8530 Federal Register / Vol. 89, No. 27 / Thursday, February 8, 2024 / Rules and Regulations 

(b) If not previously provided to the 

requestor for inclusion with the 

requestor’s submission of the request to 

the Executive Secretary, any CBP 

comments on the request shall be 

provided to the Executive Secretary 

within 20 days of the requestor’s 

submission of the request to the 

Executive Secretary. 

§ 400.42 [Amended] 

■ 21. In § 400.42, remove and reserve 

paragraph (b). 

§ 400.43 [Amended] 

■ 22. In § 400.43, remove paragraph (i). 

■ 23. In § 400.44: 

■ a. Revise paragraphs (a), (b)(5), and 

(e); and 

■ b. Remove paragraph (f). 

The revisions read as follows: 

§ 400.44 Zone schedule. 

(a) The zone grantee shall submit to 

the Executive Secretary (electronic copy 

or as specified by the Executive 

Secretary) a zone schedule which sets 

forth the elements required in this 

section. No element of a zone schedule 

(including any amendment to the zone 

schedule) may be considered to be in 

effect until such submission has 

occurred. If warranted, the Board may 

subsequently amend the requirements of 

this section by Board Order. 

(b) * * * 

(5) Information identifying any 

operator which offers services to the 

public and which has requested that its 

information be included in the zone 

schedule; and 

* * * * * 

(e) A complete copy of the zone 

schedule shall be freely available for 

public inspection at the offices of the 

zone grantee. The Board shall make 

copies of zone schedules available on its 

website. 

■ 24. In § 400.45, revise paragraph (b) to 

read as follows: 

§ 400.45 Complaints related to public 

utility and uniform treatment. 

* * * * * 

(b) Objections to rates and charges. A 

zone participant showing good cause 

may object to any rate or charge related 

to the zone on the basis that it is not fair 

and reasonable by submitting to the 

Executive Secretary a complaint in 

writing with supporting information. If 

necessary, such a complaint may be 

made on a confidential basis pursuant to 

paragraph (a) of this section. The 

Executive Secretary shall review the 

complaint and issue a report and 

decision, which shall be final unless 

appealed to the Board within 30 days. 

The Board or the Executive Secretary 

may otherwise initiate a review for 

cause. The primary factor considered in 

reviewing fairness and reasonableness is 

the cost of the specific services 

rendered. Where those costs incorporate 

charges to the grantee by one or more 

parties undertaking functions on behalf 

of the grantee, the Board may consider 

the costs incurred by those parties or 

evidence regarding market rates for the 

undertaking of those functions. The 

Board may rely on best estimates, as 

necessary. The Board will also give 

consideration to any extra costs 

incurred relative to non-zone 

operations, including return on 

investment and reasonable out-of-pocket 

expenses. 

■ 25. In § 400.52, revise paragraph (b)(2) 

to read as follows: 

§ 400.52 Notices and hearings. 

* * * * * 

(b) * * * 

(2) The request must be made within 

30 days of the beginning of the initial 

period for public comment (see 

§ 400.32) and must be accompanied by 

information establishing the need for 

the hearing and the basis for the 

requesting party’s interest in the matter. 

* * * * * 

■ 26. In § 400.61, revise paragraphs (a) 

and (c) to read as follows: 

§ 400.61 Revocation of authority. 

(a) In general. As provided in this 

section, the Board can revoke in whole 

or in part authority for a zone (see 

§ 400.2(h)) whenever it determines that 

the zone grantee has violated, 

repeatedly and willfully, the provisions 

of the Act. 

* * * * * 

(c) Appeals. As provided in section 18 

of the Act (19 U.S.C. 81r(c)), the grantee 

of the zone in question may appeal an 

order of the Board revoking authority. 

[FR Doc. 2024–01953 Filed 2–7–24; 8:45 am] 

BILLING CODE 3510–DS–P 

FEDERAL TRADE COMMISSION 

16 CFR Part 1 

RIN 3084–AB79 

Procedures for Oversight of the 

Horseracing Integrity and Safety 

Authority’s Annual Budget 

AGENCY: Federal Trade Commission. 

ACTION: Final rule. 

SUMMARY: The Federal Trade 

Commission (‘‘FTC’’ or ‘‘Commission’’) 

is amending its rules pursuant to the 

Horseracing Integrity and Safety Act 

(‘‘Act’’) regarding the Commission’s 

procedures for its oversight of the 

annual budget of the Horseracing 

Integrity and Safety Authority 

(‘‘Authority’’). The amendments to the 

Authority’s budget oversight rules will 

streamline and improve the process for 

approving or disapproving the 

Authority’s annual budget. 

