 0A501.e. This note clarifies that the receiver incorporates a ‘‘part’’ or definition also clarifies what ‘marking term ‘frames (receivers)’ as used under ‘‘component’’ from one of the items rounds’ are typically used for and the 0A501.e refers to any ‘‘part’’ or captured under other 0A501 paragraphs. types of materials used in ‘marking ‘‘component’’ of the firearm that has or This new Technical Note 2 to 0A501 rounds.’ normally has a serial number when will make the relationship between the This final rule revises ECCN 0A505.b required by law. This new note also different items under 0A501 clear. to add the phrase ‘any material’ to the clarifies that the scope of 0A501.e for This final rule revises Note 3 to end of the parenthetical phrase that frames (receivers) is synonymous with a 0A501 to redesignate the note as Note 4 provides technical parameters for the ‘‘part’’ or ‘‘component’’ that ATF to 0A501 and to add the word ‘and’ types of buckshot controlled. The regulates as a ‘‘firearm.’’ between the terms ‘muzzle loading’ and inclusion of the phrase ‘any material’ This final rule revises ECCN ‘black powder.’ This clarification is will clarify that 0A505.b controls plastic 0A501.y.1 by adding a parenthetical made because some muzzle loaders use and rubber as well as metal buckshot phrase after the term stocks to clarify black powder and some muzzle loaders that meet the control criteria, including that stocks include adjustable, use smokeless powder, and both are the rubber/plastic (less lethal) buckshot collapsible, blades and braces. This final subject to the guidance in the Note. rounds used by law enforcement. Also rule also adds the terms ‘handguards’ The final rule in Note 4 to 0A501 in 0A505.b, this final rule adds shotgun and ‘forends’ to ECCN 0A501.y.1 to redesignates the note as Note 5 to 0A501 shells that contain only, or are for the clarify that stocks also include the and replaces the phrase ‘later than’ with dispersion of, chemical irritants to handguard and the forend. Both of these the word ‘post’ for clarity. In addition, paragraph .b to clarify that such shells amendments to ECCN 0A501.y.1 are this final rule adds the word ‘and’ are controlled with buckshot shotgun clarifications, not additions to the between the terms ‘muzzle loading’ and shells under paragraph .b. This final parameters of the items controlled ‘black powder’ because, as noted above, rule removes shotgun shells containing under the entry. As a conforming some muzzle loaders use black powder only chemical irritants from ECCN change to the addition of striker to and some muzzle loaders use smokeless 1A984 (as described further below) and ECCN 0A501.c, this final rule adds the powder, and both are subject to the adds them to 0A505.b where they will term ‘striker’ after the term ‘hammers’ in guidance in the Note. be controlled for crime control (CC the parenthetical phrase for the This final rule adds a new Note 6 to Column 1), and United Nations (UN) exclusions from 0A501.y.1. 0A501, as a conforming change to the reasons for control. Because of the This final rule removes and reserves removal of ECCN 0A501.y.2 to .y.5, to controls required on shotgun shells ECCN 0A501.y.2 to .y.5. This change is specify these ‘‘parts’’ and ‘‘components’’ containing only chemical irritants, it is made because the vast majority of items previously controlled under 0A501.y.2 more appropriate to control them under that would otherwise meet the control to y.5 are designated as EAR99. This 0A505.b, where they will have the same parameters under 0A501.y.2 to y.5 were note also eliminates the confusion level of control as they did under subject to the EAR prior to March 9, regarding whether these ‘‘parts’’ or 1A984, than under 0A505.c. 2020 (the effective date of the ‘‘components’’ are ‘‘specially designed’’ This final rule removes Note 1 to Commerce January 23 rule) and are for purposes of 0A501.x. ECCN 0A505.c. Note 1 is no longer designated as EAR99 on the basis of This final rule adds a Note 7 to 0A501 needed because the shotguns shells paragraph (b)(1) of ‘‘specially designed.’’ to clarify how kits of commodities that previously controlled under 1A984 are Based on BIS official classifications contain ‘‘parts’’ and ‘‘components’’ with being moved by this final rule to since January 23, 2020, no additional different classifications under 0A501 0A505.b, eliminating the need for a commodities have been identified that should be classified. This note clarifies cross reference to 1A984 in 0A505.c. As would warrant keeping these that the kit should be classified based 0A505.c is controlled for UN and AT commodities in 0A501.y. Therefore, the on the classification of the most reasons only, it was not appropriate to items that are controlled under ECCN restrictive ‘‘part’’ or ‘‘component’’ move the shotgun shells from 1A984 to

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0A505.c, because the level of control for remove the term ‘blank’ and adds in its equity). Executive Order 13563 1A984 items is higher than the level of place the correct term ‘drill.’ emphasizes the importance of control for 0A505.c items. Therefore, This final rule adds a new Note 4 to quantifying both costs and benefits, of this rule moves the shotguns shells from ECCN 0A505 to clarify the items reducing costs, of harmonizing rules, 1A984 to 0A505.b where they will paragraph under which shotgun shells and of promoting flexibility. This final continue to be controlled at the same that contain two or more balls/shot rule has been determined to be level. larger than .24-inch are controlled. This significant for purposes of Executive This final rule revises ECCN 0A505.d note clarifies that such shotgun shells Order 12866. to add a reference to 0A502 to clarify are controlled under 0A505.b. 2. Notwithstanding any other that the blank ammunition controlled In ECCN 0B501, this final rule provision of law, no person may be under 0A505.d includes blank clarifies the control text of ECCN required to respond to or be subject to ammunition for items controlled under 0B501.d by deleting the word ‘spill’ in a penalty for failure to comply with a 0A502, provided the ammunition is also the phrase ‘spill boring.’ This final rule collection of information, subject to the not enumerated in USML Category III. also adds the term ‘reaming’ before the requirements of the Paperwork This final rule also revises ECCN term ‘machines.’ These changes do not Reduction Act of 1995 (44 U.S.C. 3501 0A505.d to add a technical note to change the intended scope of control. et seq.) (PRA), unless that collection of clarify that ‘marking rounds’ that have These changes are made for clarity and information displays a currently valid paint or dye as the projectile are for consistency with BIS issued OMB control number. controlled under 0A505.d. As noted classifications for these types of This final regulation involves one above, this rule also added a Related machines. collection currently approved by OMB Definition for ‘marking rounds;’ the new In ECCN 0E505, this final rule makes under this collection and control definition and this new technical note a correction to the text in the RS Control number: The U.S. Census Bureau to 0A505.d will enhance understanding paragraph in the License Requirements collection for the Automated Export System (AES) Program (control number of the controls under 0A505 for section. The phrase ‘entire entry except’ 0607–0152). This final rule will also ‘marking rounds.’ was inadvertently included in the RS affect the information collection under This final rule revises ECCN 0A505.x Control paragraph in the Commerce control number 0607–0152, for filing to remove the reference to paragraph .d. January 23 rule, which created EEI in AES because of one change this The reference is redundant to the phrase confusion regarding the intended scope final rule makes to part 758 of the EAR. ‘or the CCL,’ which includes 0A505.d. of the RS license requirement. This final rule removes the unintended phrase This rule revises § 758.1(g)(4)(ii) to This final rule redesignates Note 2 to ‘entire entry except’ from the RS license shorten the information that is required 0A505.x, Note 3 to 0A505.x, and Note requirement to clarify the scope of the to be included when relying on the 4 0A505 as Note 1 to 0A505.x, Note 2 RS license requirement under ECCN alternative method for identifying end to 0A505.x and Note 3 to 0A505, 0E505. item firearms by ‘‘items’’ level respectively, as conforming changes to In ECCN 1A984, this final rule revises classification or other control descriptor the removal of Note 1 to 0A505.c. the heading of 1A984 to remove the in the EEI filing in AES to make it easier This final rule revises newly phrase ‘unless the shotgun shells to fit this identifying information in the redesignated Note 1 to 0A505.x (prior to contain only chemical irritant’ in the Commodity description block in the EEI this rule designated as Note 2 to parenthetical phrase that follows the filing in AES. This change is not 0A505.x), to include, at the end of the phrase ‘and other pyrotechnic articles.’ anticipated to result in a change in the note, the term ‘frangible projectiles’ after This final rule moves shotgun shells burden under this collection. the phrase ‘copper projectiles.’ This that contain only chemical irritants to Any comments regarding these change will clarify that the ‘‘parts’’ and ECCN 0A505.b, as described above collections of information, including ‘‘components’’ under 0A505.x include under the description of changes of suggestions for reducing the burden, ‘frangible projectiles.’ Frangible 0A505.b. may be submitted online at https:// projectiles are not made from a lead www.reginfo.gov/public/do/PRAMain. projectile covered with a copper jacket, Export Control Reform Act of 2018 Find the particular information but rather are produced with composite On August 13, 2018, the President collection by using the search function materials of tungsten, copper, or tin signed into law the John S. McCain and entering either the title of the utilizing an injection molding or National Defense Authorization Act for collection or the OMB Control Number. powder metallurgical production Fiscal Year 2019, which included the 3. This rule does not contain policies process. Export Control Reform Act of 2018 with Federalism implications as that This final rule revises newly (ECRA) (codified, as amended, at 50 term is defined in Executive Order redesignated Note 3 to 0A505 (prior to U.S.C. Sections 4801–4852). ECRA 13132. this rule designated as Note 4 to 0A505), provides the legal basis for BIS’s 4. Pursuant to section 1762 of the by removing the word ‘lead’ from the principal authorities and serves as the Export Control Reform Act of 2018 (50 term ‘lead shot’ and adding in its place authority under which BIS issues this U.S.C. 4801–4852), this action is exempt the word ‘metal.’ This clarification to rule. from the Administrative Procedure Act the control parameter addresses the fact (5 U.S.C. 553) requirements for notice of that steel and bismuth shot are also used Rulemaking Requirements proposed rulemaking, opportunity for for hunting loads, so the control 1. Executive Orders 13563 and 12866 public participation, and delay in parameter should not be limited to lead direct agencies to assess all costs and effective date. as the only material. The use of the term benefits of available regulatory 5. Because a notice of proposed ‘metal shot’ instead of ‘lead shot’ will alternatives and, if regulation is rulemaking and an opportunity for clarify that other types of shot are also necessary, to select regulatory public comment are not required to be within the control parameter, as was approaches that maximize net benefits given for this rule by 5 U.S.C. 553, or intended by the Commerce January 23 (including potential economic, by any other law, the analytical rule. This final rule also revises the environmental, public health and safety requirements of the Regulatory newly redesignated Note 3 to 0A505 to effects, distributive impacts, and Flexibility Act, 5 U.S.C. 601, et seq., are

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not applicable. Accordingly, no Comp., p. 950; E.O. 13026, 61 FR 58767, 3 PART 748—APPLICATIONS regulatory flexibility analysis is required CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR (CLASSIFICATION, ADVISORY, AND and none has been prepared. 44025, 3 CFR, 2001 Comp., p. 783; LICENSE) AND DOCUMENTATION Presidential Determination 2003–23, 68 FR List of Subjects 26459, 3 CFR, 2004 Comp., p. 320; Notice of ■ 7. The authority citation for part 748 November 12, 2020, 85 FR 72897 (November 15 CFR Parts 740, 748, and 758 13, 2020). is revised to read as follows: Administrative practice and Authority: 50 U.S.C. 4801–4852; 50 U.S.C. ■ 4. Section 742.17 is amended by procedure, Exports, Reporting and 4601 et seq.; 50 U.S.C. 1701 et seq.; E.O. revising paragraph (g) to read as follows: recordkeeping requirements. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 § 742.17 Exports of firearms to OAS 15 CFR Part 742 Comp., p. 783; Notice of August 6, 2021, 86 member countries. FR 43901 (August 10, 2021). Exports, Terrorism. * * * * * ■ (g) Validity period for licenses. 8. Section 748.12 is amended by: 15 CFR Part 743 ■ a. Revising paragraphs (b)(1) and Although licenses generally will be (d)(3); Administrative practice and valid for a period of four years, your ■ b. Redesignating Note 2 to paragraph procedure, Reporting and recordkeeping ability to ship items that require an FC (e)(3) as Note 4 to paragraph (e)(3); and requirements. Import Certificate or equivalent official ■ c. Adding Note 3 to paragraph (e)(3). document under this section may be 15 CFR Part 774 The revisions and addition read as affected by the validity of the FC Import follows. Exports, Reporting and recordkeeping Certificate or equivalent official requirements. document (see § 748.12(d)(3) of the § 748.12 Firearms import certificate or For the reasons stated in the EAR). import permit. preamble, parts 740, 742, 743, 748, 758, * * * * * and 774 of the Export Administration PART 743—SPECIAL REPORTING AND (b) * * * Regulations (15 CFR parts 730–774) are NOTIFICATION (1) Applicants must request that the amended as follows: ■ 5. The authority citation for part 743 importer (e.g., ultimate consignee or PART 740—LICENSE EXCEPTIONS continues to read as follows: purchaser) obtain the FC Import Certificate or an equivalent official Authority: 50 U.S.C. 4801–4852; 50 U.S.C. ■ 1. The authority citation for part 740 document from the government of the 4601 et seq.; 50 U.S.C. 1701 et seq.; E.O. importing country, and that it be issued continues to read as follows: 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. covering the quantities and types of Authority: 50 U.S.C. 4801–4852; 50 U.S.C. 783; E.O. 13637, 78 FR 16129, 3 CFR, 2014 4601 et seq.; 50 U.S.C. 1701 et seq.; 22 U.S.C. Comp., p. 223; 78 FR 16129. firearms and related items that the applicant intends to export. Upon 7201 et seq.; E.O. 13026, 61 FR 58767, 3 CFR, ■ 6. Section 743.4 is amended by receipt of the FC Import Certificate, its 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, removing the penultimate sentence of 3 CFR, 2001 Comp., p. 783. official equivalent, or a copy, the paragraph (a) introductory text and importer must provide the original or a ■ 2. Section 740.9 is amended by: revising paragraph (h). certified copy of the FC Import ■ a. Adding introductory text to The revision reads as follows: Certificate or the original or a certified paragraph (b); and copy of the equivalent official document ■ b. Removing the last sentence of § 743.4 Conventional arms reporting. to the license applicant. paragraph (b)(1) introductory text. * * * * * The addition reads as follows: (h) Alternative submission method. * * * * * This paragraph (h) describes an (d) * * * § 740.9 Temporary imports, exports, alternative submission method for (3) Validity period. FC Import reexports, and transfers (in-country) (TMP). meeting the conventional arms reporting Certificates or equivalent official * * * * * requirements of this section. The documents issued by an OAS member (b) Exports of items temporarily in the alternative submission method requires country will be valid until the United States. No provision of this the exporter, when filing the required expiration date on the Certificate or for paragraph (b), other than paragraph EEI submission in AES, pursuant to a period of four years, whichever is (b)(3), (4), or (5), may be used to export § 758.1(b)(9) of the EAR, to include the shorter. firearms controlled by ECCN 0A501.a, items paragraph classification (i.e., .a, or Note 2 to paragraph (d)(3): Applicants for .b, or shotguns with a barrel length less .b) for ECCN 0A501 as the first text to license applications for exports and reexports than 18 inches controlled in ECCN appear in the Commodity description to an OAS member country must submit the 0A502. block. If the exporter properly includes initial FC Import Certificate with the license * * * * * this information in the EEI filing in application. All BIS licenses for ECCNs AES, the Department of Commerce will 0A501 and 0A505 commodities will include a standard rider that requires that the PART 742—CONTROL POLICY—CCL be able to obtain that export information BASED CONTROLS applicant/exporter must have a current FC directly from AES to meet the U.S. Import Certificate on file prior to export. Note Government’s commitments to the ■ 3. The authority citation for part 742 that while FC Import Certificates are usually Wassenaar Arrangement and United valid for 1 year, BIS licenses are valid for 4 continues to read as follows: Nations for conventional arms reporting. years. The text of the standard rider will Authority: 50 U.S.C. 4801–4852; 50 U.S.C. An exporter that complies with the generally be as follows: ‘‘A current, complete, 4601 et seq.; 50 U.S.C. 1701 et seq.; 22 U.S.C. requirements in § 758.1(g)(4)(ii) of the accurate and valid Firearms Convention (FC) 3201 et seq.; 42 U.S.C. 2139a; 22 U.S.C. 7201 EAR does not have to submit separate Import Certificate (or equivalent official et seq.; 22 U.S.C. 7210; Sec. 1503, Pub. L. annual and semi-annual reports to the document) shall be obtained, if required by 108–11, 117 Stat. 559; E.O. 12058, 43 FR the government of the importing country, 20947, 3 CFR, 1978 Comp., p. 179; E.O. Department of Commerce pursuant to from the Ultimate Consignee and maintained 12851, 58 FR 33181, 3 CFR, 1993 Comp., p. this section. in the exporter’s file prior to any export of 608; E.O. 12938, 59 FR 59099, 3 CFR, 1994 * * * * * the item(s) listed on this license. A copy shall

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be provided to the U.S. Government upon 0A501, or for shotguns controlled under Special Conditions for STA request. (Refer to section 742.17(b) of the 0A502 the letters ‘‘SB’’ for short barrel STA: Paragraph (c)(2) of License Exception EAR for guidance.)’’ length less than 18 inches as the first STA (§ 740.20(c)(2) of the EAR) may not be (e) * * * text to appear in the Commodity used for any item in this entry. Note 3 to paragraph (e): Applicants for description block in the EEI filing in List of Items Controlled license applications for exports and reexports AES. (See § 743.4(h) of the EAR for the use of this information for conventional Related Controls: (1) Firearms that are fully to countries requiring that a government- automatic, and magazines with a capacity issued certificate or permit be obtained prior arms reporting). of greater than 50 rounds, are ‘‘subject to to importing the commodity must have the * * * * * the ITAR.’’ (2) See ECCN 0A502 for initial government-issued certificate or shotguns and their ‘‘parts’’ and permit prior to any export. All BIS licenses PART 774—THE COMMERCE ‘‘components’’ that are subject to the EAR. for ECCNs 0A501 and 0A505 commodities CONTROL LIST Also see ECCN 0A502 for shot-pistols. (3) will include a standard rider that requires See ECCN 0A504 and USML Category XII that the applicant/exporter have a ■ 12. The authority citation for part 774 for controls on optical sighting devices. government-issued certificate or permit on continues to read as follows: Related Definitions: N/A file prior to export. Note that while Items: government-issued certificates or permits are Authority: 50 U.S.C. 4801–4852; 50 U.S.C. usually valid for 1 year, BIS licenses are valid 4601 et seq.; 50 U.S.C. 1701 et seq.; 10 U.S.C. a. Non-automatic and semi-automatic for 4 years. The text of the standard rider will 8720; 10 U.S.C. 8730(e); 22 U.S.C. 287c, 22 firearms equal to .50 caliber (12.7 mm) or generally be as follows: ‘‘A current, complete, U.S.C. 3201 et seq.; 22 U.S.C. 6004; 42 U.S.C. less. accurate and valid Firearms Convention (FC) 2139a; 15 U.S.C. 1824; 50 U.S.C. 4305; 22 Note 1 to paragraph 0A501.a: Import Certificate (or equivalent official U.S.C. 7201 et seq.; 22 U.S.C. 7210; E.O. ‘Combination pistols’ are controlled under document) shall be obtained, if required by 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. ECCN 0A501.a. A ‘combination pistol’ (a.k.a., the government of the importing country, 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 a combination gun) has at least one rifled from the Ultimate Consignee and maintained Comp., p. 783. barrel and at least one smoothbore barrel (generally a shotgun style barrel). in the Exporter’s file prior to any export of Supplement No. 1 to Part 774 the item(s) listed on this license. A copy shall [Amended] Technical Note to 0A501.a: Firearms be provided to the U.S. Government upon described in 0A501.a includes those request. (Refer to § 742.17(b) of the EAR for ■ 13. In Supplement No. 1 to part 774, chambered for the .50 BMG cartridge. guidance.)’’ Category 0, remove Export Control b. Non-automatic and non-semi-automatic * * * * * Classification Number (ECCN) 0A018. rifles, carbines, revolvers or pistols with a ■ caliber greater than .50 inches (12.7 mm) but Supplement No. 6 to Part 748 [Removed 14. In Supplement No. 1 to part 774, Category 0, revise Export Control less than or equal to .72 inches (18.0 mm). and Reserved] c. The following types of ‘‘parts’’ and Classification Number (ECCN) 0A501 to ‘‘components’’ if ‘‘specially designed’’ for a ■ 9. Supplement No. 6 to part 748 is read as follows: commodity controlled by paragraph .a or .b removed and reserved. 0A501 Firearms (except 0A502 shotguns) of this entry, or USML Category I (unless and related commodities as follows (see listed in USML Category I(g) or (h)): Barrels, PART 758—EXPORT CLEARANCE List of Items controlled). cylinders, barrel extensions, mounting blocks REQUIREMENTS (trunnions), bolts, bolt carriers, operating License Requirements rods, gas pistons, trigger housings, triggers, ■ 10. The authority citation for part 758 Reason for Control: NS, RS, FC, UN, AT hammers/striker, sears, disconnectors, pistol is revised to read as follows: grips that contain fire control ‘‘parts’’ or ‘‘components’’ (e.g., triggers, hammers/ Authority: 50 U.S.C. 4801–4852; 50 U.S.C. Country chart Control(s) (see supp. No. 1 to striker, sears, disconnectors) and buttstocks 4601 et seq.; 50 U.S.C. 1701 et seq.; E.O. part 738) that contain fire control ‘‘parts’’ or 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. ‘‘components.’’ 783. NS applies to entire NS Column 1 Technical Note to 0A501.c: Barrel blanks entry except ■ 11. Section 758.1 is amended by that have reached a stage in manufacturing in 0A501.y. revising paragraph (g)(4)(ii) to read as which they are either chambered or rifled are RS applies to entire RS Column 1 follows: controlled by 0A501.c. entry except d. Detachable magazines with a capacity of § 758.1 The Electronic Export Information 0A501.y. 17 to 50 rounds ‘‘specially designed’’ for a (EEI) filing to the Automated Export System FC applies to entire FC Column 1 commodity controlled by paragraph .a or .b (AES). entry except 0A501.y. of this entry. * * * * * UN applies to entire See § 746.1 of the Note 2 to paragraph 0A501.d: Magazines (g) * * * entry. EAR for UN con- with a capacity of 16 rounds or less are (4) * * * trols controlled under 0A501.x; for magazines (ii) Identifying end item firearms by AT applies to entire AT Column 1 with a capacity greater than 50 rounds, see ‘‘items’’ level classification or other entry. USML Category I. control descriptor in the EEI filing in License Requirement Note: In addition to e. Receivers (frames) and ‘‘complete breech AES. For any export of items controlled using the Commerce Country Chart to mechanisms,’’ including castings, forgings, under ECCNs 0A501.a or .b, or shotguns determine license requirements, a license stampings, or machined items thereof, with a barrel length less than 18 inches is required for exports and reexports of ‘‘specially designed’’ for a commodity controlled under ECCN 0A502, in ECCN 0A501.y.7 firearms to the People’s controlled by paragraph .a or .b of this entry. addition to any other required data for Republic of China. Note 3 to 0A501.e: Frames (receivers) the associated EEI filing when an under 0A501.e refers to any ‘‘part’’ or List Based License Exceptions (See Part 740 ‘‘component’’ of the firearm that has or is exporter will use the alternative for a Description of All License Exceptions) customarily marked with a serial number submission method under § 743.4(h) for LVS: $500 for 0A501.c, .d, and .x. when required by law. This paragraph conventional arms reporting, you must $500 for 0A501.c, .d, .e, and .x if the ultimate 0A501.e is synonymous with a ‘‘part’’ or include the items paragraph destination is Canada. ‘‘component’’ that is regulated by the Bureau classification (i.e., .a, or .b) for ECCN GBS: N/A of Alcohol, Tobacco, Firearms and

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Explosives (see 27 CFR parts 447, 478, and Classification Number (ECCN) 0A505 to caps, and lead balls and bullets, for use 479,) as a firearm. read as follows: with muzzle-loading firearms are EAR99 f. through w. [Reserved] items. 0A505 Ammunition as follows (see List of x. ‘‘Parts’’ and ‘‘components’’ that are Related Definitions: ‘Marking rounds’ are Items Controlled). ‘‘specially designed’’ for a commodity non-lethal, typically used for training classified under paragraphs .a through .c of License Requirements purposes, and contain a dye or paint in a capsule that is not a chemical irritant. this entry or the USML and not elsewhere Reason for Control: NS, RS, CC, FC, UN, AT specified on the USML or CCL. Items: a. Ammunition for firearms controlled by y. Specific ‘‘parts,’’ ‘‘components,’’ Country chart ‘‘accessories’’ and ‘‘attachments’’ ‘‘specially Control(s) (see supp. No. 1 to ECCN 0A501 or USML Category I and not designed’’ for a commodity subject to control part 738) enumerated in paragraph .b, .c, or .d of this in this ECCN or common to a defense article entry or in USML Category III. in USML Category I and not elsewhere NS applies to NS Column 1 b. Buckshot (No. 4 .24’’ diameter and specified in the USML or CCL as follows, and 0A505.a and .x. larger, any material) shotgun shells and ‘‘parts,’’ ‘‘components,’’ ‘‘accessories,’’ and RS applies to RS Column 1 shotgun shells that contain only, or are for ‘‘attachments’’ ‘‘specially designed’’ therefor. 0A505.a and .x. the dispersion of chemical irritants. y.1. Stocks (including adjustable, CC applies to CC Column 1 c. Shotgun shells (including less than collapsible, blades and braces), grips, 0A505.b. lethal rounds) that do not contain buckshot; handguards, or forends, that do not contain FC applies to entire FC Column 1 and ‘‘specially designed’’ ‘‘parts’’ and any fire control ‘‘parts’’ or ‘‘components’’ entry except ‘‘components’’ of shotgun shells. (e.g., triggers, hammers/striker, sears, 0A505.d. d. Blank ammunition for firearms disconnectors); UN applies to entire See § 746.1 of the controlled by ECCNs 0A501 or 0A502 and y.2 to y.5. [RESERVED] entry. EAR for UN con- not enumerated in USML Category III. y.6. Bayonets; and trols Technical Note to 0A505.d: Includes y.7. Firearms manufactured from 1890 to AT applies to AT Column 1 ‘marking rounds’ that have paint/dye as the 1898 and reproductions thereof. 0A505.a, .d, and .x. projectile. Technical Note 1 to 0A501: The controls AT applies to 0A505.c A license is required e. through w. [Reserved] on ‘‘parts’’ and ‘‘components’’ in ECCN for items controlled x. ‘‘Parts’’ and ‘‘components’’ that are 0A501 include those ‘‘parts’’ and by paragraph .c of ‘‘specially designed’’ for a commodity subject ‘‘components’’ that are common to firearms this entry to North to control in this ECCN or a defense article described in ECCN 0A501 and to those Korea for anti-ter- in USML Category III and not elsewhere firearms ‘‘subject to the ITAR.’’ rorism reasons. specified on the USML or the CCL. Technical Note 2 to 0A501: A receiver with The Commerce Note 1 to 0A505.x: The controls on ‘‘parts’’ any other controlled ‘‘part’’ or ‘‘component’’ Country Chart is and ‘‘components’’ in this entry include (e.g., a barrel (0A501.c), or trigger guard not designed to de- Berdan and boxer primers, metallic cartridge (0A501.x), or stock (0A501.y.1)) is still termine AT licens- cases, and standard metallic projectiles such controlled under 0A501.e. ing requirements as full metal jacket, lead core, copper for this entry. See projectiles, and frangible projectiles. Note 4 to 0A501: Antique firearms (i.e., § 742.19 of the Note 2 to 0A505.x: The controls on ‘‘parts’’ those manufactured before 1890) and EAR for additional and ‘‘components’’ in this entry include reproductions thereof, muzzle loading and information. black powder firearms except those designs those ‘‘parts’’ and ‘‘components’’ that are based on centerfire weapons of a post 1937 List Based License Exceptions (See Part 740 common to ammunition and ordnance design, BB guns, pellet rifles, paint ball, and for a Description of All License Exceptions) described in this entry and to those all other air rifles are EAR99 commodities. LVS: $500 for items in 0A505.x, except enumerated in USML Category III. Note 5 to 0A501: Muzzle loading and black $3,000 for items in 0A505.x that, Note 3 to 0A505: Metal shot smaller than powder firearms with a caliber less than 20 immediately prior to March 9, 2020, were No. 4 Buckshot, empty and unprimed mm that were manufactured post 1937 that classified under 0A018.b. (i.e., ‘‘Specially shotgun shells, shotgun wads, smokeless are used for hunting or sporting purposes designed’’ components and parts for gunpowder, ‘dummy rounds’ and ‘drill that were not ‘‘specially designed’’ for ammunition, except cartridge cases, rounds’ (unless linked or belted), not military use and are not ‘‘subject to the powder bags, bullets, jackets, cores, shells, incorporating a lethal or non-lethal ITAR’’ nor controlled as shotguns under projectiles, boosters, fuses and projectile(s) are designated EAR99. A ECCN 0A502 are EAR99 commodities. components, primers, and other detonating ‘dummy round’ or ‘drill round’ is a round devices and ammunition belting and that is completely inert, (i.e., contains no Note 6 to 0A501: Scope mounts or linking machines (all of which are ‘‘subject primer, propellant, or explosive charge). It is accessory rails, iron sights, sling swivels, and to the ITAR’’). (See 22 CFR parts 120 typically used to check weapon function and butt plates or recoil pads are designated as through 130)) for crew training. EAR99. These commodities have been GBS: N/A determined to no longer warrant being Note 4 to 0A505: Shotgun shells that ‘‘specially designed’’ for purposes of ECCN Special Conditions for STA contain two or more balls/shot larger than .24-inch are controlled under 0A505.b. 0A501. STA: Paragraph (c)(2) of License Exception Note 7 to 0A501: A kit, including a STA (§ 740.20(c)(2) of the EAR) may not be ■ 16. In Supplement No. 1 to part 774, replacement or repair kit, of firearms ‘‘parts’’ used for any item in 0A505. Category 0, revise Export Control or ‘‘components’’ customarily sold and List of Items Controlled Classification Number (ECCN) 0B501 to exported together takes on the classification read as follows: of the most restrictive ‘‘part’’ or ‘‘component’’ Related Controls: (1) Ammunition for modern that is included in the kit. For example, a kit heavy weapons such as howitzers, artillery, 0B501 Test, inspection, and production containing 0A501.y and .x ‘‘parts,’’ is cannon, mortars and recoilless rifles as ‘‘equipment’’ and related commodities controlled as a 0A501.x kit because the .x well as inherently military ammunition for the ‘‘development’’ or ‘‘production’’ ‘‘part’’ is the most restrictive ‘‘part’’ included types such as ammunition preassembled of commodities enumerated or in the kit. A complete firearm disassembled into links or belts, caseless ammunition, otherwise described in ECCN 0A501 or in a kit form is controlled as a firearm under tracer ammunition, ammunition with a USML Category I as follows (see List of 0A501.a, .b, or .y.7. depleted uranium projectile or a projectile Items Controlled). with a hardened tip or core and ■ 15. In Supplement No. 1 to part 774, ammunition with an explosive projectile License Requirements Category 0, revise Export Control are ‘‘subject to the ITAR.’’ (2) Percussion Reason for Control: NS, RS, UN, AT

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Country chart Country chart ‘‘components’’ ‘‘specially designed’’ Control(s) (see supp. No. 1 to Control(s) (see supp. No. 1 to therefor, n.e.s. part 738) part 738) License Requirements NS applies to entire NS Column 1 RS applies to ‘‘tech- RS Column 1 Reason for Control: CC entry except equip- nology’’ for ‘‘devel- ment for ECCN opment,’’ ‘‘produc- Country chart 0A501.y. tion,’’ operation, in- Control(s) (see supp. No. 1 RS applies to entire RS Column 1 stallation, mainte- to part 738) entry except equip- nance, repair, over- ment for ECCN haul, or refurbishing CC applies to entire CC Column 1 0A501.y. commodities in entry. UN applies to entire See § 746.1 of the 0A505.a and .x; for List Based License Exceptions (See Part 740 entry. EAR for UN con- equipment for those for a Description of All License Exceptions) trols commodities in AT applies to entire AT Column 1 0B505 and for LVS: N/A entry. ‘‘software’’ for those GBS: N/A commodities and List of Items Controlled List Based License Exceptions (See Part 740 that equipment in Related Controls: N/A for a Description of all License Exceptions) 0D505. Related Definitions: N/A LVS: $3000 UN applies to entire See § 746.1 of the Items: GBS: N/A entry. EAR for UN con- trols The list of items controlled is contained in Special Conditions for STA CC applies to ‘‘tech- CC Column 1 the ECCN heading. STA: Paragraph (c)(2) of License Exception nology’’ for the Matthew S. Borman, STA (§ 740.20(c)(2) of the EAR) may not be ‘‘development’’ or Deputy Assistant Secretary for Export used to ship any item in this entry. ‘‘production’’ of Administration. List of Items Controlled commodities in 0A505.b. [FR Doc. 2021–17647 Filed 8–18–21; 8:45 am] Related Controls: N/A AT applies to ‘‘tech- AT Column 1 BILLING CODE 3510–33–P Related Definitions: N/A nology’’ for ‘‘devel- Items: opment,’’ ‘‘produc- a. Small arms chambering machines. tion,’’ operation, in- DEPARTMENT OF DEFENSE b. Small arms deep hole drilling machines stallation, mainte- and drills therefor. nance, repair, over- Office of the Secretary c. Small arms rifling machines. haul, or refurbishing d. Small arms boring/reaming machines. commodities in e. Production equipment (including dies, 0A505.a, .d, and .x. 32 CFR Part 117 fixtures, and other tooling) ‘‘specially [Docket ID: DoD–2020–OS–0045] designed’’ for the ‘‘production’’ of the items List Based License Exceptions (See Part 740 controlled in 0A501.a through .x. or USML for a Description of All License Exceptions) RIN 0790–AL41 Category I. TSR: N/A National Industrial Security Program ■ 17. In Supplement No. 1 to part 774, Special Conditions for STA Operating Manual (NISPOM); Category 0, revise Export Control STA: Paragraph (c)(2) of License Exception Amendment Classification Number (ECCN) 0E505 to STA (§ 740.20(c)(2) of the EAR) may not be read as follows: used for any ‘‘technology’’ in 0E505. AGENCY: Office of the Under Secretary of Defense for Intelligence & Security, 0E505 ‘‘Technology’’ ‘‘required’’ for the List of Items Controlled ‘‘development,’’ ‘‘production,’’ Department of Defense (DoD). operation, installation, maintenance, Related Controls: Technical data required for ACTION: Final rule; technical repair, overhaul, or refurbishing of and directly related to articles enumerated amendment. commodities controlled by 0A505. in USML Category III are ‘‘subject to the ITAR’’. SUMMARY: DoD is amending its NISPOM License Requirements Related Definitions: N/A regulation to extend the implementation Reason for Control: NS, RS, UN, CC, AT Items: The list of items controlled is date for those contractors under DoD contained in this ECCN heading. security cognizance to report and obtain Country chart Control(s) (see supp. No. 1 to ■ 18. In Supplement No. 1 to part 774, pre-approval of unofficial foreign travel part 738) Category 1, revise Export Control to the Department of Defense. Classification Number (ECCN) 1A984 to DATES: This rule is effective August 19, NS applies to ‘‘tech- NS Column 1 read as follows: 2021. nology’’ for ‘‘devel- FOR FURTHER INFORMATION CONTACT: opment,’’ ‘‘produc- 1A984 Chemical agents, including tear gas tion,’’ operation, in- formulation containing 1 percent or less Valerie Heil, 703–692–3754. stallation, mainte- of orthochlorobenzalmalononitrile (CS), SUPPLEMENTARY INFORMATION: This final nance, repair, over- or 1 percent or less of rule amends 32 CFR part 117, ‘‘National haul, or refurbishing chloroacetophenone (CN), except in Industrial Security Program Operating commodities in individual containers with a net weight Manual (NISPOM)’’ final rule that 0A505.a and .x; for of 20 grams or less; liquid pepper except published in the Federal Register on equipment for those when packaged in individual containers December 21, 2020 (85 FR 83300). The commodities in with a net weight of 3 ounces (85.05 0B505; and for grams) or less; smoke bombs; non- rule includes reporting requirements for ‘‘software’’ for that irritant smoke flares, canisters, grenades contractor personnel who have been equipment and and charges; and other pyrotechnic granted eligibility for access to classified those commodities articles having dual military and information through the National in 0D505. commercial use, and ‘‘parts’’ and Industrial Security Program to follow

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Security Executive Agent Directive from the APA’s notice-and-comment Secretary of Defense, certifies that this (SEAD) 3, ‘‘Reporting Requirements for requirement, because it satisfies the final rule would not, if promulgated, Personnel with Access to Classified good-cause exception in 553(b)(3)(B). have a significant economic impact on Information or Who Hold a Sensitive Specifically, notice-and-comment a substantial number of small business Position.’’ Reporting requirements in the rulemaking is ‘‘unnecessary,’’ id., entities in accordance with the rule include provisions for covered because as noted in the preamble, DoD Regulatory Flexibility Act (5 U.S.C. 601) individuals to report and obtain pre- already took comments on its NISPOM requirements since a contractor cleared approval of unofficial foreign travel. regulation and the regulated parties legal entity may, in entering into DoD received comments from regulated affected by the regulation requested that contracts requiring access to classified parties concerning how burdensome it the Department change its IT system information, negotiate for security costs would be for contractors under DoD before they must report and obtain pre- determined to be properly chargeable by security cognizance to submit approval of unofficial foreign travel to a Government Contracting Activity. individual foreign travel reports. DoD. Indeed, DoD is amending the Public Law 96–511, ‘‘Paperwork Regulated parties recommended DoD NISPOM regulation for the purpose of Reduction Act’’ (44 U.S.C. Chapter 35) modify its IT system so multiple or extending the implementation date at batched foreign travel reports can be the request of the regulated parties It has been determined that this rule submitted in a single submission. DoD affected by the rule who provided does not impose any new information agrees with this recommendation and comments on the NISPOM regulation collection or record keeping intends to modify its IT system. during a previous notice and comment requirements under the Paperwork However, DoD cannot complete period provided for the final rule. The Reduction Act of 1995 (44 U.S.C. 3501 modifications to its IT system before the need for this change to DoD’s IT system et seq.). original implementation date of August was discovered in the comments Section 202, Public Law 104–4, 24, 2021. This amendment will extend received on the NISPOM regulation. ‘‘Unfunded Mandates Reform Act’’ until August 24, 2022, the While DoD desired to modify its IT implementation date for those system before the original Section 202 of the Unfunded contractors under DoD security implementation date to meet the Mandates Reform Act of 1995 (UMRA) cognizance to report and obtain pre- requested change by the regulated (2 U.S.C. 1532) requires agencies to approval of unofficial foreign travel to parties, the Department discovered assess anticipated costs and benefits DoD to allow for the modifications to through the comment process that such before issuing any rule whose mandates DoD’s IT system to be completed. If a modification is not feasible. DoD has require spending in any 1 year of $100 government contracting activity’s (GCA) therefore concluded that there is good million in 1995 dollars, updated contract separately requires reporting or cause to dispense with the advanced annually for inflation. This final rule pre-approval of unofficial foreign travel notice-and-comment rulemaking will not mandate any requirements for (i.e., contains a provision requiring such requirements in 5 U.S.C. 553. State, local, or tribal governments, nor reports other than by incorporating the will it affect private sector costs. Regulatory Analysis NISPOM), the contractor should consult Executive Order 13132, ‘‘Federalism’’ with the GCA on when and where to Executive Order 12866, ‘‘Regulatory E.O. 13132 establishes certain submit such reports and the procedures Planning and Review’’ and Executive requirements that an agency must meet for obtaining pre-approval. Order 13563, ‘‘Improving Regulation and Regulatory Review’’ when it promulgates a final rule (and Exception to Notice and Comment subsequent final rule) that imposes Executive Orders 12866 and 13563 This regulation can be effective substantial direct requirement costs on direct agencies to assess all costs and State and local governments, preempts immediately, notwithstanding the benefits of available regulatory general requirement in the State law, or otherwise has Federalism alternatives and, if regulation is implications. This final rule will not Administrative Procedure Act (APA) for necessary, to select regulatory advance notice and comment. have a substantial effect on State and approaches that maximize net benefits local governments. Principally, this rule follows from a (including potential economic, final rule with comment. This final rule environmental, public health and safety List of Subjects in 32 CFR Part 117 is a logical outgrowth of the notice and effects, distribute impacts, and equity). Classified information; Government comment incorporated in the prior final Executive Order 13563 emphasizes the contracts; USG contracts, National rule, because it is directly responsive to importance of quantifying both costs Industrial Program (NISP); Prime public comments made in response to and benefits, of reducing costs, of contractor, Subcontractor. the final rule. Several commenters harmonizing rules, and of promoting Accordingly, 32 CFR part 117 is specifically requested a delay in the flexibility. It has been determined that amended as follows: August 24, 2021 implementation date. this rule is a significant regulatory For example, one commenter stated that action. Accordingly, the rule has been PART 117— NATIONAL INDUSTRIAL for contractors under DoD security reviewed by the Office of Management SECURITY PROGRAM OPERATING cognizance, reporting foreign travel and and Budget (OMB) under the MANUAL (NISPOM) foreign contacts will be impractical for requirements of these E.O.s. companies of size without a mass or ■ 1. The authority citation for 32 CFR bulk upload capability that doesn’t exist Congressional Review Act part 310 continues to read as follows: in the system as designed today. This rule is not a ‘‘major rule’’ as Authority: 32 CFR part 2004; E.O. 10865; Further, the commenter stated this defined by 5 U.S.C. 804(2). E.O. 12333; E.O. 12829; E.O. 12866; E.O. capability should be pursued and aligns 12968; E.O. 13526; E.O. 13563; E.O. 13587; with one of the stated goals of SEAD 3, Public Law 96–354, ‘‘Regulatory E.O. 13691; Pub. L. 108–458; Title 42 U.S.C. which encourages ‘‘automation and Flexibility Act’’ (5 U.S.C. Chapter 6) 2011 et seq.; Title 50 U.S.C. Chapter 44; Title centralization.’’ Even absent the prior The Under Secretary of Defense for 50 U.S.C. 3501 et seq. notice and comment incorporated in the Intelligence and Security, pursuant to a ■ 2. In § 117.1, paragraph (b)(3) is final rule, this rule would be exempt delegation of authority from the revised to read as follows:

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§ 117.1 Purpose. Public Law 104–134, April 26, 1996, Federal Civil Penalties Inflation * * * * * and further amended by the Federal Adjustment Act Improvements Act of (b) * * * Civil Penalties Inflation Adjustment Act 2015 (Section 701(b)) requires agencies, (3) Prescribes that contractors will Improvements Act of 2015 (the 2015 effective 2017, to make annual implement the provisions of this part no Act), Public Law 114–74, November 2, adjustments for inflation to CMPs later than 6 months from February 24, 2015, required agencies to annually notwithstanding section 553 of title 5, 2021, with the exception of adjust the level of CMPs for inflation to United States Code. Additionally, the requirements for reporting foreign travel improve their effectiveness and methodology used, effective 2017, for to the Department of Defense prescribed maintain their deterrent effect. The 2015 adjusting CMPs for inflation is in SEAD 3 and implemented through Act required that not later than July 1, established in statute, with no this rule. Contractors under the security 2016, and not later than January 15 of discretion provided to agencies cognizance of the Department of every year thereafter, the head of each regarding the substance of the Defense will begin reporting foreign agency must adjust each CMP within its adjustments for inflation to CMPs. The travel to the Department of Defense no jurisdiction by the inflation adjustment Department of Defense is charged only later than 18 months from February 24, described in the 2015 Act. The inflation with performing ministerial 2021. adjustment is determined by increasing computations to determine the dollar the maximum CMP or the range of Dated: August 12, 2021. amount of adjustments for inflation to minimum and maximum CMPs, as CMPs. Patricia L. Toppings, applicable, for each CMP by the cost-of- Further, there are no significant costs OSD Federal Register Liaison Officer, living adjustment, rounded to the associated with the regulatory revisions Department of Defense. nearest multiple of $1. The cost-of- that would impose any mandates on the [FR Doc. 2021–17688 Filed 8–18–21; 8:45 am] living adjustment is the percentage (if Department of Defense, Federal, State or BILLING CODE 5001–06–P any) for each CMP by which the local governments, or the private sector. Consumer Price Index (CPI) for the Accordingly, prior public notice and an month of October preceding the date of opportunity for public comment are not DEPARTMENT OF DEFENSE the adjustment, exceeds the CPI for the required for this rule. The benefit of this month of October in the previous Office of the Secretary rule is the Department of Defense calendar year. anticipates that civil monetary penalty The initial catch up adjustments for 32 CFR Part 269 collections may increase in the future inflation to the Department of Defense’s due to new penalty authorities and [Docket ID: DOD–2016–OS–0045] CMPs were published as an interim other changes in this rule. However, it final rule in the Federal Register on RIN 0790–AL18 is difficult to accurately predict the May 26, 2016 (81 FR 33389–33391) and extent of any increase, if any, due to a became effective on that date. The Civil Monetary Penalty Inflation variety of factors, such as budget and interim final rule was published as a Adjustment staff resources, the number and quality final rule without change on September of civil penalty referrals or leads, and AGENCY: Office of the Under Secretary of 12, 2016 (81 FR 62629–62631), effective the length of time needed to investigate Defense (Comptroller), Department of that date. The revised methodology for and resolve a case. Defense. agencies for 2017 and each year thereafter provides for the improvement Regulatory Procedures ACTION: Final rule. of the effectiveness of CMPs and to Executive Order 12866, ‘‘Regulatory SUMMARY: The Department of Defense is maintain their deterrent effect. The Planning and Review’’ and Executive issuing this final rule to adjust each of Department of Defense is adjusting the Order 13563, ‘‘Improving Regulation its statutory civil monetary penalties level of all civil monetary penalties and Regulatory Review’’ (CMP) to account for inflation. The under its jurisdiction by the Office of Federal Civil Penalties Inflation Management and Budget (OMB) Executive Orders 13563 and 12866 Adjustment Act of 1990, as amended by directed cost-of-living adjustment direct agencies to assess all costs and the Debt Collection Improvement Act of multiplier for 2021 of 1.01182 benefits of available regulatory 1996 and the Federal Civil Penalties prescribed in OMB Memorandum M– alternatives and, if regulation is Inflation Adjustment Act Improvements 21–10, ‘‘Implementation of Penalty necessary, to select regulatory Act of 2015 (the 2015 Act), requires the Inflation Adjustments for 2021, approaches that maximize net benefits head of each agency to adjust for Pursuant to the Federal Civil Penalties (including potential economic, inflation its CMP levels in effect as of Inflation Adjustment Act Improvements environmental, public health and safety November 2, 2015, under a revised Act of 2015,’’ dated December 16, 2019. effects, distribute impacts, and equity). methodology that was effective for 2016 The Department of Defense’s 2021 Executive Order 13563 emphasizes the and for each year thereafter. adjustments for inflation to CMPs apply importance of quantifying both costs only to those CMPs, including those and benefits, of reducing costs, of DATES: This rule is effective August 19, whose associated violation predated harmonizing rules, and of promoting 2021. such adjustment, which are assessed by flexibility. This rule is not a ‘‘significant FOR FURTHER INFORMATION CONTACT: the Department of Defense after the regulatory action,’’ and was not Kellie Allison, 703–614–0410. effective date of the new CMP level. reviewed by the Office of Management SUPPLEMENTARY INFORMATION: and Budget. Statement of Authority and Costs and Background Information Benefits Unfunded Mandates Reform Act (2 The Federal Civil Penalties Inflation Pursuant to 5 U.S.C. 553(b)B, there is U.S.C. Chapter 25) Adjustment Act of 1990, Public Law good cause to issue this rule without Section 202 of the Unfunded 101–410, 104 Stat. 890 (28 U.S.C. 2461, prior public notice or opportunity for Mandates Reform Act of 1995 (UMRA) note), as amended by the Debt public comment because it would be (2 U.S.C. 1532) requires agencies to Collection Improvement Act of 1996, impracticable and unnecessary. The assess anticipated costs and benefits

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before issuing any rule the mandates of Public Law 96–511, ‘‘Paperwork List of Subjects in 32 CFR Part 269 which require spending in any year of Reduction Act’’ (44 U.S.C. Chapter 35) $100 million in 1995 dollars, updated Administrative practice and The Department of Defense procedure, Penalties. annually for inflation. In 2016, that determined that provisions of the threshold is approximately $146 Paperwork Reduction Act of 1995, Accordingly, 32 CFR part 269 is million. This rule will not mandate any Public Law 104–13, 44 U.S.C. Chapter amended as follows. requirements for State, local, or tribal 35, and its implementing regulations, 5 governments, nor will it affect private CFR part 1320, do not apply to this rule PART 269—[AMENDED] sector costs. because there are no new or revised recordkeeping or reporting ■ 1. The authority citation for 32 CFR Public Law 96–354, ‘‘Regulatory requirements. part 269 continues to read as follows: Flexibility Act’’ (5 U.S.C. Chapter 6) Executive Order 13132, ‘‘Federalism’’ Authority: 28 U.S.C. 2461 note. Because notice of proposed Executive Order 13132 establishes ■ 2. In § 269.4, revise paragraph (d) to rulemaking and opportunity for certain requirements that an agency read as follows: comment are not required pursuant to 5 must meet when it promulgates a rule § 269.4 Cost of living adjustments of civil U.S.C. 553, or any other law, the that imposes substantial direct monetary penalties. analytical requirements of the requirement costs on State and local Regulatory Flexibility Act (5 U.S.C. 601, governments, preempts State law, or * * * * * et seq.) are inapplicable. Therefore, a otherwise has Federalism implications. (d) Inflation adjustment. Maximum regulatory flexibility analysis is not This final rule will not have a civil monetary penalties within the required and has not been prepared. substantial effect on State and local jurisdiction of the Department are governments. adjusted for inflation as follows:

TABLE 1 TO PARAGRAPH (d)

New Maximum adjusted United States code Civil monetary penalty description penalty maximum amount as penalty of 02/21/20 amount

National Defense Authorization Act for FY Unauthorized Activities Directed at or Possession of Sunken 134,807 136,400 2005, 10 U.S.C. 113, note. Military Craft. 10 U.S.C. 1094(c)(1) ...... Unlawful Provision of Health Care ...... 11,837 11,977 10 U.S.C. 1102(k) ...... Wrongful Disclosure—Medical Records: First Offense ...... 6,999 7,082 Subsequent Offense ...... 46,663 47,214 10 U.S.C. 2674(c)(2) ...... Violation of the Pentagon Reservation Operation and Parking of 1,928 1,951 Motor Vehicles Rules and Regulations. 31 U.S.C. 3802(a)(1) ...... Violation Involving False Claim ...... 11,665 11,803 31 U.S.C. 3802(a)(2) ...... Violation Involving False Statement ...... 11,665 11,803 42 U.S.C. 1320a–7a(a); 32 CFR False claims ...... 20,866 21,112.64 200.210(a)(1). 42 U.S.C. 1320a–7a(a); 32 CFR Claims submitted with a false certification of physician license ... 20,866 21,112.64 200.210(a)(1). 42 U.S.C. 1320a–7a(a); 32 CFR Claims presented by excluded party ...... 20,866 21,112.64 200.210(a)(2). 42 U.S.C. 1320a–7a(a); 32 CFR Employing or contracting with an excluded individual ...... 20,866 21,112.64 200.210(a)(2); (b)(2)(ii). 42 U.S.C. 1320a–7a(a); 32 CFR Pattern of claims for medically unnecessary services/supplies ... 20,866 21,112.64 200.210(a)(1). 42 U.S.C. 1320a–7a(a); 32 CFR Ordering or prescribing while excluded ...... 20,866 21,112.64 200.210(a)(2). 42 U.S.C. 1320a–7a(a); 32 CFR Known retention of an overpayment ...... 20,866 21,112.64 200.210(a)(5). 42 U.S.C. 1320a–7a(a); 32 CFR Making or using a false record or statement that is material to a 104,330 105,563.18 200.210(a)(4). false or fraudulent claim. 42 U.S.C. 1320a–7a(a); 32 CFR Failure to grant timely access to OIG for audits, investigations, 31,300 31,669.97 200.210(a)(6). evaluations, or other statutory functions of OIG. 42 U.S.C. 1320a–7a(a); 32 CFR Making false statements, omissions, misrepresentations in an 104,330 105,563.18 200.210(a)(3). enrollment application. 42 U.S.C. 1320a–7a(a); 32 CFR 200.310(a) Unlawfully offering, paying, soliciting, or receiving remuneration 104,330 105,563.18 to induce or in return for the referral of business in violation of 1128B(b) of the Social Security Act.

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Dated: August 12, 2021. representative. While within a safety New England Waterways Management Aaron T. Siegel, zone, all vessels shall operate at the Division, U.S. Coast Guard; telephone Alternate OSD Federal Register Liaison minimum speed necessary to maintain a 207–347–5015, email Shaun.T.Doyle@ Officer, Department of Defense. safe course. In addition to this uscg.mil. [FR Doc. 2021–17675 Filed 8–18–21; 8:45 am] notification of enforcement in the SUPPLEMENTARY INFORMATION: BILLING CODE 5001–06–P Federal Register, the Coast Guard plans to provide notification of this I. Table of Abbreviations enforcement period via the Local Notice CFR Code of Federal Regulations DEPARTMENT OF HOMELAND to Mariners and marine information COTP Captain of the Port Northern New SECURITY broadcasts. England Dated: August 9, 2021. DHS Department of Homeland Security Coast Guard FR Federal Register Lexia M. Littlejohn, NPRM Notice of proposed rulemaking Captain, U.S. Coast Guard, Captain of the 33 CFR Part 165 § Section Port Buffalo. U.S.C. United States Code [Docket No. USCG–2021–0636] [FR Doc. 2021–17788 Filed 8–18–21; 8:45 am] II. Background Information and BILLING CODE 9110–04–P Safety Zones; Annual Events in the Regulatory History Captain of the Port Buffalo Zone The Coast Guard is issuing this DEPARTMENT OF HOMELAND temporary rule without prior notice and AGENCY: Coast Guard, DHS. SECURITY opportunity to comment pursuant to ACTION: Notification of enforcement of authority under section 4(a) of the regulation. Coast Guard Administrative Procedure Act (APA) (5 SUMMARY: The Coast Guard will enforce U.S.C. 553(b)). This provision 33 CFR Part 165 a safety zone located in federal authorizes an agency to issue a rule regulations for the annual D-Day [Docket Number USCG–2021–0519] without prior notice and opportunity to comment when the agency for good Conneaut event. This action is necessary RIN 1625–AA00 and intended for the safety of life and cause finds that those procedures are ‘‘impracticable, unnecessary, or contrary property on navigable waters during this Safety Zone; SML Bridge Repairs, to the public interest.’’ Under 5 U.S.C. event. During each enforcement period, Portsmouth, NH no person or vessel may enter the safety 553(b)(B), the Coast Guard finds that zone without the permission of the AGENCY: Coast Guard, DHS. good cause exists for not publishing a Captain of the Port Buffalo. ACTION: Temporary final rule. notice of proposed rulemaking (NPRM) DATES: The regulations in 33 CFR Table with respect to this rule because we SUMMARY: The Coast Guard is 165.939(c)(2) will be enforced from 1:15 must establish the temporary safety establishing a temporary safety zone for p.m. through 6 p.m. each day from zone by September 1, 2021, for this certain navigable waters on the August 19, 2021, through August 21, unscheduled critical repair work and Piscataqua River in Portsmouth, New 2021. insufficient time exists to execute the Hampshire. The safety zone is needed to full NPRM process. Additionally, FOR FURTHER INFORMATION CONTACT: If protect personnel, vessels, and the delaying the effective date of this rule you have questions about this notice of marine environment from potential would be contrary to the public interest enforcement, call or email MST2 Natalie hazards created by cross-channel repair as it is necessary to establish this safety Smith, Waterways Management work on the submarine cables and zone to protect personnel and vessels Division, U.S. Coast Guard Marine removal of concrete cable mats on the from hazards associated with submarine Safety Unit Cleveland; telephone 216– Sarah Mildred Long Bridge in cable repairs and concrete mat removal 937–6004, email D09-SMB- Portsmouth, NH. Entry of vessels or on the Sarah Mildred Long Bridge. [email protected]. persons into this zone is prohibited Under 5 U.S.C. 553(d)(3), the Coast SUPPLEMENTARY INFORMATION: The Coast unless specifically authorized by the Guard finds that good cause exists for Guard will enforce the safety zone listed Captain of the Port Northern New making this rule effective less than 30 in 33 CFR Table 165.939(c)(2) for D-Day England (COTP) or a Designated days after publication in the Federal Conneaut, each day from 1:15 p.m. Representative. Register. Delaying the effective date of through 6 p.m. from August 19, 2021, DATES: This rule is effective without this rule would be impracticable through August 21, 2021. This action is actual notice from August 19, 2021, because immediate action is needed to being taken to provide for the safety of through October 31, 2021. For the respond to the potential safety hazards life on navigable waterways during this purposes of enforcement, actual notice associated with submarine cable repairs multi-day event. will be used from September 1, 2021, and concrete mat removal on the Sarah Pursuant to 33 CFR 165.23, entry into, until August 19, 2021. Mildred Long Bridge. transiting, or anchoring within the safety zone during an enforcement ADDRESSES: To view documents III. Legal Authority and Need for Rule period is prohibited unless authorized mentioned in this preamble as being The Coast Guard is issuing this rule by the Captain of the Port Buffalo or a available in the docket, go to https:// under authority in 46 U.S.C. 70034 designated representative. Those www.regulations.gov, type USCG–2021– (previously 33 U.S.C. 1231). The seeking permission to enter the safety 0519 in the search box and click Captain of the Port Northern New zone may request permission from the ‘‘Search.’’ Next, in the Document Type England (COTP) has determined that Captain of Port Buffalo via channel 16, column, select ‘‘Supporting & Related potential hazards associated with VHF–FM. Vessels and persons granted Material.’’ submarine cable repairs and concrete permission to enter the safety zone shall FOR FURTHER INFORMATION CONTACT: If mat removal starting September 1, 2021, obey the directions of the Captain of the you have questions on this rule, call or will be a safety concern for anyone Port Buffalo or her designated email LT Shaun Doyle, Sector Northern within a 100-yard radius of crane barges

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and associated machinery conducting Persons or vessels desiring to enter the Paperwork Reduction Act of 1995 (44 repairs to the Sarah Mildred Long safety zone may do so with the U.S.C. 3501–3520). Bridge. This rule is needed to protect permission from the COTP or a D. Federalism and Indian Tribal personnel, vessels, and the marine Designated Representative. The Coast Governments environment in the navigable waters Guard will notify the public of the within the safety zone while the bridge enforcement of this rule through A rule has implications for federalism is being repaired. appropriate means, which may include, under Executive Order 13132, but are not limited to, publication in the Federalism, if it has a substantial direct IV. Discussion of the Rule Local Notice to Mariners and Broadcast effect on the States, on the relationship This rule establishes a safety zone Notice to Mariners via VHF–FM marine between the National Government and from September 1, 2021 through channel 16. the States, or on the distribution of October 31, 2021. The safety zone will power and responsibilities among the cover all navigable waters within a 100- B. Impact on Small Entities various levels of government. We have yard radius of crane barges and The Regulatory Flexibility Act of analyzed this rule under that Order and associated machinery conducting 1980, 5 U.S.C. 601–612, as amended, have determined that it is consistent repairs on the Sarah Mildred Long requires Federal agencies to consider with the fundamental federalism Bridge. The safety zone will be enforced the potential impact of regulations on principles and preemption requirements during 4.5 hour periods around slack small entities during rulemaking. The described in Executive Order 13132. tide, either once or twice a day, on each term ‘‘small entities’’ comprises small Also, this rule does not have tribal prescribed day within the effective businesses, not-for-profit organizations implications under Executive Order period listed above. During periods of that are independently owned and 13175, Consultation and Coordination enforcement, the Sarah Mildred Long operated and are not dominant in their with Indian Tribal Governments, Bridge will remain in the closed fields, and governmental jurisdictions because it does not have a substantial position and all vessels will be with populations of less than 50,000. direct effect on one or more Indian prohibited from transiting under the The Coast Guard certifies under 5 U.S.C. tribes, on the relationship between the bridge. The duration of the zone is 605(b) that this rule will not have a Federal Government and Indian tribes, intended to protect personnel, vessels, significant economic impact on a or on the distribution of power and and the marine environment in these substantial number of small entities. responsibilities between the Federal navigable waters while the bridge is While some owners or operators of Government and Indian tribes. vessels intending to transit the safety being repaired. No vessel or person will E. Unfunded Mandates Reform Act be permitted to enter the safety zone zone may be small entities, for the without obtaining permission from the reasons stated in section V.A above, this The Unfunded Mandates Reform Act COTP or a Designated Representative. rule will not have a significant of 1995 (2 U.S.C. 1531–1538) requires economic impact on any vessel owner Federal agencies to assess the effects of V. Regulatory Analyses or operator. their discretionary regulatory actions. In We developed this rule after Under section 213(a) of the Small particular, the Act addresses actions considering numerous statutes and Business Regulatory Enforcement that may result in the expenditure by a Executive orders related to rulemaking. Fairness Act of 1996 (Pub. L. 104–121), State, local, or tribal government, in the Below we summarize our analyses we want to assist small entities in aggregate, or by the private sector of based on a number of these statutes and understanding this rule. If the rule $100,000,000 (adjusted for inflation) or Executive orders, and we discuss First would affect your small business, more in any one year. Though this rule Amendment rights of protestors. organization, or governmental will not result in such an expenditure, jurisdiction and you have questions we do discuss the effects of this rule A. Regulatory Planning and Review concerning its provisions or options for elsewhere in this preamble. Executive Orders 12866 and 13563 compliance, please call or email the F. Environment direct agencies to assess the costs and person listed in the FOR FURTHER benefits of available regulatory INFORMATION CONTACT section. We have analyzed this rule under alternatives and, if regulation is Small businesses may send comments Department of Homeland Security necessary, to select regulatory on the actions of Federal employees Directive 023–01, Rev. 1, associated approaches that maximize net benefits. who enforce, or otherwise determine implementing instructions, and This rule has not been designated a compliance with, Federal regulations to Environmental Planning COMDTINST ‘‘significant regulatory action,’’ under the Small Business and Agriculture 5090.1 (series), which guide the Coast Executive Order 12866. Accordingly, Regulatory Enforcement Ombudsman Guard in complying with the National this rule has not been reviewed by the and the Regional Small Business Environmental Policy Act of 1969 (42 Office of Management and Budget Regulatory Fairness Boards. The U.S.C. 4321–4370f), and have (OMB). Ombudsman evaluates these actions determined that this action is one of a This regulatory action determination annually and rates each agency’s category of actions that do not is based on the size, location, duration, responsiveness to small business. If you individually or cumulatively have a and time-of-day of the safety zone. The wish to comment on actions by significant effect on the human safety zone is only in effect for employees of the Coast Guard, call 1– environment. This rule involves navigable waters within a 100-yard 888–REG–FAIR (1–888–734–3247). The establishing a safety zone on the radius of crane barges and associated Coast Guard will not retaliate against Piscataqua River that will prohibit entry machinery conducting repairs on the small entities that question or complain within a 100-yard radius of crane barges Sarah Mildred Long Bridge. The safety about this rule or any policy or action and associated machinery being used by zone will only be enforced during 4.5 of the Coast Guard. personnel to repair the Sarah Mildred hour periods around slack tide, either Long Bridge. It is categorically excluded once or twice a day, on each prescribed C. Collection of Information from further review under paragraph day while the crane barge is on site and This rule will not call for a new L60(a) of Appendix A, Table 1 of DHS actively engaged in bridge repairs. collection of information under the Instruction Manual 023–01–001–01,

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Rev. 1. A Record of Environmental Coast Guard Sector Northern New ADDRESSES: To view documents Consideration supporting this England Command Center at (207) 741– mentioned in this preamble as being determination is available in the docket. 5465. Those in the safety zone must available in the docket, go to https:// For instructions on locating the docket, comply with all lawful orders or www.regulations.gov, type USCG–2021– see the ADDRESSES section of this directions given to them by the COTP or 0549 in the search box and click preamble. the COTP’s Designated Representative. ‘‘Search.’’ Next, in the Document Type (d) Enforcement period. This section column, select ‘‘Supporting & Related G. Protest Activities is effective from September 1, 2021, Material.’’ The Coast Guard respects the First through October 31, 2021, but will only FOR FURTHER INFORMATION CONTACT: If Amendment rights of protesters. be enforced during periods when bridge you have questions on this rule, call or Protesters are asked to call or email the repairs are active. When enforced, the email MST1 Jaison Kurian, Waterways person listed in the FOR FURTHER Sarah Mildred Long Bridge will remain Management Division, U.S. Coast INFORMATION CONTACT section to in the closed position and all vessels Guard; telephone 718–354–4352, email coordinate protest activities so that your will be prohibited from transiting under [email protected]. message can be received without the bridge. The Coast Guard will notify jeopardizing the safety or security of the public of the enforcement of this SUPPLEMENTARY INFORMATION: people, places or vessels. rule through appropriate means, which I. Table of Abbreviations List of Subjects in 33 CFR Part 165 may include, but are not limited to, publication in the Local Notice to CFR Code of Federal Regulations Harbors, Marine safety, Navigation Mariners and Broadcast Notice to DHS Department of Homeland Security (water), Reporting and recordkeeping FR Federal Register Mariners via VHF–FM marine channel NPRM Notice of proposed rulemaking requirements, Security measures, 16. Waterways. § Section U.S.C. United States Code For the reasons discussed in the Dated: August 4, 2021. preamble, the Coast Guard amends 33 A.E. Florentino, II. Background Information and CFR part 165 as follows: Captain, U.S. Coast Guard, Captain of the Regulatory History Port Northern New England. [FR Doc. 2021–17753 Filed 8–18–21; 8:45 am] The Coast Guard is issuing this PART 165—REGULATED NAVIGATION temporary rule without prior notice and BILLING CODE 9110–04–P AREAS AND LIMITED ACCESS AREAS opportunity to comment pursuant to ■ 1. The authority citation for part 165 authority under section 4(a) of the continues to read as follows: DEPARTMENT OF HOMELAND Administrative Procedure Act (APA) (5 SECURITY U.S.C. 553(b)). This provision Authority: 46 U.S.C. 70034, 70051; 33 CFR authorizes an agency to issue a rule 1.05–1, 6.04–1, 6.04–6, and 160.5; without prior notice and opportunity to Department of Homeland Security Delegation Coast Guard No. 0170.1, Revision No. 01.2. comment when the agency for good 33 CFR Part 165 cause finds that those procedures are ■ 2. Add § 165.T01–0519 to read as ‘‘impracticable, unnecessary, or contrary follows: [Docket Number USCG–2021–0549] to the public interest.’’ Under 5 U.S.C. § 165.T01–0519 Safety Zone; SML Bridge RIN 1625–AA00 553(b)(B), the Coast Guard finds that Repairs, Portsmouth, NH. good cause exists for not publishing a (a) Location. The following area is a Safety Zone; New York Upper Bay, notice of proposed rulemaking (NPRM) safety zone: All navigable waters of the Pierhead Channel, and Port Jersey with respect to this rule because Piscataqua River, from surface to Channel, Bayonne, NJ immediate action is needed to safeguard bottom, within a 100-yard radius around the public. Two brick and concrete rebar AGENCY: Coast Guard, DHS. crane barges and associated machinery reinforced buildings (Numbers 32 and conducting repairs on the Sarah Mildred ACTION: Temporary final rule. 42), six and one-half stories tall and located along the south shore of the Long Bridge. SUMMARY: The Coast Guard is (b) Definitions. As used in this Bayonne Peninsula are being establishing a temporary safety zone for section, Designated Representative demolished using land based explosives navigable waters of New York Upper means a Coast Guard Patrol and immediate action is needed to Bay, Pierhead Channel, and Port Jersey Commander, including a Coast Guard respond to the potential safety hazards Channel within 100 yards of the coxswain, petty officer, or other officer associated with this activity. It is Bayonne Peninsula bulkhead. The safety operating a Coast Guard vessel and a impracticable to publish an NPRM zone is needed to protect personnel, Federal, State, and local officer because we must establish this safety vessels, and the marine environment designated by or assisting the Captain of zone by August 8, 2021. This rule is from potential hazards created by two the Port Northern New England (COTP) enforceable through October 31, 2021 as building demolitions on shore. When in the enforcement of the safety zone. a contingency for any unforeseen delays enforced, entry of vessels or persons (c) Regulations. (1) Under the general or revisions to the building demolitions. into this zone is prohibited unless safety zone regulations in subpart C of Under 5 U.S.C. 553(d)(3), the Coast specifically authorized by the Captain of this part, you may not enter the safety Guard finds that good cause exists for the Port of New York or a designated zone described in paragraph (a) of this making this rule effective less than 30 representative. section unless authorized by the COTP days after publication in the Federal or the COTP’s Designated DATES: This rule is effective without Register. Delaying the effective date of Representative. actual notice from August 19, 2021, this rule would be impracticable (2) To seek permission to enter, through October 31, 2021. For the because immediate action is needed to contact the COTP or the COTP’s purposes of enforcement, actual notice respond to protect the public from the Designated Representative via VHF–FM will be used from August 8, 2021 potential safety hazards associated with marine channel 16 or by contacting the through August 19, 2021. this activity.

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III. Legal Authority and Need for Rule the two buildings have coordinated the Coast Guard will not retaliate against The Coast Guard is issuing this rule building demolitions with berth small entities that question or complain under authority in 46 U.S.C. 70034 operators at the Bayonne Peninsula, about this rule or any policy or action (previously 33 U.S.C 1231). The Captain New Jersey to minimize impacts. The of the Coast Guard. Bayonne Golf Club, west of the safety of the Port New York (COTP) has C. Collection of Information determined that potential hazards zone, has also been notified and ferries This rule will not call for a new associated with explosives demolition transiting to the golf club will be of two buildings on August 8, 2021, will authorized to transit through the 100 collection of information under the be a safety concern for anyone within yard safety zone from 6 a.m. to 10 a.m. Paperwork Reduction Act of 1995 (44 the waters of New York Upper Bay, prior to the building demolitions. U.S.C. 3501–3520). Pierhead Channel, and Port Jersey Vessels berthing at the Global Container D. Federalism and Indian Tribal Channel within 100 yards of the Terminal, on the opposite side of Port Governments Jersey Channel, will be outside of the Bayonne Peninsula, New Jersey A rule has implications for federalism bulkhead. The rule is needed to protect safety zone and not expected to be impacted. Moreover, the Coast Guard under Executive Order 13132, personnel, vessels, and the marine Federalism, if it has a substantial direct environment in the navigable waters will issue Broadcast Notice to Mariners effect on the States, on the relationship within the safety zone while the two via VHF–FM marine channel 16 about between the National Government and buildings are being demolished. the zone and the rule allows vessels to seek permission to enter the zone. the States, or on the distribution of IV. Discussion of the Rule power and responsibilities among the B. Impact on Small Entities This rule establishes a safety zone various levels of government. We have from August 8 through October 31, The Regulatory Flexibility Act of analyzed this rule under that Order and 2021. The safety zone will cover all 1980, 5 U.S.C. 601–612, as amended, have determined that it is consistent navigable waters within 100 yards of the requires Federal agencies to consider with the fundamental federalism Bayonne Peninsula, New Jersey. The the potential impact of regulations on principles and preemption requirements zone will only be enforced during small entities during rulemaking. The described in Executive Order 13132. explosives loading and demolition of term ‘‘small entities’’ comprises small Also, this rule does not have tribal two onshore bulidings tentatively businesses, not-for-profit organizations implications under Executive Order scheduled from 6:00 a.m. to 11:00 a.m. that are independently owned and 13175, Consultation and Coordination on Sunday, August 8, 2021. The operated and are not dominant in their with Indian Tribal Governments, duration of the zone is intended to fields, and governmental jurisdictions because it does not have a substantial protect personnel, vessels, and the with populations of less than 50,000. direct effect on one or more Indian marine environment in these navigable The Coast Guard certifies under 5 U.S.C. tribes, on the relationship between the waters while the explosives are being 605(b) that this rule will not have a Federal Government and Indian tribes, loaded into the two buildings and the significant economic impact on a or on the distribution of power and two buildings are being demolished. No substantial number of small entities. responsibilities between the Federal vessel or person will be permitted to While some owners or operators of Government and Indian tribes. vessels intending to transit the safety enter the safety zone without obtaining E. Unfunded Mandates Reform Act permission from the COTP or a zone may be small entities, for the designated representative. reasons stated in section V.A above, this The Unfunded Mandates Reform Act rule will not have a significant of 1995 (2 U.S.C. 1531–1538) requires V. Regulatory Analyses economic impact on any vessel owner Federal agencies to assess the effects of We developed this rule after or operator. their discretionary regulatory actions. In considering numerous statutes and Under section 213(a) of the Small particular, the Act addresses actions Executive orders related to rulemaking. Business Regulatory Enforcement that may result in the expenditure by a Below we summarize our analyses Fairness Act of 1996 (Pub. L. 104–121), State, local, or tribal government, in the based on a number of these statutes and we want to assist small entities in aggregate, or by the private sector of Executive orders, and we discuss First understanding this rule. If the rule $100,000,000 (adjusted for inflation) or Amendment rights of protestors. would affect your small business, more in any one year. Though this rule organization, or governmental will not result in such an expenditure, A. Regulatory Planning and Review jurisdiction and you have questions we do discuss the effects of this rule Executive Orders 12866 and 13563 concerning its provisions or options for elsewhere in this preamble. direct agencies to assess the costs and compliance, please call or email the benefits of available regulatory person listed in the FOR FURTHER F. Environment alternatives and, if regulation is INFORMATION CONTACT section. We have analyzed this rule under necessary, to select regulatory Small businesses may send comments Department of Homeland Security approaches that maximize net benefits. on the actions of Federal employees Directive 023–01, Rev. 1, associated This rule has not been designated a who enforce, or otherwise determine implementing instructions, and ‘‘significant regulatory action,’’ under compliance with, Federal regulations to Environmental Planning COMDTINST Executive Order 12866. Accordingly, the Small Business and Agriculture 5090.1 (series), which guide the Coast this rule has not been reviewed by the Regulatory Enforcement Ombudsman Guard in complying with the National Office of Management and Budget and the Regional Small Business Environmental Policy Act of 1969(42 (OMB). Regulatory Fairness Boards. The U.S.C. 4321–4370f), and have This regulatory action determination Ombudsman evaluates these actions determined that this action is one of a is based on the size, location, time of- annually and rates each agency’s category of actions that do not day on a Sunday morning, and the responsiveness to small business. If you individually or cumulatively have a duration of enforcement of the safety wish to comment on actions by significant effect on the human zone. The Port Authority of NY/NJ, employees of the Coast Guard, call 1– environment. This rule involves a safety demolition contractor, and the owner of 888–REG–FAIR (1–888–734–3247). The zone lasting only five hours that will

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prohibit entry within waters of New PART 165—REGULATED NAVIGATION Commander, including a Coast Guard York Upper Bay, Pierhead Channel, and AREAS AND LIMITED ACCESS AREAS coxswain, petty officer, or other officer Port Jersey Channel within 100 yards of operating a Coast Guard vessel and a the Bayonne Peninsula, New Jersey ■ 1. The authority citation for part 165 Federal, State and local officer bulkhead. It is categorically excluded continues to read as follows: designated by or assisting the Captain of from further review under paragraph Authority: 46 U.S.C. 70034, 70051; 33 CFR the Port New York (COTP) in the L60(a) of Appendix A, Table 1 of DHS 1.05–1, 6.04–1, 6.04–6, and 160.5; enforcement of the safety zone. Instruction Manul 023–01–001–01, Rev. Department of Homeland Security Delegation 01. A Record of Environmental No. 0170.1. (c) Regulations. (1) Under the general safety zone regulations in subapart C of Consideration supporting this ■ 2. Add § 165.T01–0549 to read as this part, you may not enter the safety determination is available in the docket. follows: For instructions on locating the docket, zone described in paragraph (a) of this see the ADDRESSES section of this § 165.T01–0549 Safety Zone; New York section unless authorized by the COTP preamble. Upper Bay, Pierhead Channel, and Port or the COTP’s designated representative. Jersey Channel, Bayonne, NJ. G. Protest Activities (2) To seek permission to enter, (a) Location. The following area is a contact the COTP or the COTP’s The Coast Guard respects the First safety zone: All navigable waters of New representative by VHF-Channel 16 or at Amendment rights of protesters. York Upper Bay, Pierhead Channel, and 718–354–4353. Those in the safety zone Port Jersey Channel, from surface to Protesters are asked to call or email the must comply with all lawful orders or person listed in the FOR FURTHER bottom, within 100 yards of the directions given to them by the COTP or INFORMATION CONTACT section to Bayonne Peninsula bulkhead bound by the COTP’s designated representative. coordinate protest activities so that your the following points beginning at message can be received without 40°40′20.1″ N, 074°05′22.6″ W thence to (d) Enforecement period[s]. This jeopardizing the safety or security of 40°40′10.3″ N, 074°04′54.5″ W; thence to section is effective from August 8 people, places or vessels. 40°39′49.9″ N, 074°04′06.1″ W; thence to through October 31, 2021, but will only 40°39′38.6″ N, 074°04′14.6″ W; thence to be enforced when building demoltion List of Subjects in 33 CFR Part 165 40°39′59.4″ N, 074°05′08.2″ W; thence to operations are in progress. Harbors, Marine safety, Navigation ° ′ ″ ° ′ ″ 40 40 03.5 N, 074 05 22.6 W; thence to Dated: August 3, 2021. (water), Reporting and record keeping the point of origin at 40°40′20.1″ N, requirements, Security measures, 074°05′22.6″ W. These coordinates are Zeita Merchant, Waterways. based on NAD 83. Captain, U.S. Coast Guard, Captain of the For the reasons discussed in the (b) Definitions. As used in this Port New York. preamble, the Coast Guard amends 33 section, ‘‘designated representative’’ [FR Doc. 2021–17751 Filed 8–18–21; 8:45 am] CFR part 165 as follows: means a Coast Guard Patrol BILLING CODE 9110–04–P

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Proposed Rules Federal Register Vol. 86, No. 158

Thursday, August 19, 2021

This section of the FEDERAL REGISTER official agencies (OA) in the United and conflicts among involved parties contains notices to the public of the proposed States is assigned a specific geographic and created a perception of issuance of rules and regulations. The area where it performs all official grain inconsistency regarding the handling of purpose of these notices is to give interested inspection and weighing services for such requests. Congress eliminated the persons an opportunity to participate in the customers within that geographic area (7 nonuse of service exception from the rule making prior to the adoption of the final 2 rules. U.S.C. 79(f)(2)(A)). This ensures USGSA in 2015; FGIS subsequently effective and efficient delivery of official removed that exception from the services to all customers within the regulations.3 DEPARTMENT OF AGRICULTURE assigned OA’s geographic area and Although the nonuse of service enhances the orderly marketing of grain. exception was eliminated from the Agricultural Marketing Service The U.S. Grain Standards Act (USGSA) USGSA in 2015, Congress reinstated also provides that customers may obtain authority to implement a nonuse of 7 CFR Part 800 services from other OAs under certain service exception through an circumstances. The Secretary may allow amendment to the USGSA in the 2018 [Doc. No. AMS–FGIS–19–0062] OAs to cross geographic boundaries to Farm Bill.4 FGIS must now consider RIN 0581–AD90 provide services to requesting customers regulatory options related to the if: (1) The assigned OA is unable to reinstatement of the nonuse of service Exceptions to Geographic Boundaries provide necessary services on a timely exception (see 7 U.S.C. 79(f)(2)(B)(ii)). basis; (2) the customer has not been On April 1, 2020, FGIS published an AGENCY: Agricultural Marketing Service, advanced notice of proposed USDA. receiving official inspection services from the assigned OA; (3) the customer rulemaking (ANPR) (85 FR 18155) to ACTION: Proposed rule; request for requests probe inspection on barge-lot solicit public comments on how FGIS comments. basis; or (4) the assigned OA agrees in should amend its criteria for reviewing, approving, and implementing SUMMARY: This notice of proposed writing with the adjacent OA to waive the current geographic restriction at the exceptions to USGSA’s requirements for rulemaking invites public input on geographic boundaries. FGIS received proposed revisions to Federal Grain customer’s request (7 U.S.C. 79(f)(2)(B)). These allowances are considered six comments on the ANPR. We have Inspection regulations. The Agricultural incorporated industry feedback from the Marketing Service is required to revise exceptions to the USGSA’s standard requirements regarding the use of ANPR, along with input received during the regulations as a result of 2018 Farm industry meetings, to develop this Bill amendments to the U.S. Grain designated OAs to perform inspection services within specified geographic proposed rule (PR). FGIS is requesting Standards Act. Revised regulations public comment on options for timely would allow designated official agencies areas. Exceptions must be approved on a case-by-case basis by the Agricultural service and nonuse of service, as to perform grain inspections outside defined within this PR. Particularly, their geographic areas under certain Marketing Service’s Federal Grain Inspection Service (FGIS) that FGIS seeks input from industry additional conditions. Proposed participants and OAs who use and revisions are based on industry input administers regulations under the USGSA.1 Regulations in 7 CFR part 800 provide official services and are familiar and are intended to provide additional with grain inspection services under the flexibility to the industry. provide limitations for use of these exceptions. USGSA. We welcome the submission of DATES: Comments must be received by data and other information to support September 20, 2021. Service Exceptions commenters’ views. As a result of public ADDRESSES: Comments must be A notable exception that has been input received on the PR, FGIS will submitted through the Federal e- implemented in the past is known as the develop a final rule for publication in rulemaking portal at http:// nonuse of service exception. In that the Federal Register. www.regulations.gov and should exception, a customer who had not Restoration of Previous Nonuse of reference the document number and the obtained inspection services from the Service Exceptions date and page number of this issue of assigned OA for a specified length of the Federal Register. All comments time could obtain services from another Subsequent to 2015 amendments to submitted in response to this document OA. At times, regulations required the USGSA and the 2016 changes to the will be included in the record and will customers to have not used their FGIS regulations, a number of nonuse of service exceptions were terminated. The be made available to the public. Please designated OA for at least 90 2018 Farm Bill directed USDA to allow be advised that the identity of consecutive days; at other times the for restoration of those exceptions individuals or entities submitting regulations specified a 180-day nonuse where appropriate. Interested parties comments will be made public on the period before the customer could apply were given an opportunity to submit internet at the address provided above. for service from another OA. However, restoration requests to FGIS, as FOR FURTHER INFORMATION CONTACT: lack of clarity about how FGIS determined whether to grant nonuse of Sophie Parker, Deputy Director, Quality 2 The Agricultural Reauthorizations Act of 2015, Assurance and Compliance Division, service exceptions fostered confusion enacted September 20, 2015 (Pub. L. 114–54 sec. Federal Grain Inspection Service, AMS, 301(b)(3)(A)). USDA; email: [email protected]. 1 FGIS, formerly part of USDA’s Grain Inspection, 3 81 FR 49855, July 29, 2016. Packers and Stockyards Administration, was 4 The Agricultural Improvement Act of 2018, SUPPLEMENTARY INFORMATION: Under the merged with USDA’s Agricultural Marketing enacted December 20, 2018 (Pub. L. 115–334 sec. USGSA (7 U.S.C. 71 et seq.), each Service in 2018. 12610(a)(1)(D)).

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described in a Notice to Trade six hours from the requested service. requests for exceptions and whether the published on March 5, 2019.5 Further, the OA would have to be assigned OA would have an opportunity unable to provide requested services to respond to the request. Therefore, Termination of Nonuse of Service within timeframes established in the FGIS proposes adding a validation Exceptions OA’s approved fee schedule. The ANPR process for requests for exceptions. This The amended USGSA provides that criteria for nonuse of service exception would allow all parties to submit the nonuse of service exception may requests included the requesting facility information and data regarding the only be terminated if all parties to the (customer or applicant) demonstrating request. FGIS would review information exception jointly agree on the they have not received official services and assess requests to ensure the termination.6 This means that the for 90 days, documenting why they have integrity of the official system is customer, the assigned OA, the OA that not received service, and providing a maintained. FGIS also received feedback has been providing service under the written or verbal request for an expressing concern that nonuse of exception (gaining OA), and FGIS must exception. In addition, the ANPR service exceptions negatively impact the agree to terminate the exception. This suggested potential factors for integrity of the official system. FGIS has ensures that: (1) All parties are aware of consideration, some of which now fit attempted to address all feedback within the change and (2) the assigned OA will within the expanded criteria for timely this PR. resume providing service to the service requests. customer. In the feedback to the ANPR criteria Overview The requirement for all parties to the for timely service exceptions, some Amendments proposed would modify exception to jointly agree on commenters supported the criteria but parameters for the exceptions program termination of the nonuse of service provided differing opinions on how to for timely service and reinstate the exception does not apply if the apply the criterion regarding timeframes exception program for nonuse of service designation of an OA is terminated.7 If for services provided. One suggested in 7 CFR 800.117, to comply with the designation of an OA is renewed or that customers should not be allowed to amendments made to the USGSA in the restored after being terminated, the routinely call their OA after business 2018 Farm Bill. This PR incorporates exceptions that were previously hours as a mechanism for obtaining feedback received from the public on approved, under 7 U.S.C. 79(f)(2)(B), service from another OA. Here, FGIS the ANPR to create a clear, consistent, may be renewed or restored by notes parameters required for requesting and fair framework for considering and requesting a determination from FGIS. official services are defined in granting these exceptions, which allow Comment Review 800.116(b) and OA fee schedules. FGIS designated OAs to perform grain also received requests to clarify which inspections outside their geographic The ANPR suggested three criteria for services are included in a timely service areas under certain conditions. Timely timely service exceptions and four exception. Industry feedback indicates service and nonuse of service are two of criteria for nonuse of service exceptions, some OA’s do not offer all official those conditions. This PR defines and and requested input on 11 questions services some customers request. Others differentiates between timely service regarding factors that could impact indicate that weather events could and nonuse of service exceptions and decisions on exceptions. FGIS would impact access to timely service. Timely their associated requirements. like to thank those who participated in service exceptions criterion in this PR Under § 800.117(b)(1), the industry this process for providing valuable would provide an avenue to would have a mechanism to request and input. Not all commenters provided accommodate these situations. receive timely service from an alternate feedback on criteria for every exemption In the feedback to the ANPR criteria OA. Applicants could also request or on every question in the ANPR. Most for nonuse of service exceptions, some timely service exceptions for delays recognized the need for the official commenters asked FGIS to add caused by weather events and requests system to be customer focused and to flexibility to the nonuse of service for services that are not offered by the provide timely and accurate services. exception and to rename it ‘‘service assigned OA. For a timely service FGIS received mixed comments about exception’’. According to industry exception, FGIS would grant an timely service and nonuse of service input, customers occasionally face exception when: (1) The designated OA exceptions. Some commenters stated limitations in the types of services is unable to provide services to an that they thought the nonuse of service offered by the assigned OA. This again applicant within 6 hours or the OA is exception involved the inability of the indicated to FGIS that there is confusion unable to provide results and certificate OA to provide timely service. The about the criteria for timely service and in accordance with 800.160(c); or (2) a USGSA specifies these are two separate the criteria for nonuse of service request for services not offered by the exceptions; therefore, FGIS is using the exceptions. In addition, the feedback on assigned OA would result in an inability feedback to the ANPR to improve and the number of days without official to receive timely service; or (3) a clarify the requirements under the service (for nonuse of service weather event or impact caused by a appropriate exception. exceptions) had a wide range, from 30 weather event results in an inability to The ANPR criteria for timely service to 180 days. As stated in the ANPR, receive timely service from the assigned exceptions included that: the requesting prior ranges allowed were between 90 to OA; and (4) granting an exception is in facility would be required to submit a 180 days in length. A period of 90 days the best interest of the integrity of the written or verbal request for an is within timeframes used for the official system. It is important to note exception to FGIS, along with nonuse of service exception in the past that not all of these instances indicate documentation regarding the designated and is a compromise based on a delay caused by the assigned OA and OA’s inability to provide service within timeframes suggested in the comments. that the reasons and justification for the In the general feedback to the ANPR, exception request weigh more 5 Restoring Certain Exceptions to the U.S. Grain FGIS received comments expressing prominently for nonuse of service Standards Act, published March 5, 2019. https:// www.ams.usda.gov/content/restoring-certain- concern that some requests for requests than timely service. This PR exceptions-us-grain-standards-act. exceptions relayed false or misleading proposes a tiered progression for timely 6 Public Law 115–334 sec. 12610(a)(1)(E). information. These comments service exceptions. The first is a one- 7 Public Law 115–334 sec. 12610(a)(2). questioned how FGIS would validate time timely service exception. In the

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case of untimely service, the ability to would be able to recoup, due to the In this initial evaluation of costs and use another official agency may be infrequency of the requests. FGIS would benefits of the rule, FGIS has granted for the next service request, as take these factors into consideration determined that the proposed rule does applicable. The second is a 90-day when reviewing requests for exceptions not meet the criteria of a significant timely service exception. If, after the and would work with the OAs and regulatory action under Executive Order first request is granted, a second customers to find a solution. 12866 as supplemented by Executive instance occurs within 180 days, the FGIS recognizes there may be Order 13563. Moreover, FGIS finds that customer may apply for a 90-day instances where granting an exception the rule does not create any new exception. Once granted, the alternate may impact the assigned OA’s viability material costs for industry. and instances where there is concern OA would provide services to the Baseline customer for 90 days. The third is a about the integrity of the official system. long-term timely service exception. If In such instances, FGIS proposes adding Under the USGSA, the USDA there is another occurrence, within 365 a challenge process into this regulation. regulates the inspection of barley, days of the return to the assigned OA, As an example, FGIS would consider canola, corn, flaxseed, mixed grain, oats, the applicant may request a long-term factors such as percent of business or rye, sorghum, soybeans, sunflower seed, exception, extending until the percent of customers lost due to 90-day triticale, and wheat. This rule impacts termination date of the gaining agency’s and long-term exceptions. Requests for the 42 OAs that provide USDA- designation. If FGIS determines the a challenge must clearly state and regulated grain certification and the assigned OA’s inability to provide a support the identified reason for the 5,218 commercial entities they serve. In specific service, limited due to weather request. The assigned OA must include FY2020, OAs performed 3,093,261 grain events or service availability, has been supporting documentation for FGIS to inspections of 240.3 million metric tons 8 resolved, FGIS may terminate the long- review as part of this process. FGIS of grain. FGIS expects fewer than one term exception. If FGIS terminates a seeks input from industry participants percent of the entities served by OAs to long-term exception, all parties would and OAs on the challenge process. We request and be granted exceptions under be notified, and the applicant would welcome and encourage the submission the rule. Official inspection costs represent a resume service with the assigned OA of data and other information to support very small percentage of the total value within 60 days of notification. However, commenters’ views. of grain shipment. In 2018, FGIS if the exception was associated with the FGIS proposes to add the nonuse of calculated weighted average costs for assigned OA’s inability to provide service exception back into the inspections for different carriers as service in 6 hours or less, or timely regulations, under § 800.117(b)(2). The follows: $24.50 for a semi-truck capable issuance of the results and certificate, industry would be able to apply for official services from an alternate OA if of carrying 58,000 pounds, $24.65 for a FGIS may not terminate the exception. they have not received official services railcar capable of carrying 220,000 During the duration of exceptions within the previous 90 days. In pounds, and $234.42 for a barge capable caused by a failure of the assigned OA addition, FGIS proposes to evaluate of carrying 3,000,000 pounds of grain. to supply timely service, the assigned criteria defined in the section to For example, if the price of wheat was OA should work on improving their promote clarity, consistency, and $5 for a 60-pound bushel, the cost of the ability to provide the requested services. transparency. FGIS also proposes to inspection would represent 0.53% of For nonuse of service exception expand and clarify options for the revenue for a truck, 0.13% of the requests, this PR defines the period of exceptions under timely service. revenue for a railcar train, and 0.08% of nonuse as 90 days. The PR also Applications for timely service the revenue for a barge. specifies, but does not limit, categories exceptions would undergo a more Need for the Rule FGIS would take into consideration streamlined approval process and when reviewing requests for nonuse of require less rigorous justification by the Federally regulated grain inspection is service exceptions. These include: (1) applicant than those submitted for designed to remedy two competing The location of the specified service nonuse of service exceptions. For both sources of market failure—asymmetric point(s); (2) the ability of the alternate types of exceptions, the PR establishes information and market power—while OA to take on additional customers; (3) processes to address assigned OA preserving the ability of small producers the ability of the assigned OA to staff an concerns of potentially false or to access markets. This rule increases onsite laboratory; (4) whether the misleading exception requests and the flexibility of the existing inspection requesting facility has ever previously validation of requests by FGIS. program without affecting the program’s utilized the official system (i.e., facilities quality standards or the ability of small that have never used the official system Executive Orders 12866 and 13563 sellers to access inspection services. would not qualify for nonuse of service Executive Orders 12866—Regulatory Greater flexibility in allowing producers exception, nor would a facility that was Planning and Review, and 13563— to obtain inspection services, however, under new ownership by a company Improving Regulation and Regulatory will save costs and provide them greater with no history of use of the official Review, direct agencies to assess all ability to meet potential market system). For a nonuse of service costs and benefits of available regulatory opportunities. exception, FGIS would grant an alternatives and, if regulation is Many agricultural products, including exception when: (1) An OA has not necessary, to select regulatory grain, vary in important quality provided service to an applicant within approaches that maximize net benefits characteristics due to both farm their assigned geographic area within (including potential economic, production decisions and idiosyncratic the established time period, (2) FGIS environmental, public health and safety factors. In the absence of a quality receives a request for a nonuse of effects, distributive impacts, and verification process, sellers in service exception from an applicant, equity). Executive Order 13563 transactions may have more knowledge and (3) granting an exception is in the emphasizes the importance of 8 best interest of the integrity of the quantifying both costs and benefits of Source: USDA Federal Grain Inspection Service (FGIS) Program Data at: https:// official system. In some cases, the cost reducing costs, harmonizing rules, and fgisonline.ams.usda.gov/F_DEC/ of the equipment is more than the OA promoting flexibility. AnnualReport.aspx.

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of product quality than buyers, a obtaining inspections services to meet to consider the impact of their rules on condition called asymmetric immediate business requirements. small entities and to evaluate information. Akerlof (1970) showed alternatives that would accomplish Benefits and Costs of the Rule asymmetric information can cause objectives of the rule without unduly economic inefficiencies in which FGIS considers economic benefits of burdening small entities when rules producers forego investments that are this rule as being three-fold. First, the impose a significant economic impact less costly to implement than the benefit rule provides clarity to producers on a substantial number of small they provide consumers.9 Third-party regarding the terms under which entities. This rule has an economic inspection that verifies a product’s exceptions are granted. Second, the rule impact on farms selling grain that quality resolves this source of market increases options to producers who require inspections (classified under failure. require inspection services to market North American Industry Classification their grain. FGIS expects that this option Grain inspectors certify the protein System, or NAICS, codes 111110, will be utilized by fewer than one content, kernel size, and other quality 111120, 111130, 111140, 111150, percent producers who need inspections factors related to product’s market value 111191, 111160, 111191, and 111199), services quickly but face service to simplify transactions. Since the grain elevators and grain certifiers that constraints by OAs. Third, the rule may outcome of grain inspections directly conduct post-harvest crop activities heighten attention to service issues affects the sale price, biases and (NAICS code 115114) and either require among OAs that have received nonuse inconsistences in inspection methods or perform inspections. The Small of service exception requests. The might potentially redistribute the gains Business Administration (SBA) validation process FGIS will maintain as to trade from seller to buyer, or vice considers grain farms to be small if their part of the granting of exceptions will versa. Market power might exacerbate sales are less than $1 million and grain ensure requests serve a valid business the tendency to bias and inconsistency elevators and grain certifiers (OAs) to be purpose. OAs may offer additional if, for instance, large sellers or buyers small if their sales are less than $30 services such as a broader range of can influence the outcome of quality million (13 CFR 121.201). testing as a result. FGIS certifies that this rule does not inspections in their favor. In addition to FGIS does not ascribe any direct have a significant economic impact on fairness concerns, such opportunistic compliance costs to either OAs or small businesses. This determination is behavior creates economic inefficiencies producers as a result of the potential made based on FGIS’s expectation that by reducing returns on investment in increase for timely service and nonuse any small entities requiring grain quality improvement and creating costs of service exceptions under this rule. inspection, including grain farms and for downstream producers (i.e., bakers FGIS does not expect that inspection grain elevators, or entities performing and food processors) expecting products fees it approves will change as a result grain inspection, including OAs, will of certain quality. of this rule. To the extent that this rule see neither a change in prices paid or Grain inspection is an optional provides greater flexibility to how fees charged nor a loss in access to service. When information asymmetries producers can obtain inspection inspection services or change in are a concern, inspection facilitates services, it will provide improved territorial boundaries for which they can simpler, more rapid, and less risky services or reduce total costs to perform inspections. Further, FGIS transaction of final product. By allowing producers by, for instance, allowing believes its proposed challenge process producers to recoup the costs of quality those needing immediate inspections to addresses the concern that some small improvement, grain inspection also get them from an OA other than the one OAs may lose economic viability when encourages investment in quality to which they are assigned. Moreover, exceptions are granted to customers improvement. FGIS does not believe the rule will under the exceptions to geographic Under its regulatory authority, the create significant indirect costs, aside boundary requirement. USDA approves grain inspection from minor costs to market participants standards and monitors their uniform learning the rule and documenting Executive Order 12988 application by OAs. To promote a exceptions. This proposed rule has been reviewed competitive market for grain, in which To the extent that some OAs conduct under Executive Order 12988—Civil all producers have access to inspection fewer inspections because producers in Justice Reform. This rule is not intended services, FGIS requires that OAs provide their assigned area have requested more to have retroactive effect. The USGSA inspection services to all producers in exceptions, other OAs will conduct provides in sec. 87g that no State or an assigned area and regulates more inspections. FGIS believes that subdivision thereof may require or marketing fee schedules charged by OAs any business losses to an OA will be impose any requirements or restrictions for these services. FGIS approves rates small and that any losses will be offset concerning the inspection, weighing, or to cover various labor, laboratory, and by gains to other OAs. This description of grain under the Act. travel costs and only approves rearrangement of business activity This rule will not preempt any State differential rates across geographic areas constitutes a transfer of benefits from or local laws, regulations, or policies, if underlying costs differ across assigned one OA to another and has a neutral unless they present an irreconcilable regions. For this reason, FGIS does not effect on total costs and benefits of the conflict with this rule. No expect this rule to impact the prices rule. administrative proceedings would be paid by inspection users or the fees To summarize, FGIS believes that the required before parties could file suit in received by OAs. Instead, FGIS expects total impact of the rule on the grain court challenging the provisions of this this rule will allow the small fraction of inspection industry is not economically rule. significant and that the benefits of this inspection users who need ‘‘timely Executive Order 13175 service’’ and ‘‘nonuse of service’’ rule exceed its costs, which are exceptions greater flexibility in negligible. This rule has been reviewed in accordance with the requirements of Regulatory Flexibility Analysis 9 George Akerlof, ‘‘The Market for Lemons: Executive Order 13175, Consultation Quality Uncertainty and the Market Mechanism’’ The Regulatory Flexibility Act (RFA) and Coordination with Indian Tribal Quarterly Journal of Economics, 1970. (5 U.S.C. 601 et seq.) requires agencies Governments. Executive Order 13175

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requires Federal agencies to consult and The additions and revision read as official agency may be granted for the coordinate with tribes on a government- follows: next service request, as applicable. to-government basis on: (1) Policies that (ii) 90-day. If there is an occurrence of have tribal implications, including § 800.117 Who shall perform original untimely service within 180 days of the services. regulations, legislative comments or date of the occurrence in paragraph proposed legislation; and (2) other * * * * * (b)(1)(i) of this section, the applicant policy statements or actions that have (b) Exceptions for official agencies to may request a 90-day exception. This substantial direct effects on one or more provide service. Under an exception, an 90-day window will begin the day the Indian tribes, on the relationship official agency may provide service to a exception is granted. between the Federal Government and customer outside of their geographic (iii) Long-term. If after a return to Indian tribes, or on the distribution of area. The applicant must request that service following an exception granted power and responsibilities between the the Service grant an exception. As under paragraph (b)(1)(ii) of this section Federal Government and Indian tribes, outlined below, the Service may grant there is another occurrence of untimely or on the distribution of power and an exceptions in instances when: The service within 365 days, the applicant responsibilities between the Federal assigned official agency is unable to may request a long-term exception. Government and Indian tribes. provide inspection services in a timely When granting this exception, the Agricultural Marketing Service (AMS) manner; a person requesting inspection Service may extend this exception up to has assessed the impact of this proposed services in that geographic area has not the date of termination of the gaining rule on Indian tribes and determined been receiving official inspection agency’s designation term. that this rule would not have tribal services from the official agency for that (iv) Supporting Documentation. The implications that require consultation geographic area; a person requesting applicant must submit a request for a under Executive Order 13175. AMS inspection services in that geographic timely service exception and associated hosts a quarterly teleconference with area requests a probe inspection on a supporting documentation to the tribal leaders where matters of mutual barge-lot basis; or, the assigned official Service. The Service will give all parties interest regarding the marketing of agency for that geographic area agrees in an opportunity to provide information. agricultural products are discussed. writing with the adjacent official agency The Service will request additional information if any is needed. Information about proposed changes to to waive the current geographic area (v) Review and Validation. Prior to regulations will be shared during an restriction at the request of the applicant granting a timely service exception, the upcoming quarterly call, and tribal for service. Service will review and validate all leaders will be informed about proposed (1) Timely service. The Service grants information submitted with the revisions to the regulation and the an exception when service is not timely application. If the request is urgent and opportunity to submit comments. AMS as described in this section. Service is made outside of the Service’s normal will work with the USDA Office of not timely when an official agency business hours, an official agency from Tribal Relations to ensure meaningful cannot provide requested official outside the geographic area may provide consultation is provided as needed with services within 6 hours or cannot service. When providing an urgent regards to the proposed regulations. provide results and certificate in service, the official agency must provide AMS has provided 30 days for accordance with 800.160(c). Applicants written notification to the Service comments on this proposed rule. All may also request timely service within two business days after service. comments received by September 20, exceptions for delays caused by weather The Service will review and validate the 2021 will be considered prior to events or request a timely service circumstances of the urgent request and finalizing this proposed rule. Comments exception for services that the assigned the Service will verify that the request in response to any or all of the above official agency does not offer. The was not false or misleading. processes or proposed wording should applicant must submit a request for a (vi) False or Misleading Requests. If be submitted to the address provided in timely service exception to the Service. an applicant submits a request that the the ADDRESSES section of this document The applicant may make this request Service determines to be false or to ensure consideration. orally or in writing. The applicant must misleading, the Service will not grant List of Subjects in 7 CFR Part 800 clearly state and support the identified the exception. If an urgent request was reason for the requested exception. granted on the basis of a false and Administrative practice and There are three consecutive tiers of misleading request, the Service may procedure, Exports, Grains, Reporting timely service exceptions: One-time, 90- deny the applicant from future urgent and recordkeeping requirements. day, and long-term. Applicants must timely service exceptions for a period of For reasons set forth in the preamble, progress through each tier. Applicants up to 180 days. FGIS proposes to amend 7 CFR part 800 must apply for and the Service must (vii) Return to the Assigned Official as follows: approve a one-time exception before the Agency. The applicant maintains the Service considers a 90-day exception. option of returning to the assigned PART 800—GENERAL REGULATIONS Likewise, applicants must apply for and official agency at any time with a 60-day ■ the Service must approve a 90-day notification period to all parties. The 1. The authority citation for part 800 exception before the Service will continues to read as follows: exception will be cancelled, and future consider a long-term exception. The exception requests will be considered at Authority: 7 U.S.C. 71–87k. Service will review requests and may the beginning of successive-tiered ■ 2. Amend § 800.117 by: contact the applicant, the assigned system. ■ a. Adding paragraph (b) introductory official agency, or potential gaining (viii) Termination. If the Service text; agency with questions during its review. determines the original official agency’s ■ b. Revising paragraph (b)(1); The Service will provide its inability to provide a specific service, ■ c. Redesignating paragraphs (b)(2) and determination on the exception request limited due to weather events or service (3) as paragraphs (b)(3) and (4), to the customer in writing. availability, has been resolved, the respectively; and (i) One-time. In the case of untimely Service may terminate the long-term ■ d. Adding new paragraph (b)(2). service, the ability to use another exception. However, if the exception

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was associated with the official agency’s support the identified reason for the DEPARTMENT OF ENERGY inability to provide service in 6 hours or challenge. 10 CFR Part 430 less, or timely issuance of the results (C) Determination. The Service will and certificate, the Service may not consider impacts on the assigned [EERE–2021–BT–STD–0012] terminate the exception. If the Service official agency, the applicant, and the terminates a long-term exception, all RIN 1904–AF22 potential gaining agency when deciding parties will be notified, and the whether to grant an exception. These Energy Conservation Program: applicant will resume service with the Definitions for General Service Lamps assigned official agency within 60 days impacts may include, but are not limited to, the viability of the assigned of notification. AGENCY: Office of Energy Efficiency and official agency given the loss of (2) Nonuse of service exception. If an Renewable Energy, Department of business. The Service will also consider applicant has not received service from Energy. the impact on the integrity of the official the assigned official agency within the ACTION: Notice of proposed rulemaking system and confirm an exception would last 90 days, the applicant may request and announcement of public meeting. that the Service grant a nonuse of not undermine the congressional service exception. policies in section 2 of the United States SUMMARY: On January 19, 2017, the U.S. (i) Requests must clearly state and Grain Standards Act. The Service will Department of Energy (‘‘DOE’’) support the following: provide its decision in writing to the published two final rules adopting (A) The last date of service from assigned official agency, the applicant, revised definitions of general service assigned official agency; and the potential gaining agency. lamp (‘‘GSL’’) and general service (B) The reason service has not been incandescent lamp (‘‘GSIL’’), and other received during this timeframe; (v) False or Misleading Requests. If an applicant submits a request that the supplemental definitions, to go into (C) The identified reason for the effect January 1, 2020. Prior to that request. Service determines is false or misleading the Service may elect to effective date, on September 5, 2019, (ii) Relevant information. Applicants DOE withdrew the revised definitions of limit them from submitting further may submit any relevant supporting GSL, GSIL, and the other supplemental requests for a period of up to 180 days. information. This may include, but is definitions. Upon further review and not limited to: (vi) Renewal or Termination of consideration, in this notice of proposed (A) The location of the specified Exception. The nonuse of service rulemaking (‘‘NOPR’’), DOE proposes to service point(s); exception is for the period of the gaining adopt the definitions of GSL and GSIL (B) The types of services requested by agency’s designation. At the end of the and the associated supplemental the applicant and offered by assigned designation, the Service will review the definitions set forth in the January 2017 official agency; exception, and verify all criteria and final rules. This document also (C) The ability of the gaining official announces a public meeting to receive agency to take on additional customers; information. If the exception still meets comment on these proposed definitions. (D) The ability of the assigned official the nonuse criteria, the Service will agency to provide the requested service; renew the exception for the new DATES: (E) Whether the requesting facility has designation period. In the event the Meeting: DOE will hold a public ever used the official system. gaining agency is no longer designated, meeting via webinar on Thursday, (iii) Supporting Documentation. the exception would automatically September 30, 2021, from 10:00 a.m. to Included with the request for an terminate and the customer would 4:00 p.m. See section V, ‘‘Public exception, the applicant must submit return to the assigned official agency. If Participation,’’ for webinar registration supporting documentation to the all parties jointly agree to the information, participant instructions Service. After receipt of the request, the termination of a nonuse of service and information about the capabilities Service will give all parties an exception, the Service will terminate the available to webinar participants. opportunity to provide additional exception. In this case, the assigned Comments: DOE will accept comments, data, and information supporting documentation. The Service official agency must resume service regarding this NOPR no later than will request additional information if within 60 days of notification. any is needed. October 18, 2021. (iv) Review and Validation. Prior to (vii) Historic exceptions. All nonuse ADDRESSES: Interested persons are granting an exception, the Service will of service exceptions, that were in place encouraged to submit comments using review the application and all as of March 30, 2019, will be the Federal eRulemaking Portal at supporting documentation, and the incorporated into geographic boundaries www.regulations.gov. Follow the Service will conduct any necessary of the gaining agencies. instructions for submitting comments. analysis to estimate the exception’s * * * * * Alternatively, interested persons may impact. submit comments identified by docket (A) Notification. The Service will Erin Morris, number EERE–2021–BT–STD–0012, and notify the assigned official agency prior Associate Administrator, Agricultural by email: To to granting an exception for nonuse of Marketing Service. 2021STD0012GSLDefinitions@ service. [FR Doc. 2021–17609 Filed 8–18–21; 8:45 am] ee.doe.gov. Include docket number (B) Challenge. The assigned official BILLING CODE P EERE–2021–BT–STD–0012 in the agency may challenge a proposed subject line of the message. exception for any reason. To challenge No telefacsimiles (‘‘faxes’’) will be a proposed exception, the assigned accepted. For detailed instructions on official agency must object in writing, submitting comments and additional and must submit supporting documents information on this process, see section to the Service within 14 days after the V of this document. date of notification. Documents must Although DOE has routinely accepted clearly identify the objection and public comment submissions through a

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variety of mechanisms, including postal A. Authority definitions for GSL, GSIL, and related mail and hand delivery/courier, the B. March 2016 Notice of Proposed terms, as proposed in this NOPR. Department has found it necessary to Rulemaking and October 2016 Notice of A. Authority make temporary modifications to the Proposed Definition and Data Availability EPCA, as amended,1 authorizes DOE comment submission process in light of C. January 2017 Final Rules the ongoing coronavirus disease 2019 to regulate the energy efficiency of a D. September 2019 Withdrawal Rule and number of consumer products and (‘‘COVID–19’’) pandemic. DOE is Subsequent Review accepting only electronic submissions at II. Synopsis of the Proposed Rule certain industrial equipment. 42 U.S.C. 2 this time. If a commenter finds that this III. General Discussion 6291–6317. Title III, Part B of EPCA, change poses an undue hardship, please A. GSL and GSIL Definitions established the Energy Conservation contact Appliance Standards Program B. Discontinuation of Exemptions Program for Consumer Products Other staff at (202) 586–1445 to discuss the C. GSLs and GSILs Than Automobiles. 42 U.S.C. 6291– need for alternative arrangements. Once 1. T-Shape, B, BA, CA, F, G16–1/2, G25, 6309. These products include GSLs, the G30, S, and M–14 Lamps the COVID–19 pandemic health subject of this rulemaking. 2. Rough Service Lamps, Vibration Service EPCA directs DOE to conduct two emergency is resolved, DOE anticipates Lamps, 3-Way Incandescent Lamps, and resuming all of its regular options for rulemaking cycles to evaluate energy Shatter-Resistant Lamps conservation standards for GSLs. 42 public comment submission, including D. Other GSLs postal mail and hand delivery/courier. E. Incandescent Reflector Lamps U.S.C. 6295(i)(6)(A)–(B). GSLs are Docket: The docket for this activity, F. Supplemental Definitions defined in EPCA to include GSILs, which includes Federal Register G. Proposed Effective Date compact fluorescent lamps (‘‘CFLs’’), notices, comments, and other IV. Procedural Issues and Regulatory Review general service light-emitting diode supporting documents/materials, is A. Review Under Executive Orders 12866 (‘‘LED’’) lamps and organic light available for review at B. Review Under the Regulatory Flexibility emitting diode (‘‘OLED’’) lamps, and Act www.regulations.gov. All documents in any other lamps that the Secretary of C. Review Under the Paperwork Reduction Energy (‘‘Secretary’’) determines are the docket are listed in the Act www.regulations.gov index. However, used to satisfy lighting applications D. Review Under the National traditionally served by general service not all documents listed in the index Environmental Policy Act of 1969 may be publicly available, such as E. Review Under Executive Order 13132 incandescent lamps. 42 U.S.C. information that is exempt from public F. Review Under Executive Order 12988 6291(30)(BB)(i), (CC)(i), (DD). The EPCA disclosure. G. Review Under the Unfunded Mandates provision setting forth relevant The docket web page can be found at Reform Act of 1995 definitions indicates that the term www.regulations.gov/ H. Review Under the Treasury and General ‘‘general service lamp’’ in EPCA does #!docketDetail;D=EERE-2021-BT-STD- Government Appropriations Act, 1999 not include any of the twenty-two I. Review Under Executive Order 12630 0012. The docket web page contains lighting applications or bulb shapes J. Review Under the Treasury and General explicitly not included in the definition instructions on how to access all Government Appropriations Act, 2001 documents, including public comments, of ‘‘general service incandescent K. Review Under Executive Order 13211 3 in the docket. See section V for L. Review Under Section 32 of the Federal lamp,’’ or any general service information on how to submit Energy Administration Act of 1974 fluorescent lamp or incandescent comments through M. Materials Incorporated by Reference reflector lamp. 42 U.S.C. www.regulations.gov. V. Public Participation 6291(30)(BB)(ii). A. Attendance at the Webinar For the first rulemaking cycle, EPCA FOR FURTHER INFORMATION CONTACT: Dr. B. Procedure for Submitting Prepared directs DOE to initiate a rulemaking Stephanie Johnson, U.S. Department of General Statements for Distribution process prior to January 1, 2014, to Energy, Office of Energy Efficiency and C. Conduct of the Webinar consider two questions: (1) Whether to Renewable Energy, Building D. Submission of Comments amend energy conservation standards Technologies Office, EE–5B, 1000 VI. Approval of the Office of the Secretary Independence Avenue SW, Washington, I. Authority and Background 1 All references to EPCA in this document refer DC 20585–0121. Telephone: (202) 287– to the statute as amended through the Energy Act 1943. Email: Amendments to the Energy Policy and of 2020, Public Law 116–260 (Dec. 27, 2020). ApplianceStandardsQuestions@ Conservation Act (‘‘EPCA’’) in the 2 For editorial reasons, upon codification in the ee.doe.gov. U.S. Code, Part B was redesignated Part A. Energy Independence and Security Act 3 As defined in EPCA ‘‘general service Ms. Celia Sher, U.S. Department of of 2007, Public Law 110–140 (‘‘EISA’’) incandescent lamp’’ does not include the following Energy, Office of the General Counsel, directed DOE to conduct a number of incandescent lamps: (I) An appliance lamp; (II) A GC–33, 1000 Independence Avenue SW, rulemakings regarding coverage of black light lamp; (III) A bug lamp; (IV) A colored Washington, DC 20585–0121. lamp; (V) An infrared lamp; (VI) A left-hand thread lamps as GSLs and GSILs, and to lamp; (VII) A marine lamp; (VIII) A marine signal Telephone: (202) 287–6122. Email: evaluate energy conservation standards service lamp; (IX) A mine service lamp; (X) A plant [email protected]. for such lamps. 42 U.S.C. 6295(i)(6)(A)– light lamp; (XI) A reflector lamp; (XII) A rough For further information on how to (B). Pursuant to this authority, DOE service lamp; (XIII) A shatter-resistant lamp submit a comment, review other public (including a shatter-proof lamp and a shatter- conducted a rulemaking to establish protected lamp); (XIV) A sign service lamp; (XV) A comments and the docket, or participate revised regulatory definitions for GSLs silver bowl lamp; (XVI) A showcase lamp; (XVII) A in the public meeting, contact the and GSILs. See 82 FR 7276 (Jan. 19, three-way incandescent lamp; (XVIII) A traffic Appliance and Equipment Standards 2017); 82 FR 7322 (Jan. 19, 2017). signal lamp; (XIX) A vibration service lamp; (XX) Program staff at (202) 287–1445 or by A G shape lamp (as defined in ANSI C78.20–2003 Subsequently, DOE conducted a and C79.1–2002[)] with a diameter of 5 inches or email: ApplianceStandardsQuestions@ rulemaking in which it withdrew these more; (XXI) A T shape lamp (as defined in ANSI ee.doe.gov. revised definitions before they took C78.20–2003 and C79.1–2002) [and] that uses not SUPPLEMENTARY INFORMATION: effect. 84 FR 46661 (Sept. 5, 2019). The more than 40 watts or has a length of more than following paragraphs provide an 10 inches; (XXII) A B, BA, CA, F, G16–1/2, G–25, Table of Contents G30, S, or M–14 lamp (as defined in ANSI C79.1– overview of the authorities and final 2002 and ANSI C78.20–2003) of 40 watts or less. I. Authority and Background rules issued by DOE relevant to the 42 U.S.C. 6291(30)(D)(ii).

