FEDERAL REGISTER
Vol. 86 Monday No. 121 June 28, 2021
Pages 33853–34124
OFFICE OF THE FEDERAL REGISTER
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Contents Federal Register Vol. 86, No. 121
Monday, June 28, 2021
Agricultural Marketing Service Commodity Futures Trading Commission PROPOSED RULES NOTICES Tomatoes Grown in Florida: Meetings: Reapportionment of Membership, 33913–33915 Market Risk Advisory Committee, 33993–33994 NOTICES Opportunity for Designation: Consumer Product Safety Commission West Lafayette, IN Area, 33967 NOTICES United States Standards for Beans, 33968–33969 Meetings; Sunshine Act, 33994
Agriculture Department Defense Department See Agricultural Marketing Service RULES See Forest Service Medical Malpractice Claims by Members of the Uniformed See Rural Business-Cooperative Service Services: Correction, 33885 Census Bureau NOTICES NOTICES Designation of Chinese Military Companies under the Agency Information Collection Activities; Proposals, William M. (Mac) Thornberry National Defense Submissions, and Approvals: Authorization Act for FY21, 33994–33995 2021 Business Enterprise Research and Development Removal of the Designation as Communist Chinese Military Survey, 33978–33979 Companies under the Strom Thurmond National Defense Authorization Act for FY99, 33994 Centers for Disease Control and Prevention NOTICES Drug Enforcement Administration Temporary Halt in Residential Evictions to Prevent the RULES Further Spread of COVID–19, 34010–34018 Registration Requirements for Narcotic Treatment Programs with Mobile Components, 33861–33885 Centers for Medicare & Medicaid Services NOTICES RULES Bulk Manufacturer of Controlled Substances Application: Medicare Program: Chemic Laboratories, 34045 Hospital Outpatient Prospective Payment and Importer of Controlled Substances Application: Ambulatory Surgical Center Payment Systems and AMRI Rensselaer, Inc., 34045 Quality Reporting Programs; etc., 33902 Education Department NOTICES Children and Families Administration Meetings: NOTICES National Advisory Committee on Institutional Quality Agency Information Collection Activities; Proposals, and Integrity, 33995–33997 Submissions, and Approvals: Community Services Block Grant Model State Plan Employee Benefits Security Administration Applications, 34018 NOTICES Exemption Application: Civil Rights Commission Certain Prohibited Transaction Restrictions Involving the NOTICES Electrical Insurance Trustees Insurance Fund and the Meetings: Electrical Joint Apprenticeship and Training Trust New York Advisory Committee; Correction, 33978 (the Plans or the Applicants), Alsip, IL, 34054–34056 Proposed Exemption for Certain Prohibited Transaction Coast Guard Restrictions: RULES Mitsubishi UJF Trust and Banking Corp., New York, NY, Drawbridge Operations: 34048–34054 Gulf Intracoastal Waterway, Madeira Beach, FL, 33885– 33887 Energy Department Safety Zones: See Federal Energy Regulatory Commission Annual Fireworks Displays within the Captain of the Port See Western Area Power Administration Sector Puget Sound Area of Responsibility, 33887 NOTICES Seafair Air Show Performance, Seattle, WA, 33887–33888 Agency Information Collection Activities; Proposals, Upper Potomac River, Washington, DC, 33888–33890 Submissions, and Approvals: Aircraft Services—Flight Request, 33997 Commerce Department See Census Bureau Environmental Protection Agency See Foreign-Trade Zones Board RULES See International Trade Administration Approval of State Coal Combustion Residuals Permit See National Institute of Standards and Technology Program: See National Oceanic and Atmospheric Administration Texas, 33892–33902
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Exemption from the Requirement of a Tolerance: Food and Drug Administration 1-Aminocyclopropane-1-carboxylic Acid (1-ACC), 33890– NOTICES 33892 Determination of Regulatory Review Period for Purposes of PROPOSED RULES Patent Extension: Receipt of Pesticide Petitions Filed for Residues of GORE CARDIOFORM ASD OCCLUDER, 34023–34025 Pesticide Chemicals in or on Various Commodities— Smallpox and Monkeypox Vaccine, Live, 34018–34020 June 2021, 33922–33926 TAZVERIK, 34022–34023 Toxic Substances Control Act Reporting and Recordkeeping Guidance: Requirements for Perfluoroalkyl and Polyfluoroalkyl Sponsor Responsibilities—Safety Reporting Requirements Substances, 33926–33966 and Safety Assessment for Investigational New Drug NOTICES Application and Bioavailability/Bioequivalence Access to Confidential Business Information by Avanti Studies; Draft Guidance, 34020–34022 Corp., 34005–34006 Agency Information Collection Activities; Proposals, Foreign-Trade Zones Board Submissions, and Approvals: NOTICES Revisions to the Resource Conservation and Recovery Act Application for Reorganization under Alternative Site Definition of Solid Waste, 34008–34009 Framework: Safer Choice Program Product and Partner Recognition Caddo-Bossier Parishes Port Commission, Foreign-Trade Activities; Comment Request, 34006–34007 Zone 145, Shreveport, LA, 33979–33980
Federal Aviation Administration Forest Service PROPOSED RULES NOTICES Airspace Designations and Reporting Points: Meetings: Malden, MO, 33920–33922 Eastern Idaho Resource Advisory Committee, 33969 Airworthiness Directives: Bell Textron Canada Limited (Type Certificate Previously Health and Human Services Department Held by Bell Helicopter Textron Canada Limited) See Centers for Disease Control and Prevention Helicopters, 33918–33920 See Centers for Medicare & Medicaid Services Pacific Aerospace Limited Airplanes, 33915–33916 See Children and Families Administration Viking Aircraft Limited Airplanes, 33916–33918 See Food and Drug Administration Federal Communications Commission See National Institutes of Health NOTICES RULES Agency Information Collection Activities; Proposals, Allocation of Spectrum for Non-Federal Space Launch Submissions, and Approvals, 34025–34026 Operations, 33902–33910 Requests for Nominations: Federal Energy Regulatory Commission Opportunity to Become a Healthy People 2030 Champion, 34026–34028 RULES Participation of Distributed Energy Resource Aggregations in Markets Operated by Regional Transmission Homeland Security Department Organizations and Independent System Operators, See Coast Guard 33853–33861 See U.S. Citizenship and Immigration Services NOTICES See U.S. Customs and Border Protection Application: Roaring Fork Interstate Gas Transmission, LLC; Kaiser- Interior Department Frontier Midstream, LLC, 34000–34002 See Fish and Wildlife Service Combined Filings, 33998–34000 See Land Management Bureau Records Governing Off-the-Record Communications, 33998 See National Park Service See Surface Mining Reclamation and Enforcement Office Federal Maritime Commission NOTICES NOTICES Agency Information Collection Activities; Proposals, Agreements Filed, 34009–34010 Submissions, and Approvals: Donor Certification Form, 34036–34037 Federal Motor Carrier Safety Administration NOTICES International Trade Administration Qualification of Drivers; Exemption Applications: NOTICES Vision, 34111–34114 Antidumping or Countervailing Duty Investigations, Orders, or Reviews: Federal Reserve System Certain Activated Carbon from the People’s Republic of NOTICES China, 33988–33991 Changes in Bank Control: Certain Cold-Drawn Mechanical Tubing of Carbon and Acquisitions of Shares of a Bank or Bank Holding Alloy Steel from India, 33980–33982 Company, 34010 Certain Frozen Warmwater Shrimp from Thailand, 33984–33986 Fish and Wildlife Service Crystalline Silicon Photovoltaic Cells, Whether or Not NOTICES Assembled into Modules, from the People’s Republic Endangered and Threatened Species: of China, 33982–33984 Receipt of Recovery Permit Applications, 34031–34036 Large Residential Washers from Mexico, 33986–33988
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International Trade Commission National Institutes of Health NOTICES NOTICES Investigations; Determinations, Modifications, and Rulings, Meetings: etc.: Center for Scientific Review, 34028 Certain Power Inverters and Converters, Vehicles Clinical Center Research Hospital Board, 34028–34029 Containing the Same, and Components Thereof, National Cancer Institute, 34028 34042–34043 National Oceanic and Atmospheric Administration Judicial Conference of the United States RULES NOTICES Coastal Migratory Pelagic Resources of the Gulf of Mexico Meetings: and Atlantic Region: Advisory Committee on Appellate Rules, 34043 2020-2021 Commercial Closure for King Mackerel in the Advisory Committee on Bankruptcy Rules, 34043–34044 Gulf of Mexico Northern Zone, 33911 Advisory Committee on Civil Rules, 34044 Commercial Closure for Atlantic Spanish Mackerel in the Advisory Committee on Criminal Rules, 34044 Northern Zone, 33911–33912 Advisory Committee on Evidence Rules, 34044 NOTICES Committee on Rules of Practice and Procedure, 34044 Meetings: Evaluation of National Estuarine Research Reserve, 33992 Justice Department Gulf of Mexico Fishery Management Council, 33992– See Drug Enforcement Administration 33993 See Justice Programs Office Sanctuary System Business Advisory Council, 33993 NOTICES Agency Information Collection Activities; Proposals, National Park Service Submissions, and Approvals: NOTICES National Crime Victimization Survey, 34046–34047 Boundary Revision: Survey of Sexual Victimization, 34045–34046 Niobrara National Scenic River, 34039–34041 Designation: Justice Programs Office Official Trail Marker for the New England National NOTICES Scenic Trail, 34038–34039 Agency Information Collection Activities; Proposals, Submissions, and Approvals: National Science Foundation Death in Custody Reporting Act Collection, 34047–34048 NOTICES Meetings: Labor Department Proposal Review Panel for Physics, 34056 See Employee Benefits Security Administration
Land Management Bureau Nuclear Regulatory Commission NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals: Surveys and Focus Groups To Support Outcomes- Acquisition Regulation, 34058–34059 Focused Management (Recreation Survey and Focus Guidance: Groups), 34037 Volcanic Hazards Assessment for Proposed Nuclear Closure of Public Land: Power Reactor Sites, 34057–34058 Maricopa County, AZ, 34037–34038 Meetings; Sunshine Act, 34056–34057
Morris K. and Stewart L. Udall Foundation Personnel Management Office NOTICES NOTICES Meetings; Sunshine Act, 34056 Agency Information Collection Activities; Proposals, Submissions, and Approvals: National Aeronautics and Space Administration Application for Refund of Retirement Deductions, and NOTICES Current/Former Spouse(s) Notification of Application Request for Information: for Refund of Retirement Deductions under Federal Advancing Racial Equity and Support for Underserved Employees Retirement System, 34060–34061 Communities, Contracts and Grants; Correction, Marital Status Certification Survey, 34059 34056 Request for Change to Unreduced Annuity, 34059–34060 Verification of Who is Getting Payments, 34060 National Highway Traffic Safety Administration NOTICES Railroad Retirement Board Petition for Decision of Inconsequential Noncompliance: NOTICES Volvo Group North America, LLC, 34115–34116 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 34061–34064 National Institute of Standards and Technology NOTICES Rural Business-Cooperative Service Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Request for Applications: Events and Efforts Supporting Cybersecurity Career Agriculture Innovation Demonstration Center Grants, Awareness Week, 33991–33992 33969–33978
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Science and Technology Policy Office Treasury Department NOTICES NOTICES Request for Information: Agency Information Collection Activities; Proposals, Improve Federal Scientific Integrity Policies, 34064– Submissions, and Approvals, 34120–34121 34066 U.S. Citizenship and Immigration Services Securities and Exchange Commission NOTICES NOTICES Agency Information Collection Activities; Proposals, Application: Submissions, and Approvals: Capital Southwest Corp., 34066–34069 Request for Hearing on a Decision in Naturalization Lord Abbett Floating Rate High Income Fund, et al., Proceedings, 34030–34031 34107–34109 Meetings; Sunshine Act, 34080, 34084 U.S. Customs and Border Protection Self-Regulatory Organizations; Proposed Rule Changes: NOTICES Financial Industry Regulatory Authority, Inc., 34084– Agency Information Collection Activities; Proposals, 34096 Submissions, and Approvals: Investors Exchange, LLC, 34069–34074 Application to Use Automated Commercial Environment, Nasdaq BX, Inc., 34074–34077 34029–34030 Nasdaq GEMX, LLC, 34104–34107 Nasdaq ISE, LLC, 34096–34101 Veterans Affairs Department Nasdaq MRX, LLC, 34077–34080 NOTICES Nasdaq PHLX, LLC, 34101–34104 Agency Information Collection Activities; Proposals, New York Stock Exchange, LLC, 34080–34084 Submissions, and Approvals: NYSE Arca, Inc., 34107 Application for Conversion, 34122 Certification Regarding Debarment, Suspension, State Department Ineligibility and Voluntary Exclusion, and Specially RULES Adaptive Housing Assistive Technology Grants Acquisition Regulations: Criteria and Responses, 34121 Safety Requirements, 33910 Enrollment Certification, 34121–34122 On-The-Job Training Agreement, 34122–34123 Surface Mining Reclamation and Enforcement Office NOTICES Western Area Power Administration Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Proposed Salt Lake City Area Integrated Projects Firm Areas Designated by Act of Congress, 34041 Power Rate and Colorado River Storage Project Grants to States and Tribes, 34041–34042 Transmission and Ancillary Services Rates: Rate Order No. WAPA–199, 34002–34005 Surface Transportation Board NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals: Reader Aids Rail Carrier Financial Reports, 34109–34111 Consult the Reader Aids section at the end of this issue for phone numbers, online resources, finding aids, and notice Transportation Department of recently enacted public laws. See Federal Aviation Administration To subscribe to the Federal Register Table of Contents See Federal Motor Carrier Safety Administration electronic mailing list, go to https://public.govdelivery.com/ See National Highway Traffic Safety Administration accounts/USGPOOFR/subscriber/new, enter your e-mail NOTICES address, then follow the instructions to join, leave, or Privacy Act; Systems of Records, 34116–34120 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: 966...... 33913 14 CFR Proposed Rules: 39 (3 documents) ...... 33915, 33918, 33919 71...... 33920 18 CFR 35...... 33853 21 CFR 1300...... 33861 1301...... 33861 1304...... 33861 32 CFR 45...... 33885 33 CFR 117...... 33885 165 (3 documents) ...... 33887, 33888 40 CFR 180...... 33890 257...... 33892 Proposed Rules: 174...... 33922 180...... 33922 705...... 33926 42 CFR 410...... 33902 411...... 33902 412...... 33902 414...... 33902 416...... 33902 419...... 33902 482...... 33902 485...... 33902 512...... 33902 47 CFR 2...... 33902 48 CFR 636...... 33910 637...... 33910 652...... 33910 50 CFR 622 (2 documents) ...... 33911
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Rules and Regulations Federal Register Vol. 86, No. 121
Monday, June 28, 2021
This section of the FEDERAL REGISTER ACTION: Final rule. Washington, DC 20426, (202) 502– contains regulatory documents having general 6720 applicability and legal effect, most of which SUMMARY: In this order, the Federal are keyed to and codified in the Code of Energy Regulatory Commission SUPPLEMENTARY INFORMATION: Federal Regulations, which is published under (Commission) addresses arguments Table of Contents 50 titles pursuant to 44 U.S.C. 1510. raised on rehearing, sets aside in part The Code of Federal Regulations is sold by and clarifies in part Order No. 2222–A. the Superintendent of Documents. DATES: This rule will become effective August 27, 2021. FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF ENERGY David Kathan (Technical Information), Federal Energy Regulatory Office of Energy Policy and Commission Innovation, Federal Energy Regulatory Commission, 888 First Street NE, 18 CFR Part 35 Washington, DC 20426, (202) 502– 6404 [Docket No. RM18–9–003; Order No. 2222– Nicole Businelli (Technical B] Information), Office of Energy Market Participation of Distributed Energy Regulation, Federal Energy Regulatory Resource Aggregations in Markets Commission, 888 First Street NE, Operated by Regional Transmission Washington, DC 20426, (202) 502– Organizations and Independent 8253 System Operators Christopher Chaulk (Legal Information), Office of the General Counsel—Energy AGENCY: Federal Energy Regulatory Markets, Federal Energy Regulatory Commission, Department of Energy. Commission, 888 First Street NE,
Paragraph Nos.
I. Introduction ...... 1 II. Discussion ...... 7 A. Order No. 719 Demand Response Opt-Out ...... 7 a. Requests for Rehearing ...... 11 i. Jurisdiction ...... 11 ii. Adequate Notice ...... 16 iii. Reasoned Decision-Making ...... 19 b. Commission Determination ...... 26 B. Definition of Demand Response for Purposes of Applying the Order No. 719 Opt-Out to Heterogeneous Distrib- uted Energy Resource Aggregations ...... 30 a. Request for Clarification ...... 32 b. Commission Determination ...... 35 C. Double Counting and Compensation for Behind-the-Meter Distributed Energy Resources That Reduce Load ...... 37 a. Request for Clarification or Rehearing ...... 39 b. Commission Determination ...... 42 III. Information Collection Statement ...... 46 IV. Regulatory Flexibility Act ...... 47 V. Document Availability ...... 48 VI. Effective Date and Congressional Notification ...... 51
I. Introduction Transmission Organization (RTO) and markets (RTO/ISO markets).2 1. On September 17, 2020, the Federal Independent System Operator (ISO) Specifically, the Commission found that Energy Regulatory Commission existing RTO/ISO market rules are (Commission) issued its final rule (final Transmission Organizations and Independent unjust and unreasonable in light of System Operators, Order No. 2222, 85 FR 67094 barriers that they present to the rule or Order No. 2222) adopting (Oct. 1, 2020), 172 FERC ¶ 61,247, at P 1 n.1 (2020), reforms to remove barriers to the corrected, 85 FR 68450 (Oct. 29, 2020), order on participation of distributed energy participation of distributed energy reh’g, Order No. 2222–A, 86 FR 16511 (Mar. 24, resource aggregations in RTO/ISO 1 2011), 174 FERC ¶ 61,197 (2021); 18 CFR markets, which reduce competition and resource aggregations in the Regional 35.28(b)(10). These resources may include, but are not limited to, resources that are in front of and 1 Order No. 2222 amended the Commission’s behind the customer meter, electric storage 2 For purposes of Order No. 2222, the regulations to define a distributed energy resource resources, intermittent generation, distributed Commission defined RTO/ISO markets as the as any resource located on the distribution system, generation, demand response, energy efficiency, capacity, energy, and ancillary services markets any subsystem thereof or behind a customer meter. thermal storage, and electric vehicles and their operated by the RTOs and ISOs. Order No. 2222, Participation of Distributed Energy Resource supply equipment. Order No. 2222, 172 FERC 172 FERC ¶ 61,247 at P 1 n.2; see also 18 CFR Aggregations in Markets Operated by Regional ¶ 61,247 at PP 1 n.1, 114. 35.28(b)(11).
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fail to ensure just and reasonable rates.3 Mississippi Public Service Commission Order No. 2222–A and set aside the To help ensure that RTO/ISO markets (together, the Southern Regulators); the decision, in part, and clarify in part, as produce just and reasonable rates, National Association of Regulatory discussed below.15 pursuant to the Commission’s legal Utility Commissioners (NARUC); the 6. Specifically, we set aside the authority under Federal Power Act North Carolina Utilities Commission decision in Order No. 2222–A to decline (FPA) section 206,4 the Commission, in (the North Carolina Commission); and to extend the opt-out and opt-in Order No. 2222, modified § 35.28 5 of the MISO Transmission Owners 11 filed requirements of Order Nos. 719 and the Commission’s regulations to require timely requests for rehearing of Order 719–A to demand response resources each RTO/ISO to revise its tariff to No. 2222–A. On April 19, 2021, participating in heterogeneous ensure that its market rules facilitate the Advanced Energy Economy and distributed energy resource participation of distributed energy Advanced Energy Management Alliance aggregations. We also provide further resource aggregations.6 (together, AEE/AEMA) filed a request clarification regarding appropriate 2. More specifically, Order No. 2222 for clarification, or in the alternative, restrictions to avoid double counting of requires each RTO/ISO to revise its tariff rehearing of Order No. 2222–A. On services and the compensation of to establish distributed energy resource April 19, 2021, Voltus, Inc. (Voltus) demand response resources that aggregators as a type of market filed a request for clarification of Order participate in heterogeneous distributed participant that can register distributed No. 2222–A. On April 30, 2021, the energy resource aggregations, as energy resource aggregations under one Midcontinent Independent System discussed further below. or more participation models in the Operator, Inc. (MISO) filed an answer in RTO/ISO tariff that accommodate the response to the rehearing requests. On II. Discussion physical and operational characteristics May 4, 2021, ISO New England Inc. A. Order No. 719 Demand Response of each distributed energy resource (ISO–NE) filed an answer to AEE/ Opt-Out aggregation.7 AEMA’s request. On May 14, 2021, 3. On March 18, 2021, the AEE/AEMA filed an answer in response 7. In Order No. 2222, the Commission Commission issued Order No. 2222–A, to ISO–NE’s answer. On May 28, 2021, stated that the final rule does not affect which addressed arguments raised on AEE/AEMA filed an answer in response the ability of relevant electric retail rehearing, set aside in part, and clarified to the requests for rehearing and MISO’s regulatory authorities (RERRA) to in part the Commission’s answer.12 prohibit retail customers’ demand determinations in Order No. 2222. 5. Pursuant to Allegheny Defense response from being bid into RTO/ISO While the Commission largely affirmed 13 markets by aggregators pursuant to Project v. FERC, the rehearing requests 16 its findings in Order No. 2222, the filed in this proceeding may be deemed Order No. 719. The Commission also Commission set aside the finding that denied by operation of law. However, as stated that, because the definition of a the participation of demand response in permitted by section 313(a) of the distributed energy resource includes distributed energy resource aggregations FPA,14 we modify the discussion in demand response resources, an is subject to the opt-out and opt-in aggregator of demand response could requirements of Order Nos. 719 and 11 The MISO Transmission Owners consist of participate as a distributed energy 8 719–A. The Commission stated that if Ameren Services Company, as agent for Union resource aggregator, but that the final a distributed energy resource Electric Company d/b/a Ameren Missouri, Ameren rule does not affect existing demand aggregation is composed solely of Illinois Company d/b/a Ameren Illinois and response rules.17 The Commission resources that participate as demand Ameren Transmission Company of Illinois; Big Rivers Electric Corporation; Central Minnesota further found that the participation of response resources, then the Order No. Municipal Power Agency; City Water, Light & demand response in distributed energy 719 opt-out would apply to that Power (Springfield, IL); Cleco Power LLC; resource aggregations is subject to the aggregation, but if a distributed energy Cooperative Energy; Dairyland Power Cooperative; opt-out and opt-in requirements of Duke Energy Business Services, LLC for Duke resource aggregation contains any 18 Energy Indiana, LLC; East Texas Electric Order Nos. 719 and 719–A. The resources that participate as another Cooperative; Entergy Arkansas, LLC; Entergy Commission therefore clarified that if type of distributed energy resource, then Louisiana, LLC; Entergy Mississippi, LLC; Entergy the RERRA for a demand response the Order No. 719 opt-out would not New Orleans, LLC; Entergy Texas, Inc; Great River resource has either chosen to opt out or apply to that aggregation.9 In addition, Energy; GridLiance Heartland LLC; Hoosier Energy Rural Electric Cooperative, Inc.; Indiana Municipal has not opted in, then the demand as relevant here, the Commission Power Agency; Indianapolis Power & Light response resource may not participate in provided clarification regarding Company; Lafayette Utilities System; MidAmerican a distributed energy resource restrictions to avoid double counting of Energy Company; Minnesota Power (and its aggregation. services.10 subsidiary Superior Water, L&P); Missouri River Energy Services; Montana-Dakota Utilities Co.; 8. In Order No. 2222–A, the 4. On April 19, 2021, the Edison Northern Indiana Public Service Company LLC; Commission set aside in part the Electric Institute (EEI); the Louisiana Northern States Power Company, a Minnesota Commission’s conclusion that the Public Service Commission and the corporation, and Northern States Power Company, a Wisconsin corporation, subsidiaries of Xcel participation of demand response in Energy Inc.; Northwestern Wisconsin Electric distributed energy resource aggregations 3 Order No. 2222, 172 FERC ¶ 61,247 at P 1. Company; Otter Tail Power Company; Prairie is subject to the opt-out and opt-in 4 16 U.S.C. 824e. Power, Inc.; Illinois Power Cooperative; Southern requirements of Order Nos. 719 and 5 18 CFR 35.28. Indiana Gas & Electric Company (d/b/a Vectren 6 Order No. 2222, 172 FERC ¶ 61,247 at P 1. Energy Delivery of Indiana); Southern Minnesota 7 Id. P 6. Municipal Power Agency; Wabash Valley Power appeals, as provided in subsection (b), the 8 Order No. 2222–A, 174 FERC ¶ 61,197 at P 22; Association, Inc.; and Wolverine Power Supply Commission may at any time, upon reasonable see Wholesale Competition in Regions with Cooperative, Inc. notice and in such manner as it shall deem proper, Organized Electric Markets, Order No. 719, 73 FR 12 Rule 713(d)(1) of the Commission’s Rules of modify or set aside, in whole or in part, any finding 64100 (Oct. 28, 2008), 125 FERC ¶ 61,071, at P 155 Practice and Procedure, 18 CFR 385.713(d)(1), or order made or issued by it under the provisions (2008), order on reh’g, Order No. 719–A, 74 FR prohibits an answer to a request for rehearing. of this chapter.’’). 37776 (July 29, 2009), 128 FERC ¶ 61,059, order on Accordingly, we reject ISO–NE’s, MISO’s, and AEE/ 15 Allegheny Def. Project, 964 F.3d at 16–17. reh’g, Order No. 719–B, 129 FERC ¶ 61,252 (2009). AEMA’s answers. 16 Order No. 2222, 172 FERC ¶ 61,247 at P 59 9 Order No. 2222–A, 174 FERC ¶ 61,197 at PP 22– 13 964 F.3d 1 (D.C. Cir. 2020) (en banc). (citing 18 CFR 35.28(g)(1)(iii)). 23. 14 16 U.S.C. 825l(a) (‘‘Until the record in a 17 Id. P 118. 10 Id. PP 63–64. proceeding shall have been filed in a court of 18 Id. P 145.
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719–A.19 The Commission stated that, range of services in RTO/ISO markets.26 Regulators argue that EPSA requires a upon reconsideration, it declined to The Commission stated that applying careful balancing of the interests of the extend this opt-out to demand response the Order No. 719 opt-out to states and those of the Commission in resources that participate in aggregations that contain a combination order to determine whether the heterogeneous distributed energy of demand response and other types of Commission has and/or should exercise resource aggregations—i.e., distributed distributed energy resources could jurisdiction under the FPA. The energy resource aggregations that are prevent distributed energy resource Southern Regulators argue that in Order made up of different types of resources aggregators from incorporating the No. 2222–A the Commission including demand response.20 The complementary capabilities of existing disregarded the concept of cooperative Commission found that heterogeneous and future demand response federalism upon which the Court relied distributed energy resource aggregations technologies. The Commission also to reach its decision, a concept that include demand response resources found that precluding demand response fundamental to the balance of do not fall squarely within the Order from participating in heterogeneous overlapping jurisdiction under the No. 719 opt-out, as set forth in the distributed energy resource aggregations FPA.32 The Southern Regulators argue Commission’s regulations, because they would undermine the Commission’s that the Court concluded that, when it are not solely aggregations of retail goal of ‘‘ensur[ing] a technology-neutral comes to retail customer participation in customers.21 The Commission stated approach to distributed energy resource wholesale markets, states have the last that the Order No. 719 opt-out will aggregations, which will ensure that word.33 The Southern Regulators argue continue to apply to aggregations made more resources are able to participate in that the Commission’s historic practice up solely of resources that participate as such aggregations, thereby helping to in areas where federal and state demand response resources, consistent enhance competition and ensure just jurisdiction overlap has been to 27 with the Commission’s regulations.22 and reasonable rates.’’ recognize that balance, as it did in Order 10. The Commission stated that it did No. 1000.34 The Southern Regulators 9. The Commission found that not propose to overturn the Order No. argue that Order No. 2222–A offers no extending the Order No. 719 opt-out to 719 opt-out in this rulemaking and, to discussion of or replacement for the demand response resources in the extent that parties asked the state opt-out authority that would heterogeneous distributed energy Commission to do so on rehearing, it evidence the Commission’s resource aggregations would undermine found that such requests were out of ‘‘compliance with § 824(b)’s allocation the potential of Order No. 2222 to break 28 scope. The Commission also clarified of federal and state authority.’’ 35 down barriers to competition, which that the small utility opt-in adopted in 13. The North Carolina Commission would interfere with the Commission’s Order No. 2222 still applies to all similarly argues that the Commission responsibility to ensure that wholesale distributed energy resource 23 did not account for the long-standing rates are just and reasonable. aggregations, including those containing authority of the states and the Specifically, the Commission concluded demand response resources. traditional, cooperative roles played by that extending the Order No. 719 opt- a. Requests for Rehearing federal and state regulators in promoting out to demand response resources that adequate, reliable, safe, clean, and seek to participate in heterogeneous i. Jurisdiction affordable electric services.36 The North distributed energy resource aggregations 11. Some petitioners argue that the Carolina Commission argues that the would undermine the ability of Commission’s opt-out finding in Order cooperative federalism inherent in the aggregations to take advantage of the No. 2222–A violated the Commission’s FPA and the regulation of wholesale different resources’ operational jurisdiction under the FPA or usurped and retail electric service requires a role attributes and complementary state authority.29 The Southern 37 24 for both federal and state regulators. capabilities. The Commission stated Regulators argue that the Commission The North Carolina Commission that ensuring that demand response failed to properly balance the maintains that the Commission’s action resources can combine with other forms jurisdictional limitations of the FPA does not encourage utility participation of distributed energy resources has the with the states’ exclusive jurisdiction in an RTO/ISO or encourage a state potential to increase both the number over retail issues in its decision to commission to allow a utility’s RTO/ISO and the variety of distributed energy exercise authority over retail demand 38 25 participation. resource aggregations. The response.30 14. NARUC argues that, by Commission explained that, in addition 12. The Southern Regulators argue eliminating the opt-out for demand to enhancing competition, diversity in that the Commission contravened EPSA response resources in heterogeneous distributed energy resource aggregations because, in their view, the Supreme aggregations, the Commission usurped facilitates these non-traditional Court concluded that it is precisely a authority from states that used the Order resources’ ability to provide a wide state’s right to opt out of participation by retail customers in an RTO demand 32 Id. at 12. 19 Order No. 2222–A, 174 FERC ¶ 61,197 at P 22. response wholesale market that ensures 33 Id. at 14 (citing EPSA, 136 S. Ct. at 780). 20 Id. PP 22–23. the balance of federal and state power 34 Id. at 13–14 (citing Transmission Planning and 21 Id. P 23 (citing 18 CFR 35.28(g)(1)(iii); 18 CFR under the FPA.31 The Southern Cost Allocation by Transmission Owning and 35.28(b)(10), (g)(12); Order No. 2222, 172 FERC Operating Public Utilities, Order No. 1000, 76 FR ¶ 61,247 at P 114); id. P 28 (concluding that if a 49842 (Aug. 11, 2011), 136 FERC ¶ 61,051, at PP distributed energy resource aggregator aggregates 26 Id. P 26 (citing Order No. 2222, 172 FERC 225–27, 287 (2011), order on reh’g, Order No. 1000– only demand response resources, it is materially ¶ 61,247 at P 141). A, 77 FR 32184 (May 31, 2012), 139 FERC ¶ 61,132, indistinct from the aggregations of retail customers 27 Id. P 27 (quoting Order No. 2222, 172 FERC at P 392, order on reh’g and clarification, Order No. subject to the Order No. 719 opt-out). ¶ 61,247 at P 26). 1000–B, 77 FR 64890 (Oct. 24, 2012), 141 FERC 22 Id. P 22 (emphasis in original). 28 Id. P 28. ¶ 61,044 (2012), aff’d sub nom. S.C. Pub. Serv. 23 Id. P 23 (citing Order No. 2222, 172 FERC 29 NARUC Request for Rehearing at 3, 5; Southern Auth. v. FERC, 762 F.3d 41 (D.C. Cir. 2014)). ¶ 61,247 at PP 1, 3, 142; Nat’l Ass’n of Regul. Util. Regulators Request for Rehearing at 12. 35 Id. at 15 (quoting EPSA, 136 S. Ct. at 780). Comm’rs v. FERC, 964 F.3d 1177, 1189 (D.C. Cir. 30 Southern Regulators Request for Rehearing at 36 North Carolina Commission Request for 2020) (NARUC)). 12. Rehearing at 10. 24 Id. P 24. 31 Id. at 13 (citing FERC v. EPSA, 136 S. Ct. 760, 37 Id. at 11. 25 Id. P 25. 779–80 (2016) (EPSA)). 38 Id. at 10.
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No. 719 opt-out and built a legal method to modify the opt-out is in the eliminating the opt-out in Order No. framework for that regulatory scheme.39 proceeding in Docket No. RM21–14–000 2222–A were present at the time Order NARUC argues that Order No. 2222–A that was noticed for this purpose.48 The No. 719 was issued, and that the allows a demand response resource to Southern Regulators argue that nothing Commission has not explained why disregard the judgment of state in the Notice of Proposed Rulemaking in those reasons now require elimination regulators by joining a third-party Docket No. RM16–23–000 49 indicated of the opt-out.56 aggregation with other types of an effort or intent by the Commission to 20. Next, several petitioners claim resources.40 In addition, NARUC argues, reconsider the Order No. 719 opt-out.50 that the Commission failed to the order allows third-party aggregators 17. The Southern Regulators argue acknowledge the states’ role in of demand response resources to add a that they were prejudiced by the overseeing demand response activities solitary unit of a different type of Commission’s failure to provide notice within their borders.57 The MISO distributed energy resource to its that the Order No. 719 opt-out was at Transmission Owners assert that the aggregations to circumvent state law. risk in Docket No. RM18–9.51 The Commission failed to consider the effect 15. NARUC disputes the Southern Regulators and the North that limiting the opt-out will have on Commission’s position that ‘‘[b]ecause Carolina Commission explain that they states’ ability to control consumer costs, the terms of wholesale market have provisions restricting aggregators and the Southern Regulators argue that participation are a matter under of retail customers in their respective the Commission’s opt-out decision exclusive Commission jurisdiction, jurisdictions.52 The Southern Regulators unreasonably restricts the ability of today’s order does not infringe upon or maintain that, because the NOPR offered states to protect retail customers.58 otherwise diminish state authority.’’ 41 no hint that the opt-out was in jeopardy, 21. Next, some petitioners argue that NARUC argues that the Commission’s they had no reason to oppose the Commission relies on a false action in Order No. 2222–A is unlike elimination of the opt-out in the distinction between heterogeneous and the Commission’s decisions in Order rulemaking docket or actively homogeneous distributed energy Nos. 841 and 2222 because there were participate in the other portions of the resource aggregations to justify no state regulations already in place.42 rulemaking affecting demand response eliminating state opt-out authority.59 NARUC explains that there was no need resources. 22. NARUC challenges the prior to Order No. 841 for states to 18. In addition, NARUC and the Commission’s finding that prohibit storage resources on the Southern Regulators argue that ‘‘heterogeneous distributed energy distribution system or behind the meter eliminating the Order No. 719 opt-out resource aggregations that include from participating in wholesale markets for demand response resources in demand response resources do not fall because that was not possible before the heterogeneous aggregations is outside 53 squarely within the Order No. 719 opt- order.43 NARUC points out that the the scope of Order No. 2222. out, as set forth in our regulations challenge to Order No. 841 in NARUC iii. Reasoned Decision-Making because they are not solely aggregations was a facial challenge and argues that 19. Several petitioners argue that the of retail customers,’’ because the NARUC does not address as-applied Commission acted arbitrarily and definition of ‘‘aggregator of retail challenges.44 NARUC explains that prior capriciously by departing from its customers’’ that the Commission relies to Order No. 2222–A, some states had policy in Order Nos. 719 and 719–A in upon does not say that the aggregations regulations that applied to demand Order. No. 2222–A without are exclusively retail loads, just response aggregations on the 60 acknowledgment, an adequate ‘‘mostly.’’ NARUC argues that the distribution system or behind the meter explanation, or an examination of the Commission acted capriciously by because Order No. 719 permitted such policy considerations in support of the changing the treatment of demand participation in the wholesale opt-out.54 The MISO Transmission response resources on the distribution markets.45 NARUC argues that Order Owners further argue that the system and behind the meter without No. 2222–A takes away this authority Commission did not adequately address further evidence of the types of load over demand response resources.46 how it will enforce the policy of involved or inquiry into the experience ii. Adequate Notice avoiding unduly burdening states and of states that have employed the opt- out.61 16. Multiple petitioners argue that the retail regulators or why the policy considerations are no longer relevant.55 23. Some petitioners also object to the Commission violated the Administrative Commission’s characterization of Procedure Act (APA) by effectively The Southern Regulators contend that the Commission’s reasons for demand response resources in declining eliminating the Order No. 719 opt-out to extend the opt-out to heterogeneous without providing adequate notice and 48 distributed energy resource without soliciting comments and Southern Regulators Request for Rehearing at 10; NARUC Request for Rehearing at 8. aggregations. The Southern Regulators evidence from RERRAs that have 49 Electric Storage Participation in Markets criticize the Commission’s reliance on 47 adopted and relied upon that opt-out. Operated by Regional Transmission Organizations the ability of distributed energy The Southern Regulators and NARUC and Independent System Operators, 81 FR 86522 resources to take advantage of operating argue that the procedurally proper (Nov. 30, 2016), 157 FERC ¶ 61,121 (2016) (NOPR). 50 Southern Regulators Request for Rehearing at attributes and complementary 10. 39 NARUC Request for Rehearing at 3, 5. 51 Id. at 11. 56 Southern Regulators Rehearing Request at 8–9. 40 Id. at 6. 52 Southern Regulators Request for Rehearing at 57 See, e.g., MISO Transmission Owners 41 Id. (quoting Order No. 2222–A, 174 FERC 11; North Carolina Commission Request for Rehearing Request at 9–10 (citing EPSA, 136 S. Ct. ¶ 61,197 at P 12 n.36). Rehearing at 2–3. at 779). 42 Id. at 5. 53 NARUC Request for Rehearing at 8; Southern 58 MISO Transmission Owners Rehearing Request 43 Id. at 6. Regulators Request for Rehearing at 7. at 9–10; Southern Regulators Rehearing Request at 44 Id. (citing NARUC, 964 F.3d at 1188–89). 54 See, e.g., MISO Transmission Owners 15. 45 Id. at 6–7 (emphasis in original). Rehearing Request at 6; NARUC Rehearing Request 59 E.g., Southern Regulators Rehearing Request at 46 Id. at 7. at 8; North Carolina Commission Rehearing Request 19. 47 Southern Regulators Request for Rehearing at at 5; Southern Regulators Rehearing Request at 9. 60 NARUC Rehearing Request at 7 (quoting Order 10; EEI Request for Rehearing at 4; North Carolina 55 MISO Transmission Owners Rehearing Request No. 2222–A, 174 FERC ¶ 61,197 at P 23). Commission Request for Rehearing at 8–9. at 8–9, 11. 61 Id. at 8.
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capabilities.62 The MISO Transmission the Commission’s interpretation of the and that those states—and other entities Owners argue that, in allowing demand Order No. 719 opt-out in Order No. affected by the opt-out—may not have response resources to participate 2222–A would have exceeded the anticipated that this proceeding would through a heterogeneous aggregation, Commission’s jurisdiction under the call into question those broad the Commission did not distinguish FPA. The Southern Regulators rely on prohibitions. Given the importance of between injection and non-injection EPSA to argue that the Commission these issues, which affect both federal resources, as it previously did when failed to properly balance the and state regulatory interests,73 we maintaining the opt-out in Order Nos. jurisdictional limitations of the FPA. We believe that the better course is to 841 and 2222.63 disagree. EPSA held that the provide them full consideration through 24. Several petitioners further argue Commission’s regulation of demand the Notice of Inquiry (NOI) issued that the Commission’s decision is response participation in wholesale contemporaneously with Order No. arbitrary and capricious because it markets is a practice that directly affects 2222–A. The record under development would allow distributed energy resource wholesale rates.68 Further, the Court in that proceeding bears on many of aggregations comprised primarily of also held that the Commission’s those federal and state interests and will demand response resources to evade regulation of demand response provide an opportunity for all interested state regulations.64 resources does not regulate retail sales views to be heard and considered by the 25. Finally, EEI argues that it was in violation of FPA section 201(b).69 As Commission.74 Specifically, the NOI arbitrary and capricious for the the D.C. Circuit explained in NARUC, Commission to remove the opt-out the Court in EPSA ‘‘did not condition its Market Valued Demand Response Rider, 2019 WL without allowing an opportunity for 5212152, at *1 (Miss. Pub. Serv. Comm’n Sept. 10, holdings on the existence of an opt- 2019) (‘‘The Commission further finds that [Market public comment in Docket No. RM21– 70 out.’’ Accordingly, we continue to Valued Demand Response] Schedule MVDR–1 is 14–000, where the Commission has conclude that the Commission was not the only vehicle through which end-use retail opened a far-reaching inquiry about legally required either to grant the opt- customers and/or [aggregators of retail customers] removing the demand response opt-out out in Order No. 719 or to extend that will be permitted to participate as DR resources in from its regulations.65 EEI and the MISO the MISO wholesale market. Entergy Mississippi opt-out in this proceeding.71 will be the sole Market Participant [ ] in MISO for Transmission Owners argue that the 28. Nonetheless, we acknowledge all DR resources provided by Participants in Commission has effectively undermined that, in implementing the opt-out in [Entergy Mississippi’s] service territory.’’)). that inquiry in Docket No. RM21–14– Order No. 719, a number of states 73 Compare Order No. 2222–A, 174 FERC 000.66 ¶ 61,197 (Christie, Comm’r, dissenting at P 6) broadly prohibited demand response (‘‘Providing such flexibility to the states and other b. Commission Determination participation in RTO/ISO markets,72 RERRAs [to fully opt-out] would allow them to manage the deployment of behind-the-meter 26. Upon reviewing the requests for 68 EPSA, 136 S. Ct. at 774 (referring to the [distributed energy resources] in ways necessary to rehearing, we set aside our prior Commission’s jurisdiction under FPA sections 205 meet their own unique challenges.’’); NARUC decision not to extend the Order No. and 206 to regulate practices affecting jurisdictional Request for Rehearing at 6–7 (arguing that the rates); see also Order No. 2222, 172 FERC ¶ 61,247 Commission in Order No. 2222–A took away the 719 opt-out to demand response authority of those states that had regulations that resources that participate in at P 41 (discussing EPSA’s application to this proceeding). applied to wholesale market participation of demand response aggregations on the distribution heterogeneous distributed energy 69 EPSA, 136 S. Ct. at 784; see also Order No. system or behind the meter); with Order No. 2222– resource aggregations. As discussed 2222, 172 FERC ¶ 61,247 at P 41. A, 174 FERC ¶ 61,197 at P 23 (‘‘find[ing] that 70 below, we find that these issues are NARUC, 964 F.3d at 1189–90; see Elec. Storage extending the Order No. 719 opt-out to demand better addressed in Docket No. RM21– Participation in Mkts. Operated by Reg’l response resources in heterogeneous distributed 14–000.67 Transmission Orgs. and Indep. Sys. Operators, energy resource aggregations would undermine the Order No. 841, 83 FR 9580 (Mar. 6, 2018), 162 FERC potential of Order No. 2222 to break down barriers 27. As an initial matter, we disagree ¶ 61,127 (2018), order on reh’g and clarification, with the arguments on rehearing that to competition’’). Order No. 841–A, 84 FR 23902 (May 23, 2019), 167 74 For example, the Commission in the NOI asked: FERC ¶ 61,154, at P 40 (2019), aff’d sub nom. ‘‘What are the potential benefits of removing the 62 Southern Regulators Rehearing Request at 20 NARUC, 964 F.3d 1177 (explaining that the Court [Order No. 719 opt-out], including any benefits not (citing Order No. 2222–A, 174 FERC ¶ 61,197 at P in EPSA described how its ‘‘analysis of FERC’s considered by the Commission in Order Nos. 719 24). regulatory authority proceeds’’ without referring to and 719–A, and considering any changed 63 MISO Transmission Owners Rehearing Request an opt-out, and explaining that, when the Court circumstances that may be relevant?’’ Participation at 7 (citing Order No. 841–A, 167 FERC ¶ 61,154 at stated that it viewed the opt-out merely as the of Aggregators of Retail Demand Response P 53). ‘‘finishing blow’’ to EPSA’s already losing Customers in Markets Operated by Regional 64 EEI Rehearing Request at 4; MISO Transmission arguments that the Commission ‘‘aimed to obliterate Transmission Organizations and Independent Owners Rehearing Request at 6 n.13; North Carolina [states’] regulatory authority or override their System Operators, 86 FR 15933 (Mar. 25, 2021), 174 Commission Rehearing Request at 7–8. pricing policies,’’ that statement was not a FERC ¶ 61,198, at P 24 (2021) (question five) 65 EEI Rehearing Request at 1–2; MISO determinative part of its analysis) (quoting EPSA, (emphasis added); see id. P 25 (question 9) (‘‘To Transmission Owners Rehearing Request at 11. 136 S. Ct. at 773, 779). what extent has the [Order No. 719 opt-out] 71 66 EEI Rehearing Request at 4; MISO Transmission See Order No. 2222, 172 FERC ¶ 61,247 at P 59 prevented interference with the operation of Owners Rehearing Request at 8. (explaining that the Commission was not obligated existing retail demand response programs, or 67 The Commission has broad discretion in how to provide an opt-out in Order No. 719 but did so avoided placing an undue burden on state and local to manage its proceedings. See Vt. Yankee Nuclear as an exercise of its discretion); see also NARUC, retail regulatory entities, as noted in Order No. Power Corp. v. Natural Res. Def. Council, Inc., 435 964 F.3d at 1187 (‘‘[B]ecause FERC has the 719?’’); id. P 24 (question 6) (‘‘What are the U.S. 519, 524–25 (1978) (recognizing that agencies exclusive authority to determine who may potential benefits of creating more consistency have broad discretion over the formulation of their participate in the wholesale markets, the between the participation models for [aggregators of procedures); S.C. Pub. Serv. Auth. v. FERC, 762 Supremacy Clause . . . requires that [s]tates not retail customers] and distributed energy resource F.3d 41, 81 (D.C. Cir. 2014) (affirming the interfere.’’). aggregators by removing the [Order No. 719 opt- Commission’s discretion in how to manage the 72 See, e.g., North Carolina Commission Request out]? In light of market participation opportunities proceedings before it); Tenn. Gas Pipeline Co. v. for Rehearing at 2–3 (quoting 2010 North Carolina for energy efficiency resources, electric storage FERC, 972 F.2d 376, 381 (D.C. Cir. 1992) (‘‘The Commission decision ordering that ‘‘under North resources, and distributed energy resource agency is entitled to make reasonable decisions Carolina law and its traditional regulatory structure, aggregations, would eliminating the [Order No. 719 about when and in what type of proceeding it will Dominion’s retail customers cannot participate in opt-out] established in Order Nos. 719 and 719–A deal with an actual problem.’’) (citing Mobil Oil PJM’s wholesale markets through its demand enhance clarity for market participants and prevent Expl. & Producing Se. Inc. v. United Distrib. Cos., response programs individually or through disputes regarding the eligibility of resource 498 U.S. 211, 230 (1991) (‘‘An agency enjoys broad aggregation by a third party not regulated by the aggregations to participate in wholesale markets?’’); discretion in determining how best to handle Commission’’); Southern Regulators Request for id. (question 8) (‘‘Is there any other evidence to related, yet discrete, issues in terms of procedures Rehearing at 11 n.33 (citing Notice of Intent of suggest that RTO/ISO market rules reflecting the . . . .’’)). Entergy Mississippi, LLC to Change Rates by Filing Continued
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states that the Commission is ‘‘exploring aggregations.78 The Commission found resources ‘‘made up solely of demand whether to revise the Commission’s that requiring each RTO/ISO to allow response’’ are subject to the opt-out. regulations to remove the [Order No. heterogeneous aggregations will further Voltus maintains that the Commission 719 opt-out], recognizing that the enhance competition in RTO/ISO could have easily stated that demand Commission, when it established the markets by ensuring that response paired with behind-the-meter [Order No. 719 opt-out], balanced the complementary resources, including distributed energy resources to reduce interests and concerns of state and local those with different physical and load is a demand response resource regulatory authorities with the operational characteristics, can meet subject to the opt-out, but it did not Commission’s goal of removing barriers qualification and performance draw this distinction.82 to demand response resource requirements such as minimum run 33. Voltus argues that clarification is participation in RTO/ISO markets. times, which will help ensure that these necessary because paragraph 29 of Circumstances may have changed in the markets produce just and reasonable Order No. 2222–A has caused MISO to years since the issuance of Order Nos. rates. propose that an aggregation of demand 719 and 719–A, such that the balance 31. In Order No. 2222–A, for purposes response using behind-the-meter reflected in those orders adopting the of applying the opt-out, the Commission generation and/or storage to reduce load [Order No. 719 opt-out] may have clarified the definition of heterogeneous would be subject to the Order No. 719 shifted and the RTO/ISO market rules aggregations as ‘‘those that are made up opt-out.83 Voltus argues that this reflecting the [Order No. 719 opt-out] of different types of resources including conclusion is based on an overly broad may no longer be just and demand response as opposed to those reading of a single paragraph, which reasonable.’’ 75 To ensure an adequate made up solely of demand response.’’ 79 draws no distinction regarding whether opportunity for interested entities to The Commission found that ‘‘[t]he opt- a distributed energy resource acts to comment on the Order No. 719 opt-out out will continue to apply to reduce load. Voltus maintains that it in light of our decision to set aside aggregations made up solely of resources would be needlessly complicated if a Order No. 2222–A in part, concurrently that participate as demand response resource could evade the opt-out with this decision, the Commission is resources, consistent with [its] because it is configured to inject but 84 issuing a notice extending the comment regulations’’ (i.e., consistent with the never actually does. periods in Docket No. RM21–14–000.76 opt-out requirements of Order No. 719). 34. Voltus argues that classifying demand response paired with behind- 29. Because we set aside our prior The Commission clarified that, ‘‘if an individual distributed energy resource the-meter resources as a heterogeneous decision in Order No. 2222–A to not aggregation is consistent with AEE/ extend the Order No. 719 opt-out to can be configured to engage in either demand response or injection of energy AEMA’s request for clarification that a demand response resources that behind-the-meter distributed energy participate in heterogeneous distributed onto the grid to make wholesale sales (e.g., a behind-the-meter generator), it resource used to serve onsite load energy resource aggregations, we find should be paid at the locational that, as the Commission stated in Order may choose to participate in the wholesale markets by reducing a marginal price (LMP), as required by No. 2222, ‘‘the participation of demand Order No. 745. Voltus argues that LMP response in distributed energy resource customer’s metered load on the grid from the customer’s expected payments are proper because Order No. aggregations is subject to the opt-out 2222–A did not change Order No. 745’s and opt-in requirements of Order Nos. consumption (i.e., as a demand response resource subject to Order No. 719) or it payment structure for resources that 719 and 719–A. Therefore, if the reduce load to the bulk power system.85 relevant electric retail regulatory may choose to participate by injecting authority where a demand response energy onto the grid to make wholesale b. Commission Determination sales (i.e., as a different type of resource is located has either chosen to 80 35. Because we set aside the opt out or has not opted in [pursuant to distributed energy resource).’’ The Commission stated that, ‘‘if a distributed Commission’s decision in Order No. Order Nos. 719 and 719–A], then the 2222–A to decline to extend the Order demand response resource may not energy resource aggregation is composed solely of resources that No. 719 opt-out to heterogeneous participate in a distributed energy distributed energy resource resource aggregation.’’ 77 participate as demand response resources, then the Order No. 719 opt- aggregations, we find that Voltus’s B. Definition of Demand Response for out would apply to that aggregation.’’ request for clarification is largely moot. 36. Nevertheless, with respect to Purposes of Applying the Order No. 719 But, the Commission stated, ‘‘if a potential confusion underlying Voltus’s Opt-Out to Heterogeneous Distributed distributed energy resource aggregation request for clarification, we note that the Energy Resource Aggregations contains any resources that participate Commission has stated previously that as another type of distributed energy 30. Order No. 2222 requires each load reductions in demand response resource, then the Order No. 719 opt-out RTO/ISO to revise its tariff to allow programs can be facilitated by a variety would not apply to that aggregation.’’ market participation by heterogeneous of technologies and still constitute distributed energy resource a. Request for Clarification demand response.86 Thus, we clarify 32. Voltus requests clarification that [Order No. 719 opt-out] are no longer just and demand response paired with a behind- 82 Id. at 5. 83 reasonable?’’). the-meter distributed energy resource Id. at 1, 4, 5. 75 Id. P 21. 84 Id. at 5. 76 Notice of Extension of Time for Filing Initial constitutes a heterogeneous distributed 85 Id. at 6. and Reply Comments, Participation of Aggregators energy resource aggregation not subject 86 See, e.g., Demand Response Supporters v. N.Y. of Retail Demand Response Customers in Markets to the Order No. 719 opt-out.81 Voltus Indep. Sys. Operator, Inc., 155 FERC ¶ 61,151, at P Operated by Regional Transmission Organizations argues that the Commission stated that 13 (2016) (‘‘[A] reduction in metered load on the and Independent System Operators, Docket No. grid, even a reduction facilitated by behind-the- RM21–14–000 (June 17, 2021) (extending time to meter generation, is still a reduction and thus is 78 and including July 23, 2021 to file initial comments, Id. P 142. appropriately considered demand response as and to and including August 23, 2021 to file reply 79 Order No. 2222–A, 174 FERC ¶ 61,197 at P 22. defined in section 35.28(d)(4).’’); Demand Response comments). 80 Id. P 29. Compensation in Organized Wholesale Energy 77 Order No. 2222, 172 FERC ¶ 61,247 at P 145. 81 Voltus Request for Clarification at 1, 4. Markets, Order No. 745, 76 FR 16658 (Mar. 24,
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that a behind-the-meter resource that is utility’s or other load serving entity’s the principles of Order No. 745 apply to solely used to facilitate demand load profile, then that resource will be all reductions in load from the response, i.e., deployed solely to reduce double counted as both load reduction perspective of the bulk power system, customer load from expected and a supply resource.92 In Order No. regardless of the method or methods consumption, would itself be 2222–A, the Commission clarified that, used to achieve that reduction, even considered a demand response when the Commission stated that ‘‘if a though Order No. 2222 defined demand resource.87 distributed energy resource is offered response resources more narrowly as into an RTO/ISO market and is not reductions to usage by a customer.98 C. Double Counting and Compensation added back to a utility’s or other load 41. AEE/AEMA state that their for Behind-the-Meter Distributed Energy serving entity’s load profile, then that members are encountering continued Resources That Reduce Load resource will be double counted as both confusion in ongoing RTO/ISO 37. In Order No. 2222, the load reduction and a supply stakeholder processes regarding the Commission clarified that the resource,’’ 93 the Commission was double counting restrictions in Order requirements in Order No. 745 would indicating that, for planning purposes, No. 2222, specifically regarding apply to demand response resources double counting of services would occur compensation for wholesale market participating in heterogeneous if the same distributed energy resource services provided by aggregations.99 aggregations.88 The Commission also reduces the amount of a service that an AEE/AEMA argue that, absent stated that ‘‘this final rule does not RTO/ISO procures on a forward-looking clarification, RTO/ISO compliance affect existing demand response basis in a certain time period while also submissions may not fully comply with rules.’’ 89 In Order No. 2222–A, the acting as a provider of that same service Order Nos. 745 and 2222–A and may Commission stated that ensuring that in that same delivery period. result in significant stakeholder demand response resources can discussions that could delay a. Request for Clarification or Rehearing combine with other forms of distributed implementation of new participation energy resources has the potential to 39. AEE/AEMA seek clarification—or, rules and deployment of distributed increase both the number and the in the alternative, rehearing—that energy resources.100 AEE/AEMA assert variety of distributed energy resource behind-the-meter distributed energy that Order No. 2222 proposals that pay aggregations, thereby enhancing resources used to serve onsite load, demand response resources less than competition and furthering its mandate therefore reducing power consumption full LMP would not enhance to ensure that Commission- from the bulk power system, should be competition or ensure just and jurisdictional rates are just and compensated at full locational marginal reasonable rates.101 reasonable.90 price (LMP) in compliance with Order 38. With respect to double counting, No. 745 with no need to eliminate retail b. Commission Determination the Commission in Order No. 2222 savings generated by the distributed 42. We grant, in part, AEE/AEMA’s required each RTO/ISO to include any energy resource, and that payment of request for clarification. As an initial appropriate restrictions on distributed full LMP to behind-the-meter matter, we disagree with AEE/AEMA’s energy resource participation in RTO/ distributed energy resources does not claim that Order No. 2222 modified the ISO markets through distributed energy constitute double counting.94 AEE/ definition of demand response. In Order resource aggregations, if narrowly AEMA ask the Commission to confirm Nos. 745 and 2222, the Commission designed to avoid counting more than that double counting does not occur cited to the same definition of demand once the services provided by when a distributed energy resource response contained in the Commission’s distributed energy resources in RTO/ participating in an aggregation is regulations.102 Further, we disagree ISO markets.91 The Commission stated compensated for acting as a provider of with AEE/AEMA’s suggestion that all that, for instance, if a distributed energy a service, whether procured on a reductions in load from the perspective resource is offered into an RTO/ISO forward-looking basis or in real-time, of the bulk power system should be market and is not added back to a and reduces an end-use customer’s load compensated consistent with Order No. on the bulk power system, resulting in 745. Only those reductions that meet the 2011), 134 FERC ¶ 61,187, order on reh’g and retail savings.95 definition of demand response in the clarification, Order No. 745–A, 137 FERC ¶ 61,215, 40. AEE/AEMA maintain that the at P 66 (2011), reh’g denied, Order No. 745–B, 138 Commission’s regulations and are used FERC ¶ 61,148 (2012), vacated sub nom. Elec. Supreme Court in EPSA held that the to reduce customer load from a validly Power Supply Ass’n v. FERC, 753 F.3d 216 (D.C. Commission has authority to authorize established baseline pursuant to Order Cir. 2014), rev’d & remanded sub nom. EPSA, 136 RTOs/ISOs to pay demand response Nos. 745 and 745–A must be S. Ct. 760 (‘‘[T]he manner in which a customer is resources full LMP.96 AEE/AEMA able to produce such a load reduction from its compensated consistent with those validly established baseline (whether by shifting contend that the Commission has orders.103 production, using internal generation, consuming clarified that payment of full LMP to 43. We clarify that payment of full less electricity, or other means) does not change the demand response resources does not LMP in the energy market to behind-the- effect or value of the reduction to the wholesale grid.’’). constitute double counting—regardless 87 See 18 CFR 35.28(b)(4). of the existence of behind-the-meter 98 Id. at 5 (citing Order No. 745–A, 137 FERC 88 Order No. 2222, 172 FERC ¶ 61,247 at P 145. distributed energy resources or other ¶ 61,215 at P 66; Order No. 2222, 172 FERC ¶ 61,247 In Order No. 2222, the Commission stated that manner of load reduction to the bulk at P 2 n.8). ‘‘[d]emand response means a reduction in the power system.97 AEE/AEMA argue that 99 Id. at 2, 6. consumption of electric energy by customers from 100 Id. at 6. their expected consumption in response to an 101 Id. 92 Id. P 161. increase in the price of electric energy or to 102 Order No. 745, 134 FERC ¶ 61,187 at P 2 n.2; 93 incentive payments designed to induce lower Order No. 2222–A, 174 FERC ¶ 61,197 at P 63 Order No. 2222, 172 FERC ¶ 61,247 at P 2 n.8 (citing consumption of electric energy.’’ Id. P 2 n.8 (citing (citing Order No. 2222, 172 FERC ¶ 61,247 at P 161). 18 CFR 35.28(b)(4)) (‘‘Demand response means a 18 CFR 35.28(b)(4)). 94 AEE/AEMA Request for Clarification at 2–3, 5– reduction in the consumption of electric energy by 89 Id. P 118. 6. customers from their expected consumption in 90 Order No. 2222–A, 174 FERC ¶ 61,197 at P 25 95 Id. at 2, 5. response to an increase in the price of electric (citing 16 U.S.C. 824e). 96 Id. at 3–4 (citing EPSA, 136 S. Ct. 760). energy or to incentive payments designed to induce 91 Order No. 2222, 172 FERC ¶ 61,247 at PP 160– 97 Id. at 4 (citing Order No. 745, 134 FERC lower consumption of electric energy.’’). 161. ¶ 61,187 at PP 64, 66). 103 See supra P 36.
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meter distributed energy resources behind-the-meter resource participates the Public Reference Room at (202) 502– participating as demand response as another type of distributed energy 8371, TTY (202) 502–8659. Email the resources in distributed energy resource resource (i.e., not as a demand response Public Reference Room at aggregations does not constitute double resource), the requirements in Order No. [email protected]. counting, so long as the requirements of 745 would not apply. VI. Effective Date and Congressional Order No. 745, including the net 45. We reiterate, however, that we Notification benefits test, are satisfied.104 Order No. will evaluate each RTO’s/ISO’s 2222 provided that the requirements of ‘‘proposal submitted on compliance to 51. This rule is effective August 27, Order No. 745 apply to demand determine whether it meets the goals of 2021. response resources participating in this final rule to allow distributed By the Commission. heterogeneous aggregations.105 In Order energy resources to provide all services Commissioner Chatterjee is No. 745, the Commission found that that they are technically capable of concurring with a separate statement when a demand response resource is providing through aggregation,’’ 109 and attached. Commissioner Danly is concurring participating in an RTO/ISO market and accordingly, whether it appropriately dispatch of that demand response with a separate statement attached. compensates distributed energy Commissioner Christie is concurring resource is cost-effective as determined resources for providing such services. in part and dissenting in part with a by the net benefits test, that demand separate statement attached. response resource must be compensated III. Information Collection Statement in the energy market at the LMP.106 46. The burden estimates have not Issued: June 17, 2021. Accordingly, in circumstances in which changed from the final rule. Debbie-Anne A. Reese, the net benefits test is satisfied, paying Deputy Secretary. LMP to behind-the-meter distributed IV. Regulatory Flexibility Act Department of Energy energy resources participating as 47. The Regulatory Flexibility Act of demand response resources in 1980 (RFA) 110 generally requires a Federal Energy Regulatory Commission distributed energy resource description and analysis of final rules Participation of Distributed Energy aggregations, without reflecting the that will have significant economic Resource Aggregations in Markets savings load realized from not having to impact on a substantial number of small Operated by Regional Transmission purchase electricity, does not reflect a entities. Pursuant to section 605(b) of 107 Organizations and Independent System double payment. We will evaluate, the RFA, we still conclude that this rule Operators on compliance, any proposed will not have a significant economic distributed energy resource aggregation impact on a substantial number of small Docket No. RM18–9–003 compensation rules regarding demand entities. CHATTERJEE, Commissioner, response for consistency with the V. Document Availability concurring: requirements of Order No. 745. 1. I concur with today’s order because However, with respect to compensation 48. In addition to publishing the full it continues to find that the Commission issues beyond the scope of Order No. text of this document in the Federal was under no legal obligation to provide 745, such as if a behind-the-meter Register, the Commission provides all the Order No. 719 opt-out.1 resource participates as another type of interested persons an opportunity to 2. I write separately to reiterate and distributed energy resource, we will not view and/or print the contents of this emphasize my support for eliminating prejudge RTO/ISO proposals but rather document via the internet through the the Order No. 719 opt-out, which has for evaluate them on compliance. Commission’s Home Page (http:// years prevented demand response 44. With respect to the participation www.ferc.gov). At this time, the resources in many states from of demand response resources in Commission has suspended access to participating in our wholesale markets. distributed energy resource the Commission’s Public Reference The outdated Order No. 719 opt-out aggregations, we clarify that, if an Room due to the President’s March 13, cannot be reconciled with the individual distributed energy resource 2020 proclamation declaring a National competitive principles underpinning is a behind-the-meter generator, it may Emergency concerning the Novel Order No. 2222 and the Commission’s participate within a distributed energy Coronavirus Disease (COVID–19). statutory responsibility to ensure rates resource aggregation as a demand 49. From the Commission’s Home subject to the Commission’s jurisdiction response resource or as a different type Page on the internet, this information is are just and reasonable and not unduly of distributed energy resource. If the available on eLibrary. The full text of discriminatory or preferential.2 There is distributed energy resource participates this document is available on eLibrary no reasonable explanation as to why the as demand response, the requirements in PDF and Microsoft Word format for Commission should maintain the Order in Order No. 745 would apply, and the viewing, printing, and/or downloading. No. 719 opt-out and treat demand RTOs/ISOs are required to allow that To access this document in eLibrary, response resources differently from all distributed energy resource to aggregate type the docket number excluding the other distributed energy resources. with other types of distributed energy last three digits of this document in the resources in a heterogeneous distributed docket number field. 1 Participation of Distributed Energy Resource energy resource aggregation.108 If the 50. User assistance is available for Aggregations in Markets Operated by Regional Transmission Organizations and Independent eLibrary and the Commission’s website System Operators, Order No. 2222–B, 175 FERC 104 See Order No. 2222, 172 FERC ¶ 61,247 at P during normal business hours from ¶ 61,227 at P 27 (2021). See Order No. 2222, 172 145. FERC Online Support at (202)–502– FERC ¶ 61,247 at P 59 (explaining that the 105 Id. 6652 (toll free at 1–866–208–3676) or Commission was not obligated to provide an opt- 106 Order No. 745–A, 137 FERC ¶ 61,215 at P 64 out in Order No. 719 but did so as an exercise of (citing Order No. 745, 134 FERC ¶ 61,187 at P 61). email at [email protected], or its discretion); see also NARUC, 964 F.3d at 1187 107 See id. (‘‘[B]ecause FERC has the exclusive authority to 108 See Order No. 2222, 172 FERC ¶ 61,247 at P response resources participating in heterogeneous determine who may participate in the wholesale 142 (requiring RTOs/ISOs to allow heterogeneous aggregations). markets, the Supremacy Clause . . . requires that DER aggregations); id. P 145 (clarifying that the 109 Order No. 2222, 172 FERC ¶ 61,247 at P 130. [s]tates not interfere.’’). requirements in Order No. 745 apply to demand 110 5 U.S.C. 601–612. 2 16 U.S.C. 824e.
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Accordingly, to ensure consumers can participate in wholesale distributed based in the name of ‘‘Order 2222 realize the full benefits of Order No. energy resource aggregations. This compliance.’’ 2222 and the wholesale market services correctly preserves the traditional ... demand response resources can provide, allocation of authority between the Sadly, instead of making the states, I urge the Commission to press forward individual states and the federal municipal and public-power authorities to eliminate the Order No. 719 opt-out government. and electric co-operatives truly equal once and for all. For these reasons, I respectfully partners in managing the timing and For these reasons, I respectfully concur. conditions of deployment of behind-the- concur. James P. Danly, meter DERs in ways that are sensitive to local needs and challenges—both Neil Chatterjee, Commissioner. Commissioner. technical and economic—today’s order Department of Energy denies them any meaningful control by Department of Energy Federal Energy Regulatory Commission prohibiting any opt-out or opt-in Federal Energy Regulatory Commission options except in relatively tiny Participation of Distributed Energy circumstances. This order—and its Participation of Distributed Energy Resource Aggregations in Markets predecessor—intentionally seize from Resource Aggregations in Markets Operated by Regional Transmission the states and other authorities their Operated by Regional Transmission Organizations and Independent System historic authority to balance the Organizations and Independent System Operators competing interests of deploying new Operators Docket No. RM18–9–003 technologies while maintaining grid Docket No. RM18–9–003 reliability and protecting consumers CHRISTIE, Commissioner, concurring 4 DANLY, Commissioner, concurring: from unaffordable costs .... 1. I agree with the Commission’s order in part and dissenting in part: 4. To ameliorate at least some of the today granting rehearing to extend the 1. I concur with the first sentence of damaging effects caused by Order Nos. states’ existing rights to opt-out of Paragraph 26 and other provisions of the 2222 and 2222–A, I would authorize wholesale demand response programs 1 order which set ‘‘aside our prior states and other RERRAs the right to including demand response resources decision [in Order No. 2222–A] not to exercise an opt-out from the that participate in ‘‘heterogeneous extend the Order No. 719 opt-out to requirements of those orders, if not distributed energy resource demand response resources that permanently then at least for some aggregations.’’ 2 In other words, states participate in heterogeneous distributed period of years to enable them better to 1 can choose to prohibit demand response energy resource aggregations ....’’ prepare for the impacts on retail resources within their boundaries from 2. As the second sentence in customers and distribution grids they participating in multi-state, wholesale Paragraph 26 and other provisions in now face. distributed energy resource programs. today’s order indicate, however, there is For these reasons, I respectfully This order represents the correct no decision affirmatively to preserve concur in part and dissent in part. those Order No. 719 opt-out division of authority between state and Mark C. Christie, provisions; 2 on the contrary, the federal jurisdiction. Commissioner. 2. I write separately to highlight that prospect of ultimately removing even even if the Commission is correct that these opt-out provisions is very much [FR Doc. 2021–13442 Filed 6–25–21; 8:45 am] it has jurisdiction over distributed alive as a result of the NOI proceeding BILLING CODE 6717–01–P energy resource aggregations—including in Docket No. RM21–14–000.3 those ‘‘aggregations’’ comprised of a 3. Beyond the parts of this order that single resource 3—the Commission still restore, at least temporarily, those opt- DEPARTMENT OF JUSTICE should have chosen not to exercise such out provisions, I dissent from the jurisdiction in Order No. 2222.4 This remainder of the order, because I would Drug Enforcement Administration order on rehearing returns authority have voted against Order No. 2222 had over demand response resources— I been a member of the Commission at 21 CFR Parts 1300, 1301, and 1304 which often are included in distributed that time and I did vote against Order [Docket No. DEA–459] energy resource aggregations—to the No. 2222–A. As I said in my dissent to states, letting the states choose whether the latter: RIN 1117–AB43 demand response resources can Today the majority . . . sides against the consumers who for years to come Registration Requirements for Narcotic Treatment Programs With Mobile 1 See Wholesale Competition in Regions with will almost surely pay billions of dollars Organized Electric Markets, Order No. 719, 125 for grid expenditures likely to be rate- Components FERC ¶ 61,071, at P 155 (2008), order on reh’g, Order No. 719–A, 128 FERC ¶ 61,059, order on AGENCY: Drug Enforcement reh’g, Order No. 719–B, 129 FERC ¶ 61,252 (2009). 1 Participation of Distributed Energy Resource Administration, Department of Justice. 2 Participation of Distributed Energy Res. Aggregations in Markets Operated by Regional ACTION Aggregations in Mkts. Operated by Reg’l Transmission Organizations and Independent : Final rule. Transmission Orgs. & Indep. Sys. Operators, 175 System Operators, Order No. 2222, 85 FR 67094 FERC ¶ 61,227, at P 26 (2021) (Order). (Oct. 1, 2020), 172 FERC ¶ 61,247 (2020), corrected, SUMMARY: The Drug Enforcement 3 See Participation of Distributed Energy Res. 85 FR 68450 (Oct. 29, 2020), order on reh’g, Order Administration (DEA) is publishing this Aggregations in Mkts. Operated by Reg’l No. 2222–A, 174 FERC 61,197 (2021), order on reh’g final rule to revise existing regulations Transmission Orgs. & Indep. Sys. Operators, Order and clarification, Order No. 2222–B, 175 FERC for narcotic treatment programs (NTPs) No. 2222, 85 FR 67,094 (Oct. 21, 2020), 172 FERC ¶ 61,227, at P 26 (2021). ¶ 61,247, at P 1 n.1 (2020), corrected, 85 FR 68,450 2 Order No. 2222–B at P 26. to allow the operation of a mobile (Oct. 29, 2020), order on reh’g, Order No. 2222–A, 3 Participation of Aggregators of Retail Demand 174 FERC ¶ 61,197 (2021) (Danly, Comm’r, Response Customers in Markets Operated by 4 Order No. 2222–A (Christie, Comm’r, dissenting dissenting) (discussing single resource Regional Transmission Organizations and at PP 1, 3 (emphasis in original) (footnotes omitted) ‘‘aggregations’’); 18 CFR 35.28(b)(10) (2020). Independent System Operators, Notice of Inquiry, (available at https://www.ferc.gov/news-events/ 4 See Order, 175 FERC ¶ 61,227 at P 27 174 FERC ¶ 61,198 (2021) (NOI); see also Order No. news/item-e-1-commissioner-mark-c-christie- (discussing case law on jurisdiction). 2222–B at P 28. dissent-regarding-participation-distributed)).
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component associated with a DEA- same State as, the NTP’s registered only partial support for the rule, registered NTP to be considered a location, for the purpose of maintenance agreeing with its general purpose but coincident activity permitted under the or detoxification treatment. Under this disagreeing with particular provisions; NTP’s registration. Based on these final rule, the NTP does not need to some of these commenters offered revisions, NTP registrants that operate obtain a separate DEA registration for suggestions and proposed amendments or wish to operate mobile components dispensing from the mobile component to the rule that they thought would help (in the State in which the registrant is at a separate location as long as it DEA achieve its purpose. Three registered) to dispense narcotic drugs in complies with the requirements of the comments were outside of the scope of schedules II–V at remote location(s) for final rule. Such remote dispensing from the rule. One comment—a general the purpose of maintenance or an NTP’s mobile component is deemed complaint about the government’s detoxification treatment do not need a under the final rule to be a coincident COVID–19 response, unrelated to separate registration for such mobile activity permitted under the NTP’s DEA—was outside the scope of the component. This final rule waives the registration. In the interest of helping to rulemaking and will therefore not be requirement of a separate registration at alleviate the ongoing opioid epidemic in addressed. Another commenter each principal place of business or the United States, the Acting suggested lengthening the five-year term professional practice where controlled Administrator of DEA (Acting for nurse anesthetists to treat patients substances are dispensed for those NTPs Administrator) finds that this waiver of with substance use disorder, which is a with mobile components that fully registration is consistent with the public matter beyond the scope of this rule and comply with the requirements of this health and safety. will not be addressed. A third rule. These revisions to the regulations The final rule also contains additional commenter suggested future rule are intended to make maintenance or requirements specified in the proposed changes DEA should consider to reduce detoxification treatments more widely rule to reduce the likelihood of patient access burdens, including: available, while ensuring that diversion. Certain aspects of these Reducing adherence requirements for safeguards are in place to reduce the additional requirements, which were take-home dosing, allowing community likelihood of diversion. raised by the commenters, are addressed pharmacies to dispense methadone below in the discussion of the DATES: This final rule is effective July treatment, and allowing physicians 28, 2021. comments. In addition, a section-by- outside of NTPs to prescribe methadone section analysis of the final rule is FOR FURTHER INFORMATION CONTACT: treatment for patients with opioid use provided following the discussion of the disorders (OUDs). These issues are Scott A. Brinks, Drug Enforcement comments. Administration, Attn: DEA Federal outside the scope of the rule and will Register Representative/DPW, Diversion Notice of Proposed Rulemaking not be addressed. Control Division; Mailing Address: 8701 On February 26, 2020, DEA published After a review of the comments, DEA Morrissette Drive, Springfield, Virginia a notice of proposed rulemaking noted that there were thirteen main 22152; Telephone: (571) 776–2265. (NPRM) in the Federal Register, which issues that commenters raised, and SUPPLEMENTARY INFORMATION: provided an opportunity for comment many commenters raised multiple issues in their comments. Each issue is Legal Authority and Background on the proposed rule. 85 FR 11008. The comment period closed on April 27, summarized below, along with DEA’s The Controlled Substances Act (CSA) 2020. Through this final rule, DEA is responses. DEA has also summarized generally provides, with certain responding to these comments and the remainder of the comments that did exceptions, that all persons who are finalizing the proposed rule with certain not fit into one of the thirteen main required to register under the Act must modifications discussed below. issues. obtain a separate registration ‘‘at each Discussion of Comments Expanding the Rule’s Scope Beyond principal place of business or Mobile NTPs professional practice’’ where such DEA received a total of 114 comments persons manufacture, distribute, or on the NPRM, copies of which are Comment: One commenter dispense a controlled substance. 21 available online at www.regulations.gov. recommended that the scope of the U.S.C. 822(e)(1). However, the CSA The commenters included: Researchers, proposed rule be expanded to allow authorizes the Attorney General to issue practitioners, universities, non-profit mobile components to carry controlled regulations waiving the requirement of organizations, addiction treatment substances used for sedation (general registration of certain manufacturers, programs, State and city boards of anesthesia). The commenter stated that distributors, or dispensers if he finds it behavioral health and human services, many specialty doctors (such as oral consistent with the public health and associations, manufacturers, a law surgeons) work in multiple locations safety. 21 U.S.C. 822(d). The Attorney enforcement office, and other individual each week and are required to obtain General has delegated this authority to or anonymous commenters. DEA thanks separate permits (i.e., separate DEA the Administrator of the Drug all commenters for their thoughtful registrations) for each office in which Enforcement Administration questions and suggestions, and they operate, and as such, cannot fill in (Administrator of DEA or appreciates their input during the for another doctor in the case of an Administrator). Pursuant to this rulemaking process. emergency. authority, DEA is hereby finalizing a One comment was a general statement DEA Response: DEA understands that regulation that would waive the of support for the rule, with no many specialty doctors (such as oral requirement of a separate registration for discussion of the proposed regulatory surgeons) may work in multiple narcotic treatment programs (NTPs) that changes. Some commenters sought locations each week and are therefore utilize mobile components under clarification of certain provisions in the required under 21 U.S.C. 822(e)(1) and certain conditions. Specifically, under proposed rule or recommended 21 CFR 1301.12(a) to obtain separate this final rule, an NTP is permitted to additional changes. The majority of registrations for each office in which dispense narcotic drugs in schedules II– commenters expressed support for they operate, and as such are unable to V from a mobile component at various provisions in the proposed rule. fill in for another doctor in the case of location(s) remote from, but within the That said, some commenters offered an emergency.
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This CSA requirement of separate that radius included areas in radius of the NTP’s registered location, registrations for each principal place of neighboring states. which would increase access to remote business or professional practice where DEA Response: DEA will not define areas that otherwise might remain the practitioner dispenses controlled an exact distance that the mobile underserved. Commenters went on to substances allows DEA to monitor the component can travel from its registered say that as long as the NTP abided by dispensing of controlled substances. location. As further explained below, the applicable State laws and secured This requirement thereby reduces the DEA has concluded that mobile NTPs approval from local DEA field offices, potential for diversion of those must be required to return to their the mobile component should be substances. Accordingly, the CSA only registered locations upon the allowed to cross State lines. Finally, one authorizes the Administrator (by completion of their operations each day commenter suggested making delegation from the Attorney General) to and that such a requirement can be met requirements based on distance and issue regulations waiving this while still increasing access to population, and creating regulations requirement if he finds doing so to be maintenance or detoxification treatment built on collaboration. The commenter consistent with the public health and in rural and underserved areas. A stated this approach would allow an safety. 21 U.S.C. 822(d). specified mileage limit, however, is not NTP with mobile capabilities in one As explained in the NPRM and above, necessary to ensure that mobile NTPs state to collaborate with an NTP that DEA has concluded that allowing NTPs will return to their registered locations seeks to provide those services in a to operate mobile NTPs under the daily. NTPs are better positioned than different state if the two NTPs share a conditions specified in this rule is DEA to determine how far from their patient base within a certain geographic consistent with the public health and registered location the mobile area. safety. See NPRM, 85 FR 11008, 11010. components can travel while still Another commenter expressed This conclusion, however, only extends allowing adequate time to return to their concern that NTPs would choose to only to mobile NTP components used for registered location at the end of the day, operate within their own State if (1) maintenance and detoxification especially given that this distance is State methadone authorities hesitated to treatment; any other use is beyond the likely to vary between different license a mobile component with a scope of this rule. geographic regions given differences in registered location in another State, or roads, traffic, and other conditions. (2) States placed more onerous licensing In this rulemaking, DEA has not processes on mobile components from Mobile Components Crossing State considered whether waiving the another State. The commenter suggested Lines separate registration requirement in any that DEA should not prohibit this at the other circumstances would be Comments: Several organizations, Federal level. The commenter further consistent with the public health and practitioners, and non-profit suggested that if States are willing to safety, because such a determination organizations; a university policy think approve mobile components that are was not necessary for this rulemaking. tank and researcher; and members of the based in another State to promote access It is, in other words, beyond the scope general public were opposed to the for their own citizens, DEA should defer of this rule. This final rule, therefore, proposed rule’s requirement that mobile to the States and permit mobile NTPs to does not change the requirement for NTP components only operate in the operate in a different State than that of separate registrations at each principal same State as their registered NTP the NTP’s registered location if the place of business or professional location. Multiple commenters voiced provider can obtain the requisite license practice for any other registrants concern that this requirement would from the State methadone authority. (including specialty doctors) that hinder the effectiveness of the proposed Finally, one organization and an dispense controlled substances. To the rule in providing services to anonymous commenter supported the degree interested parties believe that the underserved communities. One requirement that a mobile NTP only separate registration requirement should commenter noted that for many rural operate in the same State in which the be waived in other circumstances, they communities, the closest NTP may be NTP is registered with DEA. The may petition DEA to do so by across state lines. Five commenters organization noted that State regulations regulation. cited studies that provided statistics on can vary greatly, and the organization Setting a Mileage Limit for Mobile NTP the number of NTP patients that was aware of the immediate regulatory Dispensing traveled across state lines to access crisis that would exist if DEA services, and calculated the mean promulgated Federal regulations around Comments: One commenter suggested driving distance to a methadone clinic mobile NTPs that permitted the mobile that the proposed rule clarify the radius in five rural states. These studies noted NTPs to dispense controlled substances outside of the ‘‘dispensary’’ (i.e., the that many of these patients lived in in States in which they are not NTP’s registered location) within which areas that have been hit hardest by the registered. The organization expressed the ‘‘dispenser’’ (i.e., the mobile NTP) opioid epidemic, and would benefit concern that any potential for conflict can deliver. Another commenter was greatly from mobile medication within the treatment delivery system concerned that the proposed rule delivery. Another commenter provided could put patient care in jeopardy and suggested a mileage limit which might a citation to an article that showed the foster confusion that may fuel not be realistic, especially when applied ineffectiveness of limiting mobile NTPs additional stigma against an already to larger States. The commenter stated to intrastate in rural and underserved overly stigmatized medical treatment. that there may be value in allowing each communities. These commenters urged The organization also noted that mobile individual State to set and adjust the DEA to allow NTPs located in one State NTPs are governed by State regulations mileage limit that would be most to provide services to underserved areas in addition to the Federal regulations appropriate for mobile NTPs operating in neighboring States. Commenters promulgated by DEA and the Substance in their State. Several other commenters suggested that one way of allowing the Abuse and Mental Health Services (discussed in more detail below) mobile components to cross State lines Administration (SAMHSA). The suggested that DEA allow mobile NTPs would be to authorize an NTP’s mobile organization further noted that to operate within a 200-mile radius of component to operate across State lines operating a mobile NTP across State the NTP’s registered location, even if so long as it remains within a 200-mile lines would call into question which
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State has oversight and how the limited to the borders of the State, unauthorized dispensing by mobile originating State could enforce their regardless of distance. NTPs. Moreover, this final rule already rules on a mobile NTP that is not DEA also cannot authorize NTPs to provides for certain measures designed located within their borders. The avoid this requirement by allowing a to enhance DEA’s ability to monitor the anonymous commenter also supported single mobile NTP to partner with activities of mobile NTPs, such as the limiting the mobile NTP to the same multiple NTPs with registered locations requirement that NTPs notify their local State in which the NTP is registered, in different States. This rule authorizes DEA office before using a mobile stating the restriction would prevent the a registered NTP to operate a mobile component to dispense controlled mobile NTP from breaking the laws of component away from its registered substances. the surrounding states it would be location as a coincident activity of its DEA registration, which, as stated Mobile Components Facilitate operating in, which might be different Expanded Access in Rural Areas than the laws of the State in which the above, is predicated on state NTP is registered. authorization. Moreover, this Comments: A majority of commenters DEA Response: DEA appreciates the arrangement is critical to ensuring that voiced support for the proposed rule concerns raised by commenters that the a registered NTP maintains effective saying that it would expand access to proposed requirement that mobile NTPs security and recordkeeping oversight of treatment for those who needed it. only operate in the same State as their its mobile NTP operations to safeguard Multiple commenters stated that the associated NTP’s registered location against diversion of the mobile NTP’s proposed regulation was a step in the right direction because it reversed may hinder the effectiveness of the rule controlled substances. Allowing outdated regulations that have inhibited in providing services to underserved multiple registered NTPs to share the access to treatment. Several commenters communities. The intent of the rule is same mobile component would stated that the proposed rule would to increase access to these rural and diminish any individual location’s greatly improve health outcomes for underserved communities, while perceived authority and responsibility people with substance use disorder ensuring that certain recordkeeping and for the controlled substances contained living in both rural and urban areas. security requirements are met to prevent on the mobile NTP. For example, it These commenters noted that rural or the diversion of controlled substances. would complicate the NTP’s task of reconciling the dispensing logs from geographically remote areas that were As stated in the preamble to the both the mobile component and the lacking in opioid replacement proposed rule, however, the CSA and NTP’s registered location to ensure that medication services faced a treatment DEA regulations have always required, only the NTP’s enrolled patients are gap because of issues like poverty, lack with limited exceptions, practitioners to receiving controlled substances. of access to care, and premature deaths; have separate registrations in each State Furthermore, the task of recording (and these mobile components could bridge in which they dispense controlled investigators’ task of tracing) the these gaps, and allow more individuals substances. See NPRM, 85 FR 11008, movement of controlled substances to have access to treatment programs, 11010. A practitioner, including an received at the NTP’s registered location which would help improve the odds of NTP, must maintain a DEA registration and transferred to the mobile NTP long-term recovery. Other commenters in each State in which it dispenses components would also be complicated. mentioned that the use of these mobile controlled substances because DEA Thus, as reflected in the rule, DEA has components could have positive registrations are based on State licenses concluded that each mobile NTP outcomes outside of treatment for OUD, to dispense controlled substances. See, component may only operate under the stating they could help with human e.g., Clarification of Registration DEA registration of a single NTP immunodeficiency virus prevention, Requirements for Individual location—and may only operate in the overdoses, and relapses. Other Practitioners, 71 FR 69478, 69478 (Dec. State in which that registered NTP is commenters also noted how the mobile 1, 2006). DEA relies on State licensing licensed. components would allow many bodies to determine that NTPs are Comment: One commenter noted that underrepresented groups like those qualified to dispense controlled although the proposed rule limited suffering from mobility issues, mental substances for detoxification and mobile components to the same State as health issues, incarceration, and maintenance purposes. State authority the existing registration, it did not homelessness to access treatment. to conduct these activities only confers enumerate explicit measures for Several commenters also stated that rights and privileges within the issuing physically monitoring unauthorized these mobile components, while State; consequently, a DEA registration out-of-State dispensations. The expanding access, would reduce costs based on a State license cannot commenter stated that a lack of because there would not be as great of authorize controlled substance monitoring requirements in the a need to build more brick-and-mortar dispensing outside of the State. This proposed rule seemingly undermined NTPs. aspect of the CSA and DEA regulations effective DEA enforcement of its Two associations, one representing also helps to ensure that each State standards, thus enabling unauthorized NTPs and the other representing the retains the primary authority to regulate medical practice to go undetected, and, interests of individuals in medication- the practice of medicine within its accordingly, impeding States’ rights to assisted treatment (MAT), noted a borders. Therefore, DEA can only authorize practitioners. potential funding source available authorize an NTP and, as a coincident DEA Response: The risk of a mobile through the U.S. Department of activity, its mobile component, to NTP engaging in unauthorized out-of- Agriculture (USDA). Both associations dispense controlled substances in the State dispensing is not appreciably mentioned that the funding is available same State in which its brick-and- greater than any other practitioner to assist NTPs with the purchase of mortar NTP is registered with DEA to engaging in such dispensing. Thus, DEA mobile vans, if the NTPs meet USDA dispense controlled substances. has concluded that the various criteria in serving rural communities as Restricting a mobile NTP to a 200-mile regulatory requirements and monitoring defined by a population of 50,000 or radius of the DEA-registered site would activities that DEA uses to combat less. Both associations also stated that not address this requirement, as the unauthorized dispensing in general they would advise NTPs to actively State authority to operate an NTP is should be adequate to combat any pursue this funding, working in
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coordination with State opioid outfitting a mobile component. DEA already requires controlled treatment authorities as well as Regarding the COVID–19 public health substances in the possession of law SAMHSA and DEA, once the proposed emergency, this is an unprecedented enforcement be stored in a manner rule had been finalized. event that has resulted in many agencies consistent with DEA’s standard Several commenters also pointed out and organizations changing the way procedures for storing illicit controlled the advantages of allowing practitioners they operate. As a result of the public substances, and referenced DEA’s to dispense controlled substances at health emergency, DEA has worked disposal final rule regulation at 21 CFR multiple locations, as the rule would closely with SAMHSA to provide 1317.35(c) (Collection by law facilitate. One commenter provided her guidance and support to opioid enforcement).1 Accordingly, the personal experiences that she currently treatment programs to ensure that any commenter pointed out that, if a law can only treat patients with opioid individual who relies on MAT is able to enforcement entity in closer proximity addiction at the DEA-registered continue treatment without disruption. to the mobile component’s service area location, where the injectable It is DEA’s hope that these mobile NTPs than the NTP’s registered location has buprenorphine is delivered. The will be able to ensure greater access in secure storage procedures that meet commenter believed that allowing in the future, especially when public DEA standards, the medications could providers to have more than one health emergencies like this arise. be stored at this location for easier day- location is essential for good health to-day access. care, because this would greatly The Mobile Component Returning to Its Another commenter expressed increase access and treatment options Registered Location on a Daily Basis concerns that the security requirements for those suffering from opioid Comments: Multiple commenters DEA proposed were administratively addiction. expressed concern regarding the burdensome, and specifically Finally, several commenters requirement in proposed 21 CFR mentioned the requirement that the mentioned how the current COVID–19 1301.72(e) to return the mobile mobile component return to the NTP’s public health emergency would have component and the controlled registered location on a daily basis. The negative effects on individuals who substances on board to the NTP’s commenter stated that this requirement were suffering from OUD, because of registered location daily. One would increase the amount of time State-mandated stay-at-home orders, commenter asserted that the daily return spent traveling, which would result in social distancing requirements, and trip to prevent diversion is unnecessary additional wear and tear on the vehicles severe limitations on some of the since the mobile NTPs would be and less time to work with patients who transportation options on which these required to keep a record of all need care and rely on the mobile individuals rely. Commenters further controlled substances removed from the component. The commenter thus noted that these negative consequences safe on any given day. Several other indicated that this requirement would of the public health emergency could commenters were concerned that the detract from the increased access to cause increases in isolation and an proposal would reduce the effectiveness treatment and reduced costs of inability to reach treatment clinics, of the mobile NTPs. Two commenters expanded access that this regulation which could result in an increase in specifically stated this requirement aims to achieve. overdoses or even deaths. These would significantly limit the Likewise, a number of commenters commenters said that the use of mobile geographical reach of the mobile also noted that requiring the mobile components would ensure that these component. Multiple commenters components to return to the NTP’s individuals would be able to continue argued that travel times could registered location every day would be treatment. negatively affect the amount of time the costly when factoring in staff time, DEA Response: As stated in the component could operate, as many of travel costs, and the wear and tear on NPRM, DEA concluded that waiving the the communities being served by mobile the vehicles. Several commenters requirement for separate registration for NTPs were far from the nearest DEA- postulated that these expenses could mobile NTPs is consistent with the registered NTP location. In fact, some easily rival the cost of opening a new public health and safety, as it will commenters contended that many of brick-and-mortar NTP. Two commenters increase access to treatment for those these communities were hundreds of estimated the cost for a mobile NTP, suffering from OUD in rural and miles, with some specifying 100 to 200 with at least one nurse and one medical underserved communities. See NPRM, miles and some simply stating over one assistant, traveling 100 miles round trip, 85 FR 11008, 11011. DEA re-affirms that hundred miles, from the NTP’s six times per week for a year, as position in the final rule. Specifically, registered location. One commenter approaching $62,000. Both commenters DEA will waive the requirement of further stated that the time required to stated this this amount could be more separate registration only for an NTP travel such large distances could deter expensive than renting space for a new operating a mobile component at NTPs from offering regular services in registered NTP location in some areas. location(s) remote from, but within the the most remote areas. The commenter Several commenters suggested that this same State as, the NTP’s registered indicated that there are communities requirement might hinder the location for the purpose of maintenance with significant rates of OUD located as effectiveness of the rule, particularly in or detoxification treatment. far as 195 miles from the nearest NTP, rural areas, due to the extra costs and The intent of the rule is to ensure that which would require the mobile travel time associated with traveling there is greater access to treatment for component to travel six hours round back and forth daily. One commenter those who are suffering from OUD, and trip daily to reach these communities. further stated that although DEA who are unable to access treatment The commenter recommended that DEA asserted that the proposed rule would because of rural or geographic allow NTPs to enter into DEA-approved benefit rural areas, this assertion was limitations, mobility issues, etc. agreements with local or State law incorrect due to the scarcity of Furthermore, DEA has no objection to enforcement entities closer to the registered NTP locations near rural NTPs seeking grants or funding from remote service area to secure the areas, and the costs that would be government programs, or partnering controlled substances in their facility incurred if a mobile NTP attempted to with other organizations in order to while the mobile NTP is not in defray the costs of purchasing and operation. The commenter stated that 1 79 FR 53520 (Sept. 9, 2014).
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travel to a rural area each day from an check against theft and diversion. The the drug as well as in experienced users urban area. commenter further contended that it is who overuse the drug or combine it Many commenters suggested that DEA not clear that moving the mobile with other illicit drugs or with other allow these mobile components to stay component back to the registered prescribed medications that have in the field for longer periods of time. location and removing the controlled adverse drug-drug interactions with The commenters indicated that costs substances daily decreases the risk of methadone.4 would be reduced significantly and diversion. Furthermore, the commenter Methadone is also a demonstrated there would be more time for providing asserted that DEA does not provide diversion risk.5 It has significant street care to patients, thus making the mobile evidence or reasoning to explain how value, and its misuse and abuse has components more effective, if the these requirements reduce the risk of been documented.6 And mobile NTPs, components were allowed to return to diversion. The commenter insisted that especially if they were allowed to the registered location less frequently. pending the development of better remain away from their registered The majority of commenters proposed information regarding the risks of locations for multiple days, are likely to only requiring the mobile NTPs to diversion, DEA should not specify when be carrying methadone in substantial return to the registered location once a the mobile component must return to quantities, enough to be of great street week, while another commenter the NTP’s registered location. value and to impose a significant risk to suggested a 72-hour turnaround time, DEA Response: DEA appreciates an entire community should a fully and another commenter simply commenters’ concerns over the stocked mobile NTP have its methadone requested that the mobile NTP be proposed requirement that the mobile diverted.7 allowed to remain in the field for component and the controlled So long as methadone remains in a ‘‘multiple days.’’ One of the commenters substances it carries return to the NTP’s mobile component, it is at an elevated who suggested returning once a week, registered location daily. As stated risk of theft both because the mobile alternatively recommended the mobile before, the intent of the rule is to ensure conveyance itself could be stolen, and NTPs not be required to return more that more individuals have access to because security measures in a mobile frequently than every other day. treatment despite geographical NTP will generally be less robust than Another commenter stated that DEA limitations. The need to ensure that those at the NTP’s registered location. should not specify when the mobile individuals in these remote locations This risk is manageable when the component must return or, as an can access the care that they need has mobile NTP is in operation and thus alternative, suggested that DEA should to be balanced against security and secured by staff to guard against theft. consider increasing the intervals recordkeeping requirements to ensure However, the risk becomes unwieldy— between returns and only requiring that the controlled substances on board especially given that dangers posed by weekly returns. the mobile component are not diverted such quantities of methadone—when Most commenters believed that for illicit use. the mobile NTP is not in use and is requiring the mobile components to Several concerns drive DEA’s unattended, generally at night, and the return to the registered location less conclusion that, upon the completion of likelihood of theft is greater. Thus, by frequently would increase access to their daily operations, mobile NTPs requiring NTPs to secure their treatment while still maintaining generally must return to their registered controlled substances within their appropriate safeguards against potential locations and secure all controlled registered NTP location after operation theft and diversion. Indeed, several substances within their registered each day, DEA decreases the risk that commenters asserted that these longer location. those controlled substances will be turnaround times were feasible given The first and most important concern stolen—and thereby decreases the risk that DEA was proposing to apply is the danger associated with controlled existing security protocols to mobile substances that mobile NTPs will be 4 Food and Drug Administration, Public health components. One commenter similarly advisory: Methadone use for pain control may carrying, should those substances be result in death and life-threatening changes in stated that the security measures diverted. Of course, mobile NTPs will breathing and heartbeat, Silver Spring, MD: U.S. required by the proposed rule were primarily be storing and distributing Department of Health and Human Services, 2006, adequate to prevent diversion while the methadone, and methadone is an https://www.fda.gov/ForConsumers/Consumer mobile component is in the field. Updates/ucm12346.htm (accessed May 10, 2021); extremely dangerous drug if abused. Modesto-Lowe V, Brooks D, Petry N., Methadone However, one commenter suggested that More specifically, methadone is a potent deaths: Risk factors in pain and addicted if the mobile components are allowed to schedule II opioid with a relatively long populations, J Gen Intern Med 25: 305–309 (2010); stay in the field for longer periods of Madden ME, Shapiro SL, The methadone epidemic: elimination half-life of 8–59 hours with Methadone-related deaths on the rise in Vermont, time, additional security measures an average of 24 hours depending on the should be taken. The commenter Am J Forensic Med Pathol. 32(2): 131–135, 2011. individual.2 As such, methadone can 5 McCance-Katz EF. The National Survey on Drug suggested requiring an armed guard accumulate in an individual’s body if Use and Health: 2019. Slide 14. SAMHSA.gov/data/ outside the mobile component or taken more frequently than prescribed release/2019-national-survey-on-drug-use-and- health-nsduh-releases (accessed May 10, 2021). requiring the mobile component to be or in doses that exceed an individual’s locked in a secure, fenced-in location. 6 National Drug Intelligence Center. Methadone tolerance for the medication.3 Finally, one commenter stated that in diversion, abuse and misuse: Deaths increasing at Methadone has been associated with alarming rate. Justice.gov/archive/ndic/pubs25/ the absence of evidence of abuse, DEA 25930/index.htm#Diversion (2007) (accessed May should not require the mobile adverse events and opioid overdose deaths in those lacking experience with 10, 2021); Wright N, D’Agnone O, Krajci P, et al. component to return to the registered Addressing misuse and diversion of opioid NTP location daily or store the substitution medication: Guidance based on 2 Substance Abuse and Mental Health Services systematic evidence review and real-world controlled substances in the registered Administration, Medications for Opioid Use experience. J Public Health. 38 (3): e368–e374, location at the end of each day. The Disorder. Treatment Improvement Protocol (TIP) 2016. commenter stated that the proposed rule Series 63, Publication No. PEP20–02–01–006, 7 For example, an average dose range for an includes multiple safety measures and Rockville, MD: Substance Abuse and Mental Health individual on methadone maintenance is 60–120 Services Administration (2020). mg daily, which would be multiplied by the procedures that are adequate to protect 3 Roxane Laboratories, Dolophine hydrochloride number of individuals for whom the mobile NTP controlled substances, which the package insert, Fda.gov/media/76020/download conveyance carries doses. See SAMSHA TIP 63, commenter felt acted as a significant (accessed May 10, 2021). supra note 2.
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that the communities served by mobile an NTP. While some correctional review whether additional rulemaking NTPs will be harmed by diverted facilities have obtained an NTP is necessary to improve access to methadone. registration, DEA wishes to emphasize treatment via mobile NTPs. In Requiring the mobile NTP and its this option for those who may be conducting its review, DEA will consult controlled substances to return to the unaware of it. Moreover, many OUD with the Department of Health and registered location of the NTP also patients may be successfully treated Human Services (HHS) and the Office of reduces the likelihood that controlled with alternative medications such as National Drug Control Policy (ONDCP). substances will be lost or mishandled. buprenorphine or naltrexone. If the volume and nature of such Requiring an NTP’s mobile component Buprenorphine is a schedule III narcotic applications and an evaluation of the to return nightly better enables the NTP drug approved by the U.S. Food and associated risk of diversion warrant it, to monitor its mobile component’s Drug Administration (FDA) for the DEA will further amend the regulations dispensing, and thus become more treatment of OUD, and, as such, may be to allow mobile NTPs to be excepted readily aware of any problems—such as dispensed for such purpose without the from this requirement—without having the ‘‘double-dipping’’ discussed below dispenser being registered as an NTP.9 to apply for an exception—under certain (under Recordkeeping Requirements for Naltrexone is a non-controlled specified circumstances. If DEA Mobile Components)—or other substance and, as such, may be determines that such additional discrepancies that may signal that the dispensed without a DEA registration. amendment to the regulations is mobile NTP’s controlled substances are Accordingly, OUD treatment involving warranted, it will initiate a separate being diverted or otherwise improperly the use of either buprenorphine or rulemaking proceeding to do so in dispensed.8 For similar reasons, DEA naltrexone does not require the use of a accordance with the Administrative will not allow NTPs to enter into mobile NTP. Procedure Act (APA). agreements with local or State law In sum, DEA has concluded, for the Security Requirements for Mobile enforcement entities closer to the reasons stated above, that it is necessary Components remote service area to secure the and appropriate to maintain in the final controlled substances in their facility rule the requirement that a mobile NTP Comments: Several commenters while the mobile NTP is not in return to its registered location each addressed the security requirements that operation. Even assuming that these law day. However, in view of the comments were detailed in the proposed rule. Two enforcement entities are equipped to DEA received on this issue, DEA wishes commenters, who recommended a 72- securely store the controlled substances, to emphasize that it has decided to add hour return instead of the proposed the regular transfer of these substances to the text of the final rule a provision same day return requirement for mobile back and forth between mobile NTPs that expressly allows NTPs to apply for NTPs (see discussion above), suggested and the law enforcement entities would an exception to this requirement. The that the final rule add additional inhibit the NTP’s (and ultimately DEA’s) process for applying for such an security requirements during this 72- ability to monitor the controlled exception will be as set forth in 21 CFR hour time frame. The commenters substances and unnecessarily create 1307.03, which allows any person to suggested either utilizing armed security opportunities for the substances to be apply for an exception to any provision guards outside the mobile component, stolen, mislaid, or otherwise of the DEA regulations. As with all or locking the mobile component in a mishandled. applications for an exception to any secure fenced-in location and using, Additionally, allowing mobile NTPs provision of the regulations submitted possibly, unarmed (rather than armed) to remain in operation for multiple days pursuant to section 1307.03, each security guards. One commenter without returning to their registered application for an exception to the believed such security measures would locations not only presents an elevated requirement that a mobile NTP return not present any additional diversion risk of diversion, there are alternative each day will be evaluated by DEA on issues and noted that DEA options that make it generally a case-by-case basis in determining acknowledged thefts from mobile NTPs unnecessary. For example, nothing in whether the applicant has demonstrated in the past had not been an issue. this rule impacts the ability of an NTP exceptional circumstances that warrant One commenter pointed out the to register at an additional physical a waiver of the regulation. In making known criminal activity risks associated location. Thus, if an NTP wishes to treat this determination, DEA will consider with having controlled substances on site, such as theft, and noted that ‘‘brick- patients with methadone at a remote the applicant’s security and and-mortar’’ NTPs often protect their correctional facility or similar rural recordkeeping as well as other factors employees and patients through various location, that NTP could simply register relevant to determining whether security measures. The commenter a physical location in the area to which effective controls against diversion will provided two examples of these to return its mobile component and be maintained. DEA is revising 21 CFR measures: (1) A panic button that, when where to secure its controlled 1301.72(e) (from that proposed in the activated, triggers law enforcement to substances. Indeed, a correctional NPRM) to reflect this change to the immediately respond, and (2) the local facility can itself register with DEA as regulatory text. law enforcement knows the existence In addition, DEA will continue to 8 and whereabouts of an NTP and, DEA appreciates commenters’ suggestions that evaluate the risk of diversion that might the risk of theft or diversion of controlled therefore, can respond quickly and result from eliminating, in some substances left in a mobile NTP overnight could be efficiently to an emergency. In contrast, mitigated by increasing the security requirements circumstances, the requirement that a the commenter stated that the proposed for mobile NTPs. While such measures could mobile NTP return to its registered reduce the danger of theft or diversion somewhat, rule fails to mention whether mobile location each day. DEA will closely they would not suffice to overcome the inherent NTPs must take any explicit security monitor applications seeking an enhanced dangers of leaving controlled substances measures to protect their employees and in an unmanned conveyance overnight at an exception to that requirement. One year patients, including installing panic unregistered location. And such enhanced security after this rule is finalized, DEA will measures would do nothing to address the buttons, or making local law reduction in the registered NTP’s ability to monitor enforcement aware of the mobile NTPs’ the mobile component’s dispensing that would 9 The CSA requirements governing the dispensing result if mobile NTPs were not required to return of buprenorphine are set forth in 21 U.S.C. exact locations at any given moment, to their registered NTP location nightly. 823(g)(2). including during travel. The commenter
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requested that the final rule more fully For similar reasons, DEA will leave The requirements DEA is imposing in address how mobile NTPs will the decision on what safety measures this rule, however, are appropriately implement such security measures to the NTP would like to take to ensure the focused on DEA’s duty under the CSA improve the safety of their employees safety of the mobile component’s staff to protect against the diversion of and patients. and patients to the NTP and any controlled substances. Thus, DEA is DEA Response: DEA appreciates the relevant government bodies outside of requiring a contingency plan for concerns expressed regarding the DEA. There are many factors like the safeguarding the mobile NTP’s security requirements for mobile NTPs. location of the NTP, the number of controlled substances if it breaks down. DEA regulations have always required patients it treats, cost, etc., which would In the proposed rule, DEA stated that if that all registrants maintain effective affect the NTP’s decision when deciding the mobile component was disabled for security to guard against theft and which safety measures would ensure any reason (mechanical failure, diversion of controlled substances. See, patient and staff safety. Aside from DEA accident, fire, etc.), the registrant would e.g., 21 CFR 1301.71(a). The need for security requirements, there are other be required to have a protocol in place such security applies equally to mobile Federal, State, local, and tribal laws to ensure that the controlled substances NTPs. Thus, under this final rule, the these NTPs must take into consideration on the conveyance are secure and security requirements of 21 CFR when making their decision. Thus, accounted for. DEA went on to state that 1301.72(e) and 1301.74(j)–(n) apply to because the appropriate safety measures if the conveyance is taken to an the mobile components of NTPs to for a mobile NTP will vary based on automotive repair shop, all controlled ensure this need for security is met. circumstances and legal requirements, substances would need to be removed Of course, under certain DEA will not attempt to specify and secured at the registered location. circumstances, mobile NTPs may need additional safety requirements for NTPs However, other than those security additional security measures beyond as part of this rule. If such requirements requirements, DEA will not specify those specifically required by DEA are necessary, other Federal, State, local, what should be included in the NTP’s regulations to effectively protect against and tribal authorities can create them. standard operating procedures, or what Comment: One commenter stated that theft or diversion of controlled plans NTPs should implement regarding the proposed rule was silent on what substances. Because the need for such dosing patients while the mobile would happen to the medication if the measures is circumstance-specific, DEA component is out of service. Such mobile NTP breaks down, and is not including them in the final rule, matters are beyond the scope of this recommended that DEA include a but rather will rely on local DEA rule, and properly within the judgment requirement for a standard operation personnel, NTPs themselves, and any of the NTP and any relevant regulatory procedure or contingency plan if the other relevant laws and regulations to bodies outside of DEA. vehicle breaks down while en route to Comment: Another commenter noted determine what additional measures, if the communities where services are that the proposed amendment to DEA any, are necessary. In particular, DEA provided remotely, and if the mobile regulations at 21 CFR 1301.74(l) would will leave the decision on whether NTP is out of service for an extended provide DEA discretion to require armed or unarmed security personnel period due to repairs. The commenter additional security measures for mobile will be utilized by the mobile suggested that at a minimum, the NTPs based on certain factors. The component while it is away from its standard operating procedure needs to commenter acknowledged that DEA registered location to the NTP, as there include plans for dosing patients in the currently has this discretion for NTPs are many factors that should be following circumstances: (1) If the but could not locate any DEA guidance considered when making this decision. mobile NTP breaks down while en route on how DEA utilizes the listed factors For example, the NTP may want to to the community, and (2) when the to determine if an NTP applying for consider the location to which the mobile NTP is out of service for an registration warrants additional security mobile components will be traveling, extended period due to repairs. The measures. The commenter stated that the cost of security personnel, and commenter expressed concern that if this proposed provision similarly did whether or not these security personnel these plans are not in place, patients not provide any information regarding would fit in to any standard operating may encounter barriers to receiving how DEA would use these factors to procedures used by the NTP. Thus, DEA their medication in an alternative evaluate security measures for mobile will not mandate that armed or unarmed manner (e.g., transportation and costs to components, nor did DEA provide a security personnel be utilized by these reach a registered NTP location, waivers single example of the security measures mobile components. by NTP for patients to have ‘‘take home’’ it might require for such a component The proposed rule stated in proposed privileges for the medication) and be if the factors were relevant. 21 CFR 1301.72(e) that the mobile put at increased risk for overdose. The As a result, the commenter believed component must be returned to the commenter also noted possible this provision to not be clear or registered location on a daily basis. See limitations in the responsiveness of a transparent and could lead to DEA field NPRM, 85 FR 11008, 11011, 11019. DEA mobile NTP’s security system, reliant on offices unevenly or arbitrarily applying appreciates that some registered NTP Wi-Fi capability, when the mobile NTP the regulations. The commenter further locations might not have enough room has weak or no access to Wi-Fi while in stated that a registered NTP considering to park the mobile component rural communities and is not near the starting a mobile NTP would likely have overnight; therefore parking the mobile registered NTP location. to reach out to the local DEA field office component in a secure fenced-in DEA Response: DEA has concluded early in the planning phase which could location would be permissible, as long that it is unnecessary for this rule to result in delays getting the mobile as all DEA security requirements are require NTPs to create a contingency component up and running. Therefore, met, the controlled substances are plan for dosing patients served by the the commenter recommended that DEA removed from the mobile component at mobile NTP if the mobile NTP breaks not finalize this proposed provision, or the end of the day, and the local DEA down or is placed out of service. NTPs at the very minimum, that DEA provide office is notified of the location where may well decide that such plans are clarity in the final rule preamble the mobile component will be parked appropriate, and other laws, regulations, regarding the factors and additional overnight. or governing bodies may require them. security measures.
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Another commenter noted that Comment: Finally, one commenter commenter requested that DEA clarify current regulations provide DEA stated that DEA’s security requirements that DEA’s approval of an electronic discretion to prescribe security in 21 CFR 1301.72 through 1301.76 are recordkeeping system for a registered requirements to the NTP based on extremely outdated and currently put all NTP location will be sufficient for the certain factors. However, this registered NTPs, as well all DEA mobile component. commenter stated that it would seem registrants, at high risk for diversion, DEA Response: DEA recognizes the practically impossible for DEA to fully and that this risk would extend to concerns expressed by commenters exercise its discretion under 21 CFR mobile NTPs. In particular, this regarding the use of electronic 1301.73(l) and effectively set security commenter claimed that, in today’s dispensing logs. In the proposed rule, standards for mobile components, given environment, the controls outlined in 21 DEA proposed an alternative to the changing locations of mobile CFR 1301.75(a) and (b) are inconsistent maintaining a paper dispensing log, components when contrasted with with those in 21 CFR 1301.71(a), and stating that an NTP or its mobile registered NTP locations. stated that securing controlled component may also use an automated/ DEA Response: Under the final rule, substances consistent with DEA’s non- computerized data processing system DEA will review the security systems practitioner requirements in 21 CFR for the storage and retrieval of the used on these mobile components and 1301.72(a) can potentially reduce crime program’s dispensing records, if a make a determination on which security by 75–85 percent. This commenter number of conditions were met. The systems meet DEA requirements on a encouraged DEA to strengthen and requirement that the NTP or its mobile case-by-case basis before approving the enhance the schedule I–V physical component print a hard copy of each operation of a mobile NTP. DEA security requirements for all registrants day’s dispensing log, which is then appreciates the concern that such case- consistent with 21 CFR 1301.72(a), by initialed appropriately by each person by-case evaluation of mobile NTPs’ utilizing currently available market who dispensed medication to the security systems may lead to delays and technologies. program’s patients, is one of the differences in enforcement between DEA Response: DEA appreciates this conditions that must be met. This local DEA offices. As it is DEA’s intent comment suggesting in general terms requirement, along with the others to ensure that there are no delays or that it broadly update the security specified in section 1304.24(b)(1), is unfairness in getting mobile requirements of its regulations to better based on recommendations in the components up and running, DEA will reflect currently available security Narcotic Treatment Programs Best 10 endeavor to prevent such problems from technologies. DEA recognizes that Practice Guideline (April 2000). occurring. technologies change, but has concluded Furthermore, DEA emphasizes that the that the security regulations in this rule DEA, however, cannot forego case-by- rule is not adding additional adequately protect against theft and case determinations, even if they recordkeeping requirements to NTPs. diversion in the use of mobile NTPs inevitably bring some risk of delay or The rule is instead simply applying given current technologies. The sort of already-existing recordkeeping enforcement discrepancies. As broader changes to DEA security discussed above, although this final rule requirements of 21 CFR part 1304 to regulations suggested by the commenter mobile NTPs, as well as providing NTPs and DEA regulations more broadly are beyond the scope of this rule. articulate basic security requirements, and their mobile components the option they cannot account for all security Recordkeeping Requirements for of using a computerized data processing situations. Some situations may require Mobile Components system, instead of a paper dispensing log. DEA believes the recordkeeping additional security measures for a Comments: One commenter stated mobile NTP to be able to adequately requirements in this rule are necessary that they did not see a reason why all to ensure accountability and prevent guard against loss through theft or other of the records mobile components forms of diversion. Attempting to diversion. Thus, DEA generally agrees would be required to keep could not be that electronic logging of dispensing account for all such scenarios in electronically logged in on a daily basis, advance through regulation is records is appropriate. These electronic while still being in compliance with the records, however, will still have to be ineffective and may impose unnecessary proposed amendment to 21 CFR part restrictions on other mobile NTPs. DEA logged on a daily basis, and must 1304. Another commenter noted that the comply with the requirements in 21 can best ensure that mobile NTPs proposed rule allows mobile NTPs to CFR part 1304. Finally, requiring the provide adequate security by enabling maintain electronic dispensing logs; NTP employee who dispensed the local DEA offices to conduct case-by- however, the mobile NTP would still medication to review and initial the case evaluations as appropriate. That need to print out a hard copy of such hard copy of the dispensing log at the said, DEA is slightly modifying the log daily with the dispenser of each end of each day is important for proposed regulatory language describing dose initialing each relevant entry. The maintaining accurate records and how these case-by-case evaluations are commenter advocated for allowing these conducted in this final rule to clarify ensuring accountability. dispensers to use digital signatures in DEA also notes the commenter’s that DEA, not any other entity, applies these logs because the processes for concerns about the requirement that the factors. digital signatures are readily available DEA has concluded that mobile NTPs’ and widely used, and using digital 10 The Narcotic Treatment Programs Best changing locations will not compromise signatures would reduce unnecessary Practices Guideline, developed by DEA in its ability to make such assessments. paperwork for physicians. In addition, collaboration with the American Methadone DEA already evaluates the security the commenter stated that DEA should Treatment Association (now the American Association for the Treatment of Opioid arrangements provided by a wide range not require pre-approval of the mobile Dependence), provided assistance in understanding of registrants under many different NTP’s electronic recordkeeping system the provisions of the CSA and in the circumstances. Although mobile NTPs for the dispensing log because this implementation of the regulations as they apply to do present some unique challenges, could create unnecessary delays in the dosage reconciliation practices in NTPs. DEA rescinded the guideline after publication of the DEA is confident that it can work with transition to electronic recordkeeping. NPRM, but the recommendations it contained mobile NTPs to ensure that they operate Further, if DEA permits digital continue to represent best practices for NTP securely. signatures in the final rule, the operation.
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DEA must pre-approve any electronic dipping’’ from becoming a significant been used in the past, but some States recordkeeping system used in lieu of a source of diversion or significant risk of are currently using them, and they have paper dispensing log. Prior to granting overdose among patients. Thus, DEA had a positive impact on the a registration to an NTP and its mobile has concluded that NTPs should communities they operate in. One component, under § 1301.13(e)(4) of this generally be capable of guarding against commenter stated that Minnesota rule, the local DEA field office must ‘‘double-dipping’’ without further benefited from a mobile methadone unit evaluate all of the mobile components’ regulation. Every NTP has protocols in that operated approximately 15 years procedures and processes to determine place to ensure that their patients ago, because it increased compliance if they provide effective controls against receive the correct dose, and to ensure with dosing and provided services to diversion. If the electronic that the records containing this geographically remote patients, allowing recordkeeping system meets all of the information are correct and up-to-date. for better supervision, and faster recordkeeping and security As stated earlier, DEA has concluded stabilization of both dose and behavior. requirements under the CSA, DEA will that the use of technology could be Another commenter said many NTPs approve the system; this will be done on burdensome, which goes against the already operate mobile components and a case-by-case basis. If a registered NTP purpose of this rulemaking. For these these revisions will allow more has an electronic recordkeeping system reasons, DEA will not require all mobile flexibility, allowing even more NTPs to that is approved by DEA, this does not components to record doses in real time; provide treatment via mobile necessarily mean the same system will however, if a mobile NTP chooses to do components. A commenter who worked be as useful on the mobile component; so, that would be permitted. at a treatment program mentioned that this is why the electronic recordkeeping their organization operated a mobile Advantages of Serving Multiple system on the mobile component must Suboxone program, and stated that it Locations be evaluated separately. benefitted the community because the Comment: One commenter expressed Comments: One commenter stated number of overdoses had been greatly concern that under the proposed rule, it that the proposed rule was ambiguous reduced, and larger numbers of people appeared that patients could engage in on whether the mobile component were able to initiate treatment who ‘‘double-dipping’’ by receiving could park at a location, dispense would not otherwise have been able to treatment at a mobile NTP in the medication, and then move to another without such access. morning, and then at a registered NTP location or locations for further Finally, two commenters mentioned location later in the day, for example. dispensing. The commenter suggested the use of mobile components in The commenter stated that under the that DEA revise the proposed rule to emergency situations, such as during proposed revisions to 21 CFR 1304.24 explicitly allow mobile treatment Hurricanes Katrina and Sandy. One of there is a requirement that NTPs must components to serve multiple locations these commenters mentioned how maintain records of patient information in a single day, because this would mobile methadone components are an including the dosage consumed, but no enable opioid treatment providers to important part of the broad continuum requirement that the records be help patients residing in skilled of care for individuals with OUD, and maintained in real-time, potentially nursing/long term nursing facilities to stated these mobile components allowing such ‘‘double-dipping’’ to receive their medication for opioid use provided essential treatment services occur before an NTP could compare disorder. The commenter did not during Hurricane Katrina. However, the dispensing logs and discover it. provide any specific information on other commenter noted that mobile Therefore, to decrease the likelihood of how this would help. components had been largely patient overdoses, the commenter DEA Response: DEA will leave the unavailable to providers responding to recommended that the final rule require decision of whether a mobile emergency situations. That commenter all mobile NTPs to record doses in real component serves multiple locations in mentioned that during Hurricane Sandy time. a single day to the NTP. For a mobile in 2012, affected NTPs employed DEA Response: NTPs have protocols component in a more urban area, strategies such as alternative in place to ensure that their patients multiple stops might be more feasible, transportation, take-home dosing, and cannot engage in ‘‘double-dipping’’ by in comparison to a mobile component guest dosing at nearby programs (i.e., receiving treatment at a mobile that would be serving a more remote temporary dosing at another NTP) to component in the morning, and then at area. As long as these mobile ensure continued access to treatment, a registered NTP location later in the components follow all applicable and stated that these actions had day; the use of paper or electronic logs Federal, State, local, and tribal laws, varying degrees of execution and should not have a major impact on these DEA will permit the mobile component success. The commenter went on to say protocols. Moreover, regardless of to serve multiple locations. Although that mobile NTPs were considered as an whether NTPs have such a protocol in the proposed rule was not intended to option for reaching patients when place, ordinary diligence by NTPs, limit mobile NTPs to serving a single facilities were destroyed, but one unit including periodic comparisons location, DEA recognizes that references was being repaired at the time and the between the dispensing logs of a mobile in the proposed regulatory text to other was not able to operate because NTP and its registered NTP, should mobile NTPs serving ‘‘a location’’ or ‘‘a there was not a functioning registered readily reveal any individuals who are dispensing location’’ in proposed 21 NTP location to store the methadone. engaged in such ‘‘double-dipping’’ and CFR 1300.01(b) and 1301.72(e) may DEA Response: DEA appreciates the enable NTPs to take steps to prevent have been confusing. Thus, in this final information provided by the them from doing so in the future. rule, DEA has revised these sections to commenters. As stated previously, the Although the use of ‘‘real-time’’ clarify that a mobile NTP may serve intent of this rule is to ensure that there electronic dispensing logs might allow multiple remote locations. is greater access to treatment for those an NTP to uncover such ‘‘double- who are suffering from OUD, and are dipping’’ more quickly, DEA has The Use of Past/Current Mobile unable to access treatment because of concluded that requiring the use of Components rural or geographic limitations, mobility technology could be burdensome and is Comments: Several commenters noted issues, etc. The revised regulations will not necessary to prevent ‘‘double- that mobile components have not only allow NTPs the option to use mobile
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components during emergency a registered NTP to partner with an Finally, a commenter expressed great situations such as those described by organization who owns a mobile NTP appreciation that the proposed rule’s the two commenters, as long as all (e.g., hospital or health center). economic analysis qualitatively applicable, Federal, State, local, and As discussed in detail above, many described benefits and cost-savings that tribal laws are followed when operating commenters were opposed to requiring cannot be quantified, including reduced these mobile components. As discussed the mobile component to return to the health care costs, criminal justice costs, in the NPRM, prior to this rule, DEA NTP’s registered location on a daily and lost productivity costs that will be only authorized mobile NTPs on an ad basis; the costs of the daily round trips reduced as a result of increased access hoc basis and had placed a moratorium were chief among the issues raised to treatment. However, the commenter on new authorizations in 2007. See 85 when voicing their concerns. These stated that this analysis omitted other FR 11008, 11009. This rule will allow commenters generally believed that the important unquantifiable benefits, such the use of mobile NTPs to be expanded costs associated with traveling to and as improved quality of life and more extensively, more consistently, from the communities served by mobile improved dignity for patients who can and with greater protections against NTPs (e.g., staff time, travel costs, wear access treatment. The commenter stated theft and diversion than was possible and tear on vehicles, etc.) could easily that the major benefit of this proposed before. rival the cost of opening a new rule is its expected effect on the cost to The Costs and Benefits Associated With registered NTP location, especially treat each patient with OUD and the Mobile Components when the communities are 100 to 200 number of patients who have access to miles away, as noted by some such treatment (i.e., a decrease in costs Comments: Many commenters commenters. Two commenters gave an and an increase in patients), noting that believed that this proposed rule would example of a mobile NTP with at least this will improve the quality of life and give providers a lower cost option for one nurse and one medical assistant dignity for patients who can access this reaching patients where it may not be traveling 100 miles round trip six times critical treatment. Therefore, the otherwise financially feasible to per week for a year and estimated the commenter suggested that DEA should establish a new registered NTP location. yearly cost, based on the proposed rule’s revise its economic analysis and Several commenters stated that the estimated per mile operating cost, acknowledge these benefits in the final proposed rule would reduce the costs would be close to $62,000. Similarly, rule. In addition, this commenter stated for NTPs wanting to expand their another commenter remarked that in the that DEA should clarify in the final rule geographic reach and increase the summary and benefits section of the that the benefit-cost analysis framework treatment they are able to provide. applied in the proposed rule shows that Several commenters pointed to benefits proposed rule’s preamble, the mileage a reduction in the marginal cost of that would result from the use of these used to estimate operating costs for a treating patients for OUD could expand mobile components that might not be mobile NTP, no more than 5,000 miles output, which would be a social benefit. quantifiable. Multiple commenters per year (100 miles per week), was The commenter explained that the stated that the proposed rule would save rather low, especially for rural areas in analysis conducted by DEA in the many lives, as well as improve the some States. proposed rule assumes that NTPs are health and well-being of patients Three commenters also detailed other currently incurring costs to expand receiving treatment, and allow these expenses that might result from treatment access by opening additional patients to live productive and operating the mobile component. One registered NTP locations. However, the satisfying lives. One commenter commenter stated that while the mentioned that the use of mobile NTPs proposed rule provided potential commenter further noted that if DEA’s could start saving thousands of lives safeguards addressing security, theft, assumption is not true, and NTPs are and decrease illicit opioid use. and misuse, the rule did not discuss in not currently incurring costs to expand Other commenters mentioned the its cost-benefit analysis the intangible registered NTP locations, then under savings that would be realized by costs associated with detecting any this rule, NTPs might actually incur allowing the mobile components to violation of either operating the mobile more costs, the costs associated with register only once. One commenter component as a treatment center or any operating a mobile NTP. estimated savings between $1,270,670 of the rule’s other prohibitions. DEA Response: DEA appreciates the and $1,482,272 would be possible over However, the commenter did not detail support from commenters agreeing with five years ‘‘simply because operating out any specific cost numbers for these the agency’s assessment that this rule of the mobile unit would allow more intangible costs. One commenter will provide a less costly avenue for treatments to be dispensed and expressed concerns that the costs NTP’s to expand operations and treat operating over multiple locations would associated with paying an entire team of more patients compared with opening a bring in more revenue.’’ However, the healthcare professionals for their travel new registered NTP location. As stated commenter did not explain the basis for time would likely be expensive and earlier, the intent of the proposed rule this estimate. possibly even cost prohibitive, is to ensure that treatment is made more Conversely, one State behavioral particularly if mobile NTPs will provide widely available to those who need it. health agency expressed general the same interdisciplinary services Although not readily quantifiable, concerns about the startup costs offered at registered NTP locations. This saving lives, preventing overdoses, and associated with operating a mobile commenter further stated that the ensuring patients receiving treatment component, and stated that some NTPs proposed rule failed to address these are able to live productive lives help may find this expense to be a barrier to costs. Another commenter also further the purpose in the proposed and establishing a mobile component. The mentioned the small, extra expense of final rule. Regarding one commenter’s commenter further indicated that as a hiring security personnel to protect the view that DEA has not accounted for a result, some NTPs may desire to partner mobile NTP, which the commenter potential increase in costs to the agency with agencies who already own well- recommended if the regulations would related to monitoring the security and equipped mobile components. The no longer require the mobile NTPs to recordkeeping of mobile components, commenter recommended that DEA return to the DEA-registered location at DEA anticipates that its field offices will explicitly indicate whether it will allow the end of each day. conduct any necessary security reviews
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as a part of their routine NTP inspection component or opening an additional electronically (e.g., telehealth) by workload, thus there will be no registered NTP location. qualified providers. The commenter also additional costs to DEA. DEA agrees with the commenter mentioned that allowing these services, DEA’s estimation of operating costs stating that this rule is likely to result which would have to be consistent with for a mobile NTP represents the average in an increase in quality of life and applicable State and Federal law, would costs for an NTP choosing to operate a personal dignity for previously decrease the risk of discontinuity of mobile component. As one commenter untreated patients who are able to care, which could cause the patient to noted, in certain rural locations receive care from a mobile NTP. DEA relapse and/overdose. throughout the United States, these believes that these benefits are already Another commenter noted that the operating costs may be higher than the discussed in the regulatory analysis proposed rule did not include guidance average costs presented in the regulatory below, and no further expansion is on ancillary requirements for NTP analysis because NTPs may choose to necessary. patients such as toxicology and travel further distances on a more DEA also agrees with the commenter’s serology, and stated that the NTP frequent basis in order to reach patients summation that the framework for the registrant should be required to indicate in particularly remote areas. These analysis presented in the regulatory whether physical examinations, operating costs may even surpass the impact analysis of this rule is a marginal toxicology testing, and serology testing costs associated with opening another cost framework, i.e., a comparison of the would be conducted in the mobile NTP registered location. Delivering treatment incremental costs incurred by NTPs or at the registered NTP location. The to patients in very remote locations will choosing to expand operations under commenter also asked if the mobile NTP always carry higher transaction costs the baseline regulatory environment vs. could conduct these services, and if not, than delivering treatment to patients in under the rule’s regulatory environment. recommended that the rule include readily accessible locations such as DEA does not see any benefit to the clear guidance as to where these urban or suburban centers. Absent this public in explaining this fact further in services could be provided or if these rule, however, treating patients in these the regulatory impact analysis. services could be conducted in remote areas would likely require The Ability of the Mobile Component coordination with a partner, like a opening not just one more registered To Operate as an Emergency Medical hospital. Finally, another commenter suggested location, but many. DEA is confident Services Vehicle or Hospital that the final rule should expressly state that the operating costs of a single Comments: Several commenters noted that services such as infectious disease mobile NTP servicing a wide geographic that DEA did not address the specific screenings and harm reduction area will always be less than those of services the mobile component could interventions are available in mobile multiple additional registered NTP and could not provide to those NTPs just as they are at the registered locations that would be required to treat individuals who utilize it. Many of NTP locations. As these mobile NTP the patients dispersed throughout the these commenters also provided components are to operate as same area. suggestions for the services they ‘‘coincident,’’ or equivalent, to the Additionally, DEA recognizes that believed the mobile components should registered NTP location, the commenter some mobile components may indeed provide. One commenter suggested that suggested, a mobile NTP should provide travel greater distances than the 100 DEA allow the mobile component to most or all of the same supplemental miles per week estimated in the operate as an emergency medical services that are logistically possible. proposed rule. However, DEA considers services (EMS) vehicle or a hospital. The commenter stated further that the this mileage estimate to be a reasonable The commenter stated that by not exclusion of such language could be average of the weekly distance any allowing the vehicles to operate as an interpreted as prohibiting these critical particular mobile component might EMS vehicle (e.g., to transport patients) public health interventions that are travel to treat patients, especially when or a hospital, there was a risk to the essential to addressing disparate rates of factoring in mobile components that communities being served by the mobile sexually transmitted and other will operate in more densely-packed component, because many of the rural infectious diseases among persons with urban and suburban settings. As another areas might not have local hospitals or substance use disorder, especially those commenter noted, operating a mobile only have access to hospitals that are who inject drugs. component may also result in higher overcrowded and underfunded. The DEA Response: DEA appreciates cost savings than what is presented in commenter also noted that some commenters’ concerns about those the regulatory analysis due to the community members utilizing the individuals in rural communities being possible increased volume of patients mobile component may mistakenly served by the mobile component not treated by a mobile component. Again, assume that the mobile component is having local hospitals or access to DEA’s analysis represents average cost able to treat overdose victims or try to hospitals that are overcrowded or savings when comparing the operation seek emergency treatment at a mobile underfunded. However, as stated in the of a mobile NTP with a registered component instead of an EMS vehicle or NPRM, the mobile components will not location, and therefore, this is factored a hospital. be configured in a way to allow them to into the agency’s conclusions below. One commenter suggested that DEA serve as an EMS vehicle or hospital, and Regarding one commenter’s challenge revise the proposed amendment, 21 CFR will not have the necessary equipment that the labor costs for the healthcare 1301.13(4)(ii), to state explicitly that or supplies on board to function as professionals needed to staff a mobile mobile NTPs are allowed to conduct the such. See NPRM, 85 FR 11008, 11010. component would likely be prohibitive, necessary medical and psychosocial In the preamble of the proposed rule, DEA assumes that the labor required to services required to induct and maintain DEA stated it was proposing to waive provide MAT services are the same in MAT/medications for opioid use the requirement of a separate a mobile component and a registered disorder (MOUD); to utilize a Qualified registration for NTPs that utilize mobile NTP setting. Therefore, any particular Service Organization Agreement components, and that specifically, an NTP would incur those labor costs (QSOA) with an entity or entities that NTP would be permitted to dispense when choosing to expand operations, can provide these services; and to narcotic drugs in schedules II–V at whether via starting a mobile provide counseling services location(s) remote from, but within the
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same State as, the NTP’s registered Some commenters noted that existing treatment received while incarcerated, location, for the purpose of maintenance mobile NTPs have proven to be helpful show that these mobile components are or detoxification treatment. See NPRM, in providing treatment for incarcerated beneficial. Therefore, to avoid any 85 FR 11008, 11009. DEA did not individuals; however, no specific possible confusion, in this final rule, include guidance on ancillary examples were provided. Another DEA is adding an additional provision requirements for NTP patients such as commenter, a non-profit organization, to 21 CFR 1301.13(e)(4) to clarify that toxicology and serology, infectious gave an example where mobile NTPs in NTPs may operate mobile components disease screenings, and harm reduction Atlantic County, New Jersey provide at correctional facilities where interventions, because if and how such medication (methadone, buprenorphine, otherwise permitted by law. DEA would services are provided is outside the and naltrexone) and counseling to like to remind NTP registrants that they scope of DEA’s authority. Although inmates onsite, and link those being must follow all applicable, Federal, nothing in the rule prohibits a mobile released from correctional facilities to State, local, and tribal laws when NTP from providing such services, (if community-based NTPs. The non-profit operating these mobile components at they can be provided in a manner also stated that one NTP that shared that correctional facilities. consistent with the rule and other laws), its mobile NTP had treated more than it is similarly outside the scope of DEA’s 1,000 inmates in more than two years, Promulgation of Telemedicine Special authority to explicitly permit mobile and that these inmates subsequently had Registration Regulation and Related NTPs to conduct the medical and a lower recidivism rate compared to the Issues psychosocial services required to induct general correctional facility population. Comments: Several commenters and maintain MAT/MOUD, to utilize a Other commenters cited studies that expressed concerns regarding the status QSOA with an entity or entities that can showed how access to MAT services of the telemedicine special registration provide these services, and to provide would decrease the rates of recidivism that Congress mandated DEA implement counseling services electronically by and post-release mortality as patients by October 2019 in the Substance Use- qualified providers. Further, the successfully transition from the Disorder Prevention that Promotes registered NTP should decide whether correctional environment into an Opioid Recovery and Treatment for its mobile component will offer these outpatient treatment setting. Two Patients and Communities Act services based on the needs of the commenters both referenced data from a (SUPPORT Act), Public Law 115–271, community they are servicing, staffing, study in Rhode Island; the commenters sec. 3232, 132 Stat. 3894, 3950 (2018). financial impact to the NTP, etc. As long reported that the data showed that One commenter mentioned that while as the NTP follows all applicable, offering MAT during incarceration and this proposed rule was a step in the Federal, State, local, and tribal laws, upon release resulted in a 60 percent right direction, it falls short of the DEA knows of no reason, at this time, decrease in overdose mortality among why these activities would be people who were recently incarcerated. special registration for telemedicine, prohibited. One of the commenters described the which would help more people who study as ‘‘recent,’’ but neither provided struggle to find access to buprenorphine The Mobile Component Servicing a specific citation for the study. providers. One commenter similarly Correctional Facilities Finally, a pharmaceutical noted that the proposed rule was an Comments: Approximately 20 manufacturer sought clarity for itself, important step in expanding access to commenters addressed the benefits of and its treatment provider customers, on care for those with OUDs; this mobile components servicing whether NTPs operating a mobile commenter, along with the others, also incarcerated individuals with OUD. All component as described in the proposed urged DEA to promulgate regulations of these commenters asserted that this rule would be allowed to regularly use implementing the telemedicine special rule would help in the treatment of the mobile component to transport and registration as quickly as possible. incarcerated individuals. Commenters provide NTP services, including DEA Response: Although these posited that the proposed revisions methadone treatment, to inmates comments regarding telemedicine might allow NTPs to bring their mobile housed in correctional facilities. The special registration are beyond the scope components to correctional facilities, as manufacturer believed the plain of this rule, DEA understands these facilities might have logistical language of the proposed rule’s legal commenters’ frustration with the delay. difficulties arranging the transport of authority, as well as the proposed DEA intends to promulgate regulations inmates to NTPs. One commenter changes to 21 CFR 1301.13(e)(4), for the telemedicine special registration recommended that DEA collaborate authorize a properly registered NTP in the near future. with NTPs and other Federal agencies to operating a mobile component to Comment: One commenter suggested maximize opportunities to increase the dispense narcotic drugs for addiction that the definition of mobile NTPs be use of mobile methadone to increase treatment to inmates at a correctional expanded to include mobile internet- treatment access for these vulnerable facility. populations. Several commenters DEA Response: As stated before, the based health applications. similarly suggested that NTPs partner intent of this rule is to increase access DEA Response: In this final rule, DEA with law enforcement and State opioid to maintenance or detoxification will not expand the definition of mobile treatment authorities to expand access treatment to those individuals who need NTPs to include mobile internet health- to the services provided by the mobile it. As many of the commenters based applications. The dispensing of component to correctional facilities. An indicated, incarcerated individuals are a controlled substances through internet organization representing individuals in group who would greatly benefit from applications raises risks and other medication-assisted recovery from OUD mobile NTPs servicing correctional issues quite different than those raised declared that it would encourage its facilities. The current use of mobile by dispensing through a mobile members to advocate for the use of components by some NTPs in states conveyance. Thus, such internet mobile components in these facilities such as New Jersey and Rhode Island, dispensing is beyond the scope of this with their State opioid treatment coupled with research presented by rule, but will be considered in the authorities and local law enforcement several commenters demonstrating context of the aforementioned special agencies. lower recidivism rates as a result of telemedicine registration rulemaking.
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Other Comments treatment facilities and staffing reference to ‘‘best practice’’ standards as Comments: One commenter discussed shortages resulting from COVID–19 or defined by SAMHSA in TIP 63: how some State treatment agencies have any other public health or Medications for Opioid Use Disorder. In already experienced staffing shortages environmental emergency that impacts sum, DEA does not anticipate any or may in the future, and how it is also NTP access. DEA will continue to work significant differences in how NTPs possible for an agency to suffer full with SAMHSA and its other partners protect the privacy of patients served by closure due to the COVID–19 public after this public health emergency has registered NTPs and those served by health emergency. The commenter ended to ensure that those suffering their mobile components. Comment: One commenter noted that stated that both the lack of treatment from OUD face fewer barriers to it is also important to be clear that facilities and staffing shortages would treatment. DEA is using its discretion to approve adding new mobile components does negatively impact an agency’s ability to mobile components under the authority not imply that treatment standards admit clients into treatment, and that granted to it by the CSA. 21 U.S.C. would be different or less stringent than this will become more apparent due to 822(d). Any NTP that wishes to use a those of registered NTPs. The the predicted increase in admissions mobile component for maintenance or commenter suggested that in order to following the public health emergency. detoxification treatment will be able to ensure high quality treatment, the rule Another commenter mentioned that start the approval process once the final provide additional information about DEA, SAMHSA, State regulators, and rule has been published to ensure that clinical requirements and the States’ NTPs have taken steps to ensure all interested NTPs would be subject to role in that area, leaving less room for continued access to treatment by the same requirements. problems as new mobile NTPs become changing dosing schedules to limit face- Comments: Two commenters noted operational. Two commenters also to-face contact, facilitating access to that the proposed rule does not noted that the proposed rule focused telehealth, and allowing home delivery reference mobile NTPs’ need to adhere exclusively on the operational aspects of of medications for OUD treatment to to Health Insurance Portability and administering a methadone clinic, but quarantined patients to prevent the Accountability Act (HIPAA)/privacy did not address any counseling spread of COVID–19. Finally, one requirements. These commenters activities that are required for NTPs. commenter stated that due to the assumed that these same requirements One commenter stated that DEA should ongoing public health crisis, DEA applied to mobile NTPs but advised extend the regulations to require mobile should follow a tiered approach and DEA to clarify this matter in the final components to have minimum immediately begin approving mobile rule to prevent misinterpretation. One of treatment standards and use a components while devoting resources to these commenters advised DEA to multifaceted approach (e.g., counseling, finalizing this rule. The commenter include a reference to ‘‘best practice’’ recovery network, mandatory number of further stated that DEA used its standards as defined by SAMHSA in treatment visits per month for each authority granted by 21 U.S.C. 822(d) to TIP 63: Medications for Opioid Use patient). approve mobile components on an ad Disorder.11 The commenter also One commenter recommended that hoc basis prior to 2007, and thus there recommended that DEA work closely the rule acknowledges that States may is no legal constraint on DEA to finalize with SAMHSA to develop a companion have additional requirements for NTPs this rule before beginning to approve document to accompany the new beyond the Federal regulations. The mobile components on an ad hoc basis. requirements related to the commenter also inquired if all Several commenters expressed administration of an NTP. requirements that apply to a registered concern that SAMHSA’s current DEA Response: Regarding the NTP location apply to a mobile requirement of daily dosing at the commenters seeking clarity regarding component. The commenter expressed initiation of methadone treatment HIPAA/privacy requirements for the concern that without explicit guidance, would limit the reach of newly mobile NTPs, DEA proposed requiring it could lead to a misinterpretation of operationalized mobile components to the records of the mobile components to NTP requirements. The commenter also just one region/one community, given be stored at the registered location of the recommended adding language to the that a mobile component would have to NTP in a manner that meets all proposed regulation to clarify the repeatedly return to the same location(s) applicable security and confidentiality expectation that a mobile NTP will each day to provide daily methadone requirements. See NPRM, 85 FR 11008, provide services beyond the doses to newly initiated patients. To 11010–12 (proposed 21 CFR 1304.24(b)). administration of the medication, such expand access to treatment, the These same requirements will apply in as counseling. commenters urged DEA to work with the final rule. NTPs already have DEA Response: Under the rule, SAMHSA to revise regulations protocols in place to protect patient mobile NTPs are part of their DEA- restricting take-home medications. Four information to ensure that they are in registered NTP locations: Their commenters also suggested that DEA compliance with all Federal, State, dispensing of controlled substances should work with SAMHSA to allow local, or tribal requirements; the final through their mobile components is NTP providers to prescribe medications rule is supplementary to these existing now a coincident activity allowed under to be filled at community pharmacies protocols. NTPs also have protocols and their NTP’s DEA registration. Thus, and to allow non-NTP providers to procedures in place to ensure that they except where otherwise provided for by prescribe methadone. are in compliance with all Federal, this rule or other laws or regulations, DEA Response: DEA has worked State, local, and tribal laws dealing with mobile NTPs are subject to the same closely with SAMHSA during the patient care, and best practices; standards as the NTPs of which they are COVID–19 public health emergency to therefore, DEA will not include a a part. provide guidance and support to NTPs DEA’s NTP regulations seek to to ensure that any individual who relies 11 Substance Abuse and Mental Health Services minimize diversion or abuse of the on MAT is able to continue treatment Administration. (2020). Treatment Improvement controlled substances dispensed by Protocol (TIP) 63: Medications for Opioid Use without disruption. It is DEA’s intent Disorder (HHS Publication No. PEP20–02–01–006). NTPs, but DEA does not establish that mobile NTP components will be https://store.samhsa.gov/SMA18-5063FULLDOC broader treatment standards for NTPs. able to help agencies facing lack of (last accessed: 9/2/2020). Thus, to the degree commenters wish
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the government to clarify treatment parked. The commenter stated the DEA appreciates the commenters’ standards specific to the mobile linkage agreements must include the concern about how possible delays in components of NTPs, they should mobile component’s days/date and the approval process could have contact the government entities that hours of operation, and that without negative effects on those individuals establish and enforce those standards. these agreements, there may be who need access to treatment. Pre- Comment: One commenter stated that complaints and issues for local law approval from the local DEA field office in the final rule DEA should consider enforcement agencies or community is part of the registration process for the clarifying that the ability of mobile vans leaders. mobile component; without it, the NTP to convey injectable and implantable DEA Response: Regarding the will not be permitted to operate the buprenorphine products that are commenter’s parking concerns for the mobile component under the administered to patients will not be mobile NTP, DEA appreciates the requirements set forth by this final rule. restricted. The commenter also potential issues; however, DEA will not DEA continually reviews the requested that DEA consider clarifying provide any guidance in this final rule. programs that fall under its regulatory in the final rule’s preamble section ‘‘the The NTP is responsible for establishing authority; if it determines that role of ‘Hospital/Clinic’ as ‘non- a protocol for parking, and to determine adjustments are required to ensure practitioner’ registrants to provide the appropriate organizations that might compliance or to ensure that the rule’s buprenorphine products for the assist with parking. What constitutes an effect is more successful, the treatment of [OUD] in accordance with appropriate parking location for a appropriate action will be taken. 21 CFR 1301.28.’’ mobile NTP will vary significantly from Section-by-Section Analysis of the Final DEA Response: The purpose of this area to area based on local conditions Rule rule is to waive the requirement of a and laws. Dictating what must be separate registration for NTPs that included in any agreements is thus DEA is finalizing the proposed rule utilize mobile components and to allow outside the scope of this rulemaking and with certain modifications to 21 CFR an NTP to dispense narcotic drugs in will not be addressed. DEA would like 1300.01, 1301.13, and 1301.72. In brief, schedules II–V at location(s) remote to remind NTP registrants of their this rule slightly revises the mobile NTP from, but within the same State as, the obligations under any applicable definition at § 1300.01(b) from that NTP’s registered location, for the Federal, State, or local laws when it proposed. The definition is revised to purpose of maintenance or comes to operating these mobile clarify that it is the operation of the detoxification treatment. The registered components. mobile NTP (i.e., administering NTP, not DEA, should decide which Comment: One commenter suggested maintenance and/or detoxification narcotic drugs should be dispensed to that DEA not require NTPs to get pre- treatment from the mobile component) its patients, both at the registered approval from the local DEA field office that is the coincident activity, not the location and on the mobile component, before operating a mobile component; vehicle itself. The application fee in in accordance with each individual rather, DEA should only require § 1301.13(e)(1)(vii), in the table, is patient’s medical needs as determined registered NTPs to notify the local DEA revised to reflect the new registration by a medical professional authorized to field office that they will begin fee schedule that became effective on make such a determination. Nothing in operating a mobile component. The October 1, 2020.12 this final rule prevents a mobile NTP commenter stated that this will prevent Also, this rule revises the proposed from providing the same treatment as a situation where a registered NTP new § 1301.13(e)(4) by adding a third would be available at the registered NTP seeking to expand access with a mobile subparagraph (iii) to clarify that a location, as long as the mobile NTPs component will be required to wait for mobile NTP may operate at a location or follow all applicable Federal, State, approval, missing out on critical days locations, including correctional local, and tribal laws. and weeks that could be spent providing facilities, away from, but within the DEA regulations in 21 CFR 1301.28 access to patients. The commenter same State as, the NTP’s registered include provisions for exemption from argued that other conditions in the location. Previously, the proposed rule separate registration requirements for proposed rule, combined with DEA’s was silent as to correctional facilities. individual practitioners dispensing or regular inspections, are sufficient to Relatedly, in several places, references prescribing schedule III–V narcotic ensure diversion is not occurring at in the proposed rule to the remote controlled drugs approved by FDA for mobile components, especially since the ‘‘location’’ where the mobile NTP maintenance or detoxification treatment NTPs that are already registered will be operates are replaced with references to provided they meet certain conditions, familiar with DEA diversion regulations the mobile NTP’s ‘‘location or including being a ‘‘qualifying and capable of complying with the locations’’ to clarify that a mobile NTP physician’’ or ‘‘qualifying other conditions for mobile components. The can operate at more than one remote practitioner,’’ as defined in 21 U.S.C. commenter also suggested that in the location under appropriate 823(g)(2)(G)(ii) or (g)(2)(G)(iv), preamble to the final rule, DEA should circumstances. respectively. Thus, the request to clarify commit to conducting a retrospective This rule revises the proposed new the role of Hospital/Clinic in accordance review and collecting data to assess the § 1301.72(e) to allow the mobile with 21 CFR 1301.28 is beyond the impact of the rule on treatment component to be parked at the scope of this final rule. accessibility and the risk of diversion. registered location or any secure, Comment: Another commenter noted The commenter stated that if this final fenced-in area when the mobile that the proposed rule does not include rule succeeds at expanding treatment for component is not in use. Prior to guidance on parking guidelines for the opioid use disorder to patients while parking the conveyance at a secure, mobile component, and suggested that simultaneously minimizing diversion fenced-in location, all controlled the NTP should be required to establish risks, DEA should further expand the substances must be removed from the a standard operating procedure or program. conveyance and returned to the obtain linkage agreements with DEA Response: DEA will not change registered location and, the local DEA organizations (e.g., hospitals or the requirement that NTPs obtain pre- office must be notified of the location of programs operating needle exchange approval from the local DEA field office programs) where the vehicle will be before operating a mobile component. 12 85 FR 44710 (July 24, 2020).
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the secure, fenced-in area. The proposed Part 1301: Registration of DEA is also requiring that the safe be new paragraph did not previously Manufacturers, Distributors, and equipped with an alarm system that address this security condition. Dispensers of Controlled Substances transmits a signal directly to a central This final rule does not change the DEA regulations have always required protection company or a local or State proposed new requirement in that all registrants maintain effective police agency which has a legal duty to § 1301.72(e), that upon completion of security to guard against theft and respond, or a 24-hour control station the operation of the mobile NTP on a diversion of controlled substances. See operated by the registrant, or such other given day, the conveyance must be 21 CFR 1301.71–77. The need for such protection as the Administrator may immediately returned to the registered security applies equally in the mobile approve if there is an attempted location, and all controlled substances NTP context. Thus, this final rule unauthorized entry into the safe. must be removed from the conveyance Upon completion of the operation of contains provisions (described below) and secured within the registered the mobile NTP on a given day, the that require NTPs to secure controlled location. However, this rule adds a conveyance will need to immediately substances while operating a mobile provision in § 1301.72(e) that expressly return to the registered location, and all component away from the registered allows NTPs to apply for an exception controlled substances removed from the location. to this requirement, following the conveyance and secured within the In this final rule, DEA revises section process set forth in 21 CFR 1307.03, registered location. After the controlled 1301.13 to make operating a mobile which allows any person to apply for an substances have been removed, the component of an NTP a coincident exception to any provision of the DEA conveyance may be parked until its next activity of an existing NTP registration, regulations. In addition, the revised use at the registered location or any provided the NTP has obtained prior § 1301.72(e) specifically provides that secure, fenced-in area, once the local approval from the local DEA office. DEA the application must include certain DEA office has been notified of the intends to reduce the regulatory burden other information, and that DEA will location of this secure, fenced-in area. If evaluate each application on a case-by- on NTPs by waiving the separate DEA the mobile component is disabled for case basis to determine whether the registration requirement, as discussed any reason (mechanical failure, applicant has demonstrated exceptional above, and allowing them to operate a accident, fire, etc.), the registrant will be circumstances that warrant a waiver of mobile component of an NTP in the required to have a protocol in place to the daily return requirement. same State as the registered NTP, under ensure that the controlled substances on Finally, this rule makes a variety of its existing registration. As a result, the the conveyance are secure and minor changes in capitalization, mobile component of a registered NTP accounted for. If the conveyance is abbreviation, word choice, and grammar will not have to apply for a separate taken to an automotive repair shop, all throughout the regulatory text, but these registration, as its operation is controlled substances will need to be are not intended as substantive considered coincident activity. In removed and secured at the registered revisions. For example, whereas the addition, DEA specifies in the location. proposed text used both ‘‘narcotic regulations that the records generated NTPs will not be required to obtain a treatment program’’ and ‘‘NTP,’’ the during the operations of a mobile separate registration for conveyances revised text more consistently uses component of an NTP shall be (mobile components) utilized by the ‘‘NTP’’ throughout. Similarly, proposed maintained at the NTP’s registered registrant to transport controlled new § 1301.74(j) and (l) referred to an location, rather than requiring such substances away from registered NTP ‘‘physician,’’ whereas the revised records to be stored in the mobile locations for dispensing within the same text uses the more general term component. Section 1301.13 is also State at unregistered locations. Vehicles ‘‘practitioner.’’ revised to explicitly state that registered must possess valid county/city and Below are summaries of provisions NTPs may operate mobile components State information (e.g., a vehicle contained in the final rule. at correctional facilities where information number (VIN) or license otherwise permitted by law. plate number) on file at the NTP’s Part 1300: Definitions DEA revises section 1301.72 to ensure registered location. NTPs are also In section 1300.01, DEA adds a controlled substances in a mobile required to provide State and local definition for a mobile NTP. This component of an NTP are protected licensing and registration definition reflects that a mobile NTP is against theft and diversion. To achieve documentation to DEA at the time of an NTP operating from a motor vehicle this end, the security requirements inspection and prior to transporting that serves as a mobile component of the under 21 CFR 1301.72(a)(1) and 21 CFR controlled substances away from their NTP. As such, a mobile NTP engages in 1301.72(d) apply to the mobile registered location. maintenance and/or detoxification component of an NTP. The storage area Regarding the requirement for the treatment with narcotic drugs in for controlled substances in a mobile mobile NTP to return daily to the schedules II–V, at a location or locations component of an NTP must not be registered location, and to store its remote from, but within the same State accessible from outside the vehicle. The controlled substances at the registered as, the registered NTP, and operates requirement to secure the controlled location, DEA revises 21 CFR 1301.72(e) under the registration of the NTP. substances in a securely locked safe in to expressly allow the NTP to apply for Because the mobile NTP definition the conveyance will assist in adequately an exception to this requirement, references a motor vehicle, DEA also securing the controlled substances. following the process set forth in 21 separately defines ‘‘motor vehicle’’ as a Since small quantities of controlled CFR 1307.03. In addition, the revised vehicle propelled under its own motive substances will be present in the mobile § 1301.72(e) specifically provides that power and lawfully used on public component, DEA is requiring that the the application must include the streets, roads, or highways with more safe used by these mobile components proposed alternate return period, than three wheels in contact with the have safeguards against forced entry, enhanced security measures, and any ground; a motor vehicle does not lock manipulation, and radiological other factors the applicant wishes the include a trailer in this context. attacks. The safe must also be bolted or Administrator to consider. DEA will Therefore, a trailer could not serve as a cemented to the floor or wall in such a evaluate each application on a case-by- mobile NTP. way that it cannot be readily moved. case basis to determine whether the
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applicant has demonstrated exceptional manner that meets all applicable the standard analytic framework circumstances that warrant a waiver of security and confidentiality codified in the Office of Management the daily return requirement. DEA will requirements, and must be readily and Budget (OMB) Circular A–4, consider the applicant’s security and retrievable. published on September 17, 2003. This recordkeeping as well as other factors 21 CFR 1304.24(b) requires that an final rule is an enabling rule designed relevant to determining whether NTP maintain the records, required by to expand access to MAT offered by effective controls against diversion will 21 CFR 1304.24(a), in a dispensing log NTPs in underserved communities. be maintained. at the registered location. It is Previously, DEA had only authorized DEA revises 21 CFR 1301.74 to understood that this log is in paper mobile NTPs on an ad hoc basis, and include mobile components of DEA- form. As an alternative to maintaining a had placed a moratorium on further registered NTPs, since the existing paper dispensing log, DEA is permitting such authorizations in 2007. Thus, DEA regulations do not contain such a an NTP or its mobile component to also compared the costs of delivering MAT provision. As described in the revisions use an automated/computerized data services in a baseline regulatory to section 1301.74, personnel who are processing system for the storage and environment, in which no new mobile authorized to dispense controlled retrieval of its dispensing records, if a NTPs are authorized, to the costs of substances for narcotic treatment must number of conditions are met: The delivering an equivalent level of MAT ensure proper security measures and automated system maintains the same services in the final rule’s regulatory patient dosage. For example, DEA is information required in 21 CFR environment, in which a registered NTP now requiring that persons enrolled in 1304.24(a) for paper records; the may begin to operate a mobile any NTP, including those who receive automated system has the capability of component as a coincident activity, if treatment at a mobile NTP, wait in an producing a hard copy printout of the authorized by DEA. This analysis, area that is physically separated from program’s dispensing records; the NTP detailed below, finds that this final rule the narcotic storage and dispensing area or its mobile component prints a hard will result in a cost savings for DEA- by a physical entrance such as a door or copy of each daily dispensing log, registered NTPs in the form of reduced other entryway. which is then initialed appropriately by startup, labor, and operating costs of Mobile NTPs may only be stocked each practitioner who dispensed MAT services delivered via a mobile with narcotic drugs in schedules II–V medication to the NTP’s patients; and component. DEA also recognizes that from the registered NTP location. the automated system is approved by this final rule is likely to result in Personnel designated to transfer DEA. benefits in the form of economic burden narcotic drugs in schedules II–V from The NTP’s computer software reductions (healthcare costs, criminal the registered location to mobile NTPs program must be capable of producing justice costs, and lost productivity costs) are not able to: Receive narcotic drugs accurate summary dispensing reports as access to treatment for underserved in schedules II–V from other mobile for the registered NTP location and its communities is expected to expand. NTPs or any other entity; deliver mobile component, for any time-frame However, DEA does not have a basis to narcotic drugs in schedules II–V to other selected by DEA personnel during an estimate the totality of this benefit with mobile NTPs or any other entity; or investigation. Further, if summary any accuracy since data on the number conduct reverse distribution of reports are maintained in hard copy of patients treated via existing mobile controlled substances on a mobile NTP. form, they should be stored in a components are not available. Thus, Any controlled substances being systematically organized file at the while these benefits are not quantified, transported to the registered NTP registered location of the NTP. DEA expects that this final rule will location for disposal from the Additionally, a back-up of all computer result in a net benefit to society. dispensing location(s) of the mobile generated records of dispensing by the MAT has been shown to be an component shall be secured and NTP and its mobile component is effective opioid treatment option—a disposed of in compliance with 21 CFR required to be maintained off-site. 2014 meta-analysis concluded that MAT part 1317 and all other applicable Finally, NTPs are required to retain has significantly increased treatment Federal, State, tribal, and local laws and all records for the registered NTP retention and decreased illicit opioid regulations. location as well as any mobile use.13 While SAMHSA estimated that 2 Finally, the physical security controls components for two years from the date million Americans have an OUD of mobile components will need to be of execution. This time period is the involving medications, and another implemented by the NTP pursuant to 21 same period as that required by 21 CFR 526,000 had an OUD involving heroin, CFR 1301.72 and 1301.74. In the event 1304.04(a). However, because some in 2018, only 19.7 percent of Americans of a security breach in which controlled States require that records be retained with an OUD received any specialty substances are lost or stolen, the for longer than two years, the NTP treatment.14 A review of private registrant must determine the should contact its State opioid treatment insurance data collected from 2010 to significance of the loss and comply with authority for information about State 2014 found that, following an opioid- the theft and significant loss reporting requirements. related hospitalization, fewer than 11 requirements in 21 CFR 1301.74(c). percent of covered patients received Regulatory Analyses Part 1304: Records and Reports of 13 Registrants Summary of Costs and Benefits Thomas CP, Fullerton CA, Kim M, et al. Medication-Assisted Treatment with Under the final rule, the DEA examined each of the provisions Buprenorphine: Assessing the Evidence. Psychiatry recordkeeping requirements of 21 CFR of the final rule to estimate its economic Serv. 2014; 65(2):158–170. doi:10.1176/ appi.ps.201300256. part 1304 apply to mobile components impact. DEA’s analytic approach 14 Substance Abuse and Mental Health Services of NTPs. DEA revises sections 1304.04 focuses on comparing the costs and/or Administration. (2019). Key substance use and and 1304.24 to include mobile cost-savings of a ‘‘no action’’ baseline mental health indicators in the United States: components. As with registered NTP regulatory environment with the costs Results from the 2018 National Survey on Drug Use and Health (HHS Publication No. PEP19–5068, locations, the records of the mobile and/or cost-savings of the regulatory NSDUH Series H–54). Rockville, MD: Center for components will be stored at the environment that would result from the Behavioral Health Statistics and Quality, Substance registered location of the NTP in a promulgation of this final rule. This is Abuse and Mental Health Services Administration.
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MAT in combination with psychosocial DEA believes it is reasonable to MAT services are being rendered via a services. An additional 6 percent assume that in any given geographic mobile NTP or the traditional office received MAT without psychosocial region, the fixed capital expenses of environment, the same type and services, and 43 percent received opening a new registered location (most quantity of labor, medical equipment, psychosocial services only.15 As of significantly office rent) will always and security equipment is assumed 2016, over 90 percent of NTPs were exceed the capital expenses of operating necessary to deliver the same amount of located in urban areas, forcing rural a mobile component (most significantly treatment while adhering to DEA patients to travel great distances to the purchase price of a conveyance to be regulations. receive their doses of medication.16 converted to a mobile NTP). These According to the National Association According to research published in major capital expenses are discussed of Realtors, the average annual price per 2014, some rural patients reported that and compared in detail in the following square foot for office space throughout the burden of traveling daily to receive paragraph; however, it is important to the United States was $46 in the first their medication effectively prevents first set boundaries for this analysis by quarter of 2017 (the most recent year in them from working,17 further increasing discussing what costs will not be which this figure was updated).20 Based the risk that they will discontinue included and why. DEA assumes that on DEA’s knowledge of registrant treatment.18 two significant expenses are the same operations, NTPs require a minimum of Without this rule permitting for both activities, and therefore, are 1,000 square feet of office space, which registered NTPs to operate mobile excluded from the analysis: The labor equates to a conservative estimate of components as coincident activity, an required to dispense narcotic drugs in yearly rent for NTPs of $46,000. NTP wishing to provide MAT services schedules II–V, and the cost to outfit an Assuming the NTP agrees to a five-year to patient populations with little or no NTP office or mobile conveyance with lease, the present value of the cost of access to an NTP would be required to sufficient medical and office equipment. five years of office rent is $188,609.08 register and open another NTP location Labor costs are considered to be equal at a 7 percent discount rate and in the underserved geographic area. The for both activities as the final rule does $210,666.53 at a 3 percent discount rate. many fixed capital and operating not change the requirements for the In comparison, commercial vehicles expenses associated with the startup personnel that are authorized to suitable for service as a mobile NTP and ongoing operation of a new facility dispense controlled substances. range in price from $30,000 to discourage providers from doing this. Whether an NTP expands via a new $40,000.21 Furthermore, the final rule For example, registrants would be registered location or a mobile does not require an NTP to obtain a required to obtain another NTP component, DEA assumes that the separate registration for the mobile registration at $296 per year and incur registrant would need to expand the component at a cost of $296 per year, the cost of renting additional office quantity and type of labor required to which is a cost that a new registered space, and ensuring that the new dispense narcotic drugs in schedules II– NTP location would incur. The present location meets DEA requirements, that it V, at the same rate for both. However, value of registration costs per registrant is appropriately licensed by the State, it is likely that registered locations over a five-year period is $1,213.66 at a and that it is accredited by an would be required to employ a medical 7 percent discount rate and $1,355.59 at accrediting organization approved by administrative assistant to handle a 3 percent discount rate. SAMHSA. Additionally, opening a new records management, billing, and There are also several operating location would entail additional staffing reception; functions that a mobile expenses that are unique to a mobile and facilities costs. Under the final component of an existing NTP would component that should be factored into rule’s regulatory provisions, registrants outsource to the labor provided by the this analysis. The first is the cost of the are able to operate a mobile component associated registered NTP. DEA assumes narcotic safe and associated installation as a coincident activity of their existing that a new registered NTP location costs. DEA recognizes that while both a registered location, foregoing the requires one medical assistant, and mobile component and a traditional expenses of opening and operating a calculates the total annual NTP office require a safe, the confined new registered location, in favor of the compensation for this medical assistant space of a mobile component likely comparatively lower cost of operating a to be $48,994.19 requires some amount of customization mobile component. DEA also recognizes that there are in the installation process in order to startup costs that will be the same for meet the requirements of 21 CFR 15 Ali, M. M., Mutter, R. (2016). The CBHSQ both activities. This includes the 1301.72(a)(1). To account for this Report: Patients Who Are Privately Insured Receive purchase of medical equipment and unique installation cost, DEA doubled Limited Follow-up Services After Opioid-Related basic office supplies, and the the highest quoted price of the safe 22 Hospitalizations. Rockville, MD: Substance Abuse and Mental Health Services Administration, Center installation of an alarm system and attributed that full amount to the for Behavioral Health Statistics and Quality. compliant with 21 CFR 1301.72(a)(iii). Retrieved by ONDCP on August 18, 2017 at http:// Such startup costs are accordingly also 20 ‘‘2017 Q1 Commercial Real Estate Market www.samhsa.gov/data/sites/default/files/report_ omitted from this analysis. Whether Survey.’’ www.nar.realtor, 2017, www.nar.realtor/ 2117/ShortReport-2117.pdf. research-and-statistics/research-reports/ 16 Leonardson J, Gale JA. Distribution of commercial-real-estate-market-survey/2017-q1- 19 Substance Abuse Treatment Facilities Across the The total annual cost of compensation is based commercial-real-estate-market-survey. on the median annual wage for Occupation Code Rural—Urban Continuum. 2016. https:// 21 31–9092 Medical Assistants ($33,610). May 2018 Price range gathered by searching muskie.usm.maine.edu/Publications/rural/ National Occupational Employment and Wage commercialtrucktrader.com for class 1, 2, and 3 pb35bSubstAbuseTreatmentFacilities.pdf. Estimates, United States, Bureau of Labor Statistics, light duty box trucks and class 4, 5, and 6 medium 17 Sigmon SC. Access to Treatment for Opioid https://www.bls.gov/oes/current/oes_nat.htm#31- duty box trucks. These vehicle classes were used Dependence in Rural America: Challenges and 9092 (last visited November 11, 2019). Average based on DEA’s knowledge of the types of vehicles Future Directions. JAMA Psychiatry. 2014; benefits for employees in private industry is 31.4% currently used by NTP registrants for mobile 71(4):359–360. doi:10.1001/ of total compensation. Employer Costs for components. jamapsychiatry.2013.4450. Employee Compensation—June, 2019, Bureau of 22 Quotes for safes meeting DEA’s regulatory 18 Leonardson J, Gale JA. Distribution of Labor Statistics, https://www.bls.gov/news.release/ specifications were sourced online from three Substance Abuse Treatment Facilities Across the pdf/ecec.pdf (last visited November 11, 2019). The leading manufacturers: Healthcare Logistics, Rural—Urban Continuum. 2016. https:// 31.4% of total compensation equates to 45.8% Medicus Health and Harloff. The highest price muskie.usm.maine.edu/Publications/rural/ (31.4%/68.6%) load on wages and salaries. $33,610 quoted was $899.00. Doubling the price to account pb35bSubstAbuseTreatmentFacilities.pdf. × (1 + 0.4577) = $48,994.17. for installation yields a total cost of $1,798.00.
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mobile component, while attributing was updated) was $1.63. This figure is NTP over a five-year period with the only the purchase price of the safe to the inclusive of all previously listed present value of the costs associated cost of a stationary NTP. The second set expenses.23 Based on DEA’s knowledge with opening an additional NTP of costs unique to the operation of a of the operations of existing mobile location over a five-year period yields a mobile component are maintenance and NTPs, DEA estimates that a mobile NTP net present value of cost savings transportation expenses such as fuel, operating under the final rule will travel between $319,069 (at a 7 percent repair, insurance, permits, licenses, an average of 5,000 miles per year discount rate) and $359,369 (at a 3 tires, tolls, and driver wages and (roughly 100 miles per week). This percent discount rate) for the operation benefits. The American Transportation equates to an annual transportation and of a mobile NTP. The comparison of Research Institute estimates that the maintenance expense of $8,150.00 per costs between the baseline and average marginal cost per mile of 24 year. proposed regulatory environment are operating a straight truck in 2016 (the Comparing the present value of the summarized in the tables below: most recent year in which this figure costs associated with operating a mobile
BASELINE REGULATORY ENVIRONMENT—TOTAL COSTS FOR ADDITIONAL NTP LOCATIONS *
Office rent per year ...... $46,000.00 Cost of safe 25 ...... 899.00 Labor Cost ...... 48,994.00 Registration fee ...... 296.00
NPV 3% Year 1 Year 2 Year 3 Year 4 Year 5
$437,274 ...... $96,189.00 $95,290.00 $95,290.00 $95,290.00 $95,290.00
NPV 7% Year 1 Year 2 Year 3 Year 4 Year 5
$391,549 ...... $96,189.00 $95,290.00 $95,290.00 $95,290.00 $95,290.00 * All figures rounded to the nearest whole dollar.
FINAL RULE’S REGULATORY ENVIRONMENT—TOTAL MOBILE NTP COSTS *
Vehicle purchase price ...... $40,000.00 Cost to install DEA compliant safe ...... 1,798.00 Maintenance cost per year ...... 8,150.00
NPV 3% Year 1 Year 2 Year 3 Year 4 Year 5
$77,905 ...... $49,948.00 $8,150.00 $8,150.00 $8,150.00 $8,150.00
NPV 7% Year 1 Year 2 Year 3 Year 4 Year 5
$72,480 ...... $49,948.00 $8,150.00 $8,150.00 $8,150.00 $8,150.00 * All figures rounded to the nearest whole dollar.
DEA does not have a systematic registrants, and there are currently eight regulatory environment of the final rule method for estimating how many NTP with mobile components still in results in a cost reduction for NTP registrants that are currently deterred or operation. Therefore, DEA considers it a registrants that wish to expand their prevented from opening additional NTP reasonable assumption that at least services to new geographic areas, and locations due to costs might take eleven additional NTP registrants will will spur an increase in the number of advantage of this enabling rule to begin begin operating a mobile NTP after this mobile NTPs. Therefore, this final rule operating a mobile NTP. DEA also final rule is published, bringing the total is a deregulatory action that will result recognizes that, because of their fixed number of mobile NTPs to at least the in a net cost savings between $3,509,759 locations, registered NTPs are more previous total of nineteen. This yields a and $3,953,059. limited in their geographic service area total cost savings for all of those NTPs over a five-year period of $3,509,759 26 Executive Orders 12866 (Regulatory than a mobile NTP would be. DEA Planning and Review) and 13563 conservatively estimates, however, that (at a 7 percent discount rate) to $3,953,059 27 (at a 3 percent discount (Improving Regulation and Regulatory this number would at least equal the Review) number of NTP registrants that operated rate). mobile components at some point in the For the reasons outlined in the This final rule was developed in previous five years under ad hoc comparative analysis discussed above, accordance with the principles of agreements with DEA field offices. DEA concludes that moving from the Executive Orders (E.O.) 12866 and There have been nineteen such NTP baseline regulatory environment to the 13563. E.O. 12866 directs agencies to
23 Hooper, Alan, and Dan Murray. An Analysis of 24 $1.63 per mile × 5,000 miles per year = $8,150. $318,855 over the current regulatory environment. the Operational Costs of Trucking: 2017 Update. 25 The cost of a safe is a one-time expense $319,069 × 11 = $3,509,759. ATRI, American Transportation Research Institute, incurred in the first year of operation. 27 The final rule’s regulatory environment yields 2017, atri-online.org/wp-content/uploads/2017/10/ 26 The final rule’s regulatory environment yields a five-year cost savings (discounted at 3%) of ATRI-Operational-Costs-of-Trucking-2017-10- $359,131 over the current regulatory environment. a five-year cost savings (discounted at 7%) of 2017.pdf. $359,369 × 11 = $3,953,059.
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assess all costs and benefits of available detoxification treatment. Mobile application of E.O. 13132. The final rule regulatory alternatives and, if regulation components associated with the does not have substantial direct effects is necessary, to select regulatory registered NTP were seen as an on the States, on the relationship approaches that maximize net benefits alternative because they increased between the national government and (including potential economic, accessibility to treatment in the areas the States, or on the distribution of environmental, public health, and safety that needed it. power and responsibilities among the effects; distributive impacts; and This final rule builds on the existing various levels of government. experience and provides additional equity). E.O. 13563 is supplemental to Executive Order 13175, Consultation and reaffirms the principles, structures, flexibility for NTPs in operating mobile components, subject to regulatory and Coordination With Indian Tribal and definitions governing regulatory Governments review established in E.O. 12866. DEA restrictions put into place to prevent the expects that this final rule will not have diversion of controlled substances. DEA This final rule does not have tribal an annual effect on the economy of $100 is revising 21 CFR 1301.13 to make implications warranting the application million or more in at least one year and operating a mobile component of an of E.O. 13175. It does not have therefore is not an economically NTP a coincident activity of an existing substantial direct effects on one or more significant regulatory action. DEA NTP registration, and this provision will Indian tribes, on the relationship examined each of the provisions of the reduce the regulatory burden on NTPs between the Federal government and final rule to estimate its economic by waiving the separate DEA Indian tribes, or on the distribution of impact, comparing the costs and/or cost- registration requirement. These mobile power and responsibilities between the savings of a ‘‘no action’’ baseline NTPs are required to maintain effective Federal government and Indian tribes. security to guard against theft and regulatory environment with the costs Regulatory Flexibility Act and/or cost-savings of the regulatory diversion of controlled substances in In accordance with the Regulatory environment that will result from this accordance with 21 CFR 1301.72. The Flexibility Act (RFA), DEA evaluated final rule. This final rule is an enabling mobile NTPs are also subject to the the impact of this final rule on small rule designed to expand the supply of recordkeeping requirements in 21 CFR entities. DEA’s evaluation of economic MAT providers, and DEA currently has 1304.04 and 1304.24. Many of the impact by size category indicates that only authorized mobile NTPs on an ad current mobile NTPs are already the final rule will not have a significant hoc basis, with a present moratorium on following these regulatory requirements. economic impact on a substantial further such authorizations. Thus, DEA This final rule ensures that these number of these small entities. compared the costs of delivering MAT regulatory requirements can be enforced The RFA requires agencies to analyze services in a baseline regulatory consistently over any current or future options for regulatory relief of small environment in which no new mobile NTP wishing to operate a mobile NTP. entities unless it can certify that the rule NTPs are authorized, to the costs of Thus, this final rule will enable any will not have a significant impact on a delivering an equivalent level of MAT NTP registered with DEA to engage in substantial number of small entities. For services in the final rule’s regulatory an activity that was previously purposes of the RFA, small entities environment in which a registered NTP authorized through special include small businesses, nonprofit may begin to operate a mobile arrangements with DEA field offices. organizations, and small governmental component as a coincident activity, Furthermore, DEA’s purpose for jurisdictions. DEA evaluated the impact subject to the provisions of this final allowing registered NTPs to operate a of this rule on small entities and rule. DEA’s analysis, summarized in the mobile component as a coincident discussions of its findings are below. preceding section, finds that this final activity is to expand the availability of rule will result in a net cost-savings MAT in accordance with the priorities Description and Estimate of the Number between $3,509,759 and $3,953,059, and outlined in the President’s Commission of Small Entities on Combating Drug Addiction and The is therefore below the $100 million To determine the final rule’s effect on threshold. Opioid Crisis, published on November 1, 2017. small entities, DEA must first calculate For a number of years, DEA has While the findings of the regulatory the total number of affected entities. To allowed registered NTPs to utilize impact analysis of this final rule support do this, DEA must determine the total mobile components as part of their the conclusion that this rulemaking is number of NTP entities in the United programs through special arrangements not economically significant, the Office States, as those are the entities that are with local DEA field offices. The use of of Information and Regulatory Affairs able to take advantage of this enabling these mobile components was in (OIRA) has nonetheless determined that rule. response to the opioid epidemic that is the final rule is a ‘‘significant regulatory DEA begins with the number of currently affecting the nation. With the action’’ under E.O. 12866, section 3(f). relevant DEA registrations—that is, NTP number of deaths attributed to Accordingly, this rule has been registrations. The number of NTP overdoses increasing, the demand for reviewed by OIRA. entities differs from the number of NTP access to medication-assisted treatment registrations, however, because NTP increased. In many areas, this has Executive Order 12988, Civil Justice entities often hold more than one DEA resulted in long wait lists and high Reform registration, such as where a registrant service fees for services provided by This final rule meets the applicable handles controlled substances at NTPs. Alternative guidelines and standards set forth in sections 3(a) and multiple locations, requiring the entity methods were sought to increase 3(b)(2) of E.O. 12988, Civil Justice to hold registrations for each of these accessibility to treatment for people Reform, to eliminate ambiguity, locations. DEA does not, in the general with substance use disorder, including minimize litigation, establish clear legal course of business, collect or otherwise OUD, especially in rural areas or areas standards, and reduce burden. maintain information regarding where NTPs are not accessible, or to associated or parent organizations allow those who have health conditions Executive Order 13132, Federalism holding multiple registrations. that prevent them from traveling long This final rule does not have Therefore, to derive the total number of distances to receive maintenance or federalism implications warranting the NTP entities from the number of NTP
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registrations, DEA needs to develop a To do so, DEA first determined the The business activity and its relationship, or ratio, between the total North American Industry Classification corresponding representative NAICS number of NTP registrations and the System (NAICS) 28 classification codes codes are listed in the table below. number of entities possessing those that most closely represent the affected registrations. business activity—namely, NTP activity.
BUSINESS ACTIVITY AND REPRESENTATIVE NAICS CODES
Business activity NAICS codes
Narcotic Treatment Program ...... 622210—Psychiatric and Substance Abuse Hospitals. 621420—Outpatient Mental Health and Substance Abuse Centers.
DEA then gathered economic data for code. (For the purposes of this analysis, calculated this ratio to be 0.56, as listed those codes using the U.S. Census the term ‘‘firm’’ as defined in the SUSB in the table below. In other words, each Bureau, Statistics of U.S. Businesses is used interchangeably with ‘‘entity’’ as organization engaged in activities (SUSB). Specifically, DEA used the defined in the RFA.) From this, DEA covered by these NAICS codes operated, SUSB data to determine the number of calculated a firm-to-establishment on average, slightly fewer than two ‘‘firms’’ and the number of ratio—i.e., the average number of establishments. ‘‘establishments’’ in the United States organizations for each establishment that correspond to each relevant NAICS engaged in these activities. DEA
FIRM-TO-ESTABLISHMENT RATIO BY NAICS CODE
Firm to NAICS code Number of firms Number of establishment establishments ratio
Total Narcotic Treatment Program ...... 6,919 12,449 0.56
622210—Psychiatric and Substance Abuse Hospitals ...... 396 623 .64 621420—Outpatient Mental Health and Substance Abuse Centers ...... 6,523 11,826 .55 Source: SUSB.29 (Accessed 9/8/2020).
Because an entity generally must 822(e)(1), the number of NTP NTP registrations in DEA’s database to obtain a separate registration ‘‘at each establishments should be roughly estimate the number of NTP entities, principal place of business or equivalent to the number of DEA resulting in an estimate of 1,026 NTP professional practice’’ where it registrations for NTPs. Thus, DEA entities in the United States. The table manufactures, distributes, or dispenses applied the calculated firm-to- below summarizes this calculation. a controlled substance, see 21 U.S.C. establishment ratio of 0.56 to the 1,832
NUMBER OF ENTITIES BY BUSINESS ACTIVITY
Number of Entity to Business activity NAICS code registrations/ establishment Number of establishment ratio entities
Narcotic Treatment Program ...... 622210 1,832 0.56 1,026 621420
Grand Total ...... 1,832 ...... 1,026
Thus, based on these calculations, final rule, matching the previous total of DEA estimates that 1.07 percent (11 of DEA estimates that 1,026 entities could nineteen mobile NTPs that were in 1,026) of total NTP entities in the currently operate a mobile NTP, operation over the previous five years. United States will be affected by this including the eight NTP entities that Because the final rule is an enabling final rule. currently operate mobile NTP rule and thus does not affect entities To estimate the number of NTP components. Of these, DEA estimates that choose not to change their behavior entities that are small entities for RFA that at least an additional eleven entities in response to it, only NTP entities that purposes, DEA used a process similar to will choose to operate a mobile NTP as choose to establish mobile NTP units that used to estimate the total number a coincident activity in response to the will be affected by the rule. Therefore, of NTP entities. As described above,
28 The North American Industry Classification www.census.gov/eos/www/naics/ (last accessed: of firms, number of establishments, employment, System (NAICS) is the standard used by the Federal September 1, 2020). and annual payroll for most U.S. business statistical agencies in classifying business 29 Data for NAICS codes related to NTPs are based establishments. The data are tabulated by establishments for the purpose of collecting, on the 2017 SUSB Annual Datasets by geographic area, industry, and employment size of analyzing, and publishing statistical data related to Establishment Industry, last revised on July 16, the enterprise. The industry classification is based the U.S. business economy. https:// 2020. SUSB annual or static data includes: Number on 2012 NAICS codes.
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U.S. Small Business Administration entity’’ under the RFA. The SBA has that best correspond to NTPs are listed (SBA) 30 size standards—based on the established these size standards for below: Firms below this SBA size number of employees or annual business activities corresponding to standard (based on annual receipts for receipts, depending on the industry— each NAICS code. The SBA size these codes) are small firms—and thus determine what constitutes a ‘‘small standards for each of the NAICS codes small entities under the RFA.
SBA SIZE STANDARDS
Size standards Size NAICS codes Description ($ million in standards annual (number of receipts) employees)
622210 ...... Psychiatric and Substance Abuse Hospitals ...... 41.5 ...... 621420 ...... Outpatient Mental Health and Substance Abuse Centers ...... 16.5 ...... Source: SBA, August 19, 2019. (Accessed 9/8/20120).
DEA used SUSB data to estimate the years. DEA then applied these codes that most closely correspond to number of small firms for each of these percentages to the updated totals found NTP entities, DEA estimates that 85.1 NAICS codes. In 2012, the last year for in the 2017 SUSB Annual Datasets by percent of NTP entities are small firms. which the SUSB has published the Establishment Industry, resulting in As described above, DEA has concluded necessary receipts data,31 180 of 411 approximately 173 firms (43.78 percent that there are roughly 1,026 total NTP (43.78%) firms within code 622210 fell of the total 396) within code 622210 and entities in the United States. below the SBA size standard and thus 5,714 firms (87.61 percent of the total Accordingly, DEA estimates that 873 32 were small firms. 4,369 of 4,987 (87.61 6,523) within code 621420 classified as (85.1 percent) of the total 1,026 NTP percent) firms within code 621420 fell small firms. Combining these values entities are small entities. The analysis below the standard. DEA assumes that indicates that, for these codes, 5,887 of is summarized in the table below. these percentages of small firms for each 6,919 firms, or 85.1 percent, are small code have remained constant in recent firms. Thus, since these are the NAICS
SUMMARY OF REGISTRATION, ESTABLISHMENT, ENTITY, AND SMALL ENTITY
Number of Entity to Business activity registrations/ establishment Number of Percent small Number of establishments ratio entities entities small entities
Narcotic Treatment Program ...... 1,832 0.56 1,026 85.1 873 Percent Small Entity ...... 85.1%
In consultation with the SBA’s Office activity in response to the final rule. 1.07 percent), especially since most NTP of Advocacy, DEA has adopted the SBA Because the final rule is an enabling entities are small. Thus, DEA estimates standard that the amount of small rule and thus does not affect entities that 1.07 percent (9 of the 873 33) of entities affected by a final rule is that do not change their behavior in small NTP entities will choose to begin ‘‘substantial’’ if 30% or more of the response to it, only these 11 NTP operating a mobile NTP as a coincident relevant group of small entities will be entities and the 8 NTPs currently activity in response to the rule. affected by the rule. As described in the operating units under ad hoc Estimating Impact on Small Entities Summary of Costs and Benefits section, agreements are affected by the rule. The nine affected small entities are this final rule is an enabling rule and a Therefore, DEA estimates that 1.85 estimated to realize the same cost deregulatory action resulting in a total percent (19 of 1,026) of total NTP savings as other affected entities, as cost savings of at least $3,509,759 over entities in the United States are affected calculated above: Between $319,069 (at a five-year period. The final rule allows by this final rule. DEA estimates that 11 a 7 percent discount rate) and $359,369 NTP registrants another option for NTPs not already operating a mobile (at a 3 percent discount rate) per entity expanding the reach of their services, if NTP (or 1.07 percent of all NTPs) will over a five-year period. DEA generally they so choose, without requiring that choose to operate a mobile NTP. DEA considers impacts that are greater than current or future NTP registrants change has no reason to conclude that the 3% of yearly revenue to be a their business practices or incur any percentage of small NTP entities that ‘‘significant economic impact’’ on an costs. DEA estimates that only an begin operating mobile components in entity, and recognizes that this amount additional eleven entities will choose to response to the rule will differ from the of cost savings rises above that operate a mobile NTP as a coincident percentage of total NTPs (11 of 1,026, or threshold for those small entities.
30 The SBA is an independent agency of the 31 SUSB receipts data are available only for together the number of firms in each range falling Federal Government to aid, counsel, assist, and Economic Census years (years ending in 2 and 7). completely below the SBA standard. Because the protect the interests of small business concerns, to Thus, DEA used SUSB data from 2012, the most SBA size standard for code 622210 falls within the preserve free competitive enterprise, and to recent available annual receipt data. middle of a range, DEA’s calculations may slightly maintain and strengthen the overall economy of the 32 SUSB data gives the number of firms for each underestimate the number of small firms for this code. nation. https://www.sba.gov/about-sba (last NAICS code within a series of ranges of annual 33 × accessed: 9/8/2020). receipts. Thus, to determine the number of firms 0.0107 873 = 9.3411. Rounding down to the falling below the SBA size standard, DEA added nearest whole number yields 9.
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However, since the percentage of small entities. Therefore, this final rule The table below summarizes the affected small entities is less than 30 does not rise to the level of certification analysis. percent (1.07 percent), this final rule as economically significant. does not impact a substantial number of
SUMMARY OF ANALYSIS
Estimated number Estimated number Business activity of small entities of affected Percentage of small entities affected Economic impact (Establishments) small entities of compliance
Narcotic Treatment Program .. 873 9 1.07% (Not Substantial) ...... Not significant.
DEA examined the economic impact economy of $100 million or more; a Mobile Narcotic Treatment Program of the final rule for each affected major increase in costs or prices; or means a narcotic treatment program industry for various size ranges. Based significant adverse effects on (NTP) operating from a motor vehicle, as on the analysis above, and because of competition, employment, investment, defined in this section, that serves as a these facts, DEA certifies this final rule productivity, innovation, or on the mobile component (conveyance) and is will not have a significant economic ability of United States-based operating under the registration of the impact on a substantial number of small companies to compete with foreign- NTP, and engages in maintenance and/ entities. based companies in domestic and or detoxification treatment with narcotic export markets. Accordingly, this final drugs in schedules II–V, at a location or Unfunded Mandates Reform Act of 1995 rule is not subject to the reporting locations remote from, but within the In accordance with the Unfunded requirements under the CRA. same State as, its registered location. Mandates Reform Act (UMRA) of 1995, Operating a mobile NTP is a coincident List of Subjects 2 U.S.C. 1501 et seq., DEA has activity of an existing NTP, as listed in determined that this action will not 21 CFR Part 1300 § 1301.13(e) of this chapter. result in any Federal mandate that may Motor vehicle means a vehicle Chemicals, traffic control. result in the expenditure by State, local, propelled under its own motive power and tribal governments, in the aggregate, 21 CFR Part 1301 and lawfully used on public streets, or by the private sector, of $100 million Administrative practice and roads, or highways with more than three or more (adjusted annually for inflation) procedure, Drug traffic control, Security wheels in contact with the ground. This in any 1 year. Therefore, neither a Small measures. term does not include a trailer. Government Agency Plan nor any other * * * * * action is required under UMRA of 1995. 21 CFR Part 1304 Paperwork Reduction Act of 1995 Drug traffic control, Reporting and PART 1301—REGISTRATION OF recordkeeping requirements. MANUFACTURERS, DISTRIBUTORS, This action does not impose a new AND DISPENSERS OF CONTROLLED collection of information requirement For the reasons stated in the SUBSTANCES under the Paperwork Reduction Act of preamble, DEA amends 21 CFR parts 1995. 44 U.S.C. 3501–3521. This action 1300, 1301, and 1304 as follows: ■ 3. The authority citation for part 1301 will not impose new recordkeeping or continues to read as follows: PART 1300—DEFINITIONS reporting requirements on State or local Authority: 21 U.S.C. 821, 822, 823, 824, governments, individuals, businesses, or ■ 1. The authority citation for part 1300 831, 871(b), 875, 877, 886a, 951, 952, 956, organizations. Although the final rule continues to read as follows: 957, 958, 965 unless otherwise noted. revises certain recordkeeping and ■ 4. In § 1301.13, revise paragraph reporting provisions to explicitly apply Authority: 21 U.S.C. 802, 821, 822, 829, (e)(1)(vii), and add paragraph (e)(4) to them to mobile NTPs, these provisions 871(b), 951, 958(f). read as follows: already apply to NTPs in general and ■ 2. In § 1300.01(b), add in alphabetical thus do not impose any new collection order the definitions of ‘‘Mobile § 1301.13 Application for registration; time of information requirement. Narcotic Treatment Program’’ and for application; expiration date; registration ‘‘Motor vehicle’’ to read as follows: for independent activities; application Congressional Review Act forms, fees, contents and signature; This final rule is not a major rule as § 1300.01 Definitions relating to controlled coincident activities. defined by the Congressional Review substances. * * * * * Act (CRA), 5 U.S.C. 804. This final rule * * * * * (e) * * * will not result in an annual effect on the (b) * * * (1) * * *
(vii) Narcotic Treat- Narcotic Drugs in New–363 ...... 296 1 May operate one or more mobile narcotic ment Program (in- Schedules II–V. Renewal–363a ...... treatment programs as defined under cluding § 1300.01(b), provided approval has compounder). been obtained under § 1301.13(e)(4).
* * * * * the local DEA office, in writing, of its the mobile NTP. The mobile NTP may (4) For any narcotic treatment intent to do so, and the NTP must only operate in the same State in which program (NTP) intending to operate a receive explicit written approval from the NTP is registered. mobile NTP, the registrant must notify the local DEA office prior to operating
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(i) Registrants are not required to The storage area of the mobile exception. In making this obtain a separate registration for component must conform to the determination, the Administrator will conveyances (mobile components) accessibility requirements in paragraph consider the applicant’s security and utilized by the registrant to transport (d) of this section. The storage area for recordkeeping as well as any other controlled substances away from controlled substances in a mobile factors he deems relevant to registered locations for dispensing at component of an NTP must not be determining whether effective controls unregistered locations as part of a accessible from outside of the vehicle. against diversion will be maintained. mobile NTP. Vehicles must possess Personnel transporting the controlled ■ 6. In § 1301.74: valid county/city and State information substances on behalf of the mobile NTP ■ a. Revise the section heading; (e.g., a vehicle information number are required to retain control over all ■ b. Revise paragraphs (j) through (l); (license plate number) on file at the controlled substances when transferring ■ c. Redesignate paragraph (m) as registered location of the NTP. them between the registered location paragraph (o); and Registrants are also required to provide and the conveyance, while en route to ■ d. Add new paragraphs (m) and (n). proper city/county and State licensing and from the dispensing location or The revisions and additions read as and registration to DEA at the time of locations, and when dispensing at the follows: inspection, and prior to transporting dispensing location or locations. At all § 1301.74 Other security controls for non- controlled substances away from their other times during transportation, all practitioners; narcotic treatment programs registered location. controlled substances must be properly and compounders for narcotic treatment (ii) A mobile NTP is not permitted to secured in the safe. Upon completion of programs; mobile narcotic treatment reverse distribute, share, or transfer the operation of the mobile NTP on a programs. controlled substances from one mobile given day, the conveyance must be * * * * * component to another mobile immediately returned to the registered (j) Persons enrolled in any narcotic component while deployed away from location, and all controlled substances treatment program (NTP), including the registered location. NTPs with must be removed from the conveyance those receiving treatment at a mobile mobile components are not allowed to and secured within the registered NTP, will be required to wait in an area modify their registrations to authorize location. After the conveyance has that is physically separated from the their mobile components to act as returned to the registered location and narcotic storage and dispensing area by collectors under 21 CFR 1301.51 and the controlled substances have been a physical entrance such as a door or 1317.40. Mobile components of NTPs removed, the conveyance may be parked other entryway. Patients must wait may not function as hospitals, long-term until its next use at the registered outside of a mobile NTP component if care facilities, or emergency medical location or any secure, fenced-in area, that conveyance does not have seating service vehicles, and will not transport once the local DEA office has been or a reception area that is separated patients. notified of the location of this secure, from the narcotic storage and dispensing (iii) A mobile NTP may operate at any fenced-in area. All NTPs with mobile area. This requirement will be enforced remote location or locations within the components shall be required to by the program practitioner and NTP same State as its registered location, establish a standard operating procedure employees. including correctional facilities, so long to ensure, if the mobile component (k) All NTPs, including mobile NTPs, as doing so is otherwise consistent with becomes inoperable (mechanical failure, must comply with standards established applicable Federal, State, tribal, and accidents, fire, etc.), that all controlled by the Secretary of Health and Human local laws and regulations, and so long substances on the inoperable Services (after consultation with the as the local DEA office, when notified conveyance are accounted for, removed Administration) respecting the pursuant to this section, does not from the inoperable conveyance, and quantities of narcotic drugs which may otherwise direct. secured at the registered location. be provided to persons enrolled in a NTP or mobile NTP for unsupervised * * * * * (2) With regard to the requirement of ■ 5. In § 1301.72, revise the section use (e.g., take home or non-directly paragraph (e)(1) of this section, that observed therapy). heading and add paragraph (e) to read upon completion of the operation of the as follows: (l) DEA may exercise discretion mobile NTP on a given day, the regarding the degree of security required § 1301.72 Physical security controls for conveyance must be immediately in NTPs, including mobile NTPs, based non-practitioners; narcotic treatment returned to the registered location, and on such factors as the location of a programs and compounders for narcotic all controlled substances must be program, the number of patients treatment programs; mobile narcotic removed from the conveyance and enrolled in a program, and the number treatment programs; storage areas. secured within the registered location, of practitioners, staff members, and * * * * * an NTP may apply for an exception to security guards. Personnel that are (e) Mobile Narcotic Treatment this requirement as provided in this authorized to dispense controlled Programs. (1) For any conveyance paragraph. The application for such an substances for narcotic treatment must operated as a mobile narcotic treatment exception must be submitted in ensure proper security measures and program (NTP), a safe must be installed accordance with § 1307.03 of this patient dosage. Similarly, DEA will and used to store narcotic drugs in chapter and must include the proposed consider such factors when evaluating schedules II–V for the purpose of alternate return period, enhanced existing security or requiring new maintenance or detoxification security measures, and any other factors security at a narcotic treatment program treatment, when not located at the the applicant wishes the Administrator or mobile NTP. registrant’s registered location. The safe to consider. The Administrator may (m) Any controlled substances being must conform to the requirements set grant such an exception in his transported for disposal from the forth in paragraph (a)(1) of this section. discretion and will evaluate each dispensing location of a mobile NTP The mobile component must also be application on a case-by-case basis in shall be secured and disposed of in equipped with an alarm system that determining whether the applicant has compliance with part 1317, and all conforms to the requirements set forth demonstrated exceptional other applicable Federal, State, tribal, in paragraph (a)(1)(iii) of this section. circumstances that warrant the and local laws and regulations.