DATES: This rule is effective on February 

8, 2024. 

FOR FURTHER INFORMATION CONTACT: 

Sarah Botha, Attorney ((202–326–2036), 

sbotha@ftc.gov), Office of the Executive 

Director, Federal Trade Commission. 

SUPPLEMENTARY INFORMATION: 

Background 

The Horseracing Integrity and Safety 

Act of 2020, Public Law 116–260, Title 

XII, 134 Stat 1182, 3252 (2020) (codified 

as amended at 15 U.S.C. 3051–3060), 

recognizes the Authority as a selfregulatory nonprofit organization 

charged with developing and enforcing 

rules relating to racetrack safety, antidoping, and medication control. See 15 

U.S.C. 3052. The Act expressly provides 

for Commission oversight of several 

aspects of the Authority’s operations. 

For example, the Commission must 

approve any proposed rule or rule 

modification by the Authority relating 

to the Authority’s bylaws, racetrack 

safety standards, anti-doping and 

medication control, and the formula or 

methodology for determining 

assessments. See id. In December 2022, 

Congress amended HISA to expand the 

Commission’s oversight role over the 

Authority. See Consolidated 

Appropriations Act, 2023, Public Law 

117–328, Sec. 701, 136 Stat. 4459, 5231 

(2022). As amended, the Act gives the 

Commission the power to issue rules 

under the procedures set forth in the 

Administrative Procedure Act, 5 U.S.C. 

553, ‘‘as the Commission finds 

necessary or appropriate to ensure the 

fair administration of the Authority . . . 

or otherwise in furtherance of the 

purposes of this Act.’’ 15 U.S.C. 3053(e). 

In March 2023, relying in part on the 

new amendment, the Commission 

promulgated rules relating to the 

Authority’s budget (‘‘Budget Rule’’). See 

88 FR 18034 (Mar. 27, 2023). The 

Budget Rule, codified at 16 CFR 1.150 

through 1.152, sets forth the process 

whereby the Authority submits each 

year’s proposed budget to the 

Commission for approval. Under the 

Budget Rule, after the Authority submits 

its proposed annual budget to the 

Commission, the Commission publishes 

the proposed budget in the Federal 

Register and the public is given an 

opportunity to comment. See 16 CFR 


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Federal Register / Vol. 89, No. 27 / Thursday, February 8, 2024 / Rules and Regulations 8531 

1FTC, Order Approving the Budget for 2023 

Proposed by the Horseracing Integrity and Safety 

Authority (Dec. 5, 2023), available at https://

www.ftc.gov/system/files/ftc_gov/pdf/

P222100CommissionOrderApprovingHISA2023

Budget.pdf. 

2FTC, Order Approving the Budget for 2024 

Proposed by the Horseracing Integrity and Safety 

Authority (Jan. 5, 2024), available at https://

www.ftc.gov/system/files/ftc_gov/pdf/P222100

CommissionOrder2024HISABudget.pdf. 

3Horseracing Integrity and Safety Authority 

Oversight, Notice of Proposed Rulemaking, 

published elsewhere in this issue of the Federal 

Register. 

4For this reason, the requirements of the 

Regulatory Flexibility Act, 5 U.S.C. 601(2), 604(a), 

are also inapplicable. Likewise, the amendments do 

not modify any FTC collections of information 

within the meaning of the Paperwork Reduction 

Act, 44 U.S.C. 3501 through 3521. 

1.150(d). After the close of the comment 

period, and after consideration of any 

comments received, the Commission 

either approves or disapproves the 

proposed budget, using the criteria set 

forth in 16 CFR 1.151(c). 

In June 2023, after the Commission 

promulgated the Budget Rule, the 

Authority submitted its proposed 2023 

budget to the Commission, and the 

Commission published the proposed 

budget in the Federal Register. See 88 

FR 68610 (Oct. 4, 2023). After 

considering the Authority’s budget 

submission and the public comments 

received, the Commission approved the 

Authority’s 2023 budget on December 5, 

2023.1 In September 2023, the Authority 

submitted its proposed 2024 budget to 

the Commission, and the Commission 

published the proposed budget in the 

Federal Register. See 88 FR 77582 (Nov. 