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for general service lamps to establish (Mar. 17, 2016). In that NOPR, DOE 6295(i)(6)(A)(i)(II). DOE explained in the more stringent standards than EPCA stated that it would be unable to rule that the discontinuation of certain specifies, and (2) whether ‘‘the undertake any analysis regarding GSILs exemptions would render the lamps exemptions for certain incandescent and other incandescent lamps because within those exemptions GSLs, to the lamps should be maintained or of a then-applicable congressional extent they would otherwise qualify as discontinued.’’ 42 U.S.C. restriction (‘‘the Appropriations Rider’’). GSLs. For certain lamps, the 6295(i)(6)(A)(i). In developing such a See Id. at 81 FR 14528, 14540–14541. discontinuation of the exemption may rule, DOE must consider a minimum The Appropriations Rider prohibited also render the lamp a GSIL, to the efficacy standard of 45 lumens per watt expenditure of funds appropriated by extent it would otherwise qualify as a (‘‘lm/W’’). 42 U.S.C. 6295(i)(6)(A)(ii). that law to implement or enforce: (1) 10 GSIL. 82 FR 7277. DOE stated that it Further, if the Secretary determines that CFR 430.32(x), which includes would then either impose standards on the standards in effect for GSILs should maximum wattage and minimum rated these lamps pursuant to its authority to be amended, EPCA provides that a final lifetime requirements for GSILs; and (2) develop GSL standards or apply the rule must be published by January 1, standards set forth in section backstop standard prohibiting the sale 2017, with an effective date at least 325(i)(1)(B) of EPCA (42 U.S.C. of lamps not meeting a 45 lm/W efficacy three years after the date on which the 6295(i)(1)(B)), which sets minimum standard. 82 FR 7276, 7277. The final rule is published. 42 U.S.C. lamp efficiency ratings for incandescent definitions in the January 2017 Final 6295(i)(6)(A)(iii). Additionally, EPCA reflector lamps (‘‘IRLs’’). Under the Rules were to become effective on directs that the Secretary shall consider Appropriations Rider, DOE was January 1, 2020. 82 FR 7276, 7276; 82 phased-in effective dates after restricted from undertaking the analysis FR 7322, 7322. considering certain economic factors. 42 required to address the first question D. September 2019 Withdrawal Rule U.S.C. 6295(i)(6)(A)(iv). If DOE fails to presented by Congress, but was not so and Subsequent Review complete a rulemaking in accordance limited in addressing the second with 42 U.S.C. 6295(i)(6)(A)(i)–(iv), or if question—that is, DOE was not With the removal of the a final rule from the first rulemaking prevented from determining whether Appropriations Rider in the cycle does not produce savings greater the exemptions for certain incandescent Consolidated Appropriations Act, 2017, than or equal to the savings from a lamps should be maintained or DOE was no longer restricted from minimum efficacy standard of 45 lm/W, discontinued. To address that second undertaking the analysis and decision- the statute provides a ‘‘backstop’’ under question, DOE published a Notice of making required to address the first question presented by Congress—that is, which DOE must prohibit sales of GSLs Proposed Definition and Data whether to amend energy conservation that do not meet a minimum 45 lm/W Availability (‘‘NOPDDA’’), which standards for GSLs, including GSILs. standard. 42 U.S.C. 6295(i)(6)(A)(v). proposed to amend the definitions of Thus, on August 15, 2017, DOE EPCA further directs DOE to initiate GSIL, GSL, and related terms (‘‘October published a Notice of Data Availability a second rulemaking cycle by January 1, 2016 NOPDDA’’). 81 FR 71794, 71815 and request for information (‘‘NODA’’) 2020, to determine whether standards in (Oct. 18, 2016). Notably, the seeking data for GSILs and other effect for GSILs (which are a subset of Appropriations Rider originally was incandescent lamps (‘‘August 2017 GSLs) should be amended with more adopted in 2011 and was readopted and stringent maximum wattage NODA’’). 82 FR 38613. extended continuously in multiple The purpose of the August 2017 requirements than EPCA specifies, and subsequent legislative actions. It expired whether the exemptions for certain NODA was to assist DOE in determining on May 5, 2017, when the Consolidated incandescent lamps should be whether standards for GSILs should be Appropriations Act, 2017 was enacted.4 maintained or discontinued. 42 U.S.C. amended. 42 U.S.C. 6295(i)(6)(A)(i)(I). 6295(i)(6)(B)(i). As in the first C. January 2017 Final Rules Comments submitted in response to the rulemaking cycle, the scope of the August 2017 NODA also led DOE to On January 19, 2017, DOE published reconsider the decisions it had already second rulemaking is not limited to two final rules concerning the incandescent lamp technologies. 42 made with respect to the second definitions of GSL, GSIL, and related question presented to DOE (whether the U.S.C. 6295(i)(6)(B)(ii). terms. 82 FR 7276; 82 FR 7322 (‘‘January In addition to the two mandated exemptions for certain incandescent 2017 Final Rules’’). The January 2017 rulemaking cycles, under the statutory lamps should be maintained or Final Rules amended the definitions of definition of GSL, DOE has authority to discontinued). 42 U.S.C. GSIL and GSL by bringing certain include lamps as GSLs upon 6295(i)(6)(A)(i)(II). As a result of the categories of lamps within the determining that they are ‘‘used to comments received in response to the definitions of GSIL and GSL that EPCA satisfy lighting applications August 2017 NODA, DOE also re- had exempted. These two rules were traditionally served by general service assessed the legal interpretations issued simultaneously, with the first incandescent lamps.’’ 42 U.S.C. underlying certain decisions made in rule maintaining the existing exemption 6291(30)(BB)(i)(IV). the January 2017 Final Rules. for IRLs in the definition of GSL and the On February 11, 2019, DOE published B. March 2016 Notice of Proposed second rulemaking determining to a NOPR proposing to withdraw the Rulemaking and October 2016 Notice of discontinue the IRL exemption. See 82 revised definitions of GSL and GSIL, Proposed Definition and Data FR 7312; 82 FR 7323. The January 2017 and the new and revised definitions of Availability Final Rules related only to the second related terms that were to go into effect Pursuant to its statutory authority, question that Congress directed DOE to on January 1, 2020. 84 FR 3120. In a DOE published a Notice of Proposed consider, regarding whether to maintain final rule published September 5, 2019, Rulemaking on March 17, 2016 that or discontinue ‘‘exemptions’’ for certain DOE finalized the withdrawal of the addressed the first question that incandescent lamps. 42 U.S.C. definitions of GSIL, GSL, and related Congress directed it to consider— terms established in the January 2017 4 See Consolidated Appropriations Act of 2017 whether to amend energy conservation (Pub. L. 115–31, div. D, tit. III); see also Final Rules. 84 FR 46661 (‘‘September standards for GSLs (‘‘March 2016 Consolidated Appropriations Act, 2018 (Pub. L. 2019 Withdrawal Rule’’). Informed, in NOPR’’). 81 FR 14528, 14629–14630 115–141). part, by comments received in response

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to the August 2017 NODA, DOE 7037, 7041. Section 2 of the Order traditionally served by GSILs; however, concluded in the September 2019 instructs all agencies to review ‘‘existing as initially specified by EPCA, GSLs did Withdrawal Rule that maintaining the regulations, orders, guidance not include any lighting application or definitions for GSL and GSIL as documents, policies, and any other bulb shape that under 42 U.S.C. established by EPCA and not similar agency actions . . . 6291(30)(D)(ii) is not included in the discontinuing certain exemptions promulgated, issued, or adopted ‘‘general service incandescent lamp’’ pursuant to the required review under between January 20, 2017, and January definition, or any general service 42 U.S.C. 6295(i)(6)(A)(i) was the best 20, 2021, that are or may be inconsistent fluorescent lamp or incandescent reading of the statute. 84 FR 46661, with, or present obstacles to, [these reflector lamp. 42 U.S.C. 6291(30)(BB). 46665–46666. DOE also stated that it policies].’’ Id. Agencies are then EPCA defines a GSIL generally as a identified inaccuracies underlying its directed, as appropriate and consistent standard incandescent or halogen type determination to revise the definitions with applicable law, to consider lamp that is intended for general service of GSL and GSIL. 84 FR 46661, 46665. suspending, revising, or rescinding applications; has a medium screw base; Based on data received in response to these agency actions and to immediately has a lumen range of not less than 310 the August 2017 NODA, DOE learned commence work to confront the climate lumens and not more than 2,600 lumens that it had overestimated shipment crisis. Id. or, in the case of a modified spectrum numbers for candelabra base Consistent with E.O. 13990, DOE has lamp, not less than 232 lumens and not incandescent lamps by a factor of more undertaken a review of the definitions more than 1,950 lumens; and is capable than two. Id. In withdrawing the of GSL and GSIL in the September 2019 of being operated at a voltage range at definitions established in the January Withdrawal Rule and the January 2017 least partially within 110 and 130 volts. 2017 Final Rules, DOE specifically Final Rules. Although E.O. 13990 42 U.S.C. 6291(30)(D)(i). This definition addressed its determinations to triggered DOE’s review, DOE is relying does not apply, however, to the maintain the exemptions for rough on its analysis below, based on the following incandescent lamps: An service lamps; shatter-resistant lamps; language and intent of EPCA, to support appliance lamp; a black light lamp; a three-way incandescent lamps; high its decision to reconsider the September bug lamp; a colored lamp; an infrared lumen incandescent lamps (2,601–3,300 2019 Withdrawal Rule. As a result of lamp; a left-hand thread lamp; a marine lumens); vibration service lamps; T- this review, DOE rejects the alternative lamp; a marine signal service lamp; a shape lamps of 40 watts (‘‘W’’) or less interpretation of the statutory directives mine service lamp; a plant light lamp; or length of 10 inches or more; B, BA, in EPCA set forth in the September 2019 a reflector lamp; a rough service lamp; CA, F, G16–1/2, G25, G30, S, M–14 Withdrawal rule and preliminarily a shatter-resistant lamp (including a lamps of 40 W or less; candelabra base determines that DOE’s interpretation in shatter-proof lamp and a shatter- lamps; and IRLs. Id. this proposed rule is the best and proper protected lamp); a sign service lamp; a The September 2019 Withdrawal Rule reading of the statute. silver bowl lamp; a showcase lamp; a also addressed issues and comments three-way incandescent lamp; a traffic regarding the imposition of the 45 lm/ II. Synopsis of the Proposed Rule signal lamp; a vibration service lamp; a W backstop, applicability of EPCA’s In this NOPR, DOE proposes to amend G shape lamp (as defined in ANSI anti-backsliding provision at 42 U.S.C. the definitions of GSL and GSIL as C78.20 and ANSI C79.1–2002) with a 6295(o), and preemption of State previously set forth in the January 2017 diameter of 5 inches or more; a T shape regulation of lamps. 84 FR 46663– Final Rules. DOE has preliminarily lamp (as defined in ANSI C78.20 and 46665, 46669. These additional issues determined that the definitions as ANSI C79.1–2002) and that uses not are not the subject of this NOPR. DOE proposed are consistent with the more than 40 watts or has a length of has requested comments and data to congressional direction provided in more than 10 inches; and a B, BA, CA, inform further consideration of the 45 EPCA and further the purposes set forth F, G16–1/2, G–25, G30, S, or M–14 lamp lm/W backstop provision. See 86 FR in EPCA, as well as in E.O. 13990. (as defined in ANSI C79.1–2002 and 28001 (May 25, 2021). Additionally, DOE proposes to adopt ANSI C78.20) of 40 watts or less. 42 As a result of the September 2019 the supplemental definitions U.S.C. 6291(30)(D)(ii). Withdrawal Rule, the amended established in the January 2017 Final In the January 2017 Final Rules, invoking the rulemaking authority definitions of GSL and GSIL and the Rules, which relate to the proposed new and revised definitions of related afforded by EPCA in 42 U.S.C. definitions of GSL and GSIL. DOE is not terms established in the January 2017 6291(30)(BB)(i)(IV), DOE amended the proposing whether standards for GSLs, Final Rules were withdrawn prior to regulatory definition of GSL to mean a including GSILs, should be amended. going into effect. The current regulatory lamp that had an ANSI base; was able Rather, DOE is proposing the scope of definitions of GSL and GSIL are those to operate at a voltage of 12 volts or 24 lamps to be considered in such a set forth in EPCA. See 10 CFR 430.2; see volts, at or between 100 to 130 volts, at determination. also 42 U.S.C. 6291(30)(D); 42 U.S.C. or between 220 to 240 volts, or of 277 6291(30)(BB). III. General Discussion volts for integrated lamps, or was able Subsequent to the September 2019 to operate at any voltage for non- Withdrawal Rule, on January 20, 2021, A. GSL and GSIL Definitions integrated lamps; had an initial lumen President Biden issued Executive Order To provide context for this NOPR, this output of greater than or equal to 310 (‘‘E.O.’’) 13990, ‘‘Protecting Public section provides further description of lumens (or 232 lumens for modified Health and the Environment and the statutory and regulatory definitions, spectrum general service incandescent Restoring Science to Tackle the Climate as amended under the January 2017 lamps) and less than or equal to 3,300 Crisis.’’ 86 FR 7037 (Jan. 25, 2021). Final Rules and September 2019 lumens; was not a light fixture; was not Section 1 of that Order lists a number Withdrawal Rule rulemakings. an LED downlight retrofit kit; and was of policies related to the protection of EPCA defines the class of GSLs as used in general lighting applications. 82 public health and the environment, including GSILs, CFLs, general service FR 7312. General service lamps including reducing greenhouse gas LED and OLED lamps, and any other included, but were not limited to, emissions and bolstering the Nation’s lamps that DOE determines are used to general service incandescent lamps, resilience to climate change. 86 FR satisfy lighting applications compact fluorescent lamps, general

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service light-emitting diode lamps, and incandescent lamps should be and, consequently, failed to read the general service organic light-emitting discontinued. In adopting the statute in the proper context, leading to diode lamps. 82 FR 7276, 7321. rulemaking mandate, Congress provided an incorrect interpretation by DOE in As defined in the January 2017 Final DOE with the authority to adjust the 2019 that it could not exercise its Rules, GSLs did not include: (1) scope of GSLs and GSILs to ensure that authority to remove exemptions for Appliance lamps; (2) Black light lamps; the energy savings Congress intended certain incandescent lamps that are (3) Bug lamps; (4) Colored lamps; (5) G would be achieved notwithstanding the used in general lighting applications. shape lamps with a diameter of 5 inches possibility that, with the passage of The initial determination reached here or more as defined in ANSI C79.1–2002; time, different lamps might be used to to adopt the definitions established in (6) General service fluorescent lamps; satisfy lighting applications the January 2017 Final Rules best aligns (7) High intensity discharge lamps; (8) traditionally served by GSILs. 42 U.S.C. with EPCA’s goals for increasing the Infrared lamps; (9) J, JC, JCD, JCS, JCV, 6295(i)(6)(A)(i)–(ii). In disavowing energy efficiency of covered products JCX, JD, JS, and JT shape lamps that do DOE’s prior conclusions in the January through the establishment and not have Edison screw bases; (10) 2017 Final Rules, the September 2019 amendment of energy conservation Lamps that have a wedge base or Withdrawal Rule incongruously standards and promoting conservation prefocus base; (11) Left-hand thread asserted that the statutory command to measures when feasible. 42 U.S.C. 6291 lamps; (12) Marine lamps; (13) Marine DOE to determine whether to et seq., as amended. signal service lamps; (14) Mine service discontinue certain exemptions did not C. GSLs and GSILs lamps; (15) MR shape lamps that have give DOE authority to amend statutory a first number symbol equal to 16 definitions by regulation, 84 FR 46667, As discussed in section I.A, EPCA (diameter equal to 2 inches) as defined but then failed to explain what that directs DOE to initiate a rulemaking in ANSI C79.1–2002, operate at 12 volts, command does authorize. In doing so, process prior to January 1, 2014, to and have a lumen output greater than or the September 2019 Withdrawal Rule consider two questions: (1) Whether to equal to 800; (16) Other fluorescent disregarded congressional intent as amend energy conservation standards lamps; (17) Plant light lamps; (18) R20 expressed through the statutory for general service lamps and (2) short lamps; (19) Reflector lamps that language. In contrast, the position taken whether ‘‘the exemptions for certain have a first number symbol less than 16 in the January 2017 Final Rules did incandescent lamps should be (diameter less than 2 inches) as defined fulfill the intent of Congress by using maintained or discontinued.’’ 42 U.S.C. 6295(i)(6)(A)(i). In the January 2017 in ANSI C79.1– 2002 and that do not the authority granted to DOE through Final Rules, which addressed the have E26/E24, E26d, E26/50x39, E26/ EISA to achieve the energy savings for second question, DOE understood the 53x39, E29/28, E29/53x39, E39, E39d, GSLs that Congress expected. This purpose of the determinations regarding EP39, or EX39 bases; (20) S shape or G position represents the best exemptions required under section shape lamps that have a first number implementation of EPCA given the (i)(6)(A)(i)(II) of EPCA to be to ensure symbol less than or equal to 12.5 potential for lost energy savings that that a given exemption would not (diameter less than or equal to 1.5625 may result from the use of lamps in impair the effectiveness of GSL inches) as defined in ANSI C79.1–2002; general lighting applications that would standards by leaving available a (21) Sign service lamps; (22) Silver bowl not be subject to energy conservation convenient substitute that is not lamps; (23) Showcase lamps; (24) standards. As DOE understood in the Specialty MR lamps; (25) T shape lamps regulated as a GSL. DOE based its January 2017 Final Rules, EPCA decision for each exemption on an that have a first number symbol less exempted certain categories of lamps than or equal to 8 (diameter less than or assessment of whether the exemption because, on the one hand, some lamps encompasses lamps that can provide equal to 1 inch) as defined in ANSI in those categories have specialty C79.1–2002, nominal overall length less general illumination and can applications; and on the other hand, it functionally be a ready substitute for than 12 inches, and that are not compact was not clear, at the time when these fluorescent lamps; and (26) Traffic lamps already covered as GSLs. Id. A lamp provisions were originally lamp that is capable of providing signal lamps. Id.; 82 FR 7322, 7333. enacted, whether those lamps were used The January 2017 Final Rules defined general illumination has design features to satisfy lighting applications GSIL to discontinue the exemptions for that make it highly suitable for traditionally served by GSILs. 82 FR rough service lamps; shatter-resistant performing that task in the sort of 7276, 7277. The purpose, then, of the lamps; three-way incandescent lamps; application in which GSILs have determination Congress directed DOE to vibration service lamps; reflector lamps; traditionally served. 82 FR 7276, 7303. make (i.e., whether to maintain or to T-shape lamps of 40 W or less or length The technical characteristics of lamps in discontinue a given exemption (42 of 10 inches or more; and B, BA, CA, F, a given exemption and the volume of U.S.C. 6295(i)(6)(A)(i)(II))) was that DOE G16–1/2, G25, G30, S, M–14 lamps of 40 sales of those lamps were among the should assess the role of lamps of the W or less. 82 FR 7276, 7291. considerations relevant to that DOE subsequently withdrew the various exempted types in the broader assessment. 82 FR 7276, 7288. High definitions as established in the January lighting market, bearing in mind the annual sales were an indication that the 2017 Final Rules before their effective evident statutory purpose of achieving product is likely used in general lighting date and reverted to the statutory energy conservation by imposing applications, because the sales of lamps definitions. As a result, the exemptions efficiency standards for general lighting. for specialty applications tend to be from the definitions of GSL and GSIL as Id. at 82 FR 7276, 7277. That is, relatively small compared with sales for originally provided in EPCA are Congress directed DOE to evaluate general-purpose lighting. Id. DOE also currently maintained. whether the exempted lamps are being cautioned that sales data are not the used in applications in which GSILs only consideration, as it may be B. Discontinuation of Exemptions have previously been used. appropriate to discontinue an The September 2019 Withdrawal Rule In the September 2019 Withdrawal exemption even though current sales are failed to give meaningful effect to the Rule, DOE failed to properly consider relatively low, if technical statutory direction that DOE determine the congressional intent underlying characteristics of the exempted lamps whether exemptions for certain EPCA generally and EISA specifically, make them likely to serve as ready

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substitutes for GSLs once GSL standards with DOE’s determination in a final rule following paragraphs discuss the are in place. Id. published on November 14, 2013, that proposed discontinuation of the Contrary to this position, in the standards for R20 short lamps would exemptions for certain T-shape, B, BA, September 2019 Withdrawal Rule, DOE not result in significant energy savings CA, F, G16–1/2, G25, G30, S, and M–14 stated that it may have overstepped its because such lamps are designed for lamps; rough service lamps; vibration limited authority by relying on factors special applications or have special service lamps; three-way incandescent that Congress did not intend it to characteristics not available in lamps; and shatter-resistant lamps. consider. DOE further stated that it was reasonably substitutable lamp types. 78 no longer using ‘‘convenient FR 68331, 68340. 1. T-Shape, B, BA, CA, F, G16–1/2, G25, unregulated alternatives’’ as a basis As stated, GSILs are included in the G30, S, and M–14 Lamps upon which to discontinue exemptions definition of GSL. 42 U.S.C. In the January 2017 Final Rules, DOE for specialty lamp types. DOE agreed 6291(30)(BB)(i)(I). Any lamp that meets discontinued the exemptions for certain with those commenters that asserted the definition of a GSIL would be a GSL. T-shape lamps and certain B, BA, CA, this consideration went beyond the As such, consideration of whether a F, G16–1/2, G25, G30, S, and M–14 authority granted by Congress to use the GSIL exemption should be maintained, lamps. 82 FR 7276, 7294. DOE found potential that a lamp may be considered for purposes of both the GSL definition that T-shape lamps are frequently used a loophole to GSL standards as the basis and the GSIL definition, is informed, in in general lighting applications and thus for discontinuing its exemption under part, by the considerations under DOE’s present a significant risk for lamp the statute. 84 FR 46661, 46668–46669. authority to include other lamps as switching. Based on this high potential Subsequently, in the September 2019 GSLs because they ‘‘are used to satisfy for lamp switching—reflected in part by Withdrawal Rule, DOE maintained the lighting applications traditionally high sales—DOE discontinued the GSIL definitions of GSLs and GSILs. Id. served by general service incandescent exemption for these lamps. Id. Upon reviewing the September 2019 lamps.’’ 42 U.S.C. 6291(30)(BB)(i)(IV). Regarding B, BA, CA, F, G16–1/2, G25, Withdrawal Rule, DOE now recognizes Based on DOE’s review of product G30, S, and M–14 lamps, DOE noted that the analysis in that rule may have availability, technical information, and that Congress listed these lamps overlooked certain considerations and prior stakeholder comments, DOE together in paragraph (XXII), and so may not have accurately characterized preliminarily finds that the considered whether to maintain the the actions taken in the January 2017 unavailability of non-incandescent exemption for these lamps as a group. Final Rules. Certain factors were not substitutes for a given lamp suggests Id. DOE also noted that the pear shapes fully explored in the September 2019 that the lamp is not being used for and globe shapes characterized by the Withdrawal Rule and merit traditional GSIL applications. If design majority of lamps in this category would consideration in determining whether to characteristics of lamps for a given not prevent consumers from using them amend the definitions of GSL and GSIL. application are such that the non- in general service lighting applications The specific discussions from the incandescent lamp cannot be made with and found that these lamps are very September 2019 Withdrawal Rule that the same characteristics, DOE common. 82 FR 7276, 7295. DOE require further consideration are preliminarily concludes those lamps are considered the potential for lamp addressed in the appropriate sections not being used for general illumination switching through the future use of that follow. and, therefore, such lamps would be different fixtures and found there to be Based on the analysis and evaluation excluded from the definition of GSLs a potential that inclusion of some but presented in the rulemaking See 82 FR 7276, 7301. culminating in the January 2017 Final Also relevant to DOE’s consideration not all of the lamps in the group would Rules, and the discussion that follows, of whether to maintain a GSIL shift the market to the lamp or lamps DOE is proposing to define GSIL to exemption, DOE must also determine that remain exempt. Id. Accordingly, mean: A standard incandescent or what types of lighting applications have DOE discontinued exemptions in the halogen type lamp that is intended for been traditionally served by GSILs. As GSIL definition for B, BA, CA, F, G16– general service applications; has a stated in the January 2017 Final Rules, 1/2, G25, G30, S, and M–14 lamps of 40 medium screw base; has a lumen range traditionally, lamps that are standard W or less. Id. of not less than 310 lumens and not incandescent or halogen and that satisfy However, in the January 2017 Final more than 2,600 lumens or, in the case the other criteria for the definition of Rules, DOE did maintain exemptions of a modified spectrum lamp, not less GSIL in 42 U.S.C. 6291(30)(D) have from the GSL definition set forth in than 232 lumens and not more than served general lighting applications. 82 those final rules for the following lamp 1,950 lumens; and is capable of being FR 7276, 7302. By ‘‘general lighting shapes: (1) T-shape lamps that have a operated at a voltage range at least applications,’’ DOE means lighting that first number symbol less than or equal partially within 110 and 130 volts; provides an interior or exterior area to 8 (diameter less than or equal to 1 however, this definition does not apply with overall illumination. DOE inch) as defined in ANSI C79.1–2002, to the following incandescent lamps: An considers the term ‘‘overall nominal overall length less than 12 appliance lamp; a black light lamp; a illumination’’ to be similar in meaning inches, and that are not compact bug lamp; a colored lamp; a G shape to the term ‘‘general lighting’’ as defined fluorescent lamps; and (2) S-shape or G- lamp with a diameter of 5 inches or in the industry standard ANSI/IES RP– shape lamps that have a first number more as defined in ANSI C79.1–2002; an 16–10, which states that ‘‘general symbol less than or equal to 12.5 infrared lamp; a left-hand thread lamp; lighting’’ means lighting designed to (diameter less than or equal to 1.5625 a marine lamp; a marine signal service provide a substantially uniform level of inches) as defined in ANSI C79.1–2002. lamp; a mine service lamp; a plant light illuminance throughout an area, DOE concluded that those lamps should lamp; an R20 short lamp; a sign service exclusive of any provision for special not have been included in the GSL lamp; a silver bowl lamp; a showcase local requirements. definition set forth in those final rules lamp; and a traffic signal lamp. Further discussion of DOE’s because they do not and likely cannot The proposed definition explicitly consideration of including other lamps have equivalent replacements using exempts R20 short lamps to maintain an as GSLs is discussed in greater detail in more efficient technology. 82 FR 7276, exemption for these lamps consistent section III.D of this document. The 7310.

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In the September 2019 Withdrawal overall illumination (i.e., general and presented in the January 2017 Final Rule, DOE addressed the illumination). 82 FR 7276, 7294–7295. Rules, DOE has tentatively concluded discontinuation of exemptions for Regarding the form factor and size of that the basis for discontinuing the certain T-shape, B, BA, CA, F, G16–1/ certain T-shape, B, BA, CA, F, G16–1/ exemption for certain T-shape, B, BA, 2, G25, G30, S, and M–14 lamps 2, G25, G30, S, and M–14 lamps, DOE CA, F, G16–1/2, G25, G30, S, and M–14 together with candelabra base lamps, tentatively concludes that such lamps lamps in this proposal is the best stating that discontinuing the were not accurately compared to lamps interpretation of the statute. In contrast exemptions for all of these lamp that meet the current statutory to the interpretation adopted by DOE in categories was not consistent with the definition of GSIL in the September 2019, this proposal best satisfies the best reading of the statute because such 2019 Withdrawal Rule. The September intent of Congress and implements the lamps are not used in the same 2019 Withdrawal Rule stated that these objective of the statutory language of applications as the standard GSIL. 84 FR lamps have form factors not as large as EPCA to conserve energy through 46661, 46668. DOE stated that these currently defined GSILs. 84 FR 46661, regulation of certain energy uses and lamps generally provide a more limited 46668. However, DOE now recognizes provide improved energy efficiency of range of light output as compared with that the most common GSIL is an A19 certain consumer products. See 42 GSILs not subject to exemption, have shape,5 and that the G25 and G30 lamps U.S.C. 6201. Accordingly, DOE proposes form factors not as large as GSILs not have a diameter 31 percent and 57 to define these products as GSILs in this subject to exemptions, and present a percent greater, respectively, than the proposal. DOE requests information and decorative aesthetic not replicated by diameter of the A19 shape. Further, the data, if available, on sales data of T- GSILs not subject to the exemptions. Id. September 2019 Withdrawal Rule stated shape, B, BA, CA, F, G16–1/2, G25, G30, Upon further consideration, DOE has that these lamp shapes present a S, and M–14 lamps. decorative aesthetic not replicated by tentatively determined that candelabra 2. Rough Service Lamps, Vibration lamps that meet the current statutory base lamps were inappropriately Service Lamps, Three-Way Incandescent definition of GSIL. Id. DOE no longer addressed with T-shape, B, BA, CA, F, Lamps, and Shatter-Resistant Lamps G16– agrees that this statement supports Under 42 U.S.C. 6295(l)(4), DOE is 1/2, G25, G30, S, and M–14 lamps in the continued exemption, as data indicates required to undertake a rulemaking for September 2019 Withdrawal Rule. The that the decorative shape does not rough service lamps, shatter-resistant January 2017 Final Rules determined prevent consumers from using them in general service lighting applications. lamps, three-way incandescent lamps, whether T-shape, B, BA, CA, F, G16–1/ and vibration service lamps when the 2, G25, G30, S, and M–14 lamps would See 82 FR 7276, 7310. Additionally, as described previously, some lamps with sales of these lamps meet specified remain exempt from the definition of thresholds.6 DOE is also required, in GSIL, and thus were evaluated in the these shapes are currently certified as being compliant with DOE’s standards consultation with the National Electrical context of the GSIL definition. 82 FR Manufacturers Association (‘‘NEMA’’), 7276, 7297. Candelabra base lamps were for GSILs. As stated, if a more efficient version with the same shape cannot be to collect sales data for these lamps and not included in this evaluation since the construct a model to predict future lamps do not have a medium screw base made for a technical reason, DOE did not include the lamp as a GSL in the sales. 42 U.S.C. 6295(l)(4)(B). DOE must as required under the GSIL definition. then track the actual sales data, and Instead, DOE determined in the January definition adopted by the January 2017 Final Rules and similarly does not when sales exceed sales projected by the 2017 Final Rules that candelabra base model by 100 percent, DOE must lamps should be covered as GSLs. See propose to include such a lamp in the definition of GSL in this proposal. initiate an energy conservation standard 82 FR 7276, 7310. In this NOPR, DOE rulemaking. 42 U.S.C. 6295(l)(4)(D), (E), appropriately addresses in section III.D With regard to T-shape lamps, DOE finds that T-shape lamps are capable of (F), (H). If DOE does not complete the of this document candelabra base lamps accelerated rulemaking in the specified in the context of the GSL definition. providing overall illumination and therefore can readily serve general time period, it must impose a backstop Regarding the light output of certain lighting applications. See 82 FR 7276, requirement for that lamp. 42 U.S.C. T-shape, B, BA, CA, F, G16–1/2, G25, 7294. With regard to B, BA, CA, F, G16– 6295(l)(4)(D)(ii), (E)(ii), (F)(ii), (H)(ii). G30, S, and M–14 lamps, DOE 1/2, G25, G30, S, and M–14 lamps, DOE In the January 2017 Final Rules, DOE tentatively concludes that the is considering whether to maintain the determined that the rulemaking September 2019 Withdrawal Rule exemption for these lamps as a group provisions at 42 U.S.C. 6295(l)(4) were inaccurately stated that these lamps due to its concern with lamp switching. not the only way in which DOE can provide a more limited range of light As stated in the January 2017 Final regulate these lamps. 82 FR 7276, 7296. output as compared with GSILs not Rules, DOE recognizes that the lamps DOE noted that the text of 42 U.S.C. subject to exemption. However, these listed here may each not be substituted 6295(i) and 42 U.S.C. 6295(l)(4) does not lamps were only considered to the for one another in existing fixtures, but state that the 42 U.S.C. 6295(l)(4) extent that they were in the lumen range present the potential for lamp switching process operates to the exclusion of of 310–2600 per the GSIL definition. As through the future use of different regulating these lamps as GSLs and that such, in order to be included in the fixtures. 82 FR 7276, 7295. As indicated the provisions under 42 U.S.C. exemption under the statutory by the high sales data of this category 6295(l)(4) could be complementary to definition of GSIL, and therefore presented in the January 2017 Final regulation of these lamps as GSLs. Id. considered for discontinuation of the Rules (82 FR 7276, 7291), DOE Based in part on the potential for these exemption in the January 2017 Final tentatively concludes these lamps to be lamp types to serve as replacements to Rules, the lamps must have a lumen very common and usable in general output of 310 lumens or greater, 6 lighting applications. For the reasons Lamps that otherwise would be GSILs but for consistent with GSILs not subject to the having a lumen range between 2,601–3,300 discussed in the preceding paragraphs exemption. As DOE concluded in the (referred to in 42 U.S.C. 6295(l)(4) as ‘‘2,601–3,300 lumen general service incandescent lamps’’) were January 2017 Final Rules, even with a 5 See the final determination regarding energy defined in the January 2017 Final Rules as GSLs but maximum wattage limitation, these conservation standards for GSILs published on not GSILs, and therefore are not addressed in this lamps are still capable of providing December 27, 2019. 84 FR 71626. section.

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regulated GSLs, DOE discontinued the EPCA requires DOE to ‘‘prescribe an lamp with subpar performance. Id. exemption for rough service lamps, energy efficiency standard for rough Furthermore, as provided in the January shatter-resistant lamps, three-way service lamps, vibration service lamps, 2017 Final Rules, for all three of these incandescent lamps and vibration three-way incandescent lamps, 2,601– lamp types, LED versions inherently service lamps in the January 2017 Final 3,300 lumen general service provide the consumer the desired Rules. Id. incandescent lamps, and shatter- functionality in the sense that LED In the September 2019 Withdrawal resistant lamps in accordance with this lamps do not have metal filaments and Rule, DOE determined that, since these paragraph.’’ 42 U.S.C. 6295(l)(4)(A). typically do not use glass outer bulbs. lamps are subject to standards in Prior to 2012, that provision instead Id. accordance with a specific regulatory required DOE to prescribe standards for For these reasons and the basis process under 42 U.S.C. 6295(l)(4), there such lamps ‘‘only in accordance with presented in the January 2017 Final is no need to undertake an additional this paragraph.’’ 42 U.S.C. 6295(l)(4)(A) Rules, DOE proposes to discontinue the process for determining whether to (2011) (emphasis added). In exemptions for these products. establish energy conservation standards amendments under the American D. Other GSLs for these lamp types as GSLs under 42 Energy Manufacturing Technical U.S.C. 6295(i)(6)(A)(i). 84 FR 46661, Corrections Act, Public Law 112–210, As discussed, the definition of 46666. DOE explained that doing so § 10(a)(8), 126 Stat. 1513, 1524 (2012) ‘‘general service lamp’’ includes specific would potentially subject these lamps (‘‘AEMTCA’’), Congress removed the categories of lamps, along with ‘‘any types to two separate standards and word ‘‘only,’’ signaling that DOE’s other lamps that the Secretary potentially create confusion among obligation to consider discontinuing determines are used to satisfy lighting regulated entities. Id. Moreover, DOE ‘‘the exemptions for certain applications traditionally served by general service incandescent lamps.’’ 42 noted that the regime for potential incandescent bulbs’’ under 42 U.S.C. U.S.C. 6291(30)(BB)(i). In the January regulation of these lamp types was 6295(i)(6)(A)(i)(II) also applies to the 2017 Final Rules, DOE previously added to the statute in the same five tracked lamps. determined that any other lamps that enactment that required DOE to With regard to rough service lamps, consider standards for GSLs, and in are intended to serve in general lighting vibration service lamps, three-way applications and have specific features both instances the criteria stated in the incandescent lamps, and shatter- would meet the statutory criterion of statute for consideration for standards resistant lamps, as presented in the lamps used to satisfy lighting includes consideration of sales of the January 2017 Final Rules, DOE applications traditionally served by subject lamps. Id. In the September 2019 tentatively concludes that such lamps GSILs. 82 FR 7276, 7300. Withdrawal Rule, DOE read the have the potential for use in general Although DOE had determined that inclusion of sales consideration in both lighting applications traditionally several types of lamps exempted from 42 U.S.C. 6295(i)(6)(A)(i) and 42 U.S.C. served by GSILs. DOE acknowledges the statutory definition of GSL are used 6295(l)(4) as an indication that Congress that higher wattage three-way to satisfy lighting applications intended the two rulemaking provisions incandescent lamps may not be able to traditionally served by general service to be exclusive of one another. Id. be used in all existing fixtures in which incandescent lamps and therefore In this NOPR, DOE is reconsidering lamps currently defined as GSILs are should be classified as GSLs (82 FR whether the separate regulatory process used (e.g., A19 shape lamps). However, 7276, 7300–7312), the September 2019 under 42 U.S.C. 6295(l)(4) precludes the ability to serve as a lighting Withdrawal Rule limited consideration these lamp types from becoming GSILs, application traditionally served by of such lamps to only candelabra base and subsequently GSLs. The September GSILs is not limited by existing fixtures. lamps. Then, with respect to candelabra 2019 Withdrawal Rule did not consider As discussed, the fixtures used to serve base lamps, the September 2019 that other lamps potentially subject to general lighting applications may Withdrawal Rule concluded that, as a standards as GSLs also have statutorily change over time, and therefore DOE pure matter of law, a candelabra base prescribed standards, namely, GSILs considers whether a lamp can provide lamp cannot be a GSIL because EPCA and medium base CFLs. See Section general illumination as a criterion for defines a GSIL, in part, as having a 321(a)(3) of the Energy Independence discontinuing an exemption. Regarding medium-screw base. 84 FR 46661, and Security Act of 2007 (Pub. L. 110– the shatter-resistant lamps, such lamps 46668–46669. The September 2019 7 140; ‘‘EISA’’); 42 U.S.C. 6295(bb). That are capable of providing overall Withdrawal Rule also suggested that lamps subject to statutory standards are illumination despite the lower lumen data submitted by NEMA in response to also expressly GSLs subject to GSL output resulting from the shatter- the NOPR to withdraw the January 2017 standards indicates that coverage under resistant coating. DOE has also found Final Rules indicated that shipments of more than one statutory scheme is not that a 60 W shatter-resistant lamp is still candelabra base incandescent lamps had precluded under the statute. a suitable replacement for a 40 W been in a continuous decline since 2011 Further, upon a review of how standard incandescent lamp. See 82 FR and there was no evidence of increasing Congress has amended EPCA, DOE has 7276, 7297. Shatter-resistant lamps are shipments. 84 FR 46661, 46669. Because tentatively concluded that standards for similar to rough service and vibration sales data is the one explicit factor these exempt lamp types are not to be service lamps. Whereas rough service Congress provided in determining developed only in accordance with 42 and vibration service lamps possess a whether exemptions for certain U.S.C. 6295(l)(4)(A). Section 325(l)(4) of filament strengthened with additional incandescent lamps should be supports, shatter-resistant lamps possess maintained or discontinued in 42 U.S.C. 7 Section 321 added statutorily prescribed standards for GSILs as section 325(i)(1)(A) of EPCA. a reinforced outer bulb to contain glass 6295(i)(6)(A)(i)(II), DOE gave this But because of an apparent conflict with Section pieces in the event that the bulb breaks. manufacturer data considerable weight 322(b) of EISA, which purported to strike section As stated in the January 2017 Final in the September 2019 Withdrawal 325(i)(1) in its entirety and replace it with a Rules, for all three lamp types, the Rule. 84 FR 46661, 46669. different text, this provision was never codified in the U.S. Code. DOE has issued regulations consumer may be under the impression The September 2019 Withdrawal Rule implementing this uncodified provision at 10 CFR that they are purchasing primarily a also stated that DOE was no longer 430.32(x). more durable product rather than a using ‘‘convenient unregulated

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alternatives’’ as a basis upon which to provided by A shape lamps in floor and serve in general lighting applications discontinue exemptions for specialty table fixtures is being provided in newer and that has the following basic lamp types. 84 FR 46661, 46668. DOE construction through reflector lamps in characteristics: (1) An ANSI base (with explained that this type of consideration recessed lighting. Id. DOE expects that the exclusion of light fixtures, LED was not explicitly provided in the markets will shift in response to GSL downlight retrofit kits, and exemptions statute and agreed with commenters that standards, and would expect some for specific base types); (2) a lumen such consideration went beyond the substitution of fixtures to occur as part output of greater than or equal to 310 authority granted DOE by Congress. 84 of substituting non-GSL lamps for GSLs. lumens and less than or equal to 3,300 FR 46661, 46668–46669. While NEMA has cited declining lumens; (3) an ability to operate at or Upon further review, the arguments shipments as a reason to not between 12 V, 24 V, 100 to 130 V, 220 presented in the September 2019 discontinue an exemption, declining to 240 V, or 277 V; and (4) no Withdrawal Rule incorrectly describe shipments do not correlate to a decline designation or label for use in non- the rationale for including candelabra in the demand for lighting in a general applications. base lamps as GSLs in the January 2017 particular application. NEMA has Regarding the fourth criteria, as in the Final Rules. The arguments address submitted data showing that GSIL January 2017 Final Rules, DOE proposes discontinuing an exemption from the shipments in 2018 were 17 percent of listing in the GSL definition each of the GSIL definition; however, in the January what they were in 2001. NEMA, No. 88 non-general applications identified or 2017 Final Rules, candelabra base lamps at p. 23.8 However, DOE does not lamps used in such applications in were determined to be GSLs under the believe that this translates to an 83 order to clearly define the scope of the provision of the GSL definition that percent decrease in demand for light in definition. Specifically, DOE proposes includes any other lamps that the general lighting applications. It is more that ‘‘general service lamp’’ does not Secretary determines are used to satisfy likely that consumers are switching to include: Appliance lamps; black light lighting applications traditionally other products that serve in the same lamps; bug lamps; colored lamps; G served by general service incandescent application. NEMA stated that it expects shape lamps with a diameter of 5 inches lamps. 82 FR 7276, 7312; See also 42 71 percent of GSL sockets to be or more as defined in ANSI C79.1–2002; U.S.C. 6291(30)(BB)(i)(IV). Candelabra occupied by LED lamps and 19 percent general service fluorescent lamps; high base lamps are not covered under the to be occupied by CFLs by the end of intensity discharge lamps; infrared definition of GSILs because they do not 2021, increasing to 87 percent and 7 lamps; J, JC, JCD, JCS, JCV, JCX, JD, JS, have a medium screw base (See 42 percent respectively by the end of 2023. and JT shape lamps that do not have U.S.C. 6291(30)(D)(i)(II)), but the NEMA, No. 88 at p. 4.9 As lamps Edison screw bases; lamps that have a January 2017 Final Rules did not continue to be purchased in general wedge base or prefocus base; left-hand consider candelabra base lamps to be lighting applications, the demand for thread lamps; marine lamps; marine GSILs. Instead, such lamps were light remains; thus, declining signal service lamps; mine service covered as GSLs. 82 FR 7276, 7312. incandescent lamp shipments is not, on lamps; MR shape lamps that have a first DOE has preliminarily reverted to its its own, an indication that the lamp is number symbol equal to 16 (diameter position from the January 2017 Final a specialty product or serves in a equal to 2 inches) as defined in ANSI Rules that relevant criteria for specialty application. C79.1–2002, operate at 12 volts, and discontinuing an exemption for an DOE has reviewed the definition of have a lumen output greater than or incandescent lamp are whether the equal to 800; other fluorescent lamps; GSL as set forth in the January 2017 exemption encompasses lamps that can plant light lamps; R20 short lamps; Final Rules and has preliminarily provide general illumination and reflector lamps that have a first number determined that the definition is whether the exempt lamps can symbol less than 16 (diameter less than consistent with the best reading of functionally be ready substitutes for 2 inches) as defined in ANSI C79.1– EPCA because it implements the lamps already covered as GSLs. 82 FR 2002, and that do not have E26/E24, objectives of the statute. DOE has 7276, 7288. It may be appropriate to E26d, E26/50x39, E26/53x39, E29/28, considered all aspects of the GSL discontinue an exemption even though E29/53x39, E39, E39d, EP39, or EX39 definition and has preliminarily current sales are relatively low, if bases; S shape or G shape lamps that identified the criteria pertinent to lamps technical characteristics of the have a first number symbol less than or exempted lamps make them likely to that serve in general lighting equal to 12.5 (diameter less than or serve as ready substitutes for GSLs once applications and also preliminarily equal to 1.5625 inches) as defined in GSL standards are in place. Further, for identified specialty products that ANSI C79.1–2002; sign service lamps; a lamp to satisfy a lighting application should be exempt from the definition of silver bowl lamps; showcase lamps; traditionally served by general service GSL. Based on the discussion presented specialty MR lamps; T-shape lamps that incandescent lamps, the lamp does not in this NOPR and that presented in the have a first number symbol less than or have to fit into an existing fixture served January 2017 Final Rules, DOE proposes equal to 8 (diameter less than or equal by a lamp currently defined as a GSL. a definition of GSL as set forth in the to 1 inch) as defined in ANSI C79.1– As discussed, DOE has evaluated January 2017 Final Rules, which 2002, nominal overall length less than whether a lamp is capable of providing included candelabra base lamps and 12 inches, and that are not compact overall illumination. In the January other lamps as GSLs based on the use fluorescent lamps; and traffic signal 2017 Final Rules, DOE did not limit its of such lamps to satisfy lighting lamps. As discussed in the following consideration of an application applications traditionally served by section, the proposed definition of GSL traditionally served by GSIL to the GSILs. does not maintain the existing ability to replace a lamp in a fixture DOE is proposing to define ‘‘general exemption for IRLs. currently used by a consumer that had service lamp’’ as a lamp intended to been using a traditional incandescent E. Incandescent Reflector Lamps lamp. 82 FR 7276, 7293. DOE noted in 8 This comment was submitted in response to In the January 2017 Final Rules, DOE DOE’s proposal in September 2019 to not amend the January 2017 Final Rules, and standards for GSILs. See docket number EERE– found that IRLs are widely used for reaffirms in this proposal, that lighting 2019–BT–STD–0022. general illumination just as GSILs are. in homes that traditionally was 9 Id. 82 FR 7322, 7325. DOE continued that,

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if EPCA mandated that IRLs continue the statute, once from the GSIL In this NOPR, DOE is proposing being exempt from the definition of definition in 42 U.S.C. supporting definitions for those terms as GSL, then they would present a 6291(30)(D)(ii)(XI) and once from the set forth in the January 2017 Final convenient alternative product, subject GSL definition in 42 U.S.C. Rules. DOE notes that the terms for to much less stringent standards than 6291(30)(BB)(ii)(II), that means Congress which definitions are proposed are used GSLs. Id. DOE further found that the did not want the Secretary to include both in the statutory definitions of GSL statute did not unambiguously indicate IRLs within the definition of GSL. 84 FR and GSIL, and the proposed regulatory that DOE must maintain the IRL 46661, 46666. However, the definitions for GSL and GSIL. As exemption. Id. DOE acknowledged that authorization in EPCA for the Secretary presented in the January 2017 Final the statute exempts IRLs from the to evaluate whether an exemption is to Rules, DOE has based the proposed definition of GSL and separately be continued does not limit such an definitions for these supplementary exempts ‘‘reflector lamps’’ from the evaluation to those lamps exempted by terms on a review of the market and definition of GSL because reflector definition only once. Therefore, in this input from stakeholders. 82 FR 7276, lamps are a bulb shape excluded from NOPR, DOE is reviewing its position in 7312–7316. As the supporting the GSIL definition. Id. See also 42 the September 2019 Withdrawal Rule definitions define statutory terms, DOE U.S.C. 6291(30)(BB)(ii)(II); 42 U.S.C. that EPCA precludes consideration of initially finds these definitions 6291(30)(D)(ii)(XI). However, DOE the exemption for IRLs simply because necessary even in the absence of found the reference to ‘‘reflector lamps’’ they were exempted twice. 42 U.S.C. amended GSL and GSIL definitions. in the GSIL list of exempted lamps to be 6295(i)(6)(A)(i)(II) authorizes DOE to of a narrower scope than IRLs. 82 FR decide not to maintain IRLs as exempt G. Proposed Effective Date 7322, 7325–7326. and, as such, DOE proposes to amend For the proposed changes to amend Based on its reading of EPCA and the the definitions of GSIL and GSL to the definition of GSL and GSIL in this listing of ‘‘reflector lamp’’ as a lamp discontinue the exemptions for these NOPR, DOE is proposing a 60-day exempted from the definition of GSIL products. As also presented in the effective date. If finalized, lamps (42 U.S.C. 6291(30)(D)(ii)(XI)) and the January 2017 Final Rules, DOE proposes included in these amended definitions exemption of ‘‘incandescent reflector to exempt from the definition of GSL would be subject to any applicable lamps’’ from the definition of GSL (42 reflector lamps that have a first number standards for GSLs and GSILs. While U.S.C. 6291(30)(BB)(ii)(II)), DOE symbol less than 16 (diameter less than this notice does not propose any new or understands that it had two tasks 2 inches) as defined in ANSI C79.1– amended standards or address the regarding exemptions relevant for these 2002 and that do not have E26/24, E26d, applicability of the 45 lm/W backstop lamps: With respect to ‘‘reflector E26/50x39, E26/53x39, E29/28, E29/ requirement, DOE is reconsidering its lamps,’’ DOE’s task is to assess whether 53x39, E39, E39d, EP39, or EX39 bases previous conclusion regarding the as one of the relatively narrow twenty- because they do not and likely cannot applicability of EPCA’s 45 lm/W two listed lamp types—the scope of have equivalent replacements using backstop provision and has issued an which the statute does not make clear— more efficient technology. 82 FR 7276, RFI to that effect. 86 FR 28001 (May 25, these lamps have uses in general 7310. This is consistent with the 2021). In that rulemaking, DOE will illumination, and whether sales data definitions adopted in the January 2017 address application of standards for and other evidence indicate that such Final Rules. those lamps proposed in this NOPR to lamps are ready substitutes for lamps F. Supplemental Definitions be GSLs or GSILs—including, if that are already included as GSLs; and determined to be applicable, the In the January 2017 Final Rules, DOE for IRLs, DOE was required to analyze implementation of the 45 lm/W set forth a series of definitions in whether, in light of sales data and other backstop requirement—and, support of the statutory use of the terms evidence, such lamps are an important consequently, the dates of required and the amended definitions for GSL enough substitute for lamps already compliance for GSLs and GSILs. and GSIL. Specifically, DOE set forth included as GSLs to warrant DOE requests comment on the definitions for ‘‘Black light lamp,’’ ‘‘Bug discontinuing their exemption. 82 FR effective date for the definitions lamp,’’ ‘‘Colored lamp,’’ ‘‘General 7322, 7326. DOE determined in both proposed in this NOPR were such service light-emitting diode (LED) instances that the discontinuation of the definitions to be made final. exemption was warranted. 82 FR 7276, lamp,’’ ‘‘General service organic 7293; 82 FR 7322, 7329–7330. lighting-emitting diode (OLED) lamp,’’ IV. Procedural Issues and Regulatory In the September 2019 Withdrawal ‘‘Infrared lamp,’’ ‘‘Integrated lamp,’’ Review Rule, DOE stated that, upon additional ‘‘LED Downlight Retrofit Kit,’’ review, DOE understands Congress’s ‘‘Lefthand thread lamp,’’ ‘‘Light A. Review Under Executive Orders express statements in two distinct fixture,’’ ‘‘Marine lamp,’’ ‘‘Marine signal 12866 provisions that IRLs are not GSLs service lamp,’’ ‘‘Mine service lamp,’’ The Office of Information and should be interpreted as meaning that ‘‘Nonintegrated lamp,’’ ‘‘Other Regulatory Affairs (‘‘OIRA’’) in the Congress intended that DOE not fluorescent lamp,’’ ‘‘Pin base lamp,’’ Office of Management and Budget consider IRLs to be GSLs. 84 FR 46661, ‘‘Plant light lamp,’’ ‘‘Reflector lamp,’’ (‘‘OMB’’) waived Executive Order 12866 46667. DOE noted that it continues to ‘‘Showcase Lamp,’’ ‘‘Sign service lamp,’’ (‘‘E.O.’’) 12866, ‘‘Regulatory Planning have the authority to establish energy ‘‘Silver bowl lamp,’’ ‘‘Specialty MR and Review’’ review of this rule. conservation standards applicable to lamp,’’ and ‘‘Traffic signal lamp.’’ DOE B. Review Under the Regulatory IRLs under separate requirements set by also revised the definition of ‘‘designed Flexibility Act Congress in 42 U.S.C. 6295(i)(3). Id. and marketed.’’ 82 FR 7276, 7321–7322. Upon further review, DOE is In the September 2019 Withdrawal The Regulatory Flexibility Act (5 reconsidering whether DOE has the Rule, DOE withdrew the supporting U.S.C. 601 et seq., as amended by the authority to include IRLs as GSILs and/ definitions finding them no longer Small Business Regulatory Enforcement or GSLs. The September 2019 necessary given the withdrawal of the Fairness Act of 1996) requires Withdrawal Rule concluded that amended definitions of GSL and GSIL. preparation of an initial regulatory because IRLs were twice excluded from 84 FR 46661, 46662. flexibility analysis (‘‘IRFA’’) for any rule

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that by law must be proposed for public procedures. DOE has established to have an accountable process to comment, unless the agency certifies regulations for the certification and ensure meaningful and timely input by that the rule, if promulgated, will not recordkeeping requirements for all State and local officials in the have a significant economic impact on covered consumer products and development of regulatory policies that a substantial number of small entities. A commercial equipment. 76 FR 12422 have Federalism implications. On regulatory flexibility analysis examines (Mar. 7, 2011); 80 FR 5099 (Jan. 30, March 14, 2000, DOE published a the impact of the rule on small entities 2015). The collection-of-information statement of policy describing the and considers alternative ways of requirement for the certification and intergovernmental consultation process reducing negative effects. Also, as recordkeeping is subject to review and it will follow in the development of required by E.O. 13272, ‘‘Proper approval by OMB under the Paperwork such regulations. 65 FR 13735. DOE has Consideration of Small Entities in Reduction Act (‘‘PRA’’). This examined this proposed rule and has Agency Rulemaking,’’ 67 FR 53461 requirement has been approved by OMB tentatively determined that it would not (Aug. 16, 2002), DOE published under OMB control number 1910–1400. have a substantial direct effect on the procedures and policies on February 19, Public reporting burden for the States, on the relationship between the 2003, to ensure that the potential certification is estimated to average 35 national government and the States, or impacts of its rules on small entities are hours per response, including the time on the distribution of power and properly considered during the for reviewing instructions, searching responsibilities among the various rulemaking process. 68 FR 7990. DOE existing data sources, gathering and levels of government. EPCA governs and has made its procedures and policies maintaining the data needed, and prescribes Federal preemption of State available on the Office of the General completing and reviewing the collection regulations as to energy conservation for Counsel’s website (https://energy.gov/ of information. the products that are the subject of this gc/office-general-counsel). Notwithstanding any other provision proposed rule. States can petition DOE DOE reviewed the definitions of GSL, of the law, no person is required to for exemption from such preemption to GSILs, and related terms proposed in respond to, nor shall any person be the extent, and based on criteria, set this NOPR under the provisions of the subject to a penalty for failure to comply forth in EPCA. 42 U.S.C. 6297. Regulatory Flexibility Act and the with, a collection of information subject Therefore, no further action is required procedures and policies published on to the requirements of the PRA, unless by Executive Order 13132. February 19, 2003. DOE certifies that that collection of information displays a this proposed rule would not have a currently valid OMB Control Number. F. Review Under Executive Order 12988 significant economic impact on a With respect to the review of existing D. Review Under the National substantial number of small entities. regulations and the promulgation of Environmental Policy Act of 1969 DOE notes that this proposed rule new regulations, Section 3(a) of E.O. would merely define what constitutes a DOE is analyzing this proposed 12988, ‘‘Civil Justice Reform,’’ imposes GSL and GSIL. Manufacturers of GSLs regulation in accordance with the on Federal agencies the general duty to and GSILs are required to use DOE’s test National Environmental Policy Act adhere to the following requirements: procedures to make representations and (‘‘NEPA’’) and DOE’s NEPA (1) Eliminate drafting errors and certify compliance with standards, if implementing regulations (10 CFR part ambiguity, (2) write regulations to required. The test procedure 1021). DOE’s regulations include a minimize litigation, (3) provide a clear rulemakings for CFLs, integrated LED categorical exclusion for rulemakings legal standard for affected conduct lamps, and other GSLs addressed interpreting or amending an existing rather than a general standard, and (4) impacts on small businesses due to test rule or regulation that does not change promote simplification and burden procedure requirements. 81 FR 59386 the environmental effect of the rule or reduction. 61 FR 4729 (Feb. 7, 1996). (Aug. 29, 2016); 81 FR 43404 (July 1, regulation being amended. 10 CFR part Regarding that Section 3(a) review, 2016); 81 FR 72493 (Oct. 20, 2016). 1021, subpart D, appendix A5. DOE section 3(b) of E.O. 12988 specifically Further, as noted, DOE is considering anticipates that this proposed requires that Executive agencies make EPCA’s 45 lm/W backstop requirement rulemaking qualifies for categorical every reasonable effort to ensure that the for GSLs and has issued an RFI to that exclusion A5 because it is an regulation: (1) Clearly specifies the effect. 86 FR 28001. In that rulemaking, interpretive rulemaking that does not preemptive effect, if any, (2) clearly DOE plans to address the impact on change the environmental effect of the specifies any effect on existing Federal small business manufacturers of GSLs rule and otherwise meets the law or regulation, (3) provides a clear and GSILs of implementing the requirements for application of a legal standard for affected conduct backstop. categorical exclusion. See 10 CFR while promoting simplification and For this reason, DOE concludes and 1021.410. DOE will complete its NEPA burden reduction, (4) specifies the certifies that the proposed definitions review before issuing the final rule. retroactive effect, if any, (5) adequately would not have a significant economic defines key terms, and (6) addresses E. Review Under Executive Order 13132 impact on a substantial number of small other important issues affecting clarity entities, and the preparation of an IRFA E.O. 13132, ‘‘Federalism,’’ 64 FR and general draftsmanship under any is not warranted. 43255 (Aug. 10, 1999), imposes certain guidelines issued by the Attorney requirements on Federal agencies General. Section 3(c) of Executive Order C. Review Under the Paperwork formulating and implementing policies 12988 requires Executive agencies to Reduction Act or regulations that preempt State law or review regulations in light of applicable Manufacturers of GSLs must certify to that have Federalism implications. The standards in Section 3(a) and Section DOE that their products comply with Executive Order requires agencies to 3(b) to determine whether they are met any applicable energy conservation examine the constitutional and statutory or it is unreasonable to meet one or standards. In certifying compliance, authority supporting any action that more of them. DOE has completed the manufacturers must test their products would limit the policymaking discretion required review and determined that, to according to the DOE test procedures for of the States and to carefully assess the the extent permitted by law, this GSLs and GSILs, including any necessity for such actions. The proposed rule meets the relevant amendments adopted for those test Executive Order also requires agencies standards of E.O. 12988.

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G. Review Under the Unfunded DOE has determined that this proposed energy. Accordingly, DOE has not Mandates Reform Act of 1995 rule would not result in any takings that prepared a Statement of Energy Effects Title II of the Unfunded Mandates might require compensation under the on this proposed rule. Reform Act of 1995 (‘‘UMRA’’) requires Fifth Amendment to the U.S. Constitution. L. Review Under Section 32 of the each Federal agency to assess the effects Federal Energy Administration Act of of Federal regulatory actions on State, J. Review Under the Treasury and 1974 local, and Tribal governments and the General Government Appropriations private sector. Public Law 104–4, Act, 2001 Under Section 301 of the Department section 201 (codified at 2 U.S.C. 1531). Section 515 of the Treasury and of Energy Organization Act (Pub. L. 95– For a proposed regulatory action likely General Government Appropriations 91; 42 U.S.C. 7101), DOE must comply to result in a rule that may cause the Act, 2001 (44 U.S.C. 3516 note) provides with section 32 of the Federal Energy expenditure by State, local, and Tribal for Federal agencies to review most Administration Act of 1974, as amended governments, in the aggregate, or by the disseminations of information to the by the Federal Energy Administration private sector of $100 million or more public under information quality Authorization Act of 1977. 15 U.S.C. in any one year (adjusted annually for guidelines established by each agency 788 (‘‘FEAA’’). Section 32 essentially inflation), section 202 of UMRA requires pursuant to general guidelines issued by provides in relevant part that, where a a Federal agency to publish a written OMB. OMB’s guidelines were published proposed rule authorizes or requires use statement that estimates the resulting at 67 FR 8452 (Feb. 22, 2002), and of commercial standards, the notice of costs, benefits, and other effects on the DOE’s guidelines were published at 67 proposed rulemaking must inform the national economy. 2 U.S.C. 1532(a), (b). FR 62446 (Oct. 7, 2002). Pursuant to public of the use and background of The UMRA also requires a Federal OMB Memorandum M–19–15, such standards. In addition, Section agency to develop an effective process Improving Implementation of the 32(c) requires DOE to consult with the to permit timely input by elected Information Quality Act (April 24, Attorney General and the Chairman of officers of State, local, and Tribal 2019), DOE published updated the Federal Trade Commission (‘‘FTC’’) governments on a proposed ‘‘significant guidelines which are available at concerning the impact of the intergovernmental mandate,’’ and www.energy.gov/sites/prod/files/2019/ commercial or industry standards on requires an agency plan for giving notice 12/f70/DOE%20Final competition. This proposal to amend and opportunity for timely input to %20Updated%20IQA%20 the definitions of GSL and GSIL does potentially affected small governments Guidelines%20Dec%202019.pdf. DOE not propose the use of any commercial before establishing any requirements has reviewed this NOPR under the OMB standards. that might significantly or uniquely and DOE guidelines and has concluded affect them. On March 18, 1997, DOE that it is consistent with applicable M. Materials Incorporated by Reference published a statement of policy on its policies in those guidelines. The proposed modifications to the process for intergovernmental definition of ‘‘general service lamp’’ and consultation under UMRA. 62 FR K. Review Under Executive Order 13211 the associated supporting definitions 12820. DOE’s policy statement is also E.O. 13211, ‘‘Actions Concerning reference the following commercial available at https://energy.gov/sites/ Regulations That Significantly Affect standards that are already incorporated prod/files/gcprod/documents/umra_ Energy Supply, Distribution, or Use,’’ 66 by reference in 10 CFR 430.2: 97.pdf. FR 28355 (May 22, 2001), requires This proposed rulemaking does not Federal agencies to prepare and submit (1) ANSI C78.20–2003, Revision of contain a Federal intergovernmental to OIRA at OMB, a Statement of Energy ANSI C78.20–1995 (‘‘ANSI C78.20’’), mandate, nor is it expected to require Effects for any proposed significant American National Standard for electric expenditures of $100 million or more in energy action. A ‘‘significant energy lamps—A, G, PS, and Similar Shapes any one year by the private sector. As action’’ is defined as any action by an with E26 Medium Screw Bases, a result, the analytical requirements of agency that promulgates or is expected approved October 30, 2003. UMRA do not apply. to lead to promulgation of a final rule, (2) ANSI C79.1–2002, American and that (1) is a significant regulatory H. Review Under the Treasury and National Standard for Electric Lamps— action under Executive Order 12866, or Nomenclature for Glass Bulbs Intended General Government Appropriations any successor order; and (2) is likely to Act, 1999 for Use with Electric Lamps, approved have a significant adverse effect on the September 16, 2002. Section 654 of the Treasury and supply, distribution, or use of energy, or General Government Appropriations (3) is designated by the Administrator of (3) CIE 13.3–1995 (‘‘CIE 13.3’’), Act, 1999 (Pub. L. 105–277) requires OIRA as a significant energy action. For Technical Report: Method of Measuring Federal agencies to issue a Family any proposed significant energy action, and Specifying Colour Rendering Policymaking Assessment for any rule the agency must give a detailed Properties of Light Sources, 1995, ISBN that may affect family well-being. This statement of any adverse effects on 3 900 734 57 7. proposed rulemaking would not have energy supply, distribution, or use DOE has evaluated these standards any impact on the autonomy or integrity should the proposal be implemented, and is unable to conclude whether they of the family as an institution. and of reasonable alternatives to the fully comply with the requirements of Accordingly, DOE has concluded that it action and their expected benefits on Section 32(b) of the FEAA (i.e., that they is not necessary to prepare a Family energy supply, distribution, and use. were developed in a manner that fully Policymaking Assessment. DOE has tentatively concluded that provides for public participation, this regulatory action, which proposes comment, and review). DOE will I. Review Under Executive Order 12630 amended definitions for GSL and GSIL, consult with both the Attorney General Pursuant to E.O. 12630, ‘‘Govern- is not a significant energy action and the Chairman of the FTC mental Actions and Interference with because the proposed definitions are not concerning the impact of these test Constitutionally Protected Property likely to have a significant adverse effect procedures on competition, prior to Rights,’’ 53 FR 8859 (Mar. 15, 1988), on the supply, distribution, or use of adopting a final rule.

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V. Public Participation general statements by participants, and documents attached to your comment. encourage all interested parties to share Any information that you do not want A. Attendance at the Webinar their views on issues affecting this to be publicly viewable should not be The time and date of the webinar rulemaking. Each participant will be included in your comment, nor in any meeting are listed in the DATES section allowed to make a general statement document attached to your comment. at the beginning of this document. (within time limits determined by DOE), Otherwise, persons viewing comments Webinar registration information, before the discussion of specific topics. will see only first and last names, participant instructions, and DOE will permit, as time permits, other organization names, correspondence information about the capabilities participants to comment briefly on any containing comments, and any available to webinar participants will be general statements. documents submitted with the published on DOE’s website: https:// At the end of all prepared statements comments. www1.eere.energy.gov/buildings/ on a topic, DOE will permit participants Do not submit to www.regulations.gov appliance_standards/standards.aspx? to clarify their statements briefly. information for which disclosure is productid=4 Participants are Participants should be prepared to restricted by statute, such as trade responsible for ensuring their systems answer questions by DOE and by other secrets and commercial or financial are compatible with the webinar participants concerning these issues. information (hereinafter referred to as software. DOE representatives may also ask Confidential Business Information B. Procedure for Submitting Prepared questions of participants concerning (‘‘CBI’’)). Comments submitted through General Statements for Distribution other matters relevant to this www.regulations.gov cannot be claimed rulemaking. The official conducting the as CBI. Comments received through the Any person who has an interest in the webinar/public meeting will accept website will waive any CBI claims for topics addressed in this notice, or who additional comments or questions from the information submitted. For is a representative of a group or class of those attending, as time permits. The information on submitting CBI, see the persons that has an interest in these presiding official will announce any Confidential Business Information issues, may request an opportunity to further procedural rules or modification section. make an oral presentation at the of the above procedures that may be DOE processes submissions made webinar. Such persons may submit to needed for the proper conduct of the through www.regulations.gov before ApplianceStandardsQuestions@ webinar/public meeting. posting. Normally, comments will be ee.doe.gov. Persons who wish to speak A transcript of the webinar/public posted within a few days of being should include with their request a meeting will be included in the docket, submitted. However, if large volumes of computer file in WordPerfect, Microsoft which can be viewed as described in the comments are being processed Word, PDF, or text (ASCII) file format Docket section at the beginning of this simultaneously, your comment may not that briefly describes the nature of their proposed rulemaking. In addition, any be viewable for up to several weeks. interest in this rulemaking and the person may buy a copy of the transcript Please keep the comment tracking topics they wish to discuss. Such from the transcribing reporter. number that www.regulations.gov persons should also provide a daytime provides after you have successfully D. Submission of Comments telephone number where they can be uploaded your comment. reached. DOE will accept comments, data, and Submitting comments via email. information regarding this proposed Comments and documents submitted C. Conduct of the Webinar rule before or after the public meeting, via email also will be posted to DOE will designate a DOE official to but no later than the date provided in www.regulations.gov. If you do not want preside at the webinar/public meeting the DATES section at the beginning of your personal contact information to be and may also use a professional this proposed rule. Interested parties publicly viewable, do not include it in facilitator to aid discussion. The may submit comments, data, and other your comment or any accompanying meeting will not be a judicial or information using any of the methods documents. Instead, provide your evidentiary-type public hearing, but described in the ADDRESSES section at contact information in a cover letter. DOE will conduct it in accordance with the beginning of this document. Include your first and last names, email section 336 of EPCA (42 U.S.C. 6306). A Submitting comments via address, telephone number, and court reporter will be present to record www.regulations.gov. The optional mailing address. The cover the proceedings and prepare a www.regulations.gov web page will letter will not be publicly viewable as transcript. DOE reserves the right to require you to provide your name and long as it does not include any schedule the order of presentations and contact information. Your contact comments. to establish the procedures governing information will be viewable to DOE Include contact information each time the conduct of the webinar/public Building Technologies staff only. Your you submit comments, data, documents, meeting. There shall not be discussion contact information will not be publicly and other information to DOE. No of proprietary information, costs or viewable except for your first and last telefacsimiles (‘‘faxes’’) will be prices, market share, or other names, organization name (if any), and accepted. commercial matters regulated by U.S. submitter representative name (if any). Comments, data, and other antitrust laws. After the webinar/public If your comment is not processed information submitted to DOE meeting and until the end of the properly because of technical electronically should be provided in comment period, interested parties may difficulties, DOE will use this PDF (preferred), Microsoft Word or submit further comments on the information to contact you. If DOE Excel, WordPerfect, or text (ASCII) file proceedings and any aspect of the cannot read your comment due to format. Provide documents that are not rulemaking. technical difficulties and cannot contact secured, that are written in English, and The webinar/public meeting will be you for clarification, DOE may not be that are free of any defects or viruses. conducted in an informal, conference able to consider your comment. Documents should not contain special style. DOE will present summaries of However, your contact information characters or any form of encryption comments received before the webinar/ will be publicly viewable if you include and, if possible, they should carry the public meeting, allow time for prepared it in the comment itself or in any electronic signature of the author.

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Campaign form letters. Please submit Signed in Washington, DC, on August 10, maintained throughout all modes of campaign form letters by the originating 2021. operation): organization in batches of between 50 to Treena V. Garrett, (1) A CRI less than 40, as determined 500 form letters per PDF or as one form Federal Register Liaison Officer, U.S. according to the method set forth in CIE letter with a list of supporters’ names Department of Energy. Publication 13.3 (incorporated by compiled into one or more PDFs. This For the reasons set forth in the reference; see § 430.3); or reduces comment processing and preamble, DOE proposes to amend part (2) A CCT less than 2,500 K or greater posting time. 430 of chapter II, subchapter D, of title than 7,000 K. Confidential Business Information. 10 of the Code of Federal Regulations, * * * * * Pursuant to 10 CFR 1004.11, any person as set forth below: Designed and marketed means submitting information that he or she exclusively designed to fulfill the believes to be confidential and exempt PART 430—ENERGY CONSERVATION indicated application and, when by law from public disclosure should PROGRAM FOR CONSUMER distributed in commerce, designated submit via email two well-marked PRODUCTS and marketed solely for that application, copies: one copy of the document with the designation prominently marked ‘‘confidential’’ including all the ■ 1. The authority citation for part 430 displayed on the packaging and all information believed to be confidential, continues to read as follows: publicly available documents (e.g., and one copy of the document marked Authority: 42 U.S.C. 6291–6309; 28 U.S.C. product literature, catalogs, and ‘‘non-confidential’’ with the information 2461 note. packaging labels). This definition believed to be confidential deleted. DOE applies to the following covered lighting will make its own determination about ■ 2. Section 430.2 is amended by: ■ products: Fluorescent lamp ballasts; the confidential status of the a. Adding in alphabetical order the fluorescent lamps; general service information and treat it according to its definitions of ‘‘Black light lamp,’’ ‘‘Bug fluorescent lamps; general service determination. lamp,’’ ‘‘Colored lamp,’’ ‘‘General incandescent lamps; general service It is DOE’s policy that all comments service light-emitting diode (LED) lamps; incandescent lamps; may be included in the public docket, lamp,’’ ‘‘General service organic incandescent reflector lamps; compact without change and as received, lighting-emitting diode (OLED) lamp,’’ fluorescent lamps (including medium including any personal information ‘‘Infrared lamp,’’ ‘‘Integrated lamp,’’ base compact fluorescent lamps); LED provided in the comments (except ‘‘LED Downlight Retrofit Kit,’’ ‘‘Left- lamps; and specialty application information deemed to be exempt from hand thread lamp,’’ ‘‘Light fixture,’’ mercury vapor lamp ballasts. public disclosure). ‘‘Marine lamp,’’ ‘‘Marine signal service lamp,’’ ‘‘Mine service lamp,’’ ‘‘Non- * * * * * VI. Approval of the Office of the integrated lamp,’’ ‘‘Other fluorescent General service incandescent lamp Secretary lamp,’’ ‘‘Pin base lamp,’’ ‘‘Plant light means a standard incandescent or The Secretary of Energy has approved lamp,’’ ‘‘Reflector lamp,’’ ‘‘Showcase halogen type lamp that is intended for publication of this notice of proposed Lamp,’’ ‘‘Sign service lamp,’’ ‘‘Silver general service applications; has a rulemaking. bowl lamp,’’ ‘‘Specialty MR lamp,’’ and medium screw base; has a lumen range of not less than 310 lumens and not List of Subjects in 10 CFR Part 430 ‘‘Traffic signal lamp;’’ and ■ b. Revising the definitions of more than 2,600 lumens or, in the case Administrative practice and ‘‘Designed and marketed,’’ ‘‘General of a modified spectrum lamp, not less procedure, Confidential business service incandescent lamp,’’ and than 232 lumens and not more than information, Energy conservation, ‘‘General service lamp.’’ 1,950 lumens; and is capable of being Household appliances, Imports, operated at a voltage range at least The additions and revisions read as Incorporation by reference, partially within 110 and 130 volts; follows: Intergovernmental relations, Small however, this definition does not apply businesses. § 430.2 Definitions. to the following incandescent lamps— (1) An appliance lamp; Signing Authority * * * * * Black light lamp means a lamp that is (2) A black light lamp; This document of the Department of designed and marketed as a black light (3) A bug lamp; Energy was signed on August 9, 2021, lamp and is an ultraviolet lamp with the (4) A colored lamp; by Kelly Speakes-Backman, Principal highest radiant power peaks in the UV– (5) A G shape lamp with a diameter Deputy Assistant Secretary and Acting A band (315 to 400 nm) of the of 5 inches or more as defined in ANSI Assistant Secretary for Energy Efficiency electromagnetic spectrum. C79.1–2002 (incorporated by reference; and Renewable Energy, pursuant to see § 430.3); delegated authority from the Secretary * * * * * (6) An infrared lamp; of Energy. That document with the Bug lamp means a lamp that is (7) A left-hand thread lamp; original signature and date is designed and marketed as a bug lamp, (8) A marine lamp; maintained by DOE. For administrative has radiant power peaks above 550 nm (9) A marine signal service lamp; purposes only, and in compliance with on the electromagnetic spectrum, and (10) A mine service lamp; requirements of the Office of the Federal has a visible yellow coating. (11) A plant light lamp; Register, the undersigned DOE Federal * * * * * (12) An R20 short lamp; Register Liaison Officer has been Colored lamp means a colored (13) A sign service lamp; authorized to sign and submit the fluorescent lamp, a colored (14) A silver bowl lamp; document in electronic format for incandescent lamp, or a lamp designed (15) A showcase lamp; and publication, as an official document of and marketed as a colored lamp with (16) A traffic signal lamp. the Department of Energy. This either of the following characteristics (if General service lamp means a lamp administrative process in no way alters multiple modes of operation are that has an ANSI base; is able to operate the legal effect of this document upon possible [such as variable CCT], either at a voltage of 12 volts or 24 volts, at or publication in the Federal Register. of the below characteristics must be between 100 to 130 volts, at or between

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220 to 240 volts, or of 277 volts for (diameter less than or equal to 1 inch) and can operate at or between 12 volts integrated lamps (as defined in this as defined in ANSI C79.1–2002 and 13.5 volts. section), or is able to operate at any (incorporated by reference; see § 430.3), Marine signal service lamp means a voltage for non-integrated lamps (as nominal overall length less than 12 lamp that is designed and marketed for defined in this section); has an initial inches, and that are not compact marine signal service applications. lumen output of greater than or equal to fluorescent lamps (as defined in this * * * * * 310 lumens (or 232 lumens for modified section); Mine service lamp means a lamp that spectrum general service incandescent (26) Traffic signal lamps. is designed and marketed for mine lamps) and less than or equal to 3,300 General service light-emitting diode service applications. lumens; is not a light fixture; is not an (LED) lamp means an integrated or * * * * * LED downlight retrofit kit; and is used nonintegrated LED lamp designed for Non-integrated lamp means a lamp in general lighting applications. General use in general lighting applications (as that is not an integrated lamp. service lamps include, but are not defined in this section) and that uses * * * * * limited to, general service incandescent light emitting diodes as the primary Other fluorescent lamp means low lamps, compact fluorescent lamps, source of light. pressure mercury electric-discharge general service light-emitting diode General service organic light-emitting sources in which a fluorescing coating lamps, and general service organic light diode (OLED) lamp means an integrated transforms some of the ultraviolet emitting diode lamps. General service or non-integrated OLED lamp designed energy generated by the mercury lamps do not include: for use in general lighting applications discharge into light and include circline (1) Appliance lamps; (as defined in this section) and that uses lamps and include double-ended lamps (2) Black light lamps; organic light-emitting diodes as the with the following characteristics: (3) Bug lamps; primary source of light. Lengths from one to eight feet; designed (4) Colored lamps; * * * * * for cold temperature applications; (5) G shape lamps with a diameter of Infrared lamp means a lamp that is designed for use in reprographic 5 inches or more as defined in ANSI designed and marketed as an infrared equipment; designed to produce C79.1–2002 (incorporated by reference; lamp; has its highest radiant power radiation in the ultraviolet region of the see § 430.3); peaks in the infrared region of the spectrum; impact-resistant; reflectorized (6) General service fluorescent lamps; electromagnetic spectrum (770 nm to 1 or aperture; or a CRI of 87 or greater. (7) High intensity discharge lamps; mm); has a rated wattage of 125 watts (8) Infrared lamps; * * * * * or greater; and which has a primary (9) J, JC, JCD, JCS, JCV, JCX, JD, JS, Pin base lamp means a lamp that uses purpose of providing heat. and JT shape lamps that do not have a base type designated as a single pin Edison screw bases; * * * * * base or multiple pin base system. (10) Lamps that have a wedge base or Integrated lamp means a lamp that * * * * * prefocus base; contains all components necessary for Plant light lamp means a lamp that is (11) Left-hand thread lamps; the starting and stable operation of the designed to promote plant growth by (12) Marine lamps; lamp, does not include any replaceable emitting its highest radiant power peaks (13) Marine signal service lamps; or interchangeable parts, and is in the regions of the electromagnetic (14) Mine service lamps; connected directly to a branch circuit spectrum that promote photosynthesis: (15) MR shape lamps that have a first through an ANSI base and Blue (440 nm to 490 nm) and/or red number symbol equal to 16 (diameter corresponding ANSI standard (620 to 740 nm), and is designed and equal to 2 inches) as defined in ANSI lampholder (socket). marketed for plant growing C79.1–2002 (incorporated by reference; * * * * * applications. see § 430.3), operate at 12 volts, and LED Downlight Retrofit Kit means a * * * * * have a lumen output greater than or product designed and marketed to Reflector lamp means a lamp that has equal to 800; install into an existing downlight, an R, PAR, BPAR, BR, ER, MR, or (16) Other fluorescent lamps; replacing the existing light source and similar bulb shape as defined in ANSI (17) Plant light lamps; related electrical components, typically C78.20 and ANSI C79.1–2002 (both (18) R20 short lamps; employing an ANSI standard lamp base, (19) Reflector lamps (as defined in incorporated by reference; see § 430.3) either integrated or connected to the and is used to provide directional light. this section) that have a first number downlight retrofit by wire leads, and is symbol less than 16 (diameter less than * * * * * a retrofit kit. LED downlight retrofit kit Showcase lamp means a lamp that has 2 inches) as defined in ANSI C79.1– does not include integrated lamps or 2002 (incorporated by reference; see a T shape as specified in ANSI C78.20 non-integrated lamps. and ANSI C79.1–2002 (both § 430.3) and that do not have E26/E24, Left-hand thread lamp means a lamp E26d, E26/50x39, E26/53x39, E29/28, incorporated by reference; see § 430.3), with direction of threads on the lamp is designed and marketed as a showcase E29/53x39, E39, E39d, EP39, or EX39 base oriented in the left-hand direction. bases; lamp, and has a maximum rated wattage (20) S shape or G shape lamps that * * * * * of 75 watts. Light fixture means a complete have a first number symbol less than or * * * * * lighting unit consisting of light source(s) equal to 12.5 (diameter less than or Sign service lamp means a vacuum and ballast(s) or driver(s) (when equal to 1.5625 inches) as defined in type or gas-filled lamp that has applicable) together with the parts ANSI C79.1–2002 (incorporated by sufficiently low bulb temperature to designed to distribute the light, to reference; see § 430.3); permit exposed outdoor use on (21) Sign service lamps; position and protect the light source, highspeed flashing circuits, is designed (22) Silver bowl lamps; and to connect the light source(s) to the and marketed as a sign service lamp, (23) Showcase lamps; power supply. and has a maximum rated wattage of 15 (24) Specialty MR lamps; * * * * * watts. (25) T-shape lamps that have a first Marine lamp means a lamp that is Silver bowl lamp means a lamp that number symbol less than or equal to 8 designed and marketed for use on boats has an opaque reflective coating applied

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directly to part of the bulb surface that • Federal eRulemaking Portal: Go to date and may amend the proposal reflects light toward the lamp base and https://www.regulations.gov. Follow the because of those comments. that is designed and marketed as a silver instructions for submitting comments. Except for Confidential Business bowl lamp. • Fax: 202–493–2251. Information (CBI) as described in the * * * * * • Mail: U.S. Department of following paragraph, and other Specialty MR lamp means a lamp that Transportation, Docket Operations, M– information as described in 14 CFR has an MR shape as defined in ANSI 30, West Building Ground Floor, Room 11.35, the FAA will post all comments C79.1–2002 (incorporated by reference; W12–140, 1200 New Jersey Avenue SE, received, without change, to https:// see § 430.3), a diameter of less than or Washington, DC 20590. www.regulations.gov, including any equal to 2.25 inches, a lifetime of less • Hand Delivery: Deliver to Mail personal information you provide. The than or equal to 300 hours, and that is address above between 9 a.m. and 5 agency will also post a report designed and marketed for a specialty p.m., Monday through Friday, except summarizing each substantive verbal application. Federal holidays. contact received about this proposed AD. * * * * * For material that will be incorporated Traffic signal lamp means a lamp that by reference (IBR) in this AD, contact Confidential Business Information is designed and marketed for traffic EASA, Konrad-Adenauer-Ufer 3, 50668 Cologne, Germany; telephone +49 221 CBI is commercial or financial signal applications and has a lifetime of information that is both customarily and 8,000 hours or greater. 8999 000; email [email protected]; internet www.easa.europa.eu. You may actually treated as private by its owner. * * * * * find this IBR material on the EASA Under the Freedom of Information Act [FR Doc. 2021–17346 Filed 8–18–21; 8:45 am] website at https://ad.easa.europa.eu. (FOIA) (5 U.S.C. 552), CBI is exempt BILLING CODE 6450–01–P You may view this IBR material at the from public disclosure. If your comments responsive to this NPRM FAA, Airworthiness Products Section, contain commercial or financial Operational Safety Branch, 2200 South information that is customarily treated DEPARTMENT OF TRANSPORTATION 216th St., Des Moines, WA. For as private, that you actually treat as information on the availability of this Federal Aviation Administration private, and that is relevant or material at the FAA, call 206–231–3195. responsive to this NPRM, it is important It is also available in the AD docket on 14 CFR Part 39 that you clearly designate the submitted the internet at https:// comments as CBI. Please mark each [Docket No. FAA–2021–0682; Project www.regulations.gov by searching for page of your submission containing CBI Identifier MCAI–2021–00474–T] and locating Docket No. FAA–2021– as ‘‘PROPIN.’’ The FAA will treat such RIN 2120–AA64 0682. marked submissions as confidential Examining the AD Docket under the FOIA, and they will not be Airworthiness Directives; Airbus SAS placed in the public docket of this You may examine the AD docket on Airplanes NPRM. Submissions containing CBI the internet at https:// should be sent to Sanjay Ralhan, AGENCY: Federal Aviation www.regulations.gov by searching for Aerospace Engineer, Large Aircraft Administration (FAA), DOT. and locating Docket No. FAA–2021– Section, International Validation ACTION: Notice of proposed rulemaking 0682; or in person at Docket Operations Branch, FAA, 2200 South 216th St., Des (NPRM). between 9 a.m. and 5 p.m., Monday Moines, WA 98198; telephone and fax through Friday, except Federal holidays. 206–231–3223; email sanjay.ralhan@ SUMMARY: The FAA proposes to adopt a The AD docket contains this NPRM, any faa.gov. Any commentary that the FAA new airworthiness directive (AD) for comments received, and other receives which is not specifically certain Airbus SAS Model A318 series information. The street address for designated as CBI will be placed in the airplanes; Model A319–111, –112, –113, Docket Operations is listed above. –114, –115, –131, –132, –133, –151N, public docket for this rulemaking. FOR FURTHER INFORMATION CONTACT: and –153N airplanes; and Models A320 Sanjay Ralhan, Aerospace Engineer, Background and A321 series airplanes. This Large Aircraft Section, International proposed AD was prompted by a EASA, which is the Technical Agent Validation Branch, FAA, 2200 South determination that new or more for the Member States of the European 216th St., Des Moines, WA 98198; restrictive airworthiness limitations are Union, has issued EASA AD 2021–0108, telephone and fax 206–231–3223; email necessary. This proposed AD would dated April 20, 2021 (EASA AD 2021– [email protected]. require revising the existing 0108) (also referred to as the Mandatory maintenance or inspection program, as SUPPLEMENTARY INFORMATION: Continuing Airworthiness Information, or the MCAI), to correct an unsafe applicable, to incorporate new or more Comments Invited restrictive airworthiness limitations, as condition for all Airbus SAS Model specified in a European Union Aviation The FAA invites you to send any A318–111, –112, –121, and –122 Safety Agency (EASA) AD, which is written relevant data, views, or airplanes; Model A319–111, –112, –113, proposed for incorporation by reference. arguments about this proposal. Send –114, –115, –131, –132, –133, –151N, The FAA is proposing this AD to your comments to an address listed and –153N airplanes; Model A320–211, address the unsafe condition on these under ADDRESSES. Include ‘‘Docket No. –212, –214, –215, –216, –231, –232, products. FAA–2021–0682; Project Identifier –233, –251N, –252N, –253N, –271N, MCAI–2021–00474–T’’ at the beginning –272N, and –273N airplanes; and Model DATES: The FAA must receive comments of your comments. The most helpful A321–111, –112, –131, –211, –212, on this proposed AD by October 4, 2021. comments reference a specific portion of –213, –231, –232, –251N, –252N, ADDRESSES: You may send comments, the proposal, explain the reason for any –253N, –271N, –272N, –251NX, using the procedures found in 14 CFR recommended change, and include –252NX, –253NX, –271NX, and –272NX 11.43 and 11.45, by any of the following supporting data. The FAA will consider airplanes. Model A320–215 airplanes methods: all comments received by the closing are not certificated by the FAA and are

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not included on the U.S. type certificate Proposed AD Requirements Airworthiness Limitation ADs Using data sheet; this AD therefore does not the New Process This proposed AD would require include those airplanes in the The FAA’s process of incorporating revising the existing maintenance or applicability. Airplanes with an original by reference MCAI ADs as the primary inspection program, as applicable, to airworthiness certificate or original source of information for compliance export certificate of airworthiness incorporate new or more restrictive with corresponding FAA ADs has been issued after December 9, 2020 must airworthiness limitations, which are limited to certain MCAI ADs (primarily comply with the airworthiness specified in EASA AD 2021–0108 those with service bulletins as the limitations specified as part of the described previously, as incorporated by primary source of information for approved type design and referenced on reference. Any differences with EASA accomplishing the actions required by the type certificate data sheet; this AD AD 2021–0108 are identified as the FAA AD). However, the FAA is now therefore does not include those exceptions in the regulatory text of this expanding the process to include MCAI airplanes in the applicability. AD. ADs that require a change to EASA AD 2021–0108 specifies that it airworthiness limitation documents, requires a task (limitation) already This proposed AD would require revisions to certain operator such as airworthiness limitation required by EASA AD 2020–0067 sections. (which corresponds to FAA AD 2020– maintenance documents to include new actions (e.g., inspections). Compliance For these ADs that incorporate by 22–16, Amendment 39–21312 (85 FR reference an MCAI AD that changes with these actions is required by 14 CFR 70439, November 5, 2020) (AD 2020– airworthiness limitations, the FAA 91.403(c). For airplanes that have been 22–16)) and invalidates (terminates) requirements are unchanged. Operators prior instructions for that task. This previously modified, altered, or repaired must revise the existing maintenance or proposed AD would terminate the in the areas addressed by this proposed inspection program, as applicable, to limitations of Task 262300–00001–1–C, AD, the operator may not be able to incorporate the information specified in as required by paragraph (i) of AD 2020– accomplish the actions described in the the new airworthiness limitation 22–16, for airplanes with an original revisions. In this situation, to comply document. The airworthiness airworthiness certificate or original with 14 CFR 91.403(c), the operator limitations must be followed according export certificate of airworthiness must request approval for an alternative to 14 CFR 91.403(c) and 91.409(e). issued on or before January 17, 2020 method of compliance according to The previous format of the only. paragraph (k)(1) of this proposed AD. airworthiness limitation ADs included a This proposed AD was prompted by paragraph that specified that no Explanation of Required Compliance a determination that new or more alternative actions (e.g., inspections) or restrictive airworthiness limitations are Information intervals may be used unless the actions necessary. The FAA is proposing this and intervals are approved as an AD to address a safety-significant latent In the FAA’s ongoing efforts to improve the efficiency of the AD alternative method of compliance failure (that is not annunciated), which, (AMOC) in accordance with the in combination with one or more other process, the FAA developed a process to use some civil aviation authority (CAA) procedures specified in the AMOCs specific failures or events, could result paragraph under ‘‘Other FAA ADs as the primary source of in a hazardous or catastrophic failure Provisions.’’ This new format includes a information for compliance with condition. See the MCAI for additional ‘‘New Provisions for Alternative Actions background information. requirements for corresponding FAA and Intervals’’ paragraph that does not ADs. The FAA has been coordinating specifically refer to AMOCs, but Related Service information Under 1 this process with manufacturers and CFR Part 51 operators may still request an AMOC to CAAs. As a result, the FAA proposes to use an alternative action or interval. EASA AD 2021–0108 describes new incorporate EASA AD 2021–0108 by or more restrictive airworthiness reference in the FAA final rule. This Costs of Compliance limitations for certification maintenance proposed AD would, therefore, require The FAA estimates that this proposed requirements. This material is compliance with EASA AD 2021–0108 AD affects 1,728 airplanes of U.S. reasonably available because the in its entirety through that registry. The FAA estimates the interested parties have access to it incorporation, except for any differences following costs to comply with this through their normal course of business identified as exceptions in the proposed AD: or by the means identified in the regulatory text of this proposed AD. The FAA has determined that revising ADDRESSES section. Using common terms that are the same the existing maintenance or inspection program takes an average of 90 work- FAA’s Determination and Requirements as the heading of a particular section in hours per operator, although the agency of This Proposed AD EASA AD 2021–0108 does not mean recognizes that this number may vary This product has been approved by that operators need comply only with that section. For example, where the AD from operator to operator. Since the aviation authority of another operators incorporate maintenance or requirement refers to ‘‘all required country, and is approved for operation inspection program changes for their actions and compliance times,’’ in the United States. Pursuant to the affected fleet(s), the FAA has compliance with this AD requirement is FAA’s bilateral agreement with the State determined that a per-operator estimate of Design Authority, the FAA has been not limited to the section titled is more accurate than a per-airplane notified of the unsafe condition ‘‘Required Action(s) and Compliance estimate. Therefore, the agency described in the MCAI referenced Time(s)’’ in EASA AD 2021–0108. estimates the average total cost per above. The FAA is proposing this AD Service information required by EASA operator to be $7,650 (90 work-hours × because the FAA has evaluated all AD 2021–0108 for compliance will be $85 per work-hour). pertinent information and determined available at https://www.regulations.gov an unsafe condition exists and is likely by searching for and locating Docket No. Authority for This Rulemaking to exist or develop on other products of FAA–2021–0682 after the FAA final Title 49 of the United States Code the same type design. rule is published. specifies the FAA’s authority to issue

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rules on aviation safety. Subtitle I, (a) Comments Due Date paragraph (3) of EASA AD 2021–0108, or section 106, describes the authority of The FAA must receive comments on this within 90 days after the effective date of this the FAA Administrator. Subtitle VII: airworthiness directive (AD) by October 4, AD, whichever occurs later. 2021. (5) The provisions specified in paragraphs Aviation Programs, describes in more (4) of EASA AD 2021–0108 do not apply to detail the scope of the Agency’s (b) Affected ADs this AD. authority. This AD affects AD 2020–22–16, (6) The ‘‘Remarks’’ section of EASA AD The FAA is issuing this rulemaking Amendment 39–21312 (85 FR 70439, 2021–0108 does not apply to this AD. under the authority described in November 5, 2020) (AD 2020–22–16). (i) Provisions for Alternative Actions and Subtitle VII, Part A, Subpart III, Section Intervals 44701: General requirements. Under (c) Applicability that section, Congress charges the FAA This AD applies to the Airbus SAS After the existing maintenance or airplanes specified in paragraphs (c)(1) inspection program has been revised as with promoting safe flight of civil required by paragraph (g) of this AD, no aircraft in air commerce by prescribing through (4) of this AD, certificated in any category, with an original airworthiness alternative actions (e.g., inspections) and regulations for practices, methods, and certificate or original export certificate of intervals are allowed unless they are procedures the Administrator finds airworthiness issued on or before December approved as specified in the provisions of the necessary for safety in air commerce. 9, 2020. ‘‘Ref. Publications’’ section of EASA AD This regulation is within the scope of (1) Model A318–111, –112, –121, and –122 2021–0108. that authority because it addresses an airplanes. (j) Terminating Action for Certain unsafe condition that is likely to exist or (2) Model A319–111, –112, –113, –114, Requirements in AD 2020–22–16 –115, –131, –132, –133, –151N, and –153N develop on products identified in this Accomplishing the actions required by this rulemaking action. airplanes. (3) Model A320–211, –212, –214, –216, AD terminates the limitations of Task Regulatory Findings –231, –232, –233, –251N, –252N, –253N, 262300–00001–1–C, as required by paragraph –271N, –272N, and –273N airplanes. (i) of AD 2020–22–16, for airplanes with an The FAA has determined that this (4) Model A321–111, –112, –131, –211, original airworthiness certificate or original proposed AD would not have federalism –212, –213, –231, –232, –251N, –252N, export certificate of airworthiness issued on implications under Executive Order –253N, –271N, –272N, –251NX, –252NX, or before January 17, 2020 only. 13132. This proposed AD would not –253NX, –271NX, and –272NX airplanes. (k) Other FAA AD Provisions have a substantial direct effect on the (d) Subject The following provisions also apply to this States, on the relationship between the AD: national Government and the States, or Air Transport Association (ATA) of America Code 05, Time Limits/Maintenance (1) Alternative Methods of Compliance on the distribution of power and Checks. (AMOCs): The Manager, Large Aircraft responsibilities among the various Section, International Validation Branch, levels of government. (e) Reason FAA, has the authority to approve AMOCs For the reasons discussed above, I This AD was prompted by a determination for this AD, if requested using the procedures certify this proposed regulation: that new or more restrictive airworthiness found in 14 CFR 39.19. In accordance with (1) Is not a ‘‘significant regulatory limitations are necessary. The FAA is issuing 14 CFR 39.19, send your request to your this AD to address a safety-significant latent principal inspector or local Flight Standards action’’ under Executive Order 12866, District Office, as appropriate. If sending (2) Would not affect intrastate failure (that is not annunciated), which, in combination with one or more other specific information directly to the Large Aircraft aviation in Alaska, and failures or events, could result in a hazardous Section, International Validation Branch, (3) Would not have a significant or catastrophic failure condition. send it to the attention of the person economic impact, positive or negative, identified in paragraph (l)(2) of this AD. on a substantial number of small entities (f) Compliance Information may be emailed to: 9-AVS-AIR- under the criteria of the Regulatory Comply with this AD within the [email protected]. Before using any Flexibility Act. compliance times specified, unless already approved AMOC, notify your appropriate done. principal inspector, or lacking a principal List of Subjects in 14 CFR Part 39 inspector, the manager of the local flight (g) Requirements standards district office/certificate holding Air transportation, Aircraft, Aviation Except as specified in paragraph (h) of this district office. safety, Incorporation by reference, AD: Comply with all required actions and (2) Contacting the Manufacturer: For any Safety. compliance times specified in, and in requirement in this AD to obtain instructions from a manufacturer, the instructions must The Proposed Amendment accordance with, European Union Aviation Safety Agency (EASA) AD 2021–0108, dated be accomplished using a method approved Accordingly, under the authority April 20, 2021 (EASA AD 2021–0108). by the Manager, Large Aircraft Section, International Validation Branch, FAA; or delegated to me by the Administrator, (h) Exceptions to EASA AD 2021–0108 the FAA proposes to amend 14 CFR part EASA; or Airbus SAS’s EASA Design 39 as follows: (1) Where EASA AD 2021–0108 refers to its Organization Approval (DOA). If approved by effective date, this AD requires using the the DOA, the approval must include the PART 39—AIRWORTHINESS effective date of this AD. DOA-authorized signature. (2) The requirements specified in (3) Required for Compliance (RC): Except DIRECTIVES paragraphs (1) and (2) of EASA AD 2021– as required by paragraph (k)(2) of this AD, if ■ 0108 do not apply to this AD. any service information contains procedures 1. The authority citation for part 39 (3) Paragraph (3) of EASA AD 2021–0108 or tests that are identified as RC, those continues to read as follows: specifies revising ‘‘the approved AMP’’ procedures and tests must be done to comply Authority: 49 U.S.C. 106(g), 40113, 44701. within 12 months after its effective date, but with this AD; any procedures or tests that are this AD requires revising the existing not identified as RC are recommended. Those § 39.13 [Amended] maintenance or inspection program, as procedures and tests that are not identified ■ 2. The FAA amends § 39.13 by adding applicable, within 90 days after the effective as RC may be deviated from using accepted the following new airworthiness date of this AD. methods in accordance with the operator’s (4) The initial compliance time for doing maintenance or inspection program without directive: the tasks specified in paragraph (3) of EASA obtaining approval of an AMOC, provided Airbus SAS: Docket No. FAA–2021–0682; 2021–0108 is at the applicable ‘‘thresholds’’ the procedures and tests identified as RC can Project Identifier MCAI–2021–00474–T. as incorporated by the requirements of be done and the airplane can be put back in

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an airworthy condition. Any substitutions or ADDRESSES: You may send comments, comments reference a specific portion of changes to procedures or tests identified as using the procedures found in 14 CFR the proposal, explain the reason for any RC require approval of an AMOC. 11.43 and 11.45, by any of the following recommended change, and include (l) Related Information methods: supporting data. The FAA will consider • (1) For information about EASA AD 2021– Federal eRulemaking Portal: Go to all comments received by the closing 0108, contact EASA, Konrad-Adenauer-Ufer https://www.regulations.gov. Follow the date and may amend the proposal 3, 50668 Cologne, Germany; telephone +49 instructions for submitting comments. because of those comments. 221 8999 000; email [email protected]; • Fax: 202–493–2251. Except for Confidential Business internet www.easa.europa.eu. You may find • Mail: U.S. Department of Information (CBI) as described in the this EASA AD on the EASA website at Transportation, Docket Operations, M– following paragraph, and other https://ad.easa.europa.eu. You may view this 30, West Building Ground Floor, Room information as described in 14 CFR material at the FAA, Airworthiness Products W12–140, 1200 New Jersey Avenue SE, 11.35, the FAA will post all comments Section, Operational Safety Branch, 2200 received, without change, to https:// South 216th St., Des Moines, WA. For Washington, DC 20590. information on the availability of this • Hand Delivery: Deliver to Mail www.regulations.gov, including any material at the FAA, call 206–231–3195. This address above between 9 a.m. and 5 personal information you provide. The material may be found in the AD docket on p.m., Monday through Friday, except agency will also post a report the internet at https://www.regulations.gov Federal holidays. summarizing each substantive verbal by searching for and locating Docket No. For EASA material that will be contact received about this proposed FAA–2021–0682. incorporated by reference (IBR) in this AD. (2) For more information about this AD, AD, contact EASA, Konrad-Adenauer- contact Sanjay Ralhan, Aerospace Engineer, Confidential Business Information Large Aircraft Section, International Ufer 3, 50668 Cologne, Germany; telephone +49 221 8999 000; email CBI is commercial or financial Validation Branch, FAA, 2200 South 216th information that is both customarily and [email protected]; internet St., Des Moines, WA 98198; telephone and actually treated as private by its owner. www.easa.europa.eu. You may find this fax 206–231–3223; email sanjay.ralhan@ Under the Freedom of Information Act faa.gov. IBR material on the EASA website at (FOIA) (5 U.S.C. 552), CBI is exempt https://ad.easa.europa.eu. You may Issued on August 12, 2021. from public disclosure. If your view this IBR material at the FAA, Lance T. Gant, comments responsive to this NPRM Airworthiness Products Section, Director, Compliance & Airworthiness contain commercial or financial Operational Safety Branch, 2200 South Division, Aircraft Certification Service. information that is customarily treated 216th St., Des Moines, WA. For [FR Doc. 2021–17679 Filed 8–18–21; 8:45 am] as private, that you actually treat as information on the availability of this BILLING CODE 4910–13–P private, and that is relevant or material at the FAA, call 206–231–3195. responsive to this NPRM, it is important It is also available in the AD docket on that you clearly designate the submitted the internet at https:// DEPARTMENT OF TRANSPORTATION comments as CBI. Please mark each www.regulations.gov by searching for page of your submission containing CBI and locating Docket No. FAA–2021– Federal Aviation Administration as ‘‘PROPIN.’’ The FAA will treat such 0684. marked submissions as confidential 14 CFR Part 39 Examining the AD Docket under the FOIA, and they will not be [Docket No. FAA–2021–0684; Project You may examine the AD docket on placed in the public docket of this Identifier MCAI–2021–00194–T] the internet at https:// NPRM. Submissions containing CBI should be sent to Tom Rodriguez, RIN 2120–AA64 www.regulations.gov by searching for and locating Docket No. FAA–2021– Aerospace Engineer, Large Aircraft Airworthiness Directives; Dassault 0684; or in person at Docket Operations Section, International Validation Aviation Airplanes between 9 a.m. and 5 p.m., Monday Branch, FAA, 2200 South 216th St., Des through Friday, except Federal holidays. Moines, WA 98198; telephone and fax AGENCY: Federal Aviation 206–231–3226; email tom.rodriguez@ Administration (FAA), DOT. The AD docket contains this NPRM, any comments received, and other faa.gov. Any commentary that the FAA ACTION: Notice of proposed rulemaking information. The street address for receives which is not specifically (NPRM). Docket Operations is listed above. designated as CBI will be placed in the public docket for this rulemaking. SUMMARY: The FAA proposes to adopt a FOR FURTHER INFORMATION CONTACT: Tom new airworthiness directive (AD) for Rodriguez, Aerospace Engineer, Large Background certain Dassault Aviation Model Aircraft Section, International EASA, which is the Technical Agent FALCON 7X, FALCON 900EX, and Validation Branch, FAA, 2200 South for the Member States of the European FALCON 2000EX airplanes. This 216th St., Des Moines, WA 98198; Union, has issued EASA AD 2021–0047, proposed AD was prompted by a report telephone and fax 206–231–3226; email dated February 16, 2021 (EASA AD of an improper heat treatment process [email protected]. 2021–0047) (also referred to as the applied during the manufacturing of SUPPLEMENTARY INFORMATION: Mandatory Continuing Airworthiness certain titanium screws. This proposed Information, or the MCAI), to correct an Comments Invited AD would require replacement of unsafe condition for certain Dassault certain titanium screws, as specified in The FAA invites you to send any Aviation Model FALCON 7X, FALCON a European Union Aviation Safety written relevant data, views, or 900EX, and FALCON 2000EX airplanes. Agency (EASA) AD, which is proposed arguments about this proposal. Send This proposed AD was prompted by for incorporation by reference. The FAA your comments to an address listed a report of an improper heat treatment is proposing this AD to address the under ADDRESSES. Include ‘‘Docket No. process applied during the unsafe condition on these products. FAA–2021–0684; Project Identifier manufacturing of certain Decomatic DATES: The FAA must receive comments MCAI–2021–00194–T’’ at the beginning titanium screws. The improper heat on this proposed AD by October 4, 2021. of your comments. The most helpful treatment process led to a hydrogen

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concentration rate in the material of the notified of the unsafe condition reference in the FAA final rule. This affected screws that was above the described in the MCAI referenced proposed AD would, therefore, require allowable limit. The FAA is proposing above. The FAA is proposing this AD compliance with EASA AD 2021–0047 this AD to address failure of an affected because the FAA evaluated all the in its entirety through that screw installed in a critical location, relevant information and determined incorporation, except for any differences possibly resulting in reduced structural the unsafe condition described identified as exceptions in the integrity of the airplane. See the MCAI previously is likely to exist or develop regulatory text of this proposed AD. for additional background information. in other products of the same type Using common terms that are the same design. Related Service Information Under 1 as the heading of a particular section in CFR Part 51 Proposed AD Requirements EASA AD 2021–0047 does not mean EASA AD 2021–0047 describes This proposed AD would require that operators need comply only with procedures for replacement of certain accomplishing the actions specified in that section. For example, where the AD Decomatic titanium screws (including EASA AD 2021–0047 described requirement refers to ‘‘all required an inspection of the bore dimension and previously, as incorporated by actions and compliance times,’’ corrective actions (oversizing or repair)). reference, except for any differences compliance with this AD requirement is The EASA AD also restricts installation identified as exceptions in the not limited to the section titled of certain Decomatic titanium screws. regulatory text of this AD. ‘‘Required Action(s) and Compliance This material is reasonably available Time(s)’’ in EASA AD 2021–0047. Explanation of Required Compliance because the interested parties have Information Service information required by EASA access to it through their normal course AD 2021–0047 for compliance will be of business or by the means identified In the FAA’s ongoing efforts to available at https://www.regulations.gov in the ADDRESSES section. improve the efficiency of the AD by searching for and locating Docket No. process, the FAA developed a process to FAA–2021–0684 after the FAA final FAA’s Determination and Requirements use some civil aviation authority (CAA) rule is published. of This Proposed AD ADs as the primary source of This product has been approved by information for compliance with Costs of Compliance the aviation authority of another requirements for corresponding FAA country, and is approved for operation ADs. The FAA has been coordinating The FAA estimates that this proposed in the United States. Pursuant to the this process with manufacturers and AD affects 30 airplanes of U.S. registry. FAA’s bilateral agreement with the State CAAs. As a result, the FAA proposes to The FAA estimates the following costs of Design Authority, the FAA has been incorporate EASA AD 2021–0047 by to comply with this proposed AD:

ESTIMATED COSTS FOR REQUIRED ACTIONS *

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

Up to 90 work-hours × $85 per hour = Up to $7,650 ...... $0 Up to $7,650 ...... Up to $229,500. * The FAA has received no definitive information regarding cost estimates for these parts.

According to the manufacturer, some necessary for safety in air commerce. under the criteria of the Regulatory or all of the costs of this proposed AD This regulation is within the scope of Flexibility Act. may be covered under warranty, thereby that authority because it addresses an List of Subjects in 14 CFR Part 39 reducing the cost impact on affected unsafe condition that is likely to exist or operators. The FAA does not control develop on products identified in this Air transportation, Aircraft, Aviation warranty coverage for affected operators. rulemaking action. safety, Incorporation by reference, As a result, the FAA has included all Safety. Regulatory Findings known costs in the cost estimate. The Proposed Amendment The FAA determined that this Authority for This Rulemaking proposed AD would not have federalism Accordingly, under the authority delegated to me by the Administrator, Title 49 of the United States Code implications under Executive Order the FAA proposes to amend 14 CFR part specifies the FAA’s authority to issue 13132. This proposed AD would not 39 as follows: rules on aviation safety. Subtitle I, have a substantial direct effect on the section 106, describes the authority of States, on the relationship between the PART 39—AIRWORTHINESS the FAA Administrator. Subtitle VII: national Government and the States, or DIRECTIVES Aviation Programs, describes in more on the distribution of power and detail the scope of the Agency’s responsibilities among the various ■ 1. The authority citation for part 39 authority. levels of government. continues to read as follows: For the reasons discussed above, I The FAA is issuing this rulemaking Authority: 49 U.S.C. 106(g), 40113, 44701. under the authority described in certify this proposed regulation: Subtitle VII, Part A, Subpart III, Section (1) Is not a ‘‘significant regulatory § 39.13 [Amended] 44701: General requirements. Under action’’ under Executive Order 12866, ■ 2. The FAA amends § 39.13 by adding that section, Congress charges the FAA (2) Would not affect intrastate the following new airworthiness with promoting safe flight of civil aviation in Alaska, and directive: aircraft in air commerce by prescribing (3) Would not have a significant Dassault Aviation: Docket No. FAA–2021– regulations for practices, methods, and economic impact, positive or negative, 0684; Project Identifier MCAI–2021– procedures the Administrator finds on a substantial number of small entities 00194–T.

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(a) Comments Due Date principal inspector or responsible Flight its regulation governing the use of the The FAA must receive comments on this Standards Office, as appropriate. If sending Automated Clearing House (ACH) airworthiness directive (AD) by October 4, information directly to the Large Aircraft Network by Federal agencies. Our 2021. Section, International Validation Branch, regulation adopts, with some send it to the attention of the person (b) Affected ADs identified in paragraph (k)(2) of this AD. exceptions, the Operating Rules Operating Guidelines (Operating Rules None. Information may be emailed to: 9-AVS-AIR- [email protected]. Before using any & Guidelines) developed by Nacha as (c) Applicability approved AMOC, notify your appropriate the rules governing the use of the ACH This AD applies to Dassault Aviation principal inspector, or lacking a principal Network by Federal agencies. We are airplanes identified in paragraphs (c)(1) inspector, the manager of the responsible issuing this proposed rule to address through (3) of this AD, certificated in any Flight Standards Office. changes that Nacha has made since the category, as identified in European Union (2) Contacting the Manufacturer: For any publication of the 2019 Operating Rules Aviation Safety Agency (EASA) AD 2021– requirement in this AD to obtain instructions & Guidelines. These changes include 0047, dated February 16, 2021 (EASA AD from a manufacturer, the instructions must 2021–0047). be accomplished using a method approved amendments set forth in the 2020 and (1) Model FALCON 7X airplanes. by the Manager, Large Aircraft Section, 2021 Operating Rules & Guidelines, (2) Model FALCON 900EX airplanes. International Validation Branch, FAA; or including supplements thereto, issued (3) Model FALCON 2000EX airplanes. EASA; or Dassault Aviation’s EASA Design on or before March 31, 2021. Organization Approval (DOA). If approved by (d) Subject DATES: Comments on the proposed rule the DOA, the approval must include the must be received by October 18, 2021. Air Transport Association (ATA) of DOA-authorized signature. America Code 51, Standard Practices/ ADDRESSES: Comments on this rule, Structures. (k) Related Information identified by docket FISCAL–2021– (1) For information about EASA AD 2021– (e) Reason 0002, should only be submitted using 0047 contact EASA, Konrad-Adenauer-Ufer the following methods: This AD was prompted by a report of an 3, 50668 Cologne, Germany; telephone +49 • improper heat treatment process applied Federal eRulemaking Portal: 221 8999 000; email [email protected]; www.regulations.gov. Follow the during the manufacturing of certain Internet www.easa.europa.eu. You may find Decomatic titanium screws. The FAA is this EASA AD on the EASA website at instructions on the website for issuing this AD to address failure of an https://ad.easa.europa.eu. You may view this submitting comments. affected screw installed in a critical location, material at the FAA, Airworthiness Products • Mail: Ian Macoy, Bureau of the possibly resulting in reduced structural Section, Operational Safety Branch, 2200 Fiscal Service, 3201 Pennsy Drive, integrity of the airplane. South 216th St., Des Moines, WA. For Building E, Landover, MD 20785. (f) Compliance information on the availability of this The fax and email methods of material at the FAA, call 206–231–3195. This submitting comments on rules to Fiscal Comply with this AD within the material may be found in the AD docket on compliance times specified, unless already Service have been decommissioned. the internet at https://www.regulations.gov done. Instructions: All submissions received by searching for and locating Docket No. (g) Requirements FAA–2021–0684. must include the agency name (Bureau (2) For more information about this AD, of the Fiscal Service) and docket Except as specified in paragraph (h) of this number FISCAL–2021–0002 for this AD: Comply with all required actions and contact Tom Rodriguez, Aerospace Engineer, compliance times specified in, and in Large Aircraft Section, International rulemaking. In general, comments accordance with, EASA AD 2021–0047. Validation Branch, FAA, 2200 South 216th received will be published on St., Des Moines, WA 98198; telephone and Regulations.gov without change, (h) Exceptions to EASA AD 2021–0047 fax 206–231–3226; email tom.rodriguez@ including any business or personal (1) Where EASA AD 2021–0047 refers to its faa.gov. information provided. Comments effective date, this AD requires using the Issued on August 12, 2021. received, including attachments and effective date of this AD. Lance T. Gant, other supporting materials, are part of (2) The ‘‘Remarks’’ section of EASA AD 2021–0047 does not apply to this AD. Director, Compliance & Airworthiness the public record and subject to public (3) Where EASA AD 2021–0047 specifies Division, Aircraft Certification Service. disclosure. Do not disclose any to ‘‘replace each serviceable part,’’ for this [FR Doc. 2021–17677 Filed 8–18–21; 8:45 am] information in your comment or AD that replacement includes an inspection BILLING CODE 4910–13–P supporting materials that you consider of the bore dimension and corrective actions confidential or inappropriate for public (oversizing or repair), as specified in the disclosure. You can download this service information referenced in EASA AD DEPARTMENT OF THE TREASURY proposed rule at the following website: 2021–0047. https://www.fiscal.treasury.gov/ach/. (i) No Reporting Requirement Fiscal Service In accordance with the U.S. Although the service information government’s eRulemaking Initiative, referenced in EASA AD 2021–0047 specifies 31 CFR Part 210 Fiscal Service publishes rulemaking to submit certain information to the information on www.regulations.gov. RIN 1530–AA26 manufacturer, this AD does not include that Regulations.gov offers the public the requirement. Federal Government Participation in ability to comment on, search, and view (j) Other FAA AD Provisions the Automated Clearing House publicly available rulemaking materials, including comments received on rules. The following provisions also apply to this AGENCY: Fiscal Service, Bureau of the AD: FOR FURTHER INFORMATION CONTACT: Ian (1) Alternative Methods of Compliance Fiscal Service, Treasury. Macoy, Director of Settlement Services, (AMOCs): The Manager, Large Aircraft ACTION: Notice of proposed rulemaking at (202) 874–6835 or ian.macoy@ Section, International Validation Branch, with request for comment. fiscal.treasury.gov; or Frank J. Supik, FAA, has the authority to approve AMOCs Senior Counsel, at frank.supik@ SUMMARY: The Department of the for this AD, if requested using the procedures fiscal.treasury.gov. found in 14 CFR 39.19. In accordance with Treasury, Bureau of the Fiscal Service 14 CFR 39.19, send your request to your (Fiscal Service) is proposing to amend SUPPLEMENTARY INFORMATION:

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I. Background Part 210 incorporates the Operating $100,000 to $1,000,000. At Title 31 CFR part 210 (Part 210) Rules & Guidelines by reference, with implementation, both Same Day ACH governs the use of the ACH Network by certain exceptions. From time to time, credits and Same Day ACH debits will Federal agencies. The ACH Network is the Fiscal Service amends Part 210 to be eligible for Same Day ACH a nationwide electronic fund transfer address changes that Nacha periodically processing up to $1,000,000 per system that provides for the inter-bank makes to the Operating Rules & transaction. Nacha’s rule will become clearing of electronic credit and debit Guidelines or to revise the regulation as effective on March 18, 2022 for all non- transactions and for the exchange of otherwise appropriate. Given their Federal Government ACH Network payment-related information among coverage across the payment system and participants. participating financial institutions. to ensure consistent application to all We propose to adopt this rule, The ACH Network facilitates payment ACH Network participants, the Federal effective March 18, 2022. Acceptance of transactions between several Government generally adopts changes to this rule will enable individuals and participants. These participants include the Operating Rules & Guidelines unless entities to make Same-Day ACH the: the changes address enforcement and payments of up to $1,000,000 to the • Originator: A company or compliance of the Operating Rules & government and will enable Federal individual that agrees to initiate an ACH Guidelines, would adversely impact payments in the same amount. Failure entry according to an arrangement with government operations, or are irrelevant to adopt this rule at the same time as a Receiver. to Federal agency participation in the other ACH Network participants may • Originating Depository Financial ACH Network. prevent clearance and processing of Institution (ODFI): An institution that Currently, Part 210 incorporates the certain high-value transactions. For receives the payment instruction from 2019 Operating Rules & Guidelines, example, a taxpayer would be unable to the Originator and forwards the ACH subject to certain exceptions. Nacha has make a tax payment exceeding $100,000 entry to the ACH Operator. adopted several changes since the to the Federal Government via Same- • ACH Operator: A central clearing publication of the 2019 Operating Rules Day ACH, even though it could initiate facility that receives entries from ODFIs, & Guidelines, as reflected in the 2021 a similarly-sized Same-Day ACH distributes the entries to appropriate Operating Rules & Guidelines and payment to a private party. The failed Receiving Depository Financial supplements thereto.1 We are proposing transaction and resulting confusion Institutions, and performs settlement to incorporate in Part 210 most, but not could negatively impact both the functions for the financial institutions. all, of these changes. taxpayer and the Federal Government. • Receiving Depository Financial We are requesting public comment on Differentiating Unauthorized Return Institution (RDFI): An institution that all the proposed amendments to Part Codes receives entries from the ACH Operator 210. The 2020 Operating Rules & and posts them to the account of its II. Summary of Proposed Rule Changes Guidelines changed the usage of certain depositors (Receivers). Nacha ‘‘Return Reason Codes,’’ which • Receiver: An organization or Since the publication of the 2019 afforded financial institutions more consumer that has authorized an Operating Rules & Guidelines, Nacha insight into the reason why a Originator to initiate an ACH entry to published two versions of the Operating transaction was returned. the Receiver’s account with the RDFI. Rules & Guidelines, the 2020 Operating Under the prior rules, Nacha used one • Third-Party Service Provider: An Rules & Guidelines and the 2021 Return Reason Code (the R10 code) as entity other than the Originator, ODFI, Operating Rules & Guidelines. Below, a catch-all to identify transactions that or RDFI that performs any functions on we outline the major changes that were were returned for several underlying behalf of the Originator, ODFI, or RDFI published in these updates. return reasons, including some for in connection with processing ACH A. 2020 Operating Rules & Guidelines which a valid authorization existed. entries. These functions may include, Changes Under the revised Rule, Nacha re- for example, creating ACH files on purposed another Return Reason Code behalf of an Originator or ODFI, or The 2020 Operating Rules & (the R11 code) to allow ACH network acting as a sending point or receiving Guidelines proposed several changes to participants to more readily identify point on behalf of an ODFI or RDFI. the Operating Rules and Guidelines. ACH transactions that are being Rights and obligations among These changes included raising the returned due to an error, even though an participants in the ACH Network are Same Day ACH dollar limit, authorization exists for the transaction governed by Nacha’s Operating Rules & differentiating the codes associated with (e.g., if the authorization is for a Guidelines. The Operating Rules & certain return transactions, modifying different amount and/or date). The Guidelines establish standards for data security requirements, clarifying newly re-purposed code is used only to sending and receiving ACH entries, fraud detection standards for WEB Debit identify the return of a debit transaction provide specifications for the electronic transactions, and adding a new Same in which there is an error, but for which transmission of transaction information, Day ACH processing window. there is an authorization.2 set forth the rights and obligations of the Same Day ACH Dollar Limit Increase The Operating Rules & Guidelines entities listed above when transmitting, On March 31, 2021, Nacha approved will treat returned transactions using receiving or returning ACH entries, and a rule change to update the Same Day either code (R10 and R11) as cover other related matters. The ACH per-transaction dollar limit from unauthorized. However, an Originator Operating Rules & Guidelines also will be permitted to correct the provide guidance regarding best 1 The 2021 Operating Rules & Guidelines also underlying error in an R11 return (if practices to ACH Network participants. incorporates changes that Nacha previously possible). Subject to certain other There is an industry consensus that the adopted and incorporated into the 2020 Operating requirements, the Originator may be Operating Rules & Guidelines provide a Rules & Guidelines. This Notice of Proposed Rulemaking also highlights applicable changes to uniform set of standards for ACH the Operating Rules & Guidelines that were 2 The 2021 Operating Rules & Guidelines transactions and that these standards incorporated into the 2020 Operating Rules & implements a second phase of this rule. This enable efficient transaction processing. Guidelines. second phase is discussed below.