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(n) A conveyance used as part of a records, if the following conditions are June 17, 2021. The interim final rule mobile NTP may only be supplied with met: implements requirements of the narcotic drugs by the registered NTP (i) The automated system maintains National Defense Authorization Act that operates such conveyance. Persons the information required in paragraph (NDAA) for Fiscal Year 2020 permitting permitted to dispense controlled (a); members of the uniformed services or substances to mobile NTPs shall not: (ii) The automated system has the their authorized representatives to file (1) Receive controlled substances capability of producing a hard copy claims for personal injury or death from other mobile NTPs or any other printout of the program’s dispensing caused by a Department of Defense entity; records; (DoD) health care providers in certain (2) Deliver controlled substances to (iii) The NTP or its mobile component military medical treatment facilities. other mobile NTPs or any other entity; prints a hard copy of each day’s Because Federal courts do not have or dispensing log, which is then initialed jurisdiction to consider these claims, (3) Conduct reverse distribution of appropriately by each person who DoD is issued this rule to provide controlled substances on a mobile NTP. dispensed medication to the program’s uniform standards and procedures for * * * * * patients; considering and processing these (iv) The automated system is actions. PART 1304—RECORDS AND approved by DEA; DATES: This correction is effective on REPORTS OF REGISTRANTS (v) The NTP or its mobile component July 19, 2021. maintains an off-site back-up of all ■ 7. The authority citation for part 1304 computer generated program FOR FURTHER INFORMATION CONTACT: continues to read as follows: information; and Patricia Toppings, 571–372–0485. Authority: 21 U.S.C. 821, 827, 831, 871(b), (vi) The automated system is capable SUPPLEMENTARY INFORMATION: In FR Doc. 958(e)–(g), and 965, unless otherwise noted. of producing accurate summary reports 2021–12815, appearing at 86 FR 32194– for both the registered site of the NTP 32215 in the Federal Register on § 1304.04 [Amended] and any mobile component, for any Thursday, June 17, 2021, the following ■ 8. In § 1304.04, amend paragraph (f) time-frame selected by DEA personnel correction is made: introductory text by adding ‘‘mobile during an investigation. If these § 45.11 [Corrected] narcotic treatment program,’’ after summary reports are maintained in hard ‘‘exporter’’. copy form, they must be kept in a ■ 1. On page 32213, in the third column, ■ 9. In § 1304.24, revise the section systematically organized file located at line 47 from the top, in § 45.11, the heading and paragraphs (a) and (b) to the registered site of the NTP. second paragraph (g)(5) and paragraphs read as follows: (2) The NTP must retain all records (g)(6) and (7) that follow are for the NTP as well as any mobile redesignated as (g)(6) through (8). § 1304.24 Records for maintenance component two years from the date of treatment programs, mobile narcotic Dated: June 22, 2021. treatment programs, and detoxification execution, in accordance with Patricia L. Toppings, treatment programs. § 1304.04(a). However, if the State in OSD Federal Register Liaison Officer, which the NTP is located requires that (a) Each person registered or Department of Defense. records be retained longer than two authorized (by § 1301.22 of this chapter) [FR Doc. 2021–13632 Filed 6–25–21; 8:45 am] years, the NTP should contact its State to maintain and/or detoxify controlled BILLING CODE 5001–06–P opioid treatment authority for substance users in a narcotic treatment information about State requirements. program (NTP), including a mobile NTP, * * * * * shall maintain records with the DEPARTMENT OF HOMELAND following information for each narcotic D. Christopher Evans, SECURITY controlled substance: Acting Administrator. (1) Name of substance; Coast Guard [FR Doc. 2021–13519 Filed 6–25–21; 8:45 am] (2) Strength of substance; (3) Dosage form; BILLING CODE 4410–09–P 33 CFR Part 117 (4) Date dispensed; (5) Adequate identification of patient [Docket No. USCG–2020–0694] (consumer); DEPARTMENT OF DEFENSE RIN 1625–AA09 (6) Amount consumed; Office of the Secretary (7) Amount and dosage form taken Drawbridge Operation Regulation; Gulf home by patient; and 32 CFR Part 45 Intracoastal Waterway, Madeira Beach, (8) Dispenser’s initials. FL (b) The records required by paragraph [Docket ID: DOD–2021–OS–0047] (a) of this section will be maintained in AGENCY: Coast Guard, DHS. RIN 0790–AL22 a dispensing log at the NTP site, or in ACTION: Final rule. the case of a mobile NTP, at the Medical Malpractice Claims by SUMMARY: registered site of the NTP, and will be Members of the Uniformed Services; The Coast Guard is changing maintained in compliance with Correction the operating schedule that governs the § 1304.22 without reference to Welch Causeway (SR 699) Bridge, Gulf § 1304.03. AGENCY: Department of Defense (DoD) Intracoastal Waterway mile 122.8, at (1) As an alternative to maintaining a Office of General Counsel, DoD. Madeira Beach, Florida. This change paper dispensing log, an NTP or its ACTION: Interim final rule; correction. will place the drawbridge on a daily mobile component may also use an operating schedule to alleviate vehicle automated/computerized data SUMMARY: The Department of Defense is congestion due to on demand bridge processing system for the storage and correcting an interim final rule that openings and balance the needs of all retrieval of the program’s dispensing appeared in the Federal Register on modes of transportation due to the
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economic growth in the vicinity of the growth and vehicle traffic in the area, as B. Impact on Small Entities bridge. well as a school located in close The Regulatory Flexibility Act of 1980 DATES: This rule is effective July 28, proximity to the bridge. The bridge (RFA), 5 U.S.C. 601–612, as amended, 2021. owner, Florida Department of requires federal agencies to consider the Transportation (FDOT), is in support of ADDRESSES: To view documents potential impact of regulations on small the proposed changes. entities during rulemaking. The term mentioned in this preamble as being The Welch Causeway (SR 699) Bridge ‘‘small entities’’ comprises small available in the docket, go to https:// across the Gulf Intracoastal Waterway, businesses, not-for-profit organizations www.regulations.gov. Type USCG– mile 122.8, at Madeira Beach, Florida is that are independently owned and 2020–0694 in the ‘‘SEARCH’’ box and a double-leaf bascule bridge with a 25 operated and are not dominant in their click ‘‘SEARCH.’’ Click on Open Docket foot vertical clearance at mean high fields, and governmental jurisdictions Folder on the line associated with this water in the closed position and an 89 with populations of less than 50,000. rule. foot horizontal clearance between The Coast Guard received zero FOR FURTHER INFORMATION CONTACT: If fenders. The normal operating schedule comments from the Small Business you have questions on this rule, call or for the bridge is found in 33 CFR Administration on this rule. The Coast email LT Clark W. Sanford, U.S. Coast 117.287(h). Navigation on the waterway Guard certifies under 5 U.S.C. 605(b) Guard, Sector Saint Petersburg is commercial and recreational. Waterways Management Division; that this rule will not have a significant telephone 727–824–7506, email IV. Discussion of Comments, Changes economic impact on a substantial [email protected]. and the Final Rule number of small entities. SUPPLEMENTARY INFORMATION: The Coast Guard is changing the While some owners or operators of operating schedule that governs the vessels intending to transit the bridge I. Table of Abbreviations Welch Causeway (SR 699) Bridge, mile may be small entities, for the reasons CFR Code of Federal Regulations 122.8 at Madeira Beach, Florida. The stated in section V.A above, this rule DHS Department of Homeland Security bridge currently operates on demand, will not have a significant economic FR Federal Register and will continue to open on demand impact on any vessel owner or operator. OMB Office of Management and Budget with the following exception; from 7 Under section 213(a) of the Small NPRM Notice of Proposed Rulemaking a.m. to 7 p.m. daily, except Federal Business Regulatory Enforcement (Advance, Supplemental) Fairness Act of 1996 (Pub. L. 104–121), § Section holidays, the draw need only open on the hour and half hour. we want to assist small entities in U.S.C. United States Code understanding this rule. If the rule FL Florida One comment was received. The TD Test Deviation commenter felt the bridge should would affect your small business, FDOT Florida Department of remain on demand, not limit when organization, or governmental Transportation vessels can pass and that better vehicle jurisdiction and you have questions traffic control would solve any traffic concerning its provisions or options for II. Background Information and compliance, please contact the person Regulatory History congestion. Due to the increase in vehicle traffic, the Coast Guard has listed in the FOR FURTHER INFORMATION On December 18, 2020 the Coast determined that placing the bridge on a CONTACT section. Guard published a Test Deviation schedule will alleviate some congestion Small businesses may send comments entitled Drawbridge Operation while still meeting the reasonable needs on the actions of Federal employees Regulation; Gulf Intracoastal Waterway, of navigation. Additionally, vessels able who enforce, or otherwise determine Madeira Beach, FL in the Federal to pass beneath the bridge without an compliance with, Federal regulations to Register (85 FR 82355). The TD invited opening may do so at any time. the Small Business and Agriculture comments on the proposed rule change. Regulatory Enforcement Ombudsman One comment was received during the V. Regulatory Analyses and the Regional Small Business test period which was addressed in the We developed this rule after Regulatory Fairness Boards. The NPRM. considering numerous statutes and Ombudsman evaluates these actions On April 30, 2021, the Coast Guard Executive Orders related to rulemaking. annually and rates each agency’s published a Notice of Proposed Below we summarize our analyses responsiveness to small business. If you Rulemaking, with a request for based on a number of these statutes and wish to comment on actions by comments, entitled ‘‘Drawbridge Executive Orders, and we discuss First employees of the Coast Guard, call 1– Operation Regulation; Gulf Intracoastal Amendment rights of protesters. 888–REG–FAIR (1–888–734–3247). The Waterway, Madeira Beach, FL’’ in the Coast Guard will not retaliate against Federal Register (85 FR 22911). There A. Regulatory Planning and Review small entities that question or complain we stated why we issued the NPRM, Executive Orders 12866 and 13563 about this rule or any policy or action and invited comments on our proposed direct agencies to assess the costs and of the Coast Guard. regulatory action related to this benefits of available regulatory C. Collection of Information regulatory change. During the comment alternatives and, if regulation is period that ended May 15, 2021, we necessary, to select regulatory This rule calls for no new collection received one comment and that approaches that maximize net benefits. of information under the Paperwork comment is addressed in Section IV of This rule has not been designated a Reduction Act of 1995 (44 U.S.C. 3501– this Final Rule. ‘‘significant regulatory action,’’ under 3520). Executive Order 12866. Accordingly, it D. Federalism and Indian Tribal III. Legal Authority and Need for Rule has not been reviewed by the Office of Government The Coast Guard is issuing this rule Management and Budget (OMB). under authority 33 U.S.C. 499. The City This regulatory action determination A rule has implications for federalism of Madeira Beach, Florida has requested is based on the ability that vessels can under Executive Order 13132, the current operating schedule be still transit the bridge given advanced Federalism, if it has a substantial direct modified due to the increased economic notice. effect on the States, on the relationship
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between the National Government and message can be received without FOR FURTHER INFORMATION CONTACT: If the States, or on the distribution of jeopardizing the safety or security of you have questions about this power and responsibilities among the people, places or vessels. notification of non-enforcement, call or various levels of government. We have email Lieutenant Peter McAndrew, List of Subjects in 33 CFR Part 117 analyzed this rule under that Order and Sector Puget Sound Waterways have determined that it is consistent Bridges. Management Division, U.S. Coast with the fundamental federalism For the reasons discussed in the Guard; telephone 206–217–6051, email principles and preemption requirements preamble, the Coast Guard amends 33 [email protected]. described in Executive Order 13132. CFR part 117 as follows: SUPPLEMENTARY INFORMATION: The Coast Also, this rule does not have tribal Guard normally enforces the safety zone implications under Executive Order PART 117—DRAWBRIDGE for the Seattle Seafair Firework Display 13175, Consultation and Coordination OPERATION REGULATIONS in Lake Washington, Seattle, WA found with Indian Tribal Governments, in 33 CFR 165.1332 annually during the ■ because it does not have a substantial 1. The authority citation for part 117 month of July. This year, the event direct effect on one or more Indian continues to read as follows: organizers cancelled Seafair. Therefore, tribes, on the relationship between the Authority: 33 U.S.C. 499; 33 CFR 1.05–1; the Coast Guard does not plan to enforce Federal Government and Indian tribes, and Department of Homeland Security the safety zone for the Seattle Seafair or on the distribution of power and Delegation No. 0170.1. Firework Display in Lake Washington, responsibilities between the Federal ■ 2. Amend § 117.287 by revising Seattle, WA found in 33 CFR 165.1332, Government and Indian tribes. paragraph (h) to read as follows: in July 2021. E. Unfunded Mandates Reform Act In addition to this notification of non- § 117.287 Gulf Intracoastal Waterway enforcement in the Federal Register, if The Unfunded Mandates Reform Act * * * * * the situation changes and the Captain of of 1995 (2 U.S.C. 1531–1538) requires (h) The draw of the Welch Causeway the Port Sector Puget Sound (COTP) Federal agencies to assess the effects of (SR 699) Bridge, Gulf Intracoastal determines that the regulated area needs their discretionary regulatory actions. In Waterway mile 122.8, at Madeira Beach, to be enforced, the COTP will issue a particular, the Act addresses actions Florida, shall open on signal; except Broadcast Notice to Mariners and that may result in the expenditure by a that, from 7 a.m. to 7 p.m. daily, except provide actual notice of enforcement to State, local, or tribal government, in the Federal holidays, the draw need only any persons in the regulated area. aggregate, or by the private sector of open on the hour and half hour. $100,000,000 (adjusted for inflation) or Dated: June 21, 2021. more in any one year. Though this rule Dated: June 21, 2021. P.M. Hilbert, will not result in such an expenditure, Eric C. Jones, Captain, U.S. Coast Guard, Captain of the we do discuss the effects of this rule Rear Admiral, U.S. Coast Guard, Commander Port Sector Puget Sound. elsewhere in this preamble Seventh Coast Guard District. [FR Doc. 2021–13722 Filed 6–25–21; 8:45 am] [FR Doc. 2021–13700 Filed 6–25–21; 8:45 am] BILLING CODE 9110–04–P F. Environment BILLING CODE 9110–04–P We have analyzed this rule under Department of Homeland Security DEPARTMENT OF HOMELAND Management Directive 023–01, Rev. 1, DEPARTMENT OF HOMELAND SECURITY associated implementing instructions, SECURITY and Environmental Planning Policy Coast Guard COMDTINST 5090.1 (series) which Coast Guard guide the Coast Guard in complying 33 CFR Part 165 33 CFR Part 165 with the National Environmental Policy [Docket No. USCG–2021–0452] Act of 1969 (NEPA) (42 U.S.C. 4321– [Docket No. USCG–2021–0453] 4370f). The Coast Guard has determined Seafair Air Show Performance, Seattle, that this action is one of a category of Safety Zones; Annual Fireworks WA actions that do not individually or Displays Within the Captain of the Port AGENCY: Coast Guard, DHS. cumulatively have a significant effect on Sector Puget Sound Area of the human environment. This rule Responsibility ACTION: Notification of non-enforcement promulgates the operating regulations or of regulation. AGENCY: Coast Guard, DHS. procedures for drawbridges and is SUMMARY: The Coast Guard will not ACTION: Notification of non-enforcement categorically excluded from further enforce the safety zone for the Seafair of regulation. review, under paragraph L49, of Chapter Air Show Performance in Lake 3, Table 3–1 of the U.S. Coast Guard SUMMARY: The Coast Guard will not Washington, Seattle, WA in July and Environmental Planning enforce the Safety Zone for the Seattle August 2021. The Captain of the Port Implementation Procedures. Sector Puget Sound has determined Neither a Record of Environmental Seafair Firework Display in Lake Washington, Seattle, WA in July 2021. enforcement of this regulation is not Consideration nor a Memorandum for necessary because this event is the Record are required for this rule. The Captain of the Port Sector Puget Sound has determined that enforcement cancelled. G. Protest Activities of this regulation is not necessary DATES: The Coast Guard does not plan The Coast Guard respects the First because Seafair the event was cancelled. to enforce regulations in 33 CFR Amendment rights of protesters. DATES: The Coast Guard does not plan 165.1319 in July and August 2021. Protesters are asked to contact the to enforce the Safety Zone for the Seattle FOR FURTHER INFORMATION CONTACT: If person listed in the FOR FURTHER Seafair Firework Display in Lake you have questions about this INFORMATION CONTACT section to Washington in 33 CFR 165.1332 in July notification of non-enforcement, call or coordinate protest activities so that your 2021. email Lieutenant Peter McAndrew,
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Sector Puget Sound Waterways ADDRESSES: To view documents Capital Region (COTP) has determined Management Division, U.S. Coast mentioned in this preamble as being that potential hazards associated with Guard; telephone 206–217–6051, email available in the docket, go to https:// the fireworks to be used in this July 4, [email protected]. www.regulations.gov, type USCG–2021– 2021, display will be a safety concern SUPPLEMENTARY INFORMATION: The Coast 0457 in the ‘‘SEARCH’’ box and click for anyone near these fireworks Guard normally enforces the safety zone ‘‘SEARCH.’’ Next, in the Document discharge sites. This rule is needed to in 33 CFR 165.1319 for the Seattle Type column, select ‘‘Supporting & protect personnel, vessels, and the Seafair Air Show Performance held in Related Material.’’ marine environment in the navigable Lake Washington, Seattle, WA. This FOR FURTHER INFORMATION CONTACT: If waters within the safety zone before, event is typically held annually during you have questions on this rule, call or during, and after the scheduled event. last week of July and the first 2 weeks email Mr. Ron Houck, Sector IV. Discussion of the Rule of August. This year, the event Maryland—National Capital Region This rule establishes a temporary organizers cancelled Seafair. Therefore, Waterways Management Division, U.S. safety zone from 8 p.m. on July 4, 2021, the Coast Guard does not plan to enforce Coast Guard; telephone 410–576–2674, to 11 p.m. on July 5, 2021. The safety the safety zone in 33 CFR 165.1319 in email [email protected]. zone will cover all navigable waters of July or August 2021. SUPPLEMENTARY INFORMATION: the Upper Potomac River, including the In addition to this notification of non- I. Table of Abbreviations Tidal Basin, encompassed by a line enforcement in the Federal Register, if connecting the following points: the situation changes and the Captain of CFR Code of Federal Regulations Beginning at the shoreline of West COTP Captain of the Port the Port Sector Puget Sound (COTP) Potomac Park at position latitude determines that the regulated area needs DHS Department of Homeland Security ° ′ ″ ° ′ ″ FR Federal Register 38 53 04.2 N, longitude 077 02 52.7 to be enforced, the COTP will issue a W, thence southwest to latitude Broadcast Notice to Mariners and NPRM Notice of proposed rulemaking § Section 38°52′57.1″ N, longitude 077°02′59.9″ provide actual notice of enforcement to U.S.C. United States Code W, thence southeast to the northern any persons in the regulated area. extent of the George Mason Bridge at II. Background Information and Dated: June 21, 2021. latitude 38°52′36.9″ N, longitude Regulatory History P.M. Hilbert, 077°02′29.0″ W, thence northeast along Captain, U.S. Coast Guard, Captain of the The Coast Guard is issuing this the bridge to the shoreline at latitude Port Sector Puget Sound. temporary rule without prior notice and 38°52′44.1″ N, longitude 077°02′21.8″ [FR Doc. 2021–13721 Filed 6–25–21; 8:45 am] opportunity to comment pursuant to W, thence west and north along the ° ′ ″ BILLING CODE 9110–04–P authority under section 4(a) of the shoreline to latitude 38 52 55.6 N, Administrative Procedure Act (APA) (5 longitude 077°02′15.0″ W, thence U.S.C. 553(b)). This provision northwest across the Tidal Basin to the DEPARTMENT OF HOMELAND authorizes an agency to issue a rule shoreline at latitude 38°53′11.3″ N, SECURITY without prior notice and opportunity to longitude 077°02′27.9″ W, thence south comment when the agency for good and west along the shoreline to and Coast Guard cause finds that those procedures are terminating at the point of origin located ‘‘impracticable, unnecessary, or contrary in Washington, DC. The duration of the 33 CFR Part 165 to the public interest.’’ Under 5 U.S.C. zone is intended to protect personnel, 553(b)(B), the Coast Guard finds that it [Docket Number USCG–2021–0457] vessels, and the marine environment in is impracticable and contrary to the these navigable waters before, during, RIN 1625–AA00 public interest to publish an NPRM and after the scheduled 9:09 to 9:20 because we must take immediate action p.m. fireworks display. No vessel or Safety Zone; Upper Potomac River, to establish this safety zone by July 4, person will be permitted to enter the Washington, DC 2021, to respond to potential safety safety zone without obtaining hazards associated with the the AGENCY: Coast Guard, DHS. permission from the COTP or a fireworks display. Potential safety designated representative. ACTION: Temporary final rule. hazards include the accidental V. Regulatory Analyses SUMMARY: The Coast Guard is discharge of fireworks, dangerous establishing a temporary safety zone for projectiles, and falling hot embers or We developed this rule after certain waters of the Upper Potomac other debris. Event planners did not considering numerous statutes and River. The safety zone is needed to notify the Coast Guard of the event until Executive orders related to rulemaking. protect personnel, vessels, and the June 17, 2021. Below we summarize our analyses marine environment on these navigable Under 5 U.S.C. 553(d)(3), the Coast based on a number of these statutes and waters at Washington, DC, on July 4, Guard finds that good cause exists for Executive orders, and we discuss First 2021, (with alternate date of July 5, making this rule effective less than 30 Amendment rights of protestors. days after publication in the Federal 2021) from potential hazards during a A. Regulatory Planning and Review Register. Delaying the effective date of fireworks display to commemorate the Executive Orders 12866 and 13563 July 4th holiday. Entry of vessels or this rule would be impracticable because immediate action is needed to direct agencies to assess the costs and persons into this zone is prohibited benefits of available regulatory unless specifically authorized by the respond to the potential safety hazards associated with the fireworks display. alternatives and, if regulation is Captain of the Port, Maryland-National necessary, to select regulatory Capital Region or a designated III. Legal Authority and Need for Rule approaches that maximize net benefits. representative. The Coast Guard is issuing this rule This rule has not been designated a DATES: This rule is effective from 8 p.m. under authority in 46 U.S.C. 70034 ‘‘significant regulatory action’’ under on July 4, 2021, through 11 p.m. on July (previously 33 U.S.C. 1231). The Executive Order 12866. Accordingly, 5, 2021. Captain of the Port, Maryland—National this rule has not been reviewed by the
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Office of Management and Budget C. Collection of Information Instruction Manual 023–01–001–01, (OMB). This rule will not call for a new Rev. 1. A Record of Environmental This regulatory action determination collection of information under the Consideration supporting this is based on the location, duration, and Paperwork Reduction Act of 1995 (44 determination is available in the docket. time-of-day of the safety zone. Vessel U.S.C. 3501–3520). For instructions on locating the docket, traffic will be able to safely transit see the ADDRESSES section of this around this safety zone, which will D. Federalism and Indian Tribal preamble. Governments impact a small designated area of the G. Protest Activities Upper Potomac River for 3 hours during A rule has implications for federalism the evening when vessel traffic is under Executive Order 13132, The Coast Guard respects the First normally low. Moreover, the Coast Federalism, if it has a substantial direct Amendment rights of protesters. Guard will issue a Broadcast Notice to effect on the States, on the relationship Protesters are asked to call or email the Mariners via VHF–FM marine channel between the National Government and person listed in the FOR FURTHER 16 about the zone. the States, or on the distribution of INFORMATION CONTACT section to power and responsibilities among the coordinate protest activities so that your B. Impact on Small Entities various levels of government. We have message can be received without The Regulatory Flexibility Act of analyzed this rule under that Order and jeopardizing the safety or security of 1980, 5 U.S.C. 601–612, as amended, have determined that it is consistent people, places or vessels. requires Federal agencies to consider with the fundamental federalism List of Subjects in 33 CFR Part 165 the potential impact of regulations on principles and preemption requirements small entities during rulemaking. The described in Executive Order 13132. Harbors, Marine safety, Navigation term ‘‘small entities’’ comprises small Also, this rule does not have tribal (water), Reporting and recordkeeping businesses, not-for-profit organizations implications under Executive Order requirements, Security measures, that are independently owned and 13175, Consultation and Coordination Waterways. operated and are not dominant in their with Indian Tribal Governments, For the reasons discussed in the fields, and governmental jurisdictions because it does not have a substantial preamble, the Coast Guard amends 33 with populations of less than 50,000. direct effect on one or more Indian CFR part 165 as follows: The Coast Guard certifies under 5 U.S.C. tribes, on the relationship between the PART 165—REGULATED NAVIGATION 605(b) that this rule will not have a Federal Government and Indian tribes, AREAS AND LIMITED ACCESS AREAS significant economic impact on a or on the distribution of power and responsibilities between the Federal substantial number of small entities. ■ 1. The authority citation for part 165 Government and Indian tribes. While some owners or operators of continues to read as follows: vessels intending to transit the safety E. Unfunded Mandates Reform Act Authority: 46 U.S.C. 70034, 70051; 33 CFR zone may be small entities, for the The Unfunded Mandates Reform Act 1.05–1, 6.04–1, 6.04–6, and 160.5; reasons stated in section V.A above, this of 1995 (2 U.S.C. 1531–1538) requires Department of Homeland Security Delegation rule will not have a significant Federal agencies to assess the effects of No. 0170.1. economic impact on any vessel owner their discretionary regulatory actions. In ■ 2. Add § 165.T05–0457 to read as or operator. particular, the Act addresses actions follows: Under section 213(a) of the Small that may result in the expenditure by a Business Regulatory Enforcement State, local, or tribal government, in the § 165.T05–0457 Safety Zone; Upper Fairness Act of 1996 (Pub. L. 104–121), aggregate, or by the private sector of Potomac River, Washington, DC. we want to assist small entities in $100,000,000 (adjusted for inflation) or (a) Location. The following area is a understanding this rule. If the rule more in any one year. Though this rule safety zone: All navigable waters of the would affect your small business, will not result in such an expenditure, Upper Potomac River, including the organization, or governmental we do discuss the effects of this rule Tidal Basin, encompassed by a line jurisdiction and you have questions elsewhere in this preamble. connecting the following points: concerning its provisions or options for Beginning at the shoreline of West compliance, please call or email the F. Environment Potomac Park at position latitude person listed in the FOR FURTHER We have analyzed this rule under 38°53′04.2″ N, longitude 077°02′52.7″ INFORMATION CONTACT section. Department of Homeland Security W, thence southwest to latitude Small businesses may send comments Directive 023–01, Rev. 1, associated 38°52′57.1″ N, longitude 077°02′59.9″ on the actions of Federal employees implementing instructions, and W, thence southeast to the northern who enforce, or otherwise determine Environmental Planning COMDTINST extent of the George Mason Bridge at compliance with, Federal regulations to 5090.1 (series), which guide the Coast latitude 38°52′36.9″ N, longitude the Small Business and Agriculture Guard in complying with the National 077°02′29.0″ W, thence northeast along Regulatory Enforcement Ombudsman Environmental Policy Act of 1969 (42 the bridge to the shoreline at latitude and the Regional Small Business U.S.C. 4321–4370f), and have 38°52′44.1″ N, longitude 077°02′21.8″ Regulatory Fairness Boards. The determined that this action is one of a W, thence west and north along the Ombudsman evaluates these actions category of actions that do not shoreline to latitude 38°52′55.6″ N, annually and rates each agency’s individually or cumulatively have a longitude 077°02′15.0″ W, thence responsiveness to small business. If you significant effect on the human northwest across the Tidal Basin to the wish to comment on actions by environment. This rule involves a safety shoreline at latitude 38°53′11.3″ N, employees of the Coast Guard, call 1– zone lasting only 3 hours that will longitude 077°02′27.9″ W, thence south 888–REG–FAIR (1–888–734–3247). The prohibit entry within a portion of the and west along the shoreline to and Coast Guard will not retaliate against Upper Potomac River, including the terminating at the point of origin, small entities that question or complain Tidal Basin. It is categorically excluded located in Washington, DC. These about this rule or any policy or action from further review under paragraph coordinates are based on datum NAD of the Coast Guard. L60(a) of Appendix A, Table 1 of DHS 1983.
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(b) Definitions. As used in this accordance with good agricultural determine whether this document section— practices. Valent BioSciences, LLC., applies to them. Potentially affected Captain of the Port (COTP) means the submitted a petition to EPA under the entities may include: Commander, U.S. Coast Guard Sector Federal Food, Drug, and Cosmetic Act • Crop production (NAICS code 111). Maryland—National Capital Region. (FFDCA), requesting an exemption from • Animal production (NAICS code Designated representative means any the requirement of a tolerance for 112). Coast Guard commissioned, warrant, or residues of the plant growth regulator 1- • Food manufacturing (NAICS code petty officer who has been authorized aminocyclopropane-1-carboxylic acid 311). • by the Captain of the Port Maryland— (1–ACC) in or on apples and stone fruit Pesticide manufacturing (NAICS National Capital Region to assist in when used in accordance with good code 32532). enforcing the safety zone described in agricultural practices. This regulation B. How can I get electronic access to paragraph (a) of this section. eliminates the need to establish a other related information? (c) Regulations. (1) Under the general maximum permissible level for residues safety zone regulations in subpart C of of 1-aminocyclopropane-1-carboxylic You may access a frequently updated this part, you may not enter the safety acid (1–ACC). electronic version of 40 CFR part 180 through the Government Publishing zone described in paragraph (a) of this DATES: This regulation is effective June section unless authorized by the COTP Office’s e-CFR site at http:// 28, 2021. Objections and requests for www.ecfr.gov/cgi-bin/text- or the COTP’s designated representative. hearings must be received on or before (2) To seek permission to enter, idx?&c=ecfr&tpl=/ecfrbrowse/Title40/ August 27, 2021 and must be filed in 40tab_02.tpl. contact the COTP or the COTP’s accordance with the instructions representative by telephone at 410–576– provided in 40 CFR part 178 (see also C. How can I file an objection or hearing 2693 or on Marine Band Radio VHF–FM Unit I.C. of the SUPPLEMENTARY request? channel 16 (156.8 MHz). The Coast INFORMATION). Under FFDCA section 408(g), 21 Guard vessels enforcing this section can ADDRESSES: U.S.C. 346a, any person may file an be contacted on Marine Band Radio The docket for this action, objection to any aspect of this regulation VHF–FM channel 16 (156.8 MHz). identified by docket identification (ID) and may also request a hearing on those (3) Those in the safety zone must number EPA–HQ–OPP–2019–0515, is objections. You must file your objection comply with all lawful orders or available at http://www.regulations.gov or request a hearing on this regulation directions given to them by the COTP or or at the Office of Pesticide Programs in accordance with the instructions the COTP’s designated representative. Regulatory Public Docket (OPP Docket) provided in 40 CFR part 178. To ensure (d) Enforcement officials. The U.S. in the Environmental Protection Agency proper receipt by EPA, you must Coast Guard may be assisted in the Docket Center (EPA/DC), West William identify docket ID number EPA–HQ– patrol and enforcement of the safety Jefferson Clinton Bldg., Rm. 3334, 1301 OPP–2019–0515 in the subject line on zone by Federal, State, and local Constitution Ave. NW, Washington, DC the first page of your submission. All agencies. 20460–0001. The Public Reading Room objections and requests for a hearing (e) Enforcement period. This section is open from 8:30 a.m. to 4:30 p.m., must be in writing and must be received will be enforced from 8 p.m. to 11 p.m. Monday through Friday, excluding legal by the Hearing Clerk on or before on July 4, 2021, or if necessary due to holidays. Due to the public health August 27, 2021. Addresses for mail and inclement weather on July 4, 2021, from concerns related to COVID–19, the EPA hand delivery of objections and hearing 8 p.m. to 11 p.m. on July 5, 2021. Docket Center (EPA/DC) and Reading Room is closed to visitors with limited requests are provided in 40 CFR Dated: June 22, 2021. exceptions. The staff continues to 178.25(b). David E. O’Connell, provide remote customer service via In addition to filing an objection or Captain, U.S. Coast Guard, Captain of the email, phone, and webform. For the hearing request with the Hearing Clerk Port Maryland—National Capital Region. latest status information on EPA/DC as described in 40 CFR part 178, please [FR Doc. 2021–13727 Filed 6–25–21; 8:45 am] services and docket access, visit https:// submit a copy of the filing (excluding BILLING CODE 9110–04–P www.epa.gov/dockets. any Confidential Business Information FOR FURTHER INFORMATION CONTACT: (CBI)) for inclusion in the public docket. Charles Smith, Biopesticides and Information not marked confidential ENVIRONMENTAL PROTECTION Pollution Prevention Division (7511P), pursuant to 40 CFR part 2 may be AGENCY Office of Pesticide Programs, disclosed publicly by EPA without prior Environmental Protection Agency, 1200 notice. Submit the non-CBI copy of your 40 CFR Part 180 Pennsylvania Ave. NW, Washington, DC objection or hearing request, identified by docket ID number EPA–HQ–OPP– [EPA–HQ–OPP–2019–0515; FRL–10021–90] 20460–0001; main telephone number: (703) 305–7090; email address: 2019–0515, by one of the following 1-Aminocyclopropane-1-Carboxylic [email protected]. methods: • Federal eRulemaking Portal: http:// Acid (1–ACC); Exemption From the SUPPLEMENTARY INFORMATION: Requirement of a Tolerance www.regulations.gov. Follow the online I. General Information instructions for submitting comments. AGENCY: Environmental Protection Do not submit electronically any A. Does this action apply to me? Agency (EPA). information you consider to be CBI or ACTION: Final rule. You may be potentially affected by other information whose disclosure is this action if you are an agricultural restricted by statute. SUMMARY: This regulation establishes an producer, food manufacturer, or • Mail: OPP Docket, Environmental exemption from the requirement of a pesticide manufacturer. The following Protection Agency Docket Center (EPA/ tolerance for residues of the plant list of North American Industrial DC), (28221T), 1200 Pennsylvania Ave. growth regulator 1-aminocyclopropane- Classification System (NAICS) codes is NW, Washington, DC 20460–0001. 1-carboxylic acid (1–ACC) in or on not intended to be exhaustive, but rather • Hand Delivery: To make special apples and stone fruit when used in provides a guide to help readers arrangements for hand delivery or
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delivery of boxed information, please residues’’ and ‘‘other substances that adverse effects were identified relative follow the instructions at http:// have a common mechanism of toxicity.’’ to either developmental toxicity or www.epa.gov/dockets/contacts.html. EPA performs a number of analyses to reproductive toxicity. Based on this Additional instructions on determine the risks from aggregate toxicological profile, EPA did not commenting or visiting the docket, exposure to pesticide residues. First, identify any toxicological endpoints of along with more information about EPA determines the toxicity of concern for assessing risk for this dockets generally, is available at http:// pesticides. Second, EPA examines chemical. www.epa.gov/dockets. exposure to the pesticide through food, Additionally, humans have a history drinking water, and through other of safe natural exposure to 1–ACC as it II. Background and Statutory Findings exposures that occur as a result of is present in all fruits and vegetables In the Federal Register of December pesticide use in residential settings. and, therefore, is a regular part of the human diet. With specific regard to 23, 2020 (85 FR 83880) (FRL–10017–71), III. Toxicological Profile EPA issued a document pursuant to human oral toxicity, the Agency notes Consistent with FFDCA section FFDCA section 408(d)(3), 21 U.S.C. that the human digestive system has 408(b)(2)(D), EPA has reviewed the 346a(d)(3), announcing the filing of a evolved to accommodate 1–ACC in its available scientific data and other pesticide tolerance petition (PP 9F8781) digestive processes. relevant information in support of this by Valent BioSciences, LLC, 870 As part of its qualitative risk action and considered its validity, Technology Way, Libertyville, IL 60048. assessment for 1–ACC, the Agency also completeness and reliability, and the The petition requested that 40 CFR part considered the potential for exposure to relationship of this information to 180 be amended by establishing an residues of 1–ACC, including dietary human risk. EPA has also considered and non-occupational exposures. EPA exemption from the requirement of a available information concerning the concludes that dietary (food and tolerance for residues of the plant variability of the sensitivities of major drinking water) exposures are likely to growth regulator 1-aminocyclopropane- identifiable subgroups of consumers, be negligible, due to the short half-life 1-carboxylic Acid (1–ACC) in or on including infants and children. and biodegradable nature of the apple and stone fruit when used in 1–ACC is a naturally occurring non- pesticide. It is noted that dietary accordance of good agricultural protein amino acid found in all plants. exposures to the residues of 1–ACC are practices. That document referenced a It acts as a plant growth regulator (PGR), not anticipated to exceed the naturally summary of the petition prepared by the precursing ethylene, a plant hormone occurring background levels as petitioner Valent BioSciences, LLC., regulating a wide variety of vegetative exogenously applied 1–ACC is highly which is available in the docket, http:// and developmental processes. The only biodegradable. It has a half-life of less www.regulations.gov. There were no conversion of 1–ACC for residues will than 8.5 days on the plant and is even comments received in response to the most likely be into ethylene, which more biodegradable in aqueous soil notice of filing. would not be measurable as ethylene is conditions. No residential uses have Section 408(c)(2)(A)(i) of FFDCA a quickly dissipating gas. Ethylene has been proposed. allows EPA to establish an exemption been reviewed by EPA and is exempt Based on 1–ACC’s low toxicity, from the requirement for a tolerance (the from tolerance (40 CFR 180.1016). anticipated minimal dietary exposure, legal limit for a pesticide chemical As a biochemical pesticide, 1–ACC is and history of safe consumption in residue in or on a food) only if EPA intended for use on apples and stone foods, no risks of concern have been determines that the exemption is ‘‘safe.’’ fruits for fruit thinning and enhanced identified from aggregate exposure to 1– Section 408(c)(2)(A)(ii) of FFDCA return bloom and is foliarly applied ACC. Similarly, no risks of concern defines ‘‘safe’’ to mean that ‘‘there is a with calibrated spray equipment (i.e. were identified for cumulative reasonable certainty that no harm will orchard air blast sprayer). 1–ACC’s exposures to 1–ACC since no common result from aggregate exposure to the mode of action is as a signaling mechanism of toxicity was identified for pesticide chemical residue, including molecule in plants to regulate fruit either 1–ACC or its metabolites. all anticipated dietary exposures and all ripening, thinning, and enhanced return Therefore, based on the lack of toxicity other exposures for which there is bloom. No direct application to food is and expected negligible exposures, EPA reliable information.’’ This includes expected as applications are made pre- has determined that there is a exposure through drinking water and in fruiting, but it is possible that some reasonable certainty that no harm will residential settings but does not include trace amounts of the active ingredient result to the U.S. population, including occupational exposure. Pursuant to may be taken up into the plant. infants and children, from aggregate FFDCA section 408(c)(2)(B), in With regard to the overall exposure to 1–ACC. establishing or maintaining in effect an toxicological profile of the active A full explanation of the data upon exemption from the requirement of a ingredient 1–ACC, the active ingredient which EPA relied and its risk tolerance, EPA must take into account is of minimal toxicity through the acute assessment based on those data can be the factors set forth in FFDCA section oral, acute dermal and acute inhalation found within the November 16, 2020, 408(b)(2)(C), which require EPA to give routes of exposure. The active document entitled ‘‘Federal Food, Drug, special consideration to exposure of ingredient is only mildly irritating to the and Cosmetic Act (FFDCA) infants and children to the pesticide eye and the skin; and it is not a dermal Considerations for 1- chemical residue in establishing a sensitizer. With regard to the subchronic aminocyclopropane-1-carboxylic acid tolerance and to ‘‘ensure that there is a toxicity, developmental toxicity, (ACC).’’ This document, as well as other reasonable certainty that no harm will reproductive toxicity and mutagenicity relevant information, is available in the result to infants and children from data requirements for the active docket for this action as described under aggregate exposure to the pesticide ingredient 1–ACC, all data requirements ADDRESSES. chemical residue. . . .’’ Additionally, were satisfied by guideline studies. FFDCA section 408(b)(2)(D) requires There were no adverse subchronic IV. Determination of Safety for U.S. that the Agency consider ‘‘available effects for any oral or dermal routes of Population, Infants and Children information concerning the cumulative exposure. The active ingredient was Based on the Agency’s assessment, effects of a particular pesticide’s determined to be non-mutagenic, and no EPA concludes that there is reasonable
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certainty that no harm will result to the it require any special considerations and pests, Reporting and recordkeeping U.S. population, including infants and under Executive Order 12898, entitled requirements. children, from aggregate exposure to ‘‘Federal Actions to Address Dated: May 26, 2021. Environmental Justice in Minority residues of 1–ACC. This includes all Edward Messina, anticipated dietary exposures and all Populations and Low-Income Acting Director, Office of Pesticide Programs. other exposures for which there is Populations’’ (59 FR 7629, February 16, reliable information. Based on the 1994). Therefore, 40 CFR chapter I is reliable data indicating lack of toxicity, Since tolerances and exemptions that amended as follows: including threshold effects, that are established on the basis of a petition supports EPA’s determination to under FFDCA section 408(d), such as PART 180—TOLERANCES AND conduct a qualitative assessment, EPA the tolerance in this final rule, do not EXEMPTIONS FOR PESTICIDE has concluded that the additional require the issuance of a proposed rule, CHEMICAL RESIDUES IN FOOD the requirements of the Regulatory margin of safety is not necessary to ■ 1. The authority citation for part 180 protect infants and children. Flexibility Act (RFA) (5 U.S.C. 601 et seq.), do not apply. continues to read as follows: V. Other Considerations This action directly regulates growers, Authority: 21 U.S.C. 321(q), 346a and 371. Analytical Enforcement Methodology food processors, food handlers, and food ■ 2. Revise § 180.711 to read as follows: retailers, not States or tribes, nor does An analytical method is not required this action alter the relationships or § 180.711 1-Aminocyclopropane-1- for enforcement purposes since the distribution of power and carboxylic Acid (1–ACC); Exemption from Agency is establishing an exemption responsibilities established by Congress the Requirement of a Tolerance. from the requirement of a tolerance in the preemption provisions of FFDCA An exemption from the requirement without any numerical limitation. section 408(n)(4). As such, the Agency of a tolerance is established for 1- However, the analytical methods Ultra has determined that this action will not aminocyclopropane-1-carboxylic acid High-Performance Liquid have a substantial direct effect on States (1–ACC) in or on apple and stone fruit Chromatography-Tandem Mass or tribal governments, on the when applied in accordance with good Spectrometry is available to EPA for the relationship between the national agricultural practices. detection and measurement of the government and the States or tribal [FR Doc. 2021–13681 Filed 6–25–21; 8:45 am] pesticide residues governments, or on the distribution of BILLING CODE 6560–50–P VI. Conclusions power and responsibilities among the various levels of government or between Therefore, an exemption is the Federal Government and Indian ENVIRONMENTAL PROTECTION established for residues of 1- tribes. Thus, the Agency has determined AGENCY aminocyclopropane-1-carboxylic acid that Executive Order 13132, entitled (1–ACC) in or on apple and stone fruit ‘‘Federalism’’ (64 FR 43255, August 10, 40 CFR Part 257 when used in accordance to good 1999) and Executive Order 13175, agricultural practices. [EPA–HQ–OLEM–2020–0508; FRL–10024– entitled ‘‘Consultation and Coordination 75–OLEM] VII. Statutory and Executive Order with Indian Tribal Governments’’ (65 FR Reviews 67249, November 9, 2000) do not apply Texas: Approval of State Coal to this action. In addition, this action Combustion Residuals Permit Program This action establishes an exemption does not impose any enforceable duty or from the requirement of a tolerance AGENCY: Environmental Protection contain any unfunded mandate as under FFDCA section 408(d) in Agency (EPA). described under Title II of the Unfunded response to a petition submitted to the Mandates Reform Act (UMRA) (2 U.S.C. ACTION: Final approval. Agency. The Office of Management and 1501 et seq.). SUMMARY: Pursuant to the Resource Budget (OMB) has exempted these types This action does not involve any Conservation and Recovery Act (RCRA), of actions from review under Executive technical standards that would require the Environmental Protection Agency Order 12866, entitled ‘‘Regulatory Agency consideration of voluntary (EPA) is approving the Texas Planning and Review’’ (58 FR 51735, consensus standards pursuant to section Commission on Environmental October 4, 1993). Because this action 12(d) of the National Technology Quality’s partial State Coal Combustion has been exempted from review under Transfer and Advancement Act Residuals (CCR) Permit Program, which Executive Order 12866, this action is (NTTAA) (15 U.S.C. 272 note). not subject to Executive Order 13211, will now operate in lieu of the Federal entitled ‘‘Actions Concerning VIII. Congressional Review Act CCR program, with the exception of Regulations That Significantly Affect Pursuant to the Congressional Review certain provisions for which the State Energy Supply, Distribution, or Use’’ (66 Act (5 U.S.C. 801 et seq.), EPA will did not seek approval. EPA has FR 28355, May 22, 2001) or Executive submit a report containing this rule and determined that the Texas partial CCR Order 13045, entitled ‘‘Protection of other required information to the U.S. permit program meets the standard for Children from Environmental Health Senate, the U.S. House of approval under RCRA. Facilities Risks and Safety Risks’’ (62 FR 19885, Representatives, and the Comptroller operating under the State’s program April 23, 1997), nor is it considered a General of the United States prior to requirements and resulting permit regulatory action under Executive Order publication of the rule in the Federal provisions are also subject to EPA’s 13771, entitled ‘‘Reducing Regulations Register. This action is not a ‘‘major information gathering and inspection and Controlling Regulatory Costs’’ (82 rule’’ as defined by 5 U.S.C. 804(2). and enforcement authorities under FR 9339, February 3, 2017). This action RCRA and other applicable statutory does not contain any information List of Subjects in 40 CFR Part 180 and regulatory provisions. collections subject to OMB approval Environmental protection, DATES: The final approval of the Texas under the Paperwork Reduction Act Administrative practice and procedure, partial CCR Permit Program is effective (PRA), 44 U.S.C. 3501 et seq., nor does Agricultural commodities, Pesticides on July 28, 2021.
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FOR FURTHER INFORMATION CONTACT: could choose to revise its CCR permit Cir. 2015). The direct final rule removed Michelle Long, Office of Resource program at some point in the future and certain provisions of the federal CCR Conservation and Recovery, Materials to apply for another partial or full regulations at 40 CFR 257.100(b), (c), Recovery and Waste Management program approval (as appropriate) based and (d) related to the ‘‘early closure’’ of Division, U.S. Environmental Protection on its revisions at that time. EPA retains inactive CCR surface impoundments by Agency, 1200 Pennsylvania Avenue its inspection and enforcement April 17, 2018, that had been vacated by NW, MC 5304P, Washington, DC 20460; authorities under RCRA sections 3007 the D.C. Circuit’s June 14, 2016, order.1 telephone number: (703) 347–8953; and 3008, 42 U.S.C. 6927 and 6928, in The direct final rule extended the email address: [email protected]. the case of both partial and full program deadlines for owners and operators of For more information on this notice approvals. See 42 U.S.C. 6945(d)(4)(A), inactive CCR surface impoundments please visit https://www.epa.gov/ (B). who had taken advantage of the ‘‘early coalash. EPA also engaged federally- closure’’ provisions of 40 CFR 257.100 SUPPLEMENTARY INFORMATION: recognized tribes within the State of to bring the units into compliance with Throughout this document ‘‘we,’’ ‘‘us,’’ Texas in consultation and coordination the Federal CCR regulations’ substantive and ‘‘our’’ means the EPA. regarding the program authorizations for requirements, but did not otherwise 1. Docket. EPA has established a the TCEQ. EPA established amend the federal CCR regulations or docket for this action under Docket ID opportunities for formal as well as impose new requirements on those No. EPA–HQ–OLEM–2020–0508. informal discussion throughout the units. Publicly available docket materials are consultation period, beginning with an On July 30, 2018, EPA published a available either electronically through initial conference call on October 19, final rule, Hazardous and Solid Waste www.regulations.gov or in hard copy at 2020. Tribal consultation was Management System: Disposal of Coal the EPA Docket Center, (EPA/DC) EPA conducted in accordance with the EPA Combustion Residuals From Electric West, Room 3334, 1301 Constitution policy on Consultation and Utilities; Amendments to the National Ave. NW, Washington, DC. This Docket Coordination with Indian Tribes Minimum Criteria (Phase One, Part Facility is open from 8:30 a.m. to 4:30 (https://www.epa.gov/sites/production/ One), which finalized additional p.m., Monday through Friday, excluding files/2013-08/documents/cons-and- revisions to the Federal CCR regulations legal holidays. The telephone number coord-with-indian-tribes-policy.pdf). (83 FR 36435). Specifically, EPA for the Public Reading Room is (202) B. Background amended the CCR regulations to: (1) Provide states with approved CCR 566–1744, and the telephone number for CCR are generated from the the Docket Center is (202) 566–1742. permit programs under the 2016 Water combustion of coal, including solid Infrastructure Improvements for the 2. Electronic Access. You may access fuels classified as anthracite, this Federal Register document Nation (WIIN) Act or EPA, when EPA is bituminous coal, subbituminous coal, the permitting authority, the ability to electronically from the Government and lignite, for the purpose of Printing Office under the Federal use alternative performance standards; generating steam to power a generator to (2) revise the groundwater protection Register listings at https:// produce electricity or electricity and www.govinfo.gov/app/collection/fr. standards for four constituents in other thermal energy by electric utilities Appendix IV to 40 CFR part 257 for I. General Information and independent power producers. which maximum contaminant levels CCR, commonly known as coal ash, A. Overview of Final Approval (MCLs) under the Safe Drinking Water include fly ash, bottom ash, boiler slag, Act have not been established; and (3) EPA is approving, in part, the Texas and flue gas desulfurization materials. provide additional time to facilities, CCR permit program, pursuant to RCRA CCR can be sent offsite for disposal or triggered by 40 CFR 257.101(a)(1) and section 4005(d)(1)(B). 42 U.S.C. beneficial use, or disposed of in on-site (b)(1)(i), to cease receiving waste and 6945(d)(1)(B). The Texas CCR permit landfills or surface impoundments. initiate closure. program authorizes the Texas On April 17, 2015, EPA published a On August 28, 2020, EPA published a Commission on Environmental Quality final rule, creating 40 CFR part 257, final rule Hazardous and Solid Waste (‘‘TCEQ’’ or the ‘‘commission’’) to subpart D, that established a Management System: Disposal of Coal enforce state regulations related to CCR comprehensive set of minimum Federal Combustion Residuals From Electric activities as well as to handle permit requirements for the disposal of CCR in Utilities; A Holistic Approach to Closure applications and to enforce permit landfills and surface impoundments (80 Part A: Deadline To Initiate Closure (85 violations. The Texas CCR permit FR 21302) (‘‘Federal CCR regulations’’ FR 53516) (‘‘Part A Final Rule’’). The program will operate in lieu of the or ‘‘2015 CCR rule’’). The rule created a rule revises portions of the Federal CCR Federal CCR program, (40 CFR part 257, self-implementing program which regulations to (1) accurately reflect the subpart D) with the exception of the regulates the location, design, operating D.C. Circuit’s Util. Solid Waste provisions for which the state did not criteria, and groundwater monitoring Activities Group v. Envtl. Protec. seek approval, as further explained in and corrective action for CCR units, as Agency, 901 F.3d 414 (D.C. 2018) Unit III.B. of this document. For the well as the closure and post-closure care (‘‘USWAG decision’’ or ‘‘USWAG’’), state provisions for which the state did of CCR units. It also requires which vacated and remanded to EPA not seek EPA approval, the recordkeeping and notifications for CCR the provisions at 40 CFR 257.101(a), corresponding Federal requirements units. The Federal CCR regulations do 257.71(a)(1)(i) and 257.50(e); (2) address will continue to apply directly to not apply to ‘‘beneficial use’’ of CCR, as the October 31, 2020 deadline and facilities, and therefore facilities must that term is defined in 40 CFR 257.53. comply with both the Federal On August 5, 2016, EPA published a 1 The D.C. Circuit’s June 14, 2016, order also requirements and the state direct final rule (81 FR 51802), vacated the phrase ‘‘not to exceed a height of 6 requirements. responding to an order issued by the inches above the slope of the dike’’ within 40 CFR The fact that Texas is receiving partial United States Court of Appeals for the 257.73(a)(4), 257.73(d)(1)(iv), 257.74(a)(4), and 257.74(d)(1)(iv). EPA proposed slope protection program approval does not mean the District of Columbia Circuit (D.C. requirements in its Phase One Proposed Rule (83 FR state must subsequently apply for a full Circuit) in Utility Solid Waste Activities 11584, March 15, 2018) but has not yet finalized program approval. However, Texas Group, et al. v. EPA, No. 15–1219 (D.C. such requirements.
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finalize a new deadline of April 11, requirements. See 42 U.S.C. documents included (1) State statutes 2021 in 40 CFR 257.101(a) and (b)(1)(i), 6945(d)(1)(A). In a state with a partial and regulations, (2) the Attorney by which CCR surface impoundments program, only the state requirements General Statement, and (3) a Program must cease receipt of waste in light of that have been approved operate in lieu Description which provides details the 2018 USWAG decision and the 2019 of the Federal requirements, and about the State’s CCR permit program, Waterkeeper decision (See Waterkeeper facilities remain responsible for including (a) the State agency with the Alliance Inc. v. EPA, No. 18–1289 (D.C. compliance with all remaining authority for the CCR permit program; Cir. 2019)); (3) finalize alternative requirements in 40 CFR part 257, (b) scope and coverage of the program, closure provisions at 40 CFR 257.103 in subpart D. (c) TCEQ responsibilities; (d) structure order to allow facilities to request RCRA section 7004(b) applies to all and processes of TCEQ to implement additional time to develop alternative RCRA programs, directing that ‘‘public the CCR program; (e) applications, capacity to manage their waste streams participation in the development, public notice, hearing, and appeal (both CCR and/or non-CCR) to achieve revision, implementation, and procedures for CCR registrations; (f) cease receipt of waste and initiate enforcement of any . . . program under technical requirements for the CCR closure of their CCR surface this chapter shall be provided for, program; (g) a list of CCR facilities in impoundments; and (4) finalize two of encouraged, and assisted by the Texas; and (h) a description of State the proposed amendments from the Administrator and the States.’’ 42 U.S.C. resources to implement the CCR August 14, 2019 rule (84 FR 40353): The 6974(b)(1). program. addition of an executive summary to the Once a program is approved, the Throughout this document, EPA annual groundwater monitoring and Administrator must review the interchangeably uses the Texas terms of corrective action reports under 40 CFR approved state CCR permit program not ‘‘registration’’ and ‘‘permit’’ and 257.90(e); and amend the requirements less frequently than every 12 years, as ‘‘Program Description’’ to mean the for posting to the publicly accessible well as no later than three years after a ‘‘Narrative’’ document as described in CCR internet sites under 40 CFR revision to an applicable section of 40 the Coal Combustion Residuals State 257.107. CFR part 257, subpart D or one year Permit Program Guidance Document; C. Statutory Authority after any unauthorized significant Interim Final (82 FR 38685, August 15, release from a CCR unit located in the 2017) (the ‘‘Guidance Document’’). EPA is issuing this action pursuant to state. EPA also must review an III. EPA Analysis of the Texas sections 4005(d) and 7004(b)(1) of approved program at the request of RCRA. See 42 U.S.C. 6945(d) and Application another state alleging that the soil, 6974(b)(1). Section 2301 of the 2016 groundwater, or surface water of the As discussed in Unit I.C. of this WIIN Act amended section 4005 of requesting state is or is likely to be document, RCRA section 4005(d) RCRA, creating a new subsection (d) adversely affected by a release from a requires EPA to evaluate two that establishes a Federal permitting CCR unit in the approved state. See 42 components of a CCR state permit program similar to those under RCRA U.S.C. 6945(d)(1)(D)(i)(I) through (IV). program to determine whether it meets subtitle C and other environmental In a state with an approved state CCR the standard for approval. RCRA section statutes. See 42 U.S.C. 6945(d). 4005(d)(1)(A) directs the state to provide Under RCRA section 4005(d)(1)(A), 42 permit program, EPA may commence administrative or judicial enforcement evidence of a state permit program, in U.S.C. 6945(d)(1)(A), states seeking such form as EPA may determine. In approval must submit to the actions under section 3008 of RCRA, 42 U.S.C. 6928, if the state requests turn, RCRA section 4005(d)(1)(B) directs Administrator ‘‘in such form as the EPA to approve the state program based Administrator may establish, evidence assistance or if EPA determines that an EPA enforcement action is likely to be upon a determination that the program of a permit program or other system of ‘‘requires each coal combustion prior approval and conditions under necessary to ensure that a CCR unit is operating in accordance with the criteria residuals unit located in the State to State law for regulation by the State of achieve compliance with the applicable coal combustion residuals units that are of the state’s permit program. See 42 U.S.C. 6945(d)(4). EPA can enforce any [Federal or state] criteria.’’ In other located in the State.’’ EPA shall approve words, the statute directs EPA to a state permit program if the Federal requirements that remain in effect (i.e., those for which there is no determine that the state has sufficient Administrator determines that the state authority to require compliance from all program will require each CCR unit corresponding approved state CCR units located within the state. See located in the state to achieve provision). EPA may also exercise its also, 42 U.S.C. 6945(d)(1)(D)(ii)(I). To compliance with either: (1) The Federal inspection and information gathering make this determination EPA evaluates CCR requirements at 40 CFR part 257, authorities under section 3007 of RCRA, the state’s authority to issue permits and subpart D; or (2) other state criteria that 42 U.S.C. 6927. impose conditions in those permits, as the Administrator, after consultation II. The Texas Application well as the state’s authority for with the state, determines to be ‘‘at least compliance monitoring and as protective as’’ the Federal On September 11, 2020, the TCEQ enforcement. requirements. See 42 U.S.C. submitted its state CCR permit program application to EPA Region 6 requesting EPA also determines during this 6945(d)(1)(B). The Administrator must portion of the review whether the state make a final determination, after approval of the State’s partial CCR permit program. After receiving permit program contains procedures providing for public notice and an consistent with the directive in RCRA opportunity for public comment, within comments from EPA, Texas provided revisions to its Program Description on 180 days of receiving a state’s complete description from November 9, 2020. Other submittal of the information in RCRA November 9, 2020, and November 23, 2 substitutions include Attachment IV—Facility Unit section 4005(d)(1)(A). See 42 U.S.C. 2020. The Texas application package Summary and CCR Units Map, Replacement of 6945(d)(1)(B). EPA may approve a state Attachment II with Attachment II—30 TAC Chapter 2 The revised narrative (Program Description), 352, and the Texas Water Code- Chapter 26. All CCR permit program in whole or in part. dated November 23, 2020, shall be substituted for other documents submitted as part of the original Id. Once approved, the state permit the original program description, dated September September 11, 2020 application remain unchanged program operates in lieu of the 2, 2020, and first revision of the program and are available in the docket for this action.
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section 7004(b). RCRA section 7004(b) discussed in more detail in Unit III.A. part 239 provides a helpful framework applies to all RCRA programs, directing It also contains all of the technical to more broadly examine the various that ‘‘public participation in the criteria in 40 CFR part 257, subpart D, aspects of the Texas CCR permit development, revision, implementation, except for the provisions specifically program. States are familiar with these and enforcement of any . . . program discussed in Unit III.B. Consequently, criteria through the MSWLF permit under this chapter shall be provided for, EPA approves the Texas CCR permit program (all states with approved encouraged, and assisted by the program ‘‘in part.’’ 42 U.S.C. MSWLF permit programs have been Administrator and the States.’’ 42 U.S.C. 6945(d)(1)(B). EPA’s analysis and approved pursuant to these regulations) 6974(b)(1). To make this determination findings are discussed in greater detail and the regulations are generally EPA evaluates the state provisions in Unit III.B and in the Technical regarded as protective and appropriate. governing the procedures for issuing Support Document, which is available To complete its evaluation process, permits and for intervention in civil in the docket supporting this Action. EPA relied on information contained in enforcement proceedings. the Texas Application, as well as all Although 40 CFR part 239 applies to A. Adequacy of the Texas Registration materials submitted during the public the approval of State Municipal Solid Program comment period and at the public Waste Landfill (MSWLF) programs RCRA section 4005(d)(1)(A), 42 U.S.C. hearing. A summary of EPA’s findings is under RCRA section 4005(c)(1) rather 6945(d)(1)(A), requires a state seeking provided in this Unit, organized by the than EPA’s evaluation of CCR permit program approval to submit to EPA an program elements identified in the 40 programs under RCRA section 4005(d), application with ‘‘in such form as the CFR part 239 regulations and EPA’s the specific criteria outlined in 40 CFR Administrator may establish, evidence Guidance Document. part 239 provide a helpful framework to of a permit program or other system of 1. Guidelines for Permitting examine the relevant aspects of a state’s prior approval and conditions under permit program. In addition, states are state law for regulation by the state of It is EPA’s judgment that an adequate familiar with these criteria as a coal combustion residuals units that are state CCR permit program will ensure consequence of the MSWLF program located in the State.’’ Although the that: (1) Existing and new facilities are (all states have MSWLF programs that statute directs EPA to establish the form permitted or otherwise approved and in have been approved pursuant to these of such evidence, the statute does not compliance with either 40 CFR part 257 regulations) and the regulations are require EPA to promulgate regulations or other state criteria; (2) the state has generally regarded as protective and governing the process or standard for the authority to collect all information appropriate. determining the adequacy of such state necessary to issue permits that are Consequently, EPA relied on the four programs. EPA, therefore, developed the adequate to ensure compliance with categories of criteria outlined in 40 CFR Guidance Document (82 FR 38685, relevant 40 CFR part 257, subpart D part 239 as guidelines to evaluate an August 15, 2017). The Guidance requirements; and (3) the state has the adequate permit program: permitting Document provides recommendations authority to impose requirements for requirements, requirements for on a process and standards that states CCR units adequate to ensure compliance monitoring authority, may choose to use to apply for EPA compliance with either 40 CFR part 257, requirements for enforcement authority, approval of its CCR permit programs, subpart D or such other state criteria and requirements for intervention in based on the standards in RCRA section that have been determined and civil enforcement proceedings. 4005(d), existing regulations at 40 CFR approved by the Administrator to be at Second, EPA is to evaluate the part 239, and the Agency’s experience least as protective as 40 CFR part 257, adequacy of the technical criteria that in reviewing and approving state subpart D. will be included in each permit, to programs. EPA determined that the Texas determine whether they are the same as EPA evaluated the Texas CCR permit approach to CCR registration the Federal criteria, or to the extent they program using the process, statutory and applications and approvals is adequate. differ, whether the modified criteria are regulatory standards discussed in the At Title 30 of the Texas Administrative ‘‘at least as protective as’’ the Federal Units II.C and IV.A. EPA’s findings are Code (TAC) sections 352.101 through requirements. See 42 U.S.C. summarized below and provided in 352.141, Texas has State-specific 6945(d)(1)(B). Only if both components more detail in the Technical Support provisions imposing requirements for meet the statutory requirements may Document located in the docket CCR registration, registration EPA approve the program. See 42 U.S.C. supporting this preliminary characteristics and conditions, 6945(d)(1). determination. RCRA section 7004(b) registration duration, registration On that basis, EPA conducted an applies to all RCRA programs, directing amendments, and the issuance and analysis of the Texas CCR permit that ‘‘public participation in the transfer of registrations. 30 TAC section program as described in its State CCR development, revision, implementation, 352.101 specifically requires registration Permit Program Application, including and enforcement of any . . . program for the management or disposal of CCR a thorough analysis of the Texas CCR under this chapter shall be provided for, in an existing landfill, in an existing or regulations and their adoption by encouraged, and assisted by the inactive surface impoundment, and for reference of portions of 40 CFR part 257, Administrator and the States.’’ 42 U.S.C. a new or lateral expansion of a landfill subpart D. As noted, Texas has 6974(b)(1). In general, EPA considers or surface impoundment. Such requested approval of its partial CCR that a state CCR permit program would registrations are subject to the state’s permit program. meet the RCRA section 7004(b)(1) standard permit characteristics and Based on this analysis, EPA has directive regarding public participation conditions established in 30 TAC determined that the portions of the if the state program is consistent with Chapter 305, Subchapter F (See 30 TAC Texas CCR permit program that have the 40 CFR part 239 provisions. section 352.111). Under 30 TAC section been submitted for approval meet the Although 40 CFR part 239 applies to 352.121, a registration may be issued for standard in sections 4005(d)(1)(A) and approval of state MSWLF programs the active life of the unit, as well as any (B) of RCRA. The Texas CCR permit under RCRA 4005(c)(1), rather than post-closure care period, as needed; program includes all the elements of an EPA’s evaluation of CCR permit however, the registration may be adequate CCR state permit program as programs under RCRA 4005(d), 40 CFR revoked or amended at any time that the
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owner or operator fails to meet the section 352.311 requires the owner or not published in the county, the notice minimum standards of the CCR operator to keep records of data used to must be published in any newspaper of regulations, or for any other good cause. complete the application and any general circulation in the county in Texas also requires that a change in a supplemental information or material which the facility is located or proposed term, condition or provision of a throughout the term of the registration. to be located. Registration applications registration requires an amendment At 30 TAC sections 352.401 through are also made available to the public on pursuant to 30 TAC section 352.131. An 352.481, Texas adopted State-specific the applicant’s publicly accessible CCR application requesting an amendment is provisions addressing procedures for internet site. Under 30 TAC section processed as a major amendment or a registration application deficiencies, 352.461(a)(1), the applicant is also minor amendment in accordance with public notifications, and registration required to make a copy of the 30 TAC section 305.62. At 30 TAC decisions by the executive director. As application available for review and section 305.62(c)(1), Texas describes a part of the State’s evaluation of the copying at a public place in the county major amendment as ‘‘an amendment completeness of a registration in which the facility is located. Upon that changes a substantive term, application, 30 TAC section 352.401 completion of the application review, provision, requirement, or a limiting requires the executive director to notify the TCEQ publishes a public notice of parameter of a permit.’’ At 30 TAC an applicant of any additional the TCEQ’s receipt of the registration section 305.62(c)(2), Texas describes a information or application materials application, the executive director’s minor amendment as ‘‘an amendment to required to complete the application by initial decision on the application, and improve or maintain the permitted transmitting a notice of deficiency provides an opportunity for public quality or method of disposal of waste, (NOD) to the applicant. The NOD comments or for the public to request a . . .’’ and which includes any other specifies a deadline for the NOD public meeting in accordance with the change ‘‘that will not cause or relax a response of up to 60 days from the procedures contained in 30 TAC standard or criterion which may result executive director’s transmittal of the sections 39.503(c), 39.405(f) and in a potential deterioration of quality of NOD. If the executive director does not 39.405(h). water in the state.’’ Under 30 TAC receive an adequate and timely response 30 TAC section 352.471 gives the section 305.62(d), the executive director to a notice of deficiency by the response executive director the authority to may initiate a major amendment or a deadline, the executive director may prepare a draft registration upon a minor amendment if good cause exists. return the incomplete application to the preliminary determination that an The Texas provision at 30 TAC applicant (30 TAC section 352.421). application for a new registration or a section 352.141 prohibits the transfer of EPA determined that the Texas major amendment of a registration a registration from one person to approach to CCR registration meets the regulatory requirements for another without complying with applications and approvals is adequate, issuance of a registration. When the provisions of 30 TAC section 305.64 and that this aspect of the Texas CCR executive director has prepared a draft relating to the transfer of permits. Under permit program meets the standard for registration, copies of it are also made 30 TAC section 305.64, the registrant or program approval. available to the public, along with a the transferee must submit an technical summary. The technical 2. Guidelines for Public Participation application to the executive director at summary provides information least 30 days before the proposed Based on RCRA section 7004, 42 regarding the application, staff review, transfer date and receive approval of the U.S.C. 6974, it is EPA’s judgment that and agency contacts available to assist application from the commission before an adequate state CCR permit program members of the public in answering the registration can be transferred. The will ensure that: (1) Documents for questions about the application. In Texas regulations provide that a permit determinations are made addition, the commission records are registration cannot be transferred from available for public review and open to the public for review subject to one facility to another. The specific CCR comment; (2) final determinations on statutory privileges and claims of registration application requirements permit applications are made known to confidentiality consistent with the are established in 30 TAC sections the public; and (3) public comments on Texas Public Information Act. See Texas 352.201 through 352.311 where Texas permit determinations are considered. Government Code Annotated, Chapter has State-specific provisions addressing Texas has adopted public participation 552 and 30 TAC 1.5. CCR registration application contents opportunities for the CCR program that b. Public Notice and information requirements. Under 30 can provide an inclusive dialogue, TAC sections 352.241 through 352.301, allowing interested parties to talk 30 TAC section 352.461 subjects all Texas requires sufficient information to openly and frankly about issues within public notices to the requirements in (1) ensure that all the 40 CFR part 257, the CCR program and search for 30 TAC section 39.405 (relating to subpart D technical requirements will mutually agreeable solutions to General Notice Provisions); (2) 30 TAC be followed. Specifically, a registration differences. An overview of the Texas section 39.407 (relating to Mailing application shall include sufficient public participation provisions is Lists); (3) 30 TAC section 39.409 information and reports to: (1) provided below. (relating to Deadline for Public Characterize the geology and Comment, and for Requests for hydrogeology at the facility; (2) a. Public Participation in the CCR Reconsideration, Contested Case demonstrate compliance with location Registration Application Process Hearing, or Notice and Comment restrictions; (3) demonstrate compliance Under 30 TAC section 39.418, the Hearing); (4) 30 TAC section 39.411 with design criteria; (4) demonstrate TCEQ requires that no later than 30 days (relating to Text of Public Notice); (5) 30 compliance with operating criteria; (5) after the executive director declares an TAC section 39.413 (relating to Mailed demonstrate compliance with application to be complete, the Notice); and (6) 30 TAC section 39.420 applicable groundwater monitoring and applicant must publish a Notice of (relating to Transmittal of the Executive corrective action requirements; and (6) Receipt of Application and Intent to Director’s Response to Comments and demonstrate compliance with Obtain Permit in a newspaper of largest Decision). 30 TAC section 352.431(c) applicable closure and post-closure circulation in the county in which the requires that the text of the public requirements. The provision at 30 TAC facility is located, or, if a newspaper is notices on the application include the
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internet address required by 30 TAC application for a new facility or when addition, TWC section 5.102 gives the section 352.1321 for the publicly the executive director determines that commission the powers to perform any accessible website for that facility. there is substantial public interest in the acts specifically authorized by this code, Under 30 TAC sections 39.503(c) and application or proposed facility. 30 TAC another law, implied by this code, or 39.405(f), Texas applicants must publish section 39.503(e)(3) provides, for other law necessary and convenient to the notice in the newspaper of largest example, that a ‘‘substantial public the exercise of its jurisdiction, as general circulation that is published in interest’’ is demonstrated when a provided by the laws of the state rules, the county in which the facility is request for a public meeting is filed by orders and permits. The TCEQ located or is proposed to be located. In a homeowners’ or property owners’ Enforcement Division maintains certain instances, Texas applicants may association formally organized or compliance schedules and reviews the be required to publish notice in a chartered and having at least ten schedules regularly to determine language other than English in a members located in the general area in whether a facility is complying with its newspaper predominately published in which the facility is located or proposed schedule. If a facility fails to meet its that alternative language. In certain to be located; or a group of ten or more compliance schedule, the facility is circumstances, Texas requires that local residents, property owners, or deemed to be in violation of the TWC, notices are mailed to select individuals businesses located in the general area in the THSC, or TCEQ rules. such as adjacent landowners, State and which the facility is located or proposed EPA determined that these local government officials, and anyone to be located. Finally, under 30 TAC compliance monitoring authorities are who asks to be included in the mailing section 352.961(c), a public meeting adequate, and that this aspect of the list, among others. In addition to the 30 must be held on applications for Texas CCR permit program meets the TAC section 352.431(c) requirements, registrations that authorize corrective standard for program approval. the provision at 30 TAC section 352.441 action and selection of a remedy as 4. Guidelines for Enforcement Authority requires that a revised notice be provided in 40 CFR 257.96(e). 30 TAC published if changes to an application section 352.451(c) requires that a notice It is EPA’s judgment that an adequate constitute a major amendment under 30 of the public meeting must be provided state CCR permit program should TAC section 352.131 (relating to in accordance with the procedures provide the state with adequate Amendments) after notice of receipt of contained in 30 TAC section enforcement authority to administer its application has been mailed and 39.503(e)(6), including newspaper state CCR permit program, including the published. publication and mailed notice from the authority to: (1) Restrain any person chief clerk to persons listed in 30 TAC from engaging in activity which may c. Public Comments and Response to section 39.413. damage human health or the Comments environment, (2) sue to enjoin Texas requires a minimum of a 30-day e. Challenges to Executive Director’s prohibited activity, and (3) sue to public comment period for CCR Action on a Registration Application recover civil penalties for prohibited registration applications pursuant to 30 30 TAC section 352.481 provides that activity. TAC section 352.431(d). Pursuant to 30 the executive director’s action on a CCR The TCEQ has adequate enforcement TAC section 352.431(e), the executive application for a new registration or an authority for its existing programs under director shall consider all public amendment of a registration is subject to TWC sections 5.512, 7.002, 7.032, 7.051, comments received before the close of 30 TAC sections 50.139 and 80.272 7.052, 7.101, 7.103 and 7.105—7.110. the public comment period. 30 TAC which provide the public with a right to Under TWC section 7.002, the state has section 352.461(c) requires the file a rehearing request for decisions the authority to initiate an enforcement executive director to prepare a response made in administrative hearing and a action to enforce the provisions of the to all timely, relevant and material, or right to file a motion to overturn the Texas Water Code, the Texas Health and significant public comment. The executive director’s action on an Safety Code within the commission’s executive director’s response and application decision. jurisdiction, and rules adopted under decision are sent to the mailing list, EPA determined that the Texas those provisions. Under TWC section including all commenters, as required approach to public participation 5.512, the TCEQ has specific authority under 30 TAC section 39.420. requirements provides adequate to issue an emergency order concerning opportunities for public participation in an activity of solid waste management d. Public Meeting the permitting process sufficient to meet under its commission’s jurisdiction, Under 30 TAC section 352.451(a), the the standard for program approval. even if that activity is not covered by a owner or operator and the commission permit, if it finds that an emergency 3. Guidelines for Compliance may hold a public meeting under 30 requiring immediate action to protect Monitoring Authority TAC section 55.154 for a new CCR the public health and safety exists. registration application or a major It is EPA’s judgment that an adequate The state also has the authority to sue amendment to a CCR registration in the permit program should provide the state in a court of competent jurisdiction and county in which the facility is located, with the authority to gather information may enforce a state rule or a provision based on the criteria of 30 TAC sections about compliance, perform inspections, of a permit by injunction or other 39.503(e), 55.154(c) or 352.961(c), as and ensure that information it gathers is appropriate remedy that may include cited in 30 TAC section 352.461(b). The suitable for enforcement. The TCEQ has corrective action (TWC section 7.032). purpose of a public meeting is to compliance monitoring authority under On request of the executive director, the provide information and receive public its Texas Health and Safety Code attorney general may initiate a suit in comment. Under 30 TAC sections (THSC) and the Texas Water Code the name of the state for injunctive relief 39.503(e)(1) and 55.154(c)(1) through (TWC). Specifically, THSC section (TWC section 7.032(e)). (2), the TCEQ is required to hold a 361.032 provides the authority for The TCEQ may assess administrative public meeting upon request of a environmental investigators to enter penalties and civil penalties for solid member of the legislature who public or private property and conduct waste violations under TWC section represents the general area in which the inspections or investigate solid waste 7.051, 7.101, 7.103 and 7.105 through facility is proposed to be located for an facilities, including CCR units. In 7.110. Under TWC section 7.052(c) and
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(d), the TCEQ may seek administrative comment period (30 TAC section authorize CCR units subject to the penalties of up to $25,000 per day for 70.10(c)); and (2) by providing Federal CCR regulations. Specifically, each violation for solid waste opportunity for public comments at Texas adopted by reference 40 CFR management violations. TWC section commission meetings on enforcement 257.52, 40 CFR 257.53, 40 CFR 257.60 7.105(a) specifically provides authority orders, pursuant to the Texas Open through 257.107, and the 40 CFR part for the Attorney General to initiate a suit Meetings Act under 30 TAC Chapter 10. 257 Appendices, as amended through to recover a civil penalty, or for both Texas Water Code sections 5.176 August 5, 2016 (81 FR 51807), and as injunctive relief and a civil penalty. The through 5.1773 provides for a public modified by the USWAG decision. Attorney General may represent the process for submitting and participating Texas did not adopt by reference 40 CFR State in civil judicial actions that may in complaints about a matter within the 257.71, 257.95(h) and 257.101(a). See 30 seek penalties from $50 to $25,000 per commission’s jurisdiction. If a TAC sections 352.2 and 352.3(a), 30 day for each violation. (TWC section complaint relating to an entity regulated TAC sections 352.601 through 352.981 7.102). by the commission is filed with the and 352.1200 through 352.1431.3 With EPA determined that this aspect of the commission, the commission must these exceptions, the technical Texas CCR permit program meets the notify the parties to the complaint at requirements are identical to the Federal standard for program approval. least quarterly of the status of the CCR regulations. 5. Intervention in Civil Enforcement complaint until the complaint reaches In addition to the technical criteria in Proceedings final disposition. Additionally, in 30 TAC Chapter 352, Texas has adopted accordance with TWC section 5.176 State-specific registration for CCR units Based on section 7004 of RCRA, it is through 5.1765, the commission and public participation requirements EPA’s judgment that an adequate state maintains a public website that contains in 30 TAC sections 352.101 through CCR permit program should provide an public education materials informing 352.481; State financial assurance opportunity for citizen intervention in the public about the commission’s requirements in 30 TAC sections civil enforcement proceedings. complaint policies and procedures, the 352.1101 and 352.1111; and for certain Specifically, the state must either: (a) collection and preservation of citizen activities, Texas has additional Provide for citizen intervention as a collected evidence, and the status of requirements for State notifications by matter of right or b) have in place a environmental complaints and pending owners and operators of CCR units, and process to: (1) Provide notice and enforcement actions, as well as State approvals by the executive opportunity for public involvement in administrative and judicial orders. director employed by the commission. civil enforcement actions, (2) investigate Under TWC section 7.110(d), the Office Specifically, in addition to what is and provide responses to citizen of the Attorney General may not oppose required by 40 CFR part 257, the State complaints about violations, and (3) not intervention by a person who has CCR regulations contain additional oppose citizen intervention when standing to intervene as provided by State-specific requirements for the use permissive intervention is allowed by Rule 60, Texas Rules of Civil Procedure. of licensed professional engineers and statute, rule, or regulation. EPA determined that these authorities geoscientists in 30 TAC section 352.4; Under TWC sections 7.075, and 7.110, provide for an adequate level of citizen use of laboratories accredited and Texas has specific authorities and the involvement in the enforcement certified by the State in 30 TAC section TCEQ rules that provide opportunity for process, and that this aspect of the 352.5; State notifications and approvals public participation in state Texas CCR permit program meets the for specific CCR activities by owners enforcement proceedings by allowing standard for program approval. persons to comment or intervene in and operators in 30 TAC sections certain administrative and civil actions. B. Adequacy of Technical Criteria 352.731(b), 352.741(b), 352.831(b), 352.841(b), 352.902, 352.911(b) and (c), Notice of the opportunity to comment EPA has determined that the technical 352.931(b), 352.941(b) through (d), on the action is published in the Texas portions of the Texas CCR permit 352.951(c) through (e), 352.981(b) and Register. Specifically, TWC sections program that were submitted for (c), 352.1221(b) and 352.1241(b) and (c); 7.075(a) and 7.110(a) and (b) allow for approval meet the standard for partial pre-opening inspection requirements for a 30-day public comment period for program approval under RCRA section administrative enforcement actions and 4005(d)(1)(B)(i), 42 U.S.C. new and lateral expansions of CCR civil enforcement actions. The 6945(d)(1)(B)(i). To make this landfills and surface impoundments in commission, under TWC section determination, EPA compared the 30 TAC section 352.851; groundwater 7.075(b) and the Office of Attorney technical requirements in the Texas monitoring and corrective action in 30 General under TWC section 7.110(c), CCR regulations submitted for approval TAC sections 352.911(d), 352.951(b) and must consider any written comments to their analogs in 40 CFR part 257 to 352.991; recordkeeping in 30 TAC and may withdraw or withhold consent determine whether they differed from section 352.1301(b); and posting of to a proposed order, judgment or other the Federal requirements, and if so, information on the publicly accessible agreement if the comments disclose whether those differences met the website in 30 TAC section 352.1321(c) facts or considerations that indicate that standard in RCRA sections and (d). The TCEQ is seeking EPA the consent is inappropriate, improper, 4005(d)(1)(B)(ii) and (C), 42 U.S.C. approval of its partial state CCR permit inadequate, or inconsistent with the 6945(d)(1)(B)(ii) and (C). The Texas CCR program, pursuant to RCRA section requirements of the commission’s regulations are contained in 30 TAC 4005(d). The TCEQ’s rules implement statutes, rules, or permits. Chapter 352, which in general are the Federal regulations promulgated The TCEQ rules also provide at least identical or analogous to the through August 5, 2016, and as two other opportunities for public requirements of 40 CFR part 257, modified by USWAG. The TCEQ has not participation in enforcement actions, subpart D. At 30 TAC Chapter 352, the amended state CCR program rules to including: (1) When an agreement is TCEQ largely adopted by reference the implement the Part A Final Rule. reached in an enforcement action requirements of 40 CFR part 257, 3 A reference crosswalk comparison of 40 CFR between a respondent and the executive subpart D, and implements procedural part 257, subpart D and 30 TAC Chapter 352 director, by providing public notice in requirements for a registration and provided by Texas is also available in the docket the Texas Register and a 30-day public compliance monitoring program to as Attachment I.
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Accordingly, Texas is not seeking will continue to apply directly to as’’ the Federal CCR regulations. approval for the following five facilities, and therefore facilities must Commenters recommended that provisions of its regulations, which are comply with both the Federal periodic review be required at least described in more detail below: requirements and the state every 5 years by Texas. Commenters 1. 30 TAC section 352.1(b)(2); this requirements. also said that permits must include state provision is the analog to the EPA has therefore determined that the provisions requiring them to be Federal exclusion of inactive technical criteria in the Texas partial periodically reopened or renewed to impoundments at inactive facilities, CCR permit program submitted for incorporate any changes to the state found at 40 CFR 257.50(e), that was approval meet the standard for partial program necessary to ensure that the vacated in USWAG; program approval under RCRA section CCR unit ‘‘continues to achieve 2. The state provision that is the 4005(d)(1)(B), 42 U.S.C. 6945(d)(1)(B). compliance’’ with standards ‘‘at least as analog to the Federal requirement that C. Public Comment Period protective as’’ those in any revised multiunit groundwater monitoring Federal CCR standards. systems with unlined CCR surface EPA announced its proposal to Comment Response: EPA disagrees impoundments must retrofit or close, approve, in part, the Texas CCR permit with the assertion that it is unlawful for found at 40 CFR 257.91(d)(2), which is program, and a 60-day public comment a registration issued under 30 TAC no longer relevant, as all unlined CCR period on December 8, 2020 (85 FR Chapter 352 to be issued for the active surface impoundments must close; 78980). EPA also held a virtual public life of the unit including the post 3. The state provision that is the hearing on February 2, 2021. The public closure care period. Permits for life are analog to the Federal requirement that hearing provided interested persons the not prohibited by RCRA or the 40 CFR unlined CCR surface impoundments opportunity to present information, part 257 regulations. RCRA section must retrofit or close after an assessment views, or arguments concerning EPA’s 4005(d)(1)(A) provides only that states of corrective measures is required, proposal. Oral comments received may create a permitting program or found at 40 CFR 257.95(g)(5), which during the public hearing are other system of prior approval, that if references a provision that was vacated documented in the transcript of the approved by EPA, would operate in lieu in USWAG; hearing, which, along with the written of the Federal CCR regulations. 42 4. 30 TAC sections 352.711(a)(4) and comments received during the public U.S.C. 6975(d)(1)(A). This provision 352.1211(b); these state provisions relate comment period, is included in the establishes no requirement regarding the to the date for unlined surface docket for this Action. length of the permit term. Nor do any impoundments to cease receipt of waste. D. EPA Responses to Major Comments of the provisions cited by the EPA has since revised the Federal on the Proposed Determination commenter establish such a limitation regulation and the state has not adopted on state programs. Provided the state the Federal revision, found at 40 CFR EPA received 14 written public has the authority to require 257.101(a)(1) or 257.101(b)(1)(i); comments and 2 comments from the modifications to the permit, there is no 5. 30 TAC section 352.1231; this state virtual public hearing during the need for the permit to expire to ensure provision is the analog to the Federal comment period. The major comments that the unit ‘‘continues to achieve alternative closure requirements of CCR received by EPA focused on five compliance’’ with any revised Federal units, found at 40 CFR 257.103. EPA has primary topics: 1. Lifetime standards. And as discussed below, since revised the Federal regulation and Registrations, 2. Citizen Suit or Civil Texas has the authority to require the state has not adopted the Federal Intervention Provisions, 3. Partial modifications to the registration, where revision. Program and Texas Adoption of the necessary. Neither do the Federal CCR With the exception of the five Federal Regulations, 4. Groundwater regulations prohibit permits for the life provisions noted above, EPA Contamination, and 5. Issues with the of a CCR unit. EPA’s position is determined that the Texas CCR Federal CCR Regulations. For several of consistent with the recent decision in regulations contain all of the technical these issues, EPA sent follow-up Waterkeeper Alliance, Inc. v. Wheeler, elements of the Federal CCR regulations, questions on March 23, 2021, to TCEQ; et al. in which the U.S. District Court for including requirements for location a copy of the TCEQ responses to the the District of Columbia held that ‘‘so- 4 restrictions, design and operating EPA questions and more detailed called ‘permits for life’ are acceptable’’ criteria, groundwater monitoring and summary of all comments received and under RCRA section 4005(d). No. 18– corrective action, closure requirements EPA’s responses to those comments are 2230, 2020, WL 1873564, at *11 (D.C. and post-closure care, recordkeeping, provided in the Response to Comments Dist. Apr. 5, 2020). EPA therefore notification and publicly accessible CCR document included in the docket for disagrees that this aspect of the Texas internet site posting requirements. The this Action. program is not at least as protective as Texas CCR permit program also contains 1. Lifetime Registrations the Federal requirements. State-specific language, references, Furthermore, permits for the life of a definitions, and State-specific Comment Summary: The Agency CCR unit remain subject to periodic requirements that differ from the received several comments about the review by both Texas and EPA. First, 30 Federal CCR regulations, but which EPA Texas program’s registration TAC section 352.131 (relating to has determined to be ‘‘at least as authorization ‘‘for the active life of the registration amendments) contemplates protective as’’ the Federal criteria. unit as well as any post-closure period.’’ review of registrations as part of the The effect of granting approval of a In sum, commenters said that a ‘‘permit registration modification or amendment partial program is that the Texas CCR for life’’ is inconsistent with the WIIN process. Additionally, facility-initiated permit program will apply in lieu of the Act’s mandate that state CCR programs amendment applications related to Federal regulations, with the exception ensure that CCR units located therein administrative, technical and/or of the five provisions for which the meet standards ‘‘at least as protective operational changes would require a State did not seek EPA approval. For review of the application that may result 4 See EPA Follow-up Questions for Texas on the those provisions for which the State did CCR permit program based on public comments, in revisions to the CCR registration. not seek EPA approval, the March 23, 2021, document from April 7, 2021, in TCEQ’s EPA-approved MSWLF corresponding Federal requirements the docket for this Action. programs provides a helpful example of
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how this process may play out in the substantially reduces the role of the comment in enforcement actions. TWC CCR program. In Texas, MSWLF permits public, and eliminates the role of citizen sections 7.075(a) and 7.110(a) and (b) are also issued for the life of the facility enforcement, it is less protective than require a 30-day public comment period and approximately 70% of MSWLF the Federal CCR regulations. for administrative and civil enforcement submit a modification or amendment The comments suggest that during the actions. Furthermore, Texas must application each year for changes to approval process of a specific CCR consider any written comments and their permit. Similarly, CCR facilities registration, the public will not be able may withdraw or withhold consent to a may seek modifications on a regular to present evidence of harm and proposed order, judgment or other basis that would result in revisions to malpractice as a reason or basis for agreement if the comments disclose their permit to maintain compliance rejection of a registration application. facts or considerations that indicate that with the state CCR program. Moreover, As a result of the inability to present the settlement is inappropriate, public participation is required for such evidence, public participation in improper, inadequate, or inconsistent major amendments, defined in 30 TAC the registration application process will with the requirements of the section 305.62, and a major amendment be severely restricted. Citizens will not commission’s statutes, rules, or permits. of a registration is subject to the same be able to offer testimony and See TWC sections 7.075(b), and opportunities for public participation as supporting evidence to demonstrate the 7.110(c). Texas also allows public an application for a new registration need for more vigorous enforcement comments at commission meetings on under 30 TAC section 352.431, as within a registration application. In enforcement orders, pursuant to the discussed in Unit III.A.2 of this sum, Texas’ appears to sidestep or limit Texas Open Meetings Act under 30 TAC document. Examples of major and the community involvement process. Chapter 10. minor amendments are included in 30 Furthermore, commenters said Second, TWC section 5.176 through TAC sections 352.131(b) and 305.62(c). making registration applications that are 5.1773 provides a process for Second, RCRA section 4005(d) not subject to a contested case or investigating and responding to citizen requires EPA to periodically review evidentiary administrative hearing complaints. Citizens have a right to file state CCR permit programs or other conflicts with the General Notice complaints with TCEQ regarding system of prior approval; RCRA section Provisions found at 30 TAC section facility’s regulated by TCEQ, and TCEQ 4005(d)(1)(D)(i)(I) requires review no 352.461, which outlines the must provide the complainant with less frequently than once every 12 years. requirements for public notices such as status updates on the complaint at least Moreover, RCRA section mailing lists, established deadline for quarterly until the complaint reaches 4005(d)(1)(D)(i)(II) provides that the public comments, and the process for final disposition. Additionally, in Administrator shall review a state contested case hearings. accordance with TWC section 5.176(b), permit program not later than 3 years Comment Response: EPA disagrees TCEQ maintains a public website 5 that after the date on which the EPA revises that the Texas CCR permit program does contains materials informing the public the regulations for CCR units under 40 not provide for adequate civil about TCEQ’s complaint policies and CFR part 257, subpart D. As a result, the enforcement of CCR regulatory procedures, the collection and state would be expected to submit a requirements. From the Guidance preservation of citizen collected revised state CCR permit program Document, a state program provides evidence, and the status of application for elements of its program adequate opportunities for civil environmental complaints and pending that are no longer as protective as the enforcement when it (a) provides for enforcement actions, as well as Federal CCR program. If the state fails citizen intervention as a matter of right administrative and judicial orders. to submit a revised permit program, the or (b) has in place a process to (1) Third, Texas has opportunities for statute provides for EPA to issue a provide notice and opportunity for citizen intervention in civil procedures. notice of deficiency and potentially to public involvement in civil enforcement Under TWC section 7.110(d), the Office withdraw the program. 42 U.S.C. actions, (2) investigate and provide of the Attorney General may not oppose 6945(d)(1)(D)(ii), (iii). Additionally, responses to citizen complaints about intervention by a person who has RCRA 4005(d)(1)(D)(i)(III), provides that violations, and (3) not oppose citizen standing to intervene as provided by EPA will review a state program ‘‘not intervention when permissive Rule 60, Texas Rules of Civil Procedure. later than 1 year after the date of a intervention is allowed by statute, rule, In addition to Texas’ specific significant release . . . that was not or regulation. As described in Unit authorities providing for civil authorized at the time the release III.A.2 through 5, EPA has determined enforcement of state CCR regulations, occurred, from a [CCR] unit located in that Texas’ program provides those citizens are provided enforcement that state.’’ opportunities. Furthermore, EPA opportunities under RCRA’s citizen suit disagrees that a State equivalent to the provisions. Citizen suits are authorized 2. Citizen Suit or Civil Intervention citizen suit provision in RCRA section Provisions by RCRA section 7002(a). Citizens’ 7002 is required for program approval ability to file RCRA citizen suits are not Comment Summary: EPA received because the right to file a RCRA citizen affected by RCRA section 4005(d), several comments about citizen suits or suit pertaining to CCR facilities in Texas establishing a process for approving civil intervention provisions related to is unaffected by EPA’s approval. state CCR programs. See 42 U.S.C. the Texas CCR registrations. The Finally, EPA disagrees that Texas 6945(d)(7). Likewise, EPA’s approval of commenters were not aware of any provides limitations on the types of the Texas CCR permit program does not citizen enforcement mechanisms, comments the public can submit such affect citizens’ ability to file RCRA contested case or administrative that comments regarding harm or citizen suits. For those reasons, Texas’ evidentiary hearing under Texas law malpractice cannot be presented to CCR permit program does not need to that would provide legal recourse for TCEQ for consideration in evaluating a include a standalone citizen suit citizens affected by violations of the registration application. provision as suggested by commenters. Texas program, including violations of Texas has specific authorities that registrations issued pursuant to the provide for public participation in state 5 For more information, please visit TCEQ’s Make program. The commenters explained enforcement proceedings. First, Texas’ an Environmental Complaint web page, available at. that because the Texas program program provides for notice and https://www.tceq.texas.gov/compliance/complaints.
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Finally, EPA disagrees that the Texas complying with Federal requirements in suggested these issues were reasons to CCR permit program severely restricts 40 CFR 257.50(e), 257.91(d)(2), not approve the Texas CCR permit citizen participation in the registration 257.95(g)(5), 257.101(a)(1), 257.101(b), program. process by precluding the presentation and 257.103. Comment Response: Comments of evidence with respect to alleged harm regarding the Federal CCR regulations at 4. Groundwater Contamination or malpractice. As a general matter, 40 CFR part 257 are beyond the scope Texas’ program provides for public Comment Summary: Other comments of this action. For the issues raised notice and comment in the registration were about general groundwater above, TCEQ regulations are identical to process and for major amendments as contamination in Texas that could be the Federal regulations. Therefore, described in Unit III.A.2.a. More due to CCR facilities. Some commenters based on RCRA section 4005(d), EPA specifically, Texas’ regulations described the human health and has determined that the Texas pertaining to CCR units or public environmental impacts of certain regulations submitted for EPA’s participation in state environmental constituents present in groundwater and approval will ensure that all the CCR permitting decisions do not include surface water. Commenters were units in the state will achieve limitations on the type of comments the concerned about closure of CCR units compliance with the Federal CCR public can submit in response to a with waste in place, especially if the regulations at 40 CFR part 257, subpart registration application. Additionally, CCR unit is unlined, near a water body, D. or if there is groundwater contamination TCEQ is required to consider all public IV. Approval of the Texas CCR Permit comments received and prepare a from the CCR unit detected from the Program response to all timely, relevant and groundwater monitoring and corrective material, or significant public action program. Upon signature of today’s notice, the comments. 30 TAC sections 352.431(e), Comment Response: Texas has partial Texas CCR permit program, as 352.461(c). Citizens may also request a adopted CCR regulations at 30 TAC described in its Application and Units public meeting or contested case Chapter 352 which in general are II and III, is approved. Because this is hearing pertaining to the registration identical or analogous to the a partial program approval, only the application pursuant to 30 TAC sections requirements of 40 CFR part 257, state requirements that have been 55.201, 55.154, and 352.451(a). subpart D, including groundwater approved will operate in lieu of the Furthermore, citizens also have a right monitoring requirements that adopted analogous Federal requirements. to seek judicial review of TCEQ’s final the Federal regulations at 40 CFR 257.90 Accordingly, owners and operators of decision on a registration application. A through 257.98 by reference. EPA is not CCR units in Texas will remain person affected by a final ruling, order, making any determinations regarding responsible for compliance with all or decision of TCEQ may file a petition the compliance status of individual applicable requirements in 40 CFR part for judicial review within 30 days after facilities or CCR units based on the 257 for which Texas did not seek the effective date of the decision (TWC public comment process for this final approval listed in Unit III.B. EPA will section 5.351). Action. However, some commenters implement such provisions under the raised concerns about compliance issues Federal CCR program, until and unless 3. Partial Program and Texas Adoption in the broader context of program Texas submits a revised CCR permit of the Federal Regulations approval and questioned whether Texas program application and receives Comment Summary: A few has the ability and inclination to fully approval for these provisions. A permit, commenters mentioned the fact that implement an approved program. Given or registration, issued by a state is not Texas is seeking a partial program that Texas is in the early stages of a shield for noncompliance with these approval because of revisions in the implementing its new CCR regulations, 40 CFR part 257 provisions. For those Federal program but it was unclear to it is not unexpected that compliance CCR units that do not yet have CCR the commenters about what TCEQ with those regulations across the State registrations, the Federal regulations at adopted, what was excluded from the may be evolving. 40 CFR part 257 will remain in effect state program approval, and what the The Texas CCR permit program will until such time that TCEQ registrations effect of the partial program would be require each CCR unit located in the under its approved CCR permit program for Texas. Other commenters said that state to achieve compliance with the are in effect for those units. Texas met the necessary criteria for a regulations that are part of their RCRA section 4005(d)(1)(D) specifies partial program approval. approved program as well as the Federal that EPA will review a state CCR permit Comment Response: EPA has CCR requirements that were mentioned program: determined that partial program above that are not being approved as • From time to time, as the approval is appropriate, in part because part of the Texas CCR permit program. Administrator determines necessary, but Texas’ regulations include some not less frequently than once every 12 provisions that are inconsistent with 5. Issues With the Federal CCR Regulations years; current federal CCR regulations. Texas’s • Not later than 3 years after the date state CCR regulations reflect the Federal Comment Summary: The Agency on which the Administrator revises the CCR program through August 5, 2016; received a number of questions or applicable criteria for CCR units under however, the Federal CCR regulations concerns saying that the Federal CCR part 257 of title 40, CFR (or successor have changed since then as a result of regulations were not adequately regulations promulgated pursuant to the USWAG decision and the Part A protective of human health and the RCRA sections 1008(a)(3) and 4004(a)); Final Rule. As such, Texas submitted to environment and since Texas adopted • Not later than 1 year after the date EPA for approval only those aspects of the Federal regulations by reference, the of a significant release (as defined by the its CCR program that are consistent with Texas regulations were also not Administrator), that was not authorized current Federal CCR regulations. protective. Most of these questions and at the time the release occurred, from a Consequently, even after EPA’s approval concerns related to issues regarding CCR unit located in the state; and of the partial Texas CCR permit groundwater monitoring and corrective • In request of any other state that program, owners and operators of CCR action, closure, and unlined surface asserts that the soil, groundwater, or units in Texas remain responsible for impoundments. The commenters surface water of the state is or is likely
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to be adversely affected by a release or DEPARTMENT OF HEALTH AND § 512.210 [Corrected] potential release from a CCR unit HUMAN SERVICES ■ 6. On the same page, in the same located in the state for which the column, in instruction 26, in the 2nd program was approved. Centers for Medicare & Medicaid line, ‘‘December 4, 2021’’ should read Services RCRA section 4005(d)(4)(B) also ‘‘December 4, 2020’’. provides that in a state with an 42 CFR Parts 410, 411, 412, 414, 416, § 512.217 [Corrected] approved CCR permitting program, the 419, 482, 485, 512 Administrator may commence an ■ 7. On the same page, in the 3rd administrative or judicial enforcement column, in instruction 27, in the 2nd [CMS–1736–FC, 1736–IFC] action under section 3008 if: line, ‘‘December 4, 2021’’ should read • ‘‘December 4, 2020’’. The state requests that the RIN 0938–AU12 Administrator provide assistance in the § 512.220 [Corrected] performance of an enforcement action; Medicare Program: Hospital Outpatient ■ 8. On the same page, in the same or Prospective Payment and Ambulatory column, in instruction 28, in the 2nd • After consideration of any other Surgical Center Payment Systems and line, ‘‘December 4, 2021’’ should read administrative or judicial enforcement Quality Reporting Programs; New ‘‘December 4, 2020’’. Categories for Hospital Outpatient action involving the CCR unit, the § 512.245 [Corrected] Administrator determines that an Department Prior Authorization enforcement action is likely to be Process; Clinical Laboratory Fee ■ 9. On page 86305, in the 1st column, Schedule: Laboratory Date of Service necessary to ensure that the CCR unit is in instruction 29, in the 2nd line, Policy; Overall Hospital Quality Star operating in accordance with the criteria ‘‘December 4, 2021’’ should read Rating Methodology; Physician-Owned established under the state’s permit ‘‘December 4, 2020’’. Hospitals; Notice of Closure of Two program. Teaching Hospitals and Opportunity § 512.255 [Corrected] V. Action To Apply for Available Slots, Radiation ■ 10. On the same page, in the same Oncology Model; and Reporting column, in instruction 30, in the 2nd In accordance with 42 U.S.C. 6945(d), Requirements for Hospitals and line, ‘‘December 4, 2021’’ should read EPA is approving the Texas partial CCR Critical Access Hospitals (CAHs) To ‘‘December 4, 2020’’. state permit program. Report COVID–19 Therapeutic § 512.285 [Corrected] Dated: June 1, 2021 Inventory and Usage and To Report Acute Respiratory Illness During the ■ Michael S. Regan, 11. On the same page, in the 2nd Public Health Emergency (PHE) for column, in instruction 31, in the 2nd Administrator. Coronavirus Disease 2019 (COVID–19) line, ‘‘December 4, 2021’’ should read [FR Doc. 2021–13698 Filed 6–25–21; 8:45 am] ‘‘December 4, 2020’’. BILLING CODE 6560–50–P Correction [FR Doc. C1–2020–26819 Filed 6–24–21; 4:15 pm] In rule document 2020–26819, BILLING CODE 0099–10–P beginning on page 85866, in the issue of Tuesday, December 29, 2020, make the following corrections: FEDERAL COMMUNICATIONS 1. On page 85866, in the 2nd column, COMMISSION in the DATES section, on the 8th line, ‘‘December 4, 2021’’ should read 47 CFR Part 2 ‘‘December 4, 2020’’. 2. On page 86261, in the 2nd column, [ET Docket No. 13–115; RM 11341; FCC 21– in the 14th and 15th lines, ‘‘December 44; FR ID 33506] 4, 2021’’ should read ‘‘December 4, Allocation of Spectrum for Non-Federal 2020’’. Space Launch Operations
PART 42 [Corrected] AGENCY: Federal Communications § 482.42 [Corrected] Commission. ACTION: Final rule. ■ 3. On page 86303, in the 3rd column, in instruction 21, in the 2nd line, SUMMARY: In this document, the Federal ‘‘December 4, 2021’’ should read Communications Commission ‘‘December 4, 2020’’. (Commission) takes steps towards establishing a spectrum allocation and § 485.640 [Corrected] licensing framework that will provide ■ 4. On page 86304, in the 1st column, regulatory certainty and improved in instruction 23, in the 2nd line, efficiency and that will promote ‘‘December 4, 2021’’ should read innovation and investment in the ‘‘December 4, 2020’’. United States commercial space launch industry. Specifically, in the Report and § 512.205 [Corrected] Order, the Commission allocates the ■ 5. On the same page, in the 2nd 2200–2290 MHz band for space column, in instruction 25, in the 2nd operations on a secondary basis to line, ‘‘December 4, 2021’’ should read permit non-federal use in specific ‘‘December 4, 2020’’. portions of this band for purposes of
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space launch operations to help meet focusing on propelling small satellites must be carefully coordinated to protect the increasing demands for space into orbit. Bigelow Aerospace plans to these Federal operations and suggests exploration and development. deploy a manned space station. To that the commercial space launch DATES: Effective July 28, 2021. support these commercial space industry be limited to four frequency ADDRESSES: Federal Communications ventures, entities such as the New segments to facilitate this coordination. Commission, 45 L Street NE, Mexico Spaceport Authority, the Because of the importance of Federal Washington, DC 20554. Virginia Commercial Space Flight systems in the band, NTIA supports FOR FURTHER INFORMATION CONTACT: Authority and the Houston Airport adding a secondary non-Federal space Nicholas Oros, Deputy Chief, Policy and System have established non-Federal operations allocation to this band Rules Division, Office of Engineering spaceports. instead of the proposed primary 2. The Commission adopts a footnote and Technology, at (202) 418–0636 or allocation. As the private sector began to to the Allocation Table for specified [email protected]. participate in launch activities, frequencies in the 2200–2290 MHz band companies needed access to spectrum to SUPPLEMENTARY INFORMATION: This is a to support commercial space launches facilitate communications associated summary of the Commission’s Report and enable continued growth of a and Order, ET Docket No. 13–115, FCC with launch activities, a need that has vibrant commercial space industry. This continued to increase in recent years. 21–44, adopted April 22, 2020, and allocation shall be limited to use by released April 22, 2020. This document The STA mechanism that the space operations for the telemetry and Commission and NTIA have used to is available by downloading the text tracking operations of launch vehicles from the Commission’s website at provide access to the 2200–2290 MHz during pre-launch testing and space band during launches is not ideal to https://www.fcc.gov/document/fcc- launch operations. seeks-make-spectrum-available- handle the increased volume of 3. The NPRM made two alternative commercial space launch activities commercial-space-launches-0. When proposals for providing access to this the FCC Headquarters reopens to the because applicants are often required to band for launch telemetry use. Under file multiple STAs for a single launch public, the full text of this document the first proposal, the Commission also will be available for public and the STAs expire after six months. would add a footnote to the U.S. Table STA requests are coordinated with inspection and copying during regular providing primary non-Federal Space business hours in the FCC Reference NTIA manually, through email, whereas Operation service allocations to portions other non-Federal applications requiring Center, 45 L Street NE, Washington, DC of the 2200–2290 MHz band. This 20554. Alternative formats are available coordination are processed through the footnote would require successful Office of Engineering and Technology’s for people with disabilities (Braille, coordination of the assignment and use large print, electronic files, audio Frequency Assignment System of the band for space launch operations (OFACS). In the NPRM, the Commission format) by sending an email to FCC504@ with NTIA; restrict non-Federal use of tentatively concluded that creating a fcc.gov or calling the Commission’s the band to pre-launch testing and non-Federal allocation for this band Consumer and Governmental Affairs launches at Federal ranges; limit non- would be preferable to continuing to Bureau at (202) 418–0530 (voice), (202) Federal transmissions to the 2207–2219 issue STAs on a launch-by-launch basis 418–0432 (TTY). MHz, 2270.5–2274.5 MHz, and 2285– because licenses would better support 2290 MHz portions of the band; and Synopsis the forecasted increased number of limit non-Federal use of the band to commercial launches in the future. 1. Commercial space launch entities channel bandwidths less than 5 Accordingly, in the NPRM the are proliferating and are increasingly megahertz by launch vehicles. Under a Commission invited comment on involved in all aspects of U.S.-based second proposal, the Commission space activities, such as transportation would amend the U.S. Table to add a adopting such an allocation, as a first of cargo and people into space, orbital primary non-Federal Space Operation step towards establishing rules that launches to place satellites and other service allocation to the 2200–2290 would allow for issuing licenses to payloads into space, and suborbital MHz band. This allocation would be commercial launch operators to permit launches. There are a growing number accompanied by a footnote to the U.S. their use of this spectrum band on an of companies offering services to both Table with the same restrictions interference-protected basis. private entities and government specified in the footnote proposed in the 5. Although commenters disagreed as organizations. For example, the National first alternative. The NPRM also asked to whether a non-Federal allocation is Aeronautics and Space Administration whether there is sufficient spectrum warranted or whether continued (NASA) has engaged two private available to support the growth of the reliance on STAs is acceptable, all companies to take cargo and crew to the commercial launch industry. commenters agreed that access to this International Space Station (ISS), and 4. The 2200–2290 MHz band is band for telemetry during launches is companies such as Space Exploration currently allocated on a primary basis to necessary. The Commercial Spaceflight Technologies (SpaceX) and Northrop multiple services for Federal use and is Federation expressed the importance of Grumman have completed numerous widely used. The only permitted non- access to this band on a co-primary successful missions to the ISS. SpaceX Federal use of the band is for stations in basis for launch telemetry and pointed has recently ferried people to the ISS, the space research, space operation, and out that allocating spectrum even on a and Boeing is developing a spacecraft to Earth exploration-satellite services to secondary basis can eliminate the do the same. Other companies, such as transmit to NASA’s Tracking and Data unnecessary STA process. A coalition of Virgin Galactic and Blue Origin, intend Relay Satellite System (TDRSS) on a several space launch providers asserted to take private citizens on suborbital non-interference basis. According to that they must make one or more flights. These commercial space launch NTIA, the 2200–2290 MHz band is requests for STAs for every launch and companies are also actively transporting heavily used by the Department of reentry because no spectrum is communications satellites into orbit. Defense (DoD) and other agencies and currently allocated for these purposes, SpaceX, for example, has conducted these uses are vital for mission-critical even on a secondary basis. SpaceX over 100 launches. Several companies, systems. NTIA emphasizes that use of supports the first proposal to add a such as Rocket Lab and Astra, are the band during commercial launches footnote to the U.S. Table providing a
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primary non-Federal allocation with the access the spectrum for launch sustainable as the number of understanding that such a Table operations without an allocation under commercial launches increases. In 2012, footnote is the legal equivalent of a the condition they may not cause there were only seven Federal Aviation Table allocation, while the Commercial harmful interference to Federal stations. Administration (FAA) licensed Spaceflight Federation and XCOR have 8. The Commission concludes that commercial launches; in 2020, there no preference between the two adopting a non-Federal secondary were 39 FAA-licensed commercial proposals. Blue Origin prefers adding a allocation for this band for use during launches. The Commission expect that non-Federal co-primary allocation to the commercial space launches will help number will continue to increase. In band. SpaceX states that it will need an meet the future needs of the growing addition, use of private spaceports additional 4 megahertz of bandwidth commercial space industry. Adopting located outside of the established beyond what is provided in the this new allocation is the first step in a Federal ranges do not fit the existing proposals to support operations of its process that will allow the Commission pattern the Commission has established heavy lift launch vehicles. Orbital ATK to adopt technical and other service for issuing STAs. Thus, as the space favors adding non-Federal allocations in rules to govern commercial launch launch landscape continues to evolve, the band at 2225.5 MHz, 2241.5 MHz, operations which, in turn, will give the current ad hoc experimental 2259.5 MHz, 2269.5 MHz, and 2288.5 operators more certainty with respect to licensing approach based on uncertain MHz. spectrum use in these bands during temporary authorizations becomes 6. SpaceX states that the STA process commercial space launches. Access to increasingly risky. The Commission also is suboptimal as commercial space spectrum under a more predictable, does not believe it is necessary to delay launches are occurring more frequently. collaborative, and transparent regulatory adopting an allocation for the 2200– SpaceX explains that the STA process process is important to the fledgling 2290 MHz band because of the time that creates significant business planning commercial space launch industry has passed since the NPRM as several challenges due to the lack of certainty because of the large monetary commenters suggest. The NPRM clearly regarding approval timing as it relates to investment required for each launch. By raised the issue of whether the the scheduled launch date as well as the operating on a regular, licensed basis, Commission should adopt an allocation inherent uncertainty of non-interference commercial space operators will have for this band as a first step toward status. Both SpaceX and the Commercial certainty as to which frequency bands adopting service rules. The current Spaceflight Federation note that can be used for non-federal space record, including the comments applicants have no visibility into the launch operations, which will promote received in response to the NPRM and coordination process. According to the advance planning and investment the more recent ex parte filings, along SpaceX, implementing the proposed necessary for future space launch with our experience issuing allocation will streamline licensing, activities. Although there will be experimental licenses demonstrate that reduce the amount of required coordination with NTIA prior to each taking this step is the best course of coordination, and provide greater launch, the Commission will continue action. In fact, there is nothing to certainty regarding approvals. Orbital to work with NTIA to facilitate efforts to suggest that the issues commenters have Sciences (now Northrop Grumman) streamline the coordination process to raised regarding the current STA endorses the addition of a co-primary further improve certainty with respect process have changed and our allocation to a subset of the frequencies to spectrum access. The need for experience over the past eight years in the relevant band to remedy the STA reliable access to launch spectrum is only further supports the need for a process shortcomings—notably, that becoming even more important as non-Federal allocation for this band. communications can be interrupted at commercial launch operators shift any time and that it takes a significant beyond cargo supply activities into 10. Adopting a non-Federal Space amount of time to obtain STAs. manned space missions. SpaceX Operation allocation for the 2200–2290 7. The Satellite Industry Association, recently completed a successful manned MHz band will allow us to develop Boeing, and Lockheed Martin argue that mission to the ISS and Boeing is rules that meet the specific needs of the a non-Federal allocation in this band is developing a craft to take people to the commercial space industry, rather than unnecessary and that non-Federal ISS. The Commission also notes that the trying to stretch the experimental rules launches currently enjoy de facto current process of obtaining an STA to meet these unique needs. There are interference protection because they are places burdens on launch providers, several reasons for this. First, because coordinated with Federal frequency which must prepare numerous the dynamics for frequency use during coordinators. Boeing claims that a non- duplicative applications. Significantly, launch activities are now well Federal allocation will not simplify SpaceX and Blue Origin, who have established, they are no longer Federal coordination in these bands obtained dozens of STAs for spectrum considered truly experimental and because non-Federal users will not be in the 2200–2290 MHz band, favor an should be transitioned to a set of empowered to interfere with Federal allocation in lieu of continued reliance permanent rules to bring certainty to the users except to the extent coordinated on STAs. As the U.S. commercial space process. Second, because of the nature with a Federal spectrum coordinator. industry continues to expand, the of experimentation, which often Boeing suggests that once SpaceX gains Commission expect the burdens and involves transmitters that have not gone experience with the current process, it uncertainties associated with continuing through the equipment approval will realize that the process provides the current STA process would only process, the rules governing reliable interference-free access to increase. experimental use do not provide any launch spectrum and that the current 9. The Commission is not convinced long term sustainability or interference well-understood and effective system by the claims of several commenters protection from allocated services. should not be abandoned without a that there is no need for change because Third, the Commission finds that clear, superior alternative. Boeing also the current STA process provides de carving out a specific exemption from suggests that, instead of adding a non- facto interference protection. While that our experimental rules to provide Federal allocation, the Commission may be the case today when there are interference protection for launch could adopt a U.S. Table footnote that still relatively few launches, there is no activities—as requested by Boeing, provides that non-Federal stations may guarantee that the current approach is Lockheed Martin, and the Satellite
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Industry Association—could create better alternative than establishing an Federal use, as specified by NTIA, but confusion among licensees and is an allocation in the U.S. Table for these proposes in the FNPRM that the inferior solution compared to providing bands. Adding a footnote instead of Commission consider extending the an allocation and adopting service rules. establishing an allocation is consistent secondary allocation to the full 90 Fourth, because the experimental rules with existing precedent that an megahertz. The Commission also notes are not intended to cover long-term allocation that is lightly used or highly that until service rules are adopted, non- commercial enterprises and STAs are restricted is implemented by using a Federal use of even the four subbands limited by the Communications Act to footnote rather than placing in the U.S. will continue to require an STA. The periods of no more than 180 days, they Table. In this case, use of the band will Commission notes that launches are not suited to covering multiple continue to be restricted even as the precipitated by successful coordination launches over time. Thus, the current U.S. commercial space industry with NTIA have been conducted using STA process cannot accommodate continues to grow because of the need this spectrum for many decades. The multiple launches over extended time to coordinate with the Federal Commission sees no indication that this periods as requested by Boeing, SpaceX, operations in the band. The Commission legacy of successful coexistence and Orbital ATK. notes that either a direct table entry or between launch operations and Federal 11. As advised by NTIA, the footnote entry will provide future space users cannot continue to thrive under Commission is adopting a secondary operations licensees with equivalent the allocation the Commission adopts Space Operation service allocation for status in the band. today. the 2200–2290 MHz band rather than 13. Hence, the Commission is 15. In addition, the Commission will the primary allocation proposed in the implementing this secondary non- not add developmental testing to the NPRM. Given that the use of this band Federal Space Operation allocation by permitted uses of the Space Operations necessitates close coordination with adding a footnote (US96) to the 2200– allocation, as requested by SpaceX and NTIA, adopting a secondary allocation 2290 MHz band in the U.S. Table. This the Commercial Spaceflight Federation. for this band would accomplish many of footnote limits use of the allocation to As SpaceX admits, developmental the goals the Commission sought to use during pre-launch testing and testing is relatively infrequent and likely achieve with the proposed primary during space launch operations; to occur at only a few discrete locations. allocation. With a secondary allocation, requires coordination with NTIA prior Such testing can, and should, be the Commission will be able to adopt to each launch; and limits non-Federal conducted under Part 5 experimental service rules for use of the band and use to the 2208.5–2213.5 MHz, 2212.5– licenses. issue spectrum authorizations for space 2217.5 MHz, 2270–2275 MHz, and 16. When the Commission proposed launch operations. This will reduce the 2285–2290 MHz portions of the 2200– allocating the three band segments in uncertainty of the launch-by-launch 2290 MHz band. The limitation to use the 2200–2290 MHz band for STA process and provide well-defined during pre-launch testing and space commercial launch operations, the technical rules that licensees can design launches is consistent with NTIA’s Commission also invited comment on their equipment to comply with. While advisement as well as the proposal in whether the spectrum in those band individual launches will still need to be the NPRM. Despite this limitation, the segments would be sufficient to support coordinated, once the service rules are current use of the space operation the expected growth of the commercial adopted and applicants will no longer allocation to enable access to TDRSS launch industry. In its comments, have to apply for STAs for each launch, will continue to be permitted on a non- SpaceX requests that the Commission a streamlined process that will save interference basis under the current expand the lower sub-band proposed in time and effort on the part of space allocation. The requirement that the the NPRM by 4 megahertz to meet the launch operators, NTIA, and the channel assignments be coordinated needs of future launches—i.e., establish Commission will be more achievable. with NTIA was proposed in the NPRM a 16 megahertz (2205–2221 MHz) band The Commission notes that even if it and is necessary because of the existing segment. While the Commission is had adopted a primary non-Federal Federal use of the band. cognizant that as launch technology allocation for this band, individual 14. The limitation on non-Federal use continues to develop there may be a launches would still have needed to be of the band to the 2208.5–2213.5 MHz, need for greater amounts of telemetry coordinated because of the heavy 2212.5–2217.5 MHz, 2270–2275 MHz, data which will require wider existing Federal use of the band. Several and 2285–2290 MHz portions of the bandwidths, the Commission declines commenters advocate adoption of a band was requested by NTIA. The to expand the band segments available primary allocation claiming that it will NPRM proposed that non-Federal use of for telemetry beyond those bands lead to streamlined licensing, eliminate the band be restricted to a slightly specified in the previous two repeated licensing work, require less different set of subbands: 2207–2219 paragraphs. Instead, the Commission coordination, and provide greater MHz, 2270.5–2274.5 MHz, and 2285– believes any need for wider bandwidths certainty with respect to approvals. The 2290 MHz. SpaceX has indicated that its can be adequately met on a case-by-case service rules the Commission will be recent launches have used a set of basis using the STA process. able to adopt under a secondary frequencies that differ both from what 17. Adopting a non-Federal allocation allocation should be able to provide was proposed in the NPRM and what is for the 2200–2290 MHz band, however, these benefits to the same extent as rules requested by NTIA. Blue Origin states is only a first step in providing licenses adopted under a primary allocation. The that it has used two frequencies that for commercial launch operations. In Commission defers further match NTIA’s request and two that are the FNPRM, the Commission proposes consideration of adopting a primary different. Boeing suggests that the non-Federal allocations for three more allocation for this band to the Further Commission avoid identifying discrete bands and the Commission seeks Notice of Proposed Rulemaking portions of the 2200–2290 MHz band as comment on appropriate service rules (FNPRM) published June 10, 2021 (86 available for non-Federal launches as for each band that will enable spectrum FR 30860). non-Federal and Federal launch sharing between Federal users and 12. The Commission believes that vehicles must be interoperable. The commercial space operators. The providing access to the spectrum by Commission identifies the four portions Commission fully intends that the adding a footnote to the U.S. Table is a of the 2200–2290 MHz band for non- important Federal operations in these
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bands will be protected when for future architectures that require 21. All industry commenters who introducing a new licensing regime to additional transmitters. However, addressed this issue opposed the accommodate existing and future non- XCOR, which does support adding an restriction to Federal launch ranges. The Federal launch activities. Until service allocation to 2200–2290 MHz, strongly New Mexico Spaceport Authority is rules for these bands are adopted, the encourages use of the 2360–2395 MHz concerned that this restriction may Commission will continue to accept and band for commercial launch prevent access to spectrum for launches process STA applications to approve requirements because it would be able at FAA-licensed commercial launch and authorize commercial space launch to use the same antenna for the nearby sites and argues that limiting use of this activities. A separate STA will continue 2312.5 and 2352.5 MHz frequencies that band to Federal ranges would be to be required for each launch and the it has been examining for telemetry use. inconsistent with the National Space Commission will coordinate these STAs In the FNPRM, the Commission seeks Policy. SpaceX claims to be pursuing a with NTIA prior to each launch. comment on the technology launch site that is not in a Federal 18. Use of spectrum other than 2200– development for the 2360–2395 MHz range. The New Mexico Spaceport 2290 MHz for launch telemetry. The band. Authority and SpaceX suggest NPRM pointed out that three 19. The Commission concludes based permitting use of the spectrum at both frequencies in the 2360–2395 MHz band on the record that other bands are not Federal ranges and FAA-licensed are ‘‘available for both Federal and non- suitable alternatives to the 2200–2290 launch sites. Blue Origin would not be Federal use for telemetry and MHz band for telemetry to support able to operate its New Shepard launch telecommand of launch and reentry space launch operations. No vehicle in its current configuration with vehicles.’’ The NPRM sought comment commenters supported use of 2360– the Federal range limitation, because it on the use of these and other 2395 MHz as a replacement for the launches from a private site in West frequencies as an alternative to the 2200–2290 MHz band. The increasing Texas that is not an FAA-licensed 2200–2290 MHz band for use of the 2200–2290 MHz band for launch site and is not co-located with a communications during launches. The space launch telemetry justifies the Federal range. NTIA has requested that non-Federal use of the 2200–2290 MHz NPRM also noted that the 2360–2395 allocation the Commission is adopting. band be limited to use during space MHz band is primarily used for Allowing access to the 2200–2290 MHz launches and pre-launch testing at aeronautical telemetry and band for commercial space launches Federal ranges and FAA-licensed telecommand operations for flight will allow space launch providers to benefit from the economies of scale launch sites. testing of aircraft and missiles and 22. The Commission will not restrict inherent from using the same radio sought comment on whether the current the locations where the new non- systems for both Federal agencies and and expected future use of the 2360– Federal allocation for the 2200–2290 commercial customers. Requiring 2395 MHz band for aeronautical MHz band may be used. The commercial space launches to use telemetry for flight testing make it Commission recognizes that as the another band, such as 2360–2395 MHz, unsuitable for communications commercial space industry continues to would require space launch providers to associated with launch activity. SpaceX, develop, launches will likely not be develop separate communications the Aerospace Industries Association, limited to Federal ranges, and, systems for use depending on whether Boeing, the New Mexico Spaceport consequently, the Commission does not Authority, and the Commercial the space launch operation they are believe it would be in the public interest Spaceflight Federation assert that the conducting is considered a Federal or to limit future non-Federal space launch 2360–2395 MHz band is not an non-Federal launch. Such an approach operations to Federal ranges. The appropriate alternative for telemetry would impose considerable burden on Commission also will not adopt the because of the additional cost of the nascent commercial space launch alternative suggested by NTIA and some supporting different frequency bands industry, undermining the United commenters that the Commission limit depending on whether a launch is States’ leadership on space-based use of this non-Federal allocation to Federal or non-Federal. Orbital ATK services. FAA-licensed launch sites. As the FAA claims that using this band would 20. No Restriction to use at Federal does not require that all launches be require the Federal launch ranges to Ranges. The NPRM proposed restricting conducted at locations where it has modify their equipment and would the non-Federal Space Operation issued a launch site license, restricting require Orbital ATK to replace radios allocation for the 2200–2290 MHz band use of the allocation to launches at costing millions of dollars. The to use at Federal ranges. Federal ranges FAA-licensed launch sites would Aerospace and Flight Test Radio are designated areas over which rocket prevent some launch providers from Coordinating Council (AFTRCC) and missile launches occur. These obtaining a license for this spectrum questions whether there is a demand for ranges are typically located over band. Regardless of where a launch the frequencies in the 2360–2395 MHz sparsely populated areas or over the occurs, the Commission will require band for launch telemetry, and it notes ocean, and they have a designated coordination with NTIA. However, that the spectrum requirements for flight launch site and associated radar because of the expense involved in test in the band have changed tracking facilities. This proposal would constructing a launch site and the need dramatically since frequencies in the limit use of the allocation to Federal to conduct launches at remote locations band were made available for space launch ranges, such as the eastern range, because of safety concerns, the launch telemetry. The Commercial which extends eastward over the Commission expects the number of Spaceflight Federation supports keeping Atlantic Ocean from Cape Canaveral. locations where launches will occur to the 2360–2395 MHz band available for The NPRM stated that this restriction remain small. Consequently, our space launch telemetry as an alternative would limit the potential for decision should not significantly to 2200–2290 MHz, rather than as a interference to Federal operations to a increase the burden on NTIA and replacement. Blue Origin views use of few locations, and it asked whether this Federal agency coordinators. the 2360–2395 MHz band as an addition restriction would unduly limit the 23. 420–430 MHz and 5650–5925 MHz to the 2200–2290 MHz band and states growth of the commercial space launch Bands. The NPRM also proposed new that it would evaluate use of the band industry. non-Federal allocations for the 420–430
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MHz and 5650–5925 MHz bands. United States’’ from the Commission’s 29. Paperwork Reduction Act However, in recent ex parte jurisdiction. If radio equipment used Analysis. This Report and Order does submissions, several commercial space during a launch both belongs to and is not contain new or modified launch providers have indicated that operated by the United States information collection requirements they do not use either of these bands for Government, no Commission license is subject to the Paperwork Reduction Act their operations. The Commission has necessary. Otherwise, a Commission of 1995 (PRA), Public Law 104–13. In never granted an STA for the 420–430 license is required. While launches that addition, therefore, it does not contain MHz band for space launches. In the require FAA licensing might be any new or modified information past several years only one operator has expected to involve operation of non- collection burden for small business obtained STAs for a small number of Federal stations and require a concerns with fewer than 25 employees, launches for the 5650–5925 MHz band. Commission license, our jurisdiction is pursuant to the Small Business Given the limited current use of these defined in the Communications Act. Paperwork Relief Act of 2002, Public bands during space launches, the The key determination under the Law 107–198, see 44 U.S.C. 3506(c)(4). Commission is not convinced that there Communications Act is whether the 30. The Commission has determined, is need for new allocations for either radio equipment at issue belongs to and and the Administrator of the Office of band. Instead, the Commission seeks is operated by the United States Information and Regulatory Affairs, further comment on these proposed Government. Consistent with the Office of Management and Budget, allocations in the accompanying Communications Act, all radio concurs that this rule is non-major FNPRM to determine the current need equipment supporting space launches under the Congressional Review Act, 5 for these allocations. require a Commission license or U.S.C. 804(2). The Commission will 24. Non-Federal Launch Definition. authorization prior to transmitting, send a copy of this Report & Order to The NPRM recognized that there can be unless such equipment ‘‘belong[s] to Congress and the Government confusion when trying to determine and [is] operated by the United States Accountability Office pursuant to 5 whether launch activity spectrum access [Government].’’ U.S.C. 801(a)(1)(A). requires authorization from NTIA or a 27. Orbital Debris Mitigation. Two 31. Accordingly, it is ordered that, license from the Commission. Under the commenters addressed the issue of pursuant to sections 1, 2, 4(i), 5(c), 301, Communications Act, the Commission orbital debris mitigation. XCOR 303(c), 303(f), and 303(r) of the has authority to issue licenses for radio maintains that orbital debris mitigation Communications Act of 1934, as stations except those ‘‘belonging to and associated with launch and reentry amended, 47 U.S.C. 151, 152, 154(i), operated by the United States.’’ The operations is the responsibility of the 155(c), 301, 303(c), 303(f), and 303(r), NPRM sought comment on how to Secretary of Transportation, and that and section 1.411 of the Commission’s determine whether a given launch is this responsibility has been delegated to rules, 47 CFR 1.411, this Report and non-Federal or Federal for licensing the FAA. SpaceX also encourages the Order and Further Notice of Proposed purposes. It asked whether factors such Commission to defer to the FAA Rulemaking is hereby adopted. as the nature of the payload, the regarding orbital debris matters for 32. It is further ordered that the location of the launch, the provider of commercial space transportation amendments of Part 2 of the the launch vehicle, and FAA activities when it develops service rules Commission’s rules, as set forth in classification of the launch as following this rulemaking. In light of the Appendix A, are adopted, effective commercial should be considered in Commission’s ongoing proceeding thirty (30) days after publication in the making this determination. Federal Register. 25. All commenters addressing this regarding orbital debris, the 33. It is further ordered that the issue urge the Commission to consider Commission will not address orbital Commission’s Consumer and all launches licensed by the FAA to be debris mitigation in this proceeding, but Governmental Affairs Bureau, Reference non-Federal. SpaceX claims that none of any rules adopted in that context may Information Center, shall send a copy of the factors listed in the NPRM are be applicable to space launch this Report and Order and Further conclusive and that relying on FAA operations. Notice of Proposed Rulemaking, licensing provides the most predictable 28. Regulatory Flexibility Analysis. including the Final and Initial standard. Boeing and the Satellite The Regulatory Flexibility Act of 1980, Regulatory Flexibility Analyses, to the Industry Association both point out the as amended (RFA) requires that an Chief Counsel for Advocacy of the Small similarity between language in the NTIA agency prepare a regulatory flexibility Manual of Regulations and Procedures analysis for notice and comment Business Administration. for Federal Radio Frequency rulemakings, unless the agency certifies 34. It is further ordered that the Management (NTIA Manual or that ‘‘the rule will not, if promulgated, Commission shall send a copy of this Redbook), focusing on who has have a significant economic impact on Report and Order in a report to be sent ‘‘effective control’’ of the radio a substantial number of small entities.’’ to Congress and the Government equipment, and the Commercial Space As required by the Regulatory Accountability Office pursuant to the Launch Act’s definition of a commercial Flexibility Act of 1980, as amended Congressional Review Act, see 5 U.S.C. launch provider, which focuses on who (RFA), an Initial Regulatory Flexibility 801(a)(1)(A). has ‘‘primary control’’ of the launch. Analysis (IRFA) was incorporated in the List of Subjects in 47 CFR Parts 2 The Aerospace Industries Association Notice of Proposed Rulemaking (NPRM) Communications equipment, Radio, goes further by suggesting that the released in May 2013. The Commission Telecommunications. Commission not require any additional sought written public comment on the licensing for launches not licensed by proposals in the NPRM, including Federal Communications Commission. the FAA. comments on the IRFA. No comments Marlene Dortch, 26. A threshold issue for deciding were filed addressing the IRFA. A Final Secretary. whether a Commission license is Regulatory Flexibility Analysis (FRFA) required is the Communications Act’s that conforms to the RFA was prepared Final Rules provision excluding radio stations and included in Appendix B of the For the reasons discussed in the ‘‘belonging to and operated by the Report and Order. preamble, the Federal Communications
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Commission amends 47 CFR part 2 as Authority: 47 U.S.C. 154, 302a, 303, and The revision and addition read as follows: 336, unless otherwise noted. follows: ■ PART 2—FREQUENCY ALLOCATIONS 2. Amend § 2.106, the Table of § 2.106 Table of Frequency Allocations. Frequency Allocations, as follows: AND RADIO TREATY MATTERS; * * * * * GENERAL RULES AND REGULATIONS ■ a. Revise page 37. ■ b. In the list of United States (US) BILLING CODE 6712–01–P ■ 1. The authority citation for part 2 Footnotes, add footnote US96 in continues to read as follows: numerical order.
VerDate Sep<11>2014 15:59 Jun 25, 2021 Jkt 253001 PO 00000 Frm 00056 Fmt 4700 Sfmt 4700 E:\FR\FM\28JNR1.SGM 28JNR1 khammond on DSKJM1Z7X2PROD with RULES Federal Register / Vol. 86, No. 121 / Monday, June 28, 2021 / Rules and Regulations 33909 37 /27) (27) (25) (27) - (101) Page (97) (97) (22) Part(s) Radio Radio Mobile Microwave Rule Communications Communications Communications Communications Satellite Public FCC Fixed Wireless Wireless Wireless Amateur Amateur mobile space) (space-to-Earth) (deep aeronautical Table except RESEARCH US303 Table (space-to-Earth) MOBILE FIXED 2300-2305 SPACE NG41 Non-Federal MOBILE US252 MOBILE MOBILE-SATELLITE US96 MOBILE RADIOLOCATION US97 FIXED FIXED FIXED Amateur 2110-2120 2290-2300 2200-2290 2180-2200 2120-2180 2305-2310 Amateur States 5.391 United mobile excluding space) including aircraft) but (space-to-Earth) only (space-to-Earth) (deep only} US96 (space-to-space) manned aeronautical telemetry, of (line-of-sight except (UHF) Table OPERATION RESEARCH RESEARCH EXPLORATION-SATELLITE (line-of-sight testing G122 US303 MHz aeronautical (space-to-Earth) (space-to-space) (space-to-Earth} (space-to-space) flight US252 EARTH MOBILE MOBILE US97 Federal FIXED FIXED 2110-2120 2290-2300 2300-2305 2200-2290 2120-2200 2305-2310 5.392 SPACE SPACE SPACE G122 2110-2483.5 5.388B 5.388A Table 3 MOBILE FIXED 2120-2170 Region 5.388 Table (space-to-Earth) (space-to-space) 5.388B (space-to-Earth) 5.389E International 5.388A 5.384A Table 2 5.389C ion 5.351A (space-to-space) (space-to-space) (space-to-Earth) Reg MOBILE Mobile-satellite MOBILE MOBILE-SATELLITE MOBILE RADIOLOCATION FIXED FIXED FIXED 2120-2160 2300-2450 2160-2170 5.388 5.388 Amateur (Earth-to-space) (space-to-Earth) mobile space) space) (space-to-Earth} (space-to-Earth) (space-to-Earth} (deep (deep ON-SATELLITE Allocations Tl 5.388B 5.388B aeronautical 5.389F 5.391 5.388A 5.388A 5.384A Table except Frequency RESEARCH EXPLORA OPERATION RESEARCH RESEARCH 1 5.389A of location SPACE SPACE EARTH MOBILE FIXED 2200-2290 SPACE SPACE Region MOBILE MOBILE MOBILE MOBILE-SATELLITE MOBILE MOBILE Radio FIXED FIXED FIXED FIXED FIXED Amateur Table 2110-2120 2120-2170 2170-2200 2290-2300 2300-2450 5.388 5.388 5.388 5.392
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* * * * * Procedure Act matters relating to The Department has reviewed the contracts, the Department published regulation to ensure its consistency with United States (US) Footnotes this rulemaking as an interim final rule, the regulatory philosophy and * * * * * and provided 60 days for public principles set forth in the Executive US96 The band 2200–2290 MHz is comment. Orders and finds that the benefits of this allocated to the space operation service Regulatory Flexibility Act rule outweigh any costs, which the (space-to-Earth) on a secondary basis for Department assesses to be minimal. This non-Federal use subject to the following This rulemaking is not a ‘‘rule’’ as interim final rule is not subject to the conditions. Non-Federal stations shall defined by the Regulatory Flexibility requirements of Executive Order 13771 be: Act (5 U.S.C. 601 et seq.); therefore, that because this final rule has been (a) Restricted to transmissions from Act does not apply to it. However, the the launch vehicle in the sub-bands Department of State has reviewed this determined to be non-significant within 2208.5–2213.5 MHz, 2212.5–2217.5 regulation and, by approving it, certifies the meaning of the Executive Order MHz, 2270–2275 MHz, and 2285–2290 that it will not have a significant 12866. MHz (necessary bandwidth shall be economic impact on a substantial Executive Order 13132 contained within these ranges); number of small entities. This (b) Restricted to use for pre-launch determination was based on the fact that This rule will not have substantial testing and space launch operations, few of the DOS overseas construction direct effects on the States, on the except as provided under US303; and contracts are performed by small relationship between the national (c) Subject to coordination with NTIA business concerns. In FY 2015, only 19 government and the States, or on the prior to each launch. of the 161 DOS overseas construction distribution of power and * * * * * contractors to which this would apply responsibilities among the various [FR Doc. 2021–13685 Filed 6–25–21; 8:45 am] were small business concerns. levels of government. Therefore, in BILLING CODE 6712–01–C Unfunded Mandates Act of 1995 accordance with section 6 of Executive This final rule will not result in the Order 13132, it is determined that this expenditure by State, local, and tribal rule does not have sufficient federalism DEPARTMENT OF STATE governments, in the aggregate, or by the implications to require consultations or warrant the preparation of a federalism 48 CFR Parts 636, 637, and 652 private sector, of $100 million or more in any year and it will not significantly summary impact statement. [Public Notice: 10531] or uniquely affect small governments. Executive Order 13175 Therefore, no actions were deemed RIN 1400–AE04 necessary under the provisions of the The Department has determined that Department of State Acquisition Unfunded Mandates Act of 1995. this rulemaking will not have tribal Regulation; Safety Requirements Small Business Regulatory Enforcement implications, will not impose substantial direct compliance costs on AGENCY: Department of State. Fairness Act of 1996 Indian tribal governments, and will not This rule is not a major rule as ACTION: Final rule. pre-empt tribal law. Accordingly, the defined by the Small Business SUMMARY: The Department of State Regulatory Enforcement Act of 1996 (5 requirements of Executive Order 13175 (DOS) is adopting as final an interim U.S.C. 801 et seq.). This rule will not do not apply to this rulemaking. rule amending the Department of State result in an annual effect on the Paperwork Reduction Act Acquisition Regulation (DOSAR) to economy of $100 million or more; a provide new guidance prescribing more major increase in costs or prices; or This final rule does not impose or stringent safety requirements for certain significant adverse effects on modify any information collections overseas construction and services competition, employment, investment, under the Paperwork Reduction Act of projects. productivity, innovation, or on the 1995 (44 U.S.C. Chapter 35). The DATES: This final rule is effective on ability of United States-based information collection related to this June 28, 2021. companies to compete with foreign- rulemaking has been assigned OMB FOR FURTHER INFORMATION CONTACT: Ms. based companies in domestic and Control Number 1405–0050. import markets. Tandra Jones, Office of the Procurement List of Subjects in 48 CFR Parts 636, Executive, A/OPE, 1735 North Lynn Executive Orders 12866, 13563 and 637 and 652 Street, Room 442, Arlington VA 22209. 13771 Telephone 703–875–6643. Executive Orders (E.O.) 12866 and Government procurement. SUPPLEMENTARY INFORMATION: The 13563 direct agencies to assess costs and ■ Accordingly, the interim rule Department of State published an benefits of available regulatory amending 48 CFR parts 636, 637 and Interim Rule, Public Notice 9703, at 82 alternatives and, if regulation is FR 58351, on December 12, 2017, with necessary, to select regulatory 652 that was published at 82 FR 58351, a request for comments. The comment approaches that maximize net benefits on December 12, 2017, is adopted as a period closed February 12, 2018. No (including potential economic, final rule without change. comments on the rule were received. environmental, public health and safety Zachary A. Parker, effects, distributive impacts and equity). Regulatory Findings Director, U.S. Department of State. E.O. 13563 emphasizes the importance Administrative Procedure Act of quantifying both costs and benefits, of [FR Doc. 2021–13739 Filed 6–25–21; 8:45 am] In accordance with 5 U.S.C. 553(a)(2), reducing costs, of harmonizing rules, BILLING CODE 4710–24–P which exempts from the Administrative and of promoting flexibility.
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DEPARTMENT OF COMMERCE purposes. The commercial quota for unnecessary and contrary to the public Gulf king mackerel in the northern zone interest. Such procedures are National Oceanic and Atmospheric is 493,200 lb (223,712 kg) for the current unnecessary because the rule Administration fishing year, October 1, 2020, through implementing the commercial quota and September 30, 2021 (50 CFR the associated AM has already been 50 CFR Part 622 622.384(b)(1)(ii)). subject to notice and public comment, The northern zone for Gulf king [Docket No. 160426363–7275–02; RTID and all that remains is to notify the 0648–XB189] mackerel is located in the EEZ between public of the closure. Such procedures a line at 87°31.6′ W longitude, which is are also contrary to the public interest Coastal Migratory Pelagic Resources a line extending due south of the state because of the need to immediately of the Gulf of Mexico and Atlantic boundary of Alabama and Florida, and implement the closure to protect the Region; 2020–2021 Commercial a line at 26°19.48′ N latitude, which is Gulf king mackerel stock. The capacity Closure for King Mackerel in the Gulf a line extending due west from the of the fishing fleet allows for rapid of Mexico Northern Zone boundary of Lee and Collier Counties in harvest of the commercial quota and the southwest Florida 50 CFR quota has already been met. Prior notice AGENCY: National Marine Fisheries 622.369(a)(1)(ii). and opportunity for public comment Service (NMFS), National Oceanic and Regulations at 50 CFR 622.388(a)(1)(i) would require time and could result in Atmospheric Administration (NOAA), require NMFS to close the commercial additional harvest. Commerce. sector for Gulf king mackerel in the For the aforementioned reasons, there ACTION: Temporary rule; closure. northern zone when the commercial is good cause to waive the 30-day delay quota is reached, or is projected to be in the effectiveness of this action under SUMMARY: NMFS implements an reached, by filing a notification to that 5 U.S.C. 553(d)(3). accountability measure (AM) for effect with the Office of the Federal commercial king mackerel in the Register. NMFS has determined the Authority: 16 U.S.C. 1801 et seq. northern zone of the Gulf of Mexico commercial quota for Gulf king Dated: June 23, 2021. (Gulf) exclusive economic zone (EEZ). mackerel in the northern zone has been Jennifer M. Wallace, NMFS projects that the commercial reached. Accordingly, NMFS closes the Acting Director, Office of Sustainable quota for king mackerel in the northern northern zone to commercial fishing for Fisheries, National Marine Fisheries Service. zone of the Gulf EEZ has been reached. Gulf king mackerel effective from 12:01 [FR Doc. 2021–13761 Filed 6–25–21; 8:45 am] Therefore, NMFS closes the northern a.m., local time, on June 28, 2021, 2021, BILLING CODE 3510–22–P zone of the Gulf EEZ to commercial king through September 30, 2021, the end of mackerel fishing on June 28, 2021. This the current fishing year. closure is necessary to protect the Gulf During the closure, a person on board DEPARTMENT OF COMMERCE king mackerel resource. a vessel that has been issued a valid DATES: The closure is effective at 12:01 Federal commercial or charter vessel/ National Oceanic and Atmospheric a.m., local time, June 28, 2021, until headboat permit for coastal migratory Administration October 1, 2021. pelagic fish may continue to retain the king mackerel in the northern zone 50 CFR Part 622 FOR FURTHER INFORMATION CONTACT: Kelli O’Donnell, NMFS Southeast under the recreational bag and [Docket No. 140722613–4908–02; RTID Regional Office, telephone: 727–824– possession limits specified in 50 CFR 0648–XB185] 5305, email: [email protected]. 622.382(a)(1)(ii) and (a)(2), as long as the recreational sector for Gulf king Coastal Migratory Pelagic Resources SUPPLEMENTARY INFORMATION: The mackerel in the northern zone is open of the Gulf of Mexico and Atlantic fishery for coastal migratory pelagic fish (50 CFR 622.384(e)(1)). Region; Commercial Closure for in the Gulf includes king mackerel, Also during the closure, Gulf king Atlantic Spanish Mackerel in the Spanish mackerel, and cobia in the Gulf mackerel from the closed zone, Northern Zone and on the east coast of Florida, and is including those harvested under the bag managed under the Fishery and possession limits, may not be AGENCY: National Marine Fisheries Management Plan for the Coastal purchased or sold. This prohibition Service (NMFS), National Oceanic and Migratory Pelagic Resources of the Gulf does not apply to king mackerel from Atmospheric Administration (NOAA), of Mexico and Atlantic Region (FMP). the closed zone that were harvested, Commerce. The FMP was prepared by the Gulf of landed ashore, and sold prior to the ACTION: Temporary rule; closure. Mexico and South Atlantic Fishery closure and were held in cold storage by SUMMARY: Management Councils. The FMP is a dealer or processor (50 CFR NMFS implements an implemented by NMFS under the 622.384(e)(2)). accountability measure (AM) for authority of the Magnuson-Stevens commercial Spanish mackerel in the Fishery Conservation and Management Classification northern zone of the Atlantic exclusive Act (Magnuson-Stevens Act) by NMFS issues this action pursuant to economic zone (EEZ). NMFS projects regulations at 50 CFR part 622. All section 305(d) of the Magnuson-Stevens that the commercial quota for Spanish weights described for king mackerel in Act. This action is required by 50 CFR mackerel in the northern zone of the the Gulf EEZ apply as either round or 622.384(e) and 622.388(a)(1)(i), which Atlantic EEZ will be reached by June 28, gutted weight. were issued pursuant to section 304(b) 2021. Therefore, NMFS closes the The commercial annual catch limit of the Magnuson-Stevens Act, and is northern zone in the Atlantic EEZ to (equal to the commercial quota) for the exempt from review under Executive commercial harvest of Spanish mackerel Gulf migratory group of king mackerel Order 12866. on June 28, 2021. This closure is (Gulf king mackerel) is 2.74 million lb Pursuant to 5 U.S.C. 553(b)(B), there necessary to protect the Spanish (1.24 million kg). Commercial fishing is good cause to waive prior notice and mackerel resource in the Atlantic. for Gulf king mackerel is divided into an opportunity for public comment on DATES: This temporary rule is effective multiple zones for management this action, as notice and comment are at 12:01 a.m., eastern time, on June 28,
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2021, until 12:01 a.m., eastern time, on boundary of the EEZ. The southern closure and were held in cold storage by March 1, 2022. boundary of the northern zone extends a dealer or processor (50 CFR FOR FURTHER INFORMATION CONTACT: from the North Carolina and South 622.384(e)(2)). Carolina state border along a line in a Mary Vara, NMFS Southeast Regional Classification Office, telephone: 727–824–5305, or direction of 135°34′55″ from true north email: [email protected]. beginning at 33°51′07.9″ N latitude– NMFS issues this action pursuant to ° ′ ″ SUPPLEMENTARY INFORMATION: The 78 32 32.6 W longitude to the section 305(d) of the Magnuson-Stevens fishery for coastal migratory pelagic fish intersection point with the outward Act. This action is required by 50 CFR in the Atlantic includes king mackerel, boundary of the EEZ (50 CFR 622.8(b), 622.384(e)(2), and Spanish mackerel, and cobia on the east 622.369(b)(2)). See Figure 2 of appendix 622.388(d)(1)(i), which were issued coast of Florida, and is managed under G to part 622—Spanish Mackerel for an pursuant to section 304(b) of the the Fishery Management Plan for illustration of the management zones. Magnuson-Stevens Act, and is exempt Coastal Migratory Pelagic Resources of Regulations at 50 CFR 622.388(d)(1)(i) from review under Executive Order the Gulf of Mexico and Atlantic Region require NMFS to close the commercial 12866. (FMP). The FMP was prepared by the sector for Atlantic Spanish mackerel in Pursuant to 5 U.S.C. 553(b)(B), there Gulf of Mexico and South Atlantic the northern zone when the commercial is good cause to waive prior notice and Fishery Management Councils. The quota for that zone is reached, or is an opportunity for public comment on FMP is implemented by NMFS under projected to be reached, by filing such this action, as notice and comment are the authority of the Magnuson-Stevens a notification with the Office of the unnecessary and contrary to the public Fishery Conservation and Management Federal Register. NMFS projects that the interest. Such procedures are Act (Magnuson-Stevens Act) by commercial quota of 662,670 lb (300,582 unnecessary because the rule regulations at 50 CFR part 622. All kg) for Atlantic Spanish mackerel in the implementing the commercial quota and weights described for Spanish mackerel northern zone will be reached by June the associated AM has already been in the Atlantic EEZ apply as either 28, 2021. Accordingly, the commercial subject to notice and public comment, round or gutted weight. sector for Atlantic Spanish mackerel in and all that remains is to notify the The commercial annual catch limit the northern zone is closed effective at public of the closure. Such procedures (equal to the commercial quota) for the 12:01 a.m., eastern time, on June 28, are also contrary to the public interest Atlantic migratory group of Spanish 2021, through February 28, 2022, the because of the need to immediately mackerel (Atlantic Spanish mackerel) is end of the current fishing year. implement the closure to protect 3.33 million lb (1.51 million kg). During the commercial closure, a Atlantic Spanish mackerel, because the Atlantic Spanish mackerel are divided person on a vessel that has been issued capacity of the fishing fleet allows for into northern and southern zones for a valid Federal commercial permit to rapid harvest of the commercial quota. management purposes. The northern harvest Atlantic Spanish mackerel may Prior notice and opportunity for public zone commercial quota for Atlantic continue to retain this species in the comment would require time and could Spanish mackerel is 662,670 lb (300,582 northern zone under the recreational result in a harvest that exceeds the kg) for the current fishing year, which bag and possession limits specified in established commercial quota. is March 1, 2021, through February 28, 50 CFR 622.382(a)(1)(iii) and (a)(2), if For the aforementioned reasons, the 2022 (50 CFR 622.384(c)(2)(i)). recreational harvest of Atlantic Spanish Acting Assistant Administrator for The northern zone for Atlantic mackerel in the northern zone has not NMFS also finds good cause to waive Spanish mackerel extends in Federal been closed (50 CFR 622.384(e)(1)). the 30-day delay in the effectiveness of waters from New York through North Also during the closure, Atlantic this action under 5 U.S.C. 553(d)(3). Carolina. The northern boundary of the Spanish mackerel from the northern Authority: 16 U.S.C. 1801 et seq. northern zone extends from an zone, including those harvested under intersection point off New York, the recreational bag and possession Dated: June 23, 2021. Connecticut, and Rhode Island at limits, may not be purchased or sold. Jennifer M. Wallace, 41°18′16.249″ N latitude–71°54′28.477″ This prohibition does not apply to Acting Director, Office of Sustainable W longitude, and proceeds southeast to Atlantic Spanish mackerel from the Fisheries, National Marine Fisheries Service. 37°22′32.75″ N latitude and the northern zone that were harvested, [FR Doc. 2021–13759 Filed 6–23–21; 4:15 pm] intersection point with the outward landed ashore, and sold prior to the BILLING CODE 3510–22–P
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Proposed Rules Federal Register Vol. 86, No. 121
Monday, June 28, 2021
This section of the FEDERAL REGISTER comments will be made public on the Consultation and Coordination with contains notices to the public of the proposed internet at the address provided above. Indian Tribal Governments, which issuance of rules and regulations. The FOR FURTHER INFORMATION CONTACT: requires agencies to consider whether purpose of these notices is to give interested Steven W. Kauffman, Marketing their rulemaking actions would have persons an opportunity to participate in the tribal implications. AMS has rule making prior to the adoption of the final Specialist, or Christian D. Nissen, rules. Regional Director, Southeast Marketing determined this proposed rule is Field Office, Marketing Order and unlikely to have substantial direct Agreement Division, Specialty Crops effects on one or more Indian tribes, on DEPARTMENT OF AGRICULTURE Program, AMS, USDA; Telephone: (863) the relationship between the Federal 324–3375, Fax: (863) 291–8614, or Government and Indian tribes, or on the Agricultural Marketing Service email: [email protected] or distribution of power and [email protected]. responsibilities between the Federal 7 CFR Part 966 Small businesses may request Government and Indian tribes. information on complying with this [Doc. No. AMS–SC–21–0016; SC21–966–1 This proposed rule has been reviewed PR] regulation by contacting Richard Lower, under Executive Order 12988, Civil Marketing Order and Agreement Justice Reform. This proposed rule is Tomatoes Grown in Florida; Division, Specialty Crops Program, not intended to have retroactive effect. Reapportionment of Membership AMS, USDA, 1400 Independence The Act provides that administrative Avenue SW, STOP 0237, Washington, proceedings must be exhausted before AGENCY: Agricultural Marketing Service, DC 20250–0237; Telephone: (202) 720– parties may file suit in court. Under USDA. 2491, or email: Richard.Lower@ section 608c(15)(A) of the Act, any ACTION: Proposed rule. usda.gov. handler subject to an order may file SUPPLEMENTARY INFORMATION: This with USDA a petition stating that the SUMMARY: This proposed rule would action, pursuant to 5 U.S.C. 553, order, any provision of the order, or any adjust the number of member seats proposes an amendment to regulations obligation imposed in connection with apportioned to each district represented issued to carry out a marketing order as the order is not in accordance with law on the Florida Tomato Committee defined in 7 CFR 900.2(j). This proposed and request a modification of the order (Committee). The Department of rule is issued under Marketing or to be exempted therefrom. A handler Agriculture (USDA) is taking this action Agreement No. 125 and Order No. 966, is afforded the opportunity for a hearing based on an amendatory change to the as amended (7 CFR part 966), regulating on the petition. After the hearing, USDA marketing order for tomatoes grown in the handling of tomatoes grown in would rule on the petition. The Act Florida, which reduced the size of the Florida. Part 966 (referred to as the provides that the district court of the Committee from 12 members to 10. This ‘‘Order’’) is effective under the United States in any district in which action would reduce the member seats Agricultural Marketing Agreement Act the handler is an inhabitant, or has his in each of the two districts from six of 1937, as amended (7 U.S.C. 601–674), or her principal place of business, has members and their alternates to five hereinafter referred to as the ‘‘Act.’’ The jurisdiction to review USDA’s ruling on members and their alternates. Committee locally administers the the petition, provided an action is filed DATES: Comments must be received by Order and is comprised of producers not later than 20 days after the date of July 28, 2021. operating within the production area. the entry of the ruling. ADDRESSES: Interested persons are The Department of Agriculture This proposed rule invites comments invited to submit written comments (USDA) is issuing this proposed rule in on changes to the Committee concerning this proposal. Comments conformance with Executive Orders membership as prescribed in the Order. must be sent to the Docket Clerk, 12866 and 13563. Executive Orders USDA is taking this action as a Marketing Order and Agreement 12866 and 13563 direct agencies to conforming change following Division, Specialty Crops Program, assess all costs and benefits of available amendments to the Order published in AMS, USDA, 1400 Independence regulatory alternatives and, if regulation the Federal Register on November 16, Avenue SW, STOP 0237, Washington, is necessary, to select regulatory 2020 (85 FR 72914). The amendments, DC 20250–0237; Fax: (202) 720–8938; or approaches that maximize net benefits in part, reduced membership on the internet: http://www.regulations.gov. All (including potential economic, Committee from 12 members and their comments should reference the environmental, public health and safety alternates to 10 members and their document number and the date and effects, distributive impacts and equity). alternates. This action would reduce the page number of this issue of the Federal Executive Order 13563 emphasizes the member seats in each of the two Register and will be made available for importance of quantifying both costs districts from six members and their public inspection in the Office of the and benefits, reducing costs, alternates to five members and their Docket Clerk during regular business harmonizing rules, and promoting alternates, maintaining equitable hours, or can be viewed at: http:// flexibility. This action falls within a representation on the Committee from www.regulations.gov. All comments category of regulatory actions that the both districts. submitted in response to this proposal Office of Management and Budget Section 966.22 provides for the will be included in the record and will (OMB) exempted from Executive Order establishment of membership on the be made available to the public. Please 12866 review. Committee. The ten members and their be advised that the identity of the This proposed rule has been reviewed alternates shall be producers, or officers individuals or entities submitting the under Executive Order 13175— or employees of a corporate producer, in
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the district for which selected and a businesses subject to such actions in reporting, or recordkeeping resident of the production area. Section order that small businesses will not be requirements because of this action. 966.160 defines the two districts from unduly or disproportionately burdened. This action would reduce the which producers serve as Marketing orders issued pursuant to the apportioned members from six members representatives on the Committee. Act, and the rules issued thereunder, are and their alternates to five members and Section 966.25 provides the authority unique in that they are brought about their alternates in each of the two for the Committee to recommend, with through group action of essentially districts to reflect the recent amendatory the approval of the Secretary, small entities acting on their own action which reduced the size of the reapportionment of members among behalf. Committee. The balance of districts, and the reestablishment of There are approximately 65 producers representation on the Committee would districts within the production area. of Florida tomatoes in the production remain the same with member seats Section 966.161 apportions Committee area and 41 handlers subject to divided evenly between the two membership among the two districts regulation under the Order. Small districts. The effects of this rule would pursuant to § 966.25. agricultural producers are defined by not be disproportionately greater or less The Committee met on November 1, the Small Business Administration for small entities than for larger entities. 2018, and February 27, 2019, to (SBA) as those having annual receipts Alternatives to reapportionment were recommend changes to the Order. These less than $1,000,000 and small discussed and considered by the recommendations included reducing the agricultural service firms are defined as Committee. However, these alternatives Committee size from 12 members to 10; those whose annual receipts are less were rejected. The Committee agreed reducing the number of districts in the than $30,000,000 (13 CFR 121.201). that given the number of producers had production area from four districts to With an estimated producer price of decreased, reducing the Committee size two, maintaining that membership on $14.00 per 25-pound container, the would make it more reflective of today’s the Committee be divided evenly number of Florida tomato producers, industry. The Committee also wanted to maintain the balance of representation between the two districts. The reduction and a normal distribution assumed, the between the two districts. With the to two districts and the reapportionment average annual producer revenue is amendatory change to the Order, this of Committee membership that provided above $1,000,000, ($14.00 times 22.3 action is necessary to make the equal representation of six members in million containers equals $312,200,000 regulations conform to the Order each of those newly formed districts divided by 65 producers equals were completed under a separate requirements. $4,803,077 per producer). Thus, the In accordance with the Paperwork rulemaking action published in the majority of producers of Florida Federal Register on September 26, 2019 Reduction Act of 1995 (44 U.S.C. tomatoes may be classified as large Chapter 35), the Order’s information (84 FR 50711). entities. During the Committee’s discussion of collection requirements have been the amendments and the reduction in According to industry and Committee previously approved by OMB and Committee size, members indicated they data, the average annual price for fresh assigned OMB No. 0581–0178, wanted to maintain the equity in Florida tomatoes during the 2019–20 Vegetable and Specialty Crops. No membership between the two districts. season was approximately $19.07 per changes in those requirements would be With the reduction in the Committee 25-pound container, and total fresh necessary because of this proposed rule. size from 12 members and their shipments were 22.3 million containers. Should any changes become necessary, alternates to 10 members and their Using the average price and shipment they would be submitted to OMB for alternates, this rule would make a information, the number of handlers, approval. conforming change to the Committee and a normal distribution assumed, the This proposed rule would not impose membership as apportioned in majority of handlers have average any additional reporting or § 966.161. This action would reduce the annual receipts of less than $30,000,000, recordkeeping requirements on either seats in each district from six members ($19.07 times 22.3 million containers small or large Florida tomato handlers. and their alternates to five members and equals $425,261,000 divided by 41 As with all Federal marketing order their alternates. This would maintain handlers equals $10,372,220 per programs, reports and forms are the equitable representation on the handler). Thus, the majority of handlers periodically reviewed to reduce Committee and bring the number of of Florida tomatoes may be classified as information requirements and apportioned seats in line with the small entities. duplication by industry and public reduced number of members authorized This proposed rule would adjust the sector agencies. in the Order. number of member seats apportioned on The Committee’s meetings are widely Accordingly, each district would the Committee. USDA is taking this publicized throughout the Florida nominate five members and five action based on an amendatory change tomato industry, and all interested alternates for a total of 10 members and to the Order, which reduced the size of persons are invited to attend the 10 alternate nominees to serve on the the Committee from 12 members to 10. meetings and participate in Committee Committee. This action would reduce the member deliberations on all issues. Like all seats in each of the two districts from Committee meetings, the November 1, Initial Regulatory Flexibility Analysis six members and their alternates to five 2018, and February 27, 2019, meetings Pursuant to requirements set forth in members and their alternates. This were open to the public, and all entities, the Regulatory Flexibility Act (RFA) (5 change would revise § 966.161 pursuant both large and small, were able to U.S.C. 601–612), the Agricultural to the authority in § 966.25. express their views on this issue. Marketing Service (AMS) has It is not anticipated that this action Finally, interested persons are invited to considered the economic impact of this would impose any additional costs on submit comments on this proposed rule, proposed rule on small entities. the industry. This change is a including the regulatory and Accordingly, AMS has prepared this conforming change and would not information collection impacts of this initial regulatory flexibility analysis. establish any new regulatory action on small businesses. The purpose of the RFA is to fit requirements on handlers. There would AMS is committed to complying with regulatory actions to the scale of be no change in financial costs, the E-Government Act, to promote the
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use of the internet and other DEPARTMENT OF TRANSPORTATION adding an AD that would apply to information technologies to provide certain Pacific Aerospace Limited increased opportunities for citizen Federal Aviation Administration Model 750XL airplanes. The NPRM was access to Government information and published in the Federal Register on services, and for other purposes. 14 CFR Part 39 June 18, 2018 (83 FR 28171), and proposed to supersede AD 2015–23–03, USDA has not identified any relevant [Docket No. FAA–2018–0422; Product Amendment 39–18319 (80 FR 69569, Federal rules that duplicate, overlap or Identifier 2018–CE–015–AD] November 10, 2015) (AD 2015–23–03). conflict with this proposed rule. RIN 2120–AA64 AD 2015–23–03 requires reducing the A small business guide on complying Airworthiness Directives; Pacific torque setting for the fin forward pickup with fruit, vegetable, and specialty crop Aerospace Limited Airplanes bolt, inspecting the fin forward pickup marketing agreements and orders may plates for cracks, and replacing the fin be viewed at: http://www.ams.usda.gov/ AGENCY: Federal Aviation forward pickup plates. The NPRM was rules-regulations/moa/small-businesses. Administration (FAA), DOT. based on MCAI originated by the Civil Any questions about the compliance ACTION: Proposed rule; withdrawal. Aviation Authority (CAA) of New guide should be sent to Richard Lower Zealand. The MCAI states: SUMMARY: The FAA is withdrawing a at the previously mentioned address in This [CAA] AD revised to introduce Pacific the FOR FURTHER INFORMATION CONTACT notice of proposed rulemaking (NPRM) Aerospace Limited Mandatory Service section. that proposed to supersede Bulletin (MSB) PACSB/XL/068 issue 6, dated airworthiness directive (AD) AD 2015– A 30-day comment period is provided 8 January 2018. The changes to the SB are 23–03 for Pacific Aerospace Limited limited to minor editorial changes, and the to allow interested persons to respond Model 750XL airplanes. The NPRM was addition of alternate P/N [part number] hi-lok to this proposal. All written comments prompted by mandatory continuing fasteners due to limited availability of the timely received will be considered airworthiness information (MCAI) original P/N. There are no changes to the AD before a final determination is made on issued by an aviation authority of applicability or the requirements. this matter. another country to identify and correct Actions Since the NPRM Was Issued an unsafe condition on an aviation List of Subjects in 7 CFR Part 966 product. The MCAI describes the unsafe After issuance of the NPRM, the FAA Marketing agreements, Reporting and condition as fatigue cracks on the fin has determined that the actions required recordkeeping requirements, Tomatoes. forward pickup plates. Since issuance of by AD 2015–23–03 address the unsafe the NPRM, the FAA has determined that condition. The new service information For the reasons set forth in the the actions required by AD 2015–23–03 is unchanged except for editorial preamble, 7 CFR part 966 is proposed to address the unsafe condition. changes and the addition of alternate hi- be amended as follows: Accordingly, the NPRM is withdrawn. lok fasteners. AD 2015–23–03 only DATES: As of June 28, 2021, the requires the procedures in the service PART 966—TOMATOES GROWN IN proposed rule, which published in the information that was incorporated by FLORIDA Federal Register on June 18, 2018 (83 reference and not the materials. Thus, FR 28171), is withdrawn. operators may use the new hi-lok ■ 1. The authority citation for 7 CFR ADDRESSES: fasteners to comply with AD 2015–23– part 966 continues to read as follows: 03 without an alternative method of Examining the AD Docket Authority: 7 U.S.C. 601–674. compliance. Based on the above You may examine the AD docket at information, the FAA has determined ■ 2. Revise § 966.161 to read as follows: https://www.regulations.gov by that AD action is not warranted and the searching for and locating Docket No. proposal should be withdrawn. § 966.161 Reapportionment of committee FAA–2018–0422; or in person at Docket membership. Withdrawal of the NPRM constitutes Operations between 9 a.m. and 5 p.m., only such action and does not preclude Pursuant to § 966.25, industry Monday through Friday, except Federal the FAA from further rulemaking on membership on the Florida Tomato holidays. The AD docket contains this this issue, nor does it commit the FAA Committee shall be reapportioned as AD action, any comments received, and to any course of action in the future. follows: other information. The street address for Regulatory Findings (a) District 1—five members and their Docket Operations is U.S. Department of Transportation, Docket Operations, M– alternates. Since this action only withdraws an 30, West Building Ground Floor, Room NPRM, it is neither a proposed AD nor (b) District 2—five members and their W12–140, 1200 New Jersey Avenue SE, a final rule. This action, therefore, is not alternates. Washington, DC 20590. covered under Executive Order 12866 or Erin Morris, FOR FURTHER INFORMATION CONTACT: the Regulatory Flexibility Act. Mike Kiesov, Aviation Safety Engineer, Associate Administrator, Agricultural List of Subjects in 14 CFR Part 39 Marketing Service. FAA, General Aviation & Rotorcraft Section, International Validation [FR Doc. 2021–13705 Filed 6–25–21; 8:45 am] Branch, 901 Locust, Room 301, Kansas Air transportation, Aircraft, Aviation BILLING CODE P City, MO 64106; phone: (816) 329–4144; safety, Incorporation by reference, fax: (816) 329–4090; email: Safety. [email protected]. The Withdrawal SUPPLEMENTARY INFORMATION: ■ Accordingly, the notice of proposed Background rulemaking, which published in the The FAA issued an NPRM that Federal Register on June 18, 2018 (83 proposed to amend 14 CFR part 39 by FR 28171), is withdrawn.
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Issued on June 18, 2021. Technical Support, 1959 De Havilland contain commercial or financial Lance T. Gant, Way, Sidney, British Columbia, Canada, information that is customarily treated Director, Compliance & Airworthiness V8L 5V5; phone: (North America) (800) as private, that you actually treat as Division, Aircraft Certification Service. 663–8444; fax: (250) 656–0673; email: private, and that is relevant or [FR Doc. 2021–13482 Filed 6–25–21; 8:45 am] [email protected]; responsive to this NPRM, it is important BILLING CODE 4910–13–P website: https://www.vikingair.com/ that you clearly designate the submitted support/service-bulletins. You may view comments as CBI. Please mark each this service information at the FAA, page of your submission containing CBI DEPARTMENT OF TRANSPORTATION Airworthiness Products Section, as ‘‘PROPIN.’’ The FAA will treat such Operational Safety Branch, 901 Locust, marked submissions as confidential Federal Aviation Administration Kansas City, MO 64106. For information under the FOIA, and they will not be on the availability of this material at the placed in the public docket of this 14 CFR Part 39 FAA, call (816) 329–4148. NPRM. Submissions containing CBI [Docket No. FAA–2021–0214; Project Examining the AD Docket should be sent to Aziz Ahmed, Aviation Identifier 2018–CE–064–AD] Safety Engineer, New York ACO Branch, You may examine the AD docket at FAA, 1600 Stewart Avenue, Suite 410, RIN 2120–AA64 https://www.regulations.gov by Westbury, NY 11590. Any commentary searching for and locating Docket No. that the FAA receives which is not Airworthiness Directives; Viking FAA–2021–0214; or in person at Docket Aircraft Limited Airplanes specifically designated as CBI will be Operations between 9 a.m. and 5 p.m., placed in the public docket for this AGENCY: Federal Aviation Monday through Friday, except Federal rulemaking. Administration (FAA), DOT. holidays. The AD docket contains this NPRM, any comments received, and Background ACTION: Notice of proposed rulemaking other information. The street address for (NPRM). Docket Operations is listed above. Transport Canada, which is the aviation authority for Canada, has SUMMARY: The FAA proposes to adopt a FOR FURTHER INFORMATION CONTACT: Aziz new airworthiness directive (AD) for all Ahmed, Aviation Safety Engineer, New issued AD Number CF–2017–29, dated Viking Air Limited Model DHC–3 York ACO Branch, FAA, 1600 Stewart August 24, 2017 (referred to after this as airplanes. This proposed AD was Avenue, Suite 410, Westbury, NY ‘‘the MCAI’’), to correct an unsafe prompted by mandatory continuing 11590; phone: (516) 287–7329; fax: (516) condition for Viking Air Limited Model airworthiness information (MCAI) 794–5531; email: [email protected]. DHC–3 airplanes. The MCAI states: originated by an aviation authority of SUPPLEMENTARY INFORMATION: It has been determined that the current another country to identify and correct maintenance program does not adequately Comments Invited an unsafe condition on an aviation address potential fatigue damage of the wing product. The MCAI identifies the unsafe The FAA invites you to send any strut lug fitting components or the fuselage condition as fatigue damage of the wing written relevant data, views, or to wing strut attachment (Tie Bar). Affected strut lug fitting components and the arguments about this proposal. Send parts must be replaced before specified air fuselage to wing strut attachment (tie- your comments to an address listed time limits are reached to avoid fatigue bar). This proposed AD would require under ADDRESSES. Include ‘‘Docket No. cracking of the affected parts. Cracking which determining service life limits for the FAA–2021–0214; Project Identifier is not detected may compromise the wing strut fitting on the main spar and 2018–CE–064–AD’’ at the beginning of structural integrity of the wing or the Tie-Bar. for the tie-bar and following instructions your comments. The most helpful Fatigue damage occurs more rapidly on for removal and replacement of affected comments reference a specific portion of aeroplanes that are operated at higher gross parts. The FAA is proposing this AD to the proposal, explain the reason for any weights. For that reason, the corrective address the unsafe condition on these recommended change, and include actions of this [Transport Canada] AD must products. supporting data. The FAA will consider be accomplished sooner for aeroplanes that all comments received by the closing have been certified for operation at higher DATES: The FAA must receive comments date and may amend this proposal gross weights. on this proposed AD by August 12, because of those comments. Fatigue damage also occurs more rapidly 2021. Except for Confidential Business on aeroplanes that are operated below 2000 ADDRESSES: You may send comments, Information (CBI) as described in the feet above ground level (AGL) over land due using the procedures found in 14 CFR following paragraph, and other to higher and more frequent gust and 11.43 and 11.45, by any of the following information as described in 14 CFR maneuvering loads. Low level flights over methods: 11.35, the FAA will post all comments water are not known to produce increased • Federal eRulemaking Portal: Go to received, without change, to https:// fatigue damage on the DHC–3. For that https://www.regulations.gov. Follow the www.regulations.gov, including any reason, the corrective actions of this instructions for submitting comments. personal information you provide. The [Transport Canada] AD must be • Fax: (202) 493–2251. agency will also post a report accomplished sooner for aeroplanes that have • Mail: U.S. Department of summarizing each substantive verbal been operated at low altitudes over land. Transportation, Docket Operations, M– contact received about this NPRM. 30, West Building Ground Floor, Room This condition, if not addressed, W12–140, 1200 New Jersey Avenue SE, Confidential Business Information could result in cracking and failure of Washington, DC 20590. CBI is commercial or financial the structural integrity of the wing or • Hand Delivery: Deliver to Mail information that is both customarily and the tie-bar. address above between 9 a.m. and 5 actually treated as private by its owner. You may examine the MCAI in the p.m., Monday through Friday, except Under the Freedom of Information Act AD docket at https:// Federal holidays. (FOIA) (5 U.S.C. 552), CBI is exempt www.regulations.gov by searching for For service information identified in from public disclosure. If your and locating Docket No. FAA–2020– this NPRM, contact Viking Air Limited comments responsive to this NPRM 0214.
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Related Service Information Under 1 to replace both the wing strut fitting and PART 39—AIRWORTHINESS CFR Part 51 the tie-bar. The average labor rate is $85 DIRECTIVES The FAA reviewed Viking Air per work-hour. Required parts would ■ 1. The authority citation for part 39 Limited DHC–3 Otter Service Bulletin cost about $5,599 per airplane. continues to read as follows: Number V3/0008, Revision NC, dated Based on these figures, the FAA February 9, 2017. The service estimates the cost of the proposed AD Authority: 49 U.S.C. 106(g), 40113, 44701. on U.S. operators to be $1,275,059 or information specifies determining § 39.13 [Amended] service life limits for the wing strut $31,099 per airplane. ■ 2. The FAA amends § 39.13 by adding fitting on the main spar and for the tie- Authority for This Rulemaking bar, and contains instructions for the following new airworthiness removal and replacement. De Havilland Title 49 of the United States Code directive: Aircraft of Canada has issued DHC–3 specifies the FAA’s authority to issue Viking Air Limited: Docket No. FAA–2021– Otter Service Bulletin Number 3/37, rules on aviation safety. Subtitle I, 0214; Project Identifier 2018–CE–064– Revision B, dated October 8, 1982. The section 106, describes the authority of AD. service information specifies the FAA Administrator. Subtitle VII: (a) Comments Due Date instructions for removal and Aviation Programs, describes in more The FAA must receive comments on this replacement of the Fuselage to Wing detail the scope of the Agency’s airworthiness directive (AD) by August 12, Strut Attachment Tie-Bar. This service authority. 2021. information is reasonably available The FAA is issuing this rulemaking (b) Affected ADs because the interested parties have under the authority described in None. access to it through their normal course Subtitle VII, Part A, Subpart III, Section of business or by the means identified 44701: General requirements. Under (c) Applicability ADDRESSES in . that section, Congress charges the FAA This AD applies to Viking Air Limited FAA’s Determination with promoting safe flight of civil Model DHC–3 airplanes, all serial numbers, aircraft in air commerce by prescribing certificated in any category. This product has been approved by regulations for practices, methods, and the aviation authority of another (d) Subject procedures the Administrator finds country and is approved for operation in Joint Aircraft System Component (JASC) necessary for safety in air commerce. the United States. Pursuant to our Code 5700, Wings. This regulation is within the scope of bilateral agreement with this State of that authority because it addresses an (e) Unsafe Condition Design Authority, it has notified the unsafe condition that is likely to exist or This AD was prompted by mandatory FAA of the unsafe condition described develop on products identified in this continuing airworthiness information (MCAI) in the MCAI and service information rulemaking action. originated by an aviation authority of another referenced above. The FAA is issuing country to identify and correct an unsafe this NPRM after determining the unsafe Regulatory Findings condition on an aviation product. The MCAI condition described previously is likely describes the unsafe condition as fatigue to exist or develop on other products of The FAA determined that this damage of the wing strut lug fitting the same type design. proposed AD would not have federalism components or the fuselage to wing strut implications under Executive Order attachment (tie-bar). The FAA is issuing this Proposed AD Requirements in This 13132. This proposed AD would not AD to identify and correct potential fatigue NPRM have a substantial direct effect on the damage of the wing strut lug fitting This AD requires accomplishing the States, on the relationship between the components of the fuselage to wing strut national government and the States, or attachment. The unsafe condition, if not actions specified in the service addressed, could result in cracking and information already described. on the distribution of power and responsibilities among the various failure of the structural integrity of the wing or the tie-bar. Differences Between This Proposed AD levels of government. and the MCAI For the reasons discussed above, I (f) Actions and Compliance The MCAI requires calculating the certify this proposed regulation: Unless already done, do the following compliance time by using a formula and (1) Is not a ‘‘significant regulatory actions in paragraphs (f)(1) through (3): estimating the altitudes at which an action’’ under Executive Order 12866, (1) For all airplanes: Within 3 months after the effective date of this AD, determine and airplane has operated. The MCAI also (2) Would not affect intrastate instructs operators to assume operations record the number of equivalent air time aviation in Alaska, and hours on each wing and tie-bar by doubling below 2,000 feet AGL when the the total hours time-in-service (TIS) operating altitude of the airplane is (3) Would not have a significant economic impact, positive or negative, accumulated on each part. If the total hours unknown. Because the FAA has no TIS of a tie-bar is unknown or cannot be regulatory requirement for owners or on a substantial number of small entities under the criteria of the Regulatory determined, use the total hours TIS of the operators to record or maintain the wing strut lug fitting on the main spar. operating altitude history of an aircraft, Flexibility Act. (2) For airplanes with a maximum this proposed AD would require List of Subjects in 14 CFR Part 39 certificated gross weight that has never calculating the compliance time by exceeded 8,000 pounds: Remove from service assuming all operations occurred below Air transportation, Aircraft, Aviation each left and right hand wing strut fitting and tie-bar by following the Accomplishment 2,000 feel AGL. safety, Incorporation by reference, Safety. Instructions in Viking Air Limited SB V3/ Costs of Compliance 0008, Revision NC, dated February 9, 2017, The Proposed Amendment and the Replacement section of the The FAA estimates that this AD, if Accomplishment instructions in De adopted as proposed, would affect 41 Accordingly, under the authority Havilland Aircraft of Canada DHC–3 Otter airplanes of U.S. registry. delegated to me by the Administrator, Service Bulletin Number 3/37, Revision B, The FAA also estimates that it would the FAA proposes to amend 14 CFR part dated October 8, 1982, at whichever of the take about 300 work-hours per airplane 39 as follows: following compliance time that occurs later:
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(i) Before the part accumulates 40,000 DEPARTMENT OF TRANSPORTATION Examining the AD Docket equivalent air time hours, or You may examine the AD docket at (ii) Within 12 months after the effective Federal Aviation Administration date of this AD. https://www.regulations.gov by searching for and locating Docket No. (3) For airplanes with a maximum 14 CFR Part 39 certificated gross weight that has ever FAA–2021–0513; or in person at Docket exceeded 8,000 pounds: Remove from service [Docket No. FAA–2021–0513; Project Operations between 9 a.m. and 5 p.m., each left and right hand wing strut fitting and Identifier 2018–SW–116–AD] Monday through Friday, except Federal tie-bar by following the Accomplishment RIN 2120–AA64 holidays. The AD docket contains this Instructions in Viking Air Limited SB V3/ NPRM, the Transport Canada AD, any 0008, Revision NC, dated February 9, 2017, Airworthiness Directives; Bell Textron comments received, and other and the Replacement section of the Canada Limited (Type Certificate information. The street address for Accomplishment instructions in De Docket Operations is listed above. Havilland Aircraft of Canada DHC–3 Otter Previously Held by Bell Helicopter Service Bulletin Number 3/37, Revision B, Textron Canada Limited) Helicopters FOR FURTHER INFORMATION CONTACT: dated October 8, 1982, at whichever of the Darren Gassetto, Aerospace Engineer, AGENCY: following compliance time that occurs later: Federal Aviation COS Program Management Section, (i) Before the part accumulates 32,200 Administration (FAA), DOT. FAA, Operational Safety Branch, equivalent air time hours, or ACTION: Notice of proposed rulemaking Compliance & Airworthiness Division, (ii) Within 12 months after the effective (NPRM). 1600 Stewart Avenue, Suite 410, date of this AD. Westbury, NY 11590; telephone (516) SUMMARY: The FAA proposes to adopt a 228–7323; email Darren.Gassetto@ (g) Alternative Methods of Compliance new airworthiness directive (AD) for (AMOCs) faa.gov. certain Bell Textron Canada Limited (1) The Manager, New York ACO Branch, (Bell) Model 429 helicopters. This SUPPLEMENTARY INFORMATION: FAA, has the authority to approve AMOCs proposed AD was prompted by reports Comments Invited for this AD, if requested using the procedures of tail rotor gearbox assemblies found found in 14 CFR 39.19. In accordance with loose on the gearbox support. This The FAA invites you to send any 14 CFR 39.19, send your request to your written relevant data, views, or principal inspector or local Flight Standards proposed AD would require repetitive torque checks of the tail rotor gearbox arguments about this proposal. Send District Office, as appropriate. If sending your comments to an address listed information directly to the manager of the attachment hardware, and corrective ADDRESSES ACO Branch, send it to the attention of the action if necessary. The FAA is under . Include ‘‘Docket No. person identified in paragraph (h)(1) of this proposing this AD to address the unsafe FAA–2021–0513; Project Identifier AD. condition on these products. 2018–SW–116–AD’’ at the beginning of (2) Before using any approved AMOC, your comments. The most helpful DATES: The FAA must receive comments notify your appropriate principal inspector, comments reference a specific portion of on this proposed AD by August 12, or lacking a principal inspector, the manager the proposal, explain the reason for any of the local flight standards district office/ 2021. recommended change, and include certificate holding district office. ADDRESSES: You may send comments, supporting data. The FAA will consider (h) Related Information using the procedures found in 14 CFR all comments received by the closing 11.43 and 11.45, by any of the following (1) For more information about this AD, date and may amend this proposal methods: because of those comments. contact Aziz Ahmed, Aviation Safety • Engineer, New York ACO Branch, FAA, 1600 Federal eRulemaking Portal: Go to Except for Confidential Business Stewart Avenue, Suite 410, Westbury, NY https://www.regulations.gov. Follow the Information (CBI) as described in the 11590; phone: (516) 287–7329; fax: (516) instructions for submitting comments. following paragraph, and other 794–5531; email: [email protected]. • Fax: (202) 493–2251. information as described in 14 CFR (2) Refer to Transport Canada AD Number • Mail: U.S. Department of 11.35, the FAA will post all comments CF–2017–29, dated August 24, 2017, for more Transportation, Docket Operations, M– received, without change, to https:// information. You may examine the Transport 30, West Building Ground Floor, Room www.regulations.gov, including any Canada AD in the AD docket at https:// W12–140, 1200 New Jersey Avenue SE, personal information you provide. The www.regulations.gov by searching for and Washington, DC 20590. agency will also post a report locating it in Docket No. FAA–2021–0214. • Hand Delivery: Deliver to Mail summarizing each substantive verbal (3) For service information identified in address between 9 a.m. and 5 p.m., this AD, contact Viking Air Limited contact received about this NPRM. Monday through Friday, except Federal Technical Support, 1959 De Havilland Way, Confidential Business Information Sidney, British Columbia, Canada, V8L 5V5; holidays. phone: (North America) (800) 663–8444; fax: For service information identified in CBI is commercial or financial (250) 656–0673; email: technical.support@ this NPRM, contact Bell Textron Canada information that is both customarily and vikingair.com; website: https:// Limited, 12,800 Rue de l’Avenir, actually treated as private by its owner. www.vikingair.com/support/service-bulletins. Mirabel, Quebec J7J 1R4, Canada; Under the Freedom of Information Act You may view this service information at the telephone 1–450–437–2862 or 1–800– (FOIA) (5 U.S.C. 552), CBI is exempt FAA, Airworthiness Products Section, 363–8023; fax 1–450–433–0272; email from public disclosure. If your Operational Safety Branch, 901 Locust, [email protected]; or at comments responsive to this NPRM Kansas City, MO 64106. For information on https://www.bellflight.com/support/ contain commercial or financial the availability of this material at the FAA, call (816) 329–4148. contact-support. You may view this information that is customarily treated service information at the FAA, Office as private, that you actually treat as Issued on June 21, 2021. of the Regional Counsel, Southwest private, and that is relevant or Lance T. Gant, Region, 10101 Hillwood Pkwy., Room responsive to this NPRM, it is important Director, Compliance & Airworthiness 6N–321, Fort Worth, TX 76177. For that you clearly designate the submitted Division, Aircraft Certification Service. information on the availability of this comments as CBI. Please mark each [FR Doc. 2021–13636 Filed 6–25–21; 8:45 am] material at the FAA, call (817) 222– page of your submission containing CBI BILLING CODE 4910–13–P 5110. as ‘‘PROPIN.’’ The FAA will treat such
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marked submissions as confidential this condition-loose tail rotor gearbox This service information specifies under the FOIA, and they will not be assemblies-could return even after the procedures for repetitive torque checks placed in the public docket of this corrective actions by the previous AD of the tail rotor gearbox attachment NPRM. Submissions containing CBI have been completed. This condition, if hardware. should be sent to Darren Gassetto, not addressed, could result in structural This service information is reasonably Aerospace Engineer, COS Program damage and possible loss of control of available because the interested parties Management Section, FAA, Operational the helicopter. Safety Branch, Compliance & Accordingly, Canadian AD CF–2018– have access to it through their normal Airworthiness Division, 1600 Stewart 35 requires repetitive torque checks of course of business or by the means Avenue, Suite 410, Westbury, NY the tail rotor gearbox attachment identified in the ADDRESSES section. 11590; telephone (516) 228–7323; email hardware and corrective actions if Proposed AD Requirements in This [email protected]. Any necessary. The corrective action is doing NPRM commentary that the FAA receives additional repetitive torque checks at which is not specifically designated as intervals of 10 to 25 hours air time until This proposed AD would require CBI will be placed in the public docket the torque stabilizes on all the nuts. accomplishing the actions specified in for this rulemaking. FAA’s Determination the service information already Background described, except as discussed under The helicopter has been approved by ‘‘Differences Between this Proposed AD Transport Canada Civil Aviation the aviation authority of Canada and is and the Transport Canada AD.’’ (TCCA), which is the aviation authority approved for operation in the United for Canada, has issued Canadian AD States. Pursuant to the FAA’s bilateral Differences Between This Proposed AD CF–2018–35, dated December 19, 2018 agreement with Canada, Transport and the Transport Canada AD (Canadian AD CF–2018–35), to correct Canada, its technical representative, has an unsafe condition for Bell Textron notified the FAA of the unsafe condition Where Canadian AD CF–2018–35 Canada Limited Model 429 helicopters. described in its AD. The FAA is refers to ‘‘200-hour’’ inspections and Transport Canada advises that there proposing this AD after evaluating all ‘‘10 to 25 hours air time’’ for the torque have been reports of tail rotor gearbox known relevant information and checks, for this proposed AD use ‘‘time- assemblies found loose on the gearbox determining that the unsafe condition in-service’’ instead. support. Transport Canada issued described previously is likely to exist or Costs of Compliance Emergency Canadian Airworthiness develop on other helicopters of the same Directive CF–2018–18, dated July 11, type design. The FAA estimates that this AD, if 2018, which corresponds to FAA AD adopted as proposed, would affect 98 2018–16–51, Amendment 39–19421 (83 Related Service Information Under 1 helicopters of U.S. Registry. The FAA FR 53171, October 22, 2018), to address CFR Part 51 estimates the following costs to comply the immediate safety concern. An The FAA reviewed Bell Alert Service with this proposed AD: ongoing investigation determined that Bulletin 429–18–41, dated July 24, 2018.
ESTIMATED COSTS FOR REQUIRED ACTIONS
Cost per Cost on U.S. Action Labor cost Parts cost product operators
Torque check ...... 1 work-hour × $85 per hour = $85 ...... $0 $85 $8,330
The FAA estimates the following the results of any required actions. The number of helicopters that might need costs to do any necessary on-condition FAA has no way of determining the these on-condition actions: actions that would be required based on
ESTIMATED COSTS OF ON-CONDITION ACTIONS
Action Labor cost Parts cost Cost per product
Repetitive torque check ...... 1 work-hour × $85 per hour = $85, per cycle ...... $0 $85, per cycle.
Authority for This Rulemaking that section, Congress charges the FAA Regulatory Findings Title 49 of the United States Code with promoting safe flight of civil The FAA determined that this specifies the FAA’s authority to issue aircraft in air commerce by prescribing proposed AD would not have federalism rules on aviation safety. Subtitle I, regulations for practices, methods, and implications under Executive Order section 106, describes the authority of procedures the Administrator finds 13132. This proposed AD would not the FAA Administrator. Subtitle VII: necessary for safety in air commerce. have a substantial direct effect on the Aviation Programs, describes in more This regulation is within the scope of States, on the relationship between the detail the scope of the Agency’s that authority because it addresses an national Government and the States, or authority. unsafe condition that is likely to exist or on the distribution of power and The FAA is issuing this rulemaking develop on products identified in this responsibilities among the various under the authority described in rulemaking action. levels of government. Subtitle VII, Part A, Subpart III, Section For the reasons discussed, I certify 44701: General requirements. Under this proposed regulation:
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(1) Is not a ‘‘significant regulatory (g) Required Actions bellflight.com; or at https:// action’’ under Executive Order 12866, Within 12 months after the effective date www.bellflight.com/support/contact-support. (2) Would not affect intrastate of this AD; or at the next scheduled 200- You may view this referenced service aviation in Alaska, and hours time-in-service (TIS) or 12-month information at the FAA, Office of the Regional Counsel, Southwest Region, 10101 (3) Would not have a significant inspection, whichever occurs first, do a torque check of the tail rotor gearbox Hillwood Pkwy., Room 6N–321, Fort Worth, economic impact, positive or negative, TX 76177. For information on the availability on a substantial number of small entities attachment hardware, in accordance with the Accomplishment Instructions, paragraph 2., of this material at the FAA, call (817) 222– under the criteria of the Regulatory of Bell Alert Service Bulletin 429–18–41, 5110. Flexibility Act. dated July 24, 2018. Repeat the torque check (3) The subject of this AD is addressed in Transport Canada AD CF–2018–35, dated List of Subjects in 14 CFR Part 39 thereafter at intervals not to exceed 200 hours TIS or 12 months, whichever occurs first. December 19, 2018. You may view the Air transportation, Aircraft, Aviation Transport Canada AD on the internet at (h) Corrective Actions safety, Incorporation by reference, https://www.regulations.gov in Docket No. Safety. If, during any torque check required by FAA–2021–0513. paragraph (g) of this AD, any tail rotor Issued on June 21, 2021. The Proposed Amendment gearbox attachment moves during any torque check, repeat the torque check specified in Ross Landes, Accordingly, under the authority paragraph (g) of this AD at intervals no less Deputy Director for Regulatory Operations, delegated to me by the Administrator, than 10 hours TIS and not to exceed 25 hours Compliance & Airworthiness Division, the FAA proposes to amend 14 CFR part TIS until the torque stabilizes on all the nuts. Aircraft Certification Service. 39 as follows: Stabilization has occurred when, at the next [FR Doc. 2021–13644 Filed 6–25–21; 8:45 am] torque check, the value has remained within BILLING CODE 4910–13–P PART 39—AIRWORTHINESS the specified acceptable limits (160 to 200 DIRECTIVES inch-pounds (in-lbs) or 19 to 22 newton meters (Nms), inclusive), preventing DEPARTMENT OF TRANSPORTATION ■ 1. The authority citation for part 39 movement of the gearbox housing. After the continues to read as follows: torque stabilizes on all the nuts, the Federal Aviation Administration repetitive torque checks specified in Authority: 49 U.S.C. 106(g), 40113, 44701. paragraph (g) of this AD are still required. 14 CFR Part 71 § 39.13 [Amended] (i) Credit for Previous Actions ■ 2. The FAA amends § 39.13 by adding [Docket No. FAA–2021–0424; Airspace This paragraph provides credit for the Docket No. 21–ACE–13] the following new airworthiness initial torque check required by paragraph (g) directive: of this AD, if that action was done before the RIN 2120–AA66 effective date of this AD as required by Bell Textron Canada Limited (Type paragraph (f)(2) of AD 2018–16–51, Proposed Amendment of Class E Certificate Previously Held by Bell Amendment 39–19421 (83 FR 53171, October Helicopter Textron Canada Limited): Airspace; Malden, MO 22, 2018). Docket No. FAA–2021–0513; Project AGENCY: Federal Aviation Identifier 2018–SW–116–AD. (j) Alternative Methods of Compliance Administration (FAA), DOT. (AMOCs) (a) Comments Due Date ACTION: Notice of proposed rulemaking (1) The Manager, International Validation The FAA must receive comments on this (NPRM). Branch, FAA, has the authority to approve airworthiness directive (AD) by August 12, AMOCs for this AD, if requested using the 2021. SUMMARY: This action proposes to procedures found in 14 CFR 39.19. In (b) Affected ADs accordance with 14 CFR 39.19, send your amend Class E airspace extending upward from 700 feet above the surface None. request to your principal inspector or local Flight Standards District Office, as at Malden Regional Airport, (formerly (c) Applicability appropriate. If sending information directly Malden Municipal Airport), Malden, This AD applies to Bell Textron Canada to the manager of the International Validation MO. The FAA is proposing this action Limited (type certificate previously held by Branch, send it to the attention of the person as a result of an airspace review caused Bell Helicopter Textron Canada Limited) identified in paragraph (k)(1) of this AD. by the decommissioning of the Malden Model 429 helicopters, certificated in any Information may be emailed to: 9-AVS-AIR- Very High Frequency Omnidirectional category, serial numbers 57001 and [email protected]. Range (VOR) collocated with Tactical subsequent. (2) Before using any approved AMOC, notify your appropriate principal inspector, Air Navigation (TACAN) (VORTAC) (d) Subject or lacking a principal inspector, the manager navigation aid as part of the VOR Joint Aircraft Service Component (JASC) of the local flight standards district office/ Minimum Operational Network (MON) Code: 6500, Tail Rotor Drive System; and certificate holding district office. Program. Controlled airspace is necessary for the safety and 6520, Tail Rotor Gearbox. (k) Related Information management of instrument flight rules (e) Unsafe Condition (1) For more information about this AD, (IFR) in the area. This AD was prompted by reports of tail contact Darren Gassetto, Aerospace Engineer, DATES: rotor gearbox assemblies found loose on the COS Program Management Section, FAA, Comments must be received on gearbox support. The FAA is issuing this AD Operational Safety Branch, Compliance & or before August 12, 2021. address tail rotor gearbox assemblies found Airworthiness Division, 1600 Stewart ADDRESSES: Send comments on this loose on the gearbox support. The unsafe Avenue, Suite 410, Westbury, NY 11590; proposal to: The U.S. Department of condition, if not addressed, could result in telephone (516) 228–7323; email Transportation, Docket Operations, 1200 structural damage and possible loss of [email protected]. New Jersey Avenue SE, West Building control of the helicopter. (2) For service information identified in this AD, contact Bell Textron Canada Ground Floor, Room W12–140, (f) Compliance Limited, 12,800 Rue de l’Avenir, Mirabel, Washington, DC 20590–0001; Comply with this AD within the Quebec J7J 1R4, Canada; telephone 1–450– Telephone: (800) 647–5527, or (202) compliance times specified, unless already 437–2862 or 1–800–363–8023; fax 1–450– 366–9826. You must identify the Docket done. 433–0272; email productsupport@ No. FAA–2021–0424; Airspace Docket
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No. 21–ACE–13, at the beginning of ACE–13) and be submitted in triplicate air traffic service routes, and reporting your comments. You may also submit to DOT Docket Operations (see points. comments through the internet at ADDRESSES section for the address and https://www.regulations.gov. phone number). You may also submit The Proposal FAA Order 7400.11E Airspace comments through the internet at The FAA proposes an amendment to Designations and Reporting Points, and https://www.regulations.gov. 14 CFR part 71 to amend Class E Persons wishing the FAA to subsequent amendments can be viewed airspace extending upward from 700 _ acknowledge receipt of their comments online at https://www.faa.gov/air feet above the surface for Malden on this action must submit with those traffic/publications/. For further Regional Airport, MO, as the Malden information, you can contact the comments a self-addressed stamped postcard on which the following VORTAC has been decommissioned and Airspace Policy Group, Federal Aviation all associated airspace extensions of Administration, 800 Independence statement is made: ‘‘Comments to FAA Class E airspace extending upward from Avenue SW, Washington, DC 20591; Docket No. FAA–2021–0424; Airspace 700 feet above the surface, off the Telephone: (202) 267–8783. The Order Docket No. 21–ACE–13.’’ The postcard Malden VORTAC have been eliminated. is also available for inspection at the will be date/time stamped and returned The Class E airspace extending upward National Archives and Records to the commenter. from 700 feet above the surface would Administration (NARA). For All communications received before be amended by increasing the radius to information on the availability of FAA the specified closing date for comments Order 7400.11E at NARA, email will be considered before taking action 7.3 miles (previously 6.7 miles). Also [email protected] or go to https:// on the proposed rule. The proposal the airport’s name (formerly Malden www.archives.gov/federal-register/cfr/ contained in this document may be Municipal Airport) and geographic ibr-locations.html. changed in light of the comments coordinates would be updated to received. All comments submitted will coincide with the FAA’s data base. FOR FURTHER INFORMATION CONTACT: John be available for examination in the Fornito, Operations Support Group, Class E airspace designations are public docket both before and after the Eastern Service Center, Federal Aviation published in Paragraph 6005, of FAA comment closing date. A report Administration, 1701 Columbia Avenue, Order 7400.11E, dated July 21, 2020, summarizing each substantive public College Park, GA 30337; Telephone and effective September 15, 2020, which contact with FAA personnel concerned (404) 305–6364. is incorporated by reference in 14 CFR with this rulemaking will be filed in the 71.1. The Class E airspace designations SUPPLEMENTARY INFORMATION: docket. listed in this document will be Authority for This Rulemaking Availability of NPRMs published subsequently in the Order. The FAA’s authority to issue rules An electronic copy of this document FAA Order 7400.11, Airspace regarding aviation safety is found in may be downloaded through the Designations and Reporting Points, is Title 49 of the United States Code. internet at https://www.regulations.gov. published yearly and effective on Subtitle I, Section 106 describes the Recently published rulemaking September 15. authority of the FAA Administrator. documents can also be accessed through Regulatory Notices and Analyses Subtitle VII, Aviation Programs, the FAA’s web page at https:// describes in more detail the scope of the www.faa.gov/air_traffic/publications/ The FAA has determined that this agency’s authority. This rulemaking is airspace_amendments/. proposed regulation only involves an promulgated under the authority You may review the public docket established body of technical described in Subtitle VII, Part A, containing the proposal, any comments regulations for which frequent and Subpart I, Section 40103. Under that received and any final disposition in routine amendments are necessary to section, the FAA is charged with person in the Dockets Office (see the keep them operationally current. It, prescribing regulations to assign the use ADDRESSES section for address and therefore: (1) Is not a ‘‘significant of airspace necessary to ensure the phone number) between 9:00 a.m. and regulatory action’’ under Executive safety of aircraft and the efficient use of 5:00 p.m., Monday through Friday, Order 12866; (2) is not a ‘‘significant airspace. This regulation is within the except federal holidays. An informal rule’’ under DOT Regulatory Policies scope of that authority, as it amends docket may also be examined between and Procedures (44 FR 11034; February Class E airspace in Malden, MO, to 8:00 a.m. and 4:30 p.m., Monday 26, 1979); and (3) does not warrant support IFR operations in the area. through Friday, except federal holidays preparation of a Regulatory Evaluation Comments Invited at the office of the Eastern Service as the anticipated impact is so minimal. Center, Federal Aviation Since this is a routine matter that will Interested persons are invited to Administration, Room 350, 1701 comment on this proposed rulemaking only affect air traffic procedures and air Columbia Avenue, College Park, GA navigation, it is certified that this by submitting such written data, views, 30337. or arguments, as they may desire. proposed rule, when promulgated, will Comments that provide the factual basis Availability and Summary of not have a significant economic impact supporting the views and suggestions Documents for Incorporation by on a substantial number of small entities presented are particularly helpful in Reference under the criteria of the Regulatory developing reasoned regulatory This document proposes to amend Flexibility Act. decisions on the proposal. Comments FAA Order 7400.11E, Airspace Environmental Review are specifically invited on the overall Designations and Reporting Points, regulatory, aeronautical, economic, dated July 21, 2020, and effective This proposal will be subject to an environmental, and energy-related September 15, 2020. FAA Order environmental analysis in accordance aspects of the proposal. 7400.11E is publicly available as listed with FAA Order 1050.1F, Communications should identify both in the ADDRESSES section of this ‘‘Environmental Impacts: Policies and docket numbers (Docket No. FAA– document. FAA Order 7400.11E lists Procedures’’, prior to any FAA final 2021–0424 and Airspace Docket No. 21– Class A, B, C, D, and E airspace areas, regulatory action.
