Federal Register / Vol. 86, No. 128 / Thursday, July 8, 2021 / Notices 36167 

1 12 U.S.C. 5452. 

2Unless otherwise specified, the term 

‘‘contractors’’ refers to contractors and 

subcontractors. 

—Federal Rulemaking Portal: http://

www.regulations.gov. Follow the 

instructions for submitting comments. 

All submissions received must 

include the agency name and docket 

number or RIN for this document. The 

general policy for comments and other 

submissions from members of the public 

is to make these submissions available 

for public viewing at http://

www.regulations.gov as they are 

received without change, including any 

personal identifiers or contact 

information. 

FOR FURTHER INFORMATION CONTACT: A 

copy of this ICR with applicable 

supporting documentation, may be 

obtained by contacting the Retirement 

Services Publications Team, Office of 

Personnel Management, 1900 E Street 

NW, Room 3316–L, Washington, DC 

20415, Attention: Cyrus S. Benson, or 

sent by email to Cyrus.Benson@opm.gov 

or faxed to (202) 606–0910 or reached 

via telephone at (202) 606–4808. 

SUPPLEMENTARY INFORMATION: As 

required by the Paperwork Reduction 

Act of 1995 (Public Law 104–13, 44 

U.S.C. chapter 35) as amended by the 

Clinger-Cohen Act (Pub. L. 104–106), 

OPM is soliciting comments for this 

collection (OMB No. 3206–0034). The 

Office of Management and Budget is 

particularly interested in comments 

that: 

1. Evaluate whether the proposed 

collection of information is necessary 

for the proper performance of functions 

of the agency, including whether the 

information will have practical utility; 

2. Evaluate the accuracy of the 

agency’s estimate of the burden of the 

proposed collection of information, 

including the validity of the 

methodology and assumptions used; 

3. Enhance the quality, utility, and 

clarity of the information to be 

collected; and 

4. Minimize the burden of the 

collection of information on those who 

are to respond, including through the 

use of appropriate automated, 

electronic, mechanical, or other 

technological collection techniques or 

other forms of information technology, 

e.g., permitting electronic submissions 

of responses. 

RI 30–2 is used annually to determine 

if disability retirees under age 60 have 

earned income which will result in the 

termination of their annuity benefits 

under title 5, U.S.C Sections 8337 and 

8455. It also specifies the conditions to 

be met and the documentation required 

for a person to request reinstatement. 

Analysis 

Agency: Retirement Services, Office of 

Personnel Management. 

Title: Annuitant’s Report of Earned 

Income (Paper Form). 

OMB Number: 3206–0034. 

Frequency: On occasion. 

Affected Public: Individuals or 

Households. 

Number of Respondents: 21,000. 

Estimated Time per Respondent: 35 

minutes. 

Total Burden Hours: 12,250. 

Title: Annuitant’s Report of Earned 

Income (Services Online (SOL)). 

Number of Respondents: 24,040. 

Estimated Time per Respondent: 10 

minutes. 

Total Burden Hours: 1,995. 

Title: Annuitant’s Report of Earned 

Income (Electronic Form). 

Number of Respondents: 21,000. 

Estimated Time per Respondent: 35 

minutes. 

Total Burden Hours: 12,250. 

Office of Personnel Management. 

Kellie Cosgrove Riley, 

Director, Office of Privacy and Information 

Management. 

[FR Doc. 2021–14504 Filed 7–7–21; 8:45 am] 

BILLING CODE 6325–38–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–666, OMB Control No. 

3235–0725] 

Proposed Collection; Comment 

Request 

Upon Written Request Copies Available 

From: U.S. Securities and Exchange 

Commission, Office of FOIA Services, 

100 F Street NE, Washington, DC 

20549–2736. 

Extension: 

OMWI Contract Standard for Contractor 

Workforce Inclusion. 

Notice is hereby given that, pursuant 

to the Paperwork Reduction Act of 1995 

(44 U.S.C. 3501 et seq.), the Securities 

and Exchange Commission 

(‘‘Commission’’) is soliciting comments 

on the existing collection of information 

summarized below. The Commission 

plans to submit this existing collection 

of information to the Office of 

Management and Budget (‘‘OMB’’) for 

approval. 

Section 342 of the Dodd-Frank Wall 

Street Reform and Consumer Protection 

Act of 2010 (the Dodd-Frank Act) 

provided that certain agencies, 

including the Commission, establish an 

Office of Minority and Women 

Inclusion (OMWI).1 Section 342(c)(2) of 

the Dodd-Frank Act requires the OMWI 

Director to include in the Commission’s 

procedures for evaluating contract 

proposals and hiring service providers a 

written statement that the contractor 

shall ensure, to the maximum extent 

possible, the fair inclusion of women 

and minorities in the workforce of the 

contractor and, as applicable, 

subcontractors. To implement the 

acquisition-specific requirements of 

Section 342(c)(2) of the Dodd-Frank Act, 

the Commission adopted a Contract 

Standard for Contractor Workforce 

Inclusion (Contract Standard). 