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able to resubmit the underlying ACH returned debit ACH transactions. The Operating Rules & Guidelines Nacha transaction without obtaining a new 2021 Operating Rules & Guidelines updated the effective date of part of this authorization.3 implements a second phase of this rule rule to be June 30, 2022. The rule We propose to adopt this change. change, which will apply Nacha’s expanded the existing ACH Security Doing so will allow the Fiscal Service to existing Unauthorized Entry Fee to ACH Framework to explicitly require large, remain consistent with industry debit entries that are returned with the non-financial institution Originators, practice, allowing for consistent newly repurposed code. As noted above, Third-Party Service Providers, and operation across the ACH network. these transactions are associated with an Third-Party Senders to protect account Moreover, using the R11 return code authorization of a debit transaction numbers used in the initiation of ACH will provide greater insight into the when there is an error or defect in the entries by rendering them unreadable reasons for the return of certain payment such that the entry does not when stored electronically. transactions. conform to the terms of the The Fiscal Service proposes to adopt authorization. the new effective date. The Fiscal Supplemental Fraud Detection The Fiscal Service proposes to adopt Service continues to support the Standards for WEB Debits this rule change. Adoption of this expansion of existing security The Fiscal Service previously adopted change maintains consistency with requirements to require large non- Nacha’s updated fraud detection other ACH Network participants and financial institution Originators to standards for WEB debit transactions.4 creates additional incentives them to protect account numbers used to initiate Fiscal Service adopted this change with minimize the amount of unauthorized ACH transactions by rendering them a delayed effective date of March 22, (or incorrectly authorized) ACH unreadable while stored electronically. 5 2022. The updated rule clarifies that transactions. ACH Contact Registry Nacha requirements for a ‘‘commercially reasonable fraudulent transaction Limitation on Warranty Claims In April 2019, Nacha approved a rule detection system’’ include the use of Nacha’s 2021 Operating Rules & creating an ACH contact registry. Under account validation services for WEB Guidelines impose time limits on an this rule, all ACH financial institutions debit transactions. We propose to adopt RDFI’s ability to make a claim against an are required to register contact the updated rule, which is non- ODFI’s authorization warranty. information for their ACH operations controversial. The Operating Rules & Guidelines and fraud and/or risk management require an ODFI to warrant that an ACH areas. Financial institutions may B. 2021 Operating Rules & Guidelines entry has been properly authorized by voluntarily register contacts for Changes the Receiver. Under the prior rules, additional personnel or departments at The 2021 Operating Rules & there was no time limit on the ODFI’s their discretion. The contact Guidelines implement several warranties. Instead, these limits were information is available to other additional changes beyond those in the determined by state statutes of registered ACH participating financial 2020 Operating Rules & Guidelines. limitations, which may vary. institutions, Payments Associations, These changes include, but are not The change sets forth different time ACH Operators, and Nacha to use in the limited to, clarifying certain portions of periods, depending upon whether the event of ACH-related system outages, the enforcement provisions of the transaction affects consumer and non- erroneous payments, duplicates, Operating Rules & Guidelines, consumer accounts. This rule allows an reversals, fraudulent payments and any implementing a new Same Day ACH RDFI to make a claim for one year from other use within scope, such as processing window, implementing a the settlement date of an entry to a non- identifying the proper contact for letters second phase of Nacha’s return code consumer account. In the case of an of indemnity. The contact information rule, establishing a time limit on certain entry to a consumer account, the RDFI includes Routing and Transit Numbers warranty claims, and implementing may make a claim for two years from the (RTNs). Nacha’s contact registry. entry’s Settlement Date. In addition, the Nacha is implementing the ACH RDFI can make a claim for entries Contact Registry rule in two phases. Enforcement settling within 95 calendar days from Phase 1 became effective on July 1, The 2021 Operating Rules & the Settlement Date of the first 2020, the date on which the registration Guidelines defines an egregious unauthorized debit to a consumer portal was opened for ‘‘Participating violation within the context of rules account. Depository Financial Institutions’’ to enforcement. The Fiscal Service proposes to adopt begin to submit and query contact We are proposing to not adopt this this rule change. Adoption will reduce information. Under Phase 2, Nacha’s amendment. Under 31 CFR 210.2(d), the the number of claims for older enforcement authority for the Rule enforcement provisions of the Operating transactions, although liability in some becomes effective. Rules & Guidelines are inapplicable to instances may be shifted to the Federal We are proposing to not adopt this Federal agencies. Government. On balance, the Federal amendment. Although, participation in Government may benefit from uniform the registry can be expected to provide Differentiating Unauthorized Return time limits that allow the opportunity to some benefits to the industry, all Reasons assert warranty claims when applicable, Federal Government RTNs are As discussed above, Nacha while also establishing firm time limits controlled by Treasury through the repurposed the R11 Return Reason code for asserting and defending claims. Fiscal Service. Fiscal Service prohibits to further differentiate between certain debit origination to all Treasury- Supplementing Data Security controlled ACH RTNs. To mitigate the 3 Some transaction errors, such as errors due to Requirements risk of inappropriate use of any the failure to provide certain notices or the failure Nacha previously expanded its Data Treasury RTNs, Treasury prohibits their to use an acceptable ‘‘source document,’’ cannot be corrected. In those cases, the Originator will be Security Requirements rule, which the publication. Joining the registry will required to submit a new ACH entry. Fiscal Service adopted,6 but in the 2021 unnecessarily expose Treasury RTNs to 4 See 85 FR 15,715 (Mar. 19, 2020). parties without a need to know that 5 Id. 6 See 85 FR 15,715 (Mar. 19, 2020). information. Moreover, under 31 CFR

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210.2(d), the enforcement provisions of • Better facilitate the use of electronic interactions and voice-related the Operating Rules & Guidelines are and oral Written Statements of technologies. inapplicable to Federal agencies. Unauthorized Debit. Under the rule, any oral authorization Reversals Standing Authorizations obtained via any channel will need to meet the requirement of an ‘‘oral The 2021 Operating Rules & The current authorization framework Guidelines also clarify the proper authorization.’’ An oral authorization for consumer ACH debits encompasses obtained over the internet that is not a circumstances under which an ACH recurring and single payments. entry may be reversed. Currently, the telephone call also will need to meet the Recurring payments occur at regular risk and security requirements that Operating Rules & Guidelines define a intervals, with no additional action currently apply to internet-Initiated/ limited number of permissible reasons required by the consumer to initiate the Mobile (VEB) ACH entries. The rule will for reversing entries; however, they do payment and are for the same or a allow for standing authorizations to be not explicitly address improper uses of similar amount. A single entry is a one- obtained orally. In addition, the rule reversals. The amendments to the time payment and can be between will allow for subsequent entries Operating Rules & Guidelines will parties that have no previous initiated under a standing authorization specifically state that the initiation of relationship. ACH Originators that have, to be initiated through voice commands, reversing entries or files for any reason or want to use, a different model for instructions, or affirmations. other than those explicitly permissible ongoing commerce do not have specific under the Operating Rules & Guidelines rules for payments that are a hybrid, The Fiscal Service proposes adoption is prohibited and define non-exclusive falling somewhere in between recurring of the amendment. The Fiscal Service examples of circumstances in which the and single entries. believes that the Oral Authorization rule origination of Reversals is improper. This rule change will define a may increase options for initiating The reversals rule will also establish Standing Authorization as an advance efficient ACH transactions with the additional formatting requirements for authorization by a consumer of future Federal Government. reversals; limit the ability to modify the debits at various intervals. The Other Authorization Issues contents of other fields in a reversing consumer would initiate the future entry to allow changes only to the extent debits by additional actions, which The 2021 Operating Rules & necessary to facilitate proper processing differs from the requirements for Guidelines also include rules changes of the reversal; explicitly permit an recurring ACH transactions. The rule grouped as Other Authorization Issues, RDFI to return an improper reversal; will allow the use of different Standard which cover other modifications and re- and expand the permissible reasons for Entry Class codes. By allowing standing organizations of the general a Reversing Entry to include an error in authorizations, Nacha proposes to fill authorization rules for clarity, the effective entry date. the gap between single and recurring flexibility, and consistency. The Fiscal Service proposes to adopt payments and enable businesses and The rule will re-organize the general this rule. The rule will clarify the consumers to make more flexible authorization rules to better incorporate circumstances under which entries can payment arrangements for relationships Standing Authorizations, Oral be reversed and assist in the efficient that are ongoing in nature. Authorizations, and other changes. In processing of ACH transactions The Fiscal Service proposes adoption addition, the amended rule will involving the Federal Government. of the amendment. The Fiscal Service explicitly state that authorization of any believes that the Standing Authorization Meaningful Modernization credit entry to a consumer account and rule may increase options for initiating The 2021 Operating Rules & any entry to a non-consumer account ACH transactions with the Federal Guidelines also contain five can be by any method allowed by law Government. Although the Federal amendments that Nacha characterizes as or regulation. Only consumer debit Government is not required to engage in ‘‘Meaningful Modernization.’’ These authorizations require a writing that is Standard Authorizations, adoption of five amendments are designed to signed or similarly authenticated. The this rule would allow agencies to adopt improve and simplify the ACH user amended rule also will require all new payment processes that better fit experience by facilitating the adoption authorizations to meet the standards of of new technologies and channels for their needs, and the need of their customers. ‘‘readily identifiable’’ and ‘‘clear and the authorization and initiation of ACH readily understandable terms,’’ which payments; reducing barriers to use of Oral Authorizations aim to reduce the incidence of the ACH Network; providing clarity and The current authorization language in erroneous transactions. Finally, the rule increasing consistency around certain will apply the ‘‘minimum data element’’ ACH authorization processes; and the Operating Rules & Guidelines does not provide for oral authorizations of an standards that currently are only stated reducing certain administrative burdens in the rules for Telephone-Initiated related to ACH authorizations. ACH payment outside of a telephone call. Only the Telephone-Initiated Entry Entries to all consumer debit Specifically, the five rules will: authorizations. • Explicitly define the use of standing (TEL) Standard Entry Class Code has authorizations for consumer ACH requirements to address the risks The Fiscal Service proposes adoption debits; specific to an oral authorization. of the amendments. The Fiscal Service • Define and allow for oral The Oral Authorizations rule will believes that these rule amendments authorization of consumer ACH debits define and allow Oral Authorizations as will benefit the Federal Government and beyond telephone calls; a valid authorization method for those who participate in ACH • Clarify and provide greater consumer debits distinct from a transactions with it. By adopting these consistency of ACH authorization telephone call. Nacha asserts that amendments, the Federal Government standards across payment initiation enabling the broader use of Oral will remain current with standard channels; Authorizations will allow businesses to industry practice and benefit from the • Reduce the administrative burden adopt ACH payments in transactional increased flexibility afforded by the of providing proof of authorization; and settings that make use of verbal authorization rules.

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Alternative to Proof of Authorization suggests that the significant majority of Rules with an effective date on or before The 2021 Operating Rules & WSUDs are still being obtained via March 31, 2021, as published in ‘‘2021 Guidelines also give an ACH Originator paper using a wet signature. Nacha Operating Rules & Guidelines’’ and Originator the option of accepting a The Written Statement of and supplements thereto, including the return of a transaction in lieu of Unauthorized Debit via Electronic or rule change adopted on March 31, 2021 providing a copy of an authorization. Oral Methods rule reduces an that will increase the Same Day ACH Under the current Rules, if an RDFI administrative burden on RDFIs and limit to $1 million, effective March 18, requests proof of authorization of a their customers. It clarifies and makes 2022. In addition, we are proposing to transaction, an Originator is required to explicit that an RDFI may obtain a expand the list of Operating Rules & provide proof of authorization to its consumer’s WSUD as an electronic Guidelines that are not incorporated by ODFI in such time that the ODFI can record, and an RDFI may accept a reference to include the Operating Rules respond to the RDFI’s request within ten consumer’s electronic signature, & Guidelines governing the Participating banking days. Nacha reports that some regardless of its form or the method DFI registry. ODFIs and Originators would prefer to used to obtain it. These changes will We are proposing to amend § 210.3(b) agree to accept the return of the debit emphasize that WSUDs may be obtained by replacing the references to the ‘‘2019 rather than expend the time and and signed electronically, which could NACHA Operating Rules & Guidelines’’ resources necessary to provide proof of include the same methods permissible with references to ‘‘Nacha’s 2021 authorization. for obtaining a consumer debit Operating Rules & Guidelines,’’ as Nacha believes that the ‘‘Alternative authorization. amended through March 31, 2021. The Fiscal Service proposes adoption to Proof of Authorization’’ rule will of these amendments. The Fiscal § 210.6 reduce an administrative burden on Service believes that the amendments to ODFIs and their Originators for We are proposing to amend paragraph this rule may increase the efficiency of providing proof of authorization in (g) by replacing the reference to the ACH transactions involving the Federal every instance in which it is requested ‘‘2019 NACHA Operating Rules and Government by explicitly allowing by an RDFI. By allowing an alternative, Guidelines’’ with a reference to the electronic records and signatures to be the rule is intended to help reduce the ‘‘2021 Nacha Operating Rules & used for written statements of costs and time needed to resolve some Guidelines.’’ unauthorized debits. This may allow exceptions in which proof of IV. Incorporation by Reference ACH network participants to expedite authorization in requested. However, if the processing of allegedly fraudulent In this NPRM, Fiscal Service is the RDFI still needs proof of electronic transactions involving the proposing to incorporate by reference authorization, the ODFI and its Federal Government and other parties. the 2021 Operating Rules & Guidelines, Originator must provide the proof of including Supplement #1–2021, as authorization within ten days of the Minor Rules Topics amended through March 31, 2021. The RDFI’s subsequent request. These amendments change several Office of Federal Register (OFR) The Fiscal Service proposes adoption areas of the Operating Rules & regulations require that agencies discuss of these amendments. The Fiscal Guidelines to address minor issues or in the preamble of a proposed rule ways Service believes that these rule correct errata. These changes have little- that the materials the agency proposes amendments may make certain ACH to-no impact on ACH participants and to incorporate by reference are transaction processes more efficient. For no material impact on the Federal reasonably available to interested example, in certain instances a Receiver Government’s participation in the ACH parties or how it worked to make those of an ACH transaction may dispute the network. NACHA’s minor rule materials reasonably available to authorization. If the Federal amendments became effective on interested parties. In addition, the Government determines that it is various dates, according to the date of preamble of the proposed rule must inefficient to provide the requested the Nacha errata correction or other summarize the material. 1 CFR 51.5(a). proof of authorization, the new rule will message. In accordance with OFR’s requirements, allow it to return the ACH instead of The Fiscal Service proposes to adopt the discussion in the Supplementary expending resources to locate and these minor rule amendments. Information section summarizes the transmit the information to the RDFI 2021 Operating Rules & Guidelines. and Receiver. III. Section-by-Section Analysis Financial institutions utilizing the ACH Written Statement of Unauthorized In order to incorporate in Part 210 the Network are bound by the Operating Debit via Electronic or Oral Methods Operating Rules & Guidelines changes Rules & Guidelines and have access to that we are accepting, we are replacing them in the course of their everyday The 2021 Operating Rules & references to the 2019 Rules & Guidelines changes the ‘‘Written business. The Operating Rules & Guidelines with references to the 2021 Guidelines are available as a bound Statement of Unauthorized Debit’’ rule, Operating Rules & Guidelines. which makes an RDFI responsible for book or in online form from Nacha— obtaining a consumer’s Written 210.2(a) The Electronic Payments Association, 2550 Wasser Terrace, Suite 400, Statement of Unauthorized Debit We are proposing to amend the (WSUD) prior to returning a debit as Herndon, Virginia 20171, tel. 703–561– reference to NACHA—The Electronic 1100, [email protected]. unauthorized. However, the current Payments Association (NACHA) to Operating Rules & Guidelines do not simply refer to Nacha. V. Procedural Analysis explicitly address electronically or orally provided WSUDs. Instead, they § 210.2(b) Request for Comment on Plain Language explicitly allow electronic records and We are proposing to amend the Executive Order 12866 requires each electronic signatures generally, which definition of ‘‘applicable ACH Rules’’ at agency in the Executive branch to write has resulted in confusion about the § 210.2(d) by replacing the reference to regulations that are simple and easy to electronic or oral acceptance of WSUDs. the ‘‘2019 NACHA Operating Rules and understand. We invite comment on how Nacha reports that anecdotal evidence Guidelines’’ with a reference to the ACH to make the proposed rule clearer. For

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example, you may wish to discuss: (1) Words of Issuance information on the availability of this Whether we have organized the material For the reasons set out in the material at NARA, email fr.inspection@ to suit your needs; (2) whether the preamble, the Fiscal Service proposes to nara.gov or go to www.archives.gov/ requirements of the rule are clear; or (3) amend 31 CFR part 210 as follows: federal-register/cfr/ibr-locations.html. whether there is something else we (1) Nacha, 2550 Wasser Terrace, Suite could do to make the rule easier to PART 210—FEDERAL GOVERNMENT 400, Herndon, Virginia 20171, tel. 703– understand. PARTICIPATION IN THE AUTOMATED 561–1100, [email protected]. CLEARING HOUSE (i) 2021 Nacha Operating Rules & Regulatory Planning and Review Guidelines, with an effective date on or ■ 1. The authority citation for part 210 before March 31, 2021. The proposed rule does not meet the continues to read as follows: (ii) Supplement #1–2021 to the 2021 criteria for a ‘‘significant regulatory Nacha Operating Rules & Guidelines. action’’ as defined in Executive Order Authority: 5 U.S.C. 5525; 12 U.S.C. 391; 31 U.S.C. 321, 3301, 3302, 3321, 3332, 3335, (2) [Reserved] 12866. Therefore, the regulatory review and 3720. * * * * * procedures contained therein do not ■ apply. 2. In § 210.2: David A. Lebryk, ■ a. Revise paragraph (a) and the Fiscal Assistant Secretary. Regulatory Flexibility Act Analysis introductory text to paragraph (d); [FR Doc. 2021–17268 Filed 8–18–21; 8:45 am] ■ b. Redesignate paragraphs (d)(2) It is hereby certified that the proposed through (7) as paragraphs (d)(3) through BILLING CODE P rule will not have a significant (8); and economic impact on a substantial ■ c. Add new paragraph (d)(2). number of small entities. The proposed The revisions and addition read as DEPARTMENT OF HOMELAND rule imposes on the Federal follows: SECURITY Government a number of changes that § 210.2 Definitions. Coast Guard Nacha has already adopted and imposed * * * * * on private sector entities that utilize the 33 CFR Part 165 ACH Network. The proposed rule does (a) ACH Rules means the Operating not impose any additional burdens, Rules and the Operating Guidelines [Docket Number USCG–2021–0637] published by Nacha, a national costs or impacts on any private sector association of regional member clearing RIN 1625–AA00 entities, including any small entities. house associations, ACH Operators, and Accordingly, a regulatory flexibility Safety Zone; Ironman Michigan, participating financial institutions Frankfort Harbor, MI analysis under the Regulatory located in the United States. Flexibility Act (5 U.S.C. 601 et seq.) is * * * * * AGENCY: Coast Guard, DHS. not required. (d) Applicable ACH Rules means the ACTION: Notice of proposed rulemaking. Unfunded Mandates Act of 1995 ACH Rules as published in ‘‘2021 Nacha Operating Rules & Guidelines: A SUMMARY: The Coast Guard is proposing Section 202 of the Unfunded Complete Guide to Rules Governing the to establish a temporary safety zone for Mandates Reform Act of 1995, 2 U.S.C. ACH Network’’and Supplement #1– certain waters of Betsie Lake in 1532 (Unfunded Mandates Act), 2021 (both incorporated by reference, Frankfort, MI. This action is necessary requires that the agency prepare a see § 210.3(b)), except: to provide for the safety of life on these navigable waters during the swim budgetary impact statement before * * * * * promulgating any rule likely to result in (2) Section 1.14 (governing the portion of an Ironman event on a Federal mandate that may result in the Participating DFI Contact registry); September 12, 2021. This proposed expenditure by State, local, and tribal rulemaking would restrict usage by * * * * * persons and vessels within the safety governments, in the aggregate, or by the ■ 3. In § 210.3, revise paragraph (b) to private sector, of $100 million or more zone. At no time during the effective read as follows: period may vessels transit the waters of in any one year. If a budgetary impact Betsie Lake in the vicinity of a statement is required, section 205 of the § 210.3 Governing law. * * * * * triangular shaped race course enclosed Unfunded Mandates Act also requires by the following three coordinates: the agency to identify and consider a (b) Incorporation by reference. Certain ° ′ ° ′ ° ′ material is incorporated by reference 44 37.88 N, 86 13.82 W to 44 37.83 N, reasonable number of regulatory 86°14.17′ W, to 44°37.54′ N, 86°13.67′ W alternatives before promulgating the into this part with the approval of the Director of the Federal Register under 5 then back to the starting point. The race rule. We have determined that the course will be marked by buoys. These proposed rule will not result in U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that restrictions would apply to all vessels expenditures by State, local, and tribal specified in this section, the Bureau of during the effective period unless governments, in the aggregate, or by the Fiscal Service must publish a document authorized by the Captain of the Port private sector, of $100 million or more in the Federal Register and the material Lake Michigan (COTP) or a designated in any one year. Accordingly, we have must be available to the public. All representative. We invite your not prepared a budgetary impact approved material is available for comments on this proposed rulemaking. statement or specifically addressed any inspection at the Bureau of the Fiscal DATES: Comments and related material regulatory alternatives. Service, 401 14th Street SW, Room must be received by the Coast Guard on List of Subjects in 31 CFR Part 210 400A, Washington, DC 20227, and from or before September 3, 2021. the sources listed elsewhere in this ADDRESSES: You may submit comments Automated Clearing House, Electronic paragraph. It is also available for identified by docket number USCG– funds transfer, Financial institutions, inspection at the National Archives and 2021–0637 using the Federal Fraud, Incorporation by reference. Records Administration (NARA). For eRulemaking Portal at https://

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www.regulations.gov. See the ‘‘Public period with respect to this rule because navigable waters of Betsie Lake in Participation and Request for the Coast Guard received details of the Frankfort, MI, and it is not anticipated Comments’’ portion of the finalize swim area with insufficient time to exceed 6 hours in duration. Thus, SUPPLEMENTARY INFORMATION section for remaining to undergo a full thirty-day restrictions on vessel movement within further instructions on submitting comment period. While it is that particular area are expected to be comments. impracticable to undergo a full thirty- minimal. Moreover, under certain FOR FURTHER INFORMATION CONTACT: If day comment period and still protect conditions vessels may still transit you have questions about this proposed the public from the hazards associated through the safety zone when permitted rulemaking, call or email Chief Petty with these operations, the Coast Guard by the COTP. invites comments for the next fifteen Officer Jeromy Sherrill, Sector Lake B. Impact on Small Entities Michigan Waterways Management days. The Regulatory Flexibility Act of Division, U.S. Coast Guard; telephone Under 5 U.S.C. 553(d)(3), the Coast 1980, 5 U.S.C. 601–612, as amended, 414–747–7148, email Guard finds that good cause exists for requires Federal agencies to consider [email protected]. making this rule effective less than 30 days after publication in the Federal the potential impact of regulations on SUPPLEMENTARY INFORMATION: Register. Delaying the effective date of small entities during rulemaking. The I. Table of Abbreviations this rule would be impracticable for the term ‘‘small entities’’ comprises small businesses, not-for-profit organizations CFR Code of Federal Regulations same reason stated above—immediate DHS Department of Homeland Security action is needed to respond to the that are independently owned and FR Federal Register potential safety hazards associated with operated and are not dominant in their NPRM Notice of proposed rulemaking the triathlon. fields, and governmental jurisdictions § Section with populations of less than 50,000. U.S.C. United States Code III. Discussion of Proposed Rule The Coast Guard certifies under 5 U.S.C. II. Background, Purpose, and Legal The COTP is proposing to establish a 605(b) that this proposed rule would not Basis safety zone from 5:00 a.m. through 11:00 have a significant economic impact on a.m. on September 12, 2021. The safety a substantial number of small entities. On March 8, 2021, the Coast Guard zone will cover all waters of Betsie Lake While some owners or operators of was notified by the event sponsor of its in the vicinity of a triangular shaped vessels intending to transit the safety intent to host Ironman Michigan in race course near Frankfort Municipal zone may be small entities, for the Frankfort, MI on September 12, 2021 Marina in Frankfort, MI. The duration of reasons stated in section IV.A above, from 5:00 a.m. to 11:00 a.m. The swim the zone is intended to ensure the safety this proposed rule would not have a area had not yet be finalized. On July of vessels and these navigable waters significant economic impact on any 23, 2021 the Coast Guard was notified before, during, and after the triathlon vessel owner or operator. of the finalized location of the swim event. No vessels or person would be If you think that your business, portion of the event. The swim will permitted to enter the safety zone organization, or governmental begin near Frankfort Municipal Marina without obtaining permission from the jurisdiction qualifies as a small entity in Betsie Lake. The race course will be COTP or a designated representative. and that this rule would have a triangular shaped area enclosed by the The regulatory text we are proposing significant economic impact on it, ° ′ following coordinates: 44 37.88 N, appears at the end of this document. please submit a comment (see ° ′ ° ′ ° ′ 86 13.82 W to 44 37.83 N, 86 14.17 W, ADDRESSES) explaining why you think it IV. Regulatory Analyses to 44°37.54′ N, 86°13.67′ W then back to qualifies and how and to what degree the starting point. The race course will We developed this proposed rule after this rule would economically affect it. be marked by buoys. The COTP has considering numerous statutes and Under section 213(a) of the Small determined that potential hazards Executive orders related to rulemaking. Business Regulatory Enforcement associated with the triathlon would be Below we summarize our analyses Fairness Act of 1996 (Pub. L. 104–121), a safety concern for anyone within the based on a number of these statutes and we want to assist small entities in safety zone that is not participating in Executive orders, and we discuss First understanding this proposed rule. If the the triathlon. Amendment rights of protestors. rule would affect your small business, The purpose of this rulemaking is to A. Regulatory Planning and Review organization, or governmental ensure the safety of person, vessels and jurisdiction and you have questions the navigable waters of Betsie Lake, MI. Executive Orders 12866 and 13563 concerning its provisions or options for The Coast Guard is proposing this direct agencies to assess the costs and compliance, please call or email the rulemaking under authority in 46 U.S.C. benefits of available regulatory person listed in the FOR FURTHER 70034 (previously 33 U.S.C. 1231). alternatives and, if regulation is INFORMATION CONTACT section. The Coast The Coast Guard is issuing this necessary, to select regulatory Guard will not retaliate against small temporary rule with an abridged notice approaches that maximize net benefits. entities that question or complain about and opportunity to comment pursuant This NPRM has not been designated a this proposed rule or any policy or to authority under section 4(a) of the ‘‘significant regulatory action,’’ under action of the Coast Guard. Administrative Procedure Act (APA) (5 Executive Order 12866. Accordingly, U.S.C. 553(b)). This provision the NPRM has not been reviewed by the C. Collection of Information authorizes an agency to issue a rule Office of Management and Budget This proposed rule would not call for without prior notice and opportunity to (OMB). a new collection of information under comment when the agency for good This regulatory action determination the Paperwork Reduction Act of 1995 cause finds that those procedures are is based on the characteristics of the (44 U.S.C. 3501–3520). ‘‘impracticable, unnecessary, or contrary safety zone. The safety zone created by to the public interest.’’ this proposed rule will relatively small D. Federalism and Indian Tribal Under 5 U.S.C. 553(b)(B), the Coast and is designed to minimize its impact Governments Guard finds that good cause exists for on navigable waters. This proposed rule A rule has implications for federalism not undertaking a thirty-day comment will prohibit entry into certain under Executive Order 13132

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(Federalism), if it has a substantial Consideration supporting this For the reasons discussed in the direct effect on the States, on the determination is available in the docket. preamble, the Coast Guard amends 33 relationship between the National For instructions on locating the docket, CFR part 165 as follows: Government and the States, or on the see the ADDRESSES section of this distribution of power and preamble. We seek any comments or PART 165—REGULATED NAVIGATION responsibilities among the various information that may lead to the AREAS AND LIMITED ACCESS AREAS levels of government. We have analyzed discovery of a significant environmental this proposed rule under that Order and impact from this proposed rule. ■ 1. The authority citation for part 165 have determined that it is consistent continues to read as follows: with the fundamental federalism G. Protest Activities principles and preemption requirements The Coast Guard respects the First Authority: 46 U.S.C. 70034, 70051; 33 CFR described in Executive Order 13132. Amendment rights of protesters. 1.05–1, 6.04–1, 6.04–6, and 160.5; Also, this proposed rule does not have Protesters are asked to call or email the Department of Homeland Security Delegation tribal implications under Executive person listed in the FOR FURTHER No. 00170.1, Revision No. 01.2. Order 13175 (Consultation and INFORMATION CONTACT section to ■ 2. Add § 165.T09–0637 to read as Coordination with Indian Tribal coordinate protest activities so that your follows: Governments) because it would not message can be received without have a substantial direct effect on one or jeopardizing the safety or security of § 165.T09–0637 Safety Zone; Ironman more Indian tribes, on the relationship people, places, or vessels. Michigan, Frankfort, MI between the Federal Government and Indian tribes, or on the distribution of V. Public Participation and Request for (a) Location. All waters of Betsie Lake power and responsibilities between the Comments in the vicinity of a triangular shaped Federal Government and Indian tribes. We view public participation as race course enclosed by the following ° ′ ° ′ If you believe this proposed rule has essential to effective rulemaking, and three coordinates: 44 37.88 N, 86 13.82 implications for federalism or Indian will consider all comments and material W to 44°37.83′ N, 86°14.17′ W, to 44° tribes, please call or email the person received during the comment period. 37.54′ N, 86°13.67′ W then back to the listed in the FOR FURTHER INFORMATION Your comment can help shape the starting point. CONTACT section. outcome of this rulemaking. If you (b) Enforcement Period. The safety submit a comment, please include the E. Unfunded Mandates Reform Act zone described in paragraph (a) would docket number for this rulemaking, be effective on September 12, 2021 from The Unfunded Mandates Reform Act indicate the specific section of this 5:00 a.m. through 11:00 a.m. of 1995 (2 U.S.C. 1531–1538) requires document to which each comment Federal agencies to assess the effects of applies, and provide a reason for each (c) Regulations. their discretionary regulatory actions. In suggestion or recommendation. (1) In accordance with the general particular, the Act addresses actions We encourage you to submit regulations in section § 165.23, entry that may result in the expenditure by a comments through the Federal into, transiting, or anchoring within this State, local, or tribal government, in the eRulemaking Portal at https:// safety zone is prohibited unless aggregate, or by the private sector of www.regulations.gov. If your material authorized by the COTP or a designated $100,000,000 (adjusted for inflation) or cannot be submitted using https:// representative. more in any one year. Though this www.regulations.gov, call or email the (2) This safety zone is closed to all proposed rule would not result in such person in the FOR FURTHER INFORMATION vessel traffic, except as may be an expenditure, we do discuss the CONTACT section of this document for effects of this rule elsewhere in this alternate instructions. permitted by the COTP or a designated preamble. We accept anonymous comments. All representative. F. Environment comments received will be posted (3) The ‘‘designated representative’’ of without change to https:// the COTP is any Coast Guard We have analyzed this proposed rule www.regulations.gov and will include commissioned, warrant, or petty officer under Department of Homeland any personal information you have who has been designated by the COTP Security Directive 023–01, Rev. 1, provided. For more about privacy and to act on his or her behalf. associated implementing instructions, submissions in response to this (4) Persons and vessel operators and Environmental Planning document, see DHS’s eRulemaking desiring to enter or operate within the COMDTINST 5090.1 (series), which System of Records notice (85 FR 14226, safety zone during the swim portion of guide the Coast Guard in complying March 11, 2020). with the National Environmental Policy Documents mentioned in this NPRM the triathlon must contact the COTP or Act of 1969 (42 U.S.C. 4321–4370f), and as being available in the docket, and all an on-scene representative to obtain have made a preliminary determination public comments, will be in our online permission to do so. The COTP or an that this action is one of a category of docket at https://www.regulations.gov on-scene representative may be actions that do not individually or and can be viewed by following that contacted via VHF Channel 16. Vessel cumulatively have a significant effect on website’s instructions. Additionally, if operators given permission to enter or the human environment. This proposed you go to the online docket and sign up operate in the safety zone must comply rule involves a safety zone lasting 2.5 for email alerts, you will be notified with all directions given to them by the hours that would prohibit entry within when comments are posted or a final COTP or an on-scene representative. a relatively small portion of Sturgeon rule is published. Dated: August 10, 2021. Bay. Normally such actions are categorically excluded from further List of Subjects in 33 CFR Part 165 D.P. Montoro, review under paragraph L60(a) of Harbors, Marine safety, Navigation Captain, U.S. Coast Guard, Captain of the Appendix A, Table 1 of DHS Instruction (water), Reporting and recordkeeping Port Lake Michigan. Manual 023–01–001–01, Rev. 1. A requirements, Security measures, [FR Doc. 2021–17752 Filed 8–18–21; 8:45 am] preliminary Record of Environmental Waterways. BILLING CODE 9110–04–P

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ENVIRONMENTAL PROTECTION making effective comments, please visit developing, implementing, and AGENCY https://www.epa.gov/dockets/ enforcing a federal plan. commenting-epa-dockets. The regulations at 40 CFR part 60, 40 CFR Part 62 Docket: The index to the docket for subpart B, contain general provisions [EPA–R06–OAR–2021–0517; FRL–8798–01– this action is available electronically at applicable to the adoption and submittal R6] www.regulations.gov. While all of state plans for controlling designated documents in the docket are listed in pollutants from designated facilities. Approval and Promulgation of State the index, some information may not be Additionally, 40 CFR part 62, subpart A, Air Quality Plans for Designated publicly available due to docket file size provides the procedural framework by Facilities and Pollutants; Texas; restrictions or content (e.g., CBI). which the EPA will approve or Control of Emissions From Existing disapprove such plans submitted by a Other Solid Waste Incineration Units FOR FURTHER INFORMATION CONTACT: state. When designated facilities are Karolina Ruan Lei, EPA Region 6 Office, located in a state, the state must then AGENCY: Environmental Protection Air and Radiation Division—State develop and submit a plan for the Agency (EPA). Planning and Implementation Branch, control of the designated pollutant(s). ACTION: Proposed rule. (214) 665–7346, ruan-lei.karolina@ EPA promulgated the OSWI NSPS epa.gov. Out of an abundance of caution and EG on December 16, 2005, codified SUMMARY: Pursuant to the Federal Clean for members of the public and our staff, at 40 CFR part 60, subparts EEEE and Air Act (CAA or the Act), the the EPA Region 6 office will be closed FFFF, respectively (70 FR 74870, as Environmental Protection Agency (EPA) to the public to reduce the risk of amended at 71 FR 67806, November 24, is proposing to approve the CAA section transmitting COVID–19. We encourage 2006). Thus, states were required to 111(d)/129 state plan submitted by the the public to submit comments via submit plans for incinerators subject to State of Texas for sources subject to the https://www.regulations.gov, as there the OSWI EG pursuant to sections Other Solid Waste Incineration Units will be a delay in processing mail and 111(d) and 129 of the Act and 40 CFR (OSWI) Emission Guidelines (EG). The no courier or hand deliveries will be part 60, subpart B. OSWI means very Texas OSWI plan was submitted to accepted. Please call or email the small municipal waste combustion unit fulfill state obligations under CAA contact listed above if you need or an institutional waste incineration section 111(d)/129 to implement and alternative access to material indexed unit (IWI) as defined under 40 CFR enforce the requirements under the but not provided in the docket. 60.3078. The designated facilities to OSWI EG. The EPA is proposing to SUPPLEMENTARY INFORMATION: which the current OSWI EG apply are approve the state plan in part and Throughout this document wherever OSWI and certain air curtain amend the agency regulations in 1 ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean incinerators (ACI) that commenced accordance with the requirements of the the EPA. construction on or before December 9, CAA. 2004, and were not modified or DATES: Written comments must be I. Background reconstructed on or after June 16, 2006, received on or before September 20, Sections 111(d) and 129 of the CAA as specified in 40 CFR 60.2991 and 2021. require states to submit plans to control 60.2992, with limited exceptions as ADDRESSES: Submit your comments, certain pollutants (designated provided under 40 CFR 60.2993. The identified by Docket No. EPA–R06– pollutants) at existing solid waste EPA proposed revisions to the OSWI EG OAR–2021–0517, at https:// combustor facilities (designated and NSPS on August 31, 2020 (85 FR www.regulations.gov or via email to facilities) whenever standards of 54178). When the EPA finalizes the 2 [email protected]. Follow the performance have been established revisions to the OSWI EG, each state online instructions for submitting under CAA section 111(b) for new (and air quality control jurisdiction) will comments. Once submitted, comments sources of the same type, and the EPA need to submit a negative declaration or cannot be edited or removed from has established emission guidelines for plan, as applicable, for those sources Regulations.gov. The EPA may publish such existing sources. CAA section 129 subject to the requirements of the final any comment received to its public directs the EPA to establish standards of revised OSWI EG. docket. Do not submit electronically any performance for new sources (NSPS) In order to fulfill obligations under information you consider to be and emissions guidelines (EG) for CAA sections 111(d) and 129, the Texas Confidential Business Information (CBI) existing sources for each category of Commission on Environmental Quality or other information whose disclosure is solid waste incinerator specified in CAA (TCEQ) submitted a state plan for the restricted by statute. Multimedia section 129. Under CAA section 129, control of emissions from sources submissions (audio, video, etc.) must be NSPS and EG must contain numerical subject to the OSWI EG for the State of 3 accompanied by a written comment. emissions limitations for particulate Texas on May 18, 2009. The Texas The written comment is considered the matter, opacity (as appropriate), sulfur OSWI plan implements and enforces the official comment and should include dioxide, hydrogen chloride, oxides of applicable provisions under the OSWI discussion of all points you wish to nitrogen, carbon monoxide, lead, EG at 40 CFR part 60, subpart FFFF, and make. The EPA will generally not cadmium, mercury, and dioxins and additionally meets the relevant consider comments or comment dibenzofurans. While NSPS are directly requirements of the CAA section 111(d) contents located outside of the primary applicable to new sources (affected 1 These ACI subject to the OSWI EG at 40 CFR submission (i.e., on the web, cloud, or facilities), EG for existing sources part 60, subpart FFFF are those ACI that do not fit other file sharing system). For (designated facilities) are intended for the definition of an ‘‘OSWI’’ as they burn certain additional submission methods, please states to use to develop a state plan to types of wastes. See 40 CFR 60.2994(b) and 40 CFR contact Karolina Ruan Lei, (214) 665– submit to the EPA. Once approved by 60.3078. 7346, [email protected]. For the the EPA, the state plan becomes 2 The court ordered deadline to promulgate the final OSWI review is May 31, 2021. Sierra Club v. full EPA public comment policy, federally enforceable. If a state does not Wheeler, 330 F. Supp. 3d 407. (D.D.C. 2018). information about CBI or multimedia submit an approvable state plan to the 3 The Texas OSWI plan submitted by TCEQ does submissions, and general guidance on EPA, the EPA is responsible for not cover sources located in Indian country.

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implementing regulations at 40 CFR part Section 60.2983 of the OSWI EG also October 4, 1993) and 13563 (76 FR 3821, 60, subpart B. It was subsequently requires the state plan to demonstrate January 21, 2011); discovered that 30 TAC § 113.2313(3)(B) that it is at least as protective as the • Does not impose an information is inconsistent with the delegation of OSWI EG if it deviates from the format collection burden under the provisions authority provisions of Title 40 CFR and content of the EG in 40 CFR part 60, of the Paperwork Reduction Act (44 60.2990(6) and 60.3020(c)(2). As subpart FFFF. The state plan must also U.S.C. 3501 et seq.); discussed in more detail in the next follow the requirements of 40 CFR part • section, on June 11, 2021, TCEQ 60, subpart B. The TSD goes into detail Is certified as not having a submitted a commitment letter to the as to how the Texas OSWI plan meets significant economic impact on a EPA to address a discrepancy in the these requirements. In evaluating the substantial number of small entities Texas OSWI plan. A copy of the Texas state’s OSWI plan, the EPA considered under the Regulatory Flexibility Act (5 submittal and the commitment letter is the commitment letter submitted by the U.S.C. 601 et seq.); included in the docket for this State. The letter addressed the • Does not contain any unfunded rulemaking (Docket No. EPA–R06– component of the state plan that is mandate or significantly or uniquely OAR–2021–0517).4 inconsistent with the withheld authority affect small governments, as described provisions of the OSWI EG, specifically, in the Unfunded Mandates Reform Act II. Evaluation the review of qualified operator of 1995 (Pub. L. 104–4); The EPA has evaluated the Texas accessibility status reports under 30 • Does not have federalism OSWI plan to determine whether the TAC § 113.2313(3)(B), which implications as specified in Executive plan meets applicable requirements corresponds to 40 CFR 60.3020(c)(2). In Order 13132 (64 FR 43255, August 10, from the OSWI EG at 40 CFR part 60, order to address the discrepancy, the 1999); subpart FFFF, and the CAA section TCEQ committed to forward any • 111(d) implementing regulations at 40 notification, report, or request it Is not an economically significant CFR part 60, subpart B. The EPA’s receives pursuant to 30 TAC regulatory action based on health or detailed rationale and discussion on the § 113.2313(3) to the EPA without taking safety risks subject to Executive Order Texas OSWI plan can be found in the any other action, including approving or 13045 (62 FR 19885, April 23, 1997); Technical Support Document (TSD), disapproving any request. • Is not a significant regulatory action located in the docket for this subject to Executive Order 13211 (66 FR rulemaking. III. Proposed Action 28355, May 22, 2001); Section 60.2983 of the OSWI EG The EPA is proposing to partially • Is not subject to requirements of addresses what must be included in approve the Texas OSWI plan submitted section 12(d) of the National state plan submittals. These by TCEQ and amend 40 CFR part 62 in Technology Transfer and Advancement requirements include: accordance with the requirements under Act of 1995 (15 U.S.C. 272 note) because (1) Inventory of affected incineration sections 111(d) and 129 of the CAA. The units, including those that have ceased application of those requirements would EPA is proposing to find that the Texas be inconsistent with the CAA; and operation but have not been dismantled. OSWI plan, with the exception of 30 (2) Inventory of emissions from • Does not provide the EPA with the TAC § 113.2313(3), is at least as affected incineration units in the State. discretionary authority to address, as protective as the Federal requirements (3) Compliance schedules for each appropriate, disproportionate human provided under the OSWI EG, codified affected incineration unit. health or environmental effects, using at 40 CFR part 60, subpart FFFF. Once (4) For each affected incineration unit, practicable and legally permissible approved by the EPA, the Texas OSWI emission limitations, operator training methods, under Executive Order 12898 plan will become federally enforceable. and qualification requirements, a waste (59 FR 7629, February 16, 1994). management plan, and operating IV. Statutory and Executive Order This rule also does not have Tribal parameter requirements that are at least Reviews implications because it will not have a as protective as the emission guidelines substantial direct effect on one or more contained in this subpart. Under the CAA, the Administrator is Indian Tribes, on the relationship (5) Stack testing, recordkeeping, and required to approve a CAA section between the Federal Government and reporting requirements. 111(d)/129 submission that complies (6) Transcript of the public hearing on with the provisions of the Act and Indian Tribes, or on the distribution of the State plan. applicable Federal regulations. 42 power and responsibilities between the (7) Provision for State progress reports U.S.C. 7411(d); 42 U.S.C. 7429; 40 CFR Federal Government and Indian Tribes, to EPA. part 60, subparts B and FFFF; and 40 as specified by Executive Order 13175 (8) Identification of enforceable State CFR part 62, subpart A. Thus, in (65 FR 67249, November 9, 2000). mechanisms that the State selected for reviewing CAA section 111(d)/129 state List of Subjects in 40 CFR Part 62 implementing the emission guidelines plan submissions, EPA’s role is to of this subpart. approve state choices, provided that Environmental protection, (9) Demonstration of the state’s legal they meet the criteria of the Act and Administrative practice and procedure, authority to carry out the sections implementing regulations. Accordingly, Air pollution control, Intergovernmental 111(d) and 129 in the state plan. this action merely proposes to approve relations, Reporting and recordkeeping state law as meeting Federal requirements, Waste treatment and 4 The May 18, 2009, Texas submittal also includes requirements and does not impose disposal. the CAA section 111(d)/129 plans addressing additional requirements beyond those Authority: 42 U.S.C. 7401 et seq. requirements for incinerators subject to the Small imposed by state law. For that reason, Municipal Waste Combustion units (SMWC) Dated: August 13, 2021. Emission Guidelines at 40 CFR part 60, subpart this action: BBBB, and the Commercial and Industrial Solid • Is not a ‘‘significant regulatory David Gray, Waste Incineration units (CISWI) Emission Acting Regional Administrator, Region 6. Guidelines at 40 CFR part 60, subpart DDDD. We action’’ subject to review by the Office are only addressing the Texas OSWI plan portion of Management and Budget under [FR Doc. 2021–17763 Filed 8–18–21; 8:45 am] in this rulemaking. Executive Orders 12866 (58 FR 51735, BILLING CODE 6560–50–P

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FEDERAL COMMUNICATIONS Washington, DC 20554. Alternative pursuant to the Small Business COMMISSION formats are available for people with Paperwork Relief Act of 2002, Public disabilities (Braille, large print, Law 107–198, see 44 U.S.C. 3506(c)(4). 47 CFR Part 2 electronic files, audio format), by Ex Parte Rules—Permit-But-Disclose [ET Docket No. 21–232, EA Docket No. 21– sending an email to [email protected] or 233; FCC 21–73; FR ID 39556] calling the Consumer and Governmental The proceeding this NOI initiates Affairs Bureau at 202–418–0530 (voice), shall be treated as a ‘‘permit-but- Protecting Against National Security 202–418–0432 (TTY). disclose’’ proceeding in accordance Threats to the Communications Supply with the Commission’s ex parte rules, Comment Filing Procedures Chain Through the Equipment 47 CFR 1.1200 et seq. Persons making ex Authorization Program and the Pursuant to §§ 1.415 and 1.419 of the parte presentations must file a copy of Competitive Bidding Program Commission’s rules, 47 CFR 1.415, any written presentation or a 1.419, interested parties may file memorandum summarizing any oral AGENCY: Federal Communications comments and reply comments on or presentation within two business days Commission. before the dates indicated on the first after the presentation (unless a different ACTION: Request for comments. page of this document. Comments may deadline applicable to the Sunshine be filed using the Commission’s period applies). Persons making oral ex SUMMARY: The Commission seeks Electronic Comment Filing System parte presentations are reminded that comment on how to leverage its (ECFS). See Electronic Filing of memoranda summarizing the equipment authorization program to Documents in Rulemaking Proceedings, presentation must (1) list all persons encourage manufacturers who are 63 FR 24121 (1998). attending or otherwise participating in building devices that will connect to • Electronic Filers: Comments may be the meeting at which the ex parte U.S. networks to consider cybersecurity filed electronically using the internet by presentation was made, and (2) standards and guidelines. accessing the ECFS: http://apps.fcc.gov/ summarize all data presented and DATES: Comments are due on or before ecfs/. arguments made during the September 20, 2021; reply comments are • Paper Filers: Parties who choose to presentation. If the presentation due on or before October 18, 2021. file by paper must file an original and consisted in whole or in part of the ADDRESSES: You may submit comments, one copy of each filing. presentation of data or arguments • identified by ET Docket No. 21–232, by Filings can be sent by commercial already reflected in the presenter’s any of the following methods: overnight courier, or by first-class or written comments, memoranda or other • Federal Communications overnight U.S. Postal Service mail. All filings in the proceeding, the presenter Commission’s Website: http:// filings must be addressed to the may provide citations to such data or apps.fcc.gov/ecfs/. Follow the Commission’s Secretary, Office of the arguments in his or her prior comments, instructions for submitting comments. Secretary, Federal Communications memoranda, or other filings (specifying • Mail: Filings can be sent by hand or Commission. the relevant page and/or paragraph • messenger delivery, by commercial Commercial overnight mail (other numbers where such data or arguments overnight courier, or by first-class or than U.S. Postal Service Express Mail can be found) in lieu of summarizing overnight U.S. Postal Service mail. All and Priority Mail) must be sent to 9050 them in the memorandum. Documents filings must be addressed to the Junction Drive, Annapolis Junction, MD shown or given to Commission staff 20701. during ex parte meetings are deemed to Commission’s Secretary Office of the • Secretary, Federal Communications U.S. Postal Service first-class, be written ex parte presentations and Commission. Express, and Priority mail must be must be filed consistent with rule For detailed instructions for addressed to 45 L Street NE, 1.1206(b). In proceedings governed by submitting comments and additional Washington, DC 20554. rule 1.49(f) or for which the • Effective March 19, 2020, and until information on the rulemaking process, Commission has made available a further notice, the Commission no method of electronic filing, written ex see the SUPPLEMENTARY INFORMATION longer accepts any hand or messenger section of this document. parte presentations and memoranda delivered filings. This is a temporary summarizing oral ex parte FOR FURTHER INFORMATION CONTACT: measure taken to help protect the health presentations, and all attachments Jamie Coleman Office of Engineering and safety of individuals, and to thereto, must be filed through the and Technology, 202–418–2705, mitigate the transmission of COVID–19. electronic comment filing system [email protected]. See FCC Announces Closure of FCC available for that proceeding, and must SUPPLEMENTARY INFORMATION: This is a Headquarters Open Window and be filed in their native format (e.g., .doc, summary of the Commission’s Notice of Change in Hand-Delivery Policy, Public .xml, .ppt, searchable .pdf). Participants Inquiry (NOI), that is part of ET Docket Notice, DA 20–304 (March 19, 2020). in this proceeding should familiarize No. 21–232, EA Docket No. 21–233, FCC https://www.fcc.gov/document/fcc- themselves with the Commission’s ex 21–73, that was adopted and released closes-headquarters-open-window-and- parte rules. June 17, 2021. The full text of this changes-hand-delivery-policy. document is available by downloading Synopsis the text from the Commission’s website Initial Paperwork Reduction Act of The Commission adopted this Notice at: https://www.fcc.gov/document/ 1995 Analysis of Inquiry (NOI) in conjunction with a equipment-authorization-and- This document does not contain Notice of Proposed Rulemaking, ET competitive-bidding-supply-chain- proposed information collection Docket No. 21–232, EA Docket No. 21– nprm. When the FCC Headquarters requirements subject to the Paperwork 233, FCC 21–73, in which it proposes reopens to the public, the full text of Reduction Act of 1995, Public Law 104– direct action to limit the presence of this document will also be available for 13. In addition, therefore, it does not untrusted equipment and services in public inspection and copying during contain any proposed information U.S. networks. The Commission regular business hours in the FCC collection burden for small business believes that ensuring continued U.S. Reference Center, 45 L Street NE, concerns with fewer than 25 employees, leadership requires that the Commission

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also explore opportunities to spur devices as early as 2015. Fed. Trade determining how to address customer trustworthy innovation for more secure Comm’n, Careful Connections: Building needs and goals; planning for adequate equipment. In this NOI, the Commission Security in the Internet of Things (Jan. support of customer needs and goals; seeks comment on how the Commission 2015), https://www.bulkorder.ftc.gov/ defining approaches for communicating can leverage its equipment system/files/publications/pdf0199- to customers; and deciding what to authorization program to encourage carefulconnections-buildingsecurity communicate to customers and how to manufacturers who are building devices internetofthings.pdf. Further, industry communicate it. These activities are that will connect to U.S. networks to trade groups, including CTIA–The intended to fit within a manufacturer’s consider cybersecurity standards and Wireless Association, GSMA, the ioXt existing development process. guidelines. Alliance, and TIA have produced The Commission seeks comment on The development and implementation cybersecurity guidance applicable to how it can leverage its equipment of effective cybersecurity practices various sectors of the communications authorization program to help address requires the continued cooperation and industry. Non-profit standards bodies the particular security risks that are participation of all stakeholders. In this and think tanks have also produced associated with IoT devices. Should the regard, the Commission observes that cybersecurity guidance that could be Commission encourage manufacturers both the public and private sectors have useful to the communications industry. of IoT devices to follow the guidance in come together to develop measures to See, e.g., internet Soc’y, Internet of the NIST IoT Report? If the Commission protect the integrity of communications Things (IoT) Trust Framework v2.5 (May were to utilize the equipment authorization process to incentivize networks and guard against malicious or 22, 2019), https:// better cybersecurity practices, either for foreign intrusions that can compromise www.internetsociety.org/resources/doc/ all devices or specifically for IoT network services, steal proprietary 2018/iot-trust-framework-v2-5/. More recently, NIST has developed a devices, what form should such information, and harm consumers. In Cybersecurity for IoT Program, which provisions take and how would such a particular, the National Institute of specifically ‘‘supports the development program be structured most effectively? Standards and Technology (NIST) has and application of standards, Should the FCC allow IoT worked with both industry and guidelines, and related tools to improve manufacturers to voluntarily certify government to produce multiple the cybersecurity of connected devices during the equipment authorization cybersecurity frameworks and other and the environments in which they are process that they have performed or forms of guidance that help protect the deployed.’’ Nat’l Inst. of Standards & plan to perform the activities described integrity of communications networks. Tech., NIST Cybersecurity for IoT in the guidance? Are there other Pursuant to Executive Order No. 13636, Program (last updated Mar. 19, 2021), technologies or cybersecurity methods NIST began working with public and https://www.nist.gov/programs-projects/ that mitigate security risks (e.g., RF private stakeholders to develop a nist-cybersecurity-iot-program. Devices fingerprinting or some other method)? voluntary cybersecurity framework that operate as part of the IoT What, if anything, should the designed to reduce risks to critical specifically raise concerns about Commission be doing to encourage infrastructure. Exec. Order No. 13636, security risks. For example, NTIA has development and adoption of such 78 FR 11737 (Feb. 19, 2013; see Nat’l recognized that connected devices in technologies or methods? Which Inst. of Standards & Tech., Cybersecurity the IoT can extend the scope and scale standards should be considered? Are Framework: New to Framework (last of automated, distributed attacks. there other incentives or considerations updated Sept. 23, 2020), https:// This Cybersecurity for IoT program that could encourage manufacturers to www.nist.gov/cyberframework/new- has produced multiple reports, but build security into their products? framework. This framework consists of perhaps most notable is Internal Report Commenters should discuss the ‘‘voluntary guidance, based on existing 8259, released in May 2020. Nat’l Inst. potential costs and benefits associated standards, guidelines, and practices for of Standards & Tech., Foundational with their proposals or with the organizations to better manage and Cybersecurity Activities for IoT Device potential approaches discussed herein. reduce cybersecurity risk.’’ See Nat’l Manufacturers, Internal Report 8259 Even with broad adoption of industry Inst. of Standards & Tech., Cybersecurity (May 2020) (NIST IoT Report), https:// best practices and standards, some Framework: New to Framework (last nvlpubs.nist.gov/nistpubs/ir/2020/ equipment sold in the United States updated Sept. 23, 2020), https:// NIST.IR.8259.pdf. This NIST IoT Report may lack appropriate security www.nist.gov/cyberframework/new- details activities that ‘‘can help protections. What is the role of retailers framework. Originally issued in 2013, manufacturers lessen the cybersecurity- in voluntarily limiting the sale of such the NIST cybersecurity framework was related efforts needed by customers, equipment? How can retailers educate updated in 2018 to clarify and refine which in turn can reduce the prevalence consumers about the importance of certain aspects and better explain how and severity of IoT device compromises security protections for their devices? entities should use the framework to and the attacks performed using The Commission also seeks to improve their cybersecurity practices. compromised devices.’’ Id. The NIST understand developments in See Nat’l Inst. of Standards & Tech., IoT Report is voluntary guidance international standards-setting bodies. Framework for Improving Critical intended to help promote the best What is the status of international Infrastructure Cybersecurity: Version 1.1 available practices for mitigating risks to standards-setting that could be relevant (Apr. 16, 2018), https:// IoT security. The report describes six to supply chain security, and what can nvlpubs.nist.gov/nistpubs/CSWP/ recommended foundational the FCC do to encourage action by NIST.CSWP.04162018.pdf. In addition, cybersecurity activities that international standards-setting bodies among other organizations, the Federal manufacturers should consider and participation by American Trade Commission has been active in performing to improve the securability companies in their efforts? cybersecurity matters for years, bringing of the new IoT devices they make. They The Commission observes that the multiple enforcement actions against include identifying expected customers Consumer Technology Association firms for having poor cybersecurity and users and defining expected use (CTA) published a white paper offering practices and offering cybersecurity cases; researching customer guidance for how government, industry, guidance for Internet of Things (IoT) cybersecurity needs and goals; and consumers can all work together to

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promote better cybersecurity practices not specifically authorized by the interference to radio communications.’’ going forward. Consumer Tech. Ass’n, Secure Networks Act itself, pursuant to 47 U.S.C. 302(a)(1). Regulations that the Smart Policy to Secure our Smart which the Commission adopted the Commission adopts in implementing Future: How to Promote a Secure Covered List. However, the Commission that authority ‘‘shall be applicable to the Internet of Things for Consumers (Mar. has broad authority to adopt rules, not manufacture, import, sale, offer for sale, 2021) (CTA Cybersecurity White Paper), inconsistent with the Communications or shipment of such devices and . . . to https://www.cta.tech/Resources/ Act, ‘‘as may be necessary in the the use of such devices.’’ 47 U.S.C. Newsroom/Media-Releases/2021/ execution of its functions.’’ 47 U.S.C. 302(a)(2). The authorization processes March/IOT-Device-Security-White- 154(i). The Commission believes that, in are primarily for the purpose of Paper-Release. In this white paper, CTA order to ensure that the Commission’s evaluating equipment’s compliance encourages public-private partnerships rules under the Secure Networks Act with technical specifications intended to develop and deploy risk-based effectively preclude use of equipment to minimize the interference potential of approaches to cybersecurity, and argues on the Covered List by USF recipients devices that emit RF energy. As noted that ‘‘neither the new Administration as contemplated by Congress, it is above, however, these rules are also nor Congress should embrace rules, necessary to rely on the Commission’s designed to implement other statutory product labels or certification regimes established equipment authorization responsibilities. The Commission seeks for consumer IoT.’’ They claim that procedures to restrict further equipment comment on the scope of the authority ‘‘[c]ybersecurity mandates, pre-market authorization, and the importation and to rely on such rules to effectuate other ‘approval,’ and government certification marketing, of such devices in the first public interest responsibilities, or labeling of IoT devices are likely to instance. As discussed above, the including the Commission’s section require an enormous bureaucracy and Commission also relies on the 303(e) authority to ‘‘[r]egulate the kind have unintended consequences.’’ The equipment authorization process to of apparatus to be used with respect to Commission seeks comment on these implement other statutory duties, its external effects.’’ 47 U.S.C. 303(e). views. Are there any gaps in the NIST including the duty to promote efficient Section 302(a) directs the Commission IoT Report or other federal efforts to use of the radio spectrum, the duties to make reasonable regulations address IoT security that the under the National Environmental consistent with the public interest Commission could help address? Policy Act to regulate human RF governing the interference potential of The Commission recognizes that exposure, the Commission’s duty to devices; it would appear to be in the consideration of how to incentivize ensure that mobile handsets are public interest not to approve devices cybersecurity best practices through the compatible with hearing aids, and the capable of emitting RF energy in equipment authorization process aligns duty to deny federal benefits to certain sufficient degree to cause harmful closely with the recently issued individuals who have been convicted interference to radio communications if Executive Order 14028, which directs multiple times of federal offenses such equipment has been deemed, NIST to work with the Federal Trade related to trafficking in or possession of pursuant to law, to pose an Commission and other agencies to controlled substances. The Commission unacceptable risk to the national develop a labeling program to identify believes that these processes can and security of the United States or the specific IoT cybersecurity criteria and should also serve the purpose of security and safety of United States provide that information to consumers. fulfilling other Commission persons. The Commission seeks Exec. Order No. 14028, Executive Order responsibilities under the Secure on Improving the Nation’s comment on this tentative conclusion. Networks Act, and the Commission Cybersecurity, 86 FR 26633, 26640–41, The Commission also seeks comment seeks comment on that issue. § 4(s)–(u) (May 17, 2021). While the on a potential alternative basis for such Director of NIST has not yet identified The Commission also believes that security rules. The Communications the agencies that will participate in the other authorities in the Communications Assistance for Law Enforcement Act forthcoming IoT cybersecurity labeling Act of 1934, as amended, provide (CALEA) includes security requirements program, the Commission seeks authority for the Commission to rely on that apply directly to equipment comment on whether the Commission for potential modifications to its rules intended for use by providers of can support these efforts, either directly and procedures governing equipment telecommunications services. 47 U.S.C. or indirectly. If so, how? authorization. Since Congress added 1001–1010. Section 105 requires section 302 to the Act, the telecommunications carriers to ensure Legal Authority Commission’s part 2 equipment that the surveillance capabilities built Adopting rules that take security into authorization rules and processes have into their networks ‘‘can be activated consideration in the equipment served to ensure that RF equipment only in accordance with a court order or authorization process would serve the marketed, sold, imported, and used in other lawful authorization and with the public interest by addressing significant the United States complies with the affirmative intervention of an individual national security risks that have been applicable rules governing use of such officer or employee of the carrier acting identified by this Commission in other equipment. See Equipment in accordance with regulations proceedings, and by Congress and other Authorization of RF Devices, Docket No. prescribed by the Commission,’’ (47 federal agencies, and doing so would be 19356, Report and Order, 39 FR 5912, U.S.C. 1004) and the Commission has consistent with the Commission’s 5912, para. 2 (1970). That section concluded that its rule prohibiting the statutory ‘‘purpose of regulating authorizes the Commission to, use of equipment produced or provided interstate and foreign commerce in ‘‘consistent with the public interest, by any company posing a national communication by wire and radio . . . convenience, and necessity, make security threat implements that for the purpose of the national defense reasonable regulations . . . governing provision. Supply Chain First Report [and] for the purpose of promoting the interference potential of devices and Order, 34 FCC Rcd at 11436–37, safety of life and property through the which in their operation are capable of paras. 35–36. The Commission is use of wire and radio communications.’’ emitting radio frequency energy by required to prescribe rules necessary to 47 U.S.C. 151. The Commission radiation, conduction, or other means in implement CALEA’s requirements. 47 tentatively concludes that doing so is sufficient degree to cause harmful U.S.C. 229.

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As noted above, the Commission October 18, 2021. Written comments on Docket No. 21–232 and EA Docket No. believes it has ancillary authority under the Paperwork Reduction Act proposed 21–233; FCC 21–73, adopted and section 4(i) of the Act to consider information collection requirements released June 17, 2021. The full text of revisions to its part 2 rules as reasonably must be submitted by the public, Office this document is available by necessary to the effective enforcement of of Management and Budget (OMB), and downloading the text from the the Secure Networks Act. The other interested parties on or before Commission’s website at: https:// Commission also tentatively concludes October 18, 2021. www.fcc.gov/document/equipment- that such rules would be consistent with ADDRESSES: You may submit comments, authorization-and-competitive-bidding- the Commission’s specific statutorily identified by ET Docket No. 21–232, by supply-chain-nprm. When the FCC mandated responsibilities under the any of the following methods: Headquarters reopens to the public, the Communications Act to make • Electronic Filers: Comments may be full text of this document will also be reasonable regulations consistent with filed electronically using the internet by available for public inspection and the public interest governing the accessing the ECFS: http://apps.fcc.gov/ copying during regular business hours interference potential of electronic ecfs/. in the FCC Reference Center, 45 L Street devices, to protect consumers through • Paper Filers: Parties who choose to NE, Washington, DC 20554. the oversight of common carriers under file by paper must file an original and Initial Paperwork Reduction Act of Title II of that Act, and to prescribe the one copy of each filing. 1995 Analysis nature of services to be rendered by • Filings can be sent by commercial radio licensees under section 303(b) of overnight courier, or by first-class or This document contains proposed that Act. The Commission seeks overnight U.S. Postal Service mail. All information collection requirements. comment on this reasoning as well. The filings must be addressed to the The Commission, as part of its Commission also seeks comment on any Commission’s Secretary, Office of the continuing effort to reduce paperwork other sources of authority for the Secretary, Federal Communications burdens, invites the general public and Commission to propose rules as a result Commission. the Office of Management and Budget of this Notice of Inquiry. • Commercial overnight mail (other (OMB) to comment on the information collection requirements contained in Federal Communications Commission. than U.S. Postal Service Express Mail and Priority Mail) must be sent to 9050 this document, as required by the Marlene Dortch, Junction Drive, Annapolis Junction, MD Paperwork Reduction Act of 1995, Secretary. 20701. Public Law 104–13. Public and agency [FR Doc. 2021–16087 Filed 8–18–21; 8:45 am] • U.S. Postal Service first-class, comments are due October 18, 2021. BILLING CODE 6712–01–P Express, and Priority mail must be Comments should address: (a) addressed to 45 L Street NE, Whether the proposed collection of Washington, DC 20554. information is necessary for the proper FEDERAL COMMUNICATIONS • Effective March 19, 2020, and until performance of the functions of the COMMISSION further notice, the Commission no Commission, including whether the longer accepts any hand or messenger information shall have practical utility; 47 CFR Part 2 delivered filings. This is a temporary (b) the accuracy of the Commission’s [ET Docket No. 21–232, EA Docket No. 21– measure taken to help protect the health burden estimates; (c) ways to enhance 233; FCC 21–73; FR ID 39522] and safety of individuals, and to the quality, utility, and clarity of the mitigate the transmission of COVID–19. information collected; (d) ways to Protecting Against National Security See FCC Announces Closure of FCC minimize the burden of the collection of Threats to the Communications Supply Headquarters Open Window and information on the respondents, Chain Through the Equipment Change in Hand-Delivery Policy, Public including the use of automated Authorization Program and the Notice, DA 20–304 (March 19, 2020). collection techniques or other forms of Competitive Bidding Program https://www.fcc.gov/document/fcc- information technology; and (e) way to AGENCY: Federal Communications closes-headquarters-open-window-and- further reduce the information Commission. changes-hand-delivery-policy. collection burden on small business People with disabilities: To request concerns with fewer than 25 employees. ACTION: Proposed rule. materials in accessible formats for In addition, pursuant to the Small SUMMARY: The Commission proposes to people with disabilities (braille, large Business Paperwork Relief Act of 2002, revise rules related to its equipment print, electronic files, audio format), Public Law 107–198, see 44 U.S.C. authorization processes to prohibit send an email to [email protected] or 3506(c)(4), we seek specific comment on authorization of any ‘‘covered’’ calling the Consumer and Governmental how we might further reduce the equipment on the recently established Affairs Bureau at 202–418–0530 (voice), information collection burden for small Covered List. The Commission also 202–418–0432 (TTY). business concerns with fewer than 25 seeks comment on whether to require FOR FURTHER INFORMATION CONTACT: employees. additional certification relating to Jamie Coleman, Office of Engineering OMB Control Number: 3060–0057. national security from applicants who and Technology, 202–418–2705, Title: Application for Equipment wish to participate in the Commission’s [email protected]. For Authorization, FCC Form 731. competitive bidding auctions. This information regarding the PRA Form No.: FCC Form 731. action explores steps the Commission information collection requirements Type of Review: Revision of a can take to further its goal of protecting contained in this PRA, contact Nicole currently approved collection. Respondents: Business or other for- communications networks from Ongele, Office of Managing Director, at profit. communications equipment and (202) 418–2991 or Nicole.Ongele@ Number of Respondents and services that pose a national security fcc.gov. Responses: 11,305 respondents; 24,873 risk. SUPPLEMENTARY INFORMATION: This is a responses. DATES: Comments are due September summary of the Commission’s Notice of Estimated Time per Response: 8.11 20, 2021. Reply comments are due Proposed Rulemaking (NPRM), in ET hours (rounded).

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Frequency of Response: On occasion with the Commission’s ex parte rules, the Covered List maintained and and one-time reporting requirements; 47 CFR 1.1200 et seq. Persons making ex updated by the Commission’s Public third-party disclosure requirement. parte presentations must file a copy of Safety and Homeland Security Bureau Obligation to Respond: Required to any written presentation or a (PSHSB) at https://www.fcc.gov/ obtain or retain benefits. Statutory memorandum summarizing any oral supplychain/coveredlist. The authority for this information collection presentation within two business days Commission also seeks comment on is contained in the 47 U.S.C. 154(i), 301, after the presentation (unless a different whether the rules concerning equipment 302, 303, 309(j), 312, and 316, and 47 deadline applicable to the Sunshine currently exempted from the equipment CFR 1.411. period applies). Persons making oral ex authorization requirement should be Total Annual Burden: 206,863 hours. parte presentations are reminded that revised to ensure that any ‘‘covered’’ Total Annual Costs: $50,155,140. memoranda summarizing the equipment cannot qualify for such Privacy Act Impact Assessment: Yes. presentation must (1) list all persons exemption. In addition, the Commission The personally identifiable information attending or otherwise participating in seeks comment on whether to revoke (PII) in this information collection is the meeting at which the ex parte any of the authorizations that have been covered by a Privacy Impact Assessment presentation was made, and (2) previously granted for ‘‘covered’’ (PIA), Equipment Authorizations summarize all data presented and equipment on the Covered List, and if Records and Files Information System. arguments made during the so, which ones and through what It is posted at: https://www.fcc.gov/ presentation. If the presentation procedures. Finally, the Commission general/privacy-act-information#pia. consisted in whole or in part of the seeks comment on new certifications for Nature and Extent of Confidentiality: presentation of data or arguments applicants that wish to participate in Minimal exemption from the Freedom already reflected in the presenter’s Commission auctions that would further of Information Act (FOIA) under 5 written comments, memoranda or other address the risks posed by companies U.S.C. 552(b)(4) and FCC rules under 47 filings in the proceeding, the presenter that the Commission has designated as CFR 0.457(d) is granted for trade secrets may provide citations to such data or posing a national security threat to the which may be submitted as attachments arguments in his or her prior comments, integrity of communications networks to the application FCC Form 731. No memoranda, or other filings (specifying and the communications supply chain. other assurances of confidentiality are the relevant page and/or paragraph II. Background provided to respondents. numbers where such data or arguments Needs and Uses: The Commission The Covered List. On March 21, 2021, can be found) in lieu of summarizing will submit this revised information PSHSB published the Covered List them in the memorandum. Documents collection to the Office of Management identifying the covered equipment and shown or given to Commission staff and Budget (OMB) after this 60-day services that specific, enumerated during ex parte meetings are deemed to comment period to obtain the three-year sources have deemed to pose an be written ex parte presentations and clearance. The Commission is reporting unacceptable risk to the national must be filed consistent with rule program changes, increases to this security of the United States or the 1.1206(b). In proceedings governed by information collection. security and safety of United States rule 1.49(f) or for which the On June 17, 2021, the Commission persons. ‘‘Public Safety and Homeland Commission has made available a adopted a Notice of Proposed Security Bureau Announces Publication Rulemaking and Notice of Inquiry in ET method of electronic filing, written ex of the List of Equipment and Services Docket. No. 21–232 and EA Docket No. parte presentations and memoranda Covered by Section 2 of the Secure 21–233, FCC 21–73, ‘‘Protecting Against summarizing oral ex parte Networks Act,’’ WC Docket No. 18–89, National Security Threats to the presentations, and all attachments Public Notice, DA 21–309 (PSHSB, Mar. Communications Supply Chain through thereto, must be filed through the 12, 2021) (Covered List Public Notice); the Equipment Authorization Program.’’ electronic comment filing system see 47 CFR 1.50002. Pursuant to 47 CFR Among other proposed rules intended to available for that proceeding, and must 1.50002, this Covered List identified secure our nation’s telecommunications be filed in their native format (e.g., .doc, certain telecommunications equipment networks, the Commission proposes to .xml, .ppt, searchable .pdf). Participants and services produced or provided by amend the 47 CFR part 2 rules related in this proceeding should familiarize Huawei Technologies Company and to equipment authorization to prohibit themselves with the Commission’s ex ZTE Corporation, and video the authorization of communications parte rules. surveillance and telecommunications equipment if the Commission Synopsis equipment and services produced or determines that such equipment or provided by Hytera Communications I. Introduction service poses an unacceptable risk to the Corporation, Hangzhou Hikvision national security of the United States or In this Notice of Proposed Digital Technology Company, and the security and safety of United States Rulemaking (NPRM), the Commission Dahua Technology Company—and their persons. Accordingly, the Commission proposes revisions to its equipment respective subsidiaries and/or affiliates. proposes to add § 2.911 to its rules, 47 authorization rules and processes to The Commission tasked PSHSB with CFR 2.911. The statutory authority for prohibit authorization of any ongoing responsibilities for monitoring this collection of information is communications equipment on the list the status of the determinations and authorized under sections 4(i), 301, 302, of equipment and services (Covered periodically updating the Covered List 303, 309(j), 312, and 316 of the List) that the Commission maintains to address changes as appropriate. Communications Act of 1934, as pursuant to the Secure and Trusted The equipment authorization amended, 47 U.S.C. 154(i), 301, 302, Communications Networks Act of 2019. program. The Commission’s current 303, 309(j), 312, and 316. Secure and Trusted Communications rules provide two different approval Networks Act of 2019, Public Law 116– procedures for equipment Ex Parte Rules—Permit-But-Disclose 124, 133 Stat. 158 (2020) (codified as authorization—Certification of The proceeding this NPRM initiates amended at 47 U.S.C. 1601–1609) equipment and Supplier’s Declaration of shall be treated as a ‘‘permit-but- (Secure Networks Act). This prohibition Conformity (SDoC). As a general matter, disclose’’ proceeding in accordance would apply to ‘‘covered’’ equipment on for a radiofrequency device (RF device)

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to be marketed or operated in the United Order (Supply Chain Second Report and Service Programs—to obtain or maintain States, it must have been authorized for Order, 35 FCC Rcd 14284), published such equipment or services. 47 U.S.C. use through one of these two processes. the Covered List, which identifies 1602; 47 CFR 1.50000 et seq.; see Some RF equipment has been exempted ‘‘covered’’ equipment and services that Protecting Against National Security from the need for an equipment pose an unacceptable risk to national Threats to the Communications Supply authorization. At this time, the security or to the security and safety of Chain Through FCC Programs, WC Commission’s current equipment U.S. persons. Covered List Public Docket No. 18–89, Declaratory Ruling authorization rules do not include Notice; see 47 CFR 1.50002. PSHSB will and Second Further Notice of Proposed specific provisions addressing the continue to update that list as Rulemaking, 35 FCC Rcd 7821, 7825–28, ‘‘covered’’ equipment on the Covered appropriate. Although the Commission, paras. 16–22 (2020). List. through PSHSB, publishes and updates This NPRM seeks comment on Competitive bidding certifications. the Covered List, the equipment and various steps that the Commission could The Commission uses competitive services included on the list are take in its equipment authorization bidding to determine which among identified by specific external sources multiple applicants with mutually enumerated in the Secure Networks Act. program, as well as its competitive exclusive applications for a license may 47 CFR 1.50002(b)(1)(i)–(iv). bidding program, to reduce threats posed to our nation’s communications file a full application for the license. This Covered List identifies Congress gave the Commission the system. The Commission proposes communications equipment and revisions to its equipment authorization authority to require such information services that pose an unacceptable risk and assurances from applicants to rules and procedures under part 2 to to the national security of the United participate in competitive bidding as is prohibit authorization of any ‘‘covered’’ States or the security and safety of necessary to demonstrate that their equipment on the Covered List. It also United States persons. The Commission application is acceptable. Pursuant to seeks comment on whether to revise the is required to include communications this authority, the Commission has rules on equipment currently exempted equipment and services on the list based required each applicant to participate in exclusively on determinations made by from the equipment authorization competitive bidding to make various Congress and by other U.S. government requirements to no longer permit this certifications. agencies. 47 U.S.C. 1601(c). Currently, exemption for such ‘‘covered’’ III. Discussion the list includes equipment and services equipment. In addition, it seeks comment on whether the Commission In this NPRM, the Commission produced or provided by five entities: ‘‘Telecommunications equipment should revoke equipment authorizations examines its rules relating to equipment of ‘‘covered’’ equipment, and if so under authorization and participation in produced or provided by’’ Huawei Technologies Company or ZTE what conditions and procedures. Commission auctions to help advance Finally, we include questions the Commission’s goal of protecting Corporation, or their respective subsidiaries and affiliates, ‘‘including concerning possible revisions to the national security and public safety. This Commission’s competitive bidding proceeding builds on other actions the telecommunications or video procedures that could address certain Commission recently has taken to surveillance services produced or concerns related to ‘‘covered’’ protect and secure our nation’s provided by such [entities] or using equipment and services. Notably, the communications systems. such equipment;’’ and ‘‘Video In other proceedings over the last surveillance and telecommunications Commission must ‘‘periodically update three years, the Commission has taken equipment produced or provided by’’ the list . . . to address changes in several actions to prevent use of Hytera Communications Corporation, [external] determinations . . . [and] equipment and services that pose an Hangzhou Hikvision Digital Technology shall monitor the making and reversing unacceptable risk to our nation’s Company, or Dahua Technology of determinations . . . in order to place communications networks. In June Company, or their respective additional communications equipment 2020, the Public Safety and Homeland subsidiaries and affiliates, ‘‘to the extent or services on the list . . . or to remove Security Bureau (PSHSB) designated it is used for the purpose of public communications equipment and Huawei and ZTE as national security safety, security of government facilities, services from such list.’’ Secure threats to the integrity of physical security surveillance of critical Networks Act § 2(d)(1)–(2); see also 47 communications networks, prohibiting infrastructure, and other national CFR 1.50003. If one of the enumerated the use of Universal Service Fund (USF) security purposes, including sources named in the Secure Networks support to purchase, obtain, maintain, telecommunications or video Act modifies or deletes a determination, improve, modify, or otherwise support surveillance services produced or PSHSB will do the same and modify the any equipment or services produced or provided by such [entities] or using Covered List accordingly. See 47 CFR provided by Huawei and ZTE. See such equipment.’’ Covered List Public 1.50003(b) (if a determination regarding Protecting Against National Security Notice at 3. (As noted in this Public covered communications equipment or Threats to the Communications Supply Notice, where equipment or services on service on the Covered List is reversed Chain Through FCC Programs—Huawei the list are identified by category, such or modified, directing PSHSB to remove Designation, PS Docket No. 19–351, category should be construed to include from or modify the entry of such Order, 35 FCC Rcd 6604 (PSHSB 2020) only equipment or services capable of equipment or service on the Covered (Huawei Designation Order); See the functions outlined in sections List, except if any of the sources Protecting Against National Security 2(b)(2)(A), (B), or (C) of the Secure identified in 47 CFR 1.50002(b)(1)(i)– Threats to the Communications Supply Networks Act. 47 U.S.C. 1601(b)(2)(A)– (iv) maintains a determination Chain Through FCC Programs—ZTE (C)). Under the Secure Networks Act supporting inclusion of such equipment Designation, PS Docket No. 19–352, and the Commission’s new rule, part 1, or service on the Covered List). The Order, 35 FCC Rcd 6633 (PSHSB 2020) subpart DD, inclusion of equipment and Commission seeks comment on how (ZTE Designation Order). Most recently, services on the Covered List precludes future updates to the Covered List PSHSB, as required by the December the use of federal subsidy funds—e.g., should affect our proposals in this 2020 Supply Chain Second Report and funds from the Commission’s Universal Notice.

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A. Equipment Authorization Rules and should be included here to more fully b. Certification Rules Procedures capture the scope of the Commission’s Background. As described in brief In this Notice, the Commission proposed prohibition? above, under the Commission’s proposes revisions to the Commission’s If the Commission were to adopt this equipment authorization rules, certain equipment authorization rules and proposal to revise the Commission’s radiofrequency devices that have the processes to prohibit authorization of subpart J equipment authorization rules greatest potential to cause harmful any ‘‘covered’’ equipment on the to prohibit any further authorization of interference to radio services, must be Covered List. This prohibition would ‘‘covered’’ equipment through the processed through the equipment apply to ‘‘covered’’ equipment on the certification or SDoC processes, this certification procedures. Certification Covered List maintained and updated decision would also serve to prohibit generally is required for equipment that by PSHSB. The Commission also seeks the marketing of such equipment that consists of radio transmitters as well as comment on whether its rules would now be prohibited from some unintentional radiators. Examples concerning equipment currently authorization under subpart I of the of equipment that requires certification exempted from the equipment include mobile phones, wireless Commission’s part 2 rules (Marketing of authorization requirement should be provider base stations, point-to-point Radio-Frequency Devices) and revised to ensure that any ‘‘covered’’ and point-to-multipoint microwave importation of equipment under subpart equipment cannot qualify for such stations, land mobile, maritime and exemption. In addition, it seeks K (Importation of Devices Capable of aviation radios, remote control comment on whether it should revoke Causing Harmful Interference) of the transmitters, wireless medical telemetry any of the authorizations that have been Commission’s part 2 rules. Section transmitters, Wi-Fi access points and previously granted for ‘‘covered’’ 2.803(b) of subpart I only permits routers, home cable set-top boxes with equipment on the Covered List, and if persons to import or market RF devices Wi-Fi, and most wireless consumer so, which ones and through what that are subject to authorization under equipment (e.g., tablets, smartwatches procedures. Finally, it seeks comment either the certification or SDoC process, and smart home automation devices). on new certifications for applicants that as set forth in the Commission’s subpart Applicants are required to file with an wish to participate in Commission J rules, once those devices have been FCC-recognized Telecommunication auctions that would further address the authorized, unless an exception applies. Certification Body (TCB) applications risks posed by companies that the Similarly, the Commission’s proposed containing specified information. See 47 Commission has designated as posing a revisions in subpart J also would serve CFR 2.907 (Certification), 2.911–926 national security threat to the integrity to prohibit importing or marketing of (Applications), 2.960–964 of communications networks and the ‘‘covered’’ equipment if it is subject to (Telecommunication Certification communications supply chain. authorization through either the Bodies), 2.1031–1060 (Certification). 1. Equipment Authorization Rules certification or SDoC process in subpart Each applicant is required to provide Under Part 2 J and has not been authorized, per the TCB with all pertinent information sections 2.1201(a) and 2.1204(a). The as required by the Commission’s rules. a. General Provisions of Subpart J Commission seeks comment on the need See, e.g., 47 CFR 2.911(d), 2.1033(a). The Commission’s equipment to revise or provide clarification with These requirements generally specify authorization rules and procedures, set regard to how the Commission’s the information necessary to document forth in 47 CFR part 2, include proposed prohibition of authorization of compliance with the testing requirements and processes for ‘‘covered’’ equipment affects the requirements that broadly apply to RF equipment marketing, authorization, implementation of the Commission’s devices used under authority of the and importation. The Commission rules in either subpart I or subpart K. Commission, including devices used proposes to adopt a new provision, 47 Would the general prohibition the under licensed radio services and CFR 2.903, as part of the ‘‘General Commission proposes for equipment devices used on an unlicensed basis. Provisions’’ of subpart J, to provide subject to certification and SDoC make Additional application information is general guidance regarding the any changes to subparts I or K required to demonstrate compliance prohibition on equipment unnecessary? If not, what changes are with specific technical requirements in authorizations with respect to needed to the Commission rules in particular service rules (e.g., that communications equipment on the those subparts? antennas on certain unlicensed part 15 Covered List. In proposing this new rule devices are not detachable (47 CFR section, the Commission seeks to The Commission seeks comment on 15.203) or that certain part 90 private establish a clear prohibition on other revisions that it should make land mobile transmitters meet required authorization of any ‘‘covered’’ regarding equipment authorization efficiency standards (47 CFR 90.203(j))) equipment in the Commission’s either through the certification or SDoC or other broadly applicable policy- equipment authorization processes rules and procedures. The Commission related Commission requirements (e.g., regardless of the process to which that discusses and seeks comment on how compliance with the Anti-Drug Abuse equipment is subject. The Commission the proposed rule should be Act (47 CFR 1.2002; 2.911(d)(2))). By seeks comment on this proposed rule. Is implemented with respect to each of signing the application for equipment this rule sufficient to prohibit any such these processes, and whether other rule authorization (FCC Form 731), each equipment on the Covered List from revisions or clarifications are applicant attests that the information being authorized for use in the United appropriate. While the vast majority of provided in all statements and exhibits States? What modifications or RF devices are subject to either pertaining to that particular equipment clarifications are needed to this certification or an SDoC under the rules are true and correct. The TCB then proposed language to ensure that the in subpart J, there is a limited category makes a determination as to whether to rule is clear as to its scope and effect of devices that are exempt from these grant an equipment certification based and attains results commensurate with authorization processes. The on evaluation of the submitted its purpose to protect national security? Commission also seeks comment on documentation and test data. The Are there additional provisions that how best to address this equipment. Commission, through OET, oversees the

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certification application process, and The Commission proposes revising Commission currently requires provides guidance to applicants, TCBs, the equipment certification application applicants to file block diagrams or and test labs through its pre-approval procedures to include a new provision schematic diagrams of their devices. 47 guidance (including its knowledge in section 2.911 that would require CFR 1.50002 (Covered List). Should the database system (KDB)) with regard to applicants to provide a written and Commission also require a parts list required testing and other information signed attestation that, as of the date of noting the manufacturer of each part? If associated with certification approval the filing of the application, the the Commission were to adopt such a procedures and processes. Applications equipment for which the applicant requirement, should it apply to all or that involve new technology or for seeks certification is not ‘‘covered’’ only certain components? Which ones? which there are no FCC-recognized test equipment on the Covered List. How much additional burden, if any, procedures require a TCB to obtain pre- Specifically, any applicant for would this place on applicants as approval guidance from the Commission certification would attest that no compared to the current level of effort before the application may be approved. equipment (including component part) needed to prepare an equipment 47 CFR 2.964. Once a TCB makes a is comprised of any ‘‘covered’’ certification application? determination, either on its own or after equipment, as identified on the current The Commission proposes to direct consultation with the Commission, to published list of ‘‘covered’’ equipment. the Office of Engineering and grant an equipment certification, This new provision also would cross- Technology (OET) to develop guidance information about that authorization is reference section 1.50002 of the for use by interested parties, including publicly announced ‘‘in a timely Commission’s rules that pertain to the applicants and TCBs, regarding the manner’’ through posting on the Covered List. The Commission seeks Commission’s proposed prohibition on Commission-maintained Equipment comment on this proposal. The certification of ‘‘covered’’ equipment. In Authorization System (EAS) database, Commission also invites comment on particular, the Commission proposes to and referenced via unique FCC particular language that should be direct PSHSB, the Wireline Competition identifier (FCC ID). Once this original included in this attestation. For Bureau (WCB), the Wireless certification is granted, the device is instance, to what extent should the Telecommunications Bureau, the subject to rules that specify Commission consider basing this International Bureau, and the requirements: for modifying equipment, attestation language on the certifications Enforcement Bureau to assist OET in marketing under or changing FCC ID, that providers of advanced developing pre-approval guidance that and transferring ownership of an FCC communications services must complete provides the necessary guidance that ID. to receive a Federal subsidy made TCBs can use and should follow in The Commission’s part 2 rules also available through a program implementing the proposed prohibition. include various provisions that help administered by the Commission that PSHSB, which is tasked with ensure that equipment certifications provides funds to be used for the capital publication of the Covered List, and has comply with Commission requirements. expenditures necessary for the provision significant responsibilities and expertise The Commission is authorized to of advanced communications services? regarding ensuring that the nation’s dismiss or deny an application where Are there additional compliance public safety communications networks that application is not in accordance measures beyond the attestation that the are secure, can lend important with Commission requirements or the Commission should consider? Should assistance by collaborating with OET to provide such guidance. The Commission is unable to make a finding the applicant have an ongoing duty that grant of the application would serve Commission seeks comment on this during the pendency of the application the public interest. The rules also proposal. The Commission also seeks to monitor the list of covered equipment provide that the TCB or Commission comment on whether the current pre- and provide notice to the TCB or the may set aside a certification within 30 approval guidance rule (or the use of Commission if, subsequent to the initial days of grant if it determines that the KDBs) should be revised or clarified filing of the application or at the time equipment does not comply with consistent with the Commission goals in a grant of certification, the equipment or necessary requirements. The rules also this proceeding. a component part had become newly require the TCB to perform ‘‘post market As the Commission has noted, listed as ‘‘covered’’ equipment in an surveillance’’ of equipment that has following a TCB’s grant of certification, updated Covered List? been certified, with guidance from OET, the Commission will post information as may be appropriate. Revocation of an Section 2.1033 discusses information on that grant ‘‘in a timely manner’’ on existing equipment authorization is also that must be included in the the Commission-maintained public EAS authorized for various reasons, application. The Commission seeks database. As the Commission has also including for false statements and comment on whether there are revisions noted, the TCB or Commission may set representations in the application. And that the Commission should adopt in aside a grant of certification within 30 an authorization may be withdrawn if this rule provision that would further days of the grant date if it is determined the Commission changes its technical clarify the Commission proposals that such authorization does not comply standards. regarding prohibition of the certification with applicable requirements or is not Discussion. The Commission proposes of any ‘‘covered’’ equipment. What in the public interest. To what extent certain additional revisions to the information may be pertinent to assist should interested parties, whether the Commission’s rules and processes the TCBs and the Commission in public or government entities (e.g., other regarding equipment certification. In ensuring that applications do not seek expert agencies) be invited to help proposing to revise the Commission certification of ‘‘covered’’ equipment? inform the Commission as to whether equipment certification rules, the Should the Commission require that the particular equipment inadvertently Commission goal is to design a process applicant provide certain information received a grant by the TCB and is in that efficiently and effectively prohibits that would help establish that the fact (or might be) ‘‘covered’’ equipment authorization of ‘‘covered’’ equipment equipment is not ‘‘covered’’ equipment such that the grant should be set aside? without delaying the authorization of to assist TCBs and the Commission in Should the Commission consider innovative new equipment that benefits making determinations about whether to adopting any new procedures for lives. grant the application? For example, the gathering and considering information

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on potentially relevant concerns that the ownership, or control of the grantee of equipment with the applicable initial grant is not in the public interest an equipment authorization. An requirements as the ‘‘responsible party,’’ and should be set aside? Should such equipment authorization may not be as set forth in section 2.909(a). In 2017, procedures be limited to certain parties assigned, exchanged, or in any other the Commission revised the rules (e.g., expert agencies), or certain way transferred to a second party, applicable to equipment authorized minimal showings required by those except as provided in this section. through the SDoC process (discussed that seek to raise questions about the Should the Commission consider any below) to require that the parties grant? revisions or clarifications about how responsible under the SDoC rules for Section 2.962(g) of the Commission’s these provisions apply in light of the compliance of equipment authorized current rules expressly provides for Commission proposals regarding under those provisions must be located ‘‘post-market surveillance’’ activities prohibition on authorization of within the United States. 47 CFR with respect to products that have been ‘‘covered’’ equipment? For example, 2.909(b); 2.1077(a)(3). Many certified certified. The Commission proposes to should the Commission prohibit the devices are also manufactured outside direct OET, in exercising its delegated ownership or control of the certification of the United States, and there may be authority, to provide TCBs with for any equipment on the Covered List no party within the country other than guidance on the kinds of post-market from being assigned, exchanged, or the importer that the Commission could surveillance that should be conducted transferred to another party? readily contact if the equipment is not to help ensure that no equipment that Under the Commission’s part 2 rules compliant with the Commission’s subsequently has been authorized concerning equipment authorization, requirements. Accordingly, the includes ‘‘covered’’ equipment that has various provisions are included that Commission proposes adopting the not been authorized. Here, the help ensure that applicants and TCBs same requirement previously adopted Commission seeks comment on whether comply with their responsibilities with regard to responsible parties in the revisions or clarifications to the post- related to the Commission’s equipment SDoC process with regard to responsible market surveillance requirements authorization procedures set forth in parties associated with equipment should be adopted. Under existing rules, part 2 subpart J. The Commission notes, authorized through the equipment each TCB is required to conduct type for instance, that pursuant to section certification process. The Commission testing of samples of product types that 2.911(d)(1), applicants must provide a seeks comment. Relatedly, the it has certified. OET has delegated written and signed certification to the Commission has encountered authority to develop procedures that TCB that all statements in its request for difficulties in achieving service of TCBs will use for performing such post- equipment authorization are true and process for enforcement matters market surveillance, including the correct to the best of its knowledge and involving foreign-based equipment responsibility for publishing a belief. TCBs, which are subject to the manufacturers. Should the Commission document on the post-market accreditation process, must comply with also require that the applicant for surveillance requirements that will all applicable responsibilities set forth certification of equipment include a provide specific information such as the in the Commission part 2 rules for party and/or an agent for service of numbers and types of samples the TCBs TCBs, and if the Commission were to process that must be located in the must test. OET may also request that a adopt the proposal, would be obligated United States? How much additional grantee of equipment certification to prohibit the certification of any burden, if any, would these submit a sample directly to the TCB that ‘‘covered’’ equipment. In reviewing the requirements place on applicants as performed the original certification for applications, TCBs would be required to compared to the current level of effort its evaluation. TCBs also may request dismiss any application should they needed to prepare an equipment samples directly from the grantee. If in become aware that an applicant has certification application? Should the this post-market surveillance, the TCB falsely asserted that its equipment (or Commission impose a similar determines that the product fails to components of the equipment) is not requirement on existing equipment comply with the technical regulation for ‘‘covered’’ equipment. The Commission certification grantees? If so, how would that product, the TCB then notifies the seeks comment on the implementation the Commission do so? If not, how grantee and the grantee must then of these rules in the context of should the Commission address the describe actions taken to the correct the prohibiting certification of ‘‘covered’’ difficulty in obtaining service of process situation. The TCB provides a report of equipment, and any revisions or these actions to the Commission within clarifications that may be appropriate to on certain foreign-based equipment 30 days. ensure that from this point forward manufacturers? The Commission also seeks comment applicants and TCBs comply with the As discussed above, PSHSB will on how the rules should be proposed prohibition on authorization periodically publish updates to identify implemented, or revised or clarified, to of ‘‘covered’’ equipment. Should the the ‘‘covered’’ equipment and services ensure that equipment users will not Commission’s existing rules or that are on the Covered List. Under the make modifications to existing procedures concerning ensuring proposals, the Commission accordingly equipment that would involve replacing compliance be enhanced with respect to directs that OET expeditiously take all equipment (in whole or part) with applicants that intentionally attempt to the appropriate steps (e.g., updating as ‘‘covered’’ equipment. Should, for circumvent the rules or TCBs that necessary the precise certification that instance, the Commission revise or repeatedly fail to meet their applicants must make that no newly clarify its section 2.932 rules regarding responsibilities to comply with the identified ‘‘covered’’ equipment is modifications or the section 2.1043 Commission proposed prohibition? associated with the application, as well provisions concerning ‘‘permissive The Commission seeks comment on as updating any pre-approval guidance, changes,’’ to promote the Commission revisions that could better ensure that KDB, or other guidance) to reflect those goals in this proceeding? The applicants comply with the proposed updates, consistent with the rules and Commission also notes that section requirements. Under the Commission’s procedures that the Commission 2.929 of the equipment authorization current equipment certification rules, ultimately adopts regarding the rules includes provisions regarding the grantee of the certification is certification rules in this proceeding. changes in the name, address, responsible for compliance of the The Commission invites comment on

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appropriate means for OET to include significantly from the certification provided by any of the entities (or their updates of the ‘‘covered’’ equipment in process for equipment authorizations, respective subsidiaries or affiliates) that an expeditious fashion in ways that best and relies on determinations about the produce or provide ‘‘covered’’ ensure that applicants, TCBs, and other equipment made by the party equipment, as specified on the Covered interested parties will comply with the responsible for compliance List, can no longer be authorized prohibitions concerning this updated (‘‘responsible party’’ as defined in the pursuant to the Commission’s SDoC identification of ‘‘covered’’ equipment. rules) as to whether the equipment processes, and the equipment of any of Finally, the Commission seeks ‘‘conforms’’ with the Commission’s these entities would have to be comment on whether there are other requirements. Using the more processed pursuant to the Commission’s rule revisions or clarifications to the streamlined SDoC process for the certification rules and processes as equipment certification rules and equipment authorization is ‘‘optional’’ proposed above. Accordingly, processes that the Commission should insofar as the responsible party may responsible parties would be prohibited make consistent with the goals to choose to apply for equipment altogether from using the SDoC process prohibit authorization of ‘‘covered’’ certification through the equipment with respect to any equipment produced equipment. Commenters should explain certification process even if SDoC is or provided, in whole or part, by these their suggestions in sufficient detail, acceptable under the Commission rules. entities (or their respective subsidiaries including the reasoning behind the In the SDoC process, the responsible or affiliates), and such equipment would suggestions and associated issues (e.g., party makes the necessary be prohibited from utilizing the SDoC implementation). While the proposed measurements and completes other process. That is not to say that all prohibition would be reflected in the procedures found acceptable to the equipment produced or provided by Commission’s rules and the engagement Commission to ensure that the these entities currently subject to the with TCBs in ensuring compliance, the particular equipment complies with the SDoC process would be prohibited; as Commission also seeks comment on any appropriate technical standards for that the Commission discussed above, under other types of action or activity (e.g., device. The information provided with the current rules, responsible parties outreach and education) that would be devices subject to SDoC must include a always have the option of seeking helpful to ensure that all parties compliance statement that lists a U.S.- equipment authorization through the potentially affected by these changes based responsible party. As set forth in Commission’s equipment certification understand the changes and will the rules, the responsible party for procedures. Under the Commission’s comply the prohibition associated with equipment subject to the SDoC process proposed rules, responsible parties ‘‘covered’’ equipment. could include the equipment would now be required to use the manufacturer, the assembler (if the c. Supplier’s Declaration of Conformity certification procedures for any equipment is assembled from individual (SDoC) Rules equipment produced or provided by component parts and the resulting these entities, as the option of using the Background. The Supplier’s system is subject to authorization), or Declaration of Conformity (SDoC) SDoC processes would no longer be the importer (if the equipment by itself available. This proposal will help process is available for many types of or the assembled system is subject to equipment that have less potential to ensure consistent application of the authorization), and could also include Commission’s proposed prohibition on cause RF interference. Under the retailers and parties performing Commission rules, the types of further equipment authorization of any modification under certain ‘‘covered’’ equipment by requiring use equipment that may be processed circumstances. 47 CFR 2.909(b)(1)–(2); of only one process, which includes the pursuant to the SDoC procedures 47 CFR 2.909(b)(3)–(4). The SDoC Commission’s more active oversight and include fixed microwave transmitters signifies that the responsible party has proactive guidance when working (e.g., point-to-point or multipoint determined that the equipment has been directly with TCBs prior to any transmitter links as well as some links shown to comply with the applicable equipment authorization in the first used by carriers and cable operators) technical standards. Given the place, and in guiding appropriate post- authorized under part 101, broadcast TV streamlined nature of this particular market surveillance after any equipment transmitters authorized under parts 73 process, responsible parties are not authorization. The Commission finds and 74, certain ship earth station typically required to submit to the this approach consistent with the public transmitters authorized under part 80 Commission an equipment sample or (Maritime), some emergency locator representative data demonstrating interest. transmitters authorized under part 87 compliance. Also, while the The Commission seeks comment on (Aviation), and private land mobile Commission rules require that the the specific information that must be radio services equipment and equipment authorized under the SDoC included in the SDoC compliance equipment associated with special procedure must include a unique statement that will ensure that services such as global maritime distress identifier, the equipment is not listed in responsible parties do not use the SDoC and safety system, aircraft locating a Commission equipment authorization process for ‘‘covered’’ equipment. This beacons, ocean buoys), certain database, they are required to retain compliance statement would need to be unlicensed equipment (e.g., business records on the equipment that sufficiently complete to require a routers, firewalls, internet routers, demonstrate the equipment’s responsible party to exercise necessary internet appliances, wired surveillance compliance with the Commission’s diligence with respect to the equipment cameras, business servers, workstations, applicable requirements for that that it is subjecting to the SDoC process laptops, almost all enterprise network equipment. 47 CFR 2.1074; 47 CFR that will ensure that it is attesting, in equipment, computers, alarm clocks) 2.938. The Commission can specifically clear terms, that the equipment (or any that includes digital circuitry (but no request that the responsible parties component part thereof) is not produced radio transmitters) authorized under provide such information on particular or provided by any entity that has part 15, certain ISM equipment (e.g., equipment to the Commission. 47 CFR produced or provided ‘‘covered’’ those that use RF energy for heating or 2.906(a); 2.945(b)(1). equipment on the Covered List. This producing work) authorized under part Discussion. The Commission proposes compliance statement should be crafted 18. The SDoC process differs that any equipment produced or in such a manner as to assist responsible

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parties in identifying equipment that the prohibition, the Commission would statutory ‘‘purpose of regulating can no longer be processed through the exercise its equipment authorization interstate and foreign commerce in SDoC process while also ensuring that oversight, as appropriate, in requesting communication by wire and radio . . . responsible parties are held that the responsible parties provide for the purpose of the national defense accountable, by their compliance information—e.g., an equipment [and] for the purpose of promoting statement, for any misrepresentations or sample, representative data safety of life and property through the violation of the prohibition that the demonstrating compliance, and the use of wire and radio communications.’’ Commission is proposing. The compliance statement itself—regarding 47 U.S.C. 151. The Commission Commission notes that current rules particular equipment to the tentatively concludes that doing so is require that the responsible party be Commission. The Commission seeks not specifically authorized by the located within the United States. 47 comment on what kinds of situations in Secure Networks Act itself, pursuant to CFR 2.1077(a)(3). As discussed above which such requests might be which the Commission adopted the regarding equipment subject to the appropriate. What kinds of information Covered List. However, the Commission certification process, should the might inform the Commission’s has broad authority to adopt rules, not Commission also require that the consideration as to whether any inconsistent with the Communications compliance statement include the name equipment may have been Act, ‘‘as may be necessary in the of a U.S. agent for service of process (if inappropriately processed through the execution of its functions.’’ 47 U.S.C. different from the responsible party)? SDoC process, thus triggering the 154(i). The Commission believes that, in What steps should the Commission Commission’s request for information order to ensure that the Commission’s take to help inform responsible parties from the responsible party to make sure rules under the Secure Networks Act that use the SDoC process of this that no violation of the Commission’s effectively preclude use of equipment proposed prohibition, as well as the prohibition has occurred? on the Covered List by USF recipients requirement that any equipment As the Commission has discussed, as contemplated by Congress, it is (including component parts) produced PSHSB will periodically publish necessary to rely on the Commission’s or provided by entities (and their updates to identify the ‘‘covered’’ established equipment authorization subsidiaries and affiliates) that produce equipment on the Covered List. As with procedures to restrict further equipment or provide ‘‘covered’’ equipment must the equipment certification proposals authorization, and the importation and be subject to the equipment certification above, the Commission would direct marketing, of such devices in the first process? The Commission notes that the that OET expeditiously take all the instance. As discussed above, the rules allow many entities to take on the appropriate steps (e.g., updating as Commission also relies on the role of a responsible party under the necessary the information that SDoC equipment authorization process to part 2 rules, including retailers and applicants must make to establish that implement other statutory duties, parties performing modifications to no newly identified ‘‘covered’’ including the duty to promote efficient equipment. The Commission seeks equipment is associated with the use of the radio spectrum, the duties comment on how best to ensure that all application to reflect those updates), under the National Environmental responsible parties that use the SDoC consistent with the rules and Policy Act to regulate human RF processes to enable importing or procedures that the Commission exposure, the Commission’s duty to marketing of equipment in the United ultimately adopts regarding the SDoC ensure that mobile handsets are States will understand and comply with rules in this proceeding. The compatible with hearing aids, and the the Commission’s proposed revisions Commission invites comment on duty to deny federal benefits to certain with respect to equipment produced or appropriate means for OET to include individuals who have been convicted provided by entities that produce or updates of the ‘‘covered’’ equipment in multiple times of federal offenses provide ‘‘covered’’ equipment on the an expeditious fashion in ways that best related to trafficking in or possession of Covered List. What types of actions or ensure that applicants, responsible controlled substances. The Commission activities (e.g., outreach and education) parties, and other interested parties will believes that these processes can and to equipment manufacturers, comply with the prohibitions that the should also serve the purpose of assemblers, importers, retailers, parties Commission has proposed. fulfilling other Commission performing modification under certain Finally, the Commission seeks responsibilities under the Secure circumstances, and others that serve as comment on whether there are other responsible parties and use the SDoC rule revisions or clarifications to the Networks Act, and the Commission process regarding particular equipment SDoC rules and processes that the seeks comment on that issue. would be advised and most helpful? Commission should make consistent The Commission also believes that Should the Commission impose a with the goals to prohibit authorization other authorities in the Communications similar requirement with respect to of ‘‘covered’’ equipment. Commenters Act of 1934, as amended, provide existing authorizations obtained through should explain their suggestions in authority for the Commission to rely on the SDoC process? If so, how would the sufficient detail, including the reasoning for the proposed modifications to its Commission do so? If not, how should behind the suggestions and associated rules and procedures governing the Commission address the difficulty of issues (e.g., implementation). equipment authorization. Since obtaining service of process on certain Congress added section 302 to the Act, d. Legal Authority foreign-based equipment the Commission’s part 2 equipment manufacturers? Adopting rules that take security into authorization rules and processes have As noted above, the Commission can consideration in the equipment served to ensure that RF equipment specifically request that the responsible authorization process would serve the marketed, sold, imported, and used in parties provide information on any public interest by addressing significant the United States complies with the equipment to the Commission that has national security risks that have been applicable rules governing use of such been authorized through the SDoC identified by this Commission in other equipment. See Equipment process. Under the Commission’s proceedings, and by Congress and other Authorization of RF Devices, Docket No. proposal, in an effort to ensure that federal agencies, and doing so would be 19356, Report and Order, 39 FR 5912, responsible parties are complying with consistent with the Commission’s 5912, para. 2 (1970). That section

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authorizes the Commission to, that the surveillance capabilities built determine whether the costs of the ‘‘consistent with the public interest, into their networks ‘‘can be activated proposed actions exceed their benefits— convenience, and necessity, make only in accordance with a court order or is not directly called for. Instead, the reasonable regulations . . . governing other lawful authorization and with the Commission will consider whether the the interference potential of devices affirmative intervention of an individual proposed actions would be a cost- which in their operation are capable of officer or employee of the carrier acting effective means to prevent this emitting radio frequency energy by in accordance with regulations dangerous equipment from being radiation, conduction, or other means in prescribed by the Commission,’’ (47 introduced into the nation’s sufficient degree to cause harmful U.S.C. 1004) and the Commission has communications networks. interference to radio communications.’’ concluded that its rule prohibiting the The Commission therefore seeks 47 U.S.C. 302(a)(1). Regulations that the use of equipment produced or provided comment on the cost-effectiveness of the Commission adopts in implementing by any company posing a national proposed revisions to the rules and that authority ‘‘shall be applicable to the security threat implements that procedures associated with the manufacture, import, sale, offer for sale, provision. Supply Chain First Report Commission’s equipment authorization or shipment of such devices and . . . to and Order, 34 FCC Rcd at 11436–37, rules under part 2. Do the Commission’s the use of such devices.’’ 47 U.S.C. paras. 35–36. The Commission is proposed rules promote the goals of 302(a)(2). The authorization processes required to prescribe rules necessary to ensuring that the national security are primarily for the purpose of implement CALEA’s requirements. 47 interests are adequately protected from evaluating equipment’s compliance U.S.C. 229. Would rules prohibiting equipment on the Covered List, while with technical specifications intended authorization of equipment on the simultaneously continuing the mission to minimize the interference potential of Covered List, or that otherwise poses of making communications services devices that emit RF energy. As noted security risks, be justified as available to all Americans? Are there above, however, these rules are also implementation of CALEA? alternative approaches that would designed to implement other statutory As noted above, the Commission achieve this goal in a more cost-effective responsibilities. The Commission seeks believes it has ancillary authority under manner? section 4(i) of the Act to adopt these comment on the scope of the authority 2. Devices Exempt From the revisions to its part 2 rules as reasonably to rely on such rules to effectuate other Requirement of an Equipment necessary to the effective enforcement of public interest responsibilities, Authorization including the Commission’s section the Secure Networks Act. The 303(e) authority to ‘‘[r]egulate the kind Commission also tentatively concludes Background. Under the Commission’s of apparatus to be used with respect to that such rules would be consistent with rules, certain types of RF devices are its external effects.’’ 47 U.S.C. 303(e). the Commission’s specific statutorily exempt from demonstrating compliance Does Congress’s inclusion of the phrase mandated responsibilities under the under one of the equipment ‘‘to be used,’’ rather than ‘‘used,’’ give Communications Act to make authorization procedures (either the Commission authority to prevent the reasonable regulations consistent with certification or SDoC). This exemption marketing and sale of equipment in the public interest governing the applies to specified digital devices in addition to preventing licensees and interference potential of electronic several types of products, including others from using such equipment? devices, to protect consumers through many part 15 devices (including Alternatively, does the ‘‘public the oversight of common carriers under incidental and unintentional radiators) interest’’ phrase in section 302 itself Title II of that Act, and to prescribe the because they generate such low levels of provide independent authority to deny nature of services to be rendered by RF emission that they have virtually no equipment authorization to equipment radio licensees under section 303(b) of potential for interfering with authorized deemed to pose an unacceptable that Act. The Commission seeks radio services. Revision of Part 15 of the security risk? Section 302(a) directs the comment on this reasoning as well. The Rules Regarding the Operation of Radio Commission to make reasonable Commission also seeks comment on any Frequency Devices without an regulations consistent with the public other sources of authority for the Individual License, GN Docket No. 87– interest governing the interference Commission proposed rules. 389, Notice of Proposed Rulemaking, 2 potential of devices; it would appear to FCC Rcd 6135, 6140, para. 39 (1987). In e. Cost-Effectiveness Analysis be in the public interest not to approve other services, the Commission has devices capable of emitting RF energy in The Commission’s proposed revisions determined that because operators must sufficient degree to cause harmful to the equipment authorization rules be individually licensed and interference to radio communications if and processes to prohibit authorization responsible for their stations (e.g., such equipment has been deemed, of any ‘‘covered’’ equipment on the Amateur Radio Service) or the type of pursuant to law, to pose an Covered List would apply only to operation poses low risk of harmful unacceptable risk to the national equipment that has been determined by interference, such an exemption is security of the United States or the other agencies to pose ‘‘an unacceptable warranted. See, e.g., 47 CFR 97.315. security and safety of United States risk’’ to national security. The Exempt devices are required to comply persons. The Commission seeks Commission has already concluded that with general conditions of operation, comment on this tentative conclusion. it has no discretion to disregard including the requirement that if an The Commission also seeks comment determinations from these sources, exempt device causes interference to on a potential alternative basis for such which are enumerated in section other radio services the operator of that security rules. The Communications 1.50002(b) of its rules. Hence, the device must cease operating the device Assistance for Law Enforcement Act Commission accepts the determination upon notification from the Commission (CALEA) includes security requirements of these expert agencies. and must remedy the interference. See that apply directly to equipment Because the Commission has no 47 CFR 15.5. intended for use by providers of discretion to ignore these The most diverse set of exempted telecommunications services. 47 U.S.C. determinations, the Commission devices operate under the part 15 1001–1010. Section 105 requires believes that a conventional cost-benefit unlicensed device rules. The categories telecommunications carriers to ensure analysis—which would seek to of part 15 exempt devices include

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incidental radiators, unintentional the regulation of otherwise exempt importation, or operation of such radiators exempt under section 15.103, devices in relation to security concerns. otherwise exempt equipment. Such and subassemblies exempt under Accordingly, the Commission seeks notification would include section 15.101. Specifically, section comment on whether the Commission identification of the responsible party, 15.103 of the Commission’s rules should consider possible revisions or manufacturer, or importer and the provides that certain unintentional clarifications to its rules to address general operating parameters of the radiators, which are subject to the issues related to ‘‘covered’’ equipment equipment. Another example includes general conditions of operation and the potential of such equipment, an attestation at time of marketing or provided in part 15, are exempt from the regardless of RF emissions import that the equipment is not specific technical standards and other characteristics, to pose an unacceptable ‘‘covered.’’ What are some potential requirements of part 15. This includes: risk to U.S. networks or users. The burdens to responsible parties or other (1) Digital devices used exclusively in Commission seeks comment on whether entities that would arise in connection any transportation vehicle as an the Commission should revise its rules with such a registration or attestation electronic control or power system to no longer provide an equipment system? In what ways and to what equipment used by a public utility or in authorization exemption to ‘‘covered’’ extent would such burdens be an industrial plant, as industrial, equipment. The Commission seeks acceptable to responsible parties to help commercial, or medical test equipment, comment on whether such a provision, protect the U.S. against the related or in an appliance (e.g., microwave if adopted, should apply only to part 15 security concerns? What type of oven, dishwasher, clothes dryer, air unlicensed devices or should include information, and from which entities, conditioner, etc.); (2) specialized any device, regardless of rule part under should the Commission collect in order medical digital devices; (3) digital which it operates, in the consideration to identify otherwise exempt ‘‘covered’’ devices that have very low power of possible revisions or clarifications to equipment? How many responsible consumption (i.e., not exceeding 6 nW); the Commission’s rules to address parties would be impacted by these (4) joystick controllers or similar issues related to ‘‘covered’’ equipment potential information collections and in devices used with digital devices; and and the potential of such equipment, what way would it impact their ability (5) digital devices that both use and regardless of RF emissions to conduct business? If the Commission generate a very low frequency (i.e. less characteristics, to nonetheless pose an were to revise its rules to remove the than 1.705 MHz) and which do not unacceptable risk to U.S. networks or exemption with respect to ‘‘covered’’ operate from the AC power lines or users. The Commission also asks equipment, the Commission seeks contain provisions for operation while whether it should require that any comment on any other types of action or connected to the AC power lines. Digital equipment (in whole or in part), activity (e.g., outreach and education) device subassemblies also are exempt regardless of claim of exemption, that is that also would be helpful to ensure that from equipment authorization under produced or provided by any entity that all parties potentially affected by these section 15.101. Examples of has produced or provided ‘‘covered’’ changes understand the changes and subassemblies include circuit boards, equipment on the Covered List be will comply the prohibition associated integrated circuit chops, and other processed pursuant to the Commission’s with ‘‘covered’’ equipment. components that are completely internal certification rules and processes (similar The Commission discussed above the to a product that do not constitute a to the proposal requiring use of the legal authority associated with the certification process for such equipment Commission’s proposal to prohibit final product. These include internal instead of continued use of the SDoC authorization of ‘‘covered’’ equipment memory expansion boards, internal disk process). in its equipment authorization process. drives, internal disk drive controller Currently, devices that are exempt The Commission tentatively concludes boards, CPU boards, and power from the equipment authorization that the legal bases enunciated above supplies. Subassemblies may be sold to requirement are not subject to FCC also provide, pursuant to section 302 the general public or to manufacturers testing, filing, or record retention and section 4(i) of the Act, for actions for incorporation into a final product. requirements. Such devices ordinarily that the Commission might take with Discussion. The Commission would come to the attention of the respect to precluding ‘‘covered’’ recognizes that ‘‘covered’’ equipment Commission only in the event that equipment from being exempted from potentially could include equipment harmful interference with other devices the equipment authorization process. that currently is exempt from the need becomes an issue. In order to determine The Commission seeks comment on this to demonstrate compliance under the whether otherwise exempt ‘‘covered’’ tentative conclusion. Commission’s equipment authorization equipment may present a security If the Commission were to conclude processes, which, to date, has looked concern, the Commission would need to that the rules should be revised to only at the RF emissions capability of implement some means by which to prohibit certain ‘‘covered’’ equipment equipment. As noted above, most identify such equipment that is in use from being exempted from the devices that are generally exempt from in the United States. The Commission equipment authorization processes, this the Commission’s equipment seeks comment on possible methods action would apply only to equipment authorization requirements typically that the Commission could implement that has been determined by other have such low RF emissions that they to identify otherwise exempt agencies to pose ‘‘an unacceptable risk’’ present virtually no potential for equipment. The Commission could, for to national security. Because the causing harmful interference to the instance, implement a registration Commission has no discretion to ignore authorized radio services. However, the system for otherwise exempt equipment these determinations, it believes that a Commission’s concerns in relation to produced or provided by any of the conventional cost-benefit analysis— security considerations that pose entities (or their respective subsidiaries which would seek to determine whether unacceptable risks to the nation’s or affiliates) that produce or provide the costs of the proposed actions exceed communications networks are distinct ‘‘covered’’ equipment, as specified on their benefits—is not necessary. Instead, from the concerns related to interference the Covered List. Such a system could as discussed above, the Commission to authorized services. As such, the require that relevant responsible parties will consider whether the proposed Commission finds it necessary to assess notify the Commission of the marketing, actions would be an effective means to