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Lists of Subjects in 14 CFR Part 71 regulations for residues of pesticide • Food manufacturing (NAICS code chemicals in or on various commodities. 311). Airspace, Incorporation by reference, • Navigation (air). DATES: Comments must be received on Pesticide manufacturing (NAICS or before July 28, 2021. code 32532). The Proposed Amendment ADDRESSES: Submit your comments, B. What should I consider as I prepare In consideration of the foregoing, the identified by docket identification (ID) my comments for EPA? Federal Aviation Administration number and the pesticide petition (PP) 1. Submitting CBI. Do not submit this proposes to amend 14 CFR part 71 as of interest as shown in the body of this information to EPA through follows: document, by one of the following regulations.gov or email. Clearly mark methods: PART 71—DESIGNATION OF CLASS A, • Federal eRulemaking Portal: http:// the part or all of the information that B, C, D, AND E AIRSPACE AREAS; AIR www.regulations.gov. Follow the online you claim to be CBI. For CBI TRAFFIC SERVICE ROUTES; AND instructions for submitting comments. information in a disk or CD–ROM that you mail to EPA, mark the outside of the REPORTING POINTS Do not submit electronically any disk or CD–ROM as CBI and then information you consider to be ■ identify electronically within the disk or 1. The authority citation for part 71 Confidential Business Information (CBI) CD–ROM the specific information that continues to read as follows: or other information whose disclosure is is claimed as CBI. In addition to one Authority: 49 U.S.C. 106(f), 106(g); 40103, restricted by statute. 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, • Mail: OPP Docket, Environmental complete version of the comment that 1959–1963 Comp., p. 389. Protection Agency Docket Center (EPA/ includes information claimed as CBI, a DC), (28221T), 1200 Pennsylvania Ave. copy of the comment that does not § 71.1 [Amended] contain the information claimed as CBI ■ NW, Washington, DC 20460–0001. 2. The incorporation by reference in • Hand Delivery: To make special must be submitted for inclusion in the 14 CFR 71.1 of Federal Aviation arrangements for hand delivery or public docket. Information so marked Administration Order 7400.11E, delivery of boxed information, please will not be disclosed except in Airspace Designations and Reporting follow the instructions at http:// accordance with procedures set forth in Points, dated July 21, 2020, and www.epa.gov/dockets/contacts.html. 40 CFR part 2. effective September 15, 2020, is Additional instructions on 2. Tips for preparing your comments. amended as follows: commenting or visiting the docket, When preparing and submitting your comments, see the commenting tips at Paragraph 6005 Class E Airspace Areas along with more information about Extending Upward From 700 Feet or More dockets generally, is available at http:// http://www.epa.gov/dockets/ Above the Surface of the Earth. www.epa.gov/dockets. comments.html. 3. Environmental justice. EPA seeks to * * * * * FOR FURTHER INFORMATION CONTACT: achieve environmental justice, the fair ACE MO E5 Malden, MO [Amend] Marietta Echeverria, Registration treatment and meaningful involvement Division (7505P), main telephone of any group, including minority and/or Malden Regional Airport, MO number: (703) 305–7090, email address: (Lat. 36°35′54″ N, long. 89°59′33″ W) low-income populations, in the [email protected]; or Charles development, implementation, and That airspace extending upward from 700 Smith, Biopesticides and Pollution feet above the surface within a 7.3-mile enforcement of environmental laws, radius of the Malden Regional Airport. Prevention Division (7511P), main regulations, and policies. To help telephone number: (703) 305–7090, address potential environmental justice Issued in College Park, Georgia, on June 22, email address: BPPDFRNotices@ 2021. issues, the Agency seeks information on epa.gov. The mailing address for each any groups or segments of the Andreese C. Davis, contact person is: Office of Pesticide Manager, Airspace & Procedures Team South, population who, as a result of their Programs, Environmental Protection location, cultural practices, or other Eastern Service Center, Air Traffic Agency, 1200 Pennsylvania Ave. NW, Organization. factors, may have atypical or Washington, DC 20460–0001. As part of disproportionately high and adverse [FR Doc. 2021–13673 Filed 6–25–21; 8:45 am] the mailing address, include the contact BILLING CODE 4910–13–P human health impacts or environmental person’s name, division, and mail code. effects from exposure to the pesticides The division to contact is listed at the discussed in this document, compared end of each pesticide petition summary. to the general population. ENVIRONMENTAL PROTECTION SUPPLEMENTARY INFORMATION: AGENCY II. What action is the Agency taking? I. General Information 40 CFR Parts 174 and 180 EPA is announcing receipt of A. Does this action apply to me? pesticide petitions filed under section [EPA–HQ–OPP–2021–0088; FRL–10025–08] You may be potentially affected by 408 of the Federal Food, Drug, and this action if you are an agricultural Cosmetic Act (FFDCA), 21 U.S.C. 346a, Receipt of Pesticide Petitions Filed for producer, food manufacturer, or requesting the establishment or Residues of Pesticide Chemicals in or pesticide manufacturer. The following modification of regulations in 40 CFR on Various Commodities—June 2021 list of North American Industrial part 174 or part 180 for residues of AGENCY: Environmental Protection Classification System (NAICS) codes is pesticide chemicals in or on various Agency (EPA). not intended to be exhaustive, but rather food commodities. The Agency is taking ACTION: Filing of petitions and request provides a guide to help readers public comment on the requests before for comment. determine whether this document responding to the petitioners. EPA is not applies to them. Potentially affected proposing any particular action at this SUMMARY: This document announces the entities may include: time. EPA has determined that the Agency’s receipt of initial filings of • Crop production (NAICS code 111). pesticide petitions described in this pesticide petitions requesting the • Animal production (NAICS code document contain data or information establishment or modification of 112). prescribed in FFDCA section 408(d)(2),
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21 U.S.C. 346a(d)(2); however, EPA has seed at 0.01 ppm, Spanish lime at 20 Orlando, FL 32814) on behalf of SCG not fully evaluated the sufficiency of the ppm, Sunflower, seed at 0.01 ppm, Solutions, LLC. (1358 South 9th St., submitted data at this time or whether Vegetable, legume, group 6 at 0.01 ppm, DePere, WI 54115) requests to establish the data supports granting of the Vegetable, root, except sugar beet, an exemption from the requirement of a pesticide petitions. After considering subgroup 1B at 0.75 ppm and Vegetable, tolerance for residues of calcium the public comments, EPA intends to tuberous and corm, subgroup 1C at 6.0 bisulfate when used as an inert evaluate whether and what action may ppm. Contact: RD. ingredient (acidifying/buffering agent) be warranted. Additional data may be 3. PP 0E8861. (EPA–HQ–OPP–2020– in antimicrobial formulations applied to needed before EPA can make a final 0601). Interregional Research Project food-contact surfaces in public eating determination on these pesticide No. 4 (IR–4), IR–4 Project Headquarters, places, dairy-processing equipment, and petitions. Rutgers, The State University of NJ, 500 food-processing equipment and utensils Pursuant to 40 CFR 180.7(f), College Road East, Suite 201 W, under 40 CFR 180.940(a), limited to summaries of the petitions that are the Princeton, NJ 08540, requests to amend 2,000 parts per million (ppm) in the subject of this document, prepared by 40 CFR part 180 by removing final formulation. The petitioner the petitioners, are included in dockets established tolerances for residues of the believes no analytical method is needed EPA has created for these rulemakings. sum of fluensulfone, 5-chloro-2-[(3,4,4- because it is not required for an The dockets for these petitions are trifluoro-3-buten-1-yl)sulfonyl]thiazole exemption from the requirement of a available at http://www.regulations.gov. and its metabolite, 3,4,4-trifluoro-but-3- tolerance. Contact: RD. As specified in FFDCA section ene-1-sulfonic acid, calculated as the 2. IN-11520. (EPA–HQ–OPP–2021– 408(d)(3), 21 U.S.C. 346a(d)(3), EPA is stoichiometric equivalent of 0338). Exponent, Inc. (1150 Connecticut publishing notice of the petitions so that fluensulfone, in or on the commodities: Ave. NW, Suite 1100, Washington, DC the public has an opportunity to Brassica, head and stem, subgroup 5A at 20036) on behalf of UPL NA Inc. (630 comment on these requests for the 1.5 ppm; Brassica, leafy greens, Freedom Business Center, Suite 402, establishment or modification of subgroup 5B at 20 ppm; Vegetables, King of Prussia, PA 19406) requests to regulations for residues of pesticides in leafy, except Brassica, group 4 at 4 ppm. establish an exemption from the or on food commodities. Further Contact: RD. requirement of a tolerance for residues information on the petitions may be 4. PP 0E8882. (EPA–HQ–OPP–2021– of sodium metabisulfite (CAS No. 7681– obtained through the petition 0153). Interregional Research Project 57–4) when used as an inert ingredient summaries referenced in this unit. No. 4 (IR–4), IR–4 Project Headquarters, (oxygen scavenger/antioxidant) in Rutgers, The State University of NJ, 500 Amended Tolerances for Non-Inerts pesticide formulations applied on crops College Road East, Suite 201 W, pre-harvest according to 40 CFR part 1. PP 0E8846. (EPA–HQ–OPP–2020– Princeton, NJ 08540, requests to amend 180.920, at a limit of not more than 0417). Interregional Research Project 40 CFR part 180 by removing 0.5% by weight in pesticide No. 4 (IR–4), IR–4 Project Headquarters, established tolerances for residues of formulations. The petitioner believes no Rutgers, The State University of NJ, 500 novaluron, including its metabolites and analytical method is needed because it College Road East, Suite 201 W, degradates, in or on Bean, dry, seed at is not required for an exemption from Princeton, NJ 08540, requests to amend 0.30 ppm; and Bean, succulent at 0.70 the requirement of a tolerance. Contact: 40 CFR part 180 by removing ppm. Contact: RD. RD. established tolerances for the residues of 5. PP 9E8812. (EPA–HQ–OPP–2020– Cyprodinil 4-cyclopropyl-6-methyl-N- 0054). Interregional Research Project New Tolerance Exemptions for Non- phenyl-2-pyrimidinamine in or on the Number 4 (IR–4), Rutgers, The State Inerts (Except PIPS) raw agricultural commodities: Brassica, University of New Jersey, 500 College PP 1F8900. (EPA–HQ–OPP–2021– head and stem, subgroup 5A at 1.0 parts Road East, Suite 201W, Princeton, NJ 0269). GreenLight Biosciences, Inc. 200 per million (ppm), Brassica, leafy 08540 requests to amend 40 CFR Boston Ave., Suite 1000, Medford, MA greens, subgroup 5B at 10.0 ppm; Leaf 180.242 by removing the established 02155, requests to establish an petioles subgroup 4B at 30 ppm, Leafy tolerances for residues of thiabendazole exemption from the requirement of a greens subgroup 4A at 50 ppm, Lemon (2-(4-thiazolyl)benzimidazole), tolerance in 40 CFR part 180 for at 0.60 ppm, Lime at 0.60 ppm, Longan including its metabolites and residues of the double-stranded RNA at 2.0 ppm; Lychee at 2.0 ppm, Spanish degradates, in or on the following raw insecticide Ledprona (CAS No. lime at 2.0 ppm and Turnip, greens at agricultural commodities: Potato, 2433753–68–3) in or on all agricultural 10.0 ppm. Contact: RD. postharvest at 10.0 ppm; Sweet potato commodities and food products. The 2. PP 0E8847. (EPA–HQ–OPP–2020– (postharvest to sweet potato intended petitioner believes no analytical method 0419). Interregional Research Project only for use as seed) at 0.05 ppm; is needed given the low toxicity No. 4 (IR–4), IR–4 Project Headquarters, Alfalfa, forage at 0.02 ppm; Alfalfa, hay demonstrated in the available Rutgers, The State University of NJ, 500 at 0.02 ppm; Radish, tops at 0.02 ppm; toxicological data, that RNA is present College Road East, Suite 201 W, Brassica, head and stem, subgroup 5A at in all living organisms as well as Princeton, NJ 08540, requests to amend 0.02 ppm; Fruit, citrus, group 10, routinely consumed as part of human 40 CFR part 180 by removing postharvest at 10.0 ppm; Fruit, pome, and animal diets with no apparent established tolerances for the residues of group 11, postharvest at 5.0 ppm; adverse effects, and the large molecular Fludioxonil, [4-(2, 2-difluoro-1,3- Vegetable, root (except sugarbeet), weight of the active ingredient. Contact: benzodioxol-4-yl)-1H-pyrrole-3- subgroup 1B at 0.02 ppm; Carrot, roots, BPPD. carbonitrile] in or on the raw postharvest at 10.0 ppm; and in New Tolerances for Non-Inerts agricultural commodities: Carrots at 7.0 paragraph (b) Sweet potato at 10 ppm. ppm, Cotton, undelinted seed at 0.05 Contact: RD. 1. PP 9E8812. (EPA–HQ–OPP–2020– ppm, Dragon fruit at 1.0 ppm; Leaf 0054). Interregional Research Project petioles subgroup 4B at 15 ppm, Leafy New Tolerance Exemptions for Inerts Number 4 (IR–4), Rutgers, The State greens subgroup 4A at 30 ppm, Longan (Except PIPS) University of New Jersey, 500 College at 20 ppm, Lychee at 20 ppm, Melon 1. IN-11436. (EPA–HQ–OPP–2021– Road East, Suite 201W, Princeton, NJ subgroup 9A at 0.03 ppm, Safflower, 0326). Burdock Group (859 Outer Road, 08540 requesting, pursuant to section
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408(d) of the Federal Food, Drug, and several commodities and is currently fluensulfone in/on appropriate raw Cosmetic Act (FFDCA), 21 U.S.C. the enforcement method for cyprodinil. agricultural commodities and processed 346a(d), to amend 40 CFR part 180.242 Contact: RD. commodities have been developed and by establishing tolerances for residues of 3. PP 0E8847. (EPA–HQ–OPP–2020– validated, including LC–MS/MS thiabendazole (2-(4- 0419). Interregional Research Project methods. Contact: RD. thiazolyl)benzimidazole), including its No. 4 (IR–4), IR–4 Project Headquarters, 5. PP 0E8864. (EPA–HQ–OPP–2020– metabolites and degradates, in or on the Rutgers, The State University of NJ, 500 0691). Interregional Research Project following raw agricultural commodities: College Road East, Suite 201 W, No. 4 (IR–4), IR–4 Project Headquarters, Animal feed, nongrass, group 18 at 0.01 Princeton, NJ 08540, requests to amend Rutgers, The State University of NJ, 500 parts per million (ppm); Beet, garden, 40 CFR part 180 by establishing College Road East, Suite 201 W, leaves at 0.01 ppm; Brassica, leafy tolerances for residues of Fludioxonil, Princeton, NJ 08540, requests to amend greens, subgroup 4–16B at 0.01 ppm; [4-(2, 2-difluoro-1,3-benzodioxol-4-yl)- 40 CFR part 180 by establishing Burdock, edible, leaves at 0.01 ppm; 1H-pyrrole-3-carbonitrile] in or on the tolerances for residues of the herbicide Carrot, leaves at 0.01 ppm; Carrot, roots raw agricultural commodities: Carrot, MCPA ((4-chloro-2- at 10 ppm; Celeriac, leaves at 0.01 ppm; roots at 7 parts per million (ppm), methylphenoxy)acetic acid, both free Chervil, turnip rooted, leaves at 0.01 Celtuce at 15 ppm, Cottonseed subgroup and conjugated, resulting from the ppm; Chicory, leaves at 0.01 ppm; Fruit, 20C at 0.05 ppm, Dragon fruit at 20 direct application of MCPA or its citrus, group 10–10 at 10 ppm; Fruit, ppm, Durian at 20 ppm, Fennel, sodium, dimethylamine salts or its 2- pome, group 11–10 at 10 ppm; Kohlrabi Florence, fresh leaves and stalk at 15 ethylhexyl ester in or on the raw at 0.01 ppm; Radish, oriental, leaves at ppm, Jackfruit at 20 ppm, Leaf petiole agricultural commodity clover, forage at 0.01 ppm; Rutabaga, leaves at 0.01 ppm; vegetable subgroup 22B at 15 ppm, 0.1 parts per million (ppm), and clover, Salsify, black, leaves at 0.01 ppm; Sweet Leafy greens subgroup 4–16A at 30 hay at 0.1 parts per million (ppm). potato, tuber at 3 ppm; Vegetable, ppm, Mangosteen at 5 ppm, Persimmon, Adequate analytical methods for Brassica, head and stem, group 5–16 at Japanese at 5 ppm, Sunflower subgroup determining MCPA in/on appropriate 0.01 ppm; Vegetable, root, except sugar 20B at 0.01 ppm, Tropical and raw agricultural commodities and beet, subgroup 1B at 0.01 ppm; subtropical, small fruit, inedible peel, processed commodities have been Vegetable, tuberous and corm, subgroup subgroup 24A at 20 ppm, Vegetable, developed and validated. Contact: RD. legume, group 6, except bean, dry and 1C, except sweet potato at 10 ppm. The 6. PP 0E8880. (EPA–HQ–OPP–2021– bean, succulent at 0.01 ppm, Vegetable, Pesticide Analytical Manual (PAM) Vol. 0356). Syngenta Crop Protection, LLC, II lists four spectrophotofluorometric root, except sugar beet, subgroup 1B, except carrot and ginseng at 0.75 ppm P.O. Box 18300, Greenboro, NC 27419, methods (Methods I, A, B and C) for requests to establish a tolerance for determining residues of thiabendazole and Vegetable, tuberous and corm, subgroup 1C, except yam, true, tuber at residues of the insecticide spiropidion per se in or on plant commodities, and in or on Cucurbit Vegetables (CG9) at one spectrophotofluorometric method 6 ppm. Syngenta has developed and validated analytical methodology for 0.8 parts per million (ppm); Fruiting (Method D) for determining residues of Vegetables (CG8), 1.5 ppm; Soybeans, 3 thiabendazole and 5- enforcement purposes. This method (Syngenta Crop Protection Method AG- ppm; Potato (CG 1C), 1.5 ppm; Poultry hydroxythiabendazole in milk. Contact: Meat, 0.01 ppm, Meat Byproducts of RD. 597B) has passed an Agency petition method validation for several Poultry, 0.01 ppm; Fat of Poultry, 0.01 2. PP 0E8846. (EPA–HQ–OPP–2020– commodities and is currently the ppm; Eggs. 0.01 ppm; Milk and Milk 0417). Interregional Research Project enforcement method for fludioxonil. Byproducts, 0.01 ppm; Meat Byproducts No. 4 (IR–4), IR–4 Project Headquarters, Contact: RD. of Cattle, goat, Hogs, Horses and Sheep, Rutgers, The State University of NJ, 500 4. PP 0E8861. (EPA–HQ–OPP–2020– 0.3 ppm; Fat of Cattle, Goat, Hogs, College Road East, Suite 201 W, 0601). Interregional Research Project Horses and Sheep, 0.04 ppm; Wet Princeton, NJ 08540, requests to amend No. 4 (IR–4), IR–4 Project Headquarters, Tomato Peel, 3 ppm; Dried Tomato 40 CFR part 180 by establishing Rutgers, The State University of NJ, 500 Pomace, 40 ppm; Tomato Paste, 3 ppm; tolerances for residues of Cyprodinil 4- College Road East, Suite 201 W, Tomato Puree, 2 ppm; Dried Tomatoes, cyclopropyl-6-methyl-N-phenyl-2- Princeton, NJ 08540, requests to amend 15 ppm; Soy Meal, 5 ppm; Soy Flour, pyrimidinamine in or on the raw 40 CFR part 180 by establishing 5 ppm; Pollard, 4 ppm; Soy Aspirated agricultural commodities: Brassica, leafy tolerances for residues of the sum of Grain Fractions, 6 ppm; Raw Peeled greens, subgroup 4–16B, except fluensulfone, 5-chloro-2-[(3,4,4- Potatoes, 3 ppm; Baked Potatoes with watercress at 10 parts per million (ppm), trifluoro-3-buten-1-yl)sulfonyl]thiazole skin, 3 ppm; Potato Chips/Fries, 2 ppm; Celtuce at 30 ppm, Fennel, Florence, and its metabolite, 3,4,4-trifluoro-but-3- Potato Granules/Flakes, 5 ppm; Potato fresh leaves and stalk at 30 ppm, ene-1-sulfonic acid, calculated as the Process Waste, 3 ppm; Dried Potato Kohlrabi at 1 ppm, Leaf petiole stoichiometric equivalent of Pulp, 3 ppm and Potato Protein, 5 ppm. vegetable subgroup 22B at 30 ppm, fluensulfone, in or on the commodities: Syngenta Crop Protection, LLC has Leafy greens subgroup 4–16A, except Beet, sugar, dried pulp at 0.3 parts per submitted practical analytical parsley, fresh leaves at 50 ppm, Lemon/ million (ppm); Beet, sugar, leaves at 4 methodology for detecting and lime subgroup 10–10B at 0.6 ppm, Sugar ppm; Beet, sugar, molasses at 1.5 ppm; measuring levels of Spiropidion in or on apple at 4 ppm, Tropical and Beet, sugar, roots at 0.2 ppm, Brassica, raw agricultural commodities. This subtropical, small fruit, inedible peel, leafy greens, subgroup 4–16B at 20 ppm; method is based on crop specific subgroup 24A at 2 ppm and Vegetable, Celtuce at 4 ppm; Fennel, Florence, cleanup procedures and determination Brassica, head and stem, group 5–16 at fresh leaves and stalk at 4 ppm; by liquid chromatography with either 1 ppm. Syngenta Crop Protection has Kohlrabi at 1.5 ppm; Leafy greens UV or MS detections. Analytical method developed and validated analytical subgroup 4–16A at 4 ppm; Leaf petiole GRM069.02A has been demonstrated to methodology for enforcement purposes. vegetable subgroup 22B at 4 ppm; and be a reliable and accurate procedure for This method (Syngenta Crop Protection Vegetable, Brassica, head and stem, the determination of SYN546330 and Method AG–631B) has passed an group 5–16 at 1.5 ppm. Adequate SYN547305 in crops to a limit of Agency petition method validation for analytical methods for determining quantification of 0.01 mg/kg, using
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commercially available laboratory ppm, Catjang bean, succulent shelled at Sword bean, dry seed at 0.3 ppm, equipment and reagents. Contact: RD. 0.7 ppm, Cowpea, succulent shelled at Tepary bean, dry seed at 0.3 ppm, Urd 7. PP 0E8882. (EPA–HQ–OPP–2021– 0.7 ppm, Crowder pea, succulent bean, dry seed at 0.3 ppm, Vegetable 0153). Interregional Research Project shelled at 0.7 ppm, Goa bean, succulent soybean, dry seed at 0.3 ppm, Velvet No. 4 (IR–4), IR–4 Project Headquarters, shelled at 0.7 ppm, Grain lupin, bean, seed, dry seed at 0.3 ppm, White Rutgers, The State University of NJ, 500 succulent shelled at 0.7 ppm, Jackbean, lupin, dry seed at 0.3 ppm, White sweet College Road East, Suite 201 W, succulent shelled at 0.7 ppm, Lablab lupin, dry seed at 0.3 ppm, Winged pea, Princeton, NJ 08540, requests to amend bean, succulent shelled at 0.7 ppm, dry seed at 0.3 ppm, Yardlong bean, dry 40 CFR part 180 by establishing Lima bean, succulent shelled at 0.7 seed at 0.3 ppm, Yellow bean, dry seed tolerances for residues of novaluron, ppm, Moth bean, succulent shelled at at 0.3 ppm, Yellow lupin, dry seed at including its metabolites and 0.7 ppm, Scarlet runner bean, succulent 0.3 ppm; Individual crops of Proposed degradates, in or on the following shelled at 0.7 ppm, Southern pea, Crop Subgroup 6–19F: Dried shelled pea commodities. Compliance with the succulent shelled at 0.7 ppm, Sweet subgroup including: Chickpea, dry seed tolerance levels is to be determined by lupin, succulent shelled at 0.7 ppm, at 0.1 ppm, Dry pea, dry seed at 0.1 measuring only novaluron, (N–3-chloro- Vegetable soybean, succulent shelled at ppm, Field pea, dry seed at 0.1 ppm, 4-1,1,2-trifluoro-2-(trifluoromethoxy 0.7 ppm, Velvet bean, succulent shelled Garden pea, dry seed at 0.1 ppm, Grass- ethoxyphenylaminocarbonyl-2,6- at 0.7 ppm, Wax bean, succulent shelled pea, dry seed at 0.1 ppm, Green pea, dry difluorobenzamide), in or on the at 0.7 ppm, White lupin, succulent seed at 0.1 ppm, Lentil, dry seed at 0.1 following raw agricultural commodities: shelled at 0.7 ppm, White sweet lupin, ppm, Pigeon pea, dry seed at 0.1 ppm; Individual crops of Proposed Crop succulent shelled at 0.7 ppm, Yellow and Pea, forage at 15 ppm. Adequate Subgroup 6–19A: Edible podded bean lupin, succulent shelled at 0.7 ppm; analytical methods for determining legume vegetable subgroup including Individual crops of Proposed Crop novaluron in/on appropriate raw Asparagus bean, edible podded at 0.7 Subgroup 6–19D: Succulent shelled pea agricultural commodities and processed parts per million (ppm), Catjang bean, subgroup including Chickpea, succulent commodities have been developed and validated. Contact: RD. edible podded at 0.7 ppm, Chinese shelled at 0.05 ppm, English pea, 8. PP 0F8885. (EPA–HQ–OPP–2021– longbean, edible podded at 0.7 ppm, succulent shelled at 0.05 ppm, Garden 0339). Belchim Crop Protection N.V./ pea, succulent shelled at 0.05 ppm, Cowpea, edible podded at 0.7 ppm, S.A. c/o Belchim Crop Protection US French bean, edible podded at 0.7 ppm, Green pea, succulent shelled at 0.05 Corporation, 2751 Centreville Rd., Suite Garden bean, edible podded at 0.7 ppm, ppm, Lentil, succulent shelled at 0.05 100, Wilmington, DE 19808, requests to Goa bean, edible podded at 0.7 ppm, ppm, Pigeon pea, succulent shelled at establish a tolerance in 40 CFR part 180 Green bean, edible podded at 0.7 ppm, 0.05 ppm; Individual crops of Proposed for residues of the herbicide pyridate in Guar bean, edible podded at 0.7 ppm, Crop Subgroup 6–19E: Dried shelled or on the raw agricultural commodities Jackbean, edible podded at 0.7 ppm, bean, except soybean, subgroup lentils at 0.4 parts per million (ppm) Kidney bean, edible podded at 0.7 ppm, including Adzuki bean, dry seed at 0.3 and the Rapeseed SubGroup (Crop Lablab bean, edible podded at 0.7 ppm, ppm, African yam-bean, dry seed at 0.3 Subgroup 20A) at 0.015 ppm. The Moth bean, edible podded at 0.7 ppm, ppm, American potato bean, dry seed at HPLC–MS/MS residue analytical Mung bean, edible podded at 0.7 ppm, 0.3 ppm, Andean lupin, dry seed at 0.3 method is used to measure and evaluate Navy bean, edible podded at 0.7 ppm, ppm, Asparagus bean, dry seed at 0.3 the chemical pyridate. Contact: RD. Rice bean, edible podded at 0.7 ppm, ppm, Black bean, dry seed at 0.3 ppm, 9. PP 0E8894. (EPA–HQ–OPP–2021– Scarlet runner bean, edible podded at Blackeyed pea, dry seed at 0.3 ppm, 0203). Interregional Research Project 0.7 ppm, Snap bean, edible podded at Blue lupin, dry seed at 0.3 ppm, Broad No. 4 (IR–4), IR–4 Project Headquarters, 0.7 ppm, Sword bean, edible podded at bean, dry seed at 0.3 ppm, Catjang bean, Rutgers, The State University of NJ, 500 0.7 ppm, Urd bean, edible podded at 0.7 dry seed at 0.3 ppm, Chinese longbean, College Road East, Suite 201 W, ppm, Vegetable soybean, edible podded dry seed at 0.3 ppm, Cowpea, dry seed Princeton, NJ 08540, requests to amend at 0.7 ppm, Velvet bean, edible podded at 0.3 ppm, Cranberry bean, dry seed at 40 CFR part 180 by establishing at 0.7 ppm, Wax bean, edible podded at 0.3 ppm, Crowder pea, dry seed at 0.3 tolerances for residues of Sulfur 0.7 ppm, Winged pea, edible podded at ppm, Dry bean, dry seed at 0.3 ppm, dioxide, including its metabolite and 0.7 ppm, Yardlong bean, edible podded Field bean, dry seed at 0.3 ppm, French degradates, in or on Blueberry at 9 ppm. at 0.7 ppm; Individual crops of bean, dry seed at 0.3 ppm, Garden bean, An analytical enforcement method Proposed Crop Subgroup 6–19B: Edible dry seed at 0.3 ppm, Goa bean, dry seed using high performance liquid podded pea legume vegetable subgroup at 0.3 ppm, Grain lupin, dry seed at 0.3 chromatography with tandem mass including Chickpea, edible podded at 2 ppm, Great northern bean, dry seed at spectrometry is available for ppm, Dwarf pea, edible podded at 2 0.3 ppm, Green bean, dry seed at 0.3 enforcement of tolerances for sulfites ppm, Edible podded pea at 2 ppm, ppm, Guar bean, dry seed at 0.3 ppm, restudies of sulfur dioxide in food. Grass-pea, edible podded at 2 ppm, Horse gram, dry seed at 0.3 ppm, Contact: RD. Green pea, edible podded at 2 ppm, Jackbean, dry seed at 0.3 ppm, Kidney 10. PP 9F8795. (EPA–HQ–OPP–2020– Lentil, edible podded at 2 ppm, Pigeon bean, dry seed at 0.3 ppm, Lablab bean, 0065). This posting is amending the pea, edible podded at 2 ppm, Snap pea, dry seed at 0.3 ppm, Lima bean, dry previous NOF dated April 15, 2020 by edible podded at 2 ppm, Snow pea, seed at 0.3 ppm, Morama bean, dry seed announcing commodities that were not edible podded at 2 ppm, Sugar snap at 0.3 ppm, Moth bean, dry seed at 0.3 included in the previous NOF. E.I. du pea, edible podded at 2 ppm; Individual ppm, Mung bean, dry seed at 0.3 ppm, Pont de Nemours & Company crops of Proposed Crop Subgroup 6– Navy bean, dry seed at 0.3 ppm, Pink (‘‘DuPont’’), Chestnut Run Plaza, 974 19C: Succulent shelled bean subgroup bean, dry seed at 0.3 ppm, Pinto bean, Centre Road, Wilmington, DE 19805, including Andean lupin, succulent dry seed at 0.3 ppm, Red bean, dry seed requests to establish a tolerance in 40 shelled at 0.7 ppm, Blackeyed pea, at 0.3 ppm, Rice bean, dry seed at 0.3 CFR part 180 for residues of the succulent shelled at 0.7 ppm, Blue ppm, Scarlet runner bean, dry seed at nematicide, fluazaindolizine in or on lupin, succulent shelled at 0.7 ppm, 0.3 ppm, Southern pea, dry seed at 0.3 Poultry, fat at 0.01 ppm; Poultry, meat Broad bean, succulent shelled at 0.7 ppm, Sweet lupin, dry seed at 0.3 ppm, at 0.01 ppm; Poultry, meat byproducts
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at 0.01 ppm; and Eggs at 0.01 ppm. In establish a tolerance for residues of the exposures, and hazards. EPA is addition, DuPont is proposing pursuant insecticide flonicamid in or on Small requesting public comment on all to section 408(d) of the Federal Food, fruit, vine climbing (except fuzzy aspects of this proposed rule and has Drug and cosmetic Act, 21 U.S.C. kiwifruit) (crop group 13–07F) at 3.0 also identified items of particular 346a(d), to amend 40 CFR part 180 to parts per million (ppm) and to amend interest for public input. In addition to establish indirect or inadvertent the existing tolerance in or on alfalfa, fulfilling statutory obligations under tolerances for residues of hay at 7.0 ppm. Analytical methodology TSCA, this document will enable EPA fluazaindolizine, including its has been developed to determine the to better characterize the sources and metabolites and their conjugates, residues of flonicamid and its three quantities of manufactured PFAS in the expressed as the stoichiometric major plant metabolites, TFNA, TFNG, United States. equivalent of fluazaindolizine, in or on and TFNA–AM in various crops. The DATES: Comments must be received on the following commodity: Grass, forage, residue analytical method for the or before August 27, 2021. Under the fodder and hay, group 17, straw at 0.15 majority of crops includes an initial Paperwork Reduction Act, comments on ppm. The LC/MS/MS system operating extraction with acetonitrile (ACN)/ the information collection provisions with an electrospray interface (ESI) deionized (DI) water, followed by a are best assured of consideration if the operating in both positive and negative liquid-liquid partition with ethyl Office of Management and Budget polarities is used to measure and acetate. The residue method for wheat (OMB) receives a copy of your evaluate the chemical fluazaindolizine. straw is similar, except that a C18 solid comments on or before July 28, 2021. Contact: RD. phase extraction (SPE) is added prior to 11. PP 0F8872. (EPA–HQ–OPP–2021– ADDRESSES: Submit your comments, the liquid-liquid partition. The final identified by docket identification (ID) 0355). Makhteshim Agan of North sample solution is quantitated using a America, Inc. (d/b/a ADAMA), 3120 number EPA–HQ–OPPT–2020–0549, liquid chromatograph (LC) equipped using the Federal eRulemaking Portal at Highwoods Boulevard, Suite 100, with a reverse phase column and a Raleigh, NC 27604, requests to establish http://www.regulations.gov. Follow the triple quadruple mass spectrometer online instructions for submitting a tolerance for residues of the (MS/MS). Contact: RD. insecticide novaluron in or on Tree comments. Do not submit electronically nuts, nutmeat (Crop Group 14–12) at Authority: 21 U.S.C. 346a. any information you consider to be 0.07 parts per million (ppm) and, Dated: June 8, 2021. Confidential Business Information (CBI) Almond, hulls at 15.0 ppm. The Delores Barber, or other information whose disclosure is samples were analyzed using a working Director, Information Technology and restricted by statute. method very similar to the reference Resources Management Division, Office of Due to the public health concerns method, ‘‘Magnitude of the Residue on Program Support. related to COVID–19, the EPA Docket Novaluron in Pome Fruit Raw [FR Doc. 2021–13702 Filed 6–25–21; 8:45 am] Center (EPA/DC) and Reading Room is closed to visitors with limited Agricultural and Processed BILLING CODE 6560–50–P Commodities’’, PTRL Study #991W. exceptions. The staff continues to Samples were homogenized with dry ice provide remote customer service via using a Robot Coupe chopper. Ten-gram ENVIRONMENTAL PROTECTION email, phone, and webform. For the subsamples were extracted in methanol/ AGENCY latest status information on EPA/DC water using two rounds of blending services and docket access, visit https:// with an Omni mixer. The extract was 40 CFR Part 705 www.epa.gov/dockets. filtered to remove the solids from [EPA–HQ–OPPT–2020–0549; FRL–10017– FOR FURTHER INFORMATION CONTACT: solution. An aliquot of the extract was 78] For technical information contact: evaporated to remove the methanol. Stephanie Griffin, Data Gathering and Aqueous sodium chloride was added to RIN 2070–AK67 Analysis Division (7401M), Office of the remaining aqueous fraction, and the TSCA Section 8(a)(7) Reporting and Pollution Prevention and Toxics, aqueous fraction was extracted three Recordkeeping Requirements for Environmental Protection Agency, 1200 times against ethyl acetate. The ethyl Perfluoroalkyl and Polyfluoroalkyl Pennsylvania Ave. NW, Washington, DC acetate fractions were combined and Substances 20460–0001; telephone number: (202) evaporated just to dryness on a nitrogen 564–1463; email address: evaporator. The sample residue was re- AGENCY: Environmental Protection [email protected]. dissolved in ethyl acetate and taken for Agency (EPA). For general information contact: The clean-up on an amino (NH2) solid phase ACTION: Proposed rule. TSCA-Hotline, ABVI-Goodwill, 422 extraction cartridge. The eluate was South Clinton Ave., Rochester, NY evaporated on a nitrogen evaporator and SUMMARY: The Environmental Protection 14620; telephone number: (202) 554– then brought to a known volume with Agency (EPA) is proposing reporting 1404; email address: TSCA-Hotline@ ethyl acetate. The extracts were and recordkeeping requirements for Per- epa.gov. analyzed using a gas chromatograph and Polyfluoroalkyl Substances (PFAS) SUPPLEMENTARY INFORMATION: with a micro electron capture detector under the Toxic Substances Control Act (mECD). Method suitability was (TSCA). In accordance with obligations I. Executive Summary evaluated both prior to sample analysis under TSCA, as amended by the A. Does this action apply to me? and concurrently with sample analysis. National Defense Authorization Act for Recoveries were in the range 82–118%. Fiscal Year 2020, EPA proposes to You may be potentially affected by The lowest level of method validation require certain persons that manufacture this action if you currently or have (LLMV) for pea (dry) was approximately (including import) or have previously manufactured (defined by 0.05 ppm for novaluron. Contact: RD. manufactured these chemical statute at 15 U.S.C. 2602(9) to include 12. PP 0F8883 and PP 0F8884. (EPA– substances in any year since January 1, import) a chemical substance that is a HQ–OPP–2016–0013). ISK Biosciences 2011, to electronically report PFAS between January 1, 2011 and the Corporation, 7470 Auburn Road, Suite information regarding PFAS uses, effective date of the final rule. Note that A, Concord, OH 44077, requests to production volumes, disposal, this rule is limited to manufacturers
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(including importers) of PFAS that are and Nautical System and Instrument period during which the public will covered as a ‘‘chemical substance’’ Manufacturing; have the opportunity to comment on under TSCA section 3(2). This rule does • NAICS 336111—Automobile this proposed action and its proposed not require reporting on substances that Manufacturing; requirements. Commenters are are excluded from the definition of • NAICS 423510—Metal Service encouraged to provide comments and ‘‘chemical substance’’ in TSCA section Centers and Other Metal Merchant feedback related to the proposed 3(2)(B). Those exclusions include, but Wholesalers; reporting and recordkeeping are not limited to: Any pesticide (as • NAICS 424690—Other Chemical requirements presented in this defined by the Federal Insecticide, and Allied Products Merchant Notification of Proposed Rulemaking Fungicide, and Rodenticide Act) when Wholesalers; (NPRM), including the scope of PFAS manufactured, processed, or distributed • NAICS 447190—Other Gasoline covered by the rule (see Unit V. for more in commerce for use as a pesticide; any Stations; discussion on specific items for which food, food additive, drug, cosmetic, or • NAICS 551112—Offices of Other the Agency is requesting comments). device, as defined by the Federal Food, Holding Companies; EPA is providing a comment period of • Drug, and Cosmetic Act, when NAICS 562—Waste Management 60 days from the publication date of this manufactured, processed, or distributed and Remediation Services. NPRM. in commerce for use as a food, food Since other entities may also be D. Why is the Agency taking this action? additive, drug, cosmetic or device; affected, the Agency has not attempted tobacco or any tobacco product; any to describe all the specific entities and The Agency is proposing this action source material, special nuclear corresponding NAICS codes for entities pursuant to TSCA section 8(a)(7) to material, or byproduct material as such that may be interested in or affected by obtain certain information known to or terms are defined in the Atomic Energy this action, but rather has provided a reasonably ascertainable by Act of 1954; and, any article the sale of guide to help readers determine whether manufacturers of PFAS. TSCA section which is subject to the tax imposed by this document applies to them. If you 8(a)(7) requires the Agency to publish a Section 4181 of the Internal Revenue have any questions regarding the final rule not later than January 1, 2023. Code of 1954. Substances which have applicability of this action to a particular entity, consult the technical E. What are the incremental economic been manufactured or imported for impacts? intended use as any food, food additive, contact person listed under FOR FURTHER drug, cosmetic, or device, regulated by INFORMATION CONTACT. EPA has prepared an economic the Food and Drug Administration, are In addition, please note that any use analysis of the potential impacts not chemical substances under TSCA. of the term ‘‘manufacture’’ in this associated with this proposed rule (Ref. The manufacture of PFAS as a document will encompass ‘‘import’’ and 13). The primary purpose of this byproduct is not exempt for the purpose the term ‘‘manufacturer’’ will proposed rule is the collection of of this proposed rule. Unlike TSCA encompass ‘‘importer.’’ detailed data on PFAS, as required section 8(a)(1), which specifically under TSCA section (8)(a)(7). One B. What is the Agency’s authority for potential benefit of this action is the provides an exemption for small taking this action? manufacturers and processors, TSCA information collected may serve as a section 8(a)(7) provides no such EPA is proposing this rule pursuant to basis to better understand potential exemption. Therefore, this proposed its authority in TSCA section 8(a)(7) (15 routes of exposure to PFAS and rule under TSCA section 8(a)(7) does U.S.C. 2607(a)(7)). The National Defense potential human health and not exempt small manufacturers from Authorization Act for Fiscal Year 2020 environmental impacts of certain PFAS, reporting and recordkeeping (Pub. L. 116–92, section 7351) amended among other research needs listed in the requirements. See the discussion under TSCA section 8(a) in December 2019, Agency’s PFAS Action Plan. Unit II.D. for further discussion of the adding section 8(a)(7), titled PFAS Data. The industry is expected to incur one- inclusion of small manufacturers in this TSCA section 8(a)(7) requires EPA to time burdens and costs associated with proposed rule. The Agency’s previous promulgate a rule ‘‘requiring each rule familiarization, form completion, experience with TSCA section 8(a)(1) person who has manufactured a CBI claim substantiation, recordkeeping, collections, as well as the Agency’s chemical substance that is a [PFAS] in and electronic reporting activities. understanding of disposal and other any year since January 1, 2011’’ to Under the proposed rule, EPA estimates waste management methods involving report information described in TSCA a total industry burden of approximately PFAS, suggests that most respondents section 8(a)(2)(A) through (G). This 122,104 hours, with a cost of affected by this collection activity may includes a broad range of information, approximately $9.8 million. The be from the following North American such as information related to chemical affected small businesses subject to the Industrial Classification System identity and structure, production, use, proposed rule are expected to incur (NAICS) code categories: exposure, disposal, and health and $1,788,506 in costs for this one-time • NAICS 324—Petroleum and Coal environmental effects. reporting, with per-firm costs estimated Product Manufacturing; TSCA section 14 imposes to range from $16,864 to $92,390. The • NAICS 325—Chemical requirements for the assertion, Agency is expected to incur a burden of Manufacturing; substantiation, and review of approximately 7,361 hours and a cost of • NAICS 326113—Unlaminated information that is claimed as $948,078. The total social burden and Plastics Film and Sheet (except confidential (also known as confidential cost are therefore estimated to be Packaging) Manufacturing; business information (CBI)). approximately 129,465 hours and $10.8 • NAICS 327910—Abrasive Product million, respectively (Ref. 13). C. What action is the Agency taking? Manufacturing; • NAICS 333999—All Other EPA is proposing reporting and F. What should I consider as I prepare Miscellaneous General Purpose recordkeeping requirements under my comments for EPA? Machinery Manufacturing; TSCA section 8(a)(7) for PFAS 1. Submitting CBI. Do not submit this • NAICS 334511—Search, Detection, manufactured in any year since January information to EPA through Navigation, Guidance, Aeronautical, 1, 2011. EPA is providing a comment regulations.gov or email (see the above
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ADDRESSES section for submitting of individuals who will be exposed, to control, plus all information that a comments either by mail or hand each substance or mixture in their reasonable person similarly situated delivery). Clearly mark the part or all of places of work and the duration of their might be expected to possess, control, or the information that you claim to be exposure, and; know.’’ This reporting standard would CBI. For confidential information in a • The manner or method of disposal require reporting entities to evaluate disk or CD–ROM that you mail to EPA, of each substance or mixture, and any their current level of knowledge of their mark the outside of the disk or CD–ROM change in such manner or method. manufactured products (including as CBI and then identify electronically Under TSCA section 8(a)(7), EPA imports), as well as evaluate whether within the disk or CD–ROM the specific must promulgate a rule to require each there is additional information that a information that is claimed as CBI. In person who has manufactured PFAS in reasonable person, similarly situated, addition to one complete version of the any year since 2011 to report the data would be expected to know, possess, or comment that includes information described in TSCA section 8(a)(2)(A) control. This standard carries with it an claimed as CBI, a copy of the comment through (G) to EPA. exercise of due diligence, and the that does not contain the information B. What are PFAS? information-gathering activities that claimed as CBI must be submitted for may be necessary for manufacturers to PFAS are synthetic organic inclusion in the public docket. achieve this reporting standard may compounds that do not occur naturally Information so marked will not be vary from case-to-case. in the environment. PFAS contain an disclosed except in accordance with alkyl carbon on which the hydrogen This standard would require that procedures set forth in 40 CFR part 2. atoms have been partially or completely submitters conduct a reasonable inquiry 2. Tips for preparing your comments. replaced by fluorine atoms. The strong within the full scope of their When preparing and submitting your carbon-fluorine bonds of PFAS make organization (not just the information comments, see the commenting tips at some of them resistant to degradation known to managerial or supervisory http://www.epa.gov/dockets/ and thus highly persistent in the employees). This standard may also comments.html. environment (Refs. 1 and 2). Some of entail inquiries outside the organization II. Background these chemicals have been used for to fill gaps in the submitter’s decades in a wide variety of consumer knowledge. Such activities may, though A. What is TSCA Section 8(a)? and industrial products (Ref. 1). Some not necessarily, include phone calls or TSCA section 8(a)(1) authorizes EPA PFAS have been detected in wildlife, email inquiries to upstream suppliers or to promulgate rules which require including higher trophic organisms, downstream users or employees or other entities, that are not considered small indicating that at least some PFAS have agents of the manufacturer, including manufacturers or processors, who the ability to bioaccumulate (Ref. 2). persons involved in the research and manufacture, process, or propose to Some PFAS can accumulate in humans development, import or production, or manufacture or process a chemical and remain in the human body for long marketing of the PFAS. Examples of substance, to maintain such records and periods of time (e.g., months to years) types of information that are considered submit such reports as the EPA (Refs. 1, 2, and 3). As noted in EPA’s to be in a manufacturer’s possession or Administrator may reasonably require. PFAS Action Plan (Ref. 1), because of control, or that a reasonable person Similarly, under those rules, entities the widespread use of PFAS in similarly situated might be expected to who manufacture, process, or propose to commerce and their tendency to persist possess, control, or know include: Files manufacture or process a mixture or a in the environment, most people in the maintained by the manufacturer such as chemical substance in small quantities United States have been exposed to marketing studies, sales reports, or (subject to limitations) must maintain PFAS. As a result, several PFAS have customer surveys; information records and submit reports to the extent been detected in human blood serum contained in standard references necessary for the effective enforcement (Refs. 1, 2, 3, and 4). showing use information or of TSCA. Under TSCA section 8(b), EPA concentrations of chemical substances Under TSCA section 8(a)(2), EPA may maintains the TSCA Chemical in mixtures, such as a Safety Data Sheet require recordkeeping and reporting of Substance Inventory (‘‘Inventory’’), or a supplier notification; and the following information: which contains all existing chemical information from the Chemical • The covered common or trade substances manufactured, processed, or Abstracts Service (CAS) or from Dun & name, chemical identity and molecular imported in the United States that do Bradstreet (D–U–N–S). This information structure of each chemical substance or not qualify for an exemption or may also include knowledge gained mixture; exclusion under TSCA (Ref. 5). EPA has through discussions, conferences, and • Categories or proposed categories of identified 1,346 PFAS on the Inventory technical publications. This definition use for each substance or mixture; as of April 2021, 669 of which are on is identical to the definition of the same • Total amount of each substance or the active Inventory (i.e., in U.S. term at 40 CFR 704.3. In addition, this mixture manufactured or processed, the commerce). The list of active chemicals is the same reporting standard amounts manufactured or processed for includes those known to be in employed in the TSCA section 8(a) each category of use, and reasonable commerce after June 2006. Chemical Data Reporting (CDR) rule (see estimates of the respective proposed 40 CFR 711.15). EPA has also provided amounts; C. What would be the reporting CDR reporting guidance materials on • Descriptions of byproducts standard? this reporting standard, including resulting from the manufacture, EPA is proposing that manufacturers hypothetical examples of applying the processing, use, or disposal of each will report information to the extent that ‘‘known to or reasonably ascertainable substance or mixture; the information is known to or by’’ reporting standard in the context of • All existing information concerning reasonably ascertainable by the collecting processing and use data for the environmental and health effects of manufacturer (see TSCA section 8(b)(2)). CDR (Ref. 6, pages 45–47). Therefore, each substance or mixture; ‘‘Known to or reasonably ascertainable EPA anticipates many reporters under • The number of individuals exposed, by’’ would be defined to include ‘‘all this proposed rule will be familiar with and reasonable estimates on the number information in a person’s possession or this reporting standard, and resources
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are available to support those reporters PFAS Action Plan to identify and better includes per- and polyfluorinated who may not be familiar with the understand these chemicals and to substances that structurally contain the standard. EPA acknowledges that it is increase scientific research on them. unit R-(CF2)-C(F)(R′)R″. Both the CF2 possible that an importer, particularly EPA intends to use information on and CF moieties are saturated carbons an importer of articles containing PFAS, these chemicals to support assessments and none of the R groups (R, R′ or R″) may not have knowledge that they have of new and existing chemicals under can be hydrogen. It should be noted that imported PFAS and thus not report TSCA. For instance, information this structural definition of PFAS is a under this rule, even after they have collected under this proposed rule will working definition which has been used conducted their due diligence under help inform future assessments of by EPA’s Office of Pollution Prevention this reporting standard as described in potential exposure to these PFAS. The and Toxics when identifying PFAS on this paragraph. Such an importer should Agency would also benefit from the TSCA Inventory. This definition document its activities to support any receiving all existing information may not be identical to other definitions claims it might need to make related to related to human health and of PFAS used within EPA and/or other due diligence. environmental effects of such organizations. To assist potential In the event that a manufacturer does substances, in order to fulfill additional reporters with determining whether not have actual data (e.g., measurements environmental protection mandates certain substances may be covered or monitoring data) to report to EPA, the beyond the TSCA program. For under this structural definition, EPA has manufacturer would be required to instance, information on PFAS use, identified specific PFAS covered by this make ‘‘reasonable estimates’’ of such exposure, and effects may be used to proposed rule. These will be included information. ‘‘Reasonable estimates’’ inform regulatory activities under the as non-exhaustive examples in the rule may rely, for example, on approaches Safe Drinking Water Act (42 U.S.C. 300f where it is possible to do so without such as mass balance calculations, et seq.), the Resource Conservation and divulging information claimed as CBI. emissions factors, or best engineering Recovery Act (42 U.S.C. 6901 et seq.), The scope of PFAS examples listed in judgment. and the Comprehensive Environmental this proposal includes: • All PFAS listed as active on the D. Why are small businesses not Response, Compensation, and Liability TSCA Inventory. This includes PFAS excluded from reporting similar to Act (42 U.S.C. 9601 et seq.), while data that are identified by CAS number; Chemical Data Reporting (CDR) and on PFAS manufacturing sites and confidential chemicals whose generic other section 8(a) reporting? disposal methods may support contaminants characterizations names contain ‘‘fluor’’ and are Unlike TSCA section 8(a)(1), which conducted to support contaminated site identified by Accession number; and provides an express exemption for small work and solid waste management confidential chemicals whose generic manufacturers and processors, TSCA programs. names do not contain ‘‘fluor’’, and section 8(a)(7) specifically states that Additionally, TSCA section 9(e) therefore, are not listed by CASRNs, ‘‘each person who has manufactured a requires the EPA Administrator to make Accession numbers, or low-volume chemical substance that is a information related to exposure or exemptions (LVE) case numbers (see perfluoroalkyl or polyfluoroalkyl releases available to other EPA offices or note on structural diagram examples substance’’ shall be subject to the rule. federal agencies if such exposures may below). Rather than amend TSCA section be prevented or reduced under another • All PFAS that are subject to TSCA 8(a)(1), Congress chose to add an law. EPA may share such information section 5 (new chemicals) LVE entirely new, standalone subsection to collected under this proposed rule as applications per 40 CFR 723.50 that TSCA section 8(a). This indicates an appropriate. have been granted by EPA. This intent for TSCA section 8(a)(7) to includes the PFAS that were subject to constitute separate, freestanding III. Summary of Proposed Reporting granted LVE applications that have rulemaking authority; therefore, it is not and Recordkeeping Requirements since been withdrawn by the LVE constrained by requirements and EPA is proposing reporting and application submitter. Additional provisions in TSCA section 8(a)(1). recordkeeping requirements for discussion on LVEs is below. However, in carrying out TSCA manufacturers of PFAS pursuant to Under TSCA section 5, any person section 8, EPA shall, to the extent TSCA section 8(a)(7). who intends to manufacture a chemical feasible: (A) Not require reporting which not on the TSCA Inventory must first is unnecessary or duplicative; (B) A. What chemical substances would be notify EPA. Typically, this is done by Minimize the cost of compliance with reportable under this rule? submission of a premanufacture notice TSCA section 8 and the rules issued 1. Reportable chemicals substances. (PMN) (Ref. 8). However, for low- thereunder on small manufacturers and Under TSCA section 8(a)(7), EPA must volume chemical substances (i.e., processors; and (C) Apply any reporting collect information on chemical chemical substances manufactured at no obligations to those persons likely to substances that are ‘‘perfluoroalkyl or more than 10,000 kg per year) have information relevant to the polyfluoroalkyl’’ substances or PFAS. companies can submit a LVE effective implementation of this EPA has determined that any PFAS that application to EPA per 40 CFR 723.50. subchapter (TSCA section 8(a)(5)). fall within the structural definition, EPA may either grant or deny an LVE described below, are the PFAS referred submission after review, but LVEs that E. How will EPA use the information? to in TSCA section 8(a)(7). For this are granted are not listed on the TSCA section 8(a)(7) is silent on how proposed rule, EPA has identified at Inventory, unlike PMN chemical the information collected under the least 1,364 chemical substances and substances. Therefore, EPA is also TSCA section 8(a)(7) rule is to be used. mixtures that are PFAS and would providing a list of PFAS chemicals for However, collecting information on potentially be subject to reporting under which EPA granted an LVE notice. PFAS identities, uses, production the final rule, if they have been LVE submitters may choose to volumes by category of use, byproducts, manufactured in any year since January withdraw their granted LVE application. environmental and health effects, 1, 2011. In order to compile a comprehensive workers exposure, and disposal For the purposes of this proposed dataset as authorized under TSCA supports the Agency’s mission in the action, the structural definition of PFAS section 8(a)(7), EPA is including these
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withdrawn LVE submissions in the list manufacturers, including article domestically manufactured production of examples subject to this proposed importers, may not have such volume and the total annual imported rule if they were submitted since 2011. information known to or reasonably volume separately, only for the • This proposed rule will also ascertainable by them and may not meet principal reporting year (e.g., 2019 for include structural diagrams to capture the reporting standard as described in the 2020 reporting cycle), but reporting any PFAS whose CAS or Accession Unit II.C. To this end, information that only the combined total annual numbers could not be divulged due to helps EPA better understand data gaps production volume is required for the CBI claims, whose identity is not listed is useful information for EPA to have. intervening years. In this case, a reporter on the TSCA Inventory because it is Therefore, articles are within the scope under this proposed rule would be able subject to an LVE, or which is a of reportable substances under this to indicate that the two different byproduct not listed on the Inventory proposed rule, though EPA is requesting production volumes have been and not subject to an LVE, yet meets the comments on whether imported articles previously submitted to EPA for the structural definition. The list of containing PFAS should be within CDR reporting year(s), but would still identified PFAS and structural diagrams scope (see Unit IV.1). need to report for the intervening year(s) can also be found in the docket (Ref. 7). 2. Proposed exceptions to reporting not previously submitted under CDR. The PFAS included in the list and for duplicative reporting. TSCA section Additionally, there are some data identified by the structural diagrams are 8(a)(5) requires EPA, to the extent elements for which CDR reporters may examples of substances that meet this feasible when carrying out TSCA have previously reported information to rule’s definition of PFAS; it is not a section 8, to avoid requiring EPA, although these data elements were comprehensive list of all substances unnecessary or duplicative reporting. only added to the CDR reporting within this rule’s scope. The Agency seeks to avoid collecting requirements in 2020. Therefore, some EPA is providing these examples of data on PFAS that would duplicate manufacturers under this proposed rule PFAS for the purpose of assisting information already reported to the may have submitted the following manufacturers in determining whether a Agency. While developing this rule EPA information to CDR for some years chemical substance they have reviewed the data elements submitted covered by this proposed rule, but not manufactured in any year since 2011 under the Chemical Data Reporting Rule all, and would still be required to report meets this proposed rule’s definition of and determined that there may be some this information for the missing year(s): PFAS. Because the Inventory’s active overlap with the information requested • Domestically manufactured designation dates back to June 2006, it under the proposed rule. EPA is production volume; is possible for a firm to have proposing to allow reporting entities to • Imported production volume; manufactured one of these listed PFAS indicate in the reporting tool that they • Volume directly exported; and yet not be required to report under this have previously provided such • Indicator for imported but never proposed rule, if they have information to EPA through CDR for physically at site. manufactured it only in the period prior certain data elements. The Agency has EPA welcomes public comment on to January 1, 2011. identified the following data elements concerns related to duplicative This list was developed as of April which the reporter may be able to reporting (see Unit V.). 2021. EPA anticipates updating this list indicate has already been submitted to B. When would reporting be required? prior to promulgating the final rule, EPA: both in response to public comment, • Physical state of the chemical or EPA proposes that persons who have and as a result of PMNs added to the mixture; manufactured a PFAS at any time since Inventory and LVEs granted by EPA • Industrial processing and use type, January 1, 2011, would report to EPA between April 2021 and the date of sector(s), functional category(ies), and during a six-month submission period, publication of the final rule. percent of production volume for each which would begin six months For the purposes of this proposed use; following the effective date of the final rule, articles containing PFAS, • Consumer and/or commercial rule. Therefore, manufacturers would including imported articles containing indicator, product category(ies), ultimately have one year following the PFAS (such as articles containing PFAS functional category(ies), percent of effective date of the final rule to collect as part of surface coatings), are included production volume for each use, and submit all required information to in the scope of reportable chemical indicator for use in products intended EPA. EPA believes by providing six substances. TSCA does not define for children, and maximum months between the effective date of the articles, nor does the statute define concentration in the product, and; rule and the start of the submission articles as a category of substances • Number of workers reasonably period, this would allow sufficient time exclusive of chemical substances. EPA likely to be exposed for each for both the Agency to finalize the therefore considers its ability to regulate combination of industrial processing or reporting tool and for reporters to chemical substances to encompass use operation, sector, and function, and familiarize themselves with the rule and authority to regulate articles containing the number of commercial workers compile the required information. Since such chemical substances. Additionally, reasonably likely to be exposed if the this section 8(a)(7) reporting rule will be the Agency would benefit from PFAS is contained in a commercial collecting similar information as CDR, collecting the requested information on product. EPA anticipates many reporters will be PFAS-containing articles (including If a manufacturer covered under this familiar with the types of information articles containing PFAS as part of proposed rule has previously submitted requested and how to report. The CDR surface coatings) because the required information to EPA for some submission period is four months, every information would improve the years since 2011, but not for all years, four years. Since this proposed rule Agency’s knowledge of various products EPA is proposing that the manufacturer spans a longer time than the four-year which may contain PFAS, their may indicate in the reporting tool the CDR reporting cycle, EPA acknowledges categories of use, production volumes, year(s) for which the manufacturer has additional time may be needed in the and exposure data. Such data are not already submitted that data to EPA as PFAS submission period. EPA believes currently known to EPA. However, EPA part of CDR. For instance, CDR reporters that six months is adequate time for acknowledges that some article are required to submit the total annual submissions, in addition to the six-
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month period between the effective date b. Chemical ID(s) (CASRN, TSCA A list of the proposed reporting and the start of the submission period. Accession Number, or LVE case requirements is available in the docket EPA is also asking for public number); for public review (Ref. 10). comment on the submission period start c. Indicator for whether the EPA developed an information date and duration (see Unit V.). byproduct(s) production resulted from reporting platform for CDR (Ref. 9) and manufacture, process, use, or disposal; intends to modify it for purposes of this C. What information would be reported? and proposed rule. Certain information that TSCA section 8(a)(7) specifies that, d. Indicator for whether the is requested in the CDR that falls under under the final rule, manufacturers byproduct(s) is released to the TSCA section 8(a)(2)(A) through (G) would report on ‘‘information described environment; if so, volume of would be required by this proposed in subparagraphs (A) through (G) of byproduct(s) released and to which rule, such as information on specific paragraph (2) [of section 8].’’ Therefore, environmental media. chemical identity, categories of use, this TSCA section 8(a)(7) rule proposes 14. Worker exposure: Description of production volume, byproducts, and one-time reporting of the information worker activity(ies) at manufacturing number of persons exposed and described in section 8(a)(2)(A) through site. duration of exposure (see Unit III.A.2. (G), which includes specific chemical 15. Worker exposure at the for the discussion on duplicative identity, categories of use, production manufacturing site: reporting). In instances where PFAS volume, byproducts, environmental and a. Number of workers reasonably manufacturers under this proposed rule health effects, number of persons likely to be exposed at the have already reported the requested exposed and duration of exposure, and manufacturing site, for each worker information to EPA, they will not be disposal. activity; required to re-report. As discussed in Specifically, EPA is proposing to b. Maximum duration of exposure for Unit III.A.2, EPA is proposing the request the following information: any worker, for each worker activity reporters simply indicate they have 1. Chemical name (multiple if (both hours per day and days per year). already submitted such information to mixture), or the generic name(s) if the 16. Worker exposure for each EPA. chemical name(s) is CBI. industrial process and use: Additionally, any person required to 2. Chemical ID(s) (CASRN, TSCA a. Number of workers reasonably report under this proposed rule would Accession Number, or LVE case likely to be exposed for each industrial supply the information identified in the number). process and use; form to the extent it is known to or 3. Trade name or common name. b. Maximum duration of exposure for reasonably ascertainable by them, or a 4. Representative molecular structure. any worker for each industrial process reasonable estimate when actual data 5. Physical form of chemical or and use (both hours per day and days are not available (i.e., known or mixture. per year). reasonably ascertainable), as explained 6. Industrial processing and use: 17. Worker exposure for each in more detail in Unit II.D. a. Type of process or use; commercial use: b. Sector(s); D. What type of environmental and a. Number of workers reasonably c. Functional use category(ies); health effects information is the Agency d. Percent of production volume for likely to be exposed for each requesting? each use. commercial use; EPA is requesting ‘‘all existing 7. Consumer and commercial use: b. Maximum duration of exposure for information concerning the a. Indicator for whether this is a any worker for each commercial use environmental and health effects’’ of the consumer and/or commercial product; (both hours per day and days per year). PFAS chemicals covered by this rule. It b. Product category; functional use 18. Description of disposal is intended that ‘‘environmental and category(ies); process(es), and description of any health effects information’’ be c. Percent production volume for each changes to the disposal process or interpreted broadly. This information use; maximum concentration in any methods since 2011. would include but is not limited to: product; 19. Total volume released: • Toxicity information (e.g., in silico, d. Indicator for use in products a. Land disposal; in vitro, animal test results, human intended for children. b. Water releases; data); and 8. Production volumes: c. Air releases. • Other data relevant to a. Domestically manufactured; 20. Total volume incinerated (on-site) environmental and health effects b. Imported; and incineration temperature. including range-finding studies, c. Directly exported; 21. All existing information related to preliminary studies, OSHA medical d. Maximum first 12 months health and environmental effects, using screening or surveillance standards production volume; the Organization of Economic reports, adverse effects reports. e. Maximum yearly production Cooperation and Development (OECD) Chemical identity is always part of a volume in any 3 years. harmonized template relevant to the health and safety study, and TSCA 9. Indicator for imported but never existing study, as well as full study section 14(b) limits the extent to which physically at site. reports and any other supporting health and safety studies and 10. Indicator for site-limited. information (for additional information information from studies may be 11. Maximum quantity stored on-site on the use of the OECD harmonized withheld from the public as at any time. templates, see the discussion in the confidential. 12. Total volume recycled (on-site). following section, Unit III.D.). EPA is proposing to require all 13. For byproducts produced during 22. Other data relevant to health and existing information concerning health the manufacture, processing, use, or environmental effects (e.g., range- and environmental effects be submitted disposal of each PFAS: finding studies, preliminary studies, in the format of OECD harmonized a. Chemical name(s) or description (if OSHA medical screening or surveillance templates, where such templates exist identity is unknown), or the generic standards reports, adverse effects for the type of data, in addition to name(s) if the byproduct name(s) is CBI; reports). submitting full study reports. OECD
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templates are accessible to the public applications to build and submit data initiated, the user is asked to certify the online at https://www.oecd.org/ehs/ packages to EPA within a secure, information and provide requested templates/harmonised-templates.htm encrypted environment. CISS information to complete the submission (Ref. 11). A standardized format such as applications provide for the capture of process. The data package is then sent, the OECD templates will improve the both fielded data as well as the in an encrypted state, to the Agency. efficiency of review and organization of attachment of additional information The user can login to the application the submitted data. EPA believes that using a wide variety of file types. and check the submission status of their some of the data will already be in the Submitted information is rendered into data package. Upon successful receipt of OECD template if the company had PDF and XML formats, which are the submission by EPA, the submission already submitted the studies under the provided to submitters in the form of a status of the submissions will be flagged European Union’s Registration, Copy of Record. as ‘‘Completed’’ and a confirmation Evaluation, Authorization and EPA is proposing to require email will be sent to the submitter’s Restriction of Chemicals (REACH) submitters to follow the same CDX inbox. The CDX inbox is used to regulation. In addition to the required submission procedures used for other notify the users when submissions are template format, those subject to this TSCA submissions, i.e., to register with received by EPA or to notify users when rulemaking must submit any associated EPA’s CDX and use CISS to prepare a a submission-specific communication full study reports or underlying data as data file for submission. Registration has been received and how to locate and support documents. The full study enables CDX to authenticate user access the communication. Information reports and support documents are identity. To submit electronically to on accessing the CDX user inbox is necessary for EPA to understand the full EPA via CDX, individuals must first provided in the guidance document for context and evaluate the quality of the register with CDX at http://cdx.epa.gov/ CDX at https://cdx.epa.gov/FAQ#CSPP. data, which is necessary for the Agency . To register in CDX, the CDX registrant To access CISS log into CDX using the to review if data were to be used for any (also referred to as ‘‘Electronic Signature link: https://cdx.epa.gov/ and click on future Agency actions. Holder’’ or ‘‘Public/Private Key the appropriate user role associated EPA is requesting comments on what Holder’’) agrees to the Terms and with the CSPP data flow. For further environmental and health effects Conditions, provides information about instructions, visit https://www.epa.gov/ information should be within the scope the submitter and organization, selects a assessing-and-managing-chemicals- of this rule. EPA is also requesting user name and password, and follows under-tsca/electronic-reporting- comment on whether any information the procedures outlined in the guidance requirements-certain-information (Ref. proposed to be requested is duplicative document for CDX available at https:// 12). Procedures for reporting chemical of information collected by EPA under cdx.epa.gov/FAQ#CSPP. substances under this proposed rule other federal statutes and, thus, should Within CDX, CISS is available under would be similar. be excluded. Please identify the the ‘‘Submission for Chemical Safety EPA believes that electronic reporting information that you believe is and Pesticide Program (CSPP)’’ CDX reduces the reporting burden for duplicative and the statute under which flow. Users who have previously submitters by reducing the cost and it is submitted. submitted under TSCA through CDX, time required to review, edit, and including submitting information under transmit data to the Agency. It also E. How would information be submitted sections 4 and 5, CDR, or reporting allows submitters to share a draft to EPA? under the TSCA Inventory Notification submission within their organization, EPA is proposing to require electronic (Active-Inactive) Requirements rule (82 and more easily save a copy for their reporting similar to the requirements FR 37520, Aug. 11, 2017) (FRL–9964– records or future use. Additionally, EPA established in 2013 for submitting other 22), will already have the CSPP flow believes that many of the anticipated information under TSCA (see 40 CFR linked to their account. Users reporting reporters under this proposed rule have 704.20(e)). EPA is proposing to require to EPA using other CDX housed experience with reporting electronically submitters to use EPA’s CDX, the applications, including the Toxics to EPA through CDX. The resource and Agency’s electronic reporting portal, for Release Inventory TRI–MEweb, would time requirements to review and process all reporting under this rule. In 2013, be able to add the CSPP flow to their data by the Agency will also be reduced EPA finalized a rule to require existing CDX accounts. and document storage and retrieval will electronic reporting of certain All submitters would be required to require fewer resources. EPA expects to information submitted to the Agency use CISS to prepare their submissions. benefit from receiving electronic under TSCA sections 4, 5, 8(a) and 8(d) CISS guides users through a ‘‘hands-on’’ submissions and communicating (Ref. 12, page 72818). The final rule process of creating an electronic electronically with submitters. followed two previous rules requiring submission. Once a user completes the similar electronic reporting of relevant data fields and attaches F. What can a submitter claim as information submitted to EPA for TSCA appropriate PDF files, or other file confidential? CDR and for PMNs. In proposing to types, such as XML files, the web-based The 2016 amendments to TSCA require similar electronic reporting tool validates the submission by included new procedural requirements under this rule, EPA intends to save performing a basic error check and for the submission and Agency time, improve data quality and increase makes sure all the required fields and management of CBI claims, including efficiencies for both the submitters and attachments are provided and complete. new substantiation requirements, the Agency. Further instructions for uploading PDF generic name requirements, a EPA developed the Chemical attachments or other file types, such as certification requirement, and a Information Submission System (CISS) XML, and completing metadata requirement for Agency review of for use in submitting data electronically information would be available through specified CBI claims within 90 days to the Agency for TSCA sections 4, 5, 6, CISS reporting guidance. after receipt of the claim, 15 U.S.C. 8(a), 8(b), 8(d), 8(e), and Title VI. CISS, CISS, a web-based reporting tool, also 2613. The Agency recently finalized a a web-based reporting tool housed allows the user to choose to ‘‘Preview,’’ rule amending the CDR reporting within the CDX environment, provides ‘‘Save,’’ or ‘‘Submit’’ the data package. requirements that implemented the new submitters with user-friendly Once the submission process is requirements for confidentiality claims
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in CDR submissions (Ref. 13). EPA is G. What are the recordkeeping the potential costs for PFAS similarly proposing that a person requirements? manufacturers for this proposed rule submitting a reporting form under this EPA proposes that each person who is (Ref. 14). EPA is specifically seeking action may claim portions of the form as subject to the reporting requirements additional information and data that confidential, consistent with TSCA must retain records that document any EPA could consider in developing the section 14. TSCA requires that the information reported to EPA. Consistent final economic analysis. In particular, submitter make several statements with the CDR rule, EPA is proposing a EPA is seeking data that could facilitate relating to the treatment of the five-year recordkeeping period, the Agency’s further evaluation of the potentially affected industry and firms, information as confidential and beginning on the last date of the including data related to potential competitive harm of disclosure, and to submission period. The five-year impacts for those small businesses and certify that these statements and any retention requirement corresponds with importers that would be subject to the statute of limitations for violations substantiation provided are true and reporting. The agency is specifically and is necessary to preserve records to correct. Consistent with the format of interested in available data on small support future regulatory activities that other TSCA reporting forms, the entity importers of articles containing would be informed by this information statements and certification would be PFAS for its impact analysis for small collection. Further, EPA believes the combined into a single certification entities. EPA is also especially burden of retaining these records, which statement. There is also a requirement interested in available data or other that when a chemical identity is are likely electronic, is minimal. measures of the number of facilities or claimed as CBI, a non-CBI structurally IV. Request for Comments firms that might manufacture such descriptive generic name be provided. EPA is seeking public comment on all materials, including importing PFAS in articles. To help reporters, EPA’s reporting aspects of this proposed rule and the 3. Submission period. EPA is platform can auto-populate generic Economic Analysis prepared in support proposing a six-month submission names on the Inventory using EPA’s of this proposed rule (Ref. 14). In Substance Registry Services (SRS). period for reporting entities, which will addition to specific requests for begin six months following the effective TSCA section 14 further requires that comment included throughout this date of the final rule. Thus, PFAS substantiation be provided when a document, EPA is interested in manufacturers will have one year confidentiality claim is asserted. comments pertaining to the specific following the effective date of the final However, TSCA section 14(c)(2) issues discussed in this unit. EPA rule to submit all required information exempts certain information from the encourages all interested persons to to EPA. Since many of the reporters substantiation requirements (e.g., submit comments on the issues under this proposed rule have reported specific production volume). Under the identified in this Notification and to under CDR, EPA is basing the proposed proposed rule, specific production or identify any other relevant issues as submission period, in part, on the CDR import volumes of the manufacturer, as well. This input will assist the Agency submission period. Given the four- well as the percent production volume in developing a final rule that month submission period for the CDR for each consumer or commercial use, successfully addresses information reporting cycle every four years, the needs while minimizing potential need not be substantiated. All other Agency believes six months is sufficient reporting burdens associated with the information submitted under this time for manufacturers to report the rule. EPA requests that commenters proposed rule would not be exempt required information under this making specific recommendations from substantiation requirements. proposed rule, noting that the scope of include supporting documentation this rule covers more years than a CDR Any information which is claimed as where appropriate. reporting cycle. Reporters will also have confidential will be disclosed by EPA 1. Identifying the chemical substances the additional six months between the only in accordance with the procedures that would be subject to reporting. EPA effective date of the rule and the start of and requirements of TSCA section 14 has provided a structural definition of the submission period for rule and 40 CFR part 2. TSCA limits PFAS for the purposes of this proposed familiarization and data gathering. confidentiality protections for health rule’s scope. To assist reporting entities Additionally, the six months between and safety studies, information from with determining whether a chemical the effective date of the final rule and health and safety studies (except to the substance or mixture falls within this the beginning of the submission period extent such studies or information scope, EPA has also provided a list of allows the Agency time to finalize the reveals ‘‘information that discloses PFAS (identified by CASRN, TSCA reporting software. Congress required processes used in the manufacturing or Accession Number, or LVE case EPA to promulgate the rule no later than processing of a chemical substance or number) and structural diagrams to January 1, 2023; therefore, EPA mixture or, in the case of a mixture, the include any PFAS whose chemical anticipates the reporting period for this portion of the mixture comprised by any identity is not specifically listed due to proposed rule will precede the reporting CBI protections. EPA is soliciting of the chemical substances in the period for the 2024 CDR reporting cycle comment on this approach for defining mixture’’), and certain other (June–September 2024). EPA is or identifying PFAS. Additionally, EPA information. Submitters asserting a specifically asking for comment on is interested in comments identifying additional considerations related to the confidentiality claim for such specific substances of interest and the start date and duration of the information in health and safety studies rationale for the interest, that may be submission period. will be required to submit a sanitized outside the scope of this proposed 4. Duplicative reporting. EPA has copy of the study, removing only that definition. EPA is also interested in identified the data elements in this information which is claimed as public comments related to including proposed rule for which information confidential and that discloses the imported articles containing PFAS may have been submitted to EPA process or portion of mixture within the scope of this proposed rule. previously under CDR (see Unit III.D.), information described in TSCA section 2. Considerations for the Agency’s which the Agency is proposing to allow 14(b). economic analysis. EPA has evaluated manufacturers to indicate through the
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reporting tool has already been this rule should be provided to the https://www.atsdr.cdc.gov/toxprofiles/ submitted rather than re-submit the general public. tp200.pdf. information. EPA is requesting comment 8. Joint submissions. EPA is 5. EPA. TSCA Chemical Substance Inventory. on whether any additional data (No date). Available at https:// requesting public comment on whether www.epa.gov/tsca-inventory. [Accessed elements may be duplicative of the Agency should enable the use of November 12, 2020]. information collected by EPA under joint submissions in specific 6. EPA. Instructions for Reporting: 2020 TSCA or other federal statutes. Please circumstances, similar to CDR joint TSCA Chemical Data Reporting. identify the information that you believe submissions. Joint submissions may be November 2020. Available at https:// is duplicative and the statute under necessary under circumstances when: www.epa.gov/sites/production/files/ which it is submitted, as well as the (1) A company imports a chemical or a 2020-12/documents/instructions_for_ _ _ _ _ precision of the information if mixture under a trade name and the reporting 2020 tsca cdr 2020-11-25.pdf. appropriate (for example, whether the substance identity, or individual 7. EPA. Examples of PFAS and Structural data are submitted as a range or as an Diagrams included in the Proposed Rule components, are not known to the for Reporting and Recordkeeping integer to the nearest significant digits). importer, or (2) a manufacturer cannot 5. Scope of environmental and health Requirements for PFAS. October 2020. provide the entire chemical identity of 8. EPA. Filing a Pre-manufacture Notice with effects information collected. EPA is a chemical substance it manufactures EPA. (No date). Available at https:// requesting comment on what existing because the chemical substance is www.epa.gov/reviewing-new-chemicals- environmental and health effects manufactured using a reactant having an under-toxic-substances-control-act-tsca/ information should be within the scope identity that the reactant supplier filing-pre-manufacture-notice-epa. of this rule. EPA is proposing to require claims as confidential. In these [Accessed November 12, 2020]. such information be submitted in the circumstances, the supplier has 9. EPA (2020). CDX Chemical Safety and Pesticide Programs (CSPP) Registration form of OECD harmonized templates, to identified that it will not disclose to the the extent they are available, and as full User Guide; Version 3.02. March 6, 2020. manufacturer (or importer) or does not, Available at https://www.epa.gov/ study reports and any supporting itself, know the chemical identity. documents. The Agency is requesting chemical-data-reporting/cspp-cdx- 9. Small manufacturers. EPA is registration-guide. comments on the scope of existing requesting public comment on how the 10. EPA. Data Elements included in the environmental and health information Agency may assist small manufacturers Proposed Rule for Reporting and that may be requested from PFAS with compliance with this proposed Recordkeeping Requirements for PFAS. manufacturers. The Agency is also rule. The Agency appreciates comments October 2020. interested in comments on the proposed 11. OECD. OECD Harmonised Templates. (No related to both regulatory and non- format of these submissions. date). Available at https://www.oecd.org/ 6. Additional information or data regulatory assistance, such as different ehs/templates/harmonised- elements. EPA has provided the list of reporting timelines and outreach. templates.htm. [Accessed November 12, proposed data elements for this rule in V. References 2020]. Unit III.C (Ref. 10), which EPA is 12. EPA (2013). Electronic Reporting under authorized to request under section The following is a list of the the Toxic Substances Control Act; Final Rule. (78 FR 72818, December 4, 2013) 8(a)(7). EPA is interested in public documents that are specifically referenced in this document. The docket (FRL–9394–6). comment on the scope of these 13. EPA (2020). TSCA Chemical Data proposed data elements, including includes these documents and other information considered by EPA, Reporting Revisions Under TSCA whether there are additional data Section 8(a); Final Rule. (85 FR 20122, elements EPA should collect under the including documents that are referenced April 9, 2020) (FRL–10005–56). authority of section 8(a)(7). Specifically, within the documents that are included 14. EPA (2020). Economic Analysis for the EPA is interested in comments on in the docket, even if the referenced Proposed Rule for Reporting and whether the final rule should include a document is not physically located in Recordkeeping Requirements for PFAS. data field allowing reporters to provide the docket. For assistance in locating November 2020. generic names or descriptions in the these other documents, please consult 15. EPA (2020). Information Collection Request Supporting Statement. Proposed event a manufacturer is aware they have the technical person listed under FOR FURTHER INFORMATION CONTACT. Rule ICR: Reporting and Recordkeeping produced or imported a PFAS but are Requirements for PFAS. EPA ICR No. not able to reasonably ascertain the 1. EPA (2019). EPA’s Per- and 2682.01. November 2020. specific PFAS identity. The Agency is Polyfluoroalkyl Substances (PFAS) also requesting comments on additional Action Plan, EPA–823R–18–004. VII. Statutory and Executive Order data elements such as composition February 14, 2019. Available at https:// Reviews www.epa.gov/sites/production/files/ information if a PFAS has a variable _ _ _ Additional information about these composition, analytical methods, and 2019-02/documents/pfas action plan 021319_508compliant_1.pdf. statutes and Executive Orders can be whether occupational exposure 2. EPA (2017). Technical Fact Sheet— found at http://www2.epa.gov/laws- information should distinguish Perfluorooctane Sulfonate (PFOS) and regulations/laws-and-executive-orders. occupational non-users (i.e., those Perfluorooctanoic Acid (PFOA), EPA A. Executive Order 12866: Regulatory nearby but not in direct contact with the 505–F–17–001. November 2017. chemical) from workers (i.e., those who Available at https://www.epa.gov/sites/ Planning and Review and Executive are in direct contact with the chemical). production/files/2017-12/documents/ Order 13563: Improving Regulation and 7. EPA’s use and publication of ffrrofactsheet_contaminants_pfos_pfoa_ Regulatory Review certain non-CBI data. EPA is requesting 11-20-17_508_0.pdf. This action is a significant regulatory public comment on how the Agency 3. EPA (2009). Long-Chain Perfluorinated action that was submitted to the Office may consider using the data received Chemicals (PFCs) Action Plan. December of Management and Budget (OMB) for 30, 2009. Available at https:// under this reporting rule, beyond those www.epa.gov/sites/production/files/ review under Executive Orders 12866 activities previously mentioned in Unit 2016-01/documents/pfcs_action_ (58 FR 51735, October 4, 1993) and II.E. Additionally, the Agency is plan1230_09.pdf. 13563 (76 FR 3821, January 21, 2011). interested in comment on the extent to 4. ATSDR (2018). Toxicology Profile for EPA prepared an analysis of the which non-CBI data submitted under Perfluoroalkyls. June 2018. Available at estimated costs and benefits associated
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with this action (Ref. 13), which is estimates and any suggested methods articles that potentially use PFAS available in the docket and is for minimizing respondent burden to ($1,641–$1,932 per firm); identifying summarized in Unit I.E. Any changes the EPA using the docket identified at suppliers involved ($1,185 per firm); made in response to OMB the beginning of this rule. You may also collecting data from suppliers ($0–644 recommendations have been send your ICR-related comments to per article); and recordkeeping ($12 per documented in the docket for this action OMB’s Office of Information and firm). Details of this analysis are as required by section 6(a)(3)(E) of Regulatory Affairs via email to oira_ presented in the Economic Analysis of Executive Order 12866. [email protected], Attention: the proposed rule (Ref. 14), which is Desk Officer for the EPA. Since OMB is available in the docket. B. Paperwork Reduction Act (PRA) required to make a decision concerning The information collection activities the ICR between 30 and 60 days after D. Unfunded Mandates Reform Act in this proposed rule have been receipt, OMB must receive comments no (UMRA) submitted for approval to the Office of later than July 28, 2021. The EPA will This action does not contain an Management and Budget (OMB) under respond to any ICR-related comments in unfunded mandate of $100 million or the PRA, 44 U.S.C. 3501 et seq. The the final rule. more as described in UMRA, 2 U.S.C. Information Collection Request (ICR) 1531–1538, and does not significantly or C. Regulatory Flexibility Act (RFA) document that EPA prepared has been uniquely affect small governments. The assigned EPA ICR number 2682.01 (Ref. I certify that this action will not have requirements of this action would 15). You can find a copy of the ICR in a significant economic impact on a primarily affect manufacturers the docket for this rule, and it is briefly substantial number of small entities (including importers) of PFAS. The total summarized here. under the RFA (5 U.S.C. 601 et seq.). quantified one-time costs of the The reporting requirements identified The small entities subject to the proposed rule are approximately $9.8 in the proposed rule would enable EPA requirements of this action are million. to meet the statutory obligations manufacturers (including importers) of E. Executive Order 13132: Federalism required by TSCA section 8(a)(7) and PFAS. EPA estimates that 59 small firms collect data related to the identities, would be affected by the proposed rule. This action does not have federalism manufacture, use, exposure, and Of those small firms, 46% would have implications as specified in Executive disposal of PFAS manufactured in the cost impacts of less than 1% of annual Order 13132 (64 FR 43255, August 10, United States since 2011. These revenues, 19% would have impacts 1999). It will not have substantial direct proposed reporting requirements would between 1–3%, and 35% would have effects on the states, on the relationship also help the Agency to collect existing impacts of more than 3% of annual between the national government and information on the health and revenues. The affected small businesses the states, or on the distribution of environmental effects of PFAS. EPA subject to the proposed rule are power and responsibilities among the intends to use information collected expected to incur $1,788,506 in costs for various levels of government. this one-time reporting, with per-firm under the rule to assist in chemical F. Executive Order 13175: Consultation assessments under TSCA, and to inform costs estimated to range from $16,864 to $92,390. However, EPA is unable to and Coordination With Indian Tribal any additional work necessary under Governments environmental protection mandates estimate the number of small entity beyond TSCA. Respondents may claim importers of articles that are subject to This action does not have tribal some of the information reported to EPA this proposed rule due to a lack of implications as specified in Executive under the proposed rule as CBI under available data on importers of articles Order 13175 (65 FR 67249, November 9, TSCA section 14. TSCA section 14(c) containing PFAS. Imported articles are 2000). It will not have substantial direct requires a supporting statement and exempt from the CDR Rule under 40 effects on tribal governments, on the certification for confidentiality claims CFR 711.10(b). Similarly, under TRI relationship between the Federal asserted after June 22, 2016. reporting, listed toxic chemicals government and the Indian tribes, or on Respondents/affected entities: contained in articles that are processed the distribution of power and Manufacturers (including importers) of or otherwise used at a covered facility responsibilities between the Federal PFAS since January 1, 2011. are exempt from reporting threshold government and Indian tribes. Thus, Respondent’s obligation to respond: determinations and release and other E.O. 13175 does not apply to this action. waste management calculations. EPA is Mandatory (15 U.S.C. 2607(a)(7)). G. Executive Order 13045: Protection of Estimated number of respondents: unaware of publicly available data that provides the information on the article Children From Environmental Health 234. Risks and Safety Risks Frequency of response: Once. importers needed to develop the Total estimated burden: 122,104 estimates. Without available data, EPA EPA interprets Executive Order 13045 hours (per year). Burden is defined at 5 does not have a representative subset of (62 FR 19885, April 23, 1997) as CFR 1320.3(b). firms to reference as a basis for applying only to those regulatory Total estimated cost: $9,820,813 (per estimates and thus cannot estimate the actions that concern environmental year), includes no annualized capital or number of importers of articles that will health or safety risks that the Agency operation and maintenance costs. be affected. has reason to believe may An agency may not conduct or However, EPA expects that article disproportionately affect children, per sponsor, and a person is not required to importers may incur a range of costs the definition of ‘‘covered regulatory respond to, a collection of information depending on the number of articles action’’ in section 2–202 of the unless it displays a currently valid OMB they import, their level of knowledge of Executive Order. This action is not a control number. The OMB control their imported articles, the complexity covered regulatory action because it is numbers for the EPA’s regulations in 40 of supply chains, and whether PFAS is not ‘‘economically significant’’ under CFR are listed in 40 CFR part 9. present in their articles. Importers of Executive Order 12866 and it does not Submit your comments on the articles that contain PFAS may incur concern an environmental health risk or Agency’s need for this information, the costs for rule familiarization ($69.79 per safety risk. Although this action would accuracy of the provided burden firm); identifying the type of imported not establish an environmental standard
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intended to mitigate health or safety determining the potential hazards and containing a chemical substance risks, the information that would be risks associated with PFAS chemicals. (including as part of an article) when submitted to EPA in accordance with Although not directly impacting sold to or made available to consumers this proposed rule would be used to environmental justice-related concerns, for their use. inform the Agency’s decision-making this information will enable the Agency Environmental or health effects process regarding chemical substances to better protect human health and the information means any information of to which children may be environment, including in low-income any effect of a chemical substance or disproportionately exposed. This and minority communities. mixture on health or the environment or information may also assist the Agency on both. This includes all health and and others in determining whether the List of Subjects in 40 CFR Part 705 safety studies. chemical substances covered in this Chemicals, Environmental protection, (1) Not only is information which proposed rule present potential risks, Hazardous Materials, Recordkeeping, arises as a result of a formal, disciplined which would allow the Agency and and Reporting Requirements. study included, but other information others to take appropriate action to Dated: June 10, 2021. relating to the effects of a chemical substance or mixture on health or the investigate and mitigate those risks. Michal Freedhoff, environment is also included. Any H. Executive Order 13211: Actions Principal Deputy Assistant Administrator, information that bears on the effects of Concerning Regulations That Office of Chemical Safety and Pollution Prevention. a chemical substance on health or the Significantly Affect Energy Supply, environment would be included. Distribution, or Use Therefore, for the reasons stated in the (2) Examples are: This action is not a ‘‘significant preamble, the Environmental Protection (i) Long- and short-term tests of energy action’’ as defined in Executive Agency proposes to amend 40 CFR mutagenicity, carcinogenicity, or Order 13211 (66 FR 28355, May 22, chapter I by adding part 705 to read as teratogenicity; data on behavioral 2001) because it is not likely to have a follows: disorders; dermatoxicity; significant adverse effect on the supply, pharmacological effects; mammalian PART 705—REPORTING AND distribution, or use of energy and has absorption, distribution, metabolism, RECORDKEEPING REQUIREMENTS not otherwise been designated by the and excretion; cumulative, additive, and FOR CERTAIN PER- AND Administrator of OMB’s Office of synergistic effects; and acute, POLYFLUOROALKYL SUBSTANCES Information and Regulatory Affairs as a subchronic, and chronic effects. ‘‘significant energy action.’’ Sec. (ii) Tests for ecological or other environmental effects on invertebrates, I. National Technology Transfer and 705.1. Scope. 705.3. Definitions. fish, or other animals, and plants, Advancement Act (NTTAA) 705.5. Substances for which reports must be including: Acute toxicity tests, chronic Because this action does not involve submitted. toxicity tests, critical life-stage tests, any technical standards, NTTAA section 705.10. Persons who must report. behavioral tests, algal growth tests, seed 12(d), 15 U.S.C. 272 note, does not 705.15. What information to report. germination tests, plant growth or apply to this action. 705.20. When to report. damage tests, microbial function tests, 705.22. Duplicative reporting. bioconcentration or bioaccumulation J. Executive Order 12898: Federal 705.25. Recordkeeping requirements. tests, and model ecosystem (microcosm) Actions To Address Environmental 705.30. Confidentiality claims. 705.35. Electronic reporting. studies. Justice in Minority Populations and (iii) Assessments of human and Low-Income Populations Authority: 15 U.S.C. 2607(a)(7). environmental exposure, including EPA believes that this action does not § 705.1 Scope. workplace exposure, and impacts of a have disproportionately high and This part specifies reporting and particular chemical substance or adverse human health or environmental recordkeeping procedures for mixture on the environment, including effects on minority populations, low- manufacturers (including importers) of surveys, tests, and studies of: Biological, income populations and/or indigenous certain per- and polyfluoroalkyl photochemical, and chemical peoples, as specified in Executive Order substances (hereafter referred to as degradation; structure/activity 12898 (59 FR 7629, February 16, 1994). PFAS) under section 8(a)(7) of the Toxic relationships; air, water, and soil The requirements of the proposed rule Substances Control Act (TSCA). transport; biomagnification and are directed at manufacturers (including bioconcentration; and chemical and importers) of PFAS chemicals for which § 705.3 Definitions. physical properties, e.g., boiling point, basic production, use, and toxicity Central Data Exchange or CDX means vapor pressure, evaporation rates from information is currently unavailable. EPA’s centralized electronic submission soil and water, octanol/water partition The costs and the benefits of the receiving system. coefficient, and water solubility. proposed rule would not be Chemical Information Submission (iv) Monitoring data, when they have disproportionately distributed across System or CISS means EPA’s electronic, been aggregated and analyzed to different geographic regions or among web-based reporting tool for the measure the exposure of humans or the different categories of individuals. completion and submission of data, environment to a chemical substance or Consumers of these chemical products, reports, and other information, or its mixture. workers who come into contact with successors. Health and safety studies means any these chemical substances, and Commercial use means the use of a study of any effect of a chemical communities neighboring PFAS chemical substance or a mixture substance or mixture on health or the manufacturing sites could benefit from containing a chemical substance environment or on both, including EPA’s assessment of information (including as part of an article) in a underlying information and required under the proposed rule. The commercial enterprise providing epidemiological studies, studies of Agency believes that the information saleable goods or services. occupational exposure to a chemical collected under this proposed rule, if Consumer use means the use of a substance or mixture, toxicological, finalized, will assist EPA and others in chemical substance or a mixture clinical, and ecological studies of a
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chemical substance or mixture, and any Manufacture for commercial purposes distributed as a chemical substance or test performed pursuant to this Act. means: (1) To import, produce, or as part of a mixture or article outside the Known to or reasonably ascertainable manufacture with the purpose of site. Imported chemical substances are by means all information in a person’s obtaining an immediate or eventual never site-limited. possession or control, plus all commercial advantage for the Worker means someone at a site of information that a reasonable person manufacturer, and includes among other manufacture, import, or processing who similarly situated might be expected to things, such ‘‘manufacture’’ of any performs work activities near sources of possess, control, or know. amount of a chemical substance or Industrial function means the a chemical substance or mixture or mixture: directly handles the chemical substance intended physical or chemical (i) For commercial distribution, characteristic for which a chemical or mixture during the performance of including for test marketing. work activities. substance or mixture is consumed as a (ii) For use by the manufacturer, reactant; incorporated into a including use for product research and § 705.5 Substances for which reports must formulation, mixture, reaction product, development, or as an intermediate. be submitted. or article; repackaged; or used. (2) Manufacture for commercial The requirements of this part apply to Industrial use means use at a site at purposes also applies to substances that all chemical substances and mixtures which one or more chemical substances are produced coincidentally during the that are PFAS, consistent with the or mixtures are manufactured (including manufacture, processing, use, or definition of PFAS at § 705.3. This imported) or processed. disposal of another substance or Intended for use by children means includes, but is not limited to, all PFAS mixture, including both byproducts that the chemical substance or mixture is listed or otherwise described in this are separated from that other substance used in or on a product that is or mixture and impurities that remain in section. This section contains 5 listings specifically intended for use by children that substance or mixture. Such of examples of chemical substances or age 14 or younger. A chemical substance byproducts and impurities may, or may mixtures that meet this definition. or mixture is intended for use by not, in themselves have commercial Paragraph (a) of this section is a list of children when the submitter answers chemical substances on the TSCA ‘‘yes’’ to at least one of the following value. They are nonetheless produced for the purpose of obtaining a Inventory that have an associated questions for the product into which the Chemical Abstract Services (CAS) submitter’s chemical substance or commercial advantage since they are part of the manufacture of a chemical Registry Number. Paragraph (b) of this mixture is incorporated: section is a list of chemical substances (1) Is the product commonly product for a commercial purpose. Manufacturer means a person who that have an associated TSCA Accession recognized (i.e., by a reasonable person) Number. Paragraph (c) of this section is as being intended for children age 14 or manufactures a chemical substance. Per- and polyfluoroalkyl substances or a list of chemical substances that have younger? both an associated low-volume (2) Does the manufacturer of the PFAS, for the purpose of this part, exemption (LVE) case number and a product state through product labeling means any chemical substance or non-confidential CASRN. Paragraph (d) or other written materials that the mixture that structurally contains the of this section is a list of chemical product is intended for or will be used unit R-(CF2)-C(F)(R′)R″. Both the CF2 substances with an LVE case number by children age 14 or younger? and CF moieties are saturated carbons. (3) Is the advertising, promotion, or None of the R groups (R, R′ or R″) can but no CASRN. Paragraph (e) of this marketing of the product aimed at be hydrogen. section is a list of structural diagram children age 14 or younger? Site-limited means a chemical examples of PFAS and those CASRNs. Manufacture means to manufacture substance is manufactured and (a) Examples of PFAS by CAS for commercial purposes. processed only within a site and is not Registry Number.
CASRN Chemical name
76–14–2 ...... Ethane, 1,2-dichloro-1,1,2,2-tetrafluoro-. 76–15–3 ...... Ethane, 1-chloro-1,1,2,2,2-pentafluoro-. 76–16–4 ...... Ethane, 1,1,1,2,2,2-hexafluoro-. 76–19–7 ...... Propane, 1,1,1,2,2,3,3,3-octafluoro-. 115–25–3 ...... Cyclobutane, 1,1,2,2,3,3,4,4-octafluoro-. 124–73–2 ...... Ethane, 1,2-dibromo-1,1,2,2-tetrafluoro-. 306–91–2 ...... Phenanthrene, 1,1,2,2,3,3,4,4,4a,4b,5,5,6,6,7,7,8,8,8a,9,9,10,10,10a-tetracosafluorotetradecahydro-. 306–94–5 ...... Naphthalene, 1,1,2,2,3,3,4,4,4a,5,5,6,6,7,7,8,8,8a-octadecafluorodecahydro-. 307–24–4 ...... Hexanoic acid, 2,2,3,3,4,4,5,5,6,6,6-undecafluoro-. 307–30–2 ...... 1-Octanol, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-pentadecafluoro-. 307–34–6 ...... Octane, 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-octadecafluoro-. 307–35–7 ...... 1-Octanesulfonyl fluoride, 1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluoro-. 307–55–1 ...... Dodecanoic acid, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,12-tricosafluoro-. 307–60–8 ...... Dodecane, 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12-pentacosafluoro-12-iodo-. 307–63–1 ...... Tetradecane, 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13,14,14-nonacosafluoro-14-iodo-. 307–70–0 ...... 1-Undecanol, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11-eicosafluoro-. 307–98–2 ...... 2-Propenoic acid, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-pentadecafluorooctyl ester. 311–89–7 ...... 1-Butanamine, 1,1,2,2,3,3,4,4,4-nonafluoro-N,N-bis(1,1,2,2,3,3,4,4,4-nonafluorobutyl)-. 335–27–3 ...... Cyclohexane, 1,1,2,2,3,3,4,5,5,6-decafluoro-4,6-bis(trifluoromethyl)-. 335–36–4 ...... Furan, 2,2,3,3,4,4,5-heptafluorotetrahydro-5-(1,1,2,2,3,3,4,4,4-nonafluorobutyl)-. 335–42–2 ...... Butanoyl fluoride, 2,2,3,3,4,4,4-heptafluoro-. 335–57–9 ...... Heptane, 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,7-hexadecafluoro-. 335–66–0 ...... Octanoyl fluoride, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-pentadecafluoro-. 335–67–1 ...... Octanoic acid, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-pentadecafluoro-. 335–71–7 ...... 1-Heptanesulfonyl fluoride, 1,1,2,2,3,3,4,4,5,5,6,6,7,7,7-pentadecafluoro-.
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CASRN Chemical name
335–76–2 ...... Decanoic acid, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10-nonadecafluoro-. 335–95-5 ...... Octanoic acid, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-pentadecafluoro-, sodium salt (1:1). 336–08–3 ...... Hexanedioic acid, 2,2,3,3,4,4,5,5-octafluoro-. 336–59–4 ...... Butanoic acid, 2,2,3,3,4,4,4-heptafluoro-, 1,1′-anhydride. 338–83–0 ...... 1-Propanamine, 1,1,2,2,3,3,3-heptafluoro-N,N-bis(1,1,2,2,3,3,3-heptafluoropropyl)-. 338–84–1 ...... 1-Pentanamine, 1,1,2,2,3,3,4,4,5,5,5-undecafluoro-N,N-bis(1,1,2,2,3,3,4,4,5,5,5-undecafluoropentyl)-. 354–64–3 ...... Ethane, 1,1,1,2,2-pentafluoro-2-iodo-. 354–87–0 ...... Ethanesulfonyl fluoride, 1,1,2,2,2-pentafluoro-. 355–02–2 ...... Cyclohexane, 1,1,2,2,3,3,4,4,5,5,6-undecafluoro-6-(trifluoromethyl)-. 355–25–9 ...... Butane, 1,1,1,2,2,3,3,4,4,4-decafluoro-. 355–38–4 ...... Hexanoyl fluoride, 2,2,3,3,4,4,5,5,6,6,6-undecafluoro-. 355–42–0 ...... Hexane, 1,1,1,2,2,3,3,4,4,5,5,6,6,6-tetradecafluoro-. 355–43–1 ...... Hexane, 1,1,1,2,2,3,3,4,4,5,5,6,6-tridecafluoro-6-iodo-. 355–46–4 ...... 1-Hexanesulfonic acid, 1,1,2,2,3,3,4,4,5,5,6,6,6-tridecafluoro-. 355–50–0 ...... Hexadecane, 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13,14,14,15,15,16,16-tritriacontafluoro-16-iodo-. 355–80–6 ...... 1-Pentanol, 2,2,3,3,4,4,5,5-octafluoro-. 356–24–1 ...... Butanoic acid, 2,2,3,3,4,4,4-heptafluoro-, methyl ester. 356–27–4 ...... Butanoic acid, 2,2,3,3,4,4,4-heptafluoro-, ethyl ester. 356–42–3 ...... Propanoic acid, 2,2,3,3,3-pentafluoro-, 1,1′-anhydride. 375–00–8 ...... Butanenitrile, 2,2,3,3,4,4,4-heptafluoro-. 375–01–9 ...... 1-Butanol, 2,2,3,3,4,4,4-heptafluoro-. 375–03–1 ...... Propane, 1,1,1,2,2,3,3-heptafluoro-3-methoxy-. 375–16–6 ...... Butanoyl chloride, 2,2,3,3,4,4,4-heptafluoro-. 375–22–4 ...... Butanoic acid, 2,2,3,3,4,4,4-heptafluoro-. 375–62–2 ...... Pentanoyl fluoride, 2,2,3,3,4,4,5,5,5-nonafluoro-. 375–72–4 ...... 1-Butanesulfonyl fluoride, 1,1,2,2,3,3,4,4,4-nonafluoro-. 375–73–5 ...... 1-Butanesulfonic acid, 1,1,2,2,3,3,4,4,4-nonafluoro-. 375–84–8 ...... Heptanoyl fluoride, 2,2,3,3,4,4,5,5,6,6,7,7,7-tridecafluoro-. 375–85–9 ...... Heptanoic acid, 2,2,3,3,4,4,5,5,6,6,7,7,7-tridecafluoro-. 375–88–2 ...... Heptane, 1-bromo-1,1,2,2,3,3,4,4,5,5,6,6,7,7,7-pentadecafluoro-. 375–95–1 ...... Nonanoic acid, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,9-heptadecafluoro-. 376–06–7 ...... Tetradecanoic acid, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13,14,14,14-heptacosafluoro-. 376–14–7 ...... 2-Propenoic acid, 2-methyl-, 2-[ethyl[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluorooctyl)sulfonyl]amino]ethyl ester. 376–27–2 ...... Octanoic acid, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-pentadecafluoro-, methyl ester. 376–73–8 ...... Pentanedioic acid, 2,2,3,3,4,4-hexafluoro-. 376–90–9 ...... 1,5-Pentanediol, 2,2,3,3,4,4-hexafluoro-. 377–38–8 ...... Butanedioic acid, 2,2,3,3-tetrafluoro-. 378–76–7 ...... Propanoic acid, 2,2,3,3,3-pentafluoro-, potassium salt (1:1). 382–28–5 ...... Morpholine, 2,2,3,3,5,5,6,6-octafluoro-4-(trifluoromethyl)-. 383–07–3 ...... 2-Propenoic acid, 2-[butyl[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluorooctyl)sulfonyl]amino]ethyl ester. 421–73–8 ...... Propane, 2-chloro-1,1,1,2-tetrafluoro-. 422–05–9 ...... 1-Propanol, 2,2,3,3,3-pentafluoro-. 422–56–0 ...... Propane, 3,3-dichloro-1,1,1,2,2-pentafluoro-. 422–61–7 ...... Propanoyl fluoride, 2,2,3,3,3-pentafluoro-. 422–63–9 ...... 1,1-Propanediol, 2,2,3,3,3-pentafluoro-. 422–64–0 ...... Propanoic acid, 2,2,3,3,3-pentafluoro-. 423–39–2 ...... Butane, 1,1,1,2,2,3,3,4,4-nonafluoro-4-iodo-. 423–62–1 ...... Decane, 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10-heneicosafluoro-10-iodo-. 423–82–5 ...... 2-Propenoic acid, 2-[ethyl[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluorooctyl)sulfonyl]amino]ethyl ester. 425–38–7 ...... Propanoyl fluoride, 2,2,3,3-tetrafluoro-3-(trifluoromethoxy)-. 428–59–1 ...... Oxirane, 2,2,3-trifluoro-3-(trifluoromethyl)-. 507–55–1 ...... Propane, 1,3-dichloro-1,1,2,2,3-pentafluoro-. 507–63–1 ...... Octane, 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8-heptadecafluoro-8-iodo-. 559–40–0 ...... Cyclopentene, 1,2,3,3,4,4,5,5-octafluoro-. 647–42–7 ...... 1-Octanol, 3,3,4,4,5,5,6,6,7,7,8,8,8-tridecafluoro-. 678–26–2 ...... Pentane, 1,1,1,2,2,3,3,4,4,5,5,5-dodecafluoro-. 678–39–7 ...... 1-Decanol, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10-heptadecafluoro-. 697–18–7 ...... 1,2-Oxathietane, 3,3,4,4-tetrafluoro-, 2,2-dioxide. 699–30–9 ...... 2,5-Furandione, 3,3,4,4-tetrafluorodihydro-. 754–34–7 ...... Propane, 1,1,1,2,2,3,3-heptafluoro-3-iodo-. 755–73–7 ...... Propanoic acid, 2,2,3,3-tetrafluoro-3-methoxy-, methyl ester. 756–12–7 ...... 2-Butanone, 1,1,1,3,4,4,4-heptafluoro-3-(trifluoromethyl)-. 756–13–8 ...... 3-Pentanone, 1,1,1,2,2,4,5,5,5-nonafluoro-4-(trifluoromethyl)-. 773–14–8 ...... Furan, 2,2,3,3,4,4,5,5-octafluorotetrahydro-. 813–44–5 ...... 3-Pentanone, 1,1,1,2,4,5,5,5-octafluoro-2,4-bis(trifluoromethyl)-. 813–45–6 ...... 3-Hexanone, 1,1,1,2,4,4,5,5,6,6,6-undecafluoro-2-(trifluoromethyl)-. 865–86–1 ...... 1-Dodecanol, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,12-heneicosafluoro-. 1547–26–8 ...... 1-Pentene, 2,3,3,4,4,5,5-heptafluoro-. 1623–05–8 ...... Propane, 1,1,1,2,2,3,3-heptafluoro-3-[(1,2,2-trifluoroethenyl)oxy]-. 1652–63–7 ...... 1-Propanaminium, 3-[[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluorooctyl)sulfonyl]amino]-N,N,N-trimethyl-, iodide (1:1). 1682–78–6 ...... Propanoyl fluoride, 2,3,3,3-tetrafluoro-2-(1,1,2,2,2-pentafluoroethoxy)-. 1691–99–2 ...... 1-Octanesulfonamide, N-ethyl-1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluoro-N-(2-hydroxyethyl)-. 1763–23–1 ...... 1-Octanesulfonic acid, 1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluoro-. 1892–03–1 ...... Cyclopentene, 1,3,3,4,4,5,5-heptafluoro-.
VerDate Sep<11>2014 16:20 Jun 25, 2021 Jkt 253001 PO 00000 Frm 00026 Fmt 4702 Sfmt 4702 E:\FR\FM\28JNP1.SGM 28JNP1 khammond on DSKJM1Z7X2PROD with PROPOSALS Federal Register / Vol. 86, No. 121 / Monday, June 28, 2021 / Proposed Rules 33939
CASRN Chemical name
1996–88–9 ...... 2-Propenoic acid, 2-methyl-, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10-heptadecafluorodecyl ester. 2043–47–2 ...... 1-Hexanol, 3,3,4,4,5,5,6,6,6-nonafluoro-. 2043–53–0 ...... Decane, 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8-heptadecafluoro-10-iodo-. 2043–54–1 ...... Dodecane, 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10-heneicosafluoro-12-iodo-. 2043–55–2 ...... Hexane, 1,1,1,2,2,3,3,4,4-nonafluoro-6-iodo-. 2043–57–4 ...... Octane, 1,1,1,2,2,3,3,4,4,5,5,6,6-tridecafluoro-8-iodo-. 2062–98–8 ...... Propanoyl fluoride, 2,3,3,3-tetrafluoro-2-(1,1,2,2,3,3,3-heptafluoropropoxy)-. 2144–53–8 ...... 2-Propenoic acid, 2-methyl-, 3,3,4,4,5,5,6,6,7,7,8,8,8-tridecafluorooctyl ester. 2144–54–9 ...... 2-Propenoic acid, 2-methyl-, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,12-heneicosafluorododecyl ester. 2218–54–4 ...... Butanoic acid, 2,2,3,3,4,4,4-heptafluoro-, sodium salt (1:1). 2263–09–4 ...... 1-Octanesulfonamide, N-butyl-1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluoro-N-(2-hydroxyethyl)-. 2641–34–1 ...... Propanoyl fluoride, 2,3,3,3-tetrafluoro-2-[1,1,2,3,3,3-hexafluoro-2-(1,1,2,2,3,3,3-heptafluoropropoxy)propoxy]-. 2706–90–3 ...... Pentanoic acid, 2,2,3,3,4,4,5,5,5-nonafluoro-. 2795–39–3 ...... 1-Octanesulfonic acid, 1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluoro-, potassium salt (1:1). 2923–93–5 ...... Hexanamide, 2-[2,4-bis(1,1-dimethylpropyl)phenoxy]-N-[4-[(2,2,3,3,4,4,4-heptafluoro-1-oxobutyl)amino]-3-hydroxyphenyl]-. 2991–51–7 ...... Glycine, N-ethyl-N-[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluorooctyl)sulfonyl]-, potassium salt (1:1). 2994–71–0 ...... Cyclobutane, 1,1,2,2,3,4-hexafluoro-3,4-bis(trifluoromethyl)-. 3107–18–4 ...... Cyclohexanesulfonic acid, 1,2,2,3,3,4,4,5,5,6,6-undecafluoro-, potassium salt (1:1). 3330–14–1 ...... Propane, 1-[1-[difluoro(1,2,2,2-tetrafluoroethoxy)methyl]-1,2,2,2-tetrafluoroethoxy]-1,1,2,2,3,3,3-heptafluoro-. 3794–64–7 ...... Butanoic acid, 2,2,3,3,4,4,4-heptafluoro-, silver(1+) salt (1:1). 3825–26–1 ...... Octanoic acid, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-pentadecafluoro-, ammonium salt (1:1). 3871–99–6 ...... 1-Hexanesulfonic acid, 1,1,2,2,3,3,4,4,5,5,6,6,6-tridecafluoro-, potassium salt (1:1). 3872–25–1 ...... 1-Pentanesulfonic acid, 1,1,2,2,3,3,4,4,5,5,5-undecafluoro-, potassium salt (1:1). 3934–23–4 ...... 2-Propenoic acid, 2-methyl-, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-pentadecafluorooctyl ester. 4089–58–1 ...... Propanoyl fluoride, 2,3,3,3-tetrafluoro-2-[1,1,2,3,3,3-hexafluoro-2-[1,1,2,2-tetrafluoro-2-(fluorosulfonyl)ethoxy]propoxy]-. 4151–50–2 ...... 1-Octanesulfonamide, N-ethyl-1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluoro-. 4980–53–4 ...... 2-Propenoic acid, 2-methyl-, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13,14,14,15,15,16,16,16- nonacosafluorohexadecyl ester. 6014–75–1 ...... 2-Propenoic acid, 2-methyl-, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13,14,14,14-pentacosafluorotetradecyl ester. 6130–43–4 ...... Heptanoic acid, 2,2,3,3,4,4,5,5,6,6,7,7,7-tridecafluoro-, ammonium salt (1:1). 6588–63–2 ...... Cyclohexanecarbonyl fluoride, 1,2,2,3,3,4,4,5,5,6,6-undecafluoro-. 10493–43–3 ...... Ethene, 1,1,2-trifluoro-2-(1,1,2,2,2-pentafluoroethoxy)-. 13252–13–6 ...... Propanoic acid, 2,3,3,3-tetrafluoro-2-(1,1,2,2,3,3,3-heptafluoropropoxy)-. 13429–24–8 ...... 1-Propene, 1,1,2,3,3,3-hexafluoro-, dimer. 13695–31–3 ...... 2-Propenoic acid, 2-methyl-, 2,2,3,3,4,4,4-heptafluorobutyl ester. 15290–77–4 ...... Cyclopentane, 1,1,2,2,3,3,4-heptafluoro-. 16090–14–5 ...... Ethanesulfonyl fluoride, 2-[1-[difluoro[(1,2,2-trifluoroethenyl)oxy]methyl]-1,2,2,2-tetrafluoroethoxy]-1,1,2,2-tetrafluoro-. 16517–11–6 ...... Octadecanoic acid, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13,14,14,15,15,16,16,17,17,18,18,18- pentatriacontafluoro-. 17202–41–4 ...... 1-Nonanesulfonic acid, 1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,9-nonadecafluoro-, ammonium salt (1:1). 17527–29–6 ...... 2-Propenoic acid, 3,3,4,4,5,5,6,6,7,7,8,8,8-tridecafluorooctyl ester. 17631–68–4 ...... Europium, tris(6,6,7,7,8,8,8-heptafluoro-2,2-dimethyl-3,5-octanedionato-.kappa.O3,.kappa.O5)-. 17741–60–5 ...... 2-Propenoic acid, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,12-heneicosafluorododecyl ester. 17978–77–7 ...... Praseodymium, tris(6,6,7,7,8,8,8-heptafluoro-2,2-dimethyl-3,5-octanedionato-.kappa.O3,.kappa.O5)-. 18599–20–7 ...... Butane, 1,4-dibromo-1,1,2,2-tetrafluoro-. 18599–22–9 ...... 1-Butene, 4-bromo-3,3,4,4-tetrafluoro-. 19430–93–4 ...... 1-Hexene, 3,3,4,4,5,5,6,6,6-nonafluoro-. 21615–47–4 ...... Hexanoic acid, 2,2,3,3,4,4,5,5,6,6,6-undecafluoro-, ammonium salt (1:1). 21652–58–4 ...... 1-Decene, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10-heptadecafluoro-. 24448–09–7 ...... 1-Octanesulfonamide, 1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluoro-N-(2-hydroxyethyl)-N-methyl-. 25268–77–3 ...... 2-Propenoic acid, 2-[[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluorooctyl)sulfonyl]methylamino]ethyl ester. 25291–17–2 ...... 1-Octene, 3,3,4,4,5,5,6,6,7,7,8,8,8-tridecafluoro-. 25398–32–7 ...... Ethene, 1,1,2,2-tetrafluoro-, telomer with 1,1,1,2,2-pentafluoro-2-iodoethane. 26650–09–9 ...... Thiocyanic acid, 3,3,4,4,5,5,6,6,7,7,8,8,8-tridecafluorooctyl ester. 26654–97–7 ...... Ethanesulfonyl fluoride, 2-[1-[difluoro[(1,2,2-trifluoroethenyl)oxy]methyl]-1,2,2,2-tetrafluoroethoxy]-1,1,2,2-tetrafluoro-, polymer with 1,1,2,2-tetrafluoroethene. 26655–00–5 ...... Propane, 1,1,1,2,2,3,3-heptafluoro-3-[(1,2,2-trifluoroethenyl)oxy]-, polymer with 1,1,2,2-tetrafluoroethene. 26738–51–2 ...... 3,6,9,12-Tetraoxapentadecane, 1,1,1,2,4,4,5,7,7,8,10,10,11,13,13,14,14,15,15,15-eicosafluoro-5,8,11-tris(trifluoromethyl)-. 27619–88–1 ...... 1-Hexanesulfonyl chloride, 3,3,4,4,5,5,6,6,6-nonafluoro-. 27619–89–2 ...... 1-Octanesulfonyl chloride, 3,3,4,4,5,5,6,6,7,7,8,8,8-tridecafluoro-. 27619–90–5 ...... 1-Decanesulfonyl chloride, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10-heptadecafluoro-. 27619–91–6 ...... 1-Dodecanesulfonyl chloride, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,12-heneicosafluoro-. 27619–97–2 ...... 1-Octanesulfonic acid, 3,3,4,4,5,5,6,6,7,7,8,8,8-tridecafluoro-. 27905–45–9 ...... 2-Propenoic acid, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10-heptadecafluorodecyl ester. 29081–56–9 ...... 1-Octanesulfonic acid, 1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluoro-, ammonium salt (1:1). 29117–08–6 ...... Poly(oxy-1,2-ethanediyl), .alpha.-[2-[ethyl[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluorooctyl)sulfonyl]amino]ethyl]-.omega.- hydroxy-. 29420–49–3 ...... 1-Butanesulfonic acid, 1,1,2,2,3,3,4,4,4-nonafluoro-, potassium salt (1:1). 29457–72–5 ...... 1-Octanesulfonic acid, 1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluoro-, lithium salt (1:1). 29809–34–5 ...... Eicosane, 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13,14,14,15,15,16,16,17,17,18,18,19,19,20,20- hentetracontafluoro-20-iodo-. 29809–35–6 ...... Octadecane, 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13,14,14,15,15,16,16,17,17,18,18-heptatriacontafluoro- 18-iodo-. 30046–31–2 ...... Tetradecane, 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12-pentacosafluoro-14-iodo-.
VerDate Sep<11>2014 16:20 Jun 25, 2021 Jkt 253001 PO 00000 Frm 00027 Fmt 4702 Sfmt 4702 E:\FR\FM\28JNP1.SGM 28JNP1 khammond on DSKJM1Z7X2PROD with PROPOSALS 33940 Federal Register / Vol. 86, No. 121 / Monday, June 28, 2021 / Proposed Rules
CASRN Chemical name
31175–20–9 ...... Ethanesulfonic acid, 2-[1-[difluoro[(1,2,2-trifluoroethenyl)oxy]methyl]-1,2,2,2-tetrafluoroethoxy]-1,1,2,2-tetrafluoro-, polymer with 1,1,2,2-tetrafluoroethene. 31506–32–8 ...... 1-Octanesulfonamide, 1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluoro-N-methyl-. 34362–49–7 ...... 2-Propenoic acid, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13,14,14,15,15,16,16,16-nonacosafluorohexadecyl ester. 34395–24–9 ...... 2-Propenoic acid, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13,14,14,14-pentacosafluorotetradecyl ester. 34454–97–2 ...... 1-Butanesulfonamide, 1,1,2,2,3,3,4,4,4-nonafluoro-N-(2-hydroxyethyl)-N-methyl-. 34455–29–3 ...... 1-Propanaminium, N-(carboxymethyl)-N,N-dimethyl-3-[[(3,3,4,4,5,5,6,6,7,7,8,8,8-tridecafluorooctyl)sulfonyl]amino]-, inner salt. 34788–82–4 ...... Europium, tris[3-[2,2,3,3,4,4,4-heptafluoro-1-(oxo-.kappa.O)butyl]-1,7,7-trimethylbicyclo[2.2.1]heptan-2-onato-.kappa.O]-. 35397–13–8 ...... Propane, 1,1,1,2,2,3,3-heptafluoro-3-[(1,2,2-trifluoroethenyl)oxy]-, polymer with 1-chloro-1,2,2-trifluoroethene and ethene. 37338–48–0 ...... Poly[oxy(methyl-1,2-ethanediyl)], .alpha.-[2-[ethyl[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluorooctyl)sulfonyl]amino]ethyl]- .omega.-hydroxy-. 37486–69–4 ...... 3,6,9,12,15-Pentaoxaoctadecane, 1,1,1,2,4,4,5,7,7,8,10,10,11,13,13,14,16,16,17,17,18,18,18-tricosafluoro-5,8,11,14- tetrakis(trifluoromethyl)-. 38006–74–5 ...... 1-Propanaminium, 3-[[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluorooctyl)sulfonyl]amino]-N,N,N-trimethyl-, chloride (1:1). 38565–52–5 ...... Oxirane, 2-(2,2,3,3,4,4,5,5,6,6,7,7,7-tridecafluoroheptyl)-. 39239–77–5 ...... 1-Tetradecanol, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13,14,14,14-pentacosafluoro-. 42532–60–5 ...... Propanenitrile, 2,3,3,3-tetrafluoro-2-(trifluoromethyl)-. 51851–37–7 ...... Silane, triethoxy(3,3,4,4,5,5,6,6,7,7,8,8,8-tridecafluorooctyl)-. 52166–82–2 ...... 1-Propanaminium, N,N,N-trimethyl-3-[[(1,1,2,2,3,3,4,4,5,5,6,6,6-tridecafluorohexyl)sulfonyl]amino]-, chloride (1:1). 52591–27–2 ...... 2-Propenoic acid, 3,3,4,4,5,5,6,6,6-nonafluorohexyl ester. 53518–00–6 ...... 1-Propanaminium, N,N,N-trimethyl-3-[[(1,1,2,2,3,3,4,4,4-nonafluorobutyl)sulfonyl]amino]-, chloride (1:1). 54950–05–9 ...... Butanedioic acid, 2-sulfo-, 1,4-bis(3,3,4,4,5,5,6,6,7,7,8,8,8-tridecafluorooctyl) ester, sodium salt (1:1). 55716–11–5 ...... Morpholine, 2,2,3,3,5,5,6,6-octafluoro-4-(1,1,2,2,2-pentafluoroethyl)-. 55910–10–6 ...... Glycine, N-[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluorooctyl)sulfonyl]-N-propyl-, potassium salt (1:1). 56372–23–7 ...... Poly(oxy-1,2-ethanediyl), .alpha.-[2-[ethyl[(1,1,2,2,3,3,4,4,5,5,6,6,6-tridecafluorohexyl)sulfonyl]amino]ethyl]-.omega.-hydroxy-. 56467–05–1 ...... Poly(oxy-1,2-ethanediyl), .alpha.-(tridecafluorohexyl)-.omega.-hydroxy-. 56773–42–3 ...... Ethanaminium, N,N,N-triethyl-, 1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluoro-1-octanesulfonate (1:1). 57570–64–6 ...... 1-Propene, 1,1,2,3,3,3-hexafluoro-, polymer with 1,1-difluoroethene, 1,1,2,2-tetrafluoroethene and 1,1,2-trifluoro-2- (trifluoromethoxy)ethene. 58194–00–6 ...... Propanoyl fluoride, 2,3,3,3-tetrafluoro-2-[1,1,2,2,3,3-hexafluoro-3-(trifluoromethoxy)propoxy]-. 59071–10–2 ...... 2-Propenoic acid, 2-[ethyl[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,7-pentadecafluoroheptyl)sulfonyl]amino]ethyl ester. 60164–51–4 ...... Poly[oxy[trifluoro(trifluoromethyl)-1,2-ethanediyl]], .alpha.-(1,1,2,2,2-pentafluoroethyl)-.omega.-[tetrafluoro (trifluoromethyl)ethoxy]-. 60270–55–5 ...... 1-Heptanesulfonic acid, 1,1,2,2,3,3,4,4,5,5,6,6,7,7,7-pentadecafluoro-, potassium salt (1:1). 60699–51–6 ...... 1-Hexadecanol, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13,14,14,15,15,16,16,16-nonacosafluoro-. 61660–12–6 ...... 1-Octanesulfonamide, N-ethyl-1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluoro-N-[3-(trimethoxysilyl)propyl]-. 61798–68–3 ...... Pyridinium, 1-(3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10-heptadecafluorodecyl)-, 4-methylbenzenesulfonate (1:1). 62037–80–3 ...... Propanoic acid, 2,3,3,3-tetrafluoro-2-(1,1,2,2,3,3,3-heptafluoropropoxy)-, ammonium salt (1:1). 63654–41–1 ...... 1-Propene, 1,1,2,3,3,3-hexafluoro-, polymer with 1,1,1,2,2,3,3-heptafluoro-3-[(1,2,2-trifluoroethenyl)oxy]propane and 1,1,2,2- tetrafluoroethene. 63863–43–4 ...... Propanoic acid, 3-[1-[difluoro[(1,2,2-trifluoroethenyl)oxy]methyl]-1,2,2,2-tetrafluoroethoxy]-2,2,3,3-tetrafluoro-, methyl ester. 63863–44–5 ...... Propanoic acid, 3-[1-[difluoro[(1,2,2-trifluoroethenyl)oxy]methyl]-1,2,2,2-tetrafluoroethoxy]-2,2,3,3-tetrafluoro-, methyl ester, polymer with 1,1,2,2-tetrafluoroethene. 65059–79–2 ...... 1-Butene, 4-bromo-3,3,4,4-tetrafluoro-, polymer with 1,1-difluoroethene, 1,1,2,2-tetrafluoroethene and 1,1,2-trifluoro-2- (trifluoromethoxy)ethene. 65104–45–2 ...... 2-Propenoic acid, 2-methyl-, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,12-heneicosafluorododecyl ester, polymer with 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10-heptadecafluorodecyl 2-methyl-2-propenoate, methyl 2-methyl-2-propenoate, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13,14,14,14-pentacosafluorotetradecyl 2-methyl-2-propenoate and 3,3,4,4,5,5,6,6,7,7,8,8,8-tridecafluorooctyl 2-methyl-2-propenoate. 65104–65–6 ...... 1-Eicosanol, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13,14,14,15,15,16,16,17,17,18,18,19,19,20,20,20- heptatriacontafluoro-. 65104–67–8 ...... 1-Octadecanol, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13,14,14,15,15,16,16,17,17,18,18,18-tritriacontafluoro-. 65510–55–6 ...... Hexadecane, 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13,14,14-nonacosafluoro-16-iodo-. 65530–59–8 ...... Poly(difluoromethylene), .alpha.-fluoro-.omega.-(2-hydroxyethyl)-, 2-hydroxy-1,2,3-propanetricarboxylate (3:1). 65530–61–2 ...... Poly(difluoromethylene), .alpha.-fluoro-.omega.-[2-(phosphonooxy)ethyl]-. 65530–62–3 ...... Poly(difluoromethylene), .alpha.,.alpha.′-[phosphinicobis(oxy-2,1-ethanediyl)]bis[.omega.-fluoro-. 65530–63–4 ...... Ethanol, 2,2′-iminobis-, compd. with .alpha.-fluoro-.omega.-[2-(phosphonooxy)ethyl]poly(difluoromethylene) (2:1). 65530–64–5 ...... Ethanol, 2,2′-iminobis-, compd. with .alpha.,.alpha.′-[phosphinicobis(oxy-2,1-ethanediyl)]bis[.omega.- fluoropoly(difluoromethylene)] (1:1). 65530–65–6 ...... Poly(difluoromethylene), .alpha.-fluoro-.omega.-[2-[(1-oxooctadecyl)oxy]ethyl]-. 65530–66–7 ...... Poly(difluoromethylene), .alpha.-fluoro-.omega.-[2-[(2-methyl-1-oxo-2-propen-1-yl)oxy]ethyl]-. 65530–69–0 ...... Poly(difluoromethylene), .alpha.-[2-[(2-carboxyethyl)thio]ethyl]-.omega.-fluoro-, lithium salt (1:1). 65530–70–3 ...... Poly(difluoromethylene), .alpha.,.alpha.′-[phosphinicobis(oxy-2,1-ethanediyl)]bis[.omega.-fluoro-, ammonium salt (1:1). 65530–71–4 ...... Poly(difluoromethylene), .alpha.-fluoro-.omega.-[2-(phosphonooxy)ethyl]-, ammonium salt (1:1). 65530–72–5 ...... Poly(difluoromethylene), .alpha.-fluoro-.omega.-[2-(phosphonooxy)ethyl]-, ammonium salt (1:2). 65530–74–7 ...... Ethanol, 2,2′-iminobis-, compd. with .alpha.-fluoro-.omega.-[2-(phosphonooxy)ethyl]poly(difluoromethylene) (1:1). 65530–82–7 ...... Poly(difluoromethylene), .alpha.,.omega.-difluoro-. 65530–83–8 ...... Poly(difluoromethylene), .alpha.-[2-[(2-carboxyethyl)thio]ethyl]-.omega.-fluoro-. 65530–85–0 ...... Poly(difluoromethylene), .alpha.-(cyclohexylmethyl)-.omega.-hydro-. 65545–80–4 ...... Poly(oxy-1,2-ethanediyl), .alpha.-hydro-.omega.-hydroxy-, ether with .alpha.-fluoro-.omega.-(2-hydroxy- ethyl)poly(difluoromethylene) (1:1). 65605–56–3 ...... Poly(difluoromethylene), .alpha.-fluoro-.omega.-(2-hydroxyethyl)-, dihydrogen 2-hydroxy-1,2,3-propanetricarboxylate. 65605–57–4 ...... Poly(difluoromethylene), .alpha.-fluoro-.omega.-(2-hydroxyethyl)-, hydrogen 2-hydroxy-1,2,3-propanetricarboxylate.
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CASRN Chemical name
65605–58–5 ...... 2-Propenoic acid, 2-methyl-, dodecyl ester, polymer with .alpha.-fluoro-.omega.-[2-[(2-methyl-1-oxo-2-propen-1- yl)oxy]ethyl]poly(difluoromethylene). 65605–59–6 ...... 2-Propenoic acid, 2-methyl-, dodecyl ester, polymer with .alpha.-fluoro-.omega.-[2-[(2-methyl-1-oxo-2-propen-1- yl)oxy]ethyl]poly(difluoromethylene) and N-(hydroxymethyl)-2-propenamide. 65605–73–4 ...... Poly(difluoromethylene), .alpha.-fluoro-.omega.-[2-[(1-oxo-2-propen-1-yl)oxy]ethyl]-, homopolymer. 65636–35–3 ...... Ethanaminium, N,N-diethyl-N-methyl-2-[(2-methyl-1-oxo-2-propen-1-yl)oxy]-, methyl sulfate (1:1), polymer with 2-ethylhexyl 2- methyl-2-propenoate, .alpha.-fluoro-.omega.-[2-[(2-methyl-1-oxo-2-propen-1-yl)oxy]ethyl]poly(difluoromethylene), 2-hydroxy- ethyl 2-methyl-2-propenoate and N-(hydroxymethyl)-2-propenamide. 67584–42–3 ...... Cyclohexanesulfonic acid, decafluoro(pentafluoroethyl)-, potassium salt (1:1). 67584–51–4 ...... Glycine, N-ethyl-N-[(1,1,2,2,3,3,4,4,4-nonafluorobutyl)sulfonyl]-, potassium salt (1:1). 67584–52–5 ...... Glycine, N-ethyl-N-[(1,1,2,2,3,3,4,4,5,5,5-undecafluoropentyl)sulfonyl]-, potassium salt (1:1). 67584–53–6 ...... Glycine, N-ethyl-N-[(1,1,2,2,3,3,4,4,5,5,6,6,6-tridecafluorohexyl)sulfonyl]-, potassium salt (1:1). 67584–55–8 ...... 2-Propenoic acid, 2-[methyl[(1,1,2,2,3,3,4,4,4-nonafluorobutyl)sulfonyl]amino]ethyl ester. 67584–56–9 ...... 2-Propenoic acid, 2-[methyl[(1,1,2,2,3,3,4,4,5,5,5-undecafluoropentyl)sulfonyl]amino]ethyl ester. 67584–57–0 ...... 2-Propenoic acid, 2-[methyl[(1,1,2,2,3,3,4,4,5,5,6,6,6-tridecafluorohexyl)sulfonyl]amino]ethyl ester. 67584–58–1 ...... 1-Propanaminium, N,N,N-trimethyl-3-[[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,7-pentadecafluoroheptyl)sulfonyl]amino]-, iodide (1:1). 67584–59–2 ...... 2-Propenoic acid, 2-methyl-, 2-[methyl[(1,1,2,2,3,3,4,4,4-nonafluorobutyl)sulfonyl]amino]ethyl ester. 67584–62–7 ...... Glycine, N-ethyl-N-[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,7-pentadecafluoroheptyl)sulfonyl]-, potassium salt (1:1). 67905–19–5 ...... Hexadecanoic acid, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13,14,14,15,15,16,16,16-hentriacontafluoro-. 67906–42–7 ...... 1-Decanesulfonic acid, 1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10-heneicosafluoro-, ammonium salt (1:1). 67939–95–1 ...... 1-Propanaminium, N,N,N-trimethyl-3-[[(1,1,2,2,3,3,4,4,4-nonafluorobutyl)sulfonyl]amino]-, iodide (1:1). 67969–69–1 ...... 1-Octanesulfonamide, N-ethyl-1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluoro-N-[2-(phosphonooxy)ethyl]-, ammonium salt (1:2). 68084–62–8 ...... 2-Propenoic acid, 2-[methyl[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,7-pentadecafluoroheptyl)sulfonyl]amino]ethyl ester. 68140–18–1 ...... Thiols, C4-10, .gamma.-.omega.-perfluoro. 68140–20–5 ...... Thiols, C6-12, .gamma.-.omega.-perfluoro. 68140–21–6 ...... Thiols, C10-20, .gamma.-.omega.-perfluoro. 68141–02–6 ...... Octanoic acid, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-pentadecafluoro-, chromium(3+) salt (3:1). 68156–01–4 ...... Cyclohexanesulfonic acid, nonafluorobis(trifluoromethyl)-, potassium salt (1:1). 68156–07–0 ...... Cyclohexanesulfonic acid, decafluoro(trifluoromethyl)-, potassium salt (1:1). 68182–34–3 ...... 1-Propene, 1,1,2,3,3,3-hexafluoro-, polymer with 1,1-difluoroethene, 1,1,1,2,2,3,3-heptafluoro-3-[(1,2,2- trifluoroethenyl)oxy]propane and 1,1,2,2-tetrafluoroethene. 68187–25–7 ...... Butanoic acid, 4-[[3-(dimethylamino)propyl]amino]-4-oxo-, 2(or 3)-[(.gamma.-.omega.-perfluoro-C6-20-alkyl)thio] derivs. 68187–47–3 ...... 1-Propanesulfonic acid, 2-methyl-, 2-[[1-oxo-3-[(.gamma.-.omega.-perfluoro-C4-16-alkyl)thio]propyl]amino] derivs., sodium salts. 68188–12–5 ...... Alkyl iodides, C4-20, .gamma.-.omega.-perfluoro. 68227–96–3 ...... 2-Propenoic acid, butyl ester, telomer with 2-[[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluorooctyl)sulfonyl]methylamino]ethyl 2-propenoate, 2-[methyl[(1,1,2,2,3,3,4,4,4-nonafluorobutyl)sulfonyl]amino]ethyl 2-propenoate, .alpha.-(2-methyl-1-oxo-2- propen-1-yl)-.omega.-hydroxypoly(oxy-1,4-butanediyl), .alpha.-(2-methyl-1-oxo-2-propen-1-yl)-.omega.-[(2-methyl-1-oxo-2- propen-1-yl)oxy]poly(oxy-1,4-butanediyl), 2-[methyl[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,7-pentadecafluoroheptyl)sulfonyl]amino]ethyl 2-propenoate, 2-[methyl[(1,1,2,2,3,3,4,4,5,5,6,6,6-tridecafluorohexyl)sulfonyl]amino]ethyl 2-propenoate, 2- [methyl[(1,1,2,2,3,3,4,4,5,5,5-undecafluoropentyl)sulfonyl]amino]ethyl 2-propenoate and 1-octanethiol. 68239–43–0 ...... 2-Propenoic acid, 2-methyl-, 2-ethylhexyl ester, polymer with .alpha.-fluoro-.omega.-[2-[(2-methyl-1-oxo-2-propen-1-yl)oxy] ethyl]poly(difluoromethylene), 2-hydroxyethyl 2-methyl-2-propenoate and N-(hydroxymethyl)-2-propenamide. 68258–85–5 ...... 1-Hexene, 3,3,4,4,5,5,6,6,6-nonafluoro-, polymer with ethene and 1,1,2,2-tetrafluoroethene. 68259–07–4 ...... 1-Heptanesulfonic acid, 1,1,2,2,3,3,4,4,5,5,6,6,7,7,7-pentadecafluoro-, ammonium salt (1:1). 68259–08–5 ...... 1-Hexanesulfonic acid, 1,1,2,2,3,3,4,4,5,5,6,6,6-tridecafluoro-, ammonium salt (1:1). 68259–09–6 ...... 1-Pentanesulfonic acid, 1,1,2,2,3,3,4,4,5,5,5-undecafluoro-, ammonium salt (1:1). 68259–10–9 ...... 1-Butanesulfonic acid, 1,1,2,2,3,3,4,4,4-nonafluoro-, ammonium salt (1:1). 68259–11–0 ...... Pentanoic acid, 2,2,3,3,4,4,5,5,5-nonafluoro-, ammonium salt (1:1). 68259–38–1 ...... Poly[oxy(methyl-1,2-ethanediyl)], .alpha.-[2-[ethyl[(1,1,2,2,3,3,4,4,5,5,6,6,6-tridecafluorohexyl)sulfonyl]amino]ethyl]-.omega.-hy- droxy-. 68259–39–2 ...... Poly[oxy(methyl-1,2-ethanediyl)], .alpha.-[2-[ethyl[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,7-pentadecafluoroheptyl)sulfonyl]amino]ethyl]- .omega.-hydroxy-. 68298–12–4 ...... 1-Butanesulfonamide, 1,1,2,2,3,3,4,4,4-nonafluoro-N-methyl-. 68298–62–4 ...... 2-Propenoic acid, 2-[butyl[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluorooctyl)sulfonyl]amino]ethyl ester, telomer with 2- [butyl[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,7-pentadecafluoroheptyl)sulfonyl]amino]ethyl 2-propenoate, 2-methyloxirane polymer with oxirane di-2-propenoate, 2-methyloxirane polymer with oxirane mono-2-propenoate and 1-octanethiol. 68298–79–3 ...... Poly(oxy-1,2-ethanediyl), .alpha.-[2-[ethyl[(1,1,2,2,3,3,4,4,4-nonafluorobutyl)sulfonyl]amino]ethyl]-.omega.-hydroxy-. 68298–80–6 ...... Poly(oxy-1,2-ethanediyl), .alpha.-[2-[ethyl[(1,1,2,2,3,3,4,4,5,5,5-undecafluoropentyl)sulfonyl]amino]ethyl]-.omega.-hydroxy-. 68298–81–7 ...... Poly(oxy-1,2-ethanediyl), .alpha.-[2-[ethyl[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,7-pentadecafluoroheptyl)sulfonyl]amino]ethyl]-.omega.-hy- droxy-. 68310–17–8 ...... Poly[oxy(methyl-1,2-ethanediyl)], .alpha.-[2-[ethyl[(1,1,2,2,3,3,4,4,5,5,5-undecafluoropentyl)sulfonyl]amino]ethyl]-.omega.-hy- droxy-. 68310–18–9 ...... Poly[oxy(methyl-1,2-ethanediyl)], .alpha.-[2-[ethyl[(1,1,2,2,3,3,4,4,4-nonafluorobutyl)sulfonyl]amino]ethyl]-.omega.-hydroxy-. 68391–08–2 ...... Alcohols, C8-14, .gamma.-.omega.-perfluoro. 68412–68–0 ...... Phosphonic acid, perfluoro-C6-12-alkyl derivs. 68412–69–1 ...... Phosphinic acid, bis(perfluoro-C6-12-alkyl) derivs. 68515–62–8 ...... 1,4-Benzenedicarboxylic acid, dimethyl ester, reaction products with bis(2-hydroxyethyl) terephthalate, ethylene glycol, .alpha.- fluoro-.omega.-(2-hydroxyethyl)poly(difluoromethylene), hexakis(methoxymethyl)melamine and polyethylene glycol. 68555–74–8 ...... 1-Pentanesulfonamide, 1,1,2,2,3,3,4,4,5,5,5-undecafluoro-N-(2-hydroxyethyl)-N-methyl-. 68555–75–9 ...... 1-Hexanesulfonamide, 1,1,2,2,3,3,4,4,5,5,6,6,6-tridecafluoro-N-(2-hydroxyethyl)-N-methyl-. 68555–76–0 ...... 1-Heptanesulfonamide, 1,1,2,2,3,3,4,4,5,5,6,6,7,7,7-pentadecafluoro-N-(2-hydroxyethyl)-N-methyl-. 68555–77–1 ...... 1-Butanesulfonamide, N-[3-(dimethylamino)propyl]-1,1,2,2,3,3,4,4,4-nonafluoro-.
VerDate Sep<11>2014 16:20 Jun 25, 2021 Jkt 253001 PO 00000 Frm 00029 Fmt 4702 Sfmt 4702 E:\FR\FM\28JNP1.SGM 28JNP1 khammond on DSKJM1Z7X2PROD with PROPOSALS 33942 Federal Register / Vol. 86, No. 121 / Monday, June 28, 2021 / Proposed Rules
CASRN Chemical name
68555–81–7 ...... 1-Propanaminium, N,N,N-trimethyl-3-[[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,7-pentadecafluoroheptyl)sulfonyl]amino]-, chloride (1:1). 68555–91–9 ...... 2-Propenoic acid, 2-methyl-, 2-[ethyl[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluorooctyl)sulfonyl]amino]ethyl ester, polymer with 2-[ethyl[(1,1,2,2,3,3,4,4,4-nonafluorobutyl)sulfonyl]amino]ethyl 2-methyl-2-propenoate, 2- [ethyl[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,7-pentadecafluoroheptyl)sulfonyl]amino]ethyl 2-methyl-2-propenoate, 2- [ethyl[(1,1,2,2,3,3,4,4,5,5,6,6,6-tridecafluorohexyl)sulfonyl]amino]ethyl 2-methyl-2-propenoate, 2-[ethyl[(1,1,2,2,3,3,4,4,5,5,5- undecafluoropentyl)sulfonyl]amino]ethyl 2-methyl-2-propenoate and octadecyl 2-methyl-2-propenoate. 68758–57–6 ...... 1-Tetradecanesulfonyl chloride, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13,14,14,14-pentacosafluoro-. 68867–60–7 ...... 2-Propenoic acid, 2-[[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluorooctyl)sulfonyl]methylamino]ethyl ester, polymer with 2- [methyl[(1,1,2,2,3,3,4,4,4-nonafluorobutyl)sulfonyl]amino]ethyl 2-propenoate, 2-[methyl[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,7- pentadecafluoroheptyl)sulfonyl]amino]ethyl 2-propenoate, 2-[methyl[(1,1,2,2,3,3,4,4,5,5,6,6,6-tridecafluorohexyl)sulfonyl] amino]ethyl 2-propenoate, 2-[methyl[(1,1,2,2,3,3,4,4,5,5,5-undecafluoropentyl)sulfonyl]amino]ethyl 2-propenoate and .alpha.- (1-oxo-2-propen-1-yl)-.omega.-methoxypoly(oxy-1,2-ethanediyl). 68891–05–4 ...... Ethene, tetrafluoro-, homopolymer, .alpha.-fluoro-.omega.-(2-hydroxyethyl)-, citrate, reaction products with 1,6- diisocyanatohexane. 68957–55–1 ...... 1-Propanaminium, N,N,N-trimethyl-3-[[(1,1,2,2,3,3,4,4,5,5,5-undecafluoropentyl)sulfonyl]amino]-, chloride (1:1). 68957–57–3 ...... 1-Propanaminium, N,N,N-trimethyl-3-[[(1,1,2,2,3,3,4,4,5,5,5-undecafluoropentyl)sulfonyl]amino]-, iodide (1:1). 68957–58–4 ...... 1-Propanaminium, N,N,N-trimethyl-3-[[(1,1,2,2,3,3,4,4,5,5,6,6,6-tridecafluorohexyl)sulfonyl]amino]-, iodide (1:1). 68957–62–0 ...... 1-Heptanesulfonamide, N-ethyl-1,1,2,2,3,3,4,4,5,5,6,6,7,7,7-pentadecafluoro-. 68958–60–1 ...... Poly(oxy-1,2-ethanediyl), .alpha.-[2-[ethyl[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,7-pentadecafluoroheptyl)sulfonyl]amino]ethyl]-.omega.- methoxy-. 68958–61–2 ...... Poly(oxy-1,2-ethanediyl), .alpha.-[2-[ethyl[(1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluorooctyl)sulfonyl]amino]ethyl]-.omega.- methoxy-. 69087–47–4 ...... Propanoic acid, 3-[1-[difluoro[(1,2,2-trifluoroethenyl)oxy]methyl]-1,2,2,2-tetrafluoroethoxy]-2,2,3,3-tetrafluoro-, polymer with 1,1,2,2-tetrafluoroethene. 69116–73–0 ...... Propanoic acid, 3-[1-[difluoro[1,2,2,2-tetrafluoro-1-(fluorocarbonyl)ethoxy]methyl]-1,2,2,2-tetrafluoroethoxy]-2,2,3,3-tetrafluoro-, methyl ester. 69804–19–9 ...... Propanenitrile, 3-[1-[difluoro[(1,2,2-trifluoroethenyl)oxy]methyl]-1,2,2,2-tetrafluoroethoxy]-2,2,3,3-tetrafluoro-. 69991–61–3 ...... Ethene, 1,1,2,2-tetrafluoro-, oxidized, polymd.. 69991–62–4 ...... Ethene, 1,1,2,2-tetrafluoro-, oxidized, polymd., reduced. 69991–67–9 ...... 1-Propene, 1,1,2,3,3,3-hexafluoro-, oxidized, polymd. 70225–14–8 ...... 1-Octanesulfonic acid, 1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluoro-, compd. with 2,2′-iminobis[ethanol] (1:1). 70225–15–9 ...... 1-Heptanesulfonic acid, 1,1,2,2,3,3,4,4,5,5,6,6,7,7,7-pentadecafluoro-, compd. with 2,2′-iminobis[ethanol] (1:1). 70225–16–0 ...... 1-Hexanesulfonic acid, 1,1,2,2,3,3,4,4,5,5,6,6,6-tridecafluoro-, compd. with 2,2′-iminobis[ethanol] (1:1). 70225–17–1 ...... 1-Pentanesulfonic acid, 1,1,2,2,3,3,4,4,5,5,5-undecafluoro-, compd. with 2,2′-iminobis[ethanol] (1:1). 70225–18–2 ...... 1-Butanesulfonic acid, 1,1,2,2,3,3,4,4,4-nonafluoro-, compd. with 2,2′-iminobis[ethanol] (1:1). 70969–47–0 ...... Thiols, C8-20, .gamma.-.omega.-perfluoro, telomers with acrylamide. 70983–59–4 ...... Poly(oxy-1,2-ethanediyl), .alpha.-methyl-.omega.-hydroxy-, 2-hydroxy-3-[(.gamma.-.omega.-perfluoro-C6-20-alkyl)thio]propyl ethers. 70983–60–7 ...... 1-Propanaminium, 2-hydroxy-N,N,N-trimethyl-, 3-[(.gamma.-.omega.-perfluoro-C6-20-alkyl)thio] derivs., chlorides. 71608–60–1 ...... Pentanoic acid, 4,4-bis[(.gamma.-.omega.-perfluoro-C8-20-alkyl)thio] derivs. 71832–66–1 ...... Propanenitrile, 3-[1-[difluoro[(1,2,2-trifluoroethenyl)oxy]methyl]-1,2,2,2-tetrafluoroethoxy]-2,2,3,3-tetrafluoro-, polymer with 1,1,2,2-tetrafluoroethene and 1,1,2-trifluoro-2-(trifluoromethoxy)ethene. 72623–77–9 ...... Fatty acids, C6-18, perfluoro, ammonium salts. 72968–38–8 ...... Fatty acids, C7-13, perfluoro, ammonium salts. 74398–72–4 ...... 1-Butene, 4-bromo-3,3,4,4-tetrafluoro-, polymer with 1,1-difluoroethene, 1,1,2,3,3,3-hexafluoro-1-propene and 1,1,2,2- tetrafluoroethene. 74499–44–8 ...... Phosphoric acid, .gamma.-.omega.-perfluoro-C8-16-alkyl esters, compds. with diethanolamine. 74499–68–6 ...... Propane, 1,1,1,2,2,3,3-heptafluoro-3-[(1,2,2-trifluoroethenyl)oxy]-, polymer with 1,1-difluoroethene and 1,1,2,2- tetrafluoroethene. 74499–71–1 ...... 1-Propene, 1,1,2,3,3,3-hexafluoro-, polymer with ethene, 1,1,1,2,2,3,3-heptafluoro-3-[(1,2,2-trifluoroethenyl)oxy]propane and 1,1,2,2-tetrafluoroethene. 78560–44–8 ...... Silane, trichloro(3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10-heptadecafluorodecyl)-. 79070–11–4 ...... Poly(difluoromethylene), .alpha.-chloro-.omega.-(2,2-dichloro-1,1,2-trifluoroethyl)-. 80010–37–3 ...... Poly(difluoromethylene), .alpha.-fluoro-.omega.-(2-sulfoethyl)-. 83048–65–1 ...... Silane, (3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10-heptadecafluorodecyl)trimethoxy-. 86508–42–1 ...... Perfluoro compounds, C5-18. 88645–29–8 ...... Ethene, 1,1,2,2-tetrafluoro-, oxidized, polymd., reduced, Me esters, reduced. 95144–12–0 ...... Poly(difluoromethylene), .alpha.-fluoro-.omega.-[2-(phosphonooxy)ethyl]-, ammonium salt (1:?). 97553–95–2 ...... Thiocyanic acid, .gamma.-.omega.-perfluoro-C4-20-alkyl esters. 97659–47–7 ...... Alkenes, C8-14 .alpha.-, .delta.-.omega.-perfluoro. 101316–90–9 .... Ethene, 1,1,2,2-tetrafluoro-, oxidized, polymd., reduced, Me esters, reduced, acrylates. 118400–71–8 .... Disulfides, bis(.gamma.-.omega.-perfluoro-C6-20-alkyl). 123171–68–6 .... Poly(difluoromethylene), .alpha.-[2-(acetyloxy)-3-[(carboxymethyl)dimethylammonio]propyl]-.omega.-fluoro-, inner salt. 125061–94–1 .... Naphthalene, [difluoro(1,2,2,3,3,4,4,5,5,6,6–undecafluorocyclohexyl)methyl]heptadecafluorodecahydro-. 125476–71–3 .... Silicic acid (H4SiO4), sodium salt (1:2), reaction products with chlorotrimethylsilane and 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10– heptadecafluoro-1-decanol. 126066–30–6 .... Poly[oxy[trifluoro(trifluoromethyl)–1,2-ethanediyl]], .alpha.-[1,2,2,2-tetrafluoro-1-(hydroxymethyl)ethyl]-.omega.- [tetrafluoro(trifluoromethyl)ethoxy]-. 132182–92–4 .... Pentane, 1,1,1,2,2,3,4,5,5,5–decafluoro-3-methoxy-4-(trifluoromethyl)-. 132843–44–8 .... Ethanesulfonamide, 1,1,2,2,2–pentafluoro-N-[(1,1,2,2,2-pentafluoroethyl)sulfonyl]-, lithium salt (1:1). 134035–61–3 .... Poly[oxy[trifluoro(trifluoromethyl)–1,2-ethanediyl]], .alpha.-[1,2,2,2-tetrafluoro-1-(methoxycarbonyl)ethyl]-.omega.- [tetrafluoro(trifluoromethyl)ethoxy]-. 135228–60–3 .... Hexane, 1,6-diisocyanato-, homopolymer, .gamma.-.omega.-perfluoro-C6-20-alc.-blocked. 138495–42–8 .... Pentane, 1,1,1,2,2,3,4,5,5,5–decafluoro-.
VerDate Sep<11>2014 18:17 Jun 25, 2021 Jkt 253001 PO 00000 Frm 00030 Fmt 4702 Sfmt 4702 E:\FR\FM\28JNP1.SGM 28JNP1 khammond on DSKJM1Z7X2PROD with PROPOSALS Federal Register / Vol. 86, No. 121 / Monday, June 28, 2021 / Proposed Rules 33943
CASRN Chemical name
142636–88–2 .... 2–Propenoic acid, 2-methyl-, octadecyl ester, polymer with 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,12- heneicosafluorododecyl 2-propenoate, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10-heptadecafluorodecyl 2-propenoate and 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13,14,14,14-pentacosafluorotetradecyl 2-propenoate. 143372–54–7 .... Siloxanes and Silicones, (3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10–heptadecafluorodecyl)oxy Me, hydroxy Me, Me octyl, ethers with polyethylene glycol mono-Me ether. 147545–41–3 .... 1-Butanesulfonamide, 1,1,2,2,3,3,4,4,4-nonafluoro-N-(2-hydroxyethyl)-N-methyl-, phosphate (ester). 148240–85–1 .... 1,3–Propanediol, 2,2-bis[[(.gamma.-.omega.-perfluoro-C4-10-alkyl)thio]methyl] derivs., phosphates, ammonium salts. 148240–87–3 .... 1,3–Propanediol, 2,2-bis[[(.gamma.-.omega.-perfluoro-C6-12-alkyl)thio]methyl] derivs., phosphates, ammonium salts. 148240–89–5 .... 1,3–Propanediol, 2,2-bis[[(.gamma.-.omega.-perfluoro-C10-20-alkyl)thio]methyl] derivs., phosphates, ammonium salts. 149935–01–3 .... 1–Propene, 1,1,2,3,3,3-hexafluoro-, polymer with 1,1-difluoroethene, ethene, 1,1,2,2-tetrafluoroethene and 1,1,2-trifluoro-2- (trifluoromethoxy)ethene. 150135–57–2 .... 2–Propenoic acid, 2-methyl-, 2-(dimethylamino)ethyl ester, polymers with Bu acrylate, .gamma.-.omega.-perfluoro-C8-14-alkyl acrylate and polyethylene glycol monomethacrylate, 2,2′-(1,2-diazenediyl)bis[2,4-dimethylpentanenitrile]-initiated. 156559–18–1 .... 2–Oxiranemethanol, polymers with reduced Me esters of reduced polymd. oxidized tetrafluoroethylene. 161075–12–3 .... Ethene, tetrafluoro-, oxidized, polymd., reduced, Me esters. 162492–15–1 .... Ethene, 1,1,2,2–tetrafluoro-, oxidized, polymd., reduced, Me esters, reduced, ethoxylated. 163702–05–4 .... Butane, 1-ethoxy-1,1,2,2,3,3,4,4,4-nonafluoro-. 163702–06–5 .... Propane, 2-(ethoxydifluoromethyl)-1,1,1,2,3,3,3-heptafluoro-. 163702–07–6 .... Butane, 1,1,1,2,2,3,3,4,4-nonafluoro-4-methoxy-. 163702–08–7 .... Propane, 2-(difluoromethoxymethyl)-1,1,1,2,3,3,3-heptafluoro-. 165178–32–5 .... Propane, 1,1,1,2,2,3,3-heptafluoro-3-[(1,2,2-trifluoroethenyl)oxy]-, polymer with 1,1,2,2-tetrafluoroethene and 1,1,2-trifluoro-2- (trifluoromethoxy)ethene. 177484–43–4 .... Propanenitrile, 2,3,3,3-tetrafluoro-2-[1,1,2,2,3,3-hexafluoro-3-[(1,2,2-trifluoroethenyl)oxy]propoxy]-, polymer with 1,1,2,2- tetrafluoroethene and 1,1,2-trifluoro-2-(trifluoromethoxy)ethene. 178094–69–4 .... 1-Octanesulfonamide, N-[3-(dimethyloxidoamino)propyl]-1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluoro-, potassium salt (1:1). 178535–23–4 .... Fatty acids, linseed-oil, .gamma.-.omega.-perfluoro-C8-14-alkyl esters. 180582–79–0 .... Sulfonic acids, C6-12-alkane, .gamma.-.omega.-perfluoro, ammonium salts. 182176–52–9 .... Ethaneperoxoic acid, reaction products with 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10-heptadecafluorodecyl thiocyanate and 3,3,4,4,5,5,6,6,7,7,8,8,8-tridecafluorooctyl thiocyanate. 185701–88–6 .... Propanoyl fluoride, 2,3,3,3-tetrafluoro-2-[1,1,2,3,3,3-hexafluoro-2-(1,1,2,2,3,3,3-heptafluoropropoxy)propoxy]-, polymer with 2,2,3-trifluoro-3-(trifluoromethyl)oxirane, reaction products with 3-(ethenyldimethylsilyl)-N-methylbenzenamine. 196316–34–4 .... 2-Propenoic acid, 2-methyl-, 2-(dimethylamino)ethyl ester, polymers with .gamma.-.omega.-perfluoro-C10-16-alkyl acrylate and vinyl acetate, acetates. 200013–65–6 .... Diphosphoric acid, polymers with ethoxylated reduced Me esters of reduced polymd. oxidized tetrafluoroethylene. 200513–42–4 .... 2-Propenoic acid, 2-methyl-, polymer with butyl 2-methyl-2-propenoate, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10- heptadecafluorodecyl 2-propenoate, 2-hydroxyethyl 2-methyl-2-propenoate and methyl 2-methyl-2-propenoate. 212335–64–3 .... 2-Propenoic acid, reaction products with N-[3-(dimethylamino)propyl]-1,1,2,2,3,3,4,4,4-nonafluoro-1-butanesulfonamide. 220075–01–4 .... Propanedioic acid, 2-(3,3,4,4,5,5,6,6,7,7,8,8,8-tridecafluorooctyl)-, 1,3-dimethyl ester. 220182–27–4 .... 1-Propene, 1,1,2,3,3,3-hexafluoro-, telomer with chlorotrifluoroethene, oxidized, reduced, Et ester, hydrolyzed. 220459–70–1 .... Glycine, N,N-bis[2-hydroxy-3-(2-propen-1-yloxy)propyl]-, sodium salt (1:1), reaction products with ammonium hydroxide and 1,1,1,2,2-pentafluoro-2-iodoethane-tetrafluoroethylene telomer. 220689–12–3 .... Phosphonium, tetrabutyl-, 1,1,2,2,3,3,4,4,4-nonafluoro-1-butanesulfonate (1:1). 226409–30–9 .... Propanedioic acid, 2-(3,3,4,4,5,5,6,6,7,7,8,8,8-tridecafluorooctyl)-, 1,3-bis[4-(ethenyloxy)butyl] ester. 238420–68–3 .... Propanedioic acid, mono(.gamma.-.omega.-perfluoro-C8-12-alkyl) derivs., di-me esters. 238420–80–9 .... Propanedioic acid, mono(.gamma.-.omega.-perfluoro-C8-12-alkyl) derivs., bis[4-(ethenyloxy)butyl] esters. 274917–93–0 .... Ethene, tetrafluoro-, oxidized, polymd., reduced, decarboxylated, C3 fraction. 274917–94–1 .... Ethene, tetrafluoro-, oxidized, polymd., reduced, decarboxylated, C4 fraction. 274917–95–2 .... Ethene, tetrafluoro-, oxidized, polymd., reduced, decarboxylated, C5 fraction. 274917–96–3 .... Ethene, tetrafluoro-, oxidized, polymd., reduced, decarboxylated, C6 fraction. 274917–97–4 .... Ethene, tetrafluoro-, oxidized, polymd., reduced, decarboxylated, C7 fraction. 274918–01–3 .... Ethene, tetrafluoro-, oxidized, polymd., reduced, decarboxylated, C8 fraction. 274918–02–4 .... Ethene, tetrafluoro-, oxidized, polymd., reduced, decarboxylated, C9 fraction. 274918–03–5 .... Ethene, tetrafluoro-, oxidized, polymd., reduced, decarboxylated, C10 fraction. 274918–09–1 .... Ethene, tetrafluoro-, oxidized, polymd., reduced, decarboxylated, C11 fraction. 274918–10–4 .... Ethene, tetrafluoro-, oxidized, polymd., reduced, decarboxylated, C12 fraction. 274918–12–6 .... Ethene, tetrafluoro-, oxidized, polymd., reduced, decarboxylated, C13 fraction. 297730–93–9 .... Hexane, 3-ethoxy-1,1,1,2,3,4,4,5,5,6,6,6-dodecafluoro-2-(trifluoromethyl)-. 328389–90–8 .... 1,2-Propanediol, 3-(diethylamino)-, polymers with 5-isocyanato-1-(isocyanatomethyl)-1,3,3-trimethylcyclohexane, propylene glycol and reduced Me esters of reduced polymd. oxidized tetrafluoroethylene, 2-ethyl-1-hexanol-blocked, acetates (salts). 332350–90–0 .... Phosphonium, tributyl(2-methoxypropyl)-, salt with 1,1,2,2,3,3,4,4,4-nonafluoro-N-methyl-1-butanesulfonamide (1:1). 332350–93–3 .... Phosphonium, triphenyl(phenylmethyl)-, salt with 1,1,2,2,3,3,4,4,4-nonafluoro-N-methyl-1-butanesulfonamide (1:1). 421595–49–5 .... 2-Propenoic acid, 2-hydroxyethyl ester, adduct with 5-isocyanato-1-(isocyanatomethyl)-1,3,3-trimethylcyclohexane (1:1), reac- tion products with ethoxylated reduced Me esters of reduced polymd. oxidized tetrafluoroethylene. 449177–94–0 .... Oxetane, 3-methyl-3-[(2,2,3,3,3-pentafluoropropoxy)methyl]-. 452080–67–0 .... Boron, trifluoro(tetrahydrofuran)-, (T-4)-, polymer with 3-methyl-3-[(2,2,3,3,3-pentafluoropropoxy)methyl]oxetane, ether with 2,2-dimethyl-1,3-propanediol (2:1), bis(hydrogen sulfate), diammonium salt. 475678–78–5 .... Oxetane, 3-methyl-3-[[(3,3,4,4,5,5,6,6,6-nonafluorohexyl)oxy]methyl]-. 484024–67–1 .... 1-Butanesulfonamide, 1,1,2,2,3,3,4,4,4-nonafluoro-N-(2-hydroxyethyl)-, ammonium salt (1:1). 502164–17–2 .... Ethene, 1,1,2,2-tetrafluoro-, oxidized, polymd., reduced, Et esters. 753501–40–5 .... Boron, trifluoro(tetrahydrofuran)-, (T-4)-, polymer with 3-methyl-3-[(2,2,3,3,3-pentafluoropropoxy)methyl]oxetane, ether with 2,2-dimethyl-1,3-propanediol (2:1). 753501–43–8 .... Boron, trifluoro(tetrahydrofuran)-, (T-4)-, polymer with .alpha.-hydro-.omega.-hydroxypoly(oxy-1,2-ethanediyl) and 3-methyl-3- [(2,2,3,3,3-pentafluoropropoxy)methyl]oxetane.
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CASRN Chemical name
864910–70–3 .... Boron, trifluoro(tetrahydrofuran)-, (T-4)-, polymer with 2-methyloxirane, 3-methyl-3-[(2,2,3,3,3- pentafluoropropoxy)methyl]oxetane, oxirane and tetrahydrofuran. 874290–13–8 .... Ethene, 1-[difluoro(trifluoromethoxy)methoxy]-1,2,2-trifluoro-, polymer with 1,1-difluoroethene. 878545–84–7 .... 1-Propene, 1,1,2,3,3,3-hexafluoro-, polymer with 1,1,2,2-tetrafluoroethene, 1,1,2-trifluoro-2-(1,1,2,2,2-pentafluoroethoxy)ethene and 1,1,2-trifluoro-2-(trifluoromethoxy)ethene. 957209–18–6 .... Furan, 2,3,3,4,4-pentafluorotetrahydro-5-methoxy-2,5-bis[1,2,2,2-tetrafluoro-1-(trifluoromethyl)ethyl]-. 1029089–63–1 .. Boron, trifluoro(tetrahydrofuran)-, (T-4)-, polymer with 3-methyl-3-[(2,2,3,3,3-pentafluoropropoxy)methyl]oxetane, ether with 2,2-dimethyl-1,3-propanediol (2:1), polymer with .alpha.-hydro-.omega.-hydroxypoly(oxy-1,2-ethanediyl) and 5-isocyanato-1- (isocyanatomethyl)-1,3,3-trimethylcyclohexane. 1033385–42–0 .. Poly[oxy[trifluoro(trifluoromethyl)-1,2-ethanediyl]], .alpha.-[1,2,2,2-tetrafluoro-1-[[(2-hydroxyethyl)amino]carbonyl]ethyl]-.omega.- [tetrafluoro(trifluoromethyl)ethoxy]-, ether with .alpha.-hydro-.omega.-hydroxypoly(oxy-1,2-ethanediyl) (2:1). 1078142–10–5 .. 1,3-Propanediol, 2,2-bis[[(.gamma.-.omega.-perfluoro-C6-12-alkyl)thio]methyl] derivs., polymers with 2,2-bis[[(.gamma.- .omega.-perfluoro-C10-20-alkyl)thio]methyl]-1,3-propanediol, 1,6-diisocyanato-2,2,4(or 2,4,4)-trimethylhexane, 2-heptyl-3,4- bis(9-isocyanatononyl)-1-pentylcyclohexane and 2,2′-(methylimino)bis[ethanol]. 1078712–88–5 .. Thiols, C4-20, .gamma.-.omega.-perfluoro, telomers with acrylamide and acrylic acid, sodium salts. 1078715–61–3 .. 1-Propanaminium, 3-amino-N-(carboxymethyl)-N,N-dimethyl-, N-[2-[(.gamma.-.omega.-perfluoro-C4-20-alkyl)thio]acetyl] derivs., inner salts. 1092822–31–5 .. 2-Propenoic acid, 2-methyl-, dodecyl ester, polymer with 2-hydroxyethyl 2-propenoate, .alpha.-(2-methyl-1-oxo-2-propen-1-yl)- .omega.-methoxypoly(oxy-1,2-ethanediyl) and 3-methyl-3-[(2,2,3,3,3-pentafluoropropoxy)methyl]oxetane polymer with tetra- hydrofuran mono[[(1-oxo-2-propen-1-yl)oxy]ethyl] ether. 1214752–87–0 .. Borate(1-), tetrahydro-, sodium (1:1), reaction products with reduced polymd. oxidized tetrafluoroethylene, hydrolyzed, diallyl ethers, polymers with 2,4,6,8-tetramethylcyclotetrasiloxane, Si-(8,13-dioxo-4,7,12-trioxa-9-azapentadec-14-en-1-yl) derivs.. 1215851–50–5 .. Sulfonium, [1,1′-biphenyl]-4-yl[4-([1,1′-biphenyl]-4-ylthio)phenyl]phenyl-, (OC-6-21)-trifluorotris(1,1,2,2,2- pentafluoroethyl)phosphate(1-) (1:1). 1224429–82–6 .. Phosphoric acid, mixed esters with polyethylene glycol and 3,3,4,4,5,5,6,6,7,7,8,8,8-tridecafluoro-1-octanol, ammonium salts. 1269217–82–4 .. Thieno[3,4-b]thiophene, homopolymer, 2-[1-[difluoro[(1,2,2-trifluoroethenyl)oxy]methyl]-1,2,2,2-tetrafluoroethoxy]-1,1,2,2- tetrafluoroethanesulfonic acid-tetrafluoroethylene polymer-doped. 1279108–20–1 .. Hexane, 1,6-diisocyanato-, homopolymer, .alpha.-[1-[[[3-[[3-(dimethylamino)propyl]amino]propyl]amino]carbonyl]-1,2,2,2- tetrafluoroethyl]-.omega.-(1,1,2,2,3,3,3-heptafluoropropoxy)poly[oxy[trifluoro(trifluoromethyl)-1,2-ethanediyl]]-blocked. 1378928–76–7 .. Ethanesulfonyl fluoride, 2-[1-[difluoro][(1,2,2-trifluoroethenyl)oxy]methyl]-1,2,2,2-tetrafluoroethoxy]-1,1,2,2-tetrafluoro-, polymer with 1,1,2,2-tetrafluoroethene, hydrolyzed, potassium salts. 1378930–04–1 .. Ethanesulfonyl fluoride, 2-[1-[difluoro[(1,2,2-trifluoroethenyl)oxy]methyl]-1,2,2,2-tetrafluoroethoxy]-1,1,2,2-tetrafluoro-, polymer with 1,1,2,2-tetrafluoroethene, hydrolyzed. 1378930–30–3 .. Propanoic acid, 3-[1-[difluoro[(1,2,2-trifluoroethenyl)oxy]methyl]-1,2,2,2-tetrafluoroethoxy]-2,2,3,3-tetrafluoro-, methyl ester, polymer with 1,1,2,2-tetrafluoroethene, hydrolyzed, potassium salts. 1564254–27–8 .. Ethene, 1,1,2,2-tetrafluoro-, oxidized, polymd., reduced, Me esters, reduced, N-(3-isocyanatomethylphenyl)carbamates. 1627515–87–0 .. Hexanedioic acid, polymers with 1,3-butanediol, 1,4-butanediol, di-Et malonate, 1,6-diisocyanatohexane, ethoxylated reduced Me esters of reduced polymd. oxidized tetrafluoroethylene, 1,6-hexanediol, 1,1′-methylenebis[isocyanatobenzene], pro- pylene glycol and tripropylene glycol. 1687740–67–5 .. Ethanesulfonyl fluoride, 1,1,2,2-tetrafluoro-2-[(1,2,2-trifluoroethenyl)oxy]-, polymer with 1,1,2,2-tetrafluoroethene, hydrolyzed, lithium salts. 1708962–18–8 .. Methanol, reaction products with 1,1,1,2,2,3,4,5,5,6,6,7,7,7-tetradecafluoro-3-heptene. 1708962–19–9 .. Methanol, reaction products with 1,1,1,2,3,4,4,5,5,6,6,7,7,7-tetradecafluoro-2-heptene. 1807944–82–6 .. 1-Octanesulfonic acid, 3,3,4,4,5,5,6,6,7,7,8,8,8-tridecafluoro-, barium salt (2:1).
(b) Examples of PFAS by TSCA Accession Number.
TSCA accession No. Chemical name
44305 ...... Perfluoroalkyl ethanol and methyl alcohol adducts of toluene diisocyanate. 46641 ...... Siloxanes and silicones, dimethyl, methylfluoroalkyl (PROVISIONAL). 60710 ...... Modified ethylene-tetrafluoro ethylene copolymer (PROVISIONAL). 62625 ...... Disubstituted tetrafluoroalkane. 67993 ...... Substituted tetrafluoroalkene. 68101 ...... Disubstituted tetrafluoroalkane. 70907 ...... Perfluoroalkyl acrylate copolymer latex (PROVISIONAL). 71217 ...... Polyfluoroalkyl betaine (PROVISIONAL). 71273 ...... Fluorinated alkyl silane (PROVISIONAL). 73940 ...... 2-Oxepanone, polymer with n-decanol and heptadecafluorodecanol, reaction product with benzene, diisocyanatomethyl (PRO- VISIONAL). 74465 ...... Fluoroalkylsiloxane hydrolyzate (PROVISIONAL). 82623 ...... Perfluoroalkyl polyether (PROVISIONAL). 87639 ...... Fluoro elastomer (PROVISIONAL). 89419 ...... Modified fluoroalkyl urethane (PROVISIONAL). 91748 ...... Fluoro alkyl siloxane polymer (PROVISIONAL). 99333 ...... Siloxanes and silicones, dimethyl, methylfluoroalkyl (PROVISIONAL). 100700 ...... 2-Propenoic acid, 2-methyl-, methyl ester, polymer with poly(difluoromethylene), .omega.-(2-((1-oxo-2-propenyl)oxy)ethyl)- (PROVISIONAL). 102659 ...... Perfluoroelastomer (PROVISIONAL). 103129 ...... Perfluoroalkenyltrialkylammonium salt (PROVISIONAL).
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TSCA accession No. Chemical name
104984 ...... Fluorosiloxane polymer (PROVISIONAL). 105590 ...... Salt of perfluoro fatty acids (PROVISIONAL). 107734 ...... Fluorinated acrylic ester polymer (PROVISIONAL). 109649 ...... Perfluoroelastomer (PROVISIONAL). 113758 ...... Fluorocarbon polymer (PROVISIONAL). 114795 ...... Copolymers of fluoroolefin and vinyl ethers (PROVISIONAL). 114831 ...... Copolymers of fluoroolefin and vinyl ethers (PROVISIONAL). 115118 ...... Fluorinated acrylic ester copolymer (PROVISIONAL). 115776 ...... Reaction product of a fluorinated alcohol, epichlorohydrin, an alkyl glycol and an isocyanate (PROVISIONAL). 117727 ...... Fluorinated substituted urethane (PROVISIONAL). 118219 ...... Perfluoroalkylacrylate (PROVISIONAL). 118322 ...... Perfluoroalkylsulfonamide salt (PROVISIONAL). 118708 ...... Reaction product of a fluorinated alcohol, epichlorohydrin, a diol and an isocyanate (PROVISIONAL). 122453 ...... Substituted perfluoroalkenyl ammonium salt (PROVISIONAL). 125601 ...... Copolymers of fluoroolefin and vinyl ethers (PROVISIONAL). 127765 ...... Quaternary ammonium perfluoroalkyl carboxylate (PROVISIONAL). 128677 ...... Perfluoroalkyl ethylacrylate oligomer (PROVISIONAL). 129103 ...... Modified perfluoropolyoxyalkane (PROVISIONAL). 131987 ...... Fluorinated phosphate (PROVISIONAL). 132957 ...... Polyfluoroacyl chloride (PROVISIONAL). 134748 ...... Perfluoropolyamphiphile (PROVISIONAL). 135058 ...... Perfluoroalkylethylacrylate copolymer (PROVISIONAL). 136415 ...... Copolymer of fluoroolefin (PROVISIONAL). 137587 ...... Perfluoroalkylethylacrylate copolymer (PROVISIONAL). 137667 ...... Perfluoroalkylethylacrylate copolymer (PROVISIONAL). 137678 ...... Fluoroelastomer (PROVISIONAL). 138648 ...... Fluorinated acrylic copolymer (PROVISIONAL). 142008 ...... Fluorinated polyalkyl alkoxy siloxanes (PROVISIONAL). 144582 ...... Perfluoroalkylethyl ester (PROVISIONAL). 146282 ...... Aromatic fluoroalkyl mixture complex. 150755 ...... Perfluorinated alcohol (PROVISIONAL). 152137 ...... Aryl phosphonate ester of a perfluoropolyether (PROVISIONAL). 152411 ...... Perfluoroalkylethylacrylate copolymer (PROVISIONAL). 153209 ...... Perfluoroalkylacrylate copolymer (PROVISIONAL). 153345 ...... Betaines, dimethyl (polyfluoro-hydro-alkyl) (PROVISIONAL). 155567 ...... Fluorinated silane (PROVISIONAL). 158022 ...... Perfluoroalkylacrylate copolymer (PROVISIONAL). 159707 ...... Fluoroelastomer (PROVISIONAL). 160339 ...... Modified fluorinated acrylic resin (PROVISIONAL). 160680 ...... Polyfluoro alkylether (PROVISIONAL). 163214 ...... Fluoroethylene-vinylether copolymer (PROVISIONAL). 164148 ...... Perfluoroalkylacrylate copolymer (PROVISIONAL). 166973 ...... Modified perfluoropolyether salt (PROVISIONAL). 167410 ...... Copolymer of tetrafluoroethylene and perfluoroalkoxy ethene (PROVISIONAL). 168833 ...... Perfluoroalkylethyl amine (PROVISIONAL). 169347 ...... Perfluoroalkylethyl ester (PROVISIONAL). 169698 ...... Hydrofluorocarbon ethers (PROVISIONAL). 171790 ...... Perfluoroalkylethyl acrylate copolymer (PROVISIONAL). 172851 ...... Perfluoroalkylphosphate ammonium salt (PROVISIONAL). 174993 ...... Poly-.beta.-fluoroalkylethyl acrylate and alkyl acrylate (PROVISIONAL). 176740 ...... Poly-.beta.-fluoroalkylethyl acrylate and polyoxyalkyl methacrylate (PROVISIONAL). 178008 ...... Siloxane grafted fluoroelastomer. 193578 ...... Alkyl perfluorinated acryloyl ester (PROVISIONAL). 194662 ...... Alkenoic acid, polymer with alkyl alkenoate, alkylalkylalkenoate, alkenoic acid and tridecafluoro alkylalkenoate, compds. with alkylaminoalcanol. 196704 ...... Fluorinated acrylic copolymer (PROVISIONAL). 199350 ...... Fluoroalkyl acrylate copolymer. 200818 ...... Perfluoropolyether modified organosilane (PROVISIONAL). 204230 ...... Polyfluoroalkyl phosphoric acid salt (PROVISIONAL). 205302 ...... Hydrofluoroolefin polymer with 1,1-difluoroethene (PROVISIONAL). 205313 ...... Polyfluoroacyl peroxide (PROVISIONAL). 217095 ...... Alkylpolycarboxylic acid, derivative, tris(fluorinatedalkoxy)alkyl ester salt. 218985 ...... Fluorinated organopolysilazane. 221637 ...... Polyfluoroalkyl phosphoric acid salt (PROVISIONAL). 225004 ...... Siloxanes and Silicones, alkyl, alkyl propoxy ethyl, methyl octyl, alkyl polyfluorooctyl. 227884 ...... Fluorinated acrylate, polymer with alkyloxirane homopolymer monether with alkanediol mono(2-methyl-2-propenoate), tert-Bu 2-ethylhexaneperoxoate-initiated. 230194 ...... Fluoropolymer (PROVISIONAL). 231255 ...... Fluoroalkyl methacrylate copolymer. 231642 ...... Fluoroethylene vinyl copolymer (PROVISIONAL). 231937 ...... Perfluoroalkylethyl methacrylate copolymer (PROVISIONAL). 231993 ...... Polyfluorinated alkyl thiol. 232269 ...... Fluorinated ester.
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TSCA accession No. Chemical name
234050 ...... Fluorosilicone polymer (PROVISIONAL). 234152 ...... Alkylene diisocyanate homopolymer, reaction product with substituted polyethylene glycol, perfluoroalkyl alcohol, methyl ethyl ketoxime and perfluoroalkylene glycol (PROVISIONAL). 234389 ...... Copolymer of tetrafluoroethene and perfluorosulfonylvinylether (PROVISIONAL). 234458 ...... Polyfluorinated alkyl thiol. 234981 ...... Fluoroalkyl acrylate copolymer (PROVISIONAL). 235586 ...... Fluoroalkyl acrylate copolymer (PROVISIONAL). 235724 ...... Perfluoroalkylethylmethacrylate copolymer (PROVISIONAL). 236181 ...... Fluorinated oligomer alcohol (PROVISIONAL). 236238 ...... Fluoroalkyl acrylate copolymer. 236750 ...... Polyfluorinated alkyl halide. 238052 ...... Perfluoropolyether compound (PROVISIONAL). 238096 ...... Alkyl methacrylates, polymer with substituted carbomonocycle, hydroxymethyl acrylamide and fluorinatedalkyl acrylate (PRO- VISIONAL). 238427 ...... Fluoroacrylate modified urethane (PROVISIONAL). 239191 ...... Fluoroalkyl methylacrylate copolymer. 239260 ...... Fluorinated alkylsulfonamidol urethane polymer (PROVISIONAL). 240052 ...... Perfluoropolyether ally ether (PROVISIONAL). 240392 ...... Fluoroalkyl methacrylate co-polymer (PROVISIONAL). 241099 ...... Perfluorobutanesulfonamide and polyoxyalkylene containing polyurethane. 241271 ...... Perfluoropolyether methoxysilane (PROVISIONAL). 242207 ...... Siloxanes and Silicones, aminoalkyl fluorooctyl, hydroxy-terminatedsalt. 242467 ...... Polyperfluoro alkylene glycol, perfluoroalkoxy-and hydroxy alkyl amido perfluoroalkyl terminated (PROVISIONAL). 243266 ...... Perfluoroalkylethyl methacrylate copolymer (PROVISIONAL). 243562 ...... Fluoro modified, polyether modified, and alkyl modified polymethylsiloxane (PROVISIONAL). 244076 ...... Fluoroalkyl substituted siloxanes (PROVISIONAL). 244441 ...... Fluoroalkyl acrylate copolymer modified with polysiloxanes. 244781 ...... Fluoropolymeric sulfonic acid (PROVISIONAL). 245397 ...... Fluoroalkyl methacrylate copolymer (PROVISIONAL). 245535 ...... Polyfluorinated alkyl thio polyacrylic acid-acrylamide. 245820 ...... Fluoroalkyl sulfonamide (PROVISIONAL). 245831 ...... Polymer of perfluoroalkylethylmethacrylate, alkylacrylate, chloroethene, and urethane methacrylate. 246118 ...... Perfluoroalkylated polyamino acid (PROVISIONAL). 246287 ...... Fluoroalkyl acrylate copolymer (PROVISIONAL). 247111 ...... Fluorinated aliphatic isocyanate polymer (PROVISIONAL). 248023 ...... Tetrafluoro acrylates copolymer with polyoxy methyl derivatives (PROVISIONAL). 248192 ...... Perfluoroalkylethyl methacrylate copolymer, salt (PROVISIONAL). 248567 ...... Perfluoroalkyl ethylmethacrylate copolymer. 248589 ...... Partially fluorinated alkyl betaine (PROVISIONAL). 248647 ...... Modified fluorinated acrylate. 249220 ...... Partially fluorinated borate ester (PROVISIONAL). 249311 ...... Fluoro-modified acrylic copolymer. 249399 ...... Fluoralkyl acrylate copolymer. 249559 ...... Diethylene glycol, polymer with diisocyanatoalkane, polyethylene glycol monomethyl ether- and fluorinatedalkanol-blocked (PROVISIONAL). 249640 ...... Fluoropolymeric sulfonic acid salt (PROVISIONAL). 249720 ...... Fluoroacrylate copolymer (PROVISIONAL). 251300 ...... Partially fluorinated alcohol, reaction products with phosphorus oxide (P2O5) (PROVISIONAL). 251662 ...... Fluoroalkyl acrylate co-polymer (PROVISIONAL). 251797 ...... Fluoroalkyl methacrylate copolymer (PROVISIONAL). 252290 ...... Urethane polymer modified with perfluoroalkylsulfonamide (PROVISIONAL). 253884 ...... Fluoroalkyl sulfonamide derivative. 253975 ...... Fluoroalkyl acrylate copolymer (PROVISIONAL). 254116 ...... Alkyl acid fluoride (PROVISIONAL). 254456 ...... Perfluoroalkylsulfonamidoalkyl acrylate, polymer with acrylic acid derivatives (PROVISIONAL). 254649 ...... Polyfluoroalkyl phosphoric acid salt (PROVISIONAL). 255653 ...... Fluoroalkyl acrylate copolymer. 255700 ...... Fluorinated acrylic copolymer (PROVISIONAL). 255846 ...... Fluorinated acrylic copolymer (PROVISIONAL). 255993 ...... Hexafluoropropylene-perfluoro (alkyl vinyl ether)-tetrafluoroethylene copolymer (PROVISIONAL). 256372 ...... Fluoro modified, polyether modified polyacrylate (PROVISIONAL). 256394 ...... Fluorinated copolymer (PROVISIONAL). 256452 ...... Perfluorinated organic peroxide (PROVISIONAL). 256678 ...... Perfluoroalkyl acrylate copolymer (PROVISIONAL). 257171 ...... Polymer of perfluoroalkylethylacrylate, alkylaminomethacrylate, hydroxyalkylmethacrylate, organic acid salt. 257444 ...... Phosphoric acid, mixed esters with partially fluorinated alcohol, ammonium salts (PROVISIONAL). 257580 ...... Partially fluorinated alcohol, reaction products with phosphorus oxide (P2O5), amine salts. 257911 ...... Perfluoroalkylethyl methacrylate copolymer (PROVISIONAL). 257922 ...... Alkane carboxylic acids esters with long chain fatty alcohol and fluorinated alkylsulfonamidoalkyl alcohol (PROVISIONAL). 257966 ...... Perfluoropolyether compound (PROVISIONAL). 258072 ...... Perfluorinated difunctional acid flouride (PROVISIONAL). 258174 ...... Polyfluoralkyl ether. 258196 ...... Perfluoroalkylethyl methacrylate copolymer (PROVISIONAL).
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TSCA accession No. Chemical name
258981 ...... Ethylene-tetrafluoroethylene-fluorinated alkene copolymer. 259360 ...... Copolymer of perfluoroalkylsulfonamidoalkyl acrylate and alkyl acrylate modified fatty acid dimers (PROVISIONAL). 259633 ...... Polyfluorinated alkyl polyamide. 259655 ...... Perfluoroalkyl substituted alkyl sulfonate. 260196 ...... Polyfluorinated alkyl amine. 260958 ...... Fluoroalkyl sulfonamide derivative. 261428 ...... Perfluoroalkyl acrylate (PROVISIONAL). 261462 ...... Partially fluorinated amphiphilic condensation polymer (PROVISIONAL). 261826 ...... Fluoroalkyl methacrylate co-polymer (PROVISIONAL). 262169 ...... Fluoroalkyl acrylate copolymer modified with polysiloxanes. 262341 ...... Copolymer of perfluorinated and alkyl methacrylates. 262545 ...... Polyfluorinated alkyl thio polyacrylamide. 262885 ...... Fluoro modified, polyether modified polyacrylate (PROVISIONAL). 263093 ...... Polyfluorinated alkyl thio polyacrylamide. 263208 ...... Pefluoroalkylethylmethacrylate copolymer (PROVISIONAL). 263435 ...... Polyfluorinated alkyl quaternary ammonium chloride. 264165 ...... Ammonium salt of fluorinated alkoxyfluoropropanoic acid. 264621 ...... Fluoroethylene-vinylether copolymer (PROVISIONAL). 264687 ...... Fluoroalkyl acrylate copolymer (PROVISIONAL). 264916 ...... Fluorinated vinyl ether polymer (PROVISIONAL). 264949 ...... Fluorochemical ester (PROVISIONAL). 265453 ...... Polyfluoroalkylproponic acid ethyl ester (PROVISIONAL). 265599 ...... Fluorinated acrylic copolymer (PROVISIONAL). 266423 ...... Perfluoropolyether modified silane (PROVISIONAL). 267095 ...... 2-Propenoic acid, 2-methyl-, 2-hydroxyethyl esters, telomers with C18–26-alkyl acrylate, 1-dodecanethiol, N-(hydroxymethyl)- 2-methyl-2-propenamide, polyfluorooctyl methacrylate, 2,2′-[1,2-diazenediylbis(1-methylethylidene)]bis[4,5-dihydro-1H-imid- azole]hydrochloride (1:2)-initiated (PROVISIONAL). 267948 ...... Fluorinated alkylsulfonamido acrylate copolymer (PROVISIONAL). 268781 ...... Fluoroalkyl methacrylate copolymer (PROVISIONAL). 268883 ...... Fluorinated sulfonamide alcohol (PROVISIONAL). 269079 ...... Fluorinated methacrylate monomer (PROVISIONAL). 269400 ...... Partially fluorinated alcohol substituted glycol (PROVISIONAL). 269604 ...... 2-Propenoic acid, 2-methyl-, 2-hydroxyethyl ester, telomers with C18–26-alkyl acrylate, 1-dodecanethiol, N-(hydroxymethyl)-2- methyl-2-propenamide, polyfluorooctyl methacrylate and vinylidene chloride, 2,2′-[1,2-diazenediylbis(1- methylethylidene)bis[4,5-dihydro-1H-imidazole] hydrochloride (1,2)-initiated (PROVISIONAL). 270598 ...... Tetrafluoroethylene chlorotrifluoroethylene copolymer (PROVISIONAL). 270601 ...... Fluoroelastomer (PROVISIONAL). 270770 ...... Modified fluorinated acrylate (PROVISIONAL). 271364 ...... Fluorinated polyalkyl silicones (PROVISIONAL). 271739 ...... Urethane polymer modified with perfluoroalkylsulfonamide and polyethoxylate (PROVISIONAL). 272038 ...... Ethylene-tetrafluoroethylene copolymer (PROVISIONAL). 272458 ...... Fluoroolefin copolymer (PROVISIONAL). 272583 ...... Fluoroalkyl acrylate copolymer. 272618 ...... Polyfluorinated alkyl thio acrylamide. 273611 ...... Trifluoroethene polymer with 4-(ethenyloxy)-1-butanol, ethene, ethoxy- and olefin ethoxy copolymer (PROVISIONAL). 274136 ...... Fluorinated alkylsulfonamido polymer (PROVISIONAL). 274147 ...... Perfluorinated polyamine (PROVISIONAL). 274352 ...... Fluoroalkylacrylate co-polymer (PROVISIONAL). 274363 ...... Modified fluorinated acrylate (PROVISIONAL). 274421 ...... Fluoroalkyl acrylate copolymer (PROVISIONAL). 274512 ...... Perfluoropolyether chlorosilane (PROVISIONAL). 274534 ...... Trifluoroethene polymer with, 4-(ethenyloxy)-1-butanol, olefin copolymers and amine (PROVISIONAL). 274658 ...... Partially fluorinated alcohol, reaction products with phosphorus oxide (P2O5), ammonium salts (PROVISIONAL). 274670 ...... Fluorinated acrylic alkylamino copolymer. 275719 ...... Fluorinated amine oxide (PROVISIONAL). 275899 ...... Perfluoropolyether-block-polytetrafluoroethylene (PROVISIONAL). 276052 ...... Fluorinated alkenyl ether (PROVISIONAL). 276109 ...... Siloxanes and silicones, amino alkyl substituted alkyl hydroxyl, hydroxyl fluorinated alkyl, ester salts, reaction products with mixed metal oxides (PROVISIONAL). 276303 ...... Perfluoro alkoxy acid fluoride derivative (PROVISIONAL). 276858 ...... Polyfluoroalkyl phosphoric acid (PROVISIONAL). 276950 ...... Fluorinated acrylic polymer with acrylate groups (PROVISIONAL). 277055 ...... Fluoroalkyl acrylate copolymer. 277420 ...... Fluorinated acrylic alkylamino copolymer (PROVISIONAL). 278105 ...... Fluoroalkyl methacrylate co-polymer (PROVISIONAL). 278138 ...... Fluoroalkyl acrylate copolymer (PROVISIONAL). 279051 ...... Perfluoropolyether compound (PROVISIONAL). 279108 ...... Perfluoroalkylethylmethacrylate copolymer. 279755 ...... Urethane polymer modified with perfluoroalkylsulfonamide (PROVISIONAL).
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(c) Examples of PFAS by LVE case number and CASRNs.