The Contract Standard, which is 

included in the Commission’s 

solicitations and resulting contracts for 

services with a dollar value of $100,000 

or more, contains a ‘‘collection of 

information’’ within the meaning of the 

Paperwork Reduction Act. The Contract 

Standard requires that a Commission 

contractor provide documentation, upon 

request from the OMWI Director, to 

demonstrate that it has made good faith 

efforts to ensure the fair inclusion of 

minorities and women in its workforce 

and, as applicable, to demonstrate its 

covered subcontractors have made such 

good faith efforts. The documentation 

requested may include, but is not 

limited to: (1) The total number of 

employees in the contractor’s workforce, 

and the number of employees by race, 

ethnicity, gender, and job title or EEO– 

1 job category (e.g., EEO–1 Report(s)); 

(2) a list of covered subcontract awards 

under the contract that includes the 

dollar amount of each subcontract, date 

of award, and the subcontractor’s race, 

ethnicity, and/or gender ownership 

status; (3) the contractor’s plan to ensure 

the fair inclusion of minorities and 

women in its workforce, including 

outreach efforts; and (4) for each 

covered subcontractor, the information 

requested in items 1 and 3 above. The 

OMWI Director will consider the 

information submitted in evaluating 

whether the contractor or subcontractor 

has complied with its obligations under 

the Contract Standard. 

The information collection is 

mandatory. 

Estimated number of respondents: 

Based on a review of the last two full 

fiscal years since the last approval of 

this information collection, the 

Commission estimates that 175 

contractors 2 would be subject to the 

Contract Standard. Approximately 102 

of these contractors have 50 or more 


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36168 Federal Register / Vol. 86, No. 128 / Thursday, July 8, 2021 / Notices 

3 42 U.S.C. 2000e, et seq. 

4Executive Order 11246, 30 FR 12,319 (Sept. 24, 

1965). 

5See 41 CFR 60–1.7. 

6See 41 CFR 60–2.17(c). 

7See 41 CFR part 60–2. 

8According to the Supporting Statement for the 

OFCCP Recordkeeping and Requirements-Supply 

Service, OMB Control No. 1250–0003 (‘‘Supporting 

Statement’’), it takes approximately 73 burden 

hours for contractors with 1–100 employees to 

develop the initial written program required under 

the regulations implementing E.O. 11246. We 

understand the quantitative analyses prescribed by 

the Executive Order regulations at 41 CFR part 60– 

2 are a time-consuming aspect of the written 

program development. As there is no requirement 

to perform these types of quantitative analyses in 

connection with plan for workforce inclusion of 

minorities and women under the Contract Standard, 

we believe the plan for workforce inclusion will 

take substantially fewer hours to develop. The 

Supporting Statement is available at reginfo.gov. 

9A search of subcontract awards on the 

usaspending.gov website showed that fourteen 

subcontractors in FY 2019 and thirty subcontractors 

in FY 2020 had subcontracts of $100K or more (Data 

as of June 29, 2021. See data on subcontract awards 

available at http://usaspending.gov. 

employees, while 73 have fewer than 50 

employees. 

Estimate of recordkeeping burden: 

The information collection under the 

Contract Standard imposes no new 

recordkeeping burdens on the estimated 

102 contractors that have 50 or more 

employees. Such contractors are 

generally subject to recordkeeping and 

reporting requirements under the 

regulations implementing Title VII of 

the Civil Rights Act 3 and Executive 

Order 11246 (‘‘E.O. 11246’’).4 Their 

contracts and subcontracts must include 

the clause implementing E.O. 11246— 

FAR 52.222–26, Equal Opportunity. In 

addition, contractors that have 50 or 

more employees (and a contract or 

subcontract of $50,000 or more) are 

required to maintain records on the 

race, ethnicity, gender, and EEO–1 job 

category of each employee under 

Department of Labor regulations 

implementing E.O. 11246.5 The 

regulations implementing E.O. 11246 

also require contractors that have 50 or 

more employees (and a contract or 

subcontract of $50,000 or more) to 

demonstrate that they have made good 

faith efforts to remove identified 

barriers, expand employment 

opportunities, and produce measurable 

results,6 and to develop and maintain a 

written program, which describes the 

policies, practices, and procedures that 

the contractor uses to ensure that 

applicants and employees receive equal 

opportunities for employment and 

advancement.7 In lieu of developing a 

separate plan for workforce inclusion, a 

contractor may submit its existing 

written program prescribed by the E.O. 