13, 2023). The Commission reviewed 

the Authority’s budget submission and 

the public comments and approved the 

Authority’s 2024 budget on January 5, 

2024.2

Based on comments received in 

response to the publication of the 2023 

and 2024 budgets, and in light of 

Commission experience in reviewing 

the two budgets, the Commission is 

revising the Budget Rule, 16 CFR 1.150 

through 1.152. The revisions to the Rule 

streamline the budget approval process 

by, among other things, providing for 

the immediate publication of the 

Authority’s proposed budget in the 

Federal Register so long as certain 

procedural requirements are met. The 

amendments to the budget approval 

process still allow for meaningful public 

comment, and the Commission will still 

need to closely review the Authority’s 

finances. Commission approval of the 

budget will happen only after the 

Commission is satisfied that the budget 

is consistent with and serves the goals 

of the Act in a prudent and costeffective manner. 

Finally, the Commission is modifying 

§ 1.143, the section setting forth the 

formatting requirements for the 

Authority’s submissions to the 

Commission, to account for the 

submissions mandated by §§ 1.150 

through 1.152. 

Section by Section Analysis 

§ 1.143 Submissions to the 

Secretary. Section 1.143 currently sets 

forth the procedures whereby the 

Authority submits guidance, proposed 

rate increases, and proposed rules or 

rule modifications to the Commission. 

The Commission is modifying this 

section to account for the Authority’s 

submissions required by the Budget 

Rule. 

§ 1.150 Submission of the 

Authority’s proposed budget. 

Modifications to paragraph (a) change 

the budget submission date from 

September 1 to August 1 to give the FTC 

additional time to review the 

Authority’s proposed budget. Changes 

to paragraph (b) clarify that the 

Authority does not have to post public 

comments to its website upon their 

arrival, but must still post comments on 

its website. Also, the Commission is 

moving from paragraph (b) to paragraph 

(c) the requirement that the Authority 

forward to the FTC any public 

comments received by the Authority 

and the Authority’s response to them. 

The changes to paragraph (d) delegate to 

the Secretary the authority to publish 

the proposed budget in the Federal 

Register without a Commission vote. 

The Commission will still vote to 

approve or disapprove the budget after 

the public comment period has ended 

and the Commission has reviewed the 

comments submitted. The Commission 

also clarifies that while the proposed 

budget will still be published in the 

Federal Register, supporting materials 

will be made available to the public on 

regulations.gov. 

§ 1.151 Commission’s decision on 

the Authority’s proposed budget. 

Modifications to this section clarify that 

the Commission may require the 

Authority to submit additional 

information before the Commission 

approves or disapproves the proposed 

budget, and that the Commission will 

vote on the Authority’s proposed budget 

no later than November 1, or as soon as 

practicable thereafter. Changes also 

remove the ‘‘commercially reasonable 

terms’’ element from the Commission’s 

decision criteria. In lieu of this criterion, 

the FTC today proposes new provisions 

addressing oversight of the Authority’s 

operations, which would include more 

specific vendor selection and 

competition requirements.3

§ 1.152 Deviation from approved 

budget. An edit in paragraph (a) clarifies 

that the Authority may deviate from the 

approved budget’s expenditure 

information in a year as to any line item 

by up to 10 percent in a year without 

notifying the Commission. Edits in 

paragraphs (b) and (c) change the 

deadlines from 7 business days to 14 

business days for the Commission to 

issue any decision to disapprove a 

proposed repurposing of funds to cover 

a line-item deviation of more than 10 

percent and for the Commission to issue 

any decision to disapprove a proposed 

means of covering a difference in the 

total approved expenditure. 

Because these rules relate solely to 

agency procedure and practice, 

publication for notice and comment is 

not required under the Administrative 

Procedure Act. 5 U.S.C. 553(b).4

List of Subjects in 16 CFR Part 1 

Administrative practice and 

procedure; Animal drugs; Animal 

welfare. 

For the reasons set forth in the 

preamble, the Federal Trade 

Commission amends part 1, title 16, 

chapter I, subchapter A of the Code of 

Federal Regulations as follows: 

PART 1—GENERAL PROCEDURES 

■ 1. The authority citation for part 1 

continues to read as follows: 

Authority: 15 U.S.C. 46; 15 U.S.C. 57a; 5 

U.S.C. 552; 5 U.S.C. 601 note. 

■ 2. Amend § 1.143 by revising 

paragraph (a), paragraph (b) paragraph 

heading, (b)(1), (e), and (f) of to read as 

follows: 

§ 1.143 Submissions to the Secretary. 