LVE case No. CASRN Chemical name
L–00–0274 ...... 260794–09–0 ... 2-Propenoic acid, 2-methyl-, 3-chloro-2-hydroxypropyl ester, polymers with N-(hydroxymethyl)-2- propenamide, .gamma.-.omega.-perfluoro-C8–16-alkyl acrylate, stearyl acrylate and vinyl chloride. L–00–0275 ...... 260794–06–7 ... 2-Propenoic acid, 2-methyl-, 3-chloro-2-hydroxypropyl ester, polymers with N-(hydroxymethyl)-2- propenamide, .gamma.-.omega.-perfluoro-C8–16-alkyl acrylate and stearyl acrylate. L–00–0316 ...... 165967–96–4 ... Poly(oxy-1,2-ethanediyl), .alpha.,.alpha.′,.alpha.″-[[(3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10- heptadecafluorodecyl)silylidyne]tris[oxy(dimethylsilylene)-3,1-propanediyl]]tris[.omega.-methoxy-. L–00–0328 ...... 355–37–3 ...... Hexane, 1,1,1,2,2,3,3,4,4,5,5,6,6-tridecafluoro-. L–01–0355 ...... 452080–67–0 ... Boron, trifluoro(tetrahydrofuran)-, (T–4)-, polymer with 3-methyl-3-[(2,2,3,3,3- pentafluoropropoxy)methyl]oxetane, ether with 2,2-dimethyl-1,3-propanediol (2:1), bis(hydrogen sulfate), diammonium salt. L–01–0447 ...... 113507–82–7 ... Ethanesulfonic acid, 1,1,2,2-tetrafluoro-2-(pentafluoroethoxy)-. L–01–0470 ...... 117205–07–9 ... Ethanesulfonic acid, 1,1,2,2-tetrafluoro-2-(pentafluoroethoxy)-, potassium salt. L–02–0278 ...... 178241–16–2 ... Trisiloxane, 3-[(dimethylsilyl)oxy]-1,1,5,5-tetramethyl-3-(3,3,4,4,5,5,6,6,6-nonafluorohexyl)-. L–02–0365 ...... 401510–99–4 ... 2,4,13,15-Tetrasilahexadecane, 4,13-bis[(dimethylsilyl)methyl]-7,7,8,8,9,9,10,10-octafluoro-2,4,13,15- tetramethyl-. L–02–0467 ...... 178241–16–2 ... Trisiloxane, 3-[(dimethylsilyl)oxy]-1,1,5,5-tetramethyl-3-(3,3,4,4,5,5,6,6,6-nonafluorohexyl)-. L–02–0468 ...... 401510–99–4 ... 2,4,13,15-Tetrasilahexadecane, 4,13-bis[(dimethylsilyl)methyl]-7,7,8,8,9,9,10,10-octafluoro-2,4,13,15- tetramethyl-. L–03–0400 ...... 506417–14–7 ... Silane, bis[(1,1-dimethyl-2-propynyl)oxy]methyl(3,3,4,4,5,5,6,6,6-nonafluorohexyl)-. L–04–0227 ...... 507225–02–7 ... Silsesquioxanes, 3,3,4,4,5,5,6,6,6-nonafluorohexyl, [(dimethylsilyl)oxy]-terminated. L–04–0430 ...... 705291–24–3 ... Cyclotetrasiloxanes, 2,4,6,8-tetramethl-, Si-mixed 3-(oxiranylmethoxy)propyl, and 3-[2,3,3,3-tetrafluoro-2- [1,1,2,3,3,3-hexafluoro-2-(heptafluoropropoxy)propoxy]propoxy]propyl, and 2-(trimethoxysilyl)ethyl derivs. L–04–0433 ...... 709670–53–1 ... Furan, tetrahydro-, polymer with 3-methyl-3-[(2,2,3,3,3-pentafluoropropoxy)methyl]oxetane, monoester with [3-(carboxyamino)methyl]-3,5,5-trimethylcyclohexyl]carbamic acid mono[2-[(1-oxo-2-propenyl)oxy]ethyl] ester, 2,2,2-trifluoroethyl ether. L–05–0013 ...... 133068–47–0 ... 3,8,11,14-Tetraoxa-2,4-disilaheptadecane, 4-[(dimethylsilyl)oxy]-10,12,12,13,15,15,16,16,17,17,17- undecafluoro-2,4-dimethyl-10,13-bis(trifluoromethyl)-. L–05–0015 ...... 145782–39–4 ... Trisiloxane, 1,1,3,5,5-pentamethyl-3-[3,4,4,4-tetrafluoro-3-[1,1,2,3,3,3-hexafluoro-2- (heptafluoropropoxy)propoxy]butyl]-. L–05–0016 ...... 717825–76–8 ... 4,7,10,15-Tetraoxa-14-silaeicos-19-yn-18-ol, 14,14-dibutyl-1,1,1,2,2,3,3,5,6,6,8-undecafluoro-18-methyl-5,8- bis(trifluoromethyl)-. L–05–0072 ...... 18323–96–1 ..... Ytterbium, tris(6,6,7,7,8,8,8-heptafluoro-2,2-dimethyl-3,5-octanedionato-.kappa.O,.kappa.O’)-. L–05–0177 ...... 802935–59–7 ... Propanoyl fluoride, 2,3,3,3-tetrafluoro-2-[1,1,2,3,3,3-hexafluoro-2-(heptafluoropropoxy)propoxy]-, polymer with trifluoro(trifluoromethyl)oxirane, reaction products with 3-(ethenyldimethylsilyl)-N-methylbenzenamine and 2,4,6,8-tetramethylcyclotetrasiloxane. L–06–0099 ...... 78560–47–1 ..... Silane, trichloro(3,3,4,4,5,5,6,6,6-nonafluorohexyl)-. L–06–0100 ...... 85877–79–8 ..... Silane, trimethoxy(3,3,4,4,5,5,6,6,6-nonafluorohexyl)-. L–06–0101 ...... 102390–98–7 ... Silane, triethoxy(3,3,4,4,5,5,6,6,6-nonafluorohexyl)-. L–06–0106 ...... 186599–46–2 ... Silanetriamine, N,N,N′,N′,N″,N″-hexamethyl-1-(3,3,4,4,5,5,6,6,6-nonafluorohexyl)-. L–06–0135 ...... 375–19–9 ...... Butanimidamide, 2,2,3,3,4,4,4-heptafluoro-. L–06–0207 ...... 848407–98–7 ... Sulfonium, triphenyl-, salt with 1,1,2,2,3,3,4,4-octafluoro-1,4-butanedisulfonic acid (2:1). L–06–0208 ...... 524067–96–7 ... Iodonium, bis[4-(1,1-dimethylethyl)phenyl]-, salt with 1,1,2,2,2-pentafluoro-N- [(pentafluoroethyl)sulfonyl]ethanesulfonamide (1:1). L–06–0256 ...... 376–84–1 ...... 2-Propenoic acid, 2,2,3,3,4,4,5,5-octafluoropentyl ester. L–07–0097 ...... 908858–79–7 ... Siloxanes and Silicones, di-Me, Me 3,3,4,4,5,5,6,6,6-nonafluorohexyl, chloro-terminated. L–07–0138 ...... 913292–62–3 ... Propanoyl fluoride, 2,3,3,3-tetrafluoro-2-[1,1,2,3,3,3-hexafluoro-2-(1,1,2,2,3,3,3-heptafluoropropoxy)propoxy]- , polymer with 2,2,3-trifluoro-3-(trifluoromethyl)oxirane, reaction products with 3,3′-(1,2-ethanediyl)bis[3- [(dimethylsilyl)oxy]-1,1,5,5-tetram. L–07–0158 ...... 917979–29–4 ... Propanol fluoride, 2,2′-[(1,1,2,2-tetrafluoro-1,2-ethanediyl)bis(oxy)]bis[2,3,3,3-tetrafluoro-, polymer with 2,2,3- trifluoro-3-(trifluoromethyl)oxirane, reaction products with 3-(ethenyldimethylsilyl)-N-methylbenzenamine and methylbis[(1-methylethenyl)oxy]silane. L–07–0190 ...... 66137–74–4 ..... Ethanesulfonyl fluoride, 1,1,2,2-tetrafluoro-2-(1,1,2,2-tetrafluoro-2-iodoethoxy)-. L–07–0225 ...... 882878–48–0 ... Siloxanes and Silicones, di-Me, Me 3,3,4,4,5,5,6,6,6-nonafluorohexyl. L–07–0253 ...... 144317–44–2 ... Sulfonium, triphenyl-, 1,1,2,2,3,3,4,4,4-nonafluoro-1-butanesulfonate (1:1). L–07–0254 ...... 241806–75–7 ... Sulfonium, tris[4-(1,1-dimethylethyl)phenyl]-, 1,1,2,2,3,3,4,4,4-nonafluoro-1-butanesulfonate (1:1). L–07–0367 ...... 375–96–2 ...... Nonane, 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,9-eicosafluoro-. L–07–0368 ...... 374–77–6 ...... Cyclohexane, 1,1,2,2,3,4,4,5,5,6-decafluoro-3,6-bis(trifluoromethyl)-. L–07–0404 ...... 799274–55–8 ... Iodonium, bis[4-(1,1-dimethylethyl)phenyl]-, 1,1,2,2,3,3,4,4-octafluoro-1,4-butanedisulfonate(2-) (2:1). L–08–0097 ...... 848408–02–6 ... Sulfonium, triphenyl-, 2,2’-oxybis[1,1,2,2-tetrafluoroethanesulfonate] (2:1). L–08–0213 ...... 756819–73–5 ... Cyclotetrasiloxane, 2,4,6,8-tetramethyl-2-[3-[2,3,3,3-tetrafluoro-2-[1,1,2,3,3,3-hexafluoro-2-(1,1,2,2,3,3,3- heptafluoropropoxy)propoxy]propoxy]propyl]-. L–08–0214 ...... 1005771–59–4 Cyclotetrasiloxane, 2,4,6,8-tetramethyl-2-[3-[2,3,3,3-tetrafluoro-2-[1,1,2,3,3,3-hexafluoro-2-(1,1,2,2,3,3,3- heptafluoropropoxy)propoxy]propoxy]propyl]-, Si-[3-(2-oxiranylmethoxy)propyl] derivs. L–08–0246 ...... 1010387–03–7 1,5-Trisiloxanediol, 1,1,3,5,5-pentamethyl-3-(3,3,4,4,5,5,6,6,7,7,8,8,8-tridecafluorooctyl)-. L–08–0261 ...... 1010423–83–2 Siloxanes and Silicones, Me hydrogen, [[7,9,9,10,12,12,13,13,14,14,14-undecafluoro-1,1-dimethyl-7,10- bis(trifluoromethyl)-5,8,11-trioxa-1-silatetradec-1-yl]oxy]-terminated. L–08–0362 ...... 122179–35–5 ... Disiloxane, 1,1,3,3-tetramethyl-1,3-bis(3,3,4,4,5,5,6,6,6-nonafluorohexyl)-. L–09–0018 ...... 808752–25–2 ... Sulfonium, triphenyl-, salt with 4,4,5,5,6,6-hexafluorodihydro-4H–1,3,2-dithiazine 1,1,3,3-tetraoxide (1:1). L–09–0059 ...... 862261–51–6 ... Sulfonium, (4-methylphenyl)diphenyl-, salt with 4,4,5,5,6,6-hexafluorodihydro-4H–1,3,2-dithiazine 1,1,3,3- tetraoxide (1:1).
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LVE case No. CASRN Chemical name
L–09–0080 ...... 1072943–15–7 Borate(1-), tetrahydro-, sodium (1:1), reaction products with reduced polymd. oxidized tetrafluoroethylene, hydrolyzed, diallyl ethers, polymers with 3-[(dimethylsilyl)oxy]-1,1,3,5,5-pentamethyl-1-[2 -(trimethoxysilyl)ethyl]trisiloxane. L–09–0104 ...... 882878–48–0 ... Siloxanes and Silicones, di-Me, Me 3,3,4,4,5,5,6,6,6-nonafluorohexyl. L–10–0129 ...... 1202381–95–0 Siloxanes and Silicones, di-Me, Bu group- and hydrogen-terminated, reaction products with 3- (ethenyldimethylsilyl)-N-methylbenzenamine and 2,3,3,3-tetrafluoro-2-[1,1,2,3,3,3-hexafluoro-2- (1,1,2,2,3,3,3-heptafluoropropoxy)propoxy]propanoyl fluoride-2,2,3-trifluoro-3-(trifluoromethyl)oxirane poly- mer. L–10–0130 ...... 1202381–96–1 Siloxanes and Silicones, di-Me, Bu group- and hydrogen-terminated, reaction products with 3- (ethenyldimethylsilyl)-N-methylbenzenamine and 2,2′-[(1,1,2,2-tetrafluoro-1,2- ethanediyl)bis(oxy)]bis[2,3,3,3-tetrafluoropropanoyl fluoride]-2,2,3-trifluoro-3-(trifluoromethyl)oxirane poly- mer. L–10–0166 ...... 1188330–60–0 Oxetane, 2,2,3,3-tetrafluoro-, homopolymer, fluorinated, reduced, bis(2,3-dihydroxypropyl) ethers. L–10–0260 ...... 1214752–87–0 Borate(1-), tetrahydro-, sodium (1:1), reaction products with reduced polymd. oxidized tetrafluoroethylene, hydrolyzed, diallyl ethers, polymers with 2,4,6,8-tetramethylcyclotetrasiloxane, Si-(8,13-dioxo-4,7,12-trioxa- 9-azapentadec-14-en-1-yl) derivs. L–10–0333 ...... 185911–29–9 ... Silanetriol, 1-(3,3,4,4,5,5,6,6,7,7,8,8,8-tridecafluorooctyl)-. L–10–0340 ...... 85857–16–5 ..... Silane, trimethoxy(3,3,4,4, 5,5,6,6,7,7,8,8, 8-tridecafluorooctyl)-. L–11–0313 ...... 1304011–35–5 Poly[oxy(methyl-1,2-ethanediyl)], .alpha.-hydro-.omega.-hydroxy-, polymer with 1,3- diisocyanatomethylbenzene, polyethylene glycol mono-Me ether- and 3,3,4,4,5,5,6,6,7,7,8,8,8- tridecafluoro-1-octanol-blocked. L–11–0313 ...... 1304012–00–7 Poly[oxy(methyl-1,2-ethanediyl)], .alpha.-hydro-.omega.-hydroxy-, ether with 2,2-bis(hydroxymethyl)-1,3- propanediol (4:1), polymer with 1,3-diisocyanatomethylbenzene, polyethylene glycol mono-Me ether- and 3,3,4,4,5,5,6,6,7,7,8,8,8-tridecafluoro-1-octanol-blocked. L–12–0008 ...... 307–08–4 ...... 1H-Fluorene, 1,1,2,2,3,3,4,4,4a,4b,5,5,6,6,7,7,8,8,8a,9,9,9a-docosafluorododecahydro-. L–12–0084 ...... 882878–48–0 ... Siloxanes and Silicones, di-Me, Me 3,3,4,4,5,5,6,6,6-nonafluorohexyl. L–12–0446 ...... 882878–48–0 ... Siloxanes and Silicones, di-Me, Me 3,3,4,4,5,5,6,6,6-nonafluorohexyl. L–13–0098 ...... 370097–12–4 ... 1-Propene, 1,1,2,3,3,3-hexafluoro-, oxidized, polymd., reduced, hydrolyzed, reaction products with ammonia. L–13–0170 ...... 2690–05–3 ...... Pentane, 1,1,1,2,2,3,4,4,5,5,5-undecafluoro-3-(1,1,2,2,2-pentafluoroethyl)-. L–13–0171 ...... 50285–18–2 ..... Pentane, 1,1,1, 2,2,3,4,5,5,5-decafluoro-3-[1,2,2,2-tetrafluoro-1-(trifluoromethyl)ethyl]-4-(trifluoromethyl)-. L–13–0172 ...... 306–98–9 ...... Cyclohexane, 1,1,2,2,3,3,4,4,5,6-decafluoro-5,6-bis(trifluoromethyl)-. L–13–0173 ...... 335–21–7 ...... Cyclohexane, 1,1,2,2,3,3,4,4,5,5,6-undecafluoro-6-(1,1,2,2,2-pentafluoroethyl)-. L–13–0174 ...... 354–97–2 ...... Pentane, 1,1,1,2,2,3,4,5,5,5-decafluoro-3-(1,1,2,2,2-pentafluoroethyl)-4-(trifluoromethyl)-. L–13–0175 ...... 374–76–5 ...... Cyclohexane, 1,1,2,3,3,4,5,5,6-nonafluoro-2,4,6-tris(trifluoromethyl)-. L–13–0176 ...... 423–02–9 ...... Cyclohexane, 1,1,2,2,3,3,4,4,5,5,6-undecafluoro-6-[1,2,2,2-tetrafluoro-1-(trifluoromethyl)ethyl]-. L–13–0178 ...... 1736–47–6 ...... 1H-Indene, 1,1,2,2,3,3,4,5,6,7-decafluoro-2,3-dihydro-. L–13–0179 ...... 51294–16–7 ..... Napthalene, heptadecafluorodecahydro(trifluoromethyl)-. L–13–0622 ...... 15242–17–8 ..... 1-Propene, 3-[1,2,2,2-tetrafluoro-1-(trifluoromethyl)ethoxy]-. L–13–0623 ...... 15538–93–9 ..... Silane, trichloro[3-[1,2,2,2-tetrafluoro-1-(trifluoromethyl)ethoxy]propyl]-. L–13–0624 ...... 19116–61–1 ..... Silane, trimethoxy[3-[1,2,2,2-tetrafluoro-1-(trifluoromethyl)ethoxy]propyl]-. L–14–0440 ...... 211931–77–0 ... Poly[oxy[trifluoro(trifluoromethyl)-1,2-ethanediyl]], .alpha.-[tetrafluoro(trifluoromethyl)ethyl]-.omega.-[1,2,2,2- tetrafluoro-1-[[3-(trimethoxysilyl)propoxy]methyl]ethoxy]-. L–15–0011 ...... 173524–60–2 ... Propanamide, 2,3,3,3-tetrafluoro-2-[1,1,2,3,3,3-hexafluoro-2-(heptafluoropropoxy)propoxy]-N-[3-(2,4,6,8- tetramethylcyclotetrasiloxan-2-yl)propyl]-. L–15–0443 ...... 335–23–9 ...... Cyclohexane, 1,1,2,2,3,3,4,5,5,6-decafluoro-4,6-bis(1,1,2,2,2-pentafluoroethyl)-. L–15–0444 ...... 354–96–1 ...... Butane, 1,1,1,2,3,4,4,4-octafluoro-2,3-bis(trifluoromethyl)-. L–15–0445 ...... 355–04–4 ...... Pentane, 1,1,1,2,2,3,3,4,5,5,5-undecafluoro-4-(trifluoromethyl)-. L–16–0337 ...... 374–59–4 ...... Cyclohexane, 1,1,2,2,3,3,4,4,5,5,6-undecafluoro-6-(1,1,2,2,3,3,3-heptafluoropropyl)-. L–16–0341 ...... 882878–48–0 ... Siloxanes and Silicones, di-Me, Me 3,3,4,4,5,5,6,6,6-nonafluorohexyl. L–17–0102 ...... 374–60–7 ...... Cyclohexane, 1,1,2,2,3,3,4,4,5,5,6-undecafluoro-6-(1,1,2,2,3,3,4,4,4-nonafluorobutyl)-. L–20–0016 ...... 2374700–01–1 Siloxanes and Silicones, di-Me, 3,3,4,4,5,5,6,6-nonafluorohexyl group terminated. L–20–0044 ...... 631842–87–0 ... 1-Pentadecene, 12,12,13,13,14,14,15,15,15-nonafluoro-. L–20–0045 ...... 2301857–79–2 Silane, trichloro(12,12,13,13,14,14,15,15,15-nonafluoropentadecyl)-. L–91–0059 ...... 83048–65–1 ..... Silane, (3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10-heptadecafluorodecyl)trimethoxy-. L–91–0239 ...... 29457–72–5 ..... 1-Octanesulfonic acid, 1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluoro-, lithium salt (1:1). L–92–0121 ...... 374–76–5 ...... Cyclohexane, 1,1,2,3,3,4,5,5,6-nonafluoro-2,4,6-tris(trifluoromethyl)-. L–92–0123 ...... 306–98–9 ...... Cyclohexane, 1,1,2,2,3,3,4,4,5,6-decafluoro-5,6-bis(trifluoromethyl)-. L–93–0061 ...... 182700–90–9 ... 1-Octanesulfonamide, 1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-heptadecafluoro-N-methyl-, reaction products with benzene-sulfur chloride (S2Cl2) reaction products chlorides. L–95–0212 ...... 355–74–8 ...... 1,6-Hexanediol, 2,2,3,3,4,4,5,5-octafluoro. L–95–0213 ...... 2264–01–9 ...... 2-Propenoic acid, 1,1’-(2,2,3,3,4,4,5,5-octafluoro-1,6-hexanediyl) ester. L–95–0354 ...... 166089–96–9 ... Siloxanes and silicones, Me hydrogen, [[dimethyl[3,3,4,4-tetrafluoro-4-[1,1,2,3,3,3-hexafluoro-2- (heptafluoropropoxy)propoxy]butyl]silyl]oxy]-terminated. L–96–0371 ...... 78560–45–9 ..... Silane, trichloro(3,3,4,4,5,5,6,6,7,7,8,8,8-tridecafluorooctyl)-. L–97–0041 ...... 132910–12–4 ... Poly[oxy[trifluoro(trifluoromethyl)-1,2-ethanediyl]], .alpha., .alpha′.-(1,1,2,2-tetrafluoro-1,2- ethanediyl)bis[.omega.-(1-carboxy-1,2,2,2-tetrafluoroethoxy)-. L–97–0042 ...... 162442–49–1 ... Poly[oxy[trifluoro(trifluoromethyl)-1,2-ethanediyl]], .alpha., .alpha′.-(1,1,2,2-tetrafluoro-1,2- ethanediyl)bis[.omega.-(1,2,2,2-tetrafluoro-1-[(2-propenylamino)carbonyl]ethoxy]-. L–97–0063 ...... 2264–01–9 ...... 2-Propenoic acid, 1,1′-(2,2,3,3,4,4,5,5-octafluoro-1,6-hexanediyl) ester. L–97–0064 ...... 25965–83–7 ..... 2-Propenoic acid, 2-methyl-(undecafluorocyclohexyl)methyl ester. L–97–0108 ...... 174393–72–7 ... Siloxanes and silicones, di-Me, 3-hydroxypropyl Me, Me vinyl, [(ethenyldimethylsilyl)oxy]-terminated, ethers with trifluoro(trifluoromethyl)oxirane homopolymer 1,2,2,2-tetrafluoro-1-(hydroxymethyl)ethyl tetrafluoro(trifluoromethyl)ethyl ether.
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LVE case No. CASRN Chemical name
L–97–0109 ...... 174393–73–8 ... Siloxanes and silicones, di-Me, 3-hydroxypropyl Me, Me hydrogen, ethers with trifluoro(trifluoromethyl)oxirane homopolymer 1,2,2,2-tetrafluoro-1-(hydroxymethyl)ethyl tetrafluoro(trifluoromethyl)ethyl ether. L–97–0181 ...... 17978–75–5 ..... Erbium, tris(6,6,7,7,8,8,8-heptafluoro-2,2-dimethyl-3,5-octanedionato-O,O’)-. L–98–0261 ...... 63513–12–2 ..... Phosphonic acid, [[4-[(heptadecafluorononenyl)oxy]phenyl]methyl]-. L–98–0327 ...... 355–93–1 ...... 2-Propenoic acid, 2-methyl-, 2,2,3,3,4,4,5,5-octafluoropentyl ester. L–99–0272 ...... 183905–82–0 ... Propanyl fluoride, 2,2’-[(1,1,2,2-tetrafluoro-1,2-ethanediyl)bis(oxy)bis[2,3,3,3-tetrafluoro-, polymer with trifluoro(trifluoromethyl)oxirane, hydrolyzed. L–99–0273 ...... 183905–83–1 ... Propanyl fluoride, 2,2’-[(1,1,2,2-tetrafluoro-1,2-ethanediyl)bis(oxy)bis[2,3,3,3-tetrafluoro-, polymer with trifluoro(trifluoromethyl)oxirane, reaction products with 2-propen-1-amine. L–99–0275 ...... 128194–56–9 ... Silanol, (3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10-heptadecafluorodecyl)dimethyl-. L–99–0276 ...... 173524–60–2 ... Propanamide, 2,3,3,3-tetrafluoro-2-[1,1,2,3,3,3-hexafluoro-2-(heptafluoropropoxy)propoxy]-N-[3-(2,4,6,8- tetramethylcyclotetrasiloxan-2-yl)propyl]-. L–99–0277 ...... 165320–75–2 ... 1,5-Trisiloxanediol, 3-(3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10- heptadecafluorodecyl)-1,1,3,5,5-pentamethyl-. L–99–0278 ...... 185701–90–0 ... Propanoyl fluoride, 2,2’-[(1,1,2,2-tetrafluoro-1,2-ethanediyl)bis(oxy)]bis[2,3,3,3-tetrafluoro-, polymer with trifluoro(trifluoromethyl)oxirane, reaction products with N-[3-(triethoxysilyl)propyl]-1,2-ethanediamine.
(d) Examples of PFAS by LVE case number, without CASRNs.
LVE case No. Chemical name or generic name
L–01–0271 ...... Iodonium, bis(4-(1,1-dimethylethyl)phenyl)-, salt with 1,1,2,2,3,3,4,4,4-nonafluoro-N-[(nonafluorobutyl)sulfonyl]-1- butanesulfonamide (1:1). L–10–0356 ...... 2-Propenoic acid, 2-methyl-, 3-(trimethoxysilyl)propyl ester, polymer with .alpha.-(2-methyl-1-oxo-2-propen-1-yl)-.omega.- [3,3,4,4, 5,5,6,6, 7,7,8,8,8-tridecafluorooctyl)oxy]poly(oxy-1,2-ethanediyl) and 2-propenoic acid. L–89–0099 ...... Triethoxy(3,3,4,4,5,5,6,6,7,7,8,8,8-tridecarfluoroctyl)silane. L–89–0131 ...... Trichloro(3,3,4,4,5,56,6,7,78,8,8-tridecafluorooctyl)silane. L–95–0011 ...... Tetrafluorethene, polymer with trifluoro(trifluoromethoxy)ethene and 1,1,1,2,2,3,3-heptafluoro-3-[(trifluoroethenyl)oxy]propane. L–95–0070 ...... Perhalopolyoxyperfluoroalkenemethylenepolyethoxy alcohols, esters with phosphorousoxychloride. L–00–0054 ...... Polyfluoroalkylether. L–00–0056 ...... Fluoropolyether derivative. L–00–0151 ...... Perfluoroalkyl phosphate diethanolamine salt. L–00–0313 ...... Fluorosilane. L–00–0314 ...... Fluorosilane. L–00–0371 ...... Per fluorobutanesulfonate. L–00–0373 ...... Perfluorether. L–00–0375 ...... Perfluoroether nitrile. L–00–0376 ...... Perfluoroalkyl fluoride. L–00–0377 ...... Perfluorovinyl ether. L–00–0378 ...... Perfluoroalkyl acid flouride. L–00–0386 ...... Polyfluoroalkylether. L–00–0387 ...... Polyfluoroalkylether. L–01–0013 ...... Perfluorobutanesulfonate. L–01–0048 ...... Ethylene—tetrafluoroethylene copolymer. L–01–0142 ...... Perfluoroalkyl ester. L–01–0143 ...... Perfluoroalkyl acid fluoride. L–01–0150 ...... Fluorine-substituted cyclosiloxane. L–01–0151 ...... Fluorochemical curative. L–01–0152 ...... Perfluoroalkyl ester. L–01–0153 ...... Perfluoroalkyl nitrile. L–01–0158 ...... Fluoro acrylic telomer. L–01–0261 ...... Fluoroalkylsulfonimide. L–01–0265 ...... Fluoroalkyl alkylammonium salt. L–01–0373 ...... Polyperfluorooxetane-trimethoxysilane. L–01–0410 ...... Substituted fluoro alkane sulfonic acid. L–01–0432 ...... Substituted fluoro alkane sulfonic acid. L–01–0435 ...... Fluorinated acrylic ester random copolymer. L–01–0526 ...... Polyperfluorooxetane-trimethoxysilane. L–01–0548 ...... Triazatriphosphorine, fluorobutoxy ethoxy, phenoxy phenoxy derivatives. L–01–0549 ...... Phenol, reaction products with triazatriphosphorine and reduced, oxidized tetrafluoroethylene. L–02–0007 ...... Phenol, reaction products with triazatriphosphorine and fluorinated triethylene glycol mono butyl ether. L–02–0017 ...... Salt of fluoropolyether derivative. L–02–0080 ...... Perfluorooctanesulfonate. L–02–0192 ...... Fluorinated polymer acrylate. L–02–0247 ...... Fluorochemical acid onium. L–02–0318 ...... Perfluorooctanesulfonate. L–02–0356 ...... Polyfluoroalkylether. L–02–0515 ...... Carboxylic acid, fluoroalkyl ester. L–02–0516 ...... Carboxylic acid, fluoroalkyl ester. L–03–0015 ...... Triphenyl sulfonium perfluoro-1-butane sulfonate.
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LVE case No. Chemical name or generic name
L–03–0037 ...... Polyfluoroalkylether. L–03–0086 ...... Polyfluoroalkylether. L–03–0110 ...... Polyfluoroalkylether. L–03–0119 ...... Fluoro acrylic polymer (telomer type). L–03–0133 ...... Fluoro acrylic polymer (telomer type). L–03–0142 ...... Ethylene—tetrafluoroethylene copolymer. L–03–0232 ...... Arylated onium perfluoroalkyl sulfonyl imide. L–03–0233 ...... Carboxylic acid, fluoroalkyl ester. L–03–0286 ...... Fluoroalkyl sulfonamide. L–03–0288 ...... Ammonium fluoroalkyl sulfonamide. L–03–0289 ...... Fluoroalkyl alkylammonium salt. L–03–0296 ...... Fluoroalkylsulfonimide. L–03–0297 ...... Fluoroalkyl sulfonamide. L–03–0481 ...... Phosphonic acid, alkyl ester, reaction products with a fluorinated alkene. L–04–0008 ...... Bis [3-perfluoroakyl (C8)-2-hydroxypropyl] polyoxyethylene ether. L–04–0125 ...... Fluorinated silane. L–04–0211 ...... Chlorofluoroalkylether. L–04–0220 ...... Perfluoro polymer with alcoholamine. L–04–0231 ...... Perfluoro polymer with alkylaminoethanol. L–04–0284 ...... Fluoroalkyl amidino salt. L–04–0286 ...... Fluorochemical nitrile. L–04–0338 ...... Ammonium fluoroalkyl sulfonamide. L–04–0365 ...... Fluoroalkyl sulfonamide derivative. L–04–0366 ...... Potassium salt of fluoroalkyl sulfonate. L–04–0367 ...... Sodium salt of fluoroalkyl sulfonate. L–04–0368 ...... Lithium salt of fluoroalkyl sulfonate. L–04–0369 ...... Ammonium salt of fluoroalkyl sulfonate. L–04–0459 ...... Fluorinated cyclo alkanes. L–04–0472 ...... Fluoroalkyl surfactant. L–05–0099 ...... Fluoroalkyloxy acrylate monomer. L–05–0152 ...... Thiopyranium tetrahydro-phenyl-, salt with nonafluoro-butanesulfonic acid. L–05–0160 ...... Aliphatic urethane modified acrylate polymer, perfluoroalkoxy amido blocked. L–05–0164 ...... Triphenylsulfonium fluoroalkylsulfonate. L–05–0193 ...... 1-Perfluoro butanone, 1-carbopolycyclic-[(perfluoro, butyl)sulfonyl] oxime. L–05–0203 ...... Fluoropolyether derivative. L–05–0215 ...... Fluorine-substituted alkyl-substituted organosilicon. L–05–0316 ...... 1-Perfluoro pentanone, 1-carbopolycyclic-[(perfluoro, butyl)sulfonyl]oxime. L–05–0317 ...... 1-Perfluoro propanone, 1-carbopolycyclic-[(perfluoro, butyl)sulfonyl]oxime. L–05–0325 ...... Sulfonium, alkoxy naphthalenyldiphenyl-, salt with fluorohydro-dithiazine tetraoxide. L–06–0102 ...... Alkane-1-one, 1-(9H-fluoren-2-yl)-polysubstituted-, O-[(nonafluorobutyl) sulfonyl]oxime. L–06–0211 ...... Nonafluoroalkyl sulfonyl oxime fluoren compound. L–06–0214 ...... Sulfonium, triphenyl-, salt with perfluoroalkyl sulfonic acid. L–06–0241 ...... Nonafluoroalkyl sulfonyl oxime, dodecafluoro fluoren compound. L–06–0319 ...... Fluoroalkyl alkenoate(c=3∼5), polymer with alkyloxirane(c=2∼5) homopolymer monoalkyl(c=1∼5) alkyl-alkenoate(c=3∼5), alkyloxirane(c=2∼6) polymer alkyl-alkenoate(c=3∼5), alkyl(c=1∼30) alkyl-alkenoate(c=3∼5), azobisnitrilealkane initiated. L–06–0336 ...... Substituted fluoro alkane sulfonic acid. L–06–0381 ...... Fluorinated surfactant. L–06–0391 ...... A fluoren oxime fluoroalkyl sulfonate. L–06–0392 ...... A fluoren oxime fluoroalkyl sulfonate. L–06–0400 ...... Fluoroalkyl alkenoate(c=3-5), polymer with alkyloxirane(c=2-5) homopolymer monoalkyl(c=1-5) alkyl-alkenoate(c=3-5), alkyl(c=1-30) alkyl-alkenoate(c=3-5), alkyl(c=1-5)-oxo-alkkenyl-[(alkyl(c=1-5)-oxo-alkenyl)oxy]poly(oxy-ethanediyl). L–07–0012 ...... Fluorochemical amide derivative. L–07–0013 ...... Fluorochemical amide derivative. L–07–0055 ...... Oxetane, 2,2,3,3-tetrafluoro-, homopolymer, fluorinated, reduced, mono(alkylsilylalkyl)ether. L–07–0091 ...... Perfluoropolyoxyalkane. L–07–0150 ...... Trimethoxylsilyl terminated perfluoropolyether. L–07–0205 ...... Arylsulfonium perfluoroalkyl salt. L–07–0206 ...... Hexane, 1,6-diisocyanato-, homopolymer, 2-hydroxyethyl acrylate- and reduced fluorinated heteromonocycle homopolymer- blocked. L–07–0213 ...... Perfluoroalkyl aromatic imide. L–07–0229 ...... Iodonorbornene perfluoroalkoxysulfonylfluoride. L–07–0230 ...... Norbornene perfluoroalkoxysulfonyl fluoride. L–07–0231 ...... Norborneperfluoroalkyl sulfonate. L–07–0233 ...... Tert-butylphenyltetramethylsulfonium norborneneperfluoroalkylsulfonate. L–07–0238 ...... Fluorinated surfactant. L–07–0273 ...... Fluoroalkylsilane ester, hydrolyzed. L–07–0323 ...... Hydrofluoropropane. L–07–0324 ...... Hydrofluoropropane. L–07–0328 ...... Fluoropolymer. L–07–0413 ...... Functionalized perfluoropolyether. L–08–0004 ...... Acrylic copolymer contain fluoroalkyl groups. L–08–0073 ...... Perfluorinated polysulfonic acid complexed with an organic conjugated polymer. L–08–0091 ...... Sulfonium, triphenyl-, salt with hexafluorosulfonimide heterocycle (1:1). L–08–0108 ...... Polyfluoro-iodo-1-[(polyfluoroethenyl)oxy]alkane.
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LVE case No. Chemical name or generic name
L–08–0121 ...... Perfluoropolyether urethane acrylate. L–08–0140 ...... Fluoro silicone. L–08–0167 ...... Fluoroalkyl phosphate. L–08–0168 ...... Fluoroalkyl phosphate. L–08–0169 ...... Fluoroalkyl phosphate. L–08–0172 ...... Dithiazine-fluorodihydro-tetraoxide. L–08–0247 ...... Fluorinated surfactant. L–08–0251 ...... Fluoroalkyloxypolyurethane silane. L–08–0327 ...... Fluorosilicone. L–08–0379 ...... Fluoropolymer. L–08–0409 ...... Fluorinated sulfonamide alcohol. L–09–0028 ...... Fluoroalkyl phosphate. L–09–0031 ...... Fluoroalkyl polyester. L–09–0096 ...... Fluorinated ester. L–09–0097 ...... Fluorinated alcohol. L–09–0098 ...... Fluorinated acrylate. L–09–0099 ...... Fluoroacrylate derivative and oligomers. L–09–0102 ...... Fluoropolymer acrylate. L–09–0122 ...... Poly(oxy-1,2-ethanediyl), .alpha.-(polyfluoroalkyl)-.omega.-hydroxy-. L–09–0133 ...... Fluoroelastomer curative. L–09–0166 ...... Fluoropolymer acrylate. L–09–0210 ...... Polyfluoroalkylether. L–09–0239 ...... Modified tetrafluoroethylene-hexafluoropropene-vinylidene fluoride copolymer. L–09–0245 ...... Bis(alkyl aryl) iodonium perfluorobutanesulfonyl-1-perfluorbutanesulfonamide. L–09–0260 ...... Bis(alkyl aryl) iodonium perfluorobutanesulfonate. L–09–0331 ...... Fluorinated acrylic ester copolymer (telomer type). L–09–0352 ...... Fluorinated sulfonyl fluoride. L–09–0358 ...... Perfluorocyclo-1,3-bis(sulfonyl)imide salt. L–09–0366 ...... Fluoropolymer. L–09–0375 ...... Perfluoropolyether iodide. L–10–0035 ...... Polyperfluorooxetane-trimethoxysilane. L–10–0058 ...... Perfluoroalkyl cycloaliphatic imide. L–10–0121 ...... Polyfluorinated phenylpyrimidine ether. L–10–0122 ...... PFAS salt. L–10–0141 ...... Phenyl benzothiophenium salt with hexafluorodihydro dithiazine tetraoxide. L–10–0160 ...... Perfluorosulfonic acid copolymer. L–10–0169 ...... Polyfluoroalkylated pyrimidylphenyl benzyl ether. L–10–0170 ...... Polyfluoroalkylated pyrimidylphenol. L–10–0199 ...... Fluorinated organopolysilazane. L–10–0239 ...... Polyfluoroalkylated phenylpyrimidine diether. L–10–0241 ...... Polyfluoroalkylated phenylpyrimidine diether. L–10–0293 ...... Fluorinated iodooctanol. L–10–0294 ...... Fluorinated octanol. L–10–0316 ...... Fluoroalkylated cationic compound. L–10–0339 ...... Fluorinated octanol tosyl ester. L–11–0038 ...... Fluoropolyether modified polyoxyethylene compound. L–11–0045 ...... Reaction products with hydride reduction substance of fluorinated homopolymer. L–11–0046 ...... Hydride reduction substance of fluorinated homopolymer. L–11–0065 ...... Fluorinated acrylic copolymer. L–11–0066 ...... Fluorinated acrylic copolymer. L–11–0133 ...... Fluorosurfactant. L–11–0134 ...... Fluorinated acrylic copolymer. L–11–0138 ...... Biphenyl biphenyl-ylthiophenyl phenyl sulfonium, trifluorotris pentafluoroalkyl phosphate. L–11–0191 ...... Fluoropolymer acrylate. L–11–0203 ...... Hydride reduction substance of perfluoropolyoxyalkane. L–11–0243 ...... Fluorinated polymer. L–11–0369 ...... Fluorinated polymer. L–11–0407 ...... Acrylic fluoropolymer. L–12–0020 ...... Perfluoroalkyl acrylate polymer. L–12–0062 ...... Perfluoropolyetheramide derivative. L–12–0063 ...... Fluorinated quaternary ammonium salt silane derivative. L–12–0076 ...... 2-Propenoic acid, 2-methyl-, 2-[[[2-[(polyfluorooctyl)oxy][[( polyfluoroooctyl)oxy]methyl]ethoxy]carbonyl]amino]ethyl ester, poly- mer with alpha-(2-methyl-1-oxo-2-propen-1-yl)-omega-hydroxypoly[oxy(methyl-1,2-ethanediyl)], alkyl peroxide-initiated. L–12–0110 ...... Perfluoroacrylate copolymer. L–12–0129 ...... 2-Propenoic acid, 2-methyl-, 2-hydroxybutyl ester, polymers with substituted methacrylate and reduced Me esters of reduced polymd. oxidized polyfluoroalkene acrylates, N-[2-(1-oxo-2-propen-1-yl)oxy]ethyl]carbamates, alkyl peroxide-initiated. L–12–0131 ...... Poly(oxy-1,2-ethanediyl), -hydro--hydroxy-, ether with polyfluoro alkanediol. L–12–0138 ...... 2-Propenoic acid, 2-methyl-, 2-[[[2-[(polyfluorooctyl)oxy][[(polyfluorooctyl)oxy]-methyl]ethoxy]carbonyl]amino]ethyl ester, poly- mer with .alpha.-(substituted propeny-1-yl)-.omega.-hydroxypoly[oxt(methyl-1,2-ethanediyl)], substituted peroxoate-initiated. L–12–0144 ...... 2-Propenoic acid, 2-methyl-, methyl ester, polymer with isooctadecyl 2-propenoate, alpha-(2-methyl-1-oxo-2-propen-1-yl)- omega-methoxypoly(oxy-1,2-ethanediyl), alpha-(2-methyl-1-oxo-2-propen-1-yl)-omega-[(2-methyl-1-oxo-2-propen-1- yl)oxy]poly(oxy-1,2-ethanediyl),polyfluorohexyl 2-propenoate and rel-(1R,2R,4R)-1,7,7-trimethylbicyclo[2.2.1]hept-2-yl 2- propenoate, alkyl peroxide-initiated. L–12–0185 ...... Perfluoropolyether compound.
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LVE case No. Chemical name or generic name
L–12–0224 ...... Bis[tris(Modified oxyphenyl) sulfonium] salt with perfluorobutanedisulfanate. L–12–0228 ...... Perfluoropolyether. L–12–0229 ...... Perfluoropolyether. L–12–0260 ...... Substituted fluoroalkylsulfonate arylonium salt. L–12–0272 ...... 2-Propenoic acid, 2-methyl-, polysubstituted-propyl ester, polymer with 2,2,3,3,4,4,4-heptafluoro-1-substituted-butyl 2-methyl- 2-propenoate, di-Me 2,2′-(1,2-diazenediyl)bis[2-methylpropanoate]-inititated. L–12–0285 ...... Modified arysulfonium perfluoroalkyl salt. L–12–0287 ...... Fluorinated polymer. L–12–0307 ...... Polyalkylammonium polyfluoroalkanesulfonate. L–12–0367 ...... Alkyl ester fluoronated telomer with alkyl thiol plus silyl esters. L–12–0375 ...... fluorine surfactant. L–12–0411 ...... Fluoropolyether urethane methacrylate derivative. L–12–0454 ...... Perfluoropolyether Alkyl Silane Derivative. L–12–0456 ...... Perfluoropolyether Alkyl Allyl Ether. L–13–0026 ...... Fluoroalkane. L–13–0031 ...... 2-Propenoic acid, 2-methyl-, heterotricycloalkyl ester, polymer with 2,2,3,3,4,4,4-heptafluoro-1-substituted-butyl 2-methyl-2- propenoate, di-Me 2,2′-(1,2-diazenediyl)bis[2-methylpropanoate]-inititated. L–13–0034 ...... Perfluoroalkyl acrylate copolymer. L–13–0042 ...... Acrylic copolymer solution containing fluoroalkyl groups. L–13–0060 ...... Perfluoropolyether-block-Polytetrafluoroethylene. L–13–0070 ...... Perfluoroelastomer. L–13–0096 ...... 2-Propenoic acid, 2-methyl-, methyl ester, polymer with isooctadecyl 2-propenoate, alpha-(2-methyl-1-oxo-2-propen-1-yl)- omega-methoxypoly(oxy-1,2-ethanediyl), alpha-(2-methyl-1-oxo-2-propen-1-yl)-omega-[(2-methyl-1-oxo-2-propen-1- yl)oxy]poly(oxy-1,2-ethanediyl), polyfluorohexyl 2-propenoate and rel-(1R,2R,4R)-1,7,7-trimethylbicyclo[2.2.1]hept-2-yl 2- propenoate, alkyl peroxide-initiated. L–13–0097 ...... Fluorinated polymer. L–13–0125 ...... Fluoro acrylic polymer. L–13–0150 ...... Perfluoroalkyl acrylate copolymer. L–13–0155 ...... Poly(oxy-1,2-ethanediyl), .alpha.-hydro-.omega.-hydroxy-, ether with polyfluoro alkanediol. L–13–0158 ...... Poly(oxy-1,2-ethanediyl), .alpha.-hydro-.omega.-hydroxy-, ether with polyfluoro alkanediol. L–13–0160 ...... Phosphazene PFPE derivative—Hexaol. L–13–0187 ...... Perfluoropolyether derivative. L–13–0219 ...... Poly(Fluorinated Propanoic Acid). L–13–0224 ...... Fluorinated acrylic copolymer. L–13–0226 ...... Fluorinated acrylic copolymer. L–13–0244 ...... Fluorinated acrylic copolymer. L–13–0272 ...... Perfluoroalkyl ester. L–13–0273 ...... Perfluoroalkyl acid fluoride. L–13–0279 ...... Fluorinated acrylic ester telomer. L–13–0286 ...... Fluorinated acrylic ester telomer. L–13–0393 ...... Perfluoroalkoxide salt. L–13–0463 ...... Fluorinated acrylic copolymer. L–13–0496 ...... fluoroalkyl fluoroalkylimidoylamidine. L–13–0620 ...... Aklyl,fluoro-aklyl silanol. L–13–0728 ...... Sulfonium, dialkyl (dialkoxy carbopolcycle), salt with polyfluoro-N-(polyfluoroalkyl)sulfonyl substituted amide. L–13–0729 ...... C6 Perfluorotelomer Compound. L–14–0022 ...... Acid fluoride. L–14–0234 ...... Sulfonium, polycarbomonocycle, polyfluoroalkanoate (1:1). L–14–0339 ...... Fluoropolymeric Ester. L–14–0371 ...... Ethylene,1,1,2,2,-tetra-fluoro,oxidized,polymerized,terminal-functionalized. L–14–0374 ...... Fluorinated silane. L–14–0420 ...... Fluorinated aryl sulfonimide. L–14–0449 ...... Fluoroelastomer. L–14–0484 ...... Fluorochemical polymer. L–14–0496 ...... Oxathianium substituted tricycloalkyloxycarbonyl difluoro methane sulfonate. L–15–0027 ...... Fluoroacrylate copolymer. L–15–0035 ...... Perfluoroalkyl modified organopolysiloxane. L–15–0090 ...... Fluoroalkyl derivative. L–15–0196 ...... Poly(oxy-1,2-ethanediyl), .alpha.-hydro-.omega.-hydroxy-, ether with polyfluoro alkanediol. L–15–0223 ...... Fluoroalkenyl polyglycol. L–15–0248 ...... Siloxanes and silicones fluorinated copolymer. L–15–0262 ...... Ethylene-Tetrafluoroethylene copolymer. L–15–0302 ...... Fluoroacrylate polymer. L–15–0334 ...... Fluorinated sulfonate salt. L–15–0354 ...... Perfluorinated Polysulfonic Acid Complexed with an Organic Conjugated Polymer. L–15–0423 ...... Perfluoropolyether. L–16–0035 ...... Perfluoropolyether-trimethoxysilane. L–16–0051 ...... Fluorinated acrylic terpolymer. L–16–0186 ...... Fluorosilicone resin. L–16–0190 ...... Pentane perfluorocarbon. L–16–0204 ...... Pentane perfluorocarbon. L–16–0208 ...... Pentane perfluorcarbon. L–16–0211 ...... Cyclohexane perfluorocarbon. L–16–0215 ...... Cyclohexane perfluorocarbon.
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LVE case No. Chemical name or generic name
L–16–0216 ...... Cyclohexane perfluorocarbon. L–16–0221 ...... Cyclohexane perfluorocarbon. L–16–0222 ...... Perfluoroalkane. L–16–0223 ...... Perfluorcarbon. L–17–0271 ...... Pentane perfluorocarbon. L–17–0285 ...... Fluorinated urethane acrylate. L–17–0315 ...... Ethylene,1,1,2,2,-tetra-fluoro,butylene,1,1,2,2,3,3,4,4-octafluoro,oxidized,polymerized,terminal-functionalized. L–17–0334 ...... Sulfonium, Triphenyl tetrafluoro heterohexacyclic ethanesulfonate salt. L–17–0339 ...... Fluorinated Silicic acid, methyl ester. L–18–0023 ...... Fluorinated sulfonamide alcohol, polymer with 1,4-butanediol, 1,6-diisocyanatohexane, .alpha.-hydro-.omega.- hydroxypoly[oxy(methyl-1,2-ethanediyl)], and diol. L–18–0127 ...... Thiophenium, 1-(2,7-disubstituted-1-naphthalenyl)tetrahydro-, salt with polyfluoro-N-polyfluoroalkylsulfonyl-1- alkanesulfonamide(1:1). L–18–0267 ...... Siloxanes and Silicones, di-Me, Me polyfluoro-. L–18–0304 ...... Alkanedioic acid, polyfluoro-, substituted alkyl alkenyl ester, polymer substituted alkane substituted bis dialkyl. L–19–0033 ...... Alkyl carbanate, perfluoro-alkyl ester. L–19–0063 ...... Aliphatic diisocyanate polymer with esters of reduced polymd. oxidized fluoroethylene, acrylate blocked. L–19–0170 ...... Aminoalkenyl, reaction products with reduced fluorooxetane homopolymer fluoromethanesulfonate, trichlorosilane and alkoxymethane. L–19–0190 ...... Polyfluoropropanoic acid homopolymer. L–19–0233 ...... Fluoroalkyl-acrylate modified hydroxy-functional polysiloxane. L–20–0026 ...... Silane, trialkoxyvinyl-, polymer with alkoxyethene and 1,1,2,2-tetrafluoroethene. L–20–0061 ...... Fluoroalkylepoxide. L–20–0084 ...... Polymer of perfluoroalkylethyl methacrylate, hydroxyalkyl methacrylate. L–20–0085 ...... Perfluoro alkanoic acid, perfluoro alkoxy. L–20–0132 ...... 2-Propenoic acid, 2-methyl-, methyl ester, polymer with isooctadecyl 2-propenoate, .alpha.-(2-methyl-1-oxo-2-propen-1-yl)- .omega.-methoxypoly(oxy-1,2-ethanediyl), .alpha.-(2-methyl-1-oxo-2-propen-1-yl)-.omega.-[(2-methyl-1-oxo-2-propen-1- yl)oxy]poly(oxy-1,2-ethanediyl), polyfluorohexyl 2-propenoate and rel-(1R,2R,4R)-1,7,7-trimethylbicyclo[2.2.1]hept-2-yl 2- propenoate, alkyl peroxide-initiated. L–85–0008 ...... Alkenyl acid, polyfluoro disubstituted pentanediyl ester. L–85–0051 ...... Fluorinated alkanesulfonamide, halide salt. L–85–0072 ...... Per(chlorofluoro)telomer sulfonic acid. L–85–0073 ...... Per(chlorofluoro)telomer ester. L–85–0074 ...... Per(chlorofluoro)telomer nitrile. L–85–0075 ...... Per(chlorofluoro)telomer imidoyl amidine. L–86–0067 ...... Bis(substituted phenyl)polyoxyperfluoroalkylene. L–88–0010 ...... Fluoralkyl quaternary ammonium acetate. L–88–0013 ...... Fluorinated carboxylic acid salt. L–88–0027 ...... Fluoroalkene. L–88–0028 ...... Fluoroalkyl nitrile. L–88–0029 ...... Fluoroalkyl amine. L–88–0030 ...... Fluoroalkyl isocyanate. L–88–0035 ...... Inert perfluorocarbon liquid. L–88–0036 ...... Inert perfluorocarbon liquid. L–88–0164 ...... Inert perfluorocarbon liquid. L–88–0165 ...... Inert perfluorocarbon liquid. L–88–0174 ...... Fluoroalkylated protein A. L–88–0175 ...... Fluoroalkylated monoclonal antibody. L–89–0045 ...... Polyfluorocarboxylic acid. L–89–0052 ...... Inert perfluorocarbon liquid. L–89–0118 ...... Fluorinated amide. L–89–0119 ...... Fluorinated sulfonamide. L–89–0120 ...... Fluorochemical epoxy. L–89–0164 ...... Phosphonic acid [[(perfluoroalkenyloxo)phenyl]methyl]-, zinc salt (2:1). L–89–0225 ...... Isocyanate terminated perfluoropolyoxyalkene. L–89–0236 ...... Fluorine cotaining acrylate. L–89–0277 ...... Dicarboxyperfluoropolyoxyalkane. L–90–0067 ...... Fluorinated polyalkylakoxysilane. L–90–0106 ...... Perfluoroalkyl cyclohexyl sulfonate salt. L–90–0260 ...... Fluoroalkylether. L–90–0261 ...... Fluoroalkylether. L–90–0262 ...... Fluoroalkylalcohol. L–90–0263 ...... Fluoroacrylate monomer. L–90–0455 ...... Fluorinated acrylic ester copolymer. L–90–0456 ...... Fluorinated acrylic ester copolymer. L–90–0592 ...... Perfluorinated liquid. L–91–0142 ...... Perfluoropolyether derivative. L–91–0178 ...... Quaternary ammonium perfluoroalkyl carboxylate. L–91–0259 ...... Fluorochemical polyurethane. L–92–0039 ...... Peroxide curable fluoroelastomer of vinylidene fluoride and tetrafluoroethylene. L–92–0120 ...... Quaternary ammonium salt of fluorinated alklyl-aryl amide. L–92–0151 ...... Fluorochemical acrylic acid copolymer. L–92–0185 ...... Perfluoroether ester. L–92–0186 ...... Perfluoroether derivative.
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LVE case No. Chemical name or generic name
L–92–0194 ...... Cationic fluorinated surfactant. L–92–0201 ...... Substituted fluorinated elastomer. L–93–0082 ...... Fluorourethane. L–93–0191 ...... Fluorochemical sulfonate salt. L–94–0060 ...... Perfluoroalkyl sodium salt. L–94–0301 ...... Fluorinated sulfide. L–94–0337 ...... Polymer of HFP, VF2, TFE & fluoro alkoxy methane. L–95–0017 ...... N-Alkyl perfluoropolyether carboxyamide. L–95–0056 ...... Fluoroalkyl phosphate. L–95–0077 ...... Fluorinated disulfide. L–95–0078 ...... Fluorinated sulfide. L–95–0079 ...... Fluorinated sulfide. L–95–0107 ...... Perfluoro-polyether-ethoxylated alcohol. L–95–0109 ...... Fluorinated disulfide. L–95–0134 ...... Amine oxide, dimethyl (polyfluoro-hydro-alkyl). L–95–0135 ...... Amine oxide, dimethyl (polyfluoro-alkyl). L–95–0154 ...... Fluoroacrylate polymer. L–95–0176 ...... Fluorinated acrylic ester copolymer. L–95–0178 ...... Ammonium perfluoroalkyl carboxylate. L–95–0186 ...... Fluorinated surfactant. L–95–0261 ...... Fluorochemical acrylate copolymer. L–95–0270 ...... Perfluoro polyether amido silane. L–96–0009 ...... Polyfluoroalkylether. L–96–0101 ...... Dicarboxyperfluoropolyoxyalkane. L–96–0132 ...... Perfluoroalkyl-alkyl urethane. L–96–0219 ...... Perfluoro oxygenated oligomers. L–96–0257 ...... Fluoroethylene-vinylether copolymer. L–96–0325 ...... Fluoroalkyltriisocyanatosilane. L–96–0355 ...... Fluorinated acrylic ester copolymer. L–96–0368 ...... alpha-Methyl-omega-perfluoroalkyl polyoxyethylene. L–96–0405 ...... N-Alkyl perfluoropolyether carboxyamide. L–96–0436 ...... Perfluoropolyether diol, magnesuim salt. L–96–0452 ...... Hexafluoropropene oligomers and reaction products. L–96–0453 ...... N-(Anthraquinoyl) perfluoropoly ether carboxyamide. L–97–0038 ...... Polyfluoro-1-octanethiol. L–97–0056 ...... 2-Propenoic acid, 2-substituted ethyl ester, telomer with polyfluoro-1-octanethiol. L–97–0115 ...... Fluorinated acrylic ester copolymer. L–97–0198 ...... Polyfluorocarboxylic acid. L–97–0281 ...... Fluoroalkychlorosilane. L–97–0340 ...... Fluorochemical ether. L–97–0341 ...... Fluorochemical silane. L–97–0413 ...... Mixture of perfluoropropanediol phosphate. L–97–0439 ...... Phenyl fluorosulfate. L–97–0447 ...... Polyfluoralkylether. L–97–0459 ...... Acrylic polymer, fluoroalkyl, ethoxylate and silyl ester. L–97–0468 ...... Perfluoroalkyl-alkyl urethane. L–97–0471 ...... Polyfluoroalkylalkoxysilane oligomer. L–98–0028 ...... Bis[3-perfluoroalkyl (C8) -2-hydroxypropyl] polyoxyethylene ether. L–98–0067 ...... Fluorinated paralyene. L–98–0154 ...... Polyfluoro-sulfonic acid salt. L–98–0281 ...... Fluoroalkanol substituted benzene. L–98–0298 ...... Fluorocarbon cresyl titanate. L–98–0406 ...... Fluoroalkyl phenoxy substituted benzene. L–98–0465 ...... Fluoric organic polymer. L–98–0467 ...... Fluoric organic polymer. L–98–0479 ...... Fluoroalkyl substituted benzene. L–98–0501 ...... Fluoric organic compound. L–98–0537 ...... Fluoroalkyl diaminobenzene. L–99–0042 ...... Fluorinated compound. L–99–0063 ...... Fluorinated acid derivative. L–99–0087 ...... Fluoroalkyl substituted siloxanes. L–99–0091 ...... Fluorinated acrylic ester copolymer. L–99–0159 ...... Fluoropolyether derivative. L–99–0199 ...... Fluorinated polymer. L–99–0202 ...... Fluorinated dicarboxylic acid derivative. L–99–0212 ...... Fluoropolyether derivative. L–99–0254 ...... Polyfluorocarboxylic acid ammonium salt. L–99–0257 ...... Fluoroalkyl substituted siloxanes and silicones. L–99–0261 ...... Fluoroalkyl substituted siloxanes and silicones. L–99–0262 ...... Fluorine-containing organopolysiloxane. L–99–0263 ...... Polyfluoroalkylether. L–99–0264 ...... Polyfluoroalkylether. L–99–0265 ...... Substituted perfluoroalkyl ether. L–99–0266 ...... Fluoroalkyl substituted siloxanes and silicones.
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LVE case No. Chemical name or generic name
L–99–0267 ...... Polyfluoroalkylether. L–99–0268 ...... Fluoroalkyl substituted siloxanes. L–99–0284 ...... Perfluoropolyether derivative. L–99–0289 ...... Polyfluorocarboxylic acid ammonium salt. L–99–0339 ...... Fluoroolefin copolymer. L–99–0346 ...... Perfluoropolyether derivative. L–99–0393 ...... Fluorinated synthetic rubber. L–99–0394 ...... Fluorinated polymer. L–99–0415 ...... Fluoropoly ether derivative. L–99–0416 ...... Fluoropoly ether derivative. L–99–0417 ...... Fluoropoly ether derivative. L–99–0440 ...... Fluorinated surfactant.
(e) Structural diagram examples, with 2. Halo Fluorocarbon (R, R’ and/or R’’ = 3. Fluoro polymer (for example, respective CASRNs. halogen which is not fluorine) polymers made from tetrafluoroethene 1. Perflourocarbon (C2F4), hexafluoropropene (C3F6) F and/or halotrifluoroethene (C2F3halo)) F F {''l F F F F :' F ·~ F F F 76-15-3 F F 355-25-9
F
*
*
57570-64-6 F
4. Perfluoro/polyfluoro ether
F
OH
5. Perfluoroalkyl-R (R = O, N, P, C (not CF2), S, Si, H, or metal)
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F F F F F F F F 0 F F F F F F F II OH S-OH F F II F F F F 0 F F F 0 F F F F 335-67-1 1763-23-1
6. R-Perfluoroalkyl-R (R = O, N, P, C (not CF2), S, Si, H, or metal)
0 F F F F ,,·~,. , I F F \,.,J'; OH H I HO s·1-!.._.,l ... ,. F F I F F 0 F F C! 336-08-3 375-63-3
§ 705.10 Persons who must report. (2) The name of a person who will (b) Chemical-specific information. Persons who have manufactured a serve as Authorized Official for the The following chemical-specific chemical substance identified in § 705.5 submitter company, and who will be information must be reported for each at any period from January 1, 2011 to able to sign the certification statement PFAS manufactured for each year since the effective date of this rule. as described in paragraph (i) of this January 1, 2011: section, the Authorized Official’s full (1) The common or trade name, the § 705.15 What information to report. mailing address, telephone number, and chemical identity, and the For the one-time submission, persons email address. representative molecular structure of identified in § 705.10 of this part must (3) The name of a person who will each PFAS for which such a report is report to EPA, for each site of each of serve as technical contact for the required. the chemical substances identified in submitter company, and who will be able to answer questions about the (i) The specific, currently correct CA § 705.5, the following information to the Index name as used to list the chemical extent known to or reasonably information submitted by the company to EPA, the contact person’s full mailing substance on the TSCA Inventory and ascertainable by them. In the event that address, telephone number, and email the correct corresponding CASRN for actual data is not known to or address. each reportable PFAS at each site. reasonably ascertainable by the (4) The name, full street address, and Submitters who wish to report chemical submitter, then reasonable estimates six-digit North American Industry substances listed on the confidential may be submitted: Classification System (NAICS) code(s) of portion of the TSCA Inventory will need (a) Company and plant site the site. A submitter under this part to report the chemical substance using information. The following currently must include the appropriate D&B a TSCA Accession Number. If a correct company and plant site number for each plant site reported, and submitter has a low-volume exemption information must be reported for each the county or parish (or other (LVE) case number for the chemical site at which a reportable chemical jurisdictional indicator) in which the substance, that number may also be substance is manufactured (see § 711.3 plant site is located. A submitter under used if a CASRN is not known to or for the ‘‘site’’ for importers): this part must obtain a D&B number for reasonably ascertainable by the (1) The highest-level U.S. parent the site reported if none exists. A submitter. company name, address, and Dun and submitter under this part must also (ii) In addition to reporting the Bradstreet D–U–N–S® (D&B) number. A provide other site identification number itself, submitters must specify submitter under this part must obtain a numbers, including the Facility Registry the type of number they are reporting by D&B number for the U.S. parent Service (FRS) identification number, if selecting from among the codes in Table company if none exists. they exist. 1 of this paragraph.
TABLE 1—CODES TO SPECIFY TYPE OF CHEMICAL IDENTIFYING NUMBER
Code Number type
A ...... TSCA Accession Number. C ...... Chemical Abstracts Service Registry Number (CASRN). L ...... Low-volume exemption (LVE) Case Number.
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(2) The physical form(s) of the PFAS (iii) Water- or solvent-wet solid. operation(s) at each site that receives a as it is sent off-site from each site. If the (iv) Other solid. PFAS from the submitter site directly or PFAS is site-limited, you must report (v) Gas or vapor. indirectly (whether the recipient site(s) the physical form(s) of the PFAS at the (vi) Liquid. are controlled by the submitter site or time it is reacted on-site to produce a (c) Categories of use. For each year not). For each PFAS, report the letters different chemical substance. For each since January 1, 2011, report the which correspond to the appropriate PFAS at each site, the submitter must following information on categories or processing or use operation(s) listed in report as many physical forms as proposed categories of use of each PFAS Table 2. A particular designation may applicable from among the physical manufactured. need to be reported more than once, to forms listed in this unit: (1) Industrial processing and use the extent that a submitter reports more (i) Dry powder. information. A designation indicating than one sector that applies to a given (ii) Pellets or large crystals. the type of industrial processing or use designation under this paragraph.
TABLE 2—CODES FOR REPORTING TYPE OF INDUSTRIAL PROCESSING OR USE OPERATION
Designation Operation
PC ...... Processing as a reactant. PF ...... Processing—incorporation into formulation, mixture, or reaction product. PA ...... Processing—incorporation into article. PK ...... Processing—repackaging. U ...... Use—non-incorporative activities.
(2) A code indicating the sector(s) that substance, report the code that reports more than one function code best describe the industrial activities corresponds to the appropriate sector(s) that applies to a given sector code under associated with each industrial listed in Table 3. A particular sector this paragraph. processing or use operation reported code may need to be reported more than under this section. For each chemical once, to the extent that a submitter
TABLE 3—CODES FOR REPORTING INDUSTRIAL SECTORS
Code Sector description
IS1 ...... Agriculture, forestry, fishing, and hunting. IS2 ...... Oil and gas drilling, extraction, and support activities. IS3 ...... Mining (except oil and gas) and support activities. IS4 ...... Utilities. IS5 ...... Construction. IS6 ...... Food, beverage, and tobacco product manufacturing. IS7 ...... Textiles, apparel, and leather manufacturing. IS8 ...... Wood product manufacturing. IS9 ...... Paper manufacturing. IS10 ...... Printing and related support activities. IS11 ...... Petroleum refineries. IS12 ...... Asphalt paving, roofing, and coating materials manufacturing. IS13 ...... Petroleum lubricating oil and grease manufacturing. IS14 ...... All other petroleum and coal products manufacturing. IS15 ...... Petrochemical manufacturing. IS16 ...... Industrial gas manufacturing. IS17 ...... Synthetic dye and pigment manufacturing. IS18 ...... Carbon black manufacturing. IS19 ...... All other basic inorganic chemical manufacturing. IS20 ...... Cyclic crude and intermediate manufacturing. IS21 ...... All other basic organic chemical manufacturing. IS22 ...... Plastics material and resin manufacturing. IS23 ...... Synthetic rubber manufacturing. IS24 ...... Organic fiber manufacturing. IS25 ...... Pesticide, fertilizer, and other agricultural chemical manufacturing. IS26 ...... Pharmaceutical and medicine manufacturing. IS27 ...... Paint and coating manufacturing. IS28 ...... Adhesive manufacturing. IS29 ...... Soap, cleaning compound, and toilet preparation manufacturing. IS30 ...... Printing ink manufacturing. IS31 ...... Explosives manufacturing. IS32 ...... Custom compounding of purchased resins. IS33 ...... Photographic film, paper, plate, and chemical manufacturing. IS34 ...... All other chemical product and preparation manufacturing. IS35 ...... Plastics product manufacturing. IS36 ...... Rubber product manufacturing. IS37 ...... Non-metallic mineral product manufacturing (includes cement, clay, concrete, glass, gypsum, lime, and other non-metallic mineral product manufacturing). IS38 ...... Primary metal manufacturing. IS39 ...... Fabricated metal product manufacturing.
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TABLE 3—CODES FOR REPORTING INDUSTRIAL SECTORS—Continued
Code Sector description
IS40 ...... Machinery manufacturing. IS41 ...... Computer and electronic product manufacturing. IS42 ...... Electrical equipment, appliance, and component manufacturing. IS43 ...... Transportation equipment manufacturing. IS44 ...... Furniture and related product manufacturing. IS45 ...... Miscellaneous manufacturing. IS46 ...... Wholesale and retail trade. IS47 ...... Services. IS48 ...... Other (requires additional information).
(3) For each sector reported under selected to designate the function specific manner in which the chemical paragraph (c)(2) of this section, the category(ies) that best represents the substance is used. applicable code(s) from Table 4 must be
TABLE 4—CODES FOR REPORTING FUNCTION CATEGORIES
Code Category
F001 ...... Abrasives. F002 ...... Etching agent. F003 ...... Adhesion/cohesion promoter. F004 ...... Binder. F005 ...... Flux agent. F006 ...... Sealant (barrier). F007 ...... Absorbent. F008 ...... Adsorbent. F009 ...... Dehydrating agent (desiccant). F010 ...... Drier. F011 ...... Humectant. F012 ...... Soil amendments (fertilizers). F013 ...... Anti-adhesive/cohesive. F014 ...... Dusting agent. F015 ...... Bleaching agent. F016 ...... Brightener. F017 ...... Anti-scaling agent. F018 ...... Corrosion inhibitor. F019 ...... Dye. F020 ...... Fixing agent (mordant). F021 ...... Hardener. F022 ...... Filler. F023 ...... Anti-static agent. F024 ...... Softener and conditioner. F025 ...... Swelling agent. F026 ...... Tanning agents not otherwise specified. F027 ...... Waterproofing agent. F028 ...... Wrinkle resisting agent. F029 ...... Flame retardant. F030 ...... Fuel agents. F031 ...... Fuel. F032 ...... Heat transferring agent. F033 ...... Hydraulic fluids. F034 ...... Insulators. F035 ...... Refrigerants. F036 ...... Anti-freeze agent. F037 ...... Intermediate. F038 ...... Monomers. F039 ...... Ion exchange agent. F040 ...... Anti-slip agent. F041 ...... Lubricating agent. F042 ...... Deodorizer. F043 ...... Fragrance. F044 ...... Oxidizing agent. F045 ...... Reducing agent. F046 ...... Photosensitive agent. F047 ...... Photosensitizers. F048 ...... Semiconductor and photovoltaic agent. F049 ...... UV stabilizer. F050 ...... Opacifer. F051 ...... Pigment. F052 ...... Plasticizer.
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TABLE 4—CODES FOR REPORTING FUNCTION CATEGORIES—Continued
Code Category
F053 ...... Plating agent. F054 ...... Catalyst. F055 ...... Chain transfer agent. F056 ...... Chemical reaction regulator. F057 ...... Crystal growth modifiers (nucleating agents). F058 ...... Polymerization promoter. F059 ...... Terminator/Blocker. F060 ...... Processing aids, specific to petroleum production. F061 ...... Antioxidant. F062 ...... Chelating agent. F063 ...... Defoamer. F064 ...... pH regulating agent. F065 ...... Processing aids not otherwise specified. F066 ...... Energy Releasers (explosives, motive propellant). F067 ...... Foamant. F068 ...... Propellants, non-motive (blowing agents). F069 ...... Cloud-point depressant. F070 ...... Flocculating agent. F071 ...... Flotation agent. F072 ...... Solids separation (precipitating) agent, not otherwise specified. F073 ...... Cleaning agent. F074 ...... Diluent. F075 ...... Solvent. F076 ...... Surfactant (surface active agent). F077 ...... Emulsifier. F078 ...... Thickening agent. F079 ...... Viscosity modifiers. F080 ...... Laboratory chemicals. F081 ...... Dispersing agent. F082 ...... Freeze-thaw additive. F083 ...... Surface modifier. F084 ...... Wetting agent (non-aqueous). F085 ...... Aerating and deaerating agents. F086 ...... Explosion inhibitor. F087 ...... Fire extinguishing agent. F088 ...... Flavoring and nutrient. F089 ...... Anti-redeposition agent. F090 ...... Anti-stain agent. F091 ...... Anti-streaking agent. F092 ...... Conductive agent. F093 ...... Incandescent agent. F094 ...... Magnetic element. F095 ...... Anti-condensation agent. F096 ...... Coalescing agent. F097 ...... Film former. F098 ...... Demulsifier. F099 ...... Stabilizing agent. F100 ...... Alloys. F101 ...... Density modifier. F102 ...... Elasticizer F103 ...... Flow promoter. F104 ...... Sizing agent. F105 ...... Solubility enhancer. F106 ...... Vapor pressure modifiers. F107 ...... Embalming agent. F108 ...... Heat stabilizer. F109 ...... Preservative. F110 ...... Anti-caking agent. F111 ...... Deflocculant. F112 ...... Dust suppressant. F113 ...... Impregnation agent. F114 ...... Leaching agent. F115 ...... Tracer. F116 ...... X-ray absorber. F999 ...... Other.
(4) Consumer and commercial use this section, submitters must designate consumer and commercial products in information. Using the applicable codes the consumer and commercial product which each PFAS is used (whether the listed in Table 5 to paragraph (c)(4) of category(ies) that best describe the recipient site(s) are controlled by the
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submitter site or not). If more than 10 volume for that chemical, measured by PFAS is used, the category ‘‘Other’’ may codes apply to a PFAS, submitters need weight. If none of the listed consumer be used, and must include a description only report the 10 codes for PFAS that and commercial product categories of the use. cumulatively represent the largest accurately describes the consumer and percentage of the submitter’s production commercial products in which each
TABLE 5—CODES FOR REPORTING CONSUMER AND COMMERCIAL PRODUCT CATEGORIES
Code Category
Chemical Substances in Furnishing, Cleaning, Treatment Care Products
CC101 ...... Construction and building materials covering large surface areas including stone, plaster, cement, glass and ceramic articles; fabrics, textiles, and apparel. CC102 ...... Furniture & furnishings including plastic articles (soft); leather articles. CC103 ...... Furniture & furnishings including stone, plaster, cement, glass and ceramic articles; metal articles; or rubber articles. CC104 ...... Leather conditioner. CC105 ...... Leather tanning, dye, finishing, impregnation and care products. CC106 ...... Textile (fabric) dyes. CC107 ...... Textile finishing and impregnating/surface treatment products. CC108 ...... All-purpose foam spray cleaner. CC109 ...... All-purpose liquid cleaner/polish. CC110 ...... All-purpose liquid spray cleaner. CC111 ...... All-purpose waxes and polishes. CC112 ...... Appliance cleaners. CC113 ...... Drain and toilet cleaners (liquid). CC114 ...... Powder cleaners (floors). CC115 ...... Powder cleaners (porcelain). CC116 ...... Dishwashing detergent (liquid/gel). CC117 ...... Dishwashing detergent (unit dose/granule). CC118 ...... Dishwashing detergent liquid (hand-wash). CC119 ...... Dry cleaning and associated products. CC120 ...... Fabric enhancers. CC121 ...... Laundry detergent (unit-dose/granule). CC122 ...... Laundry detergent (liquid). CC123 ...... Stain removers. CC124 ...... Ion exchangers. CC125 ...... Liquid water treatment products. CC126 ...... Solid/Powder water treatment products. CC127 ...... Liquid body soap. CC128 ...... Liquid hand soap. CC129 ...... Solid bar soap. CC130 ...... Air fresheners for motor vehicles. CC131 ...... Continuous action air fresheners. CC132 ...... Instant action air fresheners. CC133 ...... Anti-static spray. CC134 ...... Apparel finishing, and impregnating/surface treatment products. CC135 ...... Insect repellent treatment. CC136 ...... Pre-market waxes, stains, and polishes applied to footwear. CC137 ...... Post-market waxes, and polishes applied to footwear (shoe polish). CC138 ...... Waterproofing and water-resistant sprays.
Chemical Substances in Construction, Paint, Electrical, and Metal Products
CC201 ...... Fillers and putties. CC202 ...... Hot-melt adhesives. CC203 ...... One-component caulks. CC204 ...... Solder. CC205 ...... Single-component glues and adhesives. CC206 ...... Two-component caulks. CC207 ...... Two-component glues and adhesives. CC208 ...... Adhesive/Caulk removers. CC209 ...... Aerosol spray paints. CC210 ...... Lacquers, stains, varnishes and floor finishes. CC211 ...... Paint strippers/removers. CC212 ...... Powder coatings. CC213 ...... Radiation curable coatings. CC214 ...... Solvent-based paint. CC215 ...... Thinners. CC216 ...... Water-based paint. CC217 ...... Construction and building materials covering large surface areas, including wood articles. CC218 ...... Construction and building materials covering large surface areas, including paper articles; metal articles; stone, plaster, ce- ment, glass and ceramic articles. CC219 ...... Machinery, mechanical appliances, electrical/electronic articles. CC220 ...... Other machinery, mechanical appliances, electronic/electronic articles. CC221 ...... Construction and building materials covering large surface areas, including metal articles.
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TABLE 5—CODES FOR REPORTING CONSUMER AND COMMERCIAL PRODUCT CATEGORIES—Continued
Code Category
CC222 ...... Electrical batteries and accumulators.
Chemical Substances in Packaging, Paper, Plastic, Toys, Hobby Products
CC990 ...... Non-TSCA use. CC301 ...... Packaging (excluding food packaging), including paper articles. CC302 ...... Other articles with routine direct contact during normal use, including paper articles. CC303 ...... Packaging (excluding food packaging), including rubber articles; plastic articles (hard); plastic articles (soft). CC304 ...... Other articles with routine direct contact during normal use including rubber articles; plastic articles (hard). CC305 ...... Toys intended for children’s use (and child dedicated articles), including fabrics, textiles, and apparel; or plastic articles (hard). CC306 ...... Adhesives applied at elevated temperatures. CC307 ...... Cement/concrete. CC308 ...... Crafting glue. CC309 ...... Crafting paint (applied to body). CC310 ...... Crafting paint (applied to craft). CC311 ...... Fixatives and finishing spray coatings. CC312 ...... Modelling clay. CC313 ...... Correction fluid/tape. CC314 ...... Inks in writing equipment (liquid). CC315 ...... Inks used for stamps. CC316 ...... Toner/Printer cartridge. CC317 ...... Liquid photographic processing solutions.
Chemical Substances in Automotive, Fuel, Agriculture, Outdoor Use Products
CC401 ...... Exterior car washes and soaps. CC402 ...... Exterior car waxes, polishes, and coatings. CC403 ...... Interior car care. CC404 ...... Touch up auto paint. CC405 ...... Degreasers. CC406 ...... Liquid lubricants and greases. CC407 ...... Paste lubricants and greases. CC408 ...... Spray lubricants and greases. CC409 ...... Anti-freeze liquids. CC410 ...... De-icing liquids. CC411 ...... De-icing solids. CC412 ...... Lock de-icers/releasers. CC413 ...... Cooking and heating fuels. CC414 ...... Fuel additives. CC415 ...... Vehicular or appliance fuels. CC416 ...... Explosive materials. CC417 ...... Agricultural non-pesticidal products. CC418 ...... Lawn and garden care products.
Chemical Substances in Products not Described by Other Codes
CC980 ...... Other (specify). CC990 ...... Non-TSCA use.
(5) For each consumer and manufactured (including imported) by known to or reasonably ascertainable by commercial product category reported the submitter is present in (for example, the submitter. under paragraph (c)(4) of this section, a plasticizer chemical substance used to (8) For each year where the PFAS is the applicable code(s) described in make pacifiers) or on (for example, as a used in consumer or commercial Table 4 under paragraph (c)(3) of this component in the paint on a toy) any products, the estimated typical section must be selected to designate the consumer products intended for use by maximum concentration, measured by function category(ies) that best children age 14 or younger, regardless of weight, of the chemical substance in represents the specific manner in which the concentration of the chemical each consumer and commercial product the PFAS is used. substance remaining in or on the category reported under paragraph (c)(4) (6) Submitters must indicate, for each product. Submitters must select from of this section. For each PFAS in each consumer and commercial product the following options: The chemical commercial and consumer product category reported under paragraph (c)(4) substance is used in or on any consumer of this section, whether the use is a products intended for use by children; category reported under paragraph (c)(4) consumer or a commercial use, or both. the chemical substance is not used in or of this section, submitters must select (7) Submitters must determine, within on any consumer products intended for from among the ranges of concentrations each consumer and commercial product use by children; or information as to listed in Table 6 of this paragraph and category reported under paragraph (c)(4) whether the chemical substance is used report the corresponding code (i.e., M1 of this section, whether any amount of in or on any consumer products through M5): each reportable chemical substance intended for use by children is not
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TABLE 6—CODES FOR REPORTING MAXIMUM CONCENTRATION OF CHEMICAL SUBSTANCE
Concentration range Code (% weight)
M1 ...... Less than 1% by weight. M2 ...... At least 1 but less than 30% by weight. M3 ...... At least 30 but less than 60% by weight. M4 ...... At least 60 but less than 90% by weight. M5 ...... At least 90% by weight.
(d) For each year since January 1, of this section. Where a particular chemical substance using a TSCA 2011, the total amounts manufactured or consumer and commercial product Accession Number. processed of each PFAS, including the category accounts for less than 5 percent (i) In addition to reporting the number amounts manufactured or processed in of the total production volume of a itself, submitters must specify the type each calendar year for each category of reportable chemical substance, the of number they are reporting by use as described in paragraph (c) of this percentage must not be rounded off to selecting from among the codes in Table section. 0 percent. Instead, in such a case, 1 of paragraph (b)(1)(i) of this section. (1) For each year the PFAS was submitters must report the percentage, (ii) If the specific identity of the manufactured, the total annual volume rounded off to the closest 1 percent, of byproduct is unknown to the submitter, (in pounds) of each PFAS domestically the submitter’s site’s total production the submitter may provide a description manufactured or imported at each site. volume of the reportable chemical of the chemical substance. The total annual domestically substance associated with the particular (iii) An indication of which specific manufactured volume (not including consumer and commercial product PFAS activity(ies) (i.e., manufacture, imported volume) and the total annual category. process, use, or disposal) manufactured imported volume must be separately (6) The estimated maximum amount the byproduct. reported. These amounts must be (in pounds) to be manufactured or (2) An indication of whether the reported to two significant figures of imported during the first year of byproduct is released to the accuracy. production within the covered reporting environment, and if so, the (2) A designation indicating, for each period (i.e., since January 1, 2011), and environmental medium (a) to which it is PFAS at each site, whether the imported the estimated maximum amount (in released (i.e., air, water, land). PFAS is physically present at the pounds) to be manufactured or imported (3) For each year, the byproduct reporting site. during any 12-month period during the volume (in pounds) released to the (3) The volume directly exported of first three years of production within environment. each PFAS domestically manufactured the covered reporting period. (f) All existing environmental and or imported at each site. These amounts (7) An indication of whether the health effects information of such must be reported to two significant PFAS was site-limited. substance or mixture. The scope of this figures of accuracy. information shall not be limited to (8) The estimated maximum amount (4) The estimated percentage, rounded studies conducted or published since (in pounds) of the PFAS on site at any off to the closest 10 percent, of total 2011. point in time since January 1, 2011. This production volume of the reportable (1) For each published study report, amount is not limited to quantities chemical substance associated with the submitter shall complete an being actively manufactured or used, each combination of industrial Organization for Economic Cooperation and includes quantities stored. processing or use operation, sector, and and Development (OECD) Harmonized function category as reported in (9) The total volume (in pounds) of Templates for Reporting Chemical Test paragraph (c) of this section. Where a each PFAS recycled on-site since Summaries, and submit the particular combination of industrial January 1, 2011. accompanying study reports and processing or use operation, sector, and (e) A description of the byproducts supporting information. function category accounts for less than resulting from the manufacture, (2) Submitters shall also provide any 5 percent of the submitter’s site’s total processing, use, or disposal of each additional human health data not in production volume of a reportable PFAS since January 1, 2011. study reports, including but not limited chemical substance, the percentage (1) For each byproduct produced from to any preliminary studies, informal test must not be rounded off to 0 percent. the manufacture, processing, use, or results in workers, or inhalation studies. Instead, in such a case, submitters must disposal of a PFAS, the submitter will (g) The number of individuals report the percentage, rounded off to the identify the byproduct by its specific, exposed to PFAS in their places of closest 1 percent, of the submitter’s currently correct CA Index name as employment and the duration of such site’s total production volume of the used to list the chemical substance on exposure for each year since January 1, reportable chemical substance the TSCA Inventory and the correct 2011. associated with the particular corresponding CASRN. A submitter (1) A narrative description of worker combination of industrial processing or under this part may use an EPA- activities involving the PFAS at the use operation, sector, and function designated TSCA Accession Number for manufacturing site, such as bag category. a chemical substance in lieu of a dumping, sampling, cleaning, or (5) The estimated percentage, rounded CASRN when a CASRN is not known to unloading drums. off to the closest 10 percent, of the or reasonably ascertainable by the (2) For each worker activity in this submitter’s site’s total production submitter. Submitters who wish to paragraph, indicate the number of volume of the PFAS associated with report chemical substances listed on the workers reasonably likely to be exposed. each consumer and commercial product confidential portion of the TSCA The submitter must select from among category as reported in paragraph (c)(4) Inventory will need to report the the worker ranges listed in Table 8 of
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paragraph (g)(1)(i) of this section and report the corresponding code (i.e., W1 though W8).
TABLE 7—CODES FOR REPORTING NUMBER OF WORKERS REASONABLY LIKELY TO BE EXPOSED
Code Range
W1 ...... Fewer than 10 workers. W2 ...... At least 10 but fewer than 25 workers. W3 ...... At least 25 but fewer than 50 workers. W4 ...... At least 50 but fewer than 100 workers. W5 ...... At least 100 but fewer than 500 workers. W6 ...... At least 500 but fewer than 1,000 workers. W7 ...... At least 1,000 but fewer than 10,000 workers. W8 ...... At least 10,000 workers.
(3) For each PFAS, the maximum (5) For each PFAS, the maximum corresponding code (i.e., W1 though duration of exposure for any worker at duration of exposure for any worker for W8). the manufacturing site, in hours per day each combination of industrial (7) For each PFAS, the maximum and days per year. processing or use operation, sector, and duration of exposure for any worker for (4) For each combination of industrial function category, in hours per day and each commercial use, in hours per day processing or use operation, sector, and days per year. and days per year. function category identified in paragraph (c) of this section, the (6) Where the PFAS is used in a (h) During the years in which the submitter must estimate the number of commercial product, the submitter must PFAS was manufactured, the manners workers reasonably likely to be exposed estimate the number of commercial or methods of its disposal, and any to each PFAS. For each combination workers reasonably likely to be exposed changes to the disposal methods or associated with each chemical to each reportable chemical substance. processes since January 1, 2011. substance, the submitter must select For each commercial use associated (1) Description of disposal processes from among the worker ranges listed in with each substance, the submitter must or methods, using the appropriate codes Table 8 under paragraph (g)(1)(i) of this select from among the worker ranges in Table 9 of paragraph (h)(1) of this section and report the corresponding listed in Table 8 under paragraph section, and additional descriptions as code (i.e., W1 though W8). (g)(1)(i) of this section and report the needed.
TABLE 8—CODES FOR REPORTING DISPOSAL METHODS
Code Disposal method
D1 ...... On-site land disposal: RCRA Class C landfill (hazardous). D2 ...... On-site land disposal: Other landfill. D3 ...... Other on-site land disposal. D4 ...... On-site underground injection (UIC). D5 ...... Off-site land disposal: RCRA Class C landfill (hazardous). D6 ...... Off-site land disposal: Other landfill. D7 ...... On-site incineration. D8 ...... Off-site incineration. D9 ...... Publicly owned treatment works (POTW). D10 ...... Other off-site waste transfer. D11 ...... Release to surface water. D12 ...... Release to air (stack emissions). D13 ...... Release to air (fugitive emissions). D99 ...... Other.
(2) Describe any changes to the information has been completed in submission period. The submission disposal process(es) or method(s) compliance with the requirements of period shall begin six months following indicated in paragraph (h)(1) for any this part, such as all information known the effective date of this rule and last for PFAS manufactured since 2011. or reasonably ascertainable is submitted, six months. (3) Indicate total volume released to and that the confidentiality claims made each environmental medium since 2011 in this report are true and correct. The § 705.22 Duplicative reporting. for each PFAS. certification must be signed and dated (a) If a person identified in § 705.10 (4) Indicate total volume incinerated by the authorized official for the has already reported certain information on-site since 2011 for each PFAS. If submitter company, and provide that in § 705.15 to EPA pursuant to TSCA incineration occurred, indicate the person’s name, official title, and email section 8(a), then duplicative reporting temperature at which the PFAS was address. of that information is not required of the incinerated. years for which the information has (i) Certification statement signed and § 705.20 When to report. already been reported. Any person dated by an authorized official of the All information reported to EPA in covered in this part may notify EPA submitter company. The authorized response to the requirements of this part through the electronic reporting system official must certify that the submitted must be submitted during the applicable in § 705.35 that such information has
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already been submitted. This (ii) For processing and use data disclosure of the information is likely to information may include: elements required by § 705.15(c)(1) cause substantial harm to the (1) Physical state of the chemical or through (7); or competitive position of my company; mixture, pursuant to (iii) When a response is left blank or and (4) I have a reasonable basis to § 711.15(b)(3)(C)(ix); designated as ‘‘not known or reasonably believe that the information is not (2) Industrial processing and use type, ascertainable.’’ readily discoverable through reverse sector(s), functional category(ies), and (3) Health and environmental effects engineering.’’ percent of production volume for each information. Any person submitting (e) Substantiation requirements for all use, pursuant to § 711.15(b)(4)(i)(A) health and effects information under types of confidentiality claims. For each through (D); this part may only assert a data element that is claimed as (3) Consumer and/or commercial confidentiality claim for information confidential, you must submit with your indicator, product category(ies), that ‘‘discloses processes used in the report detailed written answers to the functional category(ies), percent of manufacturing or processing of a following questions: production volume for each use, chemical substance or mixture or, in the (1) Will disclosure of the information indicator for use in products intended case of a mixture, the release of data claimed as confidential likely cause for children, and maximum disclosing the portion of the mixture substantial harm to your business’s concentration in the product, pursuant comprised by any of the chemical competitive position? If you answered to § 711.15(b)(4)(ii)(A) through (F); substances in the mixture.’’ If any such yes, describe the substantial harmful (4) Number of workers reasonably information is claimed as confidential, a effects that would likely result to your likely to be exposed for each person who submits the information competitive position if the information combination of industrial processing or must also provide EPA with a sanitized is disclosed, including but not limited use operation, sector, and function, copy for public release, removing only to how a competitor could use such pursuant to § 711.15(b)(4)(i)(F), and the that information that is claimed as information, and the causal relationship number of commercial workers confidential. between the disclosure and the harmful (b) Unless exempted, all reasonably likely to be exposed when effects. confidentiality claims require the substance is used in a commercial (2) Has your business taken product, pursuant to substantiation at time of submission and must be signed and dated by an precautions to protect the § 711.15(b)(4)(ii)(G). confidentiality of the disclosed (b) Any person covered in this part authorized official. Confidentiality claims for the following data elements information? If yes, please explain and must report all information to EPA in identify the specific measures, § 705.15 for each year since January 1, are exempt from this substantiation requirement: including but not limited to internal 2011. If a person has already reported controls, that your business has taken to any of the data elements identified in (1) Production volume information required pursuant to § 705.15(d)(1), (5), protect the information claimed as paragraph (a) of this section, but not for confidential. all years since 2011, then that person and (6). (c) Marking information claimed as (3)(i) Is any of the information must submit the required information claimed as confidential required to be for the intervening years. confidential in confidentiality substantiation documentation. If any of publicly disclosed under any other § 705.25 Recordkeeping requirements. the information contained in the Federal law? If yes, please explain. Each person who is subject to the answers to the questions listed in (ii) Does any of the information reporting requirements of this part must paragraph (e) of this section is asserted claimed as confidential otherwise retain records that document any to contain information that itself is appear in any public documents, information reported to EPA. Relevant considered to be confidential, you must including (but not limited to) safety data records must be retained for a period of clearly identify the information that is sheets; advertising or promotional 5 years beginning on the last day of the claimed confidential. material; professional or trade submission period. (d) Certification statement for claims. publications; state, local, or Federal An authorized official representing a agency files; or any other media or § 705.30 Confidentiality claims. person asserting a claim of publications available to the general (a) Making confidentiality claims—(1) confidentiality must certify that the public? If yes, please explain why the Generally. Any person submitting submission complies with the information should be treated as information under this part may assert requirements of this part by signing and confidential. a confidentiality claim for that dating the following certification (iii) Does any of the information information, except for information statement: claimed as confidential appear in one or described in paragraph (a)(2) of this ‘‘I certify that all claims for more patents or patent applications? If section. Any such confidentiality claims confidentiality asserted with this yes, please provide the associated patent must be asserted at the time the submission are true and correct, and all number or patent application number information is submitted. Instructions information submitted herein to (or numbers) and explain why the for asserting confidentiality claims are substantiate such claims is true and information should be treated as provided in the document identified in correct. Any knowing and willful confidential. § 705.35. Information claimed as misrepresentation is subject to criminal (4) Does any of the information that confidential in accordance with this penalty pursuant to 18 U.S.C. 1001. I you are claiming as confidential section will be treated and disclosed in further certify that: (1) I have taken constitute a trade secret? If yes, please accordance with the procedures in 40 reasonable measures to protect the explain how the information you are CFR part 2 and section 14 of TSCA. confidentiality of the information; (2) I claiming as confidential constitutes a (2) Exceptions. Confidentiality claims have determined that the information is trade secret. cannot be asserted: not required to be disclosed or (5) Is the claim of confidentiality (i) For chemical identities listed on otherwise made available to the public intended to last less than 10 years (see the public portion of the TSCA under any other Federal law; (3) I have TSCA section 14(e)(1)(B))? If yes, please Inventory; a reasonable basis to conclude that indicate the number of years (between
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1–10 years) or the specific date after explain why the specific chemical difficulties, or limitations associated which the claim is withdrawn. identity should still be afforded with such technologies? Please explain (6) Has EPA, another federal agency, confidential status (e.g., the chemical why or why not. or court made any confidentiality substance is publicly known only as (4) Would disclosure of the specific determination regarding information being distributed in commerce for chemical name release confidential associated with this chemical research and development purposes, but process information? If yes, please substance? If yes, please provide the no other information about the current explain. circumstances associated with the prior commercial distribution of the chemical (g) No claim of confidentiality. determination, whether the information substance in the United States is Information not claimed as confidential was found to be entitled to confidential publicly available). If no, please in accordance with the requirements of treatment, the entity that made the complete the certification statement: this section may be made public decision, and the date of the I certify that on the date referenced, without further notice to the submitter. determination. I searched the internet for the chemical § 705.35 Electronic reporting. (f) Additional requirements for substance identity (i.e., by both specific chemical identity. A person chemical substance name and CASRN). You must use CDX to complete and may assert a claim of confidentiality for I did not find a reference to this submit the reporting form required the specific chemical identity of a chemical substance that would indicate under this part. Submissions may only chemical substance as described in that the chemical is being manufactured be made as set forth in this paragraph. § 711.15(b) of this part only if the or imported by anyone for a commercial Submissions must be sent electronically identity of that chemical substance is purpose in the United States. [provide to EPA via CDX. The information treated as confidential in the Master date]. submitted and all attachments (unless Inventory File as of the time the report (2) Does this particular chemical the attachment appears in scientific is submitted for that chemical substance leave the site of manufacture literature) must be in English. All substance. Generic chemical identities (including import) in any form, e.g., as information must be true and correct. and accession numbers may not be a product, effluent, emission? If yes, Access the PFAS reporting tool and claimed as confidential. To assert a please explain what measures have been instructions, as follows: claim of confidentiality for the identity taken to guard against the discovery of (1) By website. Access the PFAS of a reportable chemical substance, you its identity. reporting tool via the CDX homepage at must submit with the report detailed (3) If the chemical substance leaves https://cdx.epa.gov/ and follow the written answers to the questions from the site in a form that is available to the appropriate links. paragraph (b) of this section and to the public or your competitors, can the (2) By phone or email. Contact the following questions. chemical identity be readily discovered EPA TSCA Hotline at (202) 554–1404 or (1) Is this chemical substance publicly by analysis of the substance (e.g., [email protected]. known (including by your competitors) product, effluent, emission), in light of [FR Doc. 2021–13180 Filed 6–25–21; 8:45 am] to be in U.S. commerce? If yes, please existing technologies and any costs, BILLING CODE 6560–50–P
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Notices Federal Register Vol. 86, No. 121
Monday, June 28, 2021
This section of the FEDERAL REGISTER The Agricultural Marketing Service www.regulations.gov). Instructions for contains documents other than rules or (AMS) encourages submissions from submitting and reading comments are proposed rules that are applicable to the traditionally underrepresented detailed on the site. Interested persons public. Notices of hearings and investigations, individuals, organizations, and committee meetings, agency decisions and are invited to submit written comments rulings, delegations of authority, filing of businesses to reflect the diversity of this concerning this notice. All comments petitions and applications and agency industry. AMS encourages submissions must be submitted through the Federal statements of organization and functions are from qualified applicants, regardless of e-rulemaking portal at http:// examples of documents appearing in this race, color, age, sex, sexual orientation, www.regulations.gov and should section. gender identity, national origin, reference the document number and the religion, disability status, protected date and page number of this issue of veteran status, or any other the Federal Register. All comments DEPARTMENT OF AGRICULTURE characteristic protected by law. In submitted in response to this notice will addition, we are asking for comments on Agricultural Marketing Service be included in the record and will be the quality of services provided by the made available to the public. Please be [Doc. No AMS–FGIS–21–0043] following designated agency: Titus advised that the identity of the Grain Inspection, Inc. (Titus). individuals or entities submitting Opportunity for Designation in the DATES: Applications and comments comments will be made public on the West Lafayette, Indiana Area; Request must be received by July 28, 2021. for Comments on the Official Agency internet at the address provided above. ADDRESSES: Submit applications and Servicing This Area Read Applications and Comments: comments concerning this Notice using All comments will be available for any of the following methods: AGENCY: Agricultural Marketing Service, public inspection online at http:// • To apply for Designation: Use USDA. www.regulations.gov. If you would like FGISonline (https:// ACTION: Notice. to view the applications, please contact fgisonline.ams.usda.gov) and then click us at [email protected] (7 CFR SUMMARY: The designation of the official on the Delegations/Designations and 1.27(c)). agency listed in SUPPLEMENTARY Export Registrations (DDR) link. You INFORMATION below will end on the will need to obtain an FGISonline FOR FURTHER INFORMATION CONTACT: prescribed date. We are asking persons customer number and USDA Jessica Dreier at [email protected]. or governmental agencies interested in eAuthentication username and providing official services in the area password prior to applying. SUPPLEMENTARY INFORMATION: The presently served by this agency to • To submit Comments: Go to designation of the official agency listed submit an application for designation. Regulations.gov (http:// below will end on the prescribed date:
Official agency Headquarters location and telephone Designation end
Titus Grain Inspection, Inc ...... West Lafayette, IN, 765–497–2202 ...... 6/30/2021
Section 7(f) of the United States Grain Opportunity for Designation are particularly interested in receiving Standards Act (USGSA) authorizes the Interested persons or governmental comments citing reasons and pertinent Secretary to designate a qualified agencies may apply for designation to data supporting or objecting to the applicant to provide official services in provide official services in the designation of the applicant. Such a specified area after determining that geographic area of the official agency comments should be submitted through the applicant is better able than any specified above under the provisions of the Federal e-rulemaking portal at other applicant to provide such official section 7(f) of the USGSA and 7 CFR http://www.regulations.gov. services (7 U.S.C. 79(f)). Under section 800.196. Designation in the specified 7(g) of the USGSA, designations of We consider applications, comments, geographic area for Titus begins July 1, official agencies are effective for no and other available information when 2021. To apply for designation or to longer than five years, unless terminated determining which applicant will be request more information on the by the Secretary, and may be renewed designated. geographic area serviced by this official according to the criteria and procedures agency, contact Jessica Dreier at the Authority: 7 U.S.C. 71–87k. prescribed in section 7(f) of the USGSA. address listed above. Erin Morris, Areas Open for Designation Request for Comments Associate Administrator, Agricultural Titus: Area of designation includes Marketing Service. We are publishing this Notice to parts of Indiana. Please see the March [FR Doc. 2021–13703 Filed 6–25–21; 8:45 am] provide interested persons the 29, 2016, issue of the Federal Register opportunity to comment on the quality BILLING CODE P (81 FR 17431) for the description of the of services provided by the Titus official area in Lafayette, Indiana, open for agency. In the designation process, we designation.
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DEPARTMENT OF AGRICULTURE particular quality analysis; provide the stakeholder organizations identified basis of determination; and specify above to facilitate the current marketing Agricultural Marketing Service grades and grade requirements. Official practices. [Doc. No. AMS–FGIS–20–0065] procedures for determining grading factors are provided in the Bean Comment Review United States Standards for Beans Inspection Handbook. Together, the AMS published a Notice in the grading standards and testing Federal Register on September 29, 2020 AGENCY: Agricultural Marketing Service, procedures allow buyers and sellers to (85 FR 60957), inviting interested USDA. communicate quality requirements, parties to comment on the proposed ACTION: Notice of final action. compare bean quality using equivalent forms of measurement, and assist in revisions to the U.S. Standards for SUMMARY: This action is being taken price discovery. Beans. AMS received ten comments in under the authority of the Agricultural AMS engages in outreach with response to the notice. Four comments Marketing Act of 1946, as amended stakeholders to ensure commodity strongly supported the proposed (AMA). The United States Department standards maintain relevance to the revisions; one comment was non- of Agriculture’s (USDA) Agricultural modern market. Bean industry committal but recommended applying a Marketing Service (AMS) is revising the stakeholders include the US Dry Bean similar limit to all beans; one comment method of interpretation for the Council (USDBC), California Dry Bean posed a question on the cost efficiency determination of ‘‘sample grade criteria’’ Advisory Board, California Bean for the industry; and two comments in the Bean Inspection Handbook, Shippers Association, and Cal Bean and opposed the proposed revisions. AMS pertaining to the class ‘‘Blackeye beans’’ Grain, among others. received two comments that were not in the U.S. Standards for Beans. The United States Standards for Beans germane to the issue. One of the Stakeholders in the dry bean and the official inspection procedures opposing comments stated that the processing/handling industry requested for beans in the Bean Inspection quality of Blackeye beans could be that AMS amend the definition of Handbook are available on the AMS compromised by this change, leading to sample grade in the Blackeye bean public website. The United States a possible decrease in the consumption inspection instructions by revising the Standards for Beans were last revised in of these beans. The other opposing unit of measurement for the factor 2017. Currently, sample grade ‘‘Insect Webbing or Filth’’ (IWOF) and tolerances for IWOF in all classes of comment questioned whether these removing ‘‘Clean-Cut Weevil-Bore’’ beans are determined on a count basis changes would lead to increased fraud. (CCWB) as a sample grade factor. As a of two or more beans in 1,000 grams. AMS does not foresee a decrease in result of this action Clean-Cut Weevil- Also, CCWB is considered a sample consumption due to quality concerns or Bore is considered a damage factor only. grade and damage factor. This type of hidden fraud. The demand for plant- DATES: Applicability date: July 1, 2021. insect filth found in the Blackeye bean based protein has increased the is not due to storage practices, but consumption of pulses throughout the FOR FURTHER INFORMATION CONTACT: originates in the field, brought on by United States. Buyers of Blackeye beans Loren Almond, USDA AMS; Telephone: years of drought, and is the result of can specify a count limit or tighter (816) 702–3925; Email: challenges associated with applying [email protected]. percentage in their purchase contract. aerial pesticides. These elements have The preponderance of comments SUPPLEMENTARY INFORMATION: Under the contributed to an increase of IWOF suggest AMS should proceed with the authority of the AMA (7 U.S.C. 1621– (beans and pieces of beans which revision. 1627), as amended, AMS establishes contain webbing, refuse, excreta, dead and maintains a variety of quality and insects, larvae, or eggs) in the Blackeye AMS believes these revisions will grade standards for agricultural bean crops for years. With the current facilitate inspections, better reflect commodities that serve as a sample grade factor tolerance, difficulty current marketing practices, be cost fundamental starting point to define in meeting contract specifications is efficient, and facilitate purchasing and commodity quality in the domestic and problematic. Specifically, industry selling of Blackeye beans. Accordingly, global marketplace. stakeholders asked AMS to revise the AMS is making no changes to the Standards developed under the AMA sample grade tolerance for IWOF and revised Blackeye bean inspection include those for rice, whole dry peas, adjust CCWB to only be considered a methods as proposed. The revisions to split peas, feed peas, lentils, and beans. damage factor, only in the class Blackeye bean inspection are effective The U.S. Standards for whole dry peas, Blackeye beans. upon publication in the Federal split peas, feed peas, lentils and beans Register. The Bean Inspection no longer appear in the Code of Federal Revision of Blackeye Bean Sample Grade Tolerances for Insect Webbing or Handbook will be revised to incorporate Regulations, but are now maintained by the revisions. USDA–AMS–Federal Grain Inspection Filth and Removal of Clean-Cut Weevil- Service (FGIS). The U.S. Standards for Bore as a Sample Grade Factor Final Action beans are voluntary and widely used in Stakeholders recommended AMS private contracts, government revise the Bean Inspection Handbook AMS–FGIS is revising the Blackeye procurement, marketing criteria for Blackeye bean sample grade bean inspection criteria by amending communication, and for some tolerances of IWOF from counts to the Bean Inspection Handbook to commodities, consumer information. percentages, and change CCWB from a change the sample grade tolerance for The bean standards facilitate bean sample grade and damage factor to a IWOF in the Blackeye bean class only, marketing and define U.S. bean quality damage factor only. AMS and from a count of two or more beans in in the domestic and global marketplace. stakeholders worked collaboratively to 1,000 grams, to more than 0.10 percent The standards define commonly used redefine the tolerances for IWOF and on the basis of the representative sample industry terms; contain basic principles CCWB in Blackeye beans. Additionally, as a whole, and remove CCWB as a governing the application of standards, these changes were recommended to sample grade factor. such as the type of sample used for a AMS by the specifically named
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Authority: 7 U.S.C. 1621–1627. Individuals who use The purpose of this program is to Erin Morris, telecommunication devices for the establish and operate Agriculture hearing-impaired (TDD) may call the Innovation Centers (Centers) that Associate Administrator, Agricultural Marketing Service. Federal Information Relay Service provide technical and business (FIRS) at 1–800–877–8339 between 8:00 development assistance to agricultural [FR Doc. 2021–13631 Filed 6–25–21; 8:45 am] a.m. and 8:00 p.m., Eastern Daylight producers seeking to engage in the BILLING CODE P Time, Monday through Friday. marketing or the production of Value- SUPPLEMENTARY INFORMATION: The Added products. Eligible applicants DEPARTMENT OF AGRICULTURE purpose of the meeting is to discuss a include nonprofit and for-profit recreation fee proposal and make a corporations, public bodies, and Forest Service recommendation for the Jensen Cabin institutions of higher education. located on the Palisades Ranger District Consortiums are also eligible to apply, Eastern Idaho Resource Advisory in Bonneville County, Idaho. but they must select a single Committee The meeting is open to the public. organization to represent the consortium as the applicant. Only the applicant AGENCY: Forest Service, USDA. The agenda will include time for people organization must meet the eligibility ACTION: Notice of meeting. to make oral statements of three minutes or less. Individuals wishing to make an requirements. This program supports SUMMARY: The Eastern Idaho Resource oral statement should request in writing Rural Development’s (RD) mission of Advisory Committee (RAC) will hold a by July 12, 2021, to be scheduled on the improving the quality of life for rural virtual meeting by phone and/or video agenda. Anyone who would like to Americans and commitment to directing conference. The committee is bring related matters to the attention of resources to those who most need them. authorized under the Secure Rural the committee may file written DATES: We will offer two training Schools and Community Self- statements with the committee staff sessions for potential applicants Determination Act (the Act) and before or after the meeting. Written approximately one month after this operates in compliance with the Federal comments and requests for time for oral Notice is published. The training Advisory Committee Act. The purpose comments must be sent to Bill Davis, sessions will be similar and will be of the committee is to improve P.O. Box 46, Dubois, ID 83423; or by offered on different dates and at collaborative relationships and to email to [email protected]. different times to accommodate provide advice and recommendations to Meeting Accommodations: If you are applicants in different time zones. The the Forest Service concerning projects a person requiring reasonable training sessions will provide an and funding consistent with Title II of accommodation, please make requests overview of the requirements for the the Act as well as make in advance for sign language program and address questions posed by recommendations on recreation fee interpreting, assistive listening devices, potential applicants. It is expected that proposals for sites on the Caribou- or other reasonable accommodation. For the sessions will be offered via webinar Targhee National Forest within access to the facility or proceedings, and will have a duration of Bannack, Bear Lake, Bonneville, please contact the person listed in the approximately two hours. Details Caribou, Clark, Franklin, Fremont, section titled FOR FURTHER INFORMATION regarding the specific dates, times, and Madison, 0neida, and Teton County, CONTACT. All reasonable access information will be posted at consistent with the Federal Lands accommodation requests are managed least two weeks prior to the sessions on Recreation Enhancement Act. RAC on a case-by-case basis. the program’s website at: https:// information and virtual meeting Dated: June 22, 2021. www.rd.usda.gov/programs-services/ information can be found at the Cikena Reid, agriculture-innovation-center-program. following website: https:// A summary will be posted on the USDA Committee Management Officer. www.fs.usda.gov/main/ctnf/working website after the sessions are completed. together/advisorycommittees. [FR Doc. 2021–13682 Filed 6–25–21; 8:45 am] Completed applications for grants DATES: The meeting will be held on July BILLING CODE 3411–15–P must be submitted electronically by no 27, 2021 at 1:30 p.m., Mountain later than 11:59 p.m. Eastern Time, Daylight Time. September 27, 2021, through Grants.gov. All RAC meetings are subject to DEPARTMENT OF AGRICULTURE Late applications are not eligible for cancellation. For status of the meeting Rural Business—Cooperative Service funding under this Notice and will not prior to attendance, please contact the be evaluated. person listed under FOR FURTHER [Docket #RBS–21–Business–0023] FOR FURTHER INFORMATION CONTACT: Gail INFORMATION CONTACT. Thuner, Grants Division, Cooperative Inviting Applications for Agriculture ADDRESSES: The meeting will be held Programs, Rural Business-Cooperative Innovation Demonstration Center virtually via telephone and/or video Service, United States Department of Grants conference. Agriculture, 1400 Independence Avenue Written comments may be submitted AGENCY: Rural Business—Cooperative SW, MS 3201, Room 5803—South, as described under SUPPLEMENTARY Service, USDA. Washington, DC 20250–3250, or call INFORMATION . All comments, including ACTION: Notice of solicitation of 202–720–1400, or email cpgrants@ names and addresses when provided, applications. wdc.usda.gov. are placed in the record and are SUPPLEMENTARY INFORMATION: available for public inspection and SUMMARY: This Notice announces that copying. The public may inspect the Rural Business-Cooperative Service Overview comments received upon request. (Agency) is accepting fiscal year (FY) Federal Agency Name: USDA Rural FOR FURTHER INFORMATION CONTACT: Bill 2021 applications for the Agriculture Business-Cooperative Service. Davis, Committee Coordinator, by Innovation Demonstration Center (AIC) Funding Opportunity Title: phone at 208–374–5422 or email at program. In FY 2021, the program has Agriculture Innovation Demonstration [email protected]. $7,392,479 available for grant funding. Center.
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Announcement Type: Initial Notice. competing personal, professional, or Center is located, and (3) four Catalog of Federal Domestic financial interests that make it difficult Agricultural Commodity Organizations Assistance Number: 10.377. for the person or business to act representing different commodities Dates: Application Deadline. Your impartially. Federal procurement produced in the State in which the application must be received by https:// standards prohibit transactions that Center is located. Note that no www.grants.gov/ no later than 11:59 involve a real or apparent conflict of representative may represent more than p.m. Eastern Time, September 27, 2021, interest for owners, employees, officers, one group or organization. Board of or it will not be considered for funding. agents, or their immediate family Director representatives must not have Paperwork Reduction Act members having a financial or other any Conflicts of Interest. Note that this interest in the outcome of the project; or definition supersedes the existing In accordance with the Paperwork that restrict open and free competition definition in 7 CFR 4284.1004 based on Reduction Act, the paperwork burden for unrestrained trade. Specifically, the revision established by Public Law associated with this Notice has been neither grant nor matching funds may 115–334 (the 2018 Farm Bill). approved by the Office of Management be used for services or goods going to, and Budget (OMB) under OMB Control or coming from, a person or entity with B. Federal Award Information Number 0570–0045. a real or apparent conflict of interest, Type of Award: Competitive Grant. A. Program Description including, but not limited to, owner(s) Fiscal Year Funds: FY 2021. and their immediate family members. Total Funding: $7,392,479. The AIC program is authorized by Examples of conflicts of interest include Minimum Award: $400,000. section 7608 of the Farm Security and using grant or matching funds to pay a Maximum Award: $1,000,000. Rural Investment Act of 2002 (7 U.S.C. member of the applicant’s board of Project Period: 2 years. 1632b) and is implemented by 7 CFR directors to provide Producer Services Anticipated Award Date: February 23, part 4284 Subparts A and K, which are and using grant or matching funds to 2022. incorporated by reference into this pay an immediate family member of the C. Eligibility Information Notice. The primary objective of the AIC applicant to provide Producer Services. program is to provide technical Note that the Conflict of Interest does You must meet all of the following assistance to agricultural producers to not include cases when the State’s eligibility requirements. Applicants market value-added agricultural Secretary of Agriculture or an employee and/or applications which fail to meet products through Centers. Grants are of the State’s Department of Agriculture any of these requirements by the available to public bodies, institutions acts as a member of the Board of application deadline will not be of higher education, nonprofit Directors. evaluated further or considered for corporations, and for-profit General Agricultural Organization funding. corporations. Consortiums are also means an organization that represents 1. Eligible Applicants. Grants may be eligible to apply, but they must select a agriculture in general, without made to public bodies (including local single organization to represent the restriction to any specific group, governments, State governments, and consortium as the applicant. Only the commodity, or sector. Representing Federally-Recognized Tribes), applicant organization must meet the agriculture through policy-making, institutions of higher education, eligibility requirements. It is expected education, and/or marketing must be the nonprofit corporations, and for-profit that recipients will establish and sole purpose of the organization. The corporations. Consortiums are also operate independently-governed Centers organization must represent agricultural eligible to apply, but they must select a whose boards of directors meet the producers, although it may represent single organization to represent the representation requirements described processors and other stakeholders as consortium as the applicant. Only the in Section D.2(j) of this Notice. well. The representation can occur at applicant organization must meet the the State, regional, or national level. eligibility requirements. Note that Definitions Examples include organizations that applicant organizations must be The terms you need to understand are represent farmers and ranchers and prepared to act as Centers to provide defined and published at 7 CFR 4284.3, organizations that represent sustainable Producer Services. Grant awards are not 7 CFR 4284.1004, and 7 CFR 4284.902. farming. Note that organizations made directly to businesses or The term ‘‘you’’ referenced throughout representing organic agriculture and agricultural producers to market Value- this Notice should be understood to credit organizations are not considered Added products. Organizations that mean ‘‘you’’ the applicant. Additional part of this definition. propose to use grant award funds to definitions are included below. Product Development means idea earn revenue processing and selling Agricultural Commodity Organization generation, concept testing, feasibility value-added products are not eligible. means an organization that exclusively and cost analysis, product taste-testing, (a) An applicant is ineligible if they represents a single Agricultural demographic and other types of have been debarred or suspended or Commodity or group of similar consumer analysis, production analysis, otherwise excluded from or ineligible commodities either on behalf of the evaluation of packaging and labeling for participation in Federal assistance commodity itself or on behalf of the options, and brand development for a programs under Executive Order 12549, agricultural producers who grow or value-added product. ‘‘Debarment and Suspension.’’ In raise it. The representation can be at a Qualified Board of Directors means a addition, an applicant will be local, State, regional, or national level. Board of Directors that includes, but is considered ineligible for a grant due to Examples are Agricultural Commodity not limited to, representatives from each an outstanding judgment obtained by Marketing Boards established by States, of the following groups: (1) Two General the U.S. in a Federal Court (other than a national association representing corn Agricultural Organizations with the U.S. Tax Court), is delinquent on the growers, and a regional association greatest number of members in the State payment of Federal income taxes, or is representing vegetable and berry in which the Center is located, (2) the delinquent on Federal debt. The growers. department of agriculture, or similar applicant must certify as part of the Conflict of Interest means a situation State department or agency or a State application that they do not have an in which a person or entity has legislator, of the State in which the outstanding judgment against them. The
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Agency will check the Do Not Pay Notice. (See also Section D.2.l of this facilities, including processing system to verify the certification. (See Notice.) facilities, for potential value-added also Section D.2.f of this Notice.) Existing Capability to Provide activities to determine the size that (b) Any corporation (i) that has been Services: You must be able to optimizes construction and other convicted of a felony criminal violation demonstrate that you have previously cost efficiencies under any Federal law within the past provided services similar to the • Systems development 24 months or (ii) that has any unpaid Producer Services defined in 7 CFR • Other technical assistance and Federal tax liability that has been 4284.1004 or that you have the applied research related to assessed, for which all judicial and capability to provide those services. In development, implementation, administrative remedies have been order to be considered qualified, you improvement and operations of exhausted or have lapsed, and that is must either demonstrate at least three processes and systems to produce not being paid in a timely manner years of experience during the last five and market a value-added pursuant to an agreement with the agricultural product years providing the same type of • authority responsible for collecting the Producer Services as those proposed in Organizational assistance, including tax liability, is not eligible for financial the application and show a record of at legal and technical advisory services assistance provided with funds least three positive outcomes or you related to the development, appropriated by the Consolidated must demonstrate that you currently expansion, or operation of a business Appropriations Act, 2021 (Pub. L. 116– have at least two key personnel owned by an agricultural producer(s) 260), unless a Federal agency has committed to the project who have the that will produce a value-added considered suspension or debarment of same level of experience and positive agricultural product, as long as this the corporation and has made a outcomes, even if they have not worked assistance is not provided to support determination that this further action is for you for at least three years. (See also forming a joint marketing effort of not necessary to protect the interests of Section D.2.m of this Notice.) food and food products by a group of the Government. (See also Section D.2.e Support of Agricultural Community: producers, such as a farmers market, roadside stand, community-supported of this Notice.) You must demonstrate that at least three agriculture, and online sales 2. Cost Sharing or Matching. Matching relevant agricultural organizations funds are required for at least one-third • Outreach assistance, limited to support your project. We will consider assistance with connecting an of the total project budget. For example, the support to be relevant if the if the total project budget is $1,500,000, agricultural producer to a distribution supporting organization is based in the system, processing facility, or matching funds must be at least State or region in which the project will $500,000. Matching funds may be commercial kitchen take place and if the organization serves • Technical assistance for product provided in cash by the applicant or a the same group of producers (either third party or in-kind by a third party. development (excluding R&D), where directly or through commodity/ They must be available for use during product development has the marketing efforts) targeted by the the period of performance, and they following definition: Stages involved proposed project. (See also Section must be used for allowable expenses. in bringing a product from idea or D.2.n of this Notice.) Applicants may propose to use concept through commercial-scale Improving Value-Added Markets: unrecovered indirect costs as matching production, including concept testing, Your project must focus on increasing funds, subject to the review and feasibility and cost analysis, product and improving the ability of local approval of the agency, if an award is taste-testing, demographic and other agricultural producers to develop approved. (See also Section D.2.j of this types of consumer analysis, markets and processes for Value-Added Notice.) production analysis, and evaluation of 3. Other Eligibility Requirements. agricultural commodities or products. packaging and labeling options Independent Governance: The Center (See also D.2.s of this Notice.) • Costs associated with establishing and must be independently governed, Use of Funds: Grant Award funds may operating a Center, such as legal although it does not have to be a be used only to provide the following services, accounting services, clerical separate legal entity from the applicant services directly to agricultural assistance, technical services, hiring organization. If the applicant is a parent producers for the purpose of producing employees, monitoring contracts, and organization or institution of higher and marketing a value-added Board of Director travel education, you must demonstrate that agricultural product: • Grants of $5,000 or less to agricultural there is a separate Board of Directors for • Financial advisory services related to producers for the above services, the Center and that the Center has the development, expansion, or where the aggregate amount of all independent governance. We consider operation of a business owned by an such matching grants made by the the Center to have independent agricultural producer(s) that will Center does not exceed $50,000. Note governance if it has control over produce a value-added agricultural that these ‘‘mini-grants’’ are personnel decisions, including hiring product, as long as the assistance is considered pass-through awards. and firing employees and contractors; not to support forming a joint Therefore Centers and the setting policies and procedures, marketing effort by a group of subrecipients must comply with all including personnel and procurement; producers, such as a farmers market, Federal and programmatic developing and approving its budget; roadside stand, community-supported requirements for pass-through entities and selecting its own Board of Directors, agriculture, and online sales and awards, including, but not which shall not include any members • Process development services, limited to, Pre-Award Requirements, who are affiliated with the parent including: Award Requirements, Post-Award organization. (See also Section D.2.k of • Engineering services, including Requirements, Property Standards, this Notice.) scale-up of production systems (not Procurement Standards, Performance Qualified Board of Directors: The to include cost of renovating or and Financial Monitoring and Board of Directors for the Center must constructing a facility or system) Reporting, Subrecipient Monitoring meet the definition for Qualified Board • Scale production assessments, and Reporting, Record Retention and of Directors in Sec. A. Definitions of this defined as studies that analyze Access, Remedies for Noncompliance,
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Closeout, Post-Closeout Adjustments Satisfactory Performance. We will Collaboration, Contracts, and and Continuing Responsibilities. Pass- check the Federal Awardee Performance Subawards. While we support Through Entities are responsible for and Integrity Information System as collaboration between and among acting on behalf of the Federal Agency well as the Do Not Pay system prior to Centers, you must limit any contracts or when determining eligibility for the awarding funds. These systems track all subawards with other Centers to 10% or mini-grants as well as compliance Federal awards. If you have deficiencies less of project costs. We consider with Federal and program identified in either system, we may collaboration to occur when two or requirements. Subrecipients of the either discontinue processing your more Centers work jointly on an mini-grants must be eligible to receive application if the deficiencies are activity, but each Center controls its a Federal award, use grant award and significant or indicate a lack of own budget for its involvement. Any matching funds for allowable costs, capability to accomplish the proposed collaboration with other Centers must provide at least one-third of the total project or we may impose special be identified in the proposed Work project costs in matching funds, and conditions to address the deficiencies. Plan. The collaborators or contractors do meet all other Federal and program Special conditions may include, but are not have to meet the eligibility requirements for this program. not limited to, more frequent reporting, requirements for the program. Only the In addition to the above uses of Grant more detailed reporting, and the applicant organization is required to Award funds, your Matching Funds addition of benchmarks or checkpoints meet the requirements. to assess progress. contribution can be used to provide the D. Application and Submission Financial Capability. We will assess following services directly to Information agricultural producers for the purpose of the financial statements from your most producing and marketing a value-added recent audit to confirm that you possess 1. Web Address To Access Application agricultural product: sufficient financial capabilities for the Package proposed project. In particular, you • The application template for applying Business development services, such must have a current ratio of at least 1:1 as feasibility studies, business plans, for this funding opportunity is located and the ability to provide sufficient cash at https://www.rd.usda.gov/programs- and other types of technical assistance flow to cover at least three months of and applied research that support services/agriculture-innovation-center- total project costs to account for the lag program. Use of the application business development, including between when expenses are incurred, support to forming a joint marketing template is strongly recommended to and award funds are disbursed. If you assist you with the application process. effort by a group of producers, such as do not meet these requirements, you are a farmers market, roadside stand, not eligible for funding. We will also 2. Content and Form of Application community-supported agriculture, review your audit and any notes and Submission and online sales findings, and if we determine that your • Your application must be submitted Market development and outreach financial capability would preclude you electronically through Grants.gov. Your services, such as marketing plans, from properly managing Federal funds, application must contain all required branding, and customer identification your organization will not be eligible for information. You must follow the including support to forming a joint an award. We may also identify any instructions for this funding marketing effort by a group of concerns that might require special announcement at https:// producers, such as a farmers market, conditions if an award is made. (See www.grants.gov/. Note that we cannot roadside stand, community-supported also Section D.2.h.) accept applications through mail or agriculture, and online sales Application Completeness: Your courier delivery, in-person delivery, For information on selected items that application must provide all the email, or fax. are not allowable for funding under this information requested in Section D.2 of You can locate the Grants.gov Notice, please review section D(6) of this Notice. Applications lacking downloadable application package for this Notice, ‘‘Funding Restrictions.’’ sufficient information to determine this program by using a keyword, the Period of Performance. The proposed eligibility and scoring will not be program name, or the Catalog of Federal period of performance must be two considered for funding. Domestic Assistance Number for this years or less or the application will not No Duplication of Current Services. program. be considered for funding. Note that in Your application must demonstrate that When you enter the Grants.gov the future, any recipients that have you are providing services to new website, you will find information about already received funding through this customers or new services to current applying electronically through the site, program will be limited to one-year customers. (See also Section D.2.s of as well as the hours of operation. We project periods while new recipients this Notice.) have included additional information will be allowed up to two years. This Number of Applications. You may about how to register and use the difference in time is to allow new only submit one application in response Grants.gov website in our Application recipients additional time for start-up to this Notice. Guide. activities. The proposed start date must Number of Applicants. Only one To use Grants.gov, you must already be no earlier than three months after the organization can be listed as an have a Unique Entity Identifier number expected award date and no later than applicant on an application, even if the and you must also be registered and six months after the expected award project will be completed by a maintain registration in SAM. We date. Extensions may be approved on a consortium or partnership. strongly recommend that you do not case-by-case basis at our discretion if Collaboration and partnerships are wait until the application deadline date circumstances beyond the recipient’s encouraged, but one organization must to begin the application process through control cause a significant delay in the be responsible for administering the Grants.gov because it can take up to four performance of the award. However, in award, if approved. Typically, we weeks to complete the registration no case, will we approve a period of would expect collaborations to involve process. performance (including any extension contributions of matching funds or You must submit all application period) for longer than two years. procurement contracts. documents electronically through
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Grants.gov. Applications must include Institution of Higher Education as equivalent, to demonstrate that the electronic signatures. Original defined at 20 U.S.C. 1001. The most commodities are produced in your state signatures may be required if funds are common way to demonstrate this and provide a copy of the information awarded. qualification is to provide the legal used. After applying electronically through citation that authorizes the institution. You must also submit a signed Grants.gov, you will receive an (g) Verification of Matching Funds. statement from each representative automatic acknowledgement from Matching funds must be provided for at stating that they either are currently on Grants.gov that contains a Grants.gov least one-third of the total project cost. the Center’s Board of Directors or that tracking number. For example, if your total project cost is they commit to being on the Center’s Your application must contain the $1,500,000, you must provide at least Board of Directors during the proposed following required forms and other $500,000 in matching funds. Matching period of performance. components: funds can be provided in cash by the If your application is selected for (a) Standard Form SF–424, applicant organization or a third-party. funding, we will confirm the Board of ‘‘Application for Federal Assistance,’’ to They can also be provided in-kind by a Directors still meets the requirements. If include your Unique Entity Identifier third-party organization. You must at any time, the Center’s Board of and SAM Commercial and Government verify the amount of funds to be Directors does not meet the Entity (CAGE) code and expiration date. contributed, the source of the funds, the requirements during the period of If you do not include your DUNS availability of the funds, and the performance, the award will either be number and your CAGE code or your purpose for which the funds will be suspended until the requirements can DUNS number or Cage code is inactive used. All verification must be done on be met or it will be terminated if the or expired, we will not consider your an organization’s letterhead and be requirements can no longer be met. application for funding. signed by the organization’s authorized (j) Existing Capability to Provide (b) Form SF–424A, ‘‘Budget representative. Services. The applicant organization Information-Non-Construction (h) Governance Structure of the must be able to demonstrate that it has Programs.’’ This form must be Center. The Center does not need to be previously provided services similar to completed and submitted as part of the an independent legal entity; however, it the Producer Services defined in 7 CFR application package. must be independently governed. You 4284.1004 or that it has the capability to (c) You must certify that there are no must provide an explanation of how the provide those services. current outstanding Federal judgments governance of the Center works (or will To demonstrate previously providing against your property and that you will work if it hasn’t been established at the services, you must include a chart or not use grant funds to pay for any time of application). In particular, you narrative that describes the services judgment obtained by the United States. must address how the Center carries out provided during the last three to five You must also certify that you are not personnel decisions, including hiring years, as needed, to show that you can delinquent on the payment of Federal and firing employees and contractors; meet the requirement. The description income taxes, or any Federal debt. To sets its policies and procedures, must include the specific type of service satisfy the Certification requirement, including personnel and procurement; provided, the role of the Center in you must include this statement in your develops and approves its budget; and providing the service, how many times application: ‘‘[INSERT NAME OF selects its own Board of Directors. it has been provided, and the outcomes APPLICANT] certifies that the United (i) Board of Directors. You must of the services provided (preferably with States has not obtained an unsatisfied provide the following information: quantitative measurements). judgment against its property, is not For the representatives from the two If the Center does not have at least delinquent on the payment of Federal General Agricultural Organizations with three years of experience providing income taxes, or any Federal debt, and the greatest number of members in your Producer Services during the last five will not use grant funds to pay any State, you must identify the years, you must provide a chart or judgments obtained by the United representatives, the organizations, their narrative that describes the key States.’’ A separate signature is not purposes, and the number of members personnel’s experience with providing required. they have in your State. You must also Producer Services during the last three (d) Certification on Lobbying. Your explain how you determined that the to five years, as needed, to show that authorized representative must sign a organizations have the most (or second you can meet the requirement. The certification which contains the entire most) members. Acceptable sources for narrative must include a description of statement from 2 CFR part 418, this information can include the state the services provided, the role of the key Appendix A. Department of Agriculture, or its personnel in providing the service, how (e) Financial Capability. You must equivalent, or a third-party, reliable many times it has been provided, and include your most recent audit source, such as a trade journal or the outcomes of the services provided (including the Letter to the Managers). university agriculture department. (preferably with quantitative (f) Applicant Eligibility. You must For the representative from the State measurements). verify your legal status and demonstrate Department of Agriculture (or We will assess the capability of each your eligibility for the program. equivalent) or State legislator, you must applicant organization based only on • Public bodies must provide the identify the representative and include what is submitted with the application. legal citation that authorizes their the person’s title and job responsibility (k) Support of the Agricultural organization. if from the Department of Agriculture or Community. You must include at least • Non-profit and for-profit identify the district the State legislator three letters of support from agricultural corporations must submit the State’s represents. organizations, other than the applicant Certificate of Good Standing (or the For representatives from four organization, that are relevant to the equivalent tribal documentation if Agricultural Commodity Organizations, project. Evidence of support includes incorporated under tribal law) and your you must identify each representative contributions of cash or in-kind Articles of Incorporation. and the organization they represent. matching funds. Other examples of • Institutions of Higher Education You must use data from the State support include referring clients and must demonstrate that you qualify as an Department of Agriculture, or its intent to collaborate. We will consider
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the support to be relevant if the tasks listed for each Producer Service to must maintain an active SAM organization is based in the State or be offered. Tasks associated with the registration with current information at region in which the project will take start-up of the Center should include a all times during which it has an active place and if the organization serves the focused marketing and delivery plan Federal award or an application under same group of producers (either directly directed at the local agricultural consideration by the Agency. The or through commodity/marketing producers that were identified in the applicant must ensure that the efforts) targeted by the proposed project. Goals section of your application. The information in the database is current, Note that support from organizations actions to be taken should include steps accurate, and complete. Applicants that are not agricultural in nature (such for identifying customers, hiring key must ensure they complete the as local chambers of commerce) is not personnel (if not already hired), Financial Assistance General considered relevant for the purpose of contracting for services for the Center, Certifications and Representations in meeting this requirement. and making arrangements for strategic SAM. (l) Strategic Coordination and alliances. Each defined task needs to To be eligible, you are required to: Alliances. Describe arrangements in have a description, assigned key (a) Provide a valid Unique Entity place or planned with end users (for personnel, and an expected time frame Identifier (formerly known as the DUNS example, processing and distribution for accomplishment. You must also number) in your application, which can companies and regional grocers) as well clearly demonstrate how your project be obtained at no cost via a toll-free as with entities that have technical will provide services to new customers request line at (866) 705–5711 or at research capabilities, broad support or provide new services to existing http://fedgov.dnb.com/webform. from the agricultural community in the customers. (b) Register in SAM at no cost at State or region, significant coordination Note that the work you propose to https://sam.gov/content/home before with end users, strategic alliances with accomplish must be allowable based on submitting your application and provide entities having technical research Sec. C.3 of this Notice. Funding your SAM CAGE Code and expiration capabilities and a focused delivery plan restrictions are described in Sec. D.6. date. for reaching out to the producer (r) Budget Justification. You must (c) Continue to maintain an active community. provide additional information SAM registration with current (m) Title Page. Your application must regarding the budget you submit on the information at all times during which contain a Title Page. It is recommended SF–424A, including your matching you have an active Federal award or an that your Title Page include a short title funds. This additional information must application or plan under consideration for your proposed project as well as describe each category of expense and by a Federal awarding agency. contact information or other application what specific costs are included in each If you have not fully complied with identifying information. category as well as how your Matching all applicable Unique Entity Identifier (n) Table of Contents. Your Funds will be used. For example, the and SAM requirements, the Agency may application must contain a detailed Salaries justification must include the determine that the applicant is not Table of Contents (TOC). The TOC must names of each staff member (not just key qualified to receive a Federal award and include page numbers for each part of personnel) who will be paid and how the Agency may use that determination the application, including each much they will be paid. The Fringe as a basis for making an award to evaluation criterion. Page numbers Benefits category must include a another applicant. Please refer to should begin immediately following the description of how fringe benefits are Section F.2 for additional submission TOC. calculated and what is included. The requirements that apply to grantees (o) Executive Summary. A summary Contracts category must identify the selected for this program. of the proposal, not to exceed one page, contractors by name (if known) as well must briefly describe the Project, tasks as the amounts expected for each 4. Submission Dates and Times to be completed, and other relevant contract and the purpose of each Application Deadline Date: information that provides a general contract. The Other category must September 27, 2021. overview of the Project. include the expected expenses (e.g., Explanation of Deadlines: (p) Goals of the Project. You must supplies) that will be included. The Applications must be RECEIVED by include a listing of each Producer Travel category must identify specific https://www.grants.gov/ by midnight Service to be offered during the project. trips that will be taken, who will be Eastern Time September 27, 2021, to be You must also identify one or more traveling, and the reason for the travel. eligible for funding. Please review the specific goals relating to increasing and Additionally, if there are any unusual Grants.gov website at https:// improving the ability of identified local expenses, you should describe them and www.grants.gov/web/grants/ agricultural producers to develop a why they are appropriate for the award. applicants.html for instructions on the market or process for Value-Added (s) Scoring Criteria. Each of the process of registering your organization agricultural commodities or products. scoring criteria in this Notice must be as soon as possible to ensure you can (q) Work Plan. You must include a addressed in narrative form, with a meet the electronic application description of your proposed work for maximum of three pages for each deadline. Grants.gov will not accept the project, including how your project individual scoring criterion, unless applications submitted after the focuses on increasing and improving the otherwise specified. Failure to address deadline. ability of local agricultural producers to each scoring criteria will result in the 5. Intergovernmental Review develop markets and processes for application being determined ineligible. Value-Added agricultural commodities Executive Order (E.O.) 12372, or products. This description must 3. Unique Entity Identifier and SAM ‘‘Intergovernmental Review of Federal include the actions that will be taken in System for Awards Management. All Programs,’’ applies to this program. This order for the Producer Services to be program applicants must be registered E.O. requires that Federal agencies available from the Center. Each action in the System for Awards Management provide opportunities for consultation should include a target date for (SAM) prior to submitting an on proposed assistance with State and completion. General start-up tasks application, unless determined exempt local governments. Many States have should be listed, followed by specific under 2 CFR 25.110. Grant recipients established a Single Point of Contact
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(SPOC) to facilitate this consultation. In addition, your application will not Section 504 of the Rehabilitation Act of For a list of States that maintain a SPOC, be considered for funding if it does any 1973. please see the White House website: of the following: E. Application Review Information https://www.whitehouse.gov/wp- • Requests less than the minimum or content/uploads/2020/04/SPOC-4-13- more than the maximum grant amount; We will review applications to 20.pdf. • Focuses assistance on only one determine if they are eligible for If your State has a SPOC, you may agriculture producer or business; assistance based on requirements in this submit a copy of the application directly • Proposes ineligible costs that equal Notice, and other applicable Federal for review. Any comments obtained more than 10 percent of total grant laws and regulations. If we determine through the SPOC must be provided to funds requested; that your application is eligible for • us for consideration as part of your Earns revenue from processing or assistance, your application will be application. If your State has not selling a product as part of the project. scored by a panel of USDA employees established a SPOC, or if you do not Centers may charge fees for services based on the Scoring Criteria specified want to submit a copy of the provided, but they cannot earn revenue in this Notice. The highest scoring application, we will submit your on actually processing a product or from application will be funded up to the application to the SPOC or other sales associated with a product they maximum amount available. Additional appropriate agency or agencies. helped develop; or applications that cannot be fully funded • Provides services to entities other may be offered partial funding at the 6. Funding Restrictions than Agricultural Producers on behalf of Agency’s discretion. No funds made available under this and at the request of Agricultural 1. Scoring Criteria solicitation shall be used to: Producers. (a) Plan, repair, rehabilitate, acquire, We will consider your application for All eligible and complete applications or construct a building or facility, funding if it includes ineligible costs of will be evaluated based on the following including a processing facility; 10 percent or less of total grant funds criteria. Evaluators will base scores only (b) Purchase, rent, or install fixed requested, if it is determined eligible on the information provided in the equipment, including processing otherwise. However, if your application application. This is a competitive equipment; is successful, those ineligible costs must program, so you will receive scores (c) Purchase vehicles, including boats; be removed. If time permits, the Agency based on the quality of the information (d) Pay for the preparation of the grant may allow those ineligible costs to be provided. Simply addressing the criteria application; replaced with allowable costs. will not guarantee higher scores. The (e) Pay expenses not directly related Otherwise, the amount of the grant total points possible for the criteria are to the funded Project; award will be reduced accordingly. If 80. (f) Fund political or lobbying we cannot determine the percentage of (a) Ability to Deliver (maximum score activities; ineligible costs, your application will of 15 points). The application will be (g) Fund any activities considered not be considered for funding. evaluated as to whether it evidences unallowable by the applicable grant cost unique abilities to deliver Producer 7. Other Submission Requirements principles, including 2 CFR part 200, Services so as to create sustainable subpart E and the Federal Acquisition (a) National Environmental Policy Value-Added ventures. Abilities that are Regulation; Act. This Notice has been reviewed in transferable to a wide range of (h) Fund architectural work for a accordance with 7 CFR part 1970, agricultural Value-Added commodities specific physical facility; ‘‘Environmental Policies and are preferred over highly specialized (i) Fund any direct expenses for the Procedures.’’ We have determined that skills. Strong skills must be production of any commodity or an Environmental Impact Statement is accompanied by a credible and product to which value will be added, not required in connection with the thoughtful plan. including seed, rootstock, labor for issuance of this Notice because the Points will be awarded as follows: harvesting the crop, and delivery of the issuance of regulations and instructions, (i) 0 points will be awarded if you do commodity to a processing facility; as well as amendments to them, not substantively address the criterion. (j) Fund manufacturing or processing describing administrative and financial (ii) 1–4 points will be awarded for expenses; procedures for processing, approving, unique abilities, that is, abilities that are (k) Purchase land; and implementing the Agency’s not available through other (l) Duplicate current activities or financial programs is categorically organizations in the Center’s service activities paid for by another Federal excluded in the Agency’s National area. grant program; Environmental Policy Act (NEPA) (iii) 1–4 points will be awarded for (m) Pay costs of the Project incurred regulation found at 7 CFR 1970.53(f). the expected sustainability of the Value- prior to the date of award approval; We have determined that this Notice Added ventures supported by the (n) Pay for assistance to any private does not constitute a major Federal project. For example, applications that business enterprise that does not have at action significantly affecting the quality propose to work with ventures where least 51 percent ownership by those of the human environment. the expected sustainability has been who are either citizens of the United The Agency will review each grant assessed will receive more points than States or reside in the United States application to determine its compliance applications that do not address after being legally admitted for with 7 CFR part 1970. The applicant expected sustainability. By permanent residence; may be asked to provide additional sustainability, we mean that the venture (o) Pay any judgment or debt owed to information or documentation to assist assisted will generate wealth (e.g., if the the United States; the Agency with this determination. project adds retained earnings to the (p) Pay for Research and (b) Civil Rights Compliance balance sheet, not just an increase in Development; or Requirements. All grants made under cash flow). (q) Pay for any goods or services from this Notice are subject to Title VI of the (iv) 1–4 points will be awarded for the a person who has a Conflict of Interest Civil Rights Act of 1964 as required by transferability of the abilities identified. with the recipient. USDA (7 CFR part 15, subpart A) and Abilities that are transferable to a wide
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range of commodities will receive more measurable outcomes as well as for out by Center employees. We will points. work plans that show a cohesive plan calculate the percentage by adding the (v) 1–3 points will be awarded for for the achievement of the goal(s) of the hours of the key personnel and dividing plans to accomplish work that are project. the number of hours from Center thoughtful and seem reasonable. For (iii) 1–3 points will be awarded for employees by the total hours. example, do the services the Center will work plans that show a reasonable and a. 1 point for 10–20% of the work provide match the stated goals (from differentiated timetable for the proposed carried out by Center employees; Section D.2.q). Are the results tasks. For example, a work plan that b. 2 points for 21–40% of the work measurable and attainable within the shows a schedule for how a Center will carried out by Center employees; proposed project period? begin operation, then market its c. 3 points for 41–60% of the work (b) Successful Track Record services, and then provide its services carried out by Center employees; (maximum score of 15 points). The would be awarded more points that a d. 4 points for 61–80% of the work applicant organization’s track record in work plan that simply states all carried out by Center employees; and achieving Value-Added successes will Producer Services will be offered for 12 e. 5 points for 81–100% of the work be evaluated. months. We will also consider how you carried out by Center employees. Points will be awarded as follows: will identify customers. Applications (iii) 1–10 points based on the (i) 0 points will be awarded if you do with a specific description of customer qualifications of the key personnel. not substantively address the criterion. identification will receive more points. More points will be awarded in cases (ii) 1–3 points will be awarded if the (iv) 1–3 points will be awarded for the where the key personnel are assigned to applicant has more than three years of budget justification. More points will be specific tasks that match their experience in accomplishing Value- awarded for justifications that experience and skills. Added successes. More points will be completely describe all categories of (e) Local support (maximum of 5 given for more years of experience, cost, including indirect costs. We points). You must show that the Center based on the distribution of what all consider that a complete description has local support from and coordination eligible applicants submit. No credit includes identification of key personnel with other developmental organizations will be given for activities that did not (including any contractors) and the in the proposed service area and with directly result in a Value-Added salaries and fringe benefits associated tribal, state, and local institutions. success. Note that we consider a success with their time on the project as well as Support documentation should include to include working with an organization identification of all travel events recognition of rural values that balance and providing coaching to indicate that (including who will be traveling and employment opportunities with the proposed venture is not feasible. what the purpose of the trip is), environmental stewardship and other (iii) 1–4 points will be awarded based individual contract amounts and rural amenities. on the number of Value-Added purposes, and items that are Points will be awarded as follows: successes. More points will be given for categorized, such as computers, (i) 0 points are awarded if you do not higher numbers, based on the printers, scanners, copiers, and other adequately address this criterion or if distribution of what eligible applicants office items. you do not provide at least three letters submit. (v) 1–3 points will be awarded for of support. (iv) 1–4 points will be awarded based higher quality matching funds. We (ii) 1 point will be awarded for a on the significance of Value-Added consider cash match to be of higher support letter from a developmental successes. More points will be given for quality than in-kind. Thus, we will organization in the proposed service more significant successes, based on the award more points for applications that area that shows coordination with your distribution of what eligible applicants have a larger percentage of matching project. submit. funds coming from cash, based on the (iii) 1 point will be awarded for a (v) 1–4 points will be awarded based distribution of what is submitted by support letter from a state institution. on the complexity of the role that the applicants. (iv) 1 point will be awarded for a applicant organization played in the (d) Qualifications of Key Personnel support letter from a tribal institution. Value-Added successes. (maximum of 15 points). Describe the (v) 1 point will be awarded for a (c) Work Plan/Budget (maximum of qualifications of the key personnel for support letter from a local institution. 15 points). We will review the work the project. Key personnel may include (vi) 1 point will be awarded for plan for detailed actions and an employees of the Center or consultants/ support that includes recognition of accompanying timetable for contractors, but they do not include rural values that balance employment implementing the proposed work. We administrative or financial staff whose opportunities with environmental will review budgets for completeness purpose is to support the administrative stewardship and other rural amenities. and the strength of non-Federal funding requirements of the award. Your You may submit a maximum of 3 commitments. Note that there is no description should include the number letters of support for this criterion (or additional information required for this of years of experience that a person has you may reference other letters criterion. We will use the Work Plan doing the type of work that will be submitted with the application). When and Budget Justification for our assigned during the project as well as awarding points for this criterion, we evaluation. metrics indicating the number of times will only consider support letters from Points will be awarded as follows: the person has provided the assistance developmental organizations in the (i) 0 points will be awarded if you do and the outcomes of that assistance. You proposed service area, and state and not substantively address this criterion. must also include the total hours that local institutions. Additionally, (ii) 1–6 points will be awarded for will be contributed to the project by identical form letters signed by multiple work plans that describe each task, each person. Points will be awarded as organizations will not be included in including objectives and potential follows: the count of support letters received. outcomes, and how that task connects to (i) 0 points will be awarded if you do Support letters must be included as an the goal of the project. More points will not adequately address this criterion. attachment to the application. be awarded for work plans that (ii) 1–5 points based on the (f) Future support (maximum of 15 completely describe tasks and show percentage of work that will be carried points). Describe the vision for funding
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Center operations for future years, F. Federal Award Administration equal access to the Program benefits and including diversification of funding Information activities are provided for persons with sources and building in-house technical disabilities and language barriers. 1. Federal Award Notices assistance capacity. • SF LLL, ‘‘Disclosure of Lobbying If you are selected for funding, you Points will be awarded as follows: Activities,’’ if applicable. (i) 0 points will be awarded if you do will receive a signed Letter of not substantively address the criterion. Conditions containing instructions on • Certification of Lobbying. Your (ii) 1–5 points will be awarded for requirements necessary to proceed with authorized representative must sign a applications that describe a specific execution and performance of the certification which contains the entire plan for obtaining future funding for the award. If you are able to meet the statement from 2 CFR part 418, Center. More points will be awarded for conditions of the award within the Appendix A. plans that show concrete actions for at specified time frame (typically up to 90 3. Reporting least 3 years into the future. calendar days), we will proceed with (iii) 1–5 points will be awarded for approving an award. If you are not able After award approval, you will be applications that show a diversification to meet the conditions of the award, we required to provide the following: of funding sources. Possible funding may terminate consideration of your a. A SF–425, ‘‘Federal Financial sources include Federal awards, tribal, application at our discretion and choose Report,’’ and a project performance state and local awards, private to award the funds to the next highest- report will be required on a quarterly donations, and pay-for-service plans. ranked applicant. More points will be awarded for plans If you are not selected for funding, basis (due 30 calendar days after end of that include multiple, committed you will be notified in writing and each quarter) for the first year of the funding sources. You may summarize informed of any review and appeal project to ensure that all recipients are the funding sources/support in a chart rights. Funding of successfully appealed able to complete start-up activities and or narrative and you must include the applications will be limited to available begin providing technical assistance. following information for each source: FY 2021 funding. Recipients may submit financial and Name of the organization, the amount of performance reports on a semi-annual funds committed, the expected time 2. Administrative and National Policy basis for the second year of the project, period for commitment, and the purpose Requirements provided they are on schedule for for which the funds can be used. Additional requirements that apply to project completion. For the purposes of (iv) 1–5 points will be awarded for grantees selected for this program can be this program, quarters end on March 31, applications that show how in-house found in 2 CFR parts 200, 400, 415, 417, June 30, September 30, and December capacity for providing technical 418, and 421. All recipients of Federal 31. The project performance reports assistance will be improved. More financial assistance are required to shall include a comparison of actual points will be awarded for Centers that report information about first-tier accomplishments to the objectives have a specific plan for training and subawards and executive compensation established for that period. hiring in-house technical assistance (See 2 CFR part 170). You will be b. Reasons why established objectives experts. required to have the necessary processes were not met, if applicable. 2. Review and Selection Process and systems in place to comply with the c. Reasons for any problems, delays, Federal Funding Accountability and or adverse conditions, if any, which We will review applications to Transparency Act reporting determine if they are eligible for have affected or will affect attainment of requirements (See 2 CFR 170.200(b), overall project objectives, prevent assistance based on requirements in this unless you are exempt under 2 CFR Notice, and other applicable Federal meeting time schedules or objectives, or 170.110(b)). These regulations may be preclude the attainment of particular laws and regulations. If we determine obtained at: The following link: https:// that your application meets the objectives during established time ecfr.io/. periods. This disclosure shall be requirements, it will be scored by a Applicants selected for this program accompanied by a statement of the panel of USDA employees in will be required to execute the following action taken or planned to resolve the accordance with the Scoring Criteria additional documentation: situation. and point allocation specified in this • Agency-approved Grant Agreement. Notice. The review panel will convene • Form RD 1940–1, ‘‘Request for d. Objectives and timetable to reach a consensus on the scores for Obligation of Funds.’’ established for the next reporting each of the eligible applications. • Form RD 1942–46, ‘‘Letter of Intent period. Applications will be ranked solely to Meet Conditions.’’ • e. Provide a final project and financial based on the points awarded, and they Form RD 400–4, ‘‘Assurance status report within 90 calendar days will be funded in rank order until Agreement.’’ By signing Form 400–4, after the expiration or termination of the available funds are expended or a Assurance Agreement, recipients affirm award. minimum score of 40 points is reached. that they will operate the program free If an application cannot be fully funded, from discrimination. The recipient will f. Provide outcome project we will offer partial funding to the maintain the race and ethnic data on the performance reports and final extent funds are available. If the board members and beneficiaries of the deliverables. applicant offered partial funding does program. The Recipient will provide G. Agency Contacts not accept, we will offer the funding to alternative forms of communication to the next highest-ranked applicant until persons with limited English For general questions about this we find an applicant that accepts the proficiency. The Agency will conduct announcement and for program funding or no additional eligible Civil Rights Compliance Reviews on Technical Assistance, please contact applicants exist. recipients to identify the collection of National Office staff: Gail Thuner, If your application is ranked and not racial and ethnic data on Program Management and Program Analyst, funded, it will not be carried forward beneficiaries. In addition, the [email protected], or call 202– into the next competition. Compliance review will ensure that 720–1400.
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H. Other Information COMMISSION ON CIVIL RIGHTS comment on the proposed revision of 2021 Business Enterprise Research and Non-Discrimination Statement Notice of Public Meeting of the New Development Survey, prior to the In accordance with Federal civil York Advisory Committee; Correction submission of the information collection request (ICR) to OMB for approval. rights law and U.S. Department of AGENCY: U.S. Commission on Civil Agriculture (USDA) civil rights Rights. DATES: To ensure consideration, regulations and policies, the USDA, its ACTION: Notice; correction to meeting comments regarding this proposed Agencies, offices, and employees, and purpose, time, and access information. information collection must be received institutions participating in or on or before August 27, 2021. administering USDA programs are SUMMARY: The Commission on Civil ADDRESSES: Interested persons are prohibited from discriminating based on Rights published a notice in the Federal invited to submit written comments by race, color, national origin, religion, sex, Register of Thursday, June 4, 2021, email to [email protected]. gender identity (including gender concerning a meeting of the New York Please reference 2021 Business expression), sexual orientation, Advisory Committee. The document Enterprise Research and Development contained an incorrect purpose, meeting disability, age, marital status, family/ Survey in the subject line of your time, and access information. parental status, income derived from a comments. You may also submit public assistance program, political FOR FURTHER INFORMATION CONTACT: comments, identified by Docket Number beliefs, or reprisal or retaliation for prior Mallory Trachtenberg at USBC–2021–0015, to the Federal e- [email protected] or (202) 809– civil rights activity, in any program or Rulemaking Portal: http:// 9618. activity conducted or funded by USDA www.regulations.gov. All comments Correction: In the Federal Register of received are part of the public record. (not all bases apply to all programs). Thursday, June 4, 2021, in FR Doc. Remedies and complaint filing No comments will be posted to http:// 2021–11713, on pages 29997–29998, www.regulations.gov for public viewing deadlines vary by program or incident. correct the purpose, time, web-link and until after the comment period has Persons with disabilities who require dial-in information to read: The purpose closed. Comments will generally be alternative means of communication for of the meeting is to hear testimony and posted without change. All Personally program information (e.g., Braille, large debrief the Committee’s briefings on Identifiable Information (for example, print, audiotape, American Sign potential racial discrimination in name and address) voluntarily Language, etc.) should contact the eviction policies and enforcement in submitted by the commenter may be responsible Agency or USDA’s TARGET New York. When: Friday, July 16, 2021, publicly accessible. Do not submit Center at (202) 720–2600 (voice and from 1:00 p.m.–3:00 p.m. EST at web Confidential Business Information or TTY) or contact USDA through the conference link: https://bit.ly/3j4f7J8 otherwise sensitive or protected Federal Relay Service at (800) 877–8339. password is USCCR; to join by phone information. You may submit Additionally, program information may only, dial: 1–800–360–9505; Access attachments to electronic comments in be made available in languages other code: 199 338 2002. Microsoft Word, Excel, or Adobe PDF than English. Dated: June 22, 2021. file formats. To file a program discrimination David Mussatt, FOR FURTHER INFORMATION CONTACT: complaint, complete the USDA Program Supervisory Chief, Regional Programs Unit. Requests for additional information or Discrimination Complaint Form, AD– [FR Doc. 2021–13650 Filed 6–25–21; 8:45 am] specific questions related to collection 3027, found online at https:// BILLING CODE P activities should be directed to Michael www.usda.gov/oascr/how-to-file-a- Flaherty, U.S. Census Bureau, Chief, Research, Development & Innovation program-discrimination-complaint and Surveys Branch, 301–763–7699, at any USDA office or write a letter DEPARTMENT OF COMMERCE [email protected]. addressed to USDA and provide in the Census Bureau letter all of the information requested in SUPPLEMENTARY INFORMATION: the form. To request a copy of the Agency Information Collection I. Abstract complaint form, call (866) 632–9992. Activities; Submission to the Office of The U.S. Census Bureau, with support Submit your completed form or letter to Management and Budget (OMB) for from the National Center for Science USDA by: Review and Approval; Comment and Engineering Statistics (NCSES) (1) Mail: U.S. Department of Request; 2021 Business Enterprise within the National Science Agriculture, Office of the Assistant Research and Development Survey Foundation, plans to conduct the Secretary for Civil Rights, 1400 AGENCY: Census Bureau, Commerce. Business Enterprise Research and Independence Avenue SW, ACTION: Notice of information collection, Development Survey (BERD) for the Washington, DC 20250–9410; request for comment. 2021–2023 survey years. BERD covers all domestic, non-farm, for-profit or SUMMARY: The Department of businesses with at least 10 paid email: [email protected]. Commerce, in accordance with the employees. BERD provides the only Paperwork Reduction Act (PRA) of comprehensive national data on Mark Brodziski, 1995, invites the general public and Research and Development (R&D) costs Acting Administrator, Rural Business- other Federal agencies to comment on and detailed expenses by type and Cooperative Service. proposed, and continuing information industry. [FR Doc. 2021–13675 Filed 6–25–21; 8:45 am] collections, which helps us assess the The Census Bureau has conducted an BILLING CODE 3410–XY–P impact of our information collection R&D survey since 1957, collecting requirements and minimize the public’s primarily financial information on the reporting burden. The purpose of this systematic work companies undertake notice is to allow for 60 days of public to discover new knowledge or use
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existing knowledge to develop new or Science Board report Science and Science Foundation Act of 1950, as improved goods and services. Engineering Indicators. Also, the amended). Beginning in 2020, in an effort to National Science Foundation (NSF) IV. Request for Comments reduce burden, BERD began rotating produces a series of publications select content off the survey in containing R&D data including the We are soliciting public comments to alternating years. In 2020, questions National Patterns of R&D Resources permit the Department/Bureau to: (a) related to detail of R&D performed by series, the S&E State Profile series, and Evaluate whether the proposed others, activities with academia, the annual Business Enterprise Research information collection is necessary for industries of business and specific and Development Survey series. Special the proper functions of the Department, federal agency funding R&D, and areas reports and other publications are also including whether the information will of application for R&D were removed prepared. have practical utility; (b) Evaluate the from BERD. In 2021, all of those accuracy of our estimate of the time and questions will be reintroduced to the II. Method of Collection cost burden for this proposed collection, survey and the Intellectual Property and BERD will follow a primarily including the validity of the Technology Transfer Section will be electronic collection strategy. The form methodology and assumptions used; (c) removed from the survey. will be available on the website to assist Evaluate ways to enhance the quality, Beginning in 2021, the BERD will respondents with gathering the required utility, and clarity of the information to revise its existing Capital Expenditures data prior to reporting online. Paper be collected; and (d) Minimize the section to collect additional information forms will also be sent to respondents reporting burden on those who are to on assets. Cognitive testing on these upon request, however no paper forms respond, including the use of automated questions conducted by the Census will be included in initial mail packets. collection techniques or other forms of Bureau in 2018 revealed that these The online survey automatically skips information technology. questions pose no substantive impact on questions that do not apply [based on Comments that you submit in burden (the data requested are all previous responses] and checks for response to this notice are a matter of readily available in most companies’ common errors. Links to detailed public record. We will include, or books) and would provide context on question-by-question instructions will summarize, each comment in our capital stock of R&D active companies be embedded in the electronic request to OMB to approve this ICR. Before including your address, phone not currently available in any other data instrument. Excel spreadsheets are number, email address, or other source. available to facilitate the electronic personal identifying information in your The 2021–2023 BERD will continue to collection of information from various comment, you should be aware that collect the following types of areas of the companies. Respondents your entire comment—including your information: have the capability to download the personal identifying information—may • R&D expense based on accepted spreadsheets from the Census Bureau’s be made publicly available at any time. accounting standards. website. A consolidator spreadsheet is • While you may ask us in your comment Worldwide R&D of domestic also available to assist companies that to withhold your personal identifying companies. need to gather information from • Business segment detail. information from public review, we • business units and then compile the cannot guarantee that we will be able to R&D-related capital expenditures. information into one company report. • Detailed data about the R&D do so. The due date will be six weeks after workforce. Sheleen Dumas, • R&D strategy and data on the mail out. Department PRA Clearance Officer, Office of potential impact of R&D on the market. III. Data • the Chief Information Officer, Commerce R&D directed to application areas of Department. particular national interest. OMB Control Number: 0607–0912. • Data measuring intellectual Form Number(s): BRD–1. [FR Doc. 2021–13670 Filed 6–25–21; 8:45 am] property protection activities and Type of Review: Regular submission, BILLING CODE 3510–07–P technology transfer. Request for a Revision of a Currently Domestic and foreign researchers in Approved Collection. DEPARTMENT OF COMMERCE academia, business, and government Affected Public: For-profit businesses analyze and cite data from the BERD. with at least 10 paid employees. Foreign-Trade Zones Board Among the federal government users are Estimated Number of Respondents: the Bureau of Economic Analysis (BEA) 47,500. [B–48–2021] and the White House’s Office of Science Estimated Time per Response: 2 Foreign-Trade Zone 145—Shreveport, and Technology Policy (OSTP). BEA Hours and 37 Minutes. Louisiana, Application for includes R&D in the system of national Estimated Total Annual Burden Hours: 124,450. Reorganization Under Alternative Site accounts that measures the economic Framework well-being of the country. BERD data are Estimated Total Annual Cost to key inputs into these accounts, which Public: $0. (This is not the cost of An application has been submitted to feed into the calculation of the U.S. respondents’ time, but the indirect costs the Foreign-Trade Zones (FTZ) Board by Gross Domestic Product (GDP). The respondents may incur for such things the Caddo-Bossier Parishes Port White House, in 2006, issued the as purchases of specialized software or Commission, grantee of FTZ 145, American Competitiveness Initiative to hardware needed to report, or requesting authority to reorganize the ‘‘increase investments in research and expenditures for accounting or records zone under the alternative site development, strengthen education, and maintenance services required framework (ASF) adopted by the FTZ encourage entrepreneurship.’’ In specifically by the collection.) Board (15 CFR 400.2(c)). The ASF is an support of this initiative and in Respondent’s Obligation: Mandatory. option for grantees for the establishment response to legislative mandates, data Legal Authority: Title 13 U.S.C., or reorganization of zones and can on R&D are delivered to OSTP, Sections 8(b), 131 and 182; Title 42, permit significantly greater flexibility in primarily in the biennial National U.S.C. Sections 1861–76 (National the designation of new subzones or
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‘‘usage-driven’’ FTZ sites for operators/ For further information, contact itself.3 Based on this request, we users located within a grantee’s ‘‘service Camille Evans at Camille.Evans@ rescinded this review with respect to area’’ in the context of the FTZ Board’s trade.gov. Pennar Industries Limited, in 4 standard 2,000-acre activation limit for Dated: June 23, 2021. accordance with 19 CFR 351.213(d)(1). a zone. The application was submitted Andrew McGilvray, The administrative review remains active with respect to the two remaining pursuant to the Foreign-Trade Zones Executive Secretary. Act, as amended (19 U.S.C. 81a–81u), companies for which a review was and the regulations of the Board (15 CFR [FR Doc. 2021–13706 Filed 6–25–21; 8:45 am] initiated, i.e., Goodluck India Limited part 400). It was formally docketed on BILLING CODE 3510–DS–P (Goodluck) 5 and Tube Products of June 22, 2021. India, Ltd., a unit of Tube Investments of India Limited (collectively, TII). For FTZ 145 was approved by the FTZ DEPARTMENT OF COMMERCE Board on January 7, 1988 (Board Order details regarding the events that 370, 53 FR 1503, January 20, 1988) and International Trade Administration followed the initiation of this review, expanded on March 25, 1996 (Board see the Preliminary Decision Order 809, 61 FR 15217, April 5, 1996). [A–533–873] Memorandum.6 Pursuant to section 751(a)(3)(A) of the The current zone includes the following Certain Cold-Drawn Mechanical Tubing sites: Site 1 (262 acres)—Shreveport Tariff Act of 1930, as amended (the Act), of Carbon and Alloy Steel From India: Commerce determined that it was not Industrial Park, 2929 Baird Road, Preliminary Results of Antidumping Shreveport; and, Site 2 (2,000 acres)— practicable to complete the preliminary Duty Administrative Review; 2019– results of this review within 245 days Port of Shreveport-Bossier Terminal 2020 Complex, 6000 Doug Attaway and extended the deadline for the Boulevard, Shreveport. AGENCY: Enforcement and Compliance, preliminary results of this review by 120 7 The grantee’s proposed service area International Trade Administration, days, until June 30, 2021. under the ASF would be Caddo and Department of Commerce. Scope of the Order SUMMARY: The Department of Commerce Bossier Parishes, Louisiana, as The product covered by this Order is (Commerce) preliminarily determines described in the application. If cold-drawn mechanical tubing from that sales of certain cold-drawn approved, the grantee would be able to India. For a full description of the mechanical tubing of carbon and alloy serve sites throughout the service area scope, see the Preliminary Decision steel (cold-drawn mechanical tubing) based on companies’ needs for FTZ Memorandum. designation. The application indicates from India were made at less than that the proposed service area is within normal value during the period of Methodology and adjacent to the Shreveport Customs review (POR) June 1, 2019, through May Commerce is conducting this review and Border Protection port of entry. 31, 2020. We invite interested parties to in accordance with section 751(a) of the The applicant is requesting authority comment on these preliminary results. Act. For a full description of the to reorganize its existing zone to include DATES: Applicable June 28, 2021. methodology underlying these both of the existing sites as ‘‘magnet’’ FOR FURTHER INFORMATION CONTACT: preliminary results, see the Preliminary sites. The ASF allows for the possible Alexis Cherry or Samantha Kinney, AD/ Decision Memorandum. A list of topics exemption of one magnet site from the CVD Operations, Office VIII, included in the Preliminary Decision ‘‘sunset’’ time limits that generally Enforcement and Compliance, apply to sites under the ASF, and the International Trade Administration, 3 See Pennar Industries Limited, ‘‘Withdrawal of applicant proposes that Site 2 be so U.S. Department of Commerce, 1401 Request for the Antidumping Duty of Pennar exempted. No subzones/usage-driven Industries Limited,’’ October 7, 2020. Constitution Avenue NW, Washington, 4 See Certain Cold-Drawn Mechanical Tubing of sites are being requested at this time. DC 20230; telephone: (202) 482–0607 or Carbon and Alloy Steel from India: Partial The application would have no impact (202) 482–2285, respectively. Rescission of Antidumping Duty Administrative on FTZ 145’s previously authorized SUPPLEMENTARY INFORMATION: Review; 2019–2020, 85 FR 68039 (October 27, subzones. 2020). Background 5 Commerce is only reviewing entries that were In accordance with the FTZ Board’s produced, but not exported, by Goodluck, and/or regulations, Camille Evans of the FTZ On June 11, 2018, Commerce entries that were exported, but not produced, by Staff is designated examiner to evaluate published the antidumping duty order Goodluck. Pursuant to a Court of International and analyze the facts and information on cold-drawn mechanical tubing from Trade decision, effective May 10, 2020, Commerce 1 excluded from the antidumping duty order certain presented in the application and case India. On August 6, 2020, in cold-drawn mechanical tubing of carbon and alloy record and to report findings and accordance with 19 CFR 351.221(c)(i), steel that was produced and exported by Goodluck. recommendations to the FTZ Board. Commerce initiated an administrative See Certain Cold-Drawn Mechanical Tubing of review of the Order, covering three Carbon and Alloy Steel from India: Notice of Court Public comment is invited from Decision Not in Harmony with Final Determination 2 interested parties. Submissions shall be producers/exporters. On October 7, of Sales at Less Than Fair Value; Notice of addressed to the FTZ Board’s Executive 2020, Pennar Industries Limited (a Amended Final Determination Pursuant to Court Secretary and sent to: [email protected]. The mandatory respondent) withdrew its Decision; and Notice of Revocation of Antidumping Duty Order, in Part, 85 FR 31742 (May 27, 2020) closing period for their receipt is August request for administrative review of (Timken Notice). 27, 2021. Rebuttal comments in 6 See Memorandum, ‘‘Certain Cold-Drawn response to material submitted during 1 See Certain Cold-Drawn Mechanical Tubing of Mechanical Tubing of Carbon and Alloy Steel from the foregoing period may be submitted Carbon and Alloy Steel from the People’s Republic India: Decision Memorandum for Preliminary of China, the Federal Republic of Germany, India, Results of Antidumping Duty Administrative during the subsequent 15-day period to Italy, the Republic of Korea, and Switzerland: Review and Preliminary Determination of No September 13, 2021. Antidumping Duty Orders; and Amended Final Shipments; 2018–2019,’’ dated concurrently with, A copy of the application will be Determinations of Sales at Less Than Fair Value for and hereby adopted by, this notice (Preliminary available for public inspection in the the People’s Republic of China and Switzerland, 83 Decision Memorandum). FR 26962 (June 11, 2018) (Order). 7 ‘‘Reading Room’’ section of the FTZ See Memorandum, ‘‘Extension of Deadline for 2 See Initiation of Antidumping and Preliminary Results of Antidumping Duty Board’s website, which is accessible via Countervailing Duty Administrative Reviews, 85 FR Administrative Review; 2019–2020,’’ dated www.trade.gov/ftz. 47734 (August 6, 2020). February 9, 2021.
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Memorandum is included as an submit with each argument: (1) A aggregating the antidumping duties due appendix to this notice. The Preliminary statement of the issue; (2) a brief for all U.S. sales to that importer (or Decision Memorandum is a public summary of the argument; and (3) a customer) and dividing this amount by document and is made available to the table of authorities.11 Executive the total quantity sold to that importer public via Enforcement and summaries should be limited to five (or customer).15 To determine whether Compliance’s Antidumping and pages total, including footnotes. Case the duty assessment rates are de Countervailing Duty Centralized and rebuttal briefs should be filed using minimis, in accordance with the Electronic Service System (ACCESS). ACCESS 12 and must be served on requirement set forth in 19 CFR ACCESS is available to registered users interested parties.13 Note that 351.106(c)(2), we calculate importer- (or at https://access.trade.gov. In addition, a Commerce has temporarily modified customer-) specific ad valorem ratios complete version of the Preliminary certain of its requirements for serving based on the estimated entered value. Decision Memorandum is available at documents containing business Where either a respondent’s weighted- http://enforcement.trade.gov/frn/. proprietary information, until further average dumping margin is zero or de notice.14 Preliminary Results of the Review minimis, or an importer- (or customer-) Pursuant to 19 CFR 351.310(c), specific ad valorem rate is zero or de We preliminarily determine that the interested parties who wish to request a minimis, we will instruct CBP to following weighted-average dumping hearing must submit a written request to liquidate appropriate entries without margin exists for the period June 1, the Assistant Secretary for Enforcement regard to antidumping duties.16 2019, through May 31, 2020: and Compliance, filed electronically via ACCESS. An electronically-filed For each company which we Weighted- document must be received successfully determined had ‘‘no shipments’’ of the average in its entirety by Commerce’s electronic subject merchandise during the POR, Exporter/producer dumping upon completion of the final results, we margin records system, ACCESS, by 5:00 p.m. (percent) Eastern Time within 30 days after the will instruct CBP to liquidate all POR date of publication of this notice. entries associated with that company at Tube Products of India, Ltd., a Requests should contain: (1) The party’s the all-others rate if there is no rate for unit of Tube Investments of name, address, and telephone number; the intermediate company(ies) involved India Limited ...... 13.06 (2) the number of participants; and (3) in the transaction, consistent with a list of issues to be discussed. Issues Commerce’s reseller policy.17 Preliminary Determination of No raised in the hearing will be limited to For entries of subject merchandise Shipments those raised in the respective case and during the POR produced by each We preliminarily determine that rebuttal briefs. If a request for a hearing individually examined respondent for Goodluck had no shipments of the is made, Commerce intends to hold the which it did not know its merchandise subject merchandise to the United hearing at a time and date to be was destined for the United States, we States during the POR.8 Consistent with determined. will instruct CBP to liquidate such its practice, Commerce finds that it is Assessment Rates entries at the all-others rate if there is no not appropriate to preliminarily rescind rate for the intermediate company(ies) the review with respect to Goodluck, Pursuant to section 751(a)(2)(A) of the involved in the transaction. The final but rather to complete the review and Act and 19 CFR 351.212(b)(1), results of this review shall be the basis issue appropriate instructions to U.S. Commerce will determine, and CBP for the assessment of antidumping Customs and Border Protection (CBP) shall assess, antidumping duties on all duties on entries of merchandise based on the final results of this review. appropriate entries of subject covered by the final results of this merchandise in accordance with the Disclosure and Public Comment review and for future deposits of final results of this review. Commerce estimated duties, where applicable.18 We intend to disclose the calculations intends to issue assessment instructions performed to parties within five days to CBP 35 days after the date of As noted in the Timken Notice after public announcement of the publication of the final results of this regarding Goodluck, the suspension of preliminary results.9 Pursuant to 19 CFR administrative review in the Federal liquidation of Goodluck’s entries must 351.309(c), interested parties may Register. continue during the pendency of the submit case briefs no later than 30 days For any individually examined process of appealing the Court of after the date of publication of this respondent whose weighted-average International Trade’s ruling. If the ruling notice. Rebuttal briefs, limited to issues dumping margin is above de minimis is upheld by the Court of Appeals for raised in the case briefs, may be filed (i.e., 0.50 percent), upon completion of the Federal Circuit, Commerce will not later than seven days after the date the final results, Commerce will instruct CBP to terminate the for filing case briefs.10 Parties who calculate importer-specific assessment suspension of liquidation and liquidate submit case briefs or rebuttal briefs in rates on the basis of the ratio of the total entries produced and exported by this proceeding are encouraged to amount of dumping calculated for the Goodluck without regard to importer’s examined sales and the total antidumping duties. 8 See Preliminary Decision Memorandum; see entered value of sales. Where we do not also Memorandum, ‘‘No Shipments have entered values for all U.S. sales to 15 See 19 CFR 351.212(b)(1). Determination—Goodluck India Limited,’’ dated a particular importer/customer, we will 16 See 19 CFR 352.106(c)(2); see also concurrently with this notice. calculate a per-unit assessment rate by Antidumping Proceeding: Calculation of the 9 See 19 CFR 351.224(b). Weighted-Average Dumping Margin and 10 See 19 CFR 351.309(d); see also Temporary Assessment Rate in Certain Antidumping 11 Rule Modifying AD/CVD Service Requirements Due See 19 CFR 351.303 (for general filing Proceedings; Final Modification, 77 FR 8101, 8103 to COVID–19, 85 FR 17006, 17007 (March 26, 2020) requirements). (February 14, 2012). (‘‘To provide adequate time for release of case briefs 12 See generally 19 CFR 351.303. 17 For a full discussion of this practice, see via ACCESS, E&C intends to schedule the due date 13 See 19 CFR 351.303(f). Antidumping and Countervailing Duty Proceedings: for all rebuttal briefs to be 7 days after case briefs 14 See Temporary Rule Modifying AD/CVD Assessment of Antidumping Duties, 68 FR 23954 are filed (while these modifications remain in Service Requirements Due to COVID–19; Extension (May 6, 2003). effect).’’). of Effective Period, 85 FR 41363 (July 10, 2020). 18 See section 751(a)(2)(C) of the Act.
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Cash Deposit Requirements with sections 751(a)(1) and 777(i)(1) of 2020, SOURCE Global, PBC (SOURCE The following cash deposit the Act, and 19 CFR 351.221(b)(4). Global), a U.S. importer of subject requirements will be effective for all Dated: June 22, 2021. merchandise, requested, through shipments of the subject merchandise James Maeder, changed circumstance reviews (CCRs), revocation of the Solar Cells Orders entered, or withdrawn from warehouse, Deputy Assistant Secretary for Antidumping for consumption on or after the and Countervailing Duty Operations. with respect to certain off-grid small publication date of the finals results of portable CSPV panels, pursuant to Appendix this administrative review, as provided section 751(b)(1) of the Tariff Act of List of Topics Discussed in the Preliminary 1930, as amended (the Act), and 19 CFR by section 751(a)(2)(C) of the Act: (1) 2 The cash deposit rate for TII will be Decision Memorandum 351.216(b). On March 15, 2021, we initiated the equal to the weighted-average dumping I. Summary requested CCRs.3 In the Initiation margin established in the final results of II. Background Notice, we invited interested parties to this administrative review; (2) for III. Scope of the Order provide comments and/or factual merchandise exported by producers or IV. Preliminary Determination of No information regarding these CCRs, exporters not covered in this review but Shipments V. Discussion of the Methodology including comments on industry covered in a prior segment of the VI. Currency Conversion support and the proposed partial proceeding, the cash deposit rate will VII. Recommendation revocation language. We received no continue to be the company-specific rate [FR Doc. 2021–13732 Filed 6–25–21; 8:45 am] comments or factual information. published for the most recently- completed segment of this proceeding in BILLING CODE 3510–DS–P Scope of the Solar Cells Orders which they were reviewed; (3) if the The merchandise covered by these exporter is not a firm covered in this DEPARTMENT OF COMMERCE orders is crystalline silicon photovoltaic review or the original investigation but cells, and modules, laminates, and the producer is, the cash deposit rate International Trade Administration panels, consisting of crystalline silicon will be the rate established for the most [A–570–979, C–570–980] photovoltaic cells, whether or not recently completed segment of this partially or fully assembled into other proceeding for the producer of the Crystalline Silicon Photovoltaic Cells, products, including, but not limited to, merchandise; (4) the cash deposit rate Whether or Not Assembled Into modules, laminates, panels and building for all other producers or exporters will integrated materials. 19 Modules, From the People’s Republic continue to be 5.87 percent, the all- of China: Preliminary Results of These orders cover crystalline silicon others rate established in the less-than- Changed Circumstances Reviews, and photovoltaic cells of thickness equal to fair-value investigation. These cash Intent To Revoke the Antidumping and or greater than 20 micrometers, having deposit requirements, when imposed, Countervailing Duty Orders, in Part a p/n junction formed by any means, shall remain in effect until further whether or not the cell has undergone notice. AGENCY: Enforcement and Compliance, other processing, including, but not Final Results of Review International Trade Administration, limited to, cleaning, etching, coating, Department of Commerce. and/or addition of materials (including, Unless otherwise extended, SUMMARY: The Department of Commerce but not limited to, metallization and Commerce intends to issue the final (Commerce) intends to revoke, in part, conductor patterns) to collect and results of this administrative review, the antidumping duty (AD) and forward the electricity that is generated including the results of our analysis of countervailing duty (CVD) orders on by the cell. issues raised by the parties in the crystalline silicon photovoltaic cells, Merchandise under consideration written comments, within 120 days of whether or not assembled into modules may be described at the time of publication of these preliminary results (solar cells), from the People’s Republic importation as parts for final finished in the Federal Register, pursuant to of China (China) with respect certain products that are assembled after section 751(a)(3)(A) of the Act and 19 off-grid small portable CSPV panels. importation, including, but not limited CFR 351.213(h)(1). Interested parties are invited to to, modules, laminates, panels, Notification to Importers comment on these preliminary results. building-integrated modules, building- integrated panels, or other finished This notice also serves as a DATES: Applicable June 28, 2021. FOR FURTHER INFORMATION CONTACT: goods kits. Such parts that otherwise preliminary reminder to importers of meet the definition of merchandise their responsibility under 19 CFR Thomas Hanna, AD/CVD Operations, Office IV, Enforcement and Compliance, 351.402(f)(2) to file a certificate (December 7, 2012); see also Crystalline Silicon regarding the reimbursement of International Trade Administration, Photovoltaic Cells, Whether or Not Assembled Into antidumping duties prior to liquidation U.S. Department of Commerce, 1401 Modules, from the People’s Republic of China: of the relevant entries during this POR. Constitution Avenue NW, Washington, Countervailing Duty Order, 77 FR 73017 (December Failure to comply with this requirement DC 20230; telephone: (202) 482–0835. 7, 2012) (collectively, Solar Cells Orders). 2 See SOURCE Global’s Letter, ‘‘Crystalline could result in Commerce’s SUPPLEMENTARY INFORMATION: Silicon Photovoltaic Cells, Whether or Not presumption that reimbursement of Background Assembled into Modules from the People’s antidumping duties occurred and the Republic of China; Request for Changed subsequent assessment of doubled On December 7, 2012, Commerce Circumstances Review on Certain Off-Grid Portable Small Panels and Consumer Products Containing antidumping duties. published the AD and CVD orders on Such Panels,’’ dated December 4, 2020. 1 solar cells from China. On December 4, 3 Notification to Interested Parties See Crystalline Silicon Photovoltaic Cells, Whether or Not Assembled Into Modules, from the These preliminary results are being 1 See Crystalline Silicon Photovoltaic Cells, People’s Republic of China: Notice of Initiation of issued and published in accordance Whether or Not Assembled Into Modules, from the Changed Circumstances Reviews, and People’s Republic of China: Amended Final Consideration of Revocation of the Antidumping Determination of Sales at Less Than Fair Value, and Countervailing Duty Orders in Part, 86 FR 19 See Order, 83 FR at 16296. and Antidumping Duty Order, 77 FR 73018 16585 (March 30, 2021) (Initiation Notice).
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under consideration are included in the (D) must include visible parallel grid accounting for at least 85 percent of the scope of these orders. collector metallic wire lines every 1–4 total U.S. production of the domestic Excluded from the scope of these millimeters across each solar cell; and like product covered by the order.6 orders are thin film photovoltaic (E) each panel is SOURCE Global submitted letters products produced from amorphous 1. permanently integrated into a from SunPower Manufacturing Oregon, silicon (a-Si), cadmium telluride (CdTe), consumer good; LLC (SPMOR), a U.S. producer of the or copper indium gallium selenide 2. encased in a laminated material domestic like product and a petitioner (CIGS). without stitching, or in the underlying investigations, Also excluded from the scope of these 3. has all of the following indicating that it does not object to the orders are crystalline silicon characteristics: (i) The panel is encased scope modification proposed by photovoltaic cells, not exceeding 10,000 in sewn fabric with visible stitching, (ii) SOURCE Global which would exclude mm2 in surface area, that are includes a mesh zippered storage certain off-grid small portable CSPV permanently integrated into a consumer pocket, and (iii) includes a permanently panels from the Solar Cells Orders.7 In good whose function is other than attached wire that terminates in a those letters, SPMOR did not indicate power generation and that consumes the female USB–A connector. its share of production of the domestic electricity generated by the integrated Modules, laminates, and panels like product.8 Thus, Commerce did not crystalline silicon photovoltaic cell. produced in a third-country from cells determine, at the time that it initiated Where more than one cell is produced in China are covered by the these CCRs, whether producers permanently integrated into a consumer orders; however, modules, laminates, accounting for substantially all of the good, the surface area for purposes of and panels produced in China from U.S. production of the domestic like this exclusion shall be the total cells produced in a third-country are not product lacked interest in the Solar combined surface area of all cells that covered by these orders. Cells Orders with respect to the off-grid are integrated into the consumer good. Merchandise covered by these orders small portable CSPV panels under Additionally, excluded from the is currently classified in the consideration here. Hence, in the scope of the orders are panels with Harmonized Tariff System of the United Initiation Notice, Commerce invited surface area from 3,450 mm2 to 33,782 States (HTSUS) under subheadings interested parties to provide comments mm2 with one black wire and one red 8501.61.0000, 8507.20.80, 8541.40.6020, and/or factual information regarding wire (each of type 22 AWG or 24 AWG 8541.40.6030, and 8501.31.8000. These these CCRs, including comments on not more than 206 mm in length when HTSUS subheadings are provided for industry support and the proposed measured from panel extrusion), and convenience and customs purposes; the partial revocation language. No party not exceeding 2.9 volts, 1.1 amps, and written description of the scope of these submitted comments. 4 In light of SPMOR’s lack of interest in 3.19 watts. For the purposes of this orders is dispositive. maintaining the Solar Cells Orders with exclusion, no panel shall contain an Preliminary Results of Changed respect to the off-grid small portable internal battery or external computer Circumstances Reviews and Intent To CSPV panels described by SOURCE peripheral ports. Revoke the Solar Cells Orders, in Part Global, and in the absence of any Also excluded from the scope of the Pursuant to section 751(d)(1) of the interested party comments, we orders are: Act, and 19 CFR 351.222(g), Commerce preliminarily conclude that producers 1. Off grid CSPV panels in rigid form may revoke an order, in whole or in accounting for substantially all of the with a glass cover, with the following part, based on a review under section production of the domestic like product characteristics: 751(b) of the Act (i.e., a CCR). Section to which the Solar Cells Orders pertain (A) A total power output of 100 watts 782(h)(2) of the Act gives Commerce the lack interest in the relief provided by or less per panel; authority to revoke an order if producers the Solar Cells Orders with respect to (B) a maximum surface area of 8,000 the off-grid small portable CSPV panels 2 accounting for substantially all of the cm per panel; production of the domestic like product that are the subject of SOURCE Global’s (C) do not include a built-in inverter; have expressed a lack of interest in the CCR request. Thus, we preliminarily (D) must include a permanently order. Section 351.222(g) of Commerce’s determine that changed circumstances connected wire that terminates in either regulations provides that Commerce an 8 mm male barrel connector, or a will conduct a CCR under 19 CFR 6 See Honey from Argentina; Antidumping and two-port rectangular connector with two 351.216, and may revoke an order (in Countervailing Duty Changed Circumstances pins in square housings of different Reviews; Preliminary Intent to Revoke Antidumping whole or in part), if it concludes that: (i) and Countervailing Duty Orders, 77 FR 67790, colors; Producers accounting for substantially 67791 (November 14, 2012) (Honey Preliminary (E) must include visible parallel grid all of the production of the domestic CCR Results), unchanged in Honey from Argentina; Final Results of Antidumping and Countervailing collector metallic wire lines every 1–4 like product to which the order pertains millimeters across each solar cell; and Duty Changed Circumstances Reviews; Revocation have expressed a lack of interest in the of Antidumping and Countervailing Duty Orders, 77 (F) must be in individual retail relief provided by the order, in whole or FR 77029 (December 31, 2012). packaging (for purposes of this in part; or (ii) if other changed 7 See SOURCE Global’s Letters, ‘‘Crystalline Silicon Photovoltaic Cells, Whether or Not provision, retail packaging typically circumstances sufficient to warrant includes graphics, the product name, its Assembled into Modules from the People’s revocation exist. Thus, both the Act and Republic of China; Changed Circumstances Review description and/or features, and foam Commerce’s regulations require that on Certain Off-Grid Portable Small Panels and for transport); and ‘‘substantially all’’ domestic producers Consumer Products Containing Such Panels; SOURCE Global, PBC Response to Department of 2. Off grid CSPV panels without a express a lack of interest in the order for glass cover, with the following Commerce Information Request,’’ dated January 29, Commerce to revoke the order, in whole 2021; and ‘‘Crystalline Silicon Photovoltaic Cells, characteristics: or in part.5 Commerce has interpreted Whether or Not Assembled into Modules from the (A) A total power output of 100 watts ‘‘substantially all’’ to mean producers People’s Republic of China; SOURCE Global, PBC or less per panel; Changed Circumstances Review Request; SOURCE Global, PBC Submission of Edited Product (B) a maximum surface area of 8,000 4 See Solar Cells Orders. Exclusion Language,’’ dated March 10, 2021 at cm2 per panel; 5 See section 782(h) of the Act and 19 CFR Exhibit 2. (C) do not include a built-in inverter; 351.222(g). 8 See Initiation Notice.
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warrant revocation of the Solar Cells Final Results of the Changed FOR FURTHER INFORMATION CONTACT: Orders, in part, with respect to such Circumstances Reviews Benjamin A. Luberda, AD/CVD panels. Commerce will issue the final results Operations, Office II, Enforcement and Accordingly, we are notifying the of these CCRs, which will include its Compliance, International Trade public of our intent to revoke the Solar analysis of any written comments, no Administration, U.S. Department of Cells Orders, in part, with respect to the later than 270 days after the date on Commerce, 1401 Constitution Avenue following off-grid small portable CSPV which these reviews were initiated.12 If, NW, Washington, DC 20230; telephone: panels: in the final results of these reviews, (202) 482–2185. Off-grid CSPV panels in rigid form SUPPLEMENTARY INFORMATION: with a glass cover, with each of the Commerce continues to determine that following physical characteristics, changed circumstances warrant the Background revocation of the Solar Cells Orders, in whether or not assembled into a fully Commerce is conducting an part, we will instruct U.S. Customs and completed off-grid hydropanel whose administrative review of the Border Protection (CBP) to liquidate function is conversion of water vapor antidumping duty order on shrimp from without regard to antidumping or into liquid water: Thailand.1 On February 3, 2020, countervailing duties, and to refund any (A) A total power output of no more Commerce published in the Federal estimated antidumping and than 80 watts per panel; Register a notice of opportunity to countervailing duties deposited on, all (B) A surface area of less than 5,000 request an administrative review of the 2 unliquidated entries of the merchandise square centimeters (cm ) per panel; Order.2 The notice of initiation of this covered by the revocation that are not (C) Do not include a built-in inverter; administrative review was published on (D) Do not have a frame around the covered by the final results of an April 8, 2020.3 On July 7, 2020, edges of the panel; administrative review or an automatic Commerce selected two mandatory (E) Include a clear glass back panel; liquidation instruction to CBP. respondents for individual examination: and The current requirement for cash (1) Kongphop Frozen Food Co., Ltd.; (F) Must include a permanently deposits of estimated antidumping and and (2) Thai Union Group Public Co., connected wire that terminates in a two- countervailing duties on all entries of Ltd./Thai Union Seafood Co., Ltd./ port rectangular connector. subject merchandise will continue Pakfood Public Company Limited/Asia We will consider comments from unless they are modified pursuant to the Pacific (Thailand) Co., Ltd./Chaophraya interested parties on these preliminary final results of these CCRs. results before issuing the final results of Cold Storage Co., Ltd./Okeanos Co., these CCRs.9 Notification to Interested Parties Ltd./Okeanos Food Co., Ltd./Takzin These preliminary results of CCRs and Samut Co., Ltd. (collectively, Thai Public Comment 4 this notice are published in accordance Union). On April 24, 2020, Commerce Interested parties are invited to tolled all deadlines in administrative with sections 751(b) and 777(i) of the 5 comment on these preliminary results of Act and 19 CFR 351.216, 19 CFR reviews by 50 days. On July 21, 2020, CCRs in accordance with 19 CFR 351.221(c)(3), and 19 CFR 351.222. 351.309(c)(1)(ii). Written comments may 1 See Notice of Amended Final Determination of Dated: June 22, 2021. Sales at Less Than Fair Value and Antidumping be submitted no later than 14 days after James Maeder, Duty Order: Certain Frozen Warmwater Shrimp the date of publication of these from Thailand, 70 FR 5145 (February 1, 2005) preliminary results in the Federal Deputy Assistant Secretary for Antidumping (Order). Register. Rebuttals to written comments, and Countervailing Duty Operations. 2 See Antidumping or Countervailing Duty Order, [FR Doc. 2021–13731 Filed 6–25–21; 8:45 am] Finding, or Suspended Investigation; Opportunity limited to issues raised in such to Request Administrative Review, 85 FR 5938 comments, may be filed no later than BILLING CODE 3510–DS–P (February 3, 2020). seven days after the due date for 3 See Initiation of Antidumping and comments. All submissions must be Countervailing Duty Administrative Reviews, 85 FR filed electronically using Enforcement DEPARTMENT OF COMMERCE 19730 (April 8, 2020). 4 See Memorandum, ‘‘Selection of Respondents and Compliance’s AD and CVD International Trade Administration for Individual Review,’’ dated July 7, 2020. In the Centralized Electronic Service System 2012–2013 administrative review, as noted in that (ACCESS).10 An electronically filed [A–549–822] memorandum, Commerce previously found that the document must be successfully received following companies comprised a single entity: Certain Frozen Warmwater Shrimp Thai Union Frozen Products Public Co. Ltd.; Thai in its entirety by ACCESS, by 5 p.m. Union Seafood Co., Ltd. (TUS); Pakfood Public Eastern Time on the deadlines set forth From Thailand: Preliminary Results of Company Limited; Asia Pacific (Thailand) Co., Ltd.; in this notice. Note that Commerce has Antidumping Duty Administrative Chaophraya Cold Storage Co., Ltd.; Okeanos Co., temporarily modified certain of its Review; 2019–2020 Ltd.; Okeanos Food Co., Ltd. (OKF); and Takzin Samut Co., Ltd. (collectively, Thai Union). See requirements for serving documents AGENCY: Enforcement and Compliance, Certain Frozen Warmwater Shrimp from Thailand: containing business proprietary International Trade Administration, Final Results of Antidumping Duty Administrative information, until further notice.11 Review, Final Determination of No Shipments, and Department of Commerce. Partial Rescission of Review; 2012–2013, 79 FR SUMMARY: The Department of Commerce 51306, 51306 (August 28, 2014). Further, on January 9 See, e.g., Honey Preliminary CCR Results, 77 FR (Commerce) preliminarily determines 5, 2016, Commerce found that Thai Union Group 67790, 67791 (November 14, 2012); Aluminum Public Co., Ltd., (TUG) is the successor-in-interest Extrusions from the People’s Republic of China: that sales of certain frozen warmwater to Thai Union Frozen Products Public Co., Ltd. See Preliminary Results of Changed Circumstances shrimp (shrimp) from Thailand have Notice of Final Results of Antidumping Changes Reviews, and Intent to Revoke Antidumping and been made below normal value during Circumstances Review: Certain Frozen Warmwater Countervailing Duty Orders in Part, 78 FR 66895 the period of review (POR), February 1, Shrimp from Thailand, 81 FR 222 (January 5, 2016). (November 7, 2013); and 19 CFR 351.222(g)(3)(v). Therefore, we are treating these companies as a 10 See generally 19 CFR 351.303. 2019, through January 31, 2020. We single entity for the purposes of this administrative 11 See Temporary Rule Modifying AD/CVD invite interested parties to comment on review. Service Requirements Due to COVID–19; Extension these preliminary results. 5 See Memorandum, ‘‘Tolling of Deadlines for of Effective Period, 85 FR 29615 (May 18, 2020); Antidumping and Countervailing Duty DATES: and Temporary Rule Modifying AD/CVD Service Applicable June 28, 2021. Administrative Reviews in Response to Operational Requirements Due to COVID–19; Extension of Adjustments Due to COVID–19,’’ dated April 24, Effective Period, 85 FR 41363 (July 10, 2020). 12 See 19 CFR 351.216(e). 2020.
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Commerce tolled deadlines in customs purposes, the written product of its requirements for serving administrative reviews by an additional description remains dispositive.10 documents containing business 60 days.6 On January 21, 2021, proprietary information, until further Methodology Commerce extended the deadline for the notice.13 Parties who submit case briefs preliminary results of this Commerce is conducting this review or rebuttal briefs in this proceeding are administrative review until June 18, in accordance with section 751(a)(1)(B) encouraged to submit with each 2021.7 Also on January 21, 2021, and (2) of the Tariff Act of 1930, as argument: (1) A statement of the issue; Commerce rescinded the administrative amended (the Act). Export price and (2) a brief summary of the argument; review with respect to all companies for constructed export price are calculated and (3) a table of authorities.14 Case and which a review had been requested, in accordance with section 772 of the rebuttal briefs should be filed using except Thai Union.8 For a complete Act. Normal value is calculated in ACCESS.15 description of the events that followed accordance with section 773 of the Act. Pursuant to 19 CFR 351.310(c), the initiation of this review, see the For a full description of the interested parties who wish to request a Preliminary Decision Memorandum.9 methodology underlying our hearing must submit a written request to conclusions, see the Preliminary the Acting Assistant Secretary for Scope of the Order Decision Memorandum. The Enforcement and Compliance, filed The merchandise subject to the Order Preliminary Decision Memorandum is a electronically via ACCESS. An is certain warmwater shrimp and public document and is on file electronically-filed document must be prawns, whether frozen, wild-caught electronically via Enforcement and received successfully in its entirety by (ocean harvested) or farm-raised Compliance’s Antidumping and ACCESS by 5:00 p.m. Eastern Time (produced by aquaculture), head-on or Countervailing Duty Centralized within 30 days after the date of head-off, shell-on or peeled, tail-on or Electronic Service System (ACCESS). publication of this notice.16 Hearing tail-off, deveined or not deveined, ACCESS is available to registered users requests should contain: (1) The party’s cooked or raw, or otherwise processed at https://access.trade.gov. In addition, a name, address, and telephone number; in frozen form. The frozen warmwater complete version of the Preliminary (2) the number of participants; and (3) shrimp and prawn products included in Decision Memorandum can be accessed a list of issues to be discussed. Issues the scope of this order, regardless of directly at http://enforcement.trade.gov/ raised in the hearing will be limited to definitions in the Harmonized Tariff frn/. A list of the topics discussed in the issues raised in the briefs. If a request Schedule of the United States (HTSUS), Preliminary Decision Memorandum is for a hearing is made, parties will be are products which are processed from attached as an appendix to this notice. notified of the time and date for the warmwater shrimp and prawns through hearing.17 freezing and which are sold in any Preliminary Results of the Review Commerce intends to issue the final count size. The products subject to the As a result of this review, we results of this administrative review, Order are currently classifiable in preliminarily determine that the including the results of its analysis HTSUS statistical reporting numbers following weighted-average dumping raised in any written briefs, not later 0306.17.00.03, 0306.17.00.06, margin exists for the period February 1, than 120 days after the publication date 0306.17.00.09, 0306.17.00.12, 2019, through January 31, 2020: of this notice, pursuant to section 0306.17.00.15, 0306.17.00.18, 751(a)(3)(A) of the Act, unless otherwise 0306.17.00.21, 0306.17.00.24, Weighted- extended.18 0306.17.00.27, 0306.17.00.40, average 1605.21.10.30, and 1605.29.10.10. Exporter/producer dumping Assessment Rates margin Upon issuance of the final results, Although the HTSUS numbers are (percent) provided for convenience and for Commerce shall determine, and U.S. Thai Union ...... 6.47 Customs and Border Protection (CBP) 6 See Memorandum, ‘‘Tolling of Deadlines for shall assess, antidumping duties on all Antidumping and Countervailing Duty Disclosure and Public Comment appropriate entries covered by this Administrative Reviews,’’ dated July 21, 2020. review.19 7 See Memorandum, ‘‘Extension of Time Limit for Commerce intends to disclose the Preliminary Results of 2019–2020 Antidumping Pursuant to 19 CFR 351.212(b)(1), Duty Administrative Review,’’ dated January 21, calculations performed in connection because Thai Union reported the 2021. However, on June 17, 2021, the President with these preliminary results to entered value of its U.S. sales, we signed into law the Juneteenth National interested parties within five days after calculated importer-specific ad valorem Independence Day Act, making June 19 a Federal the date of publication of this notice.11 holiday. See Juneteenth National Independence Day duty assessment rates based on the ratio Act, S. 475, Public Law 117–17 (2021). Because the Case briefs or other written comments of the total amount of dumping Federal holiday fell on a Saturday, it was observed may be submitted to the Assistant calculated for the examined sales to the on Friday, June 18, 2021. Where a deadline falls on Secretary for Enforcement and a weekend or Federal holiday, the appropriate total entered value of the sales for which deadline is the next business day. See Notice of Compliance. Interested parties will be entered value was reported. Where Clarification: Application of ‘‘Next Business Day’’ notified of the timeline for the either the respondent’s weighted- Rule for Administrative Determination Deadlines submission of case briefs and written average dumping margin is zero or de Pursuant to the Tariff Act of 1930, As Amended, 70 comments at a later date. Rebuttal briefs, FR 24533 (May 10, 2005). Accordingly, the deadline minimis within the meaning of 19 CFR for these preliminary results is on June 21, 2021. limited to issues raised in the case 351.106(c)(1), or an importer-specific 8 See Certain Frozen Warmwater Shrimp from briefs, may be filed no later than seven Thailand: Partial Rescission of Antidumping Duty days after the time limit for filing case 13 See Temporary Rule Modifying AD/CVD Administrative Review; 2019–2020, 86 FR 7061 briefs.12 Commerce has modified certain Service Requirements Due to Covid–19; Extension of (January 26, 2021). Effective Period, 85 FR 41363 (July 10, 2020). 9 See Memorandum, ‘‘Decision Memorandum for 14 10 See 19 CFR 351.309(c)(2) and (d)(2). the Preliminary Results of the 2019–2020 For a complete description of the scope of the Order, see Preliminary Decision Memorandum at 4– 15 See 19 CFR 351.303. Administrative Review of the Antidumping Duty 16 Order on Circular Frozen Warmwater Shrimp from 5. See 19 CFR 351.310(c). Thailand,’’ dated concurrently with, and hereby 11 See 19 CFR 351.224(b). 17 See 19 CFR 351.310(d). adopted by, this notice (Preliminary Decision 12 See 19 CFR 351.309; see also 19 CFR 351.303 18 See section 751(a)(3)(A) of the Act. Memorandum). (for general filing requirements). 19 See 19 CFR 351.212(b).