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prevent this dangerous equipment from Commission seeks comment here on the The Commission also seeks comment being introduced into the nation’s extent to which the Commission should on other circumstances that would merit communications networks. revoke any existing equipment Commission action to revoke any authorizations of such ‘‘covered’’ existing authorization of ‘‘covered’’ 3. Revoking Equipment Authorizations equipment pursuant to the equipment. Under what circumstances The actions that the Commission Commission’s section 2.939 revocation should the Commission revoke an proposes above would serve to prohibit rules. The Commission notes that if it existing authorization? For instance, to any prospective authorization of revoked an existing equipment what extent does section 2.939(a)(4), ‘‘covered’’ communications equipment authorization, the marketing of that which allows revocation ‘‘[b]ecause of on the Covered List as posing an equipment would be prohibited conditions coming to the attention of unacceptable risk to national security. pursuant to part 2 subpart I, per section the Commission which would warrant it Those proposed actions do not, 2.803(b), and import and marketing in refusing to grant an original however, address whether the would be prohibited pursuant to part 2 application,’’ provide guidance? Commission could or should revoke any subpart K, per sections 2.1201(a) and Specifically, if the Commission would existing equipment authorizations of 2.1204(a). not have granted an application with such ‘‘covered’’ communications The Commission tentatively equipment from an entity on the equipment, and if so, the processes for concludes that sections 2.939(a)(1) and Covered List under newly adopted doing so. The Commission addresses (2) would apply to ‘‘covered’’ rules, then could the Commission use those issues here. equipment, such that the Commission section 2.939(a)(4) to revoke an Background. Section 2.939 sets forth has authority to revoke any existing equipment authorization with said the Commission’s rules for revoking equipment authorizations that may have equipment that had been granted prior authorizations of equipment. Section been granted under false statements or to the adoption of the rule? Shenzhen, 2.939(a)(1) provides that the representations (including non- 30 FCC Rcd at 3506, paras. 18–20 (when Commission may revoke an equipment disclosure) concerning whether an Commission investigation determined authorization ‘‘[f]or false statements or equipment authorization application device was a radio frequency jammer, representations either in the application that was subsequently granted had in ‘‘substantial and material questions or in materials or response submitted in fact included ‘‘covered’’ equipment (in exist as to whether the application connection therewith’’ or in records that whole or as a component part). should have been granted’’), see also J the responsible party is required to Shenzhen Tangreat Technology Co., Communications Co., Ltd., 19 FCC Rcd maintain about the authorized Ltd., 30 FCC Rcd 3501,3505, paras. 12– 10643, 10645, para. 9 (EB 2004) equipment (e.g., drawings and 14 (EB 2015) (Shenzhen) (‘‘substantial (revoking GMRS radios because the specifications, description of the and material questions exist as to Commission could have denied the equipment, any test report, equipment whether the authorization should be original equipment authorization compliance information). Section revoked because the information in the application for the devices ‘‘had this 2.939(a)(2) states that the Commission application was false or misleading’’). fact been made known to the may revoke an equipment authorization This would enable the Commission to Commission’’). The Commission seeks ‘‘[i]f upon subsequent inspection or revoke any equipment authorizations comment on this approach and on any operation it is determined that the that are granted after adoption of the other approach or particular equipment does not conform to the rules proposed in this NPRM, even if circumstances that would merit pertinent technical requirements or to the TCBs or the Commission had not Commission action to revoke any the representations made in the original acted to set aside the grant within the existing authorization that concerns application.’’ Section 2.939(a)(3) 30-day period following the posting of ‘‘covered’’ equipment on the Covered provides that the Commission may the grant on the Equipment List. revoke an equipment authorization ‘‘[i]f Authorization System (EAS) database. The Commission seeks comment on it is determined that changes have been The Commission seeks comment on this the applicability of section 2.939(c), made in the equipment other than those tentative conclusion. which states that the Commission also authorized by the rules or otherwise To assure that otherwise authorized ‘‘may withdraw any equipment expressly authorized by the equipment is not subsequently replaced authorization in the event of changes in Commission.’’ Section 2.939(a)(4) by any ‘‘covered’’ equipment (whether its technical standards,’’ with regard to provides that the Commission may in whole or with component part(s) of revocation of authorizations that revoke any equipment authorization ‘‘covered’’ equipment), the Commission include ‘‘covered’’ equipment. In the ‘‘[b]ecause of conditions coming to the also tentatively concludes that section event the Commission were to adopt attention of the Commission which 2.939(a)(3) would apply, and that the rules barring new equipment would warrant it in refusing to grant an Commission can revoke an existing authorizations for equipment on the original application.’’ As set forth in equipment authorization if changes Covered List, it tentatively concludes § 2.939(b) of the Commission’s rules, the have been made in the equipment other that such a change should constitute a procedures for revoking an equipment than those authorized by the rules or change to the Commission’s technical authorization are the same procedures otherwise expressly authorized by the standards that could warrant as revoking a radio station license under Commission. Shenzhen, 30 FCC Rcd at withdrawal of equipment authorizations section 312 of the Communications Act. 3505–06, paras. 15–17 (Commission that are contrary to these new rules. The See 47 CFR 2.939(b); 47 U.S.C. 312. investigation demonstrated that the Commission seeks comment. Finally, under § 2.939(c), the equipment marketed does not match the In addition, the Commission seeks Commission also ‘‘may withdraw any specifications described in the granted comment on the specific procedures the equipment authorization in the event of application). The Commission seeks Commission should use if and when it changes in its technical standards.’’ comment on these and any other seeks to revoke an existing equipment Discussion. If the Commission adopts scenarios that implicate the need to authorization. Section 2.939(b) requires the rules proposed above to prohibit any revoke an existing equipment that revocation of an equipment further authorization of ‘‘covered’’ authorization to exclude ‘‘covered’’ authorization must be made in the equipment on the Covered List, the equipment from the U.S. market. ‘‘same manner as revocation of radio

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station licenses,’’ and thus presumably This could include a transition period 35 FCC Rcd 6633. As a result of this would include the requirement that the for non-conforming equipment to make determination, funds from the Commission serve the grantee/ any necessary modifications to Commission’s Universal Service Fund responsible party with an order to show communications equipment or services, may no longer be used to purchase, cause why revocation should not be including removing the ‘‘covered obtain, maintain, improve, modify, or issued and must provide that party with equipment’’ (in whole or as a otherwise support any equipment or an opportunity for a hearing. See 47 component) from that equipment or services produced or provided by these U.S.C. 312(c). The Commission seeks service. To what extent should the covered companies. comment on this requirement. What Commission apply different transition In reaching this determination, the precisely are the procedures that the periods to different equipment Commission noted Huawei’s and ZTE’s Commission should employ if seeking authorizations that the Commission ties to the Chinese government and to revoke particular ‘‘covered’’ revokes? Are there any situations that military apparatus, along with Chinese equipment? As the Commission might merit immediate compliance with laws obligating it to cooperate with discussed above, § 2.939(c) authorizes the new equipment restrictions? requests by the Chinese government to the Commission to ‘‘withdraw any Pursuant to section 503(b)(5) of the Act, use or access its systems. Huawei equipment authorization in the event of the Commission must issue citations Designation Order, 35 FCC Rcd at 6609, changes in its technical standards.’’ against non-regulatees for violations of paras. 13–14. However, it also is well- Pursuant to this provision, should the FCC rules before proposing any established that the Chinese government Commission provide a suitable monetary penalties. 47 U.S.C. 503(b)(5). helps fuel Huawei’s growth by amortization period for equipment Such citations ‘‘provide notice to parties deploying powerful industrial policies already in the hands of users or in the that one or more actions violate the Act to make Huawei equipment cheaper to manufacturing process? If so, what and/or the FCC’s rules—and that they deploy than the alternatives. Chuin-Wei would that be? What other factors could face a monetary forfeiture if the Yap, State Support Helped Fuel should the Commission consider that conduct continues.’’ See Federal Huawei’s Global Rise, Wall Street might warrant revocation under the new Communications Commission, Journal (Dec. 25, 2019), https:// rules, such as those applicable to Title Enforcement Bureau, ‘‘Enforcement www.wsj.com/articles/state-support- III licenses under section 312 of the Overview’’ at 10 (April 2020), https:// helped-fuel-huaweis-global-rise- _ Communications Act? 47 U.S.C. 312. www.fcc.gov/sites/default/files/public 11577280736. These policies include _ Should the Commission revise or clarify enforcement overview.pdf. Given this both direct subsidies to Huawei and the existing requirements to enable the requirement, what enforcement policy state-funded export financing. Commission to revoke authorizations of would be appropriate for the continued To illustrate, a recent report by the Center for American Progress found that this ‘‘covered’’ equipment given that it marketing, sale, or operation of China’s state-owned banks have already has been determined that the equipment by such parties during this provided billions of dollars to Huawei’s equipment poses an unacceptable risk? transition period? What, if any, educational and outreach efforts should customers. Melanie Hart and Jordan In considering whether any existing the Commission undertake to inform the Link, Center for American Progress, equipment authorizations of ‘‘covered’’ public regarding any such revocations There Is a Solution to the Huawei equipment should be revoked, is there and their legal effect? Challenge (Oct. 14, 2020), https:// some process in which the Commission Finally, the Commission seeks www.americanprogress.org/issues/ should engage to help identify comment on whether the Commission security/reports/2020/10/14/491476/ particular equipment authorizations that should make any revisions to § 2.939. solution-huawei-challenge/. According should be considered for revocation? Should this section be revised and/or to the report, these loans ‘‘can make What process should the Commission clarified to specifically include Huawei impossible to beat—even if use to identify equipment ‘‘covered’’ equipment or whether the competitors can match the company’s authorizations for revocation? For rule should be clarified to better state-subsidized prices—because example, to what extent might the encompass the intent in this China’s state banks offer packages that Commission rely on others’ reports of a rulemaking? What other specific commercial banks generally cannot violation, and to what extent might such revisions might be appropriate for match.’’ Id. at para. 25. These loans may reports need to be supported in the consideration? be run through Huawei or provided record or independently verified? If the directly to Huawei’s customers. Commission were to conclude that B. Competitive Bidding Certification The Commission notes that the nature revocation may be appropriate regarding Background. The Commission’s of state support for Huawei and ZTE has particular ‘‘covered’’ equipment, this competitive bidding process requires shifted over time. Recently, the action would apply only to equipment each applicant to make various Commission has observed how state- that has been determined by other certifications as a prerequisite for funded export financing may provide agencies to pose ‘‘an unacceptable risk’’ participation in an auction. Requiring substantial funding to mobile operators to national security. The Commission certifications as a condition of already using equipment from Huawei nonetheless recognizes the need to participation guards against potential or ZTE prior to national spectrum avoid taking actions that are overbroad harms to the public interest before the auctions in other countries. In one in terms of affecting users of the harms could occur. recent case, a Huawei customer was able equipment or would require removal of As described above, the Commission to substantially outbid a rival new this equipment faster than it reasonably has designated Huawei and ZTE, and entrant in a spectrum auction—thereby can be replaced. If the Commission their subsidiaries, parents, or affiliates, denying entry to a new competitor that concludes that revocation may be as companies that pose a national was planning on using trustworthy appropriate regarding particular security threat to the integrity of equipment in its 5G build-out. ‘‘covered’’ equipment, the Commission communications networks and the Distortionary financing intended to seeks comment on the appropriate and communications supply chain. See support participation in spectrum reasonable transition period for generally Huawei Designation Order, 35 auctions of network operators who then removing that particular equipment. FCC Rcd 6604, ZTE Designation Order, deploy covered equipment and services

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may raise concerns about risks to the (Notice). 5 U.S.C. 603. (The RFA, 5 601(3)–(6). First, while there are national security of the United States U.S.C. 601–612, has been amended by industry specific size standards for and the security and safety of United the Small Business Regulatory small businesses that are used in the States persons. The Commission Enforcement Fairness Act of 1996 regulatory flexibility analysis, according considers here the benefits of protecting (SBREFA), Public Law 104–121, Title II, to data from the Small Business against such risks prior to the start of a 110 Stat. 857 (1996)). Written public Administration’s (SBA) Office of Commission auction. comments are requested on this IRFA. Advocacy, in general a small business is Discussion. Given recent Comments must be identified as an independent business having fewer developments internationally, the responses to the IRFA and must be filed than 500 employees. See SBA, Office of Commission seeks comment on whether by the deadlines for comments on the Advocacy, ‘‘What’s New With Small the Commission should require an Notice, including this IRFA, to the Chief Business?’’ https:// applicant to participate in competitive Counsel for Advocacy of the Small cdn.advocacy.sba.gov/wp-content/ bidding to certify that its bids do not Business Administration (SBA). 5 U.S.C. uploads/2019/09/23172859/Whats-New- and will not rely on financial support 603(a). In addition, the Notice and IRFA With-Small-Business-2019.pdf (Sept. from any entity that the Commission has (or summaries thereof) will be 2019). These types of small businesses designated under section 54.9 of its published in the Federal Register. 5 represent 99.9% of all businesses in the rules as a national security threat to the U.S.C. 603(a). United States, which translates to 30.7 integrity of communications networks million businesses. Id. or the communications supply chain. A. Need for, and Objectives of, the Next, the type of small entity Could such support implicate the kinds Proposed Rules described as a ‘‘small organization’’ is of influence over the applicant that In this Notice of Proposed generally ‘‘any not-for-profit enterprise would pose risks to national security? Rulemaking, we propose prohibiting the which is independently owned and Or could it distort auction outcomes in authorization of any equipment on the operated and is not dominant in its ways that would pose risks to national list of equipment and services (Covered field.’’ 5 U.S.C. 601(4). The Internal security? What challenges would an List) that the Commission maintains Revenue Service (IRS) uses a revenue applicant have in satisfying such a pursuant to the Secure and Trusted benchmark of $50,000 or less to certification, given potential Communications Networks Act of 2019. delineate its annual electronic filing uncertainties regarding the ultimate Secure and Trusted Communications requirements for small exempt origin of financial support? Can the Networks Act of 2019, Public Law 116– organizations. Nationwide, for tax year certification be crafted to address these 124, 133 Stat. 158 (2020) (codified as 2018, there were approximately 571,709 challenges? Do these uncertainties amended at 47 U.S.C. 1601–1609) small exempt organizations in the U.S. present difficulties for the Commission (Secure Networks Act). (The reporting revenues of $50,000 or less in enforcing the certification? How can Commission’s Public Safety and according to the registration and tax these difficulties be mitigated? Homeland Security Bureau maintains data for exempt organizations available If the Commission adopts a the list at https://www.fcc.gov/ from the IRS. See Exempt Organizations requirement that an applicant certify supplychain/coveredlist). Such Business Master File Extract (E.O. BMF), that its bids do not and will not rely on equipment has been found to pose an ‘‘CSV Files by Region,’’ https:// financial support by an entity unacceptable risk to the national www.irs.gov/charities-non-profits/ designated by the Commission as a security of the United States or the exempt-organizations-business-master- national security threat, should the security and safety of United States file-extract-eo-bmf. certification be limited to just the persons. We also seek comment on Finally, the small entity described as entities so designated by the whether and under what circumstances a ‘‘small governmental jurisdiction’’ is Commission under section 54.9 or be we should revoke any existing defined generally as ‘‘governments of more expansive? What are the authorizations of such ‘‘covered’’ cities, counties, towns, townships, challenges with including indirect communications equipment. Finally, we villages, school districts, or special provision of financing in the invite comment on whether we should districts, with a population of less than certification and how can they be require additional certifications relating fifty thousand.’’ 5 U.S.C. 601(5). U.S. mitigated to ensure it accomplishes its to national security from applicants who Census Bureau data from the 2017 purpose? Should the certification be wish to participate in Commission Census of Governments (see 13 U.S.C. expanded to include an identified set of auctions. 161) indicate that there were 90,075 related entities, e.g., entities subject to local governmental jurisdictions control by an entity designated by the B. Legal Basis consisting of general purpose Commission? What entities should such The proposed action is taken under governments and special purpose a set include? How does the fungibility authority found in sections 4(i), 301, governments in the United States. See of financial resources complicate 302, 303, 309(j), 312, and 316 of the U.S. Census Bureau, 2017 Census of compliance? How can enforcement Communications Act of 1934, as Governments—Organization Table 2. challenges be alleviated? amended, 47 U.S.C. 154(i), 301, 302, Local Governments by Type and State: 303, 309(j), 312 and 316; and § 1.411 of 2017 [CG1700ORG02]. https:// IV. Initial Regulatory Flexibility the Commission’s rules, 47 CFR 1.411. www.census.gov/data/tables/2017/econ/ Analysis gus/2017-governments.html. (Local As required by the Regulatory C. Small Businesses, Small governmental jurisdictions are made up Flexibility Act of 1980, as amended Organizations, and Small Governmental of general purpose governments (RFA), the Commission has prepared Jurisdictions (county, municipal and town or this present Initial Regulatory Our actions, over time, may affect township) and special purpose Flexibility Analysis (IRFA) of the small entities that are not easily governments (special districts and possible significant economic impact on categorized at present. We therefore independent school districts). See also a substantial number of small entities by describe here, at the outset, three broad Table 2. CG1700ORG02 Table Notes_ the policies and rules proposed in this groups of small entities that could be Local Governments by Type and State_ Notice of Proposed Rule Making directly affected herein. See 5 U.S.C. 2017). Of this number there were 36,931

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general purpose governments (county, terrestrial systems and capable of could be impacted by our proposed municipal and town or township) with transmitting telecommunications to, and rules. populations of less than 50,000 and receiving telecommunications from, Wireless Telecommunications 12,040 special purpose governments— satellite systems. Id. Establishments Carriers (except satellite). This industry independent school districts with providing internet services or voice over comprises establishments engaged in enrollment populations of less than internet protocol (VoIP) services via operating and maintaining switching 50,000. Accordingly, based on the 2017 client-supplied telecommunications and transmission facilities to provide U.S. Census of Governments data, we connections are also included in this communications via the airwaves. estimate that at least 48,971 entities fall industry. Id. The SBA has developed a Establishments in this industry have into the category of ‘‘small small business size standard for ‘‘All spectrum licenses and provide services governmental jurisdictions.’’ Other Telecommunications’’, which using that spectrum, such as cellular Satellite Telecommunications. This consists of all such firms with annual services, paging services, wireless category comprises firms ‘‘primarily receipts of $35 million or less. See 13 internet access, and wireless video engaged in providing CFR 121.201, NAICS Code 517919. For services. See U.S. Census Bureau, 2017 telecommunications services to other this category, U.S. Census Bureau data NAICS Definition, ‘‘517312 Wireless establishments in the for 2012 show that there were 1,442 Telecommunications Carriers (except telecommunications and broadcasting firms that operated for the entire year. Satellite),’’ https://www.census.gov/ industries by forwarding and receiving See U.S. Census Bureau, 2012 Economic naics/?input=517312&year=2017& communications signals via a system of Census of the United States, Table ID: details=517312. The appropriate size satellites or reselling satellite EC1251SSSZ4, Information: Subject standard under SBA rules is that such telecommunications.’’ See U.S. Census Series—Estab and Firm Size: Receipts a business is small if it has 1,500 or Bureau, 2017 NAICS Definition, Size of Firms for the U.S.: 2012, NAICS fewer employees. See 13 CFR 121.201, ‘‘517410 Satellite Code 517919, https://data.census.gov/ NAICS Code 517312 (previously Telecommunications,’’ https:// cedsci/table?text=EC1251SSSZ4& 517210). For this industry, U.S. Census www.census.gov/cgi-bin/sssd/naics/ n=517919&tid=ECNSIZE2012. Bureau data for 2012 show that there naicsrch?input=517410&search= EC1251SSSZ4&hidePreview=false. Of were 967 firms that operated for the 2017+NAICS+Search&search=2017. those firms, a total of 1,400 had annual entire year. See U.S. Census Bureau, Satellite telecommunications service receipts less than $25 million and 15 2012 Economic Census of the United providers include satellite and earth firms had annual receipts of $25 million States, Table ID: EC1251SSSZ5, station operators. The category has a to $49,999,999. Id. Thus, the Information: Subject Series: Estab and small business size standard of $35 Commission estimates that the majority Firm Size: Employment Size of Firms for million or less in average annual of ‘‘All Other Telecommunications’’ the U.S.: 2012, NAICS Code 517210, receipts, under SBA rules. See 13 CFR firms potentially affected by our action https://data.census.gov/cedsci/ 121.201, NAICS Code 517410. For this can be considered small. table?text=EC1251SSSZ5& category, U.S. Census Bureau data for n=517210&tid=ECNSIZE2012. Fixed Satellite Transmit/Receive 2012 show that there were a total of 333 EC1251SSSZ5&hidePreview=false& Earth Stations. There are approximately firms that operated for the entire year. vintage=2012. Of this total, 955 firms 4,303 earth station authorizations, a See U.S. Census Bureau, 2012 Economic employed fewer than 1,000 employees portion of which are Fixed Satellite Census of the United States, Table ID: and 12 firms employed of 1000 Transmit/Receive Earth Stations. We do EC1251SSSZ4, Information: Subject employees or more. Id. Thus under this not request nor collect annual revenue Series—Estab and Firm Size: Receipts category and the associated size information and are unable to estimate Size of Firms for the U.S.: 2012, NAICS standard, the Commission estimates that Code 517410, https://data.census.gov/ the number of the earth stations that the majority of Wireless cedsci/table?text=EC1251SSSZ4& would constitute a small business under Telecommunications Carriers (except n=517410&tid=ECNSIZE2012. the SBA definition. However, the Satellite) are small entities. EC1251SSSZ4&hidePreview= majority of these stations could be Wireless Carriers and Service false&vintage=2012. Of this total, 299 impacted by our proposed rules. Providers. Neither the SBA nor the firms had annual receipts of less than Fixed Satellite Small Transmit/ Commission has developed a size $25 million. Consequently, we estimate Receive Earth Stations. There are standard specifically applicable to that the majority of satellite approximately 4,303 earth station Wireless Carriers and Service Providers. telecommunications providers are small authorizations, a portion of which are The closest applicable is Wireless entities. Fixed Satellite Small Transmit/Receive Telecommunications Carriers (except All Other Telecommunications. The Earth Stations. We do not request nor Satellite) (see U.S. Census Bureau, 2017 ‘‘All Other Telecommunications’’ collect annual revenue information and NAICS Definition, ‘‘517312 Wireless category is comprised of establishments are unable to estimate the number of Telecommunications Carriers (except primarily engaged in providing fixed small satellite transmit/receive Satellite),’’ https://www.census.gov/ specialized telecommunications earth stations that would constitute a naics/?input=517312& services, such as satellite tracking, small business under the SBA year=2017&details=517312), which the communications telemetry, and radar definition. However, the majority of SBA small business size standard is station operation. See U.S. Census these stations could be impacted by our such a business is small if it 1,500 Bureau, 2017 NAICS Definition, proposed rules. persons or less. Id. For this industry, ‘‘517919 All Other Mobile Satellite Earth Stations. There U.S. Census Bureau data for 2012 show Telecommunications,’’ https:// are 19 licensees. We do not request nor that there were 967 firms that operated www.census.gov/naics/?input=517919& collect annual revenue information and for the entire year. See U.S. Census year=2017&details=517919. This are unable to estimate the number of Bureau, 2012 Economic Census of the industry also includes establishments mobile satellite earth stations that United States, Table ID: EC1251SSSZ5, primarily engaged in providing satellite would constitute a small business under Information: Subject Series: Estab and terminal stations and associated the SBA definition. However, it is Firm Size: Employment Size of Firms for facilities connected with one or more expected that many of these stations the U.S.: 2012, NAICS Code 517210,

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https://data.census.gov/cedsci/ year. See U.S. Census Bureau, 2012 this category and the associated size table?text=EC1251SSSZ5& Economic Census of the United States, standard, the Commission estimates that n=517210&tid=ECNSIZE2012. Table ID: EC1251SSSZ5, Information: the majority of PLMR Licensees are EC1251SSSZ5&hidePreview=false& Subject Series—Estab & Firm Size: small entities. vintage=2012. Of this total, 955 firms Employment Size of Firms for the U.S.: According to the Commission’s had employment of 999 or fewer 2012, NAICS Code 517110, https:// records, a total of approximately employees and 12 had employment of data.census.gov/cedsci/ 400,622 licenses comprise PLMR users. 1000 employees or more. Thus under table?text=EC1251SSSZ5& This figure was derived from this category and the associated size n=517110&tid=ECNSIZE2012. Commission licensing records as of standard, the Commission estimates that EC1251SSSZ5&hidePreview=false. Of September 19, 2016. (Licensing numbers the majority of Wireless Carriers and this total, 3,083 operated with fewer change on a daily basis. This does not Service Providers are small entities. than 1,000 employees. Id. Thus, under indicate the number of licensees, as According to internally developed this size standard, the majority of firms licensees may hold multiple licenses. Commission data for all classes of in this industry can be considered There is no information currently Wireless Service Providers, there are small. available about the number of PLMR 970 carriers that reported they were Licenses Assigned by Auctions. licensees that have fewer than 1,500 engaged in the provision of wireless Initially, we note that, as a general employees). There are a total of services. See Federal Communications matter, the number of winning bidders approximately 3,577 PLMR licenses in Commission, Wireline Competition that qualify as small businesses at the the 4.9 GHz band; 19,359 PLMR licenses Bureau, Industry Analysis and close of an auction does not necessarily in the 800 MHz band; and 3,374 licenses Technology Division, Trends in represent the number of small in the frequencies range 173.225 MHz to Telephone Service at Table 5.3 (Sept. businesses currently in service. Also, 173.375 MHz. The Commission does not 2010) (Trends in Telephone Service), the Commission does not generally track require PLMR licensees to disclose https://apps.fcc.gov/edocs_public/ subsequent business size unless, in the information about number of attachmatch/DOC-301823A1.pdf. Of context of assignments or transfers, employees, and does not have this total, an estimated 815 have 1,500 unjust enrichment issues are implicated. information that could be used to or fewer employees, and 155 have more Private Land Mobile Radio (‘‘PLMR’’). determine how many PLMR licensees than 1,500 employees. See id. Thus, PLMR systems serve an essential role in constitute small entities under this using available data, we estimate that a range of industrial, business, land definition. The Commission however the majority of Wireless Carriers and transportation, and public safety believes that a substantial number of Service Providers can be considered activities. Companies of all sizes PLMR licensees may be small entities small. operating in all U.S. business categories despite the lack of specific information. Wired Telecommunications Carriers. use these radios. Because of the vast Radio and Television Broadcasting The U.S. Census Bureau defines this array of PLMR users, the Commission and Wireless Communications industry as ‘‘establishments primarily has not developed a small business size Equipment Manufacturing. This engaged in operating and/or providing standard specifically applicable to industry comprises establishments access to transmission facilities and PLMR users. The closest applicable SBA primarily engaged in manufacturing infrastructure that they own and/or category is Wireless radio and television broadcast and lease for the transmission of voice, data, Telecommunications Carriers (except wireless communications equipment. text, sound, and video using wired Satellite) which encompasses business See U.S. Census Bureau, 2017 NAICS communications networks. entities engaged in radiotelephone Definition, ‘‘334220 Radio and Transmission facilities may be based on communications. See U.S. Census Television Broadcasting and Wireless a single technology or a combination of Bureau, 2017 NAICS Definition, Communications Equipment technologies. Establishments in this ‘‘517312 Wireless Telecommunications Manufacturing,’’ https:// industry use the wired Carriers (except Satellite),’’ https:// www.census.gov/naics/?input= telecommunications network facilities www.census.gov/naics/?input=517312& 334220&year=2017&details=334220. that they operate to provide a variety of year=2017&details=517312. The Examples of products made by these services, such as wired telephony appropriate size standard for this establishments are: Transmitting and services, including VoIP services, wired category under SBA rules is that such a receiving antennas, cable television (cable) audio and video programming business is small if it has 1,500 or fewer equipment, GPS equipment, pagers, distribution, and wired broadband employees. See 13 CFR 121.201, NAICS cellular phones, mobile internet services. By exception, Code 517312 (formerly 517210). For this communications equipment, and radio establishments providing satellite industry, U.S. Census Bureau data for and television studio and broadcasting television distribution services using 2012 show that there were 967 firms equipment. Id. The SBA has established facilities and infrastructure that they that operated for the entire year. See a small business size standard for this operate are included in this industry.’’ U.S. Census Bureau, 2012 Economic industry of 1,250 employees or less. See See U.S. Census Bureau, 2017 NAICS Census of the United States, Table ID: 13 CFR 121.201, NAICS Code 334220. Definition, ‘‘517311 Wired EC1251SSSZ5, Information: Subject U.S. Census Bureau data for 2012 show Telecommunications Carriers,’’ https:// Series: Estab and Firm Size: that 841 establishments operated in this www.census.gov/naics/?input=517311& Employment Size of Firms for the U.S.: industry in that year. See U.S. Census year=2017&details=517311. The SBA 2012, NAICS Code 517210, https:// Bureau, 2012 Economic Census of the has developed a small business size data.census.gov/cedsci/ United States, Table ID: EC1231SG2, standard for Wired Telecommunications table?text=EC1251SSSZ5& Manufacturing: Summary Series: Carriers, which consists of all such n=517210&tid=ECNSIZE2012. General Summary: Industry Statistics companies having 1,500 or fewer EC1251SSSZ5&hidePreview=false& for Subsectors and Industries by employees. See 13 CFR 121.201, NAICS vintage=2012. Of this total, 955 firms Employment Size: 2012, NAICS Code Code 517311 (previously 517110). U.S. had employment of 999 or fewer 334220, https://data.census.gov/cedsci/ Census Bureau data for 2012 show that employees and 12 had employment of table?text=EC1231SG2&n=334220&tid= there were 3,117 firms that operated that 1000 employees or more. Id. Thus under ECNSIZE2012.EC1231SG2&

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hidePreview=false. Of that number, 828 that the majority of Auxiliary, Special Local Multipoint Distribution Service establishments operated with fewer than Broadcast and Other Program (LMDS), the Digital Electronic Message 1,000 employees, 7 establishments Distribution Services firms are small. Service (DEMS), and the 24 GHz operated with between 1,000 and 2,499 Radio Frequency Equipment Service, where licensees can choose employees and 6 establishments Manufacturers (RF Manufacturers). between common carrier and non- operated with 2,500 or more employees. Neither the Commission nor the SBA common carrier status. There are Id. Based on this data, we conclude that has developed a small business size approximately 66,680 common carrier a majority of manufacturers in this standard applicable to Radio Frequency fixed licensees, 69,360 private and industry are small. Equipment Manufacturers (RF public safety operational-fixed Auxiliary Special Broadcast and Manufacturers). There are several licensees, 20,150 broadcast auxiliary Other Program Distribution Services. analogous SBA small entity categories radio licensees, 411 LMDS licenses, 33 This service involves a variety of applicable to RF Manufacturers—Fixed 24 GHz DEMS licenses, 777 39 GHz transmitters, generally used to relay Microwave Services, Other licenses, and five 24 GHz licenses, and Communications Equipment broadcast programming to the public 467 Millimeter Wave licenses in the Manufacturing, and Radio and (through translator and booster stations) microwave services. (These statistics are Television Broadcasting and Wireless or within the program distribution chain based on a review of the Universal Communications Equipment (from a remote news gathering unit back Licensing System on September 22, to the station). Neither the SBA nor the Manufacturing. A description of these small entity categories and the small 2015). The Commission has not yet Commission has developed a size business size standards under the SBA defined a small business with respect to standard applicable to broadcast rules are detailed below. microwave services. The closest auxiliary licensees. The closest Other Communications Equipment applicable SBA category is Wireless applicable SBA category and small Manufacturing. This industry comprises Telecommunications Carriers (except business size standard falls under two establishments primarily engaged in Satellite) and the appropriate size SBA categories—Radio Stations and manufacturing communications standard for this category under SBA Television Broadcasting. The SBA size equipment (except telephone apparatus, rules is that such a business is small if standard for Radio Stations is firms and radio and television broadcast, and it has 1,500 or fewer employees. See 13 having $41.5 million or less in annual wireless communications equipment). CFR 121.201, NAICS Code 517312 receipts. See 13 CFR 121.201, NAICS See U.S. Census Bureau, 2017 NAICS (previously 517210). For this industry, Code 515112. U.S. Census Bureau data Definitions, ‘‘334290 Other U.S. Census Bureau data for 2012 show for 2012 show that 2,849 radio station Communications Equipment that there were 967 firms that operated firms operated during that year. See U.S. Manufacturing,’’ https:// for the entire year. See U.S. Census Census Bureau, 2012 Economic Census www.census.gov/cgi-bin/sssd/naics/ Bureau, 2012 Economic Census of the of the United States, Table ID: naicsrch?input=334290&search= United States, Table ID: EC1251SSSZ5, EC1251SSSZ4, Information: Subject 2017+NAICS+Search&search=2017. Information: Subject Series, Estab and Series—Estab and Firm Size: Receipts Examples of such manufacturing Firm Size: Employment Size of Firms for Size of Firms for the U.S.: 2012, NAICS include fire detection and alarm systems the U.S.: 2012, NAICS Code 517210, Code 515112, https://data.census.gov/ manufacturing, Intercom systems and https://data.census.gov/cedsci/ cedsci/table?text=EC1251SSSZ4&n= equipment manufacturing, and signals table?text=EC1251SSSZ5&n= 515112&tid=ECNSIZE2012. (e.g., highway, pedestrian, railway, 517210&tid=ECNSIZE2012. EC1251SSSZ4&hidePreview=false. Of traffic) manufacturing. Id. The SBA has EC1251SSSZ5&hidePreview= that number, 2,806 firms operated with established a size standard for this false&vintage=2012. Of this total, 955 annual receipts of less than $25 million industry as all such firms having 750 or firms had employment of 999 or fewer per year and 17 with annual receipts fewer employees. See 13 CFR 121.201, employees and 12 had employment of between $25 million and $49,999,999 NAICS Code 334290. U.S. Census 1,000 employees or more. Id. Thus million. Id. For Television Broadcasting Bureau data for 2012 show that 383 under this SBA category and the the SBA small business size standard is establishments operated in that year. associated size standard, the such businesses having $41.5 million or See U.S. Census Bureau, 2012 Economic Commission estimates that a majority of less in annual receipts. See 13 CFR Census of the United States, Table ID: fixed microwave service licensees can 121.201, NAICS Code 515120. U.S. EC1231SG2, Manufacturing: Summary be considered small. Census Bureau data show that 751 firms Series: General Summary: Industry in this category operated in that year. Statistics for Subsectors and Industries The Commission does not have data See U.S. Census Bureau, 2012 Economic by Employment Size: 2012, NAICS Code specifying the number of these licensees Census of the United States, Table ID: 334290, https://data.census.gov/cedsci/ that have more than 1,500 employees, EC1251SSSZ4, Information: Subject table?text=EC1231SG2&n=334290&tid= and thus is unable at this time to Series—Estab and Firm Size: Receipts ECNSIZE2012.EC1231SG2& estimate with greater precision the Size of Firms for the U.S.: 2012, NAICS hidePreview=false&vintage=2012. Of number of fixed microwave service Code 515120, https://data.census.gov/ that number, 379 operated with fewer licensees that would qualify as small cedsci/table?text=EC1251SSSZ4&n= than 500 employees and 4 had 500 to business concerns under the SBA’s 515120&tid=ECNSIZE2012. 999 employees. Id. Based on this data, small business size standard. EC1251SSSZ4&hidePreview=false. Of we conclude that the majority of Other Consequently, the Commission that number, 656 had annual receipts of Communications Equipment estimates that there are up to 36,708 $25,000,000 or less, 25 had annual Manufacturers are small. common carrier fixed licensees and up receipts between $25,000,000 and Fixed Microwave Services. Microwave to 59,291 private operational-fixed $49,999,999 and 70 had annual receipts services include common carrier, licensees and broadcast auxiliary radio of $50,000,000 or more. Id. Accordingly, private-operational fixed, and broadcast licensees in the microwave services that based on the U.S. Census Bureau data auxiliary radio services. They also may be small and may be affected by the for Radio Stations and Television include the Upper Microwave Flexible rules and policies discussed herein. We Broadcasting, the Commission estimates Use Service, Millimeter Wave Service, note, however, that the microwave fixed

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licensee category includes some large E. Steps Taken To Minimize the § 2.903 Prohibition on equipment entities. Significant Economic Impact on Small authorization of equipment on the Covered Entities, and Significant Alternatives List. D. Description of Projected Reporting, Considered Any equipment on the Covered List, Recordkeeping, and Other Compliance as defined in § 1.50002 of this chapter, The RFA requires an agency to Requirements for Small Entities is prohibited from obtaining an describe any significant, specifically equipment authorization under this The proposals being made in this small business, alternatives that it has subpart. This includes: Notice may require additional analysis considered in reaching its proposed (a) Equipment subject to certification and mitigation activities to the part 2 approach, which may include the procedures: Telecommunication rules that include various provisions to following four alternatives (among Certification Bodies and the Federal help ensure the integrity of the others): ‘‘(1) the establishment of Communications Commission are equipment authorization process. The differing compliance or reporting prohibited from issuing a certification Commission is authorized to dismiss or requirements or timetables that take into under this subpart for any equipment on deny an application where that account the resources available to small the Covered List; and application is not in accordance with entities; (2) the clarification, (b) Equipment subject to Supplier’s consolidation, or simplification of Commission requirements or the Declaration of Conformity procedures. compliance or reporting requirements ■ Commission is unable to make the 3. Amend § 2.906 by adding paragraph under the rule for such small entities; finding that grant of the application (d) to read as follows: (3) the use of performance rather than would serve the public interest. The design standards; and (4) an exemption § 2.906 Supplier’s Declaration of rules also require the TCB to perform from coverage of the rule, or any part Conformity. ‘‘post market surveillance’’ of thereof, for such small entities.’’ 5 * * * * * equipment that has been certified, with U.S.C. 603(c). In this proceeding, our (d) All equipment produced or guidance from OET, as may be proposals are consistent with (2), in that provided by any of the entities, or their appropriate. our goal is to seek comment on various respective subsidiaries or affiliates, that The Supplier’s Declaration of steps that the Commission could take in produce or provide ‘‘covered’’ equipment on the Covered List Conformity (SDoC) process is available its equipment authorization program, as well as its competitive bidding program, established pursuant to § 1.50002 of this with respect to certain types of RF chapter, is prohibited from obtaining devices that have less potential to cause to reduce threats posed to our nation’s communications system by ‘‘covered’’ equipment authorization through the interference. The SDoC procedure Supplier’s Declaration of Conformity requires the party responsible for equipment and services on the Covered List. We also seek comment on whether process. compliance (‘‘responsible party’’) to ■ 4. Amend § 2.907 by adding paragraph the Commission should revoke make the necessary measurements and (c) to read as follows: complete other procedures found equipment authorizations of ‘‘covered’’ equipment, and if so under what acceptable to the Commission to ensure § 2.907 Certification. conditions and procedures. that the particular equipment complies * * * * * with the appropriate technical standards F. Federal Rules That May Duplicate, (c) All equipment produced or for that device. At this time, the Overlap, or Conflict With the Proposed provided by any of the entities, or their respective subsidiaries or affiliates, that Commission’s current equipment Rules produce or provide ‘‘covered’’ authorization rules do not include None. equipment, as specified on the Covered specific provisions addressing the List of Subjects List established pursuant to § 1.50002 of ‘‘covered’’ equipment on the Covered this chapter, must obtain equipment Communications, Communication List. This Covered List identifies authorization through the certification equipment, Reporting and communications equipment and process. services that pose an unacceptable risk recordkeeping requirements, ■ 5. Amend § 2.909 by revising to the national security of the United Telecommunications, and Wiretapping paragraph (a) to read as follows: States or the security and safety of and electronic surveillance. United States persons. The Commission Federal Communications Commission. § 2.909 Responsible Party. is required to include communications Marlene Dortch, (a) For equipment that requires the equipment and services on the list based Secretary. issuance of a grant of certification, the exclusively on determinations made by party to whom that grant of certification Proposed Rules Congress and by other U.S. government is issued is responsible for the compliance of the equipment with the agencies. Currently, the list includes For the reasons discussed in the applicable standards. If the radio equipment and services produced or preamble, the Federal Communications frequency equipment is modified by any provided by five entities. Commission proposes to amend 47 CFR part 2 as follows: party other than the grantee and that In this Notice we examine our rules party is not working under the relating to equipment authorization and PART 2—FREQUENCY ALLOCATIONS authorization of the grantee pursuant to participation in Commission auctions to AND RADIO TREATY MATTERS; § 2.929(b), the party performing the help advance the Commission’s goal of GENERAL RULES AND REGULATIONS modification is responsible for protecting national security and public compliance of the product with the ■ safety. This builds on other actions the 1. The authority citation for part 2 applicable administrative and technical Commission recently has taken to continues to read as follows: provisions in this chapter. In either protect and secure our nation’s Authority: 47 U.S.C. 154, 302a, 303, and case, the responsible party must be communications systems. 336, unless otherwise noted. located in the United States (see ■ 2. Add § 2.903 to subpart J to read as § 2.1033). follows: * * * * *

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■ 6. Amend § 2.911 by adding paragraph control, and healthcare monitoring, can be downloaded at: https:// (d)(5) to read as follows: while also ensuring coexistence among www.fcc.gov/document/fcc-seeks- unlicensed FDS devices and current and enable-state-art-radar-sensors-60-ghz- § 2.911 Application requirements. future unlicensed communications band-0 or by using the search function * * * * * devices in the 60 GHz band. for ET Docket No. 20–382 on the (d) * * * DATES: Comments are due on or before Commission’s ECFS web page at (5) The applicant shall provide a September 20, 2021; reply comments are www.fcc.gov/ecfs. written and signed certification that, as due on or before October 18, 2021. of the date of the filing of the Synopsis ADDRESSES: You may submit comments, application, the equipment for which Discussion. The Part 15 rules permit identified by ET Docket No. 21–264, by the applicant seeks equipment low-power intentional radiators any of the following methods: authorization through certification is (popularly known as ‘‘unlicensed • Electronic Filers: Comments may be not ‘‘covered’’ equipment on the devices’’) to operate without an filed electronically using the internet by Covered List established pursuant to individual license where such use is not accessing the ECFS: http://apps.fcc.gov/ § 1.50002 of this chapter. anticipated to cause harmful ecfs/. interference to authorized users of the * * * * * • Paper Filers: Parties who choose to radio spectrum. Unlicensed devices in ■ 7. Amend § 2.1033 by revising file by paper must file an original and the 60 GHz band generally include paragraph (b)(1) to read as follows: one copy of each filing. • Filings can be sent by commercial indoor/outdoor communication devices § 2.1033 Application for certification. such as WiGig wireless local area overnight courier, or by first-class or networking (WLAN) devices, outdoor * * * * * overnight U.S. Postal Service mail. All fixed point-to-point communication (b) * * * filings must be addressed to the links, and field disturbance sensors (1) The identification, by name, Commission’s Secretary, Office of the (FDS)—which includes radar mailing address and telephone number Secretary, Federal Communications operations. Unlicensed device users or internet contact information, of the Commission. must account for the operations of manufacturer of the device, the • Commercial overnight mail (other authorized Federal and non-Federal applicant for certification, and the than U.S. Postal Service Express Mail users in the band, who operate under a responsible party as defined in § 2.909. and Priority Mail) must be sent to 9050 variety of co-primary allocations. These The responsible party must be located Junction Drive, Annapolis Junction, MD allocations, which vary by band within the United States. 20701. segment, consist of the Mobile, Fixed, * * * * * • U.S. Postal Service first-class, Inter-Satellite, Earth-Exploration [FR Doc. 2021–16085 Filed 8–18–21; 8:45 am] Express, and Priority mail must be Satellite Service (EESS), Space BILLING CODE 6712–01–P addressed to 45 L Street NE, Research, Mobile-Satellite, Washington, DC 20554 Radiolocation, Radionavigation, and • Effective March 19, 2020, and until Radionavigation-Satellite services. FEDERAL COMMUNICATIONS further notice, the Commission no COMMISSION Section 15.255 of the rules stipulates longer accepts any hand or messenger operational policies and technical delivered filings. This is a temporary 47 CFR Part 15 parameters for the 60 GHz band. The measure taken to help protect the health rule limits FDS operations to fixed [ET Docket No. 21–264; FCC 21–83; FR ID and safety of individuals, and to operation or when used as short-range 41217] mitigate the transmission of COVID–19. devices for interactive motion sensing See FCC Announces Closure of FCC (SRIMS). Furthermore, a fixed FDS with FCC Seeks To Enable State-of-the-Art Headquarters Open Window and Radar Sensors in 60 GHz Band an occupied bandwidth fully contained Change in Hand-Delivery Policy, Public within the 61.0–61.5 GHz band may AGENCY: Federal Communications Notice, DA 20–304 (March 19, 2020). operate with average output power Commission. https://www.fcc.gov/document/fcc- levels up to 40 dBm and peak output closes-headquarters-open-window-and- ACTION: Proposed rule. power levels up to 43 dBm, while all changes-hand-delivery-policy. other FDS devices (including those People with Disabilities: To request SUMMARY: In this document, the being used for SRIMS) are limited to a materials in accessible formats for Commission proposes to revise the maximum transmitter conducted output people with disabilities (braille, large Commission’s rules to provide power not to exceed –10 dBm and a print, electronic files, audio format), expanded operational flexibility to maximum EIRP level not to exceed 10 send an email to [email protected] or call unlicensed field disturbance sensor dBm. (FDS) devices (e.g., radars) that operate the Consumer & Governmental Affairs When it first adopted § 15.255 in in the 57–64 GHz band (60 GHz band). Bureau at 202–418–0530 (voice), 202– 1995, the Commission stated that its The Commission’s proposal recognizes 418–0432 (TTY). intent was to foster the potential of the the increasing practicality of using FOR FURTHER INFORMATION CONTACT: Anh 60 GHz band ‘‘for allowing the mobile radar devices in the 60 GHz Wride, Office of Engineering and development of short-range wireless band to perform innovative and life- Technology, 202–418–0577, anh.wride@ radio systems with communications saving functions, including gesture fcc.gov, or Thomas Struble at 202–418– capabilities approaching those . . . control, detection of unattended 2470 or [email protected] achievable only with coaxial and optical children in vehicles, and monitoring of SUPPLEMENTARY INFORMATION: This is a fiber cable.’’ When it finalized the rule vulnerable medical patients, and it is summary of the Commission’s Notice of by adopting a spectrum etiquette three designed to stimulate the development Proposed Rulemaking (NPRM), in ET years later, it also included a provision of new products and services in a wide Docket No. 21–264, FCC 21–83, adopted that permitted fixed FDS operation in variety of areas to include, for example, on July 13, 2021 and released on July the band. personal safety, autonomous vehicles, 14, 2021. The full text of this document In 2016, the Commission further home automation, environmental is available for public inspection and expanded unlicensed device use in the

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band to permit limited mobile radar that the higher-power Google Soli ‘‘spectrum footprint’’ as the Soli device. operations and to extend the use of device would be able to cooperatively The increased interest in use of the band fixed field disturbance sensors to the share this spectrum with all users. The and accompanying breadth of potential 64–71 GHz band. At that time, the waiver permitted Google to deploy its applications that parties have identified Commission recognized that wireless Soli sensor technology at 10 dBm peak is a relatively recent development, innovation included the development of transmitter conducted output power, 13 attributable at least in part, the gesture-recognition technology using dBm peak EIRP level, and 13 dBm/MHz Commission believes, to the availability short-range radars that would allow power spectral density, with a of mass-produced chipsets that are users to interact with devices without maximum 10% duty cycle in any 33 capable of operating in the band, as well needing to touch them. It thus decided milliseconds (ms) interval. This as the prospect of marketing and to permit SRIMS radars while also represented a lesser peak power limit operating these mobile radar devices on noting that the record before it was than Google had originally sought, as it a broad international scale. insufficient to allow for the unfettered had revised its request following To that end, the Commission notes operation of mobile radars in the band. discussions with other parties who had that operation at higher power than Specifically, the Commission’s decision interests in using the band for specified in the Commission’s rules has permitted the ‘‘narrow application of unlicensed operations, such as been allowed in Europe under general mobile radars for short-range interactive Facebook, in an effort to facilitate rules for short-range devices. A motion sensing’’ at reduced power coexistence between unlicensed users in European Telecommunications levels to ensure that they would the band. Standards Institute (ETSI) standard, successfully co-exist with co-channel Recently, OET granted waivers to which has been in effect since 2014, communications devices already several parties to permit the operation of permits short-range devices to operate permitted to operate in the band. While vehicle cabin-mounted radars as well as in a portion of the 57–71 GHz band at the Commission did not adopt a specific health-care related and other power levels that exceed those for definition for SRIMS, in permitting applications in the 57–64 GHz range at FDS—including those operating as narrow use of short-range mobile radars the same power levels as those granted SRIMS—under § 15.255 of the it discussed the work of Google LLC to Google in 2018. These narrowly Commission’s rules. Specifically, ETSI (Google) in developing its ‘‘Soli’’ sensor tailored waivers support an especially Standard EN 305 550 permits operation technology, which envisioned that compelling public interest—using radar of short-range devices in the 57–64 GHz smartphones and other personal devices technology to monitor for children left band at up to 20 dBm mean EIRP, while would be able to sense hand gestures in dangerous, hot cars and to trigger § 15.255(c)(3) presently specifies that when a user is located at a very short alerts that could save lives. While radars the peak EIRP level for FDS devices distance from the device to perform operating under these waivers must be shall not exceed 10 dBm. ETSI EN 305 functions such as controlling web pages installed within the vehicle cabin and 550 also permits a maximum transmitter or answering phone calls. Furthermore, have the primary function of preventing output power of 10 dBm, which is 20 dB while the Commission specifically children from inadvertently being left greater than the level that § 15.255(c)(3) rejected comments calling on it to unattended in rear car seats, they are permits in this band. There are some completely eliminate restrictions on also expected to provide additional additional differences between the US FDS use, it also stated that it might passenger safety and theft prevention and European approaches. For example, benefits. In addition, OET granted a the ETSI power limits are based on consider allowing higher power levels waiver to Leica Geosystems AG in July average measurements, whereas the in the future after it had acquired more 2020 that allows a limited number of Commission’s limits are based on peak experience with the devices it was radars to operate in the 60–64 GHz band power measurements. In addition, ETSI permitting at that time. on specialized unmanned aircraft for the EN 305 550 also requires short-range Since the 2016 decision, there has specific purpose of avoiding collisions devices in the 57–64 GHz band to been continued interest in developing with structures, supporting wires, or comply with a power spectral density mobile radar applications that use the other fixed objects during the visual (PSD) limit of 13 dBm/MHz, which the 60 GHz band. To date, the Commission’s inspection of structures. Commission’s rules do not include. Office of Engineering and Technology Applications such as the use of in- Finally, unlike the U.S, ETSI does not (OET) has granted focused waivers of cabin automotive radars represent one have a separate provision that allows for the rules to support discrete of the many uses that parties have higher EIRP levels of up to 40 dBm for applications. First, Google requested a identified as being well suited for FDS in the 61.0–61.5 GHz band, nor waiver of the emission limits to allow development in the 57–71 GHz band if does it provide for operation in the 64– Soli radar devices to operate at a higher the § 15.255 rules were amended to 71 GHz band. output power level than what had been permit expanded mobile radar use. The The protocols for wireless systems authorized in the rulemaking, arguing Commission has received additional operating in the 60 GHz band within the that it had determined that higher waiver requests asking for permission, U.S. have been established by the power levels were necessary for the for example, to install a radar on the Institute of Electrical and Electronics radar sensor to provide sufficient exterior of a vehicle to enable closure of Engineers (IEEE) 802.11 Standards resolution to engage in effective a door by the detection of foot Committee. These protocols are often interactions. In its 2018 order granting movement or hand gestures; to operate referred to as ‘‘WiGig,’’ named for the that waiver, which was limited to use of 60 GHz radars in robotic lawn mowers, former Wireless Gigabit Alliance which the specific Soli sensor described in or in personal safety wall-mount devices advocated for their development. The Google’s request, OET found that to detect changes in a person’s gait or a current IEEE 802.11ad standard allows allowing Google Soli sensors to operate fall, and in 3D imaging equipment in for channel sizes of up to 2.16 gigahertz at the requested power levels would not healthcare environments. In general, in the 60 GHz band, which support a materially change the operating these requests have been consistent with data rate of up to 8 gigabits per second environment in the 57–64 GHz band the same technical parameters as the and permits a total of six channels in from the perspective of the other users waiver granted to Google and are the 57–71 GHz band available in the in the band. Specifically, it determined represented to occupy the same United States. Furthermore, there are

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IEEE 802.11 working groups with band, the breadth of deployments that is currently permitted for 60 GHz ongoing activities to define the channel parties have identified, and the communication devices (up to 40 dBm access protocols to enable the same 60 opportunities for innovation that will be EIRP) across the entire 57–71 GHz band. GHz system transmitting made possible by the availability of The Commission is not proposing any communication signals to transmit radar relatively inexpensive application- rule revisions for existing unlicensed signals. agnostic FDS-capable chipsets make the communication devices such as WiGig The ongoing interest in expanding the Commission’s initiation of a rulemaking WLAN or fixed point-to-point wireless scope of permissible unlicensed proceeding both timely and appropriate. links that currently operate in the 57– operations in the 60 GHz band has In recognition that unencumbered 71 GHz band. However, the Commission prompted interested parties to form a 60 unlicensed operation has proven to be seek comment on whether there are GHz Coexistence Study Group that has an especially powerful engine for particular provisions that the been looking into ways to accommodate innovation and economic growth, the Commission is proposing for FDS both unlicensed communications device Commission’s proposals are designed to operation, such as an antenna gain limit and FDS operations in the band. This expand the opportunities for unlicensed instead of a conducted power limit and group, which has attracted the active FDS operations in the band to the requiring use of a spectrum sensing participation of many key members of greatest extent possible. At the same mechanism, that should be more the industry and meets on a regular time, the Commission’s proposals are broadly applied to all Part 15 devices basis, operates independently of the also designed to provide assurance that operating in the 57–71 GHz band. Commission. Members of this group, the unlicensed communications devices The Commission notes that the TAC’s however, have submitted comments and that have been permitted to use the Future of Unlicensed Operations ex parte filings in conjunction with band since it was first made available working group suggested the many of the recent waiver proceedings. for unlicensed operations will be able to Commission seek comment on whether In general, these submissions have coexist with these new unlicensed the rules should allow greater radiated documented the parties’ interest in 60 operations. And, in all cases, the power for radar applications, if the GHz unlicensed operations and have Commission’s proposals remain true to parameters of the Google Soli waiver encouraged us to initiate a rulemaking the bedrock principle that unlicensed should be incorporated into the rules, proceeding to review § 15.255 of the devices, regardless of type, must not and whether there are changes to the Commission’s rules with a goal of cause harmful interference to authorized conditions and technical requirements putting into place a new framework to users of the band. set forth in the recent waivers that promote further innovation in the 60 would improve sharing with GHz band by both unlicensed In this NPRM, the Commission communications applications. It further communications and FDS operations. proposes targeted changes to § 15.255 of suggested that the Commission ask Finally, the 2020 panel of the FCC’s the Commission’s rules to expand whether the use of a contention-based Technological Advisory Council (TAC) unlicensed FDS device operations in the protocol should be required, and took notice of the 60 GHz Coexistence 60 GHz band. First, the Commission whether 60 GHz band unlicensed radar Study Group when its Future of proposes that all FDS devices that limit applications should be allowed to use Unlicensed Operations working group their operating frequencies to the 57–64 the same power levels as examined ways to improve regulations GHz portion of the band would be communications applications in the for the 60 GHz band. As part of the permitted to transmit at a maximum of band if they incorporate listen-before- TAC’s January 14, 2021 meeting, the 20 dBm average EIRP, 13 dBm/MHz talk procedures. The Commission working group recommended that the average EIRP power spectral density, invites commenters to address these Commission initiate a rulemaking and 10 dBm transmitter conducted specific questions. proceeding to examine the 60 GHz rules output power, along with a maximum As an initial matter, given that the in § 15.255 to address issues raised by 10% duty cycle restriction within any Commission refers to both FDS and the numerous waiver requests that had 33 ms interval. FDS devices will be able radars extensively throughout this been filed. to continue to operate across the entire document, the Commission addresses Discussion. The Commission believes 57–71 GHz band at the 10 dBm EIRP the relationship between the two terms. that there are significant benefits in and –10 dBm conducted output power Field disturbance sensors broadly initiating this rulemaking proceeding, limits specified in the Commission’s include radar operations. Although and the Commission agrees with the existing rules. By streamlining the § 15.3(l) of the Commission’s rules TAC and other parties that have urged Commission’s rules in this manner, the provides a definition for ‘‘field us to comprehensively evaluate Commission would no longer need the disturbance sensor,’’ it does not provide unlicensed operations under § 15.255 of special provisions for short-range a definition for ‘‘radar,’’ and instead the Commission’s rules. The interactive motion-sensing mobile parties must look to the radar definition Commission realizes that past radars (i.e. SRIMS) that are contained in contained in § 2.1 of the Commission’s individual waivers have served as an the Commission’s existing rules. rules. The Commission seeks comment important ‘‘relief valve’’ that allow for Second, the Commission also proposes on whether the rules related to ‘‘field unique types of operations that have to retain and potentially to expand on disturbance sensors’’ in § 15.255 are important public interest benefits and the provision of § 15.255(c)(2) allowing sufficiently broad and flexible to that do not result in harmful fixed FDS devices that contain their accommodate the class(es) of devices interference to incumbent licensed users operating bandwidth to the 61.0–61.5 that parties anticipate will be developed or jeopardize coexistence with other GHz band to transmit at 40 dBm average to operate in the 57–71 GHz band. The unlicensed users but do not comply EIRP and 43 dBm peak EIRP. Finally, Commission also seeks comment on with the Commission’s rules. However, the Commission seeks comment on whether the Commission should modify they are an inappropriate mechanism methods to enhance coexistence (e.g., the definitions contained in Part 15 of for providing the type of broad-based listen-before-talk or other spectrum the Commission’s rules to provide relief that the Commission considers sensing/contention avoidance greater clarity about the relationship here. Together, the overwhelming capabilities) that could be used to allow between FDS and radars and, if so, how? interest in FDS operations in the 60 GHz the same power level for FDS devices as Commenters that support modifying the

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existing Part 15 definitions should also Based on the Commission’s review of rules in any other respect? The address whether such modifications the multiple waiver requests that Commission also seeks comment on the would require adjustments elsewhere in pertain to FDS use of the 60 GHz band, benefits or costs of these proposed the rules. parties designing and manufacturing changes with respect to 60 GHz As noted above, a number of parties radars to operate in the 60 GHz band authorized users. Parties that oppose have been granted waiver of certain have proposed to restrict their spectrum these proposed rules should cite provisions of § 15.255 to permit usage to frequencies below 64 GHz specific harms that they believe would operation of innovative radar devices in (constituting the 60–64 GHz or 57–64 result from changing the rules. the 60 GHz band. To the extent the GHz band segments, depending on the EIRP Limits. The current rules permit Commission modifies its rules in this filing), although § 15.255 permits FDS devices to operate at a maximum proceeding to expand unlicensed FDS operation across the 57–71 GHz band for 10 dBm EIRP. All of the waiver requests device operations in the 60 GHz band, fixed FDS and SRIMS devices such as the Commission received requested a the Commission expects that all future the Google Soli. The Commission maximum of 13 dBm EIRP to provide 60 GHz FDS operations would be surmises that the requests seek to limit greater accuracy and finer resolution conducted subject to the Commission’s operation to the lower portion of the 57– imaging. Subsequent waiver requests to modified rules. Accordingly, the 71 GHz band to align operations and Google’s waiver described the intended Commission proposes that if the devices with international standards target detection to be either in the sub- Commission adopts such modifications such as the European ETSI Harmonized millimeter range such as the breathing to the Commission’s rules in this Standard EN 305 550 that restrict short- patterns of a child in a car seat, or as proceeding, the previously granted 60 range devices, e.g., radars, to the 57–64 in the case of Leica Geosystems AG, thin GHz FDS waivers would be terminated GHz band. The Commission seeks cables as small as 2.5 mm in diameter; and FDS device manufacturers would be comment on this assumption. thus, requesters argue that 60 GHz FDS expected to conform their operations to devices need higher power than The Commission notes that a proposal the Commission’s rules as revised. The specified in the rules, because the has been submitted to IEEE 802.11 to Commission seeks comment on this existing power levels do not allow the define a channel access protocol to proposal. devices to provide the necessary enable the same 60 GHz systems to The Commission first proposes to accuracy in detection of small-size transmit signals that can be used both modify § 15.255 of the Commission’s targets due to poor signal-to-noise ratio. rules to afford greater opportunities for for communications and radar purposes The Commission proposes to allow fixed and mobile FDS devices operating to be decoded by a similar system at the FDS devices to operate at no more than in the 57–64 GHz portion of the 60 GHz receiving end. Equipment designs for 60 20 dBm average EIRP. This proposed band. The extensive analysis that has GHz transmitters are thus considering EIRP limit is higher than the level accompanied the multiple waiver radar transmissions alongside requested in the multiple waivers that requests that have been submitted to the communication transmissions in the the Commission received; however, it is Commission, the widespread consumer same transmitter or chip. While the consistent with ETSI EN 305 550. The use of Google’s Soli-equipped devices IEEE efforts in this area may be Commission believes this EIRP level without reported cases of harmful considering the entire 57–71 GHz band, will promote additional growth for new interference and the ongoing efforts of the Commission proposes to limit FDS applications beyond those the industry and standards groups to operation of FDS devices operating anticipated to be deployed under the identify model coexistence practices for under the Commission’s proposed Commission’s issued and pending unlicensed users gives us confidence higher power limits (20 dBm EIRP) to waiver requests. The Commission also that there is now sufficient information the 57–64 GHz band. As discussed believes that harmonization with other for us to build a record to expand above, limiting the Commission’s regions will likely increase efficiency unlicensed mobile radar use beyond the proposal in this way provides for for American manufacturers by reducing toehold the Commission first provided devices that are consistent with the design and manufacturing costs. The in 2016 and the narrow waivers that international standards, which only Commission further believes that this have been issued to date. The specify FDS operation in the 57–64 GHz EIRP limit will not cause harmful Commission’s baseline proposals draw band. The Commission seeks comment interference to authorized services in from the technical and operating on this proposal. Would limiting the band. These radars will operate at a conditions incorporated into the operation of higher power FDS devices comparatively much lower EIRP level waivers granted to Google for its Soli to the 57–64 GHz band benefit 60 GHz than what is already permitted for device and to automobile manufacturers WLAN systems operating in close communication devices (indoors and and suppliers for in-cabin radars to proximity to FDS devices by leaving the outdoors) in the same frequency band. detect children left in cars, with 64–71 GHz band clear of higher power Communication devices such as 60 GHz additional modifications to account for FDS operations? The Commission seeks WLAN devices can operate at up to 40 harmonization with international comment on whether, alternatively, the dBm EIRP, as compared to the 20 dBm provisions governing operation in the Commission should allow the proposed EIRP limit that the Commission is band. FDS operation across all of the 57–71 proposing for radars. The Commission As discussed below, the Commission GHz band or some other segment of the notes that a WLAN device may already proposes to: Focus device operation to band. If the Commission were to allow have to operate in the presence of the 57–64 GHz portion of the 60 GHz the proposed FDS operation across the signals from neighboring WLAN devices band; allow operations at higher power entire 57–71 GHz frequency range under and other Part 15 devices operating at levels than were permitted in the the proposed requirements discussed similar power levels; thus the proposed waivers but consistent with the well- below—which include a duty cycle lower EIRP limit for FDS devices should established ETSI standards; and require limit—should the Commission remove have little or no effect on the a duty cycle that is consistent with what the current provision that permits operational environment that WLAN was established in the Google waiver, operation in this band at 10 dBm EIRP devices can expect under the with the possibility of mandating a with no duty cycle limit? Should the Commission’s rules. The Commission minimum off-time between cycles. Commission modify the Commission’s also observes that 60 GHz WLAN

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devices have operated at this EIRP limit or raise other considerations compared such a change should provide specific (i.e., 40 dBm average/43 dBm peak) for to other 60 GHz WLAN applications? Do details regarding measurement several years without causing harmful 60 GHz unlicensed communications difficulties than might be encountered interference to other authorized systems operate throughout the entirety for system-on-a-chip devices as well as services, such as the Passive EESS of the 60 GHz band? Could these details on what maximum antenna gain operating at 57–59.3 GHz. In addition, systems operate effectively in a they believe should be specified and the IEEE 802.11 standards group’s subsection of the overall band, for whether there are circumstances under activity to define channel access example, the 64–71 GHz band segment? which that gain can be exceeded (e.g., protocols to allow transmission of radar Transmitter Conducted Output Power with a corresponding EIRP reduction). signals alongside communication Limit. The rules currently permit FDS Power Spectral Density Limit. The signals may allow coexistence of both devices to operate at a maximum –10 existing rules do not restrict the power signals in the 60 GHz band. The dBm transmitter conducted output spectral density for 60 GHz devices. The Commission seeks comment on the power, whereas 60 GHz WLAN devices Commission proposes to require a 13 proposed EIRP level for FDS devices are allowed up to 27 dBm. The dBm/MHz EIRP power spectral density and on the Commission’s tentative Commission proposes to allow FDS on FDS devices, to be consistent with interference assessment. The devices to operate at a maximum 10 the ETSI limit. This is the same Commission also seeks comment on the dBm conducted output power, restriction the Commission placed on state of standards development — consistent with the waivers the Google and other parties operating FDS devices pursuant to Commission issued specifically, with respect to coexistence Commission has already granted in the waivers. The Commission seeks issues between radar signals and band. The Commission notes that the comment on the proposed power communications signals. Should the ETSI standard specifies the conducted spectral density limit. Is there a need for Commission specify any coexistence output power as a mean (average) limit, a power spectral density limit, and if so, measures or requirements, such as rather than a peak limit as the what is the appropriate limit and for listen-before-talk in its rules? Does the Commission’s rules do. The which types of devices should it apply? fact that many radars are mobile mean Commission seeks input on whether the For example, would a power spectral that they will not be used in close Commission should consider average density limit be necessary for FDS proximity to communication devices for transmitter conducted output power extended periods of time, thus limiting devices using frequency-modulated limit and what impact this would have continuous wave (FMCW), or pulse/ any potential for causing interference to on the different types of FDS devices short durations? Further, the impulse transmissions? Although the (e.g., FMCW, pulse, etc.). On the other Commission is mindful of harmonizing Commission seeks comment on the hand, the Commission notes that for 60 benefits or costs of the proposed change the technical rules that the Commission GHz transmitters, including adopts with the existing ETSI standards, to the EIRP limit with respect to 60 GHz communications and radar devices, that authorized users. How would this the Commission seeks input and are implemented at the chip level, technical analyses on the utility of this change, if adopted, benefit stakeholders, access to the transmitter output port consumers and others? Parties that proposed requirement. FMCW sensors may not be available, rendering a generally modulate their transmission oppose these proposed rules should: demonstration of compliance to this Cite specific harms that they believe over a frequency band in order to obtain requirement burdensome. The the necessary target resolution. At any will result from changing the rules in Commission seeks input on whether given time, FMCW sensor emissions are the manner proposed, estimate the costs this requirement is necessary in view of limited to a small portion of the of such potential harms, and specify the technological evolution of such spectrum. As such, implementing a PSD under what parameters they believe system-on-chip devices. A 10 dBm limit appears to be an appropriate radar systems can coexist with transmitter conducted output power measure for spectrum sharing for these communications systems in the band. limit along with a 20 dBm EIRP limit types of sensors. The Commission seeks Because 60 GHz FDS devices will implies a limit on transmit antenna comment on whether a PSD limit alone need to coexist with 60 GHz gain. The Commission inquires as to is a sufficient power limit to facilitate communications devices, the whether the transmitter conducted sharing between field disturbance Commission also seeks comment on the output power limit instead should be sensors and communication devices. state of development in the 60 GHz replaced by an antenna gain limit. If so, Are there other FDS modulation communications device ecosystem. what limit would be appropriate? techniques that would benefit from a What is the current state of deployment Should an antenna gain limit be applied power spectral density limit? The of 60 GHz communications systems? to all 60 GHz transmitters, including 60 Commission also seeks comment on the What use cases are supported by 60 GHz GHz communication devices, since benefits or costs of the proposed power communications systems today, and these devices also have transmitters spectral density limit for FDS devices what use cases are contemplated for implemented at the chip level, and thus with respect to 60 GHz authorized users. these systems in the future? Do 60 GHz would encounter the same measurement If the Commission does not adopt a communications systems generally take difficulties? The Commission also seeks power spectral density limit, what are advantage of the higher EIRP limits comment on whether a transmitter the ramifications if devices are permitted under the Commission’s conducted output limit is necessary for permitted to operate with all of their rules? Facebook, Intel, and Qualcomm 60 GHz transmitters, including energy concentrated in a narrow assert that the 60 GHz band will be used communications and radar devices. The bandwidth? Parties that oppose these by unlicensed devices for latency- Commission seeks input on this issue in proposed rules should cite specific sensitive augmented reality/virtual order to develop a comprehensive harms that they believe would result by reality/extended reality (AR/VR/XR) record. The Commission also seeks imposing a power spectral density applications. Is this likely to be a comment on the benefits or costs of the requirement. widely-deployed use case in the 60 GHz proposed change to the transmitter The Commission notes that the EIRP, band? Do AR/VR/XR applications conducted output power with respect to transmitter conducted output power, present distinct interference scenarios 60 GHz authorized users. Proponents of and power density limits proposed here

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are consistent with those stipulated by further notes that by specifying the short silent periods (also in the micro- the ETSI standard EN 305 550. This limits only in terms of average power, second durations) during the entire total standard has been in existence since potential measurement instrument 33 ms interval. This would result in 2014, thus these limits have been tested desensitization phenomena can be interspersed, non-contiguous micro- and deployed in other geographic avoided. The Commission proposes to second short silent intervals during regions with similar spectrum define the power limits for FDS/radar which 60 GHz AR/VR communication allocations. In fact, ETSI released an devices in terms of average power and devices may have difficulty accessing updated draft of this standard in 2017 seek comment on the benefits of such a the spectrum due to the briefness of the and did not recommend changes to the measurement. Are there consequences radars’ quiet intervals; yet, when added limits. Thus, it appears that these to specifying average power together, the total amount of proposed power levels have been measurements rather than peak with transmission time and silent intervals successful in providing an environment respect to the potential to cause harmful would comply with the ‘‘10% on, 90% that supports robust sharing of the 60 interference to authorized users, or for off’’ definition of a 10% duty cycle. GHz spectrum among various users as unlicensed radar systems to coexist with On the other hand, other parties the Commission is proposing to allow unlicensed communications systems? indicate that ‘‘regulatory guarantees of here. The Commission seeks comment Those who believe that such a change such latency targets would substantially on this view. The Commission also might result in harmful interference degrade performance of FMCW radars, seeks input on the development status should estimate the costs of such which generally need to transmit of the draft 2017 ETSI EN 305 550 interference. Would this change impact frequent chirps (to prevent velocity Standard with respect to the technical passive EESS users in the 57–59.3 GHz aliasing) and span a sufficient burst time parameters the Commission is band? Are there are other possible FDS/ to enable good velocity resolution.’’ proposing herein. The Commission radar modulation techniques that would These parties argue that a duty cycle understands that ETSI is undertaking a make requiring a peak power limit rule restricting radars to ‘‘guarantee that major revision of EN 305 550 to address necessary? at least 99% of WiGig packets The existing rules do not place a duty receiver performance parameters, which experience on-air latency of no more cycle restriction on 60 GHz devices. the 2014 Harmonized version did not than a few milliseconds’’ would be Similarly, the ETSI EN 305 550 standard address. The Commission seek comment unnecessary due to ‘‘radars’ low does not stipulate a duty cycle limit for on the status of this revision and what transmission power, low potential to 60 GHz short-range devices; however, changes to the specification are generate interference, and antenna anticipated. In light of this ongoing the standard does specify requirements for 60 GHz receivers to ensure that they directionality, as well as propagation revision, are changes to the loss in the 60 GHz band.’’ A regulatory Commission’s proposed rules can adequately handle interferer signals. The Commission imposed a 10% duty latency target will have a similar impact warranted? To develop a comprehensive on pulse radars as well, as the radar’s record, the Commission seeks input on cycle limit in the Google Waiver Order and subsequent waivers for 60 GHz FDS observable maximum velocity and current or planned standards, both velocity resolution both depend on the domestic and international, regarding devices operating under higher emission limits than permitted in the rules. This pulse repetition frequency. As such, operation of FDS devices in the 57–71 should duty cycle be defined differently GHz band, or any subset frequency band 10% duty cycle is based on a maximum 3.3 ms transmission time in every 33 ms for radar systems with different thereof. In addition, because radar interval and was derived from Google’s modulation techniques (FMCW, pulse, resolution is generally dependent on 2018 final agreement with stakeholders etc.) operating on different time scales? bandwidth, the Commission seeks from the WLAN communications On the other hand, in view of these comment on whether the proposed rules industry whose technology operates in apparent limitations with respect to will provide the sufficient resolution the 60 GHz spectrum. The Commission maximum velocity and velocity over the ranges needed for the proposes to require the same duty cycle resolution, is duty cycle a suitable applications envisioned for radars in the restriction as that imposed in the parameter for regulation? Can limiting 60 GHz band. multiple waivers. peak and average power within a Peak vs. Average Power Limits. The However, the Commission notes that defined band be a better approach than Commission notes that, except for fixed in some of the waiver requests, parties specifying a duty cycle? If regulating the FDS devices that contain their operating asked for a longer transmission time duty cycle is necessary, then how bandwidth within the 61.0–61.5 GHz frame. The Commission further notes should it be defined? The Commission band, the existing rules for FDS devices certain parties recommend modifying seeks comment and technical input on do not specify an average power limit, the duty cycle restriction adopted in the appropriate parameters for regulation but instead only a peak or maximum waivers to read that ‘‘any radar off-time including definition/characterization of power limit, unlike the power limits for period between two successive radar the duty cycle with respect to radar 60 GHz communications devices, where pulses that is less than 2 ms shall be devices. The Commission seeks input the Commission specifies both an considered ‘on time’ for purposes of on this issue to maximize the efficiency average EIRP and a peak EIRP of 3 dB computing the duty cycle.’’ These of both communications and radar above the average limit. The parties express concern that the duty operations without unduly degrading Commission observes that 60 GHz FDS cycle requirement in the waivers will the operating environment for and radar devices will mostly use not promote coexistence with unlicensed users of the band or causing constant-amplitude continuous-wave communications applications, including harmful interference to authorized users (CW), frequency-modulated continuous AR/VR/XR communication devices in the band. The Commission also seeks wave (FMCW), or pulse/impulse which require very high data comment on whether radar signals transmissions. If the limits are applied throughput and very low latency. They could mimic the spectrum access only during active transmission (i.e., point out that the 10% duty cycle protocols of communications devices to only over the chirp or pulse duration), requirement could lead to certain radars appear like any other communication then the peak and the average signals transmitting very short bursts (in micro- signal thereby making a duty cycle will be equivalent. The Commission second durations) followed by similarly restriction unnecessary. The

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Commission seeks comment on whether Because the Commission is proposing facilitating FDS device deployment, the recent activities in the IEEE to permit fixed and mobile radars to given that radars typically achieve better standards group examining channel operate in the 60 GHz band, the resolution with a wider bandwidth. access protocols that would enable the Commission believes it is no longer What FDS applications currently are same 60 GHz system transmitting necessary to qualify an application as being enabled using the higher power communication signals to transmit radar SRIMS to operate as a mobile radar levels permitted in the 61.0–61.5 GHz signals address this issue. Commenters under § 15.255. The Commission band? Could the Commission expect should provide technical detail, studies therefore proposes to remove this that expanding § 15.255(c)(2) would and analyses supporting their position designation from the rules and replace result in new mobile FDS applications, on how a duty cycle requirement for it with the general designation of FDS and if so would they perform functions FDS devices should be specified. devices for both fixed and mobile that otherwise would not be possible The Commission notes that the 60 radars. As indicated, when adopting the under the existing rules? How would GHz Co-existence Study Group’s rule for SRIMS, the Commission stated expanding the rule affect the spectrum activities have been geared toward that it intended it to be a narrow environment for all users of the band? developing ‘‘a consensus approach’’ to a application of mobile radar use, while What costs and benefits would be framework for a potential Commission continuing to prohibit general mobile associated with such an action? In rulemaking, with discussions radar use in § 15.255. As such, the particular, the Commission seeks concerning duty cycles; transmission Commission did not adopt a definition comment and technical analyses on on- and off-times; operating bandwidth for SRIMS. Over the last few years, there these issues to develop a comprehensive and channelization (e.g., radar has been much confusion on which 60 record. Section 15.255(c)(2) requires the implementations with 2-gigahertz, 4- GHz mobile and fixed radar applications average power of any emission outside gigahertz, 7-gigahertz-bandwidth); should qualify under the SRIMS of the 61.0–61.5 GHz band, measured contention-based protocols; transmit designation. The Commission also during the transmit interval, to be less power; and antenna gain.’’ Although requested input in response to the than or equal to 10 dBm, and similarly representatives from the 60CSG recently multiple 60 GHz waiver requests but the peak power of any emission to be informed us that the group has yet to was not able to make a bright-line less than or equal to 13 dBm. Because achieve consensus on a recommended determination for certain applications. The Commission seeks comment on the no measurement bandwidth is currently regulatory approach to accomplish specified in the rule, the Commission coexistence among the diverse proposal to remove the SRIMS exception from § 15.255 and replace it seeks comment on whether this operations in the 60 GHz band, they also requirement is sufficiently specific. described several potential with general rules covering all FDS devices. The Commission also seeks Should these limits be specified in ‘‘frameworks’’ for further unlicensed terms of power spectral density (PSD)? development in this frequency range. comment on the benefits or costs of this proposal with respect to 60 GHz If so, what are the required peak and These include establishing a single rule average power densities outside of the for radar operations in the 57–64 GHz authorized users. Parties that oppose removing the SRIMS designation from 61.0–61.5 GHz band? The reference portion of the 60 GHz band, establishing bandwidth that the Commission often a rule based on average power and/or the rules should cite specific harms that they believe would result from making uses for specification of the spurious average PSD limits that draws from the domain emission levels for frequency this change to the rules. ETSI EN 305 550 standard, taking a bands above 1 GHz is 1 megahertz. The channelization approach to radars in the The Commission next addresses Commission seeks comment on the 60 GHz band, and amending the rules to § 15.255(c)(2) of its rules, which permits appropriate reference bandwidth for reflect different categories of a fixed FDS device to operate at up to PSD for emission outside of the 61.0– technologies that operate in the 60 GHz 40 dBm average EIRP and at up to 43 61.5 GHz band. Are any other additional band, such as allowing for different dBm peak EIRP in the 61.0–61.5 GHz requirements necessary? operating parameters when operating in band segment. Under this rule, a fixed To the extent that the Commission a vehicle, indoors, or outdoors, or FDS device’s occupied bandwidth must retains provisions in § 15.255 that between implementations that are fixed, be fully contained within the 500- specifically permit fixed FDS mobile, or portable. The Commission megahertz bandwidth of the 61.0–61.5 operations, the Commission seeks seeks comment on the 60 GHz CSG GHz band; and it must attenuate its comment on how the Commission filing. What are the technical trade-offs signals outside the 61.0–61.5 GHz band, should interpret ‘‘fixed’’ and whether and cost/benefits for each framework? but still within the 57–71 GHz band, to the Commission should incorporate a What parts of these four frameworks can less than 10 dBm average EIRP and 13 specific definition for the term into the the Commission incorporate into the dBm peak EIRP. The Commission Commission’s Part 15 rules. When OET Commission’s final rules to optimize the believes that this rule is valuable insofar granted the automotive waivers, it noted benefits and minimize the costs to all that it permits the operation of fixed that the Commission did not specifically authorized 60 GHz users, and help us FDS devices at power levels as high as address whether the rule permits achieve the Commission’s objective of communication devices, albeit restricted something that is inherently mobile fostering a greater variety of unlicensed to a more narrow operating bandwidth, (such as an automobile) to be treated as uses in the 60 GHz band? The without being restricted to a specific fixed in certain circumstances, and left Commission also seeks input on the duty cycle limit. As such, the any determination of what constitutes work results of any other coexistence Commission proposes to retain ‘‘fixed’’ and ‘‘mobile’’ operation under standards activities (international and § 15.255(c)(2) but also seeks comment the rule for separate consideration. A domestic) and/or cooperative works on whether the Commission should review of the 1998 Report and Order between communications and FDS expand this provision to apply to both that first permitted fixed FDS use in the study groups that may have taken place, fixed and mobile FDS applications. The band would suggest that the and how such work may inform the Commission seeks comment on how Commission was anticipating a narrow Commission’s proposals to expand useful this 500-megahertz bandwidth set of applications that would be used unlicensed use of the band. provision has been in practice in in industrial settings where the

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equipment would rarely if ever be emission limits? With spectrum sensing applications and devices under the moved. However, in light of the wide capabilities, would a duty cycle Commission’s proposed rules. Many of range of potential FDS applications that restriction be necessary? The the use opportunities that have been now have been identified for the 60 GHz Commission seeks input and feedback identified to date—such as inside and band and the Commission’s general as well as recommendations on these outside vehicles, and in personal safety, inclination to provide as expansive an issues. Commenters should provide medical imaging, home automation, opportunity for unlicensed operations technical details and/or studies to show environmental control, and robotic in a particular band as is practical, the that it is practical for radars to operate appliances devices, for example—are Commission tentatively concludes that a at up to 40 dBm EIRP without causing not dependent on use on board an broader view is appropriate. The harmful interference to existing aircraft. Compliance options also exist Commission tentatively concludes that authorized services in the band. The for portable electronic devices that may the Commission should interpret fixed Commission notes that the 2021 TAC be brought aboard airplanes. These FDS operations as those instances where Recommendation only mentions the could include, for example, activation of an FDS device is stationary and is listen-before-talk technique. Are there ‘‘airplane mode’’ during flight or the use operating at a discrete location for an other spectrum contention avoidance of sensors to disable operations when indefinite—i.e., more than mere techniques that would serve the same the device is above a particular height transitory—period. The Commission purpose and how effective are they? above ground. The Commission seeks envisions this interpretation would What are the costs and benefits of such comment on this tentative allow for a device that is used in a techniques? Have there been any determination. household and easily moved from room completed or ongoing studies regarding Currently the Commission has only to room to operate in different parts of coexistence between radars and authorized 60 GHz radars to operate on the residence, but that an automotive- authorized 60 GHz users and, if so, what board aircraft beyond the uses permitted mounted radar that operates when the are the results and recommendations? in the rules via two limited situations. car is stopped while the ignition is Should the same spectrum sensing Both were in conjunction with waiver engaged would be too transitory to technique be required for all devices grants that carefully evaluated how qualify. The Commission seeks operating in the 57–71 GHz band with specific devices would be deployed in comment on this proposal. Does it the average power limit of 40 dBm well-defined use cases. Leica provide a sufficient bright-line rule for EIRP? Have industry standards groups Geosystems AG may operate a 60–64 device operation? Will it provide other such as the 802.11 Standards Committee GHz radar on an unmanned aircraft, but unlicensed and authorized users in the considered the use of spectrum sensing with very restrictive conditions on the 60 GHz band with sufficient confidence techniques for 60 GHz unlicensed number of deployed devices. The that they will be able to identify and devices? Will there be a need to regulate Google Soli radar incorporated into a resolve any degradation of the energy detection and observation time smartphone (e.g., the Google Pixel) operational environment caused by for LBT sensing? If so, what are the allows control of a smartphone via these fixed users? Are there other appropriate limits? Will usage of LBT gestures without touching the phone, interpretations that are more provide higher aggregate capacity? If so, and is not intended to be part of the appropriate for defining fixed FDS does it justify the higher complexity aircraft communication network. Although the Commission proposes to operations? necessary to support LBT? The Commission solicits input on these retain the existing rule, the Commission The Commission’s third area of issues to develop a comprehensive nevertheless seeks comment on whether discussion relates to whether the record on these matters. the Commission should allow for Commission could permit FDS devices The Commission does not propose to expanded use of 60 GHz radars on board to operate at a higher power throughout alter the existing restrictions relating to aircraft and, if so, with what the entire 57–71 GHz band. In its the use of 60 GHz band unlicensed requirements and restrictions. Given recommendation, the TAC suggests that devices on board aircraft which are that the Commission’s fundamental the Commission explores the possibility contained in § 15.255(b) of its rules, but consideration has been and remains of allowing radars that incorporate a the Commission nevertheless seeks how to ensure that passive EESS sensing technology such as listen- comment as to whether the Commission operations in the 57–59.3 GHz band before-talk (LBT) to operate at the same should expand the situations where continue to be protected from harmful emission limits as WLAN devices in the such use is permissible. Currently, such interference that could be caused by band, i.e., 40 dBm EIRP and 27 dBm operation is limited to when the aircraft airborne use of unlicensed 60 GHz transmitter conducted output power. is on the ground, and, for airborne use, devices, could airborne radar use be The Commission seeks input regarding only in closed exclusive communication permitted above 59.3 GHz? The the effect such higher power levels networks within the aircraft. To account Commission is not aware of any reports would have on authorized users who are for the important interest in protecting of harmful interference being caused by entitled to interference protection, as passive EESS users that operate in the Google Soli devices during airborne use. well as how those power levels would 57–59.3 GHz band, the rule limits this Could the Commission permit 60 GHz affect the ability of unlicensed radar use to aircraft with a high RF radars to operate on board aircraft for systems to coexist with unlicensed attenuation body (e.g., commercial limited uses such as when incorporated communications systems. Are these airliners), and cannot be used in into smartphones or similar portable EIRP and transmitter conducted output wireless avionics intra-communication electronic devices that may be carried power levels appropriate for radar applications where external structural by air travelers? Would the Commission applications, given the implied high sensors or external cameras are mounted need to limit such use to the power antenna gain/directivity? What antenna on the outside of the aircraft structure. levels associated with the Google Soli gain do radars need in various The Commission does not believe that waiver, which operates at lower power applications? Are mobile radar retaining the existing provisions levels than those the Commission is applications limited by power regarding in-aircraft use of unlicensed proposing for 60 GHz radars? Are there consumption such that they would not devices would hinder the initial other narrow use cases that the be able to leverage these higher successful deployment of new Commission should allow? For

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example, could the Commission’s rules dB bandwidth, or other representation? The Commission seeks comment on be modified to allow an aircraft’s Similarly, should peak power these proposals. entertainment system’s in-seat display measurements be avoided to eliminate Initial Regulatory Flexibility Act. The monitors to incorporate radars that potential for inaccurate amplitude Regulatory Flexibility Act of 1980, as could be controlled remotely by air results due to measurement amended (RFA), requires that a travelers’ gestures? Commenters instrumentation desensitization? regulatory flexibility analysis be addressing expanded airborne use Measured power levels for radio prepared for notice and comment should provide detailed technical frequency (RF) pulses that are frequency rulemaking proceedings, unless the analyses, research, studies, etc. modulated (chirped) vary as a function agency certifies that ‘‘the rule will not, supporting potential recommendations of the bandwidth in which the if promulgated, have a significant to address whether harmful interference measurement is performed; if chirped economic impact on a substantial to authorized users in the band would pulses cause RF interference, the power number of small entities.’’ Accordingly, result or if such systems can coexist and levels of the pulses in victim receivers the Commission has prepared an Initial under what conditions. Would any will likewise vary as a function of Regulatory Flexibility Analysis (IRFA) adverse effects be anticipated from 60 receiver bandwidth. NTIA Technical concerning potential rule and policy GHz radars operating on aircraft? Would Report TR–12–488 provides both changes contained in this Notice of the risk of harmful interference heuristic and rigorous derivations of the Proposed Rulemaking. occurring to passive EESS be minimal relationships among chirped pulse Initial Paperwork Reduction Act from radars in aircraft with high RF parameters and the measured peak and Analysis. This Notice of Proposed attenuation characteristics? What are the average power levels of chirped pulses Rulemaking does not contain potential cost and benefits of such use? as a function of measurement new or revised information collection In addition, the Commission seeks bandwidth. These relationships may be requirements subject to the Paperwork comment on the ramifications of best understood via a single graph Reduction Act of 1995, Public Law 104– permitting unlicensed 60 GHz radar (Figure 3) presented in this report. This 13. In addition, therefore, it does not operation on board aircraft with little or report supplements NTIA Technical contain any proposed information no RF attenuation characteristics, such Reports TR–05–420, TR–10–465 and collection burden for small business as unmanned aerial systems (UAS)/ TR–10–466, in which the formula for concerns with fewer than 25 employees, drones and light and personal aircraft. minimum bandwidth needed for pursuant to the Small Business The Commission has given a limited measurement of full peak power in Paperwork Relief Act of 2002, Public waiver to Leica Geosystems AG to chirped pulses is presented but not Law 107–198, see 44 U.S.C. 3506(c)(4). Ex Parte Rules—Permit-But-Disclose. operate a radar in the 60–64 GHz band derived. The Commission seeks This proceeding shall be treated as a on board a UAS to provide visual comment on NTIA’s technical report ‘‘permit-but-disclose’’ proceeding in inspection of structures in engineering and its applicability to measurements of accordance with the Commission’s ex and scientific applications to prevent chirped signals. the UAS from colliding with the parte rules. Ex parte presentations are structure or other fixed objects that it is The Commission proposes to exempt permissible if disclosed in accordance surveying. The Commission has also FMCW and other similar swept- with Commission rules, except during received informal inquiries indicating frequency radars from the § 15.31(c) the Sunshine Agenda period when an interest in deploying unlicensed 60 requirement to stop the frequency presentations, ex parte or otherwise, are GHz radar for applications involving, as sweep when measuring the relevant generally prohibited. Persons making ex an example, use on board crop-spraying technical parameters. Stopping the parte presentations must file a copy of aircraft. Commenters who support sweep is physically impractical for most any written presentation or a expanding the types of aircraft upon of these types of devices and can result memorandum summarizing any oral which unlicensed 60 GHz devices could in inaccurate measurements. In presentation within two business days be deployed should address how such addition, the Commission proposes to after the presentation (unless a different use would not undermine the objective remove the § 15.255(c)(4) requirement to deadline applicable to the Sunshine of preventing harmful interference to use an RF detector with a detection period applies). Persons making oral ex EESS operations in the 57–59.3 GHz bandwidth that encompasses the 57–71 parte presentations are reminded that portion of the band. GHz frequency range for performing memoranda summarizing the Compliance testing of modulated CW peak power measurements. The presentation must (1) list all persons (e.g., FMCW) and pulse/impulse-based Commission believes that this attending or otherwise participating in radar devices can be complex and requirement is superseded by the more the meeting at which the ex parte typically requires careful consideration recent inclusion of § 15.255(i), which presentation was made, and (2) to ensure the proper characterization of sets out a flexible approach toward summarize all data presented and technical parameters such as transmit measurement that can be adapted more arguments made during the bandwidth, output power and unwanted effectively as the technology of devices presentation. Memoranda must contain emissions levels in the out-of-band and and test instrumentation evolve. Finally, a summary of the substance of the ex spurious domains. As such, the the Commission proposes to specify that parte presentation and not merely a Commission seeks comment on the provision of § 15.35(c) that requires listing of the subjects discussed. More methodologies for performing such tests calculating average field strength over a than a one or two sentence description to obtain the data necessary to complete pulse train or 100 of the views and arguments presented is demonstrate compliance with the milliseconds is not applicable to pulsed generally required. If the presentation specified technical requirements for the or burst radars that operate in the 60 consisted in whole or in part of the types of radars anticipated to operate GHz band. This measurement presentation of data or arguments under § 15.255 rules. For example, requirement was originally designed for already reflected in the presenter’s should transmission bandwidth be low frequency pulse-code modulated written comments, memoranda or other represented only by the chirp or pulse devices such as garage door openers and filings in the proceeding, the presenter specifications or should it be expressed the Commission believes it is not may provide citations to such data or as a measured occupied bandwidth, 20- appropriate for high frequency radars. arguments in his or her prior comments,

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memoranda, or other filings (specifying to a recommendation from the established by the Small Business the relevant page and/or paragraph Technical Advisory Committee (TAC) Administration (SBA).7 numbers where such data or arguments that the Commission modify the rules Radio and Television Broadcasting can be found) in lieu of summarizing for unlicensed 60 GHz devices in a and Wireless Communications them in the memorandum. Documents number of respects. The TAC Equipment Manufacturing. The shown or given to Commission staff recommends that the FCC initiates a proposed rules pertain to manufacturers during ex parte meetings are deemed to rulemaking proceeding addressing of unlicensed communications devices. be written ex parte presentations and potential areas of concern in the 60 GHz The appropriate small business size must be filed consistent with § 1.1206(b) band by requesting comment and standard is that which the SBA has of the rules. In proceedings governed by response to the following questions: (1) established for radio and television § 1.49(f) of the rules or for which the Should FCC rules allow greater radiated broadcasting and wireless Commission has made available a power for radar applications than communications equipment method of electronic filing, written ex currently permitted?; (2) Should the manufacturing. This industry comprises parte presentations and memoranda parameters for Google Soli, for which establishments primarily engaged in summarizing oral ex parte other entities have filed ‘‘me-too’’ manufacturing radio and television presentations, and all attachments requests, be included in the rules?; (3) broadcast and wireless communications thereto, must be filed through the What changes to the recent waiver equipment.8 Examples of products made electronic comment filing system parameters are needed to improve by these establishments are: available for that proceeding, and must sharing with communications Transmitting and receiving antennas, be filed in their native format (e.g., .doc, applications?; (4) Should the FCC cable television equipment, GPS .xml, .ppt, searchable .pdf). Participants require 60 GHz communication equipment, pagers, cellular phones, in this proceeding should familiarize applications (and radar applications) to mobile communications equipment, and themselves with the Commission’s ex use a contention-based protocol?; and radio and television studio and 9 parte rules. (5) Should radar applications that broadcasting equipment. The SBA has Additional Information. For perform listen-before-talk be allowed to established a small business size additional information on this use the same power levels as standard for this industry of 1,250 10 proceeding, contact Anh T. Wride, communications applications in this employees or less. U.S. Census Bureau [email protected], (202) 418–0577, band? data for 2012 show that 841 Office of Engineering and Technology, establishments operated in this industry Technical Rules Branch; or Thomas B. Legal Basis in that year.11 Of that number, 828 Struble at (202) 418–2470 or establishments operated with fewer than The proposed action is taken pursuant [email protected], Office of 1,000 employees, 7 establishments to sections 4(i), 201, 302, and 303 of the Engineering and Technology, Office of operated with between 1,000 and 2,499 Communications Act of 1934, as the Chief Engineer. employees and 6 establishments Initial Regulatory Flexibility Analysis. amended, 47 U.S.C. 154(i), 201, 302a, operated with 2,500 or more As required by the Regulatory 303. employees.12 Based on this data, we Flexibility Act of 1980, as amended C. Description and Estimate of the conclude that a majority of (RFA),1 the Commission has prepared Number of Small Entities to Which the manufacturers in this industry are this present Initial Regulatory Proposed Rules Will Apply small. Flexibility Analysis (IRFA) of the possible significant economic impact on The RFA directs agencies to provide D. Description of Projected Reporting, a substantial number of small entities by a description of, and where feasible, an Recordkeeping, and Other Compliance the policies and rules proposed in this estimate of the number of small entities Requirements for Small Entities Notice of Proposed Rule Making that may be affected by the proposed Unlicensed 60 GHz devices operating (NPRM). Written public comments are rules, if adopted.4 The RFA generally in the 57–71 GHz frequency band are requested on this IRFA. Comments must defines the term ‘‘small entity’’ as regulated under section 15.255 of the be identified as responses to the IRFA having the same meaning as the terms Commission’s rules. The proposed rules and must be filed by the deadlines for ‘‘small business,’’ ‘‘small organization,’’ in this NPRM pertain to field comments on the NPRM provided in the and ‘‘small governmental jurisdiction.’’ 5 disturbance sensors (i.e., radar devices) item. The Commission will send a copy In addition, the term ‘‘small business’’ that may be fixed or mobile. The of the NPRM, including this IRFA, to the has the same meaning as the term proposed rules increase the allowable Chief Counsel for Advocacy of the Small ‘‘small business concern’’ under the transmitted power levels to promote Business Administration (SBA).2 In Small Business Act.6 A ‘‘small business addition, the NPRM and IRFA (or concern’’ is one which: (1) Is 7 15 U.S.C. 632. summaries thereof) will be published in independently owned and operated; (2) 8 See U.S. Census Bureau, 2017 NAICS Definition, the Federal Register.3 is not dominant in its field of operation; ‘‘334220 Radio and Television Broadcasting and Wireless Communications Equipment and (3) satisfies any additional criteria A. Need for, and Objectives of, the Manufacturing,’’ https://www.census.gov/naics/ Proposed Rules ?input=334220&year=2017&details=334220. 4 5 U.S.C. 603(b)(3). 9 Id. The NPRM addresses issues raised in 5 5 U.S.C. 601(6). 10 See 13 CFR 121.201, NAICS Code 334220. multiple waiver requests by various 6 5 U.S.C. 601(3) (incorporating by reference the 11 See U.S. Census Bureau, 2012 Economic field disturbance sensor (FDS)/radar definition of ‘‘small-business concern’’ in the Small Census of the United States, Table ID: EC1231SG2, manufacturers and is partly in response Business Act, 15 U.S.C. 632). Pursuant to 5 U.S.C. Manufacturing: Summary Series: General 601(3), the statutory definition of a small business Summary: Industry Statistics for Subsectors and applies ‘‘unless an agency, after consultation with Industries by Employment Size: 2012, NAICS Code 1 5 U.S.C. 603. The RFA, 5 U.S.C. 601–612, has the Office of Advocacy of the Small Business 334220, https://data.census.gov/cedsci/table?text= been amended by the Small Business Regulatory Administration and after opportunity for public EC1231SG2&n=334220&tid=ECNSIZE2012. Enforcement Fairness Act of 1996 (SBREFA), Public comment, establishes one or more definitions of EC1231SG2&hidePreview=false. Law 104–121, Title II, 110 Stat. 857 (1996). such term which are appropriate to the activities of 12 Id. The available U.S. Census Bureau data does 2 5 U.S.C. 603(a). the agency and publishes such definition(s) in the not provide a more precise estimate of the number 3 Id. Federal Register.’’. of firms that meet the SBA size standard.

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short-range radar applications without the section 15.31(c) requirement to stop Ordering Clauses. It is ordered, application restriction on operating the frequency sweep when measuring pursuant to the authority found in environments, i.e., they may operate the relevant technical parameters; 14 (2) sections 4(i), 201, 302, and 303 of the indoors or outdoors, in fixed or mobile remove the section 15.255(c)(4) Communications Act of 1934, as applications, and be incorporated into requirement to use an RF detector with amended, 47 U.S.C. 154(i), 201, 302a, any device, e.g., personal safety, a detection bandwidth that encompasses 303, and §§ 1.407 and 1.411 of the industrial and consumer robotics, the 57–71 GHz frequency range for Commission’s rules, 47 CFR 1.407 and home/transportation automation (e.g., performing peak power 1.411, that this Notice of Proposed autonomous vehicles), environmental measurements; 15 and (3) not apply the Rulemaking is adopted, as set forth control, health care monitoring. provision of section 15.35(c) that above. Specifically, the NPRM: (1) Proposes to requires calculating average field It is further ordered that the permit field disturbance sensors in the strength over a complete pulse train or Commission’s Consumer and 57–64 GHz band to operate with up to 100 milliseconds to pulsed or burst Governmental Affairs Bureau, Reference 20 dBm average EIRP, 10 dBm radars that operate in the 60 GHz Information Center, shall send a copy of transmitter conducted output power, 13 band.16 this Notice of Proposed Rulemaking, dBm/MHz average EIRP power spectral including the Initial Regulatory E. Steps Taken To Minimize the density and a 10% duty cycle in every Flexibility Analysis, to the Chief Significant Economic Impact on Small 33 millisecond (ms) interval; (2) Counsel for Advocacy of the Small Entities, and Significant Alternatives investigates the potential for mobile Business Administration. Considered FDS devices to operate in the 61.0–61.5 List of Subjects in 47 CFR Part 15 GHz band at the same 40 dBm EIRP at The RFA requires an agency to which fixed FDS devices currently are describe any significant, specifically Communications equipment. permitted to operate; (3) ask whether the small business, alternatives that it has Federal Communications Commission. considered in reaching its proposed Commission could permit radar devices Marlene Dortch, approach, which may include the that incorporate listen-before-talk, Secretary. spectrum sensing, or other methods of following four alternatives (among co-existence, to operate across the entire others): ‘‘(1) the establishment of Proposed Rules differing compliance or reporting 57–71 GHz band at the same power For the reasons discussed in the requirements or timetables that take into level (i.e., 40 dBm EIRP) as currently is preamble, the Federal Communications account the resources available to small permitted for 60 GHz communication Commission proposes to amend 47 CFR entities; (2) the clarification, devices; and (4) ask whether any of the part 15 as follows: provisions proposed for FDS operation consolidation, or simplification of should be more broadly applied to all compliance and reporting requirements PART 15—RADIO FREQUENCY Part 15 devices operating in the 57–71 under the rule for such small entities; DEVICES GHz band. (3) the use of performance rather than Most RF transmitting equipment, design standards; and (4) an exemption ■ 1. The authority citation for part 15 including 60 GHz devices, must be from coverage of the rule, or any part continues to read as follows: 17 authorized through the certification thereof, for such small entities.’’ Authority: 47 U.S.C. 154, 302a, 303, 304, procedure. Certification is an equipment The rule changes proposed in the 307, 336, 544a, and 549. authorization issued by a designated NPRM for higher power to field ■ 2. Section 15.31 is amended by Telecommunication Certification Body disturbance sensors and radars would revising paragraph (c) to read as follows: (TCB) based on an application and test provide greater flexibility to 60 GHz data submitted by the responsible party device operations. As these proposed § 15.31 Measurement standards. 13 changes provide greater flexibility, the (e.g., the manufacturer or importer). * * * * * Existing FDS devices operating under Commission does not believe they will have a significant negative impact on (c) Except as otherwise indicated in section 15.255 of the Commission’s §§ 15.255 and 15.256, for swept rules are already subject to the small entities. In fact, the proposed rules could benefit small entities. As frequency equipment, measurements Certification procedure. The NPRM does shall be made with the frequency sweep not propose to change the authorization operation of 60 GHz devices do not require a license, small entities are able stopped at those frequencies chosen for procedure for 60 GHz devices, but it the measurements to be reported. does seek comment on methodologies to operate 60 GHz devices without the * * * * * for performing tests to obtain the data cost or inconvenience of obtaining a ■ 3. Section 15.35 is amended by necessary to demonstrate compliance license. In addition, the proposed rules revising paragraph (c) to read as follows: with the technical requirements for the partly align the technical parameters for types of radars anticipated to operate FDS/radar devices with international § 15.35 Measurement detector functions under the modified rules. In addition, standards, which could save cost to and bandwidths. small entities who would now be able the NPRM proposes to exempt * * * * * to avoid having to create region-specific frequency-modulated continuous wave (c) Unless otherwise specified, e.g., product designs. and other swept frequency radars from §§ 15.255(c), and 15.256(l)(5), when the F. Federal Rules That May Duplicate, radiated emission limits are expressed 13 47 CFR 2.907. The Commission or a TCB may Overlap, or Conflict With the Proposed in terms of the average value of the test a sample of a device to verify that it complies with the rules before granting approval for the Rules emission, and pulsed operation is equipment to be marketed. Examples of devices None. employed, the measurement field subject to certification include, but are not limited strength shall be determined by to, mobile phones; wireless local area networking 14 averaging over one complete pulse train, equipment, remote control transmitters; land 47 CFR 15.31(c). mobile radio transmitters; wireless medical 15 47 CFR 15.255(c)(4). including blanking intervals, as long as telemetry transmitters; cordless telephones; and 16 47 CFR 15.35(c). the pulse train does not exceed 0.1 walkie-talkies. 17 5 U.S.C. 603(c)(1)–(c)(4). seconds. As an alternative (provided the

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transmitter operates for longer than 0.1 (1) Products other than field the gain of the antenna, it may be seconds) or in cases where the pulse disturbance sensors shall comply with necessary to operate the intentional train exceeds 0.1 seconds, the measured one of the following power limits, as radiator using a lower peak transmitter field strength shall be determined from measured during the transmit interval: output power in order to comply with the average absolute voltage during a 0.1 * * * * * the EIRP limits specified in paragraph second interval during which the field (3) Field disturbance sensors other (c) of this section. strength is at its maximum value. The than those operating under the * * * * * exact method of calculating the average provisions of paragraph (c)(2) of this (2) Field disturbance sensors field strength shall be submitted with section shall comply with the following, operating under the provisions of any application for certification or shall as measured during the transmit paragraph (c)(3) of this section shall be retained in the measurement data file interval: comply with the following: for equipment subject to Supplier’s (i) For field disturbance sensors that (i) For field disturbance sensors that Declaration of Conformity. limit their operation to the 57–64 GHz limit their operation to the 57–64 GHz ■ 4. Section 15.255 is amended by frequency band, the average power shall frequency band, the peak transmitter revising the introductory text of not exceed 20 dBm and the average conducted output power shall not paragraphs (a), (c), and (c)(1), revising power spectral density shall not exceed exceed 10 mW. paragraph (c)(3), removing paragraph 13 dBm/MHz. The transmit duty cycle (ii) For field disturbance sensors (c)(4), paragraphs (e) introductory text shall not exceed 10% during any 33 ms operating over the entire 57–71 GHz and (e)(2) and adding paragraph (e)(4) to interval (i.e., the device shall not frequency band, the peak transmitter read as follows: transmit longer than a total of 3.3 ms). conducted output power shall not § 15.255 Operation within the band 57–71 (ii) For field disturbance sensors exceed 0.1 mW. GHz. operating over the entire 57–71 GHz * * * * * (a) Operation under the provisions of frequency band, the average power shall (4) Compliance measurements of this section is not permitted for not exceed 10 dBm. frequency-agile field disturbance equipment used on satellites. * * * * * sensors shall be performed with any * * * * * (e) Limits on transmitter conducted related frequency sweep, step, or hop (c) Radiated Power Limits. Within the output power. Except as specified function activated. 57–71 GHz band, emission levels shall paragraph (e)(1) of this section, the peak * * * * * not exceed the following equivalent transmitter conducted output power [FR Doc. 2021–16637 Filed 8–18–21; 8:45 am] isotropically radiated power (EIRP): shall not exceed 500 mW. Depending on BILLING CODE 6712–01–P

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Notices Federal Register Vol. 86, No. 158

Thursday, August 19, 2021

This section of the FEDERAL REGISTER Background (and beyond in some cases). Thank you contains documents other than rules or On October 22, 2019, the National for your support, and your help in this proposed rules that are applicable to the vital effort.’’ public. Notices of hearings and investigations, Watermelon Association (NWA), a trade committee meetings, agency decisions and association representing growers, Therefore, AMS is making the rulings, delegations of authority, filing of retailers, and shippers from 30 U.S. following changes: states, Canada, and Central America, petitions and applications and agency • § 51.1973 Tolerances: For defects at statements of organization and functions are petitioned the USDA to revise the shipping point, en route, or at examples of documents appearing in this watermelon standards and update the section. official USDA visual aids library. AMS destination for the U.S. No. 1 and U.S. worked closely with the NWA No. 2 grades, AMS will remove the 3% throughout the development of the tolerance for Anthracnose at shipping DEPARTMENT OF AGRICULTURE proposed revisions, soliciting their point and remove the 5% tolerance for comments and suggestions about the Anthracnose en route or at destination. Agricultural Marketing Service standards through discussion drafts and The tolerance for decay will be revised [Doc. No. AMS–SC–20–0096, SC–20–327] presentations. Through this to establish a total tolerance of 1% for collaboration, AMS also developed and shipping point and 2% for en route or Revision of U.S. Standards for Grades issued four new watermelon visual aids. at destination for Anthracnose and of Watermelons On November 20, 2020, the NWA decay. approved the proposed revisions, and AGENCY: Agricultural Marketing Service, • § 51.1976 Size: AMS will align on March 11, 2021, a Proposed Notice USDA. weights with current marketing trends was published in the Federal Register ACTION: Notice. by adjusting the average weights to 10 (86 FR 13874). The public comment to 34 pounds. SUMMARY: period closed May 10, 2021, with 45 The Agricultural Marketing • § 51.1985 Permanent defects and Service (AMS) of the Department of comments from the industry, 44 of § 51.1986 Condition defects: AMS will Agriculture (USDA) is revising the U.S. which fully supported the proposed remove sunburn as a condition defect Standards for Grades of Watermelons. revisions. and add sunburn as a permanent defect. Changes will provide a common One commenter supported the language for trade of watermelons. revisions except for the proposed • § 51.1978 and § 51.1982: In scoring guide for rind worm injury DATES: Applicable September 20, 2021. § 51.1978, AMS will correct the typo in occurring on the ground spot. The the definition for fairly well formed to FOR FURTHER INFORMATION CONTACT: commenter felt consumers will not read ‘‘the perfect type for the variety’’ David G. Horner, USDA, Specialty overlook this defect because they Crops Inspection Division, 100 instead of ‘‘the perfect type of the understand that this is the ground spot, variety.’’ In § 51.1982, AMS will add the Riverside Parkway, Suite 101, but was open to compromise. The NWA Fredericksburg, VA 22406; phone (540) missing heading identifying the originally proposed to forgo scoring rind definition: ‘‘Seedless watermelons.’’ 361–1128; fax (540) 361–1199; or email worm injury when affecting the ground • [email protected]. spot. The color of the ground spot § 51.1987 Classification of defects: SUPPLEMENTARY INFORMATION: Section changes throughout the growing stages, AMS will base the scoring guides for 203(c) of the Agricultural Marketing Act from pale white to creamy yellow at sunburn, hail, rind worm injury, scars of 1946 (7 U.S.C. 1621–1627), as maturity. Rind worm injury is tan in (and other similar defects), and transit amended, directs, and authorizes the color and more readily blends with the rubs on a 15-pound melon and will base Secretary of Agriculture ‘‘to develop and color of the ground spot. AMS the scoring guide for hollow heart on improve standards of quality, condition, determined that rind worm injury on any size melon. Lastly, AMS will limit quantity, grade, and packaging, and the ground spot is less detracting, but the scoring of rind worm injury on the recommend and demonstrate such not to the extent that the grade standard ground spot by scoring it under the standards in order to encourage would allow an unlimited amount. AMS definition of damage when seriously uniformity and consistency in believes scoring rind worm injury on detracting from the appearance of the commercial practices.’’ the ground spot that seriously detracts melon; rind worm injury occurring on AMS is committed to carrying out this from the appearance of the melon as the ground spot is not scorable as authority in a manner that facilitates the damage, but not as serious damage, is a serious damage. marketing of agricultural commodities reasonable compromise. Rind worm • AMS will remove all metric and makes copies of official standards injury occurring on portions of the measurements from the standards. The available upon request. The U.S. melon other than the ground spot will revisions align the standards with Standards for Grades of Fruits and continue to be scored as damage and Vegetables that no longer appear in the serious damage. current marketing trends. Code of Federal Regulations are To show their support of the (Authority: 7 U.S.C. 1621–1627.) maintained by AMS at: http:// revisions, commenters generally ended www.ams.usda.gov/grades-standards. their submissions with the following or Erin Morris, AMS is revising the U.S. Standards for a similar statement: ‘‘The USDA has the Associate Administrator, Agricultural Grades using the procedures that appear full support of the NWA and its Marketing Service. in part 36 of Title 7 of the Code of membership (that crosses the country [FR Doc. 2021–17814 Filed 8–18–21; 8:45 am] Federal Regulations (7 CFR part 36). from coast to coast and border to border BILLING CODE P

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COMMISSION ON CIVIL RIGHTS Regional Programs Unit at the above Branch Chief, Office of Program, email or street address. Performance and Stakeholder Notice of Public Meetings of the Integration (PPSI), shana.j.banks@ Agenda Kansas Advisory Committee census.gov, Department of Commerce, I. Welcome & Roll Call Census Bureau, telephone 301–763– AGENCY: U.S. Commission on Civil II. Chair’s Comments Rights. 3815. For TTY callers, please use the III. Committee Discussion Federal Relay Service at 1–800–877– ACTION: Announcement of meeting. IV. Next Steps 8339. V. Public Comment SUMMARY: Notice is hereby given, SUPPLEMENTARY INFORMATION: The VI. Adjournment pursuant to the provisions of the rules Committee provides scientific and and regulations of the U.S. Commission Dated: August 16, 2021. technical expertise to address Census on Civil Rights (Commission) and the David Mussatt, Bureau program needs and objectives. Federal Advisory Committee Act that Supervisory Chief, Regional Programs Unit. The members of the CSAC are the Kansas Advisory Committee [FR Doc. 2021–17813 Filed 8–18–21; 8:45 am] appointed by the Director of the Census (Committee) will hold a meeting via the BILLING CODE P Bureau. The Committee has been web platform Webex on, Tuesday, established in accordance with the August 31, 2021 at 12:00 p.m. Central Federal Advisory Committee Act (Title Time. The purpose of the meeting is DEPARTMENT OF COMMERCE 5, United States Code, Appendix 2, review the proposal on Voting as a topic Section 10). of study. Census Bureau All meetings are open to the public. DATES: The meetings will be held on: A brief period will be set aside during https://civilrights.webex.com/civilrights/ Census Scientific Advisory Committee the virtual meeting for public comments j.php?MTID=mab0460db9f95a59a on September 24, 2021. However, AGENCY: 28823a2dac771c88. Census Bureau, Department of individuals with extensive questions or • Tuesday, August 31, 2021, at 12:00 Commerce. statements must submit them in writing p.m. Central Time, 800–360–9505 USA ACTION: Notice of public virtual meeting. to [email protected], (subject Toll Free, Access code: 199 534 9277. line ‘‘2021 CSAC Fall Virtual Meeting SUMMARY: The Census Bureau is giving FOR FURTHER INFORMATION CONTACT: Public Comment’’). notice of a virtual meeting of the Census David Barreras, Designated Federal Ron S. Jarmin, Acting Director, Scientific Advisory Committee (CSAC). Census Bureau, approved the Officer, at [email protected] or (202) The Committee will address policy, 499–4066. publication of this Notice in the Federal research, and technical issues relating to Register. SUPPLEMENTARY INFORMATION: Members a full range of Census Bureau programs Dated: August 16, 2021. of the public may listen to this and activities, including decennial, discussion through the above call-in economic, field operations, information Sheleen Dumas, number. An open comment period will technology, and statistics. Last minute Department PRA Clearance Officer, Office of be provided to allow members of the changes to the schedule are possible, the Chief Information Officer, Commerce Department. public to make a statement as time which could prevent giving advance allows. Callers can expect to incur public notice of schedule adjustments. [FR Doc. 2021–17822 Filed 8–18–21; 8:45 am] regular charges for calls they initiate Please visit the Census Advisory BILLING CODE 3510–07–P over wireless lines, according to their Committees website at http:// wireless plan. The Commission will not www.census.gov/cac for the CSAC DEPARTMENT OF COMMERCE refund any incurred charges. meeting information, including the Individuals who are deaf, deafblind and agenda, and how to join the meeting. Bureau of Economic Analysis hard of hearing may also follow the DATES: The virtual meeting will be held proceedings by first calling the Federal on: Agency Information Collection Relay Service at 1–800–877–8339 and • Thursday, September 23, 2021, Activities; Submission to the Office of providing the Service with the from 11:00 a.m. to 5:00 p.m. EDT, and Management and Budget (OMB) for conference call number and conference • Friday, September 24, 2021, from Review and Approval; Comment ID number. 11:00 a.m. to 5:00 p.m. EDT. Request; Services Surveys: BE–125, Members of the public are entitled to Quarterly Survey of Transactions in submit written comments; the ADDRESSES: The meeting will be held via the WebEx platform at the following Selected Services and Intellectual comments must be received in the Property With Foreign Persons regional office within 30 days following presentation links: • the meeting. Written comments may be September 23, 2021—https:// The Department of Commerce will emailed to David Barreras at dbarreras@ uscensus.webex.com/uscensus/onstage/ submit the following information usccr.gov. g.php?MTID=e2d53a9ab6639cd6 collection request to the Office of Records generated from this meeting ca8d5a50514338576 Management and Budget (OMB) for may be inspected and reproduced at the • September 24, 2021—https:// review and clearance, in accordance Regional Programs Unit Office, as they uscensus.webex.com/uscensus/onstage/ with the Paperwork Reduction Act of become available, both before and after g.php?MTID=e2694c3e057e623 1995 (PRA), on or after the date of the meeting. Records of the meeting will f254046b6018124d06. publication of this notice. We invite the be available via www.facadatabase.gov For audio, please call the following general public and other Federal under the Commission on Civil Rights, number: 1–888–970–4170 or 1–210– agencies to comment on proposed and Kansas Advisory Committee link. 234–0001. When prompted, please use continuing information collections, Persons interested in the work of this the following Password: Census#1, and which helps us assess the impact of our Committee are directed to the Passcode: 7645589. information collection requirements and Commission’s website, http:// FOR FURTHER INFORMATION CONTACT: minimize the public’s reporting burden. www.usccr.gov, or may contact the Shana Banks, Advisory Committee Public comments were previously

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requested via the Federal Register on entering either the title of the collection Republic of China (China) would likely May 5, 2021, during a 60-day comment or the OMB Control Number 0608–0067. lead to continuation or recurrence of period. This notice allows for an countervailable subsidies at the levels Sheleen Dumas, additional 30 days for public comments. indicated in the ‘‘Final Results of the Agency: Bureau of Economic Department PRA Clearance Officer, Office of Sunset Review’’ section of this notice. Analysis. the Chief Information Officer, Commerce Department. DATES: Applicable August 19, 2021. Title: Quarterly Survey of FOR FURTHER INFORMATION CONTACT: Transactions in Selected Services and [FR Doc. 2021–17800 Filed 8–18–21; 8:45 am] Zachary Le Vene, AD/CVD Operations, Intellectual Property with Foreign BILLING CODE 3510–06–P Office VII, Enforcement and Persons. Compliance, International Trade OMB Control Number: 0608–0067. Form Number(s): BE–125. DEPARTMENT OF COMMERCE Administration, U.S. Department of Type of Request: Regular submission, Commerce, 1401 Constitution Avenue Foreign-Trade Zones Board extension of a current information NW, Washington, DC 20230; telephone: collection. [B–30–2021] (202) 482–0056. Number of Respondents: 8,800 SUPPLEMENTARY INFORMATION: Foreign-Trade Zone (FTZ) 7— annually (2,200 filed each quarter; 1,700 Background reporting mandatory data, and 500 that Mayaguez, Puerto Rico, Notification of would file exemption claims or Proposed Production Activity, MSD On July 25, 2016, Commerce voluntary responses). International GMBH (Puerto Rico published in the Federal Register the Average Hours per Response: 21 Branch) LLC (Pharmaceuticals), Las CVD order on CORE from China.1 On hours is the average for those reporting Piedras, Puerto Rico June 1, 2021, Commerce published the notice of initiation of the first sunset data and one hour is the average for On April 16, 2021, MSD International those filing an exemption claim. Hours review of the Order, pursuant to section GMBH (Puerto Rico Branch) LLC 751(c) of the Tariff Act of 1930, as may vary considerably among submitted a notification of proposed respondents because of differences in amended (the Act).2 Commerce received production activity to the FTZ Board for notices of intent to participate from company size and complexity. its facility within Subzone 7G, in Las Burden Hours: 144,800 hours Cleveland-Cliffs Inc. (Cleveland-Cliffs) Piedras, Puerto Rico. on June 14, 2021, and from United annually. The notification was processed in Needs and Uses: The data are needed States Steel Corporation (U.S. Steel), accordance with the regulations of the to monitor U.S. trade in services, to California Steel Industries (CSI), Steel FTZ Board (15 CFR part 400), including analyze the impact of these cross-border Dynamics Inc. (SDI), and Nucor notice in the Federal Register inviting services on the U.S. and foreign Corporation (Nucor) on June 16, 2021 public comment (86 FR 22014–22015, economies, to compile and improve the (collectively, domestic interested April 26, 2021). On August 16, 2021, the U.S. economic accounts, to support U.S. parties), within the deadline specified applicant was notified of the FTZ commercial policy on trade in services, in 19 CFR 351.218(d)(l)(i).3 The Board’s decision that no further review to conduct trade promotion, and to domestic interested parties claimed of the activity is warranted at this time. improve the ability of U.S. businesses to interested party status under section The production activity described in the identify and evaluate market 771(9)(C) of the Act, as domestic notification was authorized, subject to opportunities. The data are used in producers of CORE in the United States. the FTZ Act and the FTZ Board’s estimating the trade in services On July 1, 2021, Commerce received regulations, including Section 400.14. component of the U.S. international a substantive response from the transactions accounts (ITAs) and Dated: August 16, 2021. domestic interested parties within the national income and product accounts Andrew McGilvray, 30-day deadline specified in 19 CFR (NIPAs). Executive Secretary. 351.218(d)(3)(i).4 We received no Affected Public: Business or other for- [FR Doc. 2021–17794 Filed 8–18–21; 8:45 am] 1 See Certain Corrosion-Resistant Steel Products profit organizations. BILLING CODE 3510–DS–P Frequency: Quarterly. from India, Italy, Republic of Korea and the People’s Republic of China: Countervailing Duty Respondent’s Obligation: Mandatory. Order, 81 FR 48387 (July 25, 2016) (Order). Legal Authority: International DEPARTMENT OF COMMERCE 2 See Initiation of Five-Year (Sunset) Reviews, 86 Investment and Trade in Services FR 29239 (June 1, 2021). Survey Act (Pub. L. 94–472, 22 U.S.C. International Trade Administration 3 See Domestic Interested Parties’ Letters, ‘‘Five- Year (‘Sunset’) Review of Countervailing Duty 3101–3108, as amended). [C–570–027] This information collection request Order on Corrosion-Resistant Steel Products from China: Notice of Intent to Participate in Sunset may be viewed at www.reginfo.gov. Certain Corrosion-Resistant Steel Review,’’ dated June 14, 2021; and ‘‘Five-Year Follow the instructions to view the Products From the People’s Republic (‘Sunset’) Review of Antidumping and Department of Commerce collections of China: Final Results of the Countervailing Duty Orders on Corrosion-Resistant currently under review by OMB. Steel Products from China: Notice of Intent to Expedited Five-Year Sunset Review of Participate’’; ‘‘Notice of Intent to participate in the Written comments and the Countervailing Duty Order First Five-Year Review of the Countervailing Duty recommendations for the proposed Order on Certain Corrosion-Resistant Steel Products information collection should be AGENCY: Enforcement and Compliance, from the People’s Republic of China’’; and ‘‘Certain submitted within 30 days of the International Trade Administration, Corrosion-Resistant Steel Products from the Department of Commerce. People’s Republic of China: Notice of Intent to publication of this notice on the Participate in Sunset Review,’’ each dated June 16, following website www.reginfo.gov/ SUMMARY: As a result of this sunset 2021. public/do/PRAMain. Find this review, the Department of Commerce 4 See Domestic Interested Parties’ Letter, particular information collection by (Commerce) finds that revoking the ‘‘Corrosion-Resistant Steel Products from the People’s Republic of China: Substantive Response selecting ‘‘Currently under 30-day countervailing duty (CVD) order on of the Domestic Interested Parties to Commerce’s Review—Open for Public Comments’’ or certain corrosion-resistant steel Notice of Initiation of Five-Year (‘Sunset’) by using the search function and products (CORE) from the People’s Reviews,’’ dated July 1, 2021.