11246 regulations as part of the 

documentation that demonstrates the 

contractor’s good faith efforts to ensure 

the fair inclusion of minorities and 

women in its workforce. Thus, 

approximately 102 contractors are 

already required to maintain the 

information that may be requested 

under the Contract Standard. 

The estimated 73 contractors that 

employ fewer than 50 employees are 

required under the regulations 

implementing E.O. 11246 to maintain 

records showing the race, ethnicity and 

gender of each employee. We believe 

that these contractors also keep job title 

information during the normal course of 

business. However, contractors that 

have fewer than 50 employees may not 

have the written program prescribed by 

the E.O. 11246 regulations or similar 

plan that could be submitted as part of 

the documentation to demonstrate their 

good faith efforts to ensure the fair 

inclusion of women and minorities in 

their workforces. Accordingly, 

contractors with fewer than 50 

employees may have to develop a plan 

to ensure workforce inclusion of 

minorities and women. 

In order to estimate the burden on 

contractors associated with developing a 

plan for ensuring the inclusion of 

minorities and women in their 

workforces, we considered the burden 

estimates for developing the written 

programs required under the regulations 

implementing E.O. 11246.8 Based on 

OMWI’s review of the plans and other 

documentation submitted by contractors 

with fewer than 50 employees to 

demonstrate compliance with the 

Contract Standard, we believe such 

contractors would require 

approximately 25 percent of the hours 

that contractors of similar size spend on 

developing the written programs 

required under the E.O. 11246 

regulations. Accordingly, we estimate 

that contractors would spend about 18 

hours of employee resources to develop 

a plan for workforce inclusion of 

minorities and women. This one-time 

implementation burden annualized 

would be 438 hours. After the initial 

development, we estimate that each 

contractor with fewer than 50 

employees would spend approximately 

8 hours each year updating and 

maintaining its plan for workforce 

inclusion of minorities and women. The 

Commission estimates that the 

annualized recurring burden associated 

with the information collection would 

be 365 hours. Thus, the Commission 

estimates the annual recordkeeping 

burden for such contractors would total 

803 hours. 

The Contract Standard requires 

contractors to maintain information 

about covered subcontractors’ 

ownership status, workforce 

demographics, and workforce inclusion 

plans. Contractors would request this 

information from their covered 

subcontractors, who would have an 

obligation to keep workforce 

demographic data and maintain plans 

for workforce inclusion of minorities 

and women because the Contract 

Standard is included in their 

subcontracts. Based on data describing 

recent Commission subcontractor 

activity, we believe that few 

subcontractors will have subcontracts 

under Commission service contracts 

with a dollar value of $100,000 or 

more.9 These subcontractors may 

already be subject to similar 

recordkeeping requirements as principal 

contractors. Consequently, we believe 

that any additional requirements 

imposed on subcontractors would not 

significantly add to the burden 

estimates discussed above. 

Estimate of Reporting Burden 

With respect to the reporting burden, 

we estimate that it would take all 

contractors on average approximately 

one hour to retrieve and submit to the 

OMWI Director the documentation 

specified in the proposed Contract 

Standard. We expect to request 

documentation from up to 50 

contractors each year and therefore we 

estimate the total annual reporting 

burden to be 50 hours. 

Written comments are invited on: (a) 

Whether this collection of information 

is necessary for the proper performance 

of the functions of the agency, including 

whether the information will have 

practical utility; (b) the accuracy of the 

agency’s estimate of the burden imposed 

by the collection of information; (c) 

ways to enhance the quality, utility, and 

clarity of the information collected; and 

(d) ways to minimize the burden of the 

collection of information on 

respondents, including through the use 

of automated collection techniques or 

other forms of information technology. 

Consideration will be given to 

comments and suggestions submitted in 

writing within 60 days of this 

publication. Please direct your written 

comments to David Bottom, Director/ 

Chief Information Officer, Securities 

and Exchange Commission, c/o Cynthia 

Roscoe, 100 F Street NE, Washington, 

DC 20549 or send an email to: PRA_

Mailbox@sec.gov. 


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Federal Register / Vol. 86, No. 128 / Thursday, July 8, 2021 / Notices 36169 

1 15 U.S.C. 78s(b)(1). 2 15 U.S.C. 78a. 3 17 CFR 240.19b–4. 

Dated: July 2, 2021. 

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2021–14579 Filed 7–7–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–92308; File No. SR–NYSE– 

2021–37] 

Self-Regulatory Organizations; New 

York Stock Exchange LLC; Notice of 

Filing and Immediate Effectiveness of 

Proposed Rule Change To Reformat 

the Section of the NYSE Price List 

Setting Forth Credits Applicable to 

Supplemental Liquidity Providers 

July 1, 2021. 