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rate is zero or de minimis, we will rate for all other manufacturers or this administrative review made sales of instruct CBP to liquidate the appropriate exporters will continue to be 5.34 subject merchandise at less than normal entries without regard to antidumping percent, the all-others rate made value (NV). Interested parties are invited duties. effective by the Section 129 to comment on these preliminary Commerce’s ‘‘automatic assessment’’ Determination.21 These deposit results. practice will apply to entries of subject requirements, when imposed, shall DATES: Applicable June 28, 2021. merchandise during the POR produced remain in effect until further notice. FOR FURTHER INFORMATION CONTACT: by companies included in these final Notification to Importers William Miller, AD/CVD Operations, results of review for which the reviewed Office II, Enforcement and Compliance, companies did not know that the This notice serves as a reminder to International Trade Administration, merchandise they sold to the importers of their responsibility under U.S. Department of Commerce, 1401 intermediary (e.g., a reseller, trading 19 CFR 351.402(f) to file a certificate Constitution Avenue NW, Washington, company, or exporter) was destined for regarding the reimbursement of DC 20230; telephone: (202) 482–3908. the United States. In such instances, we antidumping duties prior to liquidation will instruct CBP to liquidate of the relevant entries during this SUPPLEMENTARY INFORMATION: unreviewed entries at the all-others rate review period. Failure to comply with Background if there is no rate for the intermediate this requirement could result in On April 8, 2020, based on timely company(ies) involved in the Commerce’s presumption that requests for review, in accordance with transaction.20 reimbursement of antidumping duties 19 CFR 351.221(c)(1)(i), we initiated an Commerce intends to issue occurred and the subsequent assessment administrative review of the assessment instructions to CBP no of double antidumping duties. antidumping duty order on large earlier than 35 days after the date of Notification to Interested Parties residential washers from Mexico, for publication of the final results of this one company, Electrolux Home review in the Federal Register. If a We are issuing and publishing these Products Corp. N.V. and Electrolux timely summons is filed at the U.S. results in accordance with sections Home Products de Mexico, S.A. de C.V. Court of International Trade, the 751(a)(1) and 777(i)(1) of the Act and 19 (collectively, Electrolux).1 The period of assessment instructions will direct CBP CFR 351.221(b)(4). review (POR) is February 1, 2019, not to liquidate relevant entries until the Dated: June 21, 2021. through January 31, 2020. On April 24, time for parties to file a request for a James Maeder, 2020, Commerce tolled all deadlines in statutory injunction has expired (i.e., Deputy Assistant Secretary for Antidumping administrative reviews by 50 days.2 On within 90 days of publication). and Countervailing Duty Operations. July 21, 2020, Commerce tolled all Cash Deposit Requirements Appendix deadlines in administrative reviews by 3 The following deposit requirements an additional 60 days. In January 2021, List of Topics Discussed in the Preliminary we extended the preliminary results of will be effective for all shipments of Decision Memorandum shrimp from Thailand entered, or this review to no later than June 18, I. Summary 2021.4 For a complete description of the withdrawn from warehouse, for II. Background consumption on or after the publication events that followed the initiation of III. Scope of the Order this review, see the Preliminary date of the final results of this IV. Discussion of the Methodology 5 administrative review, as provided by V. Currency Conversion Decision Memorandum. section 751(a)(2)(C) of the Act: (1) The VI. Recommendation 1 See Initiation of Antidumping and cash deposit rate for the exporter listed [FR Doc. 2021–13635 Filed 6–25–21; 8:45 am] Countervailing Duty Administrative Reviews, 85 FR above will be that established in the BILLING CODE 3510–DS–P 19730 (April 8, 2020). final results of this review, except if the 2 See Memorandum, ‘‘Tolling of Deadlines for rate is less than 0.50 percent and, Antidumping and Countervailing Duty DEPARTMENT OF COMMERCE Administrative Reviews in Response to Operational therefore, de minimis within the Adjustments Due to COVID–19,’’ dated April 24, meaning of 19 CFR 351.106(c)(1), in International Trade Administration 2020. which case the cash deposit rate will be 3 See Memorandum, ‘‘Tolling of Deadlines for zero; (2) for previously reviewed or [A–201–842] Antidumping and Countervailing Duty investigated companies not Administrative Reviews,’’ dated July 21, 2020. Large Residential Washers From 4 See Memorandum, ‘‘Extension of the Deadline participating in this review, the cash for Preliminary Results of the 2019–2020 deposit rate will continue to be the Mexico: Preliminary Results of the Antidumping Duty Administrative Review,’’ dated company-specific rate published for the Antidumping Duty Administrative January 26, 2021. However, on June 17, 2021, the most recently-completed segment of this Review; 2019–2020 President signed into law the Juneteenth National proceeding in which the company was Independence Day Act, making June 19 a Federal AGENCY: holiday. See Juneteenth National Independence Day reviewed; (3) if the exporter is not a firm Enforcement and Compliance, International Trade Administration, Act, S. 475, Public Law 117–17 (2021). Because the covered in this review, a prior review, Federal holiday fell on a Saturday, it was observed or the less-than-fair value (LTFV) Department of Commerce. on Friday, June 18, 2021. Where a deadline falls on investigation, but the manufacturer is, SUMMARY: The Department of Commerce a weekend or Federal holiday, the appropriate (Commerce) preliminarily determines deadline is the next business day. See Notice of then the cash deposit rate will be the Clarification: Application of ‘‘Next Business Day’’ rate established for the most recently- that the producer/exporter subject to Rule for Administrative Determination Deadlines completed segment of this proceeding Pursuant to the Tariff Act of 1930, As Amended, 70 for the manufacturer of subject 21 See Implementation of the Findings of the WTO FR 24533 (May 10, 2005). Accordingly, the deadline Panel in United States Antidumping Measure on for these preliminary results is on June 21, 2021. merchandise; and (4) the cash deposit Shrimp from Thailand: Notice of Determination 5 See Memorandum, ‘‘Decision Memorandum for Under Section 129 of the Uruguay Round the Preliminary Results of the 2019–2020 20 For a full discussion of this practice, see Agreements Act and Partial Revocation of the Administrative Review of the Antidumping Duty Antidumping and Countervailing Duty Proceedings: Antidumping Duty Order on Frozen Warmwater Order on Large Residential Washers from Mexico,’’ Assessment of Antidumping Duties, 68 FR 23954 Shrimp from Thailand, 74 FR 5638 (January 30, dated concurrently with, and hereby adopted by, (May 6, 2003). 2009) (Section 129 Determination). this notice (Preliminary Decision Memorandum).
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Scope of the Order antidumping duties on all appropriate Disclosure and Public Comment entries.7 The products covered by the order are Pursuant to 19 CFR 351.212(b)(1), we Commerce intends to disclose the all large residential washers and certain calculations performed in connection 6 calculated importer-specific ad valorem subassemblies thereof from Mexico. duty assessment rates based on the ratio with these preliminary results to The products are currently classifiable of the total amount of dumping interested parties within five days of the under subheadings 8450.20.0040 and date of publication of this notice in calculated for the examined sales to the 10 8450.20.0080 of the Harmonized Tariff total entered value of the sales for which accordance with 19 CFR 351.224(b). System of the United States (HTSUS). entered value was reported. Where Interested parties may submit case Products subject to this order may also either the respondent’s weighted- briefs no later than 30 days after the enter under HTSUS subheadings average dumping margin is zero or de date of publication of this notice.11 8450.11.0040, 8450.11.0080, minimis within the meaning of 19 CFR Rebuttal briefs, limited to issues raised 8450.90.2000, and 8450.90.6000. 351.106(c)(1), or an importer-specific in the case briefs, may be filed no later Although the HTSUS subheadings are assessment rate is zero or de minimis, than seven days after the time limit for provided for convenience and customs we will instruct CBP to liquidate the filing case briefs.12 Parties who submit purposes, the written description of the appropriate entries without regard to case briefs or rebuttal briefs in this merchandise subject to this scope is antidumping duties. The final results of proceeding are encouraged to submit dispositive. this review shall be the basis for the with each argument: (1) A statement of Methodology assessment of antidumping duties on the issue; (2) a brief summary of the entries of merchandise covered by the argument; and (3) a table of Commerce is conducting this review final results of this review and for future authorities.13 Case and rebuttal briefs in accordance with section 751(a) of the deposits of estimated duties, where should be filed using ACCESS.14 Tariff Act of 1930, as amended (the Act). applicable.8 Commerce has modified certain of its Constructed export price is calculated in We intend to issue instructions to requirements for serving documents accordance with section 772 of the Act. CBP 41 days after the publication date containing business proprietary NV is calculated in accordance with of the final results of this review. information until further notice.15 section 773 of the Act. For a full Pursuant to 19 CFR 351.310(c), description of the methodology Cash Deposit Requirements interested parties who wish to request a underlying our conclusions, see the The following cash deposit hearing must submit a written request to Preliminary Decision Memorandum. requirements will be effective for all the Assistant Secretary for Enforcement The Preliminary Decision Memorandum shipments of the subject merchandise and Compliance, filed electronically via is a public document and is on file entered, or withdrawn from warehouse, ACCESS within 30 days after the date of electronically via Enforcement and for consumption on or after the publication of this notice.16 Hearing Compliance’s Antidumping and publication date of the final results of requests should contain: (1) The party’s Countervailing Duty Centralized this administrative review, as provided name, address, and telephone number; Electronic Service System (ACCESS). by section 751(a)(2)(C) of the Act: (1) (2) the number of participants; and (3) ACCESS is available to registered users The cash deposit rate for Electrolux will a list of the issues to be discussed. at http://access.trade.gov. In addition, a be that established in the final results of Issues raised in the hearing will be complete version of the Preliminary this review, except if the rate is less limited to issues raised in the briefs. If Decision Memorandum can be accessed than 0.50 percent and, therefore, de a request for a hearing is made, parties at https://enforcement.trade.gov/frn/ minimis within the meaning of 19 CFR will be notified of the time and date for summary/mexico/mexico-fr.htm. A list 351.106(c)(1), in which case the cash the hearing.17 of the topics discussed in the deposit rate will be zero; (2) for An electronically-filed document Preliminary Decision Memorandum is previously reviewed or investigated must be received successfully in its attached as an appendix to this notice. companies not participating in this entirety by ACCESS by 5 p.m. Eastern Preliminary Results of the Review review, the cash deposit rate will Time on the established deadline. continue to be the company-specific Commerce intends to issue the final We preliminarily determine that the cash deposit rate published for the most following weighted-average dumping results of this administrative review, recently completed segment; (3) if the including the results of its analysis of margin exists for the period February 1, exporter is not a firm covered in this 2019, through January 31, 2020: issues raised in any written briefs, not review, a prior review, or the original later than 120 days after the date of less-than-fair-value (LTFV) publication of this notice, unless the Weighted- investigation, but the producer is, the Exporter/producer average deadline is extended.18 margin cash deposit rate will be the rate established for the most recent segment 10 See 19 CFR 351.224(b). Electrolux Home Products Corp. for the producer of the merchandise; 11 See 19 CFR 351.309(c). N.V. and Electrolux Home and (4) the cash deposit rate for all other 12 See 19 CFR 351.309(d); see also 19 CFR Products de Mexico, S.A. de producers or exporters will continue to 351.303 (for general filing requirements); see also C.V ...... 2.17 be 36.52 percent, the all-others rate Temporary Rule Modifying AD/CVD Service established in the LTFV investigation.9 Requirements Due to COVID–19, 85 FR 17006 Assessment Rates (March 26, 2020) (Temporary Rule); and Temporary These deposit requirements, when Rule Modifying AD/CVD Service Requirements Due Upon completion of this imposed, shall remain in effect until to COVID–19; Extension of Effective Period, 85 FR administrative review, Commerce shall further notice. 41363 (July 10, 2020). 13 See 19 CFR 351.309(c)(2) and (d)(2). determine, and U.S. Customs and 7 See 19 CFR 351.212(b). 14 See 19 CFR 351.303. Border Protection (CBP) shall assess, 15 8 See section 751(a)(2)(C) of the Act. See Temporary Rule. 9 See Large Residential Washers from Mexico and 16 See 19 CFR 351.310(c). 6 For a complete description of the scope of the the Republic of Korea: Antidumping Duty Orders, 17 See 19 CFR 351.310(d). order, see the Preliminary Decision Memorandum. 78 FR 11148 (February 15, 2013). 18 See section 751(a)(3)(A) of the Act.
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Notification to Importers FOR FURTHER INFORMATION CONTACT: Preliminary Determination of No This notice also serves as a Jinny Ahn or Joshua Simonidis, AD/ Shipments CVD Operations, Office VIII, preliminary reminder to importers of Based on our analysis of U.S. Customs their responsibility under 19 CFR Enforcement and Compliance, International Trade Administration, and Border Protection (CBP) 351.402(f) to file a certificate regarding information, and the no shipment the reimbursement of antidumping Department of Commerce, 1401 Constitution Avenue NW, Washington, certifications submitted by Beijing duties prior to liquidation of the DC 20230; telephone: (202) 482–0339 or Pacific Activated Carbon Products Co., relevant entries during this review (202) 482–0608, respectively. Ltd., Jilin Bright Future Chemicals Co., period. Failure to comply with this Ltd., Shanxi Dapu International Trade requirement could result in the SUPPLEMENTARY INFORMATION: Co., Ltd., Shanxi Industry Technology Secretary’s presumption that Background Trading Co., Ltd., Shanxi Tianxi reimbursement of antidumping duties This administrative review is being Purification Filter Co., Ltd., and Tianjin occurred and the subsequent assessment conducted in accordance with section Channel Filters Co., Ltd., Commerce of double antidumping duties. 751(a) of the Tariff Act of 1930, as We are issuing and publishing these preliminarily determines that these amended (the Act). Commerce companies had no shipments of subject results in accordance with sections published the notice of initiation of this 751(a)(1) and 777(i)(1) of the Act. merchandise during the POR. For administrative review on June 8, 2020.1 additional information regarding this Dated: June 21, 2021. On July 21, 2020, Commerce tolled all determination, see the Preliminary Ryan Majerus, preliminary and final deadlines in Decision Memorandum. Deputy Assistant Secretary for Policy and administrative reviews by 60 days.2 On Consistent with our practice in non- Negotiations. January 15, 2021, Commerce extended the preliminary results deadline until market economy (NME) cases, we are Appendix April 30, 2021.3 On March 24, 2021, not rescinding this review but instead List of Topics Discussed in the Preliminary Commerce further extended the intend to complete the review with Decision Memorandum preliminary results deadline until June respect to these six companies for which I. Summary 18, 2021.4 we have preliminarily found no shipments and issue appropriate II. Background 5 III. Scope of the Order Scope of the Order instructions to CBP based on the final IV. Discussion of the Methodology The merchandise subject to the Order results of the review.7 V. Product Comparisons is certain activated carbon. The Methodology VI. Constructed Export Price products are currently classifiable under VII. Normal Value the Harmonized Tariff Schedule of the VIII. Currency Conversion Commerce is conducting this review IX. Recommendation United States (HTSUS) subheading in accordance with section 751(a)(1)(B) 3802.10.00. Although the HTSUS [FR Doc. 2021–13707 Filed 6–25–21; 8:45 am] of the Act. We calculated export prices subheading is provided for convenience and constructed export prices in BILLING CODE 3510–DS–P and customs purposes, the written accordance with section 772 of the Act. description of the scope of the Order Because China is an NME country remains dispositive.6 DEPARTMENT OF COMMERCE within the meaning of section 771(18) of the Act, NV has been calculated in 1 International Trade Administration See Initiation of Antidumping and Countervailing Duty Administrative Reviews, 85 FR accordance with section 773(c) of the Act. [A–570–904] 35068 (June 8, 2020). 2 See Memorandum, ‘‘Tolling of Deadlines for For a full description of the Certain Activated Carbon From the Antidumping and Countervailing Duty Administrative Reviews,’’ dated July 21, 2020. methodology underlying our People’s Republic of China: 3 See Memorandum, ‘‘Certain Activated Carbon conclusions, see the Preliminary Preliminary Results of Antidumping from the People’s Republic of China: Extension of Decision Memorandum. A list of the Duty Administrative Review, and Deadline for Preliminary Results of the Thirteenth topics discussed in the Preliminary Preliminary Determination of No Antidumping Duty Administrative Review,’’ dated Decision Memorandum is included as Shipments; 2019–2020 January 15, 2021. 4 See Memorandum, ‘‘Certain Activated Carbon Appendix I to this notice. The Preliminary Decision Memorandum is a AGENCY: Enforcement and Compliance, from the People’s Republic of China: Extension of Deadline for Preliminary Results of the Thirteenth public document and is made available International Trade Administration, Antidumping Duty Administrative Review,’’ dated to the public via Enforcement and Department of Commerce. March 24, 2021. However, on June 17, 2021, the Compliance’s Antidumping and SUMMARY: President signed into law the Juneteenth National The Department of Commerce Independence Day Act, making June 19 a Federal Countervailing Duty Centralized (Commerce) preliminarily determines holiday. See Juneteenth National Independence Day Electronic Service System (ACCESS). that Carbon Activated Tianjin Co., Ltd. Act, S. 475, Public Law 117–17 (2021). Because the ACCESS is available to registered users Federal holiday fell on a Saturday, it was observed (Carbon Activated) and Datong Juqiang at https://access.trade.gov. In addition, a Activated Carbon Co., Ltd. (Datong on Friday, June 18, 2021. Where a deadline falls on a weekend or Federal holiday, the appropriate complete version of the Preliminary Juqiang), exporters of certain activated deadline is the next business day. See Notice of Decision Memorandum is available at carbon from the People’s Republic of Clarification: Application of ‘‘Next Business Day’’ http://enforcement.trade.gov/frn/. China (China), sold subject merchandise Rule for Administrative Determination Deadlines in the United States at prices below Pursuant to the Tariff Act of 1930, As Amended, 70 Administrative Review: Certain Activated Carbon FR 24533 (May 10, 2005). Accordingly, the deadline from the People’s Republic of China; 2019–2020,’’ normal value (NV) during the period of for these preliminary results is on June 21, 2021. dated concurrently with, and hereby adopted by, review (POR) April 1, 2019, through 5 See Notice of Antidumping Duty Order: Certain this notice (Preliminary Decision Memorandum). March 31, 2020. Interested parties are Activated Carbon from the People’s Republic of 7 See Non-Market Economy Antidumping invited to comment on these China, 72 FR 20988 (April 27, 2007) (Order). 6 For a complete description of the scope of the Proceedings: Assessment of Antidumping Duties, 76 preliminary results. Order, see Memorandum, ‘‘Decision Memorandum FR 65694, 65694–95 (October 24, 2011) (NME DATES: Applicable June 28, 2021. for the Preliminary Results of Antidumping Duty Practice).
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Preliminary Results of the Review provide either a separate rate For those companies that have application or separate rate certification. established their eligibility for a Commerce preliminarily finds that 61 As such, we preliminarily determine separate rate,10 Commerce preliminarily companies for which a review was that these 61 companies are part of the determines that the following weighted- 8 requested did not establish eligibility China-wide entity.9 average dumping margins exist for the for a separate rate because they failed to POR:
Weighted-average dumping margin Exporter (U.S. dollars per kilogram) 11
Carbon Activated Tianjin Co., Ltd ...... 1.13 Datong Juqiang Activated Carbon Co., Ltd ...... 0.45 Datong Municipal Yunguang Activated Carbon Co., Ltd ...... 0.58 Jacobi Carbons AB 12 ...... 0.58 Ningxia Guanghua Cherishmet Activated Carbon Co., Ltd ...... 0.58 Ningxia Huahui Activated Carbon Co., Ltd ...... 0.58 Ningxia Mineral & Chemical Limited ...... 0.58 Shanxi Sincere Industrial Co., Ltd ...... 0.58 Tancarb Activated Carbon Co., Ltd ...... 0.58
For the respondents that were not and (3) a table of authorities. Rebuttal location of the hearing two days before selected for individual examination in briefs, limited to issues raised in the the scheduled date. this administrative review but qualified case briefs, may be filed no later than All submissions to Commerce must be for a separate rate, we have assigned to seven days after the case briefs are filed electronically using ACCESS 18 them the weighted-average margin filed.14 Note that Commerce has and must also be served on interested calculated based on the publicly temporarily modified certain of its parties.19 An electronically filed available ranged U.S. sales quantities of requirements for serving documents document must be received successfully the mandatory respondents consistent containing business proprietary in its entirety by ACCESS, by 5 p.m. with section 735(c)(5)(A) of the Act.13 information, until further notice.15 Eastern Time (ET) on the date that the Pursuant to 19 CFR 351.310(c), document is due. Disclosure and Public Comment interested parties who wish to request a Unless otherwise extended, Commerce intends to disclose the hearing must submit a written request to Commerce intends to issue the final calculations performed for these the Assistant Secretary for Enforcement results of this administrative review, preliminary results to the parties no and Compliance within 30 days of the which will include the results of its later than five days after the date of date of publication of this notice. analysis of issues raised in any briefs, publication of this notice in accordance Requests should contain: (1) The party’s within 120 days of publication of these with 19 CFR 351.224(b). Pursuant to 19 name, address and telephone number; preliminary results, pursuant to section CFR 351.309(c)(ii), interested parties (2) the number of participants; and (3) 751(a)(3)(A) of the Act. may submit case briefs no later than 30 a list of issues parties intend to discuss. days after the date of publication of Issues raised in the hearing will be Assessment Rates these preliminary results of review. limited to those raised in the respective Upon issuance of the final results, Parties who submit case briefs or case and rebuttal briefs.16 If a request for Commerce will determine, and CBP rebuttal briefs in this proceeding are a hearing is made, Commerce intends to shall assess, antidumping duties on all encouraged to submit with each hold the hearing at a date and time to appropriate entries covered by this argument: (1) A statement of the issue; be determined.17 Parties should confirm review.20 Commerce intends to issue (2) a brief summary of the argument; by telephone the date, time, and assessment instructions to CBP 35 days
8 See Appendix II of this notice for a full list of 11 In the second administrative review of the 13 See Memorandum, ‘‘Certain Activated Carbon the 61 companies. Order, Commerce determined that it would from the People’s Republic of China: Calculation of 9 Because no interested party requested a review calculate per-unit weighted-average dumping the Margin for Respondents Not Selected for of the China-wide entity and Commerce no longer margins and assessment rates for all future reviews. Individual Examination,’’ dated concurrently with See Certain Activated Carbon from the People’s considers the China-wide entity as an exporter this notice; see also Preliminary Decision Republic of China: Final Results and Partial conditionally subject to administrative reviews, we Rescission of Second Antidumping Duty Memorandum. did not conduct a review of the China-wide entity. Administrative Review, 75 FR 70208, 70211 14 See 19 CFR 351.309(d); see also Temporary Thus, the rate for the China-wide entity is not (November 17, 2010). Rule Modifying AD/CVD Service Requirements Due subject to change as a result of this review. See 12 In the third administrative review of the Order, to COVID–19, 85 FR 17006 (March 26, 2020) (‘‘To Antidumping Proceedings: Announcement of Commerce found that Jacobi Carbons AB, Tianjin provide adequate time for release of case briefs via Change in Department Practice for Respondent Jacobi International Trading Co. Ltd., and Jacobi ACCESS, E&C intends to schedule the due date for Selection in Antidumping Duty Proceedings and Carbons Industry (Tianjin) Co., Ltd. should be all rebuttal briefs to be 7 days after case briefs are Conditional Review of the Nonmarket Economy treated as a single entity, and because there were filed (while these modifications are in effect)’’). no facts presented on the record of this review Entity in NME Antidumping Duty Proceedings, 78 15 which would call into question our prior finding, See Temporary Rule Modifying AD/CVD FR 65963, 65969–70 (November 4, 2013). The Service Requirements Due to COVID–19; Extension China-wide entity rate of 2.42 U.S. dollars per we continue to treat these companies as part of a single entity for this administrative review, of Effective Period, 85 FR 41363 (July 10, 2020). kilogram was last reviewed in Certain Activated pursuant to sections 771(33)(E), (F), and (G) of the 16 See 19 CFR 351.310(c). Carbon from the People’s Republic of China: Final Act and 19 CFR 351.401(f). See Certain Activated 17 See 19 CFR 351.310(d). Results of Antidumping Duty Administrative Carbon from the People’s Republic of China: Final 18 See 19 CFR 351.303. Review; 2012–2013, 79 FR 70163 (November 25, Results and Partial Rescission of Third 2014). Antidumping Duty Administrative Review, 76 FR 19 See 19 CFR 351.303(f). 10 See Preliminary Decision Memorandum. 67142, 67145, n. 25 (October 31, 2011). 20 See 19 CFR 351.212(b)(1).
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after the publication date of the final For entries that were not reported in antidumping duties prior to liquidation results of this review. For any the U.S. sales data submitted by of the relevant entries during this POR. individually examined respondent companies individually examined Failure to comply with this requirement whose (estimated) ad valorem weighted- during this review, Commerce will could result in Commerce’s average dumping margin is not zero or instruct CBP to liquidate such entries at presumption that reimbursement of de minimis (i.e., less than 0.50 percent) the rate for the China-wide entity.25 antidumping duties occurred and the in the final results of this review, Additionally, if Commerce determines subsequent assessment of double Commerce will calculate importer- that an exporter under review had no antidumping duties. specific assessment rates on the basis of shipments of the subject merchandise, Notification to Interested Parties the ratio of the total amount of dumping any suspended entries that entered calculated for the importer’s examined under that exporter’s case number (i.e., This administrative review and notice sales and the total quantity of those at that exporter’s cash deposit rate) will are issued and published in accordance sales, in accordance with 19 CFR be liquidated at the rate for the China- with sections 751(a)(1) and 777(i)(1) of 351.212(b)(1).21 Commerce will also wide entity.26 the Act, 19 CFR 351.213, and 19 CFR calculate (estimated) ad valorem In accordance with section 351.221(b)(4). importer-specific assessment rates with 751(a)(2)(C) of the Act, the final results Dated: June 21, 2021. which to assess whether the per-unit of this review shall be the basis for the James Maeder, 22 assessment of antidumping duties on assessment rate is de minimis. We will Deputy Assistant Secretary for Antidumping instruct CBP to assess antidumping entries of merchandise covered by the and Countervailing Duty Operations. duties on all appropriate entries covered final results of this review and for future by this review when the importer- deposits of estimated antidumping Appendix I specific ad valorem assessment rate duties, as applicable. List of Topics Discussed in the Preliminary calculated in the final results of this Cash Deposit Requirements Decision Memorandum review is not zero or de minimis. Where The following cash deposit I. Summary either the respondent’s ad valorem II. Background weighted-average dumping margin is requirements will be effective upon III. Scope of the Order zero or de minimis, or an importer- publication of the final results of this IV. Discussion of the Methodology specific ad valorem assessment rate is administrative review for shipments of V. Recommendation the subject merchandise from China zero or de minimis,23 we will instruct entered, or withdrawn from warehouse, Appendix II CBP to liquidate the appropriate entries for consumption on or after the Companies Preliminarily Not Eligible for a without regard to antidumping duties. publication date, as provided by section Separate Rate and Treated as Part of the For the respondents that were not 751(a)(2)(C) of the Act: (1) For each China-Wide Entity selected for individual examination in specific company listed in the final 1. AM Global Shipping Lines Co., Ltd. this administrative review but qualified results of this review, the cash deposit 2. Apex Maritime (Tianjin) Co., Ltd. for a separate rate, the assessment rate rate will be equal to the weighted- 3. Ardic Worldwide Logistics Ltd. will be the margin established for these average dumping margin established in 4. Beijing Kang Jie Kong International Cargo Agent Co Ltd companies in the final results of this the final results of this review (except review. 5. Bengbu Modern Environmental Co., Ltd. that if the ad valorem rate is de minimis, 6. Brilliant Logistics Group Inc. For the final results, if we continue to then the cash deposit rate will be zero); 7. China Combi Works Oy Ltd. treat the 61 companies, identified at (2) for previously investigated or 8. China International Freight Co., Ltd. Appendix II to this notice, as part of the reviewed Chinese and non-Chinese 9. Cohesion Freight (HK) Ltd. China-wide entity, we will instruct CBP exporters not listed above that have 10. Datong Municipal Yunguang to apply a per-unit assessment rate of separate rates, the cash deposit rate will 11. De Well Container Shipping Corp. $2.42 per kilogram to all entries of continue to be the existing exporter- 12. Derun Charcoal Carbon Co., Ltd. subject merchandise during the POR 13. Endurance Cargo Management Co., Ltd. specific cash deposit rate; (3) for all 14. Envitek (China) Ltd. which were exported by those Chinese exporters of subject 24 15. Excel Shipping Co., Ltd. companies. merchandise that have not been found 16. Fujian Xinsen Carbon Co., Ltd. to be entitled to a separate rate, the cash 17. Fuzhou Yihuan Carbon Co., Ltd. 21 In these preliminary results, Commerce applied deposit rate will be the rate for the 18. Fuzhou Yuemengfeng Trade Co., Ltd. the assessment rate calculation method adopted in China-wide entity; and (4) for all non- 19. Gongyi City Bei Shan Kou Water Antidumping Proceedings: Calculation of the Purification Materials Factory Weighted-Average Dumping Margin and Chinese exporters of subject merchandise which have not received 20. Guangdong Hanyan Activated Carbon Assessment Rate in Certain Antidumping Manufacturing Co., Ltd. Proceedings: Final Modification, 77 FR 8101 their own separate rate, the cash deposit (February 14, 2012). 21. Guangzhou Four E’S Scientific Co., Ltd. rate will be the rate applicable to the 22. Hangzhou Hengxing Activated Carbon 22 For calculated (estimated) ad valorem Chinese exporter that supplied that non- importer-specific assessment rates used in 23. Henan Dailygreen Trading Co., Ltd. determining whether the per-unit assessment rate is Chinese exporter. These cash deposit 24. Honour Lane Shipping Ltd. de minimis, see Memoranda, ‘‘Preliminary Results requirements, when imposed, shall 25. Ingevity Corp. Margin Calculation for Datong Juqiang Activated remain in effect until further notice. 26. Ingevity Performance Materials Carbon Co., Ltd.,’’ and ‘‘Antidumping Duty 27. Jiangsu Kejing Carbon Fiber Co., Ltd. Administrative Review of Certain Activated Carbon Notification to Importers 28. Jiangxi Yuanli Huaiyushan Active Carbon the People’s Republic of China: Preliminary Results This notice also serves as a 29. King Freight International Corp. Calculation Memorandum for Carbon Activated,’’ 30. M Chemical Company, Inc. both dated concurrently with this notice, and preliminary reminder to importers of attached Margin Calculation Program Logs and 31. Meadwestvaco Trading (Shanghai) their responsibility under 19 CFR 32. Muk Chi Trade Co., Ltd. Outputs. 351.402(f)(2) to file a certificate 23 33. Nanping Yuanli Active Carbon Co. See 19 CFR 351.106(c)(2). regarding the reimbursement of 24 See, e.g., Certain Activated Carbon from the 34. Pacific Star Express (China) Company People’s Republic of China: Final Results of Ltd. Antidumping Duty Administrative Review; 2012– 25 See NME Practice, for a full discussion. 35. Panalpina World Transport (PRC) Ltd. 2013, 79 FR 70163, 70165 (November 25, 2014). 26 Id. 36. Pingdingshan Green Forest Activated
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Carbon Factory mail to Maureen O’Reilly, Management • Advance the NICE Strategic Plan 37. Pingdingshan Lvlin Activated Carbon Co., Analyst, NIST by email to objective to inspire cybersecurity career Ltd. [email protected]). Please awareness. 38. Pudong Prime International Logistics This collection is necessary to support 39. Safround Logistics Co. reference OMB Control Number 0693– 40. Seatrade International Transportation 0082 in the subject line of your the NICE Strategic Plan objective to 41. Shanghai Caleb Industrial Co. Ltd. comments. Do not submit Confidential inspire cybersecurity career awareness. 42. Shanghai Express Global International Business Information or otherwise The collection of information will allow 43. Shanghai Line Feng Int’l Transportation sensitive or protected information. the NICE Program Office to share with 44. Shanghai Pudong International FOR FURTHER INFORMATION CONTACT: the public a compiled list of events and Transportation opportunities to learn about 45. Shanghai Sunson Activated Carbon Requests for additional information or specific questions related to collection cybersecurity careers. Doing so will 46. Shanghai Xinjinhu Activated Carbon provide a resource for potential 47. Shanxi DMD Corp. activities should be directed to Danielle 48. Shanxi Industry Technology Trading Santos, NICE Program Office, (301) 975– attendees, extend the reach of programs (ITT) 5048; [email protected]. and efforts, serve as a source of metrics for outreach activities and impact, and 49. Shenzhen Calux Purification Technology SUPPLEMENTARY INFORMATION: Co., Ltd. encourage more stakeholders to get 50. Shijiazhuang Tangju Trading Co. I. Abstract involved in National Cybersecurity 51. Sinoacarbon International Trading Co., Career Awareness Week. Ltd. As part of NIST’s charge for National The information gathered in this 52. The Ultimate Solid Logistics Ltd. Cybersecurity Awareness and Education collection will be populated into 53. T.H.I. Group (Shanghai) Ltd. outlined in the Cybersecurity publicly accessible list on nist.gov/nice 54. Tianjin Maijin Industries Co., Ltd. Enhancement Act of 2014, the National 55. Translink Shipping Inc. on an on-going basis. The public will Initiative for Cybersecurity Education access this list to learn about events 56. Trans-Power International Logistics Co., (NICE) energizes and promotes a robust Ltd. held by the public to raise cybersecurity 57. Triple Eagle Container Line network and an ecosystem of career awareness with the intention to 58. U.S. United Logistics (Ningbo) Inc. cybersecurity education, training, and increase the reach of and participation 59. Yusen Logistics Co., Ltd. workforce development. NICE, led by at such events. The list will also serve 60. Zhejiang Topc Chemical Industry NIST, fulfills this mission by as a resource for those wishing to access 61. Zhengzhou Zhulin Activated Carbon coordinating with government, information on cybersecurity careers. [FR Doc. 2021–13708 Filed 6–25–21; 8:45 am] academic, and industry partners to The information collected will not be BILLING CODE 3510–DS–P build on existing successful programs, analyzed or changed prior to publishing. facilitate change and innovation, and Information collected includes basic bring leadership and vision to increase contact information, such as name, DEPARTMENT OF COMMERCE the number of skilled cybersecurity however the data is referential in nature professionals helping to keep our Nation only. Records will not be retrieved by a National Institute of Standards and secure. personal identifier; therefore, this is not Technology Further, the NICE Strategic Plan a Privacy Act System of Records and emphasizes a goal to promote the Agency Information Collection does not require a SORN or Privacy Act discovery of cybersecurity careers and Activities; Submission to the Office of Statement. The primary goal for this multiple pathways. In support of this Management and Budget (OMB) for collection is to learn what kind of goal, Cybersecurity Career Awareness Review and Approval; Comment events are happening and where. Week aims to inspire, educate, and Request; Events and Efforts engage children through adults to II. Method of Collection Supporting Cybersecurity Career pursue careers in cybersecurity. The The primary method of collection will Awareness Week annual week-long celebration provides be via an electronic (internet) AGENCY: National Institute of Standards for learning about the contributions, submission form. innovations, and opportunities that can and Technology (NIST), Commerce. III. Data ACTION: Notice of information collection, be found by exploring cybersecurity as request for comment. a field of study or career choice. The OMB Control Number: 0693–0082. NICE community is encouraged to Form Number(s): None. SUMMARY: The Department of organize and participate in activities Type of Review: Regular submission, Commerce, in accordance with the and initiatives during the week that: revision of a current information Paperwork Reduction Act of 1995 • Create excitement around collection. (PRA), invites the general public and increasing public awareness and Affected Public: Business or other for- other Federal agencies to comment on engagement in building a strong profit organizations; Not-for-profit proposed, and continuing information cybersecurity workforce. institutions; State, Local, or Tribal collections, which helps us assess the • Emphasize the demand and government; Federal government. Estimated Number of Respondents: impact of our information collection opportunities in the field of requirements and minimize the public’s 500. cybersecurity. Estimated Time per Response: 10 reporting burden. The purpose of this • Increase awareness around the notice is to allow for 60 days of public minutes. multiple career options within the field Estimated Total Annual Burden comment preceding submission of the of cybersecurity. collection to OMB. • Hours: 83. Highlight the numerous pathways Estimated Total Annual Cost to DATES: To ensure consideration, to enter the cybersecurity career field. Public: $0. comments regarding this proposed • Showcase programs that increase Respondent’s Obligation: Voluntary. information collection must be received participation of women, minorities, on or before August 27, 2021. veterans, persons with disabilities, and IV. Request for Comments ADDRESSES: Interested persons are other underrepresented populations in We are soliciting public comments to invited to submit written comments by the cybersecurity workforce. permit the Department/Bureau to: (a)
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Evaluate whether the proposed ADDRESSES: Comments may be the Secretary of Commerce, and adhered information collection is necessary for submitted by: to the terms of financial assistance the proper functions of the Department, • Electronic Submission: Email Carrie under the CZMA. When the evaluation including whether the information will Hall, Evaluator, NOAA Office for is completed, NOAA’s Office for Coastal have practical utility; (b) Evaluate the Coastal management at Carrie.Hall@ Management will place a notice in the accuracy of our estimate of the time and noaa.gov. Timely oral or written Federal Register announcing the cost burden for this proposed collection, comments received by the Office for availability of the Final Evaluation including the validity of the Coastal Management are considered part Findings. methodology and assumptions used; (c) of the public record and may be Keelin Kuipers, Evaluate ways to enhance the quality, publicly accessible. Any personal utility, and clarity of the information to information (e.g., name, address) Deputy Director, Office for Coastal Management, National Ocean Service, be collected; and (d) Minimize the submitted voluntarily by the sender may National Oceanic and Atmospheric reporting burden on those who are to also be publicly accessible. NOAA will Administration. respond, including the use of automated accept anonymous comments. [FR Doc. 2021–13691 Filed 6–25–21; 8:45 am] collection techniques or other forms of • Virtual Public Meeting: Provide BILLING CODE 3510–JE–P information technology. public comments during the virtual Comments that you submit in public meeting. To participate in the response to this notice are a matter of virtual public meeting, registration is DEPARTMENT OF COMMERCE public record. We will include or required by Tuesday, August 10, 2021, summarize each comment in our request at 5 p.m. PDT. National Oceanic and Atmospheric to OMB to approve this ICR. Before Instructions: To register for the virtual Administration including your address, phone number, public meeting, visit https://forms.gle/ email address, or other personal Zi47WeZFD2Ywj9qJ8. If you have [RTID 0648–XB190] identifying information in your difficulty registering, contact Carrie Hall comment, you should be aware that by email at [email protected]. You Gulf of Mexico Fishery Management your entire comment—including your may participate online or by phone. If Council; Public Meeting you would like to provide comment personal identifying information—may AGENCY: National Marine Fisheries be made publicly available at any time. during the public meeting, please select Service (NMFS), National Oceanic and While you may ask us in your comment ‘‘yes’’ during the online registration. Atmospheric Administration (NOAA), to withhold your personal identifying The line-up of speakers will be based on Commerce. information from public review, we the date and time of registration. Once ACTION: Notice of a public meeting; via cannot guarantee that we will be able to you register, you will receive a webinar. do so. confirmation of your registration. One hour prior to the start of the meeting on SUMMARY: The Gulf of Mexico Fishery Sheleen Dumas, August 11, 2021, you will be emailed a Department PRA Clearance Officer, Office of Management Council will hold a link to the public meeting and meeting of its Coastal Migratory Pelagic the Chief Information Officer, Commerce information about participating. Department. Advisory Panel via webinar. FOR FURTHER INFORMATION CONTACT: [FR Doc. 2021–13467 Filed 6–25–21; 8:45 am] DATES: The webinar will convene on Carrie Hall, Evaluator, NOAA Office for BILLING CODE 3510–13–P Thursday, July 22, 2021, 1 p.m.–4 p.m., Coastal Management by email at EDT. [email protected] or phone (240) ADDRESSES: The meeting will be held DEPARTMENT OF COMMERCE 533–0730. Copies of the previous evaluation findings, reserve via webinar; visit the Gulf Council management plan, and reserve site website for registration and log in National Oceanic and Atmospheric information. Administration profile may be viewed and downloaded on the internet at http://coast.noaa.gov/ Council address: Gulf of Mexico Evaluation of National Estuarine czm/evaluations. A copy of the Fishery Management Council, 4701 W Research Reserve; Public Meeting; evaluation notification letter and most Spruce Street, Suite 200, Tampa, FL Request for Comments recent progress report may be obtained 33607; telephone: (813) 348–1630. upon request by contacting Carrie Hall. FOR FURTHER INFORMATION CONTACT: Dr. AGENCY: Office for Coastal Management SUPPLEMENTARY INFORMATION: Natasha Mendez-Ferrer, Fishery (OCM), National Ocean Service (NOS), Biologist, Gulf of Mexico Fishery National Oceanic and Atmospheric Background Management Council; natasha.mendez@ Administration (NOAA), Department of Section 312 of the Coastal Zone gulfcouncil.org, telephone: (813) 348– Commerce (DOC). Management Act (CZMA), 16 U.S.C. 1630. ACTION: Notice of public meeting and 1458, requires NOAA to conduct SUPPLEMENTARY INFORMATION: The opportunity to comment. periodic evaluations of federally following items are on the agenda, approved national estuarine research though agenda items may be addressed SUMMARY: NOAA’s Office for Coastal reserves. The process includes one or out of order (changes will be noted on Management will hold a public meeting more public meetings, consideration of the Council’s website when possible). to solicit comments on the performance written public comments, and evaluation of the San Francisco Bay consultations with interested Federal, Thursday, July 22, 2021; 1 p.m.–4 p.m.; National Estuarine Research Reserve. state, and local agencies and members of EDT DATES: NOAA will consider all written the public. During the evaluation, The meeting will begin with Adoption comments received by Friday, August NOAA will consider the extent to which of Agenda; Approval of Minutes from 20, 2021. A virtual public meeting will the state of California has met the the March 24, 2021 webinar; and, be held on Wednesday, August 11, 2021 national objectives, adhered to the review of Scope of Work with its at 12 p.m. PDT. reserve’s management plan approved by members.
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The Advisory Panel (AP) will receive SUMMARY: Notice is hereby given of a One of the many ways ONMS ensures a summary of the SEDAR 38 Update for meeting of the Sanctuary System public participation in the designation Gulf of Mexico King Mackerel with Business Advisory Council (council). and management of national marine presentations on the stock assessment The meeting is open to the public, and sanctuaries is through the formation of and results, recommendations from the an opportunity for oral and written advisory councils. The Sanctuary Scientific and Statistical Committee comments will be provided. System Business Advisory Council (SSC), and results from the Council’s DATES: The meeting will be held (council) has been formed to provide Something’s Fishy tool. Wednesday, July 7, 2021, from 1:30 p.m. advice and recommendations to the The AP will be presented with a draft to 4 p.m. ET, and an opportunity for Director regarding the relationship of of Coastal Migratory Pelagics public comment will be provided ONMS with the business community. Amendment 33: Modifications to the around 3:30 p.m. ET. Both times and Additional information on the council Gulf of Mexico Migratory Group King agenda topics are subject to change. can be found at https:// sanctuaries.noaa.gov/management/bac/ Mackerel Catch Limits and Sector ADDRESSES: The meeting will be held Allocations. The AP will then provide virtually using Google Meet. To . Matters to be discussed: The meeting recommendations. participate, please use the website will include updates from ONMS, a The AP will receive public comment; provided below. If you are unable to presentation from a sanctuary site, and and, discuss any Other Business items. participate online, you can also connect updates from all working groups. For a —Meeting Adjourns to the public meeting using the phone complete agenda, including times and number provided. The meeting will be held via webinar. topics, please visit http:// You may register for the webinar by Website: meet.google.com/sag-dmgx-gyj sanctuaries.noaa.gov/management/bac/ visiting www.gulfcouncil.org and Phone: +1 (650) 449–9427, PIN: 327 074 meetings.html. clicking on the Mackerel Advisory Panel 887. Authority: 16 U.S.C. Sections 1431, et seq. meeting on the calendar. Instructions: To provide a public The Agenda is subject to change, and comment during the virtual meeting, John Armor, the latest version along with other please sign up in advance by contacting Director, Office of National Marine meeting materials will be posted on Katie Denman by phone (240–533–0702) Sanctuaries, National Ocean Service, www.gulfcouncil.org as they become or email ([email protected]). National Oceanic and Atmospheric available. Please note, no public comments will be Administration. Although other non-emergency issues recorded. Public comments, including [FR Doc. 2021–13756 Filed 6–25–21; 8:45 am] not on the agenda may come before the any associated names, will be captured BILLING CODE 3510–NK–P Advisory Panel for discussion, in in the minutes of the meeting, will be accordance with the Magnuson-Stevens maintained by the Office of National Fishery Conservation and Management Marine Sanctuaries (ONMS) as part of COMMODITY FUTURES TRADING Act, those issues may not be the subject its administrative record, and may be COMMISSION of formal action during this meeting. subject to release pursuant to the Actions of the Advisory Panel will be Freedom of Information Act. By signing Market Risk Advisory Committee restricted to those issues specifically up to provide a public comment, you AGENCY: Commodity Futures Trading identified in the agenda and any issues agree that these communications, Commission. arising after publication of this notice including your name and comment, will ACTION: Notice of meeting. that require emergency action under be maintained as described here. section 305(c) of the Magnuson-Stevens FOR FURTHER INFORMATION CONTACT: SUMMARY: The Commodity Futures Fishery Conservation and Management Katie Denman, Office of National Trading Commission (CFTC) announces Act, provided the public has been Marine Sanctuaries, 1305 East West that on July 13, 2021, from 9:30 a.m. to notified of the Council’s intent to take- Highway, Silver Spring, Maryland 12:00 p.m. (Eastern Daylight Time), the action to address the emergency. 20910 (Phone: 240–533–0702; Email: Market Risk Advisory Committee Dated: June 23, 2021. [email protected]). (MRAC) will hold a public meeting via Tracey L. Thompson, SUPPLEMENTARY INFORMATION: teleconference. At this meeting, the Acting Deputy Director, Office of Sustainable MRAC will receive reports from its CCP Fisheries, National Marine Fisheries Service. Background Risk and Governance and Interest Rate [FR Doc. 2021–13730 Filed 6–25–21; 8:45 am] ONMS serves as the trustee for a Benchmark Reform Subcommittees. In BILLING CODE 3510–22–P network of underwater parks addition, the MRAC will vote on encompassing more than 620,000 square recommendations from the Interest Rate miles of marine and Great Lakes waters Benchmark Reform Subcommittee DEPARTMENT OF COMMERCE from Washington State to the Florida regarding a market best practice for Keys, and from Lake Huron to American switching interdealer trading National Oceanic and Atmospheric Samoa. The network includes a system conventions from LIBOR to the Secured Administration of 14 national marine sanctuaries and Overnight Financing Rate for U.S. Dollar Papaha¯naumokua¯kea and Rose Atoll linear interest rate swaps. Sanctuary System Business Advisory marine national monuments. National DATES: The meeting will be held on July Council: Public Meeting marine sanctuaries protect our Nation’s 13, 2021, from 9:30 a.m. to 12:00 p.m. AGENCY: Office of National Marine most vital coastal and marine natural (Eastern Daylight Time). Please note that Sanctuaries (ONMS), National Ocean and cultural resources, and through the teleconference may end early if the Service (NOS), National Oceanic and active research, management, and MRAC has completed its business. Atmospheric Administration (NOAA), public engagement, sustain healthy Members of the public who wish to Department of Commerce (DOC). environments that are the foundation for submit written statements in connection thriving communities and stable with the meeting should submit them by ACTION: Notice of open public meeting. economies. July 20, 2021.
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ADDRESSES: The meeting will be held CONSUMER PRODUCT SAFETY Thurmond National Defense via teleconference. You may submit COMMISSION Authorization Act for Fiscal Year 1999 public comments, identified by ‘‘Market (Pub. L. 105–261). Risk Advisory Committee,’’ through the Sunshine Act Meeting Notice There are currently no entities CFTC website at https:// designated as Communist Chinese TIME AND DATE: Wednesday, June 30, military companies under this authority. comments.cftc.gov. Follow the 2021—10:00 a.m. instructions for submitting comments Dated: June 23, 2021. PLACE: This meeting will be conducted through the Comments Online process by remote means. Aaron T. Siegel, on the website. If you are unable to Alternate OSD Federal Register Liaison STATUS: Commission Meeting—Closed submit comments online, contact Alicia Officer, Department of Defense. to the Public. L. Lewis, Designated Federal Officer, via [FR Doc. 2021–13755 Filed 6–25–21; 8:45 am] MATTERS TO BE CONSIDERED: Decisional the contact information listed below to BILLING CODE 5001–06–P discuss alternate means of submitting Matter. your comments. Any statements CONTACT PERSON FOR MORE INFORMATION: submitted in connection with the Alberta E. Mills, Secretary, Division of DEPARTMENT OF DEFENSE committee meeting will be made the Secretariat, Office of the General Office of the Secretary available to the public, including Counsel, U.S. Consumer Product Safety Commission, 4330 East West Highway, publication on the CFTC website, Bethesda, MD 20814, (301) 504–7479 Notice of Designation of Chinese https://www.cftc.gov. (Office) or 240–863–8938 (cell). Military Companies Under the William M. (Mac) Thornberry NDAA for FY21 FOR FURTHER INFORMATION CONTACT: Dated: June 23, 2021. Alicia L. Lewis, MRAC Designated Alberta E. Mills, AGENCY: Office of the Under Secretary of Federal Officer, Commodity Futures Secretary. Defense (Acquisition and Sustainment), Trading Commission, Three Lafayette [FR Doc. 2021–13797 Filed 6–24–21; 4:15 pm] Department of Defense. Centre, 1155 21st Street NW, BILLING CODE 6355–01–P ACTION: Notice of Chinese military Washington, DC 20581; (202) 418–5862. companies.
SUPPLEMENTARY INFORMATION: The SUMMARY: The Secretary of Defense has meeting will be open to the public. DEPARTMENT OF DEFENSE determined that the entities listed in the Members of the public may listen to the SUPPLEMENTARY INFORMATION section of Office of the Secretary meeting by telephone by calling a this notice qualify as ‘‘Chinese military domestic toll-free telephone or Notice of the Removal of the companies’’ in accordance with the international toll or toll-free number to Designation as Communist Chinese William M. (Mac) Thornberry National connect to a live, listen-only audio feed. Military Companies Under the Strom Defense Authorization Act (NDAA) for Call-in participants should be prepared Thurmond NDAA for FY99 Fiscal Year 2021 (FY21). to provide their first name, last name, FOR FURTHER INFORMATION CONTACT: and affiliation. AGENCY: Office of the Under Secretary of Jesse Salazar, (703) 697–0051. Defense (Acquisition and Sustainment), Domestic Toll Free: 1–877–951–7311. SUPPLEMENTARY INFORMATION: Section Department of Defense. International Toll and Toll Free: Will 1260H of the William M. (Mac) ACTION: Notice of Chinese military Thornberry NDAA for FY21 (Pub. L. be posted on the CFTC’s website, companies. 116–283) directs the Secretary of https://www.cftc.gov, on the page for the Defense to continue to list ‘‘Chinese meeting, under Related Links. SUMMARY: The Secretary of Defense has removed the designation of ‘‘Communist military companies’’ (CMCs) annually Pass Code/Pin Code: 2513365. Chinese military companies’’ from until December 31, 2030. Paragraph The meeting agenda may change to entities previously listed as such in (a)(2) of this section directs the accommodate other MRAC priorities. accordance with the Strom Thurmond Secretary of Defense to publish the For agenda updates, please visit the National Defense Authorization Act unclassified portion of such list in the MRAC committee site at: https:// (NDAA) for Fiscal Year (FY) 1999. There Federal Register. The Secretary of Defense has www.cftc.gov/About/CFTCCommittees/ are currently no entities designated as determined that the following entities MarketRiskAdvisoryCommittee/mrac_ Communist Chinese military companies qualify as ‘‘Chinese military companies’’ meetings.html. under this authority. in accordance with Section 1260H of the All written submissions provided to FOR FURTHER INFORMATION CONTACT: William M. (Mac) Thornberry NDAA for the CFTC in any form will also be Jesse Salazar, (703) 697–0051. FY21 (Pub. L. 116–283): published on the CFTC’s website. SUPPLEMENTARY INFORMATION: Section Aerospace CH UA V Co., Ltd Persons requiring special 1237(b) of the Strom Thurmond NDAA Aerosun Corporation accommodations to attend the meeting for FY 1999 (Pub. L. 105–261), as Aviation Industry Corporation of China, because of a disability should notify the amended, directs the Secretary of Ltd. (AVIC) contact person above. Defense to determine those persons AVIC Aviation High-Technology operating directly or indirectly in the Company Limited (Authority: 5 U.S.C. app. 2 section 10(a)(2).) United States or any of its territories and AVIC Heavy Machinery Company Dated: June 23, 2021. possessions that are ‘‘Communist Limited Robert Sidman, Chinese military companies’’ (CCMCs). AVIC Jonhon Optronic Technology Co., The Secretary of Defense has removed Deputy Secretary of the Commission. Ltd. the designation of ‘‘Communist Chinese AVIC Shenyang Aircraft Company [FR Doc. 2021–13692 Filed 6–25–21; 8:45 am] military companies’’ from entities Limited BILLING CODE 6351–01–P previously listed as such in accordance AVIC Xi’an Aircraft Industry Group with Section 1237 of the Strom Company Ltd.
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China Aerospace Science and Industry Dated: June 23, 2021. education and the certification and Corporation Limited (CASIC) Aaron T. Siegel, eligibility of such institutions, and (2) China Communications Construction Alternate OSD Federal Register Liaison State licensing responsibilities with Company Limited (CCCC) Officer, Department of Defense. respect to such institutions. China Communications Construction [FR Doc. 2021–13753 Filed 6–25–21; 8:45 am] • Any other advisory function Group (Limited) (CCCG) BILLING CODE 5001–06–P relating to accreditation and China Electronics Corporation (CEC) institutional eligibility that the China Electronics Technology Group Secretary of Education may prescribe by Corporation (CETC) DEPARTMENT OF EDUCATION regulation. China General Nuclear Power You may register for the meeting on Corporation (CGN) Notice of Meeting; National Advisory your computer with each day’s China Marine Information Electronics Committee on Institutional Quality and designated entry link, after which you Company Limited Integrity will receive a confirmation email containing personalized dial-in details, China Mobile Communications Group AGENCY: National Advisory Committee access code, and meeting web link. You Co., Ltd. on Institutional Quality and Integrity must register for each day that you plan China Mobile Limited (NACIQI), Office of Postsecondary to attend. China National Nuclear Corporation Education, U.S. Department of (CNNC) Education. Tuesday, July 27, 2021 China National Offshore Oil Corporation ACTION: Announcement of meeting. You must pre-register at https:// (CNOOC) ems8.intellor.com? SUMMARY: This notice sets forth the China North Industries Group do=register&t=1&p=838951 to receive a agenda, time, and instructions to access Corporation Limited (Norinco Group) join link, dial-in number, access code, or participate in the July 27–29, 2021 China Railway Construction and unique Attendee ID for the event. virtual meeting of the National Advisory Corporation Limited (CRCC) Committee on Institutional Quality and Wednesday, July 28, 2021 China South Industries Group Integrity (NACIQI) and provides Corporation (CSGC) You must pre-register at https:// information to members of the public China SpaceSat Co., Ltd. ems8.intellor.com?do= regarding the meeting, including register&t=1&p=838952 to receive a join China State Shipbuilding Corporation requesting to make oral comments. The Limited (CSSC) link, dial-in number, access code, and notice of this meeting is required under unique Attendee ID for the event. China Telecom Corporation Limited section 10(a)(2) of the Federal Advisory China Telecommunications Corporation Committee Act (FACA) and section Thursday, July 29, 2021 China Unicom (Hong Kong) Limited 114(d)(1)(B) of the Higher Education Act You must pre-register at https:// China United Network Communications (HEA) of 1965, as amended. ems8.intellor.com?do=register Group Co., Ltd. (China Unicom) DATES: The virtual NACIQI meeting will &t=1&p=838953 to receive a join link, CNOOC Limited be held on July 27–29, 2021, from 9:00 dial-in number, access code, and unique Costar Group Co., Ltd. a.m. to 5:00 p.m. Eastern Standard Time Attendee ID for the event. Fujian Torch Electron Technology Co., each day. Meeting Agenda Ltd. FOR FURTHER INFORMATION CONTACT: Hangzhou Hikvision Digital Technology George Alan Smith, Executive Director/ Please note that the review of the Co., Ltd. (Hikvision) Designated Federal Official, NACIQI, Accreditation Council for Independent Huawei Investment & Holding Co., Ltd. U.S. Department of Education, 400 Colleges and School’s (ACICS) petition Huawei Technologies Co., Ltd. Maryland Avenue SW, Room 2C–159, for renewal of recognition has been Inner Mongolia First Machinery Group Washington, DC 20202, telephone: (202) removed from the July 2021 NACIQI Co., Ltd. 453–7757, or email: meeting agenda. Inspur Group Co., Ltd. [email protected]. Agenda items for the July 27–29, Jiangxi Hongdu Aviation Industry Co., SUPPLEMENTARY INFORMATION: NACIQI’s 2021, meeting are listed below. Ltd. Statutory Authority and Function: Application for Renewal of Recognition Semiconductor Manufacturing NACIQI is established under section 114 1. Accreditation Commission for International (Beijing) Corporation of the HEA. NACIQI advises the Acupuncture and Oriental Medicine. Semiconductor Manufacturing Secretary of Education with respect to: • The establishment and enforcement Scope of recognition: The accreditation International (Shenzhen) Corporation and pre-accreditation (‘‘Candidacy’’) Semiconductor Manufacturing of the standards of accrediting agencies or associations under subpart 2, part H, throughout the United States of International (Tianjin) Corporation professional non-degree and graduate Semiconductor Manufacturing Title IV of the HEA, as amended. • The recognition of specific degree programs, including professional International Corporation (SMIC) accrediting agencies or associations. doctoral programs, in the field of Semiconductor Manufacturing South • The preparation and publication of acupuncture and/or Oriental medicine, China Corporation the list of nationally recognized as well as freestanding institutions and SMIC Holdings Limited accrediting agencies and associations. colleges of acupuncture and/or Oriental SMIC Hong Kong International • The eligibility and certification medicine that offer such programs. Company Limited process for institutions of higher 2. Accrediting Bureau of Health SMIC Northern Integrated Circuit education under Title IV of the HEA and Education Schools. Scope of Manufacturing (Beijing) Co., Ltd part C, subchapter I, chapter 34, Title recognition: The accreditation of SMIC Semiconductor Manufacturing 42, together with recommendations for private, postsecondary institutions in (Shanghai) Co., Ltd improvement in such process. the United States offering Zhonghang Electronic Measuring • The relationship between (1) predominantly allied health education Instruments Company Limited accreditation of institutions of higher programs leading to a certificate,
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diploma, and degrees at the level of the counseling, school and combined Opportunity to submit a written Associate of Applied Science, Associate professional-scientific psychology; statement regarding a specific of Occupational Science, Academic doctoral internship programs in health accrediting agency under review was Associate, Baccalaureate and Master’s; service psychology; and postdoctoral solicited by a previous Federal Register and the programmatic accreditation of residency programs in health service notice published on August 12, 2020 (85 medical assisting, medical laboratory psychology; and the pre-accreditation in FR 48679; Document Number 2020– technology, and surgical technology the United States of doctoral internship 17634). The period for submission of programs, through the Associate degree, programs in health service psychology; such statements is now closed. including those offered via distance and postdoctoral residency programs in Additional written comments education. The scope extends to the health service psychology. regarding a specific agency or state Substantive Change Committee, jointly 8. American Osteopathic Association, approval agency under review will not with the Commission, for decisions on Commission on Osteopathic College be accepted at this time. However, substantive change. Accreditation. Scope of recognition: The members of the public may submit 3. Commission on Accrediting of the accreditation and pre-accreditation written statements regarding other Association of Theological Schools. (‘‘Provisional Accreditation’’) issues within the scope of NACIQI’s Scope of recognition: The accreditation throughout the United States of authority for consideration by NACIQI of theological schools and seminaries, as freestanding institutions of osteopathic in the manner described below. well as schools or programs that are medicine and programs leading to the Oral comments may not exceed three parts of colleges or universities, in the degree of Doctor of Osteopathy or minutes. Oral comments about an United States, offering post Doctor of Osteopathic Medicine. agency’s recognition when a compliance baccalaureate degrees in professional 9. Transnational Association of report has been required by the senior and academic theological education, Christian Colleges and Schools, Department official or the Secretary including delivery via distance Accreditation Commission. Scope of must relate to the criteria for recognition education. recognition: The accreditation and pre- cited in the senior Department official’s 4. Accrediting Commission of Career accreditation (‘‘Candidate’’ status) of letter that requested the report, or in the Schools and Colleges. Scope of Christian postsecondary institutions in Secretary’s appeal decision, if any. Oral recognition: The accreditation of the United States that offer certificates, comments about an agency seeking postsecondary, non-degree-granting diplomas, and associate, baccalaureate, expansion of scope must be directed to institutions and degree-granting and graduate degrees, including the agency’s ability to serve as a institutions in the United States, institutions that offer distance recognized accrediting agency with including those granting associate, education. respect to the kinds of institutions or baccalaureate and master’s degrees, that programs requested to be added. Oral are predominantly organized to educate Administration Policy Update comments about the renewal of an students for occupational, trade and Dr. Michelle Asha Cooper, Acting agency’s recognition must relate to its technical careers, and including Assistant Secretary for the Office of compliance with the Criteria for the institutions that offer programs via Postsecondary Education, will discuss Recognition of Accrediting Agencies, distance education. the Administration’s higher education which are available at http:// 5. Council on Occupational policy priorities. www.ed.gov/admins/finaid/accred/ Education. Scope of recognition: The index.html. Written statements and oral accreditation and pre-accreditation Accreditor Dashboards comments concerning NACIQI’s work (‘‘Candidacy Status’’) throughout the Brian Fu, Program and Management outside of a specific accrediting agency United States of postsecondary Analyst, Office of Planning, Evaluation, under review must be limited to the occupational education institutions and Policy Development (OPEPD), will scope of NACIQI’s authority as outlined offering non-degree and applied provide a training on the use of the under section 114 of the HEA. associate degree programs in specific accreditor dashboards, with time for To request to make a third-party oral career and technical education fields, questions and discussion among comment of three minutes or less during including institutions that offer NACIQI members. the July 27–29, 2021 meeting, please programs via distance education. follow either Method One or Method 6. American Bar Association, Council NACIQI Policy Discussion Two below. To submit a written of the Section of Legal Education and In addition to its review of accrediting statement to NACIQI concerning its Admissions to the Bar. Scope of agencies and State approval agencies for work outside a specific accrediting recognition: The accreditation Secretarial recognition, the meeting agency under review, please follow throughout the United States of agenda will include additional time for Method One. programs in legal education that lead to Committee discussions regarding any of Method One: Submit a request by the first professional degree in law, the categories within NACIQI’s statutory email to the ThirdPartyComments@ including those offered via distance authority in its capacity as an advisory ed.gov mailbox. Please do not send education, as well as freestanding law committee. material directly to NACIQI members. schools offering such programs. The Written statements to NACIQI scope extends to the Accreditation Subcommittee on Student Success concerning its work outside a specific Committee of the Section of Legal The subcommittee will provide a accrediting agency under review and Education (Accreditation Committee) report on its work that focuses on 34 requests to make oral comment must be for decisions involving continued CFR 602.16(a)(1)(i), accreditation and received by July 9, 2021 and include the accreditation (referred to by the agency pre-accreditation standards. subject line ‘‘Oral Comment Request: as ‘‘approval’’) of law schools. Submission of requests to make an (agency name),’’ ‘‘Oral Comment 7. American Psychological oral comment regarding a specific Request: (subject)’’ or ‘‘Written Association, Commission on accrediting agency under review, or to Statement: (subject).’’ The email must Accreditation. Scope of recognition: The make an oral comment or written include the name(s), title, organization/ accreditation in the United States of statement regarding other issues within affiliation, mailing address, email doctoral programs in clinical, the scope of NACIQI’s authority: address, and telephone number, of the
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person(s) submitting a written statement available via the Federal Digital System functions of the agency, including or requesting to speak. All individuals at: www.gpo.gov/fdsys. At this site you whether the information shall have submitting an advance request in can view this document, as well as all practical utility; (b) the accuracy of the accordance with this notice will be other documents of this Department agency’s estimate of the burden of the afforded an opportunity to speak. published in the Federal Register, in proposed collection of information, Method Two (Only available to those text or Adobe Portable Document including the validity of the seeking to make oral comments): Format (PDF). To use PDF, you must methodology and assumptions used; (c) Register on July 27, 2021, from 7:45 have Adobe Acrobat Reader, which is ways to enhance the quality, utility, and a.m.–8:45 a.m. Eastern Standard Time, available free at the site. You also may clarity of the information to be to make an oral comment during access documents of the Department collected; and (d) ways to minimize the NACIQI’s deliberations, using the published in the Federal Register by burden of the collection of information designated entry link for Tuesday, July using the article search feature at: on respondents, including through the 27, 2021 listed earlier in this notice. The www.federalregister.gov. Specifically, use of automated collection techniques requestor must provide the subject on through the advanced search feature at or other forms of information which he or she wishes to comment, in this site, you can limit your search to technology. addition to his or her name, title, documents published by the This information collection request organization/affiliation, mailing Department. contains: address, email address, and telephone (Authority: 20 U.S.C. 1011c.) (1) OMB No.: New; number. A total of up to fifteen minutes (2) Information Collection Request for each agenda item will be allotted for Annmarie Weisman, Title: Aircraft Services—Flight Request; oral commenters who register on July Deputy Assistant Secretary for Policy, (3) Type of Request: New; 27, 2021 by 8:45 a.m. Eastern Standard Planning and Innovation, Office of (4) Purpose: This information Time. Individuals will be selected on a Postsecondary Education. collection is associated with BPA’s first-come, first-served basis. If selected, [FR Doc. 2021–13758 Filed 6–25–21; 8:45 am] management and oversight of personnel each commenter will speak on the BILLING CODE P flying on BPA planes and helicopters. actual day and at the actual time the Employees, non-employees, contractors, topic for which he or she wishes to and the general public complete the comment is being discussed; and his or DEPARTMENT OF ENERGY following form: BPA F 4450.01e Flight her comments may not exceed three Request; minutes. Proposed Agency Information (5) Estimated Number of Access to Records of the Meeting: The Collection: Aircraft Services—Flight Respondents: 3,380; Department will post the official report Request (6) Annual Estimated Number of of the meeting on the NACIQI website Respondents: 3,380; within 90 days after the meeting. In AGENCY: Bonneville Power (7) Annual Estimated Number of addition, pursuant to the FACA, the Administration, Department of Energy. Burden Hours: 338; public may request to inspect records of ACTION: Notice of information collection; (8) Annual Estimated Reporting and the meeting at 400 Maryland Avenue request for comments. Recordkeeping Cost Burden: 0. SW, Washington, DC, by emailing Statutory Authority: 42 U.S.C. 7101, et SUMMARY: The Department of Energy [email protected] or by calling seq., 41 CFR 301–70.905, 14 CFR (DOE), Bonneville Power (202) 453–7415 to schedule an 91.103, 14 CFR 91.1027(c)(1–4). appointment. Senior Department Administration (BPA), invites public Signing Authority: This document of official’s (as defined in 34 CFR 602.3) comment on a collection of information the Department of Energy was signed on decisions pursuant to 34 CFR 602.36 that BPA is developing for submission June 11, 2021, by Candice D. Palen, associated with all NACIQI Meetings to the Office of Management and Budget Information Collection Clearance can be found at the following website: (OMB) pursuant to the Paperwork Manager, Bonneville Power https://surveys.ope.ed.gov/erecognition/ Reduction Act of 1995. Administration, pursuant to delegated PublicDocuments. DATES: Comments regarding this authority from the Secretary of Energy. Reasonable Accommodations: The proposed information collection must That document with the original meeting dial-in information and be received on or before September 1, signature and date is maintained by weblink are accessible to individuals 2021. DOE. For administrative purposes only, with disabilities. If you will need an ADDRESSES: Written comments may be and in compliance with requirements of auxiliary aid or service to participate in sent to Bonneville Power the Office of the Federal Register, the the meeting (e.g., interpreting service, Administration, Attn: Theodore undersigned DOE Federal Register assistive listening device, or materials in Rydmark, Privacy Program, CGI–7, P.O. Liaison Officer has been authorized to an alternate format), notify the contact Box 3621, Portland, OR 97208–3621, or sign and submit the document in person listed in this notice at least two by email at [email protected]. electronic format for publication, as an weeks before the scheduled meeting official document of the Department of date. Although we will attempt to meet FOR FURTHER INFORMATION CONTACT: Requests for additional information or Energy. This administrative process in a request received after that date, we no way alters the legal effect of this may not be able to make available the copies of the information collection instrument and instructions should be document upon publication in the requested auxiliary aid or service Federal Register. because of insufficient time to arrange directed to Attn: Theodore Rydmark, it. Privacy Program, by email at privacy@ Signed in Washington, DC, on June 22, Electronic Access to This Document: bpa.gov, or by telephone at (503) 230– 2021. The official version of this document is 5253. Treena V. Garrett, the document published in the Federal SUPPLEMENTARY INFORMATION: Comments Federal Register Liaison Officer, U.S. Register. Free internet access to the are invited on: (a) Whether the proposed Department of Energy. official edition of the Federal Register collection of information is necessary [FR Doc. 2021–13641 Filed 6–25–21; 8:45 am] and the Code of Federal Regulations is for the proper performance of the BILLING CODE 6450–01–P
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DEPARTMENT OF ENERGY associated with, but not a part of, the Exempt off-the-record decisional record of the proceeding. communications are included in the Federal Energy Regulatory Unless the Commission determines that decisional record of the proceeding, Commission the prohibited communication and any unless the communication was with a [Docket No. RM98–1–000] responses thereto should become a part cooperating agency as described by 40 of the decisional record, the prohibited CFR 1501.6, made under 18 CFR Records Governing Off-the-Record off-the-record communication will not 385.2201(e)(1) (v). Communications; Public Notice be considered by the Commission in The following is a list of off-the- This constitutes notice, in accordance reaching its decision. Parties to a record communications recently with 18 CFR 385.2201(b), of the receipt proceeding may seek the opportunity to received by the Secretary of the of prohibited and exempt off-the-record respond to any facts or contentions Commission. The communications communications. made in a prohibited off-the-record listed are grouped by docket numbers in Order No. 607 (64 FR 51222, communication and may request that ascending order. These filings are September 22, 1999) requires the Commission place the prohibited available for electronic review at the Commission decisional employees, who communication and responses thereto Commission in the Public Reference make or receive a prohibited or exempt in the decisional record. The Room or may be viewed on the off-the-record communication relevant Commission will grant such a request Commission’s website at http:// to the merits of a contested proceeding, only when it determines that fairness so www.ferc.gov using the eLibrary link. to deliver to the Secretary of the requires. Any person identified below as Enter the docket number, excluding the Commission, a copy of the having made a prohibited off-the-record last three digits, in the docket number communication, if written, or a communication shall serve the field to access the document. For summary of the substance of any oral document on all parties listed on the assistance, please contact FERC Online communication. official service list for the applicable Support at FERCOnlineSupport@ Prohibited communications are proceeding in accordance with Rule ferc.gov or toll free at (866) 208–3676, or included in a public, non-decisional file 2010, 18 CFR 385.2010. for TTY, contact (202) 502–8659.
Docket Nos. File date Presenter or requester
Prohibited
1. P–1494–438 ...... 6–11–2021 FERC Staff.1 2. CP16–9–012 ...... 6–16–2021 FERC Staff.2 3. CP16–9–012 ...... 6–17–2021 FERC Staff.3 4. CP16–9–012 ...... 6–17–2021 FERC Staff.4 5. P–1494–438 ...... 6–21–2021 FERC Staff.5 6. CP16–9–012 ...... 6–21–2021 FERC Staff.6 7. CP16–9–012 ...... 6–21–2021 FERC Staff.7 8. P–405–106 ...... 6–21–2021 FERC Staff.8 9. P–1494–438 ...... 6–21–2021 FERC Staff.9
Exempt
None. 1 Emailed comments dated 6/10/2021 from Jennifer Martinez. 2 Emailed comments dated 6/16/2021 from Andrea Honore. 3 Emailed comments dated 6/16/2021 from Kevin Lowney and 5 other individuals. 4 Emailed comments dated 6/17/2021 from Ellen Van Bever and 2 other individuals. 5 Emailed comments dated 6/19/2021 from Nate Buckhout. 6 Emailed comments dated 6/17/2021 from Rosemary Wesel and 1 other individual. 7 Emailed comments dated 6/18/2021 from Stephanie Hamilton. 8 Emailed comments dated 6/19/2021 from Alex Balboa. 9 Emailed comments dated 6/20/2021 from Brian Reynolds.
Dated: June 22, 2021. Docket Numbers: EG21–171–000. Filed Date: 6/21/21. Debbie-Anne A. Reese, Applicants: ES 1A Group 2 Opco, Accession Number: 20210621–5088. Deputy Secretary. LLC. Comments Due: 5 p.m. ET 7/12/21. Description: Notice of Self- [FR Doc. 2021–13748 Filed 6–25–21; 8:45 am] Docket Numbers: EG21–173–000. Certification of Exempt Wholesale BILLING CODE 6717–01–P Applicants: ES 1A Group 3 Opco, Generator Status of ES 1A Group 2 LLC. Opco, LLC. Description: Notice of Self- DEPARTMENT OF ENERGY Filed Date: 6/21/21. Accession Number: 20210621–5087. Certification of Exempt Wholesale Comments Due: 5 p.m. ET 7/12/21. Generator Status of ES 1A Group 3 Federal Energy Regulatory Opco, LLC. Docket Numbers: EG21–172–000. Commission Filed Date: 6/21/21. Applicants: Edwards Sanborn Storage Combined Notice of Filings #1 I, LLC. Accession Number: 20210621–5090. Description: Notice of Self- Comments Due: 5 p.m. ET 7/12/21. Take notice that the Commission Certification of Exempt Wholesale Docket Numbers: EG21–174–000. received the following exempt Generator Status of Edwards Sanborn Applicants: Edwards Solar Line I, wholesale generator filings: Storage I, LLC. LLC.
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Description: Notice of Self- Docket Numbers: ER13–1667–005. Description: § 205(d) Rate Filing: Certification of Exempt Wholesale Applicants: Battery Utility of Ohio, Amended and Restated Facilities Use Generator Status of Edwards Solar Line LLC. Agreements to be effective 6/23/2021. I, LLC. Description: Response to May 27, Filed Date: 6/22/21. Filed Date: 6/21/21. 2021 Deficiency Letter of Battery Utility Accession Number: 20210622–5023. Accession Number: 20210621–5093. of Ohio, LLC. Comments Due: 5 p.m. ET 7/13/21. Comments Due: 5 p.m. ET 7/12/21. Filed Date: 6/21/21. Docket Numbers: ER21–2173–000. Docket Numbers: EG21–175–000. Accession Number: 20210621–5156. Applicants: Midcontinent Applicants: Prairie Wolf Solar, LLC. Comments Due: 5 p.m. ET 7/12/21. Independent System Operator, Inc. Description: Notice of Self- Docket Numbers: ER21–223–002. Description: § 205(d) Rate Filing: Certification of Exempt Wholesale Applicants: Union Electric Company. 2021–06–22_Att X GIP and GIA Option Generator Status of Prairie Wolf Solar, Description: Tariff Amendment: to Build Filing to be effective 8/22/2021. LLC. Amendment to Rate Schedule No. 22 to Filed Date: 6/22/21. Filed Date: 6/21/21. be effective 12/29/2020. Accession Number: 20210622–5030. Accession Number: 20210621–5094. Filed Date: 6/22/21. Comments Due: 5 p.m. ET 7/13/21. Comments Due: 5 p.m. ET 7/12/21. Accession Number: 20210622–5036. Docket Numbers: ER21–2174–000. Docket Numbers: EG21–176–000. Comments Due: 5 p.m. ET 7/13/21. Applicants: Edwards Solar Line I, Applicants: Daylight I, LLC. Docket Numbers: ER21–1510–001. LLC. Description: Notice of Self- Applicants: Midcontinent Description: § 205(d) Rate Filing: Certification of Exempt Wholesale Independent System Operator, Inc., Big Certificates of Concurrence for Generator Status of Daylight I, LLC. Rivers Electric Corporation. Amended and Restated Facilities Use Filed Date: 6/21/21. Description: Tariff Amendment: Agreements to be effective 6/23/2021. Accession Number: 20210621–5095. 2021–06–21_BREC Deficiency Response Filed Date: 6/22/21. Comments Due: 5 p.m. ET 7/12/21. re Attachment O Filing to be effective 6/ Accession Number: 20210622–5031. Comments Due: 5 p.m. ET 7/13/21. Docket Numbers: EG21–177–000. 1/2021. Applicants: Sanborn Solar Line I, Filed Date: 6/21/21. Docket Numbers: ER21–2175–000. LLC. Accession Number: 20210621–5026. Applicants: PJM Interconnection, Description: Notice of Self- Comments Due: 5 p.m. ET 7/12/21. L.L.C. Certification of Exempt Wholesale Docket Numbers: ER21–1637–001. Description: § 205(d) Rate Filing: Generator Status of Sanborn Solar Line Applicants: ISO New England Inc. Original WMPA, Service Agreement No. I, LLC. Description: Compliance filing: ISO– 6099; Queue No. AG1–063 to be Filed Date: 6/21/21. NE; Compliance Filing to Conform effective 6/17/2021. Accession Number: 20210621–5097. Tariff to Commission Acceptance of Filed Date: 6/22/21. Comments Due: 5 p.m. ET 7/12/21. ORTP to be effective 6/8/2021. Accession Number: 20210622–5033. Comments Due: 5 p.m. ET 7/13/21. Docket Numbers: EG21–178–000. Filed Date: 6/22/21. Docket Numbers: ER21–2176–000. Applicants: Edwards Sanborn Storage Accession Number: 20210622–5027. Applicants: Southwest Power Pool, II, LLC. Comments Due: 5 p.m. ET 7/13/21. Inc. Description: Notice of Self- Docket Numbers: ER21–2169–000. Description: § 205(d) Rate Filing: Certification of Exempt Wholesale Applicants: Entergy Arkansas, LLC. Tariff Clean-Up Filing Effective Generator Status of Edwards Sanborn Description: § 205(d) Rate Filing: 20210805 to be effective 8/5/2021. Storage II, LLC. EAL–MSS–4 Replacement Tariff- Filed Date: 6/22/21. Filed Date: 6/21/21. Opinion 575 compliance filing to be Accession Number: 20210622–5034. Accession Number: 20210621–5098. effective 11/30/2018. Comments Due: 5 p.m. ET 7/13/21. Comments Due: 5 p.m. ET 7/12/21. Filed Date: 6/21/21. Accession Number: 20210621–5099. Docket Numbers: ER21–2177–000. Take notice that the Commission Applicants: Sanborn Solar Line I, Comments Due: 5 p.m. ET 7/12/21. received the following electric rate LLC. filings: Docket Numbers: ER21–2170–000. Description: § 205(d) Rate Filing: Docket Numbers: ER10–2564–011; Applicants: PJM Interconnection, Certificate of Concurrence for Amended ER10–2600–011; ER10–2289–011. L.L.C. and Restated Facilities Use Agreement Applicants: Tucson Electric Power Description: § 205(d) Rate Filing: to be effective 6/23/2021. Company, UNS Electric, Inc., UniSource Amendment to Service Agreement No. Filed Date: 6/22/21. Energy Development Company. 5498; Queue No. AE1–074 to be Accession Number: 20210622–5043. Description: Notice of Non-Material effective 10/14/2019. Comments Due: 5 p.m. ET 7/13/21. Change in Status of Tucson Electric Filed Date: 6/22/21. Docket Numbers: ER21–2178–000. Power Company, et al. Accession Number: 20210622–5018. Applicants: Sanborn Solar Line I, Filed Date: 6/21/21. Comments Due: 5 p.m. ET 7/13/21. LLC. Accession Number: 20210621–5165. Docket Numbers: ER21–2171–000. Description: Tariff Cancellation: Comments Due: 5 p.m. ET 7/12/21. Applicants: York Generation Notice of Cancellation of Certificate of Docket Numbers: ER13–1508–007. Company LLC. Concurrence to be effective 6/23/2021. Applicants: Entergy Arkansas, Inc. Description: Tariff Cancellation: Filed Date: 6/22/21. Description: Compliance filing: EAI Notice of Cancellation to be effective 9/ Accession Number: 20210622–5044. MSS–4 Replacement Tariff—Opinion 20/2021. Comments Due: 5 p.m. ET 7/13/21. 575 compliance filing to be effective 12/ Filed Date: 6/22/21. Docket Numbers: ER21–2179–000. 19/2013. Accession Number: 20210622–5022. Applicants: Oliver Wind I, LLC. Filed Date: 6/22/21. Comments Due: 5 p.m. ET 7/13/21. Description: Baseline eTariff Filing: Accession Number: 20210622–5000. Docket Numbers: ER21–2172–000. Reactive Power Compensation Filing to Comments Due: 5 p.m. ET 7/13/21. Applicants: Daylight I, LLC. be effective 7/31/2021.
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Filed Date: 6/22/21. docs-filing/efiling/filing-req.pdf. For DEPARTMENT OF ENERGY Accession Number: 20210622–5045. other information, call (866) 208–3676 Comments Due: 5 p.m. ET 7/13/21. (toll free). For TTY, call (202) 502–8659. Federal Energy Regulatory Commission Docket Numbers: ER21–2180–000. Debbie-Anne A. Reese, Applicants: Antelope Expansion 1B, Deputy Secretary. [Docket Nos. CP21–462–000; CP21–464– LLC. 000] Description: § 205(d) Rate Filing: [FR Doc. 2021–13749 Filed 6–25–21; 8:45 am] Antelope Expansion 1B, LLC LGIA Co- BILLING CODE 6717–01–P Roaring Fork Interstate Gas Tenancy Agreement Certificate of Transmission, LLC; Kaiser-Frontier Midstream, LLC; Notice of Applications Concurrence to be effective 7/1/2021. DEPARTMENT OF ENERGY Filed Date: 6/22/21. and Establishing Intervention Deadline Accession Number: 20210622–5055. Federal Energy Regulatory Take notice that on June 17, 2021, Comments Due: 5 p.m. ET 7/13/21. Commission Roaring Fork Interstate Gas Docket Numbers: ER21–2181–000. Transmission, LLC (RFIGT), 1125 17th Applicants: Antelope Expansion 1B, Combined Notice of Filings Street, Suite 650, Denver, Colorado LLC. Take notice that the Commission has 80202, filed an application under Description: § 205(d) Rate Filing: section 7(c) of the Natural Gas Act Antelope Expansion 1B, LLC MISA received the following Natural Gas Pipeline Rate and Refund Report filings: (NGA) and Part 157 of the Commission’s Certificate of Concurrence to be effective regulations requesting: (1) Authorization 7/1/2021. Docket Numbers: RP21–900–000. to acquire, own, and operate the Filed Date: 6/22/21. Applicants: Destin Pipeline Company, approximately 30-mile, 6- and 8-inch- Accession Number: 20210622–5060. L.L.C. diameter Silo Pipeline located in Comments Due: 5 p.m. ET 7/13/21. Description: § 4(d) Rate Filing: Destin Laramie County, Wyoming and Weld Take notice that the Commission Pipeline—Negotiated Rate Agreement County, Colorado and currently owned received the following qualifying Filing to be effective 6/21/2021. and operated by Kaiser-Frontier facility filings: Filed Date: 6/21/21. Midstream, LLC (Kaiser-Frontier); (2) a Accession Number: 20210621–5018. Docket Numbers: QF18–1635–000. Part 157, Subpart F blanket certificate; Comments Due: 5 p.m. ET 7/6/21. Applicants: Ag Land Energy 1, LLC. (3) a Part 284, Subpart G blanket Description: Refund Report of Ag Docket Numbers: RP21–901–000. certificate; (4) approval of its proposed Land Energy 1, LLC. Applicants: Fieldwood Energy LLC, pro forma tariff and initial rates; and (5) Filed Date: 6/18/21. Fieldwood Energy Offshore LLC, certain waivers. RFIGT will purchase Accession Number: 20210618–5104. Fieldwood Energy SP LLC, Mako Buyer the Silo Pipeline for $18,200,000. RFIGT Comments Due: 5 p.m. ET 7/9/21. LLC. and Kaiser-Frontier have entered into a Description: Joint Petition for Limited Docket Numbers: QF18–1636–000. precedent agreement for up to 20 Waiver of Capacity Release Regulations, Applicants: Ag Land Energy 2, LLC. million cubic feet per day of capacity, et al. of Fieldwood Energy LLC, et al. Description: Refund Report of Ag all as more fully set forth in the Filed Date: 6/21/21. Land Energy 2, LLC. application which is on file with the Accession Number: 20210618–5114. Filed Date: 6/18/21. Commission and open for public Comments Due: 5 p.m. ET 6/28/21. Accession Number: 20210618–5105. inspection. Additionally, on June 17, 2021, Comments Due: 5 p.m. ET 7/9/21. The filings are accessible in the Commission’s eLibrary system (https:// Kaiser-Frontier, 6733 S Yale Avenue, Docket Numbers: QF18–1637–000. elibrary.ferc.gov/idmws/search/fercgen Tulsa, Oklahoma 74136, filed an Applicants: Ag Land Energy 3, LLC. search.asp) by querying the docket application under section 7(b) of the Description: Refund Report of Ag number. NGA and Part 157 of the Commission’s Land Energy 3, LLC. Any person desiring to intervene or regulations requesting authority to: (1) Filed Date: 6/18/21. protest in any of the above proceedings Abandon by sale to RFIGT the Silo Accession Number: 20210618–5106. must file in accordance with Rules 211 Pipeline and (2) abandon its Part 157, Comments Due: 5 p.m. ET 7/9/21. and 214 of the Commission’s Subpart F blanket certificate, all as more The filings are accessible in the Regulations (18 CFR 385.211 and fully set forth in the application which Commission’s eLibrary system (https:// 385.214) on or before 5:00 p.m. Eastern is on file with the Commission and open elibrary.ferc.gov/idmws/search/fercgen time on the specified comment date. for public inspection. search.asp) by querying the docket Protests may be considered, but In addition to publishing the full text number. intervention is necessary to become a of this document in the Federal Any person desiring to intervene or party to the proceeding. Register, the Commission provides all protest in any of the above proceedings eFiling is encouraged. More detailed interested persons an opportunity to must file in accordance with Rules 211 information relating to filing view and/or print the contents of this and 214 of the Commission’s requirements, interventions, protests, document via the internet through the Regulations (18 CFR 385.211 and service, and qualifying facilities filings Commission’s Home Page (http:// 385.214) on or before 5:00 p.m. Eastern can be found at: http://www.ferc.gov/ ferc.gov) using the ‘‘eLibrary’’ link. time on the specified comment date. docs-filing/efiling/filing-req.pdf. For Enter the docket number excluding the Protests may be considered, but other information, call (866) 208–3676 last three digits in the docket number intervention is necessary to become a (toll free). For TTY, call (202) 502–8659. field to access the document. At this party to the proceeding. time, the Commission has suspended eFiling is encouraged. More detailed Dated: June 22, 2021. access to the Commission’s Public information relating to filing Debbie-Anne A. Reese, Reference Room, due to the requirements, interventions, protests, Deputy Secretary. proclamation declaring a National service, and qualifying facilities filings [FR Doc. 2021–13746 Filed 6–25–21; 8:45 am] Emergency concerning the Novel can be found at: http://www.ferc.gov/ BILLING CODE 6717–01–P Coronavirus Disease (COVID–19), issued
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by the President on March 13, 2020. For the project in determining the person obtaining party status will be assistance, contact the Federal Energy appropriate action to be taken. To placed on the service list maintained by Regulatory Commission at ensure that your comments are timely the Secretary of the Commission and [email protected] or call and properly recorded, please submit will receive copies (paper or electronic) toll-free, (886) 208–3676 or TYY, (202) your comments on or before July 13, of all documents filed by the applicant 502–8659. 2021. However, the filing of a comment and by all other parties. Any questions regarding RFIGT’s alone will not serve to make the filer a application may be directed to Daniel E. party to the proceeding. To become a How To File Comments and Watson, Chief Executive Officer, party, you must intervene in the Interventions Roaring Fork Interstate Gas proceeding. There are two ways to submit your Transmission, LLC, 1125 17th Street, Persons who comment on the comments and motions to intervene to Suite 650, Denver, Colorado 80202, by environmental review of this project the Commission. In all instances, please telephone at (720) 923–5583 or by email will be placed on the Commission’s reference the Project docket numbers at [email protected]. environmental mailing list, and will CP21–462–000 and CP21–464–000 in Any questions regarding Kaiser- receive notification when the your submission. The Commission Frontier’s application may be directed environmental documents (EA or EIS) encourages electronic filing of to John A. Boone, Kaiser-Frontier are issued for this project and will be submissions. Midstream, LLC, 6733 S Yale Avenue, notified of meetings associated with the (1) You may file your comments or Tulsa, Oklahoma 74136, by telephone at Commission’s environmental review motions to intervene electronically by (918) 491–4440 or by email at johnbo@ process. using the eFiling feature, which is kfoc.net. located on the Commission’s website Interventions Pursuant to Section 157.9 of the (www.ferc.gov) under the link to Commission’s Rules of Practice and Any person, which includes Documents and Filings. New eFiling Procedure,1 within 90 days of this individuals, organizations, businesses, users must first create an account by Notice the Commission staff will either: municipalities, and other entities,2 has clicking on ‘‘eRegister.’’ You will be Complete its environmental review and the option to file a motion to intervene asked to select the type of filing you are place it into the Commission’s public in this proceeding. Only intervenors making; first select ‘‘General’’ and then record (eLibrary) for this proceeding; or have the right to request rehearing of select ‘‘Comment on a Filing’’ or issue a Notice of Schedule for Commission orders issued in this ‘‘Intervention’’; or Environmental Review. If a Notice of proceeding and to subsequently (2) You can file a paper copy of your Schedule for Environmental Review is challenge the Commission’s orders in comments by mailing them to the issued, it will indicate, among other the U.S. Circuit Courts of Appeal. following address below. Your written milestones, the anticipated date for the To intervene, you must submit a comments must reference the Project Commission staff’s issuance of the final motion to intervene to the Commission docket numbers (CP21–462–000 and environmental impact statement (FEIS) in accordance with Rule 214 of the CP21–464–000). or environmental assessment (EA) for Commission’s Rules of Practice and To mail via USPS, use the following this proposal. The filing of an EA in the Procedure 3 and the regulations under address: Kimberly D. Bose, Secretary, Commission’s public record for this the NGA 4 by the intervention deadline Federal Energy Regulatory Commission, proceeding or the issuance of a Notice for the project, which is July 13, 2021. 888 First Street NE, Washington, DC of Schedule for Environmental Review As described further in Rule 214, your 20426. will serve to notify federal and state motion to intervene must state, to the To mail via any other courier, use the agencies of the timing for the extent known, your position regarding following address: Kimberly D. Bose, completion of all necessary reviews, and the proceeding, as well as your interest Secretary, Federal Energy Regulatory the subsequent need to complete all in the proceeding. [For an individual, Commission, 12225 Wilkins Avenue, federal authorizations within 90 days of this could include your status as a Rockville, Maryland 20852. the date of issuance of the Commission landowner, ratepayer, resident of an Motions to intervene must be served staff’s FEIS or EA. impacted community, or recreationist. on the applicants either by mail or email You do not need to have property (with a link to the document) at: Roaring Public Participation directly impacted by the project in order Fork Interstate Gas Transmission, LLC, There are three ways to become to intervene.] For more information 1125 17th Street, Suite 650, Denver, involved in the Commission’s review of about motions to intervene, refer to the Colorado 80202 or at d.watson@ this project: You can file a protest to the FERC website at https://www.ferc.gov/ roaringforkmidstream.com and Kaiser- project, you can file a motion to resources/guides/how-to/intervene.asp. Frontier Midstream, LLC, 6733 S Yale intervene in the proceeding, and you All timely, unopposed motions to Avenue, Tulsa, Oklahoma 74136 or at can file comments on the project. There intervene are automatically granted by [email protected]. Any subsequent is no fee or cost for filing protests, operation of Rule 214(c)(1). Motions to submissions by an intervenor must be motions to intervene, or comments. The intervene that are filed after the served on the applicants and all other deadline for filing protests, motions to intervention deadline are untimely and parties to the proceeding. Contact intervene, and comments is 5:00 p.m. may be denied. Any late-filed motion to information for parties can be Eastern Time on July 13, 2021. How to intervene must show good cause for downloaded from the service list at the file comments and motions to intervene being late and must explain why the eService link on FERC Online. Service is explained below. time limitation should be waived and can be via email with a link to the provide justification by reference to Comments document. factors set forth in Rule 214(d) of the All timely, unopposed 5 motions to Any person wishing to comment on Commission’s Rules and Regulations. A intervene are automatically granted by the project may do so. The Commission considers all comments received about 2 18 CFR 385.102(d). 5 The applicant has 15 days from the submittal of 3 18 CFR 385.214. a motion to intervene to file a written objection to 1 18 CFR (Code of Federal Regulations) § 157.9. 4 18 CFR 157.10. the intervention.
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operation of Rule 214(c)(1).6 Motions to SUMMARY: The Colorado River Storage CRSP MC will present a CRC-specific intervene that are filed after the Project Management Center (CRSP MC) public information forum on July 29, intervention deadline are untimely, and of the Western Area Power 2021, 12 p.m. to 2 p.m. MDT. CRSP MC may be denied. Any late-filed motion to Administration (WAPA) proposes a new will accept oral and written comments intervene must show good cause for Salt Lake City Area Integrated Projects at a public comment forum on August being late and must explain why the (SLCA/IP) fixed firm power rates for use 11, 2021, 12 p.m. to no later than 2 p.m. time limitation should be waived and December 1, 2021, through December MDT. CRSP MC will accept written provide justification by reference to 31, 2023. The existing rates for these comments any time during the factors set forth in Rule 214(d) of the services are not set to expire until consultation and comment period. CRSP Commission’s Rules and Regulations.7 September 30, 2025; however, CRSP MC MC will provide a 14-day consultation A person obtaining party status will be is initiating this rate action in response and comment period specifically for placed on the service list maintained by to a 35-percent projected increase to the purchased power after the CRSP MC the Secretary of the Commission and firm power composite rate caused by a posts the final purchased power will receive copies (paper or electronic) large increase in purchased power costs amounts to its website at: https:// of all documents filed by the applicant due to on-going drought conditions and www.wapa.gov/regions/CRSP/rates/ and by all other parties. a small increase to Operation, Pages/rates.aspx. Maintenance, and Replacement (OM&R) ADDRESSES: Tracking the Proceeding Written comments and expenses. Based on the FY 2021 toll on requests for information about Federal Throughout the proceeding, the Upper Colorado River Basin Fund Energy Regulatory Commission (FERC) additional information about the (Basin Fund) and the drought-induced actions concerning the proposed rates projects will be available from the purchased power projections from the submitted by WAPA to FERC for Commission’s Office of External Affairs, Reclamation May 24-Month Study, approval should be sent to: Mr. Rodney at (866) 208–FERC, or on the FERC existing rates will not sustain a balance Bailey, Acting CRSP Manager, Colorado website at www.ferc.gov using the in the Basin Fund capable of supporting River Storage Project Management ‘‘eLibrary’’ link as described above. The operations. CRSP MC proposes Center, Western Area Power eLibrary link also provides access to the modifying how purchased power is Administration, 1800 South Rio Grande texts of all formal documents issued by calculated, and purchased power costs Avenue, Montrose, CO 81401, or email: the Commission, such as orders, notices, would be assessed on a pass-through- [email protected]. CRSP MC and rulemakings. cost basis charged to each customer. will post information about the In addition, the Commission offers a CRSP MC proposes modifying language proposed rates and written comments free service called eSubscription which to implement the Cost Recovery Charge received to its website at: https:// allows you to keep track of all formal (CRC) throughout the year, if warranted, www.wapa.gov/regions/CRSP/rates/ issuances and submittals in specific and would be able to implement a CRC Pages/rates.aspx. dockets. This can reduce the amount of if water levels drop below the intake The public information and comment time you spend researching proceedings structures at Glen Canyon Dam. forums will be conducted online. CRSP by automatically providing you with Additionally, updated Colorado River MC will post webinar and call-in notification of these filings, document Storage Project (CRSP) transmission and information a week before each summaries, and direct links to the ancillary services rate schedules are respective forum to its website at: documents. For more information and to proposed for use December 1, 2021, https://www.wapa.gov/regions/CRSP/ register, go to www.ferc.gov/docs-filing/ through December 31, 2023, with no rates/Pages/rates.aspx. esubscription.asp. material change proposed other than FOR FURTHER INFORMATION CONTACT: Mr. Intervention Deadline: 5:00 p.m. updating effective dates. Thomas Hackett, Rates Manager, Eastern Time on July 13, 2021. DATES: A consultation and comment Colorado River Storage Project Dated: June 22, 2021. period will begin June 28, 2021 and end Management Center, Western Area Debbie-Anne A. Reese, August 31, 2021. This provides Power Administration, (801) 524–5503, Deputy Secretary. approximately 65 days for public or email: [email protected]. [FR Doc. 2021–13747 Filed 6–25–21; 8:45 am] comment, in accordance with WAPA’s SUPPLEMENTARY INFORMATION: On August BILLING CODE 6717–01–P authority under 10 CFR 903.14 to 17, 2020, under Rate Order No. WAPA– shorten the otherwise 90-day comment 190, WAPA’s Administrator placed the period for good cause. Concluding the following rate schedules into effect on DEPARTMENT OF ENERGY comment period by August 31, 2021, an interim basis, effective October 1, will enable CRSP MC to implement the 2020, and through September 30, 2025, Western Area Power Administration rates by the effective date of December pending confirmation and final 1, 2021. Further delaying approval by FERC:1 SLIP–F11 for SLCA/ Proposed Salt Lake City Area implementation to January 1, 2022, IP Firm Power, SP–NW5 for Network Integrated Projects Firm Power Rate given projected costs of purchased Integration Transmission Service, SP– and Colorado River Storage Project power, would reduce the Basin Fund by PTP9 for Firm Point-to-Point Transmission and Ancillary Services a further $10 million due to the Transmission Service, SP–NFT8 for Rates—Rate Order No. WAPA—199 deficiency of current rates in light of Non-Firm Point-to-Point Transmission escalating purchased power costs. CRSP AGENCY: Western Area Power Service, SP–UU2 for Unreserved Use Administration, DOE. MC will present a detailed explanation Penalties, SP–EI5 for Energy and of the proposed rates and other Generator Imbalance Service, SP–SSR5 ACTION: Notice of proposed firm power modifications at a public information for Operating Reserves—Spinning and fixed rate and transmission and forum on July 7, 2021, 12 p.m. to 2 p.m. Supplemental Reserve Services, and ancillary services formula rates. Mountain Daylight Time (MDT). CRSP SP–SS1 for Sale of Surplus Products. On MC will present a purchased-power- December 17, 2020, FERC approved and 6 18 CFR 385.214(c)(1). specific public information forum on 7 18 CFR 385.214(b)(3) and (d). July 28, 2021, 12 p.m. to 2 p.m. MDT. 1 85 FR 52115 (Aug. 24, 2020).
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confirmed the rate schedules on a final the cost recovery criteria set forth in pass through the purchased power costs. basis through September 30, 2025.2 Department of Energy (DOE) Order No. A draft of the new rate schedule will be WAPA is proposing a 2-year rate to RA 6120.2. included in the brochure. address worsening drought conditions WAPA proposes that purchased SLCA/IP Firm Power Rate in the southwestern United States and power required to supplement volatile purchased power costs. The hydropower deliveries up to contractual Under the current Rate Schedule proposed firm power rate is a fixed rate; levels would be passed through to firm SLIP–11, the energy rate is 11.43 mills the proposed transmission and ancillary power customers under a separate per kilowatthour (mills/kWh), and the services rates continue to use the charge, which would be in addition to capacity rate is $4.85 per kilowattmonth formula-based methodology that the base rate for hydropower deliveries. ($/kWmonth). The composite rate of all includes an annual update to the Any customer not wanting to receive its charges, used for reference only as a financial and load data in the rate share of the purchased power costs comparison against other wholesale formulas. The proposed rates would go would not be charged the purchased power rates, is 27.45 mills/kWh. into effect December 1, 2021, and power charge and would receive a The revenue requirement for the remain in effect until December 31, proportionate amount of capacity and proposed rate is based upon the most 2023, or until WAPA supersedes or energy from WAPA each month, current data available, specifically the changes the rates through another charged at the base rate, reflecting actual fiscal year (FY) 2020 historical financial public rate process pursuant to 10 CFR hydropower generation levels. If WAPA data and the FY 2023 work plans for part 903, whichever occurs first. identifies a viable proposal to reduce WAPA and the Bureau of Reclamation The proposed base rates would the total purchased power expenses in (Reclamation), and the May 24-Month provide sufficient revenue to recover the power rate and provide additional Study. Table 1 shows a comparison of annual OM&R expenses, interest flexibility to the customers, it will be set costs of the existing rate structures, expense, irrigation assistance, and forth during a public information forum. without the additional purchased power capital repayment requirements within WAPA will develop a rate schedule to expenses.
TABLE 1—COMPARISON OF EXISTING AND PROPOSED FIRM POWER RATES
Existing rate Proposed rate under rate under rate Rate schedule schedule SLIP–F11 schedule SLIP–F12 Change effective effective (%) October 1, 2020 December 1, 2021
Base Rate: Firm Energy: (mills/kWh) ...... 11.43 12.70 +11.11 Firm Capacity: ($kW/month) ...... 4.85 5.40 +11.25 Composite Rate: (mills/kWh) ...... 27.45 30.44 +10.89 Purchased Power Rate: Average Monthly Purchase Energy (mills/kWh) ...... N/A Market Price
Currently, WAPA uses Reclamation’s schedule. Any additional changes to generation, high prices for firming most-probable monthly water releases methodologies will be posted in the rate power, or emergency capitalized and end-of-month elevations as reported brochure and presented at the public investment funding. The CRC is based in Reclamation’s August 24-Month information forum for purchased power. only on Basin Fund cash analysis and Study (24-month Study), provided by WAPA will update the rate brochure is independent of the SLCA/IP Power Reclamation—Upper Colorado Basin, to throughout the rate process as data and Repayment Study calculations. determine the first year of firming- processes are updated or added. WAPA proposes to reserve the right to energy-purchase projections. For Cost Recovery Charge implement a CRC throughout the year energy-purchase projections in using guidance from the existing subsequent years, WAPA uses a subset WAPA will continue to use a Cost implementation tiers and the latest 24- of Reclamation’s annual August Recovery Charge (CRC), if necessary, as month Study from Reclamation. An Colorado River Simulation System a mechanism to adequately recover and established CRC would be in effect for (CRSS) model traces to estimate energy maintain a sufficient balance in the purchase projections, using a rolling Basin Fund in the event projected 12 months from the date implemented. average value to minimize fluctuations. expenses significantly exceed projected If circumstances dictate the need to WAPA continues to evaluate revenue estimates. The Basin Fund is a reassess an established CRC, the methodologies used to forecast revolving fund and operates without updated CRC would supersede the purchased power. Under rate schedule annual appropriations. The CRC is an previous CRC and remain in effect for SLIP–F12, WAPA will use the August additional surcharge on all Sustainable 12 months. The CRC is implemented at 24-Month Study to determine generation Hydro Power (SHP) energy deliveries, WAPA’s discretion based on the balance and projected sales for the two rate which are long-term energy sales of the Basin Fund and WAPA’s ability years. WAPA will propose actions to be provided under WAPA’s SLCA/IP firm to meet contractual requirements. implemented when Lake Powell’s water electric service contracts. The CRC may The minimum Basin Fund carryover level drops below the level at which its be implemented when, among other balance is $40 million. turbines cannot generate power. These things, the Basin Fund’s cash balance is actions will be included in the new rate at risk due to low hydropower
2 Order Confirming and Approving Rate Schedules on a Final Basis, FERC Docket No. EF20– 7–000, 173 FERC ¶ 61,230 (2020).
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TABLE 3—CRC IMPLEMENTATION TIERS
Tier Criteria, if the Basin Fund beginning balance is: Notification
i ...... Greater than $150 million with an expected decrease to below $75 million ...... Annually. ii ...... Less than $150 million but greater than $120 million with an expected 50-percent de- crease in the next CY. iii ...... Less than $120 million but greater than $90 million with an expected 40-percent decrease in the next CY. iv ...... Less than $90 million but greater than $60 million with an expected 25-percent decrease Semi-Annual (May/November). in the next CY. v ...... Less than $60 million but greater than $40 million with an expected decrease to below Monthly. $40 million in the next CY.
Under this proposal, WAPA reserves Balancing Authority under Rate 302 of the DOE Organization Act (42 the right to implement a CRC Schedule L–AS9. U.S.C. 7152).5 throughout the year using the criteria in By Delegation Order No. 00–037.00B, Spinning and Supplemental Reserves Table 3 if annual water releases from effective November 19, 2016, the Glen Canyon Dam fall below 8.23 WAPA proposes no changes to the Secretary of Energy delegated: (1) The million acre-feet regardless of the Basin Operating Reserves—Spinning and authority to develop power and Fund balance. Supplemental Reserves Services transmission rates to WAPA’s WAPA would establish an energy formula rate. Administrator; (2) the authority to waiver level (WL) using the CRC confirm, approve, and place such rates formula. Customers could accept either Sale of Surplus Products into effect on an interim basis to the Deputy Secretary of Energy; and (3) the the CRC or WL. The WL provides WAPA proposes no changes to the WAPA the ability to reduce purchase authority to confirm, approve, and place rate schedule for the sale of the into effect on a final basis, or to remand power expenses by delivering less following surplus energy and capacity energy than its contractual obligations. or disapprove such rates, to FERC. By products: Energy, regulation, reserves, Delegation Order No. S1–DEL–S4–2021, For those customers who agree to and frequency response. schedule no more energy than their effective February 25, 2021, the Acting proportionate share of the WL, WAPA Joint Dispatch Transmission Service Secretary of Energy also delegated the would waive the CRC for that year. authority to confirm, approve, and place Joint Dispatch Transmission Service WAPA continues to refine the CRC such rates into effect on an interim basis is currently being added, in a separate process and the details of the CRC to the Under Secretary for Science (and parallel process, to WAPA’s rates under calculations. Any recommended Energy). By Redelegation Order No. S4– Rate Order No. WAPA–195 3 and is changes will be provided in the DEL–OE1–2021, effective March 25, proposed to be effective October 1, customer rate brochure and set forth at 2021, the Acting Under Secretary for 2021. This Rate Order would supersede the public information forum for the Science (and Energy) redelegated the WAPA–195 for the purpose of aligning CRC. authority to confirm, approve, and place expiration dates. No other changes are such rates into effect on an interim basis Transmission Services proposed. to the Assistant Secretary for Electricity. Annual Transmission Revenue Legal Authority By Redelegation Order No. 00–002.10– Requirement (ATRR) 05, effective July 8, 2020, the Assistant Existing DOE procedures for public Secretary for Electricity further WAPA does not propose any changes participation in power and transmission redelegated the authority to confirm, to the existing formula rate for rate adjustments (10 CFR part 903) were approve, and place such rates into effect calculating ATRR, applicable to both published on September 18, 1985, and on an interim basis to WAPA’s Network Integration and Point-to-Point February 21, 2019.4 The proposed Administrator. This redelegation order, transmission service rates. The ATRR is action is a major rate adjustment, as despite predating the February 2021 and the annual cost of the CRSP defined by 10 CFR 903.2(e). In March 2021 delegations, remains valid. Transmission System adjusted for Non- accordance with 10 CFR 903.15(a) and Availability of Information Firm Point-to-Point revenue credits, 10 CFR 903.16(a), CRSP MC will hold other miscellaneous charges or credits, public information and public comment All brochures, studies, comments, and the prior year true-up. forums for this rate adjustment. CRSP letters, memoranda, or other documents that the CRSP MC initiates or uses to Unreserved Use Penalties MC will review and consider all timely public comments at the conclusion of develop the proposed rates are available WAPA proposes no changes to the the consultation and comment period for inspection and copying at the Unreserved Use penalty rate. and adjust the proposal, as appropriate. Colorado River Storage Project Ancillary Services The rates will then be approved on an Management Center, 1800 South Rio interim basis. Grande Avenue, Montrose, Colorado. Energy Imbalance and Generator Imbalance Services CRSP MC is proposing the SLCA/IP 5 This Act transferred to, and vested in, the firm power rate and revised CRSP Secretary of Energy the power marketing functions WAPA proposes no changes to the transmission and ancillary services of the Secretary of the Department of the Interior Energy Imbalance and Generator formula rates in accordance with section and the Bureau of Reclamation under the Imbalance Rate Schedule. These Reclamation Act of 1902 (ch. 1093, 32 Stat. 388), as amended and supplemented by subsequent laws, services are provided to CRSP, as a 3 86 FR 21726 (Apr 23, 2021). particularly section 9(c) of the Reclamation Project Transmission Service Provider, by the 4 50 FR 37835 (Sept. 18, 1985) and 84 FR 5347 Act of 1939 (43 U.S.C. 485h(c)); and other acts that Western Area Colorado Missouri (Feb. 21, 2019). specifically apply to the projects involved.
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Many of these documents and ENVIRONMENTAL PROTECTION telephone number for the Public supporting information are also AGENCY Reading Room is (202) 566–1744, and available on WAPA’s website at: https:// [EPA–HQ–OPPT–2003–0004; FRL–10024– the telephone number for the OPPT www.wapa.gov/regions/CRSP/rates/ 39] Docket is (202) 566–0280. Due to the Pages/rates.aspx. public health concerns related to Access to Confidential Business COVID–19, the EPA Docket Center Ratemaking Procedure Requirements Information by Avanti Corporation (EPA/DC) and Reading Room is closed Environmental Compliance to visitors with limited exceptions. The AGENCY: Environmental Protection Agency (EPA). staff continues to provide remote WAPA is in the process of customer service via email, phone, and ACTION: Notice. determining whether an environmental webform. For the latest status assessment or an environmental impact SUMMARY: EPA has authorized its information on EPA/DC services and statement should be prepared or if this contractor Avanti Corporation of docket access, visit https:// action can be categorically excluded Alexandria, VA, to access information www.epa.gov/dockets. 6 from those requirements. which has been submitted to EPA under II. What action is the Agency taking? Determination Under Executive Order all Sections of the Toxic Substances 12866 Control Act (TSCA). Some of the Under contract number information may be claimed or 47QRAA20D002D, task order number WAPA has an exemption from determined to be Confidential Business 68HERC21F0043, contractor Avanti, centralized regulatory review under Information (CBI). Corporation of 6621 Richmond Hwy. Executive Order 12866; accordingly, no DATES: Access to the confidential data #200, Alexandria, VA will assist the clearance of this notice by the Office of will occur no sooner than July 6, 2021. Office of Pollution Prevention and Management and Budget is required. FOR FURTHER INFORMATION CONTACT: Toxics (OPPT) by providing For technical information contact: Signing Authority administrative and technical support to Colby Lintner, Program Management the TSCA New Chemicals Program This document of the Department of and Operations Division (7407M), Office utilizing EPA CBI databases and of Pollution Prevention and Toxics, Energy was signed on June 21, 2021, by software to create documents, databases, Environmental Protection Agency, 1200 Tracey A. LeBeau, Interim attend meetings, previewing CBI claims, Administrator, Western Area Power Pennsylvania Ave. NW, Washington, DC 20460–0001; telephone number: (202) transferring sanitized documents from Administration, pursuant to delegated 564–8182; email address: lintner.colby@ the CBI LAN to ADMIN and transfer authority from the Secretary of Energy. epa.gov. non-CBI files to the CBI LAN for special That document, with the original For general information contact: The projects. signature and date, is maintained by TSCA-Hotline, ABVI-Goodwill, 422 In accordance with 40 CFR 2.306(j), DOE. For administrative purposes only, South Clinton Ave., Rochester, NY EPA has determined that under EPA and in compliance with requirements of 14620; telephone number: (202) 554– contract number 47QRAA20D002D, task the Office of the Federal Register, the 1404; email address: TSCA-Hotline@ order number 68HERC21F0043, Avanti undersigned DOE Federal Register epa.gov. will require access to CBI submitted Liaison Officer has been authorized to SUPPLEMENTARY INFORMATION: under all Sections of TSCA to perform sign and submit the document in successfully the duties specified under I. General Information electronic format for publication, as an the contract. Avanti’s personnel will be official document of the Department of A. Does this action apply to me? given access to information claimed or Energy. This administrative process in determined to be CBI information no way alters the legal effect of this This action is directed to the public in general. This action may, however, be submitted to EPA under all sections of document upon publication in the TSCA. Federal Register. of interest to all who manufacture, process, or distribute industrial EPA is issuing this notice to inform Signed in Washington, DC, on June 22, chemicals. Since other entities may also all submitters of information under all 2021. be interested, the Agency has not sections of TSCA that EPA will provide Treena V. Garrett, attempted to describe all the specific Avanti access to these CBI materials on Federal Register Liaison Officer, U.S. entities that may be affected by this a need-to-know basis only. All access to Department of Energy. action. TSCA CBI under this contract will take [FR Doc. 2021–13645 Filed 6–25–21; 8:45 am] B. How can I get copies of this document place at EPA Headquarters, in BILLING CODE 6450–01–P and other related information? accordance with EPA’s TSCA CBI The docket for this action, identified Protection Manual. by docket identification (ID) number Access to TSCA data, including CBI, EPA–HQ–OPPT–2003–0004, is available will continue until October 31, 2023. If at http://www.regulations.gov or at the the contract is extended, this access will Office of Pollution Prevention and also continue for the duration of the Toxics Docket (OPPT Docket), extended contract without further Environmental Protection Agency notice. Docket Center (EPA/DC), West William 6 Avanti’s personnel will be required to In compliance with the National Environmental Jefferson Clinton Bldg., Rm. 3334, 1301 Policy Act (NEPA) of 1969 (42 U.S.C. 4321–4347); sign nondisclosure agreements and will the Council on Environmental Quality Regulations Constitution Ave. NW, Washington, DC. The Public Reading Room is open from be briefed on specific security for implementing NEPA (40 CFR parts 1500–1508); procedures for TSCA CBI. and DOE NEPA Implementing Procedures and 8:30 a.m. to 4:30 p.m., Monday through Guidelines (10 CFR part 1021). Friday, excluding legal holidays. The Authority: 15 U.S.C. 2601 et seq.
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Dated: June 22, 2021. closed to visitors with limited 2. Describe any assumptions that you Pamela Myrick, exceptions. The staff continues to used. Director, Project Management and Operations provide remote customer service via 3. Provide copies of any technical Division, Office of Pollution Prevention and email, phone, and webform. For the information and/or data you used that Toxics. latest status information on EPA/DC and support your views. [FR Doc. 2021–13697 Filed 6–25–21; 8:45 am] docket access, visit https:// 4. If you estimate potential burden or BILLING CODE 6560–50–P www.epa.gov/dockets. costs, explain how you arrived at the FOR FURTHER INFORMATION CONTACT: estimate that you provide. For technical information contact: 5. Submit your comments by the ENVIRONMENTAL PROTECTION Linda Rutsch, Data Gathering and deadline identified under DATES. AGENCY Analysis Division, 7406M, Office of 6. Identify the docket ID number Pollution Prevention and Toxics, assigned to the ICR in the subject line [EPA–HQ–OPPT–2021–0245; FRL–10023– on the first page of your response. You 20] Environmental Protection Agency, 1200 Pennsylvania Ave. NW, Washington, DC may also provide the ICR title and Agency Information Collection 20460–0001; telephone number: (202) related EPA and OMB numbers. Activities; Proposed Renewal and 343–9924; email address: rutsch.linda@ III. What do I need to know about the Consolidation of Currently Approved epa.gov. PRA? Collections; EPA’s Safer Choice For general information contact: The An Agency may not conduct or Program Product and Partner TSCA-Hotline, ABVI-Goodwill, 422 sponsor, and a person is not required to Recognition Activities; Comment South Clinton Ave., Rochester, NY respond to, a collection of information Request 14620; telephone number: (202) 554– subject to PRA approval unless it 1404; email address: TSCA-Hotline@ AGENCY: Environmental Protection displays a currently valid OMB control epa.gov. Agency (EPA). number. The OMB control numbers for ACTION: Notice. SUPPLEMENTARY INFORMATION: the EPA regulations in title 40 of the I. What information is EPA particularly Code of Federal Regulations (CFR), after SUMMARY: In compliance with the interested in? appearing in the preamble of the final Paperwork Reduction Act (PRA), this rule, are further displayed either by document announces that EPA is Pursuant to PRA section 3506(c)(2)(A) publication in the Federal Register or planning to submit a request to renew (44 U.S.C. 3506(c)(2)(A)), EPA by other appropriate means, such as on and consolidate existing approved specifically solicits comments and the related collection instruments or Information Collection Requests (ICRs) information to enable it to: form, if applicable. The display of OMB to the Office of Management and Budget 1. Evaluate whether the proposed control numbers for certain EPA (OMB). Before submitting the collection of information is necessary regulations is consolidated in a list at 40 consolidated ICR to OMB for review and for the proper performance of the CFR 9.1. approval, EPA is soliciting comments on functions of the Agency, including As used in the PRA context, burden specific aspects of the proposed whether the information will have is defined in 5 CFR 1320.3(b). information collection that is practical utility. 2. Evaluate the accuracy of the IV. What ICR does this request apply summarized in this document. The to? consolidated ICR is entitled: ‘‘Safer Agency’s estimates of the burden of the Choice Program Product and Partner proposed collection of information, Title: EPA’s Safer Choice Product and Recognition Activities’’ identified by including the validity of the Partner Recognition Activities. EPA ICR No. 2692.01 and OMB Control methodology and assumptions used. ICR number: EPA ICR No. 2692.01. No. 2070-[new]. The ICR and 3. Enhance the quality, utility, and OMB control number: OMB Control accompanying material are available in clarity of the information to be No. 2070–[new]. the docket for public review and collected. ICR status: This ICR reflects the comment. 4. Minimize the burden of the consolidation of the following currently collection of information on those who approved ICRs: ‘‘Safer Choice Product DATES: Comments must be received on are to respond, including through the Recognition Program’’ (EPA ICR No. or before August 27, 2021. use of appropriate automated electronic, 2302.03, OMB Control No. 2070–0178) ADDRESSES: Submit your comments, mechanical, or other technological and ‘‘Safer Choice Label Consultations’’ identified by docket identification (ID) collection techniques or other forms of (EPA ICR No. 2487.02, OMB Control No. number EPA–HQ–OPPT–2021–0245, information technology, e.g., permitting 2070–0189. The ‘‘Safer Choice Product online using the Federal eRulemaking electronic submission of responses. In Recognition Program’’ (EPA ICR No. Portal at http://www.regulations.gov. particular, EPA is requesting comments 2302.03, OMB Control No. 2070–0178); Follow the online instructions for from very small businesses (those that is scheduled to expire on May 31, 2022 submitting comments. Do not submit employ less than 25) on examples of and the ‘‘Safer Choice Label electronically any information you specific additional efforts that EPA Consultations’’ (EPA ICR No. 2487.02, consider to be Confidential Business could make to reduce the paperwork OMB Control No. 2070–0189) is Information (CBI) or other information burden for very small businesses scheduled to expire on November 31, whose disclosure is restricted by statute. affected by this collection. 2022. Additional instructions on commenting Abstract: This ICR will cover the or visiting the docket, along with more II. What should I consider when I information collection activities information about dockets generally, is prepare my comments for EPA? associated with the reporting and available at http://www.epa.gov/ You may find the following recordkeeping requirements for dockets. suggestions helpful for preparing your individuals, businesses, organizations, Due to the public health concerns comments: and government entities participating in related to COVID–19, the EPA Docket 1. Explain your views as clearly as or collaborating with EPA’s Safer Choice Center (EPA/DC) and Reading Room is possible and provide specific examples. program. These components are
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designed to: Improve data efficiency by • 453210 Office Supplies and request and the previously approved electronic data collection via a cloud- Stationery Stores; requests is primarily due to the based Salesforce system called the Safer • 453998 All Other Miscellaneous inclusion of Partner of the Year Awards Choice Community; monitor the Store Retailers (except Tobacco Stores) collection activities when calculating public’s awareness of the Safer Choice (Primary); the burden of this ICR. Additionally, • program and label; and, clarify the Safer 454110 Electronic Shopping and minor adjustments were made in EPA’s Choice Partner of the Year Awards Mail-Order Houses; • estimates of the number of respondents application process and form. 481 Air Transportation; and of the burden. Burden statement: The annual public • 531120 Lessors of Nonresidential reporting and recordkeeping burden for Buildings (except Mini-warehouses); The total combined cost burden from this collection of information is • 531312 Nonresidential Property these two previously approved ICRs was estimated to average .33 to 16 hours per Managers; $2,045,616. The total cost burden response. The consolidated ICR, a copy • 541714 Research and requested for this ICR is $2,208,906. The of which is available in the docket, Development in Biotechnology (except difference between the current cost provides a detailed explanation of this Nanobiotechnology) (Primary); burden request and the previously estimate, which is only briefly • 561210 Facilities Support approved requests are due to the summarized here: Services; inclusion of Partner of the Year Awards Respondents/Affected entities: • 561720 Janitorial Services; collection activities when calculating Entities potentially affected by this ICR • 561740 Carpet and Upholstery the burden, as well as adjustments in include the following North American Cleaning Services; EPA’s estimates of the number of • Industrial Classification System 611110 Elementary and respondents and of the burden. In (NAICS) codes associated with Secondary Schools; • addition to the adjustments listed above, industries most likely affected by the 611310 Colleges, Universities, and the wage rates and material costs were paperwork requirements: Professional Schools; • revised to reflect 2020 dollars for this • 325180 Other Basic Inorganic 622110 General Medical and information collection request. Chemical Manufacturing; Surgical Hospitals; • • 325199 All Other Basic Organic 711310 Promoters of Performing In addition, OMB has requested that Chemical Manufacturing (Primary); Arts, Sports, and Similar Events with EPA move towards using the 18- • 325320 Pesticide and Other Facilities; question format for ICR Supporting Agricultural Chemical Manufacturing; • 7211 Traveler Accommodation; Statements used by other federal • 325510 Paint and Coating • 722511 Full-Service Restaurants; agencies and departments and is based • Manufacturing; 8123 Dry cleaning and Laundry on the submission instructions • 325520 Adhesive Manufacturing; Services; established by OMB in 1995, replacing • 3256 Soap, Cleaning Compound, • 813410 Civic and Social the alternate format developed by EPA and Toilet Preparation Manufacturing; Organizations (Primary); and OMB prior to 1995. The Agency • 325611 Soap and Other Detergent • 813910 Business Associations does not expect the change in format to Manufacturing; (Primary); result in substantive changes to the • • 325612 Polish and Other 921190 Other General information collection activities or Sanitation Good Manufacturing; Government Support; and related estimated burden and costs. • 325613 Surface Active Agent • 924110 Administration of Air and Manufacturing (Primary); Water Resource and Solid Waste VI. What is the next step in the process • 325620 Toilet Preparation Management Programs (Primary). for this ICR? Manufacturing; Estimated total number of potential • 325910 Printing Ink respondents: 7,566. EPA will consider the comments Manufacturing; Frequency of response: On occasion. received and amend the consolidated • 325992 Photographic Film, Paper, Estimated total average number of ICR as appropriate. The final ICR Plate, and Chemical Manufacturing; responses for each respondent: 1. package will then be submitted to OMB • 325998 All Other Miscellaneous Estimated total annual burden hours: for review and approval pursuant to 5 Chemical Product and Preparation 2,892 hours. CFR 1320.12. EPA will issue another Manufacturing; Estimated total annual costs: Federal Register document pursuant to • 423850 Service Establishment $736,302. This includes an estimated 5 CFR 1320.5(a)(1)(iv) to announce the Equipment and Supplies Merchant burden cost of $190,702 and an submission of the ICR to OMB and the Wholesalers (Primary); estimated cost of $545,600 for non- opportunity for the public to submit • 424490 Other Grocery and Related burden hour paperwork costs, e.g., additional comments for OMB Products Merchant Wholesalers; capital investment or maintenance and consideration. • 424690 Other Chemical and operational costs. If you have any questions about this Allied Products Merchant Wholesalers V. Are there changes in the estimates ICR or the approval process, please (Primary); from the last approvals? contact the technical person listed • 424990 Other Miscellaneous under FOR FURTHER INFORMATION Nondurable Goods Merchant The consolidation of the currently CONTACT. Wholesalers; approved ICRs is expected to result in • 4451 Grocery Stores; an overall increase of 1,558 hours in the Authority: 44 U.S.C. 3501 et seq. • total estimated combined respondent 445110 Supermarkets and Other Dated: June 22, 2021. Grocery (except Convenience) Stores burden that is currently approved by (Primary); OMB. This information collection Michal Freedhoff, • 445299 All Other Specialty Food combines the burdens from two Assistant Administrator, Office of Chemical Stores; previously approved ICRs, EPA ICR No. Safety and Pollution Prevention. • 446110 Pharmacies and Drug 2302.03 and EPA ICR No. 2487.02. The [FR Doc. 2021–13683 Filed 6–25–21; 8:45 am] Stores; difference between the current burden BILLING CODE 6560–50–P
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ENVIRONMENTAL PROTECTION docket for this ICR. The docket can be facility for no less than three years AGENCY viewed online at www.regulations.gov records of hazardous secondary or in person at the EPA Docket Center, materials received pursuant to its [EPA–HQ–OLEM–2018–0013, FRL–10025– WJC West, Room 3334, 1301 53–OLEM] written contract with the tolling Constitution Ave. NW, Washington, DC. manufacturer, and the tolling Agency Information Collection The telephone number for the Docket manufacturer must maintain at its Activities; Submission to OMB for Center is 202–566–1744. For additional facility for no less than three years Review and Approval; Comment information about EPA’s public docket, records of hazardous secondary Request; Revisions to the RCRA visit http://www.epa.gov/dockets. materials shipped pursuant to its Definition of Solid Waste Pursuant to section 3506(c)(2)(A) of written contract with the tolling the PRA, the EPA is soliciting comments contractor. In addition, facilities AGENCY: Environmental Protection and information to enable it to: (i) performing the recycling of hazardous Agency (EPA). Evaluate whether the proposed secondary materials under the ACTION: Notice. collection of information is necessary generator-controlled exclusions at 40 for the proper performance of the CFR 261.4(a)(23) to maintain SUMMARY: The Environmental Protection functions of the Agency, including documentation of their legitimacy Agency (EPA) is planning to submit the whether the information will have determination onsite. information collection request (ICR), practical utility; (ii) evaluate the • Under the transfer-based exclusion Revisions to the RCRA Definition of accuracy of the Agency’s estimate of the at 40 CFR 261.4(a)(24), a generator Solid Waste (EPA ICR No. 2310.07, burden of the proposed collection of sending secondary hazardous materials OMB Control No. 2050–0202) to the information, including the validity of to a facility that does not have a permit, Office of Management and Budget the methodology and assumptions used; would be required to conduct a (OMB) for review and approval in (iii) enhance the quality, utility, and ‘‘reasonable efforts’’ environmental accordance with the Paperwork clarity of the information to be audit of the receiving facility; and a Reduction Act (PRA). Before doing so, collected; and (iv) minimize the burden hazardous secondary materials recycler the EPA is soliciting public comments of the collection of information on those must meet the following conditions: on specific aspects of the proposed who are to respond, including through Having financial assurance in place, information collection as described the use of appropriate automated having trained personnel, and meeting below. This is a proposed extension of electronic, mechanical, or other emergency preparedness and response the ICR, which is currently approved technological collection techniques or conditions. through March 31, 2022. An Agency other forms of information technology, • Under the export requirements of may not conduct, or sponsor and a e.g., permitting electronic submission of the transfer-based exclusion at 40 CFR person is not required to respond to a responses. The EPA will consider the 261.4(a)(25), exporters of hazardous collection of information unless it comments received and amend the ICR secondary material must provide notice displays a currently valid OMB control as appropriate. The final ICR package and obtain consent of the receiving will then be submitted to OMB for number. country and file an annual report. review and approval. At that time, the DATES: Comments must be submitted on • Under the remanufacturing EPA will issue another Federal Register or before August 27, 2021. exclusion at 40 CFR 261.4(a)(27), both notice to announce the submission of ADDRESSES: Submit your comments, the hazardous secondary material the ICR to OMB and the opportunity to referencing by Docket ID No. EPA–HQ– generator and the remanufacturer must OLEM–2018–0013, online using submit additional comments to OMB. Abstract: In 2018, the EPA published maintain records of shipments and www.regulations.gov (our preferred final revisions to the definition of solid confirmations of receipts for a period of method), by email to rcra-docket@ waste that exclude certain hazardous three years from the dates of the epa.gov, or by mail to: EPA Docket secondary materials from regulation (83 shipments. Center, Environmental Protection • FR 24664, May 30, 2018). The 2018 final Under the revised speculative Agency, Mail Code 28221T, 1200 rule was promulgated in response to accumulation requirement in Pennsylvania Ave. NW, Washington, DC orders issued by the United States Court 261.1(c)(8), all persons subject to the 20460. of Appeals for the District of Columbia speculative accumulation requirements EPA’s policy is that all comments Circuit on July 7, 2017, and amended on must label the storage unit by indicating received will be included in the public March 6, 2018, vacating certain the first date that the material began to docket without change including any provisions of the 2015 rule and be accumulated. personal information provided, unless reinstated corresponding provisions This ICR renewal does not include the the comment includes profanity, threats, from the 2008 rule. The information burden associated with filling out form information claimed to be Confidential requirements help ensure that (1) 8700–12 because that burden is Business Information (CBI) or other entities operating under the regulatory included under OMB Control Number information whose disclosure is exclusions contained in today’s action 2050–0024. restricted by statute. are held accountable to the applicable Form Numbers: None. FOR FURTHER INFORMATION CONTACT: requirements; (2) state inspectors can Respondents/affected entities: Entities Tracy Atagi, Environmental Protection verify compliance with the restrictions potentially affected by this action are Agency, 1200 Pennsylvania Ave. NW, and conditions of the exclusions when private business or other for-profit, as Washington, DC 20460; telephone needed; and (3) hazardous secondary well as State, Local, or Tribal number: 703–308–8672; fax number: materials exported for recycling are governments. 703–308–8880; email address: actually handled as commodities Respondent’s obligation to respond: [email protected]. abroad. Recordkeeping requirements Required to obtain or retain a benefit (42 SUPPLEMENTARY INFORMATION: include: U.S.C. 6921, 6922, 6923, and 6924.) Supporting documents which explain in • Under the generator-controlled Estimated number of respondents: detail the information that the EPA will exclusion at 40 CFR 261.4(a)(23), the 7,674. be collecting are available in the public tolling contractor has to maintain at its Frequency of response: On occasion.
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Total estimated burden: 34,883 hours. NYK party to the agreement, removes Agreement No.: 012377–001. Burden is defined at 5 CFR 1320.03(b). WLS as a party to the agreement, and Agreement Name: MOL/NMCC/Hoegh Total estimated cost: $2,752,557 (per removes all authority to jointly negotiate Autoliners Space Charter Agreement. year), which includes $15,475 or procure terminal services in the Parties: Mitsui O.S.K. Lines, Ltd. and annualized capital or operation & United States. Nissan Motor Car Carriers Co., Ltd. maintenance costs. Proposed Effective Date: 6/15/2021. (acting as a single party) and Hoegh Changes in estimates: The burden Location: https://www2.fmc.gov/ Autoliners AS. hours are likely to stay substantially the FMC.Agreements.Web/Public/ Filing Party: Rebecca Fenneman; same. AgreementHistory/61. Jeffrey/Fenneman Law and Strategy Dated: June 23, 2021. Agreement No.: 010979–067. PLLC. Carolyn Hoskinson, Agreement Name: Caribbean Synopsis: This amendment revises the Director, Office of Resource Conservation and Shipowners Association. name of the Agreement; removes WLS Recovery. Parties: Crowley Caribbean Services as a party to the Agreement; and [FR Doc. 2021–13738 Filed 6–25–21; 8:45 am] LLC; Hybur Ltd.; King Ocean Services removes all authority to jointly negotiate or procure terminal services in the BILLING CODE 6560–50–P Limited; Seaboard Marine, Ltd.; and Tropical Shipping and Construction United States. Company LLC. Proposed Effective Date: 6/17/2021. Location: https://www2.fmc.gov/ FEDERAL MARITIME COMMISSION Filing Party: Wayne Rohde; Cozen O’Connor. FMC.Agreements.Web/Public/ Notice of Agreements Filed Synopsis: The amendment adds a new AgreementHistory/72. Article 5.K to the agreement to clarify Agreement No.: 012410–004. The Commission hereby gives notice the authority of the parties with respect Agreement Name: WWOcean/ of the filing of the following agreements to contracting jointly with third parties. Hyundai Glovis Space Charter under the Shipping Act of 1984. Proposed Effective Date: 6/16/2021. Agreement. Interested parties may submit Location: https://www2.fmc.gov/ Parties: Wallenius Wilhelmsen Ocean comments, relevant information, or FMC.Agreements.Web/Public/ AS and Hyundai Glovis Co. Ltd. documents regarding the agreements to AgreementHistory/1194. Filing Party: Wayne Rohde; Cozen the Secretary by email at Secretary@ Agreement No.: 201273–001. O’Connor. fmc.gov, or by mail, Federal Maritime Agreement Name: MOL/NMCC/Glovis Synopsis: The amendment updates Commission, Washington, DC 20573. Space Charter Agreement. the address of Hyundai Glovis and Comments will be most helpful to the Parties: Mitsui O.S.K. Lines, Ltd. and deletes language from Article 5.1 to Commission if received within 12 days Nissan Motor Car Carriers Co., Ltd. clarify the authority of the parties with of the date this notice appears in the (acting as a single party) and Hyundai respect to contracting with third parties. Federal Register. Copies of agreements Glovis Co., Ltd. Proposed Effective Date: 6/17/2021. are available through the Commission’s Filing Party: Rebecca Fenneman; Location: https://www2.fmc.gov/ website (www.fmc.gov) or by contacting Jeffrey/Fenneman Law and Strategy FMC.Agreements.Web/Public/ the Office of Agreements at (202) 523– PLLC. AgreementHistory/1874. 5793 or [email protected]. Synopsis: The amendment revises the Agreement No.: 012312–003. Agreement No.: 012379–001. name of the Agreement; updates the Agreement Name: Grimaldi Deep Sea Agreement Name: MOL/NMCC/LGL address of Glovis; removes WLS as a S.p.A/Mitsui O.S.K. Lines Ltd. Space Space Charter Agreement. party to the agreement; and removes all Charter Agreement. Parties: Mitsui O.S.K. Lines, Ltd. and authority to jointly negotiate or procure Parties: Grimaldi Deep Sea S.p.A. and Nissan Motor Car Carriers Co., Ltd. terminal services in the United States. Grimaldi Euromed S.p.A. (acting as a (acting as a single party) and Liberty Proposed Effective Date: 6/16/2021. single party) and Mitsui O.S.K. Lines Global Logistics LLC. Location: https://www2.fmc.gov/ Ltd. Filing Party: Rebecca Fenneman; FMC.Agreements.Web/Public/ Filing Party: Rebecca Fenneman; Jeffrey/Fenneman Law and Strategy AgreementHistory/16284. Jeffrey/Fenneman Law and Strategy PLLC. PLLC. Synopsis: The amendment renames Agreement No.: 012358–001. Synopsis: The Amendment removes the agreement, removes WLS as a party Agreement Name: MOL/NMCC and all authority to jointly negotiate or to the agreement, and removes all ECL Space Charter Agreement. procure terminal services in the United authority to jointly negotiate or procure Parties: Mitsui O.S.K. Lines, Ltd. and States. terminal services in the United States. Nissan Motor Car Carriers Co., Ltd. Proposed Effective Date: 6/15/2021. (acting as a single party) and Eastern Car Proposed Effective Date: 6/22/2021. Location: https://www2.fmc.gov/ Liner, Ltd. Location: https://www2.fmc.gov/ FMC.Agreements.Web/Public/ Filing Party: Rebecca Fenneman; FMC.Agreements.Web/Public/ AgreementHistory/74. Jeffrey/Fenneman Law and Strategy AgreementHistory/183. Agreement No.: 012366–001. PLLC. Agreement No.: 012454–001. Agreement Name: MOL/NMCC and Synopsis: This amendment revises the Agreement Name: MOL/NMCC/SCC NYK Space Charter Agreement. Agreement name; removes WLS from Space Charter Agreement. Parties: Mitsui O.S.K. Lines, Ltd. and the agreement; corrects the address of Parties: Mitsui O.S.K. Lines, Ltd. and Nissan Motor Car Carriers Co., Ltd. ECL; and revises Article 5.3 to remove Nissan Motor Car Carriers Co., Ltd. (acting as a single party) and Nippon all authority to jointly negotiate or (acting as a single party) and Siem Car Yusen Kaisha. procure terminal services in the United Carriers AS. Filing Party: Rebecca Fenneman; States. Filing Party: Rebecca Fenneman; Jeffrey/Fenneman Law and Strategy Proposed Effective Date: 6/17/2021. Jeffrey/Fenneman Law and Strategy PLLC. Location: https://www2.fmc.gov/ PLLC. Synopsis: The amendment renames FMC.Agreements.Web/Public/ Synopsis: The Amendment revises the the agreement, revises the name of the AgreementHistory/51. name of the Agreement; removes WLS
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as a party to the Agreement; and in concert, to acquire voting shares of The Order is extended through July removes all authority to jointly negotiate Lead Financial Group, Inc., and thereby 31, 2021 based on current and projected or procure terminal services in the indirectly acquire voting shares of Lead epidemiological context of SARS-CoV–2 United States. Bank, both of Kansas City, Missouri. transmission throughout the United Proposed Effective Date: 6/22/2021. Board of Governors of the Federal Reserve States. Location: https://www2.fmc.gov/ System, June 23, 2021. A copy of the Order is provided FMC.Agreements.Web/Public/ Michele Taylor Fennell, below. A copy of the signed Order and AgreementHistory/1939. Declaration form can be found at: Deputy Associate Secretary of the Board. https://www.cdc.gov/coronavirus/2019- Dated: June 23, 2021. [FR Doc. 2021–13745 Filed 6–25–21; 8:45 am] ncov/covid-eviction-declaration.html. Rachel E. Dickon, BILLING CODE P Secretary. CENTERS FOR DISEASE CONTROL [FR Doc. 2021–13751 Filed 6–25–21; 8:45 am] AND PREVENTION BILLING CODE 6730–02–P DEPARTMENT OF HEALTH AND DEPARTMENT OF HEALTH AND HUMAN SERVICES HUMAN SERVICES ORDER UNDER SECTION 361 OF THE FEDERAL RESERVE SYSTEM Centers for Disease Control and Prevention PUBLIC HEALTH SERVICE ACT (42 Change in Bank Control Notices; U.S.C. 264) AND 42 CODE OF Acquisitions of Shares of a Bank or Temporary Halt in Residential FEDERAL REGULATIONS 70.2 Bank Holding Company Evictions To Prevent the Further TEMPORARY HALT IN RESIDENTIAL Spread of COVID–19 EVICTIONS TO PREVENT THE The notificants listed below have AGENCY: Centers for Disease Control and FURTHER SPREAD OF COVID–19 applied under the Change in Bank Prevention (CDC), Department of Health Control Act (Act) (12 U.S.C. 1817(j)) and Summary and Human Services (HHS). § 225.41 of the Board’s Regulation Y (12 Subject to the limitations under ACTION: CFR 225.41) to acquire shares of a bank Agency Order. ‘‘Applicability,’’ a landlord, owner of a 1 or bank holding company. The factors SUMMARY: The Centers for Disease residential property, or other person that are considered in acting on the Control and Prevention (CDC), located with a legal right to pursue eviction or applications are set forth in paragraph 7 within the Department of Health and possessory action, shall not evict any of the Act (12 U.S.C. 1817(j)(7)). Human Services (HHS) announces the covered person from any residential The public portions of the extension of an Order under Section 361 property in any jurisdiction to which applications listed below, as well as of the Public Health Service Act to this Order applies during the effective other related filings required by the temporarily halt residential evictions to period of the Order. Board, if any, are available for prevent the further spread of COVID–19. immediate inspection at the Federal Definitions DATES: This Order is effective July 1, Reserve Bank(s) indicated below and at ‘‘Available government assistance’’ 2021, through July 31, 2021. the offices of the Board of Governors. means any governmental rental or This information may also be obtained FOR FURTHER INFORMATION CONTACT: housing payment benefits available to on an expedited basis, upon request, by Tiffany Brown, Deputy Chief of Staff, the individual or any household contacting the appropriate Federal Centers for Disease Control and member. Reserve Bank and from the Board’s Prevention, 1600 Clifton Road NE, MS ‘‘Available housing’’ means any Freedom of Information Office at H21–10, Atlanta, GA 30329. Phone: available, unoccupied residential https://www.federalreserve.gov/foia/ 404–639–7000. Email: cdcregulations@ property, or other space for occupancy request.htm. Interested persons may cdc.gov. in any seasonal or temporary housing, express their views in writing on the SUPPLEMENTARY INFORMATION: that would not violate Federal, State, or standards enumerated in paragraph 7 of local occupancy standards and that the Act. Background would not result in an overall increase Comments regarding each of these This Order further extends the of housing cost to such individual. applications must be received at the original temporary eviction moratorium ‘‘Covered person’’ 2 means any tenant, Reserve Bank indicated or the offices of Order published on September 4, 2020, lessee, or resident of a residential the Board of Governors, Ann E. as initially extended by the Misback, Secretary of the Board, 20th Consolidated Appropriations Act, 2021, 1 For purposes of this Order, ‘‘person’’ includes Street and Constitution Avenue, NW, and further extended by the Orders corporations, companies, associations, firms, partnerships, societies, and joint stock companies, Washington DC 20551–0001, not later published on January 29, 2021 and as well as individuals. than July 13, 2021. March 31, 2021 set to expire on June 30, 2 This definition is based on factors that are A. Federal Reserve Bank of Kansas 2021. Because of COVID–19, household known to contribute to evictions and thus increase City (Jeffrey Imgarten, Assistant Vice crowding and transmission, and the the need for individuals to move into close quarters in new congregate or shared living arrangements or President) 1 Memorial Drive, Kansas increased risk of individuals sheltering experience homelessness. Individuals who suffer City, Missouri 64198–0001: in close quarters in congregate settings job loss, have limited financial resources, are low 1. The SRT 2015 LFG Trust, Sarah such as homeless shelters, which may income, or have high out-of-pocket medical Elizabeth Rowland Townsend, as co- be unable to provide adequate social expenses are more likely to be evicted for nonpayment of rent than others not experiencing trustee, both of Kansas City, Missouri; distancing as populations increase, these factors. See Desmond, M., Gershenson, C., MHR 2015 LFG Trust, Matthew Hill extending the temporary halt on Who gets evicted? Assessing individual, Rowland, as co-trustee, both of Santa evictions is appropriate. This Order neighborhood, and network factors, Soc Sci Res. Monica, California; with Sarah further extends the prior Eviction 2017;62:362–377. doi:10.1016/ j.ssresearch.2016.08.017, (identifying job loss as a Rowland, as co-trustee of both trusts, Moratoria for what is currently intended possible predictor of eviction because renters who Kansas City, Missouri; to join the to be a final 30 day-period, until July 31, lose their jobs experience not only a sudden loss of Rowland Family Group, a group acting 2021. income but also the loss of predictable future
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property who provides to their landlord, income, loss of compensable hours of • Mitigating the further spread of the owner of the residential property, or work or wages, a lay-off, or COVID–19 by temporarily suspending other person with a legal right to pursue extraordinary 7 out-of-pocket medical the eviction of covered persons from eviction or a possessory action,3 a expenses; residential property for nonpayment of declaration under penalty of perjury (4) The individual is using best efforts rent; and indicating that: to make timely partial payments that are • Supporting response efforts to (1) The individual has used best as close to the full payment as the COVID–19 at the Federal, State, local, efforts to obtain all available individual’s circumstances may permit, territorial, and tribal levels. government assistance for rent or taking into account other Background housing; nondiscretionary expenses; and (2) The individual either (i) earned no (5) Eviction would likely render the COVID–19 in the United States more than $99,000 (or $198,000 if filing individual homeless—or force the Since January 2020, the respiratory jointly) in Calendar Year 2020, or individual to move into and live in disease known as ‘‘COVID–19,’’ caused expects to earn no more than $99,000 in close quarters in a new congregate or by a novel coronavirus (SARS–COV–2), annual income for Calendar Year 2021 shared living setting—because the has spread globally, including cases (or no more than $198,000 if filing a individual has no other available joint tax return),4 (ii) was not required reported in all fifty states within the housing options. United States, plus the District of to report any income in 2020 to the U.S. ‘‘Evict’’ and ‘‘Eviction’’ means any Internal Revenue Service, or (iii) Columbia and U.S. territories. As of action by a landlord, owner of a June 23, 2021, there have been over 179 received an Economic Impact Payment residential property, or other person (stimulus check).56 million cases of COVID–19 globally, with a legal right to pursue eviction or 9 (3) The individual is unable to pay the resulting in over 3,800,000 deaths. possessory action, to remove or cause Over 33,300,000 cases have been full rent or make a full housing payment the removal of a covered person from a due to substantial loss of household identified in the United States, with residential property. This definition also new cases reported daily, and over does not prohibit foreclosure on a home 10 income). According to one survey, over one quarter 599,000 deaths due to the disease. (26%) of respondents also identified job loss as the mortgage. The virus that causes COVID–19 primary cause of homelessness. See 2019 San ‘‘Residential property’’ means any spreads very easily and sustainably Francisco Homeless Count & Survey property leased for residential purposes, between people, particularly those who Comprehensive Report, Applied Survey Research, including any house, building, mobile are in close contact with one another at 22, https://hsh.sfgov.org/wp-content/uploads/ 8 2020/01/2019HIRDReport_SanFrancisco_ home or land in a mobile home park, (within about 6 feet, but occasionally FinalDraft-1.pdf (last viewed Mar. 24, 2021). or similar dwelling leased for residential over longer distances), mainly through 3 As used throughout this Order, this would purposes, but shall not include any respiratory droplets produced when an include, without limitation, an agent or attorney hotel, motel, or other guest house rented acting on behalf of the landlord or the owner of the infected person coughs, sneezes, or residential property. to a temporary guest or seasonal tenant talks. Individuals without symptoms 4 According to one study, the national two- as defined under the laws of the State, can also spread the virus.11 Among bedroom housing wage in 2020 was $23.96 per hour territorial, tribal, or local jurisdiction. adults, the risk for severe illness from (approximately, $49,837 annually), meaning that an ‘‘State’’ shall have the same definition COVID–19 increases with age, with hourly wage of $23.96 was needed to afford a as under 42 CFR 70.1, meaning ‘‘any of modest two-bedroom house without spending more older adults at highest risk. Severe than 30% of one’s income on rent. The hourly wage the 50 states, plus the District of illness means that persons with COVID– needed in Hawaii (the highest cost U.S. State for Columbia.’’ 19 may require hospitalization, rent) was $38.76 (approximately $80,621 annually). ‘‘U.S. territory’’ shall have the same intensive care, or a ventilator to help See Out of Reach: How Much do you Need to Earn definition as under 42 CFR 70.1, to Afford a Modest Apartment in Your State?, them breathe, and may be fatal. People National Low Income Housing Coalition, https:// meaning ‘‘any territory (also known as of any age with certain underlying reports.nlihc.org/oor (last visited Mar. 23, 2021). As possessions) of the United States, medical conditions (e.g. cancer, obesity, further explained herein, because this Order is including American Samoa, Guam, the serious heart conditions, or diabetes) are intended to serve the critical public health goal of Northern Mariana Islands, the preventing evicted individuals from potentially at increased risk for severe illness from contributing to the interstate spread of COVID–19 Commonwealth of Puerto Rico, and the COVID–19.12 through movement into close quarters in new U.S. Virgin Islands.’’ COVID–19 vaccines are now widely congregate, shared housing settings, or through available in the United States, and all homelessness, the higher income thresholds listed Statement of intent here have been determined to better serve this goal. This Order shall be interpreted and 5 ‘‘Stimulus check’’ includes payments made 9 COVID–19 Dashboard by the Center for Systems pursuant to Section 2201 of the CARES Act, to implemented in a manner as to achieve Science and Engineering (CSSE) at Johns Hopkins Section 9601 of the American Rescue Plan Act of the following objectives: University (JHU), Johns Hopkins Coronavirus 2021, or to any similar federally authorized • Mitigating the spread of COVID–19 Resource Center, https://coronavirus.jhu.edu/ payments made to individual natural persons in within crowded, congregate or shared map.html (last updated June 23, 2021). 2020 and 2021. Eligibility for the 2020 or 2021 10 COVID Data Tracker, Centers for Disease stimulus checks has been based on an income that living settings, or through unsheltered Control and Prevention, https://covid.cdc.gov/ is equal to or lower than the income thresholds homelessness; covid-data-tracker/#datatracker-home (last updated described above and does not change or expand • Mitigating the further spread of June 22, 2021). who is a covered person under this Order since it COVID–19 from one State or territory 11 Kimball A, Hatfield KM, Arons M, et al. was entered into on September 4, 2020. into any other State or territory; Asymptomatic and Presymptomatic SARS–CoV–2 6 A person is likely to qualify for protection under Infections in Residents of a Long-Term Care Skilled this Order if they receive the following benefits: (a) Nursing Facility—King County, Washington, March Temporary Assistance for Needy Families (TANF); 7 Extraordinary expenses are defined as those that 2020. MMWR Morb Mortal Wkly Rep 2020;69:377– (b) Supplemental Nutrition Assistance Program prevented you from paying some or all of your rent 381. DOI: http://dx.doi.org/10.15585/ (SNAP); (c) Supplemental Security Income (SSI); or or providing for other basic necessities like food mmwr.mm6913e1. (d) Social Security Disability Income (SSDI) to the security. To qualify as an extraordinary medical 12 Razzaghi H, Wang Y, Lu H, et al. Estimated extent that income limits for these programs are less expense, the unreimbursed medical expense is one County-Level Prevalence of Selected Underlying than or equal to the income limits for this Order. that is likely to exceed 7.5% of one’s adjusted gross Medical Conditions Associated with Increased Risk However, it is the individual’s responsibility to income for the year. for Severe COVID–19 Illness—United States, 2018. verify that their income is within the income limits 8 Mobile home parks may also be referred to as MMWR Morb Mortal Wkly Rep 2020;69:945–950. described. manufactured housing communities. DOI: http://dx.doi.org/10.15585/mmwr.mm6929a1.
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people 12 years and older are for which there is evidence of an moratorium expired on July 24, 2020. recommended to be vaccinated against increase in transmissibility, more severe The protections in the CARES Act COVID–19. Three COVID–19 vaccines disease, reduction in neutralization by supplemented temporary eviction are currently authorized by the U.S. antibodies generated during previous moratoria and rent freezes implemented Food and Drug Administration (FDA) infection or vaccination, reduced by governors and other local officials for emergency use: two mRNA vaccines effectiveness of treatments or vaccines, using emergency powers. (Pfizer-BioNTech, Moderna) and one or diagnostic detection failures.19 The Researchers estimated that this viral vector vaccine (Johnson & Johnson/ Alpha variant has become the temporary Federal moratorium provided Janssen), each of which has been predominant SARS-CoV–2 strain relief to a material portion of the determined to be safe and effective circulating in the United States; nation’s roughly 43 million renters.23 against COVID–19. As of June 22, 2021, however the proportion of Delta variant The CARES act also provided funding over 150.3 million people in the United cases has increased recently.20 streams for emergency rental assistance; States (more than 53% of the population Available evidence suggests the surveys estimate that this assistance 12 years or older) have been fully currently authorized mRNA COVID–19 became available to the public through immunized.13 However, as with other vaccines (Pfizer-BioNTech and rental assistance programs by July 2020. transmissible diseases in densely Moderna) provide significant protection The Federal moratorium provided by populated congregate settings, the risk against known variant strains.21 Other the CARES Act, however, did not reach for SARS-CoV–2 infection is greater as vaccines, particularly AstraZeneca, all renters. Many renters who fell long as there is continued community show reduced efficacy against infection outside the scope of the Federal transmission of the virus. As with certain variants but may still moratorium were instead protected vaccination coverage increases, phasing protect against severe disease. Given the under State and local moratoria. In early out prevention measures for fully predominance of variant strains and the March, 2021, the Census Household vaccinated people, ideally those continued emergence of new variants, Pulse Survey estimated that 6.4 million measures that are the most disruptive to ongoing monitoring of vaccine households were behind on rent, and 24 individuals and society, will be effectiveness is needed to identify just under half fear imminent eviction. increasingly feasible.14 However, the mutations that could render vaccines In 2016, research showed that there vaccination program is still underway; most commonly used in the U.S. less were 3.6 million eviction filings and 1.5 million eviction judgments over the nearly half of the eligible population is effective against more transmissible 25 not yet fully vaccinated; and children variants like the Delta variant, which span of a whole year, meaning that a under age 12 are not yet eligible for now makes up almost 10 percent of U.S. wave of evictions on the scale feared by vaccines. And, although rare, fully cases, up from 2.7 percent in May.22 households would be unprecedented in vaccinated people may become infected In the context of a pandemic, eviction modern times. A large portion of those who are evicted may move into close with COVID–19.15 Moreover, CDC moratoria—like quarantine, isolation, quarters in shared housing or, as recognizes the risk that even vaccinated and social distancing—can be an discussed below, become homeless, people face in densely populated effective public health measure utilized thus becoming at higher risk of COVID– congregate settings. CDC therefore to prevent the spread of communicable 19. disease. Eviction moratoria facilitate continues to recommend mask use by On September 4, 2020, the CDC self-isolation and self-quarantine by all people in areas like homeless Director issued an Order temporarily 16 people who become ill or who are at shelters and other congregate settings. halting evictions in the United States for risk of transmitting COVID–19. New variants of SARS-CoV–2 have the reasons described therein. That 17 Congress passed the Coronavirus Aid, emerged globally, several of which Order was set to expire on December 31, Relief, and Economic Security (CARES) have been identified as variants of 2020, subject to further extension, 18 Act (Pub. L. 116–136) to aid individuals concern. Variants of concern, modification, or rescission. Section 502 and businesses adversely affected by including the variants Alpha, Beta, of Title V, Division N of the COVID–19 in March 2020. Section 4024 Gamma, Delta, and Epsilon, are those Consolidated Appropriations Act, 2021 of the CARES Act provided a 120-day extended the Order until January 31, 13 COVID–19 Vaccinations in the United States, moratorium on eviction filings as well 2021, and approved the Order as an Centers for Disease Control and Prevention, https:// as other protections for tenants in covid.cdc.gov/covid-data-tracker/#vaccinations exercise of the CDC’s authority under certain rental properties with Federal (last updated June 22, 2021). Section 361 of the Public Health Service 14 assistance or federally related financing. Interim Public Health Recommendations for Act (42 U.S.C. 264). With the extension Fully Vaccinated People. Centers for Disease These protections helped alleviate the of the Order, Congress also provided Control and Prevention. https://www.cdc.gov/ public health consequences of tenant coronavirus/2019-ncov/vaccines/fully-vaccinated- $25 billion for emergency rental guidance.html (last updated May 28, 2021). displacement during the COVID–19 15 COVID–19 Vaccine Breakthrough Infections pandemic. The CARES Act eviction 23 Laurie Goodman, Karan Kaul, and Michael Reported to CDC—United States, January 1–April Neal. The CARES Act Eviction Moratorium Covers 30, 2021. MMWR Morb Mortal Wkly Rep 19 SARS-CoV–2 Variant Classifications and All Federally Financed Rentals—That’s One in Four 2021;70:792–793. DOI: http://dx.doi.org/10.15585/ Definitions, Centers for Disease Control and US Rental Units. The Urban Institute. April 2, 2020. mmwr.mm7021e3. Prevention, https://www.cdc.gov/coronavirus/2019- https://www.urban.org/urban-wire/cares-act- 16 Interim Guidance for Homeless Service ncov/variants/variant-info.html#Concern (last eviction-moratorium-covers-all-federally-financed- Providers to Plan and Respond to Coronavirus updated June 22, 2021). rentals-thats-one-four-us-rental-units. Disease 2019 (COVID–19). Centers for Disease 20 Id. 24 Census Household Pulse Survey: Key Phase 3 Control and Prevention. https://www.cdc.gov/ 21 Science Brief: COVID–19 Vaccines and Housing Payment Findings. Office of Policy coronavirus/2019-ncov/community/homeless- Vaccination, Centers for Disease Control and Development and Research, HUDUser (April 26, shelters/plan-prepare-respond.html (last updated Prevention, https://www.cdc.gov/coronavirus/2019- 2021). https://www.huduser.gov/portal/pdredge/ June 8, 2021). ncov/science/science-briefs/fully-vaccinated- pdr-edge-trending-042621.html. 17 Abdool Karim SS, de Oliveira T. New SARS- people.html (last updated May 27, 2021). 25 Ashley Gromis. Eviction: Intersection of CoV–2 Variants—Clinical, Public Health, and 22 According to data with an end collection date Poverty, Inequality, and Housing. Eviction Lab, Vaccine Implications [published online ahead of of June 5, 2021. Variant Proportions, Centers for Princeton University (May 2019). https:// print, 2021 Mar 24]. N Engl J Med. 2021;10.1056/ Disease Control and Prevention, https:// www.un.org/development/desa/dspd/wp-content/ NEJMc2100362. doi:10.1056/NEJMc2100362. covid.cdc.gov/covid-data-tracker/#variant- uploads/sites/22/2019/05/GROMIS_Ashley_ 18 Id. proportions (last updated June 22, 2021). Paper.pdf.
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assistance for the payment of rent and indications that emergency rental for rent relief to reach renters and to rental arrears. Congress later provided assistance has started to reach further increase vaccination rates an additional $21.55 billion in increasing numbers of families over through the end of July 2021 could emergency rental assistance when it recent months, State and local agencies decrease the numbers of likely evictions passed the American Rescue Plan. likely have hundreds of thousands of and avert the potential of COVID–19 On January 29, 2021, following an applications for assistance that currently resurgence among people who assessment of the ongoing pandemic, remain outstanding as programs experience eviction, their communities, the CDC Director renewed the Order accelerate their activity. According to and other regions of the country affected until March 31, 2021. On March 28, Treasury, more households—over by the resulting transmission. 2021, the CDC Director modified and 96,000—were served in April than in Evicted renters must move, which extended the Order until June 30, 2021. the entire first quarter. Assistance leads to multiple outcomes that increase This Order further extends the prior accelerated in May, with over a fifty the risk of COVID–19 spread. Eviction Moratoria for what is currently percent increase in households served Specifically, many evicted renters move intended to be a final 30-day period, compared to the previous month. The into close quarters in shared housing or until July 31, 2021, for the reasons level of assistance provided to low other congregate settings. These moves described herein. Although this Order is income households is expected to may require crossing State borders. subject to revision based on the continue increasing because some states According to the Census Bureau changing public health landscape, started accepting rental assistance American Housing Survey, 32% of absent an unexpected change in the applications in late May, including as renters reported that they would move trajectory of the pandemic, CDC does late as June 1, and now all states are in with friends or family members upon not plan to extend the Order further. To operating programs. Based on analysis eviction, which would introduce new the extent any provision of this Order of grantee reporting, Treasury believes household members and potentially conflicts with prior Orders, this Order is that State and local emergency rental increase household crowding. Studies controlling. assistance programs will collectively show that COVID–19 transmission Researchers estimate that, in 2020, deploy more rental assistance in July occurs readily within households. The Federal, State, and local eviction than in any previous month. In addition secondary attack rate in households has moratoria led to over one million fewer to Emergency Rental Assistance, there been estimated to be 17%, and evictions than the previous year.26 are coordinated efforts across Federal household contacts are estimated to be Additional research shows that, despite agencies to—in partnership with states 6 times more likely to become infected the CDC eviction moratorium leading to and localities—promote eviction by an index case of COVID–19 than an estimated 50% decrease in eviction prevention strategies. other close contacts.30 A study of filings compared to the historical An unprecedented and avoidable pregnant women in New York City average, there have still been over surge of evictions is likely to occur if the showed that women in large households 100,000 eviction filings since September national moratorium were to conclude (greater number of residents per just within approximately 35 cities and on June 30. Recent data from the U.S. household) were three times as likely to states with more readily available data, Census Household Pulse Survey test positive for SARS-CoV–2 than those suggesting high demand and likelihood demonstrates that an increased in smaller households, and those in of mass evictions.27 percentage of households behind on neighborhoods with greater household crowding (≥1 resident per room) were Eviction, Crowding, and Interstate rent believe that an eviction is likely in 28 twice as likely to test positive.31 Transmission of Covid–19 the next two months. A surge in evictions could lead to the immediate Throughout the United States, counties By February 10, 2021, the U.S. and significant movement of large with the highest proportion of crowded Department of the Treasury had paid all numbers of persons from lower density households have experienced COVID– of the $25 billion made available by the to higher density housing. This 19 mortality rates 2.6 times those of Consolidated Appropriations Act of potential for a mass movement of counties with the lowest proportion of 2021 to states, territories, localities and persons would occur at precisely the crowded households. tribes for the purpose of providing same time that our nation is actively Shared housing is not limited to emergency rental assistance to eligible engaged in a widespread vaccination friends and family. It includes a broad households in their jurisdictions. effort. This vaccination effort has a range of settings, including transitional Additionally, as directed in the Act, slower rate of penetration among the housing and domestic violence and Treasury has also made available 40 populations most likely to experience abuse shelters. Special considerations percent—more than $8.6 billion—of the eviction, and such a mass movement exist for such housing because of the additional funding to states, territories would place increased stress on the challenges of maintaining social and localities for emergency rental homeless service system.29 In distance. Residents often gather closely assistance provided in the American combination with the continued or use shared equipment, such as Rescue Plan. Based on data collected underlying COVID–19 spread, and the kitchen appliances, laundry facilities, from grantees, Treasury reports that over overlapping factors described above, stairwells, and elevators. Residents may have unique needs, such as disabilities, 630,000 households had already applied this would create considerable risk for chronic health conditions, cognitive for emergency rental assistance by the rapid transmission of COVID–19 in high end of March—when many State and risk settings. Allowing additional time local programs had not yet opened for 30 Qin-Long Jing, et al. Household secondary applications. Though there are attack rate of COVID–19 and associated 28 Household Pulse Survey Interactive Tool. U.S. determinants in Guangzhou, China: a retrospective Census Bureau. https://www.census.gov/data-tools/ cohort study. The Lancet.2020 June 17; vol. 20.10; 26 Hepburn P, Louis R, Fish J, et al. U.S. Eviction demo/hhp/#/ (last visited June 23, 2021). doi: https://doi.org/10.1016/S1473-3099(20)30471- Filing Patterns in 2020. Socius. January 2021. 29 Barry V, Dasgupta S, Weller DL, et al. Patterns 0. doi:10.1177/23780231211009983. in COVID–19 Vaccination Coverage, by Social 31 Ukachi N. Emeruwa, et al. Associations 27 Peter Hepburn and Renee Louis. Preliminary Vulnerability and Urbanicity—United States, Between Built Environment, Neighborhood Analysis: Six Months of the CDC Eviction December 14, 2020–May 1, 2021. MMWR Morb Socioeconomic Status, and SARS-CoV–2 Infection Moratorium (March 8, 2021). https:// Mortal Wkly Rep 2021;70:818–824. DOI: http:// Among Pregnant Women in New York City. JAMA. evictionlab.org/six-months-cdc/. dx.doi.org/10.15585/mmwr.mm7022e1. 2020;324(4):390–392. doi:10.1001/jama.2020.11370.
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decline, or limited access to technology, a ratio that grew to 2.1 at ≥16 weeks (CI homeless services. Data collection by an and thus may find it more difficult to 1.1, 3.9). Similarly, they found that emergency shelter in Columbus, Ohio, take actions to protect themselves from mortality in states that lifted their showed that 35.4% of families and COVID–19. CDC recommends that moratoria was 1.6 times that of states 11.4% of single adults reported an shelters provide new residents with a that did not at 7 weeks post-lifting (CI eviction as the primary or secondary clean mask, keep them isolated from 1.2, 2.3), a ratio that grew to 5.4 at ≥16 reason for their seeking shelter.35 others, screen for symptoms at entry, or weeks (CI 3.1, 9.3). The authors Extensive outbreaks of COVID–19 arrange for medical evaluations as estimated that, nationally, over 433,000 have been identified in homeless needed depending on symptoms. cases of COVID–19 and over 10,000 shelters. In Seattle, Washington, a Accordingly, an influx of new residents deaths could be attributed to lifting network of three related homeless at facilities that offer support services State moratoria.33 shelters experienced an outbreak that could potentially overwhelm staff and, Although data are limited, available led to 43 cases among residents and staff if recommendations are not followed, evidence suggests evictions lead to members. In Boston, Massachusetts, lead to exposures. interstate spread of COVID–19 in two universal COVID–19 testing at a single Modeling studies and preliminary ways. First, an eviction may lead the shelter revealed 147 cases, representing observational data from the pre-vaccine evicted members of a household to 36% of shelter residents. COVID–19 phase of the COVID–19 pandemic move across State lines. Of the 35 testing in a single shelter in San comparing incidence between states that million people in America who move Francisco led to the identification of 101 implemented and lifted eviction each year, 15% move to a new State. cases (67% of those tested). Data from moratoria indicate that evictions Second, even if a particular eviction, 557 universal diagnostic testing events substantially contribute to COVID–19 standing alone, would not always result at homeless shelters in 21 states show transmission. In mathematical models in interstate displacement, the mass an average of 6% positivity among where eviction led exclusively to evictions that would occur in the shelter clients. Data comparing the sharing housing with friends or family, absence of this Order would inevitably incidence or severity of COVID–19 lifting eviction moratoria led to a 30% increase the interstate spread of COVID– among people experiencing increased risk of contracting COVID–19 19. This Order cannot effectively homelessness directly to the general among people who were evicted and mitigate interstate transmission of population are limited. However, during those with whom they shared housing COVID–19 without covering intrastate the 15-day period of the outbreak in after eviction.32 Compared to a scenario evictions (evictions occurring within the Boston, MA, researchers estimated a where no evictions occurred, the models boundaries of a State or territory), as the cumulative incidence of 46.3 cases of also predicted a 4%–40% increased risk level of spread of SARS-CoV–2 resulting COVID–19 per 1000 persons of infection, even for those who did not from these evictions can lead to SARS- experiencing homelessness, as share housing, as a result of increased CoV–2 transmission across State compared to 1.9 cases per 1000 among overall transmission. The authors borders. Massachusetts adults (pre-print). estimated that anywhere from 1,000 to Moreover, intrastate spread facilitates CDC guidance recommends increasing 100,000 excess cases per million interstate spread in the context of physical distance between beds in population could be attributable to communicable disease spread, given the homeless shelters, which is likely to evictions depending on the eviction and nature of infectious disease. In the decrease capacity, while community infection rates. aggregate, the mass-scale evictions that transmission of COVID–19 is occurring. An analysis of observational data from will likely occur in the absence of this These guidelines are similar to other State-based eviction moratoria in 43 Order will inevitably increase interstate guidance issued for other congregate states and the District of Columbia spread of COVID–19. settings such as prisons and jails. To showed significant increases in COVID– Eviction, Homelessness, and Covid–19 adhere to this guidance, shelters have 19 incidence and mortality Transmission limited the number of people served approximately 2–3 months after eviction throughout the United States. In many moratoria were lifted (pre-peer review). Evicted individuals without access to support or other assistance options may places, considerably fewer beds are Specifically, the authors compared the available to individuals who become COVID–19 incidence and mortality rates become homeless, including older adults or those with underlying medical homeless. Shelters that do not adhere to in states that lifted their moratoria with the guidance, and operate at ordinary or the rates in states that maintained their conditions, who are more at risk for severe illness from COVID–19 than the increased occupancy, are at greater risk moratoria. In these models, the authors general population. In Seattle-King for the types of outbreaks described accounted for time-varying indicators of County, 5–15% of people experiencing above. The challenge of mitigating each State’s test count as well as major homelessness between 2018 and 2020 disease transmission in homeless public-health interventions including cited eviction as the primary reason for shelters has been compounded because lifting stay-at-home orders, school becoming homeless.34 Additionally, some organizations have chosen to stop closures, and mask mandates. After some individuals and families who are or limit volunteer access and adjusting for these other changes, they evicted may originally stay with family participation. found that the incidence of COVID–19 or friends, but subsequently seek in states that lifted their moratoria was Persons at Higher Risk of Eviction May 1.6 times that of states that did not at Also be at Higher Risk of Being 33 Leifheit, Kathryn M. and Linton, Sabriya L. and Unvaccinated 10 weeks post-lifting (95% CI 1.0, 2.3), Raifman, Julia and Schwartz, Gabriel and Benfer, Emily and Zimmerman, Frederick J and Pollack, At this time, communities with high 32 Nande A, Sheen J, Walters EL, Klein B, Craig, Expiring Eviction Moratoriums and COVID– rates of eviction may currently have Chinazzi M, Gheorghe AH, Adlam B, Shinnick J, 19 Incidence and Mortality (November 30, 2020). lower coverage of COVID–19 Tejeda MF, Scarpino SV, Vespignani A, Greenlee Available at SSRN: https://ssrn.com/ AJ, Schneider D, Levy MZ, Hill AL. The effect of abstract=3739576 or http://dx.doi.org/10.2139/ vaccination—a focus for current eviction moratoria on the transmission of SARS- ssrn.3739576. CoV–2. Nat Commun. 2021 Apr 15;12(1):2274. doi: 34 Count Us In 2020. KCRHA (July 2020). https:// 35 Chester Hartman and David Robinson. 10.1038/s41467–021–22521–5. PMID: 33859196; kcrha.org/wp-content/uploads/2020/07/Count-Us_ ‘‘Evictions: The Hidden Housing Problem’’ in PMCID: PMC8050248. In-2020-Final_7.29.2020.pdf. Housing Policy Debate. 2003.
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vaccination campaigns. In the spring of Applicability activity while on the premises. But 2021, counties with high social This Order does not apply in any covered persons may not be evicted on vulnerability (i.e., social and structural State, local, territorial, or tribal area the sole basis that they are alleged to factors associated with adverse health with a moratorium on residential have committed the crime of trespass (or outcome inclusive of socioeconomic evictions that provides the same or similar State-law offense) where the indicators related to risk of eviction) greater level of public-health protection underlying activity is a covered person were shown to have lower levels of remaining in a residential property for 36 than the requirements listed in this COVID–19 vaccination. Order or to the extent its application is nonpayment of rent. Permitting such evictions would result in substantially CDC Eviction Moratorium prohibited by Federal court order. In accordance with 42 U.S.C. 264(e), this more evictions overall, thus increasing The Department of the Treasury the risk of disease transmission as Order does not preclude State, local, continues to distribute emergency rental otherwise covered persons move into territorial, and tribal authorities from assistance funds that may help mitigate congregate settings or experience imposing additional requirements that spikes in COVID–19 transmission due to homelessness. This result would be provide greater public-health protection increases in evictions. These funds are contrary to the stated objectives of this and are more restrictive than the expected to make a meaningful Order, and therefore would diminish requirements in this Order. difference for hundreds of thousands of their effectiveness. Moreover, to the This Order is a temporary eviction people who are expected to receive the extent such criminal trespass laws are moratorium to prevent the further rental assistance in the 30-day horizon invoked to establish criminal activity spread of COVID–19. This Order does of this Order, alongside other Federal solely based on a tenant, lessee, or 37 not relieve any individual of any and State efforts to prevent evictions. resident of a residential property obligation to pay rent, make a housing On September 4, 2020, the CDC remaining in a residential property payment, or comply with any other Director issued an Order temporarily despite the nonpayment of rent, such obligation that the individual may have halting evictions in the United States for invocation conflicts with this Order and the reasons described therein. That under a tenancy, lease, or similar is preempted pursuant to 42 U.S.C. Order was set to expire on December 31, contract. Nothing in this Order 264(e). 2020, subject to further extension, precludes the charging or collecting of Individuals who are confirmed to modification, or rescission. Section 502 fees, penalties, or interest as a result of have, who have been exposed to, or who of Title V, Division N of the the failure to pay rent or other housing might have COVID–19 and take Consolidated Appropriations Act, 2021 payment on a timely basis, under the reasonable precautions to not spread the extended the Order until January 31, terms of any applicable contract. disease may not be evicted on grounds 2021. With the extension of the Order, Nothing in this Order precludes that they may pose a health or safety Congress also provided $25 billion for evictions based on a tenant, lessee, or threat to other residents. emergency rental assistance for the resident: (1) Engaging in criminal The Order is extended through July payment of rent and rental arrears. activity while on the premises; (2) 31, 2021, based on the current and Congress later provided an additional threatening the health or safety of other projected epidemiological context of $21.55 billion in emergency rental residents; 38 (3) damaging or posing an SARS–CoV–2 transmission throughout assistance when it passed the American immediate and significant risk of the United States. This 30-day Rescue Plan. damage to property; (4) violating any extension, intended to be the final On January 29, 2021, following an applicable building code, health iteration, will allow the assessment of assessment of the ongoing pandemic, ordinance, or similar regulation relating natural changes to COVID–19 incidence, the CDC Director renewed the Order to health and safety; or (5) violating any the influences of new variants, until March 31, 2021. On March 28, the other contractual obligation, other than additional distribution of emergency CDC Director renewed the Order until the timely payment of rent or similar rental assistance funds, and the June 30, 2021. This Order further housing-related payment (including expansion of COVID–19 vaccine uptake. extends the prior Eviction Moratorium non-payment or late payment of fees, until July 31, 2021, for the reasons penalties, or interest). Declaration Forms described herein, while the Department Any evictions for nonpayment of rent To qualify for the protections of this of the Treasury disburses the remaining initiated prior to September 4, 2020, but Order, a tenant, lessee, or resident of a ERA funds to State and local not yet completed, are subject to this residential property must provide a jurisdictions, and those grantees Order. Any tenant, lessee, or resident of completed and signed copy of a continue to accelerate efforts to deploy a residential property who qualifies as declaration with the elements listed in rental assistance on behalf of tenants. To a ‘‘Covered Person’’ and is still present the definition of ‘‘Covered person’’ to the extent any provision of this Order in a rental unit is entitled to protections their landlord, owner of the residential conflicts with prior Orders, this Order is under this Order. Any eviction that was property where they live, or other controlling. completed prior to September 4, 2020, person who has a right to have them is not subject to this Order. evicted or removed from where they 36 Barry V, Dasgupta S, Weller DL, Kriss JL, Under this Order, covered persons live. To assist tenants and landlords, the Cadwell BL, Rose C, Pingali C, Musial T, Sharpe JD, Flores SA, Greenlund KJ, Patel A, Stewart A, may be evicted for engaging in criminal CDC created a standardized declaration Qualters JR, Harris L, Barbour KE, Black CL. form that can be downloaded here: Patterns in COVID–19 Vaccination Coverage, by 38 Individuals who might have COVID–19 are https://www.cdc.gov/coronavirus/2019- Social Vulnerability and Urbanicity—United States, advised to stay home except to get medical care. ncov/downloads/declaration-form.pdf. December 14, 2020–May 1, 2021. MMWR Morb Accordingly, individuals who might have COVID– Mortal Wkly Rep. 2021 Jun 4;70(22):818–824. doi: 19 and take reasonable precautions to not spread Tenants, lessees, and residents of 10.15585/mmwr.mm7022e1. PMID: 34081685; the disease should not be evicted on the ground that residential property are not obligated to PMCID: PMC8174677. they may pose a health or safety threat to other use the CDC form. Any written 37 Treasury Emergency Rental Assistance residents. See What to Do if You are Sick, Centers document that an eligible tenant, lessee, Programs in 2021: Analysis of a National Survey. for Disease Control and Prevention, https:// or residents of residential property National Low Income Housing Coalition. June 2021. www.cdc.gov/coronavirus/2019-ncov/if-you-are- https://nlihc.org/sites/default/files/HIP_NLIHC_ sick/steps-when-sick.html (last updated Mar. 17, presents to their landlord will comply Furman_2021_6-22_FINAL_v2.pdf 2021). with this Order, as long as it contains
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the required elements of ‘‘Covered Congress has appropriated Based on the convergence of these person’’ as described in this Order. In approximately $46 billion—of which issues, I have determined that extending addition, tenants, lessees, and residents almost three-quarters is currently the temporary halt on evictions is of residential property are allowed to available to State and local grantees—to appropriate. declare in writing that they meet the help pay rent and rental arrears for Therefore, under 42 CFR 70.2, subject elements of covered person in other tenants who may otherwise be at high to the limitations under the languages. risk of eviction. According to estimates ‘‘Applicability’’ section, the September All declarations, regardless of form based on the U.S. Census Household 4, 2020 Order, as extended and used, must be signed, and must include Pulse Survey, approximately 6.4 million modified by the January 29, 2021 and a statement that the tenant, lessee, or renter households are behind on their March 28, 2021 Orders, is hereby resident of a residential property rent as of March 29, 2021. The extended through July 31, 2021. understands that they could be liable for successful delivery of those funds by Accordingly, a landlord, owner of a perjury for any false or misleading states and localities should greatly residential property, or other person statements or omissions in the reduce the incidence of eviction that with a legal right to pursue eviction or declaration. This Order does not would occur in the absence of that possessory action shall not evict any preclude a landlord challenging the support. However, many states and covered person from any residential truthfulness of a tenant’s, lessee’s, or localities are still ramping up the property in any State or U.S. territory resident’s declaration in court, as collection and processing of where there are documented cases of permitted under State or local law. applications and the delivery of COVID–19 and the State or U.S. territory In certain circumstances, such as assistance and putting in place other has provided a level of public-health individuals filing a joint tax return, it eviction prevention strategies. It was protections below the requirements may be appropriate for one member of only in the beginning of June that all listed in this Order. the residence to provide an executed State-run emergency rental assistance This Order is not a rule within the declaration on behalf of the other adult programs had opened for applications. If meaning of the Administrative residents party to the lease, rental the moratorium expires on June 30, a Procedure Act (APA) but rather an agreement, or housing contract. The wave of evictions, on the order of emergency action taken under the declaration may be signed and hundreds of thousands, could occur this existing authority of 42 CFR 70.2. The transmitted either electronically or by summer and early fall, exacerbating the purpose of § 70.2, which was hard copy. spread of COVID–19 among the promulgated through notice-and- As long as the information in a significant percentage of the population comment rulemaking, is to enable CDC previously signed declaration submitted that remains unvaccinated. In to take swift steps to prevent contagion under a previous order remains submit appropriating these emergency rental without having to seek a second round a new declaration under this Order. assistance funds, Congress intended that of public comments and without a delay Findings and Action the funding would work in concert with in effective date.40 the eviction moratorium, providing time Determination for rental assistance to reach eligible Good Cause For the reasons described herein, I am tenants and landlords to sustainably In the event this Order qualifies as a extending the September 4, 2020 Order, reduce the threat of an eviction wave rule under the APA, there is good cause as extended by section 502 of Title V, after an eviction moratorium was no to dispense with prior public notice and Division N of the Consolidated longer in effect. While the pace of comment and a delay in effective date. Appropriations Act, 2021 and further assistance is continuing to increase, See 5 U.S.C. 553(b)(B), (d)(3). Good extended and modified by the January without additional time for states and cause exists, in sum, because the public 29, 2021 and March 28, 2021 Orders. I localities to deliver this needed relief health emergency caused by the have determined based on the and engage in other efforts to prevent COVID–19 pandemic and the information below that extending the evictions, a surge of evictions would unpredictability of the trajectory of the temporary halt in evictions in this Order occur upon the conclusion of the pandemic make it impracticable and constitutes a reasonably necessary national moratorium. A surge in contrary to the public health, and by measure under 42 CFR 70.2 to prevent evictions would lead to immediate extension the public interest, to delay the further spread of COVID–19 movement, crowding, and increased the issuance and effective date of this throughout the United States. I have stress on the homeless service system. Order. further determined that measures by In combination with ongoing COVID–19 In the September 4, 2020 Order, the states, localities, or territories that do transmission, and the overlapping previous CDC Director determined that not meet or exceed these minimum factors described above, this would good cause existed because the public protections are insufficient to prevent create considerable risk for the rapid health emergency caused by COVID–19 the interstate spread of COVID–19. transmission of COVID–19 in high-risk made it impracticable and contrary to State and local jurisdictions continue settings. Allowing additional time for the public health, and by extension the to distribute emergency rental assistance rent relief to reach renters—alongside public interest, to delay the issuance funds, provided by the Department of other Federal and State actions to and effective date of the Order. The Treasury, that will help avert a spate of prevent evictions—by an extension previous Director also found that a evictions and thus mitigate through the month of July 2021 can delay in the effective date of the Order corresponding spikes in COVID–19 decrease the numbers of likely evictions would permit the occurrence of transmission. Although trends have and avert the potential of COVID–19 evictions—potentially on a mass scale— improved dramatically since January resurgence among people who that would have potentially significant 2021, there continues to be ongoing experience eviction, their communities, consequences. For these reasons, the transmission of approximately 10,000 and other regions of the country affected previous Director concluded that the cases per day in the United States.39 by the resulting transmission. delay in the effective date of the Order
39 COVID Data Tracker, Centers for Disease covid-data-tracker/#trends_dailytrendscases (last 40 Chambless Enters., LLC v. Redfield, No. 20– Control and Prevention, https://covid.cdc.gov/ updated June 22, 2021). 1455, 2020 WL 7588849 (W.D. La. 2020).
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would defeat the purpose of the Order circumstances other than those to which through the Consolidated and endanger the public health and, it is held invalid, shall remain valid and Appropriations Act of 2021 and the therefore, determined that immediate in effect. American Rescue Plan (ARP). action was necessary. As a result, the This Order shall be enforced by Furthermore, in 2020 44 states and 310 previous Director issued the Order Federal authorities and cooperating local jurisdictions allocated about $3.9 without prior notice and comment and State and local authorities through the billion toward emergency rental without a delay in the effective date. I provisions of 18 U.S.C. 3559, 3571; 42 assistance, largely from funds made similar findings in the January 29, U.S.C. 243, 268, 271; and 42 CFR 70.18. appropriated to HUD from the 2021 and March 28, 2021 Orders, and However, this Order has no effect on the Coronavirus Aid, Relief, and Economic similar findings, as described herein, contractual obligations of renters to pay Security (CARES).41 These three rounds continue to exist. rent and shall not preclude charging or of Federal appropriations also provided The rapidly changing nature of the collecting fees, penalties, or interest as substantial resources for homeless pandemic requires not only that CDC act a result of the failure to pay rent or other services, homeowner assistance, and swiftly, but also deftly to ensure that its housing payment on a timely basis, supplemental stimulus and actions are commensurate with the under the terms of any applicable unemployment benefits that low-income threat. This necessarily involves contract. renters used to pay rent. assessing evolving conditions that Visit https://home.treasury.gov/ inform CDC’s determinations. And Criminal Penalties policy-issues/cares/state-and-local- although the pandemic is showing Under 18 U.S.C. 3559, 3571; 42 U.S.C. governments for more information about positive trends, the fundamental public 271; and 42 CFR 70.18, a person the Coronavirus Relief Fund and https:// health threat that existed on September violating this Order may be subject to a home.treasury.gov/policy-issues/cares/ 4, 2020, January 29, 2021, and March fine of no more than $100,000 or one emergency-rental-assistance-program 28, 2021—the risk of large numbers of year in jail, or both, if the violation does for more information about the residential evictions contributing to the not result in a death, or a fine of no Emergency Rental Assistance Program. spread of COVID–19 throughout the more than $250,000 or one year in jail, Relevant agencies have informed CDC United States—continues to exist. or both if the violation results in a that forbearance policies for mortgages Without this Order, there is every death, or as otherwise provided by law. backed by the Federal Government reason to expect that evictions will An organization violating this Order provide many landlords, especially increase. It is imperative that public may be subject to a fine of no more than smaller landlords, with temporary relief health authorities act quickly to mitigate $200,000 per event if the violation does as new emergency rental assistance such an increase of evictions, which not result in a death or $500,000 per programs are deployed. Treasury, HUD, could increase the likelihood of new event if the violation results in a death and USDA grantees and partners play a spikes in SARS–CoV–2 transmission or as otherwise provided by law. The critical role in prioritizing efforts to even as COVID–19 morbidity and U.S. Department of Justice may initiate support this goal. All communities mortality may be waning. Such mass criminal proceedings as appropriate should assess what resources have evictions and the attendant public- seeking imposition of these criminal already been allocated to prevent health consequences could unravel penalties. evictions and homelessness through positive trends, and would be very temporary rental assistance and difficult to reverse. Notice To Cooperating State and Local homelessness prevention, particularly to For all of these reasons, I hereby Officials the most vulnerable households. conclude that immediate action is again Under 42 U.S.C. 243, the U.S. Treasury, HUD, and USDA stand at the necessary and that notice-and-comment Department of Health and Human ready to support American communities rulemaking and a delay in effective date Services is authorized to cooperate with in taking these steps to reduce the would be impracticable and contrary to and aid State and local authorities in the spread of COVID–19 and maintain the public interest. enforcement of their quarantine and economic prosperity. other health regulations and to accept For program support, including Miscellaneous State and local assistance in the technical assistance, please visit Similarly, if this Order qualifies as a enforcement of Federal quarantine rules www.hudexchange.info/program- rule under the APA, the Office of and regulations, including in the support. For further information on Information and Regulatory Affairs enforcement of this Order. HUD resources, tools, and guidance (OIRA) has determined that it would be available to respond to the COVID–19 an economically significant regulatory Notice of Available Federal Resources pandemic, State and local officials are action pursuant to Executive Order While this Order to prevent eviction directed to visit https://www.hud.gov/ 12866 and a major rule under Subtitle is effectuated to protect the public coronavirus. These tools include E of the Small Business Regulatory health, the states and units of local toolkits for Public Housing Authorities Enforcement Fairness Act of 1996 (the government are reminded that the and Housing Choice Voucher landlords Congressional Review Act or CRA), 5 Federal Government has deployed related to housing stability and eviction U.S.C. 804(2). Thus, this action has been unprecedented resources to address the prevention, as well as similar guidance reviewed by OIRA. CDC has determined pandemic, including housing assistance. for owners and renters in HUD-assisted that for the same reasons given above, The Department of Housing and multifamily properties. Furthermore, there would be good cause under the Urban Development (HUD), the tenants can visit consumerfinance.gov/ CRA to make the requirements herein Department of Agriculture, and the housing for up-to-date information on effective immediately. 5 U.S.C. 808(2). Department of the Treasury have rent relief options, protections, and key If any provision of this Order, or the informed CDC that unprecedented deadlines. application of any provision to any emergency resources have been persons, entities, or circumstances, shall appropriated through various Federal 41 Vincent Reina et al, COVID–19 Emergency be held invalid, the remainder of the agencies that assist renters and Rental Assistance: Analysis of a National Survey of Programs, Research Brief, https://nlihc.org/sites/ provisions, or the application of such landlords during the pandemic, default/files/HIP_NLIHC_Furman_Brief_FINAL.pdf provisions to any persons, entities, or including $46.55 billion to the Treasury (last visited Mar. 26, 2021).
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Effective Date requested to the State Plan and the OCS proposes to revise the automated This Order is effective on July 1, 2021, Master List. No changes are proposed to CSBG State Plan format for states and and will remain in effect through July the ACSI. territories by revising questions for 31, 2021, subject to revision based on DATES: Comments due within 30 days of clarity and system compatibility. OCS the changing public health landscape. publication. OMB must make a decision does not anticipate that these revisions about the collection of information will cause any additional burden to Authority between 30 and 60 days after CSBG grantees as they have completed The authority for this Order is Section publication of this document in the the automated plan for six years. It is 361 of the Public Health Service Act (42 Federal Register. Therefore, a comment anticipated that the burden will U.S.C. 264) and 42 CFR 70.2. is best assured of having its full effect continue to diminish in subsequent Dated: June 24, 2021. if OMB receives it within 30 days of years due to improved automation. Sherri Berger, publication. In addition to the CSBG State Plan, Chief of Staff, Centers for Disease Control ADDRESSES: Written comments and OCS requests that all grantees revise and Prevention. recommendations for the proposed their CSBG Eligible Entity Master List in [FR Doc. 2021–13842 Filed 6–24–21; 2:00 pm] information collection should be sent year one to add the executive director BILLING CODE 4163–18–P within 30 days of publication of this and website for each agency. Grantees notice to www.reginfo.gov/public/do/ will revise the Master List as necessary PRAMain. Find this particular in subsequent years. As the CSBG DEPARTMENT OF HEALTH AND information collection by selecting HUMAN SERVICES Eligible Entity Master List is already ‘‘Currently under 30-day Review—Open completed and states have the Administration for Children and for Public Comments’’ or by using the information about their eligible entities Families search function. (or sub-grantees), the burden will be SUPPLEMENTARY INFORMATION: minimal to the states to provide the Submission for OMB Review; Description: Section 676 of the additional requested information. Community Services Block Grant Community Services Block Grant Lastly, the request includes a survey (CSBG) Model State Plan Applications (CSBG) Act requires states, including for the sub-grantees (or CSBG-eligible (OMB No. 0970–0382) the District of Columbia and the entities). The survey focuses on the AGENCY: Office of Community Services, Commonwealth of Puerto Rico, and U.S. customer service that the CSBG sub- Administration for Children and territories applying for CSBG funds to grantees receive from the CSBG Families, HHS. submit an application and plan (CSBG grantees. The survey is optional, and State Plan). The CSBG State Plan must ACTION: Request for public comment. this will be the fifth time that the CSBG meet statutory requirements prior to sub-grantees that chose to submit will SUMMARY: The Office of Community CSBG grantees (states and territories) complete it. There are no revisions Services (OCS) requests a three-year being funded with CSBG funds. proposed to the survey. extension of the forms Community Grantees have the option to submit a Services Block Grant (CSBG) State Plan, detailed plan annually or biannually. Respondents: State governments, CSBG Eligible Entity Master List, and Grantees that submit a biannual plan including the District of Columbia and the American Customer Survey Index must provide an abbreviated plan the the Commonwealth of Puerto Rico, and (ACSI) (OMB #0970–0382, expiration following year if substantial changes to U.S. territories, and local level sub- 6/30/2021). There are minimal changes the initial plan will occur. grantees.
ANNUAL BURDEN ESTIMATES
Total Total number of Average Total Annual Instrument number of responses per burden hours burden burden respondents respondent per response hours hours
CSBG State Plan Application for States ...... 56 3 31 5,208 1,736 CSBG Eligible Entity Master List ...... 56 3 2 336 112 CSBG ACSI Survey of Eligible Entities ...... 1,007 1 .33 332 111
Estimated Total Annual Burden DEPARTMENT OF HEALTH AND SUMMARY: The Food and Drug Hours: 1,848 hours for CSBG grantees; HUMAN SERVICES Administration (FDA or the Agency) has 111 for CSBG sub-grantees. determined the regulatory review period Food and Drug Administration for Smallpox and Monkeypox Vaccine, Authority: Sec. 676, Pub. L. 105–285, 112 Live and is publishing this notice of that Stat. 2735 (42 U.S.C. 9908) [Docket No. FDA–2020–E–1328] determination as required by law. FDA Mary B. Jones, has made the determination because of ACF/OPRE Certifying Officer. Determination of Regulatory Review the submission of an application to the Period for Purposes of Patent [FR Doc. 2021–13742 Filed 6–25–21; 8:45 am] Director of the U.S. Patent and Extension; Smallpox and Monkeypox Trademark Office (USPTO), Department BILLING CODE 4184–27–P Vaccine, Live of Commerce, for the extension of a patent which claims that human AGENCY: Food and Drug Administration, biological product. HHS. DATES: Anyone with knowledge that any ACTION: Notice. of the dates as published (see
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SUPPLEMENTARY INFORMATION) are • For written/paper comments Staff, 5630 Fishers Lane, Rm. 1061, incorrect may submit either electronic submitted to the Dockets Management Rockville, MD 20852, 240–402–7500. or written comments and ask for a Staff, FDA will post your comment, as FOR FURTHER INFORMATION CONTACT: redetermination by August 27, 2021. well as any attachments, except for Beverly Friedman, Office of Regulatory Furthermore, any interested person may information submitted, marked and Policy, Food and Drug Administration, petition FDA for a determination identified, as confidential, if submitted 10903 New Hampshire Ave., Bldg. 51, regarding whether the applicant for as detailed in ‘‘Instructions.’’ Rm. 6250, Silver Spring, MD 20993, extension acted with due diligence Instructions: All submissions received 301–796–3600. during the regulatory review period by must include the Docket No. FDA– SUPPLEMENTARY INFORMATION: December 27, 2021. See ‘‘Petitions’’ in 2020–E–1328 for ‘‘Determination of the SUPPLEMENTARY INFORMATION section Regulatory Review Period for Purposes I. Background for more information. of Patent Extension; Smallpox and The Drug Price Competition and ADDRESSES: You may submit comments Monkeypox Vaccine, Live.’’ Received Patent Term Restoration Act of 1984 as follows. Please note that late, comments, those filed in a timely (Pub. L. 98–417) and the Generic untimely filed comments will not be manner (see ADDRESSES), will be placed Animal Drug and Patent Term considered. Electronic comments must in the docket and, except for those Restoration Act (Pub. L. 100–670) be submitted on or before August 27, submitted as ‘‘Confidential generally provide that a patent may be 2021. The https://www.regulations.gov Submissions,’’ publicly viewable at extended for a period of up to 5 years electronic filing system will accept https://www.regulations.gov or at the so long as the patented item (human comments until 11:59 p.m. Eastern Time Dockets Management Staff between 9 drug product, animal drug product, at the end of August 27, 2021. a.m. and 4 p.m., Monday through medical device, food additive, or color Comments received by mail/hand Friday, 240–402–7500. additive) was subject to regulatory delivery/courier (for written/paper • Confidential Submissions—To review by FDA before the item was submissions) will be considered timely submit a comment with confidential marketed. Under these acts, a product’s if they are postmarked or the delivery information that you do not wish to be regulatory review period forms the basis service acceptance receipt is on or made publicly available, submit your for determining the amount of extension before that date. comments only as a written/paper an applicant may receive. submission. You should submit two A regulatory review period consists of Electronic Submissions copies total. One copy will include the two periods of time: A testing phase and Submit electronic comments in the information you claim to be confidential an approval phase. For human following way: with a heading or cover note that states biological products, the testing phase • Federal eRulemaking Portal: ‘‘THIS DOCUMENT CONTAINS begins when the exemption to permit https://www.regulations.gov. Follow the CONFIDENTIAL INFORMATION.’’ The the clinical investigations of the instructions for submitting comments. Agency will review this copy, including biological product becomes effective Comments submitted electronically, the claimed confidential information, in and runs until the approval phase including attachments, to https:// its consideration of comments. The begins. The approval phase starts with www.regulations.gov will be posted to second copy, which will have the the initial submission of an application the docket unchanged. Because your claimed confidential information to market the human biological product comment will be made public, you are redacted/blacked out, will be available and continues until FDA grants solely responsible for ensuring that your for public viewing and posted on permission to market the biological comment does not include any https://www.regulations.gov. Submit product. Although only a portion of a confidential information that you or a both copies to the Dockets Management regulatory review period may count third party may not wish to be posted, Staff. If you do not wish your name and toward the actual amount of extension such as medical information, your or contact information to be made publicly that the Director of USPTO may award anyone else’s Social Security number, or available, you can provide this (for example, half the testing phase must confidential business information, such information on the cover sheet and not be subtracted as well as any time that as a manufacturing process. Please note in the body of your comments and you may have occurred before the patent that if you include your name, contact must identify this information as was issued), FDA’s determination of the information, or other information that ‘‘confidential.’’ Any information marked length of a regulatory review period for identifies you in the body of your as ‘‘confidential’’ will not be disclosed a human biological product will include comments, that information will be except in accordance with § 10.20 (21 all of the testing phase and approval posted on https://www.regulations.gov. CFR 10.20) and other applicable phase as specified in 35 U.S.C. • If you want to submit a comment disclosure law. For more information 156(g)(1)(B). with confidential information that you about FDA’s posting of comments to FDA has approved for marketing the do not wish to be made available to the public dockets, see 80 FR 56469, human biologic product Smallpox and public, submit the comment as a September 18, 2015, or access the Monkeypox Vaccine, Live (Modified written/paper submission and in the information at: https:// Vaccinia Ankara). Smallpox and manner detailed (see ‘‘Written/Paper www.govinfo.gov/content/pkg/FR-2015- Monkeypox Vaccine, Live, is indicated Submissions’’ and ‘‘Instructions’’). 09-18/pdf/2015-23389.pdf. for prevention of smallpox and Docket: For access to the docket to monkeypox disease in adults 18 years of Written/Paper Submissions read background documents or the age and older determined to be at high Submit written/paper submissions as electronic and written/paper comments risk for smallpox or monkeypox follows: received, go to https:// infection. Subsequent to this approval, • Mail/Hand delivery/Courier (for www.regulations.gov and insert the the USPTO received a patent term written/paper submissions): Dockets docket number, found in brackets in the restoration application for Smallpox and Management Staff (HFA–305), Food and heading of this document, into the Monkeypox Vaccine, Live (U.S. Patent Drug Administration, 5630 Fishers ‘‘Search’’ box and follow the prompts No. 7,335,364) from Bavarian Nordic Lane, Rm. 1061, Rockville, MD 20852. and/or go to the Dockets Management A/S, and the USPTO requested FDA’s
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assistance in determining this patent’s regarding whether the applicant for practices. An earlier draft guidance for eligibility for patent term restoration. In extension acted with due diligence industry entitled ‘‘Safety Assessment for a letter dated July 14, 2020, FDA during the regulatory review period. To IND Safety Reporting’’ (December 2015) advised the USPTO that this human meet its burden, the petition must (the 2015 draft guidance) has been biological product had undergone a comply with all the requirements of incorporated into this draft guidance. regulatory review period and that the § 60.30, including but not limited to: However, this content was revised to approval of Smallpox and Monkeypox Must be timely (see DATES), must be address feedback from stakeholders and Vaccine, Live represented the first filed in accordance with § 10.20, must comments received on the 2015 draft permitted commercial marketing or use contain sufficient facts to merit an FDA guidance. Concurrent with the of the product. Thereafter, the USPTO investigation, and must certify that a publication of this draft guidance, we requested that FDA determine the true and complete copy of the petition are withdrawing the 2015 draft product’s regulatory review period. has been served upon the patent guidance. Additionally, this draft applicant. (See H. Rept. 857, part 1, 98th guidance incorporates content from the II. Determination of Regulatory Review Cong., 2d sess., pp. 41–42, 1984.) final guidance for industry and Period Petitions should be in the format investigators entitled ‘‘Safety Reporting FDA has determined that the specified in 21 CFR 10.30. Requirements for INDs and BA/BE applicable regulatory review period for Submit petitions electronically to Studies’’ (December 2012) (the 2012 Smallpox and Monkeypox Vaccine, Live https://www.regulations.gov at Docket final guidance). This incorporated is 5,650 days. Of this time, 5,315 days No. FDA–2013–S–0610. Submit written content remains largely unchanged in occurred during the testing phase of the petitions (two copies are required) to the this draft guidance. regulatory review period, while 335 Dockets Management Staff (HFA–305), DATES: Submit either electronic or days occurred during the approval Food and Drug Administration, 5630 written comments on the draft guidance phase. These periods of time were Fishers Lane, Rm. 1061, Rockville, MD by September 27, 2021 to ensure that derived from the following dates: 20852. the Agency considers your comment on 1. The date an exemption under Dated: June 22, 2021. this draft guidance before it begins work section 505(i) of the Federal Food, Drug, Lauren K. Roth, on the final version of the guidance. and Cosmetic Act (21 U.S.C. 355(i)) Acting Principal Associate Commissioner for ADDRESSES: You may submit comments became effective: April 7, 2004. The Policy. on any guidance at any time as follows: applicant claims March 8, 2004, as the [FR Doc. 2021–13686 Filed 6–25–21; 8:45 am] date the investigational new drug Electronic Submissions BILLING CODE 4164–01–P application (IND) became effective. Submit electronic comments in the However, FDA records indicate that the following way: • IND effective date was April 7, 2004, DEPARTMENT OF HEALTH AND Federal eRulemaking Portal: which was 30 days after FDA receipt of HUMAN SERVICES https://www.regulations.gov. Follow the the IND. instructions for submitting comments. 2. The date the application was Food and Drug Administration Comments submitted electronically, initially submitted with respect to the including attachments, to https:// human biological product under section [Docket No. FDA–2020–D–2099] www.regulations.gov will be posted to 351 of the Public Health Service Act (42 Sponsor Responsibilities—Safety the docket unchanged. Because your U.S.C. 262): October 25, 2018. FDA has Reporting Requirements and Safety comment will be made public, you are verified the applicant’s claim that the Assessment for Investigational New solely responsible for ensuring that your biologics license application (BLA) for Drug Application and Bioavailability/ comment does not include any Smallpox and Monkeypox Vaccine, Live Bioequivalence Studies; Draft confidential information that you or a (BLA 125678) was initially submitted on Guidance for Industry; Availability third party may not wish to be posted, October 25, 2018. such as medical information, your or 3. The date the application was AGENCY: Food and Drug Administration, anyone else’s Social Security number, or approved: September 24, 2019. FDA has HHS. confidential business information, such verified the applicant’s claim that BLA ACTION: Notice of availability. as a manufacturing process. Please note 125678 was approved on September 24, that if you include your name, contact 2019. SUMMARY: The Food and Drug information, or other information that This determination of the regulatory Administration (FDA or Agency) is identifies you in the body of your review period establishes the maximum announcing the availability of a draft comments, that information will be potential length of a patent extension. guidance for industry entitled ‘‘Sponsor posted on https://www.regulations.gov. However, the USPTO applies several Responsibilities—Safety Reporting • If you want to submit a comment statutory limitations in its calculations Requirements and Safety Assessment for with confidential information that you of the actual period for patent extension. Investigational New Drug Application do not wish to be made available to the In its application for patent extension, and Bioavailability/Bioequivalence public, submit the comment as a this applicant seeks 1,825 days of patent Studies.’’ The draft guidance provides written/paper submission and in the term extension. recommendations for sponsors and manner detailed (see ‘‘Written/Paper sponsor-investigators to comply with Submissions’’ and ‘‘Instructions’’). III. Petitions the requirements of investigational new Anyone with knowledge that any of drug application (IND) safety reporting Written/Paper Submissions the dates as published are incorrect may and safety reporting for bioavailability Submit written/paper submissions as submit either electronic or written (BA) and bioequivalence (BE) studies. In follows: comments and, under 21 CFR 60.24, ask doing so, the guidance provides • Mail/Hand delivery/Courier (for for a redetermination (see DATES). recommendations related to the two IND written/paper submissions): Dockets Furthermore, as specified in § 60.30 (21 safety reporting provisions that require Management Staff (HFA–305), Food and CFR 60.30), any interested person may assessment of aggregate data to facilitate Drug Administration, 5630 Fishers petition FDA for a determination appropriate IND safety reporting Lane, Rm. 1061, Rockville, MD 20852.