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substantive response from any other 7210.30.0030, 7210.30.0060, of the Order, see the accompanying domestic or interested parties in this 7210.41.0000, 7210.49.0030, Issues and Decision Memorandum.6 proceeding and no hearing was 7210.49.0091, 7210.49.0095, Analysis of Comments Received requested. 7210.61.0000, 7210.69.0000, On July 22, 2021, Commerce notified 7210.70.6030, 7210.70.6060, All issues raised in this sunset review the U.S. International Trade 7210.70.6090, 7210.90.6000, are addressed in the Issues and Decision Commission that it did not receive an 7210.90.9000, 7212.20.0000, Memorandum. A list of topics discussed adequate substantive response from 7212.30.1030, 7212.30.1090, in the Issues and Decisions respondent interested parties.5 As a 7212.30.3000, 7212.30.5000, Memorandum is included as an result, pursuant to section 751(c)(3)(B) 7212.40.1000, 7212.40.5000, appendix to this notice. The Issues and of the Act and 19 CFR 7212.50.0000, and 7212.60.0000. Decision Memorandum is a public document and is on file electronically 351.218(e)(1)(ii)(C)(2), Commerce The products subject to the Order may via the Enforcement and Compliance conducted an expedited (120-day) also enter under the following HTSUS Antidumping and Countervailing Duty sunset review of the Order. subheadings: 7210.90.1000, Centralized Electronic Service System 7215.90.1000, 7215.90.3000, Scope of the Order (ACCESS). ACCESS is available to 7215.90.5000, 7217.20.1500, The products covered by this Order registered users at http:// 7217.30.1530, 7217.30.1560, are certain flat-rolled steel products, access.trade.gov. Additionally, a 7217.90.1000, 7217.90.5030, either clad, plated, or coated with complete version of the Issues and 7217.90.5060, 7217.90.5090, corrosion-resistant metals such as zinc, Decisions Memorandum can be 7225.91.0000, 7225.92.0000, aluminum, or zinc-, aluminum-, accessed directly as http:// nickel-, or iron-based alloys, whether or 7225.99.0090, 7226.99.0110, enforcement.trade.gov/frn. not corrugated or painted, varnished, 7226.99.0130, 7226.99.0180, Final Results of the Sunset Review laminated, or coated with plastics or 7228.60.6000, 7228.60.8000, and other non-metallic substances in 7229.90.1000. Pursuant to sections 751(c)(1) and addition to the metallic coating. The The HTSUS subheadings above are 752(b) of the Act, Commerce determines products subject to the Order are provided for convenience and customs that revocation of the Order would currently classified in the Harmonized purposes only. The written description likely lead to the continuation or Tariff Schedule of the United States of the scope of the Order is dispositive. recurrence of countervailable subsidies (HTSUS) under subheadings: For a complete description of the scope at the following rates:

Net countervailable Producers/exporters subsidy (percent)

Yieh Phui (China) Technomaterial Co., Ltd ...... 39.05 Angang Group Hong Kong Company Ltd ...... 241.07 Baoshan Iron & Steel Co., Ltd ...... 241.07 Duferco S.A.; Hebei Iron & Steel Group; and Tangshan Iron and Steel Group Co., Ltd ...... 241.07 Changshu Everbright Material Technology ...... 241.07 Handan Iron & Steel Group ...... 241.07 All-Others ...... 39.05

Administrative Protective Order (APO) 777(i)(1) of the Act, and 19 CFR VIII. Recommendation 351.218. [FR Doc. 2021–17793 Filed 8–18–21; 8:45 am] This notice also serves as the only reminder to parties subject to an APO of Dated: August 13, 2021. BILLING CODE 3510–DS–P their responsibility concerning the Christian Marsh, Acting Assistant Secretary for Enforcement return or destruction of proprietary DEPARTMENT OF COMMERCE information disclosed under APO in and Compliance. accordance with 19 CFR 351.305. Appendix—List of Topics Discussed in International Trade Administration Timely notification of the return or the Issues and Decision Memorandum destruction of APO materials or I. Summary [A–201–837; A–570–954; C–570–955] conversion to judicial protective order is II. Background hereby requested. Failure to comply III. History of the Order Certain Magnesia Carbon Bricks From with the regulations and terms of an IV. Scope of the Order Mexico and the People’s Republic of APO is a violation which is subject to V. Legal Framework China: Continuation of Antidumping sanction. VI. Discussion of the Issues Duty Orders and Countervailing Duty 1. Likelihood of Continuation or Notification to Interested Parties Recurrence of a Countervailable Subsidy Order 2. Net Countervailable Subsidy Rates We are issuing and publishing final Likely To Prevail AGENCY: Enforcement and Compliance, results and this notice in accordance 3. Nature of the Subsidies International Trade Administration, with sections 751(c), 752(b), and VII. Final Results of Sunset Review Department of Commerce.

5 See Commerce’s Letter, ‘‘Sunset Reviews 6 See Memorandum, ‘‘Issues and Decision People’s Republic of China,’’ dated concurrently Initiated on June 1, 2021,’’ dated July 22, 2021. Memorandum for the Expedited First Sunset with, and hereby adopted by, this notice (Issues and Review of the Countervailing Duty Order on Certain Decision Memorandum). Corrosion-Resistant Steel Products from the

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SUMMARY: As a result of the United States within a reasonably their responsibility concerning the determinations by the Department of foreseeable time.4 return/destruction or conversion to Commerce (Commerce) and the judicial protective order of proprietary Scope of the Orders International Trade Commission (ITC) information disclosed under APO in that revocation of the antidumping duty The scope of these Orders includes accordance with 19 CFR 351.305(a)(3). (AD) orders on certain magnesia carbon certain chemically bonded (resin or Failure to comply is a violation of the bricks (MCBs) from Mexico and the pitch), magnesia carbon bricks with a APO which may be subject to sanctions. magnesia component of at least 70 People’s Republic of China (China) and Notification to Interested Parties the countervailing duty (CVD) order on percent magnesia (MgO) by weight, MCBs from China would be likely to regardless of the source of raw materials These five-year sunset reviews and lead to continuation or recurrence of for the MgO, with carbon levels ranging this notice are in accordance with dumping, net countervailable subsidies, from trace amounts to 30 percent by section 751(c) and 751(d)(2) of the Act and injury to an industry in the United weight, regardless of enhancements (for and published pursuant to section States, Commerce is publishing a notice example, magnesia carbon bricks can be 777(i)(1) of the Act and 19 CFR of continuation of these AD and CVD enhanced with coating, grinding, tar 351.218(f)(4). orders. impregnation or coking, high Dated: August 13, 2021. temperature heat treatments, anti-slip Christian Marsh, DATES: Applicable August 19, 2021. treatments or metal casing) and Acting Assistant Secretary for Enforcement FOR FURTHER INFORMATION CONTACT: regardless of whether or not and Compliance. Daniel Alexander, AD/CVD Operations, antioxidants are present (for example, Office VII, Enforcement and antioxidants can be added to the mix [FR Doc. 2021–17790 Filed 8–18–21; 8:45 am] Compliance, International Trade from trace amounts to 15 percent by BILLING CODE 3510–DS–P Administration, U.S. Department of weight as various metals, metal alloys, Commerce, 1401 Constitution Avenue and metal carbides). DEPARTMENT OF COMMERCE NW, Washington, DC 20230; telephone: Certain magnesia carbon bricks that (202) 482–4313. are the subject of these Orders are International Trade Administration SUPPLEMENTARY INFORMATION: currently classifiable under subheadings 6902.10.1000, 6902.10.5000, [A–557–820] Background 6815.91.0000, 6815.99.2000 and Silicon Metal From Malaysia: 6815.99.4000 of the Harmonized Tariff On September 20, 2010, Commerce Antidumping Duty Order published its AD and CVD orders on Schedule of the United States (HTSUS). MCBs from China and Mexico.1 On While HTSUS subheadings are provided AGENCY: Enforcement and Compliance, January 4, 2021, Commerce published for convenience and customs purposes, International Trade Administration, the notice of initiation of the second the written description is dispositive. Department of Commerce. sunset review of the Orders, pursuant to Continuation of the Orders SUMMARY: Based on affirmative final section 751(c) of the Tariff Act of 1930, determinations by the Department of As a result of the determinations by as amended (the Act).2 As a result of its Commerce (Commerce) and the Commerce and the ITC that revocation review, Commerce determined that International Trade Commission (ITC), of the AD and CVD orders would likely revocation of the AD orders would Commerce is issuing an antidumping lead to a continuation or recurrence of likely lead to a continuation or duty order on silicon metal from dumping and countervailable subsidies recurrence of dumping and that Malaysia. and material injury to an industry in the revocation of the CVD order would United States, pursuant to section DATES: Applicable August 19, 2021. likely lead to continuation or recurrence 751(d)(2) of the Act and 19 CFR FOR FURTHER INFORMATION CONTACT: of countervailable subsidies. Commerce, 351.218(a), Commerce hereby orders the Genevieve Coen, AD/CVD Operations, therefore, notified the ITC of the continuation of the Orders. U.S. Enforcement and Compliance, magnitude of the margins and net Customs and Border Protection will International Trade Administration, countervailable subsidy rates likely to continue to collect AD and CVD duty U.S. Department of Commerce, 1401 prevail should the AD and CVD orders 3 cash deposits at the rates in effect at the Constitution Avenue NW, Washington, be revoked. time of entry for all imports of subject DC 20230, telephone: (202) 482–3251. On August 3, 2021, the ITC published merchandise. The effective date of the SUPPLEMENTARY INFORMATION: notice of its determination, pursuant to continuation of the Orders will be the section 751(c) of the Act, that revocation date of publication in the Federal Background of the AD and CVD orders on MCBs Register of this notice of continuation. On June 24, 2021, Commerce from Mexico and China would likely Pursuant to section 751(c)(2) of the Act, published its affirmative final lead to a continuation or recurrence of Commerce intends to initiate the next determination in the less-than-fair-value material injury to an industry in the five-year review of the Orders not later (LTFV) investigation of silicon metal than 30 days prior to the fifth from Malaysia.1 On August 9, 2021, the 1 See Certain Magnesia Carbon Bricks from Mexico and the People’s Republic of China: anniversary of the effective date of ITC notified Commerce of its final Antidumping Duty Orders, 75 FR 57257 (September continuation. determination, pursuant to section 20, 2010); see also Certain Magnesia Carbon Bricks 735(d) of the Tariff Act of 1930, as Administrative Protective Order from the People’s Republic of China: Countervailing amended (the Act), that an industry in Duty Order, 75 FR 57442 (September 20, 2010) This notice also serves as the only the United States is materially injured (collectively, Orders). reminder to parties subject to 2 See Initiation of Five-Year (Sunset) Review, 86 within the meaning of section FR 60 (January 4, 2021). administrative protective order (APO) of 3 See Certain Magnesia Carbon Bricks from 1 See Silicon Metal from Malaysia: Final Mexico and the People’s Republic of China: Final 4 See Certain Magnesia Carbon Bricks from China Affirmative Determination of Sales at Less Than Results of the Expedited Second Sunset Reviews of and Mexico, Invs. 701–TA–468 and 731–TA–1166– Fair Value, 86 FR 133224 (June 24, 2021) (Final the Antidumping Duty Orders, 86 FR 24847 (May 1167 (Second Review), USITC Publication 5223 Determination), and accompanying Issues and 10, 2021). (August 3, 2021). Decision Memorandum.

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735(b)(1)(A)(i) of the Act by reason of continue to suspend liquidation on all Malaysia: LTFV imports of silicon metal from relevant entries of silicon metal from Malaysia.2 Malaysia. These instructions Estimated suspending liquidation will remain in weighted- Scope of the Order average effect until further notice. Exporter/producer dumping The product covered by this order is Commerce also intends to instruct margin silicon metal from Malaysia. For a CBP to require cash deposits equal to (percent) complete description of the scope of the the estimated weighted-average order, see the appendix to this notice. dumping margins indicated in the table PMB Silicon Sdn. Bhd ...... 12.27 All Others ...... 12.27 Antidumping Duty Order below. Accordingly, effective on the date of publication in the Federal On August 9, 2021, in accordance Register of the notice of the ITC’s final Notification to Interested Parties with section 735(d) of the Act, the ITC affirmative injury determination, CBP This notice constitutes the notified Commerce of its final will require, at the same time as antidumping duty order with respect to determination in this investigation, in importers would normally deposit silicon metal from Malaysia pursuant to which it found that an industry in the estimated duties on subject section 736(a) of the Act. Interested United States is materially injured merchandise, a cash deposit equal to the parties can find a list of antidumping within the meaning of section rates listed below. The relevant all- duty orders currently in effect at http:// 735(b)(1)(A)(i) of the Act by reason of others rate applies to all producers or enforcement.trade.gov/stats/ 3 imports of silicon metal from Malaysia. exporters not specifically listed. iastats1.html. Therefore, in accordance with section Provisional Measures This antidumping duty order is 735(c)(2) of the Act, Commerce is published in accordance with section issuing this antidumping duty order. Section 733(d) of the Act states that 736(a) of the Act and 19 CFR 351.211(b). Because the ITC determined that suspension of liquidation pursuant to an imports of silicon metal from Malaysia affirmative preliminary determination Dated: August 13, 2021. are materially injuring a U.S. industry, may not remain in effect for more than Christian Marsh, unliquidated entries of such four months, except where exporters Acting Assistant Secretary for Enforcement merchandise from Malaysia, entered or representing a significant proportion of and Compliance. withdrawn from warehouse for exports of the subject merchandise Appendix consumption, are subject to the request that Commerce extend the four- assessment of antidumping duties. month period to no more than six Scope of the Order Therefore, in accordance with section months. At the request of exporters that The scope of this order covers all forms 736(a)(1) of the Act, Commerce will account for a significant proportion of and sizes of silicon metal, including silicon direct U.S. Customs and Border silicon metal from Malaysia, Commerce metal powder. Silicon metal contains at least Protection (CBP) to assess, upon further 85.00 percent but less than 99.99 percent extended the four-month period to six silicon, and less than 4.00 percent iron, by instruction by Commerce, antidumping months in this investigation. Commerce duties equal to the amount by which the actual weight. Semiconductor grade silicon published the preliminary (merchandise containing at least 99.99 normal value of the merchandise determination in this investigation on percent silicon by actual weight and exceeds the export price (or constructed February 1, 2021.5 classifiable under Harmonized Tariff export price) of the merchandise, for all The extended provisional measures Schedule of the United States (HTSUS) relevant entries of silicon metal from period, beginning on the date of subheading 2804.61.0000) is excluded from Malaysia. With the exception of entries publication of the Preliminary the scope of this order. occurring after the expiration of the Determination, ended on July 31, 2021. Silicon metal is currently classifiable under subheadings 2804.69.1000 and provisional measures period and before Therefore, in accordance with section publication of the ITC’s final affirmative 2804.69.5000 of the HTSUS. While the 733(d) of the Act, Commerce intends to HTSUS numbers are provided for injury determination, as further instruct CBP to terminate the described below, antidumping duties convenience and customs purposes, the suspension of liquidation and to written description of the scope remains will be assessed on unliquidated entries liquidate, without regard to dispositive. of silicon metal from Malaysia entered, antidumping duties, unliquidated or withdrawn from warehouse, for [FR Doc. 2021–17791 Filed 8–18–21; 8:45 am] entries of silicon metal from Malaysia BILLING CODE 3510–DS–P consumption, on or after February 1, entered, or withdrawn from warehouse, 2021, the date of publication of the for consumption after July 30, 2021, the Preliminary Determination.4 final day on which the provisional DEPARTMENT OF COMMERCE Continuation of Suspension of measures were in effect, until and Liquidation through the day preceding the date of International Trade Administration Except as noted in the ‘‘Provisional publication of the ITC’s final affirmative [A–570–979] Measures’’ section of this notice, in injury determinations in the Federal accordance with section 736 of the Act, Register. Suspension of liquidation and Crystalline Silicon Photovoltaic Cells, Commerce intends to instruct CBP to the collection of cash deposits will Whether or Not Assembled Into resume on the date of publication of the Modules, From the People’s Republic 2 See ITC Letter, Notification of ITC Final ITC’s final determination in the Federal of China: Notice of Court Decision Not Determination in Investigation No. 731–TA–1526 Register. in Harmony With Final Results of (Final), dated August 9, 2021. Estimated Weighted-Average Dumping Antidumping Duty Administrative 3 Id. Review; Notice of Amended Final 4 Margins See Silicon Metal from Malaysia: Preliminary Results Affirmative Determination of Sales at Less Than The estimated weighted-average Fair Value, Postponement of Final Determination, AGENCY: Enforcement and Compliance, and Extension of Provisional Measures, 85 FR dumping margins are as follows: 73676 (February 1, 2021) (Preliminary International Trade Administration, Determination). 5 See Preliminary Determination. Department of Commerce.

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SUMMARY: On August 10, 2021, the U.S. ocean freight expenses using Maersk respondents which participated in the Court of International Trade (CIT) data, rather than Xeneta data; however, litigation is as follows: issued its final judgment in Changzhou under protest, Commerce increased Trina Solar Energy Co., Ltd. et al. v. Trina’s U.S. prices by the amount of Weighted- United States, Consol. Court No. 18– countervailing duty imposed to offset average Exporter dumping 00176, sustaining the Department of the export subsidy provided by the Ex- margin Commerce’s (Commerce) second Im Bank of China’s EBCP.5 In its second (percent) remand redetermination pertaining to remand order, the CIT again directed the 2015–2016 antidumping duty (AD) Commerce to reconsider or further Changzhou Trina Solar Energy administrative review of crystalline explain its valuation of ocean freight Co., Ltd./Trina Solar silicon photovoltaic cells, whether or expenses, but it sustained Commerce’s (Changzhou) Science and Technology Co., Ltd./ not assembled into modules (solar adjustment of Trina’s U.S. prices to Yancheng Trina Solar Energy cells), from the People’s Republic of account for the Ex-Im Bank of China’s Technology Co., Ltd./ China (China). Commerce is notifying EBCP.6 Changzhou Trina Solar the public that the CIT’s final judgment In its second remand redetermination, Yabang Energy Co., Ltd./ in this litigation is not in harmony with Commerce valued Trina’s ocean freight Turpan Trina Solar Energy the final results reached by Commerce expenses using Xeneta data, Co., Ltd./Hubei Trina Solar in the 2015–2016 AD administrative recalculated Trina’s dumping margin Energy Co., Ltd./Trina Solar review of solar cells from China, and based on this change, and assigned (Hefei) Science and Tech- that Commerce is amending the final Trina’s recalculated dumping margin to nology Co., Ltd ...... 5.08 the separate rate respondents which JingAo Solar Co., Ltd ...... 5.08 results of that review with respect to the JA Solar Technology Yangzhou dumping margin calculated for Trina participated in the litigation that led to Co., Ltd ...... 5.08 7 and certain separate rate respondents. the remand redetermination. On Shanghai JA Solar Technology DATES: Applicable August 20, 2021. August 10, 2021, the CIT sustained Co., Ltd ...... 5.08 FOR FURTHER INFORMATION CONTACT: Commerce’s second remand Jeff 8 Pedersen, AD/CVD Operations, Office redetermination. Cash Deposit Requirements IV, Enforcement and Compliance, Timken Notice Because the cash deposit rates for all International Trade Administration, In its decision in Timken,9 as clarified of the companies listed above have a U.S. Department of Commerce, 1401 by Diamond Sawblades,10 the United superseded by subsequent cash deposit Constitution Avenue NW, Washington, States Court of Appeals for the Federal rates (i.e., cash deposit rates have been DC 20230; telephone: (202) 482–2769. Circuit held that, pursuant to section established for these companies in SUPPLEMENTARY INFORMATION: 516A(c) and (e) of the Tariff Act of 1930, subsequent final results of reviews), this Background as amended (the Act), Commerce must notice does not affect the current cash publish a notice of a court decision that deposit rates of these companies. On July 27, 2018, Commerce is not ‘‘in harmony’’ with a Commerce Accordingly, we will not issue revised published the Final Results of its 2015– determination and must suspend cash deposit instructions to U.S. 2016 AD administrative review of solar liquidation of entries pending a Customs and Border Protection (CBP) 1 2 cells from China. Trina appealed ‘‘conclusive’’ court decision. The CIT’s for these companies. Commerce’s Final Results. On May 13, August 10, 2021, judgment constitutes a Liquidation of Suspended Entries 2020, the CIT remanded to Commerce final court decision that is not in for further explanation or harmony with Commerce’s Final At this time, Commerce remains reconsideration its decision to use Results. Thus, this notice is published enjoined by CIT order from liquidating Maersk Line (Maersk) data, rather than in fulfillment of the publication entries of subject merchandise that was Xeneta XS (Xeneta) data, to value ocean requirements of Timken. exported by any of the companies listed freight expenses.3 The CIT also held that Amended Final Results above and that was entered into the Commerce’s decision to not adjust United States, or withdrawn from Trina’s U.S. prices to account for Because there is now a final court warehouse, for consumption during the countervailing duties related to the judgment, Commerce is amending its period December 1, 2015, through Export Buyer’s Credit Program (EBCP) Final Results. The amended weighted- 4 November 30, 2016. These entries will was contrary to law. average dumping margin for the remain enjoined pursuant to the terms In its first remand redetermination, of the injunction during the pendency of Commerce continued to value Trina’s 5 See Final Results of Remand Redetermination, any appeals process. Changzhou Trina Solar Energy Co., Ltd., et al. v. 1 See Crystalline Silicon Photovoltaic Cells, United States, Court No. 18–00176, Slip Op. 20–64 In the event the CIT’s ruling is not Whether or Not Assembled Into Modules, From the (Court of International Trade May 13, 2020) (August appealed, or, if appealed, upheld by a People’s Republic of China: Final Results of 6, 2020). final and conclusive court decision, Antidumping Duty Administrative Review and 6 See Changzhou Trina Solar Energy Co. v. United Commerce intends to instruct CBP to Final Determination of No Shipments; 2015–2016, States, 492 F. Supp. 3d 1322 (CIT 2021). 83 FR 35616 (July 27, 2018) (Final Results). 7 See Final Results of Remand Redetermination assess antidumping duties on 2 In the Final Results, Commerce treated the Pursuant to Court Remand, Changzhou Trina Solar unliquidated entries of subject following seven companies as a single entity: Energy Co., Ltd. et al., v. United States Court No. merchandise exported by the companies Changzhou Trina Solar Energy Co., Ltd./Trina Solar 18–00176, Slip Op. 21–2 (CIT January 4, 2021) listed above in accordance with 19 CFR (Changzhou) Science and Technology Co., Ltd./ (April 5, 2021). 351.212(b). We will instruct CBP to Yancheng Trina Solar Energy Technology Co., Ltd./ 8 See Changzhou Trina Solar Energy Co., Ltd. et Changzhou Trina Solar Yabang Energy Co., Ltd./ al. v. United States, Consol. Court No. 18–00176, assess antidumping duties on all Turpan Trina Solar Energy Co., Ltd./Hubei Trina Slip. Op. 21–98 (CIT August 10, 2021). appropriate entries covered by the Solar Energy Co., Ltd./Trina Solar (Hefei) Science 9 See Timken Co. v. United States, 893 F.2d 337 review when the importer-specific ad and Technology Co., Ltd (collectively, Trina). (Fed. Cir. 1990) (Timken). valorem assessment rate is not zero or 3 See Changzhou Trina Solar Energy Co., Ltd. et 10 See Diamond Sawblades Manufacturers de minimis. Where an importer-specific al., 450 F. Supp. 3d 1301 (CIT 2020). Coalition v. United States, 626 F.3d 1374 (Fed. Cir. 4 Id. 2010) (Diamond Sawblades). ad valorem assessment rate is zero or de

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minimis,11 we will instruct CBP to Total Annual Burden Hours: 810. following website www.reginfo.gov/ liquidate the appropriate entries Needs and Uses: This request is for public/do/PRAMain. Find this without regard to antidumping duties. revision and extension of a currently particular information collection by approved information collection. selecting ‘‘Currently under 30-day Notification to Interested Parties The Endangered Species Act of 1973 Review—Open for Public Comments’’ or This notice is issued and published in (ESA; 16 U.S.C. 1531 et seq.) imposed by using the search function and accordance with sections 516A(c) and prohibitions against the taking of entering either the title of the collection (e), 751(a)(1), and 777(i)(1) of the Act. endangered species. Section 10 of the or the OMB Control Number 0648–0402. ESA allows permits authorizing the Dated: August 13, 2021. Sheleen Dumas, Christian Marsh, taking of endangered species for research/enhancement purposes. The Department PRA Clearance Officer, Office of Acting Assistant Secretary for Enforcement the Chief Information Officer, Commerce and Compliance. corresponding regulations established procedures for persons to apply for such Department. [FR Doc. 2021–17792 Filed 8–18–21; 8:45 am] permits. In addition, the regulations set [FR Doc. 2021–17802 Filed 8–18–21; 8:45 am] BILLING CODE 3510–DS–P forth specific reporting requirements for BILLING CODE 3510–22–P such permit holders. The regulations contain two sets of information DEPARTMENT OF COMMERCE DEPARTMENT OF COMMERCE collections: (1) Applications for National Oceanic and Atmospheric research/enhancement permits, and (2) National Oceanic and Atmospheric Administration reporting requirements for issued Administration permits. Agency Information Collection The required information is used to Agency Information Collection Activities; Submission to the Office of evaluate the impacts of the proposed Activities; Submission to the Office of Management and Budget (OMB) for activity on endangered species, to make Management and Budget (OMB) for Review and Approval; Comment the determinations required by the ESA Review and Approval; Comment Request; Application and Reports for prior to issuing a permit, and to Request; Recreational Angler Survey Scientific Research and Enhancement establish appropriate permit conditions. of Sea Turtle Interactions Permits Under the Endangered To issue permits under ESA Section Species Act 10(a)(1)(A), the National Marine AGENCY: National Oceanic & Fisheries Service (NMFS) must Atmospheric Administration (NOAA), The Department of Commerce will determine that (1) such exceptions were Commerce. submit the following information applied for in good faith, (2) if granted ACTION: Notice of information collection, collection request to the Office of and exercised, will not operate to the request for comment. Management and Budget (OMB) for disadvantage of such endangered review and clearance in accordance species, and (3) will be consistent with SUMMARY: The Department of with the Paperwork Reduction Act of the purposes and policy set forth in Commerce, in accordance with the 1995, on or after the date of publication Section 2 of the ESA. Paperwork Reduction Act of 1995 of this notice. We invite the general The currently approved application (PRA), invites the general public and public and other Federal agencies to and reporting requirements apply to other Federal agencies to comment on comment on proposed, and continuing Pacific marine and anadromous fish proposed, and continuing information information collections, which helps us species, as requirements regarding other collections, which helps us assess the assess the impact of our information species are being addressed in a impact of our information collection collection requirements and minimize separate information collection. There is requirements and minimize the public’s the public’s reporting burden. Public one administrative revision requested to reporting burden. The purpose of this comments were previously requested the collection itself: NMFS will no notice is to allow for 60 days of public via the Federal Register on April 21, longer require ‘‘final’’ permit reports; comment preceding submission of the 2021 (86 FR 20661) during a 60-day the reports will simply be considered collection to OMB. comment period. This notice allows for annual reports that are submitted at the DATES: To ensure consideration, an additional 30 days for public end of a permit’s life span. comments regarding this proposed comments. Affected Public: Federal government; information collection must be received Agency: National Oceanic & State, local, or tribal governments; on or before October 18, 2021. Atmospheric Administration (NOAA), business or other for-profit ADDRESSES: Commerce. Interested persons are organizations, educational institutions. invited to submit written comments to Title: Application and Reports for Frequency: Annually. Scientific Research and Enhancement Respondent’s Obligation: Required to Adrienne Thomas, NOAA PRA Officer, Permits Under the Endangered Species Obtain or Retain Benefits. at [email protected]. Please Act. Legal Authority: The Endangered reference OMB Control Number 0648– OMB Control Number: 0648–0402. Species Act of 1973 (16 U.S.C. 1531 et 0774 in the subject line of your Form Number(s): None. seq.). comments. Do not submit Confidential Type of Request: Regular submission This information collection request Business Information or otherwise (revision and extension of a currently may be viewed at www.reginfo.gov. sensitive or protected information. approved collection). Follow the instructions to view the FOR FURTHER INFORMATION CONTACT: Number of Respondents: 175 per year. Department of Commerce collections Requests for additional information or Average Hours per Response: 12 currently under review by OMB. specific questions related to collection hours for permit applications; six hours Written comments and activities should be directed to Wendy for permit modification requests 6; two recommendations for the proposed Piniak, Biologist, NOAA National hours for annual reports. information collection should be Marine Fisheries Service, Office of submitted within 30 days of the Protected Resources, 1315 East-West 11 See 19 CFR 351.106(c)(2). publication of this notice on the Highway, Silver Spring, Maryland

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20910; (301) 427–8401; wendy.piniak@ III. Data DEPARTMENT OF COMMERCE noaa.gov. OMB Control Number: 0648–0774. National Oceanic and Atmospheric SUPPLEMENTARY INFORMATION: Form Number(s): None. Administration I. Abstract Type of Review: Extension of a current information collection. Agency Information Collection NOAA’s National Marine Fisheries Activities; Submission to the Office of Affected Public: Individuals or Management and Budget (OMB) for Service (NOAA Fisheries) proposes to households. revise and extend a currently approved Review and Approval; Comment Estimated Number of Respondents: Request; Weather and Society Survey information collection designed to 20,000. assess the extent of hook and line AGENCY: National Oceanic & interactions between recreational Estimated Time per Response: 10 minutes for the Fishing Site Atmospheric Administration (NOAA), anglers on piers and other shore-based Commerce. fishing locations and sea turtles. The Characterization Form, 5 minutes for the Survey Cover Sheet, 10 minutes for the ACTION: Notice of information collection, collection comprises an Angler Intercept request for comment. Survey, a Fishing Site Characterization Angler Intercept Survey, 5 minutes for Form, a Survey Cover Sheet, and a Sea the Sea Turtle Incidental Capture Form. SUMMARY: The Department of Turtle Incidental Capture Form. The Estimated Total Annual Burden Commerce, in accordance with the Angler Intercept Survey will be verbally Hours: 1,134 hours. Paperwork Reduction Act of 1995 administered on piers and shore-based Estimated Total Annual Cost to (PRA), invites the general public and fishing locations within NOAA Public: $44,237. other Federal agencies to comment on Fisheries Greater Atlantic Region and Respondent’s Obligation: Voluntary. proposed, and continuing information collections, which helps us assess the Southeast Region, and will be Legal Authority: Endangered Species impact of our information collection administered to approximately 20,000 Act (16 U.S.C. 1531 et seq.). individual recreational fishermen. The requirements and minimize the public’s respondents will be verbally asked a IV. Request for Comments reporting burden. The purpose of this notice is to allow for 60 days of public series of questions about their fishing We are soliciting public comments to practices and observations of sea turtles comment preceding submission of the permit the Department/Bureau to: (a) collection to OMB. and the interviewer will record their Evaluate whether the proposed DATES: To ensure consideration, answers. The survey will also assess the information collection is necessary for comments regarding this proposed feasibility of an intercept survey for this the proper functions of the Department, information collection must be received purpose in terms of response rates and including whether the information will on or before October 18, 2021. data collection. The Fishing Site have practical utility; (b) Evaluate the Characterization Form will be accuracy of our estimate of the time and ADDRESSES: Interested persons are completed by the survey administrator cost burden for this proposed collection, invited to submit written comments to at each fishing location and collects including the validity of the Adrienne Thomas, NOAA PRA Officer, information on the structure and methodology and assumptions used; (c) at [email protected]. Do not operation of the pier or shore-based Evaluate ways to enhance the quality, submit Confidential Business fishing location. The Site utility, and clarity of the information to Information or otherwise sensitive or Characterization Sheet will be be collected; and (d) Minimize the protected information. completed by the survey administrator reporting burden on those who are to FOR FURTHER INFORMATION CONTACT: during each survey period and collects respond, including the use of automated Requests for additional information or information on the environmental collection techniques or other forms of specific questions related to collection conditions for that particular day, the information technology. activities should be directed to Nicole number of anglers fishing, number of Kurkowski, R2O Team Lead, DOC/ lines in the water, and the number of Comments submitted in response to this notice are a matter of public record. NOAA/NWS/OSTI, 1325 East-West surveys completed. Sea Turtle Highway, Silver Spring, MD 20910, Incidental Capture Form will be filled We will include or summarize each comment in our request to OMB to 301.427.9104, nicole.kurkowski@ out by a Sea Turtle Stranding and noaa.gov. Salvage Network participant when a approve this information collection SUPPLEMENTARY INFORMATION: turtle is incidentally captured, request (ICR). Before including your regardless of if the capture occurs address, phone number, email address, I. Abstract during a specific survey period, and or other personal identifying information in your comment, be aware This is a request for a new collection collects information on the specific of information. interaction with fishing gear. This that your entire comment—including your personal identifying information— The data collection is sponsored by information is necessary to compare to DOC/NOAA/National Weather Service the angler survey data, to identify if may be made publicly available at any time. While you may ask us in your (NWS)/Office of Science and certain factors or fishing practices Technology Integration (OSTI). influence the rate of interactions. In this comment to withhold your personal identifying information from public Currently, NOAA lacks data and data extension, minor revisions will be made collection instruments that articulate to the Sea Turtle Incidental Capture review, we cannot guarantee that we will be able to do so. and explicate how individuals receive, Form to eliminate duplication with interpret, and respond to NOAA other sea turtle stranding data collection Sheleen Dumas, information, forecasts, and warnings for efforts. Department PRA Clearance Officer, Office of severe, winter, and tropical weather II. Method of Collection the Chief Information Officer, Commerce hazards. Furthermore, NOAA lacks this Department. type of data longitudinally (i.e., The survey will be implemented [FR Doc. 2021–17804 Filed 8–18–21; 8:45 am] collected over time). Without this type through verbal interviews. BILLING CODE 3510–22–P of longitudinal data, NOAA, and the

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NWS specifically, cannot determine if it and across different groups; the ability information collection is necessary for has met its mission of saving lives and to detect gradual trends or abrupt the proper functions of the Department, property, propose societal impact changes in those factors over time or in including whether the information will performance metrics, nor demonstrate if response to particular events; and the have practical utility; (b) Evaluate the progress or improvements have been potential to explore possible accuracy of our estimate of the time and made, as outlined in the Weather correlations and causal relationships cost burden for this proposed collection, Research and Forecasting Innovation with other observed variables of including the validity of the Act of 2017. This effort aims to advance interest. These data will be used by the methodology and assumptions used; (c) the Tornado Warning Improvement and OSTI in NWS to develop a baseline and Evaluate ways to enhance the quality, Extension Program (TWIEP)’s goal to performance metrics to improve the utility, and clarity of the information to ‘‘reduce the loss of life and economic information and services it provides and be collected; and (d) Minimize the losses from tornadoes through the to help members of the weather reporting burden on those who are to development and extension of accurate, enterprise answer basic questions about respond, including the use of automated effective, and timely tornado forecasts, the people in the communities they collection techniques or other forms of predictions, and warnings, including serve, which is a necessary step towards information technology. the prediction of tornadoes beyond one customizing and improving risk Comments that you submit in hour in advance (Pub. L. 115–25)’’. This communication, education, and response to this notice are a matter of work addresses NOAA’s 5-year Research decision support to meet the public record. We will include or and Development Vision Areas (2020– characteristics of the community, summarize each comment in our request 2026) Section 1.4 (FACETs). The including those in vulnerable to OMB to approve this ICR. Before Weather and Society Survey also populations. The information collected including your address, phone number, advances the findings of the National will help identify differences and best email address, or other personal Academy of Science 2012 report, practices between communities and identifying information in your ‘‘Assessment of the NWS Modernization assist NWS in developing new comment, you should be aware that Program’’, in reference to NWS’ ‘‘chain education and risk communication your entire comment—including your of events associated with a tornado strategies. The survey data and its personal identifying information—may warning’’ (p52). This effort also associated dashboard will serve as be made publicly available at any time. advances the NWS Strategic Plan (2019– interactive tools to allow NWS While you may ask us in your comment 2022) ‘‘Transformative Impact-Based forecasters, partners, and policymakers to withhold your personal identifying Decision Support Services (IDSS) and to access and explore data for training information from public review, we Research to Operations and Operations and performance evaluation purposes. cannot guarantee that we will be able to to Research (R2O/O2R).’’ Furthermore, do so. the Survey furthers the NWS Weather II. Method of Collection Ready Nation (WRN) Roadmap (2013) The primary method of data Sheleen Dumas, Sections 1.1.1, 1.1.2, 1.1.3, 1.1.8, and collection will be a web-based survey Department PRA Clearance Officer, Office of 3.1.4. interface. Specific questions in the the Chief Information Officer, Commerce Department. This information would be collected surveys determine how members of the at the Cooperative Institute for U.S. public receive, comprehend, and [FR Doc. 2021–17805 Filed 8–18–21; 8:45 am] Mesoscale Meteorological Studies respond to severe, tropical, and winter BILLING CODE 3510–KE–P (CIMMS) and the University of weather related information. Oklahoma’s Center for Risk and Crisis Furthermore, these survey items will be DEPARTMENT OF COMMERCE Management (CRCM), who has translated to Spanish. developed data collection instruments that would allow for more routine and III. Data National Oceanic and Atmospheric Administration longitudinal data collection, as the data OMB Control Number: 0648–XXXX. will be collected on an annual basis. Form Number(s): None. Agency Information Collection Furthermore, this team has developed Type of Review: Regular (New Activities; Submission to the Office of interactive ‘‘dashboards’’, or tools, to information collection). Management and Budget (OMB) for visualize the aggregated data. Affected Public: Individuals or Review and Approval; Comment Respondents include adults (age 18+) households. Request; High Seas Fishing Permit who reside in the United States, Estimated Number of Respondents: Application, Logbook Reporting and recruited by survey companies that 1,000. Vessel Marking maintain large panels of people who Estimated Time per Response: 20 sign up to complete internet surveys, minutes each for the Severe Weather AGENCY: National Oceanic and such as Qualtrics and Survey Sampling Survey, Tropical Weather Survey, and Atmospheric Administration (NOAA), International. Respondents will be Winter Weather Survey. Commerce. asked questions about the ways they Estimated Total Annual Burden ACTION: Notice of information collection, have received, interpreted, and Hours: 1,000. request for comment. responded to NWS information, Estimated Total Annual Cost to forecasts, and warnings for severe, Public: None. SUMMARY: The Department of tropical, and winter weather hazards. Respondent’s Obligation: Voluntary. Commerce, in accordance with the Questions about preparedness for Legal Authority: 15 U.S.C. Ch. 111, Paperwork Reduction Act of 1995 specific hazards such as heat waves, Weather Research and Forecasting (PRA), invites the general public and tornadoes, and drought may also be Information. other Federal agencies to comment on included. This data collection serves proposed, and continuing information many purposes, including gaining a IV. Request for Comments collections, which helps us assess the better understanding of how key factors We are soliciting public comments to impact of our information collection within a given population, or permit the Department/Bureau to: (a) requirements and minimize the public’s organization, vary over time, location, Evaluate whether the proposed reporting burden. The purpose of this

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notice is to allow for 60 days of public These requirements apply to all U.S. the proper functions of the Department, comment preceding submission of the vessels fishing on the high seas. including whether the information will collection to OMB. Information on U.S. high seas fishing have practical utility; (b) Evaluate the DATES: To ensure consideration, catch and effort is reported to the Food accuracy of our estimate of the time and comments regarding this proposed and Agriculture Organization of the cost burden for this proposed collection, information collection must be received United Nations as authorized under the including the validity of the on or before October 18, 2021. HSFCA. methodology and assumptions used; (c) Evaluate ways to enhance the quality, ADDRESSES: Interested persons are II. Method of Collection invited to submit written comments to utility, and clarity of the information to Adrienne Thomas, NOAA PRA Officer, Owners or operators of high seas be collected; and (d) Minimize the at [email protected]. Please fishing vessels must submit electronic reporting burden on those who are to reference OMB Control Number 0648– permit applications (including vessel respond, including the use of automated 0304 in the subject line of your photo) via the NMFS online permitting collection techniques or other forms of comments. Do not submit Confidential system. Vessel operators submit logbook information technology. Comments that you submit in Business Information or otherwise pages/transshipment notices/ response to this notice are a matter of sensitive or protected information. declarations to NMFS by email. Notifications for observer coverage and public record. We will include or FOR FURTHER INFORMATION CONTACT: power down/power up of vessel summarize each comment in our request Requests for additional information or monitoring systems are submitted via to OMB to approve this ICR. Before specific questions related to collection email. Requests for authorizing new including your address, phone number, activities should be directed to fisheries on the high seas are submitted email address, or other personal Christopher Rogers, Chief, International via letter/email. No information is identifying information in your Fisheries Division, Office of submitted for the vessel marking comment, you should be aware that International Affairs and Seafood requirement. The markings are only your entire comment—including your Inspection, National Marine Fisheries displayed on the vessel. personal identifying information—may Service (NMFS), at 1315 East-West be made publicly available at any time. Hwy., Silver Spring, MD 20910; phone: III. Data While you may ask us in your comment 301–427–8350 or email: OMB Number: 0648–0304. to withhold your personal identifying [email protected]. Form Number: None. information from public review, we SUPPLEMENTARY INFORMATION: Type of Review: Regular submission cannot guarantee that we will be able to I. Abstract (extension of a currently approved do so. information collection). The NMFS Office of International Affected Public: Business or other for Sheleen Dumas, Affairs and Seafood Inspection collects profit organizations. Department PRA Clearance Officer, Office of information about United States (U.S.) Estimated Number of Respondents: the Chief Information Officer, Commerce Department. vessels that fish on the high seas (waters 600. beyond the U.S. exclusive economic Estimated Time per Response: 30 [FR Doc. 2021–17803 Filed 8–18–21; 8:45 am] zone). Such vessels are required to minutes per electronic vessel permit BILLING CODE 3510–22–P possess a fishing permit issued under application including uploading a the authority of the High Seas Fishing vessel photograph; for logbook reports, DEPARTMENT OF COMMERCE Compliance Act (HSFCA). Applicants 6 minutes per day for days fish are for this permit must submit information caught, 1 minute per day for days when National Oceanic and Atmospheric (including a photo) to identify their fish are not caught; 45 minutes (15 Administration vessels, and about owners and operators minutes for each of 3 locations) for of the vessels, and intended fishing vessel markings; 5 minutes for advance [RTID 0648–XB325] areas and fishing gear. The information notices of transshipment and 10 Taking and Importing Marine submitted on the application is used to minutes for transshipment reports; 5 process permits and to maintain a Mammals; Taking Marine Mammals minutes for power up/power down Incidental to Geophysical Surveys register of U.S. vessels authorized to fish notifications for enhanced mobile on the high seas. Related to Oil and Gas Activities in the transceiver units; 5 minutes to notify Gulf of Mexico Implementing regulations for the NMFS of a fishing trip to allow for HSFCA also require vessels be marked observer coverage; and 30 minutes to AGENCY: National Marine Fisheries for identification and enforcement prepare/submit requests to authorize a Service (NMFS), National Oceanic and purposes. Vessels must be marked in new fishery on the high seas. Atmospheric Administration (NOAA), three locations (port and starboard sides Estimated Total Annual Burden Commerce. of the deckhouse or hull, and on a Hours: 302. ACTION: Notice of issuance of Letter of weatherdeck) with their official number Estimated Total Annual Cost to Authorization. or radio call sign. Additional regulatory Public: $162,919. requirements include reporting on Respondent’s obligation: Mandatory SUMMARY: In accordance with the fishing activities and transshipments, (voluntary for new fishery authorization Marine Mammal Protection Act notification of fishing trips for requests). (MMPA), as amended, its implementing embarking observers (if selected), and Legal Authority: HSFCA (Pub. L. 104– regulations, and NMFS’ MMPA operating a vessel monitoring system 43) codified at 16 U.S.C. 5501 et seq. Regulations for Taking Marine including power up and power down Mammals Incidental to Geophysical notifications. Finally, vessel operators IV. Request for Comments Surveys Related to Oil and Gas may make requests for NMFS to We are soliciting public comments to Activities in the Gulf of Mexico, authorize new fisheries (fishing gear, allow the Department/Bureau to: (a) notification is hereby given that a Letter fishing area, target species) for U.S. Evaluate whether the proposed of Authorization (LOA) has been issued vessels operating on the high seas. information collection is necessary for to Telesis Geophysical Services, LLC

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(Telesis) for the take of marine On January 19, 2021, we issued a final location (by modeling zone 1); (3) mammals incidental to geophysical rule with regulations to govern the number of days; and (4) season.2 The survey activity in the Gulf of Mexico. unintentional taking of marine acoustic exposure modeling performed DATES: The LOA is effective from mammals incidental to geophysical in support of the rule provides 24-hour September 1, 2021, through November survey activities conducted by oil and exposure estimates for each species, 1, 2021. gas industry operators, and those specific to each modeled survey type in persons authorized to conduct activities each zone and season. ADDRESSES: The LOA, LOA request, and on their behalf (collectively ‘‘industry The survey is planned to occur for 4 supporting documentation are available operators’’), in Federal waters of the days in summer, with the airgun used online at: www.fisheries.noaa.gov/ U.S. Gulf of Mexico (GOM) over the on 2.5 days and the HRG sources used action/incidental-take-authorization-oil- course of 5 years (86 FR 5322; January for 1.5 days. Exposure modeling results and-gas-industry-geophysical-survey- 19, 2021). The rule was based on our were generated using the single airgun activity-gulf-mexico. In case of problems findings that the total taking from the proxy for 3 days and using the high accessing these documents, please call specified activities over the 5-year resolution sources proxy for 1 day. FOR the contact listed below (see period will have a negligible impact on Because the results for the 3 days of FURTHER INFORMATION CONTACT). the affected species or stock(s) of marine airgun use assume use of a 90-in3 FOR FURTHER INFORMATION CONTACT: Ben mammals and will not have an airgun, the take numbers authorized Laws, Office of Protected Resources, unmitigable adverse impact on the through this LOA are considered NMFS, (301) 427–8401. availability of those species or stocks for conservative (i.e., they likely SUPPLEMENTARY INFORMATION: subsistence uses. The rule became overestimate take) due to differences in effective on April 19, 2021. the sound source planned for use by Background Our regulations at 50 CFR 217.180 et Telesis, as compared to those modeled Sections 101(a)(5)(A) and (D) of the seq. allow for the issuance of LOAs to for the rule. The geographic distribution MMPA (16 U.S.C. 1361 et seq.) direct industry operators for the incidental of survey effort is not known precisely, the Secretary of Commerce to allow, take of marine mammals during but would occur in Zones 2 and 5. upon request, the incidental, but not geophysical survey activities and Therefore, the take estimates for each intentional, taking of small numbers of prescribe the permissible methods of species are based on the zone that has marine mammals by U.S. citizens who taking and other means of effecting the the greater value for the species (i.e., engage in a specified activity (other than least practicable adverse impact on Zone 2 or 5). commercial fishing) within a specified marine mammal species or stocks and In this case, use of the exposure geographical region if certain findings their habitat (often referred to as modeling produces results that are are made and either regulations are mitigation), as well as requirements substantially smaller than average GOM pertaining to the monitoring and issued or, if the taking is limited to group sizes for multiple species (i.e., reporting of such taking. Under 50 CFR harassment, a notice of a proposed estimated exposure values are less than 217.186(e), issuance of an LOA shall be authorization is provided to the public 10 percent of assumed average group based on a determination that the level for review. size for the majority of species) (Maze- of taking will be consistent with the An authorization for incidental Foley and Mullin, 2006). NMFS’ typical findings made for the total taking practice in such a situation is to takings shall be granted if NMFS finds allowable under these regulations and a increase exposure estimates to the that the taking will have a negligible determination that the amount of take assumed average group size for a species impact on the species or stock(s), will authorized under the LOA is of no more in order to ensure that, if the species is not have an unmitigable adverse impact than small numbers. on the availability of the species or encountered, exposures will not exceed stock(s) for subsistence uses (where Summary of Request and Analysis the authorized take number. However, relevant), and if the permissible Telesis plans to conduct an other relevant considerations here lead methods of taking and requirements archaeological and geohazards survey in to a determination that increasing the pertaining to the mitigation, monitoring the Eugene Island Area, Block EI389 and estimated exposures to average group and reporting of such takings are set portions of Blocks EI385 and EI386, and sizes would likely lead to an forth. NMFS has defined ‘‘negligible in the Ewing Bank Area, in the E/2 overestimate of actual potential take. In impact’’ in 50 CFR 216.103 as an impact portion of Block EW979. Telesis plans this circumstance, the very short survey resulting from the specified activity that to use a single, 20-cubic inch airgun for duration and relatively small Level B cannot be reasonably expected to, and is a portion of survey effort, and would harassment isopleths produced through not reasonably likely to, adversely affect use a suite of high-resolution use of a single airgun (compared with an the species or stock through effects on geophysical (HRG) acoustic sources airgun array) or HRG sources mean that annual rates of recruitment or survival. aboard an autonomous underwater it is unlikely that certain species would Except with respect to certain vehicle during the remainder. Please see be encountered at all, much less that the activities not pertinent here, the MMPA Telesis’s application for additional encounter would result in exposure of a defines ‘‘harassment’’ as: any act of detail. greater number of individuals than is pursuit, torment, or annoyance which (i) Consistent with the preamble to the estimated through use of the exposure has the potential to injure a marine final rule, the survey effort proposed by modeling results. As a result, in this mammal or marine mammal stock in the Telesis in its LOA request was used to case NMFS has not increased the wild (Level A harassment); or (ii) has develop LOA-specific take estimates estimated exposure values to assumed the potential to disturb a marine based on the acoustic exposure average group sizes in authorizing take. mammal or marine mammal stock in the modeling results described in the wild by causing disruption of behavioral preamble (86 FR 5322, 5398; January 19, 1 For purposes of acoustic exposure modeling, the patterns, including, but not limited to, 2021). In order to generate the GOM was divided into seven zones. Zone 1 is not included in the geographic scope of the rule. migration, breathing, nursing, breeding, appropriate take number for 2 For purposes of acoustic exposure modeling, feeding, or sheltering (Level B authorization, the following information seasons include Winter (December–March) and harassment). was considered: (1) Survey type; (2) Summer (April–November).

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Based on the results of our analysis, abundance estimate, NMFS will stock abundance reports (SAR; NMFS has determined that the level of determine that the numbers of marine www.fisheries.noaa.gov/national/ taking expected for this survey and mammals taken of a species or stock are marine-mammal-protection/marine- authorized through the LOA is small. For more information please see mammal-stock-assessments) and model- consistent with the findings made for NMFS’ discussion of the MMPA’s small predicted abundance information the total taking allowable under the numbers requirement provided in the (https://seamap.env.duke.edu/models/ regulations. See Table 1 in this notice final rule (86 FR 5322, 5438; January 19, Duke/GOM/). For the latter, for taxa and Table 9 of the rule (86 FR 5322; 2021). where a density surface model could be January 19, 2021). The take numbers for authorization, produced, we use the maximum mean Small Numbers Determination which are determined as described seasonal (i.e., 3-month) abundance Under the GOM rule, NMFS may not above, are used by NMFS in making the prediction for purposes of comparison authorize incidental take of marine necessary small numbers as a precautionary smoothing of month- mammals in an LOA if it will exceed determinations, through comparison to-month fluctuations and in ‘‘small numbers.’’ In short, when an with the best available abundance consideration of a corresponding lack of acceptable estimate of the individual estimates (see discussion at 86 FR 5322, data in the literature regarding seasonal marine mammals taken is available, if 5391; January 19, 2021). For this distribution of marine mammals in the the estimated number of individual comparison, NMFS’ approach is to use GOM. Information supporting the small animals taken is up to, but not greater the maximum theoretical population, numbers determinations is provided in than, one-third of the best available determined through review of current Table 1.

TABLE 1—TAKE ANALYSIS

Authorized Percent Species Abundance 2 take 1 abundance

Rice’s whale 3 ...... 0 51 n/a Sperm whale ...... 2 2,207 0.1 Kogia spp ...... 1 4,373 0.0 Beaked whales ...... 40 3,768 1.1 Rough-toothed dolphin ...... 1 4,853 0.0 Bottlenose dolphin ...... 83 176,108 0.0 Clymene dolphin ...... 2 11,895 0.0 Atlantic spotted dolphin ...... 18 74,785 0.0 Pantropical spotted dolphin ...... 10 102,361 0.0 Spinner dolphin ...... 3 25,114 0.0 Striped dolphin ...... 1 5,229 0.0 Fraser’s dolphin ...... 0 1,665 n/a Risso’s dolphin ...... 1 3,764 0.0 Melon-headed whale ...... 2 7,003 0.0 Pygmy killer whale ...... 0 2,126 n/a False killer whale ...... 0 3,204 n/a Killer whale ...... 0 267 n/a Short-finned pilot whale ...... 0 1,981 n/a 1 Scalar ratios were not applied in this case due to brief survey duration. 2 Best abundance estimate. For most taxa, the best abundance estimate for purposes of comparison with take estimates is considered here to be the model-predicted abundance (Roberts et al., 2016). For those taxa where a density surface model predicting abundance by month was produced, the maximum mean seasonal abundance was used. For those taxa where abundance is not predicted by month, only mean annual abundance is available. For the killer whale, the larger estimated SAR abundance estimate is used. 3 The final rule refers to the GOM Bryde’s whale (Balaenoptera edeni). These whales were subsequently described as a new species, Rice’s whale (Balaenoptera ricei) (Rosel et al., 2021).

Based on the analysis contained LOA is of no more than small numbers. DEPARTMENT OF DEFENSE herein of Telesis’s proposed survey Accordingly, we have issued an LOA to activity described in its LOA Telesis authorizing the take of marine Office of the Secretary application and the anticipated take of mammals incidental to its geophysical Community Input on Noise Mitigation marine mammals, NMFS finds that survey activity, as described above. small numbers of marine mammals will Dated: August 13, 2021. AGENCY: Office of Local Defense be taken relative to the affected species Community Cooperation, Department of Shannon Bettridge, or stock sizes (i.e., less than one-third of Defense (DoD). Acting Director, Office of Protected Resources, the best available abundance estimate) ACTION: Request for information. and therefore the taking is of no more National Marine Fisheries Service. than small numbers. [FR Doc. 2021–17746 Filed 8–18–21; 8:45 am] SUMMARY: The Office of Local Defense Community Cooperation (OLDCC) is Authorization BILLING CODE 3510–22–P carrying out an effort requested under NMFS has determined that the level the report accompanying the of taking for this LOA request is Consolidated Appropriations Act, 2021, consistent with the findings made for to, in part, work with communities to the total taking allowable under the find measures that would mitigate noise incidental take regulations and that the caused by defense fixed wing aviation amount of take authorized under the activities. Approximately 205 active and

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reserve installations have been SUPPLEMENTARY INFORMATION: The Office Secretaries to define parameters for a identified with ‘‘covered facilities’’ of Local Defense Community responsive and competitive noise (hospitals, daycare facilities, schools, Cooperation seeks to work with mitigation program, including eligible facilities serving senior citizens, and communities and the Service Secretaries activities, and publish a Federal private residences) that appear to be to find measures that would mitigate Funding Opportunity Forecast for located within one mile or a day-night any impacts from noise caused by public comments later this year. average sound level of 65 decibel or defense fixed wing aviation activities, (1) Are you aware of noise problems greater of a military installation or with special attention to communities within your jurisdiction as a result of another location at which military fixed with new airframes, noting ‘‘all types of military fixed wing aviation activities? wing aircraft are stationed. OLDCC is mitigation efforts should be considered (2) What type of sound attenuation requesting affected communities for implementation.’’ activities are you either presently adjacent to those 205 active and reserve A significant portion of working with undertaking or believe is necessary to installations to provide feedback communities at this time is to solicit address the jet (military fixed wing through a web portal on measures to feedback from leaders and other citizens aircraft) noise issues in your mitigate defense aviation noise for of civilian jurisdictions within one mile jurisdiction—please provide as much OLDCC to consider in its efforts to or a day-night average sound level of 65 detail as possible? or greater of a military installation listed develop a community noise mitigation (3) Are there disadvantaged or in the following list in this notice on program in collaboration with the underserved populations in your Service Secretaries. what mitigation efforts should be specifically considered for this program. jurisdiction that may be unaware of this DATES: Affected jurisdictions should This feedback will be through answers jet noise and the possibility of federal provide feedback by October 4, 2021. to specific questions designed to help assistance to attenuate some portion of it? Are there recommendations for ADDRESSES: identify tools to mitigate the impact of You may submit comments reaching them directly? by any of the following methods: jet noise, and the costs involved for each. A web portal (https:// (4) Are you aware of the Federal A web portal (https:// Aviation Administration Part 150 forms.office.com/g/3pp0UCdArk) has forms.office.com/g/3pp0UCdArk) has been specifically designed to receive program if the source of your noise been specifically designed to receive emanates from a military mission this feedback from these jurisdictions this feedback from these jurisdictions over a 45-day period following attached to a civilian airport? If so, are over a 45-day period following you participating in the program and publication of this notice. publication of this notice. Several non- governmental organizations will also be undertaking what activities under that FOR FURTHER INFORMATION CONTACT: contacted to share this notice with their program? Questions about providing feedback respective membership to ensure as (5) If you have already been may be directed to: David R. Kennedy, broad response population as possible. responding to noise from military fixed 703–697–2136, david.r.kennedy.civ@ Following receipt of this feedback, the wing aircraft, how much would you mail.mil or Scott Spencer, 703–697– Office of Local Defense Community estimate you have expended and for 2133, [email protected]. Cooperation will work with the Service what? TAB A—LIST OF 205 AFFECTED MILITARY INSTALLATIONS

Military FAA part 150 status service Component Installation name City State or territory Civil airport name (1)

Air Force .... AF Guard ...... Birmingham Airport ...... Birmingham ...... Alabama ...... Birmingham Munic- Not current. ipal Airport. Navy ...... Navy Active ...... NOLF Brewton ...... Brewton ...... Alabama. Navy ...... Navy Active ...... NOLF Silverhill ...... Daphne ...... Alabama. Navy ...... Navy Active ...... NOLF Evergreen ...... Evergreen ...... Alabama. Navy ...... Navy Active ...... Barin Field ...... Foley ...... Alabama. Air Force .... AF Active ...... Maxwell AFB ...... Maxwell AFB ...... Alabama. Air Force .... AF Guard ...... Montgomery Regional Airport Montgomery ...... Alabama ...... Dannelly Field ...... Not current. ANGB. Navy ...... Navy Active ...... NOLF Summerdale ...... Summerdale ...... Alabama. Navy ...... Navy Active ...... NOLF Wolf ...... Summerdale ...... Alabama. Air Force .... AF Active ...... Elmendorf AFB (a.k.a JBER) .... Elmendorf AFB ...... Alaska. Air Force .... AF Active ...... Fort Richardson ...... Fort Richardson ...... Alaska. Air Force .... AF Active ...... Eielson AFB ...... North Pole ...... Alaska. Air Force .... AF Active ...... Davis Monthan AFB ...... Davis Monthan AFB Arizona. Air Force .... AF Active ...... Gila Bend Air Force Auxiliary Gila Bend ...... Arizona. Field. Air Force .... AF Active ...... The Barry M Goldwater Air Gila Bend ...... Arizona. Force Range. Air Force .... AF Active ...... Luke AFB ...... Luke AFB ...... Arizona. Air Force .... AF Guard ...... Sky Harbor IAP ...... Phoenix ...... Arizona ...... Phoenix Sky Harbor Not current. International Air- port. Air Force .... AF Guard ...... Tucson IAP ...... Tucson ...... Arizona ...... Tucson International Not current. Airport. Marine MC Active ...... MCAS Yuma ...... Yuma ...... Arizona. Corps. Marine MC Active ...... MCAS Yuma ...... Yuma ...... Arizona. Corps. Marine MC Active ...... MCAS Yuma ...... Yuma ...... Arizona. Corps. Air Force .... AF Guard ...... Fort Smith Map ...... Fort Smith ...... Arkansas ...... Fort Smith Municipal Not current. Airport. Air Force .... AF Guard ...... Fort Chaffee Weapons Range .. Unknown ...... Arkansas.

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TAB A—LIST OF 205 AFFECTED MILITARY INSTALLATIONS—Continued

Military FAA part 150 status service Component Installation name City State or territory Civil airport name (1)

Air Force .... AF Active ...... Little Rock AFB ...... Unknown ...... Arkansas. Air Force .... AF Active ...... Beale AFB ...... Beale AFB ...... California. Navy ...... Navy Active ...... NAS North Island ...... Coronado ...... California. Navy ...... Navy Active ...... NAF El Centro ...... El Centro ...... California. Air Force .... AF Active ...... Travis AFB ...... Fairfield ...... California. Air Force .... AF Guard ...... Fresno Yosemite International Fresno ...... California ...... Fresno Air Terminal Current. ANG. (Fresno Yosemite Airport). Navy ...... Navy Active ...... NOLF Imperial Beach ...... Imperial Beach ...... California. Navy ...... Navy Active ...... NAS Lemoore CA ...... Lemoore NAS ...... California. Air Force .... AF Active ...... Vandenberg Main Base ...... Lompoc ...... California. Army ...... Army Guard ...... NG TS AFRC Los Alamitos ...... Los Alamitos ...... California. Air Force .... AF Guard ...... Moffett Field Cantonment Area Moffett Field ...... California. Navy ...... Navy Active ...... NAVBASE Ventura Cty Point Point Mugu ...... California. Mugu CA. Navy ...... Navy Active ...... NAWS China Lake ...... Ridgecrest ...... California. Air Force .... AF Reserve ...... March ARB ...... Riverside ...... California. Marine MC Active ...... MCAS Miramar ...... San Diego ...... California. Corps. Marine MC Active ...... Twentynine Palms ...... Twentynine Palms ... California. Corps. Air Force .... AF Active ...... AF Plant 42 ...... Unknown ...... California. Air Force .... AF Active ...... Edwards AFB ...... Unknown ...... California. Air Force .... AF Active ...... USAF Academy ...... Air Force Academy .. Colorado. Air Force .... AF Active ...... USAF Academy Site 2 ...... Air Force Academy .. Colorado. Air Force .... AF Active ...... Buckley AFB ...... Aurora ...... Colorado. Air Force .... AF Active ...... Peterson AFB ...... COLORADO Colorado. SPRINGS. Air Force .... AF Guard ...... Bradley IAP ...... East Granby ...... Connecticut ...... Bradley International Not current. Air Force .... AF Guard ...... New Castle Airport ...... New Castle ...... Delaware ...... New Castle County No Participation. Airport. Air Force .... AF Active ...... Dover AFB ...... Unknown ...... Delaware. Air Force .... AF Active ...... Arbuckle Airfield ...... Avon Park ...... Florida. Air Force .... AF Active ...... Avon Park AF Range ...... Avon Park ...... Florida. Air Force .... AF Active ...... Cape Canaveral Air Force Sta- Cape Canaveral AFB Florida. tion. Air Force .... AF Active ...... Eglin Air Force Auxiliary Field 3 Crestview ...... Florida. Duke Fld. Air Force .... AF Active ...... Eglin AFB (Eglin Main and Res- Eglin AFB ...... Florida. ervation). Navy ...... Navy Active ...... Eglin AFB Navy EOD and JSF Eglin AFB ...... Florida. Air Force .... AF Reserve ...... Homestead ARB ...... Homestead ...... Florida. Navy ...... Navy Active ...... NAS Jacksonville FL ...... Jacksonville ...... Florida. Navy ...... Navy Active ...... NAVSTA Mayport FL ...... Jacksonville ...... Florida. Navy ...... Navy Active ...... OLF Whitehouse ...... Jacksonville ...... Florida. Navy ...... Navy Active ...... NAS Key West FL ...... Key West Nav Air St Florida. Air Force .... AF Active ...... Hurlburt Field ...... Mary Esther ...... Florida. Air Force .... AF Active ...... Eglin Air Force Auxiliary Field Milton ...... Florida. 10. Navy ...... Navy Active ...... NAS Whiting Field Milton FL .... Milton ...... Florida. Navy ...... Navy Active ...... NOLF Choctaw ...... Navarre ...... Florida. Air Force .... AF Active ...... Patrick AFB ...... Patrick AFB ...... Florida. Navy ...... Navy Active ...... NAS Pensacola FL ...... Pensacola ...... Florida. Air Force .... AF Guard ...... Jacksonville IAP ...... Unknown ...... Florida ...... Jacksonville Inter- No Participation. national Airport. Air Force .... AF Active ...... MacDill AFB ...... Unknown ...... Florida. Air Force .... AF Active ...... Tyndall AFB ...... Unknown ...... Florida. Army ...... Army Active ...... Fort Benning ...... Columbus ...... Georgia. Air Force .... AF Guard ...... Savannah/Hilton Head IAP ...... Garden City ...... Georgia ...... Savannah Inter- Not current. national. Air Force .... AF Reserve ...... Dobbins ARB ...... Marrietta ...... Georgia. Air Force .... AF Active ...... Moody AFB ...... Moody AFB ...... Georgia. Air Force .... AF Active ...... Robins AFB ...... Robins AFB ...... Georgia. Army ...... Army Active ...... Fort Stewart—Hunter AAF ...... Savanah ...... Georgia. Air Force .... AF Active ...... JBRM (Anderson AFB) ...... Anderson AFB ...... Guam. Marine MC Active ...... MCB Hawaii (Kaneohe Bay) ..... Kaneohe ...... Hawaii. Corps. Navy ...... Navy Active ...... CNIC PMRF Barking Sands HI Kekaha ...... Hawaii. Army ...... Army Active ...... Wheeler Army Airfield ...... Wahiawa ...... Hawaii. Air Force .... AF Guard ...... Boise Air Terminal ...... Unknown ...... Idaho ...... Boise Air Terminal— Partially current. Gowen Field. Air Force .... AF Active ...... Mountain Home AFB ...... Unknown ...... Idaho. Air Force .... AF Active ...... Scott AFB ...... Belleville ...... Illinois. Air Force .... AF Guard ...... General Wayne A Downing Pe- Peoria ...... Illinois ...... Greater Peoria Air- Not current. oria IAP. port (PIA), Peoria. Air Force .... AF Reserve ...... Grissom ARB ...... Bunker Hill ...... Indiana. Army ...... Army Guard ...... NG Camp Atterbury ...... Edinburg ...... Indiana. Air Force .... AF Guard ...... Fort Wayne IAP–1 848 Acres ... Fort Wayne ...... Indiana ...... Fort Wayne Inter- No Participation. national Airport.

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TAB A—LIST OF 205 AFFECTED MILITARY INSTALLATIONS—Continued

Military FAA part 150 status service Component Installation name City State or territory Civil airport name (1)

Air Force .... AF Guard ...... Sioux Gateway Airport (ANG) ... Sioux City ...... Iowa ...... Sioux Gateway Air- No Participation. port (Brigadier General Bud Day Field). Air Force .... AF Guard ...... Forbes Field ANG ...... Topeka ...... Kansas ...... Topeka Regional Air- No Participation. port (Forbes Field). Air Force .... AF Active ...... McConnell AFB ...... Wichita ...... Kansas. Army ...... Army Active ...... Fort Campbell KY ...... Fort Campbell ...... Kentucky. Air Force .... AF Guard ...... Louisville IAP-Standiford FL Louisville ...... Kentucky ...... Standiford Field ...... Current. Site 1. Air Force .... AF Active ...... Barksdale AFB ...... Barksdale AFB ...... Louisiana. Navy ...... Navy Active ...... NAS JRB New Orleans LA ...... Belle Chasse ...... Louisiana. Air Force .... AF Guard ...... Bangor IAP ...... Bangor ...... Maine ...... Bangor International No Participation. Airport. Air Force .... AF Active ...... JB Andrews ...... Andrews AFB ...... Maryland. Air Force .... AF Guard ...... Martin State Airport ...... Middle River ...... Maryland ...... Martin State Airport .. No Participation. Navy ...... Navy Active ...... Naval Air Station Patuxent Patuxent River ...... Maryland. River. Navy ...... Navy Active ...... Webster Field ...... Saint Inigoes ...... Maryland. Air Force .... AF Reserve ...... Westover ARB ...... Chicopee ...... Massachusetts ...... Westover Airport ...... Current. Air Force .... AF Guard ...... Otis ANG Base ...... Otis ANG, Mashpee Massachusetts. Air Force .... AF Guard ...... Barnes Map (ANG) ...... Westfield ...... Massachusetts ...... Westfield-Barnes Re- Update in progress. gional Airport. Air Force .... AF Guard ...... Selfridge ANGB ...... Mount Clemens ...... Michigan. Air Force .... AF Guard ...... Duluth IAP ...... Duluth ...... Minnesota ...... Duluth ...... Update in progress. Army ...... Army Guard ...... NG Camp Ripley ...... Little Falls ...... Minnesota. Air Force .... AF Reserve ...... Minn-St Paul ...... Minneapolis ...... Minnesota ...... Minneapolis-Saint Not current. Paul International. Air Force .... AF Guard ...... Camp Shelby Range ...... Beaumont ...... Mississippi. Air Force .... AF Active ...... Keesler AFB ...... Biloxi ...... Mississippi. Air Force .... AF Guard ...... Jackson IAP Thompson Field Camp Shelby ...... Mississippi. Site 2. Air Force .... AF Guard ...... Jackson IAP Thompson Field ... Flowood ...... Mississippi ...... Allen C. Thompson/ Not current. Jackson Inter- national. Air Force .... AF Guard ...... Key Field ...... Meridian ...... Mississippi ...... Meridian Regional No Participation. (Key Field) Airport. Navy ...... Navy Active ...... NAS Meridian MS ...... Meridian ...... Mississippi. Navy ...... Navy Active ...... OLF Bravo ...... Preston ...... Mississippi. Air Force .... AF Active ...... Columbus AFB ...... Unknown ...... Mississippi. Air Force .... AF Guard ...... Rosecrans MAP (139AG) ...... St. Joseph ...... Missouri ...... Rosecrans Memorial No Participation. Airport. Air Force .... AF Active ...... Whiteman AFB ...... Whiteman AFB ...... Missouri. Air Force .... AF Guard ...... Great Falls IAP ...... Great Falls ...... Montana ...... Great Falls Inter- Not current. national Airport (GTF), Great Falls. Air Force .... AF Guard ...... Lincoln Map ...... Lincoln ...... Nebraska ...... Lincoln Municipal Not current. Lincoln. Air Force .... AF Active ...... Offut AFB ...... Offutt AFB...... Nebraska. Navy ...... Navy Active ...... NAS Fallon NV ...... Fallon ...... Nevada. Air Force .... AF Active ...... Creech AFB ...... Indian Springs ...... Nevada. Air Force .... AF Active ...... Nellis ...... Las Vegas ...... Nevada. Air Force .... AF Guard ...... Reno Tahoe IAP ...... Reno ...... Nevada ...... Reno-Tahoe Inter- Not current. national Airport. Air Force .... AF Guard ...... Pease ANGB ...... Portsmouth ...... New Hampshire ...... Pease International .. Not current. Air Force .... AF Guard ...... Atlantic City IAP ...... Egg Harbor Town- New Jersey ...... Atlantic City Inter- Not current. ship. national Airport. Air Force .... AF Active ...... McGuire (a.k.a. JB MDL) ...... Mcguire AFB ...... New Jersey. Air Force .... AF Active ...... Lakehurst (a.k.a. JB MDL) ...... Unknown ...... New Jersey. Air Force .... AF Active ...... Cannon AFB ...... Cannon AFB ...... New Mexico. Air Force .... AF Active ...... Holloman AFB ...... Holloman AFB ...... New Mexico. Air Force .... AF Active ...... Kirtland ...... Kirtland AFB ...... New Mexico. Air Force .... AF Reserve ...... Niagara Falls ...... Niagara Falls ...... New York ...... Buffalo Niagara Inter- Not current. national. Air Force .... AF Guard ...... Hancock Field ...... Syracuse ...... New York ...... Syracuse—Hancock Not current. International. Air Force .... AF Guard ...... Stewart IAP ...... Unknown ...... New York ...... Stewart International No Participation. Airport (New York Stewart. Air Force .... AF Guard ...... Francis S Gabreski Airport ...... Westhampton Beach New York ...... Francis S. Gabreski No Participation. Airport. Marine MC Active ...... ALF Bogue ...... Bogue ...... North Carolina. Corps. Air Force .... AF Guard ...... Charlotte/Douglas IAP ...... Charlotte ...... North Carolina ...... Charlotte/Douglas Current. International Air- port (CLT), Char- lotte. Marine MC Active ...... MCAS Cherry Point ...... Cherry Point ...... North Carolina. Corps. Army ...... Army Active ...... Fort Bragg—Pope AAF ...... Fort Bragg ...... North Carolina.

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TAB A—LIST OF 205 AFFECTED MILITARY INSTALLATIONS—Continued

Military FAA part 150 status service Component Installation name City State or territory Civil airport name (1)

Army ...... Army Active ...... Fort Bragg—Camp Mackall ...... Hoffman ...... North Carolina. Air Force .... AF Active ...... Seymour Johnson AFB ...... Seymour Johnson North Carolina. AFB. Air Force .... AF Guard ...... Hector IAP ...... Fargo ...... North Dakota ...... Hector International No Participation. Airport. Air Force .... AF Active ...... Grand Forks AFB ...... Grand Forks AFB ..... North Dakota. Air Force .... AF Active ...... Minot AFB ...... Minot AFB ...... North Dakota. Air Force .... AF Guard ...... Toledo/Exp Airport ...... Swanton ...... Ohio ...... Toledo Express Air- Not current. port. Air Force .... AF Guard ...... Rickenbacker ...... Unknown ...... Ohio ...... Rickenbacker Airport Not current. Air Force .... AF Reserve ...... Youngstown ...... Vienna ...... Ohio ...... Youngstown Warren No Participation. Airport. Air Force .... AF Active ...... Wright-Patt AFB ...... Wright-Patterson Ohio. AFB. Air Force .... AF Active ...... Altus AFB ...... Altus AFB ...... Oklahoma. Army ...... Army Active ...... Fort Sill ...... Fort Sill ...... Oklahoma. Air Force .... AF Active ...... Tinker AFB ...... Oklahoma City ...... Oklahoma. Air Force .... AF Guard ...... Will Rogers World Airport ...... Oklahoma City ...... Oklahoma ...... Will Rogers World Not current. Airport. Air Force .... AF Guard ...... Tulsa IAP ...... Tulsa ...... Oklahoma ...... Tulsa International Not current. Airport. Air Force .... AF Active ...... Kegelman Air Force Auxiliary Unknown ...... Oklahoma. Field. Air Force .... AF Active ...... Vance AFB ...... Unknown ...... Oklahoma. Air Force .... AF Guard ...... Kingsley Field Cantonement Kingsley Field ...... Oregon ...... Crater Lake Klamath No Participation. Site 1. Regional. Air Force .... AF Guard ...... Portland IAP ANG ...... Portland ...... Oregon ...... Portland International Not current. Air Force .... AF Reserve ...... Pittsburgh IAP (ARS) ...... Coraopolis ...... Pennsylvania ...... Greater Pittsburgh Not current. International Air- port. Air Force .... AF Guard ...... Harrisburg IAP (ANG) ...... Middletown ...... Pennsylvania ...... Harrisburg Inter- Current. national Airport. Air Force .... AF Guard ...... Luis Munoz Marin IAP ...... Carolina ...... Puerto Rico ...... San Juan Airport/ No Participation. Luis Mun˜oz Marı´n International Air- port. Air Force .... AF Guard ...... Quonset State Airport ...... North Kingstown ...... Rhode Island ...... Quonset State Air- No Participation. port. Marine MC Active ...... MCAS Beaufort ...... Beaufort ...... South Carolina. Corps. Air Force .... AF Active ...... Shaw AFB ...... Shaw AFB ...... South Carolina. Air Force .... AF Active ...... Charleston AFB (a.k.a JB Unknown ...... South Carolina. Charleston). Air Force .... AF Guard ...... McEntire Joint National Guard Unknown ...... South Carolina. Base. Air Force .... AF Active ...... North Air Force Auxiliary Field .. Unknown ...... South Carolina. Air Force .... AF Active ...... Ellsworth AFB ...... Ellsworth AFB ...... South Dakota. Air Force .... AF Guard ...... Joe Foss Field ...... Sioux Falls ...... South Dakota ...... Sioux Falls Regional No Participation. Airport (Joe Foss Field). Air Force .... AF Guard ...... McGhee Tyson Airport ...... Louisville ...... Tennessee ...... McGhee-Tyson Air- Not Current. port. Air Force .... AF Guard ...... Memphis IAP ...... Memphis ...... Tennessee ...... Memphis Inter- Not current. national Airport. Air Force .... AF Active ...... Dyess AFB ...... Abilene ...... Texas. Navy ...... Navy Active ...... NALF Goliad ...... Berclair ...... Texas. Navy ...... Navy Active ...... ALF Cabaniss ...... Corpus Christi ...... Texas. Navy ...... Navy Active ...... ALF Waldron ...... Corpus Christi ...... Texas. Navy ...... Navy Active ...... NAS Corpus Christi TX ...... Corpus Christi ...... Texas. Army ...... Army Active ...... Fort Bliss ...... El Paso ...... Texas. Navy ...... Navy Active ...... NAS Fort Worth JRB TX ...... Fort Worth ...... Texas. Air Force .... AF Active ...... Kelly Field Annex ...... Kelly AFB ...... Texas. Army ...... Army Active ...... Fort Hood—Robert Gray AAF .. Killeen ...... Texas. Navy ...... Navy Active ...... NAS Kingsville TX ...... Kingsville ...... Texas. Navy ...... Navy Active ...... ALF Orange ...... Orange Grove ...... Texas. Air Force .... AF Active ...... Camp Bullis Training Annex ..... San Antonio ...... Texas. Air Force .... AF Active ...... Laughlin AFB ...... Unknown ...... Texas. Air Force .... AF Active ...... Randolph AFB ...... Unknown ...... Texas. Air Force .... AF Active ...... Seguin Auxiliary Field ...... Unknown ...... Texas. Air Force .... AF Active ...... Sheppard AFB ...... Unknown ...... Texas. Air Force .... AF Active ...... Spofford Aux (Laughlin Aux #1) Unknown ...... Texas. Air Force .... AF Active ...... Hill AFB ...... Hill AFB ...... Utah. Air Force .... AF Guard ...... Salt Lake City IAP ...... Salt Lake City ...... Utah ...... Salt Lake City Airport Not current. Air Force .... AF Active ...... Utah Test and Training Range Unknown ...... Utah. South UT. Air Force .... AF Guard ...... Burlington IAP ...... South Burlington ...... Vermont ...... Burlington Inter- Current. national. Air Force .... AF Active ...... Langley AFB (a.k.a JBLE) ...... Langley AFB ...... Virginia. Air Force .... AF Active ...... Fort Eustis ...... Newport News ...... Virginia. Navy ...... Navy Active ...... NAVSTA Norfolk VA ...... Norfolk ...... Virginia.

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TAB A—LIST OF 205 AFFECTED MILITARY INSTALLATIONS—Continued

Military FAA part 150 status service Component Installation name City State or territory Civil airport name (1)

Navy ...... Navy Active ...... ALF Fentress Chesapke ...... Virginia Beach ...... Virginia. Navy ...... Navy Active ...... NAS Oceana VA ...... Virginia Beach ...... Virginia. Navy ...... Navy Active ...... OLF Coupeville ...... Coupeville ...... Washington. Air Force .... AF Active ...... Fairchild AFB ...... Fairchild AFB ...... Washington. Navy ...... Navy Active ...... NAS Whidbey Island WA ...... Oak Harbor ...... Washington. Army ...... Army Active ...... McChord AFB ...... Tacoma ...... Washington. Air Force .... AF Guard ...... Yeager Airport ...... Charleston ...... West Virginia ...... Yeager Airport ...... No Participation. Air Force .... AF Guard ...... EWVRA Shepherd Field ...... Martinsburg ...... West Virginia ...... Eastern WV Re- Initiated but not com- gional Airport/ pleted. Shepherd Field. Air Force .... AF Guard ...... Volk ANGB ...... Camp Douglas ...... Wisconsin. Air Force .... AF Guard ...... Gen Mitchell IAP ...... Milwaukee ...... Wisconsin ...... General Mitchell Not current. International Air- port. Army ...... Army Reserve ...... Fort McCoy ...... Sparta ...... Wisconsin. Air Force .... AF Guard ...... Truax ANGB ...... Unknown ...... Wisconsin ...... Dane County Re- Update in progress. gional-Truax Field. Air Force .... AF Active ...... F E Warren AFB ...... Cheyenne ...... Wyoming. Air Force .... AF Guard ...... Cheyenne Regional Airport ...... Unknown ...... Wyoming ...... Cheyenne Airport ..... Not current. Note: (1) Only airports that are owned and operated by a local civilian authority will have an identified Civil Airport Name and FAA Status of the locations Part 150 Fed- eral Program.

Dated: August 16, 2021. If you use a telecommunications INFORMATION CONTACT, individuals with Aaron T. Siegel, device for the deaf (TDD) or a text disabilities can obtain this notice, the Alternate OSD Federal Register Liaison telephone (TTY), call the Federal Relay NIA, and a copy of the application in an Officer, Department of Defense. Service (FRS), toll free, at 1–800–877– accessible format. The Department will [FR Doc. 2021–17775 Filed 8–18–21; 8:45 am] 8339. provide the requestor with an accessible BILLING CODE 5001–06–P SUPPLEMENTARY INFORMATION: On July format that may include Rich Text 26, 2021, we published the NIA in the Format (RTF) or text format (txt), a Federal Register (86 FR 40021). Under thumb drive, an MP3 file, braille, large DEPARTMENT OF EDUCATION Application Requirements, ‘‘Quality of print, audiotape, or compact disc, or Project Services,’’ paragraph (c)(8)(i) other accessible format. Applications for New Awards; Training directed applicants to paragraph Electronic Access to This Document: of Interpreters for Individuals Who Are (a)(2)(i), which is not included in the Deaf or Hard of Hearing and The official version of this document is requirements. This notice corrects the the document published in the Federal Individuals Who Are DeafBlind error made in paragraph (c)(8)(i) and Register. You may access the official Program; Correction directs applicants to paragraph (a)(3) edition of the Federal Register and the AGENCY: instead of (a)(2)(i). All other Office of Special Education and Code of Federal Regulations at Rehabilitative Services, Department of requirements and conditions in the NIA www.govinfo.gov. At this site you can Education. remain the same. view this document, as well as all other ACTION: Notice; correction. Correction documents of this Department SUMMARY: On July 26, 2021, the In FR Doc. 2021–15914 appearing on published in the Federal Register, in Department of Education (Department) page 40023 of the Federal Register of text or Portable Document Format published in the Federal Register a July 26, 2021, the following corrections (PDF). To use PDF you must have notice inviting applications (NIA) for are made: Adobe Acrobat Reader, which is new awards for fiscal year (FY) 2021 for 1. On page 40023, in the right column, available free at the site. under Application Requirements, the Training of Interpreters for You may also access documents of the ‘‘Quality of Project Services,’’ (c)(8)(i), Individuals Who Are Deaf or Hard of Department published in the Federal Hearing and Individuals Who Are remove ‘‘(a)(2)(i)’’ and add in its place Register by using the article search DeafBlind program, Assistance Listing ‘‘(a)(3)’’. feature at www.federalregister.gov. Number 84.160D. We are correcting one Note: This change does not change any Specifically, through the advanced error in the Application Requirements. requirements in the notice. Applicants were All other information in the NIA, made aware of this correction through a pre- search feature at this site, you can limit including the August 30, 2021, deadline application meeting via conference call on your search to documents published by for transmittal of applications, remains July 30, 2021. The correction is included in the Department. the same. the 84.160D pre-applicant slide deck and pre- application meeting summary of questions Katherine Neas, DATES: This correction is applicable and answers, both available at https:// Acting Assistant Secretary for the Office of August 19, 2021. ncrtm.ed.gov/RSAGrantInfo.aspx. The Special Education and Rehabilitative FOR FURTHER INFORMATION CONTACT: summary of questions and answers will be Services. Kristen Rhinehart-Fernandez, U.S. available within six business days after the [FR Doc. 2021–17772 Filed 8–18–21; 8:45 am] pre-application meeting. Department of Education, 400 Maryland BILLING CODE 4000–01–P Avenue SW, Room 5094, Potomac Program Authority: 29 U.S.C. 709(c) Center Plaza, Washington, DC 20212– and 772(a) and (f). 2800. Telephone: (202) 245–6103. Accessible Format: On request to the Email: [email protected]. contact person listed under FOR FURTHER

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DEPARTMENT OF EDUCATION On page 39975, in the middle column, d. Applicant: New Hampshire under Application Requirements, Renewable Resources, LLC (New Final Priority and Requirements— ‘‘Quality of Project Services,’’ paragraph Hampshire Renewable). Training of Interpreters for Individuals (c)(8)(i), remove ‘‘paragraph (a)(2)(i)’’ e. Name of Project: Sugar River II Who Are Deaf or Hard of Hearing and and add in its place ‘‘paragraph (a)(3)’’. Hydroelectric Project (project). Individuals Who Are DeafBlind Program Authority: 29 U.S.C. 709(c) f. Location: On the Sugar River in Program—Correction and 772(a) and (f). Sullivan County, New Hampshire. The Accessible Format: On request to the project does not occupy any federal AGENCY: Office of Special Education and contact person listed under FOR FURTHER land. Rehabilitative Services, Department of INFORMATION CONTACT, individuals with g. Filed Pursuant to: Federal Power Education. disabilities can obtain this document, Act, 16 U.S.C. 791(a)–825(r). ACTION: Final priority and requirements; the NFP, and a copy of the application h. Applicant Contact: Mr. Paul V. correction. in an accessible format. The Department Nolan, New Hampshire Renewable will provide the requestor with an Resources, LLC, 5515 North 17th Street, SUMMARY: On July 26, 2021, the accessible format that may include Rich Arlington, VA 22205; Phone at (703) Department of Education (Department) Text Format (RTF) or text format (txt), 534–5509, or email at pvnpvndiver@ published in the Federal Register a a thumb drive, an MP3 file, braille, large gmail.com. notice of final priority and requirements i. FERC Contact: Michael Watts at print, audiotape, or compact disc, or (NFP) for new awards for fiscal year (202) 502–6123, or michael.watts@ other accessible format. (FY) 2021 for the Training of ferc.gov. Electronic Access to This Document: Interpreters for Individuals Who Are j. The current license for the Sugar The official version of this document is Deaf or Hard of Hearing and Individuals River II Hydroelectric Project is held by the document published in the Federal Who Are DeafBlind program, Assistance Sugar River Hydro II, LLC (Sugar River Register. You may access the official Listing Number 84.160D. We are Hydro) under Project No. 10934. On edition of the Federal Register and the correcting one error in the Application April 30, 2019, Sugar River Hydro filed Code of Federal Regulations at Requirements. All other information in a letter stating that it did not intend to www.govinfo.gov. At this site you can the NFP remains the same. file an application for a subsequent view this document, as well as all other license. In response to a solicitation DATES: This correction is applicable documents of this Department August 19, 2021. notice issued by the Commission on published in the Federal Register, in May 8, 2019, New Hampshire FOR FURTHER INFORMATION CONTACT: text or Portable Document Format Renewable filed a pre-application Kristen Rhinehart-Fernandez, U.S. (PDF). To use PDF you must have document and notice of intent to file an Department of Education, 400 Maryland Adobe Acrobat Reader, which is application for the project. Commission Avenue SW, Room 5094, Potomac available free at the site. staff assigned Project No. 15003 for the Center Plaza, Washington, DC 20212– You may also access documents of the licensing proceeding initiated by New 2800. Telephone: (202) 245–6103. Department published in the Federal Hampshire Renewable’s filing. Email: [email protected]. Register by using the article search k. Deadline for filing scoping If you use a telecommunications feature at www.federalregister.gov. comments: September 13, 2021. device for the deaf (TDD) or a text Specifically, through the advanced The Commission strongly encourages telephone (TTY), call the Federal Relay search feature at this site, you can limit electronic filing. Please file scoping Service (FRS), toll free, at 1–800–877– your search to documents published by comments using the Commission’s 8339. the Department. eFiling system at https:// SUPPLEMENTARY INFORMATION: On July Katherine Neas, ferconline.ferc.gov/FERCOnline.aspx. 26, 2021, we published the NFP in the Acting Assistant Secretary for the Office of Commenters can submit brief comments Federal Register (86 FR 39965). In the Special Education and Rehabilitative up to 6,000 characters, without prior NFP, under Application Requirements, Services. registration, using the eComment system ‘‘Quality of Project Services,’’ paragraph [FR Doc. 2021–17771 Filed 8–18–21; 8:45 am] at https://ferconline.ferc.gov/ (c)(8)(i) directed applicants to paragraph BILLING CODE 4000–01–P QuickComment.aspx. You must include (a)(2)(i), which is not included in the your name and contact information at requirements. We are correcting the the end of your comments. For cross-reference in paragraph (c)(8)(i) to assistance, please contact FERC Online direct applicants to paragraph (a)(3) DEPARTMENT OF ENERGY Support at FERCOnlineSupport@ instead of (a)(2)(i). All other ferc.gov, (866) 208–3676 (toll free), or requirements and conditions in the NFP Federal Energy Regulatory (202) 502–8659 (TTY). In lieu of remain the same. Commission electronic filing, you may submit a Applicants were made aware of this paper copy. Submissions sent via the [Project No. 15003–001] correction in a pre-application meeting U.S. Postal Service must be addressed via conference call on July 30, 2021. The New Hampshire Renewable Resources, to: Kimberly D. Bose, Secretary, Federal correction is included in the 84.160D LLC; Notice Soliciting Scoping Energy Regulatory Commission, 888 pre-application slide deck and pre- Comments First Street NE, Room 1A, Washington, application meeting summary of DC 20426. Submissions sent via any questions and answers, both available at Take notice that the following other carrier must be addressed to: https://ncrtm.ed.gov/ hydroelectric application has been filed Kimberly D. Bose, Secretary, Federal RSAGrantInfo.aspx. with the Commission and is available Energy Regulatory Commission, 12225 for public inspection. Wilkins Avenue, Rockville, Maryland Correction a. Type of Application: Subsequent 20852. All filings must clearly identify In FR Doc. 2021–15915, beginning on Minor License. the project name and docket number on page 39965 in the issue of July 26, 2021, b. Project No.: 15003–001. the first page: Sugar River II make the following correction: c. Date Filed: February 8, 2021. Hydroelectric Project (P–15003–001).

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The Commission’s Rules of Practice approximately 400-foot-long bypassed issues and alternatives to be addressed and Procedure require all intervenors reach of the Sugar River. in the NEPA document, as described in filing documents with the Commission Article 403 of the current license, as scoping document 1 (SD1), issued to serve a copy of that document on amended on June 27, 1996, requires a August 13, 2021. each person on the official service list minimum flow release to the bypassed Copies of the SD1 outlining the for the project. Further, if an intervenor reach of: (1) 15 cubic feet per second subject areas to be addressed in the files comments or documents with the (cfs) or inflow, whichever is less, NEPA document were distributed to the Commission relating to the merits of an through the downstream fishway from parties on the Commission’s mailing list issue that may affect the responsibilities June 16 through March 31 to protect and the applicant’s distribution list. of a particular resource agency, they aquatic resources and water quality in Copies of the SD1 may be viewed on the must also serve a copy of the document the bypassed reach; and (2) 20 cfs from web at http://www.ferc.gov using the on that resource agency. April 1 through June 15, during the ‘‘eLibrary’’ link. Enter the docket l. The application is not ready for downstream migration season for number excluding the last three digits in environmental analysis at this time. Atlantic Salmon smolts. The average the docket number field to access the m. The existing Sugar River II annual energy production of the project document. For assistance, call 1–866– Hydroelectric Project consists of: (1) A from 2010 to 2015 was 650.44 MWh. 208–3676 or for TTY, (202) 502–8659. 113.5-foot-long, 10-foot-high reinforced New Hampshire Renewable proposes concrete dam that includes the to: (1) Continue to operate the project in Dated: August 13, 2021. following sections: (a) A 35-foot-long an instantaneous run-of-river mode, Kimberly D. Bose, left abutment section with a cut-off wall; such that project outflow approximates Secretary. (b) a 42.5-foot-long spillway section inflow; (2) release a year-round [FR Doc. 2021–17783 Filed 8–18–21; 8:45 am] with a crest elevation of 822 feet minimum flow of 15 cfs; (3) install an BILLING CODE 6717–01–P National Geodetic Vertical Datum 1929 automation system to operate the project (NGVD 29) that contains: (i) Two 11.5- in a run-of-river mode; and (4) consult foot-wide, 10-foot-high stanchion bays with the New Hampshire State Historic DEPARTMENT OF ENERGY equipped with wooden stop logs; (ii) a Preservation Officer before beginning 13-foot-wide, 10-foot-high any land-disturbing activities or Federal Energy Regulatory hydraulically-operated steel slide gate; alterations to known historic structures Commission and (iii) a 3-foot-wide sluiceway; and (c) within the project boundary. [Project No. 2879–012] a 36-foot-long right abutment section n. In addition to publishing the full with a cut-off wall; (2) a 1.4-acre text of this document in the Federal Green Mountain Power Corporation; impoundment with a storage capacity of Register, the Commission provides all Notice of Availability of Draft 11 acre-feet at an elevation of 822 feet interested persons an opportunity to Environmental Assessment NGVD 29; (3) a 14-foot-wide, 12-foot- view and/or print the contents via the high intake structure adjacent to the internet through the Commission’s In accordance with the National right abutment equipped with a Home Page (http://www.ferc.gov) using Environmental Policy Act of 1969 and trashrack with 1-inch clear bar spacing; the ‘‘eLibrary’’ link. Enter the docket the Federal Energy Regulatory (4) a 650-foot-long buried penstock that number excluding the last three digits in Commission’s (Commission) includes a 400-foot-long, 7-foot- the docket number field to access the regulations, 18 CFR part 380, the Office diameter steel section and a 250-foot- document. For assistance, contact FERC of Energy Projects has reviewed the long, 7-foot-diameter concrete section; at [email protected] or call application for license for the Bolton (5) a 35-foot-long, 27-foot-wide concrete toll-free, (866) 208–3676 or TYY, (202) Falls Hydroelectric Project, located on and brick masonry powerhouse 502–8659. the Winooski River in Washington containing a single 200-kilowatt o. You may also register online at County, Vermont, and has prepared a Francis-type turbine-generator unit; (6) a https://ferconline.ferc.gov/ Draft Environmental Assessment (DEA) 75-foot-long, 4.16-kilovolt overhead FERCOnline.aspx to be notified via for the project. No federal land is transmission line and a transformer that email of new filings and issuances occupied by project works or located connects the project to the local utility related to this or other pending projects. within the project boundary. distribution system; and (7) appurtenant For assistance, contact FERC Online The DEA contains staff’s analysis of facilities. Support. the potential environmental impacts of Downstream fish passage facilities p. Scoping Process the project and concludes that licensing include the 3-foot-wide sluiceway in the Commission staff will prepare either the project, with appropriate dam spillway and a 3-foot-deep plunge an environmental assessment (EA) or an environmental protective measures, pool located downstream of the Environmental Impact Statement (EIS) would not constitute a major federal stanchion bays. The project also that describes and evaluates the action that would significantly affect the includes an existing parking area on the probable effects, if any, of the licensee’s quality of the human environment. north bank of the project’s proposed action and alternatives. The The Commission provides all impoundment. EA or EIS will consider environmental interested persons with an opportunity Article 402 of the current license impacts and reasonable alternatives to to view and/or print the EA via the requires the licensee to operate the the proposed action. The Commission’s internet through the Commission’s project in an instantaneous run-of-river scoping process will help determine the Home Page (http://www.ferc.gov/), using mode. The project is operated in a run- required level of analysis and satisfy the the ‘‘eLibrary’’ link. Enter the docket of-river mode by manually raising and NEPA scoping requirements, number, excluding the last three digits lowering the spillway slide gate, and irrespective of whether the Commission in the docket number field, to access the removing/adding stop logs to the prepares an EA or an EIS. At this time, document. At this time, the Commission stanchion bays to pass flows and we do not anticipate holding on-site has suspended access to the maintain a constant impoundment scoping meetings. Instead, we are Commission’s Public Reference Room, water surface elevation of 822 feet soliciting written comments and due to the proclamation declaring a NGVD 29. The project creates an suggestions on the preliminary list of National Emergency concerning the

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Novel Coronavirus Disease (COVID–19), Filed Date: 8/13/21. Transco, ADM Milling and NYISO SA issued by the President on March 13, Accession Number: 20210813–5030. No. 2643 to be effective 7/28/2021. 2020. For assistance, contact FERC Comment Date: 5 p.m. ET 9/3/21. Filed Date: 8/13/21. Online Support at Docket Numbers: EG21–218–000. Accession Number: 20210813–5125. [email protected], or toll- Applicants: E. BarreCo Corp LLC. Comment Date: 5 p.m. ET 9/3/21. free at (866) 208–3676, or for TTY, (202) Description: Notice of Self- Docket Numbers: ER21–2673–000. 502–8659. Certification of Exempt Wholesale Applicants: PJM Interconnection, You may also register online at Generator Status of E. BarreCo Corp L.L.C. https://ferconline.ferc.gov/ LLC. Description: § 205(d) Rate Filing: eSubscription.aspx to be notified via Filed Date: 8/13/21. Original WMPA 6159; Queue No. AG1– email of new filings and issuances Accession Number: 20210813–5051. 148 to be effective 7/14/2021. related to this or other pending projects. Comment Date: 5 p.m. ET 9/3/21. Filed Date: 8/13/21. For assistance, contact FERC Online Docket Numbers: EG21–219–000. Accession Number: 20210813–5126. Support. Applicants: Lick Creek Solar, LLC. Comment Date: 5 p.m. ET 9/3/21. Any comments should be filed within Description: Self-Certification of EG or Docket Numbers: ER21–2674–000. 30 days from the date of this notice. FC of Lick Creek Solar, LLC. Applicants: Borderlands Wind, LLC. The Commission strongly encourages Filed Date: 8/13/21. Description: Baseline eTariff Filing: electronic filing. Please file comments Accession Number: 20210813–5150. Borderlands Wind, LLC Application for using the Commission’s eFiling system Comment Date: 5 p.m. ET 9/3/21. Market-Based Rate Authorization to be at https://ferconline.ferc.gov/ effective 10/12/2021. FERCOnline.aspx. Commenters can Take notice that the Commission received the following electric rate Filed Date: 8/13/21. submit brief comments up to 6,000 Accession Number: 20210813–5138. filings: characters, without prior registration, Comment Date: 5 p.m. ET 9/3/21. Docket Numbers: ER20–1734–002. using the eComment system at https:// Docket Numbers: ER21–2675–000. Applicants: Alabama Power ferconline.ferc.gov/Quick Applicants: Southwest Power Pool, Company. Comment.aspx. You must include your Inc. name and contact information at the end Description: Compliance filing: Order Description: § 205(d) Rate Filing: of your comments. For assistance, No. 864 OATT Second Deficiency 3285R4 AEP Energy Partners, Inc. please contact FERC Online Support. In Response Filing to be effective N/A. NITSA and NOA Cancellation to be Filed Date: 8/13/21. lieu of electronic filing, you may submit effective 7/1/2021. a paper copy. Submissions sent via the Accession Number: 20210813–5153. Filed Date: 8/13/21. U.S. Postal Service must be addressed Comment Date: 5 p.m. ET 9/3/21. Accession Number: 20210813–5140. to: Kimberly D. Bose, Secretary, Federal Docket Numbers: ER21–1858–002. Comment Date: 5 p.m. ET 9/3/21. Energy Regulatory Commission, 888 Applicants: Northern States Power Docket Numbers: ER21–2676–000. First Street NE, Room 1A, Washington, Company, a Minnesota corporation. Applicants: Southwest Power Pool, DC 20426. Submissions sent via any Description: Tariff Amendment: Inc. other carrier must be addressed to: CAPX2020–BRKGS–OMA–537–Supp Description: Compliance filing: Kimberly D. Bose, Secretary, Federal Filing–0.1.2 to be effective 10/12/2021. Overlapping Congestion Compliance Energy Regulatory Commission, 12225 Filed Date: 8/13/21. Filing in Response to Order in EL17–89 Wilkins Avenue, Rockville, Maryland Accession Number: 20210813–5148. to be effective 3/31/2022. 20852. The first page of any filing Comment Date: 5 p.m. ET 9/3/21. Filed Date: 8/13/21. should include docket number P–2879– Docket Numbers: ER21–1934–002. Accession Number: 20210813–5144. 012. Applicants: Northern States Power Comment Date: 5 p.m. ET 9/3/21. Any questions regarding this notice Company, a Minnesota corporation. Docket Numbers: ER21–2677–000. may be directed to Michael Tust at (202) Description: Tariff Amendment: Applicants: Midcontinent 502–6522 or [email protected]. CAPX2020-Fargo-OMA–307– Independent System Operator, Inc. Dated: August 13, 2021. Supplemental Filing 0.1.2 to be effective Description: Compliance filing: 2021– Kimberly D. Bose, 10/12/2021. 08–13_MISO and SPP Compliance filing Secretary. Filed Date: 8/13/21. re Pseudo-Tie to be effective 3/31/2022. [FR Doc. 2021–17784 Filed 8–18–21; 8:45 am] Accession Number: 20210813–5135. Filed Date: 8/13/21. Comment Date: 5 p.m. ET 9/3/21. BILLING CODE 6717–01–P Accession Number: 20210813–5145. Docket Numbers: ER21–2670–000. Comment Date: 5 p.m. ET 9/3/21. Applicants: PJM Interconnection, Docket Numbers: ER21–669–004. DEPARTMENT OF ENERGY L.L.C. Applicants: Morongo Transmission Description: § 205(d) Rate Filing: LLC. Federal Energy Regulatory Original ISA, SA No. 6125 and Original Description: Compliance filing: Commission ICSA, SA No. 6126; Queue No. AD2– Amended Compliance Filing to be 134 to be effective 7/16/2021. effective 5/15/2021. Combined Notice of Filings #1 Filed Date: 8/12/21. Filed Date: 8/12/21. Take notice that the Commission Accession Number: 20210812–5137. Accession Number: 20210812–5144. received the following exempt Comment Date: 5 p.m. ET 9/2/21. Comment Date: 5 p.m. ET 9/2/21. wholesale generator filings: Docket Numbers: ER21–2672–000. The filings are accessible in the Docket Numbers: EG21–217–000. Applicants: New York Transco, LLC, Commission’s eLibrary system (https:// Applicants: Delilah Solar Energy LLC. New York Independent System elibrary.ferc.gov/idmws/search/ Description: Notice of Self- Operator, Inc. fercgensearch.asp) by querying the Certification of Exempt Wholesale Description: § 205(d) Rate Filing: New docket number. Generator Status of Delilah Solar Energy York Transco, LLC submits tariff filing Any person desiring to intervene or LLC. per 35.13(a)(2)(iii: 205 EPCA among protest in any of the above proceedings

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must file in accordance with Rules 211 j. Cooperating agencies: Federal, state, approximately 21,000-foot-long and 214 of the Commission’s local, and tribal agencies with transmission line; and (6) appurtenant Regulations (18 CFR 385.211 and jurisdiction and/or special expertise facilities. Beaver City Corporation 385.214) on or before 5:00 p.m. Eastern with respect to environmental issues proposes to abandon the existing time on the specified comment date. that wish to cooperate in the powerhouse and tailrace and construct: Protests may be considered, but preparation of the environmental (1) A new 40-foot-long by 27-foot-wide intervention is necessary to become a document should follow the powerhouse to contain a new turbine- party to the proceeding. instructions for filing such requests generator with an installed capacity of eFiling is encouraged. More detailed described in item l below. Cooperating 720 kilowatts, and (2) a new information relating to filing agencies should note the Commission’s approximately 50-foot-long by requirements, interventions, protests, policy that agencies that cooperate in approximately 7.5-foot-wide to 19-foot- service, and qualifying facilities filings the preparation of the environmental wide tailrace. The new powerhouse and can be found at: http://www.ferc.gov/ document cannot also intervene. See, 94 tailrace would be constructed docs-filing/efiling/filing-req.pdf. For FERC ¶ 61,076 (2001). approximately 50 feet upstream of the other information, call (866) 208–3676 k. Pursuant to section 4.32(b)(7) of 18 existing powerhouse, and the existing (toll free). For TTY, call (202) 502–8659. CFR of the Commission’s regulations, if powerhouse would be retained within any resource agency, Indian Tribe, or Dated: August 13, 2021. the project boundary as an historic person believes that an additional structure. Beaver City Corporation also Debbie-Anne A. Reese, scientific study should be conducted in Deputy Secretary. proposes to remove approximately order to form an adequate factual basis 20,930 feet of the existing 12.5-kilovolt [FR Doc. 2021–17797 Filed 8–18–21; 8:45 am] for a complete analysis of the transmission line from the project. BILLING CODE 6717–01–P application on its merit, the resource agency, Indian Tribe, or person must file o. In addition to publishing the full a request for a study with the text of this notice in the Federal DEPARTMENT OF ENERGY Commission not later than 60 days from Register, the Commission provides all the date of filing of the application, and interested persons an opportunity to Federal Energy Regulatory serve a copy of the request on the view and/or print the contents of this Commission applicant. notice, as well as other documents in [Project No. 1858–023] l. Deadline for filing additional study the proceeding (e.g., license application) requests and requests for cooperating via the internet through the Beaver City Corporation; Notice of agency status: September 28, 2021. Commission’s Home Page (http:// Application Tendered for Filing With The Commission strongly encourages www.ferc.gov) using the ‘‘eLibrary’’ link. the Commission and Soliciting electronic filing. Please file additional Enter the docket number excluding the Additional Study Requests and study requests and requests for last three digits in the docket number Cooperating Agencies and cooperating agency status using the field to access the document (P–1858– Establishing Procedural Schedule for Commission’s eFiling system at https:// 023). At this time, the Commission has Relicensing and a Deadline for ferconline.ferc.gov/FERCOnline.aspx. suspended access to the Commission’s Submission of Final Amendments For assistance, please contact FERC Public Reference Room due to the Online Support at proclamation declaring a National Take notice that the following [email protected], (866) Emergency concerning the Novel hydroelectric application has been filed 208–3676 (toll free), or (202) 502–8659 Coronavirus Disease (COVID–19) issued with the Commission and is available (TTY). In lieu of electronic filing, you by the President on March 13, 2020. For for public inspection. may submit a paper copy. Submissions assistance, contact FERC at a. Type of Application: New Minor sent via the U.S. Postal Service must be [email protected] or call License. b. Project No.: 1858–023. addressed to: Kimberly D. Bose, toll-free, (866) 208–3676 or (202) 502– c. Date filed: July 30, 2021. Secretary, Federal Energy Regulatory 8659 (TTY). d. Applicant: Beaver City Corporation. Commission, 888 First Street NE, Room You may also register online at http:// e. Name of Project: Beaver City 1A, Washington, DC 20426. www.ferc.gov/docs-filing/ Canyon Plant No. 2 Hydroelectric Submissions sent via any other carrier esubscription.asp to be notified via Project. must be addressed to: Kimberly D. Bose, email of new filings and issuances f. Location: On the Beaver River, in Secretary, Federal Energy Regulatory related to this or other pending projects. Beaver County, Utah, about 5 miles east Commission, 12225 Wilkins Avenue, For assistance, contact FERC Online of the city of Beaver. The project Rockville, Maryland 20852. All filings Support. currently occupies 10.18 acres of federal must clearly identify the project name p. Procedural schedule and final land administered by the U.S. Forest and docket number on the first page: amendments: The application will be Service, and 1.87 acres of federal land Beaver City Canyon Plant No. 2 processed according to the following managed by the U.S. Bureau of Land Hydroelectric Project (P–1858–023). preliminary schedule. Revisions to the Management. As proposed, the project m. The application is not ready for schedule will be made as appropriate. would occupy 11.5 acres of federal land environmental analysis at this time. administered by the U.S. Forest Service. n. Project Description: The existing g. Filed Pursuant to: Federal Power project consists of: (1) A 17-foot-high by Issue Deficiency Letter/ September 2021. Request for Additional Act 16 U.S.C. 791 (a)–825(r). 65-foot-wide diversion dam; (2) a 30- inch-diameter, 11,450-foot-long black Information. h. Applicant Contact: Jason Brown, Issue Acceptance Letter .. December 2021. Beaver City Manager, 30 West 300 steel penstock; (3) a 34-foot-long by 41- Issue Scoping Document January 2022. North, Beaver, UT 84713; (435) 438– foot-wide stone powerhouse containing 1. 2451. an impulse turbine and one generating Request for Additional In- March 2022. i. FERC Contact: Evan Williams at unit with an installed capacity of 625 formation (if necessary). (202) 502–8462, or at evan.williams@ kilowatts; (4) a 4-foot-wide by 150-foot- Issue Scoping Document April 2022. ferc.gov. long tailrace channel; (5) a 12.5-kilovolt, 2 (if necessary).