Pursuant to Section 19(b)(1) 1 of the 

Securities Exchange Act of 1934 

(‘‘Act’’) 2 and Rule 19b–4 thereunder,3

notice is hereby given that, on June 21, 

2021, New York Stock Exchange LLC 

(‘‘NYSE’’ or ‘‘Exchange’’) filed with the 

Securities and Exchange Commission 

(‘‘Commission’’) the proposed rule 

change as described in Items I, II, and 

III below, which Items have been 

prepared by the self-regulatory 

organization. The Commission is 

publishing this notice to solicit 

comments on the proposed rule change 

from interested persons. 

I. Self-Regulatory Organization’s 

Statement of the Terms of Substance of 

the Proposed Rule Change 

The Exchange proposes to reformat 

the section of the NYSE Price List 

setting forth Credits Applicable to 

Supplemental Liquidity Providers 

(‘‘SLPs’’) without any substantive 

changes. The Exchange proposes to 

implement the fee changes effective 

immediately. The proposed rule change 

is available on the Exchange’s website at 

www.nyse.com, at the principal office of 

the Exchange, and at the Commission’s 

Public Reference Room. 

II. Self-Regulatory Organization’s 

Statement of the Purpose of, and 

Statutory Basis for, the Proposed Rule 

Change 

In its filing with the Commission, the 

self-regulatory organization included 

statements concerning the purpose of, 

and basis for, the proposed rule change 

and discussed any comments it received 

on the proposed rule change. The text 

of those statements may be examined at 

the places specified in Item IV below. 

The Exchange has prepared summaries, 

set forth in sections A, B, and C below, 

of the most significant parts of such 

statements. 

A. Self-Regulatory Organization’s 

Statement of the Purpose of, and the 

Statutory Basis for, the Proposed Rule 

Change 

1. Purpose 

The Exchange proposes to reformat 

the section of the NYSE Price List 

setting forth Credits Applicable to SLPs 

without any substantive changes. The 

Exchange proposes to implement the fee 

changes effective immediately. 

The Exchange proposes the following 

non-substantive changes to reorganize 

and enhance the presentation in the 

Price List in order to add clarity and 

transparency, thereby making the Price 

List easier to navigate. 

First, the Exchange would delete the 

current presentation of the SLP rates 

and requirements except for the basic 

rate, which would remain unchanged. 

The Exchange would also delete 

footnotes **, 8 and + that, as discussed 

below, would be relocated to new 

section marked ‘‘General.’’ Footnote 8 

would be marked ‘‘Reserved’’ to 

preserve the current footnote numbering 

in the Price List. Footnotes 9 and 10, 

which do not appear in the current SLP 

section of the Price List, would remain 

unchanged. 

Second, the Exchange proposes a 

table presentation of the current SLP 

rates and requirements. The proposed 

changes would appear in the Price List 

in two tables. The first table would 

appear under the new heading ‘‘SLP 

Adding Tiers’’ and the phrase ‘‘For SLP 

symbols that meet the 10% average 

quoting requirement in an assigned 

security pursuant to Rule 107B, other 

than MPL Orders, in securities with a 

per share price of $1.00 or more:’’ from 

the current Price List. The table would 

summarize the current rates and 

requirements for SLP Tiers for Adding 

Liquidity (SLP Step Up, SLP Tier 5, SLP 

Tier 4, SLP Tier 3, SLP Tier 2, SLP Tier 

1A and SLP Tier [sic]) and set forth the 

requirements and the tiered display 

credits and non-tiered display credits. 

The requirements and credits are 

unchanged. The proposed changes 

would appear as follows in the Price 

List: 

Minimum requirements 

Tier for adding 

liquidity 

SLP adding ADV % Tape A CADV Tiered 

display 

credit 

Tiered 

non display 

credit 

SLP Step Up ....... 0.085% over April 2018 Baseline $(0.0018) $(0.0001) 

SLP Tier 5 .......... 0.65% and 0.85% including Non SLP and 250,000 ADV in Retail Price Improvement Orders (0.00310) (0.00120) 

SLP Tier 4 .......... First 2 calendar months as an SLP OR ...... 0.03% and averaging less than 0.01% in 

each of the prior 3 months.

(0.0029) (0.00105) 

SLP Tier 3 .......... 0.20% (0.0023) (0.0006) 

SLP Tier 2 .......... 0.45% (0.0026) (0.0009) 

SLP Tier 1A ........ 0.60% (0.00275) (0.00105) 

SLP Tier 1 .......... 0.90% ........................................................... 0.75% if qualifying for SLP Cross Tape Incentive Tier 1.(0.0029) (0.0012) 


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