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• For written/paper comments You may submit comments on any FDA in this draft guidance. Noteworthy submitted to the Dockets Management guidance at any time (see 21 CFR changes include revised Staff, FDA will post your comment, as 10.115(g)(5)). recommendations on the following: (1) well as any attachments, except for Submit written requests for single Planned unblinding of safety data and information submitted, marked and copies of the draft guidance to the implications for trial integrity, (2) identified, as confidential, if submitted Division of Drug Information, Center for increased flexibility regarding the party as detailed in ‘‘Instructions.’’ Drug Evaluation and Research, Food reviewing safety information across a Instructions: All submissions received and Drug Administration, 10001 New development program for IND safety must include the Docket No. FDA– Hampshire Ave., Hillandale Building, reporting purposes, (3) clarification 2020–D–2099 for ‘‘Sponsor 4th Floor, Silver Spring, MD 20993– regarding the scope and methodology Responsibilities—Safety Reporting 0002. Send one self-addressed adhesive for aggregate analyses, and (4) Requirements and Safety Assessment for label to assist that office in processing clarification regarding the plan for Investigational New Drug Application your requests. See the SUPPLEMENTARY safety surveillance, including what and Bioavailability/Bioequivalence INFORMATION section for electronic elements should be included in the Studies.’’ Received comments will be access to the draft guidance document. plan. Accordingly, concurrent with the placed in the docket and, except for FOR FURTHER INFORMATION CONTACT: Paul publication of this draft guidance, we those submitted as ‘‘Confidential Gouge, Center for Drug Evaluation and are withdrawing the 2015 draft Submissions,’’ publicly viewable at Research, Food and Drug guidance. https://www.regulations.gov or at the Administration, 10903 New Hampshire Further, this draft guidance Dockets Management Staff between 9 Ave., Bldg. 51, Rm. 6328, Silver Spring, incorporates content from the 2012 final a.m. and 4 p.m., Monday through MD 20993–0002, CDEROMP@ guidance entitled ‘‘Safety Reporting Friday, 240–402–7500. fda.hhs.gov; or Stephen Ripley, Center Requirements for INDs and BA/BE • Confidential Submissions—To Studies’’. The content from the 2012 for Biologics Evaluation and Research, submit a comment with confidential final guidance remains largely Food and Drug Administration, 10903 information that you do not wish to be unchanged in this draft guidance; New Hampshire Ave., Bldg. 71, Rm. made publicly available, submit your however, this draft guidance does not 7301, Silver Spring, MD 20993–0002, comments only as a written/paper incorporate the investigator provisions 240–402–7911. submission. You should submit two of the 2012 final guidance. FDA intends copies total. One copy will include the SUPPLEMENTARY INFORMATION: to publish a separate draft guidance on information you claim to be confidential I. Background investigator’s responsibilities for safety with a heading or cover note that states reporting for human drug and biological ‘‘THIS DOCUMENT CONTAINS FDA is announcing the availability of products that are being investigated CONFIDENTIAL INFORMATION.’’ The a draft guidance for industry entitled under an IND. Agency will review this copy, including ‘‘Sponsor Responsibilities—Safety When this draft guidance and the the claimed confidential information, in Reporting Requirements and Safety draft guidance on investigator’s its consideration of comments. The Assessment for Investigational New responsibilities for IND safety reporting second copy, which will have the Drug Application and Bioavailability/ are finalized, FDA plans to withdraw claimed confidential information Bioequivalence Studies.’’ The draft the 2012 final guidance. However, until redacted/blacked out, will be available guidance provides recommendations for FDA finalizes these two draft guidances, for public viewing and posted on sponsors and sponsor-investigators to the 2012 final guidance remains in https://www.regulations.gov. Submit facilitate compliance with the effect and represents FDA’s current both copies to the Dockets Management requirements of IND safety reporting thinking. Staff. If you do not wish your name and and safety reporting for BA and BE This draft guidance is being issued contact information to be made publicly studies under §§ 312.32 and consistent with FDA’s good guidance available, you can provide this 320.31(d)(3) (21 CFR 312.32 and practices regulation (21 CFR 10.115). information on the cover sheet and not 320.31(d)(3)). In doing so, the draft The draft guidance, when finalized, will in the body of your comments and you guidance provides recommendations for represent the current thinking of FDA must identify this information as sponsors related to the two IND safety on ‘‘Sponsor Responsibilities—Safety ‘‘confidential.’’ Any information marked reporting provisions (§ 312.32(c)(1)(i)(C) Reporting Requirements and Safety as ‘‘confidential’’ will not be disclosed and (iv)) that require assessment of Assessment for Investigational New except in accordance with 21 CFR 10.20 aggregate data to facilitate appropriate Drug Application and Bioavailability/ and other applicable disclosure law. For IND safety reporting practices. More Bioequivalence Studies.’’ It does not more information about FDA’s posting generally, it provides sponsors and establish any rights for any person and of comments to public dockets, see 80 sponsor-investigators recommendations is not binding on FDA or the public. FR 56469, September 18, 2015, or access regarding expedited safety reporting You can use an alternative approach if the information at: https:// requirements for human drug and it satisfies the requirements of the www.govinfo.gov/content/pkg/FR-2015- biological products that are being applicable statutes and regulations. 09-18/pdf/2015-23389.pdf. investigated under an IND and for drugs Docket: For access to the docket to that are the subject of BA and BE studies II. Paperwork Reduction Act of 1995 read background documents or the that are exempt from the IND While this guidance contains no electronic and written/paper comments requirements. collection of information, it does refer to received, go to https:// In the Federal Register of December previously approved FDA collections of www.regulations.gov and insert the 17, 2015 (80 FR 78743), FDA announced information. Therefore, clearance by the docket number, found in brackets in the the availability of the 2015 draft Office of Management and Budget heading of this document, into the guidance entitled ‘‘Safety Assessment (OMB) under the Paperwork Reduction ‘‘Search’’ box and follow the prompts for IND Safety Reporting.’’ FDA received Act of 1995 (PRA) (44 U.S.C. 3501– and/or go to the Dockets Management numerous comments on the 2015 draft 3521) is not required for this guidance. Staff, 5630 Fishers Lane, Rm. 1061, guidance, and these comments were The previously approved collections of Rockville, MD 20852, 240–402–7500. carefully considered and addressed by information are subject to review by
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OMB under the PRA. The collections of ADDRESSES: You may submit comments timely manner (see ADDRESSES), will be information in 21 CFR parts 312 and as follows. Please note that late, placed in the docket and, except for 320 have been approved under OMB untimely filed comments will not be those submitted as ‘‘Confidential control number 0910–0014. considered. Electronic comments must Submissions,’’ publicly viewable at be submitted on or before August 27, https://www.regulations.gov or at the III. Electronic Access 2021. The https://www.regulations.gov Dockets Management Staff between 9 Persons with access to the internet electronic filing system will accept a.m. and 4 p.m., Monday through may obtain the draft guidance at https:// comments until 11:59 p.m. Eastern Time Friday, 240–402–7500. www.fda.gov/Drugs/ at the end of August 27, 2021. • Confidential Submissions—To GuidanceComplianceRegulatory Comments received by mail/hand submit a comment with confidential Information/Guidances/default.htm, delivery/courier (for written/paper information that you do not wish to be https://www.fda.gov/vaccines-blood- submissions) will be considered timely made publicly available, submit your biologics/guidance-compliance- if they are postmarked or the delivery comments only as a written/paper regulatory-information-biologics/ service acceptance receipt is on or submission. You should submit two biologics-guidances, https:// before that date. copies total. One copy will include the www.fda.gov/regulatory-information/ information you claim to be confidential Electronic Submissions search-fda-guidance-documents, or with a heading or cover note that states https://www.regulations.gov. Submit electronic comments in the ‘‘THIS DOCUMENT CONTAINS Dated: June 22, 2021. following way: CONFIDENTIAL INFORMATION.’’ The • Federal eRulemaking Portal: Lauren K. Roth, Agency will review this copy, including https://www.regulations.gov. Follow the the claimed confidential information, in Acting Principal Associate Commissioner for instructions for submitting comments. Policy. its consideration of comments. The Comments submitted electronically, second copy, which will have the [FR Doc. 2021–13684 Filed 6–25–21; 8:45 am] including attachments, to https:// claimed confidential information BILLING CODE 4164–01–P www.regulations.gov will be posted to redacted/blacked out, will be available the docket unchanged. Because your for public viewing and posted on comment will be made public, you are https://www.regulations.gov. Submit DEPARTMENT OF HEALTH AND solely responsible for ensuring that your HUMAN SERVICES both copies to the Dockets Management comment does not include any Staff. If you do not wish your name and Food and Drug Administration confidential information that you or a contact information to be made publicly third party may not wish to be posted, available, you can provide this such as medical information, your or [Docket No. FDA–2021–E–0029] information on the cover sheet and not anyone else’s Social Security number, or in the body of your comments and you Determination of Regulatory Review confidential business information, such must identify this information as Period for Purposes of Patent as a manufacturing process. Please note ‘‘confidential.’’ Any information marked Extension; TAZVERIK that if you include your name, contact as ‘‘confidential’’ will not be disclosed information, or other information that except in accordance with § 10.20 (21 AGENCY: Food and Drug Administration, identifies you in the body of your CFR 10.20) and other applicable HHS. comments, that information will be disclosure law. For more information posted on https://www.regulations.gov. ACTION: Notice. • about FDA’s posting of comments to If you want to submit a comment public dockets, see 80 FR 56469, SUMMARY: The Food and Drug with confidential information that you September 18, 2015, or access the Administration (FDA or the Agency) has do not wish to be made available to the information at: https:// determined the regulatory review period public, submit the comment as a www.govinfo.gov/content/pkg/FR-2015- for TAZVERIK and is publishing this written/paper submission and in the 09-18/pdf/2015-23389.pdf. notice of that determination as required manner detailed (see ‘‘Written/Paper Docket: For access to the docket to by law. FDA has made the Submissions’’ and ‘‘Instructions’’). read background documents or the determination because of the Written/Paper Submissions electronic and written/paper comments submission of an application to the received, go to https:// Submit written/paper submissions as Director of the U.S. Patent and www.regulations.gov and insert the follows: Trademark Office (USPTO), Department • docket number, found in brackets in the of Commerce, for the extension of a Mail/Hand delivery/Courier (for written/paper submissions): Dockets heading of this document, into the patent which claims that human drug ‘‘Search’’ box and follow the prompts product. Management Staff (HFA–305), Food and Drug Administration, 5630 Fishers and/or go to the Dockets Management DATES: Anyone with knowledge that any Lane, Rm. 1061, Rockville, MD 20852. Staff, 5630 Fishers Lane, Rm. 1061, of the dates as published (see • For written/paper comments Rockville, MD 20852, 240–402–7500. SUPPLEMENTARY INFORMATION) are submitted to the Dockets Management FOR FURTHER INFORMATION CONTACT: incorrect may submit either electronic Staff, FDA will post your comment, as Beverly Friedman, Office of Regulatory or written comments and ask for a well as any attachments, except for Policy, Food and Drug Administration, redetermination by August 27, 2021. information submitted, marked and 10903 New Hampshire Ave., Bldg. 51, Furthermore, any interested person may identified, as confidential, if submitted Rm. 6250, Silver Spring, MD 20993, petition FDA for a determination as detailed in ‘‘Instructions.’’ 301–796–3600. regarding whether the applicant for Instructions: All submissions received SUPPLEMENTARY INFORMATION: extension acted with due diligence must include the Docket No. FDA– during the regulatory review period by 2021–E–0029 for ‘‘Determination of I. Background December 27, 2021. See ‘‘Petitions’’ in Regulatory Review Period for Purposes The Drug Price Competition and the SUPPLEMENTARY INFORMATION section of Patent Extension; TAZVERIK.’’ Patent Term Restoration Act of 1984 for more information. Received comments, those filed in a (Pub. L. 98–417) and the Generic
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Animal Drug and Patent Term II. Determination of Regulatory Review No. FDA–2013–S–0610. Submit written Restoration Act (Pub. L. 100–670) Period petitions (two copies are required) to the generally provide that a patent may be FDA has determined that the Dockets Management Staff (HFA–305), extended for a period of up to 5 years applicable regulatory review period for Food and Drug Administration, 5630 so long as the patented item (human TAZVERIK is 1,618 days. Of this time, Fishers Lane, Rm. 1061, Rockville, MD drug product, animal drug product, 1,372 days occurred during the testing 20852. medical device, food additive, or color phase of the regulatory review period, Dated: June 22, 2021. additive) was subject to regulatory while 246 days occurred during the Lauren K. Roth, review by FDA before the item was approval phase. These periods of time Acting Principal Associate Commissioner for marketed. Under these acts, a product’s were derived from the following dates: Policy. regulatory review period forms the basis 1. The date an exemption under for determining the amount of extension [FR Doc. 2021–13743 Filed 6–25–21; 8:45 am] section 505(i) of the Federal Food, Drug, BILLING CODE 4164–01–P an applicant may receive. and Cosmetic Act (FD&C Act) (21 U.S.C. A regulatory review period consists of 355(i)) became effective: August 21, two periods of time: A testing phase and 2015. FDA has verified the applicant’s DEPARTMENT OF HEALTH AND an approval phase. For human drug claim that the date the investigational HUMAN SERVICES products, the testing phase begins when new drug application became effective the exemption to permit the clinical was on August 21, 2015. Food and Drug Administration investigations of the drug becomes 2. The date the application was [Docket No. FDA–2019–E–5831] effective and runs until the approval initially submitted with respect to the phase begins. The approval phase starts human drug product under section 505 Determination of Regulatory Review with the initial submission of an of the FD&C Act: May 23, 2019. FDA has Period for Purposes of Patent application to market the human drug verified the applicant’s claim that the Extension; GORE CARDIOFORM ASD product and continues until FDA grants new drug application (NDA) for OCCLUDER permission to market the drug product. TAZVERIK (NDA 211723) was initially Although only a portion of a regulatory submitted on May 23, 2019. AGENCY: Food and Drug Administration, review period may count toward the 3. The date the application was HHS. actual amount of extension that the approved: January 23, 2020. FDA has ACTION: Notice. Director of USPTO may award (for verified the applicant’s claim that NDA SUMMARY: The Food and Drug example, half the testing phase must be 211723 was approved on January 23, subtracted as well as any time that may Administration (FDA or Agency) has 2020. determined the regulatory review period have occurred before the patent was This determination of the regulatory issued), FDA’s determination of the for GORE CARDIOFORM ASD review period establishes the maximum OCCLUDER and is publishing this length of a regulatory review period for potential length of a patent extension. a human drug product will include all notice of that determination as required However, the USPTO applies several by law. FDA has made the of the testing phase and approval phase statutory limitations in its calculations as specified in 35 U.S.C. 156(g)(1)(B). determination because of the of the actual period for patent extension. submission of an application to the FDA has approved for marketing the In its application for patent extension, human drug product, TAZVERIK Director of the U.S. Patent and this applicant seeks 650 days of patent Trademark Office (USPTO), Department (tazemetostat). TAZVERIK is indicated term extension. for the treatment of adults and pediatric of Commerce, for the extension of a patients aged 16 years and older with III. Petitions patent which claims that medical metastatic or locally advanced Anyone with knowledge that any of device. epithelioid sarcoma not eligible for the dates as published are incorrect may DATES: Anyone with knowledge that any complete resection. This indication is submit either electronic or written of the dates as published (see approved under accelerated approval comments and, under 21 CFR 60.24, ask SUPPLEMENTARY INFORMATION) are based on overall response rate and for a redetermination (see DATES). incorrect may submit either electronic duration of response. Continued Furthermore, as specified in § 60.30 (21 or written comments and ask for a approval for this indication may be CFR 60.30), any interested person may redetermination by August 27, 2021. contingent upon verification and petition FDA for a determination Furthermore, any interested person may description of clinical benefit in regarding whether the applicant for petition FDA for a determination confirmatory trials. Subsequent to this extension acted with due diligence regarding whether the applicant for approval, the USPTO received a patent during the regulatory review period. To extension acted with due diligence term restoration application for meet its burden, the petition must during the regulatory review period by TAZVERIK (U.S. Patent No. 8,410,088) comply with all the requirements of December 27, 2021. See ‘‘Petitions’’ in from Epizyme, Inc., and the USPTO § 60.30, including but not limited to: the SUPPLEMENTARY INFORMATION section requested FDA’s assistance in Must be timely (see DATES), must be for more information. determining the patent’s eligibility for filed in accordance with § 10.20, must ADDRESSES: You may submit comments patent term restoration. In a letter dated contain sufficient facts to merit an FDA as follows. Please note that late, March 1, 2021, FDA advised the USPTO investigation, and must certify that a untimely filed comments will not be that this human drug product had true and complete copy of the petition considered. Electronic comments must undergone a regulatory review period has been served upon the patent be submitted on or before August 27, and that the approval of TAZVERIK applicant. (See H. Rept. 857, part 1, 98th 2021. The https://www.regulations.gov represented the first permitted Cong., 2d sess., pp. 41–42, 1984.) electronic filing system will accept commercial marketing or use of the Petitions should be in the format comments until 11:59 p.m. Eastern Time product. Thereafter, the USPTO specified in 21 CFR 10.30. at the end of August 27, 2021. requested that FDA determine the Submit petitions electronically to Comments received by mail/hand product’s regulatory review period. https://www.regulations.gov at Docket delivery/courier (for written/paper
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submissions) will be considered timely information that you do not wish to be regulatory review period forms the basis if they are postmarked or the delivery made publicly available, submit your for determining the amount of extension service acceptance receipt is on or comments only as a written/paper an applicant may receive. before that date. submission. You should submit two A regulatory review period consists of copies total. One copy will include the two periods of time: A testing phase and Electronic Submissions information you claim to be confidential an approval phase. For medical devices, Submit electronic comments in the with a heading or cover note that states the testing phase begins with a clinical following way: ‘‘THIS DOCUMENT CONTAINS investigation of the device and runs • Federal eRulemaking Portal: CONFIDENTIAL INFORMATION.’’ The until the approval phase begins. The https://www.regulations.gov. Follow the Agency will review this copy, including approval phase starts with the initial instructions for submitting comments. the claimed confidential information, in submission of an application to market Comments submitted electronically, its consideration of comments. The the device and continues until including attachments, to https:// second copy, which will have the permission to market the device is www.regulations.gov will be posted to claimed confidential information granted. Although only a portion of a the docket unchanged. Because your redacted/blacked out, will be available regulatory review period may count comment will be made public, you are for public viewing and posted on toward the actual amount of extension solely responsible for ensuring that your https://www.regulations.gov. Submit that the Director of USPTO may award comment does not include any both copies to the Dockets Management (half the testing phase must be confidential information that you or a Staff. If you do not wish your name and subtracted as well as any time that may third party may not wish to be posted, contact information to be made publicly have occurred before the patent was such as medical information, your or available, you can provide this issued), FDA’s determination of the anyone else’s Social Security number, or information on the cover sheet and not length of a regulatory review period for confidential business information, such in the body of your comments and you a medical device will include all of the as a manufacturing process. Please note must identify this information as testing phase and approval phase as that if you include your name, contact ‘‘confidential.’’ Any information marked specified in 35 U.S.C. 156(g)(3)(B). information, or other information that as ‘‘confidential’’ will not be disclosed FDA has approved for marketing the identifies you in the body of your except in accordance with § 10.20 (21 medical device, GORE CARDIOFORM comments, that information will be CFR 10.20) and other applicable ASD OCCLUDER. GORE CARDIOFORM posted on https://www.regulations.gov. ASD OCCLUDER is indicated for the • disclosure law. For more information If you want to submit a comment about FDA’s posting of comments to percutaneous, transcatheter closure of with confidential information that you public dockets, see 80 FR 56469, the following defects of the atrial do not wish to be made available to the September 18, 2015, or access the septum: Ostium secundum atrial septal defects (ASDs), patent foramen ovale to public, submit the comment as a information at: https:// reduce the risk of recurrent ischemic written/paper submission and in the www.govinfo.gov/content/pkg/FR-2015- stroke in patients, predominantly manner detailed (see ‘‘Written/Paper 09-18/pdf/2015-23389.pdf. between the ages of 18 and 60 years, Submissions’’ and ‘‘Instructions’’). Docket: For access to the docket to who have had a cryptogenic stroke due read background documents or the Written/Paper Submissions to a presumed paradoxical embolism, as electronic and written/paper comments Submit written/paper submissions as determined by a neurologist and received, go to https:// follows: cardiologist following an evaluation to www.regulations.gov and insert the • Mail/Hand delivery/Courier (for exclude known causes of ischemic docket number, found in brackets in the written/paper submissions): Dockets stroke. Subsequent to this approval, the heading of this document, into the Management Staff (HFA–305), Food and USPTO received a patent term ‘‘Search’’ box and follow the prompts Drug Administration, 5630 Fishers restoration application for GORE and/or go to the Dockets Management Lane, Rm. 1061, Rockville, MD 20852. CARDIOFORM ASD OCCLUDER (U.S. • For written/paper comments Staff, 5630 Fishers Lane, Rm. 1061, Patent No. 9,474,517) from W.L. Gore & submitted to the Dockets Management Rockville, MD 20852, 240–402–7500. Associates, Inc., and the USPTO Staff, FDA will post your comment, as FOR FURTHER INFORMATION CONTACT: requested FDA’s assistance in well as any attachments, except for Beverly Friedman, Office of Regulatory determining this patent’s eligibility for information submitted, marked and Policy, Food and Drug Administration, patent term restoration. In a letter dated identified, as confidential, if submitted 10903 New Hampshire Ave., Bldg. 51, January 21, 2020, FDA advised the as detailed in ‘‘Instructions.’’ Rm. 6250, Silver Spring, MD 20993, USPTO that this medical device had Instructions: All submissions received 301–796–3600. undergone a regulatory review period must include the Docket No. FDA– SUPPLEMENTARY INFORMATION: and that the approval of GORE 2019–E–5831 for ‘‘Determination of I. Background CARDIOFORM ASD OCCLUDER Regulatory Review Period for Purposes represented the first permitted of Patent Extension; GORE The Drug Price Competition and commercial marketing or use of the CARDIOFORM ASD OCCLUDER.’’ Patent Term Restoration Act of 1984 product. Thereafter, the USPTO Received comments, those filed in a (Pub. L. 98–417) and the Generic requested that FDA determine the timely manner (see ADDRESSES), will be Animal Drug and Patent Term product’s regulatory review period. placed in the docket and, except for Restoration Act (Pub. L. 100–670) those submitted as ‘‘Confidential generally provide that a patent may be II. Determination of Regulatory Review Submissions,’’ publicly viewable at extended for a period of up to 5 years Period https://www.regulations.gov or at the so long as the patented item (human FDA has determined that the Dockets Management Staff between 9 drug product, animal drug product, applicable regulatory review period for a.m. and 4 p.m., Monday through medical device, food additive, or color GORE CARDIOFORM ASD OCCLUDER Friday, 240–402–7500. additive) was subject to regulatory is 931 days. Of this time, 751 days • Confidential Submissions—To review by FDA before the item was occurred during the testing phase of the submit a comment with confidential marketed. Under these acts, a product’s regulatory review period, while 180
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days occurred during the approval applicant. (See H. Rept. 857, part 1, 98th collection for the proper performance of phase. These periods of time were Cong., 2d sess., pp. 41–42, 1984.) the agency’s functions; (2) the accuracy derived from the following dates: Petitions should be in the format of the estimated burden; (3) ways to 1. The date an exemption for this specified in 21 CFR 10.30. enhance the quality, utility, and clarity device, under section 520(g) of the Submit petitions electronically to of the information to be collected; and Federal Food, Drug, and Cosmetic Act https://www.regulations.gov at Docket (4) the use of automated collection (FD&C Act) (21 U.S.C. 360j(g)), became No. FDA–2013–S–0610. Submit written techniques or other forms of information effective: November 10, 2016. FDA has petitions (two copies are required) to the technology to minimize the information verified the applicant’s claim that the Dockets Management Staff (HFA–305), collection burden. date the investigational device Food and Drug Administration, 5630 Title of the Collection: Prevention exemption (IDE) for human tests to Fishers Lane, Rm. 1061, Rockville, MD Communication Formative Research. begin, as required under section 520(g) 20852. of the FD&C Act, became effective Type of Collection: Revision. Dated: June 22, 2021. November 10, 2016. OMB No.: 0990–0281. 2. The date an application was Lauren K. Roth, Abstract: The Office of Disease initially submitted with respect to the Acting Principal Associate Commissioner for Prevention and Health Promotion device under section 515 of the FD&C Policy. (ODPHP) is focused on developing and Act (21 U.S.C. 360e): November 30, [FR Doc. 2021–13687 Filed 6–25–21; 8:45 am] disseminating health information to the 2018. FDA has verified the applicant’s BILLING CODE 4164–01–P public. ODPHP faces an increasingly claim that the premarket approval urgent interest in finding effective ways application (PMA) for GORE to communicate health information to CARDIOFORM ASD OCCLUDER (PMA DEPARTMENT OF HEALTH AND America’s diverse population. ODPHP 050006 S071) was initially submitted HUMAN SERVICES strives to be responsive to the needs of November 30, 2018. [Document Identifier: OS–0990–0281] America’s diverse audiences while 3. The date the application was simultaneously serving all Americans approved: May 28, 2019. FDA has Agency Information Collection across a range of channels, from print to verified the applicant’s claim that PMA Request; 60-Day Public Comment new communication technologies. To 050006 S071 was approved on May 28, Request carry out prevention information efforts, 2019. ODPHP is committed to conducting AGENCY: Office of the Secretary, HHS. This determination of the regulatory formative and usability research to review period establishes the maximum ACTION: Notice. provide guidance on the development potential length of a patent extension. and implementation of their However, the USPTO applies several SUMMARY: In compliance with the requirement of the Paperwork communication and education efforts. statutory limitations in its calculations The information collected will be used of the actual period for patent extension. Reduction Act of 1995, the Office of the Secretary (OS), Department of Health to improve communication, products, In its application for patent extension, and services that support key office this applicant seeks 556 days of patent and Human Services, is publishing the activities including: Healthy People, term extension. following summary of a proposed collection for public comment. Dietary Guidelines for Americans, III. Petitions Physical Activity Guidelines for DATES: Comments on the ICR must be Americans, the Move Your Way Anyone with knowledge that any of received on or before August 27, 2021. the dates as published are incorrect may Campaign and the President’s Council ADDRESSES: Submit your comments to submit either electronic or written on Sports, Fitness & Nutrition. ODPHP [email protected] or by calling comments and, under 21 CFR 60.24, ask communicates through its website (202) 795–7714. for a redetermination (see DATES). (www.health.gov) and through other Furthermore, as specified in § 60.30 (21 FOR FURTHER INFORMATION CONTACT: channels including social media, print CFR 60.30), any interested person may When submitting comments or materials, interactive training modules, petition FDA for a determination requesting information, please include and reports. Data collection will be regarding whether the applicant for the document identifier 0990–0281–60D qualitative and quantitative and may extension acted with due diligence and project title for reference, to include in-depth interviews, focus during the regulatory review period. To Sherrette A. Funn, email: groups, web-based surveys, omnibus meet its burden, the petition must [email protected], or call (202) surveys, card sorting, and various forms comply with all the requirements of 795–7714 the Reports Clearance Officer. of usability testing of materials and § 60.30, including but not limited to: SUPPLEMENTARY INFORMATION: Interested interactive tools to assess the public’s Must be timely (see DATES), must be persons are invited to send comments understanding of disease prevention filed in accordance with § 10.20, must regarding this burden estimate or any and health promotion content, contain sufficient facts to merit an FDA other aspect of this collection of responses to prototype materials, and investigation, and must certify that a information, including any of the barriers to effective use. true and complete copy of the petition following subjects: (1) The necessity and The program is requesting a 3-year has been served upon the patent utility of the proposed information extension of the clearance.
ANNUALIZED BURDEN HOUR TABLE
Number of Average Forms Number of responses per burden per Total burden (if necessary) respondents respondents response hours
In-depth interviews—Screener ...... 1,500 1 10/60 250 In-depth interviews—Instrument ...... 500 1 1.00 500 Focus groups—Screener ...... 2,925 1 10/60 487.5
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ANNUALIZED BURDEN HOUR TABLE—Continued
Number of Average Forms Number of responses per burden per Total burden (if necessary) respondents respondents response hours
Focus groups—Instrument ...... 975 1 1.50 1,462.5 Intercept interviews ...... 5,250 1 5/60 437.50 Cognitive testing of instruments—Screener ...... 150 1 10/60 25 Cognitive testing of instruments—Cognitive test ...... 50 1 2.00 100 Web-based surveys—Screener ...... 30,000 1 5/60 2,500 Web-based surveys—Survey ...... 10,000 1 15/60 2,500 Omnibus surveys ...... 2,100 1 10/60 350 Gatekeeper reviews ...... 325 1 30/60 162.5 Card sorting—Screener ...... 600 1 10/60 100 Card sorting—Card sort ...... 200 1 1.00 200 Usability and prototype testing of materials (print and web)—Screener ...... 1,800 1 10/60 300 Usability and prototype testing of materials (print and web)—usability tests 600 1 1.00 600
Total ...... 9,975.00
Sherrette A. Funn, aligned with or promoting HP2030, community, academia, education, faith- Paperwork Reduction Act Reports Clearance HP2030’s vision, and HP2030’s based, government, health care, media, Officer, Office of the Secretary. overarching goals. All organizations public health, and technology; [FR Doc. 2021–13737 Filed 6–25–21; 8:45 am] may apply. Applicants for HP2030 • Working across sectors to address BILLING CODE 4150–32–P Champions shall submit a letter of SDOH, eliminate disparities, and interest and identify how they address achieve health equity; or support health promotion, disease • Evaluating health promotion and DEPARTMENT OF HEALTH AND prevention, social determinants of disease prevention programs or HUMAN SERVICES health (SDOH), health disparities, partnering with academic institutions or health equity, and/or well-being and public health organizations to evaluate Announcement of Opportunity To work in alignment with HP2030 through health promotion and disease Become a Healthy People 2030 activities, donations, or other means. prevention activities; Champion Applicants for HP2030 Champions will • Including information in their AGENCY: Office of Disease Prevention be evaluated according to the public facing materials about programs and Health Promotion, Office of the organization’s commitment to support for disease prevention, health Assistant Secretary for Health, Office of the overarching goals of Healthy People promotion, addressing SDOH, the Secretary, Department of Health and 2030 and the Healthy People 2030 eliminating disparities, achieving health Human Services. objectives. Individuals are not eligible to equity, and/or promoting well-being in ACTION: Notice. be HP2030 Champions. community needs assessments; HP2030 Champions will receive • Adopting or implementing the recognition from ODPHP on Health.gov/ SUMMARY: The U.S. Department of HP2030 framework (i.e., vision, mission, healthypeople2030, a digital HP2030 Health and Human Services’ (HHS) overarching goals, foundational Champion badge for their website to Office of Disease Prevention and Health principles), Leading Health Indicators highlight their support of HP2030, and Promotion (ODPHP) invites public and (LHIs), Overall Health and Well-Being HP2030 information, tools and private sector organizations that support Measures (OHMs) and/or HP2030 resources for dissemination. Healthy People 2030 (HP2030), the objectives in their strategic plan; nation’s disease prevention and health The following activities may be • Promoting HP2030; providing promotion plan, to become a Healthy considered as an organization’s opportunities and venues for disease People 2030 Champion (HP2030 demonstrated commitment to HP2030’s prevention and health promotion Champion). overarching goals and objectives: Eligibility: Any organization may • Promoting and increasing access to activities; • apply to be a HP2030 Champion. The disease prevention and health Partnering with national, state, selected HP2030 Champions will be promotion activities; tribal, or local volunteer organizations recognized for their commitment and • Providing access to training or to provide education, training, or work toward achieving HP2030’s vision certification programs for disease programs regarding health promotion, of a society in which all people can prevention and health promotion; disease prevention, SDOH, health achieve their full potential for health • Addressing SDOH, eliminating disparities, health equity, and well- and well-being across the lifespan. disparities, achieving health equity, being; HP2030 Champions. HP2030 and/or promoting well-being; • Supporting an entity with the Champions can be public and private • Providing training and other responsibility to organize and organizations such as those at the state, necessary resources to adapt or modify coordinate efforts within and across local, county, and tribal levels, non- disease prevention and health sectors to foster health promotion and governmental organizations, non-profit promotion activities to meet the needs well-being; organizations, businesses, academic of diverse populations, address SDOH, • Promoting collaboration across all organizations, organizations that impact eliminate disparities, achieve health levels, including neighborhoods, health outcomes, philanthropic equity, and/or promote well-being; communities, tribes, cities, states, organizations, and tribal organizations • Developing partnerships across a counties, and localities, to increase and that identify themselves as being variety of sectors, including business, expand participation in health
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promotion and disease prevention Health, U.S. Department of Health and Requirements of Interested activities; Human Services; 1101 Wootton Organizations • Disseminating through a variety of Parkway, Suite 420, Rockville, MD ODPHP invites organizations that platforms messaging about the benefits 20852; Telephone: (240) 453–8280. support HP2030, disease prevention, of and resources available to promote Email: [email protected]. health promotion, and well-being and disease prevention, health promotion, SUPPLEMENTARY INFORMATION: that demonstrate efforts toward well-being and the importance of addressing SDOH, eliminating health addressing SDOH, health disparities, Background: Each decade since 1980, disparities, and achieving health equity and health equity; the Healthy People initiative has in the United States to submit a letter of • Supporting the coordination and established and monitored national interest to become an HP2030 standardization of data to enable health objectives with 10-year targets to Champion. comparisons across national, state, meet a broad range of health needs, HP2030 Champion. Organizations local, county, and/or tribal levels; encourage collaborations across sectors, selected by ODPHP to be HP2030 • Providing grants, funding guide individuals toward making Champions will sign a letter of opportunities, and other resources to informed health decisions, and measure understanding (LOU) with ODPHP programs that address disease the impact of disease prevention and outlining the terms and parameters of prevention, health promotion, well- health promotion activities. Launched their support for HP2030. Organizations being, SDOH, health equity, and health August 2020, the current iteration— selected to participate in the HP2030 disparities. HP2030—leverages scientific insights Champion program with an active LOU Funds: None. Neither HHS nor and lessons from the past decade, along will be granted use of the digital ODPHP will provide funds to support HP2030 Champion badge as long as the with the new knowledge of current data, HP2030 Champions. Applicants and organization continues to work in trends, and innovations. HP2030 HP2030 Champions will not be alignment with the HP2030. Use of the expected to contribute funds. provides science- and evidence-based, HP2030 Champion badge does not 10-year national objectives for Application: Organizations may apply imply any federal endorsement of the to be an HP2030 Champion. promoting health and preventing collaborating organization’s general Organizations should submit a letter of disease and sets targets to be achieved policies, activities, or products. by the year 2030. It identifies public interest acknowledging their support of Eligibility for Interested Organizations the HP2030 vision of a society in which health priorities that address the major all people can achieve their full risks to health and well-being, and HP2030 Champion. To be eligible to potential for health and well-being serves as a resource for preventing become an HP2030 Champion, an across the lifespan and HP2030’s disease, promoting health, addressing organization shall: (1) Have a overarching goals. Organizations SDOH, eliminating health disparities, demonstrated interest in, understanding interested in being HP2030 Champions and achieving health equity. HP2030 of, and experience with disease shall identify in their letters of interest reflects input from the Secretary’s prevention, heath promotion, SDOH, those activities from the list noted above Advisory Committee on National Health health disparities, health equity, and/or that demonstrate commitment to Promotion and Disease Prevention; the well-being or (2) have an organizational HP2030’s overarching goals and National Academies of Sciences, or corporate mission that is aligned with objectives and indicate how they Engineering, and Medicine; a technical the HP2030 vision, mission, overarching address or support health promotion, expert panel; subject matter experts goals, foundational principles, or disease prevention, SDOH, health from across HHS and other federal objectives; and (3) agree to sign a LOU disparities, health equity, and well- agencies; and members of the public via with ODPHP, which will set forth the details of how the organization is being and work in alignment with multiple public comment periods. On supporting the vision of the HP2030. HP2030 through activities, donations, or behalf of HHS, ODPHP leads and other means. manages the development and Letter of Interest Requirements DATES: Letters of interest to become a implementation of HP2030. HP2030 Champions. Each HP2030 HP2030 Champion should be submitted The HP2030 framework and Champion letter of interest shall to [email protected]. Letters of interest contain: (1) Organization name, will be accepted starting on July 5, 2021 objectives outline the nation’s plan for achieving the HP2030 vision of a society location, website, and submitter’s and will be reviewed periodically. contact information; (2) a brief ODPHP will conduct an informational in which all people can achieve their full potential for health and well-being description of the organization’s webinar for interested applicants on mission and/or values; and (3) a July 28, 2021, at 1 p.m. Eastern Time across the lifespan. HP2030’s framework includes its vision, mission, overarching description of how the organization (ET); applicants interested in attending supports or plans to support the HP2030 the informational webinar should goals, guiding foundational principles, and is supported by over 350 specific vision, such as addressing disease register at https://healthypeople. prevention, health promotion, SDOH, measurable objectives with targets, webex.com/healthypeople/onstage/ health disparities, health equity, well- LHIs, and OHMs. HP2030 serves as a g.php?MTID=e97d3e46e4ec being, prioritizing underserved 8120606577daa5c72785a or https:// resource and provides user-centered populations, donating funds, or health.gov/healthypeople. tools for disease prevention and health alignment with specific HP2030 ADDRESSES: Letters of interest can be promotion, including science-based objectives, LHIs, or OHMs. submitted via email to HP2030@ objectives, national and population- Submission of a letter of interest does hhs.gov. level data, evidence-based resources, not guarantee acceptance as an HP2030 and SDOH literature summaries. FOR FURTHER INFORMATION CONTACT: Champion. ODPHP will review and Detailed information about HP2030 is Emmeline Ochiai, Office of Disease evaluate letters of interest for alignment available at https://health.gov/ Prevention and Health Promotion, with the HP2030 vision. Office of the Assistant Secretary for healthypeople. Authority: 42 U.S.C. 300u(a).
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Dated: June 11, 2021. 243: Digital Healthcare Interventions to Training Review Branch, Division of Paul Reed, Address the Secondary Health Effects Related Extramural Activities, National Cancer to Social, Behavioral and Economic Impact of Institute, NIH, 9609 Medical Center Drive, Rear Admiral, U.S. Public Health Service, COVID–19. Room 7W104, Rockville, Maryland 20850, Deputy Assistant Secretary for Health, Date: July 8, 2021. 240–276–6351, [email protected]. Director, Office of Disease Prevention and Time: 10:00 a.m. to 6:00 p.m. Health Promotion. Name of Committee: National Cancer Agenda: To review and evaluate grant Institute Initial Review Group; Cancer [FR Doc. 2021–13667 Filed 6–25–21; 8:45 am] applications. Centers Study Section (A). BILLING CODE 4150–32–P Place: National Institutes of Health, Date: August 20, 2021. Rockledge II, 6701 Rockledge Drive, Time: 10:00 a.m. to 6:00 p.m. Bethesda, MD 20892 (Virtual Meeting). Agenda: To review and evaluate grant DEPARTMENT OF HEALTH AND Contact Person: Paul Hewett-Marx, Ph.D., applications. HUMAN SERVICES Scientific Review Officer, Center for Place: National Cancer Institute at Shady Scientific Review, National Institutes of Grove, 9609 Medical Center Drive, Room National Institutes of Health Health, 6701 Rockledge Drive, Bethesda, MD 7W530, Rockville, Maryland 20850 20892, (240) 672–8946, hewettmarxpn@ (Telephone Conference Call). Center for Scientific Review; Amended csr.nih.gov. Contact Person: Shamala K. Srinivas, Notice of Meeting This notice is being published less than 15 Ph.D., Associate Director, Office of Referral, days prior to the meeting due to the timing Review, and Program Coordination, Division Notice is hereby given of a change in limitations imposed by the review and of Extramural Activities, National Cancer the meeting of the Center for Scientific funding cycle. Institute, NIH, 9609 Medical Center Drive, Review Special Emphasis Panel, PAR– (Catalogue of Federal Domestic Assistance Room 7W530, Rockville, Maryland 20892, 20–181: Limited Competition: National Program Nos. 93.306, Comparative Medicine; 240–276–6442, [email protected]. Primate Research Centers (P51), July 01, 93.333, Clinical Research, 93.306, 93.333, (Catalogue of Federal Domestic Assistance 93.337, 93.393–93.396, 93.837–93.844, 2021, 10:00 a.m. to July 02, 2021, 06:00 Program Nos. 93.392, Cancer Construction; 93.846–93.878, 93.892, 93.893, National 93.393, Cancer Cause and Prevention p.m., National Institutes of Health, Institutes of Health, HHS) Research; 93.394, Cancer Detection and Rockledge II, 6701 Rockledge Drive, Dated: June 22, 2021. Diagnosis Research; 93.395, Cancer Bethesda, MD 20892 which was Treatment Research; 93.396, Cancer Biology David W. Freeman, published in the Federal Register on Research; 93.397, Cancer Centers Support; June 02, 2021, FR Doc 2021–11521, 86 Program Analyst, Office of Federal Advisory 93.398, Cancer Research Manpower; 93.399, FR 29590. Committee Policy. Cancer Control, National Institutes of Health, This meeting is being amended to [FR Doc. 2021–13689 Filed 6–25–21; 8:45 am] HHS) change the start date from July 01, 2021 BILLING CODE 4140–01–P Dated: June 22, 2021. to June 29, 2021 and the start time from Melanie J. Pantoja, 10:00 a.m. to 12:30 p.m. The meeting is DEPARTMENT OF HEALTH AND Program Analyst, Office of Federal Advisory closed to the public. Committee Policy. HUMAN SERVICES Dated: June 22, 2021. [FR Doc. 2021–13688 Filed 6–25–21; 8:45 am] David W. Freeman, National Institutes of Health BILLING CODE 4140–01–P Program Analyst, Office of Federal Advisory Committee Policy. National Cancer Institute; Notice of DEPARTMENT OF HEALTH AND [FR Doc. 2021–13690 Filed 6–25–21; 8:45 am] Closed Meetings HUMAN SERVICES BILLING CODE 4140–01–P Pursuant to section 10(d) of the Federal Advisory Committee Act, as National Institutes of Health amended, notice is hereby given of the DEPARTMENT OF HEALTH AND following meetings. Office of the Director, National HUMAN SERVICES The meetings will be closed to the Institutes of Health; Notice of Meeting public in accordance with the National Institutes of Health Pursuant to section 10(a) of the provisions set forth in sections Federal Advisory Committee Act, as 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Center for Scientific Review; Notice of amended, notice is hereby given of a as amended. The grant applications and Closed Meeting meeting of the NIH Clinical Center the discussions could disclose Research Hospital Board. Pursuant to section 10(d) of the confidential trade secrets or commercial Federal Advisory Committee Act, as The meeting will be held as a virtual property such as patentable material, meeting and open to the public. amended, notice is hereby given of the and personal information concerning following meeting. Individuals who plan to view the virtual individuals associated with the grant meeting and need special assistance or The meeting will be closed to the applications, the disclosure of which public in accordance with the other reasonable accommodations to would constitute a clearly unwarranted view the meeting should notify the provisions set forth in sections invasion of personal privacy. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Contact Person listed below in advance as amended. The grant applications and Name of Committee: National Cancer of the meeting. The meeting can be Institute Special Emphasis Panel; Cancer accessed from the NIH Videocast the discussions could disclose Center Support Grant (P30). confidential trade secrets or commercial https://videocast.nih.gov/ and the Date: August 19, 2021. CCRHB website https:// property such as patentable material, Time: 12:00 p.m. to 2:00 p.m. and personal information concerning Agenda: To review and evaluate grant ccrhb.od.nih.gov/meetings.html. individuals associated with the grant applications. Name of Committee: NIH Clinical Center applications, the disclosure of which Place: National Cancer Institute at Shady Research Hospital Board. would constitute a clearly unwarranted Grove, 9609 Medical Center Drive, Room Date: July 23, 2021. 7W104, Rockville, Maryland 20850 Time: 9:00 a.m. to 1:00 p.m. invasion of personal privacy. (Telephone Conference Call). Agenda: Presentations of Mental Health Name of Committee: Center for Scientific Contact Person: David G. Ransom, Ph.D., Support, Ending Structural Racism, and The Review Special Emphasis Panel; PAR 20– Chief, Special Review Branch, Resources and Hepatitis C Story.
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Place: National Institutes of Health, PRAMain. Find this particular Overview of This Information Building 31, 9000 Rockville Pike, Bethesda, information collection by selecting Collection MD 20892 (Virtual Meeting). ‘‘Currently under 30-day Review—Open Title: Application to Use Automated Contact Person: Gretchen Wood, Staff for Public Comments’’ or by using the Assistant, National Institutes of Health, Commercial Environment (ACE). Office of the Director, One Center Drive, search function. OMB Number: 1651–0105. Current Actions: Extension. Building 1, Room 126, Bethesda, MD 20892, FOR FURTHER INFORMATION CONTACT: Type of Review: Extension (without 301–496–4272, [email protected]. Requests for additional PRA information Any interested person may file written change). should be directed to Seth Renkema, Affected Public: Businesses. comments with the committee by forwarding Chief, Economic Impact Analysis the statement to the Contact Person listed on Abstract: The Automated Commercial this notice. The statement should include the Branch, U.S. Customs and Border Environment (ACE) is a trade data name, address, telephone number and when Protection, Office of Trade, Regulations processing system that is replacing the applicable, the business or professional and Rulings, 90 K Street NE, 10th Floor, Automated Commercial System (ACS), affiliation of the interested person. Washington, DC 20229–1177, the current import system for U.S. (Catalogue of Federal Domestic Assistance Telephone number 202–325–0056 or via Customs and Border Protection (CBP) Program Nos. 93.14, Intramural Research email [email protected]. Please operations. ACE is authorized by Training Award; 93.22, Clinical Research note that the contact information Executive Order 13659 which mandates Loan Repayment Program for Individuals provided here is solely for questions implementation of a Single Window from Disadvantaged Backgrounds; 93.232, regarding this notice. Individuals through which businesses will transmit Loan Repayment Program for Research Generally; 93.39, Academic Research seeking information about other CBP data required by participating agencies Enhancement Award; 93.936, NIH Acquired programs should contact the CBP for the importation or exportation of Immunodeficiency Syndrome Research Loan National Customer Service Center at cargo. See 79 FR 10655 (February 25, Repayment Program; 93.187, Undergraduate 877–227–5511, (TTY) 1–800–877–8339, 2014). ACE supports government Scholarship Program for Individuals from or CBP website at https://www.cbp. agencies and the trade community with Disadvantaged Backgrounds, National gov/. border-related missions with respect to Institutes of Health, HHS) moving goods across the border SUPPLEMENTARY INFORMATION: CBP Patricia B. Hansberger, efficiently and securely. Once ACE is invites the general public and other fully implemented, all related CBP trade Supervisory Program Analyst, Office of Federal agencies to comment on the Federal Advisory Committee Policy. functions and the trade community will proposed and/or continuing information be supported from a single common [FR Doc. 2021–13646 Filed 6–25–21; 8:45 am] collections pursuant to the Paperwork user interface. BILLING CODE 4140–01–P Reduction Act of 1995 (44 U.S.C. 3501 To establish an ACE Portal account, et seq.). This proposed information participants submit information such as collection was previously published in their name, their employer DEPARTMENT OF HOMELAND the Federal Register (Volume 86 FR identification number (EIN) or social SECURITY 14937) on March 19, 2021, allowing for security number (SSN), and if a 60-day comment period. This notice applicable, a statement certifying their U.S. Customs and Border Protection allows for an additional 30 days for capability to connect to the internet. [1651–0105] public comments. This process is This information is submitted through conducted in accordance with 5 CFR the ACE Secure Data Portal which is Application To Use Automated 1320.8. Written comments and accessible at: http://www.cbp.gov/trade/ Commercial Environment (ACE) suggestions from the public and affected automated. Please Note: A CBP-assigned number AGENCY: U.S. Customs and Border agencies should address one or more of may be provided in lieu of your SSN. If Protection, Department of Homeland the following four points: (1) Whether you have an EIN, that number will Security. the proposed collection of information is necessary for the proper performance automatically be used and no CBP ACTION: 30-Day notice and request for number will be assigned. A CBP- comments; extension of an existing of the functions of the agency, including whether the information will have assigned number is for CBP use only. collection of information. There is a standalone capability for practical utility; (2) the accuracy of the electronically filing protests in ACE. SUMMARY: The Department of Homeland agency’s estimate of the burden of the This capability is available for Security, U.S. Customs and Border proposed collection of information, participants who have not established Protection will be submitting the including the validity of the ACE Portal Accounts for other trade following information collection request methodology and assumptions used; (3) activities, but desire to file protests to the Office of Management and Budget suggestions to enhance the quality, electronically. A protest is a procedure (OMB) for review and approval in utility, and clarity of the information to whereby a private party may accordance with the Paperwork be collected; and (4) suggestions to administratively challenge a CBP Reduction Act of 1995 (PRA). The minimize the burden of the collection of decision regarding imported information collection is published in information on those who are to merchandise and certain other CBP the Federal Register to obtain comments respond, including through the use of decisions. Trade members can establish from the public and affected agencies. appropriate automated, electronic, a protest filer account in ACE through DATES: Comments are encouraged and mechanical, or other technological a separate application and the must be submitted (no later than July collection techniques or other forms of submission of specific data elements. 28, 2021) to be assured of consideration. information technology, e.g., permitting See 81 FR 57928 (August 24, 2016). ADDRESSES: Written comments and/or electronic submission of responses. The suggestions regarding the item(s) comments that are submitted will be Type of Information Collection: contained in this notice should be sent summarized and included in the request Application to ACE (Import) within 30 days of publication of this for approval. All comments will become Estimated Number of Respondents: notice to www.reginfo.gov/public/do/ a matter of public record. 21,100.
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Estimated Number of Annual 1995. The purpose of this notice is to viewing that it determines may impact Responses per Respondent: 1. allow an additional 30 days for public the privacy of an individual or is Estimated Number of Total Annual comments. offensive. For additional information, Responses: 21,100. DATES: Comments are encouraged and please read the Privacy Act notice that Estimated Time per Response: 0.33 will be accepted until July 28, 2021. is available via the link in the footer of hours. ADDRESSES: Written comments and/or http://www.regulations.gov. Estimated Total Annual Burden suggestions regarding the item(s) Written comments and suggestions Hours: 6,963. contained in this notice, especially from the public and affected agencies should address one or more of the Type of Information Collection: regarding the estimated public burden following four points: Application to ACE (Export) and associated response time, must be submitted via the Federal eRulemaking (1) Evaluate whether the proposed Estimated Number of Respondents: Portal website at http:// collection of information is necessary 9,000. www.regulations.gov under e-Docket ID for the proper performance of the Estimated Number of Annual number USCIS–2007–0020. All functions of the agency, including Responses per Respondent: 1. whether the information will have Estimated Number of Total Annual submissions received must include the OMB Control Number 1615–0050 in the practical utility; Responses: 9,000. (2) Evaluate the accuracy of the body of the letter, the agency name and Estimated Time per Response: 0.066 agency’s estimate of the burden of the Docket ID USCIS–2007–0020. hours. proposed collection of information, FOR FURTHER INFORMATION CONTACT: Estimated Total Annual Burden including the validity of the Hours: 594. USCIS, Office of Policy and Strategy, methodology and assumptions used; Regulatory Coordination Division, (3) Enhance the quality, utility, and Type of Information Collection: Samantha Deshommes, Chief, Application to ACE (Protest) clarity of the information to be Telephone number (240) 721–3000 collected; and Estimated Number of Respondents: (This is not a toll-free number; (4) Minimize the burden of the 3,750. comments are not accepted via collection of information on those who Estimated Number of Annual telephone message.). Please note contact are to respond, including through the Responses per Respondent: 1. information provided here is solely for use of appropriate automated, Estimated Number of Total Annual questions regarding this notice. It is not electronic, mechanical, or other Responses: 3,750. for individual case status inquiries. technological collection techniques or Estimated Time per Response: 0.066 Applicants seeking information about other forms of information technology, hours. the status of their individual cases can e.g., permitting electronic submission of Estimated Total Annual Burden check Case Status Online, available at responses. Hours: 248. the USCIS website at http:// Overview of This Information Dated: June 23, 2021. www.uscis.gov, or call the USCIS Collection Seth D. Renkema, Contact Center at (800) 375–5283; TTY (800) 767–1833. Branch Chief, Economic Impact Analysis (1) Type of Information Collection: Branch, U.S. Customs and Border Protection. SUPPLEMENTARY INFORMATION: Extension, Without Change, of a [FR Doc. 2021–13695 Filed 6–25–21; 8:45 am] Currently Approved Collection. Comments (2) Title of the Form/Collection: BILLING CODE P The information collection notice was Request for Hearing on a Decision in previously published in the Federal Naturalization Proceedings Under DEPARTMENT OF HOMELAND Register on March 24, 2021, at 86 FR Section 336. SECURITY 15692, allowing for a 60-day public (3) Agency form number, if any, and comment period. USCIS did receive one the applicable component of the DHS U.S. Citizenship and Immigration non-substantive comment in connection sponsoring the collection: N–336; Services with the 60-day notice. USCIS. You may access the information (4) Affected public who will be asked [OMB Control Number 1615–0050] collection instrument with instructions, or required to respond, as well as a brief or additional information by visiting the abstract: Primary: Individuals or Agency Information Collection Federal eRulemaking Portal site at: households. Form N–336 is used by an Activities; Extension, Without Change, http://www.regulations.gov and enter individual whose Form N–400, of a Currently Approved Collection: USCIS–2007–0020 in the search box. Application for Naturalization was Request for Hearing on a Decision in The comments submitted to USCIS via denied, to request a hearing before an Naturalization Proceedings Under this method are visible to the Office of immigration officer on the denial of the Section 336 Management and Budget and comply N–400. USCIS uses the information AGENCY: U.S. Citizenship and with the requirements of 5 CFR submitted on Form N–336 to locate the Immigration Services, Department of 1320.12(c). All submissions will be requestor’s file and schedule a hearing Homeland Security. posted, without change, to the Federal in the correct jurisdiction. It allows ACTION: 30-Day notice. eRulemaking Portal at http:// USCIS to determine if there is an www.regulations.gov, and will include underlying Form N–400, Application for SUMMARY: The Department of Homeland any personal information you provide. Naturalization that was denied, to Security (DHS), U.S. Citizenship and Therefore, submitting this information warrant the filing of Form N–336. The Immigration Services (USCIS) will be makes it public. You may wish to information collected also allows USCIS submitting the following information consider limiting the amount of to determine if a member of the U.S. collection request to the Office of personal information that you provide armed forces has filed the appeal. Management and Budget (OMB) for in any voluntary submission you make (5) An estimate of the total number of review and clearance in accordance to DHS. DHS may withhold information respondents and the amount of time with the Paperwork Reduction Act of provided in comments from public estimated for an average respondent to
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respond: The estimated total number of ACTION: Notice of receipt of permit (phone); [email protected] (email). respondents for the information applications; request for comments. Individuals who are hearing or speech collection N–336 (paper filed) is 3,788 impaired may call the Federal Relay and the estimated hour burden per SUMMARY: We, the U.S. Fish and Service at 1–800–877–8339 for TTY response is 2.75 hours; the estimated Wildlife Service, have received assistance. total number of respondents for the applications for permits to conduct information collection N–336 (filed activities intended to enhance the SUPPLEMENTARY INFORMATION: propagation or survival of endangered online) is 1,263 and the estimated hour Background burden per response is 2.5 hours. or threatened species under the (6) An estimate of the total public Endangered Species Act. We invite the The Endangered Species Act of 1973, burden (in hours) associated with the public and local, State, Tribal, and as amended (ESA; 16 U.S.C. 1531 et collection: The total estimated annual Federal agencies to comment on these seq.), prohibits certain activities with hour burden associated with this applications. Before issuing any of the endangered and threatened species collection is 13,575 hours. requested permits, we will take into unless authorized by a Federal permit. (7) An estimate of the total public consideration any information that we The ESA and our implementing burden (in cost) associated with the receive during the public comment regulations in part 17 of title 50 of the collection: The estimated total annual period. Code of Federal Regulations (CFR) cost burden associated with this DATES: We must receive your written provide for the issuance of such permits collection of information is $2,600,750. comments on or before July 28, 2021. and require that we invite public comment before issuing permits for Dated: June 22, 2021. ADDRESSES: Document availability and activities involving endangered species. Jerry L. Rigdon, comment submission: Submit requests Deputy Chief, Regulatory Coordination for copies of the applications and A recovery permit issued by us under Division, Office of Policy and Strategy, U.S. related documents, as well as any section 10(a)(1)(A) of the ESA Citizenship and Immigration Services, comments, by one of the following authorizes the permittee to conduct Department of Homeland Security. methods. All requests and comments activities with endangered species for [FR Doc. 2021–13712 Filed 6–25–21; 8:45 am] should specify the applicant name(s) scientific purposes that promote BILLING CODE 9111–97–P and application number(s) (e.g., recovery or for enhancement of TEXXXXXX; see table in propagation or survival of the species. SUPPLEMENTARY INFORMATION): Our regulations implementing section • 10(a)(1)(A) for these permits are found DEPARTMENT OF THE INTERIOR Email: [email protected]. Please refer to the respective application at 50 CFR 17.22 for endangered wildlife Fish and Wildlife Service number (e.g., Application No. species, 50 CFR 17.32 for threatened PERXXXXXX) in the subject line of your wildlife species, 50 CFR 17.62 for [FWS–R3–ES–2021–N169; email message. endangered plant species, and 50 CFR FXES11130300000–201–FF03E00000] • U.S. Mail: Regional Director, Attn: 17.72 for threatened plant species. Nathan Rathbun, U.S. Fish and Wildlife Endangered and Threatened Species; Permit Applications Available for Service, Ecological Services, 5600 Receipt of Recovery Permit Review and Comment American Blvd. West, Suite 990, Applications Bloomington, MN 55437–1458. We invite local, State, and Federal AGENCY: Fish and Wildlife Service, FOR FURTHER INFORMATION CONTACT: agencies; Tribes; and the public to Interior. Nathan Rathbun, 612–713–5343 comment on the following applications:
Application Permit No. Applicant Species Location Activity Type of take action
TE73587A ...... Missouri Department Add: Eastern hellbender AR, MO ...... Conduct presence/ab- Capture, collect Amend. of Conservation, (Cryptobranchus alleganiensis sence surveys, sperm and eggs, Jefferson City, MO. alleganiensis) to existing per- captive rearing, artificially fertilize, mitted species: Ozark document habitat transport, PIT tag, hellbender (C. a. bishop). use, conduct popu- captive propagate, lation monitoring, head-start, release. evaluate impacts, conduct research to measure distribu- tion and abundance of augmented and reintroduced popu- lations. PER0009788 ..... Alma Schrage, Chi- Rusty patched bumble bee IL ...... Conduct presence/ab- Capture, handle, ob- New. cago, IL. (Bombus affinis). sence surveys, serve, collect pollen document habitat sample, collect ge- use, conduct popu- netic sample, sur- lation monitoring, vey, release. evaluate impacts. PER0003893 ..... Andres Ortega, Rusty patched bumble bee IL ...... Conduct presence/ab- Capture, handle, ob- New. Wheaton, IL. (Bombus affinis). sence surveys. serve, release, sur- vey, harass.
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Application Permit No. Applicant Species Location Activity Type of take action
PER0007034 ..... Eric Britzke, Vicks- Gray bat (Myotis grisescens), In- AL, AR, CT, DE, DC, Conduct presence/ab- Capture, handle, Renew. burg, MS. diana bat (M. sodalis), north- GA, IL, IN, IA, KS, sence surveys, mist-net, harp trap, ern long-eared bat (M. KY, LA, ME, MD, document habitat band, radio-tag, septentrionalis), Ozark big- MA, MI, MN, MS, use, conduct popu- light tag, collect eared bat (Corynorhinus MO, MT, NE, NH, lation monitoring, hair, fugal lift tape, towsendii ingens), Virginia big- NJ, NY, NC, ND, evaluate impacts. swab and wing bi- eared bat (C.t. virginianus). OH, OK, PA, RI, opsy samples, SC, SD, TN, VT, enter hibernacula VA, WV, WI, WY. and maternity roost caves, release. PER0011726 ..... North Fork Ridge Gray bat (Myotis grisescens) ..... MO ...... Conduct scientific re- Harass, kill, salvage .. New. Wind Holdings search on the im- LLC, Liberal, MO. pacts of wind tur- bine curtailment strategies, popu- lation management and monitoring. PER0003114 ..... Timothy Brust, Eastern massasauga rattlesnake AL, IA, IN, LA, MI, Conduct presence/ab- Capture, handle, re- New. Greenup, KY. (Sistrurus catenatus), gopher MN, MS, NY, OH, sence surveys, lease. tortoise (Gopherus PA, WI. document habitat polyphemus). use, conduct popu- lation monitoring, evaluate impacts. PER11035A ...... Robert Vande Hungerford’s crawling water MI, WI ...... Conduct presence/ab- Capture, handle, tem- Renew. Kopple, Alanson, Beetle (Brychius hungerfordi). sence surveys, porary hold, re- MI. document habitat lease, kill. use, conduct popu- lation monitoring, evaluate impacts. PER0007017 ..... Elisabeth Hollinden, Clubshell (Pleurobema clava), OH ...... Conduct presence/ab- Capture, handle, re- New. Columbus, OH. fanshell (Cyprogenia stegaria), sence surveys, lease, salvage, re- northern riffleshell document habitat locate. (Epioblasma torulosa use, conduct popu- rangiana), pink mucket lation monitoring, (Lampsilis orbiculata), purple evaluate impacts. cat’s paw (Epioblasma obliquata obliquata), rabbitsfoot (Quadrula cylindrica cylindrica), rayed bean (Villosa fabalis), sheepnose mussel (Plethobasus cyphyus), snuffbox mussel (Epioblasma triquetra), white catspaw (Epioblasma obliquata perobliqua). PER0009122 ..... Emily Grossman, Clubshell (Pleurobema clava), AK, IA, IL, IN, KS, Conduct presence/ab- Capture, handle, ob- New. O’Fallon, MO. fat pocketbook (Potamilus KY, LA, MI, MN, sence surveys, serve, release, sur- capax), fanshell (Cyprogenia MO, MS, NC, NE, document habitat vey. stegaria), Higgins’ eye NY, OH, OK, SD, use, conduct popu- (Lampsilis higginsii), Neosho PA, VA, WI, WV. lation monitoring, mucket (Lampsilis evaluate impacts. rafinesqueana), northern riffleshell (Epioblasma torulosa rangiana), orangefoot pimpleback (Plethobasus cooperianus), Ouachita rock pocketbook (Arkansia wheeleri), pink mucket pearly mussel (Lampsilis abrupta), purple catspaw (Epioblasma obliquata obliquata), rabbitsfoot (Quadrula cylindrica cylindrica), rayed bean (Villosa fabalis), ring pink (Obovaria retusa), rough pigtoe (Pleurobema plenum), scaleshell (Leptodea leptodon), sheepnose (Plethobasus cyphyus), snuffbox (Epioblasma triquetra), spectaclecase (Cumberlandia monodonta), white catspaw (Epioblasma obliquata perobliqua), winged mapleleaf (Quadrula fragosa).
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Application Permit No. Applicant Species Location Activity Type of take action
PER0011986 ..... Lindsey Jakovljevic, Clubshell (Pleurobema clava), IA, IL, IN, KS, KY, MI, Conduct presence/ab- Capture, handle, ob- New. Kirtland, OH. fanshell (Cyprogenia stegaria), MN, MO, NJ, NY, sence surveys, serve, release, sur- fat pocketbook (Potamilus OH, PA, WI, WV. document habitat vey. capax), Higgins eye use, conduct popu- pearlymussel (Lampsilis lation monitoring, higginsii), Neosho mucket evaluate impacts. (Lampsilis rafinesqueana), northern riffleshell (Epioblasma torulosa rangiana), orangefoot pimpleback (pearlymussel) (Plethobasus cooperianus), pink mucket (pearlymussel) (Lampsilis abrupta), purple cat’s paw (Epioblasma obliquata obliquata), rabbitsfoot (Quadrula cylindrica cylindrica), rayed bean (Villosa fabalis), ring pink (Obovaria retusa), rough pigtoe (Pleurobema plenum), scaleshell (Leptodea leptodon), sheepnose (Plethobasus cyphyus), snuffbox (Epioblasma triquetra), speckled pocket- book (Lampsilis strecken), spectaclecase (Cumberlandia monodonta), winged mapleleaf (Quadrula fragosa), white cat’s paw (Epioblasma obliquata perobliqua). TE41671D ...... Brian Carlson, Mor- Add candy darter (Etheostoma AL, AR, CN, DE, IL, Conduct presence/ab- Capture, handle, tem- Amend. gantown, WV. osburni) and diamond darter IN, IA, KS, KY, LA, sence surveys, porary hold, re- (Crystallaria cincotta) to exist- MD, MA, MI, MN, document habitat lease, relocate. ing permitted species: MS, MO, NH, NJ, use, conduct popu- Fanshell (Cyprogenia NY, NC, OH, OK, lation monitoring, stegaria), orangefoot PA, TN, VT, VA, evaluate impacts. pimpleback (Plethobasus WV, WI. cooperianus), pink mucket (Lampsilis orbiculata), purple cat’s paw (Epioblasma obliquata obliquata), rabbitsfoot (Quadrula cylindrica cylindrica), rayed bean (Villosa fabalis), ring pink (Obovaria retusa), rough pigtoe (Pleurobema plenum), sheepnose (Plethobasus cyphyus), snuffbox (Epioblasma triquetra), spectaclecase (Cumberlandia monodonta), white catspaw (Epioblasma obliquata perobliqua), Big Sandy cray- fish (Cambarus callainus), Guyandotte River crayfish (Cambarus veteranus).
Public Availability of Comments identifying information from public we will publish a notice in the Federal review, we cannot guarantee that we Register. Written comments we receive become will be able to do so. Moreover, all Authority part of the administrative record submissions from organizations or associated with this action. Before businesses, and from individuals We publish this notice under section including your address, phone number, identifying themselves as 10(c) of the Endangered Species Act of email address, or other personal representatives or officials of 1973, as amended (16 U.S.C. 1531 et identifying information in your organizations or businesses, will be seq.). comment, you should be aware that made available for public disclosure in your entire comment—including your their entirety. Lori Nordstrom, personal identifying information—may Assistant Regional Director, Ecological be made publicly available at any time. Next Steps Services. While you can request in your comment If we decide to issue permits to any [FR Doc. 2021–13648 Filed 6–25–21; 8:45 am] that we withhold your personal of the applicants listed in this notice, BILLING CODE 4333–15–P
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DEPARTMENT OF THE INTERIOR ADDRESSES: Document availability and seq.), prohibits certain activities with comment submission: Submit requests endangered and threatened species Fish and Wildlife Service for copies of the applications and unless authorized by a Federal permit. related documents, as well as any The ESA and our implementing [FWS–R3–ES–2021–N012; comments, by one of the following regulations in part 17 of title 50 of the FXES11130300000–201–FF03E00000] methods. All requests and comments Code of Federal Regulations (CFR) should specify the applicant name(s) provide for the issuance of such permits Endangered and Threatened Species; and application number(s) (e.g., and require that we invite public Receipt of Recovery Permit TEXXXXXX; see table in comment before issuing permits for SUPPLEMENTARY INFORMATION): Applications activities involving endangered species. • Email: [email protected]. AGENCY: Fish and Wildlife Service, Please refer to the respective application A recovery permit issued by us under Interior. number (e.g., Application No. section 10(a)(1)(A) of the ESA ACTION: Notice of receipt of permit TEXXXXXX) in the subject line of your authorizes the permittee to conduct applications; request for comments. email message. activities with endangered species for • U.S. Mail: Regional Director, Attn: scientific purposes that promote SUMMARY: We, the U.S. Fish and Nathan Rathbun, U.S. Fish and Wildlife recovery or for enhancement of Wildlife Service, have received Service, Ecological Services, 5600 propagation or survival of the species. applications for permits to conduct American Blvd., West, Suite 990, Our regulations implementing section activities intended to enhance the Bloomington, MN 55437–1458. 10(a)(1)(A) for these permits are found propagation or survival of endangered FOR FURTHER INFORMATION CONTACT: at 50 CFR 17.22 for endangered wildlife or threatened species under the Nathan Rathbun, 612–713–5343 species, 50 CFR 17.32 for threatened Endangered Species Act. We invite the (phone); [email protected] (email). wildlife species, 50 CFR 17.62 for public and local, State, Tribal, and Individuals who are hearing or speech endangered plant species, and 50 CFR Federal agencies to comment on these impaired may call the Federal Relay 17.72 for threatened plant species. applications. Before issuing any of the Service at 1–800–877–8339 for TTY requested permits, we will take into assistance. Permit Applications Available for consideration any information that we Review and Comment receive during the public comment SUPPLEMENTARY INFORMATION: period. Background We invite local, State, and Federal agencies; Tribes; and the public to DATES: We must receive your written The Endangered Species Act of 1973, comment on the following applications: comments on or before July 28, 2021. as amended (ESA; 16 U.S.C. 1531 et
Application No. Applicant Species Location Activity Type of take Permit action
TE805269 ...... Daniel Soluk, Hine’s emerald drag- AL, IL, MI, MO, OH, WI Conduct presence/ab- Capture, handle, mark, Renew. Vermillion, SD. onfly (Somatochlora sence surveys, docu- tag, temporary hold, hineana). ment habitat use, genetic sample, kill, conduct population release. monitoring, evaluate impacts. PER0002574 ..... Missouri Department of Hine’s emerald drag- MO ...... Conduct presence/ab- Capture, handle, re- New. Conservation, Cape onfly (Somatochlora sence surveys, docu- lease, kill, salvage, Girardeau, MO. hineana). ment habitat use, genetic sample, conduct population headstart, captive monitoring, evaluate propagate. impacts. PER0002544 ..... Carlyn Rocazella, Cuy- Rusty patched bumble DE, IA, IL, IN, MA, MD, Conduct presence/ab- Capture, handle, re- New. ahoga Falls, OH. bee (Bombus affinis). ME, MN, NC, OH, sence surveys, docu- lease, salvage. PA, TN, VA, WV, WI. ment habitat use, conduct population monitoring, evaluate impacts. TE65611B ...... Dennis Skadsen, Lake Dakota skipper MN, ND, SD ...... Conduct presence/ab- Capture, handle, tem- Renew. City, ND. (Hesperia dacotae), sence surveys, docu- porarily hold, release. Poweshiek ment habitat use, skipperling (Oarisma conduct population poweshiek). monitoring, evaluate impacts. TE206783 ...... Marlo Perdicas, Gray bat (Myotis AL, AR, CT, FL, GA, IL, Conduct presence/ab- Capture, handle, mist- Renew. Marshallville, OH. grisescens), Indiana IN, IA, KS, KY, MD, sence surveys, docu- net, band, radio-tag, bat (M. sodalis), MI, MS, MO, NJ, NY, ment habitat use, release. northern long-eared NC, OH, OK, PA, TN, conduct population bat (M. VT, VA, WV, WI. monitoring, evaluate septentrionalis). impacts. TE38860A ...... Jason Garvon, Sault Piping plover MI ...... Conduct presence/ab- Harass, erect active Renew. Sainte Marie, MI. (Charadrius melodus). sence surveys, docu- nest enclosure, sal- ment habitat use, vage. conduct population monitoring, evaluate impacts.
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Application No. Applicant Species Location Activity Type of take Permit action
TE64239B ...... Nathanael Light, Gray bat (Myotis AL, AR, CT, DC, DE, Conduct presence/ab- Capture, handle, harp Renew. Branson, MO. grisescens), Indiana FL, GA, IA, IL, IN, sence surveys, docu- trap, mist-net, band, bat (M. sodalis), KS, KY, LA, MA, MD, ment habitat use, radio-tag, release. northern long-eared ME, MI, MN, MO, conduct population bat (M. MS, MT, NC, ND, monitoring, evaluate septentrionalis), NE, NH, NJ, NY, OH, impacts. Ozark big-eared bat OK, PA, RI, SC, SD, (Corynorhinus TN, VA, VT,WI, WV, townsendii ingens). WY. PER0002767 ..... Giovanni Pambianchi, Indiana bat (Myotis CT, FL, IA, MD, MA, Conduct presence/ab- Capture, handle, mist- New. Saugerties, NY. sodalis), northern MI, NH, NJ, NY, OH, sence surveys, docu- net, harp trap, band, long-eared bat (M. PA, SC, VT, WI. ment habitat use, radio-tag, release. septentrionalis). conduct population monitoring, evaluate impacts. TE70868B ...... Brian Ortman, Gray bat (Myotis AL, AR, FL, GA, IL, IN, Conduct presence/ab- Capture, handle, mist- Renew. Thornville, OH. grisescens), Indiana IA, KS, KY, MI, MO, sence surveys, docu- net, band, radio-tag, bat (M. sodalis), MS, NJ, NY, NC, PA, ment habitat use, release. northern long-eared OH, OK, SC, TN, VA, conduct population bat (M. WV. monitoring, evaluate septentrionalis). impacts. PER0002430 ..... David Ford, Houston, 23 freshwater mussel AL, AR, GA, IA, IL, IN, Conduct presence/ab- Collect, handle, release New. TX. species. KS, KY, LA, PA, MI, sence surveys, docu- MN, MO, MS, NC, ment habitat use, NE, NM, NY, OH, conduct population OK, SD, TN, TX, VA, monitoring, evaluate WI, WV. impacts. TE77530A ...... Douglas Kapusinski, 22 freshwater mussel IL, IN, MI, NY, OH, PA, Conduct presence/ab- Collect, handle, release Renew. Copley, OH. species. WI, WV. sence surveys, docu- ment habitat use, conduct population monitoring, evaluate impacts. TE14549C ...... Larissa Herrera, Bel- Clubshell (Pleurobema IL, IA, IN, MI, MN, OH, Conduct presence/ab- Collect, handle, tem- Renew. mont, MI. clava), fanshell WI. sence surveys, docu- porary hold, trans- (Cyprogenia ment habitat use, port, relocate, release. stegaria), rabbitsfoot conduct population (Quadrula cylindrica monitoring, evaluate cylindrica), rayed impacts. bean (Villosa fabalis), sheepnose (Plethobasus cyphyus), spectaclecase (Cumberlandia monodonta), snuffbox mussel (Epioblasma triquetra), winged mapleleaf (Quadrula Fragosa), Higgins’ eye (Lampsilis higginsii), pink mucket (Lampsilis orbiculata), northern riffleshell (Epioblasma torulosa rangiana). TE02378A ...... U.S. Army Corps of En- Higgins’ eye IL, IA, MN, MO, WI ...... Conduct presence/ab- Capture, handle, tem- Renew. gineers, St. Paul Dis- (pearlymussel) sence surveys, docu- porary hold, release. trict, Saint Paul, MN. (Lampsilis higginsii), ment habitat use, scaleshell mussel conduct population (Leptodea leptodon), monitoring, evaluate sheepnose mussel impacts. (Plethobasus cyphyus), snuffbox mussel (Epioblasma triquetra), spectaclecase (mus- sel) (Cumberlandia monodonta), winged mapleleaf (Quadrula fragosa).
Public Availability of Comments identifying information in your that we withhold your personal Written comments we receive become comment, you should be aware that identifying information from public part of the administrative record your entire comment—including your review, we cannot guarantee that we associated with this action. Before personal identifying information—may will be able to do so. Moreover, all including your address, phone number, be made publicly available at any time. submissions from organizations or email address, or other personal While you can request in your comment businesses, and from individuals
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identifying themselves as Service at 1–800–877–8339 for TTY Office of Financial Management has representatives or officials of assistance. You may also view the ICR submitted to OMB for approval for the organizations or businesses, will be at http://www.reginfo.gov/public/do/ Department and its Bureaus and Offices made available for public disclosure in PRAMain. to continue to collect information from their entirety. SUPPLEMENTARY INFORMATION: In proposed donors relative to their relationship(s) with the Department. Next Steps accordance with the Paperwork Reduction Act of 1995 (PRA, 44 U.S.C. The Department and its individual If we decide to issue permits to any 3501 et seq.) and 5 CFR 1320.8(d)(1), all Bureaus and Offices have gift of the applicants listed in this notice, information collections require approval acceptance authorities. In support of the we will publish a notice in the Federal under the PRA. We may not conduct or variety of donation authorities in the Register. sponsor and you are not required to Department and increasing numbers of Authority respond to a collection of information donations, in accordance with the unless it displays a currently valid OMB Department of the Interior Donations We publish this notice under section control number. Policy 374 DM 6, those proposing to 10(c) of the Endangered Species Act of As part of our continuing effort to donate gifts valued at $25,000 or more 1973, as amended (16 U.S.C. 1531 et reduce paperwork and respondent to provide information regarding their seq.). burdens, we invite the public and other relationship with the Department. The Lori Nordstrom, Federal agencies to comment on new, purpose of this policy is to ensure that Assistant Regional Director, Ecological proposed, revised, and continuing the acceptance of a gift does not create Services. collections of information. This helps us legal or ethical issues for the [FR Doc. 2021–13647 Filed 6–25–21; 8:45 am] assess the impact of our information Department, its Bureaus and Offices, or potential donors. The information will BILLING CODE 4333–15–P collection requirements and minimize the public’s reporting burden. It also be gathered through the use of a form helps the public understand our that collects information relevant to the DEPARTMENT OF THE INTERIOR information collection requirements and acceptability of the proposed donation provide the requested data in the in conformance with the Department’s Office of the Secretary desired format. donations policy. The Donor We are especially interested in public Certification form (DI–3680) is [21XD4523WS; DS62200000; comment addressing the following: DWSN00000.000000; DP.62206; OMB completed and certified by the Control Number 1090–0009] (1) Whether or not the collection of prospective donor then submitted to the information is necessary for the proper Department or its Bureau or Office for Agency Information Collection performance of the functions of the review. Having the donor certify their Activities; Donor Certification Form agency, including whether or not the interactions with the Department gives information will have practical utility; the staff vetting the proposed donation AGENCY: U.S. Department of the Interior, (2) The accuracy of our estimate of the basic information to be verified, Office of the Secretary, Office of burden for this collection of resulting in a more efficient and timely Financial Management. information, including the validity of donation review process. ACTION: the methodology and assumptions used; Notice of information collection; Title of Collection: Donor Certification request for comment. (3) Ways to enhance the quality, utility, and clarity of the information to Form. SUMMARY: In accordance with the be collected; and OMB Control Number: 1090–0009. Paperwork Reduction Act of 1995, we, (4) How might the agency minimize Form Number: DI–3680. the Office of Financial Management, the burden of the collection of Type of Review: Extension of a Office of the Secretary, Department of information on those who are to currently approved collection. the Interior are proposing to renew an respond, including through the use of information collection. appropriate automated, electronic, Respondents/Affected Public: Individuals or households, Businesses, DATES: Interested persons are invited to mechanical, or other technological submit comments on or before August collection techniques or other forms of Not-for-profit institutions, Tribal 27, 2021. information technology, e.g., permitting governments. electronic submission of response. ADDRESSES: Send your comments on Total Estimated Number of Annual Comments that you submit in this information collection request (ICR) Respondents: 250. response to this notice are a matter of by mail to Paul Batlan, Office of Total Estimated Number of Annual public record. We will include or Financial Management, 1849 C St. NW, Responses: 250. summarize each comment in our request MS 5530 MIB, Washington, DC 20240, to OMB to approve this ICR. Before Estimated Completion Time per or via email at [email protected]. including your address, phone number, Response: 20 minutes. Please reference Office of Management email address, or other personal Total Estimated Number of Annual and Budget (OMB) Control Number identifying information in your Burden Hours: 83 hours. 1090–0009 in the subject line of your comment, you should be aware that comments. Respondent’s Obligation: Voluntary. your entire comment—including your Frequency of Collection: Once per FOR FURTHER INFORMATION CONTACT: To personal identifying information—may prospective donor per fiscal year. request additional information about be made publicly available at any time. this ICR, contact Paul Batlan, Office of While you can ask us in your comment Total Estimated Annual Nonhour Financial Management, 1849 C St. NW, to withhold your personal identifying Burden Cost: None. MS 5530 MIB, Washington, DC 20240, information from public review, we An agency may not conduct or or via email at [email protected], cannot guarantee that we will be able to sponsor and a person is not required to or by telephone at 202–208–4826. do so. respond to a collection of information Individuals who are hearing or speech Abstract: This notice identifies an unless it displays a currently valid OMB impaired may call the Federal Relay information collection activity that the control number.
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The authority for this action is the for information is not required, unless it Title of Collection: Surveys and Focus Paperwork Reduction Act of 1995 (44 displays a currently valid OMB control Groups to Support Outcomes-Focused U.S.C. 3501 et seq.). number. Management (Recreation Survey and As part of our continuing effort to Focus Groups). Tonya R. Johnson, reduce paperwork and respondent OMB Control Number: 1004–0NEW. Deputy Chief Financial Officer and Director, Form Numbers: None. Office of Financial Management. burdens, we invite the public and other Federal agencies to comment on new, Type of Review: New collection [FR Doc. 2021–13678 Filed 6–25–21; 8:45 am] proposed, revised, and continuing (Request for a new OMB Control BILLING CODE 4310–10–P collections of information. This helps Number). the BLM assess impacts of its Respondents/Affected Public: Individuals or households. DEPARTMENT OF THE INTERIOR information collection requirements and minimize the public’s reporting burden. Total Estimated Number of Annual Bureau of Land Management It also helps the public understand BLM Respondents: 6,275. information collection requirements and Total Estimated Number of Annual [LLHQ430000.L12200000.PM0000; OMB provide the requested data in the Responses: 7,380. Control No. 1004–0NEW] desired format. Estimated Completion Time per Response: Varies from 1 minute to Agency Information Collection The BLM is especially interested in answer an on-site survey to 90 minutes Activities; Surveys and Focus Groups public comment addressing the to participate in a focus group. To Support Outcomes-Focused following: Total Estimated Number of Annual Management (Recreation Survey and (1) Whether collection of information Burden Hours: 2,108. Focus Groups) is necessary for the proper performance of the functions of the agency, including Respondent’s Obligation: Voluntary. AGENCY: Bureau of Land Management, whether or not the information will Frequency of Collection: On occasion. Interior. have practical utility; Total Estimated Annual Nonhour Burden Cost: None. ACTION: Notice of information collection; (2) determination of the accuracy of An agency may not conduct or request for comment. BLM’s estimate of the burden for sponsor and, notwithstanding any other collection of information, including the SUMMARY: In accordance with the provision of law, a person is not validity of the methodology and Paperwork Reduction Act of 1995 required to respond to a collection of assumptions used; (PRA), the Bureau of Land Management information unless it displays a (3) methods to enhance the quality, (BLM) proposes a new information currently valid OMB control number. utility, and clarity of the information to collection. The authority for this action is the be collected; and DATES: Interested persons are invited to Paperwork Reduction Act of 1995 (44 (4) how might the agency minimize U.S.C. 3501 et seq.). submit comments on or before August the burden of information collection on 27, 2021. those who respond, including use of Darrin A. King, ADDRESSES: Send your written appropriate automated, electronic, Information Collection Clearance Officer. comments on this information mechanical, or other technological [FR Doc. 2021–13649 Filed 6–25–21; 8:45 am] collection request (ICR) by mail to collection techniques or other forms of BILLING CODE 4310–84–P Darrin King, Information Collection information technology, e.g., permitting Clearance Officer, U.S. Department of electronic submission of response. the Interior, Bureau of Land Comments submitted in response to DEPARTMENT OF THE INTERIOR Management, Attention PRA Office, 440 this notice are a matter of public record. W 200 S #500, Salt Lake City, UT 84101; The BLM will include or summarize Bureau of Land Management or by email to BLM_HQ_PRA_ each comment in its request to OMB to [212.LLAZP00000.L122000000. [email protected]. Please reference approve this ICR. Before including your DF0000.LXSSA3610000] Office of Management and Budget address, phone number, email address, (OMB) Control Number 1004–0NEW or other personal identifying Notice of Closure of Public Land in (Recreation Survey) in the subject line information in your comment, you Maricopa County, Arizona of your comments. Please note that due should be aware that your entire AGENCY: to COVID–19, the electronic submission comment—including your personal Bureau of Land Management, of comments is recommended. identifying information—may be made Interior. FOR FURTHER INFORMATION CONTACT: To publicly available at any time. While ACTION: Notice of closure. request additional information about you can ask us in your comment to SUMMARY: Notice is hereby given that this ICR, contact Matt Blocker, Outdoor withhold your personal identifying the Bureau of Land Management (BLM) Recreation Planner, by email at information from public review, we Hassayampa Field Office will close [email protected], or by telephone at cannot guarantee that we will be able to certain public lands in the White Tank (801) 539–4011. Individuals who are do so. hearing or speech impaired may call the Mountain/Miller Road area in Maricopa Abstract: Information will be County, Arizona, to all public use and Federal Relay Service at 1–800–877– collected from visitors of public lands 8339 for TTY assistance. entry to provide for public health and and residents of communities near safety at the site. SUPPLEMENTARY INFORMATION: In public lands. Information gathered from accordance with the Paperwork visitors and local community residents DATES: The closure will be in effect for Reduction Act of 1995 (44 U.S.C. 3501 will be used to inform planning three years from 12:01 a.m., July 28, et seq.) and 5 CFR 1320.8(d)(1), all decisions in support of BLM’s Planning 2021, or until the completion of site information collections require approval for Recreation and Visitor Services remediation. under the PRA. The BLM may not Handbook H–8320–1. This request is for FOR FURTHER INFORMATION CONTACT: conduct or sponsor a collection of OMB to approve these new surveys and Leon Thomas, District Manager, 21605 information, and a response to a request focus groups for three years. North 7th Avenue, Phoenix, AZ 85027;
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telephone 623–580–5500; email: The BLM will post closure signs at DEPARTMENT OF THE INTERIOR [email protected]. Persons who use a main entry points to this area. This telecommunications device for the deaf closure order will be posted in the National Park Service (TDD) may call the Federal Relay Hassayampa Field Office. Maps of the Service (FRS) at 1–800–877–8339 to affected area and other documents [NPS–NER–NEEN–31151; PPNENEEN00/ contact Mr. Thomas during normal pertaining to this closure are available at PPMPSAS1Z.Y00000] business hours. The FRS is available 24 the Hassayampa Field Office, 21605 hours a day, 7 days a week, to leave a North 7th Avenue, Phoenix, AZ 85027. Official Trail Marker for the New message or question. You will receive a Under the authority of Section 303(a) of England National Scenic Trail reply during normal business hours. FLPMA (43 U.S.C. 1733(a)), 43 CFR SUPPLEMENTARY INFORMATION: This 8360.0–7, and 43 CFR 8364.1, the BLM AGENCY: National Park Service, Interior. closure affects public lands in the White will enforce the following closure ACTION: Notice of designation. Tank Mountains/Miller Road area in within certain public lands in the White Maricopa County, Arizona. The legal Tank Mountain/Miller Road area: All SUMMARY: description of the affected public lands public, whether motorized, on foot, or This notice issues the official is: otherwise, is prohibited. trail market insignia of the New England National Scenic Trail. The original Gila and Salt River Meridian, Arizona Exemptions: Persons who are exempt graphic image was developed in 2010. It T. 1 N., R. 4 W., from this order include: BLM first came into public use in 2011. This 1 1 1 1 Sec. 1, Lots 1 thru 4, S ⁄2NE ⁄4, S ⁄2NW ⁄4; leaseholders accessing the area for publication accomplishes the official Sec. 11, SE1⁄4SW1⁄4, SE1⁄4; administrative use; any Federal, State, designation of the insignia now in use Sec. 12, All; or local officer or employee acting 1 4 1 4 1 2 1 4 1 4 by the National Park Service. Sec. 13, NE ⁄ NE ⁄ , E ⁄ NW ⁄ NE ⁄ , within the scope of their official duties; SW1⁄4NW1⁄4NE1⁄4, NE1⁄4NW1⁄4, 1 1 1 1 members of any organized rescue, FOR FURTHER INFORMATION CONTACT: N ⁄2NE ⁄4SE ⁄4NW ⁄4, N1⁄2NW1⁄4SE1⁄4NW1⁄4; medical, or firefighting force in Kelly Fellner, Superintendent; New Sec. 14, N1⁄2NE1⁄4. performance of an official duty; any England National Scenic Trail; National The area described is 1,370.64 acres in person authorized in writing by the Park Service; One Armory Square, Suite Maricopa County, Arizona. BLM; and through traffic on the 2, Springfield, MA 01105; via email at The closure is necessary to protect Tonopah Salome Highway and North [email protected]; or via phone at public health and address safety risks Parker Liberty Power Road in (413) 734–8551. resulting from the potential hazards of accordance with State and County rules. SUPPLEMENTARY INFORMATION: The lead and other heavy metals from Enforcement: Any person who primary author of this document is recreational shooting on the public violates this closure may be tried before Kelly Fellner, Superintendent of the lands. The Hassayampa Field Office is a United States Magistrate judge and New England National Scenic Trail. in the process of executing a remedial fined in accordance with 18 U.S.C. action work plan for the site, which 3571, imprisoned no more than 12 The insignia depicted below is includes reclamation. Once the site is months under 43 U.S.C. 1733(a) and 43 prescribed as the official trail marker reclaimed, the BLM will reopen the CFR 8360.0–7, or both. In accordance logo for the New England National lands to the public. with 43 CFR 8365.1–7, State or local Scenic Trail, administered by the During the pendency of the closure, all forms of public use and entry, officials may also impose penalties for National Park Service, New England including target shooting and other violations of Arizona law. National Scenic Trail office, Springfield, recreational activities, will be (Authority: 43 CFR 8364.1) MA. Authorization for use of this trail prohibited. However, public roads marker is controlled by the crossing the closed area, the North Leon Thomas, administrator of the trail. Tonopah-Salome Highway and North Phoenix District Manager. Parker Liberty Power Road, will remain [FR Doc. 2021–13741 Filed 6–25–21; 8:45 am] open to through traffic. BILLING CODE 4310–32–P
In making this prescription, notice is manufactures, sells, or possesses this thereof, or photographs or prints or in hereby given that whoever insignia, or any colorable imitation any other manner makes or executes any
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engraving, photograph or print, or (D. Neb. 2016), notice is hereby given Rivers System. Included within the impression in the likeness of this that the boundary of Niobrara National boundary of the designated river are insignia, or any colorable imitation Scenic River is amended to remove one 12.45 acres of unimproved non-Federal thereof, without written authorization tract of unimproved, non-Federal land, land. from the United States Department of which is a portion of Tract 00001 The Niobrara Scenic River the Interior is subject to the penalty containing 12.45 acres more or less, Designation Act is subject to the Wild provisions of section 701 of Title 18 of located in Cherry County, Nebraska, and Scenic Rivers Act of October 2, the United States Code. currently within the Scenic Riverway 1968, (Pub. L. 90–542, 82 Stat. 906), as Authority: National Trails System Act, 16 boundary. amended, 16 U.S.C. 1271–1287. Section U.S.C. 1246(c); and Protection of Official DATES: The effective date of this 3(b) of that Act, 16 U.S.C. 1274(b), Badges, Insignia, etc., 18 U.S.C. 701. boundary revision is June 28, 2021. provides that ‘‘Notice of availability of the boundaries and classification, and of Kelly Fellner, ADDRESSES: The map depicting the subject boundary amendments shall be Superintendent, New England National boundary revision is available for published in the Federal Register and Scenic Trail. inspection at the following locations: shall not become effective until ninety [FR Doc. 2021–13677 Filed 6–25–21; 8:45 am] National Park Service, Interior Regions days after they have been forwarded to BILLING CODE 4312–52–P 3, 4 & 5, Land Resources Program, 601 the President of the Senate and the Riverfront Drive, Omaha, Nebraska Speaker of the House of 68102 and National Park Service, Representatives.’’ Minor technical DEPARTMENT OF THE INTERIOR Department of the Interior, 1849 C Street boundary changes to System units are NW, Washington, DC 20240. National Park Service authorized by 54 U.S.C. 100506(c). FOR FURTHER INFORMATION CONTACT: This boundary amendment will [NPS–MWR–NIOB–31678; Acting Chief, Land Resources Program remove a portion of Tract 00001 PS.SMWLA0140.00.1] Michael Bockman, National Park containing 12.45 acres of unimproved, Service, Interior Regions 3, 4 & 5, 601 non-Federal land, more or less, from the Boundary Amendment at Niobrara Riverfront Drive, Omaha, Nebraska National Scenic River Niobrara National Scenic River pursuant 68102, telephone (402) 661–1780. to the Judgment of the U.S. District AGENCY: National Park Service, Interior. SUPPLEMENTARY INFORMATION: The Court in Simmons v. Jarvis, 8:13CV98, ACTION: Notification of boundary Niobrara Scenic River Designation Act Doc #120 (D. Neb. 2016). The referenced revision. of 1991, (Pub. L. 102–50, 105 Stat. 254), tract for the boundary revision is designated certain segments of the depicted on Map No. 656/173910 dated, SUMMARY: Pursuant to the Judgment in Niobrara River in Nebraska as December 2020. Simmons v. Jarvis, 8:13CV98, Doc #120 components of the Wild and Scenic BILLING CODE 4312–52–P
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Herbert C. Frost, requirements and minimize the public’s Type of Review: Extension of a Regional Director, Interior Regions 3, 4, 5. reporting burden. It also helps the currently approved collection. [FR Doc. 2021–13754 Filed 6–25–21; 8:45 am] public understand our information Respondents/Affected Public: BILLING CODE 4312–52–C collection requirements and provide the Businesses and State governments. requested data in the desired format. Total Estimated Number of Annual A Federal Register notice with a 60- Respondents: 183. DEPARTMENT OF THE INTERIOR day public comment period soliciting Total Estimated Number of Annual comments on this collection of Responses: 279. Office of Surface Mining Reclamation information was published on March Estimated Completion Time per and Enforcement 24, 2021 (86 FR 15698). No comments Response: Varies from 1 hour to 40 [S1D1S SS08011000 SX064A000 were received. hours, depending on activity. 211S180110; S2D2S SS08011000 As part of our continuing effort to Total Estimated Number of Annual SX064A000 21XS501520; OMB Control reduce paperwork and respondent Burden Hours: 2,795. Number 1029–0111] burdens, we are again soliciting Respondent’s Obligation: Required to comments from the public and other obtain or retain a benefit. Agency Information Collection Federal agencies on the proposed ICR Frequency of Collection: One time. Activities; Areas Designated by Act of that is described below. We are Total Estimated Annual Nonhour Congress especially interested in public comment Burden Cost: $17,100. addressing the following: An agency may not conduct or AGENCY: Office of Surface Mining (1) Whether or not the collection of sponsor and a person is not required to Reclamation and Enforcement, Interior. information is necessary for the proper respond to a collection of information ACTION: Notice of information collection; performance of the functions of the unless it displays a currently valid OMB request for comment. agency, including whether or not the control number. information will have practical utility; The authority for this action is the SUMMARY: In accordance with the (2) The accuracy of our estimate of the Paperwork Reduction Act of 1995, we, Paperwork Reduction Act of 1995 (44 burden for this collection of U.S.C. 3501 et seq.). the Office of Surface Mining information, including the validity of Reclamation and Enforcement (OSMRE), the methodology and assumptions used; Mark J. Gehlhar, are proposing to renew an information (3) Ways to enhance the quality, Information Collection Clearance Officer, collection. utility, and clarity of the information to Division of Regulatory Support. DATES: Interested persons are invited to be collected; and [FR Doc. 2021–13720 Filed 6–25–21; 8:45 am] submit comments on or before July 28, (4) How might the agency minimize BILLING CODE 4310–05–P 2021. the burden of the collection of ADDRESSES: Written comments and information on those who are to recommendations for the proposed respond, including through the use of DEPARTMENT OF THE INTERIOR information collection should be sent appropriate automated, electronic, Office of Surface Mining Reclamation within 30 days of publication of this mechanical, or other technological and Enforcement notice to www.reginfo.gov/public/do/ collection techniques or other forms of PRAMain. Find this particular information technology, e.g., permitting [S1D1S SS08011000 SX064A000 information collection by selecting electronic submission of response. 211S180110; S2D2S SS08011000 ‘‘Currently under 30-day Review—Open Comments that you submit in SX064A000 21XS501520; OMB Control for Public Comments’’ or by using the response to this notice are a matter of Number 1029–0059] search function. Please provide a copy public record. Before including your address, phone number, email address, Agency Information Collection of your comments to Mark Gehlhar, Activities; Grants to States and Tribes Office of Surface Mining Reclamation or other personal identifying and Enforcement, 1849 C Street NW, information in your comment, you AGENCY: Office of Surface Mining Room 4556–MIB, Washington, DC should be aware that your entire Reclamation and Enforcement, Interior. 20240, or by email to mgehlhar@ comment—including your personal identifying information—may be made ACTION: Notice of information collection; osmre.gov. Please reference OMB request for comment. Control Number 1029–0111 in the publicly available at any time. While subject line of your comments. you can ask us in your comment to SUMMARY: In accordance with the withhold your personal identifying FOR FURTHER INFORMATION CONTACT: To Paperwork Reduction Act of 1995, we, information from public review, we request additional information about the Office of Surface Mining cannot guarantee that we will be able to this ICR, contact Mark Gehlhar by email Reclamation and Enforcement (OSMRE), do so. at [email protected], or by telephone are proposing to renew an information Abstract: OSMRE and State regulatory collection. at (202) 208–2716. You may also view authorities use the information collected the ICR at http://www.reginfo.gov/ for 30 CFR 761 to ensure that persons DATES: Interested persons are invited to public/do/PRAMain. planning to conduct surface coal mining submit comments on or before July 28, SUPPLEMENTARY INFORMATION: In operations on the lands protected by 2021. accordance with the Paperwork § 522(e) of the Surface Mining Control ADDRESSES: Written comments and Reduction Act of 1995 (PRA; 44 U.S.C. and Reclamation Act of 1977 have the recommendations for the proposed 3501 et seq.) and 5 CFR 1320.8(d)(1), we right to do so under one of the information collection should be sent provide the general public and other exemptions or waivers provided by this within 30 days of publication of this Federal agencies with an opportunity to section of the Act . notice to www.reginfo.gov/public/do/ comment on new, proposed, revised, Title of Collection: Areas Designated PRAMain. Find this particular and continuing collections of by Act of Congress. information collection by selecting information. This helps us assess the OMB Control Number: 1029–0111. ‘‘Currently under 30-day Review—Open impact of our information collection Form Number: None. for Public Comments’’ or by using the
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search function. Please provide a copy public record. Before including your ACTION: Notice. of your comments to Mark Gehlhar, address, phone number, email address, Office of Surface Mining Reclamation or other personal identifying SUMMARY: Notice is hereby given that a and Enforcement, 1849 C Street NW, information in your comment, you complaint was filed with the U.S. Room 4556–MIB, Washington, DC should be aware that your entire International Trade Commission on May 20240, or by email to mgehlhar@ comment—including your personal 21, 2021, under section 337 of the Tariff osmre.gov. Please reference OMB identifying information—may be made Act of 1930, as amended, on behalf of Control Number 1029–0059 in the publicly available at any time. While Arigna Technology Limited of Ireland. subject line of your comments. you can ask us in your comment to Supplements were filed on May 26, 2021, June 9, 2021, June 10, 2021, and FOR FURTHER INFORMATION CONTACT: To withhold your personal identifying June 11, 2021. The complaint, as request additional information about information from public review, we supplemented, alleges violations of this ICR, contact Mark Gehlhar by email cannot guarantee that we will be able to section 337 based upon the importation at [email protected], or by telephone do so. into the United States, the sale for at (202) 208–2716. You may also view Abstract: State and Tribal reclamation importation, and the sale within the the ICR at http://www.reginfo.gov/ and regulatory authorities are requested United States after importation of public/do/PRAMain. to provide specific budget and program information as part of the grant certain power inverters and converters, SUPPLEMENTARY INFORMATION: In application and reporting processes vehicles containing the same, and accordance with the Paperwork authorized by the Surface Mining components thereof by reason of Reduction Act of 1995 (PRA; 44 U.S.C. Control and Reclamation Act. infringement of certain claims of U.S. 3501 et seq.) and 5 CFR 1320.8(d)(1), we Title of Collection: Grants to States Patent No. 8,247,867 (‘‘the ’867 patent’’) provide the general public and other and Tribes. and U.S. Patent No. 8,289,082 (‘‘the ’082 Federal agencies with an opportunity to OMB Control Number: 1029–0059. patent’’). The complaint further alleges comment on new, proposed, revised, Form Number: OSM–47, OSM–49, that an industry in the United States and continuing collections of and OSM–51. exists or is in the process of being information. This helps us assess the Type of Review: Extension of a established as required by the impact of our information collection currently approved collection. applicable Federal Statute. The requirements and minimize the public’s Respondents/Affected Public: State complainant requests that the reporting burden. It also helps the and Tribal governments. Commission institute an investigation public understand our information Total Estimated Number of Annual and, after the investigation, issue a collection requirements and provide the Respondents: 27. limited exclusion order and cease and requested data in the desired format. Total Estimated Number of Annual desist orders. A Federal Register notice with a 60- Responses: 169. ADDRESSES: The complaint, except for day public comment period soliciting Estimated Completion Time per any confidential information contained comments on this collection of Response: Varies from 1 hour to 10 therein, may be viewed on the information was published on March hours, depending on activity. Commission’s electronic docket (EDIS) 24, 2021 (86 FR 15698). No comments Total Estimated Number of Annual at https://edis.usitc.gov. For help were received. Burden Hours: 735. accessing EDIS, please email As part of our continuing effort to Respondent’s Obligation: Required to [email protected]. Hearing impaired reduce paperwork and respondent obtain or retain a benefit. individuals are advised that information burdens, we are again soliciting Frequency of Collection: One time. on this matter can be obtained by comments from the public and other Total Estimated Annual Nonhour contacting the Commission’s TDD Federal agencies on the proposed ICR Burden Cost: $0. An agency may not conduct or terminal on (202) 205–1810. Persons that is described below. We are sponsor and a person is not required to with mobility impairments who will especially interested in public comment respond to a collection of information need special assistance in gaining access addressing the following: unless it displays a currently valid OMB to the Commission should contact the (1) Whether or not the collection of control number. Office of the Secretary at (202) 205– information is necessary for the proper The authority for this action is the 2000. General information concerning performance of the functions of the Paperwork Reduction Act of 1995 (44 the Commission may also be obtained agency, including whether or not the U.S.C. 3501 et seq.). by accessing its internet server at information will have practical utility; https://www.usitc.gov. (2) The accuracy of our estimate of the Mark J. Gehlhar, burden for this collection of Information Collection Clearance Officer, FOR FURTHER INFORMATION CONTACT: information, including the validity of Division of Regulatory Support. Pathenia M. Proctor, The Office of the methodology and assumptions used; [FR Doc. 2021–13719 Filed 6–25–21; 8:45 am] Unfair Import Investigations, U.S. (3) Ways to enhance the quality, BILLING CODE 4310–05–P International Trade Commission, utility, and clarity of the information to telephone (202) 205–2560. be collected; and SUPPLEMENTARY INFORMATION: (4) How might the agency minimize INTERNATIONAL TRADE Authority: The authority for the burden of the collection of COMMISSION institution of this investigation is information on those who are to contained in section 337 of the Tariff respond, including through the use of [Investigation No. 337–TA–1267] Act of 1930, as amended, 19 U.S.C. appropriate automated, electronic, Certain Power Inverters and 1337, and in section 210.10 of the mechanical, or other technological Converters, Vehicles Containing the Commission’s Rules of Practice and collection techniques or other forms of Same, and Components Thereof; Procedure, 19 CFR 210.10 (2020). information technology, e.g., permitting Institution of Investigation Scope of Investigation: Having electronic submission of response. considered the complaint, the U.S. Comments that you submit in AGENCY: U.S. International Trade International Trade Commission, on response to this notice are a matter of Commission. June 22, 2021, ordered that—
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(1) Pursuant to subsection (b) of Bentley Motors, Inc., 2003 Edmund and to enter an initial determination section 337 of the Tariff Act of 1930, as Halley Drive, Suite 300, Reston, and a final determination containing amended, an investigation be instituted Virginia 20191 such findings, and may result in the to determine whether there is a Automobili Lamborghini America, LLC, issuance of an exclusion order or a cease violation of subsection (a)(1)(B) of 2200 Ferdinand Porsche Drive, and desist order or both directed against section 337 in the importation into the Herndon, Virginia 20171 the respondent. United States, the sale for importation, Automobili Lamborghini S.p.A., Via By order of the Commission. Modena 12, 40019 Sant’Agata or the sale within the United States after Issued: June 23, 2021. importation of certain products Bolognese, Italy Lisa Barton, identified in paragraph (2) by reason of Porsche AG, Porscheplatz 1, D–70435 infringement of one or more of claims 1, Stuttgart, Germany Secretary to the Commission. 2, 8, and 9 of the ’867 patent and claims Porsche Cars North America, Inc., One [FR Doc. 2021–13699 Filed 6–25–21; 8:45 am] 1–6, 13, 17–22, and 29 of the ’082 Porsche Drive, Atlanta, Georgia 30354 BILLING CODE 7020–02–P patent; and whether an industry in the Daimler AG, Mercedesstrasse 120, United States exists or is in the process 70372 Stuttgart, Germany of being established as required by Mercedes-Benz USA, LLC, One subsection (a)(2) of section 337; Mercedes-Benz Drive, Sandy Springs, JUDICIAL CONFERENCE OF THE (2) Pursuant to section 210.10(b)(1) of Georgia 30328 UNITED STATES Bayerische Motoren Werke AG, the Commission’s Rules of Practice and Advisory Committee on Appellate Procedure, 19 CFR 210.10(b)(1), the Petuelring 130, D–80788 Munich, Germany Rules; Meeting of the Judicial plain language description of the Conference accused products or category of accused BMW of North America, LLC, 300 Chestnut Ridge Road, Woodcliff Lake, products, which defines the scope of the AGENCY: Judicial Conference of the New Jersey 07677 investigation, is ‘‘power inverters and United States. converters used in automobiles, General Motors Company, 300 components thereof, and automobiles Renaissance Center, Detroit, Michigan ACTION: Advisory Committee on containing those power inverters or 48243 Appellate Rules; Notice of open converters’’; General Motors LLC, 300 Renaissance meeting. (3) Pursuant to Commission Rule Center, Suite L1, Detroit, Michigan SUMMARY: The Advisory Committee on 210.50(b)(l), 19 CFR 210.50(b)(1), the 48243 Appellate Rules will hold a meeting on presiding administrative law judge shall (c) The Office of Unfair Import October 7, 2021 in Washington, DC. The take evidence or other information and Investigations, U.S. International Trade meeting is open to the public for hear arguments from the parties or other Commission, 500 E Street SW, Suite observation but not participation. An interested persons with respect to the 401, Washington, DC 20436; and agenda and supporting materials will be public interest in this investigation, as (5) For the investigation so instituted, posted at least 7 days in advance of the appropriate, and provide the the Chief Administrative Law Judge, meeting at: http://www.uscourts.gov/ Commission with findings of fact and a U.S. International Trade Commission, rules-policies/records-and-archives- recommended determination on this shall designate the presiding rules-committees/agenda-books. issue, which shall be limited to the Administrative Law Judge. statutory public interest factors set forth Responses to the complaint and the DATES: October 7, 2021, 9 a.m.–5 p.m. in 19 U.S.C. l337(d)(l), (f)(1), (g)(1); notice of investigation must be (Eastern). (4) For the purpose of the submitted by the named respondents in FOR FURTHER INFORMATION CONTACT: Julie investigation so instituted, the following accordance with section 210.13 of the Wilson, Esq., Acting Chief Counsel, are hereby named as parties upon which Commission’s Rules of Practice and Rules Committee Staff, Administrative this notice of investigation shall be Procedure, 19 CFR 210.13. Pursuant to Office of the U.S. Courts, Thurgood served: 19 CFR 201.16(e) and 210.13(a), as Marshall Federal Judiciary Building, (a) The complainant is: Arigna amended in 85 FR 15798 (March 19, 2020), such responses will be One Columbus Circle NE, Suite 7–300, Technology Limited, The Hyde Washington, DC 20544, Phone (202) Building, Carrickmines, Suite 23, considered by the Commission if _ received not later than 20 days after the 502–1820, RulesCommittee Secretary@ Dublin 18, Ireland. ao.uscourts.gov. (b) The respondents are the following date of service by the complainant of the entities alleged to be in violation of complaint and the notice of (Authority: 28 U.S.C. 2073.) section 337, and are the parties upon investigation. Extensions of time for Dated: June 21, 2021. which the complaint is to be served: submitting responses to the complaint Shelly L. Cox, and the notice of investigation will not Management Analyst, Rules Committee Staff. Volkswagen AG, Berliner Ring 2, 38440 be granted unless good cause therefor is [FR Doc. 2021–13714 Filed 6–25–21; 8:45 am] Wolfsburg, Germany shown. Volkswagen Group of America, Inc., Failure of a respondent to file a timely BILLING CODE 2210–55–P 2200 Ferdinand Porsche Drive, response to each allegation in the Herndon, Virginia 20171 complaint and in this notice may be JUDICIAL CONFERENCE OF THE Audi AG, Auto-Union-Stra+e 1, 85057 deemed to constitute a waiver of the UNITED STATES Ingolstadt, Germany right to appear and contest the Audi of America, LLC, 2200 Ferdinand allegations of the complaint and this Advisory Committee on Bankruptcy Porsche Drive, Herndon, Virginia notice, and to authorize the Rules; Meeting of the Judicial 20171 administrative law judge and the Conference Bentley Motors Limited, Pyms Lane, Commission, without further notice to Crewe, Cheshire, CW1 3PL, United the respondent, to find the facts to be as AGENCY: Judicial Conference of the Kingdom alleged in the complaint and this notice United States.
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ACTION: Advisory Committee on Dated: June 21, 2021. meeting at: http://www.uscourts.gov/ Bankruptcy Rules; Notice of open Shelly L. Cox, rules-policies/records-and-archives- meeting. Management Analyst, Rules Committee Staff. rules-committees/agenda-books. [FR Doc. 2021–13716 Filed 6–25–21; 8:45 am] SUMMARY: The Advisory Committee on DATES: November 5, 2021, 9 a.m.–5 p.m. Bankruptcy Rules will hold a meeting BILLING CODE 2210–55–P (Pacific). on September 14, 2021 in Washington, FOR FURTHER INFORMATION CONTACT: Julie DC. The meeting is open to the public JUDICIAL CONFERENCE OF THE Wilson, Esq., Acting Chief Counsel, for observation but not participation. An UNITED STATES Rules Committee Staff, Administrative agenda and supporting materials will be Office of the U.S. Courts, Thurgood posted at least 7 days in advance of the Advisory Committee on Criminal Marshall Federal Judiciary Building, meeting at: http://www.uscourts.gov/ Rules; Meeting of the Judicial One Columbus Circle NE, Suite 7–300, rules-policies/records-and-archives- Conference Washington, DC 20544, Phone (202) rules-committees/agenda-books. _ AGENCY: Judicial Conference of the 502–1820, RulesCommittee Secretary@ DATES: September 14, 2021, 9 a.m.–5 ao.uscourts.gov. p.m. (Eastern). United States. ACTION: Advisory Committee on (Authority: 28 U.S.C. 2073.) FOR FURTHER INFORMATION CONTACT: Julie Wilson, Esq., Acting Chief Counsel, Criminal Rules; Notice of open meeting. Dated: June 21, 2021. Rules Committee Staff, Administrative SUMMARY: The Advisory Committee on Shelly L. Cox, Office of the U.S. Courts, Thurgood Criminal Rules will hold a meeting on Management Analyst, Rules Committee Staff. Marshall Federal Judiciary Building, November 4, 2021 in San Diego, CA. [FR Doc. 2021–13717 Filed 6–25–21; 8:45 am] One Columbus Circle NE, Suite 7–300, The meeting is open to the public for Washington, DC 20544, Phone (202) BILLING CODE 2210–55–P _ observation but not participation. An 502–1820, RulesCommittee Secretary@ agenda and supporting materials will be ao.uscourts.gov. posted at least 7 days in advance of the JUDICIAL CONFERENCE OF THE (Authority: 28 U.S.C. 2073.) meeting at: http://www.uscourts.gov/ UNITED STATES Dated: June 21, 2021. rules-policies/records-and-archives- Committee on Rules of Practice and Shelly L. Cox, rules-committees/agenda-books. Procedure; Meeting of the Judicial Management Analyst, Rules Committee Staff. DATES: November 4, 2021, 9 a.m.–5 p.m. Conference [FR Doc. 2021–13713 Filed 6–25–21; 8:45 am] (Pacific). FOR FURTHER INFORMATION CONTACT: Julie BILLING CODE 2210–55–P AGENCY: Judicial Conference of the Wilson, Esq., Acting Chief Counsel, United States. Rules Committee Staff, Administrative JUDICIAL CONFERENCE OF THE Office of the U.S. Courts, Thurgood ACTION: Committee on Rules of Practice UNITED STATES Marshall Federal Judiciary Building, and Procedure; Notice of open meeting. One Columbus Circle NE, Suite 7–300, Advisory Committee on Civil Rules; Washington, DC 20544, Phone (202) SUMMARY: The Committee on Rules of Meeting of the Judicial Conference _ 502–1820, RulesCommittee Secretary@ Practice and Procedure will hold a AGENCY: Judicial Conference of the ao.uscourts.gov. meeting on January 4, 2022 in Miami, United States. (Authority: 28 U.S.C. 2073.) FL. The meeting is open to the public ACTION: Advisory Committee on Civil Dated: June 21, 2021. for observation but not participation. An Rules; Notice of open meeting. Shelly L. Cox, agenda and supporting materials will be posted at least 7 days in advance of the Management Analyst, Rules Committee Staff. SUMMARY: The Advisory Committee on meeting at: http://www.uscourts.gov/ [FR Doc. 2021–13715 Filed 6–25–21; 8:45 am] Civil Rules will hold a meeting on rules-policies/records-and-archives- October 5, 2021 in Washington, DC. The BILLING CODE 2210–55–P rules-committees/agenda-books. meeting is open to the public for observation but not participation. An DATES: January 4, 2022, 9 a.m.–5 p.m. JUDICIAL CONFERENCE OF THE (Eastern). agenda and supporting materials will be UNITED STATES posted at least 7 days in advance of the FOR FURTHER INFORMATION CONTACT: Julie meeting at: http://www.uscourts.gov/ Advisory Committee on Evidence Wilson, Esq., Acting Chief Counsel, rules-policies/records-and-archives- Rules; Meeting of the Judicial Rules Committee Staff, Administrative rules-committees/agenda-books. Conference Office of the U.S. Courts, Thurgood DATES: October 5, 2021, 9 a.m.–5 p.m. Marshall Federal Judiciary Building, (Eastern). AGENCY: Judicial Conference of the United States. One Columbus Circle NE, Suite 7–300, FOR FURTHER INFORMATION CONTACT: Julie Washington, DC 20544, Phone (202) ACTION: Advisory Committee on Wilson, Esq., Acting Chief Counsel, 502–1820, RulesCommittee_Secretary@ Evidence Rules; Notice of open meeting. Rules Committee Staff, Administrative ao.uscourts.gov. Office of the U.S. Courts, Thurgood SUMMARY: The Advisory Committee on (Authority: 28 U.S.C. 2073.) Marshall Federal Judiciary Building, Evidence Rules will hold a meeting on Dated: June 21, 2021. One Columbus Circle NE, Suite 7–300, November 5, 2021 in San Diego, CA. Washington, DC 20544, Phone (202) The meeting is open to the public for Shelly L. Cox, _ 502–1820, RulesCommittee Secretary@ observation but not participation. An Management Analyst, Rules Committee Staff. ao.uscourts.gov. agenda and supporting materials will be [FR Doc. 2021–13718 Filed 6–25–21; 8:45 am] (Authority: 28 U.S.C. 2073.) posted at least 7 days in advance of the BILLING CODE 2210–55–P
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DEPARTMENT OF JUSTICE DEPARTMENT OF JUSTICE Administration-approved or non- approved finished dosage forms for Drug Enforcement Administration Drug Enforcement Administration commercial sale. [Docket No. DEA–859] William T. McDermott, [Docket No. DEA–846] Assistant Administrator. Importer of Controlled Substances Bulk Manufacturer of Controlled Application: AMRI Rensselaer, Inc. [FR Doc. 2021–13672 Filed 6–25–21; 8:45 am] Substances Application: Chemic BILLING CODE 4410–09–P Laboratories AGENCY: Drug Enforcement Administration, Justice. DEPARTMENT OF JUSTICE AGENCY: Drug Enforcement ACTION: Notice of application. Administration, Justice. [OMB Number 1121–0292] SUMMARY: AMRI Rensselaer, Inc. has ACTION: Notice of application. applied to be registered as an importer Agency Information Collection of basic class(es) of controlled Activities; Proposed Collection SUMMARY: Chemic Laboratories, has substance(s). Refer to Supplemental Comments Requested; Extension of applied to be registered as a bulk Information listed below for further Currently Approved Collection: Survey manufacturer of basic class(es) of drug information. of Sexual Victimization (SSV) controlled substance(s). Refer to DATES: Registered bulk manufacturers of AGENCY: Bureau of Justice Statistics, Supplemental Information listed below the affected basic class(es), and Department of Justice. for further drug information. applicants therefore, may file written comments on or objections to the ACTION: 30-Day notice. DATES: Registered bulk manufacturers of issuance of the proposed registration on SUMMARY: The Department of Justice the affected basic class(es), and or before July 28, 2021. Such persons applicants therefore, may file written (DOJ), Office of Justice Programs, may also file a written request for a Bureau of Justice Statistics, will be comments on or objections to the hearing on the application on or before issuance of the proposed registration on submitting the following information July 28, 2021. collection request to the Office of or before August 27, 2021. Such persons ADDRESSES: Written comments should Management and Budget (OMB) for may also file a written request for a be sent to: Drug Enforcement review and approval in accordance with hearing on the application on or before Administration, Attention: DEA Federal the Paperwork Reduction Act of 1995. August 27, 2021. Register Representative/DPW, 8701 The proposed information collection ADDRESSES: Written comments should Morrissette Drive, Springfield, Virginia was previously published in the Federal be sent to: Drug Enforcement 22152. All requests for a hearing must Register, allowing a 60-day comment Administration, Attention: DEA Federal be sent to: Drug Enforcement period. Following publication of the 60- Register Representative/DPW, 8701 Administration, Attn: Administrator, day notice, the Bureau of Justice Morrissette Drive, Springfield, Virginia 8701 Morrissette Drive, Springfield, Statistics received no substantive 22152. Virginia 22152. All requests for a comments. hearing should also be sent to: (1) Drug DATES: Comments are encouraged and SUPPLEMENTARY INFORMATION: In Enforcement Administration, Attn: will be accepted for an additional 30 accordance with 21 CFR 1301.33(a), this Hearing Clerk/OALJ, 8701 Morrissette days until July 28, 2021. Drive, Springfield, Virginia 22152; and is notice that on April 30, 2021, Chemic FOR FURTHER INFORMATION CONTACT: Laboratories, 480 Neponset Street, (2) Drug Enforcement Administration, Attn: DEA Federal Register Written comments and Building 7, Canton, Massachusetts recommendations for the proposed 02021–1971, applied to be registered as Representative/DPW, 8701 Morrissette Drive, Springfield, Virginia 22152. information collection should be sent a bulk manufacturer of the following within 30 days of publication of this basic class(es) of controlled SUPPLEMENTARY INFORMATION: In notice to www.reginfo.gov/public/do/ substance(s): accordance with 21 CFR 1301.34(a), this PRAMain. Find this particular is notice that on May 20, 2021, AMRI information collection by selecting Rensselaer, Inc., 33 Riverside Avenue, Controlled substance Drug Schedule ‘‘Currently under 30-day Review—Open code Rensselaer, New York 12144, applied to for Public Comments’’ or by using the be registered as an importer of the search function. Psilocybin ...... 7437 I following basic class(es) of controlled SUPPLEMENTARY INFORMATION: Written Psilocyn ...... 7438 I substance(s): I I comments and suggestions from the public and affected agencies concerning The company plans to manufacture Controlled substance Drug Schedule code the proposed collection of information small quantities of the listed controlled Poppy Straw Concentrate ...... 9670 II are encouraged. Your comments should substances for research and address one or more of the following development in preclinical studies for four points: sale to its customers. No other activities The company plans to import the listed controlled substance to for these drug codes are authorized for —Evaluate whether the proposed manufacture a bulk controlled substance this registration. collection of information is necessary for distribution to its customers. for the proper performance of the William T. McDermott, Approval of permit applications will functions of the Bureau of Justice Assistant Administrator. occur only when the registrant’s Statistics, including whether the [FR Doc. 2021–13671 Filed 6–25–21; 8:45 am] business activity is consistent with what information will have practical utility; is authorized under 21 U.S.C. 952(a)(2). —Evaluate the accuracy of the agency’s BILLING CODE P Authorization will not extend to the estimate of the burden of the import of Food and Drug proposed collection of information,
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including the validity of the year, one for each incident that was the proposed collection of information methodology and assumptions used; substantiated) will take about 30 are encouraged. Your comments should —Evaluate whether, and if so, how the minutes per form. The burden estimates address one or more of the following quality, utility, and clarity of the are based on data from the prior four points: information to be collected can be administration of the SSV. —Evaluate whether the proposed enhanced; and (6) An estimate of the total public collection of information is necessary —Minimize the burden of the collection burden (in hours) associated with the for the proper performance of the of information on those who are to collection: There is an estimated 2,342 functions of the Bureau of Justice respond, including through the use of total burden hours per year associated Statistics, including whether the appropriate automated, electronic, with this collection, with a combined information will have practical utility; mechanical, or other technological total of 7,026 for the three years. —Evaluate the accuracy of the agency’s collection techniques or other forms If additional information is required estimate of the burden of the of information technology, e.g., contact: Melody Braswell, Department proposed collection of information, permitting electronic submission of Clearance Officer, United States including the validity of the responses. Department of Justice, Justice methodology and assumptions used; Overview of This Information Management Division, Policy and —Evaluate whether and if so how the Collection Planning Staff, Two Constitution quality, utility, and clarity of the Square, 145 N Street NE, 3E.405A, information to be collected can be (1) Type of Information Collection: Washington, DC 20530. enhanced; and Extension of a currently approved Dated: June 23, 2021. —Minimize the burden of the collection collection. of information on those who are to Melody Braswell, (2) The Title of the Form/Collection: respond, including through the use of Survey of Sexual Victimization Department Clearance Officer for PRA, U.S. appropriate automated, electronic, Department of Justice. [formerly the Survey of Sexual mechanical, or other technological Violence]. [FR Doc. 2021–13728 Filed 6–25–21; 8:45 am] collection techniques or other forms (3) The agency form number, if any, BILLING CODE 4410–18–P of information technology, e.g., and the applicable component of the permitting electronic submission of Department sponsoring the collection: responses. Form numbers for the questionnaire are DEPARTMENT OF JUSTICE Overview of This Information SSV–1, SSV–2, SSV–3, SSV–4, SSV–5, [OMB Number 1121–0111] SSV–6, SSV–IA, and SSV–IJ. The Collection applicable component within the Agency Information Collection (1) Type of Information Collection: Department of Justice is the Bureau of Activities; Proposed eCollection Extension of a currently approved Justice Statistics, in the Office of Justice eComments Requested; Extension of a collection. Programs. Currently Approved Collection; (2) The Title of the Form/Collection: (4) Affected public who will be asked Comments Requested: National Crime National Crime Victimization Survey or required to respond, as well as a brief Victimization Survey (NCVS) (3) The agency form number, if any, abstract: Primary: State, Local, or Tribal and the applicable component of the Government correctional facilities. AGENCY: Bureau of Justice Statistics, Department sponsoring the collection: Other: Federal Government and Department of Justice. The form numbers for the questionnaire businesses (privately operated ACTION: 60-Day notice. are NCVS–1 and NCVS–2. The correctional institutions, both for-profit applicable component within the SUMMARY: The Department of Justice and not-for-profit). The data will be Department of Justice is the Bureau of (DOJ), Office of Justice Programs, used to develop national estimates of Justice Statistics, in the Office of Justice Bureau of Justice Statistics, will be the incidence and prevalence of sexual Programs. submitting the following information assault within correctional facilities, as (4) Affected public who will be asked collection request to the Office of well as characteristics of substantiated or required to respond, as well as a brief Management and Budget (OMB) for incidents, as required under the Prison abstract: The National Crime review and approval in accordance with Rape Elimination Act of 2003 (Pub. L. Victimization Survey (NCVS) is the Paperwork Reduction Act of 1995. 108–79). administered to persons 12 years or (5) An estimate of the total number of DATES: Comments are encouraged and older living in sampled households respondents and the amount of time will be accepted for 60 days until located throughout the United States. estimated for an average respondent to August 27, 2021. The NCVS collects, analyzes, publishes, respond: An estimate of the total FOR FURTHER INFORMATION CONTACT: If and disseminates statistics on the number of respondents is 1,581 adult you have additional comments criminal victimization in the U.S. BJS and juvenile correctional systems and especially on the estimated public plans to publish information from the facilities. (This estimate assumes a burden or associated response time, NCVS in reports and reference it when response rate of 100%.) Federal and suggestions, or need a copy of the responding to queries from the U.S. state correctional systems for adults and proposed information collection Congress, Executive Office of the juveniles (102 respondents) will each instrument with instructions or President, the U.S. Supreme Court, state take an estimated 60 minutes to additional information, please contact officials, international organizations, complete the summary form; local, Erika Harrell, Statistician, Bureau of researchers, students, the media, and military, Immigrations and Customs Justice Statistics, 810 Seventh Street others interested in criminal justice Enforcement, tribal, and privately NW, Washington, DC 20531 (email: statistics. operated facilities (1,479 respondents) [email protected]; telephone: (5) An estimate of the total number of will each take an estimated 30 minutes 202–307–0758). respondents and the amount of time to complete the summary form; and SUPPLEMENTARY INFORMATION: Written estimated for an average respondent to incident forms (an estimated 3,000 comments and suggestions from the respond: The estimated annual number incident forms will be completed each public and affected agencies concerning of respondents is 124,663. It will take
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the average interviewed respondent an FOR FURTHER INFORMATION CONTACT: If Summary (Form DCR–1) and submit it estimated 25 minutes to respond; the you have additional comments by the reporting deadline. The Quarterly average non-interviewed respondent an especially on the estimated public Summary is a list of all reportable estimated 7 minutes to respond; the burden or associated response time, deaths that occurred in the State during average follow-up interview is estimated suggestions, or need a copy of the the corresponding quarter with basic at 15 minutes, and the average follow- proposed information collection information about the circumstances of up for a non-interview is estimated at 1 instrument with instructions or each death. If a State did not have a minute. additional information, please contact reportable death during the quarter, the (6) An estimate of the total public Laura Wyckoff, Bureau of Justice State must so indicate on the Quarterly burden (in hours) associated with the Assistance, 810 Seventh Street NW, Summary. The reporting deadline to collection: There are an estimated Washington, DC 20531 (email: submit the Quarterly Summary is the 117,535 annual burden hours associated [email protected]; telephone: last day of the month following the with this collection. 202–595–3589). close of the quarter. For each quarter, If additional information is required SUPPLEMENTARY INFORMATION: Written BJA will send two reminders prior to contact: Melody Braswell, Department comments and suggestions from the the reporting deadline. Clearance Officer, United States public and affected agencies concerning Example. The second quarter of a Department of Justice, Justice the proposed collection of information fiscal year is January 1–March 31. The Management Division, Policy and are encouraged. Your comments should deadline to submit the second quarter Planning Staff, Two Constitution address one or more of the following Quarterly Summary is April 30. BJA Square, 145 N Street NE, 3E.405A, four points: will send a reminder to States on March Washington, DC 20530. —Evaluate whether the proposed 31 and April 15. Dated: June 23, 2021. collection of information is necessary Component: Bureau Justice Assistance, U.S. Department of Justice. Melody Braswell, for the proper performance of the Department Clearance Officer for PRA, U.S. functions of the agency, including Form number (if applicable): DCR–1A Department of Justice. whether the information will have Incident Report. This incident report [FR Doc. 2021–13729 Filed 6–25–21; 8:45 am] practical utility; form requires States to provide —Evaluate the accuracy of the agency’s BILLING CODE 4410–18–P additional information for each estimate of the burden of the reportable death identified in the proposed collection of information, Quarterly Summary that occurred DEPARTMENT OF JUSTICE including the validity of the during interactions with law methodology and assumptions used; enforcement personnel or while in their Office of Justice Programs —Evaluate whether and if so how the custody. quality, utility, and clarity of the [OMB Number 1121–0365] For each reportable death identified information to be collected can be in the Quarterly Summary, a State must Agency Information Collection enhanced; and complete and submit by the same Activities; Proposed eCollection —Minimize the burden of the collection reporting deadline an Incident Report eComments Requested; Death in of information on those who are to (Form DCR–1A), which contains Custody Reporting Act Collection respond, including through the use of specific information on the appropriate automated, electronic, circumstances of the death and AGENCY: Office of Justice Programs, mechanical, or other technological additional characteristics of the Department of Justice. collection techniques or other forms decedent. These include: ACTION: 60-Day notice. of information technology, e.g., • The decedent’s name, year of birth, permitting electronic submission of gender, race, and ethnicity. SUMMARY: The Department of Justice responses. • The date, time, and location of the (DOJ), Bureau of Justice Assistance will death. Overview of This Information be submitting the following information • The law enforcement or Collection collection request to the Office of correctional agency involved. Management and Budget (OMB) for 1. Type of Information Collection: • Description of the manner of death. review and approval in accordance with Extension of currently approved States must answer all questions on the Paperwork Reduction Act of 1995. collection. the Incident Report before they can The Death in Custody Reporting Act 2. The Title of the Form/Collection: submit the form. If the State does not (DCRA) requires states and federal law Death in Custody Reporting Act have sufficient information to complete enforcement agencies to report certain Collection. one of the questions, then the State may information to the Attorney General 3. The agency form number, if any, select the ‘‘unknown’’ answer, if regarding the death of any person and the applicable component of the available, and then identify when the occurring during interactions with law Department sponsoring the collection: information is anticipated to be enforcement officers or while in Form number (if applicable): DCR–1 obtained. custody. It further requires the Attorney Quarterly Summary. This summary Component: Bureau Justice General and the Department of Justice form requires States to either (1) identify Assistance, U.S. Department of Justice. (Department) to collect the information, all reportable deaths that occurred in 4. Affected public who will be asked establish guidelines on how it should be their jurisdiction during the or required to respond, as well as a brief reported, annually determine whether corresponding quarter and provide basic abstract: each state has complied with the information about the circumstances of Primary: State, Local, or Tribal reporting requirements, and address any the death, or (2) affirm that no Government. state’s noncompliance. reportable death occurred in the State Abstract: To comply with the DATES: Comments are encouraged and during the reporting period. mandate of the DCRA, the Department will be accepted for 60 days until For each quarter in a fiscal year, a of Justice, Bureau of Justice Assistance, August 27, 2021. State must complete the Quarterly is proposing a new data collection for
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State Administering Agencies to collect public that will be asked to respond on DEPARTMENT OF LABOR and submit information regarding the a quarterly basis each federal fiscal year death of any person who is detained, includes 56 State and Territorial actors. Employee Benefits Security under arrest, or is in the process of These States will be requesting Administration being arrested, is en route to be information from approximately 19,450 [Exemption Application No. D–12003] incarcerated, or is incarcerated at a State and local law enforcement municipal or county jail, State prison, agencies (LEAs), 56 State and Territorial Proposed Exemption for Certain State-run boot camp prison, boot camp departments of corrections, and 2,800 Prohibited Transaction Restrictions prison that is contracted out by the local adult jail jurisdictions. Involving the Mitsubishi UJF Trust and State, any State or local contract facility, Banking Corporation Located in New 6. An estimate of the total public or other local or State correctional York, NY facility (including any juvenile facility). burden (in hours) associated with the DOJ proposes the following plan to collection: For purposes of this burden AGENCY: Employee Benefits Security collect DCRA information at the end of calculation, it is estimated that for each Administration, Labor. fiscal year 2019 and beyond. The plan, fiscal year there will be a total of 1,900 ACTION: Notice of proposed exemption. which constitutes ‘‘guidelines reportable deaths by 1,060 LEAs, 1,053 established by the Attorney General’’ reportable deaths by 600 jails, and 3,483 SUMMARY: This document provides pursuant to section 2(a) of the DCRA, reportable deaths by prisons. notice of the pendency before the encompasses provisions specifically Department of Labor (the Department) of For FY 2020 and beyond, the total required by the statute. a proposed individual exemption from For purposes of this notice, the term projected respondent burden is certain of the prohibited transaction ‘‘reportable death’’ means any death that 13,756.49 hours. States will need an restrictions of the Employee Retirement the DCRA or the Department’s estimated 4.00 hours to complete each Income Security Act of 1974 (ERISA or guidelines require States to report. Quarterly Summary for a total of the Act) and/or the Internal Revenue Generally, these are deaths that 4,480.00 hours, 0.25 hours to complete Code of 1986 (the Code). occurred during interactions with law each corresponding Incident Reports DATES: If granted, the exemption will be enforcement personnel or while the (DCR–1A) for a total of 1,713.49 hours. in effect as of the date the grant notice decedent was in their custody or in the For LEAs, the estimated burden to assist is published in the Federal Register. custody, under the supervision, or States in completing the Quarterly Written comments and requests for a under the jurisdiction of a State or local Summaries is 0.40 hours per Report for public hearing on the proposed law enforcement or correctional agency, a total of 1,696.00 hours, and a total of exemption should be submitted to the such as a jail or prison. Specifically, the 1,425.00 hours, at 0.75 hours for each Department by August 12, 2021. DCRA requires States to report corresponding Incident Report. The ADDRESSES: All written comments and ‘‘information regarding the death of any estimated burden for jails is a total of requests for a hearing should be sent to person who is detained, under arrest, or 960.00 hours to assist States in the Employee Benefits Security is in the process of being arrested, is en completing the Quarterly Summaries Administration (EBSA), Office of route to be incarcerated, or is and 789.75 hours in completing Exemption Determinations, Attention: incarcerated at a municipal or county Incident Reports. Finally, the estimated Application No. D–12003 via email to e- jail, State prison, State-run boot camp burden for prisons to assist States in [email protected] or online through the prison, boot camp prison that is Federal eRulemaking Portal: http:// contracted out by the State, any State or completing the Quarterly Summaries is a total of 80.00 hours, and a total of www.regulations.gov. Any such local contract facility, or other local or comments or requests should be sent by State correctional facility (including any 2,612.25 hours to assist States in completing Incident Reports. the end of the scheduled comment juvenile facility).’’ 34 U.S.C. 60105(a). period. The application for exemption Please note that the DCRA If additional information is required and the comments received will be information that States submit to the contact: Melody Braswell, Department available for public inspection in the Department must originate from official Clearance Officer, United States Public Disclosure Room of the government records, documents, or Department of Justice, Justice Employee Benefits Security personnel. Management Division, Policy and Administration, U.S. Department of The DCRA requires quarterly Planning Staff, Two Constitution Labor, Room N–1515, 200 Constitution reporting. Beginning with the first Square, 145 N Street NE, 3E.405A, Avenue NW, Washington, DC 20210. quarter of FY 2020 (October 2019), Washington, DC 20530. See SUPPLEMENTARY INFORMATION below quarterly DCRA reporting to BJA will for additional information regarding include all reportable deaths—deaths Dated: June 22, 2021. comments. occurring during interactions with law Melody Braswell, enforcement personnel or while in their Department Clearance Officer for PRA, U.S. FOR FURTHER INFORMATION CONTACT: custody and deaths in jail, prison, or Department of Justice. Frank Gonzalez of the Department, detention settings (i.e., deaths reportable [FR Doc. 2021–13634 Filed 6–25–21; 8:45 am] telephone (202) 693–8553. (This is not on Form DCR–1). a toll-free number.) BILLING CODE 4410–18–P 5. An estimate of the total number of SUPPLEMENTARY INFORMATION: respondents and the amount of time estimated for an average respondent to Comments respond: For purposes of this collection, In light of the current circumstances the term ‘‘State’’ includes any State of surrounding the COVID–19 pandemic the United States, the District of caused by the novel coronavirus which Columbia, the Commonwealth of Puerto may result in disruption to the receipt Rico, the Virgin Islands, American of comments by U.S. Mail or hand Samoa, Guam, and the Northern delivery/courier, persons are Mariana Islands. Thus, the affected encouraged to submit all comments
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electronically and not to follow with www.regulations.gov, your email include employee benefit plans subject paper copies. Comments should state address will be automatically captured to ERISA and plans subject to Code the nature of the person’s interest in the and included as part of the comment section 4975 (the Covered Plans). The proposed exemption and the manner in that is placed in the public record and Covered Plans invest in the Funds, and which the person would be adversely made available on the internet. the Funds, in turn, may invest directly affected by the exemption, if granted. Background: The Department is or indirectly in private equity Any person who may be adversely considering granting an exemption investments, real estate or real estate affected by an exemption can request a under the authority of section 408(a) of related investments, non-real estate hearing on the exemption. A request for the Employee Retirement Income operating company ventures, or other a hearing must state: (1) The name, Security Act of 1974, as amended investment opportunities.3 address, telephone number, and email (ERISA) and section 4975(c)(2) of the 2. The Funds may use capital calls to address of the person making the Internal Revenue Code of 1986, as facilitate Fund investments. A capital request; (2) the nature of the person’s amended (the Code), and in accordance call (Capital Call) is when a Fund interest in the exemption and the with the procedures set forth in 29 CFR exercises its right to call on Investors to manner in which the person would be part 2570, subpart B (76 FR 66637, make cash capital contributions to the 1 adversely affected by the exemption; 66644, October 27, 2011). If the Fund. These cash capital contributions and (3) a statement of the issues to be proposed exemption is granted, the from Investors to a Fund (Capital addressed and a general description of restrictions of ERISA sections Contributions) enable the Fund to make the evidence to be presented at the 406(a)(1)(A) through (D), and the its investments. Investors typically have hearing. The Department will grant a sanctions resulting from the application 10 to 15 days after a Capital Call to of Code section 4975, by reason of Code make a Capital Contribution. A Fund’s request for a hearing made in sections 4975(c)(1)(A) through (D), shall use of Capital Calls to make investments accordance with the requirements above not apply to certain transactions arising can take days, thereby reducing a where a hearing is necessary to fully from credit arrangements involving Fund’s investing flexibility and explore material factual issues Mitsubishi UJF Trust and Banking increasing costs to the Fund’s Investors, identified by the person requesting the Corporation and its indirectly wholly- including the Covered Plans. hearing. A notice of such hearing shall owned subsidiary MUFG Alternative 3. In addition to Capital Calls, a Fund be published by the Department in the Fund Services (Cayman) Limited and may use a Credit Facility to facilitate Federal Register. The Department may the investment funds in which investments. For purposes of this decline to hold a hearing if: (1) The employee benefit plans invest. proposed exemption, a Credit Facility is request for the hearing does not meet a secured revolving line of credit Summary of Facts and the requirements above; (2) the only between Mitsubishi Bank, as sole Representations 2 issues identified for exploration at the Lender, or as Agent, and one or more hearing are matters of law; or (3) the 1. Mitsubishi UJF Trust and Banking Funds (or an entity through which a factual issues identified can be fully Corporation is a foreign banking Fund invests). The Fund may use its explored through the submission of corporation organized under the laws of credit under the Credit Facility for: (a) evidence in written (including Japan, and a subsidiary of Mitsubishi Direct or indirect borrowings; (b) electronic) form. WARNING: All UFJ Financial Group. MUFG Alternative requesting letters of credit; (c) other comments received will be included in Fund Services (Cayman) Limited is an similar forms of credit arrangements; or the public record without change and ordinary resident company organized (d) a combination of any of the may be made available online at http:// under the laws of the Cayman Islands, foregoing.4 www.regulations.gov, including any and is an indirectly wholly-owned personal information provided, unless subsidiary of Mitsubishi UJF Trust and 3 This proposed exemption is not an endorsement the comment includes information Banking Corporation (collectively, by the Department of the transactions described claimed to be confidential or other Mitsubishi Bank or the Applicant). herein. The fiduciary responsibility provisions of information whose disclosure is Part 4 of Title I of ERISA apply to a Covered Plan Mitsubishi Bank may act as the sole fiduciary’s decision to invest in a Fund. restricted by statute. If you submit a lender (a Lender) or agent for a Lender Specifically, ERISA section 404(a)(1) requires, comment, EBSA recommends that you (an Agent) in arranging revolving lines among other things, that a plan fiduciary act include your name and other contact of credit (Credit Facilities) that are used prudently, solely in the interest of the plan’s information in the body of your by certain investment vehicles (the participants and beneficiaries, and for the exclusive purpose of providing benefits to participants and comment, but DO NOT submit Funds). The Funds may be structured as beneficiaries when making investment decisions on information that you consider to be limited partnerships, limited liability behalf of the plan. Such an exemption would not confidential, or otherwise protected companies, or other business entities constitute an opinion as to whether a particular (such as Social Security number or an organized under applicable law. investment strategy, or arrangement, would be considered prudent or in the best interests of a plan, unlisted phone number) or confidential Investors in the Funds (the Investors) as required by ERISA section 404. The business information that you do not determination of the prudence of a particular want publicly disclosed. However, if 1 For purposes of this proposed exemption, investment must be made by a plan fiduciary, after EBSA cannot read your comment due to references to the provisions of section 406 of Title appropriate consideration of those facts and I of ERISA, unless otherwise specified, should be circumstances that, given the scope of such technical difficulties and cannot contact read to refer as well to the corresponding provisions fiduciary’s investment duties, the fiduciary knows you for clarification, EBSA might not be of Code section 4975. or should know, are relevant to the particular able to consider your comment. 2 The Department notes that availability of this investment involved, including the plan’s potential Additionally, the http:// exemption, is subject to the express condition that exposure to losses, and the role a particular the material facts and representations contained in investment plays in that portion of the plan’s www.regulations.gov website is an application D–12003 are true and complete, and investment portfolio with respect to which the ‘‘anonymous access’’ system, which accurately describe all material terms of the fiduciary has investment duties and responsibilities means EBSA will not know your transactions covered by the exemption. If there is (see 29 CFR 1550.404a–1). identity or contact information unless any material change in a transaction covered by the 4 The phrase ‘‘other similar forms of credit exemption, or in a material fact or representation arrangements’’ is a catch-all in the event the needs you provide it in the body of your described in the application, the exemption will of the Fund change. Occasionally, a Credit Facility comment. If you send an email directly cease to apply to the covered transactions as of the might provide variations on extensions of credit, for to EBSA without going through http:// date of such change. Continued
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4. Mitsubishi may be a party in agreement to make Capital manager (the Manager), to make Capital interest to a Covered Plan investing in Contributions to the Fund without Calls for any lawful purpose of the Fund a Fund that uses a Credit Facility with setoff, reduction, counterclaim, or that is consistent with the terms of the respect to which Mitsubishi is a Lender defense of any kind or nature, for the Fund Agreement and other governing or Agent for one or more Lenders. purpose of repayment of the Credit documents. However, Mitsubishi will not be a Facility; (e) a representation that the 11. Generally, the Fund Agreement fiduciary with respect to the Covered Investor has no knowledge of claims, will allow the Fund to: (a) Incur Plan when relying on the exemption. offsets, or defenses that would adversely indebtedness (including indebtedness 5. In most instances, the Credit affect its obligation to fund Capital related to a Credit Facility) for the Facility will be a recourse obligation of Contributions under the Fund acquisition of investments, and to a Covered Plan to the Fund that will not Agreements, or events, which with the provide the Fund with working capital, exceed the Covered Plan’s capital passage of time would constitute a among other things; and (b) commitment. The following will secure default, or would constitute a defense consummate investments quickly the Fund’s repayments to the Credit to, or right of offset against the without having to finalize the debt/ Facility: (a) A pledge and assignment of Investor’s obligation to fund its capital equity structure for an investment, or all the rights of the Fund and its general commitment to the Fund; and (f) an arrange, for interim or permanent partner (General Partner) or manager agreement that the Investor will fund financing, prior to making an (Manager), including the right to call for Capital Contributions only into the investment, and will have additional and receive payments of capital Collateral Account (except in certain advantages to the Investors and the committed by Investors, and rights limited circumstances). Fund. against defaulting Investors; (b) the right 7. With respect to the Fund and its 12. Some Fund Agreements contain to make Capital Calls on Investors, and activities, the only direct contractual an Agreement to Fund (or similar apply the proceeds to the repayment relationship between an Investor and language) in which case the Investor obligations of the Fund under the Credit Mitsubishi Bank, or any Lender, will be Consent merely acknowledges and Facility, in the event of a default under the execution of the Investor Consent. confirms the Investor’s funding the Credit Facility; (c) a pledge or first The Investor will separately agree in an obligation. All other aspects of the priority security interest in an account ‘‘Agreement to Fund’’ that, in the event transaction, including the negotiation of (the Collateral Account) that the Fund of default under the Credit Facility, the all terms of the Credit Facility, will be maintains with a financial institution or Investor will make its Capital exclusively between Mitsubishi Bank, as entity into which capital contributions Contribution to the Collateral Account sole Lender or Agent, and the Fund. are made; and (d) Investor agreements in response to a Capital Call for evidencing, among other things, the repayment of the Credit Facility, Exemption Request Investor’s acknowledgement of the without setoff, reduction, counterclaim, 13. The Applicant is requesting an assignment of rights to the Lenders by or defense of any kind or nature. exemption that would permit: the General Partner (or the Manager) 8. The Investor Consent (a) The granting by the Funds to and the Fund (the Investor Consent). acknowledges, and confirms, existing Mitsubishi Bank, as sole Lender or 6. In connection with securing a rights of the Lenders that are created by Agent for one or more Lenders Credit Facility, and to the extent operation of the Fund Agreements. The (including Mitsubishi Bank) that will Mitsubishi Bank requests or requires, Agreement to Fund does not limit the fund a Credit Facility, of a security either as sole Lender or Agent, an Investor’s right to assert any claim, or interest in and lien on the Capital Investor will execute an Investor defense, in a separate action against Commitments, reserve amounts, and Consent consenting to, acknowledging, either the Fund or the General Partner Capital Contributions of Investors that and confirming certain aspects of the (or Manager). are Covered Plans investing in the Fund; Credit Facility. The Investor Consent 9. An executed Investor Consent is (b) Any Fund’s collateral assignment may include the following integral to the Credit Facility, and the and pledge to Mitsubishi Bank, as sole documentation: (a) An acknowledgment Credit Facility is an integral part of the Lender or Agent, of the Fund’s security and confirmation of the Investor’s Fund’s investment program. Prior to, or interest in an Investor/Covered Plan’s obligation to deliver the Investor’s at the time of, a plan fiduciary’s equity interest in such Fund; financial information statements to decision to invest in the Fund, the plan (c) The Fund’s granting to Mitsubishi Mitsubishi Bank, as sole Lender or fiduciaries will be aware that the Fund Bank, as sole Lender or Agent, of a Agent; (b) an acknowledgment, and will have: (a) The power to borrow security interest in a collateral account confirmation, of the Investor’s unpaid, money; (b) enter into a loan agreement (Collateral Account) to which all Capital and owing, capital commitment amount, in which the Fund may pledge its Contributions in the Fund will be and of the Investor’s obligation to assets, including the capital deposited when paid (except in certain contribute capital (up to its unfunded commitments of the Investors; and (c) limited circumstances that do not capital commitment amount) to satisfy have the right to make Capital Calls, involve Covered Plans); 5 the indebtedness the Fund incurred thereby giving the secured party the (d) The granting by the Fund and/or under the Credit Facility; (c) an right, under certain circumstances, to its General Partner or Manager to Investor’s acknowledgment of the make Capital Calls, directly. Mitsubishi Bank, as sole Lender or 10. A Fund Agreement is the written Fund’s, and its General Partner’s (or Agent, of its right to make Capital Calls organizing and governing document Manager’s), assignment and pledge to under the operative Fund Agreements, forming a Fund that obligates each Mitsubishi Bank as sole Lender or to enforce the Capital Calls, collect the Investor to make Capital Contributions, Agent, of the right to make Capital Calls with respect to capital commitments, 5 upon the Investors, and to collect and In most cases, all Investors will make Capital upon receipt of a Capital Call from Contributions into the Collateral Account. However, enforce the same; (d) an Investor’s Mitsubishi Bank, either as sole Lender in some cases, investors that are not Covered Plans may be directed to make Capital Contributions to example, banker’s acceptances, which are similar to or as Agent. The Fund Agreement will the sole Lender or the Agent, for the benefit of the letters of credit and are commonly used in some also allow the Fund, or its general Lenders, after an event of default, in some other non-U.S. jurisdictions. partner (the General Partner), or its manner.
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Capital Contributions, and apply them information from Mitsubishi Bank rights to make Capital Calls and to to any amount due under the Credit Lenders with respect to the Credit collect and enforce the same, in the Facility; and Facility and the outstanding obligations event of default. The Investor Consent is (e) A Covered Plan’s execution of the thereunder, although, typically, such an important component of the Credit Investor Consent, consenting to the communications would be relayed by Facility arrangement. Absent the assignment by the Fund and General the Covered Plan Investors through the Investor Consent, Mitsubishi Bank may Partner (or Manager) to Mitsubishi Fund to Mitsubishi Bank Lenders, and be required to foreclose on the collateral Bank, as sole Lender or Agent, of their not made directly. in order to effect a Capital Call for right to make Capital Calls. 18. Finally, ERISA section 406(a)(l)(D) repayment of the Credit Facility. The prohibits, the transfer to, or use by, or Prohibited Transactions Investor Consent, which would be for the benefit of a party in interest of required by this exemption, enables 14. Absent an administrative any assets of a plan. Because an Investor Mitsubishi Bank, as sole Lender or exemption, these transactions may will make cash contributions to the Agent, to make a Capital Call violate ERISA section 406(a)(l)(A) Collateral Account for the benefit of the immediately on the Investors for through (D), and the corresponding Lender, which includes Mitsubishi repayment, without the need to first provisions of the Code. The Applicant Bank, as sole Lender or Agent, cash foreclose on the collateral. represents that since the Lenders, contribution from Plan assets would be 22. When the Fund Agreements do including Mitsubishi Bank, will be considered a transfer of Plan assets to a not contain the agreement of the generally large, national, and party in interest, in violation of ERISA Investors to make capital commitments international financial institutions, it is section 406(a)(1)(D). without setoff, reduction, counterclaim, likely that, in any given Credit Facility, or defense of any kind or nature, the Benefits of the Credit Facility and one or more Lenders will have a Investor Consent will contain this Investor Consent relationship with a Covered Plan, agreement, thereby permitting Lenders making it a party in interest with respect 19. According to the Applicant, to be repaid for amounts that have been to the Covered Plan. However, as a absent the requested exemption, the extended to the Fund prior to the time condition of this exemption, no Lender, inability to use the financing structure Capital Contributions are called, including Mitsubishi Bank, will be a described above will result in economic without the risk of repayment being fiduciary for any of the Covered Plans loss to Investors that are Covered Plans, challenged, or delayed, by claims the in connection with their investment in and their participants and beneficiaries, Investors may have against the Fund. the Fund. due to more onerous, and expensive, This arrangement will keep the risk of 15. ERISA section 406(a)(l)(A) financing terms and conditions that the Fund’s investment transactions prohibits a sale, exchange, or lease, of would be required for Plans to invest in between the Fund and the Investors. any property between a plan and a party these types of investment ventures. In in interest. Pursuant to the Investor this regard, the types of Funds involved Conditions for Exemptive Relief Consent, a Covered Plan will make cash in the Covered Transactions are an 23. The proposed exemption will be contributions to the Collateral Account important element of a Covered Plan’s subject to a number of substantive for the benefit of a Lender. Because the diversified investment portfolio. Real conditions. The decision to invest in the cash contribution may come from the estate investments can be valuable Fund on behalf of each Covered Plan Covered Plan’s assets, the execution of components of plan portfolios. and to execute an Investor Consent in the Investor Consent agreement involves However, investments in a large, favor of Mitsubishi Bank, as sole Lender an exchange of property between the diversified limited partnership or or Agent, will be made by fiduciaries of Covered Plan and the Lender, which similar entity may have advantages over the Covered Plan that are not included includes Mitsubishi Bank, as sole direct ownership of real estate among, are independent of, and are Lender or Agent, in violation of section properties, and other securities, unaffiliated with, the Lenders 406(a)(1)(A) of ERISA. including limited liability with respect (including Mitsubishi Bank) and the 16. In addition, ERISA section to such property, if risks are minimized. Fund. Further, in each Credit Facility 406(a)(1)(B) prohibits the lending of Most diversified real estate and other covered under this proposed exemption, money, or other extension of credit, investment programs are carried out no Lender, including Mitsubishi Bank, between a plan and a party in interest. through partnerships or limited liability will be a fiduciary for any of the The Credit Facility’s direct extension of companies that are substantially-similar Covered Plans in connection with their credit to the Fund, resulting in an to the Funds. investment in the Fund. Relief in this indirect extension of credit to Covered 20. According to the Applicant, a proposed exemption does not extend to Plans investing in that Fund, pursuant Credit Facility will allow a Fund to Funds that contain ‘‘plan assets’’ for to the Investor Consent, violates section manage its Capital Calls on a scheduled purposes of ERISA or Code section ERISA 406(a)(1)(B). basis and to move quickly to fund 4975.6 17. Further, ERISA section desired investments likely resulting in a 406(a)(1)(C) prohibits the furnishing of more favorable investment portfolio for 6 The Plan Assets Regulation describes what goods, services, or facilities between a the Fund and its Investors, and a constitutes assets of a plan with respect to a plan’s investment in another entity for purposes of subtitle plan and a party in interest. By servicing potentially higher return, without A, and Parts 1 and 4 of subtitle 1 of ERISA, and the loans under the Credit Facility, appreciably higher risk. In addition, the Code section 4975. Should the Department approve Mitsubishi Bank provides indirect ability of the Investors to delay payment this proposed exemption, such approval would not services to the Covered Plan Investor. on capital commitments allows such constitute an opinion regarding whether the underlying assets of any Fund would be considered Furthermore, from time to time, there amounts to remain in other investments the assets of a plan under such regulations. Further, may be interactions between Mitsubishi of the Investor and allows the Investor this exemption, if granted, does not provide relief Bank Lenders and the Covered Plan to achieve greater overall investment for either the internal transactions involving the Investors which involve Mitsubishi’s returns. operation of the Fund, or for transactions involving the Fund and third parties other than the specific provision of services. For example, 21. Mitsubishi Bank, as sole Lender or relief proposed herein. Covered Plan Investors, and Covered Plan Investors may inquire Agent, may receive a pledge of the their independent fiduciaries, should examine about the status and/or request Investors’ capital commitments, and Continued
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24. Each transaction must be on terms tentatively determined that the including any prohibited transaction that are no less favorable to the Covered proposed exemption is protective of the provisions to which the exemption does Plans than those which the Covered rights of the Plan participants and not apply and the general fiduciary Plans could obtain in arm’s-length beneficiaries because, among other responsibility provisions of section 404 transactions with unrelated parties. At things, a fiduciary independent of of the Act, which, among other things, the time of the execution of an Investor Mitsubishi Bank and any other Lender require a fiduciary to discharge his Consent, the Covered Plan must have will make the decision to invest in the duties respecting the plan solely in the assets of not less than $100 million. Not Fund and determine whether to accept interest of the participants and more than 5% of the assets of any the credit facility arrangement and beneficiaries of the plan and in a Covered Plan, measured at the time of terms. prudent fashion in accordance with the execution of an Investor Consent, Summary section 404(a)(1)(b) of the Act; nor does may be invested in the Fund. it affect the requirement of section 25. The proposed exemption requires 30. Based on the record developed in 401(a) of the Code that the plan must that the applicable fiduciaries for connection with this proposed operate for the exclusive benefit of the Covered Plans that are Investors provide exemption, the Department has employees of the employer maintaining a representation to Mitsubishi Bank, tentatively determined that the relief the plan and their beneficiaries; including a statement, that such sought by the Applicant satisfies the (2) Before an exemption may be fiduciary is responsible for making the statutory requirements for an exemption granted under section 408(a) of the Act Covered Plan’s decision to invest in the under ERISA section 408(a). and/or section 4975(c)(2) of the Code, Fund, and is and will be independent Notice to Interested Persons the Department must find that the of, and unaffiliated with, the Lenders. exemption is administratively feasible, 26. In addition, no Lender may have Notice of the proposed exemption in the interests of the plan and of its any influence, authority, or control over will be given to all interested persons participants and beneficiaries, and a Client Plan’s investment in the Fund. within 15 days of the publication of the protective of the rights of participants No Covered Transaction may be part of notice of proposed exemption in the and beneficiaries of the plan; an arrangement, agreement or Federal Register, by electronic mail (if (3) The proposed exemption, if understanding, designed to benefit a electronic mail is the usual and granted, will be supplemental to, and party in interest or disqualified person customary method by which Mitsubishi not in derogation of, any other with respect to a Covered Plan. Finally, Bank corresponds with the interested provisions of the Act and/or the Code, any service covered by the exemption person) and/or first class U.S. mail to including statutory or administrative must be necessary for the establishment the last known address of these exemptions and transitional rules. or operation of the plan, and no more individuals. The notice will contain a Furthermore, the fact that a transaction than reasonable compensation may be copy of the notice of proposed is subject to an administrative or paid therefor. Finally, all the facts and exemption, as published in the Federal statutory exemption is not dispositive of representations set forth in the Register, and a supplemental statement, whether the transaction is in fact a Summary of Facts and Representations as required pursuant to 29 CFR prohibited transaction; and must be true and accurate. 2570.43(a)(2). The supplemental (4) The proposed exemption, if statement will inform interested persons Statutory Findings granted, will be subject to the express of their right to comment on the condition that the material facts and 27. ‘‘The Proposed Exemption is pending exemption. Written comments representations contained in each Administratively Feasible.’’ The are due within 45 days of the application are true and complete, and Department has tentatively determined publication of the notice of proposed that each application accurately that the requested exemption is exemption in the Federal Register. describes all material terms of the administratively feasible because it All comments will be made available transaction which is the subject of the would cover a class of transactions to the public. Warning: If you submit a exemption. between Covered Plans and Lenders comment, EBSA recommends that you when each Covered Plan will be include your name and other contact Proposed Exemption independently represented by a information in the body of your Section I. Transactions fiduciary and will have an independent comment, but do not submit investment advisor. information that you consider to be If the proposed exemption is granted, 28. ‘‘The Proposed Exemption is in confidential, or otherwise protected the restrictions of ERISA sections the Interests of.’’ The Department has (such as Social Security number or an 406(a)(1)(A)–(D), and the sanctions tentatively determined that the unlisted phone number) or confidential resulting from the application of Code proposed exemption is in the interest of business information that you do not section 4975, by reason of section Code Covered Plans because, absent the want publicly disclosed. All comments section 4975(c)(l)(A)–(D), shall not exemption, a Fund’s use of Capital Calls may be posted on the internet and can apply to: to make investments may take days, be retrieved by most internet search (a) The granting by the Funds to thereby reducing the Fund’s investing engines. Mitsubishi UFJ Trust and Banking flexibility and increasing costs to the Corporation (Mitsubishi Bank), as an Fund’s Investors, including the Covered General Information agent (Agent) for one or more financial Plans. The attention of interested persons is institutions (Lender(s)), which may 28. ‘‘The Proposed Exemption is directed to the following: include, without limitation, Mitsubishi Protective of.’’ The Department has (1) The fact that a transaction is the Bank) or as sole Lender, that will fund subject of an exemption under section a credit facility (Credit Facility) carefully all aspects of the Fund’s organization, 408(a) of the Act and/or section providing credit to certain investment operation, and investment programs in order to 4975(c)(2) of the Code does not relieve funds (Fund(s)), of a security interest in determine whether the requirements of the and lien on the capital commitments Department’s regulations will be met. See 29 CFR a fiduciary or other party in interest or part 2510.3–101 (51 FR 41280, Nov. 13, 1986), as disqualified person from certain other (Capital Commitments), reserve amended at 51 FR 47226, (Dec. 31, 1986). provisions of the Act and/or the Code, amounts, and capital contributions
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(Capital Contributions) of certain purpose entities holding ‘‘plan assets’’ board of directors of a corporation. For investors (Investors) that are employee subject to ERISA, as described herein, purposes of this exemption request, a benefit plans (Covered Plan(s), as by making capital contributions in cash fiduciary of a Covered Plan is not defined in Section II(a)), investing in the to such Fund, pursuant to specific included among, is independent of, and Fund; Capital Commitments as established by unaffiliated with, a Lender (including (b) Any Fund’s collateral assignment the Fund Agreement(s) and other Mitsubishi Bank) or a Fund, as and pledge to Mitsubishi Bank, as sole operative documents executed by the applicable, if: Lender or Agent, of the Fund’s security parties, for purposes of making certain (i) The fiduciary is not, directly or interest in an Investor Covered Plan’s real estate investments (including real indirectly, through one or more equity interest in such Fund; estate-related investments, such as intermediaries, controlling, controlled (c) The Fund’s grant to Mitsubishi venture capital investments) or non-real by, or under common control with such Bank, as sole Lender or Agent, of a estate investments (including, without Lender or Fund; security interest in a collateral account limitation, assets and/or interests (ii) The fiduciary is not an officer, (Collateral Account) to which all Capital relating to infrastructure, maritime, director, employee or relative of, or Contributions in the Fund will be energy, etc.). partner in, such Lender or Fund; and deposited when paid (except in certain Each Covered Plan investing in such (iii) No officer, director, highly- limited circumstances that do not special purpose entity must satisfy the compensated employee (within the involve Covered Plans); 7 conditions set forth herein in Section II. meaning of Code Section 4975(e)(2)(H)), (d) The granting by the Fund and/or The term ‘‘Fund’’ includes an entity or partner of the Fund, or any officer, its general partner (General Partner) or created by the Fund that may borrow, or director or highly-compensated manager (Manager) to Mitsubishi Bank, receive, funds from the Credit Facility, employee, or partner of the Lender who as sole Lender or Agent, of its right to provided that such entity is considered is involved in the transactions described make calls on Covered Plan Investors for an affiliate of the Fund as a subsidiary in Section I of the exemption request, is Capital Contributions (the Capital Call), or other controlled entity; also an officer, director, highly- which shall be in cash, under the (d) The terms ‘‘Fund Agreement’’ or compensated employee, or partner of operative Fund Agreements (as defined ‘‘Fund Agreements’’ mean the written the fiduciary. However, if such in Section II(d)), enforce the Capital agreements under which a Fund (as individual is a director of the Lender, Calls, collect the Capital Contributions, defined above) is formed (such as a and if he or she abstains from and apply them to any amount due limited partnership agreement, a limited participation in, and is not otherwise under the Credit Facility; and liability company agreement, trust involved with, the decision made by the (e) A Covered Plan’s execution of an agreement, or articles of incorporation, Covered Plan to invest in the Fund, then agreement (the Investor Consent) together with ancillary related this condition shall be deemed satisfied. agreements, such as subscription consenting to the assignment by the Section III. Conditions Fund and General Partner (or Manager) agreements) that obligate each Investor to Mitsubishi Bank, as sole Lender or to make cash contributions of capital (a) The decision to invest in the Fund Agent, of their right to make Capital with respect to Capital Commitments, on behalf of each Covered Plan and to Calls. upon receipt of a call for Capital execute an Investor Consent in favor of Contributions; Mitsubishi Bank, as sole Lender or Section II. Definitions (e) The term ‘‘officer’’ means a Agent, is made by fiduciaries of the (a) The terms ‘‘Covered Plan’’ or president, any vice president in charge Covered Plan that are not included ‘‘Covered Plans’’ means an investor in a of a principal business unit, division or among and are independent of and Fund (as defined below) that is an function (such as sales, administration unaffiliated with, the Lenders employee benefit plan, as defined in or finance), or any other officer who (including Mitsubishi Bank) and the ERISA section 3(3) and that is covered performs a policy-making function for Fund; by Title I, Part 4 of ERISA, and/or a plan the entity; (b) The transaction is on terms that defined in Code section 4975, that (f) The term ‘‘Mitsubishi Bank’’ means are no less favorable to the Covered satisfies the conditions set forth herein Mitsubishi UJF Trust and Banking Plans than those which the Covered in Section II; Corporation, which is a foreign banking Plans could obtain in arm’s-length (b) The terms ‘‘Covered Transaction’’ corporation organized under the laws of transactions with unrelated parties; or ‘‘Covered Transactions’’ mean any Japan, and its indirectly wholly-owned (c) At the time of the execution of an combination of transactions described subsidiary named MUFG Alternative Investor Consent, the Covered Plan has in Section I(a) through (d), in Fund Services (Cayman) Limited, an assets of not less than $100 million. In conjunction with the Investor Consent ordinary resident company incorporated the case of multiple plans maintained described in Section I(e); and existing under the laws of the by the same employer, or by members (c) The terms ‘‘Fund’’ or ‘‘Funds’’ Cayman Islands. This exemption is of a controlled group of corporations means an investment or venture capital intended to cover Mitsubishi Bank, and (within the meaning of Code Section fund (organized as a corporation, all of its current and future branches; 414(b)), or members of a group of trades limited partnership, limited liability (g) For purposes of determining or businesses under common control company, or another business entity whether a fiduciary is not included (within the meaning of Code Section authorized by applicable law) in which among, is independent of, and 414(c)) (hereafter, referred to as one or more investors invest, including unaffiliated with, a Fund, the term Fund ‘‘members of a controlled group’’), employee benefit plans or special shall be deemed, as appropriate, to whose assets are invested on a include the governing entity of the commingled basis (e.g., through a 7 In most cases, all Investors will make Capital Fund, or a member of the governing master trust), this $100 million Contributions into the Collateral Account. However, body of the Fund, as appropriate, e.g., threshold applies to the aggregate assets in some cases, Investors that are not Covered Plans a general partner of a partnership, a of the commingled entity; may be directed to make Capital Contributions to (d) Not more than 5% of the assets of the sole Lender or the Agent, for the benefit of the manager of a limited liability company, Lenders, after an event of default, in some other a member of a member-managed limited any Covered Plan, measured at the time manner. liability company, or a member of the of the execution of an Investor Consent,
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is invested in the Fund. In the case of DEPARTMENT OF LABOR Accordingly, affected parties should be multiple plans maintained by the same aware that the conditions incorporated employer, or by members of a controlled Employee Benefits Security in this exemption are, taken as a whole, group, whose assets are invested on a Administration necessary for the Department to grant commingled basis (e.g., through a the relief requested by the Applicants. [Prohibited Transaction Exemption 2021– master trust), the 5% limit applies to the 03; Exemption Application Nos. L–12000 & Absent these or similar conditions, the aggregate assets of the commingled L–12001] Department would not have granted this entity; exemption. (e) Neither Mitsubishi Bank, nor any Exemption From Certain Prohibited The Applicants requested an Lender, has discretionary authority or Transaction Restrictions Involving the individual exemption pursuant to control with respect to a Covered Plan’s Electrical Insurance Trustees ERISA section 408(a) in accordance investment in the Fund nor renders Insurance Fund and the Electrical Joint with the procedures set forth in 29 CFR investment advice (within the meaning Apprenticeship and Training Trust (the part 2570, subpart B (76 FR 66637, of 29 CFR 2510.3–21(c)) with respect to Plans or the Applicants) Located in 66644, October 27, 2011). Effective such investment; Alsip, Illinois December 31, 1978, section 102 of the (f) Upon request, the Covered Plan Reorganization Plan No. 4 of 1978, 5 fiduciaries must receive from Mitsubishi AGENCY: Employee Benefits Security U.S.C. App. 1 (1996), transferred the Bank, a copy of this notice of proposed Administration, Labor. authority of the Secretary of the exemption and a copy of the final ACTION: Notice of Exemption. Treasury to issue administrative exemption, as published in the Federal exemptions under section 4975(c)(2) of Register; SUMMARY: This document contains a the Code to the Secretary of Labor. (g) Mitsubishi Bank receives from the notice of an exemption issued by the Accordingly, the Department grants this Covered Plan fiduciaries a written Department of Labor (the Department) exemption under its sole authority. representation, or a written from certain of the prohibited authorization, that permits Mitsubishi transaction restrictions of the Employee Written Comments Bank to rely on a written representation Retirement Income Security Act of 1974 In the proposed exemption, the made to the Fund, that the conditions (ERISA or the Act). The exemption Department invited all interested set forth above in Section III(a), (c), and permits: (a) The sale (the Sale) by the persons to submit written comments (d) are satisfied for such transaction Electrical Joint Apprenticeship and and/or requests for a public hearing with respect to the Covered Plan for Training Trust (the EJAT Trust) of 5.11 with respect to the notice of proposed which they are fiduciaries; acres of unimproved real property (the exemption. All comments and requests (h) No Covered Transaction is part of Property) to the Electrical Insurance for a hearing were due to the an arrangement, agreement or Trustees Insurance Fund (the EIT Fund), Department by May 6, 2021. The understanding, designed to benefit a a party in interest with respect to the Department received one written party in interest or disqualified person EJAT Trust; and (b) the EIT Fund’s comment and one request for a public with respect to a Covered Plan. granting of a right of first offer (the Right hearing. The commenter raised no (i) The Funds will not hold ‘‘plan of First Offer) to the EJAT Trust to substantive issues regarding the assets’’ for purposes of ERISA or Code purchase the Property back from the EIT proposed transactions, and the hearing section 4975; 8 Fund, provided all of the conditions requestor provided no reasons for (j) Any service covered by the described below are satisfied. requesting the hearing.1 Accordingly, exemption must be necessary for the DATES: This exemption will be in effect after considering the entire record establishment or operation of the plan, on the date that this grant notice is developed in connection with the and no more than reasonable published in the Federal Register. Applicants’ exemption requests, the compensation may be paid; FOR FURTHER INFORMATION CONTACT: Mr. Department has determined to grant the (k) No Lender will have any Joseph Brennan of the Department at exemption described below. The influence, authority, or control over a (202) 693–8456. (This is not a toll-free exemption contains minor clarifications Client Plan’s investment in the Fund; number.) to the proposal. and The complete application files SUPPLEMENTARY INFORMATION: On March (l) All the facts and representations (L–12000 & L–12001) are available for set forth in the Summary of Facts and 22, 2021, the Department published a notice of proposed exemption in the public inspection in the Public Representations are true and accurate. Disclosure Room of the Employee Effective Date: The proposed Federal Register at 86 FR 15258, permitting: (a) The Sale by the EJAT Benefits Security Administration, Room exemption, if granted, will be effective N–1515, U.S. Department of Labor, 200 as of the date that the notice of final Trust of the Property to the EIT Fund, a party in interest with respect to the Constitution Avenue NW, Washington, exemption is published in the Federal DC 20210. For a more complete Register. EJAT Trust; and (b) the EIT Fund’s granting of the Right of First Offer to the statement of the facts and Signed at Washington, DC, this 22nd day representations supporting the of June, 2021. EJAT Trust to purchase the Property back from the EIT Fund. Department’s decision to grant this Christopher Motta, This exemption provides only the exemption, refer to the notice of Chief, Division of Individual Exemptions, relief specified in the text of the proposed exemption published on Office of Exemption Determinations, March 22, 2021, at 86 FR 15258. Employee Benefits Security Administration, exemption. It provides no relief from U.S. Department of Labor. violations of any law other than the General Information prohibited transaction provisions of [FR Doc. 2021–13676 Filed 6–25–21; 8:45 am] The attention of interested persons is ERISA. BILLING CODE 4510–29–P directed to the following: The Department makes the requisite 8 See the Department’s Plan Assets Regulation. 29 findings under ERISA section 408(a) 1 The Department made several attempts to CFR part 2510.3–101 (51 FR 41280, Nov. 13, 1986), based on adherence to all of the contact the requestor for further information. as amended at 51 FR 47226, (Dec. 31, 1986). conditions of the exemption. However, no response was received.
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(1) The fact that a transaction is the (b) The terms and conditions of the (5) Ensures that the EIT Fund’s subject of an exemption under ERISA Sale are at least as favorable to the EJAT Independent Appraiser renders an section 408(a) does not relieve a Trust and the EIT Fund as an arm’s- updated fair market valuation of the fiduciary or other party in interest from length transaction between unrelated Property, which is current as of the date certain requirements of other ERISA and independent parties each of whom of the Sale; provisions, including any prohibited have full knowledge of the relevant facts (6) Reviews the EIT Fund transaction provisions to which the and are not under any compulsion to Independent Appraisal Report and the exemption does not apply and the buy or sell; updated appraisal described in (d)(5), general fiduciary responsibility (c) The EJAT Trust Independent confirms that the underlying provisions of ERISA section 404, which, Fiduciary has not and will not enter into methodologies are reasonable and among other things, require a fiduciary any agreement or instrument that accurate, and prudently concludes that to discharge his or her duties respecting violates section 410 of ERISA, and the appraisals can reasonably be relied the plan solely in the interest of the prudently: upon; and plan’s participants and beneficiaries and (1) Represents the EJAT Trust’s (7) Determines whether it is in a prudent fashion in accordance with interests for all purposes with respect to appropriate for the EIT Fund to proceed ERISA section 404(a)(1)(B). the Sale; with the Sale consistent with each (2) As required by ERISA section (2) Determines that the Sale is in the condition of this exemption; 408(a), the Department hereby finds that interest and protective of the EJAT Trust (e) The Sale is not part of an the exemption is (1) administratively and the EJAT Trust participants based agreement, arrangement, or feasible, (2) in the interests of affected on, among other things, an updated understanding designed to benefit any plans and of their participants and appraisal report described in (c)(5) party other than the EJAT Trust and the beneficiaries, and (3) protective of the below; EIT Fund; (f) Any use of the Property by the EIT rights of participants and beneficiaries (3) Reviews and approves the terms Fund and the Related Plans that is of such plans; and conditions of the Sale; described in PTEs 76–1 and 77–10 (3) The exemption is supplemental to, (4) Engages the EJAT Trust complies with the conditions of those and not in derogation of, any other Independent Appraiser, ensures the Appraiser’s independence, and ensures exemptions; ERISA provisions, including statutory or (g) No later than 90 days after the Sale administrative exemptions and that the Appraiser bases its opinions upon complete, current, and accurate is completed, the EJAT Trust and the transitional rules. Furthermore, the fact EIT Fund Independent Fiduciaries each that a transaction is subject to an information; (5) Ensures that the EJAT Trust’s will submit a written statement to the administrative or statutory exemption is Independent Appraiser renders an Department documenting that the Sale not dispositive of determining whether updated fair market valuation of the has met all of the exemption the transaction is in fact a prohibited Property, which is current as of the date requirements; transaction; and of the Sale; (h) The EIT Fund Independent (4) The availability of this exemption (6) Reviews the EJAT Independent Fiduciary may not enter, and has not is subject to the express condition that Appraisal Report and the updated entered, into any agreement, the material facts and representations appraisal described in (c)(5), confirms arrangement or understanding regarding contained in the application accurately that the underlying methodologies are the Sale that indemnifies the EIT Fund describe all material terms of the reasonable and accurate, and prudently Independent Fiduciary, in whole or in transaction that are the subject of the concludes that the appraisals can part, or waives any liability for exemption. reasonably be relied upon; and negligence or for violation of state or Accordingly, the following exemption (7) Determines whether it is federal law by the EIT Fund is granted under the authority of ERISA appropriate for the EJAT Trust to Independent Fiduciary; section 408(a)and in accordance with proceed with the Sale and whether the (i) The Independent Appraiser the procedures set forth in 29 CFR part Sale is consistent with each condition of selected by the EIT Fund Independent 2570, subpart B (76 FR 66637, 66644, this exemption; Fiduciary may not enter, and has not October 27, 2011): (d) The EIT Fund Independent entered, into any agreement, Exemption Fiduciary has not and will not enter into arrangement or understanding regarding any agreement or instrument that the Sale that indemnifies the EIT Fund Section I. Covered Transactions violates section 410 of ERISA, and Independent Appraiser, in whole or in The restrictions of ERISA sections prudently: part, or waives any liability for 406(a)(1)(A), 406(a)(1)(D), 406(b)(1), and (1) Represents the EIT Fund’s negligence or for any violation of state 406(b)(2) shall not apply to: (a) EJAT interests for all purposes with respect to or federal law by the Independent Trust’s sale of the Property to the EIT the Sale; Appraiser; Fund, which is a party in interest with (2) Determines that the Sale is in the (j) The EJAT Trust Independent respect to the EJAT Trust; 2 and (b) the interest and protective of the EIT Fund Fiduciary may not enter, and has not EIT Fund’s grant of the Right of First and the EIT Fund participants based on, entered, into any agreement, Offer to the EJAT Trust to purchase the among other things, an updated arrangement or understanding regarding Property back from the EIT Fund, appraisal report described in (d)(5) the Sale that indemnifies the EJAT Trust provided conditions set forth in (a) below; Independent Fiduciary, in whole or in through (l) below are satisfied: (3) Reviews and approves the terms part, or waives any liability for and conditions of the Sale; (a) The Sale is a one-time transaction negligence or for any violation of state (4) Engages the EIT Fund Independent for cash; or federal law by the EJAT Trust Appraiser for the Sale, ensures the Independent Fiduciary; Appraiser’s Independence, and ensures (k) The Independent Appraiser 2 The EIT Fund is a party in interest with respect that the Appraiser bases its opinions selected by the EJAT Trust Independent to the EJAT Trust under section 3(14)(C) of the Act because it is an employer whose employees upon complete, current, and accurate Fiduciary may not enter, and has not participate in the EJAT Fund. information; entered, into any agreement,
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arrangement or understanding regarding NATIONAL AERONAUTICS AND Name and Committee Code: Virtual the Sale that indemnifies the SPACE ADMINISTRATION Site Review of construction progress of Independent Appraiser, in whole or in the ATLAS High Luminosity Detector [Document Number NASA–21–038; Docket part, for negligence or for any violation Number–NASA–2021–0002] Upgrade (1208). of state or federal law by the Date and Time: August 18, 2021; Independent Appraiser; and Request for Information on Advancing 10:30 a.m.—6:30 p.m. EDT. (l) The EJAT Trust may not re- Racial Equity and Support for Place: Columbia University, 538 West Underserved Communities in NASA 120th Street, 704 Pupin Hall, MC 5255, purchase the Property from the EIT | Fund absent an individual exemption Programs, Contracts and Grants; New York, NY 10027 Virtual Site Visit granted by the Department. Correction Process via Zoom. Type of Meeting: Part-Open. Effective Date: This exemption will AGENCY: National Aeronautics and Contact Person: Mark Coles, Program become effective on the date that this Space Administration. Director, Division of Physics, National grant notice is published in the Federal ACTION: Request for information; Science Foundation, 2415 Eisenhower Register. correction. Avenue, Room 9219, Alexandria, VA 22314; Telephone: (703) 292–4432. Signed at Washington, DC, this 22nd day SUMMARY: The National Aeronautics and of June, 2021. Space Administration (NASA) Purpose of Meeting: Virtual site visit Christopher Motta, published a document in the Federal to provide an evaluation of the progress Chief, Division of Individual Exemptions, Register of June 15, 2021, concerning a of the project at the host site for the Office of Exemption Determinations, request for information on the Agency’s Division of Physics at the National Employee Benefits Security Administration, mission directorates’ programs, Science Foundation. U.S. Department of Labor. procurements, grants, regulations and Agenda [FR Doc. 2021–13680 Filed 6–25–21; 8:45 am] policies. The document contained NSF will provide the Zoom BILLING CODE 4510–29–P incorrect dates. coordinates for each meeting (All times FOR FURTHER INFORMATION CONTACT: are Eastern Daylight Time (EDT)). Issues regarding submission or questions on this RFI can be sent to August 18, 2021 MORRIS K. AND STEWART L. UDALL Dorice Kenely, Procurement Analyst, 10:30 a.m.–11:00 a.m. Executive FOUNDATION Office of Procurement at (202) 358–0443 Session (Closed) or [email protected]. Sunshine Act Meetings 11:00 a.m.–5:00 p.m. Presentations on SUPPLEMENTARY INFORMATION: In the the ATLAS upgrade (Open) Federal Register of June 15, 2021, in FR 5:00 p.m.–6:00 p.m. Executive (closed) TIME AND DATE: Electronic Board Meeting Doc. 2021–12668, on page 31735, in the Session (Closed) to be held via email exchanges first column, correct the DATES caption 6:00 p.m.–6:30 p.m. Closeout Thursday, July 8, 2021, 8:00 a.m. (PDT), to read: presentation by Review Panel through Wednesday, July 21, 2021. DATES: Comments are requested on or (Open) PLACE: Board of Trustees Meeting held before August 31, 2021. Early comments Reason for Closing: The work being via email. and responses to questions in the RFI reviewed during closed portions of the are encouraged. Comments and virtual site visit include information of STATUS: This special meeting of the responses received after this date will be Board of Trustees, to be held a proprietary or confidential nature, considered for future advisory, including technical information; Electronically (in accordance with the communicative and outreach efforts to Operating Procedures of the Board of financial data, such as salaries and the extent practicable. A public meeting personal information concerning Trustees of the Morris K. Udall and discussing the questions detailed in the Stewart L. Udall Foundation), is open to individuals associated with the project. RFI will be held on July 13, 2021, from These matters are exempt under 5 the public. Members of the public who 1:00 p.m. to 3:30 p.m. would like to participate in this U.S.C. 552b(c), (4) and (6) of the On page 31738, in the third column, Government in the Sunshine Act. electronic meeting should email correct the second sentence of the last Elizabeth E. Monroe, Executive paragraph to read: Dated: June 23, 2021. Assistant, Morris K. Udall and Stewart To that end, NASA will hold a public Crystal Robinson, L. Udall Foundation, at monroe@ meeting on July 13, 2021, from 1:00 p.m. Committee Management Officer. udall.gov, no later than Thursday, July to 3:30 p.m. [FR Doc. 2021–13674 Filed 6–25–21; 8:45 am] 8, 2021, 8:00 a.m. (PDT). Nanette Smith, BILLING CODE 7555–01–P MATTERS TO BE CONSIDERED: Draft Udall Team Lead, NASA Directives and Foundation 2022–2026 Strategic Plan. Regulations. [FR Doc. 2021–13725 Filed 6–25–21; 8:45 am] NUCLEAR REGULATORY CONTACT PERSON FOR MORE INFORMATION: COMMISSION David P. Brown, Executive Director, 130 BILLING CODE 7510–13–P South Scott Avenue, Tucson, AZ 85701, [NRC–2021–0001] (520) 901–8500. NATIONAL SCIENCE FOUNDATION Sunshine Act Meetings Dated: June 24, 2021. David P. Brown, Proposal Review Panel for Physics; TIME AND DATE: Weeks of June 28, July Executive Director, Morris K. Udall and Notice of Meeting 5, 12, 19, 26, August 2, 2021. Stewart L. Udall Foundation, and Federal PLACE: Commissioners’ Conference Register Liaison Officer. In accordance with the Federal Advisory Room, 11555 Rockville Pike, Rockville, Committee Act (Pub. L. 92–463, as amended), [FR Doc. 2021–13871 Filed 6–24–21; 4:15 pm] the National Science Foundation (NSF) Maryland. BILLING CODE 6820–FN–P announces the following meeting: STATUS: Public.
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MATTERS TO BE CONSIDERED: NUCLEAR REGULATORY may submit your request to the PDR via email at [email protected] or call 1– Week of June 28, 2021 COMMISSION 800–397–4209 or 301–415–4737, [NRC–2020–0076] There are no meetings scheduled for between 8:00 a.m. and 4:00 p.m. (ET), the week of June 28, 2021. Volcanic Hazards Assessment for Monday through Friday, except Federal Week of July 5, 2021—Tentative Proposed Nuclear Power Reactor Sites holidays. RG 4.26 and the regulatory analysis There are no meetings scheduled for AGENCY: Nuclear Regulatory may be found in ADAMS under the week of July 5, 2021. Commission. Accession Nos. ML20272A168 and Week of July 12, 2021—Tentative ACTION: Regulatory guide; issuance. ML20007D618, respectively. There are no meetings scheduled for Regulatory guides are not SUMMARY: The U.S. Nuclear Regulatory the week of July 12, 2021. copyrighted, and NRC approval is not Commission (NRC) is issuing a new required to reproduce them. Week of July 19, 2021—Tentative Regulatory Guide (RG) 4.26, ‘‘Volcanic FOR FURTHER INFORMATION CONTACT: There are no meetings scheduled for Hazards Assessment for Proposed Jenise Thompson, Office of Nuclear the week of July 19, 2021. Nuclear Power Reactor Sites.’’ This RG Reactor Regulation, telephone: 301– provides guidance for facilitating the Week of July 26, 2021—Tentative 415–1811, email: Jenise.Thompson@ NRC staff’s review of volcanic hazards nrc.gov and Edward O’Donnell, Office of There are no meetings scheduled for assessments performed by applicants to Nuclear Regulatory Research, telephone: the week of July 26, 2021. support the siting of new nuclear power 301–415–3317, email: reactors. The RG also provides Week of August 2, 2021—Tentative [email protected]. Both are applicants with the methods and staff of the U.S. Nuclear Regulatory There are no meetings scheduled for approaches the NRC staff considers Commission, Washington DC 20555– the week of August 2, 2021. acceptable for the assessment of 0001. CONTACT PERSON FOR MORE INFORMATION: volcanic hazards in license applications For more information or to verify the for sites with Quaternary volcanoes SUPPLEMENTARY INFORMATION: status of meetings, contact Wesley Held within the site region or with I. Discussion at 301–287–3591 or via email at Quaternary volcanic deposits within the [email protected]. The schedule for site vicinity. The NRC is issuing a new guide in the NRC’s ‘‘Regulatory Guide’’ series. This Commission meetings is subject to DATES: RG 4.26 is available on June 28, series was developed to describe and change on short notice. 2021. The NRC Commission Meeting make available to the public information ADDRESSES: Please refer to Docket ID Schedule can be found on the internet regarding methods that are acceptable to NRC–2020–0076 when contacting the at: https://www.nrc.gov/public-involve/ the NRC staff for implementing specific NRC about the availability of public-meetings/schedule.html. parts of the agency’s regulations, The NRC provides reasonable information regarding this document. techniques that the NRC staff uses in accommodation to individuals with You may obtain publicly available evaluating specific issues or postulated disabilities where appropriate. If you information related to this document events, and data that the NRC staff using any of the following methods: needs in its review of applications for need a reasonable accommodation to • participate in these public meetings or Federal Rulemaking Website: Go to permits and licenses. need this meeting notice or the https://www.regulations.gov and search RG 4.26 was issued with a temporary transcript or other information from the for Docket ID NRC–2020–0076. Address identification of Draft Regulatory Guide, public meetings in another format (e.g., questions about Docket IDs in DG–4028. Regulations.gov to Stacy Schumann; braille, large print), please notify Anne II. Additional Information Silk, NRC Disability Program Specialist, telephone: 301–415–0624; email: at 301–287–0745, by videophone at [email protected]. For technical The NRC published a notice of the 240–428–3217, or by email at questions, contact the individuals listed availability of DG–4028 in the Federal FOR FURTHER INFORMATION [email protected]. Determinations on in the Register on March 20, 2020 (85 FR requests for reasonable accommodation CONTACT section of this document. 16147) for a 60-day public comment • NRC’s Agencywide Documents will be made on a case-by-case basis. period. The public comment period Members of the public may request to Access and Management System closed on May 19, 2020. Public receive this information electronically. (ADAMS): You may obtain publicly comments on DG–4028 and the staff If you would like to be added to the available documents online in the responses to the public comments are distribution, please contact the Nuclear ADAMS Public Documents collection at available in ADAMS under Accession Regulatory Commission, Office of the https://www.nrc.gov/reading-rm/ No. ML20272A169. adams.html. To begin the search, select Secretary, Washington, DC 20555, at III. Congressional Review Act 301–415–1969, or by email at ‘‘Begin Web-based ADAMS Search.’’ For [email protected] or Tyesha.Bush@ problems with ADAMS, please contact This RG is a rule as defined in the nrc.gov. the NRC’s Public Document Room (PDR) Congressional Review Act (5 U.S.C. The NRC is holding the meetings reference staff at 1–800–397–4209, 301– 801–808). However, the Office of under the authority of the Government 415–4737, or by email to pdr.resource@ Management and Budget has not found in the Sunshine Act, 5 U.S.C. 552b. nrc.gov. The ADAMS accession number it to be a major rule as defined in the for each document referenced (if it is Congressional Review Act. Dated: June 23, 2021. available in ADAMS) is provided the For the Nuclear Regulatory Commission. first time that it is mentioned in this IV. Backfitting and Issue Finality Wesley W. Held, document. Issuance of this RG does not Policy Coordinator, Office of the Secretary. • Attention: The PDR, where you may constitute backfitting as defined in [FR Doc. 2021–13775 Filed 6–24–21; 4:15 pm] examine and order copies of public section 50.109 of title 10 of the Code of BILLING CODE 7590–01–P documents, is currently closed. You Federal Regulations (10 CFR),
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‘‘Backfitting,’’ and as described in NRC I. Obtaining Information and comment submissions that you do not Management Directive 8.4, Submitting Comments want to be publicly disclosed in your ‘‘Management of Backfitting, Forward comment submission. All comment A. Obtaining Information Fitting, Issue Finality, and Information submissions are posted at https:// Requests’’; constitute forward fitting as Please refer to Docket ID NRC–2020– www.regulations.gov/ and entered into that term is defined and described in 0190 when contacting the NRC about ADAMS. Comment submissions are not MD 8.4; or affect issue finality of any the availability of information for this routinely edited to remove identifying approval issued under 10 CFR part 52, action. You may obtain publicly or contact information. ‘‘Licenses, Certificates, and Approvals available information related to this If you are requesting or aggregating for Nuclear Power Plants.’’ As explained action by any of the following methods; comments from other persons for in this regulatory guide, applicants and however, the NRC encourages electronic submission to the OMB, then you licensees are not required to comply comment submission through the should inform those persons not to with the positions set forth in this Federal Rulemaking website: include identifying or contact regulatory guide. • Federal Rulemaking Website: Go to information that they do not want to be https://www.regulations.gov/ and search Dated: June 23, 2021. publicly disclosed in their comment for Docket ID NRC–2020–0190. A copy For the Nuclear Regulatory Commission. submission. Your request should state of the collection of information and that comment submissions are not Meraj Rahimi, related instructions may be obtained routinely edited to remove such Chief, Regulatory Guidance and Project without charge by accessing Docket ID Management Branch, Division of Engineering, information before making the comment NRC–2020–0190 on this website. submissions available to the public or Office of Nuclear Regulatory Research. • NRC’s Agencywide Documents entering the comment into ADAMS. [FR Doc. 2021–13750 Filed 6–25–21; 8:45 am] Access and Management System BILLING CODE 7590–01–P (ADAMS): You may obtain publicly II. Background available documents online in the Under the provisions of the ADAMS Public Documents collection at Paperwork Reduction Act of 1995 (44 NUCLEAR REGULATORY https://www.nrc.gov/reading-rm/ COMMISSION U.S.C. chapter 35), the NRC recently adams.html. To begin the search, select submitted a request for renewal of an [NRC–2020–0190] ‘‘Begin Web-based ADAMS Search.’’ For existing collection of information to problems with ADAMS, please contact OMB for review entitled, ‘‘US NRC Information Collection: US NRC the NRC’s Public Document Room (PDR) Acquisition Regulation.’’ The NRC Acquisition Regulation reference staff at 1–800–397–4209, 301– hereby informs potential respondents AGENCY: Nuclear Regulatory 415–4737, or by email to pdr.resource@ that an agency may not conduct or Commission. nrc.gov. The supporting statement and sponsor, and that a person is not burden spreadsheet are available in ACTION: Notice of submission to the required to respond to, a collection of ADAMS under Accession Nos. Office of Management and Budget; information unless it displays a ML21168A186 and ML21168A187. request for comment. currently valid OMB control number. • Attention: The PDR, where you may The NRC published a Federal SUMMARY: The U.S. Nuclear Regulatory examine and order copies of public Register notice with a 60-day comment Commission (NRC) has recently documents, is currently closed. You period on this information collection on submitted a request for renewal of an may submit your request to the PDR via March 9, 2021 (86 FR 13589). existing collection of information to the email at [email protected] or call 1– 1. The title of the information Office of Management and Budget 800–397–4209 or 301–415–4737, collection: ‘‘US NRC Acquisition (OMB) for review. The information between 8:00 a.m. and 4:00 p.m. (ET), Regulation.’’ collection is entitled, ‘‘US NRC Monday through Friday, except Federal 2. OMB approval number: 3150–0169. Acquisition Regulation.’’ holidays. 3. Type of submission: Extension. • DATES: Submit comments by July 28, NRC’s Clearance Officer: A copy of 4. The form number, if applicable: 2021. Comments received after this date the collection of information and related Not applicable. will be considered if it is practical to do instructions may be obtained without 5. How often the collection is required so, but the Commission is able to ensure charge by contacting the NRC’s or requested: Monthly, once (at time of consideration only for comments Clearance Officer, David Cullison, award), and on occasion (when changes received on or before this date. Office of the Chief Information Officer, occur). U.S. Nuclear Regulatory Commission, 6. Who will be required or asked to ADDRESSES: Written comments and Washington, DC 20555–0001; telephone: respond: Contractors and bidders. recommendations for the proposed 301–415–2084; email: 7. The estimated number of annual information collection should be sent [email protected]. responses: 6,258 (6,112 reporting within 30 days of publication of this responses + 146 recordkeepers). notice to https://www.reginfo.gov/ B. Submitting Comments 8. The estimated number of annual public/do/PRAMain. Find this Written comments and respondents: 535. particular information collection by recommendations for the proposed 9. The estimated number of hours selecting ‘‘Currently under Review— information collection should be sent needed annually to comply with the Open for Public Comments’’ or by using within 30 days of publication of this information collection requirement or the search function. notice to https://www.reginfo.gov/ request: 17,412 (14,834 reporting + FOR FURTHER INFORMATION CONTACT: public/do/PRAMain. Find this 2,578 recordkeeping). David Cullison, NRC Clearance Officer, particular information collection by 10. Abstract: The mandatory U.S. Nuclear Regulatory Commission, selecting ‘‘Currently under Review— requirements of the Nuclear Regulatory Washington, DC 20555–0001; telephone: Open for Public Comments’’ or by using Commission Acquisition Regulation 301–415–2084; email: the search function. (NRCAR) implement and supplement [email protected]. The NRC cautions you not to include the government-wide Federal SUPPLEMENTARY INFORMATION: identifying or contact information in Acquisition Regulation (FAR) and
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ensure that the regulations governing ADDRESSES: Interested persons are Title: Marital Status Certification the procurement of goods and services invited to submit written comments on Survey. with the NRC satisfy the needs of the the proposed information collection to OMB Number: 3206–0033. agency. This includes reports and the Office of Information and Regulatory Frequency: Annually. recordkeeping requirements for certain Affairs, Office of Management and Affected Public: Individuals or contractors or offerors to submit a Budget, 725 17th Street NW, Households. monthly progress report that Washington, DC 20503, Attention: Desk Number of Respondents: 24,000. summarizes work performed during the Officer for the Office of Personnel Estimated Time per Respondent: 15 previous month, and/or retain records of Management or sent via electronic mail minutes. equipment, payroll, inspection and to: [email protected] or Total Burden Hours: 6,000. quality control records, as applicable. faxed to (202) 395–6974. Office of Personnel Management. Because of differing statutory authorities FOR FURTHER INFORMATION CONTACT: A Alexys Stanley, among Federal agencies, the FAR copy of this ICR with applicable Regulatory Affairs Analyst. permits agencies to issue a regulation to supporting documentation, may be [FR Doc. 2021–13733 Filed 6–25–21; 8:45 am] implement FAR policies and procedures obtained by contacting the Retirement BILLING CODE 6325–38–P internally to satisfy the specific need of Services Publications Team, Office of the agency. The NRCAR includes Personnel Management, 1900 E Street policies, procedures, solicitation NW, Room 3316–L, Washington, DC OFFICE OF PERSONNEL provisions and contract clauses needed 20415, Attention: Cyrus S. Benson, or MANAGEMENT to ensure effective and efficient sent via electronic mail to evaluation, negotiation, and [email protected] or faxed to Submission for Review: Request for administration of agency acquisitions. (202) 606–0910 or via telephone at (202) Change to Unreduced Annuity, RI 20– Certain reports, such as reports of 606–4808. 120 contractor organizational conflicts of SUPPLEMENTARY INFORMATION: As interest or changes in key personnel are required by the Paperwork Reduction AGENCY: Office of Personnel collected from contractors on as needed Act of 1995 OPM is soliciting comments Management. basis as changes occur, whether at the for this collection. The information ACTION: 30-Day notice and request for time of award or throughout the life of collection (OMB No. 3206–0033) was comments. the contract. Some reports are required previously published in the Federal SUMMARY: Retirement Services, Office of to be submitted monthly such as the Register on September 21, 2020 at 85 FR Personnel Management (OPM) offers the Financial Status report and Technical 59334, allowing for a 60-day public general public and other federal Progress Report. There are also some comment period. No comments were agencies the opportunity to comment on reports that bidders are required to received. an expiring information collection submit upon request, such as responses The Office of Management and Budget request (ICR) with minor edits, Request to pre-award questions that demonstrate is particularly interested in comments for Change to Unreduced Annuity, RI their ability to meet minimum standards that: 20–120. set forth in FAR. 1. Evaluate whether the proposed collection of information is necessary DATES: Comments are encouraged and Dated: June 22, 2021. for the proper performance of functions will be accepted until July 28, 2021. For the Nuclear Regulatory Commission. of the agency, including whether the ADDRESSES: Interested persons are David C. Cullison, information will have practical utility; invited to submit written comments on NRC Clearance Officer, Office of the Chief 2. Evaluate the accuracy of the the proposed information collection to Information Officer. agency’s estimate of the burden of the the Office of Information and Regulatory [FR Doc. 2021–13661 Filed 6–25–21; 8:45 am] proposed collection of information, Affairs, Office of Management and BILLING CODE 7590–01–P including the validity of the Budget, 725 17th Street NW, methodology and assumptions used; Washington, DC 20503, Attention: Desk 3. Enhance the quality, utility, and Officer for the Office of Personnel clarity of the information to be Management or sent via electronic mail OFFICE OF PERSONNEL collected; and to [email protected] or MANAGEMENT 4. Minimize the burden of the faxed to (202) 395–6974. collection of information on those who FOR FURTHER INFORMATION CONTACT: Submission for Review: 3206–0033, are to respond, including through the A Marital Status Certification Survey, RI use of appropriate automated, copy of this ICR, with applicable 25–7 electronic, mechanical, or other supporting documentation, may be technological collection techniques or obtained by contacting the Retirement AGENCY: Office of Personnel other forms of information technology, Services Publications Team, Office of Management. e.g., permitting electronic submissions Personnel Management, 1900 E Street ACTION: 30-Day notice and request for of responses. NW, Room 3316–L, Washington, DC comments. RI 25–7 is used to determine whether 20415, Attention: Cyrus S. Benson, or widows, widowers, and former spouses sent via electronic mail to SUMMARY: Retirement Services, Office of receiving survivor annuities from OPM [email protected] or faxed to Personnel Management (OPM) offers the have remarried before reaching age 55 (202) 606–0910 or reached via telephone general public and other federal and, thus, are no longer eligible for at (202) 606–4808. agencies the opportunity to comment on benefits. SUPPLEMENTARY INFORMATION: As an expiring information collection required by the Paperwork Reduction request (ICR) with minor edits, Marital Analysis Act of 1995, (Pub. L. 104–13, 44 U.S.C. Status Certification Survey, RI 25–7. Agency: Retirement Operations, chapter 35) as amended by the Clinger- DATES: Comments are encouraged and Retirement Services, Office of Personnel Cohen Act (Pub. L. 104–106), OPM is will be accepted until July 28, 2021. Management. soliciting comments for this collection.