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Notice of Ready for Envi- April 2022. The U.S. Army Corps of Engineers The EA is not a decision document. ronmental Analysis. (COE) is a federal cooperating agency It presents Commission staff’s who assisted us in preparing this EA independent analysis of the Final amendments to the application because they have jurisdiction by law or environmental issues for the must be filed with the Commission no special expertise with respect to impacts Commission to consider when later than 30 days from the issuance to waters of the U.S. The COE may addressing the merits of all issues in date of the notice of ready for adopt the EA per 40 CFR 1501.8 if, after this proceeding. Any person wishing to environmental analysis. an independent review of the document, comment on the EA may do so. Your Dated: August 13, 2021. it concludes that their requirements comments should focus on the EA’s Kimberly D. Bose, and/or regulatory responsibilities have disclosure and discussion of potential Secretary. been satisfied. However, the COE would environmental effects, reasonable alternatives, and measures to avoid or [FR Doc. 2021–17786 Filed 8–18–21; 8:45 am] present its own conclusions and recommendations in its respective and lessen environmental impacts. The more BILLING CODE 6717–01–P applicable records of decision or specific your comments, the more useful determinations. Otherwise, it may elect they will be. To ensure that the DEPARTMENT OF ENERGY to conduct its own supplemental Commission has the opportunity to environmental analyses. consider your comments prior to Federal Energy Regulatory The proposed Amendment Project making its decision on this project, it is Commission includes the following: important that we receive your • 120 trenchless crossings (117 comments in Washington, DC on or [Docket No. CP21–57–000] conventional bores, 2 guided before 5:00 p.m. Eastern Time on conventional bores, and 1 Direct Pipe®) September 13, 2021. Mountain Valley Pipeline, LLC; Notice of 47 wetlands and 136 streams in For your convenience, there are three of Availability of the Environmental Wetzel, Lewis, Webster, Nicholas, methods you can use to file your Assessment for the Proposed Greenbrier, Summers, and Monroe comments to the Commission. The Mountain Valley Pipeline Amendment counties, West Virginia and Giles, Commission encourages electronic filing Project Montgomery, Roanoke, Franklin, and of comments and has staff available to Pittsylvania, counties, Virginia; assist you at (866) 208–3676 or [email protected]. Please The staff of the Federal Energy • avoidance of one wetland via a shift carefully follow these instructions so Regulatory Commission (FERC or in the permanent operational right-of- that your comments are properly Commission) has prepared an way at MP 0.70; environmental assessment (EA) for the recorded. • avoidance of one waterbody due to Mountain Valley Pipeline Amendment (1) You can file your comments a route adjustment at MP 230.8; and Project (Amendment Project), proposed electronically using the eComment • 24-hour construction activities at by Mountain Valley Pipeline, LLC feature on the Commission’s website the previously authorized Gauley River (Mountain Valley) in the above- (www.ferc.gov) under the link to FERC and Roanoke River, two guided referenced docket. Mountain Valley Online. This is an easy method for conventional bore crossings, the Direct requests authorization to change the submitting brief, text-only comments on Pipe® crossing, and three conventional crossing method of specific waterbodies a project; bore locations. and wetlands from open-cut dry (2) You can also file your comments The Commission mailed a copy of the crossings (as authorized by its October electronically using the eFiling feature Notice of Availability to federal, state, 13, 2017 Certificate of Public on the Commission’s website and local government representatives Convenience and Necessity [Certificate]) (www.ferc.gov) under the link to FERC and agencies; elected officials; to trenchless methods (conventional Online. With eFiling, you can provide environmental and public interest bore, guided conventional bore, or comments in a variety of formats by groups; Native American tribes; Direct Pipe® 1). In addition, Mountain attaching them as a file with your potentially affected landowners and Valley requests authorization for two submission. New eFiling users must other interested individuals and groups; minor route adjustments to avoid first create an account by clicking on and newspapers and libraries in the wetlands and waterbodies and ‘‘eRegister.’’ You must select the type of project area. The EA is only available in authorization to conduct nighttime filing you are making. If you are filing electronic format. It may be viewed and construction at eight trenchless a comment on a particular project, downloaded from the FERC’s website crossings. please select ‘‘Comment on a Filing’’; or (www.ferc.gov), on the natural gas The EA assesses the potential (3) You can file a paper copy of your environmental documents page (https:// environmental effects of the comments by mailing them to the www.ferc.gov/industries-data/natural- construction and operation of the Commission. Be sure to reference the gas/environment/environmental- Amendment Project in accordance with project docket number (CP21–57–000) documents). In addition, the EA may be the requirements of the National on your letter. Submissions sent via the accessed by using the eLibrary link on Environmental Policy Act (NEPA). The U.S. Postal Service must be addressed the FERC’s website. Click on the FERC staff concludes that approval of to: Kimberly D. Bose, Secretary, Federal eLibrary link (https://elibrary.ferc.gov/ the proposed project, with appropriate Energy Regulatory Commission, 888 eLibrary/search), select ‘‘General mitigating measures, would not First Street NE, Room 1A, Washington, Search’’ and enter the docket number in constitute a major federal action DC 20426. Submissions sent via any the ‘‘Docket Number’’ field, (i.e., CP21– significantly affecting the quality of the other carrier must be addressed to: 57). Be sure you have selected an human environment. Kimberly D. Bose, Secretary, Federal appropriate date range. For assistance, Energy Regulatory Commission, 12225 please contact FERC Online Support at Wilkins Avenue, Rockville, Maryland 1 Direct Pipe® is a construction method developed by Herrenknecht AG that combines [email protected] or toll free 20852. microtunneling and horizontal direction drill at (866) 208–3676, or for TTY, contact Filing environmental comments will (HDD). (202) 502–8659. not give you intervenor status, but you

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do not need intervenor status to have e. Name of Project: Grand Rapids Drawdown Plan, which would allow the your comments considered. Only Hydroelectric Project. licensee to lower the reservoir in order intervenors have the right to seek f. Location: The project is located on to repair damaged flashboards on the rehearing or judicial review of the the Menominee River in Marinette overflow spillway. The licensee Commission’s decision. At this point in County, Wisconsin, and Menominee proposes to draw down the reservoir to this proceeding, the timeframe for filing County, Michigan. a target elevation of 661.45 feet, which timely intervention requests has g. Filed Pursuant to: Federal Power is 3 feet below the required minimum expired. Any person seeking to become Act 16 U.S.C. 791a–825r. reservoir water surface elevation. The a party to the proceeding must file a h. Applicant Contact: Mr. James licensee would begin the drawdown on motion to intervene out-of-time Nuthals, Principal Environmental or before September 7, 2021, and return pursuant to Rule 214(b)(3) and (d) of the Consultant, Wisconsin Public Service the reservoir to its normal operating Commission’s Rules of Practice and Corporation, 700 North Adams Street, elevation the week of October 4, 2021. Procedures (18 CFR 385.214(b)(3) and P.O. Box 19001, Green Bay, WI 54307– The minimum flow requirement under (d)) and show good cause why the time 9001; (920) 433–1460; james.nuthals@ Article 402 of the license would be limitation should be waived. Motions to wecenergygroup.com. maintained during the drawdown intervene are more fully described at i. FERC Contact: Linda Stewart, (202) period; however, the run-of-river https://www.ferc.gov/ferc-online/ferc- 502–8184, [email protected]. operation and reservoir water surface online/how-guides. j. Deadline for filing comments, elevation requirements under Article Additional information about the motions to intervene, and protests: 401 would be temporarily modified project is available from the August 30, 2021. during the drawdown period. Commission’s Office of External Affairs, The Commission strongly encourages l. Locations of the Application: This at (866) 208–FERC, or on the FERC electronic filing. Please file comments, filing may be viewed on the website (www.ferc.gov) using the motions to intervene, and protests using Commission’s website at http:// eLibrary link. The eLibrary link also the Commission’s eFiling system at www.ferc.gov using the ‘‘eLibrary’’ link. provides access to the texts of all formal http://www.ferc.gov/docs-filing/ Enter the docket number excluding the documents issued by the Commission, efiling.asp. Commenters can submit last three digits in the docket number such as orders, notices, and brief comments up to 6,000 characters, field to access the document. You may rulemakings. without prior registration, using the also register online at http:// In addition, the Commission offers a eComment system at http:// www.ferc.gov/docs-filing/ free service called eSubscription which www.ferc.gov/docs-filing/ esubscription.asp to be notified via allows you to keep track of all formal ecomment.asp. You must include your email of new filings and issuances issuances and submittals in specific name and contact information at the end related to this or other pending projects. dockets. This can reduce the amount of of your comments. For assistance, For assistance, call 1–866–208–3676 or time you spend researching proceedings please contact FERC Online Support at email [email protected], for by automatically providing you with [email protected], (866) TTY, call (202) 502–8659. Agencies may notification of these filings, document 208–3676 (toll free), or (202) 502–8659 obtain copies of the application directly summaries, and direct links to the (TTY). In lieu of electronic filing, you from the applicant. documents. Go to https://www.ferc.gov/ may submit a paper copy. Submissions m. Individuals desiring to be included ferc-online/overview to register for sent via the U.S. Postal Service must be on the Commission’s mailing list should eSubscription. addressed to: Kimberly D. Bose, so indicate by writing to the Secretary Dated: August 13, 2021. Secretary, Federal Energy Regulatory of the Commission. Commission, 888 First Street NE, Room n. Comments, Protests, or Motions to Kimberly D. Bose, 1A, Washington, DC 20426. Intervene: Anyone may submit Secretary. Submissions sent via any other carrier comments, a protest, or a motion to [FR Doc. 2021–17782 Filed 8–18–21; 8:45 am] must be addressed to: Kimberly D. Bose, intervene in accordance with the BILLING CODE 6717–01–P Secretary, Federal Energy Regulatory requirements of Rules of Practice and Commission, 12225 Wilkins Avenue, Procedure, 18 CFR 385.210, .211, .214, Rockville, Maryland 20852. The first respectively. In determining the DEPARTMENT OF ENERGY page of any filing should include the appropriate action to take, the Federal Energy Regulatory docket number P–2433–125. Comments Commission will consider all protests or Commission emailed to Commission staff are not other comments filed, but only those considered part of the Commission who file a motion to intervene in [Project No. 2433–125] record. accordance with the Commission’s The Commission’s Rules of Practice Rules may become a party to the Wisconsin Public Service Corporation; and Procedure require all intervenors proceeding. Any comments, protests, or Notice of Application Accepted for filing documents with the Commission motions to intervene must be received Filing and Soliciting Comments, to serve a copy of that document on on or before the specified comment date Motions To Intervene, and Protests each person whose name appears on the for the particular application. August 13, 2021. official service list for the project. o. Filing and Service of Documents: Take notice that the following Further, if an intervenor files comments Any filing must (1) bear in all capital hydroelectric application has been filed or documents with the Commission letters the title ‘‘COMMENTS’’, with the Commission and is available relating to the merits of an issue that ‘‘PROTEST’’, or ‘‘MOTION TO for public inspection: may affect the responsibilities of a INTERVENE’’ as applicable; (2) set forth a. Type of Application: Reservoir particular resource agency, it must also in the heading the name of the applicant Drawdown Plan. serve a copy of the document on that and the project number of the b. Project No.: 2433–125. resource agency. application to which the filing c. Date Filed: July 28, 2021. k. Description of Request: Wisconsin responds; (3) furnish the name, address, d. Applicant: Wisconsin Public Public Service Corporation (licensee) and telephone number of the person Service Corporation. requests approval of its filed Reservoir commenting, protesting, or intervening;

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and (4) otherwise comply with the should be considered for such studies; The proposed pumped storage project requirements of 18 CFR 385.2001 and other issues related to verifying would consist of the following: (1) An through 385.2005. All comments, forecasted benefits. The workshop may upper reservoir with a maximum water motions to intervene, or protests must also discuss other issues, including surface elevation of 1,364 feet mean sea set forth their evidentiary basis. Any whether and how to account for level (msl); (2) four dam sections and filing made by an intervenor must be circumstances in which benefits do not one spillway section at a crest elevation accompanied by proof of service on all materialize as anticipated. of 895 feet, each; (3) an upper reservoir persons listed in the service list Attached to this Supplemental Notice intake structure; (4) an underground prepared by the Commission in this is an agenda for the workshop, which powerhouse containing reversible proceeding, in accordance with 18 CFR includes the final workshop program pump-turbine unit(s) for a maximum 385.2010. and expected speakers. The workshop installed capacity of 1,600 megawatts; Dated: August 13, 2021. will be open for the public to attend (5) a lower reservoir discharge structure; Kimberly D. Bose, virtually. Information on the workshop (6) a lower reservoir with a maximum Secretary. will also be posted on the Calendar of water surface elevation of 889 feet msl; Events on the Commission’s website, (7) a transmission line(s) and [FR Doc. 2021–17781 Filed 8–18–21; 8:45 am] http://www.ferc.gov, prior to the event. switchyard(s) connecting the project to BILLING CODE 6717–01–P The workshop will be transcribed. the grid; and (8) appurtenant facilities. Transcripts of the workshop will be Applicant Contact: Ted McCullough, DEPARTMENT OF ENERGY available for a fee from Ace-Federal 600 North 18th Street, 16N–8180, Reporters, Inc. (202–347–3700). Birmingham, Alabama 35291; phone: Federal Energy Regulatory For more information about this (205) 257–6227. workshop, please contact David Borden, Commission FERC Contact: Navreet Deo; phone: 202–502–8734, [email protected] [Docket Nos. RM20–10–000; AD19–19–000] (202) 502–6304; email: navreet.deo@ or Samin Peirovi, 202–502–8080, ferc.gov. [email protected] for technical Electric Transmission Incentives Deadline for filing comments, motions Policy Under Section 219 of the questions; Meghan O’Brien, 202–502– to intervene, competing applications Federal Power Act; Supplemental 6137, meghan.o’[email protected] for legal (without notices of intent), or notices of Notice of Workshop questions; and Sarah McKinley, 202– 502–8368, [email protected] for intent to file competing applications: 60 As announced in the Notice of logistical issues. days from the issuance of this notice. Workshop issued in the above- Competing applications and notices of Dated: August 13, 2021. captioned proceedings on April 15, intent must meet the requirements of 18 2021, Federal Energy Regulatory Debbie-Anne A. Reese, CFR 4.36. Commission (Commission) staff will Deputy Secretary. The Commission strongly encourages convene a workshop to discuss certain [FR Doc. 2021–17796 Filed 8–18–21; 8:45 am] electronic filing. Please file comments, shared savings incentive approaches BILLING CODE 6717–01–P motions to intervene, notices of intent, that may foster deployment of and competing applications using the transmission technologies. The Commission’s eFiling system at http:// DEPARTMENT OF ENERGY workshop will be held on Friday, www.ferc.gov/docs-filing/efiling.asp. September 10, 2021, from Commenters can submit brief comments approximately 8:30 a.m. to 5:30 p.m. Federal Energy Regulatory Commission up to 6,000 characters, without prior Eastern Time. The workshop will be registration, using the eComment system held virtually via WebEx. [Project No. 15229–000] at http://www.ferc.gov/docs-filing/ Commissioners may attend and ecomment.asp. You must include your participate. Alabama Power Company; Notice of name and contact information at the end Transmission technologies, as Preliminary Permit Application of your comments. In lieu of electronic deployed in certain circumstances, may Accepted for Filing and Soliciting filing, you may submit a paper copy. enhance reliability, efficiency, and Comments, Motions To Intervene, and Submissions sent via the U.S. Postal capacity, and improve the operation of Competing Applications Service must be addressed to: Kimberly new or existing transmission facilities. On July 27, 2021, Alabama Power D. Bose, Secretary, Federal Energy The workshop will discuss issues Regulatory Commission, 888 First Street related to shared savings approaches 1 Company filed an application for a preliminary permit, pursuant to section NE, Room 1A, Washington, DC 20426. for transmission technologies seeking Submissions sent via any other carrier incentives under Federal Power Act 4(f) of the Federal Power Act, proposing 2 to study the feasibility of the Chandler must be addressed to: Kimberly D. Bose, section 219. The workshop will focus Secretary, Federal Energy Regulatory on how to calculate ex ante and ex post Mountain Pumped Storage Project No. 15229–000 (Chandler Mountain Project, Commission, 12225 Wilkins Avenue, benefit analyses for transmission Rockville, Maryland 20852. The first technologies seeking incentives. or project), a closed-loop pumped storage project to be located in Etowah page of any filing should include docket Specifically, the workshop will explore number P–15229–000. the maturity of the modeling approaches and St. Clair Counties, Alabama. The for various transmission technologies; sole purpose of a preliminary permit, if More information about this project, the data needed to study the benefits/ issued, is to grant the permit holder including a copy of the application, can costs of such technologies; issues priority to file a license application be viewed or printed on the ‘‘eLibrary’’ pertaining to access to or confidentiality during the permit term. A preliminary link of Commission’s website at http:// of this data; the time horizons that permit does not authorize the permit www.ferc.gov/docs-filing/elibrary.asp. holder to perform any land-disturbing Enter the docket number (P–15229) in 1 See, e.g., WATT Coalition and Advanced Energy activities or otherwise enter upon lands the docket number field to access the Economy July 1, 2020 Comments. or waters owned by others without the document. For assistance, contact FERC 2 16 U.S.C. 824s(b)(3). owners’ express permission. Online Support.

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Dated: August 13, 2021. (Southeastern), were transferred to and advised interested parties that a public Kimberly D. Bose, vested in the Secretary of Energy. By information and comment forum for this Secretary. Delegation Order No. 00–037.00B, rate action would be held virtually by [FR Doc. 2021–17785 Filed 8–18–21; 8:45 am] effective November 19, 2016, the Microsoft Teams Meeting on May 11, BILLING CODE 6717–01–P Secretary of Energy delegated to the 2021. Written comments were due on or Administrator, Southeastern Power before June 29, 2021. Administration, the authority to develop The proposed rate schedule JW–1–L DEPARTMENT OF ENERGY power and transmission rates, to the would increase the capacity charge from Deputy Secretary of Energy the $7.74 per kilowatt per month to $8.46 Southeastern Power Administration authority to confirm, approve, and place per kilowatt per month. The energy such rates into effect on an interim charge would be increased from 20.44 Notice of Interim Approval of Rate basis, and to the Federal Energy mills per kilowatt-hour to 22.32 mills Schedules for Jim Woodruff Project Regulatory Commission (FERC) the per kilowatt-hour. In addition to the authority to confirm, approve, and place capacity and energy charges, each AGENCY: Southeastern Power into effect on a final basis, or to preference customer would continue to Administration, DOE. disapprove, rates developed by the be charged for power purchased by ACTION: Notice of interim approval. Administrator under the delegation. By Southeastern on behalf of the preference customer. This pass-through would SUMMARY: The Administrator for the Delegation Order No. S1–DEL–S4–2021, Southeastern Power Administration effective February 25, 2021, the Acting continue to be computed as described in (Southeastern) has confirmed and Secretary of Energy also delegated the the current rate schedules. Rate schedule JW–2–F, available to approved, on an interim basis, rate authority to confirm, approve, and place Duke Energy Florida (DEF), would schedules JW–1–L and JW–2–F for the such rates into effect on an interim basis continue the current rate of 100 percent sale of power from the Jim Woodruff to the Under Secretary for Science (and Energy). By Redelegation Order No. S4– of DEF’s fuel cost. Project. The rate schedules are approved DEL–OE1–2021, effective March 25, on an interim basis through September Public Comments 2021, the Acting Under Secretary for 30, 2026, and are subject to Science (and Energy) redelegated the Southeastern received oral comments confirmation and approval by the authority to confirm, approve, and place from two participants as part of the Federal Energy Regulatory Commission such rates into effect on an interim basis public information and comment forum (FERC) on a final basis. to the Assistant Secretary for Electricity. on May 11, 2021. Southeastern received DATES: The approval of rates on an By Redelegation Order No. 00–002.10– one written response to the ‘‘Notice of interim basis is effective October 1, 03, effective July 8, 2020, the Assistant proposed rates, public forum, and 2021. Secretary for Electricity further opportunities for public review and FOR FURTHER INFORMATION CONTACT: redelegated the authority to confirm, comment’’ published in the Federal Samuel W. Loggins, Assistant approve, and place such rates into effect Register at 86 FR 16717 on March 31, Administrator, Finance and Marketing, on an interim basis to the 2021. Southeastern Power Administration, Administrator, Southeastern Power Oral Comment: [Commenter 1] I know U.S. Department of Energy, 1166 Athens Administration. This last redelegation, that when we reviewed a lot of the Tech Road, Elberton, GA 30635–6711, despite predating the February 2021 revenue requirements—it’s been a little (706) 213–3805; Email: delegation and March 2021 over a month ago, the Jim Woodruff [email protected]. redelegation, remains valid. This rate is customers were very satisfied with the staff’s presentations and the—all of the SUPPLEMENTARY INFORMATION: FERC, by confirmed, approved, and placed into effect on an interim basis by the questions were answered in a order issued October 20, 2016, 157 satisfactory manner, so we have no FERC ¶ 62,043, confirmed and approved Administrator, Southeastern Power Administration, pursuant to the follow-up questions at this time. Rate Schedules JW–1–K and JW–2–F for Oral Comment: [Commenter 2] A the period October 1, 2016 through authority delegated in Redelegation Order No. 00–002.10–03. couple of questions. I believe it was September 30, 2021. This order replaces stated earlier that there was a 7 percent these rate schedules on an interim basis, Background drop in repayment from 2016 to 2020. subject to final approval by FERC. Power from the Jim Woodruff Project Is that a simple function of revenues Department of Energy is presently sold under Wholesale being insufficient due to low water Power Rate Schedules JW–1–K and JW– years? Is there a sense in terms of why Administrator, Southeastern Power 2–F. These rate schedules were that—the repayment was off by 7 Administration approved by FERC on October 20, 2016, percent? In the Matter of: for a period ending September 30, 2021 Oral Response: No, that is just the Southeastern Power Administration (157 FERC ¶ 62,043). straight percentage when we compared Rate Order No. SEPA–65 what we used as estimates in the last Jim Woodruff Project Power Rates Public Notice and Comment rate adjustment study from 2016. We Notice of a proposed rate adjustment compared FY16 through FY20 estimates Order Confirming and Approving and opportunities for public review and with the actuals, and that was just kind Power Rates on an Interim Basis comment for the Jim Woodruff Project of an indication of the difference in Pursuant to Section 302(a) of the was published in the Federal Register what we estimated repayment to be with Department of Energy Organization Act (86 FR 16717) on March 31, 2021. what was actually repaid. (Pub. L. 95–91, 42 U.S.C. 7152(a)), the Southeastern proposed an increase and Oral Comment: [Commenter 2] And functions of the Secretary of the Interior to extend existing schedules of rates and then looking at the SEPA marketing and the Federal Power Commission charges applicable to the sale of power expense, we note that there’s a 13 under Section 5 of the Flood Control from the Jim Woodruff Project to percent increase between 2019 to 2020. Act of 1944 (16 U.S.C. 825s), relating to become effective October 1, 2021, If you compare 2019 through 2021, you the Southeastern Power Administration through September 30, 2026. The notice have a 15 percent increase in the SEPA

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marketing expense. Can you identify financial audit and a cleaning service Regulatory Commission (FERC) the what’s the cause of that in terms of contract. authority to confirm, approve, and place SEPA’s marketing expense? The change between Fiscal Years into effect on a final basis, or to Oral Response: Not at this time, but if 2019 and 2021 of 15 percent is disapprove, rates developed by the you would email that question in, I attributable to the 13 percent increase in Administrator under the delegation. By could look into the details, but I don’t Fiscal Year 2020 and the projected Delegation Order No. S1–DEL–S4–2021, have any detailed information for expense for Fiscal Year 2021 being effective February 25, 2021, the Acting SEPA’s expense right now. We can calculated by using the federal Secretary of Energy also delegated the supplement the record later on with that budgetary inflation factor of 2 percent authority to confirm, approve, and place response. for future years. such rates into effect on an interim basis Oral Comment: [Commenter 2] I think Written Comment: The SeFPC to the Under Secretary for Science (and if you look at form Exhibit 9, that’s supports the rate as proposed by the Energy). By Redelegation Order No. S4– where we see—between 2019 and 2020, Southeastern Power Administration DEL–OE1–2021, effective March 25, we had a—it’s a pretty good jump there. (‘‘SEPA’’). 2021, the Acting Under Secretary for Now, that could be a function of SEPA’s While we believe that the rate fully Science (and Energy) redelegated the expenses increasing because of remote captures costs associated with authority to confirm, approve, and place work obligations, so there— anticipate hydropower production, we nonetheless such rates into effect on an interim basis there’s a logical explanation there. encourage SEPA to work with the U.S. to the Assistant Secretary for Electricity. Oral Response: Yes. I just—I don’t Army Corps of Engineers (‘‘Corps’’) to By Redelegation Order No. 00–002.10– have the detailed breakdown of SEPA’s ensure that joint operation and 03, effective July 8, 2020, the Assistant expenses to tell you what area that maintenance expenses do not include Secretary for Electricity further would be in. But I will answer for the costs that should be assigned solely to redelegated the authority to confirm, record. project purposes unrelated to approve, and place such rates into effect Oral Comment: [Commenter 2] the hydropower production. SEPA’s on an interim basis to the other thing that I think we would note continued diligence in working with the Administrator, Southeastern Power from a customer perspective is that we Corps will help ensure that rates remain Administration. This last redelegation, continue to monitor the amount of as low as possible consistent with sound despite predating the February 2021 expense that is allocated as the joint O&M expense, and that continues to be business principles. delegation and the March 2021 a little bit of a concern in terms of Response: Southeastern continues to redelegation, remains valid. This rate is whether costs are appropriately work with preference customers and the confirmed, approved, and placed into accounted for, for purposes of what Corps to review operation and effect on an interim basis by the hydropower should be bearing. We maintenance actual costs and estimates Administrator, Southeastern Power know that SEPA has been devoting a lot to ensure accuracy of cost assignment Administration, pursuant to the of energy to trying to make sure that the and projections to establish the lowest authority delegated in Redelegation Corps is properly accounting for these possible rates consistent with sound Order No. 00–002.10–03. business principles within the meaning expenses, so we support SEPA’s efforts Environmental Impact in this regard. of Section 5 of the Flood Control Act of 1944. Southeastern has reviewed the Oral Response: And we fully continue possible environmental impacts of the those efforts and hopefully we will Discussion rate adjustment under consideration and accomplish some savings for the System Repayment has concluded that, because the customers. adjusted rates would not significantly Combined Unanswered Oral An examination of the Southeastern affect the quality of the human Comments from Forum: And then revised system power repayment study, environment within the meaning of the looking at the SEPA marketing expense, prepared in March of 2021 for the Jim National Environmental Policy Act of we note that there’s a 13 percent Woodruff Project, shows that with the 1969, as amended, the proposed action increase between 2019 to 2020. If you proposed rates, all system power costs is not a major Federal action for which compare 2019 to 2021, you have a 15 are paid within the appropriate preparation of an Environmental Impact percent increase in SEPA marketing repayment period and meet the cost Statement is required. expense. Can you identify what’s the recovery criteria set forth in DOE Order cause of that in terms of SEPA’s RA 6120.2. The Administrator of Determination Under Executive Order marketing expense? Southeastern Power Administration has 12866 Response for the Record Submitted to certified that the rates are consistent Southeastern has an exemption from Customers May 24, 2021: The change in with applicable law and that they are centralized regulatory review under SEPA marketing expense between Fiscal the lowest possible rates to customers Executive Order 12866; accordingly, no Years 2019 and 2020 is $18,000 for the consistent with sound business clearance of this notice by the Office of Woodruff System. SEPA has identified principles. Management and Budget is required. just over $17,100 of the $18,000 as attributable to increases in Salaries, Legal Authority Availability of Information Benefits and Outside Contract Services. By Delegation Order No. 00–037.00B, Information regarding these rates, The increases are due to the transition effective November 19, 2016, the including studies, and other supporting of SEPA’s Power System Dispatchers Secretary of Energy delegated to the materials, is available for public review pay plan from the General Schedule to Administrator, Southeastern Power in the offices of Southeastern Power an Administratively Determined plan Administration the authority to develop Administration, 1166 Athens Tech and a pay raise to the General Schedule power and transmission rates, to the Road, Elberton, Georgia 30635–6711. federal employees. The cost of a survey Deputy Secretary of Energy the for the Administratively Determined authority to confirm, approve, and place Order pay plan was charged to Outside such rates into effect on an interim In view of the foregoing and pursuant Contract Services along with the annual basis, and to the Federal Energy to the authority redelegated to me by the

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Assistant Secretary for Electricity, I Demand Charge: capacity supplied to such point during hereby confirm and approve on an $8.46 per kilowatt of monthly contract such month will be considered to be interim basis, effective October 1, 2021, demand. accompanied by an equal quantity of attached Wholesale Power Rate Energy Charge: 22.32 mills per energy. Schedules JW–1–L and JW–2–F. The kilowatt-hour. Billing Month rate schedules shall remain in effect on an interim basis through September 30, Purchased Power Pass-Through The billing month for power sold 2026, unless such period is extended or In addition to the capacity and energy under this schedule shall end at 12:00 until FERC confirms and approves them charges, each preference customer will midnight on the last day of each or substitute rate schedules on a final be charged for power purchased by calendar month. basis. Southeastern on behalf of the preference Conditions of Service customer. This pass-through will be Signing Authority computed as follows: The customer shall, at its own expense, provide, install, and maintain This document of the Department of Each month, Duke Energy Florida provides Energy was signed on August 12, 2021, on its side of each delivery point the Southeastern with the meter readings for equipment necessary to protect and by Virgil G. Hobbs III, Administrator for preference customers’ delivery points that Southeastern Power Administration, have an allocation of capacity from control its own system. In so doing, the pursuant to delegated authority from the Southeastern. Subsequently, Duke Energy installation, adjustment, and setting of Secretary of Energy. That document, Florida provides Southeastern with reports of all such control and protective with the original signature and date, is purchased power and support capacity equipment at or near the point of requirements around the 10th of the maintained by DOE. For administrative delivery shall be coordinated with that succeeding month. Southeastern computes which is installed by and at the expense purposes only, and in compliance with its purchased power obligation for each requirements of the Office of the Federal of Duke Energy Florida on its side of the delivery point monthly. Southeastern delivery point. Register, the undersigned DOE Federal computes any revenue from sales to Duke Register Liaison Officer has been Energy Florida for each delivery point Service Interruption authorized to sign and submit the monthly. Southeastern sums the purchased power obligation and any revenue from sales When energy delivered to the document in electronic format for Customer’s system for the account of the publication, as an official document of to Duke Energy Florida for each preference customer monthly. The purchased power Government is reduced or interrupted the Department of Energy. This obligation minus any revenue from sales to for one hour or longer, and such administrative process in no way alters Duke Energy Florida for each customer is reduction or interruption is not due to the legal effect of this document upon called the Net Purchased Power Cost. conditions on the Customer’s system or publication in the Federal Register. Southeastern charges each customer its has not been planned and agreed to in Signed in Washington, DC, on August 13, respective monthly Net Purchased Power advance, the demand charge for the 2021. Cost in equal portions over the next eleven billing months. month shall be appropriately reduced. Treena V. Garrett, October 1, 2021 Federal Register Liaison Officer, U.S. Billing Demand Wholesale Power Rate Schedule Department of Energy. The monthly billing demand for any JW–2–F Wholesale Power Rate Schedule billing month shall be the lower of (a) JW–1–L the Customer’s contract demand or (b) Availability the sum of the maximum 30-minute This rate schedule shall be available Availability integrated demands for the month at to Duke Energy Florida (formerly known This rate schedule shall be available each of the Customer’s points of as Florida Power Corporation, and to public bodies and cooperatives delivery; provided, that, if an allocation hereinafter called the Company). of contract demand to delivery points served by Duke Energy Florida and Applicability having points of delivery within 150 has become effective, the 30-minute miles of the Jim Woodruff Project maximum integrated demand for any This rate schedule shall be applicable (hereinafter called the Project). point of delivery shall not be considered to electric energy generated at the Jim to be greater than the portion of the Woodruff Project (hereinafter called the Applicability Customer’s contract demand allocated Project) and sold to the Company in to that point of delivery. This rate schedule shall be applicable wholesale quantities. to firm power and accompanying energy Contract Demand Points of Delivery made available by the Government from The contract demand is the amount of Power sold to the Company by the the Project and sold in wholesale capacity in kilowatts stated in the Government will be delivered at the quantities. contract which the Government is connection of the Company’s Character of Service obligated to supply and the Customer is transmission system with the Project entitled to receive. bus. The electric capacity and energy supplied hereunder will be three-phase Energy Made Available Character of Service alternating current at a nominal During any billing month in which Electric power delivered to the frequency of 60 cycles per second the Government supplies all the Company will be three-phase alternating delivered at the delivery points of the Customer’s capacity requirements for a current at a nominal frequency of 60 customer. particular delivery point, the cycles per second. Monthly Rate Government will make available the total energy requirement of said point. Monthly Rate The monthly rate for capacity and When both the Government and Duke The monthly rate for energy sold energy made available or delivered Energy Florida are supplying capacity to under this schedule shall be equal to under this rate schedule shall be: a delivery point, each kilowatt of 100 percent of the calculated saving in

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the cost of fuel per kWh to the Company Billing Month ACTION: Notice of a new system of determined as follows: The billing month under this records. Fm schedule shall end at 12:00 midnight on SUMMARY: Federal Mediation and Energy Rate= 100% x - the last day of each calendar month. Conciliation Service (FMCS) uses Sm Power Factor photographs, biographies, and agency [Computed to the nearest $0.00001 (1/ contact information of employees to 100mill) per kWh] The purchaser and seller under this provide background information to the rate schedule agree that they will both Where: public, for use by stakeholders in Fm = Company fuel cost in the current so operate their respective systems that preparation for services, and for period as defined in Federal Power neither party will impose an undue trainings and conferences. FMCS may Commission Order 517 issued November reactive burden on the other. also use these documents for internal 13, 1974, Docket No. R–479. October 1, 2021. agency events and communications. Sm = Company sales in the current period reflecting only losses associated with DATES: This notice will be effective wholesale sales for resale. Sale shall be without further notice on September 20, equated to the sum of (a) generation, (b) [FR Doc. 2021–17747 Filed 8–18–21; 8:45 am] 2021 unless otherwise revised pursuant purchases, (c) interchange-in, less (d) BILLING CODE 6450–01–P to comments received. New routine uses inter-system sales, less estimated will be effective on September 20, 2021. wholesale losses (based on average Comments must be received on or transmission loss percentage for before September 20, 2021. preceding calendar year). FEDERAL ACCOUNTING STANDARDS ADDRESSES: You may send comments, Determination of Energy Sold ADVISORY BOARD identified by FMCS–0003, by any of the Energy will be furnished by the following methods: Notice of Issuance of SFFAS 59, • Company to supply any excess of Accounting and Reporting of Mail: Office of General Counsel, 250 Project use over Project generation. E Street SW, Washington, DC 20427. Government Land • Energy so supplied by the Company will Email: [email protected]. Include be deducted from the actual deliveries AGENCY: Federal Accounting Standards FMCS–0003 on the subject line of the Advisory Board. message. to the Company’s system to determine • the net deliveries for energy accounting ACTION: Notice. Fax: (202) 606–5444. and billing purposes. Energy for Project FOR FURTHER INFORMATION CONTACT: Greg use shall consist of energy used for SUMMARY: Notice is hereby given that Raelson, Director of Congressional and station service, lock operation, Project the Federal Accounting Standards Public Affairs, at [email protected], yard, village lighting, and similar uses. Advisory Board (FASAB) has issued 202–606–8081. The on-peak hours shall be the hours Statement of Federal Financial SUPPLEMENTARY INFORMATION: This new between 7:00 a.m. and 11:00 p.m., Accounting Standards (SFFAS) 59, system is needed for collecting, storing Monday through Sunday, inclusive. Off- Accounting and Reporting of and maintaining FMCS employee peak hours shall be all other hours. Government Land. biographical information and FMCS All energy made available to the ADDRESSES: The issuance is available on employee and event photographs. Company shall, to the extent required, the FASAB website at https://fasab.gov/ be classified as energy transmitted to the accounting-standards/. Copies can be SYSTEM NAME AND NUMBER: Government’s preference customers obtained by contacting FASAB at (202) FMCS–0003 served from the Company’s system. All 512–7350. SECURITY CLASSIFICATION: energy made available to the Company FOR FURTHER INFORMATION CONTACT: Ms. from the Project shall be separated on Monica R. Valentine, Executive Unclassified. the basis of the metered deliveries to it Director, 441 G Street NW, Suite 1155, SYSTEM LOCATION: at the Project during on-peak and off- Washington, DC 20548, or call (202) Federal Mediation and Conciliation peak hours, respectively. Deliveries to 512–7350. Service, 250 E Street SW, Washington, preference customers of the Government Authority: 31 U.S.C. 3511(d), the DC 20427. shall be divided on the basis (with Federal Advisory Committee Act, as allowance for losses) of 77 percent being amended (5 U.S.C. app.), and the SYSTEM MANAGER(S): considered as on-peak energy and 23 FASAB Rules of Procedure, as amended Greg Raelson, Director of percent being off-peak energy. Such in October 2010. Congressional and Public Affairs, email percentages may by mutual consent be Dated: August 9, 2021. [email protected], or send mail to changed from time to time as further Federal Mediation and Conciliation studies show to be appropriate. In the Monica R. Valentine, Service, 250 E Street Southwest, event that in classifying energy there is Executive Director. Washington, DC 20427, Attn: Greg more than enough on-peak energy [FR Doc. 2021–17798 Filed 8–18–21; 8:45 am] Raelson. available to supply on-peak BILLING CODE P requirements of the Government’s AUTHORITY FOR MAINTENANCE OF THE SYSTEM: preference customers but less than Federal Mediation and Conciliation enough off-peak energy available to FEDERAL MEDIATION AND Service, 29 U.S.C. 172, et seq.; supply such customers’ off-peak Departmental Regulations, 5 U.S.C. 301. requirements, such excess on-peak CONCILIATION SERVICE PURPOSE(S) OF THE SYSTEM: energy may be applied to the extent Privacy Act of 1974; System of necessary to meet off-peak requirements Records The purposes of the system are as of such customers in lieu of purchasing follows: deficiency energy to meet such off-peak AGENCY: Federal Mediation and (a) The records are used for internal requirements. Conciliation Service. and external communications, and to

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provide the public with contact (e) For distribution and presentation the National Archives and Records information and biographies of the for news, public relations, official Administration. employees who carry out FMCS’s agency social media, community affairs, ADMINSTRATIVE, TECHNICAL, AND PHYSICAL mission and activities. and client services purposes. SAFEGUARDS: (b) To digitize FMCS photographic (f) In support of research activities files in support of preserving the conducted by FMCS employees and Electronic records on FMCS’s shared materials. other agencies. and internal drives, and on SharePoint (c) To be used for reproduction by (g) To appropriate agencies, entities, are safeguarded in a secured FMCS employees organizing such and persons when (1) FMCS suspects or environment and are maintained in a events as awards, ceremonies, farewell has confirmed that there has been a secure, password-protected electronic ceremonies and receptions, FMCS breach of the system of records, (2) system that will utilize commensurate anniversary ceremonies and receptions, FMCS has determined that as a result of safeguards that may include firewalls, conferences, workshops, speaking the suspected or confirmed breach there intrusion detection and prevention engagements, and FMCS training and is a risk of harm to individuals, FMCS systems, and role-based access controls. education programs. (including its information systems, Hard copy records are accessed in programs, and operations), the Federal FMCS facilities that are limited to CATEGORIES OF INDIVIDUALS COVERED BY THE authorized personnel with official SYSTEM: Government, or national security; and (3) the disclosure made to such duties requiring access. FMCS facilities All current and former FMCS agencies, entities, and persons is are equipped with security cameras and employees, clients, visitors from other reasonably necessary to assist in 24-hour security guard service. These agencies, and members of the public. connection with FMCS’s efforts to records are kept in limited access areas in locked offices. All records are CATEGORIES OF RECORDS IN THE SYSTEM: respond to the suspected or confirmed protected from unauthorized access These records consist of digital breach or to prevent, minimize, or remedy such harm. through appropriate administrative, photographs, digitized images of operational, and technical safeguards. (h) To another Federal agency or photographic prints, negatives, and These safeguards include restricting Federal entity, when FMCS determines slides, and indexing data including access to authorized personnel who that information from this system of name, geographical district, biographies, have a ‘‘need to know’’, using locks, and records is reasonably necessary to assist business title, business email, business password protection identification the recipient agency or entity in (1) cell phone and office number, business features. office address, business address of responding to a suspected or confirmed events, and dates of events. breach or (2) preventing, minimizing, or RECORD ACCESS PROCEDURES: remedying the risk of harm to Same as above. RECORD SOURCE CATEGORIES: individuals, the recipient agency or Photographs and biographical entity (including its information CONTESTING RECORDS PROCEDURES: information are provided by FMCS systems, programs, and operations), the See 29 CFR 1410.6, Requests for employees on an ongoing basis. Donors Federal Government, or national correction or amendment of records, on include FMCS employees, FMCS security, resulting from a suspected or how to contest the content of any clients, and visitors from the public or confirmed breach. records. Privacy Act requests to amend other agencies. Other records such as or correct records may be submitted to contact information are obtained from POLICIES AND PRACTICES FOR STORAGE OF the Chief Privacy Officer at privacy@ FMCS records. RECORDS: fmcs.gov or Chief Privacy Officer, FMCS Records are stored electronically on 250 E Street SW Washington, DC 20427. ROUTINE USES OF RECORDS MAINTAINED IN THE the public facing website located here. Also, see https://www.fmcs.gov/privacy- SYSTEM, INCLUDING CATEGORIES OF USERS AND Also, records are stored on FMCS’s PURPOSES OF SUCH USES: policy/. shared and internal hard drives and on In addition to those disclosures the FMCS’s Microsoft Office 365 NOTIFICATION PROCEDURES: generally permitted under 5 U.S.C. SharePoint site both accessible only to See 29 CFR 1410.3(a), Individual 552a(b) of the Privacy Act, these records FMCS employees. Hard copies of access requests. or information contained therein may photographs are also displayed in EXEMPTIONS PROMULGATED FOR THE SYSTEM: specifically be disclosed outside the FMCS’s offices. Agency as a routine use pursuant to 5 None. U.S.C. 552a(b)(3) as follows: POLICIES AND PRACTICES FOR RETRIEVAL OF HISTORY: (a) As communication material at RECORDS: conferences, trainings, and speaking Records on the public facing website None. engagements where FMCS employees can be searched by name, geographic Dated: August 16, 2021. participate in their official capacity to district, and zip code. Records on the Sarah Cudahy, demonstrate the experience and FMCS’s shared and internal drives can General Counsel. background of FMCS employees. be searched by name, and date and [FR Doc. 2021–17807 Filed 8–18–21; 8:45 am] (b) To current and prospective FMCS name of the event. On SharePoint, BILLING CODE 6732–01–P clients including other federal agencies records can be searched by the date and to provide background information on name of the event. individuals for public knowledge and FEDERAL RESERVE SYSTEM awareness. POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS: (c) To a Congressional office from the Change in Bank Control Notices; record of an individual in response to Records are updated as needed and Acquisitions of Shares of a Bank or an inquiry from the Congressional office retained until no longer needed for Bank Holding Company made at the request of that individual. business use. All records are retained (d) To respond to subpoenas in any and disposed of in accordance with The notificants listed below have litigation or other proceeding. General Records Schedule 6.4, issued by applied under the Change in Bank

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Control Act (Act) (12 U.S.C. 1817(j)) and DEPARTMENT OF HEALTH AND Disease Control and Prevention, 4770 § 225.41 of the Board’s Regulation Y (12 HUMAN SERVICES Buford Highway NE, MS S107–2, CFR 225.41) to acquire shares of a bank Atlanta, GA 30341. Telephone: 770– or bank holding company. The factors Centers for Disease Control and 488–5200. Email: [email protected]. that are considered in acting on the Prevention SUPPLEMENTARY INFORMATION: applications are set forth in paragraph 7 [Docket No. CDC–2021–0088] Public Participation of the Act (12 U.S.C. 1817(j)(7)). Updating CDC’s Contraception Interested persons or organizations The public portions of the Guidance Documents: U.S. Medical are invited to participate by submitting applications listed below, as well as Eligibility Criteria for Contraceptive written views, recommendations, and other related filings required by the Use and U.S. Selected Practice data. CDC invites comments specifically Board, if any, are available for Recommendations for Contraceptive on the following questions: immediate inspection at the Federal Use 1. Are there existing US MEC or US Reserve Bank(s) indicated below and at SPR recommendations that CDC should the offices of the Board of Governors. AGENCY: Centers for Disease Control and consider reviewing for possible revision, This information may also be obtained Prevention (CDC), Department of Health based on new evidence or other on an expedited basis, upon request, by and Human Services (HHS). justification? Please provide references contacting the appropriate Federal ACTION: Notice with comment period. to new evidence and justification to Reserve Bank and from the Board’s support review of existing Freedom of Information Office at SUMMARY: The Centers for Disease recommendations. https://www.federalreserve.gov/foia/ Control and Prevention (CDC) in the 2. Are there new recommendations that CDC should consider adding to the request.htm. Interested persons may Department of Health and Human Services (HHS) announces the opening US MEC? This could include eligibility express their views in writing on the of a docket to obtain comment on CDC’s criteria for contraceptive use among standards enumerated in paragraph 7 of contraception recommendations. Two people with medical conditions or the Act. guidance documents, U.S. Medical characteristics not currently included in Comments regarding each of these Eligibility Criteria for Contraceptive Use the US MEC. Please provide references applications must be received at the (US MEC) and U.S. Selected Practice to supporting evidence, justification, Reserve Bank indicated or the offices of Recommendations for Contraceptive and impact of new recommendations. the Board of Governors, Ann E. Use (US SPR), provide evidence-based 3. Are there new recommendations Misback, Secretary of the Board, 20th recommendations to assist health care that CDC should consider adding to the Street and Constitution Avenue NW, providers when counseling patients on US SPR? This could include clinical Washington, DC 20551–0001, not later contraceptive choice and use. Updates practice recommendations to address than September 3, 2021. to these guidance documents typically issues regarding initiation and use of occur every 5 years. As part of the specific contraceptive methods not A. Federal Reserve Bank of planning process for the next update, currently included in the US SPR. Minneapolis (Chris P. Wangen, CDC is requesting public comment on Please provide references to supporting Assistant Vice President) 90 Hennepin content to consider for revision or evidence, justification, and impact of Avenue, Minneapolis, Minnesota addition to the recommendations and new recommendations. 55480–0291: how to improve the implementation of 4. Are there other issues that should 1. Daniel Otten, Hayward, Minnesota; the guidance documents. This action is be considered or suggestions to improve to retain voting shares of Minnesota necessary to consider multiple and implementation of the US MEC and US Community Bancshares, Inc., Albert diverse perspectives and ensure that the SPR recommendations to help ensure Lea, Minnesota, and thereby indirectly documents meet the needs of U.S. equitable access to contraceptive services (such as better ways of retain voting shares of Arcadian Bank, health care providers and the persons presenting the recommendations, Hartland, Minnesota. they serve. additional job aids or tools for DATES: B. Federal Reserve Bank of Kansas Written comments must be providers, broader dissemination and City (Jeffrey Imgarten, Assistant Vice received on or before October 18, 2021. implementation strategies, inclusion of President) 1 Memorial Drive, Kansas ADDRESSES: You may submit comments, additional partners, etc.)? Please City, Missouri 64198–0001: identified by Docket No. CDC–2021– provide references to supporting 0088 by any of the following methods: 1. Kathleen Sullivan, Cedar Rapids, evidence or justification. • Federal eRulemaking Portal: http:// Please note that comments received, Nebraska; to join the Sullivan Family www.regulations.gov. Follow the Group, a group acting in concert, to including attachments and other instructions for submitting comments. supporting materials, are part of the acquire voting shares of Cedar Rapids • Mail: [insert complete mailing public record and are subject to public State Company, and thereby indirectly address, including mailstop] disclosure. Comments will be posted on acquire voting shares of Cedar Rapids Instructions: All submissions received https://www.regulations.gov. Therefore, State Bank, both of Cedar Rapids, must include the agency name and do not include any information in your Nebraska. Docket Number. All relevant comments comment or supporting materials that Board of Governors of the Federal Reserve received will be posted without change you consider confidential or System, August 16, 2021. to http://regulations.gov, including any inappropriate for public disclosure. If Michele Taylor Fennell, personal information provided. For you include your name, contact access to the docket to read background Deputy Associate Secretary of the Board. information, or other information that documents or comments received, go to identifies you in the body of your [FR Doc. 2021–17817 Filed 8–18–21; 8:45 am] http://www.regulations.gov. comments, that information will be on BILLING CODE P FOR FURTHER INFORMATION CONTACT: public display. CDC will review all Kathryn M. Curtis, Ph.D., Division of submissions and may choose to redact, Reproductive Health, Centers for or withhold, submissions containing

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private or proprietary information such updates recommendations as needed, SUMMARY: The Administration for as Social Security numbers, medical with comprehensive reviews Children and Families (ACF), Office of information, inappropriate language, or approximately every 5 years. CDC is Child Care (OCC) is requesting a 3-year duplicate/near duplicate examples of a currently planning for the next update extension of the Tribal Maternal, Infant, mass-mail campaign. CDC will carefully of the US MEC and US SPR and will and Early Childhood Home Visiting consider all comments submitted in consider public comments when (MIECHV) Program: Guidance for preparation of the final document. determining the scope of the guidance Submitting an Annual Report to the In 2017–2019 in the United States, update. CDC is seeking feedback from Secretary (OMB #0970–0409; expiration 65% of women aged 15–49 years used health care providers, professional 9/30/2021). There are minor updates to contraception; the most common organizations, community-based the annual guidance which reflects a contraceptive methods used were organizations, organizations that seek to change in timing for the due date of the female sterilization, oral contraceptive improve reproductive health, patient final report. pills, implants and intrauterine devices, advocacy groups, and the public. DATES: Comments due within 30 days of and male condoms [1]. The majority The current US MEC may be found at publication. OMB must make a decision (61%) of U.S. women aged 18–49 years the Supplementary Materials tab of the about the collection of information have ongoing or potential need for docket and at https://www.cdc.gov/ between 30 and 60 days after contraceptive services [2]. Similarly, in reproductivehealth/contraception/ publication of this document in the 2010–2016, about 60% of men aged 15– mmwr/mec/summary.html. The current Federal Register. Therefore, a comment 44 years in the United States needed US SPR may be found at the is best assured of having its full effect family planning [3]. Equitable access to Supplementary Materials tab of the if OMB receives it within 30 days of evidence-based, high quality care is docket and at https://www.cdc.gov/ publication. critical to meeting the needs of persons reproductivehealth/contraception/ ADDRESSES: Written comments and seeking contraceptive services, mmwr/spr/summary.html. recommendations for the proposed improving reproductive autonomy, and information collection should be sent reducing unintended pregnancy in the References within 30 days of publication of this United States [2]. 1. Daniels K, Abma JC. Current contraceptive Since 2010, CDC has published notice to www.reginfo.gov/public/do/ status among women aged 15–49: United PRAMain. Find this particular evidence-based recommendations on States, 2017–2019. NCHS Data Brief contraception provision. These 2020:388;1–8. information collection by selecting recommendations are intended to assist 2. Zapata LB, Pazol K, Curtis KM et al. Need ‘‘Currently under 30-day Review—Open health care providers when they counsel for contraceptive services among women for Public Comments’’ or by using the patients about choice and use of of reproductive age—45 jurisdictions, search function. contraceptive methods, with the goal of United States, 2017–2019. MMWR Morb SUPPLEMENTARY INFORMATION: reducing medical barriers to Mortal Wkly Rep 2021;70:910–15. Description: Section 511(e)(8)(A) of Title 3. Marcell AV, Gibbs SE, Choiriyyah I et al. contraception access. U.S. Medical V of the Social Security Act requires National needs of family planning among that grantees under the MIECHV Eligibility Criteria for Contraceptive Use, US men aged 15 to 44 years. Am J Public 2016 (US MEC) comprises Health 2016:106;733–9. program for states and jurisdictions recommendations for the use of specific 4. Curtis KM, Tepper NK, Jatlaoui TC, et al. submit an annual report to the Secretary contraceptive methods by persons with U.S. medical eligibility criteria for of Health and Human Services regarding certain characteristics or medical contraceptive use, 2016. MMWR the program and activities carried out conditions, such as diabetes, Recomm Rep 2016;65(RR–3):1–103. under the program, including such data hypertension, and being postpartum or 5. Curtis KM, Jatlaoui TC, Tepper NK, et al. and information as the Secretary shall breastfeeding [4]. U.S. Selected Practice U.S. selected practice recommendations require. Section 511(h)(2)(A) further Recommendations for Contraceptive for contraceptive use, 2016. MMWR states that the requirements for the Recomm Rep 2016;65(RR–4):1–66. Use, 2016 (US SPR) addresses common, MIECHV grants to tribes, tribal yet sometimes complex, issues Dated: August 16, 2021. organizations, and urban Indian regarding initiation and use of specific Sandra Cashman, organizations are to be consistent, to the contraceptive methods, such as Executive Secretary, Centers for Disease greatest extent practicable, with the examinations or tests needed before Control and Prevention. requirements for grantees under the starting a method and management of [FR Doc. 2021–17818 Filed 8–18–21; 8:45 am] MIECHV program for states and side effects [5]. Both guidance BILLING CODE 4163–18–P jurisdictions. documents are adapted from global OCC, in collaboration with the Health guidance developed by the World Resources and Services Administration, Health Organization (WHO) and are DEPARTMENT OF HEALTH AND Maternal and Child Health Bureau based on review of the scientific HUMAN SERVICES awarded grants for the Tribal MIECHV evidence and consultation with national Program (Tribal Home Visiting) to experts. CDC partners with other federal Administration for Children and support cooperative agreements to agencies and professional organizations Families conduct community needs assessments; in the development, dissemination, and plan for and implement high-quality, implementation of the guidance Submission for OMB Review; Tribal culturally-relevant, evidence-based documents to improve access to Maternal, Infant, and Early Childhood home visiting programs in at-risk tribal contraception and quality of family Home Visiting Program: Guidance for communities; establish, measure, and planning services. Submitting an Annual Report to the report on progress toward meeting CDC is committed to ensuring that the Secretary (OMB #0970–0409) performance measures in six US MEC and US SPR recommendations AGENCY: Office of Child Care, legislatively-mandated benchmark are reviewed and updated as new Administration for Children and areas; and conduct rigorous evaluation scientific evidence becomes available. Families, HHS. activities to build the knowledge base Working with WHO, CDC continuously on home visiting among Native ACTION: Request for public comment. monitors peer-reviewed literature and populations.

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After the first grant year, Tribal Home • Update on the Implementation of the final reports from grantees. This Visiting grantees must comply with the Home Visiting Program in Targeted extension request includes updates to requirement to submit an Annual Report Community(ies) the guidance to make it specific to just to the Secretary that should feature • Progress toward Meeting Legislatively the annual reports. Guidance specific to activities carried out under the program Mandated Benchmark Requirements the final report will be submitted for • during the past reporting period, and a Update on Rigorous Evaluation review and approval by OMB in the final report to the Secretary during the Activities • future. A comment period will final year of their grant. To assist Home Visiting Program Continuous accompany that request. grantees with meeting these Quality Improvement (CQI) Efforts requirements, ACF created guidance for • Update on dissemination activities Respondents: Tribal Home Visiting grantees to use when writing their • Administration of Home Visiting Managers (information collection does reports. The guidance specifies that Program not include direct interaction with grantees must address the following: • Technical Assistance Needs individuals or families that receive the • Update on Home Visiting Program Previously, the guidance included services). Goals and Objectives information about both the annual and

ANNUAL BURDEN ESTIMATES

Annual Total number of Average Annual Instrument number of responses per burden hours burden hours respondents respondent per response

Annual Report to the Secretary ...... 23 1 25 575

Estimated Total Annual Burden be obtained from Rebecca Hines, MHS, of recommendations for HHS actions Hours: 575. Executive Secretary, NCVHS, National regarding the 11th Revision of the Authority: Title V of the Social Center for Health Statistics, Centers for International Classification of Diseases Security Act, Sections 511(e)(8)(A) and Disease Control and Prevention, 3311 (ICD–11) for the Committee’s 511(h)(2)(A). Toledo Road, Hyattsville, Maryland consideration. In addition, the 20782, or via electronic mail to vgh4@ Mary B. Jones, Subcommittee will update the full cdc.gov; or by telephone (301) 458– Committee on the August 25 Listening ACF/OPRE Certifying Officer. 4715. Summaries of meetings and a Session on Healthcare Standards [FR Doc. 2021–17773 Filed 8–18–21; 8:45 am] roster of Committee members are Development, Adoption and BILLING CODE 4184–43–P available on the home page of the Implementation, and how the input NCVHS website, https://ncvhs.hhs.gov/, received from that session, as well as where further information including an from an extended public comment DEPARTMENT OF HEALTH AND agenda and instructions to access the period, is informing the Subcommittee’s HUMAN SERVICES broadcast of the meeting will be posted. ‘‘Convergence 2.0’’ project. The Should you require reasonable Meeting: National Committee on Vital Subcommittee on Privacy, accommodation, please contact the CDC and Health Statistics Confidentiality & Security will update Office of Equal Employment the Committee regarding the July 14 AGENCY: Centers for Disease Control and Opportunity on (770) 488–3210 as soon hearing on Security in Healthcare and Prevention, Health and Human Services. as possible. on its project to examine considerations ACTION: Notice of meeting. SUPPLEMENTARY INFORMATION: for data collection and use during a Purpose: As outlined in its Charter, public health emergency. The SUMMARY: Pursuant to the Federal the National Committee on Vital and Committee also will discuss a potential Advisory Committee Act, the Health Statistics assists and advises the project that would assess current Department of Health and Human Secretary of HHS on health data, data standards and practices for reporting Services (HHS) announces the following standards, statistics, privacy, national race and ethnicity data and sexual advisory committee meeting: National health information policy, and the orientation and gender identity (SOGI) Committee on Vital and Health Department’s strategy to best address data. Statistics (NCVHS), Meeting of the Full those issues. This includes the adoption Committee. This meeting is open to the and implementation of transaction The Committee will reserve time for public. The public is welcome to obtain standards, unique identifiers, operating public comment toward the end of the the link to attend this meeting by rules and code sets adopted under the schedule on both days. Meeting times following the instructions that will be Health Insurance and Portability Act of and topics are subject to change. Please posted here prior to the meeting: https:// 1996 (HIPAA).1 At this meeting, the refer to the agenda posted at the NCVHS ncvhs.hhs.gov/meetings/full-committee- Committee will receive updates from website for this meeting https:// meeting-8/. HHS officials, hold discussions on ncvhs.hhs.gov/meetings/full-committee- meeting-8/ for any updates. DATES: The meeting will be held current health data policy topics, and Thursday, September 9, 2021: 10:30 discuss its work plan for the upcoming Sharon Arnold, a.m.–5:00 p.m. EST and Friday, period. The Subcommittee on Standards will Associate Deputy Assistant Secretary for September 10, 2021: 10:30 a.m.–5:00 Planning and Evaluation, Science and Data p.m. EST bring forward a letter that outlines a set Policy, Office of the Assistant Secretary for ADDRESSES: Virtual open meeting. Planning and Evaluation. 1 Public Law 104–191, 110 Stat. 1936 (Aug 21, [FR Doc. 2021–17809 Filed 8–18–21; 8:45 am] FOR FURTHER INFORMATION CONTACT: 1996), available at https://www.congress.gov/104/ Substantive program information may plaws/publ191/PLAW-104publ191.pdf. BILLING CODE 4150–05–P

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DEPARTMENT OF HEALTH AND • Smith AM, Dykeman CA, King BL, —electron microscopy images of remote HUMAN SERVICES Yin VP. Modulation of TNFa Activity and injury zones of resected 7-dpa by the microRNA Let-7 Coordinates hearts in Figure 4A of PNAS 2018 Office of the Secretary Heart Regeneration. iScience draft, iScience 2018 draft, iScience 2019;17:225–29; doi: 10.1016/ 2019, and iScience Correction Findings of Research Misconduct j.isci.2019.06.017 (hereafter referred to —images of Tg(gata4:GFP) expression in AGENCY: Office of the Secretary, HHS. as ‘‘iScience Correction’’). the primordial heart muscle layer in • Figure 4B of PNAS 2018 draft, ACTION: Notice. Beauchemin M, Smith A, Yin VP. Dynamic microRNA–101a and Fosab iScience 2018 draft, iScience 2019, SUMMARY: Findings of research expression controls zebrafish heart and iScience Correction misconduct have been made against regeneration. Development —quantification of gata4:GFP Viravuth Yin, Ph.D. (Respondent), 2015;142:4026–37; doi: 10.1242/ expression in control and LNA-let-7 former Associate Professor, Mount dev.126649 (hereafter referred to as treated hearts in Figure 4C of iScience Desert Island Biological Laboratory ‘‘Development 2015’’). 2019 and iScience Correction (MDIBL). Respondent engaged in • Smith AM, Dykeman CA, Yin VP. —RNA transcripts identifying research misconduct in research Modulation of epicardial TNFa Activity differentially upregulated TNFa supported by U.S. Public Health Service by the microRNA Let-7 Coordinates the transcripts in Figure 5A of PNAS 2018 (PHS) funds, specifically National Zebrafish Heart Regeneration. draft, iScience 2018 draft, iScience Institute of General Medical Sciences Manuscript submitted to iScience in 2019, and their resultant qPCR results, (NIGMS), National Institutes of Health 2018 (hereafter referred to as ‘‘iScience which identified increased TNFa (NIH), grants P20 GM104318 and P20 2018 draft’’). expression in Figure 5C of PNAS 2018 GM103423. The administrative actions, • Smith AM, Dykeman CA, Yin VP. draft, Figure 5B of iScience 2018 draft, including supervision for a period of Modulation of epicardial TNFa Activity iScience 2019, and Table S1 of two (2) years, were implemented by the microRNA let-7 coordinates the iScience 2019 beginning on August 2, 2021, and are zebrafish heart regeneration. Manuscript —CM proliferation analyses results in detailed below. submitted to PNAS in 2018 (hereafter Figures S4B and S4C of PNAS 2018 draft and iScience 2018 draft, and FOR FURTHER INFORMATION CONTACT: referred to as ‘‘PNAS 2018 draft’’). Specifically, Respondent Figures S5B and S5C of iScience 2019 Wanda K. Jones, Dr.P.H., Acting —images representing the function of Director, Office of Research Integrity, intentionally, knowingly, and/or recklessly falsified and/or fabricated let-7 in Figure 2C of iScience 1101 Wootton Parkway, Suite 240, Correction and reusing and relabeling Rockville, MD 20852, (240) 453–8200. data by: • Reusing, relabeling, and reporting images from an unrelated experiment, SUPPLEMENTARY INFORMATION: Notice is such that let-7 function is not hereby given that the Office of Research Phosphate Buffered Saline (PBS) controls as scrambled antisense Locked represented in the image Integrity (ORI) has taken final action in —images reporting the function of let-7 Nucleic Acids (LNAs) in the following the following case: in Figure 3A of iScience Correction Viravuth Yin, Ph.D., Mount Desert experimental results: —images representing differences in the Island Biological Laboratory: Based on —RT-qPCR data representing the effects of miR–101a depletion on the report of an investigation conducted knockdown of let7 expression in Met2 and PNA expression and the by MDIBL and analysis conducted by Figure 2B of PNAS 2018 draft, quantification of cardiomyocyte ORI in its oversight review, ORI found iScience 2018 draft, and iScience proliferation in uninjured control and that Dr. Viravuth Yin, former Associate 2019 Tg(hs:miR-101a-sp) heat exposed Professor, MDIBL, engaged in research —images of tcf21:Dsred expression in hearts (CM proliferation analysis) in misconduct in research supported by LNA-let-7 treated hearts at 3, 14, and Figures 2A, 2B, 2C, and 2D, and PHS funds, specifically NIGMS, NIH, 21 days post- amputation (dpa) results in Figure 2E of Development grants P20 GM104318 and P20 showing defects in wound closure in 2015 GM103423. Figure 2C of PNAS 2018 draft, —muscle, fibrin, and collagen staining Respondent neither admits nor denies iScience 2018 draft, and iScience images representing increased scar ORI’s findings of research misconduct. 2019 tissue presence in Tg(hs:miR-101a-sp) The settlement is not an admission of —quantification of tcf21:Dsred heat-treated hearts, as compared to liability on the part of the Respondent. expression within the resection wild type hearts in Figures 3A, 3B, The parties entered into a Voluntary wound in LNA-let-7 treated hearts in 3C, 3D, 3E, and 3F of Development Settlement Agreement to conclude this Figure 2D of iScience 2019 2015 matter without further expenditure of —images exhibiting proliferating —scarring indices and the size of the time, finances, or other resources. cardiac muscle (CM) in Figure 3A of injured area in wild type versus ORI found that Respondent engaged PNAS 2018 draft, iScience 2018 draft, Tg(hs:miR-101a-sp) heat-treated in research misconduct by knowingly, and iScience 2019 hearts in Figures 3G and 3H of intentionally, and/or recklessly —suppression of CM proliferation Development 2015 falsifying and/or fabricating data indices in LNA-let-7 hearts at 3 and —differences in (1) the amount of included in the following three (3) 7 dpa in Figure 3B of PNAS 2018 scarring, as represented by AFOG published papers and two (2) submitted draft, iScience 2018 draft, and staining in control and Tg (hs:miR- manuscripts: iScience 2019 101-a-sp) ventricles from resected and • Smith AM, Dykeman CA, King BL, —severity of the injured heart heat-treated hearts in Figures 4B and Yin VP. Modulation of TNFa Activity phenotype in Figure 3C of PNAS 2018 4C; (2) the amount of scar tissue in the by the microRNA Let-7 Coordinates draft, iScience 2018 draft, and presence of suppressed miR-101a Heart Regeneration. iScience 2019;15:1– iScience 2019 expression in Tg(hs:miR-101a-sp) 15; doi: 10.1016/j.isci.2019.04.009 —quantification of the severity of the hearts, compared to control hearts in (hereafter referred to as ‘‘iScience injury heart phenotype in Figure 3D Figures 4H and 4I; and (3) the 2019’’). of iScience 2019 quantification of the scarring indices

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in control versus Tg(hs:miR-101a-sp) data and the reported methods in August 2, 2021, any institution hearts in Figure 4J of Development Development 2015, concluding that employing him shall submit, in 2015 miR-101a controls both CM conjunction with each application of —differences in (1) the amount of proliferation and scar tissue removal, PHS funds, or report, manuscript, or scarring, as represented by comparing by falsely reporting the use of LNA abstract involving PHS-supported AFOG staining in control and oligonucleotides to modulate miR-101 research in which Respondent is Tg(hs:miR-101a-sp) and Tg(hs:miR- activity in vivo to elucidate its involved, a certification to ORI that the 133a1-pre) hearts exposed to long contributions during adult heart data provided by Respondent are based term heat therapy in Figures 5A, 5B regeneration on actual experiments or are otherwise and 5C, or Tropomyosin staining in Dr. Yin entered into a Voluntary legitimately derived and that the data, Figures 5D, 5E, and 5F; and (2) the Settlement Agreement (Agreement) and procedures, and methodology are quantification of the scarring indices, voluntarily agreed to the following: accurately reported in the application, tropomyosin expression, and injury (1) Respondent agreed to have his report, manuscript or abstract. area in Figures 5G, 5H, and 5I of research supervised for a period of two (4) If no supervisory plan is provided Development 2015 (2) years beginning on August 2, 2021. to ORI, Respondent agreed to provide —increased Fosab expression in Respondent agreed that prior to certification to ORI at the conclusion of Tg(hs:miR-101a-sp) ventricles relative submission of an application for PHS the supervision period that he has not to controls in Figures 6A and 6B, RNA support for a research project on which engaged in, applied for, or had his name in situ hybridization studies in Respondent’s participation is proposed included on any application, proposal, control and regenerating hearts and prior to Respondent’s participation or other request for PHS funds without detecting miR-101a expression in in any capacity on PHS-supported prior notification to ORI. (5) Respondent agreed to exclude Figures 6C, 6D, 6E, and 6E’, and Fosab research, Respondent shall ensure that a himself voluntarily from serving in any expression in Figures 6F, 6G, 6H, and plan for supervision of Respondent’s advisory capacity to PHS including, but 6H’ of Development 2015 duties is submitted to ORI for approval. not limited to, service on any PHS —images reporting significant The supervision plan must be designed advisory committee, board, and/or peer differences in Dsred expression, to ensure the scientific integrity of review committee, or as a consultant for cardiomyocyte proliferation, collagen Respondent’s research contribution. a period of two (2) years, beginning on and fibrin staining, and scar tissue Respondent agreed that he shall not August 2, 2021. removal in ventricles from zebrafish participate in any PHS-supported treated with lna-Let-7, as compared to (6) As a condition of the Agreement, research until such a supervision plan is Respondent will request that the scrambled control, to support the submitted to and approved by ORI. importance of miR-101a in scar tissue following papers be retracted in Respondent agreed to maintain accordance with 42 CFR 93.407(a)(1) removal/ventricular regeneration in responsibility for compliance with the Figures 6H, 6I, 6J, 7C, 7D, and 7E of and § 93.411(b): agreed upon supervision plan. • Development 2015 (2) The requirements for Respondent’s Development 2015 Dec • reporting research methods and supervision plan are as follows: 1;142(23):4026–37 • iScience 2019 May 31;15:1–15 statistics that were not performed in the i. A committee of 2–3 senior faculty • iScience 2019 Jul 26;17:225–29 following experimental results: members at the institution who are —PCR data in the graph represented in familiar with Respondent’s field of Respondent will copy ORI and the Figure 2B of PNAS 2018 draft, research, but not including Research Integrity Officer at MDIBL on iScience 2018 draft, and iScience Respondent’s supervisor or the correspondence. 2019, by representing the data from collaborators, will provide oversight and Dated: August 16, 2021. two (2) remote PCR experiments as guidance for a period of two (2) years Wanda K. Jones, being from the same experiment from the effective date of the Acting Director, Office of Research Integrity, —PCR data in the graph represented in Agreement. The committee will review Office of the Assistant Secretary for Health. Figure 2B of iScience Correction by primary data from Respondent’s [FR Doc. 2021–17777 Filed 8–18–21; 8:45 am] reusing and relabeling a graph laboratory on a quarterly basis and BILLING CODE 4150–31–P containing data that were the result of submit a report to ORI at six (6) month different experimental conditions intervals setting forth the committee (exposure to heat shock), to include meeting dates and Respondent’s DEPARTMENT OF HEALTH AND scrambled control data compliance with appropriate research HUMAN SERVICES —control data and statistical differences standards and confirming the integrity between control and experimental of Respondent’s research. National Institutes of Health data represented in PNAS 2018 draft, ii. The committee will conduct an National Cancer Institute; Notice of iScience 2018 draft, iScience 2019, advance review of any PHS grant Meeting and iScience Correction, by falsely applications (including supplements, reporting the use of both antisense resubmissions, etc.), manuscripts Pursuant to section 10(a) of the scrambled and LNA oligonucleotides reporting PHS-funded research Federal Advisory Committee Act, as that were designed and administered submitted for publication, and abstracts. amended, notice is hereby given of a to adult animals via intraperitoneal The review will include a discussion meeting of the National Cancer Institute injection at 10ug/g body weight with Respondent of the primary data Clinical Trials and Translational —representing the ‘‘n’’ of one biological represented in those documents and Research Advisory Committee. replicate or one experiment as being will include a certification to ORI that The meeting will be held as a virtual multiple independent samples or the data presented in the proposed meeting and is open to the public. experiments in iScience 2019 and application/publication is supported by Individuals who plan to view the virtual iScience Correction the research record. meeting and need special assistance or —control data and statistical differences (3) Respondent agreed that for a other reasonable accommodations to between control and experimental period of two (2) years beginning on view the meeting, should notify the

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Contact Person listed below in advance This notice is being amended to Extramural Activities, National Cancer of the meeting. The meeting will be change the meeting date from Institute, NIH, 9609 Medical Center Drive, videocast and can be accessed from the September 13–14, 2021 to September Room 7W624, Rockville, Maryland 20850, NIH Videocasting and Podcasting 13, 2021. The start time for open session 240–276–6132, [email protected]. website (http://videocast.nih.gov). is also amended and will now start at Name of Committee: National Cancer 11:45 a.m. and adjourn at 5:15 p.m. The Institute Special Emphasis Panel; Name of Committee: National Cancer Strengthening Institutional Capacity to Institute Clinical Trials and Translational meeting is partially closed to the public. Conduct Global Cancer Research in Low- and Research Advisory Committee. Dated: August 16, 2021. Middle-Income Countries. Date: November 10, 2021. David Freeman, Date: October 12, 2021. Time: 11:00 a.m. to 3:00 p.m. Time: 12:00 p.m. to 4:00 p.m. Program Analyst, Office of Federal Advisory Agenda: Strategic Discussion of NCI’s Agenda: To review and evaluate grant Committee Policy. Clinical and Translational Research applications. Programs. [FR Doc. 2021–17819 Filed 8–18–21; 8:45 am] Place: National Cancer Institute at Shady Place: National Cancer Institute, 9609 BILLING CODE 4140–01–P Grove, 9609 Medical Center Drive, Room Medical Center Drive, Rockville, MD 20850 7W248, Rockville, Maryland 20850 (Virtual Meeting). (Telephone Conference Call). Contact Person: Sheila A. Prindiville, M.D., DEPARTMENT OF HEALTH AND Contact Person: Shree Ram Singh, Ph.D., M.P.H., Director, Coordinating Center for Scientific Review Officer, Special Review Clinical Trials, National Cancer Institute, HUMAN SERVICES Branch, Division of Extramural Activities, National Institutes of Health, 9609 Medical National Cancer Institute, NIH, 9609 Medical Center Drive, Room 6W136, Rockville, MD National Institutes of Health Center Drive, Room 7W248, Rockville, 20850, 240–276–6173, prindivs@ Maryland 20850, 240–672–6175, singhshr@ mail.nih.gov. National Cancer Institute; Notice of Closed Meetings mail.nih.gov. Any interested person may file written comments with the committee by forwarding Name of Committee: National Cancer Pursuant to section 10(d) of the Institute Special Emphasis Panel; NCI the statement to the Contact Person listed on Federal Advisory Committee Act, as this notice. The statement should include the Review of Informatics Technology in Cancer name, address, telephone number and when amended, notice is hereby given of the Research. applicable, the business or professional following meetings. Date: October 14–15, 2021. affiliation of the interested person. The meetings will be closed to the Time: 11:00 a.m. to 6:00 p.m. Information is also available on the public in accordance with the Agenda: To review and evaluate grant Institute’s/Center’s home page: http:// provisions set forth in sections applications. deainfo.nci.nih.gov/advisory/ctac/ctac.htm, 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Place: National Cancer Institute at Shady where an agenda and any additional as amended. The grant applications and Grove, 9609 Medical Center Drive, Room 7W640, Rockville, Maryland 20850 information for the meeting will be posted the discussions could disclose when available. (Telephone Conference Call). confidential trade secrets or commercial Contact Person: Saejeong J. Kim, Ph.D., (Catalogue of Federal Domestic Assistance property such as patentable material, Program Nos. 93.392, Cancer Construction; Scientific Review Officer, Special Review 93.393, Cancer Cause and Prevention and personal information concerning Branch, Division of Extramural Activities, Research; 93.394, Cancer Detection and individuals associated with the grant National Cancer Institute, NIH, 9609 Medical Diagnosis Research; 93.395, Cancer applications, the disclosure of which Center Drive, Room 7W640, Rockville, Treatment Research; 93.396, Cancer Biology would constitute a clearly unwarranted Maryland 20850, 240–276–7684, Research; 93.397, Cancer Centers Support; invasion of personal privacy. [email protected]. 93.398, Cancer Research Manpower; 93.399, Name of Committee: National Cancer Cancer Control, National Institutes of Health, Name of Committee: National Cancer Institute Initial Review Group; Institutional Institute Special Emphasis Panel; SEP–5: NCI HHS) Training and Education Study Section (F). Clinical and Translational Cancer Research. Date: October 18–19, 2021. Dated: August 16, 2021. Date: October 6–7, 2021. Time: 10:00 a.m. to 7:00 p.m. Time: 10:00 a.m. to 2:00 p.m. Melanie J. Pantoja, Agenda: To review and evaluate grant Agenda: To review and evaluate grant Program Analyst, Office of Federal Advisory applications. Committee Policy. applications. Place: National Cancer Institute at Shady Place: National Cancer Institute at Shady [FR Doc. 2021–17821 Filed 8–18–21; 8:45 am] Grove, 9609 Medical Center Drive, Room Grove, 9609 Medical Center Drive, Room BILLING CODE 4140–01–P 7W248, Rockville, Maryland 20850 7W234, Rockville, Maryland 20850 (Telephone Conference Call). (Telephone Conference Call). Contact Person: Shree Ram Singh, Ph.D., Contact Person: Adriana Stoica, Ph.D., DEPARTMENT OF HEALTH AND Scientific Review Officer, Special Review Scientific Review Officer, Resources and HUMAN SERVICES Branch, Division of Extramural Activities, Training Review Branch, Division of National Cancer Institute, NIH, 9609 Medical Extramural Activities, National Cancer National Institutes of Health Center Drive, Room 7W248, Rockville, Institute, NIH, 9609 Medical Center Drive, Maryland 20850, 240–672–6175, singhshr@ 7W234, Rockville, Maryland 20850, 240– National Institute of Environmental mail.nih.gov. 276–6368, [email protected]. Health Sciences; Amended Notice of Name of Committee: National Cancer Name of Committee: National Cancer Meeting Institute Initial Review Group; Career Institute Special Emphasis Panel; Centers on Development Study Section (J). Telehealth Research for Cancer-Related Care Notice is hereby given of a change in Date: October 12–13, 2021. (P50 Clinical Trial Required). the meeting of the National Advisory Time: 10:00 a.m. to 6:00 p.m. Date: October 20–21, 2021. Environmental Health Sciences Council, Agenda: To review and evaluate grant Time: 9:00 a.m. to 3:00 p.m. September 13, 2021, 11:00 a.m. to applications. Agenda: To review and evaluate grant September 14, 2021, 04:45 p.m., Place: National Cancer Institute at Shady applications. Place: National Cancer Institute at Shady National Institute of Environmental Grove, 9609 Medical Center Drive, Room 7W624, Rockville, Maryland 20850 Grove, 9609 Medical Center Drive, Room Health Science, Durham, NC 27709 (Telephone Conference Call). 7W108, Rockville, Maryland 20850 which was published in the Federal Contact Person: Tushar Deb, Ph.D., (Telephone Conference Call). Register on August 16, 2021, FR Doc Scientific Review Officer, Resources & Contact Person: Clifford W. Schweinfest, 2021–17410, 86 FR 45742. Training Review Branch, Division of Ph.D., Scientific Review Officer, Special

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Review Branch, Division of Extramural Technology and Contract Review Branch, Contact Person: Klaus B. Piontek, Ph.D., Activities, National Cancer Institute, NIH, Division of Extramural Activities, National Scientific Review Officer, Research Programs 9609 Medical Center Drive, Room 7W108, Cancer Institute, NIH, 9609 Medical Center Review Branch, Division of Extramural Rockville, Maryland 20850, 240–276–6343, Drive, Room 7W114, Rockville, Maryland Activities, National Cancer Institute, NIH, [email protected]. 20850, 240–276–6371, [email protected]. 9609 Medical Center Drive, Room 7W116, Name of Committee: National Cancer Name of Committee: National Cancer Rockville, Maryland 20850, 240–276–5413, Institute Special Emphasis Panel; NCI Institute Special Emphasis Panel; Oncology [email protected]. Program Project IV. Co-Clinical Imaging Research Resources to (Catalogue of Federal Domestic Assistance Date: November 2–3, 2021. Encourage Consensus on Quantitative Program Nos. 93.392, Cancer Construction; Time: 10:00 a.m. to 6:00 p.m. Imaging Methods and Precision Medicine 93.393, Cancer Cause and Prevention Agenda: To review and evaluate grant (U24—Clinical Trial Optional). Research; 93.394, Cancer Detection and applications. Date: November 15, 2021. Diagnosis Research; 93.395, Cancer Place: National Cancer Institute at Shady Time: 11:00 a.m. to 4:00 p.m. Treatment Research; 93.396, Cancer Biology Grove, 9609 Medical Center Drive, Room Agenda: To review and evaluate grant Research; 93.397, Cancer Centers Support; 7W120, Rockville, Maryland 20850 applications. 93.398, Cancer Research Manpower; 93.399, (Telephone Conference Call). Place: National Cancer Institute at Shady Cancer Control, National Institutes of Health, Contact Person: Majed M. Hamawy, Ph.D., Grove, 9609 Medical Center Drive, Room HHS) Scientific Review Officer, Research Programs 7W634, Rockville, Maryland 20850 Review Branch, Division of Extramural (Telephone Conference Call). Dated: August 16, 2021. Activities, National Cancer Institute, NIH, Contact Person: Michael E. Lindquist, Melanie J. Pantoja, 9609 Medical Center Drive, Room 7W120, Ph.D., Scientific Review Officer, Research Program Analyst, Office of Federal Advisory Rockville, Maryland 20850, 240–276–6457, Programs Review Branch, Division of Committee Policy. [email protected]. Extramural Activities, National Cancer [FR Doc. 2021–17820 Filed 8–18–21; 8:45 am] Institute, NIH, 9609 Medical Center Drive, Name of Committee: National Cancer BILLING CODE 4140–01–P Institute Special Emphasis Panel; SEP–11: 7W634, Rockville, Maryland 20850, NCI Clinical and Translational Cancer [email protected]. Research. Name of Committee: National Cancer Date: November 9, 2021. Institute Special Emphasis Panel; Revision DEPARTMENT OF HEALTH AND Time: 11:00 a.m. to 4:30 p.m. Applications for Mechanisms of Cancer Drug HUMAN SERVICES Agenda: To review and evaluate grant Resistance. applications. Date: November 16, 2021. National Institutes of Health Place: National Cancer Institute at Shady Time: 10:00 a.m. to 5:00 p.m. Grove, 9609 Medical Center Drive, Room Agenda: To review and evaluate grant National Institute of Biomedical 7W542, Rockville, Maryland 20850 applications. Imaging and Bioengineering; Notice of (Telephone Conference Call). Place: National Cancer Institute at Shady Closed Meetings Contact Person: Biman Chandra Paria, Grove, 9609 Medical Center Drive, Room Ph.D., Scientific Review Officer, Program 7W248, Rockville, Maryland 20850 Pursuant to section 10(d) of the Coordination and Referral Branch, Division (Telephone Conference Call). Federal Advisory Committee Act, as of Extramural Activities, National Cancer Contact Person: Anita T. Tandle, Ph.D., amended, notice is hereby given of a Institute, NIH, 9606 Medical Center Drive, Scientific Review Officer, Research Programs meeting of the National Institute of Room 7W542, Rockville, Maryland 20850, Review Branch, Division of Extramural Biomedical Imaging and Bioengineering 240–276–6454, [email protected]. Activities, National Cancer Institute, NIH, Special Emphasis Panel. Name of Committee: National Cancer 9609 Medical Center Drive, Room 7W248, The meetings will be closed to the Institute Special Emphasis Panel; Exercise Rockville, Maryland 20850, 240–276–5085, public in accordance with the [email protected]. and Nutrition Interventions to Improve provisions set forth in sections Cancer Treatment-Related Outcomes Name of Committee: National Cancer 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., (ENICTO) in Cancer Survivors Consortium Institute Special Emphasis Panel; Assay (U01–U24). Validation of High-Quality Markers for as amended. The grant applications and Date: November 10, 2021. Clinical Studies in Cancer (UH2/UH3). the discussions could disclose Time: 9:00 a.m. to 6:00 p.m. Date: November 17, 2021. confidential trade secrets or commercial Agenda: To review and evaluate grant Time: 10:00 a.m. to 6:30 p.m. property such as patentable material, applications. Agenda: To review and evaluate grant and personal information concerning Place: National Cancer Institute at Shady applications. individuals associated with the grant Grove, 9609 Medical Center Drive, Room Place: National Cancer Institute at Shady applications, the disclosure of which 7W618, Rockville, Maryland 20850 Grove, 9609 Medical Center Drive, Room would constitute a clearly unwarranted (Telephone Conference Call). 7W244, Rockville, Maryland 20850 Contact Person: Mukesh Kumar, Ph.D., (Telephone Conference Call). invasion of personal privacy. Scientific Review Officer, Research Program Contact Person: John Paul Cairns, Ph.D., Name of Committee: National Institute of Review Branch, Division of Extramural Scientific Review Officer, Research Programs Biomedical Imaging and Bioengineering Activities, National Cancer Institute, NIH, Review Branch, Division of Extramural Special Emphasis Panel; ESTEEMED 9609 Medical Center Drive, Room 7W618, Activities, National Cancer Institute, NIH, Research Education Experiences (R25) Rockville, Maryland 20850, 240–276–6611, 9609 Medical Center Drive, Room 7W244, Program Review SEP. [email protected]. Rockville, Maryland 20850, 240–276–5415, Date: November 4, 2021. Name of Committee: National Cancer [email protected]. Time: 9:00 a.m. to 6:00 p.m. Institute Special Emphasis Panel; Novel Name of Committee: National Cancer Agenda: To review and evaluate grant Technologies for Global Health. Institute Special Emphasis Panel; NCI U01 applications. Date: November 10, 2021. Review: Integrating Biospecimen Science Place: National Institutes of Health, Two Time: 9:30 a.m. to 6:00 p.m. Approaches into Clinical Assay. Democracy Plaza, 6707 Democracy Agenda: To review and evaluate grant Date: November 18, 2021. Boulevard, Bethesda, MD 20892 (Virtual applications. Time: 11:00 a.m. to 5:00 p.m. Meeting). Place: National Cancer Institute at Shady Agenda: To review and evaluate grant Contact Person: Dennis Hlasta, Ph.D., Grove, 9609 Medical Center Drive, Room applications. Scientific Review Officer, National Institute 7W114, Rockville, Maryland 20850 Place: National Cancer Institute at Shady of Biomedical Imaging and Bioengineering, (Telephone Conference Call). Grove, 9609 Medical Center Drive, Room National Institutes of Health, 6707 Contact Person: Jeffrey E. DeClue, Ph.D., 7W116, Rockville, Maryland 20850 Democracy Blvd., Bethesda, MD 20892, (301) Scientific Review Officer, Research (Telephone Conference Call). 451–4794, [email protected].

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Name of Committee: National Institute of reference OMB Control Number 1028– information in your comment, you Biomedical Imaging and Bioengineering NEW in the subject line of your should be aware that your entire Special Emphasis Panel; P41 NCBIB Review comments. comment—including your personal C–SEP. FOR FURTHER INFORMATION CONTACT: To identifying information may be made Date: November 8–10, 2021. publicly available at any time. While Time: 10:00 a.m. to 2:00 p.m. request additional information about Agenda: To review and evaluate grant this ICR, contact Michael Tinker by you can ask us in your comment to applications. email at [email protected], or by withhold your personal identifying Place: National Institutes of Health, Two telephone at 303–202–4476. You may information from public review, we Democracy Plaza, 6707 Democracy Plaza, also view the ICR at http:// cannot guarantee that we will be able to Bethesda, MD 20892 (Virtual Meeting). www.reginfo.gov/public/do/PRAMain. do so. Contact Person: Manana Sukhareva, Ph.D., Scientific Review Officer, National Institute Individuals who are hearing or speech Abstract of Biomedical Imaging and Bioengineering, impaired may call the Federal Relay The Hydrography Addressing Tool National Institutes of Health, 6707 Service at 1–800–877–8339 for TTY (HydroAdd) is a web tool built by the Democracy Blvd., Suite 959, Bethesda, MD assistance. USGS National Geospatial Program 20892, (301) 451–3397, sukharem@ SUPPLEMENTARY INFORMATION: In (NGP). HydroAdd will support users by mail.nih.gov. accordance with the PRA and 5 CFR providing a mechanism for referencing, (Catalogue of Federal Domestic Assistance 1320.8(d)(1), we provide the general or addressing, diverse external datasets Program Nos. 93.866, National Institute of public and other Federal agencies with to the National Hydrography Dataset Biomedical Imaging and Bioengineering, National Institutes of Health, HHS) an opportunity to comment on new, (NHD). As an example, a user could use proposed, revised, and continuing HydroAdd to reference the geographic Dated:August 13, 2021. collections of information. This helps us locations and other details of field David W. Freeman, assess the impact of our information observations of fish presence to the Program Analyst, Office of Federal Advisory collection requirements and minimize NHD. HydroAdd will provide a Committee Policy. the public’s reporting burden. It also framework for the management of [FR Doc. 2021–17748 Filed 8–18–21; 8:45 am] helps the public understand our addressed data, as well as enable BILLING CODE 4140–01–P information collection requirements and upstream and down-stream analyses provide the requested data in the within the context of the stream desired format. network itself. Any type of information DEPARTMENT OF THE INTERIOR A Federal Register notice with a 60- could be addressed to the stream day public comment period soliciting network in this way, making this tool Geological Survey comments on this collection of highly useful for a broad range of [GX20EG31DW50100; OMB Control Number information was published on February purposes that benefit the Nation. 1028–NEW] 3, 2021, (86 FR 8030). No comments HydroAdd users will be Federal were received. employees, such as USGS or other Agency Information Collection As part of our continuing effort to Department of the Interior (DOI) Activities; Submission to the Office of reduce paperwork and respondent employees; or members of the public, Management and Budget for Review burdens, we are again soliciting such as state, local, private sector, and Approval; Hydrography comments from the public and other academic, or other users with Addressing Tool Federal agencies on the proposed ICR knowledge of GIS and knowledge of that is described below. We are how to create a web feature service. AGENCY: U.S. Geological Survey, especially interested in public comment HydroAdd allows users to edit the Interior. addressing the following: geometry of the features in their web ACTION: Notice of information collection; (1) Whether or not the collection of feature services to be coincident with request for comment. information is necessary for the proper NHD features. Users cannot edit the performance of the functions of the NHD with HydroAdd as it is displayed SUMMARY: In accordance with the agency, including whether or not the in the application as a read-only Paperwork Reduction Act of 1995 (PRA, information will have practical utility; reference layer. Users must make their 44 U.S.C. 3501 et seq.), we, the U.S. (2) The accuracy of our estimate of the own datasets available to HydroAdd as Geological Survey (USGS) are proposing burden for this collection of a web feature service, either from their a new information collection. information, including the validity of own server hardware or from a third- DATES: Interested persons are invited to the methodology and assumptions used; party service, and all edits take place in submit comments on or before (3) Ways to enhance the quality, their own web feature service. September 20, 2021. utility, and clarity of the information to To use HydroAdd, users must register ADDRESSES: Written comments and be collected; and a user account profile which contains recommendations for the proposed (4) How might the agency minimize their business email and username. This information collection should be sent the burden of the collection of information is stored in the application within 30 days of publication of this information on those who are to database. A user’s profile is visible only notice to www.reginfo.gov/public/do/ respond, including through the use of to themselves and by HydroAdd PRAMain. Find this particular appropriate automated, electronic, administrators. HydroAdd information collection by selecting mechanical, or other technological administrators are a limited group of ‘‘Currently under 30-day Review—Open collection techniques or other forms of USGS staff. User accounts are important for Public Comments’’ or by using the information technology, e.g., permitting because they enable HydroAdd search function. Please provide a copy electronic submission of response. administrators to contact and help the of your comments to U.S. Geological Comments that you submit in user if needed, help to protect the user’s Survey, Information Collections Officer, response to this notice are a matter of data from edit by anyone who is not the 12201 Sunrise Valley Drive MS 159, public record. Before including your user, and enable tracking on the editing Reston, VA 20192; or by email to gs- address, phone number, email address, history for the datasets through [email protected]. Please or other personal identifying reporting.

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HydroAdd administrators also have information collection should be sent Comments that you submit in access to reporting functions. The within 30 days of publication of this response to this notice are a matter of reports detail the edit history of the notice to www.reginfo.gov/public/do/ public record. Before including your service layer. User profiles are visible in PRAMain. Find this particular address, phone number, email address, these reports. Standard editors do not information collection by selecting or other personal identifying have access to the reporting functions. ‘‘Currently under 30-day Review—Open information in your comment, you Title of Collection: Hydrography for Public Comments’’ or by using the should be aware that your entire Addressing Tool. search function. comment—including your personal OMB Control Number: 1028–NEW. FOR FURTHER INFORMATION CONTACT: To identifying information—may be made Form Number: NA. request additional information about publicly available at any time. While Type of Review: NEW. this information collection request you can ask us in your comment to Respondents/Affected: Public USGS (ICR), contact Jennifer Spencer by email withhold your personal identifying Water Scientists, NHD stewards and at [email protected], or by telephone at information from public review, we editors affiliated with Federal, State, 202–912–7146. Individuals who are cannot guarantee that we will be able to Local governments, and universities. hearing or speech impaired may call the do so. Total Estimated Number of Annual Federal Relay Service at 1–800–877– Abstract: This information collection Respondents: 100. 8339 for TTY assistance. You may also pertains to onshore geophysical Total Estimated Number of Annual view the ICR at http://www.reginfo.gov/ exploration on Federal lands. Federal Responses: 100. public/do/PRAMain. land-management agencies are Estimated Completion Time per responsible for regulating geophysical Response: 1 minute. SUPPLEMENTARY INFORMATION: In exploration on the Federal surface Total Estimated Number of Annual accordance with the Paperwork estate. The BLM regulates exploration Burden Hours: 2 hours. Reduction Act of 1995 (PRA, 44 U.S.C. Respondent’s Obligation: Voluntary. 3501 et seq.) and 5 CFR 1320.8(d)(1), we for oil and gas on lands it manages, and Frequency of Collection: one time, or provide the general public and other on occasion regulates such exploration as needed if respondent business Federal agencies with an opportunity to on lands managed by other Federal contact information changes. comment on new, proposed, revised, land-management agencies. The U.S. Total Estimated Annual Nonhour and continuing collections of Forest Service (USFS) regulates Burden Cost: None. information. This helps us assess the exploration for various types of An agency may not conduct, or impact of our information collection minerals, including oil and gas, on sponsor and a person is not required to requirements and minimize the public’s lands it manages. The BLM and the respond to a collection of information reporting burden. It also helps the USFS propose to revise the accuracy unless it displays a currently valid OMB public understand our information and usefulness of the forms they use for control number. collection requirements and provide the this collection of information. OMB The authority for this action is the requested data in the desired format. Control Number 1004–0162 is currently Paperwork Reduction Act of 1995 (44 A Federal Register notice with a 60- scheduled to expire on October 31, U.S.C. 3501 et seq.). day public comment period soliciting 2021. The BLM is requesting that OMB comments on this collection of renew this Control Number for an David Brostuen, information was published on May 18, additional three years. Director, National Geospatial Technical 2021 (86 FR 26938). No comments were Title of Collection: Onshore Operations Center. received. Geophysical Exploration (43 CFR part [FR Doc. 2021–17768 Filed 8–18–21; 8:45 am] As part of our continuing effort to 3150 and 36 CFR parts 228 and 251). BILLING CODE P reduce paperwork and respondent OMB Control Number: 1004–0162. burdens, we are again soliciting Form Numbers: BLM Form 3150–4/FS comments from the public and other Form 2800–16 and BLM Form 3150–5/ DEPARTMENT OF THE INTERIOR Federal agencies on the proposed ICR FS Form 2800–16a. that is described below. We are Type of Review: Extension of a Bureau of Land Management especially interested in public comment currently approved collection. [LLHQ310000.L13100000.PP0000; OMB addressing the following: Respondents/Affected Public: The Control No. 1004–0162] (1) Whether or not the collection of respondents for this collection of information is necessary for the proper information are businesses that seek to Agency Information Collection performance of the functions of the conduct geophysical exploration on Activities; Onshore Geophysical agency, including whether or not the Federal lands. Exploration information will have practical utility; Total Estimated Number of Annual (2) The accuracy of our estimate of the Respondents: 68. AGENCY: Bureau of Land Management, burden for this collection of Total Estimated Number of Annual Interior. information, including the validity of Responses: 68. ACTION: Notice of information collection; the methodology and assumptions used; Estimated Completion Time per request for comment. (3) Ways to enhance the quality, Response: Varies from 20 minutes to 1 utility, and clarity of the information to hour, depending on activity. SUMMARY: In accordance with the be collected; and Total Estimated Number of Annual Paperwork Reduction Act of 1995 (4) How might the agency minimize Burden Hours: 26. (PRA), the Bureau of Land Management the burden of the collection of Respondent’s Obligation: Required to (BLM) proposes to renew an information information on those who are to obtain or retain a benefit. collection. respond, including through the use of Frequency of Collection: On occasion. DATES: Interested persons are invited to appropriate automated, electronic, Total Estimated Annual Non-hour submit comments on or before mechanical, or other technological Burden Cost: $25. September 20, 2021. collection techniques or other forms of An agency may not conduct or ADDRESSES: Written comments and information technology, e.g., permitting sponsor and, notwithstanding any other recommendations for the proposed electronic submission of response. provision of law, a person is not

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required to respond to a collection of Township. 8 S, Range 31 E, dependent DATES: Comments should be submitted information unless it displays a resurvey, subdivision of section 20 and electronically by September 3, 2021. metes-and-bounds survey, for Group No. currently valid OMB control number. ADDRESSES: Comments are encouraged 1748, accepted August 7, 2020. The authority for this action is the to be submitted electronically to Paperwork Reduction Act of 1995 (44 Townships 10 & 11 S, Range 3 W, metes- _ _ and-bounds survey, for Group No. 1770, National Register Submissions@ U.S.C. 3501 et seq.). accepted November 5, 2020. nps.gov with the subject line ‘‘Public Darrin King, Township. 25 N, Range 5 E, dependent Comment on .’’ If you November 6, 2020. have no access to email you may send [FR Doc. 2021–17778 Filed 8–18–21; 8:45 am] them via U.S. Postal Service and all BILLING CODE 4310–84–P A person or party who wishes to protest one or more plats of survey must other carriers to the National Register of file a written notice of protest within 30 Historic Places, National Park Service, DEPARTMENT OF THE INTERIOR calendar days from the date of this 1849 C Street NW, MS 7228, publication at the address listed in the Washington, DC 20240. Bureau of Land Management ADDRESSES section of this notice. Any FOR FURTHER INFORMATION CONTACT: Sherry A. Frear, Chief, National Register [LLCA942000 L57000000.BX0000 notice of protest received after the due 20XL5017AR; MO#4500150559] date will be untimely and will not be of Historic Places/National Historic considered. A written statement of Landmarks Program, 1849 C Street NW, Filing of Plats of Survey: California reasons in support of a protest, if not MS 7228, Washington, DC 20240, _ filed with the notice of protest, must be sherry [email protected], 202–913–3763. AGENCY: Bureau of Land Management, SUPPLEMENTARY INFORMATION: The Interior. filed at the same address within 30 calendar days after the notice of protest properties listed in this notice are being ACTION: Notice of official filing. is filed. If a protest against the survey is considered for listing or related actions SUMMARY: The plats of survey of lands received prior to the date of official in the National Register of Historic described in this notice are scheduled to filing, the filing will be stayed pending Places. Nominations for their be officially filed in the Bureau of Land consideration of the protest. A plat will consideration were received by the Management (BLM), California State not be officially filed until the day after National Park Service before August 7, Office, Sacramento, California, 30 all protests have been dismissed or 2021. Pursuant to Section 60.13 of 36 calendar days from the date of this otherwise resolved. CFR part 60, comments are being publication. The surveys, which were Before including your address, phone accepted concerning the significance of executed at the request of the United number, email address, or other the nominated properties under the States Forest Service and the BLM, are personal identifying information in your National Register criteria for evaluation. necessary for the management of these notice of protest or statement of reasons, Before including your address, phone lands. you should be aware that the documents number, email address, or other personal identifying information in your DATES: Unless there are protests to this you submit—including your personal action, the plats described in this notice identifying information—may be made comment, you should be aware that will be filed on September 20, 2021. publicly available at any time. While your entire comment—including your personal identifying information—may ADDRESSES: You may submit written you can ask the BLM to withhold your be made publicly available at any time. protests to the BLM California State personal identifying information from While you can ask us in your comment Office, Cadastral Survey, 2800 Cottage public review, we cannot guarantee that to withhold your personal identifying Way, W–1623, Sacramento, CA 95825. we will be able to do so. information from public review, we A copy of the plats may be obtained (Authority: 43 U.S.C., Chapter 3) cannot guarantee that we will be able to from the BLM California State Office, Jon L. Kehler, do so. Public Room, 2800 Cottage Way, W– Nominations submitted by State or 1623, Sacramento, California 95825, Chief Cadastral Surveyor. [FR Doc. 2021–17776 Filed 8–18–21; 8:45 am] Tribal Historic Preservation Officers: upon required payment. KEY: State, County, Property Name, BILLING CODE 4310–40–P FOR FURTHER INFORMATION CONTACT: Jon Multiple Name (if applicable), Address/ Kehler, Chief, Branch of Cadastral Boundary, City, Vicinity, Reference Survey, Bureau of Land Management, DEPARTMENT OF THE INTERIOR Number. California State Office, 2800 Cottage Way, W–1623, Sacramento, California National Park Service ARKANSAS 95825; 1–916–978–4323; jkehler@ Conway County blm.gov. Persons who use a [NPS–WASO–NRNHL–DTS#–32446; I–40 Overpass, Fish Lake Rd. over I–40, telecommunications device for the deaf PPWOCRADI0, PCU00RP14.R50000] Blackwell, SG100006920 may call the Federal Relay Service (FRS) at 1–800–877–8339 to contact Mr. National Register of Historic Places; Drew County Kehler during normal business hours. Notification of Pending Nominations Arkansas Agricultural and Mechanical The Service is available 24 hours a day, and Related Actions College Student Union, 346 University Dr., 7 days a week, to leave a message or Monticello, SG100006921 AGENCY: National Park Service, Interior. question. You will receive a reply Garland County ACTION: Notice. during normal business hours. Jackson, Dr. Will W. and Helen B., House, SUPPLEMENTARY INFORMATION: The lands SUMMARY: The National Park Service is 132 Lake Hamilton Dr., Hot Springs, surveyed are: soliciting electronic comments on the SG100006923 Mount Diablo Meridian, California significance of properties nominated Independence County Township. 13 S, Range 35 E, dependent before August 7 2021, for listing or Batesville Overpass, AR 233 over Union resurvey, for Group No. 1775, accepted related actions in the National Register Pacific RR and Miller Cr., Batesville, August 7, 2020. of Historic Places. SG100006924

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Monroe County MICHIGAN UTAH United States Post Office, 201 North Main Allegan County Cache County St., Brinkley, SG100006925 Wayland Downtown Historic District, Watterson, William, Jr., and Caroline, House, Polk County Generally Main St. Between Maple and 449 West 100 North, Logan, SG100006917 Borden Company Plant, 290 South 400 West, Heathcliff Cabin, East End of Maintenance Pine Sts., and Superior St. Between Church Logan, SG100006935 Ln., Mena vicinity, SG100006926 and Forest Sts., Wayland, SG100006916 Utah County Pope County Marquette County Negaunee Downtown Historic District_, Amanda Knight Hall, 42 East 800 North, Russellville West Overpass, US 64 (West Provo, SG100006910 Main St.) over the Union Pacific RR Line, Generally, Peck St. to Rail St. and Tobin St. Russellville, SG100006927 to North Teal Lake Ave., Negaunee, VIRGINIA SG100006934 Prairie County Westmoreland County MISSISSIPPI Des Arc High School Home Economics Colonial Beach Commercial Historic District, Building, (New Deal Recovery Efforts in Hinds County Colonia Ave from Lynnhaven Ave to Potomac R.; Washington Ave. from Arkansas MPS), 708 Main St, Des Arc, Building at 733 North State Street, 733 North MP100006928 Boundary St., Irving Ave., Wilder Ave, and State St., Jackson, SG100006899 Hawthorn St.; and Boundary Ave to Beach Pulaski County Lee County Terrace from Hawthorn St. with exclusions. Colonial Beach, SG100006984 Kerby, Alton and Ruby Mae, House, 532 Baldwyn Medical Group, 300 Mill St., Skyline Dr., North Little Rock, Baldwyn, SG100006895 WASHINGTON SG100006929 MISSOURI King County Veterans Administration Hospital Jackson County University National Bank Building, 4500 (United States Third Generation Veterans University Way NE, Seattle, SG100006904 Hospitals, 1946–1958 MPS), 300 East Sanford B. Ladd School, (Kansas City, Hotel Sorrento, 900 Madison St., Seattle, Roosevelt Rd., Little Rock, MP100006930 Missouri School District Pre-1970 MPS), SG100006936 3640 Benton Bvld., Kansas City, Stone County MP100006918 WISCONSIN Lancaster, Albert and Almeda, House, 306 Winnebago County East Main St., Mountain View, NORTH CAROLINA Smith School, 1745 Oregon St., Oshkosh, SG100006931 Buncombe County SG100006898 Union County South Asheville Cemetery and St. John ‘A’ An owner objection has been received for Rock Island Railroad Overpass, US 82 (East Baptist Church, 20 Dalton St., Asheville, the following resource: SG100006903 Hillsboro St.) over Union Pacific RR Line, CALIFORNIA El Dorado, SG100006932 Graham County Los Angeles County Washington County Robbinsville Downtown Historic District, Fairfax Theatre, 7901–09 Beverly Blvd., 301– Anderson-Taylor House, 1599 West Halsell North and South Main St., Moose Branch 21 Fairfax Ave., Los Angeles, SG100006908 Rd., Dula St., Laura St., Circle St., and East Rd., Fayetteville, SG100006933 A request to move has been received for Main St., Robbinsville, SG100006902 CALIFORNIA the following resource: OHIO Orange County VERMONT Hamilton County Consolidated Orange Growers Precooling & Addison County Ice Plant, 160 South Cypress St., Orange, Mercantile Library Building, 414 Walnut St., New Haven Junction Depot, North St., New SG100006912 Cincinnati, SG100006914 Haven, MV78000226 San Bernardino County OKLAHOMA Additional documentation has been received for the following resources: Ontario Baseball Park, SE of North Grove Oklahoma County ARKANSAS Ave. and East 4th St. intersection (NE Jurhee Apartments, 1312–1316_North Francis corner John Galvin Park), Ontario, Ave., Oklahoma City, SG100006905 Garland County SG100006913 Pachyderm Building for the Lincoln Park Perry Plaza Court Historic District San Francisco County Zoo, 2000 Remington Place, Oklahoma (Additional Documentation), (Arkansas City, SG100006906 Hobart Building, 582–592 Market St., San Highway History and Architecture MPS), Francisco, SG100006911 PUERTO RICO 1007 Park Ave., Hot Springs, AD04000012 Sonoma County Adjuntas Municipality INDIANA Flamingo Hotel, 2777 4th St., Santa Rosa, Carretera Num. 6, Road #6, Adjuntas, Vanderburgh County SG100006937 SG100006919 Evansville Downtown Historic District (Additional Documentation), Roughly GEORGIA Arecibo Municipality Main St. between 2nd St. and Martin Pulaski County Carretera Num. 6, Road #6, Arecibo vicinity, Luther King Jr. Blvd., 4th St., between R. J. Taylor Memorial Hospital, 161 SG100006919 Sycamore and Chestnut Ss., Evansville, Commerce St., Hawkinsville, SG100006907 AD00000197 Ponce Municipality Busse House (Additional Documentation), IOWA Carretera Num. 6, Road #6, Ponce vicinity, (Downtown Evansville MRA), 120 SE 1st SG100006919 St., Evansville, AD82000084 Allamakee County Cadick Apartments (Plaza Building) Yellow River State Forest Fire Tower, Fire Utuado Municipality (Additional Documentation), (Downtown Tower Rd., Yellow River State Forest, Carretera Num. 6, Road #6, Utuado vicinity, Evansville MRA), 118 SE 1st St., Harpers Ferry vicinity, SG100006909 SG100006919 Evansville, AD82000085

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Central Library (Additional Documentation), MRA), 22 NW 6th St., Evansville, MRA), 327 Main St., Evansville, (Downtown Evansville MRA), 22 SE 5th AD82000115 AD84002895 St., Evansville, AD82000086 Parson and Scoville Building (Additional NORTH CAROLINA Citizens National Bank (Additional Documentation), (Downtown Evansville Documentation), (Downtown Evansville MRA), 915 Main St., Evansville, Surry County AD82000117 MRA), 329 Main St., Evansville, Mount Airy Historic District (Additional Puster, L., and Company Furniture AD82000087 Documentation), Main, Brown, Market, Manufactory (Additional Documentation), Evansville Furniture Exchange-Court Franklin, W. Pine, Rockford, Worth, (Downtown Evansville MRA), 326 NW 6th Building (Additional Documentation), Cherry, and Gilmer Sts., Moore, and Hines St., Evansville, AD82000118 (Downtown Evansville MRA), 123–125 NW Aves., Mount Airy, AD85002931 4th St., Evansville, AD82000088 Rose Terrace (Additional Documentation), Eagles Home (Additional Documentation), (Downtown Evansville MRA), 301–313 NW Wake County (Downtown Evansville MRA), 221 NW 5th 7th St., Evansville, AD82000120 St. Augustine’s College Campus (Additional St., Evansville, AD82000090 Salem’s Baptist Church (Additional Documentation), Oakwood Ave., Raleigh, Evansville Brewing Company (Additional Documentation), (Downtown Evansville AD80002903 Documentation), (Downtown Evansville MRA), 728 Court St., Evansville, MRA), 401 NW 4th St., Evansville, AD82000121 Authority: Section 60.13 of 36 CFR AD82000091 Siegel’s Department Store (Additional part 60. Documentation), (Downtown Evansville Evansville Journal News (Additional Dated: August 11, 2021. Documentation), (Downtown Evansville MRA), 101–105 SE 4th St., Evansville, Sherry A. Frear, MRA), 7–11 NW 5th St., Evansville, AD82000122 AD82000092 St. John’s Evangelical Protestant Church Chief, National Register of Historic Places/ Albion Flats (Additional Documentation), (Additional Documentation), (Downtown National Historic Landmarks Program. (Downtown Evansville MRA), 701 Court Evansville MRA), 314 Market St., [FR Doc. 2021–17795 Filed 8–18–21; 8:45 am] St., Evansville, AD82000093 Evansville, AD82000123 BILLING CODE 4312–52–P American Trust and Savings Bank (Indiana Victory Theater and Hotel Sonntag Bank) (Additional Documentation), (Additional Documentation), (Downtown Evansville MRA), 600–614 Main St., (Downtown Evansville MRA), 524–530 INTERNATIONAL TRADE Main St, Evansville, AD82000094 Evansville, AD82000124 Geiger, Fred, and Sons National Biscuit Van Cleave Flats (Additional COMMISSION Company (Additional Documentation), Documentation), (Downtown Evansville MRA), 704–708 Court St., Evansville, [Investigation Nos. 701–TA–656 and 731– (Downtown Evansville MRA), 401 NW 2nd AD82000125 TA–1533 (Final)] St, Evansville, AD82000096 YMCA (Additional Documentation), German Bank (Additional Documentation), (Downtown Evansville MRA), 203 NW 5th Metal Lockers From China (Downtown Evansville MRA), 301–303 St., Evansville, AD82000128 Main St., Evansville, AD82000097 Determinations Zion Evangelical Church (Additional Harding and Miller Music Company Documentation), (Downtown Evansville On the basis of the record 1 developed (Additional Documentation), (Downtown MRA), 415 NW 5th St., Evansville, in the subject investigations, the United Evansville MRA), 518–520 Main St., AD82000129 States International Trade Commission Evansville, AD82000098 YWCA (Additional Documentation), Indiana Bell Building (Additional (‘‘Commission’’) determines, pursuant (Downtown Evansville MRA), 118 Vine St., to the Tariff Act of 1930 (‘‘the Act’’), Documentation), (Downtown Evansville Evansville, AD82001853 MRA), 129–133 NW 5th St., Evansville, Auto Hotel Building (Additional that an industry in the United States is AD82000103 Documentation), (Downtown Evansville materially injured by reason of imports Ingle Terrace (Additional Documentation), MRA), 111–115 SE 3rd St., Evansville, of metal lockers from China, provided (Downtown Evansville MRA), 609–619 AD84001673 for in subheadings 9403.20.00 and Ingle St., Evansville, AD82000104 Barrett’s Britz Building (Additional 9403.90.80 of the Harmonized Tariff Leich, Charles, and Company (Additional Documentation), (Downtown Evansville Schedule of the United States, that have Documentation), (Downtown Evansville MRA), 415 Main St., Evansville, MRA), 420 NW 5th St., Evansville, been found by the U.S. Department of AD84001679 Commerce (‘‘Commerce’’) to be sold in AD82000106 Fellwock Garage (Additional Masonic Temple (Additional Documentation), (Downtown Evansville the United States at less than fair value Documentation), (Downtown Evansville MRA), 315 Court St., Evansville, (‘‘LTFV’’), and to be subsidized by the MRA), 301 Chestnut St., Evansville, AD84001701 government of China.2 AD82000108 Firestone Tire and Rubber Store (Additional Background McCurdy Hotel (Additional Documentation), Documentation), (Downtown Evansville (Downtown Evansville MRA), 101–111 SE MRA), 900 Main St., Evansville, The Commission instituted these 1st St., Evansville, AD82000109 AD84001702 investigations effective July 9, 2020, Montgomery Ward Building (Additional Huber Motor Sales Building (Additional following receipt of petitions filed with Documentation), (Downtown Evansville Documentation), (Downtown Evansville the Commission and Commerce by List MRA), 517 Main St., Evansville, MRA), 215–219 SE 4th St., Evansville, Industries, Inc., Deerfield Beach, AD82000110 AD84001715 Hulman Building [Morris Plan (Central Old Fellwock Auto Company (Additional Florida; Lyon LLC, Montgomery, Union Bank)] (Additional Documentation), Documentation), (Downtown Evansville Illinois; Penco Products, Inc., (Downtown Evansville MRA), 20 NW 4th MRA), 214 NW 4th St., Evansville, Greenville, North Carolina; and Tennsco St., Evansville, AD82000111 AD84001735 Corp., Dickson, Tennessee.3 The final National City Bank (Additional Pearl Steam Laundry (Additional phase of the investigations was Documentation), (Downtown Evansville Documentation), (Downtown Evansville scheduled by the Commission following MRA), 227 Main St., Evansville, MRA), 428 Market St., Evansville, AD82000112 AD84001738 1 The record is defined in § 207.2(f) of the Newman, M. G., Building (Additional Roelker, John H., House (Additional Commission’s Rules of Practice and Procedure (19 Documentation), (Downtown Evansville Documentation), (Downtown Evansville CFR 207.2(f)). MRA), 211–213 SE 4th St., Evansville, MRA), 555 Sycamore St., Evansville, 2 Chair Jason E. Kearns and Commissioner David AD82000113 AD84001741 S. Johanson dissenting. O’Donnell Building (Additional Kuebler-Artes Building (Additional 3 Lyon LLC withdrew as a petitioner in these Documentation), (Downtown Evansville Documentation), (Downtown Evansville investigations on October 15, 2020.