(a) Electronic submission. All 

submissions from the Authority to the 

Commission pursuant to the provisions 

of subpart S or U of this part, and all 

submissions to the Commission 

pursuant to 15 U.S.C. 3053(a) (proposed 

rules or rule modifications), 15 U.S.C. 

3052(f)(1)(C)(iv) (proposed rate 

increases), or 15 U.S.C. 3054(g)(2) 

(guidance) must be emailed to the 

Secretary of the Commission at 

electronicfilings@ftc.gov. The subject 

line of the email must begin with ‘‘HISA 

Submission:’’ followed by a brief 

description of the submission. 

(b) Format for submissions—(1) 

Electronic format. All documents 

submitted to the Secretary under this 

section must be submitted in .pdf format 

or in some other electronic format 

specified by the Office of the Secretary. 


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8532 Federal Register / Vol. 89, No. 27 / Thursday, February 8, 2024 / Rules and Regulations 

The proposed text of Federal Register 

publications must also be submitted in 

a Microsoft Word or .rtf format. 

* * * * * 

(e) Authority to reject documents for 

filing. The Secretary of the Commission 

may reject a document for filing that 

fails to comply with the Commission’s 

rules. 

(f) Federal Register publication. For 

submissions required to be published in 

the Federal Register, if the conditions 

set forth in this section and § 1.142 have 

been satisfied, the Commission will 

publish the Authority’s submission in 

the Federal Register. 

■ 3. Revise subpart U to read as follows: 

Subpart U—Procedures for Oversight 

of the Horseracing Integrity and Safety 

Authority’s Annual Budget 

Sec. 

1.150 Submission of the Authority’s 

proposed budget 

1.151 Commission decision on the 

Authority’s proposed budget 

1.152 Deviation from approved budget 

Authority: 15 U.S.C. 3053(e). 

§ 1.150 Submission of the Authority’s 

proposed budget submissions. 

(a) Mandatory annual submission. 

The Authority must submit a proposed 

annual budget to the Commission every 

year, irrespective of whether there is a 

‘‘proposed increase in the amount 

required’’ under 15 U.S.C. 

3052(f)(1)(C)(iv). The submission of the 

proposed budget for the following year 

must be made by August 1 of the current 

year, following the procedures set forth 

in § 1.143. The Authority’s annual 

budget will use the calendar year as its 

fiscal year. 

(b) Consideration of public comments. 

Before submitting its proposed budget to 

the Commission in August, the 

Authority must post the proposed 

budget on its website as early as 

practicable, with an invitation to the 

public to submit comments to the 

Authority on any aspect of the proposed 

budget. The Authority must post any 

pertinent comments it receives on its 

website, and it must review them to 

ascertain whether to revise the proposed 

budget in light of them. 

(c) Contents of submission. The 

Authority’s proposed budget submission 

to the Commission must include the 

following: 

(1) Indication of Board vote. The 

Authority’s proposed budget must be 

approved by a majority of its Board of 

Directors, or, in the case of a budget that 

exceeds the preceding year’s budget by 

5 percent or more, a two-thirds 

supermajority. The Authority’s 

submission to the Commission must 

state the Board vote on the motion to 

approve the budget. 

(2) Revenue information. The 

proposed budget must identify both the 

estimated amount required from each 

State racing commission as calculated 

under 15 U.S.C. 3052(f) and all other 

sources of Authority revenue as well as 

any loans proposed to be obtained by 

the Authority. 

(3) Expenditure information. The 

proposed budget must identify 

expenditures separately for: 

(i) The racetrack safety program; 

(ii) The anti-doping and medication 

control program; 

(iii) All other programmatic 

expenditures other than for racetrack 

safety and anti-doping and medication 

control, such as the administration of 

the Authority or its technological needs; 

(iv) Repayment of any loans; and 

(v) Any funding shortfall incurred. 

(4) Line items. For both revenue and 

expenditure information, the 

Authority’s proposed budget must 

provide sufficient information, by line 

item, as would be required for members 

of the Authority’s Board of Directors to 

exercise their fiduciary duty of care. For 

example, the proposed budget’s 

expenditure information for anti-doping 

and medication control might include 

separate line items for in-house salaries, 

the costs of testing of laboratory 

samples, the costs of arbitrators, and all 

the costs associated with contracting 

with an anti-doping and medication 

control enforcement agency. The 

proposed budget must include a 

narrative component that provides a 

brief explanation of each line item’s 

utility in carrying out the purposes of 

the Horseracing Integrity and Safety Act. 