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The information collection (OMB No. OFFICE OF PERSONNEL proposed collection of information, 3206–0245) was previously published in MANAGEMENT including the validity of the the Federal Register on April 14, 2021, methodology and assumptions used; at 86 FR 19652, allowing for a 60-day Submission for Review: Verification of 3. Enhance the quality, utility, and public comment period. No comments Who is Getting Payments, RI 38–107 clarity of the information to be were received for this collection. The and RI 38–147, 3206–0197 collected; and 4. Minimize the burden of the purpose of this notice is to allow an AGENCY: Office of Personnel additional 30 days for public comments. collection of information on those who Management. are to respond, including through the The Office of Management and Budget ACTION: 30-Day Notice and request for is particularly interested in comments use of appropriate automated, comments. electronic, mechanical, or other that: technological collection techniques or SUMMARY: Retirement Services, Office of 1. Evaluate whether the proposed other forms of information technology, Personnel Management (OPM) offers the collection of information is necessary e.g., permitting electronic submissions general public and other federal for the proper performance of the of responses. agencies the opportunity to comment on functions of the agency, including RI 38–107 is designed for use by the an expiring information collection whether the information will have Retirement Inspection Branch when request (ICR) with minor edits, practical utility; OPM, for any reason, must verify that Verification of Who is Getting Payments the entitled person is indeed receiving 2. Evaluate the accuracy of the RI 38–107 and RI 38–147. the monies payable. RI 38–147 collects agency’s estimate of the burden of the DATES: Comments are encouraged and proposed collection of information, the same information and is used by will be accepted until July 28, 2021. other groups within Retirement including the validity of the ADDRESSES: Interested persons are Operations. Failure to collect this methodology and assumptions used; invited to submit written comments on information would cause OPM to pay 3. Enhance the quality, utility, and the proposed information collection to monies absent the assurance of a correct clarity of the information to be the Office of Information and Regulatory payee. collected; and Affairs, Office of Management and Analysis 4. Minimize the burden of the Budget, 725 17th Street NW, collection of information on those who Washington, DC 20503, Attention: Desk Agency: Retirement Operations, Retirement Services, Office of Personnel are to respond, including through the Officer for the Office of Personnel Management. use of appropriate automated, Management or sent via electronic mail to [email protected] or Title: Verification of Who is Getting electronic, mechanical, or other faxed to (202) 395–6974. Payments. technological collection techniques or OMB Number: 3206–0197. other forms of information technology, FOR FURTHER INFORMATION CONTACT: A copy of this information collection, with Frequency: On occasion. e.g., permitting electronic submissions Affected Public: Individuals or of responses. applicable supporting documentation, may be obtained by contacting the Households. Number of Respondents: 25,400. RI 20–120 is designed to collect Retirement Services Publications Team, Estimated Time per Respondent: 10 information the Office of Personnel Office of Personnel Management, 1900 E minutes. Management needs to comply with the Street NW, Room 3316–L, Washington, Total Burden Hours: 4,234 hours. wishes of the retired Federal employee DC 20415, Attention: Cyrus S. Benson, whose marriage has ended. This form or sent via electronic mail to Office of Personnel Management. provides an organized way for the [email protected] or faxed to Alexys Stanley, retiree to give us everything at one time. (202) 606–0910 or via telephone at (202) Regulatory Affairs Analyst. 606–4808. [FR Doc. 2021–13734 Filed 6–25–21; 8:45 am] Analysis SUPPLEMENTARY INFORMATION: As BILLING CODE 6325–38–P Agency: Retirement Operations, required by the Paperwork Reduction Retirement Services, Office of Personnel Act of 1995 OPM is soliciting comments Management. for this collection. The information OFFICE OF PERSONNEL collection (OMB No. 3206–0197) was MANAGEMENT Title: Request for Change to previously published in the Federal Unreduced Annuity. Register on March 18, 2021, at 86 FR Submission for Review: 3206–0170, OMB Number: 3206–0245. 14771, allowing for a 60-day public Application for Refund of Retirement Deductions, SF 3106 and Current/ Frequency: On occasion. comment period. No comments were received for this collection. The purpose Former Spouse(s) Notification of Affected Public: Individuals or of this notice is to allow an additional Application for Refund of Retirement Households. 30 days for public comments. The Office Deductions Under FERS, SF 3106A Number of Respondents: 5,000. of Management and Budget is AGENCY: Office of Personnel Estimated Time per Respondent: 30 particularly interested in comments Management. minutes. that: ACTION: 30-Day notice and request for 1. Evaluate whether the proposed Total Burden Hours: 2,500. comments. collection of information is necessary Office of Personnel Management. for the proper performance of the SUMMARY: Retirement Services, Office of Alexys Stanley, functions of the agency, including Personnel Management (OPM) offers the Regulatory Affairs Analyst. whether the information will have general public and other federal [FR Doc. 2021–13651 Filed 6–25–21; 8:45 am] practical utility; agencies the opportunity to comment on 2. Evaluate the accuracy of the an expiring information collection BILLING CODE 6325–38–P agency’s estimate of the burden of the request (ICR) with minor edits,
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Application for Refund of Retirement (USERRA) covers certain Federal Frequency: On occasion. Deductions, SF 3106 and Current/ employees in the armed forces, the Affected Public: Individuals or Former Spouse(s) Notification of reserves, the National Guard and Households. Application for Refund of Retirement commissioned corps of the Public Number of Respondents: SF 3106 = Deductions under FERS, SF 3106A. Health Service. The USERRA law allows 8,000; SF 3106A = 6,400. DATES: Comments are encouraged and for restoration to the position he or she Estimated Time per Respondent: SF will be accepted until July 28, 2021. would have attained had the employee 3106 = 30 minutes; SF 3106A = 5 ADDRESSES: Interested persons are not entered the uniformed service minutes. invited to submit written comments on provided certain conditions are met. Total Burden Hours: 4,533 hours. the proposed information collection to Since enactment of the law, OPM has Office of Personnel Management. the Office of Information and Regulatory provided guidance to agencies on Alexys Stanley, processing service credit deposits for Affairs, Office of Management and Regulatory Affairs Analyst. Budget, 725 17th Street NW, such cases. [FR Doc. 2021–13662 Filed 6–25–21; 8:45 am] Washington, DC 20503, Attention: Desk It appears that the comments are case Officer for the Office of Personnel specific to the processing of service BILLING CODE 6325–38–P Management or sent via electronic mail credit deposits. If denied the to: [email protected] or opportunity to make the service credit faxed to (202) 395–6974. deposit, the individual would have RAILROAD RETIREMENT BOARD FOR FURTHER INFORMATION CONTACT: A received a denial decision and provided information on his/her right to file a Agency Forms Submitted for OMB copy of this ICR with applicable Review, Request for Comments supporting documentation, may be request for reconsideration.’’ obtained by contacting the Retirement The Office of Management and Budget Summary: In accordance with the Services Publications Team, Office of is particularly interested in comments Paperwork Reduction Act of 1995 (44 Personnel Management, 1900 E Street that: U.S.C. chapter 35), the Railroad 1. Evaluate whether the proposed NW, Room 3316–L, Washington, DC Retirement Board (RRB) is forwarding collection of information is necessary 20415, Attention: Cyrus S. Benson, or an Information Collection Request (ICR) for the proper performance of functions sent via electronic mail to to the Office of Information and of the agency, including whether the [email protected] or faxed to Regulatory Affairs (OIRA), Office of information will have practical utility; (202) 606–0910 or via telephone at (202) Management and Budget (OMB). Our 2. Evaluate the accuracy of the 606–4808. ICR describes the information we seek agency’s estimate of the burden of the to collect from the public. Review and SUPPLEMENTARY INFORMATION: As proposed collection of information, approval by OIRA ensures that we required by the Paperwork Reduction including the validity of the impose appropriate paperwork burdens. Act of 1995 OPM is soliciting comments methodology and assumptions used; for this collection. The information 3. Enhance the quality, utility, and The RRB invites comments on the collection (OMB No. 3206–0170) was clarity of the information to be proposed collections of information to previously published in the Federal collected; and determine (1) the practical utility of the Register on December 30, 2020 at 85 FR 4. Minimize the burden of the collections; (2) the accuracy of the 86583, allowing for a 60-day public collection of information on those who estimated burden of the collections; (3) comment period. One comment was are to respond, including through the ways to enhance the quality, utility, and received. Our response is as follows: use of appropriate automated, clarity of the information that is the ‘‘This is written in response to the electronic, mechanical, or other subject of collection; and (4) ways to comment on Federal Register technological collection techniques or minimize the burden of collections on Document #2020–28900 regarding the other forms of information technology, respondents, including the use of Application for Refund of Retirement e.g., permitting electronic submissions automated collection techniques or Deductions, Standard Form (SF)–3106 of responses. other forms of information technology. and Current/Former Spouse(s) Standard Form 3106, Application for Comments to the RRB or OIRA must Notification of Application for Refund Refund of Retirement Deductions under contain the OMB control number of the of Retirement Deductions Under FERS, FERS is used by former Federal ICR. For proper consideration of your SF–3106A. employees under FERS, to apply for a comments, it is best if the RRB and The Standard Form 3106 is used by refund of retirement deductions OIRA receive them within 30 days of former Federal employees under the withheld during Federal employment, the publication date. Federal Employees Retirement System plus any interest provided by law. 1. Title and purpose of information (FERS) to apply for a refund of Standard Form 3106A, Current/Former collection: Claimant Appeal Under the retirement deductions withheld during Spouse(s) Notification of Application Railroad Retirement Act or and Railroad Federal employment, plus any interest for Refund of Retirement Deductions Unemployment Insurance Act; OMB provided by law. Standard Form 3106A, under FERS, is used by refund 3220–0007. Current/Former Spouse(s) Notification applicants to notify their current/former Under Section 7(b)(3) of the Railroad of Application for Refund of Retirement spouse(s) that they are applying for a Retirement Act (RRA) (45 U.S.C. 231f), Deductions under FERS, is used by refund of retirement deductions, which and Section 5(c) of the Railroad refund applicants to notify their is required by law. Unemployment Insurance Act (RUIA) current/former spouse(s) that they are (45 U.S.C. 355) any person aggrieved by applying for a refund of retirement Analysis a decision made by an office of the RRB deductions, which is required by law. Agency: Retirement Operations, on his or her application for an annuity The Office of Personnel Management Retirement Services, Office of Personnel or benefit under those Acts has the right finds that the comments received are Management. to appeal to the RRB. This right is not relevant to the use of these forms. Title: Application for Refund of prescribed in 20 CFR 260 and 20 CFR The Uniformed Services Employment Retirement Deductions under FERS. 320. The notification letter, which is and Reemployment Rights Act of 1994 OMB Number: 3206–0170. provided at the time of filing the
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original application, informs the request for an appeal and, if necessary, Type of request: Revision of a applicant of such right. When an to describe any additional evidence they currently approved collection. applicant protests a decision, the wish to submit in support of the appeal. Affected public: Individuals or concerned RRB office reviews the entire Completion is voluntary, however, if the Households. file and any additional evidence information is not provided the RRB Abstract: Under Section 7(b)(3) of the submitted and sends the applicant a cannot process the appeal. Railroad Retirement Act and Section letter explaining the basis of the Previous Requests for Comments: The 5(c) of the Railroad Unemployment determination. The applicant is then RRB has already published the initial Insurance Act, a person aggrieved by a notified that to protest further, they can 60-day notice (86 FR 21361 on April 22, decision on his or her application for an appeal to the RRB’s Bureau of Hearings 2021) required by 44 U.S.C. 3506(c)(2). annuity or other benefit has the right to and Appeals. The appeal process is That request elicited no comments. appeal to the RRB. The collection prescribed in 20 CFR 260.5 and 260.9 provides the means for the appeal and 20 CFR 320.12 and 320.38. Information Collection Request (ICR) action. To file a request for an appeal the Changes proposed: The RRB proposes Title: Claimant Appeal Under the applicant must complete Form HA–1, minor changes to Form HA–1 to the Railroad Retirement Act or Railroad Appeal Under the Railroad Retirement reference citation and minor grammar Unemployment Insurance Act. Act or Railroad Unemployment on page 2. Insurance Act. The form asks the OMB Control Number: 3220–0007. The burden estimate for the ICR is as applicant to explain the basis for their Form(s) submitted: HA–1. follows:
Annual Time Burden Form No. responses (minutes) (hours)
HA–1 ...... 550 20 183
2. Title and purpose of information the accrued sickness or unemployment Form(s) submitted: UI–63. collection: Application for Benefits Due benefits unpaid at the death of the Type of request: Extension without But Unpaid at Death; OMB 3220–0055. employee and for obtaining the change of a currently approved Under Section 2(g) of the Railroad information needed to identify the collection. Unemployment Insurance Act (45 proper payee. One response is requested Affected public: Individuals or U.S.C. 352), benefits that accrued but of each respondent. Completion is Households. were not paid because of the death of required to obtain a benefit. Abstract: The collection obtains the the employee shall be paid to the same Previous Requests for Comments: The information needed by the Railroad individual(s) to whom benefits are RRB has already published the initial Retirement Board to pay benefits payable under Section 6(a)(1) of the 60-day notice (86 FR 21361 on April 22, accrued under section 2(g) of the Railroad Retirement Act. The provisions 2021) required by 44 U.S.C. 3506(c)(2). Railroad Unemployment Insurance Act, relating to the payment of such benefits That request elicited no comments. but not paid because of the death of the are prescribed in 20 CFR 325.5 and 20 employee. Information Collection Request (ICR) CFR 335.5. Changes proposed: The RRB proposes The RRB provides Form UI–63, Title: Application for Benefits Due but no changes to Form UI–63. Application for Benefits Due But Unpaid at Death. The burden estimate for the ICR is as Unpaid at Death, to those applying for OMB Control Number: 3220–0055. follows:
Annual Time Burden Form No. responses (minutes) (hours)
UI–63 ...... 24 7 3
3. Title and purpose of information Further, in order to determine if a Previous Requests for Comments: The collection: Medicare; OMB 3220–0082. qualified railroad retirement beneficiary RRB has already published the initial Under Section 7(d) of the Railroad who is claiming supplementary medical 60-day notice (86 FR 21361 on April 22, Retirement Act (RRA) (45 U.S.C. 231f), insurance coverage under Medicare is 2021) required by 44 U.S.C. 3506(c)(2). the Railroad Retirement Board (RRB) entitled to a Special Enrollment Period That request elicited no comments. administers the Medicare program for (SEP) and/or premium surcharge relief persons covered by the railroad because of coverage under an Employer Information Collection Request (ICR) retirement system. The RRB uses Form Group Health Plan (EGHP), the RRB Title: Medicare. AA–6, Employee Application for needs to obtain information regarding OMB Control Number: 3220–0082. Medicare; Form AA–7, Spouse/Divorced the claimant’s EGHP coverage, if any. Form submitted: AA–6, AA–7, AA–8 Spouse Application for Medicare; and The RRB uses Form RL–311–F, and RL–311–F. Form AA–8, Widow/Widower Evidence of Coverage Under An Type of request: Revision of a Application for Medicare; to obtain the Employer Group Health Plan, to obtain currently approved collection. information needed to determine the basic information needed to Affected public: Individuals or whether individuals who have not yet establish EGHP coverage for a qualified Households; Businesses or other for filed for benefits under the RRA are railroad retirement beneficiary. profits. qualified for Medicare payments Completion of the forms is required to Abstract: The Railroad Retirement provided under Title XVIII of the Social obtain a benefit. One response is Board administers the Medicare Security Act. requested of each respondent. program for persons covered by the
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railroad retirement system. The forms in applying for supplemental medical • Changed question 4 to replace the collection obtain both information coverage under Medicare. working with employed, add an needed to enroll non-retired employees Changes proposed: The RRB proposes employment start date for the employee, and survivor applicants in the plan and no changes to the forms AA–6, AA–7, or and add additional instructions. information from railroad employers AA–8. The RRB proposed the following The burden estimate for the ICR is as needed to determine if a railroad changes to Form RL–311–F: follows: retirement beneficiary is entitled to a • Add the option to return the form special enrollment period when by facsimile.
Annual Time Burden Form No. responses (minutes) (hours)
AA–6 ...... 180 8 24 AA–7 ...... 50 8 7 AA–8 ...... 10 8 1 RL–311–F ...... 2,000 10 333
Total ...... 2,240 ...... 365
4. Title and purpose of information over the annual exempt amount. The OMB Control Number: 3220–0107. collection: Request to Non-Railroad regulations pertaining to non-payment Form(s) submitted: RL–231–F. Employer for Information About of annuities by reason of work and LPE Annuitant’s Work and Earnings; OMB are contained in 20 CFR 230.1 and Type of request: Extension without 3220–0107. 230.2. change of a currently approved The RRB utilizes Form RL–231–F, collection. Under Section 2 of the Railroad Request to Non-Railroad Employer for Retirement Act (RRA) (45 U.S.C. 231a), Affected public: Private Sector; Information About Annuitant’s Work a railroad employee’s retirement Businesses or other for-profits, Not-for- and Earnings, to obtain the information profit institutions. annuity or an annuity paid to the spouse needed to determine if a work of a railroad employee is subject to work deduction should be applied because an Abstract: Under the Railroad deductions in the Tier II component of annuitant worked in non-railroad Retirement Act (RRA), benefits are not the annuity and any employee employment after the annuity beginning payable if an annuitant works for an supplemental annuity for any month in date. One response is requested of each employer covered under the RRA or last which the annuitant works for a Last respondent. Completion is voluntary. non-railroad employer. The collection Pre-Retirement Non-Railroad Employer Previous Requests for Comments: The obtains information regarding an (LPE). The LPE is defined as the last RRB has already published the initial annuitant’s work and earnings from a person, company, or institution, other 60-day notice (86 FR 21362 on April 22, non-railroad employer. The information than a railroad employer, that employed 2021) required by 44 U.S.C. 3506(c)(2). is used to determine whether benefits an employee or spouse annuitant. In That request elicited no comments. should be withheld. addition, the employee, spouse, or divorced spouse Tier I annuity benefit is Information Collection Request (ICR) Changes proposed: The RRB proposes subject to work deductions under Title: Request to Non-Railroad no changes to Form RL–231–F. Section 2(f)(1) of the RRA for earnings Employer for Information About The burden estimate for the ICR is as from any non-railroad employer that are Annuitant’s Work and Earnings. follows:
Annual Time Burden Form No. responses (minutes) (hours)
RL–231–F ...... 300 30 150
5. Title and Purpose of information Last Pre-Retirement Non-Railroad The RRB utilizes Form G–19L, collection: Annual Earnings Employment (LPE) earnings for each Annual Earnings Questionnaire, to Questionnaire for Annuitants in Last month of such service. However, the obtain LPE earnings information from Pre-Retirement Non-Railroad reduction cannot exceed 50 percent of annuitants. One response is requested of Employment; OMB 3220–0179. the Tier II and supplemental annuity each respondent. Completion is Under Section 2(e)(3) of the Railroad amount for the month to which such required to retain a benefit. Retirement Act (RRA) (45 U.S.C. 231a), deductions apply. The LPE generally Previous Requests for Comments: The an annuity is not payable for any month refers to an annuitant’s last employment RRB has already published the initial in which a beneficiary works for a with a non-railroad person, company, or 60-day notice (86 FR 21362 on April 22, railroad. In addition, an annuity is institution prior to retirement, which 2021) required by 44 U.S.C. 3506(c)(2). reduced for any month in which the was performed at the same time as That request elicited no comments. beneficiary works for an employer other than a railroad employer and earns more railroad employment or after the Information Collection Request (ICR) than a prescribed amount. Under the annuitant stopped railroad employment. Title: Annual Earnings Questionnaire 1988 amendments to the RRA, the Tier The collection obtains earnings for Annuitants in Last Pre-Retirement II portion of the regular annuity and any information needed by the RRB to Non-Railroad Employment. supplemental annuity must be reduced determine if possible reductions in OMB Control Number: 3220–0179. by one dollar for each two dollars of annuities are in order due to LPE. Form submitted: G–19L.
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Type of request: Extension without not payable or is reduced for any month determine possible reductions in change of a currently approved in which the beneficiary works for a annuities because of earnings. collection. railroad or earns more than the Changes proposed: The RRB proposes Affected public: Individuals or prescribed amounts. The collection no changes to Form G–19L. Households. obtains earnings information needed by The burden estimate for the ICR is as Abstract: Under Section 2(e)(3) of the the Railroad Retirement Board to Railroad Retirement Act, an annuity is follows:
Annual Time Burden Form No. responses (minutes) (hours)
G–19L ...... 300 15 75
Additional Information or Comments: conduct of scientific research and the organization) is requested to submit Copies of the forms and supporting collection of data; preventing the only one response. OSTP welcomes any documents can be obtained from suppression or distortion of findings, responses to inform and guide the work Kennisha Tucker at (312) 469–2591 or data, information, conclusions, or of the Scientific Integrity Fast-Track [email protected]. Comments technical results; supporting scientists Action Committee (SI–FTAC). Please regarding the information collection and researchers of all genders, races, feel free to respond to one or as many should be addressed to Brian Foster, ethnicities, and backgrounds; and prompts as you choose. Submission Railroad Retirement Board, 844 North advancing the equitable delivery of the must not exceed 7 pages in 12-point or Rush Street, Chicago, Illinois, 60611– Federal Government’s programs. To larger font, with a page number 1275 or [email protected]. support this assessment, OSTP seeks provided on each page. Responses Written comments and information about: (1) The effectiveness should include the name of the recommendations for the proposed of Federal scientific integrity policies person(s) or organization(s) filing the information collection should be sent and needed areas of improvement; (2) comment, as well as the respondent within 30 days of publication of this good practices Federal agencies could type (e.g., academic, advocacy, notice to www.reginfo.gov/public/do/ adopt to improve scientific integrity, professional society, community-based PRAMain. Find this particular including in the communication of organization, industry, member of the information collection by selecting scientific information, addressing public, government, other). ‘‘Currently under 30-day Review—Open emerging technologies and evolving Respondent’s role in the organization for Public Comments’’ or by using the scientific practices, supporting may also be provided (e.g., researcher, search function. professional development of Federal administrator, student, program scientists, and promoting transparency Brian Foster, manager, journalist) on a voluntary in the implementation of agency Clearance Officer. basis. Comments containing references, scientific integrity policies; and (3) studies, research, and other empirical [FR Doc. 2021–13666 Filed 6–25–21; 8:45 am] other topics or concerns that Federal data that are not widely published BILLING CODE 7905–01–P scientific integrity policies should should include copies or electronic address. Please note the purpose of this links of the referenced materials. No RFI is not to receive reports on alleged business proprietary information, EXECUTIVE OFFICE OF THE offenses that are in violation of Federal copyrighted information, or personally PRESIDENT scientific integrity policies. If you have identifiable information should be witnessed or experienced any harmful submitted in response to this RFI. Please Request for Information To Improve acts that may undermine scientific Federal Scientific Integrity Policies be aware that comments submitted in integrity and you would like to report response to this RFI may be posted on AGENCY: White House Office of Science these allegations, please contact the OSTP’s website or otherwise released and Technology Policy. Scientific Integrity Officer or Office of publicly. ACTION: Notice of request for the Inspector General at the relevant In accordance with FAR 15.202(3), information. Federal agency. responses to this notice are not offers DATES: Interested persons and and cannot be accepted by the Federal SUMMARY: The White House Office of organizations are invited to submit Government to form a binding contract. Science and Technology Policy (OSTP) comments on or before 5:00 p.m. ET on Additionally, those submitting seeks information to help improve the July 28, 2021. responses are solely responsible for all effectiveness of Federal scientific ADDRESSES: Interested individuals and expenses associated with response integrity policies to enhance public trust organizations should submit comments preparation. in science. The January 27, 2021 electronically to ScientificIntegrityRFI@ FOR FURTHER INFORMATION CONTACT: Presidential Memorandum on Restoring ostp.eop.gov and include ‘‘SI–FTAC For Trust in Government Through Scientific RFI’’ in the subject line of the email. additional information, please direct Integrity and Evidence-Based Due to time constraints, mailed paper questions to Ryan Donohue at Policymaking (Memorandum) directs submissions will not be accepted, and [email protected]. OSTP to convene an interagency task electronic submissions received after SUPPLEMENTARY INFORMATION: force under the National Science and the deadline cannot be ensured to be Background: On January 27, 2021, Technology Council to review the incorporated or taken into President Biden issued a Presidential effectiveness of policies developed since consideration. Memorandum on Restoring Trust in the issuance of the Presidential Government Through Scientific Memorandum on scientific integrity Instructions Integrity and Evidence-Based issued on March 9, 2009 in preventing Response to this RFI is voluntary. Policymaking (2021 Memorandum). The improper political interference in the Each responding entity (individual or Memorandum asserts the
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Administration’s goal to develop sound scientific integrity in government: (1) Presidential Memorandum of March 9, policy to make evidence-based Ensure a culture of scientific integrity 2009 on scientific integrity. Specifically, decisions guided by the best available by shielding scientific data and analyses the 2021 Presidential Memorandum science and data, recognizing that from inappropriate political interference charges the task force to: (1) Consider scientific and technological information, and preventing political officials from whether existing Federal scientific data, and evidence are central to the suppressing or altering scientific or integrity policies prevent improper development and iterative improvement technological findings; (2) Strengthen political interference in the conduct of of sound policies and to the delivery of the actual and perceived credibility of scientific research and the collection of equitable programs across every area of government research through: Hiring scientific or technological data; prevent government. It emphasizes that political decisions based on candidates’ the suppression or distortion of interference in the work of Federal knowledge, credentials, experience, and scientific or technological findings, scientists and other scientists who integrity; ensuring data and research data, information, conclusions, or support the work of the Federal used to support policy decisions technical results; support scientists and government and in the communication undergoes independent peer review; researchers of all genders, races, of scientific facts undermines the setting clear standards for governing ethnicities, and backgrounds; and welfare of the Nation, contributes to conflicts-of-interest; and adopting advance the equitable delivery of the systemic inequities and injustices, and whistleblower protections; (3) Facilitate Federal Government’s programs; (2) violates the trust that the public places the free flow of scientific and analyze instances in which existing in government to best serve its technological information, consistent scientific integrity policies have not collective interests. The 2021 with privacy and classification been followed or enforced; and (3) Memorandum reaffirms and builds on standards; and (4) Establish principles identify effective practices for the Presidential Memorandum of March for conveying scientific and implementing scientific integrity 9, 2009 (Scientific Integrity) and the technological information to the public, policies in specific areas of particular Director of the Office of Science and including underlying assumptions and interest, including improving the Technology Policy’s Memorandum of uncertainties. The 2010 OSTP communication of scientific December 17, 2010 (Scientific Integrity), Memorandum also establishes guidance information, addressing emerging which together specify elements that for public communication about technologies and evolving scientific scientific integrity policies of Federal scientific and technological matters that practices, supporting professional Departments and Agencies are to maximizes openness and transparency development of Federal scientists, and address. with the media; use of Federal Advisory effective reporting practices that The 2009 Presidential Memorandum Committees tasked with providing promote transparency in the articulates 6 principles to guide scientific advice; and professional implementation of agency scientific recommendations for Presidential development of government scientists integrity policies and in the handling of Action to guarantee scientific integrity and engineers. It directs Agencies to any allegations of misconduct. throughout the executive branch: (1) report back to OSTP on actions taken to This request for information aims to Selection and retention of candidates for develop and implement policies support the task force’s work by science and technology positions in the specified in the memorandum. providing input from stakeholders on executive branch should be based on the By December 2016, 24 Federal issues specified in the 2021 Presidential candidate’s knowledge, credentials, departments and agencies had Memorandum and related topics. The experience, and integrity; (2) Agencies developed and published policies to information collected in response to this should have appropriate rules and support scientific integrity. These RFI will inform the task force (SI– procedures to ensure the integrity of the agencies and departments included all FTAC), OSTP, and OMB as they work scientific process within the agency; (3) major U.S. science agencies (i.e., those with Federal agencies and other Scientific and technical information that conduct or fund scientific research), stakeholders to review the effectiveness used in agency decisions should be as well as departments and agencies that of agency scientific integrity policies subject to established scientific issue regulations or use scientific and practices. processes, including peer review; (4) findings in agency decision-making. Information Requested: Respondents Agencies should make available to the Most of the scientific integrity policies may provide information for one or as public the scientific or technological addressed all four components of the many topics below as they choose. Input findings or conclusions considered or 2010 OSTP Memorandum, and some is welcome from stakeholders, including relied upon in policy decisions (to the addressed additional topics not members of the public, representing all extent release is not restricted); (5) specified in the memorandum, such as backgrounds and perspectives. Through Agencies should have in place the importance of scientific integrity to this RFI, the SI–FTAC seeks information procedures to identify and address the department’s or agency’s mission. on the current state of scientific instances in which the scientific process The report also noted considerable integrity processes and practices and the or the integrity of scientific and variation across departments and effect of these on trust in Federal technological information may be agencies in scientific integrity policies science, including on the following compromised; and (6) Agencies should and practices, reflecting differences in topics: adopt procedures, including their missions, fields of science and 1. The effectiveness of Federal whistleblower protections, needed to technology supported, and scientific integrity policies in promoting ensure the integrity of scientific and organizational structures. trust in Federal science: technological information and processes The 2021 Presidential Memorandum Information about the strengths and used for decision-making or otherwise calls for the establishment of an weaknesses of Federal scientific prepared. interagency task force (established as integrity policies, including where The 2010 OSTP Memorandum the SI–FTAC) of the National Science additional efforts are needed to meet the provides further guidance to executive and Technology Council (NSTC) to broad ambition to establish trust in departments and agencies for conduct a thorough review of the Federal science by protecting against: implementing scientific integrity effectiveness of agency integrity policies Political or other improper interference policies. It identifies 4 foundations of developed since the issuance of the in the conduct of scientific research, the
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collection of scientific or technological delivery of the Federal Government’s ACTION: Notice. data, and the utilization of science in programs; and Ensuring the decision-making; suppression or independence, autonomy, and Notice of an application for an order distortion of scientific or technological effectiveness of scientific integrity under section 6(c) of the Investment findings, data, information, conclusions, officials and chief science officers. Company Act of 1940 (the ‘‘Act’’) for an or technical results; disproportionate 4. Effective practices Federal agencies exemption from sections 23(a), 23(b) harm to Federal scientists and could adopt to improve training of and 63 of the Act, an pursuant sections researchers from groups that are scientific staff about scientific integrity 57(a)(4) and 57(i) of the Act and rule historically underrepresented in and the transparency into their 17d–1 under the Act permitting certain science, technology, and related fields; scientific integrity practices: joint transactions otherwise prohibited or equitable delivery of the Federal Consider practices related but not by section 57(a)(4) of the Act, and Government’s programs. Of interest is limited to: Educating and informing pursuant section 23(c)(3) of the Act for information about how perceived employees, contractors, and grantees in an exemption from section 23(c) of the shortfalls in scientific integrity affect scientific and technical positions, as Act. public trust in science and about well as those who manage, SUMMARY OF THE APPLICATION: Capital mechanisms Federal agencies could use communicate, or make decisions based Southwest Corporation (‘‘Company’’ or to detect or deter potential violations of on science and technology, of their ‘‘Applicant’’), requests an order scientific integrity policies before they rights and responsibilities related to (‘‘Order’’) to permit it to (i) issue occur. [Please note: We do not seek agency scientific integrity policies; restricted shares of its common stock reports on alleged offenses that are in reporting practices that promote (‘‘Restricted Stock’’) under the terms of violation of Federal scientific integrity transparency in the implementation of its 2021 Employee Restricted Stock policies; we ask that you not provide agency scientific integrity policies and Award Plan (the ‘‘2021 Plan’’) as part of names of individuals who have been or in the handling of any allegations of the compensation package for certain of may be accused of engaging in or misconduct; communicating to the its employees in the 2021 Plan, and (ii) subjected to such practices, personally public about alleged lapses in scientific withhold shares of the Company’s identifiable or sensitive information, or integrity, substantiated violations of common stock or purchase shares of the specific allegations that should be scientific integrity policies, and Company’s common stock from the handled through other appropriate remedial actions taken; and minimizing participants to satisfy tax withholding channels, such as law enforcement, conflicts of interest in Federal science obligations relating to the vesting of Scientific Integrity Officers, or an Office and research misconduct. Restricted Stock pursuant to the 2021 of Inspector General]. 5. Other important aspects of Plan. 2. Effective policies and practices scientific integrity and effective APPLICANT: Capital Southwest Federal agencies could adopt to approaches to improving trust in Corporation improve the communication of scientific Federal science: FILING DATES: The application was filed and technological information: Consider other elements that should on March 29, 2021, and amended on Consider practices related but not be included and addressed in the May 17, 2021 and on June 14, 2021. limited to: Engagement of Federal scientific integrity policies of Federal HEARING OR NOTIFICATION OF HEARING: An scientists and contractors working on agencies, beyond those specified in the order granting the requested relief will scientific matters with news media and 2009 Presidential Memorandum, 2010 be issued unless the Commission orders on social media; protection of scientific OSTP Memorandum, and 2021 a hearing. Interested persons may independence during clearance and Presidential Memorandum. Consider request a hearing by emailing the review processes; avoidance of political also effective practices, in addition to Commission’s Secretary at Secretarys- or other improper interference in those specified above, that Federal [email protected] and serving applicants research or data collection; agencies could put in place to improve with a copy of the request by email. differentiation in official government scientific integrity and public trust in Hearing requests should be received by communications of references to Federal science, including for the Commission by 5:30 p.m. on July 16, scientific publications and peer- proactively promoting rigorous, reviewed research versus science-based 2021, and should be accompanied by objective scientific research and proof of service on the applicants, in the or science-informed policy statements streamlining implementation within and determinations. form of an affidavit, or, for lawyers, a and across Federal departments and certificate of service. Pursuant to rule 3. Effective policies and practices agencies. Federal agencies could adopt to address 0–5 under the Act, hearing requests scientific issues and the scientific Dated: June 22, 2021. should state the nature of the writer’s workforce: Stacy Murphy, interest, any facts bearing upon the Consider practices related but not Operations Manager. desirability of a hearing on the matter, limited to: Handling scientific [FR Doc. 2021–13640 Filed 6–25–21; 8:45 am] the reason for the request, and the issues disagreements about research methods BILLING CODE 3270–F1–P contested. Persons who wish to be and conclusions; addressing gaps in notified of a hearing may request current scientific integrity policies notification by emailing the related to emerging technologies, such SECURITIES AND EXCHANGE Commission’s Secretary at Secretarys- as artificial intelligence and machine- COMMISSION [email protected]. learning, and evolving scientific ADDRESSES: The Commission: practices, such as citizen science and [Investment Company Act Release No. [email protected]. Applicants: community-engaged research; 34309; 812–15212] [email protected]; [email protected]. supporting the professional Capital Southwest Corporation development of Federal scientists; FOR FURTHER INFORMATION CONTACT: supporting scientists and researchers of June 22, 2021. Asen Parachkevov, Senior Counsel, at all genders, races, ethnicities, and AGENCY: Securities and Exchange (202) 551–6908 or Lisa Reid Ragen, backgrounds and advance the equitable Commission. Branch Chief, at (202) 551–6825
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(Division of Investment Management, 5. The Commission previously issued the right to receive dividends. The Chief Counsel’s Office). certain exemptive orders (the ‘‘Prior Company states that during the SUPPLEMENTARY INFORMATION: The Orders’’), which, among other things, (i) restriction period (i.e., prior to the lapse following is a summary of the permit the Company to issue restricted of the applicable forfeiture restrictions), application. The complete application shares of its common stock under the the Restricted Stock generally may not may be obtained via the Commission’s terms of the Company’s 2010 Restricted be sold, transferred, pledged, website by searching for the file Stock Award Plan (the ‘‘2010 Plan’’) as hypothecated, margined or otherwise number, or for an applicant using the part of the compensation packages for encumbered by the Participant. The Company name box, at http:// certain of its employees and certain Company states that except as the Board www.sec.gov/search/search.htm or by employees of its wholly-owned otherwise determines, upon termination calling (202) 551–8090. subsidiaries, and (ii) allow the Company of a Participant’s employment during to withhold shares of the Company’s the applicable restriction period, Applicant’s Representations common stock or purchase shares of the Restricted Stock for which forfeiture 1. The Company, a Texas corporation, Company’s common stock from the restrictions have not lapsed at the time is an internally managed, non- Participants (as defined in the 2010 of such termination shall be forfeited. diversified, closed-end investment Plan) to satisfy tax withholding 8. The Company states that the value company that has elected to be obligations relating to the vesting of of Restricted Stock generally will be regulated as a business development Restricted Stock (as defined in the 2010 taxable to the recipient as ordinary company (‘‘BDC’’) under the Act.1 The Plan) pursuant to the 2010 Plan.2 income in the years in which the Company’s investment objective is to 6. The Company states that the right restrictions on the shares lapse and that produce attractive risk-adjusted returns to grant restricted stock awards under such value will be the fair market value by generating current income from its the 2010 Plan will terminate on July 18, of the shares on the dates the debt investments and capital 2021 and that in connection with the restrictions lapse. The Company states appreciation from its equity and equity termination of the 2010 Plan, the Board that the 2021 Plan authorizes the related investments. approved the 2021 Plan as part of the Company to withhold common stock (in 2. Shares of the Company’s common compensation packages for certain of its whole or in part) from any award of stock are traded on the NASDAQ Global employees, the terms of which are, in all restricted shares granted at the time the Select Market under the symbol material respects, identical to the 2010 Restricted Stock is taxed in satisfaction ‘‘CSWC.’’ As of March 31, 2021, there Plan. The Company states that the relief of a Participant’s tax obligations. were 23,344,836 and 21,005,324 shares that Applicant is requesting under the 9. The Company states that maximum of the Company’s common stock issued Order would provide the same relief amount of Restricted Stock that may be and outstanding, respectively. As of with respect to the 2021 Plan as issued and outstanding will not at the March 31, 2021, the Company had an previously provided by the Commission time of issuance of any Restricted Stock aggregate of 21 employees. in the Prior Orders with respect to the exceed 10% of the Company’s 3. The Company currently has a 2010 plan. The Order would supersede outstanding voting securities.3 In seven-member board of directors (the the Prior Orders, with the result that the addition, the Company states that no ‘‘Board’’), of whom one is an ‘‘interested Company will no longer rely on the Participant may be granted more than person’’ of the Company within the Prior Orders if the Order is granted. 25% of the shares reserved for issuance meaning of section 2(a)(19) of the Act 7. The 2021 Plan will authorize the under the 2021 Plan. and six are not interested persons (the issuance of shares of Restricted Stock by 10. The Company states that each ‘‘Non-interested Directors’’). The the Company to certain of its issuance of Restricted Stock under the Company has six directors who are employees. The Company states that the 2021 Plan will be approved by the Restricted Stock will be subject to neither officers nor employees of the required majority, as defined in section restrictions on transferability and other Company. 57(o) of the Act,4 of the Company’s 4. The Company believes that its restrictions as required by the directors on the basis that the issuance successful performance depends on its Compensation Committee of the Board, is in the best interests of the Company ability to offer fair compensation which will be comprised solely of ‘‘non- and its shareholders. The Company employee directors’’ within the meaning packages to its professionals that are states that the date on which the of rule 16b–3 under the Securities competitive with those offered by other required majority approves an issuance Exchange Act of 1934 (the ‘‘Exchange investment management businesses. of Restricted Stock will be deemed the Act’’), each of whom also is not an The Company believes the highly date on which the subject Restricted ‘‘interested person’’ of the Company specialized nature of its business, the Stock is granted. within the meaning of section 2(a)(19) of competitiveness of its market and the 11. The Company states that the 2021 the Act. The Company states that except small size of its employee base relative Plan was approved by the Board as a to the extent restricted under the terms to its assets and revenue make such whole, including the required majority of the 2021 Plan, a Participant (as retentions even more critical for the as defined in section 57(o) of the Act, on defined in the 2021 Plan) who is granted Company, and that the ability to offer Restricted Stock will have all the rights 3 For purposes of calculating compliance with equity-based compensation to its of any other shareholder, including the professionals is vital to the Company’s this limit, Capital Southwest counts as Restricted right to vote the Restricted Stock and Stock all shares of its common stock that are issued future growth and success. pursuant to the 2021 Plan, less any shares that are 2 ‘‘Prior Orders’’ refers to the exemptive order forfeited back to Capital Southwest and cancelled 1 Capital Southwest was incorporated in Texas in issued by the Commission on October 26, 2010 (see as a result of forfeiture restrictions not lapsing. 1961. On March 30, 1988 Capital Southwest elected Capital Southwest Corporation, Investment 4 Section 57(o) of the Act provides that the term to be regulated as a BDC. Section 2(a)(48) of the Act Company Act Release Nos. 29450 (notice) ‘‘required majority,’’ when used with respect to the defines a BDC to be any closed-end investment (September 29, 2010) and 29491 (order) (October approval of a proposed transaction, plan, or company that operates for the purpose of making 26, 2010)) and as amended by the exemptive order arrangement, means both a majority of a BDC’s investments in securities described in sections issued by the Commission on August 22, 2017 (see directors or general partners who have no financial 55(a)(1) through 55(a)(3) of the Act and makes Capital Southwest Corporation, Investment interest in such transaction, plan, or arrangement available significant managerial assistance with Company Act Release Nos. 32742 (notice) (July 25, and a majority of such directors or general partners respect to the issuers of such securities. 2017) and 32787 (order) (August 22, 2017)). who are not interested persons of such company.
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March 26, 2021. The Company states pursuant to an executive compensation anticipated benefits of the 2021 Plan to that if the Commission issues the Order, plan, warrants, options and rights to the Company and its shareholders. The the 2021 Plan will become effective purchase the BDC’s voting securities, Company asserts that it needs the upon receipt of the approval of the subject to certain requirements. The flexibility to provide the requested Company’s shareholders. Company states that, for reasons that are equity-based employee compensation in unclear, section 61 and its legislative order to be able to compete effectively Applicant’s Legal Analysis history do not address the issuance by with other financial services firms for Sections 23(a) and (b), Section 63 a BDC of restricted stock as incentive talented professionals. These 1. Under section 63 of the Act, the compensation. The Company states, professionals, the Company suggests, in provisions of section 23(a) of the Act however, that the issuance of Restricted turn are likely to increase the Company’s performance and generally prohibiting a registered Stock is substantially similar, for shareholder value. The Company also closed-end investment company from purposes of investor protection under asserts that equity-based compensation issuing securities for services or for the Act, to the issuance of warrants, will help align the interests of the property other than cash or securities options, and rights as contemplated by Company’s employees with those of its are made applicable to BDCs. This section 61 of the Act. The Company also shareholders. In addition, the Company provision would prohibit the issuance asserts that the 2021 Plan would not states that its shareholders will be of Restricted Stock as a part of the 2021 become a means for insiders to obtain further protected by the conditions to Plan. control of the Company because the the requested order that assure 2. Section 23(b) generally prohibits a number of shares of the Company continuing oversight of the operation of registered closed-end management issuable under the 2021 Plan would be the 2021 Plan by the Company’s Board. investment company from selling its limited as set forth in the application. common stock at a price below its 5. The Company further states that the Section 57(a)(4), Rule 17d–1 2021 Plan will not unduly complicate current net asset value (‘‘NAV’’). Section 7. Section 57(a) proscribes certain 63(2) makes section 23(b) applicable to the Company’s structure because equity- based compensation arrangements are transactions between a BDC and persons BDCs unless certain conditions are met. related to the BDC in the manner Because Restricted Stock that would be widely used among corporations and commonly known to investors. The described in section 57(b) (‘‘57(b) granted under the 2021 Plan would not persons’’), absent a Commission order. meet the terms of section 63(2), sections Company notes that the 2021 Plan will be submitted to its shareholders for their Section 57(a)(4) generally prohibits a 23(b) and 63 prohibit the issuance of the 57(b) person from effecting a transaction Restricted Stock. approval. The Company represents that a concise, ‘‘plain English’’ description of in which the BDC is a joint participant 3. Section 6(c) provides, in part, that absent such an order. Rule 17d–1, made the Commission may, by order upon the 2021 Plan, including its potential dilutive effect, will be provided in the applicable to BDCs by section 57(i), application, conditionally or proscribes participation in a ‘‘joint unconditionally exempt any person, proxy materials that will be submitted to the Company’s shareholders. The enterprise or other joint arrangement or security, or transaction, or any class or profit-sharing plan,’’ which includes a classes of persons, securities or Company also states that it will comply with the proxy disclosure requirements stock option or purchase plan. transactions, from any provision of the Employees and directors of a BDC are in Item 10 of Schedule 14A under the Act, if and to the extent that the 57(b) persons. Thus, the issuance of Exchange Act. The Company further exemption is necessary or appropriate shares of Restricted Stock could be notes that the 2021 Plan will be in the public interest and consistent deemed to involve a joint transaction disclosed to investors in accordance with the protection of investors and the involving a BDC and a 57(b) person in with the requirements of the Form N– purposes fairly intended by the policy contravention of section 57(a)(4). Rule 2 registration statement for closed-end and provisions of the Act. 17d–1(b) provides that, in considering investment companies, and pursuant to 4. The Company requests an order relief pursuant to the rule, the the standards and guidelines adopted by pursuant to section 6(c) of the Act Commission will consider (i) whether the Financial Accounting Standards granting an exemption from the the participation of the company in a provisions of sections 23(a) and (b) and Board for operating companies. In joint enterprise is consistent with the section 63 of the Act. The Company addition, the Company will comply Act’s policies and purposes and (ii) the states that the concerns underlying with the disclosure requirements for extent to which that participation is on those sections include: (a) Preferential executive compensation plans 5 a basis different from or less treatment of investment company applicable to BDCs. The Company thus advantageous than that of other insiders and the use of options and concludes that the 2021 Plan will be participants. other rights by insiders to obtain control adequately disclosed to investors and 8. The Company requests an order of the investment company; (b) appropriately reflected in the market pursuant to sections 57(a)(4) and 57(i) of complication of the investment value of the Company’s shares. the Act and under rule 17d–1 to permit company’s structure that makes it 6. The Company acknowledges that, the Company to issue Restricted Stock difficult to determine the value of the while awards granted under the 2021 under the 2021 Plan. The Company company’s shares; and (c) dilution of Plan would have a dilutive effect on the states that the 2021 Plan, although shareholders’ equity in the investment shareholders’ equity in the Company, benefiting the Participants and The company. The Company states that the that effect would be outweighed by the Company in different ways, is in the 2021 Plan does not raise concerns about interests of the Company’s shareholders 5 See Executive Compensation and Related Party preferential treatment of the Company’s Disclosure, Securities Act Release No. 8655 (Jan. 27, because the 2021 Plan will help align insiders because the 2021 Plan is a bona 2006) (proposed rule); Executive Compensation and the interests of the Company’s fide compensation plan of the type Related Party Disclosure, Securities Act Release No. employees and officers with those of its common among corporations generally. 8732A (Aug. 29, 2006) (final rule and proposed shareholders, which will encourage rule), as amended by Executive Compensation In addition, section 61(a)(3)(B) of the Disclosure, Securities Act Release No. 8765 (Dec. conduct on the part of those employees Act permits a BDC to issue to its 22, 2006) (adopted as interim final rules with and officers designed to produce a better officers, directors and employees, request for comments). return for the Company’s shareholders.
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Additionally, section 57(j)(1) of the Act no transactions will be conducted issuance shall not exceed 20% of the expressly permits any director, officer or pursuant to the requested order on days outstanding voting securities of the employee of a BDC to acquire warrants, where there are no reported market Company. options and rights to purchase voting transactions involving Applicant’s 4. The amount of Restricted Stock securities of such BDC, and the shares. issued and outstanding will not at the securities issued upon the exercise or 12. Applicant represents that the time of issuance of any Restricted Stock conversion thereof, pursuant to an withholding provisions in the 2021 Plan exceed 10% of the Company’s executive compensation plan which do not raise concerns about preferential outstanding voting securities. meets the requirements of section treatment of Applicant’s insiders 5. The Board will review the 2021 61(a)(3)(B) of the Act. Applicant submits because the 2021 Plan is a bona fide Plan at least annually. In addition, the that the issuance of Restricted Stock compensation plan of the type that is Board will review periodically the pursuant to the 2021 Plan poses no common among corporations generally. potential impact that the issuance of greater risk to stockholders than the Furthermore, the vesting schedule is Restricted Stock under the 2021 Plan issuances permitted by section 57(j)(1) determined at the time of the initial could have on the Company’s earnings of the Act. grant of the Restricted Stock. Applicant and NAV per share, such review to take represents that all purchases may be place prior to any decisions to grant Section 23(c) made only as permitted by the 2021 Restricted Stock under the 2021 Plan, 9. Section 23(c) of the Act, which is Plan, which will be approved by the but in no event less frequently than made applicable to BDCs by section 63 Applicant’s stockholders prior to any annually. Adequate procedures and of the Act, generally prohibits a BDC application of the relief. Applicant records will be maintained to permit from purchasing any securities of which believes that granting the requested such review. The Board will be it is the issuer except in the open market relief would be consistent with the authorized to take appropriate steps to pursuant to tenders, or under other policies underlying the provisions of the ensure that the issuance of Restricted circumstances as the Commission may Act permitting the use of equity Stock under the 2021 Plan will be in the permit to ensure that the purchases are compensation as well as prior best interests of the Company’s made in a manner or on a basis that exemptive relief granted by the shareholders. This authority will does not unfairly discriminate against Commission under section 23(c) of the include the authority to prevent or limit any holders of the class or classes of Act. the granting of additional Restricted securities to be purchased. Applicant Stock under the 2021 Plan. All records states that the withholding or purchase Applicant’s Conditions maintained pursuant to this condition of shares of Restricted Stock and Applicant agrees that the order will be subject to examination by the common stock in payment of applicable granting the requested relief will be Commission and its staff. withholding tax obligations or of subject to the following conditions: For the Commission, by the Division of common stock in payment for the 1. The 2021 Plan will be authorized Investment Management, under delegated exercise price of a stock option might be by the Company’s shareholders. authority. deemed to be purchases by the 2. Each issuance of Restricted Stock to J. Matthew DeLesDernier, officers and employees will be approved Company of its own securities within Assistant Secretary. by the required majority, as defined in the meaning of section 23(c) and [FR Doc. 2021–13664 Filed 6–25–21; 8:45 am] therefore prohibited by the Act. section 57(o) of the Act, of the 10. Section 23(c)(3) of the Act permits Company’s directors on the basis that BILLING CODE 8011–01–P a BDC to purchase securities of which such grant is in the best interests of the it is the issuer in circumstances in Company and its shareholders. SECURITIES AND EXCHANGE 3. The amount of voting securities which the repurchase is made in a COMMISSION manner or on a basis that does not that would result from the exercise of all unfairly discriminate against any of the Company’s outstanding warrants, [Release No. 34 –92222; File No. SR–IEX– holders of the class or classes of options, and rights, together with any 2021–09] securities to be purchased. Applicant Restricted Stock issued and outstanding Self-Regulatory Organizations: believes that the requested relief meets pursuant to the 2021 Plan and any other Investors Exchange LLC; Notice of the standards of section 23(c)(3). compensation plans of the Company, at 11. Applicant submits that these the time of issuance shall not exceed Filing and Immediate Effectiveness of purchases will be made in a manner that 25% of the outstanding voting securities Proposed Rule Change To Provide does not unfairly discriminate against of the Company, except that if the Temporary Remote Inspection Relief to Applicant’s stockholders because all amount of voting securities that would IEX Members for Calendar Year 2021 purchases of Applicant’s stock will be at result from the exercise of all of the June 22, 2021. the closing price of the common stock Company’s outstanding warrants, Pursuant to Section 19(b)(1) 1 of the on the Nasdaq Global Market (or any options, and rights issued to the Securities Exchange Act of 1934 (the primary exchange on which its shares of Company’s directors, officers, and ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 common stock may be traded in the employees, together with any Restricted notice is hereby given that, on June 11, future) on the relevant date (i.e., the Stock issued pursuant to the 2021 Plan 2021, the Investors Exchange LLC public market price on the date of grant and any other compensation plans of (‘‘IEX’’ or the ‘‘Exchange’’) filed with the of Restricted Stock). Applicant submits the Company, would exceed 15% of the Securities and Exchange Commission that because all transactions with outstanding voting securities of the (the ‘‘Commission’’) the proposed rule respect to the 2021 Plan will take place Company, then the total amount of change as described in Items I and II at the public market price for the voting securities that would result from below, which Items have been prepared Applicant’s common stock, these the exercise of all outstanding warrants, by the self-regulatory organization. The transactions will not be significantly options, and rights, together with any different than could be achieved by any Restricted Stock issued pursuant to the 1 15 U.S.C. 78s(b)(1). stockholder selling in a market 2021 Plan and any other compensation 2 15 U.S.C. 78a. transaction. Applicant represents that plans of the Company, at the time of 3 17 CFR 240.19b–4.
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Commission is publishing this notice to would harmonize IEX Rule 5.110 with this time, many states issued stay-at- solicit comments on the proposed rule FINRA Rule 3110.17, which provides home orders and imposed restrictions change from interested persons. FINRA member firms with the option, on businesses, social activities, and subject to specified requirements under travel to slow the spread of COVID–19 I. Self-Regulatory Organization’s the supplementary material, to complete and reduce the burden on the U.S. Statement of the Terms of Substance of remotely their calendar year 2021 health care system in accordance with the Proposed Rule Change inspection obligations without an on- the recommendations of public health Pursuant to the provisions of Section site visit to the office or location.8 The experts.13 In response, like many 19(b)(1) under the Act,4 and Rule 19b– proposed rule change is necessitated by employers across U.S., Members closed 4 thereunder,5 IEX is filing with the the compelling health and safety their offices to the public, transitioned Commission a proposed rule change to concerns and the operational challenges their employees to telework amend IEX Rule 5.110 (Supervision) to that Members are facing due to the arrangements to comply with stay-at- provide temporary remote inspection sustained COVID–19 pandemic.9 home orders, and implemented other relief to IEX Members for calendar year IEX Rule 5.110(c), Internal restrictive measures in an effort to slow 2021. Inspections, requires, inter alia, that ‘‘(1) the spread of COVID–19 such as The text of the proposed rule change [e]ach Member shall conduct a review, curtailing or eliminating non-essential is available at the Exchange’s website at at least annually (on a calendar year business travel, and significantly www.iextrading.com, at the principal basis), of the businesses in which it limiting or canceling in-person office of the Exchange, and at the engages . . . .’’ Subparagraph (1)(A) of activities.14 Commission’s Public Reference Room. the rule requires, in relevant part, that These pandemic-related operational changes have made it impracticable for II. Self-Regulatory Organization’s ‘‘[e]ach Member shall inspect annually Members to conduct on-site inspections Statement of the Purpose of, and the (on a calendar year basis) every [Office 10 of OSJs, branch offices, and non-branch Statutory Basis for, the Proposed Rule of Supervisory Jurisdiction or ‘‘OSJ’’] 11 locations because this compliance Change and any branch office that supervises one or more non-branch locations.’’ function requires employees of the In its filing with the Commission, the Subparagraph (1)(B) of the rule requires, Member to travel to geographically self-regulatory organization included in relevant part, that ‘‘[e]ach Member dispersed locations. Such travel not statements concerning the purpose of shall inspect at least every three years only has been restricted at times by and basis for the proposed rule change every branch office that does not government orders, but also puts the and discussed any comments it received supervise one or more non-branch health and safety of employees at great on the proposed rule change. The text locations . . . .’’ Subparagraph (1)(B) risk of contracting and spreading of these statement may be examined at further provides the criteria that a COVID–19.15 By mid-year 2020, with the places specified in Item IV below. Member must consider when many restrictive measures still in place, The self-regulatory organization has establishing the frequency of and in some instances additional prepared summaries, set forth in inspections for such branch locations. quarantine requirements imposed on Sections A, B, and C below, of the most On March 13, 2020 the United States interstate travel, on-site inspections of significant aspects of such statements. declared a national emergency in offices or locations scheduled for A. Self-Regulatory Organization’s response to the pandemic.12 Around calendar year 2020 continued to remain 16 Statement of the Purpose of, and the in abeyance. Statutory Basis for, the Proposed Rule guidance stating, a ‘‘broker-dealer must conduct on- site inspections of each of its office locations; Office WHO Director-General, Opening Remarks at the Change of Supervisory Jurisdictions (‘OSJs’) and non-OSJ Media Briefing on COVID–19 (March 11, 2020), 1. Purpose branches that supervise non-branch locations at https://www.who.int/director-general/speeches/ least annually, all non-supervising branch offices at detail/who-director-general-s-opening-remarks-at- In light of the operational challenges least every three years; and non-branch offices the-media-briefing-on-covid-19---11-march-2020. that IEX Members 6 are facing due to the periodically.’’) (footnote defining an OSJ omitted). 13 See S.J. Lange et al., Potential Indirect Effects See also SEC Division of Market Regulation, Staff outbreak of the coronavirus disease of the COVID–19 Pandemic on Use of Emergency Legal Bulletin No. 17: Remote Office Supervision Departments for Acute Life-Threatening (COVID–19), the Exchange proposes to (March 19, 2004) (stating, in part, that broker- Conditions—United States, January–May 2020, amend IEX Rule 5.110 (Supervision) to dealers that conduct business through Morbidity and Mortality Weekly Report (June 26, adopt Supplementary Material .15 geographically dispersed offices have not 2020), https://www.cdc.gov/mmwr/volumes/69/wr/ adequately discharged their supervisory obligations (Temporary Relief to Allow Remote mm6925e2.htm. where there are no on-site routine or ‘‘for cause’’ 14 See generally FINRA Regulatory Notice 20–16 Inspections for Calendar Year 2021) to inspections of those offices). (May 2020) (describing practices implemented by provide member firms the option, 8 See Securities Exchange Act Release No. 90454 FINRA member firms to transition to, and supervise subject to specified requirements under (November 18, 2020), 85 FR 75097 (November 24, in, a remote work environment during the COVID– 2020) (SR–FINRA–2020–040). FINRA’s rule change 19 pandemic). the proposed supplementary material, to also permitted FINRA members to complete their complete remotely their calendar year 15 See CDC, Travel During the COVID–19 2020 remote inspections remotely, but IEX is only Pandemic (stating in part, ‘‘Travel increases your 2021 inspection obligations under IEX seeking to permit temporary remote inspections for chance of getting and spreading COVID–19.... Rule 5.110(c) (Internal Inspections), calendar year 2021 because the applicable Delay travel and stay home to protect yourself and deadlines to complete the 2020 inspections have others from COVID–19.’’), https://www.cdc.gov/ without an on-site visit to the office or elapsed. 7 coronavirus/2019-ncov/travelers/travel-during- location. The proposed rule change 9 The proposed rule change will automatically covid19.html (updated February 16, 2021). sunset on December 31, 2021. If IEX seeks to extend 16 See, e.g., Government of the District of 4 15 U.S.C. 78s(b)(1). the duration of the temporary proposed rule beyond Columbia, Phase Two (June 22, 2020) (announcing 5 17 CFR 240.19b–4. December 31, 2021, IEX will submit a separate rule certain businesses to reopen and activities to 6 See IEX Rule 1.160(s). filing to further renew the temporary relief. resume under specified conditions and stating that 7 SEC and Financial Industry Regulatory 10 See IEX Rule 5.110(f)(1). anyone coming into Washington, DC from states Authority, Inc. (‘‘FINRA’’) staff have stated in 11 See IEX Rule 5.110(f)(2). specified as high-risk is required to self-quarantine guidance that inspections must include a physical, 12 See Centers for Disease Control and Prevention for 14 days), https://coronavirus.dc.gov/phasetwo on-site review component. See SEC National (‘‘CDC’’), International Classification of Diseases, (last visited March 2, 2021); New York Department Examination Risk Alert, Volume I, Issue 2 Tenth Revision, Clinical Modification, https:// of Health, Interim Guidance for Quarantine (November 30, 2011) and FINRA Regulatory Notice www.cdc.gov/nchs/data/icd/Announcement-New- Restrictions on Travelers Arriving in New York 11–54 (November 2011) (joint SEC and FINRA ICD-code-for-coronavirus-3-18-2020.pdf. See also State Following Out of State Travel (November 3,
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In recognition of the logistical representatives, FINRA understood that proposed Supplementary Material is not challenges firms were facing at that time beginning in or about March 2020, many intended to alter this core to satisfy their on-site inspection firms had suspended the on-site responsibility. The advent of technology obligations, FINRA adopted Rule component of their inspections and automation in the financial industry 3110.16 (Temporary Extension of Time scheduled for calendar year 2020. With has significantly changed the way in to Complete Office Inspections), no certainty as to when pandemic- which Members and their associated extending the time by which firms must related health concerns and restrictions persons conduct their business, complete their calendar year 2020 will subside, firms will have a communicate, and meet their regulatory inspection obligations under FINRA considerable backlog of 2020 obligations. IEX recognizes that Rule 3110(c) to March 31, 2021, but inspections. Moreover, planning on-site Members generally use an array of emphasizing that the extension of time inspections for calendar year 2021 for technological tools to facilitate their did not relieve firms from conducting OSJs, branch offices, and non-branch supervisory practices (e.g., surveillance the on-site portion of the inspections of locations in the current environment systems; electronic tracking programs or their OSJs, branch offices, and non- may be impacted as well. In light of applications; and electronic branch locations.17 As noted above, pandemic-related developments, IEX communications, including video FINRA thereafter adopted Rule 3110.17 believes further sensible and tailored conferencing tools), which many firms to allow for FINRA member firms to temporary relief is warranted for have leveraged to create and implement conduct calendar year 2020 inspections Members to meet their inspection remote inspection plans, on a temporary and calendar year 2021 inspections obligations under IEX Rule 5.110(c) for basis, in response to pandemic-related remotely, without an on-site visit to the calendar year 2021. operational challenges.21 office or location.18 IEX believes that proposed Proposed Supplementary Material .15 to Supplementary Material .15 to IEX Rule The acute health and safety concerns IEX Rule 5.110 related to COVID–19 persist, with the 5.110 would provide a sensibly tailored number of confirmed cases of COVID– In order to proactively address these regulatory alternative for Members to 19 in the U.S. continuing to increase concerns and to align its Supervision fulfill their obligations under IEX Rule since March 13, 2020.19 While Members rule with corresponding FINRA rules 5.110(c) that would not materially have continued to supervise OSJs, covered by its regulatory services diminish, and is reasonably designed to branch offices, and non-branch agreement with FINRA, IEX is achieve, the investor protection locations by, among other things, proposing to adopt Supplementary objectives of the inspection implementing remote supervisory Material .15. As proposed, requirements under these unique practices through novel uses of Supplementary Material .15 would circumstances. IEX further notes that technology as well as existing methods provide Members, subject to specified the proposed relief would be limited in of supervision (e.g., supervisory requirements therein, the option to duration to align with the extended date checklists, surveillance tools, incident conduct remotely the inspections of set forth under FINRA Rule 3110.16 of trackers, email review, and trade their OSJs, branch offices, and non- December 31, 2021 for calendar year exception reports),20 Members are still branch locations for any inspections to 2021 inspections.22 be conducted in calendar year 2021, experiencing logistical challenges without the requirement to conduct an A. Deadlines To Complete Calendar related to conducting the on-site portion on-site visit to such office or location. Year 2021 Inspections of their inspections due to continuing As described further below, the Currently, IEX Rule 5.110(c)(1) business and governmental restrictions proposed rule change would set forth provides that an inspection of an office and public health concerns. Based on feedback described in the dates by which inspections for or location must occur on a designated FINRA’s Regulatory Notice 20–16, in calendar year 2021 are due, the frequency, and the periodicity of the comment letters submitted in response requirement to amend or supplement required inspection varies depending on written supervisory procedures for to FINRA’s proposed rule changes, and the classification of the location or the remote inspections, the use of remote discussions with industry nature of the activities that take place. inspections as part of an effective OSJs and supervisory branch offices supervisory system, and documentation 2020), available at https:// must be inspected at least annually (on coronavirus.health.ny.gov/system/files/documents/ requirements. The Exchange believes a calendar-year basis); non-supervisory 2020/11/interm_guidance_travel_advisory.pdf (last this temporary remote inspection option branch offices, at least every three years; visited March 2, 2021); and Chicago Department of is a reasonable alternative to provide to and non-branch locations, on a periodic Public Health, Emergency Travel Order (issued July Members to fulfill their IEX Rule 2, 2020 and last updated February 23, 2021, schedule at least once every three years. requiring travelers from states and territories 5.110(c) obligations during these Proposed Supplementary Material meeting certain daily test metrics to test negative for pressing times, and is designed to .15(a) would provide that a Member that COVID–19 pre-arrival and quarantine for 10 days), achieve the investor protection is obligated to complete a 2021 https://www.chicago.gov/city/en/sites/covid-19/ objectives of the inspection inspection of an OSJ, branch office or home/emergency-travel-order.html. requirements under these unique 17 See Securities Exchange Act Release No. 89188 non-branch location, pursuant to the (June 30, 2020), 85 FR 40713 (July 7, 2020) (SR– circumstances. applicable periodicity set forth under FINRA–2020–19). In this rule filing, FINRA stated, The responsibility of Members to among other things, that FINRA would consider supervise their associated persons is a 21 See FINRA Regulatory Notice 20–16. See whether additional relief may be warranted to critical component of broker-dealer generally FINRA White Paper, ‘‘Technology Based address any backlog of 2020 inspections that may regulation. IEX Rule 5.110(a) requires Innovations for Regulatory Compliance (‘‘RegTech’’) continue to exist in light of ongoing public health in the Securities Industry’’ (September 2018) and safety concerns). that ‘‘[e]ach Member . . . establish and (reporting, among other things, that as financial 18 See supra note 8. maintain a system to supervise the services firms seek to keep pace with regulatory 19 See Johns Hopkins, Coronavirus Resource activities of each associated person that compliance requirements, they are turning to new Center, COVID–19 Dashboard by the Center for is reasonably designed to achieve and innovative regulatory tools to assist them in Systems Science and Engineering at Johns Hopkins meeting their obligations in an effective and University, https://coronavirus.jhu.edu/map.html compliance with applicable securities efficient manner), https://www.finra.org/sites/ (last visited March 2, 2021). laws and regulations, and with default/files/2018_RegTech_Report.pdf. 20 See FINRA Regulatory Notice 20–16. applicable IEX Rules . . . .’’ The 22 See supra note 8.
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IEX Rule 5.110(c)(1), may satisfy such To underscore the importance of this remote inspection of an office or obligation by conducting the applicable existing requirement in the context of location, like the traditional on-site inspection remotely, without an on-site remote inspections, proposed inspection, would be held to the same visit to the office or location subject to Supplementary Material .15(b) would standards for review as set forth under the other requirements set forth under expressly provide that consistent with a IEX Rule 5.110, Supplementary Material the proposed supplementary material. Member’s obligation under Rule .12 (Standards for Reasonable In addition, the proposed 5.110(b)(1), a Member that elects to Review).25 Further, in accordance with Supplementary Material would conduct its calendar year 2021 this obligation, proposed expressly provide that inspections for inspections remotely must amend or Supplementary Material .15(c) would calendar year 2021 must be completed supplement its written supervisory provide that where a Member’s remote on or before December 31, 2021. IEX procedures to provide for remote inspection of an office or location believes that providing firms with the inspections that are reasonably designed identifies any indicators of irregularities option to satisfy the inspection to assist in detecting and preventing or misconduct (i.e., ‘‘red flags’’),26 the component of IEX Rule 5.110(c) violations of and achieving compliance Member may need to impose additional remotely would enable firms to finish with applicable securities laws and supervisory procedures for that office or their calendar year 2021 inspections on regulations, and with applicable IEX location, or may need to provide for or before December 31, 2021, rules. As proposed by the Exchange, more frequent monitoring or oversight particularly given the uncertainty reasonably designed procedures for of that office or location, or both, surrounding planning inspections at conducting remote inspection of offices including potentially a subsequent this time. Further, proposed or locations should include, among physical, on-site visit on an announced Supplementary Material .15(a) would other things, a description of the methodology, including technologies 25 IEX Rule 5.110, Supplementary Material .12 affirm that a Member would remain provides: ‘‘In fulfilling its obligations under IEX subject to the other requirements of IEX permitted by the member, that may be used to conduct remote inspections. In Rule 5.110(c), each Member must conduct a review, Rule 5.110(c).23 at least annually, of the businesses in which it addition, such procedures should engages. The review must be reasonably designed B. Written Supervisory Procedures for include the use of other risk-based to assist in detecting and preventing violations of Remote Inspections systems employed generally by the and achieving compliance with applicable securities laws and regulations and with IEX rules. Member to identify and prioritize for Each Member shall establish and maintain IEX Rule 5.110(a) requires that review those areas that pose the greatest supervisory procedures that must take into Members establish and maintain a risk of potential violations of applicable consideration, among other things, the firm’s size, supervisory system that is tailored securities laws and regulations, and of organizational structure, scope of business specifically to the member firm’s applicable IEX rules.24 activities, number and location of the firm’s offices, business and addresses the activities of the nature and complexity of the products and C. An Effective Supervisory System services offered by the firm, the volume of business all its associated persons. The Rule done, the number of associated persons assigned to requires that a Member’s supervisory Internal inspections are a critical a location, the disciplinary history of registered system shall include a number of component of a Member’s fundamental representatives or associated persons, and any obligation under IEX Rule 5.110 to indicators of irregularities or misconduct (i.e., ‘red elements, including ‘‘[t]he flags’), etc. The procedures established and reviews establishment and maintenance of establish and maintain a system to conducted must provide that the quality of written procedures required by this IEX supervise the activities of each supervision at remote locations is sufficient to Rule 5.110 . . . .’’ Under IEX Rule associated person that is reasonably ensure compliance with applicable securities laws designed to achieve compliance with and regulations and with IEX rules. A Member must 5.110(b) (Written Procedures) a Member be especially diligent in establishing procedures must establish, maintain, and enforce applicable securities laws and and conducting reasonable reviews with respect to written procedures to supervise the regulations, and with applicable IEX a non-branch location where a registered types of business in which it engages rules. Proposed Supplementary Material representative engages in securities activities. Based .15(c) would expressly affirm this on the factors outlined above, Members may need and the activities of its associated to impose reasonably designed supervisory persons that are reasonably designed to principle that: (i) The requirement to procedures for certain locations or may need to achieve compliance with applicable conduct inspections of offices and provide for more frequent reviews of certain securities laws and regulations, and locations is one part of the Member’s locations.’’ with applicable IEX rules. overall ongoing obligation to have an 26 Red flags that suggest the increased risk or effective supervisory system; and (ii) a occurrence of violations may include, among other events: Customer complaints; an unexplained 23 In addition to requiring firms to conduct Member must continue with its reviews increase or change in the types of investments or inspections of their offices and locations on a of the activities and functions occurring trading concentration that a representative is designated frequency, IEX Rule 5.110(c) generally at all offices and locations, whether or recommending or trading; an unexpected requires a member to retain a written record of the not such offices or locations are due for improvement in a representative’s production, date upon which each review and inspection lifestyle, or wealth; questionable or frequent occurred, reduce a location’s inspection to a written an inspection under IEX Rule 5.110(c) transfers of cash or securities between customer or report and keep each inspection report on file either in a given year or the Member’s election third party accounts, or to or from the for a minimum of three years or, if the location’s to conduct such inspections remotely. representative; a representative that serves as a inspection schedule is longer than three years, until In addition, under the proposed power of attorney, trustee or in a similar capacity the next inspection report has been written. If for a customer or has discretionary control over a applicable to the location being inspected, the Supplementary Material, a Member’s customer’s account(s); representative with inspection report must include, without limitation, disciplinary records; customer investments in one the testing and verification of the member’s policies 24 Offices or locations that may present a higher or a few securities or class of securities that is and procedures, including supervisory policies and risk profile would include, for example, those that inconsistent with firm policies related to such procedures, in specified areas. See IEX Rule have associated persons engaging in activities that investments; churning; trading that is inconsistent 5.110(c)(2). In addition, to prevent compromising involve handling customer funds or securities, with customer objectives; numerous trade the effectiveness of inspections due to conflicts of maintaining books and records as described under corrections, extensions, liquidations; or significant interest, IEX Rule 5.110(c)(3)(B) requires a Member applicable federal securities laws and IEX rules, switching activity of mutual funds or variable to ensure that the person conducting the inspection order execution or other activities that may be more products held for short time periods. See generally is not an associated person assigned to the location susceptible to higher risks of operational or sales SEC Division of Market Regulation, Staff Legal or is not directly or indirectly supervised by, or practice wrongdoing, or have associated persons Bulletin No. 17: Remote Office Supervision (March otherwise reporting to, an associated person assigned to an office or location who may be subject 19, 2004); see also FINRA Regulatory Notices 98– assigned to that location. to additional or heightened supervisory procedures. 38 and 99–45.
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or unannounced basis when the objectives changes, and validation of continue to monitor the situation and Member’s operational difficulties such changes. In addition to the engage with Members, other financial associated with COVID–19 meetings requirements under IEX Rule regulators, and governmental authorities abate, nationally or locally as relevant, 5.110(c)(2), proposed Supplementary to determine whether further regulatory and the challenges the Member is facing Material .15(d) would require relief or guidance related to IEX Rule in light of the public health and safety supplemental documentation by a 5.110(c) may be appropriate. concerns make such physical, on-site Member that avails itself of the remote In addition, during the time that visits feasible, using reasonable best inspection option. The Member must proposed Supplementary Material .15 efforts. Finally, to underscore the maintain and preserve a centralized remains in effect, IEX will closely limited duration of proposed record for calendar year 2021 that monitor the effectiveness of remote supplementary material expressly states separately identifies: (1) All offices or inspections and their impacts—positive that the temporary relief would not locations that had inspections that were or negative—on Members’ overall extend to a Member’s inspection conducted remotely; and (2) any offices supervisory systems to assess whether requirements beyond calendar year 2021 or locations that the Member to propose to make permanent a remote and that such inspections must be determined to impose additional inspection option for some or all conducted in compliance with IEX Rule supervisory procedures or more locations that would not materially 5.110(c). frequent monitoring, as provided in diminish, and is reasonably designed to Supplementary Material .15(c). A achieve, the investor protection D. Documentation Requirement Member’s documentation of the results objectives underpinning the In general, IEX Rule 5.110(c)(2) of a remote inspection for an office or requirement to inspect branch offices or describes the documentation location must identify any additional locations in accordance with IEX Rule requirements associated with supervisory procedures or more 5.110(c). conducting internal inspections. The frequent monitoring for that office or IEX has filed the proposed rule rule requires a member to reduce the location that were imposed as a result change for immediate effectiveness and inspection and review conducted under of the remote inspection. IEX believes has requested that the SEC waive the IEX Rule 5.110(c)(1) to a written report that this documentation requirement requirement that the proposed rule and specifies how long the member would help readily distinguish the change not become operative for 30 days must keep the report on file.27 If offices and locations that underwent after the date of the filing, so IEX can applicable to the location being remote inspections and their attendant implement the proposed rule change inspected, IEX Rule 5.110(c)(2)(A) supervisory procedures, and their more immediately. specifies that the inspection report must frequent monitoring, as applicable. IEX 2. Statutory Basis include, without limitation, the testing notes that even in the current and verification of the member’s environment, Members have an ongoing IEX believes that the proposed rule policies and procedures, including obligation to establish and maintain a change is consistent with the provisions supervisory policies and procedures for: system to supervise the activities of of Section 6(b) 29 of the Act in general, (i) Safeguarding of customer funds and their associated persons that is and furthers the objectives of Section securities; (ii) maintaining books and reasonably designed to achieve 6(b)(5) of the Act 30 in particular, in that records; (iii) supervision of supervisory compliance with applicable securities it is designed to prevent fraudulent and personnel; (iv) transmittals of funds laws and regulations, and with manipulative acts and practices, to from customers to third party accounts, applicable IEX rules. IEX emphasizes promote just and equitable principles of from customer accounts to outside that its proposed rule change is not trade, to remove impediments to and entities, from customer accounts to intended to lessen the core obligations perfect the mechanism of a free and locations other than a customer’s prescribed under IEX Rule 5.110. IEX open market and a national market primary residence, and between believes that proposed Supplementary system, and, in general, to protect customers and registered Material .15, which would permit firms investors and the public interest. The representatives, including the hand to remotely inspect, subject to specified Exchange’s rule proposal is intended to delivery of checks; and (v) changes of requirements described above, their harmonize IEX’s supervision rules, customer account information, offices and locations for any calendar specifically with respect to the including address and investment year 2021 inspections, instead of an on- requirements for inspections of site visit to the office or location would Members’ branch offices and other 27 In addition to requiring Members to conduct provide Members a way to comply with locations, with those of FINRA, on inspections of their offices and locations on a IEX Rule 5.110(c) that would not which they are based. Consequently, the designated frequency, IEX Rule 5.110(c) generally materially diminish, and is reasonably proposed change will conform the requires a Member to retain a written record of the date upon which each review and inspection designed to achieve, the investor Exchange’s rules to changes made to occurred, reduce a location’s inspection to a written protection objectives of the inspection corresponding FINRA rules, thus report and keep each inspection report on file either requirements under these unique promoting application of consistent for a minimum of three years or, if the location’s circumstances. IEX notes that potential regulatory standards with respect to inspection schedule is longer than three years, until the next inspection report has been written. If risks that may arise from providing rules that FINRA enforces pursuant to applicable to the location being inspected, the Members the option to conduct their its regulatory services agreement with inspection report must include, without limitation, inspections remotely are mitigated by the Exchange. the testing and verification of the member’s policies Members’ use of technology to meet In recognition of the impact of and procedures, including supervisory policies and their supervisory obligations on an COVID–19 on performing on-site procedures, in specified areas. See IEX Rule 5.110(c)(2). In addition, to prevent compromising ongoing basis, the unique circumstances inspections, the proposed rule change is the effectiveness of inspections due to conflicts of under which they are operating, and the intended to provide firms a temporary interest, the rule requires a Member to ensure that temporary nature of proposed rule regulatory option to conduct inspections the person conducting the inspection is not an change, which would remain in place of offices and locations remotely for associated person assigned to the location or is not 28 directly or indirectly supervised by, or otherwise through December 31, 2021. IEX will reporting to, an associated person assigned to that 29 15 U.S.C. 78f. location. See IEX Rule 5.110(c)(3). 28 See supra note 9. 30 15 U.S.C. 78f(b)(5).
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calendar year 2021 inspections. This Commission may designate, it has business days between the hours of proposed supplementary material does become effective pursuant to Section 10:00 a.m. and 3:00 p.m. Copies of the not relieve firms from meeting the core 19(b)(3)(A) of the Act and Rule 19b– filing will also be available for regulatory obligation to establish and 4(f)(6) thereunder. inspection and copying at the IEX’s maintain a system to supervise the At any time within 60 days of the principal office and on its internet activities of each associated person that filing of the proposed rule change, the website at www.iextrading.com. All is reasonably designed to achieve Commission summarily may comments received will be posted compliance with applicable securities temporarily suspend such rule change if without change. Persons submitting laws and regulations, and with it appears to the Commission that such comments are cautioned that we do not applicable IEX rules that directly serve action is necessary or appropriate in the redact or edit personal identifying investor protection. In a time when public interest, for the protection of information from comment submissions. faced with unique challenges resulting investors, or otherwise in furtherance of You should submit only information from the COVID–19 pandemic, IEX the purposes of the Act. If the that you wish to make available believes that the proposed rule change Commission takes such action, the publicly. All submissions should refer provides sensibly tailored relief that Commission shall institute proceedings to File Number SR–IEX–2021–09 and will afford firms the ability to observe under Section 19(b)(2)(B) 33 of the Act to should be submitted on or before July the recommendations of public health determine whether the proposed rule 19, 2021. officials to provide for the health and change should be approved or For the Commission, by the Division of safety of their personnel, while disapproved. Trading and Markets, pursuant to delegated 34 continuing to serve and promote the IV. Solicitation of Comments authority. protection of investors and the public J. Matthew DeLesDernier, Interested persons are invited to interest. Assistant Secretary. submit written data, views and B. Self-Regulatory Organization’s arguments concerning the foregoing, [FR Doc. 2021–13652 Filed 6–25–21; 8:45 am] Statement on Burden on Competition including whether the proposed rule BILLING CODE 8011–01–P IEX does not believe that the change is consistent with the Act. proposed rule change will result in any Comments may be submitted by any of SECURITIES AND EXCHANGE burden on competition that is not the following methods: COMMISSION necessary or appropriate in furtherance Electronic Comments [Release No. 34–92230; File No. SR–BX– of the purposes of the Act. The • proposed rule change is not designed to Use the Commission’s internet 2021–028] comment form (http://www.sec.gov/ address any competitive issue but to Self-Regulatory Organizations; Nasdaq align the Exchange’s rules with those of rules/sro.shtml); or • Send an email to rule-comments@ BX, Inc.; Notice of Filing and FINRA, which will assist FINRA in its Immediate Effectiveness of Proposed oversight work done pursuant to a sec.gov. Please include File Number SR– IEX–2021–09 on the subject line. Rule Change To Amend the regulatory services agreement with IEX. Exchange’s Transaction Fees, at The proposed rule change will also Paper Comments Equity 7, Section 118(e) provide for consistent application of the • Send paper comments in triplicate Exchange’s supervision rules with those to Secretary, Securities and Exchange June 22, 2021. of FINRA, on which they are based. Commission, 100 F Street NE, Pursuant to Section 19(b)(1) of the Consequently, the Exchange does not Washington, DC 20549–1090. Securities Exchange Act of 1934 believe that the proposed change (‘‘Act’’) 1, and Rule 19b–4 thereunder,2 All submissions should refer to File implicates competition at all. notice is hereby given that on June 10, Number SR–IEX–2021–09. This file 2021, Nasdaq BX, Inc. (‘‘BX’’ or C. Self-Regulatory Organization’s number should be included in the ‘‘Exchange’’) filed with the Securities Statement on Comments on the subject line if email is used. To help the and Exchange Commission (‘‘SEC’’ or Proposed Rule Change Received From Commission process and review your ‘‘Commission’’) the proposed rule Members, Participants, or Others comments more efficiently, please use change as described in Items I, II, and only one method. The Commission will Written comments on the proposed III, below, which Items have been post all comments on the Commission’s rule change were neither solicited nor prepared by the Exchange. The internet website (http://www.sec.gov/ received. Commission is publishing this notice to rules/sro.shtml). Copies of the solicit comments on the proposed rule III. Date of Effectiveness of the submission, all subsequent change from interested persons. Proposed Rule Change and Timing for amendments, all written statements Commission Action with respect to the proposed rule I. Self-Regulatory Organization’s The Exchange has designated this rule change that are filed with the Statement of the Terms of Substance of filing as non-controversial under Commission, and all written the Proposed Rule Change Section 19(b)(3)(A) 31 of the Act and communications relating to the The Exchange proposes to amend the Rule 19b–4(f)(6) 32 thereunder. Because proposed rule change between the Exchange’s transaction fees, at Equity 7, the proposed rule change does not: (i) Commission and any person, other than Section 118(e), as described further Significantly affect the protection of those that may be withheld from the below. investors or the public interest; (ii) public in accordance with the The text of the proposed rule change impose any significant burden on provisions of 5 U.S.C. 552, will be is available on the Exchange’s website at competition; and (iii) become operative available for website viewing and https://listingcenter.nasdaq.com/ for 30 days from the date on which it printing in the Commission’s Public rulebook/bx/rules, at the principal office was filed, or such shorter time as the Reference Section, 100 F Street NE, Washington, DC 20549, on official 34 17 CFR 200.30–3(a)(12). 31 15 U.S.C. 78s(b)(3)(A). 1 15 U.S.C. 78s(b)(1). 32 17 CFR 240.19b–4(f)(6). 33 15 U.S.C. 78s(b)(2)(B). 2 17 CFR 240.19b–4.
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of the Exchange, and at the share executed for all other RPI Orders intervention in determining prices, Commission’s Public Reference Room. that provide liquidity. The Exchange products, and services in the securities hopes that the proposed lower fee will markets. In Regulation NMS, while II. Self-Regulatory Organization’s encourage member organizations to adopting a series of steps to improve the Statement of the Purpose of, and increase liquidity providing activity on current market model, the Commission Statutory Basis for, the Proposed Rule RPI Orders on the Exchange. If the highlighted the importance of market Change proposal is effective in achieving this forces in determining prices and SRO In its filing with the Commission, the purpose, then the quality of the revenues and, also, recognized that Exchange included statements Exchange’s market will improve, current regulation of the market system concerning the purpose of and basis for particularly with respect to RPI and ‘‘has been remarkably successful in the proposed rule change and discussed retail orders to the benefit of all promoting market competition in its any comments it received on the participants, especially those who broader forms that are most important to proposed rule change. The text of these submit RPI and Retail Orders. investors and listed companies.’’ 8 statements may be examined at the Numerous indicia demonstrate the places specified in Item IV below. The 2. Statutory Basis competitive nature of this market. For Exchange has prepared summaries, set The Exchange believes that its example, clear substitutes to the forth in sections A, B, and C below, of proposal is consistent with Section 6(b) Exchange exist in the market for equity the most significant aspects of such of the Act,5 in general, and furthers the security transaction services. The statements. objectives of Sections 6(b)(4) and 6(b)(5) Exchange is only one of several equity of the Act,6 in particular, in that it A. Self-Regulatory Organization’s venues to which market participants provides for the equitable allocation of Statement of the Purpose of, and may direct their order flow, and it reasonable dues, fees and other charges Statutory Basis for, the Proposed Rule represents a small percentage of the among members and issuers and other Change overall market. It is also only one of persons using any facility, and is not several taker-maker exchanges. 1. Purpose designed to permit unfair Competing equity exchanges offer The Exchange operates on the ‘‘taker- discrimination between customers, similar tiered pricing structures to that maker’’ model, whereby it generally issuers, brokers, or dealers. The of the Exchange, including schedules of pays credits to members that take proposal is also consistent with Section rebates and fees that apply based upon liquidity and charges fees to members 11A of the Act relating to the members achieving certain volume that provide liquidity. Currently, the establishment of the national market thresholds.9 Exchange has a schedule, at Equity 7, system for securities. Within this environment, market participants can freely and often do shift Section 118(e), which consists of several The Proposal Is Reasonable and Is an their order flow among the Exchange different credits and fees for Retail Equitable Allocation of Charges Orders 3 and Retail Price Improvement and competing venues in response to The Exchange’s proposed change to Orders 4 under Rule 4780 (Retail Price changes in their respective pricing its schedule of credits and charges is 10 Improvement Program). schedules. Within the foregoing Currently, the Exchange charges a fee reasonable in several respects. As a context, the proposal represents a of $0.0025 per share executed for RPI threshold matter, the Exchange is reasonable attempt by the Exchange to Orders that provide liquidity. The subject to significant competitive forces increase its market share relative to its Exchange proposes to adopt a new fee in the market for equity securities competitors. of $0.0018 per share executed for RPI transaction services that constrain its The Exchange believes it is reasonable Orders entered by a member that (i) pricing determinations in that market. and equitable to adopt a new $0.0018 quotes Retail Price Improvement Orders The fact that this market is competitive per share executed fee for RPI Orders in at least 2,500 symbols on average per has long been recognized by the courts. entered by a member that (i) quotes day and (ii) provides liquidity through In NetCoalition v. Securities and Retail Price Improvement Orders in at Retail Price Improvement Orders equal Exchange Commission, the D.C. Circuit least 2,500 symbols on average per day to or exceeding an average daily volume stated as follows: ‘‘[n]o one disputes and (ii) provides liquidity through of 2,500,000 shares. The Exchange will that competition for order flow is Retail Price Improvement Orders equal continue to charge a fee of $0.0025 per ‘fierce.’ . . . As the SEC explained, ‘[i]n to or exceeding an average daily volume the U.S. national market system, buyers of 2,500,000 shares. As discussed above, 3 Retail Orders shall mean an order type with a and sellers of securities, and the broker- the Exchange’s goal is to increase Non-Display Order Attribute submitted to the dealers that act as their order-routing liquidity adding activity in RPI Orders Exchange by a Retail Member Organization (as agents, have a wide range of choices of on its platform. It is reasonable and defined in Rule 4780). A Retail Order must be an where to route orders for execution’; equitable to address this need by agency Order, or riskless principal Order that satisfies the criteria of FINRA Rule 5320.03. The [and] ‘no exchange can afford to take its Retail Order must reflect trading interest of a market share percentages for granted’ 8 Securities Exchange Act Release No. 51808 natural person with no change made to the terms because ‘no exchange possesses a (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005) of the underlying order of the natural person with monopoly, regulatory or otherwise, in (‘‘Regulation NMS Adopting Release’’). respect to price (except in the case of a market order 9 See CBOE BYX Fee Schedule, at http:// that is changed to a marketable limit order) or side the execution of order flow from broker markets.cboe.com/us/equities/membership/fee_ 7 of market and that does not originate from a trading dealers’ ....’’ schedule/byx/; NYSE National Fee Schedule, at algorithm or any other computerized methodology. The Commission and the courts have https://www.nyse.com/publicdocs/nyse/regulation/ See Rule 4702(b)(6). repeatedly expressed their preference nyse/NYSE_National_Schedule_of_Fees.pdf. 4 Retail Price Improving (‘‘RPI’’) Orders shall for competition over regulatory 10 The Exchange perceives no regulatory, mean an Order Type with a Non-Display Order structural, or cost impediments to market Attribute that is held on the Exchange Book in order participants shifting order flow away from it. In to provide liquidity at a price at least $0.001 better 5 15 U.S.C. 78f(b). particular, the Exchange notes that these examples than the NBBO through a special execution process 6 15 U.S.C. 78f(b)(4) and (5). of shifts in liquidity and market share, along with described in Rule 4780. A Retail Price Improving 7 NetCoalition v. SEC, 615 F.3d 525, 539 (D.C. Cir. many others, have occurred within the context of Order may be entered in price increments of $0.001. 2010) (quoting Securities Exchange Act Release No. market participants’ existing duties of Best RPI Orders collectively may be referred to as ‘‘RPI 59039 (December 2, 2008), 73 FR 74770, 74782–83 Execution and obligations under the Order Interest.’’ See Rule 4702(b)(5). (December 9, 2008) (SR–NYSEArca–2006–21)). Protection Rule under Regulation NMS.
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providing a lower fee to member Member organizations may modify their to and among off-exchange venues organizations that meet the proposed businesses so that they can meet the which comprised more than 40% of thresholds as an incentive for them to required thresholds and pay lower industry volume in recent months. increase their liquidity activity in RPI charges. Moreover, members are free to In sum, the Exchange intends for the Orders on the Exchange. If the proposal trade on other venues to the extent they proposed change to its fees for RPI is effective in achieving this purpose, believe that the fees assessed, and Orders, in the aggregate, to increase then the quality of the Exchange’s credits provided, are not attractive. As member incentives to engage in the market will improve, particularly with one can observe by looking at any addition of liquidity on the Exchange. If respect to RPI and Retail orders to the market share chart, price competition the additional fee proposed herein is benefit of all participants, especially between exchanges is fierce, with unattractive to market participants, it is those who submit RPI and Retail Orders. liquidity and market share moving likely that the Exchange will lose freely between exchanges in reaction to market share as a result. Accordingly, The Proposed Fee Is Not Unfairly fee and credit changes. The Exchange the Exchange does not believe that the Discriminatory notes that the tier structure is consistent proposed changes will impair the ability The Exchange believes that the with broker-dealer fee practices as well of members or competing order proposal is not unfairly discriminatory. as the other industries, as described execution venues to maintain their As an initial matter, the Exchange above. competitive standing in the financial believes that nothing about its volume- markets. based tiered pricing model is inherently Intermarket Competition unfair; instead, it is a rational pricing The Exchange believes that its C. Self-Regulatory Organization’s Statement on Comments on the model that is well-established and proposed modifications to its schedule Proposed Rule Change Received From ubiquitous in today’s economy among of credits and charges will not impose Members, Participants, or Others firms in various industries—from co- a burden on competition because the branded credit cards to grocery stores to Exchange’s execution services are No written comments were either cellular telephone data plans—that use completely voluntary and subject to solicited or received. it to reward the loyalty of their best extensive competition from the other III. Date of Effectiveness of the customers that provide high levels of live exchanges and from off-exchange Proposed Rule Change and Timing for business activity and incent other venues, which include alternative Commission Action customers to increase the extent of their trading systems that trade national business activity. It is also a pricing market system stock. The Exchange The foregoing rule change has become notes that it operates in a highly effective pursuant to Section model that the Exchange and its 11 competitors have long employed with competitive market in which market 19(b)(3)(A)(ii) of the Act. At any time within 60 days of the the assent of the Commission. It is fair participants can readily favor competing filing of the proposed rule change, the because it incentivizes customer activity venues if they deem fee levels at a Commission summarily may that increases liquidity, enhances price particular venue to be excessive, or temporarily suspend such rule change if discovery, and improves the overall rebate opportunities available at other it appears to the Commission that such quality of the equity markets. venues to be more favorable. In such an The Exchange intends for its proposal environment, the Exchange must action is: (i) Necessary or appropriate in the public interest; (ii) for the protection to improve market quality for all continually adjust its fees to remain of investors; or (iii) otherwise in members that submit RPI and Retail competitive with other exchanges and furtherance of the purposes of the Act. Orders on the Exchange and by with alternative trading systems that If the Commission takes such action, the extension attract more liquidity to the have been exempted from compliance Commission shall institute proceedings market, improving market wide quality with the statutory standards applicable to determine whether the proposed rule and price discovery. Although net to exchanges. Because competitors are should be approved or disapproved. adders of liquidity for RPI Orders will free to modify their own fees in benefit most from the proposal, this response, and because market IV. Solicitation of Comments participants may readily adjust their result is fair insofar as increased Interested persons are invited to order routing practices, the Exchange liquidity adding activity in RPI Orders submit written data, views, and believes that the degree to which fee will help to improve market quality and arguments concerning the foregoing, changes in this market may impose any the attractiveness of the Nasdaq BX including whether the proposed rule burden on competition is extremely market to all existing and prospective change is consistent with the Act. retail participants. limited. The proposed charge for adding Comments may be submitted by any of B. Self-Regulatory Organization’s liquidity is reflective of this competition the following methods: Statement on Burden on Competition because, as a threshold issue, the Electronic Comments The Exchange does not believe that Exchange is a relatively small market so • Use the Commission’s internet the proposed rule change will impose its ability to burden intermarket comment form (http://www.sec.gov/ any burden on competition not competition is limited. In this regard, rules/sro.shtml); or necessary or appropriate in furtherance even the largest U.S. equities exchange • Send an email to rule-comments@ of the purposes of the Act. by volume has less than 17–18% market sec.gov. Please include File Number SR– share, which in most markets could BX–2021–028 on the subject line. Intramarket Competition hardly be categorized as having enough The Exchange does not believe that its market power to burden competition. Paper Comments proposal will place any category of Moreover, as noted above, price • Send paper comments in triplicate Exchange participant at a competitive competition between exchanges is to Secretary, Securities and Exchange disadvantage. As noted above, all fierce, with liquidity and market share Commission, 100 F Street NE, member organizations of the Exchange moving freely between exchanges in Washington, DC 20549–1090. will benefit from any increase in market reaction to fee and credit changes. This activity that the proposal effectuates. is in addition to free flow of order flow 11 15 U.S.C. 78s(b)(3)(A)(ii).
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All submissions should refer to File 2021, Nasdaq MRX, LLC (‘‘MRX’’ or measured by the bid in the underlying Number SR–BX–2021–028. This file ‘‘Exchange’’) filed with the Securities security, and in the case of puts, parity is number should be included on the and Exchange Commission measured by the offer in the underlying subject line if email is used. To help the (‘‘Commission’’) the proposed rule security. (2) The $0.25 amount above may be Commission process and review your change as described in Items I, II, and increased, or the provisions of this Rule may comments more efficiently, please use III, below, which Items have been be waived, by the Exchange on a series-by- only one method. The Commission will prepared by the Exchange. The series basis. Commission is publishing this notice to post all comments on the Commission’s This proposed rule text also solicit comments on the proposed rule internet website (http://www.sec.gov/ previously existed on Cboe Exchange, rules/sro.shtml). Copies of the change from interested persons. Inc. within prior Rule 8.7 4 and was submission, all subsequent I. Self-Regulatory Organization’s removed from Cboe’s Rulebook in amendments, all written statements Statement of the Terms of Substance of 2019.5 The Exchange likewise desires to with respect to the proposed rule the Proposed Rule Change remove this restriction on Market change that are filed with the The Exchange proposes to amend Makers which does not exist on Cboe or Commission, and all written 6 Options 2, Section 4, Obligations of other Nasdaq affiliated markets. The communications relating to the proposed rule text is currently waived proposed rule change between the Market Makers. The Exchange also proposes to add a new Options 4C. on MRX pursuant to Options 2, Section Commission and any person, other than 4(a)(2). The Exchange proposes to those that may be withheld from the The text of the proposed rule change is available on the Exchange’s website at remove this rule text from Options 2, public in accordance with the Section 4 as the Exchange does not provisions of 5 U.S.C. 552, will be https://listingcenter.nasdaq.com/ rulebook/MRX/rules, at the principal desire to enforce this provision in the available for website viewing and future. The Exchange believes that this printing in the Commission’s Public office of the Exchange, and at the Commission’s Public Reference Room. market maker provision is no longer Reference Room, 100 F Street NE, necessary. Today, MRX incentivizes Washington, DC 20549, on official II. Self-Regulatory Organization’s Market Makers through allocation 7 to business days between the hours of Statement of the Purpose of, and quote tightly in their assigned options 10:00 a.m. and 3:00 p.m. Copies of the Statutory Basis for, the Proposed Rule series. Primary Market Makers and filing also will be available for Change Competitive Market Makers also have inspection and copying at the principal other obligations with respect to market office of the Exchange. All comments In its filing with the Commission, the making 8 in addition to other quoting received will be posted without change. Exchange included statements Persons submitting comments are concerning the purpose of and basis for the proposed rule change and discussed 4 Prior Interpretation and Policy .02 to Rule 8.7 cautioned that we do not redact or edit provided, ‘‘Market-Makers are expected ordinarily personal identifying information from any comments it received on the to refrain from purchasing a call option or a put comment submissions. You should proposed rule change. The text of these option at a price more than $0.25 below parity, submit only information that you wish statements may be examined at the although a larger amount may be appropriate places specified in Item IV below. The considering the particular market conditions. In the to make available publicly. All case of calls, parity is measured by the bid in the submissions should refer to File Exchange has prepared summaries, set underlying security, and in the case of puts, parity Number SR–BX–2021–028 and should forth in sections A, B, and C below, of is measured by the offer in the underlying security. be submitted on or before July 19, 2021. the most significant aspects of such The $0.25 amount above may be increased, or the statements. provisions of this Interpretation may be waived, by For the Commission, by the Division of the Exchange on a series-by-series basis.’’ Trading and Markets, pursuant to delegated A. Self-Regulatory Organization’s 5 Cboe’s rule change merely noted, with respect authority.12 to the removal of Cboe’s parity rule, that the filing Statement of the Purpose of, and makes non-substantive changes to the rule J. Matthew DeLesDernier, Statutory Basis for, the Proposed Rule governing a Market-Maker’s general obligations Assistant Secretary. Change (current Rule 8.7, in part), most of which remove [FR Doc. 2021–13657 Filed 6–25–21; 8:45 am] redundant provisions that are already covered 1. Purpose under the umbrella of a Market-Maker’s obligation BILLING CODE 8011–01–P to engage in dealing to maintain fair and orderly The Exchange proposes to amend markets. No specific argument is provided with Options 2, Section 4, Obligations of respect to removing this provision. See Securities SECURITIES AND EXCHANGE Market Makers. The Exchange also Exchange Act 87024 (September 19, 2019), 84 FR COMMISSION proposes to add a new Options 4C. 50545 (September 25, 2019) (SR–CBOE–2019–059) (Notice of Filing and Immediate Effectiveness of a [Release No. 34–92229; File No. SR–MRX– Options 2, Section 4(a) Proposed Rule Change To Amend Certain Rules 2021–07] Relating To Market-Makers Upon Migration to the The Exchange proposes to remove the Trading System Used by Cboe Affiliated following rule text from Options 2, Exchanges). Self-Regulatory Organizations; Nasdaq 6 See Nasdaq Phlx LLC, The Nasdaq Options MRX, LLC; Notice of Filing and Section 4(a), which has been in place 3 Market LLC and Nasdaq BX, Inc. at Options 2, Immediate Effectiveness of Proposed since MRX’s inception: Section 4 (Obligations of Market Makers). Rule Change to Options 2, Section 4 . . . Ordinarily, Market Makers are expected 7 See Options 3, Section 10 (Priority of Quotes (Obligations of Market Makers) to: and Orders). Primary Market Makers are offered an (1) Refrain from purchasing a call option or enhanced allocation provided the Primary Market June 22, 2021. a put option at a price more than $0.25 below Maker is quoting at same price as a non- Priority parity, although a larger amount may be Customer Order or Market Maker quote. Pursuant to Section 19(b)(1) of the 8 appropriate considering the particular market See Options 2, Section 4. MRX Market Makers Securities Exchange Act of 1934 must for example: (1) Compete with other Market conditions. In the case of calls, parity is (‘‘Act’’),1 and Rule 19b–4 thereunder,2 Makers to improve the market in all series of notice is hereby given that on June 15, options classes to which the Market Maker is 3 See Securities Exchange Act Release No. 70050 appointed; (2) make markets that, absent changed (July 26, 2013), 78 FR 46622 (August 1, 2013) market conditions, will be honored for the number 12 17 CFR 200.30–3(a)(12). (Application of Topaz Exchange, LLC for of contracts entered into the Exchange’s System in 1 15 U.S.C. 78s(b)(1). Registration as a National Securities Exchange; all series of options classes to which the Market 2 17 CFR 240.19b–4. Findings, Opinion, and Order of the Commission). Continued
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obligations 9 that they must abide by ISE Options 4A, Section 12(b)(i).14 The in particular, in that it is designed to when quoting on MRX. Also, since the ISE Rule Change added citations to promote just and equitable principles of adoption of the rule, the Exchange has Options 2, Section 4(b)(4)(iii) to ISE trade, to remove impediments to and adopted the obvious error rule 10 which Options 4, Section 8(a) and ISE Options perfect the mechanism of a free and permits the Exchange to review a 4A, Section 12(b)(i). The ISE Rule open market and a national market transaction as potentially erroneous Change indicated that ISE believes system, and, in general to protect based on a theoretical price. Also, MRX relocating the bid/ask differentials to investors and the public interest. orders are subject to trade-through Options 2, Section 4(b)(4)(iii) will compliance, thereby limiting the prices provide Primary Market Makers and Options 2, Section 4(a) at which orders may execute.11 Market Competitive Market Makers with The Exchange’s proposal to remove Makers are relied upon to provide centralized information regarding their liquidity on MRX, which benefits other bid/ask differential requirements. certain rule text from Options 2, Section Members who have the opportunity to 4(a) that refrains Market Makers from Business Continuity and Disaster interact with the order flow. The purchasing a call option or a put option Recovery Plan Exchange believes that the obligation to at a price more than $0.25 below parity refrain from purchasing a call option or The Exchange proposes to relocate is consistent with the Act. The a put option at a price more than $0.25 Supplementary Material .02 to Options Exchange desires to remove this below parity places yet another 2, Section 4, concerning business restriction on Market Makers which obligation on MRX Market Makers that continuity and disaster recovery plans, does not exist on Cboe or other Nasdaq is not required on Cboe or other Nasdaq to General 2, Section 12, which is affiliated markets.19 The proposed rule markets. The Exchange believes that this currently reserved. The Exchange text is currently waived on MRX additional obligation is not necessary to proposes to title General 2, Section 12 pursuant to Options 2, Section 4(a)(2). maintain fair and orderly markets and as ‘‘Business Continuity and Disaster The Exchange believes that this market notes the Exchange has waived this Recovery Plan Testing Requirements for maker provision is no longer necessary. obligation. Members Pursuant to Regulation SCI.’’ Today, MRX incentivizes Market The rule text is being relocated without 20 Bid/Ask Differentials Makers through allocation to quote change. The Exchange proposes to tightly in their assigned options series. The Exchange proposes to amend relocate this rule text to harmonize Primary Market Makers and Competitive MRX’s rules with that of Nasdaq PHLX Options 2, Section 4(b)(4) and Options Market Makers also have other LLC (‘‘Phlx’’), Nasdaq BX, Inc. and The 4A, Section 12(b)(i) to centralize the obligations with respect to market Nasdaq Stock Market LLC which all bid/ask differentials. Specifically, the making 21 in addition to other quoting have business continuity and disaster Exchange proposes to state within new obligations 22 that they must abide by Options 2, Section 4(b)(4)(iii) that, recovery plans located within General 2, Section 12 of their respective when quoting on MRX. Also, since the Bid/ask differentials shall not apply to any rulebooks.15 The Exchange also adoption of the rule, the Exchange has 23 options series until the time to expiration is proposes to reserve Sections 7–11 and adopted the obvious error rule which less than nine (9) months for equity options 13–22 within General 2. Harmonizing permits the Exchange to review a and exchange-traded products. Bid/ask the rule locations of the rules of the transaction as potentially erroneous differentials shall not apply to any options based on a theoretical price. Also, MRX series until the time to expiration is less than Nasdaq affiliated markets will make it twelve (12) months for index options. easier for market participants to review orders are subject to trade-through and compare the rules of each Nasdaq compliance, thereby limiting the prices Currently, MRX Options 4 and Options market. at which orders may execute.24 Market 4A rules are incorporated by reference Makers are relied upon to provide Technical Amendments to Nasdaq ISE, LLC (‘‘ISE’’). The liquidity on MRX, which benefits other Exchange recently filed a rule change 12 The Exchange proposes to add new Members who have the opportunity to to amend ISE Options 4 and Options 4A Options 4C and mark it as reserved. interact with the order flow. The rules to relocate text concerning bid/ask Phlx added a 4C to its Rulebook and this Exchange believes that the obligation to differentials for long-term option series rule change will harmonize MRX’s refrain from purchasing a call option or from ISE Options 4, Section 8(a) 13 and Rulebook structure to Phlx’s Rulebook a put option at a price more than $0.25 16 Structure. below parity places yet another Maker is appointed; (3) update market quotations in 2. Statutory Basis obligation on MRX Market Makers that response to changed market conditions in all series of options classes to which the Market Maker is The Exchange believes that its is not required on Cboe or other Nasdaq appointed; and (4) price options contracts fairly by, proposal is consistent with Section 6(b) markets. The Exchange believes that this among other things, bidding and offering so as to of the Act,17 in general, and furthers the additional obligation is not necessary to create differences of no more than $5 between the 18 maintain fair and orderly markets and bid and offer following the opening rotation in an objectives of Section 6(b)(5) of the Act, equity or index options contract. See Options 2, notes the Exchange has waived this Section 4(b). 14 ISE Options 4A, Section 12(b)(i) describes the obligation and the removal of this 9 See Options 2, Section 5 (Electronic Market bid/ask differentials for long-term options series for provision would remove an impediment Maker Obligations and Quoting Requirements). indexes. to and perfect the mechanism of a free Further, Options 3, Section 8(c)(3) requires Primary 15 Similar rule changes will also be made for Market Makers to submit a Valid Width Quote Nasdaq ISE, LLC and Nasdaq MRX, LLC. and open market and a national market during the Opening Process. 16 See Securities Exchange Act Release No. 91488 system. 10 See Options 3, Section 20 (Nullification and (April 6, 2021), 86 FR 19037 (April 12, 2021) (SR– Adjustment of Options Transactions including Phlx–2021–14) (Notice of Filing and Immediate 19 See supra note 6. Obvious Errors). Effectiveness of Proposed Rule Change To Amend 20 See supra note 7. 11 See Options 3, Section 4(b)(6). the Phlx Options Rules at Options 4 Under the 21 See supra note 8. 12 See SR–ISE–2021–14 (‘‘ISE Rule Change’’). Options 4 Title in the Exchanges Rulebooks Shell 22 13 ISE Options 4, Section 8(a) describes the bid/ Structure). See supra note 9. ask differentials for long-term options series for 17 15 U.S.C. 78f(b). 23 See supra note 10. equity options and exchange-traded funds. 18 15 U.S.C. 78f(b)(5). 24 See supra note 11.
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Bid/Ask Differentials Options 2, Section 4(a) locations of the rules of the Nasdaq affiliated markets will make it easier for The Exchange’s proposal to amend The Exchange’s proposal to remove market participants to review and Options 2, Section 4(b)(4)(i) and certain rule text from Options 2, Section compare the rules of each Nasdaq Options 4A, Section 12(b)(i) to 4(a) that refrains Market Makers from market. This change is non-substantive centralize the bid/ask differentials is purchasing a call option or a put option as the rule text is not being amended. consistent with the Act. Currently, MRX at a price more than $0.25 below parity Options 4 and Options 4A rules are does not impose an undue burden on Technical Amendments incorporated by reference to ISE. The competition. The Exchange desires to Exchange recently filed a rule change 25 remove this restriction on Market Adding Options 4C and reserving it is to amend ISE Options 4 and Options 4A Makers which does not exist on Cboe or a non-substantive amendment which rules to relocate text concerning bid/ask other Nasdaq affiliated markets.28 The will harmonize MRX’s Rulebook differentials for long-term option series proposed rule text is currently waived structure to Phlx’s Rulebook 30 from ISE Options 4, Section 8(a) and ISE on MRX pursuant to Options 2, Section Structure. Options 4A, Section 12(b)(i). The ISE 4(a)(2). Market Makers are relied upon C. Self-Regulatory Organization’s Rule Change added citations to Options to provide liquidity on MRX, which Statement on Comments on the 2, Section 4(b)(4)(i) to ISE Options 4, benefits other Members who have the Proposed Rule Change Received From Section 8(a) and ISE Options 4A, opportunity to interact with the order Members, Participants, or Others Section 12(b)(i). MRX believes flow. The Exchange believes that the centralizing the bid/ask differentials obligation to refrain from purchasing a No written comments were either within new Options 2, Section 4(b)(4)(i) call option or a put option at a price solicited or received more than $0.25 below parity places yet will provide Primary Market Makers III. Date of Effectiveness of the and Competitive Market Makers with another obligation on MRX Market Makers that is not required on Cboe or Proposed Rule Change and Timing for centralized information regarding their Commission Action bid/ask differential requirements. other Nasdaq markets. The Exchange believes that this additional obligation Because the foregoing proposed rule Business Continuity and Disaster is not necessary to maintain fair and change does not: (i) Significantly affect Recovery Plan orderly markets and notes the Exchange the protection of investors or the public The Exchange’s proposal to relocate has waived this obligation. interest; (ii) impose any significant Supplementary Material .02 to Options Bid/Ask Differentials burden on competition; and (iii) become 2, Section 4, concerning business operative for 30 days from the date on The Exchange’s proposal to amend continuity and disaster recovery plans, which it was filed, or such shorter time Options 2, Section 4(b)(4) and Options as the Commission may designate, it has to General 2, Section 12, which is 4A, Section 12(b)(i) to relocate text become effective pursuant to Section currently reserved, is consistent with concerning bid/ask differentials for 19(b)(3)(A)(iii) of the Act 31 and the Act. This rule text will harmonize long-term option series does not impose MRX’s rules with that of Phlx, Nasdaq subparagraph (f)(6) of Rule 19b–4 an undue burden on competition. The 32 BX, Inc. and The Nasdaq Stock Market Exchange’s proposal will centralize the thereunder. LLC which all have business continuity bid/ask differentials within new At any time within 60 days of the and disaster recovery plans located Options 2, Section 4(b)(4)(iii) and add a filing of the proposed rule change, the within General 2, Section 12 of their sentence to both Options 4, Section 8(a) Commission summarily may 26 respective rulebooks. Harmonizing the and Options 4A, Section 12(b)(i) that temporarily suspend such rule change if rule locations of the rules of the Nasdaq cites to Options 2, Section 4(b)(4)(iii) for it appears to the Commission that such affiliated markets will make it easier for information on bid/ask differentials for action is necessary or appropriate in the market participants to review and the various products. The Exchange public interest, for the protection of compare the rules of each Nasdaq believes that this relocation will provide investors, or otherwise in furtherance of market. The Exchange also proposes to Primary Market Makers and Competitive the purposes of the Act. If the reserve Sections 7–10 and 13–22 within Market Makers with centralized Commission takes such action, the General 2. These changes are non- information regarding their bid/ask Commission shall institute proceedings substantive as the rule text is not being differential requirements. to determine whether the proposed rule amended. should be approved or disapproved. Business Continuity and Disaster Technical Amendments Recovery Plan IV. Solicitation of Comments Adding Options 4C and reserving it is The Exchange’s proposal to relocate Interested persons are invited to a non-substantive amendment which Supplementary Material .02 to Options submit written data, views, and will harmonize MRX’s Rulebook 2, Section 4, concerning business arguments concerning the foregoing, structure to Phlx’s Rulebook continuity and disaster recovery plans, including whether the proposed rule 27 Structure. to General 2, Section 12, which is change is consistent with the Act. B. Self-Regulatory Organization’s currently reserved, does not impose an Comments may be submitted by any of Statement on Burden on Competition undue burden on competition. This rule the following methods: text will harmonize MRX’s rules with The Exchange does not believe that that of Phlx, Nasdaq BX, Inc. and The 30 See supra note 16. the proposed rule change will impose Nasdaq Stock Market LLC which all 31 15 U.S.C. 78s(b)(3)(A)(iii). any burden on competition not have business continuity and disaster 32 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– necessary or appropriate in furtherance recovery plans located within General 2, 4(f)(6) requires a self-regulatory organization to give of the purposes of the Act. Section 12 of their respective the Commission written notice of its intent to file rulebooks.29 Harmonizing the rule the proposed rule change at least five business days prior to the date of filing of the proposed rule 25 See supra note 12. change, or such shorter time as designated by the 26 See supra note 15. 28 See supra note 5. Commission. The Exchange has satisfied this 27 See supra note 16. 29 See supra note 6. requirement.
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Electronic Comments SECURITIES AND EXCHANGE SECURITIES AND EXCHANGE COMMISSION COMMISSION • Use the Commission’s internet comment form (http://www.sec.gov/ Sunshine Act Meetings [Release No. 34–92234; File No. SR–NYSE– rules/sro.shtml); or 2021–36] • Send an email to rule-comments@ TIME AND DATE: 2:00 p.m. on Thursday, sec.gov. Please include File Number SR– July 1, 2021. Self-Regulatory Organizations; New MRX–2021–07 on the subject line. York Stock Exchange LLC; Notice of PLACE: The meeting will be held via Filing and Immediate Effectiveness of remote means and/or at the Paper Comments Proposed Rule Change To Amend Its Commission’s headquarters, 100 F • Price List Regarding Ports Send paper comments in triplicate Street NE, Washington, DC 20549. to Secretary, Securities and Exchange June 22, 2021. Commission, 100 F Street NE, STATUS: This meeting will be closed to Washington, DC 20549–1090. the public. Pursuant to Section 19(b)(1) 1 of the Securities Exchange Act of 1934 (the MATTERS TO BE CONSIDERED: All submissions should refer to File ‘‘Act’’),2 and Rule 19b–4 thereunder,3 Number SR–MRX–2021–07. This file Commissioners, Counsel to the notice is hereby given that on June 10, number should be included on the Commissioners, the Secretary to the 2021, New York Stock Exchange LLC subject line if email is used. To help the Commission, and recording secretaries (‘‘NYSE’’ or the ‘‘Exchange’’) filed with Commission process and review your will attend the closed meeting. Certain the Securities and Exchange comments more efficiently, please use staff members who have an interest in Commission (the ‘‘Commission’’) the only one method. The Commission will the matters also may be present. proposed rule change as described in post all comments on the Commission’s In the event that the time, date, or Items I, II, and III below, which Items internet website (http://www.sec.gov/ location of this meeting changes, an have been prepared by the self- rules/sro.shtml). Copies of the announcement of the change, along with regulatory organization. The submission, all subsequent the new time, date, and/or place of the Commission is publishing this notice to amendments, all written statements meeting will be posted on the solicit comments on the proposed rule with respect to the proposed rule Commission’s website at https:// change from interested persons. change that are filed with the www.sec.gov. I. Self-Regulatory Organization’s Commission, and all written The General Counsel of the Statement of the Terms of Substance of communications relating to the Commission, or his designee, has the Proposed Rule Change proposed rule change between the certified that, in his opinion, one or Commission and any person, other than more of the exemptions set forth in 5 The Exchange proposes to amend its those that may be withheld from the U.S.C. 552b(c)(3), (5), (6), (7), (8), 9(B) Price List to extend the end of the public in accordance with the and (10) and 17 CFR 200.402(a)(3), Decommission Period from June 2021 to provisions of 5 U.S.C. 552, will be (a)(5), (a)(6), (a)(7), (a)(8), (a)(9)(ii) and August 2021. The Exchange proposes to available for website viewing and implement these changes to its Price (a)(10), permit consideration of the 4 printing in the Commission’s Public scheduled matters at the closed meeting. List effective June 10, 2021. The proposed rule change is available on the Reference Room, 100 F Street NE, The subject matter of the closed Washington, DC 20549, on official Exchange’s website at www.nyse.com, at meeting will consist of the following the principal office of the Exchange, and business days between the hours of topics: at the Commission’s Public Reference 10:00 a.m. and 3:00 p.m. Copies of the Room. filing also will be available for Institution and settlement of inspection and copying at the principal injunctive actions; II. Self-Regulatory Organization’s office of the Exchange. All comments Institution and settlement of Statement of the Purpose of, and received will be posted without change. administrative proceedings; Statutory Basis for, the Proposed Rule Persons submitting comments are Resolution of litigation claims; and Change cautioned that we do not redact or edit Other matters relating to examinations In its filing with the Commission, the personal identifying information from and enforcement proceedings. self-regulatory organization included comment submissions. You should statements concerning the purpose of, submit only information that you wish At times, changes in Commission priorities require alterations in the and basis for, the proposed rule change to make available publicly. All and discussed any comments it received submissions should refer to File scheduling of meeting agenda items that may consist of adjudicatory, on the proposed rule change. The text Number SR–MRX–2021–07 and should of those statements may be examined at be submitted on or before July 19, 2021. examination, litigation, or regulatory matters. the places specified in Item IV below. For the Commission, by the Division of The Exchange has prepared summaries, Trading and Markets, pursuant to delegated CONTACT PERSON FOR MORE INFORMATION: set forth in sections A, B, and C below, authority.33 For further information, please contact of the most significant parts of such J. Matthew DeLesDernier, Vanessa A. Countryman from the Office statements. Assistant Secretary. of the Secretary at (202) 551–5400. 1 15 U.S.C. 78s(b)(1). [FR Doc. 2021–13656 Filed 6–25–21; 8:45 am] Dated: June 24, 2021. 2 15 U.S.C. 78a. BILLING CODE 8011–01–P Vanessa A. Countryman, 3 17 CFR 240.19b–4. Secretary. 4 The Exchange originally filed to amend the [FR Doc. 2021–13845 Filed 6–24–21; 4:15 pm] Price List on May 28, 2021 (SR–NYSE–2021–34). SR–NYSE–2021–34 was subsequently withdrawn 33 17 CFR 200.30–3(a)(12). BILLING CODE 8011–01–P and replaced by this filing.
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A. Self-Regulatory Organization’s monthly fee for ports activated on or While Regulation NMS has enhanced Statement of the Purpose of, and after July 1, 2019 from September 1, competition, it has also fostered a Statutory Basis for, the Proposed Rule 2020 to November 1, 2020.7 ‘‘fragmented’’ market structure where Change Effective October 1, 2020, the trading in a single stock can occur across multiple trading centers. When 1. Purpose Exchange (1) extended the end of the Transition Period from October 2020 to multiple trading centers compete for The purpose of this filing is to December 2020; (2) extended the order flow in the same stock, the provide additional time for member beginning of the Decommission Period Commission has recognized that ‘‘such organizations to finalize their transition from November 2020 to January 2021 competition can lead to the from older to newer and more efficient and the end of the Decommission Period fragmentation of order flow in that Pillar technology. The Exchange is not from February 2021 to April 2021; and stock.’’ 11 Indeed, equity trading is proposing to adjust the amount of the (3) extended the effective date that the currently dispersed across 16 port fees or the fees charged to offset the Exchange would prorate the monthly fee exchanges,12 31 alternative trading Exchange’s continuing costs of for ports activated on or after July 1, systems,13 and numerous broker-dealer supporting legacy ports, which will 2019 from November 1, 2020 to January internalizers and wholesalers, all remain at the current level for all market 1, 2021.8 competing for order flow. Based on participants. Effective December 1, 2020, the publicly available information, no single Effective July 3, 2019, the Exchange Exchange (1) extended the end of the exchange has more than 16% market introduced transition pricing designed 14 Transition Period from December 2020 share. The Exchange believes that the to provide member organizations an to February 2021; (2) extended the ever-shifting market share among the extended transition period to connect to beginning of the Decommission Period exchanges from month to month the Exchange using Pillar technology from January 2021 to March 2021 and demonstrates that market participants with no fee increase. Specifically, the the end of the Decommission Period can shift order flow, or discontinue or Exchange (1) adopted a cap on monthly from April 2021 to June 2021; and (3) reduce use of certain categories of fees for the use of certain ports extended the effective date that the products, including ports, in response to connecting to the Exchange for the Exchange would prorate the monthly fee fee changes. Accordingly, the billing months July 2019 through March for ports activated on or after July 1, Exchange’s fees, including port fees, are 2020 (the ‘‘Transition Period’’); (2) reasonably constrained by competitive adopted a Decommission Extension Fee 2019 from January 1, 2021 to March 1, 2021.9 alternatives and market participants can applicable for the billing months April readily trade on competing venues if 2020 through September 2020 (the The Exchange proposes to extend the end of the Decommission Period two they deem pricing levels at those other ‘‘Decommission Period’’) for legacy port venues to be more favorable. connections; and (3) prorated the months from June 2021 to August 2021 in order to allow member organizations The Exchange is proposing these monthly fee for certain ports activated changes in the context of a competitive that did not complete the transition after July 1, 2019, effective April 1, environment in which market during the Transition Period the ability 2020.5 participants can and do shift order flow, to choose to continue using Phase I Effective March 2, 2020, the Exchange or discontinue or reduce use of certain ports until August 2021. (1) extended the end of the Transition categories of products, in response to fee The Exchange proposes to implement Period from March 2020 to August 2020 changes. Because ports are used by these changes to its Price List effective for member organizations to transition member organizations to trade June 1, 2021. to the utilization of ports that connect electronically on the Exchange, fees to the Exchange using Pillar technology; Competitive Environment associated with ports are subject to (2) shortened the Decommission Period The Exchange operates in a highly these same competitive forces. The from six months (April 2020–September Exchange believes that the proposal 2020) to four months (September– competitive market. The Commission has repeatedly expressed its preference represents a reasonable attempt to December 2020); (3) extended the provide member organizations with effective date that the Exchange would for competition over regulatory intervention in determining prices, additional time to finalize an orderly prorate the monthly fee for certain ports transition to upgraded technology. activated on or after July 1, 2019 from products, and services in the securities April 1, 2020 to September 1, 2020; and markets. In Regulation NMS, the Proposed Rule Change (4) revised the fees charged for legacy Commission highlighted the importance Member organizations enter orders port connections during the of market forces in determining prices and order instructions, and receive Decommission Period.6 and SRO revenues and, also, recognized information from the Exchange, by Effective August 1, 2020, the that current regulation of the market Exchange (1) extended the end of the system ‘‘has been remarkably successful 11 See Securities Exchange Act Release No. 61358, Transition Period from August 2020 to in promoting market competition in its 75 FR 3594, 3597 (January 21, 2010) (File No. S7– October 2020; (2) extended the broader forms that are most important to 02–10) (Concept Release on Equity Market beginning of the Decommission Period investors and listed companies.’’ 10 Structure). 12 See Cboe Global Markets, U.S. Equities Market from September 2020 to November 2020 Volume Summary, available at http:// and the end of the Decommission Period 7 See Securities Exchange Act Release No. 89591 markets.cboe.com/us/equities/market_share/. See from December 2020 to February 2021; (August 18, 2020), 85 FR 52159 (August 24, 2020) generally https://www.sec.gov/fast-answers/ and (3) extended the effective date that (SR–NYSE–2020–14). divisionsmarketregmrexchangesshtml.html. 8 See Securities Exchange Act Release No. 90180 13 See FINRA ATS Transparency Data, available the Exchange would prorate the (October 14, 2020), 85 FR 66612 (October 20, 2020) at https://otctransparency.finra.org/ (SR–NYSE–2020–82). otctransparency/AtsIssueData. A list of alternative 5 See Securities Exchange Act Release No. 86360 9 See Securities Exchange Act Release No. 90661 trading systems registered with the Commission is (July 11, 2019), 84 FR 34210 (July 17, 2019) (SR– (December 14, 2020), 85 FR 82532 (December 18, available at https://www.sec.gov/foia/docs/ NYSE–2019–39). 2020) (SR–NYSE–2020–99). atslist.htm. 6 See Securities Exchange Act Release No. 88373 10 See Securities Exchange Act Release No. 51808 14 See Cboe Global Markets U.S. Equities Market (March 12, 2020), 85 FR 15533 (March 18, 2020) (June 9, 2005), 70 FR 37495, 37499 (June 29, 2005) Volume Summary, available at http:// (SR–NYSE–2020–14). (S7–10–04) (Final Rule) (‘‘Regulation NMS’’). markets.cboe.com/us/equities/market_share/.
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establishing a connection to a gateway discriminate between customers, they deem pricing levels at those other that uses communication protocols that issuers, brokers or dealers. venues to be more favorable. map to the order types and modifiers The Exchange believes that the ever- described in Exchange rules. These The Proposed Change Is Reasonable shifting market share among the gateway connections, also known as The Exchange operates in a highly exchanges from month to month logical port connections, are referred to competitive market. The Commission demonstrates that market participants can shift order flow, or discontinue or as ‘‘ports’’ on the Exchange’s Price List. has repeatedly expressed its preference reduce use of certain categories of Legacy ports connect with the Exchange for competition over regulatory products, including ports, in response to via a Common Customer Gateway intervention in determining prices, fee changes. Accordingly, the (known as ‘‘CCG’’) that accesses its products, and services in the securities Exchange’s fees, including port fees, are equity trading systems (‘‘Phase I ports’’). markets. In Regulation NMS, the reasonably constrained by competitive Beginning July 1, 2019, the Exchange Commission highlighted the importance began making available ports using alternatives and market participants can of market forces in determining prices readily trade on competing venues if Pillar gateways to its member and SRO revenues and, also, recognized organizations (‘‘Phase II ports’’). they deem pricing levels at those other that current regulation of the market venues to be more favorable. Currently, member organizations that system ‘‘has been remarkably successful If a particular exchange charges have not transitioned to Phase II ports in promoting market competition in its excessive fees for connectivity, and are still utilizing Phase I ports broader forms that are most important to impacted members and non-members during the billing months of March 2021 investors and listed companies.’’ 17 may opt to terminate their connectivity through June 2021 (i.e., the While Regulation NMS has enhanced arrangements with that exchange, and Decommission Period), would, in competition, it has also fostered a adopt a possible range of alternative addition to the current port fees, be ‘‘fragmented’’ market structure where strategies, including routing to the charged a Decommission Extension Fee trading in a single stock can occur applicable exchange through another of $1,000 per port per month, increasing across multiple trading centers. When participant or market center or taking by $1,000 per port for each month for multiple trading centers compete for that exchange’s data indirectly. any ports that communicate using Pillar order flow in the same stock, the Accordingly, if the Exchange charges phase I protocols. As per the Price List, Commission has recognized that ‘‘such excessive fees, it would stand to lose not ports using Pillar phase I protocols competition can lead to the only connectivity revenues but also would no longer be available beginning fragmentation of order flow in that revenues associated with the execution July 1, 2021. stock.’’ 18 Indeed, equity trading is of orders routed to it, and, to the extent The Exchange proposes that the currently dispersed across 16 applicable, market data revenues. The Decommission Period would end two exchanges,19 31 alternative trading Exchange believes that this competitive months later, in August 2021. As systems,20 and numerous broker-dealer dynamic imposes powerful restraints on proposed, the Price List would also be internalizers and wholesalers, all the ability of any exchange to charge amended to provide that ports using competing for order flow. Based on unreasonable fees for connectivity. Pillar phase I protocols would no longer publicly available information, no single Given this competitive environment, be available beginning September 1, exchange has more than 16% market the proposal represents a fair and 2021. share.21 The Exchange believes that the reasonable attempt to provide member As noted above, the Exchange ever-shifting market share among the organizations with additional time to believes that, to the extent that member exchanges from month to month finalize an orderly transition to organizations do not complete the demonstrates that market participants upgraded technology. As of April 2021, transition during the Transition Period, can shift order flow, or discontinue or 16.2% of legacy ports have not been the proposed rule change will offer reduce use of certain categories of cancelled. The pricing is designed so member organizations the ability to products, including ports, in response to that these few remaining member choose to continue using Phase I ports fee changes. Accordingly, the organizations utilizing legacy ports until August 2021. Exchange’s fees, including port fees, are would pay for the Exchange to continue reasonably constrained by competitive to support their Phase I ports through The proposed changes are not August 2021. otherwise intended to address any other alternatives and market participants can issues, and the Exchange is not aware of readily trade on competing venues if The Proposal Is an Equitable Allocation any problems that member of Fees organizations would have in complying 17 See Securities Exchange Act Release No. 51808 (June 9, 2005), 70 FR 37495, 37499 (June 29, 2005) The Exchange believes its proposal with the proposed change. (S7–10–04) (Final Rule) (‘‘Regulation NMS’’). equitably allocates its fees among its 2. Statutory Basis 18 See Securities Exchange Act Release No. 61358, market participants. The Exchange is 75 FR 3594, 3597 (January 21, 2010) (File No. S7– not proposing to adjust the amount of The Exchange believes that the 02–10) (Concept Release on Equity Market the port fees or the fees charged fees to Structure). proposed rule change is consistent with 19 See Cboe Global Markets, U.S. Equities Market offset the Exchange’s continuing costs of 15 Section 6(b) of the Act, in general, and Volume Summary, available at http:// supporting legacy ports, which will furthers the objectives of Sections markets.cboe.com/us/equities/market_share/. See remain at the current level for all market 6(b)(4) and 6(b)(5) of the Act,16 in generally https://www.sec.gov/fast-answers/ participants. Rather, the proposal would particular, because it provides for the divisionsmarketregmrexchangesshtml.html. provide additional time for member 20 See FINRA ATS Transparency Data, available equitable allocation of reasonable dues, at https://otctransparency.finra.org/ organizations to transition from older to fees, and other charges among its otctransparency/AtsIssueData. A list of alternative newer and more efficient Pillar members, issuers and other persons trading systems registered with the Commission is technology and would charge the same using its facilities and does not unfairly available at https://www.sec.gov/foia/docs/ fee for those few member organizations atslist.htm. 21 See Cboe Global Markets U.S. Equities Market that choose not to transition to Phase II 15 15 U.S.C. 78f(b). Volume Summary, available at http:// ports during the extended Transition 16 15 U.S.C. 78f(b)(4) & (5). markets.cboe.com/us/equities/market_share/. Period.
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The proposal constitutes an equitable Finally, the Exchange believes that it the robust competition for order flow allocation of fees because all similarly is subject to significant competitive among exchanges and non-exchange situated member organizations and forces, as described below in the markets. other market participants that, following Exchange’s statement regarding the As noted, the no single exchange has the transition period, choose to connect burden on competition. more than 16% of the market share of to the Exchange through the use of For the foregoing reasons, the executed volume of equity trades Phase I ports during the Decommission Exchange believes that the proposal is (whether excluding or including auction Period would continue to be charged the consistent with the Act. volume).23 The Exchange believes that the ever-shifting market share among same, unchanged Decommission B. Self-Regulatory Organization’s the exchanges from month to month Extension Fee. Statement on Burden on Competition demonstrates that market participants The Proposal Is Not Unfairly In accordance with Section 6(b)(8) of can shift order flow, or discontinue or Discriminatory the Act,22 the Exchange believes that the reduce use of certain categories of The Exchange believes that the proposed rule change would not impose products, including ports, in response to proposal is not unfairly discriminatory. any burden on competition that is not fee changes. Accordingly, the In the prevailing competitive necessary or appropriate in furtherance Exchange’s fees, including port fees, are environment, member organizations are of the purposes of the Act. Instead, as reasonably constrained by competitive free to disfavor the Exchange’s pricing if discussed above, the Exchange believes alternatives and market participants can they believe that alternatives offer them that the proposed changes would readily trade on competing venues if better value, and are free to discontinue provide additional time for member they deem pricing levels at those other to connect to the Exchange through its organizations to finalize the transition venues to be more favorable. ports. As noted, the Exchange is offering from older to newer and more efficient The Exchange is proposing these Pillar technology with no fee increase upgraded connections in an effort to changes in the context of a competitive and offset the Exchange’s continuing keep pace with changes in the industry environment in which market costs of supporting the Phase I ports for and evolving customer needs as new participants can and do shift order flow, the few firms that do not transition to technologies emerge and products or discontinue or reduce use of certain the new ports during the longer continue to develop and change. categories of products, in response to fee transition period without any change to changes. Because ports are used by The proposal neither targets nor will the fees currently charged by the member organizations to trade it have a disparate impact on any Exchange for the use of ports to connect electronically on the Exchange, fees particular category of market to the Exchange’s trading systems. associated with ports are subject to participant. The Exchange believes that Intramarket Competition. The these same competitive forces. The the proposal does not permit unfair Exchange does not believe the proposed Exchange therefore believes that the discrimination because the proposal rule change would impose any burden proposal would not impose an undue would be applied to all similarly on intramarket competition that is not burden on intermarket competition situated member organizations and necessary or appropriate because it because the purpose of this filing is not other market participants would be would apply to all member to change the rates charged for ports or charged the same rates, which will organizations equally that connect to the to offset the Exchange’s continuing costs remain unchanged. Exchange. All member organizations, of supporting legacy ports but rather to The Exchange believes that the regardless of size, that did not complete provide member organizations with proposal does not permit unfair the transition to Phase II ports by the more time to effect an orderly transition discrimination because the end of February 2021 date are subject to to upgraded technology without needing Decommission Extension Fee would the Decommission Fee on an equal basis to incur any additional costs. apply equally to all member and would continue to be subject to the organizations that require additional fee on an equal basis for the proposed C. Self-Regulatory Organization’s time to complete their transition to the additional two months if they do not Statement on Comments on the Phase II ports. At any point during the complete the transition to Phase II ports. Proposed Rule Change Received From Decommission Period, a member As noted, as of April 2021, 16.2% of Members, Participants, or Others organization could cease to be subject to legacy ports have not been cancelled. No written comments were solicited the Decommission Fee by expediting its The pricing is designed so that these or received with respect to the proposed transition to the new ports. The few remaining member organizations rule change. Decommission Fee would thus apply utilizing legacy ports would pay for the III. Date of Effectiveness of the equally to all member organizations Exchange to continue to support their Proposed Rule Change and Timing for during the proposed extended Phase I ports through August 2021. Commission Action Decommission Period that choose to Intermarket Competition. The continue to connect to the Exchange Exchange does not believe the proposed The foregoing rule change is effective through the use of legacy ports. As rule change would impose any burden upon filing pursuant to Section 24 noted, to the extent a member on intermarket competition that is not 19(b)(3)(A) of the Act and 25 organization continues to use ports necessary or appropriate because the subparagraph (f)(2) of Rule 19b–4 activated before July 1, 2019 to connect Exchange operates in a highly thereunder, because it establishes a due, to the Exchange during the proposed competitive market in which market fee, or other charge imposed by the extended Decommission Period, the participants can readily choose to send Exchange. Exchange believes it is fair, equitable their orders to other exchange and off- At any time within 60 days of the and not unfairly discriminatory to exchange venues if they deem fee levels filing of such proposed rule change, the continue to charge flat fees for such at those other venues to be more 23 See Cboe Global Markets U.S. Equities Market ports until such time that connection to favorable. The Exchange believes that Volume Summary, available at http:// the Exchange through the use of old fees for connectivity are constrained by markets.cboe.com/us/equities/market_share/. ports is no longer available beginning, 24 15 U.S.C. 78s(b)(3)(A). as proposed, on September 1, 2021. 22 15 U.S.C. 78f(b)(8). 25 17 CFR 240.19b–4(f)(2).
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Commission summarily may Persons submitting comments are filed with the Securities and Exchange temporarily suspend such rule change if cautioned that we do not redact or edit Commission (‘‘SEC’’ or ‘‘Commission’’) it appears to the Commission that such personal identifying information from the proposed rule change as described action is necessary or appropriate in the comment submissions. You should in Items I, II, and III below, which Items public interest, for the protection of submit only information that you wish have been prepared by FINRA. The investors, or otherwise in furtherance of to make available publicly. All Commission is publishing this notice to the purposes of the Act. If the submissions should refer to File solicit comments on the proposed rule Commission takes such action, the Number SR–NYSE–2021–36, and change from interested persons. Commission shall institute proceedings should be submitted on or before July I. Self-Regulatory Organization’s under Section 19(b)(2)(B) 26 of the Act to 19, 2021. Statement of the Terms of Substance of determine whether the proposed rule For the Commission, by the Division of the Proposed Rule Change change should be approved or Trading and Markets, pursuant to delegated disapproved. authority.27 FINRA is proposing to amend Rule 2165 (Financial Exploitation of J. Matthew DeLesDernier, IV. Solicitation of Comments Specified Adults) to permit member Interested persons are invited to Assistant Secretary. firms to: (1) Extend a temporary hold on submit written data, views, and [FR Doc. 2021–13660 Filed 6–25–21; 8:45 am] a disbursement of funds or securities or arguments concerning the foregoing, BILLING CODE 8011–01–P a transaction in securities for an including whether the proposed rule additional 30-business days if the change is consistent with the Act. member firm has reported the matter to Comments may be submitted by any of SECURITIES AND EXCHANGE a state regulator or agency or a court of the following methods: COMMISSION competent jurisdiction; and (2) place a temporary hold on a securities Electronic Comments Sunshine Act Meeting; Cancellation transactions where there is a reasonable • Use the Commission’s internet FEDERAL REGISTER CITATION OF PREVIOUS belief of financial exploitation. comment form (http://www.sec.gov/ ANNOUNCEMENT: 86 FR 32993, June 23, The text of the proposed rule change rules/sro.shtml); or 2021. is available on FINRA’s website at • Send an email to rule-comments@ PREVIOUSLY ANNOUNCED TIME AND DATE OF http://www.finra.org, at the principal sec.gov. Please include File Number SR– office of FINRA and at the NYSE–2021–36 on the subject line. THE MEETING: Thursday, June 24, 2021 at 2:00 p.m. Commission’s Public Reference Room. Paper Comments CHANGES IN THE MEETING: The Closed II. Self-Regulatory Organization’s • Send paper comments in triplicate Meeting scheduled for Thursday, June Statement of the Purpose of, and to Secretary, Securities and Exchange 24, 2021 at 2:00 p.m., has been Statutory Basis for, the Proposed Rule Commission, 100 F Street NE, cancelled. Change Washington, DC 20549–1090. CONTACT PERSON FOR MORE INFORMATION: In its filing with the Commission, All submissions should refer to File For further information; please contact FINRA included statements concerning Number SR–NYSE–2021–36. This file Vanessa A. Countryman from the Office the purpose of and basis for the number should be included on the of the Secretary at (202) 551–5400. proposed rule change and discussed any subject line if email is used. To help the Dated: June 24, 2021. comments it received on the proposed Commission process and review your Vanessa A. Countryman, rule change. The text of these statements comments more efficiently, please use Secretary. may be examined at the places specified only one method. The Commission will in Item IV below. FINRA has prepared [FR Doc. 2021–13813 Filed 6–24–21; 4:15 pm] post all comments on the Commission’s summaries, set forth in sections A, B, internet website (http://www.sec.gov/ BILLING CODE 8011–01–P and C below, of the most significant rules/sro.shtml). Copies of the aspects of such statements. submission, all subsequent SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s amendments, all written statements COMMISSION with respect to the proposed rule Statement of the Purpose of, and change that are filed with the [Release No. 34–92225; File No. SR–FINRA– Statutory Basis for, the Proposed Rule Commission, and all written 2021–016] Change communications relating to the 1. Purpose Self-Regulatory Organizations; proposed rule change between the Financial Industry Regulatory Protection of Senior Investors Commission and any person, other than Authority, Inc.; Notice of Filing of a those that may be withheld from the The protection of senior investors is a Proposed Rule Change To Amend Rule public in accordance with the top priority for FINRA. FINRA has 2165 (Financial Exploitation of provisions of 5 U.S.C. 552, will be prioritized protecting senior investors Specified Adults) available for website viewing and and addressed financial exploitation of printing in the Commission’s Public June 22, 2021. senior investors in numerous ways, Reference Room, 100 F Street NE, including: Pursuant to Section 19(b)(1) of the • Washington, DC 20549, on official Identifying senior investor issues as Securities Exchange Act of 1934 (‘‘Act’’ 3 business days between the hours of 1 an examination priority; or ‘‘Exchange Act’’) and Rule 19b–4 • Launching the dedicated FINRA 10:00 a.m. and 3:00 p.m. Copies of the thereunder,2 notice is hereby given that ® filing also will be available for Securities Helpline for Seniors — on June 9, 2021, the Financial Industry available at 844–57–HELPS—to provide inspection and copying at the principal Regulatory Authority, Inc. (‘‘FINRA’’) office of the Exchange. All comments 3 See 2019 Risk Monitoring and Examination received will be posted without change. 27 17 CFR 200.30–3(a)(12), (59). Priorities Letter (January 2019) available at https:// 1 15 U.S.C. 78s(b)(1). www.finra.org/industry/2019-annual-risk- 26 15 U.S.C. 78s(b)(2)(B). 2 17 CFR 240.19b–4. monitoring-and-examination-priorities-letter.
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senior investors and their family • Bringing disciplinary actions for In addition, FINRA obtained input members with a supportive place to get misconduct against senior investors.9 from several advisory committees assistance from specially trained FINRA comprising member firms of different Retrospective Review staff related to concerns they have with sizes and business models, investor their brokerage accounts and In August 2019, FINRA launched a protection advocates, member firms, investments; 4 retrospective review to assess the and trade associations. FINRA also • Creating national standards that effectiveness and efficiency of its rules obtained the perspective of its operating give member firms tools—including and administrative processes that help departments that touch the rules and permitting firms to place temporary protect senior investors from financial their administration. Moreover, FINRA holds on disbursements when they have exploitation. The retrospective review considered examination observations a reasonable belief of financial process has two phases: The assessment and findings involving senior issues. In exploitation and requiring firms to phase and the action phase.10 During this regard, FINRA previously had request information from customers the assessment phase, FINRA first identified as an examination priority about a trusted contact—to address sought comment in Regulatory Notice reviewing member firms’ controls suspected financial exploitation of 19–27 (August 2019) on several regarding Rule 2165, to the extent firms senior investors and other vulnerable questions with respect to addressing anticipated using the rule’s safe harbor, adults (i.e., FINRA Rules 2165 and 4512 financial exploitation and other and Rule 4512’s trusted-contact (Customer Account Information)); 5 circumstances of financial vulnerability provision.12 As part of these reviews, • Collaborating with the North for senior investors. FINRA received 22 FINRA looked at whether member firms American Securities Administrators comment letters to Regulatory Notice had clearly defined policies and 11 Association (NASAA) and the SEC to 19–27. procedures and sought information address senior investor protection, about firms’ early experiences with including issuing a Senior Safe Act Fact 17–11 (Mar. 2017) (discussing new senior rules and these provisions.13 potential financial exploitation of seniors). Finally, FINRA developed an Sheet designed to raise awareness 9 See, e.g., John W. Cutshall, Order Accepting among member firms, investment Offer of Settlement, Case ID 2014041590801 (April anonymous survey that was distributed advisers and transfer agents about the 11, 2019); Steven Anthony Olejniczak, Letter of to all member firms in the first quarter Act and its immunity provisions; 6 Acceptance, Waiver and Consent, Case ID of 2020. The purpose of the survey was 2016050107901 (May 8, 2017). • Issuing alerts and articles educating to collect information in order to 10 The stakeholders who provided input during validate the feedback received and to investors about important issues and the assessment phase of the retrospective review are highlighting risks facing senior collectively referred to herein as the ‘‘Retrospective provide an additional opportunity for investors; 7 Review Stakeholders.’’ all member firms to provide their 11 14 • Conducting and funding research See Letter from Megan Valent, Legal Intern, and views. Teresa J. Verges, Director, University of Miami on senior investors and financial fraud, School of Law, to Jennifer Piorko Mitchell, Office Mitchell, Office of the Corporate Secretary, FINRA, and engaging with national, state and of the Corporate Secretary, FINRA, dated Oct. 1, dated Oct. 8, 2019; Letter from Nancy Brown, 2019; Letter from Jennifer L. Szaro, Lara May & grassroots partners to develop and President and Co-Chair, and Dian VanderWell, Associates, LLC, and Robert L. Hamman, President, Opportunity Alliance Nevada, to Jennifer Piorko distribute fraud prevention resources, First Asset Financial Inc., to Jennifer Piorko Mitchell, Office of the Corporate Secretary, FINRA, educate consumers, and provide Mitchell, Office of the Corporate Secretary, FINRA, dated Oct. 8, 2019; Letter from Christine Lazaro, dated Oct. 4, 2019; Letter from William A. Jacobson, training for law enforcement President, and Samuel B. Edwards, Executive Vice Esq., Clinical Professor of Law and Director, professionals, victim advocates, and President, Public Investors Advocate Bar Securities Law Clinic Cornell Law School, to Association, to Jennifer Piorko Mitchell, Office of other people on the front lines of Jennifer Piorko Mitchell, Office of the Corporate the Corporate Secretary, FINRA, dated Oct. 8, 2019; fighting financial fraud; Secretary, FINRA, dated Oct. 7, 2019; Letter from • Kathleen Quinn, Board President, National Adult Letter from Lisa J. Bleier, Managing Director, Issuing Regulatory Notices SIFMA, dated Oct. 8, 2019; Letter from Christine emphasizing member firms’ obligations Protective Services Association, to Jennifer Piorko Mitchell, Office of the Corporate Secretary, FINRA, Lazaro, Professor of Clinical Legal Education and to senior investors and providing dated Oct. 7, 2019; Letter from Joe Snyder, Chair, Director, St. John’s University School of Law guidance on how to fulfill those Philadelphia Financial Exploitation Task Force Securities Arbitration Clinic, to Jennifer Piorko obligations; 8 and dated Oct. 7, 2019; Letter from Seth A. Miller, Mitchell, Office of the Corporate Secretary, FINRA, General Counsel, Executive Vice President, and dated Oct. 8, 2019; Letter from Alice L. Stewart, Chief Risk Officer, Cambridge Investment Research, Director, and Rachael T. Shaw, Adjunct Professor, 4 See http://www.finra.org/investors/highlights/ Inc., to Jennifer Piorko Mitchell, Office of the University of Pittsburgh School of Law—Securities finra-securities-helpline-seniors. Corporate Secretary, FINRA, dated Oct. 8, 2019; Arbitration Clinic, to Jennifer Piorko Mitchell, 5 See Regulatory Notice 17–11 (March 2017). Letter from Eric Arnold, Clifford Kirsch and Holly Office of the Corporate Secretary, FINRA, dated Oct. 6 See http://www.finra.org/sites/default/files/ Smith of Eversheds Sutherland on behalf of the 8, 2019; Letter from Ron Long, Head of Elder Client _ _ _ senior safe act factsheet.pdf. Committee of Annuity Insurers, to Jennifer Piorko Initiatives Center of Excellence, Wells Fargo & 7 See, e.g., articles such as Protecting Seniors from Mitchell, Office of the Corporate Secretary, FINRA, Company, to Jennifer Piorko Mitchell, Office of the Financial Exploitation; Investor Alerts such as dated Oct. 8, 2019; Letter from Christopher W. Bok, Corporate Secretary, FINRA, dated Oct. 8, 2019; Power of Attorney and Your Investments—10 Tips, Director, Financial Information Forum, to Jennifer Letter from Erin K. Lineham, Associate General Plan for Transition: What You Should Know About Piorko Mitchell, Office of the Corporate Secretary, Counsel—Compliance, Raymond James & the Transfer of Brokerage Account Assets on Death; FINRA, dated Oct. 8, 2019; Letter from Marc Associates, Inc., to Jennifer Piorko Mitchell, Office Seniors Beware: What You Should Know About Fitapelli, Esq., Fitapelli Kurta, to Jennifer Piorko of the Corporate Secretary, FINRA, dated Oct. 29, Life Settlements; and FINRA’s Retirement web page Mitchell, Office of the Corporate Secretary, FINRA, 2019; Letter from Marin E. Gibson, Managing for investors. dated Oct. 8, 2019; Letter from Robin M. Traxler, Director and Associate General Counsel, SIFMA, 8 See, e.g., Regulatory Notice 07–43 (Sept. 2007) Senior Vice President, Policy & Deputy General dated Nov. 15, 2019; Letter from Anonymous dated (reminding member firms of their obligations Counsel, Financial Services Institute, to Jennifer Feb. 26, 2020. relating to senior investors and highlighting Piorko Mitchell, Office of the Corporate Secretary, 12 See 2019 Annual Risk Monitoring and industry practices to serve these customers); FINRA, dated Oct. 8, 2019; Letter from Maureen K. Examination Priorities Letter (Jan. 22, 2019). Regulatory Notice 09–42 (July 2009) (reminding Paparo, Legal Intern, Lincoln Square Legal Services, 13 See id. member firms of their obligations with variable life Inc., to Jennifer Piorko Mitchell, Office of the 14 Survey respondents were permitted to skip settlement activities); Regulatory Notice 11–52 Corporate Secretary, FINRA, dated Oct. 8, 2019; survey questions. Information in this proposed rule (Nov. 2011) (reminding member firms of their Letter from Courtney Rogers Reid, Lead Counsel, change regarding the percentage of survey obligations regarding the supervision of associated Broker-Dealer and Investment Adviser Practice respondents for a particular question reflects the persons using senior designations); Regulatory Group, MML Investors Services, LLC, to Jennifer percentage of respondents for that question, not the Notice 16–12 (Apr. 2016) (providing guidance on Piorko Mitchell, Office of the Corporate Secretary, percentage of respondents for the survey as a whole. member firm responsibilities for sales of pension FINRA, dated Oct. 8, 2019; Letter from Christopher Approximately 190 responses were received for income stream products); and Regulatory Notice Gerold, President, NASAA, to Jennifer Piorko Continued
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The review indicated that FINRA’s Customers’ Securities or Funds; with the rule, which shall be readily steps to protect seniors have provided Prohibition Against Guarantees and available to FINRA, upon request.23 helpful and effective tools in the fight Sharing in Accounts) and 11870 Importantly, a temporary hold against financial exploitation, but it also (Customer Account Transfer Contracts) pursuant to Rule 2165 may be placed on suggested some additional tools, when member firms exercise discretion a particular suspicious disbursement(s) guidance and rule changes. In October in placing temporary holds on (e.g., a payment related to a commonly 2020, FINRA published Regulatory disbursements of funds or securities known scam, such as a lottery scam) but Notice 20–34 (October 2020): (1) from the accounts of specified adults not on non-suspicious disbursements Summarizing the retrospective rule consistent with the requirements of Rule (e.g., a regular mortgage payment or review process, including the 2165. FINRA encourages member firms assisted living facility payment). predominant themes that emerged from to take advantage of the Rule 2165 safe Responding to Suspected Financial Retrospective Review Stakeholder harbor where there is a reasonable belief Exploitation feedback; (2) seeking comment on of customer financial exploitation. proposed amendments to Rule 2165 to Temporary holds on disbursements further address suspected financial Rule Safeguards have played a critical role in providing exploitation of senior investors and Rule 2165 also includes important member firms a way to quickly respond other specified adults; and (3) providing safeguards that are designed to ensure to suspicions of financial exploitation guidance to aid member firms and that there is not a misapplication of the before potentially ruinous losses occur senior investors and other specified rule, including the requirements that: for the customer. For example, FINRA’s adults.15 (1) A member firm provide report for the five-year anniversary of the FINRA Securities Helpline for Rule 2165 notification of the hold and the reason ® for the hold to all parties authorized to Seniors highlights several matters that Rule 2165 is the first uniform national transact business on the account, illustrate the positive impact of placing standard for placing temporary holds on including the customer and the temporary holds on disbursements to disbursements to address suspected 24 customer’s trusted contact person no address financial exploitation. The financial exploitation.16 Rule 2165 later than two business days after the matters include temporary holds placed permits a member firm to place a date that the member firm first placed by member firms to prevent senior temporary hold on a disbursement of the hold; 18 investors from losing: funds or securities from the account of • $200,000 (representing a ‘‘specified adult’’ 17 customer when (2) A member firm that places a hold pursuant to the rule immediately approximately two-thirds of the the firm reasonably believes that investor’s account) related to a Central financial exploitation of that adult has initiate an internal review of the facts and circumstances that caused the Intelligence Agency (CIA) lawsuit scam; occurred, is occurring, has been • $10,000 in a lottery scam; member to reasonably believe that the attempted or will be attempted. Prior to • $60,000 in a romance scam; and the adoption of Rule 2165, some financial exploitation of the specified • $50,000 to financial exploitation by member firms expressed concern that adult has occurred, is occurring, has 19 a brother-in-law. placing a temporary hold on suspicious been attempted, or will be attempted; disbursements was not explicitly (3) In addition to the general Proposed Amendments to Rule 2165 permitted by FINRA rules. supervisory and recordkeeping The retrospective review indicated To address these concerns, Rule 2165 requirements of FINRA Rules 3110, that Rule 2165 has been an effective tool provides member firms and their 3120, 3130, 3150, and Rule 4510 Series, in the fight against financial associated persons with a safe harbor a member relying on the rule establish exploitation,25 but supported from FINRA Rules 2010 (Standards of and maintain written supervisory amendments to permit member firms to: Commercial Honor and Principles of procedures reasonably designed to (1) Extend a temporary hold on a Trade), 2150 (Improper Use of achieve compliance with the rule, disbursement of funds or securities or a including, but not limited to, transaction in securities for an each top-level (non-nested) question. Therefore, procedures related to the identification, additional 30-business days if the unless indicated otherwise, the reader can assume escalation and reporting of matters member firm has reported the matter to that the percentages are based on approximately related to the financial exploitation of 190 responses. a state regulator or agency or a court of 20 15 The proposed amendments to Rule 2165 set specified adults; forth in Regulatory Notice 20–34 are referred to (4) Any request for a hold be escalated 23 See Rule 2165(d). herein as the ‘‘Notice 20–34 Proposal.’’ to a supervisor, compliance department 24 See Protecting Senior Investors 2015–2020: An 16 See Securities Exchange Act Release No. 79964 or legal department rather than allowing Update on the FINRA Securities Helpline for (Feb. 3, 2017), 82 FR 10059 (Feb. 9, 2017) (Notice Seniors, Other FINRA Initiatives and Member Firm of Filing of Partial Amendment No. 1 and Order an associated person handling an Practices (Apr. 2020) (Senior Helpline Anniversary Granting Accelerated Approval of File No. SR– account to independently place a Report). FINRA–2016–039). hold; 21 25 During exams in 2019 focusing on Rule 2165, 17 The definition of ‘‘specified adult’’ in Rule (5) A member firm relying on the rule FINRA observed that large firms were more likely 2165 covers those investors who are particularly than small firms to place temporary holds pursuant susceptible to financial exploitation. A ‘‘specified develop and document training policies to Rule 2165. Some member firms that declined to adult’’ is (A) a natural person age 65 and older or or programs reasonably designed to use the safe harbor cited litigation risks associated (B) a natural person age 18 and older who the ensure that associated persons comply with placing temporary holds or in evaluating member reasonably believes has a mental or with the requirements of the rule; 22 and whether a customer is being financially exploited. physical impairment that renders the individual This is consistent with FINRA’s survey responses unable to protect his or her own interests. See Rule (6) A member firm relying on the rule with large firms indicating that they had placed a 2165(a)(1). Supplementary Material .03 to Rule retain records related to compliance temporary hold pursuant to the rule in a 2165 provides that a member firm’s reasonable significantly larger percentage than mid-size or belief that a natural person age 18 and older has a small firms. Thirty-one survey respondents had 18 See Rule 2165(b)(1)(B). mental or physical impairment that renders the placed a temporary hold pursuant to Rule 2165. 19 individual unable to protect his or her own interests See Rule 2165(b)(1)(C). Eighty-four percent of large firm respondents had may be based on the facts and circumstances 20 See Rule 2165(c)(1). placed a hold pursuant to Rule 2165, while only 6% observed in the member firm’s business 21 See Rule 2165(c)(2). of all other sized firm respondents had placed a relationship with the person. 22 See Supplementary Material .02 to Rule 2165. hold pursuant to Rule 2165.
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competent jurisdiction; and (2) place a Financial Exploitation (NASAA Model additional 30-business days if the temporary hold on a securities Act).29 member firm has reported the matter to transaction where there is a reasonable During exams in 2019 focusing on a state regulator or agency or a court of belief of financial exploitation. Rule 2165, member firms expressed to competent jurisdiction.31 FINRA the need for additional time to In addition, Rule 2165(d) requires Hold Period conduct investigations and resolve members to retain records related to Rule 2165 currently allows a member matters.30 Member firms were asked in compliance with the rule, which shall firm to place a temporary hold on a the survey distributed to member firms be readily available to FINRA, upon specified adult customer’s account for about possible impediments to resolving request. To evidence compliance with up to 25-business days if the criteria in a matter within the current 25-business Rule 2165 in placing or extending a the rule are satisfied. More specifically, day hold period provided by Rule 2165. temporary hold, FINRA is proposing to the temporary hold authorized by Rule Approximately 53% of survey require that a member firm retain 2165 would expire not later than 15- respondents stated that they had been records of the reason and support for business days after the date that the unable to resolve a matter within the 25- any extension of a temporary hold, member first placed the temporary hold business day period. The most common including information regarding any on the disbursement of funds or reason was that the matter was under communications with or by a state securities, unless otherwise terminated consideration by a state agency (such as regulator or agency of competent or extended by a state regulator or APS) or a court. Other common reasons jurisdiction or a court of competent agency or court of competent included: (1) The customer did not jurisdiction.32 respond to inquiries from the firm; or (2) jurisdiction.26 In addition, provided that Transactions in Securities the member firm’s internal review of the the customer did not believe that he or While placing a hold pursuant to Rule facts and circumstances supports its she was being financially exploited. For 2165 stops funds or securities from reasonable belief that the financial matters that took longer to resolve than leaving a customer’s account, the rule exploitation of the specified adult has the 25-business day period, currently does not apply to transactions occurred, is occurring, has been approximately 35% of survey in securities.33 Retrospective Review attempted or will be attempted, the rule respondents indicated that it took on Stakeholders and commenters to the permits the member to extend the average 26–50 days to resolve the matter Notice 20–34 Proposal generally temporary hold for an additional 10- and approximately 59% of survey supported extending Rule 2165 to business days, unless otherwise respondents indicated that it took on average 51–100 days to resolve the permit a member firm to place a terminated or extended by a state matter. temporary hold on a transaction in regulator or agency or court of FINRA recognizes that placing or securities when the firm has a competent jurisdiction.27 extending a temporary hold on a reasonable belief that the customer is Retrospective Review Stakeholders disbursement is a serious step for a being financially exploited.34 Even if a and commenters to the Notice 20–34 member and the affected customer. temporary hold is placed on a Proposal generally supported extending While FINRA recognizes that customers disbursement out of the customer’s the current 25-business day hold period may be affected by temporary holds, the account, these Retrospective Review to provide member firms with a longer costs of financial exploitation can be Stakeholders and commenters to the 28 period to resolve matters. These devastating to customers, particularly Notice 20–34 Proposal noted that Retrospective Review Stakeholders and older customers who rely on their executing a related transaction may commenters to the Notice 20–34 savings and investments to pay their result in significant financial Proposal indicated that the current living expenses and who may not have consequences for the customer (e.g., period may not be sufficient when a the ability to offset a significant loss adverse tax consequences, surrender matter is under consideration by a state over time. Furthermore, the rule’s charges, the inability to regain access to regulator, state agency or court. Notably, safeguards are designed to ensure that a sold investment that has been closed this view was shared by NAPSA and the there is not a misapplication of the rule. to new investors or trading by a Philadelphia Financial Exploitation To provide member firms with perpetrator in inappropriate high risk or Task Force in comments to Regulatory additional time to resolve matters and illiquid securities). Notice 19–27 and the Notice 20–34 for APS agencies, state regulators and Currently, there are 34 states with Proposal, with both commenters stating law enforcement to conduct thorough laws that allow investment advisers or that adult protective services (APS) investigations, FINRA is proposing broker-dealers to place some form of agencies, state regulators and law amending Rule 2165 to permit hold. Several Retrospective Review enforcement typically need more time to extending a temporary hold on a conduct thorough investigations. In disbursement of funds or securities or a 31 The 30-business day hold period in proposed contrast, in comments to Regulatory transaction in securities for an Rule 2165(b)(4) would be in addition to the 15- Notice 19–27 and the Notice 20–34 business day hold in Rule 2165(b)(2) and the 10- Proposal, NASAA supported retaining 29 The NASAA Model Act is available at https:// business day hold in Rule 2165(b)(3). 32 See proposed Rule 2165(d)(6). the current 25-business day period, www.nasaa.org/industry-resources/senior-issues/ model-act-to-protect-vulnerable-adults-from- 33 For example, Rule 2165 currently would not which aligns with the hold period financial-exploitation/. apply to a customer’s order to sell his shares of a provided in the NASAA Model Act to 30 In 2019, FINRA identified as an examination stock. However, if a customer requested that the Protect Vulnerable Adults from priority: (1) Reviewing member firms’ controls proceeds of a sale of shares of a stock be disbursed regarding their obligations under trusted contact out of his account at the member firm, then the rule person-related amendments to FINRA Rule 4512 could apply to the disbursement of the proceeds 26 See Rule 2165(b)(2). and Rule 2165, to the extent that firms anticipate where the customer is a ‘‘specified adult’’ and there 27 See Rule 2165(b)(3). placing temporary holds on disbursements pursuant is reasonable belief of financial exploitation. 28 See, e.g., comments to the Notice 20–34 to the Rule 2165 safe harbor, including whether 34 See, e.g., comments to the Notice 20–34 Proposal from CAI, Cambridge, Commonwealth, firms have clearly defined policies and procedures Proposal from CAI, Cambridge, Commonwealth, Edward Jones, Fidelity, FSI, IRI, Miami Investor or practices; and (2) learning about firms’ early Edward Jones, Fidelity, FSI, IRI, LPL, Miami Rights Clinic, MMLIS, NAPSA, Norcross, experiences with these provisions. See 2019 Annual Investor Rights Clinic, MMLIS, NAPSA, Norcross, Philadelphia Financial Exploitation Task Force, Risk Monitoring and Examination Priorities Letter Philadelphia Financial Exploitation Task Force, SIFMA and Wells Fargo. (Jan. 22, 2019). SIFMA and Wells Fargo.
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Stakeholders noted that while the agree that member firms need tools to customer can experience significant NASAA Model Act does not extend to address suspected financial negative financial consequences if a transactions, 20 of those 34 states (with exploitation.38 suspicious transaction is permitted.41 approximately half of the U.S. As discussed in greater detail in Some Retrospective Review population) have enacted laws section C infra, some Retrospective Stakeholders and commenters to the permitting investment advisers and Review Stakeholders and commenters to Notice 20–34 Proposal believe that the broker-dealers to place temporary holds the Notice 20–34 Proposal expressed proposed extension of the hold period is on disbursements and transactions.35 concern that a temporary hold could be too long and could be harmful to While some state laws permit placing harmful to customers or that Rule 2165 customers.42 Commenters to the Notice holds on transactions, FINRA is could be misused by member firms. 20–34 Proposal stated that some matters proposing to amend Rule 2165 to create Regarding the potential of customer can be quickly resolved after placing a the first uniform national standard for harm, it is important to consider that temporary hold, but complex matters placing holds on securities transactions Rule 2165 is available only if the that involve investigations by state related to suspected financial member firm has a reasonable belief that regulators or agencies or legal actions in exploitation. Under the safe harbor the customer is being financially a court (e.g., financial exploitation of an approach, a member firm would be exploited. Moreover, the temporary hold elderly customer by a family member or permitted, but not required, to place a may be placed only on the suspicious caregiver) may need additional time to temporary hold on a transaction when disbursement (or transaction if the resolve.43 In considering the appropriate there is a reasonable belief that the proposed amendment to extend the rule time period, it is notable that NAPSA customer is being financially exploited. to transactions is approved). Even if the and the Philadelphia Financial FINRA recognizes that placing a member firm has placed a temporary Exploitation Task Force—representing temporary hold on a transaction is a hold on a suspicious disbursement or APS programs which play a critical role serious step for a member firm and the transaction pursuant to Rule 2165, a in investigating suspicions of financial affected customer. But FINRA also temporary hold may not be placed on exploitation—also expressed in their recognizes that placing a temporary non-suspicious disbursements or comments to the Notice 20–34 Proposal hold on the underlying transaction may transactions (e.g., a regular mortgage the need for additional time to conduct prevent significant negative financial payment). investigations. NAPSA’s comment letter consequences for the customer. These In evaluating concerns about potential to the Notice 20–34 Proposal also shared negative financial consequences can misuse of Rule 2165, neither FINRA nor data in support of the need for a longer result even if a temporary hold is placed commenters were able to identify any hold period in Rule 2165 that the on any related disbursement of funds reported customer complaints on Forms average investigation duration of out of the customer’s account. U4 or U5 or pursuant to Rule 4530 reported matters to the federal National related to placing a temporary hold Moreover, as discussed above, the rule Adult Maltreatment Reporting System pursuant to Rule 2165. Moreover, includes important safeguards designed (NAMRS) is 52.6 days. respondents to FINRA’s survey to In considering the proposed extension to avoid misapplication of the rule. member firms indicated that they had of Rule 2165 to securities transactions, Need for the Proposed Amendments not reported a complaint on Form U4 or it is notable that approximately 50% of Retrospective Review Stakeholders Form U5 or pursuant to Rule 4530 the U.S. population lives in a state that and commenters to the Notice 20–34 related to placing any temporary holds. permits broker-dealers and investment Proposal consistently indicated the In addition, neither FINRA nor the advisers to place holds on suspicious prevalence of and problems associated states have brought any disciplinary securities transactions pursuant to state with financial exploitation of senior action due to misuse of Rule 2165 or law. any state temporary hold law.39 These state laws represent a investors,36 including the potential for The demonstrated and potential patchwork where some customers may significant and longstanding harm to 37 benefits of Rule 2165 weigh in favor of be afforded greater protection from customers. Moreover, Retrospective the proposed rule change. Notably, Rule financial exploitation than other Review Stakeholders and commenters to 2165 has been used by member firms to customers. In contrast, Rule 2165 the Notice 20–34 Proposal generally address suspected financial exploitation provides a uniform national standard for and these temporary holds have placing temporary holds when there is 35 As of June 2021, the following states permit holds on disbursement and transactions: Arkansas, prevented significant financial harm to a reasonable belief of financial Arizona, California, Florida, Iowa, Kentucky, customers.40 Moreover, Retrospective exploitation. Moreover, Rule 2165 Minnesota, Mississippi, Missouri, Nebraska, New Review Stakeholders and commenters to incorporates numerous safeguards that Jersey, New Mexico, North Dakota, Oklahoma, the Notice 20–34 Proposal stressed that, apply to each temporary hold and that South Carolina, Texas, Utah, Virginia, Washington and West Virginia. even if a temporary hold is placed on a are designed to ensure that there is not 36 See, e.g., comments to the Notice 20–34 disbursement of funds or securities, a a misapplication of the rule. Proposal from PIABA. See also Consumer Financial If the Commission approves the Protection Bureau, Office of Financial Protection for 38 See, e.g., in comments to the Notice 20–34 proposed rule change, FINRA will Older Americans, Suspicious Activity Reports on Proposal the Miami Investor Rights Clinic stated announce the implementation date of Elder Financial Exploitation: Issues and Trends that it ‘‘fully supports’’ the proposed amendments (Feb. 2019) (highlighting that SAR filings on elder as they will provide greater protection to seniors the proposed rule change in a financial exploitation quadrupled from 2013 to and vulnerable adults that may be victims of Regulatory Notice. The implementation 2017). See also U.S. Securities and Exchange financial exploitation. IRI also stated that the date will be no later than 180 days Commission, Office of the Investor Advocate, Elder proposed amendments will better enable firms to following publication of the Regulatory Financial Exploitation (June 2018) (providing an prevent the financial exploitation of vulnerable overview of studies on the prevalence of senior Americans. financial exploitation). 39 This lack of disciplinary action by FINRA and 41 See, e.g., comments to the Notice 20–34 37 See, e.g., discussion in the Senior Helpline the states is also noted in the NASAA’s comment Proposal from Edward Jones and the Miami Investor Anniversary Report regarding a member firm letter to the Notice 20–34 Proposal. Rights Clinic. placing a temporary hold to prevent a senior 40 See, e.g., Protecting Senior Investors 2015– 42 See, e.g., comments to the Notice 20–34 investor from losing $200,000 (representing 2020: An Update on the FINRA Securities Helpline Proposal from NASAA and the Pittsburgh Clinic. approximately two-thirds of the investor’s account) for Seniors, Other FINRA Initiatives and Member 43 See, e.g., comments to the Notice 20–34 related to a CIA lawsuit scam. Firm Practices (Apr. 2020). Proposal from Edward Jones.
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Notice announcing Commission trend of such exploitation,45 FINRA 59% indicated that it took on average approval. conducted a review of relevant existing 51–100 days to resolve the matter. rules and administrative processes that 2. Statutory Basis With respect to the issue of placing a help protect senior investors from temporary hold on transactions, The proposed rule change is financial exploitation. Through this currently 20 states (with approximately consistent with the provisions of review, FINRA has received feedback on half of the U.S. population) have Section 15A(b)(6) of the Act,44 which the effectiveness and efficiency of Rule enacted laws permitting investment requires, among other things, that 2165. advisers and broker-dealers to place FINRA rules must be designed to temporary holds on disbursements and prevent fraudulent and manipulative Economic Baseline transactions. acts and practices, to promote just and The economic baseline for the equitable principles of trade, and, in proposed rule amendments is the Economic Impacts general, to protect investors and the current Rule 2165 and its use by public interest. The proposed rule member firms, as well as existing firm FINRA has analyzed the potential change will promote investor protection policies and state laws related to costs and benefits of the proposed by allowing for additional time for firms protecting senior investors. As amendments, and the different parties to resolve matters and for APS agencies, discussed above, in August 2019, that are expected to be affected. FINRA state regulators and law enforcement to FINRA launched a retrospective review has identified senior investors and conduct thorough investigations of to assess the effectiveness and efficiency member firms that serve senior investors suspected financial exploitation. of its rules and administrative processes as the main parties to be impacted by Customers would benefit from this that help protect senior investors from the proposed amendments. extension in instances where the financial exploitation. To conduct the The proposed amendments to Rule additional time allows for a positive assessment phase of the retrospective 2165 would permit extending a identification of financial exploitation rule review, FINRA first sought temporary hold for an additional 30- and retention of the disbursement comment in Regulatory Notice 19–27. business days if the member firm has amount within the account. The FINRA obtained input from several reported the matter to a state agency or proposed rule change also will allow advisory committees comprising a court of competent jurisdiction. firms to place temporary holds on member firms of different sizes and FINRA believes that allowing an transactions, which should prevent business models, investor protection extension to the temporary hold period harm to exploited customers such as advocates, and member firms, and from would provide firms additional time to being subject to adverse tax trade associations. In addition, FINRA resolve matters and for APS agencies, consequences, early withdraw penalties obtained the perspective of its operating state regulators and law enforcement to or investments that do not align with departments that touch the rules and conduct thorough investigations of their investor profiles. Moreover, the their administration. suspected financial exploitation. rule incorporates numerous safeguards FINRA also distributed a survey to all Moreover, extensions may allow for that apply to each temporary hold and member firms in the first quarter of greater collaboration and interaction that are designed to ensure that there is 2020, to which a subset of firms, ranging between the member firm placing the not a misapplication of the rule. from small to large firms, responded. hold and other authorities or regulators, B. Self-Regulatory Organization’s The purpose of the survey was to collect on a local, state or national level. Statement on Burden on Competition information and to provide member Customers would benefit from this firms an additional opportunity to extension in instances where the FINRA does not believe that the provide their views. The economic additional time allows for a positive proposed rule change would result in baseline, regarding the current identification of financial exploitation any burden on competition that is not application of the rule by firms and the and retention of the disbursement necessary or appropriate in furtherance effectiveness and efficiency of the rule, amount within the account. of the purposes of the Act. All member is established using the information Alternatively, if the additional time firms would be subject to the proposed obtained during the assessment phase. leads to a determination that no rule change. As noted above, with respect to the financial exploitation occurred, Economic Impact Assessment use of Rule 2165 in placing a temporary customers may incur costs from the extended delay in access to the funds. FINRA has undertaken an economic hold on disbursements, of the member impact assessment, as set forth below, to firms that indicated having placed a The proposed amendments would further analyze the regulatory need for temporary hold,46 approximately 53% also extend Rule 2165 to permit a the proposed rule change, its potential of survey respondents stated that the member firm to place a temporary hold economic impacts, including firm had been unable to resolve the on a transaction in securities when the anticipated costs, benefits, and matter within the 25-business day firm has a reasonable belief that the distributional and competitive effects, period provided by the rule. For firms customer is being financially exploited. relative to the current baseline, and the responding that any matter took longer Twenty states, together containing alternatives FINRA considered in to resolve than the 25-business day approximately half of the U.S. assessing how best to meet its regulatory period, approximately 35% indicated population, already permit firms to objective. that it took on average 26–50 days to place temporary holds on transactions. resolve the matter and approximately The proposed amendments would Regulatory Need impact firms in all states by providing FINRA is active in its efforts to protect 45 See supra note 36. a safe harbor under FINRA rules for senior investors from financial 46 Thirty-one firms responded in the survey that firms to place holds on transactions. exploitation. In the context of these they had placed a temporary hold. Out of the 31 The extent of the impact would vary firms that indicated that they had placed a efforts, and with evidence of a growing temporary hold, 17 firms indicated that it took more across firms depending on their than the 25-business day period to resolve the decision to take advantage of the 44 15 U.S.C. 78o–3(b)(6). matter, as currently provided in Rule 2165. proposed extension of Rule 2165 to
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transactions.47 The proposed Third, FINRA considered requiring financial exploitation. IRI also stated amendments would also impact the firms to place temporary holds, for that the proposed amendments will customers of those firms. In instances either disbursements or transactions, better enable firms to prevent the when a firm’s hold on a transaction rather than permitting it. FINRA financial exploitation of vulnerable prevented financial exploitation, the believes that providing firms with the Americans. customer whose transaction was held discretion of placing a hold, versus a LPL supported the proposed would benefit from not incurring the requirement, results in incentives to use amendments but requested that the hold negative financial consequences of the the hold option in a way that ultimately period be further extended to allow for transaction. In instances when a benefits both the firm and its’ holds of up to 100-business days. transaction hold was executed and no customers.49 Regarding the hold period in Rule 2165, financial exploitation was found, the Finally, FINRA considered extending FINRA has tried to strike a reasonable economic impact of the hold stems Rule 2165 to situations where a firm has balance in giving member firms primarily from the magnitude of the a reasonable belief that one of its adequate time to investigate and contact security’s price movement (positive or customers is exhibiting signs of the relevant parties, as well as seek negative) between the time the hold was diminished capacity or cognitive input from a state regulator or agency or placed and the time it was lifted. decline, affecting the customers’ ability a court if needed, but also not to protect their own financial interests, permitting an open-ended hold period Alternatives Considered without any evidence of financial in recognition of the seriousness of FINRA considered various exploitation. FINRA believes that the placing a temporary hold. Rule 2165 alternatives to the proposed rule associated costs with establishing such would continue to permit the temporary amendments. First, FINRA considered a standard outweigh the potential hold to be terminated or extended by a different possible extensions of the benefits. Such an extension would give state regulator, state agency or court of temporary hold period, ranging from no discretion to member firms that could competent jurisdiction. In addition, if extension to an extension of up to 75- directly or indirectly impede informed the proposed hold period does not business days. On the one hand, a investor choice, with potential costs that provide member firms adequate time to longer temporary hold period would might exceed the potential benefits from investigate and contact the relevant allow member firms more time to investor protection. parties, as well as seek input from a investigate and contact the relevant C. Self-Regulatory Organization’s state regulator or agency or a court if parties, as well as obtain input from a Statement on Comments on the needed, FINRA may consider extending state regulator, agency, or court if Proposed Rule Change Received From the temporary hold period in future needed. Alternatively, an extended Members, Participants, or Others rulemaking. temporary hold period could result in The proposed rule change was Opposition to or Concerns With the increased costs to both investors and published for comment in Regulatory Notice 20–34 Proposal firms.48 These include increased costs to Notice 20–34. FINRA received 19 PIABA supports enhanced protections investors from lost investment comment letters in response to the opportunities or liquidity problems and for investors but expressed concern that Notice 20–34 Proposal. A copy of the member firms could misuse the increased costs to firms from legal Notice 20–34 Proposal is attached [sic] challenges to investigations, all of proposed amendments. PIABA as Exhibit 2a. Copies of the comment recommended that FINRA require in which are anticipated to be related to letters received in response to the Notice the length of the hold on disbursements. Rule 2165 that the member firm: (1) 20–34 Proposal are attached [sic] as Update its written supervisory manuals Considering these factors, as well as 50 Exhibit 2c. to include training and review information from the various outreach The comments and FINRA’s transactions suspected of elder abuse; efforts and stakeholder engagements, responses are set forth in detail below. FINRA believes that the proposal strikes (2) include in its retained records a balance across the spectrum of Support for the Notice 20–34 Proposal documentation of the firm’s reasonable possible options. Fourteen commenters expressed efforts to quickly investigate the matter; and (3) file a report with the appropriate Second, FINRA considered not support for the Notice 20–34 Proposal.51 APS agency and state regulator as soon extending Rule 2165 to transactions, but Several commenters stated that the as reasonably practical but no later than rather keeping the temporary hold proposed amendments will better seven business days from the initial option only for disbursements. FINRA protect vulnerable investors from hold period. weighed the costs and benefits of doing financial exploitation. For example, so, as discussed above, also considering Miami Investor Rights Clinic stated that Regarding PIABA’s suggested that some states already permit such a it ‘‘fully supports’’ the proposed requirements, Rule 2165 currently hold on transactions. Ultimately, FINRA amendments as they will provide includes several safeguards designed to has found the proposed amendment to greater protection to seniors and prevent misapplication of the rule, expand Rule 2165 to transactions to vulnerable adults that may be victims of including requiring that member firms strike an appropriate balance between that intend to place a hold pursuant to regulatory burden, investor protection 49 See Bruce I. Carlin, Tarik Umar, and Hanyi Yi, Rule 2165 must: (1) Retain records and investor choice. Deputization, National Bureau of Economic related to the firm’s internal Research Working Paper No. 27225 (May 2020) investigation; 52 and (2) develop and (discussing the benefits of providing financial document training policies or programs 47 When asked in the survey about FINRA institutions tools to address suspected financial extending Rule 2165 to transactions, respondents exploitation versus requiring specific actions). reasonably designed to ensure that were evenly split with 50% anticipating that the 50 See Exhibit 2b for a list of abbreviations associated persons comply with the member firm would place holds on transactions assigned to commenters. requirements of the rule.53 FINRA also pursuant to amended Rule 2165 and 50% 51 See CAI, Cambridge, Commonwealth, Edward expects member firms to comply with anticipating that the firm would not place holds. Jones, Fidelity, FSI, IRI, Miami Investor Rights 48 See discussion in ‘‘Economic Impacts’’ section Clinic, MMLIS, NAPSA, Norcross, Philadelphia above in section B, ‘‘Hold Period’’ section below in Financial Exploitation Task Force, SIFMA and 52 See Rule 2165(d). section C, and Regulatory Notice 20–34. Wells Fargo. 53 See Supplementary Material .02 to Rule 2165.
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all applicable state requirements, required to provide any information to retrospective review, FINRA sought including reporting requirements. support their claims; and (3) the survey comment on the proposed amendments NASAA’s letter acknowledges that respondents represent an inadequate to Rule 2165 in Regulatory Notice 20– neither FINRA nor the states have and unrepresentative sample size (the 34. FINRA considered the collective brought disciplinary action due to survey was provided to 3,516 member feedback from the Retrospective Review misuse of Rule 2165 or any state firms, of which only 238 member firms Stakeholders and comments to the temporary hold laws by a member firm. responded). Notice 20–34 Proposal in assessing Rule However, as discussed in greater detail FINRA engaged in extensive internal 2165 and the proposed amendments. below, NASAA does not support and external stakeholder outreach extending the temporary hold period during the assessment phase of the The purpose of the survey distributed and expressed concern about the retrospective review to assess the to all member firms was to collect potential impact of a longer hold period effectiveness and efficiency of FINRA’s information in order to validate the on customers. FINRA’s responses to rules and administrative processes that feedback received and to provide an NASAA’s detailed concerns are help protect senior investors from additional opportunity for all member included below in section C under financial exploitation. This outreach firms to provide their views. There were ‘‘Hold Period’’ and ‘‘Transactions in included: (1) Seeking comment in 238 firms that responded to the survey, Securities.’’ Regulatory Notice 19–27 on several and the breakdown of these firm survey Pittsburgh Clinic does not support questions with respect to addressing respondents according to firm size, as current Rule 2165 or the proposed financial exploitation and other measured by the number of registered amendments because it believes that circumstances of financial vulnerability representatives, and the comparison to member firms could misuse temporary for senior investors; (2) obtaining input the general population of member firms, holds for their financial benefit. FINRA from several advisory committees is provided in Table 1 below. With has extensively addressed the concerns comprising member firms of different respect to the Pittsburgh Clinic of potential misuse above in section A sizes and business models, investor comment letter, FINRA notes that: (1) under the ‘‘Need for the Proposed protection advocates, member firms, The membership survey is one tool Amendments.’’ and trade associations; (3) obtaining the frequently used by FINRA in its Pittsburgh Clinic also said that the perspective of FINRA’s operating outreach efforts to solicit information survey of member firms should not be departments that administer the rules from its members; (2) the response rate relied on to assess Rule 2165 or the and their administration; (4) considering mentioned is a lower bound when proposed amendments because: (1) The FINRA examination observations and considering relevant member firms; and survey respondents are member firms findings involving senior issues; and (5) (3) the breakdown of survey that stand to benefit from an increase to developing an anonymous survey that respondents by firm size is mostly the extension of the hold period, as well was distributed to all member firms in representative with respect to the full as the rule’s safe harbor provisions; (2) the first quarter of 2020. In addition, as member firm population, as the survey respondents were not part of the action phase of the summarized in Table 1.
flrm Sile # RR, lndustl') Sm·,c~ Respondents
Count Count 010 Tofal
Tot.ll 3,519
Hold Period person or using other tools, but the firm supported the proposed extension of the has experienced situations where the temporary hold period in the Notice 20– The majority of commenters current 25-day period provided under 34 Proposal. NAPSA and Philadelphia supported the proposed amendment to Rule 2165 is insufficient. Edward Jones Financial Exploitation Task Force noted extend a temporary hold for an notes having experienced this situation that the latest data submitted to the additional 30 business days if the when working with state agencies, such NAMRS indicates that the average member firm has reported the matter to as APS, to investigate a case of investigation duration of all reported a state regulator or agency or a court of suspected financial exploitation. cases is 52.6 days. Recognizing that competent jurisdiction.54 For example, Edward Jones stated that some APS financial exploitation investigations are Edward Jones stated that the firm is agencies are not adequately resourced to often more complicated and time often able to quickly resolve matters quickly review these matters and yet are consuming, NAPSA and Philadelphia where it suspects financial exploitation hesitant to request an extension of a Financial Exploitation Task Force of a senior or vulnerable investor by hold until they determine whether expressed appreciation for the engaging the customer’s trusted contact exploitation exists. additional days as a starting point, with While NAPSA and Philadelphia the ability to revisit as more data 54 See CAI, Cambridge, Commonwealth, Edward Financial Exploitation Task Force becomes available. Jones, Fidelity, FSI, IRI, Miami Investor Rights Clinic, MMLIS, NAPSA, Norcross, Philadelphia previously supported a 60-business day While acknowledging that an Financial Exploitation Task Force, SIFMA and extension in their comments to adequate period for review of the facts Wells Fargo. Regulatory Notice 19–27, they and circumstances must be allowed,
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Pittsburgh Clinic stated that the member firm has reported the matter to accordingly, state or local APS may proposed longer hold period increases a state agency or a court of competent terminate or extend a temporary hold the possibility that a member firm could jurisdiction. Extending the hold period pursuant to Rule 2165. misuse a hold to harm an investor. as proposed is intended to address the Transactions in Securities Pittsburgh Clinic stated that the complex matters that need additional proposed hold period is too long time to resolve. In addition, some states The majority of commenters because customers may need the funds mandate reporting of suspected supported the proposed amendment to to pay for living expenses. Pittsburgh financial exploitation by financial permit member firms to place a Clinic also expressed concern that Rule institutions, including broker-dealers, temporary hold on a securities 2165 does not include a reporting within a specified period of time. transactions where there is a reasonable requirement unless a member firm FINRA expects member firms to comply belief of financial exploitation.56 For wants to avail itself of the additional 30- with all applicable state requirements, example, NAPSA and the Philadelphia business day extension. including reporting requirements. Financial Exploitation Task Force NASAA believes that the current 25- In addition, FINRA agrees with the applauded the creation of a uniform business day hold period, with the commenters who stressed the need for national standard for placing holds on authority for state regulators or agencies a temporary hold not to interfere with transactions related to suspected or the courts to terminate or extend, is non-suspicious disbursements that are financial exploitation. Miami Investor the better approach as it provides time needed for the customer’s expenses. A Rights Clinic stated that substantial to conduct the investigation and avoids temporary hold pursuant to Rule 2165 damage can result from securities unintended hardships from lengthy may be placed only on the suspicious transactions due to financial delays. Moreover, NASAA supports disbursement (or transaction if the exploitation and that appropriate involving state regulators or agencies or proposed amendment to extend the rule policies, procedures, and training can the courts within the initial 15-business to transactions is adopted). A temporary minimize any misapplication Rule 2165. day hold period specified in Rule hold may not be placed on non- Edward Jones stated that the financial 2165(b)(2). suspicious disbursements or harm resulting from exploitative Information gathered during the transactions (e.g., a regular mortgage transactions can take many forms, assessment phase of the retrospective payment). including selling long-held investments review, including discussions during Commonwealth supported the with low cost basis resulting in a exams in 2019 focusing on Rule 2165 proposed extension of the temporary significant tax liability, the sale of fixed and a survey to FINRA membership, hold period and stated that there should income investments with yields more supports the need for additional time to be some additional remedy when a attractive than current rates, and the conduct investigations and resolve matter is not resolved at the end of the sale of variable annuities, which could matters. NAPSA—representing APS hold period. As previously addressed in lead to surrender charges. Edward Jones programs which play a critical role in the rule filing to adopt Rule 2165, if a stated that the perpetrator of the investigating suspicions of financial member firm is unable to resolve an exploitation could also utilize the exploitation—also expressed the need issue due to circumstances beyond its proceeds of these sales to invest in high- for additional time to conduct control, there may be circumstances in risk securities further jeopardizing the investigations. NAPSA’s data that the which a member firm may extend a financial security of the senior or average investigation duration of temporary hold after the period vulnerable investor. Edward Jones reported matters to the NAMRS is 52.6 provided under the safe harbor.55 stated that when balanced against the days also highlights the need for a NAPSA and the Philadelphia potential financial devastation to the longer period to conduct investigations Financial Exploitation Task Force senior or vulnerable investor, the and resolve matters. requested clarification on whether ‘‘a proposal is a natural extension of the Retrospective Review Stakeholders state regulator or agency of competent current rule that will further minimize and comments to the Notice 20–34 jurisdiction’’ would include state or the risk of financial harm and provide Proposal indicated that some matters local law enforcement. For purposes of greater protection for senior and can be quickly resolved after placing a Rule 2165, FINRA would interpret state vulnerable investors. temporary hold (e.g., by explaining to or local law enforcement to be ‘‘a state In its comment to Regulatory Notice the customer that the activity and regulator or agency of competent 19–27, PIABA cautioned FINRA against requested disbursement fits a commonly jurisdiction’’ and, accordingly, state or substantive changes to Rule 2165 that known scam). However, complex local law enforcement may terminate or might conflict with state laws. However, matters that involve investigations by extend a temporary hold pursuant to PIABA noted that the recently adopted state regulators or agencies or legal Rule 2165. state laws allow for holds on securities actions in a court (e.g., financial SIFMA noted that, depending on the transactions and disbursements. exploitation of an elderly customer by a jurisdiction, APS may be a state or local Pittsburgh Clinic expressed concern that family member or caregiver) may need agency and suggested revising proposed the proposed extension gives too much additional time to resolve. These Rule 2165(b)(4) to refer to a ‘‘state authority to member firms with limited complex matters often involve regulator, or an agency of competent oversight and that the customer may information gathering and sharing by jurisdiction’’ to more clearly cover local bear the risk of loss if firm makes the the firm and the state agency or APS. The inclusion of ‘‘a state regulator wrong call in placing a hold. regulatory investigating the matter. or agency of competent jurisdiction’’ in NASAA stated that if FINRA extends To provide member firms with proposed Rule 2165(b)(4) is consistent Rule 2165 to permit placing holds on additional time to resolve matters and with the language in current Rule securities transactions, the supervision for APS agencies, state regulators and 2165(b)(2) and (3). For purposes of Rule and documentation requirements under law enforcement to conduct thorough 2165, FINRA would interpret state or investigations, FINRA is proposing local APS to be ‘‘a state regulator or 56 See CAI, Cambridge, Commonwealth, Edward Jones, Fidelity, FSI, IRI, LPL, Miami Investor Rights amending Rule 2165 to permit agency of competent jurisdiction’’ and, Clinic, MMLIS, NAPSA, Norcross, Philadelphia extending a temporary hold for an Financial Exploitation Task Force, SIFMA and additional 30 business days if the 55 See File No. SR–FINRA–2016–039. Wells Fargo.