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notification of preliminary should the Commission find a violation. interest in light of the CALJ’s determinations by Commerce that This notice is soliciting comments from Recommended Determination on imports of metal lockers from China the public only. Remedy and Bond issued in this were subsidized within the meaning of FOR FURTHER INFORMATION CONTACT: investigation on August 13, 2021. section 703(b) of the Act (19 U.S.C. Richard P. Hadorn, Esq., Office of the Comments should address whether 1671b(b)) and sold at LTFV within the General Counsel, U.S. International issuance of the recommended remedial meaning of 733(b) of the Act (19 U.S.C. Trade Commission, 500 E Street SW, orders in this investigation, should the 1673b(b)). Notice of the scheduling of Washington, DC 20436, telephone (202) Commission find a violation, would the final phase of the Commission’s 205–3179. Copies of non-confidential affect the public health and welfare in investigations and of a public hearing to documents filed in connection with this the United States, competitive be held in connection therewith was investigation may be viewed on the conditions in the United States given by posting copies of the notice in Commission’s electronic docket (EDIS) economy, the production of like or the Office of the Secretary, U.S. at https://edis.usitc.gov. For help directly competitive articles in the International Trade Commission, accessing EDIS, please email United States, or United States Washington, DC, and by publishing the [email protected]. General consumers. notice in the Federal Register on March information concerning the Commission In particular, the Commission is 15, 2021 (86 FR 14338). In light of the may also be obtained by accessing its interested in comments that: restrictions on access to the Commission internet server at https://www.usitc.gov. (i) Explain how the articles building due to the COVID–19 Hearing-impaired persons are advised potentially subject to the recommended pandemic, the Commission conducted that information on this matter can be remedial orders are used in the United its hearing through written testimony obtained by contacting the States; (ii) identify any public health, safety, and video conference on June 24, 2021. Commission’s TDD terminal, telephone or welfare concerns in the United States All persons who requested the (202) 205–1810. relating to the recommended orders; opportunity were permitted to SUPPLEMENTARY INFORMATION: Section participate. (iii) identify like or directly 337 of the Tariff Act of 1930 provides competitive articles that complainant, The Commission made these that, if the Commission finds a determinations pursuant to §§ 705(b) its licensees, or third parties make in the violation, it shall exclude the articles United States which could replace the and 735(b) of the Act (19 U.S.C. concerned from the United States: 1671d(b) and 19 U.S.C. 1673d(b)). It subject articles if they were to be completed and filed its determinations unless, after considering the effect of such excluded; in these investigations on August 13, exclusion upon the public health and (iv) indicate whether complainant, welfare, competitive conditions in the United 2021. The views of the Commission are complainant’s licensees, and/or third- States economy, the production of like or party suppliers have the capacity to contained in USITC Publication 5218 directly competitive articles in the United (August 2021), entitled Metal Lockers replace the volume of articles States, and United States consumers, it finds potentially subject to the recommended from China: Investigation Nos. 701–TA– that such articles should not be excluded 656 and 731–TA–1533 (Final). from entry. orders within a commercially reasonable time; and By order of the Commission. 19 U.S.C. 1337(d)(1). A similar (v) explain how the recommended Issued: August 16, 2021. provision applies to cease and desist orders would impact consumers in the Lisa Barton, orders. 19 U.S.C. 1337(f)(1). United States. The Commission is soliciting Secretary to the Commission. Written submissions from the public submissions on public interest issues must be filed no later than by close of [FR Doc. 2021–17815 Filed 8–18–21; 8:45 am] raised by the recommended relief business on September 13, 2021. BILLING CODE 7020–02–P should the Commission find a violation, Persons filing written submissions specifically: A limited exclusion order must file the original document INTERNATIONAL TRADE directed to certain audio players and electronically on or before the deadlines COMMISSION controllers, components thereof, and stated above. The Commission’s paper products containing the same that are filing requirements in 19 CFR 210.4(f) [Investigation No. 337–TA–1191] imported, sold for importation, and/or are currently waived. 85 FR 15798 (Mar. sold after importation by respondent 19, 2020). Submissions should refer to Certain Audio Players and Controllers, Google LLC of Mountain View, the investigation number (‘‘Inv. No. Components Thereof, and Products California, that infringe one or more of 337–TA–1191’’) in a prominent place on Containing Same; Notice of Request claims 17, 21, 24, and 26 of U.S. Patent the cover page and/or the first page. (See for Submissions on the Public Interest No. 9,195,258; claims 7, 14, and 22–24 Handbook for Electronic Filing AGENCY: U.S. International Trade of U.S. Patent No. 10,209,953; claim 10 Procedures, https://www.usitc.gov/ Commission. of U.S. Patent No. 9,219,959; claims 1, documents/handbook_on_filing_ ACTION: Notice. 2, and 5 of U.S. Patent No. 8,588,949; procedures.pdf.). Persons with and/or claims 1, 5, 6, and 12 of U.S. questions regarding filing should SUMMARY: Notice is hereby given that, Patent No. 10,439,896; and a cease and contact the Secretary (202–205–2000). on August 13, 2021, the presiding chief desist order directed to the same. Parties Any person desiring to submit a administrative law judge (‘‘CALJ’’) are to file public interest submissions document to the Commission in issued an Initial Determination on pursuant to 19 CFR 210.50(a)(4). confidence must request confidential Violation of Section 337. The CALJ also The Commission is interested in treatment. All such requests should be issued a Recommended Determination further development of the record on directed to the Secretary to the on Remedy and Bond should a violation the public interest in this investigation. Commission and must include a full be found in the above-captioned Accordingly, members of the public are statement of the reasons why the investigation. The Commission is invited to file submissions of no more Commission should grant such soliciting submissions on public interest than five (5) pages, inclusive of treatment. See 19 CFR 201.6. Documents issues raised by the recommended relief attachments, concerning the public for which confidential treatment by the

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Commission is properly sought will be Administration, Attention: DEA Federal DATES: Registered bulk manufacturers of treated accordingly. All information, Register Representative/DPW, 8701 the affected basic class(es), and including confidential business Morrissette Drive, Springfield, Virginia applicants therefore, may file written information and documents for which 22152. All requests for a hearing must comments on or objections to the confidential treatment is properly be sent to: Drug Enforcement issuance of the proposed registration on sought, submitted to the Commission for Administration, Attn: Administrator, or before September 20, 2021. Such purposes of this Investigation may be 8701 Morrissette Drive, Springfield, persons may also file a written request disclosed to and used: (i) By the Virginia 22152. All requests for a for a hearing on the application on or Commission, its employees and Offices, hearing should also be sent to: (1) Drug before September 20, 2021. and contract personnel (a) for Enforcement Administration, Attn: developing or maintaining the records Hearing Clerk/OALJ, 8701 Morrissette ADDRESSES: Written comments should of this or a related proceeding, or (b) in Drive, Springfield, Virginia 22152; and be sent to: Drug Enforcement internal investigations, audits, reviews, (2) Drug Enforcement Administration, Administration, Attention: DEA Federal and evaluations relating to the Attn: DEA Federal Register Register Representative/DPW, 8701 programs, personnel, and operations of Representative/DPW, 8701 Morrissette Morrissette Drive, Springfield, Virginia the Commission including under 5 Drive, Springfield, Virginia 22152. 22152. All requests for a hearing must U.S.C. Appendix 3; or (ii) by U.S. SUPPLEMENTARY INFORMATION: In be sent to: Drug Enforcement government employees and contract accordance with 21 CFR 1301.34(a), this Administration, Attn: Administrator, personnel, solely for cybersecurity is notice that on July 23, 2021, Galephar 8701 Morrissette Drive, Springfield, purposes. All contract personnel will Pharmaceutical Research Inc., 100 Carr Virginia 22152. All requests for a sign appropriate nondisclosure 198 Industrial Park, Juncos, Puerto Rico hearing should also be sent to: (1) Drug agreements. All nonconfidential written 00777–3873, applied to be registered as Enforcement Administration, Attn: submissions will be available for public an importer of the following basic Hearing Clerk/OALJ, 8701 Morrissette inspection on EDIS. class(es) of controlled substance(s): This action is taken under the Drive, Springfield, Virginia 22152; and (2) Drug Enforcement Administration, authority of section 337 of the Tariff Act Drug of 1930, as amended (19 U.S.C. 1337), Controlled substance code Schedule Attn: DEA Federal Register and Part 210 of the Commission’s Rules Representative/DPW, 8701 Morrissette of Practice and Procedure (19 CFR part Hydromorphone ...... I 9150 I II Drive, Springfield, Virginia 22152. 210). SUPPLEMENTARY INFORMATION: In The company plans to import the By order of the Commission. accordance with 21 CFR 1301.34(a), this listed controlled substance in finished Issued: August 16, 2021. is notice that on July 23, 2021, Chattem dosage form for analytical purpose only. Lisa Barton, No other activity for this drug code is Chemicals, Inc., 3801 Saint Elmo Secretary to the Commission. authorized for this registration. Avenue, Chattanooga, Tennessee [FR Doc. 2021–17816 Filed 8–18–21; 8:45 am] Approval of permit applications will 37409–1237, applied to be registered as BILLING CODE 7020–02–P occur only when the registrant’s an importer of the following basic business activity is consistent with what class(es) of controlled substance(s): is authorized under 21 U.S.C. 952(a)(2). DEPARTMENT OF JUSTICE Authorization will not extend to the Drug Controlled substance code Schedule import of Food and Drug Drug Enforcement Administration Administration-approved or non- Methamphetamine ...... 1105 II [Docket No. DEA–887] approved finished dosage forms for 4-Anilino-N-Phenethyl-4- 8333 II commercial sale. Piperidine (ANPP). Importer of Controlled Substances Brian S. Besser, Phenylacetone ...... 8501 II Application: Galephar Pharmaceutical Coca Leaves ...... 9040 II Acting Assistant Administrator. Research Inc. Opium, Raw ...... 9600 II [FR Doc. 2021–17765 Filed 8–18–21; 8:45 am] AGENCY: Poppy Straw Concentrate 9670 II Drug Enforcement BILLING CODE 4410–09–P Administration, Justice. Tapentadol ...... 9780 II ACTION: Notice of application. DEPARTMENT OF JUSTICE The company plans to import the listed SUMMARY: Galephar has applied to be controlled substances to manufacture registered as an importer of basic Drug Enforcement Administration bulk controlled substances for sale to its class(es) of controlled substance(s). customers. The company plans to Refer to SUPPLEMENTARY INFORMATION [Docket No. DEA–886] import an intermediate of Tapentadol listed below for further drug (9780), to bulk manufacture Tapentadol information. Importer of Controlled Substances Application: Chattem Chemicals, Inc. for distribution to its customers. No DATES: Registered bulk manufacturers of other activity for this drug code is the affected basic class(es), and AGENCY: Drug Enforcement authorized for this registration. applicants therefore, may file written Administration, Justice. Approval of permit applications will comments on or objections to the ACTION: Notice of application. issuance of the proposed registration on occur only when the registrant’s business activity is consistent with what or before September 20, 2021. Such SUMMARY: Chattem Chemicals, Inc., has persons may also file a written request applied to be registered as an importer is authorized under 21 U.S.C. 952(a)(2). for a hearing on the application on or of basic class(es) of controlled Authorization will not extend to the before September 20, 2021. substance(s). Refer to SUPPLEMENTARY import of Food and Drug ADDRESSES: Written comments should INFORMATION listed below for further Administration-approved or non- be sent to: Drug Enforcement drug information.

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approved finished dosage forms for accommodation solutions, Title I of the to penalty for failing to comply with a commercial sale. Americans with Disabilities Act (ADA) collection of information that does not and related legislation, and self- display a valid OMB Control Number. Brian S. Besser, employment and entrepreneurship See 5 CFR 1320.5(a) and 1320.6. Acting Assistant Administrator. options for people with disabilities. JAN The DOL seeks PRA authorization for [FR Doc. 2021–17764 Filed 8–18–21; 8:45 am] provides individualized consultation to this information collection for three (3) BILLING CODE P assist: years. OMB authorization for an • Employers and their representatives Information Collection Review cannot seeking guidance on practical ways to be for more than three (3) years without DEPARTMENT OF LABOR engage in the interactive process, renewal. The DOL notes that currently provide job accommodation solutions, approved information collection Office of Disability Employment Policy and comply with Title I of the ADA; requirements submitted to the OMB • Individuals with medical receive a month-to-month extension Agency Information Collection conditions and disabilities seeking Activities; Comment Request; Job while they undergo review. information about job accommodation Agency: DOL–ODEP. Accommodation Network Customer solutions, employment rights under the Type of Review: New information Satisfaction Questionnaire ADA, and self-employment and collection. entrepreneurship opportunities; and ACTION: Notice of information Title of Collection: Job • Family members and rehabilitation, collections and request for comments. Accommodation Network (JAN) medical, educational, and other Customer Satisfaction Questionnaire. SUMMARY: In compliance with the professionals in their effort to support OMB Control Number: 1230–0NEW. Paperwork Reduction Act of 1995, the successful employment outcomes for Affected Public: Individuals or DOL is soliciting public comments individuals with medical conditions Households. regarding this ODEP-sponsored and disabilities. Total Estimated Number of information collection to the Office of JAN customers (employer Respondents: 1,680. Management and Budget (OMB) for representatives, service providers, and Frequency: Once per customer every 6 review and approval. individuals with disabilities) who months. contact JAN via phone calls, email, and DATES: Comments pertaining to this Total Estimated Number of internet chats and who have inquiries information collection are due on or Responses: 1,680. related to workplace accommodation or before October 18, 2021. Total Estimated Annual Time Burden: self-employment issues will be asked to ADDRESSES: Electronic submission: You 420 hours. participate in the Customer Satisfaction Total Estimated Annual Other Costs may submit comments and attachments Questionnaire, which is sent via email. electronically at http:// Burden: $0. The initial email requesting Authority: 44 U.S.C. 3506(c)(2)(A). www.regulations.gov. Follow the online participation includes the Informed instructions for submitting comments. Consent script used by both JAN and the Dated: August 12, 2021. Mail submission: 200 Constitution West Virginia University School of Jennifer Sheehy, Ave. NW, Room S–5315, Washington, Social Work. Informed consent specifies Deputy Assistant Secretary, Office of DC 20210. Comments are invited on: (1) that the purpose is to evaluate JAN’s Disability Employment Policy. Whether the collection of information is services and to identify ways in which [FR Doc. 2021–17787 Filed 8–18–21; 8:45 am] necessary for the proper performance of services can be improved to assist BILLING CODE 4510–FK–P the functions of the DOL, including clients. Potential participants also will whether the information will have be informed that their decision to either practical utility; (2) if the information participate or refuse to participate will DEPARTMENT OF LABOR will be processed and used in a timely in no way impact their ability to use Employment and Training manner; (3) the accuracy of the DOL’s JAN’s services in the future. Following Administration estimates of the burden and cost of the the link to complete the questionnaire is collection of information, including the considered consent. Customers can also Determinations Regarding Eligibility validity of the methodology and opt out of further contacts or choose to assumptions used; (4) ways to enhance To Apply for Trade Adjustment contact the evaluator directly if there are Assistance the quality, utility and clarity of the questions or concerns. The statement information collection; and (5) ways to has been approved by the West Virginia In accordance with Sections 223 and minimize the burden of the collection of University Internal Review Board. The 284 (19 U.S.C. 2273 and 2395) of the information on those who are to questionnaire requests demographic Trade Act of 1974 (19 U.S.C. 2271, et respond, including the use of automated information, accommodation process seq.) (‘‘Act’’), as amended, the collection techniques or other forms of details and costs, and general Department of Labor herein presents information technology. satisfaction items. Respondents can summaries of determinations regarding FOR FURTHER INFORMATION CONTACT: choose to answer or skip each item. eligibility to apply for trade adjustment Betsy Kravitz by telephone at 202–693– This information collection is subject assistance under Chapter 2 of the Act 7860 (this is not a toll-free number) or to the Paperwork Reduction Act (PRA). (‘‘TAA’’) for workers by (TA–W) issued by email at [email protected]. A Federal agency generally cannot during the period of July 1 2021 through SUPPLEMENTARY INFORMATION: The Job conduct or sponsor a collection of July 31 2021. Accommodation Network (JAN) is a information, and the public is generally This notice includes summaries of leading source of guidance on job not required to respond to an initial determinations such as accommodations and disability information collection, unless the OMB Affirmative Determinations of employment issues and has served approves it and displays a currently Eligibility, Negative Determinations of customers for more than 35 years. JAN valid OMB Control Number. In addition, Eligibility, and Determinations provides free one-on-one practical notwithstanding any other provisions of Terminating Investigations of Eligibility guidance and technical assistance on job law, no person shall generally be subject within the period. If issued in the

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period, this notice also includes Applications for Reconsideration, Negative Determinations on remand summaries of post-initial Revised Certifications of Eligibility, from the Court of International Trade. determinations that modify or amend Revised Determinations on Affirmative Determinations for Trade initial determinations such as Reconsideration, Negative Adjustment Assistance Affirmative Determinations Regarding Determinations on Reconsideration, Applications for Reconsideration, Revised Determinations on remand from The following certifications have been Negative Determinations Regarding the Court of International Trade, and issued.

TA–W No. Workers’ firm Location Reason(s)

96609 ...... Wabel Tool Company ...... Decatur, IL ...... Customer Imports of Articles. 96753 ...... Baylor Scott & White Health ...... All Cities, TX ...... Shift in Services to a Foreign Country. 96763 ...... Georgia-Pacific Consumer Operations Easton, PA ...... Customer Imports of Articles. LLC. 96821 ...... South Coast Lumber Company ...... Brookings, OR ...... ITC Determination. 96830 ...... Eaton Corporation ...... Wilsonville, OR ...... Customer Imports of Articles. 96849 ...... Kari-Out LLC dba Kari-Out Company .. Brookneal, VA ...... Customer Imports of Articles. 96884 ...... Vestas Blades America, Inc ...... Windsor, CO ...... Shift in Production to a Foreign Coun- try. 96900 ...... National Instruments ...... Austin, TX ...... Shift in Production to a Foreign Coun- try. 96910 ...... Globe Metallurgical Inc ...... Beverly, OH ...... ITC Determination. 96917 ...... Hanesbrands, Inc ...... Stuart, VA ...... Shift in Production to a Foreign Coun- try. 96922 ...... CSG Systems, Inc ...... Elkhorn, NE ...... Shift in Services to a Foreign Country. 96925 ...... Albea Cosmetics America, Inc ...... Morristown, TN ...... Shift in Production to a Foreign Coun- try. 96928 ...... Granges Americas, Inc ...... Newport, AR ...... ITC Determination. 96929 ...... AVENTICS Corporation ...... Lexington, KY ...... Shift in Production to a Foreign Coun- try. 96931 ...... Worthington Industries ...... Worthington, OH ...... ITC Determination. 96933 ...... Eaton Corporation ...... Hastings, NE ...... Shift in Production to a Foreign Coun- try. 96941 ...... Nichols Aluminum LLC ...... Lincolnshire, IL ...... ITC Determination. 96942 ...... HERE North America, LLC ...... Chicago, IL ...... Acquisition of Services from a Foreign Country. 96943 ...... Molded Fiber Glass ...... Aberdeen, SD ...... Company Imports of Articles. 96946 ...... Clarios, LLC ...... Middletown, DE ...... Company Imports of Articles. 96949 ...... Evergy LLC ...... Paris, TN ...... Shift in Production to a Foreign Coun- try. 96952 ...... Solstice Sleep Products Inc ...... Columbus, OH ...... ITC Determination. 96956 ...... U.S. Bank, National Association ...... Oshkosh, WI ...... Acquisition of Services from a Foreign Country. 96961 ...... Mississippi Silicon LLC ...... Burnsville, MS ...... ITC Determination. 96968 ...... Jacobs Engineering Group Inc ...... Englewood, CO ...... Shift in Services to a Foreign Country. 96969 ...... The Anthem Companies, Inc ...... Columbus, OH ...... Shift in Services to a Foreign Country. 96971 ...... Vector USA, Inc ...... Kentland, IN ...... Shift in Production to a Foreign Coun- try. 96972 ...... Golden Aluminum ...... Fort Lupton, CO ...... ITC Determination. 96973 ...... Ashley Furniture Industries, LLC ...... Saltillo, MS ...... ITC Determination. 96974 ...... Ashley Furniture Industries, LLC ...... Verona, MS ...... ITC Determination. 96975 ...... Capital Bedding, Inc ...... Verona, MS ...... ITC Determination. 96984 ...... The Mosaic Company ...... Lithia, FL ...... ITC Determination. 96987 ...... Champion Technologies Inc ...... Eugene, OR ...... Shift in Production to a Foreign Coun- try. 96992 ...... Elite Comfort Solutions, LLC ...... Verona, MS ...... ITC Determination. 96993 ...... FXI, Inc ...... Baldwyn, MS ...... ITC Determination. 96994 ...... AT&T Services, Inc ...... Oakton, VA ...... Acquisition of Services from a Foreign Country. 96999 ...... Old West Mattress Company LLC ...... Aurora, CO ...... ITC Determination. 97001 ...... Mylan Technologies, Inc ...... Swanton, VT ...... Secondary Component Supplier. 97008 ...... Salt Lake Mattress and Manufacturing Salt Lake City, UT ...... ITC Determination. Company DBA Serta Restonic, Sun- set Apparel, Sunset Manufacture. 97009 ...... Purple Innovation, Inc ...... Lehi, UT ...... ITC Determination. 97010 ...... Comfort Revolution, LLC ...... Belmont, MS ...... ITC Determination. 97012 ...... Symbol Mattress of Mississippi ...... Olive Branch, MS ...... ITC Determination. 97014 ...... SSB Manufacturing Company, a whol- Aurora, CO ...... ITC Determination. ly-owned subsidiary of Serta Sim- mons Bedding, LLC. 97024 ...... Corsicana Bedding, LLC ...... Aurora, IL ...... ITC Determination. 97034 ...... Serta Simmons Bedding Manufacturing Riviera Beach, FL ...... ITC Determination. Company, a wholly owned subsidiary of Serta Simmons Bedding LLC. 97036 ...... Anthem Companies, Inc ...... Richmond, VA ...... Shift in Services to a Foreign Country.

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TA–W No. Workers’ firm Location Reason(s)

97037 ...... Anthem Companies, Inc ...... Norfolk, VA ...... Shift in Services to a Foreign Country. 97041 ...... Innocor, Inc ...... West Chicago, IL ...... ITC Determination. 97042 ...... Anthem Companies, Inc ...... Denver, CO ...... Shift in Services to a Foreign Country. 97055 ...... Collins Aerospace ...... Everett, WA ...... Secondary Component Supplier. 97057 ...... WindKits LLC ...... Allentown, PA ...... Shift in Production to a Foreign Coun- try. 97069 ...... Serta Simmons Bedding, LLC ...... Windsor Locks, CT ...... ITC Determination. 97082 ...... AT&T Services, Inc ...... Chicago, IL ...... Acquisition of Services from a Foreign Country. 97084 ...... Globe Metallurgical Inc ...... Niagara Falls, NY ...... ITC Determination. 97087 ...... Triumph Composites Systems, Inc ...... Spokane, WA ...... Shift in Production to a Foreign Coun- try. 97089 ...... Spartech, LLC ...... Greenville, OH ...... ITC Determination. 97090 ...... Tekni-Plex Inc ...... Holland, OH ...... ITC Determination. 97097 ...... Octal Extrusion Corp ...... Cincinnati, OH ...... ITC Determination. 97098 ...... JPMorgan Chase & Co ...... Jersey City, NJ ...... Shift in Services to a Foreign Country. 97101 ...... EasyPak ...... Vernon, CA ...... ITC Determination. 97102 ...... General Mills, Inc ...... Golden Valley, MN ...... Shift in Services to a Foreign Country. 97110 ...... Pactiv LLC ...... Santa Fe Springs, CA ...... ITC Determination. 97114 ...... American Pacific Plastic Fabricators Garden Grove, CA ...... ITC Determination. Inc. 97115 ...... Carpenter Co ...... Riverside, CA ...... ITC Determination. 97117 ...... Elite Comfort Solutions, LLC, a sub- Ontario, CA ...... ITC Determination. sidiary of Leggett & Platt Incor- porated. 97118 ...... Royal Pedic Mattress Manufacturing, Wilmington, CA ...... ITC Determination. LLC. 97119 ...... Tempur Sealy International, Inc ...... Richmond, CA ...... ITC Determination. 97120 ...... Future Foam, Inc ...... Newton, KS ...... ITC Determination.

Negative Determinations for Trade Adjustment Assistance The following investigations revealed that the eligibility criteria for TAA have not been met for the reason(s) specified.

TA–W No. Workers’ firm Location Reason(s)

95617 ...... Bluestone Coke, LLC ...... Birmingham, AL ...... No Shift in Production or Other Basis. 96810 ...... Jeld-Wen, Inc ...... Chiloquin, OR ...... No Sales or Production Decline or Other Basis. 96822 ...... XPO Logistics Supply Chain, Inc ...... Hazelwood, MO ...... No Shift in Services or Other Basis. 96833 ...... ICC Northwest, Inc ...... Canby, OR ...... No Sales or Production Decline or Other Basis. 96840 ...... Kobelco Construction Machinery USA, Moore, SC ...... No Shift in Production or Other Basis. Inc. 96848 ...... Clarios, LLC ...... Florence, SC ...... No Shift in Services or Other Basis. 96875 ...... NewPark Drilling Fluids, LLC ...... Denver, CO ...... No Shift in Production or Other Basis. 96939 ...... Ethan Allen Global, Inc ...... Danbury, CT ...... No Employment Decline or Threat of Separation or ITC. 96966 ...... D6 Inc ...... Portland, OR ...... No Shift in Production or Other Basis. 97061 ...... Katerra, Inc ...... Centennial, CO ...... No Shift in Services or Other Basis.

Determinations Terminating Investigations for Trade Adjustment Assistance The following investigations were terminated for the reason(s) specified.

TA–W No. Workers’ firm Location Reason(s)

97039 ...... Tempur Sealy International Inc. (Mat- Plainfield, IL ...... Petitioner Requests Withdrawal. tress Firm). 97058 ...... Henkel Corporation ...... Kansas City, MO ...... Existing Certification in Effect. 98003 ...... Malteurop North America, Inc ...... Milwaukee, WI ...... Ongoing Investigation in Process.

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Revised Certifications of Eligibility The following revised certifications of eligibility to apply for TAA have been issued.

TA–W No. Workers’ firm Location Reason(s)

93882 ...... Harley-Davidson Motor Company Op- Kansas City, MO ...... Worker Group Clarification. erations, Inc.

Revised Determinations on Reconsideration The following revised determinations on reconsideration, certifying eligibility to apply for TAA, have been issued.

TA–W No. Workers’ firm Location Reason(s)

95932 ...... Triumph Aerospace Structures ...... Tulsa, OK ...... Imports of Finished Articles Containing Like or Directly Competitive Compo- nents.

Negative Determinations on been issued because the eligibility Reconsideration criteria for TAA have not been met for The following negative the reason(s) specified. determinations on reconsideration have

TA–W No. Workers’ firm Location Reason(s)

95329 ...... General Motors LLC ...... Detroit, MI ...... No Shift in Services or Other Basis.

Negative Determinations on Remand issued because the eligibility criteria for From the Court of International Trade TAA have not been met for the reason(s) In the following cases, negative specified. determinations on remand have been

TA–W No. Workers’ firm Location Reason(s)

94578 ...... Michigan Bell Telephone Company ...... Kalamazoo, MI ...... No Shift in Services or Other Basis. 94578A ...... Wisconsin Bell, Inc ...... Appleton, WI ...... No Shift in Services or Other Basis. 94578B ...... Indiana Bell Telephone Company In- Indianapolis, IN ...... No Shift in Services or Other Basis. corporated. 94578C ...... AT&T Services, Inc ...... Syracuse, NY ...... No Shift in Services or Other Basis. 94578D ...... AT&T Services, Inc ...... Meridian, CT ...... No Shift in Services or Other Basis.

I hereby certify that the DEPARTMENT OF LABOR This notice includes instituted initial aforementioned determinations were investigations following the receipt of issued during the period of July 1 2021 Employment and Training validly filed petitions. Furthermore, if through July 31 2021. These Administration applicable, this notice includes determinations are available on the investigations to reconsider negative Department’s website https:// Investigations Regarding Eligibility To initial determinations or terminated www.dol.gov/agencies/eta/tradeact Apply for Trade Adjustment initial investigations following the under the searchable listing Assistance receipt of a valid application for determinations or by calling the Office reconsideration. of Trade Adjustment Assistance toll free In accordance with the Trade Act of at 888–365–6822. 1974 (19 U.S.C. 2271, et seq.) (‘‘Act’’), as The purpose of each of the amended, the Department of Labor investigations is to determine whether Signed at Washington, DC, this 10th day of the workers are eligible to apply for August 2021. herein presents notice of investigations regarding eligibility to apply for trade adjustment assistance under Title II, Hope D. Kinglock, Chapter 2, of the Act. Any persons adjustment assistance under Chapter 2 Certifying Officer, Office of Trade Adjustment showing a substantial interest in the of the Act (‘‘TAA’’) for workers by (TA– Assistance. subject matter of the investigations may W) started during the period of July 1 [FR Doc. 2021–17766 Filed 8–18–21; 8:45 am] request a public hearing provided such 2021 through July 31 2021. BILLING CODE 4510–FN–P request is filed in writing with the

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Administrator, Office of Trade Initial Investigations Adjustment Assistance, at the address The following are initial shown below, no later than ten days investigations commenced following the after publication in Federal Register. receipt of a properly filed petition.

Investigation TA–W No. Workers’ firm Location start date

97062 ...... Energizer Manufacturing, Inc ...... Bennington, VT ...... 7/1/2021 97063 ...... Graham Packaging ...... Kansas City, MO ...... 7/1/2021 97064 ...... Never Again Industries LLC ...... Chesapeake, VA ...... 7/1/2021 97065 ...... GE Aviation ...... Batesville, MS ...... 7/1/2021 97066 ...... Allstate Insurance ...... Largo, FL ...... 7/1/2021 97067 ...... Tranter Inc ...... Wichita Falls, TX ...... 7/1/2021 97068 ...... GE Aviation ...... Arkansas City, KS ...... 7/1/2021 97069 ...... Serta Simmons Bedding, LLC ...... Windsor Locks, CT ...... 7/1/2021 97070 ...... Altor Safety ...... Valley Cottage, NY ...... 7/1/2021 97071 ...... Collins Aerospace ...... Vergennes, VT ...... 7/1/2021 97072 ...... Cerner, Innovations Campus ...... Kansas City, MO ...... 7/1/2021 97073 ...... Stanadyne Automotive ...... Windsor, CT ...... 7/1/2021 97074 ...... Lee Aerospace, Inc ...... Wichita, KS ...... 7/1/2021 97075 ...... Swiss Re America Holding Corp ...... Kansas City, MO ...... 7/1/2021 97076 ...... NTT DATA Services, LLC ...... Plano, TX ...... 7/1/2021 97077 ...... Medical Faculty Associates, Inc ...... Washington, DC ...... 7/1/2021 97078 ...... Kimberly-Clark Corporation ...... Conway, AR ...... 7/1/2021 97079 ...... AW Industries ...... Hyattsville, MD ...... 7/1/2021 97080 ...... BCS Automotive Interface Solutions U.S., LLC ... Auburn, NY ...... 7/1/2021 97081 ...... Hospitality Mints ...... Boone, NC ...... 7/1/2021 97082 ...... AT&T Services, Inc ...... Chicago, IL ...... 7/1/2021 97083 ...... Sunset Moulding Company ...... Chico, CA ...... 7/1/2021 97084 ...... Globe Metallurgical Inc ...... Niagara Falls, NY ...... 7/1/2021 97085 ...... Novelis Corporation ...... Oswego, NY ...... 7/1/2021 97086 ...... Serta Simmons Bedding LLC ...... Jamestown, NY ...... 7/1/2021 97087 ...... Triumph Composites Systems, Inc ...... Spokane, WA ...... 7/1/2021 97088 ...... Kyocera Senco Industrial Tools, Inc ...... Cincinnati, OH ...... 7/2/2021 97089 ...... Spartech, LLC ...... Greenville, OH ...... 7/2/2021 97090 ...... Tekni-Plex Inc ...... Holland, OH ...... 7/2/2021 97091 ...... TimkenSteel Corporation ...... Canton, OH ...... 7/2/2021 97092 ...... Marmon Foodservice Technologies Inc, d.b.a. Minneapolis, MN ...... 7/2/2021 Silver King. 97093 ...... Medtronic Inc ...... Columbia Heights, MN ...... 7/2/2021 97094 ...... Exostar LLC ...... Herndon, VA ...... 7/2/2021 97095 ...... AMITA Health (Ascension Technologies) ...... Lisle, IL ...... 7/2/2021 97096 ...... Frontier Communications ...... Deland, FL ...... 7/2/2021 97097 ...... Octal Extrusion Corp ...... Cincinnati, OH ...... 7/2/2021 97098 ...... JPMorgan Chase & Co ...... Jersey City, NJ ...... 7/2/2021 97099 ...... Amita Health (Ascension Technologies) ...... Chicago, IL ...... 7/2/2021 97100 ...... Acme Staple Company, Inc ...... Franklin, NH ...... 7/2/2021 97101 ...... EasyPak ...... Vernon, CA ...... 7/2/2021 97102 ...... General Mills, Inc ...... Golden Valley, MN ...... 7/2/2021 97103 ...... Serta Simmons Bedding, LLC ...... Lenexa, KS ...... 7/2/2021 97104 ...... Wyoming Machinery Company ...... Casper, WY ...... 7/2/2021 97105 ...... Aleris Rolled Products, Inc ...... North Chesterfield, VA ...... 7/2/2021 97106 ...... The News Journal ...... New Castle, DE ...... 7/2/2021 97107 ...... Foot Locker Corporate Services Inc ...... Milwaukee, WI ...... 7/2/2021 97108 ...... Gannett Company Inc ...... Mc Lean, VA ...... 7/2/2021 97109 ...... Global Plastics, Inc ...... Perris, CA ...... 7/2/2021 97110 ...... Pactiv LLC ...... Santa Fe Springs, CA ...... 7/2/2021 97111 ...... rePlanet Packaging LLC ...... Visalia, CA ...... 7/2/2021 97112 ...... rPlanet Earth Los Angeles LLC ...... Vernon, CA ...... 7/2/2021 97113 ...... Netzsch Premier Technologies Inc ...... Exton, PA ...... 7/2/2021 97114 ...... American Pacific Plastic Fabricators Inc ...... Garden Grove, CA ...... 7/2/2021 97115 ...... Carpenter Co ...... Riverside, CA ...... 7/2/2021 97116 ...... Peak Oilfield Service Company ...... Prudhoe Bay, AK ...... 7/2/2021 97117 ...... Elite Comfort Solutions, LLC, a subsidiary of Ontario, CA ...... 7/2/2021 Leggett & Platt Incorporated. 97118 ...... Royal Pedic Mattress Manufacturing, LLC ...... Wilmington, CA ...... 7/2/2021 97119 ...... Tempur Sealy International, Inc ...... Richmond, CA ...... 7/2/2021 97120 ...... Future Foam, Inc ...... Newton, KS ...... 7/2/2021 97121 ...... SSB Manufacturing Company ...... West Coxsackie, NY ...... 7/2/2021 97122 ...... Sierra Pacific Industries ...... Red Bluff, CA ...... 7/2/2021 97123 ...... Yuba River Moulding and Millwork, Inc ...... Olivehurst, CA ...... 7/2/2021 98000 ...... Malteurop North America Inc ...... Milwaukee, WI ...... 7/9/2021 98001 ...... Employees of Olin Corp, Blue Cube Operations Freeport, TX ...... 7/12/2021 98002 ...... Emerson Automation Solutions Final Control US Black Mountain, NC ...... 7/14/2021 LP.

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Investigation TA–W No. Workers’ firm Location start date

98003 ...... Malteurop North America, Inc ...... Milwaukee, WI ...... 7/15/2021 98004 ...... The Miller Company ...... Meriden, CT ...... 7/15/2021 98005 ...... Stant USA Corporation ...... Pine Bluff, AR ...... 7/15/2021 98006 ...... American International Group—AIG Tech- Fort Worth, TX ...... 7/19/2021 nologies. 98007 ...... Cubic Trafficware ...... Sugar Land, TX ...... 7/19/2021 98008 ...... Fieldwood Energy LLC ...... Houston, TX ...... 7/19/2021 98009 ...... Core Composites Cincinnati, LLC ...... Batavia, OH ...... 7/20/2021 98010 ...... Miken Sports ...... Caledonia, MN ...... 7/20/2021 98011 ...... Terumo BCT, Inc ...... Lakewood, CO ...... 7/21/2021 98012 ...... Western Union ...... Denver, CO ...... 7/22/2021 98013 ...... Customer Engagement Services, LLC (CES) ...... Phoenix, AZ ...... 7/23/2021 98014 ...... The Mosaic Company (Uncle Sam Plant) ...... Uncle Sam, LA ...... 7/23/2021 98015 ...... Ensono ...... Conway, AR ...... 7/26/2021 98016 ...... Web Industries, Inc ...... Middlesex, VT ...... 7/26/2021 98017 ...... FujiFilm Manufacturing USA, Inc ...... Greenwood, SC ...... 7/27/2021 98018 ...... Prismview, LLC—A Samsung Electronics Com- Logan, UT ...... 7/28/2021 pany. 98019 ...... Betsy & Adam/Xscape Evenings ...... New York, NY ...... 7/28/2021 98020 ...... GSI ...... Omaha, NE ...... 7/29/2021

A record of these investigations and comments on the proposed rule change Contracts. Specifically, the Exchange petitions filed are available, subject to from interested persons. proposes to amend the expiration redaction, on the Department’s website timeframe of Long-Term Options Series I. Self-Regulatory Organization’s https://www.dol.gov/agencies/eta/ or ‘‘LEAPs.’’ Statement of the Terms of Substance of tradeact under the searchable listing or Options 2, Section 5(d)(2)(A) the Proposed Rule Change by calling the Office of Trade currently provides, ‘‘Bid/ask Adjustment Assistance toll free at 888– The Exchange proposes to amend The differentials shall not apply to any 365–6822. Nasdaq Options Market LLC (‘‘NOM’’) options series until the time to expiration is less than nine (9) months Signed at Washington, DC, this 10th day of Rules at Options 2, Section 5, Market August 2021. Maker Quotations and Options 4A, for index options.’’ Similarly, Options Hope D. Kinglock, Section 12, Terms of Index Option 4A, Section 12(b) currently states, Contracts. Certifying Officer, Office of Trade Adjustment (1) Notwithstanding the provisions of Assistance. The text of the proposed rule change paragraph (a)(3), above, NOM may list long- is available on the Exchange’s website at term index options series that expire from [FR Doc. 2021–17767 Filed 8–18–21; 8:45 am] https://listingcenter.nasdaq.com/ nine (9) to sixty (60) months from the date BILLING CODE 4510–FN–P rulebook/nasdaq/rules, at the principal of issuance. office of the Exchange, and at the (A) Index long term options series may be Commission’s Public Reference Room. based on either the full or reduced value of SECURITIES AND EXCHANGE the underlying index. There may be up to ten COMMISSION II. Self-Regulatory Organization’s (10) expiration months, none further out than Statement of the Purpose of, and sixty (60) months. Strike price interval and [Release No. 34–92666; File No. SR– Statutory Basis for, the Proposed Rule continuity Rules shall not apply to such NASDAQ–2021–062] options series until the time to expiration is Change less than nine (9) months. Bid/ask Self-Regulatory Organizations; The In its filing with the Commission, the differentials for long-term options contracts Nasdaq Stock Market LLC; Notice of Exchange included statements are specified within Options 2, Section Filing and Immediate Effectiveness of concerning the purpose of and basis for 5(d)(2)(A). Proposed Rule Change To Amend the the proposed rule change and discussed The Exchange proposes to amend the Expiration Timeframe of Long-Term any comments it received on the current text of Options 2, Section Index Options Series proposed rule change. The text of these 5(d)(2)(A) and Options 4A, Section 12(b) statements may be examined at the to amend the time to expiration term of August 13, 2021. places specified in Item IV below. The LEAPs on index options from nine to Pursuant to Section 19(b)(1) of the Exchange has prepared summaries, set sixty months to twelve to sixty months. Securities Exchange Act of 1934 forth in sections A, B, and C below, of Likewise, the Exchange proposes to (‘‘Act’’),1 and Rule 19b–4 thereunder,2 the most significant aspects of such amend the time to expiration for strike notice is hereby given that on August 9, statements. price interval, continuity rules and bid/ 2021, The Nasdaq Stock Market LLC ask differentials for LEAPS on index (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the A. Self-Regulatory Organization’s options from less than nine to less than Securities and Exchange Commission Statement of the Purpose of, and twelve months. (‘‘Commission’’) the proposed rule Statutory Basis for, the Proposed Rule Today, other options markets have change as described in Items I and II Change terms similar to those proposed herein.3 below, which Items have been prepared 1. Purpose The proposal would align NOM’s rules by the Exchange. The Commission is with other options markets with respect publishing this notice to solicit The Exchange proposes to amend NOM Rules at Options 2, Section 5, 3 See Cboe Options Exchange, Inc. Rule 4.13(b). 1 15 U.S.C. 78s(b)(1). Market Maker Quotations and Options See also Nasdaq Phlx LLC and Nasdaq ISE, LLC 2 17 CFR 240.19b–4. 4A, Section 12, Terms of Index Option Options 4A, Section 12(b).

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to the opening month for LEAPs on have terms similar to those proposed change has made NOM more attractive index options and the time to expiration herein.7 or favorable. Finally, all options for strike price interval, continuity rules Amending Options 2, Section exchanges are free to compete by listing and bid/ask differentials for LEAPS on 5(d)(2)(A) and Options 4A, Section 12(b) and trading index options with similar index options by changing nine to would harmonize NOM’s rules with expirations. twelve months. respect to LEAPs on index options to Amending Options 2, Section 5 to The Exchange also proposes to amend permit NOM to list these options in the specifically note that the opening month Options 2, Section 5 concerning a same manner as other options markets for LEAPs on index options would be Market Maker’s obligation to make two- that have similar rules.8 The Exchange twelve months by adding a separate sided markets in any option series with notes that this rule change will allow sentence to address LEAPs on index an expiration of nine months or greater. NOM to list more non-LEAP expirations options does not impose an undue Today, Market Makers are not required as the front-months for LEAP burden on competition, rather the to make two-sided markets in Quarterly expirations would begin with month proposal aligns the Exchange’s rule with Option Series, any Adjusted Option twelve instead of month nine. The rules of other options markets with Series, and any option series with an Exchange believes that this proposal respect to quoting LEAPs.11 expiration of nine months or greater in would allow it to list more months C. Self-Regulatory Organization’s equities, ETFs or indexes. With this where there is greater customer demand Statement on Comments on the proposal, Market Makers are not as this proposal would amend the Proposed Rule Change Received From required to make two-sided markets in opening month for LEAPs on index Members, Participants, or Others Quarterly Option Series, any Adjusted options from nine to twelve months. Option Series, and any option series Harmonizing NOM’s rules with respect No written comments were either with an expiration of nine months or to LEAPs on index options will allow solicited or received. greater in equities, and ETFs. With NOM to list these options in the same III. Date of Effectiveness of the respect to indexes, Market Makers manner as other options markets that Proposed Rule Change and Timing for would not be required to make two- have similar rules.9 Commission Action sided markets in Quarterly Option Amending Options 2, Section 5 to Series, any Adjusted Option Series, and specifically note that the opening month Because the foregoing proposed rule any option series with an expiration of for LEAPs on index options would be change does not: (i) Significantly affect twelve months or greater. The Exchange twelve months by adding a separate the protection of investors or the public proposes to add rule text within Options sentence to address LEAPs for index interest; (ii) impose any significant 2, Section 5 to make clear a Market options is consistent with the Act. The burden on competition; and (iii) become Maker’s obligation, respectively, to proposal would align the Exchange with operative for 30 days from the date on make two-sided markets with respect to the way other options markets require which it was filed, or such shorter time LEAPs. Today, Nasdaq ISE, LLC (‘‘ISE’’), market makers to quote LEAPs on index as the Commission may designate, it has options.10 NOM Market Makers would become effective pursuant to Section Nasdaq GEMX, LLC (‘‘GEMX’’) and 12 be required to provide two-sided 19(b)(3)(A) of the Act and Rule 19b– Nasdaq MRX, LLC (‘‘MRX’’) have 13 similar rules which describe the way quotations in additional months with 4(f)(6) thereunder. A proposed rule change filed under LEAPs on index options should be this proposal as the opening month for Rule 19b–4(f)(6) 14 normally does not quoted.4 LEAPs on index options is changing from nine to twelve months. become operative prior to 30 days after Implementation the date of the filing. However, pursuant 15 The Exchange proposes to implement B. Self-Regulatory Organization’s to Rule 19b–4(f)(6)(iii), the this amendment on or before September Statement on Burden on Competition Commission may designate a shorter 30, 2021. The Exchange will issue an The Exchange does not believe that time if such action is consistent with the Options Trader Alert announcing the the proposed rule change will not protection of investors and the public date the amendment will be operative. impose any burden on competition not interest. The Exchange has requested necessary or appropriate in furtherance that the Commission waive the 30-day 2. Statutory Basis of the purposes of the Act. Specifically, operative delay. Waiver of the operative The Exchange believes that its the Exchange does not believe the delay would allow the Exchange to align proposal is consistent with Section 6(b) proposal to amend Options 2, Section its rules with other options exchanges of the Act,5 in general, and furthers the 5(d)(2)(A) and Options 4A, Section 12(b) with respect to the opening month for objectives of Section 6(b)(5) of the Act,6 will impose any burden on intra-market LEAPs on index options and implement in particular, in that it is designed to competition as all Participants will be its proposed rule change on or before promote just and equitable principles of treated in the same manner with respect September 30, 2021. The Commission trade and to protect investors and the to time to expiration for strike price believes that the proposed rule change public interest by amending its rules, in interval, continuity rules and bid/ask presents no novel issues and that waiver part, to align NOM’s rules with other differentials for LEAPs on index options markets with respect to the options. Additionally, the Exchange 11 See ISE, GEMX and MRX Options 2, Section opening month of acceptable months for 5(e)(1). does not believe the proposal will 12 15 U.S.C. 78s(b)(3)(A). LEAPs on index options and the time to impose any burden on inter-market 13 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– expiration for strike price interval, competition as market participants are 4(f)(6)(iii) requires a self-regulatory organization to continuity rules and bid/ask welcome to become NOM Participants if give the Commission written notice of its intent to differentials for LEAPS on index they determine that this proposed rule file the proposed rule change, along with a brief description and text of the proposed rule change, options. Today, other options markets at least five business days prior to the date of filing 7 See supra note 3. of the proposed rule change, or such shorter time 4 See ISE, GEMX and MRX Options 2, Section 8 See supra note 3. as designated by the Commission. The Exchange 5(e)(1). 9 See supra note 3. has satisfied this requirement. 5 15 U.S.C. 78f(b). 10 See ISE, GEMX and MRX Options 2, Section 14 17 CFR 240.19b–4(f)(6). 6 15 U.S.C. 78f(b)(5). 5(e)(1). 15 17 CFR 240.19b–4(f)(6)(iii).

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of the 30-day operative delay is provisions of 5 U.S.C. 552, will be Market Maker Quotations; and Options consistent with the protection of available for website viewing and 4A, Section 12, Terms of Index Option investors and the public interest. printing in the Commission’s Public Contracts. Accordingly, the Commission hereby Reference Room, 100 F Street NE, The text of the proposed rule change waives the operative delay and Washington, DC 20549 on official is available on the Exchange’s website at designates the proposed rule change business days between the hours of https://listingcenter.nasdaq.com/ operative upon filing.16 10:00 a.m. and 3:00 p.m. Copies of the rulebook/bx/rules, at the principal office At any time within 60 days of the filing also will be available for of the Exchange, and at the filing of the proposed rule change, the inspection and copying at the principal Commission’s Public Reference Room. Commission summarily may office of the Exchange. All comments II. Self-Regulatory Organization’s temporarily suspend such rule change if received will be posted without change. it appears to the Commission that such Persons submitting comments are Statement of the Purpose of, and action is necessary or appropriate in the cautioned that we do not redact or edit Statutory Basis for, the Proposed Rule public interest, for the protection of personal identifying information from Change investors, or otherwise in furtherance of comment submissions. You should In its filing with the Commission, the the purposes of the Act. If the submit only information that you wish Exchange included statements Commission takes such action, the to make available publicly. All concerning the purpose of and basis for Commission shall institute proceedings submissions should refer to File the proposed rule change and discussed to determine whether the proposed rule Number SR–NASDAQ–2021–062, and any comments it received on the change should be approved or should be submitted on or before proposed rule change. The text of these disapproved. September 9, 2021. statements may be examined at the IV. Solicitation of Comments For the Commission, by the Division of places specified in Item IV below. The Trading and Markets, pursuant to delegated Exchange has prepared summaries, set Interested persons are invited to authority.17 forth in sections A, B, and C below, of submit written data, views, and J. Matthew DeLesDernier, the most significant aspects of such arguments concerning the foregoing, Assistant Secretary. statements. including whether the proposed rule change is consistent with the Act. [FR Doc. 2021–17758 Filed 8–18–21; 8:45 am] A. Self-Regulatory Organization’s Comments may be submitted by any of BILLING CODE 8011–01–P Statement of the Purpose of, and the following methods: Statutory Basis for, the Proposed Rule Change Electronic Comments SECURITIES AND EXCHANGE 1. Purpose • Use the Commission’s internet COMMISSION comment form (http://www.sec.gov/ [Release No. 34–92664; File No. SR–BX– The Exchange proposes to amend BX rules/sro.shtml); or 2021–034] Options 2, Section 4, Obligations of • Send an email to rule-comments@ Market Makers and Lead Market sec.gov. Please include File Number SR– Self-Regulatory Organizations; Nasdaq Makers; Options 2, Section 5, Market NASDAQ–2021–062 on the subject line. BX, Inc.; Notice of Filing and Maker Quotations; and Options 4A, Immediate Effectiveness of Proposed Section 12, Terms of Index Option Paper Comments Rule Change To Amend the Expiration Contracts. Specifically, the Exchange • Send paper comments in triplicate Timeframe of Long-Term Index proposes to amend the expiration to Secretary, Securities and Exchange Options Series timeframe of Long-Term Options Series Commission, 100 F Street NE, or ‘‘LEAPs.’’ Washington, DC 20549–1090. August 13, 2021. Options 2, Section 5(d)(2)(A) All submissions should refer to File Pursuant to Section 19(b)(1) of the currently provides, ‘‘Bid/ask Securities Exchange Act of 1934 Number SR–NASDAQ–2021–062. This 1 2 differentials shall not apply to any file number should be included on the (‘‘Act’’), and Rule 19b–4 thereunder, options series until the time to subject line if email is used. To help the notice is hereby given that on August expiration is less than nine (9) months Commission process and review your 10, 2021, Nasdaq BX, Inc. (‘‘BX’’ or for index options.’’ Similarly, Options comments more efficiently, please use ‘‘Exchange’’) filed with the Securities 4A, Section 12(b) currently states, and Exchange Commission only one method. The Commission will (1) Notwithstanding the provisions of post all comments on the Commission’s (‘‘Commission’’) the proposed rule change as described in Items I and II paragraph (a)(3), above, BX Options may list internet website (http://www.sec.gov/ long-term index options series that expire rules/sro.shtml). Copies of the below, which Items have been prepared from nine (9) to sixty (60) months from the submission, all subsequent by the Exchange. The Commission is date of issuance. amendments, all written statements publishing this notice to solicit (i) Index long term options series may be with respect to the proposed rule comments on the proposed rule change based on either the full or reduced value of change that are filed with the from interested persons. the underlying index. There may be up to ten (10) expiration months, none further out than Commission, and all written I. Self-Regulatory Organization’s sixty (60) months. Strike price interval and communications relating to the Statement of the Terms of Substance of continuity Rules shall not apply to such proposed rule change between the the Proposed Rule Change options series until the time to expiration is Commission and any person, other than The Exchange proposes to amend BX less than nine (9) months. Bid/ask those that may be withheld from the Rules at Options 2, Section 4, differentials for long-term options contracts public in accordance with the are specified within Options 2, Section Obligations of Market Makers and Lead 5(d)(2)(A). Market Makers; Options 2, Section 5, 16 For purposes only of waiving the 30-day The Exchange proposes to amend the operative delay, the Commission also has considered the proposed rule’s impact on 17 17 CFR 200.30–3(a)(12). current text of Options 2, Section efficiency, competition, and capital formation. See 1 15 U.S.C. 78s(b)(1). 5(d)(2)(A) and Options 4A, Section 12(b) 15 U.S.C. 78c(f). 2 17 CFR 240.19b–4. to amend the time to expiration term of

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LEAPs on index options from nine to 2. Statutory Basis B. Self-Regulatory Organization’s sixty months to twelve to sixty months. Statement on Burden on Competition Likewise, the Exchange proposes to The Exchange believes that its proposal is consistent with Section 6(b) The Exchange does not believe that amend the time to expiration for strike the proposed rule change will not of the Act,5 in general, and furthers the price interval, continuity rules and bid/ impose any burden on competition not objectives of Section 6(b)(5) of the Act,6 ask differentials for LEAPS on index necessary or appropriate in furtherance options from less than nine to less than in particular, in that it is designed to of the purposes of the Act. Specifically, twelve months. promote just and equitable principles of the Exchange does not believe the trade and to protect investors and the Today, other options markets have proposal to amend Options 2, Section public interest by amending its rules, in terms similar to those proposed herein.3 5(d)(2)(A) and Options 4A, Section 12(b) part, to align BX’s rules with other The proposal would align BX’s rules will impose any burden on intra-market with other options markets with respect options markets with respect to the competition as all Participants will be to the opening month for LEAPs on opening month of acceptable months for treated in the same manner with respect index options and the time to expiration LEAPs on index options and the time to to time to expiration for strike price for strike price interval, continuity rules expiration for strike price interval, interval, continuity rules and bid/ask and bid/ask differentials for LEAPS on continuity rules and bid/ask differentials for LEAPs on index index options by changing nine to differentials for LEAPS on index options. Additionally, the Exchange twelve months. options. Today, other options markets does not believe the proposal will have terms similar to those proposed impose any burden on inter-market The Exchange also proposes to amend herein.7 competition as market participants are Options 2, Sections 4 and 5 concerning welcome to become BX Participants if a Market Maker’s or Lead Market Amending Options 2, Section 5(d)(2)(A) and Options 4A, Section 12(b) they determine that this proposed rule Maker’s obligation to make two-sided change has made BX more attractive or would harmonize BX’s rules with markets in any option series with an favorable. Finally, all options exchanges respect to LEAPs on index options to expiration of nine months or greater. are free to compete by listing and Today, Market Makers and Lead Market permit BX to list these options in the trading index options with similar Makers are not required to make two- same manner as other options markets expirations. sided markets in Quarterly Option that have similar rules.8 The Exchange Amending Options 2, Sections 4 and Series, any Adjusted Option Series, and notes that this rule change will allow 5 to specifically note that the opening any option series with an expiration of BX to list more non-LEAP expirations as month for LEAPs on index options nine months or greater in equities, ETFs the front-months for LEAP expirations would be twelve months by adding a or indexes. With this proposal, Market would begin with month twelve instead separate sentence to address LEAPs on Makers and Lead Market Makers are not of month nine. The Exchange believes index options does not impose an required to make two-sided markets in that this proposal would allow it to list undue burden on competition, rather Quarterly Option Series, any Adjusted more months where there is greater the proposal aligns the Exchange’s rule Option Series, and any option series customer demand as this proposal with rules of other options markets with with an expiration of nine months or would amend the opening month for respect to quoting LEAPs.11 greater in equities, and ETFs. With LEAPs on index options from nine to C. Self-Regulatory Organization’s respect to indexes, Market Makers and twelve months. Harmonizing BX’s rules Statement on Comments on the Lead Market Makers would not be with respect to LEAPs on index options Proposed Rule Change Received From required to make two-sided markets in will allow BX to list these options in the Members, Participants, or Others Quarterly Option Series, any Adjusted same manner as other options markets No written comments were either Option Series, and any option series that have similar rules.9 with an expiration of twelve months or solicited or received. Amending Options 2, Sections 4 and greater. The Exchange proposes to add III. Date of Effectiveness of the rule text within Options 2, Sections 4 5 to specifically note that the opening month for LEAPs on index options Proposed Rule Change and Timing for and 5 to make clear a Lead Market Commission Action Maker’s and Market Maker’s obligation, would be twelve months by adding a Because the foregoing proposed rule respectively, to make two-sided markets separate sentence to address LEAPs for change does not: (i) Significantly affect with respect to LEAPs. Today, Nasdaq index options is consistent with the Act. the protection of investors or the public ISE, LLC (‘‘ISE’’), Nasdaq GEMX, LLC The proposal would align the Exchange interest; (ii) impose any significant (‘‘GEMX’’) and Nasdaq MRX, LLC with the way other options markets burden on competition; and (iii) become (‘‘MRX’’) have similar rules which require market makers to quote LEAPs operative for 30 days from the date on describe the way LEAPs on index on index options.10 BX Lead Market which it was filed, or such shorter time options should be quoted.4 Makers and Market Makers would be required to provide two-sided as the Commission may designate, it has become effective pursuant to Section Implementation quotations in additional months with 19(b)(3)(A) of the Act 12 and Rule 19b– this proposal as the opening month for The Exchange proposes to implement 4(f)(6) thereunder.13 this amendment on or before September LEAPs on index options is changing 30, 2021. The Exchange will issue an from nine to twelve months. 11 See ISE, GEMX and MRX Options 2, Section Options Trader Alert announcing the 5(e)(1). date the amendment will be operative. 5 15 U.S.C. 78f(b). 12 15 U.S.C. 78s(b)(3)(A). 6 15 U.S.C. 78f(b)(5). 13 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 7 See supra note 3. 4(f)(6)(iii) requires a self-regulatory organization to 3 See Cboe Options Exchange, Inc. Rule 4.13(b). give the Commission written notice of its intent to 8 See supra note 3. See also Nasdaq Phlx LLC and Nasdaq ISE, LLC file the proposed rule change, along with a brief Options 4A, Section 12(b). 9 See supra note 3. description and text of the proposed rule change, 4 See ISE, GEMX and MRX Options 2, Section 10 See ISE, GEMX and MRX Options 2, Section at least five business days prior to the date of filing 5(e)(1). 5(e)(1). Continued

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A proposed rule change filed under Paper Comments SECURITIES AND EXCHANGE Rule 19b–4(f)(6) 14 normally does not • COMMISSION become operative prior to 30 days after Send paper comments in triplicate to Secretary, Securities and Exchange the date of the filing. However, pursuant [Release No. 34–92662; File No. SR– 15 Commission, 100 F Street NE, to Rule 19b–4(f)(6)(iii), the EMERALD–2021–25] Commission may designate a shorter Washington, DC 20549–1090. time if such action is consistent with the All submissions should refer to File Self-Regulatory Organizations; MIAX protection of investors and the public Number SR–BX–2021–034. This file Emerald, LLC; Notice of Filing and interest. The Exchange has requested number should be included on the Immediate Effectiveness of a Proposed that the Commission waive the 30-day subject line if email is used. To help the Rule Change To Amend Its Fee operative delay. Waiver of the operative Commission process and review your Schedule To Adopt a Tiered-Pricing delay would allow the Exchange to align comments more efficiently, please use Structure for Additional Limited its rules with other options exchanges only one method. The Commission will Service MIAX Emerald Express with respect to the opening month for post all comments on the Commission’s Interface Ports LEAPs on index options and implement internet website (http://www.sec.gov/ its proposed rule change on or before August 13, 2021. September 30, 2021. The Commission rules/sro.shtml). Copies of the Pursuant to Section 19(b)(1) of the believes that the proposed rule change submission, all subsequent Securities Exchange Act of 1934 presents no novel issues and that waiver amendments, all written statements (‘‘Act’’),1 and Rule 19b–4 thereunder,2 of the 30-day operative delay is with respect to the proposed rule notice is hereby given that on August 2, consistent with the protection of change that are filed with the investors and the public interest. Commission, and all written 2021, MIAX Emerald, LLC (‘‘MIAX Accordingly, the Commission hereby communications relating to the Emerald’’ or ‘‘Exchange’’) filed with the waives the operative delay and proposed rule change between the Securities and Exchange Commission designates the proposed rule change Commission and any person, other than (‘‘Commission’’) a proposed rule change operative upon filing.16 those that may be withheld from the as described in Items I, II, and III below, which Items have been prepared by the At any time within 60 days of the public in accordance with the Exchange. The Commission is filing of the proposed rule change, the provisions of 5 U.S.C. 552, will be publishing this notice to solicit Commission summarily may available for website viewing and comments on the proposed rule change temporarily suspend such rule change if printing in the Commission’s Public from interested persons. it appears to the Commission that such Reference Room, 100 F Street NE, action is necessary or appropriate in the Washington, DC 20549 on official I. Self-Regulatory Organization’s public interest, for the protection of business days between the hours of Statement of the Terms of Substance of investors, or otherwise in furtherance of 10:00 a.m. and 3:00 p.m. Copies of the the Proposed Rule Change the purposes of the Act. If the filing also will be available for Commission takes such action, the inspection and copying at the principal The Exchange is filing a proposal to Commission shall institute proceedings office of the Exchange. All comments amend the Exchange’s Fee Schedule to determine whether the proposed rule received will be posted without change. (the ‘‘Fee Schedule’’) to amend certain change should be approved or Persons submitting comments are port fees. disapproved. cautioned that we do not redact or edit The text of the proposed rule change personal identifying information from IV. Solicitation of Comments is available on the Exchange’s website at comment submissions. You should http://www.miaxoptions.com/rule- Interested persons are invited to submit only information that you wish filings/emerald, at MIAX’s principal submit written data, views, and to make available publicly. All office, and at the Commission’s Public arguments concerning the foregoing, submissions should refer to File Reference Room. including whether the proposed rule Number SR–BX–2021–034, and should change is consistent with the Act. be submitted on or before September 9, II. Self-Regulatory Organization’s Comments may be submitted by any of 2021. Statement of the Purpose of, and Statutory Basis for, the Proposed Rule the following methods: For the Commission, by the Division of Change Electronic Comments Trading and Markets, pursuant to delegated authority.17 In its filing with the Commission, the • Use the Commission’s internet J. Matthew DeLesDernier, Exchange included statements comment form (http://www.sec.gov/ Assistant Secretary. concerning the purpose of and basis for rules/sro.shtml); or [FR Doc. 2021–17756 Filed 8–18–21; 8:45 am] the proposed rule change and discussed • Send an email to rule-comments@ BILLING CODE 8011–01–P any comments it received on the sec.gov. Please include File Number SR– proposed rule change. The text of these BX–2021–034 on the subject line. statements may be examined at the places specified in Item IV below. The of the proposed rule change, or such shorter time Exchange has prepared summaries, set as designated by the Commission. The Exchange has satisfied this requirement. forth in sections A, B, and C below, of 14 17 CFR 240.19b–4(f)(6). the most significant aspects of such 15 17 CFR 240.19b–4(f)(6)(iii). statements. 16 For purposes only of waiving the 30-day operative delay, the Commission also has considered the proposed rule’s impact on efficiency, competition, and capital formation. See 1 15 U.S.C. 78s(b)(1). 15 U.S.C. 78c(f). 17 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4.

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A. Self-Regulatory Organization’s MEI Ports for each matching engine to not designed to permit unfair Statement of the Purpose of, and which they connect. The Full Service discrimination between customers, Statutory Basis for, the Proposed Rule MEI Ports, Limited Service MEI Ports issuers, brokers and dealers. Change and the additional Limited Service MEI The Exchange notes that it operates in Ports all include access to the a highly competitive market in which 1. Purpose Exchange’s primary and secondary data market participants can readily favor The Exchange proposes to amend the centers and its disaster recovery center. competing venues if they deem fee Fee Schedule to adopt a tiered-pricing Market Makers may request additional levels at a particular venue to be structure for additional Limited Service Limited Service MEI Ports for which excessive. In such an environment, the MIAX Emerald Express Interface they are assessed a $100 monthly fee for Exchange must continually adjust its (‘‘MEI’’) Ports 3 available to Market each additional Limited Service MEI fees for services and products, in Makers.4 The Exchange believes a Port for each matching engine. addition to order flow, to remain tiered-pricing structure will encourage The Exchange now proposes to move competitive with other exchanges. The Market Makers to be more efficient and from a flat monthly fee per additional Exchange believes that the proposed economical when determining how to Limited Service MEI Port for each changes reflect this competitive connect to the Exchange. This should matching engine to a tiered-pricing environment. also enable the Exchange to better structure per additional Limited Service The Exchange believes the proposal to monitor and provide access to the MEI Ports for each matching engine move from a flat fee per month to a Exchange’s network to ensure sufficient under which the monthly fee would tiered-pricing structure is reasonable, capacity and headroom in the System.5 vary depending on the number of equitably allocated and not unfairly additional Limited Service MEI Ports discriminatory because the Exchange Additional Limited Service MEI Port the Market Maker elects to purchase. believes the proposed structure would Tiered-Pricing Structure Specifically, the Exchange will continue encourage firms to be more economical The Exchange proposes to amend the to provide the first and second and efficient in the number of fees for additional Limited Service MEI additional Limited Service MEI Ports for additional Limited Service MEI Ports Ports. Currently, the Exchange allocates each matching engine free of charge, as they purchase. The Exchange believes two (2) Full Service MEI Ports 6 and two described above, per the initial this will enable the Exchange to better (2) Limited Service MEI Ports 7 per allocation of Limited Service MEI Ports monitor and provide access to the matching engine 8 to which each Market that Market Makers receive. Exchange’s network to ensure sufficient Maker connects. Market Makers may Specifically, (i) the third and fourth capacity and headroom in the System. also request additional Limited Service additional Limited Service MEI Ports for The Exchange notes that the firms that each matching engine will increase from are primarily order routers seeking best- 3 The MIAX Emerald Express Interface (‘‘MEI’’) is the current flat monthly fee of $100 to execution do not utilize Limited Service a connection to the MIAX Emerald System that $200 per port; (ii) the fifth and sixth MEI Ports on MIAX Emerald. Therefore, enables Market Makers to submit simple and the fees described in the proposed complex electronic quotes to MIAX Emerald. See additional Limited Service MEI Ports for the Definitions Section of the Fee Schedule. engine matching engine will increase tiered-pricing structure will only be 4 The term ‘‘Market Makers’’ refers to Lead Market from the current flat monthly fee of allocated to market making firms that Makers (‘‘LMMs’’), Primary Lead Market Makers $100 to $300 per port; and (iii) the engage in advanced trading strategies (‘‘PLMMs’’), and Registered Market Makers and typically request multiple Limited (‘‘RMMs’’) collectively. See the Definitions Section seventh to the twelfth additional of the Fee Schedule and Exchange Rule 100. Limited Service MEI Ports will increase Service MEI Ports. Accordingly, the 5 The term ‘‘System’’ means the automated from the current monthly flat fee of firms engaged in market making trading system used by the Exchange for the trading $100 to $400 per port (collectively, the business generate higher costs by of securities. See the Definitions Section of the Fee ‘‘Proposed Access Fees’’). utilizing more of the Exchange’s Schedule and Exchange Rule 100. resources. The market making firms that 6 ‘‘Full Service MEI Ports’’ means a port which 2. Statutory Basis purchase higher amounts of Limited provides Market Makers with the ability to send Market Maker simple and complex quotes, eQuotes, The Exchange believes that its Service MEI Ports tend to have specific and quote purge messages to the MIAX Emerald proposal to amend its Fee Schedule is business oriented market making and System. Full Service MEI Ports are also capable of consistent with Section 6(b) of the Act 9 taking strategies, as opposed to firms receiving administrative information. Market simply engaging in best-execution order Makers are limited to two Full Service MEI Ports in general, and furthers the objectives of per Matching Engine. See the Definitions Section of Section 6(b)(4) of the Act 10 in routing business. The use of such the Fee Schedule. particular, in that it provides for the additional Limited Service MEI Ports is 7 ‘‘Limited Service MEI Ports’’ means a port equitable allocation of reasonable dues, entirely voluntary. which provides Market Makers with the ability to fees and other charges among Exchange The Exchange believes that send simple and complex eQuotes and quote purge exchanges, in setting fees of all types, messages only, but not Market Maker Quotes, to the Members and issuers and other persons MIAX Emerald System. Limited Service MEI Ports using any facility or system which the should meet very high standards of are also capable of receiving administrative Exchange operates or controls. The transparency to demonstrate why each information. Market Makers initially receive two Exchange also believes the proposal new fee or fee increase meets the Limited Service MEI Ports per Matching Engine. requirements of the Act that fees be See the Definitions Section of the Fee Schedule. furthers the objectives of Section 6(b)(5) 8 ‘‘Matching Engine’’ means a part of the MIAX of the Act 11 in that it is designed to reasonable, equitably allocated, not Emerald electronic system that processes options promote just and equitable principles of unfairly discriminatory, and not create orders and trades on a symbol-by-symbol basis. trade, to remove impediments to and an undue burden on competition among Some Matching Engines will process option classes market participants. The Exchange with multiple root symbols, and other Matching perfect the mechanism of a free and Engines may be dedicated to one single option root open market and a national market believes this high standard is especially symbol (for example, options on SPY may be system, and, in general to protect important when an exchange imposes processed by one single Matching Engine that is investors and the public interest and is various access fees for market dedicated only to SPY). A particular root symbol participants to access an exchange’s may only be assigned to a single designated Matching Engine. A particular root symbol may not 9 15 U.S.C. 78f(b). marketplace. The Exchange deems port be assigned to multiple Matching Engines. See the 10 15 U.S.C. 78f(b)(4). fees to be access fees. It records these Definitions Section of the Fee Schedule. 11 15 U.S.C. 78f(b)(5). fees as part of its ‘‘Access Fees’’ revenue

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in its financial statements. The decline. The Exchange is presenting its in excessive pricing or supra- Exchange believes that it is important to revenue and expense associated with competitive profit; and (iv) utilize a demonstrate that these fees are based on the Proposed Access Fees in this filing cost-based justification framework that its costs and reasonable business needs. in a manner that is consistent with how is substantially similar to a framework The Exchange believes the Proposed the Exchange presents its revenue and previously used by the Exchange, and Access Fees will allow the Exchange to expense in its Audited Unconsolidated its affiliates MIAX PEARL, LLC (‘‘MIAX offset expense the Exchange has and Financial Statements. The Exchange’s Pearl’’) and Miami International will incur, and that the Exchange is most recent Audited Unconsolidated Securities Exchange, LLC (‘‘MIAX’’), to providing sufficient transparency (as Financial Statement is for 2020. establish or increase other non- described below) into how the Exchange However, since the revenue and transaction fees.14 Accordingly, the determined to charge such fees. expense associated with the Proposed Exchange believes that the Commission Accordingly, the Exchange is providing Access Fees were not in place in 2020 should find that the Proposed Access an analysis of its revenues, costs, and or for the first seven months of 2021, the Fees are consistent with the Act. profitability associated with the Exchange believes its 2020 Audited * * * * * Proposed Access Fees. This analysis Unconsolidated Financial Statement is As of July 31, 2021, the Exchange had includes information regarding its not useful for analyzing the a market share of only 4.15% of the U.S. methodology for determining the costs reasonableness of the total annual equity options industry for the month of and revenues associated with the revenue and costs associated with the July 2021.15 The Exchange is not aware Proposed Access Fees. Proposed Access Fees. Accordingly, the of any evidence that a market share of In order to determine the Exchange’s Exchange believes it is more appropriate approximately 4–5% provides the costs to provide the access services to analyze the Proposed Access Fees Exchange with anti-competitive pricing associated with the Proposed Access utilizing its 2021 revenue and costs, as power. If the Exchange were to attempt Fees, the Exchange conducted an described herein, which utilize the same to establish unreasonable pricing, then extensive cost review in which the presentation methodology as set forth in no market participant would join or Exchange analyzed every expense item the Exchange’s previously-issued access the Exchange, and existing in the Exchange’s general expense Audited Unconsolidated Financial market participants would discontinue ledger to determine whether each such Statements. Based on this analysis, the all or some of their access services. expense relates to the Proposed Access Exchange believes that the Proposed Separately, the Exchange is not aware Fees, and, if such expense did so relate, Access Fees are fair and reasonable of any reason why market participants what portion (or percentage) of such because they will not result in excessive could not simply drop their access (or expense actually supports the access pricing or supra-competitive profit not initially access an exchange) if an services. The sum of all such portions when comparing the Exchange’s total exchange were to establish prices for its of expenses represents the total cost of annual expense associated with non-transaction fees that, in the the Exchange to provide the access providing the services associated with determination of such market services associated with the Proposed the Proposed Access Fees versus the participant, did not make business or Access Fees. For the avoidance of doubt, total projected annual revenue the economic sense for such market no expense amount was allocated twice. Exchange will collect for providing participant to access such exchange. No The Exchange is also providing detailed those services. options market participant is required information regarding the Exchange’s * * * * * by rule, regulation, or competitive forces cost allocation methodology—namely, On March 29, 2019, the Commission to be a Member of the Exchange. As information that explains the issued its Order Disapproving Proposed evidence of the fact that market Exchange’s rationale for determining Rule Changes to Amend the Fee participants can and do drop their that it was reasonable to allocate certain Schedule on the BOX Market LLC access to exchanges based on non- expenses described in this filing Options Facility to Establish BOX transaction fee pricing, R2G Services towards the cost to the Exchange to Connectivity Fees for Participants and LLC (‘‘R2G’’) filed a comment letter after provide the access services associated Non-Participants Who Connect to the BOX’s proposed rule changes to with the Proposed Access Fees. BOX Network (the ‘‘BOX Order’’).12 On increase its connectivity fees (SR–BOX– In order to determine the Exchange’s May 21, 2019, the Commission issued 2018–24, SR–BOX–2018–37, and SR– projected revenues associated with the the Staff Guidance on SRO Rule Filings BOX–2019–04). The R2G Letter stated, Proposed Access Fees, the Exchange Relating to Fees.13 Accordingly, the ‘‘[w]hen BOX instituted a $10,000/ analyzed the number of Market Makers Exchange believes that the Proposed month price increase for connectivity; currently utilizing Limited Service MEI Access Fees are consistent with the Act we had no choice but to terminate Ports, and, utilizing a recent monthly because they (i) are reasonable, connectivity into them as well as billing cycle representative of 2021 equitably allocated, not unfairly terminate our market data relationship. monthly revenue, extrapolated discriminatory, and not an undue The cost benefit analysis just didn’t annualized revenue on a going-forward burden on competition; (ii) comply with make any sense for us at those new basis. The Exchange does not believe it the BOX Order and the Guidance; (iii) levels.’’ Similarly, the Exchange noted is appropriate to factor into its analysis are supported by evidence (including in a recent filing that once MIAX future revenue growth or decline into its comprehensive revenue and cost data Emerald issued a notice that it was projections for purposes of these and analysis) that they are fair and instituting MEI Port fees, among other calculations, given the uncertainty of reasonable because they will not result such projections due to the continually 14 See Securities Exchange Act Release Nos. changing access needs of market 12 See Securities Exchange Act Release No. 85459 90981 (January 25, 2021), 86 FR 7582 (January 29, participants, discounts that can be (March 29, 2019), 84 FR 13363 (April 4, 2019) (SR– 2021) (SR–PEARL–2021–01) (proposal to increase achieved due to lower trading volume BOX–2018–24, SR–BOX–2018–37, and SR–BOX– connectivity fees); 90980 (January 25, 2021), 86 FR and vice versa, market participant 2019–04). 7602 (January 29, 2021) (SR–MIAX–2021–02) 13 See Staff Guidance on SRO Rule Filings (proposal to increase connectivity fees). consolidation, etc. Additionally, the Relating to Fees (May 21, 2019), at https:// 15 See ‘‘The market at a glance,’’ available at Exchange similarly does not factor into www.sec.gov/tm/staff-guidance-sro-rule-filings-fees https://www.miaxoptions.com/ (last visited July 31, its analysis future cost growth or (the ‘‘Guidance’’). 2021).

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non-transaction fees, one MIAX Emerald reasonable because they will not result determine whether each such expense Member dropped its access to MIAX in excessive pricing or supra- relates to the access services associated Emerald as a result of those fees.16 competitive profit, when comparing the with the Proposed Access Fees, and, if Accordingly, these examples show that total annual expense that the Exchange such expense did so relate, what portion if an exchange sets too high of a fee for projects to incur in connection with (or percentage) of such expense actually ports and/or other non-transaction fees, providing these access services versus supports those services, and thus bears including other access fees, for its the total annual revenue that the a relationship that is, ‘‘in nature and relevant marketplace, market Exchange projects to collect in closeness,’’ directly related to those participants can choose to drop their connection with services associated services. The sum of all such portions access to such exchange. with the Proposed Access Fees. For of expenses represents the total cost of In order to provide more detail and to 2021,17 the total annual expense for the Exchange to provide access services quantify the Exchange’s costs associated providing the access services associated associated with the Proposed Access with providing access to the Exchange with the Proposed Access Fees is Fees. in general, the Exchange notes that there projected to be approximately $0.88 are material costs associated with million. The approximately $0.88 For 2021, total third-party expense, providing the infrastructure and million in projected total annual relating to fees paid by the Exchange to headcount to fully-support access to the expense is comprised of the following, third-parties for certain products and Exchange. The Exchange incurs all of which are directly related to the services for the Exchange to be able to technology expense related to access services associated with the provide the access services associated establishing and maintaining Proposed Access Fees: (1) Third-party with the Proposed Access Fees, is Information Security services, enhanced expense, relating to fees paid by the projected to be $0.05 million. This network monitoring and customer Exchange to third-parties for certain includes, but is not limited to, a portion reporting, as well as Regulation SCI products and services; and (2) internal of the fees paid to: (1) Equinix, for data mandated processes, associated with its expense, relating to the internal costs of center services, for the primary, network technology. While some of the the Exchange to provide the services secondary, and disaster recovery expense is fixed, much of the expense associated with the Proposed Access locations of the Exchange’s trading is not fixed, and thus increases as the Fees.18 As noted above, the Exchange system infrastructure; (2) Zayo Group services associated with the Proposed believes it is more appropriate to Holdings, Inc. (‘‘Zayo’’) for network Access Fees increase. For example, new analyze the Proposed Access Fees services (fiber and bandwidth products Members to the Exchange may require utilizing its 2021 revenue and costs, and services) linking the Exchange’s the purchase of additional hardware to which utilize the same presentation office locations in Princeton, New Jersey support those Members as well as methodology as set forth in the and Miami, Florida, to all data center enhanced monitoring and reporting of Exchange’s previously-issued Audited locations; (3) Secure Financial customer performance that the Unconsolidated Financial Statements.19 Transaction Infrastructure (‘‘SFTI’’),20 Exchange and its affiliates provide. The $0.88 million in projected total which supports connectivity and feeds Further, as the total number Members annual expense is directly related to the for the entire U.S. options industry; (4) increases, the Exchange and its affiliates access services associated with the various other services providers may need to increase their data center Proposed Access Fees, and not any (including Thompson Reuters, NYSE, footprint and consume more power, other product or service offered by the Nasdaq, and Internap), which provide resulting in increased costs charged by Exchange. It does not include general content, connectivity services, and their third-party data center provider. costs of operating matching systems and infrastructure services for critical Accordingly, the cost to the Exchange other trading technology, and no components of options connectivity and and its affiliates to provide access to its expense amount was allocated twice. network services; and (5) various other System for market participants is not As discussed, the Exchange hardware and software providers fixed. The Exchange believes the conducted an extensive cost review in (including Dell and Cisco, which Proposed Access Fees are reasonable in which the Exchange analyzed expense support the production environment in order to offset a portion of the costs to items in the Exchange’s general expense which Members connect to the network the Exchange associated with providing ledger (this includes over 150 separate to trade, receive market data, etc.). For access to its network infrastructure. and distinct expense items) to clarity, only a portion of all fees paid to The Exchange only has four primary such third-parties is included in the sources of revenue: Transaction fees, 17 The Exchange has not yet finalized its 2021 third-party expense herein, and no access fees (which includes the year end results. expense amount is allocated twice. Proposed Access Fees), regulatory fees, 18 The percentage allocations used in this proposed rule change may differ from past filings Accordingly, the Exchange does not and market data fees. Accordingly, the from the Exchange or its affiliates due to, among allocate its entire information Exchange must cover all of its expenses other things, changes in expenses charged by third- technology and communication costs to from these four primary sources of parties, adjustments to internal resource allocations, the access services associated with the revenue. and different system architecture of the Exchange Proposed Access Fees. The Exchange believes that the as compared to its affiliates. 19 For example, the Exchange previously noted Proposed Access Fees are fair and that all third-party expense described in its prior fee 20 In fact, on October 22, 2019, the Exchange was filing was contained in the information technology notified by SFTI that it is again raising its fees 16 See Securities Exchange Act Release No. 91460 and communication costs line item under the charged to the Exchange by approximately 11%, (April 2, 2021), 86 FR 18349 (April 8, 2021) (SR– section titled ‘‘Operating Expenses Incurred without having to show that such fee change EMERALD–2021–11) (Notice of Filing and Directly or Allocated From Parent,’’ in the complies with the Act by being reasonable, Immediate Effectiveness of a Proposed Rule Change Exchange’s 2019 Form 1 Amendment containing its equitably allocated, and not unfairly To Amend Its Fee Schedule To Adopt Port Fees, financial statements for 2018. See Securities discriminatory. It is unfathomable to the Exchange Increase Certain Network Connectivity Fees, and Exchange Act Release No. 87877 (December 31, that, given the critical nature of the infrastructure Increase the Number of Additional Limited Service 2019), 85 FR 738 (January 7, 2020) (SR–EMERALD– services provided by SFTI, that its fees are not MIAX Emerald Express Interface Ports Available to 2019–39). Accordingly, the third-party expense required to be rule-filed with the Commission Market Makers) (adopting tiered MEI Port fee described in this filing is attributed to the same line pursuant to Section 19(b)(1) of the Act and Rule structure ranging from $5,000 to $20,500 per item for the Exchange’s 2021 Form 1 Amendment, 19b–4 thereunder. See 15 U.S.C. 78s(b)(1) and 17 month). which will be filed in 2022. CFR 240.19b–4, respectively.

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The Exchange believes it is reasonable believes this allocation is reasonable the Exchange to provide the access to allocate such third-party expense because it represents the Exchange’s services associated with the Proposed described above towards the total cost to actual cost to provide the access Access Fees, is projected to be $0.83 the Exchange to provide the access services associated with the Proposed million. This includes, but is not services associated with the Proposed Access Fees, and not any other service, limited to, costs associated with: (1) Access Fees. In particular, the Exchange as supported by its cost review. Employee compensation and benefits believes it is reasonable to allocate the The Exchange believes it is reasonable for full-time employees that support the identified portion of the Equinix to allocate the identified portions of the access services associated with the expense because Equinix operates the SFTI expense and various other service Proposed Access Fees, including staff in data centers (primary, secondary, and providers’ (including Thompson network operations, trading operations, disaster recovery) that host the Reuters, NYSE, Nasdaq, and Internap) development, system operations, and Exchange’s network infrastructure. This expense because those entities provide business that support those employees includes, among other things, the connectivity and feeds for the entire and functions (including an increase as necessary storage space, which U.S. options industry, as well as the a result of the higher determinism continues to expand and increase in content, connectivity services, and project); (2) depreciation and cost, power to operate the network infrastructure services for critical amortization of hardware and software infrastructure, and cooling apparatuses components of the network. Without used to provide the access services to ensure the Exchange’s network these services from SFTI and various associated with the Proposed Access infrastructure maintains stability. other service providers, the Exchange Fees, including equipment, servers, Without these services from Equinix, would not be able to operate and cabling, purchased software and the Exchange would not be able to support the network and provide access internally developed software used in operate and support the network and to its Members and their customers. The the production environment to support provide the access services associated Exchange did not allocate all of the SFTI the network for trading; and (3) with the Proposed Access Fees to its and other service providers’ expense occupancy costs for leased office space Members and their customers. The toward the cost of providing the access for staff that provide the access services Exchange did not allocate all of the services associated with the Proposed associated with the Proposed Access Equinix expense toward the cost of Access Fees, only the portions which Fees. The breakdown of these costs is providing the access services associated the Exchange identified as being more fully-described below. For clarity, with the Proposed Access Fees, only specifically mapped to providing the only a portion of all such internal that portion which the Exchange access services associated with the expenses are included in the internal identified as being specifically mapped Proposed Access Fees, approximately expense herein, and no expense amount to providing the access services 2.05% of the total applicable SFTI and is allocated twice. Accordingly, the associated with the Proposed Access other service providers’ expense. The Exchange does not allocate its entire Fees, approximately 2.05% of the total Exchange believes this allocation is costs contained in those items to the applicable Equinix expense. The reasonable because it represents the access services associated with the Exchange believes this allocation is Exchange’s actual cost to provide the Proposed Access Fees. access services associated with the reasonable because it represents the The Exchange believes it is reasonable Exchange’s actual cost to provide the Proposed Access Fees. The Exchange believes it is reasonable to allocate such internal expense access services associated with the to allocate the identified portion of the described above towards the total cost to Proposed Access Fees, and not any other hardware and software provider the Exchange to provide the access other service, as supported by its cost expense because this includes costs for services associated with the Proposed review. dedicated hardware licenses for Access Fees. In particular, the The Exchange believes it is reasonable switches and servers, as well as Exchange’s employee compensation and to allocate the identified portion of the dedicated software licenses for security benefits expense relating to providing Zayo expense because Zayo provides monitoring and reporting across the the access services associated with the the internet, fiber and bandwidth network. Without this hardware and Proposed Access Fees is projected to be connections with respect to the software, the Exchange would not be approximately $0.76 million, which is network, linking the Exchange with its able to operate and support the network only a portion of the $9.74 million total affiliates, MIAX Pearl and MIAX, as and provide access to its Members and projected expense for employee well as the data center and disaster their customers. The Exchange did not compensation and benefits. The recovery locations. As such, all of the allocate all of the hardware and software Exchange believes it is reasonable to trade data, including the billions of provider expense toward the cost of allocate the identified portion of such messages each day per exchange, flow providing the access services associated expense because this includes the time through Zayo’s infrastructure over the with the Proposed Access Fees, only the spent by employees of several Exchange’s network. Without these portions which the Exchange identified departments, including Technology, services from Zayo, the Exchange would as being specifically mapped to Back Office, Systems Operations, not be able to operate and support the providing the access services associated Networking, Business Strategy network and provide the access services with the Proposed Access Fees, Development (who create the business associated with the Proposed Access approximately 1.23% of the total requirement documents that the Fees. The Exchange did not allocate all applicable hardware and software Technology staff use to develop network of the Zayo expense toward the cost of provider expense. The Exchange features and enhancements), and Trade providing the access services associated believes this allocation is reasonable Operations. As part of the extensive cost with the Proposed Access Fees, only the because it represents the Exchange’s review conducted by the Exchange, the portion which the Exchange identified actual cost to provide the access Exchange reviewed the amount of time as being specifically mapped to services associated with the Proposed spent by each employee on matters providing the Proposed Access Fees, Access Fees. relating to the provision of access approximately 1.64% of the total For 2021, total projected internal services associated with the Proposed applicable Zayo expense. The Exchange expense, relating to the internal costs of Access Fees. Without these employees,

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the Exchange would not be able to associated with the Proposed Access believes this is reasonable and in line, provide the access services associated Fees is projected to be $0.01 million, as the Exchange operates a technology- with the Proposed Access Fees to its which is only a portion of the $0.52 based business that differentiates itself Members and their customers. The million total projected expense for from its competitors based on its trading Exchange did not allocate all of the occupancy. The Exchange believes it is systems that rely on access to a high employee compensation and benefits reasonable to allocate the identified performance network, resulting in expense toward the cost of the access portion of such expense because such significant technology expense. Over services associated with the Proposed expense represents the portion of the two-thirds of Exchange staff are Access Fees, only the portions which Exchange’s cost to rent and maintain a technology-related employees. The the Exchange identified as being physical location for the Exchange’s majority of the Exchange’s expense is specifically mapped to providing the staff who operate and support the technology-based. As described above, access services associated with the network, including providing the access the Exchange has only four primary Proposed Access Fees, approximately services associated with the Proposed sources of fees to recover their costs; 7.81% of the total applicable employee Access Fees. This amount consists thus, the Exchange believes it is compensation and benefits expense. The primarily of rent for the Exchange’s reasonable to allocate a material portion Exchange believes this allocation is Princeton, NJ office, as well as various of their total overall expense towards reasonable because it represents the related costs, such as physical security, access fees. Exchange’s actual cost to provide the property management fees, property Accordingly, based on the facts and access services associated with the taxes, and utilities. The Exchange circumstances presented, the Exchange Proposed Access Fees, and not any operates its Network Operations Center believes that its provision of the access other service, as supported by its cost (‘‘NOC’’) and Security Operations services associated with the Proposed review. Center (‘‘SOC’’) from its Princeton, New Access Fees will not result in excessive The Exchange’s depreciation and Jersey office location. A centralized pricing or supra-competitive profit. To amortization expense relating to office space is required to house the illustrate, on a going-forward, fully- providing the services associated with staff that operates and supports the annualized basis, the Exchange projects the Proposed Access Fees is projected to network. The Exchange currently has that annualized revenue for providing be $0.06 million, which is only a approximately 150 employees. the access services associated with the portion of the $3.13 million total Approximately two-thirds of the Proposed Access Fees would be projected expense for depreciation and Exchange’s staff are in the Technology approximately $2.07 million per annum, amortization. The Exchange believes it department, and the majority of those based on a recent billing cycle. The is reasonable to allocate the identified staff have some role in the operation Exchange projects that its annualized portion of such expense because such and performance of the access services expense for providing the services expense includes the actual cost of the associated with the Proposed Access associated with the Proposed Access computer equipment, such as dedicated Fees. Without this office space, the Fees will be approximately $0.88 servers, computers, laptops, monitors, Exchange would not be able to operate million per annum. Accordingly, on a information security appliances and and support the network and provide fully-annualized basis, the Exchange storage, and network switching the access services associated with the believes its total projected revenue for infrastructure equipment, including Proposed Access Fees to its Members providing the access services associated with the Proposed Access Fees will not switches and taps that were purchased and their customers. Accordingly, the to operate and support the network and result in excessive pricing or supra- Exchange believes it is reasonable to provide the access services associated competitive profit, as the Exchange will allocate the identified portion of its with the Proposed Access Fees. Without make a profit margin of approximately occupancy expense because such this equipment, the Exchange would not 58% ($2.07 million in total revenue amount represents the Exchange’s actual be able to operate the network and minus $.088 [sic] million in expense = cost to house the equipment and provide the access services associated $1.19 million in profit per annum). personnel who operate and support the with the Proposed Access Fees to its Additionally, this profit margin does not Exchange’s network infrastructure and Members and their customers. The take into account the cost of capital the access services associated with the Exchange did not allocate all of the expenditures (‘‘CapEx’’) the Exchange Proposed Access Fees. The Exchange depreciation and amortization expense projects to spend each year on CapEx toward the cost of providing the access did not allocate all of the occupancy going forward. services associated with the Proposed expense toward the cost of providing For the avoidance of doubt, none of Access Fees, only the portion which the the access services associated with the the expenses included herein relating to Exchange identified as being Proposed Access Fees, only the portion the access services associated with the specifically mapped to providing the which the Exchange identified as being Proposed Access Fees relate to the access services associated with the specifically mapped to operating and provision of any other services offered Proposed Access Fees, approximately supporting the network, approximately by the Exchange or its affiliates. Stated 1.92% of the total applicable 1.93% of the total applicable occupancy differently, no expense amount of the depreciation and amortization expense, expense. The Exchange believes this Exchange is allocated twice. The as these access services would not be allocation is reasonable because it Exchange notes that, with respect to possible without relying on such. The represents the Exchange’s cost to expenses associated with the Exchange’s Exchange believes this allocation is provide the access services associated affiliates, MIAX Pearl and MIAX, those reasonable because it represents the with the Proposed Access Fees, and not expenses are accounted for separately Exchange’s actual cost to provide the any other service, as supported by its and are not included within the scope access services associated with the cost review. of this filing. Stated differently, no Proposed Access Fees, and not any The Exchange notes that a material expense amount of the Exchange is also other service, as supported by its cost portion of its total overall expense is allocated to MIAX Pearl or MIAX. review. allocated to the provision of access The Exchange believes it is The Exchange’s occupancy expense services (including connectivity, ports, reasonable, equitable and not unfairly relating to providing the services and trading permits). The Exchange discriminatory to allocate the respective

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percentages of each expense category margin for all of 2020 was access to the Exchange is offered on described above towards the total cost to approximately 55%; NYSE American terms that are not unfairly the Exchange of operating and LLC’s (‘‘Amex’’) operating profit margin discriminatory, as well as to ensure supporting the network, including for all of 2020 was approximately 59%; sufficient capacity and headroom in the providing the access services associated Cboe’s operating profit margin for all of System. with the Proposed Access Fees because 2020 was approximately 74%; and There is also no regulatory the Exchange performed a line-by-line BZX’s operating profit margin for all of requirement that any market participant item analysis of all the expenses of the 2020 was approximately 52%. access any one options exchange, that Exchange, and has determined the The Exchange further believes its each Market Maker access the Exchange expenses that directly relate to proposed fees are reasonable, equitably utilizing more than the two free Limited providing access to the Exchange. allocated and not unfairly Service MEI Ports that the Exchange Further, the Exchange notes that, discriminatory because the Exchange provides, access the Exchange in a without the specific third-party and believes that it benefits overall particular capacity, or trade any internal items listed above, the competition in the marketplace to allow particular product offered on the Exchange would not be able to provide relatively new entrants like the Exchange. Moreover, membership is not the access services associated with the Exchange and its affiliates, MIAX Pearl a requirement to participate on the Proposed Access Fees to its Members and MIAX, to propose fees that may Exchange. A market participant may and their customers. Each of these help these new entrants recoup their submit orders to the Exchange via a expense items, including physical substantial investment in building out Sponsored User.24 Indeed, the Exchange hardware, software, employee costly infrastructure. The Exchange and is unaware of any one options exchange compensation and benefits, occupancy its affiliates have historically set their whose membership includes every costs, and the depreciation and fees purposefully low in order to attract registered broker-dealer. Based on a amortization of equipment, have been business and market share. The recent analysis conducted by Cboe, as of identified through a line-by-line item Exchange notes that the concept of a October 21, 2020, only three (3) of the analysis to be integral to providing tiered-pricing structure for ports is not broker-dealers, out of approximately 250 access services. The Proposed Access new or novel.23 broker-dealers, were members of at least Fees are intended to recover the The Exchange notes that it operates in one exchange that lists options for Exchange’s costs of providing access to a highly competitive market in which trading and were members of all 16 its System. Accordingly, the Exchange market participants can readily favor options exchanges.25 Additionally, the believes that the Proposed Access Fees competing venues if they deem fee Cboe Fee Filing found that several are fair and reasonable because they do levels at a particular venue to be broker-dealers were members of only a not result in excessive pricing or supra- excessive. In such an environment, the single exchange that lists options for competitive profit, when comparing the Exchange must continually adjust its trading and that the number of members actual costs to the Exchange versus the fees for services and products, in at each exchange that trades options projected annual revenue from the addition to order flow, to remain varies greatly.26 Proposed Access Fees. competitive with other exchanges. The B. Self-Regulatory Organization’s The Exchange believes the proposed Exchange believes that the proposed Statement on Burden on Competition changes are reasonable, equitably changes reflect this competitive allocated and not unfairly environment. The Exchange does not believe that discriminatory, and do not result in a The Exchange believes the proposal to the proposed rule change will impose ‘‘supra-competitive’’ 21 profit. Of note, move from a flat fee per month to a any burden on competition that is not the Guidance defines ‘‘supra- tiered-pricing structure is reasonable, necessary or appropriate in furtherance competitive profit’’ as profits that equitably allocated and not unfairly of the purposes of the Act. exceed the profits that can be obtained discriminatory because the Exchange With respect to intra-market in a competitive market.22 With the believes the proposed structure would competition, the Exchange does not proposed changes, the Exchange encourage firms to be more economical believe that the proposed rule change anticipates it will have a profit margin and efficient in the number of Limited would place certain market participants of approximately 58% based on the Service MEI Ports they purchase. The at the Exchange at a relative Proposed Access Fees. Based on the Exchange believes this will enable the disadvantage compared to other market 2020 Audited Financial Statements of Exchange to better monitor and provide participants or affect the ability of such competing options exchanges (since the access to the Exchange’s network in market participants to compete. As 2021 Audited Financial Statements will order to ensure that the Exchange meets stated above, the Exchange does not likely not become publicly available its obligations under the Act such that believe its proposed pricing will impose until early July 2022, after the Exchange has submitted this filing), the 23 See Cboe BZX Exchange, Inc. (‘‘BZX’’) Options 24 See Exchange Rule 210. The Sponsored User is Exchange’s profit margin is similar to or Fee Schedule, Options Logical Port Fees, Ports with subject to the fees, if any, of the Sponsoring below the operating profit margins of Bulk Quoting Capabilities (charging $1,500/month Member. The Exchange notes that the Sponsoring Member is not required to publicize, let alone other competing exchanges. For for the 1st and 2nd port, $2,500/month for the 3rd port or more); Cboe Exchange, Inc. (‘‘Cboe’’) Fee justify or file with the Commission its fees, and as example, Nasdaq ISE, LLC’s (‘‘ISE’’) Schedule, Logical Connectivity Fees (charging such could charge the Sponsored User any fees it operating profit margin for all of 2020 $750/month per port for BOE/FIX Logical Ports 1 deems appropriate, even if such fees would was approximately 85%; Nasdaq PHLX to 5 and $800/month per port for BOE/FIX Logical otherwise be considered supra-competitive, or otherwise potentially unreasonable or LLC’s (‘‘PHLX’’) operating profit margin Ports greater than 5; charging $1,500/month per port for BOE Bulk Logical Ports 1 to 5, $2,500/ uncompetitive. for all of 2020 was approximately 49%; month per port for BOE Bulk Logical Ports 6 to 30, 25 See Securities Exchange Act Release No. 90333 Nasdaq’s operating profit margin for all and $3,000/month per port for BOE Bulk Logical (November 4, 2020), 85 FR 71666 (November 10, of 2020 was approximately 62%; NYSE Ports greater than 30); The Nasdaq Stock Market 2020) (SR–CBOE–2020–105) (the ‘‘Cboe Fee Arca, Inc.’s (‘‘Arca’’) operating profit LLC (‘‘Nasdaq’’), Options 7, Pricing Schedule, Filing’’). The Cboe Fee Filing cited to the October Section 3 Nasdaq Options Market—Ports and Other 2020 Active Broker Dealer Report, provided by the Services (charging $1,500/month per port for first Commission’s Office of Managing Executive, on 21 See supra note 13. 5 ports, $1,000/month per port for the next 15 ports, October 8, 2020. 22 See id. and $500/month per port for all ports over 20). 26 Id.

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a barrier to entry to smaller participants C. Self-Regulatory Organization’s proposed rule change between the and notes that the proposed pricing Statement on Comments on the Commission and any person, other than structure for is associated with relative Proposed Rule Change Received From those that may be withheld from the usage of the various market participants. Members, Participants, or Others public in accordance with the Firms that are primarily order routers Written comments were neither provisions of 5 U.S.C. 552, will be seeking best-execution do not utilize solicited nor received. available for website viewing and Limited Service MEI Ports on MIAX printing in the Commission’s Public III. Date of Effectiveness of the Emerald and therefore will not pay the Reference Room, 100 F Street NE, Proposed Rule Change and Timing for fees associated with the tiered-pricing Washington, DC 20549, on official Commission Action business days between the hours of structure. Rather, the fees described in 10:00 a.m. and 3:00 p.m. Copies of the the proposed tiered-pricing structure The foregoing rule change has become filing also will be available for will only be allocated to market making effective pursuant to Section 27 inspection and copying at the principal firms that engage in advanced trading 19(b)(3)(A)(ii) of the Act, and Rule 19b–4(f)(2) 28 thereunder. At any time office of the Exchange. All comments strategies and typically request multiple within 60 days of the filing of the received will be posted without change. Limited Service MEI Ports. Accordingly, proposed rule change, the Commission Persons submitting comments are the firms engaged in market making summarily may temporarily suspend cautioned that we do not redact or edit business generate higher costs by such rule change if it appears to the personal identifying information from utilizing more of the Exchange’s Commission that such action is comment submissions. You should resources. The market making firms that necessary or appropriate in the public submit only information that you wish purchase higher amounts of Limited interest, for the protection of investors, to make available publicly. All Service MEI Ports tend to have specific or otherwise in furtherance of the submissions should refer to File business oriented market making and purposes of the Act. If the Commission Number SR–EMERALD–2021–25 and taking strategies, as opposed to firms takes such action, the Commission shall should be submitted on or before simply engaging in best-execution order institute proceedings to determine September 9, 2021. routing business. Additionally, the use whether the proposed rule should be For the Commission, by the Division of of such additional Limited Service MEI approved or disapproved. Trading and Markets, pursuant to delegated authority.29 Ports is entirely voluntary. IV. Solicitation of Comments J. Matthew DeLesDernier, The Exchange also does not believe Interested persons are invited to that the proposed rule change will result Assistant Secretary. submit written data, views, and [FR Doc. 2021–17759 Filed 8–18–21; 8:45 am] in any burden on inter-market arguments concerning the foregoing, BILLING CODE 8011–01–P competition that is not necessary or including whether the proposed rule appropriate in furtherance of the change is consistent with the Act. purposes of the Act. As discussed Comments may be submitted by any of SECURITIES AND EXCHANGE above, options market participants are the following methods: COMMISSION not forced to access all options Electronic Comments exchanges. The Exchange operates in a [Release No. 34–92667; File No. SR–NYSE– highly competitive environment, and as • Use the Commission’s internet 2020–98] comment form (http://www.sec.gov/ discussed above, its ability to price Self-Regulatory Organizations; New rules/sro.shtml); or access and ports is constrained by • York Stock Exchange LLC; Order competition among exchanges and third Send an email to rule-comments@ sec.gov. Please include File Number SR– Granting Approval of Proposed Rule parties. There are other options markets EMERALD–2021–25 on the subject line. Change, as Modified by Amendment of which market participants may access Nos. 2 and 3, To Amend Its Rules To in order to trade options. There is also Paper Comments Prohibit Member Organizations From a possible range of alternative strategies, • Send paper comments in triplicate Seeking Reimbursement, in Certain including routing to the exchange to Secretary, Securities and Exchange Circumstances, From Issuers for through another participant or market Commission, 100 F Street NE, Forwarding Proxy and Other Materials center or accessing the Exchange Washington, DC 20549–1090. to Beneficial Owners indirectly. For example, there are 15 All submissions should refer to File August 13, 2021. other U.S. options exchanges, which the Number SR–EMERALD–2021–25. This Exchange must consider in its pricing file number should be included on the I. Introduction discipline in order to compete for subject line if email is used. To help the On November 30, 2020, New York market participants. In this competitive Commission process and review your Stock Exchange LLC (‘‘NYSE’’ or environment, market participants are comments more efficiently, please use ‘‘Exchange’’) filed with the Securities free to choose which competing only one method. The Commission will and Exchange Commission (‘‘SEC’’ or exchange to use to satisfy their business post all comments on the Commission’s ‘‘Commission’’), pursuant to Section needs. As a result, the Exchange internet website (http://www.sec.gov/ 19(b)(1) of the Securities Exchange Act believes this proposed rule change rules/sro.shtml). Copies of the of 1934 (‘‘Act’’) 1 and Rule 19b–4 permits fair competition among national submission, all subsequent thereunder,2 a proposed rule change to securities exchanges. Accordingly, the amendments, all written statements amend its rules to prohibit member Exchange does not believe its proposed with respect to the proposed rule organizations from seeking fee changes impose any burden on change that are filed with the reimbursement, in certain competition that is not necessary or Commission, and all written circumstances, from issuers for appropriate in furtherance of the communications relating to the 29 purposes of the Act. 17 CFR 200.30–3(a)(12). 27 15 U.S.C. 78s(b)(3)(A)(ii). 1 15 U.S.C. 78s(b)(1). 28 17 CFR 240.19b–4(f)(2). 2 17 CFR 240.19b–4.

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forwarding proxy and other materials to approves the proposed rule change, as member, no fee shall be imposed for a beneficial owners. The proposed rule modified by Amendment Nos. 2 and 3. nominee account that contains only change was published for comment in shares or units of the securities involved II. Description of the Proposal, as the Federal Register on December 18, that were transferred to the account Modified by Amendment Nos. 2 and 3 2020.3 On January 29, 2021, pursuant to holder by the member organization at no Section 19(b)(2) of the Act,4 the NYSE Rules (‘‘Rule’’) 451 and 465 cost.16 Commission designated a longer period require NYSE member organizations According to the Exchange, the within which to either approve the that hold securities for beneficial proposed rule is meant to address a proposed rule change, disapprove the owners in street name to solicit proxies recent practice in which retail brokers proposed rule change, or institute from, and deliver proxy and other provide customers, without charge, a proceedings to determine whether to materials to, beneficial owners on behalf small number of shares with a very disapprove the proposed rule change.5 of issuers.11 For this service, issuers small dollar value as a commercial On March 17, 2021, the Commission reimburse NYSE member organizations incentive (for example, upon opening a instituted proceedings under Section for out-of-pocket, reasonable clerical, new account or referring a new 19(b)(2)(B) of the Act 6 to determine postage, and other expenses incurred for customer to the broker).17 The Exchange 12 whether to approve or disapprove the a particular distribution. This stated that Rule 451 does not proposed rule change.7 On April 6, reimbursement structure stems from distinguish between these beneficial 13 2021, the Exchange filed Amendment Rules 14b–1 and 14b–2 under the Act, owners and beneficial owners that have No. 1 to the proposed rule change; the which impose obligations on issuers paid for their shares, so brokers are Exchange withdrew that amendment on and nominees to ensure that beneficial required to solicit proxies from these April 16, 2021. On April 16, 2021, the owners receive proxy materials. These accounts and are entitled to Exchange filed Amendment No. 2 to the rules require issuers to send their proxy reimbursement of their expenses under proposed rule change, which materials to broker-dealers or banks that NYSE and other self-regulatory superseded the proposed rule change as hold securities in street name, for organization rules.18 The Exchange originally filed. The proposed rule forwarding to beneficial owners, and to further stated that, in certain cases, the change, as modified by Amendment No. pay nominees for reasonable expenses, issuer can experience a significant 2, was published for comment in the both direct and indirect, incurred in increase in its distribution 8 providing proxy information to reimbursement expenses solely due to Federal Register on April 29, 2021. On 14 June 11, 2021, the Commission beneficial owners. The Commission’s its shares being included in these broker rules do not specify the fees that 19 designated a longer period for promotional schemes. nominees can charge issuers for proxy Commission action on proceedings to The Exchange believes that it would distribution; rather, they state that determine whether to approve or be more appropriate for the broker to issuers must reimburse the nominees for disapprove the proposed rule change.9 bear the proxy distribution costs in ‘‘reasonable expenses’’ incurred.15 20 On June 22, 2021, the Exchange filed these circumstances. According to the The Exchange has proposed to adopt Exchange, while the distribution of partial Amendment No. 3 to the Rule 451A, pursuant to which, proposed rule change.10 This order shares in these broker promotions may notwithstanding the applicable result in a significant increase in the provisions of Rules 451 or 465 or what 3 See Securities Exchange Act Release No. 90653 number of beneficial owners of an (December 14, 2020), 85 FR 82539 (December 18, may be permitted by the rules of any issuer’s stock, the generally very small 2020) (‘‘Original Notice’’). Comments received on other national securities exchange or size of each of these positions means the proposal are available on the Commission’s national securities association of which that they usually represent a very small website at: https://www.sec.gov/comments/sr-nyse- a member organization is also a 2020-98/srnyse202098.htm. percentage of the voting power.21 As 4 15 U.S.C. 78s(b)(2). such, according to the Exchange, the is available on the Commission’s website at: https:// 5 See Securities Exchange Act Release No. 91011 www.sec.gov/comments/sr-nyse-2020-98/ costs the issuer incurs in reimbursing (January 29, 2021), 86 FR 8246 (February 4, 2021). srnyse202098-8944033-245707.pdf. the broker for distributing proxies to 6 15 U.S.C. 78s(b)(2)(B). 11 See Rules 451 and 465; Amendment No. 2, these accounts is disproportionate to the 7 See Securities Exchange Act Release No. 91343 supra note 8, 86 FR at 22726. The ownership of (March 17, 2021), 86 FR 15536 (March 23, 2021) shares in street name means that a shareholder, or 16 See proposed Rule 451A. None of the fees in (‘‘Order Instituting Proceedings’’). ‘‘beneficial owner,’’ has purchased shares through the schedule in the Supplementary Material .90 to 8 See Securities Exchange Act Release No. 91663 a broker-dealer or bank, also known as a (April 23, 2021), 86 FR 22725 (April 29, 2021) ‘‘nominee.’’ In contrast to direct ownership, where Rule 451 would be imposable on issuers in these (‘‘Amendment No. 2’’). shares are directly registered in the name of the circumstances, but issuers would still be responsible for reimbursing member organizations 9 See Securities Exchange Act Release No. 92155 shareholder, shares held in street name are for any actual postage costs, envelope costs, and (June 11, 2021), 86 FR 32302 (June 17, 2021). registered in the name of the nominee, or in the communication expenses (excluding overhead) 10 In Amendment No. 3, the Exchange stated that nominee name of a depository, such as the Depository Trust Company. See Securities incurred in receiving voting returns, which is proposed Rule 451A, in specifically stating that no consistent with what occurs currently in other ‘‘fee’’ shall be imposed, is meant to apply to the Exchange Act Release No. 70720 (October 18, 2013), 78 FR 63530, 63531 n.14 (October 24, 2013) (order contexts where no fees are imposed, i.e., a managed charges that are specified in Rule 451, and would account that contains five or fewer shares or units not limit a member organization’s eligibility to approving SR–NYSE–2013–07) (‘‘2013 Approval Order’’). of the security involved or an account that contains receive reimbursement for other expenses that are only a fractional share. See Amendment No. 3, not covered by the specified charges, namely (i) 12 See Rules 451 and 465; 2013 Approval Order, supra note 11, 78 FR at 63531. supra note 10. Accordingly, references herein to the actual postage costs (including return postage at the distribution costs or expenses for which member 13 17 CFR 240.14b–1; 17 CFR 240.14b–2. lowest available rate); (ii) the actual cost of organizations are prohibited from seeking 14 envelopes (provided they are not furnished by the See 17 CFR 240.14b–1 and 14b–2; see also 2013 reimbursement from issuers under the proposal are person soliciting proxies); and (iii) any actual Approval Order, supra note 11, 78 FR at 63531. meant to refer to the charges specified in communication expenses (excluding overhead) 15 See 17 CFR 240.14b–1 and 14b–2; see also 2013 Supplementary Material .90 to Rule 451. incurred in receiving voting returns either Approval Order, supra note 11, 78 FR at 63531. 17 See Amendment No. 2, supra note 8, 86 FR at telephonically or electronically. The Exchange Currently, the Supplementary Material to Rule 451, 22726. further stated that this approach is consistent with which is cross-referenced by the Supplementary 18 the application of existing fee exclusions under Material to Rule 465, establishes maximum rates at See id.; see also, e.g., FINRA Rule 2251. 19 Rule 451. Because Amendment No. 3 does not which a NYSE member organization may be See Amendment No. 2, supra note 8, 86 FR at materially alter the substance of the proposed rule reimbursed for expenses incurred in connection 22726. change, Amendment No. 3 is not subject to notice with distributing proxy and other materials to 20 See id. and comment. The full text of Amendment No. 3 beneficial owners. 21 See id.

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maximum potential vote such shares using its facilities; and with Section of tracking shares held by a particular represent.22 The Exchange stated that, 6(b)(5) of the Act,30 which requires, beneficial owner where the eligibility by contrast, the broker using such a among other things, that the rules of a for reimbursement may change over scheme chooses to engage in it because national securities exchange be time.36 The Exchange addressed these it believes that it will result in a designed to prevent fraudulent and concerns in Amendment No. 2 by commercial benefit to the broker.23 In manipulative acts and practices, to clarifying that it would be impossible addition, the Exchange stated that promote just and equitable principles of for the new broker in these recipients of shares without charge from trade, to remove impediments to and circumstances to track whether the the broker as part of such schemes perfect the mechanism of a free and shares of a specific issuer transferred typically will not be given any choice as open market and a national market into its custody had all been received by to which shares they receive and are system, and, in general, to protect the beneficial owner without charge therefore not making any investment investors and the public interest, and from another broker.37 In addition, decision.24 not be designed to permit unfair according to the Exchange, the new The Exchange stated that proposed discrimination between customers, broker would not have received the Rule 451A would not limit a broker’s issuers, brokers, or dealers. The same commercial benefit as the original right to reimbursement for distributions Commission also believes that the broker that transferred the shares to any beneficial owner if any part of proposal as modified is consistent with without charge to its customers.38 For that beneficial owner’s position in an Rule 14b–1 under the Act.31 these reasons, the Exchange stated that issuer’s securities was received by any The Commission raised concerns it is impracticable to extend the means other than a transfer without about the proposal in the Order proposed reimbursement prohibition to charge from the broker.25 The Exchange Instituting Proceedings,32 but the the new broker and reasonable to limit also stated that proposed Rule 451A Commission believes that the Exchange its application to the original broker that would not limit a broker’s right to has amended the proposal adequately to transferred the shares without charge.39 receive reimbursement under Rules 451 address those concerns. Originally, Further, in the Order Instituting and 465 unless that broker itself proposed Rule 451A would have Proceedings, the Commission stated that transferred the issuer’s shares without prohibited an NYSE member the Exchange had not explained how charge into the account of the beneficial organization from imposing distribution the proposal would be consistent with 40 owner.26 The Exchange further stated fees on an issuer in cases where the Rule 14b–1 under the Act in light of that Rules 451 and 465 would continue member provided the shares or units of the fact that a broker-dealer would be to apply to all distributions, so the the securities held in the beneficial required to distribute proxies or other broker would continue to be fully owner’s account at no cost or at a price materials but be precluded from seeking obligated to solicit votes from, and make ‘‘substantially less than the market reimbursement of its expenses in the 41 other distributions on behalf of issuers price.’’ 33 In the Order Instituting applicable circumstances. In to, all beneficial owners Proceedings, the Commission stated that Amendment No. 2, the Exchange stated notwithstanding the limitations on the Exchange did not explain how it that any broker that is prohibited from reimbursement of expenses imposed by would determine whether a price is charging fees under the proposal would proposed Rule 451A.27 ‘‘substantially less than the market continue to be reimbursed for its price’’ or otherwise provide guidance on aggregate expenses with respect to III. Discussion and Commission proxy distribution, as the prohibition on the meaning of that term.34 In Findings distribution fees would be limited to Amendment No. 2, the Exchange those accounts in which the only shares After careful review, the Commission addressed the Commission’s concern by of the applicable issuer are shares finds that the proposed rule change, as eliminating that term from the proposed received without charge from that modified by Amendment Nos. 2 and 3, rule, resulting in a rule with a more broker.42 The Exchange stated that, as is consistent with the requirements of clearly defined application to nominee such, the effect of the proposal would be the Act and the rules and regulations accounts that contain only shares or 28 to reduce the overall reimbursement thereunder. In particular, the units of the securities involved that received by that broker for a Commission finds that the proposed were transferred to the account holder distribution, but not to eliminate that rule change, as modified by Amendment by the member at no cost. reimbursement.43 Nos. 2 and 3, is consistent with Section The Commission also stated in the 6(b)(4) of the Act,29 which requires that Commenters broadly supported the Order Instituting Proceedings that the proposal.44 One commenter stated that an exchange have rules that provide for initial proposal did not explain why it the equitable allocation of reasonable is consistent with the Act for the dues, fees, and other charges among its 36 See id., 86 FR at 15538. proposed reimbursement prohibition 37 members, issuers, and other persons See Amendment No. 2, supra note 8, 86 FR at not to apply if a customer transferred its 22726. 38 See id., 86 FR at 22726–27. 22 account to a new broker or held any See id. 39 See id., 86 FR at 22727. 23 shares of the issuer in its account other See id. 40 17 CFR 240.14b–1. 24 than those received through a below- See id., 86 FR at 22727. 41 See Order Instituting Proceedings, supra note 7, 25 See id., 86 FR at 22726. market price transfer from the member 86 FR at 15538. 35 26 See id. Specifically, the Exchange stated that if seeking reimbursement. Additionally, 42 See Amendment No. 2, supra note 8, 86 FR at a beneficial owner transferred shares received in the Commission stated that the initial 22727. this manner into an account at another broker, Rule proposal did not address the feasibility 43 See id. 451A would not preclude that other broker from 44 See letters from: Paul Conn, President, Global claiming reimbursement under Rules 451 and 465. 30 15 U.S.C. 78f(b)(5). Capital Markets, Computershare, dated January 11, 27 See id. 2021 (‘‘First Computershare Letter’’), at 2–3; Niels 31 17 CFR 240.14b–1. 28 In approving this proposed rule change, as Holch, Executive Director, Shareholder 32 modified by Amendment Nos. 2 and 3, the See Order Instituting Proceedings, supra note 7. Communications Coalition, dated January 20, 2021 Commission has considered the proposed rule’s 33 See Original Notice, supra note 3. (‘‘Coalition Letter’’), at 5 n.14; Paul Conn, President, impact on efficiency, competition, and capital 34 See Order Instituting Proceedings, supra note 7, Global Capital Markets, Computershare, dated April formation. See 15 U.S.C. 78c(f). 86 FR at 15537. 14, 2021 (‘‘Second Computershare Letter’’), at 4; 29 15 U.S.C. 78f(b)(4). 35 See id., 86 FR at 15537–38. Continued

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the recent broker practice of gifting Another commenter stated that the does not preclude the broker from small amounts of securities to retail promotions the proposed rule change is receiving assurance of reimbursement of brokerage clients as a promotional designed to address provide commercial its ‘‘reasonable expenses,’’ both direct measure has caused significant benefits to broker-dealers without and indirect, consistent with Rule 14b– increases in proxy costs for some providing any parallel benefits to public 1. In previously approving, in 2013, an issuers, and expressed the view that the companies.48 Exchange proposal that, among other proposal would alleviate much of the The Commission believes that the things, eliminated fees for distributing cost impact to issuers from this broker proposal as modified is consistent with issuer materials to managed accounts practice, particularly for accounts Sections 6(b)(4) and 6(b)(5) of the Act, with five or fewer shares of the issuer’s defaulted to e-delivery.45 Two as well as Rule 14b–1. The proposed securities, the Commission commenters are issuers that stated that rule would appropriately reallocate acknowledged that any general rule they experienced dramatic increases in from an issuer to a broker the fee-related setting forth an industry-wide fee proxy distribution costs for the 2020 expense of distributing proxy and other schedule for the reimbursement of proxy season, which they both materials to beneficial owners in the reasonable broker-dealer expenses attributed to the inclusion of their limited circumstance where the necessarily will not precisely reimburse shares in a retail broker’s promotional beneficial owner’s account contains the actual expenses incurred by 46 free share program. Both commenters only shares or units of the issuer’s individual firms.52 Here, a broker with asserted that the issuer should not bear securities that were transferred to the accounts covered by the proposal may the proxy distribution costs that arise beneficial owner by the broker at no not receive precise reimbursement for 49 due to their shares being included in cost. This circumstance would appear its expenses incurred for a distribution 47 such a broker promotional program. to arise typically due to a broker pertaining to the issuer whose shares it promotional program that, as stated by gave away at no cost, but the broker Kim Warnica, Senior Vice President, General the Exchange, the broker chooses to would continue to be reasonably Counsel and Secretary, Marathon Oil Corporation, engage in because it believes it will dated April 27, 2021 (‘‘Marathon Letter’’); Patrick J. reimbursed for its expenses, both direct McEnany, Chairman and CEO, Catalyst result in a commercial benefit to the and indirect, in the aggregate.53 The Pharmaceuticals, Inc., dated June 9, 2021 (‘‘Catalyst broker and, as noted by one proposal would not eliminate a broker’s Letter’’). An additional commenter appears to 50 commenter, provides commercial ability to charge reimbursement fees for suggest that member organizations should be benefits to the broker without providing reimbursed in certain circumstances that are not 51 distributing an issuer’s materials to covered by the proposal or the rules the proposal any parallel benefits to the issuer. The accounts that hold any shares or units is amending. See letter from David, dated June 14, Commission therefore believes that the of the issuer’s securities that the 2021. proposal is reasonably designed to 45 beneficial owner purchased or acquired See First Computershare Letter at 2–3. This result in a more equitable and not commenter also stated that while it understood that in any way other than from the broker unfairly discriminatory allocation of the the accounts that receive such ‘‘gifted’’ securities at no cost. Nor would the proposal affect costs of the distribution of proxy and generally are set for electronic communications, as the broker’s ability to charge a technical matter, if a street-name holder of gifted other materials, consistent with Sections reimbursement fees for distributing securities receives hardcopy proxy communications 6(b)(4) and 6(b)(5) of the Act. rather than electronic delivery, the issuer will still The Commission also believes that the materials on behalf of issuers whose bear increased costs from printing the materials to shares it did not give away at no cost. be disseminated by the broker. See id. Even if an proposal is consistent with the Section issuer bears increased printing costs due to its 6(b)(5) goal of protecting investors and Any shortfall in precise reimbursement shares being included in a broker promotional the public interest, and is consistent of expenses experienced by the broker program, as discussed below, the Commission with Rule 14b–1, because the cost because of the proposal would be believes that the proposal is consistent with the Act confined to fee-related expenses because, among other things, the proposed rule’s reallocation effectuated by the proposal prohibition against imposing fees on issuers would would not diminish brokers’ obligations attributable to distributing an issuer’s result in a more equitable and not unfairly to distribute issuer materials to accounts materials to beneficial owners that discriminatory reallocation to brokers of significant receive those materials solely due to the costs typically associated with the distribution of in which securities are held in street proxies and other materials in the circumstances name, including accounts covered by broker’s own promotional efforts. addressed by the proposal. the proposal, i.e., that contain only Based on the foregoing, the 46 See Marathon Letter at 1–2; Catalyst Letter at shares or units of the securities involved Commission finds that the proposed 2. One of these commenters stated that its 2020 proxy distribution bill was 2,402 percent higher that were transferred to the account rule change, as amended, is consistent than the 2019 bill, representing distribution to holder by the member organization at no with the Act and the rules and 3,051 percent more stockholders in 2020 than in cost. Moreover, this cost reallocation regulations thereunder. 2019. See Marathon Letter at 1. The commenter noted that as of its 2020 stockholder meeting date, 48 80 percent of the stockholders that held the See Coalition Letter at 5 n.14. 52 See Rule 451, Supplementary Material .90; commenter’s shares through accounts at the 49 See supra note 25 and accompanying text. 2013 Approval Order, supra note 11, 78 FR at 63546 particular retail broker held five shares or less. See 50 See Coalition Letter at 5 n.14. See also Catalyst (stating that this rule with respect to managed id. The commenter believes that, for the vast Letter at 2. accounts was designed to provide reasonable majority of the accounts holding fewer than five 51 One commenter stated that, if, after receiving reimbursement of the overall expenses of broker- shares, the shares were chosen by that retail broker, gifted shares, an investor subsequently chooses to dealers in the aggregate, and the extent of not the beneficial owners. See id. at 2. Similarly, increase its share ownership and makes an reimbursement of any individual firm would vary the other issuer commenter stated that the number investment decision to buy additional shares, it depending on the specifics of its account of holders of its common shares who hold their would be appropriate to shift the cost of proxy population). One commenter analogized the shares through that retail broker increased by more distribution back to the issuer. See Marathon Letter scenario presented by this proposal to the than 2,057 percent from 2019 to 2020, and its proxy at 2. As stated above, the Exchange’s proposal Exchange’s prior proposal to eliminate fees for distribution bill from the distribution platform that would affect accounts that only include shares that distributing issuer materials to managed accounts services that retail broker grew 1,779 percent from were transferred to the account holder by the broker with five or fewer shares of the issuer’s securities. 2019 to 2020 (from approximately $12,500 to at no cost, and accordingly, if a street name investor See Marathon Letter at 2. approximately $234,000). See Catalyst Letter at 1– were to be induced to purchase or otherwise 53 As clarified in Amendment No. 3, supra note 2. The commenter believes the increase in both acquire any additional shares of the issuer as a 10, issuers must reimburse brokers for any non-fee- shareholders and costs is directly attributable to the result of being gifted shares by a broker, the issuer related expenses—i.e., any actual, out-of-pocket retail broker and its promotional activities. See id. would then bear the proxy distribution costs for postage, envelope, and communication expenses at 2. that investor’s account. See supra note 25 and incurred in receiving voting returns— 47 See Marathon Letter at 2; Catalyst Letter at 2. accompanying text. notwithstanding the proposed rule.