(5) Comparison of approved budget to 

actual revenues and expenditures. For 

each approved line item, the proposed 

budget must provide a comparison 

showing the actual revenues and 

expenditures for the current year along 

with a narrative component explaining 

why any line item is anticipated to 

deviate by 10 percent or more during 

the current year. 

(6) Public comments received and the 

Authority’s response. The Authority 

must include with its submission all of 

the public comments that it received 

after posting the proposed budget on its 

website. The Authority must also 

provide an assessment of public 

comments relevant to the Commission’s 

evaluation of the proposed budget. The 

Authority must also identify any 

changes made to the proposed budget in 

response to the comments received. 

(d) Publication of the proposed budget 

in the Federal Register. If the Secretary 

concludes that the Authority’s 

submission complies with § 1.150(c), 

then the Secretary will publish the 

Authority’s proposed budget in the 

Federal Register with supporting 

materials available on regulations.gov. 

Members of the public will have 14 days 

after the date of publication in which to 

file comments on the proposed budget. 

Public comments should provide 

commenters’ views as to the decisional 

criteria set forth in § 1.151(c) and 

whether any line items should be 

modified. 

§ 1.151 Commission decision on the 

Authority’s proposed budget. 

(a) Commission approval required. 

The Authority’s proposed budget takes 

effect only if approved by the 

Commission. The Commission will 

approve or disapprove the proposed 

budget after considering the public 

comments filed and the Commission’s 

internal review of the Authority’s 

submissions pursuant to § 1.150. The 

Commission may, in its discretion, 

require the Authority to submit 

additional information to the 

Commission before the Commission 

approves or disapproves the proposed 

budget. The Commission will vote on 

the Authority’s proposed budget no later 

than November 1, or as soon thereafter 

as practicable. 

(b) Conditional collection of fees 

allowed. The notice required to be sent 

to State racing commissions estimating 

the amount required from each State for 

the subsequent year must state that the 

amount required is based on the 

proposed annual budget, as approved by 

the Board of Directors, which takes 

effect only if approved by the 

Commission. State racing commissions 

(or covered persons in States that do not 

elect to remit fees) may nevertheless 

elect to remit fees, and the Authority 

may conditionally collect them, even 

before the Commission approves the 

proposed budget. If the Commission 

makes any modifications to line items 

under paragraph (d) of this section that 

have the net effect of reducing the 

budget, the Authority must, within 30 

days, refund the proportionate amount 

owed to any State racing commission or 

covered person that has conditionally 

paid. If the Commission makes any 

modifications to line items under 

paragraph (d) of this section that have 

the net effect of increasing the budget, 

the Authority may obtain loans to make 

up the difference or may account for the 

difference as a funding shortfall 

incurred in the subsequent year’s 

proposed budget. 

(c) Decisional criteria. The 

Commission will approve the proposed 


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Federal Register / Vol. 89, No. 27 / Thursday, February 8, 2024 / Rules and Regulations 8533 

budget if the Commission determines 

that, on balance, the proposed budget is 

consistent with and serves the goals of 

the Horseracing Integrity and Safety Act 

in a prudent and cost-effective manner 

and that its anticipated revenues are 

sufficient to meet its anticipated 

expenditures. 

(d) Modification of line items. In its 

decision on the proposed budget, the 

Commission may modify the amount of 

any line item. 

§ 1.152 Deviation from approved budget. 

(a) When notice to the Commission is 

required. As to any line item, the 

Authority may deviate from the 

approved budget’s expenditure 

information in a year by up to 10 

percent in a year without providing 

prior notification to the Commission. If 

the Authority determines that it is likely 

to expend more than the approved 

expenditure for any line item by 10 

percent or more, or if it will exceed its 

approved total expenditure by any 

amount, it must notify the Commission 

immediately upon such a 

determination. 

(b) Line-item deviations of more than 

10 percent. If the Authority determines 

that it is likely to expend more than the 

approved expenditure for any line item 

by 10 percent or more, its notice to the 

Commission must indicate whether it 

intends to repurpose funds from one or 

more different line items to cover the 

increased expenditure. The Commission 

retains the discretion to disapprove 

such a proposed repurposing. The 

Commission must issue any decision to 

disapprove a proposed repurposing 

within 14 business days of receiving 

notice of the Authority’s proposal to 

repurpose funds from another line item. 

If the Commission takes no action, the 

Authority’s proposal takes effect as an 

amendment to its approved budget. 