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Rule 2165(c)–(d), and the training standard for placing holds on capacity in the absence of suspected specified in Supplementary Material .02 transactions related to suspected financial exploitation. In addition, in to Rule 2165, should be enhanced to financial exploitation. Moreover, comments to Regulatory Notice 19–27, require a documented rationale stating extending Rule 2165 to transactions the Cornell Clinic, NASAA, PIABA and why the customer’s financial would allow for consistent, national Pittsburgh Clinic expressed concerns professional and the member firm safeguards to avoid misapplication of that such an extension would give believe that a transaction hold will temporary holds. member firms too much discretion or protect the customer whereas a NASAA also noted that the NASAA would unfairly impede customer disbursement hold would not. NASAA Model Act is limited to disbursements, autonomy. stated that documentation should be in part, because a delay in a securities FINRA has not proposed to extend reviewed as a part of FINRA transaction could be deemed Rule 2165 to situations where a member examinations. NASAA believes that inconsistent with best execution firm has a reasonable belief that the disbursement holds should be the requirements. Regarding whether the customer has cognitive decline or default and that a transaction hold best execution obligation applies to a diminished capacity but there is no should be utilized only where a member firm’s decision to place a evidence of financial exploitation due to disbursement hold cannot adequately temporary hold on a securities the concerns expressed that such an protect a customer. Furthermore, transaction where there is a reasonable extension would give member firms too NASAA supports member firms belief of customer financial exploitation, much discretion or would unfairly establishing policies and procedures to ‘‘[b]roker-dealers are reminded that impede customer autonomy. Rather address any harm that may result to the nothing under the federal securities than rulemaking, FINRA summarized customer from a transaction hold. laws or FINRA rules obligates them to the information obtained about member FINRA recognizes that placing a accept an order where they believe that firms’ procedures and practices in this temporary hold on a transaction is a the associated compliance or legal risks area in Regulatory Notice 20–34 to assist serious step for a member and the are unacceptable.’’ 57 other member firms and investors. affected customer. Requiring that a Mandatory Holds Trusted Contact Person member firm make a disbursement hold the default and use transaction holds Miami Investor Rights Clinic noted Where a customer has not named a only where a disbursement hold cannot that Rule 2165 is a safe harbor and that trusted contact person, Wells Fargo adequately protect the customer would FINRA should consider amendments to suggested that FINRA give member add complexity and uncertainty into the Rule 2165 requiring that member firms firms the flexibility to contact a person decision to place a temporary hold as place temporary holds. FINRA believes ‘‘reasonably associated’’ with the the member firm would be required to that a member firm using its discretion customer’s account. weigh the consequences to the customer to place a temporary hold allows for the Under Rule 2165 as originally of placing the hold at different stages. judicious use of temporary holds to proposed in Regulatory Notice 15–37 Moreover, placing a temporary hold on protect customers from financial (October 2015) (Notice 15–37 Proposal), the underlying transaction may prevent exploitation. if the trusted contact person was significant negative financial unavailable, a member firm placing a Cognitive Decline or Diminished hold would have been required to consequences for the customer. These Capacity negative financial consequences can contact an immediate family member, result even if a temporary hold is placed Some commenters supported unless the member reasonably believed on any related disbursement of funds extending Rule 2165 to situations where that the immediate family member was out of the customer’s account. a firm has a reasonable belief that the financially exploiting the customer. Importantly, the ability to place a customer has an impairment, such as Commenters to the Notice 15–37 hold on a transaction pursuant to Rule diminished capacity, that renders the Proposal expressed concerns that the 2165 would apply only if the firm had individual unable to protect his or her proposed requirement would impinge a reasonable belief that the customer own interests, even though there is no upon customer privacy and would be was being financially exploited. As evidence of financial exploitation.58 operationally challenging for member noted above, FINRA would pursue Some Retrospective Review firms in identifying the customer’s disciplinary action against a firm that Stakeholders also supported extending immediate family members. Due to uses Rule 2165 for inappropriate Rule 2165 to these situations. However, these concerns, FINRA removed the purposes. As discussed in Regulatory other Retrospective Review requirements in the Notice 15–37 Notice 20–34 and NASAA’s comment Stakeholders expressed concerns that Proposal with respect to notifying an letter to Regulatory Notice 20–34, member firms are not well-positioned to immediate family member when a neither FINRA nor the states have determine if a customer is suffering temporary hold is placed. In the rule brought an action against a member firm from cognitive decline or diminished filing to adopt Rule 2165, FINRA noted for misuse of a temporary hold to that Rule 2165 would not preclude a address suspected financial 57 See SEC Staff Bulletin: Risks Associated with member firm from contacting an exploitation. Omnibus Accounts Transacting in Low-Priced Securities (Nov. 12, 2020), available at https:// immediate family member or any other Some member firms already place www.sec.gov/tm/risks-omnibus-accounts- person if the member has customer holds on securities transactions transacting-low-priced-securities (SEC Staff consent to do so and that contacting pursuant to state law. As noted in Bulletin). The SEC Staff Bulletin provides that, such persons may be useful to member section A of this filing, currently, 20 where the broker-dealer determines that the risks cannot be appropriately managed, and particularly firms in administering customer 59 states (with approximately half of the in the context of low-priced securities transactions, accounts. U.S. population) have enacted laws a broker-dealer should consider, among other NAPSA and the Philadelphia permitting investment advisers and things, restricting or rejecting transactions effected Financial Exploitation Task Force broker-dealers to place temporary holds on behalf of the customers of a foreign financial recommended that FINRA pursue efforts institution. on disbursements and transactions. 58 See Miami Investor Rights Clinic, NAPSA, to promote use of trusted contact Amending Rule 2165 as proposed Philadelphia Financial Exploitation Task Force and would create the first uniform national Wells Fargo. 59 See File No. SR–FINRA–2016–039.
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persons by customers. FINRA has taken to placing a temporary hold pursuant to various senior initiatives. In addition, steps to encourage customers to name Rule 2165. Moreover, survey the definition of ‘‘specified adult’’ in trusted contact persons. For example, respondents indicated that they had not Rule 2165(a)(1) also includes persons the SEC’s Office of Investor Education reported a complaint on Form U4 or age 18 and older who the member and Advocacy and FINRA collaborated Form U5 or pursuant to Rule 4530 reasonably believes has a mental or on an Investor Bulletin that helps related to placing any temporary holds. physical impairment that renders the customers understand the purpose of FINRA does not currently plan to individual unable to protect his or her designating a trusted contact person for propose guidance regarding when a own interests. brokerage accounts, and encourages Rule 2165-related complaint would be Manabat stated that FINRA rules customers to designate a trusted contact reportable or develop a specific problem protecting senior investors should apply person.60 In addition, in April 2018, code for reporting any Rule 2165-related to non-U.S. investors. For clarity, FINRA published a similar article complaint to FINRA pursuant to FINRA FINRA rules apply to U.S. and non-U.S. providing information on the trusted Rule 4530. In considering whether a customers of member firms. contact person-related amendments to complaint is reportable, member firms NAPSA and the Philadelphia Rule 4512 and Rule 2165 for investors should use the existing publicly Financial Exploitation Task Force and member firms.61 FINRA and the available guidance. FINRA may recommended that investment FINRA Investor Education Foundation reconsider this issue or develop a companies, such as mutual funds, be have highlighted these articles on specified problem code for reporting permitted to place temporary holds. In FINRA-managed social media channels, any Rule 2165-related complaint to 2018, staff in the SEC’s Division of including Facebook and Twitter, and FINRA pursuant to FINRA Rule 4530 if Investment Management issued a no- staff regularly discuss the benefits of complaints are reported in the future action letter to the Investment Company designating a trusted contact when and they appear to have a detrimental Institute stating that the staff would not speaking with individual investors. impact on the protection of seniors and recommend enforcement action if, other vulnerable adults. consistent with the conditions in the Reporting Requirements letter, a transfer agent, acting on behalf Several commenters expressed Customer Actions of a mutual fund, temporarily delayed concern that Rule 2165’s safe harbor Cambridge supported extending the for more than seven days the does not extend to complaints safe harbor provided by Rule 2165 to disbursement of redemption proceeds reportable on Forms U4 (Uniform protecting member firms and registered from the mutual fund account of a Application for Securities Industry representatives from customer actions as specified adult held directly with the Registration or Transfer) or U5 (Uniform a result of steps taken by a member firm transfer agent based on a reasonable Termination Notice for Securities pursuant to Rule 2165. FINRA belief that financial exploitation of the Industry Registration), or pursuant to previously addressed this issue when specified adult has occurred, is Rule 4530 about an associated person adopting Rule 2165, noting that member occurring, has been attempted, or will whose actions were within the safe firms today make judgments with regard be attempted.65 The no-action letter harbor and stated that some member to making or withholding disbursements permits mutual fund transfer agents to firms and associated persons may and already face litigation risks with protect specified adult shareholders choose not to place a hold pursuant to respect to these decisions.63 Rule 2165 from financial exploitation to the same Rule 2165 because of concerns about a is designed to provide regulatory relief extent that broker-dealers may do so possible customer complaint.62 These to member firms by providing a safe currently under FINRA Rule 2165. commenters requested guidance on harbor from FINRA rules for a If a member firm places a temporary when a Rule 2165-related complaint determination to place a hold. Some hold, Rule 2165 requires the member to would be reportable and supported states may separately provide immunity immediately initiate an internal review developing a specific problem code for to member firms under state law. of the facts and circumstances that reporting any Rule 2165-related caused the member to reasonably complaint to FINRA pursuant to FINRA Scope of Rule 2165 believe that financial exploitation of the Rule 4530. FSI suggested that FINRA Because some state temporary hold specified adult has occurred, is consider additional protections for laws cover customers younger than 65 occurring, has been attempted or will be financial professionals so they can years of age, LPL suggested that FINRA attempted. FSI recommended that confidently act when there is possible amend the definition of ‘‘specified FINRA provide additional guidance to exploitation that could have long-term adult’’ in Rule 2165(a)(1) to include member firms on conducting these negative consequences on a client’s persons 60 years of age and older. In internal reviews. FSI stated that state financial future and overall well-being. adopting Rule 2165, FINRA solicited regulators and agencies have the As discussed in Regulatory Notice 20– feedback regarding whether the ages appropriate expertise to conduct these 34, to date, based on FINRA’s review of used in the definition of ‘‘specified types of investigations and member reported complaints, member firms have adult’’ in proposed Rule 2165 should be firms work cooperatively to provide not reported a complaint on Forms U4 modified or eliminated. As discussed in state regulators and agencies with or U5 or pursuant to Rule 4530 related the rule filing proposing Rule 2165, requested information. FSI stated that some commenters suggested including member firms have access to internal 60 The Investor Bulletin was published in March an age lower than 65 and some records that evidence the customer’s 2020 and is available on the SEC’s website at commenters suggested including an age https://www.investor.gov/introduction-investing/ regular trading and account 64 general-resources/news-alerts/alerts-bulletins/ over 65 in the definition. The disbursement activity, but firms do not investor-bulletins-trusted-contact and on FINRA’s inclusion of persons 65 and older in the want to, for example, front-run and website at https://www.finra.org/investors/insights/ definition reflects, in part, that federal jeopardize a criminal investigation by consider-adding-trusted-contact-to-your-account. agencies, FINRA and NASAA have trying to contact and interview 61 FINRA made a downloadable print version of the article available at https://www.finra.org/sites/ focused on persons age 65 and older for witnesses. default/files/Protecting-Seniors-From-Financial- Exploitation_0.pdf. 63 See File No. SR–FINRA–2016–039. 65 See Investment Company Institute, SEC No- 62 See Cambridge, FSI and SIFMA. 64 See File No. SR–FINRA–2016–039. Action Letter (June 1, 2018).
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As stated in the rule filing proposing the FINRA Foundation aimed at available at (844) 57–HELPS—to the adoption of Rule 2165, FINRA promoting awareness about, and provide senior investors and their believes that the appropriate internal support for, the prevention of financial family members with a supportive place review will depend on the facts and fraud and exploitation, while to get assistance from specially trained circumstances of the situation.66 simultaneously empowering financial FINRA staff related to concerns they Member firms have discretion in consumers to protect themselves and have with their brokerage accounts and conducting a reasonable internal review their loved ones, using tactics including: investments; under proposed Rule 2165. In addition, Æ Training law enforcement and • Collaborating with NASAA and the Rule 2165 gives member firms flexibility victim advocates to detect, investigate, SEC to address senior investor regarding notifying some parties when and assist consumers with concerns of protection, including issuing a Senior the member firm reasonably suspects financial fraud and exploitation in Safe Act Fact Sheet designed to raise that the party is involved in the collaboration with federal and state awareness among member firms, financial exploitation. Specifically, Rule securities regulators, APS groups, investment advisers and transfer agents 2165(b)(1)(B)(i)–(ii) provides that a NAPSA, the National Center for Victims about the Act and its immunity member firm is not required to provide of Crime, the National White Collar provisions; 71 notification of a temporary hold to a Crime Center, and staff from FINRA’s • Producing and presenting on in- party authorized to transact business on National Cause and Financial Crimes person and virtual panels addressing the account or the trusted contact Detection Programs; senior investor protection with the SEC, Æ person if the member firm reasonably Engaging in consumer outreach— state securities regulators, NASAA, APS suspects that the authorized party or often in coordination with the SEC, offices, NAPSA, FBI and other agencies; trusted contact person, respectively, CFPB, state securities regulators, and and may be engaged in the financial nonprofits such as AARP and Better • Meeting with adult protective exploitation of the specified adult. Business Bureaus—to empower services staff in multiple states, in part If Rule 2165 is extended to allow for financial consumers to spot, avoid, and through NAPSA, to increase temporary holds on transactions in report financial fraud; Æ coordination of senior investor securities, FSI suggested that FINRA Conducting, supporting, and protection efforts and highlight FINRA expand the application of the safe disseminating research focused on Rule 2165’s provision that APS can harbor provided by Rule 2165 to cover financial exploitation and fraud as well direct a member firm to terminate or both FINRA Rule 3260 (Discretionary as aging and financial decision-making, extend a temporary hold authorized by Accounts) and FINRA Rule 5310.01 which is shared with internal and the Rule. external stakeholders; 68 (Execution of Marketable Customer Æ Orders). Collaborating with Committees and III. Date of Effectiveness of the Rule 3260’s scope and purpose are Task Forces focused on issues of Proposed Rule Change and Timing for distinguishable from permitting a financial fraud and exploitation, Commission Action member firm to place a temporary hold including working with the Department Within 45 days of the date of on a transaction when there is a of Justice’s Elder Justice Initiative, publication of this notice in the Federal reasonable belief that the customer is serving on NAPSA’s Financial Register or within such longer period (i) being financially exploited. Rules 3260 Exploitation Advisory Board, serving on as the Commission may designate up to addresses the creation and maintenance NASAA’s Senior Issues and Diminished 90 days of such date if it finds such of discretionary accounts and requires Capacity Committee Advisory Council, longer period to be appropriate and participating on various multi- firms to have procedures to identify and publishes its reasons for so finding or disciplinary teams (MDTs) aimed at prevent excessive trading or ‘‘churning’’ (ii) as to which the self-regulatory protecting and assisting vulnerable in such accounts. Rule 3260 is intended organization consents, the Commission adults, and holding joint trainings with to protect customers from the misuse of will: the CFPB’s Office of Older Americans, discretionary power by firms and (A) By order approve or disapprove and meeting periodically with state associated persons. such proposed rule change, or securities regulators and states’ In considering whether Rule 2165’s (B) institute proceedings to determine safe harbor needs to be extended to attorneys general to discuss senior 69 whether the proposed rule change address rules relating to order investor protection issues; • Issuing alerts and articles that should be disapproved. execution, ‘‘[b]roker-dealers are educate investors about important reminded that nothing under the federal IV. Solicitation of Comments issues and highlighting risks facing securities laws or FINRA rules obligates Interested persons are invited to senior investors; 70 submit written data, views and them to accept an order where they • Launching the dedicated FINRA arguments concerning the foregoing, believe that the associated compliance Securities Helpline for Seniors®— or legal risks are unacceptable.’’ 67 including whether the proposed rule change is consistent with the Act. Outreach and Collaboration 68 See FINRA Investor Education Foundation Investor Protection Campaign Research, available at Comments may be submitted by any of CAI requested that FINRA coordinate www.finrafoundation.org/fraudresearch. the following methods: with state authorities and SEC on 69 See Protecting Senior Investors 2015–2020: An measures to address financial Update on the FINRA Securities Helpline for Electronic Comments exploitation. FINRA has and will Seniors, Other FINRA Initiatives and Member Firm • Use the Commission’s internet Practices (Apr. 2020). continue to prioritize senior investors 70 See, e.g., articles such as Protecting Seniors comment form (http://www.sec.gov/ and address financial exploitation of from Financial Exploitation and Don’t Give in to rules/sro.shtml); or senior investors, including through: Power of Attorney Pressure; Investor Alerts such as • Send an email to rule-comments@ • Carrying out a multi-faceted Power of Attorney and Your Investments–10 Tips, sec.gov. Please include File Number SR– investor protection campaign through Plan for Transition: What You Should Know About the Transfer of Brokerage Account Assets on Death, FINRA–2021–016 on the subject line. and Seniors Beware: What You Should Know 66 See File No. SR–FINRA–2016–039. About Life Settlements; and FINRA’s Retirement 71 See http://www.finra.org/sites/default/files/ 67 See SEC Staff Bulletin. web page for investors. senior_safe_act_factsheet.pdf.
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Paper Comments SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s Statement of the Purpose of, and • COMMISSION Send paper comments in triplicate Statutory Basis for, the Proposed Rule [Release No. 34–92226; File No. SR–ISE– to Secretary, Securities and Exchange Change Commission, 100 F Street NE, 2021–14] 1. Purpose Washington, DC 20549–1090. Self-Regulatory Organizations; Nasdaq The Exchange proposes to amend All submissions should refer to File ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Options 2, Section 4, Obligations of Number SR–FINRA–2021–016. This file Market Makers; Options 4, Section 3, number should be included on the Rule Change To Amend Options 2, Section 4 (Obligations of Market Criteria for Underlying Securities; subject line if email is used. To help the Options 4, Section 8, Long-Term Commission process and review your Makers), Options 4, Section 3 (Criteria for Underlying Securities), Options 4, Options Contracts; and Options 4A, comments more efficiently, please use Section 12, Terms of Index Options only one method. The Commission will Section 8 (Long-Term Options Contracts), and Options 4A, Section 12 Contracts. Each change will be post all comments on the Commission’s (Terms of Index Options Contracts) described below. internet website (http://www.sec.gov/ Options 2, Section 4(a) rules/sro.shtml). Copies of the June 22, 2021. submission, all subsequent Pursuant to Section 19(b)(1) of the The Exchange proposes to remove the amendments, all written statements Securities Exchange Act of 1934 following rule text from Options 2, with respect to the proposed rule (‘‘Act’’),1 and Rule 19b–4 thereunder,2 Section 4(a), which has been in place change that are filed with the notice is hereby given that on June 9, since ISE’s inception: 3 Commission, and all written 2021, Nasdaq ISE, LLC (‘‘ISE’’ or . . . Ordinarily, Market Makers are expected communications relating to the ‘‘Exchange’’) filed with the Securities to: proposed rule change between the and Exchange Commission (1) Refrain from purchasing a call option or Commission and any person, other than (‘‘Commission’’) the proposed rule a put option at a price more than $0.25 below parity, although a larger amount may be those that may be withheld from the change as described in Items I and II, below, which Items have been prepared appropriate considering the particular market public in accordance with the conditions. In the case of calls, parity is provisions of 5 U.S.C. 552, will be by the Exchange. The Commission is measured by the bid in the underlying available for website viewing and publishing this notice to solicit security, and in the case of puts, parity is printing in the Commission’s Public comments on the proposed rule change measured by the offer in the underlying from interested persons. Reference Room, 100 F Street NE, security. I. Self-Regulatory Organization’s (2) The $0.25 amount above may be Washington, DC 20549, on official increased, or the provisions of this Rule may business days between the hours of 10 Statement of the Terms of Substance of be waived, by the Exchange on a series-by- a.m. and 3 p.m. Copies of such filing the Proposed Rule Change series basis. also will be available for inspection and The Exchange proposes to amend This proposed rule text also previously copying at the principal office of Options 2, Section 4, Obligations of existed on Cboe Exchange, Inc. within FINRA. All comments received will be Market Makers; Options 4, Section 3, prior Rule 8.7 4 and was removed from posted without change. Persons Criteria for Underlying Securities; Cboe’s Rulebook in 2019.5 The submitting comments are cautioned that Options 4, Section 8, Long-Term we do not redact or edit personal Options Contracts; and Options 4A, 3 See Securities Exchange Act Release No. 42455 identifying information from comment Section 12, Terms of Index Options (February 24, 2000), 65 FR 11388 (March 2, 2000) submissions. You should submit only Contracts. (In the Matter of the Application of The The text of the proposed rule change International Securities Exchange LLC for information that you wish to make Registration as a National Securities Exchange; available publicly. All submissions is available on the Exchange’s website at Findings and Opinion of the Commission). should refer to File Number SR–FINRA– https://listingcenter.nasdaq.com/ 4 Prior Interpretation and Policy .02 to Rule 8.7 rulebook/ise/rules, at the principal provided, ‘‘Market-Makers are expected ordinarily 2021–016 and should be submitted on to refrain from purchasing a call option or a put or before July 19, 2021. office of the Exchange, and at the Commission’s Public Reference Room. option at a price more than $0.25 below parity, For the Commission, by the Division of although a larger amount may be appropriate II. Self-Regulatory Organization’s considering the particular market conditions. In the Trading and Markets, pursuant to delegated case of calls, parity is measured by the bid in the authority.72 Statement of the Purpose of, and underlying security, and in the case of puts, parity J. Matthew DeLesDernier, Statutory Basis for, the Proposed Rule is measured by the offer in the underlying security. Change The $0.25 amount above may be increased, or the Assistant Secretary. provisions of this Interpretation may be waived, by [FR Doc. 2021–13653 Filed 6–25–21; 8:45 am] In its filing with the Commission, the the Exchange on a series-by-series basis.’’ Exchange included statements 5 Cboe’s rule change merely noted, with respect BILLING CODE 8011–01–P concerning the purpose of and basis for to the removal of Cboe’s parity rule, that the filing the proposed rule change and discussed makes non-substantive changes to the rule governing a Market-Maker’s general obligations any comments it received on the (current Rule 8.7, in part), most of which remove proposed rule change. The text of these redundant provisions that are already covered statements may be examined at the under the umbrella of a Market-Maker’s obligation places specified in Item IV below. The to engage in dealing to maintain fair and orderly markets. No specific argument is provided with Exchange has prepared summaries, set respect to removing this provision. See Securities forth in sections A, B, and C below, of Exchange Act 87024 (September 19, 2019), 84 FR the most significant aspects of such 50545 (September 25, 2019) (SR–CBOE–2019–059) statements. (Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules Relating To Market-Makers Upon Migration to the 1 15 U.S.C. 78s(b)(1). Trading System Used by Cboe Affiliated 72 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4. Exchanges).
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Exchange likewise desires to remove another obligation on ISE Market Section 12 of their respective this restriction on Market Makers which Makers that is not required on Cboe or rulebooks.13 The Exchange also does not exist on Cboe or other Nasdaq other Nasdaq markets. The Exchange proposes to reserve Sections 7–10 and affiliated markets.6 The proposed rule believes that this additional obligation 13–22 within General 2.14 Harmonizing text is currently waived on ISE pursuant is not necessary to maintain fair and the rule locations of the rules of the to Options 2, Section 4(a)(2). The orderly markets and notes the Exchange Nasdaq affiliated markets will make it Exchange proposes to remove this rule has waived this obligation. easier for market participants to review text from Options 2, Section 4 as the and compare the rules of each Nasdaq Bid/Ask Differentials Exchange does not desire to enforce this market. provision in the future. The Exchange The Exchange proposes to amend Options 4, Section 3 believes that this market maker Options 2, Section 4(b)(4) and Options provision is no longer necessary. Today, 4A, Section 12(b)(i) to relocate text The Exchange proposes to remove the ISE incentivizes Market Makers through concerning bid/ask differentials for following products from Options 4, pricing 7 and allocation 8 to quote tightly long-term option series. Currently, Section 3(h): The ETFS Silver Trust, the in their assigned options series. Primary Options 4, Section 8(a) describes the ETFS Palladium Trust, the ETFS Market Makers and Competitive Market bid/ask differentials for long-term Platinum Trust or the Sprott Physical Makers also have other obligations with options series for equity options and Gold Trust. The Exchange no longer respect to market making 9 in addition exchange-traded products and Options lists these products and proposes to to other quoting obligations 10 that they 4A, Section 12(b)(i) describes the bid/ remove them the products from its must abide by when quoting on ISE. ask differentials for long-term options listing rules. The Exchange will file a Also, since the adoption of the rule, the series for indexes. Currently, the bid/ask proposal with the Commission if it Exchange has adopted the obvious error differentials shall not apply to any determines to list these products in the rule 11 which permits the Exchange to options series until the time to future. review a transaction as potentially expiration is less than nine (9) months The Exchange proposes to amend erroneous based on a theoretical price. for equity options and exchange-traded Options 4, Section 3(h) by removing the Also, ISE orders are subject to trade- funds as provided for within Options 4, rule text at the end of the paragraph through compliance, thereby limiting Section 8(a). Currently, bid/ask which provides, ‘‘all of the following the prices at which orders may differentials shall not apply to any conditions are met.’’ Paragraph (h) execute.12 Market Makers are relied options series until the time to would simply end with ‘‘provided that:’’ upon to provide liquidity on ISE, which expiration is less than twelve (12) and direct market participants to benefits other Members who have an months for index options as provided subparagraphs (1) and (2). The Exchange opportunity to interact with the order for within Options 4A, Section 12(b)(i). also proposes to capitalize ‘‘the’’ at the flow. The Exchange believes that the The Exchange proposes to centralize beginning of Options 4, Section 3(h)(1) obligation to refrain from purchasing a the bid/ask differentials within new and remove ‘‘; and’’ at the end of the call option or a put option at a price Options 2, Section 4(b)(4)(iii) and add a paragraph and instead at a period so more than $0.25 below parity places yet sentence to both Options 4, Section 8(a) that subparagraphs (1) and (2) are not and Options 4A, Section 12(b)(i) that linked, but rather read independently. 6 See Nasdaq Phlx LLC, The Nasdaq Options cites to Options 2, Section 4(b)(4)(iii) for Today, Options 4, Section 3(h)(1) Market LLC and Nasdaq BX, Inc. at Options 2, information on bid/ask differentials for applies to all Exchange-Traded Fund Section 4 (Obligations of Market Makers). the various products. The Exchange Shares. The Exchange proposes to 7 See Options 7 (Option Pricing). ISE offers lower believes that this relocation will provide fees and rebates to Market Makers based on the clarify that Options 4, Section 3(h)(2) percentage of time spent on the National Best Bid Primary Market Makers and Competitive applies to only international or global or National Best Offer (‘‘NBBO’’) for certain Market Makers with centralized Exchange-Traded Fund Shares. qualifying series. information regarding their bid/ask Specifically, the Exchange proposes to 8 See Options 3, Section 10 (Priority of Quotes differential requirements. The Exchange amend Options 4, Section 3(h)(2) to and Orders). Primary Market Makers are offered an enhanced allocation provided the Primary Market is not amending the bid/ask provide, ‘‘Exchange-Traded Fund Maker is quoting at same price as a non-Priority differentials; the rule text is simply Shares based on international or global Customer Order or Market Maker quote. being relocated. indexes, or portfolios that include non- 9 See Options 2, Section 4. ISE Market Makers U.S. securities, shall meet the following must for example: (1) Compete with other Market Business Continuity and Disaster Makers to improve the market in all series of Recovery Plan criteria.’’ Phlx Options 4, Section 3(h) options classes to which the Market Maker is currently has similar rule text.15 appointed; (2) make markets that, absent changed The Exchange proposes to relocate Proposed Options 4, Sections 3(h) market conditions, will be honored for the number Supplementary Material .02 to Options generally concerns securities deemed of contracts entered into the Exchange’s System in 2, Section 4, concerning business all series of options classes to which the Market appropriate for options trading. The Maker is appointed; (3) update market quotations in continuity and disaster recovery plans, proposed new rule text adds language response to changed market conditions in all series to General 2, Section 12, which is stating that subparagraph (h)(2) of of options classes to which the Market Maker is currently reserved. The Exchange Options 4, Section 3 applies to the appointed; and (4) price options contracts fairly by, proposes to title General 2, Section 12 among other things, bidding and offering so as to extent the Exchange-Traded Fund Share create differences of no more than $5 between the as ‘‘Business Continuity and Disaster is based on international or global bid and offer following the opening rotation in an Recovery Plan Testing Requirements for indexes, or portfolios that include non- equity or index options contract. See Options 2, Members Pursuant to Regulation SCI.’’ U.S. securities. This language is Section 4(b). The rule text is being relocated without 10 See Options 2, Section 5 (Electronic Market Maker Obligations and Quoting Requirements). change. The Exchange proposes to 13 Similar rule changes will also be made for Further, Options 3, Section 8(c)(3) requires Primary relocate this rule text to harmonize ISE’s Nasdaq GEMX, LLC and Nasdaq MRX, LLC. Market Makers to submit a Valid Width Quote rules with that of Nasdaq PHLX LLC 14 General 2, Sections 5 and 6 are currently during the Opening Process. (‘‘Phlx’’), Nasdaq BX, Inc. and The reserved. These sections are proposed to be deleted. 11 See Options 3, Section 20 (Nullification and The proposed text would instead reflect General 2, Adjustment of Options Transactions including Nasdaq Stock Market LLC which all Sections 5–10 are reserved. Obvious Errors). have business continuity and disaster 15 Phlx will also file to conform its rule text to 12 See Options 3, Section 4(b)(6). recovery plans located within General 2, the proposed text within Options 4, Section 3(h)(2).
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intended to serve as a guidepost and 3(h)(2)(A)–(D) to instead provide Rulebook structure to Phlx’s Rulebook clarify that (1) subparagraph (h)(2) does ‘‘comprehensive surveillance sharing Structure.18 not apply to an Exchange-Traded Fund agreement.’’ This amendment will bring 2. Statutory Basis Shares based on a U.S. domestic index greater clarity to the term. The Exchange believes that its or portfolio, and (2) subparagraph (h)(2) Further, the Exchange proposes to add includes Exchange-Traded Fund Shares proposal is consistent with Section 6(b) the phrase ‘‘if not available or that track a portfolio and do not track of the Act,19 in general, and furthers the applicable, the Exchange-Traded 20 an index. objectives of Section 6(b)(5) of the Act, The Exchange proposes to amend Fund’s’’ within Options 4, Section in particular, in that it is designed to Options 4, Section 3(h)(2)(A) to remove 3(h)(2)(B), (C), and (D) to clarify that promote just and equitable principles of the phrase ‘‘for series of portfolio when component securities are not trade, to remove impediments to and depositary receipts and index fund available, the portfolio of securities perfect the mechanism of a free and shares based on international or global upon which the Exchange-Traded Fund open market and a national market indexes,’’. Today, Options 4, Section Share is based can be used instead. The system, and, in general to protect 3(h), subparagraphs (h)(1) 16 and (h)(v) 17 Exchange notes that ‘‘not available’’ is investors and the public interest. intended for cases where the Exchange permit the Exchange to list options on Options 2, Section 4(a) Exchange-Traded Fund Shares based on does not have access to the index generic listing standards for portfolio components, in those cases the The Exchange’s proposal to remove depositary receipts and index fund Exchange would look to the portfolio certain rule text from Options 2, Section shares without applying component components. The term ‘‘not applicable’’ 4(a) that refrains Market Makers from based requirements in subparagraphs is intended if the fund is active and does purchasing a call option or a put option (h)(2)(B)–(D). By removing the proposed not track an index and only the portfolio at a price more than $0.25 below parity is consistent with the Act. The rule text, the Exchange would make is available. As noted above, this rule Exchange desires to remove this clear that subparagraph (h)(2)(A) applies text currently exists within Phlx restriction on Market Makers which to Exchange-Traded Fund Shares based Options 4, Section 3(h). on international or global indexes, or does not exist on Cboe or other Nasdaq portfolios that include non-U.S. The Exchange also proposes to affiliated markets.21 The proposed rule securities, that are listed pursuant to wordsmith Options 4, Section 3(h)(2)(B) text is currently waived on ISE pursuant generic listing standards and comply to amend the phrase to provide, ‘‘any to Options 2, Section 4(a)(2). The with Options 4, Section 3(h) and non-U.S. component securities of an Exchange believes that this market subparagraph (h)(1). index on which the Exchange-Traded maker provision is no longer necessary. The Exchange also proposes to amend Fund Shares are based or if not available Today, ISE incentivizes Market Makers the term ‘‘comprehensive surveillance or applicable, the Exchange-Traded through pricing 22 and allocation 23 to agreement’’ within Options 4, Section Fund’s portfolio of securities that are quote tightly in their assigned options not subject to comprehensive series. Primary Market Makers and 16 Subsection (h)(i) concerns passive Exchange- surveillance sharing agreements do not Competitive Market Makers also have Traded Fund Shares. Subsection (h)(1) provides, in the aggregate represent more than other obligations with respect to market ‘‘represent interests in registered investment 50% of the weight of the index or making 24 in addition to other quoting companies (or series thereof) organized as open-end 25 management investment companies, unit portfolio;’’. The Exchange believes that obligations that they must abide by investment trusts or similar entities that hold the revised wording will bring greater when quoting on ISE. Also, since the portfolios of securities and/or financial instruments, clarity to the rule text. adoption of the rule, the Exchange has including, but not limited to, stock index futures adopted the obvious error rule 26 which contracts, options on futures, options on securities Similarly, the Exchange proposes to permits the Exchange to review a and indices, equity caps, collars and floors, swap wordsmith Options 4, Section 3(h)(2)(C) agreements, forward contracts, repurchase transaction as potentially erroneous agreements and reverse repurchase agreements (the and (D) to relocate the phrase ‘‘on which based on a theoretical price. Also, ISE ‘‘Financial Instruments’’), and money market the Exchange-Traded Fund Shares are orders are subject to trade-through instruments, including, but not limited to, U.S. based’’ and add ‘‘or portfolio’’ to bring government securities and repurchase agreements compliance, thereby limiting the prices (the ‘‘Money Market Instruments’’) comprising or greater clarity to the rule text by at which orders may execute.27 Market otherwise based on or representing investments in conforming the rule text of (C) and (D) Makers are relied upon to provide broad-based indexes or portfolios of securities and/ to the language within (B). or Financial Instruments and Money Market liquidity on ISE, which benefits other Instruments (or that hold securities in one or more Technical Amendments Members who have an opportunity to other registered investment companies that interact with the order flow. The themselves hold such portfolios of securities and/ The Exchange proposes a non- Exchange believes that the obligation to or Financial Instruments and Money Market Instruments).’’ substantive technical amendment to refrain from purchasing a call option or 17 Subsection (h)(v) concerns active Exchange- Options 4, Section 3(C)(2)(A)(ii) to Traded Fund Shares. Subsection (h)(v) Provides, correct a typographical error by 18 See Securities Exchange Act Release No. 91488 ‘‘represents an interest in a registered investment changing a ‘‘than’’ to a ‘‘that’’. The (April 6, 2021), 86 FR 19037 (April 12, 2021) (SR– company (‘‘Investment Company’’) organized as an Phlx–2021–14) (Notice of Filing and Immediate open-end management company or similar entity, Exchange proposes a non-substantive Effectiveness of Proposed Rule Change To Amend that invests in a portfolio of securities selected by technical amendment to Options 4, the Phlx Options Rules at Options 4 Under the the Investment Company’s investment adviser Section 3(g)(2) to capitalize ‘‘section’’. Options 4 Title in the Exchanges Rulebooks Shell consistent with the Investment Company’s The Exchange proposes a non- Structure). investment objectives and policies, which is issued 19 15 U.S.C. 78f(b). in a specified aggregate minimum number in return substantive technical amendment to 20 15 U.S.C. 78f(b)(5). for a deposit of a specified portfolio of securities Options 4, Section 3(h)(1) to change 21 See supra note 5. and/or a cash amount with a value equal to the next ‘‘In’’ to ‘‘in’’. 22 See supra note 7. determined net asset value (‘‘NAV’’), and when 23 See supra note 8. aggregated in the same specified minimum number, Finally, the Exchange proposes to add 24 may be redeemed at a holder’s request, which new Options 4C and mark it as reserved. See supra note 9. 25 See supra note 10. holder will be paid a specified portfolio of Phlx added a 4C to its Rulebook and this securities and/or cash with a value equal to the next 26 See supra note 11. determined NAV (‘‘Managed Fund Share’’). rule change will harmonize ISE’s 27 See supra note 12.
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a put option at a price more than $0.25 Platinum Trust or the Sprott Physical to Exchange-Traded Fund Shares based below parity places yet another Gold Trust is consistent with the Act on international or global indexes, or obligation on ISE Market Makers that is because the Exchange no longer lists portfolios that include non-U.S. not required on Cboe or other Nasdaq these products and proposes to remove securities, that are listed pursuant to markets. The Exchange believes that this them the products from its listing rules. generic listing standards and comply additional obligation is not necessary to The Exchange will file a proposal with with Options 4, Section 3(h) and maintain fair and orderly markets and the Commission if it determines to list subparagraph (h)(1). notes the Exchange has waived this these products in the future. The Exchange’s proposal to amend obligation and the removal of this The Exchange’s proposal to amend the term ‘‘comprehensive surveillance provision would remove an impediment Options 4, Section 3(h) by removing the agreement’’ within Options 4, Section to and perfect the mechanism of a free rule text at the end of the paragraph 3(h)(2) (A)–(D) to instead provide and open market and a national market which provides, ‘‘all of the following ‘‘comprehensive surveillance sharing system. conditions are met,’’ and creating agreement’’ is consistent with the Act as separate paragraphs for Options 4, Bid/Ask Differentials the amendment will bring greater clarity Section 3(h)(1) and (2) is consistent with to the term. The Exchange’s proposal to amend the Act. These amendments will de-link The Exchange’s proposal to add the Options 2, Section 4(b)(4) and Options these subparagraphs so they are read phrase ‘‘if not available or applicable, 4A, Section 12(b)(i) to relocate text independently. Today, Options 4, the Exchange-Traded Fund’s’’ to concerning bid/ask differentials for Section 3(h)(1) applies to all Exchange- Options 4, Section 3(h)(2)(B), (C), and long-term option series is consistent Traded Fund Shares. The Exchange’s (D) is consistent with the Act as it will with the Act. The Exchange’s proposal proposal to clarify that Options 4, clarify that when component securities will centralize the bid/ask differentials Section 3(h)(2) applies to only are not available, the portfolio of within new Options 2, Section international or global indexes or securities upon which the Exchange- 4(b)(4)(iii) and add a sentence to both portfolios that include non-U.S. Traded Fund Share is based can be used Options 4, Section 8(a) and Options 4A, securities will bring greater clarity to the instead. This rule text currently exists Section 12(b)(i) that cites to Options 2, qualification standards for listing within Phlx Options 4, Section 3(h). Section 4(b)(4)(iii) for information on options on Exchange-Traded Fund The Exchange’s proposal to amend bid/ask differentials for the various Shares. Phlx Options 4, Section 3(h) and relocate the rule text within products. The Exchange is not currently has similar rule text.29 Options 4, Section 3(h)(2)(B), (C), and amending the bid/ask differentials; the Proposed Options 4, Sections 3(h) (D) will bring greater clarity to the rule text is simply being relocated. The generally concerns securities deemed current rule text by explicitly providing Exchange believes that this relocation appropriate for options trading. The that the index being referenced is the will provide Primary Market Makers proposed new rule text adds language one on which the Exchange-Traded and Competitive Market Makers with stating that subparagraph (h)(2) of Fund Shares is based. Also, adding ‘‘or centralized information regarding their Options 4, Section 3 applies to the portfolio’’ to Options 4, Section bid/ask differential requirements. extent the Exchange-Traded Fund Share 3(h)(2)(C), and (D) will bring greater Business Continuity and Disaster is based on international or global clarity to the rule text by conforming the Recovery Plan indexes or portfolios that include non- rule text of (C) and (D) to the language U.S. securities. This language is within (B). The Exchange’s proposal to relocate intended to serve as a guidepost and Technical Amendments Supplementary Material .02 to Options clarify that (1) subparagraph (h)(2) does 2, Section 4, concerning business not apply to an Exchange-Traded Fund The Exchange’s proposal to make continuity and disaster recovery plans, Shares based on a U.S. domestic index certain non-substantive technical to General 2, Section 12, which is or portfolio, and (2) subparagraph (h)(2) amendment to Options 4, Section currently reserved, is consistent with includes Exchange-Traded Fund Shares 3(C)(2)(A)(ii), Options 4, Section 3(g)(2) the Act. This rule text will harmonize that track a portfolio and do not track and Options 4, Section 3(h)(1) are ISE’s rules with that of Phlx, Nasdaq an index. consistent with the Act. Also, adding BX, Inc. and The Nasdaq Stock Market The Exchange’s proposal to amend Options 4C and reserving it within the LLC which all have business continuity Options 4, Section 3(h)(2)(A) to remove rules is a non-substantive amendment and disaster recovery plans located the phrase ‘‘for series of portfolio which will harmonize ISE’s Rulebook within General 2, Section 12 of their depositary receipts and index fund structure to Phlx’s Rulebook respective rulebooks.28 Harmonizing the shares based on international or global Structure.32 rule locations of the rules of the Nasdaq indexes,’’ is consistent with the Act. affiliated markets will make it easier for B. Self-Regulatory Organization’s Today, Options 4, Section 3(h), Statement on Burden on Competition market participants to review and subparagraphs (h)(1) 30 and (h)(v) 31 compare the rules of each Nasdaq permit the Exchange to list options on The Exchange does not believe that market. The Exchange also proposes to Exchange-Traded Fund Shares based on the proposed rule change will impose reserve Sections 7–10 and 13–22 within generic listing standards for portfolio any burden on competition not General 2. These changes are non- depositary receipts and index fund necessary or appropriate in furtherance substantive as the rule text is not being shares without applying component of the purposes of the Act. amended. based requirements in subparagraphs Options 2, Section 4(a) Options 4, Section 3 (h)(2)(B)–(D). By removing the proposed rule text, the Exchange would make The Exchange’s proposal to remove The Exchange’s proposal to remove clear that subparagraph (h)(2)(A) applies certain rule text from Options 2, Section the following products from Options 4, 4(a) that refrains Market Makers from Section 3(h): The ETFS Silver Trust, the 29 Phlx will also file to conform its rule text to purchasing a call option or a put option ETFS Palladium Trust, the ETFS the proposed text within Options 4, Section 3(h)(2). at a price more than $0.25 below parity 30 See supra note 16. 28 See supra note 13. 31 See supra note 17. 32 See supra note 18.
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does not impose an undue burden on market. This change is non-substantive to Exchange-Traded Fund Shares based competition. The Exchange desires to as the rule text is not being amended. on international or global indexes, or remove this restriction on Market Options 4, Section 3 portfolios that include non-U.S. Makers which does not exist on Cboe or securities, that are listed pursuant to other Nasdaq affiliated markets.33 The The Exchange’s proposal to remove generic listing standards and comply proposed rule text is currently waived the following products from Options 4, with Options 4, Section 3(h) and Section 3(h): The ETFS Silver Trust, the on ISE pursuant to Options 2, Section subparagraph (h)(1). This amendment ETFS Palladium Trust, the ETFS 4(a)(2). Market Makers are relied upon will uniformly apply the criteria within to provide liquidity on ISE, which Platinum Trust or the Sprott Physical Gold Trust does not impose an undue Options 4, Section 3 when it lists benefits other Members who have an options products on ISE. opportunity to interact with the order burden on competition because the The Exchange’s proposal to amend flow. The Exchange believes that the Exchange no longer lists these products obligation to refrain from purchasing a and proposes to remove them the the term ‘‘comprehensive surveillance products from its listing rules. No call option or a put option at a price agreement’’ within Options 4, Section Member will be permitted to trade these more than $0.25 below parity places yet 3(h)(2) (A)–(D) to instead provide products on ISE. ‘‘comprehensive surveillance sharing another obligation on ISE Market The Exchange’s proposal to amend Makers that is not required on Cboe or agreement’’ does not impose an undue Options 4, Section 3(h) by removing the burden on competition as the other Nasdaq markets. The Exchange rule text at the end of the paragraph believes that this additional obligation amendment will bring greater clarity to which provides, ‘‘all of the following the term. is not necessary to maintain fair and conditions are met,’’ and creating orderly markets and notes the Exchange separate paragraphs for Options 4, The Exchange’s proposal to add the has waived this obligation. Section 3(h)(1) and (2) does not impose phrase ‘‘if not available or applicable, Bid/Ask Differentials an undue burden on competition. These the Exchange-Traded Fund’s’’ to amendments will de-link these Options 4, Section 3(h)(2)(B), (C), and The Exchange’s proposal to amend subparagraphs so they are read (D) does not impose an undue burden Options 2, Section 4(b)(4) and Options independently. Today, Options 4, on competition as it will clarify that 4A, Section 12(b)(i) to relocate text Section 3(h)(1) applies to all Exchange- when component securities are not concerning bid/ask differentials for Traded Fund Shares. The Exchange’s available, the portfolio of securities long-term option series does not impose proposal to clarify that Options 4, upon which the Exchange-Traded Fund an undue burden on competition. The Section 3(h)(2) applies to only Share is based can be used instead. Exchange’s proposal will centralize the international or global Exchange-Traded Fund Shares that include non-U.S. The Exchange’s proposal to amend bid/ask differentials within new and relocate the rule text within Options 2, Section 4(b)(4)(iii) and add a securities will bring greater clarity to the Options 4, Section 3(h)(2)(B), (C), and sentence to both Options 4, Section 8(a) qualification standards for listing (D) will bring greater clarity to the and Options 4A, Section 12(b)(i) that options on Exchange-Traded Fund current rule text by explicitly providing cites to Options 2, Section 4(b)(4)(iii) for Shares. Specifically, this language is information on bid/ask differentials for intended to serve as a guidepost and that the index being referenced is the the various products. The Exchange clarify that (1) subparagraph (h)(2) does one on which the Exchange-Traded believes that this relocation will provide not apply to an Exchange-Traded Fund Fund Shares is based. Also, adding ‘‘or Primary Market Makers and Competitive Shares based on a U.S. domestic index portfolio’’ to Options 4, Section Market Makers with centralized or portfolio, and (2) subparagraph (h)(2) 3(h)(2)(C), and (D) will bring greater information regarding their bid/ask includes Exchange-Traded Fund Shares clarity to the rule text by conforming the differential requirements. that track a portfolio and do not track rule text of (C) and (D) to the language an index. This amendment will within (B). Business Continuity and Disaster uniformly apply the criteria within Recovery Plan Options 4, Section 3 when it lists Technical Amendments options products on ISE. The Exchange’s proposal to make The Exchange’s proposal to relocate The Exchange’s proposal to amend certain non-substantive technical Supplementary Material .02 to Options Options 4, Section 3(h)(2)(A) to remove amendment to Options 4, Section 2, Section 4, concerning business the phrase ‘‘for series of portfolio continuity and disaster recovery plans, depositary receipts and index fund 3(C)(2)(A)(ii), Options 4, Section 3(g)(2) to General 2, Section 12, which is shares based on international or global and Options 4, Section 3(h)(1) does no currently reserved, does not impose an indexes,’’ does not impose an undue impose an undue burden on undue burden on competition. This rule burden on competition. Today, Options competition. Also, adding Options 4C text will harmonize ISE’s rules with that 4, Section 3(h), subparagraphs (h)(1) 35 and reserving it within the rules is a of Phlx, Nasdaq BX, Inc. and The and (h)(v) 36 permit the Exchange to list non-substantive amendment which will Nasdaq Stock Market LLC which all options on Exchange-Traded Fund harmonize ISE’s Rulebook structure to have business continuity and disaster Shares based on generic listing Phlx’s Rulebook Structure.37 recovery plans located within General 2, standards for portfolio depositary C. Self-Regulatory Organization’s Section 12 of their respective receipts and index fund shares without Statement on Comments on the rulebooks.34 Harmonizing the rule applying component based Proposed Rule Change Received From locations of the rules of the Nasdaq requirements in subparagraphs Members, Participants, or Others affiliated markets will make it easier for (h)(2)(B)–(D). By removing the proposed market participants to review and rule text, the Exchange would make No written comments were either compare the rules of each Nasdaq clear that subparagraph (h)(2)(A) applies solicited or received.
33 See supra note 5. 35 See supra note 16. 34 See supra note 13. 36 See supra note 17. 37 See supra note 18.
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III. Date of Effectiveness of the change should be approved or submission, all subsequent Proposed Rule Change and Timing for disapproved. amendments, all written statements Commission Action Because the foregoing proposed rule with respect to the proposed rule The Exchange has filed the proposed change does not: (i) Significantly affect change that are filed with the rule change pursuant to Section the protection of investors or the public Commission, and all written 19(b)(3)(A) of the Act 38 and Rule 19b– interest; (ii) impose any significant communications relating to the 4(f)(6) 39 thereunder. Because the burden on competition; and (iii) become proposed rule change between the foregoing proposed rule change does operative for 30 days from the date on Commission and any person, other than not: (i) Significantly affect the which it was filed, or such shorter time those that may be withheld from the protection of investors or the public as the Commission may designate, it has public in accordance with the interest; (ii) impose any significant become effective pursuant to Section provisions of 5 U.S.C. 552, will be 45 burden on competition; and (iii) become 19(b)(3)(A)(iii) of the Act and available for website viewing and operative for 30 days from the date on subparagraph (f)(6) of Rule 19b–4 printing in the Commission’s Public 46 which it was filed, or such shorter time thereunder. Reference Room, 100 F Street NE, as the Commission may designate, it has At any time within 60 days of the Washington, DC 20549, on official become effective pursuant to Section filing of the proposed rule change, the business days between the hours of 19(b)(3)(A) of the Act 40 and Rule 19b– Commission summarily may 10:00 a.m. and 3:00 p.m. Copies of the 4(f)(6) 41 thereunder. temporarily suspend such rule change if filing also will be available for A proposed rule change filed under it appears to the Commission that such inspection and copying at the principal Rule 19b–4(f)(6) 42 normally does not action is necessary or appropriate in the office of the Exchange. All comments become operative prior to 30 days after public interest, for the protection of received will be posted without change. the date of the filing. However, pursuant investors, or otherwise in furtherance of Persons submitting comments are to Rule 19b–4(f)(6)(iii),43 the the purposes of the Act. If the cautioned that we do not redact or edit Commission may designate a shorter Commission takes such action, the personal identifying information from time if such action is consistent with Commission shall institute proceedings comment submissions. You should protection of investors and the public to determine whether the proposed rule submit only information that you wish interest. The Exchange has asked the should be approved or disapproved. to make available publicly. All submissions should refer to File Commission to waive the 30-day IV. Solicitation of Comments operative delay so that the proposed Number SR–ISE–2021–14 and should be Interested persons are invited to rule change may become operative upon submitted on or before July 19, 2021. submit written data, views, and filing. The Exchange’s proposal does not For the Commission, by the Division of arguments concerning the foregoing, raise any new or novel issues. Trading and Markets, pursuant to delegated including whether the proposed rule 47 Therefore, the Commission believes that authority. change is consistent with the Act. waving the 30-day operative delay is J. Matthew DeLesDernier, Comments may be submitted by any of consistent with the protection of Assistant Secretary. the following methods: investors and the public interest. [FR Doc. 2021–13654 Filed 6–25–21; 8:45 am] Accordingly, the Commission Electronic Comments BILLING CODE 8011–01–P designates the proposed rule change to • 44 Use the Commission’s internet be operative on upon filing. comment form (http://www.sec.gov/ At any time within 60 days of the rules/sro.shtml); or SECURITIES AND EXCHANGE filing of the proposed rule change, the • Send an email to rule-comments@ COMMISSION Commission summarily may sec.gov. Please include File Number SR– [Release No. 34–92231; File No. SR–Phlx– temporarily suspend such rule change if ISE–2021–14 on the subject line. it appears to the Commission that such 2021–37] action is necessary or appropriate in the Paper Comments Self-Regulatory Organizations; Nasdaq public interest, for the protection of • Send paper comments in triplicate PHLX LLC; Notice of Filing and investors, or otherwise in furtherance of to Secretary, Securities and Exchange Immediate Effectiveness of Proposed the purposes of the Act. If the Commission, 100 F Street NE, Rule Change To Amend the Commission takes such action, the Washington, DC 20549–1090. Exchange’s Pricing Schedule at Equity Commission will institute proceedings All submissions should refer to File 7, Section 3 to determine whether the proposed rule Number SR–ISE–2021–14. This file June 22, 2021 number should be included on the 38 15 U.S.C. 78(b)(3)(A). subject line if email is used. To help the Pursuant to Section 19(b)(1) of the 39 17 CFR 240.19b–4(f)(6). Securities Exchange Act of 1934 40 Commission process and review your 15 U.S.C. 78s(b)(3)(A). (‘‘Act’’),1, and Rule 19b–4 thereunder,2 41 comments more efficiently, please use 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– notice is hereby given that on June 11, 4(f)(6)(iii) requires the Exchange to give the only one method. The Commission will Commission written notice of the Exchange’s intent post all comments on the Commission’s 2021, Nasdaq PHLX LLC (‘‘Phlx’’ or to file the proposed rule change, along with a brief internet website (http://www.sec.gov/ ‘‘Exchange’’) filed with the Securities description and text of the proposed rule change, and Exchange Commission (‘‘SEC’’ or at least five business days prior to the date of filing rules/sro.shtml). Copies of the of the proposed rule change, or such shorter time ‘‘Commission’’) the proposed rule as designated by the Commission. The Exchange 45 15 U.S.C. 78s(b)(3)(A)(iii). change as described in Items I, II, and has satisfied this requirement. 46 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– III, below, which Items have been 42 17 CFR 240.19b–4(f)(6). 4(f)(6) requires a self-regulatory organization to give prepared by the Exchange. The 43 17 CFR 240.19b–4(f)(6). the Commission written notice of its intent to file Commission is publishing this notice to 44 For purposes only of waiving the 30-day the proposed rule change at least five business days operative delay, the Commission also has prior to the date of filing of the proposed rule considered the proposed rule’s impact on change, or such shorter time as designated by the 47 17 CFR 200.30–3(a)(12). efficiency, competition, and capital formation. See Commission. The Exchange has satisfied this 1 15 U.S.C. 78s(b)(1). 15 U.S.C. 78c(f). requirement. 2 17 CFR 240.19b–4.
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solicit comments on the proposed rule 2. Statutory Basis broader forms that are most important to 8 change from interested persons. The Exchange believes that its investors and listed companies.’’ Numerous indicia demonstrate the proposal is consistent with Section 6(b) I. Self-Regulatory Organization’s competitive nature of this market. For of the Act,5 in general, and furthers the Statement of the Terms of Substance of example, clear substitutes to the objectives of Sections 6(b)(4) and 6(b)(5) the Proposed Rule Change Exchange exist in the market for equity of the Act,6 in particular, in that it The Exchange proposes to amend the security transaction services. The provides for the equitable allocation of Exchange’s pricing schedule at Equity 7, Exchange is only one of several equity reasonable dues, fees and other charges Section 3, as described further below. venues to which market participants among members and issuers and other The text of the proposed rule change is may direct their order flow. persons using any facility, and is not available on the Exchange’s website at Within this environment, market designed to permit unfair https://listingcenter.nasdaq.com/ participants can freely and often do shift discrimination between customers, rulebook/phlx/rules, at the principal their order flow among the Exchange issuers, brokers, or dealers. office of the Exchange, and at the and competing venues in response to Commission’s Public Reference Room. The Proposal Is Reasonable and Is an changes in their respective pricing Equitable Allocation of Credits schedules.9 Within the foregoing II. Self-Regulatory Organization’s context, the proposal represents a Statement of the Purpose of, and The Exchange’s proposed change to reasonable attempt by the Exchange to Statutory Basis for, the Proposed Rule its schedule of credits is reasonable in increase its market share relative to its Change several respects. As a threshold matter, competitors. the Exchange is subject to significant In its filing with the Commission, the The Exchange believes that it is competitive forces in the market for Exchange included statements reasonable and equitable to adopt a new equity securities transaction services concerning the purpose of and basis for $0.0033 per share executed credit for that constrain its pricing determinations the proposed rule change and discussed member organizations that provide in that market. The fact that this market any comments it received on the displayed liquidity in securities that is competitive has long been recognized proposed rule change. The text of these execute at prices at or between $1.00 by the courts. In NetCoalition v. statements may be examined at the and $5.00 per share. As discussed Securities and Exchange Commission, places specified in Item IV below. The above, the Exchange observes a the D.C. Circuit stated as follows: ‘‘[n]o Exchange has prepared summaries, set particular need to increase displayed one disputes that competition for order forth in sections A, B, and C below, of liquidity in securities at these prices flow is ‘fierce.’ . . . As the SEC the most significant aspects of such because liquidity on the Exchange in explained, ‘[i]n the U.S. national market statements. such lower priced securities is less system, buyers and sellers of securities, robust than it is in other market A. Self-Regulatory Organization’s and the broker-dealers that act as their segments. It is reasonable and equitable Statement of the Purpose of, and order-routing agents, have a wide range to address this need by allocating its Statutory Basis for, the Proposed Rule of choices of where to route orders for limited resources to offer member Change execution’; [and] ‘no exchange can organizations a credit to incent them to afford to take its market share 1. Purpose provide the liquidity needed. If the percentages for granted’ because ‘no proposal is effective in achieving this The Exchange proposes to amend its exchange possesses a monopoly, purpose, then the quality of the pricing schedule, at Equity 7, Section 3, regulatory or otherwise, in the execution Exchange’s market will improve, to the to adopt a new $0.0033 per share of order flow from broker dealers’ benefit of all participants. executed credit for member ....’’7 organizations that provide displayed The Commission and the courts have The Proposal Is Not Unfairly Discriminatory liquidity to the Exchange and receive an repeatedly expressed their preference execution priced at or between $1.00 for competition over regulatory The Exchange believes that the and $5.00. The Exchange proposes to intervention in determining prices, proposal is not unfairly discriminatory. add this new credit and target it at products, and services in the securities The Exchange intends for its proposal to securities executed at prices between markets. In Regulation NMS, while increase displayed liquidity in $1.00 and $5.00 because the Exchange adopting a series of steps to improve the securities executed at or between $1.00 observes that, at present, liquidity in current market model, the Commission and $5.00 per share, where the securities in this lower price segment is highlighted the importance of market Exchange observes that liquidity in such less robust on the Exchange than it is in forces in determining prices and SRO lower securities is less robust than it is other price segments.3 The Exchange revenues and, also, recognized that in other market segments. Additional hopes that the proposed credit will current regulation of the market system liquidity is needed for the Exchange to encourage member organizations to ‘‘has been remarkably successful in maintain and improve its market increase the extent to which they quote promoting market competition in its quality. Although member organizations or place orders on the Exchange for that are able to provide liquidity in such securities priced at or between $1.00 criteria, the Exchange has limited resources securities are likely to benefit directly and $5.00. If the proposal is effective in available to it to offer its members market- achieving this purpose, then the quality improving incentives, and it allocates those limited 8 Securities Exchange Act Release No. 51808 resources to those segments of the market where it (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005) of the Exchange’s market will improve, perceives the need to be greatest and/or where it 4 (‘‘Regulation NMS Adopting Release’’). to the benefit of all participants. determines that the incentive is likely to achieve its 9 The Exchange perceives no regulatory, intended objective. structural, or cost impediments to market 3 The Exchange notes that the threshold for prices 5 15 U.S.C. 78f(b). participants shifting order flow away from it. In at or below $5.00 tracks the SEC’s definition of a 6 15 U.S.C. 78f(b)(4) and (5). particular, the Exchange notes that such shifts in ‘‘penny stock.’’ See 17 CFR 240.3a5–1–1. 7 NetCoalition v. SEC, 615 F.3d 525, 539 (D.C. Cir. liquidity and market share occur within the context 4 Although there may be value in offering credits 2010) (quoting Securities Exchange Act Release No. of market participants’ existing duties of Best to members that provide liquidity in securities 59039 (December 2, 2008), 73 FR 74770, 74782–83 Execution and obligations under the Order executed at other prices, or that satisfy other (December 9, 2008) (SR–NYSEArca–2006–21)). Protection Rule under Regulation NMS.
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from this proposal, any improvement in applicable to exchanges. Because action is: (i) Necessary or appropriate in market quality that it facilitates will competitors are free to modify their own the public interest; (ii) for the protection ultimately benefit all market fees in response, and because market of investors; or (iii) otherwise in participants. participants may readily adjust their furtherance of the purposes of the Act. Although there may be value in order routing practices, the Exchange If the Commission takes such action, the offering credits to members that provide believes that the degree to which fee Commission shall institute proceedings liquidity in securities executed at other changes in this market may impose any to determine whether the proposed rule prices, or that satisfy other criteria, the burden on competition is extremely should be approved or disapproved. Exchange has limited resources limited. available to it to offer its members The proposed credit for adding IV. Solicitation of Comments market-improving incentives, and it liquidity is reflective of this competition Interested persons are invited to allocates those limited resources to because, as a threshold issue, the submit written data, views, and those segments of the market where it Exchange is a relatively small market so arguments concerning the foregoing, perceives the need to be greatest and/or its ability to burden intermarket including whether the proposed rule where it determines that the incentive is competition is limited. In this regard, change is consistent with the Act. likely to achieve its intended objective. even the largest U.S. equities exchange Comments may be submitted by any of by volume only has 17–18% market the following methods: B. Self-Regulatory Organization’s share, which in most markets could Statement on Burden on Competition Electronic Comments hardly be categorized as having enough • The Exchange does not believe that market power to burden competition. Use the Commission’s internet the proposed rule change will impose Moreover, as noted above, price comment form (http://www.sec.gov/ any burden on competition not rules/sro.shtml); or competition between exchanges is • necessary or appropriate in furtherance fierce, with liquidity and market share Send an email to rule-comments@ of the purposes of the Act. moving freely between exchanges in sec.gov. Please include File Number SR– Phlx–2021–37 on the subject line. Intramarket Competition reaction to fee and credit changes. This is in addition to free flow of order flow Paper Comments The Exchange does not believe that its to and among off-exchange venues • proposal will place any category of Send paper comments in triplicate which comprises more than 40% of to Secretary, Securities and Exchange Exchange participants at a competitive industry volume in recent months. disadvantage. As noted above, all Commission, 100 F Street NE, In sum, the Exchange intends for the Washington, DC 20549–1090. member organizations of the Exchange proposed credit to incent member All submissions should refer to File will benefit from an increase in the organizations to add displayed liquidity Number SR–Phlx–2021–37. This file addition of liquidity in securities priced to the Exchange in securities within a number should be included on the at or between $1.00 and $5.00. certain price range, and to thereby subject line if email is used. To help the Moreover, member organizations are contribute to market quality, which is Commission process and review your free to trade on other venues to the reflective of fierce competition for order comments more efficiently, please use extent they believe that the credit flow noted above; however, if the only one method. The Commission will provided is not attractive. As one can proposed credit is unattractive to market post all comments on the Commission’s observe by looking at any market share participants, it is likely that the internet website (http://www.sec.gov/ chart, price competition between Exchange will either fail to increase its rules/sro.shtml). Copies of the exchanges is fierce, with liquidity and market share or even lose market share submission, all subsequent market share moving freely between as a result. Accordingly, the Exchange amendments, all written statements exchanges in reaction to fee and credit does not believe that the proposed new with respect to the proposed rule changes. credit will impair the ability of member change that are filed with the organizations or competing order Intermarket Competition Commission, and all written execution venues to maintain their The Exchange believes that its communications relating to the competitive standing in the financial proposed new credit will not impose a proposed rule change between the markets. burden on competition because the Commission and any person, other than Exchange’s execution services are C. Self-Regulatory Organization’s those that may be withheld from the completely voluntary and subject to Statement on Comments on the public in accordance with the extensive competition both from the Proposed Rule Change Received From provisions of 5 U.S.C. 552, will be other live exchanges and from off- Members, Participants, or Others available for website viewing and exchange venues, which include No written comments were either printing in the Commission’s Public alternative trading systems that trade solicited or received. Reference Room, 100 F Street NE, national market system stock. The Washington, DC 20549, on official Exchange notes that it operates in a III. Date of Effectiveness of the business days between the hours of highly competitive market in which Proposed Rule Change and Timing for 10:00 a.m. and 3:00 p.m. Copies of the market participants can readily favor Commission Action filing also will be available for competing venues if they deem fee The foregoing rule change has become inspection and copying at the principal levels at a particular venue to be effective pursuant to Section office of the Exchange. All comments excessive, or rebate opportunities 19(b)(3)(A)(ii) of the Act.10 received will be posted without change. available at other venues to be more At any time within 60 days of the Persons submitting comments are favorable. In such an environment, the filing of the proposed rule change, the cautioned that we do not redact or edit Exchange must continually adjust its Commission summarily may personal identifying information from fees to remain competitive with other temporarily suspend such rule change if comment submissions. You should exchanges and with alternative trading it appears to the Commission that such submit only information that you wish systems that have been exempted from to make available publicly. All compliance with the statutory standards 10 15 U.S.C. 78s(b)(3)(A)(ii). submissions should refer to File
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Number SR–Phlx–2021–37 and should proposed rule change. The text of these markets.6 The proposed rule text is currently be submitted on or before July 19, 2021. statements may be examined at the waived on GEMX pursuant to Options 2, places specified in Item IV below. The Section 4(a)(2). The Exchange proposes to For the Commission, by the Division of remove this rule text from Options 2, Section Trading and Markets, pursuant to delegated Exchange has prepared summaries, set 11 4 as the Exchange does not desire to enforce authority. forth in sections A, B, and C below, of this provision in the future. The Exchange J. Matthew DeLesDernier, the most significant aspects of such believes that this market maker provision is Assistant Secretary. statements. no longer necessary. Today, GEMX [FR Doc. 2021–13658 Filed 6–25–21; 8:45 am] incentivizes Market Makers through A. Self-Regulatory Organization’s 7 BILLING CODE 8011–01–P allocation to quote tightly in their assigned Statement of the Purpose of, and options series. Primary Market Makers and Statutory Basis for, the Proposed Rule Competitive Market Makers also have other Change obligations with respect to market making 8 SECURITIES AND EXCHANGE 9 1. Purpose in addition to other quoting obligations that COMMISSION they must abide by when quoting on GEMX. [Release No. 34–92227; File No. SR–GEMX– The Exchange proposes to amend Also, since the adoption of the rule, the 2021–05] Options 2, Section 4, Obligations of Exchange has adopted the obvious error rule 10 which permits the Exchange to review Market Makers. The Exchange also Self-Regulatory Organizations; Nasdaq a transaction as potentially erroneous based proposes to add a new Options 4C. GEMX, LLC; Notice of Filing and on a theoretical price. Also, GEMX orders are Immediate Effectiveness of Proposed Options 2, Section 4(a) subject to trade-through compliance, thereby Rule Change to Options 2, Section 4 limiting the prices at which orders may execute.11 Market Makers are relied upon to (Obligations of Market Makers) The Exchange proposes to remove the following rule text from Options 2, provide liquidity on GEMX, which benefits June 22, 2021. other Members who have the opportunity to Section 4(a), which has been in place interact with the order flow. The Exchange Pursuant to Section 19(b)(1) of the 3 since GEMX’s inception: believes that the obligation to refrain from Securities Exchange Act of 1934 purchasing a call option or a put option at 1 2 . . . Ordinarily, Market Makers are expected (‘‘Act’’), and Rule 19b–4 thereunder, to: a price more than $0.25 below parity places notice is hereby given that on June 9, (1) Refrain from purchasing a call option or yet another obligation on GEMX Market 2021, Nasdaq GEMX, LLC (‘‘GEMX’’ or a put option at a price more than $0.25 below Makers that is not required on Cboe or other ‘‘Exchange’’) filed with the Securities parity, although a larger amount may be Nasdaq markets. The Exchange believes that and Exchange Commission appropriate considering the particular market this additional obligation is not necessary to (‘‘Commission’’) the proposed rule conditions. In the case of calls, parity is maintain fair and orderly markets and notes change as described in Items I, II, and measured by the bid in the underlying the Exchange has waived this obligation. III, below, which Items have been security, and in the case of puts, parity is Bid/Ask Differentials prepared by the Exchange. The measured by the offer in the underlying Commission is publishing this notice to security. The Exchange proposes to amend solicit comments on the proposed rule (2) The $0.25 amount above may be Options 2, Section 4(b)(4) and Options increased, or the provisions of this Rule may change from interested persons. 4A, Section 12(b)(i) to centralize the be waived, by the Exchange on a series-by- bid/ask differentials. Specifically, the I. Self-Regulatory Organization’s series basis. This proposed rule text also Exchange proposes to state within new Statement of the Terms of Substance of previously existed on Cboe Exchange, Inc. 4 Options 2, Section 4(b)(4)(iii) that, the Proposed Rule Change within prior Rule 8.7 and was removed from Cboe’s Rulebook in 2019.5 The The Exchange proposes to amend 6 See Nasdaq Phlx LLC, The Nasdaq Options Exchange likewise desires to remove this Market LLC and Nasdaq BX, Inc. at Options 2, Options 2, Section 4, Obligations of restriction on Market Makers which does not Section 4 (Obligations of Market Makers). Market Makers. The Exchange also exist on Cboe or other Nasdaq affiliated 7 See Options 3, Section 10 (Priority of Quotes proposes to add a new Options 4C. and Orders). Primary Market Makers are offered an The text of the proposed rule change 4 Prior Interpretation and Policy .02 to Rule 8.7 enhanced allocation provided the Primary Market is available on the Exchange’s website at provided, ‘‘Market-Makers are expected ordinarily Maker is quoting at same price as a non-Priority Customer Order or Market Maker quote. https://listingcenter.nasdaq.com/ to refrain from purchasing a call option or a put option at a price more than $0.25 below parity, 8 See Options 2, Section 4. GEMX Market Makers rulebook/gemx/rules, at the principal although a larger amount may be appropriate must for example: (1) Compete with other Market office of the Exchange, and at the considering the particular market conditions. In the Makers to improve the market in all series of Commission’s Public Reference Room. case of calls, parity is measured by the bid in the options classes to which the Market Maker is underlying security, and in the case of puts, parity appointed; (2) make markets that, absent changed II. Self-Regulatory Organization’s is measured by the offer in the underlying security. market conditions, will be honored for the number Statement of the Purpose of, and The $0.25 amount above may be increased, or the of contracts entered into the Exchange’s System in all series of options classes to which the Market Statutory Basis for, the Proposed Rule provisions of this Interpretation may be waived, by the Exchange on a series-by-series basis.’’ Maker is appointed; (3) update market quotations in Change 5 Cboe’s rule change merely noted, with respect response to changed market conditions in all series to the removal of Cboe’s parity rule, that the filing of options classes to which the Market Maker is In its filing with the Commission, the appointed; and (4) price options contracts fairly by, Exchange included statements makes non-substantive changes to the rule governing a Market-Maker’s general obligations among other things, bidding and offering so as to concerning the purpose of and basis for (current Rule 8.7, in part), most of which remove create differences of no more than $5 between the the proposed rule change and discussed redundant provisions that are already covered bid and offer following the opening rotation in an any comments it received on the under the umbrella of a Market-Maker’s obligation equity or index options contract. See Options 2, to engage in dealing to maintain fair and orderly Section 4(b). markets. No specific argument is provided with 9 See Options 2, Section 5 (Electronic Market 11 17 CFR 200.30–3(a)(12). respect to removing this provision. See Securities Maker Obligations and Quoting Requirements). 1 15 U.S.C. 78s(b)(1). Exchange Act 87024 (September 19, 2019), 84 FR Further, Options 3, Section 8(c)(3) requires Primary 2 17 CFR 240.19b–4. 50545 (September 25, 2019) (SR–CBOE–2019–059) Market Makers to submit a Valid Width Quote 3 See Securities Exchange Act Release No. 70050 (Notice of Filing and Immediate Effectiveness of a during the Opening Process. (July 26, 2013), 78 FR 46622 (August 1, 2013) Proposed Rule Change to Amend Certain Rules 10 See Options 3, Section 20 (Nullification and (Application of Topaz Exchange, LLC for Relating To Market-Makers Upon Migration to the Adjustment of Options Transactions including Registration as a National Securities Exchange; Trading System Used by Cboe Affiliated Obvious Errors). Findings, Opinion, and Order of the Commission). Exchanges). 11 See Options 3, Section 4(b)(6).
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Bid/ask differentials shall not apply to any Phlx added a 4C to its Rulebook and this the obligation to refrain from purchasing options series until the time to expiration is rule change will harmonize GEMX’s a call option or a put option at a price less than nine (9) months for equity options Rulebook structure to Phlx’s Rulebook more than $0.25 below parity places yet and exchange-traded products. Bid/ask Structure.16 differentials shall not apply to any options another obligation on GEMX Market Makers that is not required on Cboe or series until the time to expiration is less than 2. Statutory Basis twelve (12) months for index options. other Nasdaq markets. The Exchange The Exchange believes that its believes that this additional obligation Currently, GEMX Options 4 and Options proposal is consistent with Section 6(b) is not necessary to maintain fair and 4A rules are incorporated by reference 17 of the Act, in general, and furthers the orderly markets and notes the Exchange to Nasdaq ISE, LLC (‘‘ISE’’). The 18 objectives of Section 6(b)(5) of the Act, has waived this obligation and the Exchange recently filed a rule change 12 in particular, in that it is designed to removal of this provision would remove to amend ISE Options 4 and Options 4A promote just and equitable principles of an impediment to and perfect the rules to relocate text concerning bid/ask trade, to remove impediments to and differentials for long-term option series mechanism of a free and open market perfect the mechanism of a free and and a national market system. from ISE Options 4, Section 8(a) 13 and open market and a national market ISE Options 4A, Section 12(b)(i).14 The system, and, in general to protect Bid/Ask Differentials ISE Rule Change added citations to investors and the public interest. Options 2, Section 4(b)(4)(iii) to ISE The Exchange’s proposal to amend Options 4, Section 8(a) and ISE Options Options 2, Section 4(a) Options 2, Section 4(b)(4)(i) and 4A, Section 12(b)(i). The ISE Rule The Exchange’s proposal to remove Options 4A, Section 12(b)(i) to Change indicated that ISE believes certain rule text from Options 2, Section centralize the bid/ask differentials is relocating the bid/ask differentials to 4(a) that refrains Market Makers from consistent with the Act. Currently, Options 2, Section 4(b)(4)(iii) will purchasing a call option or a put option GEMX Options 4 and Options 4A rules provide Primary Market Makers and at a price more than $0.25 below parity are incorporated by reference to ISE. Competitive Market Makers with is consistent with the Act. The The Exchange recently filed a rule 25 centralized information regarding their Exchange desires to remove this change to amend ISE Options 4 and bid/ask differential requirements. restriction on Market Makers which Options 4A rules to relocate text concerning bid/ask differentials for Business Continuity and Disaster does not exist on Cboe or other Nasdaq 19 long-term option series from ISE Recovery Plan affiliated markets. The proposed rule text is currently waived on GEMX Options 4, Section 8(a) and ISE Options The Exchange proposes to relocate pursuant to Options 2, Section 4(a)(2). 4A, Section 12(b)(i). The ISE Rule Supplementary Material .02 to Options The Exchange believes that this market Change added citations to Options 2, 2, Section 4, concerning business maker provision is no longer necessary. Section 4(b)(4)(i) to ISE Options 4, continuity and disaster recovery plans, Today, GEMX incentivizes Market Section 8(a) and ISE Options 4A, to General 2, Section 12, which is Makers through allocation 20 to quote Section 12(b)(i). GEMX believes currently reserved. The Exchange tightly in their assigned options series. centralizing the bid/ask differentials proposes to title General 2, Section 12 Primary Market Makers and Competitive within new Options 2, Section 4(b)(4)(i) as ‘‘Business Continuity and Disaster Market Makers also have other will provide Primary Market Makers Recovery Plan Testing Requirements for obligations with respect to market and Competitive Market Makers with Members Pursuant to Regulation SCI.’’ making 21 in addition to other quoting centralized information regarding their The rule text is being relocated without obligations 22 that they must abide by bid/ask differential requirements. change. The Exchange proposes to when quoting on GEMX. Also, since the relocate this rule text to harmonize Business Continuity and Disaster adoption of the rule, the Exchange has Recovery Plan GEMX’s rules with that of Nasdaq PHLX adopted the obvious error rule 23 which LLC (‘‘Phlx’’), Nasdaq BX, Inc. and The permits the Exchange to review a The Exchange’s proposal to relocate Nasdaq Stock Market LLC which all transaction as potentially erroneous Supplementary Material .02 to Options have business continuity and disaster based on a theoretical price. Also, 2, Section 4, concerning business recovery plans located within General 2, GEMX orders are subject to trade- continuity and disaster recovery plans, Section 12 of their respective through compliance, thereby limiting to General 2, Section 12, which is 15 rulebooks. The Exchange also the prices at which orders may currently reserved, is consistent with proposes to reserve Sections 7–11 and execute.24 Market Makers are relied the Act. This rule text will harmonize 13–22 within General 2. Harmonizing upon to provide liquidity on GEMX, GEMX’s rules with that of Phlx, Nasdaq the rule locations of the rules of the which benefits other Members who have BX, Inc. and The Nasdaq Stock Market Nasdaq affiliated markets will make it the opportunity to interact with the LLC which all have business continuity easier for market participants to review order flow. The Exchange believes that and disaster recovery plans located and compare the rules of each Nasdaq within General 2, Section 12 of their market. 16 See Securities Exchange Act Release No. 91488 respective rulebooks.26 Harmonizing the Technical Amendments (April 6, 2021), 86 FR 19037 (April 12, 2021) (SR– rule locations of the rules of the Nasdaq Phlx–2021–14) (Notice of Filing and Immediate affiliated markets will make it easier for The Exchange proposes to add new Effectiveness of Proposed Rule Change To Amend Options 4C and mark it as reserved. the Phlx Options Rules at Options 4 Under the market participants to review and Options 4 Title in the Exchanges Rulebooks Shell compare the rules of each Nasdaq Structure). 12 market. The Exchange also proposes to See SR–ISE–2021–14 (‘‘ISE Rule Change’’). 17 15 U.S.C. 78f(b). 13 reserve Sections 7–10 and 13–22 within ISE Options 4, Section 8(a) describes the bid/ 18 15 U.S.C. 78f(b)(5). ask differentials for long-term options series for General 2. These changes are non- 19 See supra note 6. equity options and exchange-traded funds. 20 substantive as the rule text is not being 14 ISE Options 4A, Section 12(b)(i) describes the See supra note 7. 21 amended. bid/ask differentials for long-term options series for See supra note 8. indexes. 22 See supra note 9. 15 Similar rule changes will also be made for 23 See supra note 10. 25 See supra note 12. Nasdaq ISE, LLC and Nasdaq MRX, LLC. 24 See supra note 11. 26 See supra note 15.
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Technical Amendments Business Continuity and Disaster public interest, for the protection of Recovery Plan investors, or otherwise in furtherance of Adding Options 4C and reserving it is The Exchange’s proposal to relocate the purposes of the Act. If the a non-substantive amendment which Commission takes such action, the will harmonize GEMX’s Rulebook Supplementary Material .02 to Options 2, Section 4, concerning business Commission shall institute proceedings structure to Phlx’s Rulebook to determine whether the proposed rule Structure.27 continuity and disaster recovery plans, to General 2, Section 12, which is should be approved or disapproved. B. Self-Regulatory Organization’s currently reserved, does not impose an IV. Solicitation of Comments Statement on Burden on Competition undue burden on competition. This rule Interested persons are invited to text will harmonize GEMX’s rules with The Exchange does not believe that submit written data, views, and that of Phlx, Nasdaq BX, Inc. and The the proposed rule change will impose arguments concerning the foregoing, Nasdaq Stock Market LLC which all any burden on competition not including whether the proposed rule have business continuity and disaster necessary or appropriate in furtherance change is consistent with the Act. recovery plans located within General 2, of the purposes of the Act. Comments may be submitted by any of Section 12 of their respective the following methods: Options 2, Section 4(a) rulebooks.29 Harmonizing the rule locations of the rules of the Nasdaq Electronic Comments The Exchange’s proposal to remove affiliated markets will make it easier for • Use the Commission’s internet certain rule text from Options 2, Section market participants to review and comment form (http://www.sec.gov/ 4(a) that refrains Market Makers from compare the rules of each Nasdaq rules/sro.shtml); or purchasing a call option or a put option market. This change is non-substantive • Send an email to rule-comments@ at a price more than $0.25 below parity as the rule text is not being amended. sec.gov. Please include File Number SR– does not impose an undue burden on GEMX–2021–05 on the subject line. competition. The Exchange desires to Technical Amendments remove this restriction on Market Adding Options 4C and reserving it is Paper Comments Makers which does not exist on Cboe or a non-substantive amendment which • Send paper comments in triplicate other Nasdaq affiliated markets.28 The will harmonize GEMX’s Rulebook to Secretary, Securities and Exchange proposed rule text is currently waived structure to Phlx’s Rulebook Commission, 100 F Street NE, on GEMX pursuant to Options 2, Structure.30 Washington, DC 20549–1090. Section 4(a)(2). Market Makers are relied All submissions should refer to File C. Self-Regulatory Organization’s upon to provide liquidity on GEMX, Number SR–GEMX–2021–05. This file Statement on Comments on the which benefits other Members who have number should be included on the Proposed Rule Change Received From the opportunity to interact with the subject line if email is used. To help the Members, Participants, or Others order flow. The Exchange believes that Commission process and review your the obligation to refrain from purchasing No written comments were either comments more efficiently, please use a call option or a put option at a price solicited or received. only one method. The Commission will more than $0.25 below parity places yet III. Date of Effectiveness of the post all comments on the Commission’s another obligation on GEMX Market internet website (http://www.sec.gov/ Makers that is not required on Cboe or Proposed Rule Change and Timing for Commission Action rules/sro.shtml). Copies of the other Nasdaq markets. The Exchange submission, all subsequent believes that this additional obligation Because the foregoing proposed rule amendments, all written statements is not necessary to maintain fair and change does not: (i) Significantly affect with respect to the proposed rule orderly markets and notes the Exchange the protection of investors or the public change that are filed with the has waived this obligation. interest; (ii) impose any significant Commission, and all written burden on competition; and (iii) become Bid/Ask Differentials communications relating to the operative for 30 days from the date on proposed rule change between the The Exchange’s proposal to amend which it was filed, or such shorter time Commission and any person, other than Options 2, Section 4(b)(4) and Options as the Commission may designate, it has those that may be withheld from the 4A, Section 12(b)(i) to relocate text become effective pursuant to Section public in accordance with the concerning bid/ask differentials for 19(b)(3)(A)(iii) of the Act 31 and provisions of 5 U.S.C. 552, will be long-term option series does not impose subparagraph (f)(6) of Rule 19b–4 available for website viewing and an undue burden on competition. The thereunder.32 printing in the Commission’s Public Exchange’s proposal will centralize the At any time within 60 days of the Reference Room, 100 F Street NE, bid/ask differentials within new filing of the proposed rule change, the Washington, DC 20549, on official Options 2, Section 4(b)(4)(iii) and add a Commission summarily may business days between the hours of sentence to both Options 4, Section 8(a) temporarily suspend such rule change if 10:00 a.m. and 3:00 p.m. Copies of the and Options 4A, Section 12(b)(i) that it appears to the Commission that such filing also will be available for cites to Options 2, Section 4(b)(4)(iii) for action is necessary or appropriate in the inspection and copying at the principal information on bid/ask differentials for office of the Exchange. All comments the various products. The Exchange 29 See supra note 6. received will be posted without change. 30 believes that this relocation will provide See supra note 16. Persons submitting comments are 31 15 U.S.C. 78s(b)(3)(A)(iii). Primary Market Makers and Competitive 32 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– cautioned that we do not redact or edit Market Makers with centralized 4(f)(6) requires a self-regulatory organization to give personal identifying information from information regarding their bid/ask the Commission written notice of its intent to file comment submissions. You should differential requirements. the proposed rule change at least five business days submit only information that you wish prior to the date of filing of the proposed rule change, or such shorter time as designated by the to make available publicly. All 27 See supra note 16. Commission. The Exchange has satisfied this submissions should refer to File 28 See supra note 5. requirement. Number SR–GEMX–2021–05 and
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should be submitted on or before July within which to take action on the 2021, and should be accompanied by 19, 2021. proposed rule change so that it has proof of service on the applicants, in the For the Commission, by the Division of sufficient time to consider the proposed form of an affidavit, or, for lawyers, a Trading and Markets, pursuant to delegated rule change and the comments received. certificate of service. Pursuant to rule 0– authority.33 Accordingly, pursuant to Section 5 under the Act, hearing requests should J. Matthew DeLesDernier, 19(b)(2) of the Act,6 the Commission state the nature of the writer’s interest, Assistant Secretary. designates August 10, 2021, as the date any facts bearing upon the desirability [FR Doc. 2021–13655 Filed 6–25–21; 8:45 am] by which the Commission shall either of a hearing on the matter, the reason for BILLING CODE 8011–01–P approve or disapprove, or institute the request, and the issues contested. proceedings to determine whether to Persons who wish to be notified of a disapprove, the proposed rule change hearing may request notification by SECURITIES AND EXCHANGE (File No. SR–NYSEArca–2021–31). emailing the Commission’s Secretary. COMMISSION For the Commission, by the Division of ADDRESSES: The Commission: Trading and Markets, pursuant to delegated [email protected]. Applicants: [Release No. 34–92233; File No. SR– 7 NYSEArca–2021–31] authority. Pamela P. Chen, Associate General J. Matthew DeLesDernier, Counsel, [email protected]. Self-Regulatory Organizations; NYSE Assistant Secretary. FOR FURTHER INFORMATION CONTACT: Arca, Inc.; Notice of Designation of a [FR Doc. 2021–13659 Filed 6–25–21; 8:45 am] Bruce R. MacNeil, Senior Counsel, at Longer Period for Commission Action BILLING CODE 8011–01–P (202) 551–6817 or Kaitlin C. Bottock, on a Proposed Rule Change To List Branch Chief, at (202) 551–6825 and Trade Shares of the Valkyrie (Division of Investment Management, Bitcoin Fund Under NYSE Arca Rule SECURITIES AND EXCHANGE Chief Counsel’s Office). 8.201–E COMMISSION SUPPLEMENTARY INFORMATION: The June 22, 2021. [Investment Company Act Release No. following is a summary of the On April 23, 2021, NYSE Arca, Inc. 34308; File No. 812–15097] application. The complete application (‘‘NYSE Arca’’) filed with the Securities may be obtained via the Commission’s and Exchange Commission Lord Abbett Floating Rate High Income website by searching for the file (‘‘Commission’’), pursuant to Section Fund, et al. number, or for an applicant using the Company name box, at http:// 19(b)(1) of the Securities Exchange Act June 22, 2021. 1 www.sec.gov/search/search.htm or by of 1934 (‘‘Act’’) and Rule 19b–4 AGENCY: Securities and Exchange 2 calling (202) 551–8090. thereunder, a proposed rule change to Commission. list and trade shares of the Valkyrie ACTION: Notice. Applicants’ Representations Bitcoin Fund under NYSE Arca Rule 8.201–E. The proposed rule change was Notice of application for an order 1. The Fund is a Delaware statutory published for comment in the Federal under sections 6(c) and 23(c)(3) of the trust that is registered under the Act as Register on May 12, 2021.3 The Investment Company Act of 1940 (the a non-diversified, closed-end Commission has received comments on ‘‘Act’’) for an exemption from rule 23c– management investment company that the proposed rule change.4 3 under the Act. will be operated as an interval fund. The 5 Adviser is a Delaware limited liability Section 19(b)(2) of the Act provides SUMMARY OF APPLICATION: Applicants that within 45 days of the publication of company and is registered as an request an order under sections 6(c) and investment adviser under the notice of the filing of a proposed rule 23(c)(3) of the Act for an exemption change, or within such longer period up Investment Advisers Act of 1940. The from certain provisions of rule 23c–3 to Adviser serves as investment adviser to to 90 days (i) as the Commission may permit certain registered closed-end designate if it finds such longer period the Fund. The Distributor, a New York investment companies to make limited liability company and to be appropriate and publishes its repurchase offers on a monthly basis. reasons for so finding or (ii) as to which subsidiary of the Adviser, is a registered APPLICANTS: the self-regulatory organization Lord Abbett Floating Rate broker-dealer and is the Fund’s consents, the Commission shall either High Income Fund (the ‘‘Fund’’), Lord principal underwriter and distributor. approve the proposed rule change, Abbett & Co. LLC (the ‘‘Adviser’’) and 2. Applicants request that any relief disapprove the proposed rule change, or Lord Abbett Distributor LLC (the granted also apply to any registered institute proceedings to determine ‘‘Distributor’’). closed-end management investment whether the proposed rule change FILING DATES: The application was filed company that operates as an interval should be disapproved. The 45th day on February 21, 2020 and amended on fund pursuant to rule 23c–3 for which after publication of the notice for this September 11, 2020 and February 23, the Adviser or any entity controlling, proposed rule change is June 26, 2021. 2021. controlled by, or under common control The Commission is extending this 45- HEARING OR NOTIFICATION OF HEARING: An with the Adviser, or any successor in day time period. order granting the requested relief will interest to any such entity,1 acts as The Commission finds that it is be issued unless the Commission orders investment adviser (the ‘‘Future Funds,’’ appropriate to designate a longer period a hearing. Interested persons may and together with the Fund, the request a hearing by emailing the ‘‘Funds,’’ and each, individually, a 33 17 CFR 200.30–3(a)(12). Commission’s Secretary at Secretarys- ‘‘Fund’’).2 1 15 U.S.C. 78s(b)(1). [email protected] and serving applicants 2 17 CFR 240.19b–4. with a copy of the request by email. 1 A successor in interest is limited to an entity 3 See Securities Exchange Act Release No. 91771 Hearing requests should be received by that results from a reorganization into another (May 6, 2021), 86 FR 26073 (May 12, 2021). jurisdiction or a change in the type of business 4 Comments received on the proposed rule change the Commission by 5:30 p.m. on July 16, organization. are available at: https://www.sec.gov/comments/sr- 2 All entities currently intending to rely on the nysearca-2021-31/srnysearca202131.htm. 6 Id. requested relief have been named as applicants. 5 15 U.S.C. 78s(b)(2). 7 17 CFR 200.30–3(a)(31). Continued
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3. The Fund’s common shares are not Fund) currently intends to make or other indebtedness of, a Fund will offered or traded in the secondary payment by the fifth business day or either mature by the next repurchase market and are not listed on any seventh calendar day (whichever period pricing date or provide for such Fund’s exchange or quoted on any quotation is shorter) following the repurchase ability to call, repay or redeem such medium. pricing date. Each Fund will make senior security or other indebtedness by 4. Applicants request an order to payment for shares repurchased in the the next repurchase pricing date, either permit each Fund to offer to repurchase previous month’s repurchase offer at in whole or in part, without penalty or a portion of its common shares at one- least five business days before sending premium, as necessary to permit that month intervals, rather than the three, notification of the next repurchase offer. Fund to complete the repurchase offer six, or twelve-month intervals specified The Fund and a Future Fund may in such amounts determined by its by rule 23c–3. Each Fund will disclose deduct a repurchase fee in an amount Board. in its prospectus and annual reports its not to exceed 2% from the repurchase 11. The Board of each Fund will fundamental policy to make monthly proceeds payable to tendering adopt written procedures to ensure that offers to repurchase a portion of its shareholders, in compliance with rule such Fund’s portfolio assets are common shares at net asset value, less 23c–3(b)(1). sufficiently liquid so that it can comply deduction of a repurchase fee, if any, as 7. Each Fund will provide common with its fundamental policy on permitted by rule 23c–3(b)(1).3 The shareholders with notification of each repurchases and the liquidity fundamental policy will be changeable repurchase offer no less than seven days requirements of rule 23c–3(b)(10)(i). The only by a majority vote of the holders and no more than fourteen days prior to Board of each Fund will review the of such Fund’s outstanding voting the repurchase request deadline. The overall composition of the portfolio and securities. Under the fundamental notification will include all information make and approve such changes to the policy, the repurchase offer amount will required by rule 23c–3(b)(4)(i). Each procedures as it deems necessary. be determined by the board of trustees Fund will file the notification and the Applicants’ Legal Analysis of the applicable Fund (‘‘Board’’) prior Form N–23c–3 with the Commission to each repurchase offer. Each Fund will within three business days after sending 1. Section 6(c) of the Act provides that comply with rule 23c–3(b)(8)’s the notification to its respective the Commission may exempt any requirements with respect to its trustees common shareholders. person, security, or transaction, or any who are not interested persons of such 8. Each Fund will not suspend or class or classes of persons, securities, or Fund, within the meaning of section postpone a repurchase offer except transactions, from any provision of the 2(a)(19) of the Act (‘‘Disinterested pursuant to the vote of a majority of its Act or rule thereunder, if and to the Trustees’’) and their legal counsel. Each Trustees, including a majority of its extent that such exemption is necessary Fund will make monthly offers to Disinterested Trustees, and only under or appropriate in the public interest and repurchase not less than 5% of its the limited circumstances specified in consistent with the protection of outstanding shares at the time of the rule 23c–3(b)(3)(i). Each Fund will not investors and the purposes fairly repurchase request deadline. The condition a repurchase offer upon intended by the policy and provisions of repurchase offer amounts for the then- tender of any minimum amount of the Act. current monthly period, plus the shares. In addition, each Fund will 2. Section 23(c) of the Act provides in repurchase offer amounts for the two comply with the pro ration and other relevant part that no registered closed- monthly periods immediately preceding allocation requirements of rule 23c– end investment company shall purchase the then-current monthly period, will 3(b)(5) if common shareholders tender any securities of any class of which it not exceed 25% of the outstanding more than the repurchase offer amount. is the issuer except: (a) On a securities common shares of the applicable Fund. Further, each Fund will permit tenders exchange or other open market; (b) 5. Each Fund’s fundamental policies to be withdrawn or modified at any time pursuant to tenders, after reasonable will specify the means to determine the until the repurchase request deadline, opportunity to submit tenders given to repurchase request deadline and the but will not permit tenders to be all holders of securities of the class to maximum number of days between each withdrawn or modified thereafter. be purchased; or (c) under such other repurchase request deadline and the 9. From the time a Fund sends its circumstances as the Commission may repurchase pricing date. Each Fund’s notification to shareholders of the permit by rules and regulations or repurchase pricing date normally will repurchase offer until the repurchase orders for the protection of investors. be the same date as the repurchase pricing date, a percentage of such 3. Rule 23c–3 under the Act permits request deadline and pricing will be Fund’s assets equal to at least 100% of a registered closed-end investment determined after close of business on the repurchase offer amount will consist company to make repurchase offers for that date. of: (a) Assets that can be sold or its common stock at net asset value at 6. Pursuant to rule 23c–3(b)(1), each disposed of in the ordinary course of periodic intervals pursuant to a Fund will repurchase shares for cash on business at approximately the price at fundamental policy of the investment or before the repurchase payment which such Fund has valued such company. ‘‘Periodic interval’’ is defined deadline, which will be no later than investment within a period equal to the in rule 23c–3(a)(1) as an interval of seven calendar days after the repurchase period between the repurchase request three, six, or twelve months. Rule 23c– pricing date. The Fund (and any Future deadline and the repurchase payment 3(b)(4) requires that notification of each deadline; or (b) assets that mature by the repurchase offer be sent to shareholders Any entity that relies on the requested order in the next repurchase payment deadline. In no less than 21 calendar days and no future will do so only in accordance with the terms the event the assets of a Fund fail to more than 42 calendar days before the and conditions of the application. 3 Applicants also note that the Fund has comply with this requirement, the repurchase request deadline. exemptive relief that permits the Fund to issue Board will cause such Fund to take such 4. Applicants request an order multiple classes of shares and to impose asset-based action as it deems appropriate to ensure pursuant to sections 6(c) and 23(c) of distribution fees and early withdrawal fees. See In compliance. the Act exempting them from rule 23c– the Matter of Lord Abbett Credit Opportunities Fund, et al., Investment Company Act Rel. Nos. 10. In compliance with the asset 3(a)(1) to the extent necessary to permit 33513 (June 19, 2019) (notice) and 33558 (July 16, coverage requirements of section 18 of the Funds to make monthly repurchase 2019) (order). the Act, any senior security issued by, offers. Applicants also request an
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exemption from the notice provisions of period, will not exceed 25% of the whether the collection has practical rule 23c–3(b)(4) to the extent necessary Fund’s (or Future Fund’s, as applicable) utility; (2) the accuracy of the Board’s to permit each Fund to send notification outstanding common shares. The Fund burden estimates; (3) ways to enhance of an upcoming repurchase offer to (and any Future Fund relying on this the quality, utility, and clarity of the shareholders at least seven days but no relief) may repurchase additional information collected; and (4) ways to more than fourteen calendar days in tendered common shares pursuant to minimize the burden of the collection of advance of the repurchase request rule 23c–3(b)(5) only to the extent the information on the respondents, deadline. percentage of additional common shares including the use of automated 5. Applicants contend that monthly so repurchased does not exceed 2% in collection techniques or other forms of repurchase offers are in the public any three-month period. information technology, when interest and in the common 2. Payment for repurchased common appropriate. Submitted comments will shareholders’ interests and consistent shares will occur at least five business be included and summarized in the with the policies underlying rule 23c– days before notification of the next Board’s request for OMB approval. 3. Applicants assert that monthly repurchase offer is sent to common Subjects: In this notice, the Board is repurchase offers will provide investors shareholders of the Fund (or any Future requesting comments on the following with more liquidity than quarterly Fund relying on this relief). information collections: repurchase offers. Applicants assert that For the Commission, by the Division of Description of Collection 1 shareholders will be better able to Investment Management, under delegated manage their investments and plan authority. Title: Quarterly Report of Revenues, transactions, because if they decide to J. Matthew DesLesDernier, Expenses, and Income—Railroads (Form forego a repurchase offer, they will only RE&I). need to wait one month for the next Assistant Secretary. [FR Doc. 2021–13663 Filed 6–25–21; 8:45 am] OMB Control Number: 2140–0013. offer. Applicants also contend that the Form Number: Form RE&I. BILLING CODE 8011–01–P portfolio of each Fund will be managed Type of Review: Extension without to provide ample liquidity for monthly change. repurchase offers. Respondents: Class I railroads. 6. Applicants propose to send SURFACE TRANSPORTATION BOARD Number of Respondents: Seven. notification to shareholders at least Estimated Time per Response: Six seven days, but no more than fourteen 60-Day Notice of Intent To Seek hours. calendar days, in advance of a Extension of Approval of Collections: repurchase request deadline. Applicants Rail Carrier Financial Reports Frequency of Response: Quarterly. Total Annual Hour Burden: 168 hours assert that, because each Fund intends AGENCY: Surface Transportation Board. to make payment on the fifth business annually. ACTION: Notice and request for day or seventh calendar day (whichever Total Annual ‘‘Non-Hour Burden’’ comments. period is shorter) following the Cost: None identified. Filings are submitted electronically to the Board. repurchase pricing date, the entire SUMMARY: As part of its continuing effort Needs and Uses: This collection is a procedure will be completed before the to reduce paperwork burdens, and as report of railroad operating revenues, next notification is sent out to required by the Paperwork Reduction operating expenses, and income items. shareholders, thus avoiding any overlap. Act of 1995 (PRA), the Surface It is also a profit and loss statement, Applicants believe that these Transportation Board (Board) gives disclosing net railway operating income procedures will eliminate any notice of its intent to request from the on a quarterly and year-to-date basis for possibility of investor confusion. Office of Management and Budget current and prior years. See 49 CFR Applicants also state that monthly (OMB) approval without change of the 1243.1. The Board uses the information repurchase offers will be a fundamental six existing collections described below. in this report to ensure competitive, feature of the Funds, and their DATES: Comments on these information prospectuses will provide a clear efficient, and safe transportation collections should be submitted by through general oversight programs that explanation of the repurchase program. August 27, 2021. 7. Applicants submit that for the monitor and forecast the financial and ADDRESSES: reasons given above the requested relief Direct all comments to operating condition of railroads, and is appropriate in the public interest and Chris Oehrle, PRA Officer, Surface through regulation of railroad rate and is consistent with the protection of Transportation Board, 395 E Street SW, service issues and rail restructuring investors and the purposes fairly Washington, DC 20423–0001, or to proposals, including railroad mergers, intended by the policy and provisions of [email protected]. When submitting consolidations, acquisitions of control, the Act. comments, please refer to ‘‘Paperwork and abandonments. Information from Reduction Act Comments, Rail Carrier these reports is used by the Board, other Applicants’ Conditions Financial Reports.’’ For further Federal agencies, and industry groups to Applicants agree that any order information regarding these collections, monitor and assess industry growth and granting the requested relief shall be contact Pedro Ramirez at (202) 245– operations, detect changes in carrier subject to the following conditions: 0333 or [email protected]. financial stability, and identify trends 1. The Fund (and any Future Fund Assistance for the hearing impaired is that may affect the national relying on this relief) will make a available through the Federal transportation system. Some of the repurchase offer pursuant to rule 23c– Information Relay Service (FIRS) at information from these reports is 3(b) for a repurchase offer amount of not 1–800–877–8339. compiled by the Board in our quarterly less than 5% in any one-month period. SUPPLEMENTARY INFORMATION: Comments Selected Earnings Data Report, which is In addition, the repurchase offer amount are requested concerning each published on the Board’s website, for the then-current monthly period, collection as to (1) whether the https://www.stb.gov/stb/industry/econ_ plus the repurchase offer amounts for particular collection of information is reports.html. The information contained the two monthly periods immediately necessary for the proper performance of in these reports is not available from preceding the then-current monthly the functions of the Board, including any other source.
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Description of Collection 2 Total Annual ‘‘Non-Hour Burden’’ railroad operations. Certain information Title: Quarterly Condensed Balance Cost: None identified. Filings are from these reports is compiled and submitted electronically to the Board. published on the Board’s website, Sheet—Railroads (Form CBS). _ OMB Control Number: 2140–0014. Needs and Uses: This collection https://www.stb.gov/stb/industry/econ Form Number: Form CBS. shows the number of employees, service reports.html. The information contained Type of Review: Extension without hours, and compensation, by employee in these reports is not available from change. group (e.g., executive, professional, any other source. maintenance-of-way and equipment, Respondents: Class I railroads. Description of Collection 5 and transportation), of the reporting Number of Respondents: Seven. Title: Annual Report of Cars Loaded Estimated Time per Response: Six railroads. See 49 CFR 1245. The information is used by the Board to and Cars Terminated. hours. OMB Control Number: 2140–0011. Frequency of Response: Quarterly. forecast labor costs and measure the efficiency of the reporting railroads. The Form Number: Form STB–54. Total Annual Hour Burden: 168 hours Type of Review: Extension without information is also used by the Board to annually. change. evaluate proposed regulated Total Annual ‘‘Non-Hour Burden’’ Respondents: Class I railroads. Cost: None identified. Filings are transactions that may impact rail Number of Respondents: Seven. submitted electronically to the Board. employees, including mergers and Estimated Time per Response: Four Needs and Uses: This collection consolidations, acquisitions of control, hours. shows the balance, quarterly and purchases, and abandonments. Other Frequency of Response: Annual. cumulative, for the current and prior Federal agencies and industry groups, Total Annual Hour Burden: 28 hours year of the carrier’s assets and liabilities, including the Railroad Retirement Board annually. gross capital expenditures, and revenue (RRB), Bureau of Labor Statistics (BLS), Total Annual ‘‘Non-Hour Burden’’ tons carried. See 49 CFR 1243.2. The and Association of American Railroads Cost: None identified. Filings are Board uses the information in this (AAR), use the information contained in submitted electronically to the Board. report to ensure competitive, efficient, the reports to monitor railroad Needs and Uses: This collection and safe transportation through general operations. Certain information from reports the number of cars loaded and cars terminated on the reporting oversight programs that monitor and these reports is compiled and published carrier’s line. See 49 CFR 1247. forecast the financial and operating on the Board’s website, https:// _ Information in this report is entered into condition of railroads, and through www.stb.gov/stb/industry/econ the Board’s Uniform Rail Costing specific regulation of railroad rate and reports.html. The information contained System (URCS), which is a cost service issues and rail restructuring in these reports is not available from measurement methodology. URCS, proposals, including railroad mergers, any other source. which was developed by the Board consolidations, acquisitions of control, Description of Collection 4 pursuant to 49 U.S.C. 11161, is used as and abandonments. Information from Title: Monthly Report of Number of a tool in rail rate proceedings, in these reports is used by the Board, other Employees of Class I Railroads (Wage accordance with 49 U.S.C. 10707(d), to Federal agencies, and industry groups to Form C). calculate the variable costs associated assess industry growth and operations, OMB Control Number: 2140–0007. with providing a particular service. The detect changes in carrier financial Form Number: STB Form C. Board also uses URCS to carry out more stability, and identify trends that may Type of Review: Extension without effectively other of its regulatory affect the national transportation change. responsibilities, including: Acting on system. Revenue ton-miles, which are Respondents: Class I railroads. railroad requests for authority to engage reported in these reports, are compiled Number of Respondents: Seven. in Board-regulated financial and published by the Board in its Estimated Time per Response: 1.25 transactions such as mergers, quarterly Selected Earnings Data Report, hours. acquisitions of control, and which is published on the Board’s Frequency of Response: Monthly. consolidations, see 49 U.S.C. 11323– website, https://www.stb.gov/stb/ Total Annual Hour Burden: 105 hours _ 11324; analyzing the information that industry/econ reports.html. The annually. the Board obtains through the annual information contained in these reports Total Annual ‘‘Non-Hour Burden’’ railroad industry waybill sample, see 49 is not available from any other source. Cost: None identified. Filings are CFR 1244; measuring off-branch costs in submitted electronically to the Board. Description of Collection 3 railroad abandonment proceedings, in Needs and Uses: This collection accordance with 49 CFR 1152.32(n); Title: Report of Railroad Employees, shows, for each reporting carrier, the developing the ‘‘rail cost adjustment Service and Compensation (Wage Forms average number of employees at mid- factors,’’ in accordance with 49 U.S.C. A and B). month in the six job-classification 10708; and conducting investigations OMB Control Number: 2140–0004. groups that encompass all railroad and rulemakings. This collection is Form Number: Wage Form A; and employees. See 49 CFR 1246. The compiled and published on the Board’s Wage Form B. information is used by the Board to website, https://www.stb.gov/stb/ Type of Review: Extension without forecast labor costs and measure the industry/econ_reports.html. There is no change. efficiency of the reporting railroads. The other source for the information Respondents: Class I railroads. information is also used by the Board to contained in this report. Number of Respondents: Seven. evaluate the impact on rail employees of Estimated Time per Response: No proposed regulated transactions, Description of Collection 6 more than 3 hours per quarterly report including mergers and consolidations, Title: Quarterly Report of Freight and 4 hours per annual summation. acquisitions of control, purchases, and Commodity Statistics (Form QCS). Frequency of Response: Quarterly, abandonments. Other Federal agencies OMB Control Number: 2140–0001. with an annual summation. and industry groups, including the RRB, Form Number: Form QCS. Total Annual Hour Burden: No more BLS, and AAR, use the information Type of Review: Extension without than 112 hours annually. contained in these reports to monitor change.
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Respondents: Class I railroads. DEPARTMENT OF TRANSPORTATION FMCSA–2011–0102, Docket No. Number of Respondents: Seven. FMCSA–2012–0279, Docket No. Federal Motor Carrier Safety FMCSA–2012–0337, Docket No. Estimated Time per Response: One Administration FMCSA–2013–0022, Docket No. hour. [Docket No. FMCSA–1998–4334; FMCSA–2013–0027, Docket No. Frequency of Response: Quarterly, FMCSA–2000–7918; FMCSA–2003–14504; FMCSA–2013–0028, Docket No. with an annual summation. FMCSA–2003–15268; FMCSA–2004–17984; FMCSA–2013–0029, Docket No. Total Annual Hour Burden: 35 hours FMCSA–2004–18885; FMCSA–2005–20027; FMCSA–2013–0169, Docket No. FMCSA–2005–21254; FMCSA–2006–26066; annually. FMCSA–2014–0004, Docket No. FMCSA–2006–26653; FMCSA–2008–0106; FMCSA–2014–0006, Docket No. Total Annual ‘‘Non-Hour Burden’’ FMCSA–2008–0340; FMCSA–2009–0086; FMCSA–2014–0008, Docket No. FMCSA–2010–0385; FMCSA–2011–0010; Cost: None identified. Filings are FMCSA–2014–0298, Docket No. submitted electronically to the Board. FMCSA–2011–0102; FMCSA–2012–0279; FMCSA–2012–0337; FMCSA–2013–0022; FMCSA–2014–0300, Docket No. Needs and Uses: This collection, FMCSA–2013–0027; FMCSA–2013–0028; FMCSA–2014–0301, Docket No. which is based on information FMCSA–2013–0029; FMCSA–2013–0169; FMCSA–2014–0304, Docket No. contained in carload waybills used by FMCSA–2014–0004; FMCSA–2014–0006; FMCSA–2014–0305, Docket No. railroads in the ordinary course of FMCSA–2014–0008; FMCSA–2014–0298; FMCSA–2015–0055, Docket No. FMCSA–2014–0300; FMCSA–2014–0301; business, reports car loadings and total FMCSA–2015–0350, Docket No. FMCSA–2014–0304; FMCSA–2014–0305; FMCSA–2016–0024, Docket No. revenues by commodity code for each FMCSA–2015–0055; FMCSA–2015–0350; commodity that moved on the railroad FMCSA–2016–0024; FMCSA–2016–0213; FMCSA–2016–0213, Docket No. during the reporting period. See 49 CFR FMCSA–2016–0377; FMCSA–2017–0014; FMCSA–2016–0377, Docket No. 1248. Information in this report is FMCSA–2017–0019; FMCSA–2018–0018; FMCSA–2017–0014, Docket No. FMCSA–2017–0019, Docket No. entered into the Board’s URCS, the uses FMCSA–2018–0208; FMCSA–2018–0209; FMCSA–2019–0004; FMCSA–2019–0005; FMCSA–2018–0018, Docket No. of which are explained under Collection FMCSA–2019–0011] FMCSA–2018–0208, Docket No. Number 5. This collection is compiled FMCSA–2018–0209, Docket No. and published on the Board’s website, Qualification of Drivers; Exemption _ FMCSA–2019–0004, Docket No. https://www.stb.gov/stb/industry/econ Applications; Vision FMCSA–2019–0005, or Docket No. reports.html. There is no other source AGENCY: Federal Motor Carrier Safety FMCSA–2019–0011 using any of the for the information contained in this Administration (FMCSA), Department following methods: report. of Transportation (DOT). • Federal eRulemaking Portal: Go to The Board makes this submission ACTION: Notice of renewal of www.regulations.gov/, insert the docket because, under the PRA, a federal exemptions; request for comments. number, FMCSA–1998–4334, FMCSA– agency that conducts or sponsors a 2000–7918, FMCSA–2003–14504, collection of information must display a SUMMARY: FMCSA announces its FMCSA–2003–15268, FMCSA–2004– currently valid OMB control number. A decision to renew exemptions for 59 17984, FMCSA–2004–18885, FMCSA– collection of information, which is individuals from the vision requirement 2005–20027, FMCSA–2005–21254, defined in 44 U.S.C. 3502(3) and 5 CFR in the Federal Motor Carrier Safety FMCSA–2006–26066, FMCSA–2006– 1320.3(c), includes agency requirements Regulations (FMCSRs) for interstate 26653, FMCSA–2008–0106, FMCSA– commercial motor vehicle (CMV) that persons submit reports, keep 2008–0340, FMCSA–2009–0086, drivers. The exemptions enable these records, or provide information to the FMCSA–2010–0385, FMCSA–2011– individuals to continue to operate CMVs agency, third parties, or the public. 0010, FMCSA–2011–0102, FMCSA– in interstate commerce without meeting Under 44 U.S.C. 3506(c)(2)(A), federal 2012–0279, FMCSA–2012–0337, the vision requirements in one eye. FMCSA–2013–0022, FMCSA–2013– agencies are required to provide, prior DATES: Each group of renewed 0027, FMCSA–2013–0028, FMCSA– to an agency’s submitting a collection to exemptions were applicable on the 2013–0029, FMCSA–2013–0169, OMB for approval, a 60-day notice and dates stated in the discussions below FMCSA–2014–0004, FMCSA–2014– comment period through publication in and will expire on the dates stated in 0006, FMCSA–2014–0008, FMCSA– the Federal Register concerning each the discussions below. Comments must 2014–0298, FMCSA–2014–0300, proposed collection of information, be received on or before July 28, 2021. FMCSA–2014–0301, FMCSA–2014– including each proposed extension of an ADDRESSES: You may submit comments 0304, FMCSA–2014–0305, FMCSA– existing collection of information. identified by the Federal Docket 2015–0055, FMCSA–2015–0350, Dated: June 22, 2021. Management System (FDMS) Docket No. FMCSA–2016–0024, FMCSA–2016– Eden Besera, FMCSA–1998–4334, Docket No. 0213, FMCSA–2016–0377, FMCSA– 2017–0014, FMCSA–2017–0019, Clearance Clerk. FMCSA–2000–7918, Docket No. FMCSA–2003–14504, Docket No. FMCSA–2018–0018, FMCSA–2018– [FR Doc. 2021–13665 Filed 6–25–21; 8:45 am] FMCSA–2003–15268, Docket No. 0208, FMCSA–2018–0209, FMCSA– BILLING CODE 4915–01–P FMCSA–2004–17984, Docket No. 2019–0004, FMCSA–2019–0005, or FMCSA–2004–18885, Docket No. FMCSA–2019–0011 in the keyword box, FMCSA–2005–20027, Docket No. and click ‘‘Search.’’ Next, sort the FMCSA–2005–21254, Docket No. results by ‘‘Posted (Newer-Older),’’ FMCSA–2006–26066, Docket No. choose the first notice listed, and click FMCSA–2006–26653, Docket No. on the ‘‘Comment’’ button. Follow the FMCSA–2008–0106, Docket No. online instructions for submitting FMCSA–2008–0340, Docket No. comments. FMCSA–2009–0086, Docket No. • Mail: Dockets Operations; U.S. FMCSA–2010–0385, Docket No. Department of Transportation, 1200 FMCSA–2011–0010, Docket No. New Jersey Avenue SE, West Building
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Ground Floor, Room W12–140, name and a mailing address, an email 2012–0279, FMCSA–2012–0337, Washington, DC 20590–0001. address, or a phone number in the body FMCSA–2013–0022, FMCSA–2013– • Hand Delivery: West Building of your document so that FMCSA can 0027, FMCSA–2013–0028, FMCSA– Ground Floor, Room W12–140, 1200 contact you if there are questions 2013–0029, FMCSA–2013–0169, New Jersey Avenue SE, Washington, regarding your submission. FMCSA–2014–0004, FMCSA–2014– DC, between 9 a.m. and 5 p.m., ET, To submit your comment online, go to 0006, FMCSA–2014–0008, FMCSA– Monday through Friday, except Federal www.regulations.gov/, insert the docket 2014–0298, FMCSA–2014–0300, Holidays. number, FMCSA–1998–4334, FMCSA– FMCSA–2014–0301, FMCSA–2014– • Fax: (202) 493–2251. 2000–7918, FMCSA–2003–14504, 0304, FMCSA–2014–0305, FMCSA– To avoid duplication, please use only FMCSA–2003–15268, FMCSA–2004– 2015–0055, FMCSA–2015–0350, one of these four methods. See the 17984, FMCSA–2004–18885, FMCSA– FMCSA–2016–0024, FMCSA–2016– ‘‘Public Participation’’ portion of the 2005–20027, FMCSA–2005–21254, 0213, FMCSA–2016–0377, FMCSA– SUPPLEMENTARY INFORMATION section for FMCSA–2006–26066, FMCSA–2006– 2017–0014, FMCSA–2017–0019, instructions on submitting comments. 26653, FMCSA–2008–0106, FMCSA– FMCSA–2018–0018, FMCSA–2018– FOR FURTHER INFORMATION CONTACT: Ms. 2008–0340, FMCSA–2009–0086, 0208, FMCSA–2018–0209, FMCSA– Christine A. Hydock, Chief, Medical FMCSA–2010–0385, FMCSA–2011– 2019–0004, FMCSA–2019–0005, Programs Division, (202) 366–4001, 0010, FMCSA–2011–0102, FMCSA– FMCSA–2019–0011 in the keyword box, [email protected], FMCSA, DOT, 2012–0279, FMCSA–2012–0337, and click ‘‘Search.’’ Next, sort the 1200 New Jersey Avenue SE, Room FMCSA–2013–0022, FMCSA–2013– results by ‘‘Posted (Newer-Older),’’ W64–224, Washington, DC 20590–0001. 0027, FMCSA–2013–0028, FMCSA– choose the first notice listed, and click Office hours are from 8:30 a.m. to 5 2013–0029, FMCSA–2013–0169, ‘‘Browse Comments.’’ If you do not have p.m., ET, Monday through Friday, FMCSA–2014–0004, FMCSA–2014– access to the internet, you may view the except Federal holidays. If you have 0006, FMCSA–2014–0008, FMCSA– docket online by visiting Dockets questions regarding viewing or 2014–0298, FMCSA–2014–0300, Operations in Room W12–140 on the submitting material to the docket, FMCSA–2014–0301, FMCSA–2014– ground floor of the DOT West Building, contact Dockets Operations, (202) 366– 0304, FMCSA–2014–0305, FMCSA– 1200 New Jersey Avenue SE, 9826. 2015–0055, FMCSA–2015–0350, Washington, DC 20590–0001, between 9 SUPPLEMENTARY INFORMATION: FMCSA–2016–0024, FMCSA–2016– a.m. and 5 p.m., ET, Monday through 0213, FMCSA–2016–0377, FMCSA– Friday, except Federal holidays. To be I. Public Participation 2017–0014, FMCSA–2017–0019, sure someone is there to help you, A. Submitting Comments FMCSA–2018–0018, FMCSA–2018– please call (202) 366–9317 or (202) 366– 0208, FMCSA–2018–0209, FMCSA– 9826 before visiting Dockets Operations. If you submit a comment, please 2019–0004, FMCSA–2019–0005, or include the docket number for this FMCSA–2019–0011 in the keyword box, C. Privacy Act notice (Docket No. FMCSA–1998–4334; and click ‘‘Search.’’ Next, sort the In accordance with 5 U.S.C. 553(c), FMCSA–2000–7918; FMCSA–2003– results by ‘‘Posted (Newer-Older),’’ DOT solicits comments from the public 14504; FMCSA–2003–15268; FMCSA– choose the first notice listed, click the to better inform its rulemaking process. 2004–17984; FMCSA–2004–18885; ‘‘Comment’’ button, and type your DOT posts these comments, without FMCSA–2005–20027; FMCSA–2005– comment into the text box on the edit, including any personal information 21254; FMCSA–2006–26066; FMCSA– following screen. Choose whether you the commenter provides, to 2006–26653; FMCSA–2008–0106; are submitting your comment as an www.regulations.gov, as described in FMCSA–2008–0340; FMCSA–2009– individual or on behalf of a third party the system of records notice (DOT/ALL– 0086; FMCSA–2010–0385; FMCSA– and then submit. 14 FDMS), which can be reviewed at 2011–0010; FMCSA–2011–0102; If you submit your comments by mail www.transportation.gov/privacy. FMCSA–2012–0279; FMCSA–2012– or hand delivery, submit them in an II. Background 0337; FMCSA–2013–0022; FMCSA– unbound format, no larger than 81⁄2 by 2013–0027; FMCSA–2013–0028; 11 inches, suitable for copying and Under 49 U.S.C. 31136(e) and FMCSA–2013–0029; FMCSA–2013– electronic filing. If you submit 31315(b), FMCSA may grant an 0169; FMCSA–2014–0004; FMCSA– comments by mail and would like to exemption from the FMCSRs for no 2014–0006; FMCSA–2014–0008; know that they reached the facility, longer than a 5-year period if it finds FMCSA–2014–0298; FMCSA–2014– please enclose a stamped, self-addressed such exemption would likely achieve a 0300; FMCSA–2014–0301; FMCSA– postcard or envelope. level of safety that is equivalent to, or 2014–0304; FMCSA–2014–0305; FMCSA will consider all comments greater than, the level that would be FMCSA–2015–0055; FMCSA–2015– and material received during the achieved absent such exemption. The 0350; FMCSA–2016–0024; FMCSA– comment period. statute also allows the Agency to renew 2016–0213; FMCSA–2016–0377; exemptions at the end of the 5-year FMCSA–2017–0014; FMCSA–2017– B. Viewing Comments period. FMCSA grants medical 0019; FMCSA–2018–0018; FMCSA– To view comments go to exemptions from the FMCSRs for a 2018–0208; FMCSA–2018–0209; www.regulations.gov. Insert the docket 2-year period to align with the FMCSA–2019–0004; FMCSA–2019– number, FMCSA–1998–4334, FMCSA– maximum duration of a driver’s medical 0005; FMCSA–2019–0011), indicate the 2000–7918, FMCSA–2003–14504, certification. specific section of this document to FMCSA–2003–15268, FMCSA–2004– The physical qualification standard which each comment applies, and 17984, FMCSA–2004–18885, FMCSA– for drivers regarding vision found in 49 provide a reason for each suggestion or 2005–20027, FMCSA–2005–21254, CFR 391.41(b)(10) states that a person is recommendation. You may submit your FMCSA–2006–26066, FMCSA–2006– physically qualified to drive a CMV if comments and material online or by fax, 26653, FMCSA–2008–0106, FMCSA– that person has distant visual acuity of mail, or hand delivery, but please use 2008–0340, FMCSA–2009–0086, at least 20/40 (Snellen) in each eye only one of these means. FMCSA FMCSA–2010–0385, FMCSA–2011– without corrective lenses or visual recommends that you include your 0010, FMCSA–2011–0102, FMCSA– acuity separately corrected to 20/40
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(Snellen) or better with corrective 78 FR 30954, 78 FR 32703, 78 FR 34143, 69 FR 53493, 69 FR 61292, 69 FR 62742, lenses, distant binocular acuity of a least 78 FR 41188, 78 FR 46407, 78 FR 51268, 70 FR 2701, 70 FR 12265, 70 FR 14747, 20/40 (Snellen) in both eyes with or 78 FR 52602, 78 FR 57679, 78 FR 64274, 70 FR 16887, 70 FR 25878, 71 FR 62148, without corrective lenses, field of vision 78 FR 77778, 79 FR 4531, 79 FR 18392, 71 FR 63379, 72 FR 184, 72 FR 1051, 72 of at least 70° in the horizontal meridian 79 FR 29498, 79 FR 35212, 79 FR 41737, FR 8417, 72 FR 11425, 72 FR 11426, 72 in each eye, and the ability to recognize 79 FR 46153, 79 FR 47175, 79 FR 56102, FR 12665, 72 FR 28093, 72 FR 36099, the colors of traffic signals and devices 79 FR 65759, 79 FR 65760, 79 FR 69985, 73 FR 35197, 73 FR 48275, 73 FR 61925, showing red, green, and amber. 79 FR 73686, 80 FR 603, 80 FR 2473, 80 73 FR 75803, 73 FR 78423, 74 FR 6209, The 59 individuals listed in this FR 3305, 80 FR 3308, 80 FR 6162, 80 FR 74 FR 8302, 74 FR 9329, 74 FR 11991, notice have requested renewal of their 8927, 80 FR 13070, 80 FR 14220, 80 FR 74 FR 15586, 74 FR 19267, 74 FR 20253, exemptions from the vision standard in 14223, 80 FR 15859, 80 FR 15863, 80 FR 74 FR 26466, 74 FR 28094, 75 FR 44051, § 391.41(b)(10), in accordance with 16500, 80 FR 16502, 80 FR 18693, 80 FR 75 FR 77492, 75 FR 77942, 75 FR 77949, FMCSA procedures. Accordingly, 20562, 80 FR 22773, 80 FR 25766, 80 FR 75 FR 79083, 76 FR 4413, 76 FR 5425, FMCSA has evaluated these 25768, 80 FR 31957, 80 FR 33007, 80 FR 76 FR 9856, 76 FR 11215, 76 FR 15360, applications for renewal on their merits 33011, 80 FR 36395, 80 FR 36398, 80 FR 76 FR 17483, 76 FR 20076, 76 FR 21796, and decided to extend each exemption 41547, 80 FR 44185, 80 FR 44188, 80 FR 76 FR 29022, 76 FR 29026, 76 FR 32016, for a renewable 2-year period. 45573, 80 FR 62161, 80 FR 67481, 81 FR 76 FR 37173, 76 FR 44082, 77 FR 46153, III. Request for Comments 14190, 81 FR 21655, 81 FR 39100, 81 FR 77 FR 60008, 77 FR 68202, 77 FR 70534, 66718, 81 FR 80161, 81 FR 81230, 81 FR 77 FR 71671, 77 FR 74734, 78 FR 797, Interested parties or organizations 90050, 81 FR 96165, 81 FR 96180, 82 FR 78 FR 800, 78 FR 9772, 78 FR 12815, 78 possessing information that would 13043, 82 FR 13045, 82 FR 13048, 82 FR FR 12822, 78 FR 16035, 78 FR 16762, otherwise show that any, or all, of these 13187, 82 FR 15277, 82 FR 17736, 82 FR 78 FR 18667, 78 FR 22596, 78 FR 22602, drivers are not currently achieving the 18949, 82 FR 18956, 82 FR 22379, 82 FR 78 FR 24798, 78 FR 27281, 78 FR 30954, statutory level of safety should 23712, 82 FR 26224, 82 FR 32919, 82 FR 78 FR 32703, 78 FR 41188, 78 FR 46407, immediately notify FMCSA. The 33542, 82 FR 35043, 82 FR 37499, 82 FR 78 FR 51268, 78 FR 57679, 78 FR 64274, Agency will evaluate any adverse 47295, 83 FR 2306, 83 FR 15195, 83 FR 78 FR 77778, 79 FR 18392, 79 FR 29498, evidence submitted and, if safety is 28325, 83 FR 34661, 83 FR 40638, 83 FR 79 FR 35212, 79 FR 41737, 79 FR 46153, being compromised or if continuation of 53727, 83 FR 60954, 84 FR 2305, 84 FR 79 FR 47175, 79 FR 56102, 79 FR 65759, the exemption would not be consistent 2311, 84 FR 2314, 84 FR 2323, 84 FR 79 FR 65760, 79 FR 69985, 79 FR 73686, with the goals and objectives of 49 2326, 84 FR 2328, 84 FR 5550, 84 FR 80 FR 603, 80 FR 2473, 80 FR 3305, 80 U.S.C. 31136(e) and 31315(b), FMCSA 10389, 84 FR 12665, 84 FR 16320, 84 FR FR 3308, 80 FR 6162, 80 FR 8927, 80 FR will take immediate steps to revoke the 13070, 80 FR 14220, 80 FR 14223, 80 FR exemption of a driver. 16327, 84 FR 16336, 84 FR 21393, 84 FR 21397, 84 FR 21401, 84 FR 33801, 84 FR 15859, 80 FR 15863, 80 FR 16500, 80 FR IV. Basis for Renewing Exemptions 47045, 84 FR 47057, 84 FR 52166). They 16502, 80 FR 18693, 80 FR 20562, 80 FR In accordance with 49 U.S.C. 31136(e) have submitted evidence showing that 22773, 80 FR 25766, 80 FR 25768, 80 FR and 31315(b), each of the 59 applicants the vision in the better eye continues to 31957, 80 FR 33007, 80 FR 33011, 80 FR has satisfied the renewal conditions for meet the requirement specified at 36395, 80 FR 36398, 80 FR 45573, 80 FR obtaining an exemption from the vision § 391.41(b)(10) and that the vision 67481, 81 FR 14190, 81 FR 21655, 81 FR standard (see 63 FR 66226, 64 FR 16517, impairment is stable. In addition, a 39100, 81 FR 66718, 81 FR 80161, 81 FR 65 FR 66286, 66 FR 13825, 66 FR 17994, review of each record of safety while 81230, 81 FR 90050, 81 FR 96165, 81 FR 68 FR 13360, 68 FR 15037, 68 FR 19598, driving with the respective vision 96180, 82 FR 13043, 82 FR 13045, 82 FR 68 FR 33570, 68 FR 37197, 68 FR 48989, deficiencies over the past 2 years 13048, 82 FR 13187, 82 FR 15277, 82 FR 69 FR 33997, 69 FR 53493, 69 FR 61292, indicates each applicant continues to 17736, 82 FR 18949, 82 FR 18956, 82 FR 69 FR 62742, 70 FR 2701, 70 FR 12265, meet the vision exemption 22379, 82 FR 23712, 82 FR 26224, 82 FR 70 FR 14747, 70 FR 16887, 70 FR 25878, requirements. These factors provide an 32919, 82 FR 33542, 82 FR 37499, 83 FR 70 FR 30999, 70 FR 42615, 70 FR 46567, adequate basis for predicting each 2306, 83 FR 15195, 83 FR 28325, 83 FR 71 FR 62148, 71 FR 63379, 72 FR 184, driver’s ability to continue to drive 34661, 83 FR 40638, 83 FR 53727, 83 FR 72 FR 1051, 72 FR 8417, 72 FR 11425, safely in interstate commerce. 60954, 84 FR 2305, 84 FR 2311, 84 FR 72 FR 11426, 72 FR 12665, 72 FR 28093, Therefore, FMCSA concludes that 2314, 84 FR 2323, 84 FR 2326, 84 FR 72 FR 36099, 72 FR 40359, 72 FR 40360, extending the exemption for each 2328, 84 FR 5550, 84 FR 10389, 84 FR 73 FR 35197, 73 FR 48275, 73 FR 61925, renewal applicant for a period of 2 years 12665, 84 FR 16320, 84 FR 16327, 84 FR 73 FR 75803, 73 FR 78423, 74 FR 6209, is likely to achieve a level of safety 16336, 84 FR 21393, 84 FR 21397, 84 FR 74 FR 8302, 74 FR 9329, 74 FR 11991, equal to that existing without the 21401, 84 FR 47057, 84 FR 52166): 74 FR 15586, 74 FR 19267, 74 FR 20253, exemption. Marvin D. Bass (KY) 74 FR 26466, 74 FR 28094, 74 FR 34074, In accordance with 49 U.S.C. 31136(e) Raymond L. Bradshaw (TX) 74 FR 34632, 75 FR 44051, 75 FR 77492, and 31315(b), the following groups of Joel A. Cabrera (FL) 75 FR 77942, 75 FR 77949, 75 FR 79083, drivers received renewed exemptions in Richard D. Carlson (MN) 76 FR 4413, 76 FR 5425, 76 FR 9856, 76 the month of August and are discussed David F. Cialdea (MA) FR 11215, 76 FR 15360, 76 FR 17483, below. As of August 8, 2021, and in Peter R. Clarke (WA) 76 FR 20076, 76 FR 21796, 76 FR 29022, accordance with 49 U.S.C. 31136(e) and Marcus L. Conner (TX) 76 FR 29026, 76 FR 32016, 76 FR 37173, 31315(b), the following 51 individuals Jon R. Davidson (CO) 76 FR 44082, 76 FR 44653, 76 FR 49531, have satisfied the renewal conditions for Donald W. Donaldson (GA) 77 FR 46153, 77 FR 60008, 77 FR 68202, obtaining an exemption from the vision David L. Dykman (ID) 77 FR 70534, 77 FR 71671, 77 FR 74734, requirement in the FMCSRs for Terry J. Edwards (MO) 78 FR 797, 78 FR 800, 78 FR 9772, 78 interstate CMV drivers (63 FR 66226, 64 Barry J. Ferdinando (NH) FR 12815, 78 FR 12822, 78 FR 16035, FR 16517, 65 FR 66286, 66 FR 13825, Riche Ford (CO) 78 FR 16762, 78 FR 18667, 78 FR 22596, 66 FR 17994, 68 FR 13360, 68 FR 15037, Dale R. Goodell (SD) 78 FR 22602, 78 FR 24798, 78 FR 27281, 68 FR 19598, 68 FR 33570, 69 FR 33997, Thomas A. Grigsby (AR)
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Matthew J. Hahn (PA) requirement in the FMCSRs for Patrick J. Conner (OK) Jay A. Harding (OR) interstate CMV drivers (70 FR 30999, 70 The driver was included in docket Johnny K. Hiatt (NC) FR 46567, 72 FR 40359, 74 FR 34074, number FMCSA–2017–0019. The William G. Holland (AR) 76 FR 44653, 79 FR 4531, 80 FR 41547, Abdalla M. Jalili (IL) 82 FR 32919, 84 FR 52166): exemption is applicable as of August 29, Francisco J. Jimenez (TX) Carl V. Murphy, Jr. (TX) 2021 and will expire on August 29, 2023. Curtis L. Lamb (KS) The driver was included in docket David C. Leoffler (CO) number FMCSA–2005–21254. The V. Conditions and Requirements Richard D. Livingston (WI) exemption is applicable as of August 10, Robert R. Martin (VA) 2021 and will expire on August 10, The exemptions are extended subject Carl M. McIntire (OH) 2023. to the following conditions: (1) Each Edgar H. Meraz Gardea (NM) As of August 15, 2021, and in driver must undergo an annual physical Leonard Morris (NJ) accordance with 49 U.S.C. 31136(e) and examination (a) by an ophthalmologist Timothy L. Morton (NC) 31315(b), the following three or optometrist who attests that the George M. Nelson (OH) individuals have satisfied the renewal vision in the better eye continues to William L. Paschall (MD) conditions for obtaining an exemption meet the requirements in 49 CFR John P. Perez (FL) from the vision requirement in the 391.41(b)(10), and (b) by a certified Zeljko Popovac (VT) FMCSRs for interstate CMV drivers (68 medical examiner (ME), as defined by Roberto A. Ramos (TX) FR 37197, 68 FR 48989, 70 FR 42615, § 390.5, who attests that the driver is Donald W. Randall (OR) 72 FR 40360, 74 FR 34632, 76 FR 49531, otherwise physically qualified under Larry F. Reber (OH) 79 FR 4531, 80 FR 44185, 82 FR 32919, § 391.41; (2) each driver must provide a 84 FR 33801, 84 FR 47045, 84 FR Larry D. Robinson (MO) copy of the ophthalmologist’s or Cory W. Schell (WA) 52166): optometrist’s report to the ME at the Lynn R. Schraeder (IA) Christopher G. Jarvela (MI) time of the annual medical examination; Leverne F. Schulte, Jr. (OH) Guillermo Rocha (CA) Richie J. Schwendy (IL) Paul S. Yocum (IN) and (3) each driver must provide a copy Martin Serrano (IL) The drivers were included in docket of the annual medical certification to Kyle C. Shover (NJ) numbers FMCSA–2003–15268 and the employer for retention in the Sammie Q. Soles, Jr. (MI) FMCSA–2019–0011. Their exemptions driver’s qualification file or keep a copy Charles T. Spears (VA) are applicable as of August 15, 2021 and of his/her driver’s qualification if he/her George R. Tieskoetter (IA) will expire on August 15, 2023. is self-employed. The driver must also Jaime Valdez (TX) As of August 23, 2021, and in have a copy of the exemption when James K. Waites (AR) accordance with 49 U.S.C. 31136(e) and driving, for presentation to a duly Robert A. Wegner (MN) 31315(b), the following individual has authorized Federal, State, or local Bryon L. Wright (DE) satisfied the renewal conditions for enforcement official. The exemption Dana J. York (PA) obtaining an exemption from the vision will be rescinded if: (1) The person fails The drivers were included in docket requirement in the FMCSRs for to comply with the terms and numbers FMCSA–1998–4334, FMCSA– interstate CMV drivers (78 FR 34143, 78 conditions of the exemption; (2) the 2000–7918, FMCSA–2003–14504, FR 52602, 82 FR 32919, 84 FR 52166): exemption has resulted in a lower level FMCSA–2004–17984, FMCSA–2004– Twila G. Cole (OR) of safety than was maintained before it 18885, FMCSA–2005–20027, FMCSA– The driver was included in docket was granted; or (3) continuation of the 2006–26066, FMCSA–2006–26653, number FMCSA–2013–0029. The exemption would not be consistent with FMCSA–2008–0106, FMCSA–2008– exemption is applicable as of August 23, the goals and objectives of 49 U.S.C. 0340, FMCSA–2009–0086, FMCSA– 2021 and will expire on August 23, 31136(e) and 31315(b). 2010–0385, FMCSA–2011–0010, 2023. FMCSA–2011–0102, FMCSA–2012– As of August 25, 2021, and in VI. Preemption 0279, FMCSA–2012–0337, FMCSA– accordance with 49 U.S.C. 31136(e) and During the period the exemption is in 2013–0022, FMCSA–2013–0027, 31315(b), the following two individuals effect, no State shall enforce any law or FMCSA–2013–0028, FMCSA–2013– have satisfied the renewal conditions for regulation that conflicts with this obtaining an exemption from the vision 0169, FMCSA–2014–0004, FMCSA– exemption with respect to a person requirement in the FMCSRs for 2014–0006, FMCSA–2014–0008, operating under the exemption. FMCSA–2014–0298, FMCSA–2014– interstate CMV drivers (80 FR 44188, 80 0300, FMCSA–2014–0301, FMCSA– FR 62161, 82 FR 32919, 84 FR 52166): VI. Conclusion 2014–0304, FMCSA–2014–0305, Robert J. Falanga (FL) FMCSA–2015–0350, FMCSA–2016– Duane S. Lozinski (IA) Based upon its evaluation of the 59 0024, FMCSA–2016–0213, FMCSA– The drivers were included in docket exemption applications, FMCSA renews 2016–0377, FMCSA–2017–0014, number FMCSA–2015–0055. Their the exemptions of the aforementioned FMCSA–2018–0018, FMCSA–2018– exemptions are applicable as of August drivers from the vision requirement in 0208, FMCSA–2018–0209, FMCSA– 25, 2021 and will expire on August 25, § 391.41(b)(10), subject to the 2019–0004, and FMCSA–2019–0005. 2023. requirements cited above. In accordance Their exemptions are applicable as of As of August 29, 2021, and in with 49 U.S.C. 31136(e) and 31315(b), August 8, 2021 and will expire on accordance with 49 U.S.C. 31136(e) and each exemption will be valid for two August 8, 2023. 31315(b), the following individual has years unless revoked earlier by FMCSA. As of August 10, 2021, and in satisfied the renewal conditions for accordance with 49 U.S.C. 31136(e) and obtaining an exemption from the vision Larry W. Minor, 31315(b), the following individual has requirement in the FMCSRs for Associate Administrator for Policy. satisfied the renewal conditions for interstate CMV drivers (82 FR 35043, 82 [FR Doc. 2021–13633 Filed 6–25–21; 8:45 am] obtaining an exemption from the vision FR 47295, 84 FR 52166): BILLING CODE 4910–EX–P
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DEPARTMENT OF TRANSPORTATION form, please ensure that two copies are This notice of receipt of Volvo’s provided. If you wish to receive petition is published under 49 U.S.C. National Highway Traffic Safety confirmation that the comments you 30118 and 30120 and does not represent Administration have submitted by mail were received, any Agency decision or other exercise of please enclose a stamped, self-addressed judgment concerning the merits of the [Docket No. NHTSA–2021–0028; Notice 1] postcard with the comments. Note that petition. all comments received will be posted Volvo Group North America, LLC, II. Trucks and Truck-Tractors Involved Receipt of Petition for Decision of without change to https:// Inconsequential Noncompliance www.regulations.gov, including any Approximately 72,239 Volvo VAH, personal information provided. VHD, VNL, VNM, and VNR class 8 AGENCY: National Highway Traffic All comments and supporting trucks and truck-tractors manufactured Safety Administration (NHTSA), materials received before the close of between December 16, 2014, and Department of Transportation (DOT). business on the closing date indicated December 21, 2020, are potentially ACTION: Receipt of petition. above will be filed in the docket and involved. will be considered. All comments and III. Noncompliance SUMMARY: Volvo Group North America, supporting materials received after the LLC (‘‘Volvo’’), has determined that closing date will also be filed and will Volvo explains that the certain Model Year (MY) 2015–2021 be considered to the fullest extent noncompliance is that the subject Volvo VHA, VHD, VNL, VNM, and VNR possible. vehicles are equipped with a steering- class 8 trucks and truck-tractors do not When the petition is granted or wheel-mounted automatic vehicle speed fully comply with Federal Motor denied, notice of the decision will also system control switch (cruise control) Vehicle Safety Standard (FMVSS) No. be published in the Federal Register that is not properly identified and, 101, Controls and Displays. Volvo filed pursuant to the authority indicated at therefore, does not comply with a noncompliance report dated March 5, the end of this notice. paragraph S5.2.8 of FMVSS No. 101. All comments, background 2021. Subsequently, Volvo petitioned IV. Rule Requirements NHTSA on March 26, 2021, for a documentation, and supporting decision that the subject noncompliance materials submitted to the docket may Paragraph S5.2.8 of FMVSS No. 101 is inconsequential as it relates to motor be viewed by anyone at the address and includes the requirements relevant to vehicle safety. This notice announces times given above. The documents may this petition. Each control for an receipt of Volvo’s petition. also be viewed on the internet at https:// automatic vehicle speed system (cruise www.regulations.gov by following the control) and each control for heating DATES: Send comments on or before July online instructions for accessing the 28, 2021. and air conditioning systems must have docket. The docket ID number for this identification provided for each ADDRESSES: Interested persons are petition is shown in the heading of this function of each such system. invited to submit written data, views, notice. and arguments on this petition. DOT’s complete Privacy Act V. Summary of Volvo’s Petition Comments must refer to the docket and Statement is available for review in a The following views and arguments notice number cited in the title of this Federal Register notice published on presented in this section, ‘‘V. Summary notice and submitted by any of the April 11, 2000 (65 FR 19477–78). of Volvo’s Petition,’’ are the views and following methods: FOR FURTHER INFORMATION CONTACT: Neil arguments provided by Volvo. They • Mail: Send comments by mail Dold, General Engineer, NHTSA, Office have not been evaluated by the Agency addressed to the U.S. Department of of Vehicle Safety Compliance, 202–366– and do not reflect the views of the Transportation, Docket Operations, M– 7352, [email protected]. Agency. Volvo describes the subject 30, West Building Ground Floor, Room SUPPLEMENTARY INFORMATION: noncompliance and contends that the W12–140, 1200 New Jersey Avenue SE, noncompliance is inconsequential as it Washington, DC 20590. I. Overview relates to motor vehicle safety. • Hand Delivery: Deliver comments Volvo has determined that certain In support of its petition, Volvo by hand to the U.S. Department of Volvo VHA, VHD, VNL, VNM, and VNR submitted the following reasoning: Transportation, Docket Operations, M– class 8 trucks and truck-tractors, do not 1. The cruise on and off button is just 30, West Building Ground Floor, Room fully comply with the requirements of to the right of the switch in question. W12–140, 1200 New Jersey Avenue SE, paragraph S5.2.8 of FMVSS No. 101, Considering the proximity of the switch Washington, DC 20590. The Docket Controls and Displays (49 CFR 571.101). to the cruise control on-and-off and Section is open on weekdays from 10 Volvo filed a noncompliance report cancel-and-resume buttons, the switch’s a.m. to 5 p.m. except for Federal dated March 5, 2021, pursuant to 49 function is self-explanatory. holidays. CFR part 573, Defect and 2. This type of switch is commonly • Electronically: Submit comments Noncompliance Responsibility and used for this function. electronically by logging onto the Reports. Volvo subsequently petitioned 3. The function of the switch is Federal Docket Management System NHTSA on March 26, 2021, for an explained in the operator’s manual. (FDMS) website at https:// exemption from the notification and 4. There are no warranty claims, www.regulations.gov/. Follow the online remedy requirements of 49 U.S.C. consumer complaints, field reports, instructions for submitting comments. Chapter 301 on the basis that this property damage or death and injury • Comments may also be faxed to noncompliance is inconsequential as it notices associated with the subject (202) 493–2251. relates to motor vehicle safety, pursuant noncompliance. Comments must be written in the to 49 U.S.C. 30118(d) and 30120(h) and Volvo concludes that the subject English language and be no greater than 49 CFR part 556, Exemption for noncompliance is inconsequential as it 15 pages in length, although there is no Inconsequential Defect or relates to motor vehicle safety and that limit to the length of necessary Noncompliance. Following submission its petition to be exempted from attachments to the comments. If of the petition, Volvo supplemented the providing notification of the comments are submitted in hard copy petition on May 11, 2021. noncompliance, as required by 49
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U.S.C. 30118, and a remedy for the publication of this notice. Routine uses training providers and SDLAs will use noncompliance, as required by 49 will be effective at that time. to meet the ELDT requirements. U.S.C. 30120, should be granted. ADDRESSES: You may submit comments, Training providers, as defined in 49 NHTSA notes that the statutory identified by docket number OST– CFR 380.605, wishing to provide ELDT provisions (49 U.S.C. 30118(d) and 2021–0037 by one of the following must be listed on the TPR. Training 30120(h)) that permit manufacturers to methods: providers include, but are not limited file petitions for a determination of Federal e-Rulemaking Portal: https:// to, training schools, educational inconsequentiality allow NHTSA to www.regulations.gov. institutions, rural electric cooperatives, exempt manufacturers only from the Mail: Karyn Gorman, Acting motor carriers, State/local governments, duties found in sections 30118 and Departmental Chief Privacy Officer, school districts, joint labor management 30120, respectively, to notify owners, Department of Transportation, programs, owner-operators, and purchasers, and dealers of a defect or Washington, DC 20590. individuals. To be listed on the TPR, a noncompliance and to remedy the All submissions received must training provider must certify that it defect or noncompliance. Therefore, any include the agency name and docket meets the applicable eligibility decision on this petition only applies to number OST–2021–0037. All comments requirements listed in 49 CFR the subject trucks and truck-tractors that received will be posted without change 380.703(a), including completion of Volvo no longer controlled at the time to https://www.regulations.gov and may FMCSA’s registration process. it determined that the noncompliance include any personal information Registration is accomplished by existed. However, any decision on this provided.’’ accessing FMCSA’s TPR website and petition does not relieve equipment Docket: For access to the docket to electronically transmitting a completed distributors and dealers of the read background documents or Training Provider Registration Form prohibitions on the sale, offer for sale, comments received, to https:// (TPRF) affirming, under penalties of or introduction or delivery for www.regulations.gov. perjury, that the provider will teach the introduction into interstate commerce of FOR FURTHER INFORMATION CONTACT: For FMCSA-prescribed curriculum that is the noncompliant trucks and truck- general and privacy questions, please appropriate for the CDL class or tractors under their control after Volvo contact: Karyn Gorman, Acting endorsement. When a provider meets notified them that the subject Departmental Chief Privacy Officer, the applicable requirements, FMCSA noncompliance existed. Department of Transportation, S–81, will issue the provider a unique TPR (Authority: 49 U.S.C. 30118, 30120: Washington, DC 20590, Email: privacy@ number and, as applicable, add the delegations of authority at 49 CFR 1.95 and dot.gov, Tel. (202) 366–3140. provider’s information to the TPR 501.8) SUPPLEMENTARY INFORMATION: website. The information maintained in Otto G. Matheke, III, the system of records on training Background providers, some of whom are Director, Office of Vehicle Safety Compliance. In accordance with the Privacy Act of individuals, includes, but is not limited [FR Doc. 2021–13462 Filed 6–25–21; 8:45 am] 1974, the Department of Transportation to, the training entity’s legal name, BILLING CODE 4910–59–P is proposing a new system of records location, phone number, website titled ‘‘Department of Transportation address, and the type of ELDT offered. (DOT)/Federal Motor Carrier Safety Except as noted below, this information DEPARTMENT OF TRANSPORTATION Administration (FMCSA)—012, Entry- will be located on the publicly available Privacy Act of 1974; System of Level Driver Training Provider Registry’’ portion of the TPR website, which will Records (TPR). This system will collect allow driver-trainees to locate and information related to registered contact registered training providers. In AGENCY: Federal Motor Carrier Safety training providers and entry level-driver addition, FMCSA may use the training Administration (FMCSA), Department training (ELDT) certification providers’ contact information to of Transportation (DOT). information pertaining to individual communicate with them regarding their ACTION: Notice of a new system of applicants for commercial driver’s registration information on the TPR, or records. licenses (CDLs) or certain endorsements. to initiate an audit or investigation of The Moving Ahead for Progress in the the training provider pursuant to 49 SUMMARY: In accordance with the 21st Century Act (MAP–21) requires CFR 380.703(a)(6) and 380.719(a)(5). Privacy Act of 1974, the Department of DOT to regulate ELDT (Pub. L. 112–141, FMCSA acknowledges that some Transportation (DOT) proposes a new section 32304, 126 Stat. 405, 791 (July training providers, including those who system of records titled ‘‘Entry-Level 6, 2012)). MAP–21 modified 49 U.C provide ELDT only for their own Driver Training Provider Registry’’ 31305 by adding paragraph (c), which employees or prospective employees, (TPR). This system of records will allow required FMCSA to issue ELDT may wish to keep their contact DOT to collect and maintain registered regulations addressing the knowledge information private and therefore not training provider information and entry- and skills that an individual must have it publicly displayed on the TPR level driver training certification acquire before obtaining a CDL or website. Accordingly, training providers information. The information in the specified endorsement for the first time. who do not intend to make their system will be used to establish training MAP–21 also required training services available to all driver-trainee provider accounts, act as a central providers to demonstrate, by providing applicants can elect not to include their repository for entry level-driver training certification information, that the contact information in the public listing (ELDT) certification information and individual meets the ELDT that appears on the TPR website; transmit that information to State Driver requirements. Section 32304(a) allows however, these training providers will Licensing Agencies (SDLAs). the Secretary to establish the process by be publicly identified by name, city, and DATES: Comments on the system will be which a training provider must provide State. This option will be made accepted on or before 30 days from the certification information. These ELDT available at the time of initial date of publication of this notice. The regulations are currently located in 49 registration and can be changed anytime system will be effective 30 days after CFR part 380. The TPR is the tool that the provider so chooses.
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The system of records will also serve eligibility to take the required test(s) as terrorist activities against the territory, as a central repository of driver-trainee outlined in the ELDT regulations. The people, and interests of the United ELDT certification information. third proposed routine use would allow States. Each ELDT training provider is the transmission of a driver’s ELDT Privacy Act responsible for collecting certain certification information in response to information from its driver trainees, to mandatory queries made by SDLAs The Privacy Act (5 U.S.C. 552a) include the driver-trainee’s name, prior to conducting the knowledge test governs the means by which the federal permit or driver license number, State of for the H endorsement. This routine use government agencies collect, maintain, licensure, license class and/or will allow SDLAs to verify the driver’s use, and disseminate individuals’ endorsements, the type of training eligibility to take the test. records. The Privacy Act applies to completed (e.g., Class A or B theory and FMCSA has also included DOT information that is maintained in a behind-the-wheel (BTW) training), total General Routine Uses, to the extent they ‘‘system of records.’’ A ‘‘system of number of BTW clock hours (if are compatible with the purposes of this records’’ is a group of any records under applicable), and date of completion. System. As recognized by the Office of the control of an agency from which Upon a driver’s completion of the ELDT Management and Budget (OMB) in its information is retrieved by the name of training administered by a provider Privacy Act Implementation Guidance an individual or by some identifying listed on the TPR, providers must, by and Responsibilities (65 FR 19746 (July number, symbol, or other identifying midnight of the second business day 9, 1975)), the routine uses include particular assigned to the individual. following completion, electronically proper and necessary uses of The Privacy Act extends rights and transmit training certification information in the system, even if such protections to individuals who are U.S. information through the TPR website. uses occur infrequently. FMCSA has citizens and lawful permanent 49 CFR 380.717. The purpose of included in this notice routine uses for residents. Additionally, the Judicial maintaining these records in the TPR disclosures to law enforcement when Redress Act (JRA) provides a covered system is two-fold: First, it allows users the record, on its face, indicates a person with a statutory right to make (SDLAs or third-party skills test violation of law, to DOJ for litigation requests for access and amendment to examiners authorized by the SDLA) to purposes, or when necessary in covered records, as defined by the JRA, query the TPR and verify electronically investigating or responding to a breach along with judicial review for denials of that the applicant completed applicable of this system or other agencies’ such requests. In addition, the JRA training prior to conducting the skills prohibits disclosures of covered records, test, as required in 49 CFR systems. DOT may disclose to Federal, State, local, or foreign agency except as otherwise permitted by the 383.73(b)(11), or administering the Privacy Act. knowledge test to an applicant for the information relevant to law enforcement, litigation, and proceedings Below is the description of the hazardous materials (H) endorsement, as Training Provider Registry System of required in 49 CFR 383.73(e)(9). (This before any court or adjudicative or administrative body. OMB has long Records. In accordance with 5 U.S.C. use of ELDT information by SDLAs is a 552a(r), DOT has provided a report of routine use, discussed further below.) recognized that these types of routine uses are ‘‘proper and necessary’’ uses of this system of records to the OMB and Second, FMCSA intends to use the to Congress. ELDT certification information to information and qualify as compatible analyze the safety impact of ELDT and with agency systems (65 FR 19476, SYSTEM NAME AND NUMBER: to monitor the efficacy, competence, April 11, 2000). In addition, OMB DOT/FMCSA 012—Entry-Level Driver and performance of training providers. Memorandum M–17–12, directed Training Provider Registry (TPR). If the audits or investigations conducted agencies to include routine uses that by FMCSA, or its authorized will permit sharing of information when SECURITY CLASSIFICATION: representatives, identifies material needed to investigate, respond to, and Unclassified. mitigate a breach of a Federal deficiencies pertaining to the training SYSTEM LOCATION: provider’s program, operations, or information system. DOT also has Records are maintained in a eligibility, FMCSA may consider the included routine uses that permit FedRAMP-certified third-party cloud removal of the training provider from sharing with the National Archives and environment. The contracts are the TPR pursuant to 49 CFR 380.721. Records Administration when necessary The Department is proposing three for an inspection, to any federal maintained by DOT at 1200 New Jersey routine uses for this system of records government agency engaged in audit or Avenue SE, Washington, DC 20590. tied directly to the purpose of the oversight related to this system, or when SYSTEM MANAGER(S): DOT determines that the disclosure will system. The first routine use would System Manager, Commercial Driver detect, prevent, or mitigate terrorism allow the provision of the training License Division, Office of Safety activity. These types of disclosures are provider’s legal name, location, phone Programs, FMCSA, U.S. Department of necessary and proper uses of number, website address, and the type Transportation, 1200 New Jersey information in this system because they of ELDT offered, to members of the Avenue SE, Washington, DC 20590. public to allow entry-level drivers the further DOT’s obligation to fulfil its necessary information to locate a records management and program AUTHORITY FOR MAINTENANCE OF THE SYSTEM: provider in his or her locality. The management responsibilities by Moving Ahead for Progress in the 21st second proposed routine use would facilitating accountability to agencies Century Act (MAP–21) (Pub. L. 112– allow the transmission of a driver’s charged with oversight in these areas, 141, section 32304, 126 Stat. 405, 791 ELDT certification information in and DOT’s obligation under Intelligence (July 6, 2012)). response to mandatory queries made by Reform and Terrorism Prevention Act of SDLAs (and third-party skills testers 2004, Public Law 108–456, and PURPOSE(S) OF THE SYSTEM: authorized by the SDLA) prior to Executive Order 13388 (Oct. 25, 2005) to The purpose of the system is to (1) conducting the applicable skills test. share information necessary and collect and maintain information on This routine use will allow CDL skills relevant to detect, prevent, disrupt, training providers listed on the TPR; (2) examiners to verify the driver’s preempt, or mitigate the effects of collect and maintain certification
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information on drivers who have number, website address, and the type body before which DOT or any agency completed entry-level training; and (3) of ELDT offered to allow entry-level thereof, appears, when—(a) DOT, or any allow access to entry-level driver drivers the necessary information to agency thereof, or (b) Any employee of training certification information by locate a provider in his or her locality. DOT or any agency thereof in his/her SDLAs and third-party examiners for 2. To SDLAs, including third-party official capacity, or (c) Any employee of the purposes of ensuring entry-level skills test examiners authorized by the DOT or any agency thereof in his/her drivers have completed required State, the driver’s training record, for individual capacity where DOT has training prior to seeking a CDL or verification that an applicant seeking a agreed to represent the employee, or (d) endorsement. Class A or Class B CDL, and/or a P or The United States or any agency thereof, S endorsement, has completed the where DOT determines that the CATEGORIES OF INDIVIDUALS COVERED BY THE required ELDT before administering proceeding is likely to affect the United SYSTEM: requisite skills test(s) to the individual. States, is a party to the proceeding or Categories of individuals within this 3. To SDLAs, the driver’s training has an interest in such proceeding, and system include: Entry-level drivers and record, for verification that an applicant DOT determines that use of such training providers operating as seeking a H endorsement has completed records is relevant and necessary in the individuals (i.e., not affiliated with a the required ELDT before administering proceeding, provided, however, that in motor carrier or independent the knowledge test for that each case, DOT determines that commercial driver training school). endorsement. disclosure of the records in the CATEGORIES OF RECORDS IN THE SYSTEM: Department General Routine Users proceeding is a use of the information contained in the records that is Categories of records in the system 1. In the event that a system of records include: compatible with the purpose for which maintained by DOT to carry out its the records were collected. Training Provider Information: functions indicates a violation or 3. Disclosure may be made to a • Training provider legal name potential violation of law, whether civil, Congressional office from the record of • Training provider mailing address criminal or regulatory in nature, and • an individual in response to an inquiry Training provider location of training whether arising by general statute or from the Congressional office made at and required records particular program pursuant thereto, the the request of that individual. In such • Training provider telephone number relevant records in the system of records • cases, however, the Congressional office Training provider email address may be referred, as a routine use, to the does not have greater rights to records • Unique training provider appropriate agency, whether Federal, than the individual. Thus, the identification number State, local or foreign, charged with the disclosure may be withheld from ELDT Certification Information: responsibility of investigating or delivery to the individual where the file • Entry-level driver legal name prosecuting such violation or charged contains investigative or actual • Entry-level driver’s license/ with enforcing or implementing the information or other materials which are commercial learner’s permit/ statute, or rule, regulation, or order being used, or are expected to be used, commercial driver’s license (as issued pursuant thereto. to support prosecution or fines against applicable) 2a. Routine Use for Disclosure for Use the individual for violations of a statute, • State of licensure in Litigation. It shall be a routine use of or of regulations of the Department • Commercial driver’s license class the records in this system of records to based on statutory authority. No such and/or endorsement and type of disclose them to the Department of limitations apply to records requested training (theory and/or BTW) the Justice or other federal agency for Congressional oversight or legislative driver-trainee completed conducting litigation when—(a) DOT, or purposes; release is authorized under 49 • Total number of clock hours the any agency thereof, or (b) Any employee CFR 10.35(9). driver-trainee spent to complete the of DOT or any agency thereof, in his/her 4. One or more records from a system BTW training, as applicable official capacity, or (c) Any employee of of records may be disclosed routinely to • Name of the training provider and its DOT or any agency thereof, in his/her the National Archives and Records unique TPR identification number individual capacity where the Administration (NARA) in records • Date(s) of training completion Department of Justice has agreed to management inspections being RECORD SOURCE CATEGORIES: represent the employee, or (d) The conducted under the authority of 44 United States or any agency thereof, Training providers submit both U.S.C. 2904 and 2906. where DOT determines that litigation is 5. DOT may make available to another records about themselves and of driver- likely to affect the United States, is a agency or instrumentality of any trainees who complete required entry- party to litigation or has an interest in government jurisdiction, including State level driver training. such litigation, and the use of such and local governments, listings of names ROUTINE USES OF RECORDS MAINTAINED IN THE records by the Department of Justice or from any system of records in DOT for SYSTEM, INCLUDING CATEGORIES OF USERS AND other federal agency conducting the use in law enforcement activities, either PURPOSES OF SUCH USES: litigation is deemed by DOT to be civil or criminal, or to expose fraudulent In addition to those disclosures relevant and necessary in the litigation, claims, regardless of the stated purpose generally permitted under 5 U.S.C. provided, however, that in each case, for the collection of the information in 552a(b) of the Privacy Act, all or a DOT determines that disclosure of the the system of records. These portion of the records or information records in the litigation is a use of the enforcement activities are generally contained in this system may be information contained in the records referred to as matching programs disclosed outside DOT as a routine use that is compatible with the purpose for because two lists of names are checked pursuant to 5 U.S.C. 552a(b)(3) as which the records were collected. for match using automated assistance. follows: 2b. Routine Use for Agency Disclosure This routine use is advisory in nature in Other Proceedings. It shall be a and does not offer unrestricted access to System Specific Routine Uses routine use of records in this system to systems of records for such law 1. To the public, the training disclose them in proceedings before any enforcement and related antifraud provider’s legal name, location, phone court or adjudicative or administrative activities. Each request will be
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considered on the basis of its purpose, November 22, 2006) to a Federal, State, compromising the information that is merits, cost effectiveness and local, tribal, territorial, foreign being stored and ensuring alternatives using Instructions on government and/or multinational confidentiality of communications using reporting computer matching programs agency, either in response to its request tools such as encryption, authentication to the Office of Management and or upon the initiative of the Component, of sending parties, and Budget, OMB, Congress, and the public, for purposes of sharing such compartmentalizing databases; and published by the Director, OMB, dated information as is necessary and relevant employing auditing software. TPR data September 20, 1989. for the agencies to detect, prevent, is encrypted at rest and in transit. 6. DOT may disclose records from this disrupt, preempt, and mitigate the Access to records in this system is system, as a routine use, to appropriate effects of terrorist activities against the limited to those individuals who have a agencies, entities, and persons when (1) territory, people, and interests of the need to know the information for the DOT suspects or has confirmed that the United States of America, as performance of their official duties and security or confidentiality of contemplated by the Intelligence Reform who have appropriate clearances or information in the system of records has and Terrorism Prevention Act of 2004 permissions. All personnel with access been compromised; (2) DOT has (Pub. L. 108–458) and Executive Order to data are screened through background determined that as a result of the 13388 (October 25, 2005). investigations commensurate with the suspected or confirmed compromise level of access required to perform their POLICIES AND PRACTICES FOR STORAGE OF there is a risk of harm to economic or duties. property interests, identity theft or RECORDS: fraud, or harm to the security or Records in this system are stored RECORD ACCESS PROCEDURES: integrity of this system or other systems electronically on a contractor- or programs (whether maintained by maintained cloud storage service. Individuals seeking access to and DOT or another agency or entity) that notification of any record contained in POLICIES AND PRACTICES FOR RETRIEVAL OF this system of records, or seeking to rely upon the compromised RECORDS: contest its content, may submit a information; and (3) the disclosure Records of training providers may be made to such agencies, entities, and request to the System Manager in retrieved by the following data writing in writing to the address persons is reasonably necessary to assist elements: Training provider’s name, in connection with DOT’s efforts to provided under ‘‘System Manager and location, city, state, type of CDL training Address.’’ Individuals may also search respond to the suspected or confirmed offered, and training provider number. compromise and prevent, minimize, or the public docket at Records of driver-trainees may be www.regulations.gov by their name. remedy such harm. retrieved by the following data 7. DOT may disclose records from this elements: CDL holder’s name, license When seeking records about yourself system, as a routine use, to the Office of number, and commercial learner’s from this system of records or any other Government Information Services for permit number. Departmental system of records your the purpose of (a) resolving disputes request must conform with the Privacy between FOIA requesters and federal POLICIES AND PRACTICES FOR RETENTION AND Act regulations set forth in 49 CFR part agencies and (b) reviewing agencies’ DISPOSAL OF RECORDS: 10. You must sign your request, and policies, procedures, and compliance in FMCSA proposes to maintain training your signature must either be notarized order to recommend policy changes to records of individual drivers for 60 or submitted under 28 U.S.C. 1746, a Congress and the President. years or until notified that the driver is law that permits statements to be made 8. DOT may disclose records from the deceased. This retention period is under penalty of perjury as a substitute system, as a routine use, to contractors consistent with other CDL driver for notarization. While no specific form and their agents, experts, consultants, records maintained by SDLAs. FMCSA is required, you should provide the and others performing or working on a proposes to maintain training provider following: contract, service, cooperative agreement, registration information for 60 years. • or other assignment for DOT, when An explanation of why you believe This retention period is consistent with the Department would have information necessary to accomplish an agency the proposed record scheduled for function related to this system of on you; training records of individuals and • records. allows FMCSA to maintain a complete Identify which component(s) of the 9. DOT may disclose records from this and accurate history. The records Department you believe may have the system, as a routine use, to an agency, schedule for the TPR records is information about you; organization, or individual for the currently being developed and will be • Specify when you believe the purpose of performing audit or oversight submitted for approval by the National records would have been created; operations related to this system of Archives and Records Administration • records, but only such records as are Provide any other information that (NARA). All records maintained in the will help the FOIA staff determine necessary and relevant to the audit or system of records will not be disposed oversight activity. This routine use does which DOT component agency may of and will be treated as permanent have responsive records; and not apply to intra-agency sharing records until the schedule is approved authorized under Section (b)(1) of the by NARA. If your request is seeking records Privacy Act. pertaining to another living individual, 10. DOT may disclose from this ADMINISTRATIVE, TECHNICAL, AND PHYSICAL you must include a statement from that system, as a routine use, records SAFEGUARDS: individual certifying his/her agreement consisting of, or relating to, terrorism Records in this system are for you to access his/her records. information (6 U.S.C. 485(a)(5)), safeguarded in accordance with Without this bulleted information, the homeland security information (6 U.S.C. applicable rules and policies, including Department may not be able to conduct 482(f)(1)), or Law enforcement all applicable DOT automated systems an effective search, and your request information (Guideline 2 Report security and access policies. may be denied due to lack of specificity attached to White House Memorandum, Appropriate controls have been or lack of compliance with applicable ‘‘Information Sharing Environment’’, imposed to minimize the risk of regulations.
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CONTESTING RECORD PROCEDURES: DEPARTMENT OF THE TREASURY (unblocked property). This information FMCSA depends upon training is required by OFAC to monitor providers to submit data as accurately as Agency Information Collection compliance with regulatory possible. If a driver finds inaccurate Activities; Submission for OMB requirements, to support diplomatic information pertaining to ELDT Review; Comment Request; Office of negotiations concerning the targets of Certification Information in the TPR, or Foreign Assets Control’s Reporting, sanctions, and to support settlement inaccurate information was transmitted Procedures, and Penalties Regulations negotiations addressing U.S. claims. to the SDLA, drivers must contact the Section 501.604 requires the filing of AGENCY: Departmental Offices, U.S. training provider that conducted the reports for compliance purposes by U.S. Department of the Treasury. training to request that corrections be persons where a transaction is not submitted to the TRP as appropriate. ACTION: Notice. required to be blocked but where Once the corrections have been made, processing or otherwise engaging in the SUMMARY: The Department of the the training provider should resubmit transaction would nonetheless violate, Treasury will submit the following the Training Certification Information or facilitate a transaction that is information collection requests to the form to the TPR, noting the corrections prohibited under, other provisions in 31 Office of Management and Budget made. Upon receipt of the updated CFR chapter V. Section 501.605 requires (OMB) for review and clearance in certification, the TPR will automatically reporting of information pertaining to accordance with the Paperwork retain a record of the information. In the litigation, arbitration, and other binding Reduction Act of 1995, on or after the event the driver-trainee wishes to obtain alternative dispute resolution the revised training certification date of publication of this notice. The proceedings in the United States to information, they will need to contact public is invited to submit comments on prevent the intentional or inadvertent the training provider that conducted the this request. transfer through such proceedings of training. DATES: Comments must be received on blocked property or retained funds. If a training provider discovers that or before July 28, 2021. Sections 501.801 and 501.805 relate, information contained in the TPR is ADDRESSES: Written comments and respectively, to license requests and inaccurate, the training provider may recommendations for the proposed records requests. Section 501.806 sets make corrections by accessing their TPR information collection should be sent forth the procedures to be followed by account on the TPR and submitting an within 30 days of publication of this a person seeking to have funds updated Training Provider Registration notice to www.reginfo.gov/public/do/ unblocked at a financial institution if form (OMB Control number 2126–0028). PRAMain. Find this particular the person believes that the funds were Individuals seeking to contest the information collection by selecting blocked due to mistaken identity. content of any record pertaining to him ‘‘Currently under 30-day Review—Open Section 501.807 sets forth the or her in this system may also contact for Public Comments’’ or by using the procedures to be followed by a person the System Manager following the search function. seeking administrative reconsideration Privacy Act procedures in 49 CFR part FOR FURTHER INFORMATION CONTACT: of a designation or that of a vessel as 10, subpart E, Correction of Records. Copies of the submissions may be blocked, or who wishes to assert that the Written requests for correction must obtained from Molly Stasko by emailing circumstances resulting in the conform with the Privacy Act [email protected], calling (202) 622– designation or blocking no longer apply. Forms: OFAC requires the submission regulations set forth in 49 CFR part 10. 8922, or viewing the entire information of the Annual Report of Blocked You must sign your request, and your collection request at www.reginfo.gov. signature must either be notarized or Property (ARBP) through approved SUPPLEMENTARY INFORMATION: submitted under 28 U.S.C. 1746, a law form: TD–F 90–22.50. OFAC also Title: Reporting, Procedures and that permits statements to be made maintains voluntary forms for Penalties Regulations. under penalty of perjury as a substitute submission of certain other information OMB Control Number: 1505–0164. for notarization. While no specific form required as a part of the information Type of Review: Extension without is required, you may obtain forms for collections covered by this notice change of a currently approved this purpose from the FMCSA Freedom including the following approved forms: collection. of Information Act Officer https:// Report on Blocked Property—Financial, Description: The collections of www.fmcsa.dot.gov/foia/foia- TD–F 93.02; Report on Blocked information are contained in sections [email protected]. Property—Tangible/Real/Other Non- 501.601 through 501.605, 501.801, and Financial Property, TD–F 93.08; Report NOTIFICATION PROCEDURES: 501.805 through 501.807 of the Office of on Rejected Transaction, TD–F 93.07; Individuals seeking to contest the Foreign Assets Control’s (OFAC) TSRA License Application, TD–F 93.04; content of any record pertaining to him Reporting, Procedures and Penalties and Licensing Cover Sheet, TD–F 98– or her in the system may contact the Regulations, 31 CFR part 501 (the 22.61. Any other information collections System Manager following the ‘‘Regulations’’), and certain other parts, covered by this notice do not have procedures described in ‘‘Record Access and pertain to the operation of various mandatory or voluntary forms. Procedures’’ above. economic sanctions programs The reports covered by this administered by OFAC under 31 CFR information collection will be reviewed EXEMPTIONS PROMULGATED FOR THE SYSTEM: chapter V. Section 501.601 addresses by the U.S. Department of the Treasury None. the maintenance of records and and may be used for compliance, civil HISTORY: § 501.602 relates to OFAC demands for penalty, and enforcement purposes by None. information relative to any transaction the agency. or property subject to the provisions of Affected Public: Financial Issued in Washington, DC. 31 CFR chapter V. Section 501.603 institutions, business organizations, Karyn Gorman, imposes reporting requirements individuals, and legal representatives. Acting Departmental Chief Privacy Officer. pertaining to blocked property and Estimated Number of Respondents: [FR Doc. 2021–13643 Filed 6–25–21; 8:45 am] retained funds, as well as property that OFAC’s estimate for the number of BILLING CODE 4910–9X–P is released from blocked status unique reporting respondents is
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approximately 5,600. The significant DEPARTMENT OF VETERANS addressing six scoring criteria for grant decrease in the number of unique AFFAIRS awards as part of their application. The information will be used by Loan respondents since OFAC’s last [OMB Control No. 2900–0821] information collection submission Guaranty personnel in deciding whether regarding the Regulations in 2019 is due Agency Information Collection Activity an applicant meets the requirements to OFAC’s increased use of technology, Under OMB Review: Certification and satisfies the scoring criteria for which has enabled it to consolidate Regarding Debarment, Suspension, award of an SAH Assistive Technology multiple filers within a single Ineligibility and Voluntary Exclusion, grant under 38 U.S.C. 2108. An agency institution under one unique and Specially Adaptive Housing may not conduct or sponsor, and a person is not required to respond to a identification number assigned to the Assistive Technology Grants Criteria collection of information unless it institution for all reports submitted to and Responses displays a currently valid OMB control OFAC. Previously, OFAC did not have AGENCY: Veterans Benefits number. the ability to easily ascertain the Administration, Department of Veterans An agency may not conduct or number of unique respondents due to Affairs. sponsor, and a person is not required to different identification numbers being ACTION: Notice. respond to a collection of information selected for reports filed by different unless it displays a currently valid OMB individuals within the same institution, SUMMARY: In compliance with the control number. The Federal Register or different branches or offices of the Paperwork Reduction Act (PRA) of Notice with a 60-day comment period same institution. This inability to 1995, this notice announces that the soliciting comments on this collection uniquely identify all reports associated Veterans Benefits Administration, of information was published at 86 FR with one institution led to counting Department of Veterans Affairs, will 17891on April 6, 2021, page 17891. numerous filers that were all associated submit the collection of information Affected Public: Individuals or with the same institution instead of abstracted below to the Office of Households. counting the institutions themselves as Management and Budget (OMB) for Estimated Annual Burden: 40. Estimated Average Burden per unique respondents, resulting in an review and comment. The PRA submission describes the nature of the Respondent: 2 hours. inflated number of respondents in past Frequency of Response: One time. information collection submissions. information collection and its expected cost and burden and it includes the Estimated Number of Respondents: OFAC is now adjusting its number of 20. unique reporting respondents based on actual data collection instrument. By direction of the Secretary. its more accurate data set. DATES: Written comments and recommendations for the proposed Dorothy Glasgow, Frequency of Response: The estimated information collection should be sent VA PRA Clearance Officer (Alternate), Office annual frequency of responses is within 30 days of publication of this of Enterprise and Integration, Data between 1 and 4,641, varying greatly by notice to www.reginfo.gov/public/do/ Governance Analytics, Department of Veterans Affairs. entity depending on the size, nature, PRAMain. Find this particular and scope of business activities of each information collection by selecting [FR Doc. 2021–13744 Filed 6–25–21; 8:45 am] respondent, with the majority of filers ‘‘Currently under 30-day Review—Open BILLING CODE 8320–01–P providing a small number of responses for Public Comments’’ or by using the and a small number of filers submitting search function. Refer to ‘‘OMB Control DEPARTMENT OF VETERANS a higher number of responses. No. 2900–0821. AFFAIRS Estimated Total Number of Annual FOR FURTHER INFORMATION CONTACT: Responses: 30,051. Maribel Aponte, Office of Enterprise [OMB Control No. 2900–0073] and Integration, Data Governance Estimated Time per Response: OFAC Agency Information Collection Activity Analytics (008), 1717 H Street NW, assesses that there is an average time Under OMB Review: Enrollment Washington, DC 20006, (202) 266–4688 estimate for reports associated with Certification or email [email protected]. Please forms ranging from 15 minutes to 2 refer to ‘‘OMB Control No. 2900–0821’’ AGENCY: Veterans Benefits hours and for reports associated with in any correspondence. Administration, Department of Veterans general licenses and other SUPPLEMENTARY INFORMATION: Affairs. miscellaneous reports ranging from 30 ACTION: Notice. minutes to 5 hours. Authority: 44 U.S.C. 3501–21. Title: Agency Information Collection SUMMARY: Estimated Total Annual Burden Activity under OMB Review: In compliance with the Hours: 13,160 hours. Certification Regarding Debarment, Paperwork Reduction Act (PRA) of 1995, this notice announces that the Authority: 44 U.S.C. 3501 et seq. Suspension, Ineligibility and Voluntary Exclusion, and Specially Adaptive Veterans Benefits Administration Dated: June 22, 2021. Housing Assistive Technology Grants (VBA), Department of Veterans Affairs, Molly Stasko, Criteria and Responses. will submit the collection of Treasury PRA Clearance Officer. OMB Control Number: 2900–0821. information abstracted below to the Office of Management and Budget [FR Doc. 2021–13669 Filed 6–25–21; 8:45 am] Type of Review: Extension of a (OMB) for review and comment. The BILLING CODE 4810–AK–P currently approved collection. Abstract: The proposed regulations PRA submission describes the nature of would require applicants to submit VA the information collection and its Form 26–0967, Certification Regarding expected cost and burden and it Debarment, Suspension, Ineligibility includes the actual data collection and Voluntary Exclusion. These instrument. regulations would also require DATES: Written comments and applicants to provide statements recommendations for the proposed
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information collection should be sent DEPARTMENT OF VETERANS Estimated Annual Burden: 1,125 within 30 days of publication of this AFFAIRS hours. notice to www.reginfo.gov/public/do/ Estimated Average Burden per [OMB Control No. 2900–0149] PRAMain. Find this particular Respondent: 15 minutes. information collection by selecting Agency Information Collection Activity Frequency of Response: Once. Estimated Number of Respondents: ‘‘Currently under 30-day Review—Open Under OMB Review: Application for 4,500. for Public Comments’’ or by using the Conversion search function. Refer to ‘‘OMB Control By direction of the Secretary. No. 2900–0073.’’ AGENCY: Veterans Benefits Dorothy Glasgow, Administration, Department of Veterans FOR FURTHER INFORMATION CONTACT: VA PRA Clearance Officer (Alternate), Office Maribel Aponte, Office of Enterprise Affairs. of Enterprise and Integration/Data and Integration, Data Governance ACTION: Notice. Governance Analytics, Department of Analytics (008), 1717 H Street NW, Veterans Affairs. SUMMARY: In compliance with the Washington, DC 20006, (202) 266–4688 Paperwork Reduction Act (PRA) of [FR Doc. 2021–13757 Filed 6–25–21; 8:45 am] or email [email protected]. Please 1995, this notice announces that the BILLING CODE 8320–01–P refer to ‘‘OMB Control No. 2900–0073’’ Veterans Benefits Administration, in any correspondence. Department of Veterans Affairs, will DEPARTMENT OF VETERANS SUPPLEMENTARY INFORMATION: submit the collection of information Authority: 38 U.S.C. 3034, 3241, 3323, AFFAIRS abstracted below to the Office of 3680; and 3684, 10 U.S.C. 16136; 38 Management and Budget (OMB) for [OMB Control No. 2900–0678] CFR 21.4203, 21.5200(d), 21.7152, review and comment. The PRA 21.7652, and 21.9720. Agency Information Collection Activity Title: Enrollment Certification VA submission describes the nature of the information collection and its expected Under OMB Review: On-the-Job Form 22–1999. Training Agreement OMB Control Number: 2900–0073. cost and burden and it includes the Type of Review: Revision of a actual data collection instrument. AGENCY: Veterans Benefits currently approved collection. DATES: Written comments and Administration, Department of Veterans Abstract: VA uses the information recommendations for the proposed Affairs. collected on VA Form 22–1999 to information collection should be sent ACTION: Notice. determine the amount of educational within 30 days of publication of this benefits payable to the student during notice to www.reginfo.gov/public/do/ SUMMARY: In compliance with the the period of enrollment or training. PRAMain. Find this particular Paperwork Reduction Act (PRA) of Additionally, VA also uses these forms information collection by selecting 1995, this notice announces that the to determine whether the student has ‘‘Currently under 30-day Review—Open Insert Administration name, Department requested an advance payment or for Public Comments’’ or by using the of Veterans Affairs, will submit the accelerated payment of benefits. search function. Refer to ‘‘OMB Control collection of information abstracted Without this information, VA would not No. 2900–0149. below to the Office of Management and have a basis upon which to make FOR FURTHER INFORMATION CONTACT: Budget (OMB) for review and comment. payment or to know if a person was Maribel Aponte, Office of Enterprise The PRA submission describes the requesting an advance or accelerated and Integration, Data Governance nature of the information collection and payment. Analytics (008), 1717 H Street NW, its expected cost and burden and it An agency may not conduct or Washington, DC 20006, (202) 266–4688 includes the actual data collection sponsor, and a person is not required to or email [email protected]. Please instrument. respond to a collection of information refer to ‘‘OMB Control No. 2900–0149’’ DATES: Written comments and unless it displays a currently valid OMB in any correspondence. recommendations for the proposed control number. The Federal Register SUPPLEMENTARY INFORMATION: information collection should be sent Notice with a 60-day comment period Authority: 44 U.S.C. 3501–21. within 30 days of publication of this soliciting comments on this collection Title: Application for Conversion, VA notice to www.reginfo.gov/public/do/ of information was published at 86 FR Form 29–0152. 21809 on April 23, 2021, pages 21809 PRAMain. Find this particular OMB Control Number: 2900–0149. information collection by selecting and 21810. Type of Review: Revision of a ‘‘Currently under 30-day Review—Open Affected Public: Individuals or currently approved collection. Households. Abstract: This form is used by for Public Comments’’ or by using the Estimated Annual Burden: 2,527,091 Veterans to convert to a permanent plan search function. Refer to ‘‘OMB Control hours. of insurance. The information on the No. 2900–0678. Estimated Average Burden per form is required by law, U.S.C. 1904 and FOR FURTHER INFORMATION CONTACT: Respondent: 10 minutes. 1942. Maribel Aponte, Office of Enterprise Frequency of Response: Twice An agency may not conduct or and Integration, Data Governance Annually. sponsor, and a person is not required to Analytics (008), 1717 H Street NW, Estimated Number of Respondents: respond to a collection of information Washington, DC 20006, (202) 266–4688 15,162,546. unless it displays a currently valid OMB or email [email protected]. Please By direction of the Secretary. control number. The Federal Register refer to ‘‘OMB Control No. 2900–0678’’ Dorothy Glasgow, Notice with a 60-day comment period in any correspondence. VA PRA Clearance Officer, (Alternate), Office soliciting comments on this collection SUPPLEMENTARY INFORMATION: of Enterprise and Integration, Data of information was published at 86 FR Authority: 38 U.S.C. 501(a), 38 U.S.C. Governance Analytics, Department of 20793 on June 21, 2021, pages 20793 3104 and 38 U.S.C. 3116. Veterans Affairs. and 20794. Title: On-The-Job Training [FR Doc. 2021–13679 Filed 6–25–21; 8:45 am] Affected Public: Individuals and Agreement. BILLING CODE P Households. OMB Control Number: 2900–0678.
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Type of Review: Reinstatement of a The Federal Register Notice with a Frequency of Response: One time. previously approved collection. 60-day comment period soliciting Estimated Number of Respondents: Abstract: VA Form 28–1904 is used to comments on this collection of 1,400. gather the necessary information to information was published at 86 FR 76 By direction of the Secretary. develop formal training agreements for on April 22, 2021, pages 21437 and Dorothy Glasgow, 21438. training and rehabilitation under 38 VA PRA Clearance Officer (Alternate), Office U.S.C. Chapter 31. Additionally, the Affected Public: Government and of Enterprise and Integration, Data information is used to authorize a Private Sector. Governance Analytics, Department of claimant’s participation in a program of Estimated Annual Burden: 350 hours. Veterans Affairs. training under 38 U.S.C. 501(a), 38 Estimated Average Burden per [FR Doc. 2021–13752 Filed 6–25–21; 8:45 am] U.S.C. 3014 and 38 U.S.C. 3116. Respondent: 15 minutes. BILLING CODE 8320–01–P
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Reader Aids Federal Register Vol. 86, No. 121 Monday, June 28, 2021
CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING JUNE
Federal Register/Code of Federal Regulations At the end of each month the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. Presidential Documents 5 CFR 2 CFR Executive orders and proclamations 741–6000 335...... 30375 The United States Government Manual 741–6000 1000...... 29483 Ch. CII ...... 29931 Proposed Rules: Other Services 3 CFR Electronic and on-line services (voice) 741–6020 890...... 32813 Privacy Act Compilation 741–6050 Proclamations: 10218...... 29925 6 CFR 10219...... 29929 Proposed Rules: ELECTRONIC RESEARCH 10220...... 30131 37...... 31987 World Wide Web 10221...... 30133 10222...... 30135 7 CFR Full text of the daily Federal Register, CFR and other publications 10223...... 30137 3...... 30535 is located at: www.govinfo.gov. 10224...... 30139 205...... 33479 10225...... 30141 Federal Register information and research tools, including Public 457...... 33081, 33485 10226...... 30143 Inspection List and electronic text are located at: 984...... 32721 10227...... 31903 www.federalregister.gov. 1206...... 33491 10228...... 32359 4284, Subpart L...... 31585 E-mail 10229...... 32717 Proposed Rules: 10230...... 32719 FEDREGTOC (Daily Federal Register Table of Contents Electronic 272...... 30795 Executive Orders: Mailing List) is an open e-mail service that provides subscribers 273...... 30795 13959 (partially with a digital form of the Federal Register Table of Contents. The 966...... 33913 superseded and digital form of the Federal Register Table of Contents includes 3555...... 30555 amended by HTML and PDF links to the full text of each document. 14026) ...... 30145 9 CFR To join or leave, go to https://public.govdelivery.com/accounts/ 13974 (revoked by 310...... 33085 USGPOOFR/subscriber/new, enter your email address, then 14032) ...... 30145 Proposed Rules: follow the instructions to join, leave, or manage your 14031...... 29675 2...... 33567 subscription. 14032...... 30145 PENS (Public Law Electronic Notification Service) is an e-mail 14033...... 31079 10 CFR service that notifies subscribers of recently enacted laws. 13942 (revoked by EO Ch. I ...... 29683 14034) ...... 31423 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 15...... 32146 13943 (revoked by EO and select Join or leave the list (or change settings); then follow 34...... 29173 14034) ...... 31423 the instructions. 170...... 32146 13971 (revoked by EO 171...... 32146 FEDREGTOC and PENS are mailing lists only. We cannot 14034) ...... 31423 1061...... 29932 respond to specific inquiries. 14034...... 31423 Proposed Rules: Reference questions. Send questions and comments about the Administrative Orders: Ch. I ...... 32817 Federal Register system to: [email protected] Memorandums: 429...... 29888 Memorandum of The Federal Register staff cannot interpret specific documents or 430 ...... 29704, 29888, 29954, January 28, 2021 ...... 33077 regulations. 29964 Memorandum of June 431 ...... 30796, 31182, 32332 4, 2021 ...... 30533 FEDERAL REGISTER PAGES AND DATE, JUNE Memorandum of June 12 CFR 29173–29482...... 1 8, 2021 ...... 32629 Ch. III ...... 32728 29483–29674...... 2 Presidential Ch. X...... 32723 29675–29928...... 3 Determinations: 204...... 29937 29929–30130...... 4 PD No. 2021–08 of 1026...... 29685 30131–30374...... 7 June 11, 2021 ...... 32631 Proposed Rules: 30375–30532...... 8 Notices: 210...... 31376 30533–30752...... 9 Notice of June 8, 365...... 33570 30753–31086...... 10 2021 ...... 31083 31087–31426...... 11 Notice of June 8, 14 CFR 31427–31584...... 14 2021 ...... 31085 11...... 31006 31585–31902...... 15 Notice of June 21, 39 ...... 29176, 29178, 29181, 31903–32184...... 16 2021 ...... 33075 29183, 29185, 29187, 29483, 32185–32360...... 17 Orders: 29486, 29939, 29942, 29944, 32361–32628...... 21 Order of May 28, 30151, 30153, 30155, 30158, 32629–32716...... 22 2021 ...... 29927 30162, 30380, 30383, 30753, 32717–33076...... 23 30756, 30759, 30761, 30763, 33077–33478...... 24 3 CFR 30766, 30768, 30770, 31087, 33479–33852...... 25 Proclamations: 31089, 31092, 31095, 31097, 33853–34124...... 28 10228...... 32359 31101, 31599, 31601, 31604,
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31609, 31612, 31905, 32735, 120...... 30778 33887, 33888 180...... 29229, 33922 33088, 33091, 33094, 33097, 121...... 29196 Proposed Rules: 261...... 30237 33099, 33101, 33103, 33105, 123...... 29196 100 ...... 29711, 30221, 30224, 271...... 31233 33108, 33110, 33112, 33116, 124...... 29196 30851, 33598 705...... 33926 33494, 33498 126...... 29196 117...... 33153 721...... 31239 71 ...... 29488, 29489, 29946, 129...... 29196 165 ...... 29725, 29727, 30228, 725...... 31239 30164, 30165, 30167, 30168, 213...... 31139 30230, 31456, 31459, 31999, 31103, 31104, 31105, 31107, 306...... 30169 32846 41 CFR 31108, 31109, 31111, 31112, Proposed Rules: Proposed Rules: 34 CFR 31113, 31114, 31907 212...... 30558 300–3...... 31659 73...... 29687 668...... 33518 302–2...... 31659 91...... 31006 24 CFR 685...... 31432 302–3...... 31659 97 ...... 29688, 29690, 33501, 5...... 30779 Ch. I ...... 32637 302–12...... 31659 33503 28...... 31619 Ch. III ...... 32770 302–15...... 31659 111...... 31006, 32185 302–17...... 31659 91...... 30779 37 CFR Proposed Rules: 92...... 30779, 32767 25...... 33147 570...... 30779 11...... 32640 42 CFR 39 ...... 29212, 29216, 29705, 574...... 30779 201...... 32640 405...... 29526 29707, 30216, 30218, 30395, 576...... 30779 202...... 32640 410...... 33902 30398, 30819, 30822, 30824, 903...... 30779 203...... 32640 411...... 33902 31194, 31451, 31453, 31989, Proposed Rules: 210...... 32640 412...... 33902 31992, 31995, 32653, 33149, 100...... 33590 351...... 31172 414...... 33902 33152, 33574, 33576, 33579, 370...... 32640 416...... 33902 33915, 33918, 33919 26 CFR Proposed Rules: 417...... 29526 71 ...... 29530, 29531, 29967, 1...... 31146, 32185 385...... 33601 419...... 33902 29969, 30399, 31998, 32363, 301...... 31146 38 CFR 422...... 29526 33581, 33584, 33585, 33586, Proposed Rules: 423...... 29526 5...... 30182 33588, 33920 54...... 32813 455...... 29526 9...... 30541 460...... 29526 15 CFR 27 CFR 61...... 33518 482...... 33902 Ch. VII...... 32757 9 ...... 32186, 32189, 32191 39 CFR 485...... 33902 732...... 29189 Proposed Rules: 510...... 33135 734...... 29189 Proposed Rules: 512...... 33902 478...... 30826 20...... 29732 744 ...... 29190, 31909, 33119 479...... 30826 Proposed Rules: 760...... 30533 111...... 29734 51c ...... 32008 922...... 32737 28 CFR 40 CFR 412...... 33157 413...... 33157 31...... 31152 1...... 31172 16 CFR 425...... 33157 9 ...... 30184, 30190, 30196 1112...... 33022 29 CFR 455...... 33157 30...... 29515 1130...... 33022 495...... 33157 1473...... 29196 49...... 31918 1236...... 33022 1910...... 32376 51...... 29948 1632...... 32758 43 CFR 2204...... 31165 52 ...... 29205, 29517, 29520, Proposed Rules: 3160...... 30548 4044...... 31619 29948, 29949, 30201, 30387, 9230...... 30548 305...... 29533 Proposed Rules: 30543, 30545, 30793, 31918, 10...... 32818 Proposed Rules 17 CFR 31920, 31922, 31924, 31926, 531...... 32818 31927, 32363, 32366, 33525, 8365...... 31665 200...... 31115 2590...... 32813 33527, 33528, 33539, 33541, 44 CFR 240...... 31115 33542, 33544 242...... 29195 30 CFR 70...... 33544, 33547 61...... 31177 249...... 31115 723...... 29509 78...... 29948 328...... 31448 724...... 29509 81 ...... 29522, 30204, 31438, 18 CFR 45 CFR 845...... 29509 33547 35...... 33853 846...... 29509 97...... 29948 1225...... 30169 37...... 29491 Proposed Rules: 124...... 31172 Proposed Rules: 38...... 29491 917...... 29709 141...... 29526, 31939 149...... 32813 154...... 29503 1206...... 31196 142...... 31939 1174...... 33603 260...... 29503 1241...... 31196 147...... 32221 284...... 29503 180 ...... 29694, 30206, 31948, 47 CFR 31 CFR 31950, 33890 1...... 30389, 32775 19 CFR 50...... 30537, 31620 257...... 33892 2...... 33902 Ch. I...... 32764, 32766 525...... 29197 261...... 31622 27...... 30389, 32775 12...... 31910 271...... 29207, 31622 51...... 33136 32 CFR 372...... 29698 54 ...... 30391, 33549, 33551 21 CFR 45...... 32194, 33885 721 ...... 30184, 30190, 30196, 64...... 29952 130...... 31117 310...... 31430 30210 73 ...... 29702, 30550, 31954, 131...... 31117 Proposed Rules: 32221, 33551 1300...... 33861 33 CFR 52 ...... 29219, 29222, 29227, 302...... 31638 1301...... 33861 100 ...... 29691, 32768, 33122 30232, 30234, 30854, 31218, Proposed Rules: 1304...... 33861 117...... 29204, 33885 31645, 32006, 32656, 32848, Ch. I ...... 31464 1308 ...... 29506, 30772, 30775, 165 ...... 30178, 30180, 31166, 32850, 33154 1...... 29735 31427, 32633, 33508 31167, 31170, 31431, 31620, 63...... 31225 2 ...... 29735, 30860, 32669 1310...... 30169 31916, 32215, 32218, 32219, 81...... 31460 15...... 32669 32635, 33124, 33126, 33128, 121...... 29541 25...... 32669 22 CFR 33130, 33133, 33135, 33511, 141...... 32856 27...... 29735, 32669 22...... 31614, 31617 33512, 33514, 33515, 33516, 174...... 29229, 33922 52...... 31404
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64 ...... 29969, 30571, 31668 42...... 31074 49 CFR 660 ...... 29210, 30551, 32361, 73...... 32011, 33612 52...... 31074 107...... 29528 32804, 33142 87...... 30860 53...... 31074 383...... 32643 665...... 32239 90...... 30860 636...... 33910 384...... 32643 Proposed Rules: 101...... 32669 637...... 33910 391...... 32643 17 ...... 29432, 29975, 30888, 652...... 33910 Proposed Rules: 31668, 32241, 32857, 32859, 48 CFR 33137, 33177, 33613 Proposed Rules: 1180...... 30243 Ch. I...... 31070, 31075 18...... 29364 2...... 31468 7...... 31070 50 CFR 91...... 32878 5...... 31468 11...... 31074 17 ...... 30688, 31830, 31955, 219...... 30080 16...... 31073 6...... 31468 31972, 33159 648...... 31262, 33191 19...... 31074 13...... 31468 300...... 31178 660...... 29544 22...... 31074 19...... 31468 622 ...... 29209, 30393, 33911 665...... 30582 26...... 31074 52...... 31468 648 ...... 32651, 33552, 33553 679...... 29977, 31474
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Register but may be ordered 1912 South Orange Avenue, enacted public laws. To in ‘‘slip law’’ (individual Orlando, Florida, 32806, and subscribe, go to https:// LIST OF PUBLIC LAWS pamphlet) form from the for other purposes. (June 25, listserv.gsa.gov/cgi-bin/ Superintendent of Documents, 2021; 135 Stat. 291) wa.exe?SUBED1=PUBLAWS- This is a continuing list of U.S. Government Publishing Last List June 25, 2021 L&A=1 public bills from the current Office, Washington, DC 20402 session of Congress which (phone, 202–512–1808). The have become Federal laws. text will also be made Note: This service is strictly This list is also available available at https:// Public Laws Electronic for email notification of new online at https:// www.govinfo.gov. Some laws Notification Service laws. The text of laws is not www.archives.gov/federal- may not yet be available. (PENS) available through this service. register/laws. H.R. 49/P.L. 117–20 PENS cannot respond to The text of laws is not To designate the National PENS is a free email specific inquiries sent to this published in the Federal Pulse Memorial located at notification service of newly address.
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