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IV. Conclusion II. Self-Regulatory Organization’s matching engine 8 to which each Market Statement of the Purpose of, and Maker connects. Market Makers may It is therefore ordered, pursuant to Statutory Basis for, the Proposed Rule also request additional Limited Service Section 19(b)(2) of the Act,54 that the Change MEI Ports for each matching engine to proposed rule change (SR–NYSE–2020– In its filing with the Commission, the which they connect. The Full Service 98), as amended by Amendment Nos. 2 MEI Ports, Limited Service MEI Ports and 3, be and hereby is approved. Exchange included statements concerning the purpose of and basis for and the additional Limited Service MEI For the Commission, by the Division of the proposed rule change and discussed Ports all include access to the Trading and Markets, pursuant to delegated any comments it received on the Exchange’s primary and secondary data authority.55 proposed rule change. The text of these centers and its disaster recovery center. J. Matthew DeLesDernier, statements may be examined at the Market Makers may request additional Limited Service MEI Ports for which Assistant Secretary. places specified in Item IV below. The Exchange has prepared summaries, set they are assessed a $100 monthly fee for [FR Doc. 2021–17760 Filed 8–18–21; 8:45 am] each additional Limited Service MEI BILLING CODE 8011–01–P forth in sections A, B, and C below, of the most significant aspects of such Port for each matching engine. This fee 9 statements. has been unchanged since 2016. The Exchange now proposes to move SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s from a flat monthly fee per additional COMMISSION Statement of the Purpose of, and Limited Service MEI Port for each Statutory Basis for, the Proposed Rule matching engine to a tiered-pricing [Release No. 34–92661; File No. SR–MIAX– Change structure per additional Limited Service 2021–37] 1. Purpose MEI Ports for each matching engine Self-Regulatory Organizations; Miami The Exchange proposes to amend the under which the monthly fee would International Securities Exchange LLC; Fee Schedule to adopt a tiered-pricing vary depending on the number of Notice of Filing and Immediate structure for additional Limited Service additional Limited Service MEI Ports Effectiveness of a Proposed Rule MIAX Express Interface (‘‘MEI’’) Ports 3 the Market Maker elects to purchase. Change To Amend Its Fee Schedule To available to Market Makers.4 The Specifically, the Exchange will continue Adopt a Tiered-Pricing Structure for Exchange believes a tiered-pricing to provide the first and second Additional Limited Service MIAX structure will encourage Market Makers additional Limited Service MEI Ports for Express Interface Ports to be more efficient and economical each matching engine free of charge, as when determining how to connect to the described above, per the initial August 13, 2021. Exchange. This should also enable the allocation of Limited Service MEI Ports that Market Makers receive. Pursuant to Section 19(b)(1) of the Exchange to better monitor and provide access to the Exchange’s network to Specifically, (i) the third and fourth Securities Exchange Act of 1934 additional Limited Service MEI Ports for (‘‘Act’’),1 and Rule 19b–4 thereunder,2 ensure sufficient capacity and headroom in the System.5 each matching engine will increase from notice is hereby given that on August 2, the current flat monthly fee of $100 to 2021, Miami International Securities Additional Limited Service MEI Port $150 per port; (ii) the fifth and sixth Exchange LLC (‘‘MIAX’’ or ‘‘Exchange’’) Tiered-Pricing Structure additional Limited Service MEI Ports for filed with the Securities and Exchange The Exchange proposes to amend the engine matching engine will increase Commission (‘‘Commission’’) a fees for additional Limited Service MEI from the current flat monthly fee of proposed rule change as described in Ports. Currently, the Exchange allocates $100 to $200 per port; and (iii) the Items I, II, and III below, which Items two (2) Full Service MEI Ports 6 and two seventh additional Limited Service MEI have been prepared by the Exchange. (2) Limited Service MEI Ports 7 per Port, and each Limited Service MEI Port The Commission is publishing this for each matching engine purchased notice to solicit comments on the 3 MIAX Express Interface is a connection to MIAX thereafter, will increase from the current proposed rule change from interested systems that enables Market Makers to submit monthly flat fee of $100 to $250 per port persons. simple and complex electronic quotes to MIAX. See (collectively, the ‘‘Proposed Access Fee Schedule, note 26. Fees’’). I. Self-Regulatory Organization’s 4 The term ‘‘Market Makers’’ refers to Lead Market Statement of the Terms of Substance of Makers (‘‘LMMs’’), Primary Lead Market Makers 2. Statutory Basis the Proposed Rule Change (‘‘PLMMs’’), and Registered Market Makers (‘‘RMMs’’) collectively. See Exchange Rule 100. The Exchange believes that its The Exchange is filing a proposal to 5 The term ‘‘System’’ means the automated trading system used by the Exchange for the trading proposal to amend its Fee Schedule is amend the MIAX Options Fee Schedule of securities. See Exchange Rule 100. (the ‘‘Fee Schedule’’) to amend certain 6 Full Service MEI Ports provide Market Makers 8 A ‘‘matching engine’’ is a part of the MIAX port fees. with the ability to send Market Maker quotes, electronic system that processes options quotes and eQuotes, and quote purge messages to the MIAX trades on a symbol-by-symbol basis. Some matching The text of the proposed rule change System. Full Service MEI Ports are also capable of engines will process option classes with multiple is available on the Exchange’s website at receiving administrative information. Market root symbols, and other matching engines will be http://www.miaxoptions.com/rule- Makers are limited to two Full Service MEI Ports dedicated to one single option root symbol (for per matching engine. See Fee Schedule, Section example, options on SPY will be processed by one filings, at MIAX’s principal office, and 5)d)ii), note 27. single matching engine that is dedicated only to at the Commission’s Public Reference 7 Limited Service MEI Ports provide Market SPY). A particular root symbol may only be Room. Makers with the ability to send eQuotes and quote assigned to a single designated matching engine. A purge messages only, but not Market Maker Quotes, particular root symbol may not be assigned to to the MIAX System. Limited Service MEI Ports are multiple matching engines. See Fee Schedule, 54 15 U.S.C. 78s(b)(2). also capable of receiving administrative Section 5)d)ii), note 29. 55 17 CFR 200.30–3(a)(12). information. Market Makers initially receive two 9 See Securities Exchange Act Release No. 79666 1 15 U.S.C. 78s(b)(1). Limited Service MEI Ports per matching engine. See (December 22, 2016), 81 FR 96133 (December 29, 2 17 CFR 240.19b–4. Fee Schedule, Section 5)d)ii), note 28. 2016) (SR–MIAX–2016–47).

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consistent with Section 6(b) of the Act 10 taking strategies, as opposed to firms In order to determine the Exchange’s in general, and furthers the objectives of simply engaging in best-execution order projected revenues associated with the Section 6(b)(4) of the Act 11 in routing business. The use of such Proposed Access Fees, the Exchange particular, in that it provides for the additional Limited Service MEI Ports is analyzed the number of Market Makers equitable allocation of reasonable dues, entirely voluntary. currently utilizing Limited Service MEI fees and other charges among Exchange The Exchange believes that Ports, and, utilizing a recent monthly Members and issuers and other persons exchanges, in setting fees of all types, billing cycle representative of 2021 using any facility or system which the should meet very high standards of monthly revenue, extrapolated Exchange operates or controls. The transparency to demonstrate why each annualized revenue on a going-forward Exchange also believes the proposal new fee or fee increase meets the basis. The Exchange does not believe it furthers the objectives of Section 6(b)(5) requirements of the Act that fees be is appropriate to factor into its analysis of the Act 12 in that it is designed to reasonable, equitably allocated, not future revenue growth or decline into its promote just and equitable principles of unfairly discriminatory, and not create projections for purposes of these trade, to remove impediments to and an undue burden on competition among calculations, given the uncertainty of perfect the mechanism of a free and market participants. The Exchange such projections due to the continually open market and a national market believes this high standard is especially changing access needs of market system, and, in general to protect important when an exchange imposes participants, discounts that can be investors and the public interest and is various access fees for market achieved due to lower trading volume not designed to permit unfair participants to access an exchange’s and vice versa, market participant discrimination between customers, marketplace. The Exchange deems port consolidation, etc. Additionally, the issuers, brokers and dealers. fees to be access fees. It records these Exchange similarly does not factor into The Exchange notes that it operates in fees as part of its ‘‘Access Fees’’ revenue its analysis future cost growth or a highly competitive market in which in its financial statements. The decline. The Exchange is presenting its market participants can readily favor Exchange believes that it is important to revenue and expense associated with competing venues if they deem fee demonstrate that these fees are based on the Proposed Access Fees in this filing levels at a particular venue to be its costs and reasonable business needs. in a manner that is consistent with how excessive. In such an environment, the The Exchange believes the Proposed the Exchange presents its revenue and Exchange must continually adjust its Access Fees will allow the Exchange to expense in its Audited Unconsolidated fees for services and products, in offset expense the Exchange has and Financial Statements. The Exchange’s addition to order flow, to remain will incur, and that the Exchange is most recent Audited Unconsolidated competitive with other exchanges. The providing sufficient transparency (as Financial Statement is for 2020. Exchange believes that the proposed described below) into how the Exchange However, since the revenue and changes reflect this competitive determined to charge such fees. expense associated with the Proposed environment. Accordingly, the Exchange is providing Access Fees were not in place in 2020 The Exchange believes the proposal to an analysis of its revenues, costs, and or for the first seven months of 2021, the move from a flat fee per month to a profitability associated with the Exchange believes its 2020 Audited tiered-pricing structure is reasonable, Proposed Access Fees. This analysis Unconsolidated Financial Statement is equitably allocated and not unfairly includes information regarding its not useful for analyzing the discriminatory because the Exchange methodology for determining the costs reasonableness of the total annual believes the proposed structure would and revenues associated with the revenue and costs associated with the encourage firms to be more economical Proposed Access Fees. Proposed Access Fees. Accordingly, the and efficient in the number of In order to determine the Exchange’s Exchange believes it is more appropriate additional Limited Service MEI Ports costs to provide the access services to analyze the Proposed Access Fees they purchase. The Exchange believes associated with the Proposed Access utilizing its 2021 revenue and costs, as this will enable the Exchange to better Fees, the Exchange conducted an described herein, which utilize the same monitor and provide access to the extensive cost review in which the presentation methodology as set forth in Exchange’s network to ensure sufficient Exchange analyzed every expense item the Exchange’s previously-issued capacity and headroom in the System. in the Exchange’s general expense Audited Unconsolidated Financial The Exchange notes that the firms that ledger to determine whether each such Statements. Based on this analysis, the are primarily order routers seeking best- expense relates to the Proposed Access Exchange believes that the Proposed execution do not utilize Limited Service Fees, and, if such expense did so relate, Access Fees are fair and reasonable MEI Ports on MIAX. Therefore, the fees what portion (or percentage) of such because they will not result in excessive described in the proposed tiered-pricing expense actually supports the access pricing or supra-competitive profit structure will only be allocated to services. The sum of all such portions when comparing the Exchange’s total market making firms that engage in of expenses represents the total cost of annual expense associated with advanced trading strategies and the Exchange to provide the access providing the services associated with typically request multiple Limited services associated with the Proposed the Proposed Access Fees versus the Service MEI Ports. Accordingly, the Access Fees. For the avoidance of doubt, total projected annual revenue the firms engaged in market making no expense amount was allocated twice. Exchange will collect for providing business generate higher costs by The Exchange is also providing detailed those services. utilizing more of the Exchange’s information regarding the Exchange’s resources. The market making firms that cost allocation methodology—namely, * * * * * purchase higher amounts of Limited information that explains the On March 29, 2019, the Commission Service MEI Ports tend to have specific Exchange’s rationale for determining issued its Order Disapproving Proposed business oriented market making and that it was reasonable to allocate certain Rule Changes to Amend the Fee expenses described in this filing Schedule on the BOX Market LLC 10 15 U.S.C. 78f(b). towards the cost to the Exchange to Options Facility to Establish BOX 11 15 U.S.C. 78f(b)(4). provide the access services associated Connectivity Fees for Participants and 12 15 U.S.C. 78f(b)(5). with the Proposed Access Fees. Non-Participants Who Connect to the

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BOX Network (the ‘‘BOX Order’’).13 On participant to access such exchange. No Exchange and its affiliates provide. May 21, 2019, the Commission issued options market participant is required Further, as the total number Members the Staff Guidance on SRO Rule Filings by rule, regulation, or competitive forces increases, the Exchange and its affiliates Relating to Fees.14 Accordingly, the to be a Member of the Exchange. As may need to increase their data center Exchange believes that the Proposed evidence of the fact that market footprint and consume more power, Access Fees are consistent with the Act participants can and do drop their resulting in increased costs charged by because they (i) are reasonable, access to exchanges based on non- their third-party data center provider. equitably allocated, not unfairly transaction fee pricing, R2G Services Accordingly, the cost to the Exchange discriminatory, and not an undue LLC (‘‘R2G’’) filed a comment letter after and its affiliates to provide access to its burden on competition; (ii) comply with BOX’s proposed rule changes to System for market participants is not the BOX Order and the Guidance; (iii) increase its connectivity fees (SR–BOX– fixed. The Exchange believes the are supported by evidence (including 2018–24, SR–BOX–2018–37, and SR– Proposed Access Fees are reasonable in comprehensive revenue and cost data BOX–2019–04). The R2G Letter stated, order to offset a portion of the costs to and analysis) that they are fair and ‘‘[w]hen BOX instituted a $10,000/ the Exchange associated with providing reasonable because they will not result month price increase for connectivity; access to its network infrastructure. in excessive pricing or supra- we had no choice but to terminate competitive profit; and (iv) utilize a connectivity into them as well as The Exchange only has four primary cost-based justification framework that terminate our market data relationship. sources of revenue: Transaction fees, is substantially similar to a framework The cost benefit analysis just didn’t access fees (which includes the previously used by the Exchange, and make any sense for us at those new Proposed Access Fees), regulatory fees, its affiliates MIAX Pearl and MIAX levels.’’ Similarly, the Exchange’s and market data fees. Accordingly, the Emerald, LLC (‘‘MIAX Emerald’’), to affiliate, MIAX Emerald, noted in a Exchange must cover all of its expenses establish or increase other non- recent filing that once MIAX Emerald from these four primary sources of transaction fees.15 Accordingly, the issued a notice that it was instituting revenue. Exchange believes that the Commission MEI Port fees, among other non- The Exchange believes that the should find that the Proposed Access transaction fees, one MIAX Emerald Proposed Access Fees are fair and Fees are consistent with the Act. Member dropped its access to MIAX reasonable because they will not result 17 * * * * * Emerald as a result of those fees. in excessive pricing or supra- As of July 30, 2021, the Exchange had Accordingly, these examples show that competitive profit, when comparing the a market share of only 6.21% of the U.S. if an exchange sets too high of a fee for total annual expense that the Exchange ports and/or other non-transaction fees, equity options industry for the month of projects to incur in connection with including other access fees, for its July 2021.16 The Exchange is not aware providing these access services versus relevant marketplace, market of any evidence that a market share of the total annual revenue that the approximately 6–7% provides the participants can choose to drop their access to such exchange. Exchange projects to collect in Exchange with anti-competitive pricing connection with services associated power. If the Exchange were to attempt In order to provide more detail and to quantify the Exchange’s costs associated with the Proposed Access Fees. For to establish unreasonable pricing, then 18 with providing access to the Exchange 2021, the total annual expense for no market participant would join or in general, the Exchange notes that there providing the access services associated access the Exchange, and existing are material costs associated with with the Proposed Access Fees is market participants would discontinue providing the infrastructure and projected to be approximately $1.32 all or some of their access services. headcount to fully-support access to the million. The approximately $1.32 Separately, the Exchange is not aware million in projected total annual of any reason why market participants Exchange. The Exchange incurs expense is comprised of the following, could not simply drop their access (or technology expense related to establishing and maintaining all of which are directly related to the not initially access an exchange) if an Information Security services, enhanced access services associated with the exchange were to establish prices for its network monitoring and customer Proposed Access Fees: (1) Third-party non-transaction fees that, in the reporting, as well as Regulation SCI expense, relating to fees paid by the determination of such market mandated processes, associated with its Exchange to third-parties for certain participant, did not make business or network technology. While some of the products and services; and (2) internal economic sense for such market expense is fixed, much of the expense expense, relating to the internal costs of is not fixed, and thus increases as the 13 See Securities Exchange Act Release No. 85459 the Exchange to provide the services (March 29, 2019), 84 FR 13363 (April 4, 2019) (SR– services associated with the Proposed associated with the Proposed Access BOX–2018–24, SR–BOX–2018–37, and SR–BOX– Access Fees increase. For example, new Fees.19 As noted above, the Exchange 2019–04). Members to the Exchange may require believes it is more appropriate to 14 See Staff Guidance on SRO Rule Filings the purchase of additional hardware to analyze the Proposed Access Fees Relating to Fees (May 21, 2019), at https:// support those Members as well as www.sec.gov/tm/staff-guidance-sro-rule-filings-fees utilizing its 2021 revenue and costs, (the ‘‘Guidance’’). enhanced monitoring and reporting of which utilize the same presentation 15 See Securities Exchange Act Release Nos. customer performance that the methodology as set forth in the 90981 (January 25, 2021), 86 FR 7582 (January 29, Exchange’s previously-issued Audited 2021) (SR–PEARL–2021–01) (proposal to increase 17 See Securities Exchange Act Release No. 91460 connectivity fees); 91460 (April 2, 2021), 86 FR (April 2, 2021), 86 FR 18349 (April 8, 2021) (SR– 18349 (SR–EMERALD–2021–11) (proposal to adopt EMERALD–2021–11) (Notice of Filing and 18 The Exchange has not yet finalized its 2021 port fees, increase connectivity fees, and increase Immediate Effectiveness of a Proposed Rule Change year end results. additional limited service ports); 91033 (February 1, To Amend Its Fee Schedule To Adopt Port Fees, 19 The percentage allocations used in this 2021), 86 FR 8455 (February 5, 2021) (SR– Increase Certain Network Connectivity Fees, and proposed rule change may differ from past filings EMERALD–2021–03) (proposal to adopt trading Increase the Number of Additional Limited Service from the Exchange or its affiliates due to, among permit fees). MIAX Emerald Express Interface Ports Available to other things, changes in expenses charged by third- 16 See ‘‘The market at a glance,’’ available at Market Makers) (adopting tiered MEI Port fee parties, adjustments to internal resource allocations, https://www.miaxoptions.com/ (last visited July 30, structure ranging from $5,000 to $20,500 per and different system architecture of the Exchange 2021). month). as compared to its affiliates.

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Unconsolidated Financial Statements.20 which supports connectivity and feeds other service, as supported by its cost The $1.32 million in projected total for the entire U.S. options industry; (4) review. annual expense is directly related to the various other services providers The Exchange believes it is reasonable access services associated with the (including Thompson Reuters, NYSE, to allocate the identified portion of the Proposed Access Fees, and not any Nasdaq, and Internap), which provide Zayo expense because Zayo provides other product or service offered by the content, connectivity services, and the internet, fiber and bandwidth Exchange. It does not include general infrastructure services for critical connections with respect to the costs of operating matching systems and components of options connectivity and network, linking the Exchange with its other trading technology, and no network services; and (5) various other affiliates, MIAX Pearl and MIAX expense amount was allocated twice. hardware and software providers Emerald, as well as the data center and As discussed, the Exchange (including Dell and Cisco, which disaster recovery locations. As such, all conducted an extensive cost review in support the production environment in of the trade data, including the billions which the Exchange analyzed expense which Members connect to the network of messages each day per exchange, flow items in the Exchange’s general expense to trade, receive market data, etc.). For through Zayo’s infrastructure over the ledger (this includes over 150 separate clarity, only a portion of all fees paid to Exchange’s network. Without these and distinct expense items) to such third-parties is included in the services from Zayo, the Exchange would determine whether each such expense third-party expense herein, and no not be able to operate and support the relates to the access services associated expense amount is allocated twice. network and provide the access services with the Proposed Access Fees, and, if Accordingly, the Exchange does not associated with the Proposed Access Fees. The Exchange did not allocate all such expense did so relate, what portion allocate its entire information (or percentage) of such expense actually of the Zayo expense toward the cost of technology and communication costs to supports those services, and thus bears providing the access services associated the access services associated with the a relationship that is, ‘‘in nature and with the Proposed Access Fees, only the Proposed Access Fees. closeness,’’ directly related to those portion which the Exchange identified services. The sum of all such portions The Exchange believes it is reasonable as being specifically mapped to of expenses represents the total cost of to allocate such third-party expense providing the Proposed Access Fees, the Exchange to provide access services described above towards the total cost to approximately 2.64% of the total associated with the Proposed Access the Exchange to provide the access applicable Zayo expense. The Exchange Fees. services associated with the Proposed believes this allocation is reasonable For 2021, total third-party expense, Access Fees. In particular, the Exchange because it represents the Exchange’s relating to fees paid by the Exchange to believes it is reasonable to allocate the actual cost to provide the access third-parties for certain products and identified portion of the Equinix services associated with the Proposed services for the Exchange to be able to expense because Equinix operates the Access Fees, and not any other service, provide the access services associated data centers (primary, secondary, and as supported by its cost review. with the Proposed Access Fees, is disaster recovery) that host the The Exchange believes it is reasonable projected to be $0.16 million. This Exchange’s network infrastructure. This to allocate the identified portions of the includes, but is not limited to, a portion includes, among other things, the SFTI expense and various other service of the fees paid to: (1) Equinix, for data necessary storage space, which providers’ (including Thompson center services, for the primary, continues to expand and increase in Reuters, NYSE, Nasdaq, and Internap) secondary, and disaster recovery cost, power to operate the network expense because those entities provide locations of the Exchange’s trading infrastructure, and cooling apparatuses connectivity and feeds for the entire system infrastructure; (2) Zayo Group to ensure the Exchange’s network U.S. options industry, as well as the Holdings, Inc. (‘‘Zayo’’) for network infrastructure maintains stability. content, connectivity services, and services (fiber and bandwidth products Without these services from Equinix, infrastructure services for critical and services) linking the Exchange’s the Exchange would not be able to components of the network. Without office locations in Princeton, New Jersey operate and support the network and these services from SFTI and various and Miami, Florida, to all data center provide the access services associated other service providers, the Exchange locations; (3) Secure Financial with the Proposed Access Fees to its would not be able to operate and Transaction Infrastructure (‘‘SFTI’’),21 Members and their customers. The support the network and provide access Exchange did not allocate all of the to its Members and their customers. The 20 For example, the Exchange previously noted Equinix expense toward the cost of Exchange did not allocate all of the SFTI that all third-party expense described in its prior fee providing the access services associated and other service providers’ expense filing was contained in the information technology toward the cost of providing the access and communication costs line item under the with the Proposed Access Fees, only section titled ‘‘Operating Expenses Incurred that portion which the Exchange services associated with the Proposed Directly or Allocated From Parent,’’ in the identified as being specifically mapped Access Fees, only the portions which Exchange’s 2019 Form 1 Amendment containing its the Exchange identified as being financial statements for 2018. See Securities to providing the access services associated with the Proposed Access specifically mapped to providing the Exchange Act Release No. 87875 (December 31, access services associated with the 2019), 85 FR 770 (January 7, 2020) (SR–MIAX– Fees, approximately 4.95% of the total 2019–51). Accordingly, the third-party expense applicable Equinix expense. The Proposed Access Fees, approximately described in this filing is attributed to the same line 4.95% of the total applicable SFTI and item for the Exchange’s 2021 Form 1 Amendment, Exchange believes this allocation is reasonable because it represents the other service providers’ expense. The which will be filed in 2022. Exchange believes this allocation is 21 In fact, on October 22, 2019, the Exchange was Exchange’s actual cost to provide the notified by SFTI that it is again raising its fees access services associated with the reasonable because it represents the charged to the Exchange by approximately 11%, Proposed Access Fees, and not any Exchange’s actual cost to provide the without having to show that such fee change access services associated with the complies with the Act by being reasonable, Proposed Access Fees. equitably allocated, and not unfairly required to be rule-filed with the Commission discriminatory. It is unfathomable to the Exchange pursuant to Section 19(b)(1) of the Act and Rule The Exchange believes it is reasonable that, given the critical nature of the infrastructure 19b–4 thereunder. See 15 U.S.C. 78s(b)(1) and 17 to allocate the identified portion of the services provided by SFTI, that its fees are not CFR 240.19b–4, respectively. other hardware and software provider

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expense because this includes costs for Access Fees. In particular, the with the Proposed Access Fees. Without dedicated hardware licenses for Exchange’s employee compensation and this equipment, the Exchange would not switches and servers, as well as benefits expense relating to providing be able to operate the network and dedicated software licenses for security the access services associated with the provide the access services associated monitoring and reporting across the Proposed Access Fees is projected to be with the Proposed Access Fees to its network. Without this hardware and approximately $0.91 million, which is Members and their customers. The software, the Exchange would not be only a portion of the $12.6 million total Exchange did not allocate all of the able to operate and support the network projected expense for employee depreciation and amortization expense and provide access to its Members and compensation and benefits. The toward the cost of providing the access their customers. The Exchange did not Exchange believes it is reasonable to services associated with the Proposed allocate all of the hardware and software allocate the identified portion of such Access Fees, only the portion which the provider expense toward the cost of expense because this includes the time Exchange identified as being providing the access services associated spent by employees of several specifically mapped to providing the with the Proposed Access Fees, only the departments, including Technology, access services associated with the portions which the Exchange identified Back Office, Systems Operations, Proposed Access Fees, approximately as being specifically mapped to Networking, Business Strategy 4.60% of the total applicable providing the access services associated Development (who create the business depreciation and amortization expense, with the Proposed Access Fees, requirement documents that the as these access services would not be approximately 4.95% of the total Technology staff use to develop network possible without relying on such. The applicable hardware and software features and enhancements), and Trade Exchange believes this allocation is provider expense. The Exchange Operations. As part of the extensive cost reasonable because it represents the believes this allocation is reasonable review conducted by the Exchange, the Exchange’s actual cost to provide the because it represents the Exchange’s Exchange reviewed the amount of time access services associated with the actual cost to provide the access spent by each employee on matters Proposed Access Fees, and not any services associated with the Proposed relating to the provision of access other service, as supported by its cost Access Fees. services associated with the Proposed review. For 2021, total projected internal Access Fees. Without these employees, The Exchange’s occupancy expense expense, relating to the internal costs of the Exchange would not be able to relating to providing the services the Exchange to provide the access provide the access services associated services associated with the Proposed associated with the Proposed Access with the Proposed Access Fees to its Fees is projected to be $0.03 million, Access Fees, is projected to be $1.16 Members and their customers. The million. This includes, but is not which is only a portion of the $0.6 Exchange did not allocate all of the million total projected expense for limited to, costs associated with: (1) employee compensation and benefits Employee compensation and benefits occupancy. The Exchange believes it is expense toward the cost of the access reasonable to allocate the identified for full-time employees that support the services associated with the Proposed access services associated with the portion of such expense because such Access Fees, only the portions which expense represents the portion of the Proposed Access Fees, including staff in the Exchange identified as being network operations, trading operations, Exchange’s cost to rent and maintain a specifically mapped to providing the physical location for the Exchange’s development, system operations, and access services associated with the business that support those employees staff who operate and support the Proposed Access Fees, approximately and functions (including an increase as network, including providing the access 7.24% of the total applicable employee a result of the higher determinism services associated with the Proposed compensation and benefits expense. The project); (2) depreciation and Access Fees. This amount consists Exchange believes this allocation is amortization of hardware and software primarily of rent for the Exchange’s reasonable because it represents the used to provide the access services Princeton, NJ office, as well as various Exchange’s actual cost to provide the associated with the Proposed Access related costs, such as physical security, access services associated with the Fees, including equipment, servers, property management fees, property Proposed Access Fees, and not any cabling, purchased software and taxes, and utilities. The Exchange other service, as supported by its cost internally developed software used in operates its Network Operations Center the production environment to support review. (‘‘NOC’’) and Security Operations the network for trading; and (3) The Exchange’s depreciation and Center (‘‘SOC’’) from its Princeton, New occupancy costs for leased office space amortization expense relating to Jersey office location. A centralized for staff that provide the access services providing the services associated with office space is required to house the associated with the Proposed Access the Proposed Access Fees is projected to staff that operates and supports the Fees. The breakdown of these costs is be $0.22 million, which is only a network. The Exchange currently has more fully-described below. For clarity, portion of the $4.8 million total approximately 150 employees. only a portion of all such internal projected expense for depreciation and Approximately two-thirds of the expenses are included in the internal amortization. The Exchange believes it Exchange’s staff are in the Technology expense herein, and no expense amount is reasonable to allocate the identified department, and the majority of those is allocated twice. Accordingly, the portion of such expense because such staff have some role in the operation Exchange does not allocate its entire expense includes the actual cost of the and performance of the access services costs contained in those items to the computer equipment, such as dedicated associated with the Proposed Access access services associated with the servers, computers, laptops, monitors, Fees. Without this office space, the Proposed Access Fees. information security appliances and Exchange would not be able to operate The Exchange believes it is reasonable storage, and network switching and support the network and provide to allocate such internal expense infrastructure equipment, including the access services associated with the described above towards the total cost to switches and taps that were purchased Proposed Access Fees to its Members the Exchange to provide the access to operate and support the network and and their customers. Accordingly, the services associated with the Proposed provide the access services associated Exchange believes it is reasonable to

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allocate the identified portion of its make a profit margin of approximately ‘‘supra-competitive’’ 22 profit. Of note, occupancy expense because such 59% ($3.21 million in total revenue the Guidance defines ‘‘supra- amount represents the Exchange’s actual minus $1.32 million in expense = $1.89 competitive profit’’ as profits that cost to house the equipment and million in profit per annum). exceed the profits that can be obtained personnel who operate and support the Additionally, this profit margin does not in a competitive market.23 With the Exchange’s network infrastructure and take into account the cost of capital proposed changes, the Exchange the access services associated with the expenditures (‘‘CapEx’’) the Exchange anticipates it will have a profit margin Proposed Access Fees. The Exchange projects to spend each year on CapEx of approximately 59% based on the did not allocate all of the occupancy going forward. Proposed Access Fees. Based on the expense toward the cost of providing For the avoidance of doubt, none of 2020 Audited Financial Statements of the access services associated with the the expenses included herein relating to competing options exchanges (since the Proposed Access Fees, only the portion the access services associated with the 2021 Audited Financial Statements will which the Exchange identified as being Proposed Access Fees relate to the likely not become publicly available specifically mapped to operating and provision of any other services offered until early July 2022, after the Exchange supporting the network, approximately by the Exchange or its affiliates. Stated has submitted this filing), the 4.69% of the total applicable occupancy differently, no expense amount of the Exchange’s profit margin is similar to or expense. The Exchange believes this Exchange is allocated twice. The below the operating profit margins of allocation is reasonable because it Exchange notes that, with respect to other competing exchanges. For represents the Exchange’s cost to expenses associated with the Exchange’s example, Nasdaq ISE, LLC’s (‘‘ISE’’) provide the access services associated affiliates, MIAX Pearl and MIAX operating profit margin for all of 2020 with the Proposed Access Fees, and not Emerald, those expenses are accounted was approximately 85%; Nasdaq PHLX for separately and are not included any other service, as supported by its LLC’s (‘‘PHLX’’) operating profit margin within the scope of this filing. Stated cost review. for all of 2020 was approximately 49%; The Exchange notes that a material differently, no expense amount of the Nasdaq’s operating profit margin for all portion of its total overall expense is Exchange is also allocated to MIAX of 2020 was approximately 62%; NYSE allocated to the provision of access Pearl or MIAX Emerald. Arca, Inc.’s (‘‘Arca’’) operating profit services (including connectivity, ports, The Exchange believes it is margin for all of 2020 was and trading permits). The Exchange reasonable, equitable and not unfairly approximately 55%; NYSE American believes this is reasonable and in line, discriminatory to allocate the respective LLC’s (‘‘Amex’’) operating profit margin as the Exchange operates a technology- percentages of each expense category for all of 2020 was approximately 59%; based business that differentiates itself described above towards the total cost to from its competitors based on its trading the Exchange of operating and Cboe’s operating profit margin for all of systems that rely on access to a high supporting the network, including 2020 was approximately 74%; and performance network, resulting in providing the access services associated BZX’s operating profit margin for all of significant technology expense. Over with the Proposed Access Fees because 2020 was approximately 52%. two-thirds of Exchange staff are the Exchange performed a line-by-line The Exchange further believes its technology-related employees. The item analysis of all the expenses of the proposed fees are reasonable, equitably majority of the Exchange’s expense is Exchange, and has determined the allocated and not unfairly technology-based. As described above, expenses that directly relate to discriminatory because the Exchange the Exchange has only four primary providing access to the Exchange. believes that it benefits overall sources of fees to recover their costs; Further, the Exchange notes that, competition in the marketplace to allow thus, the Exchange believes it is without the specific third-party and relatively new entrants like the reasonable to allocate a material portion internal items listed above, the Exchange and its affiliates, MIAX Pearl of their total overall expense towards Exchange would not be able to provide and MIAX Emerald, to propose fees that access fees. the access services associated with the may help these new entrants recoup Accordingly, based on the facts and Proposed Access Fees to its Members their substantial investment in building circumstances presented, the Exchange and their customers. Each of these out costly infrastructure. The Exchange believes that its provision of the access expense items, including physical and its affiliates have historically set services associated with the Proposed hardware, software, employee their fees purposefully low in order to Access Fees will not result in excessive compensation and benefits, occupancy attract business and market share. The pricing or supra-competitive profit. To costs, and the depreciation and Exchange notes that the concept of a illustrate, on a going-forward, fully- amortization of equipment, have been tiered-pricing structure for ports is not annualized basis, the Exchange projects identified through a line-by-line item new or novel.24 that annualized revenue for providing analysis to be integral to providing the access services associated with the access services. The Proposed Access 22 See supra note 14. Proposed Access Fees would be Fees are intended to recover the 23 See id. approximately $3.21 million per annum, Exchange’s costs of providing access to 24 See Cboe BZX Exchange, Inc. (‘‘BZX’’) Options based on a recent billing cycle. The its System. Accordingly, the Exchange Fee Schedule, Options Logical Port Fees, Ports with Bulk Quoting Capabilities (charging $1,500/month Exchange projects that its annualized believes that the Proposed Access Fees for the 1st and 2nd port, $2,500/month for the 3rd expense for providing the services are fair and reasonable because they do port or more); Cboe Exchange, Inc. (‘‘Cboe’’) Fee associated with the Proposed Access not result in excessive pricing or supra- Schedule, Logical Connectivity Fees (charging Fees will be approximately $1.32 competitive profit, when comparing the $750/month per port for BOE/FIX Logical Ports 1 to 5 and $800/month per port for BOE/FIX Logical million per annum. Accordingly, on a actual costs to the Exchange versus the Ports greater than 5; charging $1,500/month per fully-annualized basis, the Exchange projected annual revenue from the port for BOE Bulk Logical Ports 1 to 5, $2,500/ believes its total projected revenue for Proposed Access Fees. month per port for BOE Bulk Logical Ports 6 to 30, providing the access services associated The Exchange believes the proposed and $3,000/month per port for BOE Bulk Logical Ports greater than 30); The Nasdaq Stock Market with the Proposed Access Fees will not changes are reasonable, equitably LLC (‘‘Nasdaq’’), Options 7, Pricing Schedule, result in excessive pricing or supra- allocated and not unfairly Section 3 Nasdaq Options Market—Ports and Other competitive profit, as the Exchange will discriminatory, and do not result in a Services (charging $1,500/month per port for first

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The Exchange notes that it operates in Cboe Fee Filing found that several competition among exchanges and third a highly competitive market in which broker-dealers were members of only a parties. There are other options markets market participants can readily favor single exchange that lists options for of which market participants may access competing venues if they deem fee trading and that the number of members in order to trade options. There is also levels at a particular venue to be at each exchange that trades options a possible range of alternative strategies, excessive. In such an environment, the varies greatly.27 including routing to the exchange Exchange must continually adjust its B. Self-Regulatory Organization’s through another participant or market fees for services and products, in Statement on Burden on Competition center or accessing the Exchange addition to order flow, to remain indirectly. For example, there are 15 competitive with other exchanges. The The Exchange does not believe that other U.S. options exchanges, which the Exchange believes that the proposed the proposed rule change will impose Exchange must consider in its pricing changes reflect this competitive any burden on competition that is not environment. necessary or appropriate in furtherance discipline in order to compete for The Exchange believes the proposal to of the purposes of the Act. market participants. In this competitive move from a flat fee per month to a With respect to intra-market environment, market participants are tiered-pricing structure is reasonable, competition, the Exchange does not free to choose which competing equitably allocated and not unfairly believe that the proposed rule change exchange to use to satisfy their business discriminatory because the Exchange would place certain market participants needs. As a result, the Exchange believes the proposed structure would at the Exchange at a relative believes this proposed rule change encourage firms to be more economical disadvantage compared to other market permits fair competition among national and efficient in the number of Limited participants or affect the ability of such securities exchanges. Accordingly, the Service MEI Ports they purchase. The market participants to compete. As Exchange does not believe its proposed Exchange believes this will enable the stated above, the Exchange does not fee changes impose any burden on Exchange to better monitor and provide believe its proposed pricing will impose competition that is not necessary or access to the Exchange’s network in a barrier to entry to smaller participants appropriate in furtherance of the and notes that the proposed pricing order to ensure that the Exchange meets purposes of the Act. its obligations under the Act such that structure for is associated with relative access to the Exchange is offered on usage of the various market participants. C. Self-Regulatory Organization’s terms that are not unfairly Firms that are primarily order routers Statement on Comments on the discriminatory, as well as to ensure seeking best-execution do not utilize Proposed Rule Change Received From sufficient capacity and headroom in the Limited Service MEI Ports on MIAX and Members, Participants, or Others System. therefore will not pay the fees There is also no regulatory associated with the tiered-pricing Written comments were neither requirement that any market participant structure. Rather, the fees described in solicited nor received. the proposed tiered-pricing structure access any one options exchange, that III. Date of Effectiveness of the each Market Maker access the Exchange will only be allocated to market making firms that engage in advanced trading Proposed Rule Change and Timing for utilizing more than the two free Limited Commission Action Service MEI Ports that the Exchange strategies and typically request multiple provides, access the Exchange in a Limited Service MEI Ports. Accordingly, The foregoing rule change has become the firms engaged in market making particular capacity, or trade any effective pursuant to Section business generate higher costs by particular product offered on the 19(b)(3)(A)(ii) of the Act,28 and Rule utilizing more of the Exchange’s Exchange. Moreover, membership is not 29 resources. The market making firms that 19b–4(f)(2) thereunder. At any time a requirement to participate on the within 60 days of the filing of the Exchange. A market participant may purchase higher amounts of Limited Service MEI Ports tend to have specific proposed rule change, the Commission submit orders to the Exchange via a summarily may temporarily suspend Sponsored User.25 Indeed, the Exchange business oriented market making and taking strategies, as opposed to firms such rule change if it appears to the is unaware of any one options exchange Commission that such action is whose membership includes every simply engaging in best-execution order necessary or appropriate in the public registered broker-dealer. Based on a routing business. Additionally, the use interest, for the protection of investors, recent analysis conducted by Cboe, as of of such additional Limited Service MEI or otherwise in furtherance of the October 21, 2020, only three (3) of the Ports is entirely voluntary. The Exchange also does not believe broker-dealers, out of approximately 250 purposes of the Act. If the Commission that the proposed rule change will result broker-dealers, were members of at least takes such action, the Commission shall in any burden on inter-market one exchange that lists options for institute proceedings to determine competition that is not necessary or trading and were members of all 16 whether the proposed rule should be appropriate in furtherance of the options exchanges.26 approved or disapproved. Additionally, the purposes of the Act. As discussed above, options market participants are IV. Solicitation of Comments 5 ports, $1,000/month per port for the next 15 ports, not forced to access all options and $500/month per port for all ports over 20). Interested persons are invited to 25 See Exchange Rule 210. The Sponsored User is exchanges. The Exchange operates in a subject to the fees, if any, of the Sponsoring highly competitive environment, and as submit written data, views, and Member. The Exchange notes that the Sponsoring discussed above, its ability to price arguments concerning the foregoing, Member is not required to publicize, let alone including whether the proposed rule justify or file with the Commission its fees, and as access and ports is constrained by such could charge the Sponsored User any fees it change is consistent with the Act. deems appropriate, even if such fees would 2020) (SR–CBOE–2020–105) (the ‘‘Cboe Fee Comments may be submitted by any of otherwise be considered supra-competitive, or Filing’’). The Cboe Fee Filing cited to the October the following methods: otherwise potentially unreasonable or 2020 Active Broker Dealer Report, provided by the uncompetitive. Commission’s Office of Managing Executive, on 26 See Securities Exchange Act Release No. 90333 October 8, 2020. 28 15 U.S.C. 78s(b)(3)(A)(ii). (November 4, 2020), 85 FR 71666 (November 10, 27 Id. 29 17 CFR 240.19b–4(f)(2).

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Electronic Comments SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s Statement of the Purpose of, and • COMMISSION Use the Commission’s internet Statutory Basis for, the Proposed Rule comment form (http://www.sec.gov/ Change rules/sro.shtml); or [Release No. 34–92663; File No. SR– NASDAQ–2021–061] 1. Purpose • Send an email to rule-comments@ sec.gov. Please include File Number SR– Self-Regulatory Organizations; The Nasdaq proposes to revise the MIAX–2021–37 on the subject line. Nasdaq Stock Market LLC; Notice of application fee payable by Acquisition Filing and Immediate Effectiveness of Companies listing on the Nasdaq Global Paper Comments Market to make it the same as the Proposed Rule Change To Amend application fee payable by Acquisition • Listing Rule 5910 To Modify the Send paper comments in triplicate Companies listing on the Nasdaq Capital Application Fee for Companies Listing to Secretary, Securities and Exchange Market, as described in more details Under IM–5101–2 Commission, 100 F Street NE, below. Washington, DC 20549–1090. August 13, 2021. Historically, companies whose business plan is to complete an initial All submissions should refer to File Pursuant to Section 19(b)(1) of the Number SR–MIAX–2021–37. This file public offering and engage in a merger Securities Exchange Act of 1934 or acquisition with one or more number should be included on the 1 2 (‘‘Act’’), and Rule 19b–4 thereunder, unidentified companies within a subject line if email is used. To help the notice is hereby given that on August 3, specific period of time, as described in Commission process and review your 2021, The Nasdaq Stock Market LLC IM–5101–2, (‘‘Acquisition Companies’’) comments more efficiently, please use (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the would choose to list on the Nasdaq only one method. The Commission will Securities and Exchange Commission Capital Market instead of the Nasdaq post all comments on the Commission’s (‘‘SEC’’ or ‘‘Commission’’) the proposed Global Market, primarily because it had internet website (http://www.sec.gov/ rule change as described in Items I, II, lower fees. Recently Nasdaq modified rules/sro.shtml). Copies of the and III, below, which Items have been the Entry and All-Inclusive Annual submission, all subsequent prepared by the Exchange. The Listing Fees for Acquisition Companies amendments, all written statements Commission is publishing this notice to listing on the Nasdaq Global Market.3 with respect to the proposed rule solicit comments on the proposed rule As a result, the Entry and All-Inclusive change that are filed with the change from interested persons. Annual Listing Fees for Global Market Commission, and all written Acquisition Companies are currently communications relating to the I. Self-Regulatory Organization’s identical to the fees charged to Capital proposed rule change between the Statement of the Terms of Substance of Market Acquisition Companies. the Proposed Rule Change Commission and any person, other than A company applying to list on Nasdaq those that may be withheld from the The Exchange proposes to amend is required to submit a non-refundable public in accordance with the Listing Rule 5910 to modify the initial application fee with its provisions of 5 U.S.C. 552, will be application fee for companies listing application, which is subsequently available for website viewing and under IM–5101–2 (companies whose credited towards the Entry Fee payable upon listing. A company listing on the printing in the Commission’s Public business plan is to complete one or Global Market is required to submit a Reference Room, 100 F Street NE, more acquisitions) on the Nasdaq Global non-refundable $25,000 initial Washington, DC 20549, on official Market. application fee, whereas the application business days between the hours of The text of the proposed rule change fee on the Capital Market is $5,000.4 10:00 a.m. and 3:00 p.m. Copies of the is available on the Exchange’s website at Nasdaq proposes to revise the filing also will be available for https://listingcenter.nasdaq.com/ application fee for Acquisition inspection and copying at the principal rulebook/nasdaq/rules, at the principal Companies listing on the Nasdaq Global office of the Exchange. All comments office of the Exchange, and at the Market to make it the same as the received will be posted without change. Commission’s Public Reference Room. application fee Acquisition companies Persons submitting comments are pay on the Capital Market. cautioned that we do not redact or edit II. Self-Regulatory Organization’s Nasdaq has limited resources and personal identifying information from Statement of the Purpose of, and charges companies applying to list on comment submissions. You should Statutory Basis for, the Proposed Rule Nasdaq an application fee to offset the submit only information that you wish Change cost of conducting its regulatory review to make available publicly. All In its filing with the Commission, the in connection with the initial listing of submissions should refer to File Exchange included statements the company. As explained above, the application fee is subsequently credited Number SR–MIAX–2021–37 and should concerning the purpose of and basis for towards the Entry Fee payable upon be submitted on or before September 9, the proposed rule change and discussed listing. In Nasdaq’s experience, 2021. any comments it received on the conducting an initial listing review for proposed rule change. The text of these For the Commission, by the Division of an Acquisition Company is less costly Trading and Markets, pursuant to delegated statements may be examined at the 30 than conducting an initial listing review authority. places specified in Item IV below. The for other types of companies for a J. Matthew DeLesDernier, Exchange has prepared summaries, set number of reasons. Specifically, review Assistant Secretary. forth in sections A, B, and C below, of of an Acquisition Company’s IPO [FR Doc. 2021–17762 Filed 8–18–21; 8:45 am] the most significant aspects of such application is generally much simpler statements. BILLING CODE 8011–01–P 3 Securities Exchange Act Release No. 92345 (July 1 15 U.S.C. 78s(b)(1). 7, 2021), 86 FR 36807 (July 13, 2021). 30 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4. 4 See Listing Rules 5910(a)(11) and 5920(a)(11).

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and quicker than an application of an The proposal is being implemented to companies listed on the Nasdaq Global operating company because an avoid charging a higher application fee Market. Acquisition Company has no underlying to an Acquisition Company that is For the foregoing reasons, the operating business. For the same reason, listing on the Nasdaq Global Market Exchange believes that the proposal is an Acquisition Company’s SEC filings over what such company is required to consistent with the Act. and IPO documentation are much less pay when applying to list on the Capital B. Self-Regulatory Organization’s detailed and its financial statements are Market. As a result of a recent rule Statement on Burden on Competition simple and do not have historical change, the Entry and All-Inclusive financials. An Acquisition Company’s Annual Listing Fees for Global Market The Exchange does not believe that registration statement does not have an Acquisition Companies are currently the proposed rule change will impose operating business to describe and has identical to the fees charged Capital any burden on competition not no risk factors related to an operating Market Acquisition Companies.8 This necessary or appropriate in furtherance business. Further, Acquisition proposal would fully equalize listing of the purposes of the Act. Companies always qualify as Emerging fees and the timing of paying such fees The proposed modified application Growth Companies under Section for Acquisition Companies listing on the fee will be applicable to all similarly 2(a)(19) of the Securities Act, which Capital and Global Markets. Nasdaq situated issuers on the same basis and results in scaled requirements for believes it is equitable under Section will eliminate an existing distinction narrative disclosure and financial 6(b)(4) of the Act 9 to charge Global between Acquisition Companies listing reporting. Market Acquisition Companies the same on the Capital and Global Markets. The Accordingly, Nasdaq believes it is application fee as Capital Market Exchange does not believe that the appropriate to charge Acquisition Acquisition Companies given that they proposed fees will have any meaningful Companies listing on the Global Market are treated the same, and their effect on the competition among issuers a smaller application fee than the fee applications are no more complicated, listed on the Exchange. applicable to operating companies. regardless of whether they are applying The Exchange operates in a highly Nasdaq notes that, as described above, to list on the Global or Capital Market. competitive market in which issuers can the application fee is a part of the Entry readily choose to list new securities on Fee, and therefore, the overall Entry Fee Moreover, the Exchange believes that other exchanges and transfer listings to payable by an Acquisition Company it is not unfairly discriminatory to other exchanges if they deem fee levels listing on Nasdaq remains unchanged charge Acquisition Companies at those other venues to be more under this proposal. Accordingly, this application fee different from the fee favorable. Because competitors are free proposal has no financial impact on the applicable to operating companies to modify their own fees in response, level of listing fees collected from listing on the Global Market, because and because issuers may change their issuers that list on Nasdaq and thus has Acquisition Companies differ in some listing venue, the Exchange does not no impact the Exchange’s resource important respects from traditional believe its proposed fee change can commitment to its regulatory oversight operating companies and such impose any burden on intermarket of the listing process or its regulatory differences make it less costly for competition. In that regard, Nasdaq programs. Nasdaq to conduct an initial listing notes that while the New York Stock 2. Statutory Basis review. Specifically, an Acquisition Exchange charges most companies an Company’s IPO process is generally Initial Application Fee of $25,000 in The Exchange believes that its much simpler and quicker than a connection with applying to list an proposal is consistent with Section 6(b) regular IPO because an Acquisition 5 equity security, Acquisition Companies of the Act, in general, and furthers the Company has no underlying operating are not subject to the Initial Application objectives of Sections 6(b)(4) and 6(b)(5) business. For the same reason, an 10 6 Fee. of the Act, in particular, in that it Acquisition Company’s SEC filings and provides for the equitable allocation of IPO documentation, including its C. Self-Regulatory Organization’s reasonable dues, fees and other charges financial statements, are simple and do Statement on Comments on the among members and issuers and other not have historical discussions or Proposed Rule Change Received From persons using any facility, and is not financials. An Acquisition Company’s Members, Participants, or Others designed to permit unfair registration statement does not have an No written comments were either discrimination between customers, operating business to describe and has solicited or received. issuers, brokers, or dealers. no risk factors related to an operating III. Date of Effectiveness of the As a preliminary matter, Nasdaq business. Further, Acquisition Proposed Rule Change and Timing for competes for listings with other national Companies always qualify as Emerging Commission Action securities exchanges and companies can Growth Companies under Section easily choose to list on, or transfer to, 2(a)(19) of the Securities Act which The foregoing rule change has become those alternative venues. As a result, the results in scaled requirements for effective pursuant to Section fees Nasdaq can charge listed companies narrative disclosure and financial 19(b)(3)(A)(ii) of the Act.11 are constrained by the fees charged by reporting. Therefore, Nasdaq believes At any time within 60 days of the its competitors and Nasdaq cannot that it is appropriate, and not unfairly filing of the proposed rule change, the charge prices in a manner that would be discriminatory, to charge lower Commission summarily may unreasonable, inequitable, or unfairly temporarily suspend such rule change if 7 application fee to Global Market discriminatory. Acquisition Companies than application it appears to the Commission that such fee that are charged to operating action is: (i) Necessary or appropriate in 5 15 U.S.C. 78f(b). the public interest; (ii) for the protection 6 15 U.S.C. 78f(b)(4) and (5). of investors; or (iii) otherwise in 7 In that regard, Nasdaq notes that while the New Fee. See Sections 902.03 and 902.11 of the NYSE York Stock Exchange charges most companies an Listed Company Manual. Initial Application Fee of $25,000 in connection 8 Securities Exchange Act Release No. 92345 (July 10 See Sections 902.03 and 902.11 of the NYSE with applying to list an equity security, Acquisition 7, 2021), 86 FR 36807 (July 13, 2021). Listed Company Manual. Companies are not subject to the Initial Application 9 15 U.S.C. 78f(b)(4). 11 15 U.S.C. 78s(b)(3)(A)(ii).

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furtherance of the purposes of the Act. should be submitted on or before and basis for, the proposed rule change If the Commission takes such action, the September 9, 2021. and discussed any comments it received Commission shall institute proceedings For the Commission, by the Division of on the proposed rule change. The text to determine whether the proposed rule Trading and Markets, pursuant to delegated of those statements may be examined at should be approved or disapproved. authority.12 the places specified in Item IV below. The Exchange has prepared summaries, IV. Solicitation of Comments J. Matthew DeLesDernier, Assistant Secretary. set forth in sections A, B, and C below, Interested persons are invited to [FR Doc. 2021–17761 Filed 8–18–21; 8:45 am] of the most significant parts of such statements. submit written data, views, and BILLING CODE 8011–01–P arguments concerning the foregoing, A. Self-Regulatory Organization’s including whether the proposed rule Statement of the Purpose of, and the change is consistent with the Act. SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule Comments may be submitted by any of COMMISSION Change the following methods: [Release No. 34–92668; File No. SR– 1. Purpose Electronic Comments NYSEAMER–2021–36] The Exchange proposes to amend • Use the Commission’s internet Self-Regulatory Organizations; NYSE Rule 952NY (Opening Process) to comment form (http://www.sec.gov/ American LLC; Notice of Filing and provide an option for ATP Holders to rules/sro.shtml); or Immediate Effectiveness of Proposed instruct the Exchange to cancel • Send an email to rule-comments@ Rule Change To Amend Rule 952NY To Marketable 4 orders if a series is not sec.gov. Please include File Number SR– Provide an Option for ATP Holders To opened within a specified time period. NASDAQ–2021–061 on the subject line. Instruct the Exchange To Cancel Rule 952NY sets forth the Exchange’s Marketable Orders if a Series Is Not process for opening and reopening a Paper Comments Opened Within a Specified Time Period series for trading. Rule 952NY(b) provides that the Exchange will accept • Send paper comments in triplicate August 13, 2021. market and limit orders for inclusion in to Secretary, Securities and Exchange Pursuant to Section 19(b)(1) 1 of the the opening auction process (‘‘Auction Commission, 100 F Street NE, Securities Exchange Act of 1934 (the Process’’) until such time as the Auction Washington, DC 20549–1090. ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 Process is initiated in that option series. All submissions should refer to File notice is hereby given that on August As further provided for in Rule Number SR–NASDAQ–2021–061. This 10, 2021, NYSE American LLC (‘‘NYSE 952NY(b), once the primary market for file number should be included on the American’’ or the ‘‘Exchange’’) filed the underlying security disseminates a subject line if email is used. To help the with the Securities and Exchange quote and a trade that is at or within the Commission process and review your Commission (the ‘‘Commission’’) the quote, the Exchange will open the comments more efficiently, please use proposed rule change as described in related option series automatically only one method. The Commission will Items I and II below, which Items have based on the principles and procedures post all comments on the Commission’s been prepared by the self-regulatory set forth in paragraphs (A)–(F) of Rule internet website (http://www.sec.gov/ organization. The Commission is 952NY(b). However, as described in rules/sro.shtml). Copies of the publishing this notice to solicit Rule 952NY(b)(D), the Exchange will submission, all subsequent comments on the proposed rule change not conduct an Auction Process if the amendments, all written statements from interested persons. bid-ask differential for that series is not with respect to the proposed rule I. Self-Regulatory Organization’s within an acceptable range, i.e., is not change that are filed with the Statement of the Terms of Substance of within the bid-ask differential Commission, and all written the Proposed Rule Change guidelines established in Rule communications relating to the 925NY(b)(4). Because Rule 952NY(b)(D) proposed rule change between the The Exchange proposes to amend cross-references the bid-ask differential Commission and any person, other than Rule 952NY (Opening Process) to requirement of Rule 925NY(b)(4), which those that may be withheld from the provide an option for ATP Holders to relates to the obligations of Market public in accordance with the instruct the Exchange to cancel Makers in appointed classes, the provisions of 5 U.S.C. 552, will be Marketable orders if a series is not Exchange will not open a series for available for website viewing and opened within a specified time period. trading if Market Makers have not printing in the Commission’s Public The proposed rule change is available entered quotations in a series that are Reference Room, 100 F Street NE, on the Exchange’s website at within such bid-ask differentials. If a Washington, DC 20549 on official www.nyse.com, at the principal office of series does not open for trading, market business days between the hours of the Exchange, and at the Commission’s and limit orders entered in advance of 10:00 a.m. and 3:00 p.m. Copies of the Public Reference Room. the Auction Process will remain in the filing also will be available for II. Self-Regulatory Organization’s Consolidated Book and will not be inspection and copying at the principal Statement of the Purpose of, and routed, even if another exchange opens office of the Exchange. All comments Statutory Basis for, the Proposed Rule that series for trading and such orders received will be posted without change. Change become Marketable against an away Persons submitting comments are In its filing with the Commission, the market NBBO. cautioned that we do not redact or edit The Exchange proposes to amend self-regulatory organization included personal identifying information from Rule 952NY to provide ATP Holders comment submissions. You should statements concerning the purpose of, submit only information that you wish 4 The term ‘‘Marketable’’ is defined in Rule 12 17 CFR 200.30–3(a)(12). to make available publicly. All 900.2NY(39) to mean, for a Limit Order, the price 1 15 U.S.C. 78s(b)(1). matches or crosses the NBBO on the other side of submissions should refer to File 2 15 U.S.C. 78a. the market and that market orders are always Number SR–NASDAQ–2021–061 and 3 17 CFR 240.19b–4. considered marketable.

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with an option to instruct the Exchange such order to be sent to the Exchange Finally, proposed Rule 952NY(d) to cancel their Marketable orders if an even though it has not yet opened that would provide that this instruction option series has not been opened series for trading. would not be available for orders within a specified time period. As Proposed Rule 952NY(d) would also entered by Floor Brokers via the proposed, new subparagraph (d) to Rule provide that the designated time period Electronic Order Capture System.8 The 952NY 5 would provide that an ATP would be two minutes, unless current EOC provider could not Holder may instruct the Exchange to determined otherwise by the Exchange systemically apply the proposed cancel all Marketable orders in a series, and announced to ATP Holders via optional instruction on a firm-by firm including GTC Orders, if that series has Trader Update, in which case the basis and therefore it would not be not opened within a designated time designated time period would not be available to individual Floor Brokers. period after the Exchange receives greater than five minutes. The Exchange The Exchange believes that because of notification that the primary market for believes that a two-minute period would the unique role of Floor Brokers on the the underlying security has provide time for Market Makers to Exchange to provide manual, high-touch disseminated a quote and a trade that is update their quotes after the Exchange services on behalf of customers, Floor at or within the quote. This proposed receives the series open trigger so that Brokers should not need this optional change is designed to provide ATP the bid-ask differential in an option feature. Specifically, unlike an off-Floor Holders that electronically enter orders series can be within an acceptable range ATP Holder that may be relying on an before Core Trading Hours 6 begin in a and therefore the series can open for algorithm to send orders in a multitude multitude of option series with an trading on the Exchange. Specifically, of series, a Floor Broker that provides optional risk protection mechanism for the Exchange has observed that on a high-touch services would be present on the Exchange to automatically cancel typical trading day, nearly 98% of all the Trading floor and in a position to Marketable orders on their behalf. ATP series are opened by 9:32 a.m. Eastern monitor whether the Exchange has Holders could submit requests to cancel Time, and nearly 99% of all series are opened a series, and if not, whether to such orders themselves, but would have opened by 9:35 a.m. Eastern Time. By cancel an order that becomes to monitor which series have been waiting two minutes before cancelling Marketable. opened on the Exchange. The proposed orders, the Exchange believes that the The Exchange will announce via optional functionality would reduce majority of series would be opened, Trader Update when this proposed operational risk for ATP Holders that thereby minimizing the number of series optional feature will be available, sent orders in multiple series by where there would be a bulk cancel of which, subject to effectiveness of this providing them with a bulk cancel Marketable orders. In addition, ATP proposed rule change, the Exchange feature that would instruct the Exchange Holders that want to cancel orders less anticipates will be in early August 2021. to cancel orders on their behalf if a than two minutes after the series open 2. Statutory Basis series has not been opened by a trigger would still be able to submit specified time. Specifically, rather than requests to cancel individual orders. For the reasons set forth above, the have Marketable orders remain The Exchange further believes that it is Exchange believes the proposed rule unexecuted on the Consolidated Book if appropriate to provide the Exchange change is consistent with Section 6(b) of the option series has not opened on the with the ability to adjust the designated the Act 9 in general, and furthers the Exchange within a specified time time period via Trader Update to no objectives of Sections 6(b)(4) and (5) of period, ATP Holders would have the more than five minutes because it the Act,10 in that it is designed to option to instruct the Exchange to would provide additional flexibility for promote just and equitable principles of cancel such orders back to the ATP the Exchange to respond to the needs of trade, remove impediments to and Holder. Once cancelled back, the ATP ATP Holders to implement the perfect the mechanism of a free and Holder could choose to re-enter such instruction to cancel Marketable orders open market and a national market orders on an exchange that has opened on a different time basis. The Exchange system and, in general, to protect that series for trading. believes that a cap of five minutes investors and the public interest. The Exchange further proposes to would be reasonable because very few The Exchange believes that the provide that the Exchange would not series remain unopened five minutes proposed rule change would remove cancel any Marketable orders received after the series open trigger. The impediments to and perfect the after the designated time period ends, Exchange notes that this is an optional mechanism of a free and open market even if the series has not yet opened. instruction, and therefore no ATP and a national market system because it The Exchange believes that if an ATP Holder is required to use this proposed is designed to provide ATP Holders Holder sends an order in an option new risk feature. The Exchange further with an optional risk protection series to the Exchange after Core notes that Exchange flexibility in mechanism to instruct the Exchange to Trading Hours begin, and more than the connection with designating time cancel Marketable orders in an option designated time period after the primary periods for risk limitation measures is series on their behalf if that series has market for the underlying security has consistent with current Exchange rules.7 not opened on the Exchange within a opened (i.e., the series open trigger), such ATP Holder should be aware that 7 See, e.g., Commentary .03 to Rule 928NY (Risk priced at or below $1.00; and 50% for the contra- the Exchange has not opened that series Limitation Mechanism) (providing that the side NBB or NBO priced above $1.00.’’) for trading when it sends the order to Exchange will ‘‘specify via Trader Update any 8 As defined in Rule 900.2NY(20), the term ‘‘Electronic Order Capture System’’ or ‘‘EOC’’ the Exchange, and therefore intends for applicable time period(s) for the Risk Limitation Mechanisms; provided, however, that the Exchange means the Exchange’s electronic audit trail and will not specify a time period of less than 100 order tracking system that provides an accurate 5 The Exchange proposes a non-substantive milliseconds, inclusive of the duration of any time-sequenced record of all orders and amendment to Rule 952NY to renumber current trading halt occurring within that time’’). The transactions on the Exchange. As further defined, subparagraph (d) to that Rule as subparagraph (e). Exchange also provides for flexibility in its rules for the EOC includes the electronic communications 6 The term ‘‘Core Trading Hours’’ is defined in other risk mechanism parameters. See, e.g., Rule interface between EOC booth terminals and the Rule 900.2NY(15) to mean the regular trading hours 967NY(b) (‘‘Unless determined otherwise by the Floor Broker Hand Held applications and also for business set forth in the rules of the primary Exchange and announced to ATP Holders via contains an electronic order entry screen. markets underlying those option classes listed on Trader Update, the specified percentage shall be as 9 15 U.S.C. 78f(b). the Exchange. follows: 100% for the contra-side NBB or NBO 10 15 U.S.C. 78f(b)(4) and (5).

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specified time period. The Exchange Marketable orders on a different time would promote intermarket competition does not open a series if Market Makers basis. The Exchange believes that the because if the Exchange cancels such have not quoted within the acceptable proposed cap of five minutes would orders on the instruction of an ATP range of bid-ask differentials as remove impediments to and perfect the Holder, such ATP Holder could then specified in Rule 925NY(b)(4). However, mechanism of a free and open market choose to route such orders to another it is possible that another exchange, and a national market system because exchange that has opened the option with different opening process rules, on a typical day, approximately 99% of series for trading. could have opened that series for all series are opened by 9:35 a.m. The Exchange does not believe that trading even if the Exchange does not. Eastern Time. The Exchange further the proposed rule change would impose If an order that an ATP Holder sent to notes that this proposed risk mechanism any burden on intramarket competition the Exchange before Core Trading Hours would be optional, and therefore ATP that is not necessary or appropriate in begins becomes Marketable on another Holders would not be required to furtherance of the purposes of the Act exchange before the Exchange opens request that the Exchange cancel because the proposed rule change that series for trading, such ATP Holder unexecuted Marketable orders on their provides for optional functionality. ATP could choose to cancel the order and behalf if a series has not opened within Holders would not be required to use then send it to the other exchange. By the designated time period. In addition, this functionality. In addition, the providing ATP Holders with an option Exchange flexibility in connection with Exchange believes that because of the to instruct the Exchange to cancel their designating time periods for risk unique role of Floor Brokers on the Marketable orders in a series under the limitation measures is consistent with Exchange to provide manual, high-touch specified circumstances, the Exchange current Exchange rules.11 services on behalf of customers, Floor would perform this monitoring function Finally, the Exchange believes that Brokers should not need this optional on behalf of ATP Holders, thereby the proposal that the optional bulk-cancel feature and it would not reducing their operational risk. instruction would not be available for The Exchange believes that it would orders entered by Floor Brokers via the impose any undue burden on remove impediments to and perfect the EOC would remove impediments to and intramarket competition not to provide mechanism of a free and open market perfect the mechanism of a free and this optional feature to Floor Brokers. and a national market system to provide open market and a national market Specifically, unlike an off-Floor ATP that such instructions would not be system because the current EOC Holder that may be relying on an applicable to Marketable orders received provider could not systemically apply algorithm to send orders in a multitude after the designated time period ends the proposed optional instruction on a of series, a Floor Broker that provides because the Exchange believes that ATP firm-by firm basis. The instruction high-touch services would be present on Holders that send orders to the could therefore not be segregated by the Trading floor and in a position to Exchange more than a specified period individual Floor Brokers that each use monitor whether the Exchange has after series open trigger should be aware the EOC. The Exchange believes that opened a series, and if not, whether to that the Exchange has not yet opened because of the unique role of Floor cancel an order that becomes that series for trading. Therefore, any Brokers on the Exchange to provide Marketable. orders sent after that designated time manual, high-touch services on behalf of C. Self-Regulatory Organization’s period ends were likely purposefully customers, Floor Brokers should not Statement on Comments on the directed to the Exchange even though need this optional bulk-cancel feature. Proposed Rule Change Received From the Exchange has not yet opened that Specifically, unlike an off-Floor ATP Members, Participants, or Others series for trading. Holder that may be relying on an The Exchange believes that the algorithm to send orders in a multitude No written comments were solicited proposed designated time period of two of series, a Floor Broker that provides or received with respect to the proposed minutes would remove impediments to high-touch services would be present on rule change. and perfect the mechanism of a free and the Trading floor and in a position to open market and a national market monitor whether the Exchange has III. Date of Effectiveness of the system because it is designed to provide opened a series, and if not, whether to Proposed Rule Change and Timing for time for Market Makers to update their cancel an order that becomes Commission Action quotes so that the bid-ask differential in Marketable. Because the foregoing proposed rule an option series is within an acceptable change does not: (i) Significantly affect range and therefore the series can open B. Self-Regulatory Organization’s Statement on Burden on Competition the protection of investors or the public for trading on the Exchange. The interest; (ii) impose any significant Exchange believes that the proposed The Exchange does not believe that burden on competition; and (iii) become two-minute period is reasonable the proposed rule change will impose operative for 30 days from the date on because on a typical trading day, any burden on competition that is not which it was filed, or such shorter time approximately 98% of all series that necessary or appropriate in furtherance as the Commission may designate, it has trade on the Exchange are open. ATP of the purposes of the Act. The become effective pursuant to Section Holders that want to cancel orders less Exchange does not believe the proposed 19(b)(3)(A) of the Act 12 and Rule 19b– than two minutes after the series open rule change would impose any burden 4(f)(6) thereunder.13 trigger would still be able to submit on intermarket competition, as the requests to cancel individual orders. proposed rule change is designed to The Exchange further believes that provide an option for ATP Holders to 12 15 U.S.C. 78s(b)(3)(A). 13 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– providing the Exchange with flexibility instruct the Exchange to cancel 4(f)(6)(iii) requires a self-regulatory organization to to change the designated time period via Marketable orders if an option series give the Commission written notice of its intent to Trader Update, provided that it would does not open on the Exchange within file the proposed rule change, along with a brief never be longer than five minutes, a designated time period. The Exchange description and text of the proposed rule change, at least five business days prior to the date of filing would enable the Exchange to respond believes that the proposed rule change of the proposed rule change, or such shorter time to the needs of ATP Holders to as designated by the Commission. The Exchange implement the instruction to cancel 11 See supra note 7. has satisfied this requirement.

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A proposed rule change filed under Electronic Comments DEPARTMENT OF STATE Rule 19b–4(f)(6) 14 normally does not • Use the Commission’s internet become operative prior to 30 days after [Public Notice 11503] the date of the filing. However, pursuant comment form (http://www.sec.gov/ to Rule 19b–4(f)(6)(iii),15 the rules/sro.shtml); or Certification Related to Foreign Military Commission may designate a shorter • Send an email to rule-comments@ Financing for Colombia Under time if such action is consistent with the sec.gov. Please include File Number SR– Regulations of the Department of protection of investors and the public NYSEAMER–2021–36 on the subject State, Foreign Operations, and Related interest. The Exchange has requested line. Programs Appropriations Act, 2021 that the Commission waive the 30-day operative delay so that the proposed Paper Comments Pursuant to the authority vested in the rule change may become operative prior Secretary of State, including under • Send paper comments in triplicate to 30 days after the date of the filing. section 7045(b)(2)(B) of the Department to Secretary, Securities and Exchange The Exchange states that waiver of the of State, Foreign Operations, and Commission, 100 F Street, NE, operative delay would be consistent Related Programs Appropriations Act, with the protection of investors and the Washington, DC 20549–1090. 2021 (Div. K, Pub. L. 116–260), I hereby public interest because the proposed All submissions should refer to File certify that: rule change, as described above, would Number SR–NYSEAMER–2021–36. This (i) The Special Jurisdiction for Peace offer ATP Holders an additional, and file number should be included on the and other judicial authorities are taking optional, risk limitation feature to subject line if email is used. To help the effective steps to hold accountable instruct the Exchange to cancel their Commission process and review your perpetrators of gross violations of Marketable orders if the Exchange does comments more efficiently, please use human rights in a manner consistent not open an option series within a only one method. The Commission will with international law, including for designated time frame. The Exchange post all comments on the Commission’s command responsibility, and sentence further states that the technology internet website (http://www.sec.gov/ them to deprivation of liberty; supporting the proposed rule change rules/sro.shtml). Copies of the (ii) the Government of Colombia is will be available prior to 30 days after submission, all subsequent taking effective steps to prevent attacks the date of the filing, and the Exchange amendments, all written statements against human rights defenders and seeks to implement the proposed rule with respect to the proposed rule other civil society activists, trade change without delay. For these reasons, change that are filed with the unionists, and journalists, and judicial the Commission believes that waiver of Commission, and all written authorities are prosecuting those the 30-day operative delay is consistent communications relating to the responsible for such attacks; with the protection of investors and the public interest. Accordingly, the proposed rule change between the (iii) the Government of Colombia is Commission hereby waives the Commission and any person, other than taking effective steps to protect Afro- operative delay and designates the those that may be withheld from the Colombian and indigenous communities proposed rule change operative upon public in accordance with the and is respecting their rights and filing.16 provisions of 5 U.S.C. 552, will be territory; At any time within 60 days of the available for website viewing and (iv) senior military officers filing of the proposed rule change, the printing in the Commission’s Public responsible for ordering, committing, Commission summarily may Reference Room, 100 F Street NE, and covering up cases of false positives temporarily suspend such rule change if Washington, DC 20549 on official are being held accountable, including it appears to the Commission that such business days between the hours of removal from active duty if found guilty action is necessary or appropriate in the 10:00 a.m. and 3:00 p.m. Copies of the through criminal or disciplinary public interest, for the protection of filing also will be available for proceedings; and investors, or otherwise in furtherance of inspection and copying at the principal (v) the Government of Colombia has the purposes of the Act. If the office of the Exchange. All comments investigated and is taking steps to hold Commission takes such action, the received will be posted without change. accountable Government officials Commission shall institute proceedings Persons submitting comments are credibly alleged to have directed, to determine whether the proposed rule cautioned that we do not redact or edit authorized, or conducted illegal change should be approved or personal identifying information from surveillance of political opponents, disapproved. comment submissions. You should government officials, journalists, and submit only information that you wish IV. Solicitation of Comments human rights defenders, including to make available publicly. All through the use of assets provided by Interested persons are invited to submissions should refer to File the United States for combating submit written data, views, and Number SR–NYSEAMER–2021–36, and counterterrorism and counternarcotics arguments concerning the foregoing, should be submitted on or before for such purposes. including whether the proposed rule September 9, 2021. This Certification shall be published change is consistent with the Act. For the Commission, by the Division of in the Federal Register and shall be Comments may be submitted by any of Trading and Markets, pursuant to delegated transmitted, along with the the following methods: authority.17 accompanying Memorandum of J. Matthew DeLesDernier, Justification, to Congress. 14 17 CFR 240.19b–4(f)(6). 15 17 CFR 240.19b–4(f)(6)(iii). Assistant Secretary. Dated: July 29, 2021. 16 For purposes only of waiving the 30-day [FR Doc. 2021–17757 Filed 8–18–21; 8:45 am] Antony J. Blinken, operative delay, the Commission also has BILLING CODE 8011–01–P Secretary of State. considered the proposed rule’s impact on efficiency, competition, and capital formation. See [FR Doc. 2021–17755 Filed 8–18–21; 8:45 am] 15 U.S.C. 78c(f). 17 17 CFR 200.30–3(a)(12). BILLING CODE 4710–29–P

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SURFACE TRANSPORTATION BOARD By the Board, Scott M. Zimmerman, Acting business meeting. You can access the Director, Office of Proceedings. Business Meeting through a computer Raina S. White, [Docket No. FD 32365 (Sub-No. 1)] (Audio and Video) by following the Clearance Clerk. link: https://srbc.webex.com/srbc/ Decatur Junction Railway Co.— [FR Doc. 2021–17812 Filed 8–18–21; 8:45 am] j.php?MTID=m9e8859e3b62c7e3e7d22 Amended Lease and Operation BILLING CODE 4915–01–P d751744c4e3b then enter meeting Exemption—Lines in Illinois number 177 753 8259 and password Sept17CommMtg. You may also Decatur Junction Railway Co. (DJR), a SUSQUEHANNA RIVER BASIN participant telephonically by dialing 1– Class III rail carrier, has filed a verified COMMISSION 877–668–4493 and entering the meeting notice of exemption under 49 CFR number 177 753 8259 followed by the 1150.41 to renew its lease and continue Commission Meeting # sign. to operate a line of railroad owned by Written comments pertaining to items Central Illinois Shippers, Inc., located AGENCY: Susquehanna River Basin on the agenda at the business meeting between milepost 728.00 at Commission. that were not subject to the public Assumption, Ill., and milepost 745.54 ACTION: Notice. hearing may be mailed to the near Elwin, Ill. (the Line). Susquehanna River Basin Commission, SUMMARY: According to the verified notice, DJR The Susquehanna River Basin 4423 North Front Street, Harrisburg, has leased and operated the Line since Commission will conduct its regular Pennsylvania 17110–1788, or submitted 1993.1 DJR states that pursuant to a business meeting on September 17, electronically through www.srbc.net/ recently signed Lease & Operating 2021, from Harrisburg, Pennsylvania. about/meetings-events/business- Agreement, the parties agreed to extend Details concerning the matters to be meeting.html. Such comments are due DJR’s existing lease operations over the addressed at the business meeting are to the Commission on or before Line through December 31, 2025. contained in the Supplementary September 15, 2021. Comments will not DJR states that the Lease & Operating Information section of this notice. Also be accepted at the business meeting Agreement does not include any the Commission published a document noticed herein. interchange commitments. Further, DJR in the Federal Register on July 19, 2021, Authority: Public Law 91–575, 84 certifies that its projected annual concerning its public hearing on August Stat. 1509 et seq., 18 CFR parts 806, 807, revenues from this transaction will not 12, 2021, held telephonically. and 808. DATES: The meeting will be held on result in DJR’s becoming a Class I or Dated: August 16, 2021. Thursday, September 17, 2021, at 9 a.m. Class II rail carrier and will not exceed Jason E. Oyler, $5 million. ADDRESSES: The meeting will be conducted digitally/telephonically from General Counsel and Secretary to the The earliest this transaction may be Commission. consummated is September 2, 2021, the the Susquehanna River Basin [FR Doc. 2021–17811 Filed 8–18–21; 8:45 am] effective date of the exemption (30 days Commission, 4423 N Front Street, after the verified notice was filed). Harrisburg, PA 17110. BILLING CODE 7040–01–P If the notice contains false or FOR FURTHER INFORMATION CONTACT: misleading information, the exemption Jason E. Oyler, General Counsel and SUSQUEHANNA RIVER BASIN is void ab initio. Petitions to revoke the Secretary to the Commission, telephone: COMMISSION exemption under 49 U.S.C. 10502(d) 717–238–0423; fax: 717–238–2436. may be filed at any time. The filing of SUPPLEMENTARY INFORMATION: The Projects Approved for Consumptive a petition to revoke will not business meeting will include actions or Uses of Water automatically stay the effectiveness of presentations on the following items: (1) AGENCY: Susquehanna River Basin the exemption. Petitions to stay must be Adoption of proposed rulemaking and Commission. filed no later than August 26, 2021 (at three groundwater related policies; (2) least seven days before the exemption current expense budget for FY2023; (3) ACTION: Notice. becomes effective). member jurisdictions allocation for SUMMARY: This notice lists the projects All pleadings, referring to Docket No. 2023; (4) ratification of contracts/grants; approved by rule by the Susquehanna FD 32365 (Sub-No. 1), should be filed (5) emergency certificate extension; and River Basin Commission during the with the Surface Transportation Board (6) Regulatory Program projects. period set forth in DATES. via e-filing on the Board’s website. In This agenda is complete at the time of DATES: July 1–31, 2021. addition, a copy of each pleading must issuance, but other items may be added, be served on DJR’s representative, and some stricken without further ADDRESSES: Susquehanna River Basin William A. Mullins, Baker & Miller notice. The listing of an item on the Commission, 4423 North Front Street, PLLC, 2401 Pennsylvania Ave. NW, agenda does not necessarily mean that Harrisburg, PA 17110–1788. Suite 300, Washington, DC 20037. the Commission will take final action on FOR FURTHER INFORMATION CONTACT: According to DJR, this action is it at this meeting. When the Jason E. Oyler, General Counsel and categorically excluded from Commission does take final action, Secretary to the Commission, telephone: environmental review under 49 CFR notice of these actions will be published (717) 238–0423, ext. 1312; fax: (717) 1105.6(c) and from historic reporting in the Federal Register after the 238–2436; email: [email protected]. under 49 CFR 1105.8(b). meeting. Any actions specific to projects Regular mail inquiries may be sent to Board decisions and notices are will also be provided in writing directly the above address. available at www.stb.gov. to project sponsors. SUPPLEMENTARY INFORMATION: This Decided: August 16, 2021. Due to the COVID–19 considerations, notice lists the projects, described the meeting will be conducted digitally/ below, receiving approval for the 1 See Decatur Junction Ry.—Lease & Operation telephonically and there will be no consumptive use of water pursuant to Exemption—Lines in Ill., FD 32365 (I.C.C. served physical public attendance. The public the Commission’s approval by rule Oct. 18, 1993, as corrected Oct. 26, 1993). is invited to attend the Commission’s process set forth in 18 CFR 806.22(e)

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and 18 CFR 806.22(f) for the time period 11. Chesapeake Appalachia, L.L.C.; Pa.; Consumptive Use of Up to 4.0000 specified above: Pad ID: SJW; ABR–201107003.R2; mgd; Approval Date: July 28, 2021. Wilmot Township, Bradford County, Water Source Approval—Issued Under 24. ARD Operating, LLC; Pad ID: COP Pa.; Consumptive Use of Up to 7.5000 18 CFR 806.22(e) Tr 285 Pad C; ABR–201007062.R2; mgd; Approval Date: July 15, 2021. Grugan Township, Clinton County, Pa.; 1. The Hershey Company; Y&S 12. Range Resources—Appalachia Consumptive Use of Up to 4.0000 mgd; Candies; ABR–202107003, East LLC; Pad ID: Shipman-Goodwill Unit Hempfield Township, Lancaster County, #1H–#4H Drilling Pad; ABR– Approval Date: July 28, 2021. Pa.; Consumptive use of up to 0.450 201104016.R2; Lewis Township, 25. ARD Operating, LLC; Pad ID: COP mgd; Approval Date: July 20, 2021. Lycoming County, Pa.; Consumptive Tr 357 Pad A; ABR–201007075.R2; Use of Up to 4.0000 mgd; Approval Cummings Township, Lycoming Water Source Approval—Issued Under Date: July 15, 2021. County, Pa.; Consumptive Use of Up to 18 CFR 806.22(f) 13. Chesapeake Appalachia, L.L.C.; 4.0000 mgd; Approval Date: July 28, 1. Chesapeake Appalachia, L.L.C; Pad Pad ID: A&M Pad; ABR–202107002; 2021. ID: ACW; ABR–201107004.R2; Leroy Wilmot Township, Bradford County, 26. Chief Oil & Gas, LLC; Pad ID: Township, Bradford County, Pa.; Pa.; Consumptive Use of Up to 7.5000 Yonkin B Drilling Pad; ABR– Consumptive Use of Up to 7.5000 mgd; mgd; Approval Date: July 19, 2021. Approval Date: July 14, 2021. 14. XTO Energy, Inc.; Pad ID: Buck 201607003.R1; Cherry Township, 2. Chief Oil & Gas, LLC.; Pad ID: Unit A; ABR–201107041.R2; Penn Sullivan County, Pa.; Consumptive Use Belawske; ABR–201107002.R2; Township, Lycoming County, Pa.; of Up to 2.5000 mgd; Approval Date: Burlington Township, Bradford County, Consumptive Use of Up to 4.0000 mgd; July 29, 2021. Pa.; Consumptive Use of Up to 7.5000 Approval Date: July 21, 2021. 27. Seneca Resources Company, LLC; mgd; Approval Date: July 14, 2021. 15. Seneca Resources Company, LLC; Pad ID: DCNR 100 Pad E; ABR– 3. Chief Oil & Gas, LLC.; Pad ID: Pad ID: Gamble Pad R; ABR– 201105009.R2; McIntyre Township, Kuziak Drilling Pad #1; ABR– 201606001.R1; Eldred Township, Lycoming County, Pa.; Consumptive 201107028.R2; Fox Township, Sullivan Lycoming County, Pa.; Consumptive Use of Up to 4.0000 mgd; Approval County, Pa.; Consumptive Use of Up to Use of Up to 4.0000 mgd; Approval Date: July 29, 2021. Date: July 21, 2021. 2.0000 mgd; Approval Date: July 14, 28. Seneca Resources Company, LLC; 2021. 16. Seneca Resources Company, LLC; Pad ID: Sanchis 1129; ABR– 4. BKV Operating, LLC; Pad ID: Pad ID: Drake 274; ABR–201106003.R2; 201105017.R2; Farmington Township, Giangrieco Pad; ABR–201107011.R2; Lawrence Township, Tioga County, Pa.; Tioga County, Pa.; Consumptive Use of Forest Lake Township, Susquehanna Consumptive Use of Up to 4.0000 mgd; County; Pa.; Consumptive Use of Up to Approval Date: July 21, 2021. Up to 4.0000 mgd; Approval Date: July 5.0000 mgd; Approval Date: July 14, 17. Range Resources—Appalachia, 30, 2021. 2021. LLC; Pad ID: Mohawk South Unit Well 29. ARD Operating, LLC; Pad ID: Pad; ABR–201606002.R1; Gallagher 5. Cabot Oil & Gas Corporation; Pad Lycoming H&FC Pad E; ABR– Township, Clinton County, Pa.; ID: GreenwoodR P2; ABR– 201105013.R2; Cogan House Township, Consumptive Use of Up to 4.0000 mgd; 201605002.R1; Bridgewater Township, Lycoming County, Pa.; Consumptive Approval Date: July 21, 2021. Susquehanna County, Pa.; Consumptive 18. ARD Operating, LLC; Pad ID: Use of Up to 4.0000 mgd; Approval Use of Up to 5.0000 mgd; Approval Larrys Creek F&G Pad C; ABR– Date: July 30, 2021. Date: July 14, 2021. 201105014.R2; Cummings Township, 30. ARD Operating, LLC; Pad ID: COP 6. Cabot Oil & Gas Corporation; Pad Lycoming County, Pa.; Consumptive Tract 728 Pad B; ABR–201106027.R2; ID: LopatofskyJ P1; ABR–201105015.R1; Use of Up to 4.0000 mgd; Approval Watson Township, Lycoming County, Springville Township, Susquehanna Date: July 26, 2021. Pa.; Consumptive Use of Up to 4.0000 County, Pa.; Consumptive Use of Up to 19. Chesapeake Appalachia, L.L.C.; mgd; Approval Date: July 30, 2021. 5.0000 mgd; Approval Date: July 14, Pad ID: Fisher; ABR–201107047.R2; 31. ARD Operating, LLC; Pad ID: COP 2021. Wysox Township, Bradford County, Pa.; Tract 027B Pad A; ABR–201107030.R2; 7. Seneca Resources Company, LLC; Consumptive Use of Up to 7.5000 mgd; Pad ID: DCNR 007 Pad G; ABR– Approval Date: July 26, 2021. McHenry Township, Lycoming County, 201605005.R1; Shippen Township, 20. Chesapeake Appalachia, L.L.C.; Pa.; Consumptive Use of Up to 4.0000 Tioga County, Pa.; Consumptive Use of Pad ID: Paul; ABR–201107048.R2; mgd; Approval Date: July 30, 2021. Up to 4.0000 mgd; Approval Date: July Ulster Township, Wyoming County, Pa.; Authority: Pub. L. 91–575, 84 Stat. 14, 2021. Consumptive Use of Up to 7.5000 mgd; 1509 et seq., 18 CFR parts 806, 807, and 8. Chesapeake Appalachia, L.L.C.; Pad Approval Date: July 26, 2021. 808. ID: Burns; ABR–201107038.R2; Ulster 21. Chief Oil & Gas, LLC; Pad ID: Township, Bradford County, Pa.; Jacobson Unit Pad; ABR–201607002.R1; Dated: August 16, 2021. Consumptive Use of Up to 7.5000 mgd; Franklin Township, Bradford County, Jason E. Oyler, Approval Date: July 15, 2021. Pa.; Consumptive Use of Up to 2.5000 General Counsel and Secretary to the 9. Chesapeake Appalachia, L.L.C.; Pad mgd; Approval Date: July 28, 2021. Commission. ID: Layton; ABR–201107037.R2; 22. Chief Oil & Gas, LLC; Pad ID: [FR Doc. 2021–17810 Filed 8–18–21; 8:45 am] Litchfield Township, Bradford County, Hemlock Hunting Club B Drilling Pad BILLING CODE 7040–01–P Pa.; Consumptive Use of Up to 7.5000 #1; ABR–201607001.R1; Elkland mgd; Approval Date: July 15, 2021. Township, Sullivan County, Pa.; 10. Chesapeake Appalachia, L.L.C.; Consumptive Use of Up to 2.5000 mgd; Pad ID: Oilcan; ABR–201106013.R2; Approval Date: July 28, 2021. Overton Township, Bradford County, 23. Seneca Resources Company, LLC; Pa.; Consumptive Use of Up to 7.5000 Pad ID: D08–M; ABR–201507007.R1; mgd; Approval Date: July 15, 2021. Norwich Township, McKean County,

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DEPARTMENT OF TRANSPORTATION comments, go to www.regulations.gov at unbound format, no larger than 81⁄2 by any time or visit Room W12–140 on the 11 inches, suitable for copying and Federal Motor Carrier Safety ground level of the West Building, 1200 electronic filing. If you submit Administration New Jersey Avenue SE, Washington, DC comments by mail and would like to [Docket No. FMCSA–2012–0032] 20590–0001 between 9 a.m. and 5 p.m., know that they reached the facility, ET, Monday through Friday, except please enclose a stamped, self-addressed Commercial Driver’s License Federal holidays. To be sure someone is postcard or envelope. FMCSA will Standards: Application for Exemption; there to help you, please call (202) 366– consider all comments and materials Daimler Trucks North America, LLC 9317 or (202) 366–9826 before visiting received during the comment period. (Daimler) Docket Operations. Privacy Act: In accordance with 5 II. Legal Basis AGENCY: Federal Motor Carrier Safety U.S.C. 553(c), DOT solicits comments FMCSA has authority under 49 U.S.C. Administration (FMCSA), Department from the public to better inform its 31136(e) and 31315 to grant exemptions of Transportation (DOT). regulatory process. DOT posts these from certain Federal Motor Carrier ACTION: Notice of application for comments, without edit, including any Safety Regulations. FMCSA must exemption; request for comments. personal information the commenter publish a notice of each exemption provides, to www.regulations.gov, as SUMMARY: FMCSA announces that request in the Federal Register (49 CFR described in the system of records 381.315(a)). The Agency must provide Daimler Trucks North America, LLC notice (DOT/ALL–14 FDMS), which can the public an opportunity to inspect the (Daimler) has requested an exemption be reviewed at www.dot.gov/privacy. from the commercial driver’s license information relevant to the application, FOR FURTHER INFORMATION CONTACT: Mr. (CDL) requirements for one of its including any safety analyses that have Richard Clemente, FMCSA Driver and been conducted. The Agency must also drivers, Gesa Reimelt. Daimler also Carrier Operations Division; Office of requested an exemption for the same provide an opportunity for public Carrier, Driver and Vehicle Safety comment on the request. driver from the requirement to register Standards; 202–366–2722. MCPSD@ CDL holders in the Drug and Alcohol dot.gov. If you have questions on The Agency reviews safety analyses Clearinghouse (Clearinghouse). Ms. viewing or submitting material to the and public comments submitted and Reimelt has a valid German commercial docket, contact Docket Operations, (202) determines whether granting the license and will test drive Daimler 366–9826. exemption would likely achieve a level vehicles on U.S. roads to better SUPPLEMENTARY INFORMATION: of safety equivalent to, or greater than, understand product requirements in the level that would be achieved by the ‘‘real world’’ environments and verify I. Public Participation and Request for current regulation (49 CFR 381.305). results. Daimler believes that the Comments The decision of the Agency must be requirements for a German commercial FMCSA encourages you to participate published in the Federal Register (49 license ensure that the same level of by submitting comments and related CFR 381.315(b)) with the reasons for safety is met or exceeded as if this materials. denying or granting the application and, driver had a U.S. CDL. if granted, the name of the person or DATES: Comments must be received on Submitting Comments class of persons receiving the or before September 20, 2021. If you submit a comment, please exemption, and the regulatory provision ADDRESSES: You may submit comments include the docket number for this from which the exemption is granted. identified by Federal Docket notice (FMCSA–2012–0032), indicate The notice must also specify the Management System Number FMCSA– the specific section of this document to effective period (up to 5 years) and 2012–0032 by any of the following which the comment applies, and explain the terms and conditions of the methods: provide a reason for suggestions or exemption. The exemption may be • Federal eRulemaking Portal: recommendations. You may submit renewed (49 CFR 381.300(b)). your comments and material online or www.regulations.gov. See the Public III. Background Participation and Request for Comments by fax, mail, or hand delivery, but section below for further information. please use only one of these means. Current Regulation(s) Requirements • Mail: Docket Operations, U.S. FMCSA recommends that you include Department of Transportation, 1200 your name and a mailing address, an Under 49 CFR 383.23, no person shall New Jersey Avenue SE, West Building, email address, or a phone number in the operate a commercial motor vehicle Ground Floor, Room W12–140, body of your document so the Agency (CMV) unless such person has taken and Washington, DC 20590–0001. can contact you if it has questions passed the knowledge and driving skills • Hand Delivery or Courier: West regarding your submission. tests for a commercial learner’s permit Building, Ground Floor, Room W12– To submit your comment online, go to or CDL that meet the Federal standards 140, 1200 New Jersey Avenue SE, www.regulations.gov and put the docket in subparts F, G, and H of part 383 for between 9 a.m. and 5 p.m. E.T., Monday number, ‘‘FMCSA–2012–0032’’ in the the CMV that person operates or expects through Friday, except Federal holidays. ‘‘Search’’ box, and click ‘‘Search.’’ to operate. The Clearinghouse maintains • Fax: 1–202–493–2251. When the new screen appears, click on records of all drug and alcohol program Each submission must include the ‘‘Documents’’ button, then click the violations in a central repository and Agency name and the docket number for ‘‘Comment’’ button associated with the requires that employers query the this notice (FMCSA–2012–0032). Note latest notice posted. Another screen will system to determine whether current that DOT posts all comments received appear, insert the required information. and prospective employees have without change to www.regulations.gov, Choose whether you are submitting your verified drug or alcohol violations that including any personal information comment as an individual, an would prohibit them from performing included in a comment. Please see the organization, or anonymous. Click safety-sensitive functions under the Privacy Act heading below. ‘‘Submit Comment’’. FMCSA and U.S. Department of Docket: For access to the docket to If you submit your comments by mail Transportation drug and alcohol testing read background documents or or hand delivery, submit them in an regulations.

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Applicant’s Request persons should continue to examine the Background public docket for new material. Daimler has requested an exemption On May 24, 2012, the Department from 49 CFR 383.23 for Gesa Reimelt, Larry W. Minor, established an advisory committee on because she is unable to obtain a CDL Associate Administrator for Policy. aviation consumer protection as due to her lack of residency in the [FR Doc. 2021–17789 Filed 8–18–21; 8:45 am] mandated by the FAA Reauthorization Act of 2012. The statutory termination United States. Daimler further requested BILLING CODE 4910–EX–P an exemption for the driver from the date for the Committee was originally Clearinghouse requirements of 49 CFR September 30, 2015, but has been part 382, subpart G, stating that, for a DEPARTMENT OF TRANSPORTATION extended several times, most recently by driver to register and for a motor carrier the FAA Reauthorization Act of 2018 to run full/limited queries and/or report Office of the Secretary (2018 FAA Act) to the current termination date of September 20, 2023. violations to the Clearinghouse, a valid The purpose of the Aviation Consumer State-issued CDL number is required. [Docket No. DOT–OST–2018–0190] Protection Advisory Committee is to Daimler’s Development Engineer/ Aviation Consumer Protection evaluate existing aviation consumer Driver Gesa Reimelt has a valid German Advisory Committee: Notice of protection programs and provide commercial license. The exemption Solicitation of Nominations for recommendations to the Secretary for would allow Ms. Reimelt to operate a Appointment for the Anti- improving and establishing additional CMV in interstate commerce to support Discrimination Subcommittee aviation consumer protection programs. Daimler field tests to meet future Consumer protection inherently regulatory requirements, and to promote AGENCY: Office of the Secretary (OST), includes preventing unlawful the development of improved safety and Department of Transportation (DOT). discrimination against consumers. emissions technologies. Daimler stated ACTION: Solicitation of nominations for that the driver would be in country for Establishment of the Anti- appointment for the Anti- Discrimination Subcommittee no more than six weeks per year. Discrimination Subcommittee. Airlines are prohibited from IV. Equivalent Level of Safety SUMMARY: The U.S. Department of discriminating against passengers based According to Daimler, the Transportation (Department) has on race, national origin, religion, requirements for a German commercial established a subcommittee of the ancestry, gender, gender identity and license ensure that the same level of Aviation Consumer Protection Advisory sexual orientation or as otherwise safety is met or exceeded as if a driver Committee (ACPAC) to focus on prohibited under 49 U.S.C. 40127(a) and had a CDL issued by one of the States. preventing discrimination and ensuring 49 U.S.C. 41310. 49 U.S.C. 40127(a) Daimler explained that Ms. Reimelt is air travelers are treated equally and states that U.S. and foreign air carriers familiar with the operation of CMVs without bias. The Department invites may not subject a person in air worldwide and would be accompanied interested persons to submit transportation to discrimination because at all times by a driver who holds a applications or nominations for of ‘‘race, color, national origin, religion, State-issued CDL and is familiar with membership to this subcommittee, sex, or ancestry.’’ In addition, 49 U.S.C. the routes to be traveled. Additionally, which has been named the Anti- 41310(a) prohibits U.S. and foreign Daimler provided statements of driving Discrimination Subcommittee. The airlines from unreasonable Anti-Discrimination Subcommittee is history for its driver. discrimination against any person in charged with making recommendations foreign air transportation. The V. Request for Comments to the ACPAC on best practices related Department also interprets 49 U.S.C. to training and other practices or actions § 41712 (which prohibits airlines and In accordance with 49 U.S.C. that can be taken by DOT, airlines or ticket agents from engaging in unfair 31315(b), FMCSA requests public others to ensure nondiscriminatory and deceptive practices and unfair comment from all interested persons on delivery of airlines’ programs and methods of competition) and 49 U.S.C. Daimler’s application for an exemption activities to air travelers. The 41702 (which requires airlines to from 49 CFR 383.23. The Agency is not recommendations of the Anti- provide safe and adequate interstate air seeking comment on Daimler’s request Discrimination Subcommittee will transportation) as prohibiting for an exemption from the receive full review, deliberation and discrimination against airline Clearinghouse requirements, because 49 proper consideration in a public passengers. The Department is CFR part 382, subpart G is not meeting of the ACPAC before final responsible for ensuring that airlines applicable to a driver who does not hold recommendations are submitted to the adhere to Federal non-discrimination a CDL. All comments received before Department. laws. the close of business on the comment The 2018 FAA Act requires the DATES: Applications and nominations closing date indicated at the beginning Department to develop best practices to for membership must be received on or of this notice will be considered and improve airline nondiscrimination before September 20, 2021. You may will be available for examination in the training policies in consultation with submit your applications and docket at the location listed under the persons of diverse backgrounds in race, nominations electronically via email to Addresses section of this notice. ethnicity, religion and gender, national [email protected]. Comments received after the comment organizations that represent those closing date will be filed in the public FOR FURTHER INFORMATION CONTACT: For communities, airlines, airports and docket and will be considered to the further information, please contact contract service providers. To help extent practicable. In addition to late Maegan Johnson, Senior Trial Attorney, inform this effort, in August 2019, the comments, FMCSA will also continue to U.S. Department of Transportation, by U.S. Government Accountability Office file, in the public docket, relevant email at [email protected], or by (GAO) issued a report identifying key information that becomes available after telephone at 202–366–9342. considerations for airline non- the comment closing date. Interested SUPPLEMENTARY INFORMATION: discrimination training programs.

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In January 2021, President Biden to civil rights training and other • Category of membership that the renewed the Federal government’s practices or actions that can be taken by nominee/applicant is qualified to commitment to civil rights and directed DOT, airlines or others to ensure represent; Federal agencies to address all forms of nondiscriminatory delivery of airlines’ • Resume of the applicant or short discrimination. The Executive Order on programs and activities to air travelers biography of the nominee including Advancing Racial Equity and Support in accordance with section 407 of the professional and academic credentials; for Underserved Communities Through 2018 FAA Act, Executive Orders 13985 • A statement of nomination on why the Federal Government (E.O. 13985) and 13988, and President Biden’s the applicant wants to serve or the requires Federal agencies to recognize January 29 Memorandum. Meetings will nominator is nominating the individual and work to redress inequities in their be held in person in Washington, DC to serve, and the unique perspectives policies and programs, assess whether and/or through a publicly accessible and experiences the nominee brings to the agency’s programs and policies virtual format. the Committee; • perpetuate systemic barriers to Selection of Members to Anti- An affirmative statement that the opportunities and benefits for people of Discrimination Subcommittee applicant/nominee meets the eligibility color and other underserved groups, and requirements; and assess whether new policies, The Department will choose Anti- • Optional letters of support. regulations, or guidance documents may Discrimination Subcommittee members Please do not send company, trade be necessary to advance equity in based on three main criteria: (1) association, organization brochures, or agency actions and programs. The Representativeness (does the applicant any other promotional information. Executive Order on Preventing and represent the airline industry, any group Materials submitted should total five Combating Discrimination on the Basis with members who have experienced pages or less. Should more information of Gender Identity or Sexual Orientation discrimination on the basis of race, be needed, Department staff will contact (E.O. 13988) requires Federal agencies national origin, religion, ancestry, the applicant/nominee, obtain to conduct a review of regulations, gender, gender identity, sexual information from the applicant’s/ guidance, and other agency actions that orientation or an otherwise prohibited nominee’s past affiliations, or obtain prohibit sex discrimination and category under Federal law, or other information from publicly available consider whether to revise, suspend, or interested parties such as airports or sources. All application/nomination rescind such actions or promulgate new ticket agents?); (2) expertise (does the materials should be submitted applicant bring essential knowledge, actions, to ensure that laws that prevent electronically via email at ACACP@ expertise and/or experience regarding discrimination on the basis of gender dot.gov on or before September 20, aviation civil rights and the topic area(s) identity or sexual orientation are fully 2021. Any person needing accessibility of interest that will enrich the implemented and enforced. Also, the accommodations with preparing and/or discussion of the available options and Presidential Memorandum Condemning submitting nominations should contact their respective costs and benefits?); and and Combating Racism, Xenophobia, Maegan Johnson, Senior Trial Attorney, (3) willingness to participate fully (is and Intolerance against Asian U.S. Department of Transportation, by the applicant able and willing to attend Americans and Pacific Islanders email at [email protected], or by meetings and generally contribute (January 29 Memorandum) requires telephone at 202–366–9342. constructively to a rigorous policy Persons selected for appointment to Federal agencies to take steps to ensure development process?). The Department the Anti-Discrimination Subcommittee that official actions, documents, and may select more than one representative will be notified by return email and by statements pertaining to the COVID–19 for a group, if appropriate, to obtain a letter of appointment. Members of the pandemic do not exhibit or contribute to balanced membership. racism, xenophobia, and intolerance Individuals applying for membership Anti-Discrimination Subcommittee are against members of Asian American and should keep in mind that Anti- responsible for their own travel and per Pacific Islander communities. Discrimination Subcommittee members diem expenses. The Department has established the will be selected based on their ability John E. Putnam, Anti-Discrimination Subcommittee and willingness to effectively represent Acting General Counsel. under the ACPAC to review airlines’ the interests of all stakeholders in their [FR Doc. 2021–17749 Filed 8–18–21; 8:45 am] policies, procedures, and practices to category, as distinct from their parochial BILLING CODE P prevent discrimination against air or personal interests. For example, an travelers on the basis of race, national individual selected to serve on the Anti- origin, religion, ancestry and gender, Discrimination Subcommittee as a DEPARTMENT OF THE TREASURY gender identity, and sexual orientation. representative of an airline would The Department will select the represent not only his or her own Open Meeting of the Federal Advisory following entities and diverse persons to airline, but the interests of all airlines. Committee on Insurance serve on the Anti-Discrimination As such, the individual would be Subcommittee: Persons of diverse expected to consult with other airlines AGENCY: Departmental Offices, U.S. backgrounds in race, ethnicity, religion in bringing issues to the table before the Department of the Treasury. and gender; lesbian, gay, bisexual, Anti-Discrimination Subcommittee. ACTION: Notice of open meeting, transgender, queer (LGBTQ+) persons; All interested individuals may self- correction. national organizations that represent apply or nominate any individual or diverse racial, ethnic, and religious organization to the Anti-Discrimination SUMMARY: This notice provides updated communities; national organizations Subcommittee. To be considered, videoconference links for the U.S. that represent LGBTQ+ communities, applicants/nominators should submit Department of the Treasury’s Federal airlines, airport operators, contract the following information: Advisory Committee on Insurance service providers, and ticket agents. The • Name, title, organization, and (FACI) meeting on Thursday, September Anti-Discrimination Subcommittee is contact information (address, telephone 9, 2021 from 11:00 a.m.–1:00 p.m. tasked with providing recommendations number and email address) of nominee/ Eastern Time. The meeting is open to to the ACPAC on best practices related applicant; the public.

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DATES: The meeting will be held via number via TTY by calling the toll-free events/2021/09/09/faci. The webcast videoconference on Thursday, Federal Relay Service at (800) 877–8339. will also be available through the FACI’s website: https://home.treasury.gov/ September 9, 2021, from 11:00 a.m.– SUPPLEMENTARY INFORMATION: In a notice policy-issues/financial-markets- 1:00 p.m. Eastern Time. in the Federal Register on August 11, financial-institutions-and-fiscal-service/ 2021 (86 FR 44139), the Department FOR FURTHER INFORMATION CONTACT: Jigar federal-insurance-office/federal- announced the September 9, 2021 Gandhi, Senior Insurance Regulatory advisory-committee-on-insurance-faci. videoconference meeting of the FACI. Policy Analyst, Federal Insurance For more details about the meeting, see That notice inadvertently included Office, U.S. Department of the Treasury, the August 11, 2021 notice. 1500 Pennsylvania Ave. NW, Room inoperable hyperlinks that are corrected Dated: August 16, 2021. 1410 MT, Washington, DC 20220, at by this notice. Steven Seitz, (202) 622–3220 (this is not a toll-free The meeting will be held via number). Persons who have difficulty videoconference and is open to the Director, Federal Insurance Office. hearing or speaking may access this public. The public can attend remotely [FR Doc. 2021–17774 Filed 8–18–21; 8:45 am] here: http://www.yorkcast.com/treasury/ BILLING CODE 4810–AK–P

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Reader Aids Federal Register Vol. 86, No. 158 Thursday, August 19, 2021

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING AUGUST

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. 9 CFR Presidential Documents 2 CFR Executive orders and proclamations 741–6000 200...... 44573 92...... 45621 93...... 45621 The United States Government Manual 741–6000 3 CFR 94...... 45621 Other Services Proclamations: 95...... 45621 Electronic and on-line services (voice) 741–6020 10237...... 43903 98...... 45621 Privacy Act Compilation 741–6050 10238...... 46101 130...... 45621 Executive Orders: 10 CFR 14037...... 43583 ELECTRONIC RESEARCH 14038...... 43905 Ch. I ...... 43397 15...... 44594 World Wide Web Administrative Orders: 52...... 44262 Memorandums: 72 ...... 42681, 44262, 44594 Full text of the daily Federal Register, CFR and other publications Memorandum of 170...... 44594 is located at: www.govinfo.gov. August 6, 2021...... 43587 171...... 44594 Notices: Federal Register information and research tools, including Public 431...... 46579 Inspection List and electronic text are located at: Notice of August 6, Proposed Rules: www.federalregister.gov. 2021 ...... 43901 Presidential 20...... 45923 E-mail Determinations: 50...... 44290 72 ...... 42751, 44296, 44650 FEDREGTOC (Daily Federal Register Table of Contents Electronic No. 2021–10 of August 10, 2021 ...... 45619 73...... 43599 Mailing List) is an open e-mail service that provides subscribers 429...... 43120 with a digital form of the Federal Register Table of Contents. The 5 CFR 430 ...... 41759, 43429, 43970, digital form of the Federal Register Table of Contents includes 315...... 46103 44298, 46611 HTML and PDF links to the full text of each document. 316...... 46103 431...... 43430, 46330 To join or leave, go to https://public.govdelivery.com/accounts/ 330...... 46103 11 CFR USGPOOFR/subscriber/new, enter your email address, then Proposed Rules: follow the instructions to join, leave, or manage your 1630...... 44642 Proposed Rules: subscription. 104...... 42753 PENS (Public Law Electronic Notification Service) is an e-mail 6 CFR 109...... 42753 service that notifies subscribers of recently enacted laws. 5...... 44574 12 CFR 27...... 41889 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 7...... 42686 and select Join or leave the list (or change settings); then follow 7 CFR 1026...... 44267 the instructions. 205...... 41699 Proposed Rules: FEDREGTOC and PENS are mailing lists only. We cannot 275...... 44575 210...... 43143 respond to specific inquiries. 407...... 42681 330...... 41766 Reference questions. Send questions and comments about the 457...... 45855 702...... 45824 Federal Register system to: [email protected] 761...... 43381 703...... 45824 762...... 43381 The Federal Register staff cannot interpret specific documents or 764...... 43381 14 CFR regulations. 765...... 43381 39 ...... 42687, 42689, 42689, 766...... 43381 42691, 42694, 42696, 42698, FEDERAL REGISTER PAGES AND DATE, AUGUST 769...... 43381 42701, 43075, 43404, 43406, 932...... 44257 43409, 43909, 44600, 45855, 41381–41698...... 2 985...... 44587 45858, 46109, 46111, 46113 41699–41888...... 3 993...... 44259 71 ...... 41702, 41704, 41705, 41889–42680...... 4 1470...... 41702 41707, 41708, 41709, 41712, 42681–43074...... 5 Proposed Rules: 41894, 43411, 43589, 43911, 43075–43380...... 6 800...... 46606 45630 43381–43582...... 9 915...... 44286 73...... 44603 43583–43902...... 10 925...... 44644 97...... 42704, 42708 43903–44256...... 11 930...... 44647 250...... 41381 254...... 41381 44257–44572...... 12 944...... 44286 382...... 41382 44573–44772...... 13 959...... 42748 980...... 42748 1204...... 43412 45621–45854...... 16 Proposed Rules: 45855–46100...... 17 8 CFR 39 ...... 41410, 41786, 41788, 46101–46578...... 18 212...... 44593 41791, 41794, 42754, 43437, 46579–46756...... 19 214...... 44593 43440, 43443, 43446, 43449, 245...... 44593 43451, 43454, 44314, 44316, 274a...... 44593 44319, 44321, 44324, 44652,

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44655, 44657, 44660, 44663, 30 CFR 43418, 43954, 43956, 43960, 20...... 44635 46160, 46162, 46164, 46167, 43962, 44614, 44616, 45870, Proposed Rules: 54...... 41408 46626, 46629 950...... 41907 45871 73...... 42742, 43470 71 ...... 41412, 43144, 43456, 180 ...... 41895, 43964, 44618, Proposed Rules: 44668, 44670, 44671, 44674 31 CFR 44620, 44623, 45888, 46156 2...... 46641, 46644 721 ...... 45651, 46123, 46133 Proposed Rules: 15...... 46661 15 CFR Proposed Rules: 210...... 46631 20...... 44681 740...... 46590 52 ...... 41413, 41416, 41421, 27...... 44329 742...... 46590 32 CFR 41426, 41914, 43459, 43461, 73...... 41916, 43145 743...... 46590 43613, 43615, 43617, 43984, 74...... 43145 748...... 46590 117...... 46597 45939, 45947, 45950, 46169 758...... 46590 269...... 46599 62...... 46639 48 CFR 774...... 46590 33 CFR 81...... 44677, 45950 922...... 45860 86...... 43469, 43726 Ch. I...... 44228, 44255 100 ...... 43087, 43913, 44273, 120...... 41911 2...... 44229 17 CFR 44606, 45644, 46115 174...... 41809 7...... 44229 117...... 43914 249...... 45631 180...... 41809 10...... 44229 127...... 43915 241...... 44604 423...... 41801 11...... 44229 154...... 43915 600...... 43469, 43726 18 CFR 156...... 43915 12...... 44229 705...... 41802 19 ...... 44233, 44247, 44249 4...... 42710 165 ...... 41402, 41404, 41713, 41715, 42716, 43089, 43091, 42 CFR 39...... 44229 5...... 42710 42...... 44249, 44255 43413, 44275, 44608, 44610, 110...... 45655 153...... 43077 52 ...... 44233, 44249, 44255 157...... 43077 45647, 45648, 45650, 45862, 411...... 42424 284...... 43590 45864, 45866, 45868, 46117, 412...... 42608, 44774 46601, 46603 413...... 42424, 44774 49 CFR 19 CFR 414...... 42362 Proposed Rules: 1002...... 44282 Proposed Rules: 100...... 41798, 41909 418...... 42528 110...... 45936 425...... 44774 Proposed Rules: 102...... 42758 171...... 43844 177...... 42758 165 ...... 42758, 44326, 45699, 455...... 44774 46636 483...... 42424 172...... 43844 20 CFR 328...... 41911 489...... 42424 173...... 43844 175...... 43844 404...... 41382 495...... 44774 34 CFR Proposed Rules: 176...... 43844 178...... 43844 21 CFR Ch. III ...... 42718 412...... 42018 180...... 43844 201...... 41383 Ch. VI...... 44277 416...... 42018 419...... 42018 371...... 43814 801...... 41383 Proposed Rules: 375...... 43814 1308...... 44270 Ch. VI...... 43609 447...... 41803 512...... 42018 571...... 42762 Proposed Rules: 37 CFR 513...... 43618 575...... 42762 1308...... 43978 201...... 46119 43 CFR 22 CFR 203...... 46119 50 CFR 8360...... 42735 Proposed Rules: 221...... 46119 17 ...... 41742, 41743, 43102, 51...... 43458 44 CFR 45685, 46536 38 CFR 206...... 45660 18...... 42982 25 CFR 3...... 42724 20...... 45909 150...... 45631 38...... 43091 45 CFR 226...... 41668 39...... 43091 1174...... 44626 622...... 43117 26 CFR 635 ...... 42743, 43118, 43420, 39 CFR Proposed Rules: 1...... 42715, 42716 180...... 42018 43421 111...... 43415 660...... 43967 28 CFR 121...... 43941 46 CFR 665...... 42744 2...... 45860, 45861 Proposed Rules: 30...... 42738 679...... 42746 3050...... 44676 150...... 42738 Proposed Rules: 29 CFR 153...... 42738 17...... 41917, 43470 Proposed Rules: 40 CFR 223...... 41935 10...... 41907 9 ...... 45651, 46123, 46133 47 CFR 229...... 43491 23...... 41907 52 ...... 41406, 41716, 42733, 9...... 45982 635...... 43151

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