(c) Total expenditure deviation. If the 

Authority determines that it is likely to 

expend more than the total approved 

expenditure, its notice to the 

Commission must indicate by what 

means it proposes to cover the 

difference. The Commission retains the 

discretion to disapprove the proposed 

means of covering the difference. The 

Commission must issue any decision to 

disapprove a proposed means of 

covering the difference within 14 

business days of receiving notice of the 

Authority’s proposal to cover the 

difference. If the Commission takes no 

action, the Authority’s proposal takes 

effect as an amendment to its approved 

budget. 

By direction of the Commission, 

Joel Christie, 

Acting Secretary. 

[FR Doc. 2024–02290 Filed 2–7–24; 8:45 am] 

BILLING CODE 6750–01–P 

DEPARTMENT OF LABOR 

Office of the Secretary 

20 CFR Part 802 

RIN 1290–AA35 

Rules of Practice and Procedure 

Before the Benefits Review Board 

AGENCY: Office of the Secretary, 

Department of Labor. 

ACTION: Final rule. 

SUMMARY: This action finalizes the 

Department of Labor’s (DOL or 

Department) proposal, published on 

January 11, 2021, to require electronic 

filing (e-filing) in proceedings before the 

Benefits Review Board (BRB). On 

January 11, 2021, the Department 

published a direct final rule (DFR) and 

companion proposed rule to require efiling and make acceptance of electronic 

service (e-service) automatic by 

attorneys and lay representatives 

representing parties in proceedings 

before the BRB, and to provide an 

option for self-represented parties to 

utilize these electronic capabilities. The 

rule provided an exception to the 

requirements for good cause shown. The 

Department invited written comments 

from the public for 30 days on the 

proposed rule. The Department received 

significant adverse public comments 

from stakeholders on the similar direct 

final rule for the Office of 

Administrative Law Judges (OALJ). As 

many of these stakeholders also practice 

before the BRB, the BRB withdrew the 

direct final rule on February 25, 2021. 

The Department has reviewed the 

comments received in response to the 

proposal and is now implementing the 

rule as described in the proposed rule 

of January 11, 2021, with appropriate 

exceptions for good cause shown and 

self-represented parties. 

DATES: This final rule is effective on 

March 11, 2024. 

FOR FURTHER INFORMATION CONTACT: Mr. 

Thomas Shepherd, Clerk of the 

Appellate Boards, at 202–693–6319. 

SUPPLEMENTARY INFORMATION: This 

preamble is divided into three sections: 

Section I provides an overview of this 

rulemaking and describes its procedural 

background; Section II provides a 

summary of the public comments 

received; and Section III covers the 

administrative requirements for this 

rulemaking. 

I. Background 

A. Overview 

This action is a final rule to finalize 

the corresponding notice of proposed 

rulemaking (NPRM) published in the 

January 11, 2021, issue of the Federal 

Register. The e-filing amendments are 

revising Part 802 in order to require efiling and allow for automatic e-service. 

A general overview of the legal 

framework, statements explaining the 

necessity of this e-filing and e-service 

rule, and further background on the 

rulemaking is available in the 

Department’s NPRM, as published in 

the Federal Register on January 11, 

2021, and will not be restated in full 

herein. 

In brief, this final rule requires 

persons represented by attorney and 

non-attorney representatives to use the 

Department’s system to file all papers 

electronically and to receive electronic 

service of documents unless another 

form of filing or service is allowed by 

the BRB for good cause; gives selfrepresented persons the option to use 

conventional means of filing, or to use 

the Department’s system to file all 

papers electronically and to receive 

electronic service of documents; and 

provides that a filing made through a 

person’s eFile/eServe system account 

and authorized by that person, together 

with that person’s name on a signature 

block, constitutes that person’s 

signature. 

B. Procedural History 

On January 11, 2021, the Department 

initially published the e-filing 

amendments as a DFR without a prior 

proposal because the Department 

viewed such amendments as 

noncontroversial at that time and 

anticipated no adverse comment. The 

Department also published a companion 

NPRM in the ‘‘Proposed Rules’’ section 

of the January 11, 2021, issue to 

expedite notice-and-comment 

rulemaking in case significant adverse 

comments were received from 

stakeholders. A significant adverse 

comment for the purposes of these 

notices is one that explains (1) why the 

rule is inappropriate, including 

challenges to the rule’s underlying 

premise or approach; or (2) why the 

direct final rule will be ineffective or 

unacceptable without a change. The 

proposed and direct final rules were 

substantively identical, and their 

respective comment periods ran 

concurrently. The Department is 

treating comments received on the